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Risk for Suicidal Thoughts and Behavior after Childhood Sexual Abuse in Women and Men
Saaniya Bedi, BS, Elliot C. Nelson, MD, Michael T. Lynskey, PhD, Vivia V. McCutcheon, PhD, Andrew C. Heath, DPhil, Pamela A.F. Madden, PhD, and Nicholas G. Martin, PhD
Earlier studies have found an elevated risk for psychopathology and suicidal behavior associated with childhood sexual abuse (CSA); however, the degree to which risk is mediated by depression and posttraumatic stress disorder (PTSD) in women and men remains unclear. We examined these issues in data from a family study of childhood maltreatment \((N = 2,559)\). We found significant CSA-associated risk for depression, PTSD, and suicidal behavior for women and men. In survival analyses controlling for these disorders, we observed persistent but somewhat reduced CSA-associated risk for suicidal ideation and suicide attempt. Our findings suggest that these disorders partially mediate CSA-associated risk.
A history of childhood sexual abuse (CSA) is associated with increased risk of suicidal ideation (Basile et al., 2006; Briere & Runtz, 1986; Ullman & Najdowski, 2009) and suicide attempt (Briere & Runtz, 1986; Fergusson, Lynskey, & Horwood, 1996; Hardt et al., 2008; Martin, Bergen, Richardson, Roeger, & Allison, 2004; Nelson et al., 2002; Peters & Range, 1995; Ullman & Najdowski, 2009). Investigators have also reported CSA-associated risks for psychopathology including (but not limited to) major depressive disorder (MDD) and posttraumatic stress disorder (PTSD), disorders on which this report focuses (Fergusson, Lynskey et al., 1996; MacMillan et al., 2001; Molnar, Buka, & Kessler, 2001; Nelson et al., 2002, 2006; Sartor et al., 2007). As risk of suicidality is also found with these disorders, it remains unclear whether additional risk exists due to a history of CSA apart from that attributable to psychiatric illness. For example, Breslau and colleagues (Breslau, Davis, Peterson, & Schultz, 2000; Wilcox, Storr, & Breslau, 2009) have reported that risks for MDD and suicide attempt observed in individuals with traumatic event exposure are largely limited to those who develop PTSD.
CSA-associated risk for suicidal behavior in men as well as women is well established. A strong association of CSA with suicidal behavior has been reported in college students (Peters & Range, 1995) and psychosomatic clinic patients (Hardt et al., 2008) of both genders. In the Christchurch Health and Development Study (Fergusson, Horwood, & Lynskey, 1996), a longitudinal study in a population-representative adolescent sample, significant CSA-associated risk of suicidal ideation and suicide attempt was found for both young men and women.
A similar U.S. study (Silverman, Reinherz, & Giaconia, 1996) observed risk only for women; however, only two men reported a history of CSA. Other investigations have had samples composed of a single gender. In Australian men, those who reported CSA were 10 times more likely to report suicidal ideation (O’Leary & Gould, 2009). Studies with samples limited to women have found similar risk associated with self-reported CSA (e.g., see Ullman & Najdowski, 2009).
Gender differences complicate interpretation of the role of psychiatric illness in the association of CSA with suicidal behavior, as somewhat inconsistent results to date have been reported for both women and men. Sigfusdottir, Asgeirsdottr, Gudjonsson, and Sigurdsson (2008) examined whether depressed mood and anger mediated the relationship between CSA and suicidal behavior in high school students. They found stronger effects of CSA on suicidal behavior in girls than in boys, which were partially mediated by anger and depressed mood. Another study controlled for depression, family dysfunction, and hopelessness in an examination of the effects of CSA on suicidal behavior in students with an average age of 14. Boys with a history of CSA compared with those with no such history had a ten fold increased risk for suicide plans and threats as well as a fifteen fold increased risk for suicide attempt. However, in girls, depression completely mediated the association between CSA and suicidality (Martin et al., 2004). The substantially lower prevalence of CSA in men, which probably leads to more variable estimates of effects due to smaller numbers of exposed individuals and thus lower power, may be contributing to the inconsistent results found in the limited studies to date that have examined mediation.
For this report we examined risk for suicidal behavior associated with a history of CSA using data from the Childhood Trauma Study, a family study for which participants were ascertained from an Australian young adult twin sample on the basis of twins’ retrospective reports of childhood maltreatment. The large number of CSA-positive men and women in the sample enabled examination of whether observed risks vary as a function of gender. Survival analyses with depression and PTSD as time-varying covariates were used to examine whether CSA-associated risk for suicidal thoughts and behavior was mediated by these disorders.
**METHOD**
The methods of the Childhood Trauma Study have been described in detail elsewhere (Nelson, Lynskey, Heath, Madden, & Martin, 2010); a summary is provided here. Families were ascertained for this study based on responses from a semistructured psychiatric diagnostic assessment conducted via telephone from 1996 to 2000 (Heath et al., 2001) with 6,265 members (2,765 pairs and 735 singletons) of a large Australian volunteer twin panel (Cohort II, born between 1964 and 1971) maintained by the Australian National Health and Medical Research Council. Families in which one or more twin endorsed a screening question on CSA (five total questions) or childhood physical abuse (CPA; four total questions) were considered high-risk; control families were those in which all interviewed twins did not report either form of abuse. High-risk families in which male twins reported a history of CSA were prioritized for inclusion. A random number generator program that frequency-matched on the basis of twin gender and zygosity was otherwise used to select high-risk and control families.
The design initially involved interviewing all available twins, full siblings, and parents from 500 high-risk families and from 500 control families. Funding limitations resulting from a major decline in the relative valuation of the U.S. to the Australian dollar necessitated scaling back enrollment by prioritizing high-risk family twins.
Interviewers for the study, primarily master’s level psychologists, underwent an extensive training process supervised by an experienced clinical psychologist. Data collection began in 2003 and continued through 2008. Contact was first made with twins
from whom permission was requested to invite family members to participate. If both twins agreed to allow family members to be contacted, and at least one twin agreed to participate, the family was enrolled in the study. Before starting the interview, verbal consent was obtained. Afterward, respondents signed and returned a consent form that allowed use of their interview data. These procedures were approved by the Ethics Committee of the Queensland Institute of Medical Research and by the Washington University School of Medicine Human Subjects Committee.
Interviews were completed by 3,434 respondents from 524 high-risk and 373 control families. Data from interviewed respondents who either returned consents requesting that their data not to be used for analysis (N = 17) or failed to return their consents (N = 10) were not analyzed or reported. Data from the 813 interviewed parents are not reported here, as parental interview did not assess CSA. Although respondents were told that they could refuse to answer any items, relatively few (0.4%) refused to answer CSA questions. This report focuses on the 2,559 twin and sibling respondents for whom CSA data are available. These individuals include 976 female and 533 male twins and 618 female and 432 male nontwin siblings. The mean age at interview was 37.2 years (SD 2.3) for twins and 40.6 years (SD 6.3) for siblings.
Assessment
The Childhood Trauma Study’s computer-assisted diagnostic interview was completed via telephone. Data on lifetime Axis I disorders (MDD and PTSD) and suicidal thoughts and behaviors reported here were obtained using a modified Semi-Structured Assessment for the Genetics of Alcoholism (SSAGA). The SSAGA’s reliability (Bucholz et al., 1994) and validity (Hesselbrock, Easton, Bucholz, Schuckit, & Hesselbrock, 1999) are well established. Age at onset was obtained for MDD, PTSD, suicidal ideation, and suicide attempt, but not for the other suicidal thought and behavior items. To decrease respondent burden, sections of the interview that were unchanged from prior assessment were not readministered to twins previously interviewed (1996–2000) in the Cohort II assessment (Heath et al., 2001) or subsequent genetic studies (2001–2005) that focused on nicotine and alcohol (Agrawal et al., 2008; Saccone et al., 2007) or to siblings who participated in the latter projects. For the current report, this included only the depression and suicidal thoughts and behavior sections. Sources of the depression assessment for these analyses include the Childhood Trauma Study (N = 2,042), nicotine and alcohol genetic studies (N = 533), and Cohort II assessment (N = 4). The similar breakdown for suicidal thoughts and behavior assessment is Childhood Trauma Study (N = 1,089), nicotine and alcohol genetic studies (N = 39), and Cohort II assessment (N = 1,462). No differences in gender distribution were found between those with depression assessed in the Childhood Trauma Study versus those assessed in a prior project (p > .14); the similar comparison for suicidal thoughts and behavior was significant (p < .001; Childhood Trauma Study 41% male; prior projects 35% male). In instances where lifetime suicidal thoughts and behavior or MDD were assessed in more than one project, the most recent assessment was used.
The modified Christchurch Trauma Assessment’s (Fergusson, Horwood, & Lynskey, 1997; Fergusson, Horwood, Shannon, & Lawton, 1989; Fergusson, Horwood et al., 1996; Fergusson, Lynskey et al., 1996) very detailed CSA questions (see Table 1) were used to determine CSA status for this report; the stem for the 17 CSA items asked about unwanted sexual experience occurring before age 18. Individuals who endorsed any unwanted sexual contact (i.e., excluding non-contact forms of abuse) that occurred before the age of 18 were coded for these analyses as having experienced contact CSA. We found (Nelson et al., 2010) reasonable agreement [kappa = 0.64; 95% confidence intervals (CI) 0.60–0.69] across an average interval of more
TABLE 1
Christchurch Trauma Inventory CSA Items
Before you were 18 did anyone do or involve you in any of the following (when you did not want this to happen)?
1. Show or expose their sex organs (private parts) to you
2. Masturbate (play with themselves) in front of you
3. Touch your breasts in a sexual way (women only)
4. Touch your sex organs outside your clothing
5. Touch your sex organs inside your clothing
6. Try to have you touch their private parts
7. Rub their private parts against you in a sexual way
8. Try to remove your clothing to involve you in sexual behaviors
9. Remove their clothing to have sex with you
10. Threaten to have sex with you or to involve you in some other sexual activity against your will
11. Attempt to have sexual intercourse with you
12. Have sexual intercourse with you
13. Try to have you perform oral sex on them or with them
14. Had you perform oral sex on them or with them
15. Try to perform anal sex on you or with you
16. Perform anal sex on you or with you
17. Any other sort of sexual approach/behavior specific
CSA, childhood sexual abuse.
than 7 years between the composite variable (any endorsement of a Cohort II interview CSA screening item) and CSA at the Childhood Trauma Study reinterview (defined as earlier). Lack of agreement derived from two distinct sources: (1) individuals who had not endorsed any screening questions, but reported CSA in their Christchurch Trauma Assessment responses ($N = 139$); and (2) those who endorsed one or more screening questions, but denied Christchurch Trauma Assessment CSA questions ($N = 78$). The limitations of the CSA screening questions and the tendency for some individuals to have difficulty divulging a history of abuse could be contributing to both types of disagreement. Fergusson, Horwood, and Woodward (2000) attributed observed disagreement to false negative reports in their examination of the instrument’s temporal stability over a 3-year interval in young adults.
Data Analysis
All analyses were performed using SAS version 9.2 software (SAS Institute Inc., Cary, NC, 2009). For all regression analyses, robust variance estimators were used to adjust 95% CI for the presence of multiple members of individual families in the sample. Logistic regression analyses were used to examine the CSA-associated risk for outcomes, initially in separate models for women and men and later controlling for gender and psychiatric covariates. As logistic regression analyses examine whether outcomes are associated without considering their relative order of occurrence (e.g., the onset of MDD or suicidal behavior might have predated the first incident of CSA), survival analyses were then performed that considered the relative temporal ordering of those outcomes for which onset was assessed. Cox proportional hazards regression models were used to examine risks associated with time-varying covariates. Individuals with missing onset information for dependent variables or covariates could be not included in the survival analyses. The number of respondents missing onset, by variable, is as follows: CSA (10), MDD (0), PTSD (23), suicidal ideation (12), and suicide attempt (1). Models were rerun with the addition of interaction terms (CSA × Gender) to determine whether CSA-associated risks differed between women and men.
RESULTS
The prevalence of contact CSA in the Childhood Trauma Study is 37% for women and 17% for men, reflecting the sample’s enrichment for individuals who experienced abuse. Women reported a slightly earlier ($p = .014$) first occurrence of CSA (mean
10.23, SD 4.06) than men (mean 11.11, SD 3.73).
MDD was significantly more common in women than in men [lifetime prevalence 38% versus 27%, odds ratio (OR) = 1.63, 95% CI 1.37–1.93, \( p < .0001 \)]. The mean onset of MDD was 25.1 (SD 8.7); it did not differ significantly by gender. PTSD was significantly more common in women than in men (lifetime prevalence 14% vs. 7%, OR = 2.03, 95% CI 1.54–2.67, \( p < .0001 \)). The mean onset of PTSD was 15.0 (SD 9.6); it also did not differ significantly by gender.
The lifetime prevalence of suicidal thoughts and behaviors were similar for women and men, respectively, for suicidal ideation (30% and 34%), persistent suicidal thoughts (12% and 13%), suicide plan (9% and 11%), and suicide attempt (6% for each). Although a several-fold difference in magnitude was observed for multiple suicide attempts (3% and 1%), it did not reach significance. The mean onset of suicidal ideation was 21.5 (SD 7.8); it also did not differ by gender. The mean age of first suicide attempt was 20.0 (SD 7.9) for women, which is significantly (\( t = 2.38, p = .018 \)) earlier than the similar value for men [23.2 (SD 7.9)]. However, when this examination was repeated separately by CSA status, no significant gender-related differences were found for those not reporting CSA [women: mean 23.2 (SD 9.3); men: mean 22.9 (SD 7.6); \( p > .86 \)]. In contrast, a large gender difference was found in individuals with a history of CSA [women: mean 18.5 (SD 6.6); men: mean 23.9 (SD 8.6); \( p < .007 \)].
MDD, PTSD, and suicidal ideation were commonly endorsed by individuals reporting a history of abuse (see Table 2). As suicidal outcome severity increased from suicidal ideation through multiple suicide attempts, the odd ratios tended to increase for women; OR for men remained more consistent regardless of outcome severity. Controlling for lifetime history of MDD resulted in some attenuation of risk, but risk remained significant across outcomes in women. In men, risk for multiple attempts was not found and risk for persistent suicidal
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**TABLE 2**
*Prevalence of Depression, PTSD, and Suicidal Behavior by CSA Status and Gender—Unadjusted Odds Ratios (OR) and Odds Ratios Adjusted for the Presence of MDD (AOR)*
| | Female (n = 1,384; 1594) | | Male (n = 957; 264) |
|------------------|--------------------------|------------------|---------------------|
| | Abused N = 584 | Nonabused N = 1010 | AOR (95% CI) | AOR (95% CI) |
| MDD | | | | |
| | 49% | 31% | 2.11\(^a\) (1.70–2.63) | – | 24% | 41% | 2.15\(^b\) (1.50–3.07) | – |
| PTSD | | | 7.50\(^a\) (5.31–10.60) | – | 4% | 22% | 6.26\(^b\) (4.81–10.39) | – |
| Suicidal ideation| 29% | 5% | 2.25\(^a\) (1.79–2.84) | 1.87\(^a\) (1.48–2.38) | 49% | 31% | 1.86\(^b\) (1.52–2.30) | 1.81\(^b\) (1.24–2.64) |
| Persistent suicidal thought | 19% | 41% | 2.67\(^a\) (2.02–3.77) | 2.11\(^a\) (1.53–2.91) | 20% | 12% | 1.89\(^b\) (1.19–2.91) | 1.44\(^b\) (0.89–2.34) |
| Suicide plan | 14% | 83% | 3.93\(^a\) (2.81–5.53) | 2.33\(^a\) (1.62–3.34) | 12% | 9% | 2.80\(^b\) (1.44–5.42) | 2.55\(^b\) (1.30–5.03) |
| Suicide attempt | 10% | 38% | 3.52\(^a\) (2.16–5.74) | 2.02\(^a\) (1.14–3.58) | 8% | 4% | 2.01\(^b\) (1.44–2.82) | 2.55\(^b\) (1.30–5.03) |
| Multiple suicide attempts | 4% | 1% | 4.65\(^a\) (2.31–9.08) | 3.30\(^a\) (1.53–7.11) | 2% | 1% | 2.51\(^b\) (0.75–8.38) | 1.77\(^b\) (0.51–6.12) |
PTSD, posttraumatic stress disorder; CSA, childhood sexual abuse; AOR, adjusted odds ratio; MDD, major depressive disorder.
\(^a p < .0001\), \(^b p < .01\); \(^c p < .02\).
TABLE 3
CSA-Associated Risk Controlling for MDD, Sex, and PTSD (n = 2,543–2,545)
| | CSA (controlling for MDD & gender) | CSA (controlling for PTSD, MDD, & gender) |
|--------------------------|------------------------------------|-------------------------------------------|
| | AOR | 95% CI | AOR | 95% CI |
| Suicidal ideation | 1.86<sup>a</sup> | 1.52–2.26 | 1.63<sup>a</sup> | 1.32–2.01 |
| Persistent suicidal thought | 1.87<sup>a</sup> | 1.44–2.42 | 1.55<sup>c</sup> | 1.16–2.07 |
| Suicide plan | 2.32<sup>a</sup> | 1.73–3.15 | 1.91<sup>b</sup> | 1.37–2.68 |
| Suicide attempt | 2.47<sup>a</sup> | 1.69–3.60 | 1.90<sup>a</sup> | 1.23–2.93 |
| Multiple suicide attempts | 2.78<sup>a</sup> | 1.50–5.15 | 2.01 | 0.93–4.34 |
CSA, childhood sexual abuse; MDD, major depressive disorder; PTSD, posttraumatic stress disorder; AOR = adjusted OR.
<sup>a</sup>p < .0001; <sup>b</sup>p < .001; <sup>c</sup>p < .01.
TABLE 4
Results of Cox Proportional Hazards Models Using Time-Dependent Covariates (Hazard Ratios and 95% CIs Shown)
| | CSA | MDD | PTSD | Female |
|--------------------------|-----------|-----------|-----------|----------|
| Suicidal ideation | | | | |
| (N = 2,501) | 1.55<sup>a</sup> | 2.40<sup>a</sup> | 1.60<sup>b</sup> | 0.74<sup>b</sup> |
| | 1.29–1.85 | 1.94–2.98 | 1.25–2.04 | 0.65–0.89 |
| Suicide attempt | | | | |
| (N = 2,514) | 1.81<sup>c</sup> | 3.39<sup>d</sup> | 1.91<sup>d</sup> | 0.86 |
| | 1.18–2.79 | 2.00–5.75 | 1.13–3.25 | 0.58–1.28 |
CSA, childhood sexual abuse; MDD, major depressive disorder; PTSD, posttraumatic stress disorder.
<sup>a</sup>p < .0001; <sup>b</sup>p < .001; <sup>c</sup>p < .01; <sup>d</sup>p < .05.
thoughts was no longer significant with control for MDD.
As largely similar OR were found for women and men in the prior analyses, we included data from both genders in additional analyses that control for MDD and gender (see Table 3). Persistent CSA-associated risk was found for all examined suicidal thoughts and behaviors. In analyses that also controlled for PTSD, all associations other than that for multiple suicide attempts remained significant.
To address whether a history of CSA is associated with significant risk for subsequently occurring suicidal thoughts and behavior, we performed survival analyses using Cox proportional hazards regression models with time-varying covariates. In separate analyses that included control for gender, CSA was associated with significant risk of MDD [HR 1.75 (95% CI 1.51–2.03), p < .0001] and PTSD [HR 1.67 (95% CI 1.24–2.26), p < .0008]. Of the suicide-related thoughts and behaviors, age at onset was collected only for suicidal ideation and suicide attempt. Significant CSA-associated risk was observed for suicidal ideation [HR 1.92 (95% CI 1.63–2.25), p < .0001] and suicide attempt [HR 2.57 (95% CI 1.79–3.67), p < .0001]. When MDD and PTSD were included in the Cox proportional hazards regression models as time-varying covariates (Table 4), CSA-associated risks decreased, but remained significant (e.g., the HR for suicide attempt decreased to 1.81 from the unadjusted value of 2.57). A CSA × Gender interaction term was added to each of these models to examine whether the effects of
CSA differed in women and men. No significant interaction was observed in either model.
**DISCUSSION**
We found that a history of CSA is associated with increased risk of MDD and suicidal thoughts and behavior including suicidal ideation, persistent suicidal thoughts, suicide plan, and suicide attempt (both lifetime and recurrent). These risks were somewhat reduced in magnitude, but largely remained significant after controlling for MDD and PTSD. Survival analyses, which used information about temporal ordering of covariates, confirmed that individuals with a history of CSA have increased risk for subsequently occurring suicidal ideation and suicide attempt.
Significant CSA-associated risk for suicidal thoughts and behavior has been reported across a wide range of settings. This report’s sample was ascertained on the basis of childhood maltreatment status from a non-clinical, Australian twin panel, and is thus enriched for both female and male CSA-positive individuals providing substantial power. The strong psychometric properties of the assessments used here also compare favorably with prior work. Other reports that have observed similar risk include longitudinal studies of population-representative adolescent cohorts (Fergusson, Horwood et al., 1996; Silverman et al., 1996) and cross-sectional examinations focusing on students (Martin et al., 2004), patients in primary care settings (McCauley et al., 1997), and other clinical populations (Briere & Runtz, 1986; Brodsky et al., 2001; Hardt et al., 2008).
The association between CSA and suicide attempts remained significant, although of somewhat smaller magnitude, with control for MDD and PTSD in our sample. Our results are consistent with these disorders only partially mediating this relationship. Sigfusdottir et al. (2008) similarly found that, although depressed mood associated with CSA is a partial mediator and strong predictor for suicidal behavior, an association remained between CSA and suicidal behavior when adolescents were not suffering from feelings of depression. In an Australian adolescent sample (Martin et al., 2004), controlling for depression caused the relationship between CSA and suicidality to fall below significance in females, whereas a ten fold risk remained for males. They concluded that depression mediated the relationship between CSA and suicidality in adolescent females, but not in males. In contrast, the current study found that the risk for suicide attempt remained significant in both women and men when controlling for MDD and PTSD. It is important to note that the adolescents in Martin et al.’s study had not yet survived a considerable portion of the period of risk for suicidal behavior. In addition, their sample had only 59 girls and 27 boys who endorsed a history of CSA. This report’s inclusion of 584 women and 162 men reporting a history of CSA provides substantially greater power and thus more precise estimates of risk.
Earlier studies have reported varying degrees of gender differences in CSA-associated risk. Some studies have been inconclusive due to the limited number of sexually abused men in their samples (Hardt et al., 2008; Silverman et al., 1996). Other reports have found no gender differences in the association of CSA and adult mental health (Young, Harford, Kinder, & Savel, 2007), or suicide attempts (Dube et al., 2005; Peters & Range, 1995). Fergusson, Horwood et al. (1996) reported significant CSA-associated risk for a wide range of psychiatric disorders and for suicide attempt in their longitudinal study of a population-representative adolescent cohort. In analyses that controlled for family stressors and other covariates, they observed that contact CSA, especially when abuse involved intercourse, was associated with significant risk for conduct disorder, substance use disorders, and suicide attempts. All forms of CSA were associated with risk of MDD and anxiety disorders. Gender was a significant covariate in their examination of risk across psychiatric
disorders, but not risk for suicide attempts. One investigation (MacMillan et al., 2001) in a large Canadian community sample found that a history of CSA was significantly associated with a wide range of lifetime psychopathology in women; similar risks reached significance only for alcohol abuse/dependence and any psychiatric disorder in men. Survival analyses were also used in National Comorbidity Survey data (Molnar et al., 2001) to examine CSA-associated risks for psychiatric disorders while controlling for a variety of other family stressors including divorce, parental psychopathology, substance use, and other forms of abuse (physical and emotional). Significant risks in women included affective disorders, PTSD, and other anxiety disorders, and substance use disorders; risks in men were more limited in reaching significance for PTSD and substance use disorders. This report’s findings provide evidence for CSA-associated risks for suicidal thoughts and behavior that are consistent across gender. Overall, the literature on gender differences remains somewhat difficult to interpret given the lower prevalence of CSA in men. Epidemiologic data from very large population-representative samples suggest that CSA-associated risks for psychiatric disorders may be less wide-ranging in men.
We found evidence that women with a history of CSA attempted suicide on an average of more than 5 years earlier than men with a similar history; similar gender differences were not observed in those without a history of CSA. Consistent with our findings, Briere and Runtz (1986) found that young adult women reporting a history of CSA on intake to a crisis counseling community health center had a twofold increase in history of suicide attempt. They observed that 93% of CSA-positive women who reported a suicide attempt did so before age 13. In a clinical sample of psychiatric hospital inpatients who met criteria for MDD, Brodsky et al. (2001) found that suicidal behavior was significantly related to a history of childhood physical or sexual abuse; more than 75% of those reporting a history of childhood abuse in their sample were women. They found that 46% of abused suicide attempters made their first suicide attempt before the age of 18; the similar value for nonabused suicide attempters was 19%. Therefore, results from both nonclinical and clinical samples suggest that a history of CSA is related to an earlier onset of suicidal behavior in women.
A number of limitations should be considered when interpreting results of this report. First, our assessment of CSA was based on retrospective self-report. A prior examination (Nelson et al., 2010) of the psychometric properties of the CSA assessment in this sample found reasonable temporal stability, good same-gender cotwin agreement, increased CSA risk in siblings of twins who endorsed CSA, and significant association with parental alcoholism, an established risk factor. In addition, if a major component of disagreement was derived from false negatives at reinterview (Fergusson et al., 2000; Nelson et al., 2010), it is likely that this report’s estimates of CSA-associated risk are conservative. CSA was operationalized as a binary construct to simplify inclusion in this report’s analyses. Doing so fails to consider important aspects of the abuse, including frequency, severity, and type (familial or extrafamilial) and number of perpetrators, that probably impact estimated risks. Our decision not to reassess participants who had completed identical prior assessments presumably failed to identify some individuals with a later onset of depression or suicidal thoughts and behavior, which could have impacted our findings and possibly led to additional attenuation of CSA-associated risks. The sample was composed primarily of Australian caucasians; therefore, the results may not be generalizable to samples composed of other ethnic groups. The change in study design from the initially planned matching of case and control families also may have impacted the generalizability of findings or introduced some unexpected bias into estimates of risk. Although the sample contained a relatively large number of men reporting a history of CSA, it is likely that our estimates of risk in men are
more imprecise due to our greater power to detect effects in women. CSA often occurs in the context of other childhood stressors [e.g., CSA and CPA are correlated (0.17) in our sample; $p < .0001$] and thus it is difficult to determine if estimated risk is solely attributable to CSA. It is also important to remember that although we are reporting associations with putative risk factors, our findings cannot be assumed to reflect causation.
In summary, we observed substantial CSA-associated risk for suicidal thoughts and behavior in both women and men. Survival analyses that incorporated the temporal ordering of risk factors found evidence of significant residual CSA-associated risk with control for MDD and PTSD. Our results are thus consistent with effects that are partially mediated via the presence of MDD and PTSD.
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Hardy, J., Sturm, A., Nicholls, R., Kapus, B., Petrak, P., & Eggle, U. T. (2008). Childhood adversities and suicide attempts: A retrospective study. *Journal of Family Violence, 23*, 713–718.
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Martin, G., Bergen, H. A., Richardson, A. S., Roeger, L., & Allison, S. (2004). Sexual
abuse and suicidality: Gender differences in a large community sample of adolescents. *Child Abuse and Neglect, 28*, 491–503.
McCauley, J., Kern, D. E., Koldonner, K., Dill, L., Schroeder, A. F., DeChant, H. K., et al. (1997). Clinical characteristics of women with a history of childhood abuse: Unhealed wounds. *Journal of the American Medical Association, 277*, 1362–1368.
Molnar, B. E., Buck, S. L., & Kessler, R. C. (2001). Child sexual abuse and subsequent psychopathology: Results from the National Comorbidity Survey. *American Journal of Public Health, 91*, 753–760.
Nelson, E. C., Heath, A. C., Lynskey, M. T., Bucholz, K. K., Madden, P. A. F., Statham, D. J., et al. (2004). Childhood sexual abuse risk for illicit and illicit drug-related outcomes: A twin study. *Psychological Medicine, 34*, 1473–1483.
Nelson, E. C., Heath, A. C., Madden, P. A. F., Cooper, M. L., Dinwiddie, S. H., Bucholz, K. K., et al. (2002). Association between self-reported childhood sexual abuse and adverse psychosocial outcomes: Results from a twin study. *Archives of General Psychiatry, 59*, 136–145.
Nelson, E. C., Lynskey, M. T., Heath, A. C., Madden, P. A. F., & Martin, N. G. (2010). A family study of adult twins with and without a history of childhood abuse: Stability of retrospective reports of maltreatment and associated family measures. *Twin Research and Human Genetics, 13*, 121–130.
O’Leary, P., & Gould, N. (2009). Men who were sexually abused in childhood and subsequent suicidal ideation: Community comparison, explanations and practice implications. *British Journal of Social Work, 39*, 950–968.
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Sartor, C. E., Lynskey, M. T., Bucholz, K. K., McCutcheon, V. V., Nelson, E. C., Waldron, M., et al. (2007). Childhood sexual abuse and the course of alcohol dependence development: Findings from a population sample. *Drug and Alcohol Dependence, 89*, 139–146.
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Manuscript Received: April 15, 2010
Revision Accepted: August 18, 2010
|
Arena Construction Booms Across U. S.
Multi-Million-Dollar Projects Backed by Business Interests Mean $$ to Cities
CHICAGO, Sept. 25.—A boom in building auditoriums and arenas is sweeping the country. In every section, there are constructing, planning or financing a large structure with maximum seating capacity and maximum exhibition space.
New arenas are in some stage of planning or construction in such centers as Omaha; Richmond, Va.; Seattle; Lincoln, Neb.; New York; Des Moines; Charlotte and Winston-Salem, N. C.; Portland, Ore.; Vancouver, B. C.; Detroit and Chicago.
One estimate is that at least two dozen cities are at work on multi-million dollar buildings and that $125,000,000 in auditorium-arena work is on the drawing boards.
Business Interests
Behind the boom are the downtown business interests of the cities and Chambers of Commerce. And standing to benefit are several growing branches of show business.
Into the huge structures will go an assortment of shows developed especially for audience-arena presentation. Once before there was an arena building spree. That was during the Works Projects and Public Works era. In the years that followed it was almost difficult to keep the buildings busy.
But now the arena shows have come into their own. Ice shows and indoor circuses have been perfected. Currently most important, the so-called "walk-around" show is coming into full strength. It is one of the major factors in today's construction surge and in successful operation of the nation's biggest show buildings.
Improvements
While new buildings are being completed, the older ones are adding air-conditioning and other improvements to keep them apace. Leaders in nearly every area are urging that space — seating space and exhibit space — be available. Like the old-day show leaders who campaigned to win railroad grants for their towns, today's leaders are actively seeking amusements, trade shows, exhibitions, conventions and other crowd pullers that bring new business to town with them. The auditorium-arena is a prerequisite.
Merton E. Thayer, president of the International Association of Auditorium Managers and manager of the International Amphitheater, Chicago, sees it this way:
Business leaders urge construction of the arena in the belief that the venues and attractions will not only bring new business to the city but also tend to anchor that city's activities and growth to the central business district.
Plans to be picked off by the building owners and civic convention bureaus include the large number of big trade shows, conventions and expositions that have mushroomed in postwar years.
Walk-Around Click
"Walk-around" is the building managers' term for the type of event which many see as the bread and butter of arena business. These are the shows for which exhibit space is rented; the audience walks around to see the exhibits and probably doesn't use the building's seats at all, unless there is a separate hall in which the show's program of live entertainment is given.
There are several kinds, and the most prominent is that which is open to the public. These programs are usually presented by the building owner himself, and they are often sponsored by the local Chamber of Commerce.
Another kind of walk-around show is the "trade show," which is designed to attract exhibitors from all over the country. These shows are usually held in large convention centers and feature a variety of products and services.
The third type of walk-around show is the "exhibition," which is designed to showcase a particular product or service. These shows are usually held in smaller venues and feature a limited number of exhibitors.
In conclusion, the construction boom in arenas and auditoriums is a sign of the times. As more and more people seek out new forms of entertainment, the demand for these facilities will continue to grow. And as the demand grows, so too will the number of new arenas and auditoriums built across the country.
NBC Embroiled Again: Balks At Using Off-Screen Reruns
Screen Gems Takes Violent Issue Against Web, Points to Ratings
NEW YORK, Sept. 25—Sponsors of TV film shows on NBC-TV were informed recently in a letter sent by George Frey, the Web's sales rep, that the concentrated use of reruns during the summer months is not desirable programming—so far as NBC and its affiliates are concerned. A major film distribution, Screen Gems, this week took violent issue with the NBC stand.
The Frey letter indicates that sponsors will find themselves increasingly urged by NBC to spread their repeat films throughout the year rather than use them as summer programming fare.
With the increasing volume of repeat shows, Frey states, "We feel that a problem is arising calling for advance planning of schedules which will seek to avoid undue concentration of repeat shows in the same time slot on a particular evening, so as to maintain the effectiveness of our over-all program service . . . Our affiliates have particularly objected to repeats during the opening of the school season (Labor Day to early November) and to the scheduling of virtually all repeats in the summer months."
How far NBC is willing to go in order to put into effect its new policy on advertising who insist on maintaining their summer rerun schedules is open to conjecture.
SG Blasts Back
Screen Gems, however, as if preparing for a coming battle on the matter, is providing advertising agencies with information to combat NBC's opposition to summer reruns. Screen Gems this past summer sold three advertisers, Ford, Campbell's and Helmar, the right to show on "Ford Theater" as summer fare.
In a letter sent out to 1,000 agency execs., John Mitchell, Screen Gems' sales manager, points out that (1) the reruns shown on "Ford Theater" outranked all other dramatic series on all networks with an average Nielsen rating of 31.9; (2) the reruns sold by Helmar Canned goods averaged a 13-week Nielsen rating of 22.0 to top such live competition as "U.S. Steel Hour," which averaged 18.7; and "Suspense," which averaged 16.5, both of them using first run scripts; (3) "Campbell Summer Soundstage," which used eight "Ford Theater" scripts, "earned" with a 17.5 Nielsen rating and averaged out the eight weeks with a 17.2 rating. For 39 weeks of the 'Campbell Soundstage' winter show (half hour live) the average rating was 23.1. Our Miss Brooks,' the opposition, which pulled a 39-week winter average of 35.7 dropped down during the summer to 22.6."
Mitchell further points out to advertisers that "the networks are not likely to wait until fall to put on expensive spectaculars and costly series."
"Advertisers and agencies can get more viewers per dollar thru summer reruns," he states. "It has been proven that the entertainment needs of the public can be satisfied—sometimes better—by repeats while costs per thousand are cut through the size when you can make each television dollar bring you added sales returns."
Tunchy Issue
If advertisers insist on programming reruns during the summer only, and if NBC decides to take a firm stand against such a policy, there is a strong likelihood that a clash will take place between the advertiser fraternity and NBC. Such a clash could be reminiscent of the one which occurred when the web earlier this year pre-empted time slots from established sponsors who refused to accept what they felt was the web's concept of good programming.
Frey states in his letter to sponsors that NBC is "hoping to assemble and co-ordinate data on all network ratings for the 1954-55 season so that we can formulate proposals for handling these repeats on a basis which will work best for each of the parties involved and for the benefit of NBC sponsors. We have completed this analysis and have considered procedures for dealing with the problem, we would appreciate an opportunity to discuss our suggestions with you and to solicit your co-operation in carrying them into practice."
RKO Studios May Open for TV Film
Dismissals, Talks With Indie Theatrical Producers Indicate TV Film Possibility
HOLLYWOOD, Sept. 25—Indications this week were that RKO would begin a big push to offer its lot to TV film producers. The film company, whose production activities during all of 1954 saw picture, "The Conqueror," has recently given pink slips to two of its three producers—Larry Tatelman and Robert Sparks. The remaining staff, without exception, is assigned to Harriet Parsons. Also given their notice was M. E. Burns, head of the make-up department, several press agents and others.
Deals are being made on the fire for five indie theatrical producers, Frederick Brisson, Allan Dowling, Benedict Bogeaux, Edmund Grainger and the Ring Brothers. Not much has been said about the lot. The probability is that as they finish their work, if TV film shows can be found, room will be made for them.
RKO is not unmindful of the boom created by TV film activity in this city. Many of the fringe lots which were in very sad shape financially have made comebacks because of their video film contracts. In fact, there is said to be a shortage of space here.
Series Accent
Of course, the emphasis will be on getting video film series which are currently on the network or running in syndication on a continuing production basis. Producers who have such properties utilize the summer months continuously this year. Their business is especially lucrative because of its fairly stable nature.
There does not seem to be much hope that RKO itself will undertake any intensive production schedule of theatrical films. Negotiations are supposed to be underway between Floyd Ostrom and Hughes for a buy out of his interests in the film company and his other properties. It has also been reported that a syndicate composed of William Zeckendorf and Lawrence Rockefeller have raised the $380,000,000 necessary to buy out Hughes.
Because most of the TV properties on networks are already set for their production locations for the next year, the chances of RKO getting much business are fairly limited at this time. RKO, however, will undoubtedly open its lot and production facilities for producers who are interested in making pilots. Those producers who have track records and good reputations will most likely be given special consideration.
Ford Pact to TV Spots
HOLLYWOOD, Sept. 25—TV Spots, telecast commercial advertiser, has been signed by the Southern California Ford Dealers' Association to produce a series of animated spots for telecasting this fall.
ABC Film Syndication Seeks New Properties
NEW YORK, Sept. 25—With two new properties already safely tucked under its belt, ABC Film Syndication is still casting its eyes upward for new series following the fallout of a deal to add Victor Stoloff produced stanzas to its roster.
The firm, which is just beginning to let its new expansion gears rolling, had all but finished a pact with Stoloff to produce a half-hour series based on Royal Canadian Mounted Police activities. The deal, however, failed to materialize.
ABC Film chief George Shupert is currently talking with several producers in an effort to add more shows to his list. ABC is willing to put up most of the capital needed for production. The producers, however, will have to put up the rest of the coin.
Shupert holds strongly to the theory that a distribution firm cannot make ends meet by distributing properties on a straight percentage basis. It must have an ownership stake in the properties, too well. However, he wants the producers to share in the ownership, too, for by so doing they would have greater incentive to come up with the best show possible.
Two new properties that ABC has recently added to its roster are "Passport to Danger," produced by Hal Roach Jr., and "Mandrake the Magician," produced by John Allen and Bob Mann.
ZIV AND SG COMPETE FOR FALSTAFF SERIES
NEW YORK, Sept. 25—Falstaff Beer's bid to finance production of a dramatic anthology series it can call its own moved into the final stages of negotiation this week, with Screen Gems and Ziv-TV competing to take over the job of producer-distributor.
The deal reportedly would get Falstaff to bankroll the series on its own behalf in some 55 markets. The distributor would syndicate the series on a first-run basis in non-Falstaff markets, many of which are high-rated top-markets. Falstaff, of course, would share in the syndication coin by virtue of its ownership stake in the stanza.
Negotiations between Falstaff and producing and distributing firms have been in progress for many weeks (The Billboard, August 28). It's now understood that the only firms in the running for the business are Ziv and Screen Gems. Ziv reportedly has offered to turn out the show at a lower cost than Screen Gems.
Falstaff currently has MCA-TV's "City Detective" booked into 65 markets.
Dancer-Fitzgerald-Sample is the agency for Falstaff.
COSTLY SKEIN
'Millionaire' Series Set By Fedderson
HOLLYWOOD, Sept. 25.—A new series titled "The Millionaire" is being prepared for production by Don Fedderson and will probably go before the cameras sometime in November.
Six scripts are in the process of being readied for the series which will be the story of an eccentric millionaire who gives away his millions. Each show will deal with the dispensing of $1 million to a particular person.
At that rate it should be the most expensive film series in TV history.
Gotham, Coast Sales Hq. for Schwimmer Co.
CHICAGO, Sept. 25—Walter Schwimmer, president of the Chicago production and television company, Schwimmer Productions Inc., announced this week a general expansion in the firm's sales force.
Sales offices have been opened at 1000 Madison Ave., New York, and at 1606 Vista Del Mar, Hollywood. A manager will be headquartered in New York and two men will work out of the West Coast operation. In addition, two more salesmen are being added to the home office staff in Chicago.
The firm recently has taken on sales of producer Pete Demet's "Championship Bowling," an hour-long film package. In addition to their own, "Movie Quick Quiz" package, Six film market has been added on the bowling series. Bernie Crost, sales manager, announced.
HAS SMOKELESS SMOKE MACHINE
HOLLYWOOD, Sept. 25.—Too much smoke in people's eyes has led Dick Albain, Screen Gems and Columbia Pictures special effects man, to invent a smokeless smoke-making machine.
The device generates steam in a boiler, releasing it thru a pipe into a dry ice receptacle. The reaction between the steam and ice creates "smoke," which can be manufactured in any desired intensity.
Albain claims that the cost, too, is less than that of the old smudge pot method which had camera men's eyes watering and directors sneezing.
MPTV's 'Major Expansion' Move Would Strengthen Distribution
NEW YORK, Sept. 25.—There was still no determination this week of the deal reported to be being hatched by Motion Picture for Television and outside interests by which new strength will be put into the distribution of MPTV's half and quarter-hour shows. According to reports, the deal will be consummated early next week.
Top officials of MPTV refused to confirm or deny the existence of the reported negotiations. Ed Madden, MPTV's vice-president, did say that "a major expansion is in the offing" and that MPTV will be throwing still more resources into syndication in the year ahead.
It appears that Madden and Matty Fox, head of MPTV, have for the past couple of months been exploring a number of ways and means of giving a new zip to the operation, on both the feature and syndication side.
Fox has never been one to follow a beaten path. From his inception of MPTV's syndication efforts a year ago, he is known to have been pondering new sales methods in TV film. At that time he was undecided and was considering what would have amounted to a network-type operation, in that stations would commit themselves in advance to carry a certain number of MPTV shows in Class A time. This, of course, would have required the stations to buck micro-wave networks, and apparently not enough of them were willing to go along to make the plan feasible.
So MPTV's syndication has been operated along conventional lines over the past year, and has registered some success. Programs such as "Inlet Dean" to Ernie Drago. Originally the syndication sales staff was separate from the feature staff. But the two departments were consolidated early this summer.
Meanwhile, MPTV, which, with its catalog of over 500 features, has been waxing the prime mover of the library type of feature, is seeking new styles here too. It has long had under advisement a plan by which stations would pay for features in time instead of money, and MPTV would undertake to sell the availabilities thus consigned to it to national spot advertisers. This plan is known to have been discussed with stations exclusively but has still not been put into full swing as far as is known.
SYNDICATES AIM AT DAYTIME SEGS
Official's Musical Bingo and Guild's Reducing Show Are Latest Entrants
NEW YORK, Sept. 25.—Two syndicators, Official Films and Guild Films, this week were readying properties aimed mainly at daytime video audiences. Official has a musical bingo show called "Tune-O-Prizes." Guild is reducing production on "It's Fun to Reduce," a quarter-hour strip which it hopes will win the battle of the bulge for the nation's women.
"Tune-O" is played with cards which local sponsors will distribute to outlets carrying their products. Official's music library, "Music Plus," has been edited into a series of 35 to 45-second film clips which contain the entertainment. The local station can use either an emcee or a female personality to host the show tonight. Viewers must identify the song or the title to win the grand prize, generally a large appliance, and various other prizes according to guide to offer. Viewers who do not win get an additional chance at some award because there is an additional question at the end of each time segment.
The game can be played in three ways—viewers can call in, the emcee can call out or by use of a paddle. The card will be given to the winner.
"Its Fun to Reduce" has a further flexibility in that it can be programmed in strip form, thrice weekly or once hourly at night. The show is an adaptation of a radio show which played on five stations in stations around the country. It was developed by Elliot Alexander and Dick Ulmar.
Ziv to Double Rate Of Film Production
NEW YORK, Sept. 25.—Ziv-TV will double the rate of production of its video film series shortly. The syndicator has plans for new shows on its discarding boards and expects to launch the first of them late this year or early next. Among programs reportedly under consideration are an Ed Byrnes radio package which features audience-participation, and a science-fiction show to be produced with Ivan Tors.
Ziv's two latest vidfilm series are "The Eddie Cantor Comedy Theater" and "Meet Cordless Archer," which within a short period of time is said to be contracted for in nearly 125 markets. Additional top stars are expected to be signed for new properties now that Cantor has paved the way.
CBS-TV to Second Run 'Lucy' in '55
HOLLYWOOD, Sept. 25—CBS Television will start the second run of the "I Love Lucy" series on the network next year and has tentatively decided to spot the show in the 6 p.m. Sunday time slot. Present plans are to continue shooting the half-hour weekly series for three or four years, according to producer Jess Oppenheimer.
Oppenheimer gives the three-year figure as the maximum for which production will be continued. At that time the company will have 194 "Lucys" on hand, 90 more than there are in existence now.
The plans of Lucille Ball and Desi Arnaz are still indefinite beyond that point, Oppenheimer said, but it may be that after the present series is wound up "Lucy" will become a once a month one-hour production.
CBS is reported not planning to change the Love Lucy label on the second run, and in effect, will have two "Lucys" on the air, continuing to telecast the new shows at 9 p.m. Monday nights.
Oppenheimer indicated that he thought the two runs would not conflict since the Sunday 8:30 hour is being slotted especially to capture the younger audience. The main complaint about the show has been, he said, that the 9 o'clock hour is too late for the time for the kids to sit up and watch.
As far as syndication is concerned, no concrete plans have apparently yet been formulated.
No show can hope to stay on top forever. Oppenheimer said, and he would just as soon have ended production on "Lucy" this year so that the first run of the series could be retired as "undefeated champions." Others at Desilu felt that production should be continued for a while longer, however, he went on.
He doesn't think that Lucy and Desi would be interested in doing another series after finishing shooting of the "I Love Lucy" show, Oppenheimer concluded.
PIX AHoy
Underwater Films Set By 2 Firms
HOLLYWOOD, Sept. 25—The enthusiasm for skin diving has apparently transmitted itself to Hollywood television producers. Two companies are presently preparing plans for shooting an underwater series.
Frank Ferrin is readying a show to be called "Skin Diver" for which 39 scripts are being written. Ferrin has obtained a boat and underwater filming equipment, and is set to start shooting as soon as the production on his "Andy's Gang" series is well under way.
KBC, the studios, only recently formed, has a series entitled "The Waterdogs" in the works. Irving Cummings Jr., KBC producer, says he has three scripts ready plus technical advice and some equipment.
Although the two companies had not been aware of the conflict, both indicated that they would go ahead with the 12 series.
National TV Films Opens L. A. Office
CHARLOTTE, N. C., Sept. 25—National Television Films, the recently formed distribution company handling "Lash of the West" and "Secret Chapter" for Howco Productions here, has opened a Hollywood office with Dorothy De Mayo in charge. "Lash," meanwhile, has sold to four markets: KXT, Los Angeles; WMCT, Memphis; KOTV, Tulsa, and KOVR, Stockton, Calif.
Ziv to Double Rate Of Film Production
If Ziv produces the six vidfilms, the rate of the release of its shows will certainly be shortened. The current practice is to release one new show every four months. This likely will be shortened to every four months, with the probability that several will be ready for release during early next spring.
The reason for increased production by Ziv is the phenomenal success it has had with several of its vidfilm series—"Corliss Archer," "The Eddie Cantor Comedy Theater," and "Meet Corliss Archer," which within a short period of time is said to be contracted for in nearly 125 markets. Additional top stars are expected to be signed for new properties now that Cantor has paved the way.
CBS-TV to Second Run 'Lucy' in '55
HOLLYWOOD, Sept. 25—CBS Television will start the second run of the "I Love Lucy" series on the network next year and has tentatively decided to spot the show in the 6 p.m. Sunday time slot. Present plans are to continue shooting the half-hour weekly series for three or four years, according to producer Jess Oppenheimer.
Oppenheimer gives the three-year figure as the maximum for which production will be continued. At that time the company will have 194 "Lucys" on hand, 90 more than there are in existence now.
The plans of Lucille Ball and Desi Arnaz are still indefinite beyond that point, Oppenheimer said, but it may be that after the present series is wound up "Lucy" will become a once a month one-hour production.
CBS is reported not planning to change the Love Lucy label on the second run, and in effect, will have two "Lucys" on the air, continuing to telecast the new shows at 9 p.m. Monday nights.
Oppenheimer indicated that he thought the two runs would not conflict since the Sunday 8:30 hour is being slotted especially to capture the younger audience. The main complaint about the show has been, he said, that the 9 o'clock hour is too late for the time for the kids to sit up and watch.
As far as syndication is concerned, no concrete plans have apparently yet been formulated.
No show can hope to stay on top forever. Oppenheimer said, and he would just as soon have ended production on "Lucy" this year so that the first run of the series could be retired as "undefeated champions." Others at Desilu felt that production should be continued for a while longer, however, he went on.
He doesn't think that Lucy and Desi would be interested in doing another series after finishing shooting of the "I Love Lucy" show, Oppenheimer concluded.
BADGE OF
NBC FILM DIVISION
SERVING ALL SPONSORS . . . SERVING ALL STATIONS
30 Rockefeller Plaza, New York 20, New York; Merchandise Mart, Chicago, Illinois; Sunset & Vine Sts., Hollywood, California. In Canada: RCA Victor, 225 Mutual St., Toronto; 1551 Bishop St., Montreal
SUCCESS!
BADGE 714 set best record in TV its first year...
Now, 39 new episodes added for a second great year.
A group of sponsors unafraid of the word "re-run," bought BADGE 714 (formerly Dragnet) and ran it, in many cases, against some of the top-rated network shows. In virtually every case, BADGE 714 pulled a bigger share of the audience, and for an extraordinarily low cost per thousand. The new series of 39 additional BADGE 714 programs will keep up this record. And other NBC FILM DIVISION re-run programs are duplicating it market by market, month by month. When a successful film program enjoys a return engagement, it usually reaches a larger audience than it did the previous time.
BADGE 714 ARB RATING FACTS
| City | Time | Badge 714 Rating | Competition and Ratings |
|--------------------|--------|------------------|----------------------------------|
| Cincinnati | Mon. 9:30 | 22.7 | Studio One |
| | | | Sports Roundup; Pat Harmon |
| Dayton | Mon. 9:30 | 25.8 | Studio One |
| Denver | Sun. 7:00 | 21.2 | Victory At Sea |
| | | | Loretta Young |
| | | | Break The Bank |
| Memphis | Sun. 9:30 | 34.1 | What's My Line |
| Minn.-St. Paul | Mon. 8:30 | 24.0 | Studio One |
| | | | Spotlighting Sports |
| Portland, Ore. | Mon. 7:00 | 36.6 | Studio One |
| Rochester, N. Y. | Sun. 7:00 | 26.1 | Paul Winchell |
| Salt Lake City | Tues. 9:30 | 50.0 | Godfrey and Friends |
| San Francisco | Wed. 9:00 | 26.7 | NBC Kraft Theatre |
| | | | Liberace |
| Seattle-Tacoma | Fri. 9:30 | 29.5 | Our Miss Brooks |
| | | | TV Soundstage |
| | | | Movietime |
| Syracuse | Sun. 6:00 | 21.4 | My Favorite Husband |
| Wichita | Sun. 6:00 | 36.8 | Life With Father |
All data latest available from ARB as of June, 1954.
Here Is A Choice Selection Of Other NBC FILM DIVISION Successful Re-Runs:
**DANGEROUS ASSIGNMENT**
Outrates such time period competition as "Blue Ribbon Bouts" in Dallas-Ft. Worth, "Voice of Firestone" in San Francisco.
**VICTORY AT SEA**
Won larger audiences in syndication than it did originally on network run in such markets as New York, Chicago, Philadelphia.
**CAPTURED**
Lifted time slot ratings for such stations as WAAM, WWJ-TV, WDAF-TV, KTTV, WOR-TV, WFIL-TV, KING-TV.
**THE VISITOR**
Collects well over-the-average shares of audience in such highly competitive markets as Chicago, Portland, Phoenix, Salt Lake City.
**PLUGS AND PREMIUMS**
By GENE PLOTNIK
Formidable, Inc.
One of the unforgettable personalities in the ardent business of character merchandising is Jerry Capp, head of the TPA Merchandise Division. Many who know him suspect him of being a genius. At least when Capp is in the room you hear them muttering this on the fringes, in an apparent attempt to encapsulate themselves to his blustery and utterly unconventional behavior.
We bring this man to your attention because serious or not—in his original and thorough determined way he is beginning to have an enormous impact on the whole of TV film advertising.
Capp is the first one in the industry to set up a "built-in" merchandising campaign, which means that the buyer of the show, "Captain Gallant of the Foreign Legion," automatically gets a complete and individualized program, including the mailing of self-liquidating gift packages, at no extra cost.
At this writing no sale has yet been made on "Gallant." But Capp's proposition has made a tremendous impression throughout the trade. Obviously, "built-in" merchandising will become a trend if the "Gallant" idea catches on.
Daily Trick
Whatever the fate of the scheme, Capp will continue to be a force to reckon with. For one of his office papers a new trick every day. And however hair raising or insane they sometimes seem, there is always sound, sensible thinking behind them.
"The sponsor is on the air a half hour a week, during which he gets about four minutes to sell," Capp says in explaining his central, underlying aim. "What does he do the other six days of the week? We've got to put something into the home that will be a definite reminder day in and day out."
Of course, there's nothing novel in this thought. It's the very basis of TV merchandising, and the heads of Television Programs of America, Capp's boss, have had long training in it.
But Capp has a unique flair for putting ideas into effect.
Since the extension of the sponsor's message is his central aim, Capp has broken all the law with his licensees. The sponsor gets first call on all merchandise. So if a local sponsor decides to use "Ramar of the Jungle" comic books as point-of-sale inducements, a self-liquidate, the books are pulled off the newsstands in that city and are henceforth available only thru the local sponsor. If the sponsor wants to use "Ramar" soft goods or the "Ramar" game, Capp can usually get him a version of these items priced for premium promotions.
Happy Licensees
Is Capp thus throwing a block at his licensees? Well, they seem to be happy. Capp has blue printed a "Ramar" promotion to be staged at Lit Brothers, Philadelphia, during November and December, which alone will cover the advance put up by each of the licensees. With just "Ramar," Capp has practically created a jungle trend in character merchandising. The royalties for "Ramar" merchandise sold during August and September is expected to reach $65,000.
Possibly because he himself is such an out-of-batter character, Capp has a deep-seated belief of man nature in general. Every one of his merchandising efforts is solidly based on a prediction of how people will act under its influence.
For Lay Potato Chips, which only recently bought "Ramar" for its entire output, Capp set up a design which called for Lay's 600 truck drivers to wear "Ramar" pith helmets and T-shirts.
"Do you mean you expect grown men to wear these get-ups?" he was asked. "Sure," he said, and smiled slyly.
Last week Lay Ordered 400 more pith helmets. The drivers' helpers were jealous.
NEW YORK, Sept. 25.—Transfilm this week put the finishing touches on the opening billboard for the new Red Buttons show, which begins next Friday, Oct. 1, on Pontiac on NBC-TV, 8-8:30 p.m. The format of the film is said to be similar to his billboarding for Maxwell House last season, which was also produced by Transfilm.
NEW YORK, Sept. 25.—CBS-TV Film Sales is battening down the hatches in an effort to weather out the current competitive situation in the syndication business. The syndication firm is placing the accent on improved distribution and servicing organization to keep its clients happy.
High on its list of immediate steps to be taken is a re-evaluation of its sales force to weed out the weaklings and the shows that do not do a sufficiently strong job for advertisers. CBS-TV Film Sales feels that it is doing itself harm when it represents such a property because the purchaser identifies the program with the organization that sold it to him, rather than the property.
Also to be revamped is the location of various of the syndicator's offices in the South. This switch will probably be made so that more key towns are selected, towns where the station is the top ten market instead of just being the largest city in the area. It is vitally important, according to CBS-TV Film Sales, that its salesmen get out on the road more and do more personal contact work.
Also on the agenda of services to clients is aid in clearing time in certain difficult markets. The distributor intends to tap some of its salesmen available, where possible, to see whether they can be of help with such problems, especially since their contact with the station is usually stronger than are the advertiser and his agencies.
More concentration will be given to publicity and promotion. The emphasis in publicity will be on getting stories in national magazines and wire services. And in promotion every effort will be made to see to it that the advertiser uses merchandising and promotion materials for maximum impact.
On the production front, CBS-TV Film Sales is putting more dough into "The Whistler" to make certain that quality is satisfactory. The money will go into sets and into general production detail.
**ITALIAN EXPORT WOULD FILM US TV PROPERTIES**
NEW YORK, Sept. 25.—Italian Film Export is currently seeking to latch onto three new TV film properties for production in Italy next year.
Ralph Serpe, head of IFE's television department, is understood to be going to talk with owners of properties which Thetis Films in Italy would produce for the American market. Thetis is now shooting "The Three Musketeers" in Italy and plans within the next few months to start shooting two more series, "Captain Horatio Hornblower" and a jungle stanza.
Thetis' operates under a plan whereby it shoots six episodes of the TV program at the same time the TV film episodes are being shot. The features are financed by Vista Films in the United States.
The three properties, costing on the TV film series are borne by Thetis. The scripts, American stars, director, etc., however, must be paid for on the American side.
Whether the companies who created the property or by outside financing brought in by IFE.
In addition to the "Three Musketeers," production is planned to start next year.
**CBS-TV FILM SALES CAULKS GAPS AGAINST STORM OF FALL COMPETITION**
NEW YORK, Sept. 25.—CBS-TV Film Sales is battening down the hatches in an effort to weather out the current competitive situation in the syndication business. The syndication firm is placing the accent on improved distribution and servicing organization to keep its clients happy.
High on its list of immediate steps to be taken is a re-evaluation of its sales force to weed out the weaklings and the shows that do not do a sufficiently strong job for advertisers. CBS-TV Film Sales feels that it is doing itself harm when it represents such a property because the purchaser identifies the program with the organization that sold it to him, rather than the property.
Also to be revamped is the location of various of the syndicator's offices in the South. This switch will probably be made so that more key towns are selected, towns where the station is the top ten market instead of just being the largest city in the area. It is vitally important, according to CBS-TV Film Sales, that its salesmen get out on the road more and do more personal contact work.
Also on the agenda of services to clients is aid in clearing time in certain difficult markets. The distributor intends to tap some of its salesmen available, where possible, to see whether they can be of help with such problems, especially since their contact with the station is usually stronger than are the advertiser and his agencies.
More concentration will be given to publicity and promotion. The emphasis in publicity will be on getting stories in national magazines and wire services. And in promotion every effort will be made to see to it that the advertiser uses merchandising and promotion materials for maximum impact.
On the production front, CBS-TV Film Sales is putting more dough into "The Whistler" to make certain that quality is satisfactory. The money will go into sets and into general production detail.
**MCA SPARKS 'BADGE' SALES WITH RATINGS**
NEW YORK, Sept. 25.—MCA-TV, which will syndicate "I'm Behind the Badge" when it finishes its network run on CBS-TV, is sparking its sales campaign with a novel rating study made of Arbitron Research Bureau reports this summer.
The study proves that during the months of June, July and August, the mystery drama outrated Philip-Goodyear TV Playhouse, its NBC-TV opposition on 31 out of 38 times in 12 top cities. They are Cleveland, New York, Chicago, Detroit, Atlanta, Washington, Baltimore, Philadelphia, Dayton, Cincinnati and Boston.
In certain cities, such as Philadelphia, the difference was very pronounced. "Badge" received 16.0, 17.0 and 19.0 during June, July and August, respectively. Its opposition for those months got 11.6, 11.0 and 9.2. The show also outrated its lead-in adjacency, "The General Electric Theater," by a considerable margin too.
Charles Bickford will act as host-narrator of the film version of the series. Bernard Proctor who owns the package, will produce. Earlier this year "Philip TV Playhouse" was among the top ten and topped "Badge" consistently.
Proctor will begin shooting the syndicated-film version of "Badge" in Hollywood in a couple of weeks.
**W'HOUSE PACT TO BCE FOR TELETAPE UNIT**
HOLLYWOOD, Sept. 25.—Bing Crosby Enterprises has been awarded the contract to build a television taping machine by the Air Arm Division of Westinghouse, but, according to Crosby Vice-President Basil Grillo, it will be two to three years before the machine can be perfected for commercial production.
Grillo said that the only video tape machine they have in existence is now being used. According to Frank C. Healey, executive director of the Crosby Electronics Division, it will be several weeks before the machine can be delivered to Westinghouse.
Healey is hopeful that the government will hasten commercial acceptance of video tape recording.
**WOR OUTLETS MAY START NAT'L SPOT CAMPAIGN FOR AQUAFILTER**
NEW YORK, Sept. 25.—The opening gun in what soon may become a national spot campaign is being fired via WOR and WOR-TV here by U.S. Filter Products Corporation to launch its new Aquafilter cigarette filter.
The new firm, thru the Adolph F. Gottsman agency in Newark, N.J., will spend $300,000 in spots on WOR and WOR-TV in the next six months. The General Tele-radio outlets reportedly have captured the Aquafilter spot outlay on an exclusive basis in New York. The campaign hits the air next week with 15 spots a day on radio and five per day on TV.
The Aquafilter business is the second aggressive spot campaign on behalf of a new product the WOR and WOR-TV has latched onto this month. Halogene Corporation of Newark earlier this month, thru the Radio Advertising Corporation of America, bought 15 radio and TV spots a day to launch its new Halogene drug product in New York.
**PRODUCTION NOTES**
By BOB SPIELMAN
HOLLYWOOD, Sept. 25.—Success of "Draguet" and "The Long, Long Trailer" theatrical features has resulted in a rash of rumors about other theatricals being made from TV series, but at of right now the works to build three new stages around the present bungalow area, but it's all unofficial. "It's a Great Life" had spot for a steer in one of its recent shows, but "actor" turned out to be a cow nursing a calf. . . . Writer Fenton Eaken is claiming to record his 60th script for Screen Productions. . . . Marty Weiser and George Thomas Jr., who headed Lippert Pictures' publicity for four years, have opened their own offices to service TV films and theatrical motion picture producers. . . . Lee Radditz is bowing out at NBC. It's a shame. . . . If you see actors going around groaning at the mouth at Groen-Krasne blame it on Vernon Marks, not the rabies. Clare, v.p. in charge of commercials, has developed a line of ersatz materials to stand in for food products in the filming of color commercials because real stuff was too expensive to use in the multi-set process. . . . Lipstick leader dog food that looks like baked beans and horse meat resembling filets, but wait till somebody bites into a nice juicy bar of soap. . . . UCLA student Roland R. Gullion, a paralegic, is technical advisor on "Hot Car," segment of "Big Town" series. . . . Academy Award winner Donna Reed is making her telefilm debut in "Portrait of Lydia" for Ford theater. . . . Doc Menuan, production manager for Groen-Krasne, Inc., has been signed to a new long-term contract. . . . William D. Russell will direct the next 13 half hours in the "Father Knows Best" series for Screen Gems.
**'COLONEL MARCH' LEGAL BATTLE INCHES AHEAD IN NY COURT**
NEW YORK, Sept. 25.—The legal battle over "Colonel March of Scotland Yard," the half-hour series starring Boris Karloff, inched forward another step in New York Supreme Court this week. Adjudged until October 14 was a motion to examine one of the defendants, Atlas Productions, before trial.
At the same time it was revealed that Atlas has filed a counterclaim against the plaintiffs Nathan Kramer and Michael Hyams of American-British TV Movies, charging that they failed to use their best efforts to exploit the three original segments of the show for theatrical distribution as allegedly agreed.
Kramer and Hyams are suing under a 1952 agreement by which they allegedly had the distribution rights to the show. In addition to Atlas, they have named Official Films, which is syndicating the show in the U. S.
**SCREEN GEMS NAMES KATZ AN AD AGENT**
NEW YORK, Sept. 25.—In preparation for a heavy increase in its advertising and promotion activities, Screen Gems has appointed the Joseph Katz Company as its advertising agency effective October 1.
Screen Gems' first new advertising-promotion campaign, which has been formulated by Elihu Harris, will aim at promoting the firm on two fronts—as a producer of programs and commercials, and as a distributor of TV film series.
The Katz account exec for Screen Gems is Sydney Loewenberg.
ASSOC. ARTISTS BUILDS 52-FEATURE FILM PACKAGE
First Runs Culled From Variety of Sources, Including Bank of America
NEW YORK, Sept. 25.—Associated Artists Productions is building a package of 52 first-run feature films derived from a variety of sources, including the Bank of America. The firm, which Ellen Hyman, one of the pioneer TV film distributors, put into action a little over a month ago, is setting up a special department to handle the distribution of 13 of these pictures over the next year. The other 39 will be put right into TV.
Hyman this week had 18 titles definitely pinned down. The remaining 34 of the package are expected to be confirmed in another week or 10 days, at which time the firm will begin making a pitch to stations. The 13 titles that will go into TV this theoretical will probably be offered by TV at the same time, but only for release next fall.
Of the 18 titles now definite, the biggest attraction is probably "Allgiers" with Hedy Lamarr and Charles Boyer. It is also the oldest picture in the package, having been released originally by United Artists in 1938.
Bank Pictures
Two pictures have been bought from the Bank of America. They are "The Scarf" with John Ireland and Mercedes McCambridge, released by UA in 1951, and "The Second Face" with Ella Raines and William Bendix, released by UA in 1950. Hyman understood to be dickering for still further product from this bank.
Hyman also bought the negatives to "Sympathy," the 1942 musical produced and directed by William Dieterle. It has an all-star band with Benny Goodman, Harry James and Charlie Barnett.
Raft Film
Also in the new package is "Lucky Nick Cain" with George Raft, which was released by 20th Century-Fox in 1951.
Other American pictures in the package, all originally released by UA between 1950 and 1952, are "Chicago Calling" with Dan Duryea and Mary Anderson, "One Big Affair" with Evelyn Keyes and Dennis O'Keefe, "Once a Thief" with June Havoc, Cesar Romero and Marie McDonald, "Park Row" with Gene Evans, "Red Planet Mars" with Andrea King, "The Captive City" with John Forsyth and "The Big Night" with John Barrymore Jr. and Preston Foster.
NOT HERE, PODNER
Quebec Bars Tele Cowboy Pictures
By HARRY ALLEN
TORONTO, Sept. 25—Cowboy adventure series have been censored out in Canada's Quebec Province market. Sponsors and ad agencies seeking to place such fare on the air there seem likely to be shut out.
This is revealed as attempts continue by the Leo Burnett Agency to place the "Wild Bill Hickok" film show for Kellogg's into the French-speaking market.
The show, nationally spot-booked by Kellogg's, is important to the cereal account, because Montreal is considered to be the second most important cereal market in Canada. But the program director of CBFT and CBMT in Montreal, Andre Ouimet, has rejected the series as "being not fit for children." Canadians to see "Hickok" were the guest on network Western film series in The Billboard's all-industry film awards, and its star, Guy Madison, was voted best actor in a Western series.
The censorship move is surprising in the light of two factors. First, the series was built with the co-operation of law enforcement agencies and parent-teacher groups in the U.S. in order to avoid any conflict with censorship groups. Second, the rest of the Canadian Broadcasting Corporation network affiliates are showing the series in some local markets.
It is a year since the agency first tried to place the show on the air. At that time, hand-picked by the CBC, Ouimet said the show had already been contracted for by the CBC. But acceptance by the program director was necessary to put the show on the air. Following the showing, Ouimet pointed out that children under 16 are not allowed to attend movies in the Province of Quebec.
Meanwhile, efforts are still proceeding to place the show on the air, despite the claim that CBC "is against public policy in the French-speaking areas" to show cowboy adventure series. Official spokesmen for the CBC points out that children under 16 are not allowed to attend movies in the Province of Quebec.
KTLA $2 Mil Building Set
HOLLYWOOD, Sept. 25—Development of the 10-acre Sunset Boulevard site acquired by Paramount Pictures for new Paramount television productions and KTLA Studios will begin November 1, it was announced this week; with an initial expenditure of $2 million scheduled.
Three studios of 10,000 square feet each will be remodeled, with special attention paid to facilities for the origination of colorcasts. The studios will be able to be opened into each other to create a 30,000-foot floor space.
Since this development will take up only about two or three acres of the site, there is speculation that after the initial construction, additional sites will make the remainder of the area to build facilities for telefilm production.
Klaus Landsberg, general manager of KTLA, has devised many innovations for the new studios such as peripheral-type batten lighting and control booths for both black and white and color equipment.
Gay Midwest Rep For Standard TV
HOLLYWOOD, Sept. 25—Standard Television has named Rex Gay as its Midwest sales representative formerly with Interstate Television.
Standard is currently putting a drive on its weekly pro basketball coverage and "Washington Spotlight," the weekly news interviews starring Marquis Childs.
Packers and S.O.S. Rack Up Top Buys of Film in Canada
TORONTO, Sept. 25—A film purchase by B. C. Packers Ltd., and S.O.S. Manufacturing Company, Ltd., considered to be one of the largest TV film purchases in Canada, was made this week by All-Canada Television Sales.
Reo Thompson, manager for All-Canada, Toronto, said the two clients purchased the half-hour Ziv show, "Meet Corliss Archer," thru James Lovick Advertising Agency. The Lovick offices worked out a co-operative plan calling for 52 episodes, to be telecast one a week, with eight stations commencing the series in mid-October.
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BBDO, With 10 Film Shows, Is Leading Agency in Pic Field
NEW YORK, Sept. 25.—Batten, Barton, Durstine & Osborn is the leading agency this season in the use of film for national clients. Tied for second spot as film buyers are Young & Rubicam and Leo Burnett. McCann-Erickson has the third largest number; Dancer-Fitzgerald-Sample and J. Walter Thompson are tied for fourth; the Blore Agency, Lennan and Newell and William Esty are fifth, a host of other advertising agencies follow behind the leaders, including Sullivan, Stouffer, Colwell & Bayles; Cunningham & Walsh, Mason and Beasley & Bowles.
BBDO has 10 film programs which it services for its national advertiser, and has been very partial to vidfilm since the early days of the medium. Film properties new to the agency are "Dear Phoebe" and "Lassie" for Campbell's, a new client, and Norman Sper's "Football Forecasts," which will be first presenting 130 markets this fall. Among its other cululoid sales tools are "Cavalcade of America," "Private Secretary," and "People Are Funny" for Toni. Among its continuing properties are "Sunbeam" and "Walt Bull Hickok" for Kellogg and "Barge 714" for Pure Oil. The last three vidfilms are nationally spot-booked by the agency for its clients as are a great number of stations which have accepted "Halls of Ivy."
Y&R's 17 Shows
Young - Rubicam controls 17 TV shows for advertisers, more than any other agency in the business, but of these only six are on film. Its only new film property this season is "Father Knows Best" for Kent Cigarettes, which previous to this show had "The Web" and an old film package in 40 markets. It is also servicing on film "I Married Joan," "Life of Riley," "Our Miss Brooks," half of "Four Star Psychology," and the General Cigar "Sports Special."
Five of McCann-Erickson's 10 shows are on film. New programming fodder includes half of "Halls of Ivy" for Nabisco, one-quarter of "The Adventures of Don Fodor," and "It's a Great Life" for Chrysler. Its established film shows are half of "Big Town" for Lever Brothers, and the nationally spot-booked "Death Valley Days" for Pacific Coast Borax.
Two of Dancer-Fitzgerald-Sample's four shows on film are serviced for General Mills. They are "Willie" and the "Lone Ranger." The other two shows are "The Vice," a new drama for Sterling Drugs, and "City Detective" for Falstaff Beer. J. Walter Thompson is handling "Norby," a new HiHi series for Esso-Rosco, and may eventually be nationally spot-booked, "My Little Margie" for Scott Tissue, "Ford Theater" for the Ford Motor Company, and one-half of "Four Star Playhouse" for a client new to network TV—Parker Pens.
Three With Three
The three agencies that handle three film shows each are Lennan & Newell, the Blore Agency and William Esty. Two of Blore's shows, "Public Defender" and "I Love Lucy," are owned by Philip Morris. Its third is "Tales of Tomorrow" for Evichow-Schick, which will be nationally spot-booked. Two of Esty's three films, Robert Cummings Show and "Topper," are owned by R. J. Reynolds. This is a small piece of the total which it services for General Mills, Lennan & Newell's three are "Playhouse of Stars" for Schlitz, one-half of Ray Bolger for Lehman and one-half Janet Dean, R.N., which is nationally spot-booked for Bromo-Seltzer.
Generally speaking the agencies such as Young & Rubicam and J. Walter Thompson, who like to control programs for their clients, tend to favor live over film shows. Film usually requires special talents that agencies' production staffs do not have, whereas a show goes to them the agency does not usually play as important a part in its development. Naturally, the more control over a program the agency has, the more it is doing for its client.
A good case in point is the Lux "Video Theater," which J. Walter Thompson fought successfully to keep from going on film. Gross-Kramer, the producer of "Big Town" for the same client, Lever Brothers, tried for years to persuade the client that the show would be better as a film property.
And so it is natural that most important agencies have more live than film shows. Film, however, gives such plus factors that in spite of opposition it has solidified its hold on TV programming. Indications are that it will continue to do so.
Flood of Producers to Bulge KTTV Studios by End of Year
HOLLYWOOD, Sept. 25.—A minor migration of producers into the KTTV Studios will have the old movie studio lot filled to capacity by the end of the year. William F. Brodity, producer of the "Wild Bill Hickok" TV series, will move the theatrical half of his production onto the KTTV lot. Brodity has a schedule of 11 feature pictures and may include a "Wild Bill Hickok" theatrical among them.
Television Programs of America, Inc., now turning out "The Halls of Ivy" at Motion Picture Center, and "Lassie" at KTTV, is planning to shoot two scheduled future teleseries at the latter lot. These are "Tugboat Annie" and "Black Beauty," both set for early next year. Also reported in the works is a "Ramar of the Jungle" theatrical movie.
Filming on the lot in addition to "Lassie" at present are "The Whistler" and "This Is the Life, the latter a religious series. On tap is another group of religious teleseries, "The Church Commission," which will feature Billy Graham.
Shooting TV commercials are TV Spots, New World Productions, and General Motors. Lindsay Parsons Productions will reportedly film two to four theatrical features ranging in cost up to $800,000.
Toni, Burnett Has Soared
Toni, Burnett has soared into higher realms of advertising activity. New to the agency this year are Mickey Rooney for Great Giant and Pillsbury, one-half of "Halls of Ivy" for International Harvester, and "People Are Funny" for Toni. Among its continuing properties are "Sunbeam" and "Walt Bull Hickok" for Kellogg and "Barge 714" for Pure Oil. The last three vidfilms are nationally spot-booked by the agency for its clients as are a great number of stations which have accepted "Halls of Ivy."
Y&R's 17 Shows
Young - Rubicam controls 17 TV shows for advertisers, more than any other agency in the business, but of these only six are on film. Its only new film property this season is "Father Knows Best" for Kent Cigarettes, which previous to this show had "The Web" and an old film package in 40 markets. It is also servicing on film "I Married Joan," "Life of Riley," "Our Miss Brooks," half of "Four Star Psychology," and the General Cigar "Sports Special."
Five of McCann-Erickson's 10 shows are on film. New programming fodder includes half of "Halls of Ivy" for Nabisco, one-quarter of "The Adventures of Don Fodor," and "It's a Great Life" for Chrysler. Its established film shows are half of "Big Town" for Lever Brothers, and the nationally spot-booked "Death Valley Days" for Pacific Coast Borax.
Two of Dancer-Fitzgerald-Sample's four shows on film are serviced for General Mills. They are "Willie" and the "Lone Ranger." The other two shows are "The Vice," a new drama for Sterling Drugs, and "City Detective" for Falstaff Beer. J. Walter Thompson is handling "Norby," a new HiHi series for Esso-Rosco, and may eventually be nationally spot-booked, "My Little Margie" for Scott Tissue, "Ford Theater" for the Ford Motor Company, and one-half of "Four Star Playhouse" for a client new to network TV—Parker Pens.
Three With Three
The three agencies that handle three film shows each are Lennan & Newell, the Blore Agency and William Esty. Two of Blore's shows, "Public Defender" and "I Love Lucy," are owned by Philip Morris. Its third is "Tales of Tomorrow" for Evichow-Schick, which will be nationally spot-booked. Two of Esty's three films, Robert Cummings Show and "Topper," are owned by R. J. Reynolds. This is a small piece of the total which it services for General Mills, Lennan & Newell's three are "Playhouse of Stars" for Schlitz, one-half of Ray Bolger for Lehman and one-half Janet Dean, R.N., which is nationally spot-booked for Bromo-Seltzer.
Generally speaking the agencies such as Young & Rubicam and J. Walter Thompson, who like to control programs for their clients, tend to favor live over film shows. Film usually requires special talents that agencies' production staffs do not have, whereas a show goes to them the agency does not usually play as important a part in its development. Naturally, the more control over a program the agency has, the more it is doing for its client.
A good case in point is the Lux "Video Theater," which J. Walter Thompson fought successfully to keep from going on film. Gross-Kramer, the producer of "Big Town" for the same client, Lever Brothers, tried for years to persuade the client that the show would be better as a film property.
And so it is natural that most important agencies have more live than film shows. Film, however, gives such plus factors that in spite of opposition it has solidified its hold on TV programming. Indications are that it will continue to do so.
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BEHIND-SCENES PICTURE OF ABC POWER BATTLE
The real tip-off on the victory scored by President Bob Kintner of ABC in the behind the scenes struggle for pre-eminence at the web (see other story) was scarcely noticed by most observers. Out of the mass firings came several highly critical developments, all of which emphasize Kintner's boss-man status and, in fact, the pressure between the ABC and UPT factions is established on Kintner's terms.
Perhaps the real key was the naming of Harold Morgan as the top national officer of the company under Kintner, with complete responsibility for all financial matters. This is the second great test of strength revolving around Morgan, with Kintner himself scoring even more decisive a victory than six months ago.
At that time, the question of financial control had Morgan the candidate of the Kintner-Eld Noble-ABC forces, and opposed by Jason O'Briovite, who was put forward by the Leonard Goldstein-Robert H. O'Brien-UPT interest. Each group named its man named controller. Morgan not only got that title but a vice-presidency as well. Now he is upped again; so he will be at least on a par with whomever is named the new head of the TV web.
Kintner Announces It
Kintner himself announced this strategic triumph at the department head meeting this week (from which O'Brien, top UPT man in the web, was conspicuously absent and unmentioned) and stated, in effect, that Morgan now will become known as "that unpleasant bastard" who tells you what you can and can't do because of the money.
Under the new setup, also, UPT's Bob Weitman, the TV web program and talent veepee, now will report directly to the new head of the video network, who is apt to be named shortly. He can make no expenditures or talent commitments involving finances without the web chief's approval. Finally, Weitman no longer will have any involvement with the radio web's programming.
In the outline of functions of the top brass under the ABC new era, no mention at all was made of O'Brien, who set the NCAA pact for ABC.
JD Seeks Solution To Court Case Airings
WASHINGTON, Sept. 25.—The Justice Department is making an exhaustive study to see if recommendations should be made to the broadcasting industry for reforms in coverage of court proceedings.
This was disclosed after Atty. Gen. Herbert Brownell Jr. told the Federal Bar Association here last night (24) that his agency is examining all aspects of the problem of how to guard against unfair court coverage without abridging the press. Brownell said that the Justice Department will welcome "any and all suggestions from the press," including television and radio, for a sound and just solution to this problem."
Quall Named Quality Prexy
CINCINNATI, Sept. 25.—Ward L. Quall, vice-president and assistant general manager of the Crosley Broadcasting Corporation was elected president of the newly formed Quality Radio Group at the organization's first board meeting Monday (20).
W. H. Summerville, managing director of WLOL, New Orleans, was named vice-president, while William Wagner, of WHO, Des Moines, was named secretary-treasurer.
An executive vice-president and managing director, who will be a top man from the industry, will be named October 15 to head the New York office of the Quality Radio Group.
Du Mont Gridcasts Add Speedway Ad
NEW YORK, Sept. 25.—Du Mont this week sold another regional adverising on its pro football coverage. Senator Paul DeJoule of Detroit will co-sponsor with Goebel Brewing all but one of the Detroit Lions road games throughout the Michigan area.
It will also bankroll five other games. Speedway is the eighth advertiser riding the games this season.
Probe of Radio-TV Nets Faces Uncertain Fate in November Voting
WASHINGTON, Sept. 25.—The Senate Interstate and Foreign Commerce Committee's probe of radio-TV networks faces an uncertain fate in the November elections.
If Senate control is wrested from the GOP in the fall balloting, the networks might be headed by Sen. John W. Bricker (R., O.) will lose its original steam inasmuch as Bricker would be deposed as chairman of the Senate Interstate and Foreign Commerce Committee. However, the probe would not necessarily be sidetracked.
Bricker, who has sparkplugged the inquiry and has chosen the special staff now at work on the study, would be replaced by Sen. Warren G. Magnuson (D., Wash.) in a Democratic-controlled Senate.
This would not mean a fold-up of the inquiry, but rather a result in a change of pace and possibly some change in direction. Senator Magnuson, a Fair Deal Democrat, could, if he chose, give increased emphasis to the problem of UHF-VHF relationships. Setting the course in that direction might have the effect of shifting the focus from the question of whether or not the Federal Communications Commission's authority over networks should be strengthened as proposed by Senator Bricker.
Whether or not the Republicans regain Senate control, the study launched by the Senate Interstate and Foreign Commerce Committee under Chairman Bricker will stay alive at least until the end of January, and it probably will be extended beyond that if the staff report recommends hearings, as it is expected to do.
Kintner Emerges as Top Dog From Drastic ABC Reshuffle
Brass and Underlings Lopped Over Gridcast Loss Near $1,800,000
NEW YORK, Sept. 25. — The drastic reshuffle at ABC this week portends a new era at that network, in more ways than one.
The "old guard" was forced upon the web's brass by the pressure of the horrendous bath ABC has taken on the National Collegiate Athletic Association college gridcasts. However, the lopping of top executive positions (which will extend into the lowest echelons in other sections of the country in the next couple of weeks) will serve to wean out some dead wood which ultimately would have been forced to go anyway.
Perhaps most important of all, however, as the dust begins to settle, is the fact that, by freeing a position for the United Paramount Theaters faction in the ABC-UPT partnership, the final result finds President Bob Kintner sitting more firmly in the saddle than at any time since the merger became effective.
The blow-off was fused by ABC's anticipated loss of an estimated $1,800,000 on the NCAA titles, with the web believed realizing only about $300,000 from the late-rate deals it has made on the games, which cost it about $2,500,000. This loss, falling almost entirely on the fourth quarter, would wreak havoc upon the balance sheet financed as ABC on a calendar fiscal year which ends December 31, and would make the network's position for the full year seem far worse than, in fact, it actually is. The result is that fast action will be needed to counter this loss, and the axe has been falling in a broadcasting equivalent of the French terror.
Other Divisions
With the New York lay-offs now about ended, the Midwest and West Coast divisions next week are expected to contribute their share of scalps to the economy drive. The figures kept absolutely secretly to the TV web already are understood to have hit some 75 people, including many on the secretarial level.
This past Monday (20) was the day biggest brass carried got the bad news. The following day, department heads were gathered and instructed to cut various numbers of people, apparently on a proportionate basis. The names were to be supplied almost instantly.
Out of the holocaust has come a consolidation of the AM and TV webs' service departments, including advertising, publicity, research, business, etc., with considerable economies resulting. Significantly, the oxo stations and the AM web were relatively untouched. The radio network incidentally, is now reported operating slightly in the black.
Despite the severity of the cutbacks, the TV web is not expected to be able to show black ink in its year-end balance. Although substantial savings are effected, most of the top execs who were relieved of their portfolios face heavy severance checks coming. But the web's 1955 balance and operations both are expected to be much healthier, with the fat being cut off and a clear chain of command set up under Kintner, who now is the undisputed boss. (See accompanying box.)
Kintner Decision
The house-cleaning resulted mainly from a decision of Kintner himself to set the web house in order. Some of the axings were long anticipated, and were overdue in the interests of efficiency. Others, however, stemmed directly from the pressure for economy.
Among the top brass who were let out were: Alexander Monahan Jr., veepee in charge of the TV network; Charles Underhill, TV veepee in charge of programs; Charles Holden, assistant national director of TV programs; John Pacey, director of public relations and public affairs; Mitchell De Groot, manager of advertising and promotion; Donald Buck, director of operations for sales and station traffic; William Wylie, manager of the station relations department; Walter Tepper, chief accountant; William (Bud) Materna, assistant national sales manager; Bob Hamilton, manager of TV film services; Raphael Scoby, lawyer, and Sid Iannucci, business affairs exec. Jerome Harrison, hitherto Eastern TV sales manager, now becomes a salesman in the department.
The consolidated news and special events department is headed by veepee John Daly, with Tom Velozza as veepee and administrative officer. Bob Young, Western program chief, becomes director of the web's program department. Don Durgin, formerly director of TV web sales is now director of sales development and research for the AM and TV webs. Gene Accas, director of the AM web's sales promotion, heads the new advertising, promotion and publicity department for both AM and TV.
CBS, NBC Execs Say Web Radio Is Far From Dead
NEW YORK, Sept. 25.—Top execs at both CBS radio and NBC radio took issue with the analysis of a leading advertising agency that network radio is apt to reach the end of the road by 1956 (The Billboard, Sept. 18). The main point made by John Karol, vicepres in charge of network sales at CBS, is that radio has already taken three quarters of the blow from TV. The pill is alive and kicking. It is foolish to expect the networks to fold at this time he claims, when adjustments have been made which have strengthened their position.
Karol also maintained that the analysis of network-station affiliations was entirely incorrect. The agency exec maintained that the larger number of stations had begun broadcasting in 1947, but work affiliations had failed to keep proportionately increasing. The network sales chief stated that the aim of network affiliation was coverage. If there was sufficient coverage already existed, it would be foolish to add stations.
New Stations
Karol said that a majority of the outlets which have gone on the air since 1947 have gone to small markets already covered by many of the powerhouse stations affiliated with his network. And he cited the Quality Radio Group which intends to cover the country with 50 stations as an example of a network which did not aim for a large number of affiliations to do a good job.
Karol also said that radio has proved that it can deliver an audience at a low cost per thousand. The medium which does such a job for advertisers, he claimed, will survive only so network radio is secure. He also quarreled with the fact that the article stated the network line charges for year 1953-54 at $6,000,000. He stated that work line charges are $1,500,000.
William Fineshribar Jr., vicepres in charge of the NBC radio network, pointed to the revitalized program and programming as an indication of his network's meeting the challenge of TV. He pointed to NBC's leadership in developing sales patterns and programming concepts which have opened new and fruitful opportunities for network radio.
Fineshribar Stand
He said, "NBC's drive for revitalization of radio has continued not only to improve our position in the industry, but to stimulate the efforts of the competition. We must recognize that network radio is going through a period of transition. In seeking to bring the medium successfully thru this period, NBC started over a year ago to develop the new programming and selling practices which would meet not only today's needs, but the needs of the future.
"A fundamental re-adjustment is not accomplished overnight; but we believe that we are well on the way toward putting network radio on a basis that will attract advertising from a far broader range of clients and give us the revenue for maintenance of an adequate service.
"The new programming and sales concepts introduced by NBC in the fall of 1953 are gaining momentum daily. When we first presented the 'Fibber McGee and Molly' evening strip; created the Three Plan to provide morning, afternoon and evening network participation; produced a 'Wanderer' program for the contemporary of the Sunday newspaper; created 'Road Show' as the first network program designed specifically for the audience traveling in automobiles, and presented other network programs of particular interest to special segments of the audience, we knew that we were embarking on a new role for network radio.
Audience Reports
"We are gratified that our audience reports on the new programming have shown steady improvement and that the new sales concepts are meeting not only with increasing advertiser acceptance, but with the compliment of imitation by our competitors.
"The 'Fibber McGee and Molly' strip at night is now sold out, and the demand which has created this situation—eighteen participations on NBC—has led us to open up a new strip, 'The Great Gilder-sleeve,' which debuts this week at 10:15-10:30 p.m. back to back with 'Fibber.' Without waiting to wait several months for our first order in 'Fibber,' the pioneer program in this category, we began 'Gilder-sleeve' with a number of first orders already in hand.
"With NBC radio's prospect list increased manifold as a result of the new advertising opportunities we are offering, with our new programs winning new audiences for radio and with a schedule of long-time favorites—the strongest in network radio—we are just beginning to reap the fruits of these all-out efforts.
Support to Views
Support to the views of Karol and Fineshribar was given in a recent pamphlet written by Richard Doherty, broadcasting consultant. "What's Ahead for Radio?" as the pamphlet is titled, says that tho network ratings are running 20 per cent below 1953, by 1956 the webs will begin increasing their grosses.
"Having suffered severely from TV in 1948, network radio is undergoing a program structural change and will improve its attractiveness as a medium for national advertisers," the pamphlet states.
Dick Colburn, who recently was associated with the Chicago office of the Bolling Company, has joined Blair-TV as an account executive. He replaces Tom Turner, formerly with Cecil & Presbrey, who will join the Bovio Company as managing partner and group head effective January 1, 1955. Eugene Murarty has been named advertising and sales promotion manager for Boston Station WBZ-TV. Mr. Murarty came to WBZ after leaving the Navy where most recently he held the position of information officer for the Naval Air Station, South Weymouth, Mass.
Ed Boghosian has been upped to sales manager of WJAR, Providence, R.I. Vince Hostetter, producer, who was formerly on the staff of WBAP, San Antonio, Tex., has rejoined the station after having been with KKTV, Colorado Springs, Colo. Ralph Lowell, producer of "Frontier to Space" for Educational Television, New York Radio Center, will join the staff of WGBH-TV, Boston, as co-ordinator of TV and film production in October. Eileen Howard Nolan has joined the copy department of Anderson & Cairns.
Harry Le Brun, assistant general manager of WCPO-TV, Cincinnati Scripps-Howard station, has resigned that post to become assistant manager of the Crosley Broadcasting Company's WLW-TV, Cincinnati, effective October 1. Le Brun joined WCPO-TV in 1949. Announcement of Le Brun's shift came less than two weeks after the resignation of Bernie Bauer and Neal Van Ells, Crosley program executives.
TALENT NOTES
Lei Becker, Honolulu-born singer and dancer, who has appeared in New York's Hotel Lexington, recorded for RCA and been featured as Claude Thomhill's vocalist, has been signed by KGMB-TV, Honolulu, to appear regularly on the "Sunrise" show. . . . Charles Norwood, news commentator, with WNHC-TV, New Haven, Conn., has resigned to become director of news and special events for WGTH-TV, Hartford, Conn., which starts operations October 2. . . . Jeanne Baird, KEY-T's hostess, Santa Barbara, Calif., is vacationing in New York.
COST PER THOUSAND ON NBC SPECTACULAR SET AT $35.50
The first NBC color spectacular has caused furious sponsor turmoil, not only because of the higher rate which resulted, but even more because of the fantastically high $350,000 thousand which resulted. The $350,000 time and talent bill is reported to have made the Betty Hutton show one of the most expensive (to the sponsors) sales pitches to the public yet—estimated at $35.50 per thousand viewings.
The bankrollers involved (Hazel Bishop and Sunbeam) are understood to be pressuring the web to reduce future extravaganzas to one hour from the present 90-minute blueprint. This is deemed virtually impossible for the network to do, not only because of the results of the face, but because of commitments to affiliates for the time involved.
Record Rivalries
Another key bone of contention between the webs and the bankrollers was the lack of publicity the sponsors felt was put behind promotion of the music on the show. Some feeling exists that NBC was unable to go all out on its Betty Hutton preem pallapalloanza because the score had been recorded by Capitol, a rival to NBC's control firm RCA Victor. There was no publicity for such a mis-understanding, and Miss Hutton's "Lady in the Dark" star-turn, for Victor recorded the original album, which reportedly has been moving briskly from record dealers' shelves.
There are also sponsor complaints over what is deemed the web's egg-head attitude over what material should be used. An upcoming spec, for example, is planned to have nearly 10 minutes of ballet staged from the New York City Center.
NEW BIOW NAME STIRS UP SHIFTS
Biow, Beirn & Toigo Tag Marks Change In Accounts, Personnel Realignments
NEW YORK, Sept. 25.—The agency field this week took a number of seismic shocks. Milton Biow, that prominent of rugged individualists, recently has changed the name of his agency to Biow, Beirn and Toigo. It formerly was called the Biow Company, Inc.
And the $5,000,000 Bulova account moved out of Biow along with Terry Clyne. In its place the agency received the $1,700,000 Buick account, shepherded by Jack Treadway, who was a vicepres at Biow. He took the account from Cecil & Presbrey, where he was also a vicepres, and said to have made a good deal for himself in Biow which was willing to give up plenty to get the account.
As is obvious from the name change at Biow, all has not been peaceful and creases at that agency. The changes follow the sale of Philip Morris, Ltd., which recently brought the Cullman interests in, the loss of some small Procter & Gamble business, and the loss of the Bulova signally stressed and strains which were not present during the agency's early years.
The switch in names according to Biow, the tag is supposed to represent a further shifting of responsibility away from Milton Biow, who is not as young as he used to be, to the shoulders of Ken Beirn and Adolph Toigo, both top-flight execs. Also being accented is teamwork and co-operative ownership of the agency in an effort to meet the problems that the agency has had.
The advertising firm which is getting most of the beltin' is Cecil & Presbrey which just last Sunday lost its founder and board chair- man. This agency has lost one account and another recently, in several cases thru no fault of its own. And several years ago C.&P. took another body blow when Timex did not pay its bills, and the agency found itself in the hole for $300,000.
The Gardner Agency of St. Louis is another which received a rude shock recently, when a lash portion of theRalston-Purina account shifted to Guild, Bascom & Bonfigli, San Francisco. Gardner, however, retains some important Ralston products.
Cutex Verges On 3-Way Buy
NEW YORK, Sept. 25—Northam-Warren, manufacturer of Cutex, an advertiser new to network TV, this week was on the verge of purchasing $385,000 worth of "Today," "Tonight" and "Tonight" on NBC-TV. The client expects to order 39 participations in each of the three shows, and thus become a "Tonight" charter client.
"Tonight," incidentally, claims to have $385,000 in the house in orders even before it makes its debut on Monday (27). J. B. Mathes is the agency for Northam-Warren.
LAMPOONS IRK PUBLIC SERVANT
HARTFORD, Conn., Sept. 25.—Television, motion pictures and the legitimate stage are doing great harm "by lam-pooning public servants," according to Connecticut Congressman Thomas J. Dodd.
The Hartford Democrat told the New England State Employment Association meeting last week, that "this lampooning of government employees creates in the public an attitude of animosity, hostility and jealousy toward State employees." It not only lowers employees' morale, he asserted, but it discourages qualified persons from entering public service.
2ND YEAR ON BROADWAY
VICTOR BORGE
in his Fabulous One-Man Show
"COMEDY IN MUSIC"
WINNER ANNUAL SHUBERT FOUNDATION AWARD
IN RECOGNITION OF THE MOST OUTSTANDING INDIVIDUAL CONTRIBUTION TO THE NEW YORK THEATRICAL SEASON 1953-1954
JOHN GOLDEN THEATRE
WEST 45TH STREET
NEW YORK CITY
IN ALL THE WORLD NO SHOW LIKE THIS!
Finger Points at You!
Last week The Billboard noted that a minority of disk manufacturers were producing obscene rhythm and blues records to the detriment of the entire r.&b. field and the music industry generally. There is no fear for control from within, either, based by hostile legislative and censorship groups as advocated. Manufacturers, obviously, must exercise taste and propriety lest a small band undo in a brief, greedy moment the progress made by the field as a whole, with its great artists, creative artists and repertoire men and writers.
The moral responsibility does not rest solely with the record men. Stations, whose programming constitutes a vital promotional area for the r.&b. field, must be made aware of their obligation to exercise discrimination in their programming material. Disk jockeys and station librarians, as well as station management, are part of the picture, and utmost understanding and careful choice of material is implied in the station's license. In fact, negligent violation of the Radio Act's dictum that stations operate in the public "interest, convenience and necessity" may set up pressures of sufficient force to precipitate action by the Federal Communications Commission.
Station Responsibility
A licensee would be foolish to jeopardize his franchise. Yet, the station manager has no easy way out, and herein lies the true test of the station's responsibility and fitness as a licensee. A station which fails properly to weed out the junk in its program, which truly operates in the public interest—would realize that such a drastic step would be just as frivolous an interpretation of the Radio Act as the performance of obscene records.
The thriving condition of the r.&b. field derives from the intrinsic quality of its product, the lure of its exciting music, the craftsmanship of its R&B artists and the quality of its artists. Only the ignorant could deny this. Therefore, it is incumbent upon the station to play its part in the dissemination of this musical form, but the occasional distasteful disks must be weeded out. Wise, tempered judgment—one which eschews radical action—and the fully informed station manager will be able to do so.
In connection with this, it is necessary to realize that The Billboard's Best Selling charts are not necessarily a carte blanche programming recommendation. These charts reflect sales and cannot be tampered with. Stations using the charts should exercise judgment and eliminate from the programming disks which, in the station's opinion, do not qualify for home entertainment. Adherence to this principle will reduce to a minimum the number of such disks which enter the best-selling category.
Cap's October Drive to Stress Full-Line Sales
HOLLYWOOD, Sept. 25.—Capitol Records will continue to emphasize selling a full line in its October merchandising campaign, with its major objectives trained on specific single pop releases, a special country and western promotion, and new pop and classical albums.
Cap's drive to get dealers to sponsor individual hi-fi shows is being continued during October. Success of the program, titled "How to Put On a Hi-Fi Show," has cues additional requests for literature and information from Capitol branches and distributors.
The firm's pop single drive concerns itself with records in current release that have shown exceptional sales volume potential. Included among these are Stan Freberg's "Beep Beep," Frank Sinatra's "It Worries Me," Dean Martin's "Try Again," in addition to current releases by the Three Cheers, Les Baxter, Kay Starr, Ray Anthony, Les Paul and Mary Ford, and (Kitty) Cole.
Country and western promotion includes the distribution of a booklet containing photographs, biographies and discographies of every c.&w. artist under contract to Capitol. Booklet will be available to disk jockeys and distributors, and has been produced in sufficient quantities for redistribution to record companies.
New package goods includes the widely heralded adaptation of "The Rubaiyat of Omar Khayyam," by Harold Spina, with a narration by Jim Ameche, and the release of the first of the "Kenton Presents Jazz" series.
On the classical front, Capitol will tie in with the 15th anniversary of the Ballet Theatre with the release of two new LP's by the Ballet Theatre Orchestra, with Joseph Levine conducting. Albums will be promoted to coincide with the Ballet Theatre's tour, which kicks off October 28 at Kingston, N.Y., and continues thru May 3 of 1955. October classical release will feature the world introduction of baritone Robert Weede, a member of the Metropolitan and San Francisco Opera companies, via a package of Verdi arias.
Boost in Sacred Field
Religious Pubbers, Diskers Enjoy World-Wide Revivals
By JOEL FRIEDMAN
HOLLYWOOD, Sept. 25.—Music publishers and record manufacturers of hymns are currently experiencing a banner year, largely generated by renewed interest in religion throughout the world, according to Max Herman, president of the Fiesta Music Company and publisher of much of the Billy Graham music.
Tho the field racks up an insignificant volume when compared to that of its counterpart in the popular music business, it nevertheless has grown to tremendous proportions, so much so that many of the major platters and old line music publishers have taken considerable notice.
Despite the fact that the field is restricted to a few active firms, many new publishers and record manufacturers continue to spring up.
Traders point to the tremendous appeal, the acknowledged success of such troupes as Billy Graham and the interest generated in religion as a result of Graham's international tours.
In the recording field, the giants of the business are Singing and Bibletone Records, both a wholly owned subsidiary of Van Kampen Press of Wheaton, Ill.; Hugh Ed. Altona and Christian Faith labels; Earl Williams Gospel Records; Everett Anderson's International Sacred Records; Word Records of Waco, Tex., and Singingspiration, also of Wheaton, Ill.
District Policies
District policies of most of the firms are basically similar, though outlets handling religious articles. In some cases the firms have appointed field representatives in an effort to expand further the retail market potential.
Both Van Kampen Press and the Redeheaver Company are generally recognized as the kingpins of the publishers, with such established standards as "Jesus Christ Walk With Thee" and "Beyond the Sunset" in their catalogs. Max
(Continued on page 24)
Trade Views Off-Color Disk Situation With Mixed Feeling
NEW YORK, Sept. 25.—Mixed reactions were forthcoming this week from manufacturers, dealers, distributors and editors concerning the problem of off-color disks and what to do about them. There was general agreement in the trade that certain double entendre records were getting a big play and sales in the r.&b. field at present, but there was little agreement on what to do about it. And there was much concern as to what comprises an off-color or offensive disk, and how it was possible to separate a smart or clever platter from an obscene one.
Record manufacturers contacted felt that the only way to stop off-color records, in the r.&b., pop or country fields was for the manufacturers to police themselves. The r.&b. companies protested being singled out as manufacturers of obscene records, claiming that only a limited number of r.&b. records were off-color and that there were off-color records distributed in the pop and country fields.
Bess Berman
Bess Berman, of Apollo Records, said, "I never put out an off-color record, and I don't intend to start now. You can't condemn all record companies because there are two or three off-color disks on the market right now. There are pop records that are just as bad, too. Remember, all depends on the listener as to whether a record is clean or dirty, and if people want to interpret a song as being off-color, many records—in all fields—could be so called."
Hermina Laskinsky, of Savoy Records, said, "We will not knowingly manufacture any double entendre or suggestive records, even tho we may lose sales. There is too much good material on the market today without resorting to this type of suggestive material. There is nothing that will stop the playing of r.&b. records on pop stations more quickly than this type of double entendre records."
Atlantic Records execs, Ahmet Ertegun and Jerry Wexler, stated, "We endorse any movement against offensive content on records. We are proud to stand on our reputation for making carefully produced undiscriminable records. We have always felt that hit records can be made without resorting to off-color material, and we propose to stick to this rule."
"However, it strikes us as unfortunate that r.&b. records are singled out for censure at this time when instances of questionable material abound in the pop and country music fields as well." We do feel that, with the remarkable
(Continued on page 86)
FOR KIDDIES
Doll Pushes Patti Page's New Tune
NEW YORK, Sept. 25.—In a move to help strengthen Patti Page's already solid position in the children's market, her manager, Jack Rael, is merchandising a Patti Page Doll with the canary's new disk, "The Mama Doll Song." Manufactured by the Roberts Doll Company, it will be on the market in about two weeks.
Mercury and Joy Music merchandise the Arfie Dog with La Pup's best-seller, the 78 rpm disk "Dance in the Window" last year, but this will be the singer's first venture into the merchandising field herself.
The Doll will be available in several sizes, with prices ranging up to $9.98. Rael is setting up a special promotion campaign, calling for window displays in toy stores and record stores, and personal appearances by the singer. "Mama Doll" is published by the Page-Rael firm, Lear Music.
NBOA Renames Archer, Other Execs of Org
CHICAGO, Sept. 25.—Tom Archer, Des Moines, was re-elected president of the National Ballroom Operators' Association during the annual convention of the group in the Palmer House.
Also returned to office were Alice Hendricks, Indiana Roof, Indianapolis, vice president; Joe Malec, Peony Park, Omaha, treasurer, and Kirk Hayes, Ali Baba, Oakland, Calif., secretary. Thomas B. Roberts was retained as legal counsel, and Otto Weber was retained as managing secretary.
Newly elected members of the board of directors were: John Dissen, Casino, Hampton Beach, N.H., and Carl Braun, Commodore, Lowell, Mass. Others on the board are R. E. (Doc) Chinn, Crystal, Fargo, N.D.; Frank Decker, St. Paul Plaza, Coloma, Mich.; Sylvester Eden, Niagara, Appleton, Wis.; Jerry Jones, Rainbow Bandavado, Salt Lake City; Milt Magel, Castle Farm, Cincinnati; Lloyd Meyer, Aragon, Cleveland; and Morris S. Rosen, Chicago; Vic Sloan, Pla-Mor, Lisbon, Neb. and Jack Stoll, Danceland, Pittsburgh, Joe Malec and Alice Hendricks are also members of the board.
Last minute meetings covering licensing agreements, name band
(Continued on page 24)
Levy 'Birdland Stars' to Tour Jazz Routes; Gale for Booking
NEW YORK, Sept. 25.—A new jazz package, the "Birdland Stars of 1955," will hit the road next spring. It will be produced by Monday Levy, the famous jazz agent and will be backed partly by the owners of Birdland. The Gale Agency will handle the bookings.
This will make the third regular jazz unit to tour on a year-long series of one-nighter dates. The others are the pioneer of them all, Norman Granz's "Jazz at the Philharmonic" now out on its 14th season, and Stan Kenton's "Festival of Modern American Jazz" which is in its second year. The Granz show has always done well, and the Kenton unit racked up solid grosses last year.
The "Birdland Stars" show will play about 60 cities next spring and will be out for five to eight weeks according to present plans. It will play auditoriums, arenas, and concert halls, and will accent jazz singers and instrumentalists exclusively.
Levy has taken some flyers at jazz packages over the past two years, having put on jazz shows in both Boston and New York. The current unit will play Carnegie Hall here tonight (25) and the Boston Arena on Sunday (28).
Levy plans an elaborate name talent system as established by Birdland itself, and will star those people who have become favorites at the club.
The club, by the way, has a 45,000-person mailing list built up over five years, and those patrons will receive plenty of literature about the Birdland road unit. Levy said that Sarah Vaughan is already booked for the spring show, and that he will sign other strong stars over the winter.
Golden Roads
The addition of still another jazz one-nighter show indicates that the road still has the glitter and the need to offer those willing to go out and dig it.
This year, for example, there are more road units than at the same time last year, with the Granz TDP unit, the Kenton show, the Duke Ellington-Dave Brubeck Gerry Mulligan unit, and the Nat Cole-Buddy Johnson package.
The giant "Rhythm and Blues" unit is finishing its tour, and ready to start the latest "Biggest Show" which stars Billy Eckstine and Peggy Lee.
MISNOMERS' BLOOPERS CLUB
NEW YORK, Sept. 25.—Sol Goodman, of the Collegiate Music Store, Brooklyn, wants to start a bopper club for people who ask for records by names wrong or funny. For example, last week a customer asked him for a disk titled "You Gotta Shake Marilyn Monroe." The record he really wanted was "Shake, Rattle and Roll." Another customer puzzled Goodman with a request for "Sophie and Joe," which finally translated out into "Solfeggio."
Dealer Doings
JUST BROWSING
The WPGN, Philadelphia, disc jockey team of Grady and Hurst has opened a second record shop in Norristown, Pa. The boys' first shop is located in Philly. . . . Shirley Blumenthal, who runs a record store in Dayton, O., has signed a new recording artist Don Smith. . . . Mr. Schmidt, manager of the record-phone department of H. C. Prange, Green Bay, Wis., has increased pop sales markedly thru a tie-up with local WDZU disc jocky Bill Walters. Walters features on his show each Friday a list of the 20 most popular records, based on sales reports of local dealers. He also features (Stanley) Schmitz posts the list above his sales desk under the heading "Bill Walter's Top 20 Songs of the Week." Customers continually scan the list, says Schmidt, and we feel it has increased the sale of popular records at our store.
WANT FISHER
Tune Has All Hands In Dither
NEW YORK, Sept. 25.—One of the most unusual hassles over a seasonal ditty currently involves the Joy Music tune, "I Want Eddie Fisher for Christmas," which was recorded by Betty Hutton on the RCA Dot label. Final outcome now hinges on a meeting scheduled for next week between the Fisher's manager, Milton Blackstone, and a New Disk topper Arthur Shkinin.
The Blackstone position is that no permission was ever granted for the use of the Fisher name in the song. RCA Victor is reported to be unhappy about the song. Publisher George Joy, of course, is also unhappy. And in the middle is Shkinin who believes he has a hit on his hands but can't get it played in New York.
Currently, Joy's position is that "unless I get the blessings of everybody concerned, I'll wash my hands of the whole thing." He hasn't really published the song. There isn't even a lead sheet available.
Blackstone, thus far, is more positive than angry. Writers Joan Javits and Phil Springer now own a song which could break thru—if someone will only let it. As for Miss Johnson and her manager, Sam Lerner, and Caddie Charlie Greene, they're sure that the disk would be a hit which would push Miss Johnson right into stardom. They'd like to see the hack hit quickly, but don't mind the publicity.
Joy, meanwhile, has placed a restriction on the tune which prevents it from being aired in metropolitan New York. It is believed that many cities now have drawn plenty of audience reaction—particularly from the Fisher fan clubs. Clearance people at the American Society of Composers, Authors and Publishers call the Joy restriction "one of most unusual we've ever seen."
One problem which can not be settled in any management meeting is what is the female singer will think about the disk after Fisher marries movie star Debbie Reynolds.
Coral Disks Personal Appearance
HOLLYWOOD, Sept. 25. — Coral Records has embarked on the recording of a new series of package goods, basically tailored to cater to the man in his personal appearance habitations.
Already cut and on the market are the new Les Brown package, "Les Brown at the Palladium;" Lawrence Welk, who was recorded at the Aragon Ballroom here, and a fresh package titled "Jazz for G.I.'s," cut by Bob Thiele at Ft. Monmouth, N. J., recently.
The Les Brown package, two 15-inch LP's at a retail price of $3.98, is the most ambitious cut thus far by the Decal subsidiary, and marks the firm's debut into the high-ticket field.
Plans for the new series include the recording of other Coral artists at locations considered associated with these, and providing those locations technically meet specific standards.
Grande Ballroom Re-Opens in Det. Under New Head
DETROIT, Sept. 25. — The Grande Ballroom was reopened this week under the management of J. & K. Enterprises, Inc., headed by Albert Alberts and Joseph T. Corinella. Paul Strauburg, who operated the spot for a quarter century, has disposed of his interest because of serious injuries from an automobile accident.
The Grande, closed during the summer months, is now a site of a name band attraction at least once a month, starting off with Ralph Marterie on Monday, (27) plus local bands weekends. For the opening week, the spot will have Russ Weaver on Friday, Tony Currier on Saturday and Jimmie Stevenson on Sunday. In addition, a singing group, the Esquires, appeared as an added attraction with each of the acts.
The future policy remains open, depending on popular taste. Corinella, who also operates the Cornell Dance School, said. A weekly change of band is tentatively planned, with addition of one night a week for rhumba fans. Admission price policy will be $1.25 per person on all nights, not being upped when a name band is booked in.
Two Ballrooms Open in Conn.
HARTFORD, Conn., Sept. 25.—Connecticut ballrooms have resumed fall schedules with major changes, again using newspaper advertising in reminders to patrons that dance music is again available throughout the State.
Ralph Flanagan's orchestra replaced the Rita Ballroom, Bridgeport, Sunday (12), with J. R. Barry and associates planning to offer similar names on successive Sunday nights. Joey Zellis and Casa Ritz suggestion provide dance music on Saturday nights.
Hopes for the Aragon Ballroom, Hartford, were killed following announcement of the death of Miller & Miller, the Hartford owners, that the site is being converted to industrial use. Some years ago the old Capitol Amusement Park was located in the building.
The Cornell Brothers, operating Crystal Lake Ballroom, Rockville, are running dance music on a year-round schedule for the first time thru installation of more facilities and heating.
Sparks Gets Philly Magnecord Rights
NEW YORK, Sept. 25.—Magnecord, Inc., has concluded a deal with the J. H. Sparks Company, awarding the latter exclusive exchange rights to its background music plan in the Philadelphia area. It is also known that Magnecord is now close to finalizing a pact covering the New York territory.
The Sparks Company distributes Dictaphone machines. Its principals also run the Kayler Company, distributors of Coral and London Records in Philadelphia.
A Sensational New Recording!
HAJJI BABA
Words by NED WASHINGTON
Music by DIMITRI TIOMKIN
Recorded by:
NAT "King" COLE
Capitol #2949
as sung by NAT "King" COLE
In The Walter Wanger Production
The Adventures of HAJJI BABA
WARNER BROS. MUSIC DIVISION
REMICK MUSIC CORP. 488 MADISON AVE., NEW YORK 22, N.Y.
MODERNAIRES OBSERVE 14TH ANNIVERSARY
The Modernaires celebrated their 14th anniversary as a vocal group last week (23). The group, originally formed during the days of the Glenn Miller band as part of the Miller unit, has since continued to remain active in the music business. Of the original Modernaires, Paula Kelly and Hall Dickinson remain. Allan Colbon, Johnny Drake and Fran Scott all joined the Modernaires an interval shortly after the group's original launching. All have celebrated 12 years together. Modernaires are currently featured on the Bob Crosby CBS-TV network show and record for Coral Records.
VICTOR SHIFTS JOYCE ANDREWS TO GOTHAM...
Joyce Andrews, secretary to RCA Victor's West Coast artist and repertoire chief Harry Gerber, has been promoted to a post with the company's New York recording studio, working directly under assistant chief engineer Bill Miltenburg in Gotham. Miss Andrews left Sunday (28) and will assume her new position in New York this week.
CARIBBEAN CATALOG TO HANSEN
Charles Hansen Music has acquired the Caribbean Music catalog from publisher Joe Davis. The catalog, which contains close to 500 tunes of which 150 have been published, will be exploited thru the Eddy Music firm. Many of the tunes are in the Latin-American idiom. Hansen will push them in folios and on records.
CARL POST TO PREEM BACH MANUSCRIPT...
A rare Bach manuscript, now in the Memorial Library of Music at Stanford University, will be given its American premiere by pianist Carl Post, West Coast director of BMI's subsidiary, American Music Publishers. Permission to premiere the work was given to Post by Nathan van Patten, professor of Bibliography at Stanford, and by George T. Kelling, who presented the manuscript to the university library in recognition of the work being done by Post in the Baroque field of music. The suite, now being edited and transcribed by Post from its Baroque clef markings, is from an original manuscript, circa 1705.
WILLS' 2-YEAR MARK AT RIVERSIDE RANCHO...
Bob Wills' band racked up the best business in the last three years at the Riverside Rancho, Hollywood country and western dance palace, in pulling approximately 26,400 fans at the club during his stay and 2000 Friday night stick-up run. Marty Landau, operator of the Rancho, disclosed that plans are being made for an extensive tour of the West Coast, with the Wills band to be packaged along with a troupe of Western dancers. Wills stars in weekly television shows here this week via Station KCOP.
RCA DISTRIBUTES NEW CATALOG...
Distribution has begun of RCA Victor's new "Music America Loves Best" record catalog, a 240-page volume listing all available disks manufactured by the firm. Innovations this year include a new classical section with listings by title, a connoisseur section, and the identification of all couplings in multi-section Red Seal sets. Back cover of the catalog plugs "Lester's Digest."
LAWRENCE TO HANDLE BUTTONS' MUSIC...
Ellis Lawrence will handle the batoning chores for the forthcoming Red Buttons show which will bow on NBC next week. Lawrence has led the orch on the comic's program order since Burns started on TV. The man composed the music for Buttons' theme, "Strange Things Are Happening," and the ditty "Buttons' Bounce."
R. I. BALLROOM SKEDS NAMES...
Rhodes-on-the-Patuxet, ballroom at Cranston, R. I., is inaugurating its gala fall season of names with Vaughn Monroe today. Monroe will be followed by Bill Hawley and the Comets, the Gaylords, Alan Dale and others in October and November. Abe Feinberg, who books the spot, has also scheduled Wendy Herman, Ralph Flanagan, Budd Morrow and Ray Anthony for these months.
COPYRIGHT INSTITUTE TO MEET OCT. 4...
The Universal Copyright convention will come in for detailed discussion when the Copyright Institute of the Federal Bar Association of New York, New Jersey and Connecticut begins its annual round of weekly meetings in New York October 4. Charles B. Seton is chairman of the group which also numbers among its members other attorneys active in the music industry. Panel members leading the discussion will include Herman Finkelstein, of the American Society of Composers, Authors and Publishers, and Sydney M. Kaye, of Broadcast Music, Inc.
WILLIAMS, BARSKY HAVE NO TIES...
Joe Williams, Philadelphia one-stop operator, is not connected in any way with that city's disk distributor Ed Barsky. Any impression gained from a story in The Billboard last week that there was any association between the two firms other than that of buyer and seller would be erroneous.
BETTY JOHNSON SIGNED FOR ARNOLD TV...
Betty Johnson has been signed for the fem vocal spot on Eddy Arnold's new TV film series. Shooting on the musical movies starts next week in Chicago with Miss Johnson getting second billing followed by the Jordanaires, Hank Garland and Roy Wiggins. The camera will have a busy schedule for the next few weeks, since the series will be shot in Chicago on Fridays, and she has to be back in New York each week for the CBS radio Galen Drake show on Saturday mornings.
New York
Herman Lubinsky, Savoy Records' chief, has retained world wide rights (outside of United States) to the "Where Can You Be Best" master recently purchased by Pinky Herman. Herman sold the master to Long Records (The Billboard, September 25).
George Wallington and his String Quartet debuted this week at the Composer Room of the Park Chamber Hotel. . . . The Women's Choral Companion has selected Tony Bennett's Columbia recording of "Not as a Stranger" and "Madonna, Madonna" as the November record of the month.
RCA Victor Records has issued an LP featuring thrusts Chris Connor, now at Birdland, titled "Chris Connor Sings Lullabies of Birdland." . . . The Pete Rugolo urg, set for the "Biggest show," will break in at the Birdland here starting next week.
Peter Walters, featured pianist and organist at the Stonehenge Inn, Ridgefield, Conn., for the past six years, claims this week he will open at Playgover Room of the Westgate Restaurant, Westport.
Jesse Kaye, MGM Records West Coast representative, is in town for a week for huddles with Frank Walker. The diskery is rushing out a Bob Stewart disking of "Woman's World," theme ditty from the 20th Century movie of the same name. Details will follow the platter Monday (27). . . .
Betty Madigan will stop off for a two-day engagement at the Youngstown Police Association, Youngstown, O., October 2 and 3. . . . Alan Dean has moved his home from New York to Miami. . . . Mitzi Mason will play the Casa Sevilla in Long Island for three days beginning Friday (1). . . . Milton Karle is now handling dealings promotion for the Commanders in the East. . . . Nat (King) Cole is due at the Latin Casino, Philadelphia, October 21 for a week's stay. . . . A stop for Cole is the Copacabana. . . . Carol's artist and repertoire head, Bob Thiele, leaves for Chicago next week, where he will record the McGuire Sisters, who are playing a three-week date at the Chicago Theater. . . . Lee Eastman this week hired Jack Shiffman as general manager of his musical arms, Campbell Music and Wexler Music. . . . Ernie Garner will open a two-week engagement at the Rouge Lounge in Detroit on Tuesday (28). . . . Marshall Stearns will lecture at the New School here about this month on "The Role of Jazz in American Culture." . . . Gary Romero, of Arch Music and former manager of thrush Sunny Gale, settled his suit with the vocalist out of court recently for an undisclosed sum.
The Les Elgart band has organized a six-man instrumental unit within the band called "The Jazzniks," which it will feature on recordings and personal appearances. The Elgart crew moves into the new Jersey City (N. J.) Gardens spot October 5-10, and, after a one-shot substitution for Guy Lombardo at the Roosevelt on October 12, moves into the first of a series of one-nighters and college dates.
Longtime Connecticut resident Tony Pastor is joining the trend westward. He's selling his suite on West Hartford Avenue and plans to move the family to California. At present, Pastor's band is being featured in the Los Angeles Philharmonic.
Eddie Joe has signed Columbia Records' Val Valente to a personal management contract. . . . Eddy Gorne has been booked to play the State Theater, Hartford, Conn., above the Johnson Ray bill next weekend. . . . Steve Lawrence, now being managed by Ken Greengrass, has been signed by Coral Records. . . . The Roger King Mozian orch will open at Frank Dailey's Meadowbrook, Cedar Grove, N. J., on October 1.
RCA Victor picked up its option on singer Tony Travis last week, and immediately recorded four sides with Harry Geller conducting. Singer, a Dixieland discovery, first bowed 10 weeks ago via "Easier Said Than Done."
Chicago
Duke Ellington opens at the Blue Note Wednesday (39) for his fourth week. . . . Martha Gilbert, who manages Errol Garner and Billy Farrell, was in last week and reported Garner doing ropes-up business at Scalers in Milwaukee. . . . Bob (Colleterio) Lanz and wife are taking time off for a day cruise on a short hiatus from his deejay stint in Milwaukee. . . . Interesting situation in Chicago finds Ralph Sharon, Hamish Menzies, and George Shearing all playing here at the same time. The men all got their background with the Ted Heath band. . . . All of the local show-business unions and talent got together and are pooling efforts for the United Community Fund Drive here which will be televised over three out of the four local video stations.
Barbara Belle, manager of the Wilson Twins, Coral artists currently plugging their first swing, "I'm a Little Bit in Love," in town with the girls. The gals are here for rehearsals with the Olsen and Johnson orch which opens a four-month run at the Selwyn soon. . . . Gary Crosby, lately paired for the Decca label, is in town on the last leg of his deejay junket with Mike Connor of Decca. Gary returns to the West Coast and will begin studies at Stanford early next week. . . . Helen Gallagher, the Broadway musicals, is current at the Palmer House. . . . The Vagabonds open at the Chez Paree October 4.
Aaron Cushman, public relations firm, has added Odette Thomas to his staff. She is a former agent-promoter. . . . Danny O'Day, the rhythm deejay, began a new seven-nights-a-week show over WGN, from midnight to 1 a.m., Saturday (25). . . . The Pan-American Distributing Company, Decca's right now, has been passed by 17 State censor boards. However, so far there haven't been any takers on the score, altho they've talked to several artist and repertoire men.
NUDIST SCORE GOES BEGGING
NEW YORK, Sept. 25.—The producers of "Garden of Eden" (a new movie with a nudist colony background) were making the rounds of the major labels last week this week in an effort to get the picture's theme song, "Let's Go Sunnin'," recorded. The movie, running in Los Angeles right now, has had been passed by 17 State censor boards. However, so far there haven't been any takers on the score, altho they've talked to several artist and repertoire men.
Hollywood
Walter Scharf has been set by Donald O'Connor and Sidney Miller as arranger-conductor for the new O'Connor TV film series, "Here Comes Donald." . . . Mel Torme inked into the Golden Hotel, Reno, Nev., for two weeks starting September 22, following his bow at the South Seas, Honolulu. . . . Tony Pastor ork into the Hollywood Palladium for three weeks beginning September 25. . . . Jerry Colonna joined the Bob Hope troupe for the Studebaker workers' date in South Bend, Ind., last week-end. . . . Nelson Eddy returning to the cafe circuit, following Tony San Diego's break-in, and up to the Cave, Vancouver, B. C. He'll be joined in his act by chit Gale Sherwood. . . . Les Brown ork booked for a battle early next week when they play a combined double-bill billed "Modern Jazz Versus Symphony," against the Burbank Symphony Orchestra, at the Starlight Theater, October 2. . . . Three new tunes have been added to "It's Always Fair Weather" by Betty Comden and Adolph Green. . . . Balots were mailed last week to members of the Composers' Guild of America for their first election of officers. . . . Albert Marx, president of Trend Records, is leaving for the recording units for Gabby Hayes' French chanteuse. . . . Frankie Lane goes before the cameras this December in his Columbia film, "Exactly Like You." . . . Leo Robin and Julie London have added "The Room for Mr. Gloom" and "If He Doesn't See Eileen" to the Columbia flicker, "My Sister Eileen." . . . Trumper Shorty Rogers is completing his original "World Series" jazz score for RCA Victor. . . . Walter Jones has been offered the lead in the annual Macy's Thanksgiving Day parade at a reported cost to the department store of $35,000 for special floats. . . . Margie Rayburn guest shots on the Red Browning ABC show this week.
"FANNY"
from the fabulous Broadway musical "FANNY"
with words and music by HAROLD ROME 20/47-5871
A GREAT NEW EDDIE FISHER SONG...
Recorded in "New Orthophonic" High Fidelity Sound
RCA VICTOR
FIRST IN RECORDED MUSIC
Band Biz Co-Operation Looms
During the discussion to take a poll of the operators to determine their stand on window posters, and whether they should be cardboard or paper (which is more easily and less costly included as mailing items).
Advance Men
Probably the most constructive information concerning exploitation was brought up under a discussion of advance men for bands. Operators agreed wholeheartedly that an advance man is a definite asset. The advance man, in many cases can make disk jockeys, personalities, and TV guest shots, which always bring out the band's forthcoming appearance at the ballroom. This is especially true in those cities where the musicians' union forbids the band leader or musician to appear from making guest appearances on radio and TV.
Other topics covered during the open discussion were intermissions, piano conditions, dance tempos, public-address systems and admission prices.
A significant indication of things to come, and something that record company a.&r. men might well pay attention to, is the determination which was displayed by the participants of the open discussion. In fact, several of the band leaders, their managers and bookers indicated it was a shame that band a.&r. men were not in attendance. It was suggested, and will probably be put into effect next year, that band a.&r. men plus leading disk jockeys be among those invited to attend the NBOA convention as participants in the open discussion on the ballroom-band business.
Disks and DJs
Besides realizing that record companies can become a great asset in the current trend toward instrumental music and dance beats, the association and its visitors agreed that the disk jockey is probably the most potent single factor in the exploitation picture. A motion from the floor, which will be carried thru in the near future, suggested that a committee be formed to promote the business in general, and that the committee include among its membership, disc jockeys and trade press as well as the attending groups.
An area of new exploitation was discussed at the convention and will become a prime factor in the coming year's activities. The association, as well as other segments in attendance, showed great interest in the new and coming bands. In effect, the operators are going to peel their eyes toward the development of a youth movement. It seems the general feeling here is that new bands coming into the picture will not take jobs away from the already established units, but rather will add to the overall interest in music bands and dancing, and as such will in turn create new usage. The operators expressed hope that many of them in the future, if the band business picked up, could return to a six or seven-day week. By doing this there would be plenty of room for the new bands and still plenty of room for the current list of established units.
Some of the invited band leaders in attendance were Lee Brown, Woody Herman, Eddy Howard, Fred Dale, Leo Peepers, Whoopee John, Carl Hughes, Henry Charles, Leonard Behm, Leo Grecco, Tom Owens, Buddy Moreno, Larry Foster, Dan Belloc, Carl Schreiber, Harry Faith, Kenny Hofer, Arnold Lofeldtshenke (Six Plus Dutchmen) and others. Band managers in attendance were Howard Christenson of Jimmy Palmer; Harry Wisner, of Buddy Morrow; Lee Williams, National Orchestra Service; Vince Carbone, of Tommy and Jimmy Dorsey; Fred Bennett of Ray Anthony and Billy May, and Phil Rindone, of Roger King Mozan. Agency men in attendance were Jim Brevley, MCA; Fred Williams, ABC; Bob Elbert, GAC; Bill Barlow, Capitol; Bill Weigle, William Alexander; Howard Sineg, GAC; Johnny Palmer, GAC; Russ Faschine, Midway Artists, and Bill Black, McConkey.
Canadian Hi-Fi
Continued from page 18
The immediate and long-range prospects of the Canadian phonograph industry. It was said that until five years ago really wide-ranging or "hi-fi" reproducers were custom-built. Roberts said the new trend is toward the mass-production of very decent wide-range outlets by big commercial record companies, including his own.
At a meeting of dealers Roberts demonstrated two new medium-priced phonograph assemblies (both under $25 retail) now being manufactured for Compo by Stark Electronic Equipment of Ajax, Ont.
Roberts conceded that such equipment is frankly not intended to satisfy the requirements of the "fanatics." "Some of these folks," he added, "are more interested in noise than in music. We are going after the average moderate, middle-of-the-music fan who wants faithful sound reproduction in the home and can't afford a small fortune to get it."
Sacred Boost
Continued from page 19
Herman's Fiesta Music has steadily increased its catalog, and had the hit, "Each Step of the Way," that has sold more than 100,000 sheet copies since its release and notched four major records.
Leeds Music has gradually added to its catalog of hymnals, most successful of which was Stu Jenkins' "I Is Jesus." Leeds Hill & Range has also continued to grow in the field, with their "Peace in the Valley" a recent major hit. Whether thru design or coincidence, many of the field's songwriters come from background in the country and western field, among them Redd Harper, Tim Spencer, Cindy Walker, Stu Hamblen, George Beverly Shea and Ray Price. Other recent writers include Dr. Oswald J. Smith, Ralph Carmichael, Ira Stammphill, the Ackley Brothers, Thomas Dorsey, Ted Silva, Virgil and Blanche Evans, Jack Mickelson and Charles F. Weigle.
Hypo Xmas Plan
Continued from page 18
album by the Lionel Hampton Quartet.
Firm's subsidiary label, Norgran Records, will issue a series of five LP's marked by the first in a planned series of concert albums, titled "Jazz No. One" in addition to the likes of Chet O'Farrell, Stan Getz, Dizzy Gillespie and Louis Bellson. The Bellson package, titled "Journey Into Love," is an extensive story-music work penned by the drummer.
This week introduced the widely heralded Japanese pianist, Toshiko, whom he discovered on last year's JATP tour in Japan, via a 10-inch album on Norgran. Five 10-inch LP's and one 12-inch LP are included in the Norgran September 20 release and include wax by Benny Carter, Bud Powell, George Wallington, Buddy Rich, and Buddy DeFranco, latter the 12-inch LP.
Firm's Clef label also announced the availability of the first of a series of dance sides culled from its plush 850 album by Fred Astaire, issued a year ago.
Wallichs Says
Continued from page 19
many, Copenhagen and London. In addition, Cap affiliates and sales representatives of the other continental countries attended a series of similar meetings.
Wallichs was assisted in the tour by Bobby Weiss, Capitol's permanent European representative, stationed at Paris.
The Cap president viewed the European record market as that of an ever expanding one, with particular growing market potential for classics. "Virtually 80 percent of all music broadcast in Europe is of a classical nature," said Wallichs, "the popular records have made greater inroads with the young record buyers."
Wallichs is to be honored here Monday (27) in a Glenn Wallichs Day event commemorating groundbreaking ceremonies for Capitol's new building.
S. & S. to Publish
Continued from page 18
and stories featured on the Disney TV show.
S. & S. exec Arthur Shankin has renewed the firm's contract to produce Little Golden books and records on regular Walt Disney movie characters, which has been in effect for some time. The new pact runs for five years with options.
The continuing Disney TV show gives S. & S. exclusive rights on 25-cent and 35-cent records, and non-exclusive on 49-cent disks. The 49-cent platters will be a new product line, and first Shankin plans to package some Disney disks in sets of eight seven-inches, boxed in a special carrying case similar to that prepared for the company's new classical music series, "A Child's Introduction to the Orchestra."
The Little Golden Disney-TV records and books will be put on the market next January, but the timing has been set by that time the public will be thoroughly familiar with the show and any new Disney characters. The ABC-TV airer will be on film, and will combine animation with live-action footage, as does Disney's prize-winning nature series. The old Walt Disney cartoon characters—Mickey Mouse, Donald Duck, etc.—will be seen on the show, but Disney also plans to introduce new personalities—both animated and human.
Ads-on-Jukes Plan Okayed By MOA Group
LOS ANGELES, Sept. 25—Meeting of the California Music Merchants Association, Los Angeles division, here Tuesday (21) was highlighted by the disclosure that George A. Miller, president of the Los Angeles and Musicians Operators of America that a contract between the national operators' body and the Pantages Advertising Agency had been signed.
A gathering of approximately 80 operators heard talks by Miller, Redding, Frazee, Rogers, and James D'Arcy, latter executive director of the Los Angeles Restaurant and Drive-In Association.
The pact between MOA and Pantages gives the Pantages organization the exclusive right to distribute its juke box advertising plan thru MOA members. Pantages pointed out that the contract specifically states that the use of any advertising record is not compulsory, and that the decision to use them rests solely with the individual operator. In signing the pact, MOA officially endorsed the Pantages program.
Pantages told The Billboard that he plans on meeting with the heads of the various juke box manufacturers this week. Pantages is scheduled to leave here Wednesday (29) for meetings with Marshall Seeburg, of the J. P. Seeburg Company; John Haddock, AMI; and David C. Wurlola, Rock-Ola Manufacturing Corporation, and a representative of the Rudolph Wurlitzer firm.
Decca to Record Original Cast of 'On Your Toes'
NEW YORK, Sept. 25—Decca Records will re-record the cast with the original cast in the forthcoming Broadway revival of "On Your Toes." The new version of the Rodgers and Hart hit musical stars Shirley Van, Vera Zorina, and Elaine Stritch. The first version, back in the 1930's starred Ray Bolger.
The musical should touch off a lot of ruses by the majors since practically every label has an LP by somebody on the score in the file. M-G-M, of course, will probably bring out its sound track version of the show's most-popular tune, "So What's the Matter with 10th Avenue," as featured in the M-G-M's new biography of Rodgers and Hart, "Words and Music."
Miriam Stern
Continued from page 18
week to organize and put into operation SPA's Hollywood office, first branch of the association since its inception.
The man to head the West Coast SPA committee was veteran songwriter Ben Oakland, along with an 11-man board. Latter consists of writers Victor Young, Sidney Clare, Jerry Livingston, Joseph Alton, Harry Tobias, Donald Kahn, Jay Livingston, Sammie Cahn, M. K. Jerone, Harry Ruby and Wolfe Gilbert.
Earlier this week, Miss Stern testified before the Alameda County Grand Jury, along with Joseph Zerga, of Capitol Records, Inc., in an action that culminated in the indictment of three alleged song sharks. Named in the indictment were Karl Erickson and John LaBucked by "raggy" Gulley, signed by Decca's country and western chief, Paul Cohen, will have a disk out shortly—"Framed" with "Blue Moon of Kentucky" on the flip.
Gene Miller Heads V-M Corp.'s Ad, Sales Promotion
BENTON HARBOR, Mich. Sept. 25—The V-M Corporation has appointed Gene Miller advertising and sales promotion manager for the firm which manufactures hi-fi phonographs, record changers and tape recorders. The announcement was made by K. L. Bishop, general sales manager.
The appointment was the first step in a move to push the firm's advertising and promotional programs. The V-M ad campaign planned for next year is the biggest in the company's history, and includes media never before used by the firm.
...his FUNNIEST record yet!!!
STAN FREBERG
Shi-Boom
WIDE-SCREEN MAMA BLUES
Capital Record No. 2929
Capitol Records
The Billboard Music Popularity Charts
**Best Selling Popular Albums**
Albums are ranked in order of their national sales strength at the retail level, according to The Billboard's weekly survey of top dealers in all key markets.
**LP's**
1. **THE STUDENT PRINCE**—Mario Lanza . RCA Victor LM 1837
2. **MUSIC, MARTINIS AND MEMORIES**—Jackie Gleason . Capitol E 509
3. **SWING EASY**—Frank Sinatra . Capitol H 528
4. **MUSIC FOR LOVERS ONLY**—Jackie Gleason . Capitol H 352
5. **GLENN MILLER PLAYS SELECTIONS FROM "THE GLENN MILLER STORY"** . RCA Victor LPX 3037
6. **SEVEN BRIDES FOR SEVEN BROTHERS**—Sound Track . M-G-M C 244
7. **THE PAJAMA GAME**—Original Cast . Columbia ML 4840
8. **VOICES IN MODERN**—Four Freshmen . Capitol H 522
9. **THE GLENN MILLER STORY**—Sound Track . Decca DL 5519
10. **GONE WITH THE WIND**—Max Steiner . RCA Victor LPX 3225
11. **SOMETHING COOL**—June Christy . Capitol H 516
12. **ROSE MARIE**—Anne Blyth, Howard Keel . M-G-M C 229
13. **BING**—Bing Crosby . Decca DX 151
14. **TAWNY**—Jackie Gleason . Capitol H 471
15. **PARDON MY BLOOPER, VOL. I**—Kermit Schafer . Jubilee LP 2
**EP's**
1. **THE STUDENT PRINCE**—Mario Lanza . RCA Victor ERB 1837
2. **MUSIC, MARTINIS AND MEMORIES**—Jackie Gleason . Capitol EAP 509
3. **GLENN MILLER PLAYS SELECTIONS FROM "THE GLENN MILLER STORY"** . RCA Victor EPBX 3367
4. **SEVEN BRIDES FOR SEVEN BROTHERS**—Sound Track . M-G-M C 244
5. **SWING EASY**—Frank Sinatra . Capitol EBP 528
6. **MUSIC FOR LOVERS ONLY**—Jackie Gleason . Capitol EBP 352
7. **THE GLENN MILLER STORY**—Sound Track . Decca DL 2194-5
8. **VOICES IN MODERN**—Four Freshmen . Capitol EBP 522
9. **SOMETHING COOL**—June Christy . Capitol EBP 516
10. **ROSE MARIE**—Anne Blyth, Howard Keel . M-G-M C 229
11. **10th ANNIVERSARY ALBUM**—Nat (King) Cole . Capitol EAP 514
12. **THE PAJAMA GAME**—Original Cast . Columbia A 1098
13. **GONE WITH THE WIND**—Max Steiner . RCA Victor EPB 3227
14. **BING**—Bing Crosby . Decca ED 1700
15. **PARDON MY BLOOPER, VOL. I**—Kermit Schafer . Jubilee EP 5011
**Reviews and Ratings of New Classical Releases**
**THE BALLET (8-12")**—RCA Victor LM 6113 ........................................... 80
One of Victor's big push sets for the fall season is an album of ballet recordings, titled simply "The Ballet." It contains three LP platters, which hold nine important ballet scores. All but one of the recordings have been released previously but either have never been released before or the selections are new. "The Fire Bird" played by the Lopold Stokowski Symphony, "Dance of the Chimes" and "Divination in the Dance," played by Arturo Toscanini and the NBC Symphony. All of these works were released before the war, but also included "Les Patineurs" and "The Incredible Flutist" from the Boston Pops, and "Sylvia" and "Swan Lake" from the Vienna State Symphony under Pierre Monteux. These latter selections are actually performed by the orchestra, and the recording is excellent. The set is carefully packaged, and it contains a short history of ballet, a history of the musical ballet, a gallery of ballet terms and life-like photographs of working ballerinas. One could be some quibbling over the choice of the selections, but as a whole it is a first-rate package to set that anyone who enjoys ballet music on disk or records. The cover is especially striking. Dealers should sell this package fairly briskly during the next few months.
**DVORAK: SYMPHONY NO. 7 ("New World") (12")**—Philharmonia Orchestra; Alice Galliers, Cond. Angel 3518 ........................................... 74
Galliers' reading of this warhorse is a highly individual one with qualities that will allow it to compete successfully with other versions. The work now available on LP, barring the top two or three best discs perhaps. By depending, sometimes to a marked degree, from "modern" dux' conceptions of tempo and phrasing, Galliers gives a lighter, more fluid and dynamic cast to the work than a traditionalized work. Added pleasure is given by the superb sound of this recording, rich in detail and warm and full-bodied in tone.
**SIBELIUS: VIOLIN CONCERTO; SUK: FOUR PIECES, OP. 17 (12")**—Glenville Nelson, Violin; Jean Nepom, Piano; Philadelphia Orchestra; Eugene Ormandy, Cond. Angel 3518 ........................................... 73
Miss Nelson, winner of the first violin competition on the concert scene when she was killed in an airplane crash in 1949 which also claimed the lives of her accompanist Joseph Jones. Although only a handful of her recordings had been published here, her concert appearance. Statewide, was a great success and much followed. There are undoubtedly many record collectors who recall her musical and technical ability and wonder what might have been a permanent monument. The Sibelius, tho wanting a bit more in modern sound, is a beautiful performance, with a fine pair of poetry and bravura. The Suk pieces, including the "Burlesque" and "Burlesque Variations," are major sectional recitals. In all, a very attractive package for the discriminating collector.
**PIANO ENCORES (12")**—Badura-Skoda. Westminster WL 5277 ........................................... 73
With so many of the major works of Mozart, Beethoven, and Schubert under his belt, Badura-Skoda graciously submits a bit here and offers his many admirers a bonus in the form of piano recital encores. Liszt's "Liebestraum" and "Hungarian Rhapsody No. 2"; Chopin's 3rd and 7th Etudes; Schumann's "Prelude" and "Fantasie"; Schumann's "Moment Musical"; Brahms' "Rhapsody in G Minor"; and the Kaval "Toccata" are not especially essential on any list, but offer the virtuoso a full measure of old-fashioned showmanship. The Badura-Skoda piano is a fine instrument, but manacured, but always clearly expressed and presented with a natural, easy swing and technical finish. Here he is favored with a sound that does full justice to his beautiful tone and control of dynamics.
**CHAUSSON: POEME; DERUSO: SONATA; RAVEL: MAURICE RAVEL (12")**—Glenville Nelson; Violin; Jean Nepom, Piano; Philharmonia Orchestra; Eugene Ormandy, Cond. Angel 3518 ........................................... 73
Another Neumei memorial album, its sales should follow closely the one including the Sibelius Concerto. The Debussy Poeme reading is perhaps the most satisfying on record. Miss Nelson injects new life in the overworked Chausson. Another "find" for knowing collectors.
**SYMPHONY OF THE AIR . . .**
90 some musicians gathered at Carnegie Hall Tuesday night (21) for the premiere of a symphony on record. The men were all members of the former NBC Symphony Orchestra, and their purpose was to produce an LP to help dramatize their flight to re-establish themselves as the "Symphony of the Air" (The Billboard, September 25).
What was strange in the process was how little was the lack of any conductor. Such things have been done before, but never with any group larger than a relatively small chamber orchestra. Frankly, this occasion expected the whole thing to fall apart. It was impossible that they could stay together and play precisely enough for an acceptable performance.
But the many years of training under Arturo Toscanini and other conductors had instilled a discipline and unity of purpose that carried them thru the "Nutcracker Suite," "Roman Carnival" and "Meisterseinger Overture" with a minimum of retakes. All that was necessary was a departure from conductor-arranger Daniel Guillet and an occasional toss of the head to its a rhythmic variation.
On the podium was a tape machine and speaker for playback. Recording supervisor David Samuels, a musician with the orchestra and a designer of hi-fi amplifiers. Cover tapes were made by a crew from Livingston Electronics, who also recorded the performances. No plans for issuing disks or tapes in the latter form have yet been made.
In another move to help finance the orchestra's revival, first-chair violinist Ernest Vardi has conducted an all-Bach concert at New York's Kaufmann Auditorium October 10, with the net proceeds to go to the Symphony Foundation of America, just formed by ork members.
**FUTURES . . .**
Epic has a new "Pictures at an Exhibition," with the Moussorgsky suite played by pianist Alexander Uninsky. The label, Westminster will make its "Sabbath in the Synagogue" album available for general sale next month. Until now the single has sold exclusively through Jewish music stores. The new price will be $21. . . . In October RCA Victor will release a recording of William Fallik's "La Nide Breve." The two-disc set, which features soprano Victoria de Los Angeles, was cut in Spain.
Columbia has in preparation for early release a hit demonstration record, to be issued by High Fidelity. It includes an original work by Morton Gould, "Showpiece for Orchestra," commissioned by the disky. Performance is by the Philadelphia Orchestra under Eugene Ormandy. RCA is working on a new 16x package containing 12 concerto by Giuseppe Torelli. Notes and format will be in the style set by the Vox Corelli and Vivaldi library editions. A premium price will be asked.
**AN EPIC MOVE . . .**
Despite intense publicity which surrounded forthcoming Columbia LP's by the Concertgebouw Orchestra of Amsterdam, a change in policy will see the sets put out on the Epic label. The switch could be the most significant change to the Epic line since the ork cut by Philips in Europe, is due to launch its first American tour early in October. Under its conductors, Eduard Van Beinum and Raphael Wallfisch, the ork will make appearances in less than two months.
The initial Epic-Concertgebouw release includes a reading of Schumann's "Rhenish" Symphony, with another disk to hold a pair of contemporary Dutch works.
**RICHARD HAYMAN CONDUCTS HIS OWN COMPOSITIONS . . .**
Mercury MG 25190
Triple-threat arranger Richard Hayman has a considerable following and this LP should please his fans on all counts. The harpsichord virtuoso was the orchestrator and conductor of eight lush instrumental in the album. Compositions include "Huckster's Funeral March," "A Serenade to a Lost Love," "No Strings Attached," "Valse d'Amour," "Skiping Jack," "The Blue Danube," and "The Needles." Needless to say, the LP also makes an ideal mood-music package.
**SOFT MOODS WITH TEDDY WILSON . . .**
Clef MGC 156
This is the label's second Wilson album and, again, it's a swaying collection of standard tunes played in the typical Wilson fashion. He should please a wide variety of jazz fans. He's one of the few old-time jazz pianists who has retained his popularity with the times. Selections with backing by Arvell Shaw on bass and Gene Ward on drums include "Air Mail Special," "Night and Day," "East of the Sun," "Autumn Leaves," "You've Got to Go," and "My Head." Good packaging and recording, too.
**HYMNS OF HOPE AND INSPIRATION . . .**
MGM GEM 100
Heavenly HRL 100
Penny Olsen, who with her spouse Johnny Olsen has been featured on several previous Gospel LP's, leads the debate here with a selection of favorite hymns. She sings most of these hymns over the radio program, "Johnny Olsen Show." The thrice-harmonized "Amazing Grace" is particularly effective. The colorful jacket art—depicting a surrealistic air surrounded by pastel-hued butterflies, and occasionally a bird soaring high in the clouds over a headless torso—may be a sales-plus.
**REVIEWS AND RATINGS OF NEW POPULAR ALBUMS**
**BLUES IN FASHION . . .**
Mercury Washington (1-EP) M-13265
The "Queen of the Blues" in four outstanding selections that will be available as singles a few weeks ago. "My Man" is a remake in Miss King's "I Like Me Like I Wanna Cry" and "Half As Much." With these two not all blues, all added with a bit of rhythm. Miss Washington's highly individual art, however, cannot be easily captured on record, and is primarily in the r.a.b., pop and jazz fields. An appeal to the record buying customers in each of these areas can be easily approached with this attractive EP.
**EMBRASSE . . .**
Mercury Washington (1-EP) M-1322
The "Queen of the Blues" in four outstanding selections that will be available as singles a few weeks ago. "My Man" is a remake in Miss King's "I Like Me Like I Wanna Cry" and "Half As Much." With these two not all blues, all added with a bit of rhythm. Miss Washington's highly individual art, however, cannot be easily captured on record, and is primarily in the r.a.b., pop and jazz fields. An appeal to the record buying customers in each of these areas can be easily approached with this attractive EP.
**PARIS: MIDNIGHT TO DAWN . . .**
Epic M-13265
Lilian Stroh String Orks (1-10") Vox VX 690
For late evening listening, Vox has come up with an attractive package of six selections of eight romantic instrumental selections that will be available as singles a few weeks ago. Patricia Chuncho, included are the popular Charles Trenet songs "Boogie Woogie," "La Mer," "Quoi Qu'il Faut," "Quoi Qu'il Fait," "Aimer," "Come On Je T'Aime," "Papay," "Serenade Pour Paris," and other tunes that soothe the ear and stir up old memories. The ensemble is a light, pleasing sound that would make for enjoyable relaxed dancing.
**JAZZ**
**MUTT CAREY PLAYS THE BLUES . . .**
West-Hendrix (1-10") RHL 1042
Once again the label has come thru with a fine set featuring two outstanding jazz artists of the 1920's who have been unaccountably neglected by the disc jockeys. Carey, a fine New Orleans trumpeter and Huey "Horn" Smith, a bright brush in the tradition of Bessie Smith and Muddy Waters, are heard together for the first time. The group of recordings made by Rud Blesh in the 1940's and newly pressed for the first time, the traditional jazz tunes will get a thrill from Carey's muted trumpet and Huey's Hotchkiss inspired swing, while "Blue Blues," "Go Down Sunshine" and "Nobody Knows You When You're Down and Out."
**GEORGIA GIBBS . . .**
Mercury M-13241
Georgia Gibbs applies her rich fach wobble talents to four ballads on this EP, with "The Bridge of Sighs" and "It Ain't Always" sounding nicely, although it is doubtful that her vocalizing will satisfy any quizzical ears disturbed gospel singers. Selections include "The Old Rugged Cross," "I'll Fly Away," "The Look of Love," "It Is So Secret," "In the Garden," and "Mansion Over the Hilltop."
COUNT YOUR BLESSINGS
Irving Berlin’s latest from the forthcoming film
WHITE CHRISTMAS
20/47-5871
A GREAT NEW
EDDIE FISHER
SONG...
Recorded in “New Orthophonic” High Fidelity Sound
RCA Victor
FIRST IN RECORDED MUSIC
The Billboard Music Popularity Charts
THE MUSIC INDUSTRY'S MOST COMPLETE GUIDE TO THE ACTUAL AND POTENTIAL SALE OF TUNES AND RECORDS IN ALL CATEGORIES
**Talent Corner**
Anytime a new artist or group gets into the best-seller lists the record industry can look forward to those extra record and disk sales which bring in customers not seen at record counters very often. And when such new talent manages to follow their first click with additional strong items, the industry revels in the thoughts of another consistent traffic puller being added to the business.
Right now it looks as if Coral Records has found some of that wonderful new disk talent. For the McGuire Sisters have come thru again with a "Best Buy" item which looks as if it's headed for the charts. It's "Muskrat Ramble."
**HONOR ROLL OF HITS**
The Nation's Top Tunes
For survey week ending September 22
| Rank | Title | Artist/Composer | Publisher | Best Selling Records | Other Records Available |
|------|------------------------------|----------------------------------|--------------------|----------------------|-------------------------|
| 1 | Hey, There | Adler-Jerry Ross | Frank (ASCAP) | R. Clooney, Col 40266; S. Davis Jr., Dec 39199 | R. Martirre, Mercury 70432; Four Lads, Col 40306; Bulawayo Sweet Rhythm Boys, London 1491 |
| 2 | Skokiaan | Unknown | Shapiro-Bernstein | R. Martirre, Mercury 70432; Four Lads, Col 40306; Bulawayo Sweet Rhythm Boys, London 1491 | R. Athonyny, Cap 2896; L. Armstrong, Dec 29256; T. Heath, London 1500; J. Hodges, Norgar 124; B. Isaacs, V 20-5844; Johnston Bros., London 1580; J. Loco, Tico 229; P. Prado, V 20-5839 |
| 3 | Sh-Boom | Unknown | Hill & Range (BMI)| Crew Cuts, Mercury 70404; Chords, Cat 104 | L. McAuliffe, Col; B. Williams, Coral 61212; B. Williamson, V 20-5799 |
| 4 | This Ole House | Stuart Hamblen | Hamblen (BMI) | Rex Allen, Winstar, Dec 29254; T. Hamblen, V 20-5739; Herb and Kay, King 1376; Jordanaires, Cap 2914; Sister Rosetta Tharpe, Col 40255 | V. Young, Dec 29203; L. Baxter, Cap 2845; L. Holmes, M-G-M 11671 |
| 5 | High and the Mighty | Neil Washington and Dimitri Tomkin | Witmark (ASCAP) | V. Young, Dec 29203; L. Baxter, Cap 2845; L. Holmes, M-G-M 11671 | G. Auld, Coral 61205; J. Desmond, Coral 61204; L. Darnell, V 20-5838; R. Hayman, Mercury 70428; J. Loco, Tico 229; P. Prado, V 20-5839; D. Tomkin, Coral 61211 |
| 6 | If I Give My Heart to You | Jimmy Crane, Jimmy Baxter, Al Jacobs | Miller (ASCAP) | D. Lor, Major 27; Doris Day, Col 40300 | C. Bowell, Dec 29148; B. Greco, Coral 61236; M. Lewis, Cap 2686; J. Rogers, Mercury 70451; D. Shore, V 20-5838; Wright Brothers, M-G-M 11776 |
| 7 | I Need You Now | Jimmie Crane and Al Jacobs | Miller (ASCAP) | E. Fisher, V 20-5830 | |
| 8 | Little Shoemaker | Rudl Revil, George Parment, John Turner | Bourne (ASCAP) | R. Allen, Dec 29168; Belmont Ott, Col 40283; R. Flanagan, V 20-5803; D. Glenn, V 20-5798; K. Griffin, Col 40271; Porter Wagoner, Cap 2984; Mariners, Col 40271; Orioles, Jubilee 5124; N. Riddle, Cap 2846; F. Young, Cap 2859 | |
| 9 | In the Chapel in the Moonlight | Billy Hill | Shapiro-Bernstein (ASCAP) | K. Kallen, Dec 29130 | R. Allen, Dec 29168; Belmont Ott, Col 40283; R. Flanagan, V 20-5803; D. Glenn, V 20-5798; K. Griffin, Col 40271; Porter Wagoner, Cap 2984; Mariners, Col 40271; Orioles, Jubilee 5124; N. Riddle, Cap 2846; F. Young, Cap 2859 |
| 10 | They Were Doing the Mambo | Don Raye, Sammy Burke | Mayfair (ASCAP) | V. Monroy, V 20-5767 | L. Brown, Coral 61222; Esquire Trio, Coast 9005; J. Liggins, Mercury 70440; B. Wayne, Mercury 70401; T. Williams, Dec 29202 |
**Best Selling Sheet Music**
Tunes are ranked in order of their current national selling importance at the sheet music jobber level.
| Rank | Title | Artist/Composer | Publisher | Weeks on Chart |
|------|------------------------------|----------------------------------|--------------------|----------------|
| 1 | High and the Mighty | Winstar | | 9 |
| 2 | Hey There | Frank | | 11 |
| 3 | Little Shoemaker | Hamblen | | 6 |
| 4 | If I Give My Heart to You | Miller | | 4 |
| 5 | This Ole House | Hill & Range | | 5 |
| 6 | Skokiaan | Shapiro-Bernstein | | 7 |
| 7 | In the Chapel in the Moonlight | Shapiro-Bernstein | | 3 |
| 8 | I Need You Now | Bourne | | 10 |
| 9 | Little Shoemaker | Hill & Range | | 8 |
| 10 | They Were Doing the Mambo | Mayfair | | 12 |
| 11 | Little Things Mean a Lot | Feist | | 13 |
| 12 | Goodnight, Sweetheart, Goodnight | Arc | | 9 |
| 13 | Hold My Hand | Raphael | | 14 |
| 14 | Happy Wanderer | Fox | | 20 |
| 15 | I'm a Fool to Care | Feist | | 7 |
| 16 | Smile | Bourne | | 15 |
| 17 | What a Dream | Berkshire | | 16 |
| 18 | Cara Mia | Feist | | 19 |
| 19 | Oop Shoop | Flair | | 1 |
| 20 | I Cried | Meadowbrook | | 20 |
**Second Ten**
| Rank | Title | Artist/Composer | Publisher | Weeks on Chart |
|------|------------------------------|----------------------------------|--------------------|----------------|
| 11 | HOLD MY HAND | Raphael | | 14 |
| 12 | LITTLE THINGS MEAN A LOT | Feist | | 12 |
| 13 | I'M A FOOL TO CARE | Peer (BMI) | | 13 |
| 14 | GOODNIGHT, SWEETHEART, GOODNIGHT | Arc | | 10 |
| 15 | SHAKE, RATTLE AND ROLL | Arc (BMI) | | 17 |
| 16 | SMILE | Bourne | | 15 |
| 17 | WHAT A DREAM | Berkshire | | 16 |
| 18 | CARA MIA | Feist | | 19 |
| 19 | OOP SHOOP | Flair | | 1 |
| 20 | I CRIED | Meadowbrook | | 20 |
**England's Top Twenty**
Based on cabled reports from England's top music jobbers, American publishers are in bold print is in parentheses. Asterisk indicates no American publisher.
| Rank | Title | Artist/Composer | Publisher |
|------|------------------------------|----------------------------------|--------------------|
| 41 | Story of Tins—Macmoldos (Maurice) | My Friend (Patton) | |
| 42 | Gilly Gilly Ousenfeffer—Katzellen Bogen by the Sea—Spier (Beaver) | | |
| 43 | Little Shoemaker—Bourne (Bourne) | | |
| 44 | Happy Wanderer—Bouxworth (Fox) | | |
| 45 | Never Never Land—Keith Prowse Co., Ltd. | | |
| 46 | Skyblue and a Rainbow Tie—Lawrence Wright (?) | | |
| 47 | West of Zanzibar—Jumbo (Bluebird) | | |
| 48 | Wanton—Harley Connelly (Winnick) | | |
| 49 | Secret Love—Herman (Remick) | | |
| 50 | Young at Heart—Victoria (Sunbeam) | | |
| 51 | Heart Is My Heart—Frank Day (Robbins) | | |
| 52 | Roll My Baby—Bradford Wood (Mayfield) | | |
| 53 | There Must Be a Reason—Campbell, Connolly (April & Cromwell) | | |
| 54 | Idle Gossip—Bron (Rod Evans) | | |
**INDEX TO CHARTS**
- Popular Records, Singles . . . 32
- Packaged Records, Popular . . . 26
- Packaged Records, Classical . . . 26
- Country & Western . . . 26
- Rhythm & Blues . . . 44
- Other Categories . . . 45
PERRY COMO
THE THINGS I DIDN'T DO
words and music by FRED JAY, IRVING REID and IRA KOSLOFF
20/47-5837
RCA Victor
FIRST IN RECORDED MUSIC
"His Master's Voice"
www.americanradiohistory.com
"Goddard Lieberson's astute devotion to the best works of our musical stage has already sparked revivals of 'Pal Joey' and 'Porgy and Bess' through brilliantly conceived recordings for Columbia which created a demand for the live thing; if his work on behalf of 'On Your Toes' yields a similar dividend, both the public and R. Rodgers should regard him affectionately."
Irving Kolodin, Saturday Review
Another NEW HAVEN for Show Business
More and more, openings on Columbia Records mean a hit on Broadway!
PAL JOEY
FIRST
Columbia's successful PAL JOEY album sparked a sensational new Broadway production of the show.
PORGY AND BESS
THEN
Columbia's complete performance of PORGY AND BESS led to its fabulous New York revival.
BANDWAGON
AGAIN
Columbia's rollicking recording of THE BANDWAGON was followed by MGM's production for the screen.
NOW
ANOTHER COLUMBIA RECORDS PRODUCTION HAS DONE IT . . .
ON YOUR TOES
TODAY A COLUMBIA HIT --- NEXT MONTH* A BROADWAY HIT!
*OCTOBER 11
Demand for this great Columbia show album will soon be greater than ever. Check your stock and reorder now! ML 4645
COLUMBIA RECORDS
The complete show produced for records by Goddard Lieberson—on one 12" (LP).
Always recommend Columbia Needles
"Columbia," @ Trade-marks Reg. U. S. Pat. Off. Marks Registered
www.americanradiohistory.com
A picture is worth ten thousand words to your customers!
ARTHUR GODFREY
COUNT YOUR BLESSINGS INSTEAD OF SHEEP
from "White Christmas"
b/w LAZY BONES
Orchestra under the direction of Will Roland
40321 • 4-40321
MARION MARLOWE
WHITHER THOU GOEST
b/w KISS ME ONCE
Orchestra under the direction of Will Roland
40315 • 4-40315
COLUMBIA RECORDS
"Copyrighted material"
### Best Sellers in Stores
For survey week ending September 22
**RECORDS are ranked in order of their current national sales importance at the retail level. Results are based on The Billboard's weekly survey among the nation's top volume record dealers representing every important market area. The reverse side of each record is also listed. When a record has been re-issued, parentheses after the flip title it indicates what position it occupies on the chart.**
| Rank | Title | Artist/Composer | Label | Weeks on Chart |
|------|--------------------------------------------|-----------------|-------|----------------|
| 1 | HEY, THERE—R. Clooney | This Ole House | Col 40266—ASCAP | 12 |
| 2 | SH-BOOM—Crew Cuts | I Spoke Too Soon | Mercury 70404—BMI | 13 |
| 3 | SKOKIAAN—R. Marterie | Crazy 'Bout Lollipop | Mercury 70432—ASCAP | 6 |
| 4 | THIS OLE HOUSE—R. Clooney | Hey, There—Col 40266—BMI | 9 |
| 5 | I NEED YOU NOW—E. Fisher | Heaven Was Never Like This—V 20-5830—ASCAP | 5 |
| 6 | HOLD MY HAND—D. Cornell | I'm Blessed—Coral 61206—ASCAP | 4 |
| 7 | IF I GIVE MY HEART TO YOU—Doris Day | Anyone Can Fall in Love—Col 40300—ASCAP | 4 |
| 8 | LITTLE SHOEMAKER—Gaylords | Mecque, Mecque—Mercury 70403—ASCAP | 14 |
| 9 | SHAKE, RATTLE AND ROLL—B. Haley | ABC Boogie—Dec 29294—BMI | 7 |
| 10 | HIGH AND THE MIGHTY—V. Young | Moonlight and Roses—Dec 29203—ASCAP | 9 |
| 11 | SKOKIAAN—Four Lads | Why Should I Love You?—Col 40306—ASCAP | 5 |
| 12 | IN THE CHAPEL IN THE MOONLIGHT—K. Kallen | Take Everything But You—Dec 29130—ASCAP | 12 |
| 13 | CARA MIA—D. Whitfield | How, When or Where?—London 1486—ASCAP | 7 |
| 14 | THEY WERE DOING THE MAMBO—V. Monroe | Mister Sandman—V 20-5767—ASCAP | 9 |
| 15 | LITTLE THINGS MEAN A LOT—K. Kallen | I Don't Think You Love Me Anymore—Dec 29037—ASCAP | 25 |
| 16 | HIGH AND THE MIGHTY—L. Baxter | More Love Than Your Love—Cap 2845—ASCAP | 10 |
| 17 | IF I GIVE MY HEART TO YOU—D. Lor | Hello Darling—Majar 27—ASCAP | 5 |
| 18 | HIGH AND THE MIGHTY—L. Holmes | Lisa—M-G-M 11761—ASCAP | 10 |
| 19 | OOP SHOOP—Crew Cuts | Do Me Good Baby—Mercury 70443—BMI | 2 |
| 20 | I'M A FOOL TO CARE—L. Paul-M. Ford | Auctioneer—Cap 2839—BMI | 12 |
| 21 | SMILE—Nat (King) Cole | It's Crazy—Cap 2897—ASCAP | 2 |
| 22 | SKOKIAAN—Bulawayo Sweet Rhythm Boys | in the Mood—London 1491—ASCAP | 6 |
| 23 | WHAT A DREAM—P. Page | I Cried—Mercury 70416—BMI | 8 |
| 24 | SKOKIAAN—R. Anthony | Say Hey—Cap 2896—ASCAP | 2 |
| 25 | HEY, THERE—S. Davis Jr. | And This Is My Beloved—Dec 29199—ASCAP | 7 |
| 26 | SH-BOOM—Chords | Little Maiden—Cat 104—BMI | 13 |
| 27 | SWAY—D. Martin | Money Burns a Hole in My Pocket—Cap 28184—BMI | 10 |
| 28 | MOOD INDIGO—N. Petty Trio | Petty's Little Polka—X 0949—ASCAP | 3 |
| 29 | ST. LOUIS BLUES MAMBO—R. Malbity | Beloved, Be True—X 0042—ASCAP | 1 |
| 30 | PAPA LOVES MAMBO—P. Como | Things I Didn't Do—V 20-5857—ASCAP | 1 |
### This Week’s Best Buys
According to sales reports in key markets, the following recent releases are recommended for extra profits:
"NOT AS A STRANGER" (Northern, ASCAP). A previous Billboard "Spotlight" pick.
WHITHER THOU GOEST (Hill & Range, BMI)
—Les Paul-Mary Ford—Capitol 2928
The available a scant two weeks, this disk is surging ahead with impressive force. First territories to report strong sales included Boston, Philadelphia, Buffalo, Chicago, Milwaukee, St. Louis and Atlanta. The record is also rated good in Cleveland, Richmond and Durham. Especially favorable reports on the disk were returned by operators and one-stops, who indicated that the flip "Mandolino" in some territories was doing almost as well as "Whither Thou Goest" in the boxes. A previous Billboard "Spotlight" pick.
### Most Played in Juke Boxes
For survey week ending September 22
**RECORDS are ranked in order of the greatest number of plays in juke boxes throughout the country. Results are based on The Billboard's weekly survey among the nation's juke box operators. The reverse side of each record is also listed.**
| Rank | Title | Artist/Composer | Label | Weeks on Chart |
|------|--------------------------------------------|-----------------|-------|----------------|
| 1 | SH-BOOM—Crew Cuts | I Spoke Too Soon | Mercury 70404—BMI | 11 |
| 2 | HEY, THERE—R. Clooney | This Ole House | Col 40266—ASCAP | 9 |
| 3 | THIS OLE HOUSE—R. Clooney | Hey, There—Col 40266—BMI | 8 |
| 4 | SKOKIAAN—R. Marterie | Crazy 'Bout Lollipop | Mercury 70432—ASCAP | 5 |
| 5 | I NEED YOU NOW—E. Fisher | Heaven Was Never Like This—V 20-5830—ASCAP | 5 |
| 6 | LITTLE SHOEMAKER—Gaylords | Mecque, Mecque—Mercury 70403—ASCAP | 12 |
| 7 | THEY WERE DOING THE MAMBO—V. Monroe | Mister Sandman—V 20-5767—ASCAP | 12 |
| 8 | IN THE CHAPEL IN THE MOONLIGHT—K. Kallen | Take Everything But You—Dec 29130—ASCAP | 10 |
| 9 | SKOKIAAN—Four Lads | Why Should I Love You?—Col 40306—ASCAP | 2 |
| 10 | I'M A FOOL TO CARE—L. Paul-M. Ford | Auctioneer—Cap 2839—BMI | 10 |
| 11 | SH-BOOM—Chords | Little Maiden—Cat 104—BMI | 12 |
| 12 | LITTLE THINGS MEAN A LOT—K. Kallen | I Don't Think You Love Me Anymore—Dec 29037—ASCAP | 21 |
| 13 | GOODNIGHT, SWEETHEART, GOODNIGHT—McGuire Sisters | Heavenly Feeling—Coral 61187—BMI | 10 |
| 14 | HIGH AND THE MIGHTY—V. Young | Moonlight and Roses—Dec 29203—ASCAP | 6 |
| 15 | WHAT A DREAM—P. Page | I Cried—Mercury 70416—BMI | 3 |
| 16 | IF I GIVE MY HEART TO YOU—D. Lor | Hello Darling—Majar 27—ASCAP | 2 |
| 17 | HIGH AND THE MIGHTY—L. Holmes | Lisa—M-G-M 11761—ASCAP | 2 |
| 18 | SHAKE, RATTLE AND ROLL—B. Haley | ABC Boogie—Dec 29294—BMI | 2 |
| 19 | I CRIED—P. Page | What a Dream—Mercury 70416—ASCAP | 6 |
| 20 | IF I GIVE MY HEART TO YOU—Doris Day | Anyone Can Fall in Love—Col 40300—ASCAP | 1 |
### Most Played by Jockeys
For survey week ending September 22
**RECORDS are ranked in order of the greatest number of plays on disk jockey radio stations. Results are based on The Billboard's weekly survey among the nation's disk jockeys. The reverse side of each record is also listed.**
| Rank | Title | Artist/Composer | Label | Weeks on Chart |
|------|--------------------------------------------|-----------------|-------|----------------|
| 1 | SH-BOOM—Crew Cuts | I Spoke Too Soon | Mercury 70404—BMI | 13 |
| 2 | HEY, THERE—R. Clooney | This Ole House | Col 40266—ASCAP | 11 |
| 3 | SKOKIAAN—R. Marterie | Crazy 'Bout Lollipop | Mercury 70432—ASCAP | 6 |
| 4 | I NEED YOU NOW—E. Fisher | Heaven Was Never Like This—V 20-5830—ASCAP | 4 |
| 5 | THIS OLE HOUSE—R. Clooney | Hey, There—Col 40266—BMI | 9 |
| 6 | LITTLE SHOEMAKER—Gaylords | Mecque, Mecque—Mercury 70403—ASCAP | 12 |
| 7 | IF I GIVE MY HEART TO YOU—Doris Day | Anyone Can Fall in Love—Col 40300—ASCAP | 3 |
| 8 | HIGH AND THE MIGHTY—L. Baxter | More Love Than Your Love—Cap 2845—ASCAP | 9 |
| 9 | IN THE CHAPEL IN THE MOONLIGHT—K. Kallen | Take Everything But You—Dec 29130—ASCAP | 12 |
| 10 | SKOKIAAN—Four Lads | Why Should I Love You?—Col 40306—ASCAP | 4 |
| 11 | LITTLE SHOEMAKER—Gaylords | Mecque, Mecque—Mercury 70403—ASCAP | 14 |
| 12 | IF I GIVE MY HEART TO YOU—D. Lor | Hello Darling—Majar 27—ASCAP | 3 |
| 13 | HOLD MY HAND—D. Cornell | I'm Blessed—Coral 61206—ASCAP | 2 |
| 14 | SMILE—Nat (King) Cole | It's Crazy—Cap 2897—ASCAP | 3 |
| 15 | IF I GIVE MY HEART TO YOU—C. Boswell | Tennessee—Dec 29198—ASCAP | 3 |
| 16 | THEY WERE DOING THE MAMBO—V. Monroe | Mister Sandman—V 20-5767—ASCAP | 7 |
| 17 | HEY, THERE—S. Davis Jr. | And This Is My Beloved—Dec 29199—ASCAP | 4 |
| 18 | WHAT A DREAM—P. Page | I Cried—Mercury 70416—BMI | 6 |
| 19 | HIGH AND THE MIGHTY—L. Holmes | Lisa—M-G-M 11761—ASCAP | 7 |
| 20 | HIGH AND THE MIGHTY—V. Young | Moonlight and Roses—Dec 29203—ASCAP | 5 |
PATTI PAGE
sings
'I Can't Tell A Waltz From A Tango'
THE CASH BOX
DISK OF THE WEEK
"I CAN'T TELL A WALTZ FROM A TANGO" (2:14)
[Harman ASCAP—Hoffman, Manning]
PATTI PAGE
(Mercury 70458; 70458 x 45)
The "Singing Rage," Patti Page, comes up with a new release that has all the earmarks of another top smash for the smash. Very little need be said about a Patti Page record, because opera dealers and jockeys are all aware of the artist's sales potential. This release features the song bird on two novelties. "I Can't Tell A Waltz From A Tango" is a clever Latin tempo ditty that the rage offers in her smooth polished manner. It's colorful and fits perfectly into the current Latin novelty trend. We expect big things from this one.
MERCURY 70458 • 70458X45
RIAA
RECORD INDUSTRY ASSOCIATION OF AMERICA
www.americanradiohistory.com
The Billboard Music Popularity Charts
POPULAR RECORDS
• Territorial Best Sellers
Listings are based on late reports secured from top dealers in each of the markets listed.
For survey week ending September 22
Atlanta
1. I Need You Now, E. Fisher, V.
2. Hey, There, R. Clooney, Col.
3. Hold My Hand, D. Cornell, Cor.
4. This Ole House, R. Clooney, Col.
5. Sh-Boom, Crew Cuts, Mer.
6. If I Give My Heart to You
C. Doris Day, Col.
7. They Were Doing the Mambo
V. Monroe, V.
8. Madonna, Madonna, T. Bennett, Col.
Balti.-Wash.
1. Hey, There, R. Clooney, Col.
2. I Need You Now, E. Fisher, V.
3. Skokiaan, R. Marterie, Mer.
4. Shake, Rattle and Roll, B. Haley, Dec.
5. High and the Mighty, V. Young, Dec.
6. This Ole House, R. Clooney, Col.
7. Hold My Hand, D. Cornell, Cor.
8. If I Give My Heart to You
Doris Day, Col.
9. Cara Mia, D. Whitfield, Lon.
10. Shake, Rattle and Roll, B. Haley, Dec.
Boston
1. Hey, There, R. Clooney, Col.
2. If I Give My Heart to You
Doris Day, Col.
3. Hold My Hand, D. Cornell, Cor.
4. Sh-Boom, Crew Cuts, Mer.
5. Skokiaan, R. Marterie, Mer.
6. I Need You Now, E. Fisher, V.
7. High and the Mighty, L. Holmes, M-G-M
8. Skokiaan, Four Lads, Col.
9. Papa Loves Mambo, P. Comvo, V.
10. Little Things Mean a Lot
K. Kallen, Dec.
Buffalo
1. Sh-Boom, Crew Cuts, Mer.
2. I Need You Now, E. Fisher, V.
3. Smile, Nat (King) Cole, Cap.
4. Little Shoemaker, Gaylords, Mer.
5. In the Chapel in the Moonlight
K. Kallen, Dec.
6. Hold My Hand, D. Cornell, Cor.
7. Oop Shoop, Crew Cuts, Mer.
8. If I Give My Heart to You
Doris Day, Col.
9. Skokiaan,
Bulawayo Sweet Rhythm Boys, Lon.
Chicago
1. Skokiaan, R. Marterie, Mer.
2. If I Give My Heart to You, D. Lor, Mir.
3. Hey, There, R. Clooney, Col.
4. Cara Mia, D. Whitfield, Lon.
5. Shake, Rattle and Roll, B. Haley, Dec.
6. This Ole House, R. Clooney, Col.
7. Sh-Boom, Crew Cuts, Mer.
8. St. Louis Blues Mambo, R. Malby, LBX
9. I Need You Now, E. Fisher, V.
10. Oop Shoop, Crew Cuts, Mer.
Cincinnati
1. Hey, There, R. Clooney, Col.
2. Sh-Boom, Crew Cuts, Mer.
3. If I Give My Heart to You
Doris Day, Col.
4. I Need You Now, E. Fisher, V.
5. Skokiaan, R. Marterie, Mer.
6. High and the Mighty, V. Young, Dec.
7. Skokiaan, Four Lads, Col.
8. Shake, Rattle and Roll, B. Haley, Dec.
9. Little Shoemaker, Gaylords, Mer.
Cleveland
1. Drink, Drink, Drink, M. Vanza, V.
2. Hey, There, R. Clooney, Col.
3. This Ole House, R. Clooney, Col.
4. Skokiaan, Four Lads, Col.
5. Shake, Rattle and Roll, B. Haley, Dec.
6. Sh-Boom, Crew Cuts, Mer.
7. Skokiaan, R. Marterie, Mer.
8. Cara Mia, D. Whitfield, Lon.
9. Oop Shoop, Crew Cuts, Mer.
10. Ebb Tide, R. Hamilton, Epi.
Dallas-Fort Worth
1. Hey, There, R. Clooney, Col.
2. High and the Mighty, V. Young, Dec.
3. Skokiaan, R. Anthony, Cap.
4. This Ole House, R. Clooney, Col.
5. Skokiaan, Four Lads, Col.
6. I Need You Now, E. Fisher, V.
7. I'm Fool to Care
P. Fagg, Mer., Cap.
8. Smile, Nat (King) Cole, Cap.
9. Fortune in Dreams, K. Starr, Cap.
10. Sway, D. Martin, Cap.
Denver
1. Hey, There, R. Clooney, Col.
2. Sh-Boom, Crew Cuts, Mer.
3. Little Shoemaker, Gaylords, Mer.
4. Hold My Hand, D. Cornell, Cor.
5. This Ole House, R. Clooney, Col.
6. I Need You Now, E. Fisher, V.
7. What a Dreamer, P. Fagg, Mer.
8. Skokiaan, Four Lads, Col.
9. Skokiaan, R. Marterie, Mer.
10. High and the Mighty, L. Baxter, Cap.
Detroit
1. Shake, Rattle and Roll, B. Haley, Dec.
2. Skokiaan, R. Marterie, Mer.
3. Hey, There, R. Clooney, Col.
4. This Ole House, R. Clooney, Col.
5. High and the Mighty, L. Holmes, LBX
6. Smile, Nat (King) Cole, Cap.
7. I Need You Now, E. Fisher, V.
8. If I Give My Heart to You
Doris Day, Col.
9. Cara Mia, D. Whitfield, Lon.
10. If I Give My Heart to You
D. Lor, Mir.
Kansas City
1. Sh-Boom, Crew Cuts, Mer.
2. Skokiaan, R. Marterie, Mer.
3. This Ole House, R. Clooney, Col.
4. Hey, There, R. Clooney, Col.
5. Shake, Rattle and Roll, B. Haley, Dec.
6. Little Shoemaker, Gaylords, Mer.
7. Hold My Hand, D. Cornell, Cor.
Los Angeles
1. High and the Mighty, V. Young, Dec.
2. Hey, There, R. Clooney, Col.
3. Sh-Boom, Chords, Cat.
4. Hey There, S. Davis Jr., Dec.
5. Hold My Hand, D. Cornell, Cor.
6. I Need You Now, E. Fisher, V.
7. Sway, D. Martin, Cap.
8. High and the Mighty, H. Winterhalter, V.
9. This Ole House, R. Clooney, Col.
10. Little Things Mean a Lot
K. Kallen, Dec.
Milwaukee
1. Skokiaan, Four Lads, Col.
2. Hey, There, R. Clooney, Col.
3. Cara Mia, D. Whitfield, Lon.
4. I Need You Now, E. Fisher, V.
5. If I Give My Heart to You
Doris Day, Col.
6. Fortune in Dreams, K. Starr, Cap.
7. Skokiaan, R. Marterie, Mer.
8. Sh-Boom, Crew Cuts, Mer.
9. If I Give My Heart to You
C. Boswell, Dec.
10. St. Louis Blues Mambo, R. Malby, LBX
Mpls.-St. Paul
1. Skokiaan, R. Marterie, Mer.
2. Mood Indigo, P. Porter Trio, X
3. Sh-Boom, Crew Cuts, Mer.
4. This Ole House, R. Clooney, Col.
5. Hey, There, Crew Cuts, Col.
6. Need You Now, E. Fisher, V.
7. Honey Love, V. Young, Cap.
8. Little Shoemaker, Gaylords, Mer.
9. St. Louis Blues Mambo, R. Malby, LBX
New Orleans
1. If I Give My Heart to You
Doris Day, Col.
2. I Need You Now, E. Fisher, V.
3. Hey, There, R. Clooney, Col.
4. Sh-Boom, Crew Cuts, Mer.
5. Skokiaan, R. Marterie, Mer.
6. High and the Mighty, V. Young, Dec.
7. If I Give My Heart to You
C. Boswell, Dec.
8. Skokiaan, L. Armstrong, Dec.
9. They Were Doing the Mambo
V. Monroe, V.
10. This Ole House, R. Clooney, Col.
New York
1. Hey, There, R. Clooney, Col.
2. Sh-Boom, Crew Cuts, Mer.
3. Little Shoemaker, Gaylords, Mer.
4. Hold My Hand, D. Cornell, Cor.
5. High and the Mighty, R. Malby, LBX
6. In the Chapel in the Moonlight
K. Kallen, Dec.
7. Cara Mia, D. Whitfield, Lon.
8. High and the Mighty, V. Young, Dec.
9. Skokiaan, R. Marterie, Mer.
10. If I Give My Heart to You
Doris Day, Col.
Philadelphia
1. Hey, There, R. Clooney, Col.
2. Sh-Boom, Crew Cuts, Mer.
3. Shake, Rattle and Roll, B. Haley, Dec.
4. High and the Mighty, L. Holmes, M-G-M
5. Hold My Hand, D. Cornell, Cor.
6. Papa Loves Mambo, P. Comvo, V.
7. Little Shoemaker, Gaylords, Mer.
8. Skokiaan, Four Lads, Col.
9. Skokiaan, R. Marterie, Mer.
10. I'm Fool to Care
P. Fagg, Mer.
Pittsburgh
1. Hey, There, R. Clooney, Col.
2. Skokiaan, R. Marterie, Mer.
3. Sh-Boom, Four Lads, Col.
4. Oop Shoop, Crew Cuts, Mer.
5. Sh-Boom, Crew Cuts, Mer.
6. Oop Shoop, S. Gunter, Flea.
7. High and the Mighty, V. Young, Dec.
8. Papa Loves Mambo, P. Comvo, V.
9. I Need You Now, E. Fisher, V.
St. Louis
1. I Need You Now, E. Fisher, V.
2. Skokiaan, R. Marterie, Mer.
3. Hey, There, R. Clooney, Col.
4. Hold My Hand, D. Cornell, Cor.
5. If I Give My Heart to You
Doris Day, Col.
6. Skokiaan, R. Marterie, Mer.
7. Cara Mia, D. Whitfield, Lon.
8. This Ole House, R. Clooney, Col.
9. I Need You Now, E. Fisher, V.
San Francisco
1. Hey, There, R. Clooney, Col.
2. Sh-Boom, Crew Cuts, Mer.
3. Hold My Hand, D. Cornell, Cor.
4. Little Shoemaker, Gaylords, Mer.
5. Skokiaan, Four Lads, Col.
6. Oop Shoop, Crew Cuts, Mer.
7. High and the Mighty, V. Young, Dec.
8. High and the Mighty, V. Young, Dec.
9. I Need You Now, E. Fisher, V.
10. Oop Shoop, Crew Cuts, Mer.
Seattle
1. Hey, There, R. Clooney, Col.
2. Skokiaan, R. Marterie, Mer.
3. This Ole House, R. Clooney, Col.
4. I Need You Now, E. Fisher, V.
5. Sh-Boom, Crew Cuts, Mer.
6. Teach Me Tonight
De Carle, J. Abb.
7. Honey Love, V. Young, Cap.
8. High and the Mighty, V. Young, Dec.
9. I Cried, P. Fagg, Mer.
10. Oop Shoop, Crew Cuts, Mer.
JUBILEE AND IT'S FAMILY OF ARTISTS WELCOMES
BILLY WARD and his Dominoes
INITIAL SMASH RELEASE-
"GIMME, GIMME, GIMME"
b/w
"COME TO ME BABY"
JUBILEE-5163
Jubilee Record Co., Inc.
315 West 47th Street New York, N.Y.
Available in Canada on QUALITY Label
VOX JOX
SEND US YOUR THEME LIST... HOW MANY TIMES USED WEEKLY?
Autumn Leaves
We want to thank all of you guys for your wonderful notes, cards, etc., which we received this past summer telling us about your vacations and plans for the new season. We, too, have been on vacation for a couple of weeks and are now all set for a long cold winter full of warm mats from all our friends. Welcome home and our most sincere good wishes for a successful season.
Now Hear This
Lee Ellis, KOMU-TV, Columbia, Mo., has solved the problem of cueing the 45's. As a matter of fact, Ellis gives full credit to the Langworth Company, transcription firm which switched to small disks several years ago. "We took the felt off our turntables, scraped them down to the bare metal, and put on special pads with felt on the bottom side and rubber on the top. These mats were full size and were simply placed on the turntable like a 16-inch E.P. record. Then it was put on the mat was held in instead of the record, which the turntable spun underneath. When let go, the mat quickly caught hold and spun with the turntable. It prevented any scratching of the record which might have knocked the needle out of the groove and also prevented 'wowing.' It had been several years since we worked with 45 r.p.m. disks."
Wey Simpson, KYAK, Yakima, Wash., has had a good success for beating the "conversion delay." He writes, "This 45 rumpus is interesting to us and we have solved it for the moment by installing a regular 78 series 45 platter and wiring it into our regular system. It works well, and we'll add another soon. Actually, fidelity is about the same."
Gimmick
WRAD, Radford, Va., is now doing a double job of promoting with the organization of an Eddie Fisher Fan Club in their primary area. The club, according to Milton Blum, WBBM, Fisher's number one is the first started by a radio station and is the largest single Fisher Fan Club in the country. Recently, WRAD had a birthday party for Fisher, renting and filling a large city auditorium for the occasion. Emcee Bob Bradford gave away disks that Fisher had autographed plus hundreds of autographed pictures. Local merchants furnished enough giant cakes to feed the crowd, plus all the other refreshments. Gimmicks included a contest to pick the girl who could most nearly imitate Fisher's patter, pantomimes of Fisher records and guessing games. The club has chosen officers who work closely with the station. The live audience responds to the party spirit and e-mail and phone pulls have been tremendous, they tell us. Requests are also coming in from other area stations on how to inaugurate a fan club of their own.
SEND US YOUR THEME LIST... HOW MANY TIMES USED WEEKLY?
Surface Noises
R&B, The Rhythm and Blues kick currently noted around the country among teen-agers and record fans is very prevalent here in Jacksonville, Fla. Record shops in this area, as well as radio stations, are giving considerable attention to this new area," writes, Bill Marr, WJAX, Jacksonville, . . . Bill Laws, KLX, Oakland, Calif., advises, "I don't like to feature blues but the record companies are pushing for them. . . . Bill Race, KCRB, Sacramento, writes, "Big trend toward r.&b. here. . . . Ed Gonzalez, WCMB, Harrisburg, Pa., has increased his r.&b. show one hour. . . . Don Sherman, WLWN, Lynn, Mass., reports, "I've found it necessary to start including a few of the less offensive r.&b. records on my pop shows. The teenage crowd seems to know nothing else. Yesteryear's 'Ain't Dat' Doin' You Harm' which was No. 1 with the kids four or five years ago and asked a representative group of teen-agers in the studio for an opinion. Although some of my teen-agers they just didn't dig it. But they love 'Sh-Boom'." . . . Fred Swanson, too, of WHAY, New Britain, Conn., has added a mambo-r.&b. portion to his evening show.
Dan Bethel, WSLB, Ogdensburg, N.Y., is happy about our forthcoming list of theme records. He writes, "We change ours every three months and new themes are tough to find. I can help a lot to know what's being used elsewhere. . . . Jim Spotts, WBPF, Lock Haven, Pa., says, "Three Cheers to The Billboard for the editorial in the September 4 issue regarding the statement made by Miss Kilgallen in reference to country and western music. Thanks a lot for something we all would have liked to say to her."
Folk Talent and Tunes
By BILL SAGIS
2180 Patterson, Cincinnati 22
PEE WEE KING ON WLW-T FOR BREWERY...
Pee Wee King and his western band have been pitted by WLW-T, Cincinnati, for a half-hour seg each Friday night, he gimmick this week (1), with the Wiedemann Brewing Company, Newport, Ky., picking up the tab. It will be a semi-country presentation, with guest acts backing up the King group each week. For the bow, Friday (1), the Wiedemann people are planning a Hollywood-type premiere to be preceded by a cocktail session and dinner for the press, radio and TV contingent. Ed Long, of WLS, Chicago, and Patti Page, are slated to come in for the King opener.
FOWLER SINGERS FOR ROAD SWING...
The Original Wally Fowler Gospel and Spiritual All-Night Singing Concert is set for an October 7 appearance at Masonic Temple Auditorium, Detroit, with the Oak Ridge Quartet, of WSM, Nashville; the Chuck Wagon Gang, Columbia records, of Fort Worth, and Stuart Hamblen, of Hollywood, participating. Wally will make his Fowler unit's first appearance in that territory. The same groups will appear together at the Armory, Akron, October 8; the Memorial Field House, Huntington, W. Va., October 9; Emery Auditorium, Cincinnati, October 10, and Cadle Tabernacle, Indianapolis, October 11.
ABC ADDS MORE
OZARK JUBILEE...
The ABC radio network, now airing a Saturday night half-hour program of Ozark Jubilee, from Springfield, Mo., will add another 30-minute segment of the c.w.& feature via a delayed broadcast to be aired each Tuesday, 10:30-11 p.m.: EST, beginning October 5. Still of the current Tuesday night net portion is Red Foley. However, on the Tuesday-aired show, emcee duties will rotate among the other "Jubilee" headliners. Doing the chores on the October 5 broadcast will be RCA Victor's Porter Wagoner.
WLS LAUNCHES NEW 2-HR., 5-DAY SEG...
WLS is augmenting its live talent programming with a new two-hour seg featuring Captain Shifty and the Busseys, Lulu Belle and Scotty, and the Beaver Valley Sweethearts, backed by a four-piece instrumental group. Homer and Jethro, Sol's Del, Grace Wilson and the WLS talent girls, on the program from time to time. Jack Holden will emcee the show, which goes on the air 2 p.m., Monday (27). It will be a regular Mon-
(Continued on page 41)
good as
GOLD
"...money in the bank...gilt-edge securities"...call them what you will. Truth to tell, we've got three terrific "X" Record hits on our hands AND three more coming up fast. We've struck pay dirt—and we're cutting you in. Stake out your claim to these money-making records today!
ON TOP...
ST. LOUIS BLUES MAMBO
Beloved, Be True 78 rpm X-0042 45 rpm 4X-0042
RICHARD MALTY ORCHESTRA
MOOD INDIGO
Petty's Little Polka 78 rpm X-0040 45 rpm 4X-0040
NORMAN PETTY TRIO
DON'T DROP IT
Truck Driving Man 78 rpm X-0010 45 rpm 4X-0010
TERRY FELL
ON THE WAY UP...
TEACH ME TONIGHT
Oop-Shoop 78 rpm X-0051 45 rpm 4X-0051
HELEN GRAYCO
IN A LITTLE SPANISH TOWN
It Was Nice Knowing You 78 rpm X-0056 45 rpm 4X-0056
RUSS CARLYLE AND HIS ORCHESTRA
DEVIL LIPS
That's What a Heart Is For 78 rpm X-0043 45 rpm 4X-0043
PEARL EDDY
"X" RECORDS MARK THE HITS!
The Billboard Music Popularity Charts
**Review Spotlight on...**
**RECORDS**
**PATTI PAGE**
The Mama Doll Song (Lear, ASCAP)
I Can't Tell a Waltz From a Tango (Harman, ASCAP)
—Mercury 70438—Patti could have a big one here with this sweet, nostalgic ditty about a doll that said "Mama." It's in the vein of "Doggie" and it could sell thru the holidays. Flip is another fine tune, featuring a wonderful vocal by the thrush. Strong wax.
**KITTY KALLEN**
I Want You All to Myself (Shapiro-Bernstein, ASCAP)
—Decca 29268—Kitty Kallen should stay right on top with this warm performance of a fine new ballad, sung in the style that put her over on "Little Things" and "Chapel." And the orch backing is excellent. Flip is a novelty, "Don't Let the Kiddy Geddin'" (Sherwin, ASCAP).
**STAN FREBERG**
Show Me How to Do It
—Capitol 2929—A Billboard "Spotlight" 9-25-'54. (Hill & Range, BMI)
Wide Screen Mambo Blues 78
Freberg has an original here, a parody on a slow blues, that had listeners pleading for better laughs. This, too, should do okay. (Maytime, BMI)
**THE MAGUIRE SISTERS**
Muskrat Ramble
—Capitol 2928—A Billboard "Spotlight" 9-25-'54; (Geo. Simon, ASCAP)
Not a Love Song 78
Ballad with a shuffle beat is sung gracefully by the gals. A real pretty job that shouldn't steer plenty of attention away. It's not the same as the other tune of the same title. (Northern, ASCAP)
**EDDIE FISHER**
Count Your Blessings
—V 5871—A Billboard "Spotlight" 9-25-'54. (Berlin, ASCAP)
This is from the forthcoming musical "Blessings." Fisher sings it well but it is not too well suited for him. (Chappell, ASCAP)
**ARTHUR GODFREY**
Count Your Blessings
—COLUMBIA 4035—An old Fredman comedy tune with a very lively reading of the moralizing ballad from the film "Count Your Christmases." The composition is powerful, yet this one could get jock and juke action, too. Good job by Godfrey. (Irving Berlin, ASCAP)
Larry Bones 76
Godfrey returns to his normal novelty style here, handling the Mercer-Carmichael ditty neatly, but in rather old-fashioned manner. Platter could have used more excitement, but it will make some spins. (Southern, ASCAP)
**THE THREE SUNS**
The Touch
—5874—A Billboard "Spotlight" 9-25-'54. (Berlin, ASCAP)
material is handed a warm reading here in the Three Suns' best instrumental spot. It has a chance for spot play when it can attract their many followers. (Duchess, BMI)
Something's Gotten Hold of Me
The Three Suns come thru with another fine performance, this time on a rather unusual instrument. The boys get a fine sound and they play the ditty in sprightly fashion. (Filmart)
**PERCY FAITH ORK**
The Touch
—COLUMBIA 4032—Waltz theme from the Mexican flick "El Campeón" is played with lots of spirit and excitement by the Faith crew on this instrumental record. The rhythm is nicely featured and the beat is good. This has possibilities. (Leeds ASCAP)
Rumba
Pulsating effort receives a forthright performance from the stylish Faith orch with a nice horn section taking the lead through. This rhythmic side is also a good one and could get action. Two fine juke sides. (Regent, BMI)
**LOUIS ARMSTRONG**
Muskrat Ramble
—DECCA 29280—The Armstrong trompet and harp piping fit the evergreen ballad. Satchmo fans will want this badly, and the record will also take to it. Should win lots of spins and sales. (Geo. Simon, ASCAP)
Someday You'll Be Sorry 78
Tune is an Armstrong original and he plays and sings the ballad handily. The Commanders orch backs him here. (Nat, ASCAP)
**DICK CONTINO**
Your Heart Is Mine
—MERCURY 70455—The beautiful standard receives a fine performance from Contino and lovely arrangement by the chorus on top. This excellent record should get a steady share of jock spins, especially at late night. The material is enough to grab loot and sales. (Marks, BMI)
Ooh! Mambo...72
Cute mambo tune is sung and played nicely by Contino, with support from a chorus and orch. Jocks on the mambo kick may spin. (Raphael, ASCAP)
**BETTY JOHNSON**
I'm a Little Fisher
for Christmas
—NEW DECCA 5001—A very pleasant melody the thrush should get plenty of airplay despite the tempo. The tune's okay, the vocals are good, and the commercial appeal still lies in the singer's name. With enough attention this disk has a chance to become a hit. (Joy, ASCAP)
Show Me...65
Miss Johnson continues to impress, but she's better on ballads. Ditty, country-ish, is a cute item. In all, the disk should get air play. (Trinity, BMI)
**TOMMY EDWARDS**
You Walk By
—M-G-M 11821—A tender vocal presentation with the old standard of the early forties. Should get many spins.
I Have That Kind of Heart...75
Edwards' voice is lovely ballad with genuine smoothness.
**ART LUND-JOHNNY LONG ORK**
Give, Give, Give
—CORAL 61256—Cute and beauty, this is a little gem of a tune. Considerable charm by Lund. The tune is a bit old, but it's still worth cultivating. Slicing could attract welcome action. (Reed Evans, ASCAP)
What's the Use
the Mink Bow Tie...70
Novelty about a cool character is handled well by the chantey. (Payton, ASCAP)
**AL LOMBARDY ORK**
I'm a Little Fisher
for Christmas
—DOT 15227—The venerable oldie, now undergoing revival, is footloosed by Lombardy on his clarinet, while the hot rhythm orchestra gives full support. An interesting side with juke potential.
Flying Home...70
Jitterbugs will like this danceable treatment of the opus. It swings merrily.
**THE MARINERS**
Jambo
—COLUMBIA 4034—A lilting tune from the Universal-International movie "West of Zanzibar." The Mariners' vibrant spirit. Disk shows that it has its place, and, of course, the usual TVO-plus plugs on the label. Should spin. (ASCAP)
They'll Forget About You...74
An old-fashioned vocal arrangement of a melodic ballad. (Robbins, ASCAP)
**DUKE ELLINGTON ORK**
Smile
—CAPITOL 29290—(Arthur Prysock)
Chin chin tune that's now starting to make noise, with Duke featured on piano and other instruments. A chance, too. The orch plays it with sparkle and this disk could grab spins and some of the coins. (Bourne, ASCAP)
If I Got My Heart
—75
Current reissue of the current top hit by the Duke is a good one, and there is a good chance that the orch's many fans will buy it. The use of lots of piano work and the arrangement is in the modern vein. (Miller, ASCAP)
(Continued on page 39)
The Billboard Music Popularity Charts
Reviews of New Pop Records
Continued from page 38
THE FOUR CLYDE
OF THE MODERNAIRES
Half-Hearted Kisses ............75
CORAL 61252—A pretty tune to be sung by the four guys of the Modernaires. They set it well and it has a charming swing and a good look. (Lansing, ASCAP)
Mile 74
The Goodman favorite is sold strongly by the boys over a snappy beat. This side, too, could pull rock jocks. (New World, ASCAP)
MARIO LANZA
Drink, Drink, Drink ............75
V 4229—Single selection from "The Christmas Parade" sound track album has been kicking up a fuss in the Midwest via repeated "editor" spinoffs. Good luck. It would repeat elsewhere if it gets the same kind of type of plugging. (Harms, ASCAP)
Golden Days
Semperfidelis in Heidelberg ....72
Lanza tackles a pair of Romberg melodies from a similar film and they're really typical vocalized historicisms. His fans will go for it. (Harms, ASCAP)
FINY HILL
Something You'll Be Sorry ........74
MERCURY 70448-X45—The veteran singer's new album has the Louis Armstrong swing in sprightly, humorous fashion. Good joke book fodder. (International, ASCAP)
I Love the Blues ............74
Another fine standard gets an okay treatment by Hill. (Forster, ASCAP)
LEO DIAMOND
Waterfall .........................74
V 4228—A swirl of water tumbles over the falls on this one. The gurgling intro fades into a lovely and lush instrumental featuring strings and full orch. Good for plenty of spins but could get less action, too. (Spiel & Hill, ASCAP)
Little One You're Too Much ....78
The Blue Shore man chimes them out with some unusual harmonics sounds on a neat bounce item. He still sticks out from a full orch. Dick deserves plenty of air play. (Lero, ASCAP)
DELTA RHYTHM BOYS
Mama's Gone Away ............74
DECCA 29273—The Duke Ellington standard sounds fresh here ever with a pleasant vocal treatment and effective orch backing. Should get like jazz. (Gotham, ASCAP)
Have a Prayer ............69
The Marian local group warbles nicely on a pleasing ditty with a good title. (Joy, ASCAP)
THE CHORDETTES
My Little Angel ............73
CADENCE 1247—Believe it or not the rhythm beat is supplied by Archie Shepp's tenor sax! A nice gala turn in one of their firsties treated here on a fine oldie. Should get some spins. (Trinity, BMI)
I Don't Wanna See You Cry's ....71
The gals turn in a slick padding with a heavy beat. After a slow opening chorus the girls get spongy backing on the up-tempo second chorus. One should make good use of this one. (Mafarle, ASCAP)
MICKEY MARLO
Somebody Else's Love ............73
CAPITOL 2902—Mickey Marlo asks for some lovey intentions in a good rendition of a sweet and rhythmically easy. Could do some juke work. (Trinity, BMI)
Every Road Must Have a Turnpike ....71
These girls attempt a spiritual and blues turn to this effort, delivered in a pop style by the thrush. (Valando, ASCAP)
ROSALIND PAIGE
When the Saints Come Marching In ....72
NEP DISC 10011—The catchy sing is on the mark with the musical assurance and rich vitality of Kay Starr's old juke box material. (Leeds, ASCAP)
Nobody's Sweetheart Now ....71
Same treatment. (Dray, BMI)
LOIS IS JORDAN
We'll Be Up Top ............71
DECCA 29263—catchy novelty built up by Jordan in her own vocal style. Should get spins. (Leeds, ASCAP)
It's Over ............70
Jordan warbles a pretty ballad with smoothness and unusually good phrasing. There were made-better-for-Jordan joined Aladdin. (Amer. Academy, ASCAP)
BOB SANTA MARIA
Ain't Nothin' But a War Song ....71
M-G-M 11828—The warbler sells the Italian-styled ballad with some feeling. It's a good one for English and Italian. Okay performance. (Be Fair With Me, BMI)
Ain't Nothin' But a War Song ........76
Same fair performance by Maria, this time on a rhythmic ballad.
JACKIE FARIS
Crazy Heart .....................71
CORAL 61251—A pretty little rock record, based on a verse-chorus item with a lilts and a cute idea. Should get plenty of spins. (Folk-Prom, Brother-Prench, BMI)
The Orch. parts and vocals group all deliver a fine singling of a piece of unusual rhythmic material. All the more so when the combination of revival-type lyric with some tongue-in-cheek usage of old saws make it a bit comical. (Vina, ASCAP)
JACKIE MILES
I Love My Mama ............68
LEONUTI doesn't have the schmaltzy mannerism of a Latin-American tempo to tough to get across on a pop disk. (Starlight, ASCAP)
JACKIE MILES
I Love My Mama ............69
CORAL 61249—The comic talk, a Western delivery, and boy, Gene Autry takes all dangers in stride singing his way out of trouble. Miles from dull chuckle Merrill. (World, BMI)
Honeysuckle Rose ............66
Jackie Miles waffles slightly cool between the verses. Another one for his fans. (Joy, ASCAP)
NORMA LEEDS
Mr. Peterson ....................49
JUBILEE 5140—The beautiful green-eyed girl gives a Latin backing, with Verne Leeds awarding the lyrics bouncy treatment. Good wail. (Bobbin, ASCAP)
Come Back Baby ............64
Thrush pleads for a return of her lover in warm style. A good performance back from material. (Ferrer, BMI)
JOHNNY DESMOND
Blueberry Hill ............78
CORAL 61255—Desmond matches a pretty ballad with warmth and feeling. Frank Sinatra teams a different song of the same title with M-G-M musical a few years ago. (Universal, ASCAP)
Here I Go Walkin'
Down the Road ............78
A catchy third treatment of a pop-spiritual with Desmond and an unblended group contributing okay vocal work. (Ferrer, BMI)
CONNIE RUSSELL
Hoping .........................78
CAPITOL 923—Connie Russell delivers a pretty ballad with warmth and an attractive new ballad. Good listening. This is the title of a standard. (M-G-M Musical, ASCAP)
Closer, Closer, Closer ...........78
This is a fine dance tune which gets another good result from the thrush. (Shapiro-Bernstein, ASCAP)
MERV GRIFFIN
Do You Remember Me? ...........78
M-G-M 14037—This tune has the feel of a ballad with a strong, attractive new ballad. Good listening. This is the title of a standard. (M-G-M Musical, ASCAP)
Close, Closer, Closer ...........78
This is a fine dance tune which gets another good result from the thrush. (Shapiro-Bernstein, ASCAP)
BRACK SWAIN
Wahabah Blues ..................65
ARTIST 1459—Swain's piano and organ on an up tempo reading of the oldie which should be a favorite for the skating rinka buyers and night club juke players. The reading moves. (Feist, ASCAP)
Hindustan ............68
Similar to music here from another Swain run-thru of a second fine old standard. (Forrester, ASCAP)
MITZI MASON
I Don't Want Your Play ............65
M-G-M 11832—Label's new thrush does a routine job on a ballad with a Cajun flavor. (M-G-M Musical, ASCAP)
Don't Dance It ............65
Okay vocal by the thrush on a tune that's the same as the current country hit.
REPUBLIC OF KOREA ARMY BAND
You Can't Win a War ............65
PYRAMID 469—The official infantry song of the Republic of Korea—and thus a military tune with an infectious march rhythm and a good beat. However, aside from a few combat description, its musical satire-wise will be to veterans of the Korean war and their families. The disk features the band playing the tune on one side and in Korean on the other. (U.S. Music, BMI)
ADRIANI BROTHERS ENSEMBLE
Ain't Nothin' But a War Song ....71
SELECT 48—A lazy little instrumental with a lazyish piano work by Al Lupo. Might go in juke. (BMI)
Wee Me ............68
Harbison warbles nicely on a pleasant ballad.
EDDIE ROECKER
If You're Speaking of Heaven, Then I'm Speaking of Hell ...........64
ARCHIE 1140—Roecker's vocal treatment of an Irish ditty with lyrics praising Erin with traditional modus. (Myers, ASCAP)
Stories of Ireland ...........64
Same comment. (Myers, ASCAP)
ALAN RAY ORK
I'm Going to Loose Again ...........62
GUIDE 1001—An attractive, ditty tune with a good-humored lyric and a
Number of Releases This Week
| Label | Pop | C&W | R&B |
|----------------|-----|-----|-----|
| ARCADE | | | |
| ARTISTS | | | |
| BONITA'S | | | |
| CADENCE | | | |
| CAPITOL | | | |
| CHANCE | | | |
| CHECKER | | | |
| CORAL | | | |
| COLUMBIA | | | |
| DICKA | | | |
| DOT | | | |
| DUKE | | | |
| EAGLE | | | |
| EXCELLO | | | |
| FELT | | | |
| GUILD | | | |
| IMPERIAL | | | |
| JUBILEE | | | |
| KING | | | |
| KOBRA GRAS | | | |
| M-G-M | | | |
| NEP DISC | | | |
| ORIGINAL | | | |
| PREVUE | | | |
| PREMIER | | | |
| RADIANT | | | |
| RCA VICTOR | | | |
| REJECT | | | |
| SPECIALTY | | | |
| UNITED | | | |
| VER JAY | | | |
| TOTAL | | | |
3 REGIONAL OFFICES UNDER 1 OWNERSHIP
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Dave Brubeck featured on Old Sounds from San Francisco
FANTASY 3-16 LP.
DJ's, Write for your Free Copy
Essex Records
The Label with a Future...
3308 So. 84th St.
Philadelphia 42, Penna.
London Records
"The finest sound on record"
Don't Miss This One!
THE KINGS IV
Coral Record #61224
Transworld Music Pub.
Record Pressing
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1037 N. Sycamore St.
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Stage Records presents
JAMES DEACON WARE
"OOH-OW!" b/w "I CRIED FOR YOU"
1010A
Write or Wire 6112 SELMA AVE., HOLLYWOOD 28, CALIFORNIA
Joan Roberts sings
NEVER ALONE
and QUALITY #715
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14 HITS IN A ROW
ADVANCE ORDERS SHOW
THIS WILL BE NO. 16
According to The Billboard's September 18 issue
recent releases are recommended for extra profits:
• This Week's Best Buys
YOU'RE NOT MINE ANYMORE (Cedarwood, BMD)
MORE AND MORE (Commodore, BMI) Webb Pierce—Decca 29252
Pierce is still the champ in his division. First week reports on
his most recent release indicate that wherever it has been re-
ceived, sales have immediately been in the strong category. Both
sides are seeing considerable action and it does not seem likely
that it will be long before one or both sides appear on the na-
tional charts. Atlanta, Nashville, Richmond and Durham were
among the first cities to return enthusiastic sales reports. A
previous Billboard "Spotlight" pick.
WEBB
PIERCE
"You're Not Mine Anymore"
"More And More"
Decca 29252
PERSONAL MANAGEMENT
LUCKY MOELLER
2697 Fessey Court
Nashville, Tenn.
Phone 97-1566
DECCA RECORDS
**This Week's Best Buys**
According to sales reports in key markets, the following recent releases are recommended for extra profits:
**THE NEW GREEN LIGHT (Brazos, BMI)—Hank Thompson—Capitol 2920**
Thompson is one of the chart "regulars" and the sales history of his latest release is following a familiar pattern. Not only in Southern areas in which he is traditionally strong (Atlanta, Richmond, Dallas, Nashville and Durham), but also in St. Louis, Chicago, Western Pennsylvania, Upstate New York and New England, this disk is shaping up as a big seller. A slight amount of action, particularly on the West Coast, on the flip "A Lonely Heart Knows" (Tubb, BMI). A previous Billboard "Spotlight" pick.
---
**C & W Territorial Best Sellers**
For survey week ending September 22
Reports secured from all country and in each of the markets listed.
**Birmingham**
1. I Don't Hurt Anymore, H. Snow, V.
2. Hep Cat Baby, E. Arnold, V.
3. This Is the Thanks I Get, E. Arnold, V.
4. River of No Return Tennessee Ernie, Cap.
5. One By One, K. Wells & R. Foley, Dec.
6. Courtin' in the Rain, T. T. Tyler, FS
**Charlotte**
1. One By One, K. Wells & R. Foley, Dec.
2. I Don't Hurt Anymore, H. Snow, V.
3. Even Tho, W. Pierce, Dec.
4. Whatcha Gonna Do Now? T. Collins, Cap.
5. This Is the Thanks I Get E. Arnold, V.
6. This Ole House, S. Hamblen, V.
7. Goodnight, Sweetheart, Goodnight Johnnie & Jack, V.
8. Never, M. & W. Tuttle, Cap.
9. Honey I Need You, Johnnie & Jack, V.
**Cincinnati**
1. One By One, K. Wells & R. Foley, Dec.
2. I Don't Hurt Anymore, H. Snow, V.
3. Whatcha Gonna Do Now? T. Collins, Cap.
4. Place for Girls Like You F. Young, Cap.
5. Hep Cat Baby, E. Arnold, V.
**Dallas-Fort Worth**
1. I Don't Hurt Anymore, H. Snow, V.
2. This Ole House, S. Hamblen, V.
3. Goodnight, Sweetheart, Goodnight Johnnie & Jack, V.
4. One By One, K. Wells & R. Foley, Dec.
5. Oceans of Tears, S. James, Cap.
6. This Ole House, Statesmen, V.
7. This Is the Thanks I Get E. Arnold, V.
8. River of No Return Tennessee Ernie, Cap.
**Houston**
1. If You Don't Someone Else Will Johnnie & Johnny, Ch.
2. I Don't Hurt Anymore, H. Snow, V.
3. One By One, K. Wells & R. Foley, Dec.
4. Whatcha Gonna Do Now? T. Collins, Cap.
5. Even Tho, W. Pierce, Dec.
6. This Is the Thanks I Get E. Arnold, V.
7. Everyday, W. Pierce, Dec.
8. I Really Don't Want to Know E. Arnold, V.
9. You Oughta Know, J. Heap, Cap.
**Knoxville**
1. I Don't Hurt Anymore, H. Snow, V.
2. One By One, K. Wells & R. Foley, Dec.
3. This Is the Thanks I Get E. Arnold, V.
---
**Folk Talent and Tunes**
Continued from page 36
day-thru-Friday feature. Tentatively called "WLS Barn Dance Matinee," the real name for the program is to be supplied by the listeners, with a prize awarded to the winner.
**ARNOLD ENTERPRISES GRANTED A CHART...**
Eddy Arnold Enterprises, Inc., Brentwood, Tenn., has been granted a charter of incorporation by the secretary of state. The firm will "produce films, transcripts and recordings for television, radio and related operations." The firm was incorporated at an initial capital of $10,000, with 1,000 shares of no par value common stock. The incorporators are R. E. Arnold, William F. Carpenter and A. Anderson.
**Hank Williams Day**
MONTGOMERY, Ala., Sept. 25.—Two action-packed days, Monday and Tuesday (20-21), marked the observance of Hank Williams Memorial Day here this week, with more than 200 country and western disk jockeys and performers registering for the event with the local Chamber of Commerce. The two local dailies gave the affair reams of front-page stories and photos both days.
Alcorn Temple of the Shrine, sponsor of the two-day event, mapped an ambitious program and ran it off in good style. A combined crowd of some 2,800, who paid $1.50 to attend any of the three dances held Monday night, at West Dixie Bibb Graves Armory; the Alcazar Shire Temple and City Auditorium, with the various artists doubling between the three spots.
Late Monday afternoon, a group of performers, including some 200 GI's at the Maxwell Air Force Base hospital with a 30-minute impromptu show. This was followed by a huge free show to some 8,500 people at Normandale, recently opened shopping center. Among special honors were given Hank Williams' mother, Mrs. W. W. Stone; his sister, Mrs. Irene Smith, and his widow, Audrey. On the occasion a life-sized portrait of the late c.o.w. troubadour was presented to his mother.
On Tuesday morning, delegates journeyed to Oakwood Annem Cemetery to place a wreath on Williams' grave. Highlight of the two-day event was the mammoth parade, largest in Montgomery's history, held Tuesday afternoon. With virtually all of the visiting jockeys and artists participating, bolstered by all the school and college bands in the territory plus a contingent of horses and their women from the area, the parade took an hour to pass a given point.
Governor-Elect Big Jim Folsom, Gov. Gordon Persons, local civic officials and members of the Alcazar Shrine and local police and firemen also participated. Life magazine photographers from Dallas were on deck to film the event, which was witnessed by an estimated 50,000 people.
Crowning the two-day ceremonies was the headliner show held Tuesday night at Cramton Bowl, with an estimated crowd of 8,500 paying $1.50 per head to witness the proceedings. Tennessee Gov. Frank Clement was principal speaker for the occasion. Prior to the show, Audrey Williams; her daughter, Lyrecia, and son, Hank Jr., unveiled a huge marble monument to Williams, which will be placed on his grave.
Among c.o.w. artists present for the occasion, and who participated in the various programs, included Hank Snow, Ernie Tubb, Roy Acuff, Floyd Cramer, Governor of Louisiana; Pee Wee King, Audrey Williams, Jim Reeves, R. D. Hendon, Carl Stuart, Eddie Noack, the Chelettes Sisters, Boots Woodall, Mrs. Jimmy Rogers, Texas Bill Streight, Freda Hunter, Tex Peace, Smitty Smith, Minnie Pearl, Jack Cardwell, Fred Kirby, Bill Dudley, Kenny Lee, Curley Williams, Jimmy Harris, Shorty Sullivan, Lloyd McCullough Jim (Continued on page 42)
---
**Best Sellers in Stores**
For survey week ending September 22
RECORDS are ranked in order of their current national selling importance at the retail level. Results are based on The Billboard's weekly survey among dealers throughout the country with a high volume of sales in country and western records. The reverse side of each record is also listed.
| Record | Last Week | Weeks on Chart |
|---------------------------------------------|-----------|----------------|
| 1. I DON'T HURT ANYMORE—H. Snow............ | 1 | 19 |
| My Aranha Baby—V 20-5698—BMI | | |
| 2. ONE BY ONE—K. Wells-R. Foley............ | 2 | 20 |
| I'm a Brand in Her Heart—Dec 29065—BMI | | |
| 3. EVEN THO—W. Pierce....................... | 3 | 18 |
| Sparkling Brown Eyes—Dec 29107—BMI | | |
| 4. THIS IS THE THANKS I GET—E. Arnold....... | 4 | 5 |
| Hep Cat Baby—V 20-5805—BMI | | |
| 5. THIS OLE HOUSE—S. Hamblen............... | 7 | 7 |
| I'm a Brand in Her Heart—Dec 29065—BMI | | |
| 6. LOOKING BACK TO SEE—J. Tubb-G. Hill..... | 8 | 14 |
| I Miss You So—Dec 29145—BMI | | |
| 7. WHATCHA GONNA DO NOW?—T. Collins.........| 10 | 2 |
| You're for Me—Cap 2891—BMI | | |
| 8. IF YOU DON'T SOMEONE ELSE WILL—Jimmy & Johnny | 15 | 2 |
| In the Chapel in the Moonlight—Cap 4859—BMI | | |
| 9. SPARKLING BROWN EYES—W. Pierce-Wilburn Brothers | 5 | 17 |
| Even Tho—Dec 29107—BMI | | |
| 10. RIVER OF NO RETURN—Tennessee Ernie Ford.| 9 | 6 |
| Give Me Your Word—Cap 2810—BMI | | |
| 11. HEP CAT BABY—E. Arnold..................| 10 | 7 |
| My Aranha Baby—V 20-5698—BMI | | |
| 12. GOODNIGHT, SWEETHEART, GOODNIGHT—Johnnie & Jack | 6 | 11 |
| Honey I Need You—V 20-5775—BMI | | |
| 13. SLOWLY—W. Pierce........................| 10 | 35 |
| You Just Can't Be True—Dec 2899—BMI | | |
| 14. ROSE MARIE—S. Whitman...................| 14 | 23 |
| In the Chapel in the Moonlight—Cap ASCAP | | |
| 15. PLACE FOR GIRLS LIKE YOU—F. Young.......| 2 | |
| In the Chapel in the Moonlight—Cap 2859—BMI | | |
---
**Most Played in Juke Boxes**
For survey week ending September 22
RECORDS are ranked in order of the greatest number of plays in juke boxes throughout the country. Results are based on The Billboard's weekly survey among operators throughout the country using a high proportion of country and western records.
| Record | Last Week | Weeks on Chart |
|---------------------------------------------|-----------|----------------|
| 1. I DON'T HURT ANYMORE—H. Snow............ | 1 | 18 |
| V 20-5698—BMI | | |
| 2. ONE BY ONE—K. Wells-R. Foley............ | 2 | 17 |
| Dec 29065—BMI | | |
| 3. EVEN THO—W. Pierce.......................| 3 | 17 |
| Dec 29107—BMI | | |
| 4. LOOKING BACK TO SEE—J. Tubb-G. Hill..... | 5 | 11 |
| Dec 29145—BMI | | |
| 5. THIS IS THE THANKS I GET—E. Arnold.......| — | 1 |
| V 20-5805—BMI | | |
| 6. GOODNIGHT, SWEETHEART, GOODNIGHT—Johnnie & Jack | 4 | 8 |
| V 20-5775—BMI | | |
| 7. COURTTIN' IN THE RAIN—T. T. Tyler....... | 6 | 5 |
| Four Star 1660—BMI | | |
| 8. DON'T DROP IT—T. Fell.................... | 10 | 7 |
| Dec 29101—BMI | | |
| 9. GO, BOY, GO—C. Smith.....................| — | 1 |
| Col 21266—BMI | | |
| 10. YOU CAN'T HAVE MY LOVE—W. Jackson & B. Gray | — | 1 |
| Dec 29140—BMI | | |
| 11. ROSE MARIE—S. Whitman...................| 7 | 21 |
| Imperial 4236—ASCAP | | |
---
**Most Played by Jockeys**
For survey week ending September 22
SIDES are ranked in order of the greatest number of plays on disk jockey radio shows throughout the country according to The Billboard's weekly survey of top disk jockey shows in all key markets.
| Side | Last Week | Weeks on Chart |
|-------------------------------------------|-----------|----------------|
| 1. I DON'T HURT ANYMORE—H. Snow...........| 1 | 17 |
| V 20-5698—BMI | | |
| 2. ONE BY ONE—K. Wells-R. Foley...........| 3 | 17 |
| Dec 29065—BMI | | |
| 3. EVEN THO—W. Pierce......................| 2 | 18 |
| Dec 29107—BMI | | |
| 4. THIS OLE HOUSE—S. Hamblen...............| 8 | 5 |
| V 20-5805—BMI | | |
| 5. GOODNIGHT, SWEETHEART, GOODNIGHT—Johnnie & Jack | 4 | 12 |
| V 20-5775—BMI | | |
| 6. WHATCHA GONNA DO NOW?—T. Collins........| 7 | 5 |
| Cap 2891—BMI | | |
| 7. COURTTIN' IN THE RAIN—T. T. Tyler...... | 5 | 12 |
| Four Star 1660—BMI | | |
| 8. THIS IS THE THANKS I GET—E. Arnold..... | 6 | 6 |
| V 20-5805—BMI | | |
| 9. GO, BOY, GO—C. Smith....................| 9 | 7 |
| Col 21266—BMI | | |
| 10. IF YOU DON'T SOMEONE ELSE WILL—Jimmy & Johnny | — | 1 |
| Chas 4550—BMI | | |
| 11. YOU CAN'T HAVE MY LOVE—W. Jackson & B. Gray | 9 | 14 |
| Dec 29140—BMI | | |
| 12. LOOKING BACK TO SEE—J. Tubb-G. Hill... | — | 11 |
| Dec 29145—BMI | | |
| 13. OUT BEHIND THE BARN—J. Dickens.........| 13 | 6 |
| Col 21247—BMI | | |
| 14. SPARKLING BROWN EYES—W. Pierce-Wilburn Brothers | 15 | 15 |
| Dec 29107—BMI | | |
| 15. LOOKING BACK TO SEE—Maxine & J. E. Brown | 12 | 13 |
| Fabco 167—BMI | | |
The Billboard Music Popularity Charts
Folk Talent and Tunes
Continued from page 41
Wilcox, Johnnie and Jack, Luckie Joe Almond, Ted Kirby, Curtis Gordon, Jack Turner, and a host of others. Most of the above-mentioned were accompanied by their supporting bands. In addition to country and western disk jockeys, a number of record company and record publisher reps were also on hand.
While the crowd at the Tuesday night show didn't measure up to earlier predictions, L. C. Henley, chairman of the two-day affair for Alcatraz, Shining Temple said Shriners are continuing to make the Hank Williams Days an annual affair.
Around the Horn
A. M. (Pappy) Covington, head of KWKH's Artist Service Bureau, Shreveport, La., reports that Slim Whitman has signed a two-year contract with the station "Louisiana Hayride," while Jim Reeves has renewed his pact for another year. . . Slim Bryant, of KDKA, Pittsburgh, reports that he and his Wildcats (Loppy, Kenny, Jerry and Al) have concluded the biggest nine months they have ever put in. "The country club set in Pittsburgh is really going for our barn dances," typewrites Slim. "Have played them all several times, and selling new ones right along. Played two more than 900 people at the Cumberland Valley Country Club September 18, the largest crowd the club has ever housed. Same was true at the Highland Country Club two weeks prior. Carl Colnett of the Gene Autry show phoned me when he played there recently to make sure Gene in the East. He said they had many dates in Canada this year, but only a half dozen in the States. Paul Westmoreland, writer of the hillbilly hit, 'Detroit Stopped' last week, says this week's hit is 'Rockin' Roy.' Hudy Haun, recently returned from a USO Camp Shows tour abroad, has joined the c&w staff at WLW, Cincinnati. . . Steel guitarist Jimmy Gross has left WLS's "National Barn Dance" to sing on the station's c&w show. Preliminary to a possible entry into network video, an hour and a half of the two-and-a-half-hour "Ozark Jubilee" is now being telecast by KYTV, Springfield, Mo. The 60,000-watt is well received in wide areas of Missouri, Kansas, Arkansas and Oklahoma. . . Texas Bill Strength, who recently transferred from WEAS, Atlanta, to KWEM, Memphis, is doing a three-hour deejay stint daily plus a 15-minute live show. On September 23, Bill played "Sleep-Easy John's Eagles Nest" with Webb Pierce and the Wilburn Brothers. Last Saturday (25) he did a "Youth for Christ" charity show with Roy Rogers,
Dale Evans and the Sons of the Pioneers.
George C. Biggar, formerly director of the WLS "National Barn Dance" for five years, and later at WLW, Cincinnati, is now part owner and manager of WLBK, coming soon to Nashville, Tenn. . . Rocky Ranch and His Western Serenaders now have a daily noontime show on KEPO, El Paso, Tex., sponsored by the Mitchell Brewing Company, that city. In the meantime, they continue with their one-at-a-week TV show on KRKD-TV, beginning at 3:30 p.m. At night they pick and sing at the Red Barn in El Paso. Line-up includes, besides, Raub, Smokey Coats, Bobbie Frazier, Dave Leslie and Pee Wee Griffin.
Radio Ray has not completed two weeks of engagements in the El Paso, Tex. sector. . . Roy Terry and His Pioneer Playboys are reported pulling good crowds at Spud and Bud's in Amarillo, Tex. . . Dean Armstrong and the Arizona Dance Band continued to hold sway at Tucson, Ariz. . . Carleen, Tucson, Ariz. each Saturday night. . . Bob Nash, co-writer of "Pull Down the Blinds," is doubling between his musicmaking and his job at the A.E.C.-H-bomb plant at Richland, Wash. . . Kenny Lee, RCA Victor artist, is back in Atlanta after a fortnight's tour of the Ohio and Tennessee territory promoting his new wax, "Holding Hands." . . Jim Denny, of Cedarwood Publishing Company, Inc., Nashville, has accepted for placement six c&w ditties written by Cecil Lee of KWFT-KWTF-TV, Wichita Falls, Tex. . . The Jim Beck Studio, where Don Law has been doing a string of Columbia sessions recently, is located in Dallas, Tex. Houston is currently reported. . . . Bill Elliott Britt is now heading forth with WBZ, Boston, At WAEB, Allentown, Pa., the western music bill is filled by Curley Gibson, who spins a daily disk show of country records and a live Saturday show with his Sunshine Playboys. . . Farouq Young appeared on the "Bill D" show in Dallas September 18. . . Dub Dickerson has added an additional two weeks to his current tour. He will arrive in Nashville from Florida October 14, and on the 15th will make a guest appearance with "Grand Ole Opry." On October 17 he begins a string of personals thru Kansas, Missouri and Illinois, and is due back at the WFAA shindig in Dallas November 7.
With the Jockeys
Ace Ball gueststarred recently on Maunay George's "Ridgerner"
(Continued on page 46)
Reviews of New C & W Records
RED FOYLE-ANDREWS SISTERS
Shining Temple 100—$4
DECCA 20222—A Billboard "Spotlight" 9-25-54. (Rita Grande, BMI)
Bart, Benita, Benjamin, Willard
Mr. Foyle and the girls take the old folk item and sell it to a fare thee well for a strong piece of material that has a touch of pop action, too. (Music City, BMI)
BETTA ROBBINS
The Hook—$7.77
WLS—The label's new country singer tackles a piece of slick pop material and comes off with a smart tune that should compete with the pop and country fields. Good with a little window. (BMI)
If You Don't Somebody Else Will—$7.71
The thrush delivers a good vocal effort here on a fine country material that should be taken off the shelf nationally on a Chicago label. Should get action. (Acuff-Rose, BMI)
LOUISE INNIS
Hearts of Stone—$7.66
MGM 1282—Quick and fine cover of the strong rhythm and blues tune. Innis could grab some fast action with this one. It's fine material. (Regent, BMI)
There's No Hot Spot in the Old Locustery—$7.71
Innis sells the rhythm material nicely. Ops could have used more Stop, You're Breaking My Heart—$7.85
Pleasant rendition by Denney on a slight new novelty item.
BOB WILLIS
Blue Moon Blues—$7.75
M-G-M 11831—The country chanteuse sings this one with a lot of feeling as she tells of his broken heart. Side could get spins with a little help. (BMI & Range, BMI)
New Road Under My Wheels—$7.73
The singer delivers a smooth reading of a nice piece of rhythm material. The Willis sides and the "country style" are a good combination. Jocks will like it. Fine sides for Western fans.
TOMMY SOSEBE
If Only My Love To You—$7.75
CORAL 6148—Slick country coverage here of the pop click, done with good pitch and emotion for Sosebe. (ASCAP, ASCAP)
Don't Count Me Out—$7.71
An attractive, swinging routine country ballad gets a good reading. (Harper, BMI)
JAY-DEE PREPARES LP, EP'S IN MOVE INTO PKG. RECORDS
NEW YORK, Sept. 25.—Jay-Dee Records, Joe Davis' indie label, is moving into the packaged record field. The firm now has six LP's in the works and over a dozen EP's in production. These include an album by Joe (Fingers) Carr, one by Fred "Pete" Teicher, and one by Joe Biviano, the Dixieland jazz combo set. The albums will be ready in another month.
In addition to the album sets, Jay-Dee is releasing a new single record of Daddy's Little Girl, sung by Jimmy Sanderson and the Ellis Choir. The record is being promoted via TV film strips being sent to TV stations throughout the country, in addition to regular jock copies.
Capitol Launching New 'Skokiaan' Hop
NEW YORK, Sept. 25.—The Rhythm and Blues division, which made something of a craze out of the "Bunny Hop" about a year ago, has come up with a new one, the "Skokiaan Dance." The dance itself was discovered by a dance instructor, Dottie Ross of Dallas. She demonstrated it on TV and it created enough attention for Anthony and Capitol Records to launch a national campaign over it. The dance is named for Mrs. Ross, who put it together and took it out on a 10-city tour to demonstrate the dance. She will appear on TV shows in Dallas, Cincinnati, Chicago, Detroit, Cleveland, Philadelphia, Washington, Baltimore and Newark and New York starting next week. There will also be printed instruction sheets made up on the dance.
GRAY SWINGS A MEAN GOLF PLUG
HOLLYWOOD, Sept. 25.—Dick Gray of Frank Loesser's Frank Music Company, doesn't miss a trick when it comes to promoting one of his firm's tunes.
There's a song in the Frank pubbers' "All I Want Is All There Is And Then Some" ditty that goes, "Colf with Mr. Eisenhower, for my caddy Tyrone Power." Well, Gray needed to swing men's club when he arranged to have Tyrone Power bring a set of golf clubs to the President at last week's recent political address in the Hollywood Bowl.
Edmundos Ros to Defy British MU On Vipix Issue
LONDON, Sept. 25.—The complaint that the British Musicians Union placed on all television by members for TV films being made here for American showing is about to be broken by Latin-American leader Edmundos Ros. Ros said that he took the MU and his band have been signed by the Danziger Brothers to appear in one of their series of short TV films being made at M-G-M studios here. The news came as a total shock to the MU officials, though the MU prevented several leaders taking up contracts for similar TV film work. The announcement caught the MU on the wrong foot, but it is expected to try and ban Ros' venture by threatening to bar union members from playing under his baton.
ERROLL GARNER TRIO
Misty—$7.71
M-G-M 11442—Erroll Garner, with help from innovative rhythms, shapes a dreamy opus that should be enjoyed by many. It could move some to pop listeners who like avant-garde background music. (Octave, BMI)
Exactly Like You—$7.74
The piano work and this imaginative reading of the evergreen will intrigue Garner fans. Real relaxed listening. (Shipper-Bernstein, ASCAP)
WORLD HERMAN
Rockin' Charlie—$7.76
CAPITOL 2942—This old tune, currently popular in the revival gospel field, gives Herman and his Herd a fine opportunity to ride. They have a real feel and swing and build easily through the tune. The arrangement is fresh and appealing. (Henderson-Mahalia, BMI)
Woody Herman has taken one of the most popular items from his book and garnished it with a Latin beat. Woody himself is a willing participant; his boys play along with him, getting especially good co-operation from his driving rhythm section.
JOHNNY HODGES ORK
Sweet as Bear Meat—$7.74
NORGAN 134—The African tune which Johnny sweeps the pop charts in three different versions gets an imaginative jazz treatment here. The sax player is backed by a rhythm section on alto and solid work on drums by Louis Bellson. The group builds to an exciting climax. Here's a very well in the big city boxes and will share some of the love on this tune. (Shipper-Bernstein, ASCAP)
Sweet as Bear Meat—$7.71
A playful country version of Hodges that is not sophisticated beyond but whose rhythmic drive and carefully worked out color contrasts make for pleasant listening (and dancing) nevertheless. (Weman, BMI)
BILL JENNINGS QUARTET
What's New?—$7.74
KING 4735—The Jennings new Quartet is a pleasant find with good results here. Jennings is featured on guitar and he makes it sing, helped greatly by the other members of the group. Mighty pretty waltz.
Soft Winds—$7.74
Another jazz hit from the early 1940's is given a brighty here by the Jennings combo. Two good sides.
BENNY GREEN
Rhumbaless—$7.71
DECCA 29224—The Benny Green Orchestra is in the enjoyable jazz here on this rhumba blues effort with Green featured on trom. (Modern Art, BMI)
I May Be Wrong—$7.71
The standard is concerned with authority here by the Green combo, with the leader again getting in some trombone solos. Cool wax. (Advanced, ASCAP)
GEORGE SHEARING
Lambeth Walk—$7.71
M-G-M 11833—The Shearing-written theme is the famous jazz tune now with a lyric. A clever version of the lyric, with the Ray Charles singers, doesn't do justice to the previously released. It'll get some spins, too.
Love Is Here to Stay—$7.78
Typical Shearing treatment of a standard ballad. Shearing plays his fans, it's the groove of a dozen others like it previously issued.
HERBERT GANT
Twenty After Three—$7.78
DRAMA 101—Rather exotic material is handled well here by Eric Anderson, tenor, and singer. The passage of time. Behind her the Gant ensemble, composed only of lower register instruments, backs her deeply. Strictly for dilettantes. (Citation, BMI)
Eccentricity—$7.45
On this side the deeper register combo turns in a rather prosaic performance of a slight riff effort. (Citation, BMI)
THE PILGRIM TRAVELERS
It Is No Secret—$7.74
SPECIALTY 8723—Influenced by the old St. Louis Hashim classic by the Travelers, it is sung with feeling and sincerity and should please their many fans. Fine wax here. (Duchess, BMI)
Look Down That Lonely Road—$7.82
Same company, (Paramount, ASCAP)
COUNTRY SONG ARTISTS
Your Copy of
"SET YOUR HOUSE IN ORDER"
A New Country Gospel Song,
Is Available to You Upon Request.
DIAMOND PUBLICATIONS
926 Forest St.
Charlotte, Michigan
FALL FIRSTS!
star of WLW's Midwestern Hayride
SKEETER BONN
pickin', singin', yodelin'
FEELING SO BLUE
YOU CAN NEVER BE MY DARLING
HONEY BABY
I'VE BEEN DOWN THAT ROAD BEFORE
20/47-5861
star of KWTO's Ozark Jubilee
PORTER WAGONER
in a smash sequel to "Y'All Come"
COMPANY'S COMIN'
TRICKS OF THE TRADE
BE GLAD YOU AIN'T ME
LOVE AT FIRST SIGHT
20/47-5764
RCA Victor
FIRST IN RECORDED MUSIC
www.americanradiohistory.com
Copyrighted material
NEW ARENAS RISE
Walk Shows, Merchants Power Building Boom
Continued from page 1
perous events include horse shows that may feature complete ranch houses, but on the some sports shows with log rollers, wood choppers and trout fishing for entertainment to accompany the displays of sporting equipment and recreation goods; auto shows, with displays and entertainment by one or more of the car manufacturers, and the new and highly popular Do-It-Yourself shows, which are one of the most demonstrative results of the general movement for doing one's own household improvements. There are shows devoted to dogs, travel, boats, fashions, antiques and many more fields.
There are the wide-spread operations of National Home Shows, Inc., of Frank Dubinski, of Orkin Exposition Management, and American Shows, Inc., and other producers of walk-arounds.
Industrial Expos Grow
Equally big and important to buildings and shows are the trade expositions which limit attendance to those connected with particular industries or businesses. Often the general public isn't aware of such shows in session. But there are major productions handled by specialized promoters and producers, providing a large portion of rentals paid to arenas and their talent in the form of single acts, packages or big shows.
Thayer reasons that war years taught big business that trade shows could sell merchandise in the absence of salesmen. This is a continuation of the effectiveness of trade show industry, which date back to medieval times in Europe. In any case, industry now is spending money on expositions. Important companies buy space and spend money to create effective displays. A Chicago firm, which builds displays for exhibitors, employed five persons before the war. Now it keeps 75 busy on products that are more and more complicated, often animated, always well-lighted and sometimes utilizing electronics and similar modern developments.
How the arena-building trade show business has grown since World War II is illustrated by the national trade show, Thayer states. Generally it was held in the ballroom of the Astor Hotel, New York. Next April's showing will be at the Amphitheater, because the show now requires more space than available at the hotel. Moreover, two regional packaging shows have been started in the same period, and they are the type of event which will feed into buildings of smaller cities.
Arenas Replace Hotels
While hotels are usually among those businesses that urge building of new arenas, some of a new structure's business probably will be taken away from the hotel. Besides the trade shows which are growing into arena-sized events, many organizations now find their membership is too large for hotel accommodations, and they, too, move into arenas for conventions or other meetings. Some arenas are being used often for large banquets, feeding several thousand people at a time. But while hotels lose some business, they gain in other ways as the arena events bring people to the city's center.
Thus, when the National Machine Tool Builders show biggest industrial exposition in the U. S., comes to the Amphitheater, big exposition area, next year, it will keep all of Chicago's Loop hotels filled for three weeks, according to Thayer.
Shows Publicize Buildings
Ice shows, rodeos, circuses and other major touring shows have an important role in the success of any arena according to Thayer. They are big profit makers themselves and move over they keep the building in the limelight. These amusements draw people who otherwise would not know the arena's location and prompt them for attending other arena events.
The day when a single name attraction will draw enough to fill an arena is departing in Thayer's view. Where a movie star or cowboy star or similar attraction would pack the hall, now that type of show alone won't cut it.
But there is an arena readily available to arenas, he states. That is the convention exposition and show. Dairy cattle displays can be combined with rodeos, boat shows and similar expositions can be augmented with a variety show, auto shows, dressed up with live talent and parades.
Multiple offerings will do the trick, Thayer believes. Like fairs, he states, they will offer something for the entire family. This plan has worked well for fairs and now is open to buildings.
SEASON STARTS
'Icers Crystallize Fast and Flashy
Continued from page 1
show in Chicago and New Year's Eve event in New York.
The Shipstads and Johnson's "Ice Follies," also a 19-year-old among these units, is spectating staged at the Sheraton Center. The two Shipstads, Eddie and Roy, and Oscar Johnson were star skaters in the pioneer offering and have stayed at the top as producers since launching their own organization.
"Ice Capades," produced by John H. Harris, is a product of the Arena Managers' Association and now is in its third season. Star of the troupe is Doris Atwood, who also is Mrs. John H. Harris. Where other shows usually feature musical revue types of performances, "Capades" favor utilizing one or more classical stories or plays which it tells with skated embellishments.
Little sister of "Ice Capades" is "Ice Cycles." This one uses productions from the previous season's edition of "Capades" and takes them on a tour of generally smaller cities and buildings. It sometimes plays outdoor dates with a portable rink.
Routing Agreements
Productions of "Hollywood," "Follies" and "Capades" "Cycles" generally are edited with routing agreements which part in routing agreements which are aimed at sharing one-show cities and timing their engagements so as not to conflict in places that host two shows in one week.
"Holiday on Ice" is produced by George Tyson, and its multi-unit operation is headed by Morris Chalfen, Framed and specialized in playing big metropolitan areas and arenas which do not have their own built-in ice rinks, "Holiday" has introduced the medium to scores of cities. Its second unit is Ice Vagabond, which gets even farther afield to find rich takes in smaller cities that have arenas or open-air stadiums for its portable equipment. "Vogues" often plays outdoor dates, including many fairs, well into the summer and becomes almost a year round operation.
Sonja Henie now is associated with Chalfen's organization. With she shares "Vogues" company it becomes the "Sonja Henie Ice Revue," and this is hotspatching thru Western Canada, Southwestern United States and Scandinavia this season.
"Holiday" Tours World
The unbounded Holiday on Ice, Inc., also operates the overseas units that are as widely traveled for time when the Milwaukee Arena is otherwise vacant are being considered by Manager Elmer Krahm. The study comes after a six-day test drew 9,392 paid skaters.
LOUISVILLE—Herman J. Penn, manager of the Armory here, has announced a winter schedule which includes a Bigelow Show of '54 October 26. Rex Smith, hilltop show, the expected to draw 50,000 by closing time Sunday (26). It opened September 19 and carried a 50-cent gate. A large spaceship, a bakery demonstration, also was on the attraction. A band of the Irish Guards appears at the Sports Arena Wednesday (29).
TOLEDO—The Sports Arena's Do-It-Yourself Show starts Sunday (3), coming on the heels of the successful Toledo Food Show. Food show entertainment is headed by Helen O'Connor, owner. The show is expected to draw 50,000 by closing time Sunday (26). It opened September 19 and carried a 50-cent gate. A large spaceship, a bakery demonstration, also was on the attraction. A band of the Irish Guards appears at the Sports Arena Wednesday (29).
CANTON, O.—A revised rate schedule for Memorial Auditorium has been prepared by the city council and Building Manager Ralph Smith. The proposed schedule includes a minimum rate of $400 daily for commercial entertainment.
Buck Booking at New Charlotte Aud., Coliseum
CHARLOTTE, N. C., Sept. 25.—Paul Buck, formerly with the St. Louis Arena, has been named manager of the new David Owen Auditorium and Charlotte Coliseum here. He has begun to book attractions for the new facilities.
While construction of the buildings is well along no date has been set for the official opening.
The Coliseum is a circular building with 10,000 fixed seats and top capacity of 13,500. The separate auditorium is air-conditioned and it will seat 2,500. The building cost an expenditure of $4,500,000, it was announced.
The Coliseum is equipped with an ice rink. The Auditorium has a stage measuring 100 by 30, with a 60-foot proscenium. Buck said that the Charlotte trade area has two million people within a 60-mile radius.
NEWS NUGGETS
Richmond Books Shows; Toledo Food Expo Clicks
RICHMOND, Va., Sept. 25.—The "Hippodrome of 1955" is tentatively scheduled to play the new Richmond Arena, managed by John Edwards, for a week starting November 28. The arena is scheduled to open officially December 1. Also scheduled at the new building are "Ice Follies" in January, Virginia Auto Show, February, and Flower and Home show in March.
MILWAUKEE—Plans to make public ice skating a regular fill-in for time when the Milwaukee Arena is otherwise vacant are being considered by Manager Elmer Krahm. The study comes after a six-day test drew 9,392 paid skaters.
LOUISVILLE—Herman J. Penn, manager of the Armory here, has announced a winter schedule which includes a Bigelow Show of '54 October 26. Rex Smith, hilltop show, the expected to draw 50,000 by closing time Sunday (26). It opened September 19 and carried a 50-cent gate. A large spaceship, a bakery demonstration, also was on the attraction. A band of the Irish Guards appears at the Sports Arena Wednesday (29).
TOLEDO—The Sports Arena's Do-It-Yourself Show starts Sunday (3), coming on the heels of the successful Toledo Food Show. Food show entertainment is headed by Helen O'Connor, owner. The show is expected to draw 50,000 by closing time Sunday (26). It opened September 19 and carried a 50-cent gate. A large spaceship, a bakery demonstration, also was on the attraction. A band of the Irish Guards appears at the Sports Arena Wednesday (29).
CANTON, O.—A revised rate schedule for Memorial Auditorium has been prepared by the city council and Building Manager Ralph Smith. The proposed schedule includes a minimum rate of $400 daily for commercial entertainment.
Buck Booking at New Charlotte Aud., Coliseum
CHARLOTTE, N. C., Sept. 25.—Paul Buck, formerly with the St. Louis Arena, has been named manager of the new David Owen Auditorium and Charlotte Coliseum here. He has begun to book attractions for the new facilities.
While construction of the buildings is well along no date has been set for the official opening.
The Coliseum is a circular building with 10,000 fixed seats and top capacity of 13,500. The separate auditorium is air-conditioned and it will seat 2,500. The building cost an expenditure of $4,500,000, it was announced.
The Coliseum is equipped with an ice rink. The Auditorium has a stage measuring 100 by 30, with a 60-foot proscenium. Buck said that the Charlotte trade area has two million people within a 60-mile radius.
New Coliseum Opens Monday At Lubbock, Tex.
LUBBOCK, Tex., Sept. 25.—The new Fair Park Coliseum at the Panhandle South Plains Fairgrounds here will be opened during the annual's run, September 2-October 2.
The building has 4,400 permanent seats and an additional 1,100 floor chairs. It is equipped with dressing rooms, concession stands, check rooms, rest rooms and rooms for both TV and radio broadcasting.
A "Grand Ole Opry" show, headed by Webb Pierce, opened the building, which will be available for rodeos, ice shows, circuses, home shows, sports shows and conventions. Manager is A. B. Davis.
HORACE STRONG NAMED MGR. AT DES MOINES
DES MOINES, Sept. 25.—Horace S. Strong has been named general manager of the new Veterans Memorial Auditorium here, it was announced Thursday (23) by Warren Smithson, building manager for the auditorium commission.
Strong is scheduled to take over the post during the first week of October. He has been assistant manager of the Milwaukee Auditorium and Arena under Elmer Krahm and was one of several persons seeking the new position. The late Axel Reed, of Rochester, Minn., was to have been manager of the Des Moines building.
The auditorium is nearing completion and is scheduled for opening this winter.
Season Starts
'Icers Crystallize Fast and Flashy
Continued from page 1
lecting towns, and opening of a new building in a fresh town often means spirited bidding. This season will find "Ice Follies" at the Des Moines Veterans Memorial Auditorium and the Spokane Coliseum. It is continuing its Vancouver, B. C., engagement in anticipation of a new structure scheduled there.
Icecapade is the scene of a key shuffle. The Stadium is Hollywood's home base. Since the Chicago Arena closed, both "Ice Follies" and "Ice Capades" are moving to the Stadium. The Obertes are moving to the home town, having packed the little (5,000-seat) arena, will fare with shorter stays in the big (12,000-seat) Stadium.
Indianapolis is the scene of more of this year's routing action. Wirtz held a lease on the State Fair Coliseum for 15 years and always brought in his "Hollywood Ice Revue." Now others hold that lease and have booked a "Holiday on Ice" instead. Wirtz has been discouraged to move to the Butler University Field House, and his former Indianapolis tenant, "Ice Capades," is by-passing the city.
"Circus" is meanwhile, including a run at the Cow Palace, San Francisco, this year. The firm's other unit, "Ice Cycles," is quitting the Cow Palace in favor of the Oakland Municipal Arena across the bay.
Seek Lavish Themes
Production-wise, the icer looks far and wide for new themes, new inspirations. Nursery rhymes, classics, current favorites in music and movies and fads are fair game for the blade entrepreneurs. A spokesman for "Follies" notes that the medium "will succeed only as long as money is spent on production; the public will take no old stuff."
Thus, that show laid out $300,000 for 1954 costumes, and its property shop has come up with another set of special effects and properties. "Follies" is putting "castles in the air," which get their altitude from disguised hydraulic lifts. Another has four kiddie-size Merry-Go-Rounds in operation on the ice. And a third features fiber-glass and plastic costumed with neon lighting to be built into costumes.
"Ice Capades," its 1953 production of "Snow White and the Seven Dwarfs," and "Ice Cycles," is displaying several story numbers. In the top spot is an iced version of the Broadway play, "Wish You Were Here." There is a "Swedish" Waltz ballet number, a take-off on "Dragnet" and "An American in Paris," plus an "Ave Maria" number in which stained glass window effects are obtained with strobe lights.
"Holiday on Ice plays up a birthday theme for its 10th anniversary tour. Among its special numbers is a version of the "Merry Widow" and a finale in which they are cheering for the leading football game. Hailing this as its heaviest production, "Holiday" has added a fourth baggage car in order to move its new edition.
Icers on TV
Television and other media take interest in ice. The opening of "Ice Follies" at Pan-Pacific Auditorium, Los Angeles, was televised September 18. Opening at Pittsburgh and then to New York soon after, "Ice Capades" is showcased annually by TV. Last year it was on the Ed Sullivan show twice and the "Comedy Hour" once. This fall (September 5), Sullivan presented the new version in a preview showing.
Sonja Henie, "Ice Follies" and "Ice Capades" have made motion pictures, and "Capades" is scheduled to make another next summer. In addition, Sonja Henie has appeared in theaters and at a Las Vegas, Nev., spot. She is negoti**Alabama**
*Fort Whiting Auditorium, Mobile*
MANAGER: J. C. H. Jones.
SEATING CAPACITY: 5,800, including 2,400 portable seats. Arena Floor: 100 by 125 feet. Concessions by building.
*Memorial Auditorium, Birmingham*
MANAGER: Fred McCollum.
SEATING CAPACITY: 5,100, including 2,180 portable seats. Arena Floor: 100 by 190 feet. Permanent theater-type stage. Concessions leased.
ANNUAL SHOWS: Holiday on Ice, Home Show.
EXHIBIT SPACE: 20,000 sq. ft.
MEMBER: IAAM.
**State Coliseum, Montgomery**
High School and Fieldhouse, Douglas
MANAGER: John C. Reed.
SEATING CAPACITY: 690 and 1,000 seats. Arena Floor: 100 by 60 feet. Permanent theater stage. Concessions by building.
ANNUAL SHOWS: Home Show, Sports Show.
**Arizona**
Boys' Club, Hot Springs
MANAGER: Ira L. Smith.
SEATING CAPACITY: 3,200, including 1,200 portable seats. Arena Floor: 70 by 112 feet. Permanent theater-type stage. Concessions: Mental.
ANNUAL SHOWS: Globe Trotters, Circus, Musicals. Exhibit Space: 3,000 sq. ft.
**Arkansas**
Barton Coliseum, Little Rock
MANAGER: Clyde B. Byrd.
SEATING CAPACITY: 9,500, including 3,000 portable seats. Arena Floor: 120 by 100 feet. Concessions by building. Will recommend promoters.
ANNUAL SHOWS: Shrine Circus, Home Show, Funfair, Rodeo, Carnival. Exhibit Space: 26,000 sq. ft. Fully equipped for sports, circus, rodeo, conventions.
*Memorial Auditorium, Little Rock*
MANAGER: A. W. Harville.
SEATING CAPACITY: Music Hall: 2,900. Arena: 2,500. Arena Floor: 100 by 100 feet. Permanent theater and temporary stages. Concessions by building.
ANNUAL CIRCUS: Polack. Exhibit Space: 10,000 sq. ft.
MEMBER: IAAM.
REMARKS: Air conditioned; modern stage equipment.
**California**
Auditorium and Exposition Building, Oakland
MANAGER: Harold C. Lueddke.
SEATIN CAPACITY: 6,558, 7,216. Arena Floor: 83 by 210 feet. Permanent theater-type and temporary stages. Concessions leased.
ANNUAL SHOWS: "Ice Cycles," Polack Circus, Great Horse, Auto shows. Exhibit Space: 48,000 and 16,700 sq. ft.
MEMBER: IAAM.
*San Francisco*
MANAGER: Nye Wilson.
SEATING CAPACITY: 17,771, including 6,884 portable seats. Arena Floor: 142 by 237 feet. Temporary stage. Concessions leased.
ANNUAL CIRCUS: Ringling Bros. when on Coast. Annual Exposition Grand National Livestock Exposition, Do It Yourself Show, etc.
MEMBER: IAAM.
*Theatre Los Angeles, Los Angeles*
MANAGER: H. W. Pettijohn.
SEATING CAPACITY: 1,294. Permanent stage. Concessions leased. Recital, concerts, opera, dance.
LOCAL PROMOTERS: Burbank Symphony, Burbank Civic Light Opera.
*Civic Auditorium, Pasadena*
MANAGER: William J. Allen.
SEATING CAPACITY: 5,972. Arena Floor: 100 by 156 feet. Permanent stage. Concessions by building.
**Colorado**
City Auditorium, Colorado Springs
MANAGER: Ted Conklin.
SEATING CAPACITY: 3,000. Arena Floor: 111 by 70 feet. Permanent theater-type stage. Concessions by building.
ANNUAL ICE SHOWS: "Ice Follies," "Ice Capades." Annual Exhibitions: Auto, Home, Sports.
MEMBER: IAAM, AMA.
Auditorium, San Diego
SEATING CAPACITY: 2,402. Permanent theater stage. Concessions not stated.
LOCAL PROMOTERS: L. Palmer, Ware-Hazelton.
**Connecticut**
Bushnell Memorial Auditorium, Hartford
MANAGER: William H. Mortensen.
SEATING CAPACITY: 3,275. Permanent theater stage. Concessions by building. ICE SHOW: Ice Vogues every second year.
MEMBER: National Association of Concert Managers.
REMARKS: Complete set-up for musicals, ballets, and projection equipment.
New Haven Arena, New Haven
MANAGER: Nathan Podoloff.
SEATING CAPACITY: 5,500. Arena Floor: 80 by 200 feet. Ice Rink. Concessions leased.
ANNUAL ICE SHOWS: "Ice Follies," "Ice Capades." Annual Circuses: Hamid-Morton Shrine Circus, Food Shows, etc. Exhibit Space: 17,000 sq. ft.
MEMBER: IAAM, AMA.
REMARKS: Air conditioning.
**District of Columbia**
Ulisse Arena, Washington
MANAGER: Jack Riley.
SEATING CAPACITY: 4,500, including 3,000 portable seats. Arena Floor: 195 by 87 feet. Temporary stage. Ice rink. Concessions leased.
ANNUAL SHOWS: Ice Capades, Hollywood Revue, Hamid-Morton Shrine Circus, Food Shows, etc. Exhibit Space: 17,000 sq. ft.
MEMBER: IAAM, AMA.
REMARKS: Air conditioning.
**Florida**
Peabody Auditorium, Daytona Beach
MANAGER: Henry D. Verner.
SEATING CAPACITY: 2,500. Permanent theater stage. Concessions. Annual ice show, annual expositions.
MEMBER: IAAM.
*War Memorial Auditorium, Fort Lauderdale*
MANAGER: Daniel F. Stevenson.
SEATING CAPACITY: 2,450. Permanent theater-type stage. Snack bar.
ANNUAL SHOW: Builders' Show.
*Duval County Armory, Jacksonville*
MANAGER: Frank H. Kessel.
SEATING CAPACITY: 2,500. Arena Floor: 82 by 138 feet. Permanent theater stage. Concessions leased.
ANNUAL SHOWS: Home Show, Builders' Show. Exhibit Space: 5,316 sq. ft. REMARKS: Arena for 8,000, chairs for 5,000. 20 by 40-foot stage, dressing rooms and large parking area.
*Miami Beach Auditorium, Miami Beach*
MANAGER: Robert E. Warner.
SEATING CAPACITY: 3,334, including 1,584 portable seats. Arena Floor: 100 by 132 feet. Permanent theater stage. Concessions leased.
ANNUAL SHOW: Home Show. Exhibit Space: 10,000 sq. ft.
MEMBER: IAAM.
REMARKS: Completely air conditioned.
*Municipal Auditorium, Sarasota*
MANAGER: T. W. Wilson.
SEATING CAPACITY: 1,800. Arena Floor: 100 by 100 feet. Permanent theater stage. Concessions leased.
MEMBER: IAAM.
Senior High School, St. Petersburg
MANAGER: Fred H. Geneva.
SEATING CAPACITY: 1,750. Permanent theater stage. Concessions by building.
Fort Hershey Armory, Tampa
MANAGER: Joe Givens.
SEATING CAPACITY: 5,000, including 928 portable seats. Arena Floor: 120 by
29 years—and going STRONGER THAN EVER
WSM
GRAND OLE OPRY
The greatest assortment of Country and Western Talent ever assembled!
AUDITORIUMS—ARENAS—PROMOTERS! All these outstanding artists now available individually—or we will build package units especially to your order.
SUCCESSFUL ENGAGEMENTS IN MANY AUDITORIUMS AND ARENAS FROM COAST TO COAST!
Roy Acuff Lew Childre Cowboy Copas Jordanaires Lonzo and Oscar Minnie Pearl Bill Monroe Ernest Tubb
Hank Snow George Morgan Carl Smith The Carter Family Moon Mullican Rod Brasfield Johnny and Jack Kitty Wells Ray Price
Martha Carson Webb Pierce Grandpa Jones Marty Robbins The Carlisles Faron Young Ferlin Husky Goldie Hill Jimmy Dickens
for full details, contact
JAMES DENNY, DIRECTOR, WSM Artists Service Bureau, Nashville, Tennessee
Georgia
City Auditorium and Stadium, Albany
MANAGER: Cary C. Burnett.
SEATING CAPACITY: Auditorium, 1,450; Stadium, 6,500. Permanent theater-type stage. Concessions leased.
Municipal Auditorium, Atlanta
MANAGER: H. H. Niebuegge.
SEATING CAPACITY: 5,000. Arena Floor: by 149 feet. Permanent theater stage. Concessions leased.
LOCAL PROMOTERS: J. Lee Friedman, Holiday Ice; Marvin McDonald, Atlanta Music Club; 1,000 square feet dance floor.
ANNUAL SHOWS: Holiday on Ice, Handley Bros.' Shrine Circus, Sports Show, Auto Show, Shrine Circus, Home Show, Auto Shows. Exhibit Space: 44,000 sq. ft.
MEMBER: IAAM.
REMARKS: High school graduations May 15 to June 15 each year. No bookings during that time. 100 per cent air conditioning.
Municipal Auditorium, Macon
MANAGER: Harry Willis Sr.
SEATING CAPACITY: 3,000, including 1,925 portable seats. Arena Floor: 65 by 100 feet. Theater-type stage. Concessions leased.
LOCAL PROMOTERS: Fred Ward, V. E. King, L. H. Waits Jr., Clint Brantley.
ANNUAL ICE SHOW: Irv Vogues. Annual Circus: Shrine.
Idaho
High School Auditorium, Boise
MANAGER: George H. Fields.
SEATING CAPACITY: 1,472.
Illinois
Alton Theatre, East St. Louis
MANAGER: Thomas G. Potts.
SEATING CAPACITY: 3,000, including 1,400 portable seats. Arena Floor: 90 by 92 feet. Concessions leased.
International Amphitheater, Chicago
MANAGER: M. E. Thayer.
SEATING CAPACITY: 12,000. Arena Floor: 180 by 160 feet. Temporary stage. Concessions by building.
ANNUAL SHOWS: Ice Shows, Rodeo, Industrial Expositions, International Livestock Exposition, US Open Dance, Fall Sales. Exhibit Space: 360,000 sq. ft.
MEMBER: IAAM.
REMARKS: Air conditioned, TV coaxial cables.
Shrine Mosque, Peoria
MANAGER: Leonard B. Potter.
SEATING CAPACITY: 1,824. Permanent theater-type stage. Symphony orchestras, stage productions, musicals, concerts, industrial programs and shows, lectures.
Indiana
Allen County Memorial Coliseum, Fort Wayne
MANAGER: Don Myers.
SEATING CAPACITY: 10,000, including 2,500 portable seats. Arena Floor: 108 by 223 feet. Temporary stage. Ice rink. Concessions.
LOCAL PROMOTERS: Zollner Pistons, NBA Basketball; Fort Wayne Enterprises, International Leasing; Heckler.
ANNUAL SHOWS: Holiday on Ice, Pollock Bros.' Shrine Circus; Home, Sports and Auto Shows. Exhibit Space: 50,000 sq. ft.
MEMBER: IAAM.
REMARKS: Air conditioned, TV coaxial cables.
Northside Gym, Elkhart
MANAGER: Glenn Silcott.
SEATING CAPACITY: 8,400. Arena Floor: 80 by 50 feet. Temporary stage. Concessions. New building not completed before October 1, 1954. Exhibit space 20,000 sq. ft.
State Fair Coliseum, Indianapolis
MANAGER: Melvin T. Ross.
SEATING CAPACITY: 7,839. Arena Floor: by 300 feet. Temporary stage. Ice rink. Concessions leased.
ANNUAL SHOWS: "Holiday on Ice," Pollock Bros.' Shrine Circus.
REMARKS: Rent space in summer for carnivals, circuses, etc.
Adams High School Auditorium, South Bend
SEATING CAPACITY: 3,000, including 1,000 portable seats. Arena Floor: 85 by 80 feet.
ANNUAL CIRCUS: Shrine Club Circus.
REMARKS: Special cultural and educational programs or for charity benefit.
Butler Field House, Indianapolis
SEATING CAPACITY: 15,052, including 6,052 portable seats. Arena Floor: 77 by 143 feet. Permanent theater stage. Concessions by building.
Iowa
Memorial Coliseum, Cedar Rapids
MANAGER: Charles A. Ziegas.
SEATING CAPACITY: 5,146, including 1,840 portable seats. Arena Floor: 77 by 143 feet. Permanent theater stage. Concessions by building.
LOCAL PROMOTERS: Tom O'Loughlin, George Parmanas sports events.
ANNUAL CIRCUS: Shrine.
Knox Theatre, Des Moines
MANAGER: Russell E. Fraser.
SEATING CAPACITY: 4,139. Permanent theater stage. Concessions leased.
MEMBER: IAAM.
REMARKS: Air conditioning; parking space for 1,000 at Auditorium lot. Railroad cars can be unloaded at back door. Stand ample for all attractions.
Hippodrome, Waterloo
MANAGER: Win F. Hansen.
SEATING CAPACITY: 7,965, including 500 portable seats. Arena Floor: 100 by 200 feet. Concessions by Building.
ANNUAL SHOWS: Ice Vogues, Hagen Bros.' Circus, Home Show, Sports Show, Exhibit Space: 20,000 sq. ft.
MEMBER: IAAM.
REMARKS: Designed largely to arena type shows, or shows which can play on open stage. Cannot play legit.
Kansas
Municipal Auditorium, Dodge City
MANAGER: Gray Graham.
SEATING CAPACITY: 3,342. Arena Floor: 75 by 150 feet. Permanent theater-type stage. Concessions leased.
LOCAL PROMOTERS: Gray Graham and Associates. Exhibit space: 75 by 150 feet.
REMARKS: Air conditioning.
Community Hall, Hutchinson
MANAGER: Thomas C. Browne.
SEATING CAPACITY: 2,767, including 1,000 portable seats. Permanent theater stage. Concessions leased.
LOCAL PROMOTERS: Hamilton Attractions, News-Herald.
ANNUAL ICE SHOW: Ice Vogues. Annual Industrial Expositions: Home, Auto, Hobby, Sports. Exhibit Space: 35,770 sq. ft.
MEMBER: IAAM.
REMARKS: Basketball tournaments, Fred Waring, Liberace, Golden Gloves, bands, orchestras.
Municipal Auditorium, Topeka
MANAGER: George M. Clark.
SEATING CAPACITY: 4,200. Arena Floor: 101 by 101 feet. Permanent stage. Concessions by building. Exhibit Space: 13,000 sq. ft.
ANNUAL SHOWS: "Ice Vogues," Clyde Circus, Hippodrome.
Forum Building, Wichita
MANAGER: C. A. Johnson.
SEATING CAPACITY: Arena, 3,900; Auditorium, 1,931. Arena Floor: 80 by 115 feet. Permanent theater-type stages. Building completely air-conditioned.
LOCAL PROMOTERS: Mary Floita, stageshows; Harry Peebles, "Grand Ole Opry," etc.
ANNUAL SHOWS: "Holiday on Ice," Police and Shrine Circuses; Home Show, Kennel Show, Plymouth. Exhibit Space: 112,912 sq. ft.
MEMBER: IAAM.
Kentucky
Memorial Gymnasium, Hazard
SEATING CAPACITY: 2,700. Temporary stage. Concessions by building.
ANNUAL SHOWS: All-American Circus, Home Show.
Memorial Auditorium, Louisville
SEATING CAPACITY: 2,349. Permanent stage. Concessions by building. UBO Attractions.
Armory, Louisville
MANAGER: Harold W. Penn.
ANNUAL SHOWS: Polack Circus, "Holiday on Ice," Home Show, Globetrotters, Sports.
Louisiana
Municipal Auditorium, New Orleans
MANAGER: John A. Cook.
SEATING CAPACITY: Concert hall, 2,500; auditorium, 4,612; arena, 7,965. Arena Floor: 96 by 100 feet. Permanent stage. Concessions by building.
ANNUAL SHOWS: Holiday on Ice, Packs Shrine Circus, Home Show. Exhibit Space: 58,658 sq. ft.
MEMBER: IAAM.
LOCAL PROMOTERS: Hal Sheridan, Inc.
ANNUAL SHOWS: Ice Vogues, Clyde Bros.' Circus, Home, Antique. Exhibit Space: 19,250 sq. ft.
MEMBER: IAAM.
New Masonic Temple, Davenport
MANAGER: A. D. Peirce.
SEATING CAPACITY: 2,700. Permanent stage.
ANNUAL CIRCUS by A. D. Peirce. Annual Home Show. Exhibit Space: 20,000 sq. ft.
Coliseum, Ottumwa
MANAGER: M. J. Rogers.
SEATING CAPACITY: 1,972, including 1,284 portable seats. Arena Floor: 80 by 120 feet. Permanent theater stage.
ANNUAL CIRCUS: Ottumwa Shrine Club's annual show. Food and Trifles Show, Antique Show, Hobby Show. Exhibit Space: 12,000 sq. ft.
REMARKS: Rent space in summer for carnivals, circuses, etc.
Municipal Auditorium, Sioux City
MANAGER: Robert D. Hirschfeld.
SEATING CAPACITY: 2,000, including 1,920 portable seats. Arena Floor: 84 by 100 feet. Permanent stage. Ice rink. Concessions leased.
LOCAL PROMOTERS: Tom O'Loughlin, George Parmanas sports events.
ANNUAL CIRCUS: Holiday on Ice, Shrine Circus, Home Show, Gladola Show. Exhibit Space: 17,000 sq. ft.
MEMBER: IAAM.
REMARKS: Air conditioning; parking space for 1,000 at Auditorium lot. Railroad cars can be unloaded at back door. Stand ample for all attractions.
Largest Convention and Exposition Building Under One Roof in the United States...
the INTERNATIONAL AMPHITHEATRE
CHICAGO
MOST DIVERSIFIED STRUCTURE OF ITS KIND IN THE NATION
AIR-CONDITIONED ARENA
- Seating 12,000 persons.
- Public address system, radio studios and 2,000 pairs of phone lines.
- Completely serviced with electric, gas, water and steam lines.
- TV coaxial cables.
- Dinner seating capacity 6,000.
AND NOW...
A $2,000,000 expansion program has just been completed... floor space has been increased from 260,000 square feet to 440,000 square feet. A railroad spur runs right into the building to accommodate 10 cars; electrical facilities to handle up to 10,000 KVA for industrial exhibits.
For the complete story of the Amphitheatre...a city within a city, contact
M. E. THAYER Manager INTERNATIONAL AMPHITHEATRE Chicago, Illinois
Phone: YArds 7-5580
Mississippi
City Auditorium, Columbus
SEATING CAPACITY: 2,500. Arena Floor: 80 by 90 feet. Concessions by building.
LOCAL PROMOTERS: Early Maxwell, and others.
SHOWS: Gospel Slags, Isers, "Grand Ole Opry."
Vicksburg Auditorium, Vicksburg
MANAGER: A. C. Strickland.
SEATING CAPACITY: 2,288. Permanent theater-type stage. Building operates concessions.
ANNUAL EXPOSITION: Home Show.
REMARKS: No conditioning or planning stage now.
Missouri
Arena, St. Louis
SEATING CAPACITY: 16,500. Arena Floor: 254 by 100 feet. Concessions by building.
ANNUAL SHOWS: Hollywood on Ice, Ice Capades, Tom Packs and Police Circuses.
Memorial Hall, Joplin
MANAGER: Lanier.
SEATING CAPACITY: 3,000. Arena Floor: 84 by 96 feet. Permanent theater-type stage. Concessions on percentage.
ANNUAL EXPOSITIONS: Home, Casino.
MEMBER: IAAM.
REMARKS: Completely air conditioned. Annual basketball tournaments. Annual Big 7 indoor track meet.
Municipal Auditorium, Kansas City
MANAGER: C. R. Hoff.
SEATING CAPACITY: 10,500, including 2,500 portable seats. Arena Floor: 100 by 100 feet. Temporary stage. Concessions leased.
ANNUAL SHOWS: "Holiday on Ice," "Ice Follies," Ringling-Barnum & Bailey Shrine Circus.
Auto Dog Shows. Exhibit Space: 90,000 sq. ft.
MEMBER: IAAM.
REMARKS: Air conditioned. Annual basketball tournaments. Annual Big 7 indoor track meet.
Municipal Auditorium, Moberly
MANAGER: Wm. Daly.
SEATING CAPACITY: 1,300, including 780 portable seats. Arena Floor: 70 by 70 feet. Permanent theater-type stage. Lessee operates.
Municipal Auditorium, St. Joseph
MANAGER: Lewis H. Wallace.
SEATING CAPACITY: 4,250, including 1,200 portable seats. Arena Floor: 200 by 100 feet. Permanent theater-type stage. Concessions leased.
LOCAL PROMOTERS: Bernard Witt Jr., stageman; Gust Karras, sports events.
SHOWS: Gil Gray Circus, Home and Police Circuses. Home, Police, Auto. Exhibit Space: 40,000 sq. ft.
MEMBER: IAAM.
REMARKS: Air conditioned.
Henry W. Kild Auditorium, St. Louis
MANAGER: L. J. Gauldson.
SEATING CAPACITY: (1) 10,500; (2) 3,600. Arena Floor: 100 by 169 feet. Permanent stage, concessions leased.
ANNUAL CIRCUS: Police. Annual Expositions: Home and Police. Auto. Exhibit Space: 100,000 sq. ft.
MEMBER: IAAM.
REMARKS: Air conditioned.
Montana
Shore Auditorium, Billings
MANAGER: John Jewell.
SEATING CAPACITY: 3,000, including 1,300 portable seats. Arena Floor: 70 by 120 feet. Permanent stage. Concessions by building.
ANNUAL SHOWS: Gil Gray Circus; Home, Auto Shows. Exhibit Space: 31,200 sq. ft.
MEMBER: IAAM.
New Jersey
Auditorium and Convention Hall, Atlantic City
MANAGER: P. E. M. Thompson.
SEATING CAPACITY: Arena, 40,000; Ice rink, 5,000. Arena Floor: 488 by 288 feet. Two permanent theater stages. Ice rink. Leased to Ice Show.
ANNUAL ICE SHOW: "Ice Capades." Exhibit Space: 250,000 sq. ft.
MEMBER: IAAM.
REMARKS: Fully equipped; air conditioning in ballroom; booth equipment. (Mosque) Terrace Room, Newark
MANAGER: Frank S. Smith.
SEATING CAPACITY: 2,500. Arena Floor: 70 by 100 feet. Stage. Concessions. All types of exhibits. Exhibit Space: 12,000 sq. ft.
Nebraska
Municipal Gym, Grand Island
SEATING CAPACITY: 5,500. Temporary stage. Concessions by building.
ANNUAL CIRCUS: Shrine.
Collinsville, Lincoln
MANAGER: Frank S. Smith.
SEATING CAPACITY: 9,000, including 3,000 portable seats. Arena Floor: 85 by 200 feet. Permanent theater stage. Concessions by building.
ANNUAL CIRCUS: Shrine. Exhibit Space: 28,000 sq. ft.
REMARKS: Colliseum to be constructed this fall.
Memorial Auditorium, McCook
SEATING CAPACITY: 1,816, including 900 portable seats. Arena Floor: 92 by 54 feet. Concessions leased.
ANNUAL CIRCUS: Gil Gray Shrine.
AR ARENA, Collinsville, Omaha
MANAGER: J. J. Isaacson.
SEATING CAPACITY: 10,000. Arena Floor: 100 by 100 feet. Permanent theater stage. Concessions leased.
ANNUAL SHOWS: Ice Capades, Hollywood Ice Revue, Home Show.
Omaha, Nebraska, Omaha
SEATING CAPACITY: 10,300, including 4,000 portable seats. Exhibit Space: 45,000 sq. ft. To be completed by February, 1955.
Ohio
you can reach more people with your event when you play THE MODERN, BEAUTIFUL HOBART ARENA TROY, OHIO
Here, in Troy, you will find a highly industrialized area concentrated in a small geographical location... assuring complete and economical coverage for any event that plays the Hobart Arena. The Arena's drawing area includes Dayton, Springfield and Lima, Ohio. Troy is the shipping center for the surrounding farm districts, making it a big trading area.
IT'S A FACT...
Your Event can be a Winner here just as these shows have been...
FACILITIES
Seating—5,000 Permanent Seats
Ice Rink—190 ft. x 85 ft.
6500 for Basketball & Stage Shows
8000 for Boxing & Wrestling
contact: KEN WILSON, Mgr.
Phone Troy 21294
HOBART ARENA, Troy, Ohio
ATTENTION, ARENA & FAIR MANAGERS!
AL TANSOR'S
WORLD'S CHAMPIONSHIP WILD WEST
25 Events including:
- BARBERACK
- BULL DOGGING
- SADDLE BROKE
- CALF ROPIN'
- BRAHMA BULLS
- WILD HORSE RACE
Cast of 100
- 100 Head of Stock
- Black Life Numbers
- Beautiful Costumes
Trick Riding • Dancing Horses • Rope Spinning • Clowns • Indian-Cowboy Shooting War • Cowgirls • Portable Chutes and Corrals
Arena Decorations • Colorful Parade of Flags • Safety Fences • All Equipment New. THE GREATEST WILD WEST RODEO IN AMERICA TODAY... BIGGER, MORE GLAMOROUS AND GREATER THAN THE 101 RANCH!
FEATURING
ROBERT RIPLEY'S "BELIEVE IT OR NOT"
PAT HENRY and GOLDEN TONY
The Only Horse in the World Trained to Carry a Lasso in His Mouth and Rope a Calf!
You may contact the following Arenas or Fair Boards for which I have played to sell-out crowds:
- Olympia Stadium, Detroit
- Coliseum, Canton, O.
- Milwaukee Arena, Milwaukee
- Shriners Club, Brainerd, Minn.
- Arena, Youngstown, O.
- War Memorial Coliseum, Johnstown, Pa.
- State Fair Park, Milwaukee
- Oshkosh Co. Fair, Seymour, Wis.
- Allamakee Co. Fair, Waukon, Iowa
- Warr Co., Mo., Neosho, Mo.
- Itasca Co. Fair, Grand Rapids, Minn.
- Door Co. Fair, Sturgeon Bay, Wis.
- Barron Co. Fair, Rice Lake, Wis.
- Howard Co. Fair, Cresco, Iowa
- Co. Fair, Manitowoc, Wis.
- Central Fair, Marshfield, Wis.
- Co. Fair, Shawano, Wis.
- Calumet Co. Fair, Chilton, Wis.
and many, many more.
Write, Phone or Wire A. J. TANSOR
135 W. Wells St., Suite 513, Milwaukee, Wis.
For the LARGEST and MOST MODERN ENTERTAINMENT FACILITIES in the SOUTHEAST... THE $4,500,000
DAVID OVENS AUDITORIUM and CHARLOTTE COLISEUM
Charlotte, North Carolina
TWO completely separate buildings, each equipped, built and designed specifically for its own type of events... with a 2,000-car parking area.
DAVID OVENS AUDITORIUM
- Seats 2,500
- Air-Conditioned
- Acoustically Perfect
- Stage 100 ft. wide by 50 ft. deep, 60 ft. proscenium
- Dressing rooms for stars, performers and choruses
- Large areas for equipment and scenery.
NO DETAIL OVERLOOKED... COMPLETELY PLANNED FOR
Musicals, Dramas, Concerts, Operas, Symphonies, Ballets, Radio and TV Shows and all types of Theatre Attractions. Can be used for meetings and conventions, where smaller facilities are needed.
CHARLOTTE COLISEUM
Ultra-modern circular building with the largest structural steel dome in the world... 332 ft. in diameter.
- Permanent Seating for 10,000
- Additional seating for 3,500
- Complete Ice Rink Facilities. Carefully designed and planned to handle a wide variety of attractions such as:
- Basketball
- Circuses
- Ice Shows
- Sports Events
- Horse Shows
- Rodeos
- Conventions
- Exhibitions...
and many, many more.
LOCATED IN AN AREA OF 2,000,000 PEOPLE WITHIN 60 MILES OF CHARLOTTE
YOU CAN HAVE THE GREATEST SUCCESS OF YOUR TOUR HERE.
For Complete Details contact PAUL BUCK, General Manager
1114 Liberty Life Bldg. Charlotte, N. C.
New York
Onondaga Co. War Memorial, Syracuse
DIRECTOR: E. J. Smith
SEATING CAPACITY: 9,000, including 2,500 portable seats. Arena Floor: 250 by 138 feet. Permanent stage. Ice rink. Concessions leased.
ANNUAL SHOWS: "Ice Capades" and "Ice Follies"; Whirl Shrine Circus; Sports Show; Dog Show, Exhibit Space: 48,000 sq. ft.
MEMBER: IAAM
REMARKS: Air conditioned.
Troy Arena, Troy
MANAGER: T. C. Bayly.
SEATING CAPACITY: 4,000. Arena Floor: 125 by 100 feet. Temporary stage, Exhibit Space: 25,000 sq. ft.
RPI Field House, Troy
SEATING CAPACITY: 9,000, including 5,000 portable seats. Arena Floor: 100 by 217 feet. Temporary stage, ice rink.
Western New York Center, Buffalo Plains
SEATING CAPACITY: 4,129. Arena Floor: 90 by 146 feet. Concessions by building.
ANNUAL SHOWS: Holiday on Ice, Ice Follies, Polack Circus, Winter Circus.
NORTH CAROLINA
Armen Auditorium, Charlotte
SEATING CAPACITY: 2,000. Arena Floor: 100 by 200 feet. Permanent stage. Concessions by lease.
Reynolds Coliseum, Raleigh
MANAGER: W. E. Betts.
SEATING CAPACITY: 12,700. Arena Floor: 312 by 108 feet. Temporary stage, ice rink. Concessions by building.
ANNUAL ICE SHOW: Ice Capades.
ANNUAL EXPOSITIONS: Farm & Home; 4-H Week.
MEMBER: AMA.
North Dakota
Devils Lake Memorial Building
MANAGER: F. J. Burkhart.
SEATING CAPACITY: 1,200. Arena Floor: 76 by 80 feet. Permanent theater-type stage.
Municipal Auditorium, Valley City
SEATING CAPACITY: 2,400. Arena Floor: 83 by 90 feet. Stage. Concessions.
ANNUAL EXPOSITIONS: North Dakota Winter Show.
Ohio
Canton Memorial Auditorium, Canton
MANAGER: Ralph D. Smith.
SEATING CAPACITY: 6,000, including 2,400 portable seats. Arena Floor: 85 by 190 feet. Permanent stage. Concessions by lease.
LOCAL PROMOTERS: L. C. L., Shows: Jaycees.
ANNUAL SHOWS: Holiday on Ice, Polack Circus, Shrine Circus, Industrial Horse Show, Shriners, Christmas Auto, Do-It-Self, Exhibit Space: 20,000 feet.
MEMBER: IAAM.
Emery Auditorium, Cincinnati
MANAGER: W. Norman Drewry.
SEATING CAPACITY: 2,200. Arena Floor: 54 by 30 feet. Permanent theater-type stage.
Civic Auditorium & Exhibition Building, Toledo
MANAGER: Charles W. Weber.
SEATING CAPACITY: 2,700. Permanent theater-type stage. Concessions leased.
LOCAL PROMOTERS: Milt Tarloff, Home & Travel Show; Paul Spur, Sports & Home Show.
Sports Arena, Toledo
MANAGER: Andy Muldoon.
SEATING CAPACITY: 7,000, including 2,000 portable seats. Arena Floor: 100 by 200 feet. Temporary stage, Ice Rink, Concessions, Sport Service, Inc.
ANNUAL SHOWS: Holiday on Ice, Polack Circus, Shrine Circus & Builders Show, Exhibit Space: 20,000 sq. ft.
MEMBER: IAAM, AMA. Good acoustics.
Pennsylvania
Yaffe Motor, Altoona
SEATING CAPACITY: 1,000, including 800 portable seats. Arena Floor: 75 by 82 feet. Permanent theater-type stage, 65 by 37 feet. Building operates concessions.
ANNUAL SHOW: Holiday on Ice, Hamil-Morton Shrine Circus.
REMARKS: Boston Pops Orchestra, "OK" Band, comedy.
Hershey Sports Arena, Hershey
MANAGER: G. W. Bartels.
SEATING CAPACITY: 9,000. Arena Floor: 85 by 200 feet. Temporary stage, Ice Rink, Concessions by building.
ANNUAL ICE SHOWS: Ice Capades, Ice Follies, Exhibit Space: 17,000 sq. ft.
MEMBER: AMA.
State Armory, Wilkes-Barre
MANAGER: C. W. H. Smith.
SEATING CAPACITY: 5,000, including 4,100 portable seats to be furnished by tenant. Arena Floor: 110 by 240 feet. Concessions, usually by building.
ANNUAL CIRCUS: Shrine. Annual Expositions, shows of a Produce Trade Show. Exhibit Space: 27,000 sq. ft.
Commercial Museum and Convention Hall, Philadelphia
MANAGER: Santo S. Paoneta.
SEATING CAPACITY: 13,000, including 6,300 portable seats. Arena Floor: 146 by 292 feet. Thater-type stage. Concessions by building.
ANNUAL SHOWS: Home Flower, Sports Dog, Exhibition Space: 20,000 sq. ft.
MEMBER: Auditorium Managers' Association.
REMARKS: Convention Hall air conditioned by splitting.
Pittsburgh Gardens, Pittsburgh
MANAGER: Harry D. Harris.
SEATING CAPACITY: 5,500. Arena Floor: 190 by 100 feet. Temporary stage. Ice Rink. Concessions leased.
ANNUAL SHOWS: Ice Capades, Ice Follies, Shrine Circus, Industrial Horse Show.
MEMBER: IAAM, AMA.
Syria Mosque, Pittsburgh
MANAGER: Leonard G. Kessler.
SEATING CAPACITY: 1,750. Permanent theater-type stage, Symphony, Opera, Bands. Exhibit Space: 15,000 sq. ft.
REMARKS: Exhibits by air conditioned, High School Auditorium, Vandergrift Auditorium, Dr. F. Siebler.
SEATING CAPACITY: 4,000.
Rock Hall, Allentown
MANAGER: Rev. Richard J. Looper.
SEATING CAPACITY: 3,930, including 400 portable seats. Arena Floor: 50 by 90 feet.
ANNUAL SHOWS: Globe Trotters, and Horace Heidt.
South Carolina
Memorial Auditorium, Spartanburg
MANAGER: Van C. Ivey.
SEATING CAPACITY: 3,500.
Auditorium, 3,400. Arena Floor: 120 by 85 feet. Permanent theater-type and temporary stages. Concessions by building.
ANNUAL SHOWS: Ice Vagues, Home Show, Sports Show, Antique Show, All-Night Sings.
South Dakota
Comstock Arena, Mitchell
SEATING CAPACITY: 3,500. Arena Floor: 130 by 70 feet. Permanent theater stage. Concessions by building.
ANNUAL SHOWS: Ice Show, Expositions, Corn Show.
Tennessee
Ellis Auditorium, Memphis
MANAGER: Chauncey Barrbour.
SEATING CAPACITIES: (1) 2,500; (2) 2,450. Arena Floor: 96 by 120 feet. Permanent stage, Building and lease operates concessions.
PROMOTERS: Chai, A. McElravy, Early Maxwell.
ANNUAL SHOWS: Holiday on Ice, Santa Fe; World Mortons' Shrine Circus; Automobile Shows. Exhibit Space: 23,066 sq. ft.
MEMBER: JAAM.
**Amarillo, Nashville**
SEATING CAPACITY: 2,000. Arena Floor: 150 by 90 feet. Temporary stage. Concessions by building.
SHOWS: Trade Shows, Gospel Sings, Dances.
**Ryman Auditorium, Nashville**
MANAGER: Mrs. L. C. Naiff.
SEATING CAPACITY: 3,200. Permanent theater stage. High Proscenium. Concessions leased usually.
LOCAL PROMOTER: Harry Draper—Concerts, ballets, symphony shows, etc.
REMARKS: "The Grand Ole Opry," 18th year on Saturday nights; "All Night Singing" in 5th year, 1st Friday every month.
**Texas**
Municipal Auditorium, Amarillo
MANAGER David O. DeVald.
SEATING CAPACITY: 2,553. Theater-type stage. Concessions leased. Exhibit Space: 7,900 sq. ft.
MEMBER: JAAM.
REMARKS: Spot light, sound system, air conditioning.
City Auditorium, Galveston
MANAGER: City Commission.
SEATING CAPACITY: 7,000, including 4,000 portable seats. Arena Floor: 60 by 81 feet. Permanent theater-type stage. concessions leased.
**Sam Houston Coliseum, Houston**
MANAGER: Francis R. Deering.
SEATING CAPACITY: 13,000, including 4,000 portable seats. Arena Floor: 92 by 190 feet. Temporary stage. Ice Rink. Concessions leased.
ANNUAL SHOWS: Ice Cycles, Holiday on Ice, Shrine Circus, Home Show, Christmas Show, Boy Scouts, Flower Show, Auto Show, Sports Show, Exhibit Space: 130,000 sq. ft.
MEMBER: IAAM.
REMARKS: Air conditioning, escalators to balconies.
Municipal Auditorium, San Angelo
MANAGER: C. E. Starkie.
SEATING CAPACITY: 3,000, M 30 M 30 Permanent theater-type stage. Concessions by building. Symphony Orchestra, Home Show, College Concert Series.
**Memorial Auditorium, San Antonio**
MANAGER: Solomon Wolf.
SEATING CAPACITY: 5,800, including 1,250 portable seats. Arena Floor: 78 by 98 feet. Permanent theater-type stage. Concessions leased.
ANNUAL SHOWS: Ice Cycles (Pollock), Exposition of Modern Living. Exhibit Space: 20,000 sq. ft.
REMARKS: Air conditioned.
**Memorial Auditorium, Wichita Falls**
MANAGER: Geo. A. Mobley.
SEATING CAPACITY: 1,144. Permanent theater stage. Concessions by building.
REMARKS: air cooled only, fan type. Not equipped for sports events. Most of our entertainment is concerts and stage shows.
**Austin, Austin**
SEATING CAPACITY: 4,000. Arena Floor: 108 by 140 feet. Concessions by building.
**Will Rogers Memorial Auditorium, Fort Worth**
MANAGER: Emmett Race.
SEATING CAPACITY: 10,147. Auditorium Floor: 250 by 125 feet. Permanent theater-type and temporary stages. Ice rink. Concessions leased.
ANNUAL SHOWS: Ice Cycles, Ice Capades, Stock Show, Farm-Ranch Show.
**High School Auditorium, McAllen**
SEATING CAPACITY: 10,000.
ANNUAL SHOWS: Ice Vogues, Sports and Hobby Shows.
**Henry B. Gonzalez Coliseum, San Antonio**
SEATING CAPACITY: 10,200. Arena Floor: 125 by 325 feet. Temporary stage. ANNUAL SHOWS: Ice Vogues, Home Show, Gill Gray Circus, Holiday on Ice.
**Utah**
Price City Hall, Price
MANAGER: Chester Mills.
SEATING CAPACITY: 1,852. Permanent theater stage.
**Vermont**
Memorial Auditorium, Rutland
SEATING CAPACITY: 1,200. Arena Floor: 80 by 120 feet. Permanent theater stage.
**Virginia**
City Auditorium, Danville
SEATING CAPACITY: 2,057. Permanent theater stage. Concessions leased.
Municipal Auditorium, Norfolk
MANAGER: John P. Lynch.
SEATING CAPACITY: 4,000. Arena Floor: 90 by 90 feet. Concessions leased.
ANNUAL SHOWS: Holiday on Ice, Polack Circus.
MEMBER: IAAM.
**Richmond Arena, Richmond**
MANAGER: W. E. Raines.
SEATING CAPACITY: 7,000.
EXHIBIT SPACE: 60,000 sq. ft.
REMARKS: Parking for 2,000. Railroad sidings nearby.
**Mosque, Richmond**
SEATING CAPACITY: 4,676. Stage. Concessions by building.
ANNUAL SHOWS: Ice Vogues, Polack Circus.
**WRVA Theater, Richmond**
MANAGER: Jack Stone.
SEATING CAPACITY: 1,264. Permanent theater stage. Building operated by promoter.
REMARKS: Lewis Theater with stage suitable for any legit or small musical attraction.
**Wisconsin**
Fond Du Lac Arena, Fond Du Lac
MANAGER: John F. Pfeifer.
SEATING CAPACITY: 1,600. Permanent theater stage. Concessions by building. Air conditioning.
Memorial Auditorium & Armory, Eau Claire
SEATING CAPACITY: 4,000. Arena Floor: 89 by 97 feet. Permanent theater stage. Concessions leased.
LOCAL PROMOTER: August Stubler.
shows, dances, etc.
ANNUAL EXPOSITIONS: Home Shows & Sports Shows.
**Milwaukee Arena, Milwaukee**
MANAGER: Elmer Krahm.
SEATING CAPACITY: 12,500. Arena Floor: 105 by 126 feet. Permanent theater-type stage. Ice Rink. Concessions leased.
ANNUAL CIRCUS: Clyde Bros.
**Turner Hall, Watertown**
MANAGER: William Williams.
SEATING CAPACITY: 1,900. Arena floor: 75 by 125 feet. Stage.
LOCAL PROMOTER: Howard Weibert.
ANNUAL EXPOSITIONS: Home and Sports Shows. Exhibit space.
**Hawaii**
Civic Auditorium, Honolulu
MANAGER: Al Karsaik.
SEATING CAPACITY: 6,000, including 1,500 portable seats. Temporary stage.
LOCAL PROMOTER: Al Karsaik. Exhibit Space: 10,000 sq. ft.
REMARKS: Shown, Carmen Miranda, Xavier Cugat, Spike Jones, Lily Pons, Lauritz Melchior, Jose Iturbi, etc.
**Spokane, Spokane, Spokane**
MANAGER: Benjamin C. Moore.
SEATING CAPACITY: 8,500. Arena Floor: 130 by 25 feet. Building operates concession stands. Admission: 75 per cent of events.
ANNUAL SHOWS: Ice Cycles, Ice Frolics, Shrine Circus, Auto, Home, Sport and Electrical show. Industrial Fair.
SEATING CAPACITY: 44,000 sq. ft.
MEMBER: IAAM.
REMARKS: Air conditioning. Building now being completed.
**West Virginia**
Municipal Auditorium, Charleston
SEATING CAPACITY: 3,500. Permanent theater stage. Concessions leased.
ANNUAL SHOW: Holiday on Ice, Polack Circus.
**Memorial Auditorium, Fayetteville**
MANAGER: Robert H. Brown.
SEATING CAPACITY: 3,106. Arena Floor: 80 by 103 feet. Permanent theater-type stage. Concessions by building.
**Nanaimo Civic Arena, Nanaimo**
MANAGER: W. S. Oliver.
SEATING CAPACITY: 2,900, including 1,600 portable seats. Arena Floor: 80 by 100 feet. Temporary stage. Ice Rink. Concessions by building.
ANNUAL ICE SHOWS: Local Ice Carving.
ANNUAL SHOWS: Fall Fair. Exhibit Space: 14,400 sq. ft.
MEMBER: Arena Managers' Association of British Columbia.
**Nelson Civic Centre, Nelson**
MANAGER: Jack Morgan.
SEATING CAPACITY: 1,625, including 1,000 portable seats. Arena Floor: 80 by 40 feet. Temporary stage. Ice Rink. Concessions by building.
ANNUAL SHOWS: "Canadian Ice Fantasy." Home Shows. Arena Managers' Association of British Columbia.
MEMBER: Arena Managers' Association of British Columbia.
**Trail Memorial Center, Trail**
MANAGER: Reg Stone.
SEATING CAPACITY: 3,661, including 1,000 portable seats. Arena Floor: 200 by 85 feet. Temporary stage. Ice Rink. Concessions by building.
ANNUAL ICE SHOWS: "Canadian Ice Fantasy." Home Shows. Arena Managers' Association of British Columbia.
MEMBER: Arena Managers' Association of British Columbia.
**In The Carolinas... there is only one for top grosses**
**THE NEW, MODERN**
**SPARTANBURG MEMORIAL AUDITORIUM and ARENA**
"The Showplace of the South"
Spartanburg, South Carolina
In the Heart of the Piedmont Carolinas
**CANADA**
**British Columbia**
**Canada's Most Modern Amphitheatre**
**Le Colisee-Quebec Coliseum**
**Quebec City, Quebec, Canada**
A Complete and unobstructed view from every one of the 10,000 seats . . . with additional accommodations for 10,000 more!
**Fire-Proof—Acoustically Ideal for Musical Entertainment of All Types**
For complete details contact
**EMERY BOUCHER**, Manager
**QUEBEC COLISEUM**
Quebec City, Quebec, Canada
Ideally suited for Ice Shows—Roller Skating Revues—Rodeos—Circuses—Sports Events—Concerts—Symphonies—Home Shows—Trade Shows—Special Events—Industrial Exhibitions, etc.
**Texas Second Largest**
Some of the Successful Events that Played Here in '54:
- Flower Show
- Heart O' Texas Fair & Rodeo
- Harlem Globetrotters
- Gill Gray's Shrine Circus
- Boy Scout Circus
- Exhibit Buildings Available for Smaller Attractions
TO Aud-Arena Managers all over the world... Thanks for your fine co-operation. It has been our privilege and pleasure to have performed in every major arena and auditorium in the world, to your appreciative audiences.
"WHEREVER YOU ARE... WE'LL SOON BE SEEING YOU"
HARLEM GLOBETROTTERS
"Magicians of Basketball"
ABE SAPERSTEIN, Owner-Coach
Chicago: 127 N. Dearborn St. Cable Address—SAFSPORT, Chicago
New York: 7804 Empire State Bldg. Cable Address—SAFSPORT, New York
KITCHENER MEMORIAL AUDITORIUM
Western Ontario's Finest
90 Miles From Buffalo 200 Miles From Detroit
SEATING CAPACITY
6300 permanent Seats
1200 tiered floor seats
1500 standing room parking for 1500 cars
17 Dressing Rooms
STAGE 24 x 56 Max.
24 x 24 Min.
20 Set Lines
300,000 potential in 25 mile radius Full Width Curtain, Artificial Ice (15 Mr. Changeover), Excellent Acoustics
BOOKING NOW FOR SPRING, 1955
H. M. "BOB" CROSBY 400 East Ave.
Manager Kitchener, Ontario, Canada
MUNICIPAL AUDITORIUM
★ ARENA Seats 10,500
★ EXHIBITION HALL 100,000 Sq. Ft.
★ MUSIC HALL Seats 2,572
★ LITTLE THEATRE Seats 600
KANSAS CITY, MISSOURI
Your Attraction in our building will be presented—
In the Top Industrial City of the Middle West. Near the Heart of the World's Greatest Wheat Belt. In one of the Largest Wheat Growing Areas of the U. S. Surrounded by Middle West's Great Corn Belt. In the Great Fruit Farms Belt of the Missouri Valley. In the Center of the Nation's largest Cattle & Hog Raising Area. With over 2,500,000 entertainment conscious people to draw from.
We have facilities for — PACKAGED SHOWS — SPORTS EVENTS — BANQUETS — INDUSTRIAL SHOWS — CONVENTIONS — CONCERT ARTISTS — INDOOR CIRCUSES — SKATING SHOWS — TV PRODUCTIONS — EXHIBITS.
CLARENCE B. HOFF Director
1310 WYANDOTTE STREET
MEMORIAL COLISEUM
CEDAR RAPIDS, IOWA
ATTENTION, ALL BOOKING AGENTS
WANTED IMMEDIATELY!
We are interested in any promotion that you have available. Place our name on your mailing list TODAY.
NOW BOOKING FOR 1954-'55 SEASON
Write or Phone 26511, Cedar Rapids, Iowa
CHARLES A. ZIOGAS Manager
FAIR PARK COLISEUM
Lubbock, Texas
Connected with the Panhandle South Plains Fair. Bring your special event to Texas in one of the nation's "highest-income-per-family" markets.
A. B. DAVIS, Manager
FAIR PARK COLISEUM
Lubbock, Texas
MEMORIAL GYMNASIUM
Hazard, Kentucky
A Center of Activity for 50,000 people... who know and want good entertainment.
SEATING CAPACITY 2,500
EXHIBIT SPACE 10,000 Sq. Ft.
ARENA FLOOR 100 Ft. x 60 Ft.
For Complete Details Contact JAMES CAUDILL, Manager HAZARD, KENTUCKY
FAYETTE COUNTY MEMORIAL AUDITORIUM
FAYETTEVILLE, WEST VIRGINIA
Suitable for Any Type of Event or Attraction
ADAPTABLE FOR
CIRCUSES • SPORTING EVENTS • VARIETY SHOWS
MUSICALS • SPONSORED EVENTS... what have you?
For available dates and rental information write or wire Fayetteville, West Virginia
Copyrighted material
**NEWS REVIEW**
**Ice 'Follies,' 'Capades' Flash New Big Shows**
**Ice Follies of 1955**
Ice Follies was produced by Shubert and Johnson. Directors, Francis Chodet, Mary Jane Lewis and Stanley D. Kahn. Executive, P. K. Von Egidy. Public relations, J. Givens. Stage manager, R. J. Helm. Music director, George Hackett. Emcee and vocalist, Jack L. Warner.
PRINCIPALS: Richard Dwyer, Betty Bates, Frances Lynam, Alan Konrad, Rosemary Henderson, Bobby Masson, Helen Darwent, Johnny Lettinger, Ed Raiche, Ken Mullen, Ed Raiche, Willie Kall, Hugh Forgie, Stig Larson, Eddie Runyon, Sylvia and Michel. Produced by John H. Harris. Choreography by Ron Fletcher. Costumes by Billy Livingston. Orchestra conducted by Jeri Mayhew. Reviewed Wednesday, September 15, at Madison Square Garden, New York.
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**Ice Capades of 1955**
Donna Atwood, Orrin Markus, Irma Thomas, Bobby Specht, Larry Jackson, Bernie Lynam, Alan Konrad, Rosemary Henderson, Bobby Masson, Helen Darwent, Johnny Lettinger, Ed Raiche, Ken Mullen, Ed Raiche, Willie Kall, Hugh Forgie, Stig Larson, Eddie Runyon, Sylvia and Michel. Produced by John H. Harris. Choreography by Ron Fletcher. Costumes by Billy Livingston. Orchestra conducted by Jeri Mayhew. Reviewed Wednesday, September 15, at Madison Square Garden, New York.
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**Continued from page 1**
a blend of enthusiasm in their skating turns that captivates the fancy of the audience. "Ice Follies" is a must for mopeds, especially so via a science fiction fantasy routine titled "Planet G" and "Picnic in Podunk." Both numbers feature costumed animal characters, with shelter Georgiana Sutton a standout in the former.
Equal approval was voiced for star Richard Dwyer in "The Young Debonair" and "Smooth Sailing," the latter assisted by Miss Sutton. The boy displayed a wealth of showmanship, skill and poise and was deserving of the throng's response.
Among the production highlights are "Dovoe Mexico Way," featuring Ol' Charlie and Dick Merton in blude comedy and introducing The Henry's, a father and seven-year-old son act that drew a thunderous ovation; the aerial work of Marie Crimmins; "Noel" and "Just Imagine," the Marilyn Monroe of the ice in newcomer Frances Dorsey and comedy by The Sad Sacks, the Kermond Brothers and The Scarecrows.
In "The Show," Mr. Dwyer is back, without his partner Frank again, and as usual he invites solid laughter via his uproarious turn.
Above and beyond the action itself is the overall genius of its packaging, for which designer Helen Ross deserves the accolades for generating eye-appeal via triumphant creation of color and design. The excellent application of the dance and ballet technique to ice and the literal astounding use of props and lighting, all went toward making this production the winner it is.
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**Fisher Frolic**
Continued from page 20
Wood, Danny Kessler and Monte Proser.
Music men presented special gifts to Fisher, Milton Blackstone and Jenny Greenberg.
The committee's handling arrangements included Julie Chester, Micky Addy, Spina and O'Keefe.
There was no information available on the amount of beer, lox, bagels and matzoh balls consumed in the two days, tho it was generally agreed to be a record amount—even for the music business.
---
**Quebec**
Colisée, Quebec
MANAGER: Ernest Boisvert.
SEATING CAPACITY: 10,000 plus 2,000.
Arena Floor: 200 by 45 feet. Temporary stage. Ice rink. Concessions leased.
ANNUAL SHOWS: "Canadian Ice Fantasies," Garden Bros. Circus, Trades Fair, Morton Circus, Provincial Fair. Exhibits Space: 15,000 sq. ft.
MEMBER: U.A.A.M.
REMARKS: Ice hockey, opera, dancing TV exposition; specially ventilated building.
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**Memorial Community Center, Smiths Falls**
MANAGER: G. G. Garbutt.
SEATING CAPACITY: 3,000, including 1,000 portable seats. Arena Floor: 80 by 180 feet. Temporary stage. Ice rink. Concessions by building.
ANNUAL SHOWS: Ottawa Minto Flashes, Garden Bros. Circus, Trade Fair, Hocken Dancers, Roller Skating and Shows. Exhibit Space: 14,400 sq. ft.
The Arena, Sudbury
MANAGER: George Panter.
SEATING CAPACITY: 2,000, including 1,500 portable seats. Arena Floor: 196 by 85 feet. Ice rink. Building operates concessions.
ANNUAL SHOWS: "Ice Cycles," String Circus, Home, Sports, Commerce and Industries. Exhibit Space: 35,000 sq. ft.
MEMBER: Ontario Arena Managers.
Tillsonburg Memorial Arena, Tillsonburg
MANAGER: Oscar H. Lee.
SEATING CAPACITY: 1,600, including 1,000 portable seats. Arena Floor: 185 by 80 feet. Ice rink. Concessions leased. Exhibit Space: 16,000 sq. ft.
MEMBER: Ontario Arena Association.
Lion's Labour's Memorial Arena, Toronto
MANAGER: Jack Chalmers.
SEATING CAPACITY: 1,800. Arena Floor: 85 by 200 feet. Stage. Ice rink. Concessions by building.
SHOWS: None. Space. Exhibit Space: 20,000 sq. ft.
MEMBER: Ontario Arena Association.
Welland-Crowland Arena, Welland
MANAGER: W. J. Dahmer.
SEATING CAPACITY: 2,424 plus 500 portable seats. Arena Floor: 190 by 190 feet. Ice rink. Concessions leased. SHOWS: Local Ice Show, Auto Show.
MEMBER: Ontario Arena Association.
Walkerton Memorial Arena, Walkerton
MANAGER: Earl H. Gray.
SEATING CAPACITY: 1,535. Arena Floor: 100 by 80 feet. Temporary stage. Ice rink. Concessions by building.
ANNUAL SHOWS: "Canadian Ice Fantasies," Garden Bros. Circus, Trades Fair, Morton Circus, Provincial Fair. Exhibits Space: 15,000 sq. ft.
MEMBER: Ontario Arena Association.
REMARKS: Very good acoustics, lighting, forced draft ventilation.
---
**Robinson Memorial Auditorium**
Little Rock, Arkansas
MODERN THEATRE
- Seats 2,970 persons
- Stage, 100 ft. by 40 ft.
- Proscenium arch, 35 ft. high, 60 ft. wide
- Gridiron 74 ft. above stage
- Plenty of dressing room space
- Hammond organ in pit
Contact A. W. Harville
Manager
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**Mayo Civic Auditorium**
Rochester, Minnesota
Minnesota's Third Largest Marketing Area drawing from 220,000 Trading Population...
Promoters • Sponsors • Manufacturers
Come to Rochester with Your Special Events:
- Ice Shows
- Legitimate Shows
- Stage Shows
- Conventions
- Sports Shows
- Home Shows
- Banquets
- Trade Shows
- Exhibitions
Contact ALBERTA CHANCE, Business Manager
39 Second Ave., S. E.
Rochester, Minnesota—Phone: 3963
---
**Peabody Auditorium**
Daytona Beach, Florida
One of Florida's Finest Tourist Centers With Permanent Trading Population of 81,000
This Beautiful Modern Indoor Auditorium is fully equipped for:
- Ice Shows
- Large Productions
- Conventions and Trade Shows
- Special Events of All Kinds
Outstanding Features:
- Large Stage—40 ft. deep, 48 ft. arch
- 3,560 seat capacity
- Sloped floors
- Latest sound and lighting equipment
- Completely air conditioned
Contact HENRY DE VERNER
Managing Director
Auditorium Blvd.
Daytona Beach, Fla.
---
**Emery Auditorium**
Available for shows, concerts, lectures, broadcasts. Wonderful acoustic properties. 2,200 seats. Stage 54 ft. wide at proscenium arch. 36 ft. deep.
Excellent parking facilities about the auditorium. Numerous bus lines to the door.
For information write
W. NORMAN DREWRY, MANAGER
EMERY AUDITORIUM
Central Parkway at Walnut
Cincinnati 10, Ohio
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U. S. SEATING CO.
570 SEVENTH AVENUE, NEW YORK, N. Y.
Phone: LONGacre 3-3524
105 NO. STATE ST., CHICAGO, ILL. Phone: ANDover 3-4945.
over 67,000 ACTIVE BUYERS read The Billboard Classified columns each week
YAKIMA, WASH., GETS AWAY STRONG
Attendance First Two Days Races 14,178 Ahead of Same Time in '53
YAKIMA, Wash., Sept. 25.—At the end of the first two of its annual five-day run, the Central Washington Fair here had 14,178 ahead in attendance over the same 1953 days. Pulling 30,000 opening Wednesday (22), the event got a surprising 20,870 the following day despite the fact that President Eisenhower's dedication of the McNary Dam practically emptied the city.
Manager J. Hugh King successfully tried out a new ticket selling policy by starting the advance pitch four weeks before the fair. The committee is issuing an automobile day on coupons attached to tickets purchased in advance.
The fair is offering a stageshow twice daily headlined by the Hoosier Hot Shots. On the program are the Great Rasini, rocket car; the Cepler Family; Ford and Harris, comedy dancers; Roby and Dell, acrobats; Boy Toy and Partner, jugglers; Dick Berg and His Hollywood Show, and Bill Baker and orchestra. Del Lambert emcees the show booked thru Jerry Ross of Seattle.
Big Fireworks
The first two nights featured an elaborate fireworks display presented by Thearle-Duffield of Chicago and handled by Art Briese. A horse show program for three nights was started last night.
Meeker Shows, headed by Jo and Ralph Meeker, is featured on the midway with 20 major and kid rides 6 shows and 60 concessions. The Meekers have played the spot for eight years.
Film star Audie Murphy, in the area for the shooting of "To Hell and Back" for Republic Pictures, was guest of the exposition Friday night and awarded some of the trophies.
Manager King debuted two new buildings on the carnival midway, the Skooper, operated by Robert L. Miller of Portland, and a Dark Ride, the structure being put up by Meeker. An all metal grandstand, enlarged and improved this year to replace the old one destroyed by fire two years ago, was also put into use.
DALLAS PREXY EVER READY TO PLUG HIS FAIR
DALLAS, Sept. 25—R. L. Thornton, president of the Fair of Texas and mayor of Dallas, took advantage of his opportunity to slip in a plug for his favorite subject, the State Fair, in a recent hearing of the Civil Aeronautics Board in Washington, D. C.
The presiding at a hearing at which 25 leading Dallas citizens appeared to argue on behalf of additional airline services from Dallas to the Northeast. When it became Thornton's turn to speak, he was asked if it was not true that he was chairman of the board of directors of the Merchantile National Bank, mayor of Dallas, and president of the State Fair of Texas. Thornton replied, "Yes, I would might say for the record that it is also the largest State fair in the world."
KAN. STATE GATE BEATS '53 BY 10%
Gate, Grandstand, Midway Takes Up 12%; Sunday 110,000 Crowd Sets New 1-Day Mark
HUTCHINSON, Kan., Sept. 25.—The Kansas State Fair closed its six-day run here Thursday (24) after pulling its second largest attendance on record, upward of 374,000 people, a substantial 10 per cent increase over a year ago. A new one-day mark was set Sunday (19) when 110,000 patrons swarmed over the grounds to see the fair, a program of stock car races with Vern Hamilton and the Barnes-Carringers night grandstand revue.
Altho drought conditions in this part of the State are serious, most farmers came up with a good wheat crop this year, which helped sales. According to Virgil C. Miller, unaudited reports indicated the fair's income from the gate, grandstand and concessions was up 12 per cent, with much of the increase credited to the dropping of the federal amusement tax.
Overflow Crowds
The Barnes' revue, in front of the grandstand each evening, drew a full or overflow stand on five of the nights. Gene Holter's wild animal show, in for a matinee show on both Monday and Wednesday, pulled stands the first day but came back with an equally good crowd for its second showing. Tuesday's performance was marked by Secretary Miller taking top honors in the herding contest. Frank Winkler's program of hot car races on Tuesday can off to a good crowd, but the turnout for the final day, when Aut Swenson's thrill show was on tap, was just fair. Fair opened Saturday (18) with labor races also produced by Hamilton, who had 94 vehicles on the oval.
Rides, brought in by Brodbeck & Schrader, were up over last year.
POMONA Gate Lags Behind 1953 Total
Night Turnouts Steady as 90-Degree Heat Cuts Into Daytime Attendance
POMONA, Calif., Sept. 25.—First five days the turnstiles clocked over last year's comparable figures on two occasions—the first and the fifth. The upward trend on the fifth indicated that more motorists were driving through the fair's freeway route. The gain totaled on these two days was 3,350. The greatest per day loss was Sunday (19) when 86,398 were recorded, compared with 94,579 in 1953.
The fair's theme is "The American Way." The exposition closes October 3.
7,700 Attend K.C. Opener Of 'Holiday'
KANSAS CITY, Mo., Sept. 25.—"Holiday on Ice of 1955 skating revue opened a five-day run Friday (10) to a near-capacity crowd of 7,700 customers in the Municipal Auditorium.
The ice show has 28 acts. The company of 125 includes 36 "Glamour Iceers," a chorus of girl skaters.
One of the production numbers is "The Merry Widow," presented to Franz Lehár's immortal music. It has Jinx Clark in the title role and Rudy Richards as Prince Danilo.
Other top entertainers include Arnold Shook, Kay Servatius, Jeanne Chedule, Bob Sacente and Paul Andre. The show moved here from its season opener the previous week in Sioux City.
Adams Killed In Cliff Leap
VERONA, Wis., Sept. 25.—Kenneth J. Adams, 31, was killed here Sunday (19) when he failed to jump from a car that he was to plunge over a 65-foot cliff. The stunt was billed as a climax to a program of stock car races.
Drought Conditions Hurt Muskogee Fair
MUSKOGEE, Okla., Sept. 25.—The Oklahoma Five Star Fair, hit by severe drought conditions for the second consecutive year, demonstrated its pulling power this week, and attendance was holding up well. Mr. Tweedt, secretary, estimated that more than the free outside gates was off only 8 per cent, and said that this was far below what the fair board had anticipated.
Spending at the fair, which draws most of its patronage from rural areas, was also off. Grandstand business, as a whole, was down 12 per cent. The night gate dropped off 25 to 30 per cent, and parking revenue was off approximately 10 per cent, as many parents parked outside the grounds to save the parking fee.
Despite the tighter money situation midway grosses by 20th Century Shows was up about 20 per cent. This was attributed to the fact that the show had increased earning power by the addition of shows and rides. A sec-
(Continued on page 61)
Tenn. State Fair Threatens Records
Enters Final Day With 15% Gate Increase; Grandstand, Midway Receipts Ahead of '53
NASHVILLE, Sept. 28.—The Tennessee State Fair this week was hoping to break its all-time attendance record, and went into its final day with orders for a 15 per cent lead over 1953 gates count. Ideal weather prevailed all week, following the heavy rain that washed out opening day attractions Monday (20).
Total receipts are also well ahead of last year, according to L. E. Griffin, secretary, and several grandstand crowds during the week climbed up to 10,000.
A revival booked thru the Ernie Young Agency, played to good turnouts all week in front of the grandstand. Stock car races, produced by a local promoter, went off before a overflow crowd Wednesday afternoon and motorcycle races Thursday pulled a big turnout. The Aut Swenson Thrill Show, rained out of its Monday show, was back on the following day and played to a good-sized crowd. The Fireworks Corporation of America produced the night pyro displays.
Big-car races, always a strong attraction, were run off Friday afternoon by Al Sweeney's National Speedways, Inc., and drew a packed grandstand. The second program, scheduled for this afternoon, has chalked up a strong advance ticket sale. The fair today almost all reserved duets were taken.
The Gooding Amusement Company, fortified by a strong line-up including "Dancing Waters," was running well ahead of last year when the Cavalcade of Amuse-
ments had the midway here. The water unit scored big takes all week and rides were doing their usual whopping business.
The fair had its largest livestock show on record. It was necessary to build a new barn to handle the big entry list. Also strong was the women's department where entries overflowed in almost every class. Commercial space was at a premium, many exhibitors completely sold out 60 days before the annual opened. Total premiums this year amounted to $62,000.
Wagner 10% Over '53; Two Dates Washed Out
GREAT BARRINGTON, Mass., Sept. 25.—Buddy Wagner's Auto Daredevils ran into rain twice last week, losing a day apiece at the Brackton and Barrington Fairs. Brockton was resupped nicely on Sunday (12) with hefty houses for two shows, following a washout on opening day due to Hurricane Edna.
Wagner's unit was in for 10 performances at Brockton, following successful stands at Schaghticoke, Conn.; Ludlow, Mass.; Rhinebeck, N. Y.; and Chatham, N. Y., the previous two weeks. The Labor Day stand in Leighton came on a record fair day in perfect weather, and the stands were full.
Repeat dates played thus far this season have been around 10 per cent ahead of 1953, Wagner claimed.
The Eastern unit, headed by Bob LaBay and Chuck Cowling and featuring Lucky Walters' dynamite act, was the one washed out here on closing day Sunday (19). The second group with Ray Wagner, Buddy Brooks and John Purtili as key personnel, was showing at Maine dates and in Ohio, with good stands at South Paris, Farmingham, Windsor, Springfield and Cherryfield, all in Maine.
Aqua Assn. Elects New Officials
MINNEAPOLIS, Sept. 25—Robert W. Blackmun was elected president of the Minneapolis Aquatennial Association at its annual meeting Tuesday. Other officers named were Otto Silha and Gordon Ballhorn, vice-presidents; John Lamb, secretary; John Diracles, treasurer; D. W. Orton, honorary chairman of the board.
Financial report showed the association collected $82,960 from the income-producing activities of the 1954 Aquatennial. Expense was $81,779.
Membership provided the largest income, $36,734. Next was Aquatennial's cut of "Aqua Follies," produced by Al Sheehan, which was $17,745. Parades netted $11,118. The WCCO-Radio Aquatennial Show brought in $2,524. The WCCO-TV show added $3,375. Poorest income-producer was the much-ballyhooed coronation and star night which netted only $231.61.
Weather Hits Wirth Jersey Police Show
UNION CITY, N. J., Sept. 25.—Hurricane winds and considerable rain hurt the Police Circus here Friday thru Sunday (10-12). The show, again produced by Frank Wirth, was staged in rain and gale winds Friday night. The Saturday afternoon performance was called out. On Sunday afternoon, however, some 10,000 persons jammed the stadium.
Acts were Aida, girl in the ragoon; the Orton High Wire, Simo Dib, landing on the pole; St. Leon Troupe, teeterboard; Hill's Elephants, Wilbur's Dogs and Ponies, John Tiebor's Seals, Jack Joyce's trampoline, Clowes, Andy McLaulin, Charles Young, Bert Turner, Dippy Diers and Al Florenz. Ernest Anderson was the equestrian director.
Lancaster, Calif., Hits All-Time High With 51,000 Patrons
LANCASTER, Calif., Sept. 25.—A new attendance record of 51,000 was set here last week at Antelope Valley Fair and Alfalfa Festival which closed its four-day run here Sunday (12), A. G. Marquardt, secretary-manager, announced. Marquardt said the event had perfect weather and the fair debuted a new grandstand, Exposition Hall, poultry building, and horse barn.
Opening Thursday (9), which was Admission Day and a State and county holiday, the event featured "Welcome Neighbor" night with the dedication of the grandstand. A down-town parade, with Carolina Cotton, radio and movie performer, as grand marshal, preceded the dedicatory exercises. Thursday night's grandstand show was booked by Hunt-McCafferty, Hollywood agency, and was headed by Roberta Linn. The crowd, Marquardt said, was disappointing.
'Posters Name Michael Noch, Plan Campaign to Boost Paper
DETROIT, Sept. 25.—Michael Noch, longtime business agent of Detroit Local 94, was elected president of the International Alliance of Billposters, Billers and Distributors, which closed its three-day session at the Hotel Fort Shelby Wednesday, climaxing the Detroit's local's celebration of its golden anniversary. Noch succeeds Emil J. Conrath, of St. Louis, who filled out the unexpired term of the late Leo G. Abernathy, president for 16 years.
Other officers elected were vice-presidents Loyal Gilmour, San Francisco; Ned Becker, Westchester County, N. Y.; C. C. Gannett, Los Angeles; Emil J. Conrath, St. Louis, and Lloyd Shade, Cleveland. John J. Grady, New York City, was re-elected secretary-treasurer; John Shertel, Jersey City, N. J., sergeant-at-arms; Frank Isadore, Scranton, Pa.; R. C. McGee, Decatur, Ill., and W. Van Horn, Brooklyn, directors.
The next convention, in 1956, will be held in Milwaukee. Convention opening date was changed from the third Monday in September to the third Monday in August, to avoid conflict with other dates.
A new basic law of succession was adopted, in the case of va-
(Continued on page 61)
Chattanooga Races At Record Gate Pace
CHATTANOOGA, Sept. 25.—Chattanooga Interstate Fair went into the final stanza of its six-day run here today threatening to break all attendance records. Rain hurt the first two days of the fair but then the week was ideal and then Friday night (24) the gate count was up a whopping 25 per cent. Today's weather was again ideal and, according to Mrs. Maude Atwood, secretary, a new all-time high was expected to be set by tonight's closing.
One of the largest crowds in years turned out for the fair Friday (24), and early indications pointed to another huge turnout today.
Amusement Company of America Shows, the midway attraction, were racing well ahead of last year's gross. Rides and shows were all scoring big takes, and "Dancing Waters," in the words of Mrs. Atwood, "has taken Chattanooga by storm."
No grandstand show was held here, as the stand burned down two years ago. In its place is a free platform where booker thru George Hamid & Son was given both afternoon and night in the infield. Acts included Pedro and Durand, Mia and Matti, and the Chimps, the Orioles, a band company.
The General Electric "House of Magic" received excellent attention along exhibit row. Unique among exhibits was the Osborn Shopping Center, a suburban town, that has taken over a good part of the fair's new general exhibit building.
SURE THING
Parties Vow Local Option N. Y. Bingo
NEW YORK, Sept. 25.—It is a sure thing that legalized bingo will go thru in most New York State districts during the next year if campaign promises are carried out as faithfully as they were in New Jersey this year.
Both the Democrats and Republicans this week insisted planks in their campaign platforms call for local referendums on bingo. New Jersey Democrats won their gubernatorial election in 1953 by stumping for the game and promptly called local elections at which an overwhelming proportion of localities okayed bingo and raffles.
No matter who wins the New York election, the controlling party will have its bingo promise to live up to. The referendum will be on a proposed amendment to the State Constitution.
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**NEW DEVELOPMENTS**
**Dispensers for Pop, Popcorn Introduced**
CHICAGO, Sept. 25.—Eye-appeal is the big factor in an illuminated hot popcorn dispenser that has a bright red plastic top and 170 square inches of visibility to which anyone can subscribe. Dispenser features include a steel body with baked enamel finish, chrome legs, removable plastic spillage tray, plastic spout for filling bags, boxes or bowls; stainless steel hopper, insect-resistant cylinder and compact size of 14 inches square and 28 inches high. The popcorn, already popped, is received in moisture-resistant, lined 2½-pound bags which are emptied into the top of the dispenser. The popcorn is heated in seven minutes, producing five gallons per bag. Dispenser is not coin-operated—ABC Popcorn Company, Inc., 3441 West North Avenue, Chicago 47.
**Pop Cooler for Easy Service**
COLUMBUS, O. — The Ebeo Manufacturing Company is marketing a non-carbonated beverage dispenser that is designed for easy operation, cleaning and servicing. The unit is cooled by electrical refrigeration and is thermostatically controlled to maintain temperatures on a differential of three degrees, adjustable from 34 to 40 degrees. It has a self-closing, non-drip faucet that is also refrigerated. Square bowl design and agitator action are said to assure a perfect mix at all times.—Ebeo Manufacturing Company, 401 West Town Street, Columbus 8.
**Foil Plates for Ice Cream**
LOS ANGELES—A variety of multi-use plates have been added to the line of aluminum foil containers being produced by Aluminum Container Corporation. They are, according to the firm, designed to add eye-appeal, absorb moisture and have the added advantage of using less heat conductivity in cooking. They are light and easy to store. In addition to the pans, the line includes pie plates from four to 10 inches; one-compartmental trays and dishes.—Aluminum Container Corporation, 951 South Crocker Street, Los Angeles 21.
**Pop Dispenser for Quick Service**
DALLAS—A dispenser is being marketed that can deliver six ounces of blended drink in three to four seconds in any three flavors, plus plain carbonated water. Two-stage cooling enables the unit to produce a drink from 34 to 36 degrees below ice, the company says. Thus the use of a selector valve and low operating pressure, a consistent blend is assured. The unit is said to be able to deliver as many as 14,000 carbonated drinks from a single drum of gas, or hold the equivalent of 32 cases of drink.—Specialty Engineering Corporation, 2613 Ross Avenue, Dallas 1.
**Soft Ice Cream Freezer**
ROCKTON, Ill.—Tekni-Craft has introduced a soft ice cream freezer that it claims can produce two flavors or one flavor and a shake base on a continuous, automatic, high volume basis. Features include food controls, air sterilizer, automatic barometric ice feed and refrigerated and insulated mix-hoppers.—Tekni-Craft, Rockton, Ill.
**Holder for Hot Dogs**
PLAINFIELD, N. J.—Hot dog holders for casual feeding are designed to keep the eater's fingers clean and relish from falling out of the sandwich. It measures 5¾ by 3 by 1¼ inches. Also in the line are disposable food service containers, heavy-duty plastic-coated paper plates for hot, moist foods, and partitioned plates.—Sanitary Products Corporation of America, 633 North Avenue, Plainfield, N. J.
**Plastic-Coated Paper Cup Introduced**
KALAMAZOO, Mich.—A new plastic coated paper cup has been developed by the Sutherland Paper Company. According to its manufacturer, the coating provides an extra smooth rim and practically eliminates staining from the contents or lipstick. The handle is part of the cup—not glued on—and will not come off. The coating permits the very use of hot liquids without danger of burns and the readily disposable cups cut down on dishwashing. Cup comes in print designs.—Sutherland Paper Company, 243 Patterson Street, Kalamazoo, Mich.
**New Dishes for Ice Cream**
CHICAGO—A new line of ice cream dishes, designed for giveaway use, is now on display and being introduced by Federal Tool Corporation. They are shatter-resistant and come in sundae and banana split shapes. The manufacturer claims they have great strength and durability. The round dish is available in 6 and 8-ounce sizes while the split dish measures 7¾ by 4 by 2¼ inches. All are available in red, yellow, blue and green.—Federal Tool Corporation, 3600 West Pratt Boulevard, Chicago 45.
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**Citrus Groups Gird for Year 'Round Sales**
CHICAGO, Sept. 25.—Frozen citrus fruit juices, a refreshment that gained considerable momentum during the recent citrus season, are in for accelerated promotion this winter and next summer.
Lemon Products Advisory Board, Los Angeles, has mapped out a year-round promotional campaign that will be launched this fall and continue thru next year's summer season. The board plans to use Life magazine, women's magazines, network TV and radio among other promotional elements.
Not to be outdone, the National Citrus Merchandising Committee, representatives of Florida citrus interests, recently named Frank D. Arm, chairman of its group with direction to handle two nationwide citrus promotions.
Arm, who is also merchandising director of the Florida Citrus Commission, will manage two promotional campaigns, stressing health benefits of citrus fruits. The first will begin in January. During June the second promotion will suggest "Citrus Coolers for Summer Health."
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**Okay Brewers' Entry Into Pop Business**
WASHINGTON, Sept. 25.—A new source of soft drink breweries may develop as the result of the new Internal Revenue Bill signed recently by President Eisenhower.
Under the old Internal Revenue Code, brewers of beer were not permitted to bottle or can soft drinks. The new law, however, permits them to operate a pop business conjointly with their beer plant, with some restrictions. It is necessary to first get permission and separate books must be kept for the two operations.
Some veterans in the field point out that there have been plants already having production facilities and could easily make a switch to the non-alcoholic beverage.
The Glass Container Manufacturers' Institute recently released figures to indicate what inroads cans have made in the beverage field. It pointed out that there are 3,500 manufacturers of glass bottles and 50 manufacturers of aluminum tin cans. In 1953, a total of 1,417,598,000 bottles were shipped to the nation's bottlers and 130,000,000 cans. Of the total bottles, 152,126,000 were of the one-way variety.
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**Nickel Candy Still Leads**
WASHINGTON, Sept. 25.—Nickel candy bars continue to be the most popular with Americans, according to a report issued by the Department of Commerce. During 1953 the 5-cent bars made up 72.3 per cent of the total bar sales, the department announced. The sale of the 5-cents declined 2.8 per cent in poundage and 3 per cent in value. This decline, however, still gave the nickel bar a high place in American candy consumption. As for the 10-cent bar, volume increased almost 25 per cent in '53, but the dollar value went up only about 12 per cent.
Bar brands topped all other types of candy, accounting for 66.3 per cent of the total dollars value and 37.7 per cent of the volume. Package goods were next with 35.1 and 33.9 per cent. Specialties in the nickel and dime brackets accounted for 8.2 per cent in dollars and 5.2 per cent in pounds.
Jimmy Hetzer, top man in the Huntington, W. Va., booking agency bearing his name, spent several days in Chicago last week.
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**P.R. Panels Set For Canned Pop At ABCB Meet**
WASHINGTON, Sept. 25.—New containers for soft drinks and public relations in the soft business will be two of the important discussion topics at the annual convention of the beverage trade to be held in Philadelphia November 15-18. The confab is being sponsored by the American Bottlers of Carbonated Beverages and will include the International Soft Drink Industry Exposition.
Under the heading "The Industry's Container Proposals, Plans and Problems," E. R. Walsh, assistant general manager of sales, American Can Company, will speak on "What About Cans for Soft Drinks?" R. L. Cheney, director of market research and promotion, Glass Container Manufacturers' Association, Inc., will answer in his address "What About Bottles for Soft Drinks?" A discussion period will follow.
A panel designed to improve public relations in the soft drink industry is scheduled for Wednesday morning program. Panelists will include: Thomas Moore, Minneapolis, chairman; Edward Wagner, Cincinnati; George S. Derry, Philadelphia; E. Robert Anderson, Rochester, N. Y.; Wilbur H. Glenn, Columbus, Ga.
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**James Ryan Named Prexy At Simonin's**
PHILADELPHIA, Sept. 25. — James A. (Jim) Ryan, vice-president of C. F. Simonin's Sons, Inc., has been named president of the firm and Paul B. Simonin has been elected chairman of the board. The firm manufactures corn popping and other type cooking oils.
Ryan joined the Simonin's 30 years ago as sales manager and has been vice-president in charge of advertising since 1929. It is the first time in the history of the company, which was started in 1876, that anyone other than a member of the Simonin family has held the position of president. The new chairman of the board is the grandson of the firm's founder, Count Dillaye Simonin, a French engineer, who came to the U. S. over 75 years ago.
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**Chicken Sells At Detroit Fair**
DETROIT, Sept. 25.—One of the first presentations of frozen fried chicken on a fair midway, made at the Michigan State Fair this year, was a hedge a mile wide by some 4,000 acres of the concession. The 4,000 sales were made at 97 cents (plus 3 cents tax).
Public reaction was good, according to Oscar Bank of the Oscar Bank Company, feed brokers, who had the concession.
CHICAGO, Sept. 25.—From the standpoint of program and attendance, the September 13 annual meeting of the Roller Rink Safety League, held at Niesen's Lounge and Restaurant here, was the best on record, according to O. E. Wirtanen, acting as secretary in the absence of R. M. Foster.
Franz Petritz was approved as league accountant and was given authority to represent the organization on any tax problems involving the Internal Revenue Service.
President H. A. Gettert presided over the meeting which was highlighted by talks by Jack Shalin, Internal Revenue Service tax expert, and Ed Kriser, North American Accident Insurance Company representative.
Shalin talked on tax problems of rink operators and wound up his stint with a question-and-answer session. Kriser explained a new automatic prepaid medical insurance plan to operators. His presentation ended on a heated discussion on the pros and cons of the plan and the possible effects it might have on the number of claims in the future. Generally, operators felt that when all details of the plan are ironed out, it will be a good thing for roller skating. Tax problems were also discussed.
Representatives of supply firms and skating publications were given a chance to introduce themselves at the meeting and "sell their products." A few operators took the opportunity to offer suggestions to supply representatives on how to better merchandise their products.
A motion by Charles Jones that 1954 league officers be re-elected was seconded by Bill Holleman and unanimously carried. It was moved by Claire Williams that O. E. Wirtanen be elected treasurer of the league. The motion was seconded by Bill Limbach and unanimously carried.
A short open forum discussion was followed by dinner for all.
In the evening, the meeting was Al W. Kish, Toledo, Mr. and Mrs. William Boyce, Oak Lawn, Ill.; Earl J. Dunn and John Walters, Mount Clemens, Mich.; Mr. and Mrs. Gerald Gilby and Merle Gillespie, White Lake, Mich.; Detroit Frank C. Binkly and R. Jackson, Sycamore, Ill.; Tom Murray, Cedar Lake, Ind.; Joseph Wolak and George Wszolek, Hammond, Ind.; James Hoggart, Lafayette, Ind., Mr. and Mrs. Claude Evans, Moline, Ill.; Frank T. Tighe, River Rouge, Mich.; George Fryer, Rochester, Ind.; Edward Hoffman, Akron, Ind.; Johnny Johnston, Hobart, Ind.; Earle Bennett, Akron Ind.; Bob Phelps, Cleveland, Mr. and Mrs. Harold Fielden, Cuyahoga Falls, O.; Mr. and Mrs. Cletus Kolb, Pensacola, Fla.; Mr. and Mrs. H. Yager, Swang Rink, Chicago; Mr. and Mrs. Frank Moser, Planet Rink, Chicago; Frank Johnson, Granite City, Ill.; Nanni Stoppkotte, Granite City, Ill.; L. W. Massie, Farmington, Minn.; Mr. and Mrs. Paul G. Steinkopf, Shakopee, Minn.; Mr. and Mrs. John F. Scott, Chicago; Bill Fell, Oakland, Calif.; Charles Muller, Morris, Ill.; Mr. and Mrs. William Limbach, Pontiac, Ill.; Mr. and Mrs. Heiser, DeKalb, Ill.; C. R. Williams, South Elgin, Ill.; M. C. Hansen, South Elgin, Ill.; Kenneth Slater, Ill.; Joseph F. Shevchenko, Chicago Skate Company; Andrew E. Foster, Zanesville, O.; John Foster, Glassport, Pa.; Robert S. Anderson and Robert W. Gormley, LaGrange, Ills.; Mr. and Mrs. J. Harper Spence, Detroit, Mich.; Mr. and Mrs. Bill Holleman, Detroit, Mr. and Mrs. Frank Sinroll, Sterling, Ill.; Orval R. Fisher, Columbia City, Ind.; James E. Wall, Fort Wayne, Ind.; Mr. and Mrs. Perry B. Giles, Middletown, Ind.; Mr. and Mrs. Harold K. Trueman, Marion, Ind.; Mr. and Mrs. Trace L. Swartout, Valparaiso, Ind.; Mr. and Mrs. George Gulbrans, Chicago; Mr. and Mrs. Merlyn Arthur, Harvey, Ill.; Mr. and Mrs. Steve Stapp, Melrose Park, Ill.; Harold L. Spaulding, Rockford, Ill.; Mr. and Mrs. Don McElhinney, Cedar Rapids, Ia.; Ledru Millsbaugh, Powell, Wyo.; Mr. and Mrs. Herbert Getz, Davenport, Ia.; Mrs. Robert Collier, Galesburg, Ill.; Robert A. Craigin and H. Shurr, Oak Ridge, Ind.; Vi Koch, Dumont, N. J.; Hugh Medford, Indianapolis; Arlen Kimball, Batavia, N. Y.; E. J. Kries, Rockford, Ill.; James M. Aehmann, Chicago; Franz Petritz, Rockford, Ill.; Jack Shalin, Chicago, and Alice M. Nelson and O. E. Wirtanen, Rockford, Ill.
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**RRSL Meet's Program, Attendance Set Highs**
**Padula Seeks Biz Hypo Via Ladies' Night**
BROOKLYN, Sept. 25—Taking a cue from the big-league baseball teams, operator Vincent Padula is featuring a weekly Ladies' Night session at Park Circle Rollerdrum here, which allows women to enter rink and skate for the full public session, without paying admission every Sunday night. Park Circle, the last local roller to open after the war, has made its season's debut last night (24).
"Something has to be done to improve Sunday night business," said Padula. "If this doesn't help, we'll keep experimenting until we find something that works."
Until last season Park Circle hyped Sunday night b.o. by offering medals to couples who placed in weekly dance skating contests. This gimmick wore thin last season and will not be tried again, at least for the time being.
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**Hawaiian Spot Enters RSROA**
DETROIT, Sept. 25.—The Roller Skating Rink Operators' Association has left the continental limits of the United States to welcome two members into its membership. The newcomers are Charles O. Grim, George S. Hervat and Francis Y. Wong, of Rainbow Skatedale, Honolulu.
At the same time the following new members were announced by RSROA President Robert Martin: They are Thomas A. and Dorothy Lane, Senator Rollerdrum, North Sacramento, Calif.; Myron and Myrtle Shetler, Rollacade, Akron, Ohio; Mr. and Mrs. F. J. Beyer and Mrs. J. R. Grinier, B&G Rolladium, Independence, Mo.; Charles Saunders (as an independent member operator), Redondo Beach (Calif.) Skatedale, and Edna Betz (as a representative member of the rink owned for the H. D. Ruhm estate), Lexington Skating Palace, Pittsburgh.
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**ROADSHOW REP**
THE 1954 SEASON OF the Ned and Caroline Schaffner Players comes to a close in Kahoka, Mo., October 2. By and large the season has been very satisfactory, with a few towns showing gains over 1953 and a few falling behind, the latter mostly in the drought area of Northern Missouri. In making the closing announcement, the management commended members of the 1954 cast for a job well done. With but two exceptions, the cast stayed with the group the season in May. It is comprised of Doug Ackley, leading man; Marlene King, leading lady; Dick Wagaman, juvenile; Carolyn Poole, in the Jay Bee; Carmen, second business; Ed "Ward" characters; Bert Dexter, comedy and general business; Erman Gray, general business and orchestra leader. But the cast, comedians, and Dancing Bears (Bill and Goldie), who replaced the Eagles and their marionettes when they left for school dates. During the season the show was visited by many well-known producers, writers and other theatrical personalities, including Paul Feigay, producer of "On the Town" and other well-known Broadway shows; Ricky Leacock, producer of documentary films; Ray Bradbury, science fiction producer, and Mitchell White, feature writer. During the season the show was the subject of many feature stories throughout its territory. The Schaffners will go to Iowa in January in Saratoga, Fla. for the winter, prepare plays for the 1955 tour. . . .
The Tilton Comedians closed their tenth season in Garner, Ia., September 12. The Tilton tour got off to a slow start but business has been reported to be good since mid-July. The company remained unchanged during the season. Recently at Dows, Ia., personnel enlarged to include Mr. and Mrs. Billy Guthrie, who operate the Tilton-Guthrie Players for 20 years in Iowa before the former stepped out of the picture.
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**Drivin' 'Round the Drive-Ins**
THE Jolly Roger Drive-In opened September 15 in Detroit, the first new drive-in opening in the Motor City area in about three years. Owner Nick George has installed what is said to be the first full three-channel Stereophonic sound north of the Mason-Dixon line. "We're going to be a sound tower in the world," A moving picture stall, 60 feet long, rocks on the waves on the screen tower, and the theme of the theater name is carried out in the "valley" (concession booth). A new screen, 80 by 40 feet, has been installed at the Surf Drive-In, Port Arthur, Tex., according to Edward Brown, manager. . . . Fred Taylor has announced that he is installing CinemaScope at his Ford Drive-In, McCamey, Tex. . . . Mustang Drive-In, Andrews, Tex., has had an asphalt topping applied to its surface, according to Mr. and Mrs. K. N. Greer, managers. . . . The new Deluxe Drive-In scheduled to open within the next several weeks at Rising Star, Tex. Owners are Marvin Bell and Ford Taylor, who have 300 car capacity. It is equipped with CinemaScope. . . . A Shetland pony is being given away each Monday night at Hi-Park Drive-In, San Antonio, reports Carlton "Weaver" Jr., manager. . . . State Corporation Commission has granted a charter to Scotty's Drive-In, Inc., of Norfolk County, Virginia, with maximum capacity of $25,000,000, headed by Scotty Self, Arthur G. Lowden and Alvin G. Curens.
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**Season Starts**
- Continued from page 47
AOW Prepping Race Kick-Off
ELIZABETH, N. J., Sept. 25—Anticipating the America on Wheels chain kicks of October 9 at Hackensack (N. J.) Arena, with Jack Edwards, AOW director of speed, predicting the best season yet for the big competition series. Flushing Park (N. Y.) Rink and the Reading (Pa.) Rink, which have participated in the AOW competitions in recent years, although they are not members of the chain, are expected to re-enter the contest this year, said Edwards.
In AOW's Southern division racing resumes October 16 at the Alexandria (Va.) Arena.
Annual entry fee is $1. In making application for entry, skaters must sign the chain of art liability and agree to race at their own risk.
Stanley Pumphrey has been appointed assistant director of speed, in charge of the Southern division. He will work directly under Edwards.
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**Bowl-Rink Reopens**
NEW BRITAIN, Conn., Sept. 25.—Bowl-Rink here has resumed operations for the fall, with skating scheduled every Tuesday, Wednesday, Friday, Saturday and Sunday nights, and Saturday and Sunday afternoons. The rink stages special events, and an exhibition under supervision of Cy Giomi on opening night.
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**Why "Chicago" Skates?**
They are the MOST POPULAR and SERVICABLE Skates on the Market. Their upkeep is very simple and they have proved to be good money earners.
CHICAGO ROLLER SKATE CO.
4427 W. Lake St., CHICAGO, ILL.
Manufacturers of All Kinds of Roller Skates
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**Skating Rink Tents**
42 x 102 IN STOCK
52 x 122 AT ALL TIMES
CAMPBELL TENT & AWNING CO.
100 Central Ave. Altan, Ill.
(Phone: 3-8885)
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**Open a Drive-In Theatre**
AT LOW COST
New and guaranteed return equipment from $1595. Time payment available to responsible buyer. Write, giving location and number of cars. We OFFER: 1. 42' x 102' Covered Masonite. 2. Marquee Letters. 4', 35'; 8' 10'. 3. 52' x 122' Tent. 4. 42' x 102' Tent. 5. CAMPBELL TENT & AWNING CO., Dept. L, 602 W. 52 St., New York 19.
OPERATION SNOWBALL
4th All-Year Season Starts at Rockaways'
NEW YORK, Sept. 25.—The fourth "Operation Snowball" got underway last Saturday (18) and Sunday (19) at Rockaways' Playland. The Queens funspot will operate weekends all winter in its continuing attempt to build up off-season business.
Patronage was fairly light Saturday in cold and dampness, with the park staying open thru 10:30 p.m. Sunday was a total washout with rains prohibiting any kind of play. With the exception here of 1951, the best of three attempts. There was a string of Sundays which were sunny altho cold, following a mild October. Good business was received. Unfavorable weather the last two years curbed attendance somewhat.
Cold No Deterrent
Even in cold weather rides have operated profitably as long as sunshine encouraged people to get outdoors on warm weekends. Playland has operated in temperatures as low as 14 degrees.
Advertising during the off-season has seen the ads take one-column space of 50 lines depth, proclaiming, "What, still open?" The Playland clown answers, in the ads, "Yes!" Outdoor ads consist of snipes and about three dozen 6x6 newspaper locations with various-sized papers. Their appeal is aimed not at railroad travelers, Richard Geist says, but at motorists.
The park operates everything this year, a sharp increase in scope over the first winter when only kiddie rides were kept open the year 'round. Roughly 60 persons are used in operation, of which 14 are on permanent payroll. Many of those on the all-year crew double as ride operators during the winter, and another 16 come in on weekends. During the summer, the off-season time, they swell the work staff to over 150.
The park this week re-signed Walter Kaner Associates to handle publicity and promotion again for the fourth all-year season. Recent activities in which the agency and Dick Geist of the park participated were a Teen-Queen contest last week, and today's appearance of TV child star Brandon De Wilde.
Kiddie Park's Promotions Seen Builders
ROCKVILLE CENTER, N. Y., Sept. 25.—Roadside Rest Kiddie Park suffered a 10 per cent decline in business during the summer season but anticipates a good fall and winter on the basis of three winning promotions.
Ray Heatherton, the Merry Mailman of TV, appeared on two consecutive Saturdays and at each was a goodly crowd at each. And today, Labor Day, all rides are being offered free from 9 a.m. to noon. Hundreds of new moppet faces have been in evidence on the special day, and it is expected that repeat visits will be paid on off-season weekends.
Bernie and Bob Finkel dropped their zoo price from 25 cents to 15 for this season, but held to a 9-cent kiddie ride ticket when most other kiddie parks went to a dime. The dime price is planned for 1955.
The zoo equipment is on the selling block, the Finkels said, due to the expiration of the lease on that area. Included are many nursery rhyme displays and enclosures. This was the Finkels' third season. It operates five kiddie rides and a major Merry-Go-Round.
Palisades Beats '53 With Booking Crew, Tax Relief
New Color Scheme, Tulip Bulbs To Beautify Funspot for 1955
PALISADE, N. J., Sept. 25.—Palisades Amusement Park's booking crew, whose outings were credited with roughly 12 per cent of the park season's business, owner Jack Rosenthal, will be going out again in three weeks canvassing companies, schools and institutions in a 75-mile radius of the park.
Between the steady-up booking activity and the federal tax relief, Rosenthal said, the gross far exceeded that of 1953. He said business would have edged ahead last year's despite the tax relief, due to the park's bookkeeping practice of sending out a four-man team which works on commission.
The park sells flat-rate outings, offering two-way bus transportation, hot lunches, and ride tickets. With daily free acts and dancing being offered, the groups also enjoy these features of the park.
Cut-Rate Cards
During August and September several full-page cut-rate cards were distributed in the metropolitan area, both door-to-door by an agency and thru the mails by the park. The cards were exchangeable at the gate for seven capacity rides plus gate admission, for a half-dollar. Returns on these cards were about 8 per cent, Rosenthal estimated, enabling a mid-season slump to be overcome.
During Labor Day Ray visited recently to begin planning next year's color scheme.
The ride lineup will be virtually the same in 1955 with the exception of the Joy-Dee, which will be gotten rid of to make room for a new device. Both Eric Wedemeyer, from whom Rosenthal bought a Photo-Jet after a trial run, and Michael Murphy, Hot Rod cars importer, are looking for European rides at present. Hughes will bring in two kiddie rides, one of them a Cadillac ride.
12 Varieties
The park will blossom out in tulips next spring, Rosenthal said. Thousands of bulbs have been ordered and 12 varieties will be planted to bloom for the summer season.
The park closed Sunday (12) with the State Democrats led by Gov. Robert Meyner, holding their annual outing. Republicans had their annual get-together washed out on the previous day.
Pa. Spot Wins With Westerns
NUANGOLA, Pa., Sept. 25.—Playing its fourth season and featuring live Western stageshows, Playland Park here has been doing well, according to Owner Philip Fitekson. Spot is in the anthracite coal region between Wilkes-Barre and Hazleton.
The 80-acre tract includes a four-acre lake for boating, fishing and swimming. More than 2,000 persons can be seated in front of a 25 by 40-foot outdoor screen. The main food concession stand and most of the games are owned by Fitekson. There are three kiddie rides which are owned by the park, but they have been leased out for three years. At the ballroom, schedules provide for square, modern and polka dances.
The park has a children's zoo with a number of buildings built on fairytale themes. More buildings are to be added for next season.
Because of economic conditions in the anthracite coal region, Playland held down admission prices at the park this season, and as a result the attendance has reached an all-time high.
The Western shows are booked thru Jolly Joyce Agency, Philadelphia; Mickey Notron, Reading, and Harry Cooke, Lancaster.
Michael Noch
• Continued from page 57
cancy in office, whereby the executive board will make an appointment of a successor to hold office until the next biennial convention. This replaces the former method of succession by virtue of office.
A recommendation for a campaign to secure essential uniformity of basic conditions in contracts was adopted. This is not intended, Noch pointed out, to interfere with local autonomy, but if of especial interest to traveling shows, in all fields, including the legitimate theater.
Objective is to deal with such issues as "fringe benefits" which have appealed in contracts in some areas.
"Basic conditions like these are fundamental to all organized labor," Noch said. "Even management has been encouraging us to seek uniformity. Shows and others have faced considerable differences in detailed provisions from one territory to another."
A major accomplishment of show business significance was the adoption of plans for a major educational program, including the use of outdoor media in the promotion of shows of all types, including legitimate theaters, circuses and other traveling shows, and motion pictures.
Outdoor theaters were given special attention in this connection, because, Noch pointed out, they mean a new type of arrangement between the showman and the union, and because their methods and outing locations require an entirely new approach in outdoor advertising coverage.
The Billposters will spend several thousand dollars on this institutional advertising program which will promote its own media, a move comparable to the advertising undertaken by the American Federation of Musicians in behalf of live music several years ago.
Fishbein Operates As Weather Holds
CAROCA LAKE, N. Y., Sept. 25.—The Circle L Ranch here is staying open on weekends as long as weather permits, Owner A. Fishbein stated this week.
On Labor Day the funspot had clear weather and good business, receipts were even better on the day before, Sunday (5), he said. Pulling a good play, the Kukeneo, a game somewhat like bingo but using cards marked like playing cards, Fishbein said that because the public participates in selecting the card called, the game gets the nod.
RIDES MUST GO BY OCTOBER 4
BEST CASH OFFER ACCEPTED
Allan Herschell 3-abreast Merry-Go-Round, Smith & Smith Airplanes—5 planes, King Amusement Co. 8-car Horse & Buggy, bought new, never off location. Allan Herschell Auto Ride, bought new, never off location.
G & S AMUSEMENTS, INC.
SALISBURY BEACH, MASS.
FOR SALE
ARCADE — RIFLE RANGE — PHOTO STUDIO
Best year around location in Southwest. Fort Worth is surrounded by army camps and air bases. Location in heart of city. Will pay for itself in 6 months. Will sell all below cost and rent or lease building to the buyer at reasonable rent. Sickness reason for this ad. No time to dicker; come and look it over.
PLAMART
FORT WORTH, TEXAS
High Quality
KIDDIE RIDES
ROTO WHIP—SPEED BOATS—PONY CARTS
GALLOPING HORSE CAROUSEL
Illustrated Circulars Free
W.F. MANGELS CO., Coney Island 24, N.Y.
Salt Lake Sights Record Attendance
Huge Kids' Day Sets Up Big Gate Lead; 140G Gross Is Seen for 'Holiday on Ice'
By HERB DOTTEN
SALT LAKE CITY, Sept. 25—A record-breaking attendance loomed for the nine-day Utah State Fair here Friday (24) as the event entered the seventh day of its mid-week run.
At the end of the first six days, the gate stood at 164,814, compared to 136,618 to the same point last year, when the event finished with 210,787, less than 7,000 under the record 217,239 set in '52.
With three big days to go, the event was rated a cinch not only to top last year's total but to eclipse the '52 record.
Bumper Kids' Day
A bumper Kids' Day Monday (20), which produced a 49,390 gate, played the major part in giving the fair its big attendance lead. The whopping turnout was sparked in a large part by the personal appearance of the Cisco Kid.
The star was sponsored by a dairy company which picked up the tab for the intensive promotion, as well as for his appearance, brought out huge numbers of youngsters, catching milk bottle tops which were handed for admission. Cisco Kid stood from 12:15 p.m. until 7 p.m. passing out small autographed pictures to admiring youngsters.
Even with the bottle top-holders admitted free, children's paid admissions for the day exceeded last year, and the accompanying turnout of parents upped the day's gate receipts sharply over last year.
Weather Hits
The big attendance lead the fair set up in the first six days was made despite rain that all but washed out Wednesday night's (22) wrestling matches in front of the grandstand and ruined Thursday's (23) baseball. Weather turned cool and warm Friday (24) and prospects were for more of the same thru the close.
"Holiday on Ice," perennial Coliseum attraction opened Friday night (23) on the eve of the fair's opening, with a record $75,000 advance sale. With the Coliseum, which seats 3,400 for an icer, scaled from $2 to $3.75, J. A. (Art) Theobald, fair manager, estimated it would gross $140,000 in 15 shows. Last year, with a smaller advance, it grossed $127,000 in the same number of performances.
Makes Many Changes
A successful mining engineer who later turned to public relations before becoming fair manager, Theobald has made many changes in his six years as manager.
The sum results, besides increased attendance which in recent years has always exceeded Salt Lake City's population of 182,000, are broader participation (Continued on page 62)
Blackfoot, Idaho, Tops '53 Gate, Midway Receipts
BLACKFOOT, Idaho, Sept. 25—The former Idaho State Fair which closed Saturday night (18) was on the receiving end of good weather each day of its five days run and topped its excellent 1953 run in every department.
Attendance exceeded last year by 7 per cent, surpassing expectations of officials who figured it would be quite an achievement to match the '53 gate.
Midway Up
Ride and show grosses of the Siebrand Bros. shows were more than 5 per cent over the 1953 take. Grandstand business also showed gains. A Barnes-Carruthers revue played to capacity every night and on two nights 500 extra seats were placed on the road track to accommodate the overflow.
Entries in almost every classification also were higher than last year, according to Mrs. Ruth Hartkopf, fair secretary. Tents were used to house the overflow of cattle.
(Continued on page 63)
Reading Drops 34% Due to Washouts
READING, Pa., Sept. 25—Already reeling from having one of its biggest mid-week days washed out, the Reading Fair fell off 34 per cent at the gate after its opening day Sunday (19) was also smacked by rain. Whereas the final day in 1953 had drawn better than 36,000 persons, this time the weather was so disagreeable that the count was 24,000.
Final attendance was given as 188,534 to which is added the few hardy souls who turned out to take advantage of the final day's free gate. Some 500 paid to see an evening concert by the Band of Hal Conradi to mark the first time Reading had run on closing Sunday night, for a total of eight full days.
Comparison of attendance with last year's is as follows:
| Day | 1953 | 1954 |
|-----------|--------|--------|
| Saturday | 36,353 | 40,456 |
| Sunday | 39,456 | 46,512 |
| Monday | 9,547 | 8,436 |
| Tuesday | 40,195 | 42,246 |
| Wednesday | 42,960 | 3,509 |
| Thursday | 28,372 | 12,212 |
| Friday | 51,369 | 53,372 |
| Saturday | 35,682 | 32,242 |
| Sunday | 36,142 | No gate|
TOTAL 286,723 188,534
Record Harness Purse
Rain washed out two afternoon Grand Circus Ringling performances and one evening grandstand show. The washed-out races were Wednesday's and Thursday's (16-17) and make-up races had three futurities run on Friday (18) and a record one-day take of $54,284 in purses being paid. Wednesday's grandstand show was called off.
Rain also fell during the windup of the Saturday night (18) stage show, the His Parade Revue featuring Peg Leg Bates and the singing of Rosalie Fong of Reading as Miss Reading Fair.
Heavy showers on Sunday morning (19) caused postponement of the AAA big car races. Fair president John E. Giles said the card would be held next Friday evening (1).
Detroit Sets $7,500 Net
DETROIT, Sept. 25—Post-closing reports from the Michigan State Fair this week indicated a net profit of $7,500 for the year, following payment of all outstanding bills. Total expenses, which can clear to estimates, were $667,500, while toll receipts from all sources were about $675,000.
Puyallup Overcomes Early Gate Deficit
PUYALLUP, Wash., Sept. 25—Despite a slow start, the Western Washington Fair this week surged ahead of last year and into the second half of run with a gate count of 300,498, some 3,810 more patrons than for the same period in '53. Event opened Saturday (18) and by their closing on Sunday night (25) they had caught up with last year. This was accomplished in part the following day when a new record 40,555 came thru the turnstiles.
Annual was still 19,377 behind as of Tuesday night (21) but the Wednesday turnouts and subsequent crowds pulled the figures up ahead of '53.
Attendance last year was 346,422, a record that is tottering on the edge of the mid-fair check. Weather and other conditions have been none too good for show business. In addition to rains throughout the summer, there were lumber industry strikes only recently settled after a three-month duration.
Fun Zone Up
These factors seemingly have affected the Western Washington Fair, but, rate of attendance is up, and the midway under John H. McMurray, the fair's manager, reported business for the first two days on a par with 1953 and the record Monday showed a 22 per cent increase in receipts over the same day a year ago.
The fair debuted a new section of grandstand that cost $500,000 and conforms with the other sections. It also increases the seating capacity giving the fair a total of 12,500. The cost of the construction was borne by the fair, which receives no financial help from any source, city, county or state.
The fair charges $1 admission and $1.50 for reserved grandstand seats. The show staged each afternoon and night during the run cost about $90,000 with each act paying New York or Miami or some other center before being signed by either McMurray, Jim Blair, director in charge of entertainment, or C. A. (Chick) Hogan, director and assistant director of entertainment. Cy Taillon is handling the emcee duties for his 18th year and George Prescott announces the rodeo events which interspersed the vaude acts and non-part-mutuel horse betting portion. Max Frolo conducts the band.
The show line-up includes the Song Brokers, Happy Kellens (fifth year here); Toni Novello, the almost unknown Joe Nye, and his Dalmatians; Dwight Moore's Mongrel Revue; Romeros Brothers, tumbling comedians; Lola Dobritch, slack wire; the Noyelles, trapeze, and unprepared acrobats; Pete Tate and the Glezeks, knockabout; the Rhodius, aerialists; Gene Detroy and the Marquis Family, clowns; the Triskas, high wire, and Rick Roy, aerialists. Fireworks for each night were presented by Pacific International Fireworks Company, Tacoma, Wash.
With attendance moving ahead of its record Manager McMurray, boosted only one fact. The rain during the past fair season had prevented flowers from growing around the infield.
Cincy Carthage Annual Clicks; Gross, Gate Up
CINCINNATI, Sept. 25—Ideal weather and what Secretary Clarence A. Peters termed an excellent entertainment program brought out approximately 100,000 people to the Cincinnati Carthage Fair, September 15-18, which came close to the all-time record attendance figure established in 1952. Paid attendance was about 64,000, and the Fair finished well in the black. Peters voiced the belief that the annual was one of the few Ohio fairs to register gains in attendance and profit this year.
Drawing well as principal grandstand attraction was George Arnold's Hollywood Ice Show. Supplementing the revue were Al Ross and Dianne, clown act, and the Saturn high act which also did balancing and adagio turns during afternoon performances. All attractions were booked thru the Gus Sun office, Springfield, O., which has held the contract for years. Running and harness races were offered between acts during the afternoons, while a parade show held the same spot at night.
Cooling Amusement Company No. 1, piloted by John Earight, was back on the midway, and despite the fact that it operated one day more last year, occasioned by the Labor Day weekend celebration, succeeded in rolling up a gross well ahead of last year's. On a 75-25 per cent contract with the fair, the annual showed a $1,000 increase in its share of the gross.
From nearly every standpoint, said Peters, this year's fair was one of the best ever held locally. Every inch of exhibit space was sold and the floral and wildlife exhibits were outstanding. Also handled as attractions were a foreign car parade on opening day put on by local people, a county school band concert in for a day, and a trout fishing feature that pulled plenty of attention.
Edmonton, Calgary To Add Tent Show
EDMONTON, Alta., Sept. 25—As part of Alberta's golden jubilee observance next year, a locally-produced midway tent show will be presented at the Edmonton and Calgary summer fairs, according to C. E. Gerhart, minister of municipal affairs.
The show, to be produced and promoted by Albertans will be of professional calibre and will feature Alberta talents. During the summer, cities, towns and villages will have a jubilee theme to their exhibitions, stampedes and fairs, Gerhart said.
JUMPS THE GUN
Dallas Major Shows To Bow a Day Early
DALLAS, Sept. 25.—The 1954 State Fair of Texas will get a "head start" when two of its major attractions open the night before the fair officially begins.
"The King and I," in the State Fair Auditorium and "Ice Cycles of 1955" in the Ice Arena are scheduled for 24 performances at the 1954 exposition. Both will open Friday, October 8, the night before the Texas-Oklahoma football game, which is always a sellout in the 75,504-seat Cotton Bowl Stadium.
Fair executives reason that both shows will sell out for the Friday performance just as they have been sold out on Saturday night, Sunday afternoon and Sunday night shows on the big Texas-Oklahoma weekend, thus adding one more potential sellout for the two shows.
Heavy Advance
Advance sales for the shows have been exceptionally heavy, and the feeling is that "King" may have what it takes to break the all-time indoor theater boxoffice record set at the fair in '50 by "South Pacific" by the Gene Rodgers and Hammerstein writing team. "Pacific" grossed a total of $394,424 in 24 performances at the 1950 Dallas fair.
Fair expects to have one of its finest midway line-ups in history with Cliff Wilson again handling the shows and with an especially strong line-up of rides augmenting the more than 30 amusement rides on the midway. The fun zone will feature the new "Flying Car" ride from Riverview Park in Chicago.
Dallas will be the second spot in the country where this new ride will be in operation. The midway will also have the Velaro, Brush Rotor and the Sky Wheels. The "Round-Up" will also be on hand.
There is a possibility that there may be one or two other new major rides as well.
Show Line-Up
In the show department the "Hall of Presidents," wax museum of Hank Loosley, has just been booked for the midway.
The Joe Chitwood drill show has been booked for 24 performances in front of the grandstand.
Chitwood will have three performances on Saturday, October 16, Rural Youth Day, when more than 100,000 farm and ranch kids are expected to be on hand.
Dennis Day, radio and television star, will appear in the big free show in the Cotton Bowl on Texas Day, October 19, along with the precision dancing-marching Apache Belles from Tyler Junior College.
This show as well as four others will be climaxed by fireworks provided by Theatre-Dutfield, Inc., of Chicago.
The fair's annual "Texas of Distinction" award will go this year to Maurice T. Moore, chairman of the board of Time, Inc., publisher of Time, Life, Fortune, the new Sports Illustrated magazine and several other publications. The citation reads: "Mr. Moore has distinguished themselves on a national scale, has in previous years gone to the president of Chrysler Corporation and the president of Standard Oil of New Jersey. Moore is a native of Deport, Tex."
The fair has also announced that the Religious Festival, which will take place on the final evening of the fair in the Cotton Bowl, will have as its speaker Congressman Walter Judd, former medical missionary to China and an expert on Far Eastern foreign policy.
Weather Cuts Turnouts at Evansville, Ind.
EVANSVILLE, Ind., Sept. 25.—The second annual Tri-State Agricultural and Industrial Exposition closed its gates Wednesday after a 5 per cent drop-off in attendance. Bad weather in the form of heat and heavy rain kept patrons away from the fairgrounds, which are located at nearby Dade Park Race Track.
Event, which is sponsored by The Evansville Courier, opened Friday (17) to rain. Some may have expected to have a big day was hot in the morning but a brief thunder shower, following by threatening weather, chased many patrons home. Monday, upwards of three inches of rain virtually washed out most activities on the grounds.
A WLS show, featuring Homer and Jethro and the attraction Monday (19), left the fair and had done the crowd to a few hundred and the performance was staged on the mezzanine of the big grandstand instead of the stage. Other attractions featured at the fair on Saturday night, Boy Acuff on Saturday afternoon and night; Lulu Belle and Scotty on Tuesday evening, and wrestling on Wednesday night. The Flynn's rides provided the midway attractions.
According to C. J. Becker, secretary, livestock entries were 100 per cent ahead of last year's maiden run. Champion animals were on hand from State fairs in Illinois, Indiana, Kentucky and Ohio.
York Termed Good Tho Weather Hurts
Concessions Up; Gate, Grandstand Dip; Complete Plans for New Exhibit Bldg.
YORK, Pa., Sept. 25.—Poor weather cut into the gate and grandstand receipts of the York Interstate Fair last week but the event was a success in every way, Samuel A. Lewis, president and manager, reported.
While the take in some departments declined, records were set in others. Harry D. Immel, concessions manager, reported an income of $116,613, $265 more than last year. For the most part, business was good throughout the week.
Immel had $24,569 in deposits, $1,284 more than a year ago.
Lewis claimed a growing interest in the fair, noting that some 10,000 separate exhibits were included. Prizes awarded this year totaled a record $19,450.
Plan New Building
No time was lost following the closing of this year's event before Lewis announced that a new exhibit hall, 120 by 250 feet, would be constructed in time for next year's showing. The building will be of brick, steel and concrete construction. A site west of the Madison and Richland Avenue gate was chosen.
The modern all-weather stand was erected with holding the grandstand show gross to around the $100,000 figure. Booked by Frank Wirth and produced by John Lonergan, the shows featured Patti Page, the Mariners and Sammy Kaye and his band.
The Wirth "Hi Neighbors" revue featured a 24-girl line; D'Arco and Gee, comedians; Fedd and Fedi, dancing dolls; Four Mar-tells and Mignon, adagio; the six New Yorkers, vocalists and John Barry, emcee.
Acts: Jack Joyce's Camels; Nana Woolford's Dachshunds; Eight Johnsons, teeterboard; Hil-dalys, aerialists; Aida, girl in the Moon; Fov Kovacs, trampoline; Six Sons of Morocco, tumblers; and the Thorens cyclists. The 20-piece Spring Garden Band played the show.
Gate, Midway Up at Allegan
ALLEGAN, Mich., Sept. 25.—The Allegan County Fair battled rain, heat and cold but still wound up its seven-day run here Saturday with a record attendance bulge over last year. Turnouts were topped over '52 when the fair set its all-time record.
The new record attendance was set for the afternoon Sunday (12) religious services. The following day Ward Beam's thrill show did fair business in view of an all-day rain and a power failure that evening that cut into the show's starting time. Rain during the last part of the week held down attendance but when the skies cleared for the final Friday and Saturday turnouts, it proved that they were lost to the weather but two race programs were delayed. The Barnes-Carruthers' grandstand revue played to good grandstand with two races on the final two days. John Reid's Haywain Show was up 20 per cent but concession business was off.
Rough Weather Holds Brockton to 136,326
BROCKTON, Mass., Sept. 25.—Total attendance at the Brockton Fair hit 136,326 despite the complete loss of the opening day to the fringe action of a hurricane, and rain or other inclement weather on practically every day of the eight-day event which closed last Saturday (18).
Of the total, 94,085 attended on three days, with a spread of 24,241 spread over the remaining five. Opening day (12) attracted the biggest crowd, a total of 37,677.
Daily figures released by Secretary Frank Kingman follow:
| Day | Attendance |
|-----------|------------|
| Saturday | 37,677 |
| Sunday | 37,677 |
| Monday | 11,217 |
| Tuesday | 25,677 |
| Wednesday | 13,733 |
| Thursday | 24,241 |
| Friday | 9,485 |
| Saturday | 30,781 |
TOTAL: 136,326
Weather a Factor
Sunday, Tuesday, children's day and the closing Saturday were well populated and good for all fair units. Except for the weather, opening Saturday would have been good and the remaining days would have attracted many more people.
Running races with pari-mutuel betting were revived this year replacing the pari-mutuel trotting races of last year. The public displayed more interest in and bet more money on the runners.
Buddy Wagner's Hell Drivers had a program and Al Martin acts were featured nightly. Night grandstand business was reported okay although unseasonable cold plus dampness interfered.
Business for the World of Mirth Show was the highest of any day when the weather was fair. The show was lucky on children's day with some 25,000 attending despite rain early in the day.
The fair was the last to be managed by Kingman who leaves to manage the Winston Salem (N. C.) Fair and Memorial Coliseum. His successor, Carlson Larson, former manager of the Dunkirk (N. Y.) Fair, was on hand to observe this year's event.
Frederickton, N. B., showed Allan and Company, the Star Dusters, Leon and Eleana's Great Danes and Chimps, Al Robin, Karpis Trio, Three Amigos, Three Tommies, and Hawker's Manhattan Galettes Revue.
GRANDSTAND PRICES SHAVED AT TRENTON
TRENTON, N. J., Sept. 25—All grandstand admission prices have been shaved from 25 to 50 cents for the New Jersey State Fair President George A. Hamid said this week, and fees at the main gate and parking lot will remain unchanged. The eight-day event begins tomorrow.
Daytime prices in the stands will be $1, $1.50 and $2, compared with last year's $1.50, $2 and $3.50. For example, the scale is 50 cents, 75 cents, $1 and $1.25, whereas last year it was 80 cents thru $1.50.
At the front gate the admission for adults will be 60 cents in the daytime and 80 at night. Kids pay 25 and 50. Grandstand price for children on Monday and Friday afternoon will be a quarter.
On the midway, features are the Jack Koehn thrill show and fair queen contest on the opening afternoon and the Phil Spitally All-Girl Orchestra that night, and the Irish Horns thrill show on Monday (27). The show will be offered nightly before the grandstand, and harness racing will be run Tuesday thru Friday (28-1). Singer Johnnie Walker will perform with the group Wednesday night and on Saturday afternoon (2). Capt. Tommy Walker will crash a plane into a house on the track infield. World of Mirth Shows will provide the midway.
Salt Lake Sights Record
Continued from page 62
in the fair and great support by the farm element and the business community.
Entries Climb
He has wooed and won the support of farmers, and this is reflected in the continued increase in entries in the livestock department, more and better grade of county exhibits, and in the presentation of a well-balanced show.
This year, 10,000 entries were double those of '53. There were no fewer than eight out-of-State dairy herds entered. In almost every classification entries were up.
It was Theobald who inaugurated the free grandstand show, free except for reserved seats. There were two reasons for this, the 20 per cent federal tax which had been in effect at the time, plus the fact that the grandstand had not been a winner, perhaps because of the competition from the ice show in the Coliseum.
With the outside gate pegged at 75 cents for adults and 25 cents for children. There has been no police patrol put off thru increased gate attendance. He has aimed for varied grandstand attractions. Thus, this year he offered a horse show every three nights, spreading one night, Jimmie Leitch's Death Dodgers for four shows, a parade, Armed Forces demonstration, and the like, plus the Zacchini cannon act at all shows.
Well-Balanced Show
Theobald has broadened the base of the show by developing new features and adding to the old ones. The current run offers a hobby show, an Armed Forces Show, Utah-at-Work Show, a Do-It-Yourself Show, many different contests, and a highly interesting Nineteen Show, along with the regular departments of the well-balanced fair.
His scheduling of events has something going on at all times. To top things off, he hired Comdy (Copp) De Bathe, clown, in walkarounds to delight the youngsters and quiet music over the grounds p.a. to lend a restful air to the well-maintained, attractive grounds.
Barrington Biz
Continued from page 62
was introduced. Chief speaker was Don Turner, farm expert of WRGB and WCNY, Schenectady, N. Y. More than 140 delegates and parents of winners attended. Visiting during the week were Gov. Chester Dewey, Hertel Lt. Gov. Sumner Whittier, and other political leaders. Broadway comic B. S. Pulley was a guest in Carroll's box at the races Wednesday (15).
Al Martin acts at the Barrington (Mass.) Fair included the Heerbink Trio, Paul Rogers, Connie Welde, Bobby Whaling and Yvette, Greaves Family, the Brookens and Mr. Murphy's Aeria Ortons, Welde's Bears, Five Antelopes and Rube Zaccinni. Chet Nelson's band cut the show.
DISPLAY FIREWORKS of Distinction
Whether your display is for Fireworks or Fireworks for Fireworks, we are equally interested in giving you the best possible service. We offer you the very best in quality and quantity. Send for our free catalog and let us quote you on your Continental Fireworks Co. R. R. #2 Jacksonsville, Ill. Phone R-4911 or 121.
GEORGIA STATE FAIR
MACON, GA., OCTOBER 18 THRU 23
SOME SPACE OPEN FOR CUSTARD, PHOTO, PITCH, ROOT BEER, GADGETS, ETC., OR WHAT HAVE YOU. FAIR'S INDEPENDENT MIDWAY.
GEORGIA STATE FAIR
P. O. Box 739, Macon, Ga.
FAIRFAX COUNTY FAIR
Lancaster, Ohio
Day and Night, October 12th, 13th, 14th, 15th and 16th.
Largest County Fair in Ohio
Want small Concessions. No shows, no lunch stands.
Write T. B. Cox, Concessionist.
Nashville Up 37% For Gooding Org
'Dancing Waters' Tops 12G for Week; Revue, Miller Show Garner Big Crowds
NASHVILLE, Sept. 25.—For the second straight week the Gooding Amusement Company was racking up whopping gate gains. Business at the Tennessee State Fair this week, including Friday (24), was a substantial 37 per cent ahead of last year's gross, when a railroad show was in half of the period and shows were here from the Tennessee Valley Fair, Knoxville, where they topped last year's midway takes by upward of 41 per cent.
A strong back-end line-up, led by "Dancing Waters," was racking up big earnings. The water unit took in $2,800 Friday (24), and by the close of the week's length, a total weekly gross of $12,500 was anticipated.
Closely following the fountain show was the Gooding Revue, managed by Joy Miller, and on the heels of that unit were Irvin Miller's "Brownskin Revue," Rivero's Globe of Death, Leo Carroll's Chinese Show, and Art Converse's Side Show. They told there were 21 shows in the line-up, 28 sides and a Penny Arcade, for a total of an even 50.
Rain early in the week cut into business somewhat. Rain Monday
(20) Kids' Day, hurt, but despite the inclemency, rides and shows topped last year's moppet outing by $1,200.
Shows received good publicity breaks here. The Monday (20) edition of The Nashville Banner carried a six-column picture of "Dancing Waters" in full color. Publicity breaks also appeared daily in the local press, as well as on radio.
Unit was managed by Hal Eifort, with Starr DeBelle doing the press. Floyd E. Cooding, owner, was on hand for the closing day.
Pomona Midway Up Despite Gate Drop
POMONA, Calif., Sept. 25.—Daytime revenue at the Harry Illions' World's Fair Midway of the Los Angeles County Fair, was cut by the hot weather but cool evenings take brought the gate up to show an increase over last year. Compilation of takes at the end of the first five of the 17-day run showed the zones ahead 13 per cent during the first three days and 6 per cent Monday and Tuesday (20-21).
Illions directs the World's Fair Midway for the exposition. His rides are supplemented this year by those of the Frank W. Babcock United Shows, which has adult rides on the Illions tract and in the two Kiddielands. Babcock's manager, Larry Ferris, is directing his firm's equipment operation.
One attraction on the midway was reported down approximately 40 per cent while ticket sales on a ride showed it was over 30 per cent ahead of last year.
The fair opened Friday (17) with the day's attendance beating that of last year. However, during the fair days, the 1954 wristline clocking has been about three times comparable dates last year only on two occasions. Attendance for the period was 303,965 against 310,167 for the same days in 1953.
The days have been hot with the mercury hitting into the 90s. However, cool evenings have showed business spurts to keep the money ahead of the comparative period.
Va. Greater Holding Up in Drought Area
HERTFORD, N.C., Sept. 25.—Virginia Cruisers shows put 12 rides, 8 shows and about 50 concessions into the Eight-County Fair at West Point, Va., last week and came out of it okay altho money was reportedly a tight fight for all. Weather was perfect all week.
Attendance was satisfactory, it was reported, but careful spending by patrons held down the grosses somewhat. It was the seventh year for the Virginia outfit here. Since starting its Southern trek the show has played in territory which has suffered a dry spell but business has not been below expectations.
Joining at West Point were J. Norris with three concessions, Frank Donato, two Raymond Goats, two, Marvin Banks two, and Bob Hays two and the following with one each: Lymar; Truesdale, R. Hoffman, Cecil Purvis, G. Hawn, Mitchell Lovett, S. Lehman, Joe and Bill.
Also coming on were A. G. Hillman's grab, S. Purcella's grab, Cecil Purvis' Ferris Wheel, Roll-o-Whirl.
(Continued on page 69)
12 HOURS, 3 GALS.
I. T. Borrows Diesel Display To Run Wheel
FLEMINGTON, N.J., Sept. 25.—An alert exhibitor saved I. T. Shows from the loss of a Ferris Wheel for a day at the Flemington Fair, when motor trouble indicated the ride would have to be shut down.
He convinced them to try a small two-cylinder, air-cooled Petter engine that he was showing as a demonstrator. The 538-pound unit remained in top operation for 12 continuous hours at the ride consuming three gallons of No. 2 fuel oil.
Veterans United Goes Into Barn
HUTCHINSON, Minn., Sept. 25.—Veterans United Shows have moved into winter quarters here after an okay season. Show wound up its tour at the Douglas County Fair, Waterloo, Neb.
Krekos' San Jose $$$ Ahead of '53 Totals
SAN JOSE, Calif., Sept. 25.—Total receipts of the combined West Coast Shows and West Coast Exposition Shows at the 10th annual Santa Clara County Fair here were over those of 1953, Mike Krekos, executive manager of the organization, said. The exposition closed its annual run Sunday (12).
The combining of the two shows, West Coast, under the management of Eddie Hellwig, and West Coast Exposition, directed by Eddie Hart, marked the second time this year the attractions were put together to play a spot. The equipment was moved in here from the California State Fair & Exposition in Sacramento, their last move. Closing in the capital city at midnight, the shows moved 135 miles and were ready for operation when the fair gates opened officially Monday night (13).
The lot was laid out by Harry Myers, general manager of the two carnivals. It ran approximately 1,500 feet in depth and had about 1,500 rides less than were featured at the State Fair where Foley & Burk Shows had five. Rides for the Santa Clara County Fair date was set at 40, including kid rides. The Catalogue was thus installed by a Flying Swing and Round-Up were used for the first time. Three shows, Horror, Snake Girl and Gorilla, were in the zone. There were 123 concessions.
Total revenues were boosted both by increased crowds, the fair setting a new daily attendance record Friday (17), and a larger contingents of kid devices.
Shows split at the close of the run with West Shows going to the Madera District Fair in Madera and the Exposition unit to Walnut Creek. The shows will combine Tuesday (26) for the Kern County Fair in Bakersfield.
Crafts Plans 1955 Idaho-Utah Unit
SALT LAKE CITY, Sept. 25.—Orville Crafts will keep one of his units busy in Utah and Idaho next year. Crafts will be here this week at the Utah State Fair, where he is providing the midway attractions for the first time.
After the close of the current stand, Crafts will store part of the equipment at his fairgrounds here, using it as a secondary winter quarters while maintaining his base at North Hollywood, Calif.
The equipment stored here will serve as the nucleus around which he will build the unit to play exclusively in Utah and Idaho next year. The unit, to be managed by Frank Sutton, will consist of seven major rides and as many kid rides, Crafts indicated.
Crafts line-up at the fair currently consists of 12 major rides and 10 kiddie rides, embracing all of the units normally carried by his Fiesta Shows and part of the 1950 Pacific Shows managed by Frank Warren. There are also a Midlet Show and Freak Animal Show in the line-up.
Crafts obtained the contract for the fair here on an outright buy, the result of bidding last year. After six days of the nine-day run, Crafts observed that his line-up of 24 attractions is more than the spot warrants.
The fair's gate thru the first six days was racing ahead of last year, with a bumper Kids' Day Monday (20) accounting largely for a big gate lead. Crafts' grosses, in line with the increased gate and due to strong line-up, also was estimated at far ahead of last year to the same point.
BAD REPORTS MEAN LITTLE, LEWIS SAYS
YORK, Pa., Sept. 25—Sam Lewis, president and general manager of the York Interstate Fair, showed little patience with the fact that earnings along his midway this year were down considerably. Lewis said he personally had heard no complaints and pointed to nearly $25,000 in advance deposits at locations at next year's event as a record, an indication that operators regarded the event and its potential favorably. "And," he added, "many of those guys are the habit of saying business is bad even when it actually is better than the year before."
MIDWAY CONFAB
J. C. Weer, former show owner, writes that en route to his Miami home from the midways he stopped off at Conway, Fla., where he was saddened to hear of the recent death of Mrs. Lee Avery, a veteran of 60 years in outdoor show business. He reports that Mrs. Avery started at 14 with the John Robinson Circus and for the past 35 years she and her husband had cookhouses and novelty concessions on a number of midways. Weer also reports he visited with Mel and Guy Dodson and Mr. and Mrs. Ed King in Savannah, Ga.
Irene Denton, wife of the owner-manager of Gold Medal Shows, was guest of honor at a kidlet's party at the Rutherford, N. C., fair. Husband Johnny presented her with a diamond ring. Guests included Essie Harris, Sis Campi, Margaret Andrews, Frances Pierce, Shirley Brooks, Marie Cleman, Rena Stevens, Mom Stevens, Mable Steiensfeldt, Midge Jamison, Frances Carr and Mickey Sakobie.
Bob McCarty writes from Newark, N. J., that Slim Wolfe, in town for a short visit, reported business poor in the East because of the weather. Wolfe now has donkeys in his dunker baseball game; Big Sheriff is confined to his room at the Comet Hotel, Newark, and would like to hear from friend Little Ben, a very gallant admiral. Mentioned Swank Riley and Flannel-Mouth Hunter at his home in West Orange, N. J., recently, and Marie and Roland Stark, concessionaires formerly with the Desoto Shows, have left the road to operate the Fairmount Diner, Syracuse, N. Y.
Haold M. Kilpatrick, former billposter and now booking for the sex picture, "I Want a Baby" in the Carolinas for H. G. Arenson, of Charlotte, N. C., writes that he will close his season at Salada, S. C., September 24. Kilpatrick's last season on the road was with Dodson's World's Fair Shows.
Hattie B. Smith, who has been living on her private car at Mobile, Ala., since the closing of Cavalcade of Amusements, has leased a house in the western section of the city and will move there next week. She gives her present address as P. O. Box 66, Mobile.
Terry Marshall, former showman and now operating a tavern on South Broad Street, Mobile, Ala., writes that he recently installed one of the new Frankfurter Rotisseries, purchased and constructed by Bell Engineering Company, Lynn, Mass. Deal was handled thru Walter B. Fox, who is representing the manufacturer in the Mobile territory. . . . Millie Dressen, former circus and carnival girl and now in the real estate business in Mobile, Ala., recently spent some time cutting up jackpots with Walter B. Fox at the latter's Mobile apartment. Other frequent visitors at the Fox abode included Robert Lohmar, Charlie Crichton, S. A. Ratliffe and Johnny Adams.
Ralph Lockett, office secretary of the World of Today Shows, was a recent Chicago visitor, stopping off en route from Syracuse to Parsons, Kan. . . . Mr. and Mrs. Frank Thomas, operators of the Capitol Hotel, Frankfort, Ky., were guests of J. L. Machamer, secretary of the Amusement Company of America at the Kentucky State Fair, Louisville. Mrs. Machamer returned with them for a short visit before rejoining the show at Chattanooga.
Virginia Greater Shows at West Point, Va., was visited by Harry Wilson, of Vroom Bros. Shows; Bill Rogers, of American Tent & Awning Company and personnel from the George Clyde Smith Shows, laying over at Warsaw, Va.
During the recent Royal Americans' date at Tulsa, Okla., a regular visitor on the lot was Jackie Darling Dunn, girl show operator, who just bought her own there for the past nine weeks recovering from injuries suffered in an automobile accident at Veedersburg, Ind. She reports her recovery nearly complete and plans to attend the forthcoming Muskogee (Okla.) Fair.
Johnny Denton, owner-manager of Gold Medal Shows visited the John H. Marks' Show at the Albemarle, N. C., fair. . . . Bill and Gladys Tomkins, of Rocky Mountain Empire Shows, picked up a Lincoln Cosmopolitan in Salada, Colo.
The James E. Strates Shows took delivery at Syracuse of an Intermediate, All-Steel Roller Coaster, according to Dick Phelps of Oceanic Amusements. The firm also makes the Kiddie Hook & Ladder ride.
Mrs. Pearl Crinnell, former troupier and the mother of the Crinnell midgets, is now located at 7110 Gonzales Street, Houston, and would like to hear from old trouper friends.
James Rapple, advertising-publicity agent for Vivona Bros. Shows, recently enjoyed a visit from Mrs. Rapple and son, Jimmy. The Rapples spent a week together at Lake Sunapee, then returned to the B. & H. Amusement Company after visiting her daughter, Mrs. James Koontz, in Dayton, Ohio. . . . Mr. and Mrs. Tex Dowdy visited Mrs. Dowdy's family in Columbia, N. C., recently. Mrs. Dowdy is The Billboard agent on the B. & H. show.
Harold Hesch, who managed Bob Farris' circuses in Canada this season, was in Chicago Tuesday (14) following the Quebec City fair. Mrs. Hesch spent several weeks with the Parkers at their Delavan, Wis., summer home while her husband was north of the border. . . . Chuck Magan, concession manager on gold Medal Shows, was scheduled to be released from a Winnipeg hospital last week and planned to move to his mother's home in that city.
Kenneth Smith, truck driver on E. E. (Ernie) Farrow's Wallace Bros. Shows, escaped serious injury Monday (13), when the semi-trailer he was driving turned over in Jamestown, Ws. Smith was thrown from the ride through the town when it rolled on a curve and crushed a parked car. . . . Tom and Kate Smith, retired circus performers, visited the management and personnel of Dyer's Greater Shows during the org's stand at Savannah, Maquoketa, Ia. Also visiting there was Harry Becker retired cookhouse op.
Rosalie Gatiss, who with her husband, Glen, operate concessions on the Cumberland Valley Shows, entered Vanderbilt Hospital, Nashville, September 20 to undergo eye surgery. She would like to hear from friends. . . . Pfc. Jerry D. Vincent, son of Bill and Gladys Tomkins, who recently joined the Rocky Mountain Empire Shows, is in Germany with the Army.
Don Gilbert, operator of the Side Show on West Coast Shows, reports good business at the Sacramento fair. Line-up there included Dolores Coronado, fat girl; Paul Auckley, fortune Dorothy; Irvin, sword box; Bill Parrott and Jim Lin, impalment; William Hale, fire eater; Mickie Mignon, penguin girl; Lanya, electric chair; Lady Rose, kiss of death; Vivian Smith, doll house and human heart. Don and Mrs. Dan Quinn did the talking with tickets handled by Earle Davis, Dennis Pimental, Eddie Festner and Bill Smith.
Bill Berkeley is now with "Hell's Belle's" on the Pike in Long Beach, Calif.
Crafts Exposition Notes: Mrs. Catherine Warren is bringing her son, John Franklin Warren II, to join husband, Warren, who manages the show. . . . Vincent Kuropatwa, agent for The Billboard, is painting searchlights and other gear for the Fresno stand. . . . Mr. and Mrs. Ben, now have their dope show and Mrs. Pauline Arthur joined with her gorilla. . . . Barney Corey framed two 20-foot square bear pitches at San Mateo. . . . Mrs. Ruth Fisher, who has a pitch, was...
The SLA SALUTES THESE Miss OUTDOOR . . . who assist in a truly
Where Does the SLA "Vote Dollar" Go?
All proceeds of the "Miss Outdoor Show Business Contest" go to the Welfare Fund of the Showmen's League of America. Thus, not a cent of it is spent for any social activity, nor a penny for the maintenance and operation of the League.
What Is the Function of the Welfare Fund?
It provides the money necessary to aid needy showmen . . . men in dire circumstances who urgently need care or assistance and who, in most cases, have no other place to turn for help in their hour of need.
Does the Fund Provide Medical Care?
It does for those showmen who have no funds of their own to obtain a doctor or pay for medicine. Each year the League is called upon — many times as a last resort — to provide money for such vitally needed care.
Will the Fund Pay for Hospitalization?
Yes, it not only does but will and has paid for the hospitalization of those showmen without financial resources of their own. In such cases, the League acts with great speed to insure quick admittance to a hospital.
WONDERFUL WOMEN . . . Candidates for SHOW BUSINESS of 1954 great cause!
Support YOUR Choice!
Send your votes in early:
- Books in on or before Oct. 15 will each receive 50 bonus votes.
- Books in after Oct. 15 but before Nov. 15 will each get 25 bonus votes.
ACT NOW . . . IT WILL HELP YOUR CANDIDATE
Queen Contestants also benefit by sending in membership applications early:
- Each application received on or before Oct. 15 will give a candidate 500 bonus votes.
- Applications received after Oct. 15 but before Nov. 30 will give candidate 250 bonus votes.
Coronation Ceremonies to be held during the 1954 Banquet and Ball at the Sherman Hotel, Wednesday, Dec. 1, 1954.
A DELAY ON YOUR PART MAY COST YOUR CANDIDATE THE TITLE . . . AND MANY PRIZES. ACT NOW!
CHARLES ZEMATER, Chairman
NED E. TORTI • MAURICE OHREN • JACK DUFFIELD
Deputy Chairmen
SHOWMEN'S LEAGUE OF AMERICA
54 W. Randolph St. Chicago
Mrs. Wm. T. Collins
Wm. T. Collins Shows
(Photograph not received at the time this issue went to press)
Joan Nix
Moore's Modern Midway
Doris Fritz
Continental Shows
Does the League Provide for Burial?
Ever since its inception, the Showmen's League, thru its Welfare Fund, has provided burial for showmen who died without sufficient funds. To date, the League has given burial to in excess of 100 showmen. To be in a position to provide burials at reasonable cost, the League with foresight many years ago purchased its own cemetery plot — Showmen's Rest in Woodlawn Cemetery, Chicago.
Are the Demands on the Welfare Fund Growing?
Each year in the past five years requests for aid from the Showmen's League have mounted. Moreover, not only has the number of cases climbed but so, too, have the costs involved, for, as can readily be understood, it costs more now for hospitalization, doctors, medicine, and burial than it did five years ago when the dollar had a greater value.
Where Has the League Obtained Its Welfare Funds?
Always, from drives — or contests, such as the "Miss Outdoor Show Business Contest," never from membership fees. That is why your support of this contest is urged . . . so that the League will have the funds so that it can continue to be a helping hand to the distressed showmen.
Abbott to Speak At Show Folks' Memorial Services
SAN FRANCISCO, Sept. 25.—Sam Abbott, of The Billboard's Hollywood office, will be the guest speaker at the annual Memorial Services of the Show Folks of America, San Francisco Chapter, Charlotte Porter, SFA president, announced. The services will be held December 5 with the annual banquet and ball on the following day.
No chairman has yet been named for the Memorial Services but it is expected that Harry G. Seber, veteran showman, will again direct the activities. Mike Krekos, executive manager of the West Coast Exposition Shows, is the chairman of the banquet and ball committee.
Abbott's subject for the services will be "No Known Survivors."
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The Mighty Gem City Shows
MISS-LOU DISTRICT FAIR, VICKSBURG, MISS., OCT. 4-9; FOLLOWED BY THE SOUTHWEST GEORGIA STATE FAIR, ALBANY, GA.; DECATUR COUNTY FAIR, BAINBRIDGE, GA., AND NORTHEAST ALABAMA STATE FAIR, ANNISTON, ALA.
SHOW CLOSES AFTER THESE REMAINING FAIRS FOR TWO WEEKS, THEN INTO OUR FLORIDA WINTER ROUTE. Get in on the big money. Join now for preference at the above annuale and in Florida.
SHOWS
Will book Fun Houses or Glass Houses, Monkey Show, Big Dog, Little Horse or any worth-while Grind or Belly Shows.
CONCESSIONS
Will book Prize-Every-Time Games of all types, such as Fish Ponds, String Games, Ball Games, Coca-Cola Bottles, Duck Ponds, African Dip, Pitch Games of all kinds and Center Games or legitimate Concessions of all kinds.
DIRECT SALES
All Food and Drinks open, such as Candy Floss, Snow Cone, Ice Cream, Custard, Jewelry and Direct Sales of any type.
ATTENTION, ALL SHOWS AND CONCESSIONS THAT ARE PLAYING MID-SOUTH FAIR, MEMPHIS, TENN. YOU CAN PLAY VICKSBURG, MISS., THE FOLLOWING WEEK, SPACE WILL BE HELD FOR YOU.
WIRE: THOMAS D. HICKEY, Mgr. c/o WESTERN UNION, GADSDEN, ALA.
PHONE OR WIRE: DON GRECO, Con. Mgr. REICH HOTEL, GADSDEN, ALA.
NO GYPSIES NO RACKET
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Gold Medal Shows
GREAT PETERSBURG FAIR
Petersburg, Va., Oct. 4-9
RIDES — Can place Caterpillar, Rocket, Flyplane, Rockaplane and Rolloplane.
SHOWS — Monkey Show, Unborn, War Show, Snake Show, Monkey Drome, Fun House and Glass House.
CONCESSIONS — Hanky Panks of all kinds, all Eats and Drinks open, Water Games, Photos.
CAN PLACE Ride Help of all kinds who drive semis. Contact JOHNNY J. DENTON, Gold Medal Shows, Fairgrounds, Gastonia, N. C.
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Interstate Shows
WANT FOR MITCHELL COUNTY FAIR, CAMILLA, GA., OCT. 4-9; TRI-COUNTY FAIR, ENTERPRISE, ALA., OCT. 11-16; THEN THE BIG ONE, PIKE COUNTY FAIR, TROY, ALA., ALL FAIRS TILL NOV. 13.
SHOWS: Have top, front, banners for Side Shows, want Manager with Acts for same, or will book one with own equipment, very small P.C. Will book Minstrel Show with own equipment. Going strong for Fun House, Glass House, Motor Drome, Monkey, Wildlife, Snipe or Grind Show. Want Side Shows with own equipment. CONCESSIONS: All Hanky Panks open, also Photo, Candy, Pinches, Jewelry, Novelties, Hats, Gadgets, Age and Weight, High Striker, All Eating and Drinking Stands open, also Long Range and Short Range Galleries. Will book for small P.C. Roller Caunter, Sprites, Orpheus, Caterpillar, Rockaplane or any Flat Ride not conflicting, Can place few more Kindred Rides. Replies to
H. B. ROSEY
LAWRENCE CO. FAIR, MOULTON, ALABAMA.
P.S.: B. J. Collins, get in touch with me if you are at liberty.
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Ross Manning Shows
Laurens, S. C., October 4-9
TWO OF THE BIGGEST KID DAYS IN SOUTH CAROLINA
CONCESSIONS — Loris and Shaw Range, Novelties, Hats, Drinks, Coke Bottle, Ball Games, Hankies, Cork Pulling, Dart, Buckets, Fish Pond
SHOWS — Wildlife, one more Girl Rider for new Motordrome.
Booking now for Rome, Ga., Fair, Oct. 11-16, combining with Gold Medal Shows. Gold Medal "cd" this week. Kingstee, S. C., White Fair, Oct. 18, and "The Little World's Fair," Trenton, N. C., week Oct. 25. Space limited for this one.
Write or Wire
ROSS MANNING
VANCE HOTEL, STATESVILLE, N. C.
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American Legion Fair
CARUTHERSVILLE, MO., OCT. 5 TO 10
WANT Catchboards, Crabs, Foot Swing, Curried Ice Cream and 5-Ups that can operate in Missouri. Can place Long and Short Range, Derby, High Striker, African Dip, Fish Bowls, Live Ducks, Ram Target, Hats, Jewelry and Ball Games. Can place Buckets and Six Cats with Hanky Panks; Age and Weight exclusive open. Can place Shows with own equipment, also Fun House and Motordrome. Will book non-conflicting Rides.
SUNSET AMUSEMENT CO.
Newport, Ark., Fair, this week; Caruthersville, Sunday, Oct. 3.
P.S.: Have space for gadgets.
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Johnny T. Tinsley Shows
"America's Most Modern Midway"
WANT FOR LA GRANGE, GA., FAIR, Oct. 4-9
SENSATIONAL FREE ACT
Want for balance of season—Fun House, Glass House and Mechanical Show.
Contact JOHNNY T. TINSLEY, Mgr.
ANNISTON, ALA., THIS WEEK.
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Brookneal Firemen's Fair
ALL NEXT WEEK—OCT. 4 THRU 9
With the best tobacco crop in 7 years, plus around-the-clock working of the local factories, makes this event unusually attractive for Concessions and Shows. Can book all kinds of legitimate Concessions, except Eats. Beautiful new grounds offers plenty of space for shows.
PERSON COUNTY FAIR
ROXBORO, N. C.—OCT. 11 THRU 16
With a new $20,000 exhibit building plus many new promotion ideas, makes this fair an outstanding booking for Concessions and Shows.
FOR SPACE CONTACT
Steve Decker, c/o Beam's Attractions
HOPEWELL, VIRGINIA—SPRING LAKE FAIR GROUNDS.
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Beam's Attractions
Want experienced Caterpillar Foreman (not using tunnel), also Second Man for Caterpillar, Spitfire, Merry-Go-Round and Kid Rides. Report immediately. Need other capable Show Help. Rides and Concessions and some Shows to operate in a winter round. Will give good pay and this winter work will be given all capable, sober Help. Contact
STEVE DECKER
SPRING LAKE FAIR GROUNDS
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Festival of the Hills
Ironton, Ohio, October 6-9, on the Streets
Parades, Free Acts. Want a few Hanky Panks, small Grab, one small Show, Photos, Age, Scales, Live Ducks, Fish Pond.
HOWARD BROS.' SHOWS
WEEK SEPT. 27 TO OCT. 2, FAIR, OLD WASHINGTON, OHIO.
No phone calls, wire Cambridge, Ohio.
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Red Ribbon Shows
WAYNE COUNTY FAIR, WAYNESBORO, Miss., October 4-9; YAZOO COUNTY FAIR, YAZOO CITY, Miss., October 11-16; next move, FAIR, TO FOLLOW. Want Concession for Candy Store and Pin Stores. RIDES—Kiddie Octopus, Spitfire, Rolloplane and Little Train. Shrimp Big Dipper, Mechanical City, Zoetette, Tony & Eddie and Antinette, contact Jo-An. Want Girls for Girl Show.
C. A. STEPHENS, Conyers, Ga., this week
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Volunteer Shows
WANTED FOR
Perry County Fair, Linden: Gibson County Fair, Fair, Trenton: and Bedford Fair, Festivities, etc. PANKS AND FLIP GAMES OF ALL KINDS. Any kind of Grind Show.
ELMER REID, Mgr.
Linden, Tenn.
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Want to Buy
ROLL-A-WHIRL RIDE
J. A. BLASH
706½ N. First St.
Arcadia, Calif.
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Doc Willard Wilson
Comes around about way much, too little news, Tommy. How's that? Easy. We couldn't make all even. Why did we come to Caruthersville?—Al right place make plenty for our use. Our excellent route of repeat customers you see, and we're at high water stages. (Do not phone us about your acts. Add a letter telling all about your acts. Address)
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Phonemen
One of the leading Indoor Circuses offers an unusual opportunity to men who wish to become professional managers. If he is of good character and power, we will give him a chance to learn our L.E.M.A. system. You like to hear from us. Experience not an important factor. We have a lot to teach you. Our excellent route of repeat customers you see, and we're at high water stages. (Do not phone us about your acts. Add a letter telling all about your acts. Address)
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Want to Swap
Single OCTOPUS, FLYING SCOOTER & CATERPILLAR
For Kiddie Rides, or what have you? Rides in good condition. Now working. For LA GRANGE, Ga., new opening. Contact Zargrave, Chicago, October 4.
Frank W. Babcock United Shows
501 S. Los Angeles St.
Hotel Baltimore
LOS ANGELES, CALIF.
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Want
FOR TRI-COUNTY FAIR, MANCHESTER, GA.; BARNESVILLE, GA., TO FOLLOW. CONCESSIONS: Long Range, Water Games, Novelties, Hat Bands and Bumper. Want Agents for Country Stores and Pin Stores. RIDES—Kiddie Octopus, Spitfire, Rolloplane and Little Train. Shrimp Big Dipper, Mechanical City, Zoetette, Tony & Eddie and Antinette, contact Jo-An. Want Girls for Girl Show.
C. A. STEPHENS, Conyers, Ga., this week
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$50.00 Reward
For location of 14 ft. Balloon-Dart Game and stock, value $1000.00, stolen from my truck, contact
WALTER B. COX
Care Stares Shows
Greenville, S. C. this week; then Charlotte, N. C.
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For Sale
Kiddle U-Drive Car Ride and Kiddle Merry-Go-Round; both new this season. Partly paid for. Location desired near N. J., Beachfront. Cash $4,500.00.
R. D. T. AMUSEMENTS
137 Atlantic Ave.
Manasquan, N. J.
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Want
FOR RED RIBBON FAIR, WAYNESBORO, Miss., October 4-9; YAZOO COUNTY FAIR, YAZOO CITY, Miss., October 11-16; next move, FAIR, TO FOLLOW. Want Concession for Candy Store and Pin Stores. RIDES—Kiddie Octopus, Spitfire, Rolloplane and Little Train. Shrimp Big Dipper, Mechanical City, Zoetette, Tony & Eddie and Antinette, contact Jo-An. Want Girls for Girl Show.
C. A. STEPHENS, Conyers, Ga., this week.
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Want
FOR RED RIBBON FAIR, WAYNESBORO, Miss., October 4-9; YAZOO COUNTY FAIR, YAZOO CITY, Miss., October 11-16; next move, FAIR, TO FOLLOW. Want Concession for Candy Store and Pin Stores. RIDES—Kiddie Octopus, Spitfire, Rolloplane and Little Train. Shrimp Big Dipper, Mechanical City, Zoetette, Tony & Eddie and Antinette, contact Jo-An. Want Girls for Girl Show.
C. A. STEPHENS, Conyers, Ga., this week.
**MIDWAY CONFAB**
- **Continued from page 65**
- Visited by her daughter, Mrs. Enos, and her son-in-law at San Mateo. The Enoses are from Richmond, Calif.
Howard Judd, of Crafts Exposition Shows, is confined to the Woodland (Calif.) Clinic with a broken back suffered when a Roller Coaster car rolled back over him while he was working the ride. Personally, the show recently bought Judd a radio to ease his long stay there which is expected to extend from four to six months. . . . Sporting new house trailers on Johnny's United Show are Mr. and Mrs. Jeff Griffin with the 24-foot Travel-mater; Ray and Ginger Murray, 30-foot Duo; Junior and Mary LeMay, 27-foot Alma; Bill and Marguerite Dubocq, 25-foot Ironwood, and Jim and Bev Boley with a 25-foot Schultz.
T. H. Strong, owner-manager of Strong's Amusement Company, is recovering from a severe case of poison ivy.
Merle Beam, Beam's Attractions, left the show in the hands of his wife and Steve Decker at the Chesterfield County (Va.) Fair to return to his school principal duties at Windber, Pa. . . . Odell and Polly Kelley arrived in Richmond, Va., to join J. C. Corbett for the Virginia State Fair. . . . Mr. and Mrs. John Karr visited Rita Slaughter and Edna Mahoney on their way thru Richmond to join the James E. Strates Shows in Shelby, N. C. . . . Richard Boreau has left the road and is sitting out the fall season at Hampton, Va.
Bobe LeRoy back in Richmond, Va., after a business trip to Galveston, Tex. . . . Former cook-house operator Harry Frank is remodeling his Richmond restaurant. His establishment is the meeting place for visiting showmen. . . . Burgess Ramos visited the George Clyde Smith Shows during its Warsaw Fair date. . . . Dave Sanyour visited Bob Eddington on his way to join his Penn Premier Shows at the Davidson County Fair, Lexington, N. C.
Carl J. Lautner recently took his 10-in-1 Show to the Johnny T. Tinsley Shows after closing a good summer trek with Happyland Shows in Michigan. The Lautner
**Canada Shows Get Radio PR**
FREDERICTON, N. B., Sept. 25—Carnivals in Canada are coming in for some hefty radio publicity. On the morning of August 30 a 15-minute talk show was over the Maritime network of the Canadian Broadcasting Corporation about Jimmy Sullivan's Wallace Bros. Show. On the morning of Labor Day the network gave the same treatment on the Bill Lynch Shows to spotlight the Lynch opener at the Fredericton Exhibition.
Both programs were narrated by Fred H. Phillips, for many years The Billboard correspondent and outdoor show business writer. The Wallace Bros.' talk is to be rebroadcast on a national network from the Toronto headquarters of the CBC.
**Krekos Party Earns $1,200 For 2 Clubs**
SAN JOSE, Calif., Sept. 25—A show-within-a-show staged by the West Coast Shows and West Coast Exposition Shows playing the seven-day Santa Clara County Fair here earned $1,200 to be divided equally between the Pacific Coast Showmen's Association in Los Angeles and Show Folks of America in San Francisco.
The fund raising event was held Thursday night (16) after the shows, which were combined for this engagement, were closed for the day.
Sam Dolman served as the chairman with Mike Krekos, Harry Myers, Eddie Harris and Eddie Hellwig as co-chairmen. Bobby Cole, general agent of the shows, emceed.
The event was attended by presidents of both organizations. Hunter G. Farmer, PCSA pres, in attendance with the West Coast concession staff, and Charlotte Porter, SFA leader, was on hand from the Bay City, PCSA Past President Everett W. Coe, West Coast business manager, also attended.
Sam Landesman was the caterer with Buff Duncan, Sam Laski and Virgil Lattik acting as bartender. Barbara Hellwig was the treasurer. Sammy Sheridan, known as "The Mayor of the San Francisco Exposition," donated 10 cases of beer.
Entertainment was produced by Duke Navarro of the Show Folks committee.
**Water Spectacle**
- **Continued from page 64**
- In the competitive picture are its appeal to all ages and classes and the fact that it can grind successfully thru the dullest working hours.
**Publicity Vital**
Any new shows arriving on the nation's midways in the future would have to have similar qualities to make a success. And no matter what the offering it is unlikely that any notable success would be achieved without the sizable helpings of advertising publicity that the water spectacle has received in virtually all instances.
Once it is rolling, the show can pretty much hold its own. The spontaneous applause it earns is assurance of invaluable word of mouth boosting. But it takes publicity, and lots of it, to spark its beginning.
The public's acceptance of the attraction along with legitimately being able to point to it as "new" has pleased the operators who have it. Apart from the novelty angle, show managers have pleased their fair contacts by bringing in the novelty.
Most operators seem to agree that Dancing Waters will maintain its current pace for at least another year. But already they are concerned over the need for replacements in the future. It may be that they'll find something with the missing potential of the spec but it is unlikely to have its super qualities — mechanical perfection and minimum personnel.
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H. C. EVANS & CO.
1556 W. CARROLL AVE., CHICAGO 7, ILL.
**WANTED FOR**
ORANGEBURG COUNTY COLORED FAIR
OCTOBER 4TH THRU 5TH; AND SIX BONA FIDE FAIRS TO FOLLOW IN THE HEART OF THE COTTON BELT.
SHOWS—Pony Express, Jungle, 10-10, Colored Girl Show.
RIDES—Spitfire, Rocket, Overhead Ride—Planes not conflictting.
CONCESSIONS—All Hanky Panks open, no ex. Also want Direct Sales, Demonstrators, Photo, Framing, etc. Need 20 x 30 Show Tops for eating outfits. Want Free Act for six weeks' work, high pole act preferable.
Want to buy 20 x 30 Show Top, must be in good condition.
Want Musicians and Performers for Colored Revue. Eagleston Markey Show, come on. Blakely Woods, contact.
W. E. (JOHNIE) HORBS—B. & H. AMUSEMENT CO.
ST. GEORGE, S. C., THIS WEEK.
**FOR SALE**
CLYDE GOODING'S KIDDIE LAND
OWING TO ILLNESS OF MY BROTHER I AM COMPELLED TO SELL HIS PROFITABLE KIDDIE RIDE BUSINESS LOCATED AT 10748 WEST PICO BLVD., LOS ANGELES, CALIF. FOR INFORMATION CALL TUCKER 5151 OR WRITE: 523 West 6th St., Los Angeles 14.
M. M. GOODING, GUARDIAN
**WANTED**
East Orange Chamber of Commerce Fall Fair
For Lake Barton Section in Orlando, Florida, November 1 thru 6
This big event starts the winter season here. Over 300,000 people in immediate area. Will pay daily pay for anyone willing to change to Orlando. Agents wanted here.
RIDES—Want Independent or Organized Rides and Shows. Will book any type of Rides, including Airplane, Helicopter, Airplane, Louper, Spitfire, Caterpillar, or any good Major Rides. WANT KID RIDES
SHOWS—Will book Fun House, Glass House, Drums, Monkey Show, Snake Show, Side Show, Mechanical Show, Colored Girl Show, etc.
CONCESSIONS—All Concessions are open. Will book Hanky Panks, Popcorn, Floss, Candy, etc. Will book any type of Concession, including Photo, Framing, etc. Short Ranges, Jewelry, Hats, or others of this type. NO PC OR FLATS.
WANT FREE ACT—Will book good Free Act. Send photos and materials at once, quote lowest price.
Wylie or Wylie Fair Secretary
EAST ORANGE CHAMBER OF COMMERCE FAIR
ORLANDO, FLORIDA
125 HIGHLAND AVE. SUITE 6
**ANCHOR TENTS**
CONCESSION, BINGO TENTS, SIDE TOPS
MOTORDOMES, SHOW TENTS
ANYTHING IN CANVAS
Manufacturing Show Canvas for Over Fifty Years.
Underwriters Approved Flame Resistant Materials Available.
FIVE DAYS' SHIPMENT ON MOST SIZES.
**ANCHOR SUPPLY CO., INC.**
EVANSVILLE, INDIANA
**SONNY MEYERS AMUSEMENTS**
CAN PLACE FOR ST. JOSEPH, MO., THIS WEEK, AND THE GREAT HOLDEN, MO., STREET FAIR NEXT WEEK.
Agent for Scales, Cork Gallery, Dance Floor, Photo Booth-La or any legitimate Concessions. Can also place a Show of merit. Contact
BILL DILLARD
ST. JOSEPH, MO.
3012 N. 18TH STREET
**MILLIKEN BROS.' SHOWS**
Jessup, Ga., week Sept. 27th, center of town, main street location; then Liberty Co. Colored Fair, Hinesville, Ga.
Can use Hanky Panks of all kinds. Rides that do not conflict with 6 we already have. No flat PC or campus acts. They would up to 25¢, no more. Agents for office owned Hanky Panks. All replies to
MILLIKEN BROS.' SHOWS
**WANT FOR MISSISSIPPI FAIRS**
Merry-Go-Round Men who can run up and down. Good salary. No drunks. Can use Hanky Pank Concessions for Picayune, Miss., Fair, Oct. 4-9, one of the biggest County Fairs in the State. All replies to
JACOB PRYOR
Rt. 3, Box 75-B, Biloxi, Miss., or come on to Picayune.
**WANTED WANTED WANTED**
Hanky Panks that do not conflict. Will book Photo, Bingo, Mechanical Show or Fun House. Rides Help on all Rides. Must drive semi sober. Drunks, stay away. Maidens, Mo., Sept. 27 to Oct. 2; Leachville, Ark., Oct. 4 to 9; Manila, Ark., Oct. 11 to 18, then per route.
BIG FOUR AMUSEMENTS
ON MAIN ST., NEW MADRID, MO.
CLUB ACTIVITIES
Show Folks of America
145 Turk St., San Francisco
SAN FRANCISCO, Sept. 25.—President Charlotte Porter handed the gavel at the Monday (13) meeting. Other officers attending included Oscar Mattley, treasurer; Albert Roche, corresponding secretary, and Bonnie Townsend, recording secretary.
Members mourned the death of Alice Stone, who passed away September 13.
Frances Weidmann was appointed chairman of the anniversary party which is tentatively scheduled for October 10. In November, Mike Krekow is chair man of the banquet and ball which will be held December 6. Memorial services are set for December 3.
Members present at absences included Fred Bodoh, Helen Artz, and Pearl Clark. A "show-within-a-show" was held by the combined West Coast Shows in San Jose, Calif., Thursday (16) with a good turnout.
Lone Star Showmen's Club of Texas
DALLAS, Sept. 25.—The last meeting until after the State Fair of Texas, was presided over by President Edna Hacker. Pearl Vaughn read the financial report and Grace Tinter read the minutes. Julie Connors read the invocation and Bonney Allard handled the sergeant-at-arms duties. It was announced that G. Sands, operator of a Dallas electrical firm, had the winning ducat on the car giveaway and in return presented the club with a donation. The ticket was drawn at a special September meeting in the clubrooms. Mabel Welshman and Mille Capak were to be hostesses but Mrs. Welshman was rushed to Baylor Hospital. She is now home and doing okay according to latest reports. Mrs. Capak was also unable to attend as a fire destroyed their home and most of their possessions. Both, however, saw to it that the promised food was on hand for the party.
Renee Gordon attended the party, her first appearance since last January. John Carroll and Art Kobbie are reported on the sick list. George Davis is ill in Denver. If he recovers, he is still in the hospital following surgery.
June Reynolds sent in the proceeds from a bingo party held on World of Today Shows. Bobbie Peck, McGough's housekeeper, Billie Jean and Mary Bell, Johnny O'Neil is back from a visit to Chicago and Milwaukee. Kathy and Red Kearns and their two boys are also home again after a Chicago sojourn. Claire and Harry Barrett passed thru Dallas en route to Oklahoma City to do advance work for Polack Bros.' Circus.
As a follow-up to last year's successful drive for the Damning Ransom Cancer Fund, the club this year has launched a campaign for the Heart Fund. Pearl Vaught, 3105 Forest Avenue, Dallas, is heading up the drive.
President Hacker and Corine Green plan to visit the Jimmy Liberman's at their Kosher restaurant in Longview, Tex., before going to Memphis.
Next meeting will be at 8 p.m. October 25 when the first box supper is set for Halloween.
National Showmen's Association
317 W. 58th St., New York
NEW YORK, Sept. 25. — The Eligibility Committee has recently approved the following applications for membership: Ben Cohn, Richmond, W. Va.; Joe Jr., Charles Howard Gleason, Louis Klick, James Leahy, Louis Occhinto, Arthur B. Porter and P. Jack Wilkinson, all sponsored by Louis Light of the World of Mirth Show. Lou is about to put thru his 50th new member and is eligible to receive his gold life membership card.
Others approved for membership are Jack Gross, sponsored by Arthur Roy Gries, and Edward A. Devlin and Henry Dorman, sponsored by Max Tubis.
On the sick list is Henry (Slim) Pein who is still confined to St. Clare's Hospital in New York City. Charles Rawfuss, who has been confined to the hospital for many months, has been discharged and is recuperating at his home.
Vice-President Gerald Snellens visited the clubrooms for one day last week, although he missed the 1954 Year Book as well as getting rid of his quota of Award Books. Treasurer Harry Rosen has already secured a number of ads for the Year Book, and as its chairman advises this will be one of the best.
President Joseph McKeen, announces that the first meeting of the fall season will be held in the clubrooms on Wednesday evening, October 13, and all members will receive within a short time a bulletin giving all the dates and events to come. Mail is being held at the office for some members whose addresses we do not have.
Showmen's League of America
54 West Randolph Street, Chicago
CHICAGO, Sept. 25. — First meeting of the fall season is scheduled for October 7. Work on the program for the annual banquet and ball is under way. A special meeting of the board of directors was held September 23 to pass on 82 membership applications and other business.
J. C. McCafferty is still in serious condition. Lou Keller is confined to his home. Mel Harris is up and about. Lou Torti is confined at Mayo Clinic at Rochester, Minn. No news on Harry Atwell.
Club's treasury was aided by a jamboree on These Are Joyful Shows at the Crown Point, Ind., fair. Joe Siorintino provided the entertainment and Ep Glosser handled the auction assisted by Eddie Edwards.
Secretary reminds that the convention dates are November 25 thru December 1. Memorial services and president's party are November 28; annual meeting and election November 30; banquet and ball on December 1, and installation of officers on December 2.
Chick Schloss is back in town after closing with Wallace Bros. Shows of Canada. Keith Wheeler of ACA Show stopped in for a chat as did Lou Leonard, Andrew Dumont, Walter F. Driver, Chick Behlman, Mike Taflan, Charles Zemeter Sr., Oliver Barnes, Sollie Wasserman, Whitney Woods, Jack Hawthorne, Dave Friedel, Hy Neitman, George Johnson, Harry Dunne, William Carley, Jack Davis, Jimmy Morrissey, B. J. Mansfield, Noble Case, William Hetlich, Cecil Meyers, William Meyers, Dave Alden, Charles Drury, Jr., Matthew Walker, Rickton, Roy Sampson, Fred Malley, Charles N. Engel and Ben Morrison. Lou Leonard, Bob Parker, Harold Hesch, Tom Sharkey and Silent O'Brien left for the South.
Tulsa Heat Wilts RAS
OKLAHOMA CITY, Sept. 25.—Royal American Shows railed here to open at the Oklahoma State Fair today, after a still date in Tulsa that produced little business. Heat, with temperatures that soared well above the 100-degree mark, kept people away from the Barton circus grounds lot all week.
All RAS shows and rides were set up for the Tulsa stand but the heat, with little cooling off at night, kept patrons at home.
Show moved in just ahead of the Tulsa State Fair which opens October 2.
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WANT FOR ALEXANDER CITY, ALA., FAIR
OCT. 4-9, 6 DAYS, WITH 5 TOP FAIRS TO FOLLOW IN GEORGIA AND 1 IN FLORIDA
CONCESSIONS
Eating Stands of all kinds, any kind of Novelty Park Concessions, also Slum Jewelry Sales and Photos, No Grift Concessions. Can place Concession Agents for other Shows, Short Range and Slum Jewelry Spindle, must drive truck.
SHOWS
Side Show, Drome and any well-framed Grind Show not conflicting.
RIDE HELP
Forsten for Wheel and Merry-Co-Round, Also Second Men for all Rides, must be licensed semi driver. Positively no drinking allowed. Long season, also work if you want. Can use Good Man for Front Gate and Light Towers. All replies.
E. L. Young, Mgr., Sterling Crown Shows
CORINTH, MISS., THIS WEEK.
VIVONA BROS. Combined SHOWS
Can Place for NEWBERRY COUNTY FAIR, Newberry, S. C., week October 4; YORK COUNTY FAIR, Rock Hill, S. C., and all Fairs closing Charleston, S. C., Colored Fair, November 13.
CONCESSIONS—Hanky Panks of all kinds. Will sell Exclusive Novelties, Hats, Dance Doll can place high class Wheel and Grind Store. Tony Messille wants Dancing Girls. Want Help on all Rides—must drive semis. Address
Sanford, N. C., this week
20TH CENTURY SHOWS
ATTENTION, ALL FAIR MEN
CONTRARY TO THE RUMORS AND THE WISHFUL THINKING OF MY COMPETITORS, THE 20TH CENTURY SHOWS HAVE NOT BEEN SOLD. WE ARE NOW CONTRACTING FOR THE SEASON OF 1955.
WANT TO BUY FOR CASH—ROCK-O-PLANE, OCTOPUS, FLYING SCOOTER AND FUN HOUSE. MUST BE IN GOOD SHAPE. CONTACT
E. D. McCRARY, Mgr.
Okmulgee, Okla., Sept. 27-30; Tulsa, Okla., Oct. 2-8.
PERMANENT ADDRESS: 3308 Broadway, San Antonio, Tex.
L.J. HETH Shows
WANT NOW AND FOR THE FOLLOWING FAIRS:
CARROLLTON, GA., WEEK SEPT. 27
COVINGTON, GA., WEEK OCT. 11
CORDELE, GA., WEEK OCT. 25
MONROE, GA., WEEK OCT. 4
TIFFON, GA., WEEK OCT. 18
QUITMAN, GA., WEEK NOV. 1
SHOWS: Side Show, Motor Drome, any Show not conflicting. RIDES: Boat Ride, Spitfire, Roller Coaster. HELP: Can always place sober Ride Help who are licensed semi-trailer drivers. CONCESSIONS: Cookhouse, Arcade, Custard, Pronto Pups, Foot Long, Scales, Hanky Panks of all kinds. FOR SALE: 8 Octopus Seats, stored in Birmingham, Ala. All replies:
CARROLLTON, GA., NOW; MONROE, GA., NEXT WEEK.
WANT
FOR JACKSONVILLE, FLA., SEPT. 27-OCT. 9, AND ALL WINTER IN FLORIDA
CONCESSIONS — Popcorn, Candy Apples (Abe, contact), Hanky Panks of all kinds only. Rides that do not conflict.
TED LEWIS
Florida Ave.
Jacksonville, Fla.
BIG ELEPHANT
For lease on account of disappointment. Big Babe, 9000 lbs., very gentle, does nice act. Southern States preferred, for one week or all winter. Wire
C. A. VERNON
(Fairgrounds) Belleville, Ill.
BOBBIE SICKLES OR CAIN
Get in touch by wire if at liberty
HELMAN UNITED SHOWS
VERDA, LA.
AGENTS WANTED
For Six Cats and Count Store.
Address S. B. WEINTRUB
c/o J. A. GENTSCH SHOWS
Kosciusko, Miss., this week.
AGENTS WANTED
For Count and Pin Store. Also Buckets and Hanky Agents.
ROCKY COX
Fairgrounds, Enfield, N. C.
HUTCHENS MODERN MUSEUM
Wants for Firemen, Ark., and Caruthersville, Ark., Acts and Attractions (Aileen Allen, another good one, and a new number, Newport, Ark., this week.
J. T. HUTCHENS
c/o Sunset Amusement Co.
VANCEBURG, KY., FAIR
Sept. 29, 30, Oct. 1, 2.
Nelsonville, Ohio, Firemen's Fall Festival, Oct. 4-9.
Want Shows and Concessions,
FRED NOLAN
Vanceburg, Kentucky
ADVERTISERS know exactly what THE BILLBOARD delivers because The Billboard is a member of the Audit Bureau of Circulations.
BLUE GRASS SHOWS
FEATURING THOROUGHBRED ENTERTAINMENT
WANT FOR CHILDERSBURG, ALA., WEEK OCT. 4; FOLLOWED BY HOUSTON COUNTY TRI-STATE FAIR, DOOTHAN, ALA.
CONCESSIONS: Hanky Panks, Prize Everytime Concessions of all kinds. Wonder Bar, Grab, Arcade, etc. SHOWS: Can place Snake, Monkey, Wildlife, Animal or any good Grind or Bally Show with own equipment and transportation. All wire
C. C. GROSCURTH, Mgr.
Meridian, Miss., this week; then per route.
CENTRAL AMUSEMENT COMPANY
"DIXIE'S OWN AMUSEMENTS" • YOUR SATISFACTION OUR SUCCESS
WANT non-conflicting Rides. Shows with own outfits. Hanky Panks of all kinds. No Ex. Due to disappointment can also place Bingo.
Firemen's Fair, Lewiston, N. C., October 4-9; Carolina Yam Festival, Tabor City, N. C., October 11-16; Marion County Fair, Marion, S. C., October 18-23; Loris County Fair, Loris, S. C., October 25-30, and balance of season. All contact
SHERMAN HUSTED
Legion Fair, Weldon, N. C., this week.
SHANK BROS. SHOWS
WORLD'S CLEANEST MIDWAY
Can Place for WASHINGTON COUNTY FAIR, Sandersville, Ga., and COFFEE COUNTY FAIR, Douglas, Ga., followed by Six Florida Fairs
Photos, Novelties, Short Range, Jewelry and Hanky Panks of all kinds. All replies to
SHAN WILCOX
Eastman, Ga., this week; Sandersville next week.
WANT FOR CHATHAM COUNTY COLORED FAIR
Pittsboro, N. C., Week October 4
Ball Games, Pitch-Till-You-Win, Cork Gallery, Balloon Darts, Penny Pitch, Candy Floss, Six Cats, Buckets, Swinger, Hoop-La, Snow Cones, Penny Arcade.
Colored Girl Show, Snake Show, Monkey Show, Wildlife.
Want general Ride Help, Truck and Tractor Drivers, Agents for office Hanky Panks. All Replies
GEORGE CLYDE SMITH SHOWS
Fairgrounds, Enfield, N. C., this week; Fairgrounds, Pittsboro, N. C., next week.
GLADES AMUSEMENT CO.
Week October 4, Lake City, S. C.—American Legion Festival. First show inside city limits.
Will book Animal, Illusion or any other well framed Show. Can use a few more Slum Stores, Mug Outfit, Fish Pond, Hi-Striker.
JERRY SADDLEMIRE or JOHN KEELER
CONWAY, S. C., THIS WEEK.
Wilmington Packs Mills Top 3 Times
Show Owner Tells Plans to Winter At Jefferson, O.; Baltimore Okay
BALTIMORE, Sept. 25—Mills Bros.’ Circus scored three-show business at Wilmington, Del., Saturday (18) and played to more good business here on Tuesday (21).
Meanwhile, Jack Mills, manager and co-owner, announced that the show will go into winter quarters at Jefferson, O. The season ends at Johnstown, Pa., Thursday (30) after 24 weeks and 4,963 miles. At Greenville, O., where the show formerly wintered, Darke County Fairgrounds facilities no longer are available because of construction there of a new coliseum.
At Phoenixville, Pa., Wednesday (15), under Kiwanis auspices, the afternoon performance drew a near-full house and the night house was three-fourths filled in cold, cloudy weather.
The Wilmington lot was in suburban Price’s Corner and auspices was the Delaware Association of Police. In the morning the Mills elephants were to take part in a Republican party parade along with the governor of the State. Arriving at the starting point, the bull men found no one else, so they started along the parade route alone. A few minutes later the candidates arrived and found no elephants or school band. Then the bulls were brought back, and after the governor filled in with a brief speech, the school band arrived and the parade kicked off.
At 11 a.m. the circus drew a three-quarters house. The afternoon show was a full house and the night performance was nearly sold out. To balance the day, a Democratic candidate rode an elephant at night. The big business was earned despite dull, cool weather and a late rain.
Rain began in the afternoon at Baltimore on Tuesday (21), but the house was near full. With heavy rain at night, the show drew a three-quarters house.
KING WINS STRONG WEEK IN CAROLINA
Give 3 at Jacksonville; Dillon Strawed; Others Give Near-Capacity Crowds
CONWAY, S. C., Sept. 25.—King Bros. Circus enjoyed some of the best business of its season this week with tobacco and cotton crop money in hand and some needed rain in drought areas.
Arnold F. Maley, co-owner, said the week was topped by Jacksonville, N. C., where the circus gave three performances.
At Dillon, S. C., on Thursday (16) the afternoon show was near full and the night was strawed. Auspices was the Rescue Squad. Whiteville, N. C., followed on Friday (17) with a near-full afternoon and full night house under combined Shrine and Lion Auspices. Parade crowd was large. A woman was killed when her auto rammed an elephant truck; no blame was attached to the show or circus drivers.
Fayetteville, N. C., the Saturday (18) stop, came thru with two near-full houses, with cotton selling and the tobacco market at its peak. Hagen Bros. was there Sunday (19).
On Monday (20), Kinston, N. C., gave a three-quarter afternoon and full night. Then came the big Jacksonville date. The afternoon there Tuesday (21) was a turnaway. At night, the regular performance was another turnaway while the extra, second night show was three-fourths filled. Rain began late at night and caused no damage to the business.
Wilmington, N. C., with Jaycees auspices, came up Wednesday (22) with a three-quarter afternoon and a 95 per cent house at night. The show changed lots at the last minute because the first one was too small. At Conway a recent rain brought needed moisture for the tobacco harvest and sale, giving the show a surprise in the way of big crowds.
Hamid-Morton For Montgomery
MONTGOMERY, Ala., Sept. 25.—Omer J. Kenyon, general representative of the Hamid-Morton organization between Toronto, where it is appearing for its 22d consecutive year, and Alabama, where the show will play its 1st year. Both are Shrine dates. George O’Donnell, Cleveland, and Les Massey, Memphis, arrived in Montgomery early this week to handle the sales and program for the local engagement.
James Rushin, manager of the Jefferson Davis Hotel here, has been named by the recently formed Southern Enterprises, Inc., to handle the booking for the new arena, which he also has Liberase and the Spike Jones unit coming in late in October.
Barnum Fest Earned $5,043
BRIDGEPORT, Conn., Sept. 25.—Final reports on the 1954 Barnum Festival celebration in July, announced by treasurer John Shenton, show receipts of $11,956, expenditures of $6,912 and a profit balance left of $5,043.
The annual five-day event is held in honor of the late P. T. Barnum of Bridgeport. Four years ago expenditures were $17,000; three years ago $18,500, and two years ago $27,000.
Appearing in Byron Gosh’s All-American Circus at Crossville, Tenn., were Sgt. Charles E. Graffius, a killer of ferrets and club swinging; Frank Cain, clown; Bierle and Bihler, whips; Allen and Lee, acrobats; George Geddis’ dogs, and the Wyoming Duo, roping, riding and teaming for a 3-D display program. Barth and Maier, perch act, has closed its fair dates and were to join the Gosh show at Brownsville, Tenn.
Kelly-Miller Okay In Most Ia. Stands
CARROLL, Ia., Sept. 25.—Al G. Kelly & Miller Bros.’ Circus was finding good business at most stands in Iowa. Some afternoon shows were light but most nights performed well and had big crowds.
At Cherokee on Thursday (18) the circus pulled two three-quarter houses. Schools were dismissed for the occasion. Weather was misty. Storm Lake, Ia., on Friday (17) had a light one-quarter afternoon because of rain plus a three-quarter house at night.
Denison, the Monday (20) stand had only a half house in the afternoon, altho schools were dismissed. Cold weather at night didn’t hold them back, however, and the show was nearly filled. The Denison Bulletin ran a long editorial recalling old circus days and boosting this one.
At Carroll on Tuesday (21) the afternoon house was big. Schools were dismissed for the afternoon. A three-quarters house turned out at night despite a forecast for frost. Charles E. Karnes, a rigger, was injured before the night show in Carroll, when he fell from atop a pole and struck his head on a trampoline.
The Kelly-Miller circus is expecting to stay out until late October.
Clyde Beatty Circus. He reports there has been no change in make-up of the acts. He continues working the horses while his son, Tommy, does the comedy.
John Ruff, former circus musician who now operates a camp in Minnesota, is vacationing in Quebec. . . . Ringling stunt man Frank Braden authored a by-line piece for The Perry, Ia., Chief about R. M. Harvey, pointing out that Harvey brought F. A. Boudinot, present Ringling agent, into the business.
Dale and Lois Ann Madden are at their home in Lake City, Ia., after a six-month tour of Canada with the Odysun Circus.
Irv Romig, Ricky the Clown, of Detroit TV, is leaving his regular Sunday program to do a 10-minute, five-day-a-week TV show. New seg is scheduled to bow September 27.
Harvey Hoffman, of The Davenport (Ia.) Times, wrote a feature about Allen J. Lester, Ringling press agent, in advance of the show's stand there. Spread includes a photo of Lester at a typewriter and mentions his father, William Lester, who retired as contracting agent a few weeks ago.
Bert and Corinne Dearo have been playing fairs with one of the E. R. Bray Circus units. After closing in Temple, Miss. October 1, they will go to New York, then to Chicago, where Corinne will be on "Super Circus" October 24. . . . F. E. Schmitz and A. Morton Ward, of the Ward-Berry Circus, caught Polack Bros. in Vancouver recently, and confer with Harold Ward and Gus Bell about their new show for 1955.
The Aerial Aleidos, Edna, Louise and Wilfred, played Westview Park, Pittsburgh, recently, where Edna visited with her aunt and uncle, Mr. and Mrs. Grimes. . . . Barbara Waters of the Flying Valentines celebrated her birthday while the troupe appeared at the Maryland State Fair. Among those in attendance from the grandstand show were Aerial Brothers, Billings and Company, Billy Nichols and Company, members of Shrayber Folies, and Johnny Galvin, emcee. . . . Willie C. Clark, clown and foot juggler with the Hagen Bros. Circus, hit the pay dirt recently at Tuscaloosa, Ala.
The Juggling Jewels and King Rosser, wire walker, have wound up 15 weeks of indoor circus work at Yarmouth, Eng. They will forego a planned tour of the continent and leave for New York by boat October 12 to make dates already lined up for them by Stanley W. Watton.
Mary Lawrsh and Sylvia Gregory, of the King show, motored to York, S. C., to visit the grave of Chester Gregory.
T. Dwight Peppe, general agent for Polack Western, celebrated a birthday Tuesday (21) with an observation at the Atwood Lunnon Club, Chicago. . . . Johnnie Marretta spent the day with Clyde Carlton, John Brassil and Ray Long when the Ringling No. 1 car was in Pittsburg, Kan.
The San Antonio members of CFA reactivated the Allred Co-Dona Tent at a meeting Wednesday, with R. F. Hartman being elected president. He reports the tent is planning a number of activities for its coming circus season. The meeting was at the Harry Hertzberg Circus Room of the public library.
Don H. Harlow, Beatty press agent, who closed in July when he was called back by the newspaper chain for which he is promotion manager, writes that he is at Bristol, Pa., directing circulation work for the tent at Bristol, Dutchstown and Levittown. He expects to visit Clyde Beatty on winter dates.
King Bros.' stand in Rock Hill, S. C., became a reunion of troupers who used to be with the late Ray Rogers' Wallace Bros. and Barnett Bros. circuses. With some coming off the King show and some coming from around York, S. C., where the Wallace show wintered, 29 veterans of the show exchanged visits.
F. A. (Rabe) Boudinot and Charles Turner, Ringling-Barnum agents, were in Detroit this week for the convention of the International Alliance of Independent Billers and Distributors. Otto Kreuger, of the Chicago local, also was among those attending.
Albert White, Ringling Bros. and Barnum & Bailey, reports that Baby Thelma Williams, flat girl, was taken to a Madison, Wis., hospital for treatment of pneumonia, and now reports she is greatly improved and will return to the show shortly. . . . Franz (Unus) Furter is back in the program after being out several days with a sprained wrist. . . . The Joseph J. McCarthy's have returned to Sarasota for a vacation after which they will start work on 1953 wardrobe: Mrs. Mace and Horace Loms attending. . . . Eileen Slater celebrated a birthday.
Henry Kyes, Polack Eastern unit scribe, advises that Hammerhead O'Dwyer and Vaughn visited en route from fair dates. . . . The show blew the opening afternoon at Charleston because of rain. . . . Cresso went 90 miles out of the way because of a faulty sign. . . . There will be plenty of night driving as Polack people try to reach Sarasota for a day before the Orlando date. . . . The Walbrothers are getting ready for Mexico and South America. . . . Several Polack acts will make the Evansville, Ind., date after Teneck, N. J. . . . Eva Walker closes at Augusta to make theater dates.
A. L. (Tommy) Thompson writes from Kelly-Miller circus that Terrell Jacobs and Larry Carlson painted a huge banner to welcome the transport player, Dick Wray, back to his native State of Iowa. . . . Jimmy Rossi went to Norman, Okla., to enter college and Benny Rossi returned to school in Mexico, Mo. Rex Rossi remains with the concert on the show. . . . John McLaughlin was replaced as drummer by Roy Godfrey. . . . Fan Paul Hoy sat in with the band at Rock Rapids, Ia. . . . Visitors included the Noel Van Tilburgs, of the Minneapolis Shrine show; Marvin Hulick and Ace Newton who recalled Wild West show days with Pinky and Mabel Barnes.
Ringling visitors included Amelia (Sue) Adler, Tommy Adkins, Wallace Craybill, Larry Griswold, the Edward Freeman family; the Reverend Callahan; Bill and Ada Spaulding; Slim Somers; Frank Cain; John Facer; Tom and Kate Smith; Howard Suesz; Johnny Gage; Buddy Rave; the Kries family; Herm and Mildred Linden; Bill Thomas; Lee Norris; Pat and Amy Hoy; Eric and Betty Wilson; Verne and Betty Fussell and Dr. B. J. Palmer.
MORRIS BROS.' CIRCUS
WANTS CIRCUS ACTS
SIX WEEKS STARTING OCT. 18
Dog and Pony, Aerial, Clowns, etc. Send lowest salary offered. Send photos and literature. Also Family Acts.
WRITE:
E. J. MORRIS, Mgr.
Robert Randi, Gen. Agent
Bristow, Okla.
PHONOPHORE RECORDS
"A DAY AT THE CIRCUS"
Recorded on location
Ringling Bros.-Barnum & Bailey Circus.
Order your copy today. 10" record, with order, 78 rpm records only.
ROYAL RECORDS
306 E. Franklin St.
Richmond, Va.
PHONEMEN
Police deal. UFC's and book. Collectors, pay daily. Two good towns to call. Police and book. Good towns. Contact
BEAR NEARY
Phone: Avenue 50042
186 Pine St.
Wyandotte, Mich.
Advertising
Telephone Salesmen
Political deal starting. Veterans' Xmas deal. Pay well. Solow, Solber, reliable men.
LUDLOW 6223
Columbus, Ohio
FOR SALE
Small, young Female Elephant. Well trained. Can be worked by anyone. Very gentle. Priced to sell.
NOBLE HAMITER
8211 Second Avenue
Dallas, Texas
PHONEMEN WANTED IMMEDIATELY
SCOT (CALIFORNIA MASONIC) SPONSORS
LEE SOBLE'S PARADE OF STARS
WITH GEORGE JESSEL
HOWARD ELLIOTT
8475 Wilshire
Bev. Hills, Calif.
CR 50228
IRV BIERMAN
519 Highland
National City, Calif.
GR 7-0083
MICKY RANKIN
1005 E. 6th
Long Beach, Calif.
LB 35-9014
FOR SALE—SMALL CIRCUS COMPLETE
2 '47 Ford COE trucks, '50 Ford pickup, good motors; 4 wheel ID trailer, tandem wheel trailer; 13 seers; 5 high seats; 1-1/2 and 1-5 kw. generators; plant, light cabine, 200 amp. generator, 120 volt, 200 amp. 120 volt, each. 1-1/4" Marquee, all poles, stakes and wall tops for tents; Canvas used one season.
3 horses and 1 pony, high school and hurdle jumpers; ringmaster; two act of 3 girls; 1 trio; 1 clown; 1 dog; 1 horse; 1 pony; 1 goat; 1 monkey; 1 Gold Medal; 1 Kiss Machine; 1 Shootball Machine, sound system, ticket boxes and miscellaneous paraphernalia. Price $2,500. Can be seen in operation. Interested parties Phone: Benton 3507, Kansas City, Missouri, for route.
WANTED—OUTSTANDING CIRCUS ACTS
For Fifth Annual Macon Moose Halloween Free Children's Show
Municipal Auditorium, Macon, Ga., Two Night Performances, Oct. 30.
Write with photo and all details to
A. MACK DODD, General Chairman
MOOSE CLUB, 533 THIRD ST., MACON, GA.
WE COLLECT
PHONEMEN
PAY DAILY
FOR NATIONAL GUARD GRAND MILITARY BALL
Phone Clay 9931 for 10 weeks' work, Louisville, Ky.
AL WILLIS—OFC. MGR.
No collects, advances, etc., unless we know you.
TELEPHONE SOLICITORS
New Jersey State-wide deal. Steady work, good commissions. Johnny Blatt, Eddie Walsh, Jim Sonderon, please contact.
RAY STEVENS
c/o NEW JERSEY TIMES, 786 BROAD ST., NEWARK, N. J.
Phone: Market 3-8990
Want-4 Phone Men and Promoter—Start Now
JACKSONVILLE FALL FAIR, 10 DAYS, OCT. 1-11, W. JACKSONVILLE, FLA. THRILL YOURSELF. Best Rates. Contest Prizes. PHONE MEN—U.P.C. Men, Books, Banners. 25¢ on paid business. We collect daily. 3 EXHIBIT BOOTH SALESMEN Who can produce. 25¢ on paid business. Phone: 2-2000.
ROBT. HADLOCK, Seey.
HOTEL FLORIDAN, JACKSONVILLE, FLORIDA. No collects, please. No drunks.
2 PHONEMEN
3 months' work. 3 good cities. Book UPC, Wire, phone, come in.
CIRCUS CHAIRMAN
800 North Superior, Appleton, Wis.
Phone 3-9665
PHONEMEN (2)
Five months' work. Four towns. Good auxiliaries. Pay every day, 25% comm.
Contact
JACK BELL
New Brunswick, N. J. Charter 9-5351
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PIPES FOR PITCHMEN
By BILL BAKER
WE HEAR BY . . . way of the underground that Steve R. McClain is sojourning around Raleigh, N. C., and Phiniss Hess is prowling around Hutchinson, Kan.
HERE'S THE WAY . . .
Mrs. Bob Noel, of Noel's Ark Gorilla Show, tells this one: "Several weeks ago I was in the post office at New Bern, N. C., sending off some money orders when a colored woman walked over to me and said, 'Where at does you git de money orders?' I pointed out the M. O. window from the desk where I was making out my applications. Uh-huh," she protested vehemently, "dat man, I got to do it here. I laughed and said Oh! you're going to fill out one of these little papers first! I then handed her one. She looked at both sides of it and then said, 'Well, how does you do dit? I ain't dis befo.' I saw that she was helpless so I said, 'Here I'll fix it for you let me see the letter.' She gave me the envelope and letter and signed them with a $20 bill in her hand, as I made out her application, without further comment, for $9.85 to the Bardex Music Company, Columbus, O. WOW! I was raised on a med show, and Bartok just had worked this town.
"DEAR BILL,
"Writes an old friend, Howard (Punk) Elder, from Bailey, Ga.: Can't you hear of the rough break a rodeo op had in a North Georgia spot a couple of weeks ago?" The Atlanta Journal reported that some hillbilly rode his bucking mule for 18 seconds. The reward was $1,000 for 10 seconds. The mule wouldn't cooperate, so Mr. Law threw Mr. Rodco's keester in the can for his own protection from the fast-heating mob. He finally compromised for $600—a 1950 truck and a Brahman cow with calf. I'd like to say that C note would be plenty to put on a mule. Hell, I wouldn't put a grand on Native Dancer versus Bill Baker in a one-mile sprint (maybe on four acres, yes). Animals will follow where I lead on them. Thanks for publishing my pipe so promptly three weeks ago. I've seen no pitchmen of any type in this small territory recently. I'd like to hear from M. J. and Mae P. S.: The rider charged the rodeo man $10.50 for jail fees. That's really piling it on.
SINCE WE'RE ALWAYS . . . have to welcome first-timers, we toss out the glad hand to (Hank) Nier, who pens the following from Philippi, W. Va.: "It's time I sent in my first pipe. I worked my shellcrack layout at the County Fair, Petersburg, W. Va., recently pretty good results. While there I met Eddie Brownfield and my two good friends, Sen Ralston and Jack (Bottles) Stover, sheet writers par excellence. All three boys agreed that business has had its ups and downs this year, but that the fairs were paying off better than usual. I watched the boys work and decided that they were doing better than alright. I'm looking forward to the tobacco markets, because I understand that the market is just as good as the crops this year. I'll pipe in about that later."
COMING EVENTS
Arizona
Tombstone—Heldorado Celebration, Oct. 22-24.
Arkansas
England Fish Festival, Oct. 19-23.
Hopkins—Big Dixie Livestock Show, Sept. 20-22; J. Robert Shivers.
Madison—St. Francis Co. Jr. Livestock Show, Sept. 20-22; Jack Porter.
California
Delavan—Heldiday, Oct. 6-10.
Lakeside—Cattle Congress, Oct. 24-26.
Los Angeles—Great Western Livestock Show, Oct. 27-30; Jack Porter.
Los Angeles—International Horse Show, Oct. 27-30.
Oakland—Pacific International Motor Expo, Oct. 29-Nov. 1.
San Francisco—Grand National Livestock Expo, Oct. 29-Nov. 1.
Tulare—The Turkey Show, Nov. 26-Dec. 2; Marcus Johnson, 207 Crane Ave. Colorado
Grand Junction—Livestock Show, Oct. 8-10.
Florida
DeFuniak Springs—Armistice Celebration, Nov. 8-10.
Illinois
Chicago—International Dairy Show & Rodeo, Oct. 8-17.
Chicago—International Livestock Expo, Nov. 26-Dec. 2.
Toledo—Centennial Oct. 7-9.
Indiana
Indianapolis—Woodlawn Festival, Sept. 30-Oct. 3.
Midwest Perkinson Festival, Sept. 28-Oct. 2.
Iowa
Waterloo—National Dairy Cattle Congress, Oct. 2-9; Ed S. Estel, 307 Rainbird Drive, Chicago.
Kansas
Wichita—Do-It-Yourself Show, Oct. 20-24.
Louisiana
Baton Rouge—Dixie Horse Show Jubilee and Grand National Livestock Show, Oct. 18-20.
Orange Festival, Dec. 18-30. Mrs. Patricia.
Crosby—International Rice Festival, Oct. 18-20.
Holly—Terrebonne Livestock Show, Oct. 19-21.
Wheaton—Western Forestry Festival, Oct. 25-30.
Louisiana—Louisiana Livestock & Pasture Festival, Oct. 4-10; K. J. Dixon.
Billy Smith.
Winfield—Louisiana Forest Festival, Oct. 19-21.
Maryland
Princess Anne—Livestock Show, Oct. 1-2.
Howard H. Anderson.
Timonium—Eastern Natl. Livestock Show, Nov. 13-18; Josephine Shirley.
Michigan
Detroit—Jr. Livestock Show, Dec. 7-9; C. E. Scott.
Grand Haven—Mich. Fat Stock Show, Dec. 7-9; R. Machiele.
Jackson—Michigan Turkey Show, Dec. 9-10.
Ashron Jonn Stock Pair, Nov. 24-25; Abram P. Snyder.
Jackson—Southern Mich. Fat Stock Show, Nov 8-10; Fred Range.
Mississippi
Biloxi—Humphreys Co. Livestock Show, Oct. 1-2.
Brookhaven—Lincoln Co. Livestock Show, Oct. 8-9; Travis Tadlock.
Calhoun City—Monroe Co. Livestock Show, Sept. 28-29; Oct. 2, Lee Thompson.
Clarksdale—Cooper County Livestock Show, Sept. 27-Oct. 2; Cecil C. Rand.
Lauderdale—George Co. Livestock Show, Oct. 2; B. J. Hillson.
Missouri
Kansas City—American Royal Stock Show, Oct. 1-10; John A. Ward.
Monroe City—Lions Club Fall Festival, Sept. 27-Oct. 1.
Nebraska
Lincoln—II. Y. Hobby Horse & Hobby Show, Oct. 30-Nov. 1; Schulz.
Nevada
Carrizo City—Admission Day Celebration, Oct. 1.
North Carolina
Tabor City—Yam Festival, Oct. 11-16.
Ohio
Bradford—Pumpkin Show, Oct. 12-16; P. C. Brock.
Cincinnati—It Is Yourself Expo, Sept. 9-12.
Jaycees—Rider Fest, Sept. 27-Oct. 1.
Toledo—Do-It-Yourself Show, Oct. 13-15; H. P. Van Horn Jaycees.
Tiffin—Western Livestock Expo, Oct. 23-31.
Ulma—Homecoming, Sept. 30-Oct. 2.
Oregon
Portland—Pacific International Livestock Expo, Oct. 20-24; Walter A. Holt.
Pennsylvania
Nazareth—Farm Products Show, Nov. 18-20; Paul R. Snyder.
Philadelphia (Hershey Island)—Jr. Beef & Lamb Show, Oct. 19-21; Chas. L. McAdams.
South Dakota
Sioux Falls—Turkey Show, Oct. 1-2.
Sioux Falls—Poultry Show, Oct. 1-2.
Yankton—Free Pancake Days, Sept. 30-Oct. 2.
Texas
Beaumont—South West Terford Show & Sale, Nov. 8-Edward M. Neal.
Fort Worth—Home Show, Oct. 16-23.
Dudley—Houston—Appliance Show, Oct. 2-10.
San Antonio—Expo of the Americans, Oct. 10-16; Ralph W. Stevens, White Plaza Hotel.
Utah
Ogden—Ogden Livestock Show, Nov. 12-17; E. J. Fjeldstad.
Wyoming
Laramie—Western Square Dance Festival, Oct. 28-30.
CANADA
Ontario
Toronto—Royal Agric. Winter Fair, Nov. 12-20; G. S. McCall.
Quebec
Sherbrooks—Winnipeg, Fat Stock Show & Sale, Oct. 11-14.
Saskatchewan
Regina—Home Show, Oct. 14-16; Max C. Saskatoon—Dairy Cattle Show & Sale, Oct. 14.
Situation—Dressed Meat & Poultry Show & Sale, Dec. 8-9.
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ALBEN PKG. CORP.
15 Park Row
New York 38, N. Y.
Phone: Barclay 7-0205
Apco to Bow New Cup Vender Series At NAMA Meeting
Coffee and Chocolate Units Set; Prices to Be Announced at Show
NEW YORK, Sept. 25.—An entirely new SodaShoppe line, a combination SodaShoppe-CoffeeShoppe, an automatic CoffeeShoppe and a CoffeeShoppe vender are currently in production at the Apco Inc., plant in Minneapolis, with the first trade showing to be made at the annual convention of the National Automatic Merchandising Association in Washington, October 10-13.
In New York Mel Rapp, Apco executive vice-president, said prices for the three coffee venders and for the three new SodaShoppe units will be announced at the convention, with first deliveries immediately thereafter.
The new line—the automatic SodaShoppe special line—will include all models of the current standard line, in addition to the new models. Rapp said that all special versions of existing equipment will list for the same prices as the standard versions.
New Design
The new special line will differ from the standard line in that a portion of the front door will be embossed with internal illuminated plastic as a point-of-sale device, with the straight chrome strips being replaced by waffle-weaver strips.
Rapp said the new line will contain the same mechanism as the standard line and would sell at the same prices. He added that the standard line would continue to be made, primarily for industrial locations. The special line is designed for restaurant locations where point-of-sale illumination and design is essential.
All coffee units will use dry ingredients. They will be dark brown on the sides, tan in front, with the door a multi-colored illuminated plastic on a cream-colored background.
Selectivity
The combination SodaShoppe-CoffeeShoppe will vend the following drinks: Coffee—black, with sugar, with cream, with cream and sugar, and with cream and double sugar; hot chocolate, four carbonated drinks and two non-carbonated drinks.
Cup capacity is 2,000 with syrup capacities at 1,400 cold drink cups, 1,250 coffee cup and 750 hot chocolate cups. Dimensions are 73.5 by 36 by 26.5 inches.
The automatic CoffeeShoppe was three years' development at Apco's Maple Library, Rapp said it had been field tested there to determine if dry ingredients would cake in hot and humid weather. He said they did not.
Coffee and Chocolate
The unit vends coffee in the same five selections as the com-
(Continued on page 81)
Arnold Named Vending Head At Union News
NEW YORK, Sept. 25.—Robert Arnold has been named head of the vending division of the Union News Company to succeed Frank Finneman, who resigned to open his own consulting service.
Arnold joined Union News in (Continued on page 92)
Rowe Buys Spacarb Assets; To Form Rowe-Spacarb Div.
To Mfr. Full Spacarb Line; Houston, Deutsch Stay; Stockholders to Get $2
NEW YORK, Sept. 25.—The principal assets of Spacarb, Inc., manufacturer of cup drink venders since 1938, were purchased Monday (20) by the Rowe Corporation. The Stamford, Conn., corporation will be liquidated, and a new Rowe Division, Rowe Spacarb, Inc., division of Rowe Manufacturing Company, Inc., will be formed, Robert Z. Greene, Rowe president, announced.
The purchase agreement, approved Friday (17) by Spacarb stockholders, provides for the acquisition by Rowe of Spacarb machinery inventories, equipment, copyrights and patents—including the basic patent for Spacarb's Mix-a-Drink feature, which permits the consumer to combine flavors at will while making his selection.
The Rowe announcement said that the agreement provides for the liquidation of all other Spacarb assets with total liquidating dividends of $2 a share to be paid on each of the 164,443 Spacarb shares.
$3 Offer
Meanwhile, V. D. Dardi, chairman of the board of the American Dye and Chemical Corporation, Belleville, N. J., disclosed that he had offered $3 a share for the Spacarb stock, but the offer was not accepted. Dardi said he is not a Spacarb stockholder.
Dardi's $3 offer, however, was reportedly a conditional one. The Billboard attempted to learn the full terms of the offer but was unsuccessful.
But it was reliably reported that the primary condition of the offer made by Dardi was a thorough examination into Spacarb assets to determine if the stock was worth $3 a share.
According to Dardi, the offer was made by a New York brokerage firm headed by Joe Lamb, Joe Alexander and Doug Alexander. Friday, the day the stockholders voted on the liquidation and sale, said it was made through C. Harold Taylor, of the law firm of Hall, Cunningham & Haywood, representing I. H. Houston, Spacarb president.
Dardi added that he had heard nothing Monday, the day the sale was then scheduled, nor notified until Tuesday (21) that the Rowe corporation had purchased the assets.
Not Firm Offer
Houston admitted that an offer had been made, but explained that it was not a firm offer, but was subject to conditions which were not contained in the Rowe offer. He added that the stockholders had met for the express purpose of rejecting or accepting the Rowe offer and a majority of the stockholders voted to reject it. He termed the other offer merely an indication of "interest." Taylor denied that "any offer which could be accepted" was made.
Lamb, who reportedly made the $3 offer on behalf of Dardi, would neither confirm or deny the offer has been made. His only comment was, "The deal has gone thru, why not just forget it and wish everybody luck."
Houston said the stockholders had voted for the sale and liquidation "by a substantial majority."
Complete Line
The new Rowe-Spacarb Division will continue the manufacture and marketing of the complete Spacarb line of multi-flavored cup drink dispensers, as well as the Auto-Snuk, common front for automatic venders.
Among key Spacarb personnel to be retained by the new Rowe division will be Houston, president of Spacarb since 1946, as division president, and Robert K. Deutsch, Spacarb's vice-president.
All other executive officers will be filled by Rowe officials and the new division will operate under the general supervision of the Rowe Manufacturing Company, Inc.
Spacarb will liquidate all unsold assets, including its interest in the following subsidiaries: Frostirkirk, Inc.; Spacarb Corporation; American Katadyn Corporation, Spacarb Detroit Distributors, Inc., and Spacarb of Washington, Inc.
Houston and Deutsch
The actual liquidation will be under the supervision of Houston and Deutsch, subject to board approval.
The Rowe Corporation, with assets of $12,500,000 in addition to its sales and manufacturing organization, is the parent body of some 40 subsidiary companies which operate thousands of venders across the country. Production of Spacarb machines will continue at Samford, with all other Rowe venders being produced at the firm's Whippany, N. J., plant.
The acquisition of Spacarbs assets gives Rowe the most complete line of venders in the nation—a line which now includes cigarettes, milk, candy, sandwich, ice cream, pastry, and now cup drink units.
Spacarb Models
Basic Spacarb models, which will continue to be manufactured (Continued on page 81)
Old Gold Unveils Filter-Tip Kings
1st Major Brand With Complete Line; Big 6 Market Share Drops, Filters Up
NEW YORK, Sept. 25.—The Lorillard Company Wednesday (22) unveiled the new Old Gold king-size, filter-tip cigarette, thus becoming the first major cigarette manufacturer to carry a line of regular, king-size and filter-tip packs under the same brand name.
William J. Halley, Lorillard president, said the new brand would be sold only in New England next week, with distribution to be extended across the country within the next few months as rapidly as production permits. Wholesale price will be $1.40 a thousand less trade discounts, comparable to most other filter-tip brands and less than Kents, also made by Lorillard.
Lewis Gruber, vice-president and director of sales, said Lorillard's point-of-sale stickers, deals and posters for vending promotion will stress that Old Gold now has a "family" of cigarettes available in automatic merchandising machines.
He added that occasional radio and television commercials will continue to remind smokers that Old Golds are available in vending machines and other outlets. The new cigarette has a cork tip.
Halley explained that the Lorillard thinking is that, "for some time to come, until the brand situation becomes stabilized, there will be a sizable demand for three main types of cigarettes — the regular size, which still holds the loyalty of more than 60 per cent of all smokers, and the growing filter and kingsize types."
A nine-week introductory newspaper campaign is planned, and this will be extended as distribution spreads. Alden James, vice-president and director of advertising, said, "The new package, banded by gold stripes, has been designed to distinguish the new filter kings from other Old Gold cigarettes."
The launch of Old Gold into the filter-tip market marks the 19th new type smoke introduced this year and indicates the fierce battle for domination of the popular-price, filter-tip market. Lorillard is the fifth company to enter that market since April.
Brown & Williamson's Viceroys had the market all to itself, then, with a king-size filter-tip cigarette retailing for about 26 cents a pack, only a cent more than the popular king-size brands.
Then the roof fell in. R. J. Reynolds, maker of Camels and Cavenders, and Winston, had a direct competitor of Viceroys. Liggett & Meyers then preened its king-size, filtered L&M brand, reducing the price to the Viceroy-Winston level on both conventional and king-size packs.
Tareytons
In August, American Tobacco introduced a filter version of its cork-tip cigarette, Herbert Tareyton, putting it at the Viceroy-Winston level, and also retained the cork-tip type. And this week, Philip Morris announced its king-size, filter-tip Marlboro (see separate story), also at the popular price level.
Lorillard came out with a king-size version of Kents this summer, but maintained a premium price, similar to Philip Morris' Parliaments.
The introduction of these new (Continued on page 95)
Sunroc Skeds Output on New Bulk Milk Mach.
GLEN RIDDELL, Pa., Sept. 25.—Sunroc Company, a newcomer to vending, this week announced production of a new bulk milk vending machine.
Orville E. Morrison, president, stated that production should hit 50 to 100 units a month by December.
It marks Sunroc's first coin-operated vender. The firm is a manufacturer of non-co-op operated bulk milk dispensers, water coolers and water conditioning equipment.
Called the Sunroc M-2 (originally designated MV-1), the unit holds 20 gallons of milk equipped with automatic metering device and change maker, and is similar in operation to the firm's M-1 bulk milk dispenser which is non-co-ordinated.
It is priced to sell for $449.50 f.o.b. Glen Riddle. The metering device will be rented for $5 a month. It measures 21 inches deep, 30 inches wide, and 36 inches high.
Morrison said that a dual selection model will be available by January. It will use either two 20-quart or two 40-quart cans.
New Vender Types To Key NAMA Show
Continued from page 80
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per thousand
Toy & Puzzle Mix ............... $20.50
Novelty Mix ..................... 21.00
Key Chain Mix ................... 20.00
INDIVIDUAL ITEMS IN CAPSULES
per thousand
Friendship Ring .................. $20.50
Top with String ................... 20.00
Wire Puzzles ...................... 20.00
Lizards ............................. 20.00
Spiders ............................. 20.00
Razors .............................. 20.00
Maze Puzzles ...................... 21.50
Yo-Yos .............................. 21.00
Balloons ............................ 21.50
Chicks .............................. 20.00
Compass ............................ 22.50
NEW ITEM—3 CIGARETTE BUTTS in CAPSULES
$22.50 per 1,000
F.O.B. Jamaica, N. Y.
Immediate shipment.
Make-believe Cig. Butts, with simulated lighted end and ashes. Has Child Appeal. Gives Value. Best Sales.
Victor's Super V Capsule Vendor
$17.95 each 100 or more $16.95 each
Distributors for Victor machines, ball gum and charms. Write for prices on filled capsules.
GARDNER & LOSE
2611 Hale Ave. Louisville, Ky.
Victor Capsules
PRESS ON FOOTBALL EMBLEMS
40 College teams—astd colors. Simple instructions for applying included in capsule:
$1.95 per 1000 includes emblem and instruction sheet.
TOP HAT w/earrings, per 1000 ............... $22.50
TOP HAT w/chain, per 1000 22.00
SECRET STAMP PAD RING
Remove cap with inked pad to use secret stamp. 18 Different Secret Stamps.
$20.00 per 1,000 with 18 different stamps.
BABY DOLL & BABY SHOES in Capsules, 500 each item. $20.00 per 1,000.
Time payment plan available. Trade-ins accepted. Prices subject to change without notice. See Victor Models available. Write for our filled catalog. We make Baby Grand Capsule Machines.
Pioneer Vending Service
590 Atlantic Avenue, Brooklyn 2, N. Y.
Phone: President 4-3358
READY FOR DELIVERY NOW!
OAK'S NEW "400" CAPSULE VENDOR
WEIDMANN NATIONAL SALES
5911 Fourth Avenue
Detroit 2, Michigan
Apco Bows New Cup Series
Continued from page 80
Combination vender, and also hot chocolate. Cup capacity is 750, with ingredient capacity at 1,250 cups of coffee and 750 cups of hot chocolate. Dimensions are 68 by 27.5 by 18.5.
The CoffeeShopee Junior contains all the selections as the automatic CoffeeShopee, except double sugar. It holds 300 cups with ingredient capacity of 810 cups of coffee and 500 cups of hot chocolate.
Two new models of the CoffeeShopee Junior will be available in the new line—the one and two-drink units. The three-drink unit will be made in both lines.
One-Drinker
The one-drinker has two syrup tanks, holds 790 cups and holds syrup for 1,250 drinks. Dimensions 68 by 27.5 by 18.5 inches.
The two-drinker is similar, except that it has only two selections. Also in the special line is the three-drink SodaShopee Junior, similar to the standard model. It contains two syrup tanks, with a selection of two carbonated and one non-carbonated drinks. Cup capacity is 1,250, with syrup capacity at 1,250 drinks.
An entirely new model in the special line is the dual cup station theater model SodaShopee Rapp. This model is designed specifically for theaters or other locations where peak traffic would cause a jam-up at conventional cup venders. The dual cup stations, he explained, aid the traffic flow.
Holds 2,400 Cups
The unit vends six carbonated and two non-carbonated drinks, has a cup capacity of 2,400 and a syrup drink capacity of 1,250. Dimensions are 73.5 by 36 by 26.5.
Others in the special line are the three, four, six and eight-drink regular size SodaShoppes, also available in standard models.
The three-drink unit vends three carbonated drinks from three syrup tanks. Cup capacity is 1,200, with a 1,900-drink syrup capacity.
4-Drink Unit
The four-drink unit vends three carbonated and one non-carbonated drinks from four syrup tanks. Cup capacity is 1,200, while syrup capacity is 2,400 drinks. Dimensions on all three models are 68 by 27.5 by 24.5 inches.
The eight-drink model has five carbonated and three non-carbonated drinks from five syrup tanks. Cup capacity is 1,200, syrup capacity is 1,900 drinks and dimensions are 68 by 27.5 by 24.5 inches.
Rowe Buys
Continued from page 80
at the Stamford plant, will include three-flavor, four-flavor cup machines, all adaptable to carbonated and non-carbonated hot or cold drinks.
Rowe will continue the sale of the Auto-Snak pre-fabricated cafeteria front, now used in 75 industrial locations. The Auto-Snak is adaptable for Rowe venders.
New Vender Types To Key NAMA Show
Continued from page 81
The Bert Mills Corp., Powis Rd., St. Charles, Ill.
Mills Industries, Inc., 4100 W. Fullerton Ave., Chicago, Ill.
Rudd-Melikian, Inc., 1949 N. Howard St., Philadelphia, Pa.
Schneider Products Co., Inc., 325 Montvale St., Woburn, Mass.
Silver King Corp., 1529 New York St., Aurora, Ill.
Soju-Pak Co., 1003 E. 24th St., Minneapolis 4, Minn.
Spacarb, Inc., 375 Fairfield Ave., Stamford, Conn.
Square Mfg. Co., 340 W. Huron St., Chicago.
Steel Products Co., 40-8th Ave., S.W., Cedar Rapids, Ia.
Stover Mfg. Corp., 328 Gale St., Aurora, Ill.
United Industries, 15757 Wyoming Ave., Detroit 21.
COOKIE, CRACKER
Coan Mfg. Co., 2070 Helena St., Madison, Wis.
Lafayette Founries, Inc., 1500 Lehigh Dr., Easton, Pa.
Wm. F. Shepherd, Inc., 2604 Woodburn Ave., Cincinnati, O.
Studer Mfg. Co., 2112 Broadway, New York, N. Y.
Stoner Mfg. Corp., 328 Gale St., Aurora, Ill.
Vend-Rite Mfg. Co., 1536 N. Halsted St., Chicago, Ill.
EGG
Automatique, Inc., 45-35 39th St., Long Island City, N. Y.
F. E. Erickson & Co., 8000 University St., Des Moines, Ia.
Paramount Freezing Equipment Co., 144 Emmett St., Newark, N. J.
S. & S. Vending Machine Co., 670 Lincoln Ave., San Jose, Calif.
FOOD
Automatique, Inc., 45-35 39th St., Long Island City, N. Y.
Barber Manufacturing & Mfg. Co., Middle, Conn.
Coan Mfg. Co., 2070 Helena St., Madison, Wis.
Harris Novelty Co., 1754 E. Grand, Des Moines 16, Ia.
Rowe Mfg. Co., Inc., 31 East 17th St., New York, N. Y.
Studer Mfg. Co., 2112 Broadway, New York, N. Y.
Stoner Mfg. Corp., 328 Gale St., Aurora, Ill.
Wright Machinery Co., Calvin & Holloway St., Durham, N. C.
FRUIT (refrigerated)
Frigid Fruit Co., 1303 S. 20th Ave., Yakima, Wash.
JUST OUT!
Here is your key to plus-sales and profits
AUTOMATIC SELLING
By G. R. SCHREIBER
Editor of Vend, the magazine of automatic merchandising
The first authoritative study of automatic merchandising
ANSWERS TO QUESTIONS LIKE
- How big is the market?
- How is it organized?
- What is its potential for growth?
- What can automatic selling do for the retailer—for the investor?
- Will a particular product vend successfully?
- What are the limitations of automatic selling?
- How much does automatic selling cost?
- How far will the machine replace human sales personnel?
- How do products reach consumers through the vending market?
- What is the future of the "all-purpose" merchandiser—the outdoor vending station?
Here is a book designed to answer your questions about every phase of automatic selling. What products can machines sell? What new markets do the machines open up? What are the investment possibilities of this growing field? These are just a few of the basic aspects explored in Automatic Selling.
The book was written by a man who has helped pioneer automatic selling during the past decade—the period when it enjoyed its greatest growth. As editor of Vend he has unique opportunities for close contact with all branches of the industry. He knows your questions and he answers them authoritatively in an easy-to-read style. Graphs and charts help you to visualize the major trends. The book is packed with hard facts and figures on every aspect of automatic merchandising.
Whether you are new in the industry or already firmly established, examine this rich storehouse of vital information on the whole subject of automatic selling—its present status and its future role in retail merchandising.
200 pages—$5.00 per copy
Published by JOHN WILEY & SONS, Inc. New York
**VICTOR'S SUPER V**
1c-5c or 10c
- Great Earning Power
- Two Tone Oak Cabinet
- Capacity—350 Capsules or 800-100 Count Ball Gum.
1 to 99—$17.95 each
100 or more—$16.95 each
**CAPSULES (FILLED)**
All $10.00 per 500
Specialty Mix Police Badges Discreet Chasers With Key Chains Press-On Emblems Rubber Name Makers Celebrity Imitations Head Buckles Silver Flashlight Baby Chicks Ant. Rings Lizards Bugs
Write for Free 32-page Vending Machine Catalog
One-Third Deposit on All Orders.
PARKWAY MACHINE CORPORATION
715 Ensor St. Baltimore 2, Md.
**BLOODY TOOTH!**
Here's a fabulous brand-new "Price Exclusive" capsule item that's reaping a merry harvest of coins for operators all over the country. Get your supply today!
**EACH CAPSULE HAS CATCHY INSIDE READING...**
**THE BLOODY TOOTH**
Here it is, Mom! I just pulled out my bloody tooth under my pillow will I get a dollar?
ONLY $22.00 per M
Send for Our Complete List of Sales Stimulators!
WRITE, WIRE, PHONE YOUR ORDERS
PAUL A. PRICE CO.
55 Leonard St., New York 13
**BALL and VENDING**
**GUMS**
New LOW Factory Prices
**BUBBLE O CHICLE CHLOROPHYLL**
Bubble Ball Gum, 140-170 c. 210 cts.
Clear-Vend Ball Gum, 140 c. 210 cts.
Chicle Chicks, 275 c. 40c lb.
Chicle Chicks, 320 & 320 c. 36c lb.
Chicle Chicks, 320 & 320 c. 36c lb.
F.O.B. Factory, 150 lb. Lots
**AMERICAN CHEWING PRODUCTS**
4th & Mr. Pleasant • Newark 4, N. J.
**READY FOR DELIVERY NOW!**
**OAK'S NEW "400" CAPSULE VENDOR**
J. SCHONBACH
144 Bedford
Brooklyn 25, New York
**SPECIAL**
ROCKET RINGS—Ready Pak, No Marbles, 500 $11.50
DICE—Ready Pak, M. 13.50
PUT & TAKE DICE, M. 10.50
BALLOONS, Gr. 1.25
ADDRESS STICKERS—300 in Plastic Pocket Case. 1.50
**SPINDLE CITY VENDORS**
Box 621, Castonia, N. C.
**PARAMOUNT FREEZING MACHINE**
Co. 144 Emmett St., Newark, N. J.
**TELECOIN CORP.**
12 E. 44th St., New York, N. Y.
**U. S. HOFFMAN MACHINERY CO.**
105 4th Ave., New York 3, N. Y.
**M. ROSS CO.**
1224 W. Michigan Ave., Chicago, Ill. (bulk)
**METEORO DISPENSERS**
627 Grove St., Evanston, Ill. (bulk)
**STROUD CO.**
Glen Riddle, Pa. (bulk)
**MEYER-BLANKE CO.**
310 Russell St., St. Louis Mo.
**SHANNON EQUIPMENT CO.**
Box 390, La Grange, Ill.
**EMPIRE PENCIL CO.**
Shelbyville, Tenn.
**MATHEWS SPECIALTY, Star Route A, Austin, Tex.**
**HAL A. MEEKS ASSOCIATES**
55 W. 42d St., New York 33, N. Y.
**PENNSYLVANIA MFG. CO.**
127 W. Butler Ave., Ambler, Pa.
**SHIMADA MFG. CO.**
1326 S. Lorena St., Los Angeles 23, Calif.
**AUTO-FRIGO CO.**
1444 S. San Pedro St., Los Angeles, Calif.
**INTERNATIONAL MUTOSCOPE CORP.**
44-02 114th St., Long Island City, N. Y.
**HAWKEYE NOVELTY CO.**
1754 E. Grand, Des Moines, Iowa.
**MAYFLOWER INDUSTRIES, 2218 University Ave., St. Paul, Minnesota.**
**SANITARY NAPKIN**
Advance Machine Co., 4641 N. Ravenswood Ave., Chicago, Ill.
The Hawkeye Novelty Co., 1754 E. Grand, Des Moines, Iowa.
**Scales**
American Scale Mfg. Co., 3206 Grace St., N. W. Washington, D.C.
J. F. Frantz Mfg. Co., 1940 W. Lake St., Chicago, Ill.
Hamilton Scale Co., 3350 Secor Rd., Toledo 6, Ohio.
Peerless Weighing & Vending Machine Corp., 420 11th St., Long Island City, N.Y.
Rock-Ola Mfg. Corp., 800 N. Kedzie Ave., Chicago, Ill.
J. Schonbach Co., 1645 Bedford Ave., Brooklyn 25, N.Y.
Watling Mfg. Co., 4650 W. Fulton St., Chicago, Ill.
**SOFT DRINK (bottle)**
Artkraft Mfg. Co., 1159 E. Kirby St., Lima, Ohio.
Atlas Tool & Mfg. Co., P. O. Box 5208, Dallas, Texas.
Atlas Tool & Mfg. Co., 2125 Indiana Ave., Kansas City, Mo.
Carolina Corp., 343 W. First St., Chattanooga, Tennessee.
Central Tool Co., 1712 Main St., Hartford, Conn.
Chicago Vending Co., 126 Monk Ave., Hopkins, Minn.
General Vending Machine Corp., 549 W. Washington Blvd., Chicago, Ill.
Ideal Dispenser Co., 509 S. McClint St., Bloomington, Ill.
Morgan Manufacturing Co., 1900 Fullerton Ave., Chicago, Ill.
S & S Products Co., P. O. Box 1047, Lima, Ohio.
The Westervelt Corp., 1820 Wyandotte, Kansas City, Mo.
Vendo Co., 7400 E. 12th St., Kansas City, Mo.
Vendomatic Mfg. Co., 2550 S. Railroad Ave., Fresno, Calif.
Sloyer Sales & Mfg. Co., 615 Second St., San Francisco.
**SOFT DRINK (can)**
Apeco, Inc., 230 West 57th St., New York.
**LOGAN DISTRIBUTING CO.**
916 Milwaukee Ave.
Chicago 22, Ill.
**WORLD'S LARGEST SELECTION OF CHARMS IN CAPSULES—SEND FOR FREE PRICE LIST**
Stamp Pad Ring $20.00 per 1,000
Electrical Plug 10.00 per 1,000
Salt & Pepper Shakers 22.00 per 1,000
Baby Bottle 10.00 per 1,000
Playing Cards 18.00 per 1,000
Candy Bar Wrappers 10.00 per 1,000
Bloody Tooth 22.00 per 1,000
**THIS IS NEW!**
5c HOROSCOPE SCALE
TOP OF SCALE PAYS BIG DIVIDENDS...NOW YOU CAN REALLY MAKE MORE MONEY operating scales because you get 5c as well as 1c.
TWO MACHINES IN ONE...A 5c horoscope vending machine and a 1c coin controlled scale. They occupy the floor space of only one machine and the 5c horoscope attachment alone increases the earnings 100%.
SMALL DOWN PAYMENT, BALANCE $10.00 PER MONTH
NOT A NOVELTY BUT AN INVESTMENT
WATLING MFG. CO.
4650 W. FULTON ST.
CHICAGO 14, ILLINOIS
**CIGARETTE and CANDY MACHINES!**
All machines vend King Size and Standard Brands in all columns—including matches. Can be set for either 25c or 30c operation. ($5.00 additional for 30c vending.)
**UNEEDA CIGARETTE VENDORS**
Model A, 7 Cols., 170 Cap. ............ $ 95.00
Model A, 9 Cols., 180 Cap. ............ 125.00
Model 500, 9 Cols., 350 Cap. ............ 100.00
**CRIMSON CIGARETTE VENDORS**
Model 7 Cols., 210 Cap. ............ $ 85.00
Model 7 Cols., 210 Cap. ............ 95.00
Model 7 Cols., 170 Cap. ............ 95.00
Du Gresier Champion 7 Cols., 420 Cap. ............ 100.00
**ROYAL CIGARETTE VENDORS**
Imperial, 6 Cols., 180 Cap. ............ $ 85.00
Imperial, 8 Cols., 240 Cap. ............ 100.00
Premium, 8 Cols., 320 Cap. ............ 130.00
Royal, 8 Cols., 320 Cap. ............ 100.00
Custom, 8 Cols., 320 Cap. ............ 120.00
Diplomat Electric, 8 Cols., 340 Cap. ............ 165.00
Diplomat Electric, 10 Cols., 340 Cap. ............ 185.00
**Rowe Candy, 8 Cols., 120 Cap., Wall Model ............ $ 75.00**
Uneeda Candy, 8 Cols., 120 Cap. ............ 100.00
Stoner Candy, Prewax 8 Cols., 160 Cap. ............ 135.00
Rowe Candy Marmalade, Late Model, 7 Cols., 154 Cap. ............ 165.00
**SODA and COFFEE MACHINES**
Coca-Cola Bottle Vending—Cap Drink Machine—Write for Information
Our Parts Are VENDERIZED Prevents Peeling Flaking & Rusting.
All Equipment Unconditionally Guaranteed Trade Prices, 1/3 Deposit, Bal. C.O.D.
**UNEEDA VENDING SERVICE, INC.**
"The Nation's Leading Distributor of Vending Machines"
NEW—RECONDITIONED LIKE NEW
250 Meserole Street, Brooklyn 6, N. Y. • Hegeman 3-6293
**VICTOR'S NEW SUPER-V**
- 10c Capsule Vender
- 5c Capsule Vender
- 1c Jumbo Gum Vender
LARGE CAPACITY—NEW ATTRACTIVE STYLING DEMANDS THE BEST LOCATIONS IMMEDIATE DELIVERY
100 or more $16.95 Each
(Packed 4 to Case)
Designate 1c, 5c or 10c Model.
25% Deposit, Balance C.O.D.
New Vender Types To Key NAMA Show
Continued from page 83
Central Tool Co., 1712 Main St., Hartford, Conn.
Dr.-Oatmeal, 1827 Pontius St., West Los Angeles, Calif.
Rowe Manufacturing Co., Inc., 31 East 17th St., New York.
Sparcab, Inc., 375 Fairfield Ave., Stamford, Conn.
SOFT DRINK (Cup)
Apco, Inc., 250 W. 57th St., New York, N. Y.
Cole Products Corp., 39 S. LaSalle St., Chicago, Illinois.
Dr. Pepper Co., 5523 E. Mockingbird Lane, Dallas, Texas.
Lemox Mfg. Co., 5000 S. Halsted St., Chicago.
Lyons Industries, Inc., 373 4th Ave., New York, N. Y.
Navarro Mfg. Co., 5008 E. Mockingbird Lane, Dallas, Texas.
Serv-Vit, Inc., 2613 Ross Ave., Dallas, Texas.
Sparcab, Inc., 375 Fairfield Ave., Stamford, Conn.
Square Mfg. Co., 3259 Broadway, Chicago, Ill.
SOFT DRINK (hot-cold combination)
Apco, Inc., 250 W. 57th St., New York, N. Y.
Cole Products Corp., 39 S. LaSalle St., Chicago, Ill.
Indewco, Inc., 806 41st St., Bronx, N. Y.
Rudd-Melikian, Inc., 1940 N. Howard St., Philadelphia, Pa.
Snively Groves, Inc., Winter Haven, Fla.
Sparcab, Inc., 375 Fairfield Ave., Stamford, Conn.
STAMP
Commercial Controls Corp., 1 Leighton Ave., Rochester 2, N. Y.
Frito Mfg. Co., P. O. Box 8, Miami Beach 39, Fla.
Hamilton Scale Co., 3350 Secor Rd., Toledo 6, Ohio.
The Northwestern Corp., 900 E. Armstrong St., Morris, Ill.
Postage Stamp Machine Co., 33 W. 60th St., New York, N. Y.
Pentagon Mfg. & Vending Co., 624 S. Michigan Ave., Chicago, Ill.
Schermack Prods. Corp., 1164 W. Baltimore Ave., Detroit, Mich.
J. J. Rosenbach Co., 1645 Bedford Ave., Brooklyn, N. Y.
Shipman Mfg. Co., 1326 S. Lorena St., Los Angeles, Calif.
United Precision Products, Inc., 57-25 58th Pl., Maspeth L. I., N. Y.
U. S. Postage Stamp Machine Co., 7420 N. Western Ave., Chicago 45, Ill.
Vend-Rite Mfg. Co., 1536 N. Halsted St., Chicago, Ill.
TISSUE
E. Boetcher & Son Tool & Engineering Co., P. O. Box 53, Bridgford, Mich.
U. S. Postage Stamp Machine Co., 7420 N. Western Ave., Chicago 45, Ill.
Vend-Rite Mfg. Co., 1536 N. Halsted St., Chicago 22, Ill.
MISCELLANEOUS
Acme Sales Co. (shoe shine), 505 W. 42d St., New York 36, N. Y.
Aqua-Lock Machine Co. (small package & toilet lock), 490 N. Ravenswood Ave., Chicago 40, Ill.
American Coin Lock Co., Inc. (toilet lock), 211 Congress St., Boston 10, Mass.
American Locker Co., Inc. (parcel locker), 211 Congress St., Boston, Mass.
Automatique, Inc. (all purpose), 45-35 39th St., Long Island City, N. Y.
Boxar Corp. (oxygen), 209½ N. Washington, Beeville, Tex.
E. Boetcher & Son Tool & Engineering Co. (signs), P. O. Box 53, Bridgford, Mich.
Cal-Bex Corp. (oxygen), P. O. Box 58, Varzana, Calif.
Celanese Products Co., Inc. (hair oil & hand lotion), 308 E. McClure, Peoria 4, Ill.
Colima, Inc. (colloids), 70 Piedmont St., W. Rochester, N. Y.
F. B. Dickinson & Co., (fuel), 8000 University St., Des Moines, Iowa.
Electric-Serve, Inc. (popcorn), Commercial Merchants Bank Bldg., Peoria, Ill.
Famous Brands Industries (perfume & razor blades), 1546 Commonwealth Ave., Boston 35, Mass.
F. E. Erickson Co. (fortune tickler), 1300 Divineave Ave., North San Gabriel, Calif.
Gramont Corp. (typewriter), 2756 Rowena Ave., Los Angeles, Calif.
Hawkeye Novelty Co. (match book & peanuts in shell), 1754 E. Grand, Des Moines 16, Iowa.
International Mutoscope Corp. (video recorder), 44-02 11th St., Long Island City, N. Y.
Jo-Lo Perfumatic Dispenser, Inc. (perfume), 328 Stevens Ave., Jersey City, N. J.
McDowell Mfg. Co. (massage), 301 Stanton Ave., Pittsburgh, Pa.
N. R. Meeks Associates (notebook paper), 5 W. 42d St., New York 36, N. Y.
Mercantile Vending Dispensers, Inc. (oil hair & hand lotion), 1792 W. Adams Blvd., Los Angeles 18, Calif.
National Sanitary Sales, (razor blade), 4307 Lawrence Ave., Chicago, Ill.
News Equipment Mfg. Co. (notebook paper), 2272 San Pablo Ave., Oakland, Calif.
Niagara Mfg. & Distributing Corp. (foot stimulator & massage), 1000 Bluff City Blvd., Egin, Ill.
The Nik-O-Lok Co. (toilet lock), 401 Traction Terminal Bldg., Indianapolis, Ind.
Online Clock Co. (alarm clock), 10380 Wilshire Blvd., Los Angeles 24, Calif.
Parking Corp. of America, (parking lot), 4619 N. Ravenswood, Chicago, Ill.
A. H. Pitchford Co. (electric shaver & lotion), 1095 Pineview Dr., Pittsburg, Pa.
Shipman Mfg. Co. (stationery, envelope, fortune ticket & ball point pen), 1326 S. Lorena St., Los Angeles, Calif.
Standard Metal Typer Co. (name plate), 1318 N. Western Ave., Chicago, Ill.
Tus-Hankerskief & Vending Machines (shaving kit), 2401 40th St., Rock Island, Ill.
Vending Machine Corp. (all-purpose), 3 W. 33d St., New York, N. Y.
White Coin Vendor, Inc. (comb & ball point), 1000 Bluff City Blvd., Egin, Ill.
Uneeda Vending Service (sunridge), 310 Meserole St., Brooklyn 6, N. Y.
Chicago Kitchenware Metal Specialties, Inc. (roll film & flash bulb), 319 S. Archer, Chicago.
American Lens & Glass Co. (telescope), 5700 Northwest Highway, Chicago 30.
Another OHIO first!
Cowboy Heads Only $7.75 M
These are new designs will fit capsules and are terrific for Penny Vendors. At 75¢ each they are a great value. At $1.00 each they are a steal! Order now! Write for Free Samples.
OHIO GUM SUPPLY CORP.
Wickliffe, Ohio
CORRECTION!
Due to a typographical error, the following information appeared incorrectly in the Sept. 25th issue ad of
BIRMINGHAM VENDING CO.
540 2nd Ave., N. Birmingham, Ala.
VICTOR SUPER V CAPSULE VENDORS
Should have been listed as PACKED 4 TO THE CASE.
Price:
Less than 25 cases...........$71.80 per case
25 cases or more...........67.80 per case
NEW DESIGNS
NEW IDEAS
NEW FINISHES
send 35¢
Complete Sample Kit
Quality filled capsules. Action pictures. Interesting. Miniature Camed and Jewel Rings
PENNY KING COMPANY
2538 Mission Street Pittsburgh 3, Pa.
MERCHANDISE & SUPPLIES
| Item | Price |
|-----------------------------|-------|
| Pistachio Nuts, Jumbo Queen | .75 |
| Pistachio Nuts, Shell | .75 |
| Pistachio Nuts, Shell | .75 |
| Cashew Butts | .48 |
| Peanut Brittle | .48 |
| M & M | .44 |
| Spanish Nuts | .44 |
| Almonds, 480 ct., 5 lbs., vac. pk. | .85 |
| Salted Peanuts | .30 |
| Rainbow Peanuts | .30 |
| Banana Nut Peanuts | .28 |
| Jelly Beans | .28 |
| Licorice Sticks | .28 |
| M & M | .44 |
| Advanced Fruit Champs, 100 ct. | .42 |
| Rain Bio Ball Gum, all sizes, 200 ct. | .42 |
| M & M, 100 ct., 10 flavors, 100 ct. | .48 |
| Beech-Nut, 100 ct. | .48 |
| Hershey's Kisses, 100 ct. | .46 |
| Minimum Order, 25 cases Assorted | .46 |
Complete line of Parts, Supplies, Stands, Gumballs, Charms. Everything for the operator.
1/3 Deposit, Balance C.O.D.
RECONDITIONED DuGRENIER CIGARETTE MACHINES
* All king size columns!
* 25c or 30c operation!
* New type mirrors!
* Unit completely replated!
* Cabinet infra-red baked!
* Added hammer tone finishes!
* Shorty stands!
* Fully guaranteed!
* Limited quantity!
11 Col. Champs, 425 Cap. $143.50
9 Col. Ws. 290 Cap. $129.50
7 Col. Vs. 230 Cap. $114.50
7 Col. S's. 190 Cap. $109.50
1/2 Dep., Bal. C.O.D.
JAMES H. MARTIN, Inc.
1343 S. Michigan Avenue
Chicago 5, Illinois
Phone: Webster 9-3205
VICTOR'S STANDARD TOPPER
The World's finest bulk and charm vendor.
100 89¢
$12.00 each
Less Than 100
$12.50 each
Equipped with large glass
Sold on TIME PAYMENT. Write for details.
ROY TORR - LANSDOWNE, PA.
SENSATIONAL NEW CHARM ITEM
Miniature Books, 1" x 1", with or without cover. Each book has a personal autograph or date-book on cover, without cover, 100 per 1000. With key chain, $40.00 per 1000. With bracelet and open ring, $40.00 per 1000.
P.O.B. Chicago.
JAY SALES CO.
192 Clark St.
Chicago, Ill.
In Philadelphia or Anywhere
FILLED CAPSULES
Immediate Delivery
Write for Lowest Prices
VICTOR'S
5c Baby Grand Deluxe
CAPSULE VENDOR
Immediate Delivery
VEEDCO SALES CO.
2124 Market St., Philadelphia 3, Pa.
Phone: LOCust 7-1448
Ready for Immediate Delivery
THE BIGGEST MONEY MAKING
BULK VENDER IN THE WORLD
THE OAK "400" CAPSULE VENDOR
Foel-proof, action activated, guaranteed to be the biggest profit maker in the capsule field. Designed to captivate attention, engineered to be absolutely trouble-free. Instantly convertible to tab or bulk vending.
EASY TO USE, CAPACITY
WEIGHT: 7 LBS. HEIGHT: 17" WIDTH: 8"
Eastern Office: National Sales Hdqtrs.
VICTOR VENDING COMPANY
2538 Mission Street Pittsburgh 3, Penn.
Western Sales Office:
OPERATORS VENDING MACHINE SUPPLY
1023 Grand Avenue • Los Angeles, Calif.
ADVANCE SANITARY VENDOR
The Finest for Vending
"Flat-Pack" Products
Here is a durable, reliable, sanitary vender with the many exclusive features which have made the Advance name a synonym for excellence in vending.
Accommodates flat packages up to 3¾" by 2" by 3½" height. White cash box. Advance coin detector with automatic coin return when machine is empty. Machine protected against breakage for 10¢ or 25¢ operation.
For Details and Prices
Write or Phone
J. SCHOENBACH
Factory Distributor of Advance Vending Machines
1645 Bedford St., New York 22, N. Y.
President 2-2900
READY FOR DELIVERY NOW!
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**JUKE GROWS UP**
**Chi Tribune Cites $1/2 Billion Business**
CHICAGO, Sept. 25.—Readers of The Chicago Tribune's financial section Friday (17) couldn't miss the headline, "Juke Boxes Hit High Notes as Big Industry."
Nick Poulos, of The Tribune financial staff, with the aid of data furnished by The Billboard, presented a half-page article on the history and importance of the juke box industry, calling attention to the fact that it is a half-billion-dollar business.
Significant was the fact that the story touched briefly over railroad news, butter industry activities, a stock market rally and a report on the general business conditions for the rest of 1954.
The story, presented as it was on the financial page of one of the country's leading daily newspapers, showed without a doubt that the juke box industry had not only grown but had become a factor in business.
Cites Juke Origin
The article was complete, beginning with the first juke box installation in 1888 in San Francisco and ending with a description of today's 50-selection machines.
Pointed out also was the fact that as the juke box industry grew it survived competition from the nickelodeon, the player piano, radio, and most recently, television.
Other facts hammered home were Department of Commerce figures—showing that 61,000 juke boxes, valued at $37,082,000, were produced last year—and a survey made by The Billboard, pointing out the expenses of operating a music machine route.
Companies named were Wurlitzer, Seeburg, Rock-Ola, AMI and Evans. "The plants," the article said, "employ about 3,500 persons in all production phases of the juke boxes. Some 25,000 are engaged in providing, maintaining and servicing the machines."
Op Main Factor
But it is the juke box operator that makes the industry "go," the article added.
Other points stressed included the export market, the origin of the word juke box, ASCAP's attempts to have "legislation enacted to require juke box operators to pay 'per play' fees along the royalties paid with the purchase of records," reasons why locations do not wish to operate their own machines—high cost of records, etc.—and a round-up of the 7,500 operators who have invested about $300 million in machines, records and related equipment.
(Continued on page 88)
**GOOD SENSE**
**MGNJ Clinic Hits Split Deal; Seeks Front $**
NEWARK, N. J., Sept. 25.—A business clinic set up last week by the Music Guild of New Jersey charged that the proposed 50-50 split between music operators and locations does not make economic sense.
According to Dick Steinberg, MGNJ executive director, "Whenever a location owner receives one half of the gross receipts, the music operator is systematically putting himself out of business."
He added that the only solution is for the operator to pressure upon the location owner the basic reality of the front-money contract. This arrangement, he explained, returns the actual cost of the operation to the music merchant and makes the equal division of receipts after deduction of front money a true profit-sharing arrangement.
He added that in instances where collections are made every
(Continued on page 88)
**New Evans 50-Selection Ready for Op Showings**
CHICAGO, Sept. 25.—Distributors of H. C. Evans & Company this week began receiving their first shipments of the new Evans 50-selection phonograph model, the 445 Jewel. The new model supplements the firm's present 100-selection Holiday line.
Les Riess, phonograph sales manager of Evans, said that operator showings would begin sometime next week. No special date had been designated, he said, but all dealers would probably hold operator open houses within the next week or two.
The Jewel is 56% inches high, 26½ inches wide and 27 inches deep. Net weight of the model is 265 pounds.
Appearance of the cabinet is similar to the Holiday. The Holiday is 55¾ inches high, 37¾ inches wide and 28 inches deep.
The Circ-O-Matic selector system is used on the new model as is Holiday's high fidelity sound system, called Panoramic sound. Riess said that because the new model had been reduced in size, it was ideal for locations trying to conserve space. He added that the weight of the Jewel had also been greatly reduced.
**AMOA Bowlers Warm Up for Season Race**
MIAMI, Sept. 25.—Buddy Cohen, B & B Vending, captured top individual honors in the second preliminary "warm-up" session of the AMOA Bowling League Monday night at the Paradise Bowling Center. Cohen's three-game average of 200 was best of the evening, with a whopping 240 racked up in one of the three games.
Regular intra-league competition is scheduled to get under way September 27, according to Roy Gullo, Marino Music, who is in charge of arrangements.
Makeup of the teams thus far, with the individual game highs recorded follows:
Taran Distributing—Sam Taran, Barry Taran, Eli Ross (179, 162), Don Carbett (143), Marvin Lieber, American Operations—David Friedman, Burton Anschell, Eddie Weber (146, 142), Eddie Leopold, Larry Friedman (188).
Advance Music — Leon Falcon (194, 160), Ozzie Truppman, Virginia Arnold (134), Bob Collins, Leon Guss (134).
Acme Music and Vending—Harry Zimand, Buddy Cohen (240, 155), Max Becker, Eddie Dee (191), Scotty Daddis.
Marino Music—Moe Steinberg.
(Continued on page 88)
**MOA, Pantages Sign Formal Contract on Juke Commercials**
By JIM WICKMAN
OAKLAND, Calif., Sept. 25.—A formal contract between Music Operators of America and Rodney Pantages was signed this week bringing spot commercials on juke boxes at least one step closer to reality.
The contract gives Pantages exclusive rights to furnish MOA with material to be used for commercials for a period of 10 years. It also gives him an option to renew the contract at the end of that period.
For assisting Pantages line up member-operators to use the special recordings, which are administered free of discount of the advertising dollars, MOA will receive a percentage of the gross ad billings.
Actually, what the contract does is give Pantages MOA's official endorsement to approach national advertisers to sell advertising time on the nation's juke boxes.
Briefly the Pantages plan would work as follows: National advertisers would be allowed to sell playing time on the juke boxes of operators belonging to MOA. All recordings would be submitted to a special MOA committee and judged for
(Continued on page 88)
**Miller to Air MOA Activities To Western Ops**
OAKLAND, Calif., Sept. 25.—George A. Miller, president and business manager of Music Operators of America, left here yesterday for three weeks of contacting operators in Phoenix, Ariz.; Denver, Portland and Seattle, Wash.
The purpose of the trip, Miller said, is to find out to put out the work being done by MOA and to explain the 10-point program now under way.
The program covers individual membership in MOA; preparations for the 1955 convention in Chicago; plans to put singing commercials on juke boxes; backing a proposal to set up an MOA publishing company; setting up a national tax council; changing the name of the association; preparations to fight ASCAP licenses aimed at excluding juke boxes from the copyright act; a possible uniform depreciation schedule on all coin-operated phonograph equipment; ways and means to raise funds for a national charity program, and plans to create a national public relations program.
Miller said that one of the leading points to be discussed would be the plan to put singing commercials on juke boxes.
**Infant German Juke Box Industry Booming; 3,000 Units on Location**
Domestic Manufacturers Account for 10% of Sales; Few Location Payoffs
NEW YORK, Sept. 25.—Horst Sommer, representative of a Stuttgart, Germany, juke box and game distributor, left Idlewild Airport today en route home after a three-week visit to the United States.
Sommer, who has spent his time in the New York area, has been studying U. S. coin machine conditions and buying American juke boxes and games. He is slated to make a return trip to visit other American coin machine centers.
According to Sommer, the German juke box industry is in its infancy, with only 3,000 machines on location and a potential for many times that amount within the next few years.
While most of the machines are of American manufacture—Wurlitzer, AMI, Seeburg and Rock-Ola—he said the German juke box manufacturing industry, less than a year old, now accounts for about 10 per cent of all units on location.
Foreign Mfrs.
Manufacturers are Wiegand in Berlin, which makes a 100-selection machine; Tonomat in Frankfurt, which makes a 100-selection unit, and Symphon, Hamburg, manufacturer of a 48-record machine.
The German juke boxes have a substantial price advantage over U. S. machines; they sell for about $1,000, which is considerably less than the price of American boxes after duties and shipping costs.
Because of the high cost of juke boxes, commissions to locations are seldom paid, with the operator merely paying for the electricity. However, said Sommer, in areas where competition for music locations is beginning to be felt, commissions of 10 per cent are being paid.
Commissions Plan
He feels that as the number of juke boxes increases, and as the situation becomes more competitive, a commission structure similar to that of the United States will eventually develop.
Three years ago all German money was of the folding variety and juke boxes were a physical impossibility. Currently, the standard play is nearly 5 cents, and 2.5 cents in many locations.
With this rate of play, and with the high cost of juke boxes, operators are running their routes on too close margins to offer much in the way of commission or other location inducements.
The German coin machine association, a central governing body of local coin machine groups, is a major factor in the industry.
Cigarette Slow
Cigarette vending hasn't made much progress in Germany. There are machines of domestic manufacture which are well made. But they are expensive, and as a pack of 24 cigarettes sells for 10 cents and leaves a small profit margin, there is little inducement for the operator.
American Shuffleboard games have not proved popular, but pin-ball games of German manufacture are doing well. In fact, Germany not only is supplying the domestic game market but is building an export trade throughout Europe.
Sommer feels that the quality of German games is high enough and the price low enough so that eventually an American market might materialize.
**Summer $$**
Tourist Trade Keeps Denver Juke Play Up
DENVER, Sept. 25.—The general wide spread decrease of phonograph play this summer was considerably eased in the Denver area as a result of a booming tourist season.
While average collections fell off about 20 per cent through the country, operators here reported a jump from 100 to 1,300 on 30 barely 10 per cent off of 1953's total.
Several operators said that they found collections down about 12 per cent but for the most part operators claimed that the decrease fell somewhere between 5 and 7 per cent.
Those showing the least business decline credited their good fortune to the tourist trade. One said larger reductions were admittedly caused by lack of replacement.
Tourist volume for the year was only a few percentage points below last year's record mark, according to the Denver Better Business Bureau. The failure for more nickels showing up in the phonographs was attributed to the fact that the tourists fountained straight for the mountain fishing resort areas rather than lingering in the Denver area as in the past.
**Calendar for Coinmen**
September 20—Automatic Music Operators' Association of Deleware County, first fall meeting, AMOA headquarters, Miami.
September 30-October 2—Indiana Tobacco & Candy Distributors' Association, seventh annual convention and merchandising fair, Hotel Claypool, Indianapolis.
October 4—United Music Operators of Michigan, monthly meeting, UMO headquarters, Detroit.
October 10-13—National Automatic Merchandising Association, annual convention, exhibit, National Guard Armory, Washington, D. C.
October 16—Music Operators of New York, Inc., 17th annual banquet, Grand Ballroom of Waldorf-Astoria, New York.
October 25—Summit County Music Operators' Association, Inc., annual banquet, Mayflower Hotel, Akron.
October 31-November 4—International Popcorn Association, annual convention, exhibit, Conrad Hilton Hotel, Chicago.
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Trade Opinion Mixed On Off-Color Disks
Continued from page 19
strides r.&b. records have been making, a little extra effort should be made to facilitate a continuously wider acceptance of this basic American music. The few offenders who have been drawing the brickbats should realize the importance at this time of desisting from making this type of record.
MOA Exec
On the juke box level, Albert S. Denver, president of the Music Operators of New York, Inc., had this to say about off-color records: "We will not permit or tolerate the use of offensive records in New York and will make every effort to insure that no record is played in a coin-operated phonograph that could not properly be played in the home. Any member programs such records would be called before the association board of directors for disciplinary action." (This is a real threat, apparently.)
"We can't endanger the public good will our industry enjoys for the quick profit of any individual who trades on bad taste."
Denver further stated that if The Billboard furnished him with the titles of objectionable records he would inform his members by mail immediately, that the disks were not proper program diet for this city. The association has jurisdiction over some 10,000 juke boxes in New York City and Long Island.
Distrib-Dealer
On the distributor and dealer level there was a conflict over what should be done about distributors attending juke box shows. Distributors like United in Houston, and dealers like Randy Wood in Gallatin, Tenn., had started a thorough screening process of all records, especially r.&b. disks, and refused to sell any that were offensive or suggestive.
Randy Wood, who is also president of Dot Records, said that Dot would not issue any records which is remotely offensive. And in his retail store he has "stopped handling any record in the suggestive category no matter how many records they may have, and even tho we had been selling up to $1,000 worth of these disks per week." He said the off-color record trend should be stopped now.
However, some dealers and one-stop looked on the situation as harmless. Lee Brown in Philadelphia said that there have been off-color records out for a long time, and no one has been excited about them.
He feels that as long as they are making and the public wants them, they will be sold in a competitive industry. He said that only the manufacturers could change the situation by not making such records.
Mfr. to Blame
Jerry Flatto in Boston, another one-stop, said that it was up to the manufacturers to halt the off-color disks, and that there is no possibility of cleaning up the situation unless the manufacturers exercise restraint. Paul Keyser, a large dealer in Durham, N. C., also believes it is up to the manufacturer to cut down on the off-color disk. He said that otherwise the competitive situation is such that no dealer can afford not to sell it.
Some dealers commented that if business were great, dealers might be willing to band together to stop selling the few suggestive records. But they said when business is off, and the only records selling are the off-color ones, then they must sell them to stay in business.
On the radio station level, some stations exercise strict censorship of records and others don't seem to care one way or another. In New York there has been an association of jockeys who have agreed over six months ago not to play dirty or off-color r.&b. disks. These jocks have asked other deejays to join them in their clean-up drive.
CHICAGO, Sept. 25.—Feelings concerning the current crop of blue diskings being issued by the rhythm and blues labels are well mixed in Chicago, according to The Billboard, September 25.
The general consensus of label heads, deejays and distributors here is that the extremely flagrant violations of propriety should be curtailed, if not stopped. There is an underlying feeling, however, against the dropping of what some people call cute or sharp material. There was hardly a person in this area who cared to be quoted for fear of a hue and cry which right now is good. It seems they are following the old axiom of giving the people what they want, and if blue material is what they, they would rather go on pressing it.
One source said: "I don't know what all the fuss is about. The r.&b. field has been doing this sort of thing all along. It only came into prominence when the pop kids started buying r.&b. disks and playing them at home. True, the increased popularity of the blues field has given added exposure in pop juke boxes and thus made more people take notice. In most cases the pop kids are playing the r.&b. records because of the beat rather than the lyrics. After all, some of the old-time pop disks had entendres, too."
Maury Goldmen, of James H. Morris Distributors, said: "I've heard both pro and con arguments on this situation. This is a phase that will stay for a while and pass on just as all trends in our business do. Actually, there hasn't been much objection in this area on racy material."
Another source claimed that kids today are too hep. He said they can read more into a song's message or lyric line than the professional gag writer can think up in a month. In Chicago, at least, it looks as nothing will happen until other areas make a move first.
Get Ready for Great Music
Originator of the Automatic Selective Juke Box in 1927.
AHEAD THEN - AHEAD NOW.
AMI Incorporated.
GENERAL OFFICES AND FACTORY: 1500 UNION AVENUE, S. E., GRAND RAPIDS 2, MICHIGAN.
Licensee: Jensen Music Automates—building the IMA-AMI Juke Box sold through Oscar Siesbye A/S, 5 Palaisgade, Copenhagen K., Denmark.
FADING AWAY
Replacements, 45's Take Old Juke Toll
By JOHN BURKS
LINCOLN, Neb., Sept. 25—Old time 78 r.p.m. juke boxes are becoming as scarce as buffalo nickels.
Operator replacement programs have reduced the number of these old machines to a point where they are a rarity. Rapidly the 78 r.p.m. machines are finding their way into private homes to dress up recreation rooms and into city scrap heaps.
And today, just in case a few operators are still hesitant about buying new equipment, there is another force hard at work eliminating these older machines from the market: Modern records.
Approximately two years ago, 75 per cent of the records stocked on dealers' shelves were of the 78 r.p.m. vintage. The remainder was 45's. Today, the situation is reversed, with about 40 per cent of the retail outlets dispensing with 78's altogether.
Principal Factors
The principal factors responsible for this development and its subsequent effect on old equipment were: Public preference for the smaller disk, the desire of record manufacturers to standardize with 45's, and the complete, sudden switch to 45's by juke box manufacturers.
Surprisingly the 45 r.p.m. disk made its greatest strides in public favor in the pop tune classification—which makes up about 90 per cent of the sales volume of the new juke box operators. As a result, record manufacturers standardized in this classification quickly.
Record dealers sharply curtailed their purchases of 78's as they found both the public and juke box operators clamoring for the new sized disk. An indication of how standard the 45 disk has become is the recently adopted policy of record manufacturers to supply all radio stations with popular recordings in the 45 r.p.m. size.
Exports Help
Consequently, juke box operators are finding their older machines harder to service, and harder to dispose of. Distributors accepting the older machines as trade-ins rely largely on the export market for an outlet, but even there 45 r.p.m. machines are beginning to take hold.
The foundation upon which the remaining demand for 78 r.p.m. disks stands is beginning to crumble. And with operators finding collections paralleling new equipment, the old machines will soon become collectors' items along with hand cranked phonograph and the one sided record.
Detroit
Gus Kostonis, of Kostonis Music, has returned from an extended trip to Europe. His son has been running the business in his absence.
Harry Graham, who has been known as "Mr. Music" in the Detroit area and has been seriously ill, received acclamances with operators at a meeting of the United Music Operators.
Carl Von Gruenigen, veteran music machine route operator, is reported in Harper Hospital, after suffering injuries in a traffic accident. His condition is believed to require hospitalization for several months.
Gunn Music & Service Company, being rechristened Gunn Music Company, has a long old firm name dating back to the turn of the century. The name was used by a music store at Saginaw, Mich., and later used by the late William and Carrie Gunn in Detroit in the early days of the automatic piano and juke box.
John F. Gunn, nephew of William Gunn, the grandson of the founder of the first firm, is planning to devote most of his time to selling in another field, while his wife, Margaret E. Gunn, long a partner in the business, is taking over major responsibility for operation of the route.
They have discontinued the juke box service department, with this business being taken over by Floyd McCready, of McCready Music Company, and Frank Antaya, of AAA Music.
Twin Cities
Communications to:
Jack Weinberg
Htland 2883
Zenith Novelty Sold; Atoll to Las Vegas...
Word from Duluth is that George Atoll, of the Zenith Novelty Company there, has disposed of his entire machine route, at one time the largest in the mid-of-the-dust district, to his chief mechanic, Atoll, veteran operator in the Duluth-Superior area, reportedly is heading for Nevada.
Archie LaBeau, of LaBeau Novelty Sales, St. Paul, reportedly much enthused with the possibilities of the new Rock-Ola music line which his firm jobs in this territory.
Dave Chapman, of Chapman's Amusement, Minneapolis, is back from a vacation which took him and his wife to Milwaukee, Chicago; South Haven, Mich., and other Midwest spots.
Amos Heilicher, of Heilicher Bros. Music, is looking for big things in the joke boxes for the Gaylords "Veni Vidi Vici," already getting insistent demand from coinmen.
Herb Sandel said Paul White man's "Whispering" and Don Cornell's "Hold My Hand," both on Coral, are getting heavy play from juke box patrons.
Fritz Eichinger, of St. Paul,
(Continued on page 90)
COINMEN YOU KNOW
MOA, Pantages Sign Pact
Continued from page 85
acceptance. The recordings would probably be a two minute vocal or instrumental followed by a 30-second jingle-type advertising message.
Member-operators using the recordings would receive a flat weekly fee or monthly rate, which would be collected and disbursed by MOA. Machines using the advertising recordings would be equipped with a special timing device which would automatically play the disk at regular intervals.
The plan was first introduced at a special meeting of MOA executives in Chicago last July. At that time the board voted to adopt and explore the proposal with Pantages. Shortly after, Sidney Levine, national legislative counselor of MOA, was instructed to draw up a suitable contract.
Since then, however, the proposal has faced the road in many corners. Juke box manufacturers, with the exception of one, said that the program would destroy the coin-operated music business. (The Billboard, September 11.)
Almost immediately, leading operators throughout the country were contacted by The Billboard for their opinions. A majority of the operators said that they felt commercials would bring in a needed revenue to offset higher operating costs and lower collection rates. A minority remained skeptical, fearing public opinion might be negative. (The Billboard, September 25.)
It was public opinion that manufacturers cited in their views on the subject. They said the public would take a dim view of commercials on juke boxes and might easily give up patronizing an establishment where the advertising disks were installed.
Some music operators, too, felt that commercials might cause public resentment, but still they urged that tests be made to determine what degree, if any, resentment might take.
This week, operators continued to talk to The Billboard as to their position in the matter. Jack Cohen, president of the Phonograph Merchants Association of Cleveland, said that his first reaction to the proposal was unfavorable; however, he would now like to see experiments made to get the reaction of the public.
He said, "I would like to see whether the loss of business would more than offset the income we received from the advertising. No one knows that advertising records will harm the business." He pointed out that radio and television use commercials.
Les Montalto, vice-president of MOA, said that he felt the proposal would go a long way in helping the operator meet the high overhead and operating costs. He said that should the proposal prove detrimental, no one would get rid of it faster than MOA. "It certainly wouldn't improve one way or the other," he added.
George A. Miller, when contacted about the proposal, had this to say: "Both MOA and Redkey Pantages are interested only in the coin-operated music business. Should the program show signs of hurting the industry, no one would close the door faster than these two parties."
Gordon Stout, president of the South Dakota Phonograph Operators' Association, said that members of his association felt that the plan should be put to a test. He said that at a meeting of them and member 13 operators agreed that cutting the proposal down before it had a chance was not fair.
Because so little is known about the proposal, Stout added, operators throughout his area had remained neutral agreeing that it should be tried.
Pantages, the man behind the proposal, told The Billboard that all he was waiting for to begin field tests was the contract. With the legal formality out of the way, Pantages was expected to launch a full scale campaign to test out the public's reaction to going to be. He expects to spend about $40,000 in field tests alone.
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ADVERTISED USED MACHINE PRICES
MUSIC MACHINES
Business and prices listed below are taken from advertisements in The Billboard issue as indicated below. All advertised used machines and prices are listed. Where more than one firm advertised the same equipment at the same price, frequency with which the price occurred is indicated in parenthesis. Where quantity discounts are advertised, as in the case of bulk vendors, only the single machine price is listed. Any price obviously depends on condition of the equipment, age, time on location, territory and other related factors.
| Machine | Issue of Sept. 25 | Issue of Sept. 18 | Issue of Sept. 11 | Issue of Sept. 4 |
|------------------|-------------------|-------------------|-------------------|------------------|
| AMI Model A | $129.00 | $150.00 | $129.00 | $150.00 |
| AMI Model C | 225.00 | | | |
| AMI Model D-60 | 329.00 | 475.00 | 329.00 | 329.00 |
| AMI Model D-60 | 469.00 | | | 469.00 |
| Evans Constellation | 240.00 | 240.00 | 240.00 | |
| Mills Constellation | 150.00 | 175.00 | 175.00 | 175.00 |
| Rock-Ola Fireball | 75.00 | | | 89.00 |
| Rock-Ola Fireball | 75.00 | | | 175.00 |
| Rock-Ola Fireball | 325.00 | 325.00 | 325.00 | 365.00 |
| Rock-Ola Fireball | 395.00 | 395.00 | 395.00 | 395.00 |
| Seeburg M 100-A (78 RPM) | 475.00 | | | |
| Seeburg M 100-B | 495.00 | | | |
| Seeburg M 100-C | 495.00 | | | |
| Seeburg M 146 | 69.50 | 99.00 | 99.00 | 99.00 |
| Seeburg M 146 | 69.50 | 119.00 | 119.00 | 119.00 |
| Seeburg M 147 | 69.50 | | | |
| Seeburg M 147 | 65.00 | | | |
| Seeburg M 148 | 149.00 | 149.00 | 149.00 | 169.00 |
| Seeburg M 148 | 169.00 | 169.00 | 169.00 | 189.00 |
COINMEN YOU KNOW
Continued from page 88
added new bowlers to his extensive organization. Jim Stanfield, of Winona, Minn., bought music and bowlers on his trip to this sector. Ben Mraz, of Braemer, Minn., picked up music on his visit.
Leon Harris, of Enderlin, N. D., came to town to buy bingo games for his expanding business and reported business good out his way. Music and games were the prime interest of Martin Kalken, of Worthington, Minn., on his trip to this market.
Washington
Communications to:
Delores Newcomb
Box 5-7431
Music Guild
Changes Bylaws...
Evan Griffith, secretary of the Washington Music Guild, announces that the bylaws of the Guild were changed at a recent meeting held at the Ambassador Hotel here. AMI held classes for members before and after the meeting. Evan adds that his own Pioneer Novelty Company is doing a good business.
Westway Vending, headed by Sid Lotenberg, is opening its huge location at Maryland University. Several summer locations have been closed for the season. Sid looks forward to the NAMA convention which will be held here next month.
Dick Zigler, of the Canteen Company, says business is steady and that he looks forward to greeting some officials of his company who will be here to attend the NAMA meet.
Hirsch Machines is doing a steady business, says Hirsh de la Viez.
James Bowen, manager of Kwik Kafe of Washington, has been confined to his home with a minor illness. Business at his firm is picking up well due to cool mornings. Hot chocolate continues to add to collections, and Bowen has more requests for the chocolate vender than he can supply. He looks forward to his best season.
The G. B. Macke Corporation is installing two automatic snackbars in a plant in Greensboro, N.C., says Meyer Gelfand. Macke is continually expanding its service to outlying areas.
Harry Leach, who operates the Zoo Concession along with his father, reports that the summer season was a good one. All of his kiddie rides were well received.
Portland, Ore.
Communications to:
Bruce Sommers
Tabor 3600
Op Makes Stand
For Dime Play...
John Honeywell, music operator, is among the few striving to break away from the 5-cent-play norm that prevails in standard locations here. At Fred Meyer's Gateway, Portland's newest and largest shopping center, Honeywell has a restaurant location on dime play.
Dale Hertzler and Jon Wright parts men at Western Distributors were back this week, without deer, but had been hunting with bows and arrows in the High Mountain country in Oregon. En route they met other hunters, armed with rifles, who were fleeing the Hart Mountain area, where a huge brush fire was raging. Hertzler and Wright detoured to the John Day Country, where they saw lots of scenery but no deer.
Cliff Breneman, of Sunset Automatic Music Company (Sanco) was in Portland all smiles as the 98-day lumber strike was winding up. Not unusually good as the end of the strike was, word that even the winter weather might bring shutdowns in the woods. Coos Bay mills would still operate. Breneman said the mills have been cold decking long since last spring so that they have a supply adequate to continue operation until far into next spring.
Wyner Finds Coast Vend Rivalry Keen...
Heavy concentration of vending machines on West Pico Boulevard, Los Angeles, was noted by Harry Wyner, of the Automatic Vending Machine Exchange, who recently returned from a trip to that city to visit his daughter, Marian, and his stepbrother, Max Hoffenberg. Harry also saw Mike Fink, of Coast Cigarette Stores; Ed Lufkin, of Du Grenier; Aubrey Sturges of Electro, and Ed Stanton, of E. C. Stanton & Company; visited Palm Springs, Salton Sea and Redondo Beach. Harry reports competition is so keen on the Coast—operators with 6,000-7,000 machines are not unusual—that machines are taken out of circulation and repainted when they have only a few scratches.
Morris Moskowitz, of Sidmor Vending Company, predicts a future for the capsule merchandise business. The firm specializes in wholesaling capsules, ball gum peanuts and small bulk vending machines. The ever-increasing number of children is providing a never-ending supply of prospective customers, says Moskowitz.
John S. Novosel, of Novo Vending Service, reports the only time he has been able to overcome a business caused by district status is to put out more vending machines.
George Bodner, of Siedel's favorite spot for vending operators, reports recent favorites been the Hill Toppers and Ted Brewer.
Just inside the Administration Building at the Greater Pittsburgh Airport, Andy Tighe has a game room well lighted, equipped with games and games. Youngsters under six years ride the mechanical horses.
Jerry Bahl, office manager, Williams Vending Company, is taking out the new .22 rifles by putting them out and moving them around.
Bill Reinwasser, the over six foot 15-year-old son of Sidney Reinwasser, who operates the Save Rite Newsstand on the North Side, worked all summer as bus boy at the New Yorker Hotel in Atlantic City, going to the seashore by bus and wangling the job on his own.
George and William Sopra, of Service Rental Coin Machine Company, reflecting on their long experience in renting machines say you can make a living and have nothing to worry about in the music field as long as you are aggressive, pay your bills and do not over-extend your investment.
Miami
Communications to:
Al Denny
88-3698
Op Drops Nickel Play, Boosts Take...
Coinmen who are grumbling about sliding collections might take a tip from Arnold Rogan, of the Juke Box Company. A few months ago Rogan eliminated the nickel chute in about a dozen of his machines and set them up for two plays, and a drop for six for a quarter. The net result, he reported, was a $4 to $5 increase per machine per week. Only one location owner requested a change back to straight nickel play, Rogan said.
Phil and Harry Zimand, Acme Music & Vending Company, hosted a party for the official opening of Cameo Drive-In, which the brothers recently acquired at 1449 Washington Avenue, Miami Beach. Comeon from the area dropped in to wish the boys well in their new venture.
The AMOA admitted into membership Mike Kramer, who purchased a music route from Isadore Samet.
Buddy Kauffman, who was severely injured in an automobile accident, is now able to leave the hospital on weekends for visits home. The good news was given out by his dad, Jack Kauffman, of C & L Amusement Company.
Info in Other Departments
Among the stories of general interest to the coin machine industry to be found in the General, Music and other departments up front in this issue of The Billboard are:
TRADE REACTION MIXED ON DIRTY DISKS. Execs air opinions on r&b, off-color records (Music department).
DRIVE ON JUKE BOX ROYALTIES DUE. New copyright action expected to center on the House of Representatives (Music department).
MERCURY SIGNS MORROW BAND. Billy Farrell also added to talent roster (Music department).
And many other informative news stories, as well as the Honor Roll of Hits and pop charts.
Oregon High Court Nips Op Pin Move
Challenge of Portland Ordinance Curbed; Stage Set to Remove Games
SALEM, Ore., Sept. 25.—The city council indicated an intention to legalize games and boost the license fee from the $20 in effect early in 1951.
After the court decision, however, the city council reversed its position and announced intention of banishing the games.
The stage is thus set for the removal of games within the city.
The court denial of a rehearing left intact its ruling last April upholding the constitutionality of the Portland 1951 Ordinance prohibiting free-play games. After the court ruling, the Portland city council proposed to effectuate its ordinance but was prevented when Terry, a Portland game operator, petitioned for the rehearing.
Now the city is awaiting only Circuit Court action lifting a restraining order Terry obtained shortly after passage of the ordinance. That action was expected to require a few days, after which the city was expected to begin enforcement of the ban.
Terry, who obtained the injunction in behalf of himself and other Portland operators, indicated the industry's hope for relief lay in persuading the city council to modify its prohibition action, just before the Supreme Court ruled.
Williams Ships Jet Fighter, New Gun Game
CHICAGO, Sept. 25.—First deliveries were made this week by Williams Manufacturing Company of Super Jet Fighter, a new gun game featuring three jet bomber targets which appear in military formation to the right of the screen, then dive, swoop or soar across the target area in ever-varying patterns.
According to the designers, the sight is precisely aligned with the targets which appear on the three bombers as they fly across the screen; if the target is directly in the gunner's sight, he can't miss making a hit. A system of light confirms the player's aim.
The player aims thru a circular sight along the top of a miniature metal jet fighter plane, which is directionally controlled by the player using a handle grip at the front-center of the cabinet. He presses a button to keep the machine gun action shooting at the targets. The handles enable the player to follow the course of these planes as they appear at the right of the screen and dart across to disappear to the left of the screen-only to reappear to the player's sight—up to 15 complete flights have passed across the screen.
Color Shows Hits
As each plane is hit, it changes (Continued on page 96)
United Ships New Gun, New Shuffle Game
CHICAGO, Sept. 25.—Distributors of United Manufacturing Company sent two new games this week—the De-Luxe Carnival Gun and the De-Luxe 11th Frame Shuffle Alley—making a total of four different games in production by the firm. (This does not include both metal models and regular models of games.)
Carnival Gun is a Remington .22 rifle unit operating on the electrical contact system. It has 11 moving targets and gives bonus scores for completing 25 shots in 80 seconds or less.
The player may take his time shooting the gun if he wishes, but if he can score two points per second he leaves under the 60 second rule. Targets are ducks and squirrels scoring one point each; seven ducks, scoring two points each; six moving ducks, which score three points each. When the player has completed 20 shots, five moving bull's-eye targets pop up, worth 10 points apiece.
The De-Luxe model has a triple match—number, star and clover—which lights up after player finishes shooting. Before the time bonus is added to the player's (Continued on page 93)
Realism and Basic Sport
Gun Games Open New Spots, Up Fall Takes, Ops Report
By KEN KNAUF
CHICAGO, Sept. 25.—The new crop of gun games, which began moving in on the amusement game field this summer, are on their way to a permanent place in the industry.
That's the consensus of operators and distributors surveyed by The Billboard this week.
The new target rifle units have already moved into taverns and bowling alleys across the nation—and have been picked up in hiking operator takes in cases reported an average $40 to $50 a week.
Operators surveyed agree that the chief ingredient in their success was the bow to realism manufactured into the machines themselves. The player is able to hear the gun fired, feel the slight recoil with each shot and handle the gun much as he would a real rifle.
New Gun Trend
The new gun game trend was kicked off in February by the J.P. Seeburg Corporation with the introduction of Coon Hunt, a gun and target set-up using the electric ray principle.
Targets for Coon Hunt are two simulated raccoons which climb up and down trees. When a hit is made, the coon disappears behind the tree and comes out again at a different level and on the opposite side of the tree.
The success of Coon Hunt may well be set the groundwork for the introduction of the new compact rifle units.
Three manufacturing companies gave birth to the rifle unit craze and at least three others are reported falling in line for the gun parade of the future. Exhibit Supply, Genco Manufacturing & Sales Company and United Manufacturing Company are all busy with production of these authentic .22 rifles, which operate on the electrical contact principle.
Exhibit Supply led off the swing to rifle units in April with Shooting Gallery, combining a Remington .22 rifle with a wall supporting rows of rabbits, rabbits and owls reflected in third-dimensional depth in the background.
Genco began shipments last June of Rifle Gallery, which features a Savage .22 rifle with turkey and bull's-eye targets and moving rabbit and owl targets. The moving targets added considerably to the appeal of the game, and the feature was certain to be adapted on other gun games of this type in the future.
United Manufacturing Company is now producing a new rifle unit with moving targets—it's second new rifle unit in two months. United (Continued on page 93)
Game Distributor Revamps Shuffles
MILWAUKEE, Sept. 25.—What can be done by amusement game operators to meet the fall budget and still boost their location sales? Wisconsin operators are finding conversion an effective answer.
And an indication of the popularity of this dollar saving device is found here at the headquarters of Hastings Distributing Company, using the Eddes Conversion Unit. Since the first of the year, the firm has renovated 300 shuffle bowling games, turning them into profitable equipment for operators.
Twenty-two years in the shuffle machine business has convinced owner Sam Hastings that equipment which will help operators make money is worth putting to use.
Conversion Appeal
Conversion units, he says, appeal strongly to the coinmen operating a small string of games, often on a limited expansion budget. Many operators fitting into this category cannot afford to replace the latest games equipment. One of the best ways for them to cope with demands of location owners for profitable games is to turn to the less expensive, but highly effective conversions.
Hastings specializes in converting two games, the Top Hat and the Mad Cap, old models which were made by United Manufacturing Company, and Chicago Coin Machine Company, respectively. Prices are in two brackets: $69.50 and $99.50, including installation charges. The games are modernized with multiple scoring (increasing scores in different frames) and new back-glasses. The work also includes a reasonable amount of "touch-up" and restoration work on the cabinets.
The game is set so that if one player tilts the playfield, only that player's score is canceled, and the other players can continue to play. Numbered light up on the back-glass to show which player is shooting and the number of balls he has used.
Triple Match Feature
Super Jumbo has a triple match feature—number, star and jumbo match—which gives the player one replay for matching his score with the match number, five replays for matching the star number and five replays for making the jumbo match.
Two button-operated ball flippers at the bottom of the playfield shoot balls back up the playfield for added action. When a ball hits a particular-shaped center target, advancing lights in a vertical row running from the bottom of the playfield light up one by one until reaching the center target. When the lights meet the target, a mystery bonus of points is given the player.
Four bumpers are lighted when the ball hits either of two roll-over bumpers, giving the player 10 points for hitting the lighted bumpers. The limit goes out on the bumpers when the ball hits either of two additional roll-over bumpers, the player getting one point for hitting a bumper when the light is out. Replays are given for high scores.
The game is available in a regular model without triple match. Super Jumbo operates on 10-cent and 20-cent and three four-quarter play. It has a modernized cabinet and metal drum scoring reels.
Bally Schools Draw Good Op Turnouts
CHICAGO, Sept. 25—Big turnouts of amusement game operators and servicemen were reported at the recent Bally Manufacturing Company service schools conducted in Cleveland, Erie, Pa., and East St. Louis.
Bally field engineers Paul Calamarri and Bob Brether were in charge of the schools.
Other reports from Bally distributors indicate good attendance at the schools scheduled for Louisville, September 30-October 1; Baltimore, October 5-6, and Montreal, October 7-8.
Atlanta Freezes City Shuffle Game Permits
ATLANTA, Sept. 25.—In a move to wipe out shuffle games in the city, Atlanta officials ordered a freeze on new permits.
According to Chief of Police Herbert Jenkins, the shuffle games are replacing outlawed pinball games as a means of gambling. Henry Bowden, assistant city attorney, added that the use of the shuffle games is a violation of the present ordinance banning pinball.
City Clerk John Richardson was told to stop issuing new permits, and unless the order is changed, existing permits will lapse January 1. The freeze may be temporary, pending further investigation by Chief Jenkins.
Gun Games Open New Spots; Up Fall Takes, Ops Report
Continued from page 91
began production in June on Jungle Gun, which uses a Remington .22 rifle with rows of elephant, horse and other targets affected with a jungle backdrop (The Billboard, July 10).
Early this month Exhibit announced its second new rifle unit, Rifle Shooting Gallery (The Billboard, September 4). The Star is equipped with a Remington .22 rifle with rows of animal and ball-type targets and features three separate target set-ups in each game.
Widespread enthusiasm was voiced across the country by operators and distributors in the initial reception of these rifle games. The guns have been since on the market long enough to prove that they are here to stay for awhile.
Supplement to Shuffles
In Chicago, gun games are particularly welcome. Pinball games are still on the shelf in Chicago and promise to be for some time to come. Thus amusement game operators have had a strict diet of shuffle bowling games, and while the shuffle games are hard to beat as a steady location piece, there has been a long pent-up demand for something to supplement the shuffle on locations.
Chicago operators are using more and more gun games on locations in bowling alleys and taverns to diversify their business, and the rifle units have come to be standard equipment in many City Arcades. Gun games locations in bowling and bowling alleys are found to be adding to gross receipts in most cases, rather than detracting from shuffle game take.
In Los Angeles, gun games are being used by the contingent of owners in taverns and some restaurants where they are being played by adults. The games draw no specific segment of trade, getting play from the general patrons of the establishment in which they are located. Some operators report that they are competitive with the other equipment within the spot but that the over-all take from the location has increased.
Operators explain that the guns appeal to the kids because there is a general desire to shoot. This opinion was borne out during World War II when guns of that type were in Arcades near military installations. Altho the patrons are serious, they were on rifle ranges throughout the day, they still paid money to shoot the ray gun games.
As one might expect, the kids go for the guns, too, because they are limited take. This field offers more moments are generally devoted to the play. The guns do require top spots and are moved around; eventually they will hit the spots frequented by the kiddies.
Moving Targets Draw
Lyn Brown, Los Angeles operator, who is well into the gun business, declared: "The guns are in taverns in the main but some are well spotted in bowling alleys, where they get mixed crowds. A good location can run $40-50 a week, depending upon the size of the interest, but stationary ones still get good play. The moving target type is stepping out ahead now in this area. The basic concept of the gun game is the business center."
Merle Holmes, who operates games and music in the San Fernando Valley area, sums up the situation this way: "Rifle games will step out ahead of the others soon. We have been upon the games are back at their former earning capacities. We use the moving target type and they are played by adults; our locations are taverns and barbershops."
Boost Summer Trade
Connecticut amusement Arcades have found that location of gun games means the difference between fair and middling business and successful growth.
Says Abe Fish, of General Amusement Game, Hartford: "A good many Connecticut operators look upon gun games as a desired item in the arcades for coin gaming trade. They have been thankful during the summer that gun games have been drawing customers into the Arcades during the hot nights and getting them to play other games as well, which all adds up to better-grossing locations."
Some amusement Arcade operators tell Fish that on occasion they have placed their gun games at the Arcade entrances, drawing down crowds heretofore uninterested or at best casual visitors of the Arcade.
Impact of gun games in the Milwaukee and Upper Wisconsin regions has been of a more sporadic character. Sales of gun games to Milwaukee operators, according to game distributors, have been gratifying, but movement of these units bogged down sharply about the middle of July.
Hardest to sell on the value of the gun games were local Milwaukee operators. Investment made in baseball-type games had tightened their buying budgets in some instances, at the outset of the summer season. One Southtown operator, however, finding his gun games highly lucrative, purchased 10 guns from one distributor and has plans for adding more before long.
Bolster Sagging Locations
Ken Kulow, of Hilltop Coin Machine Company, reported that his firm found best results with gun games when they were used to bolster sagging locations. Shifted gun games to spots where play was slowing down on games already on location, was found to promptly rejuvenate takes in all cases.
"The best type of tavern spots for gun games," according to Kulow, "are the busy, super-hustle where there is a rapidly changing clientele. The average neighborhood tavern catering to the same patrons day in and out is not normally a good paying spot for any kind of coin equipment."
Kulow's recommendation for game operators is to keep at least three or four gun games moving around to location, acting as a "booster" to low operating spots.
In Madison, Wis., Lloyd Bristol reports excellent results with his gun game equipment. Bristol is currently operating five gun games.
"Gun games appeal to the age bracket I have found people who normally will not play other types of games will enjoy them. The authentic .22 rifles used on the gun games is what attracts so many people to start with."
Northern Wisconsin's famous snow areas closed late to a record number of tourists this season. Coin machine action reportedly was very heavy up that way. Eagle River coin machine operator Mark Case, using a big proportion of gun games on his routes, states that he enjoyed a highly successful summer with them.
Concurring with Case's optimistic view of gun games in the tourist territory comes word from distributors handling gun games that a big share of their orders are coming from up-State operators.
From a critical standpoint, several operators have voiced views explaining why they have adopted a "stand-down" policy toward gun games. These include:
"Gun games are too expensive for the comparatively short time in which they see action."
"The new models haven't been out long enough to show how they'll make out on locations."
"Once a player has reached the top score, he may play it a few more times, then he's thru with it." It's the only game where the player can go over the top and then he loses interest."
The Detroit area is unrepresentative because of the general absence of amusement games in the area, excepting shuffleboard. The new rifle games are coming into the area on only a very limited scale at present, with distributors indicating that manufacturers' output does not yet give as many as wanted to the area.
Operators' reactions indicate that the new rifles are being welcomed by the public because they offer a significant element of skill. Tony Sarno, of Miller-Mark Distributing Company, comments that "You play the game instead of the game playing you. Operators need some new ideas, some young blood ... this looks like a big run on guns."
Success in Oregon
Success of gun games in the Portland, Ore., area points up the fact that games providing a high increment of fun are the ones that get the play. Operators find that on many locations guns will outdraw pinballs for a time.
The novelty factor is important in the amount of play a gun game achieves. Operators, on finding the gross from such an item to be slipping, move to a new location where the piece will appeal to a fresh audience.
The response from women players has surprised some operators, and one has provided steplots for equipment that might be too high for the shorter women players.
The success of gun games, however, is not based as based on their appeal to all segments of the public. An operator told of installing a gun at a location operated by an ex-Marine, whose clientele was interested in marksmanship. However, when he established a new location that lacked entirely the veteran component among the players, he found the gross was equally good.
"Every American is naturally interested in shooting," is the way this operator summed up his observations.
The new type gun games are gaining in favor among operators in that they are found to be adaptable to more locations, especially where space is at a premium. A tavern where every square foot of space is of value for customer seating will hesitate over devoting an advantage to regular shooting gallery operations but will welcome a unit that takes no more space than does a pinball game.
Operators say that gun games would be making more of a headway in the area under normal economic conditions. The 10-week lumber strike, however, has hit hard at game operations.
Distributor Revamps Shuffles
Continued from page 91
job. "There are some other good conversion jobs available that run up as high as $250," he said. "My feeling is that operators will hesitate to spend more than $99.50. Too high a price defeats the entire purpose of what an operator is trying to accomplish with a conversion—update his equipment at a relatively low price."
Most of the work thus far has been on a cash basis, with few requests for credit extensions, he adds.
Ops Truck Games
The bulk of the conversion jobs that come into the Hastings shop for their "face lifting" come from the Milwaukee area. Operators bring them in themselves with their own trucks. If necessary, Hastings trucks go out to haul in the machines.
Jobs presently are beginning to come in to the shop in greater numbers from the outlying Wisconsin territory. Bob Kollinger, a recent addition to the Hastings staff, has completed a training period in the shop and now is traveling the State selling and installing conversions. His work includes calling on operators throughout Wisconsin and Upper Michigan. He is equipped to make installation on the spot when it can be practically done. This enables operators to have the switch-over performed quickly and conveniently at the same price as if it had been shipped to Milwaukee.
The missionary work on the road by Kollinger is paying off, beginning to show positive results, according to Hastings, as evidenced by the increased queries and number of machines brought to the shop.
Publicity Thru Mail
In addition to putting a man on the road, Hastings is also setting up a State-wide mailing program to acquaint operators with the conversion offer.
Recently enlarged by the addition of a wing to the warehouse and showroom facilities, the Hastings Bluemound Road quarters are already cramped for space. At times, it actually takes up over 100 per cent of the room as machines are crowded into the shipping room and are even put out on the driveway.
To facilitate the movement of the machines thru the shop for processing, two specially trained Hastings coin machine mechanics devote all of their time to conversion work. While the ideal coin machine mechanic is usually a jack of all trades, installing conversions presents a host of problems not ordinarily met on the routes.
The Edelco factory sent a highly trained representative to work with the men and teach them the fine points which enable them to cut down the hours logged on each job. A definite attempt is made to figure out methods of keeping materials, tools and machines moving smoothly thru the shop.
In many instances coin machine operators who are competent mechanics are able to save labor costs by a "do-it-yourself" approach. They watch the first conversion unit installation on a piece of their equipment in the shop. From then on, they merely purchase the units from Hastings and then do the work themselves in their own shops.
Coin firms frequently send their top mechanics to the Hastings firm to learn the installation procedure. Then, their employee can grasp the knowledge, the cost of conversions from there is effectively sliced.
300 Units in Year
To satisfy a growing demand from operators who want to buy machines already converted to Top Hat or Mad Cap units, Hastings scours the field searching for good buys in old machines. Not all equipment is suitable, but he has had to go as far as Cleveland to purchase some of the machines.
In the period of less than a year since the firm has plunged into the work of converting old shuffle machines, putting units that compare with new ones, Hastings has put over 300 machines thru his renovating process.
What does the future hold for the budding conversion business? Says Bob Sam Hastings: "This field of conversions is going to open wide. There are so many old pieces of equipment out in the field that I'm confident we can keep busy for a long time before we begin to run out of work. Even the fleets of new machines currently coming off the manufacturer's assembly lines will some day become obsolete, and will be good prospects for conversion jobs."
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Catecholamine Response to Exercise in Children with Attention Deficit Hyperactivity Disorder
SHARON B. WIGAL, DAN NEMET, JAMES M. SWANSON, ROLAND REGINO, JOEY TRAMPUSH, MICHAEL G. ZIEGLER, AND DAN M. COOPER
Child Development Center [S.B.W., I.M.S., R.R., J.T.J.] University of California, Irvine, Irvine, CA, 92612, U.S.A.; Center for the Study of Health Effects of Exercise in Children [D.N., D.M.C.], University of California, Irvine, College of Medicine, Orange, CA, 92686, U.S.A.; and Department of Medicine [M.G.Z.J.], University of California, San Diego, San Diego, CA, 92103, U.S.A.
ABSTRACT
The objective of this study was to examine differences in catecholamine (CA) response to exercise between children who had received a diagnosis of attention-deficit/hyperactivity disorder (ADHD) and age- and gender-matched controls. On the basis of the notion of a CA dysfunction in ADHD, we reasoned that the normal robust increase in circulating CA seen in response to exercise would be blunted in children with ADHD. To test this, we recruited 10 treatment-naive children with newly diagnosed ADHD and 8 age-matched controls (all male) and measured CA response to an exercise test in which the work was scaled to each subject’s physical capability. After exercise, epinephrine and norepinephrine increased in both control and ADHD subjects \((p = 0.006\) and \(p = 0.002\), respectively\), but the responses were substantially blunted in the ADHD group \((p = 0.018)\) even though the work performed did not differ from controls. Circulating dopamine increased significantly in the control subjects \((p < 0.016)\), but no increase was noted in the subjects with ADHD. Finally, a significant attenuation in the lactate response to exercise was found in ADHD (between groups, \(p < 0.005\)). Our data suggest that CA excretion after exercise challenges in children with ADHD is deficient. This deficiency can be detected using a minimally invasive, nonpharmacologic challenge. (Pediatr Res 53: 756–761, 2003)
Abbreviations
ADHD, attention-deficit/hyperactivity disorder
CA, catecholamine
NE, norepinephrine
EPI, epinephrine
DA, dopamine
HPA, hypothalamic-pituitary-adrenal
BMI, body mass index
VO₂, oxygen consumption
CV, coefficients of variation
A leading pathophysiologic hypothesis of attention-deficit/hyperactivity disorder (ADHD) is based on the notion of a catecholamine [CA; norepinephrine (NE), epinephrine (EPI), and dopamine (DA)] dysfunction (1, 2). This hypothesis suggests that the CA response to environmental stimuli is attenuated in ADHD and is derived primarily from observations that drugs such as methylphenidate and amphetamine—considered to be CA agonists—are effective in treating the symptoms of ADHD (1). Despite this compelling evidence, a definitive role of CA responsiveness in ADHD remains controversial (3).
Testing CA responsiveness in children with ADHD has proved to be complex. Protocols that elicit psychological stress using cognitive challenges—the bulk of research that has been done in children with ADHD—can yield measurable CA responses, but the stimulus is difficult to quantify or standardize (4, 5). Pharmacologic interventions that stimulate stress through, for example, rapid alterations in glycemia, are nonphysiologic, require extensive monitoring, and may not be acceptable or feasible for studies in children (6).
In the present study, we examined the possibility that exercise testing might be useful in differentiating CA responses to stress between subjects who have a diagnosis of ADHD and age- and gender-matched controls. Physical activity is widely known to be a powerful stimulus of the hypothalamic-pituitary-adrenal (HPA) and noradrenergic systems (7). Physical and mental stress each elicits physiologic responses that are mediated through the autonomic nervous system and endocrine system (8). In contrast to other types of stress-inducing protocols, exercise is a naturally occurring and physiologic stimulus of stress hormones, and the magnitude of the input (i.e. the
work rate and duration) can be measured precisely and scaled to the capability of the subject. To our knowledge, testing the CA response using exercise has never been reported in children with ADHD.
We reasoned that the normal robust increase in circulating CA in response to exercise would be blunted in children with ADHD. To test this, we recruited treatment naïve children with newly diagnosed ADHD and measured CA response to an exercise test in which the work was scaled to each subject’s physical capability.
**METHODS**
The study was approved by the Institutional Review Board of the University of California, Irvine. Informed assent and consent were obtained from each subject and his or her parent or legally authorized representative, respectively, before the implementation of any study-related procedures. Standard, calibrated scales and stadiometers were used to determine height, weight, body mass index (BMI; wt/ht²), and BMI-for-age percentile (9).
**Diagnosis of ADHD.** Families were recruited by a screening study for evaluation of children with ADHD at the University of California, Irvine, Child Development Center. Children between the ages of 7 and 12 y were eligible. For inclusion in the ADHD group, a diagnosis of ADHD-combined hyperactive/impulsive subtypes was required. This was confirmed in a psychiatric interview of the parent about the child, by endorsement of at least six of the nine symptoms of inattention and six of the nine symptoms of hyperactivity/impulsivity on the Diagnostic Interview Schedule for Children. Children with a current history of depression, anxiety, epilepsy, or other medical conditions were excluded. All children who entered the study were naïve with respect to the use of stimulant medications to treat ADHD. Gender- and age-matched children who were healthy and had no history of ADHD were recruited as a control group.
**Exercise protocols.** We used an exercise that has been found to be effective in scaling the exercise input to the capabilities of healthy children as well as children with physiologic impairments (10). Each subject underwent two separate exercise testing sessions performed on different days within a week. First, we used a ramp-type progressive exercise test on an electronically braked cycle ergometer used extensively in children and adolescents (11). The second session consisted of a series of 10, 2-min bouts of constant-work rate cycle ergometry with 1-min resting intervals between each exercise bout. The work rate was individualized for each subject by finding the work rate corresponding to 50% of the difference between the anaerobic or lactate threshold of each subject (determined noninvasively from the ramp test) and the peak oxygen consumption (VO₂) (12, 13). This approach was used, in contrast to the prolonged exercise testing, because although young children enjoy prolonged periods of physical activity, they find it hard to sustain constant exercise for more than several minutes at a time. In fact, typical bouts of exercise in children last only 25–30 s (14). The total duration of the second exercise protocol was 30 min (20 min of cycle ergometer exercise interspersed with 10 min of rest).
We calculated total external work performed by each subject [i.e. power × duration (kilojoules)] and normalized the total work performed to body mass. Finally, we measured the peak and end-exercise heart rate of each subject during the second exercise session.
**Blood sampling.** An indwelling venous catheter was inserted in the antecubital area. Blood samples were collected at pre-exercise (after 30 min of rest), during the last (tenth) 2-min exercise bout, 30 and 60 min after exercise.
**EPI, NE, and DA.** EPI, NE, and DA were measured by a radioenzymatic technique based on the conversion of the CA to radiolabeled metanephrine and normetanephrine. This CA assay uses an extraction technique that eliminates substances that may inhibit the radioenzymatic assay. It also concentrates the CA to provide a more sensitive assay. One milliliter of plasma samples was extracted and then concentrated into a 0.1-mL volume before conversion into their radiolabeled metabolites. The assay has an extraction efficiency of 78%. The sensitivity of the assay is 10 and 6 pg/mL for NE and EPI. The intra-assay coefficients of variation (CV) are 4 and 13% for samples containing low levels of CA; variation is less for samples with high levels of CA. The inter-assay CV are 10% and 16%, respectively, for NE and EPI, so the assay is consistent over time. This technique is approximately 10 times more sensitive than the more commonly used assays and thus can reveal changes in venous CA levels that often go undetected (15).
**Lactate.** Lactate was measured with the use of YSI lactate analyzer (YSI 1500, Yellow Springs, OH, U.S.A.). The intra-assay CV was 2.8%, the interassay CV was 3.5%, and the sensitivity was 0.2 mg/dL.
**Statistical analysis.** Two-sample t tests were used to determine baseline differences in anthropometric variables, fitness variables, and circulating CA between control subjects and subjects with ADHD before the exercise protocol. Repeated measures ANOVA was used to test differences in response to the exercise bout between ADHD and control tests groups. For detecting possible differences in the pattern of response to exercise over time, the primary test of interest was the interaction of the between-subjects factor (group: ADHD versus control) and the within-subject factor (time: before, peak, 30 min after, and 60 min after). A post hoc single degree of freedom contrast to compare the baseline to peak change by group was tested to characterize whether the magnitude of response differed between the groups. Data are presented as mean ± SEM.
**RESULTS**
**Baseline Demographic Data**
Ten newly diagnosed untreated male subjects (eight Caucasian, two Hispanic) with ADHD and eight healthy age-matched male controls (seven Caucasian, one Hispanic) volunteered for the study and met the screening criteria. Subject characteristics are presented in Table 1. No significant differences in age, height, weight, or BMI were found between control and ADHD groups.
**Effect of Brief Exercise**
*Peak VO$_2$, work rate, and heart rate.* No significant differences were found in peak VO$_2$, peak VO$_2$ corrected for body weight, peak work rate, and lactate threshold between control subjects and subjects with ADHD (Table 1). The work rate performed per kilogram of body weight (kJ/kg) was almost identical in the ADHD and control groups. The control group reached a higher heart rate by end-exercise compared with the subjects with ADHD, but this difference was not significant (189.4 ± 3.1 *versus* 178.1 ± 5.1 respectively; Fig. 1).
*Plasma lactate and CA.* Plasma lactate increased significantly during exercise in both control and ADHD groups ($p < 0.001$). There was a significant between-group difference in the lactate response to exercise, with a more prominent change in the control group ($p < 0.005$; Fig. 2).
Baseline levels of NE and EPI were within the normal range for both children with ADHD and controls, suggesting that the blood drawing technique/timing was not stressful. Baseline plasma NE were significantly lower in the ADHD children ($p = 0.004$). In response to exercise, mean NE levels rose in both groups; however, the rise in plasma NE was significantly greater in the control children compared with children with ADHD, reaching levels that were more than 2-fold higher in the control group ($p < 0.0005$; Fig. 3).
No difference was found for baseline plasma EPI. EPI levels increased in both ADHD ($p = 0.002$) and controls ($p = 0.006$) after exercise. A statistically significant higher level of EPI at peak exercise was found in the control group ($p = 0.018$). Baseline plasma levels of DA tended to be higher in the ADHD group, but this difference was not significant. After exercise, DA levels in the ADHD group did not change, whereas a significant increase was noted in the control group ($p = 0.016$).
**DISCUSSION**
This study demonstrates for the first time abnormal responses of circulating EPI, NE, and DA accompanying cycle ergometer exercise in treatment-naïve children with newly diagnosed ADHD. EPI and NE did increase in both control subjects and subjects with ADHD, but the responses were substantially blunted in the ADHD group even though the work performed did not differ from controls. Circulating DA increased significantly in the control subjects, but no increase was noted in the subjects with ADHD. Finally, a significant lower lactate response to exercise was found in ADHD, an observation consistent with a blunted CA response to exercise.
**Figure 1.** Comparison among total work per body weight and peak heart rate in control subjects and subjects with ADHD. Both ADHD and control groups performed the same total work per body weight. Peak heart rate was higher in the control group but not significantly so.
**Figure 2.** The effect of exercise on lactate levels. Both control subjects and subjects with ADHD had an increase in lactate level after exercise. Control subjects had a statistically significant higher lactate response to exercise compared with subjects with ADHD (*p < 0.005*).
**Table 1. Anthropometric, peak VO$_2$, and peak work rate in subjects with ADHD and control subjects**
| | ADHD ($n = 10$) | Control ($n = 8$) |
|------------------------|-----------------|-------------------|
| Age (years) | 8.4 ± 0.4 (range 7–10) | 8.6 ± 0.5 (range 7–11) |
| Height (cm) | 135 ± 3 (range 117–145) | 138 ± 3 (range 127–154) |
| Weight (kg) | 33.8 ± 2.8 (range 22.3–52.7) | 34.4 ± 2.8 (range 25.0–48.6) |
| BMI (kg/m$^2$) | 18.2 ± 1.1 (range 14.4–25.1) | 17.8 ± 0.7 (range 15.3–20.5) |
| Peak VO$_2$ (L/min)-ramp test | 1.01 ± 0.07 (range 0.47–1.34) | 1.11 ± 0.09 (range 0.83–1.48) |
| Peak VO$_2$ (mL · min$^{-1}$ · kg$^{-1}$)-ramp test | 30.2 ± 1.7 (range 21.2–37.2) | 32.8 ± 2.0 (range 24.4–41.6) |
| Lactate threshold (L/min) | 0.78 ± 0.06 (range 0.48–1.03) | 0.79 ± 0.05 (range 0.62–1.09) |
| Work rate for constant work rate protocol (watts) | 66.0 ± 4.7 (range 45.0–85.0) | 64.0 ± 5.0 (range 50.0–87.0) |
| Peak work rate (watts)-ramp test | 85.7 ± 5.7 (range 45–105) | 98.7 ± 7.1 (range 80.0–130.0) |
| Heart rate during constant work rate protocol (beats/min) | 152.1 ± 4.6 (range 124–172) | 159.9 ± 7.1 (range 136–189) |
Data are presented as mean ± SEM.
We selected a relatively high-intensity exercise protocol for this study because the CA response for work performed above the lactate threshold is known to be substantial (16). CA are increased with heavy exercise, in part because of CNS mechanisms. Activation of the HPA axis and sympathetic-adrenal medullary activation leads to EPI release from the adrenal medulla and NE and, to a lesser degree, DA release, from nerve endings into the circulation (17, 18). Thus, exercise shares with other stresses (e.g., psychosocial) some common pathways that lead to increased CA output. In addition, the CA response to heavy exercise is further stimulated by systemic changes in acid-base balance and reduced oxygen availability to the working tissues (19).
Remarkably, the increase in circulating DA in response to exercise found in healthy children was absent in the subjects with ADHD (Fig. 3). Previous studies have demonstrated an increase in circulating DA in response to cycle ergometer (20) and resistance exercise (21) in adults, but this is the first documentation of the increase in circulating DA in healthy children. Whether the lack of a DA response in the periphery in ADHD is related, as some investigators propose, to a systemic “dopamine deficit” (22, 23) or, alternatively, simply to less stimulation of the adrenals in response to exercise has yet to be determined.
The present data provide indirect support for the connection between exercise and stimulation of HPA and noradrenergic systems in children with ADHD. This is in agreement with previous studies, for example, Hanna and et al. (24), Pliszka et al. (25), and Anderson et al. (4) who found substantially lower rates of EPI excretion in urine during cognitive testing in subjects with ADHD. These observations are consistent with earlier studies correlating academic performance and EPI excretion (26).
Most consistent with our observation of a blunted CA response to a physiologic stress in ADHD is the study of Girardi et al. (6). These investigators gave subjects an oral glucose load that led to an initial hyperglycemia followed by a rapid lowering of blood glucose and an accompanying CA burst. As in our study, Girardi et al. noted a blunted CA response in children who had a diagnosis of ADHD.
In studies that use exercise as an input to stimulate hormonal responses, a major potential confounding factor is whether the exercise input is comparable in the control and target groups. For example, if a protocol used a single work rate to compare hormonal response to exercise in two groups of subjects with high and low relative fitness, then the results might be confounded by the fact that the magnitude of the exercise input relative to the capability of each subject was different in the two groups (i.e., relatively higher in the unfit sample population). We achieved the goal of appropriately normalizing the work rates in the two populations by measuring fitness in each subject and adjusting the work rate input to the individual’s capabilities. As seen in Figure 1, we found no difference in the magnitude of the work rate input (either in absolute watts or when normalized to body mass) between the two groups. Thus, it is unlikely that the observed difference in the CA response was due to a lower relative work rate input in the ADHD group; rather, the data suggest abnormal CA regulation in the subjects with ADHD.
It is noteworthy that the peak VO$_2$ values observed in our study tended to be in the lower range of normal values that are typically reported for cycle ergometer exercise in children. Although a strict matched-control design was not used, we sought the control group for this study from a general population and did not target children actively engaged in physical activity, as is often the case, for “normal” values in studies of exercise in children. It may well be and would not be surprising that in a large population comparison between healthy control children and children with ADHD that the latter would prove to have significantly lower levels of fitness.
A number of studies have been performed in normal subjects in which centrally acting pharmacologic agents were used to alter the CA response to exercise. Collomp et al. (27) and Stratton et al. (28) showed that benzodiazepines, which stimulate γ-aminobutyric acid receptors in the brain and blunt the CA response to a variety of stressors, markedly attenuated the EPI, NE, and DA response to exercise in the circulation. Interestingly, these investigators found that benzodiazepines attenuated the lactate response to exercise, similar to the observation we made in the children with ADHD (Fig. 2), and the blunted lactate response is likely explained by the reduced effect of peripheral CA on glucose metabolism.
Although the lactate levels in response to exercise were lower, the lactate threshold (the inflection point above which lactate concentrations in the circulation markedly increase) was not affected in the Stratton study. Similarly, we found no difference in the lactate threshold, determined noninvasively, between the subjects with ADHD and control subjects. These data showing that CNS suppression can lead to blunted peripheral CA responses supports the idea that there may exist a CNS dysregulation of CA in children with ADHD.
In addition to the exercise response, we found decreased baseline NE in the patients with ADHD. Surprising, little is known about circulating levels of CA in ADHD as the majority of the studies have focused on urine CA levels (2, 4). The lower NE that we found is consistent with some (29–31) but not all (32) previous studies. In the past, some investigators have questioned the relevance of peripheral (i.e., circulating) levels of CA in that they may not reflect CNS activity. However, it has become clear that activity of the peripheral nervous system does correlate with activity in the brain (33). Indeed, administering CA into the peripheral circulation (n.b., CA reportedly do not cross the blood-brain barrier) induce cognitive changes strongly suggestive of CNS effects (34).
Both physical exercise (35) and traditional pharmacologic treatment for ADHD with low doses of methylphenidate or amphetamine (36) increase executive function of the brain. Shepard et al. (37) demonstrated that long-term increases in physical activity were associated with improved academic performance in public school students. Despite the compelling physiologic role that exercise could play in the management of ADHD, to our knowledge, there have been no controlled studies designed to examine potential therapeutic benefits of exercise in ADHD. Our data pose some intriguing questions. First, does the blunted CA response to exercise also reflect a reduced exercise effect on executive function? Does repeated exercise (i.e., training) lead to an enhanced CA response to exercise or to other stresses in ADHD? Finally, does the CA response to exercise become normalized in the presence of traditional pharmacologic treatments with stimulant medications?
CONCLUSION
In summary, we found that the CA response to exercise was markedly reduced in children with ADHD. The agreement across studies examining the adrenomedullary and sympathetic responses in ADHD using various provocations, whether pharmacologic, cognitive, or physiologic, is remarkable. Our data suggest that CA excretion after a minimally invasive, nonpharmacologic exercise challenge in children with ADHD is deficient compared with healthy control children. These preliminary data are consistent with previous studies indicating that children with ADHD have lower CA responses to pharmacologic, physiologic, and cognitive challenges.
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23. Volkow ND, Wang GD, Fowler JS, Logan J, Franceschi D, Maynard E, Ding YS, Gatley SJ, Gifford A, Zhu W, Swanson JM 2002 Relationship between blockade of dopamine transporters by oral methylphenidate and the increases in extracellular dopamine during exercise. J Neurosci 22:1511–1518
24. Haman GL, Orantz EM, Harikrishnan R 1996 Urinary catecholamine excretion and behavioral differences in ADHD and normal boys. J Child Adolesc Psychopharmacol 6:63–73
25. Porges SR, Maas JW, Javors MA, Rogenski GA, Baker J 1994 Urinary catecholamines in attention-deficit hyperactivity disorder with and without comorbid anxiety. J Am Acad Child Adolesc Psychiatry 33:1165–1173
26. Panksepp M 1971 Behavior and circulating catecholamines. Brain Res 31:241–252
27. Collong K, Fortier M, Cooper S, Long A, Ahmadi S, Prefaut C, Wright F, Picot M, Cote MG 1994 Performance and metabolic effects of benzodiazepine during submaximal exercise. J Appl Physiol 77:828–833
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|
| Tender No. | No.NRCM(S)393/2019(Vol.I) |
|------------|--------------------------|
| Date of release of Tender through e-procurement | 19.09.2019 at 4:00 PM |
| Bid Submission Start date/time | 20.09.2019 at 9:00 A.M. |
| Last date & time for submission of bid | 10.10.2019 at 2:00 PM. |
| Date & time for opening of technical bid | 11.10.2019 at 3:00 PM. |
| Address for Communication | Director, ICAR-National Research Centre on Mithun, Medziphema, Dimapur, Nagaland – 797 106 |
Asst. Admn. Officer
For and on behalf of Director
Director, ICAR-National Research Centre on Mithun, Medziphema, Nagaland invites e-tenders for HIRING OF 2 NOS. OF VEHICLE (preferably Bolero/Scorpio/Xylo or any similar types of vehicles) at ICAR-NATIONAL RESEARCH CENTRE ON MITHUN, MEDZIPHEMA on Annual Rate Contract (ARC) basis as per the details given below.
1. **Details of Tender Deposits:**
- Earnest Money Deposit : Rs. 35,000/- (Rupees thirty five thousand only)
- Security Deposit : 5% of the estimated value of contract
2. **Tender schedule:**
| Tender No. | No.NRCM(S)393/2019(Vol.I) |
|------------|---------------------------|
| Date of release of Tender through e-procurement | 19.09.2019 at 4:00 PM |
| Bid Submission Start date/time | 20.09.2019 at 9:00 A.M. |
| Last date & time for submission of bid | 10.10.2019 at 2:00 P.M. |
| Date & time for opening of technical bid | 11.10.2019 at 3:00 PM. |
Address for Communication: Director, ICAR-National Research Centre on Mithun, Medziphema, Dimapur, Nagaland – 797 106
1. Details of Tender form/bidding documents may be downloaded from the institute website: www.nrcmithun.res.in and http://eprocure.gov.in. Online Bids only through Central Portal Procurement Portal (https://eprocure.gov.in/eprocure/app) will be accepted.
2. Tenderers/bidders are requested to visit the website http://eprocure.gov.in/eprocure/app regularly. Any changes/modifications in tender enquiry will be intimated by corrigendum through this website only.
3. In case, holiday is declared by the Government on the day of opening bids, the bids will be opened on the next working day at the same time. This office reserves the right to accept or reject any or all the tenders without assigning any reason.
4. Interested firms are required to deposit an Earnest Money Deposit (EMD) of Rs. 35,000/- (Rupees thirty five thousand only) only in the form of Demand Draft in favour of Director, ICAR-NRCM payable at SBI, Medziphema Branch, (Code - 06759) to be deposited through e-payment in the Institute Bank Account No.11667721897, SBI, Medziphema Branch, IFSC –SBIN0006795 or may be submitted in person to the Administrative Officer, ICAR-NRC on Mithun, Medziphema before the prescribed closing date and time.
**Please note that only online bids will be accepted.**
Asst. Admn. Officer (S)
For and on behalf of Director
1. The hiring charges/rates should be quoted for Scorpio/Bolero/Xylo or any other similar type of vehicle proposed to be offered should be clearly mentioned in the bid.
2. The Vehicles should be in smooth running condition without any complaints, defects, invalid documents.
3. The bidder should have at least one year experience certificate of satisfactory performance in similar services preferably with Government/Public Sector or Reputed Private Ltd. Companies/Firms. The bidder should own or have on lease sufficient number of vehicles not less than **THREE** and should not be older than three years. The full details of the vehicles and a clear declaration that the tenderer will be able to supply vehicles of model not older than **3 (year)** shall be provided. An undertaking in this regard to be submitted along with the Technical Bid for submission of lease document as above before award of work.
4. The Agency/owner of the vehicle must possess all relevant documents like Registration Card, Valid Insurance papers, permits and other related papers as issued by the RTO/DTO (copies to be uploaded).
5. The vehicle must possess permit for plying/running in NE Region for commercial use.
6. There will be two vehicles required with the running slab of 2000 KM per month of each vehicle.
7. The period of contract shall be initially valid for a period of 12 months, however, may be terminated at any time without assigning any reason if the service is not satisfactory. The contract may be extended for next one year subject to satisfactory services/performance.
8. **The Technical bid will be opened online in the presence of authorized representative of the agency on 11.10.2019 at 3:00 PM.** if they wish to be present on the due date.
9. Availability of vehicle and driver should be round the clock.
10. The firm/Contractor in whose favour the contract is finalized has to sign an **Agreement Deed for the contract for hiring of vehicle on non-judicial stamp paper of Rs. 100/-**.
11. The vehicle will have to be kept at the disposal of I/c Vehicle of the respective Institute, i.e. ICAR-NRC on Mithun, Medziphema, Nagaland.
12. The duty point shall be ICAR-NRC on Mithun, Medziphema, Nagaland or any other place intimated by this office, as the case may be.
13. The kilometer/mileage shall be counted from this Institute or any other pick-up drop or location specified by the office only and for this purpose, the driver deputed shall get the meter reading verified from the officer-in-charge or any other person deputed by him for this purpose. Similarly, at the time of departure, meter reading may be got verified by the officer using the vehicle. The dead mileage from garage will not be counted for daily mileage. A log book for the purpose should be maintained by the deputed driver of the vehicle.
14. Accuracy of meters will be checked periodically by any authorized officer of ICAR-NRCM and reserves the right to get the meter calibrated or checked at any time at his sole discretion and in the event of any error/fault in the meter being noticed, the bill for the journey undertaken (including those undertaken earlier) would be adjusted, besides any other penal action as decided by the Director, ICAR-NRCM, which may even lead to termination of contract.
15. The tampering of meter reading, vehicle usage timings, overwriting of summary/log sheet and misbehavior of driver while on duty shall be viewed seriously, leading to even cancellation of contract.
16. Service provider shall not engage any person as Driver below 18 years of age.
17. The engaged driver should have valid driving license, mobile phone connectivity and should be of good character to deal/discharge the assigned duty promptly.
18. This Institute will not be responsible for any kind of footing and lodging arrangements for the driver engaged by the agency even in cases of out station and halts. However, in the event where the footing and lodging charges borne by the Officials of the Institute, the same cannot be claimed by the firm in the bill.
19. This Institute shall not be responsible for any challan, loss, damage or any accident of the vehicle or to any other vehicles or for the injury to the driver or to any other third party. The loss or damage or legal expenses on this account shall be borne by the agency.
20. No direct or indirect liability arising out of such negligent, rash and impetuous driving which is an offence under section 29 of IPC and any loss caused to ICAR-NRCM have to be suitably compensated by Service Provider.
21. The toll tax/parking charges shall be paid extra on production of receipts.
22. Maintenance/repair of vehicle will rest with the agency.
23. The agency should abide by the rules laid down by any authority relevant to the deployment of vehicles.
24. **The Firm/Agency should quote the rate in figures in the Financial Bid provided in excel format (BOQ) which is to be submitted online, failing which the bid shall be rejected.**
25. The agency shall provide name and address of the drivers and police verification report along with driving license number of the driver and copies thereof while submitting acceptance of offer.
26. In case of any breakdown of the vehicle on duty, the agency shall make arrangement for providing another vehicle immediately.
27. **Liquidated damage clause:**
i) An amount of Rs. 1000/- per day shall be levied from the agency as penalty for unsatisfactory service recorded in addition to the proportional deduction leivable from the monthly bill.
ii) The agency is liable to pay the vehicle hiring charge in actual to NRCM in the event of failing to provide replacement vehicle during break-down or for any unforeseen reason.
28. Bill in triplicate duly pre-receipted along with the Xerox copies of the logbook may be raised on every last day of the month after completing all codal formalities for payment. Payment will be made within 15 days from the date of submission of the claim.
29. 5% Security Money of the total contract value shall be deposited by the successful bidder in favour of **Director, ICAR- NRC on Mithun, payable at SBI, Medziphema Branch (Code - 06759).**
30. Director of the Institute reserves all rights to accept or reject any or all the tenders without assigning any reasons thereof.
31. The decision of the Director shall be final and binding on either side.
Asst. Admn Officer
## Schedule-I
### Details of the Firm/Agency (Technical Bid)
| Sl.No. | Name & Address of the Transport Agency |
|--------|---------------------------------------|
| 1. | Contact No. (Phone/Mobile No.) & e-mail ID |
| 2. | Firm’s Registration/Trade License No. (Attach copy of document) |
| 3. | Service Tax Registration No. (Attach copy of document) |
| 4. | GST Number (Attach copy of document) |
| 5. | PAN Number (Attach copy of document) |
| 6. | Registration No. of Vehicle |
| 7. | Type of Vehicle (AC) and Make |
| 8. | Year of Manufacture & Model |
| 9. | Validity period of Registration |
| 10. | Fitness Certificate Validity |
| 11. | Permit Validity |
| 12. | Insurance Validity of the Vehicle |
| 13. | Name / Address of the Driver |
| 14. | D.L. No. & Validity of the D.L. of the Driver |
| 15. | Bank Details of the firm/agency |
| | i) Name of Bank & Branch |
| | ii) Account Number |
| | iii) IFSC Code |
| | vi) MICR Code No |
| 16. | Details of EMD |
| | i) Amount |
| | ii) DD Number & Date |
| | iii) Issuing Bank |
| 17. | If providing vehicle to other Govt. organizations (enclose copies of rate contract) |
Certified that the terms and conditions are acceptable to me and I will abide by the rates offered for the period of contract. Further, I declare that the documents and papers submitted with this tender are genuine and if found false, I shall be liable for the decision taken by the competent authority for that reason.
**Signature of the Tenderer**
*With Seal*
Page 5 of 14
List of Technical Bid Documents to be uploaded online in order basis by the participating firm/agency:
1. Scanned copy of duly filled and signed of technical bid Schedule I as per tender document.
2. Scanned copy of EMD.
3. Scanned copy of PAN card of the firm/agency.
4. Scanned copy of firm/agency registration/trade license certificate.
5. Scanned copy of firm/agency service tax regd. Certificate.
6. Scanned copy of TIN/GST number of the firm/agency.
7. Scanned copy of vehicle documents viz. vehicle regd. Card, valid permit doc.
8. Scanned copy of Vehicle Insurance, Fitness doc.
9. Scanned copy of duly filled and signed Undertaking given as Annexure I.
| Sl. No. | Particular | Monthly hire charge to be quoted in Rupees |
|--------|---------------------------------------------------------------------------|--------------------------------------------|
| | **2000 KM Slab** | To be quoted in the BOQ excel sheet only. |
| 1 | Monthly Rate per vehicle including fuel | -do- |
| 2 | Rate per Km run in excess of prescribed per month slab (not exceeding Rs. 13/-) | -do- |
| 3 | Night halt charges (fooding & lodging in case of duty out of station) if borne by Agency (not exceeding Rs. 500/-) | -do- |
| 4 | Night halt charges (fooding & lodging in case of duty out of station) if borne by the Institute (not exceeding Rs. 200/-) | -do- |
Place:
Name:
Signature of the Tenderer
UNDERTAKING (to be submitted in Agency/firm’s letter pad)
I/We have read and understood ICAR-NRC on Mithun’s General Terms and Conditions contained in the application form. I/We do hereby declare that all the details provided in this application form are true to the best of my/our knowledge and belief and any mis-representation of facts will render me/us liable to any action as may be deemed fit by ICAR-NRC on Mithun.
I/We do hereby also accept ICAR-NRC on Mithun have the right to accept or reject this application and not to issue invitation to Tender to me/us.
I/We undertake to communicate promptly to ICAR-NRC on Mithun any changes in the condition or working of the firm. It is certified that we have not been blacklisted by any organization of Government of India including Central Vigilance Commission (CVC) in the last three years. The undersigned is fully authorized to sign and submit this application form on behalf of the organization, he/she represent. We authorize ICAR to approach individuals, employees, firms and corporations to verify our competence and general reputation.
Signature: ...........................................
Name: ............................................
Designation: .........................................
Address: ............................................
Place: ..................................
Date: .................................
Contract Form
This agreement is made at _______________ on _______________ day of _______________ between ____________________________ (designation of the competent authority in the Instt.) through ____________________________ which term shall include its successors, assignees etc. on the first part and ____________________________ (hereinafter called the Firm) which term shall include its authorized representatives, successor, assignees etc. on the other part.
Whereas the ____________________________ (Institute) has decided to assign the ____________________________ at _______________ to the firm on the terms and conditions. Hereinafter contained.
NOW IT IS HEREBY AGREED by and between the parties hereto as follows:
1. This agreement shall come into force w.e.f. _______________ and will remain in force for a period for one year but can be terminated by ___________ by giving, one calendar month’s notice in writing of its intentions to terminate the Agreement. The Agreement can be renewed, on mutually agreed terms.
2. The firm shall be responsible for annual contract for providing ____________________________ at _______________.
3. Decision of Director, ICAR-NRCM will be final and binding on all parties.
4. The contract can be terminated by giving one month notice on either side and that any notice required to be served shall be sufficiently served on the parties if delivered to them personally or dispatched by the address herein given under registered post. ICAR-NRCM will have no responsibility for any loss/damage caused to them. If any point of time the services of the firm are not found satisfactory and the Director or the agency is not able to perform their part under the agreement for continuous period of 10 days or more, ICAR-NCRM reserves the right to terminate the contract immediately without the notice and in such a case the security deposit will be forfeited.
5. No interest on security deposit and earnest money deposit shall be paid by the Institute to the Tenderer.
6. The conditions of the contract which will govern any contract made are those contained in the general conditions of contract applicable to the contracts placed by the ICAR, and the ICAR-NRCM and the special terms and conditions detailed in the tender forms and its schedules.
7. Director, ICAR-NRC on Mithun reserves the right to reduce or terminate the period of contract or to extend its duration in the interest of the Institute, for any justifiable reasons, not mandatory to be communicated to the tenderer.
8. Decision of the Director, ICAR-NRCM shall be final for any aspect of the contract and binding to all parties. Disputes arising, if any on the contract will be settled at his/her level by mutual consultation and in case of failure of settlement of dispute shall be referred to the sole arbitrator to be appointed by the Director, ICAR-NRCM. The decision of the sole Arbitrator so appointed shall be final and binding on all the parties. Arbitration proceedings shall be governed by the Arbitration & Constitution Act, 1996. The tenderers will have to submit an undertaking to the
effect that they shall agree to the settlement of disputes through such arbitration and they bind their selves/themselves to get by the decision of the arbitrator.
9. The contractor shall not sublet the work without prior written permission of the ICAR-NRCM.
10. This contract is for a period of **one year** initially which may be extended to next one year subject to satisfactory services/performance.
11. Mileage and time will be counted from ICAR-NRCM, Medziphema and back.
12. The dead mileage from garage will not be counted for daily mileage.
13. Toll tax, parking charges etc. (if any) will be paid initially by the contractor which will be reimbursed by the institute on submission of receipt along with the monthly bill.
14. Vehicle should be provided at short notice. Cleanliness of vehicle and its condition should be excellent. The vehicles so requisitioned should be in time.
15. If the agency fails to provide vehicle(s) so requisitioned in time after receiving the message/does not report on time, the office will have a right to hire any other vehicle from the market and the additional cost incurred by the office will be borne by the contractor. The contract is also likely to be cancelled, without assigning any reason.
16. During the call duty of any vehicle with the ICAR-NRCM, if the vehicle is seized or detained by police, Motor Vehicle authority or any other authorities for not having complied with Motor Vehicles Law / Acts etc or on account of any accident, that will be at Contractor’s risk & cost.
17. The vehicle must be registered with motor vehicle authority of Nagaland state. The vehicle provided on hire to the Institute must be commercially registered in RTO office/All India Permit and in well maintained condition. Vehicle must be newer one and not more than three years old as on closing date of tender. Vehicle in defective condition will not be accepted. The vehicle should possess all requisite documents(s) like Registration Certificate, Trade License, valid Insurance, Pollution Control Certificate, Service Tax Registration Certificate and valid License.
18. The driver should observe all the etiquette and protocol while performing the duty. He should have mobile phone connectivity for which no separate payment shall be made.
19. Driver should have a valid driving license issued by any DTO/RTO office with all India validity. Driver must be able to read and write in Hindi/English. He must have at least three year experience of driving such type of vehicle, familiar with path and ways.
20. Dedicated vehicles and drivers must be provided and changes will be allowed only in exceptional cases. Frequent change of the vehicles and driver without assigning valid reasons will not be allowed.
21. The vehicle shall be properly/Comprehensively insured and should carry necessary fitness certificate from concerned authority including pollution certificate. The vehicle must be run on AC, as per need based for which no extra charge will be paid.
22. The agency shall bear all costs on account of fuel, oil, spares, comprehensive insurance, repair and maintenance etc. of the vehicle. The salary/wages and other costs of drivers shall also be borne by the agency.
23. The agency should abide by rules laid down by any authority relevant to the deployment of vehicles.
24. In case of any breakdown of vehicle on duty, the agency shall make arrangement for providing another vehicle immediately. In such a case, mileage from garage to the point of breakdown would not be paid.
25. ICAR-NRCM shall not be responsible for any challan, loss, damage or any accident of the vehicle or to any other vehicles or the driver or to any other third party. The loss or damage or legal expenses on the account shall be borne by the agency.
26. Vehicle shall be made available on all days including Saturdays, Sundays, Holidays & late night also as and when required. The seats and vehicle must be properly cleaned/toweled every day.
27. No advance payment will be made. The approved firm shall submit the bill (in triplicate) at the end of the month along with duty slip/copy of logbook depicting out meter/in meter; total run in kms and out time/in time; total duty period in hours duly certified by the concerned officer who has used the vehicle. No interest is payable on delayed payment.
29. The applicable taxes will be deducted from the bills.
30. All disputes will be subject to Dimapur jurisdiction. The contract will govern by the laws of India for the time being in force.
31. A separate log sheet shall be maintained by the contractor for each call duty in the format approved by ICAR-NRCM. It is required to obtain the distance of user/ authorized officer, in the log sheet with duly filled starting and released date & time and km readings. The same is required to be attached with their respective bills for necessary payment. In case of defective odometer reading, during a small specific period, the distance covered by the vehicle for official purpose shall be assessed by the user/ authorized officer whose decision shall be final and binding. However, infrequent service provider may be exempted from the above clause.
32. No escalation of tender value with respect to the charges in any form whatsoever will be entertained during the contract period and ICAR-NRCM shall not be responsible for any other kinds of claims except hiring charges during the period of contract.
33. That on taking over the responsibility of providing different kinds of vehicles for hiring, the service provider or his representative shall be bound to follow the directions/instructions of the Director, ICAR-NRCM or the designated officer.
IN WITNESS whereof the parties have executed those present on the day, month and year as mentioned above.
Signature:
Name of the Proprietor/Authorized representative:
Name & Address of the Firm
Seal of the firm
Signature of AAO with seal:
(For the Institute)
Witnesses
1. From Firm/Agency with name, address and contact No.______________
2. From Office side name & designation______________
INSTRUCTION FOR ONLINE BIDS SUBMISSION
As per the directives of Department of Expenditure, this tender document has been published on the Central Public Procurement Portal (URL:http://eprocure.gov.in). The bidders are required to submit soft copies of their bids electronically on the CPP Portal, using valid Digital Signature Certificates. The Instructions given below are meant to assist the bidders in registration on the CPP Portal, prepared their bids in accordance with the requirements and submitting their bids online on the CPP Portal.
More information useful for submitting online bids on the CPP Portal may be obtained at: https://eprocure.gov.in/eprocure/app.
REGISTRATION:
1. Bidders are required to enroll on the e-procurement module of the Central Public Procurement Portal (URL:http://eprocure.gov.in/eprocure/app) by clicking on the link “Click here to Enroll”. Enrolment on the CPP Portal is free of charge.
2. As part of the enrolment process, the bidders will be required to choose unique username and assign a password for their accounts.
3. Bidders are advised to register their email address and mobile numbers as part of the registration process. These would be used for any communication from the CPP Portal.
4. Upon enrolment, the bidders will be required to register their valid Digital Signature Certificate Authority recognized by CCA with their profile.
5. Only one valid DSC should be registered by a bidder. Please note that the bidders are responsible to ensure that they do not lend their DSCs to others which may lead to misuse.
6. Bidder then logs in to the site through the secured log-in by entering the user ID/password and the password of the DSC/eToken.
SEARCHING FOR TENDER DOCUMENTS:
1) There are various search option built in the Portal, to facilitate bidders to search active tenders by several parameters. These parameters could include Tender ID, organization name, location, date, value etc. There is also an option to advanced search for tenders, wherein the bidders may combine a number of search parameters such as organization name, form of contract, location, date, other keywords etc. to search for a tender published on the CPP Portal.
2) Once the bidders have selected the tenders they are interested in, they may download the required documents/tender schedules. These tenders can be moved to the respective ‘My Tender’ folder. This would enable the CPP Portal to intimate the bidders through SMS/email in case there is any corrigendum issued to the tender document.
PREPARATION OF BIDS:
1) Bidder should take into account any corrigendum published on the tender document before submitting their bids.
2) Please go through the tender advertisement and the tender document carefully to understand the documents required to be submitted as part of the bid. Please note the number of covers in which the bid documents have to be submitted, the number of documents-including the name and content of each of the document that need to be submitted. Any deviation from these may lead to rejection of the bid.
3) Bidders, in advance, should get ready the bid documents to be submitted as indicated in the tender document/schedule and generally, they can be in PDF/XLS/PRAR/DWF forms. Bid documents may be scanned with 100 dpl wit black and white option.
4) To avoid the time and effort required in uploading the same set of standard documents which are required to be submitted as a part of every bid, a provision of uploading such standard documents (e.g. PAN Card copy, annual reports, auditors certificates etc.) has been provided to the bidders. Bidders can use “My Space” area available to them to upload such documents. These documents may be directly submitted from “My Space” area while submitting a bid, and need not be uploaded again. This will lead to a reduction in the time required for bid submission process.
SUBMISSION OF BIDS:
1) Bidder should log into the site well in advance for bid submission so that he/she upload the bid in time i.e. on or before the bid submission time. Bidder will be responsible for any delay due to other issues.
2) The bidders has to digitally sign and upload the required bid documents one by one as indicated in the tender document.
3) Bidder has to select the payment option as “offline” to pay the tender fee/EMD as applicable and enter details of the instrument.
4) Bidder should prepare the EMD as per the instructions specified in the tender document. The original should be posted/couriered/given in person to the Tender Processing Authority, latest by the last date of bid submission. The details of the DD/any other accepted instruments, physically sent, should tally with the details available in the scanned copy and the date entered during bid submission time. Otherwise the upload bid will be rejected.
5) A standard BOQ format has been provided with the tender document to be filled by all the bidders. Bidders are requested to note that they should necessarily submit their financial bids in the format provided and no other format is acceptable. Bidders are required to download the BOQ file, open it and complete the coloured (unprotected) cells with their respective financial quotes and other details (such as name of the bidders). No other cells should be changed. Once the details have been completed, the bidders should save it and submit it online, without changing the file name. If BOQ file is found to be modified by the bidder, the bid will be rejected.
6) The serve time (which is displayed on the bidders’ dashboard) will be considered as the standard time for referencing the deadliness for submission of the bids by the bidders, opening of bids etc. The bidders should follow this time during bid submission.
7) All the documents being submitted by the bidders would be encrypted using PKI encryption techniques to ensure the secrecy of the data. The data entered cannot be viewed by unauthorized persons until the time of bid opening. The confidentiality of the bid is maintained using the secured Sockets Layer 128 bit encryption technology. Data storage encryption of sensitive field is done.
8) The uploaded tender documents become readable only after the tender opening by the authorized bid openers.
9) Upon the successful and timely submission of bids, the portal will give a successful bid submission message & a bid summary will be displayed with the bid number and the date & time of submission of the bid with all other relevant details.
10) The bid summary has to be printed and kept as an acknowledgement of the submission of the bid. This acknowledgement may be used as an entry pass for any bid opening meetings.
**ASSISTANCE TO BIDDERS:**
1) Any queries relating to the tender document and terms and conditions contained therein should be addressed to the Tender Inviting Authority for a tender or the relevant contact person indicated in the tender.
1. Any queries relating to the process of online bid submission or queries relating to CPP Portal in general may be directed to the 24X7 CPP Portal Helpdesk. The contact number for the helpdesk is **0120-4200462, 0120-4001002, Mobile -91 8826246593 email: support-eproc[at]nic[dot]in.**
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D. Complaints Handling System
D.1 Introduction
Since the DFGG project aims to assist the RGC reform process by encouraging and enabling demand-side citizen involvement in governance and social accountability processes, as well as building the capacity of participating SIs to better respond to demand-side concerns, it is especially important that the design of all project components incorporate mechanisms and processes to address complaints that may arise in the course of project implementation, as a result of their activities or omissions therein.
The DFGG Project, although time-bound, will therefore establish a Complaints Handling System (CHS) that will receive and act upon complaints from citizens or organizations in relation to any occurrences for which the DFGG Project is directly responsible (or believed to be responsible), and which are perceived by the aggrieved party to have involved corrupt, illegal, unjust, or unfair activities, omissions, or behavior.
The CHS will consist of mechanisms and procedures at two levels: (i) the various IAs; and (ii) a Complaints Handling Mechanism (CHM) which will involve the PMT and, as need, the PCG, and will be supported through the MOI’s PCO. These are briefly described below.
What constitutes a ‘complaint’?
For the purposes of the DFGG Project, a complaint is a notification (in written, verbal or electronic form) regarding project activities and/or conduct of staff, consultants, partners and/or sub-contractors of the six IAs, directly or indirectly supporting the project or associated with its implementation, which the complainant believes is wrong, either under the law or on the grounds of unacceptable behavior.
The complainant(s) need not be personally aggrieved or impacted, and may be acting merely in accordance with a sense of civic duty in bringing an occurrence to the attention of project authorities.
All complaints, whether notified by persons who feel personally aggrieved or acting out of a sense of civic duty, will be acknowledged and acted upon by project authorities.
D.2 CHS at the IA level
As such, most of the IAs already have some form of complaints handling already existent – e.g. the AC already has standard procedures and guidelines to handle complaints and related questions with regards to labor disputes that are registered with it. Similarly, MONASRI has a complaints handling department, and the NCDDS shall be using the office of the District
Ombudsman as a means to receive citizen grievances at the local level. The CHS for the DFGG project will aim to build on and strengthen these existing mechanisms.
At the level of an individual IA, it is envisaged that complaints may fall under one of three situations:
(i) the complaint refers to outputs, activities and processes that fall under the IA’s mandate – at first instance, these should be handled by the relevant IA, where it is assumed that an understanding of the concerns raised and options for addressing them will be greatest;
(ii) the complaint refers to an issue outside the mandate and scope of work of the IA – these should be channeled to the appropriate agency; and
(iii) the submission is not a complaint but, in effect, a request for information or clarification – the required information or clarification, if within the scope of the IA, will be provided directly or will be channeled to the appropriate agency, if needed.
In support of this approach, each IA should have a clearly designated focal point, who will receive, screen, and route the submission as appropriate – whether to be handled within the IA, through its internal mechanism, or forwarded elsewhere. If resolution of the complaint through the IA’s internal mechanism is not achieved, the complaint will be referred to the MOI.
D.3 The Complaints Handling Mechanism (CHM) at the MOI
Apart from the individual IA complaints mechanisms, a stand alone Complaints Handling Mechanism (CHM) will be established at the MOI. The MOI’s CHM may receive submissions directly from stakeholders, through the DFGG website, and in written or verbal form (if a phone hotline is established); it may also receive complaints forwarded by the IAs, as noted above. As in the case of the IAs, the CHM will require the screening of submissions for appropriate handling.
The CHM will directly focus on and seek to resolve those complaints (and requests for information or clarification) that pertain to outputs, activities and processes undertaken by the DFGG Project, i.e., those which (i) are described in this PIM; (ii) are funded through the DFGG Project (including counterpart funds); and (iii) are carried out by staff or consultants of the six IAs, or by their partners and sub-contractors, directly or indirectly supporting the project.
It is envisaged that such cases would fall under (but are not limited to) the following categories:
(i) request for information, comment or suggestion, e.g., request for clarification as to the delay in reimbursing expenses of participants in a given training event;
(ii) violation of rights or non-performance of obligations, e.g., complaint by consultant or firm whose contract is suspended as a result of presumed poor performance or non-delivery of agreed-upon outputs;
(iii) grievances or offenses involving a violation of law, e.g., allegations of corruption; and
(iv) complaints against project staff, members of project committees, consultants, and sub-contractors involved in project implementation, e.g., allegation of bias in the awards of the GMC for Component 2.
Examples of activities or events which the CHM at the MOI will not address would be:
- opinions given by callers to the RNK talk-back program;
- awards regarding labor disputes issued by the Arbitration Council;
- application of laws which are under the purview of MONASRI;
- the types and extent of services provided by the One Window Service Office;
- the results of social accountability audits carried out by an NSA grant recipient; and
- opinions about government programs outside the mandate of the DFGG Project, voiced by participants in learning and communication activities conducted under Component 3B.
In the event that complaints are received concerning such activities, these will be acknowledged and then passed on to the relevant agency for appropriate handling.
**Institutional Arrangements for the CHM at the MOI**
The CHM at the MOI will not require an additional institutional structure but will draw on existing resources through the following:
(i) **Complaints Committee**: To ensure fairness, oversee due diligence, and coordinate as needed across IAs in the handling of complaints, a Complaints Committee (CC) will be constituted. The CC will have a maximum of six members, the core of which will be drawn from the PMT (the DFGG Project Director and two other Project Directors from the IAs\(^1\)). The CC will also include the PCO Internal Auditor. In addition, to ensure neutrality, the committee will include, one or two respected representatives of the non-state sector, to be nominated by the GMC of Component 2 or from within the Advisory Committees of the various components and subcomponents. A representative from the RTO (to be engaged to facilitate implementation of Component 3B) will also be invited to participate as an observer. The Project Director will chair the Committee meetings.
(ii) **PCO support**: Overall responsibility for managing the CHM at the MOI will be held by the Project Director. A staff of the MOI’s PCO will be appointed as the focal point for undertaking the day-to-day tasks associated with the various steps of the process described below. It is anticipated that staff from the MOI Inspection Unit may join the PCO to undertake these support tasks.
---
\(^1\) These may be selected to serve on the Committee for a given period of time (e.g., one year) or on an ad-hoc basis, depending on the nature of the case brought before the Committee.
Figure 1 below summarizes the key features of the CHS of the DFGG Project, differentiating between the mechanisms that are foreseen within each IA and that which would become available at the MOI through its PCO.
**Figure 5: Key Features of the DFGG Project Complaints Handling System**
- Receipt of complaints via IA or project website, letter or phone
- IA/PCO registers, acknowledges, and screens submission
- IA/PCO refer to appropriate agency if not project-related ...
- IA handles through its CHM
- IA reports case to MOI if not resolved successfully within the IA
- PCO Focal Point prepares brief
- Complaints Committee assesses case
- Case is resolved
- Complaints Committee reports case to PCG if not resolved successfully within CC
- Case goes to DPM if not solved by PCG
- Inform complainant
- Record in IA/PCO files
- Disclose results on IA/project website
- Report to CC and PCG
D.3 Key Principles of the CHS
The principles upon which the DFGG CHS will be founded are:
- **Accessibility**: There will be alternative entry points to access the CHS. Complaints may be submitted through any of the IAs or to the MOI PCO. Complaints may be submitted in writing, by phone, or through the DFGG Project website. Complaints may be made by or on behalf of an individual, a community, or an organization. Individual communities and citizens may submit complaints either directly, or through a proxy organization, such as a NGO or trade union. The CHS, its structure and processes will be kept simple so as to be easily understood by all citizens and stakeholders.
- **Outreach**: Information about the CHS, and the alternative ways to access it, will be posted on the DFGG Project website, and will be presented and explained during DFGG Project orientation activities. Project publications, especially those targeting citizens, communities, and NSAs, will contain key information detailing the alternative channels for submitting complaints and explaining the process involved.
- **Neutrality**: To ensure fairness in the handling of complaints, a *Complaints Committee* (CC) will be established. The core of the CC will be drawn from the PMT, but will also include a respected and neutral representative of the non-state sector and a representative from the Research and Training Organization engaged to facilitate implementation of Subcomponent 3B (see Institutional Arrangements below). Committee members will absent themselves from committee business in the event that they or their agency are the subject of a complaint.
- **Responsiveness**: Receipt of all submissions will be acknowledged by the IA and by the PCO (as appropriate) within five working days. Consideration of valid complaints by the Complaints Committee will occur within 30 working days, giving time for collection and examination of evidence if required. Additional time may be required for negotiation with aggrieved parties, but resolution should not exceed 45 working days.
- **Openness and transparency**: The project will keep a record of all complaints submitted, including their outcomes, and details of time taken to consider and resolve the complaints. A regularly up-dated summary of this record will be posted on the DFGG Project website, and will be available to stakeholders and the media.
- **Anonymity and confidentiality**: Citizens submitting complaints may request anonymity, in which case their names will not be made public through the website or released to the media. Confidentiality will also be observed during the period in which the Complaints Committee is considering a case (e.g., the source and any person, company or entity accused of wrongdoing should be protected).
- **Flexibility**: The overall DFGG Project CHS and the CHM at the MOI more specifically, will remain flexible in order to ensure alignment with the evolving mechanisms and processes within the other participating IAs, and to be able to incorporate the lessons and experience that will be made available in the course of project implementation. To this end, the overall CHS and the CHM at the MOI will be subject to stakeholder review at least annually.
D.4 Key Steps and Processes for Handling Complaints in the CHM
The following is a summary of the key steps and processes for handling complaints at the CHM that will be established at the MOI:
1) **Receipt, registration, and acknowledgement of submissions**: In all cases, acknowledgement should be provided to the complainant within five working days.
2) **Screening of submissions**: Complaints which are not related to an area of DFGG Project responsibility will be forwarded to the relevant authority. All other submissions will be sent to the CC for consideration.
3) **Preparation of the case brief**: For all cases which are to be sent to the CC, the PCO focal point will prepare a brief report summarizing the origin and nature of the complaint, the proposed action to be taken, and the scope of the response to be provided. This report will be presented to the CC, along with the original complaint.
4) **Informing the World Bank**: In cases where a complaint might, if substantiated, involve a breach of the IDA legal agreements, the Bank’s Task Team Leader must be notified immediately and be kept informed of the investigation process and its outcome.
5) **Assessment**: Reports on complaints will be reviewed by the CC, observing the principles of neutrality and responsiveness indicated above.
- Initially, the Committee should consider all complaints **within 10 working days of receipt** of the brief. The Committee will preferably consider cases when it comes together for the monthly PMT meetings. However special meetings should be convened to consider cases where the nature of the complaint requires urgent action.
- Where appropriate, the Committee may order further investigations and will designate one Committee member to oversee them. The PCO focal point may be called upon to obtain additional information on the case. The CC may also request that the RTO assist in further investigation and analysis of the case.
- Persons, companies or entities accused of wrongdoing must be given a fair opportunity to present their side of the case.
- The aim should be to have sufficient facts for **adjudication within 15 working days** after the case is presented to the Committee.
- In cases where investigations are complex and unavoidably take longer, the complainant should be notified of progress at two-week intervals.
- Deliberations of the CC will be by consensus.
6) **Response**: A formal response to the complainant will be issued in all cases, informing (i) whether the case was brought before the CC or was forwarded to another agency (and explaining why); (ii) what the outcome of the CC’s deliberations were; and (iii) what follow-up actions are to be carried out.
7) **Disclosure**: Public disclosure (e.g. on the DFGG Project website) of the complaint, results of the assessment, and follow-up actions recommended by the Committee should be made once the Committee decision is reached, observing, however, the principle of anonymity and confidentiality as may be requested or required under certain cases.
8) **Record-keeping**: The PCO focal point will keep records of the cases received, where and when they were routed, and the outcomes of the resolution process. For each case, all notes, memos and letters relating to a complaint and its investigation, must be maintained for review for a minimum of two years after the completion of the project. A summary report of the activities of the DFGG Complaints Committee, listing all complaints, responses, and processing times, will be submitted to each meeting of the Project Coordination Group. In addition, the PCO should maintain a **Complaints Book** (or computer file) which should include for all complaints the following:
- reference number,
- date and time of receipt,
- mode of receipt,
- person receiving;
- complainant’s name and contact details (these should be recorded and cross-referenced in separate book/file, to protect source);
- details of complaint;
- date first considered and further investigations ordered;
- summary of investigation findings;
- date of final consideration, decision reached, agreed action;
- date of notifying complainant and other concerned parties of decision and remedial action;
- date of follow-up to check that remedial action has been taken; and
- date of case closure
The Table below summarizes the roles and responsibilities of the MOI and the Complaints Committee in the DFGG CHM.
### DFGG CHM: Roles and Responsibilities of the MOI and the Complaints Committee
| MOI PCO Project Coordinator | DFGG Complaints Committee composed of: | PCG/DPM |
|-----------------------------|--------------------------------------|---------|
| • provides oversight of day-to-day processes | • DFGG Project Director
• 2 IA Project Directors
• MOI Internal Auditor
• 1 or 2 representatives of civil society | • consider/resolve appeals |
| MOI PCO Focal Point | Roles | |
| • receives | • assesses/resolves cases | |
| • registers | • refers cases, if not successfully resolved to PCG | |
| • screens | | |
| • prepares brief | | |
| • records discussion | | |
| • informs of results | | |
| • provides reports for PMT and PCG | | |
| MOI Inspection Unit | | |
| • provides support to Focal Point | | |
D.5 Right of Appeal and Alternative Mechanisms
In the event that a positive resolution of a complaint cannot be reached within 45 working days and no explanation is provided by the PCO as to why further time is needed to adequately consider the case, or if the aggrieved party is unsatisfied with a decision of the Complaints Committee, the matter may be referred to the next meeting of the PCG for consideration. If the PCG cannot resolve the issue, the PCG will refer the matter to the Minister of Interior for resolution.
In addition, incidents of corruption in relation to the use of DFGG Project funds, including unsound procurement activities, or improper use of equipment procured or purchased with DFGG funds, by staff appointed to the DFGG Project, by official partners of the participating IAs, by sub-contractors, or by NSA grant recipients, can also be channeled to the Government’s Anti-Corruption Working Group established in MONASRI. At any time, a complainant retains the right to utilize the Cambodian court system.
The complainant may also utilize the complaints and remedies mechanism of the World Bank. Cases of fraud and corruption should be directed to the Office of Integrity (INT) of the WB.
|
On Adopting Kripke Semantics in Set Theory
Incurvati, L.
DOI
10.1017/S1755020308080088
Publication date
2008
Document Version
Final published version
Published in
Review of Symbolic Logic
Citation for published version (APA):
Incurvati, L. (2008). On Adopting Kripke Semantics in Set Theory. Review of Symbolic Logic, 1(1), 81-96. https://doi.org/10.1017/S1755020308080088
ON ADOPTING KRIPKE SEMANTICS IN SET THEORY
LUCA INCURVATI
University of Cambridge
Abstract. Several philosophers have argued that the logic of set theory should be intuitionistic on the grounds that the open-endedness of the set concept demands the adoption of a nonclassical semantics. This paper examines to what extent adopting such a semantics has revisionary consequences for the logic of our set-theoretic reasoning. It is shown that in the context of the axioms of standard set theory, an intuitionistic semantics sanctions a classical logic. A Kripke semantics in the context of a weaker axiomatization is then considered. It is argued that this semantics vindicates an intuitionistic logic only insofar as certain constraints are put on its interpretation. Wider morals are drawn about the restrictions that this places on the shape of arguments for an intuitionistic revision of the logic of set theory.
1. Introduction: Philosophical preliminaries. One of the central features of the concept of set is its open-endedness: whenever we succeed in defining a totality of sets, we can define a larger totality by an application of the set of operation. That the set concept is open-ended is the main lesson that should be drawn from the set-theoretic paradoxes. Russell’s paradox, for instance, tells us that the supposition that we have succeeded in defining the set of all sets that are not members of themselves leads to a contradiction. The contradiction is removed by assuming that there can be no such set, and the reason why there can be no such set is that the concept of set is open-ended.
The ensuing philosophical discussion has focused on the possibility of articulating a conception of set that captures and indeed motivates the set concept’s open-endedness. The iterative conception of set constitutes an attempt to articulate such a conception. On the iterative conception, sets are formed in stages. In the beginning, we have individuals, or Urelemente, as they are sometimes called. At stage zero, the set containing all previous elements is formed. If there are no individuals, this set is the empty set. At any finite stage, any sets formed at earlier stages are collected into a set. After the finite stages come the infinite ones corresponding to the ordinals $\omega$, $\omega + 1$, $\omega + 2$, $\omega + \omega$, etc. At limit stages, we form sets corresponding to arbitrary collections of items formed at earlier stages. The resulting picture of the set-theoretic universe as a cumulative hierarchy divided into levels\(^1\) provides a heuristic motivation for (at least some of) the axioms of standard set theory –
\(^1\) The picture is captured by the following definition by transfinite recursion. Let $\alpha$ be an ordinal. Then, the levels of the hierarchy, $V$, are organized as follows:
$$V_0 = \{x : x \text{ is an individual}\};$$
$$V_{\alpha+1} = V_\alpha \cup P(V_\alpha);$$
$$V_\lambda = \bigcup_{\alpha < \lambda} V_\alpha \text{ if } \lambda \text{ is a limit ordinal.}$$
by which I mean, as usual, ZFC, i.e. first-order Zermelo-Fraenkel set theory (ZF) with the axiom of choice (AC).\footnote{For a statement and discussion of this and other well-known axioms mentioned in this paper, see Jech (2003).}
Thus, philosophical debate has traditionally centered around the consequences that the open-endedness of the set concept has for the choice of the \textit{axioms} of set theory. More recently, however, it has been suggested that this open-endedness also has consequences for the \textit{logic} of set theory.\footnote{Of course, some philosophers have claimed that a proper understanding of the set-theoretic paradoxes already demands a revision of the logic of set theory rather than of its principles. See, e.g., Weir (1998).} In particular, several philosophers have drawn on the set concept’s open-endedness in formulating arguments for an \textit{intuitionistic} revision of the logic of our set-theoretic reasoning.
The most notable example are perhaps Michael Dummett’s arguments from indefinite extensibility (Dummett, 1991, 1993). According to Dummett, the concepts defining all the fundamental mathematical theories are indefinitely extensible, which in the case of the set concept is open-endedness. He argues that the indefinite extensibility of these concepts makes it impossible for us to have a definite conception of what elements belong to the domain of such theories. But mathematical truth does not outrun our conception of the objects that fall under a mathematical concept. So, he concludes, quantified statements ranging over \textit{all} the objects falling under an indefinitely extensible concept must be understood as embodying a claim to cite an instance or an effective operation. And the logic governing such statements is not classical but intuitionistic.\footnote{Velleman (1993) accepts Dummett’s arguments from indefinite extensibility but denies that the concept of natural number is indefinitely extensible. His position is therefore one that retains classical logic in the domain of arithmetic but endorses an intuitionistic reading of the quantifiers in the domains of analysis and set theory.}
A revisionary argument along similar lines has been offered by Lear (1977). He argues that the open-endedness of the set concept gives rise to a tension that can be solved only by taking the extension of ‘set’ and the range of the set-theoretic quantifiers as depending on our conceptual development. He then claims that a Kripke semantics captures our understanding of set theory once the extension of set is taken as changing over time. This, he contends, vindicates the adoption of intuitionistic logic in set theory.
A related view has been expressed by Tait (1998). According to him, the open-endedness of the set concept, exemplified by the iterative conception, precludes any mathematical characterization of the universe of all sets. It is not possible to speak of the universe of all sets as a well-defined extension. So when we affirm the truth of a proposition about the universe of all sets, we do so on the basis of operations for constructing sets that we have already accepted. For this reason, the logic that applies to quantified statements, when these are interpreted as ranging over all sets, is not classical but intuitionistic.\footnote{Saul Kripke is often referred to as the first person to suggest that the open-endedness of the set concept might be made sense of by construing the set-theoretic quantifiers intuitionistically rather than classically. See Benacerraf & Putnam (1983, p. 29), Lear (1977, p. 94, fn. 15), and Parsons (1974, p. 47, fn. 20), who also attributes the view to Lawrence Poszgay. More recently, Kripke has been credited with the idea that statements about all sets have a schematic character and should be expressed using free variables. See Parsons (2006, p. 218, fn. 34).}
semantics has revisionary consequences for the logic of set theory. I begin by showing that in the context of the axioms of standard set theory, an intuitionistic semantics sanctions a classical logic. I then turn to a weaker axiomatization and consider what happens when we adopt a Kripke semantics in the context of such axiomatization. The focus on this semantics is motivated by 2 considerations. First, as already noticed, Lear’s argument proceeds from the set-concept’s open-endedness to an intuitionistic revision of the logic of set theory via the adoption of a Kripke semantics. Thus, exploring whether such a semantics vindicates an intuitionistic logic will help us to assess one of the above-mentioned revisionary arguments. Second, and most importantly, Kripke semantics seems to be the standard semantics for intuitionistic set theory.\(^6\) So when discussing the need for a nonclassical semantics in set theory, Kripke semantics stands as the natural candidate to consider. The results are mixed. Although a Kripke semantics does sanction an intuitionistic logic, it does so only insofar as we put certain constraints on its interpretation. And these constraints are ones that are incompatible with Lear’s argument. I end by drawing wider conclusions about the restrictions that this places on the shape of revisionary arguments in set theory.
**2. Nonclassical semantics and standard set theory.** When addressing the need for a nonclassical semantics in set theory, it is very natural to begin by considering what happens when we adopt such a semantics in the context of the axioms of current standard set theory. And, as I mentioned earlier, it is commonplace to take this set theory to be \( \text{ZFC} \). For example, when mathematicians say that what they prove can be formalized in set theory, what they usually mean is that it can be formalized in \( \text{ZFC} \). Moreover, many set theorists seem to think that if something has been proved with the axiom of constructibility\(^7\) (\( V=L \)) or with some large cardinal axiom, it has been proved from an assumption. Thus, it does not come as much of a surprise that Lear, when discussing the virtues of a Kripke semantics in accounting for the strength of our set-theoretic assertions, takes the axiomatic basis of his theory to be that of \( \text{ZFC} \). Indeed, sometimes he seems to suggest that our current state of information is such that we \( \textit{know} \) the axioms of \( \text{ZFC} \).\(^8\) What the open-endedness of the set concept implies, he seems to think, is only that our conception of the cumulative hierarchy could expand in such a way that, for instance, we recognize the existence of an inaccessible cardinal\(^9\) or of sets that are not constructible.
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\(^6\) A search through the relevant literature reveals that a Kripke semantics has been used in the context of various intuitionistic set theories to, e.g., prove completeness theorems (Powell, 1976), compare the strength of closely related theories (Goodman, 1985), and provide independence results (Lubarski, 2005).
\(^7\) Let \( \alpha \) be an ordinal. Then, the levels of the constructible hierarchy, \( L \), are organized as follows:
\[
L_0 = \{ x : x \text{ is an individual} \};
\]
\[
L_{\alpha+1} = \text{def}(L_\alpha), \text{ i.e., the sets of all sets that are first-order definable over } L_\alpha;
\]
\[
L_\lambda = \bigcup_{\alpha < \lambda} L_\alpha \text{ if } \lambda \text{ is a limit ordinal.}
\]
The hypothesis of constructibility is the assertion that all sets are constructible.
\(^8\) See Lear (1977, pp. 97–98).
\(^9\) A cardinal \( \kappa \) is \textit{inaccessible} if and only if (i) \( \kappa > \omega \); (ii) if \( \alpha \) is a cardinal less than \( \kappa \), then \( 2^\alpha < \kappa \); and (iii) if \( (\alpha_i)_{i \in I} \) is a family of cardinals less than \( \kappa \), indexed by a cardinal \( i < \kappa \), then \( \bigcup_{i \in I} \alpha_i < \kappa \). Clause (ii) guarantees that the cardinality of the powerset of a cardinal smaller than an inaccessible is also smaller than it. Clause (iii) guarantees that the union of fewer than \( \kappa \) cardinals each of cardinality less than \( \kappa \) is still less than \( \kappa \). This means that an inaccessible
Natural as this suggestion might seem, far from vindicating an intuitionistic logic, it sanctions a classical logic. The reason is that the law of excluded middle (LEM) follows intuitionistically from the axioms of ZFC, thus making the logic of set theory classical even when we adopt a Kripke semantics – indeed, any intuitionistic semantics – for it. For let $Z_0$ be the theory in which the axioms of empty set, extensionality, separation, and unordered pairs hold. Then we have the following:
**Theorem 1.** AC intuitionistically implies LEM in the presence of the axioms of $Z_0$.
We give a proof of the theorem that makes use of a weaker assumption than AC, viz., that each doubleton has a choice function.
**Proof.** Consider the sets $0 = \emptyset$, $1 = \{0\}$, and $2 = \{0, 1\}$, whose existence is guaranteed by the axioms of empty set and unordered pairs, and use the axiom of separation to define the sets $a = \{x \in 2 | x = 0 \lor \varphi\}$ and $b = \{x \in 2 | x = 1 \lor \varphi\}$. Now suppose given a choice function $f$ on the set $\{a, b\}$, which exists by the axiom of unordered pairs. We then have $f(a) \in a$ and $f(b) \in b$, i.e., $(f(a) = 0 \lor \varphi) \land (f(b) = 1 \lor \varphi)$. Hence, $f(a) = 0 \land (f(b) = 1 \lor \varphi)$, from which it follows that $f(a) \neq f(b) \lor \varphi$. On the other hand, by the axiom of extensionality, $\varphi \rightarrow a = b \rightarrow f(a) = f(b)$, which implies that $f(a) \neq f(b) \rightarrow \neg \varphi$. But $f(a) = f(b) \lor f(a) \neq f(b)$ even intuitionistically. So we obtain LEM. □
Essentially, this is a particular case of a category-theoretic result of Diaconescu, which states that AC implies that the logic of a topos must be classical.\(^{10}\)
Changing the semantics of standard set theory, therefore, does not suffice to change its logic. Although Lear’s argument proceeds by arguing for the adoption of a Kripke semantics in the context of the ZFC axioms, however, it need not do so. Indeed, none of the revisionary arguments under consideration need to assume the truth of the axioms of standard set theory. What these arguments do need is that the set concept exhibits the kind of open-endedness which is captured by the iterative conception. And it is at least controversial whether the iterative conception justifies AC. Indeed, the received view is probably that the iterative conception does not justify AC.\(^{11}\) In what follows, therefore, I will focus on an axiomatization which does not include AC.
Before moving on to assess the revisionary consequences of the adoption of a Kripke semantics in set theory, a further remark concerning the choice of the axioms is in order. For, even dropping AC and adopting an intuitionistic semantics in the context of some axiomatizations of ZF still sanction a classical logic. The reason is that, quite surprisingly but very straightforwardly, the usual formulation of the axiom of foundation – which states that every nonempty set $u$ contains an $\in$-minimal element, i.e., an element disjoint from $u$\(^{12}\)
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\(^{10}\) See Diaconescu (1975). Goodman & Myhill (1978) prove that AC implies LEM within CST, a constructive set theory introduced by Myhill (1975). For an extensive discussion of Diaconescu’s theorem, as well as of the relation between AC and other choice principles on the one hand and classical logic and constructive logics on the other, see DeVidi (2004).
\(^{11}\) The locus classicus is Boolos (1971). See also Boolos (1989) and Paseau (2007) for discussion.
\(^{12}\) Formally: $\forall x(x \neq \emptyset \rightarrow \exists y(y \in x \land \neg \exists z(z \in x \land z \in y)))$.
– intuitionistically implies LEM in the presence of the other axioms of ZF. More precisely, we have the following.
**Theorem 2 (Myhill).** The axiom of foundation intuitionistically implies LEM in the presence of the axioms of Z0.
**Proof.** Consider again the sets 0, 1, and 2, defined as above, and use the axiom of separation to define the set \(a = \{x \in 2 \mid (x = 0 \land \varphi) \lor x = 1\}\). Clearly, \(a\) is nonempty, since \(1 \in a\). Hence, by the axiom of foundation, it has an \(\varepsilon\)-minimal element, i.e., \(\exists y((y \in 2 \land ((y = 0 \land \varphi) \lor y = 1)) \land \neg \exists z(z \in a \land z \in y))\). If the \(\varepsilon\)-minimal element of \(a\) is 0, \(\varphi\) must hold. If, on the other hand, the \(\varepsilon\)-minimal element is 1, \(\neg \exists z(z \in a \land z \in 1)\), and so \(\neg(0 \in a \land 0 \in 1)\). Since \(0 \in 1\) and \(\neg(\varphi \land \psi) \land \varphi \rightarrow \psi\) is intuitionistically valid, we can conclude \(0 \not\in a\). But, by definition of \(a\), this is equivalent to \(\neg \varphi\). Hence, LEM must hold. \(\square\)
This is the reason why in intuitionistic ZF, usually called ZFI,\(^{13}\) the version of foundation as a principle of transfinite induction on \(\varepsilon\)^{14} is preferred to the standard version of foundation. For, although classically equivalent, the 2 principles are not intuitionistically equivalent, and LEM cannot be derived in ZFI.\(^{15}\) In this connection, it is worth noticing that Lear himself mentions Powell (1976) as the first person, to his knowledge, to make use of a Kripke semantics in set theory. And indeed Powell does use such a semantics to provide a completeness theorem for ZF. He then goes on to conclude, rightly, that there seems to be no general method for verifying LEM within that framework. But this conclusion only follows because he uses an axiomatization of ZF in which the standard version of foundation is replaced by \(\varepsilon\)-induction. In the remainder of this paper, I will assume, unless otherwise stated, that we are working in the context of the axiomatization of ZF that Powell is considering. For simplicity, I will refer to it as ZFI. This will enable us to properly assess the revisionary consequences of the adoption of a Kripke semantics in set theory. It is to this issue that we now turn.
### 3. Must a Kripke model for set theory be linear?
First, however, we need to introduce some key definitions and terminology. A *Kripke model* is a structure indexed by a set \(T\) of times \(t\), called the *nodes* of the model, partially ordered by the relation \(\leq\). For each \(t \in T\), \(\mathcal{D}(t)\) is the domain of sets at \(t\), with the restriction that if \(t \leq t'\), then \(\mathcal{D}(t) \subseteq \mathcal{D}(t')\). Moreover, to each \(t \in T\) and each \(\mathcal{D}(t)\) is associated a set of sentences which hold true at \(t\). When a sentence \(\phi\) holds true at \(t\), \(t\) is said to *force* \(\phi\), symbolized by ‘\(t \Vdash \phi\)\’. The relation \(\Vdash\) is monotonic – i.e., if \(t \Vdash \phi\) and \(t' \geq t\), then \(t' \Vdash \phi\) – and recursively defined as follows:
1. \(t \Vdash \phi(c_1, \ldots, c_k) \iff \phi(c_1, \ldots, c_k)\) holds at \(t\), if \(\phi\) is atomic.
2. \(t \Vdash \phi \land \psi \iff t \Vdash \phi\) and \(t \Vdash \psi\).
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\(^{13}\) ZFI was introduced by Myhill (1973) as the result of joint work with Harvey Friedman. For a survey of ZFI and other intuitionistic set theories, see Troelstra & van Dalen (1988, pp. 619–635).
\(^{14}\) That is: \(\forall x(\forall y \in x \varphi(y) \rightarrow \varphi(x)) \rightarrow \forall x \varphi(x)\).
\(^{15}\) More precisely, \(\varepsilon\)-induction is a contrapositive of the schema: \(\exists x \varphi(x) \rightarrow \exists x(\varphi(x) \land \forall y \in x \neg \varphi(y))\). In the presence of the other axioms of ZF, all other instances of this schema follow from the standard version of foundation.
(3) \( t \models \phi \lor \psi \iff t \models \phi \text{ or } t \models \psi \).
(4) \( t \models \neg \phi \iff \text{for all } t' \geq t, t' \not\models \phi \).
(5) \( t \models \phi \rightarrow \psi \iff \text{for all } t' \geq t, \text{if } t' \models \phi, \text{then } t' \models \psi \).
(6) \( t \models \exists x \phi x \iff \text{there is an } s \in D(t) \text{ such that } t \models \phi(c_s) \).
(7) \( t \models \forall x \phi x \iff \text{for all } t' \geq t \text{ and all } s \in D(t'), t' \models \phi(c_s) \).
Paseau (2001, 2003) claims that in set theory, adoption of a Kripke semantics does not vindicate an intuitionistic logic, since, he argues, the relevant Kripke model validates the weak law of excluded middle (WLEM), i.e., \( \neg \phi \lor \neg \neg \phi \), which is not intuitionistically valid. Paseau’s argument is based on the following model-theoretic result:
**Proposition 3.** A directed Kripke model\(^{16}\) validates WLEM.
**Proof.** If \( \phi \) is forced at some later node \( t_l \), the directedness of the model ensures that for all \( t \) subsequent to the present time \( t_0 \), there is a later time at which \( \phi \) is forced, i.e., for all \( t \geq t_0 \), there is a \( t' \geq t \) such that \( t' \models \phi \). This means that for all \( t \geq t_0 \), \( t \not\models \neg \phi \), which, in turn, means that \( t_0 \models \neg \neg \phi \). If, on the other hand, \( \phi \) is never forced, then for all \( t \geq t_0 \), \( t \not\models \phi \), which means that \( t_0 \models \neg \phi \).\(^{17}\)
Paseau aims to show that in set theory, adoption of a Kripke semantics does not vindicate an intuitionistic logic by showing that the relevant Kripke model satisfies a property stronger than directedness, viz. linearity,\(^{18}\) thereby validating WLEM. In this connection, it is worth pointing out that the logics to which directed and linear Kripke models, respectively, give rise – although both intermediate between intuitionistic and classical logic – are different. For while directed Kripke models sanction LQ, the logic one obtains by adding WLEM to any standard system for intuitionistic logic, linear Kripke models sanction LC, the (stronger) logic one obtains by adding the linearity axiom \( (\phi \rightarrow \psi) \lor (\psi \rightarrow \phi) \) to it.\(^{19}\) In fact, we have the following result.
**Proposition 4.** A linear Kripke model validates \( (\phi \rightarrow \psi) \lor (\psi \rightarrow \phi) \).
**Proof.** If \( \phi \) is never forced at any time subsequent to the present time \( t_0 \) – i.e., for all \( t \geq t_0 \), \( t \not\models \phi \) – it is vacuously the case that \( t_0 \models \phi \rightarrow \psi \), similarly for the case where \( \psi \) is never forced. So suppose there are \( t_1, t_2 \geq t_0 \) such that \( t_1 \models \phi \) and \( t_2 \models \psi \), and take each to be
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\(^{16}\) A Kripke model is *directed* if and only if for all \( t, t' \) there is a \( t'' \) such that \( t \leq t'' \) and \( t' \leq t'' \).
\(^{17}\) Notice that this proof is nonconstructive, since it assumes that either \( \phi \) is forced at some time \( t \) or it is not. On these grounds, Hazen (1982) argues that the result does not undermine the adequacy of directed Kripke models for intuitionistic logic, since an intuitionist might have an argument for disallowing the use of classical reasoning over the nodes of the model. As Paseau (2003, p. 390) points out, however, this requires a different, more general argument to the effect that the correct logic for reasoning about time or modality should be nonclassical, whereas the revisionary arguments we are concerned with do not call into question classical reasoning for domains other than set theory or mathematics in general.
\(^{18}\) A Kripke model is *linear* if and only if for all \( t, t', t \leq t' \) or \( t' \leq t \).
\(^{19}\) Details of the proof and model theory of LQ are discussed in Akama (1991). LC was first introduced by Gödel (1932) in order to show that intuitionistic logic does not admit a characteristic finite matrix and was later axiomatized by Dummett (1959), which is why it is also known as *Gödel–Dummett logic*. For a survey of the literature on intermediate logics up to 1970, see Hosoi & Ono (1973).
the earliest such. Then, the linearity of the model ensures that \( t_1 \leq t_2 \) or \( t_2 \leq t_1 \). If \( t_1 \leq t_2 \), \( t_0 \models \psi \rightarrow \phi \), while if \( t_2 \leq t_1 \), \( t_0 \models \phi \rightarrow \psi \).
Paseau (2001, pp. 373–374) considers 2 possible interpretations of the nodes of a Kripke model for set theory: a *temporal* interpretation, according to which the nodes of the model are temporal knowledge states, and a *modal* interpretation, according to which the nodes are possible knowledge states.\(^{20}\) He argues that on both interpretations the linearity condition is secured and the Kripke model validates a logic stronger than the intuitionistic one. In what follows, I will restrict attention to the modal interpretation, since I think that Paseau’s argument for the linearity condition is successful on the temporal interpretation.\(^{21}\) Moreover, the modal interpretation is the standard interpretation of the nodes of a Kripke model and arguably the one that Lear is endorsing.\(^{22}\) Hence, focusing on this interpretation will enable us to evaluate Lear’s argument while assessing the viability of Kripke semantics as a semantics for intuitionistic set theory.
On the assumption that a possible knowledge state consists in a model of set theory, Paseau’s reasoning to obtain the linearity condition is as follows (where \( V_\kappa \) is a segment of the hierarchy of inaccessible height):
The axiom of choice implies that all cardinals are comparable. Combined with Zermelo’s proof that the natural models for set theory are the \( V_\kappa \), this shows that the models of set theory are linearly ordered by inclusion – they inherit the cardinal ordering. An immediate consequence of this objective linear order is that the possible knowledge states are themselves linearly ordered. (Paseau, 2001, p. 374)
Now the Comparability of Cardinals, although not provable in \( \text{ZF} \), is provable in \( \text{ZFC} \). Indeed, it is equivalent to \( \text{AC} \) over the axioms of \( \text{ZF} \). Paseau’s reasoning does not need \( \text{AC} \), however, since the levels of the hierarchy, rather than being indexed by cardinals, are indexed by ordinals, and the ordinals can be shown to be comparable without \( \text{AC} \).\(^{23}\) Although Paseau’s argument does not require \( \text{AC} \), however, it does seem to require classical reasoning about sets in the metatheory. Suspicion on this matter is raised by the fact that
\(^{20}\) Paseau (2003, pp. 386–391) also considers a ‘many models’ interpretation, as opposed to the temporal and modal versions of the ‘many nodes’ interpretation. According to the ‘many models’ interpretation, the class of valuations with respect to which the notion of semantic consequence is defined is constituted by different possible Kripke models. The arguments that I offer below concerning the modal version of the ‘many nodes’ interpretation straightforwardly carry over to the ‘many models’ interpretation.
\(^{21}\) The argument is straightforward: “assuming that the temporal evolution of set theory unfolds linearly, this temporal Kripke model must accordingly be linearly ordered” (Paseau, 2003, p. 389). To be sure, the argument rests on the physical assumption that time is linear, but a discussion of this assumption lies beyond the scope of this paper.
\(^{22}\) The evidence that Paseau (2001, p. 373, fn. 7) offers for a temporal interpretation of Lear’s text, alongside a modal interpretation, is unconvincing. For instance, when Lear (1977, p. 93, my italics) says that “the points \( t \) are points *in* time in the development of set theory,” he might simply be taken as saying that to every possible knowledge state is associated a time.
\(^{23}\) To stress: it is true that the models will all be segments of the hierarchy of inaccessible height, which might suggest that \( \text{AC} \) is needed to prove that they are linearly ordered. The cardinality of the models, however, does not prevent us from indexing them by means of ordinals in the usual way, which makes it possible to prove that they are linearly ordered without \( \text{AC} \).
the argument needs the Comparability of Ordinals, which is yet another case of a statement which is problematic in intuitionistic set theory. In fact, we have the following.\footnote{See Aczel \& Rathjen (2000/2001, section 9-2).}
**Theorem 5.** The Comparability of Ordinals intuitionistically implies LEM in the presence of the axioms of $\mathsf{Z}_0$.
**Proof.** Consider the sets $0$, $1$, and $2$, defined as before, and use the axiom of separation to define the set $\alpha = \{x \in 2 | x = 0 \land \varphi\}$. Clearly, $\alpha$ is an ordinal, since $\alpha \subseteq 1$. By the Comparability of Ordinals and the usual set-theoretic definition of ordering, we then have $\alpha \in 1 \lor \alpha = 1$. If $\alpha \in 1$, then $\alpha = 0$, which implies $\neg \varphi$ by definition of $\alpha$. If $\alpha = 1$, then $\varphi$. Hence, LEM must hold. \hfill \Box
Moreover, the argument makes use of Zermelo’s categoricity theorem, whose proof requires distinctively classical resources. If one takes models of set theory to be sets, this might also be a source of potential concern. However, Paseau (2003, p. 390) claims that the logic in which the consequences of the adoption of the semantics are to be assessed should be classical if we want to produce a dialectically suasive argument against the classical mathematician. But be that as it may: even if we grant that the logic of the metatheory should be classical, the use of Zermelo’s categoricity theorem makes Paseau’s argument problematic for other reasons.
Paseau presents Zermelo’s result as a “proof that the natural models of set theory are the $V_\kappa$” – where a natural model is one which is “faithful to our conception of the set-theoretic universe” (Paseau, 2003, p. 381). And the idea, presumably, is that only a model of this kind can constitute a possible knowledge state. But even if we restrict attention to natural models, philosophical argument is needed to establish that these models are exhausted by those to which Zermelo’s result applies. For what Zermelo (1930) proved is that second-order $\mathsf{ZF}$ ($\mathsf{ZF}_2$) is only satisfiable in the $V_\kappa$ for $\kappa$ an inaccessible ordinal\footnote{Zermelo’s original result concerns a theory without infinity, which can also be satisfied in $V_\omega$.} – where $\mathsf{ZF}_2$ is, as usual, the theory one obtains if one replaces $\mathsf{ZF}$’s axiom schema of replacement with the corresponding second-order axiom.\footnote{Second-order separation is a consequence of second-order replacement, which, in the presence of the standard version of foundation, also implies the second-order version of $\in$-induction. The presence of foundation obviously raises issues concerning the underlying logic of the theory whose models we are considering. For the sake of simplicity, and in keeping with Paseau’s discussion, I will set these problems aside for present purposes and focus on models of $\mathsf{ZF}_2$. What I will say carries over to other second-order set theories.} Hence, Paseau’s argument rests on the assumption that only models of second-order set theory reflect our understanding of the hierarchy of sets and can thereby constitute possible knowledge states.
Is this assumption legitimate? The issue turns on the status of second-order set theory and on whether appeal to it is neutral in the present context. We can begin by considering the current status of the debate in set theory. Take the dispute over the truth-value of the continuum hypothesis ($\mathsf{CH}$), for instance.\footnote{$\mathsf{CH}$ states that there is no cardinal $\kappa$ such that $\aleph_0 < \kappa < 2^{\aleph_0}$. If we assume $\mathsf{AC}$, then $\aleph_0 < \aleph_1 \leq 2^{\aleph_0}$ and $\mathsf{CH}$ is equivalent to $2^{\aleph_0} = \aleph_1$. If we do not assume $\mathsf{AC}$, however, $\mathsf{CH}$ is strictly weaker than the equation $2^{\aleph_0} = \aleph_1$, which is then equivalent to the conjunction of $\mathsf{CH}$ and the claim that $2^{\aleph_0}$ is not an aleph.} In the context of this dispute, various attempts have been made to find plausible principles that settle $\mathsf{CH}$ one way or the other.
For example, the axiom of determinacy, whose adoption has been suggested to avoid the allegedly paradoxical consequences of AC, implies CH.\textsuperscript{28} Another, more famous example of a principle which implies CH is V=L. On the other hand, other set-theoretic principles have been shown to imply that $2^{\aleph_0} = \aleph_2$, e.g., Martin’s maximum\textsuperscript{29} or an axiom proposed by Woodin (1999). But if set theory is ZF$_2$, it is hard to make sense of this search for new set-theoretic axioms or intuitive considerations which might settle CH. For ZF$_2$ decides CH, in the sense that there is a sentence, call it CH*, in the language of pure second-order logic which is a logical truth if and only if CH is true and another sentence, call it NCH*, which is a logical truth if and only if CH is false.\textsuperscript{30} To be sure, ZF$_2$ decides CH only in a semantic sense, not in a proof-theoretic one. That is, neither ZF$_2 \vdash$ CH nor ZF$_2 \vdash \neg$CH.\textsuperscript{31} Nonetheless, the search for new axioms would take a very different form if set theory was ZF$_2$. What set theorists would do is try to find plausible proof-theoretic principles that settle CH, not set-theoretical ones. In other words, they would try to establish the truth-value of CH by expanding not the axiomatic basis of set theory but its proof-theoretic resources. This shows that the set theorists’ conception of the hierarchy is not second order, which already casts doubts on Paseau’s contention that only the second-order models are faithful to our conception of the hierarchy. At any rate, it is an unwelcome consequence of Paseau’s argument that it rules out the current shape of the dispute over the status of CH as wrongheaded.
But there are further worries about taking set theory to be second-order set theory in the present context. For notice that the fact that ZF$_2$ decides CH has not led anyone to try to settle its truth-value by reflecting on the acceptability of CH* as a logical truth. This suggests that we do not have a grasp of the range of the second-order quantifier such that reflection on the acceptability of CH* as a logical truth is an easier task than reflection on the acceptability of new set-theoretic principles on the basis of the set concept, which, in turn, suggests that the concept of well-defined property might itself be open-ended. The fact that the concept of well-defined property is open-ended is familiar to advocates of intuitionistic logic. It has been emphasized, for example, by Dummett (1963, p. 198). The reason is that, once we have specified a language and recognized its well-defined properties, we can specify, by reference to the expressions of that language, a further well-defined property that is not expressible in it. But now recall that the point of the arguments we are concerned with is that the open-endedness of the set concept demands the adoption of a nonclassical semantics in set theory. What we are assessing are the revisionary consequences, if any, of the adoption of such a semantics. But to argue that a Kripke semantics does not sanction an intuitionistic logic by assuming that we can grasp the concept of well-defined property in such a comprehensive way that we can quantify over all properties would not be a legitimate assumption if this open-endedness were partly responsible for that of the set concept. And that this is the case can be seen by reflecting on the relation between our notion of all properties and our conception of the hierarchy of sets.
\textsuperscript{28} However, the axiom of determinacy also implies that $2^{\aleph_0}$ is not an aleph. It is therefore incompatible with AC and entails that $2^{\aleph_0} \neq \aleph_1$, which does not contradict CH in the absence of AC.
\textsuperscript{29} See Foreman et al. (1988).
\textsuperscript{30} As far as I know, this was first observed by Kreisel (1967).
\textsuperscript{31} The proof of this result is due to Weston (1977).
Recall that on the iterative conception, each level $V_{\alpha+1}$ of the hierarchy is said to contain all subsets of sets of the immediately preceding level $V_\alpha$. Paseau claims that the natural models of set theory may only differ in height, i.e., in how many levels they have. It is widely believed, however, that they may also differ in width, i.e., in how rich their levels are: the constructible hierarchy is the thinnest possible, while the widest is that in which the powerset of a given set includes all its subsets as classically conceived. The thought is that, in the case of infinite sets, our notion of all subsets can expand – just like our conception of all ordinals – and our conception of the width of the hierarchy varies accordingly.\footnote{See, e.g., Lear (1977, p. 99) and Reinhardt (1974, p. 191).} To put it another way, not only is the concept of set open-ended in height, but it is also open-ended in width. But now notice that the powerset axiom gets its strength only in conjunction with the axiom of separation, which specifies what subsets of a given set there are,\footnote{See Clark (1993, pp. 242–243).} which is to say that the width of models of set theory is capable of expansion just because our conception of what counts as all properties can expand. Now what Zermelo’s categoricity theorem tells us is that each level of the hierarchy includes all the sets it is forced to have by the second-order axiom of separation, that is, it includes $\{x \in V : Xx\}$ for all properties $X$. So Zermelo’s categoricity theorem effectively requires us to give up the open-endedness in width of the set concept. To sum up, the belief that the natural models of set theory – models answering to our conception of the set-theoretic hierarchy – may differ in width cannot be overturned by appealing to Zermelo’s categoricity theorem. For it is a second-order result and, as such, depends on the assumption that we have a comprehensive grasp of the range of the second-order quantifier. And this assumption is, in a sense, just what is at stake.
While the fact that the natural models of set theory may differ in width invalidates Paseau’s argument, it does not show that the relevant Kripke model is not linear. In fact, someone might argue that our conception of the hierarchy may expand in width only provided that it expands in height. For our conception of the hierarchy expands in width as our notion of arbitrary subset expands and, on this view, it is only when our conception of the hierarchy expands in height that subsets may be definable which were not definable before and hence that our notion of an arbitrary subset can expand. It is not difficult to show, however, that this is not the case, since we can conceive of models of set theory which are wider than others while having the same height as them and vice versa.
**Example 6.** Let $\mathcal{A}'$ be a model of
1. ZF
2. $\neg(V=L)$
3. $\exists \kappa (\kappa \text{ is an inaccessible cardinal})$
and let $\mathcal{A}$ be $\mathcal{A}'$ up to the first inaccessible. Moreover, let $\mathcal{L}$ be the constructible hierarchy in $\mathcal{A}$ and $\mathcal{L}'$ be the constructible hierarchy in $\mathcal{A}'$. Now let $\mathcal{L}$ be $\mathcal{D}(t_0)$ for some time $t_0$, $\mathcal{A}$ be $\mathcal{D}(t_1)$ for some time $t_1 \geq t_0$, and $\mathcal{L}'$ be $\mathcal{D}(t_j)$ for some time $t_j \geq t_0$. Clearly, $\mathcal{D}(t_1) \nsubseteq \mathcal{D}(t_j)$, since $\mathcal{A}$ is wider than $\mathcal{L}'$. On the other hand, $\mathcal{D}(t_j) \nsubseteq \mathcal{D}(t_1)$, since $\mathcal{L}'$ is higher than $\mathcal{A}$. But this, together with the restriction imposed on the Kripke model that if $t \leq t'$, then $\mathcal{D}(t) \subseteq \mathcal{D}(t')$, implies that $\neg(t_i \leq t_j \lor t_j \leq t_i)$, that is, $\leq$ is not linear.
The possibility of conceiving of, as it were, hybrid models shows that the idea that the models of set theory are nested in the way Paseau supposes them to be is not sustainable, at least if we do not import into set theory the second-order assumption embodied in Zermelo’s categoricity theorem. This means that there are possible knowledge states that are not comparable and hence that the order on the index points of the Kripke model need not be linear.
4. Must a Kripke model for set theory be directed? Recall, however, that in order to establish that adoption of a Kripke semantics in set theory does not vindicate an intuitionistic logic, it suffices to show that the relevant Kripke model is directed, and nothing we have said so far tells against this. To be sure, a directed Kripke model vindicates a logic which, albeit stronger than intuitionistic logic, is weaker than the one vindicated by a linear Kripke model. But the directedness of the model would still show that the semantics does not sanction an intuitionistic logic.
Is there any way to argue for the directedness of the Kripke model without assuming a second-order conception of the hierarchy? To answer this question, it is helpful to think of what a nondirected Kripke model for set theory would look like. We have seen that Paseau’s argument for the linearity of the Kripke model rested on the assumption that a possible knowledge state has to consist in a model of set theory. With this assumption on board, however, it appears difficult to produce an example of a nondirected Kripke model. For, it seems, for any 2 models $\mathcal{A}$ and $\mathcal{B}$, one can always conceive of a model $\mathcal{C}$ such that $\mathcal{A} \subseteq \mathcal{C}$ and $\mathcal{B} \subseteq \mathcal{C}$. On the other hand, it is easy to give such an example once we switch from talk of models to talk of sentences.
**Example 7.** Let $\text{Th(ZFI)}$ be the intuitionistic deductive closure of $\text{ZFI}$ and suppose that $t_0 \models \text{Th(ZFI)}$. Suppose, moreover, there are $t_1$, $t_2 \geq t_0$ such that $t_1 \models \exists \kappa (\kappa \text{ is a measurable cardinal})$ and $t_2 \models \neg \exists \kappa (\kappa \text{ is a measurable cardinal})$, and take each to be the earliest such. Obviously, there can be no $t_k$ such that $t_k \geq t_1$ and $t_k \geq t_2$, since the monotonicity of the forcing relation would guarantee that $t_k \models \exists \kappa (\kappa \text{ is a measurable cardinal})$ and $t_k \models \neg \exists \kappa (\kappa \text{ is a measurable cardinal})$, a contradiction.
However, it is not clear whether this example shows that the relevant Kripke model is not directed and does not validate WLEM. For in order to provide a counterexample to the directedness of the Kripke model, we had to assume that there are possible knowledge states that are not only incomparable but also incompatible. In general, take 2 set-theoretic statements $\phi$ and $\psi$, each of which can be known. Then, it seems that their conjunction
\footnote{A cardinal $\kappa$ is \textit{measurable} if and only if $\kappa > \omega$ and there is \textit{measure} on $\kappa$, i.e., there is a function $\mu : \mathcal{P}(\kappa) \to \{0, 1\}$ such that:
(i) if $\{\chi_i : i \in I\}$ is a pairwise disjoint family of subsets of $\kappa$ and the cardinality of $I$ is less than $\kappa$, then
$$\bigcup_{i \in I} \chi_i = \sum_{i \in I} \mu(\chi_i);$$
(ii) $\mu(\kappa) = 1$ and $\mu(\{\alpha\}) = 0$ for $\alpha < \kappa$.
Intuitively, $\mu$ is to be thought of as selecting out the ‘big’ subsets of $\kappa$, where a set of $\mu$-measure 0 is ‘small’ and a set of $\mu$-measure 1 is big. Clause (i) guarantees that the union of fewer than $\kappa$ small subsets of $\kappa$ is still small. Clause (ii) guarantees that $\kappa$ is big and that, for any $\alpha$ less than $\kappa$, the singleton $\{\alpha\}$ is small.}
can also be known, since coming to know one of them does not make it impossible to come to know the other. The only way to avoid this conclusion is to suppose that there can be incompatible advancements in our set-theoretical knowledge. Hence, a failure of directedness amounts to there being a knowledge state $t_0$ followed by 2 knowledge states $t_1$ and $t_2$ such that $t_1 \models \phi$ and $t_2 \models \neg\phi$.
Is it possible for the envisaged situation to obtain when the nodes of the Kripke model are interpreted as metaphysically or mathematically possible knowledge states? The answer varies depending on the particular revisionary argument we are concerned with.
Consider Tait’s view, for instance. According to him, the open-endedness of the set concept precludes any mathematical characterization of the universe of sets, which does not constitute a well-defined extension. Hence, universal generalizations about the universe of all sets can be affirmed only on the basis of operations for constructing sets that we have already accepted. The proposal relies on a constructivist view of the set-theoretic universe according to which the hierarchy is what is obtained by introducing, on the basis of the iterative conception, stronger and stronger operations for constructing sets. And the operations we might be led to introduce might well be incompatible. Tait himself is explicit about this:
It is not at all clear that, as we try to develop the idea of iteration as far as possible, there is only one direction that this would take us. It is conceivable that there is some development of this idea that leads to the construction, for example, of measurable cardinals; but that there would also be grounds for rejecting the construction. (Tait, 1998, p. 478)
Now take Lear’s argument instead. The argument presupposes a Platonist picture of the set-theoretic universe, according to which “there is a determinate universe of sets, and set-theoretic discourse is discourse about these objects” (Lear, 1977, p. 101). But if set-theoretical discourse is discourse about sets qua abstract objects and there is a determinate unique universe of sets, then it seems that it may not be possible to come to know that, for instance, there exists a measurable cardinal and to come to know that there does not exist such a cardinal. If we interpret the nodes of the Kripke model as metaphysically or mathematically possible knowledge states, therefore, it seems that Lear’s Platonism suffices to establish the directedness of the model.
Can this conclusion be resisted? There seem to be 2 ways of denying that Platonism implies that there can be no incompatible advancements in our set-theoretical knowledge. The first way would be to switch from the standard Platonism Lear seems to be working with to a form of full-blooded Platonism or at least to a form of Platonism that allows for the existence of multiple universes of sets. Although Lear (1977, p. 93) briefly considers this option, it is difficult to reconcile this passage with the general tenor of his discussion. At any rate, the reliance on the existence of multiple universes of sets would make the argument dependent on a kind of Platonism which can hardly be taken to be part of
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35 In this connection, it is worth noticing that the usual semantic proof of the intuitionistic invalidity of WLEM proceeds precisely by constructing a Kripke model in which such a situation obtains. What we are asked to consider is a model with nodes $t_0$, $t_1$, and $t_2$ such that $t_0 < t_1$ and $t_0 < t_2$ and in which $t_1 \models \phi$. Clearly, $t_2 \models \neg\phi$ and so $t_0 \not\models \neg\neg\phi$. But since $t_1 \models \phi$, also $t_0 \not\models \neg\phi$. Therefore $t_0 \not\models \neg\phi \lor \neg\neg\phi$.
36 Full-blooded Platonism is the view “that all mathematical objects that logically possibly could exist actually do exist” (Balaguer, 1998, p. 191).
‘one’s original intuitions’ or of the ‘naively Platonist framework’ within which set theorists standardly work.\textsuperscript{37} As a result, the force of the argument would be considerably weakened.
Another way of denying that Platonism implies that there can be no incompatible advancements in our set-theoretical knowledge is to interpret the modality at issue differently. Rather than metaphysically or mathematically possible knowledge states, the nodes of the Kripke model could be taken as \textit{epistemically} possible knowledge states. Assuming that we currently know $\text{Th(ZF)}$, the idea is that, for all we know, there may be a later knowledge state in which we come to know that there exists a measurable cardinal and, for all we know, there may also be a later knowledge state in which we come to know that there does not exist a measurable cardinal. If this notion of epistemic possibility can be made precise, the conclusion that the relevant Kripke model is directed can be resisted even on a standard Platonist picture of the universe of sets.
The problem with this option is that the interpretation of the nodes of the Kripke model as epistemically possible knowledge states is incompatible with Lear’s argument, which is that classical semantics does not capture the strength of our set-theoretic assertions once the extension of set is taken as changing over time. For example, he writes:
When one asserts that there is no inaccessible cardinal one asserts now that no future development in set theory will lead us to discover the existence of an inaccessible: for there are none to be discovered. (Lear, 1977, p. 96)
The strength of our set-theoretic assertions, Lear claims, derives not from the specified domain – the extension of set at a certain time – but “from the expression of a current expectation that the statement will continue to hold no matter how our understanding of set theory – and thus the extension of ‘set’ – may develop over time” (Lear, 1977, p. 95). A classical semantics, he contends, is not capable of capturing such strength, whereas a Kripke semantics – with its account of, for example, negation in terms of what is the case at present or later times – is. But if the nodes of the Kripke model were epistemically possible knowledge states, when asserting that there are no inaccessible cardinals, one would not be asserting that there are none to be discovered but that our current state of information is incompatible with their discovery, which is certainly not the case. So Lear’s argument seems to enforce an interpretation of the nodes of the Kripke model that rules out their being epistemically possible knowledge states.
\textbf{5. Concluding remarks.} There is an interpretation of the nodes of the Kripke model, \textit{viz.} the one in terms of epistemically possible knowledge states, which makes Kripke semantics adequate for the adoption of intuitionistic logic in set theory, with the proviso that we are careful in the choice of the axioms. Thus, the use of a Kripke semantics in the development of intuitionistic set theories seems safe, even within a standard Platonist framework.
Alongside this interpretation, there is another one according to which the nodes of the Kripke model are metaphysically or mathematically possible knowledge states. I have argued that within a standard Platonist framework, this modal Kripke model must be directed. However, I have also argued, \textit{contra} Paseau, that this Kripke model need not be linear, since in order to establish its linearity we need the second-order assumption embodied in Zermelo’s categoricity theorem, an assumption which is of a piece with giving
\textsuperscript{37} See Lear (1977, p. 87).
up one kind of open-endedness of the set concept. And the open-endedness of the set concept is precisely what is supposed to motivate the adoption of a nonclassical semantics.
Hence, once a Kripke semantics is adopted, we have set theories of varying logical strength depending on the interpretation we give to the nodes of the Kripke model and on the background ontology. This has important consequences for revisionary arguments in set theory. In particular, Lear’s argument, being incompatible with an interpretation of the nodes of the Kripke model in terms of epistemically possible knowledge states and assuming a Platonist framework, leads at best to the adoption of a logic that is intermediate between the classical and the intuitionistic one. On the other hand, other revisionary arguments such as Tait’s seem to fit well with an interpretation of the nodes of the relevant Kripke model which vindicates an intuitionistic logic. Whether any of these arguments is successful – i.e., whether the open-endedness of the set concept determines the need for a nonclassical semantics in the first place – is still an open question.\(^{38}\)
6. Acknowledgments. Very special thanks to Michael Potter, who went through various drafts of this paper and provided me with much encouragement and advice. Many thanks also to Tim Button, Peter Smith, and an anonymous referee for this journal. Earlier versions of this material were presented at the VII National Conference of the Italian Society for Analytic Philosophy and the University of Cambridge. I am grateful to the members of these audiences for their valuable feedback. Research for this paper was funded by St. John’s College, the AHRC, and the Cambridge European Trust, whose support I gratefully acknowledge.
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DEPARTMENT OF PHILOSOPHY
ST. JOHN’S COLLEGE, CAMBRIDGE UNIVERSITY
CAMBRIDGE CB3 9DA, UK
E-mail: email@example.com
|
THE STATE OF TEXAS
COUNTY OF ANGELINA
Commissioners Court met in Regular Session on Tuesday, September 12, 2023 at 10:00 A.M. at the Angelina County Courthouse Annex, Commissioners Courtroom, 606 East Lufkin Avenue, Lufkin, Texas with the following members present:
Keith Wright County Judge
Kent Walker Commissioner Precinct #1
Kermit Kennedy Commissioner Precinct #2
Terry Pitts Commissioner Precinct #3
Kenneth Jeffrey Commissioner Precinct #4
1. Judge Wright called the meeting to order at 10:00 A.M. with all members present.
2. Opening prayer by Chaplin Ray Vann.
3. Pledge of Allegiance to the Flag of the United States of America and to the Flag of the State of Texas.
4. Public Forum: Tracy Pinkerton presented the members with a survey from the public.
5. Terry Pitts made a motion to approve the Commissioners Court Minutes for August 22, 2023. Kenneth Jeffrey seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
6. Kenneth Jeffrey made a motion to approve the Commissioners Court Minutes for August 29, 2023. Kermit Kennedy seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
7. Kermit Kennedy made a motion to approve the final plat of Las Lomas at Redland Estates in Precinct #2. Kent Walker seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
8. Kermit Kennedy made a motion to approve the renewal of the following policies:
Property General Liability
Auto Inland Marine
Law Enforcement Professional Liability Employment Practices Liability
Public Officials Liability Umbrella Liability
Data Breach/Cyber Liability
Terry Pitts seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
9. The Court opened a Public Hearing at 10:27 A.M. on the proposed Tax Rate for Fiscal Year 2023. The Public Hearing was closed at 10:29 A.M.
10. Kenneth Jeffrey made the following motion “I move that property tax rate be increased by the adoption of a tax rate of .429041, which is effectively a 17.84 percent increase in the tax rate”. Terry Pitts seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
11. Died for lack of motion. (Discussion/action on the adoption of the Fiscal Year 2024 Budget for Angelina County)
12. Died for lack of motion. (The Angelina County Commissioners Court will conduct a separate vote to ratify the property tax increase reflected in the 2024 Fiscal Year Budget for Angelina County, Texas, as required by Section 111.008 (c) of the Local Government Code)
13. Died for lack of motion. (Discussion/action on the adoption of the Angelina County Certified Salary Schedule for the Fiscal Year 2024)
14. Kent Walker made a motion to approve the County Judge to execute a letter of support for the City of Lufkin FTZ subzone application on behalf of Twin Disc. Kermit Kennedy seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
15. Terry Pitts made a motion to approve an Interlocal Agreement for FY 2024/2025 biennium between Angelina County and the Regional Public Defender Office for Capital Cases; with Judge Wright’s signature. Kenneth Jeffrey seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
16. Kent Walker made a motion to record in the minutes a certified order of the District Clerk, appointing Janice Cordray as County Auditor for a two-year term beginning August 25, 2023 and ending August 25, 2025. Kermit Kennedy seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
17. Kenneth Jeffrey made a motion to accept a donation for a 2016 HP DesignJet Z2500 Postscript plotter printer from the US Army Corps of Engineers Sam Rayburn Project office. Terry Pitts seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
18. Terry Pitts made a motion to accept the bid from Bonner Roofing & Metal for the roof repairs on the pavilion at Cassels-Boykin Park. Kermit Kennedy seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
19. Kermit Kennedy made a motion to approve the Statewide Automated Victim Notification Services (SAVNS) Maintenance Grant Contract with the Office of the Attorney General for FY 2024. Terry Pitts seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
20. The Court opened a Public Hearing at 10:47 A.M. in reference to the Angelina County Clerk’s annual update for the preservation and restoration of the County Clerk’s archives. The Public Hearing was closed at 10:51 A.M.
21. Kermit Kennedy made a motion to approve the Angelina County Clerk’s 2024 Archival Plan. Kent Walker seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
22. Terry Pitts made a motion to terminate the Interlocal Agreement between the City and the County for Landfill services in accordance with Article 1 of the agreement. Kent Walker seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
23. Kermit Kennedy made a motion to approve adopting new disposal rates as proposed in the Landfill Cost of Service and Rate Design Study. Terry Pitts seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
24. Terry Pitts made a motion to approve six (6) roads for improvements from the Tax Note Fund:
Basham Road $104,772.16
Cheeseland Road $175,972.40
Post Oak Road $38,006.40
Bates Road $23,000.00
Oakwood Drive $88,515.84
Memory Lane $65,000.00
Kent Walker seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
25. Kenneth Jeffrey made a motion to approve a budget transfer for the Angelina County Airport:
| Transfer from: | Capital Outlay | 083-183-4995 | $12,000.00 |
|---------------|----------------|--------------|------------|
| Transfer to: | Equipment Repair | 083-183-4408 | $10,000.00 |
| | Airport Repair | 083-183-4301 | $2,000.00 |
Kermit Kennedy seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
26. Kermit Kennedy made a motion to approve a budget transfer for County Veterans Services:
| Transfer from: | Office Supplies | 010-005-4615 | $750.00 |
|---------------|----------------|--------------|---------|
| Transfer to: | Capital Outlay | 010-005-4995 | $750.00 |
Kent Walker seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
27. Kenneth Jeffrey made a motion to approve a budget transfer for Road & Bridge:
| Transfer from: | Hard Top Roads | 035-135-4803 | $89,596.00 |
|---------------|----------------|--------------|------------|
| Transfer to: | Contract Services | 035-135-4123 | $89,596.00 |
Terry Pitts seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
28. The Court entered into Executive Session at 11:06 A.M.
29. The Court returned to Open Session at 11:30 A.M. Terry Pitts made a motion to approve the settlement of Allen vs. Angelina County, et al, Cause #CV-00405-20-07 in the 159th Judicial District Court of Angelina County, Texas. Kenneth Jeffrey seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
30. Terry Pitts made a motion to approve the departmental reports and routine items. Kent Walker seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
31. Terry Pitts made a motion to pay the bills as submitted by the County Auditor. Kent Walker seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
32. Judge Wright made a motion to adjourn at 11:32 A.M. Terry Pitts seconded the motion.
Voted For: Kent Walker, Kermit Kennedy, Terry Pitts and Kenneth Jeffrey
Voted Against: (None)
Motion carried.
I, Amy Fincher, Angelina County Clerk, do hereby attest to the accuracy of the Commissioners Court Minutes for September 12, 2023 on this 12th day of September, 2023.
Amy Fincher, Angelina County Clerk
|
Synovial cell metabolism and chronic inflammation in rheumatoid arthritis
Falconer, Jane; Young, Stephen; Clark, Andy; Buckley, Christopher
DOI:
10.1002/art.40504
Document Version
Peer reviewed version
Citation for published version (Harvard):
Falconer, J., Young, S., Clark, A & Buckley, C 2018, 'Synovial cell metabolism and chronic inflammation in rheumatoid arthritis', Arthritis and Rheumatology, vol. 70, no. 7, pp. 984-999. https://doi.org/10.1002/art.40504
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This is the peer reviewed version of the following article:
Falconer, J., Murphy, A. N., Young, S., Clark, A. R., Tiziani, S., Guma, M. and Buckley, C. D. (2018). Synovial cell metabolism and chronic inflammation in rheumatoid arthritis. Arthritis Rheumatol.
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Synovial cell metabolism and chronic inflammation in rheumatoid arthritis
1Jane Falconer PhD, 2Anne N Murphy PhD, 1Stephen Young PhD, 1Andrew R Clark PhD, 3Stefano Tiziani PhD, 4,6Monica Gumá MD, PhD and 1,5,6Christopher D Buckley MD, PhD.
1Rheumatology Research Group, Institute of Inflammation and Ageing, College of Medical and Dental Sciences, University of Birmingham, Queen Elizabeth Hospital, Birmingham, UK
2Pharmacology and 4Medicine, School of Medicine, University of California, San Diego, 9500 Gilman Drive, San Diego, CA 92093;
3Department of Nutritional Sciences & Dell Pediatric Research Institute, University of Texas at Austin, 1400 Barbara Jordan Blvd., Austin, TX
5The Kennedy Institute of Rheumatology, University of Oxford, Oxford, UK
6To whom correspondence should be addressed:
Email: firstname.lastname@example.org, email@example.com
Abstract 246 words.
Metabolomic studies of body fluids show that immune-mediated inflammatory diseases such as rheumatoid arthritis (RA) are associated with metabolic disruption. This is likely to reflect the increased bioenergetic and biosynthetic demands of sustained inflammation and changes to nutrient and oxygen availability in damaged tissue. The synovial membrane lining layer is the principle site of inflammation in RA. Here the resident cells are the fibroblast-like synoviocytes (FLS) and the synovial tissue macrophages (STM), which are transformed toward overproduction of enzymes which...
degrade cartilage and bone, and cytokines which promote immune cell infiltration. Recent studies have shown metabolic changes in both FLS and macrophages from RA patients and these may be therapeutically targetable. However, as the origins and subset specific functions of synoviocytes are poorly understood and the signaling modules which control metabolic deviation in RA synovial cells are yet to be explored, significant additional research is needed to translate these findings toward clinical application. Furthermore, in many inflamed tissues, different cell types can forge metabolic collaborations through solute carriers (SLC) in their membranes, to meet a high demand for energy or biomolecules. Such relationships are likely to exist in the synovium and are yet to be explored. Finally, it is not yet known whether metabolic change is a consequence of disease or if primary changes to cellular metabolism might underlie or contribute to early stage disease pathogenesis. This article collates what is known about metabolism in synovial tissue cells and highlights future research directions in this area.
**Introduction**
Rheumatoid arthritis (RA) is a systemic chronic inflammatory disease which principally manifests in the articular joints. Recent research has yielded biological therapies and small molecules to target signaling pathways and pathogenic components involved in inflammation and immunity, but in spite of these reasonably successful treatments, very few RA patients are able to achieve and stay in a state of drug-free remission. Innovative strategies are needed to obtain new insights into mechanisms which underlie disease pathogenesis and to identify potential new treatments.
In fields such as oncology, the concept of undermining or reprogramming metabolism to improve patient outcomes is established and we and others believe the potential is great to adopt similar strategies in immune-mediated inflammatory diseases (IMID) (1, 2). For three decades researchers have hypothesized an intermediate role for metabolic alterations and local hypoxia in RA pathology (3, 4). Indeed, RA and related IMID are associated with systemically measurable metabolic disruption. This is likely to reflect the increased bioenergetic and biosynthetic demand placed on immune and stromal cells in a chronically activated state. We now have the tools to better understand and translate past observations and to explore our hypothesis that metabolic deviation in synovial cells has a role in early pathogenesis rather than being a consequence of tissue damage. Qualitative changes to cellular metabolism are indeed essential to support physiological and pathological responses seen in the RA synovium and we describe these changes below. RA-associated characteristics include proliferation, migration and invasion that are hallmarks of activated fibroblast-like synoviocyte (FLS) behavior, and also proinflammatory mediator production characteristic of activated synovial tissue macrophages (STM) (5-7). The phenotypic transformation of FLS from a quiescent cell to an aggressive, metabolically active cell, the activation of STM, and the increasingly hypoxic and nutrient...
deprived microenvironment which develops in the RA joint are characteristics which closely resemble those seen in solid tumors.
Immunometabolism research has recently expanded in the footsteps of the more advanced cancer metabolism literature and this has led to the identification of potential new drug targets for immune-mediated pathologies (1, 8). Limitation of metabolic substrate availability, modulation of signaling pathways which control metabolism and targeting of channels through which metabolic intermediates are shared are exciting new strategies for treatment. Since there is now a widespread acceptance that the future of RA treatment may lie in targeting the synovial tissue and in particular the stromal microenvironment, it is logical to apply these new therapies here (9, 10). In this review, we describe our current knowledge of synovial metabolism and the therapeutic opportunities this field might present. We focus upon the FLS and STM which together form a destructive frontier and whose aberrant behavior is underpinned by pathological metabolic changes.
A systemic metabolic phenotype in RA
Metabolic perturbations have long been associated with RA and the hallmark ‘calor’ (heat) observed in the rheumatoid joint is widely considered a consequence of metabolic activity. Daily resting whole body energy expenditure is 8% higher in RA than in healthy individuals suggesting these metabolic changes are significant and systemic (11). RA patients have an increased susceptibility to cardiovascular comorbidity and metabolic syndrome during the progression of their disease, associated with disruption of lipid and glucose metabolism (12). Furthermore, the catabolic condition ‘cachexia’ occurs in RA, with muscle atrophy and gain in fat associated with systemically elevated pro-inflammatory cytokines such as TNFα, IL-1β, LIF, IFNγ and IL-6 (13). Untargeted metabolomic studies of body fluids are helping to characterize the systemic observations alluded to above. These involve analysis of small molecules (<3kDa) usually using one-dimensional nuclear magnetic resonance (1D NMR) spectroscopy or mass spectrometry coupled to gas or liquid phase separation techniques, technologies which we have recently compared and evaluated (14). This approach has highlighted urinary metabolite signatures which can identify the six most prevalent immune-mediated inflammatory diseases (15), and a serum metabolite signature which correlates with C-reactive protein (CRP) level and associates metabolism with underlying inflammatory mechanisms (16). Serum (17) and synovial fluid (SF) (18, 19) metabolomic profiles have also demonstrated the potential to distinguish RA from psoriatic arthritis and other diseases (14). Furthermore, our data and that of others show that patient responses to biological therapies including etanercept and rituximab can be predicted from urine, serum and plasma metabolic profiles, highlighting the power of metabolomics in stratifying patients and directing RA treatment (20-22).
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Since immune and stromal cells within the inflamed joints are known to produce inflammatory cytokines it is likely that they are contributing to the global metabolic phenotype in RA. However, the metabolic profiles of individual cell types involved in chronicity or resolution of inflammation have sparsely been elucidated. This will be important to link diseases associated metabolites to pathogenic processes and to gain a full understanding of RA pathogenesis.
**The rheumatoid synovium**
Though RA is a systemic disease, the major manifestation is joint pain and loss of function. The normal diarthrodial joint is lined with a thin, soft-tissue membrane, the synovium, which comprises a sublining and a thin intimal lining layer, and which produces and encapsulates a lubricating hyaluronic acid-rich fluid (23). Resident to the tissue are two heterogeneous and inadequately characterized cell types a) the STM; a mixed population of prenatally seeded cells and those which have differentiated from circulating monocytes (24, 25), and b) the FLS, mesenchymal-derived cells, which compared with fibroblasts in other anatomical locations, are characterized by the expression of UDP-glucose 6-dehydrogenase, an enzyme required for the synthesis of hyaluronic acid, and of complement decay-accelerating factor (also known as CD55) (26). Collaborative networks such as the National Institutes for Health Accelerating Medicines Partnership are facilitating the effective digestion of tissue to obtain pure populations of FLS and STM. This combined with a growing profile of soluble and surface markers and revolutions in fate mapping and single cell analysis techniques is improving our ability to study and understand the functions of these important cells (27, 28).
The hallmark of RA is macroscopically visible change to the synovial lining layer which becomes inflamed, hyperplastic and invasive of local cartilage and bone (29). This is driven by a complex interaction between chronically activated and epigenetically transformed synoviocytes and infiltrating cells of the innate and adaptive immune system (5, 30). Both FLS and STM contribute to synovial inflammation by production of mediators which recruit and activate immune cells. Importantly, these cells also drive each other’s activation and survival by paracrine production of cytokines such as TNFα and GM-CSF (30). However, it is the FLS in the intimal lining which form the aggressive pannus and are the major effectors of tissue damage through production of extracellular matrix degrading enzymes such as matrix metalloproteinases and cathepsins (30).
Though the joint exists at an oxygen tension as low as 8% even in health, the microenvironment in RA is characterized by severe hypoxia at oxygen tensions which fall to below 1% (31). Nutrient availability is also low as immune cells and activated synoviocytes consume available resources at a rate which exceeds their delivery. Synovial angiogenesis, which is mediated by factors released by both FLS and STM and enhances the ingress of leukocytes into the synovial tissue, is insufficient, and the aggressive front formed by the hyperplastic synovial lining increases the distance between blood...
vessels and synoviocytes (32, 33). RA FLS are transformed from a quiescent state to an aggressive, invasive phenotype and they persist despite enrichment of apoptosis-inducing factors such as oxygen radicals, nitric oxide and cytokines supplied by activated STM. As such the synovium bears resemblance to tumor tissue and cells are likely to be subject to similarly elevated bioenergetic and biosynthetic demands to those seen in cancer. This comparison is summarized in Figure 1.
It is likely that adaptation of mitochondria and cytoplasmic metabolic pathways is needed to meet the requirements of chronic inflammation in RA. Indeed, of the few studies which profile the metabolome of FLS, profound metabolic differences were identified in end stage RA when compared with OA and many of these are described below (34, 35). Our unpublished data shows a correlation between systemic inflammation (measured as CRP) and the metabolic profile of FLS from very early RA. However, studies comparing to healthy FLS or assessing changes during the transformation in early disease are lacking. Consequently, we are currently unable to determine if metabolic adaptation of fibroblasts is a normal response to chronic inflammation, or if primary changes to cellular metabolism might themselves underlie or contribute to the disease pathogenesis. Studies of STM are also few and most of what is known about RA macrophage metabolism is from animal models or study of cells differentiated *in vitro* from SF or peripheral blood monocytes (36). Since macrophages in healthy synovium are thought to be largely yolk sac-derived and cues leading to monocyte differentiation in tissue are poorly defined, there is a pressing need for better characterization of synovial macrophage subsets and their metabolism (37).
**The dynamic metabolic response in health**
The function of the metabolic machinery within a cell is to provide the energy and biomolecules necessary to perform resting and activated functions, while managing the production of potentially damaging byproducts such as lactate and reactive oxygen species (ROS). Recent studies of immune cells have identified important roles for metabolism in supporting and even directing cell differentiation and fate. These studies have characterized the extent of metabolic plasticity required for cellular responses to stimulation (8). There are 6 main pathways which are involved in these functions (summarized in Figure 2). Of these, oxidative phosphorylation (comprising the tricarboxylic acid TCA cycle and the mitochondrial electron transport chain) and fatty acid oxidation are oxygen dependent and take place in the mitochondria, while utilizing substrates taken up from the cytoplasm. Glycolysis, the pentose phosphate pathway (PPP), amino acid metabolism and fatty acid synthesis are oxygen independent and largely take place in the cytoplasm. However, fatty acid and amino acid intermediates are also shared with mitochondrial processes and use of the PPP to maintain redox balance does require oxygen (8).
Normal physiological metabolism and metabolic responses to inflammatory events are poorly studied in tissue resident populations such as fibroblasts and embryonically seeded macrophages (25). This is largely due to the practicalities of disentwining cells from the extracellular matrix, a challenge which researchers are making great efforts to address (38). Indeed there has been limited progress since the stromal metabolism field was thoroughly reviewed in 2014 (39). One study defines what is known about resting, healthy fibroblast metabolism, showing that fore-skin derived cells are predominantly glycolytic and dependent upon the PPP even in quiescence (40). This supports the anabolic processes associated with extracellular matrix production and is likely to also apply to FLS which maintain SF and produce it in excess in RA.
Reversible regulation in the balance of cytoplasmic and mitochondrial metabolism is crucial for all cells to respond and adapt to changing microenvironments. Metabolic change is orchestrated by signaling pathways responding to nutrient, energy and oxygen levels as well as growth factor, pattern recognition, and cytokine receptors. The pathways involved have been reviewed elsewhere (41, 42) and are summarized in figure 2. These include the master regulators mechanistic target of rapamycin (mTOR) and 5’ adenosine monophosphate activated protein kinase (AMPK) pathways which work in opposition to one another. The mTOR network is a nutrient sensing system. mTORC1 or mTORC2 complex formation downstream of PI3K or MAPK pathways induces activation of AKT and transcription factors HIF1α and MYC, which in turn activate glycolytic pathway genes upregulating aerobic glycolysis. Sterol regulatory element binding proteins (SREBP) and peroxisome proliferator-activated receptor gamma (PPARγ) acting downstream of mTORC1 also activate genes which upregulate fatty acid synthesis. Other pathways have also been shown to activate glycolysis in a HIF1α independent manner, including the NF-κB pathway involving ubiquitous phosphofructokinase 2 (uPFK2). AMPK is an energy sensing system often considered a metabolic checkpoint as it can inhibit glycolysis, control cell proliferation and promote mitochondrial biogenesis when activated under energetic stress (43, 44). Downstream nuclear respiratory factor-1 (NRF-1), NRF-2 and PPARγ coactivator-1α (PGC-1α), as well as SIRT1 or STAT6 activated PGC-1β, induce mitochondrial biogenesis and fusion (discussed below), induce protective antioxidant enzymes, and promote oxidative metabolism. The mTOR pathway has also been shown to be important in polarization of macrophages to pro-inflammatory (M1) or pro-resolving (M2) phenotypes and in activation of both macrophage subtypes, and this has been thoroughly reviewed (45). AMPK activation in macrophages is associated with suppression of IL-6 production, anti-inflammatory M2 macrophage differentiation from SF monocytes and suppressed inflammation in K/BxN serum induced arthritis (46, 47). The signaling pathways which instruct stromal cell behavior are less well defined. mTOR activation has been linked to invasive properties in arthritic rat FLS (48). Furthermore, mice deficient in NRF2 which acts downstream of AMPK, show more severe cartilage injuries and more oxidative damage in a murine model of arthritis (49). However, no link between metabolism and cell signaling has yet...
Mitochondrial responses in the RA synovium
Under normoxic conditions mitochondrial oxidative phosphorylation is the most efficient source of ATP (50). In addition, mitochondria integrate various metabolic pathways and through this process produce intermediates needed for the synthesis of lipids, steroid hormones, and heme. Other more specialized mitochondrial functions include maintenance of Ca$^{2+}$ homeostasis, regulation of apoptosis, and production of the physiological levels of ROS which act as signaling molecules (50). Importantly, mitochondria have mechanisms to respond spatially and temporally to heterogeneous nutrient and oxygen concentrations, increased ATP demands and increased stress signals including oxidative stress, for continued support of cellular functions and survival. These mechanisms include the overexpression of antioxidant enzymes and remodeling of respiratory complex subunits, changes in substrate choice (utilizing glutamine, pyruvate, fatty acids and ketone bodies) or switching toward increased glycolysis when energetic demand outpaces oxygen delivery (50).
Changes in mitochondrial biogenesis, mitochondrial-selective autophagy (mitophagy) and in the equilibrium between mitochondrial fusion and fission are also critical to maintain normal mitochondrial and cellular function (Table 1 and Figure 3). Mitochondrial biogenesis is induced through the signaling pathways described above, not only in association with cell division but also in response to oxidative stimuli and increased energy requirements. The flux between fusion and fission of mitochondria in response to stress is also crucial to maintaining the metabolic capacity of the mitochondria as well as protecting genetic stability. Mitophagy plays a pivotal role in the maintenance of mitochondrial homeostasis, regulating the size and quality of the mitochondrial population. In addition, mitophagy eliminates damaged mitochondria under diverse stress conditions, which is critical as mitochondrial DNA (mtDNA) is a damage-associated molecular pattern (DAMP) that contributes to systemic inflammatory responses (51). Excess or inadequacy in mitochondrial dynamics, biogenesis and mitophagy are deleterious in mice and are associated with aging and multiple serious human diseases, highlighting their importance in cell phenotype and function (51, 52). Furthermore, mitochondrial surveillance and quality control mechanisms including mitochondrial biogenesis and mitophagy decline with age causing progressive deterioration of mitochondrial function. This may have a role in diseases such as RA and suggests that targeting mitochondrial processes could be beneficial to restore cell function (53).
Surprisingly little is known about mitochondrial dynamics and function in RA synoviocytes and there is a particular absence of observations in STM. However, a growing literature describes mitochondrial metabolism downstream of glycolytic glucose consumption and its role in differentiation and...
activation of pro-inflammatory and pro-resolving monocyte-derived macrophages subtypes. These model systems might inform research in the synovium. For example, stimulation of macrophages with lipopolysaccharide (LPS) and interferon gamma (IFNγ) (so-called M1-polarising conditions) produces proinflammatory cells which may resemble those which populate the RA synovium. This leads to inhibition of the TCA cycle and the mitochondrial oxidative phosphorylation pathway to which it is coupled and results in upregulation of glucose transporter 1 (Glut1) to facilitate efficient uptake of glucose. Glucose is consumed through upregulation of aerobic glycolysis and gives rise to production of copious lactate which must be extruded from the cell to prevent lactic acidosis (54). Production of reactive oxygen is increased, partly as a consequence of reversed electron transport by mitochondria and certain intermediates of the TCA cycle accumulate, notably succinate. This promotes expression of the pro-inflammatory cytokine IL-1β by inhibiting prolyl hydroxylases and activating the transcription factor HIF-1α. Succinate has also been linked to changes in methylation of DNA and associated histone proteins to alter gene expression (55). Furthermore, isocitrate is diverted from the Krebs cycle and metabolised to itaconic acid, another more recently identified TCA cycle inhibitor (56). RA synovial macrophages express HIF-1α, consistent with a switch to glycolytic metabolism but efforts are required to characterize mitochondrial metabolism and dynamics in resident and infiltrating STM (57).
Several studies have observed mitochondria in late stage RA FLS. Baseline reductions in respiration and membrane potential (58) and changes to mitochondrial morphology (59) have been shown when compared with OA. Further changes suggestive of mitochondrial dysfunction such as perinuclear clustering of mitochondria, abnormally dark cristae, and autophagosome formation have been associated with lower basal mitochondrial membrane potential, as well as lower basal, maximum and ATP-linked mitochondrial respiratory rates (58). In a complementary study also in comparison with OA, we recently showed RA FLS had a higher baseline glycolytic rate to respiratory rate ratio, implying a shift toward reliance on glycolysis to meet the energy demand of the cells (60). Changes in mitochondrial metabolism can be induced in FLS by cytokines and growth factors including IL-17, TNF and PDGF which are associated with RA and related inflammatory conditions (58, 61). The reported consequences, though incompletely understood, include reduced ATP production by oxidative phosphorylation, production of excessive reactive oxygen and nitrogen species, dysregulation of Ca$^{2+}$, opening of the permeability transition pore and initiation of cell death \textit{in vitro}. Significant increases in mtDNA mutation frequency have been demonstrated in inflamed synovial tissue and were positively correlated with macroscopic synovitis, vascularity and SF levels of TNF and IFNγ (62). A further study showed that exposure of RA synovial tissue to 1% oxygen \textit{in vivo} induced mtDNA mutations suggesting that the inflamed and hypoxic joint microenvironment may be eliciting the mitochondrial changes observed in RA FLS and likely to be occurring in STM (31). Hypoxia also altered the bioenergetics of cultured FLS by promoting a switch to glycolysis while
attenuating mitochondrial respiration and ATP synthesis. This supported abnormal angiogenesis, cellular invasion and pannus formation (59). Further *in vitro* studies have indicated higher mtDNA mutations and ROS levels in RA compared to OA FLS (63), correlating with elevated matrix metalloproteinase (MMP) expression and an invasive phenotype in RA (61, 64).
The above findings suggest that there are mitochondrial changes in late stage RA FLS which are maintained in *in vitro* culture, yet we lack understanding of which changes are a normal response to meet metabolic demands of inflammation, which might play a role in driving the pathology of chronic disease and which are the result of damage and an increasingly hypoxic environment. In fact, resistance to induction of programmed cell death (apoptosis) by apoptotic signals abundant in the inflamed joint, is a prominent characteristic of the RA synovium (65) and sustains the synovial hyperplasia that characterizes the rheumatoid pannus. This would suggest that mitochondrial responses induced by hypoxia and inflammation in synoviocytes are able to repurpose the mitochondrion as a biosynthetic hub similar to that of tumor cells (66) and with conserved mechanisms for limiting oxidative stress and supporting effector functions and proliferation (5). Finally, although we lack information regarding mitophagy in the synovium, it has been suggested that TNF significantly induces mitophagy and mitochondrial antigen presentation in mouse macrophages with implications for RA (67). Several reports have shown altered autophagy in RA FLS, which could also contribute to synovial hyperplasia. RA FLS show an increase of genes involved in autophagy such as beclin-1 and LC3, which inversely correlate with their apoptosis rate (68, 69). In addition, RA FLS under endoplasmic reticulum stress may increase autophagy while becoming resistant to apoptotic death (70). Further studies are needed to understand the tangled relationship between metabolism, apoptosis and autophagy in synoviocytes and to identify whether restoring normal metabolism and mitochondrial function might have therapeutic potential in RA.
**Glucose metabolism in the RA synovium**
Glucose and other metabolites such as glutamine, fatty acids, and ketone bodies can be metabolized through the mitochondrial tricarboxylic acid (TCA) cycle in metabolically active tissues, but a shift away from oxidative phosphorylation towards aerobic glycolysis often occurs in response to cellular activation and in inflamed tissues (71). This supports various biosynthetic pathways and, consequently, the metabolic requirements for proliferation and cytokine production. Accelerated glucose metabolism is a hallmark of proliferative and activated cells (72) and can be observed with clinical imaging. Several studies have used fluoro-2-deoxyglucose (FDG) which is taken up by glycolytic cells to form FDG-phosphate, and can be shown by positron emission tomography (PET) to accumulate in swollen joints (73). Indeed, glycolytic inhibition by BrPa administered in a serum transfer animal model significantly decreased arthritis severity, highlighting the importance of glucose...
metabolism in fueling pathological processes and making it a promising target for therapeutic intervention in RA (60). However, as discussed in a recent review by Weyand et al comparing macrophages and T cells, cells can coexist in the same microenvironment and utilize metabolites differently (74). This highlights the need to dissect glucose utilization in different synoviocytes since any successful treatment will necessarily be cell type specific.
Metabolic profiling of synovial tissue has revealed that FLS consistently show altered basal glucose metabolism in RA (34, 35, 75), and we and others have found that stimuli such as PDGF or TNF increase *in vitro* glucose metabolism by both glycolysis and mitochondrial respiration (60). Furthermore, the glucose channel Glut1 is upregulated in response to hypoxia and cytokines and correlates with phenotypic perturbations in RA FLS (59, 60). Glucose deprivation or glycolytic inhibitors such as 2-deoxy-D-glucose (2-DG), bromopyruvate (BrPa) (60) and 3-(3-Pyridinyl)-1-(4-pyridinyl)-2-propen-1-one (59) have been shown to impair cytokine secretion, proliferation, migration and invasion in RA FLS. Although, glucose metabolism is enhanced in activated macrophages, no data in STM is available yet.
Diversion of glucose metabolism away from glycolysis and toward the PPP is important to support biosynthetic role of some cells. A role for this pathway in RA was highlighted by work on T cells which showed impaired glycolytic flux due to elevated pentose-shunt activity and up-regulation of phosphofructokinase (76). In light of RA synoviocyte mitochondrial responses and elevated ROS production described above, increased flux of glucose through the PPP might also be expected in these cells to produce cytoplasmic NADPH, and drive the reducing power of ROS detoxifying enzyme systems in both the cytoplasm and the mitochondrial compartments. Indeed, a global increase of glucose metabolism (both the PPP and glycolysis) was observed in total synoviocytes (4), and recent metabolite profiling of FLS (77) showed both metabolites from glycolysis and PPP were significantly increased in RA and compared to OA, together with other metabolites that belonged to the amine, fatty acid, phosphate, and organic acid classes. Although this hints toward the importance of the PPP, its role and the importance of NADPH production and other antioxidant mechanisms such as the glutathione oxidation pathway have not yet been dissected in FLS and resident STM populations and such research might yield new opportunities for therapeutic intervention in RA.
Secondary roles have emerged for glucose metabolites, metabolic enzymes and TCA cycle intermediates outside of metabolism. For instance, succinate stabilizes the transcription factor HIF-1α.
in activated macrophages and also rat synovial fibroblasts promoting glycolysis (55, 78). Succinate and other metabolites including α-ketoglutarate, fumarate and acetyl-CoA might be expected to accumulate in macrophages and FLS under hypoxic conditions and are involved in eliciting important epigenetic changes, with unexplored potential for driving chronic inflammation (55, 78). Also, essential glycolytic enzymes have been reported to translocate to the nucleus or mitochondria where they function independently of their canonical metabolic roles in regulation of cytokines and anti-apoptotic responses (79, 80). For example, PKM2 also stabilizes HIF-1α promoting inflammatory M1 macrophage differentiation. Use of a small molecule modulator of PKM2 to prevent nuclear translocation has potential for driving a shift toward an M2 phenotype and restoration of tolerance in diseases such as RA. The hexokinase (HK) enzymes are also important regulators of metabolism. HK1 is known to drive cleavage and activation of pro-IL-1β in macrophages via the NLRP3 inflammasome and the downstream activation of caspase 1 (81), though this has not been studied in STM. HK2 also binds to the mitochondrial membrane via its interaction with the outer membrane porin protein (also termed the voltage-dependent anion channel (VDAC)) and this interaction inhibits the release of intermembrane pro-apoptotic proteins, thereby protecting cells from apoptosis. Importantly, the expression of HK2 is increased in RA FLS compared to OA FLS, and might provide an important link between metabolism and apoptosis resistance in the RA synovium (60).
**Lipid metabolism in the RA synovium**
Though a complex and incomplete picture, lipids are known to be important in fueling adaptive immunity and in resolution of inflammation (8, 82). A few studies have described lipid changes in RA FLS, although this has not been studied in STM. Metabolomic profiling has shown perturbation of lipid metabolism in RA FLS versus OA cells (34), and recent studies have identified important roles for molecules which interact with lipids such as choline, an important component of membrane phospholipids which may be limiting in proliferating cells such as RA FLS. Choline C-11 PET scanning, which is already in clinical use to identify prostate cancer metastasis, showed increased uptake in inflammatory arthritis joints (83) and choline is present at elevated levels in RA FLS and synovium (34, 75). Of interest, choline like transporter (CTL)1 (high-affinity) and CTL2 (low-affinity) are also highly expressed in RA FLS and the functional inhibition of choline transporters promoted apoptotic FLS cell death (84). We have also shown possible therapeutic benefit in targeting choline kinase (ChoKα), the enzyme that catalyzes the first step in the cytidine diphosphate-choline pathway and which is essential for phosphatidylcholine (PC) biosynthesis. Its inhibition suppressing migration and enhancing apoptosis in cultured RA FLS, and significantly decreasing experimental arthritis in pre-treatment protocols as well as in established disease (35). Related to PC metabolism, phospholipase D (PLD) enzymes specifically cleave PC producing phosphatidic acid (PA) and...
choline. Agonist-induced PLD activation results in PA synthesis thought to be involved in a variety of rapid cellular responses such as cytokine secretion (85). In RA FLS and RA synovial biopsy explants, PLD isoform-specific inhibitors significantly reduced constitutive secretion of IL-6 and IL-8, further highlighting the importance of phospholipid metabolism in inflammation (86). Another study showed that activated inflammatory arthritis FLS from humans and animal models express significant quantities of autotaxin, which catalyzes the conversion of lysophosphatidylcholines (LPC) to lysophosphatidic acid (LPA). Notably, high levels of LPC and low PC/LPC ratios in plasma were shown to represent a reliable measure of inflammation (87). TNF induced autotaxin expression from FLS and LPA, in turn, induced an activated FLS phenotype in synergy with TNF (88, 89). Conditional genetic ablation of autotoxin in mesenchymal cells, including FLS, resulted in disease attenuation in animal models of arthritis (90).
**Metabolic coupling of cells in the RA synovium**
The problem with many of the studies described above is that they tend to treat FLS and STM as if they exist in isolation. But metabolism is not a private function, and metabolites produced by one cell can have profound effects on the biology of another. As described above, metabolites such as succinate, citrate and isocitrate accumulate in inflammatory macrophages and control metabolism in a feedback loop. It is possible that such metabolites derived from STM might have a role in influencing metabolism and function of proximal FLS, but this is yet to be investigated. Indeed, metabolite exchange between stromal and parenchymal cells is an essential function common to numerous metabolically active tissues including muscle, nerve, kidney, liver and testicle. SLC including the monocarboxylate transporters (MCT) are employed as a means of physiological metabolic coupling between different cell types, as extensively reviewed (91). Here macrophage-like cells commonly provide high-energy metabolic intermediates such as lactate and pyruvate to bioenergetically demanding partner cells where they can anaplerotically fuel the TCA cycle. A similar mechanism has been identified in epithelial cancers where both Warburg and so called ‘Reverse-Warburg’ metabolisms have been demonstrated and highlighted as therapeutic targets (92). The Warburg effect describes upregulation of aerobic glycolysis in the tumor cell itself and in the presence of ample oxygen. The ‘Reverse-Warburg effect’ describes a situation in which cancer-associated fibroblasts (CAF) provide lactate, ketone bodies and amino acids passed through MCT to fuel tumor cell proliferative behavior (93), as well as local angiogenesis associated with metastasis (94). Due to commonalities in cell behavior and microenvironment, one could hypothesize that similar symbiotic relationships might exist in the synovium to fuel immune cell effector function and FLS pathogenic behavior (Figure 4). Fujii et al showed in 2015 that late stage RA FLS have elevated levels of MCT4 compared to OA and that siRNA knockdown of MCT4 reduced arthritis severity in the murine
collagen-induced arthritis model, linking their findings to apoptosis resistance and synovial acidification (95). Expulsion via MCT4 is likely to be a necessary mechanism to protect cells from damaging effects of lactate accumulation. However, whether the lactate can be taken up and utilized by other cells is unknown. It is very likely that the role of MCTs and the sharing of metabolites between cells will differ during the course of RA as a reflection of mitochondrial health and changes to the joint microenvironment. Consequently, it will be important to study metabolic coupling in normal tissue and in the acute phase of disease to determine whether such relationships exist and if so, exploit their therapeutic potential, as is showing promise in cancer (96).
**Expanding knowledge of fibroblast metabolism**
The study of metabolism in cultured synovial cells has been important in understanding RA biology. Such studies have illustrated a ‘metabolic memory’ which is epigenetically imprinted upon cells in an inflammatory microenvironment and is lasting in *in vitro* culture. Metabolomic analysis continues to be a useful strategy for providing a metabolic snapshot on the status of such cells and to hint toward pathways worthy of further study. Use of technologies such as the Seahorse analyzer to observe bioenergetic responses, small molecule metabolic inhibitors and animal models have also played a role in expanding our current understanding of the field. However, for capturing the dynamic processes that regulate cellular metabolism, stable isotope metabolic tracer analysis is a powerful technique not yet applied to synoviocytes (97). This technique provides a comprehensive biological overview, allowing simulation and reconstruction of metabolism, and can provide insight at the compartment level (e.g. mitochondria versus cytoplasm, depending upon the tracer) (98). The increased concentration of a metabolite can be associated to either the upregulation of the enzyme responsible for synthesis or the downregulation of the one consuming it and metabolic tracer analysis allows these processes to be deconvoluted where traditional metabolomics is less informative (99, 100). Several heavy isotopes are available and include deuterium ($^2$H), nitrogen ($^{15}$N), oxygen ($^{18}$O) but the most commonly used is carbon ($^{13}$C). The most common isotopically labeled tracers are $^{13}$C-glucose and $^{13}$C-glutamine as these metabolites are main energy sources in many mammalian systems (101). Recent development of approaches to apply tandem mass spectrometry (MS/MS) to isotope tracing has offered the opportunity to determine positional labeling based on mass fragmentation (102).
As alluded to above, studying metabolic relationships of synoviocytes after treatment (103), and between FLS and STM within the RA synovium is an important future direction. Stable isotope analysis in concert with small molecule inhibitors will allow us to trace metabolite exchange between cells in culture. There is also a pressing need for conditional knock out animals to observe the importance of metabolite channels, transporters and enzymes in inflammatory diseases as an area of
great therapeutic potential. Finally, better histological markers are improving our understanding of FLS subsets, resident and infiltrating STM and the tissue organization of these cells. Imaging mass spectrometry can provide a metabolomic snapshot on a per pixel basis and may reveal spatially distinct metabolic signatures and important metabolic heterogeneity within the synovial environment (104).
**Metabolic pathways as therapeutic targets in rheumatoid arthritis**
The metabolic rewiring of immune cells has been viewed as a promising source of novel drug targets (8, 14, 105) but resetting metabolism in tissues central to RA pathogenesis offers additional opportunities for disease modulation and restoration of homeostasis in RA. In fact, rheumatologists already use the antimetabolites methotrexate (MTX) and leflunomide for the treatment of patients with inflammatory arthritis. Both drugs inhibit the reproduction of rapidly dividing cells such as lymphocytes, but have also been shown to inhibit FLS functions (106, 107). Of interest, sulfasalazine, which was initially developed as an anti-inflammatory drug to treat rheumatoid arthritis, was subsequently found to inhibit XCT, a cystine–glutamate exchange transporter (108).
Targeted approaches to metabolic inhibition are required to inhibit aggressive behavior in pathological cell types and leave those which aid resolution intact. Potentiation or restoration of protective mechanisms such as mitochondrial fusion and biogenesis and mechanisms which promote resolution of inflammation may also be favorable. Indeed, small molecules such as Mdivi1 which potentiate mitochondrial fusion have already shown potential in animal models of sepsis and may have further reaching applications (109). In addition, metformin is used in clinical management of type II diabetes and has shown promise in mouse models of arthritis (110). Though its effects on FLS are unknown, it is thought to act upon immune cells both by inhibiting complex I of the mitochondrial electron transport chain and through effects on the signaling molecule AMPK. Other AMPK activators, which will control cell proliferation and promote mitochondrial biogenesis might be another approach (43, 44).
Inhibitors of the signaling molecule PI3K which regulates glycolysis upstream of mTOR are in early stage clinical trials for cancer and show potential in RA (111). Furthermore, blockers of key glycolytic enzymes including phosphofructokinase-2/fructose-2,6-bisphosphatase 3 (PFKFB3) are showing promise to work in synergy with other inhibitors that target the angiogenic factor VEGF (112). Inhibiting glycolytic intermediates including succinate or lactate production could be of interest if proven to fuel synovial cell activation. Use of a small molecule modulator of PKM2 to prevent nuclear translocation has also potential for driving a shift toward an M2 phenotype and restoration of tolerance in diseases such as RA. In FLS, HK2 release from the mitochondrial membrane could potentially trigger FLS apoptosis. However, a better understanding of the signaling pathways which...
dictate the metabolic phenotype of immune and stromal cells in RA is required to capitalize on this area.
Blockers of the MCT which are central to metabolic coupling have been used in as yet unpublished first-in-man trials for epithelial cancers, and the effects of their knockdown in experimental arthritis suggest they offer potential in RA (95). Other solute carrier transporters, including Glut1, aminoacids or choline are potential therapeutic targets yet to be explored in arthritis. Furthermore, better stratification of patients through prognostic metabolomic analysis (16) and techniques such as choline C-11 PET scanning (83) may improve treatment of non-responders to existing therapies. Overall, whether targeting metabolism truly presents an option to increase the drug armamentarium in rheumatic diseases remains to be determined.
**Summary**
Systemic metabolism, immunometabolism and stromal metabolism are altered in RA and a growing body of publications in this field offers novel biomarkers for patient stratification and avenues for treatment. However, we are far from an exhaustive understanding of the pathways which discern the normal or pathogenic phenotypes of cells resident to the synovium in order to capitalize on these therapeutic opportunities. It will be important to better understand mitochondrial metabolism and dynamics, which are sparsely studied in the synovium, with a view to harnessing fusion and biogenesis pathways to restore mitochondrial health and tip the balance away from aerobic glycolysis in RA. Future directions toward single cell transcriptomic analysis and use of cells sorted directly from synovial tissue promises to improve our understanding of FLS and STM biology and there is a need for metabolic profiling of these cells prior to dedifferentiation associated with cell culture. Growing evidence suggests that multiple fibroblast and macrophage subsets are present in the inflamed synovium and their characterization will aid in directing new treatment toward those with a pathogenic and not a protective phenotype. Furthermore, the metabolic interactions between FLS, STM and infiltrating immune cells are unexplored and lessons from cancer biology suggest this will provide further avenues for therapeutic intervention. There is a pressing need for techniques such as stable isotope-based metabolic tracer analysis to track these interactions. Finally, a strategic window of opportunity exists such that RA patients receiving disease modifying treatments within 3 months of symptom development show a much improved prognosis when compared to those treated after this time point (113). To date, all studies of FLS metabolism have been conducted in cells derived from the joints of late stage disease patients after arthroplasty and studies of macrophages have utilized cells differentiated from monocytes *in vitro*. As we begin to understand that transient metabolic responses in acute inflammation may differ significantly from metabolic adaptation to damage in chronic inflammation, characterization of cells from uninflamed and earliest stages of human disease...
is needed to inform appropriate future therapeutic strategies with the ultimate goal of drug-free remission or cure for RA.
ACKNOWLEDGEMENTS
M.G. was supported by NIH 1K08AR064834, R03AR068094 and Rheumatology Research Foundation. This work was also supported by grants from the NIHR/Welcome Trust Clinical Research Facility, University Hospitals Birmingham NHS Foundation Trust and from Arthritis Research UK Grants: Targeting fibroblasts in the treatment of inflammatory arthritis (19791), Rheumatoid Arthritis Pathogenesis Centre of Excellence grant (20298) and Arthritis Research UK Experimental Arthritis Treatment Centre (20015).
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Figure 1 – Similarities between the rheumatoid arthritis synovium and the solid tumor microenvironment. In both tissues, fibroblasts and macrophages (MØ) reside in close proximity and within an oxygen and nutrient deprived, cytokine rich environment. Here they sustain mitochondrial damage and take on a chronically activated phenotype supported by increased glycolytic metabolism. In RA, the fibroblasts themselves are proliferative, invasive and migratory while in cancer fibroblasts support proliferation, invasion and metastasis of tumor cells. Adaptive immune cell-fibroblast interactions differ in tumor and RA microenvironments. Activated T (green) and B (blue) cells are present in the synovium in RA but are suppressed in the tumor microenvironment. Little is known about fibroblast or macrophage metabolism in early RA and the metabolic changes which take place during the transition from health to disease. (ROS, reactive oxygen species).
Figure 2 – Major pathways important in synoviocyte metabolism. FLS and monocyte derived macrophages are heavily reliant upon glucose metabolism and regulate glucose transporter member 1 (Glut1) in response to inflammatory and stress stimuli. This fuels adenosine triphosphate (ATP) production in conditions of high energetic demand. Glucose is utilized in the pentose phosphate pathway to synthesize building blocks for nucleic acids, and to generate NADPH to control redox status and support lipid synthesis. Alternatively glucose is metabolized via glycolysis to pyruvate which is either transported into the mitochondria to contribute to tricarboxylic acid (TCA) cycle flux or is converted to lactate in the cytoplasm and removed from the cell via monocarboxylate transporter 4 (MCT4). TCA cycle flux contributes to ATP production via oxidative and substrate level phosphorylation. When matrix citrate levels rise, citrate is transported to the cytoplasm and yields acetyl-CoA, the starting material for synthesis of fatty acids, cholesterol and lipids. Some such lipids are exported from the cell as bioactive metabolites such as sphingosine 1 phosphate (S1P), free fatty acids (FFA), phospholipids and eicosanoids. Acetyl-CoA as well as succinate generated from the TCA cycle can be utilized in production chromatin modifying enzymes (CME) and cofactors. Choline is taken up via choline transporter-like (CTL) 1/2 is an important substrate in FLS biology. Choline can be converted to betaine which is used in production CME and cofactors or converted to glycine for use in protein synthesis. Alternatively, choline is phosphorylated to phosphocholine and utilized in membrane phospholipid and bioactive lipid synthesis. A number of signalling molecules have been identified which control the described metabolic pathways but have sparsely been explored in FLS. AKT, protein kinase B; AMPK, 5’ adenosine monophosphate-activated protein kinase; G6P, glucose-6-phosphate; HIF-II, hypoxia-inducible factor II; Myc, Myc proto-oncogene protein; p53, cellular tumor antigen p53; PI3K, phosphatidylinositol 4,5-bisphosphate 3-kinase; R5P, ribose-5-phosphate;
S1P, sphingosine-1-phosphate; SREBP, sterol regulatory element-binding protein; mTOR, mechanistic target of rapamycin; PPAR\(\gamma\), peroxisome proliferator-activated receptor gamma; NF-\(\kappa\)B, nuclear factor \(\kappa\)B pathway; uPFK, 2phosphofructokinase 2.
**Figure 3 – Mitochondrial dynamics; the cycle of fusion and fission.** Mitochondrial morphology changes dynamically in response to stress and changing energetic demand. This is under the control of signalling molecules including sirtuin 1 (SIRT1), signal transducer and activator of transcription 6 (STAT6), nuclear respiratory factors 1 and 2 (NRF1/2) and peroxisome proliferator-activated receptor gamma coactivators 1\(\alpha\) and \(\beta\) (PGC-1\(\alpha/\beta\)). Mitochondria fuse to make tubular networks under the control of mitofusins (MFN) 1 and 2 and optic atrophy (OPA1), a mechanism which is thought to increase ATP production by oxidative phosphorylation, protect mitochondrial DNA from damage in the presence of elevated reactive oxygen species (ROS) and leads to mitochondrial biogenesis and increased mitochondrial mass. Mitochondrial fission occurs under the control of dynamin related protein 1 (DRP1) and mitochondrial fission 1 (FIS1) and produces increased numbers of punctate mitochondria. Fission usually corresponds with reduced oxidative phosphorylation and increased aerobic glycolysis and can predispose to mitochondrial-selective autophagy (mitophagy) to regulate mitochondrial mass or remove damaged organelles. The box shows a number of mitochondrial observations made in FLS cultured from RA patients both in a resting state and after stimulation with proinflammatory cytokines, alluding to possible but as yet uninvestigated changes in mitochondrial dynamics.
**Figure 4 – The ‘reverse Warburg’ effect in cancer and rheumatoid arthritis?** In epithelial tumours, the reactive oxygen species (ROS) produced by metabolically active cancer cells causes mitochondria-selective autophagy (mitophagy) and activate hypoxia inducible factor 1\(\alpha\) (HIF1\(\alpha\)) in local cancer-associated fibroblasts (CAF). As a result the CAF upregulate aerobic glycolysis, producing copious lactate which is expelled from the cell via monocarboxylate transporter 4 (MCT4) and taken up by the cancer cell via MCT1. Lactate, pyruvate and other metabolic intermediates such as amino acids and ketone bodies can feed the mitochondrial TCA cycle in cancer cells or indeed local endothelium to increase ATP and biomolecule synthesis and drive pathogenic proliferation, invasion and metastasis. MCT 1 and 4 can be blocked *in vitro* using the small molecule inhibitor \(\alpha\)-cyano-4-hydroxycinnamic acid (4CIN) and *in vivo* using AZD3965, which is in early phase clinical trials for treatment of small cell lung cancer. In RA it is known that mitochondrial damage, HIF1\(\alpha\) activation and upregulation of MCT4 can be induced in late stage disease FLS by the pathogenic
microenvironment but the metabolic relationships between these cells and other cells within the joint have yet to be elucidated.
| Term | Definition in the context of this review |
|-----------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Aerobic glycolysis | The metabolic pathway which utilizes glucose to generate ATP in the presence of oxygen. End products of this process are pyruvate which can be imported into mitochondria for use in the TCA cycle or lactate which is expelled from the cell as waste. |
| Anabolism | The enzymatic synthesis of molecules from smaller components. |
| Anaplerosis | The replenishment of metabolic intermediates into the TCA cycle as substrates for biosynthesis and the generation of ATP. |
| Bioenergetics | The study of energy production by cells. Often associated with use of the Seahorse analyzer to assess glycolysis and oxidative phosphorylation rates in real time. |
| Catabolism | The enzymatic degradation of molecules into smaller products. |
| Cataplerosis | The removal of TCA cycle intermediates for use in biosynthesis or to prevent build up within mitochondria. |
| Electron transport chain | A set of complexes of the inner mitochondrial membrane that shuttle electrons from NADH and FADH$_2$ to oxygen. The redox reactions of the chain produce an electrochemical gradient of protons across the membrane which drives synthesis of ATP by oxidative phosphorylation. |
| Hypoxia | Oxygen deficiency in tissues, such that oxygen tension is below that of healthy physiological conditions. Normal oxygen levels differ between tissues and therefore the level at which a tissue is considered to be hypoxic is variable. The RA joint has an oxygen tension of 8% in health and <3% in RA. |
| Imaging mass spectrometry | A mass spectrometry based technique which allows the spatial distribution of the metabolome to be visualized in a tissue section. This offers insights into where pathogenic metabolic changes are taking place in tissues and is yet to be applied to the synovium. |
| Immunometabolism | The research field which investigates metabolism in the context of immunity and inflammation. As stromal cells are crucial to both induction and resolution of these processes, we consider the study of their metabolic processes to be embedded in this field. |
| Metabolic coupling | The transfer of metabolites between cells in a manner which benefits the biosynthetic and bioenergetic requirements of the recipient cell. |
| Metabolic flux analysis | Also known as ‘stable isotope metabolic tracer analysis’, this is a 13C isotope tracing methodology involving incubation of cells with a stable isotope, quantitation of metabolite labeling using mass spectrometry or NMR spectroscopy, and computational fitting of the data to a model allowing estimates |
| Term | Definition |
|-------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Metabolic memory | Imprinting of a metabolic phenotype on a cell by cues within its microenvironment, such that the phenotype is maintained after the cues are removed or the cells is removed from the tissue. |
| Metabolome | All substrates, intermediates and products of metabolism associated with a given system or compartment. These may be intracellular or extracellular. |
| Metabolomics | Used synonymously with the term ‘metabolic profiling’, this is the identification and measurement of all or a targeted set of metabolites within a body fluid, cell population or tissue conducted by NMR spectroscopy or mass spectrometry. |
| Mitochondrial biogenesis | The generation of greater mitochondrial mass to increase the capacity for mitochondrial function and ATP production within a cell; this process is important to health but is uninvestigated in RA. |
| Mitochondrial dynamics | The balance and transition between mitochondrial fusion and fission, movement and degradation; processes which are important to health but in uninvestigated in RA. |
| Mitochondrial fission | The division of mitochondrial networks into individual, punctate organelles, principally controlled by outer membrane proteins DRP1 and FIS1. |
| Mitochondrial fusion | The formation of tubular mitochondrial networks through MFN1, MFN2 and OPA1 mediated joining of individual organelle membranes. This process is associated with increased ATP production and protection of mitochondrial DNA from reactive oxygen species. |
| Mitophagy | ‘Mitochondrial-selective autophagy’. The selective degradation of defective mitochondria without the release of inflammatory mitochondria-associated DAMPS. |
| Oxidative phosphorylation | Generation of ATP by the mitochondrial ATP synthase and driven by the electrochemical gradient of protons generated by the electron transport chain. |
| Pentose phosphate pathway | The pathway which oxidizes glucose to generate NADPH for the maintenance of the cellular redox balance and 5 carbon sugars utilized in anabolic processes such as nucleic acid synthesis. |
| Positron emission tomography | Use of a radioactive tracer isotope incorporated into a metabolic substrate to visualize metabolizing cells in a whole organism. Commonly, labelled glucose is used to identify tumors but is also useful in highlighting sites of inflammation such as the RA joint. |
| Reverse Warburg effect – | The production of high energy metabolic intermediates by one cell to anaplerotically feed ATP production by a neighboring cell. Currently characterized only in epithelial tumors where cancer-associated fibroblast feed lactate and other metabolites to tumor cells through channels such as the monocarboxylate transporters. |
| Term | Description |
|-----------------------|-----------------------------------------------------------------------------|
| TCA cycle | The tricarboxylic acid cycle is a series of chemical reactions which take place in the mitochondrial matrix generating ATP by substrate level phosphorylation and NADH and FADH$_2$ by oxidation of fuel molecules. The NADH and FADH$_2$ are further oxidized by the electron transport chain. |
| Warburg effect | Pathological increase in glycolysis associated with reduced oxidative phosphorylation despite the presence of oxygen. This describes a cellular bioenergetic phenotype classically associated with tumor cells but now also associated with activated immune cells. |
| Normal Synovium | Transiently Inflamed/Early RA Synovium | Late Stage RA Synovium | Cancerous Tissue |
|-----------------|----------------------------------------|------------------------|------------------|
| **FLS Phenotype:** | **FLS Phenotype:** | **FLS Phenotype:** | **FLS Phenotype:** |
| Non-activated | Acutely activated | Chronically activated | Activated |
| Healthy | Healthy | ROS Damaged | ROS Damaged |
| Quiescent (Non-proliferative) | Proliferation unknown | Proliferative | Proliferative |
| Non-migratory/invasive | Migration/Invasion unknown | Migratory/Invasive | Migratory |
**Time (years)**
- **Normal Synovium**
- FLS Glycolysis
- MØ
- Macrophage Phenotype: Quiescent, resident MØ
- No monocyte infiltrate
- Microenvironment: 8% O₂
- High nutrient availability
- Low cytokine exposure
- Low immune surveillance
- **Transiently Inflamed/Early RA Synovium**
- FLS ?
- MØ
- Macrophage Phenotype: Activated, resident
- Monocyte infiltration
- Microenvironment: ? nutrient availability
- High cytokine exposure
- Acute immune infiltrate
- **Late Stage RA Synovium**
- FLS Glycolysis
- MØ
- Macrophage Phenotype: Activated, resident MØ
- Monocyte infiltration
- Microenvironment: ≥1% O₂
- Low nutrient availability
- High cytokine exposure
- Chronic immune infiltrate
- **Cancerous Tissue**
- FLS Glycolysis
- MØ
- Macrophage Phenotype: Cooperative resident MØ
- Microenvironment: ≥0.5% O₂
- Low nutrient availability
- High cytokine exposure
- Suppressed immune infiltrate
Glucose
- Glut1
- mTOR
- p53
- Nrg1a/PI3K
- PDK1/PAFR
- AKT
- MYC
- HIF1α
G6P
- ATP
- R5P
- NADPH
Fatty Acids
Cholesterol
Lipids
Nucleic Acids
Lactate
- MCT4
- Lactate
- Pyruvate
Citrate
Succinate
Acetyl-CoA
Proteins
CME Cofactors
Membrane Phospholipids
Bioactive lipids:
- S1P
- Fattyacids
- Phospholipids
- PFA
Choline
- CTL1/2
- P Choline
Amino Acids
Betaaine
Glycine
ATP
TCA Cycle
Intracellular Space
Mitochondrion
Signal molecules
Channels
Metabolites
Biosynthetic products
Accepted Article
Mitochondrial changes in cultured RA FLS
Resting:
- Increased mtDNA mutations
- Reduced oxidative phosphorylation
- Reduced membrane potential
- Perinuclear clustering
- Altered Morphology (Fusion/ fission dynamics unknown)
- Increased autophagy (mitophagy unknown)
- Decreased apoptosis
Additional effects after *in vitro* activation:
- Increased ROS and NO
- Dysregulation of Ca$^{2+}$ flux
↑ Biogenesis
↑ Mitochondrial Mass
↑ Oxidative Phosphorylation
↑ Macromolecule synthesis
↑ Cell Division
Mitochondrial Dynamics
SIRT1/ STAT6
NRF1/2
PGC-1α/β
DRP1
FIS1
FUSION
FISSION
↑ Mitophagy
↑ Mitochondrial Number
↑ Glycolysis
↑ mtDNA Mutation
Cancer Associated Fibroblast
Tissue Resident Macrophage
Or
Late Stage RA FLS
Epithelial Tumor Cell
Metabolically Active Cell
Or
Unknown Synovial Cell
AEROBIC GLYCOLYSIS
↑HIF1α
Mitophagy/Autophagy
Lactate
Ketones bodies
Amino Acids
MCT4
MCT1
4CIN
AZD3965
ROS
Proliferation
Invasion
Metastasis
ATP
Macromolecules
TCA Cycle
|
Analysis of the Procedure for Balancing the Local Budgets in Romania
Liliana BUNESCU\(^1\)
Marian CRISTESCU\(^1\)
Abstract
This paper aims to provide a short analysis of the procedure for public financial resources allocation throughout the country to supplement the local budgets. Is there a proper, objective and balanced distribution of public funds among the Romanian counties? Does any county face disadvantage by the allocation of amount from certain state budget revenues? An unequal, irrational economic development within a country results in changing the equilibrium and influences the overall balance and the individuals of the state. Local budgets are highly dependent on the funds they receive from the central budget. Very few local communities contrive to generate sufficient revenues by their own. Balancing local budgets is a necessity, but the balancing procedure suffered many legislative changes. Inadvertency consists not necessarily in the procedure of distribution of public money, but in the efficiency and effectiveness with which they are used locally.
Keywords: budgetary allocations, balancing local budgets, public appropriations procedure, public procedure, VAT repartition
JEL Classification: H72, H61
1. Introduction
Public administration reform is one of the priority themes of the current government, focusing on its financial component. When the economic crisis is felt at all levels and in all areas it is not hard to make it obvious that the procedures and practices currently followed by the Romanian authorities are at a higher level of austerity and they are challenged by the current government. Balancing local budgets remains a current topic and it is subject of many debates.
Also, another issue that has made its make in the past, present and future is the local autonomy of an administrative-territorial unit. Local autonomy is only financial and
\(^1\) “Lucian Blaga” University, Sibiu, email@example.com, firstname.lastname@example.org
administrative. It is exercised according to Romanian laws. The idea of local autonomy for ethnic, linguistic or territorial operational criteria cannot be discussed. The local autonomy means engaging the right and effective capacity of local authorities to solve and manage an issue within the boundaries of the law that results in its own benefit and in the benefit of local population, an important part of public affairs (European Local Autonomy Charter, 1985). This right shall be exercised by local councils, mayors and by county councils. Local autonomy of a town targets an operational organization, competences and duties, resource management of the territory, city or county.
The national economic policy provides to the local authorities the right to have their own sufficient financial resources. They are able to use them freely for public services or investments. Their resources come from local taxes. Own financial resources of a local community may be in excess or deficit for financing the local public needs. Thus, annually, the Ministry of Finance allocates money from the state budget to balance the local budgets. There will always be a contradiction in views between communities that have own sufficient income and the ones that do not have sufficient funds for maintenance costs of a locality. Local representatives of the first category support the abolition of local budgets balancing, while the representatives of the latter will want to get as much money in this way. This dispute is taking place on two levels of governance: from central to local level and from local to central level.
Local government budget and local policy making process is a current subject of research for many specialists all over the world, such as Municipal Research&Services Center of Washington (1999) or Anwar Shah (2007, *Public Sector Government and Accountability Series - Local Budget*). An important topic in local budgeting process research is reserved to fiscal decentralization (Bahl Roy, 1999). Issues on local budgetary procedures could be found in the Romanian literature in several public finances books or public budget books, such as those of Văcărel I. (2006), Mosteanu T. (2008), Georgescu M.A. (2009), Gh. Matei, Drăcea M., Drăcea R., Mitu N. (2007), Ungureanu M.A. (2009), Popescu N. (2002). Such books do not refer to the distribution of public money from national to local level.
Bird Richard and Smart Michael (2001) underlined some lessons from international experience on intergovernmental fiscal transfers. Bahl Roy (1999) studied the intergovernmental transfers in developing and transition countries, Yun-Hwan Kim and Paul Smoke (2003) studied them in Asia (Cambodia, India, Indonesia, Pakistan and Philippines), Bergvall Daniel, Charbit Claire, Kraan Dirk-Jan and Merk Olaf (2006) for the OECD countries; Erny Murniasih (2003) in Indonesia, Jamie Boex, Randson Mwadiwa, Reckford Kampanje (2001) for Malawi, etc.
A study undertaken by the Institute for Public Policy (2005) tried to identify, through the quantitative and qualitative analyses made in 2004 in various parts of Romania, several crucial aspects meant to contribute to an improvement of the existing budget equalization system. They made an analysis of allocations from county-to-local level and of allocations from national-to-county level. Their conclusions were that the current budget equalization system should be improved, avoiding that one and the same indicator to be measured in different ways (such as fiscal capacity), that the budget equalization process to be performed directly by the Ministry of Public
Analysis of the Procedure for Balancing the Local Budgets in Romania
Finances, without the intercession currently undertaken by the county councils, etc.
Horizontal fiscal balance or equalization, as it is usually called in research papers, is a concept with many different interpretations. A theoretical approach to the equalization of local budgets as a premise of financial decentralization in Romania was made by Glodeanu E. and Glodeanu C. (2007); they summarized some optimal solutions for budget equilibrium.
The paper is structured into three parts. The first part outlines some ideas about public administration and about local autonomy. In the second part, we have synthesized the main characteristics of the procedure for balancing the local budgets during 1992-2009. The main part of the paper includes an analysis of inter-county repartition of the VAT after 2007. Our analysis focuses on the allocations from national level to county level by type of amounts decentralized from the state budget and by destinations. We attempt to show the inequalities between the Romanian counties in terms of financing the local budgets from the state budget. Reducing the local inequalities in terms of financing should be included among the main measures of the Romanian authorities. The last part contains a number of conclusions and personal opinions. Research methods that we use include synthesis, static and dynamic comparative analysis, graphical representation of events and phenomena investigated and deductive logic.
2. Procedure for balancing the local budgets
The necessity of protecting the territorial administrative units is obvious for those that have a worse financial situation. This requires establishment of an authority responsible for creating financial equalization procedures or measures designed to correct the effects of the unequal disbursement of financial resources. Local budgets are essentially made of local revenue and revenue received from the central level. The access of local communities to the capital market leads to another source of revenues for the local budgets. This refers to local public loans. Own revenues are incomes that the authorities generate locally. The level and sources of this kind of incomes are controlled and decided by the local authorities within the limits provided by law. It can be said that the degree of local autonomy of a community largely depends on the rate of local revenues or other income resources of the local budgets. Ideally, it should be that their incomes cover the expenditures occurred by local public requirements.
Taxes are collected at national level by the Ministry of Finance through the financial district directorates. Later, a part of them is shared between different levels of state administration authorities. Local authorities receive shares of income tax and VAT. Income from central authorities have a main objective, namely to correct imbalances that occur locally both vertically (the local taxes do not cover the public services expenditures), and horizontally, because not all local communities are doing well financially. All local public administrations have the requirement to provide equivalent services as quality and quantity (Institute for Public Policy, ProDemocracia Association, 2001, pp. 41). This balance is achieved horizontally between counties and county towns.
Rates and amounts deducted from certain incomes of the state budget, the additional quotas to some state budget revenues and special purpose transfers from the state budget form local budgets revenues. Therefore, they are included as such in the budget of an administrative-territorial unit. Effective allocation of the amounts deducted from certain incomes of the state budget on villages, towns and cities is done by each county council, by decision of its head. They are distributed with priority to those administrative-territorial units which have insufficient incomes, after a consultation with mayors. The appropriations are made according to allocation criteria approved by the state budget and with technical assistance from the local public finances directorates.
In the last ten years, the allocating procedure of funds from the state budget to local budgets witnessed many legislative changes to its efficiency and improvement. This paper tries to achieve a timing of this procedure, depending on the republication of the law on local public finance:
**Stage 1999-2003:** Since 1999, the Law no. 189/1998 on local public finance granted to local communities shares of the income tax. Thus, to the date of wages payment, the income tax which companies owed to the state budget was transferred 50% to the state budget, 40% to the budget of villages, town or cities and 10% to the county budget.
Under Law no. 216/26.04.2001 on the state budget for 2001, funds collected from income tax were distributed as follows:
- To balance the local budgets. These amounts of money were 25% allocated to the county budget and 75% distributed to localities by the county council;
- To subsidize heat power delivered to people. These appropriations were determined by an Annex of the State Budget and they were distributed by the county council, depending on the heat delivered to the population;
- Shares of VAT tax to finance expenditure of pre-university educational institutions, nurseries and local agricultural advisory centers.
36.5% of the income tax collected to the state budget in each administrative-territorial unit was monthly allocated to the localities’ budget, 10% to the county’s budget and 15% to the county council to balance the budgets of localities. 2002 came with 1 percentage increase in the rate of 15% available to county councils to balance local budgets, thus reaching 16%. Shares of income tax were distributed according to these criteria: 10% territorial area, 15% the number of people assisted in social welfare institutions, 5% the number of undergraduate students and 70% financial capacity (Law no. 216/2001).
**Stage 2004-2006:** In this period, the amounts of money allocated from the state budget aimed to destinations such as: balancing local budgets, financing of social benefits and households heating, funding child welfare system, funding cultural institutions, subsidizing heat energy, financing pre-university education institutions, the nurseries, local agricultural advisory centers. In 2005, the government decided to appropriate money for county and municipal roads.
Distribution by county of shares of certain incomes of the state budget was done according to GED no. 45/2003, 70% depending on financial capacity and 30% on
county area. A share of 36% of income tax collected by the state budget was distributed for financing the local budgets of villages, towns and cities, 10% for financing the county budget and 17% were getting paid to an account opened on behalf of the county council to balance local budgets of localities and counties. 25% of the 17% share of income tax collected from the state budget and from other appropriations for balancing local budgets was allocated to the county budget and 75% to villages, towns and cities budget, following the criteria: 30% financial capacity, 30% town area, 25% population, 15% other criteria.
The annual budget appropriations for the destination mentioned above is presented in Table 1 of the Appendix, without considering them limited. They do not reflect corrections of the annual State Budget Law after its adoption.
**Stage 2006-2010:** When Romania joined the European Union, the State Budget Law has changed the structure of funds allocated to the local communities.
Amounts allocated from the state budget incomes are funds distributed to balance local budgets, to spend on special purpose, to finance decentralized public services or to finance new public spending. In this period, public money were allocated to Romanian local budgets according to the next destinations:
a) to finance decentralized expenditures in the county;
b) to finance decentralized expenditures in the villages, towns and cities;
c) to finance expenditure on county roads. Their distribution is made by each local community depending on their length and technical condition, according to the decision of the county council after a consultation of mayors;
d) to balance local budgets of villages, towns, cities and counties;
e) to finance the governmental program for developing infrastructure and sports facilities in rural areas.
Amounts of destination a) are intended to finance the child welfare system and social welfare centers for persons with disabilities, granting rights of dairy and bakery products for students of I-VIII grade public education institutions and for preschool children in public kindergartens with four-hour program, to finance expenditures on honey as a nutritional supplement for preschoolers and students from I-IV grades, expenditures on special education and county centers for educational assistance, etc.
Amounts of destination b) are intended to finance personal expenditures, scholarships and inventory objects of pre-university public education institutions, to finance expenditures for personal assistants of people with severe disabilities, to finance population welfare, domestic heat power produced from wood, coal and fuel oil, public nurseries spending, etc.
Under current legislation, the VAT allocated to balance local budgets is distributed by counties according to the following criteria:
a) 70% financial capacity determined by the income tax collected per capita, and
b) 30% a share as according to county area.
According to Local Public Finance Law no. 273/2006, the income tax collected to the state budget in each county is monthly allocated a **47%** quota to local budgets of villages, towns and cities, a **13%** quota to local budgets of counties, a **22%** quota to
an account opened on behalf of the public finance directorates for balancing local budgets of villages, towns, cities and the county.
Table 2 of the Appendix centralizes initial budgetary provisions from State Budget Laws over the last four years, without influences of the budgetary corrections.
Financial decentralization is a key component of the public administration reform in Romania. It is an action which has as effect strengthening the power and role of local government in managing public services. The data summarized in the previously mentioned tables make us say that in the last nine years the allocation of funds was increasingly higher to the finance local public spending. Their positive trend shows us an intensification of the decentralization process. A strengthening of the financial autonomy of local public administrations, considering that they are closest to the citizens, is revealed, too. Decentralization process effects are not visible in the short term, but they can be integrated in the quality of public services in the long term view.
3. Inter-county repartition of the VAT between 2007 and 2010
One of the major objectives of Romania is building a fair society. National Fiscal Administration Agency has over 8 million taxpayers on record, so it should care for an equitable distribution of public funds to be taken for them. Discrepancies that can occur in financial terms between different regions of the country have repercussions in time on the social and economic development. They are amplified by the differences between financial resources available to each local public administration. The main pillars for achieving a fair and balanced national economy are the state budget, the national budgetary policy, managerial competitiveness of a public manager supported by a healthy trend of macroeconomic growth.
The country's economy is currently characterized by a significant reduction of activity in all sectors. The macroeconomic context in which the allocation of public funds at inter-county level is done is as follows:
- According to data published by the National Institute of Statistics, GDP in the second quarter of 2009 decreased by 1.2% as compared to the first quarter 2009. As compared to the corresponding period of 2008, the GDP (gross figure) decreased by 8.8% in the second quarter of 2009 (National Institute of Statistics, Press Release no. 168, 2009). The Gross Domestic Product estimated for the first half of 2009 was 206.45 billion lei at current prices, down - in real terms - by 7.6% as against the first half of 2008. The quarterly evolution of GDP in 2010 was characterized by a decrease, in real terms, in each quarter as compared to the correspondent one from 2009, by 2.6 percents in the first quarter of 2010, by 0.5 percents in the second quarter and by 2.5 percents in the third quarter of 2010 (National Institute of Statistics, Press Release from 14.12.2010).
- In the first quarter of 2009, the employment rate of working age population (15-64 years) was 57.4% and the unemployment rate 6.9% as according to International Labor Office (ILO) criteria. Considering the residential environments, the spread between the two ILO unemployment rates was 1.5 percentage points (7.5% for
urban area, as compared to 6.0% for rural area - National Institute of Statistics, Press Release no. 160, 2009). In the third quarter of 2010 the unemployment rate in Romania was 7.4%, by 0.1 percent lower than at the end of 2009, and much higher than in the last quarter of 2008 (4.2%, see BNR http://www.bnr.ro/Raportul-asupra-inflatiei-3342.aspx). According to data published by The National Bank of Romania, in the second quarter of 2010 the employment rate was 60.1%, below the average of EU-27 (64.3%).
- In July 2009, the gross nominal average earning was 1901 lei, by 0.7% more than in the previous month. Net nominal average earning was 1390 lei, up from the previous month by 11 lei (0.8% - National Institute of Statistics, Press Release no. 173, 2009). National Institute of Statistics from Romania informed on 7th April 2010, via a press release, that the net nominal average earning was about 1,436 lei.
- Inflation rate was 7.77% in the third QUARTER OF 2010, with 3.36 percents more than in the second quarter of that year. In the last quarter of 2010 inflation rate increased to 7.96% whilw the inflation target for 2010 was 3.5%. (Natinal Bank of Romania Report, February 2010).
Representatives of the central government have to fulfill through their actions the needs of the 41 counties, 320 cities, 2860 towns and 12,956 villages across Romania. The Romanian territory is divided into the following areas of development: North-East (Bacău, Botoșani, Iași, Neamț, Suceava, and Vaslui counties), South-East (Brăila, Buzău, Constanța, Galați, Tulcea, and Vrancea counties), South Muntenia (Argeș, Călărași, Dâmbovița, Giurgiu, Ialomița, Prahova, and Teleorman counties), South-West Oltenia (Dolj, Gorj, Mehedinți, Olt, and Vâlcea counties), West (Arad, Caraș-Severin, Hunedoara, and Timiș counties), North-West (Bihor, Bistrița-Năsăud, Cluj, Maramureș, Satu Mare, and Salaj counties), Center (Alba, Brașov, Covasna, Harghita, Mureș, and Sibiu counties) and Bucharest-Ilfov (Bucharest Municipality and Ilfov County). It is a certainty that the 8 regions of the country have different levels of economic development. According to the European standards, the public funds allocation is made inversely to the degree of economic development, in order to close the gap between regions and between counties.
In the period under review, the government decided the distribution of central government funds as in Table 3 of the Appendix.
At first glance, we can say without a doubt that the sums from the state budget allocated to local public administrations are experiencing an increasing trend year by year, supported by the economic growth of recent years in Romania.
1. VAT amounts to finance decentralized expenditures of counties:
The State Budget Law of 2009 provided over 2 billion lei to cover public spending in the counties, by about 200 million (11%) more than in 2008. In 2008, these allocations were higher by 28% than in the previous year. In 2008 compared to 2007 the increases in VAT to finance decentralized expenditures in the counties held values up to 10%, in Iași County, and 65%, in Covasna County. Instead, 2009 came with much diminished growth of these amounts, so the counties budgets grew up by maximum 20 percentage points. Moreover, five counties, Vrancea (-7%), Botoșani (-8%),
Constanta (-4%), Teleorman (-2%), and Bacau (-1%) experienced some reductions in the amounts received to cover county’s public expenditures. Interesting is that it keeps almost constant year by year the top of the counties which receive the largest or the smallest amount of VAT to finance decentralized expenditures of the counties. Thus, in the analysis of three years, it can be noticed that two counties in north-east of the country (Iași, Suceava) and two counties in western country (Timiș, Bihor) are those that receive the largest amount of VAT to finance decentralized expenditures of the county, values exceeding 73 million/county. Oppositely, one can find counties with a reduced area, in the south of the country (Călărași, Ilfov, Giurgiu, Mehedinți, Ialomița), and Covasna (in the center of the country), which receives the lowest amount of money for this destination. These counties were allocated in the 2007-2009 period amounts of money not exceeding 27 million lei/county, 4-5 times less than the previously mentioned counties.
2. **VAT amounts to finance decentralized expenditures of villages, towns and cities:**
In terms of public funds allocated to these destinations, there is a growing trend by decreasing growth rates. State Budget Law on 2009 set over 11 billion lei to finance budgetary expenditure of communities. The 2008 year brought an increase in allocations to the villages, towns and cities local budgets by 26% as compared to 2007. The year 2009 came with an increase by only 7% as compared to 2008, considering the authorities’ intentions to limit budget spending at all levels. Watching on distribution evolution of the appropriations by counties, Harghita, Tulcea, Galati were growing by 14-15 percentage points in 2009 as compared to 2008, while counties such as Neamț (-1%), Ialomița (-4%) and Ilfov (-8%) faced local budgetary reductions. In the analyzed three years one may find among the top counties with the largest amounts allocated to finance local public expenditures three counties of North-East region (Iași, Suceava, Bacau) and two counties from South Muntenia and South-West Oltenia regions (Prahova, and Dolj). They were receiving allocations below 350 million lei/county in 2009. By contrast, allocations below 150 million lei/county in 2009 were found in counties with small areas from south-east and south of the country, as follows: Ilfov, Tulcea, Giurgiu, Ialomița, Călărași, and Covasna in the center of the country.
Even if 2010 was a year when the economic crisis effects were still notable and the state budget deficit increased, the VAT amounts to finance decentralized expenditures at local level experienced a slow increase. In 2010, the Ministry of Public Finances has as target a budgetary deficit of 5.9% of GDP, lower than in 2009 (7.2% of GDP). Even if public revenues have decreased as compared to 2009, the VAT amounts to balance county budgets recorded an increase of 31.2 millions RON. This increase was not the same at territorial level, 16 Romanian counties had to spend less money than in 2009 (i.e. Satu Mare, Sălaj, Sibiu, Cluj, etc.). In terms of VAT amounts to finance decentralized expenditures of villages, towns and cities, the situation was unfavorable, 29 counties receiving from Government less public money than in 2009. It can be noticed the case of Vâlcea County, which was the county with highest VAT amounts to finance decentralized expenditures (27% increase in VAT amounts for county budget, and 48% increase in VAT amounts for cities, towns and villages budgets in 2010/2009).
Inter-county distribution of VAT is detailed in Table 4 of the Appendix.
3. **VAT amounts to balance local budgets of villages, towns, cities and counties:**
During 2007-2009, Romania has allocated about 2 billion lei to balance local budgets. The 2008 year brought budgetary allocations increases by 5% against 2007. The 2009 global economic crisis led to a decrease by about 17% over 2008. The visible discrepancies between the amounts allocated to balance local budgets are noteworthy. If in 2008/2007 only 17 counties of 41 were recording reduced balancing appropriations, in 2009/2008 only 13 counties were receiving increased balancing allocations. In 2009, the largest increase in state budget allocations to balance local budgets was done for Botoșani, by 1.9 times more than in 2007. At the same time, the drastic reduction of allocated amounts was experienced by Cluj, by 42% down. A rule for public resources’ allocation for this destination on counties can be found: the current year State Budget Law allocates to a certain county a diminished amount of money if it was raised in the previous year; oppositely, an increased amount of money if it was reduced in the previous year. In the analyzed period, the top of counties with the largest/the lowest allocations from the state budget to balance local budgets remained constant. Thus, between 2007 and 2009 five of the top ten counties with the largest allocations were from Moldavia (Suceava, Vaslui, Neamț, Bacău, Iași). Each of them received over 60 million/year. Oppositely, five of the ten counties with the lowest allocations for this destination were from Transylvania (Covasna, Sălaj, Sibiu, Brașov, Hunedoara), and Ilfov. The amounts did not exceed 38 million lei/county.
**Figure 1**
*VAT amounts to finance local expenditures*
The year 2010 does not bring some considerable changes in public money amounts obtained from central authorities for balancing local budgets. Each Romanian town or village received in 2010 the same financial resources as in 2009. This rule is not
followed by two counties. The first one is Mureș. This county received in 2010 from state budget a VAT to balance their local budgets by 10% lower than in 2009, this was the biggest drop between counties. The second one is Ilfov. Ilfov County is a privileged county, it receives 3 percents more public money from the central level to balance local budgets.
4. VAT amounts to finance roads:
Annually, the authorities invested, at least on paper, public funds in local infrastructure, these amounts being 1.16 times higher in 2009 than in 2008, and 1.19 times in 2008 than in 2007. The State Budget Law for 2009 provided 551.7 million lei for this destination, which means 74.77 million lei more than in the previous year. It must be said that there are not significant differences between counties in terms of increasing the budgetary allocations percentages for public roads. There is uniformity in increasing budgetary allocation for public roads in the 41 counties of Romania. Hunedoara, Bihor, Argeș, Timiș, Buzău, and Cluj were the counties that received in the last three years the largest amounts of money for local infrastructure, amounts exceeding 19 million lei/county. Annually, the rating remained constant at the opposite side. Here could be found the next counties: Ilfov, Covasna, Giurgiu, Călărași, Ialomița, Brăila and Tulcea. They were receiving the lowest annual budgetary allocations for financing public roads, exceeding 9 million lei per county. In 2010, the refurbishing of county roads was funded similarly to 2009, each Romanian county receiving the same amount of money as in 2009.
The amounts of money received from the state budget are distributed to intra-county level as follows: a **27%** share of the VAT to balance the local budget, approved annually by the state budget law, and the rate of 22% income tax is charged allocated budget of the county, and the difference (73%) is allocated to local budgets of communes, towns and cities, as follows (Law no. 273/2006 on local public finances):
- **a) 80%** of the amount shall be divided into two stages, by decision of the Public Finance Direction Director, depending on the number of inhabitants, the built area in the locality and its financial capacity (i.e. 0.8 x 73%);
- **b) 20%** of the amount shall be allocated by the county council decision to support programs for local infrastructure development projects, which require local funds (i.e. 0.2 x 73%). The amounts set for each county or city will be reduced by an uncharged degree, calculated as a ratio between the amount of local taxes, rents and royalties received in the previous year and their amount receivable in previous year.
Regarding the objectivity or subjectivity of inter-county public money distribution, such an issue is not easy to judge, the Sibiu County hovering somewhere in the middle ranking among the other counties in what regards the amounts received from the state budget. For the entire 2009, the authorities were expecting a contraction in the economic activity, from -8% to -8.5%.
The country’s economic development is similar to the European area, so that the receivable amounts from the state budget will be lower than originally foreseen, especially in the context of a new amendment prepared by the Government for the end of the year. It is to be seen whether economic conjuncture gets worse in terms of local budgetary balance.
4. Conclusions
Today, the European basic concept is the economic and social cohesion. Economic and social development should be based on a balanced spatial structure. From this perspective, it is considered that an unequal development of territories reflects the overall economic weakness and is unacceptable because, in turn, it becomes a source of political and economic instability (Institute for Public Policy ProDemocratie Association, 2001). The best alternative is the solidarity of local communities. This solidarity should be calculated by the authorities in order to maintain a balance between the expectations of local communities’ members. However, how the balance is achieved sparks heated discussions every year, but the allocation criteria have changed. The state still provides important resources to local communities, the largest proportion of these have special purposes, which do not allow local communities to have freedom in managing funds.
What should a good system of state budget transfers suppose? First, they must not be sufficient, so that local authorities are interested in collecting their own income. At the same time, it should be ensured a balance between the local authorities’ competences and their decentralized resources. Free funds nature makes that the manner of distribution be a topic of discussion. Although the payments distribution is mathematically made according to the financial capacity of each county, it does not exclude subjective interpretations. Is the process of local repartition unaffected by political influences or is it a result of negotiations? There are questions that remain unanswered. Payments distribution for each county or other city is based on informal rules, no matter how objective we are. What county is paying to the state budget more money than it is receiving?
From our point of view, the inadvertence consists not necessarily in the procedure of distribution of amounts, but in the efficiency and effectiveness with which they are used locally. Mainly, communities that have less money are using them more efficiently than those who have higher amounts of money. Financial management efficiency of a local public administration depends on the real public acquisitions contracts, real public services contracts. Also, it depends on how household is the person who manage public money. Perhaps local authorities should first find additional solutions for generating local revenues and then go to obtain more funds from central level. Solving a local community problem depends on the available resources, the quality of financial management, but also on the collaboration between various local government structures.
Acknowledgments
This research is made under Project POSDRU/88/1.5/S/60370 co-funded by European Social Fund through the Sectoral Operational Program-Human Resources Development 2007-2013.
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www.mfinante.ro
www.insse.ro
## APPENDIX
### Allocations from Romania’s State Budget to local budgets, 2001-2005
| Destination of appropriations | 2001 | 2002 | 2003 | 2004 | 2005 |
|-------------------------------|----------|----------|----------|----------|----------|
| 1. Budgetary allocation of income tax to balance local budgets | 4000.00 | 9277.9 | 15718.3 | 21650 | 21374.9 |
| 1.1. to own budget of counties | 1019.7 | 1092.4 | 1335.6 | 8976.6 | 10956.3 |
| 1.2. to local budgets in villages, towns and cities | 2980.3 | 3216.1 | 3914.4 | | |
| 1.3. to finance social benefits and domestic house heating | - | 4374.8 | 7727.1 | 8526 | 6145.4 |
| 1.4. to finance decentralized cultural institutions | - | 594.6 | 814.8 | 921 | 1021.6 |
| 1.5. to support child welfare system (+ disabled persons since 2005) | - | - | 1928.4 | 3226.4 | 3241.5 |
| 2. Budgetary allocations from income tax to subsidize the heat energy delivered to population | 2524 | 2151.0 | 3597.4 | 7647.1 | 4975.1 |
| 3. Budgetary allocations from VAT to finance expenditures of pre-university education institutions, nurseries and local agricultural consulting centers | 21660.75 | 31218.7 | 34350.91 | 38391 | 49678 |
| 4. Budgetary allocations from VAT to finance local roads | - | - | - | - | 2300 |
**Regulation**
| Law no. 216/26.04.2001 | Law no. 743/6.12.2001 | Law no. 631/27.11.2002 | Law no. 507/28.11.2003 |
|------------------------|-----------------------|-------------------------|------------------------|
| MO 214/26.04.2001 | MO 784/11.12.2001 | MO 863/29.11.2002 | MO 112/2.12.2003 |
*Source: Data processed from the laws of the state budget in the period 2001-2005 (www.legisstart.ro).*
### Table 2
**Allocations from Romania's State Budget to local budgets, 2006-2010**
| Destination of appropriations | 2006 | 2007 | 2008 | 2009 | 2010 |
|-------------------------------|----------|----------|----------|----------|----------|
| | Min RON | Min RON | Min RON | Min RON | Min RON |
| 1. Budgetary allocations from VAT for local budgets | | | | | |
| 1.1. To finance decentralized county expenditures (child protection, disabled people protection, providing dairy products to students, etc.) | 9703.4 | 12767.9 | 15063.8 | 17624.5 | 17000.2 |
| 1.2. To finance decentralized villages, towns and cities expenditures pre-university public education institutions, day care, welfare, domestic heating, etc.) | 1057.8 | 1315.6 | 1702.9 | 2022.2 | 2053.4 |
| 1.3. To subsidize the heat delivered to population | 6101 | 8368.2 | 9621.4 | 12136.6 | 11580.5 |
| 1.4. for refurbishment, modernization and development of centralized systems of production and distribution of the heat | 252.1 | - | - | - | - |
| 1.5. The VAT share for county and municipal roads | 499.4 | 741.6 | - | - | - |
| 1.6. To balance local budgets of villages, towns, cities and counties | 359.3 | 457.8 | 527 | 551.8 | 551.8 |
| 1.7. To finance the governmental program for developing infrastructure and sports facilities in rural areas | 1442.8 | 1544.7 | 2402.5 | 1991.7 | 2.001 |
| Regulation | Law no. 379/15.12.2005 | Law no. 436/27.12.2006 | Law no. 388/31.12.2007 | Law no. 18/28.02.2009 | Law no. 11/20.01.2010 |
|-------------------------------|------------------------|------------------------|------------------------|-----------------------|-----------------------|
| | MO 115/19.12.2005 | MO 104/29.12.2006 | MO 90/31.12.2007 | MO 60/27.01.2009 | MO 12/27.01.2010 |
*Source: Data processed from the laws of the state budget in the period 2006-2010 ([www.legislat.ro](http://www.legislat.ro)).*
| County | 2007 | 2008 | 2009 | 2010 | 2007 | 2008 | 2009 | 2010 |
|-----------------|--------|--------|--------|--------|--------|--------|--------|--------|
| Alba | 33,642 | 45,576 | 45,650 | 49,147 | 172,345| 266,720| 220,313| 191,346|
| Argeș | 41,167 | 51,596 | 57,723 | 55,501 | 256,458| 320,733| 347,372| 324,449|
| Arad | 33,280 | 43,293 | 43,222 | 43,656 | 157,709| 254,529| 232,203| 222,804|
| Bacău | 45,139 | 66,760 | 68,189 | 69,774 | 276,230| 350,544| 369,920| 362,408|
| Bihor | 51,432 | 65,435 | 73,719 | 73,087 | 261,902| 329,462| 360,468| 337,241|
| Bistrița-Năsăud| 32,855 | 37,862 | 40,015 | 42,168 | 128,376| 165,458| 179,065| 175,786|
| Brăila | 26,127 | 30,461 | 31,694 | 28,550 | 139,356| 166,301| 178,989| 164,392|
| Botoșani | 36,779 | 52,121 | 49,044 | 51,412 | 197,258| 225,968| 250,300| 246,281|
| Brașov | 34,505 | 44,381 | 48,914 | 52,959 | 229,012| 273,744| 269,253| 273,300|
| Buzău | 35,049 | 42,761 | 48,252 | 50,700 | 194,585| 247,286| 264,456| 247,133|
| Cluj | 48,173 | 63,347 | 72,629 | 72,544 | 259,207| 316,380| 346,018| 309,580|
| Galați | 19,664 | 23,763 | 33,288 | 31,336 | 123,382| 143,924| 155,540| 167,476|
| Caraș-Severin | 32,252 | 41,321 | 43,988 | 42,343 | 117,933| 159,388| 167,696| 185,240|
| Constanța | 42,051 | 60,157 | 57,573 | 63,518 | 241,308| 297,405| 318,775| 334,607|
| Covasna | 11,322 | 18,645 | 21,953 | 23,677 | 110,132| 130,652| 140,806| 130,518|
| Dâmbovița | 29,168 | 44,519 | 52,199 | 40,482 | 209,483| 250,120| 278,305| 282,630|
| Dolj | 36,980 | 47,056 | 53,774 | 43,829 | 276,144| 372,380| 376,883| 373,427|
| Goni | 26,080 | 32,059 | 34,533 | 32,260 | 158,205| 202,434| 216,217| 220,693|
| Galați | 39,141 | 48,539 | 56,862 | 54,144 | 212,059| 282,434| 321,751| 300,638|
| Giurgiu | 15,300 | 21,319 | 25,460 | 21,705 | 89,775 | 112,040| 117,570| 133,464|
| Hunedoara | 34,529 | 38,689 | 42,953 | 39,946 | 190,102| 238,020| 257,731| 230,082|
| Harghita | 20,316 | 28,570 | 31,658 | 35,720 | 161,229| 190,542| 218,891| 194,471|
| County | VAT amounts to finance decentralized expenditure | VAT amounts to finance decentralized expenditure |
|------------|--------------------------------------------------|--------------------------------------------------|
| | 2007 | 2008 | 2009 | 2010 | 2007 | 2008 | 2009 | 2010 |
| Ilfov | 18,303 | 23,167 | 24,075 | 25,043 | 89,183 | 110,665 | 101,905 | 129,290 |
| Ialomița | 15,805 | 19,937 | 24,379 | 22,065 | 105,328 | 150,221 | 144,608 | 151,772 |
| Iași | 77,105 | 84,988 | 101,344 | 112,246 | 337,899 | 410,343 | 449,507 | 455,846 |
| Mehedinți | 21,432 | 24,900 | 26,699 | 27,922 | 130,218 | 167,400 | 174,300 | 162,807 |
| Maramureș | 40,678 | 51,190 | 55,006 | 56,541 | 229,520 | 270,279 | 305,047 | 286,371 |
| Mureș | 40,822 | 59,124 | 64,527 | 64,473 | 229,894 | 303,937 | 339,075 | 306,567 |
| Neamț | 41,597 | 56,147 | 65,666 | 75,398 | 213,062 | 283,592 | 280,379 | 277,781 |
| Olt | 28,827 | 40,024 | 45,333 | 38,109 | 189,299 | 242,583 | 256,254 | 239,295 |
| Prahova | 46,643 | 62,338 | 69,230 | 73,628 | 275,971 | 342,788 | 382,971 | 377,164 |
| Sibiu | 37,809 | 50,500 | 59,566 | 58,730 | 168,745 | 211,685 | 219,420 | 214,935 |
| Salaj | 18,054 | 28,949 | 31,577 | 29,663 | 119,558 | 148,048 | 160,832 | 142,660 |
| Satu Mare | 29,471 | 37,444 | 41,406 | 38,197 | 170,955 | 211,772 | 238,875 | 206,878 |
| Suceava | 64,283 | 82,194 | 87,780 | 96,079 | 260,627 | 653,515 | 380,337 | 387,309 |
| Tulcea | 21,030 | 28,119 | 30,698 | 31,045 | 110,418 | 113,226 | 129,228 | 116,684 |
| Timiș | 52,153 | 68,729 | 84,801 | 88,590 | 240,779 | 294,057 | 318,529 | 322,148 |
| Teleorman | 22,765 | 28,703 | 29,235 | 30,483 | 148,924 | 189,861 | 211,450 | 197,258 |
| Vâlcea | 35,339 | 41,517 | 46,069 | 49,048 | 176,315 | 215,166 | 227,647 | 204,115 |
| Vrancea | 29,716 | 37,600 | 35,025 | 44,544 | 158,123 | 184,358 | 204,548 | 303,425 |
| Vaslui | 45,251 | 65,206 | 70,793 | 71,563 | 195,974 | 253,358 | 271,244 | 279,722 |
| **TOTAL** | **1,145,624** | **1,829,876** | **2,022,172** | **2,053,407** | **8,381,898** | **10,545,429** | **11,324,008** | **11,580,246** |
Source: Data processed from GEO no. 134/2007 on budget adjustment for 2007, GEO no. 146/2008 on budget adjustment for 2008, GEO no. 144/2009 on budgetary adjustment in 2009, Annexes on local budgets of State Budget Laws of 2007-, 2008, 2009, 2010.
### Table 4
**Inter-county distribution of the VAT (2) (thousand RON)**
| County | VAT amounts to balance the local budgets of villages, towns, cities and counties | VAT amounts to finance county roads |
|--------------|----------------------------------------------------------------------------------|-------------------------------------|
| | 2007 | 2008 | 2009 | 2010 | 2007 | 2008 | 2009 | 2010 |
| Alba | 40,746| 36,290| 36,480| 36,375| 13,674| 16,383| 18,919| 18,919|
| Argeș | 51,011| 72,011| 49,791| 50,091| 15,318| 18,087| 21,679| 21,679|
| Arad | 43,926| 38,171| 42,275| 42,630| 11,515| 13,597| 15,631| 15,631|
| Bacău | 75,368| 79,458| 73,643| 74,385| 12,582| 14,856| 17,079| 17,079|
| Bihor | 58,897| 53,288| 53,817| 54,270| 15,720| 18,598| 21,389| 21,389|
| Bistrița-Năsăud | 42,329| 53,210| 39,168| 39,618| 7,499 | 8,855 | 10,179| 10,179|
| Brăila | 40,856| 56,937| 38,536| 38,742| 5,792 | 6,839 | 7,862 | 7,862 |
| Botoșani | 46,365| 87,862| 68,172| 68,869| 10,336| 12,419| 14,277| 14,277|
| Brașov | 41,812| 33,774| 36,113| 36,418| 6,733 | 7,936 | 9,123 | 9,123 |
| Buzău | 57,619| 51,999| 55,331| 55,679| 14,534| 17,220| 19,796| 19,796|
| Cluj | 70,111| 40,749| 38,943| 38,262| 14,008| 16,953| 19,396| 19,396|
| Caraș-Severin| 54,180| 42,164| 48,404| 45,868| 4,989 | 5,906 | 7,206 | 7,206 |
| Călărași | 56,490| 48,457| 48,804| 49,195| 8,685 | 10,255| 11,789| 11,789|
| Constanța | 51,061| 58,357| 48,269| 48,795| 11,559| 13,649| 15,691| 15,691|
| Covasna | 27,516| 27,097| 25,986| 26,205| 4,091 | 4,224 | 4,855 | 4,855 |
| Dâmbovița | 69,066| 79,082| 56,757| 57,238| 8,735 | 10,359| 12,880| 12,880|
| Dolj | 66,151| 79,756| 64,734| 64,799| 11,258| 13,145| 15,111| 15,111|
| Gori | 31,550| 48,662| 34,378| 34,749| 11,565| 13,856| 15,963| 15,963|
| Galați | 47,571| 63,805| 49,263| 49,561| 7,769 | 9,158 | 10,546| 10,546|
| Giurgiu | 70,020| 49,912| 35,227| 35,525| 4,882 | 5,765 | 7,087 | 7,087 |
| Hunedoara | 42,134| 37,437| 41,483| 42,097| 11,715| 20,918| 24,132| 24,132|
| Harghita | 45,503| 40,779| 40,694| 41,156| 7,543 | 8,906 | 11,781| 11,781|
| County | 2007 | 2008 | 2009 | 2010 | 2007 | 2008 | 2009 | 2010 |
|------------|--------|--------|--------|--------|--------|--------|--------|--------|
| Ilfov | 13,806 | 22,071 | 10,664 | 10,991 | 3,646 | 4,305 | 4,949 | 4,249 |
| Ialomița | 41,987 | 52,869 | 38,115 | 38,437 | 5,039 | 5,950 | 6,840 | 6,340 |
| Iași | 72,376 | 81,855 | 67,849 | 68,096 | 12,607 | 14,886 | 17,470 | 17,470 |
| Mehedinți | 42,961 | 53,108 | 38,300 | 34,867 | 8,930 | 10,544 | 12,121 | 12,121 |
| Maramureș | 75,501 | 56,926 | 61,387 | 61,905 | 7,938 | 9,373 | 10,699 | 10,699 |
| Mureș | 55,269 | 61,863 | 47,100 | 42,298 | 9,708 | 11,581 | 14,234 | 14,234 |
| Neamț | 82,103 | 90,002 | 72,319 | 73,051 | 8,767 | 10,351 | 12,130 | 12,130 |
| Olt | 67,744 | 84,140 | 56,670 | 56,791 | 10,913 | 12,896 | 15,972 | 15,972 |
| Prahova | 65,843 | 48,180 | 51,775 | 52,213 | 11,942 | 14,049 | 16,151 | 16,151 |
| Sibiu | 31,682 | 29,146 | 30,963 | 31,342 | 8,421 | 9,944 | 11,431 | 11,431 |
| Salaj | 32,402 | 42,949 | 29,325 | 29,572 | 8,183 | 9,682 | 11,219 | 11,219 |
| Satu Mare | 45,443 | 52,692 | 37,910 | 38,350 | 8,396 | 9,907 | 11,483 | 11,483 |
| Suceava | 111,038| 123,857| 99,598 | 100,800| 11,609 | 13,708 | 16,142 | 16,142 |
| Tulcea | 56,634 | 37,694 | 39,864 | 40,079 | 5,986 | 7,343 | 8,586 | 8,586 |
| Timiș | 45,064 | 42,128 | 45,321 | 45,821 | 14,854 | 17,539 | 20,163 | 20,163 |
| Teleorman | 69,159 | 84,495 | 60,113 | 60,144 | 7,116 | 8,403 | 9,668 | 9,669 |
| Vâlcea | 52,796 | 62,516 | 42,785 | 43,146 | 10,278 | 15,137 | 13,953 | 13,953 |
| Vrancea | 56,197 | 73,950 | 52,596 | 53,462 | 7,996 | 10,455 | 10,863 | 10,863 |
| Vaslui | 83,806 | 99,962 | 71,340 | 69,938 | 11,258 | 13,283 | 15,375 | 15,375 |
| **TOTAL** | **2,287,478** | **2,402,545** | **1,999,137** | **2,000,911** | **400,000** | **477,000** | **551,770** | **551,770** |
Source: Data processed from GEO no. 1342/2007 on budget adjustment for 2007, GEO no. 1460/2008 on budget adjustment for 2008, GEO no. 34/2009 on budgetary adjustment in 2009.
Annexes on local budgets of State Budget Laws of 2007, 2008, 2009, 2010.
|
Elements of reality in quantum mechanics
Geoff Beck.
Received: date / Accepted: date
Abstract The notion of the Einstein-Podolsky-Rosen (EPR) “element of reality” is much discussed in the literature on the foundations of quantum mechanics. Recently, it has become particularly relevant due to a proposed criterion of the physical reality of a given quantum mechanical observable [A. L. O. Bilobran and R. M. Angelo, Europhys. Lett. 112, 40005 (2015)]. We examine this proposal and its consequently related measure of non-locality [V. S. Gomez and R. M. Angelo, Phys. Rev. A 97, 012123, (2018)] and argue that the criterion is ill-described as quantifying physical reality without introducing serious inconsistency with the basic notions of realism that under-gird enquiry. We agree that this reality criterion demonstrates, along with the famous GHZ results, that general quantum observable values make for poor elements of reality. However, we also argue that this does not mean no such elements of reality are to be found in quantum theory. By arguing for, and adopting, probability distributions as these elements of reality instead, we demonstrate that the criterion of physical reality is actually one of observable predictability. We then examine the relationship of realism-based non-locality to the Bell form and find that, despite the flawed premise, this measure does indeed codify non-locality that is not captured by Bell inequalities.
Keywords Quantum foundations · Entanglement and quantum non-locality
PACS 03.65.Ta
Quantum foundations
PACS 03.65.Ud
Entanglement and quantum non-locality
G. Beck
School of Physics, University of the Witwatersrand - Private Bag 3, WITS-2050, Johannesburg, South Africa E-mail: email@example.com
1 Introduction
The discussion of “elements of reality” may seem like pure philosophy without any operational relevance. However, it is much discussed in recent physics literature on quantum theory (see [1, 2, 3, 4, 5, 6, 7] for prominent examples). Additionally, [8] proffers a quantitative “criterion of the physical reality of a quantum observable”. The measure put forth is heavily couched in the language of quantifying whether observables are “elements of reality” in the sense invoked by the EPR paper [9]. This is further used in [10] to produce a measure of non-locality that is sourced from how much the reality of quantum observables is affected by distant measurements. This is of some significance, as it is known that quantum systems can exhibit non-locality that is not captured by the Bell inequalities [11, 12, 13] or similar measures of this phenomenon. Thus, it is important that the premises of these measures of reality and non-locality are interrogated to determine whether they actually quantify what they claim to.
The aforementioned criterion of reality asks the operational question: “how definite was the value of the observable $A$ given a state preparation $\rho$?” If $A$ had a pre-determined value then it has reality 1, if it has spectrum of values with assigned probabilities then it has reality $< 1$. This therefore assigns the designation “element of reality” to any value of a quantum observable that can be predicted with certainty, particularly this applies to actual measured values. Intuitively this seems reasonable as quantifier of reality, as perhaps the most basic commitment of scientific realism is the idea that there is a pre-existing world that can be interrogated by our measurements\footnote{https://plato.stanford.edu/entries/scientific-realism/}. Therefore, if some quantity is not pre-defined prior to measurement then it is not completely real. This agrees with the EPR definition as well, as “elements of reality” are physical quantities that can be predicted with certainty with disturbing the system in question. Thus, the measure from [8] is claimed to extend a reality criterion to mixed states as well eigenstates of observables. Following this line of reasoning we see that a general quantum state may have no real properties at all until it is measured and some observables obtain real values. This follows in the foot steps of the famous GHZ scenario [14, 15], in which it is shown that measurement of a system of three entangled qubits is inconsistent with the notion that all of spin values for each axis and qubit were pre-assigned by state preparation. We can see the commonality with [8] in that real properties emerge from interaction with quantum systems (like measurement). In the GHZ case this can then be construed as a refutation of the idea of the EPR [9] “element of reality” [16]. Despite their use of the EPR criterion it is hard to avoid the same argument for [8], as we are similarly lead to conclude that for any general scenario real properties emerge from the interaction of quantum systems rather than being pre-existent. This tension with the EPR criterion does far more than these arguments want to deliver, as it is a tension with the notion of some underlying pre-existent reality, which undermines the very
basis of scientific enquiry. Stated as baldly as this, the over-reach of claiming that some reality quantification demonstrates that real properties can only emerge from interaction with quantum systems and that therefore the state corresponds to no “elements of reality” itself becomes almost paradoxical. As one must immediately ask why the real properties that emerge from interaction with a given state have statistical predictability if the state itself possesses no real properties until measured? It seems then that by showing that values of observables do not generally correspond to elements of reality it is concluded that the EPR definition has failed, but the persistence of the predictability needed by the EPR criterion should give us pause. Perhaps, if a quantification of reality is inconsistent with some basic realism, that must indeed premise its quantification, then it was not quantifying what we believed it to be.
Thus, the premise of this article is to study the notion of the physical reality of quantum observables as presented by [8] and to show that by assuming elements of reality are assigned to measured observable values it only succeeds in quantifying the predictability of those observables. In addition to this it will be shown that the GHZ result does not provide the grounds for a wholesale rejection of EPR “elements of reality” in quantum mechanics, contrary to the argument in [16]. This argument is built upon the notion that all of these claims about reality are actually claims about classicality, and that the conflation of these two explains the inconsistency with scientific realism outlined above. It is argued that the very fact we can predict the GHZ outcome with certainty immediately undermines the claims of a failure of the EPR criterion. The probabilities of measurement outcomes in quantum mechanics are then put forward and demonstrated to posses all the necessary properties of an EPR element of reality. The failure of observable values as general EPR elements of reality stems from the elementary observation that only statistical objects could fulfil this role in quantum theory as this explicitly statistical formalism cannot be used to infer the ontological status of non-statistical objects [17]. This serves to undermine any claims about quantifying the reality of observables, reducing the conclusions of [8] to showing that observable values’ ontological status is outside of the scope of the quantum formalism and what they quantify is purely observable predictability. The failure of the central premise of the non-locality criterion of [10] requires us to examine what it is actually measuring. Despite the shaky foundation, it is shown that it does indeed quantify non-locality that it not captured by the Bell inequality as claimed by the authors of [10]. However, the relationship discussed in [18] is reduced to a trivial one of a complementarity between predictability and information.
The argument is presented as follows: in section 2 we discuss the criteria presented in [8, 10] and examine some simple unintuitive consequences that they represent. In section 3 we discuss what properties of quantum systems can actually have their ontological status inferred from empirical measurements and argue that the EPR element of reality is alive and kicking in section 4. We then proceed to examine realism-based non-locality in section 5. Our conclusions are summarised in section 6.
2 The reality of observables
The measure of the physical reality of an observable presented by [8] is criterion based upon whether the value of a given observable was predefined by the preparation of the state $\rho$. To be more concrete they imagine a situation where ideal state tomography is being carried out on a prepared stated $\rho$. However, before the state can be measured it is intercepted and has an observable $A$ measured without the result being revealed. Thus, the state being measured is in fact
$$\phi_A(\rho) = \sum_a |a\rangle \langle a| \rho |a\rangle \langle a|,$$
where the sum runs over eigenvalues $a$.
The “irreality” of $A$ given $\rho$ is then defined as
$$I(A|\rho) := S(\phi_A(\rho)) - S(\rho),$$
with $S$ being the von Neumann entropy. This quantity is non-negative and vanishes only when $\rho = \phi_A(\rho)$. Thus, it will always vanish if the state $\rho$ is an eigenstate of $A$. In agreement with the EPR criterion, eigenstate preparations are always elements of reality, but this also attempts to generalise beyond this and quantify the reality of mixed states as well. This criterion is premised, as is apparent, on the idea that observable values become real once they have been measured.
It is immediately apparent that $I$ will be $< 1$ for many choices of mixed state $\rho$. Thus, for a general quantum state, observables like $A$ will not constitute elements of reality (in agreement with the GHZ results [14]). We might then be tempted to compare the reality of quantum versus classical physics, with the perplexing result that classical observables are elements of reality but quantum ones are not in general. This suggests that despite being ostensibly more fundamental than classical physics, and thus more ontologically real, quantum mechanics references no general elements of reality. This is inconsistent with any basic notion of scientific realism, and with the idea that classical physics is a derivative reality sourced from something more fundamental. Alternatively, we could argue that the notion of “elements of reality” is actually invalid, and that reality results from the interaction of quantum systems. However, although this sounds more sophisticated than the preceding argument these both seem to be easily restated with “classical” substituted for “real” without losing anything in the process. This suggests that we should be cautious of the use of $I$ as irreality, as this may well be misleading. However, $I$ does obviously characterise the degree to which we can predict the value of an observable $A$.
Of additional importance are the cases in [8], where it is shown that observables for non-separable systems are not maximally real and that this is also true for simultaneous measurement of non-commuting observables. These cases are instructive as they suggest that $I$ may in fact be a measure of the classicality of an observable. As the principle cases in which irreality is to be
found are those where the quantum and classical mathematical formalisms diverge. This is reinforced when we note that in classical physics both theoretical predictions of statistics and individual observable values can be compared to empirical results and thus can be tested for some ontological value. However, in the quantum case this option is not available. This is because all quantum predictions stem from an inherently statistical formalism and it is elementary that no statistical premise may lead to conclusions about non-statistical properties (this will be elaborated on in the next section). This simple line of argument immediately suggests to us that quantum mechanics cannot operationally quantify the reality of a given observable, only the reality of associated statistics. So in asking a quantification of the predictability of an observable to act as a measure of reality we are inherently demanding that reality behave classically.
In order to examine this issue in more detail we must proceed to study what properties of a quantum system can actually have their ontological value determined. That is, we must ask the question of what properties of quantum systems will the success or failure of experimental tests reflect upon. This question is necessary as these are the only quantities that can reasonably satisfy the EPR definition and qualify as elements of reality.
3 Properties of quantum systems
Quantum mechanical observables do not constitute well behaved “elements of reality”, as evidenced both above and by the GHZ experiment. Thus, the notion of an “element of reality” should be disposed of, quantum properties are not pre-determined and result from interaction with the system itself. This argument seems to be robust, but there is a crucial twist that we need to follow, we implicitly assumed that only the values of the observables themselves can constitute the properties of quantum system. Without this assumption it is no longer clear that we are forced to reject the existence of “elements of reality”, perhaps it is simply that values of quantum observables do not constitute these elements within the evidently statistical framework of quantum mechanics? This argument should especially be suggested to us by the fact that the GHZ outcome is predictable with certainty, surely something real must under-gird this happen-stance? Clearly the EPR definition has not been truly disposed of. We should expect this, as the criterion is analytic [19], and to declare it does not apply at all in quantum mechanics must also throw out the root notion of scientific realism: that there is some independent reality to interrogate. What has happened then is that the “element of reality” that allows the GHZ result to work at all, rather than output subjective gibberish, is not the individual value of observables within quantum theory.
This problem should be expected, as there is, in general, no measurement that can be made on a quantum state $\rho$ whose correspondence with prediction would depend upon the ontic status of the value of an observable $A$. In other words, quantum mechanics predicts statistical patterns to the behaviour of
quantum states and thus by comparing observed and predicted outcomes of experiments we determine whether outcome probabilities \( p(a|A, \rho) \) have any basis in what is real. If these probabilities had no correspondence to an underlying reality then this would be revealed by their failure to match the observed statistics. Furthermore, probabilities obviously cannot be tested by singular statements of measurement. Thus, within the framework of quantum mechanics there is no singular measurement of an observable \( A \) that depends upon the correspondence of the value of \( A \) with some underlying reality. For this to occur, we must be able to derive non-statistical conclusions from statistical premises [17]. Simply put, the theoretical formulation of quantum mechanics makes it clear that the definiteness of values of observables \( A \) cannot be consistently used as criterion of what has ontological value within the quantum paradigm. This does not necessarily imply values of \( A \) are irreal, merely that there is no such information within the quantum formalism. This is then what we learn from both the work of [8] and GHZ, rather than grand claims about the nature of reality.
The eagle-eyed reader has already spotted that this argument seems to fail for GHZ cases, as their central importance is that they are “one-shot” measurements that do not require us to accumulate statistics. However, the notion of the “one-shot” measurement needs some careful attention. To elucidate it consider the classical example of the pressure of a gas which we can predict through statistical physics. This is a “one-shot” measurement, but the success of our predictions reflects upon our statistical assumptions about velocity distributions of particles in the gas rather than the positions and velocities assigned to any given particle. Even though, barring error analysis, we did not need to accrue statistics, we did not avoid the fact that all we were testing was the validity of our statistical assertions. The same is true for the GHZ case, as the outcome prediction is a statistical relationship between three individual observables. There is only one predicted pattern, but, there are many combinations of individual observable values that would satisfy this prediction and these actual individual value assignments are not themselves predicted. Additionally, we must note that we did not step outside the states and amplitudes framework of quantum mechanics and use a separate apparatus to produce results that were premised on the validity of individual observable values. Thus, we are still implicitly testing our statistical assertions about the behaviour of quantum states, regardless of whether the measurement required us to accrue statistics or not. We can appreciate this by considering that our prediction of \( p(x) \) cannot be used to predict the an individual trajectory in \( x \), in GHZ this manifests as the success of the GHZ result does not allow us to infer the value of any one of three observed spins on its own, we can at best assign it the 50/50 chance of being up or down.
4 Elements of reality reborn
We have seen in the previous sections that observables are not generally adequate as elements of reality in quantum mechanics. This does not mean, however, that such elements are not to be found. An obvious quantity that is predictable with certainty without disturbing the state of a system is provided in the form of the probability distributions for outcomes of the measurement of a given observable $A$, $p(a|A,\rho)$ (which relates closely to the claims in [1, 2, 3, 4, 5, 6, 7] of the quantum state encapsulating all relevant elements of reality). A reader might point out that the EPR criterion clearly specifies a “physical quantity” and thus might question whether $p(a|A,\rho)$ could satisfy this requirement. To clarify this we can consider an illustrative classical example, that of a Maxwell-Boltzmann velocity distribution. Such a distribution can be used to predict the properties of an approximately ideal gas. Were the distribution not a statement of the physical properties of the gas itself this would not be possible without some violation of physical law or other miracle. Thus, it is argued that objects like $p(a|A,\rho)$ could not be used to predict outcome frequencies, and thus observable averages, unless they were reflecting physical properties of the system represented by the state $\rho$.
The argument in favour of the ontic nature of probability distributions still feels weak. All that was required is to satisfy a no-miracles argument, and $p(x)$ may still depend strongly on how much information a given observer has. However, consider the Maxwell-Boltzmann case again, this time we imagine that we have precise knowledge of the position and momenta of all particles at some time $t$ and perform $N$-body simulations to determine the statistical properties of the gas by averaging. If the statistical properties predicted by the Maxwell-Boltzmann distribution match those measured, the only way this could be true would be if our $N$-body simulation yielded the same answers. This of course implies that probability distributions predicted by our statistical theory are informationally complete (within their domain of testability) and thus have no meaningful observer dependence. This can be viewed from another angle by considering the operational aspects of the maximum entropy method advocated by Jaynes [20]. In this case the accurate modelling of statistical properties requires that we have an exhaustive list of constraints on our system. For the modelling of a physical system these constraints can only take the form of assertions about relationships between physical properties. In other words if our predictions for $p(x)$ fail to fail we have strong evidence that our probability distributions are informationally complete (on a statistical level of course), as we neither have too many nor too few constraints. In quantum mechanics we have no analogous $N$-body case to appeal to, however, we do have the generality of the above argument and the theorems asserting that the wavefunction $\psi$ is informationally complete within the statistical form of quantum mechanics (for instance [1, 2]). The consequence of this is that we can be safe in assuming our $p(x)$ to be ontic rather than epistemic, this conclusion is also reinforced by the failure of the EPR argument for the incompleteness of quantum mechanics.
Significantly the quantities $p(a, b | A, B, \rho)$ are mutually definable with the same certainty regardless of whether or not $A$ and $B$ commute. More importantly, their representation of physical properties is easily inferred from their predictive success, unlike individual measurements of $A$ or $B$, as argued above.
A reader might also be unsatisfied by the fact that these probabilities are not the properties of an individual electron for instance. But rather, the properties of an electron within a given situation. Once again we stress the analogy to the statistical properties of a gas, pressure for instance requires the presence of a confining force but is still determined by the internal physical properties of the gas itself, despite the additional dependence on the external situation. This is no different to the observation that a classical particle behaves differently in different potentials, but, knowledge of these potentials can be used to deduce the internal properties (mass and charge) of the particle itself from this behaviour. These internal propensities to respond to external influence are also what we extract in analogous quantum situation. They are merely all the information available within the structure of quantum theory, as this structure codifies what we can seek to measure when testing the theory.
The choice of $p(a | A, \rho)$ as the elements of reality is important, as it does not lead us to conclude quantum mechanics is less real than the classical case or require us to conflate real with classical. This is because the statistics inferred from quantum mechanics will have more predictive success and thus can be seen as unambiguously more real. This clearly establishes that neither a criterion for the reality of observables, or the abandonment of “elements of reality” establish a consistent/workable idea of realism in the same manner as adopting $p(a | A, \rho)$ (and perhaps $\rho$ itself) as the elements of reality. Moreover, it clearly demonstrates that conflating the predictability of observables with their reality, without a careful examination of the theoretical formalism, leads to deep inconsistencies. Thus, the quantification from [8] is not a criterion of reality at all, we are forced to stop at ‘criterion of predictability’.
5 Realism-based non-locality
Having established what [8] actually quantify, we must now turn to the extension of this work to quantifying non-locality that stems from quantum measurements influencing the reality of observables. This is the realism-based non-locality of [10]. In short, if we envisage a scenario with two entangled sub-systems each prepared in state $\rho$ and sent to be measured in a space-like separated arrangement. An additional system is prepared in a known state and allowed to interact locally with only one of the sub-systems prior to measurement, with the new state now being $\Phi_B(\rho)$ in this subsystem. The non-locality in question is then whether the reality of an observable $A$ has been changed in the sub-system that did not suffer the local perturbation. This is quantified by
$$\Delta I(A, B | \rho) = I(A | \rho) - I(A | \Phi_B(\rho))$$ \hspace{1cm} (3)
In the preceding section with established that \( I \) was in fact a measure of predictability of observables, rather than their reality. So we are now equipped to see what \( \Delta I(A,B|\rho) \) actually tested. This is evidently the effect of distant measurements on the predictability of measurement outcomes, or whether \( p(a|A,B,\rho) = p(a|A,\rho) \) under these conditions. This provides a more relaxed test for the effects of non-separability than a Bell inequality, which demands a correlation in \( p(a) \) and \( p(b) \) that exceeds what is possible under a hypothesis of local causality. The quantity \( \Delta I \) instead informs us of any non-separability related correlation between the outcome probabilities, as for separable states \( \Delta I \to 0 \) so separable correlations will perforce be ignored. This means that, despite the flawed premise of the reality criterion, the non-locality measure does indeed capture aspects of non-separability that are not captured by the Bell inequality as claimed by the authors in [10].
This has consequences for other work based on [8], such as [18] where a complementarity between information and the reality measure of observables is discussed. With the arguments presented here we can see that this relationship is reduced to triviality, as it is evident that there is a complementarity between Shannon-like information [21] measures and predictability of the observables encoding this information.
6 Conclusion
In this work we examined whether cases which quantify the reality of observables in quantum mechanics [14, 8] actually reflect in some way upon the underlying ontological situation. It shown that, because quantum mechanical predictions are inherently based upon statistical assumptions, that only statistics can have their ontological status inferred from the success or failure of quantum mechanical predictions without introducing contradictions with basic tenets of scientific realism. This means that [8] does not in fact quantify the reality of observables but merely their predictability (which is also more easily defined operationally). However, despite the failure of the underlying premise, the non-locality measure proposed in [10], based on [8], does indeed quantify non-locality not captured by Bell inequalities. This non-locality, however, is not related to the reality of observables at all, merely how their predictability varies as a result of non-separability.
In addition to this, we refute arguments that we should discard the idea of elements of reality in quantum mechanics, or that no such elements can exist, by demonstrating that probabilities assigned to various outcomes satisfy all the necessary requirements and do not result in any clashes with notions of scientific realism.
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BOARD OF HEALTH ORDER
Adoption of Hotel/Motel Regulations
ORDERED that, pursuant to Massachusetts General Laws Chapter 111, Section 31, the West Springfield Board of Health hereby adopts the attached Hotel Motel Regulations.
Per order of the West Springfield Board of Health, approved on the 29 day of August, 2018 by a vote of 2 in favor and 0 opposed.
David Higgins, Board of Health President
Pursuant to Executive Order No. 104, I hereby approve the Board of Health’s acceptance of the above.
Mayor William C. Reichelt
Date: 9/7/18
I. **Definitions**
A. **Board** – The Board of Health of the Town of West Springfield or its designee.
B. **Hotel or Motel** – Any building or portion thereof, or group of buildings used to provide sleeping accommodations to transient persons, whether or not food is available, but excluding private clubs.
C. **Licensee** – The license applicant as listed on the Application, and any duly authorized manager, agent or employee.
II. **Hotel/Motel Operation License Requirements**
A. **License Required.** Prior to operating a hotel/motel in the Town of West Springfield, an operator or owner of such hotel/motel must secure a Hotel/Motel Operation License from the Board of Health pursuant to M.G.L. c. 140, § 32B and these regulations, in addition to any other license required by applicable state or local ordinance or regulation. All operating hotel/motels in the Town of West Springfield as of the effective date of the promulgation of these regulations shall be required to secure a Hotel/Motel Operation License on or before January 1, 2019.
B. **Application.** Applications for a Hotel/Motel Operation License shall be made in writing, on Town approved forms, to the Board of Health, and shall provide, under oath, such information as the Board of Health may require, including, but not limited to, the following:
i. The name and address of the applicant, if an individual; or if a corporation, the name, date of incorporation, address of its principal place of business and the name and address of its officers; or if a partnership, association, or unincorporated company, the name and addresses of the partners or associates and the address of its principal place of business; and, if a foreign corporation, partnership or unincorporated company, the name and address of an agent for service of process;
ii. The intended place of business within the Town of West Springfield;
iii. The name and residential address of the duly authorized manager; and
iv. A telephone number where the manager or the manager’s designee may be contacted 24 hours per day.
C. **Grant or Denial.**
i. The Board, in determining whether to issue or reissue a license, may consider: public demand for the hotel/motel; the suitability of the applicant; and any and all other relevant facts and circumstances, including the prior operation of a
hotel/motel or other business in the Town and any complaints made to any department, officer or employee of the Town with regard thereto.
ii. The Board of Health may issue or reissue a license to operate a hotel or motel only if it finds:
a. That accommodations meet the minimum standards for human habitability, as contained in Chapter 2 of the State Sanitary Code;
b. That the rules and regulations for rental are reasonably designed to protect the health, safety, welfare and peaceful quiet enjoyment of renters and the surrounding area;
c. That the premises are equipped with an operational video surveillance and recording system deployed to the satisfaction of the Police Department so as to make visible all interior common areas, including but not limited to lobbies, stairwells, hallways, and elevators and all exterior grounds, walkways, parking areas and public sidewalks surrounding the premises;
d. For re-issuance of a license, that a register of renters is kept in accordance with the provisions of M.G.L. c. 140, §27 and these regulations;
e. For re-issuance of a license, that the hotel or motel has, during the preceding twelve (12) months, substantially complied with the Minimum Standards of Operations contained in this ordinance.
iii. The Board of Health shall, within thirty (30) days from the date of receipt of application for issuance or reissuance of the license: (1) grant the license; (2) grant the license under such terms and conditions as it deems appropriate in the public interest; or (3) deny the license. This time period may be extended in the discretion of the Board of Health if the hotel/motel is under construction or renovation at the time the application is submitted.
D. Change of Address. Whenever the applicant or manager identified on the Application, changes his or her residential address or principal place of business, as appropriate, the Board shall be notified within three (3) days of such change.
E. License to be Displayed. A license granted under this section must be displayed in clear view of the public.
F. License Period and Fee. Any license issued pursuant to these regulations shall be valid from the date of issuance until December 31, unless sooner revoked or suspended. Such license shall be renewed for the next annual license period upon application by the holder during the month of November (i.e., no later than December 1), provided that said license covers the same licensed premises, unless there is cause for revocation, suspension or modification of the license pursuant to these Regulations. If the application is not timely filed, it shall be treated as an application for a new license.
G. Transfer or Sale of License Prohibited. No hotel/motel operation license shall be sold, assigned or transferred, and such sale, assignment or transfer shall automatically terminate said license.
H. Management.
i. Each corporate licensee must appoint a manager who is duly authorized to act on behalf of the corporation. Such authorization must be in writing and must be submitted to the Board as part of the Application.
ii. The responsibilities of every license holder and manager shall be as follows:
a. To obey these regulations and all state and local laws and regulations;
b. To promptly notify the police of any disturbances or illegal activity on the licenses premises of which the manager becomes aware;
c. To cooperate fully with authorized agents of the Town, including but not necessarily limited to: any agent of the Board of Health, any agent of the West Springfield Police Department, any agent of the West Springfield Fire Department, or the Mayor or his/her designee, in the event of an investigation or inspection of the licenses premises.
iii. Any such notice sent to the manager as named in the records of the Board or the owner at the address of the licensed premises shall constitute valid legal notice to the licensee.
I. Physical Premises.
i. All premises covered by the license shall be kept in a clean and sanitary condition.
ii. No outside area shall be used as a gathering place for patrons unless approved by the Board.
iii. The premises shall be lighted in all public areas in a manner sufficient for the safety of the patrons and visitors.
iv. The interior of the premises shall be sufficiently lighted at all times and all exits shall be properly designated by lighted signs, “Exit” as same may be mandated by the Building Commissioner of the Town of West Springfield or by the Fire Department of the Town of West Springfield.
J. Minimum Standards of Operation. The owner or operator of a hotel or motel shall comply with the following minimum standards of operation:
i. No person shall be allowed to rent accommodations without providing suitable identification at the time of registration, a copy of which shall be retained with the record of registration. As used herein, suitable identification shall mean a government issued photo identification card such as a driver’s license.
ii. The true name of all persons occupying rented accommodations shall be listed on the register at the time of registration. Any person who remains in a room after midnight (12:00 a.m.) shall be presumed to be an occupant.
iii. The owner or operator of a hotel or motel shall immediately, upon notice that a registration was incomplete or inaccurate, terminate the rental agreement and evict from the premises all persons occupying the room for which such incomplete or inaccurate registration was provided.
iv. No owner or operator of a hotel or motel shall knowingly permit the premises to be used for any illegal purpose, including but not limited to those purposes outlined in M.G.L. c. 140, § 26. A licensee shall make all reasonable and diligent efforts to ensure that illegal activities do not occur at the licensed premises. Such efforts shall include:
a. Frequent monitoring of restrooms and other nonpublic areas of the premises for signs of drug activity or other illegalities;
b. Calling promptly for police assistance as necessary to protect patrons against injury or to evict unruly patrons or to uncover unlawful conduct or to give medical assistance and providing police with requested information;
c. Hiring security personnel to deal with chronic unlawful activity at the premises, such as prostitution or gambling or larceny from patrons or assaults and batteries or other problems associated with the premises.
v. No owner or operator of a hotel or motel shall allow occupancy by any person if he knows or has reason to know that the person has engaged in illegal activity during a past period of occupancy on the premises. For purpose of this section, notification from the police department that an arrest for illegal activity has been made during a period of occupancy shall create a presumption that illegal activity has occurred; provided that said presumption may be refuted by evidence that charges were subsequently dismissed.
vi. The owner or operator of a hotel or motel shall take all steps reasonable and necessary to ensure that video surveillance and recording equipment is in good working order at all times.
vii. Video surveillance records shall be retained a minimum of thirty (30) days from the day or creation;
viii. The owner or operator of a hotel or motel shall, upon request, provide access to registration information and video surveillance recordings to any authorized agent of the Town of West Springfield.
ix. No owner or operator of a hotel or motel shall allow or permit renters or occupants to create a public nuisance on the premises.
x. It shall be the obligation of the licensee to ensure that a high degree of supervision is exercised over the conduct of the licensed establishment at all times. Each licensee shall be accountable for all violations that are related to the licensed premises to determine whether or not the licensee acted properly in the given circumstances.
xi. A licensee shall act reasonably and diligently to disperse loiterers or patrons who attempt to congregate in front of or at the licensed premises in an unauthorized manner. Action to be taken by the licensee shall include, but not be limited to:
a. Maintaining the front door in a closed position;
b. Asking loiterers to disperse;
c. Promptly notifying the police if loiterers refuse to disperse;
d. Hiring a security guard or stationing a security employee as needed to disperse loiterers if there is a persistent problem.
III. PENALTIES/ENFORCEMENT
A. Causes for Revocation, Suspension, and Modification of License. Any license issued pursuant to these Regulations may be modified, suspended, or revoked for any of the following causes:
i. Violation by the licensee of any provision of these Regulations, or any other relevant state or local ordinance or regulation, or if the public health and safety so requires;
ii. Fraud, misrepresentation, false material statement, concealment or suppression of facts by the licensee in connection with an application for a license or for renewal thereof;
iii. Operation of the premises covered by the license without prior approval of the Board;
iv. Failure to comply with any condition, stipulation or agreement upon which any license was issued or renewed by the Board or upon which any application or petition relating to the premises was granted by the Board. It shall be the duty of the licensee to ensure that all appropriate personnel at the licensed premises are familiar with these Regulations and with any conditions on the license.
v. Refusal by any licensee and, if a corporation, by a manager, officer, or director thereof to appear at an inquiry or hearing held by the Board with respect to any application or matter bearing upon the conduct of the licensed business or bearing upon the character and fitness of such person to continue to hold a license.
B. Enforcement.
i. **Suspensions or Revocations.** Licensees in violation of these Regulations or any other relevant state or local law or regulation may be subject to the following enforcement actions:
a. First offense: warning to seven (7) day suspension of license to operate.
b. Second offense: warning to thirty (30) day suspension of license to operate.
c. Third offense: warning to revocation of license to operate.
ii. **Non-Criminal Disposition.** The provisions of these Regulations may also be enforced through any other lawful means in law or in equity by the Board of Health or the Mayor or their duly authorized agents, or any police officer of the Town of West Springfield, and by any available means in law or equity, including but not limited to enforcement by noncriminal disposition and Section 7-100 of the Ordinances of the Town of West Springfield. Each day a violation exists shall constitute separate violation. When enforced through noncriminal disposition, the penalties shall be as follows:
a. Twenty-Five Dollars ($25.00) for the first offense;
b. One Hundred Dollars ($100.00) for the second offense;
c. Three Hundred Dollars ($300.00) for the third and all subsequent offenses.
iii. Only offenses which have occurred within the two (2) years preceding the date of violation shall be used in calculating the number of offenses for purposes of this section.
iv. The Board may use its discretion in determining whether the facts surrounding an offense warrant a penalty which is more lenient or severe than that suggested in subsection (i), and the provisions of subsection (i) shall not be construed so as to limit the Board’s authority to consider alternative dispositions, or further conditions on a license, or alternate penalties.
C. Service of Suspension Orders
i. When the Board suspends the license or licenses of any licensee, it shall provide the licensee with written notice thereof, which shall include an order of suspension for public display that must contain the words, “No Service - Operation License suspended per order of the Board of Health of the Town of West Springfield.” Such order shall be publicly displayed by the licensee in the following manner: if there is a door opening from the street into the licensed premises and a window facing the street upon which such door opens, such order shall be displayed in such window so that it may readily be seen by the general public; if the licensed premises are otherwise located, such order shall be affixed to the door of the entrance to the premises and displayed in such a way that it may be readily seen by the general public.
ii. Suspension orders of the Board, as above, shall remain affixed throughout the entire period of suspension. The removal, covering, defacement, or obliteration of the order of suspension or the failure to maintain the order of suspension in the manner and place required prior to the expiration of the suspension period shall be deemed the act of the licensee and shall be cause for further suspension, modification or revocation of the license.
D. License Holder’s Right of Appeal
i. A license holder may appeal a decision of the Board to suspend or operate a license pursuant to G.L. c.249, §4.
ii. A license holder may appeal a non-criminal disposition pursuant to G.L. c. 40, §21D.
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Good Morning! We are so happy that you chose to join us this morning in worship to God. Please let us know if you have questions we can answer and also let us know how we can serve you!
Daylight Savings Time
Daylight Savings Time ends next week. Don’t forget to turn your clocks back 1 hour on Saturday evening!
NOTES
| DATE | TIME | EVENT DETAILS | CONTACT |
|------------|----------|-------------------------------------------------------------------------------|-----------|
| Sun, Oct 28| 4:30 pm | Tabitha Class | V Bailey |
| Wed, Oct 31| After Bible Class | Trunk and Treat—no scary or immodest costumes; change after class; | B Baker |
| Friday, Nov 2–Saturday, Nov 3 | Commit Youth Rally, Richmond Church of Christ | D Denham |
| Thurs, Nov 8 | 10:00 am | Ladies’ Bible Class | D Reitz |
| Sat., Nov 10 | TBA | Youth Group Devotionals, location TBA | D Harris, D Denham |
Preacher
TIM DOOLEY
Home: 859-334-5193
Cell: 859-486-4215
Elders
SCOTT BOND
Cell: 513-226-6680
JOHN GLASS
Home: 513-574-1456
Cell: 513-886-2639
Deacons
Andy Bailey 859 689-1525
Buddy Baker 859 689-5867
Daryl Denham 859 689-5806
Dave Harris 859-240-3973
Deric Hutson 513-238-3994
Trenton McMillan 859 372 0488
Turn to God in Times of Trouble by E. Russell King
What a joy it is when we are blessed with well-being, when peace and tranquility attend our way. We diligently seek for a continuation of this blessing and do all within our power to avert every intervening situation. Accordingly, Jesus taught His disciples to pray, “Do not lead us into temptation, but deliver us from the evil one” (Matthew 6:13). It is our fervent prayer that Jehovah will exercise His providential care over us to the fullest extent of His divine will, helping us to avert being caught up in and/or overcome by the forces of evil.
However, because of our own fallible nature and the fruit thereof, influenced by the perverse ways of humanity as well as out-of-control nature, there are times of trouble that overtake people, communities, and nations. It is then that the righteous bow themselves in deeper sincerity before the All-Powerful, beg for His mercy, and “according to the will of God commit their souls to Him in doing good, as to a faithful Creator” (1 Peter 4:19). That passage sits in the context of Jehovah God’s taking judgmental action upon evil, the consequences of which His children must suffer in times of trouble. This was not ordinary trouble; it was to be, Peter said, a “fiery trial which is to try you, as though some strange thing happened unto you” (1 Peter 4:12), and, in so doing, they would “share Christ’s sufferings.”
As for such “times and seasons” (the events and when) Jesus said, “it is not for you to know” (Acts 1:7; cf. 1 Thessalonians 5:1). However, the person who is knowledgeable of what constitutes the righteousness of God and closely observes societal and national evil trends, can know for sure that there is a pending judgment; they just do not know when! There are natural consequences of evil doings, plus an ultimate judgment from God. The United States of America is not impervious to the consequential fallout of evil!
For too long we have tended to trust in our nation’s financial strength, wisdom, and powerful weapons rather than trusting in God Who is our refuge. In so doing, there has been a trend to lower our moral and spiritual standards to the level of our own wisdom and lustful desires. Things which God called evil are being redefined as being good — a terrible sin committed by Israel (Isaiah 5:20), for which, except for the providential working of God, they were almost annihilated.
In our present-day society, religion has tended to be that of man’s own choosing and righteousness is of his own making, all organized according to society’s lustful passions. We must fervently retain (and our nation must return to) a reverent trust in Jehovah God, and, turning away from sinful practices, do the will of God from the heart. Otherwise, we have no real and lasting refuge or “… a place of quiet rest, Near to the heart of God.” (C. B. McAfee)
There are strong forces of evil currently present in our world which, if allowed to prevail, will deprive us of physical sustenance and, especially so, access to God through Jesus Christ. This evil cannot be thwarted or destroyed by all the weaponry of our nation’s arsenal, a present symbol of false security while the nation’s “ark of the covenant” has been or is being cast out.
The only weapon available to mankind that can defeat that force of evil is the “sword of the Spirit” because that evil is an overpowering evil from the heart. Only by turning to God and trusting in Him can we have any true sense of security, for it is by the providential working of God that we in times of trouble can expect to be delivered from evil. The message from God delivered by Peter to the doomed Jews in Jerusalem, as one translator put it, “So change the way you think and act, and turn to God to have your sins removed” (Acts 3:19a), is as pertinent today as it was in AD 30.
“The LORD also will be a refuge for the oppressed, A refuge in times of trouble. And those who know Your name will put their trust in You; For You, LORD, have not forsaken those who seek You” (Psalm 9:9, 10, NKJV).
Diligently develop the determination expressed by Job: “Though He slay me, yet will I trust Him”
- West Virginia Christian (March, 2012)
Greetings from Zimbabwe! We continue to give praise to the Lord for your unflinching support for the Lord’s work in Zimbabwe. May God’s blessings fall in abundance upon all who continue to pray for us and all who never grow weary in sending us encouraging messages. Natalie, you a star! You are just ten but you have already shown an ardent desire to serve the Lord. My daughter, may the Lord bless you and be His instrument in serving Him.
Please email Velaphi with your notes of encouragement. He truly appreciates hearing from us regularly. Email Address: email@example.com
TEEN YOUTH GROUP
The Commit Youth Rally will be Friday, Nov 2 thru Saturday, Nov 3 at Richmond, KY. The group will be leaving at 4:00 pm and returning on Saturday around 7:00 pm. Someone will call parents on the way back with an exact time to pick up at the building.
TRUNK and TREAT
WHEN: After Bible Study on Wed, Oct 31
All are invited to participate by handing out treats for the kids
Kids may change into costumes AFTER class
Costumes must be appropriate — modest and nothing that will scare the little guys!
Our Prayer List
**ADDITIONS**
Joel Crowder (Susan’s husband) was in the hospital this past week with kidney trouble
Raul Parra—will be moving back to California soon and is looking for a new job
Wilma Benson (Leah Baker’s mom) was hospitalized this past week with pneumonia and a UTI
**DEATH IN FAMILY**
**JOB SITUATIONS**
Scott and Joann Bond
Raul Parra
**MILITARY**
Andy Arnett
Drew McAlpin
**CANCER PATIENTS**
Jeff Bray—(Betty Kelly’s son-in-law) Hodgkin’s lymphoma
Charlie Cannon (J Womack’s Uncle) - bladder cancer
Albert Collier (Lois Clarkson’s relative) - pancreatic
Herb Dooley—(Tim’s dad) skin cancer, melanoma
Lori Ellis—(Mark Cruickshank’s aunt)
Darell Eldridge—(Danny’s father) - MALT Lymphoma
Virginia Glover—(John’s sister in law) stage 4
Garrett Link Grandfather
Anna Martin (10-yr old with leukemia)
Kathy Metz
Barbie Moon—ovarian 817 Pembrook Lane, Chattanooga, TN 37421
Larry Nelson—T Turner’s coworker
Brodie Quinn—5-yr old from Florence Cof C)
**SHARLENE (BEGLEY)**
Cheryl Spear (Jamie McAlpin’s sister)
EW Smith (Judy Tenoever’s father)—Blood Cancer
May (Tuttle) (Bill’s aunt)
Timmy Tuttle - (Bill’s nephew) colon cancer
Letcher Vanderpool—metastatic kidney cancer
**NESS/SHUT-IN’S**
Bob Carney—Colleen’s father—Alzheimer’s, MeRSA
Norma Carter—(Jason’s mother) Meniers’ Disease
Frank Criss—health probs
Linda Dooley—broken hip
John Glover—
Gene Harlow—(J. Carter uncle) Alzheimer’s
Bill McLaurine’s son-Alzheimer’s
Chris Reitz—Lewey Body dementia@ Mountain Crest
Meghan Sebastian-Crohn’s
Wayne Sebastian-(Steve’s dad) - Alzheimer’s, stroke
Stephen Tolliver—Medical problems
Amy Turner—kidney failure
Sheryl Pyles—MS
**HEART PATIENTS**
John Begley (Jesse’s brother) -
John Glover—congestive heart failure
Shannon King’s grandmother and father
Preston—infant nephew of Kasey Jones’ sister in law—heart surgery
Lee Smith—(Judy Tenoever’s mom) heart problems
**LONG TERM ILL-**
**OTHER REQUESTS**
Joel Crowder—surgery
Ian Cruickshank—knee surgery
Sharon Fugate—cracked rib, colonoscopy
Sonny Powers—(Tyler’s grandfather) - surgery
Tootsie Reeves
Marge Tuttle—torn retina, sleep apnea
PLEASE NOTE: We have recently “CLEANED UP” the prayer list. If you or your loved one has been removed in error, please let us know so that we can make the correct adjustment. We certainly don’t want to forget anyone who still needs our prayer. THANK YOU! Jennifer
What One Must Do To Be Saved
HEAR THE GOSPEL OF CHRIST John 20:30; Rom 10:17
BELIEVE THAT JESUS IS THE SON OF GOD Rom 10:16; Acts 18:8; Heb 11:6
REPENT OF SINS Luke 13:3; 24:47; Acts 3:19, 17:30
CONFESS FAITH IN CHRIST AS GOD’S SON Matt 10:32; Acts 8:37; Rom 10:10
BE BAPTIZED (IMMERSED) IN WATER Matt 28:19; Mark 16:16; Acts 2:38; 10:47-48; 22:16; Rom 6:1-6; Gal 3:27; Col 2:12; I Peter 3:21
CONTINUE FAITHFUL UNTO DEATH Matt 25:21, 34; 2Peter 1:1-11; Rev 2:10; I John 1:6-9
Scheduled to Serve - October 28, 2012
SUNDAY AM WORSHIP
Announcements Dave Harris
Song Leader Deric Hutson
Opening Prayer Gerry Leas
Presiding @ Lord’s Table Andy Bailey
Assist: Doug Yerkes
Assist Terry Turner
Assist Troy Gorman
Scripture Reading Gregory McMillan
Message Tim Dooley
Closing Prayer Larry Beckley
Usher/Greeter John Glass
Count Attendance Dan Link
Count Attendance Terry Turner
Count Offering Gerry Leas
Count Offering Deric Hutson
MEN SERVING IN THE AM SERVICE ARE REQUESTED TO MEET IN THE OFFICE AT 10:25.
SUNDAY PM WORSHIP
Announcements Dave Harris
Song Leader Deric Hutson
Opening Prayer Bill Tuttle
Preside at Lord’s Table Andy Bailey
Scripture Reading n/a
Message Tim Dooley
Closing Prayer Ethan Harris
WEDNESDAY EVENING
Announcements & Prayer Dave Harris
Song Leader Tim Dooley
Invitation Daryl Denham
Closing Prayer Jason Carter
IF YOU ARE UNABLE TO SERVE, PLEASE CALL DERIC HUTSON AT 513-238-3994 or email firstname.lastname@example.org.
Point Pleasant Church of Christ Meeting Times
Sunday Morning
Bible Study 9:30 am
Worship 10:30 am
Sunday Evening
Worship 6:00 pm
Wednesday Evening
Bible Study 7:00 PM
GOT ANNOUNCEMENTS?
Contact Jennifer Leas
Phone: 859-586-4332
Email: email@example.com
|
MINUTES OF CIVIL SERVICE BOARD
CITY OF SACRAMENTO
SPECIAL MEETING
May 6, 1954
The Civil Service Board met in special session at 7:30 P.M.
PRESENT: Commissioners Deise and Wright
ABSENT: Commissioner Marty
Minutes of the previous meeting were approved as read.
PAINTER EX. #372
After reviewing the outcome of the written portion of Painter Examination No. 372, which was held on April 29, 1954, Mr. Deise moved that those candidates receiving a raw score of at least 78, be considered as receiving a passing grade of 70%. Seconded by Mr. Wright and motion carried.
Mr. Wright moved that Oral Interviews for said examination be eliminated; seconded by Mr. Deise and motion carried.
Identification envelopes were thereupon opened and it was the order of the Board that the following eligible register be established, to become effective upon the expiration of the ten day period for filing appeals:
PAINTER ELIGIBLE REGISTER NO. 372
| | Name | Score |
|---|-----------------------------|-------|
| *1| Russell L. Burge | 91.29%|
| *2| Cecil C. Boyer | 90.00 |
| *3| George A. Preston | 87.11 |
| *4| Clarence L. Cottey | 84.29 |
| 5 | Melvin T. Petee | 82.86 |
| *6| Edgar R. Rich | 82.86 |
| *7| Richard S. Olsen | 81.43 |
| 8 | Angelo A. Cartoscelli | 80.71 |
| 9 | Theodore M. Cocker | 80.00 |
|*10| Oscar G. Painter | 80.00 |
| 11| Joe H. Allen | 77.86 |
| 12| Russell P. Wood | 75.71 |
| 13| George W. Connelly | 75.71 |
| 14| Elmer R. Latimer | 73.57 |
| 15| Peter O. Kolen | 71.43 |
| 16| William P. McInroe | 71.43 |
| 17| Harry J. Buckman, Jr. | 70.00 |
| 18| Melvin E. Nicolaus | 70.00 |
(* Indicates applicant received 10 points Veteran's Credit,)
After reviewing the outcome of the written portion of Machinist Examination No. 374, which was held on April 29, 1954, Mr. Wright moved that those candidates receiving a raw score of at least 91, be considered as receiving a passing grade of 70%; seconded by Mr. Deise and motion carried.
Mr. Deise moved that Oral interviews for said examination be eliminated; seconded by Mr. Wright and motion carried.
Identification envelopes were thereupon opened and it was the order of the Board that the following eligible register be established, to become effective upon the expiration of the ten day period for filing appeals:
**MACHINIST ELIGIBLE REGISTER NO. 374**
| | Name | Score |
|---|-----------------------|-------|
| *1| Ernest J. Campos | 97.69%|
| *2| Kent R. Link | 94.62%|
| *3| Shirley L. Tiedt | 93.85%|
| *4| Allie C. Bingham | 90.77%|
| *5| Gordon W. Wheeler | 90.77%|
| 6 | William Yaffee | 87.69%|
| 7 | John Fakundiny | 82.31%|
| 8 | Robert D. King | 80.00%|
| 9 | Felix A. Huss | 77.69%|
|10 | Marion Velasich | 76.15%|
|11 | John Znider | 76.15%|
|12 | Joseph O. Bondi | 75.38%|
|13 | James W. Marietta | 72.31%|
(* Indicates applicant received 10 points Veteran's Credit.)
AMOS J. GOMES
Req. Extension of Leave of Absence
Communication from Amos J. Gomes, Street Construction Worker, Street Maintenance Division, requesting a six months extension of his leave of absence, which expires on May 4, 1954, because of continued illness, was read and ordered filed.
It was the order of the Board that said applicant be requested to file a medical certificate from his attending physician.
The Secretary reported that the written portion of Parking Lot Foreman Examination No. 376 would be held on May 12, 1954, at 7:30 P.M. at the 9th & T Streets Fire House.
The Secretary also reported that the written portion of Machinist Helper Examination No. 373 would be held on May 13, 1954, at the 9th & T Streets Fire House.
Application filed by Don W. Berry, Assistant Building Inspector, requesting permit to accept part-time employment doing miscellaneous carpentry work on Saturday, not to exceed 16 hours per week, was considered.
Mr. Deise moved that the Secretary obtain additional information from the applicant with reference to the type of employment and the number of hours to be worked each week; seconded by Mr. Wright and motion carried.
Mr. Calvin C. Allen, Truck Driver, Waste Removal Department, personally appeared before the Board with reference to his application for a permit to accept part-time employment washing cars at 5811 Stockton Boulevard for three hours on Saturdays only.
Mr. Allen addressed the Board, stating that he was the owner of a car washing business on Stockton Boulevard and that he requested permission to assist his brother-in-law in the operation of said business two hours daily during the week, in addition to the Saturday employment as approved by the Board.
After general discussion by members of the Board, Mr. Wright moved that the foregoing appeal of Mr. Allen be denied; seconded by Mr. Deise and motion carried.
In preparing an item analysis of the Plant Operator Grade II Examination No. 371 Examination Booklet containing 125 multiple choice items, the Secretary reported that the examination paper filed by August Linneman, Candidate No. 120, had marked one answer with two correct marks, which had the effect of changing his score from 87 right to 86 right, thereby reducing the candidate's total score from 401.10 to 398.30, the difference between passing and failing to qualify.
Mr. Reise thereupon moved that the name of August Linneman ranking No. 39 on said eligible register, be eliminated from said list; seconded by Mr. Wright and motion carried.
Mr. Wm. Payton, President of the City Employees' Association, Mr. Richard Lawrence, attorney representing the Association, and the Civil Service Committee of said Association, consisting of Mr. Hale B. Stevens, Chairman, Mr. Ed Waters and Mr. Arnold Gamble, personally appeared before the Board with reference to city employees' salaries.
The foregoing representatives of the Association presented detailed data showing comparative salaries with the eleven largest cities in the State of California for the following classifications:
Junior Librarian
Sanitary Inspector
Public Health Nurse
Fireman
Fire Engineer
Fire Captain
Battalion Fire Chief
Police Patrolman
Police Sergeant
Police Captain
Laborer
Gardener
Parking Meter Collector
After further reviewing the information furnished by said employees, said matter was taken under advisement by the Board, pending further study.
ELIGIBLE REGISTERS
Abolished
Mr. Deise moved that the following Eligible Registers be abolished; seconded by Mr. Wright and motion carried:
Truck Driver No. 309
Airport Attendant No. 316
Machinist Helper No. 318
Power Mower Operator No. 320
There being no further business, the Board adjourned at 9:45 P.M. to meet again at the Call of the Chair.
APPROVED:
President
MINUTES OF CIVIL SERVICE BOARD
CITY OF SACRAMENTO
SPECIAL MEETING
May 14, 1954
The Civil Service Board met in special session at 1:30 P.M.
PRESENT: Commissioners Deise, Marty and Wright
ABSENT: None
Minutes of the previous meeting were approved as read.
ALEX J. KAMPOURIS
Req. Leave of Absence
In accordance with application filed on this date, Mr. Deise moved that request of Alex J. Kampouris, Engineering Aide, Engineering Department, for a leave of absence to accept employment in the U.S. Marshal's Office, Department of Municipal Court, be denied; seconded by Mr. Wright and motion carried.
After reviewing the outcome of the written portion of Parking Lot Foreman Examination No. 376, which was held on a promotional basis on May 12, 1954, Mr. Marty moved that those candidates receiving a raw score of at least 435, be considered as a passing grade of 70%; seconded by Mr. Deise and motion carried.
Mr. Deise also moved that the Secretary be authorized to certify the top five names on the eligible register for the existing vacancy of Parking Lot Foreman; seconded by Mr. Wright and motion carried.
Identification envelopes were thereupon opened and Mr. Wright moved that the following Eligible Register be established, to become effective upon the expiration of the ten day period for filing appeals; seconded by Mr. Deise and motion carried.
**PARKING LOT FOREMAN ELIGIBLE REGISTER NO. 376 (Promotional)**
| | Name | Score |
|---|--------------------|-------|
| 1 | William L. Byng | 81.07%|
| 2 | Osborne H. Granseth| 78.16 |
| 3 | William H. Paul | 75.42 |
| 4 | Robert R. Farmer | 72.35 |
| 5 | Louis F. Rein | 71.97 |
The members of the Board met jointly at this time with the Civil Service Committee of the City Council, consisting of Chairman Azevedo, Hendren and Wood for the purpose of discussing City employees' salaries.
It was the opinion of members of the Board and the members of the City Council Committee that Public Administration Service be again employed to bring their general salary survey prepared in 1951 up to date.
In accordance with said discussion, the Secretary was directed to contact Public Administration Service to obtain an estimate of cost to bring the previous salary report up to date and the availability of their services.
May 14, 1954
After review and agreement, it was the order of the Board that the following Departmental Reports be approved:
**Fire Department**
- Prob. Appt. 4/26/54 Uniform Fireman @ $315 Mo. from list
**Health Department**
- Prob. Appt. 4/16/54 Janitor-Custodian @ $276 Mo. from list
**Park Department**
- Temp. Appt. 4/1/54 Laborer @ $240 Month
- Temp. Appt. 4/8/54 Laborer @ $240 Month
- Temp. Appt. 4/13/54 Laborer @ $240 Month
- Temp. Appt. 4/11/54 Laborer @ $240 Month
- Temp. Appt. 4/13/54 Laborer @ $240 Month
- Temp. Appt. 4/12/54 Laborer @ $240 Month
- Temp. Appt. 4/15/54 Laborer @ $240 Month
**Police Department**
- Prob. Appt. 4/26/54 Patrolman @ $315 Mo. from list
- Emerg. Dur. Appt. 4/26/54 Patrolman @ $315 Mo.
**Recreation Department**
- Temp. Appt. 4/20/54 Laborer @ $240 Month
- Temp. Appt. 4/29/54 Recreation Leader @ $1.00 Hr.
- Temp. Appt. 4/21/54 Laborer @ $240 Month
**Waste Removal Department**
- Temp. Appt. 4/12/54 Garbageman @ $252 Month
**Leave of Absence**
- Leave of Absence from April 22, 1954 to April 23, 1954, Chief of Police @ $820 Mo. Mil.Serv.
There being no further business, the Board adjourned at 3:45 P.M. to meet again at the Call of the Chair.
APPROVED:
President
|
Polycystic Ovarian Syndrome Guideline
Background
Polycystic Ovarian Syndrome (PCOS) is the most frequent hormonal and metabolic disease in women of reproductive age world-wide.
40% of hirsute women who have normal cycles are anovulatory.
Statistics:
- PCOS affects nearly 7-10% of the women in the U.S.
- PCOS associated with 75% of the women with amenorrhea.
- PCOS associated with 85% of women with androgen excess and hirsutism.
PCOS Complications:
• Risk of an attack and heart disease is 3-4x higher in obese patients than that of general population
• Android obesity increases risk of coronary heart disease
• Hyperandrogenism will increase visceral fat
• Fertility issues (Menstrual disorders)
• Not all PCOS patients are obese and not all obese pts have PCOS.
Abbreviations / Definitions
ACOG: American College of Obstetricians and Gynecologists
ASRM: American Society for Reproductive Medicine.
FEMM: Fertility Education Medical management
HOMA: homeostasis model assessment of insulin resistance
Hyperandrogenism: Acne, hirsutism, hair loss on scalp, infrequent or absent menstruation
PCOS: Polycystic Ovarian Syndrome
RHRI: Reproductive Health Research Institute
TVUS: Transvaginal Ultrasound
Screening and diagnostic procedures / Initial evaluation
Diagnosis
2003 Council of Rotterdam (Need 2 of 3)
1. Oligo or Anovulation
2. Clinical signs or biochemical evidence of hyperandrogenemia / hyperandrogenism.
3. Pelvic Ultrasound (US) with polycystic ovaries and exclusion of other etiologies.
(See ovarian criteria in transvaginal US below)
Other proposed PCOS criteria, See APPENDIX I
Subtypes of PCOS
Metabolic
- High BMI
- Hyperandrogenic
- Insulin Resistance (Obesity and PCOS increase Insulin Resistance).
- Abnormal lipid metabolism
Reproductive
- Hyperandrogenic
- May be lean with normal BMI
- Irregular cycles
- Insulin resistance is secondary
‘In between’
- Aspects of both Metabolic and Reproductive effects
Symptoms:
OVULATORY DYSFUNCTION
- Irregular cycles (80%)
- Polycystic ovaries (See TVUS criteria)
- Mood changes
- Decreased fertility potential
- Miscarriage
History: Review of Symptoms
Obesity / inability to lose weight
Depression / irritability / tension
Sleep apnea / somnolence
Pelvic pain
Physical Assessment:
Obesity (BMI >30)
High hip to waist ratio (<0.85= normal)
Waist circumference (>35 inches = abnormal)
Acrochordons (skin tags)
Acanthosis nigricans
Gray-white breast discharge
Sommolent
Pelvic discomfort
Thinning scalp hair
Neurologic: Depression / irritability
Labs:
| Total Testosterone | (optional) |
|--------------------|------------|
| Thyroid stimulating hormone (TSH) | - Sex Hormone Binding Globulin (SHBG) |
| Fasting Prolactin* | -24 hr urinary free-cortisol excretion or low dose dexamethasone test |
|-------------------|---------------------------------------------------------------|
| 17-hydroxyprogesterone (17-OHP) | -Fasting Insulin |
| 2hr Glucose Tolerance Test (GTT) | -FSH / LH |
| Fasting Lipids | -Vitamin D |
*NOTE: Prolactin: Should be fasting plus no breast stimulation for 24 hrs.
**INSULIN RESISTANCE – See Appendix II**
**Imaging:**
Transvaginal ultrasound (TVUS) to include assessment of ovarian morphology
- Determination of polycystic ovaries: in one or both ovaries, either 12 or more follicles measuring 2–9 mm in diameter, or increased ovarian volume (greater than 10 cm3). If there is a follicle greater than 10 mm in diameter, the scan should be repeated at a time of ovarian quiescence in order to calculate volume and area. The presence of one polycystic ovary is sufficient to provide the diagnosis.
**HYPERANDROGENEMIA**
- Hair growth (upper lip, around nipple area, inguinal area)
- Oily skin and hair
- Acne
- Alopecia (male pattern, frontal)
- Mood changes/ Compulsive tendencies
- Anthropomorphic changes (apple shaped, increased visceral adiposity)
- Ferriman-Gallwey Hirsutism scoring system. See Appendix III
**PCOS Dx in Adolescent***
1) Irregular menses
2) Evidence of Hyperandrogenism (Biochemical and clinical)
3) Generally 2 years post menarche
4) Rule out diagnosis of other hyperandrogenisms (Congenital Adrenal Hyperplasia, Cushing’s)
*(Ovaries with polycystic appearance are common in adolescents)
Rule out secondary causes
- adult-onset congenital adrenal hyperplasia (Random 17-OHP normal < 4 ng/mL or fasting < 2 ng/ml)
- hyperprolactinemia
- androgen-secreting neoplasms
Management:
Metabolic Type → Focus on Insulin Resistance
Reproductive Type → Focus on Hyperandrogenemia then Insulin Resistance
In Between → Focus on Insulin Resistance and Hyperandrogenemia
INSULIN RESISTANCE:
From ACOG bulletin: “Improving insulin sensitivity with these agents (below), associated with a decrease in circulating androgen levels, improved ovulation rate, and improved glucose tolerance”.
ACOG:
Metformin 1500-2000 mg/day (start low to avoid GI upset: 250 qd x7, 500 qd x7, 1000 qd x7, etc..)
(+ /OR)
Rosiglitazone
2-4mg/day
(or other Thiazolidinediones)
RHRI:
Metformin 1500-2500mg/day
+ Rosiglitazone 2-4mg/day, if anovulatory cycle persists (or other Thiazolidinediones)
+ Vit D, if deficient
Non-Rx management:
D-Chiro-Inositol 1200 mg/day
- Reduces testosterone
- Reduces triglycerides and LDL cholesterol.
If elevated BMI:
- Nutrition referral and counseling
- Increase exercise
- Semaglutide injection (Wegovy) is FDA approved for weight loss
PCOS infertility treatment from ACOG
1.) Insulin-Sensitizing Agents (Metformin, Thiazolidinediones)
- “Improving insulin sensitivity with these agents is associated with a decrease in circulating androgen levels, improved ovulation rate, and improved glucose tolerance”.
- Anti-diabetic agents are not FDA approved for PCOS related menstrual dysfunction, so please document discussion.
- Metformin safest risk/benefit ratio.
2.) Aromatase Inhibitor (Letrozole)
- More effective than Clomid
- Higher birth rate and increased clinical pregnancy rate.
- Not approved by FDA (widely used), so please document discussion.
- Start 2.5/day x 5 days (start days 3,4 or 5). If no ovulation, increase to 5mg then 7.5mg
- 7.5 mg /day associated with thinning of endometrium (also seen with clomid)
Third Line Intervention: Ovarian Drilling:
- Failure after Insulin Sensitizing Agents, as well as Letrozole or Clomid therapy
- No effect metabolically
PCOS Menstrual irregularity
- Combination low-dose hormonal contraceptives are most frequently used for long-term management and are recommended as the primary treatment of menstrual disorders.
PCOS Hirsutism
None of the antiandrogen agents were developed to treat hyperandrogenism in women or are approved by the FDA for that indication. As a class, antiandrogens are teratogenic and pose a risk of feminization of the external genitalia in a male fetus (ambiguous genitalia) should the patient conceive. Therefore, they are frequently used in combination with oral contraceptives.
Mechanical hair removal (shaving, plucking, waxing, depilatory creams, electrolysis, and laser vaporization) is often the front line of treatment used by women. There is no evidence that shaving can increase hair follicle density or size of the hair shaft. Plucking can be helpful if tolerated, but care must be taken to avoid folliculitis, pigmentation, and scarring.
Other: “…clinically indistinguishable from PCOS…”
Non-classic congenital adrenal hyperplasia (NCCAH): Non-classic (late-onset) congenital CAH (NCCAH) is a less severe form of the classic type, which is usually diagnosed during neonatal screening. In late-onset CAH, there is 20-50% activity of 21-hydroxylase. The main presenting symptom is hyperandrogenism. In children, this may present as acne, precocious puberty and accelerated bone growth. When it first appears in adolescents and adults, the common presenting features are acne, oligomenorrhea and hirsutism. This can make it clinically indistinguishable from PCOS; however, PCOS is much more common.
Diagnosis of NCCAH is based on elevated levels of 17-hydroxyprogesterone (17-OHP; > 200 ng/dL), as measured in the follicular phase of the menstrual cycle.
If the basal level of 17-OHP is above 200 ng/dL, it is advisable to run a follow-up ACTH-stimulation test to confirm the diagnosis; a patient with NCCAH will respond to the ACTH with an exaggerated rise in 17-OHP, confirming the diagnosis of NCCAH.
Summary
PCOS affects women metabolically, as well as their reproductive system.
PCOS may initiate a referral for infertility or abnormal uterine bleeding (AUB)
-however, complications from PCOS affect women long term, not just in their reproductive goals
-these include metabolically, cardiovascular system, and psychologically for their whole lives.
Assessment starts with history, physical exam, biochemical assessment, and subtyping.
Management depends on patient goals.
-Treatment has shown benefits with insulin sensitizing agents, as insulin resistance complicates PCOS.
-Diet and lifestyle changes should be made in conjunction with prescriptive methods.
-Collaboration with the primary care team is important, especially for management of lipid levels as preventative measure for cardiovascular complications.
Follow up / Next steps
- Follow-up Labs and weight, 3-4 months after initiation of treatment.
- Many patients will report resumption of cycles or weight loss.
- Some patients will need longer schedule for tapering up on medications due to side effects (GI upset, nausea, vomiting with Metformin)
Approved MCH CCBG 12/8/23 njm
Written 11/18/23 mcm
APPENDIX I
1990 National Institute of Health (need both)
“The 1990 National Institutes of Health (the NIH criteria), which allow for a clinical diagnosis without the use of an imaging study. In addition, the NIH criteria require the presence of irregular menses, while the other criteria do not”.
1. chronic anovulation
2. Clinical signs or biochemical evidence of hyperandrogenemia/hyperandrogenism.
2009 Androgen Excess Society (need all)
1. Clinical signs or biochemical evidence of hyperandrogenemia/hyperandrogenism.
2. Ovulatory dysfunction
3. Exclusion other etiologies
Rotterdam and NIH Criteria
## Proposed diagnostic criteria for polycystic ovary syndrome
| NIH consensus criteria 1990\(^{[1]}\) (all required) | Rotterdam criteria 2003*\(^{[2]}\) (two out of three required) | AES definition 2008\(^{[3]}\) (all required) |
|--------------------------------------------------------|---------------------------------------------------------------|---------------------------------------------|
| Menstrual irregularity due to oligo- or anovulation | Oligo- or anovulation | Clinical and/or biochemical signs of hyperandrogenism |
| Clinical and/or biochemical signs of hyperandrogenism | Clinical and/or biochemical signs of hyperandrogenism | Ovarian dysfunction – oligo/anovulation and/or polycystic ovaries on ultrasound |
| Exclusion of other disorders: NCCAH, androgen-secreting tumors | Polycystic ovaries (by ultrasound) | Exclusion of other androgen excess or ovulatory disorders |
NIH: National Institutes of Health; AES: Androgen Excess Society; NCCAH: nonclassic congenital adrenal hyperplasia; PCOS: polycystic ovary syndrome.
* Rotterdam criteria also require exclusion of other conditions that mimic PCOS. Criteria were developed at a 2003 consensus meeting held in Rotterdam (European Society of Human Reproduction and Embryology [ESHRE]/American Society of Reproductive Medicine [ASRM] consensus workshop group).
### References:
1. Zawodny JK, Dunaif A. *Diagnostic criteria for polycystic ovary syndrome: Towards a rational approach*. In: *Polycystic Ovary Syndrome (Current Issues in Endocrinology and Metabolism)*, Dunaif A, Givens JR, Haseltine FP, Merrion GE (Eds), Blackwell Scientific Inc, Boston 1992, p.377.
2. Rotterdam ESHRE/ASRM-Sponsored PCOS consensus workshop group. *Revised 2003 consensus on diagnostic criteria and long-term health risks related to polycystic ovary syndrome (PCOS)*. *Hum Reprod* 2004; 19:41.
3. Azziz R, Carmina E, Dewailly D, et al. *The Androgen Excess and PCOS Society criteria for the polycystic ovary syndrome: The complete task force report*. *Fertil Steril* 2009; 91:456.
---
### FEMM / RHRI
| PHENOTYPE A | PHENOTYPE B | PHENOTYPE C | PHENOTYPE D |
|------------------------------|------------------------------|------------------------------|------------------------------|
| HyperAndrogenism | HyperAndrogenism | HyperAndrogenism | HypoAndrogenism |
| Ovulation Dysfunction | Ovulation Dysfunction | Ovulation Dysfunction | Ovulation Dysfunction |
| Polycystic Ovarian Morphology| Polycystic Ovarian Morphology| Polycystic Ovarian Morphology| Polycystic Ovarian Morphology|
---
### APPENDIX II
#### INSULIN RESISTANCE:
Basal: Insulin: > 10 uIU/mL
Values at 30, 60, 90 min 100 uIU/mL
Value at 120 min > 60 uIU/mL
---
**Insulin resistance based on HOMA Score**
HOMA-IR SCORE: homeostasis model assessment of insulin resistance
HOMA- Insulin Resistance
The HOMA-IR is being used extensively for estimates of beta cell function and insulin resistance, both in clinical practice and studies, with the caveat that it cannot be used on patients on insulin.
\[ \text{HOMA-IR} = \frac{\text{(Fasting insulin in mIU/L} \times \text{Fasting glucose in mg/dL)}}{405} \]
Normal reference levels for HOMA-IR range between 0.7 and 2.0.
Several studies use the 2.0 value as cut-off for increased insulin resistance.
APPENDIX III
Ferriman-Gallwey Hirsutism Scoring System
Grading of severity of hirsutism in patients
Ferriman-Gallwey hirsutism scoring system. Each of the 9 body areas that is most sensitive to androgen is assigned a score from 0 (no hair) to 4 (frankly virile), and these are summed to provide a hormonal hirsutism score. "Focal" hirsutism (score 1 to 7) is a common normal variant, whereas generalized hirsutism (score of 8 or more) is abnormal in the general United States population. The normal score is lower in East Asian and American Asian populations and higher in Mediterranean populations.
Reproduced with permission from: Hatch R, Rosenfield RS, Kim MH, Tredway D. Hirsutism: implications, etiology, and management. Am J Obstet Gynecol 1981; 140:815. Copyright © 1981 Elsevier.
Referenced Grading of hirsutism - UpToDate
References
Polycystic ovary syndrome. ACOG Practice Bulletin No. 194. American College of Obstetricians and Gynecologists. Obstet Gynecol 2018;131:e157–71. (Re-affirmed 2022)
Al Wattar BH, Fisher M, Bevington L, Talaulikar V, Davies M, Conway G, Yasmin E. Clinical Practice Guidelines on the Diagnosis and Management of Polycystic Ovary Syndrome: A Systematic Review and Quality Assessment Study. J Clin Endocrinol Metab. 2021 Jul 13;106(8):2436-2446
https://pubmed.ncbi.nlm.nih.gov/33839790/
Other
Marchese, M., “Environmental medicine update,” Townsend Letter Feb/March 2012.
Guzick, D., “Polycystic ovarian syndrome,” Obstet Gynecol 2004; 103(1):181-93.
Romm, A., Botanical Medicine for Women’s Health. St. Louis: Churhhill Livingstone/Elsevier, 2010.
Wei, A., et al., “Therapy for polycystic ovarian syndrome,” Curr Opin Pharmacol 2003; 3:678-82.
Ring, M., Polycystic Ovarian Syndrome. In Rakel, D., Integrative Medicine, 3rd Ed. Philadelphia: Elsevier, 2012., 345-52.
Alexander, C. Polycystic ovary syndrome: a major unrecognized cardiovascular risk factor in women. Rev Obstet Gynecol 2009; 2(4):232-39. https://pubmed.ncbi.nlm.nih.gov/30299455/
Contreras PH, Serrano FG, Salgado AM, Vigil P. Insulin Sensitivity and Testicular Function in a Cohort of Adult Males Suspected of Being Insulin-Resistant. Front Med (Lausanne). 2018 Jun 26;5:190. https://pubmed.ncbi.nlm.nih.gov/29998109/
Abdalla MA, Deshmukh H, Atkin S, Sathyapalan T. The potential role of incretin-based therapies for polycystic ovary syndrome: a narrative review of the current evidence. Ther Adv Endocrinol Metab. 2021 Jan 27;12. https://pubmed.ncbi.nlm.nih.gov/33552465/
Lafferty RA, O'Harte FPM, Irwin N, Gault VA, Flatt PR. Proglucagon-Derived Peptides as Therapeutics. Front Endocrinol (Lausanne). 2021 May 18;12 https://pubmed.ncbi.nlm.nih.gov/34093449/
Ryan JP, Karim HT, Aizenstein HJ, Helbling NL, Toledo FGS. Insulin sensitivity predicts brain network connectivity following a meal. Neuroimage. 2018 May 1;171:268-276. https://pubmed.ncbi.nlm.nih.gov/29339315/
Diamanti-Kandarakis E, Dunai F. Insulin resistance and the polycystic ovary syndrome revisited: an update on mechanisms and implications. Endocr Rev. 2012 Dec;33(6):981-1030. https://pubmed.ncbi.nlm.nih.gov/23065822/
Sanchez-Garrido MA, Tena-Sempere M. Metabolic dysfunction in polycystic ovary syndrome: Pathogenic role of androgen excess and potential therapeutic strategies. Mol Metab. 2020 May;35:100937 https://pubmed.ncbi.nlm.nih.gov/32244180/
|
Statement of
Sherman J. Maisel
Member, Board of Governors of the Federal Reserve System
before the
Joint Economic Committee
December 13, 1965
I am pleased to have the privilege of appearing before the Joint Economic Committee. The Employment Act of 1946 and the knowledge developed in the reports and hearings of this Committee have made major contributions toward the rapid, orderly, non-inflationary, growth of the United States economy and toward better public understanding of the problems involved in maintaining such progress.
I also welcome this opportunity because I believe the independence of the Federal Reserve System to be a keystone in our economy's proper functioning. Maintenance of independence is possible only with full public support. Hearings such as this give the Federal Reserve System an opportunity to explain the complexities of monetary policy. They enable the System to report on its stewardship while helping the people of the United States to shape their views as to a proper monetary policy.
I am sorry that as a result of these hearings internal conflicts will receive wide publicity. However, the action of the Board raising the discount rate was significant and worthy of a report to the country. I trust that the net results will be positive. I hope we will gain a better understanding of past action plus improved policies for the future.
Agreements and Disagreements
I was somewhat unhappy about the action taken by my fellow Board members on December 6. However, I want to make it clear that my dissent was not based on some of the reasons carried in the press. I do not fear that at this time higher interest rates will lead to an immediate depression or deflation. I respect the motives of all my fellow Board members. Each voted according to his own view of how a better economy could be achieved. The action was deliberative. Its timing did not arise from political or other ulterior motives. An attempt to characterize the votes as based on a belief in "hard money" or "easy money" is not helpful either. Each member clearly based his vote on how he believed the Board could best insure sound money and sound growth for the economy.
I disagreed on positive grounds. I felt that a discount increase at this time was premature. Furthermore, this action posed a net threat to long-run price stability. More specifically I concluded that:
(1) No sound decision was possible without firm information on the Federal budget. A delay of one month to await such knowledge could do little harm. It would enable us to make a much sounder choice.
(2) To act without far more effort at obtaining agreement on a coordinated monetary, fiscal and wage-price policy was wrong. The method and timing of the discount rate increase decreased its hoped-for impact. It threatened to introduce undesired, inflationary side-effects. It made the future development of sound full-employment
policies more difficult. Unilateral action could only weaken the President's leadership in a critical war period.
(3) Two major reasons cited by the majority for immediate action are, I believe, based on faulty theoretical reasoning. Their continued use as a basis for policy can only do harm.
(4) In departing from its normal and publicized policy of not making discount moves in advance of the market, the Board invested its recent decision to curtail credit expansion and raise interest rates with an urgency that I feel was unwarranted.
If I may, Mr. Chairman, I would like to expand on each of these four points.
A Month's Delay Seemed Advantageous
It can be no secret that, like people throughout the country, every Board member has diligently watched each critical economic variable. Growth this year has been excellent. Unemployment has decreased toward our interim goal. Our balance of payments has moved toward equilibrium, but not as rapidly as some hoped. Price pressures have exceeded those in recent years. Credit expansion was high.
The strains of growth have been severe. Continued progress toward full employment is bound to bring further pressures. Still, in prices, wages, and credit, distortions have been less than would be expected for a period of such rapid expansion. For example in non-food commodities (those most likely to be influenced by monetary policy) we note that although the rate of increase since midyear is slightly over one per cent a year, wholesale prices are only one per cent
higher than six years ago. Non-food commodity prices in the Consumer Price Index rose about 3 per cent in the six-year period. Their increase in the past year was seven-tenths of a per cent. The United States price stability record in this period far surpasses that of almost every nation in the world.
The credit picture has been mixed. The major credit indexes show a high general rate of expansion in the first part of the year. From June through November, however, commercial bank reserves held in the System decreased. An economy expanding at a rate of over 7 per cent annually received no additional reserves.
Because existing reserves shifted to support time deposits attracted from other saving sources, total commercial bank credit continued to expand. The rate, however, was slower than in the first half of the year or in the two previous years. Other individual measures of credit showed differing reactions to the lowered reserves. Almost all grew more slowly than in the first half and most at rates below previous years.
As a result of this moderate credit restraint, interest rates rose sharply. On December 3, rates on short-term Governments were about a half a per cent higher than earlier in the year. Corporate and municipal bonds had risen about as much, while long-term Governments were up over a third of a per cent. All rates were close to their thirty-year highs.
On the whole, one could conclude on December 3 that the price and credit pictures showed signs of pressure arising partly from higher demand and partly from a slowing in the rate of credit expansion. While unwanted price increases threatened, the cooperative effort to hold the wage-price level undertaken by labor, industry, and the Government seemed to be working.
The critical forces which would determine price movements for the next several months appeared to be the relative expansion rates for total demand and potential output, expectations, and the success of the President's price and wage programs. Price movements of the past year could be considered as normal and logical given the rapid rate of expansion. They offered no evidence as to how prices might react in a period of steady expansion at full employment.
Most projections of demand and supply available when the Board made its decision were in balance. In all forecasts, however, a recognized critical problem was inexact knowledge as to next year's growth rate for Federal expenditures and revenues. Depending on growth in the Federal budget, the country's demand might expand either more slowly or somewhat faster than capacity.
The Federal Reserve had no special information as to likely changes in the budget. Since, in attempting to formulate a correct policy for next year, the budget figures are critical, it seemed to me improper to make a drastic monetary change until this information became available. Re-enforcing this reasoning was the fact that although a one-month delay was technically feasible, an increase in
discount and interest rates would be irreversible for a considerable period. The arguments for immediate action seemed weak.
**The Need for Coordination**
A more significant reason for urging a delay than incomplete information was my belief that this action failed to give sufficient weight to the necessity for a proper coordination of fiscal, wage-price, and monetary policies.
It would be interpreted by many as an attack by the Federal Reserve on the national consensus or program for meeting price pressures. Some would feel that the Board was assailing recent governmental policies. Others would assume that the Board did not accept maximum full-employment growth with stable prices as a national goal. Raising the discount rate would be interpreted as a view by the Board that because full employment increases inflationary problems, restrictive monetary policy must be invoked at its mere approach.
More important, I felt that a failure to coordinate was an irresponsible use of our independence. It reduced the choices on national policy available to the President. We were informing him that monetary policy would be tighter, leaving him to adjust fiscal and wage-price policy accordingly.
Many people recently have argued that the country can achieve a proper level of total demand by a policy of high interest rates offset by high budget deficits. They point out that each dollar of demand
curtailed by higher interest rates can be offset by a budget deficit. As a fiscal conservative and a believer in leaving the maximum of choices to our market economy, I dislike this theory.
I personally think that in the current situation, adjustments through fiscal policy might be more advantageous. The country may be better off with lower deficits and lower interest rates. If demand is great enough, we may need a budget surplus. Increasing interest rates primarily penalizes growth and improvements in urban life. It tends to restrict modernization of plant and equipment, growth in housing, and the expansion and rebuilding of vitally needed State and local improvements. It increases the Federal deficit. It makes the task of the small businessman more difficult.
But more important than my own beliefs is the fact that I dislike attempting to impose them unilaterally on other parts of the Government. I would have preferred to explore all possible channels in an attempt to get a coordinated program. The Board's freedom to act requires that it use responsible statesmanship in achieving better economic policy.
History has shown that dividing the monetary from the fiscal functions of government is wise. Otherwise the creation of money to fill the public purse can become an engine of inflation. Because the Federal Reserve has a unique responsibility for maintaining monetary integrity, we must work as hard as possible to make certain that it is used properly.
The costs of conflict between monetary, fiscal, and wage-price policy are high. Achieving sound policies which will enable our economy to grow with stable prices at full employment is a most difficult task. In such decisions, the Federal Reserve System has a vital role. It must remind other agencies of the need for monetary probity and must insist that the value of the dollar be maintained. However, our independence and right to act should be used primarily as a valuable ace in the hole. An unnecessary use of power may dangerously weaken the System. The weapon of independence is clearly a major bargaining force. However, because monetary and fiscal policies are necessarily interdependent, national goals may more easily be achieved if the ability to act leads to a coordinated program rather than independent action. Weapons held in reserve may be more powerful than those committed at the earliest sign of conflict.
It also seemed clear that a precipitate action by the Board in the light of recent history would decrease its hoped-for deflationary impact. People might mistakenly believe that the action was taken on far firmer grounds than it was. They might assume that the Board was convinced that inflation was imminent. This sudden action could easily cause a rise in expectations and a sharp run-up in demand. Others might not understand the significant difference between banks raising their prices and unions and other industries doing likewise. They might feel justified in demanding higher wages or prices.
To some people's surprise my views on the requirements for evaluating the total (both direct and side-effects) results of this interest rate action have been highly influenced by Senator Robert Taft. As a member of your Committee, he pointed out on numerous occasions that tax (and by implication, interest) increases have three separate influences. (1) Demand is decreased, thus tending to reduce prices. (2) Costs are raised, tending to raise prices. (3) The changed situation (announcement effect) may lead to independent price increases.
Most people concerned with the discount change stress only the first factor: that is, that higher interest rates make credit more expensive. People decrease their desires to purchase equipment, plants, houses, autos, etc. The lowered demand for goods means a lowered demand for employment. There is less pressure for wage and price hikes.
In addition though, we all recognize that interest is a cost of doing business. Gross interest payments in this country total about $70 billion a year. Raising a cost must have some influence on prices.
The announcement effects are expected to be mixed. However, any procedures that raised expectations or decreased the ability of the Administration to maintain its wage-price guidelines would diminish the desired price influences.
It seemed clear to me that the method used by the Board of raising the discount rate failed to coordinate monetary, fiscal, and wage-price policy. It was bound to increase the undesired price-increasing side-effects at the expense of the hoped-for deflationary impact. A delay of a month to enable the Government to announce a unified policy would greatly increase the effectiveness of the Board's action.
Improper Reasons
I am also concerned because it appears to me that the reasoning and action of the majority tend to enshrine as causes for monetary restraint two pieces of theory which I feel are invalid and dangerous precedents. These are: (1) the continuing use of higher interest rates in the United States economy for balance of payments purposes; and (2) the concept that one must act in advance of changes in demand for fear that once demand starts to grow it can be contained only with much higher sacrifices.
I have previously stated my views on the balance of payments argument. The United States is doing extremely well in restraining interest-sensitive items through present programs. Further rate increases might simply be matched again overseas. Indeed, higher rates may have a perverse effect. United States interest payments abroad would rise immediately. Higher financing costs would make our exports less competitive. Slower growth in this country might make direct investments abroad--our chief problem area--look even more inviting.
The traditional belief in higher interest rates for balance of payments reasons assumes either (1) rates high enough to raise unemployment sufficiently to curtail imports or (2) interest high enough to change capital flows. No one admits to desiring the first path. The second path I regard as dangerous and almost impassable.
When the discount rate was raised, the President was in the process of announcing a revised balance of payments program designed to bring about the necessary return to equilibrium. I believe the President's program was proper and sufficient. The constant use of balance of payments as a theme to raise interest rates can only have a most unfortunate long-run impact.
I am not certain I understand the argument that it was impossible to delay action for a month or until sufficient information about demand, prices, and credit became available. This is contrary to what we know about most decision processes. As I understand this reasoning, it holds that delays and small infusions of additional credit are extremely dangerous. They lead to highly magnified inflationary conditions in the future. The use of credit gains momentum and runs away after some critical point.
We must admit that anything, including such results, may be possible. However, most people who have studied our monetary system carefully believe such a situation is extremely unlikely to occur. A large-scale credit expansion without added reserves would require peculiar types of discontinuities in our monetary system. There is no indication they exist. They have not appeared in the past. I spent considerable time trying to track down the basis of this idea. No one I asked on our staff or among monetary historians or theorists could find any support for this doctrine.
I concluded that neither the idea of a critical mass of credit nor the balance of payments argument was a proper basis for policy decisions.
The Method of Curtailing Credit Expansion
When it became evident that a majority of the Board felt that a curtailment of credit was desirable, a question arose as to the best method of procedure. This is clearly far more a question of judgment than of analysis or of values. I felt that an immediate discount rate change should be avoided. The Board has had an established policy of letting discount rate changes follow the market. It has stated that it rarely deviates from this policy unless it desires to stress the importance of the change and to obtain a magnified effect. The disadvantages of decreasing credit at this time seemed sufficiently great. I saw no special circumstances requiring a break with traditional policy.
In addition to all other disadvantages, the rate change method together with the change in Regulation Q, made it possible that the level of credit and demand would be raised rather than lowered. The System would have to furnish additional reserves for the transition period. A shift from demand to time deposits would mean that the existing reserve base could support a credit expansion. As a result, the action would bring higher interest rates, but at least initially an undesired increase in real demand could occur.
Given the expressed desire to curtail credit rather than to ratchet the interest rate structure upward, a more traditional and simpler approach appeared preferable. The System could simply determine not to furnish additional reserves and not to raise Regulation Q. The discount window could have been opened wider to meet urgent needs. Borrowed reserves have been low by past standards for periods of restraint.
Tighter money and larger borrowed reserves would have led to higher rates which could then have been ratified by a later discount rate change. This would have avoided the uncertainties and misunderstandings of the present situation. There would have been time for coordination with the fiscal authorities. If no agreement was possible, there at least could have been an announcement of a joint agreement to disagree.
Mr. Chairman, this concludes my statement. I want to make it clear again that while I believe the discount rate change at this time was incorrect policy, it is a move that can and will be absorbed by the economy without causing an immediate recession.
We must recognize our limited experience in operating for any length of time at full employment. However, the potential gains to our national welfare from the successful development of policies that will allow rapid expansion with stable prices are enormous. I hope that we can think of this action as behind us. Now it is time to try again to work out a better coordinated use of all types of policies which can help in achieving our national goals.
|
Combinatorial and high-throughput measurements of the modulus of thin polymer films
Christopher M. Stafford, Shu Guo, Christopher Harrison, and Martin Y. M. Chiang
Polymers Division, National Institute of Standards and Technology, Gaithersburg, Maryland 20899
(Received 15 November 2004; accepted 30 January 2005; published online 18 May 2005)
We describe the design and refinement of a high-throughput buckling-based metrology for ascertaining the mechanical properties (e.g., modulus) of combinatorial thin polymer film libraries. We provide critical details for the construction of a suitable strain stage, describe sample preparation, and highlight methods for high-throughput data acquisition and data analysis. To illustrate the combinatorial and high-throughput capability of this metrology, we prepare and evaluate films possessing a gradient in the elastic modulus and compare the results with an analytical expression derived from composite beam theory. Application of this metrology is very simple and practically any laboratory, academic or industrial, can perform such measurements with only modest investment in equipment. Although developed as a platform for investigating combinatorial libraries, researchers can take advantage of the high-throughput nature of this metrology to measure noncombinatorial film specimens as well. [DOI: 10.1063/1.1906085]
I. INTRODUCTION
Considerable attention has been devoted to developing fabrication strategies for constructing combinatorial material libraries as well as tools for characterizing the chemical properties of such libraries. Less attention has been dedicated to designing high-throughput metrologies for probing the physical or engineering properties of combinatorial libraries. For example, thin polymer films are critical to technological applications such as advanced optics, microelectronics, data storage, and bioengineering.\textsuperscript{1} The mechanical properties and stability of such ultra-thin (submicrometer) films are paramount to the fabrication, performance, and reliability of devices. For instance, the semiconductor industry uses lithography to pattern nanostructures in polymeric resists, followed by developing and rinsing steps with aqueous solutions to remove unreacted material from in between the nanostructures. These nanostructures, which can be viewed as freestanding thin films with widths of 100 nm down to 10 nm, often collapse during drying due to the large Laplace pressures generated by a liquid meniscus between the walls of the nanostructures.\textsuperscript{2–4} The design and incorporation of higher modulus materials into the lithography process can improve resistance to collapse and thus circumvent this fabrication issue. In this paper we present a high-throughput metrology that allows researchers to rapidly measure the elastic modulus for hundreds of points across a combinatorial library in a matter of minutes.
Several techniques have emerged to measure the mechanical properties of both supported and unsupported polymer thin films, the most prominent being instrumented indentation methods that have been scaled down to the micro- and nano-indentation regime.\textsuperscript{5–7} Here, a point load is applied to a supported thin film and the load/penetration depth curve is recorded over a complete loading/unloading cycle. From this load/displacement data, the modulus of the thin film can be calculated, although these techniques tend to overestimate the modulus of the film due to contributions and interactions with the underlying substrate. In addition to instrumented indentation, there are surface acoustic/guided wave methods for probing the near-surface mechanical properties of polymer thin films, the primary examples being Brillouin light scattering\textsuperscript{8,9} and surface acoustic wave spectroscopy.\textsuperscript{10} Finally, bulge tests\textsuperscript{11–14} are capable of measuring modulus and residual stress of thin films, but require free standing, or at least partly free standing, films. The membrane is pressurized from one side and the deflection at the center is recorded as function of applied pressure. The pressure-displacement relationship is given using plate theory and finite element analysis, and Young’s modulus can be determined through fitting the experimental data with analytical or numerical solutions. Unfortunately, many of these techniques are not positioned to be applied as high-throughput measurement platforms for submicron polymer films.
Recently we reported on a new buckling-based metrology\textsuperscript{15} that is able to measure the elastic modulus of polymer films mounted on a relatively thick, soft substrate. In this paper, we detail the design and application of this metrology with emphasis on sample preparation, apparatus design, data collection, and image analysis. We demonstrate the combinatorial and high-throughput capacity of this technique with a one-dimensional modulus gradient fabricated by laminating two layers of materials with disparate moduli.
II. REVIEW OF RELEVANT BUCKLING MECHANICS
Many researchers have studied the instability of a beam or plate supported by an elastic foundation.\textsuperscript{16–20} Buckling can occur when a compressive stress is applied to a substrate/film laminate. In an effort to minimize the total elastic strain...
energy of the system, the laminate will have a propensity to buckle if the applied compressive stress/strain exceeds a critical value. The critical stress, $\sigma_c$, needed to buckle the laminate is dependent on the material properties of the substrate and film, as shown in the following equations:
$$\sigma_c = \sqrt[3]{\frac{9}{64} \frac{E_s^2 E_f}{(1 - \nu_s^2)^2 (1 - \nu_f^2)}},$$ \hspace{1cm} (1)
where $E$ is Young’s modulus, and $\nu$ is Poisson’s ratio. Subscripts $f$ and $s$ correspond to the film and substrate, respectively. The wavelength of the buckling instability is given by
$$\lambda = 2 \pi h \left[ \frac{1 - \nu_s^2}{3(1 - \nu_f^2) E_s} \right]^{1/3},$$ \hspace{1cm} (2)
where $h$ is the thickness of the upper film. Equation (2) can be rearranged to elucidate the dependence of the upper film modulus on the wavelength of the buckles as well as the material properties of both the film and substrate:
$$E_f = \left( \frac{\lambda}{2 \pi h} \right)^3 \left[ \frac{3(1 - \nu_f^2)}{1 - \nu_s^2} E_s \right].$$ \hspace{1cm} (3)
Therefore, by knowing the material properties of the substrate and wavelength of the buckled film and film thickness, the film’s Young’s modulus can be calculated. The above equations are derived for a plate geometry, in which the film’s width is large compared to its thickness. An alternate solution has been reported for a beam model, in which the width of film and substrate are small compared with their length, but comparable to the film’s thickness. Figure 1 illustrates these two geometries. Most thin films exhibit characteristics of plates, as shown in Fig. 1(a), because the film thickness is normally small compared to the other two dimensions. However, in some situations, a beam model shown in Fig. 1(b) could be applicable, e.g., a fine thin line fabricated by microlithography patterning or direct write methods. In the following sections, we will outline how we employ this phenomenon to probe the mechanical properties of polymer thin films having gradients in material properties.
III. EXPERIMENTAL SETUP AND OPERATION
A. Design of strain stage
We designed and constructed a custom strain stage for conducting our buckling-based metrology. The geometry and dimensions of the stage were chosen such that the stage can be mounted onto a number of imaging platforms in our laboratories, including an optical microscope, a small angle light scattering (SALS) apparatus, and an atomic force microscope (AFM). Each of these imaging platforms can be automated to varying degrees to provide a measure of the buckling wavelength either in real space or Fourier space.
The strain stage was designed based on a slide-type construction as illustrated in Fig. 2. The gradient film (1) is transferred to a $75 \times 25 \text{ mm}^2$ strip of silicone (2), which is subsequently mounted and clamped (3) to the strain stage. The first “grip” (4) of the stage is held stationary while the sled/second “grip” (5) is free to move. Strain is applied by the use of a motorized actuator (6) attached to one end of the sled. Both the strain stage and actuator assemblies are mounted to individual aluminum plates (7), which are also mounted to a solid aluminum support. On the opposite end of the sled are grooves (8) for locking the sled down, which allow the degree of strain to be fixed or maintained. When this is done, the strain stage can be disengaged from the motorized actuator assembly and removed from the support block, at which time the entire strain stage can be transported easily between imaging platforms for ascertaining the buckling wavelength and, when desired, the buckling amplitude. A window (9) was machined into both the aluminum plate and support directly under the suspended specimen to allow for passing a laser directly through the sample. The entire assembly has a black anodized finish to minimize light reflections. An image of the strain stage assembly is shown in Fig. 3.
FIG. 2. (Color online) Strain stage design: ① gradient film specimen, ② PDMS substrate, ③ clamps, ④ stationary grip, ⑤ sled grip, ⑥ motorized actuator for controlling displacement, ⑦ mounting plate, ⑧ grooves for locking in strain, and ⑨ window for conducting transmission experiments.
FIG. 3. (Color online) Image of our custom-designed strain stage for conducting buckling measurements.
B. Sample preparation
Poly(dimethylsiloxane) (PDMS, Sylgard 184, Dow Chemical)\textsuperscript{22} was chosen as the elastic foundation since it is optically transparent, it approximates an ideal elastomer, and its modulus can be tuned by the mixing ratio of base to curing agent. Typically, a 10:1 ratio of base to curing agent is used in our studies. The PDMS mixture is degassed over 30 min under vacuum before spreading onto an $8 \times 8$ in\textsuperscript{2} sheet of plate glass. The volume of PDMS prepolymer prepared is carefully chosen to result in a final thickness of 1 to 2 mm. If the mixture is immediately cured at elevated temperature, the thickness of cured PDMS would be nonuniform and the surface would not be smooth. Therefore, the mixture is allowed to flow, level, and partially cure for 12 h at room temperature, and then fully cured in a forced air oven at 70 °C for 1.5 to 2 h. The resulting PDMS sheet is then cut into individual pieces with dimensions of $25 \times 75$ mm\textsuperscript{2} using a manual punch. One PDMS section was reserved for measuring the Young’s modulus of the substrate material. Typical Young’s moduli of the PDMS ranged from 1.5 to 2.0 MPa, as measured on a Texture Analyzer (Model TA.XT2i, Texture Technologies Corp.).
For preparation of the polymer film to be measured, a dilute solution of polymer is typically flow coated or spin cast onto a polished silicon wafer. Just prior to coating, the surface of the silicon wafer is rendered hydrophilic by exposure to UV/ozone for 30 min. Similar results can be obtained by cleaning with oxygen plasma. Spin coating yields films with exceptionally uniform thickness that can be measured using spot interferometry or ellipsometry. Multiple measurements across the sample can be made and the average thickness and standard deviation can be calculated. Flow coating affords preparation of films possessing a gradient in thickness, but a complete thickness map\textsuperscript{15} must be acquired of the gradient film, and this map must be precisely correlated to the specific positions where the buckling wavelength is to be measured. We find that this is easily achieved by automated interferometry thickness measurements across an $x$-$y$ grid of points and the use of fiduciary marks, respectively.
Films are transferred from the silicon wafer to PDMS substrates by aqueous immersion. In most cases, the PDMS is elongated and held fixed in the strain stage prior to film transfer, such that release of the applied strain results in an application of a net compressive strain on the film. The film on silicon is then placed face down on the PDMS substrate. Visual observation indicates the PDMS wets and softly adheres to the surface of the polymer film. Immersion of the multilayer stack in water results in the transfer of the polymer film to the PDMS due to the wicking of water into the polymer/silicon interface. The entire stage assembly is then removed from the water and gently dried using compressed nitrogen. Buckling of the film/substrate occurs upon compression, observable by the iridescent color of the buckled region, as can be seen in Fig. 4. Ideally, the entire film would buckle simultaneously, but imperfections in the film and substrate as well as distortions in the strain field can cause portions of the film to buckle before others. Thus, the degree of compression is manually adjusted via the actuator until the entire film is buckled, at which time the measurement of wavelength is performed and the compressive strain recorded.
C. Data collection
After preparation and mounting of samples onto the strain stage, the buckling instability is initiated by application of strain. The magnitude of stress necessary to trigger the instability is a function of both the moduli and Poisson’s ratios of the film and substrate [see Eq. (1)]. This buckling introduces highly periodic wrinkles where the associated buckles are oriented perpendicular to the direction of strain. The wrinkling wavelength can be measured in a variety of ways, including both contact and noncontact methods.
Noncontact methods include two primary methodologies: optical microscopy and SALS. Optical microscopy provides the most direct method to verify the uniformity of the buckles, but it also requires focusing, an aspect which can add an additional complication and time-consuming step when implementing an automated high-throughput measurement. Auto-focus modules often do not live up to their promise and, furthermore, can add a rate-limiting step for the hundreds or even thousands of measurements associated with routine high-throughput screening. Moreover, it can be difficult to unambiguously ascertain the actual wrinkling period as buckle crests and troughs occasionally, but not always, can be difficult to discern. However, for samples that are opaque or of wavelengths much greater than 50 $\mu$m, this can be the only route. Images can be collected with a conventional charged coupled device (CCD) camera or digital camera mounted on the microscope. For high-throughput work, automation of stage motion, image focusing, and image acquisition is readily available. However, for all such work, long-working distance objectives are recommended such that the microscope objective does impede motion of the strain stage. Calibration of microscope images is carried out by obtaining images of a stage micrometer or other standards with well-measured dimensions. Image analysis for data collected on the optical microscope is discussed in the next section.
In contrast to microscopy, SALS provides a particularly fast and convenient method for high-throughput data acquiFIG. 5. Examples of (a) optical microscope images and (b) resulting SALS patterns of anisotropic (top) and isotropic (bottom) buckling patterns.
position and analysis, and is enabled by the optical transparency of the PDMS substrate. Conventional SALS apparatuses with rudimentary automation are becoming more affordable due to advances in lasers, CCD cameras, and computerized translation stages. No optical lenses are necessary and a sheet of paper works nicely as a diffuser/imaging screen. We find that a conventional 8-bit (256 levels) grayscale camera provides sufficient sensitivity for our purposes. Calibration of the scattering wave number in one dimension versus image pixel number can be carried out with a diffraction grating, such as a Ronchi ruling. We find that a third-order polynomial fit typically suffices to make a one-to-one correspondence between pixel and wave number $q$. After calibration, identification of the diffraction peaks is straightforward and can be further refined by application of a scattering function, such as a Gaussian. Our SALS apparatus is outfitted with an automated $x$-$y$ translation stage to facilitate mapping of the buckling wavelength as a function of spatial position on the sample.
While the two methods mentioned above measure the lateral length scale of the buckles, they do not provide topographical information such as buckling amplitude.\textsuperscript{23} One direct method to obtain full three-dimensional topographical information is profilometry, such as provided by AFM. However, this technique is sufficiently time consuming that it would be all but impractical for high-throughput work. Analysis of AFM images will be discussed below.
D. Image and data analysis
To best quantify the wavelength of the resulting buckling patterns, we choose to conduct all image analyses in Fourier space. This approach yields the dominant wave vector, $q_m$ ($\mu m^{-1}$), present in the system. The dominant wave vector can then be converted to wavelength using the relationship
$$\lambda_m = \frac{2\pi}{q_m},$$
where $\lambda_m$ ($\mu m$) is the dominant wavelength of the buckling instability. If images of the buckling pattern are collected using an optical microscope, the real-space images must first be converted to Fourier space using fast Fourier transform (FFT) algorithms provided in many commercial packages including MatLab, IDL, and Image Pro. SALS images are by definition already in Fourier space, so no further transforms are needed. If the buckling pattern is isotropic, the resulting FFT will be a series of concentric circles; if the buckles are aligned, the resulting FFT will be a series of peaks (see Fig. 5). In the former case (isotropic), the dominant wave vector can then be ascertained by taking an azimuthal average of the intensity ($I$) as a function of $q$. In the latter case (aligned), however, this process can be simplified by performing a line scan through the center of the peaks. The resulting $I(q)$ plot is smoothed using an adjacent averaging method; typically, a seven-point smoothing function is used. Finally, an automated routine is used to determine the $q$-position of maximum intensity ($q_m$) for first- and (when possible) second-order peaks ($2q_m$, ideally). This value of $q_m$ is then converted to $\lambda_m$ through Eq. (4), which is used to calculate the film modulus through Eq. (3). If the specimen only contains a gradient along one axis, multiple images can be collected along the nongradient axis (uniform material properties) to generate the error or uncertainty of the measurement.
IV. EXAMPLE: MODULUS GRADIENT
To demonstrate the viability of this buckling-based metrology as a combinatorial and high-throughput technique, we generate a modulus gradient consisting of a bi-layer of polystyrene-polyisoprene-polystyrene [P(S-I-S)] triblock copolymer (Vector 4411, Dexco Polymers LP) and polystyrene (PS) films. Dissolved P(S-I-S) and PS solutions were separately flow-coated onto a silicon wafer to form films with gradients in film thickness. By placing the P(S-I-S) film on top of the PS film with the thickness gradients parallel to one another, a modulus gradient was formed in the P(S-I-S)-PS
bi-layer along the flow-coating direction. Using composite beam theory, the resultant effective modulus, $E_{\text{eff}}$, of a bi-layer can be calculated as follows:
$$E_{\text{eff}} = \frac{1 + m^2 n^4 + 2mn(2n^2 + 3n + 2)}{(1 + n)^3 (1 + mn)} E_1,$$
where $m$ is the modulus ratio $E_2/E_1$ and $n$ is the thickness ratio $h_2/h_1$ of the two layers. Here we take layer 1 as PS and layer 2 as P(S-I-S). The thickness ratio at each position can be obtained by measuring the thickness profile of each layer before transferring to the surface of PDMS substrate. Interferometry (Filmetrics, Inc.) was used to measure the film thickness. Figure 6 illustrates the thickness profile of each film and the laminated layer. The thickness profile of the bi-layer was substituted into Eq. (3) to calculate the effective modulus, $E_{\text{eff}}$, of the bi-layer. The two films were then transferred from the silicon wafer to the surface of the pre-stretched PDMS slab. The two films were overlapped so that there were three regions: pure PS, PS-P(S-I-S) bilayer, and pure P(S-I-S). The pure PS and pure P(S-I-S) sections can be used to measure the modulus of PS and P(S-I-S) individually as an internal calibration. The bucking wavelength of both the laminated and individual layers was measured using SALS as described in the previous section. Figure 7 shows the modulus profile of the laminate. The calculated $E_{\text{eff}}$ is also shown and the agreement is promising. Using the current technique and materials, the modulus of the laminate exhibited a factor of 3 decrease in modulus from the PS-rich region to the P(S-I-S)-rich region. Equation (5) reveals that $E_{\text{eff}}$ is more sensitive to thickness ratio than modulus ratio of the two materials, thus steeper modulus gradients can be made by precisely tuning the thickness ratio between each layer. The entire measurement described here was conducted in less than 10 min, demonstrating that this technique is conducive to high-throughput methodologies and could be applied to other problems where material optimization is paramount.
ACKNOWLEDGMENTS
CMS and CH acknowledge the NIST National Research Council Postdoctoral Fellowship Program.
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Buyer shall be responsible for compliance with the export control laws and regulations of the U.S. or Local Governments, and when required by such laws and regulations shall obtain export and re-export licenses required for goods, services and technical data delivered under an Order. Dotando Inc shall not be liable to Buyer for any failure to provide goods, services or technical data as a result of any of the following U.S. or Local Government actions: (1) refusal to grant export or re-export license; (2) cancellation of export or re-export license; or (3) any subsequent interpretation of U.S. or Local export laws and regulations, after the date of an Order, that limits or has a material adverse effect on the cost of Dotando Inc performance of an Order.
16. Assignment
Neither party shall assign an Order or any portion thereof without the prior written consent of the other party, which consent shall not be unreasonably withheld. The non-assigning party shall not have any obligation to an assignee of the assigning party unless such consent is obtained.
17. Waiver
Failure by Dotando Inc to assert all or any of its rights upon any breach of an Order shall not be deemed a waiver of such rights either with respect to such breach or any subsequent breach, nor shall any waiver be implied from the acceptance of any payment or service. Such waiver will arise only from an express written waiver signed by a duly authorized Dotando Inc representative. No waiver of any right shall extend to or affect any other right Dotando Inc may possess, nor shall such waiver extend to any subsequent similar or dissimilar breach.
18. Severability
If any provision of these Conditions of Sale is determined to be illegal, invalid, void or unenforceable, for any reason, then such provision shall be deemed stricken for purpose of the dispute in question, and all other provisions shall remain in full force and effect without being impaired or invalidated in any way.
19. Applicable Law
The purchase-sale relationship between Buyer and Dotando Inc shall be governed by the laws of the State of Florida. Buyer and Dotando Inc agree to submit to the exclusive jurisdiction of, and venue in, the court of Miami-Dade County, Florida in any dispute arising out of or relating to the Order.
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AN EVIDENTIAL MODAL IN BULGARIAN:
THE INFERENTIAL FUTURE*
María Luisa Rivero, Vesela Simeonova
University of Ottawa, University of Ottawa
In Bulgarian, šte (FUT), used in ‘ordinary’ futures, may also signal an inference or deduction based on indirect evidence made at Speech Time, similar to epistemic will in He will (must) be in Toronto right now. Such a presumptive reading is mentioned in descriptive grammars (Nitsolova 2008; Pašov 1989, 2005; Scatton 1983, a.o.), but has not been discussed in the recent literature on Bulgarian evidentials, which mainly concerns the epistemic of the ‘Renarrative Mood’ (Arregui, Rivero, and Salanova 2014; Izvorski 1997; Koev 2011, 2014; Rivero and Slavkov 2014; Sauerland and Schenner 2007, 2013; Smirnova 2013a-b, a.o.). The aim of the present study is to examine inferential šte within the views of formal syntax and semantics.
We argue that šte, as a marker of presumptive meaning, is an evidential modal fit for deductions, not reports. It takes a tensed complement that encodes the time of the depicted event as past or present, but not future. Inferential šte often shares form with prospective (future) šte, but we argue in §2 that the two should be formally differentiated. We compare inferential šte to epistemic modals in §3, and propose that it is a degree expression without fixed quantificational force. In sum, šte is an evidential for inferences that participates in a dedicated morpho-syntactic system not shared by prospective šte, so it cannot be viewed as an ‘evidential strategy’ (Aikhenvald 2004) parasitic on prospective šte.
1. Introducing Prospective Šte And Inferential Šte
Let us introduce Bulgarian future constructions, which always contain šte and are thus periphrastic.¹
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* Research partially subsidized by the Social Sciences and Humanities Research Council of Canada (Grant 410-2009-0828 to M. L. Rivero). We are very grateful to Galia Dukova-Zheleva and her family and to Nikolay Slavkov for discussion and judgments. We also thank the audience at CLA/ACL 2014 and especially Igor Yanovich for the challenging questions.
List of abbreviations: 1SG=1st person singular (etc.), FUT=future (analytic marker), IMP=imperfective aspect, IMPERF=past imperfect tense, NEG=negation (synthetic marker), PP=past participle, PR=prefix, PRES=present tense, PRF=perfective aspect, Q=question (analytic marker). The glosses are intended to highlight the details relevant to the topic of the paper, and do not exhaust the linguistic information encoded in the data.
¹ In syntax and morphology, Bulgarian futures differ from East/West Slavic futures which, when perfective, bear present morphology (i.a) and are ungrammatical with auxiliaries (i.c). By contrast, all Bulgarian futures display šte (i.b), and present perfective verbs are ungrammatical in main clauses (i.d).
(i) a. Naš poezd ot-pravit-sya v 10 časov. (Russian)
our train PR-leave.PRES.PRF.3SG at 10 o’clock
‘Our train will leave at 10 o’clock.’
b. Našijat vlak šte za-mine v 10 časa. (Bulgarian)
our train FUT PR-leave.PRES.PRF.3SG at 10 o’clock
‘Our train will leave at 10 o’clock.’
c. *Naš poezd budet ot-pravit-sya v 10 časov. (Russian)
1.1 Prospective Šte
Patterns (1a-b) illustrate future readings we call ‘prospective’, which are forward-shifted with Event Time following Speech Time. They also illustrate that šte combines with imperfective verbs, piša in (1b), and perfective verbs, na-piša in (1b).
Context: The instructor in your class asks about your final paper: (1a). You reply with (1b), pointing to the title of an article.
(1) a. *Gotov li šte ti e doklada
ready Q FUT your.POSS be.PRES.IMP.3SG paper.the
skoro?
soon
‘Will your paper be ready soon?’
b. Šte piša, (šte piša) i šte
FUT write.PRES.IMP.1SG (FUT write.PRES.IMP.1SG and FUT
go na-piša.
it.ACC PR-write.PRES.IMP.1SG
‘I will write and write, and I will finish it.’
1.2 Inferential/presumptive Šte
Presumptive šte is an evidential modal indicating deductions/inferences, as (2-3) illustrate (not reports).\(^2\)
Context: Your friend asks you which one among 3 singers in a photo is the winner of a competition. You listen to a tape, and pointing to one singer you state:
(2) a. Tazi šte (da) e pobeditelkata.
This FUT (da) be.PRES.3SG winner.the
‘This one must be the winner.’
Context: You cannot see Ivan but hear noise next door. You state:
(3) Ivan šte (da) piše pismo v sasednata staja v momenta.
Ivan FUT (da) write.PRES.IMP.3SG letter in neighbor.the room in moment.the
‘Ivan must be writing a letter in the room next door right now.’
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\(^2\) Inferential šte contrasts with the evidential of the Renarrative Mood, also known as preizkazno naklonenie ‘discourse mood’ (Andrejčin 1977), énonciation médiasée ‘mediated enunciation’ (Guentchéva 1996), Perfect of Evidentiality (Izvorski 1997), vid na izkazavaneto ‘discourse aspect’ (Kučarov 1998: 413), and Indirect (Koev 2011, 2014) (also Pašov 2005; Nitsolova 2008 for recent descriptions). Pašov (2005) considers that da in (2-3) is optional, an item we do not discuss.
Inferential šte is felicitous when the evidence is indirect, as in (2-3), and infelicitous when direct, as in (4):
**Context:** You look into the next room, identify the person there as Ivan, and his action as one of writing a letter. You state:
(4) #Ivan šte (da) piše pismo.
Ivan FUT (da) write.PRES.IMP.3SG letter
‘Ivan must be writing a letter.’
We define direct/indirect evidence in terms of propositions (Matthewson 2011, a.o.). It is direct if the event depicted by the proposition in [M Proposition Ivan write a letter] is ‘seen’ as it occurs. Indirect evidence concerns incomplete propositions, for example doubts on the agent’s identity (Ivan or Peter?), the activity (Writing or reading?), or results (A letter or a book?). Inferential šte participates in the two-way orientation of modals. (a) It is anchored to Speech Time/signals a present inference when in main clauses. (b) But the inference may concern present or past events. With present complement verbs, (2-3), inferences are about present events. With present perfect, (5-6), or imperfect complement verbs (7), inferences are about the past. In §2, we argue that inferential šte does not depict events that extend into the future, in contrast with prospective šte.
**Context:** You wonder why Ivan never went to Paris. Since his mom lives there, you suppose that she often told him to visit. You state:
(5) Tja šte (da) mu e kazvala mnogo
she FUT (da) he.DAT be.PRES.3SG tell.PP.IMP many
pati da ja poseti.
times da she.ACC visit.PRES.3SG
‘She must have told him to visit her many times.’
(6) Ivan šte (da) e iz-türpjal mnogo
Ivan FUT (da) be.PRES.3SG endure.PP.PRF a.lot
prez vojnata.
during war.the
‘Ivan must have endured a lot during the war.’
**Context:** You went to a party but forgot the name of a guy you met there. You state:
(7) Maj Ivan šte da beše.
Maybe Ivan FUT da be.IMPERF.3SG
‘Maybe it was Ivan.’
Aspect is encoded in the verbs that complement šte. Present perfects with imperfective participles signal ongoing/repetitive events: kazvala (5). Perfective participles describe episodic/resultative events: iz-türpjal (6).
In sum, the evaluation time of a modal claim with inferential šte is NOW (in Condoravdi’s 2000 terms, the ‘temporal perspective’ is fixed). The time of the depicted
event can either coincide with, or precede, Speech Time (in Condoravdi’s 2000 terms, the ‘temporal orientation’ may vary), but in the next section we see that it cannot be future.
Inferential šte always remains invariable, in contrast with future auxiliaries. Prospective šte does not overtly encode tense/person/number in (1), but we argue in §2 that is must be paired with the future auxiliary of past futures and past future perfects that overtly inflects. In (8) we sketch a (simplified) syntactic structure for inferential šte.
(8) \[ \text{MP} \quad [M \text{ šte}] \quad [\text{TP} \quad [\text{Tense}] \quad [\text{ASPECTP} \quad [\text{Aspect} \quad [\text{VP} \ V]]]] \]
Based on Rivero (1994), a.o., šte heads a Modal Phrase (MP), which dominates both the Tense Phrase (TP) and Person/Number if independent of T. TP scopes over Aspect Phrase (AspP) for Viewpoint. Inferential šte above T does not inflect for tense/person/number.
2. Distinguishing Between Inferential Šte And Prospective Šte
There exists a long debate on forms such as English will, which display epistemic and prospective readings. Do they share a common semantics disambiguated in context (Lyons 1977, a.o.), or do they represent two temporal/modal operators (Hornstein 1990, a.o.)? Here we argue that in Bulgarian, inferential šte must be differentiated from prospective šte in syntax and semantics, so the contrast is grammaticalized.
Bulgarian constructions with prospective and inferential readings may overlap in form, as (9-10) illustrate (our glosses and translations).
(9) Kato se sreštinetе s nego sled edna sedmitsa,
when REFL meet.PRES.PRF.2PL with he.ACC after one week
toj šte e razbral istinata. (Pašov 2005)
he FUT be.PRES.3SG learn.PP.PRF truth.the
‘When you meet with him in one week, he will have learned the truth.’
(10) Nespokoen e nešto - šte e
Uneasy be.PRES.3SG something-FUT be.PRES.3SG
razbral istinata. (Pašov 2005)
learn.PP.PRF truth.the
‘He is somewhat uneasy (at present) - he must have learned the truth.’
In (9), šte with a present perfect complement receives a forward-shifted reading: learning the truth will occur after Speech Time. By contrast, the most natural reading for the identical sequence in (10) is epistemic: learning precedes Speech Time. Sentence (10), however, is ambiguous, with a less natural forward-shifted reading, as in He will (soon) have learned the truth; from that moment on, he will no longer appear uneasy as he seems to appear now. At first sight, then, (9-10) could support the view that inferentials and prospectives share semantics, with disambiguation triggered by the (linguistic) context. However, we next argue that the grammar of Bulgarian distinguishes between inferentials and prospectives, and we develop three arguments to motivate this view.
2.1 Negation
In Bulgarian, inferentials and prospectives may be differentiated by negation. Negative inferentials contain ne before šte, (11). This sentence signals an unambiguous inference made as we speak about an event located before Speech Time.
(11) Ivan ne šte e izpratil pismo
Ivan NEG FUT be.PRES.3SG send.PP.PRF letter
(včera/ #utre).
yesterday/ tomorrow
‘Ivan may not have sent a letter (yesterday/#tomorrow).’
By contrast, negative prospectives contain auxiliary njama (NEG+FUT). Thus, (12) tells us about an event located after the time of the utterance.
(12) (Utre) njama da e napisala knigata.
(tomorrow) NEG+FUT da be.PRES.3SG write.PP.PRF book.the
‘(Tomorrow) she will not have written the book.’
Given the above contrast, we can compare (9) with (13) as a prospective. Likewise, (14) corresponds to (10), with the form of an inferential and an unambiguous epistemic reading.
(13) Kato se sreštнете с него sled edna sedmitsa,
When REFL meet.PRES.PRF.2PL with he.ACC after one week,
njama da e razbral istinata.
NEG+FUT da be.PRES.3SG learn.PP.PRF truth.the
‘When you meet with him in one week, he will not have learned the truth (at some future time from the time of utterance).’
(14) Nespokoen e nešto - ne šte e
uneasy be.PRES.3SG something NEG FUT be.PRES.3SG
razbral istinata.
learn.PP.PRF truth.the
‘He is somewhat uneasy (at present) – it must be that he has not learned the truth (at some past time before the time of utterance).’
Negation, then, supports the hypothesis that Bulgarian grammaticalizes the contrast between inferentials and prospectives, thus arguing against their unification. The above patterns also show that inferentials specialize in locating the description of events in the past or present, but cannot extend into the future. Constructions that extend into the future should thus be viewed as ‘predictive’, not ‘inferential’.
In sum, the grammar of Bulgarian grammaticalizes prospectives and inferentials. Inferential (ne) šte specializes for epistemic information, with actual/realis-like readings that speak of (possible) present/past events, not future events. Prospective šte and njama
display readings that could be dubbed non-actual/irrealis/predictive, as they speak of events that may extend indefinitely into the future.
2.2 Tense, Person, And Number Inflections
In (1), Prospective šte does not overtly inflect. However, we earlier suggested that this form should be paired with the future auxiliary of past futures and past future perfects, which is inflected in Bulgarian.\(^3\) By contrast, we mentioned that inferential šte is invariable. Let us motivate this proposed second difference between inferentials and prospectives. We illustrate past futures in (15a-c), and past future perfects in (16).
(15) a. Štjah da na-piša kniga utre/včera.
FUT.IMPERF.1SG da PR-write.PRES.1SG book tomorrow yesterday
‘I would write a book tomorrow.’/‘I would have written a book yesterday.’
b. Ivan šteše da plati mnogo pari.
Ivan FUT.IMPERF.3SG da pay.PRES.PRF.3SG much money
‘Ivan {would pay/would have paid} a lot of money.’
c. Utre Ivan šteše da xodi na gosti na majka si. (adapted from Rivero and Slavkov 2014)
tomorrow Ivan FUT.IMPERF.3SG da go.PRES.IMP.3SG on visit at mother POSS
‘Tomorrow Ivan would/was going to go on a visit to his mother.’
(16) Do 17 časa včera štjah da sūm na-pisala knigata.
by 17 hour yesterday FUT.IMPERF.1SG da be.PRES.1SG PR-write.PP.PRF book.the
‘By 5 o’clock yesterday I would have written the book.’
In morphology and syntax, past futures (15a-c) and past future perfect (16) contain a future auxiliary inflected for the imperfect tense, person, and number. The differences are encoded in the complement. Past future complements display present verbs: xodi in (15c). Past future perfect complements contain present perfects with an auxiliary and a past participle with aspect: sūm napisala in (16).
As to interpretation, past futures and past future perfects display several (complex) meanings, which we do not survey. So-called past futures, for instance, may project into the past or the future in relation to Speech Time, (15a)\(^4\) (or be used for present events, not
\(^3\) Future/prospective šte was still overtly inflected for person / number in the 19th century and could be negated with ne, now obsolete but recognizable as literary, or poetic. By contrast, inferential šte has always been invariable. Interested readers are referred to (Scatton 1983) for a complete inventory and basic descriptions of Bulgarian tenses.
\(^4\) The sentence in (15a) illustrates that the Bulgarian past future auxiliary can project into the past without perfect have (i.e. a present perfect complement); thus, it differs from English would, which can only project
illustrated). Readings in past futures and past future perfects fall within the non-actual/irrealis category (in Condoravdi’s 2000 terms, ‘metaphysical’ and not epistemic). That is, (15-16) bring to mind (implicit) if-clauses, and intentions: *I intended to have finished the book by 5 o’clock* for (16).
Negation is the factor that unifies the above inflected future auxiliary with prospective *šte*, and distinguishes it from inferential *šte*. In parallel to (plain) *šte*-prospectives, past futures and past future perfects negate with *njama*, which is inflected (imperfect/person/number), (17a-c).
(17) a. Ivan **njamaše** da plati mnogo pari.
Ivan NEG+FUT.IMPERF.3SG da pay.PRES.PRF.3SG much money
‘Ivan would not pay a lot of money.’
b. Utre Ivan **njamaše** da xodi na gosti na majka si.
tomorrow Ivan NEG+FUT.IMPERF.3SG da go.PRES.IMP.3SG on visit at mother POSS
‘Tomorrow Ivan would not/was not going to go on a visit to his mother.’
c. Do 17 časa včera Ivan **njamaše** da e na-pisal knigata.
by 17 hour yesterday Ivan NEG+FUT.IMPERF.3SG da be.PRES.3SG PR-write.PP.PRF book.the
‘By 5 o’clock yesterday Ivan would not have written the book.’
In sum, prospective *šte* and the inflected future auxiliary of past futures and past future perfects pattern together. By contrast, inferential (*ne*) *šte* may also depict past events, as we saw in (5-7b) and (11), but remains invariable. In conclusion, prospectives inflect while inferentials do not.\(^5\)
### 2.3 Conditionals
Conditionals can also be used to support the idea that inflected *štešte* patterns with prospective *šte*, and is unlike inferential *štešte*. First consider contrary-to-fact conditionals. Those display a past perfect in the antecedent clause, and a future auxiliary in the imperfect in the consequent clause, as in (18a-b).
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\(^5\) The syntactic structure proposed in (8) for inferentials may not be suitable for Bulgarian prospectives. Due to their inflectional properties, prospectives could be in T or lower, but are unlikely to be in M; in view of §3, they resemble root modals, not epistemics.
(18) a. Ako Ivan beše kupil tazi kůšta minalata
if Ivan be.IMPERF.3SG buy.PP.PRF this house past.the
godina, toj šteše da {e platil/ plati}
year he FUT.IMPERF.3SG da be.PRES.3SG pay.PP.PRF
platil) mnogo pari.
pay.PRES.PRF.3SG much money
‘If Ivan had bought this house last year (but he did not), he would have paid
a lot of money (at that past time).’
b. Ako Ivan beše kupil tazi kůšta utre, toj
if Ivan be.IMPERF.3SG buy.PP.PRF this house tomorrow he
šteše da {e platil/ plati}
FUT.IMPERF.3SG da be.PRES.3SG pay.PP.PRF pay.PRES.PRF.3SG
mnogo pari.
much money
‘If Ivan had bought this house tomorrow (but he already bought it), he
would have paid a lot of money (at that future time).’
Counterfactuals may project into the past, or the future. Past (18a) is felicitous if the
speaker knows both that Ivan did not buy a house last year when prizes were high, and
that house prizes came down. Future (18b) is felicitous as a comment on what could have
happened at some future time if instead of buying the house Ivan purchased, he had
waited to buy. Both (18a-b) speak of events that did not/will not take place.
A second conditional with a future marker is (19). It parallels Greek constructions
that Iatridou (2000) labels ‘future less vivid conditionals’, which contemplate future
possibilities. The antecedent has an imperfect verb, and the consequent the imperfect
auxiliary of counterfactuals.
(19) Ako Ivan kupeše tazi kůšta utre, toj
if Ivan buy.IMPERF.3SG this house tomorrow he
šteše da plati mnogo pari.
FUT.IMPERF.3SG da pay.PRES.PRF.3SG much money
‘If Ivan bought/were to buy this house tomorrow (an open possibility), he
would pay a lot of money.’
A conditional with šte in antecedent and consequent clauses is (20).
(20) Ako šte xodiš utre, az sašto šte
if FUT go.PRES.IMP.2SG tomorrow I also FUT
otida.
go.PRES.PRF.1SG
‘If you (will) go tomorrow, I will also go.’
We do not discuss differences in the readings of the above conditionals, which
depend on the form of both the antecedent and the complement of the auxiliary. We
instead concentrate on negation, which formally unifies the three types: they are negated
with *njama*. In counterfactuals (21a-b) and the ‘future less vivid conditional’ (21c), the negative auxiliary is inflected. ‘Bare’ *njama* in (21d) is not overtly inflected.
(21) a. Ako Ivan beše kupil tazi kăšta
if Ivan be.IMPERF.3SG buy.PP.PRF this house
minalata godina, toj *njamaše* da e
past.the year he NEG+FUT.IMPERF.3SG da be.PRES.3SG
platil mnogo pari.
pay.PP.PRF much money
‘If Ivan had bought this house last year, he would NOT have paid a lot of money.’
b. Ako Ivan beše kupil tazi kŭšta {a. minalata
if Ivan be.IMPERF.3SG buy.PP.PRF this house past.the
godina/ b. utre toj *njamaše* da e
year tomorrow he NEG+FUT.IMPERF.3SG da be.PRES.3SG
platil/ plati mnogo pari.
pay.PP.PRF pay.PRES.PRF.3SG much money
‘If Ivan had bought this house {a. last year/b. tomorrow}, he would NOT have paid a lot of money.’
c. Ako Ivan kupeše tazi kŭšta utre, toj
if Ivan buy.IMPERF.3SG this house tomorrow he
*njamaše* da plati mnogo pari.
NEG+FUT.IMPERF.3SG da pay.PRES.PRF.3SG much money
‘If Ivan bought this house tomorrow, he would not pay a lot of money.’
d. Ako *njama* da xodiš utre, az sašto
if NEG+FUT da go.PRES.IMP.2SG tomorrow I also
*njama* da otida.
NEG+FUT da go.PRES.PRF.1SG
‘If you do not go tomorrow, I will not go.’
Inferential *šte* may also appear in consequent clauses in conditionals, where it may speak of past events, (22a), so partially resembles classical counterfactuals such as (18a). However, inferential *šte* is negated with *ne*, so (22b) displays the form and meaning of an epistemic.
(22) a. Ako Ivan e kupil tazi kŭšta minalata
if Ivan be.PRES.3SG buy.PP.PRF this house past.the
godina, *šte* da e platil mnogo pari.
year FUT da be.PRES.3SG pay.PP.PRF much money
‘If Ivan (has) bought this house last year, he must have paid a lot of money.’
b. Ako Ivan e kupil tazi kūšta minalata
if Ivan be.PRES.3SG buy.PP.PRF this house past.the
godina, toj ne šte da e platil mnogo
year he NEG FUT da be.PRES.3SG pay.PP.PRF much
pari.
money
‘If Ivan (has) bought this house last year, he must/will NOT have paid a lot
of money.’
In sum, negation formally divides conditionals. Conditionals with inferentials
contrast with conditionals with (a) counterfactuals, (b) less vivid futures, and (c) ordinary
futures, which all pattern together.
Bulgarian distinguishes between epistemic (ne) šte and prospective šte/njama. In
agreement with Pasov (2005), we conclude that inferentials and prospectives may often
overlap in form, but represent two different paradigms. In Bulgarian, then, prospectives
and inferentials are grammaticalized, and prospectives specialize for future events.
3. Comparing Inferential Šte And Epistemic Modals
Bulgarian has two modals with both epistemic and root readings: trjabva ‘must’ and
može ‘may, can’. When such modals overtly inflect for tense (imperfect), person, and
number, they are restricted to root readings, (23a-b), but they remain invariable under
epistemic readings, (25), etc.
(23) a. Ivan trjabvaše da otide do pazara.
Ivan must.IMPERF.3SG da go.PRES.PRF.3SG to market.the
‘Ivan had the obligation to go to the market.’
b. Predi možeh da bjagam burzo, a sega
before can.IMPERF.1SG da run.PRES.IMP.3SG fast but now
veče ne.
already NEG
‘Before I was able to run fast but not anymore.’
We next show that inferential šte and epistemic trjabva and može share four
similarities. However, in 3.2, we show that they also differ: trjabva is universal, može is
existential, and inferential šte is a degree expression.
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6 Thus, when events depicted in consequent clauses (compositionally) count as (possibly) ‘actual’ (i.e.
inferentials), negation must be ne. By contrast, events depicted in counterfactuals, in future less vivid
conditionals, and in future conditionals require njama, which could suggest that a ‘non-actual’ item unifies
their semantics.
3.1 Similarities
Inferential šte, epistemic trjabva ‘must’, and epistemic može ‘may’ are invariable (no tense, person, number inflection), they are anchored to Speech Time in main clauses, they take parallel complements, (24-26), and embed under propositional attitude verbs, (27).
(24) Ivan trjabva/može da piše pismo.
Ivan must/may da write.PRES.IMP.3SG letter
‘Ivan must/may be writing a letter.’
(compare with (3): Ivan šte (da) piše pismo.)
(25) Az trjabva/može da mu süm kazvala
I must/may da he.DAT be.PRES.1SG say.PP.IMP
mnogo pati.
many times
‘I must/may have told him many times.’
(see (5): Tja šte (da) mu e kazvala mnogo pati.)
(26) Ivan trjabva/može da e iz-türpjal
Ivan must/may da be.PRES.3SG PR-endure.PP.PRF
mnogo prez vojnata.
a.lot during war.the
‘Ivan must have endured a lot during the war.’
(see (6): Ivan šte (da) e iz-türpjal mnogo prez vojnata.)
Context: We are watching a crime movie: a woman’s body is discovered. We discuss the identity of the killer, and you state:
(27) Mislja, če Ivan šte/trjabva/može da ja e ubil.
think.PRES.IMP.1SG that Ivan FUT/must/may da she.ACC be.PRES.3SG kill.PP.PRF
‘I think that Ivan must /may have killed her.’
Thus, inferential šte is an evidential with formal modal properties, not illocutionary properties.
3.2 A difference: Quantificational Flavor
Often, inferential šte is reminiscent of universal modals, but there are both declarative and interrogative contexts, where it seems closer to može ‘may’, as the comparison of (28) and (29) suggests. In our view, inferential šte is a degree modal without fixed quantificational force, as we argue next when we identify some of its characteristics.
(28) No zašto šte (da)gi e ubil
but why FUT da they.ACC be.PRES.3SG kill.PP.PRF
(včera)?
yesterday
‘But why would/should/may he have killed them (yesterday)?’
(29) No zašto može/ #trjabva (da) gi e
but why may must da they.ACC be.PRES.3SG
ubil?
kill.PP.PRF
‘But why may/#must he have killed them?’
To motivate the force variability of šte, and thus its distinction from trjabva ‘must’ and može ‘may’, we are inspired by Kratzer (2012:41), and notions such as ‘at least as good a possibility of’ and ‘better possibility’, which holds when $p$ is at least as good a possibility as $q$ but not vice versa. In our view, inferential šte identifies an option that is better that some other option, but not necessarily the best option. Thus, the gradability of šte shines through in comparing possibilities, where this modal participates in patterns that are in principle excluded for universals such as trjabva ‘must’, as we show next. In spite of appearances, then, inferential šte should not be identified with fixed force modals. To develop our argument, we recall the scenario in (27), adding more than one suspect to the discussion of possible killers, and first note contrasts between može ‘may’ (30), and trjabva ‘must’ (31).
(30) Može da e bil Ivan, ili može da
may da be.PRES.3SG be.PP.IMP Ivan or may da
e bil Boris.
be.PRES.3SG be.PP.IMP Boris
‘It may have been Ivan, or it may have been Boris.’
(31) #Trjabva da e bil Ivan, ili/no trjabva da
must da be.PRES.3SG be.PP.IMP Ivan or/but must da
e bil Boris
be.PRES.3SG be.PP.IMP Boris
#‘It must have been Ivan, or/but it must have been Boris.’
Sentence (30) is fine, but (31) is not felicitous because a true necessity modal like trjabva ‘must’ needs to report on an option that is better than all other options in all accessible worlds. In other words, in comparing two options $p$ and $q$, (31) states that each one of them is the best, i.e. better than every other option. Now consider inferential šte in comparisons with either može ‘may’, (32), or trjabva ‘must’, (33). These sentences are both felicitous, and their different readings serve to highlight the flexibility/gradability we attribute to inferential šte.
(32) Može da e bil Ivan, ili šte da
may da be.PRES.3SG be.PP.IMP Ivan or šte da
e bil Boris
be.PRES.3SG be.PP.IMP Boris
‘It may have been Ivan, or he might have been Boris.’
(32) Može da e bil Ivan, ili/no šte (da)
may da be.PRES.3SG be.PP.IMP Ivan or/but FUT da
e bil Boris.
be.PRES.3SG be.PP.IMP Boris
‘It could have been Ivan, but it is more likely that it was Boris’.
(33) Trjabva da e bil Ivan, ili šte (da)
must da be.PRES.3SG be.PP.IMP Ivan or FUT da
e bil Boris.
be.PRES.3SG be.PP.IMP Boris
‘It must have been Ivan, but it could also have been Boris.’
On the one hand, both Ivan and Boris are possible options in (32), but Boris is the better or more likely option - the suspect with the more dubious alibi, for instance -, as in our free translation into English. On the other hand, (33) opposes a best to a ‘better’ or less likely option (a better alibi) without a clash, as in our free translation. Sentence (33), then, differs from (31), which constitutes an attempt to contrast two ‘best’ options. Finally, (34) involves a comparison with two šte, and is not felicitous. We suggest that its infelicity derives from setting up two options that are equal or ‘undefined’ as to which one is to be chosen as better or more likely.
(34) #Šte da e bil Ivan, ili/no šte (da)
FUT da be.PRES.3SG be.PP.IMP Ivan or/but FUT da
e bil Boris.
be.PRES.3SG be.PP.IMP Boris
#‘It must (degree modal) have been Ivan, or/but it must have been Boris.’
The comparison with existential može in (32), then, increases the ‘strength’ of inferential šte, which goes on to identify the better/more likely option (the suspect with a bad alibi). A comparison with the universal modal in (33) weakens šte, which then goes on to identify the less preferred/less likely option (the suspect with the better alibi). Both trjabva and može offer the compositional means to provide appropriate but nevertheless different standards of comparison.
The above situation suggests that a variable force modal is one that can associate with flexible rankings in comparisons - something that fixed universal modals cannot do. A variable force modal, then, need not be equated with either one of the fixed force modals. Therefore, contra a first impression, šte is not a universal modal in cases where only one suspect may be involved, (35).
(35) Ivan šte da e bil.
Ivan FUT da be.PRES.3SG be.PP.IMP
‘It must (degree modal) have been Ivan.’
Inferential šte brings to mind expressions with a hidden degree structure such as tall (a.o. Kennedy and MacNally 2005). We understand sentences such as Mary is a tall lady by providing some scale of tallness where Mary is above average without the need of
being the tallest (universal). Similarly, we suggest that inferential šte in (35) brings to mind a scale of suspects where the chances of Ivan being the killer are better than, say, those of the average possible suspect in a pool of contextually relevant possible suspects. On this view, the universal-like reading of inferential šte is a consequence of its comparative properties. To conclude, inferential šte is a degree modal without fixed quantificational force, which should not be identified with trjabva or with može.
4. Conclusions
Our views on inferential šte in Bulgarian impinge on long debated issues concerning futures, modals, and evidentials in both general linguistics and Balkan linguistics. We conclude by relating our proposals on šte to some of those issues within the framework of recent theoretical views.
We argued in favor of a grammaticalized distinction between inferential šte and prospective šte in modern Bulgarian. Thus, we joined the long debate on the unity/diversity of futures, opting for a position where inferential and ‘ordinary’ futures are not unified in Bulgarian. This is in contrast with, for instance, some recent views on closely related languages in the Balkans including Greek (see Giannakidou and Mari 2013) and Rumanian (see Mihoc 2012).
Indirectly, we touched on the traditional debate about whether ordinary futures are modal or temporal. We concluded that in Bulgarian both inferential and ordinary futures are modal, but must be nevertheless distinguished from one another, which suggests that their modality may not be of the same type. Bulgarian ‘ordinary’ futures formally pattern with counterfactuals and ‘less vivid futures’, so are undoubtedly modal, but their agreement characteristics pair them with circumstantial modals, not epistemic modals. We may then ask if the morphological connection with circumstantialis as opposed to epistemicus could also hide a semantic connection.
We argued that inferential šte behaves like a ‘tenseless’ modal anchored to Speech Time, and takes tensed complements. By contrast, prospective šte should be paired to past future auxiliaries, which may project into the past ‘on their own’ (i.e. without a present perfect complement). Such an opposition between inferential and prospective markers may shed light on the proper characterization of modals for the present and those for the past, which display crosslinguistic variation (Condoravdi 2002 on English and the effect of have, Giannakidou and Mari 2013 on Greek and Italian, Rivero 2014 on Spanish, a.o). The distinctions in Bulgarian may also shed light on the much-debated topic of the relation between counterfactuals and inferentials.
We added inferential šte to the inventory of evidential markers in Bulgarian, and placed it into the modal class, not the illocutionary class. Thus inferential šte may shed additional light on ongoing debates on contrasts between modal and illocutionary evidentials (a.o. Davis, Potts, and Speas 2007; Fallar 2002, 2011; von Fintel and Gillies 2010; Matthewson 2011; Matthewson, Davis, and Rullmann 2007).
We proposed that evidential šte differs from other epistemics in Bulgarian because it is a degree expression with comparative properties that distinguish it both from universal and existential modals. Thus, we added it to the inventory of forms that participate on ongoing debates on the proper definition of gradable modals (a.o. Deal 2011; Kratzer 2012; Lassiter 2010; Rullmann, Matthewson, and Davis 2008; Yalcin 2007).
References
Aikhenvald, Alexandra. 2004. *Evidentiality*. Oxford: Oxford University Press.
Andrejein, Ljubomir. 1977. Glagol. In *Gramatika na būlgarskiia ezik*, eds. L. Andrejein, K. Popov and S. Stojanov, 190-296. Sofia: Nauka i izkustvo.
Arregui, Ana; Maria Luisa Rivero, and Andrés Shanova. 2014. Cross-linguistic variation in imperfectivity. *Natural Language and Linguistic Theory* 32: 307–362.
Condoravdi, Chrys. 2005. The interaction of modals: Modals for the present and for the past. In *The Construction of Meaning*, eds. David Beaver et al., 59–87. Stanford, CA: CSLI Publications.
Davis, Christopher, Christopher Potts, and Margaret Speas. 2007. The pragmatic values of evidential sentences. *SALT* 17: 71–88.
Deal, Amy R. 2011. Modals without scales. *Language* 87: 559–585.
Faller, Martina. 2002. Semantics and Pragmatics of evidentials in Cuzco Quechua. Doctoral dissertation, Stanford.
Fallen, Michael. 2011. A possible worlds semantics for Cuzco Quechua evidentials. *SALT* 20: 660–683.
von Fintel, Kai and Anthony S. Gillies. 2010. Must… stay…. Strong!. *Natural Language Semantics* 18: 351–383.
Giannakidou, Anastasia and Alda Mari. 2013. The future of Greek and Italian: an epistemic analysis. *Sinn und Bedeutung* 17.
Guentchéva, Zlatka. 1996. *L’énonciation médiatisée*. Paris: Bibliothèque de l’information grammaticale.
Hornstein, Norbert. 1994. *As time goes by: Tense and Universal Grammar*. Cambridge, Mass.: MIT Press.
Iatríroudi, Eleni. 2000. The Grammatical Ingredients of Counterfactuality. *Linguistic Inquiry* 31: 231–270.
Izvorski, Roumiana. 1997. The Present Perfect as an Epistemic Modal. *SALT* 7.
Kennedy, Chris and Louise McNally. 2005. Scale Structure and Semantic Typology of Gradable Predicates. *Language* 81, 345–81.
Koev, Todor. 2011. Evidentiality and temporal distance learning. *SALT* 21, 95-114.
Koev, Todor. 2014. Evidentiality, Learning Events, and Spatiotemporal distance. Ms., University of Stuttgart.
Kratzer, Angelika. 2012. *Modals and Conditionals: New and Revised Perspectives*. Oxford: Oxford University Press.
Kučarov, Ivajlo. 1998. Morfološija. In: *Savremenen būlgarski ezik*, eds. T Bojadžiev, Iv. Kučarov, and J. Penčev, 277-497. Sofia: Petăr Beron.
Lassiter, Daniel. 2010. Gradable Epistemic Modals, Probability, and Scale Structure. *SALT* 20: 197-215.
Lyons, John. 1977. *Semantics*. Cambridge: Cambridge University Press.
Matthewson, Lisa. 2011. On apparently non-modal evidentials. *Empirical Issues in Syntax and Semantics* 8: 333–357.
Matthewson, Lisa, Henry Davis, and Hotze Rullmann. 2007. Evidentials as epistemic modals: evidence from ‘St at’ imceci. *Linguistic Variation Yearbook* 7: 201–254.
Mihoć, Teodora. 2012. The Romanian Presumptive Mood: Inferential evidentiality and upper-end degree epistemic modality. Unpublished MA Memoire, University of Ottawa.
Nitsolova, Ruselina. 2008. *Būlgarska Gramatika: Morfološija*. Sofia: St. Kliment Ohridski University Press.
Paşov, Petăr. 2005. *Būlgarska Gramatika*. Sofia: Hermes.
Paşov, Petăr. 1989. *Praktičeska būlgarska gramatika*. Sofia: Narodna prosveta.
Rivero, Maria Luisa. 1994. Clause structure and V-movement in the languages of the Balkans. *Natural Language and Linguistic Theory* 12: 63-120.
Rivero, Maria Luisa. 2014. Spanish inferential and mirative futures and conditionals: an evidential gradable modal proposal. *Lingua* (2014), DOI 10.1016/j.lingua.2014.04.009.
Rivero, Maria Luisa and Nikolay Slavkov. 2014. Imperfect(ive) variation: the case of Bulgarian. *Lingua* 150: 232-277.
Rullmann, Hotze, Lisa Matthewson, and Henry Davis. 2008. Modals as distributive indefinites. *Natural Language Semantics* 16: 271–295.
Sauerland, Uli and Mathias Schenner. 2007. Shifting evidentials in Bulgarian. *Sinn und Bedeutung* 11: 525-539.
Sauerland, Uli and Mathias Schenner. 2013. On embedding and evidentiality in Bulgarian. *Contrastive Linguistics* XXXVIII (2-3): 131-152.
Scatton, Ernest. 1983. *A reference Grammar of Modern Bulgarian*. Columbus: Slavica.
Smirnova, Anastasia. 2013a. Evidentiality in Bulgarian: Temporality, epistemic modality, and information source. *Journal of Semantics* 30: 479-532.
Smirnova, Anastasia. 2013b. The meaning of the Bulgarian and Turkish evidentials. *Contrastive Linguistics* XXXVIII (2-3): 205-223.
Yalcin, Selim. 2007. Epistemic Modals. *Mind* 116.464: 983–1026.
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FSMR 456 Historic Costume-DEAdd-2015-09-21
Form Information
Page Naming Example: CRIM 101 Intro to Criminology-DEAdd-2015-08-10
Please direct any questions to firstname.lastname@example.org
*Indicates a required field
Proposer* Janet A. Blood
Proposer Email* email@example.com
Contact Person* Janet A. Blood
Contact Email* firstname.lastname@example.org
Proposing Department/Unit* HDES/FSMR
Contact Phone* 3778
Course Level* undergraduate-level
Distance Education Section
- Complete this section only if adding Distance Education to a New or Existing Course
Course Prefix/Number
FSMR 456
Course Title Historic Costume
Type of Proposal
See CBA, Art. 42.D.1 for Definition
online
Brief Course Outline
Give an outline of sufficient detail to communicate the course content to faculty across campus. It is not necessary to include specific readings, calendar or assignments.
As outlined by the federal definition of a "credit hour", the following should be a consideration regarding student work - For every one hour of classroom or direct faculty instruction, there should be a minimum of two hours of out of class student work.
A. Costume Artifact Storage and Handling Practices
1. Physical Environment
2. Insect Considerations
3. Cleaning
4. Handling
5. Storage
B. Introduction to the Study of Historic Costume
1. Theories of Dress
2. Basic Forms of Dress
3. Earliest Evidence of Textiles and Costume
4. Interconnecting Themes
5. Sources of Evidence
C. The Ancient Middle East
1. Mesopotamian Culture
a. Fabric Production
b. Sources of Evidence
c. Sumerian Dress
d. Babylonian Dress
e. Assyrian Dress
f. Children’s Dress
2. Egyptian Culture
a. Fabric Production
b. Decorative Effects
c. Motifs and Symbols
d. Jewelry
e. Accessories and Adornment
f. Basic Dress Components for Men and Women
g. Occupational Dress
h. Children’s Dress
D. Crete and Greece
1. Minoan Culture
a. Sources of Evidence
b. Fabric Production
c. Basic Dress Components for Men and Women
d. Accessories and Grooming
e. Children’s Dress
2. Greek Culture
a. Sources of Evidence
b. Fabric Production
c. Basic Dress Components for Men and Women
d. Accessories
e. Soldier’s Dress
f. Children’s Dress
E. Etruria And Rome
1. Etruscan Culture
a. Sources of Evidence
b. Fabric Production
c. Basic Dress Components for Men and Women
2. Roman Culture
a. Sources of Evidence
b. Fabric Production
c. Basic Dress Components for Men and Women
d. Children’s Dress
F. The Early Middle Ages
1. Byzantine Culture
a. Sources of Evidence
b. Fabric Production
c. Basic Dress Components for Men and Women
2. European Culture
a. Sources of Evidence
b. Fabric Production
a. Basic Dress Components for Men and Women
G. The Late Middle Ages
1. Culture
2. Sources of Evidence
3. Fabric Production
4. 14th Century Dress/Accessory Components for Men and Women
5. 15th Century Dress/Accessory Components for Men and Women
6. Children’s Dress
H. The Italian Renaissance
1. Culture
2. Sources of Evidence
3. Fabric Production
4. Clothing Advances
5. Basic Dress/Accessory Components for Men and Women
6. Venice Fashions
7. Children’s Dress
I. The Northern Renaissance
1. Culture
2. Sources of Evidence
3. Fabric Production and Decoration
4. 16th Century Men’s Dress Phases
5. 16th Century Women’s Dress Phases
6. Accessories
7. Children’s Dress
J. Baroque and Rocco
1. 17th Century Culture
a. Sources of Evidence
b. Fabric Production and Advances
c. 17th Century Men’s Dress Phases
d. 17th Century Women’s Dress Phases
e. Accessories
f. Children’s Dress
2. 18th Century Culture France and England
a. English Notions of Dress
b. Sources of Evidence
c. Fabric Production and Advances
d. 18th Century Men’s Dress Phases
e. 18th Century Women’s Dress Phases
f. Accessories
g. Children’s Dress
K. The Nineteenth Century
1. Introduction to the 19th Century
a. Periods of the 19th Century
b. 19th Century European Culture
c. 19th Century U.S. Culture
d. The Industrial Revolution
e. Textile Advancements
f. Art and Social Movements
g. Sources of Evidence
h. 19th Century Men’s Dress Phases
i. Men’s Accessories
j. 19th Century Children’s Dress Phases
2. Victorian Understructure
a. Directoire/Empire/Regency
b. Romantic
c. Crinoline
d. Bustle Periods
e. 1890s
3. 19th Century Ladies’ Dress and Accessories
a. Directoire/Empire/Regency
b. Romantic
c. Crinoline
d. Bustle Periods
e. 1890s
L. The Edwardian Period and World War 1
1. 1900-1920 Culture
2. Sources of Evidence
3. Apparel Industry Advances
4. Menswear and Accessories
5. World War 1 Influences
6. Women’s Wear Phases and Accessories
7. Popular Fashion Designers of the Era
8. Children’s Wear
Rationale for Proposal (Required Questions from CBA)
How is/are the Instructor(s) qualified
Dr. Blood has a Ph.D. from Oregon State University from the Department of Design and Human Environment with a concentration in the Historical and Cultural Aspects of the Near Environment. She has studied historic costume since her undergraduate program in Apparel Design at Southern Illinois University at Carbondale which includes working in theatrical costuming as well as in several historic costume collections. She is qualified to use distance education as a delivery method because since coming to IUP in 2004 she has been trained to use and has utilized multiple LMS systems (WebCT, Moodle, and D2L) to augment/blend the traditional classroom with an online environment.
In the Distance Education delivery method as well as the discipline?
For each outcome in the course, describe how the outcome will be achieved using Distance Education technologies.
Current Course Objectives:
At the end of this course, the student will be able to:
1. Identify garment silhouettes, fabrics, constructions, accessories, and vocabulary of important periods.
This outcome will be achieved through assigned textbook readings, online readings quizzes, and online exams based upon PowerPoint lectures.
2. Analyze costume as an expression of the cultures of various historical periods.
This outcome will be achieved through assigned textbook readings, online readings quizzes, and online exams based upon PowerPoint lectures. Furthermore, assigned discussion activities will address cultural expression, and the Period Department Store Project will allow students to apply their cultural knowledge of a historical period in the design of a department store setting. This project can be created, scanned, and submitted electronically using the D2L Dropbox function.
3. Understand the relationship between historic costume and contemporary dress.
This outcome will be achieved through assigned textbook readings that often compare historic details to modern dress practices. Furthermore, assigned discussion activities will tap into students’ recognition of historic costume details in contemporary dress as well as allow students to predict future styles of dress based on historic trends. The Heirloom History Project also will reinforce the gradual change of fashion as well as the cyclical repeating of stylistic details over time.
4. Develop an appreciation for the beauty of period costume.
This outcome will be achieved through assigned textbook readings and visuals, pictures included in the PowerPoint lectures, and through movie clips for students to view and react. The Heirloom History Project is particularly designed for students to develop a deeper appreciation for the beauty of a special artifact belonging to a family member or friend. This project can be created, scanned, and submitted electronically using the D2L Dropbox function.
How will the instructor-student and student-student interaction take place? (If applicable)
The instructor and students will interact using the D2L Learning Management System platform. This includes using the D2L Email and Discussion functions. If needed, students may also phone the instructor or use the IMAIL email platform. Students may also interact with one another via email as well as through the D2L Discussion functions.
How will student achievement be evaluated?
Students will have a total of 7 exams worth 50 points a piece for a total of 350 points. The exams will include identification items, multiple choice and True/False questions, and matching. Five Readings quizzes based on the required textbook will each be worth 10 points a piece for a total of 50 points. These will include multiple choice and True/False questions. Students will also have 10 discussion activities to participate in throughout the term related to key concepts and will be worth 10 points a piece for a total of 100 points. Two larger projects will also be assigned that will each be worth 50 points a piece. The Heirloom History Project allows the student to research the style and history of a family member’s or friend’s costume heirloom for its significance and overall story. The Period Department Store Project allows students to conceptualize what a department store would be like and offer during a costume period in which department stores did not exist. A more precise breakdown of course requirements and grading is as follows:
| Component | Points |
|------------------------------------------------|--------|
| Exams (7 @ 50 points each) | 350 |
| Heirloom History Project | 50 |
| Period Department Store Project | 50 |
| Readings Quizzes (5 @ 10 points each) | 50 |
| Discussion Activities (10 @ 10 points each) | 100 |
| **Total Possible Points** | **600**|
A = 537 – 600 (90 – 100%)
B = 477 – 536 (80 – 89%)
C = 417 -- 476 (70 – 79%)
D = 357 – 416 (60 – 69%)
F = 356 and below (59 -- 0%)
How will academic honesty for tests and assignments be addressed?
Exam and quiz questions will be randomly drawn from a larger database of questions. Furthermore, multiple choice answer options will be randomized where appropriate. The instructor will set day and time limits for both exams and quizzes and will not release the exam questions with the correct answers until after the exam and/or quiz has closed for all students.
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Dear Parishioners,
1. The Worst Kind of Pride
In the Gospel Reading, Jesus tells a parable about the Pharisee and the tax collector, in order to teach a lesson about pride. The Pharisee is the bad guy in the story.
In the parable, what the Pharisee says in his prayer is this: “I thank you, God, that I am not like the rest of humanity—greedy, dishonest, adulterous—or even like this tax collector. I fast twice a week, and I pay tithes on my whole income.”
What exactly is wrong with this prayer?
Notice that the parable doesn’t doubt the Pharisee’s truthfulness: he does have real moral excellence. He doesn’t do evil things, and he does do spiritually praiseworthy things, such as fasting and tithing. And notice that the Pharisee doesn’t congratulate himself on this moral excellence in himself. He thanks God for it; he gives God all the credit for it.
So what exactly is wrong with this Pharisee?
Think about it this way. Aquinas says that there are four kinds of pride. (1) There’s the foolish pride. You think you have an excellence which you don’t have, like a child who thinks he’s the best basketball player in the world.
(2) There’s the pride of the self-made man. You think you have an excellence you do have, but you think you got that excellence for yourself, without anybody’s help.
(3) There’s the sneakily self-congratulatory pride. You think you have an excellence you do have, and you recognize that God gave it to you; but you assume God gave it to you because he knew that you would make such good use of it.
(4) And then there’s the most self-deceptive kind. You think you have an excellence you do have, and you recognize that you have it because God gave it, and you acknowledge that God gave it because he is so good, not because you are so nice—but you are glad others don’t have it and you hope they don’t get it.
Now we see what is wrong with the Pharisee, don’t we? He accepts that his excellence is a gift from the Lord. He just doesn’t want anybody else to have what he does. He wants not to share as gift what he received as gift.
And that is the worst kind of pride.
2. Parish Morning Tea
The Parish Pastoral Council invites you to share a coffee/tea outside the Church on the hall side after the 10.00am Mass. Stay awhile and meet parishioners and enjoy Christian community for a few minutes before “rushing off”. All Welcome
3. All Saints Day - November 1st - 9am Mass
The parish celebrates its feast day this Friday at the 9am Mass together with the All Hallows School children.
Come and pray together giving thanks for the many blessings our families receive from our loving God.
Also, we give thanks for the blessing that the All Hallows Community is and the involvement of so many to it.
We thank God for the All Hallows School and the blessings evident through our Principal Mr Wilson, his staff and so many parent helpers involved in the school.
Look forward to a great turn up on Friday at 9am.
4. All Souls Day—Saturday 2nd November
“It is a holy and wholesome thought to pray for the dead that they may be loosed from their sins.” 1 Maccabees
We remember our loved ones next Saturday and as we do throughout November.
If you haven’t handed in the November Mass envelopes please do so this weekend or this week as we are preparing the Remembrance Book.
Masses for All Souls Day
Saturday 2nd November
8am, 9am and 10am
Please note: This day does not fulfil the Sunday obligation of attendance at the Saturday Vigil or Sunday Masses.
5. Catechists’ Luncheon
All Catechists’ are invited to join together for a Christmas Luncheon at Carmen’s in the Tigers Club at Five Dock Park this Thursday starting at noon.
Please let Mary Megna or Mary Coleman know you are coming for them to inform the restaurant.
See you Thursday and a big THANK YOU to our Catechists for all they do in sharing the Good News of Jesus with the children they teach each week.
6. Rumours abound.
Pope Francis at his Morning Mass recently spoke about “gossip.”
He said “those who live judging their neighbour, speaking ill of their neighbour, are hypocrites because they lack the strength and the courage to look to their own short comings.
“Gossip” he cautioned “always has a criminal side to it. There is no such thing as innocent gossip.”
Since my announcement of being transferred to St Anthony’s the tongues are wagging. Let’s just be happy that another priest will be appointed in my place and it will be announced around the middle of November.
“I am not leaving All Hallows because there is too much work here!”
“I am not leaving All Hallows because I was offered more money to go to Austral”
“I Do not talk about money every Sunday”
“I do talk about our attendance at Mass each week, because it is the 3rd Commandment.”
“I do say at funerals that to receive Holy Communion you have to be in the state of grace which is about attending Mass and the worship of God weekly and if we don’t we do have to go to confession before receiving Holy Communion.” It is the requirement for a worthy reception of the Lord in Holy Communion.
I know (as we all know) we are loved by many in the parish and a few are happy to see us go. I think the few are rarely present and as the Pope says “they gossip as an excuse to justify why they do not come to Mass.”
The fact is Cardinal Pell asked me to take on this ministry at St Anthony’s which involves the building of schools and the making of new parishes for the Catholic families who will make their home there. My generation of priest don’t say “no!”
May God Bless You
Fr Bob
St Vincent de Paul members will be in the gathering space at the conclusion of each mass this coming weekend to conduct a collection to donate towards the Bush Fire Appeal. Please give generously.
**CATHOLIC WOMEN’S LEAGUE**
Silver Circle
Congratulations to Week 2 winners
1st No. 16 Fr Bob;
2nd No. 17 Anne McReynolds
Please note there will be no Bingo & morning tea during the month of November and December.
A Farewell Morning Tea for Fr Bob will be held on Sunday 24 November after the 10am Mass in the Parish Hall
All Welcome
**Parish Planned Giving**
Credit Card payments for October were inadvertently processed twice, on the 8th and 16th of the month.
The second payment has been re-credited to the account and will appear on your statement as ‘reverse double payment 16/10’
Apologies for any inconvenience
**WE PRAY FOR THOSE WHO HAVE DIED**
In your love and concern, please pray for:-
**Recently Deceased:**
Eliana Koutsogiannis
**Anniversaries:**
Sophie & Lawrence Godinho, Antonio Parisi, Nunzia & Pino Guarino, Vito Lo Presti, Connie Lo Presti.
**For the following ill members of our community:**
Fr Mial Mc Sweeney, Dianna, Angela Colantonio, Antonia Merlino, Maureen McBride, Brad Schell, Ida Bova, Amelia Casarotto, Mirella Mercuri, Alex La Rossa, Calogera De Nina, Eileen Malcolm, Norma and Bernie Lloyd, Peter Hankinson, Monica Moschella, Madelina Michael, Albert Debbs, Marcello Cheles, Brian Lees.
(Names will remain on list for 1 month unless notified.)
**GET YOUR COPY OF THE CATHOLIC WEEKLY**
- NSW bushfires: Pope prays for victims and fire-
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ONLY $2.00 AVAILABLE FROM THE STAND
**BAPTISMS**
We welcome
Achary Paul Nissirios
Oliver Leo Reneman
Xavier Antonio Stramandinoli
who were baptised into our parish family of All Hallows recently.
May God bless them and their parents
Please do not park at top block after 10.30am as the children use top block for their recess and lunch breaks
Ephesians 4:29-32
Pope Francis: Like Mary, the Church Must Bring Christ to the World
VATICAN CITY, October 23, 2013 (Zenit.org) - Continuing his catechesis on the Church, the Holy Father reflected on the role of Mary as an image and model of faith, charity, and of the union with Christ. An estimated 100,000 people gathered in St. Peter’s Square to listen to Pope Francis’ weekly General Audience on last Wednesday.
The Pope began by speaking on Mary as a model of faith, who upon giving her ‘yes’ to the announcement from the angel Gabriel, her faith receives a new light, concentrated on Jesus.
“Mary’s faith is the fulfillment of Israel’s faith, in Her the entire way, the entire path of that people awaiting redemption is concentrated, and in this sense it is the model of the faith of the Church, which has Christ as center, incarnation of God’s infinite love,” the Holy Father said.
To live this faith, the Holy Father said that Mary lived it out every day in a profound dialogue between her and God that grew all the way to the moment of Jesus Crucifixion and death. Mary meditated upon everything through the light of the Holy Spirit.
Regarding the second aspect of Mary, as a model of charity, the Holy Father reflected on the example of Mary when visiting her cousin, Elizabeth. Mary, he said, not only brought material help, but also brought with her “Jesus, who was already living in her womb.”
“To take Jesus to that home meant to take joy, the fullness of joy. Elizabeth and Zechariah were happy because of the pregnancy that seemed impossible at their age, but it is young Mary who brings them the fullness of joy, that which comes from Jesus and from the Holy Spirit and is expressed in gratuitous charity, in sharing, in helping one another, in understanding each other,” Pope Francis said.
Our Lady, he continued, “also wants to bring to us, to all, the great gift that is Jesus; and with Him she brings his love, his peace, his joy. Thus the Church is like Mary: the Church is not a business, it is not a humanitarian agency, the Church is not an NGO; the Church is sent to bring Christ and his Gospel; it does not bring itself - whether it is small, large, strong, weak, the Church brings Jesus and should be like Mary when She went to visit Elizabeth. What did Mary bring? Jesus. Emphasizing the mission of the Church to bring Jesus, Pope Francis exclaimed that if the Church were to hypothetically not bring Jesus, the Church would be “a dead Church.”
To bring Christ to the world means to bring love. The Holy Father called on the faithful to reflect on what love they bring to others: “Is it the love of Jesus that shares, that forgives, that accompanies, or is it a watered down love, like watered down wine?
The Union of Mary with Christ
Pope Francis, regarding the final aspect of the Blessed Virgin Mary, said that throughout Her life, the Mother of Christ carried out her duties in full union with Him and “reached its climax on Calvary.” Mary, he said, “unites herself to her Son in the martyrdom of the heart and in the offering of life to the Father for the salvation of humanity.”
“Our Lady made her own the pain of her Son and with Him accepted the Father’s will, in that obedience that bears fruit, which gives the true victory over evil and death.”
This act of faith taught by the example of Mary is a calling for each one of us “to be always united to Jesus.”
Concluding his catechesis, Pope Francis asked God that all may be given grace and strength, so that so that in our life and in the life of every ecclesial community is reflected the model of Mary, Mother of the Church.”
FROM OUR FAMILY EDUCATOR
NEXT NIGHT PATROL SANDWICH RUN - Friday 1st November
All Hallows Community Garden - Parish Garden
Dates to remember for your diary for future working bees are:
Saturday 2nd November 2.00pm
Sunday 1st December 9.30am
If you would like to be included on our bi-monthly garden roster please contact:
Lynne Vertannes - 0405 222 153.
Give Blood—Leichhardt Town Hall
Thursday 31 October 1pm—7pm
Call 13 95 96 for more information
ST VINCENT’S PRIVATE HOSPITAL, DARLINGHURST VOLUNTEERS REQUIRED.
Volunteers are required for several departments for 3 hours per week, Monday to Friday. Interested persons please call Slavica on 8382 6449 or email email@example.com for information regarding Volunteering
PILGRIMAGE
Canonisation of Bl. John Paul II and the Holy Land (April 2014)
This 19 day pilgrimage is being organised by Holy Innocents Parish, Croydon, departing 23rd April 2014. For further information or
Kid’s Corner
Q. What do knickers come from?
A. Knickeragua!!
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There are 2 ways to support our parish.
Through the envelope system which supports both parish and school and we give 80% tax deduction or by direct debit. Please contact the parish office for further details.
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A morning of quiet reflection at the Grail Centre, 22 McHatton St, North Sydney, on Tuesday 12 November from 10am to 12 noon. We will be reflecting on the book of Ecclesiastes. Please bring your Bible! There will be time for silent meditation and the opportunity to share thoughts in a group. We ask for a small donation to cover costs. For more information or to register your interest, please contact the Grail Centre (9955 3053) or email@example.com, or Tricia Gemmell (firstname.lastname@example.org).
Invitation to the Annual Concert at St Joseph’s Regional Centre 5 Alexandra Ave, Croydon in aid of Mary MacKillop East Timor Mission Saturday November 16, 2pm to 4pm.
HEALING MASS -
Friday 1st November, 2013
St Therese’s Church,
15 Garrong Rd, Lakemba
Rosary: 7pm, Reconciliation 7-8pm,
Prayer and Praise 7.30pm, Mass 8pm.
The celebrant will be Bishop Terence Millard
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The TREE OF HOPE (ToH) is a CatholicCare service that provides pastoral counselling support for people living with HIV/AIDS, their family and support person. We are grateful to the Archdiocese of Sydney for supporting and funding this service through the CWF. We are based in Lewisham, with outreach at Surry Hills and Liverpool. The ToH is a place of hospitality and welcome, and offers a space for reflection, support and friendship. This service is open to people of any faith or no faith.
Sunday 1 December the world will acknowledge World AIDS Day
WHAT’S ON IN OUR PARISH?
Inner Wheel Club - Balmain Group
1st Tuesday of month 6.30pm - 9pm in Hall
St Vincent de Paul Society
Meetings held each 2nd & 4th Tuesday of the month at 6.30pm in the meeting room connected to the garage.
Catholic Women’s League Five Dock
3rd Monday of month 12.00pm in Parish Hall
Choir Practice
All welcome to choir practice in the Church
7.30 pm every Monday.
Ring Maria on 9713 7310
Italian Choir Group
Tuesday - 12.30 pm in the Church
Italian Prayer Group
Tuesday - 1 pm in Parish Hall
Messa Italiana ogni ultimo martedì del mese
Enquiries: M. Mureddu 9712 2394
Playgroup
9.30am - 11.30am in Parish Hall
(not during school holidays)
Wednesday - Franca 0414 868 259
Family Mass Choir Practice
Wednesday 7.45pm in Church
All welcome!
Italian Prayer Group - Thursday
In Chiesa dopo la Messa delle 9 ogni settimana. Ogni terzo giovedì c’è la Messa Italiana con Padre Bob per tutta la comunità di All Hallows.
Tutti ben venuti!
Enquiries: Lucia 9713 1800
Youth Mass Choir Practice
Tuesday 7.00 pm in Church
All welcome!
Sunday 27th October 2013 - 30th Sunday in Ordinary Time
READINGS: Sirach 35:12-14, 16-19; 2 Tim 4:6-8, 16-18; Lk 18:9-14
| SATURDAY 5.30pm | SUNDAY 8.30am | SUNDAY 10am | SUNDAY 6.00pm Youth Mass |
|-----------------|---------------|-------------|--------------------------|
| M. Zol | H. Chow | M/C Petrucco| Intro & P/F: Michelle S |
| C. O’Grady | G. Favotto | M/N Raymond | Ist: Liam A |
| M. Fitzpatrick | K. Hextell | P. Gambino | Psalm: Daniel C |
| M. Piccolo | M. Mureddu | | 2nd: Melinda S |
READERS
EXTRAORDINARY MINISTERS OF HOLY COMMUNION
K. Smyth
M. Virtu
M. Tomasello
G. Bonaddio
J. Bonaddio
D. Grippi
V. Radice
P. Moschella
E. Chesworth
J. Livolsi
Ma. Chesworth
M. Chesworth
J. Walsh
B. Walsh
D. Scelzi
L. Scezli
A. McMahon
M. Hadjidakis
C. Petrucco
N. Ancona
S. Carbone
S. Roberts
N. Lazzaro
K. Ommundson
L. Parisi
M. Zol
Chris M
M. Di Bella
ALTAR SERVERS
Group 4
Group 2
Group 2
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HOME VISITS: J. Livolsi, P. Moschella, M. Chesworth, D & L Scelzi
NURSING HOMES:
Visit 31 November - Parkview: Giulia & Claudette
Visit 1 December - Russell Lea: Don & Lucia
COUNTERS: Group 7
TRANSPORT: Maria, Muriel, Tony
PIETY STALL: Veronica/Caitlyn, Sue, Laura
ALTAR SOCIETY: Lorraine F, Lorraine C, Enza F, Vickie
CHILDRENS LITURGY: Jason
NEXT WEEK
Sunday 3rd November 2013 - 31st Sunday in Ordinary Time
READINGS: Wis 11:22-12:2; 2 Thess 1:11-2:2; Lk 19:1-10
| SATURDAY 5.30pm | SUNDAY 8.30am | SUNDAY 10am | SUNDAY 6.00pm Youth Mass |
|-----------------|---------------|-------------|--------------------------|
| T. McCabe | L. La Cava | Family Mass | Intro & P/F: Owen M |
| L. Gatto | D. Trulicio | | Ist: Rebecca C |
| D. Tomasello | G. Sutera | | Psalm: James C |
| M. Piccolo | J. Pappalardo | | 2nd: Emily C |
READERS
EXTRAORDINARY MINISTERS OF HOLY COMMUNION
A. Fabro
R. Glover
R. Pozzer
J. Cooper
V. Moschella
M. Zol
A. Polifrone
L. La Cava
Mj Megna
M. Megna
M. Coleman
M. Mureddu
S. Storan
J. Heffernan
A. Leone
L. Moliterno
F. Mercuri
M. Calderarer
A. Calderarer
A. Roberts
A. Incampo
A. Di Bella
A. Den
A. Pavan
C. Polifrone
C. Modini
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A. Zol
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Group 1
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HOME VISITS: L. La Cava, M. Coleman, J. Heffernan, A. Leone
NURSING HOMES:
Visit 7 November - Parkview: no visit
Visit 8 November - Russell Lea: no visit
COUNTERS: Group 8
TRANSPORT: Robyn, Rosy, Tony
PIETY STALL: Mary C, Franca, Mari L
ALTAR SOCIETY: Rosy, Geraldine, Teresa
CHILDRENS LITURGY: Family Mass
|
Coeliac Disease – New Pathophysiological Findings and Their Implications for Therapy
The Harvard community has made this article openly available. Please share how this access benefits you. Your story matters.
| Citation | Stein, Jürgen, and Detlef Schuppan. 2014. “Coeliac Disease – New Pathophysiological Findings and Their Implications for Therapy.” Viszeralmedizin 30 (3): 156–165. doi:10.1159/000365099. http://dx.doi.org/10.1159/000365099. |
|----------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Published Version | doi:10.1159/000365099 |
| Citable link | http://nrs.harvard.edu/urn-3:HUL.InstRepos:21462648 |
| Terms of Use | This article was downloaded from Harvard University’s DASH repository, and is made available under the terms and conditions applicable to Other Posted Material, as set forth at http://nrs.harvard.edu/urn-3:HUL.InstRepos:dash.current.terms-of-use#LAA |
Coeliac Disease – New Pathophysiological Findings and Their Implications for Therapy
Jürgen Stein\textsuperscript{a,b} Detlef Schuppan\textsuperscript{c,d}
\textsuperscript{a} Department of Gastroenterology and Clinical Nutrition, Sachsenhausen Hospital, Teaching Hospital of the Goethe University Frankfurt,
\textsuperscript{b} Interdisciplinary Crohn Colitis Centre Rhein-Main, Frankfurt/M.,
\textsuperscript{c} Institute of Translational Immunology, University Medical Center, Hospital Mainz, Germany
\textsuperscript{d} Division of Gastroenterology, Beth Israel deaconess Medical Center, Harvard Medical School, Boston, MA, USA
Keywords
Coeliac disease · Gluten-sensitive enteropathy · Malabsorption · Zonulin inhibitor · Therapeutic vaccine · Transglutaminase inhibitors
Summary
Coeliac disease (CD) is one of the most common diseases worldwide, resulting from a combination of environmental (gluten) and genetic (human leucocyte antigen (HLA) and non-HLA genes) factors. Depending on the geographical location, the prevalence of CD has been estimated to approximate 0.5–1%. The only treatment currently available for CD is a gluten-free diet (GFD) excluding gluten-containing cereals such as wheat, rye, and barley, and other foodstuffs with natural or added gluten. However, adherence rates and patient acceptance are often poor. Moreover, even in fully adherent patients, the diet may fail to induce clinical or histological improvement. Hence, it is unsurprising that studies show CD patients to be highly interested in non-dietary alternatives. The following review focuses on current pathophysiological concepts of CD, spotlighting those pathways which may serve as new possible, non-dietary therapeutic targets in the treatment of CD.
Schlüsselwörter
Zöliakie · Glutensensitive Enteropathie · Malabsorption · Zonulin-Inhibitor · Therapeutischer Impfstoff · Transglutaminase-Inhibitoren
Zusammenfassung
Die Zöliakie ist weltweit eine der häufigsten Erkrankungen, die aus einer Kombination von Umwelt- (Gluten) und genetischen (humanes Leukozyten-Antigen (HLA) und Nicht-HLA-Gene) Faktoren resultiert. Abhängig von der geographischen Lage, wird die Prävalenz der Zöliakie auf etwa 0.5–1% der Bevölkerung geschätzt. Die einzige Behandlung, die derzeit bei Zöliakie verfügbar ist, besteht in einer glutenfreien Diät (GFD), die glutenhaltige Getreide wie Weizen, Roggen und Gerste sowie andere Lebensmittel mit natürlichem oder zugesetztem Gluten ausschließt. Die Complianceraten und die Akzeptanz durch die Patienten sind jedoch oft schlecht. Weiterhin kann die Diät selbst bei Patienten, die diese vollständig einhalten, möglicherweise nicht zu einer klinischen oder histologischen Verbesserung führen. Daher ist es nicht verwunderlich, dass Studien zeigen, dass Zöliakie-Patienten sehr an nichtdiätetischen Alternativen interessiert sind. Die folgende Übersicht konzentriert sich auf aktuelle pathophysiologische Konzepte der Zöliakie, bei denen jene Signalwege herausgestellt werden, die als mögliche neue, nichtdiätetische therapeutische Ansatzpunkte in der Behandlung der Zöliakie dienen könnten.
Introduction
Coeliac disease (CD) is defined as chronic small intestinal immune-mediated enteropathy elicited by gluten and related prolamines in genetically predisposed individuals [1], and characterised by the presence of a variable combination of gluten-dependent clinical manifestations, CD-specific antibodies, HLA(human leucocyte antigen)-DQ2 or HLA-DQ8 haplotypes; a characteristic histomorphological picture of the proximal small intestinal mucosa (inflammatory infiltrate, crypt hyperplasia, villous atrophy); and remission of clinical and serologic findings on keeping a gluten-free diet (GFD).
CD occurs in genetically susceptible populations in many regions worldwide, with a prevalence of 0.5–1% in Americans and Europeans, as well as in the populations of Australia, North Africa, the Middle East, India, and probably also northern China (depending on the prevalence of HLA-DQ2 and HLA-DQ8). In some populations, including those of Finland and Mexico, and among the Sahrawi children of North Africa, the prevalence lies between 2 and 5% [2].
CD can manifest itself clinically at any age. The disease aetiology is multifactorial, with a strong genetic susceptibility, as documented in studies of twins and in studies demonstrating a strong dependence on HLA-DQ2 and HLA-DQ8 haplotypes [3].
The clinical manifestations of CD can vary considerably, from none at all (asymptomatic CD) to a wide spectrum of intestinal symptoms such as diarrhoea, steatorrhoea and malabsorption (classical CD), and atypical symptoms (e.g. neurologic findings including depression and gluten ataxia; reproductive disease, including abnormalities in menarche and menopause; and oral/cutaneous disease, including dermatitis herpetiformis). Refractory CD (RCD), based on the expression of a clonal TCR-γ chain gene in intraepithelial lymphocytes (IELs) and divided into two types, RCD I and RCD II, is characterised by persistent or recurrent malabsorptive symptoms and signs with villous atrophy (VA) despite adherence to a strict GFD for more than 12 months (for review see [4–6]). While RCD I is associated with a slight increase of mortality, RCD II is a far more serious form of the disease, with a 5-year mortality rate of up to 50% following diagnosis. Patients with RCD II have also been shown to be at the highest risk of enteropathy-associated T cell lymphoma (EATL) [7, 8].
Although it is now some 60 years since Willem Dicke [9], a Dutch paediatrician, demonstrated a ‘wheat factor’ as the causative agent of CD, a lifelong GFD remains to this day the only effective treatment [10]. While daily gluten consumption in the general population has been calculated to be approximately 15–20 g [11], several studies have demonstrated that daily doses of as little as <1 g are sufficient to induce mucosal lesions in CD patients. For CD patients, 10–50 mg gluten per day has been shown to be a safe threshold [12–14].
Although more than 95% of patients with CD have an uncomplicated disease that resolves under a GFD, the adherence rates and patient acceptance vary [15, 16]. Furthermore, even in fully adherent patients, the diet fails to induce clinical or histological improvement in 7–30% of the patients [17–19], and 2–5% of the patients develop RCD [20, 21].
Furthermore, while quality of life (QOL) has been shown to improve after diagnosis and subsequent to GFD introduction, some studies found reduced health-related QOL [22, 23]. CD patients on a GFD may also develop nutritional deficiencies [24, 25].
Unsurprisingly, a recent study demonstrated that a large proportion of patients with CD is dissatisfied with the GFD and therefore seeks therapeutic alternatives to it [26].
Based on an improved understanding of the pathogenic pathways underlying CD, several types of therapeutic approach with the potential to augment or supplant the GFD have been generated. This article aims to review novel non-dietary approaches based on new pathophysiological findings and their implications for therapy.
Pathogenesis of Coeliac Disease
The pathogenesis of CD is multifaceted, involving environmental (gluten, intestinal infections), genetic, and immunological factors (fig. 1).
Environmental Factors – the Role of Dietary Proteins
Proteins in the dietary cereal grains wheat, rye, and barley – collectively termed ‘gluten’ – are known to be the environmental factors which cause disease exacerbation. Strictly speaking, however, gluten is the scientific name only for wheat proteins, while the related proteins in barley and rye capable of activating CD are known as hordeins and secalins, respectively. Whereas wheat, rye, and barley have a common ancestral origin in the grass family, oats, which only rarely (if at all) trigger CD, are more distantly related, thus lacking...
many of the proteins found in wheat. In contrast, the proteins found in rice, maize, sorghum, and millet, which are even more distantly related, do not activate CD.
Gluten contains more than a hundred proteins, present either as monomers or as oligomers and polymers, and linked by interchain disulphide bonds characterised by high content of glutamine and proline (in the form of prolamines), and by low content of charged amino acids. Based on the availability of complete amino acid sequences, gluten can be divided into three broad groups: sulphur-rich (S-rich), sulphur-poor (S-poor), and high-molecular-weight (HMW) prolamines. Traditionally, gluten proteins have been classified according to their solubility in alcohol-water solutions (e.g. 60% ethanol) as soluble gliadins and insoluble glutenins. The alcohol-soluble gliadin fraction consists mainly of monomeric proteins, which either lack cysteine (\(\omega\)-gliadins) or have only intrachain disulphide bonds (\(\alpha\)-type and \(\gamma\)-type gliadins). \(\omega\)-gliadins are characterised by the highest content of glutamine, proline, and phenylalanine, accounting for around 80% of the total composition [27].
The exceptionally high glutamine and proline content in the gliadins and glutenins of wheat, and also in hordeins and secalins, plays a key role in the pathogenesis of CD:
i) Lacking sufficient prolyl endopeptidases in the human intestine, the high proline content renders these proteins relatively resistant to proteolytic digestion, resulting in the accumulation of relatively large toxic peptides (mainly 50 amino acids in length);
ii) Due to their high content of glutamine and hydrophobic amino acid residues, gluten proteins, especially the alcohol-soluble fraction (e.g. gliadins of wheat, secalins of barley, and hordeins of rye), but also the glutenins, are preferred substrates for the ubiquitous cellular enzyme tissue transglutaminase 2 (tTG2). tTG2 can either crosslink certain glutamines in one protein chain with a lysine residue on another chain by forming a covalent isopeptide bond, or merely deamidate this glutamine to an acidic glutamic acid residue, which is of major importance for the pathogenesis of CD.
More than 50 distinct (deamidated) gluten peptides exerting cytotoxic, immunomodulatory, and gut-permeating activities have been described [28]. These activities have been partially mapped to specific domains in \(\alpha\)-gliadin (fig. 2): the cytotoxic peptides 31–43 and 31–49, the immunomodulatory peptide 57–89 (33-mer), the CXCR3-binding, zonulin-releasing (gut-permeating) peptides 111–130 and 151–170, and the interleukin(IL)-8-releasing peptide 261–277. The 33mer peptide from \(\alpha\)-gliadin, which contains 6 partly overlapping HLA-DQ2-binding amino acid sequences and is also regarded as a coeliac ‘superantigen’ [28, 29], has been shown to be resistant to degradation by gastrointestinal peptidases reaching the submucosal immune system in an intact peptide [30].
After reaching the lamina propria, either by epithelial transcytosis or through increased epithelial tight junctional
**Fig. 2.** Novel therapeutic approaches. **a** Therapeutic approaches acting in the lumen of the small intestine, either binding or degrading ingested gluten peptides in the intestine (glutenases, gluten binders, neutralising antibodies). **b** Suggested treatment options that prevent gluten-induced effects in the intestinal mucosa. Blocking the uptake receptor with the octapeptide AT-1001 to decrease intestinal permeability is another option. Furthermore, the deamidation of gluten peptides by tTG2 and subsequent presentation by HLA-DQ2/8 initiates the adaptive immune responses. tTG2 inhibitors and DQ2-blocking peptides seem an attractive possibility to prevent inflammation. **c** Therapeutic options based on prevention of immunological cascades in cells of the lamina propria (especially in patients with RCD), either by lymphocyte blocking (anti-IL-15, anti-CCR9, anti-\(\alpha_4\), -\(\beta_7\)) or by tolerance induction (reprinted by permission from Macmillan Publishers Ltd from [95]).
permeability, gluten peptides are deamidated through the activity of tTG2, and (except the 33mer peptide, which does not need further processing) [31, 32] presented in the lamina propria by dendritic cells to activate CD4+ T cells [3, 33].
In contrast, the cytotoxic α-gliadin peptides p31–49 and p31–49, which are thought not to bind to HLA-DQ2 and -DQ8, have been shown to upregulate IL-15 production in epithelial cells, macrophages, and dendritic cells, thus increasing IEL infiltration and epithelial cell apoptosis via NKG2D2 und MICA receptors, respectively cumulating in cytotoxic damage to the epithelium [29, 33, 34].
**Genetic Factors**
Evidence for genetically-based susceptibility for CD has been gained from epidemiological studies showing that up to 20% of first-degree kin are equally affected by CD, with concordance rates >75% in monozygotic twins [3, 35]. The leucocyte antigen (HLA) class II genes HLA-DQ2 and -DQ8 have been demonstrated to be the strongest genetic susceptibility factors by far: Whereas more than 95% of CD patients carry HLA-DQ2 and -DQ8, these genes are found in only 25–30% of the Caucasian population, of whom only 4% develop CD, indicating that additional factors also play a role. Using genome-wide association study (GWAS), at least 115 genes harbouring non-HLA susceptibility factors associated with CD have been described, of which 28 have been shown to be immune-related [3, 36]. However, these genes do not contribute more than 4–5% to the overall genetic risk, which is dominated by HLA-DQ2 or -DQ8.
**Immunological Factors**
HLA-DQ2 and -DQ8 play a plausible key role in CD due to their unique ability to bind the proline-rich gluten peptides, especially those with a negative charge due to TG2-mediated deamidation, resulting in a more rigorous CD+ Th1 T cell activation. Both HLA-DQ2 and -DQ8, such as the lysine positioned at β71 and at positions P4, P6, and P7 of DQ2, contain positively-charged pockets which promote the binding of negatively-charged glutamic acid residues generated by the autoantigen TG2 (fig. 3) [3, 29].
Gluten-responsive activated T cells produce proinflammatory cytokines, predominantly interferon-γ (IFN-γ). IFN-γ activates macrophages, which in turn secrete tumour necrosis factor α (TNF-α) and proteolytic matrix metalloproteinases (MMPs). Both cytokines trigger the expression of proteolytic MMPs in intestinal myofibroblasts, resulting in matrix proteolysis alteration, which in turn leads to mucosal injury and villous atrophy. In addition, via a phosphatidylinositol-3-kinase-dependent pathway and mediated by thioredoxin (TRX), IFN-γ triggers the activation of tTG2, thereby establishing an autoamplificatory loop for gluten-induced inflammation [37]. In duodenal biopsies of CD patients, neutralisation of IFN-γ has been shown to ameliorate gluten-induced mucosal damage [38].
Chronic exposure of CD patients to dietary gluten is invariably accompanied by the production of autoantibodies against tTG2. Anti-tTG2 antibodies are preferentially localised in the subepithelial layer, where they adhere to extracellular (tTG2 on fibroblasts and on the basement membrane of the small intestine. Anti-tTG2 have been shown to induce enterocyte proliferation and inhibit enterocyte differentiation, and are able to modulate epithelial barrier function, thereby promoting intestinal crypt hyperplasia and villous blunting (reviewed in [37]).
**Non-Dietary Therapies of Coeliac Disease**
As already mentioned, a lifelong GFD is not only burdensome, but difficult to maintain and frequently unsuccessful. Thus, there is a need for effective, inexpensive, and safe alternative treatment options for CD and new approaches in adjunctive therapy. Although, at the present time, it is unrealistic for such novel therapies to counteract effects of gluten at the levels typically contained in the Western diet (15–20 g daily), their initial aim should be to neutralise at least small...
amounts of up to 3 g gluten per day. Since few therapeutic alternatives are currently available to treat RCD, more costly compounds with less favourable side-effect profiles may be acceptable in these patients. In the second part of this paper, we discuss new treatment strategies for the future which have shown potential in early studies in CD, with encouraging results in vivo and in vitro.
Novel non-dietary treatment options can be classified by their targets during different phases in the pathogenesis of CD (e.g. candidates targeting the disease-inducing prolamines, endogenous molecules involved in the pathogenesis) or by their ability to induce tolerance to gluten (fig. 2).
**Targeting Disease-Inducing Gluten and Other Prolamines**
**Preventing Intestinal Gluten (Prolamine) Absorption**
Another strategy to prevent the interaction of immunogenic gluten peptides with submucosal immune cells is the use of HMW polymers to selectively bind gluten, thereby preventing its breakdown and absorption [39].
Poly(hydroxyethylmethacrylate-co-styrene sulfonate (P(HEMA-co-SS))) is a synthetic polymeric compound that sequesters food-derived gluten in the gastrointestinal lumen by forming high-affinity complexes with α-gliadin, thus preventing enzymatic digestion of gluten and other prolamines into smaller, medium-length immunogenic peptides [39, 40].
In a first preclinical study, Pinier et al. [41] assessed the capacity of P(HEMA-co-SS), a copolymer of hydroxethyl methacrylate and styrene sulfonate, to reduce paracellular permeability, and demonstrated its ability to normalise anti-gliadin immunoglobulin A in intestinal washes and reduce gliadin-invoked TNF-α secretion in duodenal biopsies of CD patients.
**Oral Enzyme Therapy**
Because the human digestive tract has an insufficient supply of prolyl endopeptidases (PEPs), the enzymes capable of hydrolysing the immunogenic proline-rich peptides found in gluten and related prolamines, oral PEP therapy may offer another strategy to reduce the amounts of immunogenic gluten peptides reaching the small intestine. This approach is analogous to exogenous lactase supplementation in the treatment of lactose intolerance. Enzymatically active PEPs are expressed in several microbial species, including *Aspergillus niger*, *Sphingomonas capsulata*, *Flavobacterium meningosepticum*, and *Myxococcus* [42].
*A. niger* PEP (AN-PEP) is enzymatically active in a pH ranging from 2 to 8, and is therefore active both in the stomach and in the intestine. It has also been shown to be resistant to gastric pepsin. In vitro, AN-PEP is able to break down gluten and gluten peptides into non-immunogenic fragments within a few minutes [43, 44]. A recent pilot study of 16 subjects demonstrated AN-PEP to be well-tolerated, but no efficacy data have been presented [45].
PEPs derived from *F. meningosepticum* (PEP-FM) have been shown to effectively reduce levels of the immunogenic 33mer in vitro and in vivo in rats. However, subsequent studies revealed that large quantities of the enzyme would be required to detoxify a normal daily gluten intake, and that PEP-FM activity decreased due to its instability in the presence of gastric enzymes [42, 46].
To enhance gluten degradation, combinations of complementary peptides have been introduced [47]. ALV003 is composed of two gluten-specific proteases: a modified recombinant version of a *Hordeum vulgare* (barley) cysteine endopeptase (EP-B2) and a modified recombinant version of a *S. capsulata* prolyl endopeptidase.
In a phase IIb trial involving 41 patients with stable CD, in which individuals were randomised to receive oral ALV003 or placebo daily for 6 weeks at the time of ingestion of 2 g gluten, ALV003 was reported to significantly attenuate gluten-induced intestinal mucosal injury. Importantly, no serious adverse events were reported.
Currently, a growing number of enzyme preparations claiming to aid gluten digestion are becoming commercially available, e.g. compounds containing dipeptidyl peptidase IV (DPPIV) from *Aspergillus oryzae* [48]. However, their effectiveness in CD patients has not been confirmed in clinical trials.
**Decreasing Intestinal Permeability**
Increased intestinal permeability (IP) in active CD has been measured both clinically by non-invasive sugar permeability tests (e.g. urinary lactose/mannitol (LAMA) fractional excretion ratio) [49] and by in vitro tight junction (TJ) analysis [50]. Although it is not yet finally determined whether increased IP is a primary cause or a consequence of CD, an increase of IP via opening epithelial TJs seems to be an important contributor to the influx of gluten peptides into the subepithelial adaptive immune system.
The *Vibrio cholera* zona occludens toxin (ZOT) is known to increase intestinal paracellular permeability by altering different TJ proteins via the 66 kD ZOT receptor (for review see [28]). Based on the observation that the inflamed intestinal epithelium of CD patients releases a paracrine protein (zonulin) [51], which acts similar to ZOT, an octapeptide (AT-1001) corresponding to the amino acid sequence of the receptor-binding motif of human zonulin was developed. By antagonising zonulin receptor activation, AT-1001 thus protects intestinal TJ integrity.
Based on encouraging data from a phase I trial showing
that AT-1001 (larazotide acetate) was not only well tolerated, but also decreased IP, IFN-γ production, and intestinal symptoms following a single gluten challenge in CD patients, phase II placebo-controlled randomised trials were performed. In the study of Leffler et al. [52], 86 patients with CD in diet-controlled remission were randomly assigned to larazotide acetate (0.25, 1, 4, or 8 mg) or placebo three times per day with or without gluten challenge (2.4 g/day) for 14 days. Although the primary efficacy endpoint (decrease of LAMA fractional excretion ratio) was not reached, larazotide acetate improved gluten-induced exacerbation of gastrointestinal symptom severity as measured by the Gastrointestinal Symptom Rating Scale (GSRS) at lower doses, but not at the higher dose [52]. No serious adverse events were observed. In a dose-escalation study (1.4 and 8 mg) in 184 CD patients in remission who were challenged with 0.9 g gluten three times daily over 42 days, Kelly et al. [53] demonstrated that, compared to placebo controls, patients treated with larazotide acetate showed a significantly improved symptom score and a less pronounced anti-tTG response. However, this study also failed to demonstrate significant improvement in IP as measured by the urinary LAMA ratio.
Results from the first multicentre trial conducted in 74 sites in North America, including 342 patients, were presented as a late breaker abstract at the 2014 Digestive Disease Week (DDW) in Chicago, reporting significant symptom reduction under the 0.5 mg dose of larazotide acetate. This study represents the largest therapeutic trial in CD to meet its primary endpoint of reducing signs and symptoms [54].
**Preventing T Cell Activation by Gluten-Derived Peptides**
**Blocking Deamidation of Gluten-Derived Peptides: Transglutaminase Inhibitors**
Although the deamidation of gluten by tTG may not be an absolute prerequisite for the initiation of CD, it does at least play an important role, increasing T cell reactivity by improving peptide affinity to HLA-DQ2 and -DQ8 molecules. Therefore, therapeutic approaches targeting the inhibition of tTG would seem logical.
Several competitive (mainly polyamines, e.g. putrescine, spermidine, or cystamine), reversible (mainly guanosine triphosphate analogues), and irreversible (e.g. iodoacetamide, 3-halo-4,5-dihydroisoxazoles) inhibitors have been developed [55–60], which have been demonstrated *in vitro* to be able to attenuate the toxic effects of gliadin in epithelial cell cultures. A few have also been tested successfully *ex vivo* in duodenal biopsy specimens of CD patients. More recently, a group of high-affinity tTG2 inhibitors (ZED 1098, ZED 1219, and Zedira) has been developed, shown to be stable and soluble in the GI tract and not cytotoxic over a wide dosing range [47].
**Blocking the Binding of Deamidated Gluten Peptides to HLA Proteins: HLA-DQ2 Inhibitors**
Alternatively, blocking the binding of deamidated gluten peptides to CD-specific HLA proteins from interacting with antigen-presenting cells could also be a promising approach. A similar strategy has already been tested in other autoimmune diseases (e.g. type 1 diabetes, rheumatoid arthritis) but results in terms of clinical efficacy have been disappointing, presumably due to inadequate drug delivery. In spite of new technological advancements (e.g. use of a positional scanning nonapeptide library or silico approach) [61–64] allowing the development of ultra-high affinity peptides, in light of specific requirements regarding nontoxicity and non-immunogenicity, this approach still requires a great deal of work before reaching clinical practice.
**Therapy Targeted at Immune Cells**
**Immunosuppression by Topical Steroids**
Budesonide, a topical glucocorticoid with low systemic bioavailability mainly used in inflammatory bowel disease (IBD) affecting the distal part of the intestine, was reported to be effective also in the treatment both of RCD (e.g. non-responsive to GFD) [65, 66] and non-RCD [67]. Presumably, changing the drug formulation to target the proximal intestine should further improve its efficacy for CD.
**Inhibitors of T Cell Homing**
As in other T cell-mediated disease (e.g. IBD), homing of effector/memory T cells to the small intestine (i.e. the intestinal segment affected by CD) is mainly controlled by their expression of the cell surface chemokine receptor CCR9 and the integrin α4β7. Antibodies targeting CCR9 and α4β7 to prevent or limit T cell migration (homing) to the small intestine, thereby limiting local T cell activation, may also reduce intestinal damage and are therefore a potentially promising therapy for (refractory) CD.
Vedolizumab, a humanised anti-α4β7 integrin antibody, has been approved by the Food and Drug Administration (FDA) and European Medicines Agency (EMA) in 2014 as the first anti-adhesion therapy for the treatment of IBD. Phase II trials have shown that etrolizumab, a humanised monoclonal IgG1 antibody targeting β7, is effective for the treatment of ulcerative colitis (reviewed in [68]). Currently, there are no data from CD trials.
Encouraging results for CCX282-B, a specific, orally-administered chemokine receptor CCR9 antagonist, in a clinical phase II trial in patients with Crohn’s disease, have already led to the initiation of phase III clinical trials in CD [69]. Also,
Table 1. Treatments for CD beyond the GFD (status May 2014)
| Underlying pathology | Therapeutic approach | Compound/organism | References |
|----------------------|----------------------|-------------------|------------|
| Immunodominant gluten peptides | wheat variants: less immunogenic ancient wheat species; genetically modified (gluten-depleted) wheat strains with maintained baking properties; gluten detoxification: enzymatic cleavage of gluten fragments; inactivation by polymeric binders | prolyl endopeptidases AN-PEP; oral enzyme supplementation; AVL003P (HEMA-co-SS) | preclinical preclinical preclinical phase II clinical trial phase II clinical trial phase I |
| Impaired mucosal barrier | permeability inhibition; zonulin/ZOT receptor blockade | AT-1001 (larazotide) | phase IIb clinical trial |
| Adaptive immunity | antigen presentation suppression; inhibitors of transglutaminase; blockers of HLA-DQ | ZED1227, Zedira | phase I preclinical |
| Inflammatory response | anti-TNF-alpha; anti-IL-15 | infliximab AMG 714 | preclinical preclinical |
| Lymphocyte recruitment ('homing') | adhesion blockade; anti-α4β7/MAdCAM-1; anti-CCR9/CCL25 | natalizumab Cxcl28-2-B, CCX025 | preclinical phase II concluded |
| Immunomodulation | gluten vaccination; parasite infection | nexvax2 trial Nectaris americanus (hookworm) | phase IIa clinical trial phase II clinical trial |
A phase II clinical study in CD (ClinicalTrials.gov identifier: NCT00540657) has already been completed, although publishing of the results is still pending.
**Inhibitors of Proinflammatory Cytokines**
The central role of IL-15 in the onset and the severity of CD is evidenced by both animal and human data [70–74]. Based on the potent immune-modulating effects of IL-15, blockage of the IL-15 pathway either via the inhibition of IL-15 or by blocking the IL-15 receptor, or inhibition of the downstream JAK3-kinase, may be especially useful approaches for the treatment of RCD. In a phase I/II clinical trial in rheumatoid arthritis (RA), HuMax-IL15, a human monoclonal antibody targeting IL-15 (HuMax-IL15; Genmab, Copenhagen, Denmark) which blocks the epitope of IL-15 binding to the c subunit of the IL-15 receptor, was well tolerated and effected substantial improvements in disease activity [74].
Tofacitinib, an oral inhibitor of the Janus kinases 1,2 and 3 which blocks signalling involving gamma chain-containing cytokines such as IL-15, has recently been demonstrated in phase II trials to be highly effective in the treatment of RA [75] and IBD [76, 77]. These studies suggest that manipulation of the IL-15 pathway might also have therapeutic possibilities in CD, especially for RCD and EATL, in which malignant T cell expansion is driven by IL-15. Although there are as yet no data from clinical studies in CD, recently published results from animal studies [78] would encourage further research of this strategy.
**Targeting IFN-γ and TNF-α**
IFN-γ, produced by submucosal gliadin-sensitive CD4+ T cells, triggers the activation of MMPs and is thus responsible for mucosal injury and villous atrophy. In addition, by increasing intestinal permeability, probably via a Rho-associated kinase-dependent pathway, it promotes the influx of gliadin peptides through the intestinal wall [79–81]. A small study using biopsies from the intestinal mucosa of patients with CD demonstrated that IFN-γ-blocking antibodies were able to prevent mucosal damage induced by proinflammatory cytokines released by gliadin-specific HLA-DQ2-restricted T lymphocyte clones [82]. However, at least in Crohn’s disease, phase II clinical trials using IFN-γ monoclonal antibodies have not shown very promising results [83, 84].
A more promising approach seems to be to target TNF-α, which has been found to be more elevated in RCD [85]. The use of monoclonal antibodies against TNF-α, which has now been the mainstay in the treatment of Crohn’s disease for more than 10 years, has been described in several case reports in the treatment of RCD [86–90].
**CXCR3/CXCL10 Inhibitors**
CXCL10, also referred to as IFN-γ-inducible protein-10 (IP-10), is another chemokine which plays an important role in the integrin activation and migration of activated T cells, monocytes, and natural killer cells. Stimulation of IP-10 by the chemokine receptor 3 (CXCR3) results in the generation and recruitment of proinflammatory cells responsible for inflamation and tissue destruction [91]. Recently, Lammers et al. [92] identified a novel immunomodulatory gliadin peptide that causes IL-8 release in a chemokine receptor CXCR3-dependent manner exclusively in patients with CD, supporting the CXCR3/CXCL10 axis as a future therapeutic target for CD.
In a most recently published phase II trial by Sandborn et al. [76], BMS-936557, a human monoclonal antibody targeting CXCL10, was well tolerated and produced substantial improvements in disease activity in patients with moderately-to-severely active ulcerative colitis. To this day, clinical data from CD patients are lacking.
**Immune Modulation and Induction of Tolerance to Gluten Peptides**
A phase Ib/IIa trial of infection with the nematode *Necator americanus* in patients with CD, aiming to effect a shift from a Th1 to a Th2 milieu, has recently been reported. However, despite promising safety data, the study failed to show obvious improvement in disease activity following gluten challenge [93].
Also currently under investigation is NexVax2, a therapeutic vaccine derived from a mixture of three 15- to 16mer peptides aiming to generate gluten tolerance. A phase I study of NexVax2 in 40 HLA-DQ2+ CD patients, using subcutaneous doses of up to 90 µg vaccine weekly for 3 weeks, showed no clinically relevant adverse events [94]. Based on these promising safety data, further trials to examine long-term efficacy are warranted.
**Conclusion**
Recent progress made in understanding the pathogenesis of CD has opened the doors for a variety of new non-dietary treatments which may be used at least as adjunctive therapy (table 1). To date, however, only a limited number of experimental therapies for CD have been assessed in phase I–II randomised, controlled clinical trials. Larazotide acetate (AT-1001), which is assumed to hinder the paracellular passage of gluten through the epithelial barrier into the lamina propria by inhibiting tight junctions, has been studied in almost 100 patients to date, but an effect on hard end points, such as protection of mucosal integrity, needs to be demonstrated. Though fewer patients were studied, evidence for the efficacy of the endopeptidases contained in ALV003 which break down gluten to less or non-immunogenic peptide fragments is more obvious. Other therapies like TG2 inhibition, preventing immunogenic potentiation of gluten, or vaccination to induce tolerance to ingested gluten are less advanced but have potential for high efficacy. It should be kept in mind that most therapies discussed do not have the potential to allow the ingestion of gluten at normal daily levels of >15 g, but offer only an adjunctive therapy, eliminating the detrimental effects of small amounts of up to a few grams of gluten in CD patients. However, in light of the relative ease at which the obvious sources of gluten can be avoided in contrast to the many nutritional sources of hidden gluten, even a ‘neutralization’ of a minor amount of gluten would take most of the dietary burden from patients with CD.
**Disclosure Statement**
JS: No conflict of interest to declare. DS: Royalties from Eurospital, Trieste, Italy.
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In the spring of the year 1498, Moro, the Duke of Sforza, held a gathering of scholars in the large hall of the Sforza Palace in Milan. The affair was called "The Duel of Learning."
There were arguments among the learned men concerning the immaculate conception of the Virgin Mary and then an intense medical discussion on the questions:
1. Are handsome women more prolific than homely ones?
2. Was the healing of Tobit with fish-gall natural?
3. Is a woman an imperfect creation of nature?
4. In which inner part did the water originate which flowed out of the Lord's wound when he had been pierced by a spear?
5. Is woman more voluptuous than man?
The dispute on all the questions was heated, for these were matters which learned men of the time found of great importance both to their contemplation and to their professional advancement within the society of their peers.
At some point in the course of the debate the Countess Cecelia of the House of Sforza persuaded the Duke to challenge his guest to enter the debate of the scholars. His guest was Leonardo da Vinci.
Leonardo was extremely hesitant. He felt most uncomfortable speaking in front of large groups. In fact, he had an absolute fear of such a challenge. Nevertheless, the Duke and his Lady insisted that he speak.
He was totally unknown to the scholars assembled. He was not a member of any faculty, nor had he written learned documents on the burning issues of the day. He was known only as an artist who was working on a painting called "The Last Supper." For this reason, most people were pleased at the idea that he would speak, since it was well accepted that artists were comical.
He told them about petrified marine animals and the imprints of seaweed and corals which he had found in caves and on mountains a great distance from the sea. He stated that this was a demonstration of how, over the long period of its history, the face of the earth had changed. He stated that where there are now dry lands and mountains there had once been the bottom of the ocean. He suggested that eventually even the Nile River would fall into the Atlantic beyond the Straits of Gibraltar.
He is quoted as having said: "I am positive that the study of petrified animals and plants, which has hitherto been despised by men of science, will give a beginning of a new science of the earth, of her past and her future."
The scholars around him were baffled. How were they to act? Should they say praiseworthy things because
the Duke had asked him to speak, or should they laugh because what he had said was so patently absurd, and obviously intended as a joke? It was finally decided that laughter was the proper behavior, but after the audience had quieted, one of the more noteworthy scholars pointed out that all of this was simply the result of the flood as it had been written.
Leonardo replied by noting that the level of the flood according to the Scripture was ten cubits higher than the highest mountains. Therefore shells swirled by the waves would have fallen on the tops of mountains but not on the sides, nor the bottoms, nor inside of caverns. Furthermore, they should have fallen in wild disorder and not in carefully placed layers. Furthermore, how could they be imbedded in the rocks by a flood which lasted only a number of weeks?
An astrologer had the answer to all of this, saying that the sea animals and all the other things found by Leonardo had been created by the magical action of stars.
Leonardo asked if all mysteries were simply explained as a magical action of stars, how could science advance? Before too long, one of the more learned scholastics caught Leonardo on a question of theology. As he put it: "Can it be that all our knowledge of the soul, of God, of life beyond the grave, all of which knowledge is not susceptible of experimentation is, according to what you say, sir, not open to proof, as you yourself were pleased to express it? Are you saying, sir, that even though such knowledge is confirmed by the unfailing testimony of the Holy Scriptures that it is still not proven?"
Leonardo attempted to beat a hasty retreat from the trap of heresy that had been opened in front of him, and was fortunately saved from any further difficulties by a loud shouting match among the assembled scholars.
This was Leonardo da Vinci's first and last attendance at a symposium of learned men. For all of his understanding, and for all of his ability, he was nevertheless a somewhat simple man in dealings with the rest of humanity. He was disappointed, baffled, and perhaps even disgusted by the ridicule he had been subjected to. From that point on, and through the rest of his career, his scientific theories remained in his notebooks, written backward with his left hand and in fact quite often in a special code—not a terribly complex code, but at least difficult enough to frustrate anyone who might glance at his notebook.
But if Leonardo was subjected to the ridicule of the philosophers in this particular symposium, the general flavor of his life was quite different. He was both honored and sought after. In fact, for a couple of years, Pope Leo X was his patron.
As is well known, the situation was quite different a century later, in the case of his countryman Galileo Galilei. For Galileo was indeed served with an injunction, haled before the Holy Office, and sentenced to prison for what amounted to the remainder of his life. Even though he was allowed to serve his sentence in his own house on a small farm that he owned, we should not believe that this sentence was purely symbolic. The house was indeed small, and (for those days) a long distance from any center of civilization. During one of the more painful illnesses of his old age, his friends begged the Pope for permission to take him to Florence for medical treatment—but that permission was flatly refused.
Although many of us are familiar, at least in general terms, with the unhappy history of Galileo, there may be only a few who have looked into the real details of the matter. Many of us are inclined to view Galileo's trouble as a conflict between religious dogma and scientific freedom. With this belief firmly in our minds, we feel justified in considering ourselves far beyond such sordid mistakes. But was this really the conflict, and are we indeed so far beyond the mistakes we ascribe to the Inquisition of 1633?
Galileo was not charged with, nor sentenced for, heresy. The charge was rather that he failed to obey an injunction which had been laid upon him 17 years earlier—an injunction concerning his support of the theories of Copernicus that the sun is the center of the solar system, and the earth moves around it. But a careful study of the records indicates that this injunction was a fake. It had apparently been forged into the church records, and with the deliberate intent of laying a trap years ahead of time which might at some future date be useful in bringing the great man to heel. In other words, Galileo was framed. But by whom and for what purpose?
The story began years before. Some of the early writing and letters of Galileo had caused considerable anguish and embarrassment to a learned society of Dominicans, a group who considered themselves to be the center of philosophy in Italy.
At this same period of time an ancient antagonism was brewing again between the Jesuits and the Dominicans. The Jesuits' traditional role was running the educational system, and they were just as upset with Galileo as the Dominicans were. Galileo's published works were usually written in Italian, rather than the scholarly Latin. This meant that anybody could read them. And indeed, many noblemen and their offspring were reading them, and were asking their Jesuit teachers some embarrassing questions about natural philosophy. The Dominicans and Jesuits were frequent, and sometimes bitter, rivals for Vatican favor, but they found a common enemy in Galileo.
Actually, Galileo had many friends in the highest echelons of both Jesuits and Dominicans. (You can almost hear
him saying at the time he was summoned before the Inquisition, “Why, some of my best friends are cardinals!” —and it was true.) But to have close acquaintances and supporters among individual, even leading, members of a group doesn’t necessarily mean that you are on good terms with the bureaucracy. Yet the fact that Galileo had such powerful friends forestalled any direct attack. The rule, then as now, was—“Don’t make waves!”
The crisis finally arose in 1614 when a Dominican monk of small wit, but great ambition, decided to make a name for himself by attacking Galileo from the pulpit, something that had not yet been done. He announced that mathematics was of the devil; mathematicians should be banished from Christian states; and these ideas about a moving earth were very close to heresy.
In the workings of the church, in the early 17th century, individuals, whether clerical or laity, could write letters and publish papers about almost anything they pleased,
We must recognize that bureaucracies have not changed much since the time of Galileo
even the theories of Copernicus, so long as they were very careful to word them in such a way that obvious heresy was avoided. But when a monk preached a sermon with references to heresy, and thus “stirred up the multitudes,” the bureaucracy of the Vatican became concerned.
The Jesuits capitalized on the situation and persuaded the Vatican that embarrassment was a distinct possibility. Point one, it had been triggered by a Dominican; but, point two, Galileo was the basic problem.
Although the theories of Copernicus did indeed seem to be against official church doctrine, the highest authorities had studiously avoided making any official pronouncement on the subject. They wanted to keep their options open. Suppose further study should tend to show that Copernicus was right? The best move was to take no stand at all, but now the hand was forced.
The action was an official examination of the theories of Copernicus by a group of scholars and philosophers called “qualifiers.” The result of the examination was that the Copernican theory on the solar system was held to be absurd, false, against theology, and in part heretical. No one was to hold or to teach this theory. Galileo was notified of that decision and agreed that he would not “hold or teach” that the sun stands still and the earth moves. He then tried out, very delicately and very carefully, writing and teaching about the theory in a discursive manner, being careful never to claim it as absolute truth.
This approach was quite acceptable to all concerned. The Vatican authorities heaved sighs of relief. The Pope encouraged him to publish. It seemed that a serious flap had been avoided. No individual was actually indicted for heresy and no one, including Galileo, complained about the formal restriction on the wording of scientific papers. Yet the Jesuit and Dominican monks remained frustrated. The enemy still lived and prospered.
Now we come to the plot. After Galileo had been told of the judgment concerning the theories of Copernicus, a curious note was entered into the official files of the Holy Office. It is curious in many ways. It was on the back of a sheet of paper where few notes were put, and certainly nothing with great official value. It was unsigned. The date when it was entered is not stated. It appears to be a minute of a meeting. It states that Galileo was enjoined as follows (and in those days the word enjoined had a specific and somewhat frightening legal meaning): “... nor further to hold, teach or defend it in any way whatsoever, verbally or in writing.”
The crucial phrase in this document is “... or defend it in any way whatsoever, verbally or in writing.”
This was the injunction on which Galileo was tried and convicted. Throughout his trial and in the years after his sentencing, Galileo claimed it was this specific injunction that had never been laid upon him. And apparently he was right.
Galileo threatened the status quo of education, and the self-respect of the philosophical hierarchy. They wanted him out of their hair. It took many years and seemingly forged documents to get him, but they finally did. It had to be carefully done. If they made too much trouble too soon, the blow could easily have fallen upon them.
Perhaps it is an interesting comment on the personality of Galileo that he steadfastly believed that the matter really did concern the theories of the solar system. He repeatedly tried to have somebody in authority actually read his Dialogues. The book had already received the official seal of approval from the Vatican censors, but higher authorities found it either too difficult or, perhaps, too boring.
I have dwelt a long time on the story of Galileo because I believe it has some special meaning for us. I believe we must recognize that times and bureaucracies have really not changed so much, whether the bureaucracies are governmental, religious, educational, or scientific.
continued on page 28
Still today, when an individual disturbs the establishment, or deviates too loudly and too effectively from the accepted wisdom of a large and bureaucratically organized group, we find ways to silence him—sometimes by ridicule (although this has often proved a very weak weapon, and one which frequently turns against its user), sometimes by repression, and, if all else seems to fail, by legal action.
We're all familiar with the famous 1925 Scopes trial in Tennessee. The theories of Charles Darwin had been ridiculed for 60 years, but they still lived and were apparently growing steadily more healthy. Although certain religious forces attempted to repress them, religion, at least in the United States, was too weak to make the repression effective. So it was left to the law. And even here, only a very few states could be persuaded to make the teaching of evolution illegal. Nevertheless, it was done, and the result was that curious carnival in Dayton, Tennessee. As you may recall, the law won, just as it did in the case of Galileo. Mr. Scopes was found guilty. But it was, as we know, a futile victory. He was fined $100, and of course he lost his job. Not too bad compared to Galileo.
It might be interesting to review the 1954 security hearing of Dr. Robert Oppenheimer. Unfortunately, it is not likely that we have all of the important documents available to us. We do have enough to feel that this whole business was not quite right. There is a distinct impression that Dr. Oppenheimer was being tossed out of the official halls not because he was an actual security risk, but rather because his political opinions, particularly as they applied to matters of national defense, were a troublesome embarrassment for the establishment. But it is very difficult to know whether in any sense Oppenheimer was framed as Galileo had been. Such records as are available seem to indicate that the government had a pretty good case. Of course, they had the same pretty good case several years before they used it. So here again, the suspicion exists that Oppenheimer's questionable security status, if any, was more a matter of legal convenience than an actual threat to national security.
Perhaps you remember the curious case of Immanuel Velikovsky and his book, *Worlds in Collision*. Velikovsky was subjected to scientific ridicule for his opinions, and perhaps he deserved the ridicule. But did he deserve the repression that the organized scientific community attempted to place upon him?
This situation is well documented. Harlow Shapley, the director of one of the nation's foremost astronomical observatories, informed his favorite publisher that if the company dared
**When an individual disturbs the establishment, we find ways to silence him**
to publish the work of Velikovsky, Shapley would never submit another manuscript to it. The publisher, Macmillan, had the book reviewed by independent critics, and following a favorable reply, printed it. But only a few months later, the pressure of many scientists, previous and potential authors and customers, forced Macmillan to ask Velikovsky for permission to transfer rights to Doubleday—even though the book was on the best-seller list.
One of the astronomers who denounced the work as "nothing but lies" in a letter to Macmillan concluded by saying he had not and never would read the book.
I should add to this story that early in 1974 a debate was arranged by the American Association for the Advancement of Science, meeting in San Francisco. Velikovsky met his critics on stage in front of an open audience. It would appear that nobody's mind was changed. The devotees of Velikovsky remained devoted, and the critics remained critical. But the criticism was honest and scientific, and Velikovsky's replies were scholarly. There was no attempt at repression—and obviously no need for it.
One last example, and in this case I will ask you to consider your own reaction. I'll quote a few excerpts from a 1973 column in the *New York Times* by Associate Editor Tom Wicker. The question that Wicker wishes to pose about an individual and his theory (which the writer calls "repugnant") is given by this paragraph:
"His particular case not only raises the usual First Amendment question about offensive ideas, but a corollary: to what extent is a free society obligated to create opportunities for expression of such ideas?"
And further: "But do universities and publications have an obligation to extend him a respectable forum for his . . . theories?"
One of the objections this columnist raises against the individual is that even though he is a reputable scientist in one field, he is now talking about another, and as the writer states: "It can reasonably be argued that—on this subject, rather than in his field of expertise—he is not professionally entitled to serious attention or academic credit."
It is interesting that one of the charges raised against Galileo in the long process of bringing him before the Inquisition was that he was discussing matters of theology and natural philosophy, whereas he should stick to his own field; namely, mathematics. Centuries later, Oppenheimer was accused of using his scientific stature to make pronouncements in politics, where obviously he had no competence, and Freud was accused of dipping his hands too far into matters of morality instead of sticking to his own field.
Whatever attempts were made to repress Freud's theories, they were obviously not successful. Even the "repugnant" theory of infant sexuality has seen the light of day. Is that particular theory right or wrong? Who knows? The issue is still in doubt. Even the expert psychoanalyst has difficulty gathering data from the unconscious mind of a human being.
Was this repugnant theory important? Apparently yes. It was the basis of the
Freudian heresy, and the basis for making us take a new look at the whole problem of mental disorder. We now recognize that mental illness is to some degree treatable, and the degree is improving year by year. We are moving away from the old tradition of locking the victims of mental illness into insane asylums and trying to forget they exist. Of course we have only come a short distance along this road, but would we have progressed even this far had Freud been successfully repressed?
To relieve the mystery about my modern example, I will quote from its first paragraph: "Dr. William Shockley is a noted physicist of dubious qualifications for his views on genetics."
I use the example of Professor Shockley with obvious intent. In a number of discussions with my friends and colleagues, I have found that the majority find the genetic theories of Dr. Shockley as personally abhorrent as does the editorial writer whom I have quoted. One of my friends, an eminent medical researcher and a man of liberal view, responded, "Oh I know about his stuff. He's just a racist!" Well, maybe he is. And of course "racist" is a highly pejorative word these days. But even if we question his motives, does that disprove his concepts?
Right now Dr. Shockley seems to be going through the ridicule phase. He is being shouted down at public lectures, insulted by newspaper writers, and occasionally a university cancels his lectures. But as we have seen in past cases, this seldom works. Will the next step be repression? What form will it take? Will the scientific and educational establishments that you and I represent take part in it? And if that fails, will the law be used next? The philosophy behind our current laws on this matter is clear: There are no racial differences in mental capability. Differences in capability appearing between the races are due to environmental factors only. This is the official position of the federal government—Administration, Congress, and the Courts. It is just as official as the position of the Holy Office in 1633 that the earth stands still and the sun moves around it.
In fact, the situation now may be even more rigid. The dogma of the church regarding the solar system in the 17th century was really not a central issue in the structure of the bureaucracy. However, the dogma of racial equality is of enormous importance in our present governmental structure.
Judging from experience, that famous expensive teacher, we might conclude that, if Dr. Shockley persists with his "repugnant" theories, there is at least a slight possibility that he may be subjected to some sort of legal action. Of course, if experience is as good a teacher as it is expensive, such action will not be against the theories themselves, but on some other charge.
But it is likely that even the law would not succeed in silencing Shockley. He might have difficulty getting his papers published, although in principle any member of the National Academy of Sciences has the right to publish anything he pleases in the Proceedings. It is rather curious that this traditional right has fairly recently come into question in a manner many consider to be unprecedented. In 1973 a Nobel Laureate chemist, Linus Pauling, had difficulty with the Academy's editorial board over one of his papers on megavitamin therapy. It was, in fact, rejected, and subsequently published in another journal.
I do not intend to place Oppenheimer, Pauling, Shockley, or Velikovsky on the same level as Galileo—although perhaps Freud belongs there and history may have more to say about the others. The comparison I intend is rather between the educated society of the 20th century—ourselves—and the educated society of the 17th. I cannot avoid the impression that we have not improved as much as we would like to believe.
Some of my scholarly friends have argued that Shockley's ideas ought to be repressed. They cause more social mischief than they are worth. And after all, at the present time, there are insufficient data to prove them right or wrong.
This argument has a familiar ring. It has been sounding through the halls of science for almost four centuries—and through the temples of philosophy and religion for considerably longer—"Don't make waves!" Surely by now we have learned that inquisition, repression, and ridicule are not the shields and bulwarks of society, but quite the opposite. They are damaging to progress, damaging to education, and, in fact, damaging to all mankind.
Did the astronomical community really have anything to fear from the publications of Velikovsky? What a ridiculous notion! Are we to fear that the racial theories of Dr. Shockley will take over society? There is no need for it. He has all the critics he needs.
Columnist Wicker raised the question: "Do universities and publications have an obligation to extend Shockley a respectable forum for his theories?"
I believe that question is slanted the wrong way. It implies some sort of obligation to Shockley. But the obligation is to ourselves. The central question is: Does the scholarly community have an obligation to extend a respectable forum for the open discussion of repugnant theories? To that question, the answer is clearly, "Yes!"
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Employment Effect of Innovation
D’ARTIS KANCS
European Commission
DG Joint Research Centre
41092 Seville, Spain
d’firstname.lastname@example.org
BORISS SILIVERSTOVS
KOF Swiss Economic Institute
ETH Zurich
8092 Zurich, Switzerland
email@example.com
July 28, 2015
Abstract
The present paper estimates and decomposes the employment effect of innovation by R&D intensity levels. Our micro-econometric analysis is based on a large international panel data set from the EU Industrial R&D Investment Scoreboard. Employing flexible semi-parametric methods – the generalised propensity score – allows us to recover the full functional relationship between R&D investment and firm employment, and to address important econometric issues, which is not possible in the standard estimation approach used in the previous literature. Our results suggest that modest innovators do not create and may even destruct jobs by raising their R&D expenditures. Most of the jobs in the economy are created by innovation followers: increasing innovation by 1% may increase employment up to 0.7%. The job creation effect of innovation reaches its peak when R&D intensity is around 100% of the total capital expenditure, after which the positive employment effect declines and becomes statistically insignificant. Innovation leaders do not create jobs by further increasing their R&D expenditures, which are already very high.
Keywords: Innovation, R&D investment, causal inference, semi-parametric, employment, job creation, GPS.
JEL code: C14, C21, F23, J20, J23, O30, O32, O33.
§The authors acknowledge helpful comments from Francesco Bogliacino and Daria Ciriaci as well as participants of the conference Counterfactual Methods for Policy Impact Evaluation (COMPIE) in Rome. We are grateful to Alexander Tübke for granting access to the EU Industrial R&D Investment Scoreboard data. The authors are solely responsible for the content of the paper. The views expressed are purely those of the authors and may not under any circumstances be regarded as stating an official position of the European Commission. Computations were performed in Ox 6.30 and PcGive 13.0 (Doornik, 2007; Doornik and Hendry, 2009).
1 Introduction
In setting the Europe 2020 Strategy, the European Union (EU) has defined five ambitious objectives – on employment, innovation, education, social inclusion and climate/energy – to be reached by 2020 (European Commission, 2013, 2015). In particular, concerning the first two key targets the Strategy is aimed at: (i) increasing employment by raising the employment rate of population to at least 75%; and (ii) promoting innovation by increasing research and innovation expenditures to at least 3% of GDP. For example, only from the EU Cohesion Policy 41.0 billions are allocated to research and innovation, and 71.7 billions to labour markets between 2014 and 2020. In light of the high policy priority, the objective of the present study is to assess to what extent and under which circumstances both innovation and employment can be increased simultaneously.
At the first glance, simultaneous boosting of both employment and innovation activity by increasing public investment may seem an easy and most natural task to achieve as, at least in the short-run, public investment expenditures tend to create jobs. However, the econometric results reported in the literature on employment effects of innovation are rather contradictory both with respect to its sign and magnitude, suggesting that increasing innovation intensity can have not only complementary, but also substitutionary effects on firm employment (Young, 1993; Piva and Vivarelli, 2005; Antonucci and Pianta, 2002; Van Reenen, 1997). More generally, the previous results imply that the relationship between innovation and employment may be far more complicated than one can naively assume initially.
The complexity arises due to both conceptual issues and empirical evidence. Conceptually, the challenges in understanding the relationship between the variables of interest arise, for example, due to the coexistence of many different transmission mechanisms and general equilibrium feedback loops, as the employment effect of innovation depends, among others, on the nature of innovation (product or process innovation); the purpose of innovation (to save labour or capital, neutral, or biased towards skills) and other factors (Pianta, 2004; Kancs and Ciaian, 2011). Empirically, the employment effect of innovation depends on the firm’s sector of activity; formal and informal institutions; the time frame of the analysis; specifics of the existing production technology; the dimension of innovation (radical or incremental); consumer preferences; the fierceness of competition in intermediate input and labour markets; and the structure of workforce skills (Bogliacino and Vivarelli, 2012; Bogliacino et al., 2012; Vivarelli, 2007; Lachenmaier and Rottmann, 2007).
The diversity in the channels of adjustment and reverse causality of interdependencies between innovation and employment suggest a non-linear functional relationship between these two variables. Hence, an accurate estimation of the functional form depends crucially on the ability to account for non-linearities in the innovation-employment nexus. In order to allow for differentiated impact of
innovation on employment while accounting for differences among firms at different R&D intensity levels, an estimation approach is required which does not average across all firms, but instead allows for differentiated employment effect at different R&D intensity levels. Due to complexities in the challenges to the estimation approach, there are no studies available in the literature, that would attempt to identify the non-linearities in the R&D and firm employment relationship in such a continuous non-linear setting.
In the present study we estimate the full functional relationship between firm’s innovation and employment growth by relying on flexible semi-parametric methods – the generalised propensity score (GPS) method – suggested by Hirano and Imbens (2004). The following two main features of the GPS methodology make it particularly attractive for our purpose: (i) the estimation is based on a flexible semi-parametric regression allowing for a non-linear dependence between the variables of interest without imposing any a priori restrictions; and (ii) the elimination of the selection bias arising from a non-random assignment of treatment (R&D expenditure) intensity across firms by conditioning on the observed firm characteristics. In applying the GPS methodology we are interested in identifying the R&D intensity levels under which innovation can be complementary with respect to firm employment and under which it may have an adverse impact on employment.
The assessment of the employment effect of innovation for different R&D intensity levels is our main contribution to the literature and policy debate – these insights can help to design policies, which contribute to achieving both the innovation and employment targets of the Europe 2020 Strategy simultaneously. To the best of our knowledge, the application of the GPS methodology to the employment – innovation nexus is the first of this sort in the literature.
We base our empirical micro-econometric analysis on a large international firm-level panel dataset, and our proxy for technology is a measurable and continuous variable, while most of the previous studies have relied on either indirect proxies of technological change or dummy variables (such as the occurrence of product and process innovation). In particular, we employ the EU Industrial R&D Investment Scoreboard data set, which comprises data on R&D investment, as well as other financial and economic variables for the top 1173 R&D global performers, 483 of which are active in high-tech sectors, which we analyse in detail, as high-tech companies create the most jobs both in absolute and relative terms.\footnote{As shown in Table 1, all top 20 global innovation leaders are active in either in high-tech and/or medium high-tech sectors.} In addition to firm-level innovation expenditures, we make use also of economic and financial variables, which allow us to control for important firm-specific effects. Moreover, the R&D Scoreboard also identifies the industrial sector (of the parent subsidiary) as well as the geographical region of R&D investment (according to the location of firm’s headquarter), which allows us to control for fixed sector-specific and location-specific effects.
Our results confirm previous findings that innovation can both create and destruct jobs (which, as we show, depends strongly on the innovation intensity). Second, the relationship between innovation and job creation is highly non-linear. At low innovation intensity levels (the share of R&D investment in the total capital expenditure between zero and 35-40%) an additional investment into R&D may even destruct jobs. At medium to medium-high innovation intensity levels (R&D intensity around 100%) the innovation impact on employment is positive and statistically significantly different from zero. The employment elasticity with respect to innovation is 0.7%, which implies that increasing innovation by 1% raises employment by 0.7%. The job creation effect of innovation reaches its peak when the R&D intensity is around 100% of the total capital expenditure, after which the positive employment effect declines and becomes statistically indifferent from zero. At high and very high innovation intensity levels (the share of R&D investment in the total capital expenditure above 150%) the innovation impact on employment becomes negative again, implying that, on average, additional R&D investment in innovation leaders destructs jobs. These results of decomposing the employment effect by innovation intensity are new and have not been reported in the literature before.
Our results have important messages for policy makers. First, our findings confirm the important role that innovation followers can play in creating jobs and in ensuring the sustainability of high employment in the medium- to long-run. In light of the results of Crepon et al. (1998),\(^2\) two alternative policy strategies can be identified how policy makers can target this objective: policy instruments aiming at the growth of innovation followers creating jobs, and policy instruments aiming at increasing the number of innovation followers, as they both undertake innovative activities and create employment in the EU. Second, our results point to potential complementarities between the two Europe 2020 policy targets aiming to increase the R&D/GDP ratio and the employment rate, particularly by supporting innovation followers. Indeed, the empirical evidence, which we provide in this study, supports the view that R&D expenditures can be beneficial to job creation capacity. These findings imply that both the innovation and employment targets of the Europe 2020 Strategy can be reached simultaneously, by designing tailored policies for innovation followers as they create most of the employment in the economy. On the other hand, our results suggest that innovation leaders and modest innovators tend to destruct jobs through additional investment into R&D, implying that these companies should not by targeted by the policy to achieve both the innovation and employment targets of the Europe 2020 Strategy. According to Kancs and Siliverstovs (2012), innovation leaders are key for achieving the innovation the innovation target of the Europe 2020 Strategy by boosting firm productivity and competitiveness. In summary, the findings of the present
\(^2\)The model of Crepon et al. (1998) distinguishes between four stages of innovation process: the decision to innovate, the decision on how much to spend on innovation activities, the relation between expenditure on innovation and innovation output, and the relation between innovation output and performance.
study and Kancs and Siliverstovs (2012) suggest that innovation leaders should be targeted, if policy objective is to boost productivity and competitiveness, whereas innovation followers should be targeted, if policy objective is to achieve both the innovation and employment targets of the Europe 2020 Strategy.
The rest of the paper proceeds as follows. The next section provides a brief review of relevant literature. The econometric methodology is outlined in Section 3. Data used in our study are described in Section 4. In Section 5 the estimation results are reported, our results are compared with those of previous studies, as well as the robustness checks’ results with respect to changing the information set are reported. The final section summarises our findings and draws policy conclusions.
2 Previous literature
The question of whether technological change creates or destroys jobs has been posed since the beginning of the classical economics of Karl Marx:
“Suppose that the making of the new machinery affords employment to a greater number of mechanics, can that be called compensation to the carpet makers, thrown on the streets?” (Marx, 1867: 479).\(^3\)
Despite the high policy relevance of the issue, the existing evidence available in the literature does not allow for connecting all the dots in the innovation-employment relationship and often is even contradictory. Heterogeneous results, reported in the literature reflect, among others, the existence of complex adjustment and interdependency mechanisms at play. On the one hand, labour-biased technological change and labour-saving innovation can result in *technological unemployment*. For example, if there is a potential for creating a more efficient workforce by replacing workers through the acquisition of capital goods, innovation may result in technological unemployment. On the other hand, different market *compensation mechanisms*, which are triggered by technological change, can compensate for the initial labour-saving impact (Bogliacino *et al.*, 2012; Lucchese and Pianta, 2012). As noted by Bogliacino and Vivarelli (2012), innovation may reduce unit costs of production, which in a competitive market would translate into lower output prices. Lower prices, in turn, would stimulate additional demand for products, additional production and hence higher employment (*price effect*). Given that the price effect is not instantaneous, in the period between the decrease in production costs and the subsequent fall in prices, excess profits and excess income may be accumulated by the innovative firms and their employees. Whereas excess profits may be directly invested, creating in such a way new jobs, excess income may result into higher demand for goods,
\(^3\)Das Kapital (1867), Volume I, Chapter 15, Section 6.
and hence a higher employment (income effect) (Freeman et al., 1982; Freeman and Soete, 1987; Katsoulacos, 1986).
The compensation and displacement mechanisms (price effect and income effect) outlined above may create or destruct jobs, depending on the nature of innovation. Indeed, empirical studies confirm that the nature of innovation is an important determinant of the overall employment effect of innovation (Pianta, 2004). Product innovation induces two countervailing effects: a direct and an indirect effect. Whereas the direct effect of product innovation leads to higher turnover and hence may increase employment, the indirect effect may reduce employment, for example, if product innovation creates monopoly power or displaces older, more labour intensive products. Similarly, process innovation triggers the same two countervailing effects: a direct and an indirect effect. Process innovation will likely have a negative direct effect on employment, as improved production processes reduce the need for labour. The indirect effect of process innovation may lead to an increase in employment, for example, if lower production costs are passed through to consumers, which, in turn, increase the demand for the product (Pianta, 2004).\footnote{The impact of organisational and management innovation on firm employment is less clear-cut.}
Empirical studies have found that the sectoral dimension of innovation is a particularly important determinant of the overall employment effect of innovation. On the one hand, the above discussed compensation mechanism in form of new products or new services may accelerate the secular shift from manufacturing to services (Vivarelli, 1995, 2013). On the other hand, new technologies in manufacturing seem to be characterised mainly by labour-saving embodied technological change, which are only partially compensated by the market mechanisms discussed above (Vivarelli, 2014). Inter-sectoral differences in the employment-innovation relationship have been confirmed also in other studies, e.g. Bogliacino et al. (2012).
The contradicting evidence coming from different studies suggesting that technological development can both create jobs as well as destruct them (a fact confirmed also in the present study) does not allow for understanding the underlying functional relationship between innovation and employment, which is required to be helpful for policy makers in identifying the ‘right’ types of firms at the ‘right’ stage of innovation process to ensure the desirable synergies between innovation and employment and to achieve both targets of the Europe 2020 Strategy. In order to increase innovation without reducing employment, policy makers require well-targeted policy initiatives at the ‘right’ stage of innovation process to a well-identified subset of firms. In the context of the Europe 2020 Strategy’s objectives, particularly relevant questions are: (i) at which R&D intensity levels innovation and employment are complementary, and when innovation may have an adverse impact on firm employment: low, intermediate or high R&D intensity? (ii) what type of firms create more jobs (and hence provide the highest potential for policy synergies): innovation leaders,
innovation followers or modest innovators?
The present study attempts to fill this research gap by identifying the R&D intensity levels under which firm innovation is likely to be complementary with respect to firm employment and under which conditions it may have an adverse impact on firm employment. Identifying and estimating the employment effect of innovation for the full range of all possible R&D intensity levels is our main contribution to the literature and policy debate; and to the best of our knowledge no comparable studies are available in the literature, which would decompose the gross employment effect by innovation intensity in a continuous setup.\footnote{The closest approach to ours is that of Ciriaci \textit{et al.} (2013), who use a quantile regression methodology to decompose the gross employment effect according to quantiles of firm innovation intensity. Our study builds on the work of Bogliacino (2014), who points that R&D has a non-linear effect on employment. However, our results are more disaggregated, as they allow for a continuous impact of innovation on employment, which is not the case in Ciriaci \textit{et al.} (2013) and Bogliacino (2014).}
\section{Econometric strategy}
We estimate the functional relationship between innovation and employment by relying on the generalised propensity score (GPS) approach introduced in Hirano and Imbens (2004).\footnote{This approach was already applied to the following pairs of variables: R&D intensity and productivity in Kancs and Siliverstovs (2012), migration and trade in Egger \textit{et al.} (2012), and growth effects of the regional policy in the European Union in Becker \textit{et al.} (2012), \textit{inter alia}.} The GPS approach is a further elaboration on the popular binary treatment propensity score estimator of Rosenbaum and Rubin (1983) widely used for impact evaluation of various programs.\footnote{For an accessible presentation of the logic underlying the propensity-score matching see Heinrich \textit{et al.} (2010).} In the context of the present study the relevant features of the GPS methodology are as follows. First, it allows for continuous rather than binary treatment levels. Second, it allows to estimate the treatment effect also without a ‘zero’ control group. Third, the GPS procedure eliminates selection bias arising due to a non-random assignment (choice) of treatment (R\&D) intensity across firms by conditioning on observed firm characteristics. Finally, it captures potential non-linearities in the functional relationship between R\&D investment and firm employment, as it relies on a flexible semi-parametric regression. As a result, the estimated dose-response functions reveal the entire interval of the average and marginal treatment effects over all possible treatment levels (R\&D intensity).
Following Hirano and Imbens (2004), we implement the GPS estimator in three steps. However, before describing these steps we stipulate the temporal framework of our analysis. The values of the response variable (employment) correspond to the year 2007, i.e. the last year before the collapse of Lehman Brothers in September 2008 that triggered the outbreak of the Great Recession. In order to avoid the simultaneity bias, the values of the treatment variable (R\&D intensity) correspond to the year 2006. We derive the values of the generalised propensity score conditional on the observed
firms’ characteristics for this year.
The first step is based on the assumption that the conditional distribution of treatment variable, \( r \), or, as most often in the literature, its logarithmic transformation, \( \ln r \), is normal given the covariates, \( X \):
\[
\ln r_{it} | X_{it} \sim N(X_i^{2006} \gamma; \sigma^2),
\]
(1)
where \( X_i^{2006} \) is a \( z \times 1 \) vector of both contemporaneous values of discrete and continuous covariates. The parameters of the conditional distribution (\( \gamma, \sigma^2 \)) are evaluated using a standard OLS regression. The estimated GPS is defined as follows:
\[
\hat{s}_i^{2006} = \frac{1}{\sqrt{2\pi \hat{\sigma}^2}} \exp \left[ -\frac{1}{2\hat{\sigma}^2} (\ln r_i^{2006} - X_i^{2006} \hat{\gamma})^2 \right].
\]
(2)
The propensity score in Equation (2) fulfils its purpose of measuring the degree of similarity across heterogeneous firms when the so-called balancing property is satisfied, i.e. for those firms with assigned equal propensity scores (conditional on the firm-specific covariates) the associated treatment level is independent from firm characteristics. In this step, we follow the procedure specified in Hirano and Imbens (2004) in order to verify whether the balancing property is not violated in our data sample.
In the second step, the expected value of response variable, \( \ln \omega_i^{2007} \), is modelled as a flexible semi-parametric function of treatment variable and the estimated generalised propensity score, \( \ln r_i^{2006} \) and \( s_i^{2006} \), respectively:
\[
E[\ln \omega_{it}^{2007} | \ln r_i^{2006}, s_i^{2006}] = \text{Incpt} + \alpha_{11} * \ln r_i^{2006} + \alpha_{12} * [\ln r_i^{2006}]^2 + \alpha_{13} * [\ln r_i^{2006}]^3 \\
+ \alpha_{21} * s_i^{2006} + \alpha_{22} * [s_i^{2006}]^2 + \alpha_{23} * [s_i^{2006}]^3 \\
+ \alpha_3 * (\ln r_i^{2006} * s_i^{2006}),
\]
(3)
where the latter is substituted with its estimates, \( \hat{s}_i^{2006} \), from the first step. The flexibility of the functional form can be controlled for by varying the power of variables \( \ln r_i^{2006} \) and \( s_i^{2006} \) and their cross-products.
The average expected response of target variable, \( \omega \), for a given treatment dose, \( \rho \), is estimated in the third step:
\[
E[\ln \hat{\omega}^{2007}(\rho)] = \frac{1}{N} \sum_{i=1}^{N} \left[ \widehat{\text{Incpt}} + \hat{\alpha}_{11} * \rho + \hat{\alpha}_{12} * [\ln \rho]^2 + \hat{\alpha}_{13} * [\ln \rho]^3 \\
+ \hat{\alpha}_{31} * \hat{s}(\rho, X_i^{2006}) + \hat{\alpha}_{32} * [\hat{s}(\rho, X_i^{2006})]^2 + \hat{\alpha}_{33} * [\hat{s}(\rho, X_i^{2006})]^3 \\
+ \hat{\alpha}_3 * (\ln \rho * \hat{s}(\rho, X_i^{2006})) \right],
\]
(4)
where the coefficient estimates from Equation (3) are used. The whole dose-response function is obtained by computing Equation (4) for each treatment level by using a grid of values in the corresponding range of treatment variable.
In a final step, we derive the treatment effect and elasticity functions. The former is defined as a first derivative of $E[\ln \hat{\omega}^{2007}(\rho)]$ with respect to the argument $\rho$. The latter function is computed in usual way $\partial E[\ln \hat{\omega}^{2007}(\rho)] / (\partial \rho / \rho)$. The estimated employment elasticity with respect to R&D are of a particular interest for us, as it allows to directly compare our results with those reported in the previous literature. Following Hirano and Imbens (2004), confidence intervals around the estimated dose-response, treatment effect and elasticity functions are obtained by means of a bootstrap procedure.
4 Data sources and variable construction
4.1 Data sources
The principal data source is the EU Industrial R&D Investment Scoreboard. The R&D Scoreboard is an annual data set compiled and provided by the European Commission. Firstly released in 2004, it comprises data on R&D investment, as well as other financial and economic variables (e.g. net sales, operating profits, employees) for the top 1173 R&D global performers,\footnote{In total in the Scoreboard data there are 1372 companies, from which 1173 are without missing observations.} around half of which are based in the EU and another half are based outside the EU, and 483 of which are active in the high-tech sectors (see Table 2). In the present study we focus on the high-tech firms as, according to our data, innovation creates most jobs in the high-tech sectors. During the 2004-2012 period the overall employment growth was 22.6\% in the EU companies. In the high-tech sectors employment increased by 49.2\%, whereas only by 24.2\% in the medium-high-tech and by 18.5\% in the low-tech sectors (see section 4.2). We verify robustness of our results by extending the information set to include both high- and medium-tech firms as well as all firms in the sample.
In addition to economic and financial variables, the R&D Scoreboard also identifies the industrial sector (of the parent company) as well as the geographical region of R&D investment (according to the location of company’s headquarter). The R&D Scoreboard data are reported in two ways. On the one hand, the R&D Scoreboard data are reported as national aggregates broken down by NACE Rev.1.1 in the Eurostat dissemination database. On the other hand, given that the presentation of the aggregated statistics per economic activity and per country has no data for certain economic activities and certain countries, the full set of data is also reported as broken down by individual enterprise group.
The R&D Scoreboard data set is compiled from companies’ annual reports and accounts with
reference date of the first of August of each year. For those companies, whose accounts are expected close to the cut-off date, preliminary information is used. In order to maximise the completeness and to avoid double counting, the consolidated group accounts of the ultimate parent company are used. Companies which are subsidiaries of another company are not considered separately. Where consolidated group accounts of the ultimate parent company are not available, subsidiaries are however included. In case of a demerger, the full history of the continuing entity is included, whereas the history of the demerged company goes only back as far as the date of the demerger to avoid double counting. In case of an acquisition or merger, the estimated figures for the year of acquisition are used along with the estimated comparative figures if available.\footnote{It is important to note that the R\&D Scoreboard data are different from the official R\&D statistics provided by statistical offices. The R\&D Scoreboard data refers to all R\&D financed by a particular company from its own funds, regardless of where the R\&D activity is performed. Hence, because companies are identified with country of their registered head office which, in some cases, may be different from the operational or R\&D headquarters. In contrast, the R\&D statistics usually refers to all R\&D activities performed by businesses within a particular sector and country, regardless of the location of the business’s headquarters and regardless of the origin of the sources of finance. Second, the R\&D Scoreboard collects data from audited financial accounts and reports, whereas the R\&D statistics are compiled on the basis of statistical surveys, in general covering the known R\&D performer. Further differences concern sectoral classifications (R\&D statistics follows the classification of economic activities in the European Community, NACE Rev.1.1., whereas the R\&D Scoreboard allocates companies in accordance to the sectoral classification as defined by the Financial Times Stock Exchange Index (ICB classification) and then converts them into NACE Rev.1.1. These differences need to be kept in mind when comparing the results reported in this paper to studies employing statistical R\&D data.}
An important caveat of the R\&D Scoreboard data concerns sample selection, putting under question the general validity of our results. Given the underlying sampling and selection rules of the R\&D Scoreboard data set – ranking and selecting companies according to the total amount of their R\&D expenditures – the R\&D Scoreboard is not a random sample. Hence the R\&D Scoreboard data set may be criticised that it has a sample bias affecting the results, as it only represents the top R\&D investors. However, given our interest in the employment effect of innovation, this issue is of second order magnitude, because we are covering almost the entire population of world-wide R\&D expenditure (Moncada-Paterno-Castello \textit{et al.}, 2010). The 1173 companies in our sample altogether represent around 80\% of the world-wide business R\&D expenditure. While small R\&D investors and non-R\&D-performers are excluded from the sample, the objective of the present study is to focus on the impact of R\&D-driven innovation on employment, but not to examine the determinants of labour demand in the whole economy. Finally, the particular estimation approach we adopt in the present study allows us to estimate the counterfactual treatment effects also without a zero control group.
\subsection{Dependent (response) variable}
The dependent (response) variable is firm-specific employment measured by the number of employees. In order to calculate firm-specific employment, we use the average number of employees or, if the
annual average is not available, the number of employees at the end of the reference period. In total the companies included in the R&D Scoreboard data set employed 48471 million workers in 2012, 1.5% more than the previous year. The distribution of employees by region was 18357 million in the companies based in the EU, 11138 million in the US companies, 8206 million in the Japanese companies and 10770 million in the companies from other countries.\footnote{Note, however, that data reported by the Scoreboard companies do not inform about the actual geographic distribution of the number of employees. A detailed geographic analysis should take into account the location of subsidiaries of the parent Scoreboard companies as well as the location of other production activities involved in the value-chains.}
The development of employment in companies contained in the R&D Scoreboard data over the 2004-2012 period can be summarised as follows. Overall, the worldwide employment increased by 27.9% from 2004 to 2012 led by increases in high-tech sectors (42.0%) and medium-high-tech sectors (29.9%). The overall employment growth was 22.6% in the EU companies, increasing by 49.2% in high-tech sectors, by 24.2% in medium-high-tech and by 18.5% in low-tech sectors. The overall employment growth (25.1%) in the US companies greatly varies by sector group: a strong increase for high-tech sectors (43.7%) and a sharp decrease in low-tech sectors (-23.2%). The overall employment increase of 24.0% in the Japanese companies corresponded to an increase of 31.4% in low-tech sectors and of 28.5% in medium-high-tech sectors. The ratio of employment in high-tech to medium-high-tech sectors for companies based in Japan fell from 38% to 32%, rose slightly for EU companies, from 29% to 35%, and went up a lot for US companies from 80% to 98%.
\subsection{Explanatory (treatment) variable}
We define the explanatory (treatment) variable, $r_{it}$, as the share of R\&D investment in the total capital expenditure. The constructed measure of R\&D intensity includes all cash investment in R\&D funded by the companies themselves, but excludes any R\&D undertaken under contract for customers, such as governments or other companies, and the companies’ share of any associated company or joint venture R\&D investment. R\&D expenditures are calculated based on the R\&D accounting definition set out in the International Accounting Standard (IAS) 38 “Intangible assets”, which is based on the OECD “Frascati” manual. Research is defined as original and planned investigation undertaken with the prospect of gaining new scientific or technical knowledge and understanding. Expenditure on research is recognised as an expense when it incurred. Development is the application of research findings or other knowledge to a plan or design for the production of new or substantially improved materials, devices, products, processes, systems or services before the start of commercial production or use. Development costs are capitalised when they meet certain criteria and when it can be demonstrated that the asset will generate probable future economic benefits. Where part or all of R\&D costs have been capitalised, the additions to the appropriate
intangible assets are included to calculate the cash investment and any amortisation eliminated.
In order to account for sectoral heterogeneity with respect to R&D intensity, we regroup all firms into four sub-samples according to the level of technological sophistication. Following the OECD classification, all firms in our sample are regrouped into four 3-digit Industry Classification Benchmark (ICB) groups: high-, medium-high-, medium-low-, and low-tech companies:
- **High-tech**: Technology hardware & equipment (THE), Software & computer services (SCS), Pharmaceuticals & biotechnology (PBT), Health care equipment & services (HCE), and Leisure goods (LGO);
- **Medium-high-tech**: Industrial engineering, Electronic & electrical equipment, General industrials, Automobiles & parts, Personal goods, Other financials, Chemicals, Aerospace & defence, Travel & leisure, Support services, and Household goods & home construction;
- **Medium-low-tech**: Food producers, Fixed line telecommunications, Beverages, General retailers, Alternative energy, Media, Oil equipment, services & distribution, and Tobacco;
- **Low-tech**: Gas, water & multi-utilities, Oil & gas producers, Nonlife insurance, Industrial metals & mining, Construction & materials, Food & drug retailers, Banks, Electricity, Industrial transportation, Mobile telecommunications, Forestry & paper, Mining, Life insurance.
The descriptive statistics of R&D activity for each group of companies is reported in Table 2. According to Table 2, the R&D activity of high-tech firms, measured both in absolute and relative terms, substantially exceeds that of medium-tech and low-tech companies. In the present study we focus on the high-tech sub-sample which, as reported in Table 2, contains 483 firms. We use data on firm-specific employment and R&D intensity for the years 2007 and 2006, respectively, in order to avoid devastating effects of the global financial crisis on the world economy.
### 4.4 Covariates
The set of covariates used in our analysis is selected based on previous studies (e.g. see Hall *et al.*, 2008, 2010), subject to their availability in our data set. It includes:
- **Net sales**, SALE: In line with the accounting definition of sales, sales taxes and shares of sales of joint ventures & associates are excluded. For banks, sales are defined as the “Total (operating) income” plus any insurance income. For insurance companies, sales are defined as “Gross premiums written” plus any banking income.
- **Operating profit**, OP: Profit (or loss) before taxation, plus net interest cost (or minus net interest income) and government grants, less gains (or plus losses) arising from the sale/disposal
of businesses or fixed assets. Due to the fact that companies report both positive and negative operating profit, we cannot take a logarithmic transformation of this variable. In order to do so, we created the following two variables $\ln OP^+_{2006}$ and $\ln OP^-_{2006}$. The former variable is equal to the log of actual values whenever a firm reports positive profit and zero otherwise. The latter variable is equal to the log of absolute actual values multiplied by minus one whenever a firm reports negative profit and zero otherwise.
- **Capital expenditure**, CAPEXP: The expenditure used by a company to acquire or upgrade physical assets such as equipment, property, industrial buildings. In company accounts capital expenditure is added to the asset account (i.e. capitalised), thus increasing the amount of assets. It is disclosed in accounts as additions to tangible fixed assets.
- **Market capitalisation**, MCAP: The share price multiplied by the number of shares issued at a given date. Market capitalisation data have been extracted from both the Financial Times London Share Service and Reuters. These reflect the market capitalisation of each company at the close of trading on 4 August 2006. The gross market capitalisation amount is used to take into account those companies for which not all the equity is available on the market.
- **Industry sectors**: The industry sectors are based on the ICB classification. The level of disaggregation is generally the three-digit level of the ICB classification, which is then converted to NACE Rev.1.1.
- **Sectoral dummies**: Sectors are classified into high-tech, medium-high-tech, medium-low-tech, and low-tech, according to 3-digit ICB groups.
- **Regional dummies**: “Asian Tigers” (AT), “BRIC”, “EU”, “Japan”, “RoW”, “Switzerland” (CH), and “USA”.
## 5 Results
### 5.1 Main results
The results of the first step GPS estimation procedure (see Equation (1)) are reported in Table 3, which suggest that the variation in the R&D intensity is best captured by variables such as operating profits, market capitalisation and its square, as well as sales. Also the industry- and region-specific dummy variables contribute substantially to the explanatory power of the first step of the GPS regression. The goodness-of-fit of the regression is quite high, yielding the $R^2$ of 42%, creating a powerful GPS, see Equation (2).
\footnote{The assumption of normally distributed GPS, see Equation (2), was verified by means of the Kolmogorov-Smirnov test. The associated p-value is 0.26.}
Next, we verify whether the GPS is appropriately specified by testing the so-called balancing property, following the procedure suggested by Hirano and Imbens (2004). Each covariate is subdivided into three groups of approximately similar sizes using distribution of the treatment intensity variable. The initial testing of the balancing property amounts to testing whether the average value of a particular variable in every group is equal to the average value in the remaining groups. The results of these tests are reported in Table 4. Only for a handful of groups we cannot reject the tested null hypothesis at the usual significance levels, indicating that there is very strong heterogeneity among the covariates belonging to these three groups pertinent to different values of treatment intensity. A well specified GPS should be able to successfully account for these differences.
In order to check whether this is the case, we subdivided each group into blocs of approximately the same sizes corresponding to the quintiles of the respective GPS. The resulting cell sizes are reported in Table 5. Observe that the total number of firms, reported in Table 5, is less than reported above in Table 4, i.e. 442 vs. 483. This is because we imposed the so-called common support condition, ensuring that we deal with observations with similar GPS values but different treatment intensities. As argued by Becker et al. (2012), it is advisable to impose the common-support condition in order to substantially improve the balancing properties of the GPS and hence achieve more reliable estimation results.
The balancing properties of covariates adjusted for the GPS are reported in Table 6. Compared to the results for the unadjusted covariates reported in Table 4, there is a substantial improvement, as only three test statistics exceed the nominal 5% significance level.\(^{12}\) The mean absolute value of all t-statistics reported in Table 6 drops to 0.90 from the corresponding value of 3.41 computed across all groups and covariates in Table 4. Hence we conclude that the generalised propensity scores are appropriately defined. Next, we proceed to the estimation of the dose-response relationship between the innovation and employment variables.
The estimation results for the second-step regression corresponding to Equation (3) are reported in Table 7. The estimated \(R^2\) is 0.40, which is quite remarkable given the parsimonious specification. The second step GPS regression results reported in Table 7 clearly show that employment response to firm innovation (proxied by R&D expenditures) is highly non-linear with all included polynomial terms of the latter variable reporting highly significant coefficients. It is also worthwhile noticing that the GPS variable enters as a significant variable both in levels and via the interactive term with the (log) of our treatment variable, confirming its relevance in eliminating the sample selection bias.\(^{13}\)
\(^{12}\)Observe that given a total number of reported t-test statistics this empirical rejection rate approximately corresponds to the nominal test level of 5%.
\(^{13}\)The higher order power transformations of the GPS variable turned out to be insignificant and therefore were omitted from the model specification for the sake of parsimony.
In order to facilitate the interpretation of the estimation results, we plot the estimated dose-response, treatment effect and elasticity functions in Figures 1, 2 and 3, respectively. In order to provide an idea about firm distribution for different R&D intensity levels, vertical lines are added to distinguish between the four quartiles. For example, in the high-tech sectors the bottom quartile contains firms with R&D intensity levels up to 160%. The cut-offs for the other three quartiles are at 350% and 690%, respectively.
At low innovation intensity levels (the share of R&D investment in the total capital expenditure between zero and 35-40%) an additional investment into R&D may even destruct jobs. This can be seen in the negative interval in Figure 3. The job destruction effect of moderate innovators can be explained by missing critical mass and insufficient absorptive capacity to benefit from intramural research in companies with insufficient innovative capacity. Our results are consistent with findings of Geroski (1998) as well as Kancs and Siliverstovs (2012), who find that a certain critical mass of R&D capacity is required, before a significant firm growth can be achieved from investment in R&D. Our results are also consistent with the hypothesis of absorptive capacity, which has been found to be important particularly for moderate innovators. Firms must be capable of absorbing and using new knowledge effectively, if they are to benefit from intramural and extramural R&D investment (which apparently is not the case at very low R&D levels) (Fabrizio, 2009). Another reason why increasing R&D expenditures may destruct jobs in modestly innovating companies could be a larger room for technological efficiency improvements. Given that modest innovators have a higher potential for creating a more efficient workforce and replacing workers through the acquisition of capital goods, the compensation may be only partial for modest innovators.
At medium to medium-high innovation intensity levels (the share of R&D investment in the total capital expenditure is around 100%) the innovation impact on employment is positive and statistically significantly different from zero. The employment elasticity with respect to innovation goes up to 0.7%, which implies that increasing innovation by 1% raises employment by 0.7%. There may be several reasons, why innovation followers create more jobs than modest innovators. First, through new investments. Given that the convergence between falling costs and lower prices is not instantaneous, extra profits that are accumulated by innovative firms are often reinvested.\footnote{Note, however, that the new investments can be capital-intensive, which may partially mitigate the compensation effect.} A larger production capacity in innovation followers requires more workers and hence creates more jobs. Second, by increasing income. Given that more improvements in productivity are transmitted to higher wages in innovation followers, likely they will induce higher consumption and hence higher employment. According to Leonardi (2003), more educated workers (which are employed in more innovative firms) consume more skill-intensive goods.\footnote{Leonardi (2003) derives theoretically in a general equilibrium model, and estimates empirically for the UK that} Hence, an increase in the income
of high-skill workers’s income increases the demand for skill-intensive goods, resulting, in such a way, in higher output of innovative firms in high-tech sectors employing high-skill workers. An increase in aggregate demand in turn increases production and employment. Third, through new products/varieties resulting from innovation. New products/varieties entail a creation of new jobs in innovation followers, but a destruction of jobs in modest innovators Bogliacino et al. (2012); Bogliacino and Vivarelli (2012); Bogliacino et al. (2013). Finally, through a decrease in output prices, resulting in lower production costs, which stimulates demand for innovative firms’ products and, as a result, increases demand for workers.
The job creation effect of innovation reaches its peak when R&D intensity is around 100% of the total capital expenditure, after which the positive employment effect declines and becomes statistically indifferent from zero. At high and very high innovation intensity levels (the share of R&D investment in the total capital expenditure above 150%) the innovation impact on employment becomes negative again, implying that, on average, additional R&D investment in innovation leaders destructs jobs.\footnote{At extremely high R\&D intensity levels (above 1300\%) our results suggest positive employment effect of innovation again. However, the number of firms with such an extremely high R\&D intensity is very small in our sample (and in the population). Therefore, these results for very high innovation intensity levels should be considered with caution.} These results of decomposing the employment effect by innovation intensity, suggesting that the displacement effect seems to be larger than the compensation effect for innovation leaders, whereas the compensation effect seems to be greater than the displacement effect for innovation followers, are new and have not been reported in the literature before.
### 5.2 Comparison with previous studies
Our estimation results complement those of Ciriaci et al. (2013), Bogliacino et al. (2012), Bogliacino and Vivarelli (2012) and Bogliacino (2014) who provide the initial attempts to decompose the employment effect of innovation according to R\&D intensity levels. Using the balanced panel comprising characteristics of 3300 Spanish firms observed for the period 2002—2009, Ciriaci et al. (2013) investigate the employment effects of innovation both for innovative and non-innovative firms. Ciriaci et al. (2013) find that those firms, which engage more intensively in innovation activities, create more jobs than less innovative firms. In particular, this effect is more pronounced for small and young innovative firms. At the same time they point out that for this group of firms, successful launch of new products in the market as a result of boosting innovation activity can lead to a higher growth in sales rather than in employment, which is consistent with the labour-saving effects of technological advances, discussed above.
Bogliacino et al. (2012) studies the employment effect of R\&D expenditure using the sample of 677 EU firms observed during the period 1990—2008. The elasticities of interest are estimated
using the dynamic panel model allowing for lagged employment by means of the Least Squares Dummy Variable Corrected (LSDVC) estimator (Bun and Kiviet, 2003; Bruno, 2005). The results are obtained for the sample of all firms as well as for the samples comprising service-sector firms, all manufacturing firms and samples comprising manufacturing firms further subdivided into high-tech and non-high-tech firms. The reported short-run elasticities are 0.023% for the whole sample, 0.056%—for service-sector firms, and 0.049% for high-tech manufacturing firms. It is interesting to observe that the corresponding elasticity estimate for non-high-tech manufacturing firms is not significant though positive (0.021%). Using the estimated coefficient on the lagged employment variable Bogliacino et al. (2012, Table 1), the long-run elasticities can be derived. The long-run elasticity of employment calculated for the whole sample is 0.075%, 0.097%—for service-sector firms and approximately of equal magnitude of 0.11% both for all manufacturing firms and high-tech manufacturing firms.
Bogliacino and Vivarelli (2012) conduct another study of employment effects of innovation activity using a sample of 2295 firms from 15 European countries available for the period 1996—2005. In the main part of the paper, the results are reported for a number of dynamic panel data estimators such as random-effects, fixed-effects as well as two versions of the Generalised Method of Moments [GMM-DIF, Arellano and Bond (1991)] and [GMM-SYS, Blundell and Bond (1998)], where the last estimator is referred to as the most reliable one (Bogliacino and Vivarelli, 2012, Section IV). These estimators are applied for the whole sample of firms. The short-run elasticity reported by the GMM-SYS estimator is 0.025%, which is very similar to that reported in Bogliacino et al. (2012). However, the long-run elasticity is about 0.31%, which is about four times larger than that reported in Bogliacino et al. (2012) for the whole sample (0.075%). In the section containing robustness results, the distinction is made between firms with different innovation intensity by allowing for differential employment effects of high-tech, medium-tech and low-tech firms. The elasticities of interest are obtained by means of the LSDVC rather than GMM estimator, while it is argued that the former one outperforms the latter one under given estimation conditions. The main result is that the job creation effect of R&D expenditure only is evident for high-tech sector; both for medium- and low-tech sectors the estimated short-run elasticities are not significantly different from zero. For the high-tech sector, the short- and long-run elasticities are 0.017% and 0.17%, respectively.
Our results, emphasising a complex non-linear interaction of employment and innovation, are also consistent with those of Bogliacino (2014), who equally finds that R&D investment expenditure has a non-linear effect on firm employment. Bogliacino (2014) also reports that productivity impact of R&D takes significant lags, whereas employment effect is effective already since the beginning of the R&D process. According to Bogliacino (2014), both the intensive and the extensive margins of R&D work in the same direction: for a given firm size, increasing the R&D intensity raises the employment
elasticity, and for a given R&D intensity, increasing the firm size increases also the employment effect. These results confirm our policy conclusions that policy makers have two alternative policy strategies for targeting the innovation and employment objectives: policy instruments aiming at the growth of innovative companies, and policy instruments aiming at increasing the number of companies that undertake innovative activities in the EU.
It is instructive to compare our results with the traditional point estimates available in the literature, despite the fact that the studies cited above focus on the employment elasticity with respect to nominal measure of R&D expenditure, whereas we focus on the employment elasticity with respect to the relative measure of R&D expenditure. Even though the range of elasticity estimates for high-tech companies reported in our study in Figure 3 is quite large, as it varies with the level of R&D intensity \([-0.80\%, 0.70\%]\), the positive values of the employment elasticity observed for the firms pertaining to the lower quartile of the R&D intensity distribution are in the comparable range with the estimates of the long-run employment elasticities of R&D, as discussed above.
Our results are also consistent with the evidence from general equilibrium macroeconomic models, which simulate the impact of R&D and innovation policies (Brandsma and Kancs, 2015; Di Comite and Kancs, 2015; Di Comite et al., 2015). The simulated employment effects of innovation in macroeconomic models capture important general equilibrium effects and vertical and horizontal linkages between firms, which is not possible in micro-econometric studies, such as the one presented in this paper. Combining the micro and macro approaches for studying the employment effect of innovation is a promising area for future research.
### 5.3 Robustness checks
In order to verify the robustness of the results reported in the previous section, we perform several robustness checks. First, we re-estimate regressions in Equations (2) and (3) using enlarged data sets that include both high- and medium-tech firms as well as all firms in our sample. Secondly, we re-estimates the second-step regression using our preferred sample of high-tech firms but after taking the logarithmic transformation of the GPS variable obtained in the first step, similarly as it was done in the empirical example in Hirano and Imbens (2004). The estimation results are presented in Table 8.
In panel (A) of Table 8 we report the estimation results of Equation (3) keeping square and cubic transformations of the score variable. As seen, these are not significant at the usual levels, and therefore the more parsimonious form of the regression, reported in Table 7, is preferred. This choice of the model specification is also supported in terms of the Schwarz Information Criterion (SIC).
In panel (B) the estimation results are reported using enlarged information set including both
high- and medium-high tech firms. This results in correspondingly increased sample size of 771 firms. However, such a model specification yields a much lower explanatory power with the reported goodness-of-fit measure decreasing from $R^2 = 0.40$ in Table 7 to $R^2 = 0.21$. In addition, the coefficient pertaining to the score variable in levels is no longer significantly different from zero. Only the interaction terms between the score and (log of) the treatment variables remains statistically significant. The further increase of the sample size incorporating all the firms in our sample yields similar results, see panel (C). We observe a further decrease in the regression explanatory power with the reported $R^2 = 0.15$ and the score variable $s$ is not significant in this model. After comparing these estimation results with those reported in Table 7, we can conclude that focusing on a smaller data set involving less heterogeneous firms yields more clear-cut results that are statistically superior to those obtained using larger pool of more diverse firms. It seems that for the latter data set more explanatory variables are needed than we have at hand in order to account for the inherent firm heterogeneity.
In panel (D) of Table 7 we report the estimation results of the second-step regression, where we inserted the logarithmic transformation of the score variable. Also in this case we observe that the underlying model in Table 7 is statistically superior to that one both in terms of the regression explanatory power and the SIC values.
6 Conclusions, policy recommendations and limitations
The question of whether technological change creates or destroys jobs has been posed since the beginning of the Industrial Revolution in the 19th century. While, the theoretical models, the estimation strategy and the empirical evidence have improved significantly since then, the key questions and challenges surrounding the innovation-employment relationship remain. The present paper aims to contribute to this literature by attempting to identify the R&D intensity levels under which firm innovation is complementary with respect to firm employment and under which it may have an adverse impact on firm employment. The objective of the study is to reveal the entire innovation-employment relationship, which is done by estimating the employment effect of innovation for different R&D intensity levels in a continuous framework. This is our main contribution to the literature and policy debate; to the best of our knowledge no comparable studies analysing the employment effect of innovation in a continuous setting are available in the literature.
In order to answer these questions, we base our empirical micro-econometric analysis on a large international firm-level panel dataset, and our proxy for technology is a measurable and continuous variable, while most of the previous studies have relied on either indirect proxies of technological change or dummy variables (such as the occurrence of product and process innovation).
In particular, we employ the EU Industrial R&D Investment Scoreboard data set, which comprises data on R&D investment, as well as other financial and economic variables for the top 1173 R&D global performers, 483 of which are active in high-tech sectors, which we analyse in detail, as high-tech companies create the most jobs both in absolute and relative terms. In addition to firm-level innovation expenditures, we make use also of economic and financial variables, which allow us to control for important firm-specific effects. Moreover, the R&D Scoreboard also identifies the industrial sector (of the parent subsidiary) as well as the geographical region of R&D investment (according to the location of firm’s headquarter), which allows us to control for fixed sector-specific and location-specific effects.
In order to decompose the employment effect by innovation intensity, we employ flexible semi-parametric methods, which allow us to recover the full functional relationship between R&D investment and firm employment. This is not possible in the standard estimation approach, which yields only point estimates and hence may hide important non-linearities in the innovation-employment relationship (Kancs and Siliverstovs, 2012). We use semi-parametric methods for causal inference in quasi-experimental settings with continuous treatments, by considering the innovation expenditure of firms as a continuous treatment and employment at the firm-level as an outcome. The functional form of the impact of R&D expenditure on firm employment is identified under the assumption of weak unconfoundedness, implying that the systematic information in innovation expenditure can be conditioned out by controlling for observable determinants of innovation expenditure, achieving quasi-randomisation. This allows us to address important estimation issues, such as the simultaneity bias, from which many previous studies suffer (Rosenbaum and Rubin, 1983; Hirano and Imbens, 2004).
Our results confirm previous findings that innovation can both create and destruct jobs (which, as we show, depends strongly on the innovation intensity). Second, the relationship between innovation and job creation is highly non-linear. At low innovation intensity levels (the share of R&D investment in the total capital expenditure between zero and 35-40%) an additional investment into R&D may even destruct jobs. At medium to medium-high innovation intensity levels (R&D intensity around 100%) the innovation impact on employment is positive and statistically significantly different from zero. The employment elasticity with respect to innovation is 0.7%, which implies that increasing innovation by 1% raises employment by 0.7%. The job creation effect of innovation reaches its peak when the R&D intensity is around 100% of the total capital expenditure, after which the positive employment effect declines and becomes statistically indifferent from zero. At high and very high innovation intensity levels (the share of R&D investment in the total capital expenditure above 150%) the innovation impact on employment becomes negative again, implying that, on average, additional R&D investment in highly innovative companies destructs jobs. These results of
decomposing the employment effect by innovation intensity are new and have not been reported in the literature before.
Our results have important messages for policy makers. First, our findings confirm the important role that innovation followers can play in creating jobs and in ensuring the sustainability of high employment in the medium- to long-run. In light of the results of Crepon et al. (1998),\textsuperscript{17} two alternative policy strategies can be identified how policy makers can target this objective: policy instruments aiming at the growth of innovation followers creating jobs, and policy instruments aiming at increasing the number of innovation followers, as they both undertake innovative activities and create employment in the EU. Second, our results point to potential complementarities between the two Europe 2020 policy targets aiming to increase the R&D/GDP ratio and the employment rate, particularly by supporting innovation followers. Indeed, the empirical evidence, which we provide in this study, supports the view that R&D expenditures can be beneficial to job creation capacity. These findings imply that both the innovation and employment targets of the Europe 2020 Strategy can be reached simultaneously, by designing tailored policies for innovation followers as they create most of the employment in the economy. On the other hand, our results suggest that innovation leaders and modest innovators tend to destruct jobs through additional investment into R&D, implying that these companies should not be targeted by the policy to achieve both the innovation and employment targets of the Europe 2020 Strategy. According to Kancs and Siliverstovs (2012), innovation leaders are key for achieving the innovation target of the Europe 2020 Strategy by boosting firm productivity and competitiveness. In summary, the findings of the present study and Kancs and Siliverstovs (2012) suggest that innovation leaders should be targeted, if policy objective is to boost productivity and competitiveness, whereas innovation followers should be targeted, if policy objective is to achieve both the innovation and employment targets of the Europe 2020 Strategy.
Turning to limitations, an important caveat of our empirical analysis concerns the nature of the Scoreboard sample. First, while other data sets, such as the OECD BERD data, can be considered as fully representative of the OECD economies, in the EU Industrial R&D Investment Scoreboard data used in the present study only the R&D "champions" are considered. This is a clear limitation of our data, the results of which cannot be straightforwardly extrapolated to e.g. SMEs. However – notwithstanding this source of sample selection – our analysis still provides interesting insights, and in addition has support from the empirical evidence on concentration of innovative activities. It is well documented in the previous literature that innovative activities are highly concentrated – only a small share of firms around the world innovate, the majority of firms in most regions around
\textsuperscript{17}The model of Crepon et al. (1998) distinguishes between four stages of innovation process: the decision to innovate, the decision on how much to spend on innovation activities, the relation between expenditure on innovation and innovation output, and the relation between innovation output and performance.
the world do not engage in any significant R&D activities, they imitate (Slivko and Theilen, 2014). Hence, by considering the top 1173 innovators which account for almost 80% of the global R&D expenditure (top 2500 companies account for more than 90% of the global R&D expenditure), ensures also certain representativeness. A further limitation of the data used in our study is that the R&D Scoreboard data does not allow us to identify the effects of product and process innovations separately. However, as discussed in the introduction, the employment effect of innovation can be very different depending on the nature of innovation. In order to separately identify the employment effects of product and process innovation, other sources of data, such as Community Innovation Survey (CIS), need to be used, which is a promising area for future research.
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Figure 1: Dose-Response function of high-tech companies: Average expected response of employment (2007) [Y-axis] to R&D intensity in 2006 [X-axis], GPS-adjusted. Dashed lines: bootstrapped 90% confidence interval based on 1000 replications. Vertical lines denote quartiles of the R&D intensity distribution.
Figure 2: Treatment Effect function of **high-tech** companies: Derivative of the average expected response of employment (2007) [Y-axis] to R&D intensity in 2006 [X-axis], GPS-adjusted. Dashed lines: bootstrapped 90% confidence interval based on 1000 replications. Vertical lines denote quartiles of the R&D intensity distribution.
Figure 3: Elasticity of high-tech companies: Average expected response of employment in 2007 [Y-axis] to R&D intensity in 2006 [X-axis], GPS-adjusted. Dashed lines: bootstrapped 90% confidence interval based on 1000 replications. Vertical lines denote quartiles of the R&D intensity distribution.
Figure 4: Dose-Response function of all companies: Average expected response of employment (2007) [Y-axis] to R&D intensity in 2006 [X-axis], GPS-adjusted. Dashed lines: bootstrapped 90% confidence interval based on 1000 replications. Vertical lines denote quartiles of the R&D intensity distribution.
Figure 5: Treatment Effect function of all companies: Derivative of the average expected response of employment (2007) [Y-axis] to R&D intensity in 2006 [X-axis], GPS-adjusted. Dashed lines: bootstrapped 90% confidence interval based on 1000 replications. Vertical lines denote quartiles of the R&D intensity distribution.
Figure 6: Elasticity of all companies: Average expected response of employment in 2007 [Y-axis] to R&D intensity in 2006 [X-axis], GPS-adjusted. Dashed lines: bootstrapped 90% confidence interval based on 1000 replications. Vertical lines denote quartiles of the R&D intensity distribution.
Figure 7: Dose-Response function of **high- and medium-high-tech** companies: Average expected response of employment (2007) [Y-axis] to R&D intensity in 2006 [X-axis], GPS-adjusted. Dashed lines: bootstrapped 90% confidence interval based on 1000 replications. Vertical lines denote quartiles of the R&D intensity distribution.
Figure 8: Treatment Effect function of high- and medium-high-tech companies: Derivative of the average expected response of employment (2007) [Y-axis] to R&D intensity in 2006 [X-axis], GPS-adjusted. Dashed lines: bootstrapped 90% confidence interval based on 1000 replications. Vertical lines denote quartiles of the R&D intensity distribution.
Figure 9: Elasticity of high- and medium-high-tech companies: Average expected response of employment in 2007 [Y-axis] to R&D intensity in 2006 [X-axis], GPS-adjusted. Dashed lines: bootstrapped 90% confidence interval based on 1000 replications. Vertical lines denote quartiles of the R&D intensity distribution.
Table 1: Top 20 global innovation leaders in 2014
| Rank | Company | Industry | R&D* | ICB classification |
|------|------------------|---------------------------|------|--------------------------|
| 1 | Volkswagen | Automotive | 13.5 | medium high-tech |
| 2 | Samsung | Computing and electronics | 13.4 | high & medium high-tech |
| 3 | Intel | Computing and electronics | 10.6 | high & medium high-tech |
| 4 | Microsoft | Software and internet | 10.4 | high-tech |
| 5 | Roche | Health care | 10 | high & medium high-tech |
| 6 | Novartis | Health care | 9.9 | high & medium high-tech |
| 7 | Toyota | Automotive | 9.1 | medium high-tech |
| 8 | Johnson & Johnson| Health care | 8.2 | high & medium high-tech |
| 9 | Google | Software and internet | 8 | high-tech |
| 10 | Merck | Health care | 7.5 | high & medium high-tech |
| 11 | GM | Automotive | 7.2 | medium high-tech |
| 12 | Daimler | Automotive | 7 | medium high-tech |
| 13 | Pfizer | Health care | 6.7 | high & medium high-tech |
| 14 | Amazon | Software and internet | 6.6 | high-tech |
| 15 | Ford | Automotive | 6.4 | medium high-tech |
| 16 | Sanofi-Aventis | Health care | 6.3 | high & medium high-tech |
| 17 | Honda | Automotive | 6.3 | medium high-tech |
| 18 | IBM | Computing and electronics | 6.2 | high & medium high-tech |
| 19 | GlaxoSmithKline | Health care | 6.1 | high & medium high-tech |
| 20 | Cisco | Computing and electronics | 5.9 | high & medium high-tech |
Source: EU Industrial R&D Investment Scoreboard (2015). Notes: *Billion USD.
Table 2: Distribution characteristics of R&D intensity
| | min | 25% | 50% | 75% | max | Obs. |
|---------------------|------|------|------|------|------|------|
| low-tech | 0.003| 0.041| 0.102| 0.280| 4.306| 133 |
| medium-low-tech | 0.012| 0.093| 0.255| 0.462| 6.804| 79 |
| medium-high-tech | 0.004| 0.428| 0.773| 1.412| 9.457| 478 |
| high-tech | 0.045| 1.679| 3.707| 7.448| 126.380| 483 |
Notes:
RDCAPEX: R&D intensity is defined as a share of R&D expenditure in capital expenditure in 2006.
Table 3: Regression results
| | GPS: first-step regression, Equation (2) |
|------------------|------------------------------------------|
| | Coef. | S.E. | T-stat. | P-val. |
| Incpt | 4.305 | 0.74 | 5.79 | 0.000 |
| ln OP$^+$$_{2006}$ | -0.081 | 0.05 | -1.75 | 0.081 |
| ln OP$_{2006}$ | -0.036 | 0.05 | -0.74 | 0.462 |
| ln MCAP$_{2006}$ | -0.433 | 0.18 | -2.42 | 0.016 |
| [ln MCAP$_{2006}$]$^2$ | 0.040 | 0.01 | 3.20 | 0.001 |
| ln SALE$_{2006}$ | -0.314 | 0.08 | -3.81 | 0.000 |
| [ln SALE$_{2006}$]$^2$ | -0.001 | 0.01 | -0.12 | 0.905 |
| AT | -1.713 | 0.58 | -2.97 | 0.003 |
| BRIC | -1.471 | 0.64 | -2.31 | 0.021 |
| EU | -0.162 | 0.44 | -0.37 | 0.711 |
| Japan | 0.014 | 0.45 | 0.03 | 0.975 |
| RoW | -0.207 | 0.50 | -0.41 | 0.680 |
| USA | 0.044 | 0.43 | 0.10 | 0.919 |
| THE | 0.184 | 0.21 | 0.86 | 0.391 |
| SCS | 0.525 | 0.23 | 2.32 | 0.021 |
| PBT | 0.199 | 0.23 | 0.87 | 0.383 |
| HCE | -0.411 | 0.25 | -1.66 | 0.098 |
| $R^2$ | 0.42 |
| Obs. | 483 |
Notes:
The dependent variable $r_{it}$ in the first-step regression is the log of R&D intensity in 2006, defined as the share of R&D expenditure in capital expenditure in the same year. The regression contains regional (AT, BRIC, EU, Japan, RoW, USA) and industry (THE, SCS, PBT, HCE) dummies, see Section 4.
Table 4: Initial balancing properties of covariates
| | Group 1 | Group 2 | Group 3 |
|------------------|---------|---------|---------|
| ln OP$^+$$_{2006}$ | 9.43 | 0.91 | -10.26 |
| ln OP$^-$$_{2006}$ | 5.16 | 0.31 | -4.73 |
| ln MCAP$_{2006}$ | 7.58 | 1.07 | -8.63 |
| [ln MCAP$_{2006}$]$^2$ | 6.80 | 1.10 | -8.55 |
| ln SALE$_{2006}$ | 9.94 | 1.23 | -10.03 |
| [ln SALE$_{2006}$]$^2$ | 8.77 | 0.77 | -10.53 |
| AT | 1.99 | -2.47 | -1.00 |
| BRIC | 1.39 | -0.38 | -2.01 |
| EU | -2.16 | -0.93 | 3.00 |
| Japan | 3.06 | -0.23 | -3.95 |
| RoW | 0.91 | 0.91 | -2.53 |
| USA | -1.23 | 0.90 | 0.32 |
| THE | 0.67 | 1.26 | -1.99 |
| SCS | -4.77 | -0.84 | 4.76 |
| PBT | -1.82 | 1.08 | 0.65 |
| HCE | 4.49 | -1.81 | -4.59 |
Obs. | 161 | 161 | 161 |
Notes:
Groups of equal size were created using distribution of the continuous treatment variable, R&D intensity. Table entries are t-values of the test for the equal means between observations belonging to a particular group and those observations that do not belong to this group.
Table 5: Cell size for testing the balancing property of GPS
| | Group 1 | Control 1 | Group 2 | Control 2 | Group 3 | Control 3 |
|------------------|---------|-----------|---------|-----------|---------|-----------|
| Block 1 | 31 | 185 | 31 | 93 | 28 | 212 |
| Block 2 | 30 | 50 | 31 | 52 | 27 | 39 |
| Block 3 | 30 | 24 | 30 | 60 | 27 | 18 |
| Block 4 | 30 | 19 | 31 | 36 | 27 | 25 |
| Block 5 | 31 | 12 | 31 | 47 | 27 | 12 |
| Total | 152 | 290 | 154 | 288 | 136 | 306 |
Notes:
The block size of each treatment group is held approximately the same. For each group it is determined by quintiles of the estimated GPS.
Table 6: GPS-adjusted balancing properties of covariates
| | Group 1 | Group 2 | Group 3 |
|------------------|---------|---------|---------|
| ln OP$^+$$_{2006}$ | 1.28 | 0.47 | -1.08 |
| ln OF$_{2006}$ | 1.05 | -0.59 | 0.60 |
| ln MCAP$_{2006}$ | 1.28 | 0.48 | -1.06 |
| [ln MCAP$_{2006}$]$^2$ | 1.01 | 0.72 | -1.16 |
| ln SALE$_{2006}$ | 1.36 | 0.43 | -1.62 |
| [ln SALE$_{2006}$]$^2$ | 0.98 | 0.44 | -1.60 |
| AT | -1.00 | -1.00 | 1.00 |
| BRIC | 1.41 | -1.42 | -1.42 |
| EU | -0.74 | -0.04 | 0.06 |
| Japan | 0.28 | -0.24 | -0.10 |
| RoW | 0.39 | 0.73 | -2.84 |
| USA | 0.51 | -0.20 | 0.52 |
| THE | -0.15 | 0.31 | 1.52 |
| SCS | -0.69 | -1.33 | 0.55 |
| PBT | -0.12 | 1.97 | -0.66 |
| HCE | 1.16 | -0.68 | -2.84 |
| Obs. | 152 | 154 | 136 |
Notes:
Table entries are t-values of the test for the equal means between observations belonging to a particular group and those observations that do not belong to this group, accounting for GPS.
Table 7: Regression results
| | GPS: second-step regression, Equation (3) |
|------------------|------------------------------------------|
| | Coef. | S.E. | T-stat. | P-val. |
| Incpt | 7.242 | 0.289 | 25.088 | 0.000 |
| ln $r$ | 0.488 | 0.171 | 2.862 | 0.004 |
| [ln $r$]$^2$ | 0.430 | 0.097 | 4.425 | 0.000 |
| [ln $r$]$^3$ | -0.145 | 0.025 | -5.908 | 0.000 |
| $s$ | 6.708 | 0.946 | 7.095 | 0.000 |
| ln $r * s$ | -5.485 | 0.593 | -9.246 | 0.000 |
| $\sigma^2$ | | | | |
| $R^2$ | | | | |
| Obs. | 442 | | | |
| SIC | 259.36 | | | |
| PANEL | ICB3 | (A) High-tech | (B) (High+Med+High)-tech | (C) All | (D) High-tech |
|-------|------|---------------|--------------------------|--------|--------------|
| | Coef. S.E. P-val. | Coef. S.E. P-val. | Coef. S.E. P-val. | Coef. S.E. P-val. | Coef. S.E. P-val. |
| Incept | 6.675 0.506 0.000 | 8.805 0.376 0.000 | 9.286 0.354 0.000 | Incept 9.502 0.546 0.000 |
| $\ln r$ | 0.430 0.182 0.019 | 0.544 0.181 0.003 | 0.634 0.170 0.000 | $\ln r$ -1.943 0.253 0.000 |
| $[\ln r]^2$ | 0.467 0.100 0.000 | -0.031 0.039 0.432 | -0.097 0.032 0.002 | $[\ln r]^2$ 0.479 0.136 0.000 |
| $[\ln r]^3$ | -0.149 0.025 0.000 | -0.081 0.022 0.000 | -0.092 0.021 0.000 | $[\ln r]^3$ -0.132 0.031 0.000 |
| $s$ | 17.562 7.142 0.014 | 2.497 5.282 0.637 | -1.439 5.231 0.783 | $s$ -0.418 0.767 0.586 |
| $s^2$ | -50.613 32.563 0.121 | -5.032 23.116 0.828 | 10.484 23.951 0.662 | $s^2$ -0.554 0.301 0.066 |
| $s^3$ | 67.447 44.330 0.129 | 4.802 29.761 0.872 | -15.943 32.191 0.621 | $s^3$ -0.068 0.033 0.038 |
| $\ln r * s$ | -5.510 0.505 0.000 | -2.858 0.446 0.000 | -2.822 0.429 0.000 | $\ln r * \ln s$ -0.517 0.079 0.000 |
$\sigma^2$ 1.677 1.738 1.689 1.829
$R^2$ 0.402 0.205 0.153 0.348
Obs. 442 771 818 442
SIC 269,080 471,390 474,400 307,450
|
Saline-alkali migration in soda saline soil based on sub-soiling technology
Jun Yuan, Weizhi Feng, Xingming Jiang, Jingli Wang*
College of Engineering and Technology, Jilin Agricultural University, Changchun, 130118, China, email: firstname.lastname@example.org (J. Wang)
Received 22 October 2018; Accepted 15 January 2019
A B S T R A C T
Objective: To study the saline-alkali migration law of soda saline-alkali soils based on sub-soiling technology, improve the soil quality of soda saline-alkali agricultural area, and provide scientific basis for the construction of high and stable yield fields of crops in soda saline-alkali soils. Based on the unsaturated soil water movement theory and the convection-dispersion theory of solute transport in porous media, a single-parameter and two-parameter model of saline-alkali transport was constructed to analyze the distribution of saline-alkali concentration in soil layer under the depth of soil layers. Saline-alkali data were taken from four soda saline-alkali soils in different periods under sub-soiling tillage. The experimental data of soil saline-alkali content were obtained, and the law of saline-alkali migration was analyzed. When the depth was 60 cm, the content of saline-alkali in the soil before breaking the plough bottom was 0.4%, and the content of saline-alkali was 0.35% after breaking the plough bottom with sub-soiling technique. It can be seen that sub-soiling technique can promote saline-alkali infiltration and reduce the content of saline-alkali in the planting soil layer. The average water content of the soil layer was 25.4%, which is significantly higher than that of the sub-soiled soil. The soil salinity and alkali content in 100 cm depth layer decreased by 30.8%, and that in 40 cm depth layer decreased by 57%. The salinity and alkali content in different regions showed that the soil salinity and alkali content in the soil decreased by 30.8%. Saline-alkali data from different regions show that due to sub-soiling, salt-alkali in the soil moves upward, salt-alkali in the lower part of crop roots moves outward, and salt-alkali in the soil moves away from the crop root zone; between 0 and 50 cm under the soil, the content of soil salt and alkali is from small to large, forming a desalination area of saline-alkali content. Sub-soiling tillage makes 0–30 cm layer soil desalination rate reach 83.5%; the soil salt removal rate of 0–60 cm layer reached 79.9%. The effect of sub-soiling on soil salinity is less than 1.634% of the initial value.
Conclusion: sub-soiling technology can effectively reduce saline alkali content and increase crop yield in soda saline alkali soil.
Keywords: Sub-soiling technology; Saline-alkali soil; Salt and alkali transport; Law; Mathematical model; Drip irrigation infiltration
1. Introduction
Alkaline earth is a kind of soil widely existed on the earth. It is also an important land resource. At present, there are about 1 billion hectares of saline-alkali soils in the world, and about 100 million hectares in China. The area of soda-alkali land in Songnen Plain alone is 3.8 million ha, which is one of the three major soda-alkali areas in the world [1]. Saline-alkali soil in China is mainly distributed on Songnen Plain and is a land resource with great development value. In the 1960s, China put forward that planting crops is an important way to improve saline-alkali soils and increase grain yield rapidly [2].
Omni-directional sub-soiling technology is one of the key popularization projects of the “Ninth Five-Year” Plan of the State Science and Technology Commission [3–6]. It has the ability to break the plough bottom, increase the active soil layer, effectively accept natural precipitation, reduce soil salt-alkali bulk density, and improve soil water storage and...
moisture conservation. It is one of the mechanized farming practices to improve soil quality and increase grain yield in soda saline-alkali agricultural areas [7]. The application of sub-soiling technology in saline-alkali areas can save irrigation water and improve water use efficiency. Therefore, sub-soiling technology is called soil reservoir project by farmers in the beneficiary areas [8].
Taking the soda saline-alkali area of a province as the experimental site, this paper carried out the corresponding experimental research aiming at the existing problems, distribution characteristics, and the impact on agricultural and animal husbandry production in the soda saline-alkali area, which can provide scientific basis for the construction of high and stable yield fields of crops in the soda saline-alkali area and provide scientific basis for the study of planting technology in the soda saline-alkali area [9–12]. At the same time, it has important theoretical and practical significance for promoting the implementation of grain production capacity strategy and ensuring food security in China.
2. Materials and methods
2.1. Mathematical model of salt and alkali transport
Assuming that the soil is homogeneous and isotropic, solute moves completely with water, ignoring dispersion and adsorption, and water flow follows Darcy’s law, an equivalent hemispheric model of point source solute for drip irrigation is proposed. It is based on Darcy’s law and water continuity equation, through a series of transformations and introducing dimensionless variables, the solute continuum equation and concentration equation can be obtained [13]. A hemispheric equivalent model was used to study the solute distribution near drip irrigation point source, saturated area and root adsorption [14].
Based on the unsaturated soil water movement theory and the convection and dispersion theory of solute transport in porous media, a mathematical model of solute transport in soda saline-alkali soils was established [15]. Under the assumption of homogeneous porous media and steady flow, when only the physical exchange process of soil is considered, the saline-alkali solute transport between soil pores obeys the convection–dispersion equation [16,17]. The three-dimensional axisymmetric transport equation is as follows:
\[
\frac{\partial(\theta C)}{\partial Z} = \frac{a}{\alpha r} \left( \theta D \frac{\partial C}{\partial r} + \theta D \frac{\partial a C}{\partial Z} \right) + \frac{1}{r} \left( \theta D \frac{\partial C}{\partial r} + \theta D \frac{\partial C}{\partial Z} \right) + \\
\frac{a}{\alpha Z} \left( \theta D \frac{\partial C}{\partial Z} + \theta D \frac{\partial C}{\partial r} \right) - \left( \frac{\alpha q_r C}{\alpha r} + \frac{q_r C}{r} + \frac{\alpha q_z C}{\alpha Z} \right)
\]
(1)
\(C\) is the concentration of soil saline-alkali solute; \(q_r\) and \(q_z\) are the radial and vertical components of soil water flux; \(D\) and \(Z\) are the hydrodynamic dispersion coefficients; \(\theta\), \(\alpha\), and \(r\) are the components of the hydrodynamic dispersion coefficient tensor.
The vertical one-dimensional water infiltration model is composed of the following formula:
\[
q_r = \frac{K_s}{1 - e^{-\theta}}
\]
(2)
\[
\theta = \frac{q(z_r)(K - q(z))e^{-\theta}}{K_s}
\]
(3)
\[
I = \int_0^z (0 - \theta_r) DZ
\]
(4)
Here \(Z\) is the depth of the soil, \(K\) is the salt content of the soil surface, and \(I\) is the cumulative infiltration [18]. According to the test, the measured value is basically consistent with the calculated value, only in the humidity peak, does not affect the judgment. The single parameter model of saline-alkali migration is:
\[
C = C_0 \times e^{-uz}
\]
(5)
Here \(C\) is the concentration, while \(C_0\) is \(z = 0\), \(u\) and \(V\) are the parameters, and the two-parameter model of salt transport is as follows [19]:
\[
C = C_0 \times e^{A(z^2 + B)}
\]
(6)
Here \(A\) and \(B\) are soil parameters. The above model shows the distribution of saline-alkali concentration of soil solution with soil depth at any time. The measured values are in good agreement with the theoretical values, which can well reflect the law of soil saline-alkali concentration movement [20].
2.2. Soil conditions
The experimental site is selected in a county, which is one of the famous poor eight counties. The land is all soda saline-alkali soils of different degrees. Soil salinity ranged from 0.2% to 0.6%, and shallow groundwater salinity ranged from 2.0 to 10.0 g/L [19]. Soil and groundwater salinity were mainly composed of chloride-sodium-magnesium type, as detailed in Table 1.
The soil density of 0–60 cm was 1.39 g cm\(^{-3}\), the field water holding rate was 21.9%, the pH value was 8.4, and the total salt was 3.58%. The test plot was well water irrigation. The soil particle composition of 0–30 cm is shown in Table 2. Soil organic matter content of 0–30 cm was 0.934%, total nitrogen was 0.038%, total phosphorus was 0.141%, alkali-hydrolyzed nitrogen was 33.3 mg kg\(^{-1}\), available phosphorus was 9.8 mg kg\(^{-1}\), and available potassium was 245 mg kg\(^{-1}\), indicating that soil fertility was not very low [21,22]. Salt content is high and belongs to heavy saline-alkali soil. The content of coarse sand and fine sand is higher, which belongs to silty loam [23].
2.3. Methods
The experiment is divided into four parts, namely, four treatments:
A: The first plot of land is 2.2 mu. The plough bottom is broken by sub-soiling technique. The plough is shallowly plowed 18 cm in front. The depth of sub-soiling is 10 cm
Table 1
Laboratory soil analysis results
| Depth (cm) | Texture | pH | Salt content (%) | Organic matter (%) | Hydrolytic nitrogen (ppm) | Available phosphorus (ppm) | Capacity (g cm⁻³) | Permeability coefficient (K) |
|------------|-------------|------|------------------|--------------------|----------------------------|----------------------------|-------------------|-----------------------------|
| 0–10 | Light loam | 7.4 | 0.26 | 0.74 | 48.6 | 8.8 | 1.38 | 12.24 |
| 10–20 | Light loam | 7.4 | 0.19 | 0.72 | 47.8 | 8.8 | 1.42 | 12.38 |
| 20–40 | Light loam | 7.2 | 0.18 | 0.46 | 40.6 | 6.4 | 1.41 | 8.86 |
| 40–60 | Sandy loam | 7.4 | 0.18 | 0.41 | 26.4 | 2.3 | 1.26 | 16.77 |
| 60–100 | Medium loam | 7.6 | 0.28 | 0.26 | 20.1 | 4.6 | 1.42 | 10.44 |
Table 2
Soil particle composition
| Particle size/mm | Content/% |
|------------------|-----------|
| 1–0.25 | 0.46 |
| 0.25–0.05 | 14.98 |
| 0.05–0.01 | 37.2 |
| 0.01–0.005 | 9.1 |
| 0.005–0.001 | 38.56 |
and the total is 28 cm. After the sub-soiling, the amount of crushed wheat straw is 150 kg mu⁻¹. After leveling and plowing, cotton was planted on April 25th.
B: The second acre is 30 mu. Shallow ploughing, sowing cotton on April 25th, deep interplanting on June 14th, the depth is 25 cm.
C: The third acre is 1.7 mu. Deep ploughing 25 cm on April 24th; leveling and raking, and sowing cotton on April 25th.
D: The fourth acre is plots of 20 mu, as the control plot.
In the above four treatments, water is uniformly distributed before planting and uniform planting is done, and field management is the same. During the experiment, four saline-alkali soils were sampled in different periods, and the experimental data of soil salinity and alkali content were obtained.
3. Results
3.1. Promoting saline-alkali infiltration
As a result of breaking the plough bottom, A, B, and C all have the effect of promoting precipitation infiltration, reducing surface runoff. The influence of sub-soiling on precipitation infiltration can be seen in Table 3. From the table, the infiltration amount on July 24 is 80.8 mm, July 30 is 74.7 mm, August 14 is 68.6 mm, and the infiltration rate is 100%. Under the condition of water shortage, increasing the amount of rainfall infiltration is of great significance. The amount of saline and alkali in the soil during summer rainfall, with the rainfall infiltration, the rainfall infiltration is more and more deep; the corresponding salt infiltration is also deep. According to the calculation process of the salt and alkali transport model in this paper, using sub-soiling technology to break the distribution of saline and alkali before and after the plough bottom as shown in Figs. 1 and 2.
As can be seen from Figs. 1 and 2, when the depth is 60 cm, the content of saline-alkali in the soil was 0.4% before breaking the plough bottom, 0.33% after breaking the plough bottom with sub-soiling technology, 0.42% before breaking the plough bottom, and 0.35% after breaking the plough bottom with sub-soiling technology. Therefore, sub-soiling technology can promote salt-alkali infiltration, reduce the salt-alkali content of planting soil layer, and improve crop yield.
3.2. Inhibition of spring reverses salinization
The law of saline-alkali migration in soil is as follows: saline-alkali comes with water, saline-alkali goes with water, and saline-alkali stores after water desalination [24]. According to the characteristics of water movement in this area, spring is the peak season for returning salt and alkali. The average soil water content of treatment A was 23.4%, which was significantly higher than that of other plots. Because of more water infiltration and less increase, the amount of saline-alkali in soil is also significantly lower than that in other plots. The distribution of saline-alkali in
Table 3
Effect of sub-soiling on rainfall infiltration (mm)
| Handle | A | B | C | D |
|-------------------------|------|------|------|------|
| July 24th (precipitation 80.8) | | | | |
| Infiltration quantity (%) | 80.8 | 80.8 | 80.8 | 66.7 |
| July 30th (precipitation 74.7) | | | | |
| Infiltration quantity (%) | 74.7 | 68.0 | 74.7 | 50.9 |
| August 14th (precipitation 68.6) | | | | |
| Infiltration quantity (%) | 68.6 | 56.4 | 64.4 | 59.8 |
different treatments is as shown in Fig. 3. When the depth is 40 cm, the amount of saline-alkali in soil treated by A is 0.25%, which is significantly higher than that of 0.3%, 0.35%, and 0.38% in other treatments. It can be seen that the sub-soiling technology enhances the soil water resistance and suppresses the salt and alkali in spring. The water barrier effect of the deep soil is shown in Table 4.
### 3.3. Soil salinization after sub-soiling cultivation
Soil salinity and alkali were selected according to the network distribution. Nine profiles were selected, each of which was 1 m deep and six layers were sampled [25]. The distribution of soil salinity and alkali is shown in Table 5. From Table 5, it can be seen that 0–5 cm soil salinity is the highest in barren saline-alkali soils, and 5–15 cm soil salinity is lower than that in the upper layer. This is due to the evaporation of water into the surface layer, 15–25 cm, 25–40 cm soil salinity changes in different points, some section points than the upper layer increased, and some decreased. The soil salinity and salinity decrease from the upper level, indicating that 40 cm above is the saline-alkali active layer under natural conditions. Soil analysis was carried out before and after harvest, and salt depth data at different depths are shown in Table 6.
Because of the fine soil particles about 40 cm from the ground, the soil porosity is small, and the soil moisture content is low, which prevents the water and salt from moving down, the soil salinity above 40 cm in the barren saline-alkali soils is higher than that in the lower layer. As a result of sub-soiling, soil boundary evaporation conditions changed, sub-soiling blocked the air–soil interface, greatly reducing surface evaporation, cutting off the source of saline-alkali ascent, while continuous irrigation of crops leaching down the saline-alkali. Table 6 shows that 1 year after sub-soiling, soil salt began to accumulate below 60 cm apart, which alleviates the harm of salinization to crop roots.
| Depth (cm) | Handle | 0–20 | 20–40 | 40–60 | 60–100 | Average |
|------------|--------|------|-------|-------|--------|---------|
| A | | 18.4 | 24.1 | 25.2 | 26.2 | 23.4 |
| B | | 19.1 | 22.4 | 23.4 | 24.4 | 22.3 |
| C | | 18.6 | 21.8 | 22.6 | 23.8 | 21.7 |
| D | | 18.7 | 21.2 | 22.1 | 23.4 | 21.3 |
Table 5
Saline alkali soil content in abandoned land
| Section number | 0–5 cm | 5–15 cm | 15–25 cm | 25–40 cm | 40–60 cm | 60–100 cm |
|----------------|--------|---------|----------|----------|----------|-----------|
| 1 | 3.4 | 2.78 | 2.98 | 3.01 | 2.4 | 1.53 |
| 2 | 4.52 | 3.19 | 3.21 | 3.15 | 2.41 | 1.43 |
| 3 | 2.83 | 2.51 | 3.32 | 3.44 | 2.71 | 1.55 |
| 4 | 6.18 | 2.65 | 3.71 | 3.63 | 2.77 | 2.41 |
| 5 | 4.8 | 3.46 | 3.37 | 3.19 | 3.28 | 1.85 |
| 6 | 4.39 | 3.24 | 3.17 | 2.69 | 1.98 | 1.33 |
| 7 | 3.62 | 2.07 | 2.24 | 1.87 | 2.25 | 1.41 |
| 8 | 4.33 | 2.91 | 2.53 | 2.61 | 2.17 | 0.98 |
| 9 | 3.63 | 2.05 | 2.19 | 2.61 | 2.18 | 1.62 |
Table 6
Soil salinity and salinity after 1 year of sub-soiling cultivation
| Soil depth, cm | Uncultivated land | 1 year after sub-soiling cultivation |
|----------------|-------------------|-------------------------------------|
| 0–5 | 4.19 | 2.17 |
| 5–15 | 2.76 | 1.57 |
| 15–25 | 2.97 | 1.28 |
| 25–40 | 2.91 | 0.89 |
| 40–60 | 2.46 | 0.54 |
| 60–100 | 1.56 | 2.35 |
3.4. Soil total salt and alkali change in farming layer and root activity layer
According to the mathematical model of saline-alkali transport, the total saline-alkali content in 100 cm depth layer decreased by 30.8%, and that in 40 cm depth layer decreased by 57%. After 1 year of sub-soiling improvement, the salinity and alkalinity of soil tillage layer and root active layer decreased obviously, the distribution, density, and depth of soil salinity and alkali were shown in Table 7. It can be seen that with the depth of soil salinity gradually decreased, alkali content decreased, soil density increased, indicating that sub-soiling technology effectively improved the quality of saline-alkali soils.
3.5. Law of soil salt and alkali transport during sub-soiling
The soil for the sub-soiling test plot is taken from the earth, and the depth of the soil is 0–40 cm. The distribution of salt and alkali in the four tests is shown in Figs. 4 and 5. As can be seen from Figs. 4 and 5, the soil salinity in area 1 is the highest, followed by area 2, and the salinity content in areas 3 and 4 is the lowest. The amount of alkali decreased, indicating that the middle salt and alkali migrated upward, and finally increased after irrigation, indicating salt accumulation.
Relative to area 1, the content of salt and alkali under seedlings (regions 2, 3, 4, and 5) was less. Before irrigation on July 21, the content of salt and alkali in the surface soil was higher. After irrigation, the salt and alkali in the soil under seedlings moved down, and the salt and alkali in the surface soil decreased. Because of sub-soiling, salt and alkali in the lower part of crop roots migrate outward, creating a good water and salt environment for crop root growth area, conducive to growth, reducing the degree of salt and alkali damage to crops. From the total salinity of the whole section, the total salinity of the soil changed little after the first irrigation and the last irrigation; which indicated that the salinity in the soil moved in the soil, but because of the regulation of sub-soiling, the salinity and alkali were far away from the root area of crops, and the crops could grow normally.
3.6. Vertical migration of saline-alkali soil under sub-soiling conditions
Under the condition of sub-soiling, the saline-alkali in the soil is transported vertically by water leaching. At first, a desalination-alkali area is formed under the effluent dripper, then a saline-alkali accumulation area is formed under it, and a high salinity-alkali area is formed near the wetting peak. The saline-alkali content of the area is higher than the initial salinity-alkali content of soda saline land. Soil salinization under sub-soiling conditions is shown in Table 8.
Table 7
Soil salinity distribution density and depth of soil layer
| Depth of each layer | Salt and alkali content in first year/% | Salt and alkali content in second year/% | Soil density/(g cm⁻³) |
|---------------------|----------------------------------------|------------------------------------------|----------------------|
| 5 | 4.19 | 2.17 | 1.18 |
| 10 | 2.76 | 1.57 | 1.258 |
| 15 | 2.97 | 1.28 | 1.3 |
| 20 | 2.91 | 0.89 | 1.35 |
| 30 | 2.46 | 0.54 | 1.5 |
| 40 | 1.56 | 0.35 | 1.5 |
The analysis Table 8 shows that due to sub-soiling, between 0 and 50 cm below the soil, the content of saline-alkali changes from small to large, forming a desalination zone of saline-alkali content and increasing a small part of saline-alkali content at 50 cm. The experiment of cotton cultivation with sub-soiling technique on soda saline-alkali soils for 3 years (2011–2013) made the desalination rate of 0–30 cm layer soil reached 83.5%, and that of 0–60 cm layer soil reached 79.9%.
Under the same irrigation rate and initial soil water content, the vertical distance of desalination zone decreases with the increase of dripper discharge, which is not conducive to the formation of desalination zone for normal growth of crops. Under the same dripper flow rate, the vertical distance of desalination zone increases with the increase of dripper flow rate, which indicates that sub-soiling technology is beneficial to vertical salt compression. Under the same irrigation rate and dripper discharge, the vertical distance of desalination zone decreases with the increase of initial soil water content.
Because the infiltration capacity of soda saline-alkaline soil is relatively small, the soil cultivated by sub-soiling technology often produces surface water near emitter, so that the horizontal movement rate of soil moisture is greater than the vertical movement rate, and the horizontal movement rate of soil salinity-alkali is greater than the vertical movement rate. The distance of desalting alkali is larger than that of vertical desalting.
### 3.7. Saline-alkali infiltration of drip irrigation under sub-soiling conditions
After the infiltration of drip irrigation under sub-soiling condition, the wetting body was cut longitudinally with a diameter of the emitter as the origin. The wetting body was measured by TYPE-HH2 soil moisture meter at the horizontal and vertical wetting front on the positive plane of XOY (X-axis right positive, Y-axis vertical positive) with the emitter as the center. The salinity should be replaced by electrical conductivity [26]. Soil salinity and alkali migrate along the radial direction with the radial migration of water, so during the process of point source drip irrigation infiltration, the salinity and alkali accumulate near the wetting front, and the soil near the emitter is gradually in the process of desalination. For saline-alkali soil, drip irrigation also meets the requirement of desalt and alkali [27]. Therefore, irrigation not only completes the task of soil water supply but also keeps the salinity and alkali in root zone below the critical level of crops. The three-dimensional change of water content in drip irrigation leads to the corresponding three-dimensional movement of saline-alkali. In this way, the movement of saline-alkali has its specific law [28].
Fig. 6 is a contour map of electrical conductivity of 1/4 section of wetting body after 0 h of drip irrigation center
| Time | 0–30 | 30–60 | 60–100 | 0–60 |
|------|------|-------|--------|------|
| 2010 | 29.08| 23.72 | 12.22 | 26.41|
| 2011 | 13.52| 17.62 | 12.32 | 15.57|
| 2012 | 5.04 | 7.56 | 9.19 | 6.29 |
| 2013 | 4.79 | 5.82 | 8.75 | 5.32 |
| Cumulative desalination rate (%) | 83.5 | 75.51 | 46.12 | 79.93|
after infiltration, the unit is ms cm$^{-1}$. It can be seen that the saline-alkali content of the soil near the emitter is obviously lower than the initial saline-alkali content after water infiltration and leaching. The farther away from the emitter, the saline-alkali content increases faster until the conductivity reaches the maximum at the wetting front. There are obvious salting out areas and saline-alkali areas, and the shape of the salt and alkali area is similar to that of the ellipsoid.
Under certain water content, there is a linear relationship between soil bulk conductivity and soil solution conductivity, so the soil bulk conductivity can be directly used to determine the spatial and integration of salt and alkali. The variation trend of horizontal wetting radius and vertical stratification (5 cm) of drip irrigation center (0 point) at the end of infiltration under the condition of sub-soiling is shown in Figs. 7 and 8.
It can be seen from Fig. 7 that the soil conductivity of each infiltration velocity (1.0, 2.0, and 3.0 L h$^{-1}$) is lower than 5 ms cm$^{-1}$ when the horizontal distance is 10 cm, the infiltration velocity (1.0, 2.0, and 3.0 L h$^{-1}$) is lower than 5.5 ms cm$^{-1}$ when the horizontal distance is 10 cm, and the horizontal distance is 1.40. This indicates that the salinity of the horizontal distance is relatively low.
As can be seen from Fig. 8, when the average ratio of vertical penetration depth $\gamma = 1.35$, when the vertical depth is 4 cm, the soil conductivity of each infiltration velocity (1.0, 2.0, and 3.0 L h$^{-1}$) is lower than 5 ms cm$^{-1}$, when the average ratio of vertical penetration depth $\gamma = 1.4$, and when the vertical depth is 4 cm, the soil conductivity of each infiltration velocity (1.0, 2.0, and 3.0 L h$^{-1}$) is lower than 6 ms cm$^{-1}$. It can be seen that the vertical salinity is larger.
As can be seen from Figs. 7 and 8, both horizontal and vertical salinity decreases with increasing distance from the point source, and most of the wetting bodies are in a desalination state. In the process of drip irrigation, under the soil surface, salinity and alkali gradually diffuse away from the point source with the water, and finally accumulate at the edge of the wet soil. The soil salinity is the lowest in the vicinity of emitter, and the salinity increases with the distance from the emitter. The contour distribution of soil salinity and alkali is similar to that of soil moisture, but it is not as regular as that of wetting front. The variation of salt-alkali content in surface soil is the greatest in the process of infiltration, and the influence of infiltration boundary conditions is the most obvious. The horizontal wetting radius under the emitter is the largest, and the vertical distribution of salt-alkali is the most prominent. After 4 L infiltration, the horizontal and vertical desalination and alkali removal at different infiltration velocities (1.0, 2.0, and 3.0 L h$^{-1}$) are shown in Table 9.
Contrasting with Table 9, Figs. 7 and 8, it can be seen that in the infiltration process under sub-soiling conditions, the salinity and alkali diffuse gradually along the direction of water away from the point source, and finally accumulate at the edge of the wet soil. After irrigation, the soil salinity and salinity in each horizontal direction were less than 1.634% of the initial value. Soil salinity and alkali content were lower in the treatment with smaller dripper discharge and lower in the treatment with larger dripper discharge than in the treatment with larger dripper discharge. There was a negative correlation between soil salinity and emitter discharge. This is because saline and alkali in soils exist in soil solutions, colloidal particles and soils by dissolution, adsorption and solids, respectively [29]. If the soil moisture content is relatively low, it exists as a soluble form in the soil, and the saline-alkali in the soil mainly exists in small capillaries. The saline-alkali adsorbed on the colloidal particles in the form of adsorption is surrounded by smaller capillaries. If there is solid saline, the same proportion is mostly found in fine capillary tubes. Therefore, only when the infiltration water moves in the fine capillary can the salt and alkali move down at higher efficiency. According to the capillary management theory of soil moisture and solute transport, when the dripper discharge is large, that is, when the water supply intensity is large, the water moves in the soil capillary under the action of gravity, and the water in the small capillary is relatively immobile, at this time the salt and alkali in the soil are not easily leached [30]. Therefore, the efficiency of leaching water is relatively low. Far away from the emitter, the reason why the soil salinity and alkali content in the treatment with large emitter discharge is smaller is that the area of accumulated water is larger and the surface soil salinity and alkali are more sufficient.
With the increase of dripper discharge, the depth of saline-alkali accumulation decreases in turn, which is due to the lower efficiency of treating leaching water with larger dripper discharge. On the other hand, the larger the surface water area formed by the larger dripper discharge, the faster the increase of soil water content in horizontal direction, the weaker the vertical hydraulic conductivity, and the lower the vertical hydraulic conductivity. The vertical washing effect of irrigation water is low.
Table 9 shows that the average ratio of horizontal desalination radius to horizontal wetting radius was 0.863 at 1.35 g cm\(^{-3}\) and 0.853 at 1.40 g cm\(^{-3}\). The average ratio of vertical desalination depth to vertical infiltration depth was 0.655 at 1.35 g cm\(^{-3}\) and 0.658 at 1.40 g cm\(^{-3}\). It can be concluded that the horizontal desalination is faster than the vertical desalination under sub-soiling condition.
4. Discussion
Sub-soiling technology is the basic technology to improve soda saline-alkali soils. Understanding the saline-alkali transport law of soda saline-alkali soils based on sub-soiling technology is the basis of studying the crop cultivation in saline-alkali soils [31,32].
- The variation laws of surface wetting radius and horizontal wetting radius are similar, showing a power function relationship.
- Under the condition of sub-soiling, the wetting body formed by point source infiltration under drip irrigation is a semi ellipsoid. The larger the dripper discharge, the flatter the ellipsoid; with the increase of irrigation time, the wetting body is close to the hemisphere, and the distribution of salt and alkali is consistent with the distribution of wetting body [33].
- Under the condition of sub-soiling, the horizontal salinity of wetting area increases with the increase of dripper flow rate, while the longitudinal salinity decreases with the increase of dripper flow rate. With the increase of
Table 9
Depth table for drip irrigation infiltration and dehydration under sub-soiling condition
| Capacity (g cm\(^{-3}\)) | 1.35 | – | – | 1.45 | – | – |
|---------------------------|------|-----|-----|------|-----|-----|
| Drip irrigation flow (L h\(^{-1}\)) | 1.0 | 2.0 | 3.0 | 1.0 | 2.0 | 3.0 |
| Horizontal wetting radius \(R\) (cm) | 1.71 | 17.8| 18.1| 17.2 | 17.8| 18.0|
| Vertical infiltration depth \(H\) (cm) | 19.0 | 16.8| 15.2| 19.2 | 16.4| 15.0|
| Horizontal desalt alkali radius \(r\) (cm) | 14.8 | 15.2| 15.3| 15.2 | 15.3| 15.2|
| Vertical dehydration depth \(h\) (cm) | 10.8 | 11.1| 11.2| 11.3 | 10.8| 10.9|
| \(r/R\) | 0.865| 0.848| 0.845| 0.884| 0.860| 0.844|
| \(h/H\) | 0.568| 0.661| 0.737| 0.589| 0.659| 0.727|
Irrigation duration, both horizontal and vertical salinity increased, while both horizontal and vertical salinity decreased with the increase of distance from emitter [34]. However, the vertical axial salinity decreased faster than the horizontal salinity, and the farther away from the emitter, the greater the difference in salinity and alkali content; under different irrigation rates, the horizontal and vertical salinity and wetting velocity of soil wetting body gradually decreased with the increase of time, and the horizontal salinity-alkali wetting velocity was greater than the vertical salinity-alkali wetting velocity at the beginning [35–38]. With the increase of time, the vertical and horizontal wetting rates of salinity and alkali gradually approached; with the same irrigation amount at different dripper discharge, the horizontal diffusion radius and vertical infiltration depth of salinity and alkali increased with the increase of discharge, but the horizontal wetting front of salinity and alkali increased faster.
Soil salinity was lower in the area with lower dripper discharge and lower in the area with larger dripper discharge. There was a negative correlation between soil salinity and emitter discharge under the emitter. With the increase of emitter discharge, the depth of salt accumulation decreases. The surface soil salinity decreased with the increase of irrigation duration. The saline-alkali content of sub-soiled soil under emitter decreases with the increase of infiltration water, the leaching efficiency and salt-pressure depth of sub-soiled soil by infiltration water are in direct proportion to the irrigation duration.
5. Conclusions
Omni-directional sub-soiling is a fundamental measure to improve the productivity of soda saline-alkali soils. It is suitable not only for general or high-yielding saline-alkali soils but also for the improvement of medium and low-yielding soda saline-alkali soils. The application of sub-soiling technology in soda saline-alkali soils can break the plough bottom, deepen the tillage layer, and enhance the capacity of water storage and moisture conservation. Therefore, in irrigation, because the water source is sufficient, the soil can hold more water if the organism is short of water during the growing period, the water in the surface soil will also increase to supply the crops for growth, and will not cause grain yield reduction. The sub-soiling technique is suitable for the application in the cultivated land with thicker soil layer, but not in the thin soil layer or sandy soil. The use of sub-soiling technology benefits 3 years at a time, and then it is implemented after 3 years, so that the cycle is 5 years. Application time of sub-soiling technology: soda saline-alkali soil should be selected before the rainy season in July and August after harvest, and autumn crops should be timely sub-soiled after harvest in order to receive rain or winter irrigation in late September and October. It is not suitable to choose dry spring operations.
The law of saline-alkali migration in soda saline-alkali soil based on sub-soiling technology is studied in this paper.
- During the vertical saline-alkali movement under the condition of sub-soiling, with the increase of infiltration head, the depth of desalination zone, the position of saline-alkali content frontal value and the position of saline concentration frontal value also increase. These relations can be used to approximate estimate the depth of desalination zone, the position of salt-alkali content frontal value and the position of salt-alkali concentration frontal value according to the depth of wetting front, so as to guide production practice.
- The laws of saline-alkali transport in soda saline-alkali soils can reflect the general variation of soil salinity and alkali. The results show that the saline-alkali concentration increases with the increase of soil depth and the position of saline-alkali concentration front increases with the increase of infiltration duration.
- For the same wetting depth, the depth of desalination zone, the position of saline-alkali content front and the position of saline-alkali ion front deepened with the increase of accumulated infiltration, mainly because the saline-alkali and ions carried away by water increased with the increase of accumulated infiltration. For the same wetting depth, with the increase of cumulative infiltration, the depth and frontal value of salinity change little.
- The dripper discharge and irrigation amount also have great influence on the saline-alkali distribution in drip irrigation point source under sub-soiling condition. The contour distribution of soil salinity and alkalinity is similar to that of soil water content; under the same irrigation quota, with the increase of dripper discharge, the horizontal distance changes little and the vertical distance decreases; under the same dripper discharge and
irrigation amount, with the increase of bulk density of sub-soiled soil, the horizontal distance decreases. The horizontal distance of saline-alkali soils increases little while vertical distance decreases. Under the same dripper discharge and the same soil bulk density, the horizontal and vertical distances in the desalination zone increased with the increase of irrigation amount, which indicated that the increase of sub-soiled soil irrigation amount was beneficial to the formation of desalination zone for normal growth of crops and vertical salt pressure.
Acknowledgement
Research and development and achievement demonstration of key technologies for ecological treatment of soda saline-alkali land in Northeast China in special item of Research on restoration and protection of typical fragile ecology of National key Research and Development program.
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Bifurcation Phenomena in the Josephson Junction Circuit Coupled by a Resistor
Tetsushi UETA† and Hiroshi KAWAKAMI†, Members
SUMMARY Bifurcation phenomena observed in a circuit containing two Josephson junctions coupled by a resistor are investigated. This circuit model has a mechanical analogue: Two damped pendula linked by a clutch exchanging kinetic energy of each pendulum. In this paper, firstly we study equilibria of the system. Bifurcations and topological properties of the equilibria are clarified. Secondly we analyze periodic solutions in the system by using suitable Poincaré mapping and obtain a bifurcation diagram. There are two types of limit cycles distinguished by whether the motion is in $S^1 \times R^3$ or $T^2 \times R^2$, since at most two cyclic coordinates are included in the state space. There is a typical structure of tangent bifurcation for 2-periodic solutions with a cusp point. We found chaotic orbits via the period-doubling cascade, and a long-period stepwise orbit.
key words: Josephson junction, pendulum, frictional clutch, bifurcation, chaos
1. Introduction
A circuit containing a Josephson junction (abbr. JJ) element composes a singular state space since its differential equation includes a sinusoidal function of the state variable. From this strong nonlinearity the circuit containing JJ elements exhibit a rich variety of nonlinear phenomena. We have been investigated the phenomena observed in JJ circuits; many heteroclinic orbits in a circuit containing a JJ element and an linear inductor with a d.c. source [3], a strange periodic orbit called caterpillar solution in an inductively coupled JJ circuit [4]. It is also noteworthy that the equation of a JJ element can be interpreted as a pendulum. Thus it might be possible that a mechanical system with rotational variables is realized as a circuit containing JJ elements.
In this paper, we treat the resistively coupled circuit with two JJ elements. The mechanical analog of this system is represented by two pendula connected by a friction clutch. Each of the angular velocities affects interactively to the other pendulum through the clutch.
To analyze the bifurcation phenomena of the system, firstly we consider an invariant relationship and classify qualitative properties of equilibria in the system. Secondly we investigate bifurcation of periodic solutions by using the Poincaré mapping and obtain bifurcation diagrams. We clarify that there are two types of limit cycles which distinguished by whether the motion is in $S^1 \times R^3$ or $T^2 \times R^2$, since at most two cyclic coordinates are included in the state space. The former is a periodic solution and the latter is a quasi-periodic solution. We also clarify a typical structure of tangent bifurcation for 2-periodic solutions with a cusp point, chaotic orbits via the period-doubling cascade, and a long-period stepwise orbit.
Since this model can be considered as a simplest model which demonstrates the interactions between a rotational-energy supply and a load in mechanical systems, it is important to clarify the principal bifurcation structures of the periodic solutions observed in the model. It is interesting that the chaotic vibration is observed when the pendula are not perfectly in the clutch.
2. The JJ Circuit Coupled by a Resistor
Figure 1 shows the JJ circuit coupled by a resistor. It is obtained from the circuit discussed in Ref. [4] by using $R$ instead of $L$ as a coupling device. Assume that the current-voltage characteristic of a JJ element is described as:
$$i_J = I_C \sin \phi_i, \quad \frac{d\phi_i}{dt} = \frac{2e}{\hbar} v_i \quad i = 1, 2.$$
(1)
where, $I_C$, $e$, $\hbar$ are a threshold current associated with the tunnelling current, the electron charge and Dirac’s constant, respectively. $\phi$ is the phase difference of the wave function at the center of the junction plane. If $\phi$ is considered as magnetic flux, then the JJ element behaves as an nonlinear inductor which is controlled by the magnetic flux. Usually a nonlinear conductance is assumed for $G$. We treat it as a linear one for the sake of mechanical interpretation, global behavior of the system is, however, not changed by this assumption.
To normalize the equation, we define the following variables and parameters:
 The JJ circuit coupled by a resistor.
\[ k = \sqrt{\frac{\hbar}{2eI_CC}}G \]
\[ c = \sqrt{\frac{\hbar}{2eI_CC}}\frac{1}{R} \]
\[ B_0 = \frac{J}{I_C} \]
\[ \tau = \sqrt{\frac{2eI_C}{\hbar C}}t \]
\[ x_i = \phi_i \]
\[ y_i = \sqrt{\frac{2eC}{\hbar I_C}}v_i \] \hspace{1cm} (2)
where \( i = 1, 2 \). By rewriting \( \tau \) as \( t \), we have a four-dimensional autonomous differential equation:
\[
\begin{align*}
\frac{dx_1}{dt} &= y_1 \\
\frac{dy_1}{dt} &= -ky_1 - \sin x_1 - c(y_1 - y_2) + B_0 \\
\frac{dx_2}{dt} &= y_2 \\
\frac{dy_2}{dt} &= -ky_2 - \sin x_2 - c(y_2 - y_1).
\end{align*} \hspace{1cm} (3)
\]
System (3) can be regarded as parallel pendula connected by a friction clutch. \( k \) is interpreted as the coefficient of damping, \( c \) as frictional transmission constant, and \( B_0 \) as an input torque, see Fig.2. The input is directly applied to the primary pendulum \( P_1 \). By the clutch not only a part of kinetic energy of \( P_1 \) is transmitted to a secondary pendulum \( P_2 \), but also both kinetic energy of \( P_1 \) and \( P_2 \) affect each other. Thus \( c \to 0 \) (let out the clutch) means that two pendula are independent, i.e., the input drives only \( P_1 \), and then \( P_2 \) behaves as a simple pendulum without an input, at last rests in the origin. Otherwise, \( c \to \infty \) (let in the clutch) means that the \( P_1 \) and \( P_2 \) can be regarded as a single pendulum because both pendula are connected equivalently by a rigid rod.
There exists an invariant transformation in system (3):
\[
T : (x_1, y_1, x_2, y_2) \mapsto (x_1 \pm 2n\pi, y_1, x_2 \pm 2m\pi, y_2) \hspace{1cm} (4)
\]
where, \( n, m \) are integers. Equation (4) suggests that \( x_1 \) and \( x_2 \) can be added integral multiples of \( 2\pi \) independently, i.e., there exist two cyclic coordinates \( S^1 \times S^1 = T^2 \) in the system. It should be noted that the system is very different from the case of Ref. [4] upon two points: 1) the state space can include \( T^2 \), say, a coupling inductor constructs \( S^1 \times R^2 \), and a coupling resistor can construct not only \( S^1 \times R^3 \) but also \( T^2 \times R^2 \). 2) there are very few equilibria in this system at all values of the parameters. We consider the latter point in the following section.
### 3. Equilibria in the System
Equilibria of the system are obtained from Eq.(3):
\[
\begin{align*}
x_1 &= \begin{cases}
\text{Sin}^{-1}B_0 & y_1 = 0 \\
\pi - \text{Sin}^{-1}B_0 & y_1 = 0
\end{cases} \\
x_2 &= \begin{cases}
0 & y_2 = 0 \\
\pi, & y_2 = 0
\end{cases}
\end{align*} \hspace{1cm} (5)
\]
where, \( x_1, x_2 \) are in \([0, 2\pi)\). So we obtain a schematic diagram of the torus phase space for equilibria in \( x_1-x_2 \). See Fig.3.
In the system, there exist only three types of equilibria and at most four equilibria in the fixed parameters. Figure 3 also shows directions of solution flow with respect to each the equilibria on \( x_1-x_2 \) plane and Table 1 indicate the classification for stability of the equilibria. In Fig. 3, it is noted that \( _2O \) is regarded that each of the
**Fig. 2** Frictionally coupled pendula model.
**Fig. 3** Phase portrait of the system (3) in torus.
**Table 1** Classification of equilibria in Eq.(3).
| symbol | notation | topological property |
|--------|----------|----------------------|
| ● | \( _0O \) | completely stable |
| ○ | \( _1O \) | 1-dimensionally unstable |
| ○ | \( _1O \) | 1-dimensionally unstable |
| ○ | \( _2O \) | 2-dimensionally unstable |
pendula is on an unstable equilibrium (saddle point) simultaneously. Note also that $3O$ does not exist in this system.
The condition of the parameter region in which there exist equilibria is $|B_0| < 1$. $B_0 = 1$ is tangent bifurcation value of equilibria. In the other value of $B_0$, there exists no equilibrium and at least one limit cycle since the system is dissipative.
4. Bifurcation of Periodic Solutions
Equations (3) are rewritten as:
$$\frac{dx}{dt} = f(x) \quad (6)$$
where, $x = (x_1, y_1, x_2, y_2)$. Suppose that the solution of Eq. (6) is denoted by:
$$x(t) = \varphi(t, x_0), \quad x_0 = x(0). \quad (7)$$
We should notice that there is no periodic solution in $\mathbb{R}^4$ if $k \neq 0$. The periodic solution we called in this paper is a modified periodic solution defined in Ref. [5]:
$$\begin{align*}
x_1(t_0) &= x_1(0) + 2\pi \ell \\
y_1(t_0) &= y_1(0) \\
x_2(t_0) &= x_2(0) + 2\pi m \\
y_2(t_0) &= y_2(0)
\end{align*} \quad (8)$$
where $t_0 > 0$ is a period and $\ell \geq 1, m \geq 0$ are integers. This definition means that $P_1$ must rotate to generate a periodic solution. We classify periodic solutions with respect to their behavior of the motions as follows:
1. **(Type-I):** $P_1$ is winding around the circle $S^1 = \{0 \leq x_1 < 2\pi\}$, but $P_2$ is rolling about a constant angular. Thus the motion is in $S^1 \times \mathbb{R}^3$.
2. **(Type-II):** Each of the pendula is winding around the circle $S^1 \times S^1 = T^2$. The whole system behaves as quasi-periodic motion in $T^2 \times \mathbb{R}^2$.
Type-I solution evolves to chaos by changing the system parameters. In this paper, we mainly treat the bifurcation of this type of solutions. In the following we fix the system parameter $k$ as 0.2.
To calculate bifurcation parameter we define the Poincaré mapping $T$ and its section $\Pi$ as:
$$\begin{align*}
T : \Pi &\rightarrow \Pi \\
x &\mapsto \{\varphi(t_0, x) \mid x_1 - 2\pi, \\
&\quad \text{if } x_2 \geq 2\pi \text{ then } x_2 - 2\pi \\
&\quad \text{if } x_2 \leq 2\pi \text{ then } x_2
\end{align*} \quad (9)$$
where $t_0$ is the time of first return of the initial state $x$ to $\Pi$. Because all types of periodic solutions have at least an $S^1$ for $x_1$, we choose the Poincaré section as:
$$\Pi = \{x \in S^1 \times \mathbb{R}^3 \subset \mathbb{R}^4 : x_1 = 0\} \quad (10)$$
Thereby we can calculate the bifurcation values of the parameters by Newton’s method using $T$ and its derivatives.
Figure 4 shows bifurcation diagram of the system (3) in $B_0-c$ plane. The following properties are found:
1. $I^i, G^i, i = 1, 2$ indicate period-doubling and tangent bifurcation of the Type-I $i$-periodic solution, respectively. In the shaded region edged by $I^1$ and $G^1$, there exists stable periodic solution with the fixed point, $x_1$ winds around $S^1$ and $x_2$ tumbles around a constant angle, see Figs. 5(a-1), (a-2). One of 2-periodic orbits bifurcated by $I^1$ is shown in Figs. 5(b-1), (b-2).
2. Every solution bifurcated by $I^2$ evolves to chaos via period-doubling cascade. Figures 5(c-1), (c-2) show the chaotic orbit and the Poincaré mapping of the chaotic attractor.
3. In whole parameters, there exist quasi-periodic (Type-II) solutions. Figures 5(d-1) and (d-2) show the orbit and an invariant closed curve of the Poincaré mapping on the cylindrical phase space. As $c$ increases, the solution bind to a synchronized orbit.
4. $I^2$ curves are overhung each other by $G^2$ with a cusp point. In this region, we can observe coexistent 2-periodic and higher-periodic solutions. This is a typical structure of the higher-periodic bifurcation set.
5. The end-points of all bifurcation curves are caused by touching the homoclinic orbits. Also the chaotic orbits are frequently disappeared by meeting this global bifurcation and attracted into Type-II orbits.
6. The equilibrium is disappeared in $B_0 = 1.0$. Just
**Fig. 4** Bifurcation diagram for periodic solutions.
at this parameter, the orbit stopped at a stable equilibrium begins to start and approaches the neighborhood of the point in which the equilibrium exists originally. This orbit shown in Fig. 6 resembles Shil’nikov type homoclinic orbit, but this orbit is only a periodic solution because the manifolds of saddle-type equilibrium is also disappeared. It is interesting that the solution has a long period and a stepwise response.
7. Figure 7 illustrates the schematic bifurcation diagram. There exist chaotic orbits in the dark shaded region, however all of them are disappeared by homoclinic orbits by changing the parameter toward the center of the island edged by $I^2$. It is emphasized that a simple mechanical transmission can behave chaotically by controlling the clutch.
5. Conclusions
Some properties of system (3) are investigated. The results of this analysis compared with Ref. [4] suggests that the coupling element governs the structure of phase space without changing its order of the circuit equations. In the mechanical analog, we observe the chaotic vibrations in $S^1 \times R^3$ at typical value of the parameter, i.e., they are caused when the pendula are not perfectly in the clutch. Our future researches are as follows:
- to investigate the bifurcation diagram for higher-periodic solutions in detail. In case that $k$ is small, it might have more complex phenomena.
- to obtain the homoclinic orbits in this system. Particularly the relationship with disappearance of chaotic attractor is interesting.
Fig. 7 Schematic diagram of bifurcations. The sheets shown in the area edged by $G^2$ indicate the manifolds of 2-periodic orbits.
References
[1] F.C. Hoppensteadt, M. Levi, and W.L. Miranker, “Dynamics of the Josephson junction,” Proc. 1st Intl. Conf. on Generic Algorithms and Their Applications, 1985.
[2] M. Urabe, “The least upper bound of a damping coefficient ensuring the existence of a periodic motion of a pendulum under constant torque,” Journal of Science of the Hiroshima University, vol.3, 1955.
[3] T. Ueta and H. Kawakami, “Bifurcation of heteroclinic orbits in a circuit containing a Josephson junction element,” Trans. IEICE, vol.J76-A, no.10, pp.1450–1456, 1993.
[4] T. Ueta and H. Kawakami, “Bifurcation of an inductively coupled Josephson junction circuit,” IEICE Trans. Fundamentals, vol.E77-A, no.11, pp.1758–1763, 1994.
[5] M. Levi, “Beating Modes in the Josephson Junction,” Chaos in Nonlinear Dynamical Systems, In US Army Research Office, SIAM, pp.56–73, 1984.
Hiroshi Kawakami was born in Tokushima, Japan, on December 6, 1941. He received the B.Eng. degree from University of Tokushima, Tokushima, Japan, in 1964, the M.Eng. and Dr.Eng degrees from Kyoto University, Kyoto, Japan, in 1966 and 1974, respectively, all in electrical engineering. Presently, he is Professor of Electrical and Electronic Engineering, University of Tokushima, Tokushima, Japan. His interest is qualitative properties of nonlinear circuits. E-mail: firstname.lastname@example.org
Tetsushi Ueta was born in Kochi, Japan, on March 1, 1967. He received the B.E., M.E. in electrical and electronic engineering, and D.E. in information systems and mathematical engineering, University of Tokushima, Tokushima, Japan, in 1990, 1992 and 1996, respectively. Since 1992, he was been Research Associate of Information Science and Intelligent Systems, the University of Tokushima. His interest is bifurcation problems of dynamics. He is the member of IEEE and SICE. E-mail: email@example.com, URL: http://www-bi.is.tokushima-u.ac.jp/~tetsushi
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RESOLUTION NO. 20170926-16
A RESOLUTION AUTHORIZING EXECUTION OF A LINE OF CREDIT NOTE TO GUARANTY BANK & TRUST IN THE AMOUNT OF $1,500,000.00
WHEREAS, TexAmericas Center is a political subdivision of the State of Texas with the powers and authorities specified in Chapter 3503 of the Special District Local Laws Code of the State of Texas; and
WHEREAS, TexAmericas Center has an ongoing need to be able to facilitate economic development and job creation by providing incentives and providing for the construction and/or other acquisition of facilities necessary to create jobs; and
WHEREAS, TexAmericas Center has, for a number of years, maintained a line of credit facility with various local banking institutions to provide funding as needed; and
WHEREAS, it is necessary to extend the credit facility, which to date has not been used, and to bring the credit facility more in line with the fiscal year of TexAmericas Center for budgetary purposes;
NOW, THEREFORE, BE IT RESOLVED, by the Board of Directors of TexAmericas Center, that William Scott Norton, Executive Director/CEO shall be and he is hereby authorized to execute the Line of Credit Note in the amount of $1,500,000.00 in substantially the form as attached hereto; and
BE IT FURTHER RESOLVED that William Scott Norton, Executive Director/CEO shall be and he is hereby authorized to execute any and all other documents necessary to finalize the line of credit facility as may be required by Guaranty Bank & Trust.
PASSED and APPROVED this 26th day of September, 2017.
Boyd Sartin, Chairman of the Board
ATTEST:
Ben King, Secretary
Attached: Line of Credit Note
LOAN AGREEMENT
between
GUARANTY BANK & TRUST, N.A.
and
TEXAMERICAS CENTER
$1,500,000 LOAN
Dated as of September 26, 2017
LOAN AGREEMENT
This LOAN AGREEMENT (as amended, restated, supplemented and/or otherwise modified, this “Agreement”), dated as of September 26, 2017, is between GUARANTY BANK & TRUST, N.A. (the “Lender”), and TEXAMERICAS CENTER (the “Center”), an authority duly established and created pursuant to Chapter 3503, Texas Special District Local Laws, (the “Act”).
WITNESSETH:
WHEREAS, the Center has asked the Lender to make a loan in the form of a revolving line of credit to the Center for the purpose of financing working capital for the Center for its authorized purposes under the Act, such loan to be payable from the legally available revenues of the Center;
WHEREAS, the Lender is willing to make such loan to the Center, on the terms and conditions hereinafter set forth;
NOW, THEREFORE, in consideration of the premises and other good and valuable consideration and the mutual benefits, covenants and agreements herein expressed, the Lender and the Center agree as follows:
ARTICLE I
DEFINITIONS AND RULES OF CONSTRUCTION
Section 1.1 Definitions. The capitalized terms used in this Agreement shall have the following respective meanings unless the context otherwise requires:
Act - has the meaning ascribed to such term in the first paragraph hereof.
Agreement - has the meaning ascribed to such term in the first paragraph hereof.
Bond Counsel – Naman Howell Smith & Lee, PLLC.
Business Day - Any day, other than a Saturday, Sunday, or legal holiday, on which the offices of the Lender are not required or authorized by law or executive order to be closed.
Closing Date - The date that the Note is delivered to the Lender.
Center - has the meaning ascribed to such term in the first paragraph hereof.
Costs of Issuance - The costs and expenses incurred by the Center with respect to the authorization, execution and delivery of the Loan Documents and all documentation related thereto.
Event of Default - Unless waived in writing by the Lender, the occurrence of any of the following:
(a) the failure of the Center to make any of the Note Payments when due;
(b) the failure of the Center to comply with any other covenant, condition, or agreement under this Agreement, and the continuation of such failure for a period of thirty (30) days after the date that the Center acquired actual knowledge or written notice of such failure, which knowledge may take the form of notice specifying such failure given to the Center by the Lender;
(c) bankruptcy, insolvency, appointment of a receiver for, or the failure to discharge a judgment against, the Center;
(d) the violation of any representation or warranty made by the Center under Section 5.2 hereof; or
(e) the failure of the Center to perform any of its obligations under or comply with any provisions of this Agreement not described in (a) or (b) above or any other agreement with the Lender to which it may be a party or by which it is bound.
**Interest Payment Date** - The date interest payments are due on the Loan, as set forth in the Note.
**Lender** – Guaranty Bank & Trust, N.A., together with its successors and assigns.
**Loan** - The loan from the Lender to the Center made pursuant to this Agreement.
**Loan Documents** - Collectively, this Agreement, the Note, and the Resolution.
**Maximum Interest Rate** - The maximum rate of interest allowed under Chapter 1204, Government Code, as amended, but not to exceed the “applicable interest rate ceiling” as determined under Chapter 303 of the Texas Finance Code from time to time in effect.
**Note** - The promissory note of even date herewith (such promissory note, as the same may be renewed, extended, amended or otherwise modified from time to time) delivered pursuant to this Agreement in substantially the form attached hereto as Exhibit A, and any promissory note executed and delivered by the Center in replacement thereof or in substitution therefor.
**Note Payments** - The payments required by Section 2.3 to be made by the Center in payment of the principal of and interest on the Note.
**Principal Amount** - $1,500,000.
**Resolution** - The resolution of the Board of Directors of the Center authorizing the execution and delivery of this Agreement and the Note and any amendments or supplements thereto.
**State** - The State of Texas.
Section 1.2 **Interpretative Matters** Whenever the context requires:
(i) references in this Agreement of the singular number shall include the plural and vice versa; and
(ii) words denoting gender shall be construed to include the masculine, feminine, and neuter.
(b) The table of contents and the titles given to any article or section of this Agreement are for convenience of reference only and are not intended to modify the meaning of the article or section.
ARTICLE II
THE LOAN; REPAYMENT OF THE LOAN
Section 2.1 **Financing the Loan** Subject to the terms and conditions set forth in this Agreement, including without limitation the conditions set forth in Section 2.2, and for and in consideration of the payment by the Center of its obligations under this Agreement and the Note and the covenants and agreements herein contained, the Lender will, on the Closing Date, advance to and for the sole use and benefit of the Center an amount up to the Principal Amount for the exclusive purpose of providing funds to the Center to finance working capital and paying the costs related thereto including, without limitation, the Costs of Issuance.
Section 2.2 **Conditions to Closing** The obligation of the Lender to make the advance pursuant to Section 2.1 hereof shall be subject to the following conditions:
(a) The representations of the Center herein shall be true, complete and correct in all material respects on the date hereof and on and as of the Closing Date as if made on the Closing Date;
(b) On the Closing Date, the Loan Documents shall be in full force and effect, assuming due authorization and execution by the other parties thereto, and shall not have been amended or supplemented except as may have been agreed to in writing by the Lender;
(c) At or prior to the Closing Date, the Lender shall have received each of the following documents:
(i) This Agreement executed by an authorized officer of the Center;
(ii) The Note executed by an authorized officer of the Center;
(iii) A certificate, dated the Closing Date, executed by an authorized officer of the Center, to the effect that (A) the representations and warranties of the Center contained in this Agreement are true and correct on the date hereof and on and as of the Closing Date as if made on the Closing Date; (B) the Resolution and this Agreement are in full force and effect and have not been amended or supplemented except as may have been approved in writing by the Lender; (C) the Center is not in default with respect to any of its outstanding obligations; and (D) no litigation is pending or, to the best of their
knowledge, threatened in any court to restrain or enjoin the execution and delivery of this Agreement or the Note, or contesting or affecting the adoption and validity of the Resolution or the authorization, execution and delivery of the Loan Documents, or contesting the powers of the Board of Directors of the Center;
(iv) Certified copies of resolutions of the Center authorizing execution, delivery and performance of all of the Loan Documents and authorizing the borrowing hereunder, along with such certificates of existence, certificates of good standing and other certificates or documents as the Lender may reasonably require to evidence the Center’s authority;
(v) True copies of all organizational documents of the Center, including all amendments, restatements or supplements thereto;
Section 2.3 Repayment Terms The Center agrees to execute and deliver the Note to the Lender upon the advance of the Principal Amount by the Lender to the Center pursuant to Section 2.1.
(b) The Note shall be dated the Closing Date, shall be in an aggregate principal amount equal to the Principal Amount and shall be payable as specified in the Note.
(c) Interest shall accrue and be paid on the outstanding Principal Amount as specified in the Note.
Section 2.4 Note Payments All Note Payments shall be made on the applicable payment date in immediately available funds and shall be paid to the Lender at the address provided to the Center pursuant to Section 8.2.
Section 2.5 Note Payments Due on Business Days If the regularly scheduled due date for a Note Payment is not a Business Day, the due date for such payment shall be the next succeeding Business Day, and payment made on such succeeding Business Day shall have the same force and effect as if made on the regularly scheduled due date.
Section 2.6 Prepayment of Note (a) Voluntary Prepayment. The Center may at its option prepay the principal amount of the Note outstanding hereunder on any date without premium or penalty. The prepayment price shall be an amount equal to the principal amount to be prepaid plus the accrued interest thereon to the prepayment date.
Section 2.7 Limited Obligation The obligations of the Center hereunder are special limited obligations thereof and neither the Note nor any instrument related to this Agreement may give a holder a right to demand payment from any source other than the available revenues of the Center.
ARTICLE III
SPECIAL AGREEMENTS
Section 3.1 Obligations of Center Current Revenue The obligation of the Center to make the payments required by Section 2.3 shall be an obligation of the current revenues of the Center only. The Obligations of the Center shall not be considered a debt for any purposes under the law of the State.
(b) Until such time as the Note is fully paid the Center:
(i) will not suspend or discontinue, or permit the suspension or discontinuance of, the operations of the Center;
(ii) will perform and observe all of its other agreements contained in this Agreement; and
(iii) except by full payment and retirement of the Note will not terminate this Agreement for any cause.
Section 3.2 Financial Statements and Reports. For so long as any amounts remain outstanding under the Note, the Center will promptly furnish to the Lender from time to time upon request such information regarding the business and affairs and financial condition of the Center as the Lender may reasonably request, and furnish to the Lender promptly after available and in any event within one hundred eighty (180) days of each fiscal year end, current audited financial statements, on a consolidated basis, of the Center, or if not separately prepared, then of the Town, including (i) a balance sheet, (ii) statement of revenues, expenses and changes in fund balances, (iii) statements of cash flow, (iv) operating fund budget analysis, and (iv) appropriate notes and attachments to the financial statements.
Section 3.3 Inspection Rights At any reasonable time and from time to time, the Center will permit representatives of the Lender to examine, copy, and make extracts from its books and records, to visit and inspect its properties, and to discuss its business, operations, and financial condition with its officers, employees, and independent certified public accountants.
Section 3.4 Keeping Books and Records The Center will maintain proper books of record and account in which full, true, and correct entries in conformity with generally accepted accounting principles shall be made of all dealings and transactions in relation to its business and activities.
ARTICLE IV
REPRESENTATIONS AND WARRANTIES
Section 4.1 Representations and Warranties of Lender The Lender represents and warrants to the Center the following:
(a) The Lender has all necessary power and authority to enter into and perform this Agreement.
(b) The Lender has taken all actions required to authorize and execute this Agreement and to perform its obligations hereunder and the execution, delivery and performance by the Lender of and compliance with the provisions of this Agreement will not conflict with any existing law, regulation, rule, decree or order or any agreement or other instrument by which the Lender is bound.
Section 4.2 Representations by the Center
The Center represents, warrants and covenants to the Lender as follows:
(a) The Center is an authority, governmental agency, and political subdivision of the state, within the meaning of Chapter 3503 of the Act, has all of the rights, powers, privileges, authority and functions given by the Act and is authorized by the Act to execute and to enter into this Agreement and to undertake the transactions contemplated herein and to carry out its obligations hereunder.
(b) The Center is duly organized, validly existing, and in good standing under the laws of the State. The Center has all requisite power, authority and legal right to execute and deliver by the Center pursuant thereto, to perform and observe the provisions thereof and to carry out the transactions contemplated by the Loan Documents. All corporate action on the part of the Center which is required for the execution, delivery, performance and observance by the Center of the Loan Documents has been duly authorized and effectively taken, and such execution, delivery, performance and observation by the Center do not contravene applicable law or any contractual restriction binding on or affecting the Center.
(c) The Center has duly approved the borrowing of funds from the Lender therefor; no other authorization or approval or other action by, and no notice to or filing with any governmental authority or regulatory body is required as a condition to the performance by the Center of its obligations under any of the Loan Documents.
(d) This Agreement and the Note are legally valid and binding obligations of the Center enforceable against the Center in accordance with their respective terms.
(e) There is no default of the Center in the payment of the principal of or interest on any of its indebtedness for borrowed money or under any instrument or instruments or agreements under and subject to which any indebtedness for borrowed money has been incurred which does or could affect the validity and enforceability of the Loan Documents or the ability of the Center to perform its obligations thereunder, and no event has occurred and is continuing under the provisions of any such instrument or agreement which constitutes or, with the lapse of time or the giving of notice, or both, would constitute such a default.
(f) There is no pending or, to the knowledge of the undersigned officers of the Center, threatened action or proceeding before any court, governmental agency or department or arbitrator (i) to restrain or enjoin the execution or delivery of this Agreement and the Note or the collection of any revenues, (ii) in any way contesting or affecting the authority for the execution
and delivery or the validity of the Loan Documents, or (iii) in any way contesting the levy of the Economic Development Sales and Use Tax or the existence of the Center or the title or powers of the officers of the Center.
(g) In connection with the authorization, execution and delivery of this Agreement and the Note, the Center has complied with all provisions of the laws of the State, including the Act.
(h) The execution and delivery of the documents contemplated hereunder do not violate any provision of any instrument or agreement to which the Center is a party or by which it is bound.
(i) The Center has, by proper corporate action, duly authorized the execution and delivery of this Agreement.
(j) The Center is not in default under or in violation of the Constitution or any of the laws of the State relevant to the issuance of the Note or the consummation of the transactions contemplated hereby or in connection with such issuance, and has duly authorized the issuance of the Note and the execution and delivery of this Agreement. The Center agrees that it will do or cause to be done in a timely manner all things necessary to preserve and keep in full force and effect its existence, and to carry out the terms of this Agreement and the Indenture.
(k) The Center’s books and records properly reflect the financial condition of the Center and, to the best of the Center’s knowledge, there has been no material adverse change in the business, condition (financial or otherwise), operations, prospects or properties of the Center since the effective date of the Center’s most recent financial statements.
ARTICLE V
REMEDIES SECTION
Section 5.1 Remedies Available So long as any Event of Default has occurred and is continuing, the Lender may take any action at law or in equity to collect all amounts then due under this Agreement and the enforcing of compliance with any other obligation of the Center under this Agreement.
(b) In addition to the remedies provided in subsection (a) of this Section, the Lender shall, to the extent permitted by law, be entitled to recover the costs and expenses, including attorney’s fees and court costs, incurred by the Lender in the proceedings authorized under subsection (a) of this Section.
(c) Notwithstanding any other provision of this Agreement, the acceleration of the Note Payments is not available as a remedy under this Agreement.
Section 5.2 Application of Money Collected Any money collected as a result of the taking of remedial action pursuant to this Article VI, including money collected as a result of foreclosing the liens of this Agreement, shall be applied to cure the Event of Default with respect to which such remedial action was taken.
Section 5.3 Restoration of Rights. If any action taken as a result of an Event of Default is discontinued or abandoned for any reason, or is determined adversely to the interests of the Lender, or if an Event of Default is cured, all parties shall be deemed to be restored to their respective positions and rights under the Loan Documents as if such Event of Default had not occurred.
Section 5.4 Non-Exclusive Remedies. No remedy conferred upon or reserved to the Lender by this Agreement is intended to be exclusive of any other available remedy, and each such remedy shall be in addition to any other remedy given under this Agreement or the other Loan Documents or now or hereafter existing at law or in equity.
Section 5.5 Delays. No delay or omission to exercise any right or power accruing upon any Event of Default shall impair any such right or power or be construed to be a waiver thereof, and all such rights and powers may be exercised as often as may be deemed expedient.
Section 5.6 Limitation on Waivers. If an Event of Default is waived, such waiver shall be limited to the particular Event of Default so waived and shall not be deemed a waiver of any other Event of Default; provided, that no waiver of an Event of Default shall be effective unless such waiver is made in writing.
ARTICLE VI
DISCHARGE BY PAYMENT
When the Note has been paid in full or when the Center has made payment to the Lender of the whole amount due or to become due under the Note (including all interest that has accrued thereon or that may accrue to the date of maturity or prepayment, as applicable), and all other amounts payable by the Center under this Agreement have been paid, the liens of this Agreement shall be discharged and released, and the Lender, upon receipt of a written request by the Center and the payment by the Center of the reasonable expenses with respect thereto, shall discharge and release the lien of this Agreement and execute and deliver to the Center such releases or other instruments as shall be requisite to release the lien hereof.
ARTICLE VII
MISCELLANEOUS
Section 7.1 Term of Agreement. This Agreement shall become effective upon the Closing Date and shall continue in full force and effect until all obligations of the Center under this Agreement and the Note have been fully paid.
Section 7.2 Notices. (a) All notices, certificates, or other communications required by or made pursuant to this Note Agreement shall be in writing and given by certified or registered United States Mail, return receipt requested, addressed as follows:
if to the Lender:
Guaranty Bank & Trust, N.A.
Texarkana
2202 Saint Michael Dr.
Texarkana, Texas 75503-2358
(ii) if to the Center:
Texamericas Center
107 Chapel Ln.
New Boston, Texas 75570-9554
(b) The Center and the Lender may designate any further or different addresses to which subsequent notices shall be sent; provided, that, any of such parties shall designate only one address for such party to receive such notices.
(c) Except as otherwise provided by this Agreement, any communication delivered by mail in compliance with this section is deemed to have been given as of the date of deposit in the mail.
(d) A provision of this Agreement that provides for a specific method of giving notice or otherwise conflicts with this section supersedes this section to the extent of the conflict.
Section 7.3 Binding Effect, Assignment(a) This Agreement shall (i) be binding upon the Center, its successors and assigns, and (ii) inure to the benefit of and be enforceable by the Lender and its successors, transferees and assigns; provided that the Center may not assign all or any part of this Agreement without the prior written consent of the Lender. The Lender may assign, transfer or grant participations in all or any portion of this Agreement, the Note, or any of its rights or security hereunder, including without limitation, the instruments securing the Center’s obligations under this Agreement; provided that any such assignment, transfer or grant shall be made only to a financial institution whose primary business is the lending of money.
Section 7.4 Expenses, Fees, Etc The Center hereby agrees to pay on demand all reasonable costs and expenses of the Lender in connection with the preparation, negotiation, execution, and delivery of the Loan Documents and any and all amendments, modifications, renewals, extensions, and supplements thereof and thereto, including, without limitation, the fees and expenses of legal counsel for the Lender and other professionals.
Section 7.5 Severability If any part of this Agreement is ruled invalid or unenforceable by a court of competent jurisdiction, the invalidity or unenforceability thereof shall not affect the remainder of this Agreement.
Section 7.6 Counterparts This Agreement may be executed in several counterparts, each of which shall be an original and all of which shall constitute but one and the same document.
Section 7.7 **Applicable Law** This Agreement shall be governed in all respects, whether as to validity, construction, performance, or otherwise, by the laws of the State and, if applicable, federal law.
Section 7.8 **Jurisdiction** All actions or proceedings with respect to, and the performance of, the Note and this Agreement shall be, or shall be instituted in the courts of the State of Texas, in Titus County, Texas, and by execution and delivery of this Agreement, the Center and the Lender irrevocably and unconditionally submit to the jurisdiction of such courts and unconditionally waive (i) any objection each may now or hereafter have to the laying of venue in any such courts, and (ii) any claim that any action or proceeding brought in any such courts has been brought in an inconvenient forum.
Section 7.9 **Notice of Final Agreement.** THIS WRITTEN AGREEMENT AND ANY OTHER DOCUMENTS EXECUTED IN CONNECTION HEREWITH REPRESENT THE FINAL AGREEMENT BETWEEN THE PARTIES AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS OR SUBSEQUENT ORAL AGREEMENTS OF THE PARTIES. THERE ARE NO UNWRITTEN AGREEMENTS BETWEEN THE PARTIES.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed and attested by their respective duly authorized officers as of the date first above written.
GUARANTY BANK & TRUST, N.A.
By: ____________________________
Name: Robert Irwin
Title: President - Texavlanq
TEXAMERICAS CENTER
By: ____________________________
William Scott Norton, Executive Director
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TEXAMERICAS CENTER
By: ____________________________
William Scott Norton, Executive Director
|
Local tolerance and general toxicity of tetravalent pneumococcal conjugate vaccine
P.M. Dortant, H. van Loveren and P.W. Wester
November 1999
This investigation has been performed by order and for the account of the Ministry of Health, Welfare and Sports, Inspectorate for Health Protection, Commodities and Veterinary Public Health, within the framework of project 120000, Development of a pneumococcal conjugate vaccine.
RIVM, P.O. Box 1, 3720 BA Bilthoven, telephone: 31 - 30 - 2749111; telefax: 31 - 30 - 2742971
Abstract
In order to evaluate the safety of a tetravalent pneumococcal conjugate vaccine, the final product was tested in 24 female rats, 6 weeks of age, by duplicate intramuscular injections. Parameters for general toxicity were body weight gain, food consumption, general clinical parameters and hematology. Local tolerance was evaluated by histopathology of injection sites and regional (iliac and popliteal) lymph nodes. The latter were also weighed.
Results indicated no effect of the test vaccine on clinical parameters, body weight gain, food consumption and hematology. The weight of the regional lymph nodes was slightly increased (though without statistical significance), but not as dramatically as in the reference control vaccine (DPT-polio). Local reactions after adjuvant or complete vaccine were mild compared to the reference control vaccine (DPT-polio).
Provided a protective immune response is conferred, the responses after pneumococcal conjugate vaccines in rats as observed in this study, are acceptable because:
1. The widely accepted local reaction after DPT-polio injection is more severe.
2. The administered doses in this local tolerance and general toxicity study are 1/4 of the DPT-polio human dose and 1/2 of the pneumococcal vaccine human dose, which are great overdoses on body weight basis for the animals used in this study.
## Contents
**Samenvatting 4**
1. Introduction 5
2. Materials and Methods 6
- 2.1 Animals 6
- 2.2 Vaccines 6
- 2.3 Experimental protocol 6
- 2.4 Statistics 7
- 2.5 Retention of records, samples and specimens 7
3. Results 8
- 3.1 Clinical observations 8
- 3.2 Body weight 8
- 3.3 Feed intake 8
- 3.4 Necropsy 8
- 3.4.1 Injection sites 8
- 3.4.2 Lymph nodes (incl. weight)
- 3.5 Haematology 9
- 3.6 Histopathology 9
4. Discussion 11
5. Conclusion 13
6. Deviations of the protocol 14
References 15
Statement of GLP compliance 16
Quality assurance statement 17
Appendix 1 Tables and figures 18
Appendix 2 Mailing list 25
Samenvatting
Om de veiligheid van een tetravalent pneumococceen conjugaat-vaccin te testen werd het eindproduct dat bedoeld was voor gebruik in een klinische trial, toegediend aan 24 vrouwelijke ratten van 6 weken oud middels twee intramusculaire injecties. Parameters voor algemene toxiciteit waren: groei, voedselopname, algemene klinische parameters en hematologie. Lokale tolerantie werd beoordeeld aan de hand van histopathologisch onderzoek van de injectieplaatsen en de regionale lymfknopen. Deze lymfknopen werden eveneens gewogen. Er werden geen effecten van het pneumococceen conjugaat-vaccin gevonden op de groei, voedselopname, klinische en hematologische parameters. Het gewicht van de regionale lymfknopen was weliswaar gering maar niet statistisch significant toegenomen; voorts was de toename niet zo dramatisch als na toediening van het referentie controle vaccin (DKTP).
De lokale reacties in ratten na toediening van adjuvans of het complete vaccin waren mild in vergelijking tot het effect van toediening van het referentie controle vaccin (DKTP). De reacties in ratten na toediening van het hier gebruikte pneumococceen conjugaat-vaccin worden acceptabel beschouwd - op voorwaarde dat toediening leidt tot een beschermende immuniteit - omdat:
1. De alom geaccepteerde locale reacties na DKTP injectie sterker zijn.
2. In deze studie naar lokale tolerantie en systemische toxiciteit de toegediende dosis van DKTP 1/4 van de in de mens gebruikte dosis is en de toegediende dosis van het pneumococceen vaccin 1/2 van de in de mens gebruikte dosis is, hetgeen in beide gevallen - voor de dieren gebruikt in deze studie-grote overdoseringen zijn op basis van lichaamsgewicht.
1 Introduction
For the safety evaluation of a new tetravalent pneumococcal conjugate vaccine, a local tolerance test is mandatory (Committee for Proprietary Medicinal Products, CPMP, 1997). Furthermore, it is recommended to study the general toxicity parameters.
We adopted a similar protocol as used for testing a closely related product (Meningococcus-B outer membrane vesicle Vaccine; study 199800078). Two intramuscular injections were given to young rats with a 1-week interval, and the results for local and general toxicity were compared to those from DPT-polio, a widely used and accepted paediatric vaccine, and with the respective adjuvants or saline controls. More and prolonged exposures were considered inappropriate because of possible interference of immune effects with potentially toxic effects.
The study was performed under number 9800669; all relevant information and specimens are saved in the LPI-archives under this number.
2 Materials and Methods
2.1 Animals
Twenty four female Specified Pathogen-Free RIVM:WU rats, 6 weeks of age, were obtained from the Institute’s breeding colony. They were assigned at random to 4 experimental groups, each consisting of 6 animals. Housing condition were as follows: Animals were housed individually in macrolon cages, room temperature $20-24^\circ$C, with a light regime of 12-12, relative humidity 60-75%, food (RMH.GS) and tap water were provided *ad libitum*.
2.2 Vaccines
The tetravalent pneumococcal conjugate vaccine, final lot 80234, was used as test vaccine. One vial of the test vaccine contained lyophilised powder, consisting of 10.8 $\mu$g of conjugated type 6B polysaccharide, 3.6 $\mu$g of conjugated type 14 polysaccharide, 3.6 $\mu$g of conjugated type 19 polysaccharide, 3.6 $\mu$g of conjugated type 23F polysaccharide, 25 $\mu$g of conjugated tetanus toxoid, 0.7 mg tris (hydroxymethyl)aminomethane and 51 mg sucrose. For use, the powder was reconstituted with 0.6 ml reconstitution fluid charge nr. 70368A, containing 1.5 mg/ml AlPO$_4$ at pH7.
As reference DPT-polio lot 184B was used, routinely produced for pediatric vaccination in the Netherlands, containing per dose 15 Lf (limit of flocculation) diphtheria toxoid, 16 opacity units *Bordetella pertussis* bacteria, 5 Lf tetanus toxoid, 40 units D polio type 1, 4 units D antigen polio type 2, 7.5 units D polio type 3 and 1.5 mg AlPO$_4$ as adjuvant.
As an additional (adjuvant) control mock vaccine LVR035GMP was used, while as negative control physiological saline was injected. The saline (0.9% NaCl) was purchased from SVM, batch 9803843.
The intended human dose is 0.5 ml for the pneumococcal conjugate test vaccine and 1 ml for DPT-polio.
2.3 Experimental protocol
The animals arrived on September 1, 1998 (Day 1) and were allowed to acclimatise for two days. On Day 3 (September 3, 1998) the animals were weighed and injected intramuscularly in the right *M. biceps femoris* with saline (group 1), DPT-Polio (group 2), mock vaccine (group 3) Pneumococcal conjugate vaccine (group 4). Injection volume was 0.25 ml. The animals were inspected daily for clinical abnormalities and food consumption was monitored twice weekly. Six days after the first injection the animals were weighed and given a second injection in the left *M. biceps femoris*. Two weeks after the first injection (September 17, 1998) the animals were weighed, euthanized (bleeding from abdominal aorta under CO$_2$ narcosis), inspected grossly for abnormalities of abdominal and thoracic organs, injection site and regional lymph nodes; the latter were also weighed.
At exsanguination, blood was collected in EDTA coated tubes for hematology. Hematological parameters included white blood cell count (WBC) and differentiation, hemoglobin (Hb), hematocrit (Ht). All hematology parameters were determined in a Technicon H1-E multispecies hematology analyzer (Bayer Diagnostics, Miles Inc., Tarrytown, NY, USA).
Gross abnormalities, injection site and regional lymph nodes were sampled and fixed in neutral buffered formalin (4% formaldehyde) for histopathological examination. Histological sections (5μ paraffin) were prepared and stained with haematoxylin and eosin according to the laboratory’s routine procedures.
2.4. Statistics
Results are presented as mean ± SD, unless indicated otherwise. Data on general toxicity were analysed with student’s t-test (two-tailed), using Microsoft Excel version 5.0. Hematological data and data on body weight were analysed by one factor analysis of variance (ANOVA), using Microsoft Excel version 5.0. Dixon analysis was performed for testing homogeneity of variance using STATA program, release 2.05.
(Histo-)pathology data were entered and tabulated in Pathos 4.3 data acquisition system (Pathology Operating Systems Ltd., Harrogate, England).*
(Histo-)pathological findings were analyzed statistically with the Fisher’s exact probability test (two-tailed, unless indicated otherwise). Level of significance was set at p< 0.05.
2.5. Retention of records, samples and specimens
All raw data and other information relevant to the quality and integrity of the study will be retained. They will be filed in the archives of the Laboratory of Pathology and Immunobiology (LPI) after termination of the study. Wet specimens and paraffin blocks will be stored for a period of 5 years and slides for a period of 15 years. At the end of the storage period the materials will be discarded.
* Regarding the original raw data in Pathos, the organ/tissue is the left if no body side is added; the abdominal lymph node is in fact the left iliac lymph node.
3 Results
3.1 Clinical observations
During the experimental period no mortalities occurred, and no signs of illness, pain, abnormal locomotion or any other discomfort was noticed.
3.2 Body weight
Body weight gain is shown in figures 1 and 2. In the graph it is evident that body weight gain was almost similar over the groups, with an indication of a slightly lower weight gain in the animals injected any vaccine (group 2, 3 and 4), but none of the values reached statistical significance.
3.3 Feed intake
Cumulative feed consumption showed an equal pattern over the groups without indication for difference between any of the groups (see Figure 3).
3.4 Necropsy
At necropsy all animals appeared in good condition without gross changes in internal organs. Gross lesions were observed only at the injection sites and the draining lymph nodes, thus directly related to the i.m. injection. See below and table 1.
3.4.1 Injection sites
Injection site lesions were found only in the *m. biceps femoris* or, occasionally, in the *fascia lata*. In the saline control group (1) injection sites were not detected, while in group 2 (DPT-Polio) the injection sites were nearly always visible as nodules. Sometimes the content was clearly necropurulent (yellow-white). In group 3 (mock vaccine) injection sites were also nearly always visible as nodules though occasionally the aspect was different from the necropurulent lesions as observed in group 2 (DPT-Polio). In group 4 animals (pneumococcal conjugate vaccine) half of the number of the injection sites were macroscopically detected and 5 out of 6 detected injection sites had a white colour.
3.4.2 Lymph nodes (incl. weight)
As regional draining stations, iliac and popliteal lymph nodes were sampled. Enlargement of iliac lymph nodes was found in all animals from group 2 (DPT-Polio), while this occurred only occasionally in other treatment groups. Lymph nodes were also weighed; these figures (see below) are generally considered more reliable in quantitative sense than gross observations on these minute organs.
Lymph node weights (Iliac) are shown in figure 4a. The reference vaccine (DPT-Polio) showed a significant increase in iliac lymph node weight compared to saline control and test vaccine. The adjuvant alone did significantly differ from saline, the contribution of the antigen to lymph node weight (which signifies intended immune stimulation) is limited compared to the adjuvant alone (group 4 vs. 3). Only the weight of the left (side of the second injection) iliac lymph node in the test vaccine group was significantly increased compared to saline control.
Popliteal lymph node weights are shown in figure 4b. In the popliteal lymph node no significant increase in weight had occurred after injection of neither the reference vaccine, nor the test vaccine.
### 3.5 Haematology
In the DPT-Polio vaccine treated group a slight, though not statistically significant increase in WBC was noted. This increase was associated with a statistically significant increase in absolute and relative numbers of neutrophilic granulocytes (see Figures 5, 6 and 7).
### 3.6 Histopathology
Histopathological data are listed in table 2.
**Group 1:** No histological changes were seen in saline injected animals, except for one animal in which a minimal focus of muscular regeneration and for another animal in which a minimal granuloma was observed in the left injection site.
Regional lymph nodes were unaffected.
**Group 2:** DPT-Polio treated animals showed marked lesions at the injection sites (figure 8). These lesions essentially were pyogranulomatous i.e. consisting of large areas of swollen histiocytes (= “granuloma”), often with focal areas of lytic necrosis of these histiocytes and intragranulomatous presence of neutrophilic granulocytes (= “pyo-”). Surrounding muscles showed evidence of necrosis, regeneration and fibroangioblastic tissue. Peri-granulomatous infiltrates of neutrophilic granulocytes and lymphoid cells were usually present. In the right injection site, occasionally plasma cells were present.
Lymph nodes were enlarged, especially the iliac lymph nodes, due to lymphoid hyperplasia in both B and T cell areas.
**Group 3.** The injection sites of the mock vaccine group were recognised as granulomas. These were usually smaller than after DPT-Polio injection. Histiocytes were swollen with bluish granular material, interpreted as phagocytised adjuvant. Indeed, there was usually diffuse cell death among these macrophages; sometimes this cell death was extensive. Still, cell death in these granulomas was not directly associated with intragranulomatous presence of neutrophilic granulocytes.
For those samples in which no or relatively small reactions were observed, additional recuts were prepared. Lesions detected in recuts were often smaller than the lesions detected
macroscopically and could be an underestimate of the real lesion. One of the histopathological lesions of the injection sites at the right was so small that it was interpreted as “no equivalent sample”.
In contrast to the DPT-polio group, lymphoid hyperplasia in the iliac lymph nodes was limited. The politeal lymph nodes were slightly affected.
**Group 4:** The injection sites of the pneumococcal conjugate vaccine showed the same type of lesions as in the corresponding (adjuvant-only) group 3 (see Figure 9), although one left injection site had minimal lytic necrosis with intragranulomatous presence of neutrophilic granulocytes.
Histiocytic cell death and perigranulomatous influx of neutrophilic granulocytes were slightly increased in severity compared to group 3 animals. Differences in lymphoid infiltrate were not obvious. Corresponding lymph nodes were frequently enlarged due to lymphoid hyperplasia comparable to group 3 in both severity and distribution.
4 Discussion
In this study on general and local toxicity of tetravalent pneumococcal conjugate vaccine a dual i.m. injection in young rats was considered most appropriate, more injections or higher dose are considered irrelevant for this aspect (Speijers et al. 1988a). As reference materials the saline (negative control) and the widely accepted and used paediatric vaccine DPT-polio (positive control) were used. To study the relative contribution of the active vaccine component, also an adjuvant control group was used.
Parameters for general toxicity were clinical behaviour, food consumption and body weight gain, haematology as well as gross pathology (and histopathology, if indicated). In none of these, significant differences were observed, except for the neutrophilia observed in the positive control (DPT-polio). Gross- and histopathology of injection sites and regional lymph nodes were used as parameters for local toxicity and indicated significant differences. In addition regional lymph node weight was recorded. The results indicated grossly visible lesions after DPT-polio injection, while these were considerably less conspicuous after the pneumococcal conjugate vaccine and adjuvant control administration. Also lymph node weights were significantly increased in the DPT-polio group. The local reaction after DPT-polio injection was severe enough to result in enlargement and weight increase (though not statistically significant) of the popliteal lymph node, normally not involved as draining lymph node of the *m. biceps femoris*. The unilateral popliteal lymph node weight increase can result from influx of exsudate from more distal parts of the leg which are normally drained by the popliteal lymph node, and/or a secondary reaction upon vaccine antigens.
Lymph node weights were only slightly and often not statistically significantly increased in other groups. The contribution of the antigen component in the pneumococcal conjugate vaccines to the severity of local reaction and general toxicity parameters was marginal compared to adjuvant alone. From these data an initial indication for the mild local response could be concluded, while the immune response, on the basis of lymph node changes, was clearly present though limited compared to DPT-polio. However, main antibody or CTL induction could have been located elsewhere, e.g. in the bone marrow or spleen. Similar DPT-polio-induced lesions were previously reported by Speijers et al (1988a and 1988b). In contrast to a previous experiments with Men-B OMV (study 199800078), in which - despite the cautious injection procedure - occasionally the injection appeared to be located in the *m. gastrocnemius* instead of *m. biceps femoris*, or injection sites were reported as missing, in the present study more attention was given to the injection technique and lesions were found only in the *m. biceps femoris* or, occasionally, in the *fascia lata*, thus resulting in lower number of missing lesions.
Histopathology of the injection sites revealed granulomatous responses consisting of accumulation of macrophages with conspicuous granular slightly basophilic cytoplasm, interpreted as a result of phagocytosis of the injected adjuvant, resulting in a so-called non-immunological granuloma. Such lesions are considered foreign body reactions, at least using aluminium salts as adjuvants (Turk 1992, Pineau et al 1992). This was concluded since hardly any response was seen in the saline control, and the response in the adjuvant-only groups was almost similar to those found in the pneumococcal conjugate group. In the latter a mild influx of inflammatory cells (with predominancy of lymphoid cells) was observed suggestive of an
immunological reaction based on antigens present in the granuloma. In these granulomas diffuse cell death (mainly apoptotic in nature) could be seen, which was clearly different from the more extensive local lytic necrosis with influx of neutrophilic granulocytes in the DPT-polio group. This was probably a result of poor circulation in combination with excessive phagocytosis. The positive control (DPT-polio) showed a different pattern with focal lytic necrosis, more pronounced invasion of neutrophilic granulocytes and lymphoid cells. These reactions signify a more pronounced local toxicity of this vaccine, together with signs of a perceivable immune response, which was also considered responsible for the regional lymph node enlargement. The severity of the local inflammatory reaction correlates well with the observation of neutrophilia after DPT-polio injection only.
Statistically significant differences in Hb, Ht, WBC and parameters on red blood cells after DTP-polio injections, as reported by Speijers et al (1988), were not observed.
In performing a risk assessment of these vaccines it must be emphasised that both a granulomatous reaction and a lymph node stimulation are designed effects; the acceptability should be on the basis of optimal balance of a maximal protective immune response on one hand and the least tissue reaction practically achievable on the other hand. Provided a protective immune response is conferred, the responses after pneumococcal conjugate vaccines in rats as observed in this study, are considered acceptable because:
1. The widely accepted reaction after DPT-polio injection is more severe.
2. The administered dose in this study and the human dose differ for DPT-polio and pneumococcal vaccine, being 1/4 and 1/2 of the human dose, respectively, both being a great overdose on body weight base for the animals used in this study.
5 Conclusion
Pneumococcal vaccine tested in this protocol was devoid of general or local adverse effects. Lesions found are considered intentional effects implicit to vaccination, mainly due to the application of the adjuvant.
6 Deviations from the protocol
From 01 09 98 onwards drs. P. Dortant acted as study director while dr. P.W. Wester acted as deputy director of this study.
Clinical data were not documented for animal # 18 on September 4, 1998.
In addition to the original protocol the following hematological parameters were measured: red blood cell count (RBC), mean corpuscular volume (MCV), mean corpuscular hemoglobin (MCH), mean corpuscular hemoglobin concentration (MCHC), relative distribution range of erythrocytes (RDW), relative distribution range of Hb content (HDW), platelet count (PLT), mean platelet volume (MPV) and number of large unstained cells (Luc).
Data were not indicative for any toxicological effect of either of the vaccines administered.
The left popliteal lymph node of animal nr. 9 was lost during tissue processing.
Due to clotting the blood sample of animal nr. 10 could not be analysed.
References
1. Note for Guidance on Preclinical Pharmacological and Toxicological Testing of Vaccines. Committee for Proprietary Medicinal Products (CPMP), CPMP/SWP/465/95. London, 1997
2. Turk JL. Granulomatous diseases. In: Oxford Textbook of Pathology, McGee J.O.’D, Isaacson P.G., Wright N.A. 9eds.), Oxford University Press, Oxford, England, 1992 pp 394-406.
3. Speijers GJA, Danse LHJC, Beuvery EC, Strik JJTWA, Vos JG. Local reactions of the saponin quil A and a quil A containing ISCOM measles vaccine after intramuscular injection in rats: a comparison with the effect of DPT-polio vaccine. Fund. Appl. Toxicol. 1988a, 10, 425-430.
4. Speijers GJA, Danse LHJC, Beuvery EC, Derks HJGM, Vos JG. Local reactions of Zwittergent-containing meningococcal vaccine after intramuscular injection in rats: comparison with the effect of diphtheria-pertussis-tetanus-polio vaccine. Vaccine 1988b, 6, 419-422.
5. Baraff LJ, Manclark CR, Cherry JD, Christenson P, Marcy SM. Analysis of adverse reactions to dipheria and tetanus toxoids and pertussis vaccine potency and percentage of mouse weight gain. Ped. Inf. Dis. J. 1989, 8, 502-507.
6. Pineau A, Durand C, Guillard O, Bureay B, Stalder JF. Role of aluminium in skin reactions after dipheria-tetanus-pertussis-poliomylitis vaccination: an experimental study in rabbits. Toxicol. 1992, 73, 11-125.
7. Wester P. Personal communication on the Report on study 199800078: Local tolerance and general toxicity of hexavalent Meningococcal PorA OMV Vaccine.(in preparation).
Statement of GLP-compliance:
Undersigned hereby declare that the report constitutes a true and faithful account of the methods and results of this study. The study was conducted at the Central Laboratory Animal Facility (CDL) and the Laboratory of Pathology and Immunobiology (LPI) of the National Institute of Public Health and the Environment (RIVM) according to the current OECD Good Laboratory Practice Principles.
dr.s.P.Dortant
study director
dr.H.van Loveren
principal investigator haematology
Signature: ........................................... Signature: ...........................................
Date: 21/10/99 Date: 21/10/99
Participants:
Necropsy was performed by A.Timmerman, R.Vlug and P.Dortant. Hematological analyses were performed by A.Fluitman. Histological sections were prepared by H.Loendersloot. Hematological data were evaluated by H.van Loveren, all other data were evaluated by P.Dortant. From 01 09 98 onwards drs.P.Dortant acted as the study director and dr.P.W.Wester as deputy study director.
Quality assurance statement
GLP inspections were performed on the items mentioned below. The results of the findings were reported to the study director and the management.
| Item | Date(s) of inspection (dd-mm-yy) |
|-----------------------------|----------------------------------|
| Study design | 14-08-1998 |
| Inspection at CDL | 08-09-1998 & 17-09-1998 |
| Record review including raw data | 16-12-1998 |
The results as presented accurately reflect the raw data.
A.N. de Klerk
Quality Assurance Officer
Laboratory of Pathology and Immunobiology
Signature:
Date:
Experiment nr.: 9800669
AAP nr.: 199800669
PAT nr.: 9800669
At request of the project leader dr.ir. P.Hoogerhout (LVR/RIVM) individual data were not included in this report, but remain stored in the LPI-archives and are available at appeal.
Appendix 1 Tables and figures
Figure 1
Figure 2
Figures 1 and 2. Absolute (grams) and relative (%) body weight gain during the experimental period.
Figure 3. Feed intake during the experimental period (grams).
Figures 4a and 4b. Lymph node weights. X-axis: 1= first injection (= right) side, 2= second injection (= left) side. Group 1 is saline control group, group 2 is DPT-polio (reference-) vaccine group, group 3 is Mock vaccine (solvent only) group, group 4 is test vaccine (tetravalent pneumococcal conjugate) group.
Figures 5, 6, and 7. White blood cell count, absolute and relative number of neutrophilic granulocytes.
A
C
D
Figure 8. Micrographs of representative intramuscular lesions 2 weeks after injection of 0.25ml DPT-Polio (A & B) or the teravalent pneumococcal conjugate vaccine tested (C & D).
A: Relatively large spherical lesion containing much cellular debris (pale area in lesion), mainly consisting of necrotic muscle fibers and polymorph nuclear cells (HE, x 22).
B: Detail of Figure 8 A. The inflammatory reaction after DTP-Polio injection consisting of neutrophilic granulocytes and mononuclear cells (merely pale stained macrophages) in approximately equal numbers (HE, x 220).
C: Relatively small, branching lesion with pale area, consisting of injected material and some apoptotic macrophages (HE, x 22).
D: Detail of C. The inflammatory infiltrate surrounding intact muscle fibers (indicated with “m”) consists of mainly mononuclear cells. In the injected material (indicated with asterix) remnants of apoptotic macrophages are visible as small dark dots (HE, x 220).
Table 1. Group incidence necropsy
Kill type: All
| Group: | 1 | 2 | 3 | 4 | 1 | 2 | 3 | 4 |
|--------|---|---|---|---|---|---|---|---|
| Sex: | F | F | F | F | F | F | F | F |
| Vaccin type: | Saline | DPTP | Mock | Pneu. | Saline | DPTP | Mock | Pneu. |
| Number: | 6 | 6 | 6 | 6 | 6 | 6 | 6 | 6 |
Tissue Observation
Injection site
| Not remarkable | LEFT | RIGHT |
|-----------------|------|-------|
| | 6 | 1 | 1 | 2 | 6 | 1 | 1 | 4 |
Lesion detected
| Lesion detected | LEFT | RIGHT |
|-----------------|------|-------|
| | 0 | 5 | 5 | 4 | 0 | 5 | 5 | 2 |
Iliac lymph node
| Not remarkable | LEFT | RIGHT |
|-----------------|------|-------|
| | 6 | 0 | 5 | 5 | 6 | 0 | 5 | 5 |
Enlarged
| Enlarged | LEFT | RIGHT |
|-----------------|------|-------|
| | 0 | 6 | 0 | 1 | 0 | 6 | 0 | 1 |
Popliteal lymph node
| Not remarkable | LEFT | RIGHT |
|-----------------|------|-------|
| | 6 | 3 | 6 | 5 | 6 | 4 | 6 | 6 |
Enlarged
| Enlarged | LEFT | RIGHT |
|-----------------|------|-------|
| | 0 | 3 | 0 | 0 | 0 | 2 | 0 | 0 |
Table 2. Group incidence: histopathology - Summary
| Injection site | LEFT | RIGHT |
|----------------|------|-------|
| Number examined | 6 | 6 |
| Not remarkable | 4 | 0 |
| No equivalent sample | 0 | 0 |
| Regeneration minimal | 1 | 0 |
| Granuloma | 1 | 1 |
| minimal | 1 | 1 |
| slight | 0 | 0 |
| marked | 0 | 0 |
| Pyogranulomatous reaction | 0 | 5* |
| minimal | 0 | 0 |
| severe | 0 | 5 |
| Granuloma with focal necrosis | 0 | 0 |
| minimal | 0 | 0 |
| slight | 0 | 0 |
| moderate | 0 | 0 |
| marked | 0 | 0 |
| Lymphoid infiltrate | 0 | 5* |
| minimal | 0 | 2 |
| slight | 0 | 1 |
| moderate | 0 | 2 |
| PMN infiltrate | 0 | 6** |
| minimal | 0 | 1 |
| slight | 0 | 2 |
| moderate | 0 | 2 |
| marked | 0 | 1 |
| Iliac lymph node | | |
| Number examined | 6 | 6 |
| Not remarkable | 6 | 0 |
| Lymphoid hyperplasia | 0 | 6** |
| minimal | 0 | 0 |
| slight | 0 | 0 |
| moderate | 0 | 0 |
| marked | 0 | 3 |
| severe | 0 | 3 |
| Popliteal lymph node | | |
| Number examined | 6 | 5 |
| No sample | 0 | 1 |
| Not remarkable | 6 | 0 |
| Lymphoid hyperplasia | 0 | 5** |
| minimal | 0 | 0 |
| slight | 0 | 2 |
| moderate | 0 | 1 |
| marked | 0 | 1 |
| severe | 0 | 1 |
* or @ : p< 0.05 two-tailed or one-tailed, respectively; ** p< 0.01 two-tailed; all Fischer exact test
Appendix 2 Mailing list
1. Dr.F.Schuring, algemeen directeur Inspectie Inspectie Gezondheidsbescherming, Waren en Veterinaire Zaken, Den Haag
2. Dr.H.J.Schneider, Directeur-Generaal Volksgezondheid, VSW, Den Haag
3. Drs.J.K.van Wijngaarden, Inspectie Gezondheidsbescherming, Waren en Veterinaire Zaken, Den Haag
4. Voorzitter van de Gezondheidsraad, Rijswijk
5. Depot Nederlandse Publikaties en Nederlandse Bibliografie, Den Haag
6. Directie RIVM
7. Dr.Ir.G.de Mik, directeur sector 3/4
8. Prof.Dr.B.van der Zeijst, directeur sector 1
9. Prof.Dr.J.G.Vos, hoofd LPI
10. Dr.L.van Alphen, hoofd LVR
11. Dr.Ir.P.Hoogerhout, LVR
12. Dr.M.Beurret, LVR
13. Mw.Dr.Ir.G.van den Dobbelsteen, LVR
14. Dr.E.C.Beuvery, hoofd LPO
15. Drs.R.Hertroys, LCB
16. Drs.L.C.Sundermann, KRZ
17. Dr.H.C.Rümke, LVO
18. Dr.J.G.Kreeftenberg, BIS
19. Drs.A.Vroege, SVM
20-22. Auteurs
23. SBD/Voorlichting & Public Relations
24. Bureau Rapportenregistratie
25. Bibliotheek RIVM
26-40. Bureau Rapportenbeheer
41-42. Reserve exemplaren LPI
|
Meeting called to order by Chair Case at 9:30 a.m.
The Chair reminded the audience of the procedure for contested cases.
No Minutes to review.
ITEM M-11 Issuance of Direct Lease to The Gas Company, LLC, dba Hawai‘i Gas to Construct, Install, and Maintain Storage Facility for Liquid Propane (LPG) and Gas Pipeline Easement Purposes, Nāwiliwili Harbor, Līhu‘e, Kaua‘i, Tax Map Key: (4) 3-2-004:008, 016, 018, 019, 034, 039, 041 (Portions), 021, 022, 023, 053 and (4) 3-2-003:001, 002, 003, 004, 007 (Portions).
Patty Miyashiro presented for HDOT-Harbors. Glen Takenouchi and Lori Sun were also present from Hawaii Gas.
**Board Discussion**
Member Oi clarified the location of the facility.
**Public Testimony** - None
**Motion**
*Approved as submitted (Oi, Gomes) unanimous.*
**ITEM M-12**
Issuance of Right of Entry Permit to the Honolulu Fire Department, City and County of Honolulu on Lands Encumbered by Governor’s Executive Order No. 4206, Mokauea, Kalihi, Honolulu, Island of O‘ahu, Tax Map Key: (1) 1-2-025: Portion 017.
Patty Miyashiro-DOT-Harbors. She was joined by Assistant Chief Socrates Brakatos and Captain Paul Bass from the Honolulu Fire department. This is a short term Right of Entry for the Honolulu fire department. The Fire Department uses the facility to train with hand hoses that can enter a building. Capt. Paul Bass brought a clip from a training video, which was shown to the Board. The facility at Kapālama allows them to shoot water all over the facility. It is the only facility that allows them to get it all wet. Harbors is asking for flexibility to allow the Fire Department to train for as long as possible, in the event that the Notice to Proceed on the redevelopment of the facility for transportation purposes is not issued in November.
**Board Discussion**
Member Roehrig questioned why this is a temporary agreement? Miyashrio, HDOT replied, it is part of Kapālama Container Facility which is being redeveloped for Transportation purposes.
**Public Testimony** - None
**Motion**
*Approved as submitted (Gon, Gomes) unanimous.*
**ITEM M-1**
Issuance of Revocable Permit for Office Space to Airasia X Berhad, Ewa Domestic Extension, Daniel K. Inouye International Airport, Tax Map Key: (1) 1-1-003: 058 (Portion).
**ITEM M-2**
Issuance of a Revocable Permit, Aircraft Parking for Helicopter Tour Operation, Hawai‘i Pacific Aviation Inc. dba Mauna Loa Helicopter Tours, Daniel K. Inouye International Airport, Tax Map Key: (1) 1-1-003: Portion of 001.
ITEM M-3 Issuance of a Revocable Permit for a T-Hangar for Storage and Maintenance of Aircraft to Mid Pacific Aero Services LLC, Daniel K. Inouye International Airport, Tax Map Key: (1) 1-1-76: Portion of 21.
ITEM M-4 Issuance of a Revocable Permit for a Field Office to Nan, Inc., Daniel K. Inouye International Airport, Tax Map Key: (1) 1-1-003: 65 (Portion).
ITEM M-5 Issuance of a Revocable Permit, Aircraft Parking for Helicopter Tour Operation, Novictor Aviation LLC dba Novictor Helicopters, Daniel K. Inouye International Airport, Tax Map Key: (1) 1-1-003: Portion of 001.
ITEM M-6 Issuance of a Revocable Permit to The Gas Company, LLC dba Hawai‘i Gas for Space to Store a Propane Fuel Tank, Daniel K. Inouye International Airport, Tax Map Key: (1) 1-1-003: 001 (Portion).
ITEM M-7 Issuance of a Revocable Permit for a Ramp Parking Area for Air Cargo Ground Service Equipment, Commodity Forwarders, Inc., Ellison Onizuka Kona International Airport at Keāhole, Kalaoa, North Kona Hawai‘i. Tax Map Key: (3) 7-3-43: Portion of 40.
ITEM M-8 Issuance of a Revocable Permit for Vehicle Parking, Ko‘olau Aviation Services Inc., Ellison Onizuka Kona International Airport at Keāhole, Kalaoa, North Kona Hawai‘i. Tax Map Key: (3) 7-3-43: Portion of 40.
ITEM M-9 Issuance of a Revocable Permit for Aircraft Parking, Sport Horse Sales of Texas, LLC, Hilo International Airport, Waiākea, South Hilo, Hawai‘i Tax Map Key: (3) 2-1-12: Portion of 90.
ITEM M-10 Consent to an Assignment of State Lease No. DOT-A-09-0001 from Smoky Mountain Helicopters, Inc. to Alexair, Inc. by Way of a Transfer of all of the Outstanding Capital Stock through a Stock Purchase Agreement, Port Allen Airport, Tax Map Key: (4) 1-8-08: Portion of 4.
Ross Smith- DOT Airports Division. Managers for Daniel K Inouye International and Kauai Airports accompanied Mr. Smith.
M1-M6—Daniel K Inouye International Airport. Smith gave brief synopsis of each item.
M7-M8—Ellison Onizuka Kona International Airport. Smith gave a brief synopsis of each item.
M-9—Hilo International Airport. Smith gave a brief synopsis of the item.
M-10 Port Allen Airport. Smith gave a brief synopsis of the item.
Board Discussion
Member Oi noted that Planning Department of Kauai opposes Assignment of the Lease. Board moved to take M1-M9 first, as they had received additional written testimony in opposition to M-10.
**Public Testimony** - None
**Motion**
*Approved as submitted Items M-1 through M-9 (Oi, Gomes) unanimous.*
*Item M-10 will be taken up later after Smith reviews testimony received.*
**ITEM D-9**
Grant of Perpetual Non-Exclusive Easement to the City and County of Honolulu on behalf of the Honolulu Authority for Rapid Transportation for Elevated Guideway; Issuance of Immediate Construction Right-of-Entry; Honolulu, O‘ahu, TMK (1) 1-5-040: portions of 003.
Russell Tsuji presented the submittal. Dean Yogi, Assistant Director, HART, accompanied him.
**Board Discussion**
Member Oi asked what happens to the existing pumping station. Yogi said that they are just flying over and do not have plans to touch down on any of the facilities below the rail.
**Public Testimony** – None
**Motion**
*Approved as submitted (Gon, Oi) unanimous.*
**ITEM J-3**
Continuation of a Revocable Permit to Lana‘i Resorts, LLC., dba Pulama Lana‘i, Manele Small Boat Harbor, Lana‘i City, Island of Lana‘i, Hawai‘i, Tax Map Key (2) 4-9-17:06,
And
Request Approval of Declaration of Exemption to Chapter 343, Hawai‘i Revised Statutes for the Project.
Dana Yoshimura presented for the Division of Boating and Ocean Resources (DOBOR). This Item is a request for a continuation of a revocable permit (RP) until a long-term disposition can be made.
**Board Discussion**
Member Oi commented that he would like to ensure that the DOFAW hunting agreement with Lana‘i Resort LLC is extended.
Public Testimony
Lynn McCrory said that they are looking at long term options for the game management area, but in the meantime, there is a verbal agreement for a three-year extension on the game management area. McCrory said the game management area is important because there are too many deer and sheep on Lanai. Hunting in the game management area helps manage the resources of the island.
Chair Case noted that she spent several days on Lanai over the Memorial Day weekend. She spent some time in the game management area and also visited the harbor. She appreciates the collaborative relationship DLNR has with Lanai Resort LLC.
Motion
Approved as submitted (Gomes, Yuen) unanimous.
ITEM D-2
Issuance of Revocable Permit to the County of Kaua‘i for Installation of Portable Lifeguard Tower, Po‘ipū, Koloa, Kaua‘i, Tax Map Key: (4) 2-8-017: seaward of 001.
Russell Tsuji presented for Land Division.
Board Discussion
Member Yuen noted a typo on the table on page 3 where it says that the “County of Hawaii.” It should be County of Kauai. Russell noted that this is not a substantive change, so no formal amendment is being proposed to correct the typo.
Public Testimony
Dr. Monty Downs, President of the County Lifeguard Association noted that there are several drownings around the point that the lifeguards cannot see from their tower. So, the Lifeguard Association intends to put up a temporary lifeguard station on the point, that will help lifeguards to see the people swimming in that area. They will keep existing tower as well. Dr. Downs said they have enough people to staff the new station without hiring more lifeguards.
Motion
Approved as submitted (Oi, Gomes) unanimous.
ITEM D-11
Grant of Term, Non-Exclusive Easement to ABP 2927 East Manoa Road LLC for Encroachment Purposes; Issuance of Right-of-Entry Permit, Manoa, Honolulu, O‘ahu, Tax Map Key: (1) 2-9-026: portion of 014.
Russell Tsuji presented on behalf of Land division. This item involves an easement to resolve an encroachment in Mānoa.
Board Discussion
Member Oi noted that the commercial property maps, the Owners should have received as part of their due diligence to identify several encroachments. Noticed that they can use the commercial property maps to show the encroachments rather than State having to do another survey. The Title Companies do the maps.
Public Testimony
Counsel for Owners did not want to add anything.
Motion
Approved as submitted (Gon, Gomes) unanimous.
ITEM L-1 Application for a DLNR Dam Safety Permit No .79 – Opaeula Reservoir #1 (OA-0018) Improvement, Haleiwa, O‘ahu.
Board Discussion - None
Public Testimony - None
Motion
Approved as submitted (Gon, Gomes) unanimous.
ITEM D-1 Approval of Acquisition of Perpetual Easements and Authorization for the ITEM Chairperson to Negotiate and Execute Rights-of-Entry on Private Lands for the Ko Road Rockfall Mitigation Project –Makai Section, Part Two; ‘Ele‘ele, Koloa, Kaua‘i; Tax Map Key Nos.: (4) 2-1-007:150, 151, 156, 157, 158, 159, 160 & 161 (portions)
Amend prior Board Action of March 24, 2016, Agenda Item D-3, Preliminary Approval of Acquisition of Easements on Private Lands for Ko Road Rockfall Mitigation Project – Makai Section, Part Two, ‘Ele‘ele, Koloa, Kaua‘i, Tax Map Keys: (4) 2-1-007:150, 151, 156, 157, 158 & 160 (portions).
The purpose of this amendment is to correct one of the names of the private landowners of TMK No. (4) 2-1-007:151 (por.) - Lot 82, from Michelle M. Lomongo to Michelle T.M. Lomongo.
Tsuji presented for Land Division. There is an error in the title which references Koloa, and the actual location is in Hanapēpē. The Tax Map Key is correct.
Board Discussion
The Deputy Attorney General (AG) said to strike “Koloa.” from the title and noted sunshine requirements had been fulfilled.
Amend to strike “Koloa” in the description of the location.
Public Testimony - None
Motion
Approved as amended (Oi, Gon) unanimous.
ITEM D-3 Denial of Request for Issuance of a Month-to-Month Revocable Permit to Herbert Moniz for the Purpose of Maintaining Existing Noni Field and Harvesting Noni Fruits from Existing Noni Trees, Kaimu, Puna, Hawai‘i, Tax Map Key: (3) 1-2-006: Portion of 019.
Russell Tsuji and Candace Martin presented for Land Division. Staff is recommending that the Board deny Mr. Moniz’s request for a Revocable Permit and fine him for unauthorized grubbing and grading of State lands. Two other entities have requested to lease this property. However, Staff recommends transferring to the Department of Agriculture per Act 90. DOFAW has not expressed an interest in this property. Mr. Moniz is not present, despite being sent notice and e-mails.
Board Discussion
Member Yuen asked if it is standard to bring a request of denial to the Board, or is this before the Board because there is also a fine included. Tsuji clarified that Land Division brings items before the Board if the Applicant asks for a request to be heard before the Board. Member Yuen noted that denials do not normally come before the Board.
Member Gomes noted that Mr. Moniz has called him regarding this property. However, upon researching the issue, he supports the Staff submittal.
Public Testimony - None
Motion
Approved as submitted (Yuen, Gon) unanimous.
ITEM D-4 Consent to Sublease of Lands under Governor’s Executive Order No. 4224 to County of Hawai‘i for Elderly Housing and/or Low-Income Housing and Related Services Purposes, Waiakea, South Hilo, Hawai‘i, Tax Map Key: (3) 2-4-001:185.
Tsuji and Martin presented for Land Division. This is a Senior and Low-income housing project.
**Board Discussion** - None
**Public Testimony** - None
**Motion**
*Approved as submitted (Roehrig, Gomes) unanimous.*
**ITEM D-5** Issuance of Right-of-Entry Permit to United States Geological Survey, Hawaiian Volcano Observatory for Survey of Kapapala 1949 Benchmark on Lands Encumbered by General Lease No. S-6103 to Ernie M. Mattos for Pasture Purposes, Kapapala, Ka`ū, Hawaiʻi, Tax Map Key: (3) 9-8-001:002.
Tsuji presented for Land Division. This involves the United States Geological Service Hawaiian Volcano Observatory placing a temporary GPS monitoring station on the subject parcel for a year.
**Board Discussion** - None
**Public Testimony** - None
**Motion**
*Approved as submitted (Oi, Gomes) unanimous.*
**ITEM D-7** Grant of Term, Non-Exclusive Easement to Seaview 2004, Inc. for Resolution of Encroaching Seawall Purposes, Spreckelsville, Wailuku, Maui, Tax Map Key: (2) 3-8-002: seaward of 001.
Tsuji presented for Land Division. This involves granting a non-exclusive easement to Seaview 2004 to resolve a seawall encroaching on State lands.
**Board Discussion**
Given the possibility that the shoreline in this area is receding, there was a discussion of where the shoreline may be, and other possible encroachment. For example, during high tides, the basement garage floods, and therefore the building may be encroaching on State land.
There was a discussion of the Diamond case and the Gold Coast decision, both of which affect the way the Department of Land and Natural Resources addresses seawalls and receding shorelines. The question came up as to whether or not the AG has to sign off if the State is accepting formerly
private land, including receding shorelines. Wynhoff, the Deputy Attorney General, noted that such a request had been submitted, but that the AG had not yet provided a response.
Tsuji noted that under Sotomura the charges are appropriate.
Deputy Attorney General opined that the charges are appropriate, in part because this is an issue of encroachment and not one of the State gaining land because of sea level rise. Tsuji clarified that Land Division is assisting the Department (OCCL) in the shoreline survey program. One of the rules is that encroachments have to be resolved before the permit can be issued. OCCL opines whether the structures stays or goes. If it can stay, then an easement is the way to address it. Landowners want the process to move forward, so they apply for the easement. Tsuji also noted that there are liability issues if these structures are ignored.
**Public Testimony** - None
**Motion**
*Approved as submitted (Gomes, Gon) unanimous.*
**ITEM M-10** Consent to an Assignment of State Lease No. DOT-A-09-0001 from Smoky Mountain Helicopters, Inc. to Alexair, Inc. by Way of a Transfer of all of the Outstanding Capital Stock through a Stock Purchase Agreement, Port Allen Airport, Tax Map Key: (4) 1-8-08: Portion of 4.
Smith withdrew this Item from today’s Agenda and will bring it back later.
The Board asked that the following be included when the next submittal comes in:
- Photos and maps of the area
- Results of discussions with the Salt Pan Users (Airports was asked to reach out to Salt Pan Users).
- Diagrams of flight plans that stay away from the salt-pans.
**ITEM D-8** Issuance of a Right-of-Entry Permit to TEAM Unlimited, LLC for the 2017 XTerra Off-Road Triathlon World Championship, Kapalua, Lāhainā, Maui, Tax Map Key (2) 4-2-004: Seaward of 014, 015 and 016.
Tsuji presented on behalf of Land Division. He had nothing to add to the submittal.
**Board Discussion** - None
**Public Testimony** - None
**Motion**
*Approved as submitted (Gon, Gomes) unanimous.*
ITEM D-10 Rescind Prior Board Actions of February 27, 1970, Item F-8, Grant of Perpetual Non-exclusive Easement for Pole and Electric Transmission Lines at Makīkī, Honolulu, O‘ahu.
Tsuji, presenting for Land Division, had nothing to add to the submittal.
Board Discussion - None
Public Testimony - None
Motion
Approved as submitted (Oi, Gomes) unanimous.
ITEM D-12 Amend Prior Board Action of January 11, 2013, (Item D-12), Consent to Assign Grant of Non-Exclusive Easement No. S-5338, Brian Grazer, Trustee of the Brian Grazer Trust of 1995, Assignor, to Thomas McCormick, Trustee of the McCormick US Properties Trust 2012, Assignee, Amend the Easement Conditions by Allowing the Easement to Run with the Abutting Property and Updating the Insurance Provision; Pūpūkea, Ko‘olauloa, O‘ahu, Tax Map Key; (1) 5-9-001:038 portion.
Tsuji, presenting for Land Division, had nothing to add to the submittal.
Board Discussion - None
Public Testimony - None
Motion
Approved as submitted (Yuen, Gon) unanimous.
ITEM D-14 Amend Prior Board Action on September 25, 2015, Agenda Item D-16: Issuance of Immediate Management Right-of-Entry Permit to City and County of Honolulu, for the Use by the Board of Water Supply for Due Diligence Purposes, Hono‘uli‘uli, ‘Ewa, O‘ahu, Tax Map Key: (1) 9-1-018: portion of 008.
Tsuji, presenting for Land Division, had nothing to add to the submittal.
Board Discussion - None
Public Testimony – None
Motion
Approved as submitted (Gon, Gomes) unanimous.
ITEM D-15 Amend Prior Board Action of January 12, 2007, Agenda Item D-10; Set Aside to the State Department of Transportation, Highways Division for Highway Right-of-Way and Highway Boundary Purposes, Cancellation of Revocable Permit Nos. S-7152, S-7329, and S-7402 and Re-issuance of new Revocable Permits Covering the Remaining Areas and Issuance of a Right-of-Entry for Construction and Construction Staging Area Purposes, Honouliuli, Ewa, East Kapolei, O‘ahu, Tax Map Keys: (1) 9-1-18: Portions of 3 and 5, and (1) 9-1-17: Portions of 86 and 88.
Tsuji, presenting for Land Division noted that the Amendment is to remove all references to the cancellation of Revocable Permit No. 7402 and re-issuance of a new Revocable Permit with more updated information provided in the new request.
Board Discussion – None
Public Testimony – None
Motion
Approved as submitted (Yuen, Gon) unanimous.
ITEM J-1 Continuation of Revocable Permits to Anela Kai Catamarans, Inc., Island Beach Activities, Inc., Kepoikai, Ltd., King Parsons Enterprises, Ltd., Welakahao Catamaran, Inc., and Woodbridge Inc. to Embark and Disembark Passengers on Waikiki Beach, For the Purpose of Placing Permanent Anchors in the Beach in order to Secure the Vessel (See Exhibit A attached).
Ed Underwood, presenting for DOBOR, noted that this is an RP for Catamaran operators.
Board Discussion
Underwood noted that there are 6th Operators, rather than 7. Lost one. Member Downing thanked Meghan Statts for allowing one of the catamarans to use the 7th mooring during the king tides.
Public Testimony – None
Motion
Approved as submitted (Gomes, Downing) unanimous.
ITEM J-2 Amend Prior Board Action of May 26, 2017, Agenda Item J-2 for the Annual Renewal of Revocable Permit No. 8, to Hawai‘i Petroleum, for various locations on the Island of Hawai‘i. Tax Map Key: (3) 7-8-012:055, (3) 7-5-006:039 and (3) 6-1-003:023.
Dana Yoshimura presented for DOBOR.
**Board Discussion**
Boating is reviewing their RPs to decide which should be long-term dispositions rather than RPs. Their plan is to do one long term disposition on every island to develop a rapport with each County, and then work on priorities for each Island. They are working with the AG on a letter to the Counties stating the DLNR’s position on long-term dispositions. Thus, even though this might be better suited as a long-term disposition, it is still an RP until DOBOR goes through its process. Yoshimura was not sure how long this has been under an RP.
There was a question as to whether the “$.005” per gallon of fuel is a typo or the actual alternative rent sum (p, 2, Monthly Rental). Yoshimura was not sure but would check.
**Public Testimony** – None.
**Motion**
Yuen/Gomes. Unanimous
**ITEM F-1** Request for Approval to Enter into a FY18 Special Funded Project Agreement ($245,500) between the Board of Land and Natural Resources (BLNR) and The Research Corporation of the University of Hawai‘i (RCUH) for a Division of Aquatic Resources Research Project Titled “Development of Fast-Growing Native Hawaiian Corals”.
Brian Kanenaka presented for Division of Aquatic Resources.
**Board Discussion**
Member Gon noted that this is in response to coral beaching events. Kanenaka noted that the funding comes from DOBOR and the study is to respond to coral bleaching and breakage, rather than to study the effects of chemicals in run-off on corals. The goal is to figure out how to grow coral fast, so it can quickly replace dying coral. DAR has been doing this for about two (2) years.
DAR and Darlene will set up a board visit to the coral hatchery.
**Public Testimony** – None.
**Motion**
Approved as submitted (Gon/Oi) unanimous.
**Motion to Adjourn**
Oi/Gon. Unanimous.
There being no further business, Chair Case adjourned the meeting at 11:03 am. Recording(s) of the meeting and all written testimonies submitted at the meeting are filed in the Chairperson’s Office and are available for review. Certain items on the agenda were taken out of sequence to accommodate applicants or interested parties present.
Respectfully submitted,
Darlene Ferreira
Land Board Secretary
Approved for submittal:
Suzanne D. Case
Chairperson
Department of Land and Natural Resources
|
THE SCIENTIST FIGHTS FOR PEACE
by LOUIS N. RIDENOUR
What is the scientist's duty towards the state today? This question which has troubled the conscience of many of the most brilliant physicists in the country — men who worked with utmost loyalty in the national defense and for the Office of Scientific Research and Development during the war years — was driven home by Norbert Wiener, one of our ranking mathematicians, in his letter, "A Scientist Rebels," which appeared in the January Atlantic.
Professor Wiener declined to have anything further to do with death-dealing research. His reasoning does not satisfy Louis N. Ridenour, who was Adviser on Radar to General Spaatz; who is Professor of Physics at the University of Pennsylvania; and who believes that scientists of every stripe have a larger duty to mankind than merely abstaining. — The Editor
Now that the war is officially over, everyone seems to be trying to guarantee the peace in his own individual way. The wrangles and name-calling among the various peace-lovers parallel some of the worst features of a war, though they stop short of bloodletting.
I am sure that there are few people who love peace more devoutly, or who wish more profoundly to guarantee and preserve it, than Norbert Wiener. Yet I find myself in violent disagreement with his views as stated in his letter, "A Scientist Rebels." The issues involved are so important that the point of view of a scientist opposed to Wiener should be clearly stated.
Fundamentally, our disagreement turns on two points.
The first concerns the social responsibility of the scientist. Wiener clearly believes that the scientist is the armorer of modern war, and as such holds a responsibility of unique importance. I feel that the social responsibility of the scientist is unique in no important way. It is identical with the social responsibility of every other thinking man, except for one special and temporary thing. It is necessary today to educate the non-scientific public to the Promethean nature of atomic energy and the true character of science (for example, that it contains no secrets). This education must be done, so that all the people can participate in the decisions they will have to make concerning the organization of society in such a form that wars become less likely.
This educational job was splendidly begun by our government with the publication of the Smyth Report — a step that has recently been criticized by men who do not understand the meaning and the scope of the stupendous educational enterprise we have only just begun. Such an attitude toward the publication of the Smyth Report is the best possible evidence that, if the instruction of all people in these matters is not done promptly and well, we shall continue to wriggle out of the thinking that is demanded of us, using the well-worn old loopholes: "Not such a terrible weapon"; "Every offensive weapon brings a countermeasure"; "We'll keep the secret"; "We'll keep ahead in armaments"; "Let's have a cheap preventive war"; and so on.
Secondly, Wiener wishes to dissociate himself utterly from any activity connected with preparation for war, even to the extent of doing everything he can to make those preparations ineffective. I regard it as deplorable that our nation is preparing for war, and I prefer to leave to others the actual work involved; but so long as it is the policy of our nation to prepare for war, I shall certainly not attempt to impede such preparations. In fact, I have tried to help them by pointing out a way in which our anxiety to increase our military strength is harming our potential military performance: the hysterical insistence on secrecy in nuclear physics is slowing our progress in that field. I conceive the duty of the peace-lover to be that of working for a world in which national arms are no longer desired by a majority of the people of this country or of the world. Meanwhile, I do not believe in the wisdom, propriety, or effectiveness of attempts to sabotage the preparaimpression, for there has never been an accurate census of the butterfly population of Chicago.
4
Writing of the apparent nervousness of the question-mark butterfly brings to my mind the characteristic differences in the flight and the behavior of the different species. These characteristics, it seems to me, are much more important to one who would like to watch butterflies than the detailed descriptions of their coloring and the markings on their wings that are usually given in books. Such descriptions are fine when you have a butterfly in your hand and can examine its colors and count the number of black spots on the underside of its hind wings. But they are of no value whatever when you see a butterfly flit by over your head, or even when you are able to watch one resting on a leaf for a few seconds.
Almost anyone can identify a monarch from its habit of hanging from a flower by its long black legs, its wings closed or only partly open. The mourning cloak usually perches on tree trunks or other dark surfaces, with its wings wide open. The fritillaries fly straight to their destination and then seem to disappear, but on closer observation can be seen standing on some flower with tightly closed wings. The purples, which are large, dark-blue butterflies, flap about in the air over a bush or clump of weeds as though trying to make up their minds where to land; while the little brown skippers actually seem to skip through the air from one plant to another. But the prettiest flight of all is that of the blues, those tiny, light-blue butterflies that never seem to rise more than three feet above the ground. The only word I can think of to describe their flight is lilting; they lilt up and down among the tall grass and weeds like little puppet butterflies performing a dance. Try to catch one and you will see it bounce out from under your hand and lose itself among the vegetation, still lilting gracefully just above the ground.
To many people who have had little actual experience with insects, there probably seems to be a great difference between butterflies and moths. After all, butterflies are dainty little things that flit about on flowers, whereas moths are among the more destructive of our insects. Everyone has had some experience with the moths whose larvae eat clothing, and the larvae of other moths destroy crops and shade trees. And then most people think of moths as they do of bats — as shadowy creatures that slink about in the darkness on their nefarious business. But actually there is little difference between butterflies and moths, and I have always thought it unfortunate that there is not one common word to designate the two, as one can refer to both rats and mice by speaking of rodents. Scientifically one can use the word Lepidoptera, but in common speech there is no word for it.
As a rule moths have feathery antennae, while those of butterflies are thin and end in a knob; but there are so many exceptions to this rule that it is not of much service. Most moths are nocturnal, but one can find enough of them in the daytime to make this distinction, too, ineffective. Then moths spin cocoons of silk from their own bodies, while butterflies go through their metamorphosis in a chrysalis made of their own hardened skin; but if one saw a winged insect on a flower, one could hardly be expected to follow it about until it went into its metamorphosis, before deciding whether it was a butterfly or a moth. The best policy, it seems to me, is to disregard distinctions altogether and, unless one is certain of one's facts, call any doubtful species butterflies. Most people do anyway.
On warm evenings in late summer I like to go into some empty lot and sit quietly on the ground, screened from passers-by on the street by tall grass, weeds, or bushes. With the sound of crickets all about, and the higher, more strident shrilling of katydids, I wait until darkness comes. There is a period of perhaps half an hour, while it is still possible to distinguish moving objects above the grass, when everything seems to partake of some universal air of mystery. Then it is that I sometimes see one of those large, narrow-winged moths, the sphinx, the death's-head, and the hawk moth, hovering over a flower with wings vibrating swiftly but silently, then shooting like a bullet to some other plant.
These moths are probably out all night, sipping the nectar of flowers with their long proboscises, searching for mates, and doing the other things normal to moths. But I have never seen them except just before darkness, and so in my mind they are an integral part of the mystic hush of twilight, like ghostly beings from another world who haunt the earth for a few minutes just before night sets in. When I was a boy I once caught one of these moths in my hand, and for half a minute I could feel its powerful wings beating against my palm. Then it got away; and looking down at my hand I felt as though I had held some unearthly sprite or elf imprisoned there, a tiny being that had left a smudge of powder as a remembrance of its presence.
tion of arms when these arms are as widely believed to be necessary as they are today.
Wiener's views in these matters are best stated in his own words. The occasion for the letter that was printed in the January Atlantic was that Wiener had been asked, by an employee of an aircraft company engaged in work on guided missiles, for a copy of a National Defense Research Committee report he had written during the war. This report was out of print, and Wiener's correspondent had assumed that the simplest way to get a copy was to appeal to the author. In denying the request, Wiener said:
The policy of the government itself during and after the war... has made it clear that to provide scientific information is not a necessarily innocent act.... The interchange of ideas which is one of the great traditions of science must of course receive certain limitations when the scientist becomes an arbiter of life and death....
The measures taken during the war by our military agencies, in restricting the free intercourse among scientists... [will] if continued in time of peace... lead to the total irresponsibility of the scientist, and ultimately to the death of science. Both of these are disastrous for our civilization, and entail grave and immediate peril for the public....
I will not accept a censorship in which I do not participate.... To disseminate information about a weapon in the present state of our civilization is to make it practically certain that that weapon will be used....
The practical use of guided missiles can only be to kill foreign civilians indiscriminately.... Their possession can do nothing but endanger us by encouraging the tragic insolence of the military mind....
I do not expect to publish any future work of mine which may do damage in the hands of irresponsible militarists.
No doubt Wiener's letter sounded eminently sensible, and even lofty, to many who read it. The motives that lie back of it are certainly lofty, and with them I have no quarrel. But the assumptions on which it rests are open to the gravest question. Wiener encourages his readers to believe that, since technology is the daughter of science, and war is increasingly shaped by technology, the scientist has a unique moral and social responsibility. He must guide his work along peaceful channels; he must suppress such of his findings as apply to war.
This simply does not fit with the basic character of science. By definition, science consists of a completely open-minded probing into the unknown. No man can say what will be found as the result of a given investigation; and certainly no man can predict the nature of the practical engineering outcome of a given scientific investigation. Leo De Forest, the inventor of the three-electrode vacuum tube that is the basis of all present-day electronics, is said to be appalled at the babel and cacophony his invention has loosed upon the world. But De Forest was an inventor, not a scientist. The inventor or the engineer knows the goal of his work; the scientist has no goal but truth. He may have a preconception, based on existing theory, of what he will find in a given experiment, but he is ready to discard this in a moment if his results fail to bear it out.
To continue with our example, then: if De Forest is amazed at the results his invention has brought, imagine how Clerk Maxwell and Heinrich Hertz would feel if they could spend a day with the networks. Before Maxwell, the notion of electromagnetic radiation—radio waves—had never been conceived; before Hertz, radio waves had never knowingly been generated by man. With sufficient imagination, De Forest might have foreseen mass entertainment as the result of his improvement in the existing wireless communication art. It is altogether unthinkable that either Maxwell or Hertz could have had the slightest notion that he was providing a medium for the advertising of soap.
2
This essential unknowability of the practical ends of scientific investigation makes it senseless to speak, as some do, of "the planning of science for human betterment." This bit of Marxist doctrine is widely met nowadays, even in the best circles, and Professor Wiener does himself and his colleagues a disservice by embracing it. Since we cannot guess how technology will use the still unknown results of a proposed scientific investigation, we must therefore conclude that either science as a whole is good for mankind or it is not. We can "plan" science only to the extent of turning it off or on. Since science, through technology, really means material civilization, the question becomes: Is material civilization good for mankind or is it not? There are arguments on both sides of that question, but clearly its resolution is by no means the concern of the scientist alone.
Other meaningless phrases are finding their way into conversation and the public prints. According to this country's announced policy for the international control of atomic energy, we desire "the interchange of scientific information for peaceful purposes." What can this possibly mean? Either
scientific information is exchanged or it is not. No man can say what the practical effect of such interchange will be, and the nature of that effect depends fundamentally upon political and social factors, not upon the nature of the scientific information that is exchanged.
What I have said thus far about the unknowability of goal applies to science. What of technology, which by definition has a definable goal? Should an effort be made to guide technology toward peaceful ends? Professor Wiener thinks that it should. While objecting to the military interference with scientific publication that took place during the war and is still going on, he himself feels competent to perform intelligent censorship. He proposes to perform this censorship on the basis of the practical use that is contemplated for his own ideas. He states flatly, for example, that the only possible use of guided missiles is to murder foreign civilians indiscriminately.
Overlooking the astonishing lack of logic that is involved in imposing one's own censorship while simultaneously rejecting that of others, I feel that Wiener is wrong in this attitude. In a peaceful world, work even on guided missiles would proceed, though not on the same scale or with such desperate intensity as now. Guided missiles would be developed for a wholly peaceful and scientific purpose, not a military one. Given peace, they will carry man's instruments, and finally man himself, through outer space to the planets and the stars.
Here, as before — here even in the branch of engineering that Wiener regards as the farthest north of militarism — here still the principle holds. If the world is "postured for peace," as the Senators say (some of them say it in a way which implies that the posture involves a barrel), science, technology, and the useful arts contribute to the enrichment and the improvement of peaceful life. If the world is racked with suspicion, preparing for war, or in the throes of combat, the identical arts, techniques, skills, and individuals will contribute to the frightfulness and the horror of war. The decision rests on the contemporary character of world thought and world organization.
This is the basis for my assertion that the "social responsibility of the scientist" is identical with the social responsibility of every thinking man. Each must do his best to make sure that science, the canning industry, young men, the railroads — in short, the entire rubric of our society — are used for harmless and laudable purposes, and not for war. This desirable end can be attained only in a world where measures short of war are applied to solve international frictions. The scientist can no more choose whether he works for war or for peace than the Western Electric Company can choose whether the telephone instruments it manufactures are used on domestic circuits or as Army phones on a field of battle. The scientist does science, and Western Electric makes telephones. The use of either product is determined by society as a whole.
Anyone who feels a special sense of guilt because he helped create an atomic bomb, or anyone who believes that the creators of the atomic bomb should feel so, is confusing two quite different things. He is identifying the profound immorality of murder with the relatively insignificant matter of improving the means of murder. God told Moses, "Thou shalt not kill" — not "Thou shalt not kill with atomic energy, for that is so effective as to be sinful." The immorality of war is shared by all. Technical improvements in weapons can influence only the logistics and the strategy of any war that may occur; whether a war occurs or not is the crucial matter, and this is determined by the current "posture" of the world.
3
Among the social and political factors that influence the posture of the world at any given time, the state of armament of the nations is of great importance. So is the rate at which this state of armament is increasing or decreasing. There is some evidence to suggest that arms beget war, and presumably this is what causes Wiener and others of similar views to do personally whatever they can to retard the arming of our nation. Wiener's refusal to supply the report for which he was asked, though a purely formal matter, can only be regarded as an action taken in the belief that arms are bad in themselves, and that the more feebly this nation is armed, the less likely is war. Such a belief may be partly or entirely correct. I simply do not know whether, in a feral world, it is wiser for a nation to be strong or to be weak. And since I do not know, I do not feel it my privilege, much less my duty, to challenge by individual action the clear decision in favor of armaments that has been made by our government.
By coincidence, Wiener's position in this particular matter bears a very close relationship to an important misconception widely held among those having no knowledge of science. The latter
view can be called, for short, the small-war philosophy. The small-war men desire to restrain technology (which they often miscall "science") with a view to making the next war as much like the last as possible. The bombs that dropped on North America in World War II were few and small, the reasoning runs. If we can only stop weapon development at its present level, the coming war will leave our children the chance to live it through.
There are two important defects in this reasoning. First, it cannot work. Under present political arrangements, the only weapon development it lies in our power to stop is that of our own country, and stopping this could in no way guarantee that World War III would resemble World War II. Second, the small-war philosophy entirely misses the moral point; one war differs from another by not one whit of principle. The effectiveness of the weapons used in a war in no way increases or diminishes the moral guilt of murder.
I am dubious of proposals for instant unilateral disarmament and uncompromising individual pacifism. It seems to me that this country offers the best current approximation to freedom of the individual, under law, that can be found anywhere in our admittedly imperfect world. The status of the individual in our society contrasts markedly with the freedom that the individual is said to enjoy in Russia. I recognize fully that most of the desirable freedoms of the individual would be submerged, even in this country, if we had another war; but I feel that the tradition of their former existence would bring them back, if we had a succeeding peace. Given lasting peace, I am sure that the freedom of the individual would emerge everywhere in the world, under any form of government whatever; because the craving for this freedom is one of the basic human hungers, and our present peaceful technology is so abundant that we can fill even this expensive appetite, if war can be avoided. Even though I am thus convinced that freedom of the individual will appear eventually under any form of government, I am interested in preserving the form that has so far afforded the greatest freedom: our own.
Thus it seems to me deplorable but understandable that this country, while desiring and working toward peace, feels it necessary to be strong in a military sense. I shall be seriously worried about our arms only if we commence to put reliance in them as our guarantee of peace. Armaments are neither designed for this role nor useful in it. So long as we continue in a sincere effort to create a successful world organization by participation in and modification of the United Nations, it is idle to object to our possession of arms in a world of the present sort. Worse, it may be dangerous as well. I am sure that we should be regarded as a nation of lunatics if we engaged today in any thorough unilateral disarmament.
The scientist, on whom so much attention has focused for the past year and a half, is in a difficult position at the present time. Because he wishes to re-establish the traditional internationalism of his profession, he is a Communist. Because he served his country well in the war just past, he is an irresponsible armsmonger, with a childish delight in frightful new technical weapons. Because he is concerned over the damage that an uncrirical policy of continued secrecy can do to our scientific and technological progress as a nation — whether for peace or war — he is an idealist who wants to give the bomb to Russia, and he "nauseates" Mr. Baruch. Because some scientists, such as Wiener, are devout pacifists, the scientist is an un-American fellow who cannot be trusted. Because certain other scientists are still working for the Army and Navy, helping to arm our nation in accordance with the overwhelmingly expressed desire of the people of the country, science is the whore of the military. Because, among the perhaps ten thousand scientists and engineers who had contact with the atomic energy project, one has been convicted of a breach of secrecy, scientists are Red spies.
What I am claiming here is that scientists are people like everybody else. In common with all other citizens of the world, they have a heavy responsibility to work toward a world-wide political organization, social philosophy, and public morality that can be adequate to prevent wars between nations. To suggest that the scientist has an outstanding responsibility in terms of this entirely unscientific problem is misleading and harmful, for it encourages the lazy to fob their own responsibility off onto someone else. Wiener, in the name of science, is cheerfully accepting a unique social responsibility, while lasting peace demands that the responsibility be shared by all.
Finally, I reject the defeatist withdrawal from the world as it is, that is implicit in Wiener's letter. The only hope for man today is to work for a better world within the framework of what we have, imperfect as this is. It can be improved, and such improvement must arise not from withdrawal, but from intelligent and vigorous participation in existing affairs. Most scientists stand ready to do their part.
|
| مسیر: | (IUL)10-S1/1/2010/1036 |
|---|---|
| تاریخ: | 1431 محرم 11 |
| سال: | 2010 |
| مسیر: | Q5/2010/21 |
|---|---|
| تاریخ: | 28 جمادی الثانی 1431 |
| سال: | 2010 |
| مسیر: | E-7/C/2010/33 |
|---|---|
| تاریخ: | 28 جمادی الثانی 1431 |
| سال: | 2010 |
سند: MCHE-FM/2010/89
میں ایک مہم کا سربراہ ہوں جو 30 جون 2010 کو 10:00 بجے سے 5 جولائی 2010 کو 10:00 بجے تک جاری رہنے والا ہے۔
سند: (IUL)CHSE-SMT/1/2010/1007
میں ایک مہم کا سربراہ ہوں جو 1 جولائی 2010 کو 11:00 بجے سے 5 جولائی 2010 کو 11:00 بجے تک جاری رہنے والا ہے۔
سند: 1431 نمبر 12 جون 2010
میں ایک مہم کا سربراہ ہوں جو 1 جولائی 2010 کو 14:00 بجے سے 15 جولائی 2010 کو 13:30 بجے تک جاری رہنے والا ہے۔
سند: 141-D/2010/09
میں ایک مہم کا سربراہ ہوں جو 1 جولائی 2010 کو 15:30 بجے سے 15 جولائی 2010 کو 14:00 بجے تک جاری رہنے والا ہے۔
سند: www.mhrys.gov.mv
میں ایک مہم کا سربراہ ہوں جو 1 جولائی 2010 کو 15:30 بجے سے 15 جولائی 2010 کو 14:00 بجے تک جاری رہنے والا ہے۔
سند: 1431 نمبر 11 جون 2010
Maldives Meteorological Service
Ref: MMS-A/2010/06
Date: June 28, 2010
Invitation for Interested Consultants
Maldives Meteorological Service (MMS) requires the service of a consultant for Climatology and a Consultant for Numerical Weather Prediction to provide high-level technical support for further improving the services rendered by Climate Section, to re-structure the climate database and to provide training in the areas of climate and numerical weather prediction.
The MMS now invites interested eligible individual consultants to submit their proposal. Interested consultants must provide:
(a) A CV including information that demonstrates that applicant is qualified to perform the services described in the Terms of Reference (TOR) for the consultancy in Climatology and consultancy in the field of Weather Research and Forecasting (WRF) modeling
(b) Estimated charges for services inclusive of professional, incidental, medical and insurances cost. (Boarding, lodging and economy class return airfare for the consultant would be provided by MMS)
(c) A detailed work plan with the timeline for delivering the services described in the TOR.
A consultant will be selected in accordance with the bid-evaluation criteria set by Maldives Meteorological Service based on the financial regulation of Ministry of Finance and Treasury. Interested parties may obtain an outline TOR from www.mhte.gov.mv and further information at the address below.
The proposal must be submitted to the address below by regular mail, emails or fax before 1600 hours of July 29, 2010.
Maldives Meteorological Service
Hulhule’ 22000
Republic of Maldives
Fax:+3341797, +960 320021
E-mail: email@example.com
Southern Utilities Limited wishes to get some roads of the South Province designed and consultation services in order to pave the roads. Hence, road designers, consultancy firms and professionals who are interested are invited to submit a proposal to Southern Utilities Limited on or before 5th July 2010.
Additional information can be obtained before 30th June 2010 in writing through email: firstname.lastname@example.org or fax: 688 5941.
email@example.com
(A)H-2010/19
Southern Utilities Limited wishes to get some roads of the South Province designed and consultation services in order to pave the roads. Hence, road designers, consultancy firms and professionals who are interested are invited to submit a proposal to Southern Utilities Limited on or before 5th July 2010.
Additional information can be obtained before 30th June 2010 in writing through email: firstname.lastname@example.org or fax: 688 5941.
email@example.com
113-PRC/I-2010/203:
سند شماره: 02
دفتر جلسات 01 دفتر جلسات میباشد.
سند شماره: 05
دفتر جلسات 01 دفتر جلسات میباشد.
سند شماره: 1431
دفتر جلسات 01 دفتر جلسات میباشد.
سند شماره: 1431
دفتر جلسات 01 دفتر جلسات میباشد.
سند شماره: (A)H-2010/18
دفتر جلسات 01 دفتر جلسات میباشد.
Company details: Shall submit company profile, registration copy and contact details.
• **The bid shall be submitted in sealed envelope and addressed as follows:**
Head of Procurement and Inventory Management Department
State Electric Company Limited-
Cable Cutter & Crimping Tool
Ref: no: H-2010/56
- STELCO shall not be liable for the misplacement or premature opening for the unlabeled sealed bids.
• **Deadline:**
All sealed bids shall reach STELCO head office on or before Monday, 12th June 2010, 11:30hrs. Any bid(s) received after this deadline shall be disqualified.
• **Bid Opening:**
Bids shall be opened on Monday, 12th June 2010, 11:30hrs, STELCO Head Office, at 2nd Floor meeting room, in the presence of those bidders or bidder’s representatives who wish to attend the session.
• **Bid Evaluation Criteria:**
All Bids shall be evaluated on the following basis. Points (pts) shall be given according to the formula below:
- Price = 85 pts “(Minimum Quoted Price) / (Quoted Price) x 85”.
- Delivery period = 10 pts “(Shortest delivery period) / (Quoted delivery period) x 10”.
- Experience = 05 pts (Submit feedback from previous supplies for similar work).
* Additional (US$25/- plus 0.04% of bid amount shall be included to price of bid as financial costs for overseas payments).
• **Further information:**
Interested bidders may obtain further information from the following address:
Procurement and Inventory Management Department
State Electric Company Limited-
Ameenee Magu, Male’, 20349
Republic of Maldives
Tel: (960) 333 8121, (960) 333 8122
Fax: (960) 332 7036
E-mail: procurement@stelco-com-mv.
State Electric Company Limited (STELCO) invites sealed bids from interested and eligible for the supply & delivery of the following item(s):
| Item | Description | Qty |
|------|-----------------------------------------------------------------------------|-----|
| 1 | Battery Operated Cable Cutter - Should be able to cut through 40mm copper Strands
Shall include the followings:
Battery Charger 220-240V AC,
2 Batteries,
Carry Case | 1 |
| 2 | Battery Operated Crimping Tool - Should be able to crimp copper lugs upto 630sqmm
Shall include the followings:
With Crimping dies
Battery Charger 220-240V AC,
2 Batteries
Carry Case | 1 |
Remarks: For Power Distribution Unit
• Bids shall indicate the following:
- Price
* Door Step Delivery Price
OR
* CIF Price
The following charges shall be applied for CIF Male’ Prices:
1. For custom duty (25% of CIF price)
2. For clearing, handling & delivery to STELCO site (2% of the highest quoted CIF price)
* Bids shall indicate the unit price, total price for each item and total price of the bid.
- Currency (If not stated, shall be assumed as Maldivian Rufiya).
- Delivery period (In days). For CIF quoted bids, additional 07 days shall be included for the clearing, handling and delivery to STELCO site. Delivery indicated as ‘ex-stock’ and a particular duration not specified shall be taken same as the bidder offering the longest delivery period.
- Technical specification(s): All the relevant information(s) shall be completed to enable technical evaluation of the item(s) quoted.
- Genuine parts: Only genuine product(s) shall be acceptable.
- Payment Terms: 100% upon delivery within 30 working days.
- Bid Validity: Bid validity shall be minimum 30 days from the date of bid opening.
مرجع
جریان خون و فعالیت سلولهای خون در بیماریهای مختلف بهصورت 100 میلیلیتر خون از بیماران مبتلا به بیماریهای مختلف جمعآوری شده و در آزمایشگاه آزمایشهای مربوطه انجام میشود.
در تاریخ 5 دسامبر 2010 ساعت 14:00 در آزمایشگاه آزمایشهای مربوطه انجام میشود.
برای اطلاعات بیشتر مراجعه کنید:
6 دسامبر 2010
7656513 - 6580029
مرکز پژوهش و توسعه درمانی
| Description | Amount required |
|------------------------------|-----------------|
| POCHPACK D | 5L x 1 BOX | 50 |
| POCHPACK L | 500ml x 1 BOX | 10 |
| CELL CLEAN | 50ml x 1 BOTT | 15 |
| SYSMEX PRINTER PAPER | ROLL x 1 PACK 5 | 10 |
| EIGHT CHECK – NORMAL | 5ML x 1 BOTT | 6 |
| EIGHT CHECK – LOW | 5ML x 1 BOTT | 6 |
| EIGHT CHECK – HIGH | 5ML x 1 BOTT | 6 |
| EDTA Tube ( 2.5ml Vacutaner )| 100's x BOX | 25 |
مرجع
113-PRC/I-2010/205
مرجع
113-PRC/I-2010/181
مرجع
02 دسامبر 2010
Ministry of Housing, Transport and Environment
Republic of Maldives
Ref.: (IUL)138-KS1/1/2010/1031
Invitation for Interested Consultants
Integrating Climate Change Risk into Resilient Island Planning Project in the Maldives (ICCRRIP).
The Ministry of Housing, Transport and Environment is seeking consultants to the newly implementing project (Integrating Climate Change Risk into Resilient Island Planning) by the Ministry with collaboration of the United Nations Development Program (UNDP).
Local Consultant: Survey of Adaptation Measures
The purpose of the proposed survey is to provide baseline information on adaptation (and related coastal protection measures) activities in Maldives, and to identify adaptation options currently being used that may be suitable for replication in the project. The expected output is a compendium of ‘soft’ adaptation measures that can be implemented by communities, highlighting the features of each measure, their strengths, weaknesses and costs, and providing illustrated examples of such measures in the Maldives.
Objectives
1. To compile information on the variety of adaptation measures currently being taken to address coastal erosion, flooding and other climate related risks in different residential and resort islands.
2. To assess the relative effectiveness and costs of the adaptation measures and the factors that appears to affect performance of these measures.
3. To assess the potential for implementation of ‘soft’ adaptation measures and the major barriers, constraints and opportunities at the island level (including training needs).
The survey team will:
- Identify current level of climate change adaptation activity on residential and resort islands in the Maldives;
- assess, at an overview level, the relative effectiveness of adaptation measures being used on residential and resort islands; and
- Identify the major issues and barriers related to the use of coastal protection adaptation measures.
Qualifications:
- M. Sc or higher in engineering or related field
- Excellent knowledge and at least 10 years experience in coastal protection projects
- Experience and knowledge with working with island communities
Proposals will be selected based on the proponent’s experience in the area, quotation and timetable for delivery of the services as per the terms of reference attached.
Priority will be given to the candidates with experience on issues related to the project.
Interested Candidate may obtain the Terms of Reference (TOR) from the address below
Ministry Of Housing, Transport and Environment
Integrating Climate Change Risk into Resilient Island Planning Project in the Maldives
Ameenee Magu
Maafannu
Tel: +(960) 300 4 300
Fax: +(960) 300 4 301
Email: firstname.lastname@example.org
email@example.com
Expressions of interest must be delivered in writing with a resume to the above address by **1500 hours on 8th July 2010** by regular mail or e-mail.
Ministry of Housing, Transport and Environment
Republic of Maldives
Ref: (IUL)138-KS1/1/2010/1030
**Invitation for Interested Consultants**
**Integrating Climate Change Risk into Resilient Island Planning Project in the Maldives (ICCRRIP)**
The Ministry of Housing, Transport and Environment is seeking consultants to the newly implementing project (Integrating Climate Change Risk into Resilient Island Planning) by the Ministry with collaboration of the United Nations Development Program (UNDP).
**Local Consultant: Designing a Training Plan**
The purpose of the proposed consultant is to design a training plan that will guide the course which will train trainers who will in turn conduct awareness sessions in islands on topics related to the project work and the concept of inclusion of climate change risk into everyday activities as well as coastal and land use planning.
**Objectives**
1. Work with the project Training Team, including the following:
2. Consult with MHTE and other stakeholders on the training needs and objectives related to climate change adaptation.
3. Prepare a training plan to guide the project training program and the proposed TOT.
4. Organize and compile training materials.
5. Develop the training modules for TOT.
6. Assist in the selection of trainees.
7. Oversee the training plan implementation.
8. Participate in the training of trainers in accordance with the plan and in collaboration with the training team.
9. Evaluate the training outcomes.
10. Monitor progress and feedback on the training program and suggestions for improvements.
11. Prepare a report on the results of the training program.
**Qualifications:**
- More than 10 years of relevant experience in the education sector
- Experience in adult education and professional development programs
- Experience in training needs assessment and evaluation
- Experience with development of field oriented teaching methods and materials
- Experience in environmental education
Proposals will be selected based on the proponent’s experience in the area, quotation and timetable for delivery of the services as per the terms of reference attached.
Priority will be given to the candidates with experience on issues related to the project.
Interested Candidate may obtain the Terms of Reference (TOR) & the Training Strategy of the project from the address below.
Ministry Of Housing, Transport and Environment
Integrating Climate Change Risk into Resilient Island Planning Project in the Maldives
Ameenee Magu
Maafannu
Tel: +(960) 300 4 300
Fax: +(960) 300 4 301
Mobile: + (960) 7999368
Email: firstname.lastname@example.org
Expressions of interest must be delivered in writing with a resume to the above address by **1500 hours on 8th July 2010** by regular mail or e-mail.
---
**UPPER NORTH UTILITIES LIMITED**
Male, Maldives
**Ref. No:** UNUL-AN/2010/027
**Date:** Sunday, 27 June 2010
**VACANCY ANNOUNCEMENT**
Upper North Utilities Limited, the provincial utility company for Upper North Province, has the following job positions opened at its Male Office.
**Job Title:** PR and Admin Executive
**Division:** Public Relations and Administration Department
**Positions:** 1 (One)
**Qualification:** Diploma in Business Administration or Marketing or PR
**Basic Salary:** Negotiable
**Benefits:** An attractive allowance package and medical insurance and other benefits will be provided.
The posts are exclusively for Maldivians and we encourage all qualified candidates to apply as soon as possible. The applications should be accompanied with the application letter, copies of the academic certificates, copy of the national identity card and any other documents that may support the application. Experience in the relevant field will be an added advantage.
Application deadline: **1600 hrs, 1 July 2010.**
---
**Upper North Utilities Limited**
6th Floor, M. Port Complex
Hilaalee Magu, Male’, Republic of Maldives
Tel: +960 330 8568, Fax: +960 330 8569
Email: email@example.com
Website: www.unul.com.mv
UPPER NORTH UTILITIES LIMITED
Male, Maldives
Ref. No: UNUL-AN/2010/028
Date: Sunday, 27 June 2010
VACANCY ANNOUNCEMENT
Upper North Utilities Limited, the provincial utility company for Upper North Province, offers the opportunity of the following job position as the following job positions opened at its Male Office.
Job Title: Accountant
Division: Accounts & Finance Department
Positions: 1 (One)
Qualification: Bachelor’s Degree in Accounts or Finance, (or 2 years experience in the field)
Basic Salary: Negotiable
Benefits: An attractive allowance package and medical insurance and other benefits will be provided.
The posts are exclusively for Maldivians and we encourage all qualified candidates to apply as soon as possible. The applications should be accompanied with the application letter, copies of the academic certificates, copy of the national identity card and any other documents that may support the application. Experience in the relevant field will be an added advantage.
Application deadline: 1600 hrs, 1 July 2010.
Upper North Utilities Limited
6th Floor, M. Port Complex
Hilaalee Magu, Male’, Republic of Maldives
Tel: +960 330 8568, Fax: +960 330 8569
Email: firstname.lastname@example.org
Website: www.unul.com.mv
JOB VACANCY
(Only for Maldivians)
SCUL/2010/AD/60
Date: 26rd June 2010
South Central Utilities Limited (Th.Gaadhihufushi) invites application from young and energetic people with pleasant personality, good interpersonal communication skill, and excellent command of Dhivehi & English and should be result driven and committed to the job.
01. Technician 02 (male)
Requirements: - G.C.E O’level standard or 2 or 3 Years experience in Similar field
Salary: Attractive remuneration package will be Offered to successful candidates.
Interested candidates please send application along with Attested certified copies of your qualifications and resume before 6th July 2010, 3pm to:
Only short listed candidates will be notified and informed for an interview
SOUTH CENTRAL UTILITIES LIMITED
04th Floor, H.Fulidhooge, Tel: 330-9789, Fax: 330-6844
ملاحظات:
1- مدة الدراسة: 3 سنوات (أو 6 سنوات للطلاب الذين يرغبون في الحصول على شهادة الماجستير).
2- عدد الساعات: 48 ساعة.
3- عدد الدروس: 16 درسًا.
الرسوم:
1- رسوم الدراسة: 4465/-.
2- رسوم المعيشة: 1500/-
3- رسوم التأمين الصحي: 1000/-
الشروط:
1- يجب أن يكون الطالب حاصلًا على شهادة البكالوريوس في مجال تخصصه.
2- يجب أن يكون الطالب قادرًا على التعلم باللغة العربية.
3- يجب أن يكون الطالب قادرًا على التعلم باللغة الإنجليزية.
الإجابة:
1- ما هي مدة الدراسة؟
2- ما هي رسوم الدراسة؟
3- ما هي الشروط؟
الإجابة:
1- مدة الدراسة: 3 سنوات.
2- رسوم الدراسة: 4465/-.
3- الشروط: يجب أن يكون الطالب حاصلًا على شهادة البكالوريوس في مجال تخصصه، قادرًا على التعلم باللغة العربية والإنجليزية.
Maldives Airports Company
Male’, Republic of Maldives.
Ref No: 116/A3/IL/2010/36 24th June 2010
**Vacancy for an AUDIT EXECUTIVE**
Maldives Airports Company, the leading airport operator in the Maldives is looking for a Highly Qualified and dedicated Audit Executive who is capable
- Of advising Chief Executive Officer & Managing Director on Corporate Operations in accordance with the Company policies, procedures and industry best practices.
- To Conduct and Manage Internal and External Audit
**Qualification:**
Masters Degree in Accounting or Finance or a professional certificate such as CIMA or ACC. Other Academic qualification in the relevant field that meets the minimum requirements will be acceptable.
**Required Knowledge Skills or Abilities**
Five years of progressively responsible experience in internal and external audit
Knowledge of Accounting and Auditing Standards, methodologies and regulatory requirement
Fluency in English and Dhivehi in spoken and written language
Understanding of office management principles, practices and procedures
A pleasant personality with People Skills
**Remuneration and other benefits:**
The lucrative remuneration Package includes Basic salary, Service allowance (30% of basic salary), Accommodation Supplementary allowance, Food allowance, Annual performance bonus and Annual bonus (Approximately MRF 28,000) per month). Other benefits include Health Insurance, 30 days paid leave and other leaves entitled in the labor law.
**Application:**
Those who fulfill the above criteria please submit your application with copies of academic and professional certificates, national ID and other relevant documents before 1600 hrs on 6th July 2010
**Contact Details:**
Maldives Airports Company Ltd, Male’ International Airport, Hulhule 22000, Rep of Maldives. Email: email@example.com, Fax +960 3331515, Phone +960 3337243, www.airport.com.mv
---
**MALDIVES MONETARY AUTHORITY**
Male’, Republic of Maldives
Ref No: IL - HRMS / 2010 /36
June 24, 2010
**JOB VACANCY**
We are looking for dynamic, reliable, energetic and highly motivated individuals to work in our organization.
Interested candidates can apply for the following positions.
**Position:** Assistant Manager
Credit Bureau – *I position*
**Qualification & Experience:**
- Masters Degree in computer/ IT field, OR
- Bachelors Degree in computer Science/related field
- Experience in IT related area will be an added advantage.
**Skills required:**
- Strong organizational and conceptual skills, detail-oriented, and possess excellent written and oral communication skills;
- Should possess excellent interpersonal skill, analytical skills and sound leadership qualities.
- Ability to interface with executive level management and give senior level presentations
*Interested candidates are requested to send their application along with CV, copy of ID card, copies of educational certificates with transcripts and other supporting documents to:*
**Human Resource Division**
**Maldives Monetary Authority**
**Boduthakurufaanu Magu, Male’**
**Application closing time: 30 June, 2010 at 1500hrs.**
Application forms are available from MMA and from our website: [www.mma.gov.mv](http://www.mma.gov.mv).
(2010) (IUL)195/1/2010/1004
مہر 11 1431
23 جون 2010
مہر 15 1431
27 جون 2010
مہر 24 1431
24 جون 2010
مہر 30 1431
30 جون 2010
مہر 16:00 1431
16:00 جون 2010
مہر 16:00 1431
16:00 جون 2010
مہر 6000 1431
29 جون 2010
مہر 12:00 1431
12:00 جون 2010
مہر 22 1431
22 جون 2010
| Department | Number of Vacancies |
|------------|---------------------|
| Computer Science & Engineering (Science) | 5 |
| Electrical & Electronic Engineering (Science) | 3 |
| Electronic & Telecommunication Engineering (Science) | 5 |
| English Language & Literature (Arts) | 03 |
| Business Administration (Arts) | 5 |
| Law | 5 |
| Quranic Science & Islamic Studies (Shariah) | 5 |
| Dawah & Islamic Studies (Shariah) | 5 |
**Eligibility Criteria:**
- **Bachelor's Degree:** Minimum 50% marks in HSC or equivalent from recognized institutions.
- **Master's Degree:** Minimum 60% marks in BSc/MSc/MA/MBA from recognized institutions.
- **TOEFL:** Minimum 550 points.
- **IELTS:** Minimum 6.0 points.
**Application Process:**
1. Visit the official website: www.iuuc.ac.bd
2. Download the application form.
3. Fill out the application form and submit it along with all required documents.
4. Pay the application fee through the prescribed method.
5. Submit the completed application form to the designated office.
**Important Dates:**
- **Last Date for Application:** 04 July 2010
- **Interview Date:** 04 July 2010
**Contact Information:**
- **Address:** [Not provided]
- **Phone:** 3347421
- **Email:** [Not provided]
ASSOCIATION OF CHARTERED CERTIFIED ACCOUNTANTS (ACCA)
Starting in July 2010
| Level | Name | Tuition Fee (Rf) |
|------------------------------|-------------------------------------|------------------|
| Knowledge Level | Accountant in Business | 2180.00 |
| (15 Weeks) | Management Accounting | 2180.00 |
| | Financial Accounting | 2180.00 |
| Skills Level | Corporate and Business Law | 2150.00 |
| (30 Weeks) | Performance Management | 2150.00 |
| | Taxation | 2180.00 |
| | Financial Reporting | 2170.00 |
| | Audit and Assurance | 2150.00 |
| | Financial Management | 2200.00 |
ENTRY CRITERIA
Registered Students at ACCA
OR
Student applying for Knowledge level should have minimum two A Levels and three O Levels including English.
(For other entry options please refer to http://www.accaglobal.com/join/acca/entry)
Limited placements ............. APPLY NOW
✓ Note: The above fees do not include external fees (details of external fees are available at http://www.accaglobal.com/join/acca/fees) and books (knowledge level: approx. Rf. 3124/- for the 3 subjects, Skills level: approx. Rf. 6204/- for 6 subjects).
✓ How to Apply: Interested candidates are to fill an application form available from MCHE (Student Services), Nikagas Magu.
• Application Deadline: the application form and the attested copies of certificate(s) are to be submitted to MCHE (Student Services), Nikagas Magu before 1530 hrs on 1st July 2010.
FIRST COME FIRST SERVED BASIS
FACULTY OF MANAGEMENT AND COMPUTING
Sosun Magu, Henveyru
Male’ (20-05), Republic of Maldives
Tel: (960) 3345480
Fax: (960) 3320484
http://www.mche.edu.mv/fmc/index.html
سند: TTAM/IUL/2010/03
ملاحظات:
19 ویں جولائی 2010ء کو 29 مئی 2010ء کے ساتھ 19 ویں جولائی 2010ء کے ساتھ 14:30 کے وقت میں ایک اجلاس کا انعقاد ہوا۔ اس اجلاس میں مذکورہ مطالبہ کی تفصیلات بحث کی گئیں۔
23 جون 2010ء
سند: (IUL)99-C/1/2010/1047
ملاحظات:
1. جنرل سرکار
2. جنرل سرکار
3. جنرال سرکار
4. ریاست
5. ریاست
6. ریاست
7. ریاست
10 جون 2010ء
سند: (IUL)99-C/1/2010/1046
ملاحظات:
1. جنرال سرکار
2. جنرال سرکار
3. جنرال سرکار
4. ریاست
5. ریاست
6. ریاست
7. ریاست
10 جون 2010ء
سند: (IUL)99-C/1/2010/1047
ملاحظات:
1. جنرال سرکار
2. جنرال سرکار
3. جنرال سرکار
4. ریاست
5. ریاست
6. ریاست
7. ریاست
10 جون 2010ء
سند: (IUL)99-C/1/2010/1046
ملاحظات:
1. جنرال سرکار
2. جنرال سرکار
3. جنرال سرکار
4. ریاست
5. ریاست
6. ریاست
7. ریاست
10 جون 2010ء
144-A/2010/295
ADD-MPL/2010/31
A- 43/2010
1431 محرم 11
2010 جمادى الأولى 23
1431 محرم 12
2010 جمادى الأولى 24
1431 محرم 24
2010 جمادى الأولى 30
1431 محرم 65
2010 جمادى الأولى 30
1431 محرم 65
2010 جمادى الأولى 30
|
The Relationship Of Non-Linguistic Visual Perception To Lipreading Skill
J. Richard Franks
Washington State University
The importance of visual perception to lipreading is at once obvious. Visual evidence of the message must be identified by the lipreader with speed and accuracy if the lipreader is to attain proficiency in lipreading. Its importance is recognized and explicitly discussed by both classic and recent writings concerned with lipreading training (Nitchie, 1950, p. 41; O'Neill and Oyer, 1961, pp. 50-69; Bruhn, 1965, p. 8; Jeffers and Barley, 1971, pp. 142-149). Yet only a limited amount of research has been reported which even indirectly considers the relationship of speed and accuracy of visual perception to lipreading (Heider and Heider, 1940; Reid, 1947; Wong and Taaffe, 1958; Brannon and Kodman, 1959; Coscarelli and Sanders, 1968; and Hardick, Oyer, and Irion, 1968). Moreover, the research reported provides little clear direction regarding the best approach to the training of this important component of lipreading and provides little basis for confidence that the various approaches to lipreading training develop visual skill with maximum effectiveness. Furthermore, the research that has been done has not had a precise and exclusive focus on visual perception.
This study was undertaken to consider the question of whether a specific type of visual perception independent of learned linguistic elements such as phonemes, words, and sentences might relate to and assist the lipreading process. Furthermore, it seemed logical that, because lipreading depends fundamentally on the visual identification of sound configurations on the lips, an examination of visual perception and training might most appropriately involve differing lip postures.
Specifically two questions were examined in the study. First, is there a relationship between untrained identification of non-linguistic mouth postures and the lipreading of either speech sounds, words, or sentences? Second, is lipreading skill improved as the result of training in the identification of non-linguistic mouth postures?
METHOD
Subjects
Two groups of 16 subjects were involved in the study, an experimental group (8 males and 8 females) and a control group (9 males and 7 females). The subjects were randomly selected from a large class of 400 college students and were randomly assigned to the groups. Each of the subjects was determined to have normal vision and none of the subjects had received previous lipreading training. The mean ages of the two groups was 21 and 20 respectively.
Lipreading Pre-tests
Each of the groups was first presented a lipreading pre-test battery by means of video-tape with no sound. The battery consisted of the sentences from the Keaster-Tracy Clinic Film Test of Lipreading (Taaffe, 1957); 16 unvoiced consonants presented in nonsense syllables composed of /Λ(c)Λ/; 11 vowels presented in syllables composed of /m(v)m/; and 50 mono-syllabic words comprising List I of the Michigan CNC Discrimination Tests.
For the test presentations the subjects were seated in four rows 5, 8, 11, and 14 feet from the television set on which the tests were presented. The head size of the image projected on the 19-inch TV screen was approximately 10 x 12 inches, including the full face and hair of the speaker.
Stimuli and Training Procedure
The full face of a female subject was photographed with her lips and mouth forming 9 different postures consisting of 3 degrees of lip rounding, 3 degrees of vertical mouth opening, and 3 degrees of horizontal widening of the mouth. Color slide transparencies were produced for projection with a tachistoscope.
Following the lipreading pre-test tachistoscopic presentations were given to the subjects in groups of 3 to 6. The subjects were seated in one or two rows with the first row situated 5 feet and the second row 8 feet from a rear projection screen on which the life-size images were projected. The subjects were asked to identify the mouth postures by writing “H 1” for horizontal posture 1 or “V 2” for vertical posture 2, etc.
The subjects first received practice in identifying the mouth postures for each dimension (horizontal, vertical, and rounding) separately by viewing each posture with no timing until an identification was attempted. Immediate feedback regarding accuracy was provided in this practice session and throughout the program. Next, in the initial session, the postures in each dimension were presented at tachistoscopic
exposures of 1/5 of a second, then at 1/10 of a second, and finally at 1/25 of a second. (The exposure times of 1/5 and 1/10 of a second were used for the purpose of introducing the tachistoscopic procedure and were not used after the first session.) The last portion of this session consisted of practice in the identification of all of the postures presented with equal frequency, and in random order with untimed exposure.
The second session involved review of the procedure and, for each dimension separately, identification practice with untimed exposure followed by presentations within each dimension at each of the experimental exposure times of 1/25, 1/50, and 1/100 of a second. (This order of exposure times was maintained for succeeding sessions.) Finally, the postures for all dimensions were combined and presented randomly at the three exposure times. The same procedure was followed for session 3. During the fourth session, lip postures for all dimensions were combined and presented twice in a random order at each of the exposure times. The sessions were approximately one hour in length.
The control group received no training.
Two days after the final training session post-tests of lipreading skills were given to both the experimental and control groups. The post-test consisted of an equivalent form of the Keaster-Tracy Clinic lipreading test sentences (Taaffe, 1957) and the same nonsense syllables and words used in the pre-test but presented in different randomized order.*
**RESULTS AND DISCUSSION**
*Relation of Perceptual Speed to Lipreading*
The first question concerning the relationship between untrained identification of non-linguistic lip configurations and lipreading skill was examined by calculating coefficients of correlation between error scores for the first randomized, timed exposures of the mouth postures across all dimensions and the pre-test lipreading scores. These correlations are shown in Table I.
It will be noted that for the exposure duration of 1/25 of a second the coefficients of correlation for words and sentences were not statistically significant at the .05 level; and no correlation is shown for lipreading of speech sounds for any of the conditions. However, at higher exposure speeds the coefficients of -.50 and -.58 for the lip-
---
*Equivalence of the lipreading test sentences has been established by Taaffe (1957) and equivalence of the video-tape presentations of these sentences was assumed since the sentences were spoken by the same talker under the same circumstances and during the same recording session. This was also true of the video-tape presentations of the nonsense syllables and words.*
reading of words and the coefficients of -.66 and -.62 for the lipreading of sentences were statistically significant at the .05 level or better, thus indicating that the greater the perceptual accuracy for the lip postures with shorter exposure times, the greater was the success in lipreading words and sentences.
**Table 1. Correlation of Errors of Visual Perception and Lipreading Skills**
| Lipreading Test | Exposure of Stimuli in Seconds |
|-----------------|-------------------------------|
| | 1/25 | 1/50 | 1/100 |
| Sentences | -0.25 | -0.66** | -0.62** |
| Words | -0.42 | -0.50* | -0.58** |
| Vowels | -0.16 | -0.24 | -0.14 |
| Consonants | -0.05 | -0.21 | -0.27 |
*Significant at the .05 level
**Significant at the .01 level
Although the magnitude of the significant coefficients of correlation might be considered rather low, when comparison is made to coefficients obtained from other studies of factors related to lipreading ability, they appear somewhat stronger. A review of such studies (Jeffers and Barley, 1971) reveals that the highest coefficient of correlation reported was .68, in one instance, with most correlations below .55. Thus visual perception as examined here appears to be as worthy of attention as other factors considered to be important to lipreading.
The finding that significant correlations existed only at the most rapid exposure speeds and not at 1/25 second may be related to the fact that most consonant sounds and some vowel sounds have duration times of less than 1/25 second (Fletcher, 1961, pp. 61-67). Hence skill in perception at more rapid speeds logically might be expected to contribute to greater accuracy in identifying the visible components of speech, resulting in higher lipreading scores.
One might expect to find a close correlation between the lipreading of vowels and consonants in nonsense syllables and the identification of mouth postures, especially in the case of the vowels, since the experimental mouth postures might be seen as similar to the production of isolated phonemes, particularly vowels. A possible reason for this lack of relationship may be the extreme ambiguity associated with the visual identification of English phonemes in the absence of contextual clues (Woodward and Barber, 1960; Fisher, 1968; and Franks, 1972). The high degree of confusion involved in the visual identification of
speech sounds may have placed correct identification of vowels and consonants on a chance basis where even a high degree of visual skill did not influence success in the task. This suggestion is supported by the fact the scores for the lipreading of phonemes were extremely low.
Although no statistically significant relationships are shown at the speed of 1/25 of a second nor for the lipreading of phonemes at any exposure speed, the statistically significant correlations at higher exposure speeds for words and sentences support visual perceptual skill as a variable in lipreading and seem to indicate that speed of perception is important.
**Results of Perceptual Training**
Skill in identifying the tachistoscopically presented mouth postures was found to improve with practice. Table 2 gives a comparison of the mean number of errors for the first and final randomized presentations of the postures. All of the differences were determined by $t$-tests to be significant at the .05 level.
**Table 2. Means, standard deviations, and $t$-test probabilities for error scores in identifying mouth postures for the first and final randomized tachistoscopic presentations.**
| Exposure Times | First M | First SD | Final M | Final SD | $t$-test probability |
|----------------|---------|----------|---------|----------|----------------------|
| 1/25 sec. | 12.56 | 4.08 | 7.56 | 4.35 | .02 |
| 1/50 sec. | 10.25 | 4.23 | 6.31 | 3.09 | .02 |
| 1/100 sec. | 9.43 | 4.59 | 6.44 | 3.03 | .05 |
However, only to a limited extent was this apparent improvement in perceptual skill reflected in improved lipreading test scores for the experimental group in comparison to the control group.
Table 3 shows the mean differences between the pre- and post-tests of lipreading skill for the two groups. For the lipreading of sentences the mean differences favor the experimental group to a slight degree; however, the differences between the mean gains of the experimental and control groups were not statistically significant at the .05 level.
In the final analysis, minimal evidence was derived from the data to support separate training of visual perception, *as used in this study*, as a method which can be expected to have significant impact on lipreading proficiency. However, several possibilities might be considered which would justify further investigation: 1) The period of training involved in this study may not have been sufficiently long to influence
Table 3. Means of lipreading scores before and after perceptual training, mean differences, standard deviations of differences and t-test results comparing the difference scores of the experimental and control groups.
| Lipreading Tests | Experimental | Control |
|------------------|--------------|---------|
| | Pre-M | Post-M | M Diff. | SD | Pre-M | Post-M | M Diff. | SD | t-test probability |
| Sentences | 65.81 | 72.44 | 6.63 | 14.18 | 60.18 | 61.53 | 1.44 | 17.84 | .37 |
| Words | 9.63 | 8.81 | -.81 | 3.53 | 9.00 | 7.24 | -1.88 | 2.78 | .35 |
| Vowels | 4.69 | 5.00 | .31 | 2.24 | 4.12 | 4.29 | .18 | 2.23 | .87 |
| Consonants | 7.75 | 8.56 | .81 | 2.26 | 6.71 | 8.35 | 1.75 | 2.49 | .27 |
lipreading skill. 2) Separate visual training may be helpful to lipreading, but the influence of visual perception training may have been masked by more prominent factors involved in lipreading success. 3) The specific method used here may not have been a valid approach to improving lipreading skill, but another method of visual perception training might be found to influence lipreading skill. In this regard, we should not ignore the significant correlations shown between initial success with the visual perception task used and scores on the sentence and word portions of the lipreading pre-test. The type of visual skill utilized to identify the rapidly presented mouth postures appears, at least, to involve a factor or factors important to lipreading. If this is true, we should be concerned with further objective investigation to more specifically identify this component of the lipreading process and to continue to search for the best method to strengthen this and other elements of lipreading skill.
REFERENCES
BRANNON, J. B., and KODMAN, F., “The Perceptual Process in Speech Reading.” *A.M.A. Archives of Otolaryngology*, 70, 111-119 (1959).
BRUHN, M., *The Mueller-Walle Method of Lipreading*. Washington, D.C.: The Volta Bureau (1965).
COSCARELLI, J. E., and SANDERS, J. W., “The Relationship of Skill in Visual Synthesis to Lipreading Ability.” Paper presented at the 44th Annual Convention of the American Speech and Hearing Association, Denver, Colorado, November 16, 1968.
FLETCHER, H., *Speech and Hearing in Communication*. New York: D. Van Nostrand Company, Inc. (1961).
FRANKS, J. R., “The Confusion of Consonant Clusters in Lipreading.” *Journal of Speech and Hearing Research*, 15, 474-492 (1972).
HARDICK, E. J., OYER, H. J., and IRION, P. E., “Lipreading Performance as Related to Measurement of Vision.” Paper presented at the 44th Annual Convention of the American Speech and Hearing Association, Denver, Colorado, November 16, 1968.
HEIDER, F., and HEIDER, G., “An Experimental Investigation of Lipreading.” *Psychological Monographs*, No. 232, 1-153 (1940).
JEFFERS, J., and BARLEY, M., *Speechreading*. Springfield: Charles C. Thomas (1971).
NITCHIE, E., *New Lessons in Lipreading*. New York: J. B. Lippincott Co. (1950).
O’NEILL, J. J., and OYER, H. J., *Visual Communication for the Hard of Hearing*. Englewood Cliffs: Prentice-Hall (1961).
REID, G., “A Preliminary Investigation in the Testing of Lipreading Achievement.” *Journal of Speech and Hearing Disorders*, 12, 77-82 (1947).
TAAFFE, G., “A Film Test of Lipreading.” *John Tracy Clinic Research Papers II*. Los Angeles: John Tracy Clinic (1957).
WONG, W., and TAAFFE, G., “Relationship Between Selected Aptitude and Personality Tests and Lipreading Ability.” *John Tracy Clinic Research Papers VII*. Los Angeles: John Tracy Clinic (1958).
**ACKNOWLEDGEMENT**
The research for this article was supported in part by a grant from the Washington State University Research and Arts Committee.
|
I. CALL TO ORDER
A Regular Meeting of the Board of Directors of JAMES IRRIGATION DISTRICT was held Tuesday, January 14, 2020, in the District office located at 8749 Ninth Street, San Joaquin, California. The meeting was called to order at 10:00 a.m., by President, Robert Motte. A quorum was at all times present and acting.
II. OTHER BUSINESS / PUBLIC COMMENTS
A. PUBLIC COMMENTS
None.
B. ADDITIONS / CORRECTIONS TO THE AGENDA
There were no corrections/additions to the Agenda.
C. POTENTIAL CONFLICTS OF INTEREST [FPPC §87105]
Directors were given an opportunity to identify potential conflicts-of-interest with items appearing on the Agenda; none were reported.
III. MINUTES
A. REGULAR MEETING: DECEMBER 10, 2019
M/S/C (M.COMBS / R.CHANEY), to APPROVE as written by the following vote:
AYES: M.Combs, R.Chaney, R.Barcellos, R.Motte (4)
ABSENT: T.Chaney (1)
IV. TREASURER’S REPORT
In accordance with Water Code §24273, Mr. Amorelli presented reports as follows:
A. FINANCIAL REPORTS
1. **Interim Warrants: December 11, 2019-January 14, 2020** (Att.1)
Interim Warrants with supporting invoices were presented for review/approval.
M/S/C (M.COMBS / R.CHANEY), to RATIFY/APPROVE Interim Warrants totaling $377,468.41 by the following vote:
AYES: M.Combs, R.Chaney, R.Barcellos, R.Motte (4)
ABSENT: T.Chaney (1)
2. **Accounts Payable**
None were reported.
3. **Payroll Certification: Pay Periods Ending December, 2019** (Att.2)
A listing of payroll checks totaling $87,191.03 (net) issued to employees and Board members for pay periods ending December, 2019, was reviewed and certified by the President, General Manager/Secretary-Treasurer and Business Manager.
4. **Report of Remuneration to Board of Directors: January 1-December 31, 2019** (Gov. Code §53065.5)
5. **Income Statements (Budget-to-Actual): Period Ending December 31, 2019 (Unaudited)**
6. **Quarterly Report of Financial Investments: December 31, 2019** (Gov. Code §53646)
7. **Cash Position Report: December 31, 2019**
8. **Reserve Account Balance Trend Report: December 31, 1999-December 31, 2019**
9. **Schedule of Long-Term Debt/Notes Payable: December 31, 2019**
10. **Accounts Receivable Activity Report: December 31, 2019**
11. **District Labor Cost / Acre Foot: 2019**
V. DIRECTORS’ REPORTS
None were presented.
VI. GENERAL MANAGER’S REPORT
Mr. Stadler presented his verbal report encompassing operations, maintenance, projects and other District matters for the month of December, 2019, as follows:
A. OPERATIONS
1. **Water Deliveries: December, 2019** - There were no water deliveries for the month of December compared to 8.91 acre-feet last year. The fiscal year-to-date total deliveries are at 50,778 acre-feet which is 91 acre-feet less than was delivered at this time during the last fiscal year.
2. **U.S.B.R. / Central Valley Project**
Current status report of CVP Contract Supply:
\[
\begin{align*}
\text{JID CVP Contract Water Remaining} & \quad 1,577 \text{ acre-feet} \\
\text{San Luis Water District CVP Purchased} & \quad 3,846 \text{ acre-feet} \\
\text{Reclamation District No. 1606 CVP Transferred} & \quad 171 \text{ acre-feet} \\
\end{align*}
\]
5,594 acre-feet
CVP water will be utilized in February and March. A final CVP allocation of 40% to south-of-delta contractors is anticipated this year but remains to be confirmed.
3. **Kings River**
The District was successful in utilizing all of its Kings River entitlement water this season. Mr. Stadler is working to reconcile adjustments.
B. AGENCIES
1. **San Luis & Delta-Mendota Water Authority (SLDMWA)**
- Adopted 2020-2021 fiscal budget. Rates will decrease.
- Rainfall projections are drier than normal. Accordingly, the San Luis Reservoir will not fill. Rescheduled Water is no longer in jeopardy of being lost.
2. **Power & Water Resources Pooling Authority (PWRPA)** meets next week.
C. PUBLIC RELATIONS & OUTREACH
1. **District Newsletter “Looking Upstream”** - J. Randall “Randy” McFarland tendered his letter of resignation citing a conflict-of-interest. Mr. McFarland noted the Kings River Water Association was his original client since 1991 and stated the current litigation between the District and the KRWA places him in a conflicted position necessitating his resignation. The Board requested this topic be placed on the Agenda next meeting with consideration to be given to issuing an informal newsletter monthly.
D. **CORRESPONDENCE**
The Board reviewed an invitation by the City of San Joaquin the Centennial Gala on February 14, 2020, celebrating the 100-year Anniversary of the formation of San Joaquin.
VII. **OLD BUSINESS**
A. **RESOLUTION 2000-03 AUTHORIZING THE SALE AND DISPOSAL OF MATERIALS AND EQUIPMENT OF A VALUE OF LESS THAN $1,000** (11/19/2019) – M/S/C (M.COMBS / R.BARCELLOS) to RE-APPROVE POLICY SET FORTH IN RESOLUTION 2000-03 (no change) (Att.3) by the following vote:
AYES: M.Combs, R.Barcellos, R.Chaney, R.Motte (4)
ABSENT: T.Chaney (1)
B. **RULES & REGULATIONS GOVERNING WATER DISTRIBUTION & CANAL MAINTENANCE** (11/19/2019)
Reviewed current Rules & Regulations, specifically Rule 20, “Implementation of AB3030 Groundwater Management Plan Water Transfers”. It was the consensus of the Board that the policy be amended to state that no transfers will be allowed outside the District. Amending the policy will bring the Rules & Regulations into harmony with the James GSA Groundwater Sustainability Plan. Mr. Stadler will modify language and present the updated document for review/approval next meeting.
C. **JAMES GROUNDWATER SUSTAINABILITY PLAN** (07/09/2019)
Mr. Stadler noted the Groundwater Sustainability Plan (“GSP”) was adopted by the James Groundwater Sustainability Agency on December 12, 2019, and also approved the Coordination Agreement which has been adopted by all seven Kings Groundwater Subbasin Groundwater Sustainability Agencies. Provost & Pritchard is working to submit the GSP to the California Department of Water Resources by January 31st. Mr. Stadler is working on the Annual Report which will be due April, 2020, and will report conditions through September, 2019.
Mr. Stadler noted grant funds have not been expended and discussed other items that will be included to cover the $200,000 grant in its entirety, amongst which the annual report, monitoring, surveying, subsidence, etc..
D. **MENDOTA POOL GROUP 20-YEAR EXCHANGE PROGRAM** (09/12/2000)
Mr. Stadler provided an update on the renewal of the Exchange Agreement between the USBR and Mendota Pool Group. He submitted supplemental comments regarding Westlands’ final Environmental Impact Report (“EIR”). The USBR ultimately signed a Record of Decision which recognized our comments and indicated our concerns were addressed within the EIR. It appears Westlands will be discussing this matter at a Special Meeting later this month. Mr. Stadler plans to attend the meeting to offer comments, if warranted.
E. **AGREEMENT PROVIDING FOR WATER SERVICE OUTSIDE DISTRICT BOUNDARIES** (12/12/2017)
Mr. Stadler indicated language for a 20-year agreements for APNs 030-040-92S and 030-040-93S is being developed and drafts will presented next meeting. Mr. & Mrs. Sran have signed short-term agreements which will provide them with services on these parcels until the long-term agreement is secured.
F. **SOUTHWEST (DRY CREEK) GROUNDWATER RECHARGE PROJECT** (02/15/2019)
Capital costs were reconciled/finalized and have been paid. The O&M Agreement is pending. Mr. Stadler has made multiple requests to meet with FID representatives.
G. **LASSEN AVENUE FLOODWATER UTILIZATION PROJECT** (02/15/2019)
The engineer has developed a preliminary design configuration for this project. Mr. Stadler will be reviewing it with landowners. As designed, the project will include east side canal improvements, a lift station and a canal that will run north to Lassen Farm properties and left to Coleman property. The canal will be intended to serve Burford, Coleman, Parichan, Lassen Farms, and Blue Sky Farms.
H. **MANNING AVENUE BRIDGE PROJECT** (08/16/2019)
Agreements have been tendered to Fresno County. They would like the District to provide them with a temporary easement. They also want to discuss maintenance matters. Mr. Stadler will be meeting with County representatives later this week.
VIII. **NEW BUSINESS**
A. **RESOLUTION 2020-01, CORPORATE AUTHORIZATION RESOLUTION** (01/14/2020) (Att.4)
M/S/C (R,Chaney / R.Barcellos) to **APPROVE CORPORATE AUTHORIZATION RESOLUTION AUTHORIZING THE FOLLOWING AS SIGNATORIES ON DISTRICT BANK/INVESTMENT ACCOUNTS:**
(1) Robert Motte, President
(2) Micah Combs, Vice-President
(3) Steven P. Stadler, General Manager
(4) Emanuele Amorelli, Business Manager
AYES: R.Chaney, R.Barcellos, M.Combs, R.Motte (4)
ABSENT: T.Chaney (1)
B. **FISCAL AUDIT: MARCH 1, 2019-FEBRUARY 29, 2020** (01/14/2020)
M/S/C (R.CHANEY / R.BARCELLOS) to **AUTHORIZE WILCOX HOKOKIAN BAINS & DILL LLP TO PERFORM THE 2019-2020 FISCAL AUDIT** by the following vote:
AYES: R.Chaney, R.Barcellos, M.Combs, R.Motte (4)
ABSENT: T.Chaney (1)
C. **DISTRICT INVESTMENT POLICIES** (01/14/2020)
In accordance with California Government Code 53646, conducted annual review of District investment policies as last enacted by Resolution 2017-01. **M/S/C (R.CHANEY/R.BARCELLOS) to RE-APPROVE RESOLUTION 2017-01** (no change) (Att.5) by the following vote:
**AYES:** R.Chaney, R.Barcellos, M.Combs, R.Motte (4)
**ABSENT:** T.Chaney (1)
D. **ANNUAL MEETING** (01/14/2020)
Tentatively set Wednesday, March 11, 2020, as the date for the next Annual Meeting.
E. **FISCAL BUDGET: MARCH 1, 2020-FEBRUARY 28, 2021** (01/14/2020)
In accordance with California Water Code §24274, reviewed the following:
1. **District Equipment Rental Rates**
Conducted annual review of the District’s Equipment Rental Rate Schedule. **M/S/C (M.COMBS / R.CHANEY) to RE-APPROVE RATES** (no change) (Att.6) by the following vote:
**AYES:** M.Combs, R.Chaney, R.Barcellos, R.Motte (4)
**ABSENT:** T.Chaney (1)
2. **Approved Policies for Funding / Utilization of Reserve Accounts**
Conducted annual review of guidelines established under Resolution 2017-07 Re-approving District Investment Policy adopted January 10, 2017. **M/S/C (R.CHANEY/R.BARCELLOS) to RE-APPROVE Resolution 2017-07** (no changes) (Att.7) by the following vote:
**AYES:** R.Chaney, R.Barcellos, M.Combs, R.Motte (4)
**ABSENT:** T.Chaney (1)
3. **Capital Improvement Projects**
Mr. Stadler indicated there are no major capital projects planned at this time. When/if they occur, he will present a plan to the Board along with a budget augmentation for approval.
4. **Fiscal Budget: March 1, 2020 - February 28, 2021**
Mr. Stadler indicated CVP Contract rates will be going down from $83 to $64/acre-foot following the District’s recent payments against CVP construction costs. CVP allocations have not been announced but are expected mid-February. As currently drafted, the budget projects a deficit which could require an estimated $250,000 draw from reserves.
5. **Irrigation Billing Rates**
Considering the projected Budget deficit, the Board requested (1) billing rate increases of $5.00/acre-foot and (2) $10.00/acre-foot be incorporated into Budget forecasts and both scenarios be presented next meeting. The Board stressed the importance of regularly
communicating with its landowners/growers via a newsletter to keep them informed of the myriad of issues that may impact their future.
F. **RESIGNATION: DIRECTOR, THOMAS W. CHANEY** (01/14/2020)
Item **TABLED**.
G. **IRRIGATED LANDS REGULATORY PROGRAM** (01/14/2020)
Mr. Stadler reviewed his memorandum on “Irrigated Lands Regulatory Program–Management Areas” discussing the State Water Resources Control Board General Order amendments that mandate implementation of a Salt and Nitrate Management Plan (“SNMP”) as developed through the Central Valley Salinity Alternatives for Long-Term Sustainability initiative (CV-SALTS). (Att.8)
Mr. Stadler sought the Board’s guidance as to whether: (1) the James GSA should independently establish a management zone; or (2) work under the umbrella of the Kings River Water Quality Coalition (“Coalition”) of which all District landowners are members. He recommended the District request that the Coalition explore forming a designated management zone within James GSA boundaries and determine or estimate the associated cost requirements.
**M/S/C (M.COMBS / R.BARCELLOS)** to **AUTHORIZE THE GENERAL MANAGER TO APPROACH THE KINGS RIVER WATER QUALITY COALITION TO EXPLORE FORMATION OF A MANAGEMENT ZONE ENCOMPASSING THE BOUNDARIES OF THE JAMES GSA** by the following vote:
**AYES:** M.Combs, R.Barcellos, R.Chaney, R.Motte (4)
**ABSENT:** T.Chaney (1)
---
**Adjourned to Closed Session at 11:48 a.m.**
**Attending:**
Robert Motte, President
Micah Combs, Vice-President
Robert Barcellos, Director
Riley Chaney, Director
**Staff:**
Steven Stadler, General Manager, Secretary-Treasurer
---
IX. **CLOSED SESSION: GOVERNMENT CODE §54956.9 - CONFERENCE WITH LEGAL COUNSEL-ANTICIPATED LITIGATION**
4 CASES
X. **CLOSED SESSION: GOVERNMENT CODE §54956.9 - CONFERENCE WITH LEGAL COUNSEL-EXISTING LITIGATION**
A. **AS DEFENDANT:** 1 Case
1. **NATURAL RESOURCES DEFENSE COUNCIL, ET AL, V BERNHARDT, ET AL**
U.S. District Court for the Eastern District of California
Case No. 1:5-CV-01207LJO-GSA
B. **AS PLAINTIFF:** 2 Cases
1. **KINGS RIVER WATER ASSOCIATION ET AL V. JAMES VERBOON ET AL**
Kings County Superior Court, Case No. 15 C0304
2. **JAMES IRRIGATION DISTRICT VS. KINGS RIVER WATER ASSOCIATION ET AL**
Fresno County Superior Court Case No. 19CECG00769
C. **AS INTERVENOR:** 1 CASE
1. **CITY OF FRESNO, ET AL V. UNITED STATES OF AMERICA**
United States Court of Federal Claims, Case No. 1:16-CV-01276-MCW
XI. **CLOSED SESSION: GOVERNMENT CODE §54957 - PERSONNEL MATTERS**
XII. **CLOSED SESSION: GOVERNMENT CODE §54957 - PUBLIC EMPLOYEE DISCIPLINE / DISMISSAL / RELEASE**
XIII. **CLOSED SESSION: GOVERNMENT CODE §54956.8 - CONFERENCE WITH REAL PROPERTY NEGOTIATOR**
A. **JAMES & TRANQUILLITY NEGOTIATIONS**
Negotiating Parties:
James Irrigation District: Steven Stadler
Tranquillity Irrigation District: Danny Wade
Kings River Lower River Units: John Howe
Under Negotiation: Price, terms & conditions of possible real property and/or water supply transactions
B. **CENTRAL VALLEY PROJECT (CVP) REPAYMENT CONTRACT** *(06/11/2019)*
Negotiating Parties:
James Irrigation District: Steven Stadler, Scott K. Kuney, Esq., Alan F. Doud, Esq.
U.S. Bureau of Reclamation: Michael Jackson, P.E.
Under Negotiation: Price, terms and conditions of water supply contract
C. **POTENTIAL GROUNDWATER RECHARGE SITES** (02/11/2016)
Negotiating Parties: James Irrigation District: Steven Stadler
Landowner(s): To be determined
Under Negotiation: Price, terms and conditions of possible real property transaction
Reconvened in Open Session at 12:23 p.m.
XIV. **REPORT ON ACTIONS TAKEN DURING CLOSED SESSION**
➤ **CLOSED SESSION: GOVERNMENT CODE §54957 - PERSONNEL MATTERS**
**SAFETY INCENTIVE PROGRAM: 2019**
The Manager reported all employees received a $50 gift certificate to a Fresno restaurant as an award for not having any accidents during 2019.
XV. **ADJOURN**
There being no further business to come before the Board, the meeting was ADJOURNED at 12:24 p.m., until the next Regular Meeting scheduled for Tuesday, February 11, 2020, at 10:00 a.m.
**RECORDED BY:**
Donna Y. Hanneman, Executive Assistant
**APPROVED BY:**
Robert Motte, President
Steven P. Stadler, P.E.
General Manager, Secretary-Treasurer
**ATTACHMENTS:**
1. Interim Warrants: December 11, 2019-January 14, 2020, $377,468.41
2. Payroll Certification: Pay Periods Ending December, 2019, $87,191.03 (net)
3. Resolution 2000-03 Authorizing the Sale and Disposal of Materials and Equipment of a Value of Less Than $1,000, Re-approved January 14, 2020
4. Resolution 2020-01 Corporate Authorization Resolution, Adopted January 14, 2020
5. Resolution 2017-01 Re-approving District Investment Policy, Re-approved January 14, 2019
6. District Equipment Rental Rates effective March 1, 2020-February 28, 2021
7. Resolution 2017-07 Reserve Policy, Re-approved January 14, 2020
8. Memorandum: "Irrigated Lands Regulatory Program—Management Areas", Steven P. Stadler, P.E., January 9, 2020
|
Driving Under the Influence (DUI)
Currently, drunk driving is a major issue in the United States. According to The Centers for Disease Control Prevention 10,839 people were killed in alcohol impaired driving crashes in 2009 alone.\(^1\) Each state is responsible for writing its own DUI laws, which consequently differ in severity by their specific legalities, which include license suspension, jail time, fines, and numerous other stipulations such as community service. Some states have extremely strict laws for DUI convictions, whereas others are more lenient. Vermont falls in the latter category and seems to focus more on rehabilitation than simple incarceration, with a consistent leniency in regards to fines for such offenses.
**DUI Law Comparisons**
Most states have a tiered system for DUI convictions that encompass first, second, third and subsequent violations of the law. Provisions typically include prison sentence, fines, and license suspension or revocation. As evidenced in the chart in Appendix I, Vermont and New Hampshire have relatively low fines compared to Massachusetts, Maine, and Connecticut. Where Massachusetts and Connecticut require a mandatory one year license suspension, Vermont law only requires a license suspension of 90 days. Finally, Vermont is on par with other New England States in regard to prison sentencing as there is no specific minimum jail sentence.
Compared to other New England states, Vermont’s second DUI conviction is much more lenient. Vermont has no minimum prison sentence for a second conviction; however Massachusetts, Connecticut, Maine and New Hampshire all have minimum prison sentences. Vermont also does not have a minimum fine for a second conviction. Even though fines can reach up to $1,500, Connecticut and Maine have minimum fines of $1,000 and $1,100 respectively. Vermont is also not as strict as other states with license suspension. In Vermont, an offender’s license is suspended for 18 months with the option to install an ignition interlock device after 90 days, however in Massachusetts and New Hampshire the license will be suspended for 3 years, and in Maine it will be suspended for 2 years.
---
\(^1\) Centers for Disease Control and Prevention, "Injury Prevention & Control: Motor Vehicle Safety," accessed March 17, 2011 [http://www.cdc.gov/Motorvehiclesafety/Impaired_Driving/data.html](http://www.cdc.gov/Motorvehiclesafety/Impaired_Driving/data.html)
For a third DUI, Vermont does not have a mandatory minimum time in jail whereas Maine, Massachusetts, New Hampshire and Connecticut require at the very least 30 days in jail. Also in regard to fines, Vermont once again does not have a minimum amount and specifies a maximum of $2,500 while Connecticut has a minimum of $2,000 and Massachusetts has a maximum of $15,000. Vermont does stand tough on license suspension however, in that a third time conviction results in a lifetime suspension. Connecticut also permanently revokes offenders’ licenses whereas Massachusetts revokes it for 8 years, Maine for 6, and New Hampshire for 5.
Vermont requires all DUI offenders to complete an alcohol education course for each DUI, and a suspended license will not be reinstated until the person has completed the course. Vermont also provides ignition interlock options for those whose licenses have been suspended.
Vermont also does not have a blood alcohol content (BAC) stipulation on its laws. Some states, like Washington and Rhode Island, have different penalties depending on the specific BAC of the driver. In Washington, the penalties for drunk driving are based on a BAC between 0.08 and 0.15, and 0.15 and higher. For example, a first time offender with a BAC of between 0.08 and 0.15 will have his or her license suspended for 90 days, whereas a person with a BAC over 0.15 will have his or her license suspended for 1 year.
The tables in Appendix II exhibit the DUI penalties in Rhode Island. Like Washington, Rhode Island bases its penalties on BAC, though it breaks the penalties into more BAC levels. For example, a first time DUI conviction will result in up to a 45 day license suspension for a BAC of 0.08 to 0.10, a 3 to 12 month license suspension for a BAC of 0.10 to 0.15, and a 3 to 18 month license suspension for a BAC of 0.15 and higher.
While Vermont has particularly lax DUI laws in comparison to other New England states, there are other states that are not nearly as strict about DUI. As evidenced in Appendix I, the state of Montana only seizes licenses on second and third convictions for one year, and the fines are relatively low.
**Ignition Interlock Devices**
An ignition interlock is a device that is installed into a motor vehicles dashboard. This mechanism works like a breathalyzer and it prevents a motor vehicle from starting if the driver’s BAC is above the limit. The use of the Ignition Interlock device is growing in the United States as a means to prevent drunk driving.
Alabama and South Dakota are the only two states in the U.S. that do not have any ignition interlock law. The ignition interlock device laws in the remaining 48 states vary in severity. Those convicted of DUI in Washington are required to install an interlock device after a first offense. In Massachusetts and Montana repeat offenders must install an ignition interlock device in their car. In Vermont, a first-time offender may be eligible for the device after 30 days
of a 90-day suspension. In Connecticut, a driver whose license has been suspended may have an interlock system installed in their car after the driver has served one year of suspension.\(^2\)
The U.S. Center for Disease Control and Prevention notes that ignition interlock devices reduce the rate of recidivism by a median of 67%. Drivers who previously had their licenses revoked because of a DWI conviction had more alcohol-impaired crashes than drivers with interlocks. The CDC also suggests expanding the use of sobriety checkpoints, as their research has shown that checkpoints yield a median decrease in impaired driving crashes and deaths by 20%.\(^3\)
**Effectiveness of DUI Laws**
In October of 2005, Massachusetts implemented Melanie’s Law, which states that if a driver receives a second OUI (operating under the influence), the offender will be required to install an ignition interlock device when his or her license is reinstated or if he or she is granted a hardship license. The ignition interlock device must remain in the vehicle the driver owns for up to two years after the driver’s license is reinstated.\(^4\)
Melanie’s law has proved to be effective; it has led to an increase in arresting suspected repeated offenders. There has also been a decrease in accused drivers who refuse to take a chemical breath test. Between October 28\(^{th}\), 2004 and October 28\(^{th}\), 2005, before Melanie’s law was enacted there were 13,335 arrests for drivers operating under the influence. In the second year of Melanie’s law, this increased to 15,591 arrests for drivers operating under the influence.\(^5\)
Colorado has also seen success in decreasing its number of drunk drivers. As a result of the “The Heat is On!” campaign, the number of drivers over the .08 BAC level has decreased 28% from 228 in 2001 to 164 in 2006. The program has been running for 10 years and relies on a strict regulation for summer driving checkpoints sponsored by the states’ traffic law enforcement program.\(^6\)
Connecticut’s 2003 Impaired-Driving High-Visibility Enforcement Campaign (DOT HS 810 689) also proved to be effective. This followed the National Highway Transportation and Safety
---
\(^2\) National Conference of State Legislatures, "State Ignition Interlock Laws," 2011, accessed March 15, 2011, [http://www.ncsl.org/default.aspx?tabid=13558](http://www.ncsl.org/default.aspx?tabid=13558).
\(^3\) U.S. Centers for Disease Control and Prevention, "Injury Prevention & Control: Motor Vehicle Safety," 2011, accessed March 15, 2011, [http://www.cdc.gov/motorvehiclesafety/alcoholbrief/](http://www.cdc.gov/motorvehiclesafety/alcoholbrief/).
\(^4\) Massachusetts Department of Transportation Registry of Motor Vehicles, "Suspensions & Hearings: Operating Under the Influence (OUI) of Alcohol or Drugs," 2009, accessed February 15, 2011, [http://www.mass.gov/rmv/suspend/oui.htm](http://www.mass.gov/rmv/suspend/oui.htm).
\(^5\) Massachusetts Department of Transportation Registry of Motor Vehicles, "Melanie's Law Enters Third Year of Targeting Repeat OUI Offenders," 2009, accessed March 3, 2011, [http://www.mass.gov/rmv/melanie/index.htm](http://www.mass.gov/rmv/melanie/index.htm).
\(^6\) U.S. Department of Transportation: National Highway Traffic Safety Administration, "The 2006 National Labor Day Impaired Driving Enforcement Crackdown: Drunk Driving ‘Over The Limit. Under Arrest’," accessed March 3, 2011, [http://www.nhtsa.gov/DOT/NHTSA/TrafficInjuryControl/Articles/Associated](http://www.nhtsa.gov/DOT/NHTSA/TrafficInjuryControl/Articles/Associated).
Administration (NHTSA) with increases in road checkpoints. Over 109 total checkpoints were conducted during the 2003-2004 Impaired-Driving High-Visibility Enforcement Campaign. The campaign was funded by Sec. 154 and Sec. 164 funds from the Federal Highway Administration (FHA) due to Connecticut’s lack of enforcement of open container and repeat impaired driving offender laws that satisfied Federal requirements. Statistics showed that fatalities decreased by an estimated 47 people within the first 18 months of the campaign’s July 2003 launch date; half of these drivers were in the targeted cohort of males between the ages 21 to 34. Connecticut did not continue the campaign because transfer funds under Sec. 164 ended after fiscal year 2003. Instead of continuing a high-visibility enforcement campaign, Connecticut chose to adopt repeat impaired driving offender laws. This resulted in 110 fatal crashes in 2006 with drivers exceeding the legal BAC limit of .08, more than the 105 reported in 2002 even before the high-visibility enforcement campaign began. Drivers with BACs over .08 also experienced more fatal accidents, from 3.36 per billion vehicle miles of travel in 2002 (pre-campaign) to an elevated 3.48 in 2006.
Other states have also taken substantial steps in reducing fatalities from alcohol related incidents by implementing impaired-driving high-visibility campaigns. In the first eight months of 2007, the state of Nevada experienced a 27% decrease in drivers with a BAC of .08 or higher compared to the same period of time in 2006. Simultaneously in West Virginia, the number of drivers over the .08 BAC limit dropped by 30% along with an 18% decrease in alcohol related fatalities from 2002 through 2005. These three states were included in the eight observed during the National Highway Traffic Safety Administration’s 2006 “Drunk Driving ‘Over the Limit. Under Arrest.’ Labor Day Holiday Campaign,” which helped to combat driving impaired through checkpoints, decreasing fatalities and overall BAC measures in offenders.
**Conclusion**
Compared to other states, Vermont is more lenient with DUI offenses. Vermont’s fines and jail time are lower than many other states, though the third offense in Vermont is slightly stricter than other states. Vermont requires offenders to complete an alcohol education program as well as community service, something that many other states do not do. By comparison however, Vermont does not suspend offender’s licenses for as long as other states, it does not require drivers to install an ignition interlock device, and it does not require jail time for a first offense.
Prepared in response to a request by Representative Dave Potter of Claredon by Allyson Perleoni, Alexander Rosenblatt, and Max McNamara under the supervision of graduate student Kate Fournier and Professor Anthony Gierzynski on March 22, 2011.
---
7 U.S. Department of Transportation: National Highway Traffic Safety Administration.
8 U.S. Department of Transportation: National Highway Traffic Safety Administration.
9 U.S. Department of Transportation: National Highway Traffic Safety Administration.
Contact: Professor Anthony Gierzynski, 513 Old Mill, The University of Vermont, Burlington, VT 05405, phone 802-656-7973, email firstname.lastname@example.org.
Disclaimer: This report has been prepared by undergraduate students at the University of Vermont under the supervision of Professor Anthony Gierzynski. The material contained in the reports does not reflect official policy of the University of Vermont.
| Offense Type | Vermont | Connecticut | Maine | Massachusetts | New Hampshire | Montana | Washington |
|--------------|---------|-------------|-------|---------------|--------------|--------|------------|
| **First Offense** | | | | | | | |
| Prison Sentence | Prison Sentence | No more than 2 years | Either: 6 months with a mandatory 2 days; or six months suspended sentence with probation and 100 hours of community service | Dependent on BAC, speed, attempts to allude the officer, passengers in the car, and compliance with the officer. | No more than 2.5 years | Up to 10 days | Between 1 day and 1 year; if BAC is 0.15+ between 2 days and 1 year |
| Fine | Up to $750 | $500-$1,000 | $500 minimum; $600 minimum if refused sobriety test | $500-$2,500 | No less than $500 | $300-$1,000 | $250-$5,000; if BAC is 0.15+ $500-$5,000 |
| License Suspension | 90 Day Suspension, option to use an ignition interlock device after the first 30 days | One year | 90 Days | 1 Year | 9 months to 2 years | 6 months | 90 days; if BAC is 0.15+ 1 year |
| Offense Type | Vermont | Connecticut | Maine | Massachusetts | New Hampshire | Montana | Washington |
|--------------|---------|-------------|-------|---------------|--------------|--------|------------|
| **Second Offense** | | | | | | | |
| Prison Sentence | Prison Sentence | No more than 2 years; 200 hours of community service or 60 continuous hours in jail | Up to two years with a mandatory minimum of 120 consecutive days and probation with 100 hours of community service | No less than 7 days unless; if refusal occurred no less than 12 days | 60 days to 2.5 years | At least 37 days in prison, last 7 of which must be in a driver intervention program | Between 30 days and 1 year plus 60 days of home monitoring; if BAC is 0.15+ between 45 days and 1 year plus 60 days of home monitoring |
| Fine | Up to $1,500 | $1,000 to $4,000 | $1,100 minimum, $1,400 if refusal of sobriety test | $500-$2,500 | No less than $750 | $600-$1,000 | $500-$5,000; if BAC is 0.15+ $750-$5,000 |
| License Suspension | 18 months; option to use an ignition interlock device after the first 90 days | One year, plus two years ignition interlock, three years if the arrest is in another state | 3 years | 2 years | At least 3 years | 1 year, possible vehicle forfeiture | 2 years; if BAC is 0.15+ 900 days |
| Offense | Vermont | Connecticut | Maine | Massachusetts | New Hampshire | Montana | Washington |
|---------|---------|-------------|-------|---------------|--------------|--------|------------|
| **Third Offense** | Prison Sentence | No more than 5 years; 400 hours of community service or 100 continuous hours in jail | Up to three years with a mandatory minimum of 1 year, and probation and 100 hours of community service | No less than 30 days; if refusal occurred no less than 40 days (if offense occurred within 10 years of the previous offense) | 2.5 to 5 years | Not less than 180 days: At least 30 consecutive days served in a correctional facility followed by at least 28 days in a treatment program, the remainder of the sentence may be deferred for up to 2 years | 10 to 60 days | Between 90 days and 1 year plus 120 days of home monitoring; if BAC is 0.15+ not less than 120 days not more than 1 year plus 150 days of home monitoring |
| Fine | Up to $2,500 | $2,000 to $8,000 | $1,100 minimum, $1,400 if refusal of sobriety test | $1,000 to $15,000 | No less than $750 | $1,000 - $5,000 | $1,000-$5,000; if BAC is 0.15+ $1,500-$5,000 |
| License Suspension | Life; option to use an ignition interlock device after the first year | Permanent Revocation | 6 years | 8 years | 5 years | 1 year, possible vehicle forfeiture | 3 years; if BAC is 0.15+ 4 years |
| Offense | Vermont | Connecticut | Maine | Massachusetts | New Hampshire | Montana | Washington |
|---------|---------|-------------|-------|---------------|--------------|--------|------------|
| **Fourth Offense** | Prison Sentence | | | | | | |
| Fine | | | | $15,000 to $25,000 | No less than $750 | | |
| License Suspension | | | | 10 years | 7 years | | |
| Other Stipulations | Vermont | Connecticut | Maine | Massachusetts | New Hampshire | Montana | Washington |
|-------------------|---------|-------------|-------|---------------|--------------|--------|------------|
| Licenses are not reinstated until the driver has completed therapy, as well as an alcohol and driving program if a death occurs as a result of the DUI, the fines are increased up to $15,000 and 15 years in prison per death caused. | | | Suspension of the right to register a vehicle occurs on an offender’s second DUI, as well as all subsequent DUIs. | Melanie’s Law states that when the driver’s license is reinstated, an ignition interlock device must be installed for two years after the license is reinstated | | | |
**Sources:** 23 V.S.A. § 1210 (b); Connecticut Office of Legislative Research, “Connecticut DUI Laws”, 2011, accessed February 11, 2011, [http://www.cga.ct.gov/2010/rpt/2010-R-0415.htm](http://www.cga.ct.gov/2010/rpt/2010-R-0415.htm); Maine Title 29-A, Chapter 23 5 (A 2); Massachusetts Title XIV Chapter 90 § 24. (1) (a) (1); Montana Code: 61-8-722 (1); RCW 46.61.5055 (1)(a)(i); RCW 46.61.5055 (b)(i); 23 V.S.A. § 1210 (b); Maine Title 29-A, Chapter 23 1; Massachusetts Title XIV Chapter 90 § 24. (1) (a) (1); New Hampshire Title XXI Chapter 265-A § 265-A:18 (l) (a) (2); Montana Code: 61-8-722 (1); RCW 46.61.5055 (a)(ii); RCW 46.61.5055 (b) (ii); 23 V.S.A. §1206 (a); 23 V.S.A. § 1206 (a); Maine Title 29-A, Chapter 23 5 (A 1); Massachusetts Title XIV Chapter 90 § 24. (1) (a) (1); New Hampshire Title XXI Chapter 265-A § 265-A:18 (l) (a) (4); Montana Department of Justice: Driver Services, “Driver License Sanctions,” accessed February 15, 2011, [http://www.doj.mt.gov/driving/driverlicensesanctions.asp](http://www.doj.mt.gov/driving/driverlicensesanctions.asp); Washington State Department of Licensing, “Driver License Penalties Following Conviction,” accessed February 15, 2011, [http://www.dol.wa.gov/forms/500015.pdf](http://www.dol.wa.gov/forms/500015.pdf); 23 V.S.A. § 1210 (c); Maine Title 29-A, Chapter 23 5 (B 2); Massachusetts Title XIV Chapter 90 § 24. (1) (a) (1); New Hampshire Title XXI Chapter 265-A § 265-A:18 (IV) (a) (3A); Montana Code: 61-8-722 (2); RCW 46.61.5055 (2)(a)(i); RCW 46.61.5055 (2)(b)(ii); Maine Title 29-A, Chapter 23 5 (B 1); Massachusetts Title XIV Chapter 90 § 24. (1) (a) (1); New Hampshire Title XXI Chapter 265-A § 265-A:18 (IV) (a) (2); RCW 46.61.5055 (2)(a)(iii); 23 V.S.A. § 1208 (a); Maine Title 29-A, Chapter 23 5 (B 3); Massachusetts Title XIV Chapter 90 § 24. (1) (a) (1); New Hampshire Title XXI Chapter 265-A § 265-A:18 (IV) (a) (4); 23 V.S.A. § 1210 (d); Maine Title 29-A, Chapter 23 5 (C 2); New Hampshire Title XXI Chapter 265-A § 265-A:18 (IV) (b) (2); Montana Code: 61-8-722 (3); RCW 46.61.5055 (3) (a) (i); RCW 46.61.5055 (3) (b) (i); Maine Title 29-A, Chapter 23 5 (C 1); New Hampshire Title XXI Chapter 265-A § 265-A:18 (IV) (a) (3B); Montana Code: 61-8-722 (3); RCW 46.61.5055 (3) (a) (ii); RCW 46.61.5055 (3) (b) (ii); 23. V.S.A. § 1208 (b); Maine Title 29-A, Chapter 23 5 (C 4); Massachusetts Title XIV Chapter 90 § 24. (1) (a) (1); New Hampshire Title XXI Chapter 265-A § 265-A:18 (b)(2); Maine Title 29-A, Chapter 23 5 (B 4); Massachusetts Department of Transportation Registry of Motor Vehicles, “Suspensions & Hearings: Operating Under the Influence (OUI) of Alcohol or Drugs,” 2009, accessed February 15, 2011, [http://www.mass.gov/rmv/suspend/oui.htm](http://www.mass.gov/rmv/suspend/oui.htm).
## Appendix II
### Rhode Island DWI First Offense:
| | BAC 0.08 to 0.10 | BAC 0.10 to 0.15 | BAC 0.15 or higher |
|--------------------------|------------------|------------------|--------------------|
| **Fine** | $100 to $400 Fine| $100 to $400 Fine| $500 Fine |
| **Community Service** | 10-60 Hours of Community Service | 10-60 Hours of Community Service | 20-60 Hours of Community Service |
| **License Suspension** | Up to 45 day License Suspension | 3 to 12 Month license suspension | 3 to 18 Month license suspension |
| **Highway Assessment** | $500 Highway assessment | $500 Highway assessment | $500 Highway assessment |
| **Driving School/Treatment** | Possible “Drunk Driving School” | Mandatory “Drunk Driving School” | Mandatory “Drunk Driving School and/or treatment” |
### Rhode Island Second DWI Offense within Five Years (considered a misdemeanor):
| | BAC 0.08 to 0.15 | BAC 0.15 and higher |
|--------------------------|------------------|---------------------|
| **Fine** | $400 fine | $1,000 fine (at least) |
| **Prison** | 10 Days to 1 year in prison | 6 Months to 1 year in prison |
| **License Suspension** | 1-2 Year license suspension | 2 Year license suspension and treatment |
| **Ignition interlock** | Possible ignition interlock 1 to 2 years | Possible ignition interlock 1-2 years |
| **Highway Assessment** | $500 highway assessment | $500 highway assessment |
In the event of a third or subsequent offense within 5 years, the BAC is no longer taken into account and the crime is no longer considered a misdemeanor but rather, a felony.\(^{10}\) The penalties are a $400 fine, 1 to 3 years in prison, and a 2 to 3 year license suspension.\(^{11}\)
---
\(^{10}\) State of Rhode Island Department of Transportation, “Drunk Driving,” September 23, 2008, accessed February 11, 2011, [http://www.dot.state.ri.us/programs/safety/drunkdriving.asp](http://www.dot.state.ri.us/programs/safety/drunkdriving.asp).
\(^{11}\) State of Rhode Island Department of Transportation.
|
Celebrate Battle Anniversary
From the *Evansville Journal-News*, 17 May 1913
*The Battle of Champion Hill or Baker’s Creek was a pivotal battle in the Vicksburg Campaign and was fought 16 May 1863.*
Civil war comrades of William Warren, vice president of the Mercantile Trust & Savings Bank, met with him at his home in Newburg Friday in celebration of the fiftieth anniversary of the battle of Champion Hill. Two special cars were run from Evansville to carry the veterans and members of the Women’s Relief Corps.
During the evening Mr. Warren was presented with a solid silver loving cup by twenty of his friends. The cup was presented by Dr. S.F. Jacobi.
The survivors of the battle of Champion Hill present were: C.W. Barenfanger, Eleventh Indiana; Henry Baldwin, Twenty-fourth Indiana; John Behagg, Twenty-fourth Indiana; Ralph Bonnell, First Indiana cavalry; John F. Crisp, Twenty-fourth Indiana; Robert Day, Twenty-fourth Indiana; John R. Elderfield, Sixtieth Indiana; W.H. Ellison, Forty-third Tennessee confederate; W.P. Graham, Twenty-fourth Indiana; C.D. Heldt, Twenty-fourth Indiana; Robert Hornbook, Eleventh Indiana; Thomas Ingle, Twenty-fourth Indiana; August Leich, Twenty-fourth Indiana; Charles Meissner, Twenty-fourth Indiana; George Nester, First Indiana battery; Alexander Oliphant, Twenty-fourth Indiana; John Rudolph, Twenty-fourth Indiana; John Fohner, Twenty-second Kentucky; W.H. Redman, Twenty-fourth Indiana; Frank Snurpus, Eleventh Indiana; Thomas Seifritz, Eleventh Indiana; August Sauer, First Indiana battery; Joshua Seward, First Indiana cavalry; Julius Tzchhoppe, Twenty-fourth Indiana; Christ Wunderlich, First Indiana battery; William Warren, Twenty-fourth Indiana.
Other veterans present were Edward Gough, One Hundred and Thirty-sixth Indiana; William Wilson, Third-third Indiana; John R. Weed, Sixty-fifth Indiana.
---
*The following advertisement appeared in the Evansville Journal of Saturday, 29 April 1876:*
Wanted: You to know that Madame DeSilver, the natural gifted Clairvoyant, was born with a veil of prophecy over her face, therefore does not resort to the dead science of astrology to humbug the people, as many fortune-tellers do, but fully relies upon her great and inherited gift of second sight. She is not limited in what she can see. She can read your life from the cradle to the grave, often tell your own name and the names of the one you are to marry, tells of business, journeys, lawsuits, and all events in life. Those contemplating matrimony will do well to call on her, as her advice will guide them through this uncertain sea. She can be seen at her rooms in the Sherwood House, ladies’ entrance. Call soon, as she is going west in a few days. Everything confidential.
of Wichita was a rough and tumble western town with many Indians, soldiers, buffalo hunters and other colorful characters about.
On July 21, 1870, less that one month after arriving, Catherine was the only woman of 124 persons to sign a petition presented to a probate judge calling for the incorporation of the town. She then set up a hand laundry business while William filed on a section of land 6 miles northeast of Wichita. He built a cabin and started to cultivate the land. Both Catherine and William bought several parcels of land including the property where the laundry was located. She also bought the parcel of land adjoining William’s and with the help of her sons and William they built a small cabin in which she and the boys lived.
Catherine became ill perhaps from working in the laundry or perhaps she was ill before they arrived in Wichita. In any event, she was diagnosed with consumption or tuberculosis as it was later called and advised to move to a different climate. They may have moved to Denver for a while but after selling all their properties in Wichita they show up in the New Mexico Territory in early 1873. On March 1, 1873 William and Catherine were married in the First Presbyterian Church of Santa Fe. Among the witnesses to the wedding were Catherine’s sons, Henry and Joseph. They were probably staying with William’s sister and her husband, Chester and Mary Ann (Antrim) Hollinger. William and Catherine eventually settled in Silver City in southern New Mexico in an attempt to find a better climate for Catherine who was still suffering from consumption. On Wednesday, September 16, 1874 Catherine lost her battle with the disease and is buried in Silver City.
This and the rest of the story has been written in many books and told in several movies over the years. Henry would have been 14 when his mother died. After her death, Henry started getting into trouble since William was rarely around. He was off trying to strike it rich in a quartz or silver mine even when Catherine died. Henry’s story is the stuff of legend as he was alternately known as Kid Antrim or William H. Bonney and finally as Billy the Kid.
Some of the information contained in this article is in my favorite book on the subject, *Billy the Kid: The Endless Ride* by Michael Wallis.
The Ship's Log
by John G. West, TSGS President
Here we are starting another new TSGS year. One of the most important changes for this year is that starting with the September meeting, TSGS will begin its meetings at 7 PM instead of 7:30PM. With the gavel going down at 7 PM, we should be able to adjourn the meeting around 8:30, so the library can close earlier. I really hope to see you at our September meeting at 7 PM with our guest speaker presenting a very interesting Revolutionary War story that happened in Vincennes, Indiana with George Rogers Clark! The October program will have a Halloween connection with one of the best programs I have seen in the last 20 years about Washington Irving’s *Sleepy Hollow*… speaker Robert Hall wears period clothing as Ichabod Crane.
We have been experiencing low attendance to most of our meetings the last few years. So, we made the start time a little earlier at 7 PM (so everyone can go home a little earlier). We decided to focus more of our programs to entertain and be of general interest, leaving the “how to” and research tips, etc. to free workshops at other times. To encourage more people to visit with us at the meetings, we will have an attendance prize awarded at each meeting; one of our books, year’s TSGS membership, etc. that the winner can pick from. We have been having about 15 to 25 at the meetings and would like to have 30 to 50… with 400+ members we should have a full room every time. Help us reach our goal by attending more meetings. If you have not attended a meeting or it has been awhile, come join us!
Since the *Packet* comes out quarterly, each issue has different weather conditions that affect our research efforts with the last issue mentioning spring seeds that love to clutter my gutters on the house! Today, it is hot & humid… far too hot for me to want to go through a cemetery. But, while sitting in the nice cool air conditioned house, I can go to my computer to organize my family files and maybe do some research and reading some genealogical articles. And, as always, it would be a great time to run to Willard Library (or to your local genealogical library) to do some research. It is a good time to plan your research goals before you take off on your research adventures when it gets a little cooler!
After about one and three quarter years since we started up the TSGS *Cruiser Blog*, we have had over 24,300 hits in mid-July 2010 (over 1,000 hits per month!). Since 27 Dec 2008 when the counter was installed, there have been over 10,500 different people visiting the blog! The blog was started just before Thanksgiving 2008 and has posted an article, photo or TSGS News nearly every day with this morning’s blog, we have posted 527 articles (blogs). We have gotten contributions from 41 people during a one year time span submitting about 52% of the total postings. The other 48% came from me as the blogmaster - I am hoping to get more contributions from our members to make it a member’s blog. Anyone can send me a contribution… I have not turned down any contributions, so far! If you have not been to the blog, visit it at: [http://tsgsblog.blogspot.com/](http://tsgsblog.blogspot.com/) While you are on the Internet, check out our award winning web site at: [http://www.rootsweb.ancestry.com/~intsgs/index.html](http://www.rootsweb.ancestry.com/~intsgs/index.html) Web Master Terry Winchester administers the regular society web site and would love any comments, contributions and new ideas. He has done a lot of work re-organizing the web site that was originally created by Chris Myers in 1996. Terry has added a navigational bar to help you go from one page to others. Visit the TSGS web site and let Terry know what you like about the web site, what you would like to see, and anything you did not like about (be gentle, though).
Email me: “John G. West” <email@example.com> Sound off on how we can best serve you!
My Other Civil War Ancestors
By Paul Tornatta
In a previous Packet article I wrote about my great grandfather Andrew Tretter on my paternal side of the family. These great uncles are on my mother’s family.
Levi Columbus ANTRIM, born 1838 in Ohio, was the son of Levi and Mary (Lawson) Antrim (my great great grandparents). He served in the 27th Indiana Infantry, Company G during the Civil War. He enlisted as a Private and was promoted to Corporal Feb. 13, 1862. In the roster for the 27th it indicates he is from Brown County, Indiana, age 22, single, 5’10” and a farmer. The 1860 Indiana Census shows the Antrim’s living in Brown County and Levi C. is 18 years old.
The 27th Indiana Infantry was organized in Indianapolis, Indiana and mustered in September 12, 1861. They were initially attached to Stile's Brigade, Bank's Division, Army of the Potomac. They participated in numerous battles including Winchester, Cedar Mountain, Antietam and Gettysburg.
In the Battle of Gettysburg, July 1 - 3, 1863, the 27th Indiana Infantry was part of the Army of the Potomac commanded by Major General George G. Meade. They were in the Twelfth Army Corp., First Division, Third Brigade which was commanded by Brigadier General Thomas H. Ruger. The 27th Indiana Infantry was under the command of Colonel Silas Colgrove and Lieutenant Colonel John R. Fesler. They were opposed by General Robert E. Lee's Army of Northern Virginia which consisted of the Second Army Corp., Johnson's Division, and Steuart's Brigade commanded by Brigadier General George H. Steuart. They fought against Steuart's Brigade in an area called Culp's Hill, which is just southeast of Gettysburg and is now part of the Gettysburg National Military Park.
Levi, also known as L.C. or Lum, was the Color Bearer for his company. He was mortally wounded at Culp's Hill during the battle of Gettysburg with a musket ball through the right lung, producing hemorrhage. He died at 1st Division/12th Corps General Field Hospital Gettysburg, Pennsylvania of these wounds July 3, 1863. He is buried at Gettysburg National Cemetery, Section D, grave 4.
William Henry Harrison ANTRIM, Levi’s younger brother was born in Huntsville, Indiana on December 1, 1842. His father, Levi, owned a hotel in nearby Anderson. In June 1862, William enlisted as a private in the 54th Regiment of the Indiana Volunteer Infantry. He was assigned to Company I. After training they were sent to Camp Morton in Indianapolis where they provided security for Confederate soldiers captured during the war. William mustered out with the rest of the 54th in October 1862. He remained in Indianapolis and was employed by the Merchants Union Express Company as a driver and clerk. Sometime around 1865 he met a widow, Catherine and her 2 children, Henry and Joseph McCarty. Catherine was born in Ireland about 1829 and apparently was previously married and lived in New York City where both of her children were born.
In the summer of 1870 the entire Antrim and McCarty families moved to what was to become Wichita, Kansas. The federal census taken in June listed 607 people living in Sedgwick County at the time although the Antrim and McCarty families did not show up in this census. The village
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Hydraulic And Pneumatic Power For Production By Harry L Stewart 1977
Practical Book
Hydraulics and Pneumatics
Hydraulic Fluid Power
Fluid Power Transmission And Control
Power Transmission
High Speed Pneumatic Theory and Technology Volume I
Hydraulics and Pneumatics Controls
Fluid Power Design Handbook
Design of Pneumatic Systems
Fluid Power Control
Electro-pneumatics and Automation
Hydraulic and Pneumatic Power for Production
Advances in Hydraulic and Pneumatic Drives and Control 2020
Hydraulic Power System Analysis
Fluid Power Math for Certification
Fluid Power Reference Handbook
Fluid Power
Fluid Power Maintenance Basics and Troubleshooting
Electricity, Fluid Power, and Mechanical Systems for Industrial Maintenance
Fluid Power with Applications
Cam Design Handbook
Hydraulics and Pneumatics
Industrial Pneumatics - Basic Level
INTRODUCTION TO HYDRAULICS AND PNEUMATICS
Hydraulic and Pneumatic Power and Control
Introduction to Hydraulics for Industry Professionals
Industrial Hydraulics and Pneumatics
Pneumatic Handbook
Pneumatic and Hydraulic Systems
Industrial Hydraulics Manual
Industrial Fluid Power
Fluid Power Engineering
Engineering Applications of Pneumatics and Hydraulics
Fluid Power with Applications
Fluid Power Troubleshooting
Hydraulics and Hydraulic Circuits
Design of Industrial Hydraulic Systems
Fluid Power Systems
GAVIN JAXSON
Practical Book PHI Learning Pvt. Ltd.
HYDRAULIC FLUID POWER LEARN MORE ABOUT HYDRAULIC TECHNOLOGY IN HYDRAULIC SYSTEMS DESIGN WITH THIS COMPREHENSIVE RESOURCE Hydraulic Fluid Power provides readers with an original approach to hydraulic technology education that focuses on the design of complete hydraulic systems. Accomplished authors and researchers Andrea Vacca and Germano Franzoni begin by describing the foundational principles of hydraulics and the basic physical components of hydraulics systems. They go on to walk readers through the most practical and useful system concepts for controlling hydraulic functions in modern, state-of-the-art systems. Written in an approachable and accessible style, the book’s concepts are classified, analyzed, presented, and compared on a system level. The book also provides readers with the basic and advanced tools required to understand how hydraulic circuit design affects the operation of the equipment in which it’s found, focusing on the energy performance and control features of each design architecture. Readers will also learn how to choose the best design solution for any application. Readers of Hydraulic Fluid Power will benefit from: Approaching hydraulic fluid power concepts from an “outside-in” perspective, emphasizing a problem-solving orientation Abundant numerical examples and end-of-chapter problems designed to aid the reader in learning and retaining the material A balance between academic and practical content derived from the authors’ experience in both academia and industry Strong coverage of the fundamentals of hydraulic systems, including the equations and properties of hydraulic fluids Hydraulic Fluid Power is perfect for undergraduate and graduate students of mechanical, agricultural, and aerospace engineering, as well as engineers designing hydraulic components, mobile machineries, or industrial systems.
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The book describes the design aspects of hydraulic systems systematically. It highlights the essential parameters and specifications of hydraulic components in SI units. Many examples of designing typical hydraulic systems are also given in this book. The language of the book is simple, the topics are logically arranged, and information is most up-to-date. A fluid power professional should possess exceptional knowledge about the design of industrial hydraulic systems for his/her continuing professional development and career advancement. A keen faculty or a student in an engineering institution must acquire the knowledge of the design of industrial hydraulic systems to upgrade his/her knowledge. As the knowledge and skill of the reader improve, professional life is undoubtedly going to be more outstanding and comfortable. The book has been written by a professional trainer who has vast experience in the fluid power area and trained thousands of professionals and students, over 25 years. If you are looking for a more in-depth knowledge into fluid power, then this book is a valuable resource that will assist you in your quest for professional development.
Fluid Power Transmission And Control Ingram
The excitement and the glitz of mechatronics has shifted the engineering community's attention away from fluid power systems in recent years. However, fluid power still remains advantageous in many applications compared to electrical or mechanical power transmission methods. Designers are left with few practical resources to help in the design and
Power Transmission CRC Press
Assuming only the most basic knowledge of the physics of fluids, this book aims to equip the reader with a sound understanding of fluid power systems and their uses in practical engineering. In line with the strongly practical bias of the book, maintenance and troubleshooting are covered, with particular emphasis on safety systems and regulations.
High Speed Pneumatic Theory and Technology Volume I CRC Press
This unique single-source reference—the first book of its kind to address systematically the problems involved in the field—offers comprehensive coverage of hydraulic system troubleshooting and encourages change in the trial-and-error methods common in rectifying problems and restoring system downtime, furnishing a new paradigm for troubleshooting methodology. Covering typical circuitry found in industrial, agricultural, construction, transportations, utilities maintenance, and fire-fighting equipment as well as heavy presses, Fluid Power Maintenance Basics and Troubleshooting: Supplies the tools needed to investigate problems, including hydraulic component symbol identification; Provides an understanding of the function of components in relation to the system; Shows how to interpret the hydraulic system diagram; Demonstrates how components within circuit diagrams interact to achieve
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Hydraulics and Pneumatics Controls Pearson Higher Ed
This book covers the author's research achievements and the latest advances in high-speed pneumatic control theory and applied technologies. It presents the basic theory and highlights pioneering technologies resulting from research and development efforts in aerospace, aviation and other major equipment, including: pneumatic servo control theory, pneumatic nonlinear mechanisms, aerothermodynamics, pneumatic servo mechanisms, and high-speed pneumatic control theory.
Fluid Power Design Handbook CRC Press
GET UP-TO-DATE INFORMATION TO PERFORM RETURN-TO-SERVICE AIRCRAFT MAINTENANCE AND PASS YOUR FAA AIRCRAFT CERTIFICATION! Aircraft Maintenance & Repair, Seventh Edition, is a valuable resource for students of aviation technology that provides updated information needed to prepare for an FAA airframe technician certification — and can be used with classroom discussions and practical application in the shop and on aircraft. This expanded edition includes recent advances in aviation technology to help students find employment as airframe and powerplant mechanics and other technical and engineering-type occupations. For easy reference, chapters are illustrated and present specific aspects of aircraft materials, fabrication processes, maintenance tools and techniques, and federal aviation regulations. THIS UPDATED EDITION INCLUDES: Modern aircraft developed since the previous edition, such as the Boeing 777, the Airbus A330, modern corporate jets, and new light aircraft New chemicals and precautions related to composite materials Current FAA regulations and requirements FAA Airframe and Powerplant certification requirements 8-page full-color insert The newest maintenance and repair tools and techniques Updated figures and expanded chapters
Design of Pneumatic Systems Springer Nature
Develop high-performance hydraulic and pneumatic power systems. Design, operate, and maintain fluid and pneumatic power equipment using the expert information contained in this authoritative volume. Fluid Power Engineering presents a comprehensive approach to hydraulic systems engineering with a solid grounding in hydrodynamic theory. The book explains how to create accurate mathematical models, select and assemble components, and integrate powerful servo valves and actuators. You will also learn how to build low-loss transmission...
lines, analyze system performance, and optimize efficiency. Work with hydraulic fluids, pumps, gauges, and cylinders. Design transmission lines using the lumped parameter model. Minimize power losses due to friction, leakage, and line resistance. Construct and operate accumulators, pressure switches, and filters. Develop mathematical models of electrohydraulic servosystems. Convert hydraulic power into mechanical energy using actuators. Precisely control load displacement using HSAs and control valves. Apply fluid systems techniques to pneumatic power systems.
**Fluid Power Control Pearson**
It is a learning package for students or professionals who are looking to build their fluid power careers. The package includes a colored textbook, an interactive software-based tool to size hydraulic components, electronic files for the animated hydraulic circuits, and a colored workbook (separate price).
**Electro-pneumatics and Automation Routledge**
This text-book provides an in-depth background in the field of Fluid Power. It covers Design, Analysis, Operation and Maintenance. The reader will find this book useful for a clear understanding of the subject and also to assist in the selection and troubleshooting of fluid power components and systems used in manufacturing operations, providing a systematic summary of the fundamentals of hydraulic power transmission. This book discusses the main characteristics of hydraulic drives and their most important types in a manner comprehensible even to newcomers of the subject. This book covers a broad range of topics in the field, including: physical properties of hydraulic fluids; energy and power in hydraulic systems; frictional losses in hydraulic pipelines; hydraulic pumps, cylinders, cushioning devices, motors, valves, circuit design, conductors and fittings; hydraulic system maintenance; pneumatic air preparation and its components; and electrical controls for fluid power systems. It provides everything you need to understand the fundamental operating principles as well as the latest maintenance, repair and reconditioning techniques for industrial oil hydraulic systems. Better understanding of the material is promoted by the sample solutions to various mathematical problems given in each chapter. A number of photographs and illustration have been attached to reflect current "Fluid Power system".
**Hydraulic and Pneumatic Power for Production McGraw-Hill Companies**
Offers a comprehensive treatment of the principles of hydraulics and pneumatics. The main objective is to provide a clear understanding of the concepts underlying hydraulics and pneumatics. Solved question papers and numerical examples are given to aid understanding.
**Advances in Hydraulic and Pneumatic Drives and Control 2020 CHAROTARPUBLISHINGHOUSEP.LTD**
Most of the existing books in this field discuss the hydraulic and pneumatic systems in concentrating on the design and components of the system without going deep enough into the problem of dynamic modelling and control of these systems. This book attempts to compromise between theoretical modelling and practical understanding of fluid power systems by using modern control theory based on implementing Newton's second law in second order differential equations transformed into direct relationships between inputs and
outputs via transfer functions or state space approach.
*Hydraulic Power System Analysis*
John Wiley & Sons
Maintaining and enhancing the high standards and excellent features that made the previous editions so popular, this book presents engineering and application information to incorporate, control, predict, and measure the performance of all fluid power components in hydraulic or pneumatic systems. Detailing developments in the ongoing "electronic re
*Fluid Power Math for Certification Atp*
American Technical Publishers
The book describes the topics on compressed air generation, contamination control, actuators, control valves, and pneumatic circuits, in detail. Further, the book presents the maintenance, troubleshooting, and safety aspects of pneumatic systems. The language of the book is simple, the topics are logically arranged, and information is most up-to-date. Fluid power professionals in the industries and faculty members of engineering institutes should possess exceptional knowledge about pneumatic systems and circuits for their continuing professional development. Likewise, a student in an engineering institute must acquire the knowledge of pneumatics to upgrade his/her knowledge. As the knowledge and skill of the reader improve, his/her professional life is going to be more comfortable and outstanding. If you are looking for in-depth knowledge into fluid power, then this book is a valuable resource that will assist you in your career advancement.
*Fluid Power Reference Handbook*
McGraw Hill Professional
Hydraulics and Pneumatics: A Technician's and Engineer's Guide
provides an introduction to the components and operation of a hydraulic or pneumatic system. This book discusses the main advantages and disadvantages of pneumatic or hydraulic systems. Organized into eight chapters, this book begins with an overview of industrial prime movers. This text then examines the three different types of positive displacement pump used in hydraulic systems, namely, gear pumps, vane pumps, and piston pumps. Other chapters consider the pressure in a hydraulic system, which can be quickly and easily controlled by devices such as unloading and pressure regulating valves. This book discusses as well the importance of control valves in pneumatic and hydraulic systems to regulate and direct the flow of fluid from compressor or pump to the various load devices. The final chapter deals with the safe-working practices of the systems. This book is a valuable resource for process control engineers.
*Fluid Power*
Sankalp Publication
Fluid Power Systems is a text/workbook that covers topics specifically relating to the design, application, and maintenance of hydraulic and pneumatic systems. This new edition has been redesigned and includes expanded content on hydraulic pumps, fluid conductors, connectors, and means of transmission. The text/workbook addresses fluid power systems, components, and devices specific to industrial, commercial, and mobile power equipment applications such as pumps, valves, actuators, electrical controls, and troubleshooting techniques. Each component, device, or system is introduced with descriptions, operation, common applications, system examples, and operating characteristics. Schematic symbols are introduced
throughout the textbook to assist the learner with schematic diagram comprehension. The included FluidSIM® 4.2 Student Version simulation software provides the learner with an added tool to create, build, and troubleshoot hydraulic circuits in the form of specific activities in the text/workbook. Instructors can also create their own activities.
*Fluid Power Maintenance Basics and Troubleshooting* McGraw-Hill Professional Publishing
For sophomore/junior-level courses in Fluid Power, Hydraulics, and Pneumatics in 2- and 4-year Engineering Technology and Industrial Technology Programs. Updated to reflect current fluid power technology and industrial applications, this text focuses on the design, analysis, operation, and maintenance of fluid power systems.
*Electricity, Fluid Power, and Mechanical Systems for Industrial Maintenance* Goodheart-Wilcox Publisher
The book, entitled as 'Practical Book: Electro-pneumatics-Basic Level', contains a set of practical exercises that assist in organizing practical training involving only single actuator electro-pneumatic systems. The set of exercises is intended to strengthen the theoretical understanding and enhance the technical competence of the trainees who are undergoing a basic electro-pneumatic course.
*Fluid Power with Applications* Elsevier
Fluid power now a day's becoming more popular and acceptable with improvements in various processes due to automation. Branches of fluid power Hydraulic & Pneumatic are gaining more importance in academic as well as industry. Every diploma engineer must have basic knowledge about different components of Hydraulic & Pneumatic with their construction working so they must be able to design simple systems as well as carry out maintenance of system. This book based on whole to part approach includes introduction to general layouts of Hydraulic & Pneumatic and then covering each component in detail. Mathematical part is purposefully avoided as it focuses mainly on working and intended for diploma students. Language of description is kept simple and only relevant information has been included. Main contents are Introduction to Hydraulic & Pneumatic Systems, Pumps and Actuators, Control Valves, Compressor, pneumatic components and accessories in fluid system, Oil hydraulic circuits and Pneumatic Circuits. Last part includes Hydro pneumatic applications, Simple Electro circuits, Remedies and fault detection in Pneumatic circuit Maintenance of Hydraulic and pneumatic circuits. Figure/sketches are provided with simple layout so that construction and working can be easily understood. I recommend this book as a text book for course Industrial fluid power or Industrial Hydraulics and Pneumatics mainly included in curriculum of Diploma in Mechanical, Automobile, production Engineering. Technical specifications of components such as pump, compressor, and valves are also mentioned in description like working pressure range, flow rate. It covers almost all the basic components used in fluid power system.
Related with *Hydraulic And Pneumatic Power For Production By Harry L Stewart 1977 01 01*:
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Synthesis of multilayer polymeric nanoparticles using surface acoustic wave atomization
Aisha Qi (1), Peggy Chan (2), Leslie Yeo (1) and James Friend (1)
(1) MicroNanophysics Research Laboratory, Department of Mechanical and Aerospace Engineering, Monash University, Melbourne
(2) Department of Chemical Engineering, Monash University, Melbourne VIC 3800 Australia.
PACS: 43.80.Jz
ABSTRACT
Nanoparticles have been proved to be essentially important for efficient drug deliveries, and the drug particles delivered in-vivo are also required to be biocompatible and biodegradable. Using natural polymers to encapsulate drugs with one or multiple layers offers a likelihood of success in delivering nano-sized drug particles with biocompatible and biodegradable structures. However the techniques at present have yet well-developed and are subject to a number of limitations. In this paper, we present a novel technique about fast synthesizing multilayer polymeric nanoparticles via surface acoustic wave (SAW) atomization. With SAW atomization, we are able to show (1) the successful synthesis of multilayer polymeric structure, and (2) fast generation of monodispersed particles in nanosize. In general, compared to conventional methods in producing nanoparticles, SAW atomization is not only fast and straight forward, but having much less limitations in the usage of surfactant and templates. Compared to traditional ultrasonic atomization and electrospray, SAW atomization, driven at much higher frequency and lower power can not damage biomolecules as easily as the former two.
INTRODUCTION
Current drug delivery technologies and systems remains challenging as having difficulty in (a) delivering drugs with low water-solubility and (b) performing site-targeting deliveries [1]. Applying nanoparticles based technology in this field has offered a likelihood of success in overcoming these challenges. First of all, the dissolution rate of drug particles can be greatly enhanced by using particles with size range in submicron or nanon, and, secondly, nanoparticles can also be modified or coated to target infected organs or tissues [1, 2, 3, 4, 5].
Besides the aspects above, drugs and vaccines delivered in-vivo also requires to be biocompatible and biodegradable. Drug with biocompatibility delivered in-vivo is non-cytotoxic such that the introduction of such material does not invoke an inflammatory response by the immune system. Meanwhile, biodegradable drug can naturally decompose and absorb in vivo over a desired period of time such that complicated surgical procedures involved in retrieving or removing such materials are not necessary. Therefore, the encapsulation of bacteria, viruses, DNA, peptides, proteins and other therapeutic molecules within a biodegradable spherical shell of polymeric excipient is a vital vehicle for the controlled and targeted ophthalmic, oral, intravenous or implanted delivery of vaccines and drugs.
Multilayer polymeric encapsulation provides a solution for a more controllable in-vivo drug release, as with such structures, it is able to control over the capsule wall thickness, permeability, stability, and degradation characteristics [6]. A selective polymer for each preferred layer can be designed to be biocompatible and biodegradable for specific parts of body while allowing successive releasing of drugs.
The conventional techniques used for nanoparticle formation and encapsulation all have difficulties in getting nanoparticles with narrow size distribution, unless using emulsion, surfactant and templates. In particular, emulsion based methods, carried out after emulsification/droplet formation process, usually consist of several major complicated steps, all of which require very careful and controlled settings to form homogeneous dispersed single layer particles [7], let alone synthesizing layer-by-layer capsules. The disadvantage of Coacervation/precipitation technique is that it requires to carefully choose right solvents, which can be difficult for adapting itself into various materials, especially for the case of synthesizing LBL particles. Spray drying, usually means ultrasonic atomization and electrospray. These methods seem has less limitation in choosing solvents and the usage of templates is not necessary; however, they, on the other hand, have higher possibility of potentially damaging drugs and other molecules. Ultrasonic atomization, driven at ~10 kHz order, imposes unavoidable shear forces that can damage many shear-sensitive molecules, for example, DNA. Electrospray, on the other hand, driven at ~kV order voltage, still poses high risks of damaging molecules.
Using PDMS microfluidic devices to synthesize polymeric multilayer micro/nanoparticles has become popular recently. The generation of complex emulsions, such as double and triple emulsions, is also achievable with such devices [7, 8]. However, in addition to the drawbacks like other emulsion based methods, other limitations with these devices are: (1) the microchannel surface property is crucial to maintain the desired flow within the microdevice; (2) droplets which form within the microchannels require a cross-linking agent to be solidified into particles; (3) the size of the droplets is limited to the size of microchannels, usually around 50-100 μm, which is too large to be used for drug delivery; and (4) the amount of droplets or particles produced is limited as the droplets/particles are formed one by one.
Therefore, in this study, we present a novel technology to synthesis LBL polymeric nanoparticles via surface acoustic wave (SAW) atomization. It can be categorized as one of the spray drying methods, however, unlike other conventional ultrasonic...
atomization, SAW atomization works at much higher frequencies ($\sim 10$ MHz), meaning the time period of the molecule exposing to the shear force is much shorter than the molecular relaxation time scale in liquids [9, 10] such that the shear effect is greatly minimized [11]. In addition, SAW atomization, compared to electrospray, is driven at very low power (1~3 W), hardly causing damages to drugs and molecules in a sense of high power and high electric voltage [12, 13].
**Surface acoustic wave atomization**
Surface acoustic waves (SAWs), with nanometer-order amplitude, can propagate over thousands of wavelengths, typically several centimeters, along the surface in a low loss piezoelectric material like $127.68^\circ$ y-x cut lithium niobate (LiNbO$_3$ or LN). As its name indicated, the wave amplitude is rapidly attenuated with increasing depth into the LN substrate from the propagation surface. The x-propagating wave speed on the LN substrate $c_x$ is 3965 m/s. When a SAW meets a liquid placed upon the substrate, it diffracts into it at the Rayleigh angle, defined by $\theta_R = \sin^{-1}(c_w/c_x) \sim 22^\circ$, where $c_w$, the sound speed in water, is 1485 m/s. The acoustic energy in the liquid causes the bulk recirculation, known as acoustic streaming, within the drop and a body force that causes the drop to translate in the direction of the SAW propagation. At high powers, though the displacement of the surface is only around 10 nm, when the driving frequency is in an order of 10 MHz, the accelerations of the surface is expected to be as high as in an order of $10^7$ m/s$^2$, which, when transmitted into a liquid drop, can induce very strong capillary waves on the drop free surface that are destabilized upon sufficient acoustic excitation. In this manner, a forcing mechanism for rapid and efficient atomization is formed [14], as shown in Fig. 1.
![Figure 1: A schematic atomization process [14, 12]. SAWs, propagating into a drop at a Rayleigh angle, induce subsequent streaming within the drop and destabilize capillary wave on the free liquid surface. When the power is sufficient, capillary wave breaks up into aerosols, which is known as atomization.](image)
**MATERIALS AND METHODOLOGIES**
A single-phase uni-directional transducer (SPUDT) was fabricated using sputtering (Hummer®Tripletarget Magnetron Sputter System, Anatech, USA.) and standard UV photolithography with wet-etch techniques onto a $128^\circ$ y-cut x-propagating lithium niobate (LiNbO$_3$) piezoelectric substrate surface. To achieve the most efficient atomization with limited power input, an enhanced SAW signal, which is located at the focus of the concentric transducers is also achievable by using curved, focusing electrodes. A focusing SPUDT layout is captured under microscope and presented in Fig 2(a). A high frequency electrical signal is supplied to the electrodes, generating mechanical oscillations on the substrate via the inverse piezoelectric effect, thereby inducing a SAW as the efficient atomization driving source [14, 12, 13].
A capillary tube with a tiny paper strip placed at one end was used to supply polymer solutions to the device substrate, as shown in Fig 2(a). As presented in our previous work [13], paper, under SAW excitation, can be used as a convenient media to automatically transport solutions from a reservoir to the device substrate for direct and efficient atomization without damaging the biomolecules. Since the paper strip employed in such setup is very small and the flow rate is also high within the paper such that the amount of molecules that could be left inside the paper is negligible.
The experiment setup can be also shown in Figure 2(b). A capillary tube filled with paper strip is mounted next to the SAW device, where the paper strip is in contact with substrate. A polymer solution is supplied from the other end of the capillary tube. A funnel was placed above the SAW device to collect the aerosols, which, following the air flow provided by a vacuum pump, subsequently passed through a long spiral tube. The spiral tube was fully embedded in a 300 ml hot water buffer and the temperature within the spiral tube is kept between 40–50 degree. The aerosols are dried by evaporation inside the spiral tube, and shrank to small solid particles. These small particles are then deposited into another solution in a glass beaker. Dried particles, will be able to bond to molecules with opposite charge instantaneously. If another layer is required, this suspension, can be collected and re-atomized into another polymer solution again, using the same experiment setup and atomization procedures described above.
**Model polymers**
Chitosan (Chi), a positive charged natural polysaccharide with low cytotoxicity, is one of the most commonly used polymers
which are both biocompatible and biodegradable [15, 16]. It has been proven to be able to efficiently condense with plasmid DNA and also increase permeability of macromolecules across gastrointestinal tract [17], thus making it an ideal vehicle for gene delivery and vaccines. We therefore select the chitosan (Molecular weight 50k-190k, Sigma) as one of the model polymers.
Carboxymethyl cellulose (CMC), negative charged, is another safe and important artificial-natural polymer derived from cellulose. Polyelectrolyte complex can be formed by the electrostatic interaction between the -COOH group of CMC and the -NH2 groups of chitosan [18, 19]. In this study, we select CMC (Molecular weight 90k, Sigma) as the other model polymer.
Chitosan, was chosen to be the inner polymer layer, while CMC was selected to be the second layer when investigating the size distribution of multilayer polymeric nanoparticle suspension in water using SAW atomization. We also employ chitosan to form a third layer covering CMC when studying the Zeta-potential variation. In this case, CMC was sandwiched between two layers of chitosan. If more layers are required in the real practice, layers can be added one by one using the same technique.
The size of the polymeric particles, $d$, is defined by $d = c \times D$ [11], where $c$ is the concentration of the polymer and $D$ stands for the size of the aerosol which directly pinched off or ejected from the capillary wave. Based on previous work, $D$ is in an order to 1–10 $\mu$m [14, 12]. Aiming at a wide range of drug delivery applications, we expect the size distribution of such particles below micron. We proceeded our experiments with low concentrations of both chitosan and CMC solutions. In particular, we first atomized 0.1 mg/ml $\times$ 3 ml chitosan solution into 0.01 mg/ml $\times$ 30 ml CMC solution. This suspension was then re-atomized into another 30 ml chitosan solution with concentration 0.01 mg/ml if another layer is required. In this case, the mass ratio of each polymeric layer was hence theoretically kept at 1:1:1.
**Tests on the polymeric particle properties**
In order to demonstrate the formation of bonding between polymeric layers, we examined the properties of these LbL capsules such as their fourier transform spectroscopy (FTIR), size distribution and zeta-potential variations.
**Proof of the formation of multiple polymer layers**
FTIR spectrum was employed to examine the chemical bonding between each polymer layer, thus providing proof of the formation of the different polymer layers. Chitosan-CMC complex spectrum was expected to be varied from the single spectrum of either chitosan or CMC since the bonding between the two would reveal changes. Further evidence of the presence of polymer layering was obtained using zeta-potential measurements (Zetasizer Nano S, Malvern, UK). Pure chitosan is positive charged whilst pure CMC is negative charged. Thus, a change in the sign of the charge, which measured after each layering step, can reveal the formation of a new polymer layer since only the zeta-potential of the outer polymer layer was measurable after complexation between the layers occurs.
**Fluorescence labeling**
Fluorescence labeling is another method to facilitate visual distinction of the formation of multiple layering. To label the CMC, we employed fluoresceinamine, isomer I N-hydroxy succinimide (NHS) and N-(3-Dimethylaminopropyl)-N-ethylcarbodiimide hydrochloride (EDC). Chitosan, on the other hand, was labeled using NHS-Rhodamine and Dimethylsulfoxide (DMSO). The fluorescence spectra of the different layers during each subsequent layering step can therefore be observed using fluorescence microscopy. In particular, CMC was expected to show green under UV excitation while chitosan should show red under UV excitation. By choosing green and red filters to eliminated interfered lights, green and red particles can be seen respectively.
**Particle size distribution**
Particle size distribution was obtained using the Zetasizer Nano S (Malvern, UK). The particle size was expected to be around several hundred nanometers after air-drying. Atomic force microscopy (AFM) was also be used to observe individual particle characteristics, from which, the size was also obtained and compared with results from Malvern Zeta-sizer.
**RESULTS AND DISCUSSIONS**
**Bondings between polymeric layers**
Fourier transform spectroscopy (FTIR) was employed to examine the chemical bonding between each polymer layer, thus providing proof of the formation of the different polymer layers. Figure 3 shows the FTIR spectrum of polymeric particles. Curves 1 and 2 represent pure CMC and chitosan molecules, respectively, while curves 3 and 4 show the varied spectrum of chitosan-CMC-chitosan triple-layer particle and chitosan-CMC double-layer particle.
From curve 1, the bands at 1154, 1058, and 1026 cm$^{-1}$ are corresponding to the polysaccharide skeletons of CMC. In Chi spectrum (curve 2), the characteristic bands at 1640 and 1558 cm$^{-1}$ are assigned to the amide I and amide II, respectively. The bands at 1052 and 1020 cm$^{-1}$ are the characteristic of the polysaccharide skeleton of Chi [20]. Clearly, curves 3 and 4 show characteristic spectrum different from those of Chi and CMC. The amide I band at 1640 cm$^{-1}$ in the double layer and triple layer nanoparticles have shifted to 1660 and 1650 cm$^{-1}$, respectively, reflecting the interactions between the -COOH groups of CMC and the -NH2 groups of Chi. The shift in polysaccharide skeleton characteristic bands in the nanoparticles also suggested that ionic complexation between the Chi and CMC has successfully formed.
The variation of Zeta-potential of polymeric particle with different layers serves another proof of bondings. Fig. 4 shows the change of zeta-potential after different polymeric layers was added on one after another by SAW atomization. For both samples 1 and 2, chitosan solution was slightly positive charged. After bonding to CMC with 1:1 mass ratio, an obvious negative charge was obtained, indicating the outer layer of CMC. This sample was re-atomized into chitosan solution and the mass ratios of each layer were kept at 1:1:2 for sample 1 and 1:1:1 for sample 2. Clearly, sample 1, with double amount of chitosan at the outer layer, shows a much stronger (nearly double) Zeta-potential compared to sample 1.
In order to visualize different layers of particle, fluorescence microscopy (Olympus BX-51, with UV illuminator U-RFL-T) was employed to observe the particle after fluorescence labeling, as shown in Fig. 5(a)–(c). In particular, Fig. 5(a) shows green light emitted by fluoresceinamine (excitation wavelength 490 nm, emission wavelength 525 nm) labeled CMC component whilst red light in Fig. 5(b) suggests the NHS-Rhodamine (excitation wavelength 540 nm, emission wavelength 625 nm) labeled chitosan. Fig. 5(c) was generated by using software ImageJ (version 1.43r, Wayne Rasband National Institute of Health, USA) to merge Fig. 5(a) and (b). It shows particles are at the same position, suggesting the green and red lights are emitted from the same particle. Therefore, the ionic comFigure 3: The FTIR spectrum of polymeric particles. Curves A and B are original CMC and chitosan samples, respectively. Curve C represents three-layer particle while curve D shows the spectrum of two-layer particles.
Figure 4: The zeta-potential of multilayer polymeric capsules. For each sample, the zeta-potential varied corresponding to the outlayer of polymer material, suggesting the layers were successfully added one after another as expected.
Figure 5: (a) A green filter is used and the green light emitted by fluoresceinamine labeled CMC component is shown. (b) A red filter is used and the red light emitted by NHS-Radamine labeled chitosan is observed. (c) is the combination of the former two, showing the interference between green and red lights, therefore, proving the complexation or bonding between chitosan and CMC.
Size distribution
As discussed in Sec. , nano-sized particles are significantly essential for a wide range of drug delivery administrations. We therefore examined the size distribution of synthesized polymeric particles to see if the size obtained is in the required range, as shown in Figures 6(a) and (b). Samples A and B both represent chitosan/CMC two layer particles (chitosan as the inner core and CMC as the outer layer). Clearly, sample A appeared to be larger (329.9±42.1 nm) than sample B (198.2±7.4 nm). The reason is that when chitosan was first atomized into CMC solution, it was the CMC molecules bonded to dried chitosan particles. The size distribution obtained by Zetasizer is based on Brownian motion such that a layer of molecules on the particle surface will slow the diffusion speed down and the hydrodynamic diameter will therefore be influenced. However, while in sample B, CMC was fully condensed with chitosan particles while drying in the air and the data obtained more accurately represented the true size of dried double layer polymeric suspensions in water (198.2±7.4 nm).
Figure 6: (a) Size distribution of polymeric particle formed after directly collecting dried chitosan particle in CMC solution. (b) Size distribution of the particles from (a) after re-atomization and drying process.
CONCLUSIONS
This paper has demonstrated using SAW atomization as a fast and efficient technique to synthesize multilayer polymeric nanoparticles for drug encapsulation usage. A serial of tests have been conducted and shown the successful bondings between each polymeric layer. The size distribution obtained shows those synthesized multilayer polymeric particles are in a narrow range (around 200 nm), which meets the requirement of many drug administrations (<1 μm). Furthermore, unlike many conventional methods in producing polymeric particles, the usage of surfactant and templates are not required in SAW atomization. Compared to traditional spray drying methods, SAW atomization, driven at much higher frequency and lower power, has much less damage to drugs and vaccines, making it suitable for a wide range of drug deliveries and vaccines.
REFERENCES
[1] Kumar, M. N. V. R., ed., 2008. *Handbook of particular drug delivery*. American scientific publishers.
[2] Roney, C., Kulkarni, P., Arora, V., Antich, P., Bonte, F., Wu, A., Mallikarjunana, N., Manohar, S., Liang, H.-F., Kulkarni, A. R., Sung, H.-W., Sairam, M., and Aminabhavi, T. M., 2005. “Targeted nanoparticles for drug delivery through the blood/brain barrier for alzheimer’s disease”. *Journal of controlled release*, **108**, pp. 193–214.
[3] Fang, C., Shi, B., Pei, Y.-Y., Hong, M.-H., Wu, J., and Chen, H.-Z., 2006. “In vivo tumor targeting of tumor necrosis factor-?-loaded stealth nanoparticles: Effect of meppeg molecular weight and particle size”. *European Journal of Pharmaceutical Sciences*, **27**, pp. 27–36.
[4] Li, Y.-P., Pei, Y.-Y., Zhang, X.-Y., Gu, Z.-H., Zhou, Z.-H., Yuan, W.-F., Zhou, J.-J., Zhu, J.-H., and Gao, X.-J., 2001. “Pegylated plga nanoparticles as protein carriers: synthesis, preparation and biodistribution in rats”. *Journal of controlled release*, **99**, pp. 203–211.
[5] Koziara, J. M., Lockmanb, P. R., Allenb, D. D., and Mumper, R. J., 2004. “Paclitaxel nanoparticles for the potential treatment of brain tumors”. *Journal of controlled release*, **99**, pp. 259–269.
[6] Zelikin, A. N., Li, Q., and Caruso, F., 2008. “Disulfide-stabilized poly(methacrylic acid) capsules: Formation, cross-linking, and degradation behavior”. *Chemistry of materials*, **20**, pp. 2655–2661.
[7] mei Wong, E. H., 2009. “The development of a continuous encapsulation method in a microfluidic device”. PhD thesis, The University of Queensland, Australia.
[8] C.Priest, Quinn, A., Postma, A., Zelikin, A. N., Ralston, J., and Caruso, F., 2008. “Microfluidic polymer multilayer adsorption on liquid crystal droplets for microcapsule synthesis”. *Lab on a chip*, **8**, pp. 2182–2187.
[9] Oxtoby, D., 1981. “Vibrational relaxation in liquids”. *Annual Review of Physical Chemistry*, **32**.
[10] Hsieh, C., Balducci, A., and Doyle, P., 2007. “An experimental study of dna rotational relaxation time in nanoslitis”. *Macromolecules*, **40**, pp. 5196–5205.
[11] Alvarez, M., Yeo, L. Y., Friend, J. R., and Jamriska, M., 2009. “Rapid production of protein-loaded biodegradable microparticles using surface acoustic waves”. *Biomicrofluidics*, **3**, p. 014102.
[12] Qi, A., Friend, J. R., and Yeo, L. Y., 2009. “Miniature inhalation therapy platform using surface acoustic wave microfluidic atomization”. *Lab on a Chip*, **9**, pp. 2184 – 2193.
[13] Qi, A., Yeo, L., Friend, J., and Ho, J., 2010. “The extraction of liquid, protein molecules and yeast cells from paper through surface acoustic wave atomization”. *Lab on a chip*, **10**, pp. 470–476.
[14] Qi, A., Yeo, L., and Friend, J., 2008. “Interfacial destabilization and atomization driven by surface acoustic waves”. *Physics of Fluids*, **20**, p. 074103.
[15] He, P., Davis, S. S., and Illum, L., 1998. “Chitosan microspheres prepared by spray drying”. *International journal of pharmaceutics*, **187**, pp. 53–65.
[16] Boonsongrit, Y., Mitrevej, A., and Mueller, B. W., 2006. “Chitosan drug binding by ionic interaction”. *European Journal of Pharmaceutics and Biopharmaceutics*, **62**, pp. 267–274.
[17] Mayank D Bhavsar, M. M. A., 2007. “Polymeric nano- and microparticle technologies for oral gene deliver”. *Expert Opinion on Drug Delivery*, **4**, pp. 197–213.
[18] Anitha, A., Rani, V. D., Krishna, R., Sreeja, V., Selvamurugan, N., Nair, S., Tamura, H., and Jayakumar, R., 2009. “Synthesis, characterization, cytotoxicity and antibacterial studies of chitosan, o-carboxymethyl and n,o-carboxymethyl chitosan nanoparticles”. *Carbohydrate Polymers*, **78**, pp. 672–677.
[19] Zhao, Q., Qian, J., An, Q., Gao, C., Gui, Z., and Jin, H., 2009. “Synthesis and characterization of soluble chitosan/sodium carboxymethyl cellulose polyelectrolyte complexes and the pervaporation dehydration of their homogeneous membranes”. *Journal of Membrane Science*, **333**, pp. 68–78.
[20] Rosca, C., Popa, M. I., Lisa, G., and Chitanu, G. C., 2005. “Interaction of chitosan with natural or synthetic anionic polyelectrolytes. 1. the chitosan–carboxymethylcellulose complex”. *Carbohydrate Polymers*, **62**, pp. 35–41.
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The Privileged Planet Teacher Guide
Guillermo Gonzalez and Jay W. Richards
The Privileged Planet Teacher Guide
Preview copy, not for resale
Guillermo Gonzalez
Jay W. Richards
Publisher Information
DISCOVERY INSTITUTE
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Copyright © 2006 Discovery Institute. All rights reserved.
About the Center for Science & Culture
Discovery Institute’s Center for Science & Culture supports the research of scientists and other scholars who explore evidence of purpose and design in nature, and is the nation’s leading think tank researching the scientific theory known as intelligent design.
About Discovery Institute
Discovery Institute promotes ideas in the common sense tradition of representative government, the free market and individual liberty. Our mission is promoted through books, reports, legislative testimony, articles, public conferences and debates, plus media coverage and the Institute's own publications and award-winning Internet website: http://www.discovery.org. Current projects explore the fields of technology, science and culture, reform of the law, national defense, the environment and the economy, the future of democratic institutions, transportation, religion and public life, government entitlement spending, foreign affairs and cooperation within the bi-national region of "Cascadia."
Published in the United States of America
First Edition, First Printing. March 2006.
Preface
This guide began its life as a set of notes developed by Michael N. Keas for use in his Unified Studies Natural Science survey course for non-science majors at Oklahoma Baptist University. At the time, Keas was an associate professor of natural science with expertise in the history, philosophy and rhetoric of science. With a particular interest in science education, he began incorporating *The Privileged Planet* into his lectures in 2002, when it was still in an incomplete manuscript. Today, Keas teaches at Biola University.
We are pleased that Dr. Keas has granted us permission to expand on and adapt his guide for a broader audience. It is appropriate for high school through advanced undergraduate students. It can be used as a supplement for an introductory astronomy or general science course, along with *The Privileged Planet* and accompanying documentary, an introductory astronomy textbook and perhaps a set of readings on the history of science (e.g., selected chapters from *The Book of the Cosmos* by Dennis Danielson).
*The Privileged Planet* and this guide can also be used as supplementary material for a college-level astrobiology course. In that case, the advanced questions would be particularly appropriate. It is not necessary to cover every chapter in the guide. Astrobiology courses, for example, can focus on the first eight chapters, and perhaps include some of the material on SETI. *The Privileged Planet*, along with *Rare Earth* by Peter Ward and Donald Brownlee, can serve to balance the more commonly available material with a strong pro-SETI slant. The astrobiology student would also benefit from the review paper published by one of us on habitable zones.\(^1\) It expands on the astrobiology in *The Privileged Planet* with the latest research, including a more complete treatment of the Galactic Habitable Zone.
We welcome suggestions for improvement, reports of errors and particularly good answers to the advanced questions. We will acknowledge incorporated material in future versions of this guide. Please send correspondence to: firstname.lastname@example.org.
Guillermo Gonzalez
Jay W. Richards
March 1, 2006
\(^1\) Gonzalez G. (2005). Habitable Zones in the Universe. *Origins of Life and Evolution of Biospheres*, **35**, 555-606.
Introduction
Preview this study guide to know what to look for in your reading, then read the text of the Introduction of *The Privileged Planet*, then answer the questions below.
What event on Christmas Eve, 1968, attracted the largest single TV audience in history?
Probably a majority of scientists think that our Earthly existence is accidental and purposeless. *The Privileged Planet* challenges this view on scientific grounds. What matters most to the practice of science is not where scientists get their initial ideas (e.g., intuition, the Bible or a dream), but rather how well those ideas are tested against publicly accessible evidence. A scientist may begin assuming the importance or unimportance of our cosmic position, just so long as those initial assumptions are open to being accountable to the evidence of nature.
*The Privileged Planet’s* main thesis: the conditions that allow for _______________ on Earth also make it strangely well suited for ____________ and ____________ the universe.
Technical version of this thesis: _______________ correlates with habitability.
Identify three views (among prominent scientists since the mid-20th century) of how common or uncommon life is in the cosmos (answer in the #1-#2-#3 outline below).
**View #1: Drake-Sagan-SETI**
Life, even intelligent life, is **common / uncommon** (circle one).
The late Carl Sagan (author of the novel *Contact*, upon which the motion picture by the same name was based) was fond of extolling the “billions” of stars in the cosmos; we will use this as a convenient device for remembering this most common twentieth century view. Frank Drake is the early SETI researcher who is especially remembered for his mathematical formula that attempts to calculate the number of advanced civilizations capable of communicating with radio signals in the Milky Way Galaxy.
What is the so-called Copernican Principle?
Define naturalism by completing Carl Sagan’s secular liturgy: nature is “all that _____, or ever ________, or ever _________.” If naturalism is true, the Copernican Principle seems to naturally follow.
SETI = Search for ______________ Intelligence. Drake & Sagan were leading SETI advocates.
View #2: Rare Earth Hypothesis
Simple life is common / uncommon, but complex life is common / uncommon (circle correct)
The name of this viewpoint comes from Peter Ward and Donald Brownlee in their book *Rare Earth* (2000). This view has taken its contemporary form within the new discipline of astrobiology, which is the study of the conditions necessary for life in the universe.
In what limited regard does the Rare Earth view (#2) challenge the Copernican Principle (CP)? Answer: it challenges the CP in regard to simple / complex life (circle one)?
Does the “Rare Earth” view keep faith with the broader naturalistic philosophy that supports the Copernican Principle? Explain.
View #3: Privileged Planet Hypothesis (thesis of *The Privileged Planet*)
**Part A, Habitability Thesis:** Life, both complex and “simple,” is common / uncommon (circle one). This thesis, although not new, has taken on an unprecedented degree of scientific rigor in its latest form within the new discipline of astrobiology. Views #2 and #3 both recognize the precise fine-tuning (or “just right” arrangement of natural laws and events) that is required for the possibility of life’s existence.
**Part B, Habitability-Measurability Correlation Thesis:** The conditions that allow for intelligent life on earth also make it strangely well suited for measuring (analyzing) the universe.
Measurability [definition]: “refers to those features of the universe as a whole, and especially to our particular ____________ in both in space and time which allow us to detect, observe, discover, and determine such features as the size, age, history, laws, and other properties of the physical universe.”
Does the Privileged Planet Hypothesis keep faith with the broader naturalistic philosophy that underwrites the Copernican Principle? Explain (compare with the Rare Earth Hypothesis).
“All design involves conflicting objectives and hence compromise, and the best designs will always be those that come up with the best compromise.” How does this insight, called constrained optimization, guide the Privileged Planet thesis? How does laptop computer design illustrate constrained optimization?
**Advanced questions**
1) Discuss the subtle differences among observability, discoverability, and measurability. Illustrate your answer with real-world examples.
Ch. 1: Wonderful Eclipses
Kinds of Solar Eclipses
- Total Eclipse (figure 1.1A): The fully shaded umbra of the Moon’s shadow reaches Earth. This is called a total eclipse for those located on Earth where the umbra touches, because the Moon totally covers the Sun.
- Annular Eclipse (figure 1.1B): The semi-shaded penumbra of the Moon’s shadow reaches Earth, while the dark umbra falls short. The Moon fails to totally cover the Sun for any observer on Earth.
More Detail on Total Solar Eclipses (figure 1.1A)
1. Moon’s disk is large enough to cover the bright solar disk (Sun’s photosphere)
2. Centers of the two disks at least approximately meet
3. Umbra touches Earth’s surface
4. There are two kinds of total eclipses: super & perfect
a. **Super eclipse**: Moon’s disk appears ________ than the solar disk and thus more than covers it.
b. **Perfect eclipse**: Moon’s disk is just large enough to cover the bright solar disk.
*What causes a perfect solar eclipse?* The relative Earth-Moon and Earth-Sun distances just about exactly compensate for the real size difference between Moon and Sun, making both appear the same angular size as viewed from Earth.
*What can one see during the 7.5 minutes (or less) of a perfect solar eclipse?* See Plate 3 in the book (all color plates are in the middle of the book). See especially the top photograph for an excellent look at a perfect eclipse. **Observe two things:**
1. pink ________________ around the edge of the Moon, which looks like a thin jagged crown with protruding pink flames; this is an irregular layer of gases on the Sun within which sunspots, flares, and prominences (protruding pink flames) occur.
2. silvery-white ____________, which is the Sun’s outer atmosphere, and extends out several times the Sun’s diameter.
**More Detail on Solar Eclipses that are Not Total (figure 1.1B)**
1. Annular Eclipse (figure 1.1B): The Moon’s disk is too ___________ to cover the bright solar disk (photosphere of the Sun), but the centers of the two disks at least approximately meet. Explanation: More than half the time nowadays the Moon is far enough from Earth (relative to the changing Earth-Sun distance) that it appears a bit smaller than the Sun. During such periods, the Moon (if lined up with the Sun) fails to totally eclipse (cover) the bright solar disk. Under these conditions, the Sun’s bright light prohibits observations of the following scientifically interesting effects: (1) pink chromosphere and (2) silvery-white corona. These two solar phenomena are otherwise visible during a total solar eclipse (especially during a *perfect* total solar eclipse as described above).
2. Partial Eclipse: A solar eclipse in which an observer is located in the penumbra. One may experience either a total or annular eclipse as a “partial eclipse” if one is situated in the penumbra.
**Earth-Moon-Sun Configuration is Well Suited for Earth’s Habitability and Measurability**
Gonzalez discovered the habitability-measurability correlation after first seeing it in the Earth-Moon-Sun configuration that makes possible complex life and science-friendly solar eclipses.
*Four planet-moon-sun features required for the support of complex life on a planet:*
#1. “A moon large enough to just cover the Sun also _______ the rotation of its host ________.” This keeps planet’s tilt within a narrow range that is important for sustaining complex life.
#2. What celestial body is the main cause of ocean tides? **Sun / Moon** (circle one). In the absence of this body, ocean currents would be less effective at regulating global climate and mixing nutrients from the continents into the oceans.
OBJECTION: “As long as they are the right relative sizes and distances apart, a perfect total eclipse could happen with a larger or smaller moon or sun.” So, there is nothing special about our perfect total eclipses.
ANSWER: This objection evaporates in light of additional evidence (e.g., points 3 & 4 below) that few of the eclipse-friendly planet-moon-sun arrangements also provide these two correlated benefits:
- Able to support complex life on the host planet (habitability)
- Able to support highly useful scientific measurements (measurability)
#3. A star similar to the Sun’s mass is required for complex life.
A less ___________ sun requires that a planet orbit closer to keep liquid ________ on its surface. The band around a star wherein a terrestrial planet must orbit to maintain liquid water on its surface is called the _________________ habitable zone. But, if the planet orbits too close, you get rapid ___________-locking (one hemisphere of planet always faces its sun). What’s bad about this?
____________________________________________________________________________________
What difference between our Moon’s ___-lock and this hypothetical planetary ___-lock stands out? Hint: Why is one side of our Moon not perpetually dark?
____________________________________________________________________________________
#4. If a planet is much bigger or smaller than ours, then complex life is much less likely there.
Why? Because the host planet needs to be about Earth’s size to maintain the following features that are critical for the support of complex life:
A. Plate tectonics
B. Maintenance of some __________ above the oceans
C. Retention of an ________________.
**Planet-moon-sun configurations that support life are more likely to produce science-friendly perfect solar eclipses**
#1. The planet-Moon-Sun configuration that is best for complex life is also most likely to produce solar eclipses. Over most of its history only super eclipses were visible from Earth. Today, perfect eclipses are visible.
#2. A comparative study of moons in our Solar System reveals something important about our Earth-Moon-Sun configuration: Earth is unusually well set up to be a platform from which to make scientifically useful measurements during solar eclipses. Summarize the evidence for this conclusion with the aid of the bullet points below:
Figure 1.4 (page 11) shows that only two moons in our Solar System (ours and one of Saturn’s) appear the same angular size as the Sun when viewed from their host planets.
- By angular size of the Sun we mean the angle between two lines of sight:
- To one edge of the Sun and
- To the opposite edge of the Sun
- Angular sizes of the moons and the Sun vary due to changes in the moons’ distances from their host planets and also the change in distances of the planets from the Sun and so these moons sometimes appear smaller than the Sun (left of vertical line on the graph) and sometimes larger than the Sun (right of vertical line).
- Other reasons Earth’s solar eclipses are better:
- The Moon orbits around Earth slowly. Do the moons of the giant planets generally orbit their host planets faster or slower than ours? Why? Why is this important?
- How does the potato-shaped Prometheus make matters worse for scientific measurements taken from the surface of Saturn during a total eclipse?
- From which planet with a moon does the Sun subtend the largest angular size? Why is this relevant?
**Research Aided by Perfect Solar Eclipses Led to Three Important Scientific Discoveries**
#1. Perfect solar eclipses helped scientists discover how to determine the chemical (elemental) makeup of stars.
In 1811 Joseph Franhaufur first described the dark gaps that intersperse the smooth continuum of the solar light spectrum, called Franhaufur lines or _______________ lines.
Atoms and molecules both emit and absorb light at characteristic wavelengths on the spectrum, called _________ and absorption lines, respectively. By learning to read this bar-code-like information, scientists have been able to determine the elemental makeup of _______. This major advance in science was made possible with spectroscopic measurements of the chromosphere and prominences (plumes of gas that surge out from the photosphere into the ____________) during the few minutes of totality during a perfect solar eclipse. These discoveries helped confirm the proposal of Jesuit priest Angelo Secchi and John Herschel in 1864 that the Sun is a ball of hot _______.
Only because they discovered how absorption lines form in the Sun’s atmosphere did astronomers learn how to interpret the spectra of distant ________, and thereby determine their chemical makeup, all without leaving our tiny planet. Such knowledge is the linchpin for modern astrophysics and cosmology.
#2. Total solar eclipses provided scientists the earliest and one of the most influential “confirming tests” of ______________ Relativity (one of most important laws of nature)
#3. Total solar eclipses give scientists the best way of measuring the slowdown of Earth’s ______ since ancient times.
- What causes the slowing of Earth’s rotation?
- A total solar eclipse is only visible as such by those in its _______ (dark shadow’s) track
- The slowing of Earth’s rotation translates into errors in prediction of where the ________ would sweep across Earth’s surface for an ancient total solar eclipse
- By examining accounts of total solar eclipses at known dates and places, scientists can place ancient calendars on our modern calendar system.
**Bizarre Conclusion**
“There’s a final, even more bizarre twist. Due to Moon-induced tides, the Moon is gradually ______________ from the Earth, at 3.82 centimeters per year. In ten million years, the Moon will seem noticeably ___________. At the same time, the Sun’s apparent girth has been swelling by six centimeters per year for ages, as is normal in stellar evolution. These two processes, working together, should end total solar eclipses in about _______ million years, a mere ______ percent of the age of the Earth. This relatively small window of opportunity also happens to coincide with the existence of _________________ life. Put another way, the most habitable place in the Solar System yields the best view of solar eclipses just when ________________ can best appreciate them.”
Advanced questions
1. Search the Internet for recent images of moons taken by orbiting probes or images of solar eclipses obtained from the surface of another planet. Look also for data on newly discovered moons. How do these new images/data bear on the claims made in this chapter about Earth’s solar eclipses in comparison to others in the Solar System?
2. Look up data on the shapes, sizes, and densities of the known moons and asteroids that have had close flybys by probes. Discuss the trends of shape with size and density. If our moon were one-quarter its size, what do you think its shape would be?
3. In what major ways did Earth differ from its present state over its history? In what ways did changes in the Moon’s distance affect Earth’s habitability over its history?
4. If Earth’s day were shorter by several hours, would the Moon still be necessary to stabilize Earth’s axis? Discuss your answer within the context of the way the Moon formed and its effect on Earth’s initial rotation period.
About the Authors
Guillermo Gonzalez is an Assistant Professor of Astronomy at Iowa State University. He received his Ph.D. in Astronomy in 1993 from the University of Washington. He has done post-doctoral work at the University of Texas, Austin and at the University of Washington and has received fellowships, grants and awards from such institutions as NASA, the University of Washington, Sigma Xi (scientific research society) and the National Science Foundation.
Gonzalez has extensive experience in observing and analyzing data from ground-based observatories, including work at McDonald Observatory, Apache Point Observatory and Cerro Tololo Interamerican Observatory. He is a world class expert on the astrophysical requirements for habitability and on habitable zones and a co-founder of the Galactic Habitable Zone (GHZ) concept. Astronomers and astrobiologists around the world are pursuing research based on my work on extra solar planets host stars, the GHZ, and several discoveries pertaining to stellar abundances.
Gonzalez has also published over sixty articles in refereed astronomy and astrophysical journals including Astronomy and Astrophysics, Monthly Notices of the Royal Astronomical Society, Astrophysical Journal and Solar Physics. His current research interests in astrobiology focus on the "Galactic Habitable Zone" which captured the October 2001 cover story of Scientific American, and the properties of the host stars of extra solar planets. He also is the co-author of the second edition of "Observational Astronomy" an advanced college astronomy textbook..
Jay Wesley Richards has a Ph.D.(honors) in philosophy and theology from Princeton Theological Seminary, where he was formerly a Teaching Fellow. His masters thesis (Th.M., Calvin Theological Seminary) treated philosopher of science Michael Polanyi. From 1996-1998, he was executive and associate editor of The Princeton Theological Review, and president of the Charles Hodge Society at Princeton Theological Seminary. He has published in academic journals such as Religious Studies, Christian Scholars' Review, The Heythrop Journal, Encounter, The Princeton Theological Review, Perspectives on Science and the Christian Faith: The Journal of the American Scientific Affiliation; as well as editorial features in The Washington Post, Seattle Post-Intelligencer and IntellectualCapital.com.
He is co-author, with astronomer Guillermo Gonzalez, of the book The Privileged Planet: How Our Place in the Cosmos Is Designed for Discovery (Regnery, 2004). He is editor and contributor, with William A. Dembski, of Unapologetic Apologetics: Meeting the Challenges of Theological Studies (InterVarsity Press, 2001), and editor and contributor with George Gilder of Are We Spiritual Machines?: Ray Kurzweil vs. the Critics of Strong AI (Discovery Institute Press, 2002). He is also author of The Untamed God: A Philosophical Exploration of Divine Perfection, Immutability, and Simplicity (InterVarsity Press, 2003).
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IN RE: ROBERT LAWSON CHEEK, JR. DOCKET NO. 2014-2318-2-AJ (22.3)
BPR No. 15407 2014-2409-2-AJ
Attorney Licensed to Practice Law in Tennessee (Knox County)
FINAL DECREE
This matter came to be heard on March 30, 2015 before G. Keith Alley, Panel Chair, Karen G. Crutchfield, Panel Member, and, John E. Winters, Panel Member, for final hearing on the Board of Professional Responsibility’s (the “Board”) July 1, 2014 Petition for Final Discipline (the “July 1 Petition”) and the Board’s December 19, 2014 Petition for Discipline (the “December 19 Petition), both of which Petitions had been consolidated by Order of the Hearing Panel entered on January 20, 2015. Alan D. Johnson, Disciplinary Counsel, appeared for the Board. Robert Lawson Cheek, Jr. (“Mr. Cheek”), did not appear.
STATEMENT OF THE CASE
1. On April 30, 2014, the United States District Court for the Eastern District of Tennessee entered a Judgment in a Criminal Case (the “April 30 Judgment”) finding Mr. Cheek guilty of one (1) count of mail fraud in violation of 18 U.S.C. § 1341. (Exhibits 2 & 1\(^1\).) As a condition of his guilty plea, Mr. Cheek was ordered to pay $132,371.43 in restitution to five (5) of his former clients; Connie Williams, Kristina Thiagarajan, Hawa Conteh, Vincent Appleton and Donna Loveday.
\(^1\) The Exhibits referenced herein were introduced at the March 30, 2015 hearing.
2. On May 15, 2014, the Supreme Court of Tennessee entered an Order of Enforcement (the “May 15 Order”) disbarring Mr. Cheek as a result of his conduct in relation to Connie Williams and Hawa Conteh. (Exhibit 5). The May 15 Order also ordered Mr. Cheek to pay restitution to Hawa Conteh in the amount of $16,666.66 and to Connie Williams in the amount of $31,996.13.
3. As a result of the April 30 Judgment, on May 21, 2014, the Supreme Court of Tennessee entered an Order (the “May 21 Order”) suspending Mr. Cheek from the practice of law pending further orders of that Court pursuant to Tennessee Supreme Court Rule 9, Section 22.3\(^2\). The May 21 Order also referred the matter to the Board for the institution of formal proceedings in which the sole issue to be determined was the extent of the final discipline to be imposed as a result of Mr. Cheek’s guilty plea recorded in the April 30 Judgment.
4. The July 1 Petition was filed under docket number 2014-2318-2-AJ (22.3).
5. Mr. Cheek was personally served with the July 1 Petition Final on October 9, 2014.
6. Mr. Cheek did not file an answer or otherwise respond to the July 1 Petition.
7. The December 19 Petition was filed under docket number 2014-2409-2-AJ.
8. Mr. Cheek was personally served with the December 19 Petition on December 24, 2014.
9. Mr. Cheek did not file an answer or otherwise respond to the December 19 Petition.
10. On January 9, 2015, the Board moved the Hearing Panel to consolidate the July 1 and December 19 Petitions for hearing. The Hearing Panel granted the Board’s Motion to Consolidate the two Petitions for hearing and set the Final Hearing of both Petitions for March
\(^2\) This matter was initiated after January 1, 2014; therefore, Tenn. Sup. Ct. R. 9 (2014) is applicable.
11. On February 5, 2015, the Board filed a Motion for Default Judgment and that the Allegations Contained in the Petition for Discipline be Deemed Admitted in relation to the December 19 Petition. The Hearing Panel granted the Board’s Motion for Default Judgment in relation to the December 19 Petition and an Order Granting Motion for Default Judgment was entered on March 2, 2015 (the “March 2 Order of Default”).
12. As a result of the March 2 Order of Default, the allegations contained within the December 19 Petition were deemed to be admitted.
13. At the final hearing of this matter on March 30, 2015, the Board moved for Default Judgment against Mr. Cheek in relation to the July 1 Petition. The Hearing Panel granted the Board’s Motion for Default Judgment in open court.
**FINDINGS OF FACT**
**JULY 1 PETITION, DOCKET NO. 2014-2318-2-AJ (22.3)**
14. On April 30, 2014, Mr. Cheek pled guilty to one count of mail fraud in violation of 18 U.S.C. § 1341. (Exhibit 2.)
15. The United States District Court for the Eastern District of Tennessee ordered Mr. Cheek to serve a prison term of twelve (12) months and one (1) day as a result of his criminal conviction, and Mr. Cheek was committed to custody on April 30, 2014. (Exhibit 2.) The United States District Court for the Eastern District of Tennessee additionally ordered Mr. Cheek to serve three (3) years of supervised release after he has served his required period of incarceration. Mr. Cheek’s supervised release is subject to several conditions, which conditions are more specifically set forth in detail in the April 30 Judgment. (Exhibit 2.)
16. The United States District Court for the Eastern District of Tennessee also ordered Mr. Cheek to pay restitution in the total amount of $132,371.43 to five (5) of his former clients as victims. (Exhibit 2.) More specifically, the United States District Court for the Eastern District of Tennessee ordered Mr. Cheek to pay Connie Williams $33,430.34, Kristina Thiagarajan $47,056.18, Hawa Conteh $8,334.16, Vincent Appleton $35,002.50 and Donna Loveday $8,548.25. (Exhibit 2.)
17. The Supreme Court of Tennessee also ordered Mr. Cheek to pay restitution to Hawa Conteh in the amount of $16,666.66 and to Connie Williams in the amount of $31,996.13 on May 15, 2014. (Exhibit 5.)
18. Mr. Cheek settled a case on behalf of his client, Kristina Thiagarajan, in the amount of $160,000, but paid her only $68,143.82 and did not account for the remainder of the settlement funds. (Exhibit 4.) Mr. Cheek had a 28% contingent fee agreement with Ms. Thiagarajan and was not entitled to retain $91,856.18 as his fee. (Exhibit 3.)
19. Mr. Cheek settled a case on behalf of his client, Vincent Appleton, in the amount of $75,000, but paid him only $15,000 and did not account for the remainder of the settlement funds. (Exhibit 4.) There was no evidence presented that Mr. Cheek had a written fee agreement that would have entitled him to retain $60,000 as his fee.
DECEMBER 19 PETITION, DOCKET NO. 2014-2409-2-AJ
20. Donna Loveday retained Mr. Cheek on March 24, 2011, to represent her and her child in an action to recover damages for injuries sustained in a car wreck.
21. Ms. Loveday agreed to accept a settlement offer in October 2011.
22. On November 14, Mr. Cheek sent a letter to Ms. Loveday confirming that the case had settled in the amount of $25,000.
23. Mr. Cheek distributed $283 to Ms. Loveday's child, $7,000 to Ms. Loveday, $215 to Revenue Recovery Corporation and $131.87 to himself for expenses that he claimed to have incurred.
24. Mr. Cheek informed Ms. Loveday that the balance of the settlement proceeds of $17,370.13 would be distributed between Ingenix Subrogation Service ("Ingenix") and himself depending upon the results of his negotiations with Ingenix in regard to its subrogation lien.
25. Mr. Cheek did not pay any sum to Ingenix nor did he satisfy Ingenix's $8,548.25 subrogation lien as he stated he would. (Exhibit 3.)
**CONCLUSIONS OF LAW**
26. The admitted acts and omissions of Mr. Cheek constitute unethical conduct in violation of the Tennessee Rules of Professional Conduct 1.3 (diligence), 1.5 (fees), 1.15 (safekeeping property and funds) and 8.4 (a-d) (misconduct).
27. Pursuant to Tenn. S. Ct. R. 9, § 3, the license to practice law in this state is a privilege and it is the duty of every recipient of that privilege to conduct himself at all times in conformity with the standards imposed upon members of the bar as conditions for the privilege to practice law.
28. Acts or omissions by an attorney which violate the Rules of Professional Conduct of the State of Tennessee shall constitute misconduct and be grounds for discipline.
29. The disciplinary violations alleged in the Petitions for Discipline have been established by a preponderance of the evidence and constitute grounds for discipline.
30. When disciplinary violations are established by a preponderance of the evidence, the appropriate discipline must be based upon application of the *ABA Standards for Imposing*
The following ABA Standards apply in this matter:
4.1 **Failure to preserve client property**
4.11 Disbarment is generally appropriate when a lawyer knowingly converts client property and causes injury or potential injury to a client.
4.4 **Lack of Diligence**
4.41 Disbarment is generally appropriate when:
(a) a lawyer abandons the practice and causes serious or potentially serious injury to a client; or
(b) a lawyer knowingly fails to perform services for a client and causes serious or potentially serious injury to a client; or
(c) a lawyer engages in a pattern of neglect with respect to client matters and causes serious or potentially serious injury to a client.
4.6 **Lack of Candor**
4.61 Disbarment is generally appropriate when a lawyer knowingly deceives a client with the intent to benefit the lawyer or another, and causes serious injury or potential serious injury to a client.
5.0 **Violations of Duties Owed to the Public**
5.11 Disbarment is generally appropriate when:
(a) a lawyer engages in serious criminal conduct a necessary element of which includes intentional interference with the administration of justice, false swearing, misrepresentation, fraud, extortion, misappropriation, or theft; or the sale, distribution or importation of controlled substances; or the intentional killing of another; or an attempt or conspiracy or solicitation of another to commit any of these offenses; or
(b) a lawyer engages in any other intentional conduct involving
dishonesty, fraud, deceit, or misrepresentation that seriously adversely reflects on the lawyer's fitness to practice.
7.0 **Violation of Duties Owed to the Profession**
7.1 Disbarment is generally appropriate when a lawyer knowingly engages in conduct that is a violation of a duty owed as a professional with the intent to obtain a benefit for the lawyer or another, and causes serious or potentially serious injury to a client, the public, or the legal system.
**Aggravating Factors**
30. Pursuant to ABA Standard 9.22, the following aggravating factors are present in this case:
(b) dishonest or selfish motive;
(c) a pattern of misconduct (the admitted facts establish a pattern of misconduct);
(d) multiple offenses (the admitted facts establish multiple offenses);
(e) bad faith obstruction of the disciplinary proceeding by intentionally failing to comply with rules or orders of the disciplinary agency (the admitted facts establish the Respondent failed to respond to the Board);
(h) vulnerability of victim;
(i) substantial experience in the practice of law (Mr. Cheek was licensed to practice in 1992).
31. The Hearing Panel concludes that Mr. Cheek should not profit from his wrong doing, and he should be required to disgorge any fee he would otherwise have been entitled to recover from the settlement funds of his client victims.\(^3\)
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\(^3\) Because the Supreme Court of Tennessee has previously ordered Mr. Cheek to pay restitution to Hawa Conteh and Connie Williams, the Hearing Panel does not order restitution for those client victims in this case. The Hearing Panel does, however, order Mr. Cheek to pay restitution to Donna Loveday, Kristina Thiagarajan and Vincent Appleton in the full amount of the respective remainders of their settlement funds.
JUDGMENT
Based on these findings of fact and conclusions of law, it is the judgment of the Hearing Panel that Mr. Cheek shall be disbarred pursuant to Tenn. Sup. Ct. R. 9, § 12.1. Further, the Hearing Panel finds that Mr. Cheek must pay restitution, pursuant to Tenn. Sup. Ct. R. 9, § 12.7, to the following individuals as set forth below:
A) To Donna Loveday in the amount of $17,370.13. Ms. Loveday’s case was settled for the amount of $25,000. Mr. Cheek disbursed a total of $7,283 to Ms. Loveday and her son. Mr. Cheek paid a subrogation claim in the amount of $215 and reimbursed himself a claimed expense in the amount of $131.87 which the Hearing Panel, without receiving proof to the contrary, finds uncontested and reasonable. The total amount appropriately paid out by Mr. Cheek from the Loveday settlement funds was therefore $7,629.87. The Hearing Panel therefore orders Mr. Cheek to pay restitution to Ms. Loveday in the amount of $17,370.13. This sum includes the $8,548.25 that Mr. Cheek was ordered to repay Ms. Loveday in the April 30 Judgment.
B) To Kristina Thiagarajan in the amount of $91,856.18. Ms. Thiagarajan’s case was settled for the amount of $160,000. Mr. Cheek disbursed a total of $68,143.82 to Ms. Thiagarajan. The Hearing Panel therefore orders Mr. Cheek to pay restitution to Ms. Thiagarajan in the amount of $91,856.18. This sum includes the $47,056.18 that Mr. Cheek was ordered to repay Ms. Thiagarajan in the April 30 Judgment.
C) Vincent Appleton in the amount of $60,000. Mr. Appleton’s case was settled for the amount of $75,000. Mr. Cheek disbursed a total of $15,000 to Mr. Appleton. The Hearing Panel therefore orders Mr. Cheek to pay restitution to Mr. Appleton in the amount of $60,000. This sum includes the $35,002.50 that Mr. Cheek was ordered to
repay Mr. Appleton in the April 30 Judgment.
The following shall be conditions precedent to reinstatement:
A) Payment of restitution as set forth above and compliance with all conditions imposed on Mr. Cheek by the United States District Court for the Eastern District of Tennessee in the April 30 Judgment in Case No. 3:13-CR-00158-01.
B) Mr. Cheek must confer with the Tennessee Lawyer Assistance Program ("TLAP") for a consultation and shall comply with any recommendations of TLAP.
In the event restitution is made by the Tennessee Lawyers' Fund for Protection of Clients ("TLFCP") to Donna Loveday, Kristina Thiagarajan and/or Vincent Appleton, Mr. Cheek shall reimburse TLFCP the full amount TLFCP paid to his client(s)/victim(s) up to the full sum of the restitution ordered to each client that appears hereinabove.
IT IS SO ORDERED,
G. Keith Alley, Panel Chair
Karen G. Crutchfield, Panel Member
John E. Winters, Panel Member
NOTICE: This judgment may be appealed pursuant to Tenn. Sup. Ct R. 9, § 1.3 by filing a Petition for Writ of Certiorari, which petition shall be made under oath or affirmation and shall state that it is the first application for the Writ. See Tenn. Code Ann. § 27-8-104(a) and 27-8-106.
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A method for increasing the efficiency of electrostatic deposition of particulate matter on a surface, which comprises preparing a dispersion of electrostatically charged particles of an active material to be deposited on the surface, wherein the particles of active material have an average radius of $r_{p1}$ and a total volume of $V_{L1}$, in a space adjacent to the surface which contains a dispersion of particles of an inert material, electrostatically charged with the same polarity as said particles of active material, wherein the particles of inert material have an average radius of $r_{p2}$ and a total volume of $V_{L2}$, wherein $r_{p1} > r_{p2}$ and
$$\frac{V_{L2}}{V_{L1}} \geq 0.2.$$
FIG. 1
PERCENT CATCH
DROP DIAMETER (MICRONS)
FOR WATER AT 25 DEGREES CENT.
THEORETICAL MAXIMUM DROPLET CHARGE LIMITS (STATCoulombs)
CHARGE/MASS RATIO
RAYLEIGH LIMIT
SATURATION CHARGE BY IONIZED FIELD
0.5 FRACTIONAL CHARGE
DROPLET RADIUS (MICRONS)
CHARGE LOSS PROBLEM
-14 kV
CLOUD EDGE
PERCENT OF CLOUD DISCHARGED
DISTANCE FROM CENTER OF CLOUD (INCHES)
AVERAGE SPACE CHARGE DENSITY (Coul/m³)
APPLICATION RATE (GAL/ACRE)
2 MICRON
20 MICRON
DROPLET DIA.
50 MICRON
100 MICRON
400
200 MICRON
CRITICAL LEVEL
AVERAGE SPACE CHARGE DENSITY (µCOUL/M³)
CRITICAL LEVEL
2 GALIACRE
1 GALIACRE
DROPLET DIAMETER (MICRONS)
FIG. 6
TERMINAL VELOCITY COMPONENT (cm/sec)
DROPLET DIAMETER (MICRONS)
TOXIC SPRAY TERMINAL VELOCITY (cm/sec)
$V_{L1} = 1 \text{ GAL/ACRE TOXIC SPRAY}$
INERT SPRAY (GAL./ACRE)
LOW-VOLUME ELECTROSTATIC SPRAYING
BACKGROUND OF THE INVENTION
1. Field of the Invention:
This invention relates to electrostatic spraying of active materials onto surfaces and is particularly related to low volume applications.
2. Discussion of the Background:
Low-volume electrostatic spraying has been used from time to time in agriculture to spray pesticides on crops. Additionally, electrostatic coating operations are routinely used industrially to coat an active material, such as a paint or a doping agent, on a surface. In general, electrostatic coating of surfaces involves forming the coating material into finally divided particles or droplets, charging the particles or droplets to a single polarity (e.g., negative) and the surface to be coated to a different polarity (e.g., positive). Even at the ground potential (E=0), the coating target surface has induced into it from the "ground reservoir" a very appreciable net charge of sign opposite to the incoming charge cloud of coating particles. As a result of electrostatic attraction and the proximity of the particles or droplets to the surface to be coated, electrostatic forces move the particles toward the surface where they are deposited to form a coat or layer. Various prior art electrostatic coating applications are more sophisticated modifications of this simple situation. They differ from one another in the manner in which the particles are formed, the means by which they are charged, the particular aspects of the methods by which the particles are distributed about the surface, and the manner in which the particles collect on the surface. A review of prior art electrostatic processes can be found in Moore, A. D., Ed., *Electrostatics and its Applications*, Wiley and Sons, 1973, particularly pages 250-280.
The use of electrostatic spraying or coating is widespread in controlled industrial environments where low-volume painting and other coating operations are generally conducted. Electrical hazards due to high voltages that are typically used are minimized in such controlled industrial environments. However, electrostatic spraying has recently been made available to agricultural spraying operations through the use of electrostatic spray nozzle systems using shielded voltage sources. Examples of agriculture applications are set forth in numerous United States patents, of which the following are examples.
Law, U.S. Pat. No. 4,004,733, discloses an electrostatic spray nozzle system using a low voltage power supply that is particularly designed for agriculture applications. Law, U.S. Pat. No. 4,168,327 describes a method for controlling the space-charge density of the spraying operation in order to produce an optimal deposition level. Malcolm, U.S. Pat. No. 4,328,940, describes a method of spraying electrically charged particulate materials to ground from a low flying airplane. The method includes the steps of imposing an electrical charge of a given polarity upon an emitted primary spray of particulate material while concurrently emitting a secondary spray of oppositely charged particulate material to avoid production of an opposite charge on the aircraft during the spraying operation. DeVittorio, U.S. Pat. No. 4,341,347, discloses a nozzle capable of imposing a high electrostatic charge on very small particles in order to improve their spray characteristics. All of these patents disclose various low volume spraying operations.
Nevertheless, there remains a need for methods of electrostatic spraying which utilize even lower volumes of liquids and which produce less waste than is now obtainable with current methods.
SUMMARY OF THE INVENTION
Accordingly, one object of this invention is to provide a novel method for depositing particulate matter on a surface having an increased efficiency of deposition, thereby reducing the volume of the coating material used and eliminating waste or harmful environmental effects.
This and other objects of the invention as will hereinafter become more readily apparent have been accomplished by providing a method for increasing the efficiency of deposition of particulate matter on a surface, which comprises preparing a dispersion of electrostatically charged particles of an active material to be deposited on the surface, wherein the particles of active material have an average radius of $r_{p1}$ and a total volume of $V_{L1}$, in a space adjacent the surface which contains a dispersion of particles of an inert material electrostatically charged with the same polarity as the particles of active material, wherein the particles of inert material have an average radius of $r_{p2}$ and a total volume of $V_{L2}$, wherein $r_{p1}$ is greater than $r_{p2}$ and
$$\frac{V_{L2}}{V_{L1}} \geq 0.2.$$
This method is particularly useful in agricultural applications but is also useful in any other process (such as spray painting) in which a particulate matter is being deposited on the surface.
BRIEF DESCRIPTION OF THE DRAWINGS
A more complete appreciation of the invention and many of the attendant advantages thereof will be readily obtained as the same becomes better understood by reference to the following detailed description when considered in connection with the accompanying drawings, wherein:
FIG. 1 is a graph showing the percentage catch of particles on a surface versus drop diameter of the particles.
FIG. 2 is a graph showing the theoretical charge limits for water droplets at 25° C. in air as a function of radius.
FIG. 3 is a graph showing the percentage of the total charge on a dust cloud discharged by a grounded point as a function of the distance from the cloud's center line.
FIG. 4 is a graph showing the average space charge density in the region of a plant as a function of application rate and particle droplet diameter.
FIG. 5 is a graph showing the average space charge density in a plant region as a function of droplet diameter for different application rates.
FIG. 6 is a graph showing the terminal velocity components due to the various force fields acting on a charged airborne water droplet.
FIG. 7 is a graph of the dual particle-species model for space-charge deposition described in this specification.
FIG. 8 is a graph showing the enhancement of toxic particle terminal velocity due to the presence of an inert spray of various sizes.
DESCRIPTION OF THE PREFERRED EMBODIMENTS
The present invention is a method of electrostatic spraying which increases the efficiency of deposition of active materials, such as paints or pesticides, on target surfaces. The method comprises using relatively small charged particles of an inert or non-toxic material to produce an electrical field in the space where the spraying operation is being conducted. This electric field drives the larger charged particles of the active material onto the target surface. For example, with a mixture of particles that is 50% by weight (volume) of 1 micrometer particles and 50% by weight (volume) of 50 micrometer particles, essentially all of the larger particles can be deposited on targets, such as plant parts or metal surfaces, by virtue of differential migration velocities of the particles.
The concept rests in part on the following basic facts: (1) the terminal velocity of particles in a uniform electric field of strength $E$ is proportional to the effective radius of the particle if all particles of all sizes are charged in the same manner (2) for a given weight of material the number of particles increases as the cube of the radius; (3) the electric charge carried by particles is proportional to the surface area of the particles. These three results of the laws of physics allow the dual particle concept to operate successfully.
Terminal velocity is an important concept in understanding the present invention. Terminal velocity is the final speed of a small particle falling in air. As the particle begins to accelerate its initial falling speed is zero. Several seconds are required before the rate of fall ceases to increase due to air resistance. When the particle reaches its maximum speed of fall, it has reached its terminal velocity. We are all familiar with the idea that small particles of clay fall more slowly than coarse particles of sand when both are mixed in a glass of water and acted upon by the steady force of gravity. Small particles fall through air in the same manner, and the terminal velocity due to weight of the particle can be calculated. By the same token a particle has a terminal velocity (final speed) when in a uniform electric field. Thus two particles in the same electric field strength move at different rates. The larger the particle the faster it moves toward an electrically grounded object. As an example, if the ratio of the radius and diameter of one of two particles is 10 times that of the other and both passed through the same charging nozzle (or are otherwise charged in the same manner) the larger particle would speed toward the target plant at 10 times the speed of the smaller particle. This means that all of the larger particles can on the average be deposited in the same time that only 10% of the small particles have deposited. This has the advantage that 90% of the small particles are still in the air providing a considerable electric field to drive the larger toxic (or otherwise active) particles that are being deposited. With 50% of the powder mixture composed of 1 micron diameter particles and 50% composed of 10 micron diameter particles the total electric field available for driving the charged particles onto the plant is about 90% carried by the smaller particles of the mixture and only 10% is carried by the larger particles since the number of 1 micron particles is much larger than the number of 10 micron particles.
The dual particle concept is readily implemented on a practical basis. Ideally the active ingredients should be 5 to 25 times as large as the inactive ingredients to obtain the maximum benefits from the dual particle system. From a practical point of view any ratio of particle sizes greater than 1 favors the dual particle concept compared to a mono size or a broad spectrum of particle sizes. Standard microzincing mills operated with air or steam can grind dust particles to $\frac{1}{2}$ to 3 microns. Two fluid pneumatic sprayer nozzles can be adjusted to give particles in the 10 to 50 micron range which has been found to be the most effective size particle sizes for most insect and disease control purposes. If the toxic and diluent particles are both powders then they can be mixed at the factory and passed through the same ionized field charging nozzle of which there are many versions available.
If the diluent is a powder or oil smoke and the active ingredient is a spray then the ingredients may be mixed by blowing the two charged streams into the same space simultaneously or sequentially. They can be mixed by two or more impinging jets having their particles charged to the same electrical sign (either positive or negative).
Powder agglomerating disks and drums are standard equipment used for making larger particles from smaller particles. If the two particle streams are both sprays it is only a matter of impinging two separate streams charged to the same electrical sign either parallel or at an angle to each other. These two streams of charged particles will mix best and most thoroughly by impinging streams at an angle that causes a great deal of turbulence. The common electrical sign of the particles keeps them from coalescing.
The diluent (inert) particles in many cases are mixed with toxic pesticide particles in order to get sufficient volume for accurate metering of powders. Thus a diluent is preferred. For sprays the diluent or small particles necessary for the benefits of the dual particle scheme need be nothing more than water or an oil carrier. In that case pneumatic nozzles or ultrasonic nozzles are used for producing the very small droplets while the same equipment using a second nozzle will produce the larger particles.
The invention can be practiced with very simple equipment. For example a 20-year old device that has found great favor for fast application of powdered diluent and active ingredient pesticide applications in Japan comprises a polyethylene pipe that supports itself by the air jets that come out of the bottom of the pipe. Two men can operate a duster of this type with a tube that is from 5 to 150 meters (550 feet) and can cover a very large acreage in a very short time with relatively inexpensive equipment. However, with present equipment the amount of chemical dispensed is still 4 to 10 times that remaining on the plant. Application rates of toxic and the resulting pollution to air and water materials from runoff is on the order of 4 to 20 times what it would be if the proper mix of particles and charging nozzles were put on the devices. The present invention provides significant long term benefits by reducing the amount of chemical applied that is normally lost to the environment.
It is technically possible to put every toxic pesticide particle on the target plant using the dual particle concept, while it is not possible to consistently get more than 60 to 70% of the toxic particles deposited onto the target plant even by standard electrostatic methods. By taking advantage of the dual particle principle in designing the equipment and formulations of powder and
spray used for insecticides, plant and animal pathogens, and non-systemic herbicides, even greater improvements may be made in the future.
Additional methods of applying dust and powders are well known and can readily be adapted to the practice of this invention. For example, dusting equipment that can be converted to electrostatic dusting has been available for some twenty years as described in *Farming Japan*, Volume 2, August 1968, pages 51-54 and Fujiki, *Agricultural Bulletin of Saga University*, 37:1-89 (1974). The latter reference describes studies on predicting pressure distribution and designing perforations of dust heads for use in dusting operations.
It is not necessary that discrete ranges of particle sizes be used in order to practice the present invention. It is merely necessary that the inert driving particles be smaller on average than the active component particles. The greater the difference in size, the greater the driving force will be. There is generally an upper limit of approximately 50 microns for heavy particles (such as metal particles) for use in electrostatic spraying. Larger particles are generally so heavy as to result in a greater influence of gravity and a lessening of the influence of electrostatic forces. Limits on the large active particles of 25-50 microns generally give excellent results. The small inert particles are preferred to be 5 microns or less in diameter. Either smoke or water can preferably be used to produce these small particles. Water can be used even in combination with dry dust since the electrostatic charges present tend to keep the particles separated from each other. Accordingly, it is possible to practice this invention with any combination of wet and dry/large and small particles.
The method of the present invention provides a means for applying pesticides to the undersides of leaves and to other surfaces that do not have a direct line of sight to the spraying nozzle. Neither conventional spraying or normal electrostatic spraying is able to achieve this result with the degree of efficiency obtained.
A preferred technique for practicing the present invention involves the use of two jets fixed at an angle to spray into the same space so as to mix the particles of different sizes. In agricultural operations, it is particularly desirable to operate the jet of small particles within the leaves of the plant (for example, by operating the jet at a height below the top of the plants) in order to obtain a uniform space charge that will drive the larger active particles to all parts of the plant being treated.
As demonstrated in the theoretical mathematical calculations set forth below that can be used for guidance in designing specific systems to carry out the invention other than those specifically described herein, the migration velocities in any specified electric field are linearly proportional to particle diameter. Since the charge on a particle is proportional to its surface area, individual 50 micrometer particles have 2500 times the charge of an individual 1 micrometer particle which is charged in the same charging nozzle. However, in a 50-50 mixture by weight, there are 124,000 times as many small particles, so that only about 2% of the charge is being carried by the large particles. When the large particles (with high migratory velocities) interact with the charged carried primarily by the small particles (of low migratory velocities), the large particles are rapidly driven to the target with only a minimal depletion of the electric field.
The use of this process is expected to reduce the required application rates of active materials to from $\frac{1}{4}$ to $\frac{1}{8}$ of the rates currently used. Furthermore, in agricultural spraying applications, the method makes it possible to formulate the toxic agricultural formations to their most effective size while still applying most of the toxic particles to the target plant and reducing drift to non-target plants or other parts of the environment. In pesticide applications, relatively small amounts of a non-toxic (inert) non-evaporating material, such as a smoke, oil mist, or dust particle, are effective in driving larger-sized toxic materials to the plant target. Essentially all of the larger particles are filtered out and deposited on plants such as cotton, soybeans, peanuts, grasses, vegetables, and trees. Since the small particles used are inert, problems caused by pesticide drift (which are greater for small particles) are virtually eliminated.
As will become clear from the mathematical model described later, the higher the ratio of the small particles to larger particles by weight, the greater the efficiency of collection of the larger particles by the surface on which deposition is desired. However, the weight ratio of the small particles to large particles in a mixture of small and larger particles may be varied over a wide range while substantial benefits are still obtained. In fact, positive results are obtained even when the amount of inert material is less than that of the active material. Furthermore, the larger the difference in size of the larger and small particles, the greater the efficiency of removal of the large particles. Nevertheless, this ratio can also be varied as long as there is a difference in size between the inert and active materials (the active material being present in a larger average size).
It is not necessary to fully mix the particles in order to achieve the benefits described above. The large particles can be discharged from a different source from the small particles and injected into the small particle, air, or gas stream. Likewise, the charging level of the two sizes of particles can be different to obtain different deposit characteristics.
The method of the invention is not limited to applying pesticides but is also applicable to a number of other agricultural and non-agricultural applications including, but not limited to, removal of undesirable and/or toxic materials from air or other gas streams, spray painting and other types of industrial coating operations, and weather modifications such as cloud seeding.
When the present invention is applied to agricultural spraying, it is possible to achieve significant economic benefits even over those normally obtained with ultralow volume (ULV) application techniques. The present method solves many of the problems of proper spatial coverage of plant surfaces by deposited pesticide droplets that are not translocated by biological processes within the plant. There is a lower limit on the number of droplets which must be deposited per unit leaf area if the active material is not translocated. For ULV rates, this constraint dictates that droplet diameter must decrease as compared with the droplet sizes used in highergallonage conventional spraying. However, both theoretical and experimental results indicate that several physical phenomena have opposing effects upon the desired biological test control as droplet size is reduced.
Various investigators have shown that the biological effectiveness of pesticide spray increases as droplet size decreases. Ennis and Williamson (6) showed increases in yield inhibition caused by herbicidal sprays on several test crops as droplet size decreased. Himel's work (7,8,9) indicates that droplets smaller than 50 microns diameter are mainly the ones which provide insect control. Field tests utilizing a fluorescent tracer technique for the study of over 100,000 droplets actually found deposited on target insects, indicate that more than 98% of these deposited droplets were in the range of 20 microns diameter (9). No traces of droplets larger than 114 microns were found on any insects examined. Similar tests utilizing laser holography for observation of droplets deposited upon insects substantiate these findings by Himel (12).
In addition to the above desirable factors associated with small droplet size, there are also problems caused by the reduced capability to deposit these small particles upon target surfaces. FIG. 1 illustrates the effect which a particle's linear momentum has upon its probability to impinge upon a deposit surface (3). Percent catch is seen to decrease rapidly with a decrease in droplet diameter, and this introduces severe problems into the ULV technique. Also, Threadgill and Smith (13) and others have verified the increased drift potential of airborne droplets in the ULV size range.
Fortunately, it is both theoretically and technically possible to incorporate an additional particle deposition force into the ULV process. It is known that electrostatic forces—as opposed to volume-dependent gravitational, inertial and magnetic forces—act only on surface charge. Since surface area and volume very directly with particle diameter squared and cubed respectively, it is in the realm of finely divided particulate matter that electrostatic forces per unit volume or per unit mass of dispersed material attain useful magnitudes. The particle charge/mass ratio plotted in FIG. 2 as a function of droplet radius is technically attainable. This plotted curve also gives the electrical force/gravitational force ratio when each ordinate value is multiplied by the electrical/gravitational field field gradients at the location of the particle. The rapid increase of charge/mass ratio as droplet diameter decreases graphically illustrates the possible increase in total deposition force per gallon of ULV spray liquid which can be effected by charged particle technology. The following description of electrostatic precipitation serves as a background for the description of the invention which follows later.
The electrostatic precipitation process for agricultural sprays can be briefly discussed by considering its three distinct phases: particle charging, particle transit, and particle deposition.
Particle Charging: A relatively high net electrical charge of either desired sign can be readily imparted to individual agricultural particulates by several physical processes. Particle charging by ion attachment during passage through an ionized field created by a unipolar high-voltage corona discharge is a universally applicable method for use with solid or liquid particles provided they are dispersed in an airborne state at the time of charging. Ionized field particle charging is well developed mathematically in ionized-gas physics (5) and plasma physics (4). The net charge imparted to particles larger than approximately 0.5 microns diameter and throughout the ULV range is given by
\[
q_p = \left[ 1 + 2 \frac{k - 1}{k + 2} \right] f4\pi \epsilon_0 E_0 r_p^2
\]
(1)
where
- \( q_p \) = particle charge (coulombs)
- \( k \) = particle dielectric constant
- \( f \) = particle fractional charge
- \( \epsilon_0 \) = permittivity of free space = \((8.85) \times 10^{-12} \text{ col}^2/\text{nt m}^2\)
- \( E_0 \) = corona discharge field strength = \((5) \times 10^5 \text{ volts/m}\) typical
The particle fractional charge \( f \) appearing in equation (1) attains a value of 0.5 saturation in one particle-charging time constant \( t_0 \) which is dependent mainly upon the ion concentration and mobility within the corona discharge. A fractional charge of 0.5 is typically achieved for a 2-millisecond particle-residence time in the ionized field. This is an often used and reasonable design value which is used in designing ULV spray charging systems.
The expression in brackets in equation (1) is a measure of the degree to which the corona charging flux lines are concentrated onto the particle. It ranges from 1.5 for a good dielectric such as transformer oil to a maximum value of 3 for conducting particles. Thus, particles composed of a solid or liquid dielectric material (such as many of the undiluted technical pesticide formulations) can be charged quite satisfactorily as compared to highly conductive metallic particles or water droplets.
For subsequent calculations the half-saturation droplet charge for water (dielectric constant \( k = 80 \)) is given approximately by the equation
\[
q_p = 6\pi \epsilon_0 E_0 r_p^2
\]
(2)
where particle charge is seen to be a function of radius squared. Experience has indicated that no difficulty should be encountered in ionized field charging of ULV-size droplets.
Law (10) investigated electrostatic induction as a means of charging pesticide sprays. Several induction charging electrodes which were developed which charged liquid droplets to the same degree as the ionized field method.
Law (11) has theoretically derived equations which establish upper bounds on the maximum droplet charge. The two physical phenomena which limit the maximum charge are hydrodynamic instability and gaseous breakdown of the air surrounding individual droplets. Values calculated from these theoretical equations are plotted in FIG. 2 as a function of droplet radius. Also shown are the saturation droplet charge (\( f=1 \)) and the 0.5 fractional charge imparted to a water droplet in an ionized field.
Particle Transit and Deposition: Terminal velocity is a convenient index for comparing the relative effectiveness of the various force acting on an airborne particle in its transit to plant deposition surfaces. The terminal velocity of ULV-size droplets is given by Stokes' law. The simple form of this law, valid for the 3-100 micron diameter range, is
\[
V_t = \frac{F_p}{6\pi\eta r_p}
\]
(3)
where
- \( V_t \) = particle terminal velocity (m/sec)
- \( F_p \) = resultant force acting on particle (nt)
- \( \eta \) = viscosity of air = \((1.81) \times 10^{-5} \text{ (kg/m sec)}\)
Web (14) and Law (11) have established that gaseous discharge from charged airborne particulate clouds to grounded points is very active. Such discharge presently limits the electrostatic precipitation process drastically. FIG. 3 indicates how completely the cloud charge-loss can occur and at what distance it can be initiated.
The magnitude of the space charge density of the cloud is of paramount importance in initiating and sustaining the gaseous discharge. Electric space charge density is given as
\[ \rho_s = n_p q_p \]
(4)
where
\[ \rho_s = \text{space charge density (coul/m}^3\text{)} \]
\[ n_p = \text{particle numerical density (No./m}^3\text{)} \]
There is also an adverse effect which cloud breakdown (as caused by excess space charge densities) has upon particle deposition onto plant surfaces (1). Particle resistivity is known to enter the breakdown process.
The objectives of the following mathematical analysis, which is useful for understanding control of the ULV-electrostatic dual-particle-size process, are to theoretically determine what effects the reduced application rates are reduced droplet diameters associated with ULV pesticide application have on (a) the electric space charge density of the particulate cloud and (b) the terminal velocity components acting on a single particle as caused by gravitational force, applied electric field force, electrostatic image force, and the force due to the space-charge electric field.
An approximation of the average space charge density within and surrounding the crop canopy can be calculated as a function of liquid application rate per acre \( V_L \) and droplet radius \( r_p \). A typical row crop of 40 inch height has an application volume \( V_a \) of 1 acre meter or 4047 m\(^3\). The average space charge density becomes
\[ \rho_s = n_p q_p \]
(4)
\[ \rho_s = \frac{V_L q_p}{V_p V_a} \]
(5)
For spherical particles of volume \( V_p \) this becomes
\[ \rho_s = \frac{V_L q_p}{\frac{4}{3} \pi r_p^3 V_a} \]
(6)
For water spray droplets charged to 0.5 saturation in an ionized field, this becomes
\[ \rho_s = \frac{6 \pi \varepsilon_0 E_o r_p^2 V_L}{\frac{4}{3} \pi r_p^3 V_a} \]
(7)
which simplifies to give
\[ \rho_s = \frac{9 \varepsilon_0 E_o}{2 V_a} \cdot \frac{V_L}{r_p} \]
(8)
Equation (8) indicates that the average space charge varies as the first power directly with application rate and inversely with particle radius. Numerical values of the average space charge density in the plant vicinity are plotted as a function of application rate \( V_L \) (gallons/acre) with droplet diameter as a parameter in FIG. 4. FIG. 5 illustrates the rapid increase in space charge density caused by more finely atomizing a given gallonage of spray liquid. The rate of change is particularly great in the ULV droplet size region under 100 microns diameter. A horizontal line is shown in FIGS. 4 and 5 placed at some arbitrary value of space charge. This is intended to indicate the existence of critical space charge density value above which an unacceptable degree of cloud discharge occurs. This critical value will depend upon ambient air ion content, plant type and spacing, particle resistivity, and relative humidity. It is seen on FIG. 5 that in the ULV range, a slight shift in atomization characteristics caused a large shift in space charge relative to the critical value. Shifts in gallons/acre are of much less concern in this regard.
The components of the terminal velocity of an airborne droplet in transit toward a deposit surface may be calculated for ULV droplet sizes if the mathematical expressions for the appropriate particle forces \( F_p \) in equation (3) are known. The magnitudes of these terminal velocities are calculated below as a function of droplet diameter and gallons/acre for operational conditions expected to be typical. The results of these theoretical calculations are presented in Table 1 and FIG. 6 for droplet diameters of interest in the ULV technique. Expressions of the functional dependence of terminal velocity upon droplet size and application rate follow.
**TABLE 1**
| Droplet Radius (microns) | Gravitational Field | Applied Electric Field | Electrostatic Image | Space Charge Field |
|--------------------------|---------------------|------------------------|--------------------|--------------------|
| 1 | 1.20 \times 10^{-4} | 2.44 \times 10^{-3} | 4.58 \times 10^{-10}| 2.06 \times 10^{-2} |
| 10 | 1.20 \times 10^{-2} | 2.44 \times 10^{-2} | 4.58 \times 10^{-7} | ↓ |
| 20 | 4.80 \times 10^{-2} | 4.89 \times 10^{-2} | 3.66 \times 10^{-6} | ↓ |
| 25 | 7.50 \times 10^{-2} | 6.10 \times 10^{-2} | 7.15 \times 10^{-6} | ↓ |
| 30 | 1.00 \times 10^{-1} | 7.35 \times 10^{-2} | 1.00 \times 10^{-5} | ↓ |
| 40 | 1.92 \times 10^{-1} | 1.80 \times 10^{-2} | 2.93 \times 10^{-5} | ↓ |
| 50 | 3.00 \times 10^{-1} | 1.22 \times 10^{-1} | 5.73 \times 10^{-5} | ↓ |
| 100 | 1.20 | 2.44 \times 10^{-1} | 4.58 \times 10^{-4} | ↓ |
| 200 | 4.80 | 4.89 \times 10^{-1} | 3.67 \times 10^{-3} | ↓ |
| 400 | 19.2 | 1.95 | 2.94 \times 10^{-2} | ↓ |
| 500 | 30.0 | 1.22 | 5.73 \times 10^{-2} | ↓ |
*For water droplets at 0.5 saturation charge applied at a rate of 1 gal/acre.*
**Gravitational Force**—The terminal velocity attained by a water droplet accelerated by gravity is given as
\[ F_p = m_p g \]
(9)
\[ F_p = \frac{4}{3} \pi r_p^3 \rho_L g \]
(10)
\[ V_t = \frac{2 \rho_L g}{9 \eta} r_p^2 \]
(11)
where
\[ \rho_L = \text{liquid mass density} = 10^3 \text{ kg/m}^3 \text{ for H}_2\text{O} \]
\[ g = \text{gravitational acceleration} = 9.81 \text{ m/sec}^2 \]
**Applied Electric Field Force**—An externally applied driving field force can fairly easily be established by maintaining a high D.C. voltage on a large metal plate positioned above the plant tops. Water droplets charged to 0.5 fractional charge and released within this applied field \( E_o \) are driven toward the top leaves of the grounded plants at a velocity given by
\[ F_p = q_p E_a \]
\[ F_p = 6\pi \epsilon_0 E_a r_p^2 E_a \]
\[ V_t = \frac{\epsilon_0 E_a E_a}{\eta} r_p \]
It is practical to maintain a 10 kilovolt/meter driving field by applying 5 kilovolts to a plate about 20 inches (0.5 m) above the plant tops. Terminal velocity values calculated by equation (14) with \( E_a = 10 \text{ kv/m} \) are listed in Table 1 and plotted in FIG. 6.
Electrostatic Image Force—A charge droplet located near a grounded plant surface is attracted by an induced image charge of opposite sign within the leaf. The force of attraction for a droplet-to-leaf spacing \( d' \) is given for a water droplet at 0.5 fractional charge as
\[ F_p = \frac{q_p^2}{4\pi \epsilon_0 (2d')^2} \]
\[ F_p = \frac{9\pi \epsilon_0 E_a^2}{4(d')^2} r_p^4 \]
\[ V_t = \frac{3\epsilon_0 E_a^2}{8\eta (d')^2} r_p^3 \]
Values are calculated from equation (17) for a droplet located 1 cm from the leaf surface.
Space-Charge Field Force—The movement of a charged droplet within the plant canopy is dependent upon the electric field produced by the space charge within the canopy. An approximate mathematical model is provided by considering a charged droplet (\( f=0.5 \)) immersed within a space charge of density \( \rho_s \) uniformly sandwiched between two infinite parallel conducting plates at ground potential. The parallel plates, which simulate plant leaves, are located in the X-Y plane at \( Z=0 \) and at \( Z=d \) while the droplet considered is located between the plates at a distance \( Z \). An equation for this field configuration has been developed (2) and is given as
\[ E_s = \frac{\rho_s Z}{\epsilon_0} - \frac{\rho_s d}{2\epsilon_0} \]
\[ F_p = q_p E_p; \]
\[ F_p = 6\pi \epsilon_0 E_o r_p^2 \frac{\rho_s Z}{\epsilon_0} - \frac{\rho_s d}{2\epsilon_0} \]
Using equation (8) for the average space charge density, this becomes
\[ F_p = \frac{27\pi \epsilon_0 E_o^2 \left( Z - \frac{d}{2} \right)}{V_a} V_L r_p \]
\[ V_t = \frac{9\epsilon_0 E_o^2 \left( Z - \frac{d}{2} \right)}{2V_a \eta} V_L \]
Terminal velocity values are calculated by equation (22) for a particle situated at \( Z=1 \text{ cm} \). from the surface of leaves which are spaced at a separation distance \( d=10 \text{ cm} \). and for an application rate of \( V_L=1 \text{ gallon/acre} \). Results are given in Table 1 and FIG. 6.
Note that this is the only case in which the terminal velocity is dependent upon liquid application rate \( V_L \) and independent of particle radius \( r_p \).
The preceding mathematical evaluation shows some of the problems involved in electrostatic application of particles to plant surfaces in agricultural spraying operations. Although the present invention has applications in other areas, the invention was initially designed to overcome these problems.
Two phenomena exist which presently limit the deposition of charged pesticide particles as driven by their own space-charge field:
(a) The time-dependent space-charge driving field decays as the pesticide cloud deposits. As a result, a very appreciable portion of the final airborne pesticide cloud experiences only marginal increases in particle terminal velocity due to the space-charge field effect. (Of course, electrostatic image forces are active even on the final airborne particles.)
(b) The electrical charge imparted to individual pesticide particles must remain sufficiently low to assure that no gaseous discharge of the cloud occurs due to an excess space-charge field generated by the charged particles themselves. This space-charge field is a linear function of the individual particle charge \( q_p \) as seen by equations (4) and (18). Since the electrical driving force active on an individual pesticide particle is given by equation (19) as the product of the particle charge \( q_p \) times the space-charge field, the terminal velocity achieved by the interaction of the space-charge field with any given size pesticide particle depends upon the square of the individual particle charge \( q_p \). For instance, if the charge imparted to airborne particles is halved in order to remain under some critical space-charge field intensity which would cause breakdown, then the terminal velocity of individual pesticide particles is reduced to \( \frac{1}{4} \).
The following is a theoretical analysis of the present invention, a new concept in electrostatic precipitation of pesticides which may greatly reduce these two limiting phenomena discussed above. Significant enhancement of the space-charge deposition of pesticide particles within the plant canopy should result.
The concept involves the uniform dispersion of two distinct species of charged airborne particles within the plant canopy—a toxic species and an inert species—and is based upon the following principles of charged particulate technology:
(a) The electric mobility of an airborne particle charged by the ionized field process is a linear function of particle radius \( r_p \).
(b) The resultant space-charge field which exists within a region is due to the superposition of the fields generated by all species of charged airborne particles within the region.
(c) The charge/mass ratio varies inversely with radius \( r_p \) for particles charged by the ionized field process.
(d) The fraction of saturation charge which a particle attains in the ionized field charging process is independent of particle radius \( r_p \).
Dual Particle—Specie Model—A better understanding of the present invention can be obtained by consideration of the model shown in FIG. 8 which depicts two particle species (#1 and #2) which have been charged in the same ionized field charging device and uniformly dispersed between grounded leaf surfaces. The toxic
specie #1 and the inert specie #2 have particle radii $r_{p1}$ and $r_{p2}$ and have been applied at rates $V_{L1}$ and $V_{L2}$, respectively. The total space charge density is given by equation (8) as
$$\rho_s = \left( \frac{9e_oE_0}{2V_a} \right) \left( \frac{V_{L1}}{r_{p1}} + \frac{V_{L2}}{r_{p2}} \right)$$ \hspace{1cm} (23)
The resultant space-charge field from equations (18) and (23) becomes
$$E_{p2} = \left( \frac{9E_0}{2V_a} \right) \left( \frac{V_{L1}}{r_{p1}} + \frac{V_{L2}}{r_{p2}} \right) \left( Z - \frac{d}{2} \right)$$ \hspace{1cm} (24)
The terminal velocities which particles of either specie attain when driven by this combined field is given as
$$V_t = k_p E_{p2}$$ \hspace{1cm} (25)
where $k_p =$ electrical mobility of charged particulate
$$\left( \frac{m^2}{\text{volts sec}} \right)$$ \hspace{1cm} (26)
$$k_p = \frac{q_p}{6\pi\eta r_p}$$ \hspace{1cm} (27)
For aqueous-base droplets charged to $f=0.5$ fractional charge this mobility expression becomes approximately
$$k_p = \left( \frac{\epsilon_o E_0}{\eta} \right)^2 r_p$$ \hspace{1cm} (28)
Thus, the terminal velocity $v_{t1}$ at which the toxic particles (#1) are driven towards the leaf surfaces is given by the product of equations (24) and (27) as
$$V_{t1} = \left( \frac{9e_oE_0^2}{2V_a\eta} \right) \left( Z - \frac{d}{2} \right) \left( V_{L1} + V_{L2} \left( \frac{r_{p1}}{r_{p2}} \right) \right)$$ \hspace{1cm} (29)
It is seen that for a single specie particle, equation (28) reduces as it should to equation (22) in which terminal velocity is independent of particle size. However, when an inert particles specie (#2) is present, the terminal velocity of the toxic specie is enhanced to a degree dependent both upon the application rate $V_{L2}$ of the inert material as well as upon the ratio $(r_{p1}/r_{p2})$ of the particle radii.
FIG. 8 illustrates graphically the theoretical increase in pesticide terminal velocity to be expected in the absence of breakdown. As an example, the terminal velocity of pesticide particles within the plant canopy is enhanced by a factor of 6 when the toxic particles are accompanied by an equal application volume of inert material which has 1/5 the diameter of the toxic particles.
Operational Constraints—A limitation on space-charge deposition of pesticide particles caused by the decay of the self-driving field was mentioned earlier. By imposing two judicious constraints on the mathematical model (equation 28) of the dual-specie space-charge system, the deposition of practically all of the toxic particles can be assured prior to any great decay of the driving field. Two such constraints for preferential deposition of specie #1 are:
(a) At least 80% of the initial space-charge field should be generated by the inert specie (#2). From equation (8) this condition occurs for
$$s2 \geq 4 s1$$ \hspace{1cm} (30)
$$\left( \frac{V_{L2}}{r_{p2}} \right) \geq 4 \left( \frac{V_{L1}}{r_{p1}} \right)$$ \hspace{1cm} (31)
(b) The electric mobility of the toxic specie (#1) should be at least 5 times as great as that of the inert specie. This constraint eliminates the use of highly mobile air ions as the inert specie. From equation (27) this becomes
$$k_{p1} \geq 5k_{p2}$$ \hspace{1cm} (32)
Using equation (32) the equation (30) reduces to
$$\left( \frac{V_{L2}}{V_{L1}} \right) \geq 0.8$$ \hspace{1cm} (33)
Thus, roughly 64% of the initial space charge field will still exist when the final toxic particle has been deposited if (a) at least 80% as much volume of inert species is dispersed along with the active species, and (b) the active species particle diameter is at least 5 times as large as the inert particles. Poor deposition of the remaining inert particles due to further field decay should be of neither economic nor ecological consequence.
Field-Breakdown Control—The degree of enhancement permitted in toxic particle terminal velocity and in field decay conditions analyzed above will still be dictated by the limitations imposed on total space charge density by the field-breakdown problem. The total space charge density should still be monitored and maintained at less than the critical breakdown value. The dual particle-species concept theoretically offers several methods of maintaining the toxic specie terminal velocity at a high value (as compared with a single-species system) while operating under any specified critical value for breakdown. It has been shown for a single-species system that the particle terminal velocity decreases with $q_p^2$ while the space charge field falls off only linearly with $q_p$ when precautions against breakdown are implemented. With the dual-specie concept it will be possible to maintain the toxic particle charge $q_{p1}$ constant at a high fraction of saturation (say $f=0.5$) while controlling the space charge field at just less than breakdown by varying one and/or the other of the following inert-material parameters:
(a) The application rate $V_{L2}$—to be consistent with prior constraints, preferably keep $V_{L2} \geq 0.8V_{L1}$. However, $V_{L2} \geq 0.4V_{L1}$ also is suitable.
(b) The radius $r_{p2}$—the mobility constraint dictates that desirably $r_{p2} \leq 0.2 r_{p1}$. However, $0.5r_{p2} \leq r_{p1}$ also is suitable. For the relatively low ULV flow rates, magnetostrictive or piezoelectric atomization devices are practical. These devices can provide rapid and fairly
accurate droplet-size control and, hence, space charge control. Recall from FIG. 5 the extremely large shift in space charge density caused by droplet size changes at a fixed flow rate.
(c) The fractional charge $f_2$—this control technique would require separate particle charging devices for the inert and the toxic species.
Techniques for controlling these parameters are well known and are described, for example, in the patents cited in the section of the specification entitled "Background of the Invention".
Although this invention arose as a result of consideration of agricultural spraying operations, it is also useful in other types of industrial spraying operations such as painting of metal surfaces and other types of coating operations that are currently carried out electrostatic deposition techniques. For example, in a painting operation, the active material as described herein would comprise a paint. Since very little of the inert material is deposited on the surface being coated, the paint would be at or near its optimum concentration. The inert material under these circumstances would be a paint thinner or other compatible material.
The process can also be applied to the removal of particulate material from a gas stream, such as an electrostatic smoke stack scrubber. By introducing a stream of small inert particles, such as charged water particles, higher terminal velocities (and thus higher removal rates) can be obtained. Thus, smaller collector plates or other collecting surfaces and/or greater removal efficiencies can be obtained in electrostatic particle precipitators.
The terms "active" and "inert" are used herein to distinguish the two particles without regard to a specific activity since the invention does not depend on the material being sprayed or its activity. The "active" material is the one which is desired to be deposited on the target surface surface while the "inert" material is a charge carrier. The inert material (being finer and more subject to drift) is preferably environmentally inert and is commonly merely water.
As has been pointed out previously, the present invention also does not rely on the use of any particular apparatus to carry out the invention. For example, the invention can be readily carried out by using two different nozzles to produce liquid particles of different sizes which are mixed in the same spatial volume. Alternatively, a smoke-generating apparatus (which typically operate by dropping oil onto a hot plate) can be used to produce the small inert particles into which a dispersion of larger particles is inserted. Either liquid or solid particles can be used for both the inert and the active particles. Water and smoke are preferred inert particles for agricultural applications.
EXAMPLE
The principles involved in this invention were demonstrated in a simple experiment. Apple surfaces were used as targets and examined microscopically for coverage. Two sizes of inert particles were used: small particles of 1–3 micron diameter and large particles of 40–150 micron diameter (obtained from a 325 mesh screen). The particles were sprayed with air using an operating pressure of 100 psi and a flow rate of 100 cfm. An ionizing field of 10kV was used to produce a negative charge in each of four treatments, each of which used equal total weights of particles: (1) fine particles alone, (2) coarse particles alone, (3) 1:1 ratio of fine to coarse particles, and (4) 2:1 ratio of fine to coarse particles.
When coarse dust alone was used (trial 2) there was no visible current in the dust stream. When fine particles alone were used (trial 1), there was a 3–4 microamp current. Better surface coverage by large particles was obtained in trial 4 (2:1 weight ratio) than in trial 2 using only large particles. Using only half as many large particles in treatment 3, an equal coverage of large particles on the surface was detected when compared to trial 2. Although these results were not quantitative, they demonstrate the improved coverage obtained when using the dual particle sizes of the invention.
REFERENCES
The following publications, which are cited in this specification, demonstrate the level of skill of those skilled in the art to which this invention pertains. Each publication in this list as well as all other patents and publications mentioned in this specification are herein incorporated by reference in the location where each individual publication or patent is cited.
1. Bowen, H. D. and Splinter, W. F. 1968. Field testing of improved electrostatic dusting and spraying equipment. ASAE Paper No. 68-150, ASAE, St. Joseph, Mich.
2. Bowen, H. D., Splinter, W. E. and Carleton, W. M. 1964. Theoretical implications of electric fields on deposition of charged particles. Trans. of the ASAE 7:(1)75–82.
3. Brooks, F. A. 1947. The drifting of poisonous dusts applied by airplanes and ground rigs. Agricultural Engineering. 28:233–239.
4. Brown, S. C. 1959. Basic data of plasma physics. John Wiley & Sons, New York.
5. Cobine, J. D. 1958 Gaseous conductors: theory and engineering applications. Dover Publications, Inc. New York.
6. Ennis, W. B., Jr. and Williamson, R. E. 1963. Influence of droplet size on effectiveness of low-volume herbicidal sprays. Weeds. 11:67–72.
7. Himel, C. H. and Moore, A. D. 1967. Spruce budworm mortality as a function of aerial spray droplet size. Science (Washington) 156:1250–1.
8. Himel, C. H. 1969. The optimum size for insecticide spray droplets. Journal Econ. Entomolo. 62:919–25.
9. Himel, C. H., Keathley, J. P. and Miller, M. C. 1971. The case for finely atomized sprays for maximum efficiency in insect control. ASAE Paper No. 71-660, ASAE, St. Joseph, Mich.
10. Law, S. E. 1966. Charging liquid spray by electrostatic induction. Trans. of the ASAE 9:(4)501–506.
11. Law, S. E. 1968. Charge loss phenomena active on liquid droplets. Unpublished Ph.D. thesis, Department of Biological and Agricultural Engineering, North Carolina State University, Raleigh.
12. Roberts, R. B., Lyon, R. L., Page, M. and Miskus, R. P. 1971. Laser holography: its application to the study of the behavior of insecticide particles. Journal of Econ. Entomolo. 64:(2)533–536.
13. Threadgill, E. D. and Smith, D. B. 1971. Effects of physical and meteorological parameters on the drift on controlled size ULV droplets. ASAE Paper No. 71–663, ASAE, St. Joseph, Michigan.
14. Webb, B. K. 1966. Electric field breakdown phenomena in the application of charged dust. Unpublished Ph.D. thesis, Department of Biological and
Agricultural Engineering, North Carolina State University, Raleigh.
Obviously numerous additional modifications and variations of the present invention are possible in light of the above teachings. It is therefore to be understood that within the scope of the appended claims the invention may be practiced otherwise than as specifically described herein.
What is claimed as new and desired to be secured by Letters Patent of the United States is:
1. A method for increasing the efficiency of electrostatic deposition of particulate matter on a surface, which comprises:
preparing a dispersion of electrostatically charged particles of an active material to be deposited on said surface, wherein said particles of active material have an average radius of \( r_{p1} \) and a total volume of \( V_{L1} \), in a space adjacent to said surface which contains a dispersion of particles of an inert material, electrostatically charged with the same polarity as said particles of active material, wherein said particles of inert material have an average radius of \( r_{p2} \) and a total volume of \( V_{L2} \), wherein \( r_{p1} > r_{p2} \) and
\[
\frac{V_{L2}}{V_{L1}} \geq 0.2.
\]
2. The method of claim 1, wherein \( r_{p1} \geq 2r_{p2} \).
3. The method of claim 1, wherein \( r_{p1} \geq 5r_{p2} \).
4. The method of claim 3, wherein
\[
\frac{V_{L2}}{V_{L1}} \geq 0.8.
\]
5. The method of claim 1, wherein
\[
\frac{V_{L2}}{V_{L1}} \geq 0.4.
\]
6. The method of claim 1, wherein
\[
\frac{V_{L2}}{V_{L1}} \geq 0.8.
\]
7. The method of claim 6, wherein \( r_{p1} \geq 5r_{p2} \).
8. The method of claim 1, wherein the active material comprises a paint.
9. The method of claim 8, wherein the inert material comprises a paint thinner.
10. The method of claim 1, wherein the active material is a particulate impurity in a gaseous stream and said surface is an impurity collecting area.
11. The method of claim 1, wherein the active material is a pesticide or herbicide and said surface is a plant surface.
* * * * *
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SENATE BILL REPORT
SB 5940
As Reported by Senate Committee On:
Ways & Means, April 6, 2012
Title: An act relating to implementation of reforms to school employee benefits purchasing consistent with recommendations of the state auditor's performance review.
Brief Description: Regarding reforms to school employee benefits purchasing.
Sponsors: Senators Hobbs, Ericksen, Keiser, Tom, Kastama and Zarelli.
Brief History:
Committee Activity: Ways & Means: 4/06/12 [DPS, DNP, w/oRec].
SENATE COMMITTEE ON WAYS & MEANS
Majority Report: That Substitute Senate Bill No. 5940 be substituted therefor, and the substitute bill do pass.
Signed by Senators Zarelli, Ranking Minority Member; Parlette, Ranking Minority Member Capital; Baumgartner, Hatfield, Holmquist Newbry, Honeyford, Kastama, Keiser, Padden, Pflug, Schoesler and Tom.
Minority Report: Do not pass.
Signed by Senators Conway, Kohl-Welles and Pridemore.
Minority Report: That it be referred without recommendation.
Signed by Senators Kilmer, Vice Chair, Capital Budget Chair; Harper and Regala.
Staff: Mich'l Needham (786-7442) and Erik Sund (786-7454)
Background: In 2010 the State Auditor's Office conducted a performance review of the public school employees' health benefits purchased by 295 school districts. The report became available to legislators during the 2011 legislative session, and included three main recommendations: streamline the benefits array of school employees to improve efficiency, transparency, and stability; standardize coverage levels for more affordable and equitable health care benefits; and reduce costs by restructuring the health benefits array. Legislation passed in the 2011 special session (section 213 of the state budget) directed the Health Care Authority (HCA) to develop a proposal for consolidating the purchase of school district benefits to improve administrative efficiency, transparency, and equity. The HCA report delivered in December identified that over $1 billion in public funds is spent each year on
This analysis was prepared by non-partisan legislative staff for the use of legislative members in their deliberations. This analysis is not a part of the legislation nor does it constitute a statement of legislative intent.
school employee benefits for 109,000 employees and the additional 94,000 dependents that are enrolled in benefits.
The state provides funding to school districts to support the purchase of health benefits for employees. For the 2011-13 fiscal biennium, the state provides $768 per full-time equivalent employee (FTE). The amount of the school funding rate is commonly passed through as an allocation to each school district employee through bargaining agreements. In addition, some school districts have, in some instances, bargained local funds that are added to the state allocation.
At the district level, the actual distribution of the health benefit allocation is determined through collective bargaining. There are no state mandated maximum or minimum amounts that a district must spend per employee or FTE. In many districts, the amount provided for health benefits is pro-rated based on the amount of time an employee works; in some districts employees may be eligible for benefits beginning at 10 percent of full-time employment. In other districts, employees working at least half-time are provided the same benefit as a full-time employee.
School district employee contributions vary by district, and often by bargaining unit within districts. Similarly, benefits may be purchased by bargaining unit or other groups of employees, and each bargaining unit or group of bargaining units may receive funding in separate funding pools. Recent studies indicate that significantly more than 1,000 funding pools are operated in Washington's 295 school districts. Employee premiums may vary significantly between districts and funding pools. There is also substantial variation in the share of the costs employees pay between those insuring only themselves, and those insuring families. Full-time school district employees that are insuring only themselves on average pay about 4 percent of the cost of benefits, while those full-time school district employees that insure their families on average pay about 43 percent of the cost.
During study of the school district health benefit system in 2011, the HCA stated that it was unable to collect some of the needed demographic, payroll, and benefits data. The HCA identified a number of the obstacles to data collection that it found and would need to be dealt with to enable analysis of the effectiveness of the administration and purchasing systems employed by districts. Among the obstacles to data transparency identified were (1) variations in district budget practices; (2) contracts with third party administrators that made it difficult to assess administrative costs; and (3) contracts with benefits carriers which allow the carriers to withhold information about the make-up of premiums, including components of administrative fees, and claims information at the school district, employee bargaining group, or individual member level.
The Office of the Insurance Commissioner oversees Washington's insurance industry, ensuring that companies, agents, and brokers follow state law.
**Summary of Bill:** The bill as referred to committee not considered.
**Summary of Bill (Recommended Substitute):** School districts must modify their benefits for employees to require every employee to pay a minimum premium for the medical benefit coverage, subject to collective bargaining. School districts offering medical, vision, and
dental benefits must (1) offer a high deductible health plan option with a health savings account similar to that required for state employees; (2) establish employee premiums for full family coverage that are not more than three times the premiums for employees purchasing single coverage, phased in by the fall 2014 school year; and (3) ensure employees are offered at least one comprehensive health benefit plan in which the employee share of the premium for a full-time employee does not exceed the share of premiums paid by state employees. All school district contracts must be held to responsible procurement or contracting standards. In addition, school districts must structure benefit plans to reduce administrative costs for school districts; improve customer service; reduce differential plan premium rates between employee only coverage and family premiums; protect access to coverage for part-time employees; and use innovative health plan features that reduce the health benefit premium trends and reduce utilization of services.
School districts and school district employee health benefit providers are required to annually submit specified financial and enrollment information on the health benefit plans operated for district employees to the Office of the Insurance Commissioner (OIC). The information is protected from public disclosure, with all other similarly reported data.
If a school district does not comply with the reporting requirements, the Superintendent of Public Instruction must notify the Legislature, and may limit the school district's authority to offer employee benefits to those offered through the state HCA. School districts or school district employee benefit providers that do not comply with the data reporting requirements are subject to the enforcement actions of the OIC. Similarly, the authority to operate in the state is removed from any individual or joint local government self-insured health and welfare benefits plan formed by a school district that does not comply with the data reporting requirements contained in the act. In addition, the Attorney General must take all necessary action to terminate the operation of an out-of-compliance self-insured health and welfare benefits program.
Beginning December 1, 2013, the OIC must submit an annual report to the Legislature containing specific information and analysis on school district health benefit plans. The report must include information on detailed financial and performance data such as premium expenses, claims expenses, claim reserves, and administrative expenses including compensation paid to brokers, and enrollment data. In addition, the OIC must report on district and provider efforts to reduce administrative costs, improve customer service, use of innovative plan design features, and progress towards reducing the difference in premium rates between single employee coverage and family coverage. The OIC must also review the appropriateness of the legislative goal that full family coverage premiums be no more than three times the premiums for employee only coverage for the same plan, and report on the goal by December 1, 2013, including any alternative goals that may be recommended.
By December 1, 2015, the OIC must determine which districts have achieved the requirements established for the employee benefits purchasing, and if the commissioner determines that a district has not achieved the requirements, the school district must purchase benefits through the HCA Public Employees' Benefits Board (PEBB) program, beginning the following school year.
The School Employees' Benefits Technical Working Group is established with broad representation of school district employee groups and management. The working group is established within the OIC by January 30, 2013, and the Commissioner serves as the convener. The tasks of the working group include (1) review and analysis of benefits, opportunities and risks enrollment in health benefits plan offered through the Washington Health Benefit and the Apple Health for Kids program; (2) submitting a report to the Governor and the Legislature by December 30, 2013, on any findings or recommendations on utilization of the Exchange and Apple Health; and (3) providing assistance and advice to the OIC.
An enhanced benefit adjustment factor is provided for classified staff for the 2012-2013 school year, with a $7 million appropriation. The school district benefit allocation is increased for the 2012-2013 school year, with an appropriation of $19 million.
**EFFECT OF CHANGES MADE BY WAYS & MEANS COMMITTEE (Recommended Substitute As Passed Committee):** Changes to the proposed substitute include clarifying the requirements for a school district to maintain the authorization to procure benefits locally. A school district must:
- offer employees the option to enroll in a Health Savings Account/High Deductible Health Plan option;
- charge employee premiums for family coverage that are no more than three times the premiums charged for employee-only coverage in the same plan, phased in by 2014;
- offer at least one comprehensive plan in which a full-time employee's share of premium costs does not exceed the share of premium costs paid by state employees; and
- meet competitive procurement standards for all contracts.
If a district that does not meet the standards required to procure benefits locally by 2015, the district must purchase all employee benefits through the Public Employees' Benefits Board, beginning the following school year. This requirement replaces the establishment of a consolidated purchasing system for classified employees found in the proposed substitute. The requirement for the School Employees' Benefits Technical Working Group to develop a consolidated purchasing system is removed.
**Appropriation:** An enhanced benefit adjustment factor is provided for classified staff for the 2012-2013 school year, with a $7 million appropriation. The school district benefit allocation is increased for the 2012-2013 school year, with an appropriation of $19 million.
**Fiscal Note:** Not requested.
**Committee/Commission/Task Force Created:** No.
**Effective Date:** Ninety days after adjournment of session in which bill is passed.
**Staff Summary of Public Testimony:** CON: This is a massive piece of legislation that has just now been given to us and has not had meaningful vetting. The Office of the Insurance Commission does not have the subject matter expertise necessary to address K-12 benefits. The data collection and reporting functions and specific grants of authority in the bill will
require the OIC to add staff and would have a significant fiscal impact on the OIC. The OIC is exclusively funded by a dedicated account and through regulatory assessments. Many insurers have no interest in K-12 benefits and yet their assessments would go toward the substantial fiscal impacts by the unrelated functions in this bill. This will erode support of using the dedicated account for such regulation. The committee should look for a general fund appropriation to the OIC to preserve the dedicated account. The OIC does not have excess staff or capacity to administer this program. Triggers need to be added to ensure equity and greater transparency. This needs a larger pool, a procurement process, and savings in brokers’ fees and puts too much pressure on school districts. There is no timeline on when this needs to happen. The bill will produce a greater patchwork in the system. The OIC would have a difficult time measuring all the things they are expected to measure. Some data is exempted from disclosure. The money spent by the Auditor’s office and the Health Care Authority is ignored. The teachers union has had 20 years to improve equity but has monopolized the system with one carrier and no transparency in its use of public funds.
OTHER: We received this bill just moments ago and cannot give you a complete analysis. We are thrilled to see bargaining rights intact at the local level, but are disappointed not to see consolidation of funding tools at the district level. We oppose health savings accounts which are not an adequate substitute for health care coverage. We are grateful for the inclusion of funding equity. Two hundred thousand people will be affected by this proposal which was just crafted today. State and local dollars go into this program, a decision of this magnitude cannot be made without a full analysis of this bill and an examination of its consequences. We ask that the bill be put aside, as it will impact many educators and their children. We support the transparency and equity goals in the bill. However, we are concerned that the OIC has little or no expertise in a wide range of matters they will be required to report on under the bill. They will be expected to measure data against an unspecified mandate in the bill. We believe that the customers speak to those standards themselves and customer service surveys could be included. We have had concerns about consolidation, transparency, and data. The data requests included in the bill include information that is not available to school districts; we have no information on claims data or insurance reserves. There are potential benefits to consolidation in relation to the risk pool and spreading the risk. We have little influence in purchasing power. This version does not have the benefits of consolidation that we saw in earlier versions of the bill. This does not reflect the work of the stakeholders so far. There is a lack of availability of experienced data from the insurance carriers; we need this to assess the cost savings. We suggest the workgroup work with the HCA to explore opportunities for districts to move into the SEBB earlier than in the bill. We are concerned about school districts being held accountable without the ability to access the data requested by the bill. A technical working group is a good idea and school directors should be a part of it. We believe in consolidation of K-12 health insurance and this bill misses out in the opportunities that consolidation provides. We want school districts to report how many school employees do not have insurance and why. We recommend that the OIC identify school districts that are not making progress and those districts be placed in PEBB. We want half-time or more employees to be funded.
Persons Testifying: CON: Mel Sorensen, Washington Association of Health Underwriters; John Kuanme, Washington Association of School Administrators, Association of Washington School Principals.
OTHER: Lani Todd, SEIU 925; Lucinda Young, Washington Education Association; Len Sorrin, Premera; Carolyn Webb, Mukilteo School District; Mitch Denning, Alliance of Education Association; Doug Nelson, Public School Employees; Maria Sullivan, Washington State School Directors’ Association.
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Enabling Innovation
Technology- and System-Level Approaches that Capitalize on Complexity
Making innovation happen is central to what many engineers do. However, when we finish our training most of us believe that it is our job to conceptualize designs, develop products and worry little about what happens after they have been introduced. Our courses are generally too practical to bother with theories about how innovation occurs, who it affects and how we might better manage the process. Diesel, inventor of the diesel engine, distinguished between two phases in technological progress: the conception and carrying out of the idea, which is a happy period of creative mental work in which technical challenges are overcome, and the introduction of the innovation, which is a “struggle against stupidity and envy, apathy and evil, secret opposition and open conflict of interests, a horrible period of struggle with man, a martyrdom even if success ensues.” Diesel is perhaps overstating the difficulties of managing innovation, but nevertheless as engineers we are still taught to prefer technical “invention” and leave dealing with people and the “innovation” side to others. However, engineers ignore the innovation process at their peril. Enabling innovation means building on peoples’ ingenuity and motivations, rather than working against them.
In this paper I describe the learning selection approach to enabling innovation that capitalizes on the complexity of social systems at different scales of analysis. In the first part of the paper I describe the approach and how it can be used to guide the early stages of setting up a “grassroots” innovation process. In the second part of the paper I look at how the learn selection model can be used “top-down” to guide research investments to trigger large-scale systemic change.
Boru Douthwaite is a technology policy analyst working for the International Center for Tropical Agriculture (CIAT) in Cali, Colombia. He previously worked as an agricultural engineer for eight years in the Philippines at the International Rice Research Institute.
This paper draws heavily on his book Enabling Innovation: A Practical Guide to Understanding and Fostering Technological Change (London: Zed Books) published in 2002.
© 2006 by Boru Douthwaite
WHY INNOVATION APPROACHES MATTER
In 1995 the Burmese military junta, the State Law and Order Restoration Council (SLORC) decided that, to boost production, the country’s rice farmers should grow two crops of rice each year instead of one. There was a good reason why most Burmese rice farmers grew only one crop, however: growing two meant harvesting the second in the middle of the monsoon and, without very fast harvesting and drying, the grain would go moldy and spoil. The traditional single crop meant that the grain could be dried in the field after the rainy season and that there was far less rush. SLORC realized this, of course, and had asked the director of the Agricultural Mechanisation Department (AMD), part of the Ministry of Agriculture, in just 6 months to come up with a rice harvester that could save the first crop by working in wet conditions.
By July 1995, when AMD’s search had become frantic, somebody, and I still don’t know who, gave the department the drawings of a rice harvester. These drawings were the fruit of five years of research and development I’d carried out with a team I’d led at the International Rice Research Institute (IRRI) in the Philippines, and with help from local manufacturers and the Philippine Rice Research Institute. The harvester my team had designed and built is known as a stripper-gatherer because, rather than cutting the rice so that it can be carried elsewhere for threshing to extract the grain, it moves through the field gathering the grain by stripping it from the standing stalks.
Desperate for a solution, AMD set about building one immediately from the drawings. When it seemed to work they videotaped it in action and AMD’s Director showed the footage to the Minister of Agriculture and then to the whole of SLORC. Four weeks after the drawings arrived, and without anyone using the machine more than twice, SLORC decided to build two thousand units, one thousand of which were to be ready within three months to then be distributed to the country’s tractor stations. I did not find out about what was happening until production had already begun, and traveled to Burma soon afterwards.
Hardly any of the machines were ever used. Thankfully, only the first 1000 machines were made, but all of these ended dumped in sheds or in the bush to rust away. In the rush to build the machines quickly, quality control had been scrapped and substandard materials had been used, making the machines inoperable without significant modification.
The few harvesters that were used were rejected by the farmers because the machines did not cut the straw but rather left it in the field making it unavailable for animal fodder and making subsequent land preparation much harder.
Why had this happened? When I asked the factory manager why there was no quality control he admitted that he knew that there were problems with the machines but fixing them would mean he would not reach his quota. He was worried that any delays or negative reports from him would cost him his job, and was relying on the tractor station managers to keep quiet as well. When I visited a few tractor stations I quickly realized that this was the way things were done in Burma.
Enabling Innovation
I found that the stripper harvesters had been abandoned next to foot-operated rice threshers, rice-hull stoves and other equipment that had been manufactured by AMD in previous years. Neither farmers nor the tractor stations had been asked if they wanted the equipment. It had just been assumed that the AMD engineers knew best and could develop what was needed with little consultation.
When I left Burma for the last time I learned that AMD was starting to build seven thousand mechanical rice reaper harvesters which were much more complicated than the stripper harvester, and so even less likely to work. Nothing had been learned. I realized that the Burmese Ministry of Agriculture, AMD and the tractor stations were all locked into a top-down model of technology transfer that people said was working when it wasn’t because they were too afraid of the consequences of feeding back stories of failure.
It would be easy to dismiss what happened in Burma as the inevitable outcome of having a military junta running a centrally controlled government through fear. This, however, would be a mistake, because the only way this story differs from others I came across in the eight years I worked in Asia is that it is more extreme and its lessons are consequently clearer to see. The fact is that similar centrally-made decisions about what is “good” for farmers have led to even greater wastage of resources in other countries.
My Burma experience, as well as the realization that it was not isolated, led me to two conclusions: firstly, the way people think about and plan for innovation is vitally important; and secondly, an adequate model of the early innovation process, where products move from concept to initial manufacturing, did not exist. I discovered that most people thought little about how innovation would happen, and when they did, tended to assume a model that had worked well for distributing the high yielding plant varieties responsible for the Green Revolution.
This is a top-down model, very much like that used by SLORC on the stripper harvester, which sees formal Research and Development (R&D) laboratories as the source of an innovation which is then passed on to others to implement. The key stakeholders—the people who will reproduce and use the technology—are not seen as sources of innovations or ideas in their own right. And I also found out that a similar model is also mistakenly used in the developed world. As Von Hippel comments: “It has long been assumed that product innovations are typically developed by product manufacturers. Because this assumption deals with the basic matter of who the innovator is, it has inevitably had a major impact on innovation-related research, on firms’ management of research and development, and on government innovation policy. However, it now appears that this basic assumption is often wrong.”
These realizations motivated me to learn from other successful and unsuccessful attempts to introduce harvesting and drying equipment into Asia. I researched 13 cases in total and as a result developed a model of the early innovation process, called the learning selection model.
The main finding from the research, and the most striking, was that the successful technologies were the ones which manufactures and users had modified the most. The research showed that engineers and designers were often singularly unable to develop machine designs that people adopted, without a great deal of further co-development with the manufactures who would build the machine and the people who would use it.
This co-development occurred when manufacturers and users believed that the first commercial prototype made a “plausible promise” of being of benefit to them, thus motivating them to become co-developers. In the co-development process the key stakeholders learned about the equipment and developed their own procedures and protocols that often increased the performance of the equipment in ways that the engineers had not envisaged. In short, the successful equipment evolved after launch through adaptations made by the key stakeholders, increased in fitness as a result, while unsuccessful equipment did not evolve.
I developed the learning selection model to describe this process.\(^1\) As the name suggests, the learning selection model is based on an analogy with natural selection, which is the algorithm that drives biological evolution. Natural selection consists of three mechanisms. These are:
- **Novelty generation.** As a result of random genetic mutations and sexual recombination of differing genetic material, differences between individual members of a species crop up from time to time.
- **Selection.** This is the mechanism which retains random changes that turn out to be beneficial to the species because they enable those possessing the trait to achieve better survival and breeding rates. It also rejects detrimental changes.
- **Diffusion and promulgation.** These are the mechanisms by which the beneficial differences are spread to other areas.
The learning selection model is depicted graphically in Figure 1. It shows a technology, shown as a cogwheel, beginning as a “plausible promise” that motivates the key stakeholders to co-develop it. The technology then increases in fitness by gaining knowledge and becoming “meshed in” to existing systems through the adaptation and learning that takes place. Here, fitness is taken in the biological sense to mean improvements in the likelihood that the technology will be adopted and promulgated. The “meshing in” of the technology, or its “social construction” as it might also be termed, is represented by the move from a single cogwheel to three inter-locked ones. The increase in knowledge is represented by the increase in size of the cogwheels.
Learning selection is shown inside the black box in Figure 1 and is responsible for the evolution. Learning selection is a process built on Kolb’s 4-stage experiential learning cycle,\(^2\) and is perhaps best explained using an example.
- **Experience.** Suppose a farmer finds that the rice miller pays her a low price for the grain dried in her dryer because some of it is not properly dried.
Figure 1. The Learning Selection Model
• **Making Sense.** She reflects and makes sense of the experience. She realizes that uneven drying is loosing her money and that it might be sensible to try and improve the dryer’s performance.
• **Drawing Conclusions.** She then develops personal explanations of what happened from her own or others previous experience or theories. She hypothesizes that if she reduces the amount of rice she loads into the dryer then drying will be more uniform.
• **Action.** She then decides to test her hypothesis, and in so doing generates a novelty.
Testing the novelty begins another learning cycle. Her selection decision to adopt or reject the novelty will depend on whether the rice miller pays her more for her product. The miller will make this price decision after going through his own learning cycle when he tests a sample of her rice for milling quality. If the farmer is participant $i$ in Figure 1 then the miller represents participant $j$.
So far the third component of the evolutionary system—the promulgation and diffusion mechanism—is missing. In the example, promulgation of the novelty occurs when the farmer tells people in her social network, represented in Figure 1 by the “other participants” box, about the benefits of her novelty and they choose to experiment with it themselves.
The farmer, the miller and the people they are connected to them through their social networks will be going through their own learning cycles creating the conditions for the recombination of differing observations and experiences that can lead to novelties that have “hybrid vigor.” In the process the technology evolves and with it the participants’ opinions and knowledge of it and the way they organize themselves to use and promote it. These processes are all involved in learning selection.
The learning selection model is most useful when key stakeholder “learning by using” and “learning by doing” are important in the early adoption phase, which is the case for technologies that open up new markets. The learning selection process works best when users are able to modify the technology, and if there are ways of evaluating changes.
**Wind turbines**
The wind turbine industry is a good one for describing the applicability of the learning selection model. Excitingly, it shows that learning-selection-type innovation processes are able to harness the innovative potential of the people who are directly affected by technology. A grassroots development process in Denmark was able to produce a wind turbine industry that had a 55% share of a billion dollar a year world market in 2000, beating the U.S. who spent over 300 million dollars funding a top-down development program led by the National Aeronautics and Space Administration (NASA). The origins of the Danish industry were a few agricultural machinery manufacturers and ideologically motivated “hobbyists” who began building, owning, and tinkering with wind turbines (generating novelty).
Enabling Innovation
There were many early teething problems but the owners organized themselves into a group who lobbied successfully for design improvements (selection), working closely with manufacturers to solve the problems. The owners’ group developed a co-operative ownership model and pressured politicians to support the sale of their electricity to the national grid at a fair price (promulgation and diffusion). In contrast, the NASA led a top-down science development approach that implicitly assumed that scientists could develop the “perfect” wind turbine with little input from the owners and users. NASA’s approach failed.
Computer Software
Another example, now very well-known, of the power that a grassroots innovation model can harness is the computer operating system Linux. Linux is a “a world-class operating system” that has coalesced “as if by magic out of part-time hacking by several thousand developers all over the planet connected only by the tenuous strands of the Internet.”
Linux started life when a Finnish computer science student started to write a Unix-like operating system that he could run on his PC; he had become tired of having to queue for hours to gain access to Unix on the University’s main frame. When he finally got the core of an operating system working he posted it on the Internet so that others could try it out. Importantly he gave the source-code so other people could understand the program and modify it if they wanted. Just like the first Danish wind turbines, early versions of Linux were not technically sophisticated or elegant, but they were simple, understandable, and touched a chord with “hackers”—people like Torvalds himself who got a kick out of generating novelty for the sake of being creative, not for money.
Torvalds’ main role in the development of Linux after the first release was not to write code for features people wanted but to select and propagate improvements to the system from the ideas that streamed in. Ten people downloaded version 0.02 and five of these sent him bug fixes, code improvements and new features. Torvalds added the best of these to the existing program along with others he had written himself and released the composite as version 0.12. The rate of learning selection accelerated as the number of Linux users increased and, to cope with the volume of hacks (novelties) coming in, Torvalds began choosing and relying on a type of peer review. Rather than evaluate every modification himself he based his decisions on the recommendation of people he trusted and on whether people were already using the patch (modification) successfully. He in fact played a similar role to that of an editor of an academic journal who makes sure submitted articles are reviewed but retains final control over what is published and what is not. This approach allowed Torvalds to keep the program on track as it grew.
The learning selection approach to co-developing innovations with users
The wind turbine and Linux examples show that the learning selection model can provide a powerful way of understanding the research, development and early
adoption process and of managing it. Figure 2 shows an innovation process beginning with a bright idea that individuals or small teams of researchers then develop in relative isolation. While the R&D team may ask the key stakeholders—the people who will ultimately take ownership of their idea, replicate it and make it work—for some advice, they are driving the process.
Mokyr argues it has to be this way because the process of inventing “plausible promises” is by its nature something that “occurs at the level of the individual.” He says creating a plausible promise is “an attack by an individual on a constraint that everyone else has taken for granted.” It is not something that lends itself to a broad consensus approach.
At some point the R&D team crystallizes the knowledge they have generated into a prototype; their “best-bet” of what the key stakeholders want. Then, in what marks the beginning of the start-up phase, they begin to demonstrate their best-bet to the key stakeholders. It may take several prototype iterations before the R&D team has received and incorporated sufficient feedback for at least a few innovators to adopt it.
It is this adoption, based on the belief that the new technology makes a “plausible promise” of bringing benefit, which marks the beginning of the adaptation phase. It also marks the beginning of a period of co-development and learning selection in which the technology evolves and its fitness improves, through the process shown in Figure 1.
Learning selection works when people make changes to a technology and then select and promulgate the ones that they find beneficial. This improves the fitness of the technology—its suitability to the environment in which it is used—and hence its market appeal. At a certain point the attributes of the technology are good enough for the second category of adopters, Rogers’ early adopters, to start to show an interest. This marks the point at which the key stakeholders begin to take over ownership of the technology.
However, the analogy between natural selection and learning selection is not perfect. One important difference is that natural selection is blind and learning selection is not—genetic mutations occur at random but technology and system change can be directed. Hence, learning selection does not necessarily happen. It only comes about if the key stakeholders are sufficiently motivated to adopt and modify a technology and carry out sensible learning selection on it. They must also understand the technology well enough to do so themselves. Consequently, at least one stakeholder, often from the R&D team, must champion it and fill knowledge gaps until the other stakeholders have learned enough to take over. This take-over marks the end of the early adoption process and is the point at which market selection begins to work.
The take-over also marks the beginning of the expansion phase when the technology becomes mainstream. As this happens, the people adopting the technology change from hackers (innovators) and early adopters to people who want the technology to work reliably and profitably. Increasingly the market becomes the main selection mechanism. Manufacturers and researchers are able to gather and codify
more and more information that can be used to build predictive models. This allows them to move from “learning by using” which requires adopters to be co-developers, to “learning by modeling,” where learning comes from virtual tests carried out on computer rather than field experience. In so doing, the learning selection model of the innovation process becomes less relevant and the conventional assumption that manufacturers or R&D departments can and do develop finished technology begins to fit better.
A TEN-STEP APPROACH TO ENABLING INNOVATION
It is possible to derive a ten-step approach to enabling grass-roots innovation based on the learning selection model.
1. Start with a plausible promise
The first step to induce change through learning selection is to produce a “plausible promise;” something that convinces potential stakeholders that it can evolve into something that they really want. Experience shows that it is difficult to enlist co-developers if the whole project is abstract and up in the air.
The plausible promise does not need to be refined or polished: it can be imperfect and incomplete. In fact the less finished it is, the more scope there is for the stakeholders to innovate and thus gain ownership of the technology. On the other hand the more problems there are then the greater the chances that the key stakeholders will give up in frustration. A delicate balance must be found.
2. Find a product champion
The next step is to identify the innovation or product champion. He or she needs to be highly motivated and have the knowledge and resources to sort problems out.
Someone from the R&D team is likely to be suitable because he or she will probably have both the necessary technical knowledge and the motivation as they already have a stake in the technology. He or she must also have good people and communication skills as, in order to build a development community, they will need to attract people, interest them in what they are doing, and keep them happy working for the common cause. The product champion’s personality is therefore crucial.
3. Keep it simple
Don’t attempt to dazzle people with the cleverness and ingenuity of the prototype’s design. A plausible promise should be simple, flexible enough to allow revision, and robust enough to work well even when not perfectly optimized. The critical comments of your colleagues don’t matter. Your potential co-developers’ needs and knowledge levels do. For example, if you are designing a combine harvester and you know the manufacturers and farmers you’ll be working with are familiar with a certain type of thresher, then use that in your design, even if it is technically not the most elegant solution. To quote John Gall, “A complex system that works is invariably found to have evolved from a simple system that worked.”
4. Work with innovative and motivated partners
Allow the participants in your learning selection process to select themselves through the amount of resources they are prepared to commit. Advertise or write about your plausible promise in the media, by doing field demonstrations, or on the Internet and then wait for people to make the effort to contact you. Don’t give inquirers anything with a resale value for free. For example, if your prototype has an engine, then charge the market value for it. Otherwise people may be motivated to adopt in order to get something for nothing. In addition, people generally value something more highly if they have paid for it and they will be more committed to sort out the problems that emerge.
On the other hand you must make it clear to the first adopters that they are adopting an unperfected product and that they are working with you as co-developers. You need to reassure them that you will be contributing your own resources to the project and will not abandon them with a lemon. You should be prepared to offset some, but not all, of the risk they are taking in working with you. Getting the balance right is very important here too.
5. Work in a pilot site or sites where the need for the innovation is great
Your co-developers will be influenced by their environment. Their motivation levels will be sustained for longer if they live or operate in an environment where your innovation promises to provide great benefit. In addition, they are more likely to receive encouraging feedback from members of their community.
6. Set up open and unbiased selection mechanisms
(i) The product champion
Once you have the key stakeholders working with you and generating novelties, you need ways of selecting and promulgating the beneficial changes. Initially the product champion usually plays this role. An effective selector must be able and prepared to recognize good design ideas from others. This means that, if he or she is also the inventor, they must be receptive and able to accept that others might have better ideas.
Very few people are capable of being effective at both championing their product and selecting novelties simultaneously. This is because to be good at the former they need to believe deeply in the product’s benefits and be able to defend it against criticism.
To be effective selectors, on the other hand, they need to keep an open mind and be able to work with others to question fundamental design decisions.
If a product champion defends the technology too strongly, or shows bias, then “forking” occurs and the disaffected person or group branches off on its own to do
Figure 2. Stages and Participation in a Learning Selection Innovation Process.
what they felt prevented from doing by the selector. It is good to have people test alternative design paths but if it is done in frustration or spite then cliques form, making any comparison and subsequent selection between rival branches difficult.
Creative talent is split and energies can be dissipated in turf wars.
(ii) Alternative selection mechanisms
Even if the product champion can be open-minded and unbiased he or she may have problems convincing others. One option is to set up a review mechanism that is well respected by your key stakeholder community. There are a number of ways of doing this. Three that work are: (i) review by an independent organization; (ii) peer review; and (iii) providing potential adopters with enough information to make informed selection decisions themselves.
7. Don’t release the innovation too widely too soon
For the innovation to evolve satisfactorily, the changes the stakeholders make to it need to be largely beneficial and, as those generating the novelties will have gaps in their knowledge, product champions should restrict the number of co-developers so that they can work with them effectively. When people show enthusiasm for a prototype it is very tempting to release it as widely as possible but this should be resisted. The technology will always be less perfect than one initially thinks.
However promising the technology might appear, there are many things that can and will go wrong. First adopters need to be aware of this and have ready access to the product champion. Otherwise, their enthusiasm will quickly turn to frustration and the product champion will end up defending the technology against their criticisms. Once the product champion becomes defensive, he or she will be far less useful at sorting out problems.
8. Don’t patent anything unless it is to stop someone else trying to privatize the technology.
In learning selection, people co-operate with each other because they believe that all will gain if they do. The process is, therefore, seriously damaged if one person or group tries to gain intellectual property rights over what is emerging. Firstly, the communitarian spirit is damaged. Secondly, patents are monopolies that immediately reduce the novelty generation rate and thus slow down future development and the flow of ideas.
9. Realize that culture makes a difference
Culture can influence the degree to which knowledge is guarded within a particular group, or spread around. Learning selection is going to be greatly impeded in cultures where new knowledge is carefully guarded, either through secrecy or the taking out and enforcement of intellectual property rights.
10. Know when to let go
Product champions need to become personally involved and emotionally attached to their projects to do their jobs properly. This makes it easy for them to go on flogging dead horses long after it has become clear to everyone else that the technology is not going to succeed. Equally, project champions can continue trying to nurture their babies long after they have grown up and market selection has begun. It is, therefore, a good idea to put a time limit on the product champion’s activities.
In the following section I describe how ideas from learning selection can help trigger systemic change.
BEYOND LEARNING SELECTION:
RESEARCH TO TRIGGER A “BLUE REVOLUTION” IN AGRICULTURE
I work for one of the 15 international agricultural research centers based in Africa, Asia, Latin America, Europe and the United States of America that constitute the Consultative Group on International Agricultural Research (CGIAR). In the 1960 and 1970s research in CGIAR Centers helped spark the Green Revolution by breeding improved higher yielding crop varieties that were then disseminated to farmers by national agricultural research and extension systems. This “pipeline” approach is effective for developing certain types of technology, like seed and vaccines—technologies that have some characteristics of magic bullets. In the case of seed and the Green Revolution, farmers planted improved seed, harvested more grain, sold it for more, decided to plant it again and gave some seed to their neighbors. Adoption of new varieties and improved yields spread like a virus. The role of research was clear—keep breeding improved varieties to replace those in the field when inherent resistance to pests and diseases breaks down. But the pipeline approach does not work for more complex technologies than seed, as the Burma story at the beginning of the article showed.
Today the CGIAR is confronting a new challenge: catalyzing a “blue revolution” to content with the global challenge of water scarcity. Unless water use patterns change substantially, within 25 years agriculture can be expected to be using an additional 500 km$^3$ of water if the world is to feed the additional billions who will live on the planet by then. This is more water than flows down the Mekong River in one year. This water would have to come from the world’s major rivers, aquifers, wetlands and lakes that are already under pressure. Already many large rivers now run dry or clog up before they reach the sea, and an estimated half of the world’s five million lakes are endangered. Unless there is “more crop per drop,” many aquatic ecosystems will collapse and conflicts over water will increase. Climate change only makes the challenge greater.
In contrast to the Green Revolution, there is no magic bullet for a Blue Revolution. As a consequence, a pipeline approach to research will not be effective. What is more, the feedback between innovation and a successful outcome is far less direct in the case of water conservation than it is in the case of increased agricultural yields. Water flows between groups of people. Most of the time, when farmers save water it is people downstream who benefit, often people they don’t know. Improving how water is managed often requires technical innovation, but is at least as much about linking people together, improving social processes of negotiation and changing norms.
Realizing this, the CGIAR researchers focused on the task of improving global water management have sought not simply to develop new technologies to push into target regions, but rather to build the capacity of networks of water and agricultural scientists to develop local solutions with the people who would use them. The result is the Challenge Program on Water and Food (CPWF), an international, multi-institutional research initiative with a strong emphasis on “north-south” and “south–south” partnerships. The initiative brings together research scientists, development specialists, and river basin communities in Africa, Asia and Latin America.
With a budget of $15 million/year, the CPWF is extended over nine of the world’s largest and most important river basins including the Nile, Mekong, Limpopo, Volta and Yellow River. One way these scarce resources can effect change at the needed scale is if they motivate large-scale learning-selection-type innovation processes. This is possible as the case study in Appendix A shows—a story of adoption of a no-till technology saved 1.16 km$^3$ of irrigation water in India and Pakistan.
The learning selection model can also help guide top-down system-level interventions. The model and complexity theory suggests that rate of innovation in a system can be changed by three sets of interventions: 1) changes in the variation or novelty of system components (i.e., types of stakeholders involved and the strategies and technologies they use); 2) changes in interaction patterns between stakeholders, in particular through changes to social networks; and, 3) changes in the way selection decisions are made. The research that helped trigger the Green Revolution focused mainly on developing and introducing novelty. Research for a Blue Revolution needs to be more balanced, as we now explore.
Many of the solutions to water management problems already exist. Consequently, part of the CPWF research should be to identify promising local solutions. Once identified these “best bets” have the potential to spark similar improvements in similar systems.
Although many solutions may exist, too much novelty and variation creates uncertainty in people and can prevent them from adopting and innovating. Research is needed to reduce this uncertainty by describing the variation that already exists. People have been managing water for millennia and do not need more variation so much as better understanding of what already exists.
Much more research is also needed on understanding how changing interaction patterns and selection processes can help people manage their water properly. As we’ve already discussed, in some ways the Green Revolution was easy. Farmers clearly saw the benefit in growing improved seed varieties in terms of higher yields and incomes. Those making the changes directly benefited. Feedback
was strong and clear and adoption increased quickly. Politicians too understood and adoption was supported by massive state endorsement, subsidies on fertilizers, the building of irrigation schemes and numerous policy changes.
Improving how water is managed is a different story. When farmers improve the way they manage water the benefits may not accrue to them but to other water users downstream. Conversely, if farmers use excessive amounts of water the effects are not felt by them but by people downstream for whom water becomes unavailable. Feedback is weak or non existent so there is almost no incentive to select and promulgate better water management practices. Learning selection cannot work. Hence it is research on changing interaction patterns, promulgation pathways and selection mechanisms to improve information flow, feedback, negotiation and decision making which probably offers the greatest potential for triggering a Blue Revolution.
Research to trigger a Blue Revolution should further develop a twin strategy of fostering local “pilot site” changes while looking for opportunities to catalyze much larger scale changes. This requires mechanisms, such as innovation funds, that can support potential winners. It also means using research to improve systemic understanding to become better at spotting early winners, and knowing in which systems they are likely to first emerge.
At the level of project management, a practical approach to making the most of complexity is to facilitate a collaborative process in which project staff and stakeholders come to a common understanding of how they see a project achieving outcomes and impacts. Doing so can help the project achieve impact by mapping out promising “impact pathways.” Monitoring and evaluation of projects’ progress along their impact pathways enables early identification of opportunities and challenges, which if acted on also makes impact more likely.
Finally, to effect change, research findings further need to be packaged into plausible promises. Without being packaged as plausible promises, key stakeholders will not engage with the novelty. Without engagement there will be no behavior change and no impact. Packaging of plausible promises is needed as much for research outputs such as policy briefs, models and methodologies as it is for rice harvesters and wind turbines. Packaging of plausible promises usually involves a learning selection process with the key stakeholders.
CONCLUSION
The world faces huge challenges in the 21st Century, of which triggering a Blue Revolution to improve water use in agriculture is one. Much of the response to these challenges will come through innovation. Research can and does enable innovation, but the way that research and innovation processes are conceptualized and managed makes a huge difference to the ability of engineers and researchers to foster change. The paper describes the learning selection model that can guide setting up and managing grassroots innovation processes that capitalize on complexity by building on peoples’ ingenuity, motivations, and their implicit theories of
how change occurs. Enabling innovation requires fostering change at different scales. The learning selection model can also help guide “top-down” changes by identifying three sets of interventions that alter innovation rate in a system: 1) changes to novelty and variation of actors and technologies in the system; 2) changes to interaction patterns between actors; and 3) changes to the way selection decisions are made. Traditionally agricultural research has attempted to leverage change by changing system novelty, through, for example, breeding new crop varieties. The learning selection model helps us see that bringing about a Blue Revolution is more about changing how people interact and make decisions, and less about developing new technology.
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Acknowledgements
This paper is based on the author’s book *Enabling Innovation: A Practical Guide to Understanding and Fostering Technological Change* (London: Zed Books), 2002. It reworks and adds to an article first published in 2002 in the CIGR Journal of Scientific Research and Development.\(^{11}\) The author would like to thank Larry Harrington for writing the no-till case study in the Appendix and to Simon Cook for his contribution to the second part of the paper on the Blue Revolution.
APPENDIX. A GRASSROOTS INNOVATION THAT SAVES WATER\(^{12}\)
No-till wheat after rice is currently being planted on over 3 million ha. of the Indo-Gangetic plains, producing net benefits of around USD 239 million per season, along with a 1.18 km\(^3\) reduction in the extraction of irrigation water.\(^{13}\)
Work on no-till began in the Indian Punjab in about 1970. It was restricted to hand-sown, small-plot, on-station trials, with little or no scientist-farmer interaction. Trials as designed masked the true advantages of zero-till: earlier sowing, higher yields, reduced costs, and improved weed control. In the mid-1980s, researchers in the Pakistan Punjab began a separate program. A key factor was access to a “best bet”—a no-till implement from New Zealand. These were, however, expensive, heavy and few in number. Although appropriate for research, they were not very well suited for farmer use. Researchers sponsored the development of a local prototype but this, also being too heavy, was not well received. It did not make a plausible promise of being useful.
From here, the initiative passed to India. An international scientist, familiar with the no-till work in Pakistan, donated four imported implements to colleagues in India. On-farm testing with one of these began in 1990 at Pantnagar University. Zero till wheat performed well, with good crop establishment, higher yields and lower costs. Nonetheless, progress was slow. The implement was again too heavy,
and openers were prone to breakage and unable slice through rice stubble. In the following season, one of the scientists took a simple “recombination” step, attaching “inverted-t” cross-slot openers from the imported drill to his own frame design. This was the original “Pantnagar drill” and the first plausible promise.
As it happened, there was near Pantnagar a dealership for National Agro Industries, a Ludhiana-based farm implement company. The local dealer became aware of the Pantnagar drill and in 1992 introduced the researchers to one of the company’s owners. Subsequently, National learned to forge its own inverted-t openers, which then were installed on the frame of a National conventional-till drill. This was the “Pantnagar drill” Mark II. National was soon joined by another company, Amritsar-based ASS Foundries. Several dozen design changes were progressively introduced, largely inspired by farmer testing. By 1995, a well-adapted design was ready for commercial production. And just at this time, an emergency occurred which sent researchers looking for just such a drill.
In the Indo-Gangetic Plains, continuous rice-wheat rotations favor a weed called Phalaris minor. For many years this weed caused little damage—farmers had learned to control it with isoproturon herbicides. But with millions of farmers using isoproturon for Phalaris control over many years, a herbicide-resistant Phalaris evolved. It was during the 1992-93 wheat season that a scientist working at Haryana Agricultural University (HAU) first reported such strains. By the 1995-96 season, the weed problem had become a crisis. The affected area in Haryana continued to expand and began to move into neighboring states. Farmers grew desperate for a solution.
Some scientists felt that “desperate times call for desperate measures”, with zero tillage being one of the “desperate measures”. In order to test the effect of zero tillage and new herbicides on Phalaris populations, researchers needed zero till drills. The new Pantnagar drill had just become available. The newly-formed Rice-Wheat Consortium donated to HAU four new National no-till drills. These were delivered in October of 1996, as the Phalaris crisis peaked. With wheat sowing just weeks away, researchers moved to organize a research program, but encountered an unexpected obstacle: farmers placed a high value on tillage and wished to have nothing to do with “zero tillage”. No-till was an invention that challenged a constraint long taken for granted: the need to till the soil to prepare for the next crop. In the end, however, a combination of new herbicides plus zero tillage worked well. Phalaris populations fell dramatically, and yields were excellent.
Although the very first zero till trials in Haryana were established by HAU scientists, farmer experimentation with the zero tillage soon followed. This happened for one simple reason: instead of returning the drills to the university campus after sowing the experiments, scientists decided to leave them in those villages where the trials were located. Farmers were encouraged to try out the drills on their own, and were provided with training and technical support. Learning selection began. Farmer experimenters found that zero till helped control Phalaris—but also very substantially reduced production costs. With this, adoption of no-till began to spread through farmers’ networks.
Boru Douthwaite
This was spurred by the purchase (by ACIAR and the Rice Wheat Consortium) of additional drills for farmer testing. These still-scarce zero till drills were shifted from one village to another each wheat season. Farmers interested in no-till were invited to purchase their own drills—which they began to do in large numbers. By 1997, 150 drills had been sold to universities, ICAR institutions, and individual farmers. The Rice-Wheat Consortium, who became one of the product champions, began to organize study tours, whereby farmers from different districts—and even different States—could see for themselves the progress being made in Haryana on zero till wheat. There were even study tour participants from Pakistan!
Finally, adoption of zero till wheat in Haryana was further accelerated by an unexpected event. An agricultural department official was testing zero tillage on his own farm, with excellent results. In 1998, his daughter got married. The wedding happened during the wheat season and was celebrated in his own home. The no-till plots were located near the path leading up from the road. As a consequence, hundreds of the most influential farmers and state officials saw for themselves the extraordinary performance of zero till. This led to further adoption.
1. Mokyr J. (1990), *The Lever of Riches: Technological Creativity and Economic Progress* (Oxford and New York: Oxford University Press), p. 155.
2. von Hippel, Eric (1988). *The Sources of Innovation* (Oxford and New York: Oxford University Press), p. 3.
3. Douthwaite, Boru (2002). *Enabling Innovation: A Practical Guide to Understanding and Fostering Technological Change* (London: Zed Books)
4. Kolb, D.A. (1984). *Experiential Learning: Experiences as the Source of Learning and Development* (Englewood Cliffs, NJ: Prentice-Hall).
5. Raymond, Eric. (2001). *Cathedral and the Bazaar: Musings on Linux and Open Source by an Accidental Revolutionary* (O’Reilly Media; Revised Edition).
6. For an elaboration, see Elliot Maxwell, “Open Standards, Open Source, and Open Innovation: Harnessing the Benefits of Openness,” in the previous issue of this journal.
7. Mokyr (1990), p. 9.
8. Rogers (2003) identifies five types of adopter (i) innovators, (ii) early adopters, (iii) early majority, (iv) late majority, and (vi) laggards. See Everett M. Rogers (2003), *Diffusion of Innovations* (New York: Free Press).
9. John Gall (1978). *Systemantics: How Systems Really Work and How They Fail* (New York: Pocket Books).
10. In particular, Axelrod, Robert and Michael D. Cohen (1999). *Harnessing Complexity: Organizational Implications of a Scientific Frontier* (New York: The Free Press).
11. Douthwaite, Boru (2002), “How to Enable Innovation: An Invited Overview Paper,” *Agricultural Engineering International: the CIGR Journal of Scientific Research and Development*. Vol. IV. October.
12. This story is based on an unpublished manuscript by Larry Harrington titled “A brief history of zero and reduced tillage revolution in the Indo-Gangetic Plains.”
13. Gupta, R. (2006). “RCT Induced Impacts in Indo-Gangetic Plains”. *RWC Research Highlights 2006* (New Delhi: Rice Wheat Consortium for the Indo-Gangetic Plains). <www.rwc.cgiar.org/pubs/180/Highlights06.pdf>.
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Performance studies of the ALPACA experiment
Yoshichika Yokoe\textsuperscript{a,*} for the ALPACA collaboration
\textsuperscript{a}Institute for Cosmic Ray Research, University of Tokyo, Kashwa, Chiba 277-8582, Japan
E-mail: firstname.lastname@example.org
In the southern sky, there are many very high energy Galactic gamma-ray sources which have the possibility of cosmic-ray acceleration up to the PeV energy region (PeVatrons). Sub-PeV gamma rays are produced by interactions between PeV cosmic rays accelerated by PeVatrons and interstellar matter. Andes Large-area PArticle detector for Cosmic-ray physics and Astronomy (ALPACA), consisting of an air shower array(83,000 m$^2$) and underground muon detectors(3,600 m$^2$) located at the Mt. Chacaltaya plateau(4,740 m), near La Paz, Bolivia, observes high energy cosmic rays and gamma rays with a wide field of view in the southern sky. The performances of ALPACA for gamma-ray source are estimated with a Monte Carlo simulation in this work. As a result, we expect to significantly detect the most promising PeVatron candidate, the Galactic Center.
1. Introduction
Galactic cosmic rays reach energies at least a few PeV, suggesting that our Galaxy contains PeV accelerating objects called PeVatron. The hadronic part of the cosmic rays which PeVatron accelerated, interacts with the interstellar gas and produces neutral pions ($\pi^0$). Neutral pions decay into two photons ($\gamma\gamma$). Those photons generated in that process are expected to have 100 TeV (sub-PeV) energy because of having 10 percent of the energy of neutral pion. Besides, the photons emitted through this mechanism have a power law spectrum with the same index as the cosmic rays, protons, and nuclei. It is essential to study the sub-PeV gamma-ray diffuse emission because, they trace the overall distribution of cosmic ray protons in the Galaxy and suggest the position of PeVatron [? ]. A high duty cycle and wide field of view of ALPACA is suitable for sub-PeV gamma-ray observation because of low gamma-ray flux. Alternatively, the conventional air shower array rejection power of the enormous cosmic ray background events is not high enough. However, with the muon detector array whose structure is similar to ALPACA, the TibetAS$\gamma$ experiment in the northern hemisphere can reject background cosmic ray events with 99.9 percent around 100 TeV region. Especially, TibetAS$\gamma$ can accomplish that the few hundreds TeV region is background free [? ]. One of our main interests is the detection of gamma rays beyond 100 TeV from the Galactic Center. In 2016, H.E.S.S observed the diffuse gamma-rays around the Galactic center at the TeV energy range [? ]. Then, H.E.S.S reported hard gamma-ray emission without a break-up. This data suggests that cosmic ray accelerator exists around it, but the H.E.S.S data is up to few tens TeV. After that H.E.S.S observation, MAGIC(2020) and VERITAS(2016) observed diffuse gamma-ray emission of the Galactic Center up to a few ten TeV [? ][? ].
2. MonteCalro Simulation and data analysis
The performance values for ALPACA presented in the following are derived from detailed Monte Carlo(MC) simulations of the ALPACA instrument based on the CORSIKA air shower code. The air shower generation area is inside of the circle with a 300 m radius. The point source moving on the orbit of the Galactic Center is adopted as a gamma-ray source. Besides, we assume to observe a gamma-ray source with a spectral shape following a power law with $E^{-2.32}$. As presented below(integral flux), the results are heavily dependent on the assumed spectral index. Background cosmic ray chemical composition assumed is Shibata model [? ] with CORSIKA. The hadron interaction model is used EPOS-LHC at high energy and FLUKA at low energy. Detector response simulations are performed with GEANT. Muon detector and AS detector constructions are presented Figure left and right respectively. These layouts are above(Figure1). GEANT simulates the passage of particles through matter, allowing for arbitrary geometry and materials. In air shower array instruments simulation, 94 MeV energy deposit of scintillating detector is regarded as 1 particle. Similarly, 23 photoelectrons in the muon detector seem like 1 muon. In this contribution, energy reconstruction is imported with the number of particles detected. (3) The timing distribution of each air shower array instruments detecting particle($t_i$) is used for estimation of incoming direction. In this method, $t_i$) is corrected as $t_{i,\text{cor}}$, $t_{i,\text{cor}} = t_i - T(R)$ .Here, $T(R)$ is the function of distance $R$ from the center of air shower front cone curve. Then, we introduce the value($\chi^2$) called "residual
Figure 1: ALPACA configuration. Square with bold line shows muon detector array and open square represents air shower array.
error". Also, $l$, the incoming direction cosine, defined as minimum $\chi^2$,
$$\chi^2 = \sum_i w_i (l \hat{x}_i - c(t_0 - t_i)), \quad (w_i = \frac{\rho_i}{\sum_i \rho_i}, x_i = (x_i, y_i, 0), c = \text{speedoflight})$$
(1)
The following conditions are adopted as analysis conditions. 1 any four scintillation detectors record more than 0.8 particle density 2 the detector that records the most significant particle density is inside the inner area which is inside the air shower array, excluding the most outside instruments 3 the residual error in Equation 1 is smaller than 1 meter 4 reconstructed zenith angle is smaller than 40 deg. 5 there is the Galactic Center inside the window of radius $r_{\text{win}} = 5.8^\circ / \sqrt{\Sigma \rho}$
3. Performance of ALPACA
The angular resolution is one of the barometers showing the performance air shower array. Figure 3 gives an angular resolution of ALPACA for gamma-rays. Especially, at 100 TeV region, that value is 0.2 deg as 50 percent containment. Above all, the angular resolution of ALPACA is similar to TibetAS$\gamma$(0.22 deg @100 TeV) [?]. The number of muon detected allows us to estimate primary seeds. Figure 4 shows $(\Sigma \rho, \Sigma N_\mu)$ plot of gamma-ray and cosmic ray events. Here, $\Sigma N_\mu$ is defined as the total number of muon detected. The tendency that cosmic ray events are much $\Sigma N_\mu$ at the same $\Sigma \rho$ than gamma-ray events. We set the cut line (green line in Figure 4) and use gamma-ray events under the cutline to eliminate the enormous background cosmic ray events.
Figure 2: The relation between generated gamma-ray energy and the total number of particles detected. From Figure 2, we can estimate that $\Sigma \rho = 501$ point corresponds to 127 TeV.
Sensitivity curves make us to understand that how long does it take to observe the Galactic Center. Figure 5 shows the sensitivity curve of ALPACA. Note that the applied definition for sensitivity requires a detection significance of $5\sigma$ per energy bin. Additional criteria are applied to require at least ten events detected gamma-rays per energy bin in the region whose background cosmic ray events are smaller than one event. In Figure 5, the green line is the Galactic Center gamma-ray flux referenced H.E.S.S. observation ([?]) and ALPACA sensitivity curve which we calculate in this work. Then, we can expect to detect the Galactic Center gamma-ray flux at 100 TeV region about 1 year observation time.
4. Results
The effort of simulation in ALPACA plays an essential role in our future observation. In this contribution with detailed MC simulation of half ALPACA, the sensitivity curve for the Galactic Center is clarified. Then, ALPACA can be expected to observe the Galactic Center gamma-ray flux in 1 years observation, but this results is estimated under the assumption of point gamma-ray source. The understanding of the ALPACA sensitivity of the extended object is the next step.
Figure 3: Angular Resolution of ALPACA to the Galactic Center
Figure 4: Red points are gamma-ray events, and blue points are CR events. In this figure, the events whose $\Sigma N_\mu$ is less than 0.1 accumulates $\Sigma N_\mu = 0.01$. The green line is the cutline. In data analysis process, gamma-ray events under cutline are used.
Figure 5: ALPACA sensitivity curve (purple line). Note that the definition of sensitivity curve is the gamma-ray flux to be expected to be detect with 1 yr ALPACA observation at $5\sigma$. In this figure, green line is the Galactic Center gamma-ray flux referenced H.E.S.S. observation.
5. Acknowledgments
References
[1] Daniel Gaggero, Cosmic Ray Diffusion in the Galaxy and Diffuse Gamma Emission, Springer Verlag Berlin Heidelberg (2012)
[2] T.K.Sako et al, Exploration of a 100 TeV gamma-ray northern sky using the Tibet air-shower array combined with an underground water-Cherenkov muon-detector array, Astroparticle physics (2009)
[3] Abramowski, A., Aharonian, F., Benkhali, F. et al. Nature, 531, 476 (2016)
[4] MAGIC Collaboration V. A. Acciari et al, Astronomy and Astrophysics, "MAGIC observations of the diffuse gamma-ray emission in the vicinity
[5] A. Archer et al, "TEV GAMMA-RAY OBSERVATIONS OF THE GALACTIC CENTER-RIDGE BY VERITAS" arXiv:1602.08522v1 (2016)
[6] M.Shibata et al, ApJ, 716,1076 (2016)
[7] S.Kato, A simulation study on the performance of the ALPAQUITA experiment" (Oral), ICRC2021 ,this proceeding
[8] T.Sako, Current status of ALPACA for exploring sub-PeV gamma-ray sky in Bolivia, ICRC 2021, this proceedingK,(2021)
[9] Kawata, "First Detection of sub-PeV Diffuse Gamma Rays from the Galactic Disk: Evidence for Ubiquitous Galactic Cosmic Rays beyond PeV Energies"
Acknowledgement
The ALPACA project is supported by the Japan Society for the Promotion of Science (JSPS) through Grants-in-Aid for Scientific Research (A) 19H00678, Scientific Research (B) 19H01922, Scientific Research (B) 20H01920, Scientific Research (S) 20H05640, Scientific Research (B) 20H01234, Scientific Research (B) 22H01234, Scientific Research (C) 22K03660 and Specially Promoted Research 22H04912, the LeoAtrox supercomputer located at the facilities of the Centro de Análisis de Datos (CADS), CGSAIT, Universidad de Guadalajara, México, and by the joint research program of the Institute for Cosmic Ray Research (ICRR), The University of Tokyo. Y. Katayose is also supported by JSPS Open Partnership joint Research projects F2018, F2019. K. Kawata is supported by the Toray Science Foundation. E. de la Fuente thanks financial support from Inter-University Research Program of the Institute for Cosmic Ray Research, The University of Tokyo, grant 2023i-F-005. I. Toledano-Juarez acknowledges support from CONACyT, México; grant 754851.
Full Authors List: the ALPACA Collaboration
M. Anzorena$^1$, D. Blanco$^2$, E. de la Fuente$^{3,4}$, K. Goto$^5$, Y. Hayashi$^6$, K. Hibino$^7$, N. Hotta$^8$, A. Jimenez-Meza$^9$, Y. Katayose$^{10}$, C. Kato$^6$, S. Kato$^1$, I. Kawahara$^{10}$, T. Kawashima$^1$, K. Kawata$^1$, T. Koi$^{11}$, H. Kojima$^{12}$, T. Makishima$^{10}$, Y. Masuda$^6$, S. Matsuhashi$^{10}$, M. Matsumoto$^6$, R. Maya$^{13,14}$, P. Miranda$^2$, A. Mizuno$^1$, K. Munakata$^6$, Y. Nakamura$^1$, C. Nina$^2$, M. Nishizawa$^{15}$, R. Noguchi$^{10}$, S. Ogi$^1$, M. Ohnishi$^1$, S. Okukawa$^{10}$, A. Oshima$^{3,11}$, M. Raljevich$^2$, T. Saito$^{10}$, T. Sako$^1$, T. K. Sako$^1$, J. Salinas$^2$, T. Sasaki$^7$, T. Shibasaki$^{17}$, S. Shibata$^{12}$, A. Shiomi$^{17}$, M. A. Subieta Vasquez$^2$, N. Tajima$^{18}$, W. Takano$^7$, M. Takita$^1$, Y. Tameda$^{19}$, K. Tanaka$^{20}$, R. Ticona$^2$, I. Toledoano-Juarez$^{21,22}$, H. Tsuchiya$^{23}$, Y. Tsunesada$^{13,14}$, S. Udo$^7$, R. Usui$^{10}$, R. I. Winkelmann$^2$, K. Yamazaki$^{11}$ and Y. Yokoe$^1$
$^1$Institute for Cosmic Ray Research, University of Tokyo, Kashiwa 277-8582, Japan.
$^2$Instituto de Investigaciones Físicas, Universidad Mayor de San Andrés, La Paz 8635, Bolivia.
$^3$Departamento de Fisica, CUCEI, Universidad de Guadalajara, Guadalajara, México.
$^4$Doctorado en Tecnologías de la Información, CUCEA, Universidad de Guadalajara, Zapopan, México.
$^5$College of Engineering, Chubu University, Kasugai 487-8501, Japan.
$^6$Department of Physics, Shinshu University, Matsumoto 390-8621, Japan.
$^7$Faculty of Engineering, Kanagawa University, Yokohama 221-8686, Japan.
$^8$Faculty of Education, Utsunomiya University, Utsunomiya 321-8505, Japan.
$^9$Departamento de Tecnologías de la Información, CUCEA, Universidad de Guadalajara, Zapopan, México.
$^{10}$Faculty of Engineering, Yokohama National University, Yokohama 240-8501, Japan.
$^{11}$College of Science and Engineering, Chubu University, Kasugai 487-8501, Japan.
$^{12}$Chubu Innovative Astronomical Observatory, Chubu University, Kasugai 487-8501, Japan.
$^{13}$Graduate School of Science, Osaka Metropolitan University, Osaka 558-8585, Japan.
$^{14}$Nambu Yoichiro Institute for Theoretical and Experimental Physics, Osaka Metropolitan University, Osaka 558-8585, Japan.
$^{15}$National Institute of Informatics, Tokyo 101-8430, Japan.
$^{16}$Tokyo Metropolitan College of Industrial Technology, Tokyo 116-8523, Japan.
$^{17}$College of Industrial Technology, Nihon University, Narashino 275-8575, Japan.
$^{18}$RIKEN, Wako 351-0198, Japan.
$^{19}$Faculty of Engineering, Osaka Electro-Communication University, Neyagawa 572-8530, Japan.
$^{20}$Graduate School of Information Sciences, Hiroshima City University, Hiroshima 731-3194, Japan.
$^{21}$Doctorado en Ciencias Físicas, CUCEI, Universidad de Guadalajara, Guadalajara, México.
$^{22}$Maestría en Ciencia de Datos, Departamento de Métodos Cuantitativos, CUCEA, Universidad de Guadalajara, Zapopan, México.
$^{23}$Japan Atomic Energy Agency, Tokai-mura 319-1195, Japan.
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TreeNet: Learning Sentence Representations with Unconstrained Tree Structure
Zhou Cheng$^{1,2}$, Chun Yuan$^2$, Jiancheng Li$^{1,2}$ and Haiqin Yang$^3$
$^1$ Department of Computer Science and Technology, Tsinghua University
$^2$ Graduate school at ShenZhen, Tsinghua University
$^3$ Department of Computing, Hang Seng Management College
\{z-cheng15,ljc-15\}@mails.tsinghua.edu.cn, email@example.com, firstname.lastname@example.org
Abstract
Recursive neural network (RvNN) has been proved to be an effective and promising tool to learn sentence representations by explicitly exploiting the sentence structure. However, most existing work can only exploit simple tree structure, e.g., binary trees, or ignore the order of nodes, which yields suboptimal performance. In this paper, we proposed a novel neural network, namely TreeNet, to capture sentences structurally over the raw unconstrained constituency trees, where the number of child nodes can be arbitrary. In TreeNet, each node learns from its left sibling and right child in a bottom-up left-to-right order, thus enabling the net to learn over any tree. Furthermore, multiple soft gates and a memory cell are employed in implementing the TreeNet to determine to what extent it should learn, remember and output, which proves to be a simple and efficient mechanism for semantic synthesis. Moreover, TreeNet significantly suppresses convolutional neural networks (CNN) and Long Short-Term Memory (LSTM) with fewer parameters. It improves the classification accuracy by 2%–5% with 42% of the best CNN’s parameters or 94% of standard LSTM’s. Extensive experiments demonstrate TreeNet achieves the state-of-the-art performance on all four typical text classification tasks.
1 Introduction
Most neural networks for sentence representation commonly fall into one of the following classes: sequence models, convolutional models and recursive models. Recently, sequence models have been witnessed the resurge of recurrent networks in natural language processing (NLP) applications, such as text classification [Wang et al., 2016; Zhang et al., 2017], machine translation [Sutskever et al., 2014], question answering [Wang and Nyberg, 2015] and so on. In these methods, a recurrent neural network (RNN) takes each word as the input, aggregates the word with its previous state and finally outputs its compositional result over the whole sentence. The compositional result as a fixed-length vector contains rich semantic information and is used for the subsequent NLP tasks.
However, in natural languages understanding, these recurrent networks, including LSTM [Hochreiter and Schmidhuber, 1997], handle the word sequences in a flat sequential or bidirectional sequential way, which means they directly ignore the structural information inherent in sentences. Convolutional models, which combine multiple filters and pooling operations, also neglect the language structure and use a large amount of parameters to boost their performance [Kim, 2014].
In contrast, recursive models as counterparts explicitly represent the recursive structure inherent in natural language. In [Socher et al., 2011], a RvNN model is employed to comprehend sentences and scene. Furthermore, a dedicated dataset, Stanford Sentiment Dataset (SST) [Socher et al., 2013], is published with each sentence in a binary tree format. Apart from sentence-level labels, each inner node in SST is given an additional supervision signal indicating nodes’ sentiment. The extra information has proved to be helpful when training a recursive model [Dong et al., 2014; Tai et al., 2015; Zhu et al., 2015]. It is worth noting that these recursive models outperform the LSTM on the SST dataset and attract more attention from researchers to design more complicated recursive compositional functions [Liu et al., 2017a; 2017b; Teng and Zhang, 2017].
Albeit the improvement on performance, the recursive networks working on the SST are highly dependent on the binary tree or binarized constituency tree, which are different from the original linguistic constituency tree. Even though the Child-Sum TreeLSTM in [Tai et al., 2015] supports to process arbitrary trees, it doesn’t fully exploit the order of child nodes as these children are simply summed to represent themselves. In a word, to the best of our knowledge, there exists no previous work that exploited sentence structure fully, applied to the raw constituency tree and achieved outstanding results.
In this paper, we proposed a tree-based model to make full use of sentences’ structural information. The proposed TreeNet firstly utilises a recurrent operation to learn the representation of child nodes and then employs a recursive operation to model the relations between a parent node and its newly learnt children’s representation. Specifically, an inner node learns from its left sibling node and right child node in a left-to-right bottom-up order. It is the partial order of computing along with the proposed compositional function
that makes the root node of one sentence absorb from its descendants all related semantic information effectively and efficiently. As the child nodes are processed in a recurrent manner, TreeNet naturally supports to learn over any tree, which makes it distinct from previous recursive methods. Furthermore, multiple soft gates and a memory cell are used in implementing a TreeNet to reflect the importance of different constituents.
We evaluate our method on four typical text classification tasks and demonstrate that the proposed TreeNet significantly outperforms the state-of-the-art models over all tasks without bells and whistles. The experiments show that our method is more expressive due to its processing sentences in a more natural way. Moreover, compared to the CNN-based and LSTM-based methods, TreeNet achieves much better performance with fewer parameters.
In summary, the proposed TreeNet contains the following merits:
- It can learn an arbitrary tree recursively and naturally from any sentence datasets. It explicitly exploits the sentences’ structural information provided by a parser.
- In learning sentence representation, the dedicated gate-memory based design enables TreeNet to model sentences efficiently and flexibly with fewer parameters. The amount of parameters in TreeNet is 42% of the best CNN’s and 94% of a basic LSTM’s.
- Generally and more importantly, TreeNet provides a novel paradigm for processing and modelling sentences.
2 Related Work
It is natural to represent a sentence as a tree and lots of efforts have been put into natural language processing tasks to solve them in a recursive way. A core problem is how to design or learn a compositional function to better summarise descendants’ information [Socher et al., 2011; 2013; Tai et al., 2015; Liu et al., 2017b; Teng and Zhang, 2017]. Recursive Neural Network [Socher et al., 2011] learns a weighted linear combination of the left and the right child vector as their parent. Recursive Neural Tensor Network [Socher et al., 2013] employs tensors to model intersections between different dimensions of child vectors. [Dong et al., 2014] uses a composition pool to decide the best output dynamically, where each composition function in the pool is separately scored in feedforward. All of these works assume the input is a binary tree and their experiments are conducted on binary trees or the binarized constituency trees.
Moreover, TreeLSTM [Tai et al., 2015], a modified LSTM, is employed as a composition function to learn the state from children’s state. Child-Sum TreeLSTM is an extension of TreeLSTM to compute the parent node via a standard LSTM and the previous state of a node via sum of children’s states (see Eq. (2) (7)). $N$-ary TreeLSTM is another extension to apply a matrix multiplication over children’s states to represent the previous state (see Eq. (9)-(13)). By encoding nodes and their children with LSTM, TreeLSTM learns a more complicated representation and outperforms its LSTM baseline. However, the Child-Sum TreeLSTM processes children’s states in an unordered way while $N$-ary TreeLSTM in a position-sensitive way. That is, they do neither fully exploit nodes’ order nor work on more general tree structure.
3 Background
In this section, we describe the vanilla recurrent networks and LSTM as well. We will briefly discuss how they inspire the implementation of the TreeNet for learning sentence representations.
3.1 Vanilla Recurrent Networks
Recurrent neural networks (RNNs) apply a state transition function to a hidden state vector $h$ and an input vector $x$ to produce a sequence representation of arbitrary length. At each step $t$, the hidden state $h_t$ is the output of a function which takes as input the output of previous step $h_{t-1}$ and the received signal $x_t$, specifically the word vector of $t$-th word in one sentence [Elman, 1990; Tomas, 2012].
Commonly, the state transition function is an affine transformation followed by an element-wise activation function such as the hyperbolic tangent. And the hidden state $h_t \in \mathbb{R}^d$ denotes the $d$-dimensional distributed representation of a sequence of observed tokens up to step $t$.
$$h_t = \tanh(W x_t + U h_{t-1} + b)$$ \hspace{1cm} (1)
The final output of RNN is commonly used as sentence representations and fed into a classifier to predict the sequence attributes. However, RNN’s performance suffers from the exploding and the vanishing gradient problems when training with long sequences like complex sentences, documents and speech signal.[Bengio et al., 1994; Hochreiter, 1998].
3.2 LSTM
To remedy RNN’s drawback, LSTM proposed in [Hochreiter and Schmidhuber, 1997] utilises a memory cell with three gates to maintain the state of an observed sequence. In LSTM, the previous state along with the current input is selectively incorporated into a novel state, which is then used as an inner representation of all observations. Here we describe the version used in [Zaremba and Sutskever, 2014] and mentioned in [Tai et al., 2015].
At time step $t$, LSTM firstly performs an affine transformation on the input $x_t$ and previous output $h_{t-1}$, and then computes its input gate $i_t$, forget gate $f_t$ and output gate $o_t$ with a logistic sigmoid function. The candidate representation $\tilde{c}$ remains the same as RNN’s. All of them except the input are $d$-dimensional vectors, where $d$ is the dimension of the memory cell. Besides, gates are limited in a range of [0,1]. In order to update the memory cell, the forget gate and input gate are multiplied with the previous cell $c_{t-1}$ and the candidate $\tilde{c}$ respectively. LSTM generates its current output $h_t$ by applying a non-linearity function to the updated cell $c_t$ and then multiplying it with the output gate. All the LSTM
transition functions are as follows.
\[
\begin{align*}
i_t &= \sigma(W_i x_t + U_i h_{t-1} + b_i), \\
o_t &= \sigma(W_o x_t + U_o h_{t-1} + b_o), \\
f_t &= \sigma(W_f x_t + U_f h_{t-1} + b_f), \\
\overline{c} &= \tanh(W_u x_t + U_u h_{t-1} + b_u), \\
c_t &= f_t \odot c_{t-1} + i_t \odot \overline{c}, \\
h_t &= o_t \odot \tanh(c_t),
\end{align*}
\]
(2)
where \( \sigma \) denotes a logistic sigmoid function and \( \odot \) is the element-wise multiplication and \( x_t \) is the input at the current time step.
Intuitively, by multiplying the forget gate with the previous cell state \( c_{t-1} \), LSTM’s cell absorbs partial history information with current input \( x_t \). Thus it makes sense that LSTM learns a multi-scale dependency over long periods of time. The memory cell and gate mechanism used in LSTM’s input, hidden state and output finds to be effective in representing sequences and preventing gradient-related problems. Therefore a memory cell and two gates are also employed our method to preserve one node’s inner state and decide which constituents are more important.
4 Methodology
In this section, we firstly discuss why a constituency tree, the input of TreeNet, is better than its corresponding sequence and binary tree. Then the general TreeNet is present to explain how TreeNet learns over a tree. In addition, we state why it’s a recurrent and recursive method. Next, we formulate a concrete gate-memory based TreeNet for modelling sentences, which is also the TreeNet used in the experiments. The last part of this section gives a brief introduction to the output layer and loss function in text classification tasks.
4.1 Constituency Tree
Although sentences exist in a sequential format in computers and real world, linguists state human beings interpret a sentence in a tree-based way, specifically the *constituency tree*. In this paper, constituency tree is taken as the input format of one sentence while the binary tree and its original sequence are two formats which we think are not most suitable for models to learn.
To demonstrate the difference among these three formats, an ordinary sentence *You won’t like Rogers, but you will quickly recognise him.*\(^1\) is chosen from the SST dataset. Figure 1 displays its constituency tree and one can easily retrieve the corresponding binary tree from SST’s website. From Figure 1, we find that one sentence is teased semantically into chunks, phrases and semantic snippets in its constituency tree. Furthermore, as the figure shows, a constituency tree is more shallow than its counterpart binary tree\(^2\). In other words, a constituency tree represents a sentence in a more compact and semantic format than its sequence and binary tree.
---
\(^1\)https://nlp.stanford.edu/sentiment/treebank.html, figure id: 000092.
\(^2\)The depth of the corresponding binary tree is 8.
Figure 1: The constituency tree of “*You won’t like Rogers, but you will quickly recognise him.*” (SST#000092). Note that the original constituency tree exists some nodes holding only one child, and an operation of removing those nodes and linking their children to their parents is performed in this figure and experiments.
In order to apply a preset compositional function, most recursion-based work manually smashes the constituency tree into a binary tree to avoid the problem that the number of child nodes in a constituency tree is variable. As a consequence, they either sacrifice the raw constituency tree or not fully exploit it, such as the Child-Sum Tree-LSTM in [Tai et al., 2015]. TreeNet addresses this dilemma in a natural way.
4.2 General TreeNet
The general TreeNet consists of two parts: token encoder and semantic compositor. In a constituency tree, tokens, such as words and punctuation, are the basic elements and the leaf nodes. Because the dimension of word vectors is generally different from sentence vectors\(^3\), the token encoder functions as a semantic transition part between words and sentences. Then the semantic compositor learns an inner node’s representation over the constituency tree in a partial order.
- **Token Encoder**: turns leaf nodes (word embeddings) into sentences’ semantic space.
- **Compositor**: learns current node’s representation by incorporating the node’s left sibling and the right child.
Figure 2 illustrates the dependency graph of computing over a constituency tree. The dependency graph forms a partial order which we think conforms to the cognitive rules intuitively.
For each sentence, a \( d \)-dimensional distributed vector is used as its semantic representation whereas the token may be represented as a one-hot vector, a random distributed vector in any dimension or a pre-trained vector derived from other works such as GloVe [Pennington et al., 2014]. Therefore it is necessary for TreeNet to utilise the token encoder to learn a transition function, which encodes tokens’ distributed representations into sentences’ representations.
\[
s_w = Encoder(w_{emb}),
\]
(3)
Figure 2: The computation procedure over a constituency tree. Firstly, tokens are encoded from the word space to the sentence space. Secondly, inner nodes with the same parent are computed from left to right sequentially. Meanwhile, they incorporate into themselves the right child’s representation, which represents all of descendants.
where $w_{emb}$ denotes the word vector of $u$-th word and $s_u$ is its corresponding vector in sentence’s semantic space. The Encoder stands for any neural networks.
Different from the leaf nodes, each inner node owns one or more siblings and children. Since the left inner node has no left sibling, a zero-initialised vector is used during computing. For an inner node with multiple children, the output of the right child is used as the representation of its descendants. All child nodes of the same parent are processed sequentially from left to right, in which way a person understands one sentence. The formula reads as follows,
$$s_t = \text{Compositor}(s_{t-1}, s_c),$$
(4)
where $s_t$ denotes current node $t$’s unique child (one token’s representation $s_u$) or right child representing all descendants, $s_{t-1}$ denotes the output of its left sibling and the Compositor function can be any networks learning how to incorporate them.
In TreeNet, the compositor function with the computation procedure plays an essential role in comprehending sentences or partial sentences. From the viewpoint of siblings, the compositor handles them sequentially like a recurrent net as it assumes the child is its input and the left sibling is its previous state. On the side of the relation between parent nodes and children, parents are updated in a recursive way as they apply the compositor recursively to their left siblings and right children. We believe this characteristic of TreeNet is attributed to the elegant computation procedure and the intrinsic structure of language.
4.3 Gate-Memory TreeNet
Although there exist a large number of candidate networks (e.g. various Multilayer Perceptron) to implement the word encoder and compositor in a general TreeNet, we introduce a simple gate and memory based TreeNet, namely Gate-Memory TreeNet. In the Gate-Memory TreeNet, a memory cell is utilised to hold all observations for each node and multiple gates for the input and output.
Gate-Memory Token Encoder
Gate-memory token encoder employs a dedicated gate-based network to learn one token’s sentence representation. To be specific, the gate-based token encoder learns two gates to determine what should be integrated into its memory cell and what should be output as its sentence representation respectively. Basically, an affine transformation is learnt to map word vectors to sentence vectors. The encoder is defined as follows:
$$i_w = \sigma(W_{w1}w_{emb} + b_{w1}),$$
(5)
$$o_w = \sigma(W_{w2}w_{emb} + b_{w2}),$$
(6)
$$u_w = \tanh(W_{wu}w_{emb} + b_{wu}),$$
(7)
$$c_w = i_w \odot u_w,$$
(8)
$$h_w = o_w \odot \tanh(c_w)$$
(9)
where $W_{w1}$, $W_{w2}$ and $W_{wu}$ denote the weights used to compute the input gate $i_w$, output gate $o_w$ and candidate sentence vector $u_w$. The current token’s embedding is $w_{emb}$. The logistic sigmoid function $\sigma$ constrains results of matrix operations in a range of [0,1]. Therefore, it is two soft gates that are involved into learning the memory cell $c_w$ and the output $h_w$. In addition, $i_w$, $o_w$, $u_w$, $c_w$ and $h_w$ keep the same dimensionality as sentence representations’, except that the dimension of $w_{emb}$ may be defined by pre-trained word vectors or arbitrary random vectors.
It’s worth noting that the memory cell $c_w$ and output $h_w$ are used like a regular inner node’s memory cell and output in the following computation.
Gate-Memory Compositor
At inner node $t$, its left sibling $(h_s, c_s)$ is defined as follows,
$$(h_s, c_s) = \begin{cases}
(0, 0) & \text{if } t \text{ is the first child} \\
(h_{t-1}, c_{t-1}) & \text{otherwise}
\end{cases}$$
(10)
and its child $(h_c, c_c)$ is:
$$(h_c, c_c) = \begin{cases}
(h_{rc}, c_{rc}) & \text{if has multiple children} \\
(h_w, c_w) & \text{otherwise, a token child}
\end{cases}$$
(11)
where $(h_{rc}, c_{rc})$ denotes the memory cell and output of its right child. And then the gate-memory compositor is defined as follows,
$$i_s = \sigma(W_{ss}h_s + W_{sc}h_c + b_s),$$
(12)
$$i_c = \sigma(W_{cs}h_s + W_{cc}h_c + b_c),$$
(13)
$$o_t = \sigma(W_{so}h_s + W_{oc}h_c + b_o),$$
(14)
$$c_t = i_s \odot c_s + i_c \odot c_c,$$
(15)
$$h_t = o_t \odot \tanh(c_t),$$
(16)
where $h_s$ denotes the output of left sibling and $h_c$ is the output of its child node or right child, $c_s$ and $c_c$ are the memory cells of them respectively. Two soft gates $i_s$, $i_c$ determine to what extent the two cells contribute to the current memory cell $c_t$. Then the output $h_t$ is element-wise product of the output gate $o_t$ and the memory cell with a non-linearity hyperbolic tangent function.
4.4 Output Layer
For text classification, the root node’s output $h_{root}$ is the whole representation of the input text. And then it is passed to a softmax classifier to predict the probability of corresponding classes.
$$\hat{p}(y|s) = \text{softmax}(W_{root}h_{root} + b_{root})$$ \hspace{1cm} (17)
The parameters of the model are trained to minimise the cross-entropy between the prediction and true label distributions. The loss is calculated as a regularised sum:
$$J(\theta) = -\frac{1}{n}\sum_{i=1}^{n} t_i \log(y_i) + \lambda||\theta||^2$$ \hspace{1cm} (18)
where $t \in \mathbb{R}^n$ is the one-hot vector of ground truth, $y \in \mathbb{R}^n$ is the predicted probability for each class, $n$ is the number of target classes and $\lambda$ is an L2 regularisation hyper-parameter.
5 Experiments
5.1 Datasets
The experiments are conducted on four widely used benchmark datasets for text classification, where accuracy is applied to measure the classification performance. The description of each dataset is given as follows.
- **MR**: In the Movie Reviews dataset, each sentence is selected from one movie review with an assigned positive or negative label about reviewer’s attitude.[Pang and Lee, 2005]
- **Subj**: The Subjectivity dataset is to classify a sentence as being subjective or objective.[Pang and Lee, 2004]
- **TREC**: TREC QC consists of six typical question types (person, location, numeric information, description, entity and abbreviation), where the task is to assign each sentence to its corresponding question type.[Li and Roth, 2002]
- **CR**: The Customer Reviews dataset consists of five products (two digital camera, one cellular phone, one mp3 player and one dvd player), where the task is to classify each customer review as a positive or negative review.[Hu and Liu, 2004]
To verify the performance of TreeNet (the Gate-Memory TreeNet), we select the above four datasets based on the following two reasons: First, the performance of the compared models is directly reflected by the classification accuracy of sentences. The selected datasets do not have any extra supervision information on the intermediate nodes because obtaining these auxiliary labels is time-consuming. Second, the average sentence length is suitable because a dataset with too many phrases or short sentences cannot characterize the complexity of language in all aspects. Table 1 provides statistics of these datasets.
| Dataset | $N$ | Test | $W$ | $W_{init}$ | $c$ | $l$ |
|---------|-----|------|-----|------------|----|----|
| MR | 10662 | CV | 18765 | 16448 | 2 | 21 |
| Subj | 10000 | CV | 22377 | 20832 | 2 | 23 |
| TREC | 5952 | 500 | 9759 | 9569 | 6 | 10 |
| CR | 3775 | CV | 5628 | 5480 | 2 | 19 |
Table 1: Summary statistics of the datasets. $N$: Total number of sentences excluding the test sentences if provided. Test: The number of test sentences. $W$: Number of tokens generated by the Stanford parser. $W_{init}$: Number of tokens initialised by pre-trained word vectors. $c$: Number of classes (opinion polarity, sentiment types or question types). $l$: average sentence length. CV means there is no standard train/dev/test split and a random 10-fold CV is used.
5.2 Training
In the experiments, the input sentence is tokenised and parsed by Stanford Parser\footnote{http://nlp.stanford.edu/software/lex-parser.shtml}, which generates a bucket of tokens and a constituency tree. In experiments TreeNet$_{-glove}$, the word embeddings are built on all of generated tokens and initialised from pre-trained word embeddings GloVe [Pennington et al., 2014] and tokens not present in GloVe are sampled from a uniform distribution in [-0.05, 0.05]. We did not fine-tune the pre-trained word embeddings. We reported the results of TreeNet (without GloVe) by initialising all tokens from the uniform distribution in [-0.05, 0.05]. For the constituency tree, every inner node with only one child is dropped and its child is linked to its parent, which will compress a tree with a proper depth without diminishing useful information. Thus all inner nodes have at least two children (subtrees) or a token (leaf) as the unique child.
In the experiments without GloVe, namely TreeNet, the dimension of word embeddings is 100 and dimension of sentence representations is 50. In the experiments with GloVe, namely TreeNet$_{-glove}$, one word embedding is a 300-dimensional vector and a sentence representation is a 100-dimensional vector. In all these experiments, the model parameters are optimised through stochastic gradient descent over shuffled mini-batches with the Adam [Kingma and Ba, 2014] and batch size of 25. In order to get best performance in experiments, we conducted a grid search on the learning rate in the range of [1e-2, 1e-5] and L2 regularisation strength in the set of (1e-3, 1e-4, 1e-5, 0).
5.3 Results and Analysis
The compared models can be grouped into four types: recursive models, CNNs, LSTMs and others like n-gram based methods. Table 2 reports the classification results compared with those models. From the comparison, we find TreeNet consistently outperforms LSTM, RvNNs (DC-TreeLSTM, T-LSTM and AdaHT-LSTM) and CNNs in a large margin and significantly outperforms the state-of-the-art methods on all four datasets.
In order to take TreeNet as a general network in modelling sentences, we prudently conducted comparative evaluations among CNN and LSTM with the same hyper-parameters on MR dataset. In this experiment, they all used pre-trained word
| Models | MR | Subj | TREC | CR |
|------------------------|-----|------|------|------|
| NBSVM | 79.4| 93.2 | - | 81.8 |
| MNB | 79.0| 93.6 | - | 80.0 |
| combine-skip+NB | 80.4| 93.6 | - | 81.3 |
| AdaSent | 83.1| 95.5 | 92.4 | 86.3 |
| DC-TreeLSTM | 81.7| 93.7 | 93.8 | - |
| Tree-LSTM | 78.7| 91.0 | 91.6 | - |
| AdaHT-LSTM-CM | 81.9| 94.1 | - | - |
| CNN-no-static | 81.5| 93.4 | 93.6 | 84.3 |
| CNN-Ana | 81.02| 93.66 | 91.37 | 84.65 |
| DSCNN | 81.5| 93.2 | 95.4 | - |
| BLSTM | 80.0| 92.1 | 93.0 | - |
| BLSTM-Att | 81.0| 93.5 | 93.0 | - |
| BLSTM-2DCNN | 82.3| 94.0 | 96.1 | - |
| LSTM | 77.5| 91.5 | 88.6 | 75.7 |
| LSTM_glove | 80.7| 93.4 | 93.6 | 83.8 |
| TreeNet | 79.8| 92.0 | 91.6 | 77.4 |
| TreeNet_glove | **83.6**| **95.9** | **96.1** | **88.4** |
Table 2: Classification results. LSTM and LSTM_glove are our baselines with default parameters. NBSVM: [Wang and Manning, 2012], MNB: [Wang and Manning, 2012], combine-skip+NB: [Kiros et al., 2015], AdaSent: [Zhao et al., 2015], DC-TreeLSTM: [Liu et al., 2017b], Tree-LSTM, AdaHT-LSTM-CM: [Liu et al., 2017a], CNN-no-static: [Kim, 2014], CNN-Ana: [Zhang and Wallace, 2015], DSCNN: [Zhang et al., 2016], BLSTM, BLSTM-Att, BLSTM-2DCNN: [Zhou et al., 2016]
embeddings. The CNN architecture and result is referred to [Kim, 2014], which reports the highest performance among single CNN models with word2vec, where it stated utilising word2vec yields better performance than GloVe. For LSTM and TreeNet, we used GloVe to initialise the word embeddings. We reproduced LSTM on MR dataset with hidden size of 100, learning rate of 0.001 and L2 regularisation strength of 0. Importantly, TreeNet keeps the exactly same configuration as LSTM’s in the controlled experiment. During training, a sentence is fed into LSTM and TreeNet simultaneously. Table 3 gives a comparison about learnable parameters and performance. Figure 3 plots the training loss and test accuracy under that condition. In the figure, LSTM and TreeNet achieve their best test performance at the 7th epoch (133*500 iterations) while LSTM has a smaller training loss and weaker performance. In other words, TreeNet achieves better performance and generalisation with fewer parameters.
5.4 Discussions
It is noted that by fully exploiting the structural information embedded in the sentences, our proposed TreeNet can outperform previous method. Moreover, the well-designed gate and memory mechanisms make it flexible to decide what should be learnt, remembered and output.
However, several issues are worthy of further exploration. First, the sentence structure provided by parsers is not always correct. Though the error rate of parsers is low, the impact is not negligible. It is valuable to explore what extent it will penalise the TreeNet. Second, we do not fine-tune the pre-trained word embeddings. It is interesting to test the performance with fine-tuned results. Lastly, POS (Part-of-Speech) tags in constituency trees are not exploited in the current TreeNet. It is worthy to include them in TreeNet to learn better gates.
6 Conclusion
This paper introduces a tree-based network to improve sentences’ semantic representations over the constituency trees. The proposed model can process unconstrained tree-structure input naturally to learn sentences’ structure information, which makes it different from previous tree-based works and achieves significant performance improvement. The experiments are conducted on four sentence classification tasks and experimental results demonstrate that the proposed TreeNet achieves the state-of-the-art accuracy among all methods without bells and whistles. To better understanding its effectiveness and efficiency, this work also conduct a sensitivity analysis on the Movie Review dataset and finds that TreeNet achieves better generalisation and performance than LSTM with fewer parameters.
Acknowledgments
This work is supported by the National High Technology Research and Development Plan (863 Plan) under Grant No. 2015AA015803, the NSFC project under Grant No. U1431112, and the Joint Research Center of Tencent & Tsinghua University. The work described in this paper was partially supported by the Research Grants Council of the
Hong Kong Special Administrative Region, China (Project No.UGC/IDS14/16).
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6. Clean only with dry cloth.
7. Do not block any ventilation openings. Install in accordance with the manufacturer’s instructions.
8. Do not install near any heat sources such as radiators, stoves, or other apparatus (including amplifiers) that produce heat.
9. Do not defeat the safety purpose of the polarized or grounding-type plug. A polarized plug has two blades with one wider than the other. A grounding type plug has two blades and a third grounding prong. The wide blade or the third prong are provided for your safety. If the provided plug does not fit into your outlet, consult an electrician for replacement of the obsolete outlet.
10. Protect the power cord from being walked on or pinched particularly at plugs, convenience receptacles and the point where they exit from the apparatus.
11. Use only attachments/accessories specified by the manufacturer.
12. Use only with the cart, stand, tripod, bracket, or table specified by the manufacturer, or sold with the apparatus. When a cart is used, use caution when moving the cart/apparatus combination to avoid injury from tip-over.
13. Unplug this apparatus during lightning storms or when unused for long periods of time.
14. Refer all servicing to qualified service personnel. Servicing is required when the apparatus has been damaged in any way, such as power-supply cord or plug is damaged, liquid has been spilled or objects have fallen into the apparatus, the apparatus has been exposed to rain or moisture, does not operate normally, or has been dropped.
TERMS AND CONDITIONS FOR USE OF SOFTWARE (“TERMS”)
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YOUR USE OF THE PRODUCT CONSTITUTES YOUR ACKNOWLEDGMENT THAT YOU HAVE READ THESE TERMS AND AGREE TO BE BOUND HEREBY.
1. YOUR SET-TOP’S FRONT PANEL
- **POWER**
- Light green only when your set-top is fully on (i.e. not in standby)
- **ACTIVE**
- Flashes green when your set-top receives an infrared signal from the remote control
2. CONNECTING TO A TV AND OPTIONAL VCR
Before starting, choose a suitable position for your set-top, observing the ventilation requirements set out in the safety information on the other side of this sheet. Refer to the rear-panel connection diagram below, which shows a typical connection set-up for a TV and VCR.
1. Connect the cable service to the connector marked **CABLE IN** on your set-top.
2. Connect your set-top to your TV via a video baseband cable, as shown.
3. Connect audio baseband cables to your TV, as shown.
4. Connect RF cables to your set-top/VCR and TV as shown. These connections are optional.
A further optional connection to an infra-red remote “eye” is shown with a dashed line.
5. After you have made the connections between your set-top and your TV and VCR, connect all the equipment to the AC power supply following the instructions on this page.
3. REAR-PANEL CONNECTIONS
- **CABLE IN**
- From cable service provider
- **VIDEO OUT**
- Video baseband out
- **TO TV**
- RF output
- **AUDIO OUT**
- Audio baseband outputs (stereo, L and R)
- **POWER INPUT**
- Make this connection last of all
- **IR IN**
- Infra-red input from a remote “eye”
- **DC100X SET-TOP**
- **CABLE INPUT**
- **SEPARABLE SECURITY MODULE**
- (behind cover) Removing will interrupt your service
- **WALL AC OUTLET**
- **INFRA-RED REMOTE “EYE”**
4. CONNECTING TO THE AC POWER SUPPLY
**Connecting the power cord to your set-top**
Before you connect your set-top to a wall outlet, connect the polarized plug on the power cord into the socket labeled “POWER INPUT” on your set-top’s rear panel.
**Connecting equipment to the wall AC outlets**
Connect the polarized plugs on the power cords from your set-top, VCR and any other equipment into wall AC outlets. If these outlets have switches, switch them to ON.
**Disconnecting**
Disconnect your set-top from the power supply before you disconnect any other equipment from its rear panel.
The only way to disconnect your set-top from the power supply is to remove the power cord from the wall socket-outlet. Your set-top must therefore be installed near to the wall socket-outlet, which should be easily accessible.
To turn your set-top on or off at any time, press the **power** button on your remote control (first making sure your remote control is set to control your set-top).
Never turn off your set-top by simply disconnecting it from the power supply. If you need to disconnect your set-top, turn off the set-top by pressing the **power** button on your remote control, so that the POWER light on the front panel is off.
6. USING YOUR REMOTE CONTROL
Your cable TV service-provider determines the digital channels, services and screen information that you see on your TV when you use your set-top and its remote control.
The ACTIVE light flashes green when your set-top receives an infrared signal from the remote control.
Consult the information supplied by your cable service-provider for details on how to make the most of the digital cable services. Also read the operating instructions that are supplied with your remote control.
**NOTE**
It is important that, unless there is a lightning storm or you will be away from your home for a long time, you do not unplug your set-top at the wall AC outlet (or do not switch it off there; if the outlet has a switch). Your set-top cannot be updated with new features, through the cable, if it is disconnected from the AC power supply.
5. TURNING YOUR SET-TOP ON AND OFF
After you have connected your set-top to the wall AC outlet (and switched this outlet ON, if it has a switch), wait for a few seconds until the POWER light illuminates.
If it does not, press the **power** button on your remote control. The POWER light is illuminated green to show that your set-top is fully on.
If the POWER light will not illuminate, there is a problem (see Solving Problems, below).
**SOLVING PROBLEMS**
If the installed system does not seem to be working properly, first make sure that all the cables are securely connected, then carry out the following checks, in the order shown.
| Check | Suggested solution | Further checks, if there is still a problem |
|-------|--------------------|---------------------------------------------|
| Is anything lighted on your set-top’s front panel? | NO ▶ Power may not be reaching your set-top. Make sure that the **power cord is properly plugged in**. If there is a switch by the wall AC power outlet, switch it to ON. YES ▼ Make sure your set-top is fully on by pressing the **power** button on your remote control. | Check that the wall AC power outlet is working (for example by plugging in a lamp). |
| Does the remote control operate your set-top? | NO ▶ Check that nothing is blocking the path from your remote control to the front panel. YES ▼ | Check that your remote control is correctly set to operate your set-top (consult the instructions supplied with your remote control). If your remote control will still not operate your set-top, replace the batteries in your remote control. |
| Can you see a picture on your TV screen? | NO ▶ Your TV and other equipment may not be turned on. Check that they are plugged into AC power outlets and turned on. YES ▼ Is the picture distorted or too small? | If your stereo TV is connected by baseband AV cables, check that you have selected the appropriate baseband input on your TV. If your TV and/or VCR are connected by coaxial cables, they must be tuned to your set-top’s output channel. This is channel 3 or channel 4 (contact your cable operator to find out which one). Tune your TV and/or VCR to this channel. If the video path between your set-top and your TV loops through other equipment (such as a VCR) you may need to turn off this equipment for the loopthrough to work. |
| Is there any sound? | NO ▶ Check that the audio cables are securely and correctly connected. | Check that you have not muted the sound on your set-top, TV and/or any attached audio equipment. Adjust the volume control on your set-top and/or TV. If you can hear only mono sound, first check that the program is likely to have stereo sound (for example, for example, may not be in stereo). If the TV is mono, you will only hear stereo sound if you have a stereo audio amplifier and speakers or home theater connected to the stereo VCR or set-top. This is also the case if the stereo TV has only an RF input. |
504-0413900
|
Call to Order/Roll Call
President Woeltje called the Regular Meeting to order at 6:00 P.M.
Board members present: Mr. Biroschik, Mr. Darrow, Mr. McFadden, Mr. Parr, Mr. Tutoky, and Mr. Williamson and Dr. Woeltje
Administration present: Dr. Seaton, Superintendent, Mrs. Mascal, Principal and Mrs. Johnston, Superintendent Administrative Assistant
Board Salutes
Dr. Woeltje congratulated Ms. Kotovsky, SHS Band and Choir Teacher, for recently receiving the SACCI, “Outstanding Young Leader Award.”
Dr. Woeltje commended the girls track team for their successful season to date.
Mr. Biroschik commended the boys track team for their successful season to date.
Mr. Darrow commended the SHS National Honor Society students for their hard work at the recently held “Taste of the Town” event, adding the group did a great job.
Dr. Seaton congratulated the FFA/AgEd students for their success at the District 2 Proficiency Interviews. Five of the students have advanced to represent Streator at the State Proficiency Awards.
Dr. Seaton commended the SHS Choir group for their great performance recently held.
Dr. Seaton congratulated the SHS Scholastic Bowl team for their successful season.
Dr. Seaton recognized Mr. Taylor, Welding Teacher, and the SHS Welding students for their upcoming Inaugural Iron Pour event to be performed at SHS on Tuesday, May 7, 2019. An invitation to the event was shared with the community and the Board.
Introduce Students of the Month
Mrs. Mascal, Principal, introduced and recognized the March, 2019, Students of the Month and presented each with a certificate.
Public Comment
Student, Hank Tutoky, addressed Administration and the Board regarding SHS network security issues.
Approval of Board Minutes
MOTION by McFadden, seconded by Tutoky, to approve the Minutes of the Regular Meeting of Tuesday, February 19, 2019. Ayes (7) Nays (0) Motion carried.
Approval of Financial Reports
MOTION by McFadden, seconded by Parr, to approve all items listed under Financial Reports on the Tuesday, March 19, 2019, Board Meeting Agenda. Ayes (7) Nays (0) Motion carried.
- Approve the February, 2019 Treasurer’s Report and Budgetary Report
- Approve the March, 2019 Bills
Administrative Reports
Superintendent –
- **Auditorium and HLS Project Bid Acceptance** – Dr. Seaton informed the Board that the bid process for the project has been completed. The Board reviewed the Bid Tabulation Report outlining the submitted bids for the project. Peoria Metro Construction was the low, qualified bidder for the project with a base bid in the amount of $8,160,000.00. The Board also reviewed and discussed the various Alternates submitted by Peoria Metro Construction. Dr. Seaton recommended the Board approve the base bid of $8,160,000.00 from Peoria Metro Construction and Alternates, #1, #3, #6, #7, #8, #9, #10, and #11 totaling $524,500.00 for a total project cost of $8,684,500.00.
- **2019 Fire Alarm Replacement Bid Acceptance** – Dr. Seaton informed the Board that the bid process for the project has been completed. The Board reviewed the Bid Tabulation Report outlining the submitted bids for the project. Tech Electronics was the low, qualified bidder for the project in the amount of $368,258.00. Dr. Seaton recommended the Board approve the bid.
- **Asbestos Abatement for 2019 Auditorium Renovations Bid Acceptance** – Dr. Seaton informed the Board that the bid process for the project has been completed. The Board reviewed the Bid Tabulation Report outlining the submitted bids for the project. Colfax Corp was the low, qualified bidder for the project with a base bid in the amount of $268,500.00 (plus Unit Rates). Dr. Seaton recommended the Board approve the bid.
- **Adoption of A RESOLUTION AUTHORIZING THE ISSUANCE OF GENERAL OBLIGATION (LIMITED TAX) DEBT CERTIFICATES, SERIES 2019, TO FINANCE SCHOOL FACILITIES FOR STREATOR TOWNSHIP HIGH SCHOOL DISTRICT NO. 40, LASALLE AND LIVINGSTON COUNTIES, ILLINOIS, AND PROVIDING THE DETAILS OF SUCH CERTIFICATES, AND RELATED MATTERS** - Mr. John Vezzetti of Bernardi Securities, reviewed the Bond Resolution with the Board. The resolution enables the Board to bond for funds to complete the Auditorium and other HLS projects. Dr. Seaton recommended the Board adopt the Resolution.
- **Chromebooks Purchase** – Information submitted by Mr. Beck for the Board’s review included 300 Acer C732 Chromebooks to be purchased for the 2019-20 incoming freshman. The total cost of the 300 Chromebooks is $74,955.00 with $25,000.00 to be paid from Title I funds and $49,955.00 paid from the Technology fund. Dr. Seaton recommended the Board approve the purchase.
- **Release, Waiver and Indemnification Agreement with Vactor for New Equipment** - Vactor, Mfg., Inc. recently donated a $20,000+ brake press to the SHS Welding shop. As part of the donation, a waiver of liability has been requested. Dr. Seaton and the Board reviewed the agreement. Dr. Seaton recommended the Board approve the agreement as presented.
- **2019 Summer School Program and Fees** – Dr. Seaton submitted the Summer Credit Recovery Program proposal to the Board for approval. In-district cost per session will be $130 (with free and reduced pricing). Out of district cost per session will be $300 (no free or reduced pricing). Dr. Seaton also recommended the Board approve Summer Driver’s Education fees at $200 for in-district students and $300 for out-of-district students (no free or reduced pricing).
- **2018-19 ESY Special Education** - Dr. Seaton reviewed the proposed 2019 Summer ESY Special Education Program with the Board and recommended the Board approve the plan.
- **PRESS Board Policy Updates #100 – First Reading** - The Board conducted a first reading of the School Board Policies being revised.
Principal –
- **2019-20 IHSA Membership Renewal** – IHSA is an organization which sets the standards and guidelines for athletics and activities in the State of Illinois. Mrs. Mascal recommended the Board approve the IHSA Membership Resolution.
- **2018-19 Winter Sports Results Summary** – Athletic Director, Mr. Bedeker, submitted the 2018-2019 Winter Sports Season summaries and statistics for the Boards review.
- **Facility Use Fee Waiver Request – 4th of July Committee** - Mr. Bedeker submitted the Facility Use Fee Waiver Request and recommended Board approval.
- **Overnight/Extended Student Trip – AgEd to State Proficiency Interviews, Urbana, IL** – Mrs. Mascal presented the Application for the Overnight/Extended Student Trip for approval.
Old Business
None
New Business
MOTION by Williamson, seconded by Tutoky, to approve the following items listed under “New Business” on the Tuesday, March 19, 2019, Board meeting agenda. Ayes (7) Nays (0) Motion carried.
A. Approve the Auditorium Renovation and Addition Base Bid of $8,160,000.00 from Peoria Metro Construction, including Alternates #1, #3, #6, #7, #8, #9, #10 and #11 totaling $524,500.00, for a total cost of $8,684,500.00
B. Approve the 2019 Fire Alarm Replacement Bid from Tech Electronics for the amount of $368,258.00
C. Approve the Asbestos Abatement for 2019 Auditorium Renovations Bid from Colfax Corp for the Base Bid amount of $268,500.00 plus all respective Unit Rates
D. Approve the RESOLUTION AUTHORIZING THE ISSUANCE OF GENERAL OBLIGATION (LIMITED TAX) DEBT CERTIFICATES, SERIES 2019, TO FINANCE SCHOOL FACILITIES FOR STREATOR TOWNSHIP HIGH SCHOOL DISTRICT NO. 40, LaSALLE AND LIVINGSTON COUNTIES, ILLINOIS, AND PROVIDING THE DETAILS OF SUCH CERTIFICATES, AND RELATED MATTERS
E. Approve the Purchase of 300 Acer C732 Chromebooks for $74,955.00
F. Approve the Release, Waiver, and Indemnification Agreement with Vactor Manufacturing, Inc.
G. Approve the 2019 Summer School Program and Fees
H. Approve the 2018-19 ESY Special Education Program
I. Approve the 2019-20 IHSA Membership Renewal
J. Approve the Facility Use Fee Waiver Request for the 4th of July Committee
K. Approve the Overnight/Extended Student Trip for AgEd to State Proficiency Interviews in Urbana, IL
Closed Session
MOTION by Darrow, seconded by McFadden, as per 5ILCS 120/2(c)(1) for the appointment, employment, compensation, discipline, performance, or dismissal of specific employees of the public body or legal counsel for the public body, including hearing testimony on a complaint lodged against an employee of the public body or against legal counsel for the public body to determine its validity; and as per 5ILCS 120/2(c)(11) for the litigation, when an action against, affecting or on behalf of the particular public body has been filed and is pending before a court or administrative tribunal, or when the public body finds that an action is probable or imminent, in which case the basis for the finding shall be recorded and entered into the minutes of the closed meeting; and as per 5ILCS 120/2(c)(21) for the discussion of minutes of meetings lawfully closed under the Open Meetings Act, whether for purposes of approval by the body of the minutes or semi-annual review of the minutes as mandated by Section 2.06. TIME: 7:06 P.M. Ayes (7) Nays (0) Motion carried.
MOTION by Parr, seconded by Darrow, to return to Regular Session. TIME: 7:58 P.M. Ayes (7) Nays (0) Motion carried.
Motions From Closed Session
MOTION by Biroschik, seconded by McFadden, to approve the following items listed under “Personnel”, on the March 19, 2019, Board Meeting Agenda. All new hires will be contingent on Background Check results. Ayes (7) Nays (0) Motion carried.
Resignations:
Ms. Maddie Donnell – Co-Head Streatorette Coach
Ms. Lily Ramirez – Head Cheerleading Coach
Mr. Jake Strabala – Assistant Boys Basketball Coach
Ms. Kari Benning – Assistant Volleyball Coach
Mr. John Sandoval – Head Wrestling Coach
Hires:
Ms. Kaylee Haun - 2019-20 Guidance Counselor
Ms. Tiffany Sharisky – 2019-20 Co-Head Streatorette Coach
Ms. Danielle Kolodziej – 2019-20 Co-Head Streatorette Coach
Volunteers:
Mr. Jake Strabala – 2019-20 Volunteer Assistant Boys Basketball Coach
Mr. Adam Thorson – 2018-19 Volunteer Assistant Baseball Coach
Mr. TJ Moran – 2018-19 Volunteer Assistant Tennis Coach
MOTION by Parr, seconded by McFadden, to approve the Employee Contract between the Board of Education and Matthew R. Seaton for the contract effective July 01, 2019, and ending June 30, 2024, to set the annual salary rate of Matthew R. Seaton, Superintendent, at $148,526.00 for the 2019-2020 school term and a one-time bonus payment in the amount of $5,000.00 payable July 10, 2019. Ayes (7) Nays (0) Motion carried.
MOTION by Darrow, seconded by Williamson, to approve the Employee Contract between the Board of Education and Amy Jo Mascal, Principal, for the contract effective July 1, 2019, and ending June 30, 2022, and to set the annual salary rate of Amy Jo Mascal, Principal, at $129,430.00 for the 2019-2020 school term. Ayes (7) Nays (0) Motion carried.
MOTION by Parr, seconded by Darrow, to approve the Employee Contract between the Board of Education and Nick McGurk, Assistant Principal, for the contract effective July 1, 2019, and ending June 30, 2020, and to set the annual salary rate of Nick McGurk, Assistant Principal, at $103,703.00 for the 2019-2020 school term. Ayes (7) Nays (0) Motion carried.
MOTION by Darrow, seconded by Parr, to approve the Employee Contract between the Board of Education and Beau Doty, Assistant Principal, for the contract effective July 1, 2019, and ending June 30, 2020, and to set the annual salary rate of Beau Doty, Assistant Principal, at $82,750.00 for the 2019-2020 school term. Ayes (7) Nays (0) Motion carried.
MOTION by McFadden, seconded by Darrow, to approve the Employee Contract between the Board of Education and Robert Beck, Director of Technology, for the contract effective July 1, 2019, and ending June 30, 2020, and to set the annual salary rate of Robert Beck, Director of Technology, at $88,819.00 for the 2019-2020 school term. Ayes (7) Nays (0) Motion carried.
MOTION by Tutoky, seconded by McFadden, to approve a 4% per hour rate increase for the 2019-20 school year for the following District Confidential Employees; Chief Maintenance Supervisor, Supt. Admin. Asst., District Bookkeeper, Payroll/AP Bkpg., Maintenance, Truancy Mentor, Alumni Coordinator, Technology Coord. and Nurse. Ayes (7) Nays (0) Motion carried.
President’s Prerogative
Dr. Woeltje, President, stated that the last 2 years has been a lot of fun, with a great group of guys who have gotten the job done.
Dr. Seaton thanked the 7 Board members for all their hard work and committing to the Auditorium project which has been in the making for the past 2 years, adding they are the ones who have gotten the job done.
Motion for Adjournment
MOTION by Darrow, seconded by Tutoky, to adjourn from the regular meeting. TIME: 8:05 P.M. Ayes (6) Nays (1 - Darrow) Motion carried.
|
Application of multi-attribute decision-making methods for the selection of conveyor
S. B. Fulzele\(^1\) · S. B. Khatke\(^1\) · S. J. Kadam\(^1\) · A. G. Kamble\(^1\)
Accepted: 19 June 2022
© The Author(s), under exclusive licence to Springer-Verlag GmbH Germany, part of Springer Nature 2022
Abstract
In the present time of innovation, conveyor is an exceptionally indispensable part and has huge significance for material handling in various process and manufacturing industries. It is made with precisions, and the expenses are relatively high and should work with better productivity. The selection of the best conveyor is a crucial task, and the designers need to recognize different attributes that will influence the functionalities of the conveyor system to limit bottlenecks in the system. Researchers have worked on strategies for finding the best optimum solution for various selection problems, but conveyor selection using selected methods is not reported. Therefore, the present work aims to the selection process of the best option for conveyor by using four selected decision-making methods such as analytical hierarchy process, technique of order preference by similarity to ideal solution, compromise ranking method and Deng’s similarity-based method. The selection is done among four alternatives based on six attributes, viz. fixed cost each hour, variable cost each hour, conveyor speed, product width, product weight and flexibility. The analytical hierarchy process is used to determine weights of the attributes based on relative importance of each attribute. It is observed that A3 conveyor is best suitable conveyor. Hence, the proposed strategies help manufacturers to examine and choose the best conveyor.
Keywords Conveyor selection · Analytical hierarchy process · Technique of order preference by similarity to ideal solution · Compromise ranking method · Deng’s similarity-based method, etc.
1 Introduction
Nowadays, the material handling conveyors are the backbone of many industries. A conveyor system is a mechanical device that moves items from one location to another. It is utilized in a variety of processing and manufacturing industries. The different conveyor systems have been established for conveying materials or products from one location to another, depending on the speed of handling, nature, amount, size and weight of commodities to be carried. The determination of the best option of conveyor for developing a dependable and efficient conveyor system will save money and increase production and lowering the risk of workers operating it. The appropriate planning of material handling is also required for minimizing the delivery time, and it leads to lower overall expenses of the manufacturing and improves customer service and reduces inventory cost. In India, 80% of material handling is done by conveyors in most of the industries and the worldwide transport framework market size is projected to arrive at USD 10.6 billion by 2025, from an expected worth of USD 8.8 billion in 2021. Thus, various processing and manufacturing plants are improving the performance of conveyor systems. Therefore, best conveyor must be chosen to reduce impact and wear of the conveyor and thereby increase durability and strength.
The proper selection of material handling equipment is a critical issue for the efficiency and productivity of industrial organizations in the global market. Also, it is a time-consuming and expensive process (Goswami and Behera 2021). In comparison with other modes of transportation, belt conveyors have traditionally been an efficient technique of transporting huge amounts of material. Speed control is supposed to reduce belt conveyor energy consumption; however, the issue is the management of the
conveyor’s dynamic behaviour and speed control, both of which are critical which can result in high energy consumption and poor performance (Mhlongo et al. 2020). There are many important parameters which play a vital role in meticulous selection of a conveyor system. It is important to know how the conveyor system will be used prior to the setup; hence, some individual areas that are helpful to consider are the required conveyor operations such as conveyor capacity, material to be conveyed, material characteristics and many more design parameters (Chudasama et al. 2021). The industries are dealing with difficult issues related to conveyor selection; therefore, it appears that they are reluctant to apply performance-based rankings for manufacturers. When it comes to material handling, there are always trade-offs between quality and cost. As a result, it is critical to find the best conveyor system to meet the needs of various industries. To sustain productivity, it is necessary to rank the conveyors. In this paper, an attempt has been made to select the most appropriate conveyor utilizing a variety of decision-making methods.
Researchers have worked on strategies for finding the best optimum solution for various selection problems, but conveyor selection using selected methods is not reported. Therefore, the present work aims to the selection process of the best option for conveyor by using four selected decision-making methods such as analytical hierarchy process, technique of order preference by similarity to ideal solution, compromise ranking method and Deng’s similarity-based method. The selection is done among four alternatives based on six attributes, viz. fixed cost each hour, variable cost each hour, conveyor speed, product width, product weight and flexibility. The detailed explanation of the problem statement is provided in Sect. 3.1.
2 Related work
Researchers are working in the field of various operational research activities to optimize various industrial processes. The kinds of literature are available on the application of multi-attribute decision-making methods (MADM) to achieve selection among various attributes and alternatives. This section gives some recent studies done on selection problems.
Emovon and Ogheneyerov (2020) conducted a detailed review of the MADM methods application in material selection, which was then classified into five categories, viz. type of decision criteria used, type of MADM methods applied and application areas, year of publication of MADM article, types of journals in which the MADM article was published, and MADM techniques country of application. It is found that MADM technique is a very useful tool in making decision with respect to material selection. However, there are still many areas that need to be addressed by other researchers, such as categorizing studies to determine whether the research environment is fuzzy or not, and expanding article searches in various databases to include theses and textbooks. Ghaleb et al. (2020) proposed a methodology for evaluating different selection approaches, including the technique for order of preference by similarity to ideal solution (TOPSIS), analytic hierarchy process (AHP), and Vlsekriterijumska optimizacija Ikompromisno Resenje (VIKOR). Productivity, accuracy, complexity, flexibility, material utilization, quality, and operation cost were the criteria used to evaluate and identify the best manufacturing process. Gravity die casting, investment casting, pressure die casting, sand casting, and additive manufacturing were all considered as manufacturing processes. The proposed approach can be applied to the selection of a complex manufacturing process, has a simpler structure than the technique used, and provides an overall comparative analysis to evaluate different selection approaches. The proposed model may be subjected to multiple layers of manufacturing process selection criteria.
Chaitanya and Srinivas (2019) applied the MADM methods to the piston material selection for optimal design process. On selected MADM methods, a comparative study of subjective and objective criteria weights is carried out. Sensitivity analysis is used to demonstrate consistency in performance score ranking order as the weights of the criteria for each alternative change. The current problem is solved by the ENTROPY and AHP strategies. This assists designers in prioritizing engineering materials based on reality data. Performance scores and ranks are plotted for obtained results for clear perception; the impact of criteria weights on ranking methods is also determined to differentiate various methods. Komatina et al. (2018) investigated the approach of applying mathematical decision-making methods, which can be useful for decision-makers in the decision-making process. The application of multicriteria decision methods through the basic phases, as well as the classification of exact decision-making methods, is also covered. The analysis of multi-attribute decision-making methods and their application in the selection of process equipment in various fields of industry has received special attention. This study provides guidance for the appropriate selection of equipment that may be suitable for recycling. Future research should look into the impact of newly proposed methods, such as the Best–Worst method.
Veeris et al. (2018) selected potential rural roads for cross-border shipment using the AHP method. Cross-border trade value, distance from border to rural road, agriculture and processed agriculture goods transported across the border, compatibility with national strategies, area
characteristics around the rural road, truck volume, and number of rural roads within a 50-km radius of the border are the seven key factors influencing rural road selection. It demonstrates that the cross-border trade value is the most important factor because it receives the most weight. However, route selection cannot be based solely on total weight. The road network and road characteristics must also be considered when deciding on the best road for improvement. Saptari et al. (2021) identified issues in one of the companies that supplies raw materials and electrical parts’ procurement department. A delay in delivery occurred between a week and ten working days, causing disruption in the assembly process and delays in customer delivery. As a result, the AHP method is used to find the best supplier. It is also determined which supplier has the best performance in terms of quality, price, delivery, flexibility, and services, so that the company can prioritize the supplier in fulfilling the required electrical parts purchase order.
From the above literature study, it is observed that numerous scientists have dealt with strategies for finding the best optimum solution for their problem statements, but no researchers had worked on the conveyor selection for material handling in process industries using MADM methods such as AHP, TOPSIS, VIKOR and Deng’s method. Therefore, in the current work, the attempt is made to track down the ideal ranking using proposed techniques among six attributes and four alternative conveyors.
3 Methodology
The present research work focusses on selection of conveyor from among various attributes and alternatives. Therefore, it is essential to properly identify the important attributes for various alternates. The alternatives can be ranks by applying selected MADM methods and results obtained using selected methods can compared and finally select the best alternatives. Therefore, the present work is executed in four steps and methodology flowchart is shown in Fig. 1:
i. Identify attributes and available alternatives.
ii. Implementation of four selected MADM methods viz.: AHP, TOPSIS, VIKOR, and Deng’s similarity-based method.
iii. Solution using selected methods and obtain the results.
iv. Select the best alternative from the given alternatives.
3.1 Identification of attributes and alternatives (Conveyor Selection Problem)
Nowadays, the material handling conveyors plays a very vital role in most of industries. Industries spends millions of dollars for conveyor and therefore proper conveyor must be selected for the material handling. The present work consists of four alternative conveyors (A1, A2, A3 and A4) and six attributes, i.e. fixed cost (FC) per hour, variable cost (VC) per hour, conveyor speed (CS), product width (PW), product weight (W) and flexibility (F). The attributes like CS, PW, W and F are beneficial attributes, while FC and VC are non-beneficial attributes. The quantitative data for six attributes for four alternatives are shown in Table 1.
3.2 MADM methods
The following four selected methods are used to solve conveyor selection problem:
3.2.1 AHP method
This method developed by Thomas Saaty in 1980 is a technique for prioritizing complex and unstructured data in order to obtain the most preferred alternatives using a mathematical approach. It is a frequently used method that has both qualitative and quantitative qualities and may objectively obtain relatively accurate decision-making
Table 1 Quantitative data of attributes for alternatives
| Conveyors | FC (lacks) | VC (in lacks) | CS (feet/minute) | PW (cm) | W (kg) | F |
|-----------|------------|---------------|------------------|---------|--------|-----------------|
| A1 | 2 | 0.45 | 12 | 15 | 10 | Very good (0.745) |
| A2 | 2.3 | 0.44 | 13 | 20 | 10 | Excellent (0.955) |
| A3 | 2.25 | 0.45 | 11 | 30 | 20 | Excellent (0.955) |
| A4 | 2.4 | 0.46 | 10 | 25 | 15 | Very good (0.745) |
(Wang 2021). It includes a specialized form of solution and uses pairwise comparison to establish relationships within the hierarchical structure. In the decision-making process, each element is subjected to a judgmental approach on its own. The method used to determine the best outranking of alternatives. It is one of the most comprehensive systems for making decisions with multiple criteria as the method allows to formulate the problem as a hierarchical and believe a mixture of quantitative and qualitative criteria.
The fundamental technique of utilizing the mean strategy is as per the following:
**Step 1:** Develop the hierarchical structure includes objectives, attributes and alternatives.
**Step 2:** Estimate a pairwise correlation among the attributes with the assistance of a nine-point scale of relative significance as characterized relative importance for the target (Taherdoost 2017). The mean technique is utilized to search out the relative standardized weights of the criteria. The geometric mean (GM) is calculated using Eq. (1).
\[
GM_j = [\Pi b_{ij}]^{1/M}
\]
(1)
where \( M \) is the size of the matrix.
The weights (W) are calculated using Eq. (2).
\[
W_j = \frac{GM}{\Sigma GM_j}
\]
(2)
**Step 3:** Check the consistency.
The consistency index (C.I.) and the consistency ratio (C.R.) are determined to know the precision of near weights using Eqs. (3 and 4), respectively.
\[
CI = \frac{(\lambda_{max} - M)}{(M - 1)}
\]
(3)
where \( \lambda_{max} \) is the average eigenvalue.
\[
CR = \frac{CI}{RI}
\]
(4)
where R.I. is the random index and it is taken as 1.12. (Taherdoost 2017).
**Step 4:** Calculate the normalized matrix of each attribute by the local priority.
**Step 5:** Determine the overall performance rating for the alternatives by multiplying the relative normalized weight (\( W_n \)) of each attribute (obtained in Step 2) with its corresponding normalized value for each alternative (obtained in Step 4) and employs summation over all the attributes for each alternative.
### 3.2.2 TOPSIS method
This strategy follows the idea that the chosen option ought to have the base Euclidean distance from the positive ideal arrangement and most extreme from the negative ideal arrangement. The TOPSIS along these offers the response that is not just nearest to theoretically best, that is additionally the farthest from the theoretically bad (Zulqarnain et al. 2020). This method gives us the best solution as well as rankings of options expressing the significance of TOPSIS for assessment and ranking (Çelikbilek and Fatih 2020).
The principal system of the TOPSIS technique for determination of the best option from among those accessible is depicted below,
**Step 1:** Create the standardized decision matrix using Eq. (5).
\[
r_{ij} = \frac{x_{ij}}{\left(x^2_{ij}\right)} \text{ for } i = 1...m; j = 1...n
\]
(5)
**Step 2:** Create the weighted standardized decision matrix using Eq. (6).
Let us have array of weights for each attribute \( W_j \) for \( j = 1...n \). Take a product of each column of the standardized decision matrix by its related weight.
\[
V_{ij} = W_j \times r_{ij}
\]
(6)
**Step 3:** Detect ideal best (PIS) and ideal worst (NIS) solutions.
Positive ideal (best) solution: (highest value for beneficial and lowest for non-beneficial attribute) and negative ideal (worst) solution: (lowest value for beneficial and highest for non-beneficial attribute).
**Step 4:** Compute the separation measure.
Positive separation measures using Eq. (7).
\[
S_i^+ = \sqrt{\sum(V_j^+ - V_{ij})^2}
\]
(7)
Negative separation measures using Eq. (8).
\[ S_i^- = \sqrt{\sum (V_j^- - V_{ij})^2} \]
**Step 5:** Compute the relative nearness to the desired ideal solution using Eq. (9).
\[ P_i = \frac{S_i^-}{(S_i^- + S_i^+)} \]
**Step 6:** Rank the preference order.
In this way, the choices are finally positioned in plummeting order and the ranking is acquired. The primary rank got is the nearest answer for ideal arrangement and farthest from negative ideal arrangement. Additionally, the last rank acquired is the farthest arrangement from ideal arrangement and nearest to the negative ideal arrangement.
### 3.2.3 VIKOR Method
This is a problem-solving and sorting technique for complex systems that optimizes multi-criteria decision making (Kaya 2021). It was created as a multi-attribute decision-making strategy to tackle discrete choice issues with non-commensurable and clashing attributes. This strategy centres on ranking and choosing from a gathering of choices inside the presence of clashing attributes is to help decision-makers to arrive at a definitive objective (Kamble et al. 2022).
The fundamental procedure is as per the following:
**Step 1:** Identify objective, and to calculate best (\( X_i^+ \)) and worst (\( X_i^- \)) values among all attributes.
**Step 2:** Calculate the optimal and inferior solution of schemes comprehensive evaluation using Eqs. (10 and 11), respectively.
\[ E_i = \sum_{j=1}^{M} w_j * \frac{(m_{ij})_{\text{max}} - m_{ij}}{((m_{ij})_{\text{max}} - (m_{ij})_{\text{min}})} \]
\[ F_i = \text{Max of } \sum_{j=1}^{M} w_j * \frac{(m_{ij})_{\text{max}} - m_{ij}}{((m_{ij})_{\text{max}} - (m_{ij})_{\text{min}})} \]
**Step 3:** Calculate the value of \( (P) \) interest’s ratio brought by scheme using Eq. (12).
\[ P = \frac{v * (E - E_{\text{min}})}{(E_{\text{max}} - E_{\text{min}})} + (1 - v) \]
\[ * \frac{(F - F_{\text{min}})}{(F_{\text{max}} - F_{\text{min}})} \]
where, the standard value of \( v \)
\[ = 0.5 \]
**Step 4:** Arrange the alternatives according to values of interest ratio in the ascending order.
After the alternatives are arranged according to ranks, the first alternative is the best solution and the last alternative is the worst solution.
### 3.2.4 Deng’s similarity-based method
TOPSIS has the lowest rank in the recreation correlation with the other remaining methods, which is not quite the same as the remaining procedures. In order to overcome this, Deng proposed the concept of other gradient in 2007 to handle the issue of other in multiple attribute examination (Anand et al. 2017).
The step-by-step procedure for Deng’s similarity method is portrayed below,
**Step 1:** Decide the overall significance of various attributes regarding the goal. Make a pairwise correlation matrix utilizing a nine-point scale of relative significance. This step is clarified above in AHP strategy (4.1) solution (step 1).
**Step 2:** Normalize the decision matrix through Euclidean normalization using Eq. (13).
\[ r_{ij} = \frac{x_{ij}}{(\sum x_{ij}^2)} \]
**Step 3:** Make the weighted standardized choice matrix. Expect that we have an array of weights for every attribute Wj. Take a product of every column of the standardized choice matrix by its related weight using Eq. (13).
\[ V_{ij} = W_j \times r_{ij} \]
**Step 4:** Determine positive ideal solutions (PIS) and negative ideal solutions (NIS) as discussed in TOPSIS method (4.2–step 3).
**Step 5:** Conflict index between alternative and PIS and NIS:
The degree of clash between alternative (\( A_i \)) and (\( I^+ \)) & (\( I^- \)) is expressed by Eqs. (15 and 16), respectively.
\[ COS\theta_{i^+} = \frac{y_{ij} * I^+}{\sqrt{\sum y_{ij}^2 * \sum (I_j^+)^2}} \]
\[ COS\theta_{i^-} = \frac{y_{ij} * I^-}{\sqrt{\sum y_{ij}^2 * \sum (I_j^-)^2}} \]
**Step 6:** As per the degree of the clash between the alternative and the PIS and NIS, the degree of similarity of the alternative between alternative (\( A_i \)) and (\( I^+ \)) & (\( I^- \)) can be expressed by using Eqs. (17 and 18), respectively.
\[ S_{i^+} = \frac{COS(\theta_{i^+}) * A_i}{I_j^+} \]
\[ S_{i^-} = \frac{COS(\theta_{i^-}) * A_i}{I_j^-} \]
**Step 7:** Calculate the overall index for every alternative across all attributes using Eq. (19).
\[ P_i = \frac{S_i^+}{(S_i^+ + S_i^-)} \]
**Step 8:** Rank the choices according to the overall index in descending order.
### 3.3 Solutions using MADM methods
#### 3.3.1 AHP method
**Step 1:** The goal is to select the best conveyor among the given alternatives.
**Step 2:** Create a correlation matrix among the criteria and calculate geometric mean and weights. Table 2 represents relative importance matrix.
The geometric mean calculation is done by using Eq. (1), and weight calculations are done by using Eq. (2).
\[ W_1 = 0.298, \quad W_2 = 0.221, \quad W_3 = 0.061, \quad W_4 = 0.090, \]
\[ W_5 = 0.191, \quad W_6 = 0.139. \]
**Step 3:** Check the consistency (weights correct or not)
\[
A_1 = \begin{bmatrix}
1 & 2 & 2 & 3 & 3 & 2 \\
1/2 & 1 & 2 & 3 & 2 & 2 \\
1/2 & 1/2 & 1 & 1/3 & 1/5 & 1/3 \\
1/3 & 1/3 & 3 & 1 & 1/3 & 1/2 \\
1/3 & 1/2 & 5 & 3 & 1 & 2 \\
1/2 & 1/2 & 3 & 2 & 1/2 & 1
\end{bmatrix} \quad A_2 = \begin{bmatrix}
0.298 \\
0.221 \\
0.061 \\
0.090 \\
0.191 \\
0.139
\end{bmatrix}
\]
\[
A_3 = A_1 \times A_2 = \begin{bmatrix}
1.983 \\
1.423 \\
0.435 \\
0.580 \\
1.256 \\
0.858
\end{bmatrix} \quad A_4 = \begin{bmatrix}
6.663 \\
6.443 \\
7.087 \\
6.438 \\
6.583 \\
6.170
\end{bmatrix}
\]
Now, the maximum eigenvalue is calculated by the average of matrix \( A_4 \) by using Eq. (4).
\[ \lambda_{\text{max}} = \frac{A_4}{6} = 6.564 \]
\[ CI = \frac{(\lambda_{\text{max}} - M)}{(M-1)} = \frac{6.564 - 6}{6 - 1} = 0.113 \] by using Eq. (5).
\[ CR = \frac{CI}{RI} = \frac{0.113}{1.25} = 0.090 \] by using Eq. (6).
As the \( CR \geq 0 \) hence, the decision matrix is right and the above weights are correct.
**Step 4:** Calculation of normalized weights matrix displayed in Table 3.
**Step 5:** Calculate overall performance index by multiplying weight for each row of alternatives and ranks are obtained as shown in Table 4.
#### 3.3.2 TOPSIS method
**Step 1:** Create the standardized decision matrix, using Eq. (5).
**Step 2:** Construct the weighted normalized decision matrix, using Eq. (6) as displayed in Table 5.
**Step 3:** Determine ideal best (\( V_j^+ \)) and ideal worst (\( V_j^- \)) solutions as displayed in Table 6.
**Step 4:** Calculate positive (\( S_i^+ \)) and negative (\( S_i^- \)) separation measures using Eqs. (7) and Eq. (8) and the relative nearness to the ideal solution (\( P_i \)), using Eq. (11) and find rank the order of conveyors as displayed in Table 7.
#### 3.3.3 VIKOR method
**Step 1:** To identify objective, and to calculate best (\( X_i^+ \)) and worst (\( X_i^- \)) values among all attributes.
**Step 2:** Calculate the optimal and inferior solution of schemes comprehensive evaluation, using Eqs. (10 and 11) as displayed in Table 8.
**Step 3:** Calculate the value of interest ratio (P) brought by scheme, using Eq. (12) and rank the alternatives according to values of interest ratio in the ascending order, as displayed in Table 9.
#### 3.3.4 Deng’s similarity-based method
**Step 1:** Determine the relative importance of different attributes regarding the objective as discussed in the AHP method.
**Step 2:** Normalizing the decision matrix through Euclidean normalization, using Eq. (13).
---
**Table 2** Relative importance matrix
| Attributes | FC | VC | SC | PW | W | F |
|------------|----|----|----|----|----|----|
| FC | 1 | 2 | 2 | 3 | 3 | 2 |
| VC | 1/2| 1 | 2 | 3 | 2 | 2 |
| SC | 1/2| 1/2| 1 | 1/3| 1/5| 1/3|
| PW | 1/3| 1/3| 3 | 1 | 1/3| 1/2|
| W | 1/3| 1/2| 5 | 3 | 1 | 2 |
| F | 1/2| 1/2| 3 | 2 | 1/2| 1 |
**Table 3** Normalized weighted matrix in AHP
| Conveyor | Attributes | FC | VC | SC | PW | W | F |
|----------|------------|----|----|----|----|----|----|
| A1 | | 0.298 | 0.216 | 0.057 | 0.045 | 0.095 | 0.109 |
| A2 | | 0.259 | 0.221 | 0.061 | 0.060 | 0.095 | 0.139 |
| A3 | | 0.265 | 0.216 | 0.052 | 0.090 | 0.191 | 0.139 |
| A4 | | 0.248 | 0.211 | 0.047 | 0.075 | 0.143 | 0.109 |
Table 4 Overall performance index and ranking of alternatives in AHP method
| Conveyor | OPI | Rank |
|----------|-------|------|
| A1 | 0.819 | 4 |
| A2 | 0.836 | 2 |
| A3 | 0.953 | 1 |
| A4 | 0.833 | 3 |
Table 5 Weighted normalized decision matrix in TOPSIS method
| Conveyor | Attributes | FC | VC | SC | PW | W | F |
|----------|------------|-----|-----|-----|-----|-----|-----|
| A1 | | 0.133 | 0.110 | 0.032 | 0.029 | 0.066 | 0.060 |
| A2 | | 0.153 | 0.108 | 0.034 | 0.039 | 0.066 | 0.077 |
| A3 | | 0.150 | 0.110 | 0.029 | 0.058 | 0.133 | 0.077 |
| A4 | | 0.159 | 0.113 | 0.026 | 0.049 | 0.100 | 0.060 |
Table 6 Ideal best and ideal worst values
| Ideal best ($V_j^+$) | FC | VC | SC | PW | W | F |
|----------------------|-----|-----|-----|-----|-----|-----|
| | 0.133 | 0.108 | 0.034 | 0.058 | 0.133 | 0.077 |
| Ideal worst ($V_j^-$) | FC | VC | SC | PW | W | F |
|----------------------|-----|-----|-----|-----|-----|-----|
| | 0.159 | 0.113 | 0.026 | 0.029 | 0.066 | 0.060 |
Table 7 Positive and negative separation measures, relative nearness to the ideal solution and ranks
| Conveyor | $Si^+$ | $Si^-$ | Pi | Rank |
|----------|--------|--------|------|------|
| A1 | 0.075 | 0.027 | 0.267 | 3 |
| A2 | 0.072 | 0.023 | 0.240 | 4 |
| A3 | 0.018 | 0.075 | 0.811 | 1 |
| A4 | 0.048 | 0.038 | 0.446 | 2 |
Table 8 Optimal and Inferior solutions
| Conveyor | Attributes | FC | VC | SC | PW | W | F | $E_i$ | $F_i$ |
|----------|------------|-----|-----|-----|-----|-----|-----|-------|-------|
| A1 | | 0.00 | 0.11 | 0.02 | 0.09 | 0.19 | 0.14 | 0.55 | 0.19 |
| A2 | | 0.22 | 0.00 | 0.00 | 0.06 | 0.19 | 0.00 | 0.47 | 0.22 |
| A3 | | 0.19 | 0.11 | 0.04 | 0.00 | 0.00 | 0.00 | 0.34 | 0.19 |
| A4 | | 0.30 | 0.22 | 0.06 | 0.03 | 0.10 | 0.14 | 0.84 | 0.30 |
Step 3: Create the weighted normalized decision matrix, using Eq. (14) as displayed in Table 10.
Table 9 Interest ratio and ranks
| Conveyor | $E_i$ | $F_i$ | P | Rank |
|----------|-------|-------|-----|------|
| A1 | 0.55 | 0.19 | 0.21 | 2 |
| A2 | 0.47 | 0.22 | 0.27 | 3 |
| A3 | 0.34 | 0.19 | 0.00 | 1 |
| A4 | 0.84 | 0.3 | 1.00 | 4 |
| $E_{\text{max}}, F_{\text{max}}$ | 0.84 | 0.3 |
| $E_{\text{min}}, F_{\text{min}}$ | 0.34 | 0.19 |
Step 4: Detect positive ideal solutions (PIS) and negative ideal solutions (NIS) as discussed in the TOPSIS method.
Step 5: Conflict index between alternative and PIS and NIS, using Eqs. (15 and 16).
Step 6: Calculate the degree of similarity of the alternative between alternative ($A_i$) and ($I^+$) & ($I^-$), using Eqs. (17 and 18).
Step 7: Calculating overall index ($Pi$) for every alternative across all attributes, using Eq. (19) and rank the alternatives according to the overall index in the descending order, as displayed in Table 11.
From the above assessments of alternatives of conveyors, the A3 conveyor is found as the best choice for conveyor for the given contextual investigation. Further, distinct values of attributes are utilized in this work for looking at the options of conveyor in satisfying every one of the six attributes. In this way, the technique gives a more practical decision to conveyor selection process.
4 Results and discussion
The present work uses four MADM methods, viz. AHP, TOPSIS, VIKOR, and Deng’s similarity-based techniques to detect the best suitable conveyor for material handling. The four alternatives of conveyors are examined with respect to their six specified attributes. Table 12 shows the
Table 11 Overall performance index and ranks in Deng’s similarity-based method
| Alternatives | Conveyor | Pi | Rank |
|--------------|----------|------|------|
| A1 | 0.444 | | 3 |
| A2 | 0.443 | | 4 |
| A3 | 0.464 | | 1 |
| A4 | 0.452 | | 2 |
Table 12 Ranking obtained by four selected methods
| Alternatives | A1 | A2 | A3 | A4 |
|--------------|----|----|----|----|
| AHP | 4 | 2 | 1 | 3 |
| TOPSIS | 3 | 4 | 1 | 2 |
| VIKOR | 2 | 3 | 1 | 4 |
| Deng’s | 3 | 4 | 1 | 2 |
Fig. 2 Comparison chart of ranks
The rankings derived using the methodology which can be better displayed and assisting the decision-maker in assessing preferences. The rank obtained by the given methods gives ‘A3’ as the most suitable conveyor. A similar ranking of the conveyor is acquired by utilizing four selected techniques as displayed in Fig. 2, which shows that the first rank from every technique coming is the ‘A3’ conveyor which is the best-chosen conveyor. These methods can also be applicable for complex engineering and general applications.
In the AHP method, scoring and ranking depends on the alternatives considered for the evaluation. The removal or addition of alternatives may change the final ranking. The TOPSIS and VIKOR methods lack provision to weigh elicitation and check the consistency of judgements. The TOPSIS method does not consider the relative importance of distances and has the fewest ranks that differ from the remaining methods in the simulation comparison with all other methods. Deng introduced Deng’s similarity-based concept of alternative gradient to represent the conflict of alternative in multiple criteria to overcome this problem with analysis.
5 Conclusions and future work
The evaluation of available conveyor and selection of best suitable conveyor is very crucial and important decision for any process industry. The several more conveyors with different properties and specifications are also available. The selection of improper conveyor can directly or indirectly affect the productivity and efficiency of any process industry. Thus, it is important to select the best conveyor for better material handling. The present work shows the easy and logical scientific study to guide any decision-maker for selecting any best alternative. The methodology done in the present work helps decision-maker to take qualitative decision. The four selected decision-making methods, viz. AHP, TOPSIS, VIKOR and Deng’s similarity-based methods, are used for solving the proposed problem. The AHP method is used for obtaining weights of all attributes and is applicable for the remaining methods as well. It is found from the ranks obtained using selected methods that A3 conveyor is the best suitable choice for material handling among the four alternatives. It is observed that ranking of conveyor has some deviation in the rankings due to different mathematical approaches used in the four methods. Finally, it is concluded that these methods are very helpful for making decision in complex problems.
The example presented in the current work has demonstrated analytically the computational process of selected methods; however, the analysis is done on the basis of six attributes, and it can be further assessed by including more attributes and alternatives. The problem can be further solved by other decision-making methods for improvement and reliability. Also, the proposed methods can be employed for making the best decision in the other domains of engineering and general administration problems.
Author Contributions Satyam Fulzele and Satywan Khatke conceived of the presented idea. Satyam Fulzele developed the theory and performed the computations. Satywan Khatke and Shubham Kadam verified the analytical methods. Dr. Avinash Kamble encouraged Satyam Fulzele to investigate study of conveyors and supervised the findings of this work. All authors discussed the results and contributed to the final manuscript.
Funding This research received no specific grant from any funding agency in the public, commercial, or not-for profit sectors.
Data availability The authors declare that they have no data associated with the manuscript.
Declarations
Conflict of interest The authors declare that they have no known competing financial interests or personal relationships that could have appeared to influence the work reported in this paper.
Informed consent I Satyam Fulzele have read and I understand the provided information and have had the opportunity to ask questions. I understand that my participation is voluntary and that I am free to withdraw at any time, without giving a reason and without cost. I understand that I will be given a copy of this consent form. I voluntarily agree to take part in this study.
Ethical approval I Satyam Fulzele agree and declare that this submission follows the policies of Soft Computing as outlined in the Guide for Authors and in the Ethical Approval.
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Lifestyle of Shellmound Builders in Brazil (galley proofs)
Sabine Eggers
*Universidade de São Paulo*
C. C. Petronilho
*Universidade de São Paulo*
K. Brandt
*Universidade de São Paulo*
J. Filippini
*Universidade de São Paulo*
Karl J. Reinhard
*University of Nebraska at Lincoln*, firstname.lastname@example.org
Follow this and additional works at: [http://digitalcommons.unl.edu/natrespapers](http://digitalcommons.unl.edu/natrespapers)
Part of the [Archaeological Anthropology Commons](http://digitalcommons.unl.edu/natrespapers), [Biological and Physical Anthropology Commons](http://digitalcommons.unl.edu/natrespapers), [Natural Resources and Conservation Commons](http://digitalcommons.unl.edu/natrespapers), and the [Population Biology Commons](http://digitalcommons.unl.edu/natrespapers)
Eggers, Sabine; Petronilho, C. C.; Brandt, K.; Filippini, J.; and Reinhard, Karl J., "Lifestyle of Shellmound Builders in Brazil (galley proofs)" (2008). *Papers in Natural Resources*. Paper 145.
[http://digitalcommons.unl.edu/natrespapers/145](http://digitalcommons.unl.edu/natrespapers/145)
How does a riverine setting affect the lifestyle of shellmound builders in Brazil?
S. Eggers\textsuperscript{a,*}, C.C. Petronilho\textsuperscript{a}, K. Brandt\textsuperscript{a}, C. Jericó-Daminello\textsuperscript{a}, J. Filippini\textsuperscript{a}, K.J. Reinhard\textsuperscript{b}
\textsuperscript{a}Laboratório de Antropologia Biológica, Departamento de Genética e Biologia Evolutiva, Instituto de Biociências, Universidade de São Paulo, 05508-900 São Paulo, Brazil
\textsuperscript{b}School of Natural Resources, University of Nebraska, Lincoln, USA
Received 8 August 2007; accepted 27 April 2008
Abstract
The contact of inland and coastal prehistoric groups in Brazil is believed to have been restricted to regions with no geographical barrier, as is the case in the Ribeira de Iguape valley. The inland osteological collection from the riverine shellmound Moraes (5800–4500 BP) represents a unique opportunity to test this assumption for this region. Despite cultural similarities between riverine and coastal shellmounds, important ecological and site distribution differences are expected to impact on lifestyle. The purpose of this study is thus to document and interpret health and lifestyle indicators in Moraes in comparison to coastal shellmound groups. Specifically we test if the rare evidence of fish and mollusc remains in the riverine shellmound led to (a) higher caries rates and (b) lower auditory exostosis frequency and (c) if the small size of the riverine shellmound translates into reduced demographic density and thus rarity of communicable infectious diseases. Of the three hypotheses, (a) was confirmed, (b) was rejected and (c) was partly rejected. Bioanthropological similarities between Moraes and coastal shellmounds include auditory exostoses with equally high frequencies; significantly more frequent osteoarthritis in upper than in lower limbs; cranial and dental morphological affinities and low frequencies of violent trauma. However, there are also important differences: Moraes subsisted on a much broader protein diet and consumed more...
cariogenic food, but showed a stature even shorter than coastal groups. Thus, despite the contact also suggested by treponematoses in both site types, there was enough time for the people at the riverine site to adapt to local conditions.
© 2008 Elsevier GmbH. All rights reserved.
Resumo
O contato de grupos pré-históricos brasileiros interioranos e costeiros é tido como restrito a regiões sem barreiras geográficas, como é o caso do vale do Ribeira de Iguape. A coleção osteológica interiorana do sambaqui fluvial Moraes (5800–4500 pYB) representa uma oportunidade única para testar tal afirmação para a região sudeste. Embora haja similaridades culturais entre sambaquis fluviais e costeiros, espera-se que as importantes diferenças ecológicas e de padrão de assentamento influenciariam a saúde. No presente estudo, objetiva-se documentar e interpretar indicadores de saúde e estilo de vida dos habitantes de Moraes, em comparação com sambaqueiros da costa. Mais especificamente investigamos se as raras evidências faunísticas de peixe e molusco no sambaqui fluvial associam-se a (a) frequências de cáries mais elevadas, e (b) proporções menores de exostose auditiva e se (c) as diminutas dimensões do sítio fluvial correspondem a baixa densidade demográfica e consequentemente baixos índices de doenças infecciosas transmissíveis. Confirmou-se (a), enquanto (b) foi inteiramente, e (c) parcialmente, rejeitada. Semelhanças bioantropológicas entre habitantes de Moraes e sambaqueiros da costa incluem exostese auditiva em frequências igualmente altas; significativamente mais osteoartrose em membros superiores que inferiores; afinidades morfológicas dentárias e cranianas, assim como baixas frequências de traumatismos violentos. Entretanto, também foram constatadas diferenças importantes: os indivíduos de Moraes, de estatura ainda inferior a de sambaqueiros da costa, alimentavam-se de uma dieta mais cariogência, sendo o aporte proteico mais diversificado. Assim, apesar do contato, sugerido inclusive através da presença de treponematose em ambos os tipos de sítio, houve tempo suficiente para o grupo fluvial adaptar-se a condições locais.
© 2008 Elsevier GmbH. All rights reserved.
Introduction
Brazilian shellmounds
Almost the entire 8000 km long coast of Brazil was once explored by shellmound (or sambaqui) builders. More than 1000 coastal sites of this type, dated to between 8000 and 800 years ago, have been registered (Gaspar, 1998; Lima et al., 2004). They vary in size and can reach seventy meters in height and several hundreds of meters in diameter (de Blasis et al., 2007). Consisting mainly of complex sequences of layers of shells and sand, they also contain hearths, artefacts, food remains, and elaborate burials associated with bone and stone offerings as well as ochre.
Coastal shellmounds in Brazil are currently considered as monumental constructions intentionally built by sedentary people with high population densities (de Blasis et al., 1998; Gaspar, 1998). Zooarchaeological and stable isotope studies have shown that coastal shellmound groups were fisher-gatherers with diets based on marine
resources, especially fish (De Masi, 1999; Figuti, 1992). The shells, thus, are not interpreted as food debris, but as construction material. Probably these people used boats, since there is evidence of shellmounds on islands, and remains of deep-sea fish species amongst the faunal remains (Gaspar, 2000; Tenório, 2000). The use of plants, albeit until recently believed to have been of minor importance, was in fact quite common (Boyadjian et al., 2007; Scheel-Ybert, 1998, 2001; Scheel-Ybert et al., 2003; Wesolowski, 2000). Therefore, the intense dental wear in skeletal remains associated with shellmounds is today attributed more to the admixture of plant phytoliths, than to other abrasives, such as shell fragments and sand present in the food (Reinhard et al., 2001). Although the coastal Brazilian shellmound builders were of relatively short stature, they were within the range of variation of prehistoric and extant Native Americans (Storto et al., 1999). High frequency of non-specific infections in many shellmound dwellers is attributed to the intense contact with animal remains and pathogens typical for tropical coastal areas (Mendonça de Souza, 1995).
Whereas the evidence of specific communicable infectious diseases in some of the sites suggests high population density (Okumura and Eggers, 2005). Although many neighbouring sites are contemporaneous, an overall low frequency of violent trauma among shellmound dwellers indicates a relatively peaceful lifestyle and little competition for food resources (Lessa and Medeiros, 2001; Okumura and Eggers, 2005).
Although coastal shellmound builders are Mongoloids (Okumura, 2007), as are the majority of extinct and extant Amerindians, Palaeoamericans with a premongoloid morphology have first colonised the New World (Neves and Hubbe, 2005; Neves et al., 2007). However, because the most recent Palaeoamericans and the oldest shellmound builders are roughly contemporaneous (and dated to around 10,000–8000 years ago), questions arise on the origin and the contact of shellmound dwellers with other populations. This issue gained more attention with the description of a Palaeoamerican morphology of the oldest shellmound builder in Brazil, dated to about 9000 years ago (Neves et al., 2005). Astonishingly, the site where this oldest shellmound dweller was found is not a coastal site. It is a riverine shellmound called Capelinha, located in the Ribeira valley, in the interior of the southeastern state of São Paulo.
Apart from the more than 1000 coastal shellmounds, there are also about 50 riverine shellmounds registered in Brazil. Riverine shellmounds have been studied more systematically since the eighties, although their existence is known since the end of the fourteenth century (Barreto, 1988). They are known as riverine shellmounds because they resemble coastal shellmounds in basic construction material (mainly mollusc shells of *Anomalocardia brasiliana* in coastal and of *Megalobulimus* sp. in riverine sites), burial distribution and pattern, habitation structures and remains giving clues about daily activities (Eggers, in press; Figuti et al., 2004). Both were used concomitantly as a place for living, dwelling, eating, as well as for the interment of the dead (Figuti et al., 2004). The inland shellmounds are circular or ovoid structures, much smaller than those at most coastal sites, and measure only about 500–2000 m².
A region that most recently yielded new data on riverine shellmounds is the neighbourhood of Capelinha, the Ribeira valley, State of São Paulo. This valley is a geographic and ecological transition between the highlands and the seashore and was inhabited from 2000 BP. About 30 riverine sambaquis have been found in this region (Figuti et al., 2004). The cultural similarity to coastal shellmounds, and the proximity of most of the riverine sites of the Ribeira valley to the biggest river in the region, suggest that the people who built these sites arrived there coming from the coast travelling up this river. This is supported by the presence of marine vestiges found in these riverine sites, such as shark teeth (Barreto, 1988).
The riverine shellmounds at the Ribeira valley
The Ribeira valley shows great spatial and microenvironmental compartmentalisation. This allowed a broad range of human adaptive responses, confirmed by the different cultures that developed and flourished during its 8000 years long history (Figuti et al., 2004). The signs of human occupation found in this region belong to different cultures. First, there are shellmound builders such as the Palaeoamerican Capelinha man (~9000 BP; Neves et al., 2005), then the geographic expansion of riverine shellmound peoples, such as those from Moraes analysed herein, followed (~5000 BP; Figuti et al., 2004). Third, there are also signs of Umbu lithic traditions associated with hunter-gatherers (~1200 BP) and, finally, ceramic sites and burial places associated with Itararé horticulturalists (~500 years BP) found in a more restricted area (Figuti et al., 2004). The only site of this region, which rendered a reasonable number of human remains is Moraes—the subject of the present paper.
Despite the alleged cultural similarities, there are important ecological differences between coastal and riverine shellmound site distributions. Thus, riverine shellmound builders would be expected to show differences in health in comparison to coastal dwellers.
Aims
The purpose of this study, apart from being the first site report of Moraes for the international readership, is to document and interpret health and lifestyle indicators in two settings in south-southeastern Brazil: riverine (this paper) in comparison to coastal (using already published material) shellmound groups. Specifically, we investigate whether and, if it is possible, how ecological differences of site distribution and size, influence health status. Three main hypotheses are tested. These are: the rare evidence of fish and mollusc remains in the riverine shellmound (see below) reflects on (1) oral health, and (2) on the frequency of auditory exostosis and (3) the small size of the site translates into low population density and thus rare presence of communicable infectious diseases. We hypothesise, respectively, that in comparison to coastal people, the riverine group shows: (a) a significantly higher caries rate (since there is reduced protection against caries due to little aquatic food consumption, as inferred through the rare aquatic food remains); (b) significantly lower frequency of auditory exostoses (since contact with water seems to have been...
rare, based on the long distance to the sea and rare evidence of aquatic food remains and implements) and (c) lower frequency of specific communicable infectious diseases (since these diseases thrive better in larger than in smaller communities).
To test these hypotheses we use a classical non-destructive macroscopic approach to palaeopathology, and include the major osteological markers not only to test the above-mentioned hypotheses, but also to explore other differences or similarities in health and lifestyle between these peoples. These will also include reports on biodistance.
The archaeological context of the Moraes riverine shellmound
Dates of four skeletons of the Moraes riverine shellmound, also called Jaraçatia (Collet, 1985), located 35 km inland from the coast (24°17'S and 47°28'W; Figuti et al., 2004; Fig. 1), revealed an antiquity of $5895 \pm 45$ to $4511 \pm 32$ years BP (KIA 15561; KIA 20844).
This small shellmound (30 m diameter and 2 m height) revealed a relatively small number of stone tools (most commonly polished quartz axes and mortars). No ceramics or projectile points were found, but some implements such as perforators and hooks made of animal teeth and bone, especially of howler monkeys (*Alouatta* sp.), deer and peccary (*Tayassu tajacu*), were discovered (Figuti et al., 2004).
The faunal remains are highly diverse, indicating that the people from Moraes hunted mainly small animals such as primates, large rodents (*Agouti paca*), peccary
---
**Fig. 1.** Approximate location of the studied site Moraes and the sites mentioned in the text: Riverine, coastal shellmounds, and Palaeoamerican inland site.
(Tayassu tajacu), and skunks (Mephitidae). Remains of deer (Cervidae) and other bigger animals are rare. This points to a diverse protein diet obtained by broad-based hunting strategies. Besides the terrestrial faunal remains, occasional marine remains were also found. These include oysters (Ostreidae) and clams (Lucina pectinata), shark teeth (Selachimorpha) and artefacts made of ray spines (Chondrichthyes) (Figuti et al., 2004).
Materials and methods
During the four field trips undertaken up to 2004, 40 burials were recorded, two of them being double and the rest single. Some of them were associated with mortars probably used to process plants (Figuti et al., 2004).
Since the osteological collection from Moraes includes mainly incomplete individuals (see below), the estimation of sex and age at death, according to Buikstra and Ubelaker (1994) could only be carried out in a minority of cases. This is also the reason why, in most of the analyses, we calculated the frequency of markers according to specific bones available for examination and not per individual. The diagnoses of lesions and alterations of shape and size were carried out macroscopically in a non-destructive and non-invasive manner and followed the criteria established by Ortner and Putschar (1985) and Aufderheide and Rodríguez-Martín (1998). Only bones more than 50% complete and with good preservation were considered. The specific criteria considered for diagnosis and interpretation are as follows:
Markers used to test the hypotheses
High frequencies of caries (above 10%) suggest a cariogenic diet usually associated with agriculture (Turner, 1979). In the present study, caries, defined according to criteria established by Hilson (1996), were diagnosed visually with the aid of an odontological probe. Tooth affected, size and position of caries were recorded.
One of the more robust activity indicators are auditory exostoses. In temperate climates, high frequencies of auditory exostoses suggest frequent contact with cold water, during diving, fishing, surfing, sailing (Fabiani et al., 1984) or ritual bathing with temperature shock (Lambert, 2001). In tropical and subtropical regions this marker is not sensitive enough to detect these activities among all human groups known to have been heavily dependent on aquatic resources (Okumura et al., 2007). Here, using a magnifying glass and a small flashlight, auditory exostoses are identified as bony, not pedunculated, outgrowths of variable size in the outer ear channel of fully preserved meat.
Nonspecific infections are mainly due to local trauma or systemic processes such as infections by Staphylococcus aureus (Ortner and Putschar, 1985), leading to periostitis and osteomyelitis. High frequencies of these nonspecific infections are seen as signs of a shift to agriculture, an increase in population density, sedentism...
and undernutrition (Larsen, 2002). Only bones more than 50% complete and with well preserved periosteal surfaces were assessed for periostitis and osteomyelitis. When both infectious processes were identified on one bone, only osteomyelitis was recorded.
High population density may be inferred from the presence of communicable infectious diseases, such as treponematoses. Typical lesions (*caries sicca* and saber shin tibiae) as well as distribution patterns of lesions along the skeleton were used to identify treponematoses (Aufderheide and Rodríguez-Martín, 1998; Ortner and Putschar, 1985). In this paper no attempt was made to distinguish among the three types of treponematosis that affect the bone tissue (i.e., *venereal* syphilis, yaws and endemic syphilis).
**Markers used to explore further differences and similarities between riverine and coastal shellmound builders**
To countercheck caries frequency and make inferences about palaeodiet, we included dental wear analyses in our study. A higher frequency of posterior than anterior dental wear suggests a diet rich in plant foods, usually also associated with agriculture (Brothwell, 1963; Larsen, 1997; Molnar, 1971; Smith, 1984). Here we used Smith’s (1984) and Brothwell’s (1963) criteria for anterior and posterior dental wear respectively. Maxillary and mandibular teeth belonging to the left and the right side were considered in one category. Only individuals with well preserved incisors or canines and first molars were included in the analysis.
Another markers critical for oral health and indirectly for palaeodiet estimation are periapical abscesses and *antemortem* tooth loss. Abscesses are identified in this study by the presence of a drainage channel through the alveolar bone (Buikstra and Ubelaker, 1994). When the abscess persists or grows, the loss of teeth is the final consequence, leading to difficulties in mastication, speech and the loss of the ability to use teeth as tools to produce artefacts. *Antemortem* tooth loss is diagnosed herein as any degree of alveolar resorption.
Related to palaeodietary issues is the nutritional status. The growth of a child reflects nutritional status better than any other single marker (Eveleth and Tanner, 1990), whereas the final result of the interaction of heredity, diet, adaptation to climate and altitude as well as chronic diseases (especially infections) is adult stature (Ulijaszek, 1997). Adult stature was calculated here on all available complete long bone measurements and using the regression formula developed by Sciulli and Giesen (1993).
*Cribra orbitalia*, formerly interpreted as a sign of anaemia (Stuart-Macadam and Kent, 1992), are seen today as a consequence of a broad range of physiological stressors such as malnutrition, diarrhoea, gastrointestinal parasites, genetic diseases and/or low level of iron absorption during growth due to specific dietary components (Wapler et al., 2004). Pitting and porosity, with or without thickening and confluence of pores, remodelled or not, are considered here as indicative of *cribra orbitalia* in orbital roofs more than 50% intact. Porotic hyperostosis presents similar aetiology.
and diagnostic criteria as *cribra orbitalia*. Only occipitals and parietals more than 50% complete and with good preservation were considered.
To aid interpretation of activity we also included the evaluation of articular degeneration (or osteoarthritis). This is a multifactorial disease where sex, age, body build, nutrition, hormones and heredity play a role, but physical activity and mechanical stress are the most important contributing factors (Jurmain, 1999; Larsen, 1997). More frequent or severe osteoarthritis in upper than in lower limbs suggests activities such as swimming, diving and sailing among others (Bridges, 1991). Articular degeneration is identified here as porosity, osteophytes, lipping and/or eburnation on articular surfaces (Buikstra and Ubelaker, 1994) of upper limbs (shoulder, elbow, hand and wrist) and lower limbs (hip, knee, ankle and foot) more than 75% preserved, and is scored as present or absent.
Interpersonal conflicts as well as accidental trauma can shed light on the lifestyle of past populations. Fractures and trauma are mainly due to accidents and interpersonal violence (Aufderheide and Rodríguez-Martín, 1998; Ortner and Putschar, 1985). Therefore, fractures were included in this survey. All bones more than 50% complete were analysed macroscopically for *antemortem* fractures with signs of healing. Their localisation was used to distinguish between accidental fractures and interpersonal violence (such as Parry fractures or blunt fractures on the occipital).
Statistical analyses (Fisher’s and Chi-squared test, adopting $p<0.05$) were only carried out for features present in anatomical units with a good sample size (caries per tooth, *antemortem* tooth loss, abscesses per alveolus, unspecific infections per bone and articular degeneration per joint). The frequencies of osteological markers from Moraes were discussed in relation to frequencies obtained from published reports on coastal shellmounds located in the South-Southeast of Brazil.
**Results**
**Burial types, minimum number of individuals, age at death and sex in Moraes**
At the end of three field seasons, 40 burials had been recorded (Figuti et al., 2004). Among these, 14 burials were reported to contain individuals in undetermined positions, and three were collected only partially. From the 42 individuals recorded, seven were not collected at all and at least four were not sent to our laboratory for curation processes and analyses.
A detailed study of the human remains at the laboratory revealed a minimum number of individuals (MNI) of 61 associated with 30 distinct burials. The high percentage of undetermined position (14/33 or 42.4%) and various post-depositional factors, such as erosion, animal, root and anthropogenic factors, could explain the discrepancy between the number of individuals recorded at the excavation and then estimated in the laboratory.
More than 40% (13/30) of the burials contained only one individual, whereas the rest contained remains of two (8/30), three (5/30) or four (4/30) individuals. Furthermore, most “multiple” burials contained only a small quantity of bones from each individual, due to the bad preservation and incompleteness of the majority of skeletons. Of the 61 individuals, 40 presented with less than 25% of the anatomical units, 11 with 25–50%, six with 50–75%, whereas only four among them were more complete. From the 61 individuals analysed in the laboratory, at least four adults and five juveniles exhibited traces of ochre. Unfortunately, the study using Raman spectroscopy, and similar to that carried out on the thick ochre layer covering a bone from the coastal shellmound Jaboticabeira II (Edwards et al., 2001), was inconclusive for Moraes.
Due to the incompleteness of most individuals, age at death could be determined only in two thirds of them. Accordingly, 35.1% (22/61) were assigned as adults, 44.2% (27/61) were juveniles, 11.5% (7/61) young adults, 6.5% (4/61) middle adults and finally 1.6% (1/61) old adults. Similarly, sex could be estimated in only half of the adults, with a higher but non-significant ($\chi^2 = 0.69$, $p = 0.405$) proportion of males (10/36, 27.8%) than females (7/36, 19.4%).
**Oral pathology**
Among the 247 permanent teeth studied, 30 (or 12.2%) showed caries. Nineteen of them (63.3%) were occlusal and 11 (36.7%) were neck caries. Molars showed significantly more ($\chi^2 = 18.5$, $p = 0.000$) occlusal as well as neck caries (7/86 and 18/86), than canines (2/38; 0/38) and incisors (2/57; 1/57) (Fig. 2). Among carious teeth, anterior teeth (incisors and canines) showed significantly more neck caries, while molars presented more occlusal caries (Fisher $p = 0.047$). No caries whatsoever were observed in premolars, although the sample size of this type of tooth ($N = 66$) was not much smaller than that of molars ($N = 86$).
**Fig. 2.** Percentage of teeth ($n = 247$) affected with occlusal caries or neck caries, and alveoli ($n = 204$) affected with *antemortem* tooth loss and/or abscesses.
Fig. 3. Mean degree of dental wear per tooth, including superior, inferior, left and right teeth of one type in the same category, using Smith’s (1984) scale (range 1–8) for the anterior and Brothwell’s (1963) scale (range 1–7) for the posterior dentition. On top of the bars are the numbers of teeth analysed in each category.
Although the numerical value of the mean degree of dental wear seemed bigger for anterior teeth (Fig. 3), its biological meaning was that anterior and posterior wear were almost equal in frequency, suggesting a diet similar to other hunter-gatherers. Due to the incompleteness of the skeletons, only 13 pairs of canines and first molars could be evaluated for dental wear pattern. Among them, four individuals (30.8%) presented more posterior wear, 3 (23.1%) presented more anterior wear, whereas six individuals (46.2%) presented similar degrees of anterior and posterior dental wear. A higher frequency of posterior dental wear was suggestive of horticulture. When however comparing pairs of incisors, instead of canines, and first molars, totalling 11 individuals, five showed more anterior, whereas four showed more posterior wear. The remaining two showed equal wear. This pattern suggested a hunter-gatherer diet. The difference between both methods was due to only one individual.
Among 204 alveoli studied, 29 (14.2%) showed at least partial resorption, indicating antemortem tooth loss (AMTL), while 44 (21.6%) presented active abscessing (Absc). Both pathologies were significantly more frequent ($\chi^2 = 13.5$, $p < 0.01$) in the posterior (premolars: AMTL 8/55, Absc 16/55; molars: AMTL 11/64, Absc 20/64) than in the anterior dentition (incisors: AMTL 7/57, Absc 5/57; canines: AMTL 3/28, Absc 3/28) (Fig. 2).
Activity markers: auditory exostosis, articular degeneration and trauma
The remains of 61 individuals from Moraes yielded only 18 adult auditory meati preserved well enough for the analysis of auditory exostosis. Among them, four (or 22.2%) presented bony outgrowths typical for auditory exostosis.
Since we considered only articular surfaces more than 75% preserved, only 23 out of the 61 individuals could be included in the analysis of articular degeneration. These ranged from 15 to more than 50 years of age at death and were classified as four juveniles and 19 adults. The frequency of articular degeneration was...
significantly higher ($\chi^2 = 7.90, p = 0.000$) in upper (43/80 = 53.8%) than lower limbs (11/39 = 28.2%) among adults (considering shoulder and elbow, hip and knee) (Fig. 4). This result was corroborated by a significantly higher ($\chi^2 = 7.23, p = 0.010$) frequency of osteoarthritis in hands and wrists (362/528 = 68.6%) than in feet and ankles (219/366 = 59.8%) of adults (Fig. 4). Men (22/35 = 62.9%) showed more affected articular facets of upper limbs than women (17/40 = 42.5%). However, this difference reached no statistical significance, due to the small sample with estimated sex. Altogether the osteoarthrosis results suggested that more intense and/or frequent activities were carried out with upper than lower limbs, especially among males.
From the remains of 61 individuals, only three presented evidences of trauma. One young adult of undetermined sex showed a partially fractured but healing ulna and a clavicle with a healing wound. Another adult of undetermined sex presented healing fractures in the upper left radius and in a phalanx. Both these individuals showed fractures suggestive of accidents. Only one adult male showed evidence of interpersonal violence. Just above the nucal crest, his occipital showed a compressed, elliptical (~2 × 1 cm) wound, with porosity, indicating a healing inflammation possibly secondary to a violent cranial trauma.
**Infectious diseases**
The frequency of periostitis in the bones excavated at Moraes reached values ranging from 17.6% (radius) to 47.6% (femur) among juveniles and 0 (fibula) to 27.8% (tibia) among adults depending on the bone (Fig. 5). Juveniles (<21 years old) presented a significantly ($\chi^2 = 10.27, p = 0.00$) higher frequency of periostitis (35/104 = 33.7%) than adults (13/93 = 14.0%) as seen in Fig. 5, holding true for all long bones analysed. Osteomyelitis was also more frequent among juveniles (7/45 = 15.6%) than adults (2/33 = 6.1%), but reached no statistical significance. The bone most often affected with osteomyelitis in juveniles was the tibia (4/17 = 23.5%), followed by radius (2/17 = 11.8%) and femur (1/21 = 4.8%). Among
adults the bone most often affected with osteomyelitis was the femur (1/15 = 6.7%), followed closely by the tibia (1/18 = 5.6%).
There was only one individual with clear evidence of treponematosis in the analysed sample. It was a robust adult of undetermined sex, whose disturbed burial contained disarticulated, but very well preserved long bone fragments. Diaphyses of tibiae, femora and a fibula presented active lytic, porous and gummatus lesions, signs of osteomyelitis (however without evidence of cloacae) and bony bridges (Fig. 6). The bony bridges seemed to have covered blood vessels running up the femoral shaft. On cross section, the medullary cavities of the femora were reduced and there was anterior thickening of the tibiae and one of the femora. Although the cranium was not present and could not be evaluated, the observations on the long bones suggest treponematosis.
**Other markers**
Only nine orbital roofs and 17 parietals and occipitals more than 50% complete could be analysed for *cribra orbitalia* and porotic hyperostosis, yielding frequencies of 55.6% and 41.2% respectively. Although not statistically significant, juveniles presented a higher frequency of *cribra orbitalia* (*cribra*: 4/6 = 66.7%; hyperostosis: 3/10 = 33.3%), whereas adults showed a higher frequency of porotic hyperostosis (*cribra*: 1/3 = 33.3%; hyperostosis: 4/7 = 57.1%). In fact, four among five recorded *cribra orbitalia* were associated with juveniles and were still active at death, and all four adult cranial bones with porotic hyperostosis were already remodelled at death. Curiously, when dividing the already small sample according to sex, males tended to show higher frequencies of *cribra orbitalia* (2/5) as well as porotic hyperostosis (4/5) than females (0/5 and 2/5 respectively). If this was not due to a bias, males seemed to had suffered more from nutritional and health problems than females.
Stature could be calculated only for four adults (two men and two women). As seen in Fig. 7, women were expectedly smaller than men, the sexual dimorphism...
Fig. 6. Lesions of a robust adult of undetermined sex (Moraes burial 40 or Sep XL): (a) bony bridges and gummaceous lesions-femur; (b) active lithic and porous lesion-femur; (c) reduced medullary cavity-femur and (d) lesions on fibula.
varying between 10.6 and 13.1 cm. Adult male (143.45, SD = 2.74; 150.58, SD = 3.92 cm) and female (133.39, SD = 3.61; 137.57, SD = 2.54 cm) stature in Moraes was very short.
Discussion
The ecological and size differences between the culturally similar settlements occupied by inland and coastal shellmound groups in south-southeastern Brazil, led us to investigate whether this settlement distinctiveness had an impact on health.
status of the inland group. Specifically we tested, in comparison to the published data on coastal groups, if the rare evidence of fish and mollusc remains in the riverine shellmound led to (1) higher caries rates and (2) lower frequency of auditory exostoses and (3) whether the small size of the riverine shellmound translated into lower population density, and thus to rare occurrence of communicable infectious diseases.
Place, time and nature of the contact of Brazilian inland populations with those living at the coast (Barreto, 1988; Schmitz, 1996; Schmitz et al., 1993) are still a matter of discussion. One of the regions where this contact was not hindered by geographic barriers is the Ribeira valley. The only reasonably large human osteological collection excavated in this region, contemporaneous and geographically close to most of the already better studied coastal shellmounds, is the riverine shellmound Moraes. This paper, apart from testing the above-mentioned hypotheses, also represents the first bioarchaeological report on the Moraes site for an international readership. Albeit a unique opportunity for research, the osteological collection of this recently excavated riverine shellmound has clear drawbacks, precluding palaeodemographic studies and hindering the estimation of osteological markers per individual, until further material can be analysed. Thus, the results presented and discussed herein are frequencies per anatomical unit or bone. Whilst these problems can only be resolved through new excavations, the Moraes osteological collection today is the only one in Brazil that permits testing adaptation to a riverine palaeoenvironment of a shellmound group with clear cultural associations to the shellmound dwellers living at the coast. In the following sections we address and discuss each of the initial hypotheses.
**High caries frequency, carbohydrate rich diet and short stature**
The frequency of 12% carious teeth in Moraes lies well above the less than 4% rates found for the majority of coastal shellmound groups that lived in southsoutheastern Brazil (Neves and Wesolowski, 2002; Scheel-Ybert et al., 2003). Some rare coastal series of this region, however, do show caries frequencies between 6% and 13%, and albeit not associated with pottery, their diet must have been rich in carbohydrates (Neves and Wesolowski, 2002; Scheel-Ybert et al., 2003; Wesolowski, 2000). These high caries frequencies for hunter-gatherers are not unique: Palaeoamericans from Santana do Riacho and Sumidouro, located in the State of Minas Gerais (see Fig. 1), show about 9% of their teeth affected by caries (Neves and Cornero, 1997). Thus, the people from Moraes must also have had a cariogenic diet with high carbohydrate intake, as opposed to the majority, but not all, coastal shellmound builders.
Often high caries rates have been directly associated with plant domestication. The small sample size however, did not permit us to clearly distinguish if the dental wear pattern resembled more that of a hunter-gatherer diet or the pattern associated with a diet based on domesticated plants. Thus, the dental wear analysis in Moraes must be considered either non-informative or indicative of a mixed diet, but it seems to exclude a typical agricultural diet. This last observation is based on the high frequency of neck caries that suggests food impaction characteristic for hunter-gatherer diet. Similar dental wear studies of human remains from coastal shellmounds have indicated a hunter-gatherer diet in eight among nine sites studied (Scheel-Ybert et al., 2003).
The results of microfossil analysis of dental calculus show that Moraes’ high caries rate (12%) is possibly associated with a significantly higher concentration of starch grains (some of them cooked) in dental calculus than that observed in the people from the coastal site Jabuticabeira II (Boyadjian et al., 2007), who show a very low caries frequency (0.44%—Okumura and Eggers, 2005). Considering this evidence and the absence of indicators of plant domestication at a large scale, we conclude that the cariogenic intake in Moraes possibly consisted of energy rich plants, such as tubers (Boyadjian et al., 2007), gathered randomly and/or harvested as a product of incipient horticulture.
Zooarchaeological studies suggest that protein intake in Moraes was composed of a wide range of small terrestrial game, such as little primates, peccary, skunk and small deer (Figuti et al., 2004). In contrast, most coastal shellmound groups based their subsistence mainly on fish (Scheel-Ybert et al., 2003).
These indicators and the fact, that the Atlantic forest is a combination of coastal rainforest and semi-deciduous forest with high species diversity (Morellato and Haddad, 2000), suggest that protein and caloric intake among the Moraes people could have been adequate. If this inference is correct, the very short stature of the people from Moraes is unexpected. Even in comparison to adult stature of coastal sambaquis and other prehistoric and extant Amerindians (156–167 cm for males and 148–157 cm for females—Okumura and Eggers, 2005; Scheel-Ybert et al., 2003; Storto et al., 1999), the people from Moraes are indeed very small (males: 141–155 cm; females: 130–140 cm).
Since, in Moraes, malnutrition might be excluded as an explanation for adult stature stunting, other physiological stressors, must be explored. Two markers are especially useful for that: *cribra orbitalia* and porotic hyperostosis. The high
frequencies of *cribra orbitalia* (56%) and porotic hyperostosis (41%) found in the sample from Moraes suggest that childhood and growth in Moraes was physiologically stressing, especially for males. These juvenile stress indicators are also frequent in most coastal shellmound builders, ranging from 20% to 70% (Mendonça de Souza, 1995; Neves and Wesolowski, 2002; Okumura and Eggers, 2005; Scheel-Ybert et al., 2003; Storto et al., 1999). Since the frequencies of these markers in Moraes are not much different as compared to the majority of coastal sites (with higher adult stature), they do not satisfactorily explain adult stature stunting in this inland site.
An alternative or complementary hypothesis for adult stature stunting regards the frequent unspecific infections that affect significantly more juveniles than adults. Indeed juveniles from Moraes show significantly higher frequencies of periostitis than adults (34% and 14%). High frequency of infections can be expected since infant mortality is usually high in prehistoric populations, although the high mortality of adolescents is usually not expected (Aufderheide and Rodriguez-Martín, 1998; Waldron, 1994). Furthermore, juveniles and especially children are more prone to infectious diseases and parasitism (Reinhard, 1992) and show weaker immunological responses especially in the weaning period. Frequencies of stress indicators in Moraes (*cribra orbitalia*, porotic hyperostosis, unspecific infections) decrease from juveniles to adults, suggesting that nutrition and general health at this site may have improved with adulthood.
Frequency of unspecific infections in adults, however, seems not to have been so high in Moraes. The rate of adult tibiae affected with periostitis (28%) is lower than in eight of nine coastal shellmounds, where frequencies range from 20% to 96% (Scheel-Ybert et al., 2003). Thus, overall, infectious diseases seem not to have afflicted the adults from the inland group as intensely as they usually did affect the coastal groups. In fact, some of the causes leading to high infection rates among coastal dwellers, such as frequent contact with dead animals (molluscs used for site construction), living in swamp regions with brackish waters, rendering a high pathogenic load (Mendonça de Souza, 1995) do not apply to Moraes because of its site location characteristics (Eggers, in press; Figuti et al., 2004). On the other hand, the good overall health index reported for the coastal shellmounds analysed by Neves and Wesolowski (2002), and interpreted as a consequence of natural waste removal by the tide, also does not apply to Moraes.
Finally, the main contributors to adult stature stunting in Moraes (if not a bias) seem not to have been either generalised malnutrition or (adaptation to) recurrent infections. Either the premise that caloric and dietary protein intake was sufficient is incorrect or many factors acted together to lead to such a small adult stature. Identification of plants eaten, microfossil identification in stone tools, research on enamel hypoplasia, stable isotopes and elemental analyses are among the subjects that should be studied to further elucidate this question.
In conclusion, the caries data and the inferences made on palaeodiet so far confirm the first hypothesis addressed in this paper: the people of Moraes had a higher caries rate than the coastal populations. This must be related, at least in part, to less frequent intake of aquatic foods, as predicted, and also to a more cariogenic food
intake than is inferred for most coastal shellmounds. It should be stressed however, that no evidence, until now, supports an agricultural subsistence for this group.
**Frequency of auditory exostoses—aquatic activity?**
Curiously, the frequency of auditory exostoses (traditionally seen as an aquatic activity marker) is as high (22%) in Moraes as in coastal shellmounds from South Brazil (23–24%) and higher than in nearby coastal states of São Paulo and Paraná (16%) (Okumura et al., 2007). This is especially noteworthy when considering that the people from Moraes did not live at the coast or near lakes; they did not base their subsistence on aquatic resources (despite the rare fishhooks and scarce marine faunal remains found at the site); and, they lived in a subtropical environment, where this frequency is usually low, even in people highly dependent on aquatic resources (Okumura et al., 2007). The high frequency of auditory exostoses in Moraes could be due to (a) a small sample size; (b) cold atmospheric temperatures associated with strong wind chill effects, (c) frequent contact with water during trips to and seasons (perhaps preferably winter) spent at the southern coast or (d) bathing or bathing rituals where an ear is exposed to thermal shock (as described in detail in Lambert, 2001). To reject the suggestion of a small sample size, more skeletons need to be excavated and analysed. There is not enough data on palaeoclimate in nearby regions thus, the suggestion (b) cannot be entirely rejected (but see Melo et al., 2003). Even in view of the total lack of ethnographic data on bathing rituals for prehistoric populations of this region, the suggestion (d) also cannot be rejected, because these rituals were documented for many different extant Brazilian Amerindian tribes, such as the Kaigang (Baptista da Silva, 2002). The possibility (c) is discussed below.
Although the results of osteoarthritis distribution in the human bones from Moraes show that the peoples’ upper limbs were more frequently and more intensely affected than their lower limbs, no specific activity can be considered as the only contributing factor. What can be said is that walking distances seem to have been relatively small in comparison to the effort, frequency and intensity of physical activities carried out with the upper limbs. These would include aquatic activities, as suggested for coastal sambaqui groups (Neves, 1986; Okumura and Eggers, 2005; Petronilho, 2005; Rodrigues-Carvalho, 2004), and indirectly supported by the few marine faunal elements found at this inland shellmound. However, inland site distribution, zooarchaeological, caries and dental calculus results seem not to be in conformity with that, since few fish remains, a high caries rate and many starch grains suggesting highly cariogenic (and low marine) diet were found. It is intriguing, however, that the data on auditory exostoses may be interpreted as pointing towards aquatic activities. If indeed they were carried out intensely by the people of Moraes, males seem to have engaged more often in these activities than females, since males show significantly more osteoarthritis in upper than in lower limbs, whereas females do not; and only males from Moraes have auditory exostoses. Another explanation would be a matrilocal social pattern, where males would have come from the coast to live with inland women in Moraes. However, cranial biodistance data have not
yielded significant differences between men and women in Moraes, most probably due to the small sample size (Okumura and Neves, 2005).
The excavation of larger samples of both sexes from Moraes for biodistance analyses is needed in order to shed more light on the possibility of matrilocal pattern. Additionally, stable isotope studies should reveal whether diet, especially among males, was based more on marine resources than zooarchaeological data have revealed until now. This is to see whether men spent much time living in coastal environments. Alternatively, more intensive articular degeneration in upper than lower limbs can also occur as a result of polishing stone artefacts, as those found in Moraes (Figuti et al., 2004). But this assumption seems not so parsimonious. Finally, as mentioned before, the ritual bathing hypothesis developed by Lambert (2001) cannot be excluded in the case of the people from Moraes, since accounts on ritual bathing abound for extant Brazilian Amerindian groups.
In conclusion, the second hypothesis tested in this paper is rejected, since this inland shellmound population does not show as low a frequency of auditory exostoses as has been expected. What caused the high frequency of auditory exostoses in the Moraes group has to be further investigated.
**Inferences on treponemal disease**
Some inferences about contact with other human groups can be drawn on the basis of contagious diseases. Although, among the human remains from Moraes only one incomplete but well preserved skeleton of a robust adult of undetermined sex showed evidence of treponematosis. Treponematoses have been repeatedly reported among pre-columbian Amerindians, especially in sedentary agricultural groups with high population density (Hutchinson and Richman, 2006; Larsen, 1994).
One single case of treponematosis in a group of 61 individuals does not allow stringent inferences about population density. This is based on the finding that the same types of skeletal lesions suggestive of treponematosis appear in the archaic as in the later pre-contact groups of North America (Powell and Cook, 2005). However, the prevalence of treponemal diseases in North-American Indians rises sharply from pre-sedentary and small archaic groups (5.8%) to the beginning of village life (with much higher population density) by 1000 BCE (9.0%). If the varying percentage of yaws-seropositive people with bone lesions (8.5–58.0%; Manning and Ogle, 2002; Pampiglione and Wilkinson, 1975) will be considered, then it can be assumed that in Moraes, many more individuals than the one found with the treponemal osseous lesions, could have been infected by some kind of treponematosis. However, these individuals are not showing bony signs of the disease, as predicted by the osteological paradox. For this reason this single case is noteworthy. This also adds new data to the very scanty information on pre-contact treponematosis in non-Andean South America (Brothwell, 2005).
On the other hand, Moraes was a relatively small site, thus high population density would not be expected there. Alternatively, treponematoses in huge, sedentary, complex coastal shellmounds nearby, could have been the source of infection among the people from Moraes during their hypothetic seasonal trips to
the coast. The scarcity of reports about treponematoses in shellmound populations (but see, Okumura and Eggers, 2005), unfortunately still precludes inferences about where and how exactly the people from Moraes might have become infected with treponematoses.
The last and important evidence linking riverine and coastal shellmound builders in southeastern Brazil is their cranial and dental morphology. Although there is one study reporting significant difference of non-metric cranial variables between these groups (Filippini and Eggers, 2005/2006), two other studies reach different conclusions, possibly due to the fact that more sites have been included for comparison (Eggers, in press). These reveal the gene flow between the inhabitants of Moraes and those living on nearby seashores of the states of São Paulo and Paraná (Bartolomucci, 2006; Okumura and Neves, 2005).
If there was the gene flow between the riverine shellmound dwellers from Moraes and the shellmound groups from the coastal strip of the São Paulo and Paraná states, and this was significant, and if those people at the coast were numerous living in high population density, then this combination of factors could explain the presence of treponematosis in Moraes.
As found for most coastal shellmound dwellers of south and southeastern Brazil (Lessa, 2005/2006; Lessa and Medeiros, 2001; Okumura and Eggers, 2005; Storto et al., 1999), the people from Moraes also seem to be rarely engaged in interpersonal conflicts that lead to physical violence and accidents. Only one out of 61 Moraes individuals showed lesions compatible with violence. From this perspective, life seems to have been tranquil for these people since trauma of any origin was very rare. Thus, considering that shellmound dwellers from the inland and the coast show low trauma rates, the contact between these groups must have been amicable. This conclusion might be wrong when we consider the incomplete state of the osteological collection and, that bones with lesions can more frequently get damaged by taphonomic factors than the healthy ones, thus, leading to underestimation of trauma occurrence.
Finally, according to the third hypothesis, it was predicted that the small size of the site would translate into low population density and thus, low frequency of communicable infectious diseases. Albeit controversial, the evidence available until the present, points towards the rejection of this hypothesis. The single case of possible treponematosis in Moraes can suggest higher population density than predicted, or can suggest contact with other groups where treponemae could thrive. Of these two explanations the second seems more reasonable, since there are genetic affinities between Moraes and nearby coastal groups, some marine faunal remains in the inland site and cultural similarities between riverine and coastal shellmounds.
Concluding remarks
Of the three initial hypotheses one was confirmed, one was rejected and the last partly rejected. High caries frequency is indeed suggesting a cariogenic diet;
frequency of auditory exostoses is unexpectedly high suggesting seasons spent at the coast, whereas the single case of treponematosis may point to a higher population density or to contacts with groups living in conditions where treponematosis could have an impact on the population.
There are many bioanthropological similarities between the riverine shellmound Moraes and coastal sambaquis in the south-southeastern part of Brazil. These similarities include (a) auditory exostoses with equally high frequencies (this work; Okumura et al., 2007); (b) significantly more frequent osteoarthritis in upper than in lower limbs (this work and Scheel-Ybert et al., 2003; Scheel-Ybert et al., in press); (c) similarities in craniometric and non-metric dental characteristics (Bartolomucci, 2006; Okumura and Neves, 2005) and finally (d) low frequencies, if any, of violent trauma (this work; Lessa, 2005/2006; Lessa and Medeiros, 2001; Okumura and Eggers, 2005). These biological similarities are in accordance with some cultural similarities between these two groups such as the use of shark teeth, ray spines, hooks, and especially the habit of collecting shells and using them for site construction in both types of sites.
There are also differences in some important aspects. The riverine group seems to have subsisted on a much broader protein diet and consumed more cariogenic food than did the coastal groups. Nevertheless, the stature of the riverine people is even smaller than of the coastal people. The reasons for that are not yet clear, and need further investigation. In general, there seems to be enough time for the people at the riverine site Moraes to adapt to local conditions.
Acknowledgements
Without the invaluable help of the following people and institutions this study could not have been carried out: CHC Boyadjian, L Bartolomucci, MMM Okumura, P Vargas, R Bartolomucci, DLA de Faria, L Figuti, Museu de Arqueologia e Etnologia da USP. We are also thankful for the comments and suggestions of the three anonymous referees, which greatly improved this paper. Financial support comes from FAPESP 1999-12684-2 and the grant given to Sabine Eggers by the Fulbright Organization to support Karl Reinhard’s visit to São Paulo to, among others, discuss the way of life of the people from Moraes, are greatly appreciated.
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Commutativity-Based Locking for Nested Transactions
Alan Fekete
Nancy Lynch
Michael Merritt
William Weihl
21 July 1989
Abstract
We present a new model for describing and reasoning about transaction-processing algorithms. The model provides a comprehensive, uniform framework for rigorous correctness proofs. The model generalizes previous work on concurrency control to encompass nested transactions and type-specific concurrency control algorithms. Using our model, we describe general conditions for a concurrency control algorithm to be correct—i.e., to ensure that transactions appear to be atomic.
We also present a new concurrency control algorithm for abstract data types in a nested transaction system. The algorithm uses commutativity properties of operations to allow high levels of concurrency. The results of operations, in addition to their names and arguments, can be used in checking for conflicts, further increasing concurrency. We show, using our general model, that the new algorithm is correct. We also present a read-update locking algorithm due to Moss and prove it correct.
The correctness proofs for the algorithms are modular, in the sense that we consider a system structure consisting of many objects, with concurrency control and recovery performed independently at each object. We define a condition on individual objects, called *dynamic atomicity*, which has the property that as long as all objects in the system are dynamic atomic, transactions will appear atomic. We then show that each algorithm, considered at a single object, ensures dynamic atomicity. This means that different algorithms can be used at different objects; as long as each ensures dynamic atomicity, global atomicity of transactions is guaranteed.
The work of the first and second authors was supported in part by the Office of Naval Research under Contract N00014-85-K-0168, by the National Science Foundation under Grant CCR-8611442, and by the Defense Advanced Research Projects Agency (DARPA) under Contract N00014-83-K-0125. The work of the fourth author was supported in part by the National Science Foundation under Grant CCR-8716884, and by the Defense Advanced Research Projects Agency (DARPA) under Contract N00014-83-K-0125.
Authors' addresses:
Alan Fekete: Department of Computer Science, University of Sydney, NSW 2006, Australia.
Nancy Lynch: MIT Laboratory for Computer Science, 545 Technology Square, Cambridge, MA 02139.
Michael Merritt: AT&T Bell Laboratories, 600 Mountain Avenue, Murray Hill, NJ 07974.
William Weihl: MIT Laboratory for Computer Science, 545 Technology Square, Cambridge, MA 02139.
Keywords:
transactions, atomicity, nested transaction, locking, concurrency control, serializability, recovery, I/O automata.
1. Introduction
This paper has two main contributions. First, we present a comprehensive model for nested transaction systems. The model allows rigorous proofs of a wide variety of transaction-processing algorithms in a single uniform framework. The model generalizes most previous work on concurrency control to encompass nested transactions and type-specific concurrency control algorithms. We use the model to define correctness for nested transaction systems, and also to discuss alternative correctness criteria.
Second, we present a new concurrency control and recovery algorithm for abstract data types in a nested transaction system, and prove it correct. The algorithm, which generalizes an algorithm developed by Weihl [42, 39] to handle nested transactions, uses commutativity properties of operations to achieve high levels of concurrency. The results of operations, in addition to their names and arguments, can be used in checking for conflicts, further increasing concurrency.
As part of our development of the general model, we present a theorem that provides a general sufficient condition for a transaction-processing algorithm to be correct. This condition is analogous to the "absence of cycles" condition used in the more classical work on concurrency control (e.g., see [7]). We use the condition as the basis of the correctness proof of the algorithms presented in this paper. We have also used it in other work to prove the correctness of other algorithms. For example, in [2], we prove the correctness of Reed's multi-version timestamping algorithm [34] and of a type-specific variation of Reed's algorithm that uses the semantics of operations to permit more concurrency.
The description and correctness proof of our algorithm are modular. We consider a system structure consisting of many objects, with concurrency control and recovery performed independently at each object. We define a condition on individual objects, called dynamic atomicity, with the property that as long as all objects in the system are dynamic atomic, transactions will appear atomic. We then show that our algorithm, when used to implement a single object, ensures dynamic atomicity. This means that our algorithm can be used at some objects, and other algorithms at other objects in the same system; as long as each algorithm ensures dynamic atomicity, global atomicity of transactions is guaranteed.
Dynamic atomicity is ensured by a wide range of concurrency control algorithms, including most popular variations on two-phase locking [9]. We also present the read-update locking algorithm developed by Moss [29] for nested transactions and prove that it ensures dynamic atomicity.
The generality of the model presented here is illustrated in part by the two algorithms that are described and verified in this paper, and by the proofs of the timestamp-based algorithms (including multi-version algorithms) in [2]. In addition, with others we have used the model presented here to prove the correctness of algorithms for management of replicated data [12] and of orphan transactions [17].
The remainder of this paper is organized as follows. We begin in Section 2 with some background on nested transactions and a brief discussion of related work. Then, in Sections 3 through 5, which constitute the first major part of this paper, we present our general model. In Section 3, we describe input/output automata, which provide the formal foundation for our work.
In Section 4, we define correctness for a nested transaction system. Finally, in Section 5, we present our Serializability Theorem, which describes general sufficient conditions that can be used to prove the correctness of many concurrency control algorithms.
In Sections 6 through 9, which constitute the second major part of this paper, we describe our new algorithm and Moss's algorithm and prove them correct. In Section 6, we define dynamic atomicity and prove that it is a local atomicity property [42, 40]—i.e., that if each object in a system is dynamic atomic, then the system is correct. In Section 7, we define the properties of operations, such as commutativity, that are used by the two algorithms to be presented later. Next, in Section 8, we present our new commutativity-based locking algorithm and prove it correct. Finally, in Section 9, we present the description and proof of Moss's read-update locking algorithm.
Finally, we conclude the paper in Section 10 with a summary and a discussion of future work.
2. Background
The abstract notion of "atomic transaction" was originally developed to hide the effects of failures and concurrency in centralized database systems. It has since been generalized to incorporate a nested structure, and has been applied to problems in both centralized and distributed systems.
2.1. Atomic Transactions
Roughly speaking, a transaction is a sequence of accesses to data objects; it should execute "as if" it ran with no interruption by other transactions. Moreover, a transaction can complete either successfully or unsuccessfully, by "committing" or "aborting". If it commits, any alterations it makes to the database should be lasting; if it aborts, it should be "as if" it never altered the database at all. The execution of a set of transactions should be "serializable", that is, equivalent to an execution in which no transactions run concurrently and in which all accesses of committed transactions, but no accesses of aborted transactions, are performed.
The original motivation for transactions was to provide a way of maintaining the consistency of a database. Maintaining consistency is difficult because the hardware can fail, and because users can access the database concurrently. Transactions provide fault-tolerance by guaranteeing that either all or none of the effects of a transaction occur. Transactions also simplify the problems of concurrent access by synchronizing the access of concurrent users so that the users appear to access the database sequentially. The net effect is that one can guarantee that consistency is preserved by ensuring that each transaction, when run alone and to completion, preserves consistency. Given that each transaction preserves consistency, any serial execution of transactions without failures (i.e., where each transaction runs to completion) also preserves consistency. Since any serializable concurrent execution is equivalent to a serial execution without failures, any serializable concurrent execution also preserves consistency.
Although much of the database literature focuses on preserving consistency, this alone is not enough. Consider, for example, a simple database system in which no transaction ever actually modifies the database. Such a database is always in a consistent state (assuming that the initial state is consistent), but it is not very useful. A useful system should also guarantee something
about the connection between different transactions, and between transactions and the database state. For example, ordinary serializability requires the final state of the database to be the same as after a serial execution in which the same transactions occur. The "view serializability" condition insists in addition that accesses to data return the same values as in the equivalent serial execution. Also, either ordinary serializability or view serializability can be augmented by an "external consistency" condition, which requires that the order of transactions in the equivalent serial execution should be compatible with the order in which transaction invocations and responses occur. A discussion of several correctness conditions can be found in Chapter 2 of the book by Papadimitriou [33].
Recently, transactions have been explored as a way of organizing programs for distributed systems [23, 37]. Here, their purpose is not just to provide a way of keeping the state of the database consistent, but also to provide the programmer with mechanisms that simplify reasoning about programs. Failures and concurrency make it harder to reason about programs because of the complexity of the interactions among concurrent activities, and because of the multitude of failure modes. (See, for instance, the banking example in [23].) Transactions help here by allowing the programmer to view a complex piece of code as if it is run atomically: it appears to happen instantaneously, and it happens either completely or not at all.
2.2. Nested Transactions
In order for transactions to be useful for general distributed programming, the notion needs to be extended to include nesting. Thus, in addition to accesses to data objects, a transaction can also contain subtransactions. The transaction nesting structure can be described by a forest, with the top-level transactions at the roots and the accesses to data at the leaves. (We do not place any constraints on the structure of the transaction trees. For example, we do not require all the leaves to be at the same level. Instead, leaves may occur at any level, so that a top-level transaction might itself be a leaf representing a single data access, or might invoke both a subtransaction and a data access as children.) The semantics of nested transactions generalize those of ordinary transactions as follows. Each set of sibling transactions or subtransactions is supposed to execute serializably. As with top-level transactions, subtransactions can commit or abort. Each set of sibling transactions runs as if all the transactions that committed ran in a serial order, and all the transactions that aborted did not run at all. An external consistency property is also required for each set of siblings, ensuring that if a transaction waits for one child T to complete before invoking another child T', then T is before T' in the apparent serial order.
Nested transactions provide a flexible programming mechanism. They allow the programmer to describe more concurrency than would be allowed by single-level transactions, by having transactions request the creation of concurrent subtransactions. They also allow localized handling of transaction failures. When a subtransaction commits or aborts, the commit or abort is reported to its parent transaction. The parent can then decide on its next action based on the reported results. For example, if a subtransaction aborts, its parent can use the reported abort to trigger another subtransaction, one that implements some alternative action. This flexible mechanism for handling failures is especially useful in distributed systems, where failures are more common because of unreliable communication, and where one node can keep running while another node is down.
Nested transactions are useful in other ways in distributed systems. For example, they can be
used to implement remote procedure calls with a "zero or once" semantics: the call appears to happen either zero or one times despite retransmissions of request messages caused by poorly chosen timeouts, lost acknowledgements and other problems of unreliable communication. This is accomplished by treating incomplete or redundant calls as aborted subtransactions of the caller, and undoing their activity without aborting the successful call. For another example, nested transactions aid in the construction of replicated systems. The reading and writing of individual copies of data objects can be done as subtransactions; even if some of the copies fail to respond (causing their subtransactions to fail), the overall transaction can still succeed if enough of the copies respond.
The idea of nested transactions seems to have originated in the "spheres of control" work of Davies [8]. Reed [34] developed the current notion of nesting and designed a timestamp-based implementation. Moss [29] later designed a locking implementation that serves as the basis of the implementation of the Argus programming language. The notion of nesting studied here is analogous to levels of procedural abstractions. A related but more complex notion of nesting, emphasizing levels of data abstraction, is used in System R and has been studied in a number of papers, including work by Beeri, et al. [5, 4], Moss, et al. [30] and Weikum [44].
### 2.3. Transaction-Processing Algorithms
Many algorithms have been proposed and used for implementing non-nested atomic transactions [9, 38, 20] and also for implementing nested transactions [34, 29]. These algorithms make use of various techniques, including some based on locks, timestamps, multiple versions of data objects, and multiple replicas. The most popular algorithms in practice are probably "read-update" locking algorithms such as those in [9, 29], in which transactions must acquire read locks or update locks on data objects in order to access the objects in the corresponding manner. Update locks are defined to conflict with other locks on the same data object, and conflicting locks are not permitted to be held simultaneously. Thus, a transaction that updates a data object prevents or delays the operation of any other transaction that also wishes to update the same object. The recent book by Bernstein et al. [7] provides an excellent survey of many of the most important transaction-processing algorithms for non-nested transactions.
While read-update locking is simple and widely used, in some situations it can result in poor performance. Many systems contain "concurrency bottlenecks": for example, if the data is organized into a graph structure, the roots of the structure are likely to be accessed by most of the transactions. If read-update locking is used, a transaction that modifies the roots will prevent any other transaction from accessing the root until the modifying transaction commits and releases its lock. Thus, most transactions will be blocked for a significant period, and throughput will suffer. Examples of such situations arise in index structures (e.g., a B-tree) and in resource allocation problems (e.g., a free list of disk blocks). Concurrency bottlenecks also occur when the database contains data that summarizes other data, such as a record of the total assets of a bank. In such cases, most transactions that update the database will need to update the summary data, and thus will exclude one another from concurrent activity if update locks need to be obtained on the summary data.
In the last decade, many researchers have explored using type-specific concurrency control algorithms to avoid concurrency bottlenecks (e.g., see [19, 42, 40, 39, 36, 1, 5, 4, 30, 43, 44, 31]). Read-update locking itself is a simple example
of such an algorithm: transactions executing read operations can be allowed to run concurrently without sacrificing atomicity. The correctness of this algorithm depends on type-specific properties of the transactions, namely, that certain operations do not modify the state of the database. This example can be generalized to allow more concurrency than can be permitted by read-update locking. For example, operations on summary data such as the total assets of a bank often include increment, decrement, and read operations. Increment and decrement operations are executed by transactions that transfer money into or out of the bank. Using read-update locking, transactions executing increment and decrement operations must exclude each other. However, it is possible to design more permissive concurrency control algorithms for this example, using the fact that increment and decrement operations commute to allow transactions executing them to run concurrently. (Cf. IMS Fast Path [11].)
In this paper we present and prove correct two algorithms: a read-update locking algorithm developed by Moss [29], and a new commutativity-based locking algorithm, which allows transactions to proceed concurrently as long as their operations commute (in a precise sense to be defined below). Our commutativity-based locking algorithm generalizes most existing type-specific locking algorithms in several ways. First, it works for nested transactions. Second, it works for arbitrary abstract data types, including types whose operations may be both partial and nondeterministic. Third, it allows the results of operations, as well as their names and arguments, to be used in checking for conflicts; this gives the effect of a finer "granularity" of locking, thus providing more concurrency. The algorithm is based on one developed by Weihl [42, 39], generalized to handle nested transactions.
2.4. Formal Models
There are two reasons why a formal model is needed for reasoning about atomic transactions. First, the implementors of languages that contain transactions need a model with which to reason about the correctness of their implementations. Some of the algorithms that have been proposed for implementing transactions are complicated, and informal arguments about their correctness are not convincing. In fact, it is not even obvious how to state the precise correctness conditions to be satisfied by the implementations; a model is needed for describing the semantics of transactions carefully and formally. Second, if programming languages containing transactions become popular, users of these languages will need a model to help them reason about the behavior of their programs.
Much of the prior work on formal models is summarized in [7]. This "classical" theory is primarily applicable to single-level transactions, rather than nested transactions. It treats both concurrency control and recovery algorithms, although the treatments of the two kinds of algorithms are not completely integrated. The theory assumes a system organization in which accesses are passed from the transactions to a "scheduler", which determines the order in which they are to be performed by the database. The database handles recovery from transaction abort and media failure, so that each access to one data object is performed in the state resulting from all previous non-aborted accesses to that object. "Serializability" is defined in this model by requiring an execution of the same system to exist in which the transactions run one at a time (without interleaving of steps from different transactions) and perform the same steps. Proofs for some algorithms are presented, primarily based on one combinatorial theorem, the "Serializability Theorem". This important basic theorem states that serializability is equivalent to the absence of cycles in a graph representing dependencies among transactions.
There has also been some recent work extending some of the ideas of the classical theory to encompass nested transactions involving levels of data abstraction [5, 4, 44]); this work is aimed at developing proof techniques for type-specific concurrency control algorithms, such as the commutativity-based locking algorithm presented later in this paper.
The classical theory and its extensions to handle type-specific algorithms have several limitations that we have tried to avoid in our work. First, the notion of correctness, stated as it is in terms of the existence of a serial execution of the *same* system, is too restrictive. The implementation of the system does not serve as an adequate specification of the permissible serial executions, particularly when the specification permits operations to be nondeterministic but the implementation restricts the nondeterminism. In the approach we describe in this paper, we define the correctness of a system relative to a *separate* specification of the permissible serial executions.
Second, the classical theory defines correctness for a particular system organization. In early work, such as [32], the interface between the scheduler and the database that is described is suitable for single-version locking and timestamp algorithms (in the absence of transaction aborts), but is much less appropriate for other kinds of algorithms. Multi-version algorithms and replicated data algorithms, for example, maintain state information in a form that is quite different from the (single-copy latest-value) form used for the simple algorithms, and the appropriate interface between the scheduler and the database is also different. In later work, such as [18, 6], the interface between the scheduler and the database is changed to accommodate multi-version algorithms. In effect, a different model is used to define correctness for different classes of algorithms. It seems more appropriate, and useful in not unduly restricting possible implementations, to state correctness conditions in a way that does not depend on the details of a particular system organization, and that does not require different definitions for different classes of algorithms.
Third, most of the classical work ignores recovery. Typically, the informal assumption that “some underlying recovery mechanism ensures that aborted transactions have no effect” is captured formally by studying only executions in which all transactions commit. In the process, however, assumptions are made about the way in which the database processes operations; in particular, the database is assumed to use an “update-in-place” strategy, which requires basing recovery on some sort of “undo log”. (In the work that does include a model of recovery and aborts (e.g., [30, 15]), similar assumptions are made about the use of an update-in-place strategy for recovery.) As shown by Weihl [41], there are useful concurrency control and recovery algorithms based on other approaches to recovery that do not match the assumptions made in the classical theory (e.g., a “deferred-update” strategy, using intentions lists [21, 28] for recovery).
Furthermore, the different strategies for recovery place different constraints on concurrency control, so that there exist intuitively correct concurrency control algorithms that use intentions lists for recovery that do not work with undo logs, and hence cannot be considered correct in a model that restricts recovery to an update-in-place strategy.
There are other aspects of the classical work that seem to make it difficult to extend to handle nested transactions. For example, there is no operational model (i.e., an execution model, or operational semantics) for transactions; instead, they are characterized using axioms about their executions. We have found many situations in which such an operational model is useful. For
example, it is possible for a transaction to create a subtransaction because of the fact that an earlier subtransaction aborted; an operational model is helpful in capturing this dependence. Also, it is sometimes interesting to describe how the same transaction would behave in different systems. Such reasoning is facilitated by an operational model, such as the one used in this paper, that clarifies which actions occur under the transaction's control, and which are due to activity of the environment.
The model we present in this paper provides an explicit operational model for transactions and for the other components of a system. Our definition of correctness, described in detail later in the paper, relies on a specification of the acceptable behavior of a system in the absence of concurrency and failures; this specification is separate from the description of the system itself. Taking this approach allows us to give a single definition of correctness that applies to a wide range of systems, including both single-version and multi-version systems, as well as systems that use a wide range of methods for recovery. Our model includes explicit events for aborts; as discussed later in the paper, this avoids restrictive assumptions about recovery that are made in the classical theory.
Another difference between our work and the "classical" work on concurrency control is that we include more events in our model. For example, we include separate events for the request by a transaction to perform an access to an object, the invocation of the access at the object, the completion of the access at the object, the decision by the system that the access is to be committed rather than aborted, and the report to the transaction of the results of the access. In the classical theory, these five separate events from our model would be represented by a single event. Partly because of the technical tools that we employ in this paper, we have found it convenient to distinguish these different events. In addition, the introduction of nesting and aborts into the model, both of which are missing in the classical theory, requires us to state certain properties that seem difficult to state without distinguishing between these different events. At the same time, however, our model is more complex because of the greater level of detail. Some of this complexity may be inherent in the systems being studied, and some is certainly due to our desire to state definitions and results so that they apply to as broad a range of systems as possible.
In earlier work, Lynch [24] provided a complete proof of an exclusive locking algorithm for nested transactions, but the framework used there does not appear to extend easily to treat many other transaction-processing algorithms. The approach taken in this paper was started by Lynch and Merritt in [25] with an analysis of an exclusive locking algorithm, and developed further [10] with an analysis of a read/write locking algorithm. In this paper we present a theory that is significantly more general than that used in this earlier work.
3. The Input/Output Automaton Model
In order to reason carefully about complex concurrent systems such as those that implement atomic transactions, it is important to have a simple and clearly defined formal model for concurrent computation. The model we use for our work is the input/output automaton model [26, 27]. This model allows careful and readable descriptions of concurrent algorithms and of the correctness conditions that they are supposed to satisfy. The model can serve as the basis for rigorous proofs that particular algorithms satisfy particular correctness conditions.
This section contains an introduction to a simple special case of the model that is sufficient for use in this paper. Since we consider only properties of finite executions in this paper, we omit aspects of the model that are concerned with describing and verifying "liveness" or "fairness" properties.
3.1. Mathematical Preliminaries
We rely on several basic mathematical concepts in this paper. To make the paper self-contained, and to avoid confusion about possibly non-standard terminology, we summarize these concepts here.
An *irreflexive partial order* is a binary relation that is irreflexive, antisymmetric and transitive. Two binary relations $R$ and $S$ are *consistent* if their union can be extended to an irreflexive partial order (or in other words, if their union has no cycles).
The formal subject matter of this paper is concerned with finite and infinite sequences describing the executions of automata. Usually, we will be discussing sequences of elements from a universal set of *actions*. Formally, a *sequence* $\beta$ of actions is a mapping from a prefix of the positive integers to the set of actions. We describe the sequence by listing the images of successive integers under the mapping, writing $\beta = \pi_1\pi_2\pi_3...$. Since the same action may occur several times in a sequence, it is convenient to distinguish the different occurrences. Thus, we refer to a particular occurrence of an action in a sequence as an *event*. Formally, an *event* in a sequence $\beta = \pi_1\pi_2...$ of actions is an ordered pair $(i,\pi)$, where $i$ is a positive integer and $\pi$ is an action, such that $\pi_i$, the $i^{th}$ action in $\beta$, is $\pi$.
If $\beta$ is a sequence of actions and $A$ is a set of actions, then $\beta|A$, the *projection of $\beta$ on the set $A$*, is the subsequence of $\beta$ containing exactly the occurrences in $\beta$ of actions in $A$.
A set of sequences $P$ is *prefix-closed* provided that whenever $\beta \in P$ and $\gamma$ is a prefix of $\beta$, it is also the case that $\gamma \in P$. Similarly, a set of sequences $P$ is *limit-closed* provided that any sequence all of whose finite prefixes are in $P$ is also in $P$.
3.2. Basic Definitions
Each system component is modeled as an "I/O automaton", which is a mathematical object somewhat like a traditional finite-state automaton. However, an I/O automaton need not be finite-state, but can have an infinite state set. The actions of an I/O automaton are classified as either "input", "output" or "internal". This classification is a reflection of a distinction in the system being modeled between events (such as the receipt of a message) that are caused by the environment, events (such as sending a message) that the component can perform when it chooses and that affect the environment, and events (such as changing the value of a local variable) that a component can perform when it chooses, but that are undetectable by the environment except through their effects on later events. In the model, an automaton generates output and internal actions autonomously, and transmits output actions instantaneously to its environment. In contrast, the automaton's input is generated by the environment and transmitted
---
1We use the symbols $\beta$, $\gamma,...$ for sequences of actions and the symbols $\pi$, $\phi$ and $\psi$ for individual actions.
instantaneously to the automaton. The distinction between input and other actions is fundamental, based on who determines when the action is performed: an automaton can establish restrictions on when it will perform an output or internal action, but it is unable to block the performance of an input action.
3.2.1. Action Signatures
A formal description of the classification of an automaton’s actions is given by an “action signature”. An *action signature* $S$ is an ordered triple consisting of three pairwise-disjoint sets of actions. We write $\text{in}(S)$, $\text{out}(S)$ and $\text{int}(S)$ for the three components of $S$, and refer to the actions in the three sets as the *input actions*, *output actions* and *internal actions* of $S$, respectively. We let $\text{ext}(S) = \text{in}(S) \cup \text{out}(S)$ and refer to the actions in $\text{ext}(S)$ as the *external actions* of $S$. Also, we let $\text{local}(S) = \text{int}(S) \cup \text{out}(S)$, and refer to the actions in $\text{local}(S)$ as the *locally controlled actions* of $S$. Finally, we let $\text{acts}(S) = \text{in}(S) \cup \text{out}(S) \cup \text{int}(S)$, and refer to the actions in $\text{acts}(S)$ as the *actions* of $S$.
An *external action signature* is an action signature consisting entirely of external actions, that is, having no internal actions. If $S$ is an action signature, then the *external action signature* of $S$ is the action signature $\text{extsig}(S) = (\text{in}(S), \text{out}(S), \emptyset)$, i.e., the action signature that is obtained from $S$ by removing the internal actions.
3.2.2. Input/Output Automata
An *input/output automaton* $A$ (also called an *I/O automaton* or simply an *automaton*) consists of four components:
- an action signature $\text{sig}(A)$,
- a set $\text{states}(A)$ of states,
- a nonempty set $\text{start}(A) \subseteq \text{states}(A)$ of start states, and
- a transition relation $\text{steps}(A) \subseteq \text{states}(A) \times \text{acts}(\text{sig}(A)) \times \text{states}(A)$, with the property that for every state $s'$ and input action $\pi$ there is a transition $(s', \pi, s)$ in $\text{steps}(A)$.\(^2\)
Note that the set of states need not be finite. We refer to an element $(s', \pi, s)$ of $\text{steps}(A)$ as a *step* of $A$. The step $(s', \pi, s)$ is called an *input step* of $A$ if $\pi$ is an input action, and *output steps*, *internal steps*, *external steps* and *locally controlled steps* are defined analogously. If $(s', \pi, s)$ is a step of $A$, then $\pi$ is said to be *enabled* in $s'$. Since every input action is enabled in every state, automata are said to be *input-enabled*. The input-enabling property means that an automaton is not able to block input actions. If $A$ is an automaton, we sometimes write $\text{acts}(A)$ as shorthand for $\text{acts}(\text{sig}(A))$, and likewise for $\text{in}(A)$, $\text{out}(A)$, etc. An I/O automaton $A$ is said to be *closed* if all its actions are locally controlled, i.e., if $\text{in}(A) = \emptyset$.
Note that an I/O automaton can be “nondeterministic”, by which we mean two things: that more than one locally controlled action can be enabled in the same state, and that the same action, applied in the same state, can lead to different successor states. This nondeterminism is
\(^2\)I/O automata, as defined in [26], also include a fifth component, an equivalence relation on $\text{local}(\text{sig}(A))$. This component is used for describing fair executions, and is not needed for the results described in this paper.
an important part of the model’s descriptive power. Describing algorithms as nondeterministically as possible tends to make results about the algorithms quite general, since many results about nondeterministic algorithms apply *a fortiori* to all algorithms obtained by restricting the nondeterministic choices. Moreover, the use of nondeterminism helps to avoid cluttering algorithm descriptions and proofs with inessential details. Finally, the uncertainties introduced by asynchrony make nondeterminism an intrinsic property of real concurrent systems, and so an important property to capture in our formal model of such systems.
### 3.2.3. Executions, Schedules and Behaviors
When a system is modeled by an I/O automaton, each possible run of the system is modeled by an “execution”, an alternating sequence of states and actions. The possible activity of the system is captured by the set of all possible executions that can be generated by the automaton. However, not all the information contained in an execution is important to a user of the system, or to an environment in which the system is placed. We believe that what is important about the activity of a system is the externally visible events, and not the states or internal events. Thus, we focus on the automaton’s “behaviors” — the subsequences of its executions consisting of external (i.e., input and output) actions. We regard a system as suitable for a purpose if any possible sequence of externally visible events has appropriate characteristics. Thus, in the model, we formulate correctness conditions for an I/O automaton in terms of properties of the automaton’s behaviors.
Formally, an *execution fragment* of $A$ is a finite sequence $s_0 \pi_1 s_1 \pi_2 \ldots \pi_n s_n$ or infinite sequence $s_0 \pi_1 s_1 \pi_2 \ldots \pi_n s_n \ldots$ of alternating states and actions of $A$ such that $(s_i, \pi_{i+1}, s_{i+1})$ is a step of $A$ for every $i$ for which $s_{i+1}$ exists. An execution fragment beginning with a start state is called an *execution*. We denote the set of executions of $A$ by $\text{execs}(A)$, and the set of finite executions of $A$ by $\text{finexecs}(A)$. A state is said to be *reachable* in $A$ if it is the final state of a finite execution of $A$.
The *schedule* of an execution fragment $\alpha$ of $A$ is the subsequence of $\alpha$ consisting of actions, and is denoted by $\text{sched}(\alpha)$. We say that $\beta$ is a *schedule* of $A$ if $\beta$ is the schedule of an execution of $A$. We denote the set of schedules of $A$ by $\text{scheds}(A)$ and the set of finite schedules of $A$ by $\text{finscheds}(A)$. The *behavior* of a sequence $\beta$ of actions in $\text{acts}(A)$, denoted by $\text{beh}(\beta)$, is the subsequence of $\beta$ consisting of actions in $\text{ext}(A)$. The *behavior* of an execution fragment $\alpha$ of $A$, denoted by $\text{beh}(\alpha)$, is defined to be $\text{beh}(\text{sched}(\alpha))$. We say that $\beta$ is a *behavior* of $A$ if $\beta$ is the behavior of an execution of $A$. We denote the set of behaviors of $A$ by $\text{behs}(A)$ and the set of finite behaviors of $A$ by $\text{finbehs}(A)$.
An *extended step* of an automaton $A$ is a triple of the form $(s', \beta, s)$, where $s'$ and $s$ are in $\text{states}(A)$, $\beta$ is a finite sequence of actions in $\text{acts}(A)$, and there is an execution fragment of $A$ having $s'$ as its first state, $s$ as its last state and $\beta$ as its schedule. (This execution fragment might consist of only a single state, in the case that $\beta$ is the empty sequence.) If $\gamma$ is a sequence of actions in $\text{ext}(A)$, we say that $(s', \gamma, s)$ is a *move* of $A$ if there is an extended step $(s', \beta, s)$ of $A$ such that $\gamma = \text{beh}(\beta)$.
We say that a finite schedule $\beta$ of $A$ *can leave* $A$ in state $s$ if there is some finite execution $\alpha$ of $A$ with final state $s$ and with $\text{sched}(\alpha) = \beta$. We say that an action $\pi$ is *enabled after* a finite schedule $\beta$ of $A$ if there is a state $s$ such that $\beta$ can leave $A$ in state $s$ and $\pi$ is enabled in $s$.
If $\alpha$ is any sequence of actions and $A$ is an automaton, we write $\alpha|A$ for $\alpha|\text{acts}(A)$.
### 3.3. Composition
Often, a single system can also be viewed as a combination of several component systems interacting with one another. To reflect this in our model, we define an operation called “composition”, by which several I/O automata can be combined to yield a single I/O automaton. Our composition operator connects each output action of the component automata with the identically named input actions of any number (usually one) of the other component automata. In the resulting system, an output action is generated autonomously by one component and is thought of as being instantaneously transmitted to all components having the same action as an input. All such components are passive recipients of the input, and take steps simultaneously with the output step.
#### 3.3.1. Composition of Action Signatures
We first define composition of action signatures. Let $I$ be an index set that is at most countable. A collection $\{S_i\}_{i \in I}$ of action signatures is said to be strongly compatible\(^3\) if we have
1. $\text{out}(S_i) \cap \text{out}(S_j) = \emptyset$, for all $i, j \in I$ such that $i \neq j$,
2. $\text{int}(S_i) \cap \text{acts}(S_j) = \emptyset$, for all $i, j \in I$ such that $i \neq j$, and
3. no action is in $\text{acts}(S_i)$ for infinitely many $i$.
Thus, no action is an output of more than one signature in the collection, and internal actions of any signature do not appear in any other signature in the collection. Moreover, we do not permit actions involving infinitely many component signatures.
The composition $S = \prod_{i \in I} S_i$ of a collection of strongly compatible action signatures $\{S_i\}_{i \in I}$ is defined to be the action signature with
- $\text{in}(S) = \bigcup_{i \in I} \text{in}(S_i) - \bigcup_{i \in I} \text{out}(S_i)$,
- $\text{out}(S) = \bigcup_{i \in I} \text{out}(S_i)$, and
- $\text{int}(S) = \bigcup_{i \in I} \text{int}(S_i)$.
Thus, output actions are those that are outputs of any of the component signatures, and similarly for internal actions. Input actions are any actions that are inputs to any of the component signatures, but outputs of no component signature.
#### 3.3.2. Composition of Automata
A collection $\{A_i\}_{i \in I}$ of automata is said to be strongly compatible if their action signatures are strongly compatible. The composition $A = \prod_{i \in I} A_i$ of a strongly compatible collection of automata $\{A_i\}_{i \in I}$ has the following components:\(^4\)
- $\text{sig}(A) = \prod_{i \in I} \text{sig}(A_i)$,
---
\(^3\)A weaker notion called “compatibility” is defined in [26], consisting of the first two of the three given properties only. For the purposes of this paper, only the stronger notion will be required.
\(^4\)Note that the second and third components listed are just ordinary Cartesian products, while the first component uses a previous definition.
• states(A) = $\prod_{i \in I}$ states($A_i$),
• start(A) = $\prod_{i \in I}$ start($A_i$), and
• steps(A) is the set of triples $(s', \pi, s)$ such that for all $i \in I$, (a) if $\pi \in \text{acts}(A_i)$ then $(s'[i], \pi, s[i]) \in \text{steps}(A_i)$, and (b) if $\pi \not\in \text{acts}(A_i)$ then $s'[i] = s[i]$.
Since the automata $A_i$ are input-enabled, so is their composition, and hence their composition is an automaton. Each step of the composition automaton consists of all the automata that have a particular action in their action signature performing that action concurrently, while the automata that do not have that action in their signature do nothing. We will often refer to an automaton formed by composition as a “system” of automata.
If $\alpha = s_0 \pi_1 s_1 \ldots$ is an execution of A, let $\alpha|A_i$ be the sequence obtained by deleting $\pi_j s_j$ when $\pi_j$ is not an action of $A_i$, and replacing the remaining $s_i$ by $s_j[i]$. Recall that we have previously defined a projection operator for action sequences. The two projection operators are related in the obvious way: $\text{sched}(\alpha|A_i) = \text{sched}(\alpha)|A_i$; and similarly $\text{beh}(\alpha|A_i) = \text{beh}(\alpha)|A_i$.
In the course of our discussions we will often reason about automata without specifying their internal actions. To avoid tedious arguments about compatibility, henceforth we assume that unspecified internal actions of any automaton are unique to that automaton, and do not occur as internal or external actions of any of the other automata we discuss.
All of the systems that we will use for modeling transactions are closed systems, that is, each action is an output of some component. Also, each output of a component will be an input of at most one other component.
### 3.3.3. Properties of Systems of Automata
Here we give basic results relating executions, schedules and behaviors of a system of automata to those of the automata being composed. The first result says that the projections of executions of a system onto the components are executions of the components, and similarly for schedules, etc.
**Proposition 1:** Let $\{A_i\}_{i \in I}$ be a strongly compatible collection of automata, and let $A = \prod_{i \in I} A_i$. If $\alpha \in \text{execs}(A)$ then $\alpha|A_i \in \text{execs}(A_i)$ for all $i \in I$. Moreover, the same result holds for $\text{finexecs}$, $\text{scheds}$, $\text{finscheds}$, $\text{behs}$ and $\text{finbehs}$ in place of $\text{execs}$.
Certain converses of the preceding proposition are also true. In particular, we can prove that schedules of component automata can be “patched together” to form a schedule of the composition, and similarly for behaviors.
**Proposition 2:** Let $\{A_i\}_{i \in I}$ be a strongly compatible collection of automata, and let $A = \prod_{i \in I} A_i$.
1. Let $\beta$ be a sequence of actions in $\text{acts}(A)$. If $\beta|A_i \in \text{scheds}(A_i)$ for all $i \in I$, then $\beta \in \text{scheds}(A)$.
2. Let $\beta$ be a finite sequence of actions in $\text{acts}(A)$. If $\beta|A_i \in \text{finscheds}(A_i)$ for all
---
5We use the notation $s[i]$ to denote the $i^{th}$ component of the state vector $s$.
i ∈ I, then β ∈ finscheds(A).
3. Let β be a sequence of actions in ext(A). If β|A_i ∈ behs(A_i) for all i ∈ I, then β ∈ behs(A).
4. Let β be a finite sequence of actions in ext(A). If β|A_i ∈ finbehs(A_i) for all i ∈ I, then β ∈ finbehs(A).
The preceding proposition is useful in proving that a sequence of actions is a behavior of a composition A: it suffices to show that the sequence’s projections are behaviors of the components of A and then to appeal to Proposition 2.
### 3.4. Implementation
We define a notion of “implementation” of one automaton by another. Let A and B be automata with the same external action signature, i.e., with extsig(A) = extsig(B). Then A is said to implement B if finbehs(A) ⊆ finbehs(B). One way in which this notion can be used is the following. Suppose we can show that an automaton B is “correct”, in the sense that its finite behaviors all satisfy some specified property. Then if another automaton A implements B, A is also correct. One can also show that if A implements B, then replacing B by A in any system yields a new system in which all finite behaviors are behaviors of the original system.\(^6\)
In order to show that one automaton implements another, it is often useful to demonstrate a correspondence between states of the two automata. Such a correspondence can often be expressed in the form of a kind of abstraction mapping that we call a “possibilities mapping”, defined as follows. Suppose A and B are automata with the same external action signature, and suppose f is a mapping from states(A) to the power set of states(B). That is, if s is a state of A, f(s) is a set of states of B. The mapping f is said to be a possibilities mapping from A to B if the following conditions hold:
1. For every start state s_0 of A, there is a start state t_0 of B such that t_0 ∈ f(s_0).
2. Let s’ be a reachable state of A, t’ ∈ f(s’) a reachable state of B, and (s’, π, s) a step of A. Then there is an extended step, (t’, γ, t), of B (possibly having an empty schedule) such that the following conditions are satisfied:
a. γ|ext(B) = π|ext(A), and
b. t ∈ f(s).
**Proposition 3:** Suppose that A and B are automata with the same external action signature and there is a possibilities mapping, f, from A to B. Then A implements B.
---
\(^6\)A stronger and often useful notion of “A implements B” would require both finite \textit{and infinite} behaviors of A to be behaviors of B, behs(A) ⊆ behs(B). As observed by Rosenkrantz et al. [35], this condition is too strong for us to use in defining correctness conditions for the locking algorithms considered in this paper.
3.5. Preserving Properties
Although automata in our model are unable to block input actions, it is often convenient to restrict attention to those behaviors in which the environment provides inputs in a "sensible" way, that is, where the environment obeys certain "well-formedness" restrictions. A useful way of discussing such restrictions is in terms of the notion that an automaton "preserves" a property of behaviors: as long as the environment does not violate the property, neither does the automaton. Such a notion is primarily interesting for properties that are prefix-closed and limit-closed. Let $\Phi$ be a set of actions and $P$ be a nonempty, prefix-closed, limit-closed set of sequences of actions in $\Phi$ (i.e., a nonempty, prefix-closed, limit-closed "property" of such sequences). Let $A$ be an automaton with $\Phi \cap \text{int}(A) = \emptyset$. We say that $A$ preserves $P$ if $\beta\pi|A \in \text{finbehs}(A)$, $\pi \in \text{out}(A)$ and $\beta|\Phi \in P$ together imply that $\beta\pi|\Phi \in P$. (Note that in the case $\Phi \cap \text{out}(A) = \emptyset$, $A$ trivially preserves $P$.)
Thus, if an automaton preserves a property $P$, the automaton is not the first to violate $P$: as long as the environment only provides inputs such that the cumulative behavior satisfies $P$, the automaton will only perform outputs such that the cumulative behavior satisfies $P$. Note that the fact that an automaton $A$ preserves a property $P$ does not imply that all of $A$'s behaviors, when restricted to $\Phi$, satisfy $P$; it is possible for a behavior of $A$ to fail to satisfy $P$, if an input causes a violation of $P$. However, the following proposition gives a way to deduce that all of a system's behaviors satisfy $P$. The proposition says that if all components of a system preserve $P$, then all the behaviors of the composition satisfy $P$.
**Proposition 4:** Let $\{A_i\}_{i \in I}$ be a strongly compatible collection of automata, and let $A = \prod_{i \in I} A_i$. Let $\Phi$ be a set of actions such that $\Phi \cap \text{int}(A) = \emptyset$, and let $P$ be a nonempty, prefix-closed, limit-closed set of sequences of actions in $\Phi$. If every $A_i$ preserves $P$, then $A$ preserves $P$; if in addition, $A$ is closed, then $\text{behs}(A)|\Phi \subseteq P$.
4. Serial Systems and Correctness
In this section, we develop the formal machinery needed to define correctness for transaction-processing systems. Unlike much of the classical work on concurrency control, which defines correctness of a transaction-processing system in terms of the existence of a serial execution of the same system, we define correctness by first giving a separate specification of the permissible serial executions as seen by users of the system, and then defining how executions of a transaction-processing system must relate to this specification.\footnote{Work that has analyzed multi-version concurrency control algorithms (e.g., [6]) has taken a similar approach of using a separate specification of the serial executions, but has not developed a general structure that applies to a wide range of algorithms.} We specify the permissible serial executions in terms of a system of automata, called a "serial system". A serial system has a structure that looks much like a transaction-processing system, but is constrained not to run transactions concurrently and not to allow aborted transactions to access data.
4.1. Overview
Transaction-processing systems consist of user-provided transaction code, plus transaction-processing algorithms designed to coordinate the activities of different transactions. The transactions are written by application programmers in a suitable programming language. Transactions are permitted to invoke operations on data objects. In addition, if nesting is allowed, then transactions can invoke subtransactions and receive responses from the subtransactions describing the results of their processing.
In a transaction-processing system, the transaction-processing algorithms interact with the transactions, making decisions about when to schedule subtransactions and operations on objects. In order to carry out such scheduling, the transaction-processing algorithms may manipulate locks, multiple copies of objects, and other data structures. In the system organization emphasized by the classical theory, the transaction processing algorithms are divided into a "scheduler algorithm" and a "database" of objects. The scheduler has the power to decide when operations are to be performed on the objects in the database, but not to perform more complex manipulations on objects (such as maintaining multiple copies). Although this organization is popular, it does not encompass all useful system designs.
In this paper, each component of a transaction-processing system is described as an I/O automaton. In particular, each transaction is an automaton, and all the transaction-processing algorithms together comprise another automaton. Sometimes, as when describing serial systems or explaining our algorithms, we will use a more detailed structure, and present the transaction-processing algorithms as a composition of a collection of automata, one representing each object, and one representing the rest of the system.
It is not obvious how one ought to model the nested structure of transactions within the I/O automaton model. One might consider defining special kinds of automata that have a nested structure. However, it appears that the cleanest way to model this structure is to describe each subtransaction in the transaction nesting structure as a separate automaton. If a parent transaction T wishes to invoke a child transaction T', T will issue an output action that "requests that T' be created". The transaction-processing algorithms receive this request, and at some later time might decide to issue an action that is an input to the child T' and corresponds to the "creation" of T'. Thus, the different transactions in the nesting structure comprise a forest of automata, communicating with each other indirectly through the transaction-processing automaton. The highest-level user-defined transactions, i.e., those that are not subtransactions of any other user-defined transactions, are the roots in this forest.
It is actually more convenient to model the transaction nesting structure as a tree rather than as a forest. Thus, we add an extra "root" automaton as a "dummy transaction", located at the top of the transaction nesting structure. The highest-level user-defined transactions are considered to be children of this new root. The root can be thought of as modeling the outside world, from which invocations of top-level transactions originate and to which reports about the results of such transactions are sent; indeed, we will generally regard the boundary between this root transaction and the rest of the system as the "user interface" to the system. The use of the root transaction works out nicely in the formal development: in most cases, the reasoning we do about this dummy root transaction is the same as the reasoning we do about ordinary transactions, so that regarding the root as a transaction leads to economy in our formal arguments.
The main purpose of this section is to define correctness conditions to be satisfied by transaction-processing systems. In general, correctness conditions for systems composed of I/O automata are stated in terms of properties of sequences of external actions, and we will follow that convention in this paper. Here it seems most natural to define correctness conditions in terms of the actions occurring at the boundary between the transactions (including the dummy root transaction) and the transaction-processing automaton. For it is immaterial how the transaction-processing algorithms work, as long as the outside world and the transactions see "correct" behavior.
We define correct behavior for a transaction-processing system in terms of the behavior of a particular and heavily constrained transaction-processing system, one that processes all transactions serially. We call such a system a "serial system". Serial systems consist of transaction automata and "serial object automata" composed with a "serial scheduler automaton". Transaction automata have already been mentioned above. Serial object automata serve as specifications for permissible object behavior. They describe the responses the objects should make to arbitrary sequences of operation invocations, assuming that later invocations wait for responses to previous invocations. Serial objects are much like the ordinary typed variables that occur in sequential programming languages; they serve the same purpose as the "serial specifications" for data objects used by Weihl [42, 40].
The serial scheduler handles the communication among the transactions and serial objects, and thereby controls the order in which the transactions take steps. It ensures that no two sibling transactions are active concurrently—that is, it runs each set of sibling transactions serially. The serial scheduler is also responsible for deciding if a transaction commits or aborts. The serial scheduler can permit a transaction to abort only if its parent has requested its creation, but it has not actually been created. Thus, in a serial system, all sets of sibling transactions are run serially, and in such a way that no aborted transaction ever performs any steps.
It is important to understand that serial systems are introduced solely to serve as the specification of the permissible serial behaviors. Since serial systems allow no concurrency among sibling transactions, and cannot cope with a transaction that fails after it has started running, they are not sufficiently general to serve directly as a model of real transaction-processing systems. However, they are quite adequate as a basis for the definition of correctness of more interesting systems. In later sections, we will describe some systems that do allow concurrency and recovery from transaction failures. (For example, they undo the effects of aborted transactions that have performed significant activity.) We prove that these systems are correct in the sense that certain transactions, in particular the root transaction, are unable to distinguish these systems from corresponding serial systems. In other words, it appears to these transactions as if all siblings run serially, and that aborted transactions were never created.
In the remainder of this section, we develop all the necessary machinery for defining serial systems. First, we define a type structure used to name transactions and objects. Then we describe the general structure of a serial system—the components it includes, the actions the components perform, and the way that the components are interconnected. Next, we define several useful concepts involving the actions of a serial system. We then define the components of the serial system in detail, and state some basic properties of serial systems. Finally, we use serial systems to state the correctness conditions that we will use for the remainder of this paper.
4.2. System Types
We begin by defining a type structure that will be used to name the transactions and objects in a serial system.
A system type consists of the following:
- a set $T$ of transaction names,
- a distinguished transaction name $T_0 \in T$;
- a subset accesses of $T$ not containing $T_0$,
- a mapping parent: $T - \{T_0\} \rightarrow T$, which configures the set of transaction names into a tree, with $T_0$ as the root and the accesses as the leaves,
- a set $X$ of object names,
- a mapping object: accesses $\rightarrow X$, and
- a set $V$ of return values.
Each element of the set "accesses" is called an access transaction name, or simply an access. Also, if object($T$) = $X$ we say that $T$ is an access to $X$.
In referring to the transaction tree, we use standard tree terminology, such as "leaf node", "internal node", "child", "ancestor", and "descendant". As a special case, we consider any node to be its own ancestor and its own descendant, i.e., the "ancestor" and "descendant" relations are reflexive. We also use the notion of a "least common ancestor" (lca) of two nodes.
The transaction tree describes the nesting structure for transaction names, with $T_0$ as the name of the dummy "root transaction". Each child node in this tree represents the name of a subtransaction of the transaction named by its parent. The children of $T_0$ represent names of the top-level user-defined transactions. The accesses represent names for the lowest-level transactions in the transaction nesting structure; we will use these lowest-level transactions to model operations on data objects. Thus, the only transactions that actually access data are the leaves of the transaction tree, and these do nothing else. The internal nodes model transactions whose function is to create and manage subtransactions (including accesses), but they do not access data directly.
The tree structure should be thought of as a predefined naming scheme for all possible transactions that might ever be invoked. In any particular execution, however, only some of these transactions will actually take steps. We imagine that the tree structure is known in advance by all components of a system. The tree will, in general, be an infinite structure with infinite branching.
Classical concurrency control theory, as represented, for example, in [7], considers transactions having a simple nesting structure. As modeled in our framework, that nesting structure has three levels; the top level consists of the root $T_0$, modeling the outside world, the next level consists of all the user-defined transactions, and the lowest level consists of the accesses to data objects.
The set $X$ is the set of names for the objects used in the system. Each access transaction name
is assumed to be an access to some particular object, as designated by the "object" mapping. The set $V$ of return values is the set of possible values that might be returned by successfully completed transactions to their parent transactions.
If $T$ is an access transaction name and $v$ is a return value, we say that the pair $(T,v)$ is an operation of the given system type. Thus, an operation includes a designation of a particular access to an object, together with a designation of the value returned by the access.
4.3. General Structure of Serial Systems
A serial system for a given system type is a closed system consisting of a "transaction automaton" $A_T$ for each non-access transaction name $T$, a "serial object automaton" $S_X$ for each object name $X$, and a single "serial scheduler automaton". Later in this section, we will give a precise definition for the serial scheduler automaton, and will give conditions to be satisfied by the transaction and object automata. Here, we just describe the signatures of the various automata, in order to explain how the automata are interconnected.
The following diagram depicts the structure of a serial system.
**Figure 1: Serial System Structure**
The transaction nesting structure is indicated by dotted lines between transaction automata corresponding to parent and child, and between each serial object automaton and the transaction
automata corresponding to parents of accesses to the object. The direct connections between automata (via shared actions) are indicated by solid lines. Thus, the transaction automata interact directly with the serial scheduler, but not directly with each other or with the object automata. The object automata also interact directly with the serial scheduler.
**Figure 2: Transaction Automaton**
Figure 2 shows the interface of a transaction automaton in more detail. Transaction T has an input CREATE(T) action, which is generated by the serial scheduler in order to initiate T's processing. We do not include explicit arguments to a transaction in our model; rather, we suppose that there is a different transaction for each possible set of arguments, and so any input to the transaction is encoded in the name of the transaction. In addition, T has REQUEST_CREATE(T') actions for each child T' of T in the transaction nesting structure; these are requests for creation of child transactions, and are communicated directly to the serial scheduler. At some later time, the scheduler might respond to a REQUEST_CREATE(T') action by issuing a CREATE(T') action, an input to transaction T'. Transaction T also has REPORT_COMMIT(T',v') and REPORT_ABORT(T') input actions, by which the serial scheduler informs T about the fate (commit or abort) of its previously requested child T'. In the case of a commit, the report includes a return value v' that provides information about the activity of T'; in the case of an abort, no information is returned. Finally, T has a REQUEST_COMMIT(T,v) output action, by which it announces to the scheduler that it has completed its activity successfully, with a particular result as described by return value v.
Figure 3 shows the object interface. Object X has input CREATE(T) actions for each T that is an access to X. These actions should be thought of as invocations of operations on object X. Object X also has output actions of the form REQUEST_COMMIT(T,v), representing responses to the invocations. The value v in a REQUEST_COMMIT(T,v) action is a return value returned by the object as part of its response. (We have chosen to use the “create” and “request_commit” notation for the object actions, rather than the more familiar “invoke” and “respond” terminology, in the interests of uniformity: there are many places in our formal arguments where access transactions can be treated uniformly with non-access transactions, and so it is useful to have a common notation for them.)
Figure 4 shows the serial scheduler interface. The serial scheduler receives the previously mentioned REQUEST_CREATE and REQUEST_COMMIT actions as inputs from the other system components. It produces CREATE actions as outputs, thereby awakening transaction automata or invoking operations on objects. It also produces COMMIT(T) and ABORT(T) actions for arbitrary transactions $T \neq T_0$, representing decisions about whether the designated transactions commit or abort. For technical convenience, we classify the COMMIT and ABORT actions as output actions of the serial scheduler, even though they are not inputs to any other system component.\(^8\) Finally, the serial scheduler has REPORT_COMMIT and REPORT_ABORT actions as outputs, by which it communicates the fates of transactions to their parents.
As is always the case for I/O automata, the components of a system are determined statically. Even though we referred earlier to the action of “creating” a child transaction, the model treats the child transaction as if it had been there all along. The CREATE action is treated formally as an input action to the child transaction; the child transaction will be constrained not to perform any output actions until such a CREATE action occurs. A consequence of this method of modeling dynamic creation of transactions is that the system must include automata for all possible transactions that might ever be created, in any execution. In most interesting cases, this means that the system will include infinitely many transaction automata.
\(^8\)Classifying actions as outputs even though they are not inputs to any other system component is permissible in the I/O automaton model. In this case, it would also be possible to classify these two actions as internal actions of the serial scheduler, but then the statements and proofs of the ensuing results would be slightly more complicated.
4.4. Serial Actions and Well-Formedness
The serial actions for a given system type are defined to be the external actions of a serial system of that type. These are just the actions listed in the preceding subsection: CREATE(T) and REQUEST_COMMIT(T,v), where T is any transaction name and v is a return value, and REQUEST_CREATE(T), COMMIT(T), ABORT(T), REPORT_COMMIT(T,v), and REPORT_ABORT(T) where $T \neq T_0$ is a transaction name and v is a return value.\(^9\)
In this subsection, we define some basic concepts involving serial actions. All the definitions in this subsection are based on the set of serial actions only, and not on the specific automata in the serial system. For this reason, we present these definitions here, before going on (in the next subsection) to give more information about the system components.
We first present some basic definitions, and then we define “well-formedness” for sequences of external actions of transactions and objects.
4.4.1. Basic Definitions
The COMMIT(T) and ABORT(T) actions are called completion actions for T, while the REPORT_COMMIT(T,v) and REPORT_ABORT(T) actions are called report actions for T.
With each serial action $\pi$ that appears in the interface of a transaction or object automaton (that is, with any non-completion action), we associate a transaction in the natural way: let T be any transaction name. If $\pi$ is one of the serial actions CREATE(T), REQUEST_COMMIT(T,v), REQUEST_CREATE(T'), REPORT_COMMIT(T',v') or REPORT_ABORT(T'), where T' is a child of T, then we define transaction($\pi$) to be T. If $\pi$ is a completion action, then transaction($\pi$) is undefined. In some contexts, we will need to associate a transaction with completion actions as well as with other serial actions; since a completion action for T can be thought of as occurring “in between” T and parent(T), we will sometimes want to associate T and sometimes parent(T) with the action. Thus, we extend the “transaction($\pi$)” definition in two different ways. If $\pi$ is any serial action, then we define hightransaction($\pi$) to be transaction($\pi$) if $\pi$ is not a completion action, and to be parent(T), if $\pi$ is a completion action for T. Also, if $\pi$ is any serial action, we define lowtransaction($\pi$) to be transaction($\pi$) if $\pi$ is not a completion action, and to be T, if $\pi$ is a completion action for T. In particular, hightransaction($\pi$) = lowtransaction($\pi$) = transaction($\pi$) for all serial actions other than completion actions.
We also require notation for the object associated with any serial action whose transaction is an access. If $\pi$ is a serial action of the form CREATE(T) or REQUEST_COMMIT(T,v), where T is an access to X, then we define object($\pi$) to be X.
We extend the preceding notation to events as well as actions. For example, if $\pi$ is an event, then we write transaction($\pi$) to denote the transaction of the action of which $\pi$ is an occurrence. We extend the definitions of “hightransaction”, “lowtransaction”, and “object” similarly. We will extend other notation in this paper in the same way, without further explanation.
\(^9\)Later in the paper, we will define other kinds of systems besides serial systems, namely, simple systems and generic systems. These will also include the serial actions among their external actions; we will still refer to these actions as “serial actions” even though they appear in non-serial systems.
Recall that an operation is a pair \((T, v)\), consisting of an access transaction name and a return value. We can associate operations with a sequence of serial actions: if \(\beta\) is a sequence of serial actions, we say that the operation \((T, v)\) occurs in \(\beta\) if there is a REQUEST_COMMIT\((T, v)\) event in \(\beta\). Conversely, we can associate serial actions with a sequence of operations: for any operation \((T, v)\), let perform\((T, v)\) denote the two-action sequence CREATE\((T)\) REQUEST_COMMIT\((T, v)\), the expansion of \((T, v)\) into its two parts. This definition is extended to sequences of operations in the natural way: if \(\xi'\) is a sequence of operations of the form \(\xi'(T, v)\), then perform\((\xi') = \text{perform}(\xi') \text{perform}(T, v)\). Thus, the "perform" function expands a sequence of operations into a corresponding alternating sequence of CREATE and REQUEST_COMMIT actions.
Now we require terminology to describe the status of a transaction during execution. Let \(\beta\) be a sequence of serial actions. A transaction name \(T\) is said to be active in \(\beta\) provided that \(\beta\) contains a CREATE\((T)\) event but no REQUEST_COMMIT event for \(T\). Similarly, \(T\) is said to be live in \(\beta\) provided that \(\beta\) contains a CREATE\((T)\) event but no completion event for \(T\). (However, note that \(\beta\) may contain a REQUEST_COMMIT for \(T\).) Also, \(T\) is said to be an orphan in \(\beta\) if there is an ABORT\((U)\) action in \(\beta\) for some ancestor \(U\) of \(T\).
We have already used projection operators to restrict action sequences to particular sets of actions, and to actions of particular automata. We now introduce another projection operator, this time to sets of transaction names. Namely, if \(\beta\) is a sequence of serial actions and \(U\) is a set of transaction names, then \(\beta|U\) is defined to be the sequence \(\beta|\{\pi : \text{transaction}(\pi) \in U\}\). If \(T\) is a transaction name, we sometimes write \(\beta|T\) as shorthand for \(\beta|\{T\}\). Similarly, if \(\beta\) is a sequence of serial actions and \(X\) is an object name, we sometimes write \(\beta|X\) to denote \(\beta|\{\pi : \text{object}(\pi) = X\}\).
Sometimes we will want to use definitions from this subsection for sequences of actions chosen from some other set besides the set of serial actions — usually, a set containing the set of serial actions. We extend the appropriate definitions of this subsection to such sequences by applying them to the subsequences consisting of serial actions. Thus, if \(\beta\) is a sequence of actions chosen from a set \(\Phi\) of actions, define serial\((\beta)\) to be the subsequence of \(\beta\) consisting of serial actions. Then we say that operation \((T, v)\) occurs in \(\beta\) if it occurs in serial\((\beta)\). A transaction \(T\) is said to be active in \(\beta\) provided that it is active in serial\((\beta)\), and similarly for the "live" and "orphan" definitions. Also, \(\beta|U\) is defined to be serial\((\beta)|U\), and similarly for restriction to an object.
4.4.2. Well-Formedness
We will place very few constraints on the transaction automata and serial object automata in our definition of a serial system. However, we will want to assume that certain simple properties are guaranteed; for example, a transaction should not take steps until it has been created, and an object should not respond to an operation that has not been invoked. Such requirements are captured by "well-formedness conditions", properties of sequences of external actions of the transaction and serial object components. We define those conditions here.
First, we define "transaction well-formedness". Let \(T\) be any transaction name. A sequence \(\beta\) of serial actions \(\pi\) with \(\text{transaction}(\pi) = T\) is defined to be transaction well-formed for \(T\) provided the following conditions hold.
1. The first event in $\beta$, if any, is a CREATE(T) event, and there are no other CREATE events.
2. There is at most one REQUEST_CREATE(T') event in $\beta$ for each child T' of T.
3. Any report event for a child T' of T is preceded by REQUEST_CREATE(T') in $\beta$.
4. There is at most one report event in $\beta$ for each child T' of T.
5. If a REQUEST_COMMIT event for T occurs in $\beta$, then it is preceded by a report event for each child T' of T for which there is a REQUEST_CREATE(T') in $\beta$.
6. If a REQUEST_COMMIT event for T occurs in $\beta$, then it is the last event in $\beta$.
In particular, if T is an access transaction name, then the only sequences that are transaction well-formed for T are the prefixes of the two-event sequence CREATE(T)REQUEST_COMMIT(T,v). For any T, it is easy to see that the set of transaction well-formed sequences for T is nonempty, prefix-closed and limit-closed.
It is helpful to have an equivalent form of the "transaction well-formedness" definition for use in later proofs.
**Lemma 5:** A sequence $\beta$ of actions $\phi$ with transaction($\phi$) = T is transaction well-formed for T if and only if for every finite prefix $\gamma\pi$ of $\beta$, where $\pi$ is a single action, the following conditions hold.
1. If $\pi$ is CREATE(T), then
a. there is no CREATE(T) event in $\gamma$.
2. If $\pi$ is REQUEST_CREATE(T') for a child T' of T, then
a. there is no REQUEST_CREATE(T') event in $\gamma$,
b. CREATE(T) appears in $\gamma$, and
c. there is no REQUEST_COMMIT event for T in $\gamma$.
3. If $\pi$ is a report event for a child T' of T, then
a. REQUEST_CREATE(T') appears in $\gamma$, and
b. there is no report event for T' in $\gamma$.
4. If $\pi$ is REQUEST_COMMIT(T,v) for some value v, then
a. there is a report event in $\gamma$ for every child of T for which there is a REQUEST_CREATE event in $\gamma$,
b. CREATE(T) appears in $\gamma$, and
c. there is no REQUEST_COMMIT event for T in $\gamma$.
Now we define "serial object well-formedness". Let X be any object name. A sequence of serial actions $\pi$ with object($\pi$) = X is defined to be *serial object well-formed* for X if it is a prefix of a sequence of the form CREATE(T$_1$) REQUEST_COMMIT(T$_1$,v$_1$) CREATE(T$_2$) REQUEST_COMMIT(T$_2$,v$_2$) ..., where T$_i \neq T_j$ when i $\neq$ j.
**Lemma 6:** Suppose $\beta$ is a sequence of serial actions $\pi$ with object($\pi$) = X. If $\beta$ is serial object well-formed for X and T is an access to X, then $\beta|T$ is transaction wellformed for $T$.
Again, we give an equivalent form of the "serial object well-formedness" definition that will be useful in later proofs.
**Lemma 7:** A sequence $\beta$ of actions $\phi$ with $\text{object}(\phi) = X$ is serial object well-formed for $X$ if and only if for every finite prefix $\gamma\pi$ of $\beta$, where $\pi$ is a single action, the following conditions hold.
1. If $\pi$ is $\text{CREATE}(T)$, then
a. there is no $\text{CREATE}(T)$ event in $\gamma$, and
b. there are no active accesses in $\gamma$.
2. If $\pi$ is $\text{REQUEST_COMMIT}(T,v)$ for a return value $v$, then
a. $T$ is active in $\gamma$.
We also say that a sequence $\xi$ of operations $(T,v)$ with $\text{object}(T) = X$ is *serial object well-formed* for $X$ if no two operations in $\xi$ have the same transaction name. Clearly, if $\xi$ is a serial object well-formed sequence of operations of $X$, then $\text{perform}(\xi)$ is a serial object well-formed sequence of actions of $X$. Also, any serial object well-formed sequence of actions of $X$ is a prefix of $\text{perform}(\xi)$ for some serial object well-formed sequence of operations $\xi$.
### 4.5. Serial Systems
We are now ready to define "serial systems". Serial systems are composed of transaction automata, serial object automata, and a single serial scheduler automaton. There is one transaction automaton $A_T$ for each non-access transaction name $T$, and one serial object automaton $S_X$ for each object name $X$. We describe the three kinds of components in turn.
#### 4.5.1. Transaction Automata
A *transaction automaton* $A_T$ for a non-access transaction name $T$ of a given system type is an I/O automaton with the following external action signature.
**Input:**
- $\text{CREATE}(T)$
- $\text{REPORT_COMMIT}(T',v')$, for every child $T'$ of $T$, and every return value $v'$
- $\text{REPORT_ABORT}(T')$, for every child $T'$ of $T$
**Output:**
- $\text{REQUEST_CREATE}(T')$, for every child $T'$ of $T$
- $\text{REQUEST_COMMIT}(T,v)$, for every return value $v$
In addition, $A_T$ may have an arbitrary set of internal actions. We require $A_T$ to preserve transaction well-formedness for $T$, as defined in Sections 3.5 and 4.4.2. Except for this requirement, transaction automata can be chosen arbitrarily. Note that if $\beta$ is a sequence of actions, then $\beta|T = \beta|\text{ext}(A_T)$.
As discussed earlier, the requirement that $A_T$ preserve transaction well-formedness for $T$ does not mean that all behaviors of $A_T$ are transaction well-formed, but it does mean that as long as the environment of $A_T$ does not violate transaction well-formedness, $A_T$ will not do so. Notice that the only ways the environment can violate transaction well-formedness for $T$ are by
reporting the fate of a subtransaction that was never requested, or by generating duplicate CREATE(T) actions or REPORT actions for children of T.
Transaction automata are intended to be general enough to model the transactions defined in any reasonable programming language. Of course, there is still work required in showing how to define appropriate transaction automata for the transactions in any particular language. This correspondence depends on the special features of each language, and we do not describe techniques for establishing such a correspondence in this paper.
4.5.2. Serial Object Automata
A serial object automaton $S_X$ for an object name X of a given system type is an I/O automaton with the following external action signature.
Input:
- CREATE(T), for every access T to X
Output:
- REQUEST_COMMIT(T,v), for every access T to X and every return value v
In addition, $S_X$ may have an arbitrary set of internal actions. We require $S_X$ to preserve serial object well-formedness for X, as defined in Sections 3.5 and 4.4.2.
As with transaction automata, serial object automata can be chosen arbitrarily as long as they preserve serial object well-formedness. However, as above, this does not mean that all behaviors of $S_X$ are serial object well-formed for X, but it does mean that as long as the environment of $S_X$ does not violate serial object well-formedness, $S_X$ will not do so.
Serial object automata are intended to be general enough to model any of the system-provided or user-defined types provided in modern programming languages, subject to the restriction that each operation involves only a single object. The "semantic information" about a data object that is used in some concurrency control algorithms is obtained from the serial object automaton.
220.127.116.11. Example: A Bank Account
As an example, we describe a serial object BA representing the specification of a bank account. There are three kinds of accesses to BA:
- balance?: The return value for this kind of access gives the current balance.
- deposit_$a: This increases the balance by $a. The only return value is “OK”.
- withdraw_$b: This reduces the balance by $b if the result will not be negative. In this case the return value is “OK”. If the result of withdrawing would be to cause an overdraft, then the balance is left unchanged, and the return value is “FAIL”.
The serial object automaton $S_{BA}$ is defined as follows. A state s of $S_{BA}$ has two components, s.pending, which is either null or an access to BA, and s.balance, which is an integer representing the current balance of the account. The transition relation consists of all triples (s', $\pi$, s) satisfying the pre- and post-conditions described below, where $\pi$ is the indicated action. If a component of s is not mentioned in the effects, it is implicit that the set is the same in s' and s.
CREATE(T), for T an access to $S_{BA}$
Effect:
- s.pending = T
REQUEST_COMMIT(T, "OK"), for T a deposit_$a access to $S_{BA}
Precondition:
s'.pending = T
Postcondition:
s.pending = null
s.balance = s'.balance + a
REQUEST_COMMIT(T, "OK"), for T a withdraw_$b access to $S_{BA}
Precondition:
s'.pending = T
s'.balance ≥ b
Postcondition:
s.pending = null
s.balance = s'.balance - b
REQUEST_COMMIT(T, "FAIL"), for T a withdraw_$b access to $S_{BA}
Precondition:
s'.pending = T
s'.balance < b
Postcondition:
s.pending = null
REQUEST_COMMIT(T,v), for T a balance? access to $S_{BA}
Precondition:
s'.pending = T
s'.balance = v
Postcondition:
s.pending = null
An invocation can occur at any time, and is recorded as pending. A response to a pending deposit operation increments the current balance by the amount to be deposited. A response with value "OK" to a pending withdraw operation can be generated whenever the current balance is large enough to cover the requested withdrawal, and decrements the current balance by the specified amount. If the current balance is too small to cover a requested withdrawal, then the response to the withdrawal must return the value "FAIL", and the balance is not changed. Finally, a response v to a pending balance? operation can be generated whenever the balance is v.
The ability to specify the behavior of an object using a serial object automaton is essential for modeling type-specific concurrency control algorithms. As discussed earlier, concurrency can be enhanced by using information about the semantics of operations—for example, that two operations commute—in synchronizing concurrent transactions. When a system has a hot spot, such as an aggregate quantity (e.g., net assets for a bank, or quantity on hand for an inventory system) or a data structure representing a collection, type-specific algorithms can be essential for achieving good performance. Many examples of type-specific algorithms can be found in the literature. In the second half of this paper, we describe a locking algorithm that uses the specifications of operations to allow operations that commute to run concurrently.
4.5.3. Serial Scheduler
There is a single serial scheduler automaton for each system type. It runs transactions according to a depth-first traversal of the transaction tree, running sets of sibling transactions serially. When two or more sibling transactions are available to run (because their parent has requested their creation), the serial scheduler is free to determine the order in which they run. In addition, the serial scheduler can choose nondeterministically to abort any transaction after its parent has requested its creation, as long as the transaction has not actually been created. In the context of this scheduler, the "semantics" of an ABORT(T) action are that transaction T was never created. The scheduler does not permit any two sibling transactions to be live at the same time, and does not abort any transaction while any of its siblings is live. We now give a formal definition of the serial scheduler automaton.
The action signature of the serial scheduler consists of the following actions, for every transaction name T and return value v.
Input:
REQUEST_CREATE(T), $T \neq T_0$
REQUEST_COMMIT(T,v)
Output:
CREATE(T)
COMMIT(T), $T \neq T_0$
ABORT(T), $T \neq T_0$
REPORT_COMMIT(T,v), $T \neq T_0$
REPORT_ABORT(T), $T \neq T_0$
Each state s of the serial scheduler consists of six sets, denoted via record notation: s.create_requested, s.created, s.commit_requested, s.committed, s.aborted and s.reported. The set s.commit_requested is a set of operations. The others are sets of transactions. There is exactly one start state, in which the set create_requested is $\{T_0\}$, and the other sets are empty. We use the notation s.completed to denote s.committed $\cup$ s.aborted. Thus, s.completed is not an actual variable in the state, but rather a "derived variable" whose value is determined as a function of the actual state variables.
The transition relation of the serial scheduler consists of exactly those triples $(s', \pi, s)$ satisfying the preconditions and yielding the effects described below, where $\pi$ is the indicated action. We include in the effects only those conditions on the state s that may change with the action. If a component of s is not mentioned in the effects, it is implicit that the set is the same in $s'$ and s.
REQUEST_CREATE(T), $T \neq T_0$
Effect:
$s'.create_requested = s'.create_requested \cup \{T\}$
REQUEST_COMMIT(T,v)
Effect:
$s'.commit_requested = s'.commit_requested \cup \{(T,v)\}$
CREATE(T)
Precondition:
$T \in s'.create_requested - s'.created$
\[ T \not\in s'.aborted \]
\[ siblings(T) \cap s'.created \subseteq s'.completed \]
**Effect:**
\[ s.created = s'.created \cup \{T\} \]
**COMMIT(T), \( T \neq T_0 \)**
**Precondition:**
\[ (T,v) \in s'.commit_requested \text{ for some } v \]
\[ T \not\in s'.completed \]
**Effect:**
\[ s.committed = s'.committed \cup \{T\} \]
**ABORT(T), \( T \neq T_0 \)**
**Precondition:**
\[ T \in s'.create_requested - s'.completed \]
\[ T \not\in s'.created \]
\[ siblings(T) \cap s'.created \subseteq s'.completed \]
**Effect:**
\[ s.aborted = s'.aborted \cup \{T\} \]
**REPORT_COMMIT(T,v), \( T \neq T_0 \)**
**Precondition:**
\[ T \in s'.committed \]
\[ (T,v) \in s'.commit_requested \]
\[ T \not\in s'.reported \]
**Effect:**
\[ s.reported = s'.reported \cup \{T\} \]
**REPORT_ABORT(T), \( T \neq T_0 \)**
**Precondition:**
\[ T \in s'.aborted \]
\[ T \not\in s'.reported \]
**Effect:**
\[ s.reported = s'.reported \cup \{T\} \]
The input actions, REQUEST_CREATE and REQUEST_COMMIT, simply result in the request being recorded. The COMMIT and REPORT output actions are relatively simple: a COMMIT action can occur only if it has previously been requested and no completion action has yet occurred for the indicated transaction, while the result of a transaction can be reported to its parent at any time after the COMMIT or ABORT has occurred.
The other output actions, CREATE and ABORT, are the most interesting. A CREATE action can occur only if a corresponding REQUEST_CREATE has occurred and the CREATE has not already occurred. Moreover, it cannot occur if the transaction was previously aborted. Similarly, an ABORT action can occur only if a corresponding REQUEST_CREATE has occurred and no completion action has yet occurred for the indicated transaction. Moreover, it cannot occur if the transaction was previously created. The third precondition on the CREATE action says that the serial scheduler does not create a transaction until each of its previously created sibling transactions has completed (i.e., committed or aborted). That is, siblings are run
sequentially. Similarly, the third precondition on the ABORT action says that the scheduler does not abort a transaction while there is activity going on on behalf of any of its siblings. That is, aborted transactions are dealt with sequentially with respect to their siblings. The combined effect of the preconditions on the CREATE and ABORT actions is that the scheduler does not consider a transaction for creation or abortion so long as a sibling is live.
The following lemma describes simple relationships between the state of the serial scheduler and its computational history.
**Lemma 8:** Let $\beta$ be a finite schedule of the serial scheduler, and let $s$ be a state such that $\beta$ can leave the serial scheduler in state $s$. Then the following conditions are true.
1. $T \in s.create\_requested$ if and only if $T = T_0$ or $\beta$ contains a REQUEST_CREATE(T) event.
2. $T \in s.created$ if and only if $\beta$ contains a CREATE(T) event.
3. $(T,v) \in s.commit\_requested$ if and only if $\beta$ contains a REQUEST_COMMIT(T,v) event.
4. $T \in s.committed$ if and only if $\beta$ contains a COMMIT(T) event.
5. $T \in s.aborted$ if and only if $\beta$ contains an ABORT(T) event.
6. $T \in s.reported$ if and only if $\beta$ contains a report event for $T$.
7. $s.committed \cap s.aborted = \emptyset$.
8. $s.reported \subseteq s.committed \cup s.aborted$.
The following lemma gives simple facts about the actions appearing in an arbitrary schedule of the serial scheduler.
**Lemma 9:** Let $\beta$ be a schedule of the serial scheduler. Then all of the following hold:
1. If a CREATE(T) event appears in $\beta$ for $T \neq T_0$, then a REQUEST_CREATE(T) event precedes it in $\beta$.
2. At most one CREATE(T) event appears in $\beta$ for each transaction $T$.
3. If a COMMIT(T) event appears in $\beta$, then a REQUEST_COMMIT(T,v) event precedes it in $\beta$ for some return value $v$.
4. If an ABORT(T) event appears in $\beta$, then a REQUEST_CREATE(T) event precedes it in $\beta$.
5. If a CREATE(T) or ABORT(T) event appears in $\beta$ and is preceded by a CREATE(T') event for a sibling $T'$ of $T$, then it is also preceded by a completion event for $T'$.
6. At most one completion event appears in $\beta$ for each transaction.
7. At most one report event appears in $\beta$ for each transaction.
8. If a REPORT_COMMIT(T,v) event appears in $\beta$, then a COMMIT(T) event precedes it in $\beta$.
9. If a REPORT_ABORT(T) event appears in $\beta$, then an ABORT(T) event
The final lemma of this subsection says that the serial scheduler preserves the well-formedness properties described earlier.
**Lemma 10:**
1. Let $T$ be any transaction name. Then the serial scheduler preserves transaction well-formedness for $T$.
2. Let $X$ be any object name. Then the serial scheduler preserves serial object well-formedness for $X$.
**Proof:**
1. Let $\Phi$ be the set of all serial actions $\phi$ with $\text{transaction}(\phi) = T$. Suppose $\beta \pi$ restricted to the actions of the serial scheduler is a finite behavior of the serial scheduler, $\pi$ is an output action of the serial scheduler, and $\beta \mid \Phi$ is transaction well-formed for $T$. We must show that $\beta \pi \mid \Phi$ is transaction well-formed for $T$. If $\pi \not\in \Phi$, then the result is immediate, so assume that $\pi \in \Phi$, i.e., that $\text{transaction}(\pi) = T$.
We use Lemma 5. We already know that $\beta \mid \Phi$ is transaction well-formed for $T$, and so the four conditions of the lemma hold for all prefixes of $\beta \mid \Phi$. Thus, we need only prove the four conditions of the lemma hold for $\beta \pi \mid \Phi$. Since $\pi$ is an output of the serial scheduler, $\pi$ is either a CREATE($T$) event or a REPORT event for a child of $T$. If $\pi$ is CREATE($T$), then since $\beta \pi$ restricted to the actions of the serial scheduler is a schedule of the serial scheduler, Lemma 9 implies that no CREATE($T$) occurs in $\beta$. If $\pi$ is a REPORT event for a child $T'$ of $T$, then Lemma 9 implies that REQUEST_CREATE($T'$) occurs in $\beta$ and no other REPORT for $T'$ occurs in $\beta$. Then Lemma 5 implies that $\beta \pi \mid \Phi$ is transaction well-formed for $T$.
2. The argument for this case is similar, using Lemma 7.
---
**4.5.4. Serial Systems, Executions, Schedules and Behaviors**
A *serial system* of a given system type is the composition of a strongly compatible set of automata indexed by the union of the set of non-access transaction names, the set of object names and the singleton set $\{\text{SS}\}$ (for “serial scheduler”). Associated with each non-access transaction name $T$ is a transaction automaton $A_T$ for $T$. Associated with each object name $X$ is a serial object automaton $S_X$ for $X$. Finally, associated with the name SS is the serial scheduler automaton for the given system type. When the particular serial system is understood from context, we will sometimes use the terms *serial executions*, *serial schedules* and *serial behaviors* for the system’s executions, schedules and behaviors, respectively.
We show that serial behaviors are well-formed for each transaction and object name.
**Proposition 11:** If $\beta$ is a serial behavior, then the following conditions hold.
1. For every transaction name $T$, $\beta \mid T$ is transaction well-formed for $T$.
2. For every object name $X$, $\beta \mid X$ is serial object well-formed for $X$.
**Proof:** For non-access transaction names $T$, or arbitrary object names $X$, the result is immediate by Proposition 4, the definitions of transaction and object automata, and
Lemma 10.
Suppose that $T$ is an access to $X$. Since $\beta|X$ is serial object well-formed for $X$, Lemma 6 implies that $\beta|T$ is transaction well-formed for $T$.
A serial system runs sibling transactions serially. This does not mean, however, that the REQUEST_CREATE events and the REPORT events for siblings are serialized. For example, the following sequence could be a fragment of a serial behavior, where $T$ and $T'$ are siblings:
\[
\begin{align*}
&\text{REQUEST_CREATE}(T) \\
&\text{REQUEST_CREATE}(T') \\
&\text{CREATE}(T) \\
&\text{REQUEST_COMMIT}(T,v) \\
&\text{COMMIT}(T) \\
&\text{CREATE}(T') \\
&\text{REQUEST_COMMIT}(T',v') \\
&\text{COMMIT}(T') \\
&\text{REPORT_COMMIT}(T',v') \\
&\text{REPORT_COMMIT}(T,v)
\end{align*}
\]
Notice that the REQUEST_CREATE and REPORT events for $T$ and $T'$ are interleaved, even though the CREATE and COMMIT events are serialized.
Unless expressly stated, we henceforth assume an arbitrary but fixed system type and serial system, with $A_T$ as the transaction automaton associated with non-access transaction name $T$, and $S_X$ as the serial object automaton associated with object name $X$. In the next subsection, we show how this fixed serial system serves as the basis of our definition of correctness for actual transaction-processing systems.
4.6. Correctness Conditions
Now that we have defined serial systems, we can use them to define correctness conditions for other transaction-processing systems. It is reasonable to use serial systems in this way because of the particular constraints the serial scheduler imposes on the orders in which transactions and objects can perform steps. We contend that the given constraints correspond precisely to the way nested transaction systems ought to appear to behave; in particular, these constraints yield a natural generalization of the notion of serial execution in classical transaction systems. We arrive at a number of correctness conditions by considering \textit{for which system components} this appearance must be maintained: for the external environment $T_0$, for all transactions, or for all non-orphan transactions.
To express these correctness conditions we define the notion of “serial correctness” of a sequence of actions for a particular transaction name. We say that a sequence $\beta$ of actions is \textit{serially correct} for transaction name $T$ provided that there is some serial behavior $\gamma$ such that $\beta|T = \gamma|T$. (Recall that if $T$ is a non-access, we have $\beta|T = \beta|\text{ext}(A_T)$ and $\gamma|T = \gamma|\text{ext}(A_T)$). If $T$ is a non-access transaction, the serial correctness for $T$ of a sequence $\beta$ guarantees to implementors
\footnote{This condition is analogous to the “view serializability” condition of Yannakakis [45], extended to deal with operations other than reads and writes, and with subtransactions.}
of $A_T$ that their code has encountered only situations that could arise in serial executions.
Our intention in defining correctness for a system is to constrain its interactions with the external environment, which is modeled by the root transaction $T_0$. Thus, our fundamental correctness condition simply requires serial correctness for $T_0$. We might expect most systems to contain the same transaction automaton for $T_0$ as in the serial system. (In other words, the external environment in the serial system will be the same as in the real transaction-processing system.) In fact, we have modeled many systems with a structure that is even closer to that of the serial system: as a system of automata containing an automaton $A_T$ for each transaction name $T$. However, our definition of correctness does not depend on these or other assumptions. Such constraints may seem intuitively reasonable, but they are not needed for defining correctness. Furthermore, in our experience, most such constraints rule out some interesting systems. Thus, in defining correctness, we allow any system (modeled as an I/O automaton) to be considered as a candidate for a transaction-processing system. As a result, our definition of correctness does not constrain the internal structure of a transaction-processing system, or even its interface with the external environment.
We consider a system to be *serially correct* for transaction name $T$ provided all of its finite behaviors are serially correct for $T$. Then if $T$ is a non-access transaction, serial correctness for $T$ of a system containing $A_T$ guarantees to implementors of $A_T$ that their code will encounter only situations that can arise in serial executions.
The principal notion of correctness for a transaction-processing system that we use in our work is that of serial correctness for the root transaction $T_0$ of all finite behaviors. This says that the "outside world" cannot distinguish between the given system and the serial system. However, many of the algorithms we study satisfy stronger correctness conditions. A fairly strong and possibly interesting correctness condition is the serial correctness of all finite behaviors for all non-access transaction names. Thus, neither the outside world nor any of the individual user transactions can distinguish between the given system and the serial system. Note that the definition of serial correctness relative to all non-access transactions does not require that all the transactions see behavior that is part of the *same* execution of the serial system; rather, each could see behavior arising in a different serial execution.
We will also consider intermediate conditions such as serial correctness for all non-orphan transaction names. This condition implies serial correctness for $T_0$ because the serial scheduler does not have the action ABORT($T_0$) in its signature, so $T_0$ cannot be an orphan. Most of the popular algorithms for concurrency control and recovery, including the locking algorithms in this paper, guarantee serial correctness for all non-orphan transaction names. Our Serializability Theorem gives sufficient conditions for showing that a behavior of a transaction-processing system is serially correct for an arbitrary non-orphan transaction name, and can be used to prove this property for many of these algorithms. The usual algorithms do not guarantee serial correctness for orphans, however; in order to guarantee this as well, the use of a special "orphan management" algorithm is generally required. Such algorithms are described and proved correct in [17].
Note that each correctness condition discussed in this section can be applied to many different kinds of transaction-processing systems. All that is needed is that the system be modeled as an I/O automaton with appropriately named actions. Typically, the system would contain an
automaton $A_T$ for each non-access transaction name, and one or more automata modeling the transaction management components. In this paper, and in most of our work, we place no restrictions on the transaction automata other than their preservation of transaction well-formedness. (More specialized algorithms could depend upon special properties of the transaction automata; for example, that transactions access objects in a particular order.) In fact, we place no constraints on the signature or structure of a transaction-processing system. All we require is that its behaviors satisfy the stated correctness condition, namely serial correctness for $T_0$.
5. The Serializability Theorem
In this section, we present our Serializability Theorem, which embodies a fairly general method for proving that a concurrency control algorithm guarantees serial correctness. This theorem expresses the following intuition: a behavior of a system is serially correct provided that there is a way to order the transactions so that when the operations at each object are arranged in the corresponding order, the result is a behavior of the corresponding serial object. The correctness of many different concurrency control algorithms can be proved using this theorem; in this paper, we use it to prove correctness of two locking algorithms.
This theorem is the closest analog we have for the classical Serializability Theorem of [7]. Both that theorem and ours hypothesize that there is some ordering on transactions consistent with the behavior at each object. In both cases, this hypothesis is used to show serial correctness. Our result is somewhat more complicated, however, because it deals with nesting and aborts, and also with objects whose operations are more complex than simple reads and updates. In the first subsection of this section, we give some additional definitions that are needed to accommodate these complications.
We have tried to state our theorem to make it as widely applicable as possible. Thus, the theorem talks about sequences of actions, not about particular system organizations. However, not all sequences of actions are reasonable; the theorem applies to those sequences that could be behaviors of systems containing the transaction automata $A_T$. In other words, the projection of the sequence on each transaction must be a behavior of that transaction’s automaton. In addition, certain additional constraints, such as that a CREATE(T) action does not occur without a preceding REQUEST_CREATE(T) action, must also be satisfied. To capture these constraints on sequences of actions, we define “simple systems” in Section 5.2. Next, we define various orders on events and transactions that are used to reorder behaviors of real transaction-processing systems to show the existence of appropriate serial behaviors. Finally, we present the statement and proof of our Serializability Theorem.
5.1. Visibility
One difference between our result and the classical Serializability Theorem is that the conclusion of our result is serial correctness for an arbitrary transaction $T$, whereas the classical result essentially considers only serial correctness for $T_0$. Thus, it should not be surprising that the hypothesis of our result does not deal with all the operations at each object, but only with those that are in some sense “visible” to the particular transaction $T$. In this subsection, we define a notion of “visibility” of one transaction to another. This notion is a technical one, but one that is natural and convenient in the formal statements of results and in their proofs.
Visibility is defined so that, in the usual transaction-processing systems, only a transaction $T'$ that is visible to another transaction $T$ can affect the behavior of $T$.
A transaction $T'$ can affect another transaction $T$ in several ways. First, if $T'$ is an ancestor of $T$, then $T'$ can affect $T$ by passing information down the transaction tree via invocations. Second, a transaction $T'$ that is not an ancestor of $T$ can affect $T$ through COMMIT actions for $T'$ and all ancestors of $T'$ up to the level of the least common ancestor with $T$; information can be propagated from $T'$ up to the least common ancestor via REPORT_COMMIT actions (and the associated return values), and from there down to $T$ via invocations. Third, a transaction $T'$ that is not an ancestor of $T$ can affect $T$ by accessing an object that is later accessed by $T$; in most of the usual transaction-processing algorithms, this is only allowed to occur if there are intervening COMMIT actions for all ancestors of $T'$ up to the level of the least common ancestor with $T$.
Thus, we define "visibility" as follows. Let $\beta$ be any sequence of serial actions. If $T$ and $T'$ are transaction names, we say that $T'$ is \textit{visible} to $T$ in $\beta$ if there is a COMMIT(U) action in $\beta$ for every $U$ in ancestors($T'$) - ancestors($T$). Thus, every ancestor of $T'$ up to (but not necessarily including) the least common ancestor of $T$ and $T'$ has committed in $\beta$.
Our definition of visibility has been chosen for ease of argument. Note, however, that it says that $T'$ is visible to $T$ even in some situations where $T'$ cannot affect the behavior of $T$, for example when $T'$ follows $T$ in $\beta$. Intuitively, the definition includes all transactions that, as far as $T$ can "see", participate in the computation, either before or after $T$.
\begin{figure}[h]
\centering
\includegraphics[width=0.5\textwidth]{visibility.png}
\caption{Visibility}
\end{figure}
Figure 5 depicts two transactions, $T$ and $T'$, neither an ancestor of the other. If the transactions represented by all of the circled nodes have committed in some sequence of serial actions, then the definition implies that $T'$ is visible to $T$.
The following lemma describes elementary properties of “visibility”.
**Lemma 12:** Let $\beta$ be a sequence of actions, and let $T$, $T'$ and $T''$ be transaction names.
1. If $T'$ is an ancestor of $T$, then $T'$ is visible to $T$ in $\beta$.
2. $T'$ is visible to $T$ in $\beta$ if and only if $T'$ is visible to $\text{lca}(T,T')$ in $\beta$.
3. If $T''$ is visible to $T'$ in $\beta$ and $T'$ is visible to $T$ in $\beta$, then $T''$ is visible to $T$ in $\beta$.
4. If $T'$ is live in $\beta$ and $T'$ is visible to $T$ in $\beta$, then $T$ is a descendant of $T'$.
5. If $T'$ is an orphan in $\beta$ and $T'$ is visible to $T$ in $\beta$, then $T$ is an orphan in $\beta$.
We use the notion of “visibility” to pick, out of a sequence of actions, a subsequence consisting of the actions corresponding to transactions that are visible to a given transaction $T$. More precisely, if $\beta$ is any sequence of actions and $T$ is a transaction name, then $\text{visible}(\beta,T)$ denotes the subsequence of $\beta$ consisting of serial actions $\pi$ with $\text{hightransaction}(\pi)$ visible to $T$ in $\beta$. Note that every action occurring in $\text{visible}(\beta,T)$ is a serial action, even if $\beta$ itself contains other actions. Note also that the use of “$\text{hightransaction}$” in the definition implies that if $T'$ is visible to $T$ in $\beta$ and $T''$ is a child of $T'$ that has an $\text{ABORT}(T'')$ in $\beta$, then any $\text{REQUEST_CREATE}(T'')$, $\text{ABORT}(T'')$ and $\text{REPORT_ABORT}(T'')$ actions in $\beta$ are included in $\text{visible}(\beta,T)$, but actions of $T''$ are not.\footnote{If $T = T_0$, $\text{visible}(\beta,T)$ corresponds to the “committed projection” of $\beta$ as defined in [7].}
The following easy lemma says that the “visible” operator on sequences picks out either all or none of the actions having a particular transaction.
**Lemma 13:** Let $\beta$ be a sequence of actions, and let $T$ and $T'$ be transaction names. Then $\text{visible}(\beta,T)|T'$ is equal to $\beta|T'$ if $T'$ is visible to $T$ in $\beta$, and is equal to the empty sequence otherwise.
### 5.2. Simple Systems
It is desirable to state our Serializability Theorem in such a way that it can be used for proving correctness of many different kinds of transaction-processing systems, with radically different architectures. We therefore define a “simple system”, which embodies the common features of most transaction-processing systems, independent of their concurrency control and recovery algorithms, and even of their division into modules to handle different aspects of transaction-processing. A “simple system” consists of the transaction automata together with a special automaton called the “simple database”. The simple database ensures a number of simple constraints, including the following:
- A transaction is not created without first being requested.
- A transaction does not both commit and abort.
- A transaction does not commit without first requesting to commit.
- A $\text{REPORT}$ action does not occur for a transaction unless it is preceded by a corresponding completion action.
However, the simple database does not include any constraints based on the semantics of the objects as specified by the serial system. In other words, the simple database is allowed to return arbitrary responses to accesses.
In practice, a real transaction-processing system will obey all the constraints imposed by a simple system, and will also impose additional constraints on the responses to accesses that guarantee serial correctness. Our Serializability Theorem is stated in terms of simple systems; it can be applied to any system that "implements" the simple system in the sense that each of its behaviors is a simple behavior. In our experience, many complicated transaction-processing algorithms can be modeled as implementations of the simple system. For example, a system containing separate objects that manage locks and a "controller" that passes information among transactions and objects can be represented in this way, and so our theorem can be used to prove its correctness. The same strategy works for a system containing objects that manage timestamped versions and a controller that issues timestamps to transactions. Later in this paper, we apply our Serializability Theorem to show that every behavior of certain locking systems is serially correct for non-orphan transactions.
5.2.1. Simple Database
There is a single simple database for each system type. The action signature of the simple database is that of the composition of the serial scheduler with the serial objects:
Input:
REQUEST_CREATE(T), T ≠ T₀
REQUEST_COMMIT(T,v), T a non-access
Output:
CREATE(T)
COMMIT(T), T ≠ T₀
ABORT(T), T ≠ T₀
REPORT_COMMIT(T,v), T ≠ T₀
REPORT_ABORT(T), T ≠ T₀
REQUEST_COMMIT(T,v), T an access
Note that actions such as CREATE(T) and REQUEST_COMMIT(T,v), for T an access transaction name, are outputs of the simple database but are not inputs of any transaction automaton. (The same is true for the COMMIT and ABORT actions.) Thus, they could be classified as internal actions of the simple database, but it turns out to be more convenient to treat them as outputs.
States of the simple database are the same as for the serial scheduler, and the initial states are also the same. In particular, although the signature of the serial scheduler has been extended by adding the actions of the serial objects, no additional state information about the objects occurs in the simple database. Intuitively, the behaviors of the simple database are "syntactically well-formed", but are not constrained to satisfy any substantive "semantic" constraints, particularly as to the serial object actions. Semantic constraints are added in the statement of the Serializability Theorem, which specifies general sufficient conditions for the serial correctness of behaviors of the simple system. The transition relation is as follows.
REQUEST_CREATE(T), T ≠ T₀
Effect:
\[ s.\text{create\_requested} = s'.\text{create\_requested} \cup \{T\} \]
REQUEST_COMMIT(T,v), T a non-access
Effect:
\[ s.\text{commit\_requested} = s'.\text{commit\_requested} \cup \{(T,v)\} \]
CREATE(T)
Precondition:
\[ T \in s'.\text{create\_requested} - s'.\text{created} \]
Effect:
\[ s.\text{created} = s'.\text{created} \cup \{T\} \]
COMMIT(T), \( T \neq T_0 \)
Precondition:
\[ (T,v) \in s'.\text{commit\_requested} \text{ for some } v \]
\[ T \not\in s'.\text{completed} \]
Effect:
\[ s.\text{committed} = s'.\text{committed} \cup \{T\} \]
ABORT(T), \( T \neq T_0 \)
Precondition:
\[ T \in s'.\text{create\_requested} - s'.\text{completed} \]
Effect:
\[ s.\text{aborted} = s'.\text{aborted} \cup \{T\} \]
REPORT_COMMIT(T,v), \( T \neq T_0 \)
Precondition:
\[ T \in s'.\text{committed} \]
\[ (T,v) \in s'.\text{commit\_requested} \]
\[ T \not\in s'.\text{reported} \]
Effect:
\[ s.\text{reported} = s'.\text{reported} \cup \{T\} \]
REPORT_ABORT(T), \( T \neq T_0 \)
Precondition:
\[ T \in s'.\text{aborted} \]
\[ T \not\in s'.\text{reported} \]
Effect:
\[ s.\text{reported} = s'.\text{reported} \cup \{T\} \]
REQUEST_COMMIT(T,v), T an access
Precondition:
\[ T \in s'.\text{created} \]
for all \( v' \), \((T,v') \not\in s'.\text{commit\_requested} \)
Effect:
\[ s.\text{commit\_requested} = s'.\text{commit\_requested} \cup \{(T,v)\} \]
The next two lemmas are analogous to those previously given for the serial scheduler.
Lemma 14: Let \( \beta \) be a finite schedule of the simple database, and let \( s \) be a state that
can result from applying $\beta$ to the start state. Then the following conditions are true.
1. $T \in s.create\_requested$ if and only if $T = T_0$ or $\beta$ contains a REQUEST_CREATE(T) event.
2. $T \in s.created$ if and only if $\beta$ contains a CREATE(T) event.
3. $(T, v) \in s.commit\_requested$ if and only if $\beta$ contains a REQUEST_COMMIT(T, v) event.
4. $T \in s.committed$ if and only if $\beta$ contains a COMMIT(T) event.
5. $T \in s.aborted$ if and only if $\beta$ contains an ABORT(T) event.
6. $T \in s.reported$ if and only if $\beta$ contains a report event for $T$.
7. $s.committed \cap s.aborted = \emptyset$.
8. $s.reported \subseteq s.committed \cup s.aborted$.
**Lemma 15:** Let $\beta$ be a schedule of the simple database. Then all of the following hold:
1. If a CREATE(T) event appears in $\beta$ for $T \neq T_0$, then a REQUEST_CREATE(T) event precedes it in $\beta$.
2. At most one CREATE(T) event appears in $\beta$ for each transaction $T$.
3. If a COMMIT(T) event appears in $\beta$, then a REQUEST_COMMIT(T, v) event precedes it in $\beta$ for some return value $v$.
4. If an ABORT(T) event appears in $\beta$, then a REQUEST_CREATE(T) event precedes it in $\beta$.
5. At most one completion event appears in $\beta$ for each transaction.
6. At most one report event appears in $\beta$ for each transaction.
7. If a REPORT_COMMIT(T, v) event appears in $\beta$, then a COMMIT(T) event precedes it in $\beta$.
8. If a REPORT_ABORT(T) event appears in $\beta$, then an ABORT(T) event precedes it in $\beta$.
9. If $T$ is an access and a REQUEST_COMMIT(T, v) event occurs in $\beta$, then a CREATE(T) event precedes it in $\beta$.
10. If $T$ is an access, then at most one REQUEST_COMMIT event for $T$ occurs in $\beta$.
Thus, the simple database embodies those constraints that we would expect any reasonable transaction-processing system to satisfy—i.e., well-formedness and control-flow (communication) requirements. The simple database does not allow CREATEs, ABORTs, or COMMITs without an appropriate preceding request, does not allow any transaction to have two creation or completion events, and does not report completion events that never happened. Also, it does not produce responses to accesses that were not invoked, nor does it produce multiple responses to accesses. On the other hand, the simple database allows almost any ordering of transactions, allows concurrent execution of sibling transactions, and allows arbitrary responses.
to accesses.
We do not claim that the simple database produces only serially correct behaviors; rather, we use the simple database to model features common to more sophisticated systems. Such systems will usually include a controller (perhaps with constraints of its own) and complicated objects with concurrency control and recovery built into them. Such a system will have additional actions for communication between these objects and the controller.
We now show that the simple database preserves transaction well-formedness.
**Lemma 16:** Let $T$ be any transaction name. Then the simple database preserves transaction well-formedness for $T$.
**Proof:** Let $\Phi$ be the set of all serial actions $\phi$ with $\text{transaction}(\phi) = T$. Suppose $\beta \pi$ restricted to the actions of the simple database is a finite behavior of the simple database, $\pi$ is an output action of the simple database, and $\beta \mid \Phi$ is transaction well-formed for $T$. We must show that $\beta \pi \mid \Phi$ is transaction well-formed for $T$. If $\pi \not\in \Phi$, then the result is immediate, so assume that $\pi \in \Phi$, i.e., that $\text{transaction}(\pi) = T$.
We use Lemma 5. We already know that $\beta \mid \Phi$ is transaction well-formed for $T$, and so the four conditions of the lemma hold for all prefixes of $\beta \mid \Phi$. Thus, we need only prove the four conditions of the lemma hold for $\beta \pi \mid \Phi$. Since $\pi$ is an output of the simple database, $\pi$ is either a CREATE($T$) event for an arbitrary transaction $T$, a REPORT event for a child of an arbitrary transaction $T$, or a REQUEST_COMMIT for $T$, where $T$ is an access. If $\pi$ is CREATE($T$), then since $\beta \pi$ restricted to the actions of the simple database is a schedule of the simple database, Lemma 15 implies that no CREATE($T$) occurs in $\beta$. If $\pi$ is a REPORT event for a child $T'$ of $T$, then Lemma 15 implies that REQUEST_CREATE($T'$) occurs in $\beta$ and no other REPORT for $T'$ occurs in $\beta$. If $\pi$ is REQUEST_COMMIT($T,v$) and $T$ is an access, then Lemma 15 implies that CREATE($T$) occurs in $\beta$, and no REQUEST_COMMIT for $T$ occurs in $\beta$. Then Lemma 5 implies that $\beta \pi \mid \Phi$ is transaction well-formed for $T$.
### 5.2.2. Simple Systems, Executions, Schedules and Behaviors
A *simple system* is the composition of a strongly compatible set of automata indexed by the union of the set of non-access transaction names and the singleton set $\{\text{SD}\}$ (for “simple database’’). Associated with each non-access transaction name $T$ is the transaction automaton $A_T$ for $T$, and associated with the name SD is the simple database automaton for the given system type. When the particular simple system is understood from context, we will often use the terms *simple executions*, *simple schedules* and *simple behaviors* for the system’s executions, schedules and behaviors, respectively.
**Proposition 17:** If $\beta$ is a simple behavior and $T$ is a transaction name, then $\beta \mid T$ is transaction well-formed for $T$.
**Proof:** The result is immediate by Lemma 16 and the definition of transaction automata.
The following is a basic fact about simple behaviors.
**Lemma 18:** Let $\beta$ be a simple behavior. Let $T$ and $T'$ be transaction names, where $T'$ is an ancestor of $T$. If $T$ is live in $\beta$ and not an orphan in $\beta$ then $T'$ is live in $\beta$.
Our Serializability Theorem is formulated below in terms of simple behaviors; it provides a
sufficient condition for a simple behavior to be serially correct for a particular transaction name $T$.
5.3. Event and Transaction Orders
Our general approach to showing that a system is correct is to extract a subsequence of each behavior of the system, reorder the subsequence in certain ways, and then show that the resulting sequence is a behavior of the serial system. We put two constraints on the reordering: first, it must preserve the order of certain events from the original behavior, and second, for certain pairs of transactions $T$ and $T'$ it must order all events of $T$ before all events of $T'$. The first constraint is captured by the notion of an "affects order", while the second is captured by a "sibling order". In this subsection we define these orders precisely and prove some simple facts about them.
5.3.1. Affects Order
We first define a partial order "affects($\beta$)" on the events of a sequence $\beta$ of serial actions. This will be used to describe basic dependencies between events in a simple behavior; any appropriate reordering of $\beta$ will be required to be consistent with these dependencies.
We define the affects relation by first defining a subrelation, which we call the "directly-affects" relation, and then taking its transitive closure. This decomposition will be useful to us later when we carry out proofs about the "affects" relation, since it is often easy to reason about "directly-affects". For a sequence $\beta$ of serial actions, and events $\phi$ and $\pi$ in $\beta$, we say that $\phi$ directly affects $\pi$ in $\beta$ (and that $(\phi,\pi) \in$ directly-affects($\beta$)) if at least one of the following is true.
- transaction($\phi$) = transaction($\pi$) and $\phi$ precedes $\pi$ in $\beta$
- $\phi =$ REQUEST_CREATE($T$) and $\pi =$ CREATE($T$)
- $\phi =$ REQUEST_COMMIT($T,v$) and $\pi =$ COMMIT($T$)
- $\phi =$ REQUEST_CREATE($T$) and $\pi =$ ABORT($T$)
- $\phi =$ COMMIT($T$) and $\pi =$ REPORT_COMMIT($T,v$)
- $\phi =$ ABORT($T$) and $\pi =$ REPORT_ABORT($T$)
**Lemma 19:** If $\beta$ is a simple behavior and $(\phi,\pi) \in$ directly-affects($\beta$), then $\phi$ precedes $\pi$ in $\beta$.\(^{13}\)
**Proof:** The first case is obvious, so we consider only the last five cases of the definition. Transaction well-formedness implies that there cannot be two REQUEST_CREATE($T$) events in $\beta$ for the same $T$, and that there cannot be two REQUEST_COMMIT events for the same transaction. Also, Lemma 15 says that $\beta$ does not contain two completion events for the same $T$. Hence, in each case $\phi$ is the only occurrence of the appropriate action in $\beta$. In each case, $\pi$ is an output of the simple database, and the simple database preconditions test for the presence of the appropriate preceding action.
\(^{12}\)This includes accesses as well as non-accesses.
\(^{13}\)Note that the actions of a simple system are exactly the serial actions.
For a sequence $\beta$ of serial actions, define the relation affects($\beta$) to be the transitive closure of the relation directly-affects($\beta$). If the pair $(\phi, \pi)$ is in the relation affects($\beta$), we also say that $\phi$ affects $\pi$ in $\beta$. The following is immediate.
**Lemma 20:** Let $\beta$ be a simple behavior. Then affects($\beta$) is an irreflexive partial order on the events in $\beta$.
**Proof:** By Lemma 19, $\phi$ directly affects $\pi$ in $\beta$ only if $\phi$ precedes $\pi$ in $\beta$. Therefore $\phi$ affects $\pi$ in $\beta$ only if $\phi$ precedes $\pi$ in $\beta$. Thus, affects($\beta$) is irreflexive and antisymmetric. Since affects($\beta$) is constructed as a transitive closure, the result follows.
The conditions listed in the definition of “directly-affects” should seem a reasonable collection of dependencies among the events in a simple behavior. At a technical level, the justification for them is that we will use the affects relation to extract serial behaviors from a simple behavior satisfying certain conditions. The order of the events in the serial behavior will be consistent with the affects ordering. Thus, if $\beta$ is a simple behavior and $(\phi, \pi) \in$ affects($\beta$), all the serial behaviors we construct that contain $\pi$ will also contain $\phi$, and $\phi$ will precede $\pi$ in each such behavior. The first case of the “directly-affects” definition is necessary because we are not assuming special knowledge of transaction behavior; if we included $\pi$ and not $\phi$ in our candidate serial behavior, we would have no way of proving that the result included correct behaviors of the transaction automata. The remaining cases naturally parallel the preconditions of the serial scheduler; in each case, the preconditions of $\pi$ as an action of the serial scheduler include a test for a previous occurrence of $\phi$, so a sequence of actions with $\pi$ not preceded by $\phi$ could not possibly be a serial behavior.
### 18.104.22.168. Example: Affects Order
Recall that a serial system only constrains the CREATE and completion actions of siblings, not the REQUEST_CREATE and REPORT actions. For example, consider the following fragment of a simple behavior, where $T$ and $T'$ are siblings:
```
REQUEST_CREATE(T)
REQUEST_CREATE(T')
CREATE(T)
CREATE(T')
REQUEST_COMMIT(T', v')
REQUEST_COMMIT(T, v)
COMMIT(T)
COMMIT(T')
REPORT_COMMIT(T', v')
REPORT_COMMIT(T, v)
```
Notice that $T$ and $T'$ are not run serially. However, the events of $T$ do not affect the events of $T'$, or vice-versa. Thus, the following reordering of the sequence above is consistent with the affects relation for the sequence:
```
REQUEST_CREATE(T)
REQUEST_CREATE(T')
CREATE(T)
REQUEST_COMMIT(T, v)
COMMIT(T)
```
CREATE(T')
REQUEST_COMMIT(T',v')
COMMIT(T")
REPORT_COMMIT(T',v')
REPORT_COMMIT(T,v)
In addition, this reordering is a schedule of the serial scheduler. This illustrates how we can reorder a simple behavior into a serial one without violating the affects ordering.
22.214.171.124. Properties of the Affects Order
The following lemmas contain some constraints on the kinds of events that can affect other events in a simple behavior. The first lemma shows that events of transactions in the subtree rooted at T can only affect events of transactions outside the subtree if they first affect a REPORT event for T.
**Lemma 21:** Let β be a simple behavior and T a transaction name. Let φ and π be events of β such that φ affects π in β, lowtransaction(φ) is a descendant of T and lowtransaction(π) is not a descendant of T. Then β contains a REPORT event ψ for T, φ affects ψ, and either π = ψ or ψ affects π. Furthermore, if ψ is a REPORT_ABORT event then φ = ABORT(T).
**Proof:** The existence of ψ follows from the observation that if φ' directly affects π' in β, lowtransaction(φ') is a descendant of T and lowtransaction(π') is not a descendant of T, then φ' is a completion event for T and π' is a corresponding REPORT event for T. Furthermore, by Lemma 15, φ' is the only completion event for T and π' (= ψ) is the only REPORT event for T in β.
By definition of the affects relation, φ affects ψ and either π = ψ or ψ affects π.
The final property follows from the observation that no event of a descendant of T directly affects an ABORT event for T.
The next lemma shows that events of transactions outside the subtree rooted at T can only affect events of descendants of T if they first affect a REQUEST_CREATE(T) event. Its proof is similar to that of the previous lemma.
**Lemma 22:** Let β be a simple behavior and T a transaction name. Let φ and π be events of β such that φ affects π in β, lowtransaction(φ) is not a descendant of T and lowtransaction(π) is a descendant of T. Then either φ is a REQUEST_CREATE(T) event, or φ affects a REQUEST_CREATE(T) event for T that affects π.
Together, Lemmas 21 and 22 describe conditions under which the effects of events can “leave” or “enter” subtrees of the transaction tree. These conditions will be useful in later proofs.
As before, we extend the “affects” definition to sequences β of arbitrary actions by saying that φ affects π in β if and only if φ affects π in serial(β).
5.3.2. Sibling Orders
The essential feature of any concurrency control mechanism is the choice of a consistent serialization order throughout the system. The type of serialization ordering needed for a nested transaction system is more complicated than that used in the classical theory. Instead of just arbitrary total orderings on transactions, we will use orderings that only relate siblings in the transaction nesting tree. We call such an ordering a "sibling order". Interesting examples of sibling orders are the order of completion of transactions or an order determined by assigned timestamps. We define "sibling orders" in this subsection. (Note that a total order on all transactions is not appropriate, as subtransactions run concurrently with their parents in a nested system.)
Let $SIB$ be the (irreflexive) sibling relation among transaction names, for a particular system type; thus, $(T,T') \in SIB$ if and only if $T \neq T'$ and $\text{parent}(T) = \text{parent}(T')$. If $R \subseteq SIB$ is an irreflexive partial order then we call $R$ a sibling order. Sibling orders are the analog for nested transaction systems of serialization orders in single-level transaction systems. Note that sibling orders are not necessarily total, in general; totality is not always appropriate for our results.
A sibling order can be extended in two natural ways. First, if $R$ is a binary relation on the set of transaction names (such as a sibling order), then let $R_{\text{trans}}$ be the extension of $R$ to descendants, i.e., the binary relation on transaction names containing $(T,T')$ exactly when there exist transaction names $U$ and $U'$ such that $T$ and $T'$ are descendants of $U$ and $U'$ respectively, and $(U,U') \in R$. If $R$ is a sibling order, $R_{\text{trans}}$ echoes the manner in which the serial scheduler runs transactions when it runs siblings with no concurrency, in the order specified by $R$. Second, if $\beta$ is any sequence of actions, then $R_{\text{event}}(\beta)$ is the extension of $R$ to serial events in $\beta$, i.e., the binary relation on events in $\beta$ containing $(\phi,\pi)$ exactly when $\phi$ and $\pi$ are distinct serial events in $\beta$ with lowtransactions $T$ and $T'$ respectively, where $(T,T') \in R_{\text{trans}}$. (We use "lowtransaction" in this definition to ensure that completion actions are ordered along with the actions of the completing transaction.)
The following are straightforward.
**Lemma 23:** Let $R$ be a sibling order. Then $R_{\text{trans}}$ is an irreflexive partial order, and for any sequence $\beta$ of actions, $R_{\text{event}}(\beta)$ is an irreflexive partial order.
**Lemma 24:** Let $\beta$ be a sequence of actions and $R$ a sibling order. Let $\pi$ and $\pi'$ be events of $\beta$ with lowtransactions $U$ and $U'$ respectively. Let $\psi$ and $\psi'$ be events of $\beta$ with lowtransactions $T$ and $T'$ respectively, where $T$ is a descendant of $U$ and $T'$ is a descendant of $U'$. If $(\pi,\pi') \in R_{\text{event}}(\beta)$ then $(\psi,\psi') \in R_{\text{event}}(\beta)$.
The concept of a "suitable sibling order" describes two basic conditions that will be required of the sibling orders to be used in our theorem. Given $T$, we want to find a serial behavior that includes the actions of transactions visible to $T$ (i.e., that can be "seen" by $T$). Each set of siblings that appears in this serial behavior must be totally ordered, motivating the first condition below. The second condition asserts that $R$ does not contradict the dependencies described by the affects relation. Formally, let $\beta$ be a sequence of actions and $T$ a transaction name. A sibling order $R$ is suitable for $\beta$ and $T$ if the following conditions are met:
---
14A similar definition is used by Beeri, et al. [5] and by Lynch [24].
1. $R$ orders all pairs of siblings $T'$ and $T''$ that are lowtransactions of actions in $\text{visible}(\beta, T)$.
2. $R_{\text{event}}(\beta)$ and $\text{affects}(\beta)$ are consistent partial orders on the events in $\text{visible}(\beta, T)$.
The use of lowtransaction in this definition ensures that ABORT events in $\text{visible}(\beta, T)$ are included in the events ordered by $R_{\text{event}}$.
We have the following extension of the first property above.
**Lemma 25:** Let $\beta$ be a simple behavior and $T$ a transaction name. If the sibling order $R$ is suitable for $\beta$ and $T$, then $R$ orders all pairs of siblings $T'$ and $T''$ such that some descendant of each is the lowtransaction of an action in $\text{visible}(\beta, T)$.
**Proof:** The lemma follows from the following fact about simple behaviors: if a descendant of $T$ is the lowtransaction of an action in a simple behavior $\beta$, then $T$ is the lowtransaction of some action in $\beta$. □
We next give a technical lemma that will be useful for proving that particular sibling orders are suitable.
**Lemma 26:** Let $\beta$ be a simple behavior and let $R$ be a sibling order satisfying the following condition: if $(\pi, \pi') \in \text{affects}(\beta)$ and $\text{lowtransaction}(\pi)$ is neither an ancestor nor a descendant of $\text{lowtransaction}(\pi')$ then $(\pi, \pi') \in R_{\text{event}}(\beta)$. Then $R_{\text{event}}(\beta)$ and $\text{affects}(\beta)$ are consistent partial orders on the events of $\beta$.
**Proof:** We prove this lemma by contradiction. If $R_{\text{event}}(\beta)$ and $\text{affects}(\beta)$ are not consistent, then there is a cycle in the relation $R_{\text{event}}(\beta) \cup \text{affects}(\beta)$, and thus there must be some shortest cycle. Let $\pi_0, \pi_1, \pi_2, ..., \pi_{n-1}, \pi_n = \pi_0$ be such a shortest cycle, where for each $i$, $(\pi_i, \pi_{i+1}) \in R_{\text{event}}(\beta) \cup \text{affects}(\beta)$. In the following discussion we will use arithmetic modulo $n$ for subscripts, so that if $i = n$, $\pi_{i+1}$ is to be interpreted as $\pi_1$. We note that $n > 1$, since both $R_{\text{event}}(\beta)$ and $\text{affects}(\beta)$ are irreflexive.
Since the relation $R_{\text{event}}(\beta)$ is acyclic, there must be at least one index $i$ such that $(\pi_i, \pi_{i+1}) \in \text{affects}(\beta)$ and $(\pi_i, \pi_{i+1}) \not\in R_{\text{event}}(\beta)$. Let $T$ and $T'$ be the lowtransactions of $\pi_i$ and $\pi_{i+1}$ respectively. By hypothesis, $T$ is either an ancestor or a descendant of $T'$. We consider two cases.
1. $T$ is an ancestor of $T'$.
If the pair $(\pi_{i-1}, \pi_i)$ is in $\text{affects}(\beta)$, then by the transitivity of the affects relation, $(\pi_{i-1}, \pi_{i+1}) \in \text{affects}(\beta)$. On the other hand, if $(\pi_{i-1}, \pi_i) \in R_{\text{event}}(\beta)$, then by Lemma 24, $(\pi_{i-1}, \pi_{i+1}) \in R_{\text{event}}(\beta)$. In either situation, there is a shorter cycle in the relation $R_{\text{event}}(\beta) \cup \text{affects}(\beta)$, obtained by omitting $\pi_i$. This contradicts our assumption that the cycle chosen is as short as possible.
2. $T$ is a descendant of $T'$.
If the pair $(\pi_{i+1}, \pi_{i+2})$ is in $\text{affects}(\beta)$, then by the transitivity of the affects relation, $(\pi_i, \pi_{i+2}) \in \text{affects}(\beta)$. On the other hand, if $(\pi_{i+1}, \pi_{i+2}) \in R_{\text{event}}(\beta)$, then by Lemma 24, $(\pi_i, \pi_{i+2}) \in R_{\text{event}}(\beta)$. In either situation, there is a shorter cycle in the relation $R_{\text{event}}(\beta) \cup \text{affects}(\beta)$, obtained by omitting $\pi_{i+1}$. This contradicts the assumption that the cycle chosen is as short as possible.
In every case, we have found a contradiction; thus, the assumption that the relation $R_{\text{event}}(\beta) \cup \text{affects}(\beta)$ contains a cycle must be wrong.
5.4. The Serializability Theorem
We now present the main result. It says that a simple behavior $\beta$ is serially correct for a non-orphan transaction name $T$ provided that there is a suitable sibling order $R$ for which a certain “view condition” holds for each object name $X$. The view condition says that the portion of $\beta$ occurring at $X$ that is visible to $T$, reordered according to $R$, is a behavior of the serial object $S_X$. In order to make all of this precise, suppose $\beta$ is a finite simple behavior, $T$ a transaction name, $R$ a sibling order that is suitable for $\beta$ and $T$, and $X$ an object name. Let $\xi$ be the sequence consisting of those operations occurring in $\beta$ whose transaction components are accesses to $X$ and are visible to $T$ in $\beta$, ordered according to $R_{\text{trans}}$ on the transaction components. (Lemma 25 implies that this ordering is uniquely determined.) Define $v(\beta,T,R,X)$ to be $\text{perform}(\xi)$.
Informally, $v(\beta,T,R,X)$ represents the portion of the behavior $\beta$ occurring at $X$ that is visible to $T$, reordered according to $R$. Stated in other words, this definition extracts from $\beta$ the REQUEST_COMMIT actions for accesses to $X$ that are visible to $T$; it then reorders those REQUEST_COMMIT actions according to $R$, and then inserts an appropriate CREATE action just prior to each REQUEST_COMMIT action. The theorem uses a hypothesis that each $v(\beta,T,R,X)$ is a behavior of the serial object $S_X$ to conclude that $\beta$ is serially correct for $T$.
**Theorem 27:** (Serializability Theorem) Let $\beta$ be a finite simple behavior, $T$ a transaction name such that $T$ is not an orphan in $\beta$, and $R$ a sibling order suitable for $\beta$ and $T$. Suppose that for each object name $X$, $v(\beta,T,R,X) \in \text{finbehs}(S_X)$. Then $\beta$ is serially correct for $T$.
The theorem has a straightforward corollary that applies to other systems besides simple systems—in particular, to systems that have additional, non-serial actions in their signature.
**Corollary 28:** Let $\{B_i\}_{i \in I}$ be a strongly compatible set of automata and let $B = \Pi_{i \in I} B_i$. Suppose that all non-access transaction names $T$ are in the index set $I$ and that $A_T$ and $B_T$ are identical automata for all such $T$.
Let $\beta$ be a finite behavior of $B$, $T$ a transaction name that is not an orphan in $\beta$ and $R$ a sibling order suitable for $\text{serial}(\beta)$ and $T$. Suppose that the following conditions hold.
1. $\text{serial}(\beta)$ is a simple behavior.
2. For each object name $X$, $v(\text{serial}(\beta),T,R,X) \in \text{finbehs}(S_X)$.
Then $\beta$ is serially correct for $T$.
(Recall that our definition of serial correctness for $T$ only requires that each finite behavior of the given system look to $T$ like a serial behavior. An alternative definition would require the same for all behaviors, not just finite behaviors. However, for $T \neq T_0$, the proof of the Serializability Theorem does not work for all behaviors: the reordering that is carried out in the construction of $\gamma$ need not always produce a sequence, in the case of a transaction that carries out an infinite amount of computation. In fact, this is not just an anomaly of our proof; transaction management systems based on locking algorithms do not satisfy this stronger condition, an observation first made by Rosenkrantz et al. [35]. In the most interesting case, where $T = T_0$, the
stronger condition does hold, and the proof of the Serializability Theorem can be modified to give the result.)
We use the Serializability Theorem and its corollary later in this paper to reason about two locking algorithms, and in [2] to prove correctness of timestamp algorithms. The rest of this section contains a careful (and somewhat technical) proof of the Serializability Theorem. The reader who is more interested in the applications of this theorem than in its proof may wish to go on to later sections without reading the rest of this section. Nothing in the rest of this section is needed for understanding the rest of the paper.
5.5. Proof of the Serializability Theorem
This subsection is devoted to a proof of the Serializability Theorem. We define several technical terms, such as "ordered-visible" and "pictures", to use in the proof. These definitions are not used elsewhere in the paper.
The general strategy is as follows. Given a finite simple behavior $\beta$, a non-orphan transaction $T$, and a suitable sibling order $R$, we must produce a serial behavior $\gamma$ that looks the same as $\beta$ to $T$, i.e., such that $\beta|T = \gamma|T$. The construction of $\gamma$ is done in three steps. First, visible($\beta,T$), the portion of $\beta$ visible to $T$, is extracted from $\beta$. Second, this sequence is reordered according to $R$ and affects($\beta$). (There may be many ways of doing this.) The set of all acceptable reorderings is called ordered-visible($\beta,T,R$). Third, we take a prefix $\gamma$ of a sequence in ordered-visible($\beta,T,R$) that includes all events of $T$. The set of all acceptable such prefixes is called pictures($\beta,T,R$). We argue that each element of pictures($\beta,T,R$) is a serial behavior by showing separately that its projections are behaviors of the transaction automata, of the serial object automata, and of the serial scheduler, and then applying Proposition 2; since the projection of an element of pictures($\beta,T,R$) on $T$ is the same as $\beta|T$, the desired result follows.
5.5.1. Pictures
If $\beta$ is a finite simple behavior, $T$ a transaction name and $R$ a suitable sibling order for $\beta$ and $T$, then define ordered-visible($\beta,T,R$) to be the set of reorderings of visible($\beta,T$) that are consistent with affects($\beta$) $\cup$ $R_{event}(\beta)$. Also, define pictures($\beta,T,R$) to be the set of all sequences $\gamma$ obtained as follows. If no actions $\pi$ with transaction($\pi$) = $T$ appear in visible($\beta,T$) then $\gamma$ is the empty sequence. Otherwise, take a sequence $\delta$ in ordered-visible($\beta,T,R$). Then $\gamma$ is the prefix of $\delta$ ending with $\pi$, where $\pi$ is the last event in $\delta$ such that hightransaction($\pi$) is a descendant of $T$.
Lemma 29: Let $\beta$ be a finite simple behavior, $T$ a transaction name and $R$ a suitable sibling order for $\beta$ and $T$. Then ordered-visible($\beta,T,R$) and pictures($\beta,T,R$) are nonempty sets of sequences.
Proof: By the fact that $R$ is suitable for $\beta$ and $T$. □
Lemma 30: Let $\beta$ be a finite simple behavior, $T$ a transaction name and $R$ a sibling order that is suitable for $\beta$ and $T$. Let $\gamma \in$ pictures($\beta,T,R$). If $\phi$ and $\pi$ are events of $\beta$, $\phi$ affects $\pi$ in $\beta$ and $\pi$ is an event of $\gamma$, then $\phi$ is an event in $\gamma$, and $\phi$ precedes $\pi$ in $\gamma$.
Proof: Since affects($\beta$) is the transitive closure of the finite relation directly-affects($\beta$), it suffices to prove the lemma in the case that $\phi$ directly affects $\pi$ in $\beta$. Since $\pi$ is in visible($\beta,T$), examination of the six cases of the definition of directly-affects($\beta$) shows that $\phi$ is also in visible($\beta,T$). By definition, $\gamma$ is a prefix of a sequence $\delta$ in ordered-visible($\beta,T,R$). Since $\delta$ is ordered consistently with affects($\beta$), $\phi$
5.5.2. Behavior of Transactions
In this subsection, we show that any sequence in pictures(β,T,R) projects to yield a finite behavior of each transaction automaton. Also, for T itself, each sequence in pictures(β,T,R) projects to yield β|T.
**Lemma 31:** Let β be a simple behavior, T a transaction name and R a sibling order that is suitable for β and T. Suppose γ ∈ pictures(β,T,R). Then γ|T = β|T, and γ|T' is a prefix of β|T' for all transaction names T'.
**Proof:** By the definition of pictures, using Lemma 13 and the fact that the directly-affects relation orders all events in β with the same transaction.
**Lemma 32:** Let β be a simple behavior, T a transaction name and R a sibling order that is suitable for β and T. Suppose γ ∈ pictures(β,T,R). Then γ|T' is a finite behavior of A_T', for every non-access transaction name T'.
**Proof:** By Lemma 31 and Proposition 1.
5.5.3. Behavior of Serial Objects
Next we show that any sequence in pictures(β,T,R) projects to yield a finite behavior of each serial object automaton. We will use the view condition to show this; thus, we must begin by relating the definitions of "view" and "pictures".
**Lemma 33:** Let β be a finite simple behavior, T a transaction name and R a sibling order suitable for β and T. Let δ ∈ ordered-visible(β,T,R). Let X be an object name. Then one of the following two possibilities holds.
1. δ|X is identical to view(β,T,R,X).
2. T is an access to X and δ|X is the result of inserting a single CREATE(T) event somewhere in the sequence view(β,T,R,X).
**Proof:** The two constructions imply that δ|X and view(β,T,R,X) have identical subsequences of REQUEST_COMMIT actions. The sequence view(β,T,R,X) contains exactly one CREATE(U) immediately preceding each REQUEST_COMMIT for U. Each such CREATE(U) also appears in δ|X, by the preconditions for the simple database and the definition of visibility; moreover, the definition of ordered-visible implies that each such CREATE(U) also appears immediately preceding the corresponding REQUEST_COMMIT for U. Thus, the only possible difference between δ|X and view(β,T,R,X) is that δ|X might contain some extra CREATE(U) events, without matching REQUEST_COMMIT events for U.
Since δ is a reordering of a subsequence of visible(β,T), any such unmatched CREATE(U) event must have U visible to T in β. Since no REQUEST_COMMIT for U appears in δ|X, none appears in visible(β,T) and hence none appears in β. Simple database preconditions imply that no COMMIT(U) appears in β. Therefore, it must be that U = T, and that T is an access to X.
**Lemma 34:** Let β be a finite simple behavior, T a transaction name such that T is not an orphan in β, and R a sibling order suitable for β and T. Let γ ∈ pictures(β,T,R). Let X be an object name. Then γ|X is either a prefix of view(β,T,R,X) or else is a prefix of view(β,T,R,X) followed by a single CREATE(T) event.
**Proof:** By definition of pictures($\beta, T, R$), $\gamma$ is obtained as a prefix of a sequence $\delta \in$ ordered-visible($\beta, T, R$). The previous lemma implies that $\delta|X$ and view($\beta, T, R, X$) are identical except that an extra CREATE(T) event might appear in $\delta|X$, and this can only occur in case $T$ is an access to $X$.
If $\delta|X$ contains no extra CREATE events not present in view($\beta, T, R, X$), then it is immediate by the construction of $\gamma$ as a prefix of $\delta$ that $\gamma|X$ is a prefix of view($\beta, T, R, X$), as needed. So suppose that $\delta|X$ is the same as view($\beta, T, R, X$) except that $\delta|X$ contains an extra CREATE(T) event. Then the definition of pictures implies that $\gamma|X$ is the prefix of $\delta|X$ ending with the CREATE(T) event. Then $\gamma|X$ is a prefix of view($\beta, T, R, X$) followed by a single CREATE(T) event.
**Lemma 35:** Let $\beta$ be a simple behavior, $T$ a transaction name, $R$ a sibling order that is suitable for $\beta$ and $T$, and $X$ an object name. Suppose that view($\beta, T, R, X$) is a finite behavior of $S_X$. Suppose $\gamma \in$ pictures($\beta, T, R$). Then $\gamma|X$ is a finite behavior of $S_X$.
**Proof:** By Lemma 34 and the fact that inputs to $S_X$, as with any I/O automaton, are always enabled.
### 5.5.4. Behavior of the Serial Scheduler
Next, we show that any sequence in pictures($\beta, T, R$) is a behavior of the serial scheduler.
**Lemma 36:** Let $\beta$ be a finite simple behavior, $T$ a transaction name such that $T$ is not an orphan in $\beta$, and $R$ a sibling order that is suitable for $\beta$ and $T$. Let $\gamma \in$ pictures($\beta, T, R$). Then $\gamma$ is a finite behavior of the serial scheduler.
**Proof:** By definition of pictures($\beta, T, R$), $\gamma$ is obtained as a prefix of a sequence $\delta \in$ ordered-visible($\beta, T, R$). That is, if no actions $\pi$ with transaction($\pi$) = $T$ appear in visible($\beta, T$) then $\gamma$ is empty. Otherwise, $\gamma$ is the prefix of $\delta$ ending with the last event in $\delta$ that has a descendant of $T$ as its hightransaction.
The proof is by induction on prefixes of $\gamma$, with a trivial basis. Let $\gamma'\pi$ be a prefix of $\gamma$ with $\pi$ a single event, and assume that $\gamma'$ is a behavior of the serial scheduler. If $\pi$ is an input action of the serial scheduler, then the fact that inputs are always enabled implies that $\gamma$ is a behavior of the serial scheduler. So assume that $\pi$ is an output action of the serial scheduler. Let $s'$ be the state of the serial scheduler after $\gamma'$. We must show that $\pi$ is enabled in the serial scheduler automaton in state $s'$.
1. $\pi$ is CREATE($T'$). We show that $T' \in s'.create_requested - s'.created - s'.aborted$ and that siblings($T') \cap s'.created \subseteq s'.completed$.
By the preconditions of the simple database and Lemma 14, a REQUEST_CREATE($T'$) event $\phi$ precedes $\pi$ in $\beta$. Then $(\phi, \pi) \in$ affects($\beta$), so Lemma 30 implies that $\phi$ is in $\gamma'$. Thus $T' \in s'.create_requested$.
Since only one CREATE($T'$) occurs in $\beta$, no CREATE($T'$) occurs in $\gamma'$, so by Lemma 8, $T' \not\in s'.created$.
Since by Lemma 12, $T'$ is not an orphan in $\beta$, no ABORT($T'$) occurs in $\beta$. Thus, no ABORT($T'$) occurs in $\gamma'$, so by Lemma 8, $T' \not\in s'.aborted$.
Suppose $T''$ is a sibling of $T'$ that is in $s'.created$. Then CREATE($T''$) occurs in $\gamma'$, by Lemma 14. Since the order of events in $\gamma$ is consistent with $R_{event}(\beta)$, $(T', T'') \not\in R_{trans}$. Since $R_{trans}$ is suitable for $\beta$ and $T$, $(T'', T') \in$
$R_{\text{trans}}$: If $T$ is a descendant of $T''$, then $T$ and $T'$ are incomparable and so $(T, T') \in R_{\text{trans}}$. Since $\delta$ is ordered consistently with $R_{\text{event}}(\beta)$, $\pi$ follows all events $\phi$ in $\delta$ such that hightransaction($\phi$) is a descendant of $T$. But then the definition of pictures would exclude $\pi$ from $\gamma$, a contradiction. Therefore, $T$ is not a descendant of $T''$. Since $T''$ is visible to $T$ in $\beta$, a COMMIT($T''$) event occurs in $\beta$. This COMMIT($T''$) is in visible($\beta, T$) and is ordered before $\pi$ by $R_{\text{event}}(\beta)$. Thus, COMMIT($T''$) precedes $\pi$ in $\delta$, and so COMMIT($T''$) occurs in $\gamma'$. Hence, $T'' \in s'.\text{completed}$.
2. $\pi$ is COMMIT($T'$).
We show that $(T', v) \in s'.\text{commit\_requested}$ for some $v$, and that $T' \not\in s'.\text{completed}$.
By the preconditions of the simple database, there is a value $v$ such that a REQUEST_COMMIT($T', v$) event $\phi$ appears in $\beta$. Then $(\phi, \pi) \in \text{affects}(\beta)$, so Lemma 30 implies that $\phi$ is in $\gamma'$. Thus $(T', v) \in s'.\text{commit\_requested}$.
By Lemma 15, there is only one completion event for $T'$ in $\beta$ and hence only one in $\gamma$. Hence, $T' \not\in s'.\text{completed}$.
3. $\pi$ is ABORT($T'$).
We must show that $T' \in s'.\text{create\_requested} - s'.\text{completed} - s'.\text{created}$ and siblings($T'$) $\cap s'.\text{created} \subseteq s'.\text{completed}$.
By the preconditions of the simple database, a REQUEST_CREATE($T'$) event $\phi$ appears in $\beta$. Then $(\phi, \pi) \in \text{affects}(\beta)$, so Lemma 30 implies that $\phi$ is in $\gamma'$. Thus, $T' \in s'.\text{create\_requested}$.
Since by Lemma 15 there is at most one completion event in $\beta$, there can be no completion event in $\gamma'$. Thus, $T' \not\in s'.\text{completed}$.
Also $T'$ is an orphan in $\beta$, so by Lemma 12, $T'$ is not visible to $T$ in $\beta$. Thus CREATE($T'$) does not occur in visible($\beta, T$) and so also CREATE($T'$) does not occur in $\gamma$. Thus, $T' \not\in s'.\text{created}$.
The remainder of this case is identical to the first case above, when $\pi$ is CREATE($T'$).
4. $\pi$ is a REPORT_COMMIT or REPORT_ABORT event for $T'$.
By the preconditions of the simple database and Lemma 14, a COMMIT or ABORT event $\phi$ appears in $\beta$. Then $(\phi, \pi) \in \text{affects}(\beta)$, so Lemma 30 implies that $\phi$ is in $\gamma'$. Also, by Lemma 15 there is at most one report event in $\beta$, so there can be no report event in $\gamma'$. Thus, $T' \not\in s'.\text{reported}$.
Thus, $\pi$ is enabled in the serial scheduler in state $s'$.
5.5.5. Proof of the Main Result
We can now tie the pieces together to prove Theorem 27, the Serializability Theorem.
**Proof:** Let $\gamma \in \text{pictures}(\beta, T, R)$. (Lemma 29 implies that this set is nonempty.) Lemma 32 shows that $\gamma|T'$ is a finite behavior of $A_{T'}$ for all non-access transaction names $T'$. Lemma 35 shows that $\gamma|X$ is a finite behavior of $S_X$ for all object names $X$.
Lemma 36 implies that $\gamma$ is a finite behavior of the serial scheduler. Proposition 2 implies that $\gamma$ is a finite serial behavior. Lemma 31 implies that $\gamma|T = \beta|T$.
It is easy to see that the serial behavior $\gamma$ constructed to show serial correctness for $T_0$ also has the property that $\gamma|T = \beta|T$ for all $T$ visible to $T_0$ in $\beta$. Thus, if the view condition holds for a suitable sibling order for $T_0$, then there exists a single serial schedule that looks like $\beta$ to all the transactions that commit to the top level.
6. Dynamic Atomicity
The Serializability Theorem gives a general sufficient condition for proving the correctness of transaction-processing algorithms. In this section, we specialize the ideas developed in the preceding section to the particular case of locking algorithms. Locking algorithms serialize transactions according to a particular sibling order, the order in which transactions complete. We define a property of objects, called "dynamic atomicity", that captures this aspect of locking algorithms. Our definition of dynamic atomicity is phrased in terms of a system organization consisting of a "generic object" automaton for each object name, which handles the concurrency control and recovery for that object, and a single "generic controller" automaton that handles communication among the other components. We then prove that a "generic system" in which all generic objects are dynamic atomic is serially correct.
Our definition of dynamic atomicity for an object is phrased in terms of the behaviors of all possible systems in which the object could be placed. At the end of this section, we define another condition on objects, called "local dynamic atomicity", that is stated solely in terms of the behavior of an individual object and suffices to ensure dynamic atomicity. In subsequent sections, we show that particular algorithms ensure local dynamic atomicity.
As discussed earlier, proving that an algorithm is dynamic atomic gives more than just the correctness of a single system. In particular, we can derive as immediate corollaries the correctness of any system in which each object is dynamic atomic. This affords useful modularity. For example, we can initially implement each object in a system using a simple concurrency control and recovery algorithm that provides relatively little concurrency. If some objects are "hot spots" or "concurrency bottlenecks", we can reimplement those objects using more sophisticated algorithms that provide more concurrency. In implementing a particular object, however, we do not need to be concerned with the other objects in the system; instead, we simply need to show that the particular object ensures dynamic atomicity.
6.1. Completion Order
The key property of locking algorithms is that they serialize transactions according to their completion (commit or abort) order. This order is determined dynamically. If $\beta$ is a sequence of actions, then we define completion($\beta$) to be the binary relation on transaction names containing $(T,T')$ if and only if $T$ and $T'$ are siblings and one of the following holds:
1. There are completion events for both $T$ and $T'$ in $\beta$, and a completion event for $T$ precedes a completion event for $T'$.
2. There is a completion event for $T$ in $\beta$, but there is no completion event for $T'$ in $\beta$.
The following is easy to see.
Lemma 37: If $\beta$ is a simple behavior, then completion($\beta$) is a sibling order.
The next few lemmas show that the completion order is suitable. The first shows that events of one transaction $T$ can affect (in the technical sense of the affects($\beta$) relation) events of an unrelated transaction $T'$ only if $T$ completes before $T'$. In other words, the chain in the directly-affects relation must involve the completion event for $T$.
Lemma 38: Let $\beta$ be a simple behavior and let $R = \text{completion}(\beta)$. Let $\pi$ and $\pi'$ be distinct events in $\beta$ with lowtransactions $T$ and $T'$ respectively. If $T$ is neither an ancestor nor a descendant of $T'$ and $(\pi, \pi') \in \text{affects}(\beta)$, then $(\pi, \pi') \in R_{\text{event}}(\beta)$.
Proof: Since $T$ is neither an ancestor nor a descendant of $T'$, there are siblings $U$ and $U'$ such that $T$ is a descendant of $U$ and $T'$ is a descendant of $U'$. Since $\pi$ affects $\pi'$ in $\beta$, by Lemmas 21 and 22, there must be events $\phi$ and $\phi'$ in $\beta$ such that $\phi$ is a REPORT event for $U$, $\phi'$ is REQUEST_CREATE($U'$), and $(\pi, \phi)$, $(\phi, \phi')$ and $(\phi', \pi')$ are all in affects($\beta$). Furthermore, the events $\pi$, $\phi$, $\phi'$ and $\pi'$ occur in $\beta$ in the indicated order.
The simple database preconditions and transaction well-formedness imply that any completion event for $U'$ in $\beta$ must occur after the unique REQUEST_CREATE($U'$) event. Similarly, by Lemma 15, $\phi$ is preceded in $\beta$ by a unique completion event for $U$. Thus $\beta$ contains a completion event for $U$, which precedes $\phi$, which precedes $\phi'$, which in turn precedes any completion event for $U'$. Thus $(U, U') \in R = \text{completion}(\beta)$, and therefore $(\pi, \pi') \in R_{\text{event}}(\beta)$.
Now we will prove that the two partial orders we have defined on the events of $\beta$ are consistent.
Lemma 39: Let $\beta$ be a simple behavior and let $R = \text{completion}(\beta)$. Then $R_{\text{event}}(\beta)$ and affects($\beta$) are consistent partial orders on the events of $\beta$.
Proof: Immediate by Lemmas 38 and 26.
Lemma 40: Let $\beta$ be a simple behavior and $T$ a transaction name. If $T'$ and $T''$ are siblings that are lowtransactions of actions in visible($\beta, T$) then either $(T', T'')$ or $(T'', T') \in \text{completion}(\beta)$.
Proof: Since $T'$ and $T''$ are distinct siblings, $T$ is not a descendant of both $T'$ and $T''$. Without loss of generality, we will assume that $T$ is not a descendant of $T'$. Note that therefore the least common ancestor of $T$ and $T'$ must be an ancestor of parent($T'$). There is an event $\pi$ in visible($\beta, T$) such that lowtransaction($\pi$) = $T'$. Thus either $\pi$ is a completion event for $T'$ or hightransaction($\pi$) must be $T'$. In the case where hightransaction($\pi$) = $T'$, we must have that $T'$ is visible to $T$ in $\beta$, and thus (since $T'$ is not an ancestor of $T$) that $\beta$ contains a COMMIT($T'$) event. Thus in either case $\beta$ contains a completion event for $T'$, and so completion($\beta$) orders $T'$ and $T''$.
Now we can conclude that the completion order is suitable.
Lemma 41: Let $\beta$ be a finite simple behavior and $T$ a transaction name. Then completion($\beta$) is suitable for $\beta$ and $T$.
Proof: By Lemmas 40 and 39.
6.2. Generic Systems
In this subsection, we give the system decomposition appropriate for describing locking algorithms. We will formulate such algorithms as "generic systems", which are composed of transaction automata, "generic object automata" and a "generic controller". The general structure of the system is the same as that given in Figure 1 for serial systems.
The object signature for a generic object contains more actions than that for serial objects. Unlike the serial object for $X$, the corresponding generic object is responsible for carrying out the concurrency control and recovery algorithms for $X$, for example by maintaining lock tables. In order to do this, the automaton requires information about the completion of some of the transactions, in particular, those that have accessed that object. Thus, a generic object automaton has in its signature special INFORM_COMMIT and INFORM_ABORT input actions to inform it about the completion of transactions. These INFORM actions are not restricted to mention only accesses to $X$, since the automaton will also need information about the completion of ancestors of the accesses.
6.2.1. Generic Object Automata
A *generic object automaton* $G_X$ for an object name $X$ of a given system type is an I/O automaton with the following external action signature.
**Input:**
- CREATE($T$), for $T$ an access to $X$
- INFORM_COMMIT_AT($X$)OF($T$), for $T \neq T_0$
- INFORM_ABORT_AT($X$)OF($T$), for $T \neq T_0$
**Output:**
- REQUEST_COMMIT($T,v$), for $T$ an access to $X$ and $v$ a value
In addition, $G_X$ may have an arbitrary set of internal actions. $G_X$ is required to preserve "generic object well-formedness", defined as follows. A sequence $\beta$ of actions $\pi$ in the external signature of $G_X$ is said to be *generic object well-formed* for $X$ provided that the following conditions hold.
1. There is at most one CREATE($T$) event in $\beta$ for any transaction $T$.
2. There is at most one REQUEST_COMMIT event in $\beta$ for any transaction $T$.
3. If there is a REQUEST_COMMIT event for $T$ in $\beta$, then there is a preceding CREATE($T$) event in $\beta$.
4. There is no transaction $T$ for which both an INFORM_COMMIT_AT($X$)OF($T$) event and an INFORM_ABORT_AT($X$)OF($T$) event occur in $\beta$.
5. If an INFORM_COMMIT_AT($X$)OF($T$) event occurs in $\beta$ and $T$ is an access to $X$, then there is a preceding REQUEST_COMMIT event for $T$.
Generic object well-formedness is significantly less restrictive than serial object well-formedness. Serial object well-formedness requires the CREATE and REQUEST_COMMIT actions to alternate, so that only one access is active at a time. Generic object well-formedness allows multiple simultaneously active accesses. The only constraints are that CREATEs and REQUEST_COMMITs not be repeated, that a REQUEST_COMMIT be generated only if the access has already been invoked by a CREATE, and that conflicting information about the
completion of transactions not be received by the object.
6.2.2. Generic Controller
There is a single generic controller for each system type. It passes requests for the creation of subtransactions to the appropriate recipient, makes decisions about the commit or abort of transactions, passes reports about the completion of children back to their parents, and informs objects of the fate of transactions. Unlike the serial scheduler, it does not prevent sibling transactions from being live simultaneously, nor does it prevent the same transaction from being both created and aborted. Rather, it leaves the task of coping with concurrency and recovery to the generic objects. (The generic controller should not be confused with the "scheduler" component of some classical database architectures. In our formal system decomposition, this scheduler has been decomposed into the controller and the generic objects. The important scheduling events are controlled by the objects, and the generic controller acts as a communication system, merely informing transaction and object automata of the occurrence of relevant events.)
The generic controller is very nondeterministic. It may delay passing requests or reports or making decisions for arbitrary lengths of time, and may decide at any time to abort a transaction whose creation has been requested (but that has not yet completed). Each specific implementation of a system will make particular choices from among the many nondeterministic possibilities. For instance, Moss [29] devotes considerable effort to describing a particular distributed implementation of the controller that copes with node and communication failures yet still commits a subtransaction whenever possible. Our results apply *a fortiori* to all implementations of the generic controller obtained by restricting its nondeterminism.
The generic controller has the following action signature.
**Input:**
REQUEST_CREATE(T), T ≠ T₀
REQUEST_COMMIT(T,v)
**Output:**
CREATE(T)
COMMIT(T), T ≠ T₀
ABORT(T), T ≠ T₀
REPORT_COMMIT(T,v), T ≠ T₀
REPORT_ABORT(T), T ≠ T₀
INFORM_COMMIT_AT(X)OF(T), T ≠ T₀
INFORM_ABORT_AT(X)OF(T), T ≠ T₀
All the actions except the INFORM actions play the same roles as in the serial scheduler. The INFORM_COMMIT and INFORM_ABORT actions pass information about the fate of transactions to the generic objects.
Each state s of the generic controller consists of six sets: s.create_requested, s.created, s.commit_requested, s.committed, s.aborted and s.reported. The set s.commit_requested is a set of operations, and the others are sets of transactions. All are empty in the start state except for create_requested, which is {T₀}. Define s.completed = s.committed ∪ s.aborted. The transition relation is as follows.
REQUEST_CREATE(T)
Effect:
\[ s.\text{create\_requested} = s'.\text{create\_requested} \cup \{T\} \]
REQUEST_COMMIT(T,v)
Effect:
\[ s.\text{commit\_requested} = s'.\text{commit\_requested} \cup \{(T,v)\} \]
CREATE(T)
Precondition:
\[ T \in s'.\text{create\_requested} - s'.\text{created} \]
Effect:
\[ s.\text{created} = s'.\text{created} \cup \{T\} \]
COMMIT(T), \( T \neq T_0 \)
Precondition:
\[ (T,v) \in s'.\text{commit\_requested} \text{ for some } v \]
\[ T \not\in s'.\text{completed} \]
Effect:
\[ s.\text{committed} = s'.\text{committed} \cup \{T\} \]
ABORT(T), \( T \neq T_0 \)
Precondition:
\[ T \in s'.\text{create-requested} - s'.\text{completed} \]
Effect:
\[ s.\text{aborted} = s'.\text{aborted} \cup \{T\} \]
REPORT_COMMIT(T,v), \( T \neq T_0 \)
Precondition:
\[ T \in s'.\text{committed} \]
\[ (T,v) \in s'.\text{commit\_requested} \]
\[ T \not\in s'.\text{reported} \]
Effect:
\[ s.\text{reported} = s'.\text{reported} \cup \{T\} \]
REPORT_ABORT(T), \( T \neq T_0 \)
Precondition:
\[ T \in s'.\text{aborted} \]
\[ T \not\in s'.\text{reported} \]
Effect:
\[ s.\text{reported} = s'.\text{reported} \cup \{T\} \]
INFORM_COMMIT_AT(X)OF(T), \( T \neq T_0 \)
Precondition:
\[ T \in s'.\text{committed} \]
INFORM_ABORT_AT(X)OF(T), \( T \neq T_0 \)
Precondition:
\[ T \in s'.\text{aborted} \]
Note that INFORM events may occur any number of times, once they are enabled. This simplifies the description of some of the algorithms implemented in the generic objects, which otherwise would have to store information about the fates of completed transactions.
We have the following simple lemmas, the first relating a schedule of the generic controller to the resulting states, and the second stating some simple properties of schedules of the generic controller.
**Lemma 42:** Let $\beta$ be a finite schedule of the generic controller, and let $s$ be a state such that $\beta$ can leave the generic controller in state $s$. Then the following conditions are true.
1. $T$ is in $s.create_requested$ if and only if $T = T_0$ or $\beta$ contains a REQUEST_CREATE($T$) event.
2. $T$ is in $s.created$ if and only if $\beta$ contains a CREATE($T$) event.
3. $(T,v)$ is in $s.commit_requested$ if and only if $\beta$ contains a REQUEST_COMMIT($T,v$) event.
4. $T$ is in $s.committed$ if and only if $\beta$ contains a COMMIT($T$) event.
5. $T$ is in $s.aborted$ if and only if $\beta$ contains an ABORT($T$) event.
6. $T$ is in $s.reported$ if and only if $\beta$ contains a report event for $T$.
7. $s.committed \cap s.aborted = \emptyset$.
8. $s.reported \subseteq s.committed \cup s.aborted$.
**Lemma 43:** Let $\beta$ be a schedule of the generic controller. Then all of the following hold:
1. If a CREATE($T$) event appears in $\beta$, then a REQUEST_CREATE($T$) event precedes it in $\beta$.
2. At most one CREATE($T$) event appears in $\beta$ for each transaction $T$.
3. If a COMMIT($T$) event appears in $\beta$, then a REQUEST_COMMIT($T,v$) event precedes it in $\beta$ for some return value $v$.
4. If an ABORT($T$) event appears in $\beta$, then a REQUEST_CREATE($T$) event precedes it in $\beta$.
5. At most one completion event appears in $\beta$ for each transaction.
6. At most one report event appears in $\beta$ for each transaction.
7. If a REPORT_COMMIT($T,v$) event appears in $\beta$, then a COMMIT($T$) event precedes it in $\beta$.
8. If a REPORT_ABORT($T$) event appears in $\beta$, then an ABORT($T$) event precedes it in $\beta$.
9. If an INFORM_COMMIT_AT(X)OF($T$) event appears in $\beta$, then a COMMIT($T$) event precedes it in $\beta$.
10. If an INFORM_ABORT_AT(X)OF($T$) event appears in $\beta$, then an ABORT($T$) event precedes it in $\beta$.
6.2.3. Generic Systems
A generic system of a given system type is the composition of a strongly compatible set of automata indexed by the union of the set of non-access transaction names, the set of object names and the singleton set \{GC\} (for "generic controller"). Associated with each non-access transaction name $T$ is a transaction automaton $A_T$ for $T$, the same automaton as in the serial system. Associated with each object name $X$ is a generic object automaton $G_X$ for $X$. Finally, associated with the name GC is the generic controller automaton for the system type.
The external actions of a generic system are called generic actions, and the executions, schedules and behaviors of a generic system are called generic executions, generic schedules and generic behaviors, respectively. The following proposition says that generic behaviors have the appropriate well-formedness properties. Its proof is analogous to that of the similar result for serial behaviors.
**Proposition 44:** If $\beta$ is a generic behavior, then the following conditions hold.
1. For every transaction name $T$, $\beta|T$ is transaction well-formed for $T$.
2. For every object name $X$, $\beta|G_X$ is generic object well-formed for $X$.
The following result says that if the INFORM events are removed from any generic behavior, the result is a simple behavior.
**Proposition 45:** If $\beta$ is a generic behavior then $\text{serial}(\beta)$ is a simple behavior.
**Proof:** By a straightforward induction on the length of prefixes of $\beta$.
The following variant of the corollary to the Serializability Theorem applies to the special case where $R$ is the completion order and the system is a generic system.
**Proposition 46:** Let $\beta$ be a finite generic behavior and $T$ a transaction name that is not an orphan in $\beta$, and let $R = \text{completion}(\beta)$. Suppose that for each object name $X$, $\text{view}(\text{serial}(\beta), T, R, X) \in \text{finbehs}(S_X)$. Then $\beta$ is serially correct for $T$.
**Proof:** Immediate from Corollary 28, using Lemma 41, Proposition 45, and the observation that $\text{completion}(\beta) = \text{completion}(\text{serial}(\beta))$.
6.3. Dynamic Atomicity
Now we define the "dynamic atomicity" property for a generic object automaton; roughly speaking, it says that the object satisfies the view condition using the completion order as the sibling order $R$. This restatement of the view condition as a property of a generic object is convenient for decomposing correctness proofs for locking algorithms: the Serializability Theorem implies that if all the generic objects in a generic system are dynamic atomic, then the system guarantees serial correctness for all non-orphan transaction names. All that remains is to show that the generic objects that model the locking algorithms of interest are dynamic atomic.
Let $G_X$ be a generic object automaton for object name $X$. We say that $G_X$ is dynamic atomic for a given system type if for all generic systems $S$ of the given type in which $G_X$ is associated with $X$, the following is true. Let $\beta$ be a finite behavior of $S$, $R = \text{completion}(\beta)$ and $T$ a
---
15 An alternative proof can be formulated in terms of the notion of implementation, using a possibilities mapping.
transaction name that is not an orphan in $\beta$. Then view(serial($\beta$), T, R, X) $\in$ finbehs(S$_X$).
**Theorem 47:** (Dynamic Atomicity Theorem) Let $S$ be a generic system in which all generic objects are dynamic atomic. Let $\beta$ be a finite behavior of $S$. Then $\beta$ is serially correct for every non-orphan transaction name.
**Proof:** Immediate from Proposition 46 and the definition of dynamic atomicity. □
As discussed earlier, this proof structure can be used to yield much stronger results than just the correctness of the locking algorithms in this paper. As long as each object is dynamic atomic, the whole system will guarantee that any finite behavior is serially correct for all non-orphan transaction names. Thus, we are free to use an arbitrary implementation for each object, independent of the choice of implementation for each other object, as long as dynamic atomicity is satisfied. For example, a simple algorithm such as Moss’s can be used for most objects, while a more sophisticated algorithm permitting extra concurrency by using type-specific information can be used for objects that are “hot spots”. (That is, objects that are very frequently accessed.) The idea of a condition on objects that guarantees serial correctness was introduced by Weihl [42, 40] for systems without transaction nesting.
### 6.4. Local Dynamic Atomicity
In the previous subsection, we showed that to prove that a generic system guarantees serial correctness for non-orphan transactions it is enough to check that each generic object automaton is dynamic atomic. In this subsection, we define another property of generic object automata called “local dynamic atomicity”, which is a convenient sufficient condition for showing dynamic atomicity. For each generic object automaton G, dynamic atomicity is a local condition in that it only depends on G. However, the form in which the condition is stated may be difficult to check directly: one must be able to verify a condition involving view(serial($\beta$), T, completion($\beta$), X) for all finite behaviors $\beta$ of all generic systems containing G. Local dynamic atomicity is defined more directly in terms of the behaviors of G.
First we introduce some terms to describe information about the status of transactions that is deducible from the behavior of a particular generic object. Let $G_X$ be a generic object automaton for X, $\beta$ a sequence of external actions of $G_X$, and T and T’ transaction names. Then T is *locally visible at X to T’* in $\beta$ if $\beta$ contains an INFORM_COMMIT_AT(X)OF(U) event for every U in ancestors(T) - ancestors(T’). Also, T is a *local orphan at X* in $\beta$ if an INFORM_ABORT_AT(X)OF(U) event occurs in $\beta$ for some ancestor U of T. The following are obvious facts about local visibility and local orphans.
**Lemma 48:** Let $G_X$ be a generic object automaton for X. Let $\beta$ be a sequence of external actions of $G_X$, and let T, T’ and T” be transaction names. If T is locally visible at X to T’ in $\beta$, and T’ is locally visible at X to T” in $\beta$, then T is locally visible at X to T’ in $\beta$.
**Lemma 49:** Let $G_X$ be a generic object automaton for X. Let $\beta$ be a generic object well-formed sequence of external actions of $G_X$, and let T and T’ be transaction names. If T is locally visible at X to T’ in $\beta$, and T’ is not a local orphan at X in $\beta$, then T is not a local orphan at X in $\beta$.
We now justify the names introduced above by showing some relationships between the local properties defined above and the corresponding global properties.
Lemma 50: Let $\beta$ be a behavior of a generic system in which generic object automaton $G_X$ is associated with $X$. If $T$ is locally visible at $X$ to $T'$ in $\beta|G_X$ then $T$ is visible to $T'$ in $\beta$. Similarly, if $T$ is a local orphan at $X$ in $\beta|G_X$ then $T$ is an orphan in $\beta$.
Proof: These are immediate consequences of the generic controller preconditions, which imply that any INFORM_ABORT_AT(X)OF(T) event in $\beta$ must be preceded by an ABORT(T) event and that any INFORM_COMMIT_AT(X)OF(T) is preceded by COMMIT(T).
Next, we define a relation on accesses to $X$ to describe some information about the completion order that is deducible from the behavior of $G_X$. Given a sequence $\beta$ of external actions of $G_X$, we define a binary relation local-completion($\beta$) on accesses to $X$. Namely, $(U,U') \in$ local-completion($\beta$) if and only if $U \neq U'$, $\beta$ contains REQUEST_COMMIT events for both $U$ and $U'$, and $U$ is locally visible at $X$ to $U'$ in $\beta'$, where $\beta'$ is the longest prefix of $\beta$ not containing the given REQUEST_COMMIT event for $U'$. The intuition underlying this definition is that $(U,U')$ is in local-completion($\beta$) if in any generic behavior $\gamma$ such that $\gamma|G_X$, the ancestors of $U$ and $U'$ that are siblings, say $T$ and $T'$ respectively, must complete in this order (i.e., $T$ before $T'$).
Lemma 51: If $\beta$ is a generic object well-formed sequence of external actions of a generic object automaton for $X$, then local-completion($\beta$) is an irreflexive partial order on accesses to $X$.
Proof: We must show that local-completion($\beta$) is irreflexive, antisymmetric and transitive. Irreflexivity follows immediately from the definition.
Suppose that $(T,T')$ and $(T',T)$ are both in local-completion($\beta$). Then $\beta$ contains a REQUEST_COMMIT event for each of $T$ and $T'$, and generic object well-formedness implies that there is only one of each. Since $(T,T') \in$ local-completion($\beta$), $T$ is locally visible at $X$ to $T'$ in the longest prefix $\beta'$ of $\beta$ not containing the REQUEST_COMMIT for $T'$. Therefore, an INFORM_COMMIT for $T$ occurs in $\beta'$, and generic object well-formedness implies that the REQUEST_COMMIT for $T$ precedes the REQUEST_COMMIT for $T'$ in $\beta$. But the same reasoning implies that the REQUEST_COMMIT for $T'$ precedes the REQUEST_COMMIT for $T$ in $\beta$, a contradiction. Therefore, local-completion($\beta$) is antisymmetric.
Now suppose $(T,T')$ and $(T',T'')$ are both in local-completion($\beta$). Let $\beta'$ and $\beta''$ be the longest prefixes of $\beta$ not containing a REQUEST_COMMIT for $T'$ and not containing a REQUEST_COMMIT for $T''$, respectively. As in the argument above, the REQUEST_COMMIT for $T'$ must precede the REQUEST_COMMIT for $T''$ in $\beta$, so $\beta'$ is a prefix of $\beta''$. Since $T$ is locally visible at $X$ to $T'$ in $\beta'$, $T$ is locally visible at $X$ to $T'$ in $\beta''$, and since $T'$ is locally visible at $X$ to $T''$ in $\beta''$, Lemma 49 implies that $T$ is locally visible at $X$ to $T''$ in $\beta''$. Thus $(T,T'') \in$ local-completion($\beta$).
The relationship between the local-completion order and the true completion order in a generic system is as follows.
Lemma 52: Let $\beta$ be a behavior of a generic system in which generic object automaton $G_X$ is associated with $X$. Let $T$ and $T'$ be accesses to $X$. If $(T,T') \in$ local-completion($\beta|G_X$), and $T'$ is not an orphan in $\beta$, then $(T,T') \in R_{\text{trans}}$, where $R =$ completion($\beta$).
Proof: By definition of local-completion(β), β|G_X contains a REQUEST_COMMIT event for T', and T is locally visible at X to T' in β'|G_X, where β' is the longest prefix of β not containing the REQUEST_COMMIT for T'. Lemma 50 implies that T is visible to T' in β'.
Since β is transaction well-formed for T', it contains at most one REQUEST_COMMIT event for T', and so β' does not contain a REQUEST_COMMIT event for T'. By the controller preconditions, and Lemma 43, β' does not contain a COMMIT(T') event. Since β|G_X is generic object well-formed, β' contains a CREATE(T') event. Since T' is not an orphan in β, β' does not contain an ABORT(T') event. Therefore, T' is live in β'.
Let U and U' denote the siblings such that T is a descendant of U, and T' is a descendant of U'. Since T is visible to T' in β', β' contains a COMMIT(U) event. By Proposition 45 and Lemma 18, U' must be live in β'. Since β' contains a return for U, and no return for U', it follows that (U,U') ∈ R. Therefore (T,T') ∈ R_{trans}.
Notice that the global completion order is a total order on siblings that actually complete. The local completion order, however, might be partial, since two siblings might run descendant accesses before either sibling completes. In such a situation, the object does not know which order the siblings completed in.
6.4.1. Example: Local-completion(β|G_X) and Completion(β)
One might expect local-completion(β|G_X) to be a subset of completion(β)_{trans}. Lemma 52 shows that most pairs (T,T') in local-completion(β|G_X) are also in completion(β)_{trans}, but only if T' is not an orphan. The following example shows why this assumption is necessary. Suppose T and T' are accesses to X with parents U and U', respectively, and that U and U' are siblings. Consider the following fragment of a generic behavior (for brevity, we have omitted most of the REQUEST actions):
```
CREATE(U')
REQUEST_CREATE(T')
ABORT(U')
CREATE(U)
CREATE(T)
COMMIT(T)
INFORM_COMMIT_AT(X)OF(T)
COMMIT(U)
INFORM_COMMIT_AT(X)OF(U)
CREATE(T')
REQUEST_COMMIT(T',v')
```
The generic controller allows an orphan transaction such as T' to continue running, so even after U' has been aborted T' can be created. (In fact, the REQUEST_CREATE(T') action could occur after the ABORT(U') action, since U' can also keep running after ABORT(U') occurs.) The fragment of this behavior involving G_X consists of the following sequence of actions:
```
CREATE(T)
INFORM_COMMIT_AT(X)OF(T)
INFORM_COMMIT_AT(X)OF(U)
CREATE(T')
```
REQUEST_COMMIT(T', v')
The definition of local-completion implies that (T, T') is in the local-completion ordering. However, notice that U' aborted before U committed, so (U', U) is in the global completion ordering. Hence, (T', T) is in completion\textsubscript{trans}.
6.4.2. Local Views and Local Dynamic Atomicity
Now we give a definition to describe how to reorder the external actions of a generic object automaton according to a given local-completion order. Suppose \(\beta\) is a generic object well-formed sequence of external actions of \(G_X\) and T is a transaction name. Let \textit{local-views}(\(\beta\), T) be the set of sequences defined as follows. Let Z be the set of operations occurring in \(\beta\) whose transactions are locally visible at X to T in \(\beta\). Then the elements of \textit{local-views}(\(\beta\), T) are the sequences of the form \textit{perform}(\(\xi\)), where \(\xi\) is a total ordering of Z in an order consistent with the partial order local-completion(\(\beta\)) on the transaction components. The following is straightforward from the definitions.
**Lemma 53:** If \(\beta\) is a generic object well-formed sequence of external actions of \(G_X\) and T is a transaction name, then every element of \textit{local-views}(\(\beta\), T) is serial object well-formed.
We are finally ready to define “local dynamic atomicity”. We say that generic object automaton \(G_X\) for object name X is \textit{locally dynamic atomic} if whenever \(\beta\) is a finite generic object well-formed behavior of \(G_X\) and T is a transaction name that is not a local orphan at X in \(\beta\), then \textit{local-views}(\(\beta\), T) \(\subseteq\) finbehs(S\textsubscript{X}). That is, the result of reordering a behavior of \(G_X\) according to the given local-completion order is a finite behavior of the corresponding serial object automaton. The main result of this subsection says that local dynamic atomicity is a sufficient condition for dynamic atomicity.
**Theorem 54:** If \(G_X\) is locally dynamic atomic then \(G_X\) is dynamic atomic.
**Proof:** Let \(S\) be a generic system in which \(G_X\) is associated with X. Let \(\beta\) be a finite behavior of \(S\), R = completion(\(\beta\)) and T a transaction name that is not an orphan in \(\beta\). We must prove that view(serial(\(\beta\)), T, R, X) \(\in\) finbehs(S\textsubscript{X}). By definition, view(serial(\(\beta\)), T, R, X) = \textit{perform}(\(\xi\)), where \(\xi\) is the sequence of operations occurring in \(\beta\) whose transactions are visible to T in \(\beta\), arranged in the order given by \(R_{\text{trans}}\) on the transaction component.
Let \(\gamma\) be a finite sequence of actions consisting of exactly one INFORM_COMMIT_AT(X)OF(U) for each COMMIT(U) that occurs in \(\beta\). Then \(\beta\gamma\) is a behavior of the system \(S\), since each action in \(\gamma\) is an enabled output action of the generic controller, by Lemma 42. Then \(\beta\gamma|G_X\) is a behavior of \(G_X\), and Proposition 44 implies that it is generic object well-formed.
Since INFORM_COMMIT_AT(X)OF(U) occurs in \(\beta\gamma|G_X\) if and only if COMMIT(U) occurs in \(\beta\), an access T' to X is visible to T in \(\beta\) if and only if it is locally visible at X to T in \(\beta\gamma|G_X\). Therefore, the same operations occur in view(serial(\(\beta\)), T, R, X) and in any sequence in \textit{local-views}(\(\beta\gamma|G_X\), T). To show that view(serial(\(\beta\)), T, R, X) \(\in\) \textit{local-views}(\(\beta\gamma|G_X\), T), we must show that they can appear in the same order.
If $T'$ is any access that is locally visible at $X$ to $T$ in $\beta \gamma | G_X$, then $T'$ is visible to $T$ in $\beta$, so Lemma 12 implies that $T'$ is not an orphan in $\beta$, and hence not an orphan in $\beta \gamma$. Also, note that completion($\beta \gamma$) = completion($\beta$) = $R$. Then Lemma 52 implies that if accesses that are locally visible at $X$ to $T$ in $\beta \gamma | G_X$ are ordered by local-completion($\beta \gamma | G_X$), they are also ordered in the same way by $R_{trans}$.
Thus, the sequence $\xi$ can be obtained by taking those operations $(T', v')$ such that REQUEST_COMMIT$(T', v')$ occurs in $\beta \gamma | G_X$ and $T'$ is locally visible at $X$ to $T$ in $\beta \gamma | G_X$, and arranging them in an order that is consistent with local-completion($\beta \gamma | G_X$) on the transaction component. Thus, perform($\xi$) is an element of local-views($\beta \gamma | G_X, T$). Since $G_X$ is locally dynamic atomic, perform($\xi$) is a finite behavior of $S_X$, as required.
7. Properties of Operations and Objects
The correctness of the two algorithms in this paper depends on semantic information about the types of serial object automata used in the underlying serial system. For example, Moss's algorithm provides special treatment for "read accesses", i.e., accesses that do not modify the state of the object. Also, our general commutativity-based locking algorithm uses information about commutativity of certain operations in order to determine the orders in which these operations are permitted to occur. In this section, we provide the appropriate definitions for these concepts.
We first define the important concept of "equieffectiveness" of two sequences of external actions of a serial object automaton. Roughly speaking, two sequences are "equieffective" if they can leave the automaton in states that are indistinguishable to the outside world. We then define the notion of "commutativity" required for our algorithm. Finally, we define "read accesses"; that is, we state the properties of read accesses that are required for the correctness of Moss's algorithm.
7.1. Equieffectiveness
In this subsection, we define "equieffectiveness" of finite sequences of external actions of a particular serial object automaton $S_X$. The definition says that the two sequences can leave $S_X$ in states that cannot be distinguished by any environment in which $S_X$ can appear. Formally, we express this indistinguishability by requiring that $S_X$ can exhibit the same behaviors as continuations of the two given sequences.
Let $X$ be an object name, and recall that $S_X$ is a particular serial object automaton for $X$. Let $\beta$ and $\beta'$ be finite sequences of actions in ext($S_X$). Then $\beta$ is equieffective to $\beta'$ (with respect to $S_X$) if for every sequence $\gamma$ of actions in ext($S_X$) such that both $\beta \gamma$ and $\beta' \gamma$ are serial object well-formed for $X$, $\beta \gamma \in \text{beh}(S_X)$ if and only if $\beta' \gamma \in \text{beh}(S_X)$. Obviously, equieffectiveness is a symmetric relation, so that if $\beta$ is equieffective to $\beta'$ we often say that $\beta$ and $\beta'$ are equieffective. Also, any sequence that is not serial object well-formed for $X$ is equieffective to all sequences. On the other hand, if $\beta$ and $\beta'$ are serial object well-formed sequences for $X$ and $\beta$ is equieffective to $\beta'$, then if $\beta$ is in $\text{beh}(S_X)$, $\beta'$ must also be in $\text{beh}(S_X)$.
The following proposition says that extensions of equieffective sequences are also
Proposition 55: Let $X$ be an object name. Let $\beta$ and $\beta'$ be equieffective sequences of actions in $\text{ext}(S_X)$. Let $\gamma$ be a finite sequence of actions in $\text{ext}(S_X)$. Then $\beta\gamma$ is equieffective to $\beta'\gamma$.
Equieffectiveness is not an equivalence relation, but we do have a restricted transitivity result.
Lemma 56: Let $X$ be an object name, and let $\xi$, $\eta$ and $\zeta$ be three finite sequences of operations of $X$ that are serial object well-formed for $X$, such that every operation in $\eta$ appears in either $\xi$ or $\zeta$. If $\text{perform}(\xi)$ is equieffective to $\text{perform}(\eta)$, and $\text{perform}(\eta)$ is equieffective to $\text{perform}(\zeta)$, then $\text{perform}(\xi)$ is equieffective to $\text{perform}(\zeta)$.
Proof: Suppose $\text{perform}(\xi)$ and $\text{perform}(\eta)$ are equieffective, and that $\text{perform}(\eta)$ and $\text{perform}(\zeta)$ are equieffective. Let $\gamma$ be a sequence of external actions of $S_X$ such that $\text{perform}(\xi)\gamma$ and $\text{perform}(\zeta)\gamma$ are serial object well-formed for $X$, and suppose that $\text{perform}(\xi)\gamma$ is a behavior of $S_X$. We show that $\text{perform}(\zeta)\gamma$ is a behavior of $S_X$.
By the definition of serial object well-formedness, $\gamma$ must be either of the form $\text{perform}(\tau)$ or $\text{perform}(\tau)\text{CREATE}(T)$, where the first components of all the operations in $\tau$ (and $T$ as well, if appropriate) are distinct from the first components of all the operations in $\xi$ and $\zeta$. By the condition on $\eta$, the first components of all the operations in $\tau$ (and $T$ as well, if appropriate) are distinct from the first components of the operations in $\eta$. Thus, $\text{perform}(\eta)\gamma$ is serial object well-formed. The definition of equieffectiveness than implies that $\text{perform}(\eta)\gamma$ is a behavior of $S_X$, and therefore that $\text{perform}(\zeta)\gamma$ is a behavior of $S_X$, as needed.
A special case of equieffectiveness occurs when the final states of two finite executions are identical. The classical notion of serializability uses this special case, in requiring concurrent executions to leave the database in the same state as some serial execution of the same transactions. However, this property is probably too restrictive for reasoning about an implementation in which details of the system state may be different following any concurrent execution than after a serial one. (Relations may be stored on different pages, or data structures such as B-trees may be configured differently.) These details are irrelevant to the perceived future behavior of the database. The notion of equieffectiveness formalizes this indistinguishability of different implementation states.
7.2. Commutativity
We now define an appropriate notion of commutativity for operations of a particular serial object automaton. Namely, we say that operations $(T,v)$ and $(T',v')$ commute, where $T$ and $T'$ are accesses to $X$, if for any sequence of operations $\xi$ such that both $\text{perform}(\xi(T,v))$ and $\text{perform}(\xi(T',v'))$ are serial object well-formed behaviors of $S_X$, then $\text{perform}(\xi(T,v)(T',v'))$ and $\text{perform}(\xi(T',v')(T,v))$ are equieffective serial object well-formed behaviors of $S_X$.
A consequence of the definition of commutativity is the following extension to sequences of operations.
Proposition 57: Suppose that $\zeta$ and $\zeta'$ are finite sequences of operations of $X$ such that each operation in $\zeta$ commutes with each operation in $\zeta'$. If $\xi$ is a finite sequence of operations of $S_X$ such that $\text{perform}(\xi\zeta)$ and $\text{perform}(\xi\zeta')$ are serial object well-formed behaviors of $S_X$, then $\text{perform}(\xi\zeta\zeta')$ and $\text{perform}(\xi\zeta'\zeta)$ are equieffective serial
object well-formed behaviors of $S_X$.
The definition of commutativity given here is a variation of the notion of "forward commutativity" due to Weihl [39], originally defined in [42], adapted to the formal framework used in this paper. This definition is different from and slightly more complicated than that often used in the classical theory, for two reasons. First, we deal with objects whose accesses may be specified to be partial and nondeterministic, that is, the return value may be undefined or multiply defined from a given state. Second, as discussed in detail by Weihl [41], the definition used in the classical theory is appropriate for concurrency control and recovery algorithms that use an "update-in-place" approach to abort recovery (with recovery based on undo logs); the definition given here is appropriate for algorithms that use a "deferred-update" approach to abort recovery (with recovery based on intentions lists).
7.2.1. Example: Commutative Banking Operations
As an example, consider the serial object $S_{BA}$ described in Section 4.5.2. For this object, it is clear that two serial object well-formed schedules that leave the same final balance in the account are equieffective, since the result of each access depends only on the current balance. We claim that if T and T' are accesses of kind deposit_$a$ and deposit_$b$, then the operations (T,"OK") and (T',"OK") commute. To see this, suppose that perform($\xi(T,"OK")$) and perform($\xi(T',"OK")$) are serial object well-formed behaviors of $S_X$. This implies that $\xi$ is serial object well-formed and contains no operation with first component T or T'. Therefore, $\beta =$ perform($\xi(T,"OK")$(T',"OK")) and $\beta' =$ perform($\xi(T',"OK")$(T,"OK")) are serial object well-formed. Also, since perform($\xi$) is a behavior of $S_X$, so are $\beta$ and $\beta'$, since a deposit can always occur. Finally, the balance left after each of $\beta$ and $\beta'$ is $(x+a+b)$, where $x$ is the balance after perform($\xi$), so $\beta$ and $\beta'$ are equieffective.
Also, if T and T' are distinct accesses of kind withdraw_$a$ and withdraw_$b$ respectively, then we claim that (T,"OK") and (T',"FAIL") commute. The reason is that if perform($\xi(T,"OK")$) and perform($\xi(T',"FAIL")$) are both serial object well-formed behaviors then we must have $a \leq x < b$, where $x$ is the balance after perform($\xi$). Then both perform($\xi(T,"OK")$(T',"FAIL")) and perform($\xi(T',"FAIL")$(T,"OK")) are serial object well-formed behaviors of $S_X$ that result in a balance of $(x - a)$, and so are equieffective.
On the other hand, if T and T' are distinct accesses of the kind withdraw_$a$ and withdraw_$b$ respectively, then (T,"OK") and (T',"OK") do not commute, since if perform($\xi$) leaves a balance of $x$, where max(a,b) $\leq x < a+b$, then perform($\xi(T,"OK")$) and perform($\xi(T',"OK")$) can be serial object well-formed behaviors of $S_X$, but perform($\xi(T,"OK")$(T',"OK")) is not a behavior, since after perform($\xi(T,"OK")$) the balance left is $(x - a)$, which is not sufficient to cover the withdrawal of $b$.
7.3. Transparent Operations
We now define the essential property that we will require of any read access. We say that an operation (T,v) at X is transparent if for any finite sequence of operations $\xi$ of $S_X$ such that perform($\xi(T,v)$) is a serial object well-formed behavior of $S_X$, perform($\xi(T,v)$) and perform($\xi$) are equieffective behaviors of $S_X$. Thus, a transparent operation does not affect the later behavior of the object automaton. The following simple proposition shows that any subsequence
consisting of transparent operations can be removed from a behavior, resulting in a behavior equieffective to the original one.
**Proposition 58:** Let $\eta$ be a finite serial object well-formed sequence of operations of $X$ such that $\text{perform}(\eta)$ is a behavior of $S_X$, and let $\xi$ be a subsequence of $\eta$ such that every operation in $\eta - \xi$ is transparent. Then $\text{perform}(\eta)$ and $\text{perform}(\xi)$ are equieffective serial object well-formed behaviors of $S_X$.
It is easy to see that transparent operations commute.
**Proposition 59:** Let $(T,v)$ and $(T',v')$ be transparent operations of $X$ such that $T \neq T'$. Then $(T,v)$ commutes with $(T',v')$.
**Proof:** Suppose $\xi$ is a finite sequence of operations of $X$ such that $\text{perform}(\xi(T,v))$ and $\text{perform}(\xi(T',v'))$ are serial object well-formed behaviors of $S_X$. Then no operation in $\xi$ has $T$ or $T'$ as first component, and all the operations in $\xi$ have distinct first components. Therefore $\text{perform}(\xi(T,v)(T',v'))$ and $\text{perform}(\xi(T',v')(T,v))$ are serial object well-formed sequences of external actions of $S_X$. Now $\text{perform}(\xi(T,v))$ and $\text{perform}(\xi)$ are equieffective, since $(T,v)$ is transparent. Since $\text{perform}(\xi)\text{perform}(T',v')$ is a behavior of $S_X$, the definition of equieffectiveness implies that $\text{perform}(\xi(T,v))\text{perform}(T',v') = \text{perform}(\xi(T,v)(T',v'))$ is also a behavior of $S_X$. Similarly, the fact that $(T',v')$ is transparent implies that $\text{perform}(\xi(T',v')(T,v))$ is a behavior of $S_X$. By Proposition 58, each of $\text{perform}(\xi(T,v)(T',v'))$ and $\text{perform}(\xi(T',v')(T,v))$ is equieffective to $\text{perform}(\xi)$. Lemma 56 now shows that they are equieffective to each other, as required.
### 8. General Commutativity-Based Locking
In this section, we present our general commutativity-based locking algorithm and its correctness proof. The algorithm is described as a generic system. The system type and the transaction automata are assumed to be fixed, and are the same as those of the given serial system. The generic controller automaton has already been defined. Thus, all that remains is to define the generic objects. We define the appropriate objects here, and show that they are dynamic atomic.
#### 8.1. Locking Objects
For each object name $X$, we describe a generic object automaton $L_X$ (a “locking object”). The object automaton uses the commutativity relation between operations to decide when to allow operations to be performed. Recovery is handled using intentions lists [21, 28], which we generalize here to handle nested transactions. When a transaction executes an operation (i.e., when a response is returned for an access), the operation is recorded in the transaction’s intentions list. When a transaction commits (i.e., when an INFORM_COMMIT action occurs for the transaction), the transaction’s intentions list is appended to its parent’s. When a transaction aborts, its intentions list is discarded. The response for an access is constrained so that the resulting operation can be performed by the serial object from a state resulting from executing the intentions lists of the access’s ancestors.
Automaton $L_X$ has the usual signature of a generic object automaton for $X$. A state $s$ of $L_X$ has components $s.\text{created}$, $s.\text{commit-requested}$ and $s.\text{intentions}$. Of these, created and commitrequested are sets of transactions, initially empty, and intentions is a function from transactions to sequences of operations of $X$, initially mapping every transaction to the empty sequence $\lambda$. When $(T,v)$ is a member of $s.\text{intentions}(U)$, we say that $U$ holds a \textit{(T,v)-lock}. Given a state $s$ and a transaction name $T$ we also define the sequence $\text{total}(s,T)$ of operations by the recursive definition $\text{total}(s,T_0) = s.\text{intentions}(T_0)$, $\text{total}(s,T) = \text{total}(s,\text{parent}(T))s.\text{intentions}(T)$. Thus, $\text{total}(s,T)$ is the sequence of operations obtained by concatenating the values of intentions along the chain from $T_0$ to $T$, in order. The precondition for REQUEST_COMMIT$(T,v)$, where $T$ is an access, explicitly references semantic properties of serial object $S_X$, ensuring that $\text{perform}(\text{total}(s,T'))$ is a behavior of $S_X$ for any transaction $T'$. (The proof of this fact relies on the explicit test in the precondition for REQUEST_COMMIT$(T,v)$, which ensures that $\text{perform}(\text{total}(s,T))$ is a behavior of $S_X$, plus the test that $(T,v)$ commutes with operations performed by concurrent transactions.)
The transition relation of $L_X$ is given by all triples $(s',\pi,s)$ satisfying the following pre- and postconditions, given separately for each $\pi$. As before, any component of $s$ not mentioned in the postconditions is the same in $s$ as in $s'$.
**CREATE**(T), T an access to X
**Effect:**
$s.\text{created} = s'.\text{created} \cup \{T\}$
**INFORM_COMMIT_AT**(X)**OF**(T), $T \neq T_0$
**Effect:**
$s.\text{intentions}(T) = \lambda$
$s.\text{intentions}(\text{parent}(T)) = s'.\text{intentions}(\text{parent}(T))s'.\text{intentions}(T)$
$s.\text{intentions}(U) = s'.\text{intentions}(U)$ for $U \neq T$, $\text{parent}(T)$
**INFORM_ABORT_AT**(X)**OF**(T), $T \neq T_0$
**Effect:**
$s.\text{intentions}(U) = \lambda$, $U \in \text{descendants}(T)$
$s.\text{intentions}(U) = s'.\text{intentions}(U)$, $U \not\in \text{descendants}(T)$
**REQUEST_COMMIT**(T,v), T an access to X
**Precondition:**
$T \in s'.\text{created} - s'.\text{commit-requested}$
$(T,v)$ commutes with every $(T',v')$ in $s'.\text{intentions}(U)$,
where $U \not\in \text{ancestors}(T)$
$\text{perform}(\text{total}(s',T)(T,v)) \in \text{finbehs}(S_X)$
**Effect:**
$s.\text{commit-requested} = s'.\text{commit-requested} \cup \{T\}$
$s.\text{intentions}(T) = (T,v)$
$s.\text{intentions}(U) = s'.\text{intentions}(U)$ for $U \neq T$
Thus, when an access transaction is created, it is simply added to the set created. When $L_X$ is informed of a commit, it passes any locks held by the transaction to the parent, appending them at the end of the parent's intentions list. When $L_X$ is informed of an abort, it discards all locks held by descendants of the transaction. A response containing return value $v$ to an access $T$ can be returned only if the access has been created but not yet responded to, every holder of a “conflicting” (that is, non-commuting) lock is an ancestor of $T$, and $\text{perform}(T,v)$ can occur in a
move of $S_X$ from a state following the behavior $\text{perform(total(s',T))}$. When this response is given, $T$ is added to commit-requested and the operation $(T,v)$ is appended to intentions$(T)$ to indicate that the $(T,v)$-lock was granted. It is easy to see that $L_X$ is a generic object for $X$, i.e., that $L_X$ has the correct external signature and preserves generic object well-formedness.
The locking object $L_X$ is quite nondeterministic; implementations\(^{16}\) of $L_X$ can be designed that restrict the nondeterminism in various ways, and correctness of such algorithms follows immediately from the correctness of $L_X$, once the implementation relationship has been proved, for example by using a possibilities mapping.
As a trivial example, consider an algorithm expressed by a generic object that is just like $L_X$ except that extra preconditions are placed on the REQUEST_COMMIT$(T,v)$ action, say requiring that no lock at all is held by any non-ancestor of $T$. (This corresponds to exclusive locking.) Every behavior of this generic object is necessarily a behavior of $L_X$ (although the converse need not be true). That is, this object implements $L_X$ and so is dynamic atomic (since, as shown below, $L_X$ is dynamic atomic).
For another example, note that our algorithm models both choosing a return value and testing that no conflicting locks are held by non-ancestors of the access in question as preconditions on the single REQUEST_COMMIT event for the access. Traditional database management systems have used an architecture in which a lock manager first determines whether an access is to proceed or be delayed, and then another component determines the response later. In such an architecture, it is infeasible to use the return value in determining which activities conflict. We can model such an algorithm by an automaton in which the granting of locks by the lock manager is an internal event whose precondition tests for conflicting locks using a “conflict table”, where the conflict table requires a lock for access $T$ to conflict with a lock for access $T'$ whenever there are any return values $v$ and $v'$ such that $(T,v)$ does not commute with $(T',v')$. Then we would have a REQUEST_COMMIT action whose preconditions include that the return value is appropriate and that a lock had previously been granted for the access. If we do this, we obtain an object that can be shown to be an implementation of $L_X$, and therefore its correctness follows from that of $L_X$.
Many slight variations on these algorithms can be considered, in which locks are obtained at different times, recorded in different ways, and tested for conflicts using different relations; so long as the resulting algorithm treats non-commuting operations as conflicting, it should not be hard to prove that these algorithms implement $L_X$, and so are correct. Such implementations could exhibit much less concurrency than $L_X$, because they use a coarser test for deciding when an access may proceed. In many cases the loss of potential concurrency might be justified by the simpler computations needed in each indivisible step.
Another aspect of our algorithm that one might wish to change in an implementation is the complicated data structure maintaining the “intentions”, and the corresponding need to replay all the operations recorded there when determining the response to an access. In the next section, we will consider an algorithm that is able to summarize all these lists of operations in a
\(^{16}\)Recall that “implementation” has a formal definition, given in Section 3.4. The “implementation” relation only relates external behaviors, but allows complete freedom in the choice of automaton states.
stack of versions of the serial object, at the cost of reducing available concurrency by using a conflict relation in which all updates exclude one another.
8.2. Correctness Proof
In this subsection, we prove several lemmas about $L_X$, leading to the theorem that $L_X$ is dynamic atomic.
The first lemma says that the ordering of operations in the "total" sequences does not change during execution of $L_X$; its proof is straightforward.
**Lemma 60:** Let $\beta_1\beta_2$ be a finite generic object well-formed schedule of $L_X$, such that $\beta_1$ can leave $L_X$ in state $s'$ and $(s', \beta_2, s)$ is an extended step of $L_X$. Let $T_1, T_2, U$ and $V$ be transaction names. Suppose $(T_1, v_1)$ precedes $(T_2, v_2)$ in total$(s', U)$ and $(T_2, v_2)$ occurs in total$(s, V)$. Then $(T_1, v_1)$ occurs in total$(s, V)$ and precedes $(T_2, v_2)$ in total$(s, V)$.
We next introduce a definition to describe the information $L_X$ uses about visibility. If $\beta$ is a sequence of actions of $L_X$ and $T$ and $T'$ are transaction names, we say that $T$ is lock-visible at $X$ to $T'$ in $\beta$ if $\beta$ contains a subsequence $\beta'$ consisting of an INFORM_COMMIT_AT(X)OF(U) event for every $U \in$ ancestors$(T) -$ ancestors$(T')$, arranged in ascending order (so the INFORM_COMMIT for parent$(U)$ is preceded by that for $U$). Lock-visibility is similar to local-visibility, with the added constraint that the INFORM actions occur in leaf-to-root order.
The following lemma characterizes the contents of the various intentions lists in terms of lock visibility.
**Lemma 61:** Let $\beta$ be a finite generic object well-formed schedule of $L_X$. Suppose that $\beta$ can leave $L_X$ in state $s$.
1. Let $T$ be an access to $X$ such that REQUEST_COMMIT(T, v) occurs in $\beta$ and $T$ is not a local orphan at $X$ in $\beta$, and let $T'$ be the highest ancestor of $T$ such that $T$ is lock-visible to $T'$ at $X$ in $\beta$. Then $(T, v)$ is a member of $s.\text{intentions}(T')$.
2. If $(T, v)$ is an element of $s.\text{intentions}(T')$ then $T$ is a descendant of $T'$, REQUEST_COMMIT(T, v) occurs in $\beta$, and $T'$ is the highest ancestor of $T$ to which $T$ is lock-visible at $X$ in $\beta$.
3. If $T'$ is not a local orphan at $X$ in $\beta$, then $s.\text{intentions}(T')$ consists of exactly the operations $(T, v)$ such that $T$ is a descendant of $T'$, REQUEST_COMMIT(T, v) occurs in $\beta$, and $T'$ is the highest ancestor of $T$ to which $T$ is lock-visible at $X$ in $\beta$.
We also define a binary relation lock-completion($\beta$) on accesses to $X$, where $(U, U') \in$ lock-completion($\beta$) if and only if $U \neq U'$, $\beta$ contains REQUEST_COMMIT events for both $U$ and $U'$, and $U$ is lock-visible to $U'$ at $X$ in $\beta'$, where $\beta'$ is the longest prefix of $\beta$ not containing the given REQUEST_COMMIT event for $U'$.
The following simple lemmas relate lock-visibility and the lock-completion order to local visibility and the local completion order. They follow immediately from the definitions.
**Lemma 62:** Let $\beta$ be a generic object well-formed sequence of actions of $L_X$. Then
lock-completion(β) is an irreflexive partial order.
**Lemma 63:** Let β be a sequence of actions of $L_X$ and T and T' transaction names. If T is lock-visible at X to T' in β then T is locally visible at X to T' in β. Also lock-completion(β) is a subrelation of local-completion(β).
Now we relate the contents of the intentions lists to the lock-completion order. Lemma 64 characterizes the operations in an intentions list, while Lemma 65 characterizes the order in which the operations appear in an intentions list.
**Lemma 64:** Let β be a generic object well-formed finite behavior of $L_X$, and suppose that a REQUEST_COMMIT(T,v) event π occurs in β, where T is not a local orphan at X in β. Let β' be the prefix of β preceding π, and let s' be the (unique) state in which β' can leave $L_X$. Then the operations in total(s',T) are exactly the operations $(T',v')$ that occur in β such that $(T',T) \in$ lock-completion(β).
**Proof:** Lemma 61 implies that the operations in total(s',T) are exactly those $(T',v')$ that occur in β' such that T' is lock-visible to an ancestor of T in β'. By the definition of lock-completion(β) and the generic object well-formedness of β, $(T',T) \in$ lock-completion(β). □
**Lemma 65:** Let β be a generic object well-formed finite behavior of $L_X$ that can leave $L_X$ in state s, and let T be any transaction name. Then the order of operations in total(s,T) is consistent with lock-completion(β).
**Proof:** Suppose $(T_1,v_1)$ and $(T_2,v_2)$ are two operations in total(s,T) such that $(T_1,T_2) \in$ lock-completion(β). By the definition of lock-completion, $T_1$ is lock-visible to $T_2$ at X in the longest prefix, $\beta_1$, of β that does not include REQUEST_COMMIT($T_2,v_2$). Then Lemma 61, applied to $\beta_1$, implies that $(T_1,v_1)$ is in the intentions list of an ancestor of $T_2$ in the state $s_1$ reached by $\beta_1$, and by the effects of REQUEST_COMMIT($T_2,v_2$), $(T_1,v_1)$ precedes $(T_2,v_2)$ in total($s_2,T_2$), where $s_2$ is the state reached by $\beta_1$REQUEST_COMMIT($T_2,v_2$). By Lemma 60, $(T_1,v_1)$ precedes $(T_2,v_2)$ in total(s,T). Thus, the order of operations in total(s,T) is consistent with lock-completion(β). □
We now give the key lemma, which shows that certain sequences of actions, extracted from a generic object well-formed behavior of $L_X$, are serial object well-formed behaviors of $S_X$. The second conclusion, that certain such sequences are equieffective, is needed to carry out the induction step of the proof of this lemma.
It is helpful to have an auxiliary definition. Suppose β is a generic object well-formed finite behavior of $L_X$. Then a set Z of operations of X is said to be allowable for β provided that for each operation $(T,v)$ that occurs in Z, the following conditions hold.
1. $(T,v)$ occurs in β.
2. T is not a local orphan in β.
3. If $(T',v')$ is an operation that occurs in β such that $(T',T) \in$ lock-completion(β), then $(T',v') \in Z$.
An allowable set of operations corresponds roughly to a set of operations whose accesses either are or could become visible to some non-orphan transaction U. Thus, each operation in the set must occur in β and must not be a local orphan (since otherwise it could never be visible to a
non-orphan). In addition, if $T'$ is visible to $T$ and $T'$ becomes visible to $U$, $T'$ also becomes visible to $U$, so if $(T,v)$ is in the set and $T'$ is visible to $T$, $(T',v')$ should also be in the set. The third condition only requires $(T',v')$ to be in the set if $T'$ precedes $T$ in the lock-completion order; thus, we consider more sets of operations than just those whose accesses could become visible to $U$. This only strengthens the next lemma, since it shows that all allowable sets of operations for $\beta$, when ordered consistently with lock-completion($\beta$), correspond to behaviors of $S_X$.
**Lemma 66:** Let $\beta$ be a generic object well-formed finite behavior of $L_X$ and let $Z$ be an allowable set of operations for $\beta$. Let $R = \text{lock-completion}(\beta)$.
1. If $\xi$ is a total ordering of $Z$ that is consistent with $R$ on the transaction components, then $\text{perform}(\xi) \in \text{finbehs}(S_X)$.
2. If $\xi$ and $\eta$ are both total orderings of $Z$ such that each is consistent with $R$ on the transaction components, then $\text{perform}(\xi)$ and $\text{perform}(\eta)$ are equieffective.
**Proof:** We use induction on the size of the set $Z$. The basis, when $Z$ is empty, is trivial. So let $k \geq 1$ and suppose that $Z$ contains $k$ operations and the lemma holds for all allowable sets of $k - 1$ operations. Let $\xi$ be a total ordering of $Z$ that is consistent with $R$ on the transaction component. Let $(T,v)$ be the last operation in $\xi$, and let $Z' = Z - \{(T,v)\}$. Let $\xi'$ be the sequence of operations such that $\xi = \xi'(T,v)$. Then $Z'$ is an allowable set of $k - 1$ operations, since $Z$ is, and there is no operation $(T',v')$ in $Z$ such that $(T,T') \in R$. Also, $\xi'$ is a total ordering of $Z'$ consistent with $R$.
Let $\beta'$ be the longest prefix of $\beta$ not containing REQUEST_COMMIT$(T,v)$, and let $s'$ be the (unique) state in which $\beta'$ can leave $L_X$. Let $\zeta_1 = \text{total}(s',T)$, and let $\zeta_2$ be some total ordering that is consistent with $R$ of the operations in $Z' - \zeta_1$. Lemma 64 implies that the operations in $\zeta_1$ are exactly those $(T',v')$ that occur in $\beta$ such that $(T',T) \in R$, and Lemma 65 implies that the order of operations in $\zeta_1$ is consistent with $R$.
We show that $(T,v)$ commutes with every operation $(T'',v'')$ in $\zeta_2$. There are two cases.
1. REQUEST_COMMIT$(T'',v'')$ precedes REQUEST_COMMIT$(T,v)$ in $\beta$.
Then let $U$ denote the highest ancestor of $T''$ to which $T''$ is lock-visible at $X$ in $\beta'$. By Lemma 61, $(T'',v'') \in s'.\text{intentions}(U)$. By definition of $\zeta_2$, $U$ is not an ancestor of $T$. Therefore, by the preconditions for REQUEST_COMMIT$(T,v)$, which is enabled in state $s'$, $(T,v)$ commutes with $(T'',v'')$.
2. REQUEST_COMMIT$(T,v)$ precedes REQUEST_COMMIT$(T'',v'')$ in $\beta$.
Then let $\beta''$ be the longest prefix of $\beta$ not containing REQUEST_COMMIT$(T'',v'')$, and let $t$ be the state in which $\beta''$ leaves $L_X$. Also let $U$ denote the highest ancestor of $T$ to which $T$ is lock-visible at $X$ in $\beta''$, so that $(T,v) \in t.\text{intentions}(U)$. $U$ is not an ancestor of $T''$, since if it were, then the definition of lock-completion implies that $(T,T'') \in R$, contradicting the assumption that $(T,v)$ is the last operation in $\xi$. Therefore, by the preconditions for REQUEST_COMMIT$(T'',v'')$, which is enabled in state $t$, $(T'',v'')$ commutes with $(T,v)$.
Next, we claim that if \((T', v')\) and \((T'', v'')\) are operations in \(\zeta_1\) and \(\zeta_2\) respectively, then \((T'', T') \not\in R\). For if \((T'', T') \in R\), then since \((T', T) \in R\), by Lemma 62 we have also \((T'', T) \in R\). Then the characterization of \(\zeta_1\) above implies that \((T', v')\) occurs in \(\zeta_1\), a contradiction.
This claim implies that \(\zeta_1 \zeta_2\) is also a total ordering of \(Z'\) consistent with \(R\). The inductive hypothesis then implies that \(\text{perform}(\xi')\) and \(\text{perform}(\zeta_1 \zeta_2)\) are equieffective serial object well-formed behaviors of \(S_X\).
By the preconditions for REQUEST_COMMIT\((T, v)\), which is enabled in state \(s'\), \(\text{perform(total}(s', T)(T, v)) = \text{perform}(\zeta_1(T, v))\) is a finite behavior of \(S_X\), and it is clearly serial object well-formed, since \(\beta\) is generic object well-formed. We also showed above that \(\text{perform}(\zeta_1 \zeta_2)\) is a serial object well-formed behavior of \(S_X\). Since \((T, v)\) commutes with every operation in \(\zeta_2\), we have by Proposition 57 that \(\text{perform}(\zeta_1 \zeta_2(T, v))\) is a serial object well-formed behavior of \(S_X\). Since \(\text{perform}(\zeta_1 \zeta_2)\) is equieffective to \(\text{perform}(\xi')\), and since \(\text{perform}(\xi) = \text{perform}(\xi'(T, v))\) is clearly serial object well-formed, the definition of equieffectiveness implies that \(\text{perform}(\xi)\) is a behavior of \(S_X\). This completes the proof that \(\text{perform}(\xi)\) is a serial object well-formed behavior of \(S_X\).
Now let \(\eta\) be any other total ordering of \(Z\) that is consistent with \(R\) on the transaction component. Let \(\eta_1\) and \(\eta_2\) be the sequences of operations such that \(\eta = \eta_1(T, v)\eta_2\). Then \(\eta_1 \eta_2\) is a total ordering of \(Z'\) consistent with \(R\). The inductive hypothesis shows that \(\text{perform}(\eta_1 \eta_2)\) is a serial object well-formed behavior of \(S_X\) and that it is equieffective to \(\text{perform}(\xi')\). Therefore, by Proposition 55, \(\text{perform}(\eta_1 \eta_2(T, v))\) is equieffective to \(\text{perform}(\xi)\).
Part 1 applied to \(\eta\) implies that \(\text{perform}(\eta)\) is a serial object well-formed behavior of \(S_X\); therefore, its prefix \(\text{perform}(\eta_1(T, v))\) is also a serial object well-formed behavior of \(S_X\).
By the characterization above for \(\zeta_1\), every operation in \(\zeta_1\) has its transaction component preceding \(T\) in \(R\). Thus, since \(\eta\) is consistent with \(R\), every operation in \(\zeta_1\) is contained in \(\eta_1\). Thus, every operation in \(\eta_2\) is contained in \(\zeta_2\), and so \((T, v)\) commutes with every operation in \(\eta_2\). Therefore \(\text{perform}(\eta) = \text{perform}(\eta_1(T, v)\eta_2)\) is equieffective to \(\text{perform}(\eta_1 \eta_2(T, v))\), by Proposition 57.
Since \(\text{perform}(\eta)\) is equieffective to \(\text{perform}(\eta_1 \eta_2(T, v))\) and \(\text{perform}(\eta_1 \eta_2(T, v))\) is equieffective to \(\text{perform}(\xi)\), Lemma 56 implies that \(\text{perform}(\eta)\) is equieffective to \(\text{perform}(\xi)\), completing the proof.
Now we can prove that locking objects are locally dynamic atomic.
**Proposition 67:** \(L_X\) is locally dynamic atomic.
**Proof:** Let \(\beta\) be a finite generic object well-formed behavior of \(L_X\) and let \(T\) be a transaction name that is not a local orphan at \(X\) in \(\beta\). We must show that \(\text{local-views}(\beta, T) \subseteq \text{finbehs}(S_X)\). So let \(Z\) be the set of operations occurring in \(\beta\) whose transactions are locally visible to \(T\) at \(X\) in \(\beta\). Let \(\xi\) be a total ordering of \(Z\) consistent with \(\text{local-completion}(\beta)\) on the transaction components. We must prove that
perform(ξ) is a behavior of $S_X$.
We claim that $Z$ is allowable for $\beta$. To see this, suppose that $(T', v')$ is an operation that occurs in $Z$. Then $(T', v')$ occurs in $\beta$. Since $T'$ is locally visible at $X$ to $T$ in $\beta$ and $T$ is not a local orphan at $X$ in $\beta$, Lemma 49 implies that $T'$ is not a local orphan at $X$ in $\beta$. Now suppose that $(T'', v'')$ is an operation that occurs in $\beta$ and $(T'', T') \in \text{lock-completion}(\beta)$. Then $T''$ is lock-visible at $X$ to $T'$ in $\beta$, and hence, by Lemma 63, is locally visible at $X$ to $T'$ in $\beta$. Therefore, $(T'', v'')$ is in $Z$.
We also claim that the ordering of $\xi$ is consistent with $\text{lock-completion}(\beta)$ on the transaction components. This is because the total ordering of $\xi$ is consistent with $\text{local-completion}(\beta)$, and Lemma 63 implies that $\text{lock-completion}(\beta)$ is a subrelation of $\text{local-completion}(\beta)$.
Lemma 66 then implies that perform(ξ) is a behavior of $S_X$, as needed.
Finally, we can show the main result of this section.
**Theorem 68:** $L_X$ is dynamic atomic.
**Proof:** By Proposition 67 and Theorem 54.
An immediate consequence of Theorems 68 and the Dynamic Atomicity Theorem is that if $S$ is a generic system in which each generic object is a locking object, then $S$ is serially correct for all non-orphan transaction names.
### 9. Moss’s Algorithm
In this section, we present Moss’s algorithm for read-update locking [29] and its correctness proof. Once again, the algorithm is described as a generic system, and all that needs to be defined is the generic objects. We define the appropriate objects here, and show that they implement locking objects. It follows that they are dynamic atomic.
#### 9.1. Moss Objects
For each object name $X$, we describe a generic object automaton $M_X$ (a “Moss object”). The automaton $M_X$ maintains a stack of “versions” of the corresponding serial object $S_X$, and manages “read locks” and “update locks”.
The construction of $M_X$ is based on a classification of all the accesses to $X$ as either *read accesses* or *update accesses*. We assume that this classification satisfies the property that every operation $(T, v)$ of a read access $T$ is transparent. If $\xi$ is a sequence of operations of $X$, we let $\text{update}(\xi)$ denote the subsequence of $\xi$ consisting of those operations whose first components are update accesses. Proposition 58 implies that if $\text{perform}(\xi)$ is a serial object well-formed behavior of $S_X$, then $\text{perform}(\text{update}(\xi))$ is also a serial object well-formed behavior of $S_X$, and $\text{perform}(\text{update}(\xi))$ is equieffective to $\text{perform}(\xi)$.
$M_X$ has the usual action signature for a generic object automaton for $X$. A state $s$ of $M_X$ has components $s.\text{created}$, $s.\text{commit-requested}$, $s.\text{update-lockholders}$ and $s.\text{read-lockholders}$, all sets of transactions, and $s.\text{map}$, which is a function from $s.\text{update-lockholders}$ to states of the serial object automaton $S_X$. We say that a transaction in $s.\text{update-lockholders}$ holds an *update-lock*, and
similarly that a transaction in read-lockholders holds a read-lock. The start states of $M_X$ are those in which update-lockholders = $\{T_0\}$ and map($T_0$) is a start state of the serial object $S_X$, and the other components are empty.
If $U$ is a finite set of transactions such that for all $T$ and $T'$ in $U$, either $T$ is an ancestor of $T'$ or vice-versa, then we define least($U$) to be the unique transaction in $U$ that is a descendant of all transactions in $U$. Some of the following actions contain preconditions in which the function "least" is applied to the set $s'.update-lockholders$. In case least($s'.update-lockholders$) is undefined, the precondition is assumed to be false.\footnote{In fact, in all states $s'$ that arise in executions having generic object well-formed behaviors, least($s'.update-lockholders$) is defined.}
The transition relation of $M_X$ is as follows.
CREATE($T$), $T$ an access to $X$
Effect:
\[ s.created = s'.created \cup \{T\} \]
INFORM_COMMIT_AT($X$)OF($T$), $T \neq T_0$
Effect:
if $T \in s'.update-lockholders$
then
\[ s.update-lockholders = (s'.update-lockholders - \{T\}) \cup \{\text{parent}(T)\} \]
\[ s.map(\text{parent}(T)) = s'.map(T) \]
\[ s.map(U) = s'.map(U) \text{ for } U \in s.update-lockholders - \{\text{parent}(T)\} \]
if $T \in s'.read-lockholders$
then $s.read-lockholders = (s'.read-lockholders - \{T\}) \cup \{\text{parent}(T)\}$
INFORM_ABORT_AT($X$)OF($T$), $T \neq T_0$
Effect:
\[ s.update-lockholders = s'.update-lockholders - \text{descendants}(T) \]
\[ s.read-lockholders = s'.read-lockholders - \text{descendants}(T) \]
\[ s.map(U) = s'.map(U) \text{ for all } U \in s.update-lockholders \]
REQUEST_COMMIT($T,v$), $T$ a read access to $X$
Precondition:
\[ T \in s'.created - s'.commit-requested \]
\[ s'.update-lockholders \subseteq \text{ancestors}(T) \]
there is a state $t$ of $S_X$ such that
\[ (s'.map(\text{least}(s'.update-lockholders)), \text{perform}(T,v), t) \text{ is a move of } S_X \]
Effect:
\[ s.commit-requested = s'.commit-requested \cup \{T\} \]
\[ s.read-lockholders = s'.read-lockholders \cup \{T\} \]
REQUEST_COMMIT($T,v$), $T$ an update access to $X$
Precondition:
\[ T \in s'.created - s'.commit-requested \]
\[ s'.update-lockholders \cup s'.read-lockholders \subseteq \text{ancestors}(T) \]
there is a state $t$ of $S_X$ such that
\[(s'.map(\text{least}(s'.update-lockholders)), \text{perform}(T, v), t)\] is a move of $S_X$
**Effect:**
- $s.\text{commit-requested} = s'.\text{commit-requested} \cup \{T\}$
- $s.\text{update-lockholders} = s'.\text{update-lockholders} \cup \{T\}$
- $s.\text{map}(T) = t$
- $s.\text{map}(U) = s'.\text{map}(U)$ for all $U \in s.\text{update-lockholders} - \{T\}$
When an access transaction is created, it is added to the set created. When $M_X$ is informed of a commit, it passes any locks held by the transaction to the parent, and also passes any serial object state stored in map. When $M_X$ is informed of an abort, it discards all locks held by descendants of the transaction. A response containing return value $v$ to an access $T$ can be returned only if the access has been created but not yet responded to, every holder of a conflicting lock is an ancestor of $T$, and $\text{perform}(T, v)$ can occur in a move of $S_X$ from the state that is the value of $\text{map}$ at least(update-lockholders). When this response is given, $T$ is added to $\text{commit-requested}$ and granted the appropriate lock. Also, if $T$ is an update access, the resulting state is stored as $\text{map}(T)$, while if $T$ is a read access, no change is made to $\text{map}$.
It is easy to see that $M_X$ is a generic object, i.e., that it has the correct external signature and preserves generic object well-formedness. The following is also easy to prove, using induction of the length of a schedule.
**Lemma 69:** Let $\beta$ be a finite schedule of $M_X$. Suppose that $\beta$ can leave $M_X$ in state
- $s$. Suppose $T \in s.\text{update-lockholders}$ and $T' \in s.\text{read-lockholders} \cup s.\text{update-lockholders}$. Then either $T$ is an ancestor of $T'$ or else $T'$ is an ancestor of $T$.
Note that it is permissible to classify all accesses as update accesses. The Moss object constructed from such a classification implements exclusive locking. Thus, the results we obtain about Moss objects also apply to exclusive locking as a special case.
### 9.2. Correctness Proof
In this subsection, we show that $M_X$ is dynamic atomic. In order to show this, we produce a possibilities mapping from $M_X$ to $L_X$ as defined in Section 3.4, thereby showing that $M_X$ implements $L_X$. Note that $M_X$ is not describable as a simple special case of $L_X$: the two algorithms maintain significantly different data structures. Nevertheless, a possibilities mapping can be defined.
We begin by defining the mapping $f$. Let $f$ map a state $s$ of $M_X$ to the set of states $t$ of $L_X$ that satisfy the following conditions.
1. $s.\text{created} = t.\text{created}$.
2. $s.\text{commit-requested} = t.\text{commit-requested}$.
3. $s.\text{read-lockholders}$ is the set of transaction names $T$ such that $t.\text{intentions}(T)$ contains a read operation.
4. $s.\text{update-lockholders}$ is the set of transaction names $T$ such that $t.\text{intentions}(T)$ contains an update operation, together with $T_0$.
5. For every transaction name $T$, $\text{perform}(\text{update(total}(t, T)))$ is a finite behavior of $S_X$.
that can leave $S_X$ in the state $s.\text{map}(T')$, where $T'$ is the least ancestor of $T$ such that $T' \in s.\text{update-lockholders}$.
**Lemma 70:** $f$ is a possibilities mapping from $M_X$ to $L_X$.
**Proof:** The proof involves checking the conditions in the definition of a possibilities mapping. These checks are completely straightforward, but numerous and tedious. For completeness, we include the details here, although the reader will probably not wish to read them.
It is easy to see that $t_0 \in f(s_0)$, where $s_0$ and $t_0$ are start states of $M_X$ and $L_X$, respectively. Let $s'$ and $t'$ be reachable states of $M_X$ and $L_X$, respectively, such that $t' \in f(s')$. Suppose $(s', \pi, s)$ is a step of $M_X$. We produce $t$ such that $(t', \pi, t)$ is a step of $L_X$ and $t \in f(s)$. We proceed by cases.
1. $\pi = \text{CREATE}(T)$, $T$ an access to $X$.
Since $\pi$ is an input of $L_X$, $\pi$ is enabled in state $t'$. Choose $t$ so that $(t', \pi, t)$ is a step of $L_X$. We show that $t \in f(s)$.
The effects of $\pi$ as an action of $M_X$ and $L_X$ imply that $s.\text{created} = s'.\text{created} \cup \{T\}$ and $t.\text{created} = t'.\text{created} \cup \{T\}$. Moreover, all of the other components of $s$ or $t$ are identical to the corresponding components of $s'$ or $t'$, respectively. Since $t' \in f(s')$, we have $s'.\text{created} = t'.\text{created}$, so that $s.\text{created} = t.\text{created}$, thus showing the first condition in the definition of $f$. The other conditions hold in $s$ and $t$ because they hold in $s'$ and $t'$ and none of the relevant components are modified by $\pi$.
2. $\pi = \text{INFORM_COMMIT_AT}(X)\text{OF}(U)$.
Since $\pi$ is an input of $L_X$, $\pi$ is enabled in state $t'$. Choose $t$ so that $(t', \pi, t)$ is a step of $L_X$. We show that $t \in f(s)$.
The first and second conditions hold in $s$ and $t$ because they hold in $s'$ and $t'$ and none of the relevant components are modified by $\pi$.
The effects of $\pi$ as an action of $L_X$ imply that $t.\text{intentions}(W) = t'.\text{intentions}(W)$ unless $W \in \{U, \text{parent}(U)\}$, $t.\text{intentions}(\text{parent}(U)) = t'.\text{intentions}(\text{parent}(U))t'.\text{intentions}(U)$, and $t.\text{intentions}(U) = \lambda$. We consider two cases.
a. $t'.\text{intentions}(U)$ contains a read operation.
Then the set of transaction names $T$ such that $t.\text{intentions}(T)$ contains a read operation is exactly the set of $T$ such that $t'.\text{intentions}(T)$ contains a read operation, with $U$ removed and $\text{parent}(U)$ added. Since $t' \in f(s')$, $s'.\text{read-lockholders}$ is the set of transaction names $T$ such that $t'.\text{intentions}(T)$ contains a read operation; in particular, $U \in s'.\text{read-lockholders}$. The effects of $\pi$ as an action of $M_X$ imply that $s.\text{read-lockholders} = s'.\text{read-lockholders} - \{U\} \cup \{\text{parent}(U)\}$. Thus, $s.\text{read-lockholders}$ is exactly the set of $T$ such that $t.\text{intentions}(T)$ contains a read operation.
b. $t'.\text{intentions}(U)$ does not contain a read operation.
Then the set of transaction names $T$ such that $t'.intentions(T)$ contains a read operation is exactly the set of $T$ such that $t'.intentions(T)$ contains a read operation. Since $t' \in f(s')$, $s'.read-lockholders$ is the set of transaction names $T$ such that $t'.intentions(T)$ contains a read operation; in particular, $U \not\in s'.read-lockholders$. The effects of $\pi$ as an action of $M_X$ imply that $s.read-lockholders = s'.read-lockholders$. Thus, $s.read-lockholders$ is exactly the set of $T$ such that $t'.intentions(T)$ contains a read operation.
This shows the third condition. The proof of the fourth condition is analogous to that for the third condition.
Finally, fix some transaction $T$ and let $T'$ be the least ancestor of $T$ such that $T' \in s.update-lockholders$. The discussion is divided into subcases, depending on the relation between $T$ and $U$ in the transaction tree.
a. $U$ is an ancestor of $T$.
Then total$(t,T) = total(t',T)$. Let $T''$ be the least ancestor of $T$ in $s'.update-lockholders$. Since $t' \in f(s')$, perform(update(total(t',T))) is a finite behavior of $S_X$ that can leave $S_X$ in the state $s'.map(T'')$.
If $U = T''$, then the effects of $\pi$ as an action of $M_X$ imply that $s.update-lockholders = s'.update-lockholders - \{T''\} \cup \{\text{parent}(T'')\}$, so $T' = \text{parent}(T'')$. Then $s.map(T') = s.map(\text{parent}(T'')) = s'.map(T'')$.
If $U \neq T''$ and $U \in s'.update-lockholders$, then by definition of $T''$, $U$ is a strict ancestor of $T''$. Then $s.map(T'') = s'.map(T'')$ and $T'' = T'$, so again $s.map(T') = s'.map(T'')$.
If $U \neq T''$ and $U$ is not in $s'.update-lockholders$, then $s.update-lockholders = s'.update-lockholders$ and $s.map = s'.map$; thus, $T'' = T'$ and so $s.map(T') = s'.map(T'')$.
In each case, we have shown that $s.map(T') = s'.map(T'')$; therefore, perform(update(total(t,T))) is a finite behavior of $S_X$ that can leave $S_X$ in the state $s.map(T')$.
b. $U$ is not an ancestor of $T$, but parent($U$) is an ancestor of $T$.
If $U \in s'.update-lockholders$ then Lemma 69 implies that no transaction in ancestors($T$) - ancestors(parent($U$)) can be in $s'.update-lockholders \cup s'.read-lockholders$. The effects of $\pi$ as an action of $M_X$ therefore show that $T' = \text{parent}(U)$. These effects also show that $s.map(\text{parent}(U)) = s'.map(U)$. Since $t' \in f(s')$, $t'.intentions(W)$ must be empty for all $W \in \text{ancestors}(T) - \text{ancestors}(\text{parent}(U))$. By the effects of $\pi$ as an action of $L_X$, $t'.intentions(W) = t'.intentions(W)$ unless $W$ equals $U$ or $\text{parent}(U)$, so $t'.intentions(W)$ is empty for all $W \in \text{ancestors}(T) - \text{ancestors}(\text{parent}(U))$. Thus, total$(t,T) = \text{total}(t,\text{parent}(U))$. The effects of $\pi$ as an action of $L_X$ also show that $\text{total}(t,\text{parent}(U)) = \text{total}(t',U)$, so that $\text{total}(t,T) = \text{total}(t',U)$. Since $t' \in f(s')$ and $U$ is the least ancestor of $U$ in $s'.update-lockholders$, perform(update(total(t',U))) is a finite behavior of $S_X$ that can leave $S_X$ in state $s'.map(U)$. The equalities we have proved show that
perform(update(total(t,T))) is a finite behavior of $S_X$ that can leave $S_X$ in state $s'.map(T')$.
If $U \not\in s'.update-lockholders$ then $s.update-lockholders = s'.update-lockholders$ and $s.map = s'.map$. Thus, $T'$ is the least ancestor of $T$ in $s'.update-lockholders$, and $s.map(T') = s'.map(T')$. Since $t' \in f(s')$, there are no update operations in $t'.intentions(U)$. Then the effects of $\pi$ as an action of $L_X$ imply that $update(total(t,T)) = update(total(t',T))$. Thus, perform(update(total(t,T))) = perform(update(total(t',T))), which is, by the fact that $t' \in f(s')$, a finite behavior of $S_X$ that can leave $S_X$ in state $s'.map(T') = s.map(T')$.
c. parent(U) is not an ancestor of T.
The effects of $\pi$ ensure that $T'$ is the least ancestor of $T$ in $s'.update-lockholders$, $s.map(T') = s'.map(T')$ and $total(t,T) = total(t',T)$. The result follows immediately from the fact that $t' \in f(s')$.
This completes the demonstration of the fifth condition.
3. $\pi = INFORM_ABORT_AT(X)OF(U)$.
Since $\pi$ is an input of $L_X$, $\pi$ is enabled in state $t'$. Choose $t$ so that $(t',\pi,t)$ is a step of $L_X$. We show that $t \in f(s)$.
The first and second conditions hold in $s$ and $t$ because they hold in $s'$ and $t'$ and none of the relevant components are modified by $\pi$.
The effects of $\pi$ as an action of $L_X$ imply that $t.intentions(W) = t'.intentions(W)$ unless $W$ is a descendant of $U$, and $t.intentions(W) = \lambda$ if $W$ is a descendant of $U$. Thus, the set of transaction names $T$ such that $t.intentions(T)$ contains a read operation is equal to the set of $T$ such that $t'.intentions(T)$ contains a read operation with the descendants of $U$ removed. Similarly the effects of $\pi$ as an action of $M_X$ show that $s.read-lockholders$ equals $s'.read-lockholders$ with the descendants of $U$ removed. Since $t' \in f(s')$, the set of transaction names $T$ such that $t'.intentions(T)$ contains a read operation equals $s'.update-lockholders$. Thus, the set of $T$ such that $t.intentions(T)$ contains a read operation equals $s.update-lockholders$, as required. This shows the third condition. The proof of the fourth condition is analogous to that for the third condition.
Finally, fix some transaction $T$ and let $T'$ be the least ancestor of $T$ such that $T' \in s.update-lockholders$. The discussion is divided into subcases, depending on the relation between $T$ and $U$.
a. U is an ancestor of T.
Then $total(t,T) = total(t',parent(U))$. The effects of $\pi$ as an action of $M_X$ imply that $s.update-lockholders = s'.update-lockholders - descendants(U)$ and $s.map(W) = s'.map(W)$ if $W$ is not a descendant of $U$. Thus, $T'$ is an ancestor of $parent(U)$, and in fact must be the least ancestor of $parent(U)$ in $s'.update-lockholders$. Since $t' = f(s')$, perform(update(total(t',parent(U)))) is a finite behavior of $S_X$ that can leave $S_X$ in state $s'.map(T')$. Thus, perform(update(total(t,T))) is a
finite behavior of $S_X$ that can leave $S_X$ in state $s'.map(T')$.
b. U is not an ancestor of T.
The effects of $\pi$ ensure that $T'$ is the least ancestor of $T$ in $s'.update-lockholders$, $s.map(T') = s'.map(T')$ and $\text{total}(t,T) = \text{total}(t',T)$. The result follows immediately from the fact that $t' \in f(s')$.
This completes the demonstration of the fifth condition.
4. $\pi = \text{REQUEST_COMMIT}(U,u)$, U a read access to X.
We first show that $\pi$ is enabled as an action of $L_X$ in state $t'$. That is, we must show that $U \in t'.created - t'.commit-requested$, that $(U,u)$ commutes with every $(V,v)$ in $t'.intentions(U')$, where $U' \not\in \text{ancestors}(U)$, and that $\text{perform}(\text{total}(t',U)(U,u))$ is in $\text{finbehs}(S_X)$.
Since $t' \in f(s')$, $t'.created = s'.created$ and $t'.commit-requested = s'.commit-requested$. Since $\pi$ is enabled as an action of $M_X$ in state $s'$, we have that $U \in s'.created - s'.commit-requested$. Therefore, $U \in t'.created - t'.commit-requested$.
Suppose (in order to obtain a contradiction) that there exist $U'$, V and v such that $U' \not\in \text{ancestors}(U)$, $(V,v)$ is in $t'.intentions(U')$, and $(U,u)$ does not commute with $(V,v)$. Since U is a read access and read accesses are transparent, Proposition 59 implies that either $U = V$ or else $V$ is an update access. Lemma 61 implies that $U'$ is an ancestor of $V$, so that we cannot have $V = U$. Therefore, $V$ is an update access. Since $V$ is an update access and $(V,v)$ is in $t'.intentions(U')$, the fact that $t' \in f(s')$ shows that $U' \in s'.update-lockholders$. Thus, since $\pi$ is enabled in state $s'$, $U'$ is an ancestor of $U$. This is a contradiction; thus, we have shown that if $U'$ is not an ancestor of $U$ and $(V,v)$ is in $t'.intentions(U')$, then $(U,u)$ and $(V,v)$ commute.
Finally, let $U' = \text{least}(s'.update-lockholders)$. Since $\pi$ is enabled in $s'$, $U'$ must be an ancestor of $U$ and is thus the least ancestor of $U$ in $s'.update-lockholders$. Therefore, the fact that $t' \in f(s')$ implies that $\text{perform}(\text{update}(\text{total}(t',U)))$ is a finite behavior of $S_X$ that can leave $S_X$ in state $s'.map(U')$. Since $\pi$ is enabled in $s'$, there is a move of $S_X$ with behavior $\text{perform}(U,u)$ starting from state $s'.map(U')$. Thus, $\text{perform}(\text{update}(\text{total}(t',U)))\text{perform}(U,u)$ is a behavior of $S_X$. Since $\text{perform}(\text{update}(\text{total}(t',U)))$ is equieffective to $\text{perform}(\text{total}(t',U))$, $\text{perform}(\text{total}(t',U))\text{perform}(U,u) = \text{perform}(\text{total}(t',U)(U,u))$ is in $\text{finbehs}(S_X)$, since it is serial object well-formed.
Thus, $\pi$ is enabled as an action of $L_X$ in state $t'$. Choose $t$ such that $(t',\pi,t)$ is a step of $L_X$. We show that $t \in f(s)$.
The effects of $\pi$ imply that $s.created = s'.created$, $t.created = t'.created$, $s.commit-requested = s'.commit-requested \cup \{U\}$ and $t.commit-requested = t'.commit-requested \cup \{U\}$. Since $t' \in f(s')$, we have $t'.created = s'.created$ and $t'.commit-requested = s'.commit-requested$. Thus, $s.created = t.created$ and $s.commit-requested = t.commit-requested$, so the first and second conditions hold.
The effects of $\pi$ imply that $s.\text{read-lockholders} = s'.\text{read-lockholders} \cup \{U\}$, $t.\text{intentions}(U) = t'.\text{intentions}(U)(U,u)$, and $t.\text{intentions}(W) = t'.\text{intentions}(W)$ for $W \neq U$. Since $t' \in f(s')$, $s'.\text{read-lockholders}$ is the set of transaction names $T$ such that $t'.\text{intentions}(T)$ contains a read operation. Then $s.\text{read-lockholders} = s'.\text{read-lockholders} \cup \{U\}$, which is exactly the set of transaction names $T$ such that $t.\text{intentions}(T)$ contains a read operation, so the third condition holds.
It is easy to see that the fourth condition holds in $s$ and $t$, because it holds in $s'$ and $t'$ and the only relevant component that is modified is that $t.\text{intentions}(U) = t'.\text{intentions}(U)(U,u)$, and $(U,u)$ is a read operation.
For the final condition, consider any transaction $T$. Note that $\text{perform(update(total(t,T)))} = \text{perform(update(total(t',T)))}$ and $s.\text{map} = s'.\text{map}$. Since the fifth condition holds in $s'$ and $t'$, it is easy to see that it holds in $s$ and $t$.
5. $\pi = \text{REQUEST_COMMIT}(U,u)$, $U$ an update access to $X$.
We first show that $\pi$ is enabled as an action of $L_X$ in state $t'$. The proofs that $U \in t'.\text{created} - t'.\text{commit-requested}$ and that $\text{perform(total(t',U)(U,u))}$ is in $\text{finbehs}(S_X)$, are identical to the corresponding proofs for the read update case. We must show that $(U,u)$ commutes with every $(V,v)$ in $t'.\text{intentions}(U')$, where $U' \not\in \text{ancestors}(U)$. We will show the stronger statement that if $t'.\text{intentions}(U')$ is not the empty sequence, then $U' \in \text{ancestors}(U)$. Since $t' \in f(s')$, if $t'.\text{intentions}(U')$ is nonempty, then $U' \in s'.\text{read-lockholders} \cup s'.\text{update-lockholders}$. Thus, since $\pi$ is enabled as an action of $M_X$ in state $s'$, $U' \in \text{ancestors}(U)$.
Thus $\pi$ is enabled as an action of $L_X$ in state $t'$. Choose $t$ such that $(t',\pi,t)$ is a step of $L_X$. We show that $t \in f(s)$. The first two conditions follow as for the read access case. The third condition holds in $s$ and $t$ because it holds in $s'$ and $t'$ and the only relevant component that is modified is that $t.\text{intentions}(U) = t'.\text{intentions}(U)(U,u)$, and $(U,u)$ is an update operation.
The effects of $\pi$ imply that $s.\text{update-lockholders} = s'.\text{update-lockholders} \cup \{U\}$, $t.\text{intentions}(U) = t'.\text{intentions}(U)(U,u)$, and $t.\text{intentions}(W) = t'.\text{intentions}(W)$ for $W \neq U$. Since $t' \in f(s')$, $s'.\text{update-lockholders}$ is the set of transaction names $T$ such that $t'.\text{intentions}(T)$ contains an update operation, together with $T_0$. Thus, $s.\text{update-lockholders} = s'.\text{update-lockholders} \cup \{U\}$, which is exactly the set of $T$ such that $t.\text{intentions}(T)$ contains an update operation, together with $T_0$. Thus, the fourth condition is satisfied.
Finally, we show the fifth condition. Fix any transaction name $T$. If $T \neq U$, then since $U$ is an access, $T$ is not a descendant of $U$; then the fifth condition holds in $s$ and $t$ because if holds in $s'$ and $t'$ and none of the relevant components are modified. So suppose that $T = U$.
The effects of $\pi$ as an action of $M_X$ imply that $s.\text{map}(U)$ is equal to some state $r$ of $S_X$ such that $(s'.\text{map}(U'),\text{perform}(U,u),r)$ is a move of $S_X$, where $U' =$ least($s'.\text{update-lockholders}$); also, $s.\text{map}(W) = s'.\text{map}(W)$ for all $W \neq U$. Since all members of $s'.\text{update-lockholders}$ must be ancestors of $U$ by the
preconditions of $\pi$ in $M_X$, $U'$ is the least ancestor of $U$ in $s'$.update-lockholders, so the fact that $t' \in f(s')$ implies that perform(update(total($t', U$))) is a finite behavior of $S_X$ that can leave $S_X$ in state $s'.map(U')$. Thus, perform(update(total($t', U$)))perform($U, u$) is a finite behavior of $S_X$ that can leave $S_X$ in state $s.map(U)$. But perform(update(total($t', U$)))perform($U, u$) = perform(update(total($t', U$)($U, u$))) = perform(update(total($t, U$))). Thus, perform(update(total($t, U$))) is a finite behavior of $S_X$ that can leave $S_X$ in state $s.map(U)$, as required.
**Proposition 71:** $M_X$ implements $L_X$.
**Proof:** By Lemma 70 and Theorem 3.
**Theorem 72:** $M_X$ is dynamic atomic.
**Proof:** By Proposition 71 and Theorem 68.
An immediate consequence of Theorems 72, 68 and the Dynamic Atomicity Theorem is that if $S$ is a generic system in which each generic object is either a Moss object or a locking object, then $S$ is serially correct for all non-orphan transaction names.
### 10. Conclusions
We have presented a formal model for reasoning about atomic transactions that can include nested subtransactions, and have used it to carry out an extensive development of the important ideas about locking algorithms. First, we have stated the correctness conditions to be satisfied by transaction-processing algorithms; we have stated these at the user interface to the transaction-processing system. Second, we have stated and proved a general Serializability Theorem that can be used to show the correctness of transaction-processing algorithms. Third, we have defined the concept of "dynamic atomicity", a sufficient condition for satisfying the hypotheses of the Serializability Theorem. Fourth, we have presented two locking algorithms: a new general commutativity-based locking algorithm and a previously known read-update locking algorithm. Fifth, we have provided complete correctness proofs for both algorithms. We have proved the general algorithm correct by showing that it satisfies the dynamic atomicity condition, and then we have proved the read-update algorithm correct by showing that it implements the general algorithm. All of these tasks have been quite manageable within the given framework.
The proofs we have constructed are modular. A system is modeled in terms of a number of components, and our proofs follow the modular decomposition of the system. Many interesting concepts are captured by formal definitions, and many facts about these concepts are captured by formally stated lemmas. This modularity makes the development much easier to understand than it would be without it. Moreover, much of the machinery is reusable for presenting and verifying other algorithms.
We have already used our model to present and prove correctness of several other kinds of transaction-processing algorithms, including timestamp-based algorithms for concurrency control and recovery [2] and algorithms for management of replicated data [12] and of orphan transactions [17]. Our treatment of timestamp algorithms is especially noteworthy because it
parallels the work in this paper quite closely.
Briefly, the paper [2] contains descriptions of two timestamp algorithms: Reed's timestamp-based algorithm [34], designed for data objects that are accessible only by read and write operations, and a new general algorithm that accommodates arbitrary data types. (This latter algorithm generalizes work by Herlihy [16] for single-level transactions.) These algorithms both involve assignment of ranges of timestamp values to transactions in such a way that the interval of a child transaction is included in the interval of its parent, and the intervals of siblings are disjoint. Responses to accesses are determined from previous accesses with earlier timestamps.
These algorithms are proved correct using the Serializability Theorem of this paper. This time, the sibling order used is the timestamp order. Now the view condition says that the processing of accesses to $X$ is "consistent" with the timestamp order, in that reordering the processing in timestamp order yields a correct behavior for $S_X$. The Serializability Theorem implies that the timestamp algorithms are serially correct for all non-orphan transaction names. Again, each algorithm is described as the composition of object automata and a controller. Again, a local condition ("static atomicity") is defined, this time saying that an object satisfies the view condition using the timestamp order. As long as each object is static atomic, the whole system is serially correct for non-orphan transactions. Again, we have the flexibility to implement objects independently as long as static atomicity is guaranteed. We show that both algorithms ensure static atomicity.
There is much more that could be done using this model. For example, it would be interesting to model other kinds of locking algorithms, such as those using multigranularity locking [13], tree locking [3], and predicate locking [9]. Perhaps the dynamic atomicity and local dynamic atomicity conditions defined in this paper will prove useful for reasoning about these other algorithms as well. It would also be interesting to see if our Serializability Theorem can be used to prove correctness of other concurrency control algorithms besides those based on locking or timestamps.
There are other areas of transaction-processing systems that contain subtle, complex algorithms that would benefit from a more rigorous analysis. For example, it would be interesting to use our framework to model some of the complex transaction-processing algorithms that tolerate processor "crashes", i.e., failures that obliterate the contents of volatile memory [14]. Similarly, algorithms that manage orphans resulting from node crashes in distributed systems [22] are complex, yet no rigorous proof exists.
It would also be interesting to integrate our approach more closely with the classical approach, to try to combine the advantages of both. Our framework is more general than the classical model (because of its integrated treatment of concurrency control and recovery and because it allows transactions to nest). On the other hand, our model includes more detail than the classical model, and so it may seem more complicated. For example, the classical Serializability Theorem is stated in simple combinatorial terms, while our Serializability Theorem involves a fine-grained treatment of individual actions. We wonder if there is a simple combinatorial condition similar to the hypothesis of the classical theorem (but taking suitable account of nesting and failures), that implies the general correctness conditions described in this paper.
Acknowledgements
We thank Jim Aspnes and Jennifer Welch for their many helpful comments on the material in this paper. We also thank the anonymous referees for their detailed and insightful comments and suggestions.
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|
EXTRADITION TREATY
BETWEEN
THE GOVERNMENT OF THE UNITED STATES OF AMERICA
AND
THE GOVERNMENT OF THE REPUBLIC OF BULGARIA
# TABLE OF CONTENTS
| Article | Title |
|---------|----------------------------------------------------------------------|
| 1 | Obligation to Extradite |
| 2 | Extraditable Offenses |
| 3 | Nationality |
| 4 | Political and Military Offenses |
| 5 | Prior Prosecution |
| 6 | Lapse of Time |
| 7 | Capital Punishment |
| 8 | Extradition Procedures and Required Documents |
| 9 | Admissibility of Documents |
| 10 | Translation |
| 11 | Provisional Arrest |
| 12 | Decision and Surrender |
| 13 | Deferral of Extradition Proceedings or Temporary and Deferred Surrender |
| 14 | Requests for Extradition or Surrender Made by Several States |
| 15 | Seizure and Surrender of Property |
| 16 | Rule of Specialty |
| 17 | Simplified Procedures |
Article 18 ................................................................. Transit
Article 19 ............................................................... Representation and Expenses
Article 20 ............................................................. Consultation
Article 21 ............................................................... Application
Article 22 ............................................................ Ratification and Entry into Force
Article 23 .............................................................. Termination
The Government of the United States of America and the Government of the Republic of Bulgaria (hereinafter referred to as "the Parties"),
Recalling the Treaty of Extradition between the United States of America and Bulgaria, signed at Sofia on March 19, 1924, and the Supplementary Extradition Treaty, signed at Washington on June 8, 1934;
Noting that both the Government of the United States of America and the Government of the Republic of Bulgaria currently apply the terms of these Treaties;
Mindful of obligations set forth in the Agreement on Extradition between the United States of America and the European Union signed at Washington on June 25, 2003;
Having due regard for rights of individuals and the rule of law; and
Desiring to provide for more effective cooperation between the Parties in the fight against crime, and, for that purpose, to conclude a new treaty for the extradition of offenders;
Have agreed as follows:
Article 1
Obligation to Extradite
The Parties agree to extradite to each other, pursuant to the provisions of this Treaty, persons sought by authorities in the Requesting State for prosecution or for imposition or execution of a sentence for an extraditable offense.
Article 2
Extraditable Offenses
1. An offense shall be an extraditable offense if it is punishable under the laws in both States by deprivation of liberty for a maximum period of more than one year or by a more severe penalty.
2. An offense shall also be an extraditable offense if it consists of an attempt or a conspiracy to commit, or participation in the commission of any offense described in paragraph 1 of this Article.
3. For the purposes of this Article, an offense shall be considered an extraditable offense:
(a) regardless of whether the laws in the Requesting and Requested States place the acts or omissions constituting the offense within the same category of offenses or describe the offense by the same terminology;
(b) regardless of whether the offense is one for which United States federal law requires the showing of such matters as interstate transportation, or use of the mails or of other facilities affecting interstate or foreign commerce, such matters being merely for the purpose of establishing jurisdiction in a United States Federal court; or
(c) regardless of whether, in criminal cases relating to taxes, customs duties, currency control and the import or export of commodities, the laws of the Requesting and Requested States provide for the same kinds of taxes, customs duties, or controls on currency or on the import or export of the same kinds of commodities.
4. If the offense has been committed outside the territory of the Requesting State, extradition shall be granted, subject to the other applicable requirements for extradition, if the laws of the Requested State provide for the punishment of an offense committed outside its territory in similar circumstances. If the laws of the Requested State do not provide for the punishment of an offense committed outside its territory in similar circumstances, the executive authority of the Requested State, at its discretion, may grant extradition provided that all other applicable requirements for extradition are met.
5. If extradition has been granted for an extraditable offense, it shall also be granted for any other offense specified in the request even if the latter offense is punishable by one year's deprivation of liberty or less, provided that all other requirements for extradition are met.
6. Where the request is for enforcement of the sentence of a person convicted of an extraditable offense, the deprivation of liberty remaining to be served must be at least four months.
Article 3
Nationality
1. A Party shall not refuse extradition based solely on the nationality of the person sought with respect to offenses falling within the following descriptions:
(1) participation in a criminal organization;
(2) terrorism;
(3) trafficking in persons;
(4) sexual assault, molestation, and exploitation of children, and child pornography;
(5) illicit trafficking in narcotic drugs and psychotropic substances;
(6) illicit trafficking in weapons, munitions and explosives;
(7) corruption;
(8) fraud;
(9) laundering of proceeds of crime;
(10) counterfeiting currency;
(11) computer-related crime;
(12) environmental crime, including illicit trafficking in endangered animal species and in endangered plant species and varieties;
(13) facilitation of unauthorized immigration, entry, and residence;
(14) murder, grievous bodily injury;
(15) illicit trade in human organs and tissue;
(16) kidnapping, illegal restraint and hostage-taking;
(17) organized or armed robbery;
(18) illicit trafficking in cultural goods, including antiques and works of art;
(19) racketeering and extortion;
(20) counterfeiting and piracy of products including intellectual property;
(21) forgery of administrative documents and trafficking therein;
(22) forgery of means of payment;
(23) illicit trafficking in hormonal substances and other growth promoters;
(24) illicit trafficking in nuclear or radioactive materials;
(25) trafficking in stolen vehicles;
(26) rape and sexual assault;
(27) arson;
(28) unlawful seizure of aircrafts or ships;
(29) sabotage; and
(30) conspiracy or attempt to commit any of the offenses listed in this Article.
2. In addition, with respect to offenses not described in paragraph 1 of this Article, the executive authority of the Requested State shall have the power to extradite its nationals if it decides to do so.
3. If extradition is denied solely on the basis of the nationality of the person sought pursuant to paragraph 2 of this Article, the Requested State shall, at the request of the Requesting State, submit the case to its competent authorities for prosecution.
4. The Parties may expand the offenses designated in this Article by mutual agreement and notification made through the diplomatic channel.
Article 4
Political and Military Offenses
1. Extradition shall not be granted if the offense for which extradition is requested is a political offense.
2. For the purposes of this Treaty, the following offenses shall not be considered political offenses:
(a) an offense for which both Parties have the obligation pursuant to a multilateral international agreement to extradite the person sought or to submit the case to their competent authorities for decision as to prosecution;
(b) murder, manslaughter, malicious wounding, inflicting grievous bodily harm, assault with intent to cause serious physical injury, and serious sexual assault;
(c) an offense involving kidnapping, abduction, or any form of unlawful detention, including the taking of a hostage;
(d) placing, using, threatening the use of, or possessing an explosive, incendiary or destructive device capable of endangering life, of causing substantial bodily harm, or of causing substantial property damage; and
(e) a conspiracy or attempt to commit any of the foregoing offenses, or participation in the commission of such offenses.
3. Notwithstanding the terms of paragraph 2 of this Article, extradition shall not be granted if the Executive Authority of the Requested State determines that the request was politically motivated.
4. The Executive Authority of the Requested State may refuse extradition for offenses under military law that are not offenses under ordinary criminal law.
Article 5
Prior Prosecution
1. Extradition shall not be granted when the person sought has been convicted or discharged from proceedings with final and binding effect by the competent authorities in the Requested State for the offense for which extradition is requested. In applying this Article, an acquittal or discharge for lack of jurisdiction shall not constitute an obstacle to extradition.
2. Requests for extradition shall not be refused solely on the basis of the existence of criminal jurisdiction in the Requested State. Provisions of the laws of the Parties, including laws on extradition and prior prosecution, will be applied to give full force and effect to the obligations of Articles 1 and 3 of this Treaty.
Article 6
Lapse of Time
Extradition may be denied if prosecution of the offense or execution of the penalty is barred by lapse of time under the laws of the Requesting State. Acts that would interrupt or suspend the prescriptive period in the Requesting State are to be given effect by the Requested State.
Article 7
Capital Punishment
Where the offense for which extradition is sought is punishable by death under the laws in the Requesting State and not punishable by death under the laws in the Requested State, the Requested State may grant extradition on the condition that the death penalty shall not be imposed on the person sought, or if for procedural reasons such condition cannot be complied with by the
Requesting State, on condition that the death penalty if imposed shall not be carried out. If the Requesting State accepts extradition subject to conditions pursuant to this Article, it shall comply with the conditions. If the Requesting State does not accept the conditions, the request for extradition may be denied.
Article 8
Extradition Procedures and Required Documents
1. Requests for extradition and supporting documents shall be transmitted through the diplomatic channel, which shall include transmission as provided for in Article 11(4).
2. All requests for extradition shall be supported by:
(a) documents, statements, or other types of information that describe the identity, nationality, and probable location of the person sought;
(b) information describing the facts of the offense and a brief summary of the procedural history of the case;
(c) the text of the law or laws describing the essential elements of the offense for which extradition is requested and the applicable penalty or penalties;
(d) the text of the law or laws describing any time limit on the prosecution or execution of a penalty and a statement describing the application of such law or laws to the offense for which extradition is sought; and
(e) the documents, statements, or other types of information specified in either paragraph 3 or paragraph 4 of this Article, as applicable.
3. In addition to the requirements in paragraph 2 of this Article, a request for extradition of a person who is sought for prosecution shall also be supported by:
(a) a copy of the warrant or order of arrest or detention, if any, issued by a judge, court, or other competent authority;
(b) a copy of the charging document, if any; and
(c) such information as would provide a reasonable basis to believe that the person sought committed the offense for which extradition is requested.
4. In addition to the requirements in paragraph 2 of this Article, a request for extradition relating to a person who has been convicted or found guilty of the offense for which extradition is sought shall also be supported by:
(a) a copy of the judgment of conviction, or, if a copy is not available, a statement by a judicial authority that the person has been convicted or found guilty;
(b) information establishing that the person sought is the person to whom the finding of guilt refers;
(c) a copy of the sentence imposed and a statement establishing to what extent the sentence has been carried out, if the person sought has been sentenced;
(d) in the case of a person who has been convicted or found guilty *in absentia*, the information required by paragraph 3(c) of this Article; and
(e) in the case of a person who has been convicted or found guilty *in absentia*,
information regarding the circumstances under which the person was absent from the proceedings.
5. (a) The Requested State may require the Requesting State to furnish additional information within such reasonable length of time as it specifies, if it considers that the information furnished in support of the request for extradition is not sufficient to fulfill the requirements of this Treaty.
(b) Such supplementary information may be requested and furnished directly between the United States Department of Justice and the Ministry of Justice of the Republic of Bulgaria.
Article 9
Admissibility of Documents
Documents that bear the certificate or seal of the Ministry of Justice, or Ministry or Department responsible for foreign affairs, of the Requesting State shall be admissible in extradition proceedings in the Requested State without further certification, authentication, or other legalization. Ministry of Justice shall, for the United States of America, mean the United States Department of Justice; and, for the Republic of Bulgaria, the Ministry of Justice of the Republic of Bulgaria.
Article 10
Translation
The request for extradition and all documents submitted by the Requesting State in support of the request shall be accompanied by a translation into the language of the Requested State, unless otherwise agreed.
Article 11
Provisional Arrest
1. In case of urgency, the Requesting State may request the provisional arrest of the person sought pending presentation of the extradition request and supporting documents. A request for provisional arrest may be transmitted directly between the United States Department of Justice and the Supreme Cassation Prosecutors Office of the Republic of Bulgaria. The facilities of the International Criminal Police Organization (Interpol) also may be used to transmit such a request.
2. The application for provisional arrest shall contain:
(a) a description of the person sought;
(b) the location of the person sought, if known;
(c) a brief statement of the facts of the case, including, if possible, the time and location of the offense;
(d) a description of the law(s) violated;
(e) a statement of the existence of a warrant or order of arrest or detention or a finding of guilt or judgment of conviction against the person sought; and
(f) a statement that the extradition request and supporting documents will follow within the time specified in this Treaty.
3. The Requesting State shall be notified without delay of the disposition of its request for provisional arrest and the reasons for any inability to proceed with the request.
4. A person who is provisionally arrested may be discharged from custody upon the expiration of sixty (60) days from the date of provisional arrest pursuant to this Treaty if the Executive Authority of the Requested State has not received the extradition request and supporting documents required in Article 8. For purposes of this paragraph, receipt of the extradition request and supporting documents by the Embassy of the Requested State located in the Requesting State shall constitute receipt by the Executive Authority of the Requested State.
5. The fact that the person sought has been discharged from custody pursuant to paragraph 4 of this Article shall not prejudice the subsequent re-arrest and extradition of that person if the extradition request and supporting documents are delivered at a later date.
Article 12
Decision and Surrender
1. The Requested State shall promptly notify the Requesting State of its decision on the request for extradition.
2. If the request is denied in whole or in part, the Requested State shall provide an explanation of the reasons for the denial. The Requested State shall provide copies of pertinent judicial decisions upon request.
3. If the request for extradition is granted, the authorities of the Requesting and Requested States shall agree on the time and place for the surrender of the person sought. The facilities of the International Criminal Police Organization (Interpol) may be used for this purpose.
4. If the person sought is not removed from the territory of the Requested State within the time period prescribed by the law of that State, that person may be discharged from custody, and the Requested State, in its discretion, may subsequently refuse extradition for the same offense(s).
Article 13
Deferral of Extradition Proceedings or Temporary and Deferred Surrender
1. When the person whose extradition is sought is being proceeded against or is serving a sentence in the Requested State, that State may:
(a) defer the extradition proceedings against the person sought until the proceedings have been concluded or until the sentence has been served; or
(b) conduct the extradition proceedings, and if extradition is authorized, either
(i) postpone the surrender of the person sought until the proceedings have been concluded or until the sentence has been served; or
(ii) temporarily surrender the person to the Requesting State for the purpose of prosecution.
2. A person temporarily surrendered shall be kept in the custody of the Requesting State and shall be returned to the Requested State after the conclusion of the proceedings against that person, in accordance with any conditions that may be determined by agreement between the Parties. The time spent in custody in the territory of the Requesting State pending prosecution in that State may be deducted from the time remaining to be served in the Requested State. The return of the person to the Requested State shall not require any further extradition request or proceedings.
Article 14
Requests for Extradition or Surrender Made by Several States
1. If the Requested State receives requests from the Requesting State and from any other State or States for the extradition of the same person, either for the same offense or for different offenses, the Executive Authority of the Requested State shall determine to which State, if any, it will surrender the person. For purposes of this paragraph, the executive authority for the Republic of Bulgaria shall be the Ministry of Justice.
2. If the Republic of Bulgaria receives an extradition request from the United States of
America and a request for surrender pursuant to the European arrest warrant for the same person, either for the same offense or for different offenses, the competent court of law of the Republic of Bulgaria, or such other authority as the Republic of Bulgaria may subsequently designate, shall determine to which country, if any, it will surrender the person.
3. In making its decision under paragraphs 1 and 2 of this Article, the Requested State shall consider all relevant factors, including, but not limited to, the following:
(a) whether the requests were made pursuant to a treaty;
(b) the places where each of the offenses was committed;
(c) the respective interests of the Requesting States;
(d) the seriousness of the offenses;
(e) the nationality of the victim;
(f) the possibility of any subsequent extradition between the Requesting States; and
(g) the chronological order in which the requests were received from the Requesting States.
Article 15
Seizure and Surrender of Property
1. To the extent permitted under its law, the Requested State may seize and surrender to the Requesting State all items, including articles, documents, evidence, and proceeds, that are connected with the offense in respect of which extradition is granted. The items mentioned in this Article may be surrendered even when the extradition cannot be effected due to the death, disappearance, or escape of the person sought and may be surrendered prior to the extradition.
2. The Requested State may condition the surrender of the items upon satisfactory assurances from the Requesting State that the property will be returned to the Requested State as
soon as practicable. The Requested State may also defer the surrender of such items if they are needed as evidence in the Requested State.
3. The rights of third parties in such items shall be duly respected in accordance with the laws of the Requested State.
Article 16
Rule of Specialty
1. A person extradited under this Treaty may not be detained, tried, or punished in the Requesting State except for:
(a) any offense for which extradition was granted, or a differently denominated offense based on the same facts as the offense for which extradition was granted, provided such offense is extraditable, or is a lesser included offense;
(b) any offense committed after the extradition of the person; or
(c) any offense for which, the competent authority of the Requested State consents to the person's detention, trial, or punishment; in the case of the United States, its competent authority shall be its Executive Authority. For the purpose of this subparagraph:
(i) the Requested State may require the submission of the documentation called for in Article 8; and
(ii) the person extradited may be detained by the Requesting State for 90 days, or for such longer period of time as the Requested State may authorize, while the request is being processed.
2. A person extradited under this Treaty may not be the subject of onward extradition or surrender for any offense committed prior to extradition to the Requesting State unless the Requested State consents.
3. Paragraphs 1 and 2 of this Article shall not prevent the detention, trial, or punishment of an extradited person, or the extradition of that person to a third State, if:
(a) that person leaves the territory of the Requesting State after extradition and voluntarily returns to it; or
(b) that person does not leave the territory of the Requesting State within 25 days of the day on which that person is free to leave.
Article 17
Simplified Procedures
1. If the person waives extradition, the competent judicial authority before whom such waiver is made may direct the transfer of the person to the requesting Party without further proceedings. The specialty provisions in Article 16 shall not apply if the person sought waives extradition pursuant to this provision.
2. If the person sought consents to be surrendered to the Requesting State, the Requested State may, in accordance with the principles and procedures provided for under its legal system, surrender the person as expeditiously as possible without further proceedings. The consent of the person sought may include agreement to waiver of the specialty provisions in Article 16.
1. The United States of America may authorize transportation through its territory of a person surrendered to the Republic of Bulgaria by a third country, or by the Republic of Bulgaria to a third country. The Republic of Bulgaria may authorize transportation through its territory of a person surrendered to the United States of America by a third country, or by the United States of America to a third country.
2. A request for transit shall be made through the diplomatic channel or directly between the United States Department of Justice and the Supreme Cassation Prosecutors Office of the Republic of Bulgaria. The facilities of Interpol may also be used to transmit such a request. The request shall contain a description of the person being transported and a brief statement of the facts of the case. A person in transit shall be detained in custody during the period of transit.
3. Authorization is not required when air transportation is used and no landing is scheduled on the territory of the transit country. If an unscheduled landing does occur, the country in which the unscheduled landing occurs may require a request for transit pursuant to paragraph 2. All measures necessary to prevent the person from absconding shall be taken until transit is effected, as long as the request for transit is received within 96 hours of the unscheduled landing.
Article 19
Representation and Expenses
1. The Requested State shall advise, assist, appear in court on behalf of, and represent the interests of the Requesting State in any proceedings arising out of a request for extradition.
2. The Requesting State shall pay all the expenses related to the translation of extradition documents and the transportation of the person surrendered. The Requested State shall pay all other expenses incurred in that State in connection with the extradition proceedings.
3. Neither State shall make any pecuniary claim against the other State arising out of
the arrest, detention, examination, or surrender of persons under this Treaty.
Article 20
Consultation
1. The United States Department of Justice and the Ministry of Justice of Bulgaria may consult with each other directly or through the facilities of Interpol in connection with the processing of individual cases and in furtherance of efficient implementation of this Treaty.
2. Where the Requesting State contemplates the submission of particularly sensitive information in support of its request for extradition, it may consult the requested State to determine the extent to which the information can be protected by the Requested State. If the Requested State cannot protect the information in the manner sought by the Requesting State, the Requesting State shall determine whether the information shall nonetheless be submitted.
Article 21
Application
This Treaty shall apply to offenses committed before as well as after the date it enters into force.
Article 22
Ratification and Entry into Force
1. This Treaty shall be subject to ratification.
2. This Treaty shall enter into force on the date of the latter of the diplomatic notes by which the Parties notify each other that their internal legal requirements for the entering into force of the Treaty have been completed.
3. Upon the entry into force of this Treaty, this Treaty shall supersede the Treaty of Extradition between the United States of America and the Republic of Bulgaria signed at Sofia on March 19, 1924, and the Supplementary Extradition Treaty signed at Washington on June 8, 1934 (together, the “prior Treaties”) and apply to all pending requests made under the prior Treaties.
Article 23
Termination
Either State may terminate this Treaty at any time by giving written notice to the other State through the diplomatic channel and the termination shall be effective six months after the date of such notice.
IN WITNESS WHEREOF, the undersigned, being duly authorized by their respective Governments, have signed this Treaty.
DONE at , in duplicate, this day of , 20 , in the English and Bulgarian languages, both texts being equally authentic.
FOR THE GOVERNMENT OF
THE UNITED STATES OF AMERICA:
FOR THE GOVERNMENT OF
THE REPUBLIC OF BULGARIA:
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IN THE SUPREME COURT OF JUDICATURE OF JAMAICA
IN COMMON LAW
SUIT NO. C.L. B058/76
BETWEEN LILIAN ESTELLA BRUCE PLAINTIFF
A N D HAMLIN URIAH BRUCE DEFENDANT
Miss Carol Vassall instructed by
C. M. Vassall & Co. for the Plaintiff.
Mrs. S. Usim instructed by Chancellor & Co.
for the Defendant.
IN CHAMBERS
Heard: 19th May, 1998, 25th October, 2000
16th November, 2000, 18th December 2000
& June 14, 2001
MARSH, J.
By writ of summons dated the 25th day of February, 1976, the Plaintiff claimed from the Defendant a declaration of Title to, an account for the rents and profits received from, an order for the payments of such rents and profits and the recovery of possession of lands purchased by the plaintiff in or about
the years 1955 and 1959 from one Charles Gordon in the district of Mt. Olivet in the parish of St. Elizabeth.
The Plaintiff also claims a ‘one half’ interest in a house erected by the Plaintiff and the Defendant on the said lands, an account of the rents and profits received by the Defendant therefrom and an order under the Partition Act in respect of the said building.
Summons for Further and Better Particulars dated 22\textsuperscript{nd} June 1979, were filed on 17\textsuperscript{th} July 1979. This came up for hearing in chambers on the 17\textsuperscript{th} day of September 1979, whereupon the following order was made:
1. That the Defendant do serve on the Plaintiff within 14 days of The Further and Better particulars set out hereunder, to wit: -
Re paragraph 8 of the Defence please state: -
(a) When the said lands were purchased by the Defendant from Charles Gordon;
(b) Whether the said purchases were evidenced by any papers or instruments in writing – if so please forward copies thereof;
(c) The purchase prices paid therefor by the Defendant, setting out the details of the payments made by the defendant and the date or dates of each payment.
2. Re paragraph 10 of the Defence copies of receipts for payments of the taxes made by the Defendant.
3. By paragraph 13 of the Defence-please stated whether the Defendant claims that:
(i) the Plaintiff did not repay any part or portion of the said loan referred to at paragraph 12;
(ii) the date and the amounts paid by the Defendant to the said Loan Bank to meet the said sum of $220 (£110).
(iii) Copies of any receipts received by the Defendant for payment made by him to the said Loan Bank in respect of the said loan.
4. Re paragraph 4 of the Defence please:-
(a) say what negotiations the Defendant entered into with the Malvern People’s Co-operative Bank Ltd. To obtain title to the said lands in his name;
(b) furnish copies of any documents that evidence these negotiations;
(c) furnish a copy of the title to the said lands – obtained by the Defendant in respect of the said lands;
(d) forward copies of the documents tendered by the Defendant when he applied for the said title.
5. That the costs of and occasioned by this application be the Plaintiff's in any event.
Summons to Strike out Defence for non-compliance with Order for particulars dated 28th September, 1984 was filed on behalf of the plaintiff.
In the interim, it became necessary for Plaintiff to "pursue her former Attorneys-at-law through the General Legal Council Disciplinary Committee" to recover original documents to pursue "this case to a successful conclusion...."
This pursuit was for "over a period of years" and ended in Plaintiff's favour by an order made on July 3, 1993. Subsequent to this Miss Carol Vassall instructed by the firm Carol M. Vassall & Co. was retained by the Plaintiff.
An amended Summons for Interlocutory Injunction and to strike out Defence and enter judgment dated 14th October, 1997 was reissued.
Up to this date, the order made against the Defendant on the 17th of September, 1979 was not obeyed in any particular thereof.
Like the situation with the Plaintiff, the Attorney-at-Law who had entered appearance for the Defendant was not the Attorney who appeared for the Defendant when the hearing of the instant summons began.
Summons to amend defence dated 15th May 1998 was filed by Messrs. Grant, Stewart, Phillips and Co. for the Defendant.
Hearing of the summons began on 18th day of May 1998, continued to 19th May, 1998 when it was adjourned for continuation to a date to be arranged by the Registrar.
On October 20, 2000, Notice of change of attorney was filed by Chancellor and Company for the Defendant.
The Plaintiff’s Summons (amended) for Interlocutory Injunction and to Strike out Defence and enter judgment dated October 14, 1997 sought the following relief:
1. That Paragraphs 4, 8, 10, 15 of the Defence be struck out by reason of the non-compliance of the Defendant with the order of the Master made herein on the 17th day of September 1979, that the Further and Better Particulars of the defence asked for by Summons dated the 22nd day of June, 1979 be served on the Plaintiff within (14 fourteen days of the said order);
2. That in the consequence of the said Striking out of the said paragraphs of the said Defence he struck out as no longer disclosing any reasonable cause of action:
3. That the Plaintiff be at liberty to enter judgment herein in Defence of Defence and for the costs of the action including this Application.
4. The Defendant be restrained whether by himself or by his servants or agents or otherwise from selling, transferring, conveying, alienating or otherwise disposing of or dealing with:
(1) one half acre of land in the district of Mt. Olivet in the parish of St. Elizabeth with the boundaries set out hereunder, to wit:-
(a) on the east by lands occupied by Edward Allen;
(b) on the south by lands occupied by Charles Gordon;
(c) on the north by lands occupied by Samuel Bennett;
(d) on the west by the parochial road.
(ii) a parcel of land approximately three-quarter acres in extent adjoining the parcel of land referred to at I above.
(iii) A parcel of land approximately one half acre in extent purchased from one Charles Gordon on October 19, 1959 until trial of this action or further order.
5. Such further order, as this Honourable Court seems just.
The Defendant, by Reissued Summons to amend Defence dated the 15th day of May, 1998 sought an order that:
1. Pursuant to Section 259 of the Judicature (Civil Procedure Code) Act the Defendant be granted leave to amend Defence in the manner set out in the Draft Defence attached hereto........... And to file and deliver the same within seven days of the date hereof.
2. That the Plaintiff be granted leave to amend her Reply, if she so desires, within fourteen days of the filing and delivery of the Amended Defence.
3. The costs of this Application be costs in the cause.
4. That either party has liberty to apply.
The affidavits of Plaintiff Lillian Bruce, sworn to on 15th October, 1996 and 30th April 1998 respectively were relied upon by the Plaintiff.
There was no response from Defendant to any of the aforementioned affidavits of the Plaintiff, nor was there any explanation or reason advanced as to why the Court’s order for Defendant to supply Further and Better Particulars was not obeyed.
On April 27 1998 the Amended Summons for Interlocutory Judgment, filed October 14th 1997 came before Her Ladyship Mrs. Justice Marva
McIntosh (Ag.) (as she then was), in chambers and an order was made for the day’s cost to be paid to Plaintiff, by Defendant, after agreement or taxation. This was not done.
The facts referred to by Plaintiff Lillian Estella Bruce in her affidavits remain uncontested.
The Order made on September 17, 1979 has not been complied with. Counsel for Plaintiff, Miss Vassall, has argued before me inter alia, that
(i) Defendant’s conduct needs to be looked at in the context of O.24 v. 16 (1) of the Rules of the Supreme Court. This speaks to Failure to comply with requirements for Discovery – Order for Further and Better Particulars is a “discovery mechanism.”
(ii) Defendant has remained inactive for such a great length of time, done nothing about complying with an Order of the Court, laches in the matter being so grave and continuous, Court is prevented from exercising any discretion in favour of Defendant.
(iii) Defendant had also failed to comply with another order of the Court, i.e. the order made by Her Ladyship Mrs. Marva McIntosh on April 27, 1998, for Defendant to pay costs to Plaintiff prior to May 18, 1998.
(iv) Since there was non-compliance by the Defendant of the Order of September 1979, which would go to the root of the Defence, the Court should strike out the Defence in this matter as
(a) it discloses no reasonable cause of Defence;
(b) it will prejudice, embarrass and delay a fair trial of the action and
(c) it is an abuse of the process of the Court.
Mrs. Usim for the Defendant countered thus:
1. Plaintiff’s Summons to strike out is based on the non-compliance of an order of the Court made on the 7th day of September, 1979, not pursuant to Order 18 rule 19 of the Supreme Court Practice, which gives Court power to strike out Defence for
(a) disclosing no reasonable cause of action;
(b) Tending to prejudice, embarrass and delay the fair trial of the action
(c) Abuse of process
2. The Court does not generally strike out immediately – it usually makes an “Unless Order” to strike out unless the party complies
with the order within a specified time. To support the proposition, reliance is placed by counsel on Order 24/16/1 1988 Supreme Court Practice.
3. Delay by itself is not enough.
Carey P. (Ag.) (as he then was), in the case Manteca Warehouse Ltd.
V. Anthony Chin Quee etal (1988) 25 JLR. At p. 377 stated, inter alia
“..... in order that a litigant should be driven from the judgment seat, some very good reasons should be shown to allow that to take place. Delay by itself ............ is not in my judgment enough.”
4. Defendant’s possession of Title should not be distributed lightly he ought to be allowed to defend if he has a good and arguable defence on its merits.
5. Plaintiff has also been guilty of laches, as she sat on her rights between 1979 and 1987 “and did nothing”.
6. Complaint of hardship and prejudice have been made but no real evidence of prejudice has been provided. No evidence placed before the Court that the evidence required to prove Plaintiff’s case is no longer available.
The paramount function of a judicial tribunal is to determine “the substantive rights of the parties in accordance with the law applicable to the true facts of any particular matter. Hence is
derived the necessity for the liberal approach adopted by the Court in granting of leave for the amendment of pleadings."
Per Phillips J. A. at page 513 paragraph C, Pierre v. Walker (1973) 22 W.I.R.
Where however there is any ground for believing that the application is not made in good faith, there will be difficulty.
A litigant should not be driven from the judgment seat, unless some very good reasons can be shown for that to take place. (Manteca Warehouse Ltd. V. Chin Quee et al (supra).
It is patently clear that a Court may grant leave to amend where it is of the view that pleadings are redeemable by amendment then application to strike out the pleadings ought not to succeed. A court however has power at any stage of the proceedings to order to be struck out or amended any pleading or anything in any pleading and to order the action to be stayed or dismissed or judgment to be entered accordingly as the case may be.
In the instant case the Plaintiff's summons is essentially based on the fact that the Defendant has failed to comply with an order for Further and Better Particulars, which went to the root of the defence. This order was made in 1979 and has remained not complied with, by the Defendant for more than twenty years.
There has been no explanation or excuse proffered by the Defendant. By any yardstick, a delay of more than twenty years is a long time. It is conceded that during the period Plaintiff was having her own problems with her attorneys – a problem, which caused her to seek the assistance of the General Legal Council’s Disciplinary Committee.
This however, cannot be relied upon by the Defence, as that fact does not account for why the Order made on September 17, 1979 was never complied with.
Besides Defendant’s Counsel submitted that the Plaintiff also shared in the laches alleged, but there was no evidence to suggest that this prevented Defendant complying with an order of the Court. It is therefore in contested that the defendant simply elected to disregard the order of the Court. This default has been intentional and contumelious. I can only conclude Defendant’s intention as no attempt has ever been made to explain or excuse Defendant’s inactivity.
His disobedience of the Court Order – a peremptory order of the Court, which has not been stayed or appealed from, amounts to an abuse of the process of the Court.
Defendant’s Counsel urged that this court should make an “unless order”, not granting Plaintiff the reliefs sought, but rather to fix a time frame
within which the order sought should take effect, should the Defendant fail to comply with the Order made on the 17th day of September, 1979. I will not be impelled to agree as this course of action does not apply to cases such as this where delay has been both inordinate, excessive and without reasonable explanation.
To agree to the course suggested by Defendant, would give the Court’s sanction to conduct which should be encouraged in no litigant. No litigant should treat an order of the Court with such patent contempt.
In consequence therefore, the course which this Court has been led to take is as follows:
(i) Order is made in terms of paragraphs 1 – 4 of the Amended Summons for Interlocutory Injunction and to strike out Defence and enter Judgment dated October 14, 1997.
(ii) Summons to amend Defence dated 15th May, 1998 is dismissed.
(iii) Costs to be the Plaintiff’s to be agreed or taxed.
|
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Display of strength
There are several sound reasons to use our solid state numeric displays. One of the most important is this: they're so strong, they won't die of shock. So they can be used in the most demanding applications.
Another decisive factor is size: each display package measures just 1" x 0.5" x 0.16". And that's all there is to it. In this tiny framework, you get everything necessary to display numerals 0-9. The chip includes an IC driver/decoder and gallium arsenide phosphide diodes that make the bright red numerals visible clear across a room, even at an acute angle.
The display needs less than 5 volts to drive it, and takes a straightforward four line 8-4-2-1 BCD input. You can vary the brightness. And, as the modules are IC compatible, no special interfacing is required. You can buy our solid state numeric display in three-character packages, as well as the solo component. And our small displays of strength cost just $42 each in 1000 quantities.
For all the bright details about this new technology for numeric indicators, call your local HP field engineer. Or write Hewlett-Packard, Palo Alto, California 94304; Europe: 1217 Meyrin-Geneva, Switzerland.
HEWLETT PACKARD
SOLID STATE DEVICES
Circle 1 on reader service card
Pulse problems change and change and change.............and so does the 1900 pulse system
HP's brand new solution for people with pulse problems is a set of multipurpose building blocks. You put what you want in your pulse generating system. With the HP 1900 Pulse System, you start with a standard mainframe that contains only power supplies and optional programming wiring.
Where do you go from there? That's up to you. HP is currently offering seven different functional plug-ins with more to come later. You can start with a relatively simple system and add to it as your needs change. Even complex pulse systems can be formed easily by using several mainframes and appropriate plug-ins.
Just to give you an idea of the capability of the 1900 system, here is a very brief description of the 7 existing plug-ins and some of their capabilities. And, keep in mind that the optional programming wiring allows you to make the 1900 completely automatic!
**HP 1905A Rate Generator**—provides output triggers variable in frequency from 25 Hz to 25 MHz; it includes a pushbutton for single pulse triggers. ($200)
**HP 1908A Delay Generator**—delays or advances pulses up to 25 MHz over a range of 15 ns to 10 ms and includes a double pulse mode. ($200)
**HP 1910A Delay Generator**—pulses up to 125 MHz can be delayed from 5 to 100 ns in 5 ns steps. It has a 3 ns risetime and sufficient output to drive two variable transition time output plug-ins. ($150)
**HP 1915A Variable Transition Time Output**—varies pulse risetime and falltimes from 7 ns to 1 ms and output currents from 40 mA to 1 A, amplifies RZ or NRZ word formats. ($1600)
**HP 1917A Variable Transition Time Output**—varies pulse risetime and falltimes from 7 ns to 500 μs, amplifies RZ or NRZ word formats, 0.2 to 10 V amplitude at frequencies up to 25 MHz. ($525)
**HP 1920A Pulse Output**—provides very fast 350 ps fixed risetime and 400 ps falltime with variable width and 0.5 to 5 V amplitude. Reversible polarity and offset capability. ($1750)
**HP 1925A Word Generator**—provides 2 to 16-bit words, RZ or NRZ format at frequencies to 50 MHz. Has remote programming and pseudorandom noise sequence generation capabilities. ($850)
**Two mainframes**—are available to let you select the one that best meets your power requirements. Price: HP 1900A Mainframe, $750; HP 1901A Mainframe, $450.
Put together the system that best fits your needs. No other pulse system will do so much, so well—at such an economical cost! For more information, contact your local HP field engineer. Or, write to Hewlett-Packard, Palo Alto, California 94304. Europe: 1217 Meyrin-Geneva, Switzerland.
News Features
Probing the News
137 Industrial electronics: Jumble of electronics, instruments keeps pollution monitoring hazy
149 Government: Practical research gets emphasis at NASA's ERC
U.S. Reports
41 Computers: Automating Congress is big deal with a catch
41 Contracts: Drone system worth $50 million with no R&D
43 Medical electronics: Measuring blood pressure ultrasonically
43 Components: Navy's standard hardware to have 2 million items
44 Avionics: Converting inertial navigators; LSI for loran C/D
48 Military electronics: Field tests for Stano gear
50 Communications: Opening some spectrum space; application for digital common carrier
50 Space electronics: Will L-band need new satellite?
Electronics International
237 Western Europe: Mammoth computer project a step closer
238 Japan: Television camera adjusts for image motion
239 West Germany: MOS process takes steps off surface
New Products
169 In the spotlight
169 Liquid laser goes commercial
174 Lorgnette for color, 3-D display
179 Components review
179 4-pole relays fit in TO-5 can
182 Proximity switch sets new limits
187 Instruments review
187 Making any scope a storage scope
188 A-D converter has keyed clock
191 Microwave review
191 Sweeper covers 10 Mhz—18 Ghz
192 Log amp has 80 Mhz bandwidth
195 Avalanche source puts out 250 mw
197 Production equipment review
197 Relay analyzer tests and tells
202 MOS-array tester run by computer
207 Industrial electronics review
207 Spectrometer for fast analysis
208 Gage provides digital readout
210 New Materials
Technical Articles
Solid state 84 At last, a bipolar shift register with the same bit capacity as MOS
At 1,000 bits per wafer, discretionary wired bipolar IC's not only match MOS circuits in complexity but also surpass them in shift rate with no need for data refreshing; speeds of 40 Mhz are possible
Roger Dunn and Glenn Hartsell, Texas Instruments
Circuit design 88 Designer's casebook
- Multivibrators separate pulses according to their widths
- D-a converter switches digital inputs with TTL gates
- Capacitor discharge sets shape of ramp function
German IC's 91 Multi-emitter IC's stabilize voltages in solid state tuners
With inherent temperature compensation, monolithic devices eliminate expensive zener diode matching in discrete units and offer better performance characteristics
Dieter Eckstein and Heiner Schmidt, Valvo GmbH
Materials 94 Connecting aluminum wire reliably
Some termination problems remain to be solved before aluminum can replace copper as the principal source of wiring material
Joseph Mittleman, Electronics staff
Advanced technology 102 Amplifying acoustic surface waves
Acoustoelectric interactions and acoustic waveguides provide active and passive signal processing devices—all on a chip
J.H. Collins and P.J. Hagon, Autonetics
114 Matching FET's by design is faster and cheaper than by pick and choose
Interdigitating two transistors on a chip assures a perfect match, thus avoiding testing and pairing of separate chips
Robert Christensen and Donald Wollesen, National Semiconductor Corp.
Departments
4 Readers Comment 42 Index to Activity
7 Who's Who in electronics 65 Washington Newsletter
8 Who's Who in this issue 218 Technical Abstracts
22 Meetings 212 New Books
31 Editorial Comment° 226 New Literature
33 Electronics Newsletter 235 International Newsletter
Electronics
Editor-in-Chief: Donald Christiansen
Senior staff editors
Technicals: Stephen E. Scrupski
News: Robert Henkel
International: Arthur Erikson
Art director: Gerald Ferguson
Senior associate editors: Joseph Mittleman, Harry R. Karp
Assistant managing editors: H. Thomas Maguire, Howard Wolff,
William Bucci, Richard Gundlach, Frederick Corey
Special projects editor: Roger Kenneth Field; Senior staff writer: John Johnsrud
Department editors
Advanced technology: Laurence Altman
Communications: Leon M. Magill
Computers: Wallace B. Riley, George Weiss
Design theory: Joseph Mittleman
Industrial electronics: Harry R. Karp
Instrumentation: Owen Donnelly
Military/Aerospace Affairs: Alvin Rosenblatt
New products: William P. O'Brien
Solid state: George Watson, Stephen Wm. Fields
Field bureaus
Boston: James Brinton, manager; Gail Farrell
Los Angeles: Lawrence Curran, manager; Ralph Selph
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Copy editors: Edward Flinn, William S. Weiss
Assistant art director: Charles Ciatto
Production editors: Susan Hurlburt, Arthur C. Miller
Editorial research: Virginia Mundt
Editorial secretaries: Lorraine Longo, Claire Goodlin, Barbara Razulis, Vickie Green,
Bernice Pawlak
McGraw-Hill News Service
Director: Arthur L. Moore; Atlanta: Fran Ridgway; Chicago: Robert E. Lee
Cleveland: Arthur Zimmerman; Dallas: Marvin Reid
Detroit: James Wargo; Houston: Barbara LaRoux
Los Angeles: Michael Murphy; San Francisco: Margaret Drossel, Tyler Marshall
Seattle: Ray Bloomberg; Washington: Charles Gardner, James Canan,
Herbert W. Cheshire, Seth Payne, Warren Burkett, William D. Hickman
McGraw-Hill World News Service
Bonn: Robert F. Ingersoll; Brussels: James Smith; Hong Kong: Kate Mattock
London John Shinn; Mexico City: Gerald Parkinson; Milan: Jack Star
Moscow: Jack Winkler; Paris: Robert E. Farrel, Stewart Toy
Tokyo: Marvin Petal
Reprints: Virginia Mundt
Circulation: Isacca Siegel
Reader communications manager: John Drummond
Publisher: Gordon Jones
Associate Publisher: Dan McMillan
Assistant to the publisher: Wallace C. Carmichael
Electronics: December 8, 1969, Vol. 42, No. 25
Published every other Monday by McGraw-Hill, Inc. Founder: James H. McGraw 1860-1948.
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Senior Officers of the Corporation: John J. Jr., Group Vice President; Vice Presidents: John R. Callahan, Editorial;
Paul F. Cowie, Circulation; John H. Holden, Marketing; David G. Jensen, Manufacturing;
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Title © registered in U.S. Patent Office; © Copyright 1969 by McGraw-Hill, Inc. All rights reserved. The contents of this publication may not be reproduced either in whole or in part without the consent of the copyright owner.
Subscribers: This publisher, upon written request to our New York office from any subscriber, agrees to refund that part of the subscription price applying to copies not yet mailed.
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Readers Comment
Free the market
To the Editor:
If the Government, instead of creating monopolies such as AT&T, refrained from interfering with the free market economy, there would be no need for regulatory agencies and their zealous guardians [Oct. 27, p. 134].
Given the freedom to compete, men would stake their reputations, their futures, and their fortunes on ideas for improving service, not by proposing or imposing them from a government office which is shielded from the full consequences of impractical decisions, but by putting them into operation. The promoters of successful ideas then would receive their well-earned financial rewards.
However, I rather suspect that FCC Commissioner Nicholas Johnson likes to have the governmental power to control and regulate without having to face the practical problems and the economic consequences of his decisions.
Ernst F. Germann
Austin, Texas
Heady experience
To the Editor:
I found the investigation of disk memory units [Oct. 27, p. 88] quite informative. An expanded description of the mechanical problems of shock and vibration would have been helpful. Most computer manufacturers have experienced the problem of crashing heads; the source and remedy of this problem could have been explained in more detail.
Another area of interest to me is the interface. I think that in addition to the anticipation logic, a description of other aspects of interfacing to a computer could have been explained.
Charles Wheelock
President,
Computer Logic Systems Inc.
North Billerica, Mass.
Author Boisvert has received many similar requests and is currently summarizing and evaluating them.
Buy resistors with built-in dependability...
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INFORMATION RETRIEVAL NO. 517
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Expressly manufactured to fulfill the need for a micro-size capacitor of high volume efficiency, Red Top Capacitors are used in hybrid circuits and miniature modules where the ultimate in size and electrical performance is required at moderate prices. Red Top Capacitors meet the electrical and mechanical requirements of military, industrial, and commercial applications over the temperature range of −55°C to +85°C. Standard working voltage range is from 2 to 100 VDC.
INFORMATION RETRIEVAL NO. 518
For information on Blue Jacket Resistors, request Engineering Bulletin 7410D. For information on Red Top® Miniature Tantalex® Capacitors, request Engineering Bulletin 3536A. Write to: Technical Literature Service, Sprague Electric Co., 35 Marshall St., North Adams, Mass. 01247.
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Help exterminate the QUADRADECAPEDE!
West Concord, Mass. - Doctors here announced a cure for the virus streptocircuitus integratus, transmitted by the fourteen-legged logic bug and prime cause of inflamed logic and many chronic output diseases.
A statement released by the group said in part, "By using the new General Radio 1790 Logic-Circuit Analyzer, with all its active ingredients, we are now in a position to perform 100% functional testing — on even the most complex modules. The computer-controlled 1790 can test devices with as many as 96 inputs and 144 outputs, checking from a simple functional GO/NO-GO test to a detailed step-by-step analysis for the debugging of defective units, and the optional programmable logic levels permit marginal testing!
"For only $32,500 we can't see why any user of printed-circuit boards or integrated arrays would be without one — especially since extensive programming knowledge isn't required. The results have been overwhelming! In several thousand test cases we've been able to eliminate defective IC's and modules early in the game, thereby producing harmony, well-being, and great cost savings in production."
Help increase the yield and longevity of logic circuits! Write or phone for more information from General Radio Company, West Concord, Massachusetts 01781; telephone (617) 369-4400. In Europe write Postfach 124, CH 8034 Zurich 34, Switzerland. Price applies in U.S.A.
GENERAL RADIO
Who's Who in electronics
One man who's probably considering himself pretty lucky these days is Jack Hirshon. He has just been named manager of the Hughes Aircraft Co.'s new metal oxide semiconductor division, and believes a number of the factors that led Hughes to set up the division give it another shot at becoming a significant force in the semiconductor industry. Says the 41-year-old Hirshon, "From about 1956 to 1958 Hughes had a great reputation and a tremendous potential in semiconductors that was never fulfilled." It was the age-old problem of strong technology, weak production. "We have taken steps to change that image," Hirshon says.
No small role was played by George Smith, a vice president and director of the Hughes Research Laboratories at Malibu, Calif., who pressed for establishment of a solid state research department at the Newport Beach division. His objective was closer rapport between the labs, to which the department was assigned, and the semiconductor production operations at Newport Beach.
Together. The man picked to manage that department when it was established in January 1967 was appointed assistant manager of the MOS division at the same time Hirshon became its head. He is Robert Bower, 33, who has worked on ion implantation in both MOS and microwave devices since 1965. Both Bower and Hirshon are convinced that ion implantation is going to give Hughes a speed advantage over the competition in MOS products [Electronics, Oct. 13, p. 52]—be they p-channel, n-channel, or complementary MOS.
The other key factors that Hirshon says contributed to the semiconductor rebirth at Hughes were the acquisition two years ago of Raytheon's MOS field effect transistor product line, some of its key people and MOS production know-how, plus the rapid expansion of the MOS market itself.
Hirshon says his marketing forecasters look for a total integrated circuit business of about $1 billion by 1973, with $200 million of that in MOS. "This is the median estimate," he points out, "and IMOS (ion-implanted MOS) could double the MOS share of the IC market. We're looking to be a major factor in this market."
Steps. The bearded Bower foresees this kind of technological evolution in MOS: the "now generation" of devices, as it were, is basically p-channel. The next generation, already gestating, will feature silicon gates, multilayer metal...
Who's Who in this issue
FET vets describes Robert Christensen and Donald Wollesen, the National Semiconductor engineers who wrote the matched-FET story that begins on page 114. Christensen worked with FET's at Union Carbide and Fairchild before joining National; Wollesen was with Motorola and Philco. Christensen has a BSEE from Cornell and an MS in physics from BrighamYoung; Wollesen is a California State Polytechnic EE.
Mittleman
No stranger to Electronics' readers, senior associate editor Joseph Mittleman, who wrote the article on making aluminum wire connections starting on page 94, also has worked on the computer-aided design and active-filter series. Mittleman, who has an MSEE from George Washington University, has been writing for the past eight years.
Dunn
Complex IC development has been the major work of Roger Dunn and Glenn Hartsell, who wrote the article starting on page 84. Dunn is manager of custom MSI programs at Texas Instruments; his particular interest is computer-aided of TTL arrays, and he has worked on LSI memories, both main frame and scratch pad, for TI. Hartsell has been in LSI since joining TI in 1966; he helped develop a prototype of the shift register described in the article. He now heads the LSI design section.
Schmidt
A consumer application is this issue's entry in the German IC series, as related by Dieter Eckstein and Heiner Schmidt of Valvo GmbH in the article beginning on page 91. Schmidt works in mask layout; Eckstein is a group chief.
Collins
J. H. Collins and P. J. Hagon of Autonetics continue the acoustic surface wave series [Electronics, Nov. 10, p. 94]. Starting on page 102, they cover materials, amplifiers, and waveguides.
Thinking of programmable calculators?
MATHATRON III
gives multi-user access to computer power at calculator cost.
The new timesharing programmable MATHATRON III...
- Simultaneous calculating and programming keyboards (or other ASCII terminals such as Teletypes or CRT's) as needed, to a maximum of 16 terminals.
- Calculates and programs in Algebra (no machine language).
- Handles complex problems (e.g. 11 x 11 Matrix Inversion, Fourier Transforms, Correlation and Least Squares Analysis, Hyperbolic Trig, Chi-Square Statistics, all from MATHATRON III's library of over 400 programs).
- Hard copy (both problem and answer) at no extra cost.
- Cost: UNDER $3700 per terminal, for a three keyboard system.
UNDER $2000 per terminal, for an eight keyboard system.
UNDER $1450 per terminal, for a sixteen keyboard system.
For detailed information about the new MATHATRON III System, write to ...
MATHATRONICS
MATHATRONICS CORPORATION
241 Crescent St., Waltham, Mass. 02154
(617) 893-1630
Dynamic range $10^{-99}$ to $10^{99}$, nearly 200 decades. Observation of math operations on 3 displayed registers. Up to 32 more registers for data storage.
Complex and vector arithmetic simplified with coordinate transformation keys, rectangular-to-polar and vice-versa, in milliseconds.
Trig functions covering all quadrants and any size angle in degrees or radians.
Introducing the HP 9100B to give you a choice of basic calculators. Provides additional internal memory and programming capability.
Program from the keyboard. Record and store up to 392 step programs on credit card size magnetic cards for repeated use.
Edit programs easily. Single-step through programs to check and de-bug. Address an individual step and make corrections without re-entering the entire program.
Branching and looping flexibility provided by "IF" keys expands programming capability. Single-key direct sub-routine call.
The Emancipator...
start of
the small
computing
system!
It all starts with the HP 9100A calculator... and grows from there. In capability... not in size.
In fact, you can fit the entire HP System 9100 on your desk. It's the personal computing system that puts immediate answers to big computing problems right at your fingertips.
If a picture is worth a thousand numbers, add a plotter. See the solutions being plotted as fast as your problem is being solved.
Need printouts? Get the quiet printer that operates in an office or lab environment without disturbing you, or your neighbors.
You also get an extensive and growing library of applications oriented programs.
But the HP System 9100 is not resting on its laurels. Now you have a choice of basic calculators for your small computing system.
HP is adding the 9100B calculator for those of you who want even more memory and programming power.
The addition of 16 more storage registers doubles the programmable memory to 392 program steps. And, the ability to call subroutines directly gives you more efficient use of this extra memory.
Just pick the calculator that best suits your needs. Plug in the peripherals and you are ready to go. The computing power of your basic system can continue to grow to meet your changing requirements. Additions, like the upcoming memory extender, will be compatible with either calculator.
Stretch your computing dollar with the personal computing system that has learned to live on a small budget. Put this system to work for you now. Just call your local HP Calculator Salesman, he will have the HP System 9100 on your desk faster than you thought possible.
Or, write to Hewlett-Packard,
P.O. Box 301, Loveland, Colorado
80537. In Europe: 1217 Meyrin-Geneva,
Switzerland. Prices: HP 9100A
Calculator $4400; HP 9100B
Calculator $4900. Peripherals; HP
9120A Printer $975; HP 9125A X-Y
Plotter $2475. Lease/rental programs
start as low as $1.50/computing
hour, based on average
usage.
When reliability and performance are essential, Airco Temescal specifies General Electric components
Contaminant-free, high quality, thin-film coated substrates are produced by Airco Temescal's Model FC-1100 Thin Film Deposition System with the CV-10 Electron Beam Power Supply. It was designed for either manual or automatic operation for research or production applications.
Systems such as this require hundreds of components — components that are rugged, reliable, capable of top-notch performance.
The complexity of this equipment requires many types of meters which constantly monitor various functions and controls. These meters, designed by General Electric, check such things as voltage, evaporation rates, current emissions, focus current, gun filament current and others.
Systems designers, such as Airco Temescal's, look to General Electric when they need a certain component to meet specific criteria. They know, for example, GE SCRs are highly sensitive, very versatile...and more important, extremely reliable as well as economical.
Capacitors are another of the many GE components used in this equipment. Designers specified General Electric for this application because high capacitance was required in minimum space, and long life was important.
Companies like Airco Temescal specify General Electric components because the name, General Electric, stands for quality, reliability and performance.
LOOK TO GENERAL ELECTRIC — your best source for electronic components. 285-51
What can GE do for you?
GE's new magnetic material increases magnetic energy 75%
You can have either greater magnetic performance for the same size, or equal performance with less volume and magnetic weight with GE's new Alnico 9 magnetic material. It increases the energy product of cast Alnico 8 to a minimum of 8 million gauss-oerstads—a 75% increase in magnetic energy.
Alnico 9 was developed especially for applications requiring superb performance with minimal space and weight, such as focusing of microwave tubes, motor fields and rotors, torque couplings, accelerometers or other "radial gap" designs.
Consult our engineers about designing a Cast Alnico 9 magnet for your application. For details, circle 507.
New "Hi-TECH" ceramics line... top-flight ceramics plus custom engineering
Need a customized ceramic-metal component to do a tough job? General Electric's Hi-TECH line offers a broad variety of aluminum, ferrite and other special ceramic materials—sealed to virtually any metal... and custom-designed to your specifications.
End use and operating environment are all our engineers need to know in most cases to design and manufacture the exact component you need.
If your device is one that must operate in a severe environment; or if you need a dimensionally-stable abrasion-resistant machine part; or if you are working on electrical equipment, vacuum or gas-filled devices, or hermetically sealed electronic components — check the Hi-TECH line. Circle number 508.
Now available—3SBV half-size relay for multiple applications
Attention, manufacturers of:
- COMPUTERS
- COMPUTER PERIPHERALS
- AVIONICS
- STUDIO & BROADCAST EQUIPMENT
- VISUAL COMMUNICATION PRODUCTS
- INSTRUMENTATION
- TEST EQUIPMENT
- MICROWAVE & MOBILE COMMUNICATIONS
- MOTOR CONTROLS
- PHOTO-ELECTRIC CONTROLS
- GEOPHYSICAL EQUIPMENT
- SECURITY WARNING EQUIPMENT
Specify the new 3SBV 200-grid half-size relay for those applications where size, reliability, top performance and low cost are essential. The 3SBV is an adaptation of the 3SAV type, and has a nylon, heat-sealed metal case. It is ideal for use in environments less severe than aerospace and military applications. For more information on the GE 3SBV, DPDT, relay, circle 509.
Solve unijunction design problems with the new programmable UJT
GE's D13T is a programmable unijunction transistor (PUT) with characteristics (\(\eta\), \(R_{th}\), \(I_p\), ...) that can be selected to fit your circuit. Just two circuit resistors give the D13T1 and T2 programmability which permits the designer to:
- reduce a risk of thermal runaway
- use PUT in battery and other low-voltage circuits
- use base 2 as low impedance pulse output terminal
- use PUT in high voltage applications. Especially suited for long-interval timers, D13T2 features very low leakage and peak point currents. D13T1 is for more general use in high gain phase controls and relaxation oscillators.
Both are 3-terminal planar passivated PNPN devices in the low-cost plastic TO-98 case. Circle number 510.
GE 69F900 wet slugs give highest volumetric efficiency
69F900 wet slugs meet high-density application needs with highest volumetric efficiency of any capacitor. We halved the military (CL64) wet slug size, and essentially kept its electrical and performance traits.
The 69F900 has excellent capacitance retention at low temps... can be stored to \(-65^\circ C\). Operating range is \(-55^\circ C\) to \(+85^\circ C\). It's tough too—withstanding vibration to 2000Hz; 15G acceleration!
GE's capacitor is fully insulated; has low, stable leakage current. Ratings are available from 6 to 60 volts; capacitance ranges from 0.5 to 450 \(\mu F\).
| RATING | CASE SIZE | VOLUME |
|--------|-----------|--------|
| 50V, 30 \(\mu F\), solid (CS12) | .341X .750 | 100% |
| wet slug (CL64) | .281X .681 | 58% |
| 69F900 | .145X .600 | 15% |
| 15V, 80 \(\mu F\), solid (CS12) | .341X .750 | 100% |
| wet slug (CL64) | .281X .681 | 58% |
| 69F900 | .145X .600 | 15% |
| 6V, 180 \(\mu F\), solid (CS12) | .279X .650 | 100% |
| wet slug (CL64) | .281X .641 | 100% |
| 69F900 | .145X .600 | 15% |
For data, circle 511.
Miniature oil-tight push buttons control almost any function
GE's line of industrial miniature oil-tight push buttons, CR104, is available to control almost any function. They are suitable for use on machine tool control panels — especially where space is limited. For example, twenty of these units can be easily mounted on a 6" x 5½" panel.
Units are rated 5 amps carry, 115 volts max., 30 amps make and break at 115-125 volts. Double-break 1NO-1NC and 2NO-2NC contact blocks are available for pilot duty control.
Forms include push-buttons, select switches, indicating lights, special forms, and oil-tight enclosures and stations. Color-coding is easy: knobs and rings come in many colors. Flush and surface-mounted stations make GE's miniature oil-tight push button line the most versatile in the industry.
For detailed information on the entire line of push buttons, circle reader card 512.
Who's Who in electronics
(Continued from p. 7)
ization, and a better understanding of n-channel phenomena (although n-channel parts may not be marketed by Hughes, the technology must be mastered before it can graduate to complementary MOS).
Bower expects the generation after that to be dominated by CMOS technology, and Hughes, licensed by RCA as a second source, is already shipping evaluation quantities of CMOS devices. Speeds will improve in each generation, and Bower and Hirshon believe that with their IMOS treatment, because it lowers parasitic capacitances and because it's here now, they'll have an additional speed advantage in each generation.
His work at the center is directed now toward improved technology and yield factors for bipolar large scale integration. He says the break-even point has already been reached in yields at the 1,000-device-per-chip level. Yields of 20 chips per wafer at the wafer function test level, with at least one good chip per wafer deliverable to the customer, are being attained, he says. This is expected to result in a $100-per-unit price—low enough for custom, low-volume applications.
"Next year we plan to work up to 6,000 to 8,000 devices per chip. Better yields are being obtained by looking at things like mask defects and the purity of materials going into the device. We have also minimized the manufacturing steps by reducing the number of masks from eight to five," says Buie.
Here to stay. While emitter-coupled-logic may replace TTL in some ultrahigh-speed applications, Buie believes TTL is superior for things like high-speed shift register correlators, high-speed comparators, and other normal high-speed logic because of its better speed-power product.
The TRW center has a well-established metal oxide semiconductor program, but Buie isn't personally joining the stampede in that direction. He says that bipolar LSI is on a par with MOS in complexity, and with the advantage of speed, will hit the market in 1971. "An early fallacy that bipolar transistors take more space has held up bipolar LSI work; this isn't true any more and we have been able to streamline the processes," Buie says.
"You have no limits on your expansion in the U.S.: it's big, rich, and free," says Erick I. Siwko, 38, who came here in 1960 via Poland (where he was born), Siberia, Iran, Lebanon, England, and Canada. "It's a fascinating country for Europeans; they still have dreams about it carried over from the last century."
Siwko (pronounced Zivko) has been able to realize his own dream by founding Contronautics Inc. in
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Automatic tape search in both directions with this new time code generator and tape search and control system from Datum.
This complete system provides time generation for data acquisition, time reading for data playback, and fully automatic tape search for automatic data reduction—all in 3½ inches.
Modular IC construction permits many optional features, such as slow-code outputs, remote display, remote manual control, and high-accuracy time base.
For complete information about the Datum 9300/9420 Tape Search/Control System, or other timing instrumentation, circle the reader service number below, or write: DATUM, INC., Timing Division, 170 E. Liberty Avenue, Anaheim, California 92801. Telephone Number (714) 879-3070. TWX Number (910) 592-1289.
Who's Who in electronics
(Continued from p. 14)
Waltham, Mass. "I can't really pinpoint the reasons I started my own company," he says. "There is an internal drive that pushes you to more independence. Once you decide to go out on your own you start thinking of the most successful beginning, usually an extension of your field, to assure success in the initial stages. Once you succeed, then diversification is natural."
A former engineering specialist in charge of new product development for the Industrial Controls division of Fenwal Inc., Siwko now puts his experience to use in custom designing control devices. So far his company's work has been mainly in temperature control, but he hopes to develop a manufacturing capability and enter medical electronics.
Quick. Because Contronautics is new, Siwko finds he has an advantage older companies lack. "We watch new trends, mainly in IC technology, and make use of them fast and efficiently," he says. "It may not be economical for older companies to introduce the latest technology because they already have older models on the market that haven't paid for themselves yet. We can select the most suitable IC for an application and make use of it right away because we have no tradition."
Siwko claims that this ability to use the latest technology allows Contronautics to sell its equipment at a lower cost, sometimes half the price of competing units, and "in quite a few cases customers have told us that our equipment performs better than our competitors," he says. He cites as an example a thermocouple sensor that costs less than $20 in large quantities; "there is nothing like it at this price," he asserts.
Contronautics also is doing R&D in medical electronics, and is looking for a location where it can do its own manufacturing, which now is subcontracted. But Siwko is cautious about entering any other areas right away. "We are trying to discipline ourselves by staying in the industrial and medical control fields," he says.
METALS THAT MONITOR, MEASURE AND MAGNIFY...A SPECIAL CAPABILITY OF CARPENTER!
When a life hangs in the balance, an intensive care unit in a local hospital constantly monitors the patient's progress. When a sleek submarine maneuvers silently beneath the surface, sonar devices sound the bottom to measure the water's depth. When a tiny signal cries from outer space, land-based radar systems magnify its whisper to a loud, clear voice. Each of these electronic devices depends on specialty metals for flawless performance. Carpenter produces a full line of electronic alloys that bring a high level of reliability to the electronic industry. Included are: Magnetic Core Irons, High Permeability Alloys, Glass Sealing Alloys, Electrical Resistance Alloys, Temperature Compensator Alloys, and others. What measure of confidence in materials do you need to make a better product? To find out, contact your Carpenter representative. Steel Division, Carpenter Technology Corporation, Reading, Pa. 19603.
European Office: Emmastraat 39, Amsterdam-Z, The Netherlands
Carpenter Technology Corporation
Describe the display storage tube you need. Westinghouse will build it.
Commercial airborne radar? Medical monitoring systems? Industrial instrumentation? Military radar and sonar systems?
Name your application. Westinghouse will design and custom package a display storage tube with unmatched resolution, controllable persistence, and high brightness.
Westinghouse has designed and manufactured all types of DSTs for both commercial and ruggedized military applications for more than 15 years. The split screen storage tube is our most recent innovation. It combines storage and cathode ray functions in a single tube.
The Westinghouse display design/application team is ready to assist you. For more information, write Westinghouse Electronic Tube Division, Elmira, New York 14902. Ask for brochure SA-10249.
You can be sure...if it's Westinghouse
Circle 19 on reader service card
Describe your needs in power tubes. Westinghouse can fill them.
We have over 700 tube types from rectification to RF heating to control diodes to fill your power tube needs. Most of them like RF oscillators, RF amplifiers, pulse, ignitrons, thyatron, rectifiers, ionization gauges, and ion pumps are available from over 200 stocking locations.
Two new additions are WL-8170/4CX5000 and WL-8171/4CX10000 tetrodes. They’re backed by over 40 years experience in power tube design and manufacturing.
We’d like to help you decide on the right power tube for your application. For more information, write Westinghouse Electronic Tube Division, Elmira, N.Y. 14902.
You can be sure...if it's Westinghouse
Circle 21 on reader service card
Meetings
Reliability: spread the gospel
The Ralph Nader spirit is abroad in the land—just check the program for the annual symposium on reliability sponsored by the American Society of Quality Control. It will be held Feb. 3-5 at the Biltmore Hotel in Los Angeles.
To an unprecedented degree, the meeting will emphasize the need to apply reliability techniques developed for military and space programs to commercial and industrial products.
The keynote speaker, Rear Admiral Nathan Sonenshein of the Office of Naval Material, will outline what managers, systems designers, and engineers must do in the assurance sciences to meet the competition, complexity, and cost demands of the 1970's. Banquet speaker Robert Six, president of Continental Airlines, will discuss the effects of reliability and maintainability on commercial aviation.
Of particular interest will be a second-day panel session on failure mechanisms in integrated circuits. Ultrasonic aluminum wire bonding of microelectronic applications will be discussed by W.P. Cox and Dr. E.E. Anderson of Lockheed Aircraft, and J.H. Anderson Jr. of the University of Rochester. Metal bridging under planar oxide will be the subject of J.F. Knudsen of Lockheed, and electromigration in IC's will be the topic of Ilan Blach and E.S. Neiran of Technion University, Haifa, Israel. Surface-related failure mechanisms in IC arrays will be discussed by D.J. Fitzgerald and A.S. Grove of the Intel Corp. Reliability physics investigation of IC failures will be covered by P.H. Eisenberg and C.W. Scott of Autonetics.
A morning session on the final day will cover the latest screening specifications, special testing of IC's, and part parameter drifts. Papers to be presented: Subcontracting for Parts Screening by R.J. Green and H.J. Bailey Jr. of TRW; the Effectiveness of Part Prefailure Analysis by R.C. Aakhus and H.W. Luedtke of the Honeywell Corp.; and Some Practical Parts Criteria by P. W. Fowler and H.J. Bailey Jr. of TRW.
Members of the advisory board of the annual reliability symposium will explore the broad-spectrum potential of the 1970's for reliability engineers in a panel session on the second day.
For additional information contact R.F. Hahn, Sperry Systems Management division, Sperry Rand Corp., 2 Aerial Way, Syosset, N.Y. 11791
Calendar
International IEEE G-AP Symposium, The University of Texas at Austin, Dec. 9-11.
Symposium on Application of Magnetism in Bioengineering, IEEE, Israel Society for Biomedical Engineering; Rehovot, Israel, Dec. 9-11.
Asilomar Conference on Circuits and Systems, Naval Postgraduate School, The University of Santa Clara, Stanford University, and IEEE; Asilomar Hotel and Conference Grounds, Pacific Grove, Calif., Dec. 10-12.
Winter Power Meeting, IEEE; Statler Hilton Hotel, New York; Jan. 25-30, 1970.
Annual Symposium on Reliability, Group on Reliability of the IEEE, American Society for Quality Control, American Society for Nondestructive Testing, and the Institute of Environmental Sciences; Biltmore Hotel, Los Angeles; Feb. 3-5, 1970.
International Solid State Circuits Conference, IEEE, University of Pennsylvania; Sheraton Hotel and University of Pennsylvania, Philadelphia, Feb. 18-20, 1970.
Symposium on Management and Economics in the Electronics Industry, IEE; University of Edinburgh, Scotland, March 17-20, 1970.
International Convention, IEEE; New York Hilton Hotel and the New York Coliseum, March 23-26, 1970.
(Continued on p. 24)
Allen-Bradley’s experience in resistor production reaches...
to the moon and back!
After more than three decades and untold billions of hot-molded resistors, Allen-Bradley has accumulated manufacturing “know-how” which cannot be approached by anyone else. The fact that the resistors made by A-B over the years—if placed side by side—would more than reach to the moon and back, may be impressive. But “how” they are made is the key.
Allen-Bradley resistors are produced by an exclusive hot-molding technique—developed by A-B. They’re made by completely automatic machines—also developed, built, and used only by Allen-Bradley. The human element of error is removed. Uniformity is so precise from one resistor to the next—year in and year out—that long-term resistor performance can be closely predicted.
The reputation for quality and performance established by Allen-Bradley hot-molded resistors is reflected in the fact that they have been an integral part of virtually every U.S. space probe. And they are “on” the moon. No other resistor applications demand a higher measure of reliability.
For immediate delivery at factory prices, call your authorized A-B industrial electronics distributor. Or write: Marketing Department, Electronics Division, Allen-Bradley Co., 1201 South Second St., Milwaukee, Wis. 53204. In Canada: Allen-Bradley Canada Limited. Export Office: 1293 Broad Street, Bloomfield, N.J., U.S.A. 07003.
Looking for an economical system building block?
REDCOR 720 MUX/A-D CONVERTER
REDCOR's Model 720 Multiplexer/A-D Converter is an economical and versatile system-building block that accepts up to 32 channels of analog data. Time-shared multiplexing and successive approximation analog-to-digital conversion are utilized to process the analog input data into a format suitable for inputting directly into a computer. The basic 720 contains modular multiplexers, high-input impedance buffers, a sample and hold, an ADC, power supplies, and a voltage reference.
The 720 Multiplexer/A-D Converter offers distinct cost-performance advantages for a wide variety of data-acquisition problems where high resolution and attendant accuracy must be compared to system cost and throughput rates. The 720 is available in 8 to 12 bits binary, with system throughput rates ranging from 40 KHz to 20 KHz. Either single-ended or differential inputs are provided, with full-scale input ranges from 5v to 20v in bipolar or unipolar configurations.
The 720 is completely self-contained in a forced-air-cooled 19-inch chassis that requires only 1¾ inches of panel space. Modular concepts are employed throughout the instrument, with all circuitry contained on plug-in circuit modules that are removable from the master interconnect mother PC board. All test points required for system test calibration and maintenance are available from the swing-out front panel. The modular structure of the 720 ensures ease of maintenance and simplifies field expandability of channels.
Simplified operation, low-cost, ease of interfacing, and guaranteed system performance specifications make the Model 720 Multiplexer/A-D Converter attractive for any computer-controlled data-acquisition or process-control application.
REDCOR CORPORATION
Complete Systems Capability / 7800 Deering Avenue, P.O. Box 1031, Canoga Park, California 91304—(213) 348-5892
Only the new Allen-Bradley Type S cermet trimming resistors have all these features
The Allen-Bradley Type S is a one turn cermet trimmer in which you will find incorporated a wider range of features than in any other trimmer now on the market. Here are a few of the more important features.
- **COMPACT**—body is 3/8" dia.
- **BUILT FOR EITHER TOP OR SIDE ADJUSTMENT**
- **50 OHMS THRU 1 MEGOHM**
- **THE SEALED UNIT IS IMMERSION-PROOF**
- **TEMPERATURE COEFFICIENT** less than 250 ppm/°C over all resistance values and complete temperature range
- **UNIQUE ROTOR DESIGN** provides exceptional stability of setting under shock and vibration
- **SMOOTH CONTROL**, approaches infinite resolution
- **PIN TYPE TERMINALS** for use on printed circuit boards with a 1/10" pattern
- **VIRTUALLY NO BACKLASH**
- **WIDE TEMPERATURE RANGE** from -65°C to +150°C
- **RATED ½ watt @ 85°C**
- **EXCEPTIONAL STABILITY** under high temperature or high humidity
- **MEETS OR EXCEEDS ALL APPLICABLE MIL SPECS**
- **COMPETITIVELY PRICED!**
Need to know more about the Type S trimmer? Call your authorized A-B industrial electronics distributor. He'll give you immediate delivery at factory prices. Or write for detailed specifications to the Marketing Department, Electronics Division, Allen-Bradley Co., 1201 S. Second Street, Milwaukee, Wis. 53204. In Canada: Allen-Bradley Canada Limited. Export Office: 1293 Broad Street, Bloomfield, N. J., U.S.A. 07003.
©Allen-Bradley Company 1969
ALLEN-BRADLEY QUALITY ELECTRONIC COMPONENTS
Circle 25 on reader service card
Meet the "Mite".
Only .218" diameter. The toughest ceramic disc trimmer capacitor its size.
New from E. F. Johnson. And it's this small: [Image of a small capacitor on a leaf].
Designed for printed circuit applications where space is at a premium. Stator of High Alumina for greater shock and vibration resistance. The rotor plate is encapsulated in ceramic for environmental stability and long life. The Q factor at 1 MHz is 500 minimum. Precision lapped bearing surfaces give you smooth linear tuning. Pick from a wide capacitance range: 1.0-3.0 pF, 2.5-9.0 pF, 3.5-20.0 pF, 5.0-25.0 pF. Designed to meet or exceed applicable requirements of MIL-C-81A.
Return the coupon today for information on Johnson's new Micro-J™. And if you have a special capacitor need, we'd like to work with you. The same engineering that made our air variable capacitors the standard of excellence goes into every new Johnson product.
E. F. JOHNSON COMPANY/3012 Tenth Ave. S.W./Waseca, Minnesota 56093
☐ Send product specification information on new Micro-J capacitor.
☐ Include information about your full capacitor line and other Johnson components.
NAME ___________________________ TITLE ___________________________
FIRM ___________________________ ADDRESS _________________________
CITY ___________________________ STATE ______ ZIP ________________
E. F. JOHNSON COMPANY
Meetings
(Continued from p. 24)
Theory and Design of Reliable (Fault-Tolerant) Computers: Protective Redundancy, Diagnosis, Self-Repair, University of California; Los Angeles campus, Feb. 2-13, 1970. $395 fee.
Minicomputers, National Electronics Conference; Pheasant Run Lodge, St. Charles, Ill., Feb. 8-11, 1970. $390 fee.
Computer Language Approach to Network Analysis and Design, University of California; Los Angeles campus, Feb. 9-13, 1970. $285 fee.
Electronic Components, University of Wisconsin; Madison campus, Feb. 19-20, 1970. $70 fee.
Introduction to Process Computer Control, University of California; Los Angeles campus, March 9-13, 1970. $285 fee.
Call for papers
Solid State Sensors Symposium, IEEE and the Instrument Society of America; Radisson Hotel, Minneapolis, June 18-19, 1970. Jan. 20 is deadline for submission of abstracts to Dr. R.H. Dyck, Fairchild Semiconductor, 4001 Miranda Ave., Palo Alto, Calif. 94304.
Symposium on Circuit Theory, IEEE; Pick-Nicollet Hotel, Minneapolis, May 7-8, 1970. Feb. 5 is deadline for submission of summaries to Prof. B.A. Shenoi, Dept. of Electrical Engineering, University of Minnesota, Minneapolis, Minn. 55455.
Summer Power Meeting and EHV Conference, IEEE; Biltmore Hotel, Los Angeles, July 12-17, 1970. Feb. 15 is deadline for submission of papers to S.H. Gold, 1970 Summer Power Meeting and EHV Conference, 345 E. 47th Street, New York, N.Y. 10017.
Nuclear and Space Radiation Effects, IEEE and the University of California; University of California campus, San Diego, July 21-23, 1970. Feb. 16 is deadline for submission of summaries to R.K. Thatcher, Battelle Memorial Institute, 505 King Ave., Columbus, Ohio 43201.
ASTM-NBS Symposium on Silicon Device Processing, American Society for Testing and Materials, National Bureau of Standards, Gaithersburg, Md., June 2-3, 1970. Papers should be sent immediately to C.P. Marsden, Electronic Technology Division, National Bureau of Standards, Washington, D.C. 20234.
A gift to OEMs that doesn't end with the holidays. That's Ultramation.
The gift is money...in the form of two unique financial arrangements on the Honeywell 316 computer. One, a quantity discount deal that saves you plenty. It entitles you to a provisional discount based on your estimated requirements over several years. Dozens of OEMs are already taking advantage of this arrangement. The other, a spare parts kit you can lease instead of buy. It can save you a bundle.
That's Ultramation...the ultimate in computer savings to OEMs. The H316 is a bargain to start with: First under $10K, 16-bit computer with big computer company back-up. More peripherals than anyone else. Worldwide support. Plenty of proven software.
You'll probably want rack-mountable or tabletop models more than the glamorous version pictured here (and in the Neiman-Marcus Christmas Catalog and major consumer magazines).
Find out more about the gifted H316 and the unique financial arrangements for OEMs. Write Honeywell, Computer Control Division, Framingham, Massachusetts 01701.
The Other Computer Company:
Honeywell
The new small rack and panels with the big difference.
Bendix is the difference. The difference in distribution, delivery and supply. The difference that means you can get the rack and panels you need when you need them.
A big difference. A big advantage. But there are others. Bendix Regal B subminiatures are built to MIL-C-24308. Application potentials are practically unlimited. Use them in switching circuits, computers, business machines. In industrial equipment, communications, test equipment. And in rack and panel modular or printed circuit technology.
The selection of mounting options is just about endless, too. Choose from among .120 or .154-inch diameter, straight-through holes, clinch nuts, float mounts, lock posts, plain flange and through-bulkhead types. Neoprene spacers or grommets. And solder or printed circuits. Even a crimp version with rear-release contacts comes in a variety of shell sizes and mounting configurations. All interchangeable with existing rack and panel connectors.
For more details, write: The Bendix Corporation, Electrical Components Division, Sidney, New York 13838.
BENDIX
General Electric has invented a new family of silicone lubricants: Versilube Plus® grease and fluid.
What they have in common makes them unique. They’re based on new methyl alkyl technology. Which gives them a long, spiny, interlocking molecular structure. Which, in turn, forms a tough, tenacious film that keeps moving parts separated.
So now you can solve sintered bearing problems. And rub aluminum against steel. With negligible wear. No galling. And not a speck of bimetallic corrosion.
What’s more you can forget about the elements. Versilube Plus won’t crystallize at 300°F. Won’t stiffen up at –50°F. And it’s just about invulnerable to water washout.
In short, it keeps many combinations of dissimilar metals lubricated for good. And a little goes a long way.
Try it. For more information, fill out the reader service card. For a free sample of Versilube Plus grease and/or fluid, write us on your letterhead describing your application: Section N12324, Silicone Products Dept., General Electric Co., Waterford, New York 12188.
R-f pollution: a rising concern
Radiation leaks—X-rays from TV sets and r-f energy from microwave ovens—are an existing concern, but at least such leaks can be pinpointed, measured, and corrected through design changes. A far more insidious problem may be caused by the proliferation of high-power communication and microwave transmitters.
At a meeting last month co-sponsored by the Long Island Section of the IEEE and the Electromagnetic Compatibility Group it was recalled that man's ability to generate microwave power has been increasing at the rate of about 15 db per decade. With the countryside being filled with high-power radiations at VLF, HF, and microwave frequencies, engineers and the public alike are wondering what effects the emissions, singly or in combination, may have on the human body, grazing animals, or even vegetation. Although the proliferation of emitters and the rise in their output power continues unabated, there appears to be an unfortunate lack of coordination among those agencies and individuals who are directly involved, and who might pool their expertise to study the hazards and define proper controls. As it is, there's concern among portions of the military, the U.S. Public Health Service, certain other government agencies, and a few researchers at university laboratories. Isolated experiments have been conducted with rats and frogs to test the harmful effects of r-f energy. Farmers have reported "peculiar behavior" in sheep in the vicinity of microwave antennas. Experiments for the Navy's proposed 800-megawatt, 45-hertz transmitter covering 22,000 square miles in Wisconsin [Electronics, Nov. 24, p. 48] reportedly set telephones ringing and electrified fences in the vicinity. In a separate case, a radar technician died in California; his death was thought to have been caused by exposure to high-intensity microwaves, but the facts in the case were not at all clear.
Broadening the scope of research needed, L.D. Sher of the University of Pennsylvania believes both thermal and nonthermal effects from microwave radiation could occur at several levels: molecular, cellular, the tissue level, and as effects on organs of the body itself. Adding to the confusion, a method of correlating the laboratory work and the clinical studies of animal exposure with measurements taken in the field has not yet been found. As a result of the sketchy work done to date, there is no general agreement on "safe" radiation levels. Most U.S. researchers tend to "talk" around a base figure of 10 mw/cm², while the Russians begin at 1 mw/cm² and tighten the limit to as little as $10^{-2}$ mw/cm² for an exposure time of eight hours or more.
At last month's meeting, A.R. Kall of Ark Electronics reported on a project to measure the intensity of radiation near government h-f relay stations equipped with the familiar rhombic and curtain array antenna systems. Frequencies involved were in the 6-18 Megahertz range (the band in which, for example, the Voice of America might operate). The study showed both magnetic and electric fields were high in the case of 500 kw transmitters; magnetic fields were high but electric fields were tolerable for a 250 kw transmitter, and both E and H fields were acceptable for a 50 kw transmitter. In addition, the study yielded data on hard-to-find but important-to-avoid pockets of very high intensity radiation (hot spots). A comparison study put laboratory rats in an "irradiation tank circuit" to see how much radiation at 6, 14, and 21 Mhz the animals could withstand. The tests showed harmful effects to the gastrointestinal, cardiovascular, respiratory, and genito-urinary systems, peaking at 35 days following the irradiation. Unfortunately, there is no direct way to relate what was measured in the laboratory (watts per unit volume or per unit weight of the test animal) to what is measured in the field (watts per unit effective capture area). The researchers did get around one correlative problem simply by equating a rat with a human insofar as the biological effects were concerned.
Another point in question is the sensitivity of tests. Oddly enough, no changes were detected in the endocrine system of the test animals. The researchers attributed this to the possibility of detection equipment that was not sensitive to the changes that may have occurred. On the other hand, Sher felt that in the area of radiation hazards, some easily detectable effects may not have much clinical significance. Sher is among those researchers who theorize that a limit of 10 mw/cm² is realistic.
Clearly, what is needed is an acceleration of studies that would reinforce certain of the tentative conclusions reached on the basis of intuition and sparse data, while rejecting those conclusions that are unfounded. The result could be the setting of realistic standards regarding safe levels of exposure and the definition of dangerous off-limits areas surrounding high-power transmitters.
No, it’s not a new connector.
It’s a new kind of connecting.
The little connectors above are really one connector. You take as many pieces as you need, mix them together, and use them to connect any size of p.c. board to a motherboard.
That’s not spectacularly new. Connector modules for use in bread-boarding have been around for a while.
But these new Mojo™ Series 6308 p.c. connector modules* are not just for bread-boards and prototypes.
Not hardly.
When used with plated-through holes on the mother board, they are one of the slickest production tricks to come along in quite a while. Contact tails combine a square wire-wrapping post with a specially designed locking feature which, when press-fitted into a plated-through hole, provides a gas-tight and reliable electrical connection.
No, you don’t have to solder. Yes, you can wire-wrap if you want.
And, yes, you’ll save time and money in moving from prototype into production. Because connectors of virtually any size can be built up economically from just two sizes of modules, you don’t need a large inventory. Or custom connectors. And you only have to insert modules where connectors are required, saving a few more pennies.
And, no, you don’t give up a bit of connector reliability. The exclusive swaged single-beam design of the dual-readout contact provides optimum spring rate and deflection characteristics. A preload applied to the contact nose in the insulator makes sure that the contact really holds on to the card, while keeping the contacts well apart when the card is removed from the connector.
Mojo™ p.c. connector modules:
Specs in brief
Material
Glass-filled DAP
Contacts
Cantilevered-beam, dual readout, bifurcated nose. .150” centers. Center modules have 6 contacts. End modules have 4 contacts, molded-in card guide.
Tails
.031” square wire-wrapping type
Mounting
Press fit, in .048” dia. plated-through holes, 3/32” to 1/8” thick board.
For more information, write, wire, call, or TWX us for our Mojo™ p.c. connector module data sheet. Elco Corporation, Willow Grove, Pa. 19090. 215-659-7000; TWX 510-665-5573.
* Patent pending
The Nixon Administration's fidgety military posture is giving planners and their avionics customers fits as they try to decide which new programs will win substantial funding in the fiscal 1971 budget request—and, more important, which ones might be stretched out. Adding to the nervousness is the intention of the Administration to cut defense spending to 7% of the gross national product, or by at least $4 billion for fiscal '71.
One industry source suggests there's a chance some programs—for example, the B-1A bomber (formerly AMSA)—could be put off a year with only minimal funds in the budget that will go to Congress in January. This could happen if the Administration deems it wise not to push strategic weapons systems in light of the arms limitation and disarmament talks in Helsinki and Geneva. And military planners are having a tough time discerning Administration guidelines to what programs will be viewed favorably. As recently as September, some military men admitted to electronics industry marketing officials that they simply had no indications. The slow-moving fiscal 1970 military authorization and appropriations bills also have contributed to the uncertainty.
Detroit's big three automakers are testing an electronic fuel-injection system that uses a small computer and an electric fuel pump. Developed by the Bendix Motor Components division, the system controls the fuel-air mix by monitoring intake manifold pressure and engine revolutions per minute.
The auto companies, which aim to introduce the system possibly as early as 1971, say the advantages are lower fuel consumption and reduced exhaust emission.
A system operating on the same principle was introduced last year by Volkswagen [Electronics, March 17, p. 87].
Buyers of Schottky-barrier rectifier diodes usually want to use them with microwave devices, but Motorola has come up with what engineers at the Semiconductor Products division say is a completely new kind of device—a 50-amp hot carrier diode ideally suited to rectify low-voltage computer power supplies. The MBD5500, it will be introduced next month; its principal advantages, besides its current rating, are efficiency and speed.
That 50-amp current rating is phenomenal in the hot-carrier diode world, where the highest rated devices heretofore have been about 50 milliamperes. Efficiency is best demonstrated by forward voltage drop, which is 500 millivolts for the MBD5500 at 50 amps vs. 1.2 to 1.4 volts for a standard p-n rectifier diode with a comparable active area (the unit is on a 150-square-mil chip). The Schottky diode's speed hasn't been pinned down yet because the test equipment can handle up to 500 kilohertz, and the device still shows good efficiency at that speed.
The first general specification for military microcircuits—Mil-M 38510—has been approved and will be released as soon as it can be printed. Joseph Brauer, chief of Rome Air Development Center's reliability branch in the solid state applications section, says the specification stems from
a September policy change. The lack of military specifications, particularly during the formative stages of microcircuit development, has resulted in insufficient control of reliability.
The new specification, drafts of which are now circulating in industry, provides reliability and test levels for three device classes. Specifications for the top-of-the-line Class A devices refer to the National Aeronautics and Space Administration's line certification requirements for microcircuits—NHB-5300.4 (3c).
The EIA says it will be coming up soon with an industry specification for nonmilitary microcircuits in response to growing requests from designers of data processing and other equipment for guidelines. An EIA official who calls the new mil spec "a compromise, but a pretty good one," adds that industry's own specifications should help reduce microcircuit costs.
**MECL 4 appearing with 0.7 nsec delay**
There's a MECL 4 family of bipolar integrated circuits in Motorola's future. The Semiconductor Products division is already doing custom work with a number of major computer manufacturers, who want the super speed of the new emitter-coupled logic line in their central processors. The MECL 4 circuits are the fastest logic anywhere, with a propagation delay of just 0.7 nanosecond at a power dissipation level of 50 milliwatts; the firm's MECL 3 line is specified at 1.0 nanosecond propagation delay with 50 milliwatts' dissipation [Electronics, April 15, 1968, p. 46].
One of the big advantages MECL 4 will offer is lower power dissipation, making it easier to cool the units. With MECL 4, says Richard Abraham, director of advanced IC programs, "We may be able to back off from 50 milliwatts' dissipation to 10 milliwatts and still get 1-nanosecond delay." Twenty gates of MECL 3 at 1 nanosecond dissipate 1 watt, which is difficult to cool. Abraham says MECL 4 will allow the same function at the same speed with only 250 milliwatts of power dissipation, "which isn't nearly as difficult to cool in a normal computer." Like MECL 3, which is just beginning to be designed into new computers, MECL 4 will be mainly a custom family.
**GE adds computer to top of 600 line**
General Electric's just-introduced giant computer, a new flagship for the 600 line, features what GE calls three-dimensional processing—simultaneous batch processing of jobs carried in on cards or tape, batch processing of jobs arriving via telephone line from a remote terminal, and time sharing capability. The other machines in the 600 family also have this processing feature.
The machine, labeled the 655, will be compatible with other 600 models. And like Control Data's 7600 and IBM's 360 models 85 and 195, it will have a hierarchy of memories. The main memory, a traditional ferrite-core array with a cycle time of about 1 microsecond, transfers data in large blocks into a fast buffer where it can be retrieved by the processor in 100 nanoseconds or less. The buffer probably is a semiconductor array much like those in the giant IBM machines; Texas Instruments is believed to be supplying custom emitter-coupled-logic circuits for the 655.
TI also makes ECL-like circuits for the high-speed buffer memories on the IBM computers.
No other manufacturer offers as large a selection: hundreds of standard types of control knobs, more than 2,000 "specials". Almost every type, style and color combination is promptly available to you from local distributors and large factory stocks.
Turn to color with the new PANELRAMA knobs shown below...mix or match caps and body colors in almost any combination...to harmonize or contrast with every panel decor.
Or, you can choose elegantly-styled Designer Series knobs with spun-aluminum caps on body colors of black; light, medium, or dark grays; and off-white. When you need a solid color, select from the nine decorative colors in our 400 series.
For military applications, specify Standard Series control knobs—thousands of quality knobs that meet MS91528. Or, specify the new self-locking push-to-turn knobs and Microverniers...for accurate, precision control settings. And when you need custom-made knobs, call Raytheon first...to get the advantages of Raytheon quality and fast delivery.
For a catalog, call your distributor or nearest Raytheon regional sales office. Or send the reader service card. Raytheon Company, Industrial Components Operation, Quincy, Massachusetts 02169.
Here's why Raytheon knobs control more settings than any other brand.
Proof of Chester's ability to produce plastic coated multi-conductor cable construction to customer requirements is reflected in part by the production samples shown on these pages. Though only representative of the thousands of "specials" made for our many customers they graphically prove Chester's ability to translate a wide range of special multi-conductor needs into dependable and practical cable constructions.
When standard cable constructions will not suffice, Chester's vast resources, technical skills and manufacturing facilities are placed at your disposal to manufacture conductors, insulations and jackets to meet your most exacting requirements.
Whatever your multi-conductor cable needs, check first with Chester. We know you'll be more than pleased with the expeditious and thorough handling of your request.
A. RECORDING STUDIO: Audio-visual cable; 25 shielded pairs, stranded copper conductors, low loss insulation, twisted with uninsulated drain wire, isolated aluminum tape shields, cabled, PVC jacket.
B. TV CAMERA MFR.: Camera control cable for Audio and Video signals; 8 composite of PVC and polyethylene insulated conductors, cabled, overall braid shield, PVC jacket.
C. AIRCRAFT SIMULATOR MFR.: Control cable; 12 shielded jacketed, stranded copper conductors, PVC insulated, individual shield jackets color coded, cabled, overall PVC jacket.
D. ELEVATOR MFR.: Control cable; 35 conductors, stranded copper, PVC insulated, Conductors coded by colors and printed numbers, cabled with open binder, Individual conductors U/L listed.
E. INTERCOM EQUIPMENT MFR.: 250 conductor inter-office communication and signaling cable; solid bare copper, PVC insulation, paired, cabled, PVC jacket U/L listed.
F. ELECTRIC UTILITY CO.: Station control cable for general use; 37 conductors, stranded, polyethylene and PVC insulated, color coded, cabled, overall tough PVC jacket, per NEMA/IPCEA Specifications.
G. LARGE CITY: Communication cable; 50 pairs, polyethylene insulated, cabled, continuous layer of copper shielding tape, PVC jacket; per spec. IMSA-19-2, 600 volts.
H. LEADING SHIPBUILDER: Shipboard cable; stranded conductors, nylon-jacketed PVC insulation, pairs shielded and jacketed, cabled, PVC jacket, and aluminum braid armor overall, per spec. MIL-C-915.
I. U.S. GOVERNMENT: Coaxial cable type RG-218/U, solid copper conductor, polyethylene insulated, copper braid shield, PVC jacket, per spec. MIL-C-17/79.
J. BROADCASTING COMPANY: Remote control broadcasting cable; stranded conductors, polyethylene insulation, pairs & triples shielded and jacketed, cabled, PVC jacket overall.
K. COMPUTER MFR.: Computer control cable; 55 conductors, stranded copper conductors, PVC insulated, formed into 7 groups of 7 conductors, cabled, PVC jacket; U/L listed.
L. MACHINERY MFR.: Bus drop cable; 3 PVC insulated stranded conductors, with split uninsulated grounding conductor, cabled, overall PVC jacket; U/L listed; per NEC.
CHESTER CABLE CO.
DIVISION TENNESSEE CORPORATION
CHESTER, NEW YORK • 10918
PHONE: (914) 469-2141 TWX (914) 469-9801
A SUBSIDIARY OF CITI'S SERVICE COMPANY
Circle 37 on reader service card
ALC C NO.
Basic Switches?
Go where you can pick from the whole blooming family.
You won't miss out on the latest in basic switches when you come to MICRO SWITCH. Here you can make your selection from the world's largest family. Thousands of subtle variations help you meet any combination of requirements—size, weight, circuitry, electrical capacity, actuation, termination and environmental resistance.
For example, there are switches especially sealed to do the job in highly contaminated environments; switches that operate efficiently at temperatures as severe as +1000° or -320°F; electrical loads from milliamp to 25 amps, 125 vac, or 10 amps, 125 vdc. A large number meet military specifications.
But you can expect much more when you come to MICRO SWITCH. For instance, extra assurance of consistent quality throughout a large quantity run. Or the certainty that a switch will deliver precise operating characteristics throughout a long life. Perhaps what's essential to you is the convenience of local distributors with complete selections on the shelf—or, on the other hand, world-wide availability! If on-time deliveries are critical to you, you'll be interested in our computer-controlled ordering, inventory and production control system. Finally, should you have special design problems, our engineering field service—the largest in the industry—specializes in coming up with the right solutions.
Shown at left and described below are just a few members of our ever-blooming family of basic switches. For additional information, call a Branch Office or Distributor (Yellow Pages, "Switches, Electric"). Or write for Catalogs 50 and 52.
A. Type V3 Basic Switches—Small, versatile precision switches. Over 500 standard designs, including many actuator and terminal variations. Operating force as low as 10 grams; differential travel as small as .002 inch. Rating up to 15 amps 125 vac. SPDT, SPNO or SPNC. Temperature range up to 600°F. Military listed. Case size 1.09 x .62 x .40 inch.
B. Subminiature Basic Switches—Precision operation with minimum space and weight. Variety of actuators, terminals and characteristics. Silver or gold contacts, and bifurcated contact design for reliable, low energy operation. Military listed. Type SM: Case size .78 x .35 x .25 inch, up to 10 amps 125 vac. Type ISX: Case size .50 x .35 x .20 inch, 7 amps 125 vac.
C. Sealed Basic Switches—Small switches for reliable military aerospace use and other applications requiring environmental protection. Types XE and SE are classed watertight (Symbol 3, MIL-S-8805), with a corrosion-resistant metal housing, molded silicone rubber plunger seal, and terminals encased in epoxy resin. Types HM and HS feature true hermetic sealing (Symbol 5, MIL-S-8805), with metal-to-metal and glass-to-metal fusion. Solder or leadwire termination.
D. Special Circuitry Basic Switches—Simplify circuit design and eliminate extra wiring. Type "DT": DPDT. Type TB: 2-Ckt and 4-Ckt Double-Break. Type MN: 2-Ckt Double-Break. Also dual SPDT assemblies, make-before-break, pulse operation, and sequential action types.
E. Standard Basic Switches—The maximum in precise operation, accurate repeatability, long life and high electrical capacity. Thousands of proven designs available. Variety of actuators and terminals. Case size: 1.94 x .95 x .68 inch. SPDT, SPNO or SPNC. Momentary or maintained contact. Type Z: 15 amps; Type A: 20 amps; Type M: 22 amps; Type E: 25 amps; each at 125 vac. Type MT: 10 amps 125 vdc.
F. High Temperature Basic Switches—Type HT switches withstand +1,000°F and -321°F. Available with panel-mount push-plunger or roller-plunger, or side-mount with auxiliary actuators. Corrosion and shock resistant.
G. Glass-Enclosed Switches—Hermetically sealed contacts for extra reliability and long life. Modern automatic equipment assures product uniformity in large quantity production. Type AS mercury switches; 10-oz force; tilt operation; SPST, SPDT, or 2-Ckt; rating up to 70 amps 30 vac; variety of operating characteristics. Type CS miniature reed switches: Form A or Form C; outstanding long life/high capacity combination—up to 100,000,000 cycles at 10 watts; and high reliability on micro-volt or micro-ampere circuits.
MICRO SWITCH
FREEPORT, ILLINOIS 61032
A DIVISION OF HONEYWELL
HONEYWELL INTERNATIONAL: Sales and service offices in all principal cities of the world. Manufacturing in United States, United Kingdom, Canada, Netherlands, Germany, France, Japan.
How quiet? At 10 Hz, with a 2 megohm source resistance, our new Model 113 Low-Noise Preamplifier has a noise figure of less than 0.3 dB. Or at 1 kHz, with a 1 megohm source resistance, its noise figure is only 0.2 dB maximum. Shorted input noise from dc to 100 kHz is typically 1 μV referred to the input.
Model 113 also offers:
- Switch selectable ac or dc coupling in either single ended or differential input mode
- High rejection of common mode signals
- Low- and high-frequency rolloff controls for attenuation of signals outside the range of interest
- High input impedance: Ac coupled: 100 megohms through 0.1 μF shunted by 15 pF; Dc coupled: 1 gigohm shunted by 15 pF
- Gain continuously variable from 10 to 25,000
- Battery operation to eliminate 60 Hz pickup. Provides 30 hours of continuous operation between charges. Built-in charger automatically recharges battery when plugged into 110/220 V ac line. Front panel test lamp indicates battery condition.
Ask us to demonstrate our quiet new $795 Model 113 Preamplifier for you now. Then you'll see why we're making so much noise about it. Contact your local PAR representative or write Princeton Applied Research Corporation, Box 565, Princeton, New Jersey 08540. Telephone: (609) 924-6835.
PRINCETON APPLIED RESEARCH CORPORATION
Circle 40 on reader service card
Automating Congress: caveat vendor
Largest U.S. computer system ever offers contractor great prestige
if enormous challenge is met—and hell to pay if it isn’t
Q. What will be the largest computer system ever developed in the U.S.?
A. According to Edward J. Mahoney of the General Accounting Office, it will be the one being developed for the Congress. Mahoney is chairman of the working group that’s helping the legislators with their preliminary study work.
If Mahoney doesn’t convince you, consider this prediction from Rep. Jack Brooks (D., Texas). He figures that the cost of computerizing Congress will equal that of a nuclear weapon system—billions of dollars over the next 10 to 15 years.
Those estimates have surprised computer industry representatives in the capital, virtually all of whom view potential Congressional sales as comparatively small when stacked against those of, say, the Department of Defense. Moreover, they consider such a venture more dangerous than the prestige of being the company that automated Congress is worth. “There’s no question of the prestige,” sums up one of the marketing men in Washington, “but anyone who tries it had better be sure it works—and works from the start—or there’ll be hell to pay. It would be all over the Congressional Record.”
Finding a base. Mahoney’s working group concedes that Congressional housekeeping is an intricate and complex task and that contractors should indeed understand the requirements. As the preliminary study puts it, the first job of specifying the requirement of Congressional automation—"the accumulation and conversion of data to establish the data base"—is “almost as difficult as designing the system.”
Having decided that Congress has to be automated [Electronics, June 9, p. 51], the Committee on House Administration is now beginning Phase 2 of the study to determine general information need, a process Mahoney estimates will take from six to nine months.
Congressional requirements will probably be:
- For all of Congress: legislative and legal information, including status and content of bills, legislative calendars, summaries of daily Congressional action, index of documents, and access to the U.S. Code and other legal information. Also, access to data stored in other agencies, such as budgetary, appropriation and authorization data; Federal contract awards; research information and statistical data; and description of information stored in the Executive branch. In addition administrative functions—information on lobbyists, doing payrolls, and maintaining telephone directories—will be included.
- For each chamber of Congress: voting and post-vote analysis.
- For committees: calendar details, status of pending legislation, data on subjects within the committee’s jurisdiction, executive files for the committee, and a history of its actions.
Tailored. In addition, the system may have to be designed individually for each Congressman, so he can have extensive data on his constituency and information pertinent to interests in his district. Political parties may also be included in the scheme, with data to be provided including information by states or areas of the country; information by subject categories, such as air pollution or space; information on objectives and policy and those of the opposing parties; and voting information.
The Legislative branch has bought or rented equipment in the past from IBM (Government Printing Office, Library of Congress), Burroughs (Architect of the Capitol), Honeywell (General Accounting Office), Recognition Equipment Inc. (Library of Congress), and National Cash Register (Clerk of the House). But there is no indication whether one of these, some other company, or even a consortium of companies will be working on design and installation of the proposed system. The GAO’s Mahoney says that so many companies, big and small, including hardware and software firms, have shown interest that “we would have to reserve Kennedy stadium to house all the proposals,” indicating that RFP’s will be solicited from only a few.
Contracts
$50 million off the shelf
Contractors, hoping to get their piece of a market estimated at up to $50 million—with little R&D effort required—are in hot competition for development of the first triservice integrated target command system (ITCS). The fact that the system will be developed using existing technology is another indiElectronics production in October fell for the second month in a row. The index was down 1.7 points for the month and 3.1 from the revised August figure of 141.9. The drop from a year ago is 1.8 index points.
Two of the three components in the index showed month-to-month decreases, with only the industrial-commercial sector holding its own. Consumer electronics dropped 1.8 points from the revised September figure, and defense electronics sagged by 2.6 index points.
Indexes chart pace of production volume for total industry and each segment. The base period, equal to 100, is the average of 1965 monthly output for each of the three parts of the industry. Index numbers are expressed as a percentage of the base period. Data are seasonally adjusted.
*Revised.
| Segment of industry | Oct. 1969 | Sept. 1969* | Oct. 1968 |
|------------------------------|-----------|-------------|-----------|
| Consumer electronics | 95.0 | 96.8 | 109.5 |
| Defense electronics | 154.6 | 157.2 | 159.0 |
| Industrial-commercial electronics | 135.7 | 135.7 | 125.1 |
| Total industry | 138.8 | 140.5 | 140.6 |
The Navy’s “monkey business,” says the Government has been considering the standardized military system for two years. Delay was caused, according to the company, by the military’s target control frequencies being “spread out all over the spectrum.” This was the prime reason, the firm says, for the three services using such varied systems—there are about 30 doing the same job. After rejecting the idea of using a tactical satellite link to get around the problem, the military has finally acquired a common target control frequency.
ITCS probably will not be procured in large numbers immediately after completion of the R&D phase. It’s far more likely that ITCS will be deployed as old systems wear out.
According to one industry source, Babcock Electronics, Lear Siegler, and Sierra Research will be heavy contenders for the award.
Medical electronics
On the cuff
When a giant international corporation like Hoffman-LaRoche Inc. turns its attention to a new technology area, it's a pretty good bet that the result is going to be worth a close look. That's the case with the pharmaceutical house's first medical electronics product. Labeled the Arteriasonde and billed as the first clinical device to measure blood pressure with ultrasound, the instrument is slated to debut early next year.
The Arteriasonde comprises an electronic processing unit, 1.5 feet high by 1 by 1 foot, and a rubber-encased cuff that fits around the patient's upper arm. Along the cuff's inside circumference are five piezoelectric crystals, two for transmitting and three for receiving. The processor sends 2-megahertz signals to the generating crystals—the second and the fourth—which in turn radiate ultrasonic energy. A portion bounces off the wall of the arm's artery (the brachial artery), and back to the receiving crystals.
As the patient's heart contracts and expands, the velocity and volume of the blood in the arteries change. And as they change, arterial walls stretch, contract, and shift position slightly. The shape and phase of waves reflected by the brachial artery depend on how much it moves; this, in turn, depends on the blood's velocity and volume, themselves functions of blood pressure. Thus, the ultrasonic energy coming back to the cuff is a measure of the patient's blood pressure.
Mercury. The Arteriasonde's processor turns the reflected waves into pressure readings displayed via two mercury columns. One shows the maximum (systolic) pressure, the other the minimum (diastolic).
Priced around $2,000, the Arteriasonde is more than 200 times as expensive as the cuff-and-column instrument doctors traditionally use. However, Roche scientists point out that their instrument can work either where a doctor can't use the old method—as in the case of a shock victim whose pressure is very low—or where he must resort to the surgical step of threading a catheter into the heart through an artery. It's expected that the Arteriasonde will be purchased by hospitals rather than private practitioners. Doctors also sometimes have trouble measuring the blood pressure of infants, so Roche scientists are adapting the Arteriasonde for obstetric use.
The Arteriasonde is the first part of Roche's planned patient-monitoring system which, besides measuring pressure, will take electrocardiograms and measure heart rate and cardiac output (the amount of blood flowing from the heart).
Stroke detector. The division is concentrating its research on ultrasonic diagnosis. In the prototype stage is a probe that measures the blood flow to a patient's brain when held to his neck. Roche scientists hope that this measurement will help early stroke detection.
Components
Under full sail
Now that the Navy has revised and expanded its Standard Hardware Program (SHP), it predicts that more than 2 million types of electronic modules will be covered by fiscal 1974. The projection is based on application of SHP to more than 30 multienvironment systems embracing communications, fire control, guidance, radar, and sonar. The latest addition in the sonar category is the Ship Systems Command's AN/BQR-2 digital multi-beam steering system for which Honeywell and IBM's Federal Systems division have competitive detail design phase contracts.
What about medium- and large-scale integration? The Navy believes that SHP is sufficiently open-ended to accommodate MSI even though the standards were initially conceived for basic electronic functions such as gates, flip-flops, and the like. As for LSI, the Navy's not so sure standardization is possible.
By function. As an example of the open-ended nature of its effort, the standardization program has four categories for modules based on functional complexity, even though semiconductor technology is essentially limited to three—IC's, MSI, and LSI. In the Navy's view, the latter reflect functional density, rather than complexity, and it wants to differentiate between functional complexity and the make-it-smaller race.
The first level, naturally, covers
Something old, something new. The Navy believes this combination of MSI and LSI devices, plus a two-year-old MIT Instrumentation Lab concept, might provide fast, simple, accurate d-a and a-d conversion.
Avionics
One if by land
Inertial navigation systems that conform to Arinc Characteristic 561 for commercial airliners were intended for transoceanic flights during which position updates from a very-high-frequency omnirange/distance-measuring arrangement can't be obtained. They were not intended to cope with the problems of en-route and terminal area navigation.
But Litton Industries and AC Electronics are adding the domestic area navigation function to the inertial navigation task of their inertial systems—something that will be available to buyers of the Lockheed L-1011 TriStar from the outset [Electronics, Aug. 4, p. 54; Sept. 29, p. 66].
Two boxes. Officials at Litton's Aero Products division expect to have such a modified version of their LTN-51 commercial inertial system ready to flight test next June. Two boxes will be added to LTN-51's existing three modules to make it comply with Arinc guidelines now being written on how area navigation problem-solving can be added to an inertial system that meets Characteristic 561. Arinc will call the resulting navigator, a Mark 3 area navigation system.
The three modules in the present LTN-51 are the inertial navigation unit, the control display unit, and the mode selector unit, with the latter two located in the cockpit. The inertial navigation unit includes the inertial platform and its electronics, plus a digital computer. The two new boxes being developed at Litton are a magnetic card reader to automatically load terminal and en-route waypoint and VOR/DME station data into the inertial unit's computer, and a signal-conditioner to process the VOR/DME inputs that update the inertial unit.
For a flight from Los Angeles to New York, there are 14 departure routes from Los Angeles International Airport; a typical one might send the plane over four waypoints.
The new Helipot Model 845 is a thick-film, miniaturized hybrid digital-to-analog converter (DAC) that converts an 8-bit binary word into an analog output. The input gates, switches, resistor network, reference voltage, and output amplifier are all in the hybrid module.
Because of its operating temperature range (-20°C to +85°C), Model 845 can be used for any industrial digital-to-analog conversion, process control being a typical application. Price is $75/unit in 1-9 quantities (less in greater numbers). The package size is 1.0 inch x 1.5 inches x 0.170 inch. The unit accepts an 8-bit, parallel, binary word that is TTL- and DTL-compatible, and an enable gate is provided. Four different output-voltage ranges are available as standard models: two unipolar (0 to +5 v, 0 to +10 v) and two bipolar (-5 to +5 v, -10 to +10 v). Power-supply requirements are +15 v at 60 ma and -15 v at 10 ma. The output accuracy is ±½ least-significant bit at 25°C ±1 mv per percent of supply-voltage variation. The output-current range is 0 to ±2.5 ma, and the output slew rate is 0.3 V/μsec.
And, it's available from stock.
Beckman Instruments, Inc.
Helipot Division
2500 Harbor Boulevard
Fullerton, California 92604
International Subsidiaries: Amsterdam, Cape Town, Geneva, Glenrothes, Scotland, London, Moscow City, Munich, Paris, Stockholm, Tokyo, Vienna
Circle 45 on reader service card
Time coding can be simpler than you think
Systron-Donner can help you cut through the profusion of time code formats and equipment—to the selection of the right format and the right equipment for the job.
Our new 90-page handbook will guide you to the best technique for your application, and enable you to select appropriate equipment from the comprehensive line offered by Systron-Donner.
Systron-Donner equipment ranges from compact time code generator/readers costing as little as $1495, through portable battery-powered generators for field use, to high-precision generator/readers with automatic tape search.
Send for handbook sample.
Send for free copy of "Selecting time code format," Chapter 3 of our new 90-page, illustrated handbook on time coding techniques. Complete handbook: $3.00.
Data Products Division,
Systron-Donner Corporation,
888 Galindo Street,
Concord, Calif. 94520.
Phone (415) 682-6161.
U.S. Reports
and their associated VOR/DME stations before the crew switches to en-route navigation at Boulder City, Nev. The latitude and longitude of the waypoint, plus the altitude at which the plane is to cross that waypoint, are magnetically encoded on the back of a plastic card the size of most credit cards. The same card also will contain magnetic data giving the latitude and longitude, altitude, magnetic variation from true heading, and frequency of the VOR/DME stations to be used in the departure terminal area. The same information is printed on the front of the card so that the crew can choose the right card.
Take a card. The flight crew will select the terminal departure route to be used and load that card into the reader. The card reader will use the reader/transporter incorporated in Hewlett-Packard's 9100A desk calculator, plus associated electronics to sense and format the magnetic data into a digital form acceptable to the computer. After the data is entered in the reader and stored in shift registers, a button is pushed to load it into the inertial unit's computer.
In flight, the cockpit control/display unit displays the latitude and longitude of the first waypoint until about 30 seconds before the start of the second leg of the flight; the latitude and longitude of the second waypoint then will be pulled from the memory for display, and so on for each of nine waypoints the LTN-51 inertial navigator can accommodate.
Once the plane reaches Boulder City and transfers to en-route air traffic control, the crew can select any of several routes to Kennedy International the airline might use. These routes, with their associated waypoints and VOR/DME sections, will have been encoded magnetically on cards similar to the departure terminal cards just before taking off. An encoder/verifier will check the magnetic data that calls out the best route under prevailing weather and traffic conditions; this information is sent from a central airline facility by teletype writer. Encoding on the en-route card can be done simultaneously with teletype reception, or a paper tape can be prepared later from the hard copy to be used in magnetically coding the en-route card.
Card trick. The en-route data is entered via the card reader before departure as is the departure terminal route information, and the destination terminal data. The latter is contained on another set of magnetic cards like the departure airport route cards. Thus, the plane can be flown from Los Angeles to New York using just three cards to enter route information into the computer.
The signal-conditioning box is needed to couple the VOR/DME receivers in the plane to the inertial system, updating the inertial unit, which otherwise would drift off the true course at a rate of one nautical mile per hour. The crew still must manually tune these receivers to the next VOR/DME station along its path in the basic Mark 3 LTN-51, but an option that might be added later would provide automatic tuning.
Litton officials haven't put a price tag on the Mark 3 version of the LTN-51, but they point out that there's a rich retrofit market because they've already sold more than 300 LTN-51's.
Light loran
Integrated circuits in a loran C/D airborne navigation system hardly seem to make a difference; the military's AN/ARN-92 system weighs 96 pounds anyhow, and dissipates over 500 watts. But put large-scale integrated circuits into the airborne navigator and the system really shrinks.
The International Engineering Co. has developed, with its own funds, a complete LSI loran C/D airborne navigation system that weighs only 13 pounds and dissipates about 23 watts. And most of this power is to light the bulbs on the control panel.
It fits. The system is small enough, its developers say, to fit into all types of military aircraft, from fighters down to small, light observation helicopters. The cost
now...the fast-recovery MAGNUM™
The first 20 amp, 500 nanosecond rectifier assemblies with full-power operation up to 40kHz.
Here’s what we mean when we say “They’re reliability designed from the inside out.”
All four of the diodes in this aluminum heat-sink case are Unitrode’s individually fused-in-glass controlled avalanche, fast-recovery high-surge diodes. So you start with monolithic parts that have typical failure rates of less than 0.0006%, and you have the added bonus of the convenience of the Magnum package.
This is what’s in the heart of our diodes
#682 Series Three Phase 20 amp Bridges
#683 Series Single Phase 20 amp Bridges
#684 Series Single Phase 10 amp Bridges
PIV’S to 800V.
Standard Recovery 25 amp Magnums also available
With the silicon die metallurgically bonded between terminal pins of the same thermal coefficient, the hard glass sleeve is fused to the entire outer silicon surface. Result — a voidless, monolithic structure.
For fast action, call Fred Swymer COLLECT UNITRODE
580 Pleasant Street, Watertown, Massachusetts 02172 • (617) 926-0404
TEC expands its product line... for you!
New modular products by TEC meet more of the stringent requirements demanded by design engineers. Proven reliability of System Power Supplies is complemented by equally reliable thick-film hybrid Voltage Regulators. Check our specifications... if your requirements are unique, try our custom design capability!
U.S. Reports
of the system would also be a major attraction. In large quantities, it could sell for as little as $15,000, although the first 200 will cost about $60,000 with follow-on orders pegged at half this price. The cost of a loran system now being flown by the military is $135,000.
Called a hybrid loran self-contained navigation, or Hylo, system by the Arlington, Va., division of A-T-O Inc. (formerly Automatic Sprinkler Corp of America), the bulk of the navigator fits behind the control-display panel in the pilot's cockpit. This unit contains the navigation receiver, processing and conversion circuitry, and the digital computer. The circuitry is contained on seven 5-by-7-inch printed-circuit boards and fits, with the power supply and display panel, into a 5-by-7-by-9-inch box that weighs about 10 pounds. Another package, a 3-pound antenna coupler, completes the system.
By way of comparison, the AN/ARN-92 comes in four packages—an antenna coupler, loran C/D receiver, navigation computer, and control display.
Circuits. The LSI circuits in the Hylo system are metal oxide semiconductors supplied by the Autonetics division of North American Rockwell. The entire system comprises only 100 of the MOS/LSI circuits, and most of these are in the system's navigation computer, the D-200 announced by Autonetics last May. Ten special ships are used in the receiver. Previous airborne loran systems had anywhere from 5,000 to 7,000 microcircuits, points out Elmer M. Lipsey, International Engineering's president. The low component count means it's possible to test and burn-in every circuit that's installed, a costly task with the separate microcircuits. It also adds reliability, and indications are that the airborne loran C/D systems now flying in Vietnam are not nearly as reliable as was hoped.
The Hylo system is a hybrid in the sense that it can utilize data from two kinds of navigation aids. Thus, it produces a precise position output by combing, via Kalman filtering techniques, information derived from loran C or D ground stations and from any self-contained sensor that could be carried on the aircraft. International Engineering plans to test fly its first unit early next year, all the while trying to sell it to the military. The first target could be the F-4.
Military electronics
Trying before buying
One crash program deserves another. That's the judgment of Army Secretary Stanley Resor and Chief of Staff William C. Westmoreland in their decision to field test all new surveillance, target acquisition, and night operations (Stano) hardware before deployment. The consequence of this decision was the formation at Ft. Hood, Texas, of Project Master (for mobile army sensor system test evaluation and review). The Texas test team, organized in October, will begin its work next month, reporting results to Army's Stano office in the Pentagon which, in turn, reports directly to Gen. Westmoreland.
Creation of Stano and its field test force in admittedly a crash program, albeit one under taken by the Army with the realization that its prior crash programs aimed at developing a night operations capability in Vietnam have not paid off as anticipated. And the Army, already under substantial Congressional fire for other program snarls, moved quickly to take the initiative in coordinating night operations programs, many of which were funded under quick-reaction capability contracts for a Southeast Asia operational requirement.
Potential. The Army's plan to evolve an "electronic battlefield" under the proposed name of integrated area control system using Stano-approved concepts and hardware is viewed by contractors as one with long-term potential in excess of $1 billion. For fiscal 1970 alone, Brig. Gen. William Fulton, Stano director, has more than $14 million plus another $130 million in procurement money salvaged
Solid State Relays
Another big breakthrough from the "little relay" people
We got our nickname "little relay" people because we usually put our big breakthroughs in small packages. (Our success started when we introduced the TO-5 relay.) Now, we've made another breakthrough . . . a completely solid state, four terminal relay with enormous power gain. Only 1 milliwatt switches up to 5 KVA, and it can be resistive, inductive, capacitive, tungsten or quartz lamp loads.
Our new relay operates on inputs up to 280 VAC or from 3.5 to 300 VDC (either polarity) permitting direct interface with TTL logic. Input-output isolation is $10^{11}$ ohms "coil" to "contact" and "coil" to mounting plate. Dielectric is 2000 VRMS. Output characteristics include contact ratings up to 21 amperes, 280 VAC, 60 Hz. Surge current ratings of 200 amperes, and "contact" resistance as low as 50 milliohms. And, . . . these are real breakthroughs for a relay which doesn't have "coil" or "contacts."
Available options include zero voltage switching for RFI suppression and lamp life extension.
Prices start as low as $18.30 in quantities of 100. For complete technical data on our Series 6 Solid State Relay . . . contact us . . . the "little relay" people.
TELEDYNE RELAYS
A TELEDYNE COMPANY
3155 West El Segundo Boulevard Hawthorne, California 90250 Telephone: (213) 679-2205
U.S. Reports
from the scrapped McNamara Wall—the proposed intrusion barrier between North and South Vietnam. Fiscal 1970 sensor procurement for all three services for the integrated area control system concept—all of which are subject to Stano review and approval—is $150 million.
The program embraces multiple electronic, optical, and electro-optical systems ranging from lightweight tactical radars to others using infrared, acoustic, seismic, magnetic, and r-f technologies.
Communications
Digital common carrier?
Data Transmission Co., the subsidiary of University Computing Co. that's known as Datran, has completed its massive filing with the FCC for the first national digital common carrier network. Now it's awaiting reaction from AT&T and others to its $375 million plan.
Unlike Microwave Communications of America Inc. and its affiliates, Datran says it plans a public switched network, rather than private line service, and will offer only digital data transmission by microwave, as opposed to Micom's plan to provide digital, voice, and video transmission at the option of users. Datran also proposes to provide terminals as well, where as Micom's plan calls for users to make interconnection via their local telephone company and to provide their own terminals. According to Seymour Joffe, Datran president and 12-year Univac veteran, terminal options will range from teleprinters to crt's, magnetic tape machines, card readers, and facsimile equipment.
David H. Foster, a Datran vice president formerly with Collins Radio, says the 35-city net, running from Boston to San Francisco, will require some $130 million in financing to get on the air by 1974 after an estimated nine months getting a favorable FCC decision.
The rates. Dedicated-line services will be offered at 150, 4,800, and 9,600 bits per second. Monthly user charges, in addition to a one-time $25 installation charge, will be $15 for a digital console plus a $20 minimum for the first 4,000 data units at the 150 bps rate. Basic charges then go up to $25 for the 4,800 bps service; $30 for 9,600; and $40 for 14.4 kbps. Usage charges will be 5 cents a data unit—computed at the rate of six seconds holding time between the user terminal and the district office. However, data unit charges for local and regional calls will vary with the grade of service. For example, minimum-service users will get 9 data units per minute in local use and 16 for regional use at the nickel rate. Buyers of the 14.4-kilobit service, however, will get 56 and 94 data units for the same price on local and regional calls, respectively.
Note that the anode dark current is given for the overall voltage at the specified overall sensitivity. The maximum overall sensitivity is 10 times the values given above. Each Tube is individually calibrated and data is supplied with the tube.
Send for our new 64 page catalog giving data and technical information on the complete range of EMI photomultipliers.
GENCOM DIVISION
varian/EMI
80 EXPRESS STREET, PLAINVIEW, N.Y. 11803
TELEPHONE: (516) 433-5900
Digital flow. This is the national digital common carrier network that Datran wants to set up. The firm has filed its plan with the FCC.
The case for Centralab lighted, push button switches
Ask your Centralab representative to show you this push button demonstration kit. Discover how versatile a low cost switch can be.
Centralab solves your switching problems with more varieties of lighted, push button* switches at lower cost. Individual standard modules for printed circuit board or panel mounting are available in two, four, six or eight pole, double throw designs. Standard functions are momentary, interlocking and push-push. Each assembly is available with row-to-row locking as a space saving feature; remote release capability and lockout are also available. There's an almost infinite number of combinations of modules with 10 mm, 15 mm or 20 mm spacing to meet a variety of requirements. The lighted push button can be customized to meet specific needs using various combinations of bulb caps, filters, and lenses. Lexan† lenses and filters are available in nine standard colors as well as clear. Filters permit adjustment of light diffusion and color intensity. Hot stamping of lenses or filters is available.
Want to know more? Turn the page . . .
*ISOSTAT LICENSED †TM GE
CENTRALAB
Electronics Division
GLOBE-UNION INC.
5757 NORTH GREEN BAY AVENUE
MILWAUKEE, WISCONSIN 53201
Here are a few facts to help you judge the case for Centralab
Gang mounted modules
Individual modules may be ganged together on a common mounting bracket. Modules, when ganged, retain all the features of the individual modules and also provide the advantages of space-saving and of interlocking and/or clearing when desired.
Circuit board or panel mount
An individual switch module or ganged modules may be electrically connected by assembly into a printed circuit board by the use of wire connectors or hand soldering. Switch can be mechanically mounted either through the circuit board or the switch mounting bracket.
Solenoid operation
A solenoid feature for Centralab Push Button Switches can be provided for remote operation of individual modules within a PB switch assembly. Can be furnished in various AC and DC voltages.
Selection of buttons
The typical button styles and sizes illustrated are available in nine standard colors and clear Lexan. Non-lighted buttons are available in black, white, red, grey, cream, and special colors and finishes. Buttons may be ordered in bulk or cemented onto the slider bar.
Easy bulb replacement
Field bulb replacement is easy without "behind the panel" disassembly. Simply snap out lens and remove bulb with a section of polyethylene tube (1/4" I.D. x 3/8" O.D.).
New module line switch
New, 3-Amp A.C. line switch in module size, provides flexibility of positioning in any type of arrangement. Adaptable to either standard or lighted brackets.
Your Centralab representative is ready to present his case for Centralab lighted, push button switches. He has the answers to your switching problems. Call him today or write: Switch Sales Manager, Centralab Electronics Division, Globe-Union Inc., 5757 North Green Bay Avenue, Milwaukee, Wisconsin 53201.
SPECIFICATIONS
Mechanical
Stator Block: Phenolic per MIL-C-13428A and ASTM D700-69R, Type 2
Slider Bar: Thermoplastic amber resin (Delrin®)
Contacts, Fixed: Silver plated copper wire
Contacts, Moving: Copper alloy with silver overlay
Lubrication: During assembly, No further lubrication required
Electrical
Contact Resistance: 4 milliohms, initial 10 milliohms after 25,000 cycles
Current and Voltage Ratings (at 25,000 cycles):
0.45 Amp at 115 VAC
1.00 Amp at 23 VDC
Insulation Resistance (Megohms):
| Between | General Purpose Material | Diakyl Phthalate Material |
|---------|--------------------------|---------------------------|
| Bracket & Pin | 6,000 | 100 | 1,000 K | 100 K |
| Adjacent Pins (pole to pole) | 65,000 | 185 | 1,000 K | 600 K |
| Opposite Pins | 50,000 | 210 | 1,000 K | 500 K |
Dielectric Strength (VAC, R.M.S.):
Bracket to Pins — 1000
Pins to Pins — 1400
For applications requiring I.R. that will exceed standard unit values by a factor of 10®, diakyl phthalate material may be substituted for general purpose phenolic.
Communication
OTM's give and take
Still without a director, the White House Office of Telecommunications Management is nonetheless letting the Federal Communications Commission know it's still very much in business. FCC chairman Dean Burch has a letter from acting OTM director William E. Plummer expressing "grave concern" about the commission's September request that AT&T stop its international negotiations on the use of satellites vs. cable. The FCC action was generated by a letter from Communications Satellite Corp. chairman James McCormack [Electronics, Oct. 18, p. 34]. This reaction by the OTM is construed as support for AT&T—a criticism that the communications industry has leveled at OTM before. The OTM position in Plummer's letter to Burch is that cables and satellites for both the Atlantic and Pacific will require a correspondingly increased capability in cable.
Chairman Burch presumably got the message loud and clear from the White House office in Plummer's final recommendation that "We recommend as a matter of policy, that you support a balanced provision of both satellite and submarine cable systems and stimulate progress in both."
Good news. On the heels of Comsat's bad news, the OTM gave the communications industry some news which might be good.
What OTM has done is make seven new radiolocation bandwidths, now held for exclusive Government use, available for shared Government-nongovernment usage. The frequency ranges in megahertz include: 5,250-5,350; 8,500-9,000; 9,500-10,000; 13,400-14,000; 15,700-17,700; 23,000-24,250, and 33,400-36,000.
What makes industry uncertain about the value of the OTM action is, first, the effective use to which industry might put these frequencies and, second, the hooker in OTM's offer noting that it can take back the frequencies any time without consulting the FCC.
"Since the Federal Administrative Procedure Act exempts national security matters from the public hearing process," Plummer points out, it is felt that any future Government radiolocation operations could be adequately protected in the event that harmful interference did occur from nongovernment shared use. "Immediate cessation would be necessary if such interference were caused to certain government operations," the OTM's Plummer says.
Space electronics
Merry-go-round
When Applications Technology Satellite 5 went into a spin—instead of staying earth oriented—most of the Navsat engineers at NASA, the FAA, and the Air Force doubted that any data could be obtained from the satellite's L-band experiments [Electronics, Oct. 27, p. 53]. Most of them still doubt it.
An exception is Jack Yudd, ground terminal manager at NASA-Goddard's ATS project office. Yudd says he has permission to suggest modifications of ground equipment that might enable him to get some L-band data from the spinning ATS.
Since the modifications still are being planned, Yudd is reluctant to discuss them, but educated guessers think he is working on some sort of gated reception scheme.
Decision. Yudd says that if the modifications work, NASA could be getting L-band data from the ATS-5 within six months. And if the data is usable, NASA could be spared an uncomfortable choice between two options: the cost of a replacement satellite carrying L-band gear alone, or the wait until the 1972 launch of the next L-band equipped ATS.
But Yudd may be outnumbered by the pessimists. Preliminary data returned from NASA's Mojave ground station indicates that the half-power beamwidth of the satellite's L-band antenna is about $24^\circ$. Thus, since the antenna scans the earth once every 870 milliseconds...
Introducing Bell & Howell Magnetic Tape.
We didn’t mind while other people made our tapes. They did a good job. But now Bell & Howell has developed a tape that’s so good we insist on making it ourselves.
How good? The output is the highest. So is the SNR. The reel-to-reel uniformity is the best. And the nonabrasive surface is just that . . . nonabrasive.
We can make these claims because, from now on, we’re responsible to no one but ourselves. And we have to be better if we’re going to sell our own.
Five types are available. A 2 MHz high resolution type plus a standard telemetry type and a standard extended range. For all the details, call our nearest office. Or write Bell & Howell, Pasadena, California 91109. Ask for Bulletin Kit 3348-X1.
Somebody new is making our tape. Us.
U.S. Reports
as the satellite spins, the beam sweeps across Mojave in about 52 to 53 msec.
According to Richard M. Waetjen, acting branch chief for flight experiments at the NASA-Electronics Research Center’s satellite programs office, this is time enough for some checkout of the Navsat receiver gear that TRW will deliver next spring.
“Carrier lock-on takes only about 10 milliseconds,” says Waetjen. “Unfortunately, the digital code used to establish a line of position takes about a second to acquire. So while we might be able to see if the receiver works, I can’t hope to prove out the ranging technique.”
Half a loaf. The spinning satellite makes some things impossible to check, according to another research center spokesman. One is voice communication; even Yudd’s modifications won’t make this possible.
Another is one of the most vital measurements scheduled for the ATS-5 experiments—the effect of multipath on ranging accuracy. The proposed Navsat system would be used over the North Atlantic, which has widely variable sea states and, therefore, widely variable multipath. Thus, such data is a must before an operational system can be put aloft.
“Since the satellite is spinning at about 76 rpm,” says the spokesman, “multipath fades below 100 hertz probably won’t be easily measurable—they’ll be present, but their frequency is right where the receiver’s bandpass characteristic pinches. It looks like there would always be some question about long-duration fades unless we fly another satellite.”
Thus, whether Yudd succeeds or not, there are scientists who still want another satellite. And right now, they live in frustration because NASA headquarters appears to be waiting the six months Yudd needs before deciding whether to orbit a backup, or to hold off until the next ATS. This, in turn, could delay funding until fiscal 1971.
Just in case. Despite this, there’s a good deal of contingency planTRW 50-volt Metallized Polycarbonate Capacitors are made to squeeze into tight places. Imagine 10 microfarads measuring .547" x 1 3/4" long...the smallest wound capacitor on the market!
Short on size and long on reliability, the X463UW series meets all requirements of MIL-C-27287.
**VOLTAGE**—50V, 100V, 200V, 400V
**CAPACITANCE**—.001 through 10 mfd
**TOLERANCE**—available to ±1%.
For data, write TRW Capacitor Div., Ogallala, Neb. Phone (308) 284-3611. TWX 910-620-0321.
Stack this $350 oscillator against the competition regardless of price!
You'll be surprised! In spite of its low price, the Model 4200 exhibits extraordinary performance. It excels in those specifications most eagerly sought by men who really know oscillators. Krohn-Hite's twenty years of frequency-generator know-how has produced a unique circuit* that makes low-priced high performance a reality at last.
Here's how the Model 4200 stacks up against several competitors:
BROADER FREQUENCY RANGE: The Model 4200 out-ranges most of the others, including more expensive units.
MORE OUTPUT POWER: The Model 4200 has from 2.5 to 50 times the power of the other units.
BEST WAVEFORM PURITY: The Model 4200 is unexcelled.
BEST BUY: The $350 price speaks for itself.
See for yourself. Write for data. Then contact your Krohn-Hite Representative for a no-holds-barred demonstration. The Model 4200 is a lot of oscillator for $350.
*Patent applied for.
KROHN-HITE CORPORATION
580 Massachusetts Ave., Cambridge, Mass. 02139, U.S.A.
Phone: (617) 491-3211 TWX: 710-320-6583
Oscillators / Filters / AC Power Sources / DC Power Supplies / Amplifiers
U.S. Reports
ning going on within the prosatellite faction. One possible scheme is a Scout-launched spacecraft carrying a 1-kilowatt L-band transponder into orbit. The orbit wouldn't be synchronous; the payload would be too heavy for the Scout to fire that far or fast. But it would be above the horizon for about two hours a day and usable for that period. Unfortunately, while this idea would cost less than a synchronous shot, such a satellite would force researchers to work with a beam whose angle of incidence and length is changing continually. This probably would make the sort of exact multipath and ionospheric effect measurements the experimenters need hard to get. And the Air Force, which needs exceptionally accurate data for use in the 621B military navigation satellite program, might get nothing for its program from such a scheme.
And that's important. The reason is that any backup satellite program is booster-limited; even a Scout might be hard to find. Though ERC is making some other calculations based on a Thor-Delta launch vehicle, the Thor said to have been located by the FAA in October appears to have vanished in the Indian Summer's haze, and while there's an Atlas-F available, it's not reliable enough and nobody wants to play long odds this late in the game. Thus, a few L-band engineers are hoping for some close air support in the form of a military-funded launch vehicle for their experiments.
Harsh reality. But even if NASA headquarters were to approve requests for a backup satellite today, Leo M. Keane, head of ERC's satellite programs office, estimates that negotiations with contractors would take a minimum of five months and that another year would pass before delivery. This would mean a mid- or late-1971 launch date—at best only a year ahead of the next ATS, meaning that questions about the worth of backup flight are certain to be raised.
Keane still would go for it. He says that the backup and the ATS could work together giving two lines of position, a real positional
DELTA will tell you everything!—Complete Specs including schematics!
MARK TEN® SCR
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- Dramatic Increase in Performance and in Fast Acceleration
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- Up to 20% Mileage Increase (saves gas)
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Delta now offers a compact, versatile, and extremely sensitive VOM which combines FETs and ICs for extreme accuracy. Compact (6½"W x 8"H x 3½"D), portable. Wt. 3¾ lbs.
IN KIT FORM: Feedback network with pre-selected components to eliminate all final calibration. Ready to use when assembled!
NEW DELTA FEATURES:
- Mirror scale 200 A D'Arsonval meter
- Integrated circuit (IC) operational amplifier for extreme accuracy
- FET input stage with current regulator
- Two stage transistor current regulator and Zener diode on OHMS for absolute stability and accuracy
- Voltage clippers for protection of input stage
- Fully temperature compensated for low zero drift
- Ten turns ZERO and OHMS adjust potentiometers
- Epoxy glass circuit boards and metal case
- Enclosed switches
- Uses readily available type AA cells
- Uses standard test leads for maximum flexibility and ease of measurement
- 10 Megohms Input Impedance
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COMPUTACH®
Delta, pioneers in CD ignition who produced the fabulous MARK TEN®, now offer a precise computer-tachometer which obsoletes any type tachometer on the market today! You achieve unbelievable accuracy in RPM readings due to the advanced, solid-state electronic matched components used in the computer, coupled with the finest precision meter in the world. Works on all 2, 3, 4, and 6 cylinder 2 cycle and with 4-6-8 cylinder—4 cycle 12 volt engines.
- 0-8000 RPM range
- Perfect linearity — zero parallax
- Adjustable set pointer
- Wide angle needle sweep
- Translucent illuminated dial
- Chrome plated die-cast housing
- All-angle ball & socket mounting
- Use it with ANY ignition system
- Meter: 3¼" dia. X 3¾" deep
- Calibration kit included, no test eqpt. needed.
*An exclusive computer-tachometer for precise RPM measurement in easy-to-build Kit form!
$29.95 ppd.
KIT FORM ONLY
Write today for complete literature packet
DELTA PRODUCTS, INC.
P.O. BOX 1147 • GRAND JUNCTION, COLORADO 81501
Electronics | December 8, 1969
Free! Money-Saving Guide (For Logic Design Applications)
Working with logic modules? Then here's something you should have. It's a Guide for logic design applications.
Real handy!
The Guide outlines a procedure to assist you, the Systems Engineer, in transposing a logic design into an idealized listing of the logic cards needed to implement the design.
It's simple to use and you can really sock away the money you'll save on reducing the number of cards you need. That's right!
We're helping you to reduce the number of logic cards you have to buy.
But that's okay, sock it to us!
Wyle also has a sample of stick-on logic drafting symbols for you, the only catch is that you have to request this item on your letterhead.
So just drop a line with your name and address on your company letterhead to our Marketing Manager, Gordon Elsner.
He'll sock a sample logic drafting symbol right back to you.
And if you're socked in with an immediate application call Gordon direct, Now! (213) 678-4251
U.S. Reports
fix, bringing an operational Navsat scheme one step closer, and perhaps eliminating the need for still another experimental launch of a satellite.
With time pressing, it's appropriate to remember that the next ATS could fail too. Without a backup, there could be no United States Navsat system operating until very late in the 1970's or early in the 1980's. It may be time to buy an insurance policy for the Navsat operating program.
For the record
Laser loot. Two more contracts totaling about $6 million have been signed by NASA for experiments aboard the Applications Technology Satellite (ATS-F) to be launched in 1972. The Aerojet-General Corp. will develop ground and satellite equipment for a laser communications experiment, the first use of such a laser system aboard a satellite. Eventually, the laser's ability to communicate over extremely long distances could make live TV coverage possible for a manned landing on Mars, 100 million miles away. The cost-plus-award-fee contract is for $5 million. Only minor changes have been made in the proposed system since it was first described as a 22,300-mile-high experiment [Electronics, Sept. 15, p. 77].
Heart of the matter. A permanently implantable artificial heart, complete with computer control logic, can be developed in a year and a half, says Dr. Frank Hastings, if the National Heart Institute's artificial heart program obtains $20 million in R&D funding from Congress for the program. Hastings, who is working on the program, says a major part of development work will be massive reduction of control logic into a housing about 8 square inches to fit into the chest cavity after the heart is removed. Current heart-assisting devices require a computer console besides the patient's bed, an unwieldy solution to the problem.
EAGLE
...where the state of the art is the standard of the industry
Versatile Delay Timers with Solid-State Reliability
CG 10 Series ON-DELAY Timer
These time-delay modules are fully transistorized for maximum reliability. Available in four dial ranges to provide delays of 2, 10, 30, and 60 seconds for controlling such equipment as motors, machine tools, elevators, X-ray machines, packaging equipment and molding presses. Circuitry incorporates such state-of-the-art components, in its class, as tantalum timing capacitor, unijunction transistor, SCR and 10-amp output relay. Built-in transient suppression for protection against premature load contact actuation and in the event line voltage is removed before time out. Remote setting available as a kit.
Send for Bulletin 158
CG 300 OFF-DELAY Timer
A sustained contact, solid-state timer designed to replace many electromechanical and pneumatic units. Timing is accomplished by an RC circuit in conjunction with a 4-layer diode actuating a transistor. Design and all components are state-of-the-art for its class. Power application closes two sets of contacts. Removal of power initiates the timing cycle. If power is re-applied during the preset delay, contacts remain energized until delay cycle is completed. Time ranges are available in 1-10, 3-30, and 6-60 seconds. The unit provides a choice of both integral and remote time adjustments.
Send for Bulletin 159
NEW CE 400 PRECISION Delay Timer
Provides a highly precise and adjustable time delay between actuation of a control circuit and operation of a load circuit. Special mirror dial minimizes parallax errors in setting. Slide-rule graduations enhance readability. Famous Cycl-Flex® plug-in case allows five-second replacement with the same or different time range from 1.5 to 600 seconds.
Send for Bulletin 126
GET THE SPECS and full details... more than $1 million in Eagle time/count controls, control relays, precision potentiometers...waiting to serve you in 35 major areas throughout the world...including U.S.A., S.A., Europe, U.K., Canada and Australia.
Electronics | December 8, 1969
The news-makers in MOS come from Philco.
Meet the most recent additions to our large line of standard MOS products... all in volume production right now.
**4-bit adder.**
This unique binary-BCD device does the work of four conventional full adders. It operates in either binary or BCD mode by means of a simple external control connection... without a converter.
Speedy? You bet! The pL4AO1C has a typical 4-bit parallel "add" time of 1.8 microseconds in the binary mode, 2.1 microseconds in the BCD mode... with an overall cycle time less than that required by two 2-bit adders.
Stack them to obtain any number of bits you need—in multiples of four. Packaging: 24-lead rectangular flatpack.
**16-channel multiplexer.**
Our 16-channel multiplexer is really versatile. You can use it for random access sampling or sequential sampling... just by changing the external wiring.
And you can stack them for switching in multiples of 16 channels. Or maybe you only need to switch from 2 to 16 channels—fine, no problem.
The pL4S16C is voltage-driven... so you don't need a complex drive network. Offset voltage is 0. Leakage current? Less than 10 nanoamps. Packaging: 34-lead flatpack.
**1024-bit static ROM.**
Output of our newest ROM is static... data remains valid as long as the selected address is held.
This means data is ready and waiting... when you need it.
Bit pattern is 128 8-bit words with typical access times of 2 microseconds. Packaging: 24-lead hermetic DIP.
**And...**
We make other highly reliable MOS products at our Lansdale plant—one of the largest facilities of this type in the country. Things like binary counters, gates, shift registers, and dynamic ROM's... for immediate delivery. Still more are in the works.
So if it's MOS, check us. We're probably doing it now. Write or call MOS Marketing, Philco-Ford Microelectronics Division, Blue Bell, Pa. 19422. (215) 646-9100.
PHILCO
*The better idea people in MOS.*
Nobody—
but nobody
assures T²L
deliveries like
Motorola.
—where the priceless ingredient is care!
Your next order for Motorola TTL will receive a unique delivery assurance that's made possible by the industry's most comprehensive selection of T²L types; and by the extensive production facilities and reputation for on-time delivery that has justly earned the accolade, "Production House of The Industry!"
Almost three years ago, we made a commitment...to supply you with the kinds of T²L circuits that you want—when you need them. To maintain our reputation for on-time delivery it was recognized that greatly expanded facilities would be required. Our commitment resulted in a new 650,000 square-foot plant devoted solely to production of integrated circuits, supplementing our existing 1.25 million square-foot facility. Additional plants were added in France, Korea and Scotland. And now, there's one plant in Mexico with another under construction.
And, that's only part of the story...Of equal importance to you is the selection and design flexibility provided by these five different MTTL families:
| MTTL I MC500/400 Series | Medium speed logic circuits with typical gate propagation delay of 10 ns. Electrically interchangeable with SUHL I. |
|-------------------------|------------------------------------------------------------------------------------------------------------------|
| MTTL II MC2100 2000 Series | High speed logic circuits with typical gate propagation delay of 6.0 ns. Electrically interchangeable with SUHL II. |
| MTTL III MC3100/3000 Series | Advanced design high speed logic circuits with typical gate propagation delay of 6.0 ns. Compatible with MDTL and SN54N/SN74N Series devices. |
| MC5400 MSI Series | Complex function circuits offering state-of-art increases in logic per function and significant reduction in package count. Compatible with all MTTL and MDTL lines. |
| MCS480/7480, MC5400, 7400L, MC7400P Series | Electrically interchangeable with Series SN5400/SN7400 Series. |
| MC5400F/7400F Series | Electrically interchangeable with Series SN54F/SN74F types. |
| MC5400/7400 Series Complex Function MSI circuits designed for compatibility with MC5400/7400 Series gates and flip-flops. |
Need delivery assurance? Call your nearby franchised Motorola distributor. He'll show you that...Nobody—but nobody assures T²L deliveries like Motorola.
MOTOROLA Integrated Circuits
Building Block of Digital Circuitry
MTTL, MDTL Trademarks of Motorola Inc.
SUHL I, SUHL II Trademarks of Sylvania Electric Products, Inc.
A new lead to a 300 W, 100 A silicon power transistor in a TO-3 case
What are you looking for in your linear and switching applications? 100 ampere pulsed current capability? 300 watts power dissipation? The highest second breakdown capability of any device on the market in a modified TO-3 package?
Look no further. Here's another first from the silicon power leader—RCA's new 2N5578 family...six high-power, high-current Hometaxial-base silicon n-p-n transistors designed for applications in military, industrial, and commercial equipment.
2N5575, for example, has a pulsed collector current of 100 A. Dissipation is 300 watts at 25°C with $V_{CE(\text{sus})}$ of 70 V. The useful beta range is 10-40 at 60 A.
For complete design flexibility, there are three terminal variations: 2N5575 and 2N5578 have heavy pins; 2N5576 and 2N5579 have soldering lugs; and 2N5577 and 2N5580 have flexible leads with solderless connectors.
This family of types all adds up to circuit cost savings in inverters, regulators, motor controls, and other linear and switching applications. Check the chart. For more information, see your RCA Representative or your RCA Distributor. For technical data, write: RCA Electronic Components, Commercial Engineering, Section No. IN12-1, Harrison, N.J. 07029.
| Characteristic | Test Conditions | 2N5575 | 2N5576 | 2N5578 | 2N5579 | 2N5580 |
|---------------|----------------|--------|--------|--------|--------|--------|
| $I_{C(\text{pulsed})}$ | 4 V, 40 A | 40 | 40 | 40 | 10 | 40 |
| $V_{CE(\text{sus})}$ | 25 V, $I_C = 1.5$ A | 70 | 50 | 12 | 12 | 12 |
| $E_{\text{f}}$ | 0.2 V | 0.8 V | 0.5 V | 0.8 V | 0.5 V |
| $E_{\text{r}}$ | 0.2 A/W | 0.8 A/W | 0.5 A/W |
†With base forward biased
‡With base reverse biased and $R_E = 10\Omega$, $L = 33mH$
Army to complete Divtos R&D with fiscal '71 funding
Army's Computer Systems Command is scheduled to get fresh money in the fiscal 1971 budget to complete research, development, testing, and engineering on its Divtos program, the division-battalion level version of its Tactical Operations System (TOS) [Electronics, Sept. 1, p. 49].
Currently, Divtos continues to operate with about $2 million in fiscal 1970 funding for in-house expenses, software development and spare parts for test equipment. But one military source indicates that present funding is being supplemented by reprogrammed fiscal 1969 money—including $5.8 million for hardware, $2 million divided between system engineering and hardware integration, and $2 million for software and system maintenance.
The Army's proposal that it eventually will buy 26 Divtos systems, and a comparison of its outlays with those of the parent TOS system for Europe—$15.6 million through fiscal 1969 but only $950,000 this fiscal year—suggest to a number of observers that the Divtos minnow may wind up swallowing the TOS whale.
Army is jubilant over Viet tests of phased-array radar
Continuing operational testing of the Army's Camp Sentinel radar in Vietnam has come up with good results in foliage penetration, according to delighted Army sources. The fixed-perimeter defense system was developed and built by MIT's Lincoln Laboratory. After initial field tests of two of the phased-array units, the Army shipped several more to the Southeast Asia theater last summer and fall. So far, no industry contractor is involved. Staffers at the MIT lab, however, refused to accompany the units to Vietnam and run the field tests.
Lincoln, which used to get most of its funds from the Pentagon's Directorate of Defense Research and Engineering and its Advanced Research Projects Agency, now draws heavily on Army money since that service became responsible for the Sentinel ABM. The Army is budgeting Lincoln for $23.1 million this fiscal year, and Army R&D chief Lt. Gen. Austin W. Betts says that Lincoln "has agreed that they will continue to do that [classified] work" despite student and faculty committee protests.
Delay in space shuttle request for proposals?
NASA's latest hassle with Congress may delay plans to send out proposal requests later this month for six multimillion-dollar studies, three each for the vehicle and the engine in the reusable space shuttle system. They would be awarded in the spring and would be due about a year later. But Sen. Clinton B. Anderson (D., N.M.), chairman of the Senate Committee on Aeronautics and Space Sciences, has fired off a stinging letter to Administrator Thomas O. Paine, asking if NASA intends to go ahead with a reported $70 million reprogramming of the budget without Congressional approval—only a few months after the Senate had turned down a $66 million House addition to the budget for the space station and shuttle.
The 1970 budget, as finally approved by Congress, contained $6 million for station studies, $3 million for shuttle studies and $2.5 million for advanced missions. It was planned to reprogram an additional $30 million for the shuttle studies—totaling $6 million for the vehicle and $27 million for the engine after juggling, plus $10 million for advance development of the station and $8 million for the shuttle.
Shuttle's electronics: big engineering job
The integrated electronics system for the reusable space shuttle could represent from one-third to one-half of the total price for each craft. But requirements are within the present state of the art, say firms already working on the problem. "The technology is here," says one Lockheed official; "it will just take a hell of a lot of engineering to adapt existing technology to the shuttle."
NASA wants an integrated electronics system with onboard checkout capabilities to help cut costs. By eliminating ground tracking stations and relying on onboard computers for inflight data, much of the cost expended on present space flights would be eliminated.
NASA jittery over Apollo 16-20 funds
Although excited about the success of Apollo 12 and approval of its unchanged fiscal 1970 budget, NASA is anxious about the future of the Apollo 16 to 20 missions. The Manned Space Flight office asked the Bureau of the Budget for about $1 billion next year to cover advance work for the missions, scheduled for launch between March 1971 and December 1972. One MSF official claims that if the budget is cut significantly below that figure, the Apollo program may be forced to stop after the 15th mission. He commented, "If science is the real reason for flying, and the budget won't let us do any new experiments—why fly?" He discounted any reports that a slash might be due to criticism of over-emphasis on manned flights, but said it would simply reflect the "total national budget picture."
Neodymium lasers eyed by Army
Technology gains in neodymium lasers are prompting the Army to substitute them for ruby lasers in future airborne rangefinder applications. Though a ruby laser system was part of the defunct AH-56 Cheyenne helicopter program, the Army Electronics Command has found the neodymium units are lighter, have greater range, and provide better illumination. The service will proceed next year to replace three-pulse-per-second ruby systems on the UH-1 helicopter with a 10-pulse-per-second neodymium system.
Hughes Aircraft, developer of the laser subsystem for the AN/UVS-1 visual airborne target locating system now being tested in Vietnam, could be the beneficiary of the Army plan to switch to neodymium. Hughes, however, will not lack for competition. Other contenders include RCA and General Electric, whose ruby system had been set for Cheyenne.
The Army hopes to move next year toward integrating laser rangefinders into a combined target designator and fire-control system.
$45 million tagged for pollution R&D
After months of arguing about how much money the National Air Pollution Control Administration should spend on R&D, House-Senate conferees have decided $45 million is enough [see p. 137]. Included is a meager $2.5 million for instrumentation, although dollars for electronics may turn up under chemistry-oriented research in fuel combustion.
The $45 million is just half of what the Senate authorized and $26.3 million more than the House offered. Sen. Edmund Muskie (D., Me.) calls the R&D put-down "unconscionable and unacceptable." He is pushing the Senate Appropriations Committee to give the air pollution program more money this year, an effort that appears doomed to die in the Congressional filing system.
Sorensen modular power supplies ± 0.005% regulation $89.00
- Optional 10 μ sec. overvoltage protection.
- Requires no external heat sink in ambients to 71° C.
- 29 models—voltages to 330 Vdc at power levels to 300 watts.
- Remote programming—remote sensing—series/parallel operation.
- Overload and short circuit protection.
- Meets military specifications.
Model QSA*10-1.4, shown actual size, illustrates the compactness of the Sorensen QSA Series. These laboratory-grade, precision power sources are designed for OEM or system applications and utilize the latest solid-state regulating technology to provide a high degree of regulation and stability.
Sorensen produces 29 wide-range models, each with optional overvoltage protection. Other manufacturers require more than 100 models to cover the same area. By producing and stocking fewer models, Sorensen is able to provide better specifications, higher reliability, lower prices and "same-day shipments."
For more information contact your local Sorensen representative or; Raytheon Company, Sorensen Operation, Richards Ave., Norwalk, Conn. 06856. Tel.: 203-838-6571; TWX: 710-468-2940; TELEX: 96-5953.
Staggered-finger heat sink design is more efficient, saves space and weight
Unique design is causing circuit designers to re-think their thermal theory.
Design engineers are learning daily that power ratings of power transistors are often not at all what they appear to be at first glance. For example, the data sheet on a transistor may state, "maximum power dissipation — 50 watts." But the fine print — if there is any — says, "at 25°C case temperature." Actually, the transistor alone will dissipate only 3 to 4 watts before the maximum allowable junction temperature is reached!
Obviously, something must be done to maintain the specified case temperature when more than 3-4 watts are to be dissipated. This is normally accomplished by mounting the transistor case to a dissipator or heat sink, but dissipator state-of-the-art has been such that these devices are too bulky, too heavy — just plain inefficient. Now you needn't tolerate these size and weight penalties in your design because IERC has achieved a major breakthrough in heat sink design: The IERC Staggered Finger Dissipator.
International Electronic Research Corporation has developed a broad line of these smaller, lighter, much more efficient heat dissipators based on the unique, multiple staggered finger design which has proven to be 30% more efficient overall, and in some cases up to 500% more effective than many conventional designs now in wide use. An example of the staggered finger design is shown in Figure 1. This is an IERC HP3 Heat Dissipator. To show how efficient this device is, it is shown compared to a common finned extrusion. The HP3 and the extrusion are virtually equivalent in their heat dissipating ability; however, the HP3 is only ⅓rd the weight and ⅓rd the volume of the extrusion.
The secret to the efficiency of the new dissipators is the staggered fingers. (Figure 2) Note how the fingers are positioned so they do not radiate to each other and the configuration is so arranged that natural convection takes place very readily.
In a finned extrusion the fins radiate to each other and it is difficult for natural convection to take place in the confined area between the fins. (Figure 3)
In a forced air environment the staggered finger configuration is even more effective. The air can be from any direction. (Figure 4) As it hits the fingers, turbulence causes it to move around each of the fingers, striking many surfaces in its flow past the part. The turbulent air against these surfaces disturbs their surface barrier and is the principal reason for the significant improvement in the forced air heat dissipating properties of these parts.
Compare this turbulent air flow over the staggered fingers of the IERC part with the air flow conditions when directed at a finned extrusion. Here laminar air flow, rather than turbulent air flow, takes place. The air must be directed in one direction only, (Figure 5) parallel to the fins. The air enters the space between the fins; but because of this restricted space, it immediately tries to leave. Shortly after entering, it is not flowing against the bottom of the fin surfaces. Since the air flow is laminar, not turbulent, and it is not disturbing the surface barrier at the bottom of the fins shortly after entering, the surface areas of the fins are only partially effective.
The old rule-of-thumb which considers only the surface area relative to heat dissipation is not valid. The effectiveness of the area must also be considered. The staggered finger concept is a significant breakthrough in heat dissipating devices and is the first improvement in heat dissipator design since the flat fin or extrusion design.
Broad line accommodates all lead and case mounted semiconductors.
During the past several years, IERC has developed numerous heat dissipating devices.
using the staggered finger configuration.
The UP style (Figure 6) is just 1.78 inches square and is available in various heights up to one inch. It was designed particularly to accommodate a single power transistor such as a TO36, TO3, TO15, etc. However, it will also accommodate more than one smaller semiconductor, including the newer plastic case power transistors.
To really appreciate the efficiency of the UP, refer to the temperature vs. power curve (Figure 7) showing a 2N1208 power transistor mounted in a UP-TO15-B dissipator. Remember, now, that this UP part weighs less than one ounce. Considering a maximum case rise of 100°C, the 2N1208 by itself will dissipate only 3 watts. When mounted in the UP dissipator in natural convection, it will dissipate 14 watts, or more than four times more power at the same case temperature. In a forced air environment of only 200 FPM, 28 watts can be dissipated — more than nine times the power at the same case temperature. With 1000 FPM, the remarkable light weight UP will allow 50 watts of dissipation from the transistor — seventeen times more power at the same case temperature.
Think now. You must limit the case temperature rise of a power transistor to 100°C. You need to dissipate 14, 28 or 50 watts. You have three cubic inches of space and are limited to adding one ounce of weight. And you can't spend more than 40 cents for a dissipator or sink in medium quantities. What would your present thinking lead you to do?
Another IERC dissipator, the HP1, is a companion to the HP3 shown in Figure 1. The HP1 is 2½ inches square, slightly larger than the UP. At the same case temperature rise of 100°C, it will dissipate 23 watts in natural convection; in a forced air flow of 200 FPM, it will dissipate 33 watts; and 65 watts with 1000 FPM. The HP3, which is 3⅝ inches square, will dissipate 28 watts in natural convection, 42 watts with 200 FPM, and 74 watts with 1000 FPM. When the HP1 and HP3 are nested, Figure 8, more than 100 watts can be dissipated at the same 100°C case temperature rise with 1000 FPM.
Stop and contemplate the sizes of heat dissipating devices which would have been required to dissipate these powers before the advent of the staggered finger design, and you will appreciate the savings of space and weight which the UP and HP make possible.
The staggered finger design has also been used in heat dissipators for TO5 and TO18 metal case transistors. Models in the LP Series, Figure 9, are available in three lengths and two heights and to accommodate one or two transistors. These parts are so efficient that when a TO5 transistor is mounted in the largest model LP dissipator (only 2.31 x 1.12 x ½), the dissipator is virtually an infinite heat sink. The case temperature rises only 65°C when 5 watts are being dissipated. When 1000 FPM of air is used at 5 watts dissipation, the case temperature rise is phenomenally low — less than 15°C.
In addition to their thermal efficiency, LP parts are extremely versatile. Almost any application problem where a conduction plane is not available can be solved with these simple, low cost devices.
The staggered finger concept is also available in dissipators for plastic case power transistors and integrated circuits and microcircuit packages as shown in Figure 10.
The staggered finger concept of heat dissipation is the most significant breakthrough in heat sink technology since the advent of the power transistor. Get specific technical and pricing information on those IERC heat dissipators most applicable to your needs. Write on your company letterhead for Technical Bulletin 149 for more detailed information on the PA and PB series and Technical Bulletin 151 for the LB series. Technical Bulletin 134 and Test Report 172A detail the UP series; Technical Bulletin 139 and Test Report 198 cover the HP series; and for the LP series, ask for Technical Bulletin 135 and Test Report 182. You'll be surprised how substantially these advanced new heat sinks will contribute to the efficiency of your design and your equipment.
International Electronic Research Corporation, a corporate division of Dynamics Corporation of America, 135 West Magnolia Boulevard, Burbank, California 91502.
Tired of running the crystal can relay maze?
You don’t have to any more!
Because we’ve got them all. Everything from power crystal cans to TO-5 relays, from military types to industrial/commercial devices. All built to the same exacting Clare quality. And, as you’d expect from Clare, the world’s greatest selection of operating characteristics and mounting styles.
**Military Relays.** Every Clare military relay is designed to meet the requirements of MIL-R-5757. All feature hermetically sealed cases to eliminate contamination under the most severe conditions. Withstand temperatures from $-65^\circ C$ to $+125^\circ C$; shock to 100 G; vibration to 30 G.
- **Type TF.**
- TO-5 transistor size; low-level to 1 amp.
- **Type TF.**
- Sensitive. To 40 mw sensitivity; low-level to 1 amp.
- **Type MF.**
- One-sixth size; low-level to 0.5 amp.
- **Type HF & HFW.**
- Low profile; low-level to 2 amp.
**Industrial/Commercial Relays.** A combination of economy and rugged construction to meet industrial/commercial requirements. Industrial/commercial versions are rated for 30 G shock and 10 G vibration.
- **Type TFC.**
- TO-5 transistor size; low-level to 1 amp.
- **Type MFC.**
- One-sixth size; low-level to 0.5 amp.
- **Type HFC.**
- Rugged “metal” cover; low-level to 2 amp.
For information, circle Reader Service number, call your Clare Sales Engineer or your local Clare Distributor. Or write for data on the types you need. C. P. Clare & Co., Chicago, Ill. 60645...and worldwide.
LOOK FOR CLARE ON THE RELAY
a GENERAL INSTRUMENT company
Low power TTL.
| Part Number | Description | Price |
|-------------|------------------------------|--------|
| SN54L00R | Quad 2-Input Gate | $7.00 |
| SN54L10R | Triple 3-Input Gate | 7.00 |
| SN54L20R | Dual 4-Input Gate | 7.00 |
| SN54L30R | Eight-Input Gate | 7.00 |
| SN54L51R | AND-OR-INVERT Gate | 7.00 |
| SN54L54R | AND-OR-INVERT Gate | 7.00 |
| SN54L55R | AND-OR-INVERT Gate | 7.00 |
| SN54L71R | R-S Flip Flop | 11.50 |
| SN54L72R | J-K Flip Flop | 11.50 |
| SN54L73R | Dual J-K Flip Flop | 17.00 |
| SN54L78R | Dual J-K Flip Flop | 17.00 |
We took the heat off.
National delivers the lowest speed/power product now available in any digital family: 1mW at 30 nsec. Power dissipation just one tenth that of standard TTL. Plus all circuits designed as pin for pin, spec for spec replacements for 54L low power TTL.
Low power, high rel. 54L devices from National pass Mil-Std-883's strict test/inspection requirements. Right down the line.
We take the heat off delivery too. Get on the hot line to your National distributor. He's got off-the-shelf delivery on all our low power TTL's. For specs and data sheets, write or call National Semiconductor, 2975 San Ysidro Way, Santa Clara, California 95051. (408) 245-4320. TWX: 910-339-9240. Cables: NATSEMICON.
National/TTL
BELDEN...new ideas for moving electrical energy
Belden’s systems savvy is
no big deal
It's a lot of little deals, that add up to something big. Like lower costs. Fewer production headaches. Enhanced product reliability. By poking and probing into your product's electrical system and the way it's manufactured and used, Belden Wire Systems Specialists may be able to suggest a wire or cable that costs less. Or that lasts longer, or that takes up less space*. Or maybe they'll suggest a different put-up that saves you assembly time. Or a solution to a stripping problem. They'll also offer you one responsible source for all your wire needs. Because we're the people who make all kinds of wire for all kinds of systems. So if you're making plans or having problems, get yourself a good deal. Call or write: Belden Corporation, P.O. Box 5070-A, Chicago, Illinois 60680. And ask for our catalog, and the reprint article, "Key Questions and Answers on Specifying Electronic Cable."
For example: Beldfoil* shielding in Belden cable. It isolates conductors better than anything yet. And it's thinner. You can pack more conductors into a conduit... hold down size and weight.
Learn how electronics is working to change the practice of medicine.
2nd National Conference & Exposition on Electronics in Medicine.
February 12-13-14, 1970
Fairmont Hotel
San Francisco, California
Presented by
Electronics/Management Center
in association with
McGraw-Hill Publications
Electronics/Medical World News
Modern Hospital/Postgraduate Medicine
Scientific Research
How much change will be brought about by the successful applications of the electronics technology to the modern needs of medicine?
Will the physician without a working knowledge of the employment of electronics as an administrative and clinical tool be obsolete in five years? Will the high efficiency, high reliability procedures predicted for the seventies increase or decrease the role of the individual physician? What will be its impact on the medical team and the medical center? Can electronics through automation improve the nation's overall health levels?
These are some of the questions now being answered by eminent physicians and technologists in many of our nation's most respected institutions where electronics is being actively applied to benefit hospital, doctor, and patient.
How well these programs are working, what's right and what's wrong with electronics will be explored in depth in the 2nd National Conference & Exposition on Electronics in Medicine.
The format of the three day program is based on the enthusiastic response to the First National Conference on Electronics in Medicine and the request by its attendees to provide for a broad interchange of ideas.
In morning sessions, authorities in both medical and electronic disciplines will present their knowledge and experience on subjects of major interest; instrumentation, computers, information systems, monitoring, diagnosis, therapy, and administration. These meetings will provide the backdrop for afternoon work-sessions in which each attendee will become an active participant in the discussion of problems and solutions. All work sessions will be conducted to bring the maximum knowledge and experience of the group as a whole to each of the participants. Attendees will have the opportunity to join at least two of the six sessions being offered.
While meetings and work sessions will explore the most recent ideas with attendees, exhibits will present physicians and hospital administrators with the latest hardware available, providing an important opportunity for demonstration and a "hands-on" familiarization of the newest features and capabilities of electronics products designed specifically for medical application.
Meetings:
Keynote address
George Burch, M.D., Ph.D., Tulane University Medical School,
New Orleans, La.
"Instrumentation and Common Sense"
Robert D. Allison, Ph.D., Director,
Vascular Laboratories, Scott & White Clinic, Temple, Texas.
"Computers: A New Order for Medical Data"
Arnold Pratt, M.D., Director, Division of Computer Research & Technology,
National Institutes of Health.
Address:
Hon. Roger O. Egeberg, M.D.,
Assistant Secretary for Health and Scientific Affairs, Dept. of Health, Education and Welfare.
"Medical Engineering: Problems and Opportunities"
George N. Webb, Asst. Professor,
Biomedical Engineering, The Johns Hopkins University School of Medicine.
"The Medical/Engineering Interface"
Donald Lindberg, M.D., Chairman,
Dept. of Information Science,
University of Missouri.
"What's New in Medical Information Systems"
William Chapman, M.D., Palo Alto Medical Clinic (Selected films will be shown as part of Dr. Chapman's presentation.)
"Getting Medical Electronics from Research into the Real World"
Irving Selikoff, M.D., Director,
Environmental Sciences Laboratory,
Mt. Sinai School of Medicine.
Address:
"Is Science for Real? Or will the American public ever demand the medical care it deserves and find true happiness?"
Richard Bellman, Ph.D., Professor of Mathematics, Electrical Engineering and Medicine, University of Southern California.
How Hospitals Evaluate and Purchase Medical Electronic Equipment:
"Selection of cardiac care unit monitoring equipment"
James A. Stark, M.D.
H. Aileen Atwood, R.N.
"Data Processing Comes to Merritt Hospital"
Howard Scott, Hurdman & Cranstoun Penney and Co.
"Selecting Equipment for the Clinical Pathological Laboratory"
R. Thomas Hunt, M.D.
Floyd Oatman, A.T. Kearney & Co. Inc.
"Boosting Hospital Efficiency through Electronic Aids"
Oscar M. Powell, M.D.
S.R. Wickel
Work Sessions:
On-line Computer Applications.
The role of the computer in medical record-keeping, data analysis, and history-taking in the office and the hospital.
Automating the Clinical Laboratory.
This session will attempt to pinpoint the major test requirements of the clinical laboratory, evaluate the available equipment for automatic testing and determine future requirements.
Problems in Intensive Care Monitoring.
A discussion of problems in intensive care, available instrumentation, and what's needed for improved patient monitoring.
Multiphasic Screening: Pros and Cons.
How effective are automated screening techniques in preventive medicine for large groups? How much data is needed, and what associated hardware and software are required?
Problem Clinic
A forum at which doctors and engineers will have the opportunity to discuss specific medical/engineering problems and point the way to feasible solutions.
Buying, Selling and Maintaining Medical Electronic Equipment.
Marketing and maintenance are key problems in developing the role of medical electronics. On this panel, experts will discuss current practices and develop ways to improve them.
Exhibits:
This year, there is a new emphasis on exposition. One which reflects the increasing number of electronics products being accepted as practical, progressive, working tools by more and more hospitals and physicians.
Exhibits will include many products related to the program of discussions and work sessions. Demonstrations of product features will help attendees explore new applications for the latest electronics equipment.
Here is a partial list of the companies which will be presenting their most recent achievements.
Avtel Corporation • Bio-logics, Incorporated • Birtcher Corporation • The DeVilbiss Company • Federal Pacific Electric Company • General Electric Company • Graphic Controls Corporation • Honeywell, Incorporated • Mead-Johnson Laboratories • Laser Systems & Electronics, Incorporated • Medidata Sciences, Incorporated • Ohio Medical Products • Parke-Davis • Remler Company • Richard Manufacturing Company • Spacelabs Incorporated • Statham Instruments Incorporated • Technicon Corporation • Wang Laboratories, Incorporated • Registrants of the 2nd Annual Conference & Exposition on Electronics in Medicine will be encouraged to invite their professional associates to regular exhibit sessions. Other members of the medical profession in the western region will also receive special invitations to visit the exhibits.
Registration Fee: $150
(Includes all sessions, exhibits, luncheons, reception, and copy of the proceedings when published.)
Note: Only those fully paid in advance will be admitted to meetings and work sessions.
Mail registration and make checks payable to:
2nd National Conference and Exposition on Electronics in Medicine.
330 West 42nd Street, New York,
New York 10036
A number of rooms is being held at the Fairmont Hotel for registrants. Make reservations directly with the hotel, identifying yourself as a Conference attendee.
Advance Registration
2nd National Conference & Exposition on Electronics in Medicine
February 12-13-14, 1970
Fairmont Hotel, San Francisco, California
Name __________________________ Title __________________________
Address _______________________________________________________
City __________________________ State ______ Zip ______
Hospital or Company affiliation ____________________________________
Check enclosed ______ Send invoice _______________________________
Printers—low cost, limited flexibility.
CRT Terminals—high-cost, high flexibility.
Print out In/out
Announcing the MRD-100—a new, low-cost way to display sequential numeric data on TV monitors.
Now it's practical to use TV monitors to read out data from keyboards, magnetic tape or any other sequential source.
The MRD-100 accepts character serial and bit parallel data, stores it in its own refresh memory, converts it to a composite video signal and displays it on a TV monitor. In 2, 4 or 8 lines with 32 characters per line; 4 or 8 lines with 16 characters per line.
Data may be displayed on any standard 525-line TV monitor at any number of remote locations—with just a single coaxial cable. Interfacing is simpler than that for full-scale terminals.
Prices for the MRD-100, not including monitors, start at $1295.
Control features let you advance to any line or character position, blink on and off any character or combination of characters, use a cursor symbol for tracking the location of the next character and erase all or part of the screen.
So if you have a design problem in sequential numeric readout, you no longer have to worry about the reliability of printers, the cost of a full-scale terminal or the trouble of building your own memory for indicator tubes.
Now you have a tailor-made solution.
From the company that specializes in innovative data communications systems.
Mr. Richard Kaufman, Dept. 16
Applied Digital Data Systems, Inc.
89 Marcus Boulevard
Hauppauge, New York 11787
Please send more information about the MRD-100.
Name______________________________________
Title_______________________________________
Company____________________________________
Address_____________________________________
City________________________________________
State_________________ Zip__________________
Ten good reasons why Raytheon can help you simplify any problem involving electrical output storage tubes.
The concept of the electrical output storage tube was first applied in 1948, by Raytheon's development of the *Recording Storage Tube. Since then, Raytheon has continually pioneered in the improvement of these devices—developing new and more sophisticated types to meet a growing diversity of applications.
Today, the men shown here—and their fellow Raytheon engineers and technicians—make up the most experienced team in the industry.
You can count on their full cooperation if your project involves electrical output storage tubes. To put them to work on your program, call or write: Raytheon Company, Industrial Components Operation, 465 Centre Street, Quincy, Massachusetts 02169. Telephone: 617-479-5300.
PROJECT MANAGER CARL FREDA utilizes total Raytheon Recording Storage Tube capability in service to customer requirements—including field and applications engineering assistance, complete documentation, and configuration control.
AMOS PICKER, SENIOR DEVELOPMENT ENGINEER, holds CK1549 miniature, meshless storage tube to illustrate a Raytheon feature: fast development of new types for specific system requirements with fast turn-around capability to full production.
AL LUFTMAN, OPERATION ENGINEERING MANAGER and a prime mover in making Raytheon the world's largest manufacturer of electrical output storage tubes, inspects the CK1540—an advanced single-gun design featuring high resolution, output signal, and dynamic range.
DR. R. C. HERGENROOTHER, RAYTHEON SENIOR SCIENTIST and pioneer in storage tube inventions, is a consultant on advanced research and development programs. He holds the CK1545—a product of such programs slated for wide use in advanced multi-sensor scan conversion systems.
*Trademark of Raytheon Company
MEL LEVINE, DISPLAY DEVICES ENGINEERING MANAGER, explains storage tube quality assurance. Raytheon's attention to burn-in and stabilization cycles and to life test programs are major reasons for high MBTF experience in scan conversion systems such as Radar Bright Display for FAA and Canadian DOT, and U.S. Navy ASW systems SQS26 and ANEW.
JOE MAIENZA, DISPLAY DEVICES MANUFACTURING MANAGER, maintains Raytheon capability to deliver to your tightest schedule requirements. Delivery of 600 tubes per month has been achieved.
WARREN FROHOCK, SENIOR PROCESS AND DESIGN ENGINEER, ensures that storage tube designs provide optimum performance in your equipment—through use of advanced manufacturing techniques.
JOHN BUCKBEE, SENIOR EQUIPMENT DESIGNER, designed semi-automatic test set to provide comprehensive measurements of storage tube performance. Raytheon's advanced test equipment is used to test for compliance to specification and to supply special application data to customers.
GORDON SPENCER, R&D ENGINEERING MANAGER, holds numerous display device patents—contributes many concepts leading to Raytheon state-of-the-art storage tube advancements.
AL CLOUTIER, SENIOR APPLICATION AND TEST ENGINEER, holds CK1558 incorporating tube, focus and deflection coils, magnetic shield and associated circuitry. Modular assembly answers needs for plug-in unit, simple interface, easy field replacement.
Lots of people have told us they could use an active filter with low power requirements and a low enough price.
How does 0.3 mW at $10* sound?
Ask for carload prices or send $12 for an evaluation sample.
You'll find there's a lot to evaluate. Like that power spec—ideal for all kinds of battery-powered gear. Plus a price/performance combination that we think will eliminate a lot of in-house filter making, even for commercial applications. Mail the coupon and a check or P.O. for $12.00 today (please attach your company letterhead). We'll respond by air with a sample FS-60 and our brand new Filter Design Handbook. Till then, here are the basic specifications:
- Delivers band-pass, high-pass and low-pass outputs simultaneously
- Any desired form of the second order transfer function
- Complex zeros anywhere in the S-plane
- Multi-loop negative feedback for added stability
- F, and Q of basic unit can be tuned by adding external resistors
- Frequency range from DC to 10 kHz
- Q range from 0.1 to 500
- Voltage gain is adjustable to 40dB
- Supply voltages from ±2V to ±15V with 0.3 mW power consumption
- Dimensions: (14-pin DIP) 0.804" x 0.366" x 0.474"
- IC hybrid construction
Gentlemen at KTI:
Please send me an FS-60 evaluation sample. Our □ check □ P.O. is attached, in the amount $12.00. Send me more information on:
□ FS-60 □ All active filters □ Hybrid subsystems
□ Please add my name to your permanent mailing list
Name______________________________________________________
Company___________________________________________________
Address_____________________________________________________
City________________________________________________________
State_________________ ZIP_______________________________
My applications are: ______________________________________________________________________________________
_____________________________________________________________________________________________________
PRICES: 1 - 49 $28 5,000 - 9,999 $14
50 - 199 $23 10,000 - 19,999 $12
200 - 999 $19 *20,000 - 49,999 $10
1,000 - 4,999 $16
KINETIC TECHNOLOGY, INCORPORATED
3393 De La Cruz Boulevard
Santa Clara, California 95051
(408) 246-8100 TWX: 910-338-0279
The name to remember for Hybrid Integrated Systems and Active Filters.
By designing and arranging a shift register's basic bit, clock, and buffer circuits for maximum yield, and using the highly computerized discretionary-wiring technique, bipolar circuits of 1,000-bit capacity can be put on one chip. Bipolar shift registers are much faster than the static MOS versions, have no complicated multiplexing, and unlike dynamic MOS units, can store data without refreshing.
With two emitters on its transistors an integrated circuit can provide highly stable voltage for variable capacitance tuner diodes in TV sets. One emitter, operated as a zener diode, provides the required output voltage; the other is operated in the forward direction and automatically compensates for changes in the zener voltage with temperature.
As copper wire gets scarcer and more expensive, bulk users are turning to aluminum wire which, though it has only 80% of copper's current-carrying capacity, is much cheaper, lighter, and more abundant. However, working with aluminum wire presents some termination problems which must be worked out carefully.
Surface acoustic waves hold the key to future signal processing. Traveling on miniature substrates, these high-frequency acoustic waves can be launched efficiently, amplified easily, and guided conveniently. This second article in the series explores techniques and results of surface wave acousto-electric amplification and discusses transmission line material and the methods for guiding signals.
Matched pairs of field effect transistors have been costly because of the expensive testing required to find two identical devices. But now cost is dropping because FET's can be made identical on the same wafer. The secret: laying out the transistors so that the center of their gates is at the same spot. Then the effects of surface flaws and epitaxial thickness variations tend to average out. FET's produced this way can be used economically in both traditional and new applications.
The Western European market for electronic goods and gear continues to grow. *Electronics'* annual survey gives detailed forecasts of the size and shape of the market in reports from 11 nations and in charts estimating sales in 82 product categories, from components to assembled equipment.
At last, a bipolar shift register with the same bit capacity as MOS
At 1,000 bits per wafer, discretionary-wired bipolar IC's not only match MOS circuits in complexity but also surpass them in shift rate with no need for data refreshing; speeds of 40 Mhz are possible.
By Roger Dunn and Glenn Hartsell
Texas Instruments, Dallas
Why would anyone want a bipolar shift register integrated circuit with 1,000-bit capacity when excellent MOS IC's are already available at a lower price? There are compelling reasons: only bipolar circuitry combines the virtues of speed with the capacity for long periods of storage.
It's true that metal oxide semiconductor shift registers are attractive when dynamic storage can be used, but in many systems this isn't possible; data must wait for long periods between shifting. And if the system operates at high speed, static MOS is no alternative, since it has only a fraction of the speed of a dynamic MOS shift register unless the complicated technique of multiplexing is used. Furthermore, static MOS occupies more chip area per function, and consumes more power than dynamic MOS. The design of the clock distribution line also becomes critical. In short, MOS of this type offers few of the advantages usually attributed to MOS technology as a whole. Then there's the added complication of extra power supplies and buffer circuitry to interface MOS with transistor-transistor logic.
Bipolar circuitry, then, is the answer in high-speed, high capacity, static shift registers. And this is the approach that Texas Instruments selected for an airborne digital-signal-processing application, in which shift registers are needed for video integration to replace analog delay lines, for digital filtering in moving-target indication to eliminate range-gate analog filters, and for correlation.
A thousand bits on a bipolar chip is certainly large-scale integration, and is probably the most ambitious of current advanced integration projects. A typical 1,000-bit shift register contains 9,000 components, 1,800 feedthroughs, 20,000 crossovers, and 70 inches of metal just in one of the two interconnection layers. This complexity is only possible at this stage of bipolar technology through the use of discretionary wiring, a highly automated technique in which only good cells are interconnected on the chip. [Electronics, Feb. 20, 1967, page 143].
Discretionary wiring increases the component density of bipolar circuits by two orders of magnitude and also greatly reduces the power consumption per bit because internal circuitry can be operated at lower voltage levels. At 16 megahertz, the new shift register operates at 3 milliwatts per bit, or one-eighth the power level of the SN5491 eight-bit TTL shift register.
The speed of the LSI 1,000-bit register is much greater than that of a register of the same capacity made from several conventional integrated circuits. This is because the propagation delay caused by connections between IC's is eliminated. Thus, the LSI register can operate at the 16 Mhz shift rates. Moreover, multiplexing with TTL circuits can be done very simply because of the similar input and output levels, and with this technique, shift rates in excess of 40 Mhz can be attained.
Predictably, the extremely large number of components on the chip—and their density—created some critical questions that had to be resolved by the design engineers:
- What circuit should be selected for the basic shift register cell that would be tolerant of wide variations in device parameters and thus give a high yield of good cells?
- Could a power supply distribution network be designed that could handle the 2 amperes that flow into the circuit without excess voltage drop?
- What would be the optimum number of cells
per stage that will neither waste chip real estate nor adversely affect yield?
The circuit selected for the basic bit is composed of simple master and slave flip-flops with four resistors and four multiple-emitter transistors per bit, shown on page 87. This cell operates from a two-phase clock and the voltage difference between the two input signals. The clock signals are timed so that they're never high simultaneously. When clock 1 is high, the low side of the input from previous bits (or from the input to the chain) sets the master flip-flop. When the clocks are reversed, clock 1 is low and the master data is stored, producing a differential output signal $V_{BE} - V_{CE(sat)}$—the difference between the base-emitter voltage and the collector-emitter saturation voltage. Now, with clock 2 high, this differential signal sets the slave, and current from both master and slave flows into the clock 1 line.
To make sure that the differential signal from each flip-flop is enough to trigger the following one, the transistor's base resistance is made rather high so that $V_{BE} - V_{CE(sat)}$ equals $V_{BE}$, the local forward-biased base-collector voltage. This high base resistance has the added advantage of limiting the saturation current and the leakage of the reverse-biased emitters.
One of the transistors in a bistable will be in saturation, and hence produce an output difference, as long as
$$h_{FE} > \frac{2V_{BB} - 2V_{CL} - 2V_{CE(sat)}}{2V_{BB} - 2V_{CL} - 2V_{BE} - 2V_{CE(sat)}}$$
This equation pertains to bistables with matched resistors, as is the case in IC's. $V_{BB}$ is the power supply voltage, and $V_{CL}$ is the clock voltage.
This equation explains why the cell has such a high immunity to parameter variation. It can still operate without loss of information with, for example, current gain, $h_{FE}$, less than 10 and $V_{BB}$ as low as 1.7 volts.
The relationship between speed and power is always a vital concern in digital circuits, and the basic cell selected for the shift register offers excellent performance in this respect. At a shift rate of 16 Mhz, the array dissipates only 3 mw per bit.
**Slowest sets the pace**
Actually, in a large-capacity shift register, the maximum shift rate is determined by the slowest bit in the chain, not by the typical bit. The parameter-variation tolerance of the basic bit, shown on page 87, stands it in good stead here too; it will operate at high speed (10 Mhz or more) over a $V_{BB}$ power supply range of 2.0 to 2.8 volts.
The discretionary wiring technique helps maintain a high shift speed, since it detects slow bits during probe testing and prevents them from being connected in the chain.
Power supply distribution was an extremely important issue as the large number of bits requires the distribution of a large total current—large for an IC. Use of differential signals at the input and outputs of the bistables helps somewhat. Nevertheless, the circuit must handle 1 ampere total current for each of the two clock drivers. The solution was to scatter 20 clock drivers with 60 milliamperes ratings across the wafer, paralleling the inputs and outputs. This number of clocks in parallel would be impossible with discrete IC's, because the parameter variations from circuit to circuit would introduce
skew problems in which the time separation between clock edges at two adjacent flip-flops is excessive. But in an LSI circuit, with clock cells on the same slice, the variations are small.
To further aid in distribution, the wafer is laid out with the clocks in the center, dividing the wafer in two equal halves. Locating the clocks in the center minimizes the voltage drop along the clock lines and reduces lead congestion at the periphery of the wafer.
An output buffer is required to translate the low-level output from the shift register to TTL levels. Again, to minimize voltage drop and also to conserve wafer area, these output buffers are located at the edge of the wafer. Unfortunately, this is where wafer defects are most numerous, and yields are therefore lower than on the rest of the wafer. To compensate, extra output circuits are put on the wafer.
The distribution bus leads for ground, power supplies, and clock are contained in the first of the two metalization layers (the first metal layer also contains the intra-cell connections). For any functional combination of cells, the maximum voltage drop is 125 mv on ground lines, 100 mv on power lines, and 50 mv on clock lines.
The basic bit occupies an area 0.014 by 0.014 inch. It would be inefficient to probe-test each bit individually, since test pads would have to be provided for each and would take up too much area (test pads are 0.003 inch square, and seven would be needed for each bit). Instead, groups of bits should be connected in stages, with one set of input and output pads for each stage.
**Setting the stage**
The question is how many bits should be connected in a stage. On the basis of the data plotted on facing page, Texas Instruments selected a stage length of four bits. A shorter stage—two bits, for example—would occupy too much area per bit, as indicated by the number of good circuits per square inch on the vertical axis of the diagram. This effect becomes more pronounced at higher yields.
On the other hand, longer stages such as eight bits provide efficient utilization of surface area as long as the yield is very high, but this utilization efficiency drops off drastically if the yield is lower. The four-bit stage is the best compromise. With test-pads, it requires only 9% more area per bit than an eight-bit stage, and the number of good stages per square inch varies much less with yield than for the eight-bit stage.
The output buffers and the clocks function individually, not in stages. There are 48 clock drivers for each half of the wafer. This is enough to drive 1,200 bits in each half, or 2,400 bits for the entire wafer. Even if the yield of clock cells were as low as 70%, there would still be enough to drive 850 bits in each half.
The situation isn’t really this simple, however, because an uneven distribution of good circuits has to be taken into account. For example, if two clock frequencies are used for all bits in a quad 253 array, as in the TI 1,000-bit register, each quadrant must have 12 good clock drivers. So it’s not enough for the wafer to have at least 48 good clock drivers; they must have to be distributed appropriately, too. In general, clock-cell yield and the geometrical
distribution of the yield are no problem, largely because the center of the wafer, with its relatively low defect density, is a favorable location.
**Extra buffers provide margin**
There are 48 output buffers. Each quadrant has two segments as shown on page 85, one with eight buffers and the other with four. To keep yield from becoming a problem in the unfavorable portions of the wafer in which the buffers are located, many extra buffer cells are provided. Only one good buffer is needed in each segment, corresponding to a 25% yield in the four-buffer segments and 12.5% in the longer ones.
Closely related to the question of optimum bit length for the shift register stages was the problem of making connections between the metalization layers. Selection of a four-bit stage length for the shift register means that eight inter-layer connections are needed per 0.0023 square inch, or 2,975 feedthroughs per square inch. This density is well within the capability of the cathode-ray tube technique for generating metalization masks and of the metal deposition process. Metalization line width is 0.002 inch, and the minimum separation between lines is 0.002 inch.
A two-bit stage length, however, would place excessive demands on the multilayer-metalization process, requiring a feedthrough density of 5,230 per square inch.
The lower metalization level is an aluminum-molybdenum-gold-molybdenum composite, selected to give both adhesion and high conductivity. The upper metalization layer is similar but lacks the top skin of molybdenum, since it's not needed for adhesion. Separating the two metalization layers is a 15,000-angstrom-thick layer of silicon dioxide with 0.0006-inch diameter feedthrough holes.
Multivibrators separate pulses according to their widths
By Steven Pataki
Israel Aircraft Industries, Yahud
Combining NAND gates with monostable multivibrators is an easy way to separate and channel pulses of varying widths.
The pulse train, containing both narrow and wide pulses, is delivered to both NAND circuits simultaneously. Positive pulses routed to the top half of the logic circuit are first inverted, triggering monostable 1, with their leading edge. At the same time, they are fed to monostable 2, but triggered with their trailing edge. The outputs of both monostables are connected to the NAND gate which performs a logic AND function and inverts the pulses generated by the two multivibrators.
If each monostable's pulse width is adjusted to a size between the wide and narrow pulses, the NAND gate in the top circuit will pass only pulses with a width equivalent to the smallest pulses. All wide pulses are rejected.
In the bottom half of the circuit, the reverse takes place—narrow pulses are rejected and the wide pulses are passed.
The monostables are connected in series but all have the same pulse width. The input pulse is inverted, its trailing edge triggering monostable 3. The output pulse's trailing edge triggers multivibrator 4. Its output is gated directly with the input pulse.
The waveforms indicate that only wide pulses are passed by the NAND gate while the narrow pulses are blocked.
Decision. Narrow and wide pulses are fed to the two NAND circuits. The monostables trigger on a negative transition and each multivibrator's pulse width is adjusted to a size between the two incoming pulses. Narrow pulses are channeled through output 1; wide pulses through output 2.
D-a converter switches digital inputs with TTL gates
By Colin S. L. Keay and John A. Kennewell, University of Newcastle, Australia
Transistor-transistor logic gates, applied as bit-controlled switches, serve as an inexpensive digital-to-analog converter whose performance compares favorably to many commercial units priced over $300. Such a d-a converter makes a reasonably priced, and efficient driver for cathode-ray tube display terminals.
To achieve this type of d-a converter, the engineer must be able to connect his own collector resistor and power supply. Some TTL's available lack this flexibility. The SN7401 quad NAND gate and the SN7401 hex inverter are two logic circuits that have open collectors for external connections.
Up to 12 logic gates—are connected to a resistive ladder network. Depending on which gates are turned on, a current proportional to the value of the digital input is summed into one input of an operational amplifier. The linear integrated circuit produces an analog output up to 10 volts with a settling time of less than 10 microseconds. Inversion by the gates is corrected by driving the negative input of the op amp if a positive output is required.
When any input bit is 0, the output transistor in the corresponding gate is cut off and its collector floats to the 5-volt IC supply voltage. The small collector leakage current accounts for only a 0.005-volt drop below the supply voltage.
When the input is a logic 1, the output of the gate is pulled down to 0.15 volt which can be adjusted by the 1-kilohm potentiometers. With this arrangement of pots, differences in saturation currents through the gates' output transistors are minimized.
The potential at each ladder resistor terminal, where the gate's output is connected, is switched between 0.15 volt or 5 volts depending on the corresponding gates' input. The weighting is determined by the closeness of the ladder branch to the op-amp input terminal—the most significant bit being closest and providing the largest current input.
When all inputs to the gates are 0 volts, all gate outputs rise to 5 volts and with the inversion through the op amp, the analog output should be 0 volt. Any offset can be adjusted by the offset control to the op-amp circuit. With all inputs at the logic 1 level, the output should be 10 volts. The potentiometer in the gain-control circuit of the op amp adjusts the output for precisely 10 volts. Several readjustments may be needed between the offset and gain controls to get the right output levels.
The value of the resistor, R, in the ladder network should be chosen between the 10 kilohms and 50 kilohms for the best possible accuracy and settling times.
Weighted. A resistive ladder network weights the currents switched by the logic gates according to the significance of their input bits on the binary scale. The ladder network supplies the operational amplifier with a current proportional to the value of the digital input.
Capacitor discharge sets shape of ramp function
By James Downey
Fairchild Semiconductor, Mountain View, Calif.
Delaying the discharge rate on a capacitor enables an engineer to create several complex ramp functions. Such ramps are necessary in multiple-axis scanning applications involving cathode-ray tubes.
The duration of the ramps can be varied from hundreds of nanoseconds to hundred of microseconds depending upon the length of the input pulse. Since the input pulse controls the state of the integrator and does not provide the charging current, the slope of the ramp segments can be adjusted over a 50-to-1 range without affecting their linearity.
Transistors $Q_1$ and $Q_2$ form a constant-current generator that discharges integrating capacitor $C_1$ after it has been initially charged to the 12-volt supply voltage. Potentiometer $R_1$ can be adjusted to provide a wide variation of discharge current, which controls the slope of the ramps. The comparator that drives $Q_2$ has regenerative feedback to provide a quick response to input pulses. Thus $Q_2$ switches rapidly as the input changes state and enhances the definition of the ramp segments.
Varying the delay controlled by the transistor circuit preceding $Q_7$ contributes to the variety of waveforms that can be derived at the output. The positive transition of the input pulse triggers monostable multivibrator $Q_3-Q_4$. At the end of the delay pulse from the multivibrator, $Q_5$ turns on for a brief period of 200 nanoseconds. The time is set by the $R_3-C_3$ time constant. Transistors, $Q_6$ and $Q_7$, now turn on enabling the capacitor to charge to 12 volts through $Q_7$.
With no delay, retrace occurs immediately at the end of each sweep period. For small delays, the output voltage remains at the final ramp value for the duration determined by the delay before the capacitor returns to the reset conditions. If the delay spans several sweep periods, a succession of ramps separated by constant-amplitude interruptions is generated without resetting the capacitor to its initially charged condition.
Slope control. Integrating capacitor, $C_1$, initially charges to 12 volts. At the arrival of an input pulse, constant-current generator—$Q_1$ and $Q_2$—is triggered, and $C_1$ discharges at a rate set by the potentiometer, $R_1$. Capacitor resets to its initial condition at the end of the delay generated by the circuit preceding $Q_7$.
Multi-emitter IC's stabilize voltages in solid state tuners
With inherent temperature compensation, monolithic devices eliminate expensive zener diode matching in discrete units and offer better performance characteristics as well.
By Dieter Eckstein and Heiner Schmidt
Valvo GmbH, Hamburg
Stabilizing power supply voltages can be a ticklish problem, particularly in solid state television tuners. A simple, inexpensive, and high-performance solution to the problem is multi-emitter transistors in an integrated circuit. These devices provide automatic compensation for temperature-caused changes in the stabilized voltage.
Where voltage-variable-capacitance diodes are used in tv tuners power-line voltage must be reduced to about 33 volts and held there to within a few millivolts. Discrete-component stabilizers, which are made of resistors and zener diodes, have comparatively high internal resistance and are slow to reach thermal equilibrium. Most seriously, they require expensive matching of zener diodes for temperature compensation.
Engineers at Valvo GmbH found that because the multi-emitter IC uses active elements to achieve stabilization, it provides low internal resistance—typically 10 ohms. And because of the compensating effect of the multi-emitters, temperature stability is high: the variation of output voltage with temperature is about 40 parts per million per °C. The IC operates at a current of 5 milliamperes, and the only component that’s needed is an external resistor to reduce the supply voltage to 33 volts.
The major technological problems Valvo had to solve in realizing its TAA 440 were keeping the stabilized voltage and the temperature coefficient (the rate of change of $V_{PN}$ with temperature) within narrow tolerance ranges. To do this, it was necessary to maintain, from circuit to circuit, extremely uniform concentration of dopant at the surface of the base of the transistors, and inside the base directly under the emitter.
The surface concentration of the base influences the emitter-base breakdown voltage $V_{EB}$ while the concentration under the emitter influences the base-emitter forward voltage, $V_{BE}$. These voltages affect the stabilized voltage $V_{PN}$ and the temperature coefficient $T_k$ according to these relationships:
$$V_{PN} = zV_{EB} + nV_{BE}$$
$$T_k = \frac{1}{V_{PN}}(zk_1 V_{EB} + zk_2 + nc_E)$$
where $z$ is the number of reverse-biased (zener) diodes, $n$ is the effective number of forward-biased diodes, and $c_E$ is the temperature coefficient of a forward-biased diode, equal to $-2$ millivolts/°C.
$V_{PN}$ and $T_k$ could be adjusted to make them within tolerance through an integrated adjustment resistor—one whose value could be altered by tapping it at various points along its length. From a production viewpoint, this is a clumsy alternative because it means that different interconnection patterns have to be used, depending on the amount of adjustment of resistor length required.
Assuring the parameters’ tolerance in the first place is far preferable. Valvo did it with standard tube diffusion techniques for the boron diffusion (which forms the bases and the resistors). With these techniques, the sheet resistivity after the base diffusion (an indication of the base-dopant surface concentration) can be held within ±6%, resulting in a variation of $V_{BE}$ of only 2.6%.
For processing economy, an isolation diffusion step is avoided. This means that transistor structures instead of diodes have to be used, and that the collector current must be kept small. All the resistors form p-n junctions with the substrate.
Principle and practice. Top diagram illustrates basic operation of Valvo voltage stabilizer. Zener diode provides essentially constant voltage $V_{PN}$; forward-biased emitter of transistor provides temperature compensation, and resistor determines the current through the zener diodes. In the diagram of the actual circuit (bottom), zeners and temperature-compensating diodes are incorporated in multi-emitter transistors. Other transistors help minimize the effect of parameter variations from chip-to-chip, and reduce internal resistance. The dashed lines indicate parasitic circuit elements.
Since the substrate has a positive potential, these parasitic diodes are reverse-biased.
The TAA 550, shown in diagram above, uses three reversed-biased diodes as the zener stabilizing elements, represented by the double-emitter structures of $Q_2$, $Q_3$, and $Q_4$. In each transistor one of the emitter-base junctions is operated in breakdown; the other operates in the forward direction. Electrically, these double emitters behave like reverse-biased diodes in series with forward-biased diodes.
$R_1$, $R_2$, and $Q_1$ form a voltage multiplier, increasing $V_{BE}$ of $Q_3$ by a factor of $(1 + R_1/R_2)$. This multiplied voltage partly compensates for the temperature dependence of the breakdown voltage $V_{EB}$ to yield the required thermal coefficient of 40 ppm/°C.
The collector-current-limiting resistors necessitated by the absence of an isolation diffusion are $R_3$, $R_4$, and $R_5$. The parasitic diodes associated with these are indicated by the dashed lines in the diagram.
The darlington amplifier at the output of the circuit—$T_5$ and $T_6$—minimizes with its very large current gain the effect of $h_{FE}$ variations in the individual transistors from chip to chip. The circuit has only two leads and is enclosed in a TO-18 standard metal package.
The choice of the number of reverse-biased diodes in the circuit ($z$ in the equation for $V_{PN}$) is not arbitrary. Rather, $z$ was set at three to keep the $V_{EB}$ within the range of 8 to 10 volts. Below 8 volts, the diodes would not be operating in a predominately avalanche-breakdown mode, and therefore there would not be the precise relation between temperature and breakdown voltage that's needed for proper compensation. Above 10 volts, the diodes would be creating too much internal resistance.
Like and unlike
The output characteristic and the temperature behavior of the TAA 550 are shown on the following page. The output characteristic has the abrupt vertical current rise typical of zener diodes. Unlike discrete zeners, however, the voltage is much less affected by temperature; typically, $V_{PN}$ changes by only 55 millivolts as the case temperature is varied from −40 to +80 °C.
Even on a short time scale, $V_{PN}$ is very stable. This is because a uniform temperature distribution over the chip is attained within milliseconds—the heat spreads out easily across the circuit, resulting in fast temperature compensation.
The internal resistance $r_{PN}$ of the circuit is chiefly a function of the electrical parameters (particularly the total resistance of the diode chain), the emitter junction temperature of transistor $Q_6$ (in which most of the power is dissipated), the temperature coefficient $T_k$, and the thermal time constant of the TO-18 package. Some of these factors are frequency dependent, and $r_{PN}$ is therefore frequency dependent too. It increases from about 8 ohms to 13 ohms as frequency goes from 10 hertz to 1 megahertz.
Although the TAA 550 is easy to use, one detail should be noted: a wide band noise spectrum is superimposed on the stabilized output $V_{PN}$. This noise is generated by the reversed-biased emitters in transistors $Q_2$, $Q_3$, and $Q_4$, and it's the same kind of noise that's found in any zener diode with a zener voltage of more than about 6 volts. Fortunately, it's easy to dampen this noise, particularly the high-frequency components, by shunting the stabilizer with a capacitor. The value should be at least 300 picofarads, but it should be no larger than 4.7 nanofarads.
Above 4.7 nf, the stabilizer is likely to be damaged if it's accidentally short-circuited. The capacitor, in combination with the stray inductance of the short-circuit bypass, could generate oscillations that could drive the stabilizer too far in the reverse direction. If a large capacitor can't be avoided, the load should be connected via a resistor.
Connecting aluminum wire reliably
Some termination problems remain to be solved before aluminum can replace copper as the principal source of wiring material
By Joseph Mittleman
Electronics staff
Scarce, heavy, and expensive, copper wire is being challenged in bulk applications by aluminum wire, which is abundant, lightweight, and relatively inexpensive. And because electrical properties are almost identical to those of copper, aluminum wire has additional appeal to engineers. One of its drawbacks has been termination problems, particularly in copper-to-aluminum junctions where electrolytic action, thermal expansion, and aluminum cold flow properties can be adverse factors. But here, companies such as AMP Inc. and Alco are investigating economical and reliable electrical connections.
The mass conductivity of pure aluminum is more than twice that of copper, while the volume conductivity is approximately two-thirds that of copper. However, aluminum's current-carrying capacity is rated at 80% of copper. Usually, an aluminum wire two sizes larger than a given copper wire is used to carry an equivalent amount of current; a No. 6 aluminum wire is approximately equivalent to a No. 8 copper wire carrying the same amount of current.
The current-carrying capacity of a conductor is based on the amount of heat developed by current flowing through the conductor; and aluminum's high surface-to-mass ratio, its specific heat, and thermal conductivity account for the apparent discrepancy between its conductivity and current-carrying capacity relative to copper. Thus, since wire size is determined by cross-sectional area rather than weight, an aluminum wire of a given current-carrying capacity will be physically larger than its corresponding copper wire, but will weigh only half as much.
Performance at a joint interface is related to conductivity, and an aluminum joint can be more easily overloaded by the relatively higher current densities. A better joint, therefore, is necessary for aluminum than for copper.
The principle problems in terminating aluminum conductors arise primarily from four of the properties of aluminum: oxide formation, cold-flow, coefficient of thermal expansion, and susceptibility to corrosion.
Because of the tenacity, inertness, and dielectric strength of its oxide, aluminum is a relatively poor electrical contact material. Metals with good contact characteristics, such as silver, copper, or tin, have oxide films that form slowly, are removed easily, and may be conductive or semiconductive.
An oxide film forms on the aluminum surface within seconds after bare metal is exposed, attaining a thickness of from 60 to 100 angstroms which may increase to several thousand angstroms under high humidity and temperature conditions. This oxidation is self-limiting since the film's tenacity and amorphous nature, and its low ionic conductance prevent the metal's progressive oxidation. However, due to the chemical inertness of this film, aluminum actually has a greater resistance to chemical attack than indicated by its theoretical chemical activity.
Before a good electrical joint can be made on an aluminum conductor, the oxide films must be removed or penetrated, so that bare metal surfaces, essentially free of films, are in intimate contact with one another. Once the contact is initiated, air must be excluded from the joint to prevent reoxidation.
The physical properties of aluminum have an important effect on the reliability of aluminum, or aluminum-to-copper terminations made by mechanical pressure such as bolting or crimping.
When aluminum is subjected to a constant stress, it tends to cold flow or creep away from the stressed area. This is caused by slow atomic diffusion of the material to accommodate the stress, primarily by movement along slip planes. The rate of creep increases with temperature and is higher with aluminum than with copper.
Another important factor is relaxation of stress—the wire loosens up when wrapped around a terminal. This also is time dependent but is not accompanied by dimensional change, as in creep. RelaxaGalvanic corrosion. When two different metals are coupled together in a solution of ionized salts, corrosion occurs. By tin-plating one of the metals corrosion is reduced because the potential difference is decreased; by sealing both metals together it is eliminated. Numbers in parenthesis indicate voltages.
Corrosion occurs at high stress levels and is shown by a reduced load due to change in metallurgical structure. The change of elastic strain to plastic strain occurring under this condition, or development of creep, would significantly reduce the residual contact pressures in a joint so that it may fail due to increased contact resistance.
Differences in thermal expansion rates of other materials used with aluminum can aggravate the cold-flow problem. For example, when an aluminum-to-copper joint is heated, the aluminum expands at a 40% to 45% greater rate than the copper. If the mechanical stresses increase until the elastic limit of the aluminum is exceeded, plastic deformation occurs. When the joint cools the cross-sectional area of the aluminum, and consequently the contact pressures may be so reduced, as to cause joint failure.
Serious corrosion problems occur when aluminum is used with other metals, such as copper. When two different metals are coupled in the presence of a solution containing ionized salts, galvanic corrosion occurs. An electric current flows from the anodic metal, through the solution, and returns through the metallic circuit. Corrosion is related to this current flow, which, in turn, depends on the type and concentration of the electrolyte in solution, the relative masses of the two metals, and the temperature.
In the aluminum-copper couple, aluminum, the anodic component, goes into solution and is deposited at the copper cathode as complex hydrated aluminum oxides, with the simultaneous evolution of hydrogen at the cathode. The corrosion continues as long as the electrolyte is present or until the aluminum is consumed, even though the buildup of corrosion products may tend to limit the corrosion rate by polarizing the surfaces.
The galvanic corrosion rate can be lowered by plating one of the metals with a metal of intermediate galvanic potential. It is usually desirable to plate the cathodic member, since a fault in the
Terminating. In AMP's Termi-foil technique, sharp lances grip the aluminum strip material and are imbedded deeply into it. The lances pierce the metal, eliminating the need for conductor cleaning, and the oxide that forms on the metal's surface does not affect the operation since the teeth are imbedded.
For wire. Sharp teeth of tin-plated, perforated brass liner bite into a solid copper wire making a good termination. The same technique is applied for stranded wire as in the drawings above. Here, a special crimp produces cold welding between each of the stranded wires. At right a sealer is added to keep moisture out.
The low temperature solders, principally composed of lead and tin, require a 300°F to 500°F melting temperature. These are the easiest to handle, but have the least corrosion resistance. The intermediate temperature solders melt at from 300°F to 700°F; their principle component is tin or cadmium. These types possess good wetting characteristics and form a stronger, more corrosion-resistant joint than the low-temperature types. The zinc-based, high-temperature solders have the highest mechanical strength and corrosion resistance as well as the lowest cost, but they require a melting temperature of from 700°F to 800°F.
One of the common fluxes contains zinc chloride, which when heated, penetrates the aluminum oxide and deposits a thin layer of zinc on the aluminum metal, providing a good base for the solder. The residue remaining from this type of flux should be removed, either by brushing or chemical dipping, since it is conductive and potentially corrosive. Chloride-free fluxes, used with low temperature solders, require no postcleaning.
Copper-to-aluminum joints can be soldered by either plating or cladding the aluminum with solder-adaptable metals. This technique permits soldering in a manner more closely approximating that used for copper connectors.
Ultrasonic soldering involves the use of rapidly vibrating molten solder to break up and carry away oxide films. This method, therefore, requires no flux.
Brazing is used where a higher temperature joint is needed than can be made with solder but
where welding isn't practical. As in most thermal techniques any surface contamination should be removed. The temperature of the process should be carefully controlled since the melting point of the brazing filler materials is close to that of the materials to be joined. Torch brazing is similar to high-temperature soldering and uses flux in the form of various chlorides and fluorides to remove oxides. Aluminum may be brazed to copper since there is no melting of the pieces to be formed.
Welding can produce the best connections, since the two conductors are metallurgically fused together. However, operator skill is important because fusion welding requires that all possible contamination, such as oxide or organic films, be removed. Excessive oxide films can cause poor melt cohesion, and decomposition of organic substances may introduce porosity in the weld. It is difficult to directly join copper to aluminum by these methods, since intermetallic phases may form when aluminum is alloyed with copper.
These intermetallics can seriously impair the electrical and mechanical efficiency of a joint: they are brittle and have low electrical conductivity. When it is necessary to make a copper-to-aluminum joint by this method an intermediate metal, compatible with both copper and aluminum, is used.
Inert shielded-gas electric-arc welding provides one of the most useful methods of welding aluminum conductors. An inert gas, usually argon, helium or a mixture of the two is used as a shield around the electric arc to prevent oxidation of the molten metals, and eliminating the need for a flux. Gas tungsten arc welding uses a nonconsumable tungsten electrode and alternating current. This method is usually used to produce high-quality welds on relatively thin-gauge aluminum conductors. Gas metal arc welding is employed for heavier gauge conductors such as bus bars, and uses a consumable aluminum-alloy electrode with reverse-polarity direct current. The voltage and current, as well as the gas flow can be critical to a good weld in both of these techniques.
Percussion welding, where a heat-producing arc is formed between two precisely spaced workpieces and the molten areas then are percussively joined, required highly sophisticated equipment and is usually feasible only to high-volume production. Aluminum-to-copper connections can be made by this method since the intermetallics are squeezed out of the joint during the upsetting action.
**Mechanical techniques**
Cold welding is accomplished by bringing two metallurgically clean surfaces together under high pressure. Deformations of 60% to 75% and pressures from 50,000 to 200,000 psi normally are used to produce good bonds. The plastic flow caused by the deformation method breaks up oxides and moves them from the interface area, bringing the metal pieces into intimate atomic contact. Heating the work pieces reduces the pressure requirement.
Joints made by this method have good shear and tensile strengths but are liable to break if bent. Since the metals to be joined do not undergo melting, aluminum can be cold-welded.
Ultrasonic bonding has produced good joints in relatively thin pieces. The ultrasonic energy causes localized plastic deformation of the material, which shatters and moves the oxide films from the interface and creates a true metallurgical bond. Little or no surface preparation is needed.
Clamping encompasses a wide variety of connection types. Any connection that bolts in place is, at least partially, a clamped connection.
When a joint is bolted, the pressure exerted by the joint causes plastic deformation of the metal surfaces, particularly at small projections and surface imperfections. The oxide films, being elastic, will not follow the plastic deformation, and fracturing of the film will occur at points of high stress and deformation, allowing bare metal surfaces to contact one another.
Grease has been used to improve contact characteristics since it is squeezed away at the contact points, permitting good conduction at these points. Furthermore, its presence prevents reoxidation of the contact surfaces. This method is most effective on aluminum when the metal is abraded through the grease coating to break up the oxide films.
Another method of utilizing aluminum as a contact material is to plate it with a metal which has good contact characteristics, usually silver, tin, or nickel. Except for nickel, these platings usually require an intermediate plating. In the past, zinc has been used and recently new processes using copper, copper alloys, or nickel have been developed. The use of copper-clad aluminum has been another approach. Any of these materials may present a potential galvanic corrosion problem, since most of them are cathodic to aluminum.
Crimping has also been widely used. The
### How the metals stack up
| | Al | Cu |
|----------------------|------|------|
| Atomic weight | 26.98| 63.54|
| Density (grams/cm³) | 2.70 | 8.89 |
| Melting point °C | 660 | 1083 |
| Specific heat | 0.226| 0.092|
| (Calories per gram) | | |
| Coefficient of linear thermal expansion (microinch/m/°C) | 23.6 | 16.5 |
| Thermal conductivity (20°C cal/cm²/cm/sec/°C) | 0.53 | 0.941|
| Electrical resistivity (20°C micro-ohm/cm) | 2.8 | 1.7 |
| Current-carrying capacity (% of copper) | 80 | 100 |
| Modulus of elasticity (lbs/in² x 10⁶) | 10 | 17 |
| Tensile strength (annealed) (10⁴ psi) | 12 | 38 |
| Yield strength (10⁴ psi) | 4 | 10 |
| Hardness (Brinell) | 50 | 103 |
crimped terminations which have been used extensively are similar to bolted joints and use many of the same principles for making electrical contact. This type of termination uses grease as an oxidation inhibitor. An abrasive material usually is compounded with grease to eliminate wire-brushing.
These abrasive particles cut through the aluminum-oxide film during the crimping process, exposing bare metal surfaces and allowing contact to be made between the conductor and the terminal, and between the strands of a standard conductor. Contact interface corrosion is minimized by the homogeneous nature of the joint and the presence of the grease. A long crimp barrel and lower crimping pressures compensate for the effects of creep. This type of termination has been most successful when aluminum wire barrels are employed.
**What's new**
New techniques have been developed recently that make it possible to join aluminum to copper without inhibitors or special conductor preparation.
These new techniques depend on the fact that the terminal material usually is harder than the aluminum conductor and that the design of the terminal provides for several localized areas of severe deformation. This deformation causes the oxide film to fracture under localized stress, thus establishing electrical contact. The terminal material is embedded in the conductor, yielding an air-and moisture-tight joint. The contact area of the joint also is increased by the complex geometry of the contact interface, the electrical contact is not dependent on the residual stresses in the joint, but on the intimate interlocking of the terminal and conductor materials. This minimizes the effects of creep and terminal expansion differentials.
Several techniques using these principles have been developed to crimp and strip aluminum conductors. One such technique involves terminals and splices, developed by AMP called Termi-foil, which provide a flexible, reliable method of terminating aluminum strip and foil conductors with copper, brass, or aluminum. These terminals and splices contain a multiplicity of sharp lances that penetrate the aluminum strip when it is crimped between two flat dies. The lances shear through the oxide film, eliminating the need for conductor cleaning, and are embedded in the aluminum, making a mechanically secure, air- and moisture-tight joint. Since the electrical contact does not depend on the residual pressures developed in the joint as in conventional crimped or bolted joints, the effects of creep and thermal expansion are minimized.
Another AMP terminal for solid aluminum conductors called Termalum, uses a tin-plated copper wire barrel with a tin-plated perforated brass inner liner. When the terminal is crimped, the relatively soft aluminum material extrudes through the holes in the liner. The brittle oxide film is sheared during extrusion and clean aluminum metal is brought into intimate contact with the inner surfaces of the liner holes. These areas of extruded conductor, or contact modules, are sealed from the environment.
Terminating stranded or multiple conductors by this method introduces a new set of problems. Because each individual strand of the conductor bundle is enveloped by an oxide film, and before an adequate joint can be insured, electrical contact between the individual conductors should be established. This interstrand contact must be maintained during the expansion and contraction of the termination caused by temperature cycling. A special crimp accomplishes this without the use of inhibitors by producing cold welding or solid-phase bonding between the individual strands of the wire bundle. The bond establishes good electrical contact between the strands and prevents relative movement and subsequent reoxidation. This crimp configuration introduces sufficient plastic flow of the conductor material to fracture the oxide film, and applies deformation pressures from several different planes, inducing different conductor extrusion rates. The resultant wiping action under pressure results in interstrand bonding.
**Testing the aluminum terminations**
The effect of temperature cycling on the joint’s electrical stability is most critical—this probably is the most frequent cause of failure in aluminum and copper joints. A good way to evaluate the effects of creep differences in thermal-expansion rates, and oxidation of the contact areas is through thermal-shock testing. This involves subjecting the joint to extremes in temperature, and only a few test cycles are usually necessary to induce significant changes in the electrical stability of a poorly designed joint. The advantage of this test is that the testing time is relatively short, and the equipment and techniques are simple.
The current cycling test can provide a more realistic evaluation of terminal life, since they synthesize more closely the actual use of the terminal. The only problem is the extended time period and the type of equipment which is necessary for evaluation.
Usually two types of current cycling tests are conducted: a control conductor is heated to a given temperature and the temperature of the joint is measured; a given current flows through the conductor, and the temperature of the conductor and joint are measured.
A minimum parameter usually observed in this test is that the terminal temperature should not exceed that of the conductor. If it does, this indicates either a poor terminal design or a joint failure.
Current cycling or current heating may produce effects not readily observed in the life cycling type of test, since the heating effects are concentrated primarily at the point where problems may develop—the contact interface.
**Bibliography**
Lemke, Timothy, "Electrical Connections for Aluminum Conductors," International Electronic Circuit Packaging Symposium, 1968,
American Welding Society, "Welding Aluminum", the aluminum Association, New York 1966.
Cimron leapfrogs the DVM industry—and there’s a reason!
A number of reasons, to be exact! The all-IC Model 6753 is the next generation in digital multimeters—the lowest-priced autoranging instrument that will read DC from 100 nanovolts to 1099.9 volts and DC ratios. A fast-tracker, too—ideal for systems work. The closed loop tracking logic continually samples output at the rate of 14 readings a second, with accuracies of ±0.001% full scale +0.005% of reading. Like to learn about automatic desensitization? repetitive mode? out-of-range indication? Just ask how they can help you. Important to you is the basic design, featuring optional IC plug-ins to extend capability which you can install yourself without technical service! Options include a 4-range AC converter with 10 microvolt sensitivity, a 5-range ohms converter, remote programmability, five print-out options. You can’t beat the base price of $2990! Cimron customer concern continues to provide what you really need at the lowest possible price. Write Cimron, Dept. D-123, 1152 Morena, San Diego, Calif. 92110.
LEAR SIEGLER, INC. / ISI®
CIMRON DIVISION
Electronics December 8, 1969
Our line of P.C. edge connectors takes coax...
in one crimp.
Here it is. A Shielded Wire Printed Circuit Contact designed to be used in our AMP-TAB* Dual Housing.
It's a shielded contact that provides coax characteristics. And can be terminated to the wire in one simple operation. One cycle of our hand application tool makes all three necessary crimps—signal, ground and insulation.
You can intermix the coax contacts in the same housing with the standard contacts. In fact, you can even replace individual standard contacts with coax contacts in your present AMP-TAB housings.
This contact concept greatly expands the breadth and flexibility of our complete line of tab-type one-piece edge connectors. These standard connectors are available in either Dual or Quad Housings and 10 to 43 positions with center spacings of .100", .125" or .156".
The standard contacts can be crimped to the wire with AMP's automatic tooling at speeds up to 5,700 finished leads an hour. And the new, one-crimp, coax contact is terminated in simultaneous, multiple crimping operation. You can do both right in your own plant. And both provide you with the lowest total installed cost in the industry. We call it AMP ECONOMATION. For more information about coax, crimps and connectors write to:
Industrial Division, AMP Incorporated, Harrisburg, Pa. 17105.
*Trademark of AMP Incorporated
AMP INCORPORATED
Circle 101 on reader service card
Amplifying acoustic surface waves
Acoustoelectric interactions and acoustic waveguides provide active and passive signal processing devices—all on a single chip.
By J.H. Collins and P.J. Hagon
Autonetics, Anaheim, Calif.
Surface acoustic waves provide the key to miniature signal processing systems. Their ability to be tapped, guided, amplified, or otherwise manipulated on a miniature substrate makes this technology ideally suited to a wide range of passive and active processing components—delay lines, matched terminations, attenuators, phase shifters, filters, amplifiers, oscillators, mixers and limiters.
But the impact of this new technology was felt only after it met certain processing requirements. Perhaps most basic of these, since all radar, communication and navigation systems receive and transmit by electromagnetic radiation, is the conversion between electromagnetic signals and surface acoustic signals. For microwave acoustics, interdigital transducers perform this function with relatively low loss over a wide dynamic range. At 100 MHz, for example, efficient conversion is obtained with signal levels as low as 10 microvolts and as high as 5 volts. Moreover, these transducers can handle both analog and digital inputs, a capability which allows an entire range of processing signals.
Equally important are new materials for delay line substrates and transmission line overlays that increase transduction and minimize acoustic losses. This means materials with high electrostatic coeffiThe first part of this series on a new area of devices for signal processing using high-frequency acoustic surface waves included new delay lines having low insertion loss which were developed in the microwave laboratory at Stanford University [Electronics, November 10 p. 94]. That work, which had the specific aim of arriving at practical prototypes, was carried out partly under the sponsorship of the Air Force Systems Command, Rome Air Development Center, and partly under subcontract to MIT's Lincoln Laboratory, Lexington, Massachusetts (operated with support from the Advanced Research Projects agency).
Two basic building blocks for surface wave signal processing are the delay line and surface wave amplifier. In this issue we describe the surface wave amplifier, which achieves high gain together with broad bandwidth. The development of this device at Stanford University was supported by the Office of Naval Research under the Joint Services Electronics Program, and reached its present status using epitaxial silicon films developed at Autonetics and supplied to Stanford.
Surface waves gain. The two basic items of a surface acoustoelectric amplifier are the piezoelectric substrate and the spatially separated semiconductor medium with a drift field structure. The air gap is important since it allows the piezoelectric crystal to be optimized for acoustic properties while it allows the drift field structure to be optimized for semiconducting properties.
ple and effective interfaces must be affected between surface acoustic waves microelectronic technology, as required for devices such as variable coded electronically-controlled tapped delay lines. And in many cases these interfaces are difficult to achieve. For example, the capacitance of wide band taps on a surface wave delay line are in the range of 0.2-1 picofarads and this requires semiconductor switching devices with ten times lower feedthrough capacitance.
**Significant Gains**
One property that gives microwave acoustics its competitive edge over other technologies is the ease of amplifying surface waves. Until recently, the most promising amplifying technique, developed for bulk acoustic waves, relied on the bulk shear wave properties of certain piezoelectric semiconductors such as cadmium sulfide. In this case, the acoustic energy propagating on a piezoelectric substrate generates an associated electric field. If the piezoelectric substrate is also a semiconductor, and a d-c electric field is applied to that substrate, conduction electrons will drift parallel to the direction of acoustic wave propagation. And in a process similar to that occurring in travelling wave tubes, as this applied field is increased the electron drift velocity is increased, so that when the drift velocity exceeds that of the acoustic wave, causing kinetic energy in the electron stream to be converted to r-f energy, significant gains of 60-80 decibels per centimeter will result.
But bulk amplification has practical limitations. Clearly the acoustic path material must have these three qualities: high piezoelectric coupling, low-loss acoustic propagation, and efficient semiconduction. Moreover, efficient transduction of shear waves can only be accomplished with a piezoelectric plate or film oriented with the z-axis in the plane.
Unfortunately, due to fabrication difficulties such transducers are not readily available at microwave frequencies. Besides, up to now a bulk material with the three essential properties has not been found. For example, a common material for bulk wave amplification is cadmium sulfide (CdS), a particularly good piezoelectric material but a very poor acoustic and semiconducting medium. Besides having acoustic losses greater than 5 db/cm at frequencies above one gigahertz, CdS has relatively low mobilities —300 cm²/volt-second. This requires voltages as high as 5 kilovolts per centimeter, and since a considerable amount of acoustic energy is absorbed, the net gain of the amplifier will be low. Furthermore, large amounts of d-c dissipation occur, and as a result the parameters of d-c operation—terminal gain and stability for both cw and pulsed input signals—have not all been obtained simultaneously. But significant progress has been made at the Microwave Laboratory, Stanford University, using both gallium arsenide and indium antimonide.
What's really needed for useful amplification is a method that separates the desired acoustic properties of the substrate from the necessary semiconduction properties. And surface wave acoustoelectric amplification provides the method. The electric field associated with the propagation of a surface wave on a substrate extends out of the surface for a distance somewhat less than one acoustic wavelength. This allows the field to interact with the conduction electrons of a spatially separated, dc-powered, semiconductor structure placed a small fraction of an acoustic wavelength above the substrate.
What's important here is the physical separation of acoustic substrate and adjacent semiconductor, which makes it possible to select a substrate with the optimum piezoelectric properties of high electromechanical coupling coefficients and low acoustic loss, while at the same time to choose a semiconductor film material with high mobility, optimum resistivity, and low d-c power requirements. Thus the surface acoustoelectric amplification method independently optimizes the piezoelectric and semiconducting components of the amplifier.
Amplifiers of this type have been built and tested both at the Microwave Laboratory, Stanford University and more recently at Autonetics. The two basic items are an optically flat lithium niobate crystal, forming part of a delay line substrate, and a spatially separated n-type semiconductor silicon crystal. The two crystals should be acoustically separated to achieve the non-dispersive properties required to minimize signal distortion. However, to gain the strongest possible interaction between the surface wave's associated electric field and the electrons in the silicon, the air gap separating the crystals must be a small fraction of the acoustic wavelength. Typically, a 500 angstrom air gap is required in a 100 MHz amplifier, which can be achieved by dielectric (silicon oxide) spacing layers that have been vacuum evaporated to the desired thickness on the lithium niobate substrate. But it is important that these spaces be kept outside the acoustic beam.
Since relatively high d-c voltages are required for terminal gains, heating can still be a problem in these amplifiers. At present, 25 db of electronic gain requires drift fields in excess of 2 kv/cm. If bulk semiconductor materials are used to furnish the drift field energy, wafers at least 5 mils thick are required to permit fabrication without breakage. Such a 100 ohm-centimeter wafer, 400 mils long and 50 mils wide, has a resistance in the order of 60,000 ohms, which dissipates approximately 15 watts. Unfortunately this much heat would require unwieldy liquid cooling methods or large convection heat-sinking structures.
To get around the problem of bulk crystal heating, thin-film single-crystal semiconductor-on-insulator structures can be used. The most efficient approach to date is a silicon-on-sapphire (SOS) drift structure. This consists of an approximately 1 micron thick, single-crystal, n-type film of silicon grown epitaxially on sapphire. This 100 ohm-centimeter material, exhibiting a carrier mobility of 550 cm²/volt-second, is convenient for operation at
100 Mhz with a spacing of 500 angstroms, and approximately 200 angstroms for 1-Ghz operation.
Aside from the much lower voltage requirement, this SOS composite amplifier is quite flexible; either surface wave attenuation or gain can result, allowing the output signal to range over 100 db. This output swing results from the gain (db) versus drift field (kv/cm) characteristics. When the applied semiconductor voltage is low, the surface wave is attenuated because the kinetic energy flows from it to the slower moving carriers in the semiconductor material. But as the applied voltage is increased, the carrier velocity is increased until it is equal to the surface wave velocity, at which point the excess
Gold standard. An acoustic beam is significantly narrowed by the addition of gold guiding strips on a free fused quartz surface. The low-level beam results from that part of the energy that does not enter the guide.
Attenuation due to the presence of the semiconductor disappears. Now increased voltages further reduce the overall surface wave attenuation until zero loss is reached, after which increased voltages result in terminal gains.
This gain flexibility means that delay and/or switching devices with gain and high isolation can be built, along with modulators with greater than 90 db dynamic range. Laboratory-built SOS electroacoustic amplifiers, operating at 108 MHz, have yielded terminal, or net, gains of 30 dB for d-c input power of only 0.7 watts. And because the gain characteristics are nonreciprocal with drift field, reflections between output and input transducers are severely suppressed, thus allowing triple transit suppression (TTS) of greater than 60 dB for the linear region of operation.
Unfortunately, high terminal gains require carrier drift velocities in the order of $10^6$ cm/sec. In a medium with an electron mobility of 500 cm$^2$/volt-sec, this would mean electric fields of approximately 2 kV/cm. And since a path length of 1 cm is typically required, operating voltages of 2 kV must be furnished, which clearly are too high for most convenient power supplies.
Semiconductors fabricated in segments provide a way around the high voltage problem, because now each segment of the semiconductor path length over which the drift field must be applied is greatly reduced. Segmenting is accomplished by etching the silicon to form silicon islands on the sapphire, which are in series for electronic interaction, but are in parallel for d-c powering. And it is this construction that allows surface wave amplifiers to achieve high terminal gains at reasonable input voltage levels. In fact, a nine-segment lab-fabricated device showed a terminal gain of 30 dB at an operating voltage of only 180 volts. What's more, a 35-element semiconductor structure spaced over a total length of 1 cm has resulted in terminal gains at voltages as low as 50 volts, clearly more compatible with d-c voltage supply requirements.
It is important to note that the limit on segmentation is not, as might be expected, that of forming the ohmic contacts, since standard opto-mask techniques allow these contacts to be only a few microns apart. Rather, the limitation results in providing sufficient interaction wavelengths in each semiconductor segment, because sufficient separation is required between adjacent sections to provide d-c isolation.
Besides the segmentation capability, another advantage of spatially separated semiconductor amplifiers results from the fact that the spacing between the semiconductor and the acoustic substrate can be adjusted to optimize the gain at a given frequency. Noise buildup results if this degree of freedom is not available. Bulk acoustic wave amplifiers commonly suffer from this problem. But more important, even if the spacing of spatially separated surface acoustoelectric amplifiers were incorrectly chosen, the bidirectional transducers used in these devices cease to operate acoustically outside their passbands. Thus, feedback of unwanted signals is greatly inhibited by the ever present simple acoustic termination of the backwave at the substrate edge.
Check up
Low voltage operation of these composite surface wave acoustoelectric amplifiers in experiments by Stanford University has determined their important characteristics. In these tests, phase shifts varied less than 250° for drift-field changes from zero to that necessary to achieve maximum terminal gain. Also the output power increased linearly with input power until about 5 dB from maximum, at which point amplitude distortion occurred. This distortion was seen by injecting two tones 80 kilohertz apart and studying the resulting intermodulation products within this frequency range. Additional tests determined the terminal gain as a function of frequency at a given drift field by operating the transducers at the odd harmonics of the fundamental, and also below their fundamental. Net electronic gain greater than 15 dB/cm between 20 MHz and 1200 MHz results, confirming the extreme broadband nature of the amplification even with fixed air gaps and drift field.
An interesting capability of this type of amplifier, demonstrated during these tests, was that each segment of the silicon-on-sapphire structure could act as a directional transducer. This was accomplished by feeding r-f power in series with the d-c drift field and using a bidirectional interdigital transducer for the output. With this configuration, a delay line loss less than 20 dB was readily attainable. This low loss points to the
possibility of building active tapped delay lines to integrate acoustic surface waves with conventional microelectronics.
In addition to providing variable amplification, the same silicon-on-sapphire acoustoelectric amplifier configuration also can perform other important signal processing functions. The amplifier, operating in its saturated (nonlinear) region, effectively mixes r-f signals, and this taken together with external feedback allows extremely stable oscillation. Hence, amplification—variably attenuated and limited through saturation—as well as mixing and oscillation can be performed all with the same configuration.
It is not overstating the case to say that the conventional i-f amplifier, operating in the center frequency range of 30-500 Mhz, has a very serious new competitor, at least for signal processing applications requiring microsecond time delays. And although the configuration described here is exceedingly inefficient—approximately 0.1% at 100 Mhz—it is monolithic, eliminating the interstage tuning coil and transformers of the hybrid i-f amplifiers. With this technique it is feasible to conceive of a 1-Ghz amplifier, mixer, local oscillator and low frequency amplifier (100 Mhz) operating on a single substrate.
A technique for both amplifying and mixing is also under investigation, and certain fundamental experiments toward this goal have been performed. The basic principle is that high amplitude surface acoustic waves experience nonlinearities due to the third order elastic constant of the piezoelectric, and because of these nonlinearities, such waves generate travelling wave harmonics with nondispersive properties. In YX quartz, for example, approximately 1 milliwatt of the third harmonic power will result from 1 watt of 100 Mhz fundamental power. The limitation here is in the saturation of the harmonic power, which occurs for larger amplitude inputs.
Because of the third elastic constants, parametric mixing is realizable. Two inputs, called the pump and signal at frequencies $f_p$ and $f_s$ respectively, result in the generation of an idler at a frequency $f_i = f_p - f_s$. Grounds for optimism concerning low noise parametric amplification of surface acoustic waves are based on successful experiments conducted some years ago that used arrays of microwave varactor diodes, exhibiting nonlinear capacitance versus voltage characteristics, that are distributed along transmission lines. However, problems exist with restricting frequency products, so that only a three or four frequency process is allowed. Advances here will depend on realizing designs of the necessary surface acoustic wave filters for travelling waves.
**Guided waves**
Guiding acoustic waves is not a new concept. In the last decade simple wire delay lines used at frequencies up to a few Mhz for simple signal processing have constituted one important example. But at high frequencies, elimination of multimodes require wire diameters of only a few microns and these are not self-supporting in useful lengths of several centimeters or more.
Applied to microwave acoustics, surface wave guides will provide the transmission lines of the technology. They are vital for many system applications, since processing large amounts of data with long delays in a small area requires efficient utilization of substrates. Currently, interdigital transducers with apertures of 30 to 100 wavelengths are used. But these transducers simply are too wide to conveniently allow more than one or two acoustical beams to propagate on a substrate. Thus, just as in electromagnetic technology, some form of wave guidance must be employed to fold a long transmission path onto a small delay-line substrate. In other words, the ability to guide along prescribed paths, not necessarily straight, with the acoustic field laterally confined within a few wavelengths, is a necessary requirement for a versatile surface wave integrated circuit technology. This is because the line-of-sight propagation results in serious beam-spreading losses.
But there are inherent disadvantages to guiding. For one, guides introduce dispersion into the acoustic propagation—the price for field confinement. Fortunately, the effect is tolerable: a frequency change of 2.5 times produces a phase velocity change of only 5%. More serious, pure modes do not travel in wave guides. The mathematical treatment of the boundary conditions shows that leaky waves also exist during guided propagation, which means that energy will radiate from the wave guide into the bulk of the substrate. This problem becomes particularly severe when waves are guided around corners. This sets the minimum limit on the guide radii. Typically, a 100-wavelength radius right-angle bend gives a
Groovy guides. Three simple forms of guiding acoustic surface waves are easily realizable. A "slow" velocity overlay on a "fast" velocity substrate confines the acoustic energy in the region on the substrate beneath the overlay. Using a "fast" overlay to form a slot on a "slow" substrate confines the energy to the slot. Parallel grooves etched in the substrate will also efficiently confine the acoustic energy.
Guide lines
Launched by interdigital transducers, surface waves that travel on the free surface of a solid are pure Rayleigh waves with particle displacements elliptically polarized in a plane containing the propagation direction and the surface normal. The pure Rayleigh mode is nondispersive; i.e., velocity has a constant value independent of frequency. However, when the surface of the substrate is covered with a film of different material, it is no longer free, and the surface wave propagation deviates from the pure non-dispersive Rayleigh mode. This deviation is due to such factors as changed boundary conditions, and plate modes in the film coupling with the Rayleigh wave in a frequency dependent manner. The net effect of a film overlay having a slower shear wave velocity in the propagation direction than that of the substrate is to introduce dispersion, with the surface wave velocity decreasing with increasing frequency. And this velocity change produces differential time delays between different frequencies—a necessary property of pulse compression filters. Since velocity is inversely proportional to square root of density, slow overlay materials generally have higher density than the substrate.
Specific dispersion data obtained at Stanford University for a 5,000 Angstrom gold overlay on lithium niobate shows that at 100 Mhz the induced fractional phase velocity change is $-0.22$, loss increase is 20 db per inch, and differential time delay is 0.32 sec per inch over a fractional bandwidth of 0.20.
If a slow acoustic-velocity overlay material in the form of a narrow strip (less than 1 wavelength) is placed on a fast acoustic-velocity substrate surface, with its length in the propagation direction and its width perpendicular to this direction, the mode coupling causes the surface wave to be bound to the region beneath the strip. Further, if the overlay strip is curved instead of straight, the surface wave tends to follow the curved strip path—that is, it is an acoustic waveguide. A more accurate, although less descriptive, electromagnetic component analog is the microstrip transmission line. Experiments show that for a gold strip one wavelength wide on fused quartz, a 90 degree bend can be made with 100 wavelength radius at 10 Mhz, with a moderately low loss of less than 2 db.
An equivalent guide structure uses "fast" on "slow" acoustic velocity material with "fast" material essentially focusing the acoustic energy and confining it to the unclad surface. This type may provide less dispersion and lower loss than the strip guide since the acoustic energy propagates on an unclad surface, but this has not yet been proven.
Another possible structure is the grooved guide which provides lateral confinement via etched side walls. The groves act as acoustic "breaks" transforming the Rayleigh wave into a bound mode between the grooves. With this construction, using optical probing techniques, significant data at 1 Mhz was obtained by Ash and co-workers at University College, London, on steel waveguides with conventionally machined grooves. Their findings indicate that future experiments at vhf frequencies and above will require accurate etching or ion beam machining in anisotropic piezoelectrics.
Acoustic waveguide technology is still developing and considerably more experimenting is needed over wide frequency ranges before an optimum approach can be determined. Furthermore, the outcome of this work will probably determine just how versatile surface wave acoustics will be in future system applications.
loss at 10 Mhz of 1.5 db, whereas electromagnetic waveguide loss is negligible around bends.
Aside from concentrating acoustic energy in desired paths on a substrate, a waveguide must also satisfy two conceptual requirements. It must be compatible with planar transducer construction, so that a lossless interface will exist between the transducer and guide, and it must be as acoustically isotropic as possible, so that the acoustic propagation is independent of direction.
Three guiding methods are presently available. One uses a thin overlay—much less than a wavelength thick—of a slow acoustic velocity material on a substrate composed of a fast acoustic material. This arrangement confines the acoustic energy to the region of the "fast" substrate directly beneath the "slow" overlay. Another achieves the same objective by using a "fast" overlay to form a "slow" substrate slot. And finally, guiding can be accomplished simply by grooving the substrate, forcing the acoustic wave to travel between the grooves. Although this last method requires no overlay material, it does necessitate etching grooves in a piezoelectric substrate, and because of the chemical inertness of many piezoelectrics, such as lithium niobate, this is no easy task.
The one common design requirement for all three methods is that the width of the confining structures (overlay, slot, or grooves) must be less than one wavelength. This however is difficult at high frequency; at 1-Ghz, for example, surface acoustic wavelengths are smaller than 10 microns.
To get away from difficult fabrication requirements, a topographical class of guiding with ridge geometry may be used, where energy is confined either above or below the surface of a single material thus eliminating the overlay or groove fabrication. This type of silicon ridge formation is conventionally formed in metal oxide semiconductor (MOS) integrated circuits.
**More work**
But extensive experimenting must be done before guiding becomes a system reality. Most investigations so far have involved only straight paths at frequencies below 30 Mhz. Gold on fused quartz has received considerable attention by Adkins and Hughes at Autometrics in regard to dispersion and loss per wavelength. In addition, they are studying lateral confinement of the acoustic energy—an important parameter of substrate "traffic control". The work involves measuring the width of an acoustic beam from an 11 Mhz wedge transducer as it travels along a quartz substrate first without, then with, a gold overlay. Measurements without guides showed a wide beam of high amplitude which was essentially the launched beam after undergoing a small amount of diffraction. Then gold guiding strips, 1.5 microns thick and 10 mils wide, deposited onto the quartz narrowed the beam by a factor of 3.
More recent experiments show that parical displacements decay to \( \frac{1}{2} \) in less than two wavelengths from the edge of the gold. In these measurements a low amplitude signal, some 20 db down from the main signal, was detected which corresponds to the energy not guided by the gold strip. Although not currently a serious problem, the signal, which results from that part of the launched beam that does not enter the guiding region, can be significantly reduced by tapering the gold between the input transducer and the waveguide.
These relatively primitive experiments indicate that high-frequency waveguide technology is still in its infancy. Work is yet to be performed with anisotropic single-crystal materials, which are essential for low-loss delay lines at high frequencies. Similarly, low-loss overlay materials are mandatory. There is a chance that sputtered dielectric films might work at uhf, but heteroepitaxial growth processes will most likely be required at these and higher frequencies to keep losses below about 1 db/cm. In any event, the present limitations in existing guide configurations point up the need to launch surface acoustic waves on arbitrary non-piezoelectric substrates using locally deposited, oriented piezoelectric films.
**Guiding components**
Wave guides are a necessary part of such passive components as bandstop and bandpass filters, and directional couplers. Also, guiding can produce the acoustic analog of electromagnetic short and open circuit stubs. And by arranging an array of guides along a central waveguide carrying the principal delay line signal, filtering is readily attained in a manner analogous to electromagnetic filtering. In addition, recent experiments at 10 Mhz demonstrate the feasibility of phase interference-type directional-couplers which can be realized by placing in close proximity two parallel waveguides of gold on a fused quartz substrate. With this arrangement the acoustic energy, fed into one guide, propagates until reaching the other guide, the two guides having a center-to-center spacing of 30 mils, or approximately three wavelengths. As the propagation proceeds, energy has been observed to transfer back and forth between the two guides, a phenomenon which demonstrates the feasibility of acoustic-guide coupled-mode directional-couplers. Important design parameters are coupling length, degree of coupling, and dimensional dependency on frequency. Although tentative, measured coupling length, for optimum power transfer between the guides, is typically 40 wavelengths.
Considerable research remains if these circuit components are to prove useful to the microwave engineer. For one thing, specific data is not available for the values of coupling and directivity, as a function of frequency. Moreover, the problem of efficiently channeling energy from a wider transducer to a narrow guide has not been studied. Thus information is unavailable on the nature of the acoustic discontinuity introduced by a device such as the straight-path directional-coupler. Also, discontinuities due to waveguide bends must be analyzed, since the signal must be routed away from the parallel coupling section either for further processing or for converting to output electromagnetic energy.
**Materials matter**
Regardless of the obstacles to wave guide advancements, the proper choice and development of materials will greatly facilitate that program, as well as promote the entire microwave surface acoustic wave technology. In fact, this new technology will advance only as fast as new materials are found to meet the demands. Some of the well-known piezoelectric materials—quartz and lithium niobate
—are certainly suitable for many surface wave applications, but a comprehensive technology will require a wider range of materials. For example, needed for the guiding problem are a range of low-loss single-crystal films on single-crystal substrates with various combinations of "slow" on "fast" and "fast" on "slow" materials. Heteroepitaxial material combinations are also necessary for amplifiers, since these materials offer the possibility of utilizing other modes of propagation, such as Love waves and Stonely waves—the latter confined to the interface between two welded materials. In fact, the entire future of microdistributed circuitry may depend on producing controlled heteroepitaxial material combinations.
**Bulk materials**
In bulk form the three most important material properties are electromechanical coupling factor, surface wave velocity, and compatibility with microelectronic fabrication techniques, the latter being required for interdigital transducers. Their importance is this: electromechanical coupling essentially determines the quantitative tradeoff between insertion loss and bandwidth for a delay line; the surface wave velocity determines the maximum information density in the line; and the compatibility with fabrication techniques determines such factors as yield and related cost.
Bismuth germanium oxide is emerging as an important material that satisfies these requirements. Perhaps its major significance is that its time-fractional bandwidth product per cm, so important in radar applications, is superior to all known single crystal materials. Moreover, it may be grown at temperatures below 1000 degrees centigrade by the Czochralski pulling technique, a growth process very popular in solid-state materials work. In addition, the material is cubic and non-ferroelectric, the latter in contrast to lithium niobate. This means that poling is unnecessary, avoiding the peripheral cracks, the loss of useful material, and the danger of shattering the boule which is associated with this process. But more significantly, bismuth germanium oxide can be readily etched along useful coupling directions to form acoustic waveguide grooves, a property unfortunately not shared by quartz or lithium niobate. The slow surface wave velocity also makes it suitable for "fast" on "slow" slot guide structures with most overlay materials. In addition, it is photoelastic and photoconductive, which promise future device applications.
**Good combinations**
Bulk materials are important, but heteroepitaxy—growing one single-crystal material upon a substrate single-crystal material of different chemical composition—may be the answer to the materials problem. Silicon-on-sapphire (SOS) in combination with lithium niobate for the surface acoustoelectric amplifier is one example of heteroepitaxy growth. This type of fabrication, achieved by a process known as chemical vapor deposition (CVD), has proved a powerful technique in the overgrowth of a wide range of metals, semiconductors, ferrimagnetic spinels and garnets, piezoelectrics and orthoferrites on selected single-crystal substrates.
One of the most important recent developments in microwave acoustic materials, achieved by a close-spaced vapor-transport deposition process, is the successful growth of the piezoelectric zinc oxide (ZnO) on sapphire in films up to 100 microns thick. Later counter-doping with lithium modifies the resistivity of the material for use in both interdigital transducer and amplifier applications. In addition, annealing in oxygen allows all the piezoelectric properties of bulk ZnO to be realized in the films.
The process uses a hydrogen gas carrier mixed with hydrochloric acid flowing through the system to transport the sapphire substrate surface, so that the C-axis of the ZnO will lie in the X-cut plane. Using this material, delay lines with interdigital electrodes that have been deposited at 4 mm separation show a total insertion loss of only 15 db, most of which arises from r-f conduction losses in the film. To our knowledge this is the first example of a surface acoustic wave transmitted along a heteroepitaxial film.
In addition, this new material allows arbitrary patterns such as ridge waveguides to be etched out. This means that parallel signal processing delay channels can now be fabricated with low loss in each of the parallel delay lines. And by utilizing spatially separated SOS with a one-to-one correspondence between the ZnO lines and the silicon section (one silicon section to one ZnO ridge waveguide section) allows the addition of controlled amplification and attenuation to each channel by suitably adjusting the d-c power to the silicon sections. And by properly choosing the spacing between the ZnO sections, cross talk between channels can be kept as low as desired.
**Integration**
Because of its compatibility with silicon technology, another material of great interest is aluminum nitride. This material, which is strongly piezoelectric, has great potential for an integrated amplifier using silicon-on-sapphire transducers and amplifiers. Transduction is accomplished by the interaction of carrier waves in the silicon-on-sapphire with the acoustic waves in the aluminum nitride. Aluminum nitride is an excellent material because it has a large bandgap, typically 6 electron volts. This gives a resistivity of approximately $10^{11}$ ohm-cm at room temperature, allowing electrical isolation between the silicon segments. Also, because it's a fast velocity material, acoustic energy propagates in it at velocities similar to that of silicon and sapphire, resulting in very low dispersion. Thus we can anticipate the construction of a monolithic microelectronic acoustoelectric amplifier in which the disadvantages of the spacing between materials, such as lithium niobate and silicon, are avoided. And most important, since no gap is required, the material provides a greater interaction volume for
Deposits Grow
A film deposition process, called chemical vapor deposition (CVD), has been developed to grow heteroepitaxy crystals—growth of a single crystal film upon a crystalline substrate material of different chemical composition. The growth of silicon-on-sapphire, important in surface acoustoelectric amplifiers, typifies this process.
The system includes a reactor tube which serves as the growth chamber, a hydrogen burn-off, and a nitrogen flush capability, in addition to silane and arsine gases. The reactor, after loading a 20 mil thick sapphire substrate onto the susceptor, is initially flushed with nitrogen and then hydrogen. The r-f coil cleans the sapphire substrate by heating the susceptor to 1200 degrees centigrade in a hydrogen atmosphere. The temperature is then reduced to 1000 degrees centigrade, and a mixture of four percent silane in hydrogen and 100 parts per million arsine in hydrogen is introduced into the reaction chamber. The silane dissociates into hydrogen and silicon, the latter depositing on the sapphire substrate in single crystal form.
Arsine dissociation also takes place with arsenic depositing along with the silicon to give arsenic doped n-type layers. The resistivity of the layers is controlled by the amount of arsenic introduced, which is in turn controlled by the flow rate of the arsenic-doped hydrogen into the chamber.
Deposition rates are typically 0.3 microns per minute. Following deposition, the system is allowed to cool slowly under hydrogen. The doping is a critical process when resistivities of 100 ohm-cm are required, since this corresponds to 0.01 parts per million doping level in the film. The last step, baking the film and substrate at 1200 degrees centigrade, homogenizes the doping level through the layer.
In heteroepitaxy growth processes it is important to consider certain relationships between the overgrowth film and the substrate. For one thing, similarity between the atomic arrangements in the overgrowth and the substrates is definitely advantageous. Another point is that if the substrate is not physically and chemically inert during film growth the film is contaminated by the substrate. Since most growth processes require high temperatures, it is essential that the coefficients of thermal expansion of the film and substrate be closely matched over the ambient-growth temperature range. This precaution will assure the physical soundness of the films upon cooling to room temperature, as well as prevent the initiation of crystal defects resulting from high stress.
Single crystal materials are important for low-loss devices at high frequencies. The development of future monolithic devices having multifunctions—semiconductor, acoustic, magnetic, optical, etc.—will be paced by the ability of materials technology to produce an entire range of suitable heteroepitaxial material combinations.
the electric fields, higher saturation power and potentially higher frequency of operation.
Another good combination is gallium arsenide (GaAs) on beryllium oxide (BeO). GaAs is "slow" and BeO is "fast" allowing the formation of waveguides. Further, since BeO has a thermal conductivity at room temperature exceeding copper, excellent heat sinking is in the offing, which means that greater d-c fields can be used in the acoustoelectric amplifying configurations. This is seen from the fact that GaAs films of 30 microns thickness grown on sapphire have electron mobilities as high as 6500 cm²/volt-sec., far exceeding that of silicon.
Boosts technology
Although weakly piezoelectric, bulk GaAs used in acoustoelectric amplifiers built by Stanford University had sufficient electromechanical coupling at Ghz frequencies to give electronic gains of 70 db per cm. Thus, heat sinked, low voltage, amplifying waveguides seem a real possibility in future applications.
Laboratory samples of GaAs on BeO are becoming available for comprehensive acoustic investigations. This will allow an important aspect of the physics of heteroepitaxial interface states to be analyzed—namely the nature of the interface between the overlay and the substrate—by studying both semiconductor and acoustic wave propagation. And for this purpose since heteropitaxial combinations do not always involve a piezoelectric, locally-deposited oriented piezoelectric films will be used. Currently some 60 heteroepitaxial combinations are available for study.
This new keyboard will give you some idea of just how much our computerized counter can do.
Our 5360A Computing Counter is much, much more than a counter. A computerized digital measuring system would be more accurate, because it measures frequency, period, and time interval at speeds and resolutions never before possible.
And now this unique measuring system can be even more useful to you, with the addition of the 5375A Keyboard.
You can enter programs and have the keyboard learn and run them automatically. For example, phase, standard deviation, ranging, rate-of-change, FM deviation, VCO linearity, residual FM, averages. In fact, this keyboard lets you program the counter to display, in real time, solutions to equations whose variables are the measurements made by the counter.
As you can see in the photograph, the keyboard will handle all basic math, including root, branching and looping within the program.
In short, it's designed to keep up with the capabilities of the counter.
This is quite a feat in itself. The counter makes measurements to 320 MHz on its own, and goes all the way to 18 GHz with plug-ins. Another plug-in affords the first 100 picosecond time interval resolution ever available in a counter. Besides being faster and more accurate than any previous instrument of its kind, the 5360A has eleven-digit resolution, with fixed decimal display, automatic units and blanking, to give you error-free readout.
You'll find that the 5360A Computing Counter makes measurements you could never make before. And it saves you time and the expense of setting up elaborate measuring systems. It will do all this for just $6500, plus $1350 for the 5375A Keyboard.
For all the data and applications, call your local HP field engineer. Or write to Hewlett-Packard, Palo Alto, California 94304; Europe: 1217 Meyrin-Geneva, Switzerland.
HEWLETT PACKARD
ELECTRONIC COUNTERS
Circle 113 on reader service card
Matching FET's by design is faster and cheaper than by pick and choose
With their megohm-range input impedance, field effect transistors seem ideally suited for duty at the inputs of a variety of circuits. And so they are, with one big exception. Because of the high price for a matched pair, FET's haven't found a place as the input components in differential circuits. But because of a new design for matched junction FET's that high price is on the way down. And FET's will certainly be used, in differential circuits once the price barrier disappears.
Now, two FET's can be built on a single chip in such a way that the transistors' characteristics are identical to begin with. This means there's no need for expensive testing to match them. In this new technique the gate, source, and drain of one transistor form an interdigitated pattern with the gate, source, and drain of the second. With this layout the geometric centers of the two gates are at the same spot, which turns out to be the center of the chip. Any differences in processing variables affect both transistors to the same degree and in the same way. And this means that the two are just about perfectly matched.
For an engineer to use FET's as a differential-input device, he must have two transistors that are identical; if the same input is applied to both, they must produce identical outputs, and not just at one temperature. Transistor makers determine how closely two FET's match by measuring their offset voltage, $\Delta V_{GS}$; the smaller $\Delta V_{GS}$ is, the better the match. Offset voltage is measured at some specified drain current, $I_D$ (usually it's 200 microamps). Each transistor is connected to a current source where its $V_{GS}$ is adjusted until its $I_D$ is the specified value. When both transistors are carrying the specified drain current, their $V_{GS}$'s are subtracted, and the difference is $\Delta V_{GS}$ for that drain current. Matched FET's are classified according to $\Delta V_{GS}$; those with 5 millivolts are usually the top class, while the bottom may be as poor as 50 mv.
Usually $\Delta V_{GS}$ varies with $I_D$; therefore two FET's matched at one value of $I_D$ don't necessarily match at another $I_D$. On the other hand, measuring $\Delta V_{GS}$ is usually all that's needed; if the offset voltage is small, the transistors' other parameters, such as drain-to-source resistance, $R_{DS}$, will most likely match.
Two FET's with supposedly the same specifications may not be identical because of the difficulty the maker has controlling process variables, such as epitaxial thickness. Even matched FET's made in the conventional manner on adjacent chips don't necessarily have to match because, for example, the epitaxial layer may be deeper on one chip, or the wafer or the metalization layer may be thicker.
Left with a pile of nonidentical FET's the maker has no choice but to test each one, trying to pair the transistors off. Computers help in this matchmaking but the process is still slow; and what's worse, each test usually destroys a few of the transistors. The result of this slow and destructive testing is that the price of a matched pair is about three to five times the price of two unmatched FET's.
Attempts to solve the matching problem by building two FET's side by side on one chip haven't been successful because even if the transistors are this close, differences in processing variables still gang up to destroy the match.
With the new interdigitated layout the need for costly testing is eliminated, and the price of the matched pair comes down quite a bit. For example, the 2N3955, a standard two-chip matched pair, sells for $8; however, National Semiconductor's new FM3955, an equivalent monolithic dual made with this new technique, has a price of $5.60.
The yield for a monolithic pair matched to within $\pm 5$ mv with a drift of 10 microvolts per °C is between
Interdigitating two transistors on a chip assures a perfect match, thus avoiding testing and pairing of separate chips; Robert Christensen and Donald Wollesen of the National Semiconductor Corp. tell how interdigitation lowers prices.
Using matched FET's
25% and 35%. For an equivalent two-chip pair, the yield is around 2%. And when monolithic pairs are matched to within ±2 mv with a drift of 5 μv/°C, the yield is still 10% to 15%. Tolerances so close are out of the question for two-chip pairs.
Obviously, present users of matched FET's will be able to cut the prices of their own systems, and those making do with less expensive bipolar substitutes may now be able to step up to FET's. One group that will be particularly happy are makers of hybrid operational amplifiers. Using matched FET's as input devices, op amp manufacturers will be able to push their amplifiers' slew rate up to 100 volts per microsecond, typically, they can reach 10 volts/μsec now without resorting to specially designed components.
How much the proximity of the two FET's improves their match can be seen by considering a typical transistor process variable, such as epitaxial thickness. The way any process variable, P, changes from point to point over the surface of a chip can be described by a power series
\[ P = a_1 x + a_2 x^2 + \ldots + a_l x^l + \ldots \]
where the \( a_i \)'s are constants and \( x \) is the displacement over the surface of the wafer. The constants are different for different variables.
The mismatch between two transistors can be calcu-
The inputs to the frequency doubler (upper left) are 180° out of phase; thus the circuit eliminates the first harmonic, \( f(\omega) \). Since FET's are square-law devices, the second harmonic, \( f(2\omega) \), has no trouble getting through to the output. How good a job the doubler does eliminating third- and higher-order harmonics depends on how closely the FET's are matched. In both the temperature comparator (upper right) and the thermocouple amplifier (center right) the matched FET's present the necessary high input impedance to the thermocouple while amplifying its output. In the comparator the third FET combines the zener diode to give a reference voltage. The multiplexer (lower right) is a new application for matched FET's. But they multiplex only if each pair's drain-to-source resistance match. With the monolithic pairs the match can be to within 0.1% over a wide range of drain currents.
lated by letting $x$ equal the distance between the geometric centers of the two gates. Theoretically then, when the gates are at the same spot, there is no mismatch between the two transistors.
Epitaxial thickness varies irregularly over an entire wafer; however over distances on the order of 40 mils the thickness can be considered a linear function of $x$. And the centers of gates of the FET's on adjacent chips are usually 20 mils apart. If the average linear variation of epitaxial thickness is a typical value such as $\pm 7\%$, if the epitaxial material is 1-ohm n type, and if each FET's pinchoff voltage (the range from full off to full on) is 3 volts, $\Delta V_{GS}$ is on the order of 26.7 millivolts. If, on the other hand, the gates' geometric centers are 1 mil apart, the mismatch is 1.4 mv.
The effects of the higher order components are harder to calculate. The second-order component of a particular variable can be approximated by multiplying the value of this variable at a small section of the gate by the square of the distance between the section and the gate's center, repeating this for several hundred sections, and then adding the products. When this is done for two-chip pairs, the mismatch caused by second-order components is on the order of 20 times what $\Delta V_{GS}$ is for the monolithic pair.
Besides having the interdigitated design, the matched transistor pair also share the same heat sink which improves the temperature tracking. Two-chip pairs must be bonded separately onto dielectrically isolated regions of a header.
Sharing the same substrate can have its drawbacks however. If the differential voltage between it and a diffused gate exceeds the pinchoff voltage, a gate-to-substrate reachthrough phenomena occurs that is similar to collector-emitter punchthrough breakdown in high-beta bipolar transistors. As long as the reachthrough current is in the microamp region, the transistors won't be damaged.
Naturally, there is some testing involved in making a monolithic matched pair. However, the amount of testing is nowhere near what is involved in matching two-chip pairs. In the latter instance each wafer, which contains 2,500 or 3,500 chips, is treated separately, and each chip must be probed at two different drain currents. Once this is done, the data is logged onto punch cards, and the cards are sorted according to $\Delta V_{GS}$. Then the
Testing. Once the potentiometer is set so that each resistor gets the same current, $-V$ is adjusted until $I_D$ equals some specified value, usually 200 microamps. The difference between the gate voltages is then that pair's offset voltage. To find $\Delta V_{GS}$ at some other drain current, it's necessary to adjust only $-V$.
Transmitting the changing scene
This girl’s picture was produced on a special Picturephone* system; it will never look like this in your home. The white areas mark the only picture points which changed in 1/30 second (the duration of one video frame). The remainder of the picture was blanked out.
This emphasizes how Picturephone use differs from ordinary television: the Picturephone camera usually points at a single scene throughout a call and most of the motion is confined to the subject’s lips and eyes. Everything else—perhaps 90 percent of the picture—remains stationary.
Frank W. Mounts of Bell Laboratories used this fact to design an experimental video system that may make it possible to transmit three Picturephone calls over a channel that otherwise could carry just one.
An ordinary Picturephone system sends thirty complete pictures each second. In Mounts’ experimental system, only changes from one picture to the next are transmitted. A complete picture (information about dot positions and brightnesses) is stored at both the transmitting and receiving ends. As the camera’s electron beam scans the original image, the brightness at each point is compared with the stored value. Whenever there is a significant difference, the system updates the stored frame and transmits the new brightness level and dot position.
At the receiving end, as the picture tube’s beam arrives at each point, the incoming information is checked to see whether a picture-point revision has arrived. If so, it is displayed and stored.
Because some areas of the picture do not change, while others change extensively, revised points may come in bursts. Transmitter buffers smooth the flow by reading the information out onto the line at a constant rate.
This new technique, one of several now being investigated at Bell Laboratories, promises to help keep transmission costs down when the Picturephone service becomes generally available.
From the Research and Development Unit of the Bell Systemthe
GIANT™
GENERAL INSTRUMENT ADVANCED NITRIDE TECHNOLOGY
QUADS
with the 4-bit byte
the first and only 25-bit and 32-bit QUAD Static Shift Registers directly compatible with TTL/DTL and MOS are GIANTS.
Logic Diagram
QUAD 25-Bit or 32-Bit Static Shift Register
TTL/DTL Operation
MOS Operation
General Instrument's 4-bit byte 25-bit and 32-bit QUAD Static Shift Registers are the newest additions to the growing family of GIANTs. And, like all GIANTs, they are products of General Instrument's exclusive MTNS (Metal-Thick Oxide-Nitride-Silicon) process.
A most significant feature of these GIANT QUADS—and of every standard GIANT product—is the $V_{\text{GI}}$ terminal, which gives the user the choice of interfacing directly with TTL/DTL or MOS.
Each register has one serial input and one serial output, and the clock input is common to the four registers. All inputs, including clock, can be driven directly from TTL/DTL logic levels, and each output can directly drive TTL/DTL without external interfacing components.
Additional features of the GIANT QUADS include: operation over the full military temperature range of $-55^\circ C$ to $+125^\circ C$ and series or parallel operation. And the well-known performance and reliability advantages inherent to MTNS devices are, of course, also present in the GIANT QUADS.
Both the 25-bit (#SL-6-4025) and the 32-bit (#SL-6-4032) QUADS are available in 14 lead dual in-line ceramic packages at your authorized General Instrument Distributor. For full information write, General Instrument Corporation, Dept. Q, 600 West John Street, Hicksville, L.I., N.Y. 11802.
(In Europe, write to General Instrument Europe S.P.A., Piazza Amendola 9, 20149 Milano, Italy; in the U.K., to General Instrument U.K., Ltd., Stonefield Way, Victoria Road, South Ruislip, Middlesex, England.)
Price in quantities of 100 pcs: QUAD 25-bit (#SL-6-4025) @ $18.20 ea.; QUAD 32-bit (#SL-6-4032) @ $26.50 ea.
THIS 100-FOOT ANTENNA CAN BE DEPLOYED FROM A 10-FOOT PACKAGE.
Getting a large-aperture antenna where you want it, when you want it, has become more and more of a problem in developing advanced space communications systems.
Until now, placing rigid, precision-surface antennas as large as NASA and the military would like them to be has been out of the question.
But now General Dynamics' Convair Division has conceived a geodesic truss that makes possible an antenna from five feet to 100 feet or more in diameter that folds into a package just one-tenth of its deployed size. Spring-loaded, it erects automatically on command.
Ten times the gain of today's antennas. The reason for a large-aperture is, of course, to achieve greater gain and narrower beams. The lightweight antennas we are developing for NASA are designed to provide a peak gain of more than ten times that of the largest communications satellite antennas available.
This larger gain factor means the satellite needs less power output. Also, smaller, less-expensive ground terminals may be used.
High performance combined with design flexibility. When deployed, this antenna would have a mesh surface covering the triangular elements to form an accurate contour (diameter/surface tolerance > 5,000) for high performance through the upper microwave frequencies. And though conceived as a means of erecting orbital parabolic antennas, the same basic concept can be extended to a variety of other configurations — such as helical and horn arrays.
Small, lightweight package permits broad spectrum of uses. The advantages of getting an erectable antenna that folds into so small a package are obvious where launch vehicle payload is limited. For communications relays. Radio and television broadcasting. Radar. Radio astronomy and weather data acquisition. In potential military applications for protected space communications systems. And for lunar uses looking not too far into the future.
Applications foreseen in "inner space" too. We're also investigating the use of erectable antennas for portable ground terminals, and on both surface vessels and submarines. Here not only is size to be considered, but the ease and speed with which such antennas may be deployed and retracted into a housing.
This compactness also suggests use in underground silos where swift operation under changing tactical conditions would be imperative.
Erectable antennas are just one example of our continuing work on space programs. More than 370 Atlas vehicles have been launched, and the 1969 Mariner-Mars fly-bys were the tenth and eleventh operational Centaur missions. Also, in the past year, seven Convair scientific satellites have been boosted into space. Earth-bound space support projects include three Apollo Instrumentation Ships built by General Dynamics for NASA's global tracking network. They all show what technology can accomplish when it's handed a problem. At General Dynamics we put technology to work solving problems from the bottom of the sea to outer space... and a good bit in between.
GENERAL DYNAMICS
Technical information on erectable antennas is available on request. Write: General Dynamics, Dept. 850, 1 Rockefeller Plaza, New York, N.Y. 10020.
Circle 121 on reader service card
We’ve tamed the TV “jungle”
Our design teams have produced an integrated circuit that does the work of many separate semiconductors in the signal processing section of either a monochrome or a colour TV set. This simplifies design and production, and simplifies servicing too — when it needs attention, that is. The reliability of the new IC type TAA 700 is better than that of the silicon semiconductors which it replaces. And its cost is comparable with that of conventional circuits with discrete components — particularly when you count assembly costs, as every set-maker must. How soon will you be ready to tame the “jungle” in your TV receiver design? You don’t have to wait. Because Philips have a proven integrated circuit all ready to take its place.
PHILIPS EUROPE’S STRONGEST GROUP IN SOLID STATE DEVICES
Electronics December 8, 1969
TAA 700 PUTS SEVEN DIVERSE TV RECEIVER SIGNAL-PROCESSING FUNCTIONS ON A SINGLE CHIP!
This jungle IC, type TAA 700, is a central processor and distribution circuit for the video and synchronisation signals in both monochrome and colour receivers. It replaces about twenty-five components in a conventional receiver. TAA 700 performs these seven distinct circuit functions:
**Video pre-amplifier**
Video gain is 10 dB; —3 dB bandwidth is better than 5 MHz for fine picture quality. Rise and fall times are less than 80 nanoseconds. Load impedance, seen by the video detector, is typically 2,700 ohms, with less than 1.0 pF parallel capacitance. Output voltage is 6 V peak-to-peak, and an output current up to 15 mA is available. Output signal black-level is typically 5.0 V. Output black level variation due to temperature changes and "spread" is less than 600 mV.
**Gated AGC detector**
Input impedance is approximately 1,000 ohms. Up to 8 V of AGC voltage is available to control the IF amplifier, and up to 7 V for the tuner. The signal expansion at full control of both is less than 15%. Both AGC and horizontal phase detectors are keyed.
**Noise gate**
The internal noise gate is frequency and amplitude selective. It protects both the AGC and sync separator circuits.
**Sync separator**
The sync pulse is "sliced" approximately 30% below its peak level. The noise inverter renders sync and AGC circuits insensitive to noise pulses.
**Automatic horizontal synchronisation**
The horizontal sync voltage output is approximately ± 3 V. Holding range, for an oscillator-reactance stage with a control sensitivity of 400 Hz/V, is approximately ± 1,000 Hz. A catching range of ± 700 Hz is achieved without affecting noise immunity, because the phase detector is keyed. Horizontal synchronisation is fully automatic; even if some sync pulses may fail, due to interference, synchronisation of the horizontal deflection is maintained.
**Vertical sync pulse separator**
Output voltage is over 10 V negative-going single pulse, measured peak-to-peak.
**Video amplifier blanking**
An input is provided for both vertical and horizontal blanking. Peak-to-peak input voltage for video blanking is 1 to 5 V.
Where does TAA 700 fit in your TV receiver circuit?
The TAA 700 integrated circuit effectively ties up the "loose ends" of AGC noise gating, synchronisation, and video amplification (or luminance in the case of colour). TAA 700 input is taken from a vision IF amplifier, via the usual 4.5 MHz "trap" at the video detector output. You can drive either a single BF 178 transistor or a tube video output from the TAA 700 used in a monochrome receiver. With colour, the luminance drive available is effectively halved (to 3 V), because the delay line has to be added to the input impedance of the integrated circuit. This output is still sufficient to drive a high-conductance luminance output tube direct, but a transistor output stage will need an added emitter follower. You can use either tube or transistor vertical and horizontal oscillators with the TAA 700.
TAA 700 comes in a QUIL — or Quadruple-in-line — package, with a total of sixteen leads.
What is a QUIL?
QUIL stands for Quadruple-in-line: our new style plastic body for television IC's. QUIL is the Philips answer to all those tooling and assembly problems which can arise when integrated circuits have to be mounted onto printed-circuit boards for television receiver production. The sixteen leads of the QUIL package are staggered, increasing hole spacing from the 0.1 inch of the DIL standard to 0.14 inch. This gives designers more room to play with, a wider range of tolerance, and ensures that there is always a safe margin of copper area to ensure correct contact with the wiring.
The Philips range of IC's for TV also includes:
TAA 570 is a four-stage limiter amplifier contained in a single TO-74 metal envelope. Used in the sound channel of an "inter-carrier sound" television receiver circuit, the TAA 570 will give 1.8 V r.m.s. audio output for a frequency deviation of 50 kHz. A special remote-control stage provides an 80 dB gain control range, simply by adding a potentiometer. Extra "outside" components have been cut to a minimum.
Philips also produce the TAA 550, a complete voltage stabiliser for a tuner using varactor diodes. TAA 550 will keep the supply voltage in the range from 31 to 35 V constant to within 0.02%, at input variations of up to ± 10%. Its temperature coefficient in the ambient temperature range from +10° to +50°C varies between −3.1 to + 1.55 mV/°C. This type is supplied in a single TO-18 metal envelope.
Let our Applications Laboratory help you
Philips are studying more TV receiver circuit functions, to realize them in integrated circuit form. Why not ask us about the integrated circuits for TV you want to use? We may have designed them already!
For over 20 years, wire insulations of Du Pont TEFLON fluorocarbon resins have provided maximum performance and reliability under extremes of temperature and adverse environments. But did you know there are composite constructions of TEFLON and polyimides which offer you extra performance benefits for all wiring applications? TEFLON plus polyimide constructions guard against installation damage because of their toughness and abrasion resistance. They are made in two forms: a polyimide enamel over a primary insulation of TEFLON or a polyimide tape wrapped around the TEFLON.
Both these "TEFLON plus..." constructions are rated for use over a wide temperature range—up to 260°C. They are easily printed and potted, nonflammable, chemical-resistant, lightweight and have a small diameter. They provide the optimum dielectric quality which you expect from insulations made with TEFLON.
If you'd like additional information on composites of TEFLON plus polyimides (or composites using mineral fillers or polyvinylidene fluorides with TEFLON), write us and let us know about the specific application you have in mind.
Write: Du Pont Company, Room 7297N, Wilmington, Del. 19898.
TEFLON: all by itself the most thoroughly proven, high-reliability insulation
Now consider the additional advantages of TEFLON plus polyimides
Regulation of U.S. Army air traffic in combat zones or elsewhere will be possible with SAFOC (Semi-automatic Flight Operations Center). An advanced development model of the system was demonstrated by Hughes near Atlantic City, N.J., recently. It will provide a collision-avoidance capability, pinpoint the location of distressed or downed aircraft, identify friendly aircraft, provide ground-to-ground coordination of aircraft movement, and disseminate air-warning information to pilots.
A secure point-to-point communications' link for ship-to-ship, ship-to-shore, and other industrial and military uses has been developed by Hughes. The new communicator uses a gallium arsenide pulsed laser beam as the carrier, transmits and receives either voice or digital information for distances up to six miles, and is virtually free of radio-frequency interference. It weighs only 5½ pounds and draws only 120 milliwatts while transmitting, 24 while receiving.
Better speeds for MOS devices are now possible with ion implantation, a technique perfected by Hughes research scientists after three years of development. The new technique is completely compatible with P-channel MOS processing, which the silicon-gate method is not. The IMOS (ion-implanted MOS) devices successfully fabricated by Hughes include a 64-bit shift register capable of 30 Mhz speeds and a 10-channel multiplexer that's about five times faster than today's best.
The U.S. Navy has responded to the need for improved submarine search and rescue operations by commissioning two giant catamarans which are designed to launch and recover submersible rescue vessels from centerline elevators located between the two hulls. Hughes designed the electronic installation and is installing and checking out the radar, sonar, communications, and navigation units.
Special opportunities for specialists: Hughes would like to hear from Radar Systems Engineers, Signal Processing Systems Analysts, Circuit Designers, High-Power Switching Engineers, and ThinFilm Process Engineers for Hybrid Microcircuitry. Requirements: B.S. degree, two years related experience, U.S. citizenship. Please write: Mr. J.C. Cox, Hughes Aircraft Company, P.O. Box 90515, Los Angeles 90005. Hughes is an equal opportunity employer.
When NASA's Mariners orbit Mars in 1971 scientists will survey approximately 70 percent of the planet's surface, recording significant data on its atmosphere and locating possible landing sites for instrument packages in 1973. Each Mariner will carry a two-channel infrared radiometer built by Santa Barbara Research Center, a Hughes subsidiary. The instruments will "take the temperature" of Mars during the Mariners' 240 orbits. These readings will subsequently be correlated with the photographs of the surface that will also be sent back to earth.
check out
ELECTRO’S New Low Cost
MINI-PROX
Compact Proximity Sensing System
for Non-contact, Detection and Control
of Ferrous and Nonferrous Metals
☐ LOW COST
☐ ASSURED SENSING DISTANCE ACCURACY
☐ TEMPERATURE-STABLE
☐ NO MOVING PARTS IN ELECTRONIC OUTPUT MODEL
☐ PLUG-IN CONVENIENCE
MANY MONEY SAVING APPLICATIONS
PACKAGING COUNTING SPEED CONTROL
Conveyor Control • Cut-Off Control • Missing Parts Detection • and many others
Accuracy of sensing distance is often a critical factor in sensing and control applications. Mini-Prox accuracy can be depended upon in any environment; heat to +160°F or cold to –30°F at either probe or control. Line voltage variations from 105 to 180 volts—dust—moisture—vibration, none of these affect its accuracy. You can set it and forget it.
Plug-in design provides for easy wiring. Unitized construction eliminates soldering or wiring of sensitivity controls. Connections for power, sensing head and relays are made to screw-type socket terminals. Operations up to 600 per minute may be controlled or monitored by the Model 55125 illustrated. Electronic output models for higher speeds are also available. Five standard sensing heads are presently available with sensing ranges of .050” to .250”, .100” to .500”, .300” to 1,000”.
ELECTRO with 15 years field experience in proximity switches has designed-in reliability, assuring you of years of trouble-free performance. Compare with others of similar size and price. One look at the quality of construction tells the difference.
ELECTRO representatives are experienced in assisting with proximity switch applications. Most carry local stocks to service your requirements immediately.
Write for bulletin giving complete specifications and the name of your nearest EPL representative.
ELECTRO
PROXIMITY SWITCHES
ELECTRO PRODUCTS LABORATORIES, INC.
6125 West Howard St., Chicago, Ill. 60648 • 312/647-8744
126 Circle 126 on reader service card
The One Inside is FREE
Not so many years ago, the prudent transmitter engineer discharged a high voltage capacitor bank by dropping a shorting "crowbar" across its terminals. Today's "crowbar" is a protective overvoltage circuit found on DC power supplies — usually at extra cost. Now HP includes a crowbar as standard on its recently updated series of low-voltage rack supplies . . . at no change in price.
Long established as preferred system supplies for component aging, production testing, and special applications, these supplies have now been redesigned and expanded to meet the stringent demands of today's power supply user. Advantages include low ripple (peak-to-peak as well as rms), well-regulated constant voltage/constant current DC with outputs to 60 volts and 100 amps.
Where loads are critical and expensive, the extra protection — say, against inadvertent knob-twiddling from a crowbar is invaluable. On all internal crowbars in this series, the trip voltage margin is set by screwdriver at the front-panel.
Pertinent specifications are: triggering margins are settable at 1V plus 7% of operating level; voltage ripple and noise is 200 µV rms/10mV peak-to-peak (DC to 20 MHz); current ripple is 5 mA rms or less depending on output rating; voltage regulation is 0.01%; resolution, 0.25% or better; remote programming, RFI conformance to MIL-I-6181D.
Prices start from $350. For complete specifications and prices, contact your local HP Sales Office or write: Hewlett-Packard, New Jersey Division, 100 Locust Avenue, Berkeley Heights, New Jersey 07922 or call (201) 464-1234 . . . In Europe, 1217 Meyrin, Geneva.
Additional data sheets available upon request
LAB SERIES
smaller package,
lower power,
optional crowbar
CROWBARS
A Technical Discussion
1969 Power Supply Catalog
— includes total HP power supply line.
We're after your next order for power transistors.
Pirgo makes planar silicon transistors rated from 2 to 90 amps. The resemblance to other companies in the field stops there.
Because we want your next order, Pirgo, an affiliate of Sprague Electric Company, makes all products just a little better than we have to. One out of every six employees works in quality control or reliability assurance. We purposely keep our design and manufacturing standards high, but our pricing results in important savings on your power transistor purchases.
Pirgo provides engineering assistance. Application engineers will work with you on your specific problems. What's more, they're flexible. They will make changes or custom-tailor an entirely new product to meet special requirements.
Send for our new catalog. Or call your local Sprague Electric sales engineer. Let us show you just how much we want your next order... and every one after that.
Pirgo products are available from authorized Sprague semiconductor distributors.
PIRGO ELECTRONICS INC.
A SPRAGUE ELECTRIC COMPANY AFFILIATE
130 CENTRAL AVENUE
FARMINGDALE, NEW YORK 11735
Tel: 516-694-9880 • TLX: 96-1498
pouf....THAT'S ALL IT TAKES TO ACTUATE THIS NEW SWITCH.
skeptical? try it. (we'll send you a free sample)
Just a gentle whisper of force (1 1/4 grams) actuates this new Cherry E22 miniature switch. As easy as blowing fluff off a dandelion. It's so sensitive, we had to make the actuator of aluminum (to permit re-setting of the switch). Dependability? This 3 amp., 125 VAC switch features Cherry's exclusive long-life coil-spring mechanism that insures positive snap action...proven in over 100 million product applications.
But, see for yourself. Send for a free sample and complete specifications.
CHERRY
Cherry Electrical Products Corporation • 1656 Old Deerfield Road • Highland Park, Illinois 60035
Circle 129 on reader service card
SMALL DIMENSION FUSES and FUSEHOLDERS
FOR THE PROTECTION OF ALL TYPES OF ELECTRONIC & ELECTRICAL CIRCUITS & DEVICES
The complete BUSS line of fuses includes dual-element "slow-blowing," single-element "quick-acting" and signal or visual indicating types... in sizes from 1/500 amp. up—plus a companion line of fuse clips, blocks and holders.
Only a representative listing is shown here of the thousands of different types and sizes of fuses and holders available from BUSS.
All standard items are easily obtained through your BUSS distributor.
When special fuses, fuse clips, fuse blocks or fuseholders are required, our staff of fuse engineers is at your service to help in selecting or designing the fuse or fuse mounting best suited to your requirements.
For detailed information on the complete BUSS line write for BUSS bulletin SFB.
BUSSMANN MFG. DIVISION, McGraw-Edison Co., ST. LOUIS, MO. 63107
We just got a good idea. We put metal shells on our Micro/Con D series rack-and-panel connectors. They’re for when you put a connector in one of those unprotected places and it gets banged around a lot.
One side is stainless steel. One side is die-cast aluminum. And the big thing is, it’s the first metal shell connector that will mate with any existing version. Interchangeable. Intermountable. You can use them with old and new equipment alike.
Our new shell comes in all the standard pin sizes (9, 15, 21, 25, 31, 37, 51) and we’ve even got them on our flat cable connectors. If this excites you at all, maybe you’ll enter our contest. Think of a new name for our new metal shell connectors, send it to us, and you’ll have a chance at winning a case of scotch. And even if you don’t win, we’ll send you a genuine certificate recognizing your dumb idea.
Microdot Inc., 220 Pasadena Avenue, South Pasadena, California 91030.
MICRODOT INC.
FIRST FULLY DECODED 64-BIT BIPOLAR LSI
A winner for scratch pad memories i-3101
- Fast 60 nsec access
- Low power dissipation (6 mW per bit)
- DTL and TTL compatible
- OR-Tie capability
Guaranteed switching speeds
| Test parameter | Speed | Conditions |
|----------------------------------------------------|---------|-------------------------------------------------|
| Read cycle (chip select and/or address to output delay) | 60 nsec max | 2.5v pulse in. 5 ns rise & fall from 1v to 2v Vcc=5.0v Tc=25°C |
| Write recovery time | 45 nsec max | |
Guaranteed DC characteristics
| Test parameter | Limit at 0°, 25° & 85° C | Conditions (Vcc=5.0v ± 5%) |
|---------------------------------|---------------------------|----------------------------|
| Input load current | -1.6 ma max | Vin=-0.45v |
| Input leakage current | 40 µa max | Vin=-5.25v |
| Input clamp voltage | -2.0 v max | Ic=5.0 ma |
| Output "low" voltage | 0.45 v max | Vw=V=-0 v |
| Output leakage current | 100 µa max | Vw=-5.25 v |
| | | Vt=2.5 v |
| Power supply current | 105 ma max | Vt=V; Vd=0 v |
| Input "high" voltage | 2.0 v max | |
| Input "low" voltage | 0.85 v min | |
Prices
- 1 to 9 units: $99.50
- 10 to 24 units: $73.50
- 25 to 99 units: $53.00
- 100 to 249 units: $43.00
- 250 or more units: $38.50
Available at over 40 locations throughout the U.S. and Canada. For delivery, call your Intel distributor, Cramer Electronics or Hamilton Electro Sales.
If more convenient, write or phone us directly. Call collect (415) 961-8080.
Intel Corporation is at 365 Middlefield Rd., Mountain View, Calif. 94040. Telex INTEL 34-8366.
Meet Datapoint.
It's 20 times faster than other multipoint recorders.
And infinitely more versatile.
This new high-speed multipoint recorder by Brush runs off as many as 20 samples per second on 2 to 8 patients. So it's great for monitoring fast-changing variables in systemic and wound temperature, heart rate, ECG and the like.
Datapoint handles mixed inputs from high and low level inputs. All on one chart. Recordings come out clear, crisp, uncluttered. And Z-folded. You've got a choice of 12 chart speeds, pushbutton controlled.
About that versatility. Datapoint works in three modes: multipoint sampling, intensified sampling, for channels of high dynamic content, or continuous single channel recording. So you get much more than just a fast multipoint recorder. Without paying more to get it.
And Datapoint is accurate, too. A full 99.5%, enforced by a non-contact position-feedback system. It's a first in this type of recorder. (But a proven success in countless Brush direct writing oscillographs.)
Speed. Versatility. Accuracy. These make Datapoint a new concept in recording. There's never been anything like it. You'll find more proof in the Datapoint brochure. Send for your copy today. Brush Instruments Division, Gould, Inc., 3631 Perkins Avenue, Cleveland, Ohio 44114.
GOULD BRUSH
Meet decision makers in medical electronics
Physicians, hospital administrators, biomedical engineers, educators, researchers, system design engineers who attend the 2nd National Conference & Exposition on Electronics in Medicine represent real buying power. We know because we asked the attendees at the first conference last spring how much they spent on medical electronics and their responses added up to a whopping $36 million—about ten per cent of the 1968 market.
buying and specifying influence
What's more, the second conference has been designed to meet the overwhelming demands of the earlier attendees for direct exposure to actual hardware. We're inviting manufacturers of medical electronics gear to take advantage of this unprecedented opportunity by exhibiting at the exciting 2nd National Conference on Electronics in Medicine in San Francisco. Through a carefully crafted program of invited papers by leaders in the field, and discussion group sessions on vital questions, the Conference will attract the people manufacturers want to meet most—the men who make the buying and specifying decisions in a $400 million market. The 2nd National Conference & Exposition on Electronics in Medicine is presented by McGraw-Hill's Electronics/Management Center in association with the McGraw-Hill publications: Electronics/Medical World News/Modern Hospital/Postgraduate Medicine/Scientific Research. It is managed by National Expositions Co., Inc., the highly regarded exposition management firm based in New York.
prestige sponsorship
Full page ads, dynamic editorial coverage and a comprehensive mail campaign aggressive promotion
will find every buying and specifying influence in medical electronics wherever he works—hospital, research laboratory, consultant's office, university, clinic or private practice. He'll be reached repeatedly and effectively with our message. And that message is—the Second National Conference and Exposition on Electronics in Medicine is the place to discuss his urgent requirements first-hand with you—the people with expertise who can fill them.
opportunities for marketers
The Second National Conference and Exposition on Electronics in Medicine can help you find and sell new customers, create impressive lists of new, valuable contacts and achieve significant penetration in this exploding market. Space is limited, so make your reservation now.
2nd National Conference & Exposition on Electronics in Medicine
FAIRMONT HOTEL, SAN FRANCISCO, CALIF. • FEBRUARY 12, 13, 14, 1970
Write or call for brochure, floor plan: Jerry Brown, Exhibit Manager, National Expositions Company, Inc. 14 West 40th St., New York, N.Y. 10018, 212/564-8714
A NEW Dual-Beam Oscilloscope
The Viewing Area
Put a 6-1/2" CRT in your 5-1/4" rack . . .
. . . or on your bench!
With the Type R5030, all the data required to make your measurement is where you need it . . . in the viewing area.
Scale-factors are read out immediately to the right of the 8 x 10 div CRT. Scaled in divisions equal to 1.27 cm, the CRT provides 50% more viewing area than a standard 8 x 10 cm CRT. Each beam has a full 8 x 10 div scan, separate intensity control and push-button beamfinder.
please turn page for additional information
The Control Panel
easy to use
The complementary color scheme of the control panel of the Type R5030 aids the user in readily distinguishing various control functions. Current probe inputs for each beam with deflection factors from 1 mA to 200 mA/div are outlined in a salmon color. The bandwidth of the current inputs is from 10 Hz to 1 MHz.
Differential or single-ended voltage inputs are provided with 19 calibrated deflection factors from 10 μV to 10 V/div. The scale-factor readouts are corrected automatically when an attenuation probe is attached to the input. Bandwidth is DC to 1 MHz at all deflection factors. However, bandwidth may be limited to ≈ 5 kHz to eliminate wide-band noise.
A greatly simplified trigger circuit is outlined in green. With the addition of a peak-to-peak auto mode and a combined level/slope control, the operator will find it difficult, if not impossible, to obtain a nontriggerable condition.
Mode switching has been set aside in a blue panel area where switching from a dual beam Y vs T display to an X vs Y display is as simple as pressing a button.
Rackmount, order Type R5030 .................. $1850
Low-Profile Cabinet, order Type R5030,
Option 4 ........................................... $1850
U.S. Sales Prices, FOB Beaverton, Oregon
For a demonstration, call your local Tektronix Field Engineer or write:
Tektronix, Inc., P.O. Box 500, Beaverton, Oregon 97005
Tektronix, Inc.
committed to progress in waveform measurement
Jumble of electronics, instruments keeps air pollution monitoring hazy
With the Federal Government setting up a nationwide program to keep tabs on pollutants, what's needed, most experts agree, is an advancement in sensor instrument technology—perhaps even a 'universal sensor'
By Lois Vermillion
Electronics staff
How goes the war against air pollution? Badly. Lacking any single means of effectively monitoring—much less combating—air pollutants, man has been forced to use a potpourri of instrumental systems, all different, all designed to monitor different pollutants. Adding to the problem is an infant Federal coordinating agency which lacks enforcement powers, and the general pinch on funds at the Federal, state, and local levels.
Electronics will play its biggest role in air quality monitoring at the local level. In order to gather data for a national monitoring network to provide a cross-country profile of the 142 million tons of toxic matter pumped into the air each year, some large cities already have or are installing sophisticated solid state monitoring systems, among them New York (Packard-Bell), Los Angeles (Litton Systems), and Pittsburgh (TRW Inc.).
Other areas which will be setting up monitoring systems are St. Louis, the State of Pennsylvania, Philadelphia, Denver, Phoenix, the Puget Sound area (Seattle), New York State, and Dade County, Fla. (Miami). Faced with an unbalanced budget and tight appropriations, Pennsylvania's Auditor General, Robert Casey, is reluctant to sign any contracts, despite the fact that Pennsylvania's air quality standards can't be enforced without an air monitoring system, says Victor Aussman, director of the State Health Department's Division of Air Pollution Control.
The Allegheny County (Pittsburgh) System, managed by Resources Research Inc., environmental engineering arm of TRW Civil Systems Group, and actually installed by Automated Environmental Systems Inc., is scheduled for completion in March at a total cost of $300,000, including $197,000 for sensor hardware, an IBM 1800 computer, and an undetermined outlay for software. Most troublesome pollutant here is hydrogen sulfide produced at steel plants.
In Los Angeles, where ozone is the biggest problem, Litton is installing a $325,000 computer and telemetry system which can handle up to 32 air sampling stations, and up to 16 sensors at each station. This system is scheduled for completion in March—until then county district personnel will continue to phone in instrument readings to the central control station every half-hour.
Getting it together
The prime mover in the effort to establish a national air pollution monitoring network was passage in 1967 of the Clean Air Act. Among other things, it established within the Department of Health, Education and Welfare the National Air Pollution Control Administration (NAPCA), which is exploring new applications of electronics technology to provide reliable systems to detect and measure air pollution and its effects.
Characteristic of many Congressional actions, however, Napca was given broad responsibilities but relatively little authority. Though its only enforcement power consists of controlling pollution generated by automotive products, it can set standards which state and local governments must use as an enforcement guide. But Napca's charter also requires it to keep track of local government efforts to prevent, abate, and control community pollution problems. Thus it becomes as much a source of technological and marketing intelligence for an interested electronics industry as well as a customer on its own.
Napca's computerized national air sampling network seeks to combine data reported from regional air sampling stations. These now are run by state governments, which are responsible for establishing local monitoring systems. Napca emphasizes the national network is a regional concept—the Federal Government won't assume a local responsibility, but will set national standards for pollution levels.
Each air quality region designated by Napca will have to buy its own computers, sensors, and telemetry systems. There are now 15 air pollution control regions in the most polluted urban areas. There will be 57 by the end of 1970, and eventually there will be 100.
Not all roses. The meat of an air pollution monitoring system is the sensors, and with pricetags of anyMeasuring up
Effective air pollution control depends not only on legislation, enforcement, and funds, but also on the many technological ramifications of the environment, types of pollutants, and the effects of pollution. Different instrumentation may be needed for measuring moving sources, stationary sources, ambient air, atmospheric transport and transformation, and effects on different kinds of receptors. Here is a summary of measurement techniques.
### Particulate matter
| Measurement | Technique |
|-------------|-----------|
| Mass loading | Real time |
| Size distribution | Optical, electrical, chemical |
| Chemical composition | Sampling, electron probe, atomic absorption |
### Development
Piezoelectric (change in frequency as function of mass on crystal); Lidar (Light detection and ranging)
Laser backscatter, electrical particle counter
Submicron classification
### Gaseous matter
| Measurement | Technique |
|-------------|-----------|
| SO₂, CO, NO, NO₂, O₃, etc. | Spectroscopy, wet chemistry, gas chromatography |
| Sampling representation | Long path, point source |
| Noise background | Interference equivalence |
Correlation spectra, electrochemical, microwave, Raman spectroscopy
### Receptors—exposure and effects
| Measurement | Technique |
|-------------|-----------|
| Humans and animals | Integrated exposure |
| Visibility | Light scatter |
| Transmission | Transmissionometer, Lidar |
| Odor | |
| Material degradation (i.e. corrosion) | Soiling, erosion |
Dosimetry, real-time integrator
Nephelometer (volume scatter)
Optical lightscatter
### Transport and transformation
| Measurement | Technique |
|-------------|-----------|
| Dispersion and diffusion | Gas and aerosol tracers |
| Transformation | Gas tracers |
| Atmospheric stability | Vertical temperature profile |
| Three-dimensional wind field | Real-time particle air velocity |
| Boundary-layer winds and turbulences | Vertical profile |
Lidar, also methods as for gases and aerosols
As above
Millimeter-wave radiometry
Two-doppler radars
where from $200 to $6,000 or more, a complete system includes sensors for all possible pollutants in an area, plus those for assessing meteorological factors including humidity, wind direction and speed, temperature, solar radiation, and smokeshade—the amount of interference with sunlight.
Is a system of individual sensors for each parameter the best way to measure air pollutants? No, says Bob Ryder, a Packard-Bell engineer who was instrumental in setting up the monitoring system in New York City. “Basic sensors are lagging in development. The instruments are the weak link” in the monitoring system, he says, and “the hardware technology is just not as developed as the data processing state of the art.” What should be developed, Ryder suggests, is a more general-purpose sensor—striving toward a “universal instrument”—to bring sensors into line with computer technology.
A “universal sensor” probably could be developed through an advanced mass spectrometer or gas chromatograph, says Ryder, to cover the whole range of pollutants. The hangup—there’s no money to support the basic study work, he says. Perhaps the answer would be a Federal “thou-shalt-not-pollute-the-air” law, with probable research and development funds accompanying the enforcing legislation.
At least some development of a “universal” pollution analyzer is progressing. For example, Alan Bessen, formerly of the Ford Instrument division of the Sperry Rand Corp., has been working on a prototype pollution detector that uses an optical interferometer and identifies several contaminants through logic and parallel active filters that enable it to distinguish among pollutants with similar spectra [Electronics, Nov. 11, 1968, p. 112].
But at TRW’s Resources Research Inc., Frederic Hamburg, senior project engineer for the Allegheny County system, says a universal sensor is not “on the near horizon.” He suggests that a combination of sensing instruments, with successive screening devices for each contaminant, could be developed, perhaps with “some sort of an infrared technique.” What this would
125°C HOT
Nobody can make a 125°C capacitor this small with Polystyrene.
Naturally, this one is a Kemet® Flat-Kap with Parylene.
And small size isn't the only important advantage you can design into circuits that absolutely require close tolerances, repeatable temperature coefficients, and rigid capacitance stability. Union Carbide's Parylene not only retains the low dissipation factor and high insulation resistance of Polystyrene, but it has a melting point above 400°C, is impervious to solvents up to 200°C, and can be deposited on high purity aluminum foil as an ultra-thin, continuous, pinhole-free film. The advantages to you are clearly shown in the following comparison of specifications.
| | KEMET FLAT-KAP | POLYSTYRENE |
|----------------------|---------------------------------|---------------------------|
| Temperature | -55°C to +125°C | -55°C to +85°C |
| Volume (.1μF 50VDC) | .072 in³ | .280 in³ |
| Temperature Coefficient | -200PPM | -120PPM |
| Dissipation Factor | <.15% | <.10% |
| Insulation Resistance | 25°C: 10⁶ Meg. | 25°C: 10⁶ Meg. |
| | 85°C: 10⁵ Meg. | 85°C: 10⁵ Meg. |
| | 125°C: 10⁴ Meg. | 125°C: N/A |
| Dielectric Absorption | 25°C: .03% | 25°C: N/A |
| | 85°C: .06% | 85°C: .02% |
| | 125°C: .20% | 125°C: .08% |
| Retrace and Drift | ±0.1% | ±0.1% |
| Solvent Resistance | Excellent | Poor |
Available off-the-shelf. Capacitance ranges from .001 μF to 1.0 μF at 50 VDC. Standard or custom tolerances. For complete information, see your local Union Carbide representative, or write to P.O. Box 5928, Greenville, S.C. 29606.
COMPONENTS DEPARTMENT
MATERIALS SYSTEMS DIVISION
P.O. Box 5928, Greenville, South Carolina 29606. Telephone (803) 271-1717. TWX 910-293-3202.
Smog politics
On Capitol Hill, where expert testimony has predicted continued air pollution causing anything from alternate flood and drought seasons to another Ice Age, an environmental quality bill was "legislated from a lack of knowledge and a lack of understanding" of environmental problems facing society, says Leon Billings, legislative aide for Sen. Edmund Muskie's subcommittee on air and water pollution. The legislation isn't action-oriented—it won't provide any R&D funds—but only sets procedure for coordination of programs in the Executive Office of the President.
One of the jobs to be given to the proposed Commission on Environmental Quality, to function something like the Office of Science and Technology, is preconsidering environmental effects of Federal activities, especially in military programs. Will this impede technology? Billings says "Where technology is not compatible with the human environment, it should be impeded. Is the SST or ABM an example of the growth of technology?"
Billings says no existing Federal agency can handle a crash program on cleaning up the air, and if funds are appropriated to do it, a new NASA-type agency would have to be created. He thinks $100 billion should be spent over the next 10-15 years, and "that's not a final offer."
Government spending is not likely to approach anything near Billings' $100 billion figure, though, as Napca's total spending estimates for the next five years average about $255 million a year. In fiscal 1969, Napca's budget was $122.9 million, with $47 million for R&D and $75.9 million for abatement and control. For fiscal 1970, Napca wants $79 million for R&D, but Senate-House conferees still are arguing about what they will get. The House authorized a meager $18 million, while the Senate wanted $90 million. By 1974 Napca expects its budget to increase to an estimated $455 million, with $174 million for R&D.
Local expenditures don't add much to the total spent by the Federal government on air pollution control. State expenditures, including Federal grant support, are running about $17.6 million a year, Napca says, with the 142 local agencies spending about $30 million annually.
Adding all government spending to an EIA estimate of $700-$800 million spent each year by all industry, expenditures come nowhere near the damage caused by air pollution. EIA says costs of air pollution run about $11 billion a year. These generally are attributable to decreased property values, damage to crops and plants, and damage to structures and materials.
amount to, he says, is merely a "universal box" containing the various individual sensing techniques, but registering data collectively. Until then, in a telemetry system each sensor must be amplified to the same level of output, somewhere between 0-500 millivolts. A sensor's analog signal also must be digitized—most are not equipped with digitizing equipment—and then, actual transmission of the signals over telephone line, hard wire, microwave, or F-M radio, to the regional central data unit would be relatively simple, says Hamburg.
Most industry and government experts agree on the need for advanced sensor instrumentation. "Instrument manufacturers haven't done the kind of research and development the field needs," and "just haven't been willing to bear the cost of developing the instruments," complains Robert L. Chass, Los Angeles County's chief deputy air pollution control officer. Instrument problems, he says, include lack of standardization, low delivery, calibration and adjustment difficulties, and overpricing. The latter is the most important factor for the cities, which can pay the R&D costs the Federal Government can. Chass says times have changed since 1950, when "we paid through the nose and subsidized the development of instrumentation. Now, when a manufacturer wants us to pay $50,000 for a $5,000 instrument, we tell them forget it."
One dissenter from the advanced-sensor movement is Victor Bellino, New York City air pollution control engineer. "There's kinds of talk about advanced instrumentation to detect and measure pollution," he asserts, "but you really don't need anything m..."
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than what we've got right now. It's like killing a mosquito with a baseball bat."
**Status quo.** No matter what the criticisms, until some money is made available for development of advanced sensors, or until someone stumbles on a simpler and cheaper way to measure pollutants, monitoring systems will make do with today's technology jumble—a specific measuring technique for each polluting factor.
**The lineup**
Some of the common analysis methods are:
- **Soiling tape samplers,** which measure the soiling effects of particulates in the air, or haze, by means of a photosensitive "electric eye" that optically reads the amount of light registered on a white tape, across which air is sucked. Unit of measurement is a rud, for reflectance units of dirt. Tape samplers vary in price with complexity. Examples are Gelman Instruments' paper tape densitometer and phototape sampler-recorder. The densitometer costs about $185, and measures dust and hydrogen sulfide by photoelectric evaluation of light transmission. Calibration is in optical density and percentage light transmission units. The more advanced phototape sampler, with added recorder providing 30-day permanent records, brings the price to $985. The phototape sampler-recorder reads dust as it collects on the tape, eliminating errors due to variations in paper tape opacity, Gelman says. The optional alarm, which warns if contamination exceeds normal operating levels, would bring it up to $1,175.
- **Coulometry.** Measures sulfur dioxide by combination with bromine which generates a current equal to the rate of sulfur dioxide absorption. The bromine current is controlled by a feedback amplifying system. N. V. Philips' Glociampen-fabriken has developed a coulometric monitor for the Dutch government's Rijnmond air sampling network in the Netherlands.
- **Ultraviolet spectrometry.** Barringer Research of Toronto has a correlation spectrometer with a photomultiplier tube that measures the spectra of sulfur dioxide, nitrogen dioxide, ammonia, and halogens. For example, the device compares sulfur dioxide with a reference spectrum of between 2,800-3,100 angstroms. Principle of operation is that almost every gas absorbs radiation in the ultraviolet portion of the spectrum, producing a specific absorption spectrum for each gas which can be measured.
- **Infrared spectrometry.** Sulfur dioxide, carbon monoxide, and hydrocarbons are measured by drawing polluted air into a sample chamber with an ir light source at one end and an infrared detector at the other, registering the absorption of the light beam passing through the sample.
- **Gas chromatography.** An example of this technique is Melpar, Inc.'s flame photometric detector, called the FPD-100, which measures sulfur-containing compounds, hydrocarbons, and phosphorus by their emissions when burned in a hydrogen-rich flame. Sulfur in the system produces a 394-millimicron band, measured by a flame photometer. By changing to a 526-μ interference filter, phosphorous compounds, such as in pesticides, can be analyzed, Melpar says. A complete sulfur analyzer contains four subsystems: the FPD, photometer, gas flow system, and power supplies. Melpar says for operation it needs a hydrogen gas supply and 120-volt, 60-hz input, and will measure from 0.01 to 1 part per million in less than one second real-time response. Melpar says the instrument can give a concurrent readout of hydrocarbons, sulfur dioxide and phosphorous, but since the technique eliminates non-sulfur-containing compounds, it could not be adapted to measurement of all pollutants. One reason, the company says, is that many organic compounds will have wavelengths near that of sulfur dioxide, causing interference in the compound's reading. The price list ranges from $3,250 up to $6,350.
**More questions.** If all these techniques could be combined into an inexpensive universal, self-digitizing sensor, it would not be the end of the national sampling network's problems. Napca's Dr. Kay Jones, a special assistant to the commissioner, says questions facing sampling network developers include the physical location of samplers and sensors, at what height they should be installed, and the numControl region roll call
Napca plans to designate 85 metropolitan areas as air quality control regions, which together make up 84% of the nation's estimated metropolitan population as of 1965. After formal designation, the regions will begin to implement air quality standards, and must submit their plans to Napca. Napca will provide these areas with technical assistance in developing air quality surveillance networks, meteorological studies, data processing, development of laws and regulations, and efforts to devise solutions to specific technical problems.
The 85 areas designated or under consideration and their planned starting dates for implementation of air quality standards are:
By July 1970: Washington, New York, Chicago, Philadelphia, Denver, Los Angeles, St. Louis, Boston, Cincinnati, San Francisco, Cleveland, Pittsburgh, Buffalo, N.Y., Kansas City, Mo.
By January 1971: Detroit, Baltimore, Hartford, Conn., Indianapolis, Ind., Minneapolis-St. Paul, Minn., Milwaukee, Providence, R.I., Seattle-Tacoma, Wash., Louisville, Ky., Dayton, Ohio, Phoenix, Ariz., Houston, Dallas-Fort Worth, San Antonio, Tex., Birmingham, Ala., Toledo, Ohio, Steubenville, Ohio, Chattanooga, Tenn.
By July 1971: Albany, N.Y., Albuquerque, N.M., Allentown, Pa., Atlanta, Bakersfield, Calif., Beaumont-Port Arthur, Tex., Binghamton, N.Y., Canton-Akron, Ohio, Charlotte, N.C., Charleston, S.C., Columbia, S.C., Columbus, Ohio, Corpus Christi, Tex., Davenport, Iowa, Des Moines, Iowa, Duluth-Superior, Minn.
Also, El Paso, Tex., Flint, Mich., Fresno, Calif., Grand Rapids, Mich., Greensboro-High Point-Winston-Salem, N.C., Jacksonville, Fla., Johnstown, Pa., Knoxville, Tenn., Little Rock, Ark., Memphis, Tenn., Miami, Fla., Mobile, Ala.
Also, Nashville, Tenn., New Orleans, Norfolk, Va., Oklahoma City, Omaha, Neb., Orlando, Fla., Peoria, Ill., Portland, Ore., Richmond, Va., Rochester, N.Y.
Also, Sacramento, Calif., Salt Lake City, Utah, San Bernardino, Calif., San Diego, Calif., Shreveport, La., South Bend, Ind., Stockton, Calif., Syracuse, N.Y., Tampa, Fla., Tucson, Ariz., Tulsa, Okla., Wichita, Kan., Wilkes-Barre, Pa., Worcester, Mass., York-Harrisburg-Reading-Lancaster, Pa.
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Ending the Vietnam War would benefit air pollution control programs in two ways, the Electronic Industries Association says in a report on major issues affecting the defense industry. The first and most obvious benefit is larger appropriations for all domestic programs. The second benefit is the release of much pertinent military technologies to the pollution control area—among them orbital, infrared, and laser sensors, information handling systems, meteorology, life support systems, aerospace medicine, and atomic energy.
Perhaps there is an easier answer to the sensor problem, says TRW's Fred Hamburg—"The human nose is the most sensitive sensor of all."
Whether nasal or solid state, what happens when a dangerous level of pollution is measured? Napca's Jones says that in an emergency episode, most likely to occur during the "smog season" of October-November, "you must shut down industry, stop traffic, and
Close Confinement—Especially Here!
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How would you double the power output of a GaAs infrared injection laser diode—and halve the threshold current of previous lasers—and improve the uniformity of laser emission—all at room temperature?
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Internal absorption is reduced substantially. This means you get greater power output and lower drive current.
RCA's new line of Close Confinement laser diodes is offered in the single chip construction that's most suitable for simple optic systems and driving circuits. These "CC" lasers feature a stud mount-coaxial lead package.
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Forgive us our little deception. What you read here is in no sense a guide to the rare earths.
Our few words are rather a guide to the guide. They are meant to direct you to the proper source(s) that will reveal the potential of that remarkable class of chemical elements, the rare earths.
Which are those elements from lanthanum (atomic number 57) to lutetium (atomic number 71), with the addition of yttrium and thorium.
Hardly sound like they would be interesting to the intelligent electronic engineer, do they? Well, for some excellent reasons, the rare earths are not only interesting, but exciting, promising, and downright stimulating.
The interest in rare earths comes from their unique electrochemical properties. That leads to excitement over their use as capacitors, thermoelectrics, lighting and CRT phosphors, and more. The promise is partially illustrated by the rare earth's semi- and superconductive properties.
The stimulation, the motivation to do more with the rare earths comes from the fact that what is known about them is far greater than what has been done with them.
And if someone is to do great things with them—why not you? All you'll need is time, conviction, and a guide. Who could, quite happily, be one of your own colleagues. A chemist, in your own company.
Ask the willing and able chemist to equip you for an excursion into rare-earth territory. Ask us too. With our company and your chemist as guides, you may find an electronic Eldorado in the rare earths.
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Teach in. Public education in "adverse health effects of a polluted environment" is needed, says EIA. Jones's reply is that the electronics/aerospace industries need to be educated in air pollution before they can do any productive research. With this productive research, it will take three to five years to abate all levels of pollution, says Jones. "Spend enough money and you can do it," he says, but even if Federal air pollution research spending were increased, industry is not "competent to handle the program." Lack of qualified personnel is one major factor. Napca itself is short on experts, Jones says, and does not have the people to monitor Napca's research programs—most are contracted out.
Jones estimates the manpower deficit at 5,000 professionals, including engineers, chemists, meteorologists, and technicians. Should these 5,000 pollution experts suddenly appear, Jones says, they would be used to fill vacancies existing in virtually every state and local air pollution agency. The number of professionals needed will grow with the problem, and this estimate doesn't include the needs of industry, he says.
Jones ascribes the deficit to an "educational dilemma"—universities and colleges produce good environmental engineers only from their graduate schools. Courses in environmental engineering should be included in the undergraduate curriculum, and Napca is working with some universities, according to Jones, to determine what manpower development programs are feasible—whether Federal or state government agencies should undertake training, or whether the job can best be done within the colleges or universities.
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Electronics | December 8, 1969
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Practical research gains emphasis at NASA's ERC
While keeping its hand in pure research, the Cambridge-based center has taken on goal-oriented projects such as an automatic landing system
By James Brinton
Electronics staff
A shift in emphasis has been taking place amid the academic atmosphere at NASA's Electronic Research Center (ERC). Perhaps due to the efforts of James C. Elms, who became its director three years ago, the Cambridge-based organization is concentrating increasingly on advanced technology and short-term, practical, programs. However, all this has not affected its theoretical work which still remains substantial.
Current programs, many of which promise payoffs in the near future, include L-band navigational satellite studies, flight experiments and parametric studies for vertical/short take-off and landing aircraft (V/STOL) avionics, and work on automatic landing systems. And ERC will function as the National Aeronautics and Space Administration's lead center for the integrated electronics systems to be used in the projected space shuttle—the plane-like orbital vehicle.
The V/STOL program—about two years old—should yield data on the accuracy of various inertial guidance approaches. It will also include tradeoff studies on how accuracy may vary with the number of postional updates from ground radar, and on various types of data processors and inertial references, comparing such features as cost and reliability. The program should also show how on-board computing could cut pilot tasks and whether total automatic control is feasible.
Another program, started last spring, says Robert W. Wedan, chief of technical programs at the center, aims at combining on-board computers, inertial references, and some radio navigational aids into an automatic landing system for conventional jet aircraft. According to Wedan, the program would collect the data needed to build an automatic landing system, which might work even at airports with few radars and navigation aids.
A secondary goal is helping industry get the most out of the computers and inertial platforms that will go aboard upcoming airliners. "We hope not only to help control aircraft during the approach, but to help solve terminal congestion problems, too. Accurate position data from navaids, gyros, and onboard computers could help clean up the traffic control problem in terminal and holding areas."
ERC and the Federal Aviation Administration will begin testing the new automatic lander aboard a Convair 880 next spring, and first reports should be published sometime in 1970.
Simulated shuttle. The same 880 may become a flying testbed where automatic techniques could be developed for landing a space shuttle at an air field. Wedan says that it should be possible to use the aircraft to simulate the flight characteristics of the shuttle, and with data from the landing program, map out such an automatic landing system for the shuttle. Wedan says that while the ERC is working with an automated system, the Ames Research Center will study shuttle landings with a man in the landing control loop.
Elms, Wedan, and Gene G. Mannella, director of advanced technology at the ERC, all are enthusiastic about ERC's space shuttle role. Elms figures that the benefits to the shuttle from electronics (and ERC) could be great, "perhaps even the shuttle's end cost could be cut by electronic aids to navigation and control."
"The V/STOL and other avionics programs give us a structure within which we can work with advanced techniques," adds Wedan. An example is the laser gyro slated to play a part, perhaps next year, in the V/STOL avionics program.
Wedan adds that when devices like the gyro and like the redundant sensor strapdown inertial platform
Charting a course for research
ERC's original charter, drafted in 1963 and 1964, gave the center a spectrum of potential activities ranging from the most abstruse solid state physics to highly practical, goal oriented work. But in the early years most of ERC's activities had the word research attached to their descriptions.
Many of the changes at ERC occurred after James C. Elms arrived as director. Opinions diverge about his impact on ERC's reorganization and its swing toward goal oriented efforts.
Programmed revolution. Elms appears to have studied the center's operations for almost 18 months before taking drastic action—and then only after what one ERC staffer calls "about six months of agonizing over the problem with his key staff members."
When Elms arrived, ERC's organization chart looked as if it had grown task by task instead of by plan. About half a dozen directors reported immediately to him, and some had conflicting or overlapping responsibilities.
Advisory role. Within this framework, ERC conducts—and defines—its programs a little like the old National Advisory Committee for Aeronautics used to, according to Elms. "For example, the NACA used to supply wind tunnel data on new airfoils, cowl structures, flaps, and so on—information needed to build better planes and to predict the performance of proposed models. ERC will do much the same thing in electronics, doing the work that individual companies can't afford, or centralizing efforts that might be wastefully duplicated by many. In the long run, ERC will be a reservoir of knowledge for makers and users of aerospace electronics." Thus, ERC won't become a source of heavy funding for aerospace firms.
The system was complex, but it worked, even though most agreed it could have been more efficient. But it might not have worked much longer: "There's a three way balance between directed research, undirected research, and goal oriented efforts," says Elms, and implies that the balance was hard to maintain under the old rules.
"If I saw a research organization so locked in its ivory tower that no usable ideas were emerging, I'd be concerned. On the other hand, I would worry also about such ideas rising up to swallow the research man at the next desk, involving him in program management which he neither can enjoy nor perform as well as his own work." And under the old system this might have happened.
Wedan says, "Nobody has the wisdom to program pure research ten years out. That's why work on near-term systems is valuable," it gives us an idea of what may be needed; it supplies some benchmarks for future research."
But ERC has the advance technology directorate as a buffer between technical programs and research. "Without some insulation around the research side," says Elms, "you run the risk of over-direction—prejudgements can stifle the flow of ideas a research organization should generate."
Elm's reorganization of the center into three directorates thus was his solution to the touchy problem of guided versus unguided research. "We needed a middle route," he says. "While some guidance helps, one can't look at each effort and ask what good will it be to NASA in 1980, so we've set up things so that we can aim research slightly, leaving room for intuition."
are considered, the respective roles of the technical program and the advanced technology directorates merge. "We gain systems experience with high technology items like laser gyros, and at the same time spot areas that need work—say, lifetime, in this case—and pass the word along to Gene Manella's area."
The charter granted to Manella includes component development and, in addition, runs a gamut from semiconductor reliability studies, large scale integration test techniques, to microwave, millimeter wave, and laser communications studies. It covers work as esoteric as implantable biomedical sensor development and as prosaic as wafer scribing techniques for integrated circuits.
Manella's and Wedan's directorates share ERC's space shuttle
role. Manella states that he expects ERC to get a "pronounced set of responsibilities in the shuttle program," and is especially interested in applying the results of his directorate's semiconductor reliability studies to the craft.
For the shuttle, Manella envisions a total "data system," and not just computational power. It would include critical systems monitoring, some digital processing of data at its source, display of critical parameters, information storage, and equipment designed to ease the shuttle pilot's workload. Elms sees electronic stability augmentation gear in the latter category.
Summing up the advanced technology section's shuttle priorities Manella says: "Foremost is LSI screening and testing; there will be large amounts of digital gear distributed about the craft, and LSI will be the way to go—but so far screening and testing can't provide the needed reliability."
"Second," he says, "are communications studies—a body of work running from tradeoff studies on the antennas for the shuttle to plasma penetration for communication during reentry."
"Then come biotechnological efforts—an interface between space medicine and electronics," he says, "and finally, power conditioning."
As a result, ERC now is working with the Jet Propulsion Laboratory on microelectronics reliability of a spacecraft, which he calls "the prototype unmanned spacecraft of the future with ultra-high reliability and a long operational lifetime."
With the Lewis Center, Manella's men are working on control electronics for an advanced Brayton cycle power system which may supply future spacecraft with onboard power.
For NASA as a whole, the advanced technology directorate is designing and specifying a data bank holding microelectronic reliability information. Another center probably will run the bank, "but no one knows better than ERC what should go into it," says Manella.
What could be first
Meanwhile, in Wedan's directorate, may lie the germ of a program that could result in prototype hardware—not just data. It's in the
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**Make your own break.**
You can take a lot of the chance out of your future by including yourself in the Electronics Manpower Register.
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satellite programs office, headed by Leo M. Keane.
Keane's office is presently trying to find its way out of the hole dug for it by the spinning ATS-5 satellite [Electronics, Oct. 27, p. 53]. But Keane looks forward to a time when ERC's experiments will ride their own satellites.
If this comes to pass, the first ERC satellite would aid development of a mid-Atlantic air traffic control, navigation, and communications system. Keane feels that ERC is the natural center for such an effort.
"We began concentrating on this problem area in 1965", he says. "We foresaw the built-in inaccuracies of air navigation over water, and the forecast reduction in spacing between planes as traffic increased—a bad condition. The spacings were narrowed in 1966—then reestablished after an outcry from pilots about safety."
"We figured that the solution lay in satellites enabling tight navigation, surveillance, and communications," he says. "After projecting the problems, we looked for the men to solve the problem with electronics."
When staffed up, the satellite programs office started exploring proposed systems and tradeoffs. It contracted with TRW, Philco, and RCA for systems studies, with Boeing for a study relating navigational satellites to the supersonic transport, and with others on smaller facets of the problem.
Now Keane figures ERC is NASA's reservoir of navigational satellite talent, and while an operational system probably will be another's responsibility, ERC will have decided a lot of its characteristics, and flown experimental models in the process.
Beyond Navsats, Keane sees geodesy, direct broadcast, and earth resources satellites as future missions for ERC.
Elms says that such satellite programs won't be ERC's province until he is satisfied that the center has "the necessary depth in its research organization, enough capability in the advanced technology directorate, and the managerial talent available in technical programs to handle the job. But it's just about there," he says. "We can begin considering these things now."
BIG ADVANCES Come in Small Packages
Now... Reeves has developed the highly accurate subminiature heaterless Mini-RIG Integrating Gyro... and the full capability for packaging it as a self-contained sub-system.
The Mini-RIG development represents a major advance in reliability, cost reduction and performance, in the field of subminiature high-volume inertial sensors.
Only one inch by two inches in size, the Mini-RIG can stabilize short-mission-time inertial platforms or serve as an inertial sensor in strap-down applications. Automated gyro assembly techniques have reduced final assembly time from the normal one month to one work-day! This, in turn, has minimized the possibility of contamination and maximizes reliability. Reeves has full packaging capability, too. For example, the illustration shows a typical compact three axis rate package especially designed for aircraft missile and satellite system applications. It is system-engineered to provide the necessary accuracy and to meet the most stringent environmental requirements of outer space. Within its 30 cubic inch volume are three Mini-RIG Rate integrating gyros plus all necessary electronic modules to operate the entire package.
What are your special needs for subminiature gyro packages and sub-systems? Reeves can meet them! Our engineers working within the Total Systems Concept, will isolate the problem areas and provide the most practical solutions for them.
For complete data and application information call (516) 746-8100 ext. 540, or write Component Division, Reeves Instrument, Garden City, N.Y. 11530.
NEW! REEVES Mini-RIG® Integrating Gyro.
Reeves® INSTRUMENT DIVISION DCA DYNAMICS CORPORATION OF AMERICA / GARDEN CITY, NEW YORK 11530
Megabit PCM Synchronizer only from DCS
Up to now high bit rate PCM synchronizers were not really high. The DCS Model 4810 now offers discrete bit detection from 1 to 5 megabits. A breakthrough for high bit rate applications requiring regeneration of clean data with coherent clock from noisy, perturbed PCM serial bit streams.
Features
- Bit rates to 5 Megabits NRZ
- Accepts input codes RZ, NRZ-L, M, S, Bi-φ-L, M, S
- Superior clock restoration and sync circuits
- Integrate and reset bit detection
Applications
- High Speed Telemetry
- High Frequency Transient Data
- Multiple Digital Voice/Video Transmissions
- High Speed Digital Data Transmissions
Model 4810 . . . it's available now!
Call your local DCS Sales Engineering Representative or write today for Application/Design Bulletin AD4810.
Data-Control Systems, Inc.
Commerce Drive
Danbury, Conn. 06810
Tel: 203-743-9241
TWX: 710-456-2596
DATA-CONTROL SYSTEMS, INC.
So on the third go-around we had a circuit our supplier said he could make because they were getting this new equipment...
Only it didn't test too well but they could fix that with some new stuff they were getting...
And with their expansion program they'd soon have capacity to make enough circuits in time for our revised revised revised schedule...
At revised revised revised cost—
That's what they said...
So, I'm celebrating that along with my thirty-third birthday.
Aerojet microcircuits solve problems. First time around.
We've already done our homework on our own in-house program. Seven years of it. And we've already invested our own money in the most advanced, automated equipment. Millions of dollars worth. So when we say we're ready to tackle your problems in thin-film microcircuits...we're really ready.
The benefits to you start immediately because you don't need to compromise your design. Aerojet thin-film circuits can be built to meet an incredible range of specifications. We know components and can offer you many that are unobtainable elsewhere because we developed them ourselves. You get exactly what you need. Fast.
It's in actual production that Aerojet's investment in ahead-of-the-field equipment pays off. We're automated to the highest possible degree. This gives us big advantages in precision, speed and constant traceability. Defects get caught early. And costs come down. And schedules are met! For example, the largest of our six vacuum deposition chambers can produce 10,000 circuits in a single production cycle. Automated machines and computers can test 100 circuits in less than a minute...measuring and storing component values. A computer "knows" each individual circuit and can trace it through the entire process.
But there's much more. You almost need to see it to believe it (by all means come and take a look or ask to see our movie).
Aerojet's aerospace projects demand the utmost in reliable, sophisticated microcircuit technology. We can apply our experience to your problems...in depth, in quantity and at highly competitive prices.
So get us involved early and get results the first time around. Contact the Aerojet field office in your area, or: Aerojet Microelectronics, Electronics Division, 1100 West Hollyvale Street, Azusa, California 91702. Phone (213) 334-6211, Extension 6561.
NPN-PNP pairs to 60 amps
TRUE NPN-PNP PLANAR POWER TRANSISTOR COMPLEMENTS IN RATINGS FROM 1 TO 60 AMPERES..... NOW, FROM TRANSITRON
More Complementary Pairs — More NPN-PNP complements than any other manufacturer. Pairs available in all ratings up to 60 Amps.
Wider Selection — Well over a thousand silicon planar types — both high power and high voltage... all available for fast delivery. NPN and PNP types with power dissipation 5 to 300 watts; collector current 1 to 100 amps; $BV_{CEO}$ (NPN) to 200 V; $BV_{CEO}$ (PNP) to 140 V; high-voltage NPN types with $BV_{CEO}$ to 400 V.
Single-chip reliability — Single-chip construction provides greater reliability than standard multiple-chip designs.
More Packaging Flexibility — Standard packages include TO-3, TO-5, TO-59, TO-61, TO-63, TO-66 and TO-114. (TO-5, TO-59 and TO-61 available in isolated cases.) High power types available in smaller-than-usual packages, providing important space and weight savings.
Proved Performance — Transitron power transistors are in use in many military and aerospace programs where reliability and performance are critical.
| TYPICAL POWER TRANSISTORS | HIGH VOLTAGE TRANSISTORS |
|---------------------------|--------------------------|
| Typical NPN type | Typical Complementary PNP type | Package | Maximum Power Dissipation (Watts) | $BV_{CEO}$ (Volts) | $I_c$ (max) (Amps) | Typical NPN type | Package | (Watts) Maximum Power Dissipation | $BV_{CEO}$ (Volts) | $I_c$ (max) (Amps) |
| ST114031 | ST40003 | TO-63 | 300 | 100 | 60 | ST18007 | TO-63 | 150 | 400 | 20 |
| 2N6250 | — | TO-114 | 300 | 100 | 90 | ST18009 | TO-63 | 150 | 200 | 20 |
| ST115044 | ST54005 | TO-63 | 187 | 100 | 40 | ST18011 | TO-61 | 75 | 400 | 10 |
| ST17061 | ST10008 | TO-63 | 150 | 100 | 30 | ST18013 | TO-61 | 75 | 200 | 10 |
| ST86021 | — | TO-61 | 75 | 100 | 5 | ST18015 | TO-59 | 45 | 400 | 5 |
| ST91058 | ST76019 | TO-59 | 60 | 100 | 10 | ST18017 | TO-59 | 45 | 200 | 5 |
| ST91086 | ST72037 | TO-59 | 45 | 100 | 5 | — | — | — | — | — |
| ST91055 | ST72040 | TO-5 | 15 | 100 | 5 | — | — | — | — | — |
| ST74050 | ST75005 | TO-5 | 11 | 100 | 2 | — | — | — | — | — |
| ST84028 | — | TO-5 | 7.5 | 140 | 1 | — | — | — | — | — |
Want more information on Transitron power transistors? Call today for complete data and specifications. Specify types of particular interest.
Transitron electronic corporation
1st Albion Street Wakefield, Massachusetts 01880
YOU ARE NOW ENTERING
THE
MULTILAYER CIRCUIT CENTER
OF THE U.S.A.
CINCH-GRAPHIK
POP. 740
Cinch-Graphik is a volume producer of all types of printed circuits, but multilayer boards are our specialty. We produce them with the newest and most advanced automated equipment.
For information on Cinch-Graphik, write for our new Capabilities Brochure . . . available from any Cinch Electronic Group District office or by writing Cinch-Graphik, 200 South Turnbull Canyon Drive, City of Industry, California. 91744, Phone (213) 333-1201.
CG-7001
CINCH-GRAPHIK
DIVISION OF UNITED-CARR
CINCH MANUFACTURING, CINCH-GRAPHIK, CINCH-MONADNOCK AND CINCH-NULINE DIVISIONS OF UNITED-CARR INC. A SUBSIDIARY OF TRW INC
Signal Innovator
SG-1000
Uniqueness in Signal Generation
Singer has advanced the state-of-the-art with a signal generator so New it almost requires a new name.
The Model SG-1000 obsoletes every other signal generator within its frequency range... singly or in combination. Its performance is so superior that no other instrument available can equal or even approach it.
That's why we call it the Innovator.
Here's why you'll call it unbelievable...
- Digital readout of frequency.
- Broadband frequency coverage from 61kHz to 512MHz (to 1024MHz with a simple passive doubler) in a small 5¼" high package.
- Exceptional frequency accuracy and resolution... typically 0.005%... and no human readout errors.
- Full modulation capability AM □ FM □ Pulse □ Video □ Internal 1,000Hz modulation □... and combinations of the above.
- Output levels from +20dBm to −146dBm.
- An automatically leveled output... within ± 0.5dB over the entire frequency range.
- Use it as a 2MHz counter for counting modulating signals or rep rates directly.
- A spectrally pure output signal approaching that of a crystal... extremely low residual and incidental FM.
- Total elimination of dial tracking errors.
- The availability of BCD frequency output and a programmable attenuator to assure system integration.
This is only part of the SG-1000 story. A more complete technical description is available in Singer Application/Data Bulletin SG-10 upon request.
For additional information contact your local Singer Representative, or write or call —
The Singer Company
Instrumentation Division
915 Pembroke Street
Bridgeport, Conn. 06608.
203-366-3201.
In Europe contact: Singer Sewing Machine Company, Instrumentation Division, P.O. Box 301, 8034 Zurich, Switzerland, Telephone: (051) 47 25 10 TWX 710-453-3483
SINGER
INSTRUMENTATION
Circle 158 on reader service card
When the chips are down, they ought to be on our IC packages.
It's not just because we want to sell our products (which we do).
Or because we're proud of them (which we are).
We think you should buy our IC packages for a number of reasons.
First of all, we make all our own parts. (Many of our competitors must buy frames and ceramics for assembly.)
We assemble the packages ourselves.
We test our packages for insulation, thermal shock resistance, hermeticity, lack of internal shorts, excess glass-ceramic flow.
And if one of our growing line of packages doesn't fit your requirements, we'll design one that will.
One more thing. Just because you're getting the best IC package money can buy, don't think it takes a lot of money. In fact, ours probably costs less than any others.
Isn't that where you should put your chips?
Sylvania Metals & Chemicals, Parts Division,
Warren, Pennsylvania 16365.
SYLVANIA
GENERAL TELEPHONE & ELECTRONICS
SOME PEOPLE CONSIDER THIS THE MOST TROUBLESOME TEMPERATURE/HUMIDITY CHAMBER EVER BUILT
(THEY'RE OUR COMPETITORS)
You'd feel the same way if you were trying to sell against what is acknowledged as the finest unit of its kind on the market. Put yourself in their place.
First off, you'd be probably trying to peddle an outmoded on-off type control. Not only is performance poor, but you'd be saddled with explaining how a maze of complicated mechanical linkages between the programmer and recorder can possibly work. This is doubly hard because it doesn't work — unless someone attends it constantly.
(Blue M uses the patented POWER-O-MATIC 60® Saturable Reactor Proportioning Control System. It provides unquestionably the finest performance, yet is so simple to run that a child can operate it.)
Then there's the compressor. You'd be selling a system that slams on and cuts off, causing a noticeable variation in chamber conditions every time. And you'd have to try to explain high maintenance.
(Blue M's compressor operates continuously for longer life. Performance is geared exactly to the operating temperature needs of the chamber at all times.)
Almost every chamber manufacturer has his own water system: spray, steam injection, etc. They do get water into the chamber, but often it's in the form of mist or drops — hardly humidity. And every one needs constant attention.
(Imagine trying to sell one of them against Blue M's reliable solid-state water leveling system and exclusive vapor-pressure system.)
And finally, there's construction. You would probably be selling a unit built to a price — skimpy, if not actually shoddy.
(Blue M Temperature/Humidity Chambers are built to last. They'll run for years, assuring the maximum number of tests per dollar invested. We even include an elapsed time meter to record the actual number of hours the cabinet operates. We haven't a thing to hide.)
But the biggest point you'd have to sell against is the fact that Blue M Temperature/Humidity Cabinets work as specified. They easily meet every current MIL Humidity Spec, for example, plus a host of even tougher industrial requirements. They've been designed to provide the lowest cost per test — all with a minimum of trouble and fuss to you. We're prepared to prove it with actual performance charts, operating data and demonstrations any time you say.
Blue M builds the finest temperature/humidity chambers in the country. We challenge anyone to show us (or try to sell you) a better one. For full information, write: Blue M Engineering Company, A Division of Blue M Electric Company, Corporate Headquarters, Blue Island, Ill. 60406.
$44,000,000
WILL BUY 1,000,000 TRIPPLETT 310 VOM'S
BUT YOU ONLY NEED ONE...AT $44.00 THAT'S A BARGAIN
1. HAND SIZE V-O-M WITH PROVISION FOR ATTACHING AC CLAMP-ON AMMETER.
2. 20,000 OHMS PER VOLT DC SENSITIVITY; 5,000 AC.
3. ONE SELECTOR SWITCH MINIMIZES CHANCE OF INCORRECT SETTINGS AND BURNOUTS.
310-C PLUS FEATURES
1. Hand size V-O-M with provision for attaching AC Clamp-on Ammeter.
2. 15,000 OHMS per volt AC sensitivity; (20,000 DC same as 310).
3. Single fully enclosed Lever Range Switch, plus DC Polarity Reversing.
MODELS 100 AND 100-C
Comprehensive test sets. Model 100 includes: Model 310 V-O-M, Model 10 Clamp-on Ammeter Adapter; Model 101 Line Separator; Model 379 Leather Case; Model 311 leads. ($83.20 Value Separate Unit Purchase Price.)
MODEL 100 — U.S.A. User Net .................. $78.00
MODEL 100-C — Same as above, but with Model 310-C, Net .................. $88.00
SELF-SHIELDED Bar-Ring instrument; permits checking in strong magnetic fields. FITTING INTERCHANGEABLE test prod tip into top of tester makes it the common probe, thereby freeing one hand. UNBREAKABLE plastic meter window. BANANA-TYPE JACKS—positive connection and long life.
Model 310—$44.00
Model 310-C—$56.00
Model 369 Leather Case—$4.20
All Prices are Suggested U.S.A. User Net, Subject to Change
THE WORLD'S MOST COMPLETE LINE OF V-O-M's • AVAILABLE FROM YOUR TRIPPLETT DISTRIBUTOR'S STOCK
TRIPPLETT ELECTRICAL INSTRUMENT COMPANY, BLUFFTON, OHIO 45817
Electronics | December 8, 1969
See Litton first for miniature K-Band magnetrons.
If your application involves missile guidance radar, beacons, airborne terrain-following radar, manpack radar, aircraft landing systems, transponders, fuzes, commercial weather avoidance radar or airborne doppler navigation radar — Litton offers you a complete line of miniature K-band magnetrons.
Our exceptionally broad line will fit into any system within all these applications and offers you unique performance characteristics. Qualities like low temperature coefficients, short warm-up time, very short pulse width capability, long life expectancy, and low RF interference. These features will ensure compatible operation in the most demanding K-band systems.
A few typical examples of our miniature line are given in the chart below. For full details contact: Electron Tube Division, 960 Industrial Road, San Carlos, Calif. 94070. Telephone (415) 591-8411.
| Tube Type | Minimum Peak Power (Kw) | Frequency Range | Tuning |
|-------------|-------------------------|--------------------------|----------------|
| L-5048 coaxial | 1.0 | 15,950-16,550 | Mechanical |
| L-5112 coaxial | 2.2 | 15,400-15,700 | Mechanical |
| L-5113 coaxial | 2.2 | 15,400-15,700 | Mechanical |
| L-5013 coaxial | 4.0 | 15,500-16,500 | Mechanical |
| L-5035 coaxial | 8.0 | 15,900-16,400 | Mechanical |
| L-3958A coaxial | 9.0 | 15,500 ± 85 | Fixed Frequency|
| L-3496A | 1.0 | 16,000-16,500 | Mechanical |
| L-5189 | 1.0 | 14,200 ± 150 | Fixed Frequency|
| L-4370 | 0.04 | 13,325 ± 30 | Fixed Frequency|
LITTON INDUSTRIES
ELECTRON TUBE DIVISION
Circle 162 on reader service card Circle 163 on reader service card →
This new UV Sensor will simplify your UV measurements...
and save a few bucks besides.
Not only do you save in the cost of equipment, you have a much simpler and smaller overall package for UV detection.
From the response curve you can see that these photoconductors are blind to visible light. Conductivity peaks at 3700Å and the sensors are highly efficient from 2450Å to 3900Å.
The basic sensor is available in two models, 7UV20 with a glass window and 7UV20-S with a sapphire window. Both models are packaged in a TO-5 can.
For complete information or for special assistance with your UV problems, write Clairex, 560 South Third Avenue, Mount Vernon, New York 10550.
CLAIREX ELECTRONICS
A DIVISION OF CLAIREX CORPORATION
New S. S. White system trims microelectronic hybrid resistors at 1,000 per hour...or more
If you’re into hybrid circuitry in a big way, or hope to be, our Model AT-701AR may be just what you need. It offers high capacity, accurate trims, high yield — or, just what you need to keep your customers and your comptroller happy.
Model AT-701AR is similar to our highly successful Model AT-701A, but with the addition of a rotary feeding system which lets operator load and unload substrates during the machine’s trimming cycle. Capacity is limited only by the manual dexterity of your operator.
Accuracy of the AT-701AR is guaranteed — within 0.5%. 0.1% is attainable with care and some sacrifice of speed. Trimming is monitored by a precision system of electronics featuring a four-wire Kelvin bridge, and tolerances may be programmed from ± 0.1% through ± 11%. (No use making them better than the specs require!)
But suppose the Model AT-701AR is too big or too small for you?
Call us anyway. If you can get by with something like 600 accurate trims an hour, we can offer you our Model AT-701A, to which you can add the turntable feature later. If you’re still experimenting, we have Model LAT-100 for breadboarding. It is accurate to 1% better, takes substrates up to 4 x 4 inches and sells for only $5,950. If you’re really big, there’s the Model AT-704A, a rotary-feed machine that trims four resistors simultaneously, monitors, and inspects them at the breathtaking rate of 4,000 per hour. And if that’s not fast enough for you, buy two.
All the S. S. White resistor trimming systems are based on the proven Airbrasive® method of removing resistance material which produces neither heat nor shock, does not alter the substrate.
Call 212-661-3320 to arrange for a live demonstration. Speak to Hal Skurnick or Don Davis. These same gentlemen will be demonstrating the Model AT-701AR and the Model LAT-100 at major electronics trade shows around the country, and if that’s not quick enough for you, we will arrange for you to visit our factory. We have also prepared an extensive technical bulletin on this equipment, called, rather cryptically, the “RT-14”, a copy of which is yours for the asking.
RT-14
Write to S. S. White Division, Pennwalt Corporation, Dept. R, 201 East 42nd Street, N.Y., N.Y. Tel.: 212-661-3320
New GLASKYD® 7100 FR an alkyd molding compound with the best wet electrical properties, flame, heat and arc resistance, both flexural and impact strength, dimensional stability, a fast molding cycle and economy.
all things considered, it’s the best connector material you can buy!
Room for improvement
General Electric’s TO-5² transistor-size sealed relays give you more room for increased power, improved performance.
We didn’t cut any corners on this high-reliability, transistor-size sealed relay. We left them on so there’d be more room for a more powerful magnet—2½ times more powerful.
This added power means this type 3SBS, 2PDT, 1 amp relay gives you higher contact forces, larger contact gaps, and greater overtravel to minimize mechanical shifts. Shifts which usually increase early-in-life failures.
Though there’s more room inside to give you all these advantages, the outside dimensions—top-to-bottom (.275") and side-to-side (.370")—are the same as any transistor-size relay.
So don’t cut corners on your next transistor-size relay application. Specify GE’s square Type 3SBS. For full details, write General Electric, Section 792-45, Schenectady, New York 12305.
GENERAL ELECTRIC
When it comes to Components and Avionic Assemblies
You Name It!
We have it or we'll make it
From the most basic rotating components to complex avionic assemblies, you can depend on Clifton quality, versatility and variety.
In synchros, what do you need in the way of accuracy, size, type, temperature, radiation or corrosion resistance, terminals or leads, double ended shafts, tandems, gyro pick-off or BuWeps types? We have everything!
In servo motors (AC, DC or stepper) and sophisticated motor rate tachometers, Clifton is an acknowledged leader.
In avionic assemblies, we use quality components coupled with creative design and offer sophisticated avionic systems, actuators, analog computers, simulators, switches, and indicators.
Finally, in the solid state technologies which are in some cases replacing electro-mechanical assemblies, look to Clifton for the latest in A/D Converters, digital readouts, solid state servo repeaters.
For a willing response to your inquiry, contact your Local Clifton Sales Office or (215) 622-1000, Clifton Heights, Pa.
CLIFTON
DIVISION OF LITTON INDUSTRIES
Circle 225 on reader service card
Want a tachometer with an accurate numerical readout?
Order an Airpax Digital Tachometer.
Now you can read RPM, GPM, FPM, or any engineering units directly with the Airpax Digital Tachometer. No more interpreting a meter scale! Signals can be counted and displayed over preset time intervals. And dual set-points are available with outputs capable of performing any normal controlling function. The new Digital Tachometer is available in four, five, or six digit readouts and covers frequencies up to 100kHz. The versatile unit is compact and plug-in construction allows easy maintenance. It operates on 115 volts 50 to 400Hz and consumes just 12 watts. Contact Airpax today for more information.
AIRPAX ELECTRONICS Seminole Division, P. O. Box 8488 Fort Lauderdale, Florida 33310, Phone: (305) 587-1100 TWX: (510) 955-9866, Telex: 051-4448
Liquid laser goes commercial
Coaxial flash lamp initially designed at NASA center is key development in moving device out of lab; lasing dyes permit varied color outputs covering almost entire visible spectrum
By James Brinton
Electronics staff
In pulsating color. Outputs from a liquid laser bounce off conical sections of lucite plastic. The yellow-green light pulses are emitted by Rhodamine 6G, and the blue by Coumarin. Efficiency depends on the dye being used; it is typically 0.2%.
To the engineer, the liquid laser is a thing of beauty. Not only can it emit a range of wavelengths from the ultraviolet to the infrared, but its liquid medium is free of lattice defects, impurity concentrations, and bubbles that can make laser rods damage themselves. And by changing the amount of dye dissolved in the solvent, one can experiment with various dopant levels; with solid state lasers, the dopant level is fixed.
Not only that, but the liquid laser is tunable, and single wavelengths can be picked out of its emission while retaining respectable output powers.
But until the General Laser Corp. introduced its DL-1000, there wasn't any such thing as a commercial liquid laser. Available units had been built in the lab for use in the lab—and there were some pretty good reasons.
Originally, some of the solvents used to dissolve lasing dyes were toxic. But it was found that grain alcohol worked for most dyes.
The pumping problem was tougher. Dye lasers need very abrupt (about 100 nanoseconds rise time) and powerful pulses to raise them to threshold. High power meant high current densities within the flash lamp, densities often high enough to shatter the pencil-shaped linear flash lamps used in most lasers, and fast rise times aggravated the problem.
But slower-rising pulses made for weak emission or no laser action at all. And even when flash lamp and power source were constructed with great care, laser output power could vary widely from pulse to pulse. At best, linear flash lamps could make only a few dyes lase. Most needed so much pump power that another laser had to supply it.
Solved. The DL-1000 design includes solutions to this problem, and General Laser is preparing to sell its system for less than $5,000, with first deliveries scheduled next month.
According to S. Edward Neister, project engineer, the firm had to work its way through a list of interfacing tradeoffs, among them the wall thickness of laser tube and flash lamp, flash lamp gas-fill pressure, and power supply rise time and inductance. A change in any one of these could vary output power, efficiency, beam divergence, or other characteristics. But more than any other part of the design, the flash lamp was the pacing factor in the technology.
Michael Sirchis, program manager, says that some of the company's design solutions are based on research done at the NASA Electronics Research Center by Horace W. Furomoto and H.L. Ceccon. Their major contribution was basic design of a workable flash lamp.
Instead of being linear, the NASA flash lamp was coaxial—a fat cylinder with a hole on its axis through which the laser tube passed.
Coaxial lamps could take higher pulse amperages and withstand higher current densities than linear lamps. Whereas a linear flash lamp
REMOTE CONTROL SWITCHING WITH AUDIO SIGNALS
An audio tone can be generated by an electronic oscillator or resonant reed encoder circuit, then transmitted by wire or radio. The tone activates a resonant reed relay to perform a control function.
Bramco reeds permit over 100 selective control frequencies within the 67 to 3000 Hz spectrum. This is assured by: (1) the narrow response band-width of about 1% for decoders and (2) the high accuracy of Bramco reed encoders (1/10 of 1% of design frequency).
A big advantage of reeds in control switching is that they are ideally suited for simultaneous and sequential coded tone systems. The actual number of control functions possible in such a system is virtually unlimited. For example, over 3300 individual control functions are possible with only 16 frequencies coded sequentially in groups of three.
Compared to other types of tone filters, resonant reeds are small and inexpensive. They give more control functions per spectrum, per size, per dollar.
If you work with controls that select, command, regulate, or indicate, you should know how it can be done with audio signals. We custom design and stock a broad line of encoder/decoder components and modules. Bramco also custom designs LC filters from 0 to 200 KHz.
For literature write Bramco Controls Division, Ledex Inc., College and South Streets, Piqua, Ohio, or call 513-773-8271.
BRAMCO CONTROLS DIVISION
LEDEX INC.
College and South Streets, Piqua, Ohio 45356
... sealed coaxial lamp surrounds laser tube, pumps light into it from all directions ...
Laser figured out a way to seal the new tubes to prevent internal contamination and loss of brightness. Neister doesn’t want to give the sealing technique away, but notes that lamps have lasted well beyond 2,000 flashes without noticeable degradation.
It’s this lamp and its associated power supply that make the dye laser as convenient as earlier lasers. Power from a 110-volt a-c line is stored in a 0.3-microfarad, low-inductance capacitor at up to 25 kilovolts. To keep rise time fast, inductance within the power supply is low; in the DL-1000 it’s between 10 and 20 nanohenrys. A so-called quality specification from the power supply is the amount of inductance due to leads between capacitor and lamp—this figure is only 2 to 3 nanohenrys.
Adjustable. The supply can be adjusted to fire the flash lamp at voltages from about 10 to 25 kv by turning a knob on the side of the laser. And though the system is rated to deliver about six pump flashes per minute at about 100 joules per flash, the actual rate is a little faster.
The percentage of the 100 joules emitted as coherent light varies with the dye used and its concentration. “About 200 millijoules is a typical output at 5,800 angstroms, the lasing wavelength of Rhodamine 6G,” says Sirchis. “With Coumarin, the output is about 100 millijoules at 4,500 angstroms.” Other dyes yield light at various
We can guide you to the easiest wire and cable buy for peripheral equipment.
Brand-Rex has been the leading supplier of wire and cable for major computer systems for 20 years. And if you manufacture computer peripheral equipment, this leadership can work for you a number of ways. You save shopping around, because Brand-Rex has designed and makes available the broadest selection. You can get what other people call "custom" designs at little or no extra cost from us. We're already making it, or can come up with it easily by modifying an existing design. (Brand-Rex engineers turn out as many as 3,000 new versions of wire and cable in a year.)
U.L., MIL-Spec. and other approvals? No strain. Brand-Rex has more U.L. approvals on computer wire and cable than anybody else. Plus the lab and Q.C. facilities to get new ones...fast.
Our people catch on to your needs the first time around, because they've been around.
Write for our catalog on "Business Machine Wire and Cable" Brand-Rex Division, American Enka Corp., Willimantic, Conn. 06226. Phone 203 423-7771.
Connect for tomorrow. BRAND-REX
Circle 171 on reader service card
frequencies, covering in all the entire visible spectrum except for about 200 angstroms.
Efficiency also varies with the dye used, but at a typical 0.2%, the liquid laser is in the same league with ruby lasers.
Buyers of the DL-1000 will have their choice of one of four dyes: Rhodamine G, Rhodamine 6G, Fluorescene, or Coumarin. Since the output wavelength of each of these dyes differs, a special set of hard-coated cavity mirrors is included to suit the dye.
Added dye-and-reflector sets will be offered at about $300 each, and a 400-milliliter supply of lasing liquid would cost about $25. "But we don't plan to get into the dye business," says Ken Wood, director of technical planning. "It's easy to mix these solutions, and that's what we expect more of our customers to do."
The DL-1000 is aimed at scientists and engineers using it as a means of finding new lasing molecules or experimenting with a wide variety of output colors.
With dyes already known, and with those that are appearing, it's possible to tune the output of the DL-1000 about ±150 angstroms around a center wavelength. By adding an optical grating, it's possible to select output wavelength to within about 1 angstrom—and such are the peculiarities of the liquid laser that there's only a 25% over-all power loss when it's done.
To make the unit safe and easy to operate, General Laser has designed interlocks that short the capacitor if the laser head is uncovered. Also, if the cover isn't on tightly enough, the control panel lights show this.
For experimenters. Users can drain and refill the recirculating liquid system in less than 5 minutes, and its pump and piping are impervious to almost any solvent needed for liquid laser work. There's even a fitting which allows experimenters to change the gas pressure in the spark gap that acts as the flash lamp switch. By raising pressure, the experimenter can make the flash lamp fire at higher voltages. General Laser may offer fittings to allow changes in the gas fill in the flash lamp.
General Laser Corp., 8 Erie Dr., Natick, Mass. 01760 [338]
IMITATED—BUT NOT EQUALLED.
CINCH BACK PLANE CONNECTOR SYSTEM
Today, most back plane connector systems are being modified to include features first developed by Cinch. But only the Cinch back plane was designed to incorporate these innovations as basic design considerations, not modifications of already existing devices.
Cinch design leadership produced the first back plane connector system with these important features:
1. Replaceable buss bars that permit removal and replacement of bussing contacts.
2. Easily replaceable voltage plane and ground contacts, including bussing.
3. Precision monoblock insulators that eliminate modular construction.
4. Cantilevered, preloaded contacts.
Cinch didn’t stop with the product. Special design molded styrofoam carriers completely eliminated damage during transit.
Combined with cost reducing techniques of selective gold plating, simultaneous insertion of contact rows and a unique method of terminal positioning, these features result in the most efficient and most economical back plane connectors system you can buy.
For information on this or other Cinch interconnection devices, contact your local Cinch Electronics Group office or write to Cinch Manufacturing Company, 1501 Morse Avenue, Elk Grove Village, Illinois 60007.
C-6914
Through a glass, lightly
Hand-held frame with rotating disk converts conventional cathode-ray tube display to color, three-dimension, or both
By Wallace B. Riley
Electronics staff
Bringing out the colors. The lorgnette at left contains the color disk, shown stationary. When it rotates, center photo, it permits the viewer to see programmed color in the computer-produced display, as at right. Another disk separates right- and left-eye images to produce black-and-white 3-D; and a third combines color and 3-D.
Mention of a lorgnette usually calls to mind the image of a grande dame gazing imperiously at some objet d'art. But engineers, scientists, executives and other users of CRT displays may start looking at their screens through lorgnettes.
In this case the lorgnette is a product of the Evans and Sutherland Computer Corp. of Salt Lake City. It's a lightweight, hand-held viewer connected to some simple electronic circuitry that repeatedly interrupts the computer driving the display. Through the viewer, the conventional 2-D display can be made to appear to the observer in 3-D, in color, or both.
The lorgnette permits use of color-coding as an aid to understanding a complex situation. On a tool path plot for a numerically controlled machine, for example, cutting and non-cutting motions could be shown in different colors. The new display accessory can also separate right- and left-eye images to provide for viewing three-dimensional information in stereo. The structure of complex three-dimensional molecules can be made more evident by such a stereo presentation. Color stereo views are also possible with the lorgnette.
In a frame 5 inches in diameter and half-an-inch thick, the lorgnette contains a disk that rotates at 10 revolutions per second. Any one of three interchangeable disks can be used. Each of these is divided into six equal sectors. For color viewing, two of these sectors are red, two green, and two blue, with like-colored sectors diametrically opposite. This produces a 2-D color picture.
For 3-D viewing the sectors are alternately clear and opaque; and for 3-D in color three alternate sectors of the special disk are opaque and the remaining three are red, green, and blue.
The user holds the lorgnette in front of his face with the center of the disk opposite the bridge of his nose. In this position, with the color disk in place, both eyes are looking through sectors of the same color; or with the 3-D disk, one eye is blocked by an opaque sector.
Cermet and the Model 3262 Potentiometer
Meets requirements MIL-R-22097, Style RJ-26 to 100 PPM/°C over entire resistance and temperature range*
Designed to not only meet requirements, but beat requirements! A ¼ inch square potentiometer of the highest quality available—in the tradition of excellence of design and workmanship you have come to expect from Bourns...the leaders in the industry.
Write or call the factory, your local field office or representative today for technical data.
*Resistance range: 10Ω to 1 Megohm
Temperature range: -65°C to +175°C
BOURNS, INC., TRIMPOT PRODUCTS DIVISION • 1200 COLUMBIA AVE., RIVERSIDE, CALIF. 92507
How would you clean his scanning devices?
With great care and a super-clean solvent. That’s DOWCLENE® WR chlorinated solvent. Pure enough to meet NASA spec MSFC 471. Less than one part per million residue. And one of the safest chlorinated solvents you can use. Cost? About half of other white room solvents. We’re proud of DOWCLENE WR. That’s why you’ll find a certified analysis for particulate matter on every drum. For more information and a free sample, why don’t you send out a feeler? Today.
DOWCLENE WR Solvent, The Dow Chemical Company, Inorganic Chemicals Department, Midland, Michigan 48640.
Circle 176 on reader service card
... one control unit can run 10 lorgnettes ...
while the other eye looks at the display.
As the disk rotates, whenever a sector boundary crosses the line of sight, an interrupt signal is generated—once every 16.7 milliseconds at the 10-rps rotation. This signal causes the computer program to change the display. For color-viewing three different displays, one for each primary color would be shown in rotation. Conventional displays can draw perhaps 1,000 lines in the interval between interrupts. For 3-D viewing, two displays at slightly different angles would be used. Persistence of vision combines these displays into one with the desired attributes of color and/or depth.
Synchronized. Up to 10 lorgnettes can be controlled by a single control unit and power supply, and up to seven controllers can be connected in parallel to drive as many as 70 lorgnettes—all in perfect synchronism. This is attained by small synchronous motors on the handheld frame, protruding on the side away from the user's face. The motors are driven by a 120-hertz alternating current obtained from the 60-hz power line; the motors work with any current of 100 to 150 hz. There are four interrupt signals; one indicates that a sector boundary is in front of the eye, and the other three signals are used to identify the boundary.
For best results in color, a screen with a white phosphor is necessary. Phosphors are available that are both fast and white, and are already in use in many display systems; in other displays a substitute crt can be installed. Designers of the lorgnette say that the widely known televising phosphor, P4, proves to be good for both stereo and color presentations.
The lorgnette system sells for $995, which includes two lorgnettes and three disks for each of them, and the electronic controls. Additional lorgnettes, including three disks and a plug-in card for the controls, are available at $245 apiece.
Evans & Sutherland Computer Corp., 3 Research Road, Salt Lake City, Utah [339]
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OUR STEREOZOOM® ASSEMBLY LINE IS ELEVEN YEARS LONG
Bausch & Lomb originated the stereomicroscope with zoom optical system eleven years ago. We've spent those years making sure that StereoZoom continues unexcelled in performance and reliability. Only Bausch & Lomb StereoZoom assures you the flattest fields . . . the greatest depth of field . . . locked-in focus throughout the zoom range . . . highest eyepoint eyepieces . . . accurate eye-level magnification readings on the zoom control knob.
Now, there's a new member of the line, the StereoZoom 7, with widest zoom range, sharpest images, highest resolution/magnification.
Get all the facts. Write for our new catalog 31-15. Bausch & Lomb, Scientific Instrument Division, 99718 Bausch Street, Rochester, New York 14602.
BAUSCH & LOMB
SCIENTIFIC INSTRUMENT DIVISION
Circle 177 on reader service card
FREE TEST...
(How can you solve your filtering problem if you don't know you have a problem?)
FREE PROOF that Cox can solve a contamination problem you may not know you have, boost your filtrate throughput up to ten times, and guarantee filtrate purity within absolute limits!
Do you insist on "absolute" filtration, without knowing if your filtering system delivers it, day in, day out?
More importantly, do you know the proper degree of filtration your process actually needs, or is it based on an educated guess?
At no obligation, Cox will be glad to analyze both the efficiency and the effectiveness of your present filtering system. We'll be glad to evaluate the true degree of filtering which your process requires. We'll show how you can achieve the ideal balance between particle retention and filtrate throughput, while increasing throughput volume many times. If your present system turns out to be correct for your process requirements, we'll tell you so and go away.
But chances are we can show you ways to improve your present process, ranging from suggesting minor improvements up to proposing a totally new set of specifications and the mechanical changes necessary to maintain those specs on a continuing basis.
DO IT NOW: send us a representative sample of your process filtrate, together with a note telling us your filtering specifications and the nature of your process and product. We'll return to you an analysis report within 24 hours after receiving your test sample. There's no obligation.
COX INSTRUMENT
DIVISION OF LYNCH CORPORATION
15300 Fullerton Avenue • Detroit, Michigan 48227
Electronics | December 8, 1969
Four-pole relays fit in TO-5 can
Magnetic latch units designed to combine high isolation of electromechanical devices with semiconductor compactness
NASA and the CIA have at least one problem in common: they both require reliable and isolated communications circuits, without cross-talk. The space agency has additional constraints in terms of weight, size, and power consumption of components.
With these and other customers in mind, Teledyne Relays has introduced a line of four-pole single-throw magnetic latching electromechanical relays that are small enough to fit in a TO-5 package. The aim is to replace four-pole single-throw reed relays and larger four-pole magnetic latch relays with switches that combine the high isolation of electromechanical units and the compactness of semiconductor devices.
Teledyne says the models 424A and 424AD are the smallest four-pole relays developed to date. The company began marketing TO-5 size relays about six years ago, and now claims the ability to deliver 12,000 types to users. More than 1,000 of its two-pole, double-throw magnetic latch miniaturized relays were aboard Apollo 12.
The welded, hermetically sealed 424A and 424AD units meet MIL-R... 2 msec pulses will energize units ...
575D relay specifications, and have a rated reliability of 10 million operations at loads up to 10 milliamps. Model 424AD has an internal chip diode in parallel with each coil for transient suppression. Six versions of the two basic models have d-c coil resistances from 61 to 2,000 ohms, and coil voltages from 5 to 26.5 volts d-c. Contact bounce is less than 3 milliseconds, and pull-in power is 125 milliwatts at 25°C.
An optional mixed-coil configuration uses one coil to detect load levels, and permits use of the relay as an overload detector or circuit breaker. This version has a 0.1 volt d-c trip coil which trips to shut off current at 80 to 120% of the nominal tripping current. The reset coil is a conventional 26.5 volts d-c. Trip level accuracy is ±10%, and other coil values are available to fit customer requirements.
Use less power. In addition to compactness and weight—only .065 ounce—the relays use less power than conventional relays because they can be energized with short, 2-millisecond pulses, an important feature for airborne and space applications.
Environmental conditions of 30 G vibration to 3,000 hertz, and 100 G, 11-millisecond shocks can be tolerated by the units, which operate within a −65°C to +125°C range. Typical capacitance between contacts is 0.7 picofarad, and minimum insulation resistance is
Look at what Mallory has done to audio systems design.
Use these three new, low-cost Mallory IC's to design a complete stereo system with a minimum of external parts. They dramatically improve systems performance...at lower systems cost.
5 WATT STEREO AMPLIFIER
UTILIZING MALLORY INTEGRATED CIRCUITS
MIC 0102 Single-Channel,
and MIC 0106 Dual-Channel Preamplifiers
60-db minimum gain.
Feedback-frequency compensation provisions.
100K input impedance.
Low distortion.
Internal power supply filtering.
Wide voltage-range supply.
MIC 0203
Dual Driver Amplifier
55-db minimum gain at $V_{cc} = 20$ Vdc.
10-ma drive current.
Low input bias current.
Low distortion.
Power drive capability over 10- to 24-Vdc supply range.
Direct drive for complementary or quasi-complementary output devices.
Internal feedback resistors.
External feedback capabilities.
Two- and twelve-watt-per-channel drive capabilities.
Find out about these ultra-flexible IC's today...just three examples of our full range of value-packed IC's. Contact your Mallory Sales Offices, or P. R. Mallory & Co. Inc., Integrated Circuits Dept., Indianapolis, Indiana 46206. 317-636-5353.
How fast is GE's new helium leak detector?
Manufacturers of electronic components asked us to help cut down leak test time. So General Electric engineers designed a new leak detector to do the job.
It's the LC-40 Mass Spectrometer Helium Leak Detector, which offers unmatched testing speed in a general purpose leak detector. The LC-40 achieves this by combining the highest net pumping speed of any leak detector on the market (for equivalent sensitivities), with fast recovery from leaks. This combination pays off in a time-to-test of only seconds.
Complementing this test-time capability is a new simplified control system, which permits the operator to complete a test merely by loading the test piece and flipping a single switch. Results are instantly displayed on a meter.
But the LC-40 detector isn't just fast. It includes such performance-proven features as all-solid-state circuitry for dependable service; burnout-resistant thoria-coated iridium filament, exclusive with GE; all-welded stainless steel high vacuum system; high sensitivity \((5 \times 10^{-11} \text{ atm.o. cc/sec He})\), a new source design to eliminate background signals, and many other significant advances.
Although ideally suited for high-speed production testing, the unit also can be used for general purpose applications. If you would like to learn more about General Electric's new LC-40 Mass Spectrometer Leak Detector, write General Electric Company, Analytical Measurement Business Section, 4MX, 25 Federal Street, West Lynn, Mass., 01905
10,000 megohms between mutually insulated terminals.
Because the relays have a fast actuation speed, 1.5 milliseconds maximum at nominal coil voltage, Teledyne says the relays are suited to both analog and digital systems and other applications such as telephone cross-point switching.
Despite large inroads made by solid state relays into the electromechanical relay market, Teledyne believes price alone will continue to inhibit the use of semiconductor devices in systems requiring large numbers of contacts. They point out that most of the cost in a semiconductor relay lies in the contacts, while only about 20% of the manufacturing costs in an electromechanical relay is represented in the contacts. This means that it's only slightly more expensive to go from a single-pole to a four-pole electromechanical relay, compared with a four-fold cost increase for semiconductors. Price for the model 424A is $20 in quantities of 5,000 and $35.70 in small quantities, and $22 in 5,000 quantities for the model 424AD, with an internal diode. Delivery is off-the-shelf from either the manufacturer or Teledyne distributors.
Teledyne Relays, 3315 West El Segundo Blvd., Hawthorne, Calif. 90250 [349]
New components
Proximity switch sets new limits
Individually calibrated, unit can be adjusted to within \( \pm 0.010 \) inch
Accuracy at a low price is how McClintock Matrixes bills its new proximity switch. Each unit, says Richard McClintock, is calibrated and tested automatically. And because this is done automatically, proximity switches, he points out, can be turned out fast enough and cheap enough to satisfy the OEM market.
Called the 26-5-4, the McClintock
What's NEW at GUARDIAN
GUARDIAN ELECTRIC MANUFACTURING COMPANY 1550 W. Carroll Ave., Chicago, Illinois 60607
NEW GUARDIAN SOLID STATE RELAYS
Universal AC or DC control voltage with complete circuit isolation from load switching circuit. Externally-adjustable pull-in voltage level from 80-130V AC or DC, with close differential between pull-in and drop-out where accurate voltage sensing is required. Control of high inrush amp, inductive or normal resistive loads from 10 ma to 3 amps. Internal filtering prevents random turn-on of "off" contacts.
Circle No. 514 For Literature.
NEW GUARDIAN PRINTED CIRCUIT PLUG-IN RELAY
■ Unique, compact design.
■ All terminals on .1 grid spacing for standard printed circuit board.
■ Solders right on PC board.
■ Conforms to UL requirements for Business Machines. ■ 1 watt normal power—½ watt on request. ■ 3500 OHMS coil resistance (120V AC-60Hz). ■ Standard voltages 6 to 120 AC—6 to 24 DC. ■ Mechanical life over 10,000,000 operations. ■ 3 AMP. resistive 115V. 60Hz contact rating.
Circle No. 515 For Literature.
NEW GUARDIAN LIFT OFF STEPPERS
All the features of the widely used Guardian MER 24 point electrical reset stepper ...
PLUS
■ Solenoid "lifts" wiper contacts when stepping to reduce friction... and arcing. ■ Increased contact ratings to 5 amps resistive at 120V AC. ■ Increased function capability. ■ Increased dependability. ■ Increased life expectancy—now up to 10,000,000 steps. ■ Compact design.
Circle No. 516 For Literature.
Control/Alarm Shortcut.
Here's the fast, low-cost way to solve control/alarm problems. Hook up sensor, load and power source to a MAGSENSE® module and adjust the setpoint (or dual setpoints). That's it. No time and money wasted designing and debugging a circuit. And you've got proven-in-service performance and reliability.
Capabilities. MAGSENSE modules offer 100-billion power gain, accept inputs as low as 10 microvolts or 1 microamp directly without preamplification. Completely isolated inputs are unaffected by common mode voltages as high as 110vac, 60 Hz or overloads as large as 1000-times full scale. And they operate from a single 28v or 12v power source.
Flexibility. Standard models offer a wide range of options including single, dual and remote setpoints, adjustable hysteresis, choice of output action, transducer excitation voltage, and cold junction and copper compensation on thermocouple models. And, in the off-chance a standard model won't fit your precise application, we can custom-build one quickly, inexpensively.
Take the short cut. Write or call for your free copy of the MAGSENSE Application Manual. It has all the specifications and prices. And all the shortcuts.
MAGSENSE
control/alarm for temperature, pressure, speed, flow
... switch can help control machine tools ...
switch sells for $1.60 each in lots of 10,000, and $2.70 each in lots up to 25.
The proximity switch consists of a hermetically sealed reed switch whose contacts are kept normally closed by an internal magnet. When an external ferrous material comes within the calibrated proximity distance, the internal magnetic force is reduced and the contacts spring open. Thus, sensing whether the contacts are closed or open indicates proximity of the object to be detected. Applications include controlling machine tools, counting of objects on conveyors, and detecting motion above and beyond a predetermined limit.
Calibration distance is up to 0.40 inch, and the factory setting is reported to be accurate to within ±0.010 inch. The contacts are rated at 200 volts d-c, 0.5 ampere, and 10 watts resistive load. Contact settling time is 15 milliseconds. Temperature range is from −75°C to +120°C, with a variation of operating point of only 1.5%.
In the calibration operation, the reed switch is clamped at the calibration distance away from an iron disk. Then an air grinder wears down the slightly too-strong internal magnet until the field weakens enough and the contacts open, indicating that the magnet is now of the proper value for the specified proximity calibration. Instead of mechanically backing off the disk until the contacts close—to determine the mechanical open-close differential of the reed switch—a test coil is energized from a constant current in order to simulate the differential.
Contact resistance is measured electronically during the test operation; and reed-switch contacts exceeding 1 ohm are rejected.
McClintock Matrixes, Washington Road, Woodbury, Conn. 06798 [350]
Who ever heard of a computer that TALKS CONTROL?
The GRI 909 computer is the closest thing to it. We call the technique Direct Function Processing.
"If meter output is less than zero, go to alarm."
"Turn on tape reader."
"Send complemented output of analog-to-digital converter to controller."
These instructions are representative of GRI's unique functional approach to assembly language. When you have defined the functional operations of your system, you have very nearly written the control program for the GRI 909.
Direct Function Processing adds many new dimensions to computerized system control. To find out more, write for our new brochure describing the GRI 909 computer.
GRI Computer Corp.
76 Rowe Street,
Newton, Mass. 02166
(617) 969-7346
You have never seen a computer like this before. Now in Production.
How AO fiber optic light guides solve illumination problems.
Transmit "cold" light like other forms of energy—by flexible routing to remote or inaccessible locations, hazardous areas, or any abnormal environment.
Supply multiple illumination from a single light source, with multi-branched light guides.
Simplify lighting problems by eliminating lens systems, multiple lamps, complex electrical circuitry.
Provide input-output geometry conversions such as round-to-square, round-to-slit, etc.
These are only a few of the ways in which American Optical fiber optic light guides are used to help solve illumination problems. Specific applications range from mark sense readout to electro-optical sensing in data processing, circuit verification, fire control, null detection, light pens, spot illumination, and many others.
Simple, reliable, economical. AO fiber optic light guides are simple, passive elements which remain extremely reliable under normal vibration, temperature or humidity changes, or other environmental fluctuations. This results in long service life with minimum maintenance.
Standard and custom light guides from American Optical have light transmission ranges from 400 to 1500 millimicrons. Standard light guides are available in bundle sizes from .020" to ¼", with 30 to 6000 fibers, lengths up to 72", plastic or stainless steel tips, and PVC sheaths. Custom light guides can be supplied in any length desired, with special end tips, sheaths, diameters, input-output face configurations, and branchings.
A leader in optics since 1833, American Optical Corporation brings a great breadth of related experience to the technology of fiber optics. Our versatility in fiber optics is unmatched by any other manufacturer. In fact, AO scientists already hold more than 200 important patents or patents pending in this relatively new field.
For Fiber Optics Data Kit, write to:
AMERICAN OPTICAL CORPORATION
FIBER OPTICS • SOUTHBRIDGE, MASSACHUSETTS 01550
©TM Registered by American Optical Corporation
186 Circle 186 on reader service card
Any oscilloscope can be a storage scope
Transient recorder stores a fast, one-shot signal for viewing on a slow scope or chart recorder
Recording a transient signal has meant either using up a great deal of tape or paper, or investing in expensive equipment. With magnetic tape or strip-chart recorders, the devices have to run continuously because, generally, it's not known when the signal will occur. X-Y recorders have a very limited frequency response, and high-frequency storage scopes suffer from limited frequency response for a reasonable viewing area and limited tube life. So, the alternative has been purchase of expensive correlators. A better solution, according to William Cargile, engineering manager of Biomation Inc., is a fast analog-to-digital converter and a semiconductor memory.
These devices are the basic building blocks of Biomation's model 610 transient recorder which is intended to capture a single-shot signal, hold it indefinitely, and present it for viewing on conventional, slower devices at a slower sweep speed and at any desired amplitude. The 610 employs a six-bit analog-to-digital converter operating at 10 megahertz. The digital information then is fed to a six-bit, 100-word MOS shift register where...
If the answer to your problem involves fiberoptics, and electronics design skills, call 617-791-7391
That's our phone number at EFC – Electro Fiberoptics Corporation. If your problem involves the design and engineering of components or systems in any field, from machines to medicine, a call to EFC will start you and us working together toward a solution. One more thing: we haven't forgotten the importance of competitive costs, firm delivery schedules and conscientious service.
now, what's your problem?
ELECTRO FIBEROPTICS CORPORATION
45E Water Street, Worcester, Mass. 01604
Phone 617 791-7391
it is held and recirculated for viewing on a slow device.
The result: a 1 Mhz signal can be recorded with 10-point-per-cycle resolution. According to Cargile, "Any oscilloscope, old or new, can have better storage capability than the best presently available storage oscilloscope."
In operation, 100 successive samples are taken, converted, and stored in digital form. The input sweep speed can be varied from 0.1 microsecond to 0.5 second with the output sweep speed set at 2 seconds for X-Y recorders or 0.2 milliseconds for oscilloscopes. The output also can be taken digitally into a computer or other digital device, or in analog form after processing in a digital-to-analog converter which also incorporates a smoothing circuit. "The resulting analog output doesn't show the abrupt steps sometimes associated with analog versions of digitally recorded data because of the smoothing used," says Cargile.
Other characteristics include differential input with an impedance of 1 megohm in parallel with 30 picofarads, and an input sensitivity of 5 mv to 50 volts.
Triggering is accomplished either externally or by use of the leading edge of the transient signal being recorded. A variable delay allows the sweep window to be positioned so that when a relatively fast sweep is desired, good resolution can be obtained even if the signal occurs a long period after the original trigger. Pre-trigger recording, which allows recording of the information prior to receiving the signal, also can be accomplished by operating the analog-to-digital converter in a free-running mode. The digital information then is circulated through the MOS shift register memory. When the trigger is received, the data acquisition can be stopped immediately, or after the variable delay period. This way the information retained in memory is for the period before, during, or after the trigger signal. This mode is especially useful where no external trigger is available.
In addition to the normal recording applications where storage oscilloscopes now are used, the transient recorder also could have applications in computer time-sharing systems. Here it could be used as an inexpensive peripheral input device which performs the analog-to-digital conversion of a fast input signal and stores the result until the central computer is ready to accept it.
"Since computers are finding increased applications in signal averaging and digital signal analysis but are limited by their data input rates, this new device," says Cargile, "will allow them to have the same speed as present hard-wired signal averagers and yet still operate in a time-sharing mode."
The basic unit has been priced tentatively at $1,200. Deliveries will start in January.
Biomation Inc., 1076 East Meadow Circle, Palo Alto, Calif. 94393 [369]
New instruments
A-d converter has keyed clock timer
Fast, low-priced unit can be integrated into most systems easily
High performance usually means high cost when it comes to analog-to-digital converters. But Computer Products' AD 300 series converters provide a conversion rate of 10 kilohertz at an accuracy of ±0.025% ±½ LSB, and they are available in prices ranging from $167 to $219—significantly lower than many competitors.
In the series are 14 standard models providing binary or binary-coded decimal output codes with eight, 10, or 12-bit BCD resolution. Full range unipolar inputs of 0 to −4 volts or 0 to −10 volts are accepted, or full-range bipolar inputs of ±4 volts and ±10 volts.
Standard models can provide a 20-khz conversion rate, but at a reduced accuracy, ±0.05% ±½ least significant bit.
The AD 300 units are packaged on two plug-in printed-circuit cards measuring 2.75 x 5.25 inches each, with a mounting case.
The converters use successive-approximation techniques to convert input analog voltages to binary-coded digital outputs whose magnitudes are proportional to input amplitudes. Current generated by the analog input is compared to a binary-weighted current from a register by summing the two currents into a summing network.
The difference in the two currents is applied to an error amplifier, which compares the value to ground. Depending on whether a difference exists, a flip-flop is set or reset and tells the register to either increment or stop. The parallel data outputs are derived from the register when a pulse signifying the end-of-conversion occurs.
Some of the features that are included in the converters are: keyed clock oscillators that turn on in phase with keying signals to provide easier integration of the converters into systems; timing cycles that provide initial time intervals for sampling if sample and hold techniques are used; and internal precision-reference regulators that eliminate the need for expensive external reference supplies.
Among the options that are available are sample and hold, input buffer, low-level input amplifier, and decimal or octal displays. The sample-and-hold option is a high-speed device that reduces errors that may arise from frequency deviations of the input analog signal, or can provide sampling of many input parameters.
Computer Products, P.O. Box 23849, Fort Lauderdale, Fla. 33307 [370]
If you thought all Daystrom pots were squares
Rectilinear components are still a necessary requirement in many circuit applications. That's why Weston has rounded out its high-performance potentiometer line with two new rectilinear models. RT-12 styles 534 and 535 are designed for both general-purpose and military applications. They feature the same ±5% tolerance, 10 ohm to 50K range, and slip clutch stop protection that are standard with Daystrom Squaretrim® units, plus 24-turn adjustability and humidity proofing. Also new this year ... models 553 half-inch and 543 three-eighth-inch Squaretrim potentiometers in military and commercial versions. Save board space as well as money with our field proven 501 Series multi-turn and 504 Series single-turn ¾" Squaretrims offering values to 20K in a 0.02 cubic inch case. All Squaretrim Dialyl-Phthalate cased pots give you Weston's patented "wire in the groove" construction and your choice of flexible leads, pin and screw configurations. Whether your trimmer needs are military, industrial or commercial, you'll find the answer in this complete new low-cost line. Write today for data sheets and evaluation samples. DAYSTROM potentiometers are another product of WESTON COMPONENTS DIV., Archbald, Pennsylvania 18403, Weston Instruments, Inc., a Schlumberger company.
Circle 190 on reader service card
Sweeper goes from 10 Mhz to 18 Ghz
Solid state generator uses plug-ins to cover a broad range; minimum output is 20 mw; 4-8 Ghz plug-in missing, but promised
A product and a promise are being offered by engineers at the Micro-Power division of Tyco Laboratories Inc. The product, designated the 230A, is a solid state sweep generator with a range of 10 megahertz to 18 gigahertz. However, there's a gap in the coverage of that frequency range—and that's where the promise comes in.
According to Bruno Kaiser, Micro-Power's marketing vice president, there's no economical solid state sweeper for the 4-to-8-Ghz range. "Transistors are fine up to 4 Ghz," he says, "and Gunn diodes can do the job over 8 Ghz. But there's nothing in between." But there will be in June, adds Kaiser, when Micro-Power introduces a 230A plug-in that will cover the range. Micro-Power has several contractors developing oscillators for the new plug-in and expects to pick one within a few weeks.
The 230A itself is a 5¼-inch-high instrument of full-rack width. A power supply takes up half the width, and a sweep-oscillator plug-in fills the other half.
The price is about $4,000, depending on the plug-in. The mainframe, with power supply, sells for...
$1,450. A broadband plug-in—10 Mhz to 2 Ghz—goes for $2,500, and it has a calibrated output. The high-frequency plug-in—12.4 Ghz to 18 Ghz—is the most expensive; its price is $2,900. The other plug-ins range in price from $1,600 up. They cover the following ranges: 1.4 to 2.5 Ghz, 1.7 to 4.2 Ghz, 3.7 to 4.3 Ghz, 5.85 to 6.45 Ghz, and 8 to 12.4 Ghz. With any plug-in, a 10-volt input change produces a complete sweep.
All have an external leveling connection. By feeding back a percentage of the sweeper’s output the user keeps this output constant to within ±0.3 decibel.
Micro-Power can put a self-leveling circuit into any plug-in except a high-frequency unit. Internal leveling is a $250-to-$400 option.
Up to 4 Ghz, the 230A delivers a minimum of 20 milliwatts. At higher frequencies, the minimum is between 5 and 10 mw, the exact value depending on the particular plug-in’s frequency range. The sweep limits, set with a front-panel dial, are accurate to within 0.25% of full scale.
The sweeper stands up well to load changes. For example, if it is putting a 4-Ghz signal into a matched load and suddenly sees a short circuit, the frequency shift is less than 1 Mhz.
The 230A works with up to eight plug-ins. Holders for two additional plug-ins cost $800, and a control unit for switching from one plug-in to another goes for $400.
And the sweeper fits right into measuring systems. For example, without any interface circuitry it can be connected to a Hewlett-Packard 8410A network analyzer.
Micro-Power Inc., 25-14 Broadway, Long Island City, New York [409]
New microwave
Log amp has 80 Mhz bandwidth
Hybrid IC device
for radar, EMC jobs
accurate to ± 1.5 db
Pulse-to-pulse amplitude differences encountered by radar receivers when tracking rapidly moving targets, and changes in source and source direction as witnessed by electronic countermeasures (ECM) receivers require these receivers to have quick recovery capability over wide dynamic ranges. The LEL division of Varian has developed a hybrid integrated-circuit logarithmic amplifier capable of accurate logging over wide bandwidths and at high intermediate frequencies.
The LEL log amp can be used effectively in narrow-band operations where local-oscillator drift is a problem. This drift will cause an i-f frequency shift, but with this new amplifier, no degradation in accuracy will occur. The ability of the log amp to produce a wide frequency window in ECM systems will reduce, and in some cases eliminate, the local-oscillator sweep since the i-f will change in frequency but not degrade in accuracy.
The hybrid IC log amp model ICL-1-8555 is available now at a center frequency of 300 megahertz, and a second unit will shortly be released at 1,900 Mhz. The ICL-1-8555 has an r-f bandwidth of 80 Mhz and a dynamic range of 70 decibels minimum. The logging accuracy of the device is ±1.5 db across the entire bandwidth, and the nominal log slope is 10 millivolts per db. The maximum video output is 2 volts, while the maximum pulse rise time is 8 nanoseconds. Both the source impedance and the video output load are 50 ohms.
The log amp will perform over a temperature range of −20°C to +60°C. The unit is 4½ inches long, 1¼ inches wide, and 0.35 inch high, and uses SMA-type connectors. The power requirements
COMES WITH EVERY GE WET-SLUG CAPACITOR
A woman’s touch
When tender loving care is needed for optimum reliability in high-volumetric efficient tantalum wet-slug capacitors, what do you do? You use the deft hands of a woman. Careful assembly of the tantalum anode and its fine silver case demands exacting personal attention.
A woman’s touch is needed to protect the delicate dielectric coating of tantalum oxide during final assembly. Through gentle care and a spider support for the anode in its case, a consistently low stable leakage current characteristic for GE wet-slug units is obtained. This extra effort to prevent tantalum oxide damage has proved out in reliability analyses of over 10,000 hours at rated conditions. GE wet-slug capacitors meet or exceed the requirements of MIL-C-3965 and MIL-C-39006. They are also available in subminiature sizes down to .312 inch by .112 inch, with acid or non-acid electrolyte.
Choose from standard ratings (No voltage derating necessary to assure reliability)
Voltage Ratings: 6VDC to 150VDC
Capacitance Ratings: 3.3µf to 2400µf
Temperature Ratings: -55C to +85/125C
or let GE’s 20 years of experience special-design tantalum wet-slug capacitor to fit your slim, trim circuit needs.
Call your GE Electronics Distributor or ECSO District Sales Manager, or write Section 7, General Electric Company, 1 River Road, Schenectady, N.Y. 12305
Electronic Capacitor & Battery Dept., Irvington, N.Y. 10533
Controlled Avalanche Thyristors
...a complete range covering 25A to 110A, 600V to 1400V, in 5 different series, available now.
Every designer should have a copy of the Mullard booklet "Rectifiers, Diodes, Thyristors and Triacs" which not only covers controlled avalanche thyristors as well as high temperature, inverter and standard thyristors and rectifiers but also stacks and modular products which are the result of extensive research and development programmes in the Mullard laboratories in England. Mullard employ 1,000 qualified scientists and engineers and have six major plants, with over one million square feet of floor space.
Write today for information on Mullard controlled avalanche thyristors and for the name of your local representative.
Mullard Limited, Mullard House, Torrington Place, London W.C.1, England.
U.S.A. enquiries to Mullard Inc., 100 Finn Court, Farmingdale, Long Island, New York 11735, U.S.A. Telephone: (516) 694-8989. Telex: 961455.
Here are brief details of a selection from the range:
| Type Number | Peak Inverse Voltage Range | R.M.S. Current | Surge di/dt | Avalanche Test Power |
|-------------|-----------------------------|---------------|-------------|---------------------|
| BTX92 | 800-1200V | 25A | 280A 200A/μs| 10kw |
| BTX47 | 1000-1400V | 25A | 155A 50A/μs | 18kw |
| BTX48 | 1000-1400V | 25A | 200A 50A/μs | 18kw |
| BTX49 | 600-1200V | 110A | 1050A 50A/μs| 40kw |
| BTX50 | 600-1200V | 110A | 1500A 50A/μs| 40kw |
17 different types of controlled avalanche thyristor are all readily available from Mullard at competitive prices.
Compact. Log amp with wide dynamic range takes up 2.4 cubic inches.
of the device are +15 volts d-c at 50 milliamperes and -15 volts at 100 milliamperes.
The higher-frequency amplifier, not yet designated by model number, has a bandwidth of 500 Mhz, a dynamic range of 65 db minimum, logging accuracy of ±½ db, nominal log slope of 14 mv/db, a video bandwidth of 250 Mhz, pulse rise time of 1.5 nanoseconds, and a video output of 1 volt maximum. The impedance of the source is 50 ohms, and so is the video output load.
The ICL-1-8555 has a single-unit price of about $2,500.
LEL Division, Varian Associates, Copiague, N.Y. 11726 [410]
New microwave
Avalanche source puts out 250 mw
Solid state oscillator operates in 4-18 Ghz band without multiplier
It's less complicated than other solid state power components—that's the feature that Philco-Ford Corporation's microelectronics division points to in marketing its phase-lock avalanche oscillator source.
Called Avloc, the device provides up to 250 milliwatts in Ku band. Conventional solid state phase-locked multiplier chain sources usually are limited to about 50 milliwatts of output, according to W. J. Messmer, the Philco-Ford division's microwave marketing manager. Messmer is aiming Avloc at the power-source component market, which he estimates at $35 million to $50 million per year. The unit is designed to replace low-power klystron tubes, bringing solid state reliability, lower weight and smaller size to radar, communications, electronic countermeasures, and other equipment requiring source outputs up to 250 mw.
Avloc operates at center frequencies from 4 to 18 gigahertz. A typical model weighs about 16 ounces and measures 4 by 3 by 3 inches.
A phase-lock loop circuit provides broad phase-modulation; spurious output is minimized because the oscillator operates at its fundamental frequency, without multiplication.
In operation, a portion of the prime output signal from the unit's avalanche oscillator source is fed to a phase detector and compared with the output of a standard reference crystal oscillator which has been multiplied by a step-recovery multiplier.
The difference, if any, between the two is fed back into the avalanche oscillator through an integrated-circuit operational amplifier, locking the frequency of the avalanche oscillator source to that of the very stable, low-level crystal reference signal.
A key difference between the Avloc and other multiplier chain sources, Messmer points out, is the elimination of an intermediate multiplier step—the microwave energy has been generated at the desired output frequency. Future refinements and additional applications of IC technology are expected to further reduce the device's size and weight. To accomplish this, Philco-Ford plans to exploit its experience as a manufacturer of hybrid and monolithic integrated circuits.
Delivery of small quantities takes 30 to 60 days. Prices depend on performance specifications and quantity.
Microelectronics Division, Philco-Ford Corp., Union Meeting Road, Blue Bell, Pa. 19034 [411]
Look at the screen, not the knobs.
Three fewer controls mean you spend more time measuring, less twiddling. Dc balance, trigger stability and manual level are out. So triggering is fully automatic.
In either position automatic means automatic over the whole of the 10MHz range. And then on to at least twice this nominal bandwidth figure.
This unique Philips circuit has yet another feature. Whatever the signal, even no signal and whatever the sweep speed, the trace is always clearly visible.
There’s no dc balance control because none is needed. Drift is feedback and virtually eliminated. (At max. sensitivity (1/4div/24hours).
The PM 3200 is highly portable (11.7 lbs.). Battery pack optional.
Available in U.S. from Philips Electronic Instruments, 750 S. Fulton Ave., Mt. Vernon, N.Y. 10550
PHILIPS Test and Measuring Equipment
Explanation. When waveforms start looking like this: all other automatic trigger circuits stop triggering. So you have to switch to manual and start knob twiddling. With the PM 3200 you switch from “mean” to “top” and stay with signal-derived, fully automatic triggering.
Relay analyzer tests and tells
Computer-controlled system does 100% testing on 2,000 units per hour; software package permits operation by unskilled personnel
Volume production and acceptance testing of high-reliability relays for the military usually have made life difficult for manufacturers because of the large amount of detailed documentation required.
Commercial relay manufacturers, on the other hand, may not need detailed reporting on each relay, but do want to determine quality and failure trends.
Both needs are met in the new J1300 automatic relay production test and reporting system from Jacobi Systems Corp. Jacobi says the computer-controlled system is the first ever developed that can perform 100% testing on up to 2,000 relays per hour, together with analysis and reporting. The first system was sold to Leach Corp. after a year of feasibility studies indicated it would pay for itself within one year at a production rate of 1,000 relays per day, according to Jacobi.
Two consoles are used—a high-voltage unit for dielectric strength and insulation resistance measurements, and a dynamic console for testing coil resistance, contact voltage drop, pull-in/release voltage, voltage transients, and timing. Peripherals include three IBM print-
Automatic wave soldering systems
Fineline TD come in 2 models, TD-12 for 6 leads up to 12 in wide, and TD-14 for boards up to 14 in. The 11 ft 5 in inclined motorized conveyor handles single or double board carriers. Features include deep wide waves with oil inter-mix infinitely variable from no oil in the wave to full flow. Hollis Engineering Inc., Nashua, N.H. [421]
Automatic handler model IC 2500 is designed to transport 14 or 16 pin dual-in-line IC packages through an electrical test and sort sequence rapidly and efficiently. It facilitates handling of IC packages in applications such as high volume production testing or high volume incoming inspection. Scientific Measurement Systems, 351 New Albany Rd., Moorestown, N.J. [422]
Beam lead bonding tools come in any size or style for any chip application and in any desired quantity. Users have a choice of materials, including molybde, tungsten or Inconel alloys. Tools can be supplied for either weebie tool or self-aligning tool application and can be specified with heater soldered on or separate and replaceable. Micro-Swiss Inc., Cherry Hill, N.J. [423]
DIP extractor plier 4916 removes all 14-16-24- and 36-lead dual inline packages. It withdraws the IC straight up out of the board without bending leads, will not lift socket pads or pop up into operator's face. Metal teeth for durability and self-closing metal construction combine to provide a tool for fast DIP removal. Techni-Tool Inc., 1216 Arch St., Philadelphia. [425]
Vacuum coating system NRC 3111 is for high volume, high capacity, thin film deposition production. Tailored to meet the needs of IC makers, it employs the VHS-6 diffusion pump, rated at 2,400 liters/sec, and contains planetary tooling for high deposition rates from multiple resistance evaporation sources or an electron beam source. Norton Co., Charlemont St., Newton, Mass. [426]
Micro Hot Plate and Controller model 95 make hand or machine soldering of ceramic substrates as easy as soldering on conventional glass epoxy circuit boards. Substrates are preheated in seconds to a selected temperature below the melting point of the soldering alloy being used. Complete price is $95. Browne Engineering Co, Coast Village Circle, Santa Barbara, Calif. [427]
Automatic coil winder type 35 utilizes 3 spindles to triple high production output of precision coils. It can be programmed by IBM card or set of switches from a data sheet, for winding at speeds to 8,000 tpm to precise tolerances. Unit handles coils up to 8 in. long and 5 in. o-d, and wire sizes from 16 to 50 Awg. Eubanks Engineering Co., Monrovia, Calif. [424]
Oxide-free soldering system called Wavetipper is offered to manufacturers for a free 30-day trial. It uses a pump that continuously circulates molten solder over the reservoir lip through a circular nozzle providing a mirror-like 4-in. diameter dipping surface. The solder pot provides a dross-free application surface. Price is $750. Electrowert Inc., Mount Vernon, N.Y. [428]
Have a load to move?
... one of over 350 Ledex stock Solenoids can help you get a quick start on your prototype
Ledex rotary solenoids let you remotely step, turn, pull, trigger, index or hammer. They come in 8 sizes with torques ranging as high as 117 pound-inches. Features include high torque-to-size ratio and exceptional dependability. Endurance engineered models have a life of 100,000,000 actuations.
Ledex push/pull solenoids deliver linear wallop ... with extremely fast response. There are 7 sizes with up to 85 pounds force and strokes up to 3/4".
And Ledex keeps adding new stock models ... like the 3/4" diameter 0 EC and 2 1/4" diameter 6 EC push/pull models (shown in foreground). Both pack plenty of force in compact packages.
Stock models come in all sizes and most every power take-off configuration.
Chances are one of them meets your prototype needs. If not, our engineering people can give you a custom solution—fast. Write or call today for our latest Rotary and Push/Pull Solenoid Catalogs.
Specialists in remote actuation
LEDEX DIVISION, LEDEX INC.
123 Webster Street, Dayton, Ohio 45402 • phone (513) 224-9891
... library of tests available to operator ...
ers, two to print out specific failure information for the dynamic and high-voltage consoles, and a third for printing high-reliability tests and report analyses in a military specifications format. All tests to meet Mil-R-5757, Mil-R-6106 and Mil-R-39016 are performed automatically. An IBM model 1442 card reader also is used. Although the first system built for Leach uses an IBM 1800 computer, Jacobi says any of a number of minicomputers also can be used. With the IBM 1800, 16,000 words of 16-bit memory are utilized, together with a 500,000-word IBM model 1810 disk memory.
The heart of the system is PART (programable automatic relay test), a software package that permits operation by clerical personnel without programming experience. Using what Jacobi calls a fill-in-the-blanks language, the operator defines parameters and sequencing by filling out a standardized form and assigning a code number to the type of relay being tested. The proper tests are selected from a library of tests, and the information is relayed to the computer by card input. A higher-level language also is supplied, permitting the user to devise completely new tests by writing a Fortran program which becomes part of the system library of test programs.
Multiple-socket trays, each containing up to 48 single-coil spring return, or two-coil magnetic latching relays, are plugged into the consoles, which are equipped with quick-connect receptacles. Test sequences to be implemented by the system are determined by tray-type numbers. Each tray number is assigned by wiring or leaving open connections between a set of 10 interface pins and ground in the tray. Additional software to accommodate single- and two-coil polarized relays and four-coil logic relays is an extra-cost option. High-voltage console tests are performed simultaneously on all 48 relays in the test tray. The standard system can handle relays with up to six Form C or D contacts. Optionally, contact configurations up to 12 Form A or B, and up to 96 Form
Intech Op Amps hold the Inside Track
When it comes to performance, we lap the competition. Our FET input A-130 op amp typically slews at 700 V/μs. And every unit is guaranteed to go at least 500 V/μs.
But speed alone doesn’t win the race. It’s getting to the finish line that really counts. That means settling time. The A-130 makes it to 0.01% of final value in 500 nanoseconds maximum!
The A-131, a specially “tuned” op amp, is designed for your non-inverting applications. And it gives you nearly the same performance as the A-130.
Why not try the winner? When Intech builds an op amp the best component and design engineering the industry has available is behind it. But find out for yourself. A test is worth a thousand words. The A-130 and the A-131 are $68.00 each (quantity discounts available) and both are right from stock.
For more information on our high performance operational amplifiers, contact your local Intech representative or write us directly.
Intech Incorporated, 1220 Coleman Avenue, Santa Clara, California 95050
Phone: (408) 244-0500
Intech takes on the Op Amp Boys
The new Barnstead portable demineralizer. It tells you more. More precisely.
It replaces the old "idiot lights" with a meter. With the flick of a switch, you get an instant on-stream effluent read-out in parts per million and ohms resistance.
You get less sub-standard water and no wasted cartridge capacity.
Choose from five different disposable cartridges. For ion exchange (multi-bed and mixed-bed), organic oxygen or cation removal. Flow rates from 5 to 25 gallons per hour.
Dentum holder comes complete for wall or bench mounting, ready to assemble your relay water line. Federal, inlet, effluent tubing, cord, plug and UL approval included.
Your Barnstead dealer has the information on the entire demineralizer series. Give him a call or contact Barnstead Company, 225 Rivermoor Street, Boston, Massachusetts 02132.
BARNSTEAD
SYBRON CORPORATION
C or D can be accommodated.
The high-voltage console also can test synchronous motors and precision transformers with up to 14 leads, and the dynamic console can be applied to solid state and reed switch testing.
Ready. Tray of relays is in foreground, and test consoles are at right.
When a dielectric-strength failure is detected by the high-voltage console, voltage is cut off by the system within 10 milliseconds and the faulty relay disconnected while testing of the other relays continues. A similar interrupt is provided for insulation resistance failures, and in both cases the failure information is stored in the computer for printout and analysis. A failure report is printed immediately after tests on a particular tray are completed. A detailed test report, containing the accumulated results of all tests performed on a relay lot, can be printed, plus a summary report on test results. On command, the system also will print a quality trend report, giving the number of relays tested and failed in each test, and total number of relays tested and failed by relay type. Optional, extra-cost production control software permits failure and trend analysis of shifts producing a relay and materials used in the relay. Cost of the system ranges from $100,000 to $150,000, without the computer, and depending upon the software options. Delivery time is about 180 days.
Jacobi Systems Corp., 16625 Saticoy St., Van Nuys, Calif. 91406 [429]
Put $69 into your product line and start counting the profits. Digitally.
Take your product line. Snap Tyco's new 2½-digit panel meter into the same opening you might use for an ordinary pointer meter. And there you are in the digital age. And your entire line is better...a lot more than $69 better.
Tyco's new 2½-digit meter is the highest quality, lowest priced digital panel meter available. With the easiest, fastest, most accurate readings possible. Digital so there's no room for operator interpretation. So clear that your customers can read them from thirty feet across the room...from any angle.
The high performance and low price of this meter is possible because of a unique technological development.* It sells for $69 in lots of 100. $89 for single units. No mounting hardware is required because the 4 1/2" x 3" x 3" meter just snaps into the front of the panel opening and stays there. Reads to 100% over-range. Has 1 millivolt resolution. 100 megohms input impedance. Overload protection and polarity indication. Needs no zero adjustments. Requires low input power. Has no moving parts or pointer mechanisms to break down. Comes with a one-year warranty.
And there's more: 3½-digit units, both unipolar and bipolar, with and without BCD outputs; and 4½-digit units, bipolar with BCD outputs. Voltage attenuators and current shunts are available, increasing the versatility of Tyco panel meters. Send today for detailed specifications. We think you'll like our line. Tyco Instrument Division, Tyco Laboratories, Inc., Bear Hill Industrial Park, Waltham, Mass. 02154, (617) 891-4700.
* U.S. and Foreign Patents Pending
tyco instrument division
MOS array tester is run by computer
Machine geared for production runs analyzes wafers or mounted chips
As the number of MOS/LSI devices built into products multiply, so do the demands of meeting production and contract deadlines. More than one manufacturer has discovered that testing techniques that were adequate in the laboratory can put red ink on the corporate ledger when applied to production contracts.
The Redcor Corp. has introduced a new production-oriented, computer-controlled tester of metal oxide semiconductor arrays. Called PAFT II (programable automatic function tester) it is built around Redcor's RC-70 general purpose digital computer, with a 4,096-word, 16-bit memory.
The go/no-go tester has up to 64 data and power channels, with selectable word lengths of 200, 400, or 800 serial bits per channel. The 800-bit word length is a $300-per-channel option. Clocking is multiphase, adjustable for overlap, amplitude and period, with frequency ranges from 10 hertz to 2 megahertz. Strobe and clock parameters, one/zero voltage levels and input/output patterns are program-selected. Stress and circuit continuity tests from -40 and +5 volts also can be programmed. Channel format is non-return-to-zero and return-to-zero, selected by the program. Devices can be tested at both the wafer probe level and at final test, with the chip mounted on a header.
A single-bit parity check insures that data being circulated in the registers remains the same. Each channel has a parity error display lamp to show when a programmed word has an odd-bit change. Device test failures can be data logged, using a teletypewriter to print out pin and channel identification numbers. A duplexer, which costs an extra $5,000, permits using two test heads instead of one, and can alReliability is 3 billion dithers.
One Varian magnetron we recently life-tested was dither-tuned for 4,000 hours — more than $3.2 \times 10^9$ dithers! Tube and tuner were still going strong when the test was concluded.
Unsung heroes in this performance are Varian's little plug-in dithering head and frequency readout. Use-proven in current military systems, torture-proven MIL-E-5400 environmental tests, they can be installed with a variety of Varian magnetrons at frequencies from C to Ka band. And they're very simple to retrofit into existing systems.
The dithering head uses simple, proven mechanical concepts, and is easy to maintain and operate. Dithering frequency varies from 400 excursions-per-second at a 20 MHz frequency change to 33 excursions at 500 MHz. The 5 by 3½ by 1½-inch solid state frequency readout is accurate up to 0.1 MHz, even under 5g vibration.
System-simplification advantages are great: No bulky servo amplifiers necessary. And the excellent readout accuracy sharply reduces costly AFC circuit requirements.
So if frequency agility is your game, get what your system needs from more than 30 Varian Electron Tube and Device Group Sales Offices around the world, or from our Bomac Facility, Salem Road, Beverly, Mass., or our S•F•D Facility, 800 Rahway Ave., Union, N.J.
Varian eastern tube division
bomac/S•F•D
The best is usually more expensive
...but not these new Keithley Lock-in Amplifiers
Over the years, Keithley has developed a reputation as a leader in simplifying DC measurements. Now we have another advance . . . the Keithley 82 and 83 Lock-in Amplifier Systems which use the wide band approach to simplify AC, as well. If you're trying to isolate low level signals lost in noise, look at what we offer:
- sensitivity of better than 500 picovolts
- center frequencies from 1 Hz to 1 MHz
- resolution to 0.01%
- 0.005%/°C zero stability, and
- a building block approach where you buy only what you need
Either system offers unparalleled advantages in terms of quick set-up, easy operation and versatility of performance.
To make your lock-in amplifier money talk, talk to Keithley. About the System 82 for highly sensitive and demanding applications (for only $1895). Or the System 83 for less stringent uses (just $1595). If you don't need the complete system, buy only the Phase Sensitive Detector, Low Noise Amplifier or Phase Shifter.
For full technical details or help with a specific problem, call your experienced Keithley Sales Engineer. Or contact Keithley Instruments, Inc., 28775 Aurora Road, Cleveland, Ohio 44139.
Redcor Corp., 7800 Deering Ave., P.O. Box 1031, Canoga Park, Calif. 91304 [430]
For high speed harnessing with continuous lacing...
HERE IS THE WORK SPEEDING - MONEY SAVING -
GUDEBROD SYSTEM "C"
GUDEBROD FLAT TAPE BOBBINS—This special packaging of Gudebrod Flat Braided Lacing Tape is highly popular in the harness shop. Whether used in all hand tying or with the Cable-Lacer (for which it was designed) the bobbin makes conveniently available, high quality Gudebrod Tape in most of its many types—all engineered to lie flat, tie tight.
GUDEBROD CABLE-LACER®—This unique harnessing hand tool has proved a production speeder and harness improver. Makes up to 30 knots per minute. While making firmer harnesses with tighter, more uniform knots, it eliminates wear and tear on operator's hands because special brake takes strain of knot setting. Holds bobbin of Gudebrod Tape in handle.
LONGER WIRE HOLDING PINS—They make wire threading much easier, quicker (no repeated wire redressing between pins). In harness tying they preserve the layout while using the Gudebrod Cable-Lacer. Special case hardened pins, nail better, stay straight, no nailheads.
GUDEBROD SWIVEL-TILT HARNESS BOARD MOUNT
—Two dimensional balanced mobility puts every section of the cabling within easy, natural reach of the operator. Work done in this unstrained manner goes faster, is better, all day through.
There it is, the Gudebrod System “C” solving the cable making problems in a speedy, economical, profit improving way. Ask about System “C” (If you use intermittent tying, ask about Gudebrod System “S”).
Gudebrod’s
Special, Longer
Case Hardened Pins
GUDEBROD
Electronics Division
GUDEBROD BROS. SILK CO., INC. Founded 1870, 12 South 12th Street, Philadelphia, Pa. 19107
©T.M.—UNION SPECIAL MACHINE CO.
Gudebrod Swivel-Tilt Harness Board Mounts available in several sizes
Circle 205 on reader service card
Same big volts.
DC Power Supply Modules
GUARANTEED FOREVER
acdc electronics inc.
New little package.
We took everything in the big one and put it in the little one. Then we made the little one in all the same output ranges as the big one. And gave it the same price. And the same guarantee. And put all the details in our new catalog which is yours for the asking. Simply write to:
acdc electronics, inc. Oceanside Industrial Center
Oceanside, California 92054, Telephone (714) 757-1880
X-Ray spectrometer puts the fix on the mix
In-plant analyzer tied to data processor puts out composition statistics of raw materials in less than three minutes compared with two-hour analysis by chemists
Faster, better data isn't a goal only of upper management—it's also an objective for process-plant managers. This is what Philips Electronic Instruments believes it offers them with both its new X-ray fluorescence spectrometer and associated data processing unit. Dubbed the PW 1250, the new unit has proved this point in its initial installation at Lehigh Portland Cement's Union Bridge, Md., facility.
According to Kramer J. Schatzlein, Lehigh's chemical engineer charged with quality control, when Union Bridge wanted to tighten control over its kiln feed, it found the PW 1250 yielding faster analyses than would have been obtained through hiring more laboratory chemists.
Using cement as a typical application, the Philips spectrometer simultaneously analyzes up to seven components that are fed into the kiln to be converted to clinkers. Thus, while the composition of incoming materials differs, the analyzer can provide a readout of the total amount of such elements as aluminum, silicon, calcium, magnesium, iron and sulfur. Any deviation from desired composition can...
The first plug-in curve tracer costs 1/3 less!
With U-Tech's plug-in and console units, any X-Y oscilloscope becomes a curve tracer displaying the dynamic characteristics of both NPN and PNP transistors, N Channel and P Channel junctions, FET's, MOS-FET's, bipolar, unijunctions, diodes, tunnel diodes and SCR's. You have curve tracer capabilities, without buying a complete curve tracer unit.
In so doing you pay up to:
1/3 less!
U-Tech plug-in MODEL 681: $655.00* For use with Tektronix 560 Series Oscilloscopes.
U-Tech plug-in MODEL 682: $675.00.* For use with Tektronix 530, 540, 550, 580 Series Oscilloscopes.
U-Tech console MODEL 683: $685.00* For use with any X-Y Oscilloscope.
Ask your distributor about these U-Tech curve tracer units or order direct from:
U-TECH
A DIVISION OF INDUSTRIAL PHYSICS AND ELECTRONICS COMPANY
4190 SOUTH STATE STREET,
SALT LAKE CITY, UTAH 84107
(801) 262-2663
†Registered trademark Tektronix Inc.
*Prices apply to purchase and shipments within U.S.A. fob Salt Lake City, Utah
Industrial electronics
Thickness gage gives digital answer
Converting acoustic-pulse echo to direct readout eases operator's job
Statistical evaluation of a manufacturing operation's performance is one of the advantages that Branson Instruments' 102/DP ultrasonic thickness gage offers because of its direct-reading digital output. The operator benefits, too. Previously, such thickness gages required operator interpretation of analog signals to determine the thickness of a part, and this was time-consuming and subject to error.
In the Branson unit, an acoustic pulse is transmitted through the workpiece and is reflected back from the far surface. Thus, depending on the acoustic velocity of the tested material, the pulse duration can be calibrated to the material's thickness. The instrument converts this pulse duration into digits representing the thickness, and the digital readout appears on the front panel.
Normally, the unit is calibrated at the factory to measure steel, but a simple adjustment allows the digital readout to remain calibrated in inches for other kinds of materials, including hollow castings, large-diameter seamless tubing, plastics, glass, and ceramics. The system is designed for jobs where a high level of confidence is required in measurement of thin materials.
Besides a panel readout, the instrument sets up a digital signal that can be fed to a computer to keep track of such information as rejection rates and production errors.
The unit's range is from 0.010 to 10 inches. Accuracy is 0.0001 inch for thin materials, 0.01 inch at the higher readings.
The basic unit sells for $3,500; high- and low-limit digital setpoints and tape printer options bring the total price to $5,000.
Branson Instruments Co., Progress Drive, Stamford, Conn. 06904 [390]
Bone dry... is not dry enough for some people.
On the surface, things that look pretty dry just aren't dry enough for some jobs. Jobs like precisely monitoring trace water in gas streams. Or finding out exactly how dry a dry box operates.
Beckman has designed, built and introduced a new line of Trace Moisture Analyzers to accomplish this critical job. They tell exactly how many parts-per-million of water are present in gas streams and atmospheres. This new generation of instruments is "industrialized" for greater durability, maintenance simplicity and reliability. The line includes portable and semi-portable models as well as panel-mounted control units and remote analyzers. Each analyzer has a more easily replaceable cell, a temperature controlled detector, and a new heavy-duty die-cast aluminum case. Many other standard features and options are offered like front-settable solid-state high alarm contacts, and terminals for a potentiometric or current-level recorder.
For all the facts, call your local Beckman Sales Representative or write for Data File PTM-13-170.
SAGE CUSTOM MOLDED DUAL-IN-LINE TRANSFORMER MODULES
ONE
TWO
THREE
FOUR!
...that's how many pulse transformers you can have in this unique D-I-L package!
Yes, in one 16 pin dual-in-line only .825" long, Sage can give you up to four pulse transformers that will provide DC isolation; impedance matching; current/voltage gain or common mode rejection. Typical applications include memory drivers; sense line outputs, or common mode chokes*. Also available—comparable 14 pin dual-in-line module of the same configuration with a maximum length of .770" and with complete D-I-L compatibility.
With this new molded D-I-L package, production insertion techniques for transformers are now as economical as for integrated circuits.
*MAXIMUM ELECTRICAL PARAMETERS
- Average current—150 milliamps (25% duty cycle)
- Average power—250 milliwatts
- Peak pulse voltage—50 volts
- ET constant—6.5 volt/microseconds
When you want advanced packaging design in micromagnetics backed by an unsurpassed reputation for quality, accuracy and dependability ... look to Sage!
We welcome the opportunity to discuss your requirements.
SAGE ELECTRONICS CORP., Box 3926, Rochester, N.Y. 14610
Telephone: (716) 586-8010
A Leader in Micromagnetics
SAGE ELECTRONICS
SUBSIDIARY OF GULTON INDUSTRIES, INC.
New materials
Tubing made from fiberglass
Fiberglass cloth preimpregnated with epoxy resin is convolute wrapped around precision ground mandrels and cured under heat and pressure to produce Class F, 155°C tubing. Good strength at 0.005±0.001-in. wall thickness is achieved with sharp 90° inside corners. Sizes from below 0.062 in. sq. and round are available. Tubing is used for coil winding, tiny sensors, or for small motor shaft insulation. Stevens Tubing Corp., 128 N. Park St., East Orange, N.J. 07019 [491]
Isochemrez 402-AP is an all-purpose, rapid air releasing, low viscosity, calcined alumina filled epoxy resin. It is suitable for rigid specification potting, casting, impregnation, encapsulation, sealing, bonding and molding. Isochem Resins Co., Cook St., Lincoln, R.I. 02865 [492]
Multipurpose emi/rfi material called Pola H is said to provide more low frequency magnetic field gasketing capability than previously available. It is also highly effective in electric and plane wave fields, and maintains up to 250 psi pressure tightness in properly designed joints. Pola H comes in strips or gaskets fabricated to customers' print. Metex Corp., 970 New Durham Road, Edison, N.J. 08817 [493]
Industrial aerosol chemical products have been developed to assist in the manufacture, assembly, maintenance and repair of electronic and electromechanical equipment. Prices range from $1.29 to $2.89 each in single-can quantities. Bradford Industries, 100 Fordyce St., Dallas 75207 [494]
Scotch-Weld degreasing primer 3911 removes surface contaminates and primes the surface of metal parts for bonding, all in one operation. 3M Co., 3M Center, St. Paul, Minn. 55101 [495]
Advanced magnetic shielding alloy Conetic M offers non-shock-sensitive, low retentivity, and stable shielding properties. It also provides improved electrical attenuation against low level fields for radar, sonar, missiles, aircraft, data processing displays. Perfection Mica Co., 740 Thomas Dr., Bensenville, Ill. 60106 [496]
When ordinary methods of observing and recording don't deliver
call Kodak
We have a very large staff of photographic engineers qualified to provide photographic solutions to previously unsolvable problems. Together, you and they can probably work out solutions. A few challenges presented to us recently...
A research team needed a way to study the combustion of metal droplets. Kodak was able to provide a film just right for high-speed cameras to record exactly what happens at 4000°C... and in what sequence (see picture above).
Another group, concerned with impact testing, faced the problem of oscillograph traces which intermixed hopelessly at the point showing impact. They called Kodak. And found that we had a paper that, when exposed through appropriate filters, would provide multicolored traces. These could be interpreted even with large amplitude variations on narrow paper.
A third group had the problem of projecting computer output on a screen in color. Particularly troublesome was the fact that these data had to be updated and changed every few seconds. They called Kodak. Our engineers answered their problem with an embossed lenticular film originally intended for color kinescope recording. This film not only developed in 20 seconds to stay within their time requirements, but, with appropriate shooting and projecting techniques, produced the necessary color images.
Right now, you may be facing a data-collection problem that seems to defy solution. It may be quite different from those we mentioned. Your best bet could be a conversation with one of our photographic experts. Call Kodak.
Dial (716) 325-2000, Ext. 3257.
Or write: Instrumentation Sales,
Eastman Kodak Company,
Rochester, N.Y.
14650.
How much would H(BEEP) P(BEEP) charge for a microwave power meter with digital display?
At least $500 more than we charge for the 1009.
PM's Model 1009 Digital Power Meter measures frequency gains or attenuations directly in dB. (Or milliwatts or dBm from +10 to -40 dBm.) With 0.1 dB resolution. Frequency range 10 MHz to 18 GHz. Digital readout. Swept frequencies may be scoped or plotted. The Model 1009 provides automatic system compatibility and unequalled low drift. All for $1850. For specs, write Pacific Measurements, Inc., 940 Industrial Avenue, Palo Alto, California 94303.
New Books
Wrap-up
Handbook of Electronic Packaging
Charles A. Harper
McGraw-Hill Inc., 948 pp., $29.50
Electronic packaging has come a long way from the days of the tube socket, twisted filament-lead wires, and rubber grommets. Now it's beam-leads, hybrid-circuit ceramic substrates, ultrasonic bonding and a host of other new terms. It's even getting difficult to tell the difference between the circuit design and the package design. Every engineer is now becoming his own packaging expert again.
This book could probably turn you into an expert in packaging if you had the fortitude to plow through its nearly 1,000 pages. But it's a handbook—a book that's meant to be consulted on specific topics with specific questions and then laid aside until the next time.
The real test of a handbook is not whether it holds your interest or whether it has a logical sequence of reasoning to explain a point, but whether it is complete and is indexed well enough to steer you to the proper information, and whether the proper information is actually there.
Let's give it a try. Suppose you want to know something about thick-film conductor inks—what's available, what kind of processing is involved, and how do they perform.
The index shows that thick-film conductor inks are covered on pages 5-16 (why do all handbooks have this odd chapter-page number scheme?) through page 5-20. That's reassuring—at least five pages. What do we find in these five pages? First of all, we find that the text type size is quite small—about two-thirds the size of the type used in this book review—but that's not bad, because the handbook is not intended for lengthy reading. We also find a table listing five conductor types with ten properties compared. We also find a couple of photos of conductive substrates, and a table dealing with epoxy conductors.
There's a 25-line discussion of gold as a conductor, in which it's
In the first of a series of seminars to be held in major U.S. cities, we met with these top designers, human engineers, and components men from both the military and commercial fields. We're looking for new ideas, new approaches, to switches. The benefit: Improved products directly attributable to the needs of the industry.
From the engineers involved with military applications: There was considerable discussion on switch manufacturers providing greater documentation on shelf life and other reliability factors. The military is getting tougher on operational life and human engineering aspects. On GSE equipment, front panel mounting should be made more broadly available for ease of maintenance. Pushbutton switches, it was stated, even though necessarily miniature for aircraft applications, should have staggered pushbuttons so that a gloved finger could actuate each switch independently without pressing the adjacent one in error.
From the computer men: Give us switches with more electronics in them... almost subsystems that will reduce the amount of necessary logic and circuitry used in conjunction with the switch. Help us eliminate the amount of wiring required. The possibility of solid state thumbwheels was discussed, and while some felt there was a definite advantage, others suggested that they had more technical difficulties with solid state devices than the straight electromechanical device.
Now it's your turn. We'd like you to tell us what you'd like to see in switches. Or out of them. It won't be wasted effort. The information you give us, plus all we get from our 1970 Seminar Program, will help us to continue to design the most advanced, best performing switches available. The leader can't afford to do less.
THE DIGITRAN COMPANY
A Division of Becton, Dickinson and Co.
855 S. Arroya Parkway, Pasadena, Calif. 91105
Telephone (213) 449-3110 • TWX 910-588-3794
Circle 213 on reader service card
pointed out that there are numerous conductive gold inks available that fire between 800° and 1,000° C and that "most gold conductors can be soldered only with indium-base alloy solders, although one paste is available which can be soldered with eutectic tin-solder." It's also pointed out that there is a marked difference in characteristics of palladium-silver resistors fabricated with gold terminations and those produced with other conductors as terminations.
The text then moves on to platinum-gold, palladium-gold, palladium-silver, silver, moly-manganese and epoxies and adhesives, covered at about the same level of detail.
But suppose you want more details. Are there any references? None of the 32 references listed at the end of the chapter appear to offer much in the way of specific details about thick-film conductors. However, other subjects in the chapter—thick-film resistors, insulators, capacitors, and substrates—are heavily referenced, and, some of these may cover conductors, too. But, this seems to be about the only criticism that one could make of the section.
The rest of the handbook covers such topics as rigid and flexible printed wiring, wires and cables, soldering, welding, metal bonding, connectors, thermal design, and computer-aided design, while special chapters cover packaging methods for each of three major application areas—computers, military, and space.
Each chapter is by a different author from, by and large, different companies. This is good because it assures that the viewpoints are not those of a single company. Mr. Harper, the editor, is with Westinghouse Aerospace division in Baltimore, and has been in the packaging field for 15 years.
Recently Published
Engineer's Guide to High-Temperature Materials, Francis Clauss, Addison-Wesley, 401 pp., $14.95
Designed primarily for those who use materials at elevated temperatures, this book contains a wealth of information
These guys have Utilogic II.
SIGNETICS STOCKING DISTRIBUTORS
ALABAMA
Huntsville 35801: Compar Corp., 904 Bob Wallace Ave., Room 114
Phone: (205) 539-8476
ARIZONA
Scottsdale 85251: Compar Corp., 84 West 1st Street
Phone: (602) 247-4336 TWX: (910) 950-1293
CALIFORNIA
Burlingame 94010: Compar Corp., 828 Airport Blvd.
Phone: (415) 347-1711
Culver City 90230: Hamilton Electro Sales, 10912 W. Washington
Phone: (213) 876-1711
Burbank 91501: Compaq Corp., 2908 Naomi Avenue
Phone: (213) 843-1772
Los Angeles 90024: Czezo Electronics Inc., 5650 Jillion Street
Phone: (213) 685-9255 TWX: (910) 580-1980
Palo Alto 94303: Western Electronics, Inc., 3971 E. Bayshore Road
Phone: (415) 321-4115
San Diego 92111: G. S. Marshall, 7990 Engineer Road, Suite 1
Phone: (714) 451-1111
El Segundo 90245: G. S. Marshall, 9674 Telstar Avenue
Phone: (213) 579-1500 TWX: (910) 587-5565
CANADA
Downtown, Winnipeg: Czezo Electronics Ltd.,
24 Martin Ross Avenue
Phone: (204) 631-1111
Montreal, Quebec: Czezo Electronics Ltd., 4050 Jean Talon West
Phone: (514) 733-5118
Guelph, Ontario: Czezo Electronics Ltd., 1300 Carling Avenue
Phone: (613) 729-5118
Quebec: Czezo Electronics Ltd., 128 West Ballier Street
Phone: (514) 524-3118
COLORADO
Denver 80216: Compaq Corp., 100 East Hampden Avenue
Phone: (303) 761-0912 TWX: (910) 931-0183
Denver 80216: Hamilton Electro Sales, 1400 West 46th Street
Phone: (303) 761-0980
CONNECTICUT
HAMDEN 06530: Compaq Corp., 2357 Whitney Avenue
Phone: (203) 288-9276 TWX: (203) 772-0439
FLORIDA
Orlando 32805: Hammond Electronics, 911 W. Central Blvd.
Phone: (305) 241-6601
ILLINOIS
Elihamt 60126: Semiconductor Specialist, Inc.,
195 Spangenberg Industrial Park
Phone: (312) 279-1000 TWX: (910) 254-0169
Addison 60101: Compaq Corp., 315 Laura Drive
Phone: (312) 253-8835
MARYLAND
Baltimore 21208: Compaq Corp., Pikesville Professional Bldg.,
1 Church Lane
Phone: (301) 484-5400 TWX: (710) 862-0860
Rockville 20852: Western Washington Electronics, Inc., 1037 Taft St.
Phone: (301) 427-3300
MASSACHUSETTS
Burlington 01803: Avent Electronics Corp. of Mass.,
201 Main Street
Phone: (617) 272-3060
Newton Highlands 02161: Compaq Corp., 88 Needham Street
Phone: (617) 968-0140 TWX: (710) 335-1686
Watertown 02172: Schley Electronics Corp., 36 Arlington Street
Phone: (617) 926-0235
MICHIGAN
Detroit 48275: Compaq Corp., 21250 10½ Mile Road
Phone: (313) 537-5369
Detroit 48240: Compaq Semiconductor Specialists Inc.
10½ Mile Road
Phone: (313) 255-0300
MINNESOTA
Minneapolis 55416: Compaq Corp., 3925 Monterey Avenue,
P.O. Box 16095
Phone: (612) 722-7011
Minneapolis 55421: Semiconductor Specialists Inc.
7742 Morgan Avenue South
Phone: (612) 866-3434
MISSOURI
St. Louis 63141: Compaq Corp., 11734 Lackland Industrial Drive
Phone: (314) 542-3399
NEW JERSEY
Cherry Hill 08004: Hamilton Electro Sales,
1000 Cherry Hill Mall
Phone: (609) 662-9337
Haddonfield 08033: Compaq Corp., 15 Potter Street
Phone: (609) 421-1526
NEW MEXICO
Albuquerque 87110: Compaq Corp., 2129 San Mateo, N.E.
Phone: (505) 267-1020 TWX: (910) 989-1659
NEW YORK
Albany 12205: Compaq Corp., 1 Highland Avenue
Phone: (518) 467-7400 TWX: (710) 862-8224
Buffalo 14202: Summit Distributors Inc., 916 Main Street
Phone: (716) 884-3450
New York 10019: General-Hudson Electronics, 236 W. 17th St.
Phone: (212), 243-5200 TWX: (710) 581-3962
Poughkeepsie 12603: Compaq Corp., 1000 Broadway Drive
Phone: (516) 921-9393 TWX: (510) 221-2170
NORTH CAROLINA
Winston-Salem 27105: Compaq Corp., 1108 Burke Street
Phone: (919) 722-1002 TWX: (310) 931-3101
OHIO
Cleveland 44103: Pioneer Standard Electronics,
5403 Prospect Avenue
Phone: (216) 432-5110
Fairborn 45324: Compaq Corp., 16 South Broad Street
Phone: (513) 878-2651
Euclid Park 44115: Compaq Corp., 19500 Center Ridge,
Rocky River, Ohio 44141
Phone: (216) 333-4120
PENNSYLVANIA
Philadelphia 19132: Milgray-Delaware Valley, Inc.,
2352 North Broad Street
Phone: (215) 228-2000 TWX: (710) 670-3400
TEXAS
Dallas 75207: Hamilton Electro Sales, 2344 Irving Blvd.
Phone: (214) 947-3721
Dallas 75241: Compaq Corp., 8609 N.W. Plaza Blvd., Suite 222
Phone: (214) 947-4336
Fort Worth 76102: Hamilton Electro Sales, 1216 West Clay Street
Phone: (713) 526-4661 TWX: (910) 881-3721
Houston 77007: Universal Electronics, 5723 Savoy
Phone: (713) 781-1111
WASHINGTON
Kirkland 98033: Compaq Corp., 12610 N.E. 104th Street
Phone: (206) 822-4191
Seattle 98108: Klerup Electronics, 5940 6th Avenue, South
Phone: (206) 765-1550
Now you can get it II!
What's more, they've got a great big handbook, II—on Utilogic II!
Descriptions, specs, device data, how-to's, design ideas on the only integrated circuit logic family that gives you 1) lowest cost per gate function, 2) choice of AND, OR, NAND and NOR logic, and 3) silicone DIPs. XXXII pages in all! See any of the guys above—and you can get it II!
At ICE's seminars practical experience is taught — what others have learned the hard way. As an unbiased party, ICE evaluates all of the IC processing techniques used throughout the industry. ICE has no hardware to promote, only sound technical information to dispense. Fees cover tuition, course materials and texts. Enrollment is limited. For a complementary copy of "MOS Integrated Circuits — The Designer's Dilemma" given by Glen R. Madland at WESCON 1969, write to Robert L. McLellan, Publications Manager, ICE.
**4-DAY IC ENGINEERING SEMINARS**
**AND ONE-DAY SPECIALIZED SEMINARS**
The 4-day seminar provides a solid understanding of IC technology for both management and engineering personnel. Optional 1-day and 1½ day seminars are offered on specific IC subjects.
**DATES**
- January 19-23
- February 16-20
- April 6-10
- May 18-23
**SEMINAR CONTENT**
- 4-day engineering seminar plus 1-day seminars on COMPUTER AIDED DESIGN and PRODUCT ANALYSIS.
- 4-day engineering seminar plus 1-day seminars on RELIABILITY and MOS LAYOUT.
- 4-day engineering seminar plus 1-day seminars on PURCHASING/MARKETING and MANAGEMENT.
- 4-day engineering seminar plus 1-day seminar on LSI or 1½ days on FAILURE ANALYSIS.
Registration Fees, including ICE's Basic Technology (500 page fifth edition), $500 for 4-day seminars, $175 for 1-day seminars, $275 for 1½ day seminars. Seminar dates for the balance of 1970 will be announced later in the year.
**FOR COMPLETE DETAILS CIRCLE READER SERVICE # 504**
---
**4-WEEK IC DESIGN/FABRICATION SEMINAR**
Covers entire spectrum of procedures used today in the IC industry as well as advanced techniques developed by ICE. Laboratory periods are devoted to student IC design and fabrication instruction in ICE's modern research facility.
**1970 SEMINAR DATES**
- February 23 to March 20
- September 21 to October 16
Registration fee, including a complete set of the five-volume Process Compendium (1,489 pages, 831 illustrations), ICE Basic Technology, laboratory workbook and all laboratory materials, is $10,000.
**FOR COMPLETE INFORMATION CIRCLE READER SERVICE # 505**
---
**2-WEEK IC PROCESSING SEMINAR**
This ICE seminar provides intensive familiarization with detailed processing techniques for production of silicon integrated circuits. Course combines classroom lectures with actual operating experience in ICE's modern prototype laboratory.
**1970 SEMINAR DATES**
- June 1 to June 12
Registration fee, including ICE's Basic Technology (500 page fifth edition), Process Compendium (1,489 pages, including "recipe book"), workbook and laboratory notebook, is $3,000.
**FOR COMPLETE INFORMATION CIRCLE READER SERVICE # 506**
---
**New Books**
on the basic behavior of metals and alloys, the structure and composition of specific materials, design considerations, and non-ideal conditions encountered in service. Included are condensed data tables for important commercial alloys.
**Theories of Abstract Automata**, Michael A. Arbib, Prentice-Hall, 412 pp., $14.95
Advanced introduction to automata theory. Surveys abstract automata theory and covers such topics as finite automata, tuning machines, context sensitive and context-free grammars. Also discusses partial recursive functions and complexity of computation, machines that compute and construct, algebraic decomposition theory, and stochastic automata.
**Fundamentals of Quantum Electronics**, R.H. Pantell, H.E. Puthoff, John Wiley & Sons, 361 pp., $15.95
Emphasizes physical significance of results rather than mathematical formalism and covers such topics as resonant processes, lasers, field quantization and dipole transitions. Features comparison between semiclassical and fully quantized approaches, a novel geometric presentation for the transient behavior of pulsed and Q-switched lasers and an extensive presentation of nonlinear quantum effects.
**The Physics of Selenium & Tellurium**, ed. W. Charles Cooper, Pergamon Press, 380 pp., $18.50
The proceedings of an international symposium under the sponsorship of the Selenium-Tellurium Association. Notes important recent advances, emphasizing band structures, optical and electrical properties, crystal growth and characterization.
**Proceedings of the Symposium on Pulse-Rate and Pulse-Number Signals in Automatic Control**, ed. National Technical Organizing Committee of the IFAC, Akademiai Kiado, 569 pp., $28
Outgrowth of work done by Hungarian research workers in the development of process-control and data-processing equipment. Concentrates on the use of pulse-rate and pulse-number signals, and discusses incremental techniques, logic elements, data transmission controllers and actuators, and analysis and synthesis of pulsed systems.
**Semiconductor Plasma Instabilities**, Hans Hartnagel, American Elsevier, 206 pp., $11
Covers semiconductor bulk effect theory and, to a lesser extent, its applications. Among topics are semiconductor physics equations for plasma instabilities, Gunn oscillators, avalanche diodes, and the electroacoustic effect.
HP's new 7034A is as trim as you can make an 8½" x 11" X-Y recorder. But size is the only thing small about it. The frame has all the features and versatility of our big X-Y Recorder. Such as 1500 in/sec² acceleration and 30 in/sec slewing speed, to catch transients most X-Y recorders miss. Guarded circuits to reject ac and dc common-mode signals. Exclusive, silent electrostatic paper hold-down to eliminate slippage. Disposable ink cartridge to eliminate mess and make color changes easy. And zero set/check for fast verification of zero position without removing or shorting the input signal.
High dynamic performance is matched by the flexibility we've achieved with our unique plug-in concept: two may be used in each axis, and can be cascaded. With eight plug-ins to choose from, you can add to your measurement capabilities as the need arises.
With the Time Base plug-in, you can capture X-T or Y-T data at ½ sec/in to 100 sec/in sweep rates. Expand low-level signals for detailed study with the DC Preamplifier. Suppress steady-state dc to reveal small-signals using the DC Offset plug-in. Plot single channel data at 50 points/sec with the Null Detector and accessory point plotter. Plot two channels independently with the Scanner.
Eliminate ac signal components over 50 Hz with the Filter plug-in. And for more run-of-the-mill recording jobs, try our low-cost DC Attenuator or DC Coupler.
You'll be glad to know that the price on this new X-Y Recorder is also small: just $1195 for the basic instrument. Plug-in prices start at $25. For all the big details, contact your local HP field engineer. Or write to Hewlett-Packard, Palo Alto, California 94304; Europe: 1217 Meyrin-Geneva, Switzerland.
HEWLETT PACKARD
GRAPHIC RECORDERS
Circle 217 on reader service card
**Technical Abstracts**
**Straightening the thermistor**
Comparison of temperature sensors for Apollo experiment instrumentation
Earl E. Swartzlander Jr.
Ball Brothers Research Corp.
Boulder, Colo.
Investigation of temperature control for the Apollo Telescope Mount (ATM) Project provided comparative information on temperature sensors and resulted in a simple method of producing a linear temperature response from a highly nonlinear thermistor temperature sensor.
The ATM is made up of several scientific experiments whose measuring devices must be accurately pointed at the sun. For example, the ultraviolet scanning spectrophotometer requires that the telescope's pointing accuracy be within 5 arc-seconds. To attain this accuracy, a constant temperature must be maintained along the telescope's case. If the thermal control system fails, any resultant temperature gradient would cause the telescope to bend and defocus. However, with suitable temperature sensors located at many points along the case, observed data can be corrected for mechanical deformation.
Five types of sensors were investigated for suitability as case temperature monitors over the telescope's useful operational range of from 65° F to 100° F. The measurement devices were linear-temperature coefficient quartz crystals, platinum resistance sensors, silicon resistance sensors, thermistors, and thermocouples.
The operating principle of each sensor type is reviewed and the state-of-the-art for each type is presented. Among the salient factors described in detail are: nonlinearity, the output characteristic with respect to measured temperature; sensitivity, the percent change in output per °C; and stability, the measured temperature drift in °C per year.
These sensors have substantially different sensitivities and different stabilities. One way to compare them is by calculating a figure of merit—the ratio of sensitivity to stability. By definition, the higher
the ratio, the "better" the sensor. This ratio is 0.35% for quartz crystal, 13% for platinum resistance, 0.035% for silicon resistance, 0.003% for thermocouples, and 80% for thermistors.
From the viewpoint of sensitivity and stability, the thermistor stands out. A high-quality thermistor has a stability of 0.05 °C per year and sensitivity of about — 4% per °C. However, the thermistor is highly nonlinear, characterized by an exponential resistance-temperature relationship in which resistance decreases as temperature increases. And for reading out the temperature directly in temperature units, such extreme nonlinearity proves annoying because of the crowding of calibration marks at one end of the scale. Generally, it's desirable to produce a signal that's proportional to measured temperature rather than to measured resistance.
The circuit shows a simple way of linearizing thermistor-temperature measurements. Its operation depends on the proper selection of the value of $R_{in}$ so that the operational amplifier's closed-loop gain decreases as the thermistor's resistance, $R_{th}$, increases. The output voltage is
$$E_{out} = - VA (R_{equiv} R_1)$$
where
$$R_{equiv} = \frac{(P_1 R_{th})}{(R_1 + R_{th})}$$
and the amplifier's closed loop gain is
$$A = \frac{R_f}{(R_{in} + R_{equiv})}$$
Normally $R_{in}$ is very much greater than $R_{th}$, so that the output virtually tracks the termistor's nonlinear response. However, by
choosing a much lower value of $R_{in}$—generally within an order of magnitude of $R_{equiv}$—the amplifier’s gain becomes more sensitive to changes in the thermistor’s resistance.
The value of $R_{in}$ depends on the actual thermistor’s resistance vs. temperature characteristic, the desired operating temperature, and the temperature range. Selection of $R_{in}$ can be accomplished by trial and error or by a computer program.
Presented at the ISA Annual Conference and Exhibit, Houston, Oct. 27-30.
**Stable Gunn**
*Gunn effect stalo*
J.F. White
Microwave Associates Inc.
Burlington, Mass.
The Gunn-effect diode is ideally suited to replace the more complicated harmonic generator as a stable local oscillator in radars and microwave communications systems. A-m noise and f-m noise in the Gunn device are comparable to that of a reflex klystron; the Gunn oscillator draws only two watts from a 10-volt supply while the klystron draws considerably more and at a higher voltage. A temperature stabilized, mechanically tunable X-band oscillator has been designed and built for use in communication systems where no automatic frequency control correction can be used due to the 10-megahertz spacing of channels.
The Gunn-diode oscillator’s output was post-coupled to a hermetically sealed waveguide cavity, and then iris-coupled to the output waveguide. D-c bias was applied from an external supply through a coaxial choke terminating the opposite end of the post. Linear tuning over a 2-gigahertz range was made possible by utilizing a screw tuner at the top of the cavity. Further tuning could have been effected if the range of the tuner drive were increased.
Maximum output power versus frequency resulted from optimizing the bias voltage (always between 8-9 volts) at each frequency, while
This bit serial data recorder (our digiDeck) is built for work, not play. It is not a patched-up audio tape deck. We designed it exclusively for data recording on Phillips-type magnetic tape cassettes. It has a minimum of moving elements to ensure operational reliability. Electronics and controls are self-contained.
The digiDeck is available in four models:
- Read, only
- Write, only
- Read and write
- Read and write, with read after write
The digi-Deck series is designed for the manufacturer who wants to build in his own data recording system. Prices begin at $285 in OEM quantities.
Our digital cassette recording unit (the DigiCorder) is available in one, two and four-deck models. Its Phillips-type magnetic tape cassette input/output capabilities enable program dumping or loading, data read and write, tape duplication and modification, assembling, compiling, tape preparation, tape sorting or merging.
Interfaces to computers, typewriters and other digital devices are available.
A self-contained unit (including power supply) with its own control logic, the DigiCorder accepts eight-bit parallel I/O signals. Prices begin at $795 in OEM quantities.
We're not selling promises. Our data storage systems are expressly designed and manufactured for digital application. Their reliability is proven by consistent performance in ICP customers' systems. We can make two-week, off-the-shelf delivery of our digiDeck or DigiCorder. Contact one of our regional sales-service offices or fill in the reader card for full specifications. At ICP, all our systems are Go.
INTERNATIONAL COMPUTER PRODUCTS, INC.
P. O. BOX 34484 DALLAS, TEXAS 75234 214 239-5381
TWX: 910-860-5009 CABLE: ICPTX DALLAS, TEXAS
11850 Wilshire Blvd.
Suite 26
Los Angeles, Calif. 90025
Phone: (213) 479-7757
260 Sheridan Ave.
Suite 414
Palo Alto, Calif. 94306
Phone: (415) 323-9331
601 Dooley Rd.
Dallas, Texas 75234
Phone: (214) 239-5381
34 West Putnam
Greenwich, Conn. 06839
Phone: (203) 661-3239
Power Structure!
These modular power supplies can be quickly structured to meet the power needs of microelectronic systems. Litton's reputation for reliability and performance is unsurpassed in the electronic industry.
Compact, lightweight, with power outputs to 300 watts in single packages from 108 to as small as 8 cubic inches weighing from 7 to as low as .75 pounds. Manufactured to MIL Specs or commercial standards.
To help you build Litton power supply reliability and performance into your engineering design, let us send...FREE...a set of actual size replicas, specifications and additional information. To receive yours, use the inquiry card provided in this magazine.
SPECIAL PRODUCTS
Data Systems Division • Litton Industries
9001 Fullbright Ave., Chatsworth, Calif. 91311
Circle 249 on reader service card
Save Gold
Continuous Selective Plating
MORE UNIFORM DEPOSIT
Continuous Selective Plating is the product of precise engineering design and ingenuity. M-W LABORATORIES method is the result of many years experience by a leader in the field of precious metal plating.
* Saves precious metals.
* Results in more uniform deposit.
* Application of the precious metal where specifically needed.
Continuous Selective Plating in many of its applications is making old methods of precious metal plating obsolete.
M-W Plating Service is offered to help show you just how Continuous Selective Plating can provide greater economy and efficiency.
Write or phone
M-W LABORATORIES INC.
1824 N. Milwaukee Ave., Chicago, Ill., 60647
Phone: (312) DI 2-4020
Circle 222 on reader service card
Preview the 70s
at Booth 1405
NATIONAL ELECTRONICS CONFERENCE
December 8-10
Conrad Hilton • Chicago
at JES '70
moved forward to
April 10-20
Harumi Pavilions
Tokyo, Japan
Electronic Industries Association of Japan
Write or phone for your copy of the exhibitors' DIRECTORY OF JES '69 and the 1969-1970 Yearbook Electronic Industry In Japan.
Electronics Division
Japan Light Machinery Information Center
437 5th Ave., New York, N.Y. 10016 • (212) MU 6-0731
Circle 250 on reader service card
a continuous high-power output with a fixed bias was obtained at a sacrifice of about 1 db. The diode was capable of two to three times the power measured, but by under-coupling it to the load, output power variation with bias was reduced, yielding more stable performance. Increasing hole iris diameter resulted in tighter load-coupling and more power until the load conductance began to inhibit the Gunn device and the power output dropped. The power output of the device ranged from 7 to 10 milliwatts.
Frequency stabilization with temperature was achieved by using a high Q resonator; this then could be thermally compensated for low drift. The net frequency drift was 1 Mhz over a temperature range of $-10^\circ$ to $+60^\circ$C; the use of an oven could reduce the drift to 100 kilohertz.
Tests performed with a phase-locked varactor chain indicated that the Gunn source had comparable f-m noise behavior. The data taken for the Gunn oscillator probably was conservative, since later measurements indicated lower f-m noise. Use of a high-Q cavity (approximately 1,000) will result in lower noise—approximating phase locking.
Presented at Nereim, Boston, Nov. 5-7
Night eyes
Advancements in night vision systems using pulsed-gate viewing and laser ranging techniques
T. Jordan, A. Riordan and R. Staneenas
Night Vision Laboratory, U.S. Army Electronics Command
Ft. Belvoir, Va.
To afford its combat forces better observation of enemy activities at night, the U.S. Army has been developing a variety of electronic night vision devices. One of the more sophisticated is the AN/ASQ-127 surveillance system developed by the Army's Electronics Command for the Bell UH-1H helicopter. With the system, a man in the helicopter can view an area covertly and, once he has found a suitable target, determine its location.
The airborne plan uses an array
Lock in simplified retrieval of noise buried signals with Ithaco’s 353 Phase-Lock amplifier
- no tuning required
- phase and gain not affected by adjustment or drift in reference frequency
- adapts automatically to virtually any reference input
- ultra stable, highly linear detector—no overload at 1,000 : 1 noise to signal ratio
- 1.0 Hz to 200 KHz operation
- plug-in construction permits addition of new or specialized features—prevents obsolescence
For further information and complete specifications contact:
607 272-7640
ITHACO INC.
735 WEST CLINTON STREET, ITHACA, N.Y. 14850
Circle 252 on reader service card
Looking for a memory system with low cost per bit, but fast cycle time/access time, and high reliability in one compact package?
Look no further. TOKO’s new, improved Woven-Plated Wire Memory System HS-500R is now available.
TOKO’s HS-500 memory system has won praise and popularity for its low-cost, high-performance characteristics. Now ready to be marketed is improved Model HS-500R with the following features:
Compact size: 10”(H) x 19”(W) x 13-1/3”(D)
Access time: 250ns
Memory capacity: 8K bytes—32K bytes (4096 words—16384 words)
Flexible operation: Linear selection organization for multi-word operation; 8 bytes are simultaneously written and read in one word; required bits or bytes are then selected at the interface; thus a variety of memory capacities is made possible.
Low cost
Model HS-500R also shares with its predecessor such outstanding features as fast cycle time of 500ns; wide operating temperature range without any current compensation: 0°C to 50°C; and low power dissipation of 100W.
TOKO can also undertake the manufacture of custom-made systems according to your specifications. Complete technical details from our New York office.
TOKO, INC.
Head Office: 1-17, 2-chome Higashi-Yukigaya, Ohta-ku, Tokyo, Japan
TOKO N.Y., INC. 350 Fifth Avenue, New York, New York 10001
Circle 224 on reader service card
Technical Abstracts
of pulsed, noncoherent gallium arsenide diodes that emit energy at a frequency invisible to the unaided human eye. Signal returns are sensed by a three-stage image intensifier that has an extended-red S-20 photocathode. Because the intensifier is gated, it is turned on only when signals are expected back from a target; signals reflected by smoke, fog or haze return when the tube is gated off and, consequently, have no effect on the display to the operator.
Range and location of a target are found with a ruby laser ranger tied to a doppler navigation system and a special-purpose computer. The diode illuminator and image intensifier are mounted in the helicopter’s nose; the viewing subsystem projects into the crew compartment. The ruby laser ranging subsystem is directly behind the viewer, projecting through the hole in the fuselage.
Although the energy emitted by the gallium arsenide illuminator is invisible to the unaided eye, the output of the ruby laser is well within the visible spectrum. Thus a target will be aware that it has been detected and is being ranged upon. However, the visible beam’s advantage is that it also can point out the target to aircraft not equipped with night vision devices.
The design of future night vision systems will involve tradeoffs between ranging and pointing subsystems that are visible or invisible. Other design tradeoffs involve the accuracy with which a target must be located, and overall system range, weight, and configuration in an aircraft.
One item under consideration is a neodymium-yag laser. The output of such a device is invisible but unfortunately, it occurs at a less sensitive portion of the photocathode response curve. However, the neodymium laser is more efficient than a ruby laser and weighs less. Other techniques being considered allow the operator to perform the ranging function with the gallium arsenide illumination system.
Presented at Eascon, Washington, Oct. 27-29.
RHG OFFERS A COMPLETE
tv relay link
in two low cost sub-units
Solid state "Minilink®" FM transmitters and FM receivers are available in L, S, C, & X Band. Build them into your military system and obtain high fidelity color or monochrome TV transmission.
- MEETS OR EXCEEDS EIA AND CCIR STANDARDS
- 90 CUBIC INCHES PER SUB UNIT
- UP TO 4 WATTS OUTPUT
RHG "Minilinks" are solid state transmitter-receiver combinations. They offer the utmost in reliability, instant warmup, and low power drain. Designed for military applications they utilize rugged construction and RFI protection. Complete details and specifications are in RHG catalog 69B or see EEM Section 3400.
Contributed by the Publisher
...if you think that heart disease and stroke hit only the other fellow's family. No one is immune. Protect the hearts you love. For authoritative information, ask your Heart Association. For medical advice see your doctor. To safeguard your family...
GIVE...
so more will live
HEART FUND
RHG ELECTRONICS LABORATORY • INC
94 MILBAR BOULEVARD ■ FARMINGDALE
LONG ISLAND ■ NEW YORK 11735 ■ (516) 694-3100
Microwave Receivers, Transmitters and Components
Circle 167 on reader service card
New MICRO-VECTORBORD AND D.I.P. PLUGBORDS ARE HERE!
Save time — Save work — Save money
WIDE SELECTION OF SIZES AND MATERIALS
MICRO-VECTORBORD "P" .042" holes match D.I.P. leads. Epoxy glass or paper, cop. cld. also 1/64" to 1/16" thk.
MICRO-VECTORBORD "M" .025" holes match Flat-Paks, 1/32" Epoxy glass, cop. cld. also or .007" Mylar.
NEW SOLDER-PAD D.I.P. PLUGBORDS — 3677 Series Epoxy glass, "P" pat., 1/16" thick with 44 etched plug contacts (2 side total) power, ground busses, pads for up to 24 D.I.P.'s (14's). Also 21 units 16-leads D.I.P.'s, T-O's and discretes.
NEW WIRE WRAP D.I.P. PLUGBORDS — 3682 Series Similar to above but closely spaced bus lines for higher density. Up to 48 D.I.P. 14 lead wire wrap sockets mountable or T-O's and discretes.
TERMINALS — Micro-Klips, Mini-Wire-Wraps, Rd. Pins, Patch Cords, etc., available.
Send for complete literature
Vector ELECTRONIC CO., INC.
12460 Gladstone Ave., Sylmar, California 91342
Phone (213) 365-9661 • TWX (910) 496-1539
Circle 253 on reader service card
SAN-E
MSP-4 full four track stereo R/P head for auto-reverse cassette system
MSP-4 ¼ track full 4 heads R/P head for phillips cassette tape
PE-M AC bias eraser for MSP-4 head
Other product
8 track (MS-8) stereo head for home & car stereo
* write immediately for further details
SAN-E DENKI COMPANY, LIMITED.
110-1 Minami-Kawahori-cho, Tennoji-ku,
Osaka, Japan
phones: 779-1591
cable: SANMAGNETICS
five day Thick Film seminars
the fundamentals of thick film hybrid microcircuit technology
in State College, Pennsylvania
Jan. March Tuition:
12-18 2-4 $500
small classes — fully equipped labs — emphasis on individual participation. Covers thick film circuit design, cost analysis for circuits and facilities, economics and technical planning for thick film, paste and processing technology — individual lab experience in screen printing, resistor trimming, microsoldering, chip and wire bonding.
Coming in the spring, a two week tutorial course in thick film processing. Concentrated practical experience in state of the art screen printing and firing, precision resistor trimming, fine line printing, etc.
For details, call or write:
state of the art, Inc.
1315 south allen street
state college
pennsylvania 16801
814/237-8583
New Literature
Particulate air filters. Inter/Flo Filter Corp., 533 John Downey Dr., New Britain, Conn. 06051. A four-page catalog describes a new line of high-efficiency particulate air filters for use in clean rooms or areas where toxic, radioactive particles or bacteria must be filtered from the air.
Circle 446 on reader service card.
Pressure-sensitive tapes. Connecticut Hard Rubber Co., 407 East St., New Haven, Conn. 06509. A six-page physical properties brochure covers a wide selection of Teflon and Teflon Fiberglas acrylic and silicone pressure-sensitive tapes. [447]
Cable connectors. Precision Microwave Corp., 180-08 Liberty Ave., Jamaica, N.Y. 11433. Catalog PMC-1 describes a line of subminiature A connectors for semirigid (0.141) cable featuring new r-f tight captured contacts. [448]
Relays. The Adams & Westlake Co., 1025 N. Michigan St., Elkhart, Ind. A 44-page catalog describes a line of mercury wetted, mercury displacement and dry reed relays. [449]
Connector wallchart. Amphenol Industrial Division, Bunker-Ramo Corp., 1830 S. 54th Ave., Chicago 60650, offers a comprehensive pin and socket connector and assembly tool wallchart, including specifications and applicable circuit requirements for six popular rack-and-panel connector families. [450]
Resistor products. Vishay Resistor Products, 63 Lincoln Highway, Malvern, Pa. 19355. Bulletin G describes a line of precision resistors, trimmers, and networks with low temperature coefficients. [451]
Substrate hole drilling. Aremco Products Inc., P.O. Box 145, Briarcliff Manor, N.Y. 10510. Product bulletin 3300 is a two-page data sheet describing the Accu-Drill 3300 kit for producing holes in fired ceramic substrates used in IC work. [452]
D-c power supplies. Computer Products, 2709 N. Dixie Highway, Ft. Lauderdale, Fla. 33307, has published a bulletin describing 16 models in the PM700 series regulated d-c power supplies. [453]
Vibration handbook. Dytronics Co. Inc., 4800 Evanswood Dr., Columbus, Ohio 43224, offers a 34-page handbook containing much useful information for those working with vibration analysis. [454]
Data communications. Rixon Electronics Inc., 2120 Industrial Parkway, Silver Spring, Md. 20904, is offering a loose-leaf binder catalog of data communications items to interested readers requesting it on their letterhead.
Let's keep electronics clean
Here are some of the products that help keep electronic devices clean during production and in use. You'll find them on assembly lines and flight lines, in laboratories and on launch pads... wherever dirt, grease or foreign matter could degrade the quality or performance of electronic hardware.
If you'll tell us (on your letterhead) which of them you'd like to evaluate, we'll send you a free sample. For literature only, use the bingo card.
miller-stephenson chemical co., inc.
Route 7, Danbury, Conn.
Circle 255 on reader service card
High Density LATCHING RELAYS
12, 24, 36,
48, 52 PDT
Series 801L Latching T-Bar® Relays offer high density switching, low component cost and ability to maintain circuit integrity during power failure. Bistable in operation, with true snap acting performance... ideal where power drain by large relay switching arrays would strain power supplies or generate undesirable heat.
- Also environmentally or hermetically sealed
Simple crimp snap-on contacts fit into single block connectors for pre-harnessing.
Write or phone for details on T-Bar Latching Relays today!
electronic controls, inc.
T-Bar Switch Relay Div. • Danbury Road, Wilton, Conn. (203) 762-8351
Circle 227 on reader service card
The Connector-Protector-Detector-Inspector
Here's a connector accessory that serves as a dust cap, inspection fixture, assembly fixture, pin protector, and pin straightener. Now you can guard against the fates of connector mishandling from assembly to installation... and at a price comparable to an ordinary dust cap!
Over 25 different insert arrangements in 9 shell sizes are available for MIL-C-26482 and NAS 1599 Bayonet Coupling Connectors, and in various clocking positions. Shell and insert identification is molded into the face of each unit, and it is color coded for easy reference... plugs are yellow, receptacles are blue. Veritectors are nonmagnetic, impervious to salt spray and seal connectors against hostile environment.
They can be used over and over, meeting or exceeding 500 cycles of durability.
For the complete story and specifications on the Veritector family, ask for our brochure. Write, or call us at (213) 341-0115.
Control Data Corporation
Connector Operation
8758 Remmet Avenue
Canoga Park, California 91304
New Literature
Disk storage drive. Information Storage Systems Inc., 10435 N. Tantau Ave., Cupertino, Calif. 95014, has issued a four-page brochure containing technical data and applications information on the model 714 disk storage drive. [455]
Tunnel diode detectors. Aerotech Industries, 825 Stewart Dr., Sunnyvale, Calif. 94086. Publication 104 lists an expanded product line of tunnel diode detectors with frequency ranges from 0.1 to 26.5 Ghz. [456]
Coaxial-package transistors. RCA Electronic Components, Harrison, N.J. 07029. Application Note AN-4025 deals with the use of coaxial-package transistors in microstripline circuits. [457]
Relay catalog. Alcoswitch Division of Alco Electronic Products Inc., P.O. Box 1348, Lawrence, Mass. 01842. A two-color, six-page illustrated brochure describes a relay that allows the safe control of machinery and appliances from a remote distance. [458]
Electronic chemicals. General Electric Co., 21800 Tungsten Rd., Cleveland, Ohio 44117. A product data sheet describes the important properties of the company's luminescent grade electronic chemicals. [459]
Laboratory equipment. O.S. Walker Co., Rockdale St., Worcester, Mass. 01606. A 16-page catalog of precision quality magnetic laboratory equipment covers hysteresisgraphs, fluxmeters, gaussmeters, laboratory electromagnets, and superconductor magnets. [460]
Wire terminating systems. Synergistic Products Inc., 150 E. Stevens Ave., Santa Ana, Calif. 92707. A 16-page catalog describing numerically controlled wire terminating systems includes a comprehensive economic comparison section. [461]
P-c drafting aids. By-Buk Co., 4326 W. Pico Blvd., Los Angeles 90019. Catalog P-45, covering pressure sensitive p-c drafting aids, features thousands of time-saving basic shapes and conductor line tapes required in the development of p-c layouts and master artwork. [462]
Optical N/C programer. Leland-Gifford Co., 1001 Southbridge, Worcester, Mass. 01601, has available a catalog describing its optical N/C programer, which prepares accurately punched numerical control tape directly from undimensioned art, photomaster drawing or prototype board. [463]
Data communications. Interdata Inc., 2 Crescent Pl., Oceanport, N.J. 07757. An eight-page, full-color brochure highlights the company's family of communications processors. [464]
Be prepared for
THE CHANGING INTERFACE
Medium and large scale integration are slated to have major impact on the electronics industry. The effects are already being felt — not only on systems and component design — but on fundamental, traditional relationships between equipment builders and component suppliers.
Important trends that will affect your profession, your job, your company, are explored in THE CHANGING INTERFACE, a 150-page illustrated volume to be published shortly by McGraw-Hill's Electronics/Management Center.
In THE CHANGING INTERFACE, leading design engineers and managers, the men responsible for guiding their companies through the next generation of electronics, discuss the problems that LSI/MSI are stirring up — and offer their solutions.
Here are some of the vital topics covered.
Implications of LSI on the Electronics Market
The Rationale for an In-House IC Capability
The Component Maker's Responsibility vs. the System Builder's Responsibility
Masks and Computer-Aided Design at the Interface
The Testing Interface
How IBM and Bell Laboratories Deal with the Interface Problem
Controversies and Future Trends in LSI
You can reserve a copy of THE CHANGING INTERFACE now at the special pre-publication price of $6.50 by returning the coupon below. If you send a check now, we'll pay the cost of postage and handling.
Makes you a packaging expert!
This one-of-a-kind booklet contains everything you need know to select the proper case for your particular packaging requirements. ■ Save money for your firm by selecting one of TA's standard cases rather than going to the expense of designing a custom case to package your product. ■ Huge warehouse stock for fast delivery at low prices...no tooling charges. All TA cases are designed to surpass Mil-Spec requirements...completely dust and waterproof. Free vellum service and panel templates. ■ Write or phone for a quotation and let us put our staff of case engineers to work for you today. Send for your free case manual now.
TA MFG CORP A DAYCO COMPANY
4607 Alger Street, Los Angeles, California 90039 ■ Phone 213-245-3748/
TWX 910-497-2065 L. A./WUX CAT L. A., Calif.
Electronics/Management Center
330 West 42nd St.
New York, N.Y. 10036
Attn. Mr. Wayne Cowart
Please reserve my copy of THE CHANGING INTERFACE at the prepublication price of $6.50.
Name________________________Title_____________________
Company______________________________________________
Company Address_______________________________________
City________________________State______________________
Check enclosed for $6.50 □ Bill me
□ Bill Company P.O. Number______
New Literature
Timing modules. A.W. Haydon Co., 232 N. Elm St., Waterbury, Conn. 06720. A solid state IC modular time code generator and a compatible time decoder are described in product information sheets 138 and 139. [465]
Displays and switches. Stacoswitch, 1139 Baker St., Costa Mesa, Calif. 92626. Lower-cost lighted matrix displays and switches are described in 46-page catalog GC-4. [466]
Quartz crystal types. Reeves-Hoffman Division, Dynamics Corp. of America, 400 W. North St., Carlisle, Pa. 17013, has published a 16-page product brochure offering operational parameters of various quartz crystal types. [467]
Form stacking unit. Advanced Terminals Inc., 874 Welsh Rd., Maple Glen, Pa. 19002, offers a bulletin describing its new model 401 Formstacker for handling the paper output of high-speed computer printers. [468]
Pin-and-socket connectors. Amphenol Industrial Division, Bunker Ramo Corp., 1830 S. 54th Ave., Chicago 60650. A broad selection of seven different pin-and-socket connector lines, including the newly expanded 17 series Min-Rac grouping, is described in a 24-page catalog. [469]
TTL cross-reference. National Semiconductor Corp., 2975 San Ysidro Way, Santa Clara, Calif. 95051, has available a TTL series 74N cross-reference guide. [470]
Microwave antennas. ITT Gilfillan Inc., P.O. Box 7713, Van Nuys, Calif. 91409. An X-band planar array which radiates a narrow pencil beam and an L-band electronically-scanned cylindrical slot array are two of several advanced components described in "Microwave Antennas," illustrated brochure. [471]
Connector kit. Berg Electronics Inc., New Cumberland, Pa. 17070. Bulletin 401 is devoted to Proto-Pac, a complete connector kit to aid in design, and test of electronic circuitry. [472]
Control systems. Integrated Control Systems Inc., 236 Wood Rd., Braintree, Mass. 02184, has available a facilities brochure outlining the company's philosophy and problem-solving capability in the area of solid state products designed for industrial measurement and control. [473]
Linear IC. Fairchild Semiconductor, 313 Fairchild Dr., Mountain View, Calif. 94040. A 32-page applications handbook about the μA742 Trigac is offered to acquaint systems designers and circuit engineers with the wide range of uses for this linear integrated circuit. [474]
Looking for a better job?
Ask Electronics' computer all about it
Electronics magazine feels an obligation to help its readers find positions in the electronics technology which will make the greatest contribution to their profession and to society — jobs in which electronics men themselves will be happiest.
Electronics has joined with a nation-wide talent search company—National Manpower Register, Inc.—to form the computerized Electronics Manpower Register. Your qualifications and job requirements will be programmed into a GE 265 computer, direct-linked to the Manpower Register's offices in New York. The computer, once your resume form (bottom of page and following page) is received, will continuously compare all your data with the specific manpower needs of electronics companies. When a match is made, you will be contacted directly or through an affiliated agency. The company and you will be brought together on a confidential basis.
Continued on next page
Electronics Manpower Register
It is important that your information be complete and that you type or print legibly
IDENTITY
Name
Home address
City State Zip
Home phone
Do you subscribe to Electronics □ or see a library or pass-along copy □
GEOGRAPHICAL PREFERENCE (Check appropriate boxes and complete all blanks)
I will NOT relocate □ I will consider opportunities in: □ North East □ Mid Atlantic □ South □ Midwest □ Southwest □ Calif. □ Northwest
Prefer: □ Metro. area □ Medium town □ Rural area Other:
EDUCATION
Degree Major field Year College or University
EMPLOYMENT INFORMATION
Position desired
Present □ or most recent □ position From To Title
Duties and accomplishments
HAVE YOU REGISTERED WITH THIS SYSTEM PREVIOUSLY? Yes □ No □
Continued on other side
The cost of all this to you? Absolutely nothing. No fees or charges at any time.
Other advantages of EMR:
- Your resume is sent only to those companies that have a genuine requirement for your particular skills.
- There is no general "broadcasting" in the hope "someone will be interested."
- Your identity is protected because your name is released only according to your prior instructions. Your name can be deleted on request.
- EMR's service is nationwide. You may be considered for job opportunities anywhere in the U.S.
The Electronics Manpower Register is a powerful tool and should be considered when you are seriously seeking a new position. And, although you may be reasonably happy in your present position, chances are that you might have that ideal job in mind.
This is why EMR makes good sense for you. If that job does turn up, you'll be there.
To get your name in the EMR file, just fill out the resume form and return to:
Electronics Manpower Register
330 West 42nd Street
New York, N.Y. 10036
Please enclose a copy of your resume if you have one. A detailed brochure further describing EMR will be sent to you.
Electronics Manpower Register
A computerized employment opportunity service
CONTINUED FROM OTHER SIDE
| Previous Position | Employer | City/State | From | To |
|-------------------|----------|------------|------|----|
| Duties and accomplishments |
| Previous Position | Employer | City/State | From | To |
|-------------------|----------|------------|------|----|
| Duties and accomplishments |
GENERAL INFORMATION
(Summarize your over-all qualifications and experience in your field. List any pertinent information not included above.)
Current annual base salary
Total years of experience
Date available (within four months)
U.S. Citizen □ Non U.S. Citizen □
My identity may be released to: Any employer □ All but my present employer □
Have you security clearance?
Yes □ No □ If yes, What level
Mail (with a copy of your resume, if you have one) to:
Electronics Manpower Register
ELECTRONICS
330 West 42nd St.
New York, N.Y. 10036
NO FEES OR CHARGES
EMR-18
EMPLOYMENT OPPORTUNITIES
We have been placing B.S., M.S. and Ph.D. ELECTRONIC ENGINEERS in fee paid positions throughout the U.S. since 1959. Send resume today or request confidential interview with one of our experts, working full time . . . for you.
ATOMIC PERSONNEL, INC.
Suite L, 1518 Walnut St., Phila., Pa. 19102
AN EMPLOYMENT AGENCY FOR ALL TECHNICAL FIELDS
CIRCLE 967 ON READER SERVICE CARD
PERSONALIZED (not computerized) SERVICE
ONE knowledgeable, ethical, service-motivated consultant is more valuable to the job-seeking electronic engineer than a computer and 87 affiliated agencies. Remember when his service is nationwide and employer fee paid.
You write, I'll respond. Then you decide.
JOSEPH P. CORCORAN, Personnel Consultants
505B Germantown Pike, Lafayette Hill, Pa. 19444
215/883-2000
CIRCLE 970 ON READER SERVICE CARD
RUHR-UNIVERSITY BOCHUM
ELECTRONICS DEPARTMENT
We Are Offering
A FULL PROFESSORSHIP
At our Institute for Electronics.
Special Knowledge In
Electronics Components Desired.
Please Write to the Managing Director:
INSTITUT FUER ELEKTRONIK
RUHR UNIVERSITY
POSTFACH 2148
D-4630 BOCHUM (WEST GERMANY)
Minifluid DISPENSER
AIR OPERATED
for miniature potting and encapsulating
Available in 3 sizes
6cc - 12cc - 30cc
$34.00
PHILIP FISHMAN COMPANY
7 CALENDAR ST., WELLESLEY, MASSACHUSETTS 02181
CIRCLE 968 ON READER SERVICE CARD
FUNCTION GENERATORS
We are overstocked. Tremendous savings on latest solid state function generators. Sine, square, triangle, ramp, complex. Laboratory quality. Every item 80% to 90% off. Absolutely will not last. Send for our complete catalog.
LABORATORY EQUIPMENT SALES
1621 May Creek Rd., Renton, Wa. 98055
CIRCLE 971 ON READER SERVICE CARD
BUYING Good USED Equipment
is frequently the difference between having needed equipment or doing without it.
TECHNICAL DIRECTOR
Electronics Materials
Diversified billion dollar consumer/industrial manufacturing company needs a person to identify trends and relevant materials technology in the microelectronics field, determine opportunities, help prepare related objectives, plan for budgets, and serve as technical advisor and consultant to operating staff.
Requirements: Some industrial experience and familiarity with materials technology in the field of microelectronics. Should have knowledge of crystallized glasses and substrates, and integrated circuits, both monolithic and hybrid. Ph.D. required in EE, Electronics, Physics, or related area.
A Career Position: Located in Toledo, Ohio with excellent starting salary commensurate with ability, education, and experience, plus all the fringes you'd expect. Submit resume in confidence to...
E. A. Brinkley
Specialized Recruiting — Dept. A
OWENS-ILLINOIS, INC.
P. O. Box 1035, Toledo, Ohio 43601
An Equal Opportunity Employer
SEARCHLIGHT SECTION
AUTOTRACK MOUNT
260 degree azimuth, 210 degree elevation sweep with better than 1 mil accuracy. Minimum g's for acceleration and slewing rates. Amplifiers and servo controls available up to 20 ft. dish. Supplied with control chassis. In stock—immediate delivery. Used units $1,000. by RCA, USAF, MP-61-B. Type BCR-584. NIM. Ajax mounts also in stock.
ANTI-AIRCRAFT GUN MOUNT
Will handle 6,000 lbs. rapid slew through 360° azimuth, 180° elevation. Mobile.
MICROWAVE SYSTEMS
200-2400 MIC RF PKG
Continuous coverage. 30 Watts Cw nominal output. Uses 2CS8A. Price $275.
L BAND RF PKG
20 KW peak, 990 to 1040 MC. Pulse width .7 to 1.2 microsec. Rep. rate 180 to 420 pps. Input 115 vac incl. Receiver $1200.
200-225 MIC RADAR SYSTEM
1 Megawatt output. 200 nautical mile range for long range detection of medium and large altitude jet aircraft as well as general search. AN/TFS-28.
X BAND MONOPULSE TRACKER
230 KW Airborne Sparrow Track System. Type AN/ARG-1. MIL Type. Also in Stock.
5 MEGAWATT C-BAND
Klystron RF package delivering nominal 5 megawatt pulse RF. Complete with tuner and power supply.
500 KW C-BAND RADAR
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No matter how they measure it, the Honeywell 7600 checks out as the best value in the tape field!
From the way people are trying to copy it, you'd think our 7600 is the hottest tape system around. It is!
Compare the specs on our 7600 with those of some recent competitive machines and you'll notice something very interesting. A small revolution is taking place in the magnetic tape system industry. We started a trend. And now, others are following!
The Honeywell 7600 Series bears copying. Its modular design lets you specify the system you need now, and permits future expansion without costly modifications as your requirements grow. Easily maintained plug-in electronics give you a wide selection of bandwidths, and mechanical options include a choice of 10½" or 15" transport.
With its low flutter, skew, and time base error and high S/N ratios, the 7600's signal fidelity can't be matched by comparably priced units. And, due to its mechanical simplicity (no belts, pulleys, gears, or pinchrollers) and inherent reliability, our competitors are going to have a rough time building a machine that will operate as economically as the 7600. It's priced lower than you'd expect, too, giving you more performance for your money than any other tape system!
The great 7600 Series is another example of how Honeywell's broad line, backed by local sales and service, can provide the precise solution to your instrumentation problems. For a demonstration, call your local Honeywell Sales Engineer. For technical literature, write: Honeywell Inc., Test Instruments Division, P.O. Box 5227, 4800 E. Dry Creek Rd., Denver, Colorado 80217.
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France weighs finance company for Plan Calcul
France is looking for a way to finance leasing of its state-subsidized Plan Calcul computers without saddling the hard-pressed government or their manufacturer, Compagnie Internationale pour l'Informatique (CII), with banking worries. Most likely vehicle: a quasi-official financing agency stocked with private capital. The government telephone service recently set up a similar company to finance telecommunications investments. Insiders say the Plan Calcul administration may announce such a plan in two or three months.
CII now has orders for some two dozen of its first Plan Calcul machine, the medium-sized Iris 50, with the first to be delivered in about a month. Government agencies have ordered all but six; these are being taken by Rumania, which also has been negotiating on and off to buy a CII assembly plant, according to informed sources.
Polish overtures to Bonn firms find sympathetic ears
West German electronics firms, including such giants as AEG-Telefunken, are taking a hard look at Polish proposals for stepped-up cooperation, primarily in the form of licensing deals. Such a move was one of the topics at the Polish Central Committee's recent fourth plenary session.
Poland is eager to modernize its industry and to maintain a minimum 9% annual growth during the upcoming five-year economic plan. Part of that plan is a new "selective activities policy" in which emphasis will shift from nonproductive fields toward industries that show growth and export promise. Western technology is considered essential to expand and modernize those industries.
What the Poles want most are licenses on a "pay-as-you-earn" basis— involving both manufactured goods and industrial processes. However, say West German industrialists, any cooperation with the Poles won't go much beyond licensing. The Poles, like other East Bloc nations, are dead-set against the establishment of Western subsidiaries in their country which, in effect, would be the same as "capitalistic" ownership of the means of production.
But any cooperation, however limited, seems attractive to the West German electronics industry. It provides access to a relatively untapped market and a relatively well-trained labor force, thus relieving some of the pressures at home.
Worldwide pcm gets a boost
A worldwide pulse-code modulation system moved one step closer as as the result of agreement on two standards. But disagreement over pcm coding still muddies the waters.
The International Telecommunications Union's Consultative Committee for International Telegraph and Telephone agreed to the standards at a meeting in Geneva last month. The standards: an 8,000-sample-per-second rate with eight binary digits in a time slot. AT&T's newest channel bank (D-2) is an eight-bit unit.
Prospects for the ITU committee to agree on an international pcm coding law, however, remains dim. One major stumbling block is the Conference of European Postal and Telecommunications Administration decision to stay with its "A-law" code. AT&T is pushing for adoption of its "mu law." Without an agreement on coding, digital interfaces will be necessary for matching up the two laws [Electronics, June 23, p.
And there's disagreement among countries over whether the resultant signal degradation would be acceptable.
An AT&T spokesman said the present domestic-international interface can be handled easily but will require "sophisticated planning and development to arrive at a practical solution."
Italy seeks greater independence for aerospace industry
Italy's cabinet-level Interministerial Commission of Economic Planning (CIPE), has given clear warning to American companies that Italy is going to move away from its "rigid dependence on the U.S.A. in our aeronautics industry." The guidelines set by CIPE do not preclude cooperation with American industry, but such cooperation must increase the productive capacity of Italian industry.
While holding the door open for greater European cooperation, CIPE also made it clear that international collaboration with the newly formed Aeritalia—a joint venture of government, through the state holding company Finmeccanica, and private industry, through Fiat—would have to permit "an authentic enrichment of technology." Italy no longer will settle for just joint venture or licensing agreements in production of aircraft or components. Instead Italian industry will have to be involved in research, development and design, as well as production.
Aeritalia has quickly ripened into the most desirable industrial debutante in Italy. Not only have McDonnell-Douglas and Lockheed come a-wooing, along with a cluster of European firms, but Hughes Aircraft has just made its first official bow, opening a sales office and stressing cooperation with Italian industry in the NATO Air Defense Ground Environment and Intelsat 4 projects.
Intelsat links Aussie phones
Telephone traffic is already so jammed in Australia that the government has decided not to wait for the launching of an Australian domestic communications satellite. Instead, the Australian Post Office, which is in charge of the telephone network, has linked Sydney and Perth, at opposite ends of the continent, via Intelsat 3.
To get the system on-line before heavy Christmas traffic, the Post Office could not wait for echo suppressors designed specifically to meet their needs. Instead engineers at the Post Office Research Laboratories in Melbourne modified available units and had them ready for temporary service in three weeks.
The Australian system is the first domestic commercial telephone service to be operated within one country's continental boundaries, although Hawaii and the U.S. mainland have been linked for commercial service via Intelsat.
New wrinkle in waffle-iron memory
Researchers at Japan's Electrotechnical Laboratory have developed a new memory plane using plated wire. They say it can be built with a density four times that of woven plated wire memory planes, and operate with about twice the power efficiency.
The memory uses a ferrite plate resembling a waffle iron, with grooves intersecting at right angles. But researchers say memory differs from the waffle-iron memories developed at Bell Telephone Laboratories several years ago—and from similar memories developed since then elsewhere in the United States, England and France.
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Cooperative effort seen as key to building giant European computer
Now that Britain has agreed to the project, the 'Aigrain group' must extract a firm promise from the five governments to subsidize the research and purchase enough mammoth computers to justify the effort.
Mammoth computers are now the monopoly of U.S. firms, simply because no European company felt its finances or limited national market would permit it to tackle such a project alone. And while Europe's computer makers have been talking for years about teaming up to build just such a giant machine, the idea had been little more than a pipe dream until recently.
Now there are signs that such an international project may actually come off—and perhaps sooner than even Utopian "Europeanists" have expected, given the middling record for most attempts at European technological cooperation.
Serious soundings began two years ago through a Common Market committee. Earlier this year the committee got the Continent's four big computer makers and their governments to agree in principal to a joint effort. Two weeks ago the idea took a major step forward when Britain agreed to participate. A French veto, lifted earlier this year, barred British participation.
Continental observers consider London's agreement crucial because they view Britain's International Computers, Ltd. (ICL) as an indispensable partner. They point out even ICL—Europe's biggest computer maker by far—this fall dropped plans to build its projected 1908-A computer, to be Europe's largest, when technical problems piled up and adequate orders failed to materialize.
The other partners in the proposed project are Holland's Philips, Germany's Siemens with AEG-Telefunken, Italy's Olivetti, and France's Compagnie Internationale Pour l'Informatique (CII).
First, however, the five governments must agree to subsidize research and promise to buy enough of the eventual output to justify the project. Science ministers may meet in Brussels this month to launch a study on precisely what kind of computer is to be built and how much it would cost. Despite current budget problems in several countries, insiders say they feel European fears of perpetual U.S. dominance of the glamorous and vital big-computer field could open purse strings enough to get the project underway by late next year.
Pierre Aigrain, head of France's Applied Research Agency and chairman of the Common Market committee that spawned the computer project, gives it a 50% chance for final agreement. "And for an expensive international project, that's very high," he says.
Two projects. The "Aigrain group," as it's called, is actually proposing two projects: one for a mammoth machine based on present technology for first delivery in 1975, the other for a futuristic giant, requiring a heavy research effort, that wouldn't be ready before 1980.
No details of either project have been revealed, and they are, in fact, rather hazy even in computer makers' minds. But officials of the firms involved say the 1975 machine would be similar in size and technology to the University of Illinois' Illiac 4, the fastest U.S. computer, now being built by Burroughs. Like the Illinois machine, which will group a number of small central processors, the European machine would most likely rely on multiple processors to perform many individual calculations simultaneously.
Engineers figure that development costs on this machine will run to at least $100 million, and are likely to be a good bit more due to the complications of international cooperation.
Descriptions of the 1980 machine are necessarily vaguer. France's "computer czar," Maurice Allegre—who heads the country's Plan Calcul, the government-subsidized computer program, and who is coordinating the Aigrain group's computer proposals—says simply that this sophisticated behemoth would be "as powerful as any
Electronics International
machine, you can imagine at the moment.” It would unquestionably be a “universal” machine capable of business, real-time, and scientific applications, he says. And he figures it would cost up to $1 billion to develop.
Though the two projects were drawn up to complement each other—with the smaller computer considered partly a training exercise during which the European companies could learn to work together—it’s by no means certain that Europe can afford both.
Preference. If it comes to a choice, the computer makers tend to favor putting off the giant and building the 1975 machine, which they know is technically and commercially feasible. Merely estimating the market for the larger system amounts to science-fiction, comments a Siemens official.
But government members of the Aigrain group lean toward the more far-reaching project. They fear that adopting the 1975 project would tempt companies merely to request subsidies and guaranteed markets for their own present designs. And they doubt that the firms would share the advanced technology necessary to build a computer whose relatively close delivery date fore-stalls massive new research. Moreover, these officials feel that concentrating on the more sophisticated computer could give Europe a badly needed leg up on U.S. technology.
An executive of one computer firm counters: “You can’t build a computer as though it were a one-shot program, like the Concorde. Buyers want continuity—a line of machines.” He insists it is thus unrealistic to aim at a distant giant without planning intermediate machines. “The European industry would have no big machines to sell in the meantime. We’ve got to eat,” he says.
A compromise could see the 1975 machine approved with restricted official financing and companies given coordinated research contracts by their national governments on a more distant supersize computer. Such an accord could test corporate good intentions and perhaps help spur industrial togetherness, with eventual international mergers—one important goal of the whole cooperative idea.
Compatibility. A major technical problem for either project: participating companies will undoubtedly insist that any European computer be compatible with their own line of machine—meaning a Herculean software task.
Selling the results could also be a disappointing undertaking. Aigrain admits it’s been “a very difficult problem finding out how much the various governments would be willing to help by giving preference in their purchases to a European computer.” He adds, “Users are never interested in buying computers from a new company.” Thus Aigrain feels the 1980 machine—the one he gives a 50% chance of approval—“has very high chances for technical success, but the commercial chances are a bit less bright.”
Japan
Sharp-eyed
It’s hard to get sharp television pictures with a camera looking out the side of a rocket spiraling through space. The image on the photocathode of the camera tube has two components of motion—spin and the forward motion of the rocket. A further problem is that illumination tends to be weak, so that exposures must be long, accentuating motion problems. What’s more, transmission bandwidths usually are narrow, requiring slow-scan techniques.
Professor Noboru Niwa of the Institute of Space and Aeronautical Science, University of Tokyo, and Teruo Hiruma of Hamamatsu TV Co. have developed a camera that surmounts these difficulties. It has been successfully tested on a balloon operating at altitudes as high as 17 miles, and is awaiting rocket tests.
The system uses an “image memory tube” recently developed at Hamamatsu. In order to obtain sharp images when mounted on a moving vehicle, this tube, called the N-337, incorporates extremely fast electronic shuttering, electronic image storage, motion correction, sensing of image brightness at the photocathode, and automatic adjustment of shutter time for optimum exposure. The photocathode is square and the same area as the photosensitive surface in a one-inch vidicon.
Shutter. With the photocathode (on which the optical image is focused) grounded, electrode grids accelerate electrons from the photocathode toward a signal grid and a storage grid. The electric field from the grids, together with the magnetic field from the image focus coil, focus the image on the storage grid.
However, charging up the photocathode to approximately the same positive voltage as the accelerating grids stops electron flow, and the effect is the same as if a mechanical shutter had closed. This electronic shutter can give exposure times...
as short as 200 microseconds—or one five-thousandth of a second.
The photocathode side of the storage grid is coated with calcium fluoride, an insulating material with extremely high resistivity. Most of the image electrons pass through the positive signal grid and land on the storage grid, charging it negatively in proportion to the illumination distribution on the photocathode. For readout the storage grid is scanned with low-energy electrons from a gun at the other end of the tube. In this mode of operation the storage grid is grounded and the signal grid is charged to about 350 volts through a load resistor. Parts of the storage grid with high minus charge of electrons turn back most of the beam electrons. Electrons passing through the storage grid and reaching the signal grid thus depend on illumination at the photocathode, and the image can be converted to a sequential electrical signal.
Use of the storage grid makes for high efficiency during the short exposure, because electrons from all parts of the photocathode are stored simultaneously. It also permits conversion from high-speed exposure to slow-scan readout. This is important because telemeter bandwidth is narrower than that used for broadcast television transmission, and to transmit reasonably high-resolution TV signals it is necessary to read out the picture with a slow-speed scan.
**In motion.** Correction for vehicle motion is achieved with a hint from the veteran image dissector tube.
In the image dissector, the electron image—the electrons traveling from the photocathode—is swept past an aperture in the collector electrode. Only electrons corresponding to a single image element pass through the hole and reach the signal electrode. In the new tube the entire image is stored on the memory grid. But displacing the electron image shifts the area imaged by the tube. If the angular velocity of the camera is known it is possible to shift the image to exactly compensate for camera motion.
On the latest model of this camera a circuit for automatic adjustment of shutter speed was added. The sensor for this circuit is not only behind the lens, like the sensors in modern single-lens reflex cameras, but it is inside the camera tube. Thus there is built-in compensation for lenses, filter factors, and even for the efficiency of the pickup tube at different wavelengths. As initially tested this automatic circuit can adjust shutter speed from a minimum of 800 microseconds to a maximum of 60 milliseconds.
Exposure adjustment is performed by storing current flowing to the photocathode in a capacitor and arranging the circuit to close the shutter when terminal voltage exceeds a certain value.
When used on satellites the tube is operated with a slow-speed scan of a 580-line picture; bandwidth needed is 100 kilohertz. Horizontal frequency is 325 hertz. These parameters give approximately the same resolution as commercial TV and are within the bandwidth and power capability of standard rocket transmitters.
The reading period is 1.78 seconds. Dead period, for erase and preparation of the memory grid, takes about 0.18 second. Thus maximum repetition rate is about two seconds or slower. A systems conversion unit has been built to convert the received pictures to broadcast standards for viewing on regular monitors. Video tape recorders and cameras are used for recording information.
**Italy**
**Plane MOS**
MOS devices with no surface steps represent the latest step forward in semiconductor technology—a step made by researchers of Italy’s
Molehills. Stepless fabrication technique developed at SGS laboratory reduces the number and magnitude of bends in the metalization layer in MOS circuits. Principle behind the process is the sinking of steps below surface to smooth out the above-surface terrain.
SGS group. They have hit upon a manufacturing process which allows extremely flat surfaces on MOS silicon wafers. Such flat, or stepless, surfaces make for much greater device reliability and production yields than is possible with conventional fabrication techniques.
Without the need for more masking operations than in conventional MOS processes, the Planox technique makes it possible to produce devices with oxide layers of varying thickness but with a plane surface. Photoetching of the thick oxide layers—and thus the risk of undercutting—is eliminated. Self-alignment of the gate and tighter tolerances also are possible. The new process was developed at the SGS International Research and Development Laboratories at Agrate, near Milan.
Although the Planox process is applicable to any bipolar or unipolar semiconductor component, it can be put to use most effectively in fabricating MOS integrated circuits, in which the silicon oxide thickness varies considerably and metal interconnecting patterns are complex.
In an MOS device, a thin silicon dioxide layer, usually about 0.12 micron deep, must be grown on the gate region to obtain a low threshold voltage, while a thick, 1.5-micron silicon dioxide layer must cover the field region to prevent surface, or field, inversion in that region.
It's this thick oxide layer that long has plagued makers of MOS devices and equipment designers using them. The reason: this layer makes for high, well-pronounced steps on the chip surface over which the metalization pattern, usually made of aluminum, has to run. Sharp bends in the metalization can lead to weak spots and microcracks which, in turn, can cause unreliable interconnections or open circuits. The end result is low production yield. And all too often, equipment makers have found themselves replacing newly installed MOS IC's because these circuits did not perform reliably.
Devices fabricated by the new Planox process avoid such troubles. The Italian researchers have eliminated the step problem on the wafer surface by burying the steps. A silicon nitride film is used as a mask for making steps in the underlying silicon substrate so that the overlying silicon dioxide covering the gate and field regions is stepless, or flat.
A 200-angstrom silicon nitride film is first deposited onto the silicon substrate. This film is masked and etched so that the regions where the thick silicon dioxide layer is to be grown lay bare. Then the silicon substrate itself is eaten into. The regions still covered with silicon nitride are thus higher with respect to the bare regions. Oxide then is grown in the depressions and its surface will be practically level with the surface of the silicon covered by the silicon nitride film.
When used in fabricating MOS devices, the silicon nitride film is selectively etched away, with only a strip left that covers the gate area and defines the areas for diffusion of source and drain. The diffused areas are self-aligning with respect to the gate, and thus allow tighter tolerances in the design.
Source and drain are passivated by thermal oxidation, and the remaining silicon nitride is etched away from the gate. Subsequent steps such as gate oxidation, contacting, and metalization are carried out by using conventional techniques.
This technique, for which patent applications are now pending, currently is being applied in limited production runs of MOS devices at the Agrate facilities. Piero Alderisio, technical director of SGS, anticipates the new technique will increase production yield by at least 35% over conventional MOS fabrication methods. It is expected that once the new process is refined, an even better improvement can be achieved.
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December 8, 1969
ACDC Electronics 206
Faust Day, Inc. 155
Aerojet General Corp. 155
D'Arcy Adv. Co. 168
Airpark Electronics, Inc. 168
Tech Communications, Inc. 23, 25
Allen-Bradley Co. 165
Fensholt Adv. Agcy. 165
American Cyanamid Co., Plastics and Resin Div. 165
Wilson, Haight & Welch, Inc. 186
American Optical Co. 186
Spencer Co. 186
Fuller & Smith & Ross, Inc. 146
American Potash and Chemical Corp., Rare Earth Div. 146
Sidney Clark Assoc., Inc. 228
Ammon Instruments, Inc. 228
Culver Adv., Inc. 22
Amphenol Co. 22
H. J. Gold Co. 100, 101
AMP, Inc. 100, 101
Garces, Malhanian & McCullough, Inc. 230
Ancora Corp./Newlander and Co. 230
Wilhelm Bacher Werbung 78, 79
Applied Digital Data Systems, Inc. 78, 79
Shaw Elliott, Inc.
Barnstead Co., Div. of Sybron Corp. 200
Oceanside, Crowbridge, Case & Basford, Inc. 177
Bausch & Lomb Inc. 177
Wolff Assoc., Inc.
Beckman Instruments, Inc. 45
Heilco Div. 45
N. W. Ayer/Jorgensen/MacDonald, Inc. 209
Beckman Instruments, Inc. (PID) 209
N. W. Ayer/Jorgensen/MacDonald, Inc. 74, 75
Belden Corporation 74, 75
Fensholt Adv. Inc. 150
Bell & Howell, Electronic Instrumentation Group/CEC/Transducer Div. 54
N. W. Ayer/Jorgensen/MacDonald, Inc. 117
Bell Telephone Laboratories 117
N. W. Ayer & Son, Inc. 28, 29
Bendix Corp., Electrical Components Div. 160
MacManus, John & Adams, Inc. 175
Blue M Electric Co. 175
South Suburban Advertising 175
Bourns, Inc., Trimpot Div. 175
The Carter Co. 175
Brand-Rex 171
Creamer, Trowbridge, Case & Basford, Inc. 140
Bulova Watch Co., Electronics Div. 140
Bulova Marketing, Inc. 2nd Cover
Sybron and Instrumnts Div. 2nd Cover
Jules Rapp Assoc., Inc.
Bussmann Mfg. 130
Division of McGraw Edison Co. 130
Henderson Adv. Co.
Cambridge Thermionic Corp. 227
Chirurg & Cairns, Inc. 17
Carpenter Technology Corp. 17
Bassett, Heiler & Spierling, Inc. 17
Centralab Div. 51, 52, 53
of Globe Union, Inc. 129
The Cherrys 129
Cherry Electrical Products Corp. 36, 37
Kolb/Tooley and Assoc., Inc. 99
Cimron Division of Lear Siegler, Inc. 157
Phillips Ramsey, Inc. 157
Clinch Grind Div. of United Carr Fastener Co. 173
Stral Adv., Co., Inc. 173
Clinch Manufacturing Co. 173
Stral Adv., Co., Inc. 173
Clarex Corp. 163
Michel-Cather, Inc. 70, 71
Reinke, Meyer & Finn Adv., Inc. 163
Clifton Precision Products Co., Div. of Litton Industries 163
Ivel, Inc. 163
Cohu Electronics, Inc. 163
Computer Products, Inc. 163
Grennax Assoc., Inc. 163
Compulog Tech. Corp. 163
Industrial Public Relations, Inc. 163
Control Data Corp. 163
Connex Corporation 163
Barnes-Champ/Advertising 163
Control Data Corp./Magsense 163
Barnes-Champ/Advertising 163
Conmatica 163
Cox Instrument Div. of Lynch Corp. 163
Gray & Kilgore, Inc.
CRC 17E
IRP 142, 143
CTS Corporation 142, 143
Reincke, Meyer & Finn, Inc. 3rd Cover
Dale Electronics, Inc. 154
Sub. of Lionel Corp. 154
Swanson, Sinkey, Ellis, Inc. 154
Data Controls Systems 154
Technical Industrial & Scientific Marketing, Inc. 154
Datum, Inc. 154
Heilco Assoc., Inc. 154
Dial Producers, Inc. 154
Noble De Roit & Associates 154
Di-Acro Corp., Div. of Metalallie Industries, Inc. 154
Charles E. Brown Adv. Agcy. 154
Diaglight Corp. 154
Michael Cather, Inc. 154
Digital Equipment Corp. The 154
Jansson Adv., Inc. 154
Dow Chemical Co., The 154
MacManus, John & Adams, Inc. 154
DuPont de Nemours Co., Teflon Div. 154
Batten, Barton, Durstine & Osborn, Inc. 154
Eagle Skural Division of Gulf & Western Co. 59
Feeley & Wheeler Division Geyer, Oswalt, Inc. 59
Eastern Molded Co., Technical Corp. Adv. 211
Rumrill Hoyt, Inc. 32
Elec. Corp. 32
Schafer Adv., Inc. 32
Electro Fiberoptics Corp. 32
Davis Adv., Inc. 32
Electro Mechanical Laboratories, Inc., Transducer Div. 32
Grant, Wright & Baker, Inc. 32
Electronic Control, Inc. 32
Robert A. Smith Adv. Agcy. 32
Electronic Counters, Inc. 32
Tek-Mark, Inc. 32
Electronic Navigation Industries 32
Hart-Conway Co., Inc. 32
Electronic Industries Association of Japan 32
Eaton Advertising Agency 32
EL Instruments, Inc. 32
Emlich Advertising Services 32
E/M Electronics/Management Center 32
Ries Coppiello Colwell, Inc. 32
E/M—Medical Electronics Seminar 32
Ries Coppiello Colwell, Inc. 32
Gencom Division—Varian/EMI 50
A.D. Adams Adv., Inc. 50
General Dynamics Corp. 50
Young & Rubicam, Inc. 50
General Electric Co., Analytical Measurement Business Section 50
Robert S. Cragin, Inc. 50
General Electric Co., Capacitor Division 50
Robert S. Cragin, Inc. 50
General Electric Co., Consumer Products Div. 50
Ross Roy & York, Inc. 50
General Electric Co. 12, 13, 192, 193
Electronic Components Sales Department 12, 13, 192, 193
Robert S. Cragin, Inc. 12, 13, 192, 193
General Instrument Corp., Semiconductor Products Div. 118, 119
Norman Allen Associates 118, 119
General Radio Co. 6
Horton Church & Goff, Inc. 6
General Radio Co., Instruments 6
Carr Liggett Adv., Inc. 6
Gould, Inc., Piezoelectric Div. 6
Carr Liggett Adv., Inc. 6
GRI Computer Corp. 6
Larcom Randall Adv., Inc. 6
Gries Reproducer Corp. 6
Miller & Marlowe Adv. 6
Guardian Electric Mfg. Co. 183
Kolb/Tooley and Associates, Inc. 183
Guiderod Brothers Silk Co., Electronic Div. 183
Ramsdell-Bickley & Co. 183
Hadron, Inc. 180
Di Nucci Graphics, Inc. 180
Hewlett Packard, H.P. Assoc. Lennen & Newell, Inc. 1
Hewlett Packard, Colorado Springs Div. 2
Tallant/Yates, Adv., Inc. 2
Hewlett Packard, Loveland Div. 10, 11
Tallant/Yates, Adv., Inc. 10, 11
Hewlett Packard, Mount View 3E, 14E
Lennen and Newell/Pacific 127
Hewlett Packard, New Jersey Div. 127
McCarthy, Scoll, and DiBiasi Adv., Agcy., Inc. 127
Hewlett Packard, San Diego Div. 127
Lennen & Newell, Inc. 127
Hewlett Packard, Santa Clara Div. 112, 113
Lennen & Newell, Inc. 112, 113
Hi-Shear Corp. 151
Honeywell Computer Control Div. 27
Creamer, Trowbridge Case & Basford, Inc. 27
Honeywell Instruments Div. 234
Campbell Mithun, Inc. 234
Hughes Aircraft Co. 125
Foote, Cone & Belding 125
Intech, Inc. 199
Hall Lawrence, Inc. 199
Integrated Circuit Engineering Corp. 216
N. W. Ayer Advertising 132
INTEL Corporation 132
Bonfield Associates 132
International Computer Products, Inc. 211
Mike & Susan Communications 211
International Crystal Mfg. Co. 211
Robert V. Freeland & Associates 211
International Electronic Research Corp. 68, 69
Van Der Boom, McCarron, Inc. Adv. 224
Ithaco, Inc. 224
Hart-Conway Co., Inc. 224
Johnson Company, E.F. 26
Martin Williams Advertising 26
Keithley Instruments, Inc. 204
Bayless-Kerr Co. 82
Kinetic Concepts, Inc. 82
Associated Adventures 82
Krohn-Hite Corporation 56
Ingalls Associates, Inc. 56
Ledex Incorporated 198
Yeck & Yeck Inc. 198
Ledex Incorporated 198
Branson Ultrasonic Division 198
Yeck & Yeck Inc. 198
Litton Industries Inc., Data Systems 222
Litton Industries Inc., Electronic Tube Division 222
MacManus, John & Adams Inc. 222
LTT 10E-11E
Promotion Vente Publitice 10E-11E
Mallory & Co., P.R. Mfg. Division 181, 220
Atkin Kynett Company 181, 220
Matheson 9
Marketing Assistance Inc. 9
Memory Systems Inc. 229
Merodot Incorporated 131
Gordon, McQuade & Dolan Advertising 202
Microsonics, Incorporated 202
S. Gunnar Myrbeck & Company 202
Microwave Division of Honeywell 38, 39
N.W. Ayer & Son Inc. 38, 39
Midtex/Aence 15
Chuck Ruhr Associates Advertising 15
Miller & Marlowe Chemical Co. Inc. 227
Michel-Cather Inc. 227
Mohawk Data Sciences Corp./OEM Marketing 147
MacFarland Associates Inc. 147
Motorola Semiconductor Products Incorporated 62, 63, 141
Lang & Wampler Advertising Inc. 243
M & T Chemicals Inc. 243
Marsteller Inc. 243
Mullard Ltd. 194
Parker-Kennivill International Inc. 222
M-W Laboratories Inc. 222
Advertising Company of America 222
National Semiconductor Corporation 72, 73
- Hall Butler Blatchford Inc.
- Norton-McCormick Incorporated 230
- J.L. Coppo Company
Omron Tatetsu Electronics Co. 4E-5E
- Dai-Ichi International Inc.
Pacific Measurements Incorporated 212
- Jack Herrick Adv. Inc.
- Philco Ford Corporation
- Microwave Division 60, 61
- The Altkin Kynett Company Inc.
- Philips Eindhoven, Nederland 122, 123
- A.G. de la Mar
- Philips Electronics Instruments
- Marsteller Inc.
- Philips Elec./Trnl Division 2E
- Marsteller International S.A.
- Pirgo Electronics Inc. 128
- Herbert Lindauer Associates
- Price & Wainwright Corporation 40
- Mort Barish Associates
- Radio Corp. of America 4th Cover, 64, 145
- Paul Leffon Company
- Rane Manufacturing Company, P.R. Mallory & Company
- M.M. Fisher Associates Inc.
- Raytheon Company
- Control Division 35, 80, 81
- Fuller & Smith & Ross Inc.
- Redcor Corporation 24
- Marconi Electronic Communication
- Consultants Inc.
- Reeves Instrument Division 153
- Duncan-Brooks Inc.
- Reese Instruments Limited 195
- E.G. White Advertising Inc.
- RHG Electronics Laboratories 1 Incorporation 225
- Samuel H. Goldstein Incorporated 2OE
- Rohde & Schwarz
Sage Electronics Corporation 210
- Mason Martineau Inc.
- San E Denki Company Ltd. 226
- Sanke Sha Adv. Agcy. Co. Ltd.
- Sercel 7E
- Termont Technique
- Sescom
- Signetics Corp. Sub. Corning Glass Works 215
- Cunningham & Walsh Inc.
- Silec Electronique 19E
- Publicite Y Ch. Lambert
- Silvinit Inc. 7
- Robinson West Inc.
- Singer Co., Instrumentation Division 158
- Technical Industrial & Scientific Marketing Inc.
- Sorensen Operation Raytheon Company 67
- Sprague Electric Company 5
- Hugh P. Sprague Company
- Stackpole Carbon Company, Electronic Components Division 148
- Wexler & Thomas Inc.
- State of the Art Inc. 226
- Ashton-Worthington Inc.
- Sylvania Electric Products Inc. 159
- P. R. Mallory 159
- Doyle Dane Bernbach Inc.
- Systron Donner Corporation 46
- Bonfield Associates Inc.
Ta Manufacturing Corporation 229
- Bear Advertising Inc.
- Ted. Manufacturing Corp.
- Lane/Travis/Pollard, Inc. 14
- Teletronics Inc. 135-136
- Dawson, Inc. 135-136
- Teledyne Relays Company 49
- S. Michelson Advertising
- Tektronix Inc. 224
- Hakuhodo Incorporated
- Transformer Electronics Company 48
- Wolf & Wolf
- Transliten Electronic Corporation 156
- Larcom Randall Advertising, Inc.
- Triplett Electrical Equipment Company 161
- Ecker & Brown Adv.
- TRW Electronics Capacitors Division 55
- Fuller & Smith & Ross, Inc.
TRW Semiconductors Inc. 244
- Fuller & Smith & Ross, Inc.
- Tung-Sol Division
- Wagner Electric Corporation 144
- Fleley & Jensen Division of Geyer, Osage Inn Adv.
- Tyco Laboratories Inc., Instruments Division 201
- Kenyon & Eckhardt Inc. Adv.
Union Carbide Company 139
- Winfield Inc. Adv.
- Unitorde Corporation 47
- Silicon Brothers, Inc.
- U.S. Army A Division of Industrial Physics and Electronics Co.
- Ross Clay Advertising 208
Valvo GMBH 12E-13E
- Intermarco
- Varian Associates Bomac S.F.D. Division 203
- Botsford, Constantine & McCarty Inc.
- Vector Electronics Co., Inc. 226
- Buck Advertising
Westamp, Inc. 228
- Siegmeister-Grant
- Westinghouse, Electronic Tube Div. 18, 19, 20, 21
- Ketchum MacLeod & Grove, Inc.
- Weston Instruments, Inc.
- Archbald Div. 190
- Arnie Frison, Chapin, Lamb & Keen, Inc.
- White Company, S.S. 164
- W.L. Towne Co., Inc.
- Wyle Computer Products 58
- Eastman Adv. Agcy.
Classified & Employment Advertising
F.J. Eberle, Manager
212-971-2557
EMPLOYMENT OPPORTUNITIES . . . . 231-233
Atomic Personnel Inc. ............... 233
Corcoran, Joseph P. .................. 233
Owens-Illinois Inc. ................... 233
EQUIPMENT
(Used or Surplus New)
For Sale
Fishman, Philip Co. .................... 233
Laboratory Equipment Sales ............. 233
Radio Research Instrument Co. ......... 233
For more information on complete product line see advertisement in the latest Electronics Buyer's Guide
Advertisers In Electronics International
Electronics Buyers' Guide
George F. Werner, Associate Publisher [212] 971-2310
Robert M. Denmead,
Midwest Regional Manager [212] 971-2310
Cliff Montgomery,
New York District Manager [212] 971-3793
Regina Herz, Directory Manager [212] 971-6244
Thomas M. Egan, Production Manager [212] 971-3140
Carol Gallagher,
Assistant Production Manager [212] 971-2045
Circulation Department
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Research Department
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Warren H. Gardner [215] LO 8-6161.
Eastern Advertising Sales Manager
Atlanta, Ga. 30309: Michael H. Miller, 1375 Peachtree St. N.E. [404] 528-2000
Boston, Mass. 02116: William S. Hodgkinson McGraw-Hill Building, Copley Square [617] CO 2-1160
Cleveland, Ohio 44113: William J. Boyle, 55 Public Square [216] SU 1-7000
New York, N.Y. 10036
500 Fifth Avenue
James R. Pierce [212] 971-3615
John R. Gardner [212] 971-3617
Michael J. Miller [212] 971-3616
Philadelphia, Pa. 19103:
Jeffrey M. Preston
Warren H. Gardner,
600 Central Plaza, [215] LO 8-6161.
Pittsburgh, Pa. 15222: Jeffrey M. Preston,
4 Gateway Center [412] 391-1314
Rockville Centre, L.I.: William J. Boyle,
9 Greylock Ridge, Pittsford, N.Y. [716] 586-5040
Donald R. Furth [312] MO 4-5800
Midwest Advertising Sales Manager
Chicago Ill., 60611: Kenneth E. Nicklas
Ralph Hanning, 1445 North Michigan Avenue, [312] MO 4-5800
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2270 Humble Bldg. [713] CA 4-8931
Detroit, Michigan 48226: Ralph Hanning,
856 Penobscot Building [313] 567-1000
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St. Louis, Mo. 63105: Kenneth E. Nicklas,
The Clayton Tower, 7751 Carondelet Ave. [314] PA 5-7288
James T. Hauptli [415] DO 2-4600
Western Advertising Sales Manager
Denver, Colo. 80202: David M. Watson,
Richard W. Carpenter
Tower Bldg., 1700 Broadway [303] 266-3863
Los Angeles, Calif. 90017: Ian C. Hill,
Bradley K. Jones, 1125 W. 6th St., [213] HU 2-5450
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Donald F. Schmitt Mohawk Building,
222 S.W. Morrison Street,
Phone [503] 223-5118
San Francisco, Calif. 94111: James T. Hauptli,
Don Francis, 257 California Street,
[415] DO 2-5000
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United Kingdom and Scandinavia
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34 Dover Street, London W1
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Phone 72 01 61
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Tokyo: McGraw-Hill
Publications Overseas Corporation,
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Osaka: Akihiko Kamesake, McGraw-Hill
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Australasia: Warren E. Ball, IPO Box 5106,
Tokyo, Japan
Business Department
Stephen R. Weiss, Manager [212] 971-2044
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Frances Vallone, Reader Service Manager [212] 971-2865
TRANSTECTOR
CIRCUIT PROTECTOR
prevents transients from causing "unexplainable" circuit failures.
Don't blame circuit failures on bad luck. Voltage transients can cause circuits to fail or suffer undetected and progressive damage. Transtector* circuit protector, a new solid state device, senses transients within nanoseconds, absorbs the surge and resets itself. Gives continuous protection for tubes, transistors, diodes and integrated circuits.
Find out about Transtector Systems from M&T Chemicals Inc., 1161 Monterey Pass Road, Monterey Park, Calif. 91754. Tel. (213) 264-0800.
M&T Chemicals Inc.
SUBSIDIARY OF AMERICAN CAN COMPANY
*Trademark of M&T Chemicals Inc.
Circle 262 on reader service card
ONE will get you FIFTY
One pulse generator, the new EC1 model 5101, produces pulse rates from 1 Hz to 50 mHz, and includes features only found in much more expensive equipment. For example: Single or double pulse output, integrated circuit output, 10 nanosecond to 1 second pulse width, 10 nanosecond to 1 second pulse delay, and synchronous or asynchronous gating.
Send for complete specifications, or call us collect and ask for an in-plant demonstration.
ONE will get you FIFTY for $525.
ELECTRONIC COUNTERS, INC.
235 Jackson Street
Englewood, N. J. 07631
(201) 567-5300
Circle 263 on reader service card
Breakthrough in low frequency filtering!
New Clevite ceramic bandpass filter puts big performance into 1/4 oz.
Clevite low frequency (LF) ceramic filters—from 9 to 50 kHz—are about one-tenth the size and weight of comparable conventional types—have narrower bandwidths, lower insertion loss and greater stability. This means you can pack more channels into a given portion of the spectrum with less sacrifice in volume and weight. They're fixed tuned, so you have no installation adjustments, simpler assembly and inspections.
Typical characteristics: 1% min. 3 dB pass bandwidth, 20 dB/3 dB bandwidth ratio not exceeding 13, and passband insertion loss less than 5 dB. Stopband attenuation exceeds 30 dB from dc to above 100 kHz. For even better selectivity they can easily be cascaded without worrying about matching or big insertion losses.
All this performance comes in a miniature HC-6/U can that weighs just ¼ ounce (it's shown here actual size). They're hermetically sealed, immune to environments . . . there's no need for magnetic shielding. And LF filters are independent of the power source, so there's no current drain.
New Clevite LF filters are ideal for low frequency communications receivers, control circuits, selective calling systems, underwater sound systems and military/navigation systems. Write today for full specs and technical data. Piezoelectric Division, Gould Inc., 232 Forbes Road, Bedford, Ohio 44146, U.S.A. Or: Brush Clevite Company, Ltd., Southampton, England.
GOULD CLEVITE
Circle 243 on reader service card
TRW 2 GHZ Broadband Transistors
Infinite VSWR...8 dB Gain...28 Volts
High gain, high efficiency, and excellent VSWR are characteristics of a new family of 2 GHz broadband transistors developed by TRW. Type 2N5766, the one watt unit, has 8 dB gain at greater than 30% efficiency, and can withstand infinite VSWR at any phase. Both the 2.5 watt 2N5767, at 8 dB gain and greater than 30% efficiency, and the 5 watt 2N5768 at 7 dB gain and greater than 35% efficiency, can withstand 3:1 VSWR at any phase.
All three transistors provide excellent stability in a common base circuit. All are contained in exceptionally rugged, ultracramic, hermetically sealed stripline packages, and operate from a 28 V source.
For further information or application assistance, contact any TRW distributor or TRW Semiconductors Inc., 14520 Aviation Boulevard, Lawndale, Calif. 90260. Phone (213) 679-4561; TWX: 910-325-6206. TRW Semiconductors is a subsidiary of TRW Inc.
Electronics reader service
Use these handy post cards for more detailed information on: products advertised, new products, new literature.
Circle the number on the Reader Service post card that corresponds to the number at the bottom of the advertisement, new product item, or new literature in which you are interested.
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If someone has beaten you to the post cards, you may obtain the needed information by writing directly to the manufacturer, or by sending your name and address, plus the Reader Service number, to Electronics Reader Service department.
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Fill in the "For Subscriptions" area on the card if you desire to subscribe to or renew your present subscription to Electronics. Send no money. Electronics will bill you at the address indicated on the Reader Service post card.
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Reprint service
All Electronics editorial matter available in reprint form:
For reprints of special reports and feature articles see list on right side of this page. Send your order to Electronics Reprint Department at the address indicated. To expedite mailing of your order for single reprints please send cash, check or money order with your order. Allow 3-4 weeks for delivery.
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Bulk reprints of editorial matter can be ordered from current or past issues. The minimum quantity is 100 copies. Prices quoted on request: call 212-971-2274, or write to address below.
To order reprints or for further information, please write to: Electronics Reprint Department, 330 West 42nd Street, New York, N.Y. 10036.
To expedite mailing of your order for single reprints please enclose payment with your order.
You may order any of the below listed reprints by key number. Discounts on quantities over 10.
Key no. R-01 Computer-aided Design: Part I - The Man-machine Merger. 16 pages. $1.25.
Key no. R-04 Multilayer Circuit Boards: Sharpening An Imperfect Art. 7 pages. 50¢.
Key no. R-05 Topology Cuts Design Drudgery. 12 pages. 50¢.
Key no. R-06 Report on Japanese Technology: Sony. 20 pages. 50¢.
Key no. R-010 Special Report on Large Scale Integration. 54 pages. $1.50.
Key no. R-011 Medical Electronics (1967). 8 part series, 44 pages. $1.25.
Key no. R-012 Special Report on Gallium Arsenide. 17 parts. 32 pages. $2.00.
Key no. R-016 Special Report on The Transistor: Two Decades of Progress. 48 pages. $1.50.
Key no. R-017 Special Report on Ferrites. 16 pages. $1.00.
Key no. R-018 European Electronics Markets 1969. 20 page forecast report with a 6 page foldout. $1.00.
Key no. R-019 U.S. Electronics Markets 1969. 32 page forecast report with a 4 page foldout. $1.00.
Key no. R-020 1968 Electronics Index to Technical Articles and Authors. Free.
Key no. R-021 Infrared Detector Characteristics. 23 x 11 inch fold-out chart. 50¢.
Key no. R-022 Active Filters: Part II, Varying the Approach. 8 pages $1.00.
Key no. R-79 MOS Integrated Circuits. 12 pages. 50¢.
Key no. R-78 The Overlay Transistor. 15 pages. 50¢.
Key no. R-64 Field Effect Transistors. Parts I, II, and III. 64 pages. $1.00.
From Dale—the pots you don’t ship back...
<1% customer rejection rate!
Less than 1% customer rejection for all causes. That’s the record established by Dale T-Pots. Consider the savings this can bring you in time, paper work. Then consider the added efficiency of consolidating more of your buys at this versatile source. Almost 50% more models added in two years. Military (RT-10; 11, 12, 22, 24), Industrial, Commercial ... wirewound and film elements. All are very competitively priced. Check today and find out. We can deliver them quickly—and you won’t have to send them back.
MILITARY GRADE T-POTS
600 Series: Mil. Equiv. RT-10; 10Ω to 100KΩ, ±5%; 1 watt at 70°C, derated to 0 at 175°C. 18 H x .32 W x 1.00 L.
1200 Series: Mil. Equiv. RT-11; 10Ω to 100KΩ, ±5%; 1 watt at 70°C, derated to 0 at 175°C. 28 H x .31 W x 1.25 L.
1600 Series: Mil. Equiv. RT-12; 10Ω to 100KΩ, ±5%; 1 watt at 70°C, derated to 0 at 175°C. 19 H x .32 W x 1.25 L.
5000 Series: Mil. Equiv. RT-22; 10Ω to 50KΩ, ±5%; 1 watt at 70°C, derated to 0 at 175°C. 19 or 22 H x .50 W x .50 L.
5800 Series: Mil. Equiv. RT-24; 10Ω to 50KΩ, ±5%; 1 watt at 70°C, derated to 0 at 175°C. 1.145 or 1.50 H x .375 W x .375 L.
COMMERCIAL GRADE ECONO-TRIM T-POTS
WIREWOUND ELEMENT
2300 Series: Sealed/Unsealed; 10Ω to 50KΩ, ±10%; 0.5 watt at 25°C, derated to 0 at 105°C. 36 H x .28 W x 1.00 L.
2400 Series: Sealed/Unsealed; 10Ω to 50KΩ, ±10%; 1 watt at 40°C, derated to 0 at 125°C. .31 H x .16 W x .75 L.
FILM ELEMENT
8300 Series: Sealed/Unsealed; 10Ω to 2 Meg., ±10% 100Ω thru 500K, ±20% all other values; .75 watt at 25°C, derated to 0 at 105°C. 36 H x .28 W x 1.00 L.
8400 Series: Sealed/Unsealed; 10Ω to 2 Meg., ±10% 100Ω thru 500K, ±20% all other values; .75 watt at 25°C, derated to 0 at 125°C. .31 H x .16 W x .75 L.
INDUSTRIAL GRADE T-POTS
WIREWOUND ELEMENT
100, 200, 300 Series: 10Ω to 100KΩ.
100 Series: ±5%, 0.8 watt at 70°C, derated to 0 at 135°C.
200 Series: ±10%, 0.5 watt at 70°C, derated to 0 at 105°C.
300 Series: ±15%, 25 watt at 70°C, derated to 0 at 85°C.
Dimensions: .22 H x .31 W x 1.25 L (also 1.32 L for 100, 200).
1100 Series: 10Ω to 100KΩ, ±10%; 1 watt at 70°C, derated to 0 at 175°C. 28 H x .31 W x 1.25 L.
2100 Series: Industrial counterpart RT-11; 10Ω to 100KΩ, ±10%; 1 watt at 70°C, derated to 0 at 125°C. 28 H x .31 W x 1.25 L.
2200 Series: Industrial counterpart RT-10; 10Ω to 100KΩ, ±10%; 1 watt at 70°C, derated to 0 at 125°C. 18 H x .32 W x 1.00 L.
FILM ELEMENT
8100 Series: Industrial counterpart RJ-11; 10Ω to 2 Meg., ±10% 100Ω to 500K, ±20% other values; .75 watt at 70°C, derated to 0 at 125°C. 28 H x .31 W x 1.25 L.
Call 402-564-3131 for complete information or write for Catalog B
DALE ELECTRONICS, INC., 1300 28th Ave., Columbus, Nebraska 68601
In Canada: Dale Electronics Canada, Ltd. • A subsidiary of The Lionel Corporation
Circle 901 on reader service card
COS/MOS makes other low-powered IC logic circuits look power-hungry
The CD4008D has a quiescent power dissipation rating of only 5 µW (typ). It is a made-to-order 4-bit full adder for digital equipment where power dissipation, low package count or high noise immunity are primary design prerequisites.
You don't have to wait for summing before the carry signal is available with the CD4008D. The new adder includes a high speed parallel carry circuit that provides a fast carry output signal $t_{\text{pd}}(C_1-C_2) = 50$ ns (typ) at $C_1 = 15$ pF to permit high speed operation in arithmetic sections that may require several CD4008D's. Add to that: operation from a single power supply (6 to 15 V); all "sum lines" propagation delay—400 ns (typ); noise immunity=4.5 V (typ) at $V_{\text{dd}}=10$ V; fanout capability up to 50; protected inputs and outputs and operation over the full military temperature range.
Here you have a 4-bit full adder that will fulfill many circuit applications.
For further details, see your local RCA Representative or your local RCA Distributor. Or write to RCA Electronic Components, Commercial Engineering, Section N-12-1 CD20, Harrison, N. J. 07029. In Europe: RCA International Marketing S.A., 2-4 rue du Lièvre, 1227 Geneva, Switzerland.
THINK ABOUT IT.
RCA Integrated Circuits
Circle 902 on reader service card
|
Before You Retire...
Taking the plunge into retirement is a big decision – not one to be made on the spur of the moment. It’s best to do a bit of pre-retirement planning before you turn in that resignation. No two retirees are the same, but there are a few steps that most retirees should consider taking before the big day.
ESTABLISH A BUDGET
Have you created the wealth necessary to meet your retirement needs? To answer this question, create a retirement budget showing your estimated income and expenses.
Start with expenses. A good starting point is to review your current expenses – most of them will follow you into retirement. Some expenses may decrease during retirement and some may increase.
Review and research these expenses, especially the ones that may decrease:
- **Housing** – Costs may decrease as mortgages are paid off.
- **Taxes** – Distributions from retirement plans are subject to State and Federal income taxes, but retirees with less income during retirement may fall into a lower tax bracket. FICA taxes (Social Security and Medicare) are only applied to earned income and not assessed to withdrawals from retirement accounts.
EXPENSES THAT MAY INCREASE:
- **Healthcare** – Health-related expenses, including insurance, prescription drug and out-of-pocket medical costs may go up.
- **Entertainment** – Retirees often dine out and attend movies, theater, or musical events to a greater degree.
- **Vacation** – Retirees may incur more travel expenses such as hotels, airfare, or gasoline.
Continued on page 2
2012 LEGISLATION
The 102nd Legislature, second session, convened on January 4, 2012 for a 60-day session that will end on April 2. During the first session, senators elected members of the body to serve as committee chairpersons. Omaha Senator Jeremy Nordquist was elected as chair of the Nebraska Retirement Systems Committee and Senator LeRoy Louden the vice chair. Other committee members include Lavon Heidemann, Russ Karpisek, Heath Mello, and R. Paul Lambert.
During the first ten days allotted for introducing new legislation, four new bills addressing the School, Judges, and Patrol retirement plans were introduced. In addition, three “carryover” bills from 2011 will also be considered.
**LB 505 – PATROL**
- Carryover bill. Allocates 1/4 of 1% of motor vehicle tax proceeds to the State Patrol retirement fund.
**LB 679 – JUDGES & PATROL**
- Carryover bill. New judges and new members of the State Patrol would participate in the state Cash Balance retirement plan.
**LB 680 – SCHOOL**
- Carryover bill. New School plan members would participate in a cash balance retirement plan similar to the plan for state and county employees.
**LB 916 – ALL PLANS**
- Excludes per diem payments from the definition of compensation.
- Implements provisions of the Heroes Earnings Assistance and Relief Tax Act of 2008 (HEART Act) requiring a member’s beneficiary be entitled to any additional death benefit that he or she would be entitled to had the member been employed during the period of qualified military service when the death occurred.
- Contains “clean up” language to clarify that it is the employer’s responsibility to notify when a plan member terminates employment and clarifies language to conform to current IRS regulations regarding rollovers to another eligible retirement plan or IRA.
**SCHOOL**
- Effective 9/1/12, employees under 18 are not eligible to join the plan.
- Clarifies that unpaid voluntary or substitute service during the first 180 calendar days after termination can only be provided on an intermittent basis.
**LB 919 – JUDGES**
- The $6 court fee remitted to the Judges’ retirement fund scheduled to drop to $5 as of 7/1/2014 would remain at $6.
**LB 973 – ALL PLANS**
- Provides for garnishment of retirement benefits when a plan member is convicted of or pleads no contest to a felony that is defined as assault, sexual assault, kidnapping, child abuse, false imprisonment, or theft by embezzlement and is subsequently found liable for civil damages. Exempts from garnishment any benefits or annuity payments “reasonably necessary for the support of the employee or appointee or any of his or her beneficiaries.”
**LB 1022 – PATROL**
- An “open ended” bill that would raise contribution rates to an unspecified amount. Intended to be a “place-holder bill” in the event of a future contribution adjustment.
that may increase. There are multiple books and websites that can help you identify and list common expenses during retirement. Health and medical costs will be the biggest factor for most retirees. Will you need to obtain private coverage, or be eligible for Medicare? When should you apply for Medicare and what will be your out of pocket expenses?
Now, **review your retirement income**. Estimate how much you will receive monthly from each source. Some sources will be fairly stable and some will fluctuate.
Stable sources include Social Security and pension benefits. How much will you receive each month from your School, Judges, or State Patrol pension? The NPERS website has a handy benefit estimate to help answer this question. What age will be best for you to start drawing Social Security? Benefits can be calculated using the estimator available on the Social Security website and additional assistance is available via your local office. Your pension and Social Security provide a stable monthly income, taking much of the guesswork out of future income calculations.
You’ll also need access to liquid capital during retirement in the form of withdrawals from savings or retirement accounts. Income from personal retirement accounts can fluctuate depending on investment choices and market conditions. Most financial planners recommend limiting annual withdrawals to 4% or 5% of your total account. So a $100,000 account would create $4,000-$5,000 of annual income. A down market that reduced the account value would result in less income and positive market returns would increase it. There is no way to predict future investment income, but looking at your current account balance and assuming a 4% to 5% rate will give you an estimate to work with.
Now compare your estimated expenses to your income. If you are coming up short on funds, it’s time to consider what changes can be made to close the gap.
**GET RID OF DEBT!**
Pay off those bills, starting with the highest interest rate obligations first. Mortgages with lower rates can be carried into retirement, but credit card debt is a deal breaker. Review mortgage rates and consider a shorter term, lower rate mortgage in an effort to pay off prior to retirement.
**REVIEW INSURANCE COVERAGE**
Are you currently paying life insurance premiums? How much are you paying and is this coverage still necessary? Coverage that made sense 20 years ago may not be appropriate during retirement. Consider long term care insurance. It may or may not be appropriate, but take the time to research the pros and cons. Review and update beneficiaries.
**COMING UP SHORT?**
If your estimated income will not cover your expenses, you may need to consider the following options:
- **Continue Working**
- Delay retirement to a later age.
- **Partial Retirement**
- Continue to work part-time.
- **Cut Costs**
- Make changes to reduce your expenses.
A combination of these tactics can be employed in order to balance out income vs. expenses. If your retirement budget depends heavily on reduced expenses, it’s wise to do a trial run before you retire. See if you can live within your new budget for *at least* two or three months. If you can’t, then you may have to consider delaying retirement or working part time. Be cautious when reducing your budget. Cutting expenses to the bare bone leaves no room for error during retirement.
**POTENTIAL SOURCES OF INCOME:**
$___________ Social Security
$___________ Employer sponsored retirement plans like your State and County account.
$___________ Voluntary retirement accounts like an IRA, 403(b), or 457 Deferred Compensation Plan. (Note: If you don’t have a voluntary retirement account, you should consider starting one. The sooner the better so you can build it for retirement.)
$___________ Other: _______________________
**REVIEW YOUR INVESTMENTS & CREATE A SAFETY NEST EGG**
Investments during retirement should be more conservative, but most retirees will still need some exposure to stocks in order to offset inflation and maintain their standard of living. To offset the risk, create a separate “safety net” fund that can be tapped during market downturns. This fund should be large enough to cover at least two years of expenses and should not be exposed to investments that may decrease in value.
**ESTATE PLANNING**
Create or update your will, power of attorney, advanced medical directives, and beneficiaries. Review and update every five years.
**CAN YOU MAKE THE TOUGH CALL?**
When facing a budget shortfall during retirement, it may be easy to cut back on items like cable TV or dining out. What about more emotional expenses like needy relatives (that includes your kids) or charitable donations? These may well be worthwhile recipients of your money, but your financial needs must come first. Consider donating more *time* than *money* to causes you deem worthwhile.
NPERS Congratulates 2011 Employee and Manager of the Year
The Nebraska Public Employees Retirement Systems is pleased to announce our recipients for Manager and Employee of the year for 2011.
SCOTT SINGLETON
Employee of the Year
Scott works for the “Specialties” division in the Member Services department and has been with NPERS for over six years. Scott processes retirements for the Judges and State Patrol plans. He also handles purchase of service requests for the School plan and helps out in various capacities as needed. Comments made by co-workers as part of the nomination process included:
“Scott is a team player and is willing to take on a task when asked.”
“He is easy to talk to and does not shrink from a challenge.”
“He is a workhorse in the very best sense of the word.”
TERESA ZULAUF
Manager of the Year
Teresa is the manager of the Internal Auditing department. She has been with NPERS for nine years and supervises the NPERS internal auditing staff. Under her leadership, the auditing department has been significantly revamped resulting in greater efficiency and fewer new and outstanding audit points found by the State auditors. Comments made on her nominations include:
“Hard working, dedicated, knowledgeable.”
“…always helpful in making important decisions.”
NPERS is happy to recognize Scott and Teresa for their years of hard work and dedication to our members. Congratulations!
2012 SAVER’S TAX CREDIT
Did you know contributing to either a 403(b) or 457 Deferred Compensation Plan (DCP) may help reduce your taxes? Low and moderate income employees may be able to significantly reduce their taxes by qualifying for the Federal Saver’s Tax Credit, formally known as the Retirement Savings Contribution Credit. By making voluntary contributions to an employer sponsored retirement plan or individual retirement arrangement (IRA), you may qualify for a maximum credit of up to $1,000 per individual ($2,000 if filing jointly).
This credit only applies for contributions made to voluntary retirement accounts. Eligibility and the amount of the credit are determined by filing status and adjusted gross income (AGI).
FILING STATUS/ADJUSTED GROSS INCOME LIMITS FOR 2012
| CREDIT RATE | JOINT | HEAD OF HOUSEHOLD | SINGLE |
|-------------|-------------|-------------------|------------|
| 50% of $2,000 | $0 to $34,500 | $0 to $25,875 | $0 to $17,250 |
| 20% of $2,000 | $34,501 to $37,500 | $25,876 to $28,125 | $17,251 to $18,750 |
| 10% of $2,000 | $37,501 to $57,500 | $28,126 to $43,125 | $18,751 to $28,750 |
Per the 2012 limits, a couple filing a joint return with an AGI of $34,500 or less is eligible for the 50% rate. If each one contributed $2,000 (or more) to a qualified plan, both would receive the maximum $1,000 Saver’s Credit. If their AGI was a bit higher at say $35,000, they move to the 20% bracket and both would receive a $400 credit.
Don’t confuse tax “credits” with “deductions.” A deduction reduces the amount of your taxable income and you pay taxes on the remaining income at a percentage based on the IRS tax brackets. A credit reduces the final amount of taxes you owe dollar for dollar and provides significantly better savings. Even better, contributions made to a 403(b) or 457 (DCP) reduce your taxable income (AGI) and may help you qualify for a higher Saver’s Tax Credit.
For more information on the Saver’s Credit, review IRS Publication 590, Individual Retirement Arrangements (IRAs), Publication 4703, Retirement Savings Contributions Credit, and Form 8880. Publications and forms can be downloaded at IRS.gov or ordered by calling 800-TAX-FORM (800-829-3676).
2011 Actuarial Reports
The 2011 actuarial reports for the School, Judges, and State Patrol retirement plans were presented during the annual joint meeting of the Public Employees Retirement Board and the Nebraska Investment Council. For the third year in a row, the plans saw strong investment returns. For the fiscal year of 7/1/2010 to 6/30/2011, the investment return was 23.3%. Thanks to this positive rate of return, all three plans remain above the desired 80% actuarial funding threshold for sound retirement plans.
For the School plan, the funded status is 80.4%. The State Patrol funded status is 82.2%, and the Judges plan is 98%. Recent legislation increasing contributions from plan members, employers, and the State has helped maintain funding levels. Dave Slishinsky from Buck Consultants reported that “Nebraska’s results are better than the average across the country.”
For more information, the full actuarial reports for each plan are available on the Publications page of the NPERS website.
403(b) & 457 Contribution Limits
The IRS recently announced the 2012 contribution limits for 403(b) and 457 (Deferred Compensation) retirement plans. For both plans, the standard yearly maximum contribution for 2012 increased from $16,500 to $17,000. Individuals age 50 or older may contribute an additional $5,500 using the Age 50 Catch-up provision, increasing their total limit to $22,500.
School employees who have completed 15 or more years of service in the same school district and have contributed, on average, less than $5,000 a year to their 403(b) may be able to contribute more under the Lifetime (“Long Service”) Catch-up provision. This allows eligible 403(b) participants to contribute up to an additional $3,000 per year up to a lifetime maximum of $15,000.
403(b) FOR TAX YEAR 2012
Standard maximum contribution ........$17,000
If you qualify for the $3,000 Lifetime Catch-up ..................$20,000
If you qualify for the $5,500 Age 50 Catch-up ..................$22,500
If you qualify for BOTH the Age 50 and the Lifetime Catch-up* .......$25,500
*The first $3,000 of contributions in excess of the standard $17,000 limit will apply to the Lifetime Catch-up and reduce the $15,000 Lifetime Catch-up limit. For more information on 403(b) limits, please refer to IRS publication 571.
State Patrol employees and Judges participating in Deferred Compensation (DCP) can contribute more using the Three Year Catch-up provision. This provision allows members who did not defer the maximum amount in prior years to contribute up to a maximum of $34,000. The Three Year Catch-up is allowed once, within three years of anticipated retirement, and cannot be implemented at the same time as the Age 50 provision.
457 FOR TAX YEAR 2012
If you’re under age 50 ..............................................$17,000
If you qualify for the Age 50 Catch-up ............................$22,500
If you qualify for the Three-Year Catch-up ........................$34,000
State Patrol and Judges who would like to participate in the State DCP can access the enrollment and form on the NPERS website under “Forms.” This form should be submitted to your agency payroll or HR rep so they can set up the payroll deduction. Enrollments are effective beginning the pay period following submission of the form.
NPERS does not administer 403(b) plans. School employees who wish to participate in a 403(b) should contact their HR department for plan and enrollment information.
Are you on target for a secure retirement?
Learn About Your Pension Plan & How To Prepare for Your Retirement...
SPRING 2012 SCHOOL RETIREMENT PLANNING SEMINARS for Nebraska School Retirement Plan Members Age 50 & Over
REGISTER NOW!
REGISTRATION IS REQUIRED AT LEAST ONE WEEK PRIOR TO THE SEMINAR. SEMINARS MAY FILL UP QUICKLY. The registration fee is $20 for members and $20 for a spouse or guest attending with a member.
To register, complete a registration form (available online at npers.ne.gov) and return it with your check to:
Nebraska Public Employees Retirement Systems (NPERS), Seminar Registrations, P.O. Box 94816, Lincoln, NE 68509-4816.
For more information, contact NPERS at 402-471-2053 or toll free 1-800-245-5712.
2012 SCHOOL SEMINAR SCHEDULE
| LINCOLN | OMAHA | GRAND ISLAND |
|---------|-------|--------------|
| SECC – Continuing Education Center 301 S. 68th St. Pl. | ESU #3 6949 S. 110th (La Vista) | Holiday Inn – Midtown 2503 S. Locust |
| ■ February 29 | ■ May 9 | ■ March 6 | ■ May 22 | ■ March 14 | ■ April 11 | ■ June 27 |
| ■ March 1 | ■ June 6 | ■ March 7 | ■ June 7 | ■ March 28 | ■ April 18 | ■ April 19 | ■ May 3 |
| ■ March 2 | ■ June 14 | ■ March 9 | ■ June 21 | ■ March 29 | ■ June 13 | ■ April 19 | ■ May 3 |
| ■ April 25 | ■ June 20 | ■ April 24 | ■ May 2 |
| KEARNEY | NORFOLK | SO. SIOUX CITY |
|---------|---------|---------------|
| ESU #10 76 Plaza Blvd. | NECC – Lifelong Learning Center 801 E. Benjamin | Iowa-Nebraska State Bank 2021 Dakota Ave. |
| ■ March 15 | ■ May 16 | ■ March 21 | ■ May 17 | ■ March 22 |
| VALENTINE | NORTH PLATTE | SCOTTSBLUFF | COLUMBUS |
|-----------|--------------|-------------|---------|
| Valentine’s Niobrara Lodge 803 E. Hwy 20 | Holiday Inn Express 300 Holiday Frontage Rd | ESU #13 4215 Avenue I | ESU #7 2657 44th Ave. |
| ■ March 28 | ■ March 29 | ■ June 13 | ■ April 18 | ■ April 19 | ■ May 3 |
IN THIS ISSUE...
Before You Retire ......................................................... 1
2012 Legislation ............................................................. 1
NPERS Employee & Manager of the Year ....................... 3
Saver’s Tax Credit .......................................................... 3
2011 Actuarial Reports .................................................... 3
403(b) and 457 Contribution Limits ................................. 4
Spring Retirement Seminar Schedule ............................... 4
|
SECURITIES AND EXCHANGE COMMISSION
FORM 424B2
Prospectus filed pursuant to Rule 424(b)(2)
Filing Date: 2013-01-28
SEC Accession No. 0001193125-13-026193
(HTML Version on secdatabase.com)
FILER
BANK OF AMERICA CORP /DE/
CIK:70858 | IRS No.: 560906609 | State of Incorp.: DE | Fiscal Year End: 1231
Type: 424B2 | Act: 33 | File No.: 333-180488 | Film No.: 13552155
SIC: 6021 National commercial banks
Mailing Address
BANK OF AMERICA
CORPORATE CENTER
100 N TRYON ST
CHARLOTTE NC 28255
Business Address
BANK OF AMERICA
CORPORATE CENTER
100 N TRYON ST
CHARLOTTE NC 28255
7043868486
| Title of Each Class of Securities to be Registered | Amount to be Registered | Proposed Maximum Offering Price Per Unit | Proposed Maximum Aggregate Offering Price | Amount of Registration Fee\(^{(1)}\) |
|--------------------------------------------------|-------------------------|------------------------------------------|------------------------------------------|-------------------------------------|
| Capped Leveraged Index Return Notes® Linked to a Global Equity Basket, due January 26, 2015 | 2,582,741 | $10.00 | $25,827,410 | $3,522.86 |
(1) Calculated in accordance with Rule 457(r) of the Securities Act of 1933.
Capped Leveraged Index Return Notes® Linked to a Global Equity Basket
- Maturity of approximately two years
- 2-to-1 upside exposure to increases in the Basket, subject to a capped return of 16.50%
- The Basket is comprised of the S&P 500® Index, the MSCI EAFE Index, and the MSCI Emerging Markets Index. The S&P 500® Index was given an initial weight of 45.00% and each of the MSCI EAFE Index and MSCI Emerging Markets Index were given an initial weight of 27.50%.
- 1-to-1 downside exposure to decreases in the Basket beyond a 10% decline, with up to 90% of your principal at risk
- All payments occur at maturity and are subject to the credit risk of Bank of America Corporation
- No periodic interest payments
- Limited secondary market liquidity, with no exchange listing
The notes are being issued by Bank of America Corporation (“BAC”). There are important differences between the notes and a conventional debt security, including different investment risks and certain additional costs. See “Risk Factors” on page TS-6 of this term sheet and beginning on page S-9 of product supplement LIRN-3.
The estimated initial value of the notes at the time the terms of the notes were set is less than the public offering price. See “Summary” on the following page, “Risk Factors” on page TS-6 of this term sheet and “Structuring the Notes” on page TS-18 of this term sheet for additional information. The actual value of your notes at any time will reflect many factors and cannot be predicted with accuracy.
None of the Securities and Exchange Commission (the “SEC”), any state securities commission, or any other regulatory body has approved or disapproved of these securities or determined if this Note Prospectus (as defined below) is truthful or complete. Any representation to the contrary is a criminal offense.
| Per Unit | Total |
|----------|-------------|
| Public offering price | $10.00 | $25,827,410.00 |
| Underwriting discount | $0.20 | $516,548.20 |
| Proceeds, before expenses, to BAC | $9.80 | $25,310,861.80 |
The notes:
- Are Not FDIC Insured
- Are Not Bank Guaranteed
- May Lose Value
Merrill Lynch & Co.
January 24, 2013
Summary
The Capped Leveraged Index Return Notes® Linked to a Global Equity Basket due January 26, 2015 (the “notes”) are our senior unsecured debt securities. The notes are not guaranteed or insured by the Federal Deposit Insurance Corporation or secured by collateral. **The notes will rank equally with all of our other unsecured and unsubordinated debt. Any payments due on the notes, including any repayment of principal, will be subject to the credit risk of BAC.** The notes provide you a leveraged return, subject to a cap, if the Ending Value of the Market Measure, which is the Global Equity Basket described below (the “Basket”), is greater than its Starting Value. If the Ending Value is less than the Threshold Value, you will lose a portion, which could be significant, of the principal amount of your notes. The amount you receive at maturity will be calculated based on the $10 Original Offering Price per unit and the performance of the Basket. See “Terms of the Notes” below.
The Basket is comprised of the S&P 500® Index, the MSCI EAFE Index, and the MSCI Emerging Markets Index (each, a “Basket Component”). On the pricing date, the S&P 500® Index was given an initial weight of 45.00%, and each of the MSCI EAFE Index and the MSCI Emerging Markets Index were given an initial weight of 27.50%.
Payments on the notes depend on our credit risk and on the performance of the Basket. The economic terms of the notes (including the Capped Value) are based on the rate we would pay to borrow funds through the issuance of market-linked notes and the terms of certain related hedging arrangements. The implied borrowing rate for market-linked notes is typically lower than the rate we would pay when we issue conventional fixed or floating rate debt securities. This difference in borrowing rate, as well as the underwriting discount and the hedging related charge described below, will reduce the economic terms of the notes to you and the estimated initial value of the notes.
Due to these factors, the public offering price you pay to purchase the notes is greater than the estimated initial value of the notes determined immediately at the time the terms of the notes were set. This estimated initial value is $9.68 per unit. For more information about the estimated initial value and the structuring of the notes, see “Structuring the Notes” on page TS-18.
Terms of the Notes
| Term | Bank of America Corporation (“BAC”) |
|------|-------------------------------------|
| Issuer: | $10.00 per unit |
| Original Offering Price: | Approximately two years |
| Term: | A Global Equity Basket comprised of the S&P 500® Index (Bloomberg symbol: “SPX”), the MSCI EAFE Index (Bloomberg symbol: “MXEA”), and the MSCI Emerging Markets Index (Bloomberg symbol: “MXEF”). Each Basket Component is a price return index. |
| Market Measure: | 100.00 |
| Starting Value: | The average of the values of the Market Measure on each scheduled calculation day occurring during the maturity valuation period. The |
| Ending Value: |
Redemption Amount Determination
On the maturity date, you will receive a cash payment per unit determined as follows:
\[ \text{Redemption Amount} = \begin{cases}
\text{Capped Value} & \text{if } \text{Ending Value} > \text{Threshold Value} \\
\text{Threshold Value} & \text{if } \text{Ending Value} \leq \text{Threshold Value}
\end{cases} \]
Where:
- **Capped Value** = \( \max(\text{Capped Value}, \text{Capped Value}) \)
- **Threshold Value** = \( \min(\text{Threshold Value}, \text{Threshold Value}) \)
Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document
calculation days are subject to postponement in the event of Market Disruption Events, as described beginning on page S-22 of product supplement LIRN-3.
**Threshold Value:** 90.00 (90% of the Starting Value).
**Capped Value:** $11.65 per unit of the notes, which represents a return of 16.50% over the Original Offering Price.
**Maturity Valuation Period:** January 14, 2015, January 15, 2015, January 16, 2015, January 20, 2015, and January 21, 2015
**Participation Rate:** 200%
**Fees and Charges:** The underwriting discount of $0.20 per unit listed on the cover page and the hedging related charge of $0.075 per unit described in “Structuring the Notes” on page TS-18.
**Calculation Agent:** Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”), a subsidiary of BAC.
The terms and risks of the notes are contained in this term sheet and in the following:
- Product supplement LIRN-3 dated April 2, 2012:
[http://www.sec.gov/Archives/edgar/data/70858/000119312512146420/d326518d424b5.htm](http://www.sec.gov/Archives/edgar/data/70858/000119312512146420/d326518d424b5.htm)
- Series L MTN prospectus supplement dated March 30, 2012 and prospectus dated March 30, 2012:
[http://www.sec.gov/Archives/edgar/data/70858/000119312512143855/d323958d424b5.htm](http://www.sec.gov/Archives/edgar/data/70858/000119312512143855/d323958d424b5.htm)
These documents (together, the “Note Prospectus”) have been filed as part of a registration statement with the SEC, which may, without cost, be accessed on the SEC website as indicated above or obtained from MLPF&S by calling 1-866-500-5408. Before you invest, you should read the Note Prospectus, including this term sheet, for information about us and this offering. Any prior or contemporaneous oral statements and any other written materials you may have received are superseded by the Note Prospectus. Capitalized terms used but not defined in this term sheet have the meanings set forth in product supplement LIRN-3. Unless otherwise indicated or unless the context requires otherwise, all references in this document to “we,” “us,” “our,” or similar references are to BAC.
**Investor Considerations**
**You may wish to consider an investment in the notes if:**
- You anticipate that the Basket will increase moderately from the Starting Value to the Ending Value.
- You are willing to risk a loss of principal and return if the Basket decreases from the Starting Value to an Ending Value that is below the Threshold Value.
- You accept that the return on the notes, if any, will be capped.
- You are willing to forgo the interest payments that are paid on conventional interest bearing debt securities.
- You are willing to forgo dividends or other benefits of owning the stocks included in the Basket Components.
- You are willing to accept a limited market for sales prior to maturity, and understand that the market prices for the notes, if any, will be affected by various factors, including our actual and perceived creditworthiness, the implied borrowing rate and fees and charges on the notes.
- You are willing to assume our credit risk, as issuer of the notes, for all payments under the notes, including the Redemption Amount.
**The notes may not be an appropriate investment for you if:**
- You believe that the Basket will decrease from the Starting Value or that it will not increase sufficiently over the term of the notes to provide you with your desired return.
- You seek 100% principal protection or preservation of capital.
- You seek an uncapped return on your investment.
- You seek interest payments or other current income on your investment.
- You want to receive dividends or other distributions paid on the stocks included in the Basket.
- You seek an investment for which there will be a liquid secondary market.
- You are unwilling or are unable to take market risk on the notes or to take our credit risk as issuer of the notes.
We urge you to consult your investment, legal, tax, accounting, and other advisors before you invest in the notes.
Hypothetical Payout Profile and Examples of Payments at Maturity
The following table and examples are for purposes of illustration only. They are based on hypothetical values and show hypothetical returns on the notes. They illustrate the calculation of the Redemption Amount and total rate of return based on the Starting Value of 100, the Threshold Value of 90, the Participation Rate of 200%, the Capped Value of $11.65 per unit and a range of hypothetical Ending Values. The actual amount you receive and the resulting total rate of return will depend on the actual Ending Value and whether you hold the notes to maturity. The following examples do not take into account any tax consequences from investing in the notes.
For recent actual levels of the Market Measure, see “The Basket” section below. Each Basket Component is a price return index and as such the Ending Value will not include any income generated by dividends paid on the stocks included in the Basket Components, which you would otherwise be entitled to receive if you invested in those stocks directly. In addition, all payments on the notes are subject to issuer credit risk.
| Ending Value | Percentage Change from the Starting Value to the Ending Value | Redemption Amount per Unit | Total Rate of Return on the Notes |
|--------------|-------------------------------------------------------------|----------------------------|----------------------------------|
| 60.00 | -40.00% | $7.00 | -30.00% |
| 70.00 | -30.00% | $8.00 | -20.00% |
| 80.00 | -20.00% | $9.00 | -10.00% |
| 90.00 | -10.00% | $10.00 | 0.00% |
| 94.00 | -6.00% | $10.00 | 0.00% |
| 97.00 | -3.00% | $10.00 | 0.00% |
| 100.00 | 0.00% | $10.00 | 0.00% |
| 103.00 | 3.00% | $10.60 | 6.00% |
| 106.00 | 6.00% | $11.20 | 12.00% |
| 110.00 | 10.00% | $11.65 | 16.50% |
| 120.00 | 20.00% | $11.65 | 16.50% |
| 130.00 | 30.00% | $11.65 | 16.50% |
| 140.00 | 40.00% | $11.65 | 16.50% |
| 150.00 | 50.00% | $11.65 | 16.50% |
| 160.00 | 60.00% | $11.65 | 16.50% |
(1) This is the Threshold Value.
(2) The Starting Value was set to 100.00 on the pricing date.
(3) The Redemption Amount per unit cannot exceed the Capped Value.
Redemption Amount Calculation Examples
Example 1
The Ending Value is 80.00, or 80.00% of the Starting Value:
Starting Value: 100.00
Ending Value: 80.00
Threshold Value: 90.00
$10 - $10 \times \left( \frac{90 - 80}{100} \right) = $9.00 Redemption Amount per unit
Example 2
The Ending Value is 95.00, or 95.00% of the Starting Value:
Starting Value: 100.00
Ending Value: 95.00
Threshold Value: 90.00
Redemption Amount (per unit) = $10.00, the Original Offering Price, since the Ending Value is less than the Starting Value but equal to or greater than the Threshold Value.
Example 3
The Ending Value is 104.00, or 104.00% of the Starting Value:
Starting Value: 100.00
Ending Value: 104.00
$10 + $10 \times 20\% \times \left( \frac{104 - 100}{100} \right) = $10.80 Redemption Amount per unit
Example 4
The Ending Value is 130.00, or 130.00% of the Starting Value:
Starting Value: 100.00
Ending Value: 130.00
$10 + $10 \times 20\% \times \left( \frac{130 - 100}{100} \right) = $16.00, however, because the Redemption Amount for the notes cannot exceed the Capped Value, the Redemption Amount will be $11.65 per unit
Risk Factors
There are important differences between the notes and a conventional debt security. An investment in the notes involves significant risks, including those listed below. You should carefully review the more detailed explanation of risks relating to the notes in the “Risk Factors” sections beginning on page S-9 of product supplement LIRN-3, page S-5 of the MTN prospectus supplement, and page 8 of the prospectus identified above under “Summary.” We also urge you to consult your investment, legal, tax, accounting, and other advisors before you invest in the notes.
- Depending on the performance of the Basket as measured shortly before the maturity date, your investment may result in a loss; there is no guaranteed return of principal.
- Your return on the notes may be less than the yield you could earn by owning a conventional fixed or floating rate debt security of comparable maturity.
- Payments on the notes are subject to our credit risk, and actual or perceived changes in our creditworthiness are expected to affect the value of the notes. If we become insolvent or are unable to pay our obligations, you may lose your entire investment.
- Your investment return, if any, is limited to the return represented by the Capped Value and may be less than a comparable investment directly in the securities represented by the Basket Components.
- The public offering price you pay for the notes exceeds their estimated initial value. The estimated initial value of the notes is an estimate only, calculated to reflect the costs and charges included in the notes and the implied borrowing rate at the time the terms of the notes were set, and is provided for informational purposes only. The estimated initial value does not represent a minimum price at which we, MLPF&S or any of our affiliates would be willing to purchase your notes in any secondary market (if any exists) at any time. The value of your notes at any time after issuance will vary based on many factors, including changes in market conditions, and cannot be predicted with accuracy.
- A trading market is not expected to develop for the notes. Neither we nor MLPF&S is obligated to make a market for, or to repurchase, the notes. There is no assurance that any party will be willing to purchase your notes at any price in any secondary market.
- If you attempt to sell the notes prior to maturity, their market value may be lower than the price you paid for them and lower than their estimated initial value. This is due to, among other things, changes in the level of the Basket, the implied borrowing rate we pay to issue market-linked notes, and the inclusion in the public offering price of the underwriting discount and the hedging related charge, all as further described in “Structuring the Notes” on page TS-18. These factors, together with various credit, market and economic factors over the term of the notes, are expected to reduce the price at which you may be able to sell the notes in any secondary market and will affect the value of the notes in complex and unpredictable ways.
- Our business activities as a full service financial institution, including our commercial and investment banking activities, our hedging and trading activities (including trades in securities of companies included in the Basket Components) and any hedging and trading activities we engage in for our clients’ accounts, may affect the market value of the notes and their return and may create conflicts of interest with you.
- Changes in the value of one Basket Component may be offset by changes in the value of the other Basket Component. Due to its higher Initial Component Weight, changes in the level of the S&P 500® Index will have a more substantial impact on the value of the Basket than similar changes in the level of each of the MSCI EAFE Index and the MSCI Emerging Markets Index.
- The relevant Index sponsor (as defined below) may adjust each Basket Component in a way that affects its level, and has no obligation to consider your interests.
- You will have no rights of a holder of the securities represented by the Basket Components, and you will not be entitled to receive securities or dividends or other distributions by the issuers of those securities.
- While we or our affiliates may from time to time own shares of companies included in the Basket Components we do not control any company included in any Basket Component, and are not responsible for any disclosure made by any other company.
Your return on the notes and the value of the notes may be affected by exchange rate movements and factors affecting the international securities markets.
There may be potential conflicts of interest involving the calculation agent. We have the right to appoint and remove the calculation agent.
The U.S. federal income tax consequences of the notes are uncertain, and may be adverse to a holder of the notes. See “Summary Tax Consequences” below and “U.S. Federal Income Tax Summary” beginning on page S-34 of product supplement LIRN-3.
Other Terms of the Notes
Market Measure Business Day
The following definition shall supersede and replace the definition of a “Market Measure Business Day” set forth on pages S-6 and S-21 of product supplement LIRN-3.
A “Market Measure Business Day” means a day on which:
(A) the New York Stock Exchange and the NASDAQ Stock Market, Inc. (as to the S&P 500® Index), the London Stock Exchange, Frankfurt Stock Exchange, Paris Bourse, Tokyo Stock Exchange (as to the MSCI EAFE Index), and the London Stock Exchange, Hong Kong Stock Exchange, São Paulo Stock Exchange and Korea Stock Exchange (as to the MSCI Emerging Markets Index) (or any successor to the foregoing exchanges) are open for trading; and
(B) the Basket Components or any successors thereto are calculated and published.
The Global Equity Basket
The Basket is designed to allow investors to participate in the percentage changes in the levels of the Basket Components from the Starting Value to the Ending Value of the Basket. The Basket Components are described in the section “The Basket Components” below. Each Basket Component was assigned an initial weight on the pricing date, as set forth in the table below.
For more information on the calculation of the value of the Basket, please see the section entitled “Description of LIRNs – Basket Market Measures” beginning on page S-28 of product supplement LIRN-3.
On the pricing date, for each Basket Component, the Initial Component Weight, the closing level, the Component Ratio and the initial contribution to the Basket value were as follows:
| Basket Component | Bloomberg Symbol | Initial Component Weight | Closing Level(1) | Component Ratio(2) | Initial Basket Value Contribution |
|----------------------------------|------------------|--------------------------|------------------|--------------------|----------------------------------|
| S&P 500® Index | SPX | 45.00 | 1,494.82 | 0.03010396 | 45.00 |
| MSCI EAFE Index | MXEA | 27.50 | 1,664.41 | 0.01652237 | 27.50 |
| MSCI Emerging Markets Index | MXEF | 27.50 | 1,072.26 | 0.02564676 | 27.50 |
Starting Value 100.00
(1) These were the closing levels of the Basket Components on the pricing date.
(2) Each Component Ratio equals the Initial Component Weight of the relevant Basket Component (as a percentage) multiplied by 100, and then divided by the closing level of that Basket Component on the pricing date and rounded to eight decimal places.
The calculation agent will calculate the value of the Basket by summing the products of the closing level for each Basket Component on each calculation day during the Maturity Valuation Period and the Component Ratio applicable to such Basket Component. If a Market Disruption Event occurs as to any Basket Component on any scheduled calculation day, the closing level of that Basket Component will be determined as more fully described beginning on page S-29 of product supplement LIRN-3 in the section “Description of LIRNs-The Starting Value and the Ending Value – Ending Value – Equity-Based Basket Market Measures.”
While actual historical information on the Basket did not exist before the pricing date, the following graph sets forth the hypothetical historical performance of the Basket from January 2007 through December 2012. The graph is based upon actual month-end historical levels of the Basket Components, hypothetical Component Ratios determined as of December 31, 2006, and a Basket value of 100.00 as of that date. This hypothetical historical data on the Basket is not necessarily indicative of the future performance of the Basket or what the value of the notes may be. Any historical upward or downward trend in the value of the Basket during any period set forth below is not an indication that the value of the Basket is more or less likely to increase or decrease at any time over the term of the notes.
Hypothetical Historical Performance of the Basket
Capped Leveraged Index Return Notes®
The Basket Components
All disclosures contained in this term sheet regarding the Basket Components, including, without limitation, their make up, method of calculation, and changes in their components, have been derived from publicly available sources. The information reflects the policies of, and is subject to change by, the applicable index sponsor. Each index sponsor has no obligation to continue to publish, and may discontinue publication of, the Basket Component. The consequences of an index sponsor discontinuing publication of a Basket Component are discussed in the section entitled “Description of LIRNs – Discontinuance of a Market Measure” beginning on page S-27 of product supplement LIRN-3. None of us, the calculation agent, or MLPF&S accepts any responsibility for the calculation, maintenance or publication of any Basket Component or any successor index.
The S&P 500® Index
The S&P 500® Index is intended to provide an indication of the pattern of common stock price movement. The calculation of the level of the S&P 500® Index is based on the relative value of the aggregate market value of the common stocks of 500 companies as of a particular time compared to the aggregate average market value of the common stocks of 500 similar companies during the base period of the years 1941 through 1943.
The Index sponsor chooses companies for inclusion in the S&P 500® Index with the aim of achieving a distribution by broad industry groupings that approximates the distribution of these groupings in the common stock population of its Stock Guide Database of over 10,000 companies, which the Index sponsor uses as an assumed model for the composition of the total market. Relevant criteria employed by the Index sponsor include the viability of the particular company, the extent to which that company represents the industry group to which it is assigned, the extent to which the market price of that company’s common stock generally is responsive to changes in the affairs of the respective industry and the market value and trading activity of the common stock of that company. Ten main groups of companies constitute the S&P 500® Index, with the approximate percentage of the market capitalization of the S&P 500® Index included in each group as of December 31, 2012 indicated in parentheses: Consumer Discretionary (11.46%); Consumer Staples (10.68%); Energy (10.94%); Financials (15.66%); Health Care (12.07%); Industrials (10.11%); Information Technology (18.96%); Materials (3.61%); Telecommunication Services (3.08%); and Utilities (3.44%). The Index sponsor may from time to time, in its sole discretion, add companies to, or delete companies from, the S&P 500® Index to achieve the objectives stated above.
The Index sponsor calculates the S&P 500® Index by reference to the prices of the constituent stocks of the S&P 500® Index without taking account of the value of dividends paid on those stocks. As a result, the return on the notes will not reflect the return you would realize if you actually owned the S&P 500® Index constituent stocks and received the dividends paid on those stocks.
Computation of the S&P 500® Index
While the Index sponsor currently employs the following methodology to calculate the S&P 500® Index, no assurance can be given that the Index sponsor will not modify or change this methodology in a manner that may affect the Redemption Amount.
Historically, the market value of any component stock of the S&P 500® Index was calculated as the product of the market price per share and the number of then outstanding shares of such component stock. In March 2005, the S&P 500® Index sponsor began shifting the S&P 500® Index halfway from a market capitalization weighted formula to a float-adjusted formula, before moving the S&P 500® Index to full float adjustment on September 16, 2005. The Index sponsor’s criteria for selecting stocks for the S&P 500® Index did not change with the shift to float adjustment. However, the adjustment affects each company’s weight in the S&P 500® Index.
Under float adjustment, the share counts used in calculating the S&P 500® Index reflect only those shares that are available to investors, not all of a company’s outstanding shares. Float adjustment excludes shares that are closely held by control groups, other publicly traded companies or government agencies.
In September 2012, all shareholdings representing more than 5% of a stock’s outstanding shares, other than holdings by “block owners,” were removed from the float for purposes of calculating the S&P 500® Index. Generally, these “control holders” will include officers and directors, private equity, venture capital and special equity firms, other publicly traded companies that hold shares for control, strategic partners, holders of restricted shares, ESOPs, employee and family trusts, foundations associated with the company, holders of unlisted share classes of stock, government entities at all levels (other
than government retirement/pension funds) and any individual person who controls a 5% or greater stake in a company as reported in regulatory filings. However, holdings by block owners, such as depositary banks, pension funds, mutual funds and ETF providers, 401(k) plans of the company, government retirement/pension funds, investment funds of insurance companies, asset managers and investment funds, independent foundations and savings and investment plans, will ordinarily be considered part of the float.
Treasury stock, stock options, restricted shares, equity participation units, warrants, preferred stock, convertible stock, and rights are not part of the float. Shares held in a trust to allow investors in countries outside the country of domicile, such as depositary shares and Canadian exchangeable shares are normally part of the float unless those shares form a control block. If a company has multiple classes of stock outstanding, shares in an unlisted or non-traded class are treated as a control block.
For each stock, an investable weight factor ("IWF") is calculated by dividing the available float shares by the total shares outstanding. As of September 21, 2012, available float shares are defined as the total shares outstanding less shares held by control holders. This calculation is subject to a 5% minimum threshold for control blocks. For example, if a company's officers and directors hold 3% of the company's shares, and no other control group holds 5% of the company's shares, the index sponsor would assign that company an
IWF of 1.00, as no control group meets the 5% threshold. However, if a company’s officers and directors hold 3% of the company’s shares and another control group holds 20% of the company’s shares, the Index sponsor would assign an IWF of 0.77, reflecting the fact that 23% of the company’s outstanding shares are considered to be held for control. For companies with multiple classes of stock, the Index sponsor calculates the weighted average IWF for each stock using the proportion of the total company market capitalization of each share class as weights.
The S&P 500® Index is calculated using a base-weighted aggregate methodology. The level of the S&P 500® Index reflects the total market value of all 500 component stocks relative to the base period of the years 1941 through 1943. An indexed number is used to represent the results of this calculation in order to make the level easier to work with and track over time. The actual total market value of the component stocks during the base period of the years 1941 through 1943 has been set to an indexed level of 10. This is often indicated by the notation 1941 - 43 = 10. In practice, the daily calculation of the S&P 500® Index is computed by dividing the total market value of the component stocks by the “index divisor.” By itself, the index divisor is an arbitrary number. However, in the context of the calculation of the S&P 500® Index, it serves as a link to the original base period level of the S&P 500® Index. The index divisor keeps the S&P 500® Index comparable over time and is the manipulation point for all adjustments to the S&P 500® Index, which is index maintenance.
**S&P 500® Index Maintenance**
S&P 500® Index maintenance includes monitoring and completing the adjustments for company additions and deletions, share changes, stock splits, stock dividends, and stock price adjustments due to company restructuring or spinoffs. Some corporate actions, such as stock splits and stock dividends, require changes in the common shares outstanding and the stock prices of the companies in the S&P 500® Index, and do not require index divisor adjustments.
To prevent the level of the S&P 500® Index from changing due to corporate actions, corporate actions which affect the total market value of the S&P 500® Index require an index divisor adjustment. By adjusting the index divisor for the change in market value, the level of the S&P 500® Index remains constant and does not reflect the corporate actions of individual companies in the S&P 500® Index. Index divisor adjustments are made after the close of trading and after the calculation of the S&P 500® Index closing level.
Changes in a company’s shares outstanding of 5.00% or more due to mergers, acquisitions, public offerings, tender offers, Dutch auctions, or exchange offers are made as soon as reasonably possible. All other changes of 5.00% or more (due to, for example, company stock repurchases, private placements, redemptions, exercise of options, warrants, conversion of preferred stock, notes, debt, equity participation units, at-the-market offerings, or other recapitalizations) are made weekly and are announced on Wednesdays for implementation after the close of trading on the following Wednesday. Changes of less than 5.00% due to a company’s acquisition of another company in the S&P 500® Index are made as soon as reasonably possible. All other changes of less than 5.00% are accumulated and made quarterly on the third Friday of March, June, September, and December, and are usually announced two to five days prior.
Changes in IWFs of more than five percentage points caused by corporate actions (such as merger and acquisition activity, restructurings, or spinoffs) will be made as soon as reasonably possible. Other changes in IWFs will be made annually when IWFs are reviewed.
The following graph shows the historical performance of the S&P 500® Index in the period from January 2007 through December 2012. We obtained this historical data from Bloomberg L.P. We have not independently verified the accuracy or completeness of the information obtained from Bloomberg L.P.
Historical Performance of the S&P 500® Index
Capped Leveraged Index Return Notes®
This historical data on the S&P 500® Index is not necessarily indicative of the future performance of the S&P 500® Index or what the value of the notes may be. Any historical upward or downward trend in the level of the S&P 500® Index during any period set forth above is not an indication that the level of the S&P 500® Index is more or less likely to increase or decrease at any time over the term of the notes.
Before investing in the LIRNs, you should consult publicly available sources for the levels and trading pattern of the S&P 500® Index.
License Agreement
S&P® is a registered trademark of Standard & Poor’s Financial Services LLC (“S&P”) and Dow Jones® is a registered trademark of Dow Jones Trademark Holdings LLC (“Dow Jones”). These trademarks have been licensed for use by S&P Dow Jones Indices LLC. “Standard & Poor’s®, “S&P 500®” and “S&P®” are trademarks of S&P. These trademarks have been sublicensed for certain purposes by our subsidiary, MLPF&S. The S&P 500® Index is a product of S&P Dow Jones Indices LLC and/or its affiliates and has been licensed for use by MLPF&S.
The notes are not sponsored, endorsed, sold or promoted by S&P Dow Jones Indices LLC, Dow Jones, S&P or any of their respective affiliates (collectively, “S&P Dow Jones Indices”). S&P Dow Jones Indices make no representation or warranty, express or implied, to the holders of the notes or any member of the public regarding the advisability of investing in securities generally or in the notes particularly or the ability of the S&P 500® Index to track general market performance. S&P Dow Jones Indices’ only relationship to MLPF&S with respect to the S&P 500® Index is the licensing of the S&P 500® Index and certain trademarks, service marks and/or trade names of S&P Dow Jones Indices and/or its third party licensors. The S&P 500® Index is determined, composed and calculated by S&P Dow Jones Indices without regard to us, MLPS&S, or the notes. S&P Dow Jones Indices have no obligation to take our needs or the needs of MLPF&S or holders of the notes into consideration in determining, composing or calculating the S&P 500® Index. S&P Dow Jones Indices are not responsible for and have not participated in the determination of the prices, and amount of the notes or the timing of the issuance or sale of the notes or in the determination or calculation of the equation by which the notes are to be converted into cash. S&P Dow Jones Indices have no obligation or liability in connection with the administration, marketing or trading of the notes. There is no assurance that investment products based on the S&P 500® Index will accurately track index performance or provide positive investment returns. S&P Dow Jones Indices LLC and its subsidiaries are not investment advisors. Inclusion of a security or futures contract within an index is not a recommendation by S&P Dow Jones Indices to buy, sell, or hold such security or futures contract, nor is it considered to be investment advice. Notwithstanding the foregoing, CME Group Inc. and its affiliates may independently issue and/or sponsor financial products unrelated to the notes currently being issued by us, but which may be similar to and competitive with the notes. In addition, CME Group Inc. and its affiliates may trade financial products which are linked to the performance of the S&P 500® Index. It is possible that this trading activity will affect the value of the notes. S&P DOW JONES INDICES DO NOT GUARANTEE THE ADEQUACY, ACCURACY, TIMELINESS AND/OR THE COMPLETENESS OF THE S&P 500® INDEX OR ANY DATA RELATED THERETO OR ANY COMMUNICATION, INCLUDING BUT NOT LIMITED TO, ORAL OR WRITTEN COMMUNICATION (INCLUDING ELECTRONIC COMMUNICATIONS) WITH RESPECT THERETO. S&P DOW JONES INDICES SHALL NOT BE SUBJECT TO ANY DAMAGES OR LIABILITY FOR ANY ERRORS, OMISSIONS, OR DELAYS THEREIN. S&P DOW JONES INDICES MAKE NO EXPRESS OR IMPLIED WARRANTIES, AND EXPRESSLY DISCLAIMS ALL WARRANTIES, OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE OR USE OR AS TO RESULTS TO BE OBTAINED BY US, MLPF&S, HOLDERS OF THE NOTES, OR ANY OTHER PERSON OR ENTITY FROM THE USE OF THE S&P 500® INDEX OR WITH RESPECT TO ANY DATA RELATED THERETO. WITHOUT LIMITING ANY OF THE FOREGOING, IN NO EVENT WHATSOEVER SHALL S&P DOW JONES INDICES BE LIABLE FOR ANY INDIRECT, SPECIAL, INCIDENTAL, PUNITIVE, OR CONSEQUENTIAL DAMAGES INCLUDING BUT NOT LIMITED TO, LOSS OF PROFITS, TRADING LOSSES, LOST TIME OR GOODWILL, EVEN IF THEY HAVE BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, WHETHER IN CONTRACT, TORT, STRICT LIABILITY, OR OTHERWISE. THERE ARE NO THIRD PARTY BENEFICIARIES OF ANY AGREEMENTS OR ARRANGEMENTS BETWEEN S&P DOW JONES INDICES AND MLPF&S, OTHER THAN THE LICENSORS OF S&P DOW JONES INDICES.
The MSCI EAFE Index
The MSCI EAFE Index is intended to measure equity market performance in developed market countries, excluding the U.S. and Canada. The MSCI EAFE Index is a free float-adjusted market capitalization equity index with a base date of December 31, 1969 and an initial value of 100.00. The MSCI EAFE Index is calculated daily in U.S. dollars and published in real time every 60 seconds during market trading hours. The MSCI EAFE Index currently consists of companies from the following 22 developed countries: Australia, Austria, Belgium, Denmark, Finland, France, Germany, Greece, Hong Kong, Ireland, Israel, Italy, Japan, the Netherlands, New Zealand, Norway, Portugal, Singapore, Spain, Sweden, Switzerland, and the United Kingdom. As of
December 31, 2012, the five largest country weights were the United Kingdom (22.59%), Japan (20.01%), France (9.58%), Australia (8.92%), and Germany (8.78%), and the five largest sector weights were Financials (24.72%), Industrials (12.58%), Consumer Staples (11.61%), Consumer Discretionary (10.7%), and Materials (9.82%).
The MSCI EAFE Index is part of the MSCI Regional Equity Indices series and is an MSCI Global Investable Market Index, which is a family within the MSCI International Equity Indices.
The MSCI Emerging Markets Index
The MSCI Emerging Markets Index is intended to measure equity market performance in the global emerging markets. The MSCI Emerging Markets Index is a free float-adjusted market capitalization index with a base date of December 31, 1987 and an initial value of 100.00. The MSCI Emerging Markets Index is calculated daily in U.S. dollars and published in real time every 60 seconds during market trading hours. The MSCI Emerging Markets Index currently consists of the following 21 emerging market country indices: Brazil, Chile, China, Colombia, Czech Republic, Egypt, Hungary, India, Indonesia, Malaysia, Mexico, Morocco, Peru, Philippines, Poland, Russia, South Africa, South Korea, Taiwan, Thailand, and Turkey. As of December 31, 2012, the five largest country weights were China (18.34%), South Korea (15.29%), Brazil (12.6%), Taiwan (10.64%), and South Africa (7.75%), and the five largest sector weights were Financials (26.51%), Information Technology (13.77%), Energy (12.53%), Materials (11.75%), and Consumer Staples (8.76%).
The MSCI Emerging Markets Index is part of the MSCI Regional Equity Indices series and is an MSCI Global Investable Market Index, which is a family within the MSCI International Equity Indices.
General - MSCI Indices
MSCI provides global equity indices intended to measure equity performance in international markets and the MSCI International Equity Indices are designed to serve as global equity performance benchmarks. In constructing these indices, MSCI applies its index construction and maintenance methodology across developed, emerging, and frontier markets.
MSCI enhanced the methodology used in its MSCI International Equity Indices. The MSCI Standard and MSCI Small Cap Indices, along with the other MSCI equity indices based on them, transitioned to the global investable market indices methodology described below. The transition was completed at the end of May 2008. The Enhanced MSCI Standard Indices are composed of the MSCI Large Cap and Mid Cap Indices. The MSCI Global Small Cap Index transitioned to the MSCI Small Cap Index resulting from the Global Investable Market Indices methodology and contains no overlap with constituents of the transitioned MSCI Standard Indices. Together, the relevant MSCI Large Cap, Mid Cap, and Small Cap Indices will make up the MSCI investable market index for each country, composite, sector, and style index that MSCI offers.
Constructing the MSCI Global Investable Market Indices. MSCI undertakes an index construction process, which involves:
- defining the equity universe;
- determining the market investable equity universe for each market;
- determining market capitalization size segments for each market;
- applying index continuity rules for the MSCI Standard Index;
- creating style segments within each size segment within each market; and
- classifying securities under the Global Industry Classification Standard (the “GICS”).
Defining the Equity Universe. The equity universe is defined by:
- Identifying Eligible Equity Securities: the equity universe initially looks at securities listed in any of the countries in the MSCI Global Index Series, which will be classified as either Developed Markets (“DM”) or Emerging Markets (“EM”). All listed equity securities, or listed securities that exhibit characteristics of equity securities, except mutual funds, ETFs, equity derivatives, limited partnerships, and most investment trusts, are eligible for inclusion in the equity universe. Real Estate Investment Trusts (“REITs”) in some countries and certain income trusts in Canada are also eligible for inclusion.
- Classifying Eligible Securities into the Appropriate Country: each company and its securities (i.e., share classes) are classified in only one country.
Determining the Market Investable Equity Universes. A market investable equity universe for a market is derived by applying investability screens to individual companies and securities in the equity universe that are classified in that market. A market is equivalent to a single country, except in DM
Europe, where all DM countries in Europe are aggregated into a single market for index construction purposes. Subsequently, individual DM Europe country indices within the MSCI Europe Index are derived from the constituents of the MSCI Europe Index under the global investable market indices methodology.
The investability screens used to determine the investable equity universe in each market are as follows:
Equity Universe Minimum Size Requirement: this investability screen is applied at the company level. In order to be included in a market investable equity universe, a company must have the required minimum full market capitalization.
Equity Universe Minimum Free Float-Adjusted Market Capitalization Requirement: this investability screen is applied at the individual security level. To be eligible for inclusion in a market investable equity universe, a security must have a free float-adjusted market capitalization equal to or higher than 50% of the equity universe minimum size requirement.
DM and EM Minimum Liquidity Requirement: this investability screen is applied at the individual security level. To be eligible for inclusion in a market investable equity universe, a security must have adequate liquidity. The twelve-month
and three-month Annual Traded Value Ratio ("ATVR"), a measure that screens out extreme daily trading volumes and takes into account the free float-adjusted market capitalization size of securities, together with the three-month frequency of trading are used to measure liquidity. In the calculation of the ATVR, the trading volumes in depository receipts associated with that security, such as ADRs or GDRs, are also considered. A minimum liquidity level of 20% of three-and twelve-month ATVR and 90% of three-month frequency of trading over the last four consecutive quarters are required for inclusion of a security in a market investable equity universe of a DM, and a minimum liquidity level of 15% of three-and twelve-month ATVR and 80% of three-month frequency of trading over the last four consecutive quarters are required for inclusion of a security in a market investable equity universe of an EM.
Global Minimum Foreign Inclusion Factor Requirement: this investability screen is applied at the individual security level. To be eligible for inclusion in a market investable equity universe, a security’s Foreign Inclusion Factor ("FIF") must reach a certain threshold. The FIF of a security is defined as the proportion of shares outstanding that is available for purchase in the public equity markets by international investors. This proportion accounts for the available free float of and/or the foreign ownership limits applicable to a specific security (or company). In general, a security must have an FIF equal to or larger than 0.15 to be eligible for inclusion in a market investable equity universe.
Minimum Length of Trading Requirement: this investability screen is applied at the individual security level. For an initial public offering ("IPO") to be eligible for inclusion in a market investable equity universe, the new issue must have started trading at least four months before the implementation of the initial construction of the index or at least three months before the implementation of a semi-annual index review (as described below). This requirement is applicable to small new issues in all markets. Large IPOs are not subject to the minimum length of trading requirement and may be included in a market investable equity universe and the MSCI Standard Index outside of a Quarterly or Semi-Annual Index Review (as defined below).
Defining Market Capitalization Size Segments for Each Market. Once a market investable equity universe is defined, it is segmented into the following size-based indices:
Investable Market Index (Large + Mid + Small);
Standard Index (Large + Mid);
Large Cap Index;
Mid Cap Index; or
Small Cap Index.
Creating the size segment indices in each market involves the following steps:
defining the market coverage target range for each size segment;
determining the global minimum size range for each size segment;
determining the market size-segment cutoffs and associated segment number of companies;
assigning companies to the size segments; and
applying final size-segment investability requirements.
Index Continuity Rules for the Standard Indices. In order to achieve index continuity, as well as to provide some basic level of diversification within a market index, and notwithstanding the effect of other index construction rules described in this section, a minimum number of five constituents will be maintained for a DM Standard Index and a minimum number of three constituents will be maintained for an EM Standard Index.
Creating Style Indices within Each Size Segment. All securities in the investable equity universe are classified into value or growth segments using the MSCI Global Value and Growth methodology.
Classifying Securities under the Global Industry Classification Standard. All securities in the global investable equity universe are assigned to the industry that best describes their business activities. To this end, MSCI has designed, in conjunction with Standard & Poor’s, the GICS. Under the GICS, each company is assigned to one sub-industry according to its principal business activity. Therefore, a company can belong to only one industry grouping at each of the four levels of the GICS.
Index Maintenance
The MSCI global investable market indices are maintained with the objective of reflecting the evolution of the underlying equity markets and segments on a timely basis, while seeking to achieve index continuity, continuous investability of constituents and replicability of the indices, and index stability, and low index turnover. In particular, index maintenance involves:
(i) Semi-Annual Index Reviews (“SAIRs”) in May and November of the Size Segment and Global Value and Growth Indices which include:
updating the indices on the basis of a fully refreshed equity universe;
taking buffer rules into consideration for migration of securities across size and style segments; and
updating FIFs and Number of Shares (“NOS”).
(ii) Quarterly Index Reviews (“QIRs”) in February and August of the Size Segment Indices aimed at:
including significant new eligible securities (such as IPOs that were not eligible for earlier inclusion) in the index;
allowing for significant moves of companies within the Size Segment Indices, using wider buffers than in the SAIR; and
reflecting the impact of significant market events on FIFs and updating NOS.
(iii) Ongoing Event-Related Changes: changes of this type are generally implemented in the indices as they occur. Significantly large IPOs are included in the indices after the close of the company’s tenth day of trading.
Neither we nor any of our affiliates, including MLPF&S, accepts any responsibility for the calculation, maintenance, or publication of, or for any error, omission, or disruption in, the MSCI EAFE Index, the MSCI Emerging Markets Index, or any successor to these indices. MSCI does not guarantee the accuracy or the completeness of the MSCI EAFE Index, MSCI Emerging Markets Index, or any data included in these indices. MSCI assumes no liability for any errors, omissions, or disruption in the calculation and dissemination of the MSCI EAFE Index or the MSCI Emerging Markets Index. MSCI disclaims all responsibility for any errors or omissions in the calculation and dissemination of the MSCI EAFE Index, MSCI Emerging Markets Index, or the manner in which these indices are applied in determining the amount payable on the notes at maturity.
The following graph sets forth the historical performance of the MSCI EAFE Index in the period from January 2007 through December 2012. We obtained this historical data from Bloomberg L.P. We have not independently verified the accuracy or completeness of the information obtained from Bloomberg L.P.
This historical data on the MSCI EAFE Index is not necessarily indicative of the future performance of the MSCI EAFE Index or what the value of the notes may be. Any historical upward or downward trend in the level of the MSCI EAFE Index during any period set forth below is not an indication that the level of the MSCI EAFE Index is more or less likely to increase or decrease at any time over the term of the notes.
The following graph sets forth the historical performance of the MSCI Emerging Markets Index in the period from January 2007 through December 2012. We obtained this historical data from Bloomberg L.P. We have not independently verified the accuracy or completeness of the information obtained from Bloomberg L.P.
This historical data on the MSCI Emerging Markets Index is not necessarily indicative of the future performance of the MSCI Emerging Markets Index or what the value of the notes may be. Any historical upward or downward trend in the level of the MSCI Emerging Markets Index during any period set forth below is not an indication that the level of the MSCI Emerging Markets Index is more or less likely to increase or decrease at any time over the term of the notes.
Before investing in the notes, you should consult publicly available sources for the levels and trading pattern of the MSCI EAFE Index and the MSCI Emerging Markets Index.
License Agreement
“MSCI EAFE Index™” and “MSCI Emerging Markets Index™” are service marks of MSCI and have been licensed for use for certain purposes by us. Notes based on the MSCI EAFE Index™ and the MSCI Emerging Markets Index™ are not sponsored, endorsed, sold, or promoted by MSCI, and MSCI makes no representation regarding the advisability of investing in the notes.
Our right to use the MSCI EAFE Index and the MSCI Emerging Markets Index in connection with the notes is subject to a license agreement between us and MSCI. In connection with that license, please note the following:
THE NOTES ARE NOT SPONSORED, ENDORSED, SOLD, OR PROMOTED BY MSCI, ANY OF ITS AFFILIATES, ANY OF ITS INFORMATION PROVIDERS, OR ANY OTHER THIRD PARTY INVOLVED IN, OR RELATED TO, COMPILING, COMPUTING, OR CREATING THE MSCI EAFE INDEX OR THE MSCI EMERGING MARKETS INDEX (COLLECTIVELY, THE “MSCI PARTIES”). THE MSCI EAFE INDEX AND THE MSCI EMERGING MARKETS INDEX ARE THE EXCLUSIVE PROPERTY OF MSCI. MSCI, THE MSCI EAFE INDEX AND THE MSCI EMERGING MARKETS INDEX ARE SERVICE MARKS OF MSCI OR ITS AFFILIATES AND HAVE BEEN LICENSED TO US FOR USE FOR CERTAIN PURPOSES. THE NOTES HAVE NOT BEEN PASSED ON BY ANY OF THE MSCI PARTIES AS TO THEIR LEGALITY OR SUITABILITY WITH RESPECT TO ANY PERSON OR ENTITY AND NONE OF THE MSCI PARTIES MAKES ANY WARRANTIES OR BEARS ANY LIABILITY WITH RESPECT TO THE NOTES. WITHOUT LIMITING THE GENERALITY OF THE FOREGOING, NONE OF THE MSCI PARTIES MAKES ANY REPRESENTATION OR WARRANTY, EXPRESS OR IMPLIED, TO US OR OWNERS OF THE NOTES OR ANY OTHER PERSON OR ENTITY REGARDING THE ADVISABILITY OF INVESTING IN ANY SECURITIES GENERALLY OR IN THIS OFFERING PARTICULARLY OR THE ABILITY OF THE MSCI EAFE INDEX OR THE MSCI EMERGING MARKETS INDEX TO TRACK CORRESPONDING STOCK MARKET PERFORMANCE. MSCI OR ITS AFFILIATES ARE THE LICENSORS OF CERTAIN TRADEMARKS, SERVICE MARKS, AND TRADE NAMES AND OF THE MSCI EAFE INDEX AND THE MSCI EMERGING MARKETS INDEX, WHICH ARE DETERMINED, COMPOSED, AND CALCULATED BY MSCI WITHOUT REGARD TO THE NOTES, TO US, TO THE OWNERS OF THE NOTES, OR TO ANY OTHER PERSON OR ENTITY. NONE OF THE MSCI PARTIES HAS ANY OBLIGATION TO TAKE THE NEEDS OF US OR OWNERS OF THE NOTES OR ANY OTHER PERSON OR ENTITY INTO CONSIDERATION IN DETERMINING, COMPOSING, OR CALCULATING THE MSCI EAFE INDEX OR THE MSCI EMERGING MARKETS INDEX. NONE OF THE MSCI PARTIES IS RESPONSIBLE FOR OR HAS PARTICIPATED IN THE DETERMINATION OF THE TIMING OF, PRICES AT, OR QUANTITIES OF THE NOTES TO BE ISSUED OR IN THE DETERMINATION OR CALCULATION OF THE AMOUNT THAT MAY BE PAID AT MATURITY ON THE NOTES. NONE OF THE MSCI PARTIES HAS ANY OBLIGATION OR LIABILITY TO US OR TO OWNERS OF THE NOTES OR ANY OTHER PERSON OR ENTITY IN CONNECTION WITH THE ADMINISTRATION, MARKETING OR, OFFERING OF THE NOTES.
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New Osseodensification Implant Site Preparation Method to Increase Bone Density in Low-Density Bone. In Vivo Evaluation in Sheep
Paolo Trisi, PhD, DDS,* Marco Berardini, DDS,† Antonello Falco, PhD, DDS,‡ and Michele Podaliri Vulpiani, VMD‡
The implant mechanical stability at the time of surgery, known as primary stability, is a crucial factor to achieve implant osseointegration. High primary implant stability is even more necessary in immediate loading protocols, and it was reported that an implant micromotion above 50 to 100 μm could induce periplant bone resorption or implant failures.
The factors that mainly involved in enhancing implant primary stability are bone density, surgical protocol, and implant thread type, and geometry. The insertion torque peak was demonstrated to be directly related to implant primary stability and host bone density; high insertion torque could significantly increase the initial bone-to-implant contact percentage (%BIC) with respect to implant inserted with low insertion torque values. Ottino et al demonstrated a failure reduction rate of 20% in single tooth implant restoration for every 9.8 N cm of torque added.
The mechanical friction between implant surface and bone walls of the osteotomic site gives primary implant stability. The osseointegration process leads to new bone apposition on the implant surface and allows reaching the implant secondary stability that is the functional contact between alive bone and titanium dental implant.
In case of poor bone density, such as upper human jaw, the insufficient bone amount around the implants could negatively influence the histomorphometric parameters (such as %BIC and bone volume percentage [%BV]) and, consequently, both primary and secondary implant stabilities.
Undersized implant site preparation and the use of osteotomes to condense bone are surgical techniques proposed to increase primary implant stability and %BIC in poor density bone. Different healing patterns and periplant bone remodeling models were also observed between standard site preparation and undersized implant site preparation. Specifically designed implants for low-density bone were also...
developed\textsuperscript{18} testifying the hardness of the challenge to reach a sufficient implant stability in poor bone density.
The use of the osteotomes in poor density bone allows fracturing and condensing of bone trabeculae,\textsuperscript{19,20} but this technique does not improve periimplant bone density (\%BV) or implant stability. It is demonstrated that fractured trabeculae in periimplant bone, caused using the osteotome technique, induce a delayed secondary stability with respect to conventional drilling procedures during healing.\textsuperscript{21}
Besides, tooth loss, old age, and removable or unsuitable removable dentures inevitably lead to alveolar bone resorption both in height and width.\textsuperscript{22} It was reported that bone reduction in a width of approximately 25% after 1 year of tooth extraction and the mandible showed a bone loss rate 4 times higher than the upper maxilla.\textsuperscript{23} Narrow alveolar bone ridges are common in edentulous patients needing dental implant restoration, and many surgical techniques have been developed, over the years, to perform bone expansion or augmentation. The alveolar ridge splitting/expansion technique in 1 stage was proposed as a valid alternative to the 2-stage Guided Bone Regeneration (GBR).\textsuperscript{24} The predictability of horizontal and vertical augmentation techniques by bone regeneration, using bone substitutes or autogenous bone, is still not clear, and surgical complications are common.\textsuperscript{25} However, osteodistraction osteogenesis and ridge splitting technique\textsuperscript{26} are considered efficient to increase bone width\textsuperscript{27} with lesser complication incidence.
Osseodensification (OD), a non-extraction technique, was developed by Huwais in 2013\textsuperscript{28} and made possible with specially designed burs to increase bone density as they expand an osteotomy.\textsuperscript{29} These burs combine advantages of osteotomes with the speed and tactile control of the drilling procedures. Standard drills remove and excavate bone during implant site preparation; while osteotomes preserve bone, they tend to induce fractures of the trabeculae that require long remodeling time and delayed secondary implant stability. The new burs allow bone preservation and condensation through compaction autografting during osteotomy preparation, increasing the periimplant bone density (\%BV), and the implant mechanical stability was reported by \textit{in vitro} testing.\textsuperscript{30}
According to the manufacturer, these special burs demonstrated the ability to expand narrow bone ridges similarly to split crest techniques. The bur geometry, rotating in reverse mode at a rotating speed of 800 to 1500 rpm with profuse saline solution irrigation to prevent bone overheating, allows to compact the bone along the inner surface of the implant osteotomic site without cutting. The bouncing motion (in and out movement) is helpful to create a rate-dependent stress to produce a rate-dependent strain, and allows saline solution pumping to gently pressurize the bone walls. This combination facilitates an increased bone plasticity and bone expansion.
The aim of the present \textit{in vivo} study is to evaluate the efficacy of this new OD technique of implant site preparation to enhance implant secondary stability, periimplant bone density (\%BV) and to increase ridge width in poor density bone.
**MATERIALS AND METHODS**
**Surgery**
The Ethics Committee for Animal Research of the Veterinary School of the University of Teramo (Teramo, Italy) approved the study protocol, which followed guidelines established by the European Union Council Directive of February 2013 (R.D.53/2013).
Two female sheep, 4 to 5 years old, were included in the study. Clinical examination determined that all animals were in good general health. Exclusion criteria included general contraindications (pregnancy, systemic disease) to implant surgery and active infection, or severe inflammation in the area intended for implant placement.
The animals were given thiopental (Thiopental, Höchst, Austria) for induction of anesthesia as needed. After orotracheal intubation and ventilation, anesthesia was sustained with nitrous oxide–oxygen with 0.5% halothane. Physiologic saline solution was administered during surgery for fluid replacement.
The edges of the iliac crests were exposed through a skin incision of 15 cm in length. The skin and fascial layers were opened and closed separately. After dissection of the soft tissues, the bone was exposed and 5 osteotomic sites were prepared in each (left and right) side of the iliac crest for a total of 20 osteotomic implant sites.
On the left side of both animals, the implant conventional drilling procedure was performed after the drill sequence recommended by the manufacturer under profuse saline irrigation (1000 rpm). Ten 3.8 × 10-mm Dyna-mix implants (Cortex, Shlomi, Israel) were inserted in the left iliac crest side of each sheep (control group) because
the bone ridge width did not allow inserting wider diameter implants. The initial bone ridge width measured between 4 and 6 mm and did not allow to insert implants with a diameter wider than 3.8 mm using conventional drilling procedures. At first, we tried to have an osteotomic site of 5 mm with conventional burs but it inevitably involved a bone defect generation (dehiscence). We decided to use 3.8-mm diameter implants in the control group to compare between them implants surrounded by bone and not implants with bone dehiscence to others with healthy bone.
On the right side of both animals, the implant site was prepared using Densah Burs (Versah, LLC, Jackson, MI) (www.versah.com) following the OD protocol for implants used: 2-mm pilot drill (1200 rpm), Densah Bur VT1828 in reverse rotation at 1200 rpm, Densah Bur VT2838 in reverse rotation at 1200 rpm, and Densah Bur VT3848 in reverse rotation at 1200 rpm. Ten $5 \times 10$-mm Dynamix implants (Cortex) were inserted in the right iliac crest side of each sheep (test group). The burs were used in a bouncing motion under profuse saline sterile solution irrigation. In the right iliac crest, the 5.0-mm diameter implant was used to test whether the ridge expansion could be obtained with this new technique (Figs. 1–2).
Cover screws were secured and the surgical wounds were closed by a resorbable perosteal muscular inner suture, followed by an external cutaneous 2-0 silk suture.
Each animal underwent systemic antibiotic therapy for 5 days with 8-mL long acting Clamoxil (Pfizer Limited, Sandwich, MA). After the surgery, animals received appropriate veterinary care and were allowed free access to water and standard laboratory nutritional support throughout the trial period. The sheep were killed 3 months after implantation by an overdose of sodium thiopental (Thiopental, Höchst, Austria).
**Value of Actual Micromotion Analysis**
Bone blocks containing the implants were retrieved from each side of the iliac crest. Each implant was fitted with a 1-piece 11-mm straight abutment.
The bone blocks were, then, fixed on a customized loading device to measure implant secondary stability according to a previously described technique. Briefly, a digital force gauge (AccuForce Cadet; Ametek, Largo, FL) and, on the opposite side, a digital micrometer (Mitutoyo Digimatic Micrometer, Kawasaki, Japan) was used to measure implant micromotion during load application. Horizontal forces of 25 N/mm were applied onto the abutment of each implant perpendicularly to the major axis, and the lateral displacement was measured by the digital micrometer 10 mm above the crest. This parameter represents the value of the actual micromotion (VAM) and it was previously published.\(^{31}\)
**RTV Testing**
Removal torque value (RTV) was measured at the time of animal sacrifice (2 months after implantation). The RTV was evaluated and recorded for each implant and in every group. It was measured with a digital hand-operated torque wrench (Tonichi STC400CN) by unscrewing the implants until interfacial failure occurred.\(^{32}\) The digital torque wrench automatically registered the peak removal torque value on the digital display. After the initial interface detachment, the implants were screwed back into their initial position as accurately as possible and retrieved for histological analysis. Although the interfacial detachment created an artifact at the interface, its analysis would still be reliable according to Senneryby et al.,\(^{32}\) who used a similar procedure to study the morphology of the bone-metal rupture.
Histological Analysis
After biomechanical measurements, the specimen were immediately fixed in 10% neutral-buffered formalin and processed for histological analysis. After dehydration, the specimens were infiltrated with a methyl-methacrylate resin from a starting solution 50% ethanol/resin and subsequently 100% resin, with each step lasting 24 hours. After polymerization, the blocks were sectioned and then ground down to approximately 40 microns. Toluidine blue staining was used to analyze the different ages and remodeling pattern of the bone. The histomorphometric analysis was performed by digitizing the images from the microscope through a JVC TK-C1380 Color Video Camera (JVC Victor Company, Yokohama, Japan) and a frame grabber. The images were acquired with a ×10 objective over the entire implant surface. Subsequently, the digitized images were analyzed by the image analysis software IAS 2000 (Delta Sistemi, Roma, Italy).
For each section, the 2 most central sections were analyzed and morphometrically measured. The histomorphometric parameters calculated were %BIC and %BV.
Statistical Analysis
Statistical differences of %BIC, %BV, RTV, and VAM between the 2 groups were checked using the statistical software GraphPad Prism 5 (www.graphpad.com). An unpaired t test with Welch correction was used to verify the statistical significance \((P < 0.05)\) of the differences between the average values of each parameter evaluated.
RESULTS
No implant failure was observed after 2 months of healing. The clinical examination, performed immediately after the bone block retrieval, showed no crestal bone resorption and no implants had bone fenestration or dehiscence (Fig. 3). A considerable bone expansion (ridge width) was clinically observed in the test group; 5-mm diameter implants were easily inserted in the narrow ridge (about 4- to 6-mm width) using the OD method without any bone dehiscence around implants.
Histological Results
Control group. A thin layer of newly formed bone covered implant threads. Some bone fractured trabeculae were observed. Newly formed bone connected the fractured bone trabeculae to bone fragments and/or to the implant surface (Fig. 4). The newly woven bone contained fractured bone trabeculae and some bone chips or bone powder. Some bone chips were present at the bone-implant interface. A bone remodeling process, involving bands of osteoid tissue and bone resorption areas, was evident, in a lesser quantity with respect to the test side.
Test group. The thickening of the bone ridge at the coronal zone was observed.
The bone, in this area, presented many small circular or ellipsoidal medullary cavities lined by osteoid tissue layers with active osteoblasts (Fig. 5). In the central implant region, bone trabeculae repaired by composite bone in direct contact with the titanium implant surface were observed and ridge expansion was evident (Fig. 6). Some bone chips were involved in the bone remodeling process, mostly in the apical implant zone.
The most peculiar feature of the healing pattern was at the level of the more coronal cortical walls where the bone presented an unusual granular aspect. In these areas, osteoid tissue bands, osteons, and newly formed bone were also visible (Fig. 5). In these zones, the bone trabeculae showed the specific granular aspect also in the inner part, whereas the outer side showed lamellar bone layers. These bone trabeculae were thickened because of incorporation of autogenous bone fragments during the healing process. The granules observed in the trabeculae seemed like mineralization nuclei. Close to these granules, woven bone areas mixed with lamellar bone were also observed.
The percentage of bone surface lined by osteoid bands in the coronal area was much higher than that found in other areas of the implants and higher than that usually observed after 2 months of healing in this animal model and in the control group. The increase of bone density was particularly evident in the most coronal implant region.
Bone chips and resorption of newly formed trabeculae were also observed. Active bone remodeling was found to be directed more toward bone apposition and bone density increase than toward bone resorption.
**Histomorphometric Results**
The mean values of %BIC, %BV, RTV, and secondary stability (VAM) for conventional site preparation (control group) and in implants inserted in sites prepared using OD burs (test group) are summarized in the Table 1. No significant difference in %BIC was detected between the 2 groups. The %BV analysis revealed a bone density increase of approximately 30% higher, a statistically significant value ($P < 0.05$), in test group with respect to control. Data about secondary implant stability, such as VAM and RTV, demonstrated a significantly stronger osseointegration in implants inserted using OD procedures (test group) than those implants inserted with conventional drilling procedures.
*Significantly $P < 0.05$ different between test and control group.*
**Table 1. Mean Value of %BIC, %BV, RTV, and VAM of Each Group**
| | Test Group: OD Preparation Site | Control Group: Conventional Preparation Site |
|----------------------|---------------------------------|---------------------------------------------|
| %BIC | 49.58 ± 3.19 | 46.19 ± 3.98 |
| %BV | 37.63 ± 4.25* | 28.28 ± 4.74* |
| RTV (N/cm) | 172.70 ± 16.07* | 126.63 ± 9.52* |
| VAM (µm) | 60.45 ± 5.29* | 94.88 ± 10.94* |
The %BV analysis revealed a bone density increase of approximately 30% higher, a statistically significant value ($P < 0.05$), in test group with respect to control. Data about secondary implant stability, such as VAM and RTV, demonstrated a significantly stronger osseointegration in implants inserted using OD procedures (test group) than those implants inserted with conventional drilling procedures.
*Significantly $P < 0.05$ different between test and control group.*
**Biomechanical Results**
The test group showed statistically significant ($P < 0.05$) better biomechanical performances (approximately 30%–40% higher) than control group in the parameters evaluated as the RTV and the VAM. Mean values of each parameter evaluated are expressed in Table 1.
**DISCUSSION**
Poor bone density is common in human upper jaw, especially in elderly patients needing a fixed implant supported rehabilitation. In D3 or D4 bone type, it is difficult to achieve a good implant primary stability because of the poor %BV around the titanium implant surface. Bone density classification according to Lekholm and Zarb (1985), based on the morphology and distribution of cortical and trabecular bones, individuated 4 bone quality types. Poor bone density (D3-D4) is common in the upper jaw region, and in this bone type, it is difficult to achieve a high implant primary stability.
If the primary implant stability is inadequate, the early implant failure rate could rise beyond critical levels. Immediate loading protocols are also discouraged in case of poor bone quality or low primary implant stability and longer
healing time is needed in these cases, with some disadvantages for the patient.
In case of poor bone density, such as in the human upper jaw, the insufficient bone amount around the implants could negatively influence the histomorphometric parameters (such as %BIC and %BV) and, consequently, both primary and secondary implant stabilities.
Several surgical techniques have been proposed to avoid or reduce bone sacrifice during implant placement procedures in low-density bone and to enhance primary implant stability and bone quality. Some authors suggested to undersize the osteotomic implant site in respect to the implant diameter of approximately 10% to reduce bone cutting and enhance primary implant stability. An undersized osteotomic site greater than 10% did not add mechanical benefit and, however, this expedient allows to increase implant initial stability but it is not able to modify the %BV around the implant as compared with nonsundersized sites.
The alternative to implant drilling procedures is the osteotome technique that aimed to compact the bone with the mechanical action of cylindrical steel instruments along the osteotomic walls. This procedure created trabecular fractures with debris, which caused an obstruction of the osseointegration process. The healing process, in case of osteotome preparation method, involve 2 phases: fractured trabeculae and bone chips resorption followed by new bone formation onto the implant surface.
The OD technique, using special burs in noncutting rotation, tested in this study demonstrated the ability to increase in a significant way (approximately 30% higher) the %BV around the implants and to improve secondary implant stability (expressed as removal torque values and micromotion under lateral forces). The histological analysis showed that the healing process is not obstructed by this bone condensation and, moreover, that bone density increase is evident around implant surface (especially in the upper portion of the implant). Besides, the high presence of mineralization nuclei lined by osteoid tissue and osteoblast observed in test group strongly suggests that, in the long run, the bone could still increase its density. The special geometry design of the burs tested allows pulverizing the bone, creating higher mineralization nuclei number than that of the control group.
Implants inserted using this new OD method showed statistically higher biomechanical values of 30% to 40% than implants inserted with conventional drills. This osseodensification technique allows enhancing the primary implant stability, as it was demonstrated by lower VAM recorded in test group in this study. The VAM of the implant is a parameter already published to successfully evaluate implant stability that is directly correlated to stability parameters as %BIC, RTV, and ISQ. The removal torque values (RTVs), which is a parameter directly correlated with the periplant %BV and %BIC, was positively influenced by 30% of BV rise in test group and reached values of approximately 40% more in OD sites than in the conventional sites.
The differences in RTVs and micromotion under lateral forces (VAM) are very remarkable between the 2 groups (high statistical meaning) and only a little amount of these differences could be attributed to greater implant surfaces in the test group (in the control group, implant diameters are 1 mm smaller than those of the test group). In fact, the surface area of the 5 × 10-mm implant is only 26% more extended than the 3.8 × 10-mm implant (official data from the manufacturer).
In the test group, wider diameter implants were used with respect to the control group (5 vs 3.8 mm), whereas the bone ridge width was 4 to 6 mm: a high risk of bone dehiscence existed with conventional drilling procedures. It was decided to place smaller diameter implants in the control group because implants associated to bone dehiscence should not be compared with implant surrounded by healthy bone. No bone resorption, dehiscence, or fenestration were demonstrated during the clinical and histological examinations; after 2 months of healing, using the OD technique, testifying that this surgical method is able to expand the bone taking advantage of viscoelastic bone properties and compacting bone chips (autografting) along the osteotomy without useless bone sacrifice. The ridge expansion obtained with OD technique is particularly evident in samples showed in Figure 6, in which the cortical wall changes its original direction testifying the bone width increase.
Moreover, the great increase of the biomechanical strength in the test group did not negatively affect %BIC or %BV (was not related to a similar increase of the %BIC or %BV), but nevertheless enhanced healing. This could be explained by the change in the bone strength observed under the microscope induced by the OD procedure. This new implant site preparation technique significantly improved the secondary implant stability and the histological analysis revealed new a healing pattern of the surgical bone with a fast and big amount of newly formed bone along osteotomy walls.
**CONCLUSION**
The OD technique, used in the present *in vivo* study, was demonstrated to be able to increase implant primary stability and maintained implant secondary stability, and to increase the %BV around dental implants inserted in low-density bone in respect with conventional implant drilling procedures. OD allowed to avoid bone sacrifice, that appears unavoidable with conventional drilling procedures, and to prevent fractured trabeculae causing a delayed bone growth, as happened with the osteotome technique.
Additionally, this study validated the bone expansion attitude of this OD technique showing that wider implant diameter could be inserted in narrow ridge without creating bone dehiscence or fenestration. Future *in vivo* human studies are needed to confirm the results showed in the present article.
**DISCLOSURE**
P. Trisi is a consultant for Cortex Dental Implants. The other authors claim to have no financial interest, either directly or indirectly, in the products or information listed in the article.
**APPROVAL**
The Ethics Committee for Animal Research of the Veterinary School of the University of Teramo (Teramo,
Italy) approved the study protocol with the protocol number 8110.
ACKNOWLEDGMENTS
The authors wish to thank Cortex Dental Implants and Versah, LLC for providing the burs and implants used in this study.
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Simultaneous Clustering and Ranking from Pairwise Comparisons
Jiyi Li\textsuperscript{1,4}, Yukino Baba\textsuperscript{2,4}, Hisashi Kashima\textsuperscript{3,4}
\textsuperscript{1} University of Yamanashi, Japan
\textsuperscript{2} University of Tsukuba, Japan
\textsuperscript{3} Kyoto University, Japan
\textsuperscript{4} RIKEN Center for AIP, Japan
firstname.lastname@example.org, email@example.com, firstname.lastname@example.org
Abstract
When people make decisions with a number of ideas, designs, or other kinds of objects, one attempt is probably to organize them into several groups of objects and to prioritize them according to some preference. The grouping task is referred to as clustering and the prioritizing task is called as ranking. These tasks are often outsourced with the help of human judgments in the form of pairwise comparisons. Two objects are compared on whether they are similar in the clustering problem, while the object of higher priority is determined in the ranking problem. Our research question in this paper is whether the pairwise comparisons for clustering also help ranking (and vice versa). Instead of solving the two tasks separately, we propose a unified formulation to bridge the two types of pairwise comparisons. Our formulation simultaneously estimates the object embeddings and the preference criterion vector. The experiments using real datasets support our hypothesis; our approach can generate better neighbor and preference estimation results than the approaches that only focus on a single type of pairwise comparisons.
1 Introduction
When people have a number of ideas, designs, or other kinds of objects, they may try to organize them into several groups of objects in order to make sense of their landscape and to prioritize them in order to decide the next actions. The grouping task is referred to as clustering and the prioritizing task is called ranking. These tasks are often outsourced with the judgments by the users themselves or some others such as crowdsourcing workers, and the judgments are often in the form of pairwise comparisons because humans are better at comparing objects rather than investigating each single object. Depending on the tasks, different types of pairwise comparisons are used: pairwise similarity comparisons and pairwise preference comparisons.
On one hand, in the object clustering task, two objects are compared to determine their similarity. The labels of such pairwise similarity comparisons are used to estimate the embedding of the objects in a latent space so that the distances among the objects in the space preserve the object similarity [Hinton and Roweis, 2003; van der Maaten and Hinton, 2008; Tanuz \textit{et al.}, 2011; van Der Maaten and Weinberger, 2012; Agarwal \textit{et al.}, 2007; Gomes \textit{et al.}, 2011]. On the other hand, in the object ranking task, two objects are compared to determine which object is preferred. The labels of such pairwise preference comparisons are aggregated to a ranking list [Bradley and Terry, 1952; Chen \textit{et al.}, 2013; Raman and Joachims, 2014; Chen and Joachims, 2016].
The existing approaches for these two kinds of tasks are separated from each other. They only utilize a single type of pairwise comparisons of the corresponding tasks. Here our research questions in this paper arise: “Do the pairwise similarity comparisons (primarily used for clustering) also help object ranking?” and “Do the pairwise preference comparisons (primarily used for ranking) also help object clustering?” Our expectation is that the quality of both tasks is improved by simultaneously solving the two different tasks, rather than solving them separately. For example, in the ranking task, the objects with similar contents would probably have close ranks (while the reverse may be not always true). Similarly, in the clustering task, the objects with far different ranks would probably have dissimilar contents (again, the reverse is not always true.)
In this paper, we propose Simultaneous Clustering And Ranking from PAirwise comparisons (SCARPA), a unified formulation to bridge the two types of pairwise comparisons. Our formulation depends on both of the object embeddings preserving the pairwise similarity among objects and the preference criterion vector; the object embeddings projected onto the direction of the vector represent the preference of the objects. Our approach iteratively learns the object embeddings and the preference scores by maximizing a mixed objective function which includes both pairwise preference and similarity information.
A typical usage of our method is to organize a large number of ideas generated by a variety of people [Siangliuue \textit{et al.}, 2015; Hope \textit{et al.}, 2017]. Due to the scale, it becomes challenging for users to explore a pool of the ideas and to identify the superior ones. Our method provides users with
an efficient way to group and prioritize the ideas to support the decision-making process; the embedding of each idea obtained by our method can be used for visualizing the idea clusters so that users can easily see an overview of a diverse set of ideas, and the preference scores of the ideas help users decide priorities for investigation. Another example is to organize a large number of graphic designs obtained by a design competition. By using our method, stakeholders are able to group and prioritize them to decide which designs are similar and which ones are finally selected as the winners. Furthermore, besides the proposed simultaneous clustering and ranking tasks, our method can also be utilized for single clustering or ranking tasks by collecting additional labels of another type of comparisons.
We conduct experiments using several real datasets collected using crowdsourcing. These datasets include the examples of the idea and design collections that we aim to make decisions on them. The experimental results illustrate that our approach can generate better neighbor and preference estimation results than the approaches that only focus on a single type of pairwise comparisons, by only increasing a small number of cost on collecting additional labels.
The contributions of our work are mainly two-fold:
1. We propose the new problem of simultaneous clustering and ranking from two types of pairwise comparisons; the pairwise similarity comparison and the pairwise preference comparison.
2. We propose a unified formulation that bridges the two different types of pairwise comparisons so that we can utilize the information of both types of pairwise comparison to improve the quality of both clustering and ranking results.
2 Simultaneous Clustering and Ranking Problem
2.1 Clustering Problem and Ranking Problem
Suppose we have a set of $n$ objects denoted by $\mathcal{O}$. We assume that no feature vector representations of the objects are available. Our goal is to organize the objects into several groups and to prioritize the objects. The former task is usually called clustering, and the latter is called ranking.
In the clustering task, we assume we first seek for a representation (or an embedding) of each object in a $d$-dimensional latent feature space; we denote by $\boldsymbol{x}_i \in \mathbb{R}^d$ the representation of object $i$. Those representations reflect proximity relations among the objects, and then they can be used for clustering the objects (by e.g. the $k$-means clustering algorithm).
In the ranking task, our goal is to obtain a ranking list of the $n$ objects. The ranking list reflects the relative preference among the objects.
2.2 Pairwise Comparisons
In order to obtain the embeddings and the ranking list of the set of objects $\mathcal{O}$, we assume we use human judgments, especially in terms of pairwise comparison. For a given object pair $o_i$ and $o_j$ in $\mathcal{O}$, we consider two different types of pairwise comparison: pairwise similarity comparison and pairwise preference comparison.
Pairwise similarity comparison is a type of questions asking the degree of similarity between two objects. In this paper, we consider the simplest kind of pairwise similarity comparison which is a binary-answer question, e.g. “Are the two objects are similar?” of which the candidate answers are “Yes” and “No”. We can collect the answers for a number of object pairs, e.g., by using crowdsourcing, and the answers are aggregated to estimate their embeddings in a latent space, and they are further used for object clustering [Gomes et al., 2011; Yi et al., 2012; Korlakai Vinayak and Hassibi, 2016].
Pairwise preference comparison is a type of questions asking which of two given objects is of higher priority. This is also a binary-answer question, e.g. “Which of the two objects is preferred to the other one?” Collected answers are aggregated into a single ranking list through estimation of statistical models [Bradley and Terry, 1952; Chen et al., 2013; Raman and Joachims, 2014].
In this paper, for the pairs of objects, we ask humans such as crowdsourcing workers to answer two types of pairwise comparison. Because the number of object pairs is quadratic in the number of objects, it costs too much budget and time if we ask all object pairs. Furthermore, if we use crowdsourcing, the comparison results can be rather noisy, and therefore multiple comparisons for the same object pairs are required to integrate them to obtain reliable results, which further increase the number of comparisons. Those facts motivate us to obtain accurate clustering and ranking results using a limited number of comparison results.
2.3 Problem Definition
The key idea to address the present problem is to perform the clustering task and ranking simultaneously. Our hypotheses behind the idea is that (i) the pairwise similarity comparisons (that are primarily used for the clustering task) also help object ranking, and at the same time, (ii) the pairwise preference comparisons (that are primarily used for the ranking task) also help object clustering. Our expectation is that the quality of both tasks is improved by simultaneously solve the two different tasks, rather than solving them separately.
Finally, the simultaneous clustering and ranking problem is summarized as follows:
**INPUT:** We are given a set of pairwise preference labels $\mathcal{P} = \{p_{ij}\}_{i,j}$, where $p_{ij} \in [0, 1]$ is the result of preference comparison between objects $o_i$ and $o_j$, which indicates the ratio of votes for $o_i$. We also have a set of pairwise similarity labels $\mathcal{S} = \{s_{ij}\}_{i,j}$, where $s_{ij}$ is the result of similarity comparison between objects $o_i$ and $o_j$, which indicates the ratio of the “Yes” answer (i.e., “similar”). Both pairwise preference labels and pairwise similarity labels have not necessarily been given for all of the object pairs.
**OUTPUT:** Our goal is to output the embeddings $\{\boldsymbol{x}_i\}_{i=1}^n$ and the preference scores $\{\tau_i\}_{i=1}^n$.
3 Our Approach
3.1 Relation of Different Pairwise Comparisons
When estimating the ranking list of the objects from the pairwise preference comparison labels, we estimate the compeFigure 1: Relation between the competency and the object embeddings assumed in the proposed model. The competency of each object \((\tau_i, \tau_j,\) and \(\tau_k)\) is represented by the projection of its embeddings \((x_i, x_j,\) and \(x_k)\) on the preference criterion vector \(w\). Objects \(o_i\) and \(o_j\) are similar and have close competency; objects \(o_j\) and \(o_k\) have close competency but they can be dissimilar.
Competency scores of the objects which are as consistent as possible with the preference labels by the pairwise preference models such as the Bradley-Terry model [Bradley and Terry, 1952; Chen et al., 2013]. We also assume the standard Bradley-Terry model which gives the probability that object \(o_i\) is preferred to object \(o_j\) as
\[
\theta_{ij} = \Pr(o_i \succ o_j) = \frac{1}{1 + \exp(-(\tau_i - \tau_j))},
\]
where \(\tau_i\) denotes the competency score of object \(o_i\).
When estimating the neighborhood of the objects from the pairwise similarity comparison labels, we learn the embeddings of the objects so that they are as consistent as possible with the similarity labels by the neighbor embedding models [Hinton and Roweis, 2003; van Der Maaten and Weinberger, 2012]. We employ the simplest neighborhood model that gives the probability that two objects \(o_i\) and \(o_j\) are neighbours of each other as
\[
\phi_{ij} = \exp(-||x_i - x_j||^2),
\]
where the embedding of object \(o_i\) is denoted by a \(d\)-dimensional vector \(x_i\).
Our idea is to bridge the different types of pairwise comparison by assuming a relation between the competency score \(\tau_i\) and the object embedding \(x_i\); namely, we assume
\[
\tau_i = w^\top x_i,
\]
where \(w\) is a \(d\)-dimensional parameter vector which represents the preference criterion. Each dimension of \(w\) indicates the impact of the corresponding feature in the latent space on the object competency. The competency \(\tau_i\) of an object \(o_i\) can be represented by the projection of its embeddings \(x_i\) on the preference criterion vector \(w\). Figure 1 gives a graphical explanation of the relation between the competency scores and the object embeddings.
The relation given by Eq.(3) implies that (i) a similar object pair have close competencies, while an object pair with close competencies are not necessarily to be similar, and (ii) an object pair with far competencies is dissimilar, while a dissimilar object pair does not necessarily have far competencies. Figure 1 illustrates the assumptions, i.e., the similar object pair \(o_i\) and \(o_j\) have close competencies, while \(o_j\) and \(o_k\) have close competencies but they are dissimilar. By using Eq. (3), the preference model (Eq. (1)) is written as:
\[
\theta_{ij} = \frac{1}{1 + \exp(-w^\top (x_i - x_j))}.
\]
### 3.2 Simultaneous Clustering and Ranking
Now we formulate the simultaneous clustering and ranking problem as an optimization problem that finds both the object embeddings \(\{x_i\}\), and the preference criterion vector \(w\). The overall objective function \(F\) is defined as
\[
F(\{x_i\}, w) = \alpha R(\{x_i\}, w) + \beta E(\{x_i\}) \\
- \eta ||w||_2^2 - \gamma \sum_i ||x_i||_2^2,
\]
where \(R(\cdot, \cdot)\) and \(E(\cdot)\) are two objective functions for ranking and embedding, respectively, and \(\alpha\) and \(\beta\) are their mixture constants; the last two terms are the regularization terms with constants \(\eta \geq 0\) and \(\gamma \geq 0\).
The objective function for ranking and embedding are defined as follows, respectively:
\[
R(\{x_i\}, w) = \sum_{p_{ij} \in P} \left\{ p_{ij} \log \frac{1}{1 + \exp(-w^\top (x_i - x_j))} \right. \\
+ \left( 1 - p_{ij} \right) \log \left( 1 - \frac{1}{1 + \exp(-w^\top (x_i - x_j))} \right) \right\},
\]
\[
E(\{x_i\}) = \sum_{s_{ij} \in S} \left\{ s_{ij} \log(\exp(-||x_i - x_j||^2)) \right. \\
+ \left( 1 - s_{ij} \right) \log(1 - \exp(-||x_i - x_j||^2)) \right\}.
\]
By using the gradient descent method and updating \(\{x_i\}\) and \(w\) iteratively, we obtain \(\{x_i\}\) and \(w\) that maximizes the objective function Eq. (5).
Once the embeddings \(\{x_i\}\) and the preference criterion vector \(w\) are obtained, we compute the competency scores of the objects by using Eq. (3) to make a ranking list, and the similarity scores of two objects based on Eq. (2) to use them for further applications such as clustering.
### 4 Experiments
#### 4.1 Baselines
We compare SCARPA, the proposed approach which bridges both two types of comparison labels, with the baseline approaches which only utilize either preference labels or similarity labels:
- **Preference Comparison Embeddings (PCE):** it uses the preference labels only. It is similar to the standard Bradley-Terry model [Bradley and Terry, 1952] but it learns both embeddings and preference criterion by objective function \(R\) (Eq. (6)) with regularization terms.
- **Similarity Comparison Embeddings (SCE):** it uses the similarity labels only to estimate the embeddings by optimizing the objective function \(E\) (Eq. (7)) with regularization terms. It represents the existing work for similarity embedding such as [Hinton and Roweis, 2003; van Der Maaten and Weinberger, 2012].
These baselines are representative in the related topics. Indeed, the extensions of these baselines have been proposed with more sophisticated models. For example, PCE can be extended by adding worker ability [Chen et al., 2013]; SCE
Figure 2: Comparison on ranking task. The size value at the top of each object indicates the true competency. SCE fails to correctly rank the objects, and SCARPA has more accurate ranking than PCE.
Figure 3: Comparison on clustering task. The shape (with specific color) of each object indicates the true cluster. Sampling rate $r = 0.2$ for all approaches. SCARPA successfully categorized the objects based on their shapes; PCE failed to generate clusters and SCE made more incorrect assignments.
can be extended based on more robust distributions such as the $t$-distribution [van Der Maaten and Weinberger, 2012]. However, the choice of the fundamental models of ranking or clustering is beyond our scope, and our approach can also be extended in the similar ways.
4.2 Experiment with a Synthetic Dataset
We first conducted an experiment with a synthetic dataset to easily observe the characteristics of the approaches by using the ground truth of the competencies and the embeddings. We generated objects that are characterized by two attributes: shape and size. There are four shape types (circle, cross, diamond, and square) and a size. For each of the shape types, we generate five objects. The sizes of circles, crosses, diamonds, and squares are 1–5, 6–10, 11–15, and 16–20, respectively. We then generated a preference comparison label and a similarity preference comparison label for each object pair. The competency of an object is determined by its size; the preference label is $p_{ij} = 1$ if $o_i$ is smaller than the $o_j$. The similarity comparison is evaluated by the shape; the similarity label is $s_{ij} = 1$ if the objects have the same shape. We sampled 20% of the object pairs and applied each method. The hyper-parameter tuning is same with that of the experiments on the real datasets which will be introduced in Section 4.5.
Figure 2 visualizes the results on the ranking task. It shows that SCE failed to correctly rank the objects and SCARPA provided more accurate ranking than PCE; for example, in SCARPA, the objects with size 4, 2, 10 and 18 have the better rank. Figure 3 visualizes the results on the clustering task. SCARPA almost completely correctly distinguished the objects based on their shapes while SCE made more incorrect assignments, and PCE failed to generate clusters. These results demonstrate the effectiveness of SCARPA on both ranking and clustering tasks.
4.3 Real Datasets
We construct five real datasets with tasks consisting of preference comparisons and similarity comparisons. These datasets contain the examples of idea and design collections that we aim to group and prioritize to make decisions. The pairwise comparison labels are collected by a commercial crowdsourcing platform *Lancers*¹. We collect the labels for all object pairs so that we can use any object pair in the experiments. 10 labels are collected for each object pair, which are aggregated by majority voting to create the ground truth labels.
**Design:** We can easily collect many diverse designs such as drawings and charts from crowds. The design preference can be used for selecting best designs and the design similarity can be used to group the designs. To collect the pairwise comparisons, our solution is to ask another group of crowds to compare the pairs of designs. We focus on designed logos used for the home pages of companies. 21 designs and 20 designs are collected for the two companies respectively, which are used as two datasets, i.e., *design1* (with 52 workers) and *design2* (with 65 workers).
**Idea:** We can ask a group of crowds to provide ideas for a problem. Another group of crowds evaluates these ideas on the preference and similarity. The ideas for two problems are collected. One problem is “how to decrease the cheating behaviors in the examination” (*idea1* dataset, with 40 ideas and 189 workers). An example of the ideas is “using different sequences of the questions for different students”. The other problem is “how to decrease the absences and lateness for the meetings” (*idea2* dataset, with 40 ideas and 184 workers).
**Dog:** One useful application of our work is the subjective evaluation of images on the issues such as aesthetics. We ask the crowds to evaluate a set of dog images. For the preference tasks, the question is “which dog in the images is cuter?”. For the neighbor estimation task, the question is “whether two dogs are similar or belong to the same breed”. We select six dog breeds and five images for each breed (30 images in total) from the Stanford Dogs Dataset [Khosla et al., 2011]. There are 74 workers.
4.4 Evaluation Metrics
We evaluate the different approaches on their ability to estimate the pairwise comparison labels of all object pairs by only a small number of labeled object pairs. In details, in one experimental trial, we randomly select a subset of all object pairs with sampling rate $r = 0.1$. For both two types of pairwise comparison, we only use five labels in the ten labels of each object pair. We denote the subset of labels as $P_k$ and $S_k$, where $k$ is the index of the subset. We evaluate the average performance of ten trials.
There are two different settings on the selected objects pairs in $P_k$ and $S_k$. One is to use the same object pairs for both $P_k$ and $S_k$. It only increases a small number of budget cost because workers do not need to judge more objects and only need to provide an extra label. The other setting is to use
| Dataset | Metric | SCARPA | PCE | SCE |
|---------|--------------|-----------------|----------------|----------------|
| | preference | 0.7210 ± 0.0468 | 0.7057 ± 0.0397 | 0.4519 ± 0.0867|
| Design1 | similarity | 0.6439 ± 0.0584 | 0.5617 ± 0.1157 | 0.6044 ± 0.0857|
| | preference | 0.6159 ± 0.0635 | 0.6147 ± 0.0632 | 0.5016 ± 0.0459|
| Design2 | similarity | 0.5707 ± 0.0757 | 0.5567 ± 0.0761 | 0.5136 ± 0.0718|
| | preference | 0.6719 ± 0.0256 | 0.6609 ± 0.0324 | 0.5173 ± 0.0537|
| Idea1 | similarity | 0.6209 ± 0.0238 | 0.5640 ± 0.0377 | 0.6077 ± 0.0241|
| | preference | 0.5936 ± 0.0197 | 0.5921 ± 0.0193 | 0.5032 ± 0.0422|
| Idea2 | similarity | 0.6939 ± 0.0329 | 0.5014 ± 0.0535 | 0.6869 ± 0.0319|
| Dog | preference | 0.7907 ± 0.0254 | 0.7848 ± 0.0222 | 0.5191 ± 0.0866|
| | similarity | 0.6926 ± 0.0416 | 0.6481 ± 0.0283 | 0.6506 ± 0.0518|
Table 1: Comparison on the real datasets. The winners are bold-faced. SCARPA outperforms the Baselines (PCE and SCE).
different object pairs. It doubles the budget cost for collecting the same total number of labels in both $P_k$ and $S_k$ because the workers need to judge different objects.
We use two performance evaluation metrics: pairwise preference accuracy and pairwise similarity accuracy. The pairwise preference accuracy is the accuracy of the estimated preference. For an object pair $o_i$ and $o_j$, if $o_i$ is preferred to $o_j$ in the ground truth labels, the estimated competency score $\hat{\tau}_i$ should be higher than $\hat{\tau}_j$. The pairwise similarity accuracy is the accuracy of the relations of estimated similarity of two object pairs. Without a similar-dissimilar threshold, we cannot assign a similarity label to the estimated similarity $\hat{s}_{ij}$. Instead, for a similar object pair $(o_a, o_b)$ and a dissimilar object pair $(o_c, o_d)$ in the ground truth, if the estimated similarity $\hat{s}_{ab}$ is higher than $\hat{s}_{cd}$, we judge the relation of the estimated similarity of these two object pairs is correct.
### 4.5 Tuning Hyperparameters
Since we have no access to a subset of the ground truth labels in our unsupervised problem setting, we cannot use them for tuning the hyperparameters. Instead, we leverage surrogate ground truth and the surrogate performance on them. We use the label subsets $P_k$ and $S_k$ which are the same ones used by our approach to learning the embeddings and preference criterion vector as the surrogate ground truth. We tune the parameters by the measures of the pairwise preference accuracy on the held out subset of $P_k$ and the pairwise similarity accuracy on the held out subset of $S_k$. For the ranking (clustering) task, the preference (similarity) accuracy on $P_k$ ($S_k$) has higher priority in sorting the results generated by different hyperparameter groups. In the case that there are multiple hyperparameter groups which can reach same value on these two measures, we use the average performance on these groups as the experimental results.
The detailed hyperparameter settings of our approach are as follows. The dimension of embeddings $d$ is set to 10. The regularization terms are set to $\eta = 0.1$ and $\gamma = 0.1$. Although it is possible to tune $d$, $\eta$ and $\gamma$ to improve the performance, we mainly investigate the influence of the mixture constants of preference information and similarity information in our approach. The value of $\alpha$ is chosen from \{0.25, 0.5, 1, 2, 4\}; the value of $\beta$ is chosen from \{0.25, 0.5, 1, 2, 4\}. We use $R$ (Eq. (6)) with regularization for the initialization of our approach because it can initialize both the embeddings and preference criterion vector. $R$ (Eq. (6)) with regularization uses random initialization. The hyperparameters of the baselines are also tuned in a similar way.
### 4.6 Results
#### Comparison of Different Approaches
Table 1 shows the results of the comparison on the performance between our approach and other baseline approaches. In this experiment, the settings for object pair selection is using same object pairs. PCE shows the better performance than SCE on estimated preference labels and worse performance than SCE on estimated similarity labels in most of the datasets. It is because that PCE focuses on preference comparisons and SCE focuses on similarity comparisons.
Table 1 shows that SCARPA generates better results on both estimated preference and similarity labels than PCE and SCE. Our proposed approach can effectively bridge the heterogeneous pairwise comparisons and generate better embeddings and preference criterion vector than the approaches which only utilize a single type of pairwise comparisons.
#### Costs and Object Pair Selection
There are at least two kinds of costs concerned in such kinds of tasks: time cost and budget cost. Regarding the time cost of running the approaches, SCARPA has the same order of time complexity as the existing work like PCE and SCE. The other is the time and budget cost of collecting the labels. The cost of collecting the labels is more sensitive than the cost of carrying out a ranking or clustering approach like SCARPA. We thus discuss the increase of budget cost and profit of performance improvement between using same and different object pairs.
For this purpose, we construct experiments with two different settings on the selected object pairs $P_k$ and $S_k$ discussed in Section 4.4. Table 2 shows the results in the ‘same object pairs’ scenario and the ‘different object pairs’ scenario.
First, we compare the results in the columns of ‘different object pairs’. The underline font indicates the best results in these columns. SCARPA generally performs better on the estimated preference and similarity labels for most of the datasets when using different object pairs.
Second, we compare the results in the column of ‘same object pairs’ with the columns of ‘different object pairs’. The winners in all columns are bold-faced. On one hand, for the results between SCARPA with same object pairs and
| Dataset | Metric | Same Object Pairs | Different Object Pairs |
|---------|----------|-------------------|------------------------|
| | | SCARPA | PCE | SCE |
| Design1 | preference | 0.7210 ± 0.0468 | 0.7481 ± 0.0592 | 0.7412 ± 0.0573 | 0.4567 ± 0.0857 |
| | similarity | **0.6439 ± 0.0585** | 0.6216 ± 0.0673 | 0.4965 ± 0.0698 | 0.6040 ± 0.0891 |
| Design2 | preference | 0.6159 ± 0.0635 | 0.6068 ± 0.0357 | **0.6184 ± 0.0446** | 0.5016 ± 0.0459 |
| | similarity | **0.5707 ± 0.0757** | 0.5301 ± 0.0993 | 0.5442 ± 0.0928 | 0.5136 ± 0.0718 |
| Idea1 | preference | **0.6719 ± 0.0256** | 0.6635 ± 0.0137 | 0.6577 ± 0.0177 | 0.5173 ± 0.0537 |
| | similarity | **0.6209 ± 0.0238** | 0.6247 ± 0.0238 | 0.5704 ± 0.0310 | 0.6077 ± 0.0241 |
| Idea2 | preference | **0.5936 ± 0.0197** | 0.5879 ± 0.0303 | 0.5871 ± 0.0277 | 0.5032 ± 0.0422 |
| | similarity | **0.6939 ± 0.0329** | 0.6914 ± 0.0248 | 0.5220 ± 0.0366 | 0.6869 ± 0.0319 |
| Dog | preference | 0.7907 ± 0.0254 | **0.8055 ± 0.0224** | 0.7880 ± 0.0237 | 0.5191 ± 0.0866 |
| | similarity | 0.6926 ± 0.0410 | **0.7504 ± 0.0384** | 0.6689 ± 0.0508 | 0.6506 ± 0.0518 |
Table 2: Same VS. Different Object Pairs. The winners are bold-faced and the winners in the different object pair cases are underlined. SCARPA outperforms PCE and SCE; SCARPA with same and different objects pairs win each other in different evaluations (italicized), while SCARPA with same object pairs requires much less additional labels than that with different object pairs.
SCARPA with different object pairs, we use the italic font to mark the better results in these two columns. The observation is that although using different object pairs for different types of comparisons may generate better results in some cases (3 in 10 evaluations, e.g., dog dataset), using same object pairs for heterogeneous pairwise comparisons is also possible to have better results in some cases (7 in 10 evaluations, e.g., two idea datasets). We can regard that these observations are influenced by the object pair selection settings. On the other hand, the results of SCARPA with same object pairs are better on both preference and similarity estimation than that of PCE and SCE with different object pairs in most of the cases (8 in 10 evaluations for PCE and 10 in 10 evaluations for SCE).
From the aspect of budget cost, in contrast to using different objects pairs for different types of pairwise comparisons which doubles the cost to collect same number of labels, using same object pairs does not increase the cost of workers a lot, because the number of objects that a worker needs to review for judgment does not increase. Actually, answering one more pairwise comparison to an object pair may help the worker to understand the objects and provide better labels.
From the aspect of performance improvement, on one hand, from the results of idea datasets, when using same object pairs for both two types of comparisons, the label information from different types provide effective complementary to each other. Overlaps between preference pairs and similarity pairs can bolster each other. The same object pairs setting can most efficiently benefit from the overlap which explains the 7/10 stable winning rate in the experiments, but it is rather conservative.
On the other hand, from the results of dog dataset, a different set of object pairs which have data about twice as many objects are potentially advantageous with more effective information. In other words, using different object pairs may reach better performance. However, without a rational method to properly select the different set of object pairs, randomly selection is difficult to always reach the effect ones. It has the risk to reach the ineffective ones, which explains the 3/10 winning rate in the experiments. It may perform well when we luckily draw moderately overlapped pairs.
In conclusion, when using same object pairs for both types of pairwise comparisons, our approach can generate better performance than the approach using only a single type of comparisons, by only increasing a small number of cost on collecting the labels. The optimal solution is probably somewhere between the settings of using same and different object pairs, i.e., moderately overlapped cases. How to effectively select different sets of object pairs for different types of pairwise comparison is one of our future work.
5 Related Work
Pairwise preference comparison and ranking had been discussed for decades [Cattelan, 2012]; a typical solution is the Bradley-Terry model [Bradley and Terry, 1952] and its various extensions or generalizations had been proposed, e.g., multiple dimensions [Causeur and Husson, 2005] and intranisitivity [Chen and Joachims, 2016]. Recent work also discussed extensions in modern settings, e.g., modeling worker ability in the context of crowdsourcing [Chen et al., 2013] and peer grading in MOOCs [Raman and Joachims, 2014].
In pairwise similarity comparison and embedding, the objects were usually represented in a low-dimensional space so that pairwise similarities were preserved [Hinton and Roweis, 2003; van der Maaten and Hinton, 2008; Xie et al., 2011]. In contrast to embedding with absolute pairwise comparisons, some work utilized relative comparisons with more than two objects, e.g., triplet comparisons [Tamuž et al., 2011; van Der Maaten and Weinberger, 2012; Wah et al., 2014] and quadruplet comparisons [Agarwal et al., 2007; Ukkonen et al., 2015]. Crowdsourced similarity labels were also leveraged for object clustering [Gomes et al., 2011] and learning similarity matrices [Tamuž et al., 2011]. Additional context information were utilized [Yi et al., 2012]. The costs of special multiple pairwise questions were also discussed [Kolaklai Vinayak and Hassibi, 2016]. In contrast to the existing work focus only on a single type of pairwise comparisons, our work can leverage the both types of pairwise comparisons.
6 Conclusion
We propose the new problem of simultaneous clustering and ranking from two types of pairwise comparisons: the pairwise
similarity and preference comparison. We propose a unified formulation which bridges the two different types of pairwise comparisons. The experiments illustrate that our approach can generate better neighbor and preference estimation results than the approaches that only focus on a single type of pairwise comparisons by only increasing a small number of cost on collecting additional labels. In future work, we will focus on how to effectively select different object pairs.
Acknowledgments
This research was supported by JSPS KAKENHI Grant Number 15H01704, Japan.
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उत्तर प्रदेश तेंदू पत्ता (व्यापार विनियमस) (संशोधन) अधिनियम, 1973
(उत्तर प्रदेश अधिनियम संख्या 6, 1973)
[उत्तर प्रदेश विधान परिषद् ने दिनांक 14 दिसम्बर, 72 ई° तथा उत्तर प्रदेश विधान सभा ने विनिमय 19 जनवरी, 1973 ई° की बैठक में हस्ताक्षर किया।]
“भारत का संविधान” के अनुच्छेद 200 के अन्तर्गत राज्यपाल ने दिनांक 22 जनवरी, 1973 ई° को स्वीकृति प्रबंध को तथा उत्तर प्रदेशीय सरकारी अस्थायी गजद में दिनांक 22 जनवरी, 1973 ई° को प्रकाशित हुआ।
उत्तर प्रदेश तेंदू पत्ता (व्यापार विनियमस) अधिनियम, 1972 का संशोधन करने के लिए
अधिनियम
भारत गणराज्य के तेहरस्वे वर्ष में निम्नलिखित अधिनियम बनाया [जाता है:—]
1—यह अधिनियम उत्तर प्रदेश तेंदू पत्ता (व्यापार विनियमस) 1 (संशोधन) 2 अधिनियम, 1973 को हुल्लायेगा। 3
2—उत्तर प्रदेश तेंदू पत्ता (व्यापार विनियमस) अधिनियम, 1972, जिसे आगे मूल अधिनियम कहा गया है, की धारा 1 में, उपधारा (3) के स्थान पर निम्नलिखित उप-धारा रख दी जायें और संबंध से रखी गयी सम्पत्ती जायगी, अवधि—:
“(3) यह इलाहाबाद, मिजपुर, वांदा, हरिपुर, लांगों और चारपासी जिलों में 2 मास, 1972 से प्रवृत्त हुआ सम्पत्ति जायगी, और उत्तर प्रदेश के दोष भाग में ऐसे विनाश से प्रवृत्त होगा जिसे राज्य सरकार गणद में अधिकृत होता है, और उत्तर प्रदेश के विभिन्न जिलों के लिये निम्न-निम्न दिनांक निर्धारित किये जा सकते हैं।”
3—मूल अधिनियम की धारा 2 में, स्थान (च) के स्थान पर निम्नलिखित स्थान रख दिया जाय, और संबंध से रखा गया सम्पत्ति जायगी, अवधि—:
“(च) ‘वच’ का तार्थवर्ण 1 जनवरी को प्रारम्भ होने वाले वर्ष से है;”
4—मूल अधिनियम की धारा 5 की उपधारा (1) के रूप में पुनः संश्लेषित किया जाय और उसे संबंध से पुनः संश्लेषित किया गया सम्पत्ति जायगी, और इस प्रकार पुनः संश्लेषित उपधारा (1) के प्रश्चात् निम्नलिखित उपधाराओं बढ़ा जाय और संबंध से नवदायी सम्पत्ति जायगी, अवधि—:
“(2) उपधारा (1) में किसी वात के होते हुए भी, राज्य सरकार अध्यक्ष उसके होता तार्थ प्राधिकृत राज्य सरकार का कोई अधिकारी, ऐसे सिविलसर्वों तथा दायें और ऐसी रोज़ित से, जो विनाश की तार्थ,—
(क) किसी धार्मिक धो, जिलने वर्ष 1971 में अथवा उसके पूर्व तेंदू पत्ता कम किया हो,—
(1) उपधारा (1) के स्थान (फ) में अभिविध राज्य सरकार या अधिकारी अथवा अभिकल्प दे निम्न किसी व्यक्ति को तेंदू पत्ता की विकी करने की अनुमा दे सकता है और ऐसी सरकार, अधिकारी या अभिकल्प दे निम्न किसी व्यक्ति को उत्तर पत्ता धाय करने की अनुमा दे सकता है; या
(2) ऐसे पत्तों को उत्तर प्रदेश के भीतर किसी धान की परिवहन करने या उत्तर प्रदेश के बाहर निर्यात करने की अनुमा दे सकता है; या
(ख) उपधारा (1) के स्थान (ग) के उपस्थान (3) में अभिविध किसी व्यक्ति को उत्तर प्रदेश के भीतर ऐसे तेंदू पत्तों की विकी करने की अनुमा दे सकता है जिसे वह उत्तर प्रदेश के भीतर बीड़ी वानन के लिये प्रयोग करने में अथवा, जंशी भी देखा हूँ, उत्तर प्रदेश के बाहर निर्यात करने में असम्मय रहा हो; या
(उद्देश्य और कार्यों के संबंध के लिये कृपया दिनांक 14 दिसम्बर, 1972 ई° का सरकारी अस्थायी गजद देखिये)
(ग) किसी व्यक्ति को जिसने उत्तर प्रदेश के बाहर तेंदू पत्ता रखा हो, उन्हें या तो राज्य के भोजपुर दीड़ी बनाने के लिये अवश्य राज्य में होकर उत्तर प्रदेश के बाहर अन्यथा ले जाने के लिये, राज्य में लाने को अनुमति दे सकता है; या
(घ) किसी व्यक्ति को जिसने उत्तर प्रदेश के भोजपुर, फिरनु ऐसे क्षेत्र के बाहर जिस पर यह अधिनियम लागू होता हो, तेंदू पत्ता रखा रखा हो, योग्य बनाने के लिये किसी क्षेत्र में जिस पर यह अधिनियम लागू होता हो, उनका परिवहन करने को अनुमति दे सकता है।
(3) कोई व्यक्ति जिसे उपचार (1) के लक्षण (ग) के उपलब्ध (3) अवश्य उपचार (2) में अभिविष्ट अनुज्ञा-पत्र स्वीकृत किया जाय, ऐसी फोटो का देनावार होता जो विविध दो जाय।
5—मूल अधिनियम को धारा 7 में, उपचार (1) में, शब्द “या तेंदू पत्ता जल्द-दक्षों से” निकाल दिये जायें और सदैव से निकाले गये समस्त जायेंगे।
6—मूल अधिनियम को धारा 18 में—
(1) उपचार (1) में, शब्द “नियम बना सकती है” के स्थान पर शब्द “प्राची में अभिमूल्यता होता है” रख दिये जायें और सदैव से रखे गये समस्त जायेंगे।
(2) उपचार (2) में, लक्षण (घ) में शब्द “तेंदू पत्तों के परिवहन के लिये” निकाल दिये जायें और सदैव से निकाले गये समस्त जायेंगे, और अगर में निम्नलिखित शब्द बढ़ा दिये जायें, अर्थात—
“और ऐसे अनुज्ञा-पत्रों के लिये देख फोटो”:
(3) उपचार (3) के पश्चात निम्नलिखित उपचार बढ़ा दो जाय, अर्थात—
“(4) उपचार (3) में जिसी वात के होते हुए, यो, इस अधिनियम के प्रारम्भ होने के विनाश से एक वर्ष के भोजपुर बनाया गया कोई भी नियम ऐसे दिनांक से जो इस अधिनियम के प्रारम्भ होने से पहले का न हो, मूलतः लूप से बनाया जा सकता है।”
7—मूल अधिनियम को धारा 21 को पन: संशोधित करके उसकी उपचार (1) कर दो जाय और इस प्राची पन: संशोधित उपचार (1) के पश्चात निम्नलिखित उपचार बढ़ा दो जाय, अर्थात—
“(2) ऐसे निर्देश के होते हुए यो, उच्चत अवयादिका के अध्यात्म की नयी कोई वात अवश्य किया गया कार्य समस्त जायेगा, मानो यह अधिनियम सभी सार्वजन समय पर प्रवृत्त था।”
8—किसी ग्रामायाल के किसी निर्णय, जिसी या आदेश के होते हुए यो, वर्ष 1971 में वर्षाया इसके दूर्व उपाय गये तेंदू पत्तों के सम्बन्ध में मूल अधिनियम को धारा 5 के उपचारों के अधीन की नयी अवधार को जाने के लिये ताल्परिष्ठ कोई वात या किया गया अवधा किये जाने के लिये ताल्परिष्ठ कोई कार्य उतना ही विविधाय तथा प्रभावी समस्त जायगा मानो इस अधिनियम होता उक्त अधिनियम को धारा 5 और 7 में किये गये संशोधन सभी सार्वजन समयों पर प्रवृत्त थे।
9—उत्तर प्रदेश तेंदू पत्ता (आयार विनियम) (संशोधन) अध्यादेश, 1972 एतव्धारा निरस्त किया जाता है।
UTTAR PRADESH TENDU PATTA (VYAPAR VINIYAMAN)
(SANSHODHAN) ADHINIYAM, 1978
(U. P. ACT No. 6 OF 1973)
[*Authoritative English Text of the Uttar Pradesh Tendu Patta (Vyapar Viniyaman) (Sanshodhan) Adhiniyam, 1973]
AN ACT
to amend the Uttar Pradesh Tendu Patta (Vyapar Viniyaman) Adhiniyam, 1972
IT IS HEREBY enacted in the Twenty-third Year of the Republic of India as follows:—
1. This Act may be called the Uttar Pradesh Tendu Patta (Vyapar Viniyaman) (Sanshodhan) Adhiniyam, 1978.
2. In section 1 of the Uttar Pradesh Tendu Patta (Vyapar Viniyaman) Amendment of Adhiniyam, 1972, hereinafter referred to as the principal Act, for sub-section (3), section 1 of U. P. the following sub-section shall be substituted and be deemed always to have been substituted, namely:—
“(3) It shall be deemed to have come into force, in the districts of Allahabad, Mirzapur, Banda, Hamirpur, Jhansi and Varanasi on March 2, 1972, and shall come into force in the rest of Uttar Pradesh on such date as the State Government may by notification in the Gazette, appoint, and different dates may be appointed for different areas of Uttar Pradesh.”
3. In section 2 of the principal Act, for clause (f) the following clause shall be substituted and be deemed always to have been substituted, namely:—
“(f) ‘year’ means the year beginning on the first day of January;”
4. Section 5 of the principal Act shall be re-numbered and be deemed always to have been re-numbered as sub-section (1) thereof, and after sub-section (1) as so re-numbered, the following sub-sections shall be inserted and be deemed always to have been inserted, namely:—
“(2) Notwithstanding anything in sub-section (1) the State Government or an officer of the State Government authorised by it in that behalf may on such terms and conditions and in such manner as may be prescribed,—
(a) permit any person, who had purchased tendu leaves in the year 1971 or earlier,—
(i) to sell such leaves to any person other than the State Government or an officer or agent referred to in clause (a) of sub-section (1), and permit any person other than such Government, officer or agent to purchase the said leaves; or
(ii) to transport such leaves to any place within Uttar Pradesh or to export them outside Uttar Pradesh; or
(b) permit any person referred to in sub-clause (iii) of clause (c) of sub-section (1) to sell within Uttar Pradesh any tendu leaves which he has been unable to utilise in the manufacture of bidis within Uttar Pradesh or, as the case may be, to export outside Uttar Pradesh; or
*For statement of Objects and Reasons, please see Uttar Pradesh Gazette (Extraordinary), dated the 14th December 14, 1972.
(Passed in Hindi by the Uttar Pradesh Legislative Council on December 14, 1972 and by the Uttar Pradesh Legislative Assembly on January 13, 1973.
(Received the assent of the Governor on January 22, 1973 under Article 200, of the Constitution of India and was published in the Uttar Pradesh Gazette Extraordinary, dated January 22, 1973.
(c) permit any person, who has purchased any tendu leaves outside Uttar Pradesh to bring them inside the State either for manufacture of bidis within the State or for transporting them elsewhere outside Uttar Pradesh; or
(d) permit any person, who has purchased any tendu leaves within Uttar Pradesh outside any area to which this Act applies to transport them to any area to which this Act applies for the manufacture of bidis.
(3) A person to whom a permit referred to in sub-clause (iii) of clause (c) of sub-section (1) or in sub-section (2) is granted shall be liable to payment of such fee as may be prescribed."
Amendment of section 7. 5. In section 7 of the principal Act, in sub-section (1), the words "from growers of tendu leaves" shall be omitted and be deemed always to have been omitted.
Amendment of section 18. 6. In section 18 of the principal Act—
(i) in sub-section (1), for the words "may make rules" the words "may by notification in the Gazette make rules" shall be substituted and be deemed always to have been substituted;
(ii) in sub-section (2), in clause (d), the words "for transport of tendu leaves" shall be omitted and be deemed always to have been omitted, and at the end, following words shall be inserted, namely:
"and the fees payable for such permits;"
(iii) after sub-section (3) the following sub-section shall be inserted, namely:
"(4) Notwithstanding anything in sub-section (3), any rules made within one year from the commencement of this Act may be made retrospectively to a date not earlier than the commencement of this Act."
Amendment of section 21. 7. Section 21 of the principal Act, shall be re-numbered as sub-section (1) thereof and after sub-section (1) as so re-numbered, the following sub-section shall be inserted, namely:
"(2) Notwithstanding such repeal, anything done or any action taken under the said Ordinance, shall be deemed to have been done or taken under this Act, as if this Act was in force at all material times."
Validation. 8. Notwithstanding any judgment, decree or order of any Court, anything done or purporting to be done or any action taken or purporting to be taken under the provisions of section 5 of the principal Act, with respect to tendu leaves grown in the year 1971 or earlier shall be deemed to be as valid and effective as if the amendments made in sections 5 and 7 of that Act by this Act were in force at all material times.
Repeal of U. P. Ordinance no. 18 of 1972. 9. The Uttar Pradesh Tendu Patra (Vyapar Viniyaman) (Sanshodhan) Adhyadesh, 1972, is hereby repealed.
PSUP—A. P. 344 Genl.(Ls).—1973. 1,877+50 ss, (M).
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School Culture Under the Microscope
What It Is, How It Works, and Why It’s So Important
School is a state of mind.
—John Gardner, founder of Common Cause
It’s more important to student success than the curriculum. The reading program. The basic texts. Technology. The physical plant. Or even the testing program. And it’s more important to teacher morale and effectiveness than wages, benefits, or working conditions. What is it? It’s the culture of the organization.
No, we’re not talking about the school’s art and music program or about some glob of microplasm that pupils examine under a microscope in a school science lab somewhere. We’re talking about the core values, cherished beliefs, ingrained expectations, norms of behavior, and the unwritten rules, roles, and rituals that make up the context in which everyday teaching and learning take place.
Sound a little too “fuzzy,” soft, vague, or ethereal to be of interest to practical-minded, overburdened, hard-scraping, hard-scrambling, everyday school administrators? It shouldn’t. These factors are the true driving forces in the rough-and-tumble real world of what we call school. Together, they constitute the organizational culture that defines what kind of place the school really is, and what it stands for.
Unfortunately, the language and the concept of “school culture” are still mysterious, remote, or alien to many school administrators. The sociology of the organization isn’t anything that some principals and superintendents understand, think about, worry about, or attempt to influence. They assume that whatever kind of culture their school has just happened, or resulted from forces beyond their control—and isn’t too critical anyway. Of course, they’re making a colossal mistake. Sometimes, it’s a career-buster.
As it turns out, the culture, more than any other single factor, determines the ultimate success or failure of any school, including yours.
This was a lesson reinforced for me several years ago during a visit to a high school in Albuquerque, New Mexico. The school was in an old, somewhat worse-for-wear building. It served a low-income minority population. Its budget was the same as all the other high schools in the city. It followed the same curriculum as the other schools. Its staff didn’t differ significantly from other staffs. On the surface, there was nothing particular to distinguish this school from its sister schools throughout the district.
Nevertheless, this school had been singled out and recognized by the federal government as a National School of Excellence. Its track record of student growth and achievement had caught the eye of federal officials, who identified it as an exemplary Blue Ribbon School—a model for other high schools across the nation to follow.
What accounted for the school’s success and star status? An unusually powerful and positive organizational culture. The only thing this school had more of than other comparable schools in the city was a shared culture of commitment, pride, hard work, mutual support, trust, and hope that extended beyond the school walls and into the entire community. A strong culture was enough to elevate the school above its counterparts.
Of course, this one school’s singular success wasn’t a once-in-a-lifetime phenomenon. Similar examples of culture-driven high performance occur in most cities. You probably have one or more in your own district. It could be your school. The point is, culture matters in schools and all organizations.
Every group or human institution (e.g., family, clan, neighborhood, Scout troop, street gang, bridge club, Red Hat Society, corporation, or labor union) has its own unique internal culture. This culture is often described as the “personality,” “character,” or “ethos” of the organization. Schools are no exception. If the school has a soul—and I believe it does—that soul resides in its culture.
What’s confusing to school administrators is that some well-intentioned authors unduly complicate the notion of organizational culture by drawing
on highly technical definitions that only a scientist or anthropologist can appreciate and by making fine distinctions between similar terms (e.g., “culture” and “climate”). It doesn’t have to be that complex.
Obviously, most school leaders aren’t scientists; so for the practical purposes of this book, a much looser and simpler definition is both useful and helpful.
In this context, the term “culture” is used synonymously with descriptors such as the “climate,” “atmosphere,” or “environment” within the school. Other observers have defined the school’s culture as the “architecture of the invisible,” the “social memory,” or the “hidden curriculum.” Still others merely refer to it as the “Fourth ‘R’ (Relationships).” Without splitting hairs over definitions, you get the idea.
Whatever you call it, the culture is an unwritten code of conduct. My dictionary defines it as “socially transmitted behavior patterns” made up of
- Adopted folkways
- Assumptions
- Ethical definitions
- Legends
- Mores
- Myths
- Priorities
- Sacred cows
- Shared lore
- Standards
- Traditions
- Unstated purposes
- Work ethics
These elements give every school a special style, temperament, feeling, and tone all its own that constitute its one-of-a-kind culture.
This culture (good or bad) is maintained, sustained, transmitted, and perpetuated through its handed-down customs, history, stories, heroes, rituals, ceremonies, celebrations, special events, mascots, logos, slogans, mottoes, symbols, and symbolic acts. Sometimes, even the name of the school announces the culture found inside (e.g., St. John’s Military Academy, Marcy Open School, Downtown Prep School).
Most cultures also boast their own scribes, storytellers, protectors, keepers of the flame, and at least one self-appointed “conscience” of the organization. You can probably pick out who plays these parts in your school.
But you can’t learn about your school’s culture or any other school’s culture from publications or official pronouncements. Cultures usually aren’t written down.
Nevertheless, everyone in the organization knows what the culture is and actually helps create, preserve, and fine-tune it. The culture’s framework of prescribed patterns of behavior and expectations are continuously invented, reinvented, discovered, developed, adopted, or adapted by all the participants over time.
It’s no surprise, then, that a school’s culture is more than the sum of its parts and takes on a life of its own. It shapes individual and group conduct and defines what’s important, what’s possible, what’s expected, what’s accepted, what’s preferred, what’s praised, what’s tolerated, what’s encouraged or discouraged, what’s rewarded, what’s punished, what’s taboo, who’s up, who’s down, and who’s allowed to play (and win) within the organization. It is the culture that gives life within the school its meaning, passion, and purpose.
More than anything else, the culture’s informal guides to behavior dictate the way people (students and adults) act and interact (sometimes even how they dress), what they talk about (or don’t talk about) in the student commons or the faculty lounge, what approaches to instruction are valued, how teachers perceive students and vice versa, how people treat each other, what motivates both teachers and learners, and how people go about their work every day. In many ways, every school is a captive of its own culture.
Obviously, culture concerns are heady stuff, much too important for any self-respecting school leader to deny, ignore, or just let happen. If you’re a principal or superintendent, it pays to pay attention to the culture of the organization. Period!
If you want to know who has the real power in your school, how things really get done, and what it takes to go along and get along within the organization, you won’t find the answers in the official rules, job descriptions, discipline code, union contract, or staff handbook. The only way to learn these things is to figure out the culture and how it works. One of the best-kept success secrets for school leaders is to get to know how the culture within your organization actually operates and to use the culture to your advantage.
There is no question that adult and student behaviors alike are heavily influenced by the culture in which they teach and learn. Cultures aren’t carved in stone. Cultures are interactive. They are shaped by the people who make up the culture, and, in turn, the participants are shaped by the very culture they helped produce.
Cultures are also elastic and organic. They can be stretched. They can grow and change. As a school leader, you can be bound by the existing culture. Or you can do the stretching and nurturing of growth. But you can’t be successful completely independent of the organization’s unwritten rules and cultural imperatives.
Sadly, some school officials spend their entire careers completely oblivious and unaware of the culture and how things really work in their own department, school, or district. We’ve all known administrators who come to the job every day without a clue about what’s going on around them. It’s almost as if they live and work in some parallel universe rather than in the real world of the school.
I’m reminded of a former superintendent of mine who felt that the primary function of his job was to relate to his immediate employer—the
school board. Consequently, he intentionally devoted 60 percent or more of his time to serving and servicing board members. Everyone else (kids, teachers, parents, and community members) had to take a backseat and wait their turn.
His approach to the superintendency may have been good politics, but it was bad for the overall climate within the organization. It didn’t help that his obsession with the school board made him appear aloof and disdainful of other stakeholders. Because he distanced himself from everyday relationships and dynamics at the school level, things pretty much had to bump along without his engagement.
Quicker than you would think possible, morale took a nosedive. People felt a bit abandoned. Many grew uneasy and resentful. Throughout the district, there was a lot of frustration, some tension, and even a little fear. And any sense of a “culture of collaboration” rapidly evaporated.
Some called this period the “dark ages” of the district. It may have been less than coincidence that during this time, voters rejected a levy referendum for the first time in the history of the school system.
Of course, the board-consumed superintendent eventually moved on, and a new era was ushered in. Through fate or design, he was followed by a school leader who championed grassroots involvement, open communication, and decentralized decision making. Unlike his predecessor, the replacement felt that part of his job was to lead, educate, and even discipline the school board when necessary, not merely to serve it.
It should come as no surprise that things quickly returned to “normal,” and a more cohesive culture reemerged under this new leadership. And subsequent bond issues passed easily. If you think there’s a take-home lesson for all of us here, you’re right!
It was a different (but just as instructive) story for another urban superintendent I knew, who had the misfortune to follow a predecessor known for visibility, accessibility, and inclusiveness. By contrast, shortly after taking over, the newcomer told one of her principals that she didn’t have time to meet and mingle with the teachers standing close by during a visit to his school. Naturally, the story of the brush-off spread almost instantaneously throughout the district.
Soon after, at a meeting of district principals, the new superintendent responded to an administrator’s request for clarification by turning away from the questioner and saying to other principals nearby, “Did you understand what I said? Then you explain it to him. I don’t have time to repeat it.” Wouldn’t you know—this story also made the rounds of all the schools in record time.
Surprisingly (?), despite improved test scores, this tact-deprived superintendent lasted only 18 months. Could it have had anything to do with being totally out of touch with the prevailing culture of the district?
Even more blatant, perhaps, may have been the misstep of another newly hired superintendent in my old hometown, who announced, even before his first official day on the job, that “There will be no classroom
parties next year.” It might be possible to get off to a worse start, but I don’t know how. There’s nothing quite like debunking an organization’s culture before you even show up. Needless to say, this is not a recommended career move for any school official.
If you think these cases seem a little extreme or isolated, a more common example—one all of us have witnessed in some form—is the principal who is always bragging about the “family” atmosphere in his school, while in reality everyone knows that the staff is riddled with dissent, and the principal himself is viewed as a bully.
If you haven’t noticed this kind of disconnect between what is said and what is real, you’re not paying attention. Of course, a culture based on denial never fools anyone. It is frequently a surefire recipe for early departure.
Administrators like those above, who are not in tune with the culture of the school, quickly become irrelevant. They don’t matter. At best, they are ignored or patronized. They aren’t really leading anyone or anything anywhere, and don’t even know it. (Usually, no one has the heart to tell them that they are no longer running the school.) Instead, staff members merely tolerate their presence and pretty much do things their own way. You don’t want this to happen on your watch. As an old mentor once told me, “If the train leaves without you, you can’t rightly call yourself the engineer.”
In the final analysis, how people in any organization feel about the organization, themselves, their work, their leaders, and their future is largely the result of the culture. As leader, unless you have a handle on the culturally embedded beliefs, behaviors, and biases within the school, you are deprived of a powerful and essential leadership tool.
At the risk of repetition, it is the school’s culture that determines how honest people are, how happy they are, how hard they will work, how loyal they will be, and how much they will put up with. Likewise, it is the culture that attracts people to the organization—or drives them away. In short, a school can be only as good as its culture allows it to be.
This culture thing is a huge deal. As leader, you deny or downplay it at your peril. Your only real choices are to embrace the culture, enter into it, reinforce it, adjust it or adjust to it, challenge it, or work to mold, shape, redirect, or reinvent it—or sit on the sidelines—but you can’t simply ignore it and remain in charge.
Naturally, all administrators want the most affirming, actualizing, positive, productive, rewarding, and inspiring culture possible, not just for students but for teachers, parents, and the overall community as well. The best school cultures work for everyone. Such an inclusive, fully functioning culture can make your school not just another choice for students and parents but the best choice. Do you want to settle for anything less?
In practice, every principal and superintendent you’ve ever known or heard about claims to have created a school culture based on service,
integrity, equality, compassion, teamwork, and academic excellence (and perhaps “truth, justice, and the American way” as well).
You and I and everyone else in the world know that not all school cultures are alike. They are not always what they seem or claim to be.
There are many ways to be a school. That’s why you will find as many kinds of teaching and learning environments as there are separate institutions (see Chapter 2).
Every school looks a little different. And every school acts and reacts differently. The proof of the culture is in the behavior—not in the slogans.
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Role of Dexmedetomidine as Adjuvant to Bupivacaine in Ultrasonography-Guided Paravertebral Blockade in Thoracic Surgeries: A Prospective, Randomised, Double-Blind Study
Vishnuvardhan reddy\textsuperscript{1}, Rajkumar Reddy\textsuperscript{2}, Shyamala Balakrishna\textsuperscript{3}
\textsuperscript{1}Associate Professor, Department of Anesthesiology, Chalmeda Anand Rao Institute of Medical Sciences, Bommakal Village, Karimnagar, Telangana, \textsuperscript{2}Associate Professor, Department of Anesthesiology, Chalmeda Anand Rao Institute of Medical Sciences, Bommakal Village, Karimnagar, Telangana, \textsuperscript{3}Post Graduate Student, Department of Anesthesiology, Chalmeda Anand Rao Institute of Medical Sciences, Bommakal Village, Karimnagar, Telangana, India
Corresponding author: Shyamala Balakrishna, Post Graduate Student, Department of Anesthesiology, Chalmeda Anand Rao Institute of Medical Sciences, Bommakal Village, Karimnagar, Telangana, India
DOI: http://dx.doi.org/10.21276/ijcmsr.2020.5.3.5
How to cite this article: Vishnuvardhan reddy, Rajkumar Reddy, Shyamala Balakrishna. Role of dexmedetomidine as adjuvant to bupivacaine in ultrasonography-guided paravertebral blockade in thoracic surgeries: a prospective, randomised, double-blind study. International Journal of Contemporary Medicine Surgery and Radiology. 2020;5(3):C13-C16.
ABSTRACT
Introduction: Thoracic paravertebral block (TPB) is one of the effective methods for management of post-operative pain in thoracic surgeries. Study aimed to find out whether addition of dexmedetomidine to continuous bupivacaine infusion via paravertebral catheter in thoracic surgeries improves the analgesic profile of paravertebral bupivacaine.
Material and Methods: 50 ASA I-II patients aged 20–60 years were included in the study and scheduled for thoracic surgery. The subjects were categorized in to two groups. Group B patients received a bolus dose of 0.25% bupivacaine and group BD patients dexmedetomidine 1 µg/kg + 0.25% bupivacaine. Ultrasound-guided thoracic paravertebral block was carried out prior to general anaesthesia in all the subjects. Total morphine consumption was the primary outcome measured in the first post-operative 24 hours. The secondary outcomes assessed were visual analogue scale scores, peak expiratory flow rate, forced vital capacity and forced expiratory volume.
Results: The present study revealed no significant difference in demographic data between the groups. Group BD subjects showed low VAS scores at all the times (P < 0.05) and superior post-operative pulmonary functions.
Conclusion: The combination of paravertebral dexmedetomidine and bupivacaine in patients undergoing thoracic surgeries can provide a better analgesia, thus decreasing post-operative morphine requirements.
Keywords: Bupivacaine, Dexmedetomidine, Morphine, Paravertebral Blockade, Thoracic Surgeries.
INTRODUCTION
The paravertebral space is within the extrapleural space. Extending from thoracic levels 1 to 12, it is a wedge-shaped potential compartment bordering the vertebral bodies bilaterally. Paravertebral blockade (PVB) aims to result in ipsilateral somatosensory and sympathetic nerve block at multiple vertebral levels. Since its initial application for abdominal surgery, the technique has been adapted for rib fractures, flail chest, open cholecystectomy, hepatic-biliary surgery, outpatient inguinal hernia repair, major breast cancer surgery, and open thoracotomy patient populations.\textsuperscript{1,2}
Thoracotomy pain occurs as a result of severe thoracic wall trauma, including rib fracture and peripheral nerve damage. Since acute postoperative pain is also a predictor of longterm pain after thoracotomy, early and aggressive treatment of pain may help to reduce the currently high frequency of chronic pain. It was observed that proper analgesia permits effective cough, leading to clear secretions and prevention of mucus plugs and atelectasis.\textsuperscript{2}
Ultrasound guided technique in TPB is done as it allows enhanced paravertebral space localization with very few complications. TPB when compared to thoracic epidural block provides analgesia with additional haemodynamic stability owing to unilateral sympathetic block, Adjuvants used to enhance analgesia of paravertebral block are dexmedetomidine, magnesium, clonidine, and fentanyl.\textsuperscript{3,4}
Dexmedetomidine is a new generation highly selective α2-adrenergic receptor (α2-AR) agonist that is associated with sedative and analgesic sparing effects, reduced delirium and agitation, perioperative sympatholysis, cardiovascular stabilizing effects, and preservation of respiratory function. Single and continuous PVB block techniques have been successfully administered for post-thoracotomy pain control. However, the duration of single-dose administered PVB block is limited to the effect of administered local anesthetics.
A single shot technique using bupivacaine, levobupivacaine or ropivacaine can provide analgesia for up to 18 h. The addition of an adjuvant to local anesthesia may prolong block duration. Dexmedetomidine is a selective alpha-2 adrenergic agonist with both analgesic and sedative properties. When administered as a perineural adjuvant, dexmedetomidine reduces initial blocking time whilst prolonging sensory and motor blockade duration.\textsuperscript{5-8}
We carried this study to find out whether addition of dexmedetomidine to continuous bupivacaine infusion via paravertebral catheter in thoracic surgeries improves the analgesic profile of paravertebral bupivacaine.
**MATERIAL AND METHODS**
50 ASA I-II patients aged 20-60 years were included in the study and scheduled for thoracic surgery, from January 1 2019 to December 31 2019, after obtaining institutional ethical committee clearance and informed consent from the subjects. Prior to anesthesia induction, the paravertebral blockade procedure was performed by an anesthetist with ultrasonography. Cases were randomly stratified into two groups, B and BD.
**Exclusion Criteria**
1. Patients with significant respiratory disorders, cardiac diseases, coagulation disorders,
2. Patients allergy to local anaesthetics or dexmedetomidine,
3. Patients with communication difficulties.
0.25% bupivacaine at 0.3 mL/kg was given to Group B subjects in the paravertebral space for 5 minutes, later 0.125% bupivacaine by catheter was given which was continued till 24 hours postoperatively. Group BD subjects were given Dexmedetomidine 1 µg/kg + 0.25% bupivacaine. Then dexmedetomidine 0.2 µg/kg/h and 0.125% bupivacaine 0.1 mL/kg/h was given.\textsuperscript{6}
US guided TPVB was given prior to GA for all the subjects. GA propofol 2 mg/kg IV and fentanyl 2 µg/kg IV was administered. To facilitate tracheal intubation, Rocuronium 0.6 mg/kg IV was used.
Total morphine consumption was the primary outcome assessed and the secondary outcomes evaluated were VAS scores at different time intervals both at rest and on coughing, fentanyl required, peak expiratory flow rate (PEFR), forced expiratory volume in the first second (FEV1), and forced vital capacity (FVC).
**RESULTS**
There was no significant differences found in terms of demographics [Table 1]. Descriptive data of study subjects is presented in Graph-1. Group BD subjects showed lower VAS scores, which was statically significant with cough after 30 minutes, 2, 12 and 24 post-operative hours (P < 0.05, Table 2). Group BD subjects revealed superior post-operative pulmonary functions (Table 3).
Six patients from group B suffered from postoperative nausea and vomiting (PONV), while only two patients in group BD had (PONV). In group BD, four subjects had hypotension and two had bradycardia. In group B, two had hypotension and one had bradycardia. There were no evidence of any other complications in study subjects related to the paravertebral
| Variable | Group B (n=25) | Group BD (n=25) | P Value |
|---------------------------|---------------|-----------------|---------|
| Age in years: Mean ±SD | 47.75± 16.30 | 48.92±16.12 | 0.732 |
| Height in cm: Mean ±SD | 162.40±40.28 | 164.96±48.75 | 0.986 |
| Weight in Kg: Mean ±SD | 70.23±5.52 | 69.38±5.58 | 0.658 |
| Duration of Surgery in min. Mean ±SD | 282.63±51.36 | 284.45±50.87 | 0.691 |
| Gender: Male/Female Ratio | 15/10 | 16/9 | 0.75 |
*Table-1:* Demographic Data of The Study Subjects
| VAS score | Group B (n=25) | Group BD (n=25) | P value |
|-----------|----------------|-----------------|---------|
| | Median | Range | IQR | Median | Range | IQR | |
| VAS-R 30 min | 2 | 1-3 | 1-2 | 2 | 0-3 | 1-2 | 1.0 |
| VAS-R 2 h | 2 | 1-3 | 1-2 | 2 | 1-3 | 1-2 | 1.0 |
| VAS-R 4 h | 2 | 1-3 | 1-2 | 2 | 1-3 | 1-2 | 1.0 |
| VAS-R 6 h | 1 | 1-2 | 1-2 | 1 | 0-2 | 1-2 | 1.0 |
| VAS-R 12 h | 1 | 0-2 | 1-1.5 | 1 | 0-2 | 1-1 | 1.0 |
| VAS-R 24 h | 1 | 0-2 | 0.5-1 | 1 | 0-2 | 0-1 | 1.0 |
| VAS-C 30 min | 3 | 1-6 | 2-4 | 1 | 1-4 | 1-2 | 0.036* |
| VAS-C 2 h | 3 | 1-6 | 3-4 | 2 | 1-4 | 2-3 | 0.048* |
| VAS-C 4 h | 3 | 2-4 | 2-3 | 2 | 1-3 | 2-3 | 0.336 |
| VAS-C 6 h | 3 | 1-4 | 2-3 | 2 | 1-3 | 1-2.5 | 0.12 |
| VAS-C 12 h | 3 | 2-4 | 2-3 | 2 | 1-3 | 1-2 | 0.001* |
| VAS-C 24 h | 3 | 1-4 | 2-3 | 2 | 1-3 | 1-2 | 0.001* |
*Table-2:* VAS scores in both the groups
| Variable | Group B (n=25) | Group BD (n=25) | P value |
|---------------------------------|---------------|-----------------|---------|
| % of predicted preoperative PEFR| 80.4±15.42 | 77.32±14.24 | 0.64 |
| % of predicted 24 h postoperative PEFR | 42.89±14.27 | 63.82±14.98 | <0.001* |
| % of predicted preoperative FVC | 77.28±15.29 | 76.39±13.87 | 0.82 |
| % of predicted 24 h postoperative FVC | 43.12±13.67 | 61.28±15.38 | <0.001* |
| % of predicted preoperative FEV1 | 76.38±15.23 | 77.26±14.02 | 0.74 |
| % of predicted 24 h postoperative FEV1 | 44.29±13.92 | 63.92±16.98 | <0.001* |
**Table-3:** Pulmonary functions in both the Groups
**Graph-1:** Demographic data of the study subjects
**DISCUSSION**
The mechanism by which local anesthetic and dexmedetomidine produce analgesia are by sodium channel blockade and selective α-2 agonist actions respectively. Dexmedetomidine also has action at centre by α-2 adrenoreceptors of locus coeruleus, thus reducing substance P release and thereby inhibiting the nociceptive pathway. When compared with clonidine, dexmedetomidine has more specific α-2 agonist effect (8 times), hence has fewer undesirable actions that are α-1 receptors The α-2 agonist effect of.
Previous studies showed that with multiple injections there was improved quality and also duration of analgesia, but was accompanied by many complications. When fentanyl or clonidine was added to paravertebral bupivacaine, there was enhanced analgesia and reduced consumption of postoperative morphine in subjects undergoing breast surgeries. But there were increased incidences of post-operative complications like nausea, vomiting and hypotension.
Mohta et al showed that a single paravertebral bolus of dexmedetomidine when added to bupivacaine provided an enhanced analgesia and decreased post-operative morphine consumption, which was also seen in our case.
Hassan et al showed that addition of dexmedetomidine to local anaesthetic reduced the requirement of opioids in elective thoracotomy. Our observation also supports this view.
**Limitations**
1. We could not evaluate the incidence of post-thoracotomy pain syndrome, as our post-operative assessment was only for 24 hours.
2. Lower sample size,
3. We did not assess the degree of post-operative sedation.
**CONCLUSION**
The combination of paravertebral dexmedetomidine and bupivacaine in patients undergoing thoracic surgeries can provide a better analgesia, thus decreasing post-operative morphine requirements.
**REFERENCES**
1. Francine D Ercole, Harendra Arora and Priya A. Kumar, Paravertebral block for Thoracic Surgery, Journal of Cardiothoracic and Vascular Anesthesia, http://dx.doi.org/10.1053/j.jvca.2017.10.003.
2. Esme H, Apilogullari B, Duran FM, Yoldas B, Bekci TT. Comparison between intermittent intravenous analgesia and intermittent paravertebral subpleural analgesia for pain relief after thoracotomy. Eur J Cardiothorac Surg. 2012;41(1):10–3.
3. Mohta M, Kalra B, Sethi AK, Kaur N. Efficacy of dexmedetomidine as an adjuvant in paravertebral block in breast cancer surgery. J Anesth. 2016;30(6):252–60.
4. Moawad HE, Mousa SA, El-Hefnawy AS. Single-dose paravertebral blockade versus epidural blockade for pain relief after open renal surgery: a prospective randomized study. Saudi J Anaesth. 2013;7(2):61–7.
5. Kaur M, Singh PM. Current role of dexmedetomidine in clinical anesthesia and intensive care. Anesth Essays Res. 2011;5(2):128–133.
6. Hassan ME, Mahran E. Evaluation of the role of dexmedetomidine in improvement of the analgesic profile of thoracic paravertebral block in thoracic surgeries: A randomised prospective clinical trial. Indian J Anaesth. 2017;61(10):826–831.
7. Biçer C, Unalan EN, Akso R, Onal O, Gunes I. Addition of dexmedetomidine to bupivacaine in ultrasonography-guided paravertebral blockade potentiates postoperative pain relief among patients undergoing thoracotomy. Rev Bras Anestesiol. 2019;69(2):144–151.
8. Megha T, Hegde HV, Rao PR. Paravertebral block with morphine or dexmedetomidine as adjuvant to bupivacaine for post-operative analgesia in modified radical mastectomy: A prospective, randomised, double-blind study. Indian J Anaesth. 2018;62(6):424–430.
9. Biswas S, Das RK, Mukherjee G, Ghose T. Dexmedetomidine as an adjuvant to levobupivacaine
in supraclavicular brachial plexus block: A randomized double blind prospective study. Ethiop J Health Sci. 2014;24(5):203–8.
10. Mohamed SA, Fares KM, Mohamed AA, Alieldin NH. Dexmedetomidine as an adjunctive analgesic with bupivacaine in paravertebral analgesia for breast cancer surgery. Pain Physician. 2014;17(3):E589–98.
11. Moller JF, Nikolajsen I, Rodt SA, Ronning H, Carlsson PS. Thoracic paravertebral block for breast cancer surgery: A randomized double-blind study. Anesth Analg. 2007;105(2):1848–51.
12. Barlacu CL, Frizelle HP, Moriaty DC, Buggy DJ. Fentanyl and clonidine as adjunctive analgesics with levobupivacaine in paravertebral analgesia for breast surgery. Anaesthesia. 2006;61(4):932–7.
13. Dutta V, Kumar B, Jayant A, Mishra AK. Effect of continuous paravertebral dexmedetomidine administration on intraoperative anesthetic drug requirement and post-thoracotomy pain syndrome after thoracotomy: A randomized controlled trial. J Cardiothorac Vasc Anesth. 2017;31(2):159–65.
Source of Support: Nil; Conflict of Interest: None
Submitted: 10-05-2020; Accepted: 01-06-2020; Published online: 16-07-2020
|
Grade 4 Events Are as Important as AIDS Events in the Era of HAART
Ronald B. Reisler, MD, MPH, Cong Han, PhD, William J. Burman, MD, Ellen M. Tedaldi, MD, and James D. Neaton, PhD
Objective: To estimate incidence and predictors of serious or life-threatening events that are not AIDS defining, AIDS events, and death among patients treated with highly active antiretroviral therapy (HAART) in the setting of 5 large multicenter randomized treatment trials conducted in the United States.
Methods: Data were analyzed from 2947 patients enrolled from December 1996 through December 2001. All patients were to receive antiretrovirals throughout follow-up. Data collection was uniform for all main outcome measures: serious or life-threatening (grade 4) events, AIDS, and death.
Results: During follow-up, 675 patients experienced a grade 4 event (11.4 per 100 person-years); 332 developed an AIDS event (5.6 per 100 person-years); and 272 died (4.6 per 100 person-years). The most common grade 4 events were liver related (148 patients, 2.6 per 100 person-years). Cardiovascular events were associated with the greatest risk of death (hazard ratio = 8.64; 95% CI: 5.1 to 14.5). The first grade 4 event and the first AIDS event were associated with similar risks of death, 5.68 and 6.95, respectively.
Conclusions: Grade 4 events are as important as AIDS events in the era of HAART. To adequately evaluate the impact of HAART on morbidity, comorbidities and other key factors must be carefully assessed.
Key Words: morbidity, mortality, HAART, AIDS, comorbidities
(J Acquir Immune Defic Syndr 2003;34:379–386)
The introduction of highly active antiretroviral therapy (HAART) and an improved understanding of HIV-1 viral dynamics led to a dramatic decline in US AIDS-related morbidity and mortality beginning in 1996.1–4 This dramatic decline, together with the hope that HIV could be eradicated,5 led clinicians and HIV treatment guideline committees to adopt an aggressive strategy in treating HIV,6 focusing primarily on the benefits of HAART: “hit early, hit hard.”7,8 However, as current antiretroviral therapy is unable to eradicate HIV,8 and is associated with increased toxicities, HIV treatment guideline committees have recently adopted a less aggressive set of guidelines for treating HIV.9,10
All 4 classes of antiretrovirals (ARVs) and all 19 Food and Drug Administration–approved ARVs have been directly or indirectly associated with life-threatening events and death.11–13 However, the cause of many serious or life-threatening events is multifactorial and clear attribution to the use of HAART, specific ARV drugs, HIV infection, or other factors is frequently not possible. Potential risk factors for the development of life-threatening clinical events among HIV-infected individuals on HAART include HIV virus–host interactions14–17 stage of HIV disease,18–20 ARV drugs,9,11–13 genetic predisposition,21–25 age,26 comorbid conditions,27–35 coinfections (e.g., hepatitis B or hepatitis C),36–44 concomitant medications,43,45–49 nutritional status,50–55 recreational drugs,56–58 alcohol,59–62 other social behaviors and practices,53,59–62 and physician experience.63,64
The short-term toxicities and benefits of HAART have been well described in the setting of clinical trials; however, data quantifying morbidity in the era of HAART are limited. We therefore estimated the incidence and determinants of serious or life-threatening events that are not AIDS defining, AIDS events, and death among patients treated with HAART in the setting of 5 large multicenter randomized treatment trials conducted in the United States.
METHODS
Study Population
The Terry Beirn Community Programs for Clinical Research on AIDS (CPCRA) is a National Institutes of Health–funded clinical trials group that conducts research through a national network of community-based clinical sites. The trials were conducted in 18 community-based units located in 16 cities throughout the United States: Chicago, IL; San Francisco, CA; Detroit, MI; New York, NY; Portland, OR; Houston, TX; Atlanta, GA; New Haven, CT; Newark, NJ; Camden, NJ; Philadelphia, PA; Washington, DC; Albuquerque, NM; New Orleans, LA; Denver, CO; and Richmond, VA. Each unit provides HIV primary care but differs in its configuration, varying from geographically limited, hospital clinic–based units to geographically widespread units with a variety of hospital-based, private practice, community health care, and health maintenance organization providers.
Patients participating in 1 of 5 CPCRA clinical trials formed the cohort for this investigation.\(^{65–69}\) These trials were chosen because they used a common system for collection of adverse events and AIDS events, and in all studies patients were to receive antiretroviral therapy (ART) throughout follow-up. Two studies were comparisons of initial HAART regimens (NVR: CPCRA 042 and FIRST: CPCRA 058)\(^{65,66}\), one study evaluated the effect of stopping prophylaxis for MAC (Mycobacterium Avium Complex) (CR-MAC-CPCRA 048)\(^{67}\); one study evaluated the effect of interleukin-2 (IL-2) on viral load and CD4 cell count (IL-2: CPCRA 059)\(^{68}\); and another study (MDR: CPCRA 064) is evaluating the effect of a 4-month interruption of ART on clinical progression.\(^{69}\) For the latter 2 studies, only patients enrolled in the control groups (i.e., the group without IL-2 in CPCRA 059 and the group assigned to receive continuous ART in CPCRA 064) were used in these analyses.
Data Collection
At the time of enrollment, a medical history was obtained, and demographic data and risk behaviors were recorded. CD4\(^+\) T-lymphocyte (CD4\(^+\)) cell count measurements were performed by the laboratory normally used by the patient’s health care provider. In 3 of the studies, serology for hepatitis B (hepatitis B surface antigen) and hepatitis C (hepatitis C antibody) infection was analyzed. During follow-up, for each of the 5 trials, deaths, AIDS events,\(^{68}\) and non–AIDS-defining events considered severe or life threatening (i.e., meeting grade 4 severity status) were reported using standardized forms and procedures.
With regard to AIDS events, all possible AIDS events were reviewed by an endpoints review committee to determine whether the criteria for the event were met. Those events that met criteria as probable or definite clinical AIDS events were included in these analyses. For these analyses, AIDS events were defined as clinical events that have been associated with advanced HIV-related immunodeficiency that meet the 1993 revised Centers for Disease Control AIDS surveillance definition with 2 exceptions: a CD4\(^+\) cell count of <200 was not counted as an AIDS event, and recurrent bacterial pneumonia was not counted as an AIDS event. The rationale for this definition has been described previously.\(^{70}\)
For these analyses, grade 4 events are defined as non-AIDS-related events considered severe or life threatening (i.e., meeting grade 4 severity status). Grade 4 events included laboratory abnormalities, clinical signs and symptoms, diseases, and clinical syndromes. In the case of grade 4 laboratory abnormalities, specific criteria for grade 4 severity is specified in a toxicity manual devised by the Division of AIDS, National Institutes of Allergy and Infectious Diseases, National Institutes of Health. For many clinical conditions, specific criteria for defining grade 4 severity are stated in the manual. In some cases clinical judgment was used to determine the severity grade. In such cases, the following guideline was given to characterize a grade 4 event: “extreme limitation in activity—significant assistance required; significant medical intervention/therapy required, hospitalization or hospice care possible.”\(^{71}\) For the sake of this analysis, we have presented the most common grade 4 events and have grouped them accordingly: cardiovascular events were grouped to include cardiac or vascular events (i.e., cardiac arrest, myocardial infarction, cerebrovascular accident, deep vein thrombosis, pulmonary embolism, unstable angina, congestive heart failure, and splenic infarct); kidney-related events were grouped to include kidney failure, grade 4 elevation in serum creatinine (>6× upper level of normal [ULN]), and HIV-related nephropathy; hemorrhage events were grouped to include gastrointestinal bleeding, bleeding (at an unspecified location), nose bleeding, and hematuria (gross); liver-related events were grouped to include grade 4 transaminase elevations (>10× ULN), grade 4 elevations of bilirubin (>5× ULN), clinical hepatitis, fulminant hepatitis, liver failure, toxic hepatitis, cirrhosis, fatty liver, hepatic encephalopathy, and liver disorder/disease; pancreatitis events were grouped by grade 4 elevation of amylase (>5× ULN), grade 4 elevation of lipase (>5× ULN), and clinical pancreatitis; thrombocytopenia events included grade 4 diminution of platelets (<20,000/mm\(^3\)) and idiopathic thrombocytopenic purpura; psychiatric events included suicide attempt, suicidal ideation, hallucinations, depression, anxiety/panic attack, delirium, psychosis, paranoia, bipolar disorder, and manic hyperactivity/agitation; grade 4 anemia is defined as diminution of hemoglobin <6.5 g/dL; and grade 4 neutropenia is defined as absolute neutrophil count <500/mm\(^3\).
Importantly, according to protocol, any event considered to be grade 4 in severity was to be reported irrespective of the relationship to the treatments under investigation and irrespective of any other medications taken concomitantly. Grade 4 events were to be reported even if study treatments had been...
temporarily discontinued. All grade 4 events were reported, not just the first to occur. At minimum, patients were to be seen every 4 months during follow-up. Grade 4 events were centrally reviewed by a nurse who coded the event according to a coding system based on the 9th revision of the International Classification of Diseases.\textsuperscript{71}
We performed a subset analysis with regard to liver events, attempting to see whether chronic viral hepatitis coinfection impacted on grade 4 liver events, grade 4 events overall, AIDS events, and death. In the serology analysis, we limited our analysis to the 3 studies that collected hepatitis serology at baseline: CPCRA 058, CPCRA 059, and CPCRA 064. In these 3 studies, serology for hepatitis B (hepatitis B surface antigen) and hepatitis C (hepatitis C antibody) infection was performed at baseline. This analysis reflects 1628 patients from these 3 studies with baseline serologies that were treated with ART. The serology data were collected uniformly in these 3 studies, although the assay methodology varied by site and over time. We do not attempt to compare this subset to the overall group. To facilitate the analysis of the impact of chronic viral hepatitis coinfection on the incidence of grade 4 events, mortality, and AIDS, in the serology cohort, we considered hepatitis B and hepatitis C together.
**Statistical Analysis**
Incidence rates per 100 person-years are cited, as well as cumulative event probabilities based on Kaplan-Meier estimates. Proportional hazards regression was used to study predictors of grade 4 events and to estimate the risk of death associated with different types of grade 4 events. Hazard ratios (HRs) obtained from the regression model were adjusted for the following covariates assessed at the time of enrollment: age, gender, race, injection drug use, body mass index, CD4 cell count, prior AIDS, and use of prior ART. Regression analyses were also stratified by protocol (5 strata). Two-sided $P$ values and 95% CIs are cited. To determine the risk of death associated with grade 4 and AIDS-defining events, the development of the event was considered a time-dependent covariate in the regression analysis. These analyses were adjusted for the same set of baseline covariates as mentioned previously. The closing date used for time-to-event analyses was July 2000 for 2 of the studies (CPCRA 048 and CPCRA 059),\textsuperscript{67,68} December 31, 2001 for 1 study (CPCRA 042),\textsuperscript{65} and February 28, 2002 for the 2 ongoing studies (CPCRA 058 and CPCRA 064).\textsuperscript{69,69} All analyses ignored treatment interruptions during follow-up. In that respect the analyses carried out here are analogous to an intent-to-treat analysis for a clinical trial.
**RESULTS**
Between December 1996 and December 2001, 2947 patients with a diagnosis of HIV infection were enrolled into 1 of 5 CPCRA clinical trials defining the cohort for this analysis. Patient’s clinical status ranged from relatively early HIV disease to advanced HIV disease (Table 1). Fifty-three percent of patients were ARV naive, and 47% were treatment experienced at the time of enrollment. Average age was 39.3 years; 83% were male and 17% were female; 41.5% were white, 44.8% were African American, and 13.7% were Latino. Approximately 16% of patients reported a history of injection drug use, and 55% reported homosexual activity as an HIV risk factor. CD4\textsuperscript{+} cell count averaged 211 cells/mm\textsuperscript{3} (interquartile range: 38–322 cells/mm\textsuperscript{3}), and 40.0% had a prior clinical AIDS diagnosis.
All patients in this cohort were prescribed ART following enrollment. At 12 months of follow-up, 1951/2120 (92%) were prescribed ART with 1475/2120 (70%) on protease inhibitor–based regimens, 421/2120 (20%) on nonnucleoside reverse transcription inhibitor–based regimens (no protease inhibitor), and 55/2120 (3%) solely on nucleoside reverse transcription inhibitors. Thus, at 12 months, 169/2120 (8%) had either temporarily or permanently discontinued ART.
Median follow-up was 20.7 months (interquartile range: 13.3–32.3 months), a total of 5940 person-years. During follow-up, 675 patients experienced a grade 4 event (1.14 per 100 person-years); 332 developed an AIDS event (5.6 per 100 person-years); and 272 died (4.6 per 100 person-years). Cumulative event curves are shown in Figure 1. The cumulative percentage of patients with a grade 4 event after 12, 24, and 36 months are, respectively, 15.6%, 23.7%, and 30.8%. Corresponding percentages for AIDS are, respectively, 7.3%, 10.8%, and 16.5% and corresponding percentages for death are, respectively, 3.9%, 7.9%, and 13.1%.
The most common grade 4 events were: liver related (148 patients; rate = 2.6 per 100 person-years), neutropenia (89; 1.5/100 person-year); anemia (64; 1.1/100 person-year);
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**TABLE 1. Baseline Characteristics of 2947 Patients in Cohort**
| Characteristic | Value |
|---------------------------------|----------------|
| Age (yrs) | 39.3 ± 8.8 |
| CD4\textsuperscript{+} cell count (cells/mm\textsuperscript{3}) | 210.6 ± 215.5 |
| Body mass index (kg/m\textsuperscript{2}) | 24.4 ± 4.8 |
| Gender | |
| Male (%) | 83.0 |
| Female (%) | 17.0 |
| Race | |
| White (%) | 41.5 |
| African American (%) | 44.8 |
| Latino (%) | 13.7 |
| Risk Factors | |
| Prior intravenous drug use (%) | 15.9 |
| Homosexual | 55.0 |
| Prior AIDS (%) | 40.0 |
| AR naïve (%) | 53.0 |
| AR experienced (%) | 47.0 |
cardiovascular (51; 0.89/100 person-year); pancreatitis (50; 0.85/100 person-year); psychiatric (44; 0.75/100 person-year); kidney-related (34; 0.58/100 person-year); thrombocytopenia (32; 0.54/100 person-year); and hemorrhage (25; 0.42/100 person-year) (Fig. 2).
**Incidence of Clinical Events by Baseline CD4+ Cell Count**
The numbers of patients and rates per 100 person-years of risk for AIDS, grade 4 events, and death are summarized in Table 2. The rates of each type of event increased with lower CD4+ cell count levels. The slope of this relationship was much steeper for AIDS and death than for grade 4 events. As a consequence, among patients with higher CD4+ cell counts, the great majority of events occurring were grade 4 events.
**Baseline Predictors of Grade 4 Events Using a Multivariate Model**
Based on multivariate analysis of predictors of any grade 4 event and specific grade 4 events, younger patients (for every decade in years, HR = 0.83, \( P = 0.0001 \)) and patients who were ARV naive (HR = 0.59, \( P = 0.001 \)) had a lower risk of grade 4 events; patients with a history of injection drug use (HR = 1.41, \( P = 0.0006 \)), lower baseline CD4+ cell count (for every 100 cells, HR = 1.06, \( P = 0.04 \)), and a prior diagnosis of AIDS (HR = 1.22, \( P = 0.03 \)) had an increased risk of grade 4 events. Female gender was significantly associated only with grade 4 neutropenia (HR = 1.76, \( P = 0.03 \)), while African American race was associated with neutropenia (HR = 3.78, \( P = 0.0001 \)), anemia (HR = 2.46, \( P = 0.008 \)), and kidney-related events (HR = 22.41, \( P = 0.0025 \)). Latino race was associated with neutropenia (HR = 2.75, \( P = 0.01 \)). Higher body mass index at entry was associated with significantly less neutropenia (for 1 kg/m\(^2\) HR = 0.93, \( P = 0.01 \)) and less anemia (HR = 0.90, \( P = 0.003 \)).
**Risk of Death Associated With Grade 4 Events and AIDS**
Of the 272 deaths, 117 experienced an AIDS event during follow-up prior to death and 153 experienced a grade 4 event prior to death. One hundred fifty-nine patients (69 of whom died later) experienced both a grade 4 and an AIDS event. Table 3 gives the risk of death associated with each of these categories of grade 4 events, the first grade 4 event that occurred, and the first AIDS event that occurred. Cardiovascular events were associated with the greatest risk of death (HR = 7.08; 95% CI: 4.2–12.1). The first grade 4 event and the first AIDS event were associated with similar risks of death: 5.68 and 6.95, respectively.
**Hepatitis Serology Subset**
Baseline results of serologic testing for hepatitis B and C were available for 1628 patients. Seroprevalence in this subset was as follows: 6.4% for hepatitis B infection (positive hepatitis B surface antigen); 17.9% for hepatitis C infection (positive hepatitis C antibody); 0.7% for both hepatitis B and hepatitis C; and 24.3% for hepatitis B and/or C. Among the 1628 patients with baseline hepatitis serology information, the rate of grade 4 adverse events was 11.2 per 100 person-years for those not coinfected, 14.9 for those coinfected with hepatitis B, 16.7 for those coinfected with hepatitis C, and 16.4 for those coinfected with hepatitis B and/or hepatitis C.
Coinfection with hepatitis B was strongly associated with an increased risk for developing a grade 4 liver event, with a HR = 5.97 (95% CI: 3.05–11.71; \( P = 0.0001 \)). Similarly, coinfection with hepatitis C was strongly associated with an increased risk for developing a grade 4 liver-related event with a HR = 2.74 (95% CI: 1.29–5.84; \( P = 0.009 \)). Hence, coinfection with hepatitis B or hepatitis C yielded a HR = 4.15 (95% CI: 2.26–7.60; \( P = 0.0001 \)). After adjustment for other covariates, coinfection with hepatitis B or hepatitis C was not significantly associated with developing any grade 4 event, HR = 1.27 (95% CI: 0.92–1.74; \( P = 0.15 \)), mortality, HR = 1.19 (95% CI: 0.61–2.32; \( P = 0.60 \)), or AIDS (HR = 1.20; 95% CI: 0.70–2.05; \( P = 0.51 \)) (Table 4).
**DISCUSSION**
This is one of the first analyses to quantify the rate of serious or life-threatening events, AIDS events, and death in a large cohort of patients treated with HAART. Our principal
finding is that the rate of grade 4 events is greater than the rate of AIDS events, and that the risk of death associated with these grade 4 events was very high for many events. Thus, the incidence of AIDS events fails to capture most of the morbidity experienced by patients with HIV infection prescribed HAART. Furthermore, among patients with higher CD4+ cell count, those for whom the benefits of therapy are most uncertain, nearly all of the morbidity was due to grade 4 events. For patients with lower CD4+ cell counts, the rates of both grade 4 and AIDS events were higher. Nonetheless, it is reassuring that these rates are much lower than rates seen in a similar cohort that received dual nucleosides.\textsuperscript{52} Thus, although more effective ART is associated with decreased morbidity from both grade 4 and AIDS events, significant morbidity remains.
We believe these findings have 2 immediate implications. First, the usual procedure used in clinical trials of collecting adverse event data only while patients are taking study therapy and not collecting adverse event data after patients discontinue study treatment may need to be reevaluated. It is entirely possible that treatments may cause toxicities (e.g., liver damage or acceleration of atherosclerosis) that may not be apparent while the patient is taking the therapy and may only be manifest many months or years later. A rigorous intention-to-treat analysis for adverse event data as was employed here could provide important data with respect to establishing the toxicity profile of different regimens. Also, longer-term follow-up is necessary as many adverse events are not likely to emerge in the limited follow-up carried out for treatment trials for licensure.\textsuperscript{73} As has been recently pointed out by others, complete and rigorous safety data collection and reporting in trials\textsuperscript{74,75} would be exceedingly helpful. Perhaps trials could incorporate review committees of medical experts to classify serious events uniformly.
A second implication of these findings is that there is a need to carefully assess comorbid conditions, socioeconomic status, recreational drug and alcohol use, and concomitant medications at baseline and throughout follow-up. If therapy could be optimized to reduce the incidence of these serious or life-threatening events by even a modest amount, the impact on morbidity and mortality would be great. For example, patients at increased risk for cardiovascular events might benefit from being placed on a protease inhibitor–sparing HAART regimen.\textsuperscript{76,77} Similarly, patients with a history of severe depression may be better off with an efavirenz-sparing HAART regimen.\textsuperscript{79,80}
The findings for patients coinfected with hepatitis B and/or C emphasize the importance of evaluating comorbidities. Patients coinfected with hepatitis B and/or C have higher incidence rates of grade 4 liver events. In multivariate analyses for these patients who were all prescribed HAART, hepatitis B and/or C coinfection was the only significant predictor of grade 4 liver events, the most common grade 4 event seen in this cohort. It is possible that the risks and benefits of HAART therapy on morbidity and mortality are different among patients with these coinfections.
Likewise, our finding that African American race was associated with an increased risk of renal events illustrates the
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**TABLE 2. Rate of AIDS, Grade 4 Events, and Death by Baseline CD4+ Cell Count**
| Baseline CD4+ Cell Count (cells/mm³) | No. Patients With Event | Rate* | No. Patients With Event | Rate* | No. Patients With Event | Rate* |
|-------------------------------------|-------------------------|-------|-------------------------|-------|-------------------------|-------|
| <200 | 298 | 7.5 | 471 | 11.8 | 241 | 6.1 |
| 200–399 | 25 | 2.2 | 130 | 11.6 | 23 | 2.0 |
| ≥400 | 6 | 0.8 | 71 | 8.9 | 6 | 0.8 |
*Per 100 person-years.
---
**TABLE 3. Risk of Death Associated With Grade 4 Events and AIDS***
| Event | Hazard Ratio | 95% CI | P value |
|------------------------|--------------|------------|---------|
| Cardiovascular | 7.08 | 4.15–12.05 | 0.0001 |
| Kidney related | 4.60 | 2.45–8.66 | 0.0001 |
| Hemorrhage | 4.41 | 1.97–9.89 | 0.0003 |
| Liver related | 3.49 | 2.38–5.12 | 0.0001 |
| Pancreatitis | 3.40 | 1.82–6.33 | 0.0001 |
| Thrombocytopenia | 2.66 | 1.37–5.15 | 0.004 |
| Psychiatric | 1.91 | 0.79–4.63 | 0.15 |
| Anemia | 1.76 | 0.998–3.09 | 0.051 |
| Neutropenia | 1.02 | 0.61–1.72 | 0.93 |
| Other adverse event | 3.64 | 2.70–4.91 | 0.0001 |
| Any grade 4 event | 5.68 | 4.33–7.44 | 0.0001 |
| AIDS | 6.95 | 5.26–9.18 | 0.0001 |
*Development of the event was considered a time-dependent co-variate in this regression analysis. This analysis was adjusted for age, gender, race, injecting drug use, baseline CD4+ cell count, prior AIDS, body mass index, and use of ARVs prior to enrollment.*
TABLE 4. Association of Hepatitis B and/or Hepatitis C Coinfection With Clinical Events
| Event | No. Patients With Events | Unadjusted Hazard Ratio | 95% CI | P Value | Adjusted Hazard Ratio* | 95% CI | P Value |
|---------|--------------------------|-------------------------|--------------|---------|------------------------|--------------|---------|
| Liver | 52 | 3.00 | 1.75–5.11 | 0.0001 | 4.15 | 2.26–7.60 | 0.0001 |
| Grade 4 | 274 | 1.52 | 1.19–1.96 | 0.001 | 1.27 | 0.92–1.74 | 0.15 |
| AIDS | 97 | 1.29 | 0.84–1.98 | 0.24 | 1.20 | 0.70–2.05 | 0.51 |
| Death | 66 | 1.85 | 1.14–3.01 | 0.01 | 1.19 | 0.61–2.32 | 0.60 |
*Hazard ratio (coinfected with B or C vs. not coinfected) adjusted for age, gender, race, injecting drug use, baseline CD4+ cell count, prior AIDS, body mass index, and use of ARVs prior to enrollment.
difficulty in attribution of adverse events to HAART outside of the context of a randomized trial. It is well established that blacks have a higher risk of renal failure than whites in the US population. Whether HAART exacerbates this risk is uncertain. If it does, and we know that some specific drugs have been associated with acute renal changes (e.g., adefovir), then this would be an important consideration for risk stratification for starting or maintaining ART.
Our study had several limitations. Grade 4 event classifications were crudely grouped for the purpose of this analysis and were composed of laboratory and/or clinical events. Grade 4 events were not reviewed and classified with the same rigor as AIDS events (e.g., a central review committee of medical experts was not used to classify grade 4 events). Some potentially important predictors were not adjusted for in the multivariate analysis (e.g., history of grade 4 event prior to enrollment, socioeconomic status, recreational drug and alcohol use, co-morbid conditions besides hepatitis B or C infection, and concomitant use of other medications). Finally, this observational analysis cannot clearly establish an association of specific grade 4 events with ART, in general, or with specific treatments. Some patients continued the same regimen throughout follow-up, whereas others stopped or started new regimens during follow-up.
In summary, morbidity and mortality for patients with HIV infection have been substantially reduced with HAART. However, morbidity remains high in the era of HAART. Better evidence is needed to determine how much of this morbidity is directly due to HAART. To adequately assess the impact of HAART on morbidity, we need to obtain more comprehensive data with regard to comorbid conditions, socioeconomic status, recreational drug and alcohol use, and concomitant medications at baseline and throughout follow-up.
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44. Steketee RW, Nahlen BL, Parise ME, et al. The burden of malaria in pregnancy in malaria-endemic areas. *Am J Trop Med Hyg*. 2001;64:28–35.
45. Fichtenbaum CJ, Gerber JG, Rosenkranz SL, et al. Pharmacokinetic interactions between zidovudine and efavirenz in HIV seronegative volunteers: ACTG Study A5047. *AIDS*. 2002;16:569–77.
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50. Wheeler DA, Albert CL, Lauver CA, et al. Weight loss as a predictor of survival and disease progression in HIV infection. Terry Beirn Community Programs for Clinical Research on AIDS. *J Acquir Immune Defic Syndr Hum Retrovirol*. 1998;18:80–85.
51. Villamor E, Msamanga G, Spiegelman D, et al. HIV status and sociodemographic correlates of maternal body size and wasting during pregnancy. *Eur J Clin Nutr*. 2002;56:415–424.
52. Shulman I, Chang CT, Klein RS. Prevalence and predictive value of overweight in urban HIV care clinic. *J Acquir Immune Defic Syndr*. 2001;26:291–297.
53. Forrest JE, Woods MN, Knox TA, et al. Body composition and dietary intake in relation to drug abuse in a cohort of HIV-positive persons. *J Acquir Immune Defic Syndr*. 2001;26:541–547.S48.
54. Shorter-Green G, Cunningham G, et al. When obesity is desirable: a longitudinal study of the Miami HIV-1-infected drug abusers (MIDAS) cohort. *J Acquir Immune Defic Syndr*. 2000;23:81–88.
55. Melchior CJ, Nyiongwo T, Henzel D, et al. Malnutrition and wasting, immunodepression, and chronic inflammation as independent predictors of survival in HIV-infected patients. *Nutrition*. 1999;15:865–869.
56. Luciw PA, Gebo KA, Chaisson RE, et al. Longitudinal assessment of the effects of drug and alcohol abuse on HIV-1 treatment outcomes in an urban clinic. *AIDS*. 2002;16:767–774.
57. Flexner CW, Cargill VA, Sinclair J, et al. Alcohol use can result in enhanced drug metabolism in HIV+ chemotherapy. *AIDS Patient Care STDs*. 2001;15:57–58.
58. Lucas GM, Chaisson RE, Chaisson RE, et al. Detrimental effects of continued illicit drug use on the treatment of HIV-1 infection. *J Acquir Immune Defic Syndr*. 2001;27:251–259.
59. Shapiro MF, Morton SC, McCaffrey DF, et al. Variations in the care of HIV-infected adults in the United States: results from the HIV Cost and Services Utilization Study. *JAMA*. 1999;281:2305–2315.
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|
The Wireless Age
"America's Foremost Radiophone Review"
April 25 Cents
Tubes for Every Requirement
Vacuum tubes are used for two distinct individual purposes in a receiving set—as DETECTORS and as AMPLIFIERS. The qualifications of a tube for these two uses are so different that for maximum efficiency tubes of entirely different design must be used.
This point was one of the chief considerations of the research engineers who designed Cunningham tubes in the great laboratories of the General Electric Company. After years of research and experimental work, the Cunningham C-300, a SUPER-SENSITIVE DETECTOR, the Cunningham C-301, a DISTORTIONLESS AMPLIFIER, and the Cunningham C-301A, a LOW FILAMENT CURRENT AMPLIFIER, were developed. These three tubes, now nationally recognized as standards for all types of receiving sets, are responsible for the highly perfected results obtainable in radio phone reception.
The trade mark GE is the guarantee of these quality tubes. Each one is built to most rigid specifications.
TYPE C-300
Super-Sensitive DETECTOR
$5.00
TYPE C-301A
¼ Amp. Fil-Current Amplifier and Detector
$6.50
Patent Notice — Cunningham tubes are covered by patents dated 11-7-25, 1-15-26, 4-28-26 and others issued and pending. Licensed for amateur, experimental and entertainment use in radio communication. Any other use will be an infringement.
Home Office:
248 First Street
San Francisco, Calif.
Eastern Representative:
154 West Lake St.
Chicago, Illinois
New Radio DRY CELL "A" Battery for WD-11 Tubes
The Dry Cells in this 1½ volt, 4-cell, steel case, New EVEREADY "A" BATTERY were developed especially for use with WD-11 Vacuum Tubes. Last longer than Dry Cells made for other purposes. Longer Service Hours Means Economy. Only two connections.
Also made in two other sizes: 2-cell, 1½ volt, No. 7211 and 1-cell, 1½ volt No. 7111.
FOR BETTER RESULTS USE
EVEREADY Radio Batteries
NO ACID • NO NOISE • SAFE CLEAN • • • ECONOMICAL
For the "B" or Plate Circuit use EVEREADY "B" Batteries
April, 1923—Contents
Cover Design, By O. J. Schuls
Editorials - - - - - - - - 17
Pictorial Section - - - - - - 18
Radio's Chance in the Prison,
By Mrs. Maud Ballington Booth - - 23
Maria Samson, Interviewed by Claire Bell - 26
"Give Truth the Open Field," By S. W. S. - 27
Radio Aid for the Movies, By Marion Davies 30
Titta Ruffo, Interviewed by Paul S. Gautier 31
Lillebil Ibsen, Interviewed by T. J. Dunham 32
Where Doctors Prescribe Radio,
By Sam Loomis - - - - - - 33
KSD, St. Louis, Missouri - - - - 35
Where Your Receivers Come From,
By Ward Seeley - - - - - - 37
How Radio Helps to Make It the Majestic 39
Radiophone Broadcasting - - - - 40, 43
Latin America Listens In, By Geo. W. Gether 41
Distant Broadcasting Stations Heard - - 44
Listening In Here and There - - - - 45
Cartoons - - - - - - - - 46
Humor - - - - - - - - 47
Broadcasting Station Directory - - - - 48
World Wide Wireless - - - - - - 50
Radio Revolution Not Yet Here,
By Carl Dreher - - - - - - 52
The Neutrodyne Receiver,
By Abraham Ringel - - - - - 54
DX Transmission From a New York Apartment,
By R. L. Duncan - - - - - - 60
For Instant Tuning on Board Ship - - - 61
Keeping an Accurate Check on the A Battery,
By Dr. Arthur R. Garvey - - - - 62
English Report on the Trans-Atlantics - 63
French Report on the Trans-Atlantics,
By Dr. Pierre Corret - - - - - 64
Importance of Lead-in Arrangements,
By Samuel C. Miller - - - - - 65
Production of WD-11 and WD-12 Dry Cell Tubes - - - - - - - - 66
Novel Method of Modulating an A. C. Set 66
That Loop Receiver, By L. W. Van Slyck 67
New Appliances and Devices - - - - 68
N. A. W. A. - - - - - - - - 70
Stations Worked and Heard - - - - 71
Queries Answered - - - - - - 72
Advertisers' Index - - - - - - 94
Amateur Radio Stations of the United States 95
PUBLISHED MONTHLY AT WIRELESS PRESS, INC., 326 BROADWAY, NEW YORK
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Guy R. Entwistle
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George S. DeSousa, Treas.
J. O. Smith, Business Mgr.
Entered as second class matter Dec. 9, 1913, Post Office Department, N. Y., under the Act of March 3, 1879. Copyright, 1923, Wireless Press, Inc. When subscription expires you will find a renewal blank enclosed. Return with remittance promptly. Notify us of any change in your address, giving both the old and new headings.
Because certain statements and expressions of opinion from correspondents and others appearing in these columns from time to time may be found to be erroneous or contradictory in scientific circles and in the courts, either now or in the future, and to sometimes involve questions of priority of invention and the comparative merits of apparatus employed in wireless signaling, the editors and publishers disclaim any liability positively and emphatically disclaim any priority or responsibility for any statements of opinion or partisan expressions if such should at any time appear herein.
Printed in U. S. A.
"The Wireless Age is a member of the Audit Bureau of Circulations. During the last six months of 1922 there were printed 204,650 copies of THE WIRELESS AGE Of this issue 33,000 copies are printed."
Here's the Comparison of Fine Adjustment Control Range of FIL-KO-STAT with Rheostats and Other Filament Controls Clearly Indicating How FIL-KO-STAT Excels and Showing Wherein it Permits Perfect and Gradual Current Increase With Infinite Adjustments
Graphic proof of FIL-KO-STAT superiority as shown here can be had in any laboratory equipped with Bureau of Standards Instruments.
Practical proof of FIL-KO-STAT superiority is evident the moment you put FIL-KO-STATS in place of the devices you now use to regulate filament action.
FIL-KO-STAT Best Filament Control
You have been eagerly waiting for just this instrument Mr. Set Builder, amateur or manufacturer. It marks a step forward in Radio. It is not an adaptation of some old method of current control. It is not a rheostat. IT IS A FILAMENT CONTROL, distinctly designed to utilize the great tuning possibilities of the vacuum tube itself.
Its superiority is proven by every test. It regulates the FILAMENT HEAT. It gives absolute control of the ELECTRONIC FLOW and consequently permits THE FINEST TUNING POSSIBLE.
Perfect and gradual increase of filament heat assures longer life to the tube. Fine adjustment of fractional currents makes it ideal for use with Dry Cell tubes.
And infinitesimal control of electronic flow gives a corresponding control of fine detection so absolutely essential in DX tuning.
The time to replace all other filament control devices with FIL-KO-STATS is now. Say "FIL-KO-STAT" to your dealer today. If he has none in stock send his name and your remittance direct to
SOIL INTERNATIONAL DISTRIBUTORS
RADIO STORES CORPORATION
218-222 West 34th St.
Dept. WP NEW YORK
WIRE ORDERS FILLED TO JOBBERS AND DEALERS
FIL-KO-STAT is very compact (exact size shown) it takes little space on the panel. So mountable it can replace any other control without redrilling.
PRICE $2.00
When writing to advertisers please mention THE WIRELESS AGE
Professor Hazeltine of Stevens Institute of Technology, Hoboken, N. J., after several years' work evolved the "neutrodyne" circuit which neutralizes the capacity coupling between the various parts of the circuit.
A broad license has been granted to FADA to manufacture radio equipment using this new "neutrodyne" circuit, and the "One-Sixty" receivers have been in production for several weeks.
The FADA "One-Sixty" is a four tube set incorporating tuner, two stages of tuned radio frequency amplification, vacuum tube detector and two stages of audio frequency amplification, one tube being reflexed.
From New York City, using only a 50 ft. aerial around the picture molding in a fourth floor apartment, the following broadcasting stations have been listened to, using in all cases, a loud speaker:
| WSB | Atlanta, Ga. |
|-------|--------------------|
| KDKA | Pittsburgh |
| WFAA | Dallas |
| KYW | Chicago |
| WDAF | Kansas City |
| WOAI | San Antonio |
| WOC | Davenport |
| WBAP | Fort Worth |
| KSD | St. Louis |
| WGM | Atlanta |
| KFI | Los Angeles |
| WDAP | Chicago |
| WHAS | Louisville |
| PWX | Havana, Cuba |
With the FADA "One-Sixty" receiver you will have the most modern receiver possible to design, and one that allows ultra-efficient reception of broadcasted concerts as well as long distance amateur 200 meter signals.
A four page bulletin has been published describing in detail the FADA "One-Sixty." We will be glad to send you a copy on request.
F. A. D. ANDREA
1581-C Jerome Avenue
New York City
The mechanical design and construction of the receiver has been given a great deal of attention and the workmanship is of the high grade class for which FADA instruments and parts are noted.
When every hour counts
BILL wanted to make his radio set as quickly as possible. The ABC station was broadcasting some "great" concerts every day.
But at the very beginning there was a delay in getting his panels. It wasn't a long delay, but he was impatient and wanted to make every hour count.
You, Bill, and every radio set-builder can avoid such a delay by getting Celoron Standard Radio Panels. These panels are made in seven sizes, selected to meet every requirement of the set-maker. You don't have to wait for your panel to be cut. There's no extra expense for cutting to your order. You go to your dealer and give him the size. He has a Celoron panel which you can carry home with you at once.
Thus, for the first time, as far as we know, panels are on the market ready for the consumer. Each panel comes trimmed and wrapped separately in glassine paper to protect the surface. On each one are full instructions for working and finishing.
Celoron makes an ideal panel. It is easily worked, machine drilled and tapped and will engrave evenly without feathering. After thorough tests it has proved to have all the essential characteristics for radio work. It has high surface and volume resistivity, high dielectric strength and low dielectric losses. That's the reason thinking radio enthusiasts who want the highest type panel insist upon Celoron.
Select from these sizes the one you need:
1. — 6 x 7 x 3/8
2. — 7 x 9 x 3/8
3. — 7 x 12 x 3/8
4. — 7 x 18 x 3/16
5. — 9 x 14 x 3/16
6. — 7 x 21 x 3/16
7. — 12 x 14 x 3/16
Make every hour count in making your radio set. If your radio dealer has not yet stocked these panels, ask him to order for you. Or write direct to us. Be sure to designate by number the size you want.
Diamond State Fibre Company
BRIDGEPORT (near Philadelphia) PENNSYLVANIA
BRANCH FACTORIES AND WAREHOUSES
BOSTON CHICAGO SAN FRANCISCO
Offices in Principal Cities
In Canada: Diamond State Fibre Company of Canada, Limited
245 Carlaw Avenue, Toronto
To radio dealers:
Condensite Celoron Radio Panels in standard sizes offer an exceptional opportunity in quick sales and substantial profit. Write for special dealer price list showing standard assortments.
EVERYDAY RECEPTION over distances that far outstrip the commonly accepted records — this (not baseless claims) is the evidence of Mu-RAD superiority. The only set that can achieve such astonishing sensitivity, using a small loop aerial. Delightfully fine selectivity. With all this efficiency and completeness, utterly simple to operate. Each set guaranteed for 1000 miles reception.
4300 MILES
on an indoor loop aerial
Four thousand, two hundred and seventy-eight miles away in Honolulu, the Royal Hawaiian Orchestra plays for delighted listeners in St. Louis, U.S.A., through their Mu-RAD Receiving Set. An example of Mu-RAD supremacy.
Write For Literature.
Mu-Rad Laboratories, Inc.
808 Fifth Ave. Asbury Park, New Jersey
The New Star in the Radio World
When writing to advertisers please mention THE WIRELESS AGE
Why do you do it?
Do you lug your battery to have it charged?
Do you put off lugging it down street until it runs down and fails to give good results?
How many good concerts do you miss or only half hear?
With Tungar in the house you are prepared for best results always, and without having to move the battery an inch.
Tungar—the go-between from house lighting circuit to battery, attaches wherever there is a lamp or convenience outlet. Just turn it on and leave it, any time day or night. Its cost of operation is low. It makes convenient the necessary charging that prolongs battery life.
Tungar has no moving parts to cause trouble. It is certain, clean, quiet.
Good for the auto battery too, the same Tungar.
See it at any good electrical shop, or write for literature.
Address Section WA 4.
Merchandise Department
General Electric Company
Bridgeport, Connecticut.
Charge 'em at Home, with
Tungar
BATTERY CHARGER
A GENERAL ELECTRIC PRODUCT
Brandes
ARE you getting long distance radio stations—are you catching clear and distinct the faintest signals that mark the extreme range of a good receiving set? A Brandes Matched Tone Radio Headset will make the faint signals understandable. The two receivers are perfect sound-mates—they are matched in tone to improve the clearness of the message. Brandes Matched Tone Headsets are guaranteed to get the best results obtainable from any set.
Send ten cents in stamps for the "Beginner's Book of Radio." It explains radio in terms that anyone can understand.
Distributors in Australia and New Zealand: International Electric Co., Wellington, N. Z.
Made in Canada and England by Canadian Brandes Limited, Toronto and London
Distributed in Canada by Perkins Electric Limited, Toronto, Montreal, Winnipeg
C.Brandes, Inc. - 237 Lafayette St., N.Y.C.
Matched Tone
TRADE MARK REG. U.S. PAT. OFF.
Radio Headsets
When writing to advertisers please mention THE WIRELESS AGE
Magnavox prices are the result of Magnavox quality
IN the long run, the price of the really successful and satisfactory product is set by the purchaser—not by the maker or the dealer.
Because when the manufacturer and dealer charge too much for a product, they destroy its market; and when they charge too little they destroy its quality—which results in the something—loss of market.
Magnavox Radio products are of the highest quality—and their prices bring them within reach of every serious radio user.
R2-18 Magnavox Radio (With 18-inch horn)
This instrument is intended for those who wish the utmost in amplifying power; for clubs, hotels, dance halls, large audiences, etc. It requires only .6 of an ampere for the field.
Price $60.00
R3-14 Magnavox Radio (With 14-inch horn)
As illustrated
The ideal instrument for use in homes, offices, amateur stations, etc. Same in principle and construction as Type R-2.
Price $35.00
AC Magnavox Power Amplifier
As illustrated
For use with the Magnavox Radio and insures getting the largest possible power input.
2-stage, $55.00
3-stage, $75.00
Magnavox Radio, can be used with any receiving set of good quality. Ask your dealer to demonstrate it with the Magnavox Power Amplifier, as illustrated. This combination produces the most satisfactory results.
What matters bad weather when Radio entertains?
RADIO'S "every-hour-every-where" broadcast schedule is the most stupendous organization of the means of entertainment the world has ever witnessed.
So responsive have people been to the opportunity of enjoying these programs at their best that Magnavox equipment has become synonymous with the full enjoyment of radio music and speech for an ever-greater circle of satisfied users.
Magnavox Products can be had from good dealers everywhere. Our interesting new booklet will be sent on request.
The Magnavox Co., Oakland, California
New York: 370 Seventh Avenue
MAGNAVOX
Radio
The Reproducer Supreme
When writing to advertisers please mention THE WIRELESS AGE
CROSLEY Model X $55
A 4 Tube Radio Frequency Set
The hit of the radio world. Not until you have listened in on a Crosley Model X can you appreciate the wonders of radio. Every day letters are received from satisfied customers telling of far distant stations clearly and distinctly heard.
The Crosley Model X offers you by far the greatest value on the radio market today. It is a four tube set, consisting of one stage of tuned radio frequency, detector and two stages of audio frequency amplification. It is very easy to tune, and eliminates static and local interference to a remarkable degree. Because of its simplicity, any one may quickly tune in the desired broadcasting station to maximum volume.
Listen In On A Crosley Model X And You Will Have No Other.
For Sale By Good Dealers Everywhere.
CROSLEY MANUFACTURING COMPANY
428 ALFRED ST.
CINCINNATI, OHIO
CROSLEY Model VD $19
Regenerative Receiver Set
(Licensed under Armstrong
U. S. Patent 1113149)
There is no other one-tube set being manufactured today that will give better results than produced by the Crosley Model VD Regenerative Radio Receiver. The proud owner of one of these instruments can bring in any powerful station in the United States. Stations more than 1,000 miles away are being copied regularly on this set. Equal in every respect to the guaranteed performance of this instrument are its finish and appearance. It is made in two models as follows:
Model VD—With overhanging lid, Tuner Detector 2 Stage Amplifier panel engraved, without tubes, batteries or phones. Price $19 $17
Model VC—With regular new style Adam Brown mahogany cabinet, panel engraved, Price $20 $18
Compare these prices with anything on the market.
The cabinets of both models are arranged so that the now popular 1½-volt tubes may be used if desired. The trade name "Crosley" is used by permission of the Crosley Manufacturing Company.
For Sale by Good Dealers Everywhere.
Write for Complete Catalog.
THE PRECISION EQUIPMENT COMPANY
POWEL CROSLEY, JR., President
428 GILBERT AVE.,
CINCINNATI, OHIO
When writing to advertisers please mention THE WIRELESS AGE
How much do you expect your battery to do?
TURNING the dials with a battery that is a constant offender is not much fun. You cannot thoroughly enjoy radio broadcastings unless your battery is up to the job.
Exide Radio Batteries are conservatively rated and give full ampere-hour capacity. They maintain steady voltage and deliver uniform filament current to the tubes. From plates to connector terminals each detail is the result of experience gained in every field of battery service by the oldest and largest makers of storage batteries in the world.
Exide Batteries play a leading role in the industrial world. They propel trucks, mine locomotives, and submerged submarines; they operate the fire alarm system and send your voice over the telephone. Most of the government and commercial wireless stations are equipped with Exide Batteries.
Your radio dealer will show you an Exide Radio Battery, or you can get one at any Exide Service Station.
THE ELECTRIC STORAGE BATTERY CO.
Philadelphia, Pa.
Service Stations Everywhere
Branches in Seventeen Cities
When writing to advertisers please mention THE WIRELESS AGE
Popular!
-for good reasons
RADIO enthusiasts wanted an expertly designed, moderate-priced set that any intelligent man or woman could operate. So we built the Popular, to sell at a popular price.
Just two dials to turn to find the stations broadcasting within a range of 500 miles. As you become more experienced you can reach out twice as far. You don't have to become an expert to operate this set to your complete satisfaction. But the more you know about radio, the better you will appreciate it.
The fine piano finish, mahogany case, moulded and shielded panel, Bakelite dials and splendid beauty of the Popular promises you a set you will be proud to own. And that promise comes true! It is the ideal set for busy folks who want the thrills of radio.
THE C. D. TUSKA CO., Hartford, Conn.
Popular No. 225
Tuska Regenerative Receiving Set
Tuska receiver, detector and 2-stage amplifier. Armstrong regenerative circuit, licensed under Armstrong, U.S. Pat. No. 1,113,149. Sensitivity over a range of 100 miles. Loud volume for nearby broadcasting. Clear, pure and undistorted tones. Can be used with phones or loud speaker.
Send for Catalog No. 17
TUSKA RADIO
When writing to advertisers please mention THE WIRELESS AGE
Almost all of the officials of the world's largest radio manufacturing and commercial radio company—its superintendents, district managers, foremen and traveling representatives are former wireless operators—nearly all of them graduates of the Radio Institute of America.
The practical experience gained at sea is invaluable and affords knowledge that cannot be gained elsewhere.
A government commercial radio operator's license certificate paves the way for a successful future, but although you may possess such a license you are not assured of a position. Wireless companies want trained men—young men who have been efficiently trained and who, in addition to possessing the necessary qualifications to secure a license, can be relied upon to render real radio service—that is the kind of training you get in the Radio Institute of America.
The eastern division of the Radio Corporation of America accepts no inexperienced wireless operators in its service other than the graduates of the Radio Institute of America—again it is the training that counts.
Investigate the advantages offered through taking our instruction. Our class rooms and laboratory contain a more complete equipment of radio apparatus than any wireless school in the United States and our instruction is the most sound and thorough.
For the benefit of those who cannot attend our resident schools we maintain a HOME STUDY COURSE covering the entire radio theory from magnetism and elementary electricity through to commercial apparatus of the latest design. Code is taught by means of specially constructed transmitters.
Our instruction covers the entire radio field—our graduates cover the world.
Detach that coupon and send it today.
Radio Institute of America
(Formerly Marconi Institute)
ESTABLISHED 1909
America's Oldest and Foremost Radio School
326 Broadway, New York, N. Y.
BRANCH RESIDENT SCHOOL:
331 Call Building, New Montgomery Street
San Francisco, Cal.
Please indicate whether Home Study or Resident School is desired
RADIO INSTITUTE OF AMERICA
326 Broadway, New York
Please send me information concerning your
HOME STUDY
RESIDENCE
Course of Instruction.
Name ...........................................
Street No. ..........................................
City ..............................................
State ..............................................
When writing to advertisers please mention THE WIRELESS AGE
NATURALLY, at this early stage, the Art of Radio Communication is not standing still. It is undergoing a normal evolution.
The low-hung, straight line automobile of today is unlike its cart-like predecessor of twenty years ago, although the principle of locomotion remains the same.
So, too, the design of Radio apparatus advances. Insulated panels and live shafts are supplanted by metal panels and completely insulated instruments—the obvious thing to do, making unnecessary the use of a shield. Unsightly, protruding knobs are replaced by recessed dials and straight tuning bars, permitting fine adjusting without cramping the hand. The tap switch is removed entirely from the panel and becomes an integral part of the vario-coupler, being placed inside the rotor, thus eliminating all soldering of primary leads.
It is significant that all these improvements have been developed in the Eisemann laboratories.
Descriptive literature will be sent to dealers upon request
EISEMANN MAGNETO CORPORATION
William N. Shaw, President
BROOKLYN, N. Y.
DETROIT CHICAGO
When writing to advertisers please mention THE WIRELESS AGE
ATWATER KENT Receiving Sets and Parts
Complete Set, consisting of Type 11 Tuner, one stage of Radio Frequency Amplification and Detector 2-stage Audio Frequency Amplification. Other complete sets are shown in the circular.
ATWATER KENT Receiving Sets and Parts are built with the most particular care. From the moulding of the condensite forms and winding of the various coils, through the assembling and finishing of the units to the final mounting and wiring, every step is subjected to the most rigid inspection. It must be "just so." This is the reason why ATWATER KENT radio equipment has that "different" look that makes it instantly noticeable in any surrounding.
Atwater Kent products sell on appearance
But appearance is not the only feature that is watched. Even though the factory is pushed to its utmost capacity by the extraordinary demand for ATWATER KENT sets and parts, every unit is carefully tested to make certain that its performance is right. By this means, the radio fan is sure of getting a part or set that is not only strikingly handsome in appearance, but works perfectly, and gives the utmost satisfaction.
They stay sold on quality of performance
ATWATER KENT MANUFACTURING COMPANY, PHILADELPHIA, PA.
Radio Department 4946 STENTON AVE. Write for Literature
When writing to advertisers please mention THE WIRELESS AGE
Elegance and Scientific Precision Combined!
YOU will welcome a Kennedy Receiving Set in your home. Its distinguished appearance lends itself to the most refined surroundings and outwardly reflects the accuracy and precision exercised in its manufacture.
In a cabinet of beautifully finished hardwood and mounted behind a richly polished panel you will find a series of precision instruments—each correctly designed in itself and each exactly co-ordinated with the balance of the set.
Ease of control, long distance reception, elimination of interference and the utmost pleasure and satisfaction in its use are assured with a Kennedy receiver.
Arrange with your Kennedy Dealer for a demonstration. Or write us direct for further information.
THE COLIN B. KENNEDY COMPANY
SAN FRANCISCO SAINT LOUIS
KENNEDY
The Royalty of Radio
When writing to advertisers please mention THE WIRELESS AGE
ALTHOUGH the English Government, after twelve long years of deliberation and delay, has finally decided to allow private enterprise to construct high-powered wireless stations and operate them so as to provide an adequate and reliable means of communication with the Dominions, colonies and foreign countries, the paralyzing effect of government ownership or control of communication is perfectly exemplified in the present-day wholly inadequate system of the British Empire.
Twelve years ago Great Britain led the world in wireless telegraphy. Now that country ranks fourth or fifth among the Great Powers in radio facilities. While this applies generally to commercial traffic, the lack of facilities for press messages has forced so great a dependence on the cable as to seriously limit the exchange of intelligence with other countries.
Seeking the reason for Great Britain's present position, it is found to be due entirely to the decision of the government, twelve years ago, that the proposed linking up of the whole British Empire was too important, too comprehensive an undertaking for private or commercial interests, and was one which could be successfully handled only by the government itself. Under which policy, in more than a decade the government has accomplished practically nothing.
Meantime the United States has encouraged private enterprise to build one high-powered trans-oceanic station after another, and is freely interchanging intelligence with the rest of the world. France, under private ownership, has built a great radio central at St. Assise, and is also enjoying free and uninterrupted communication with the world at large. Germany is conducting a world-wide service through the privately owned stations at Nauen and Elvisee. Japan covers the Far East and the Pacific, while Italy, Sweden and Poland and several countries of South America are rapidly building powerful stations and will soon join the great family of nations enjoying unrestricted communication with the rest of the world.
The British Isles, however, are not the only sufferers because of lack of proper communication facilities; the nation's colonies waited patiently, but in vain, for twelve long years for a communication system that would keep them in close touch with the mother country and with each other. Tired of waiting for a scheme which never materialized, the great Dominions of Canada, Australia and South Africa have gone ahead independently, making arrangements with private or commercial interests for the erection and operation of high-power stations that will give them adequate facilities for a prompt exchange of business traffic and general information.
England as a nation, however, has been seriously handicapped by the policy of government control of her communication systems, holding rigidly to the limited and inflexible cable, when she could have been enjoying the unlimited and flexible facilities of radio.
Radio, as a means of international communication, already has proven itself by the unparalleled service it has rendered to government, to industry and to world trade, and the nation that refuses to enlist the aid of the initiative and enterprise of private capital is certain to suffer by inadequate provision of its unparalleled facilities for an easy exchange of intelligence.
AS had been feared, there was no action on the part of the Sixty-Seventh Congress on the White Radio Bill. In the February issue of *The Wireless Age* it was stated to be problematical whether the Senate would reach consideration of the measure before adjournment on March 4. The direct cause of the failure of the Senate to act was the pressure of other legislation, principally the Ship Subsidy Bill. Now this legislation, so important to the radio industry, is delayed, for another year or more, when the same or another bill resembling it will have to be presented and discussed and amended all over again.
Meanwhile, Secretary of Commerce Hoover will have to do the best possible job in reducing interference under the severe handicap of inadequacy of the obsolete, but existing, 1912 law. The conference held at Washington on March 20 was in the interest of all concerned, in an endeavor to find a way out of the present intolerable situation. What transpired there will later be recorded in these pages.
Unless the President should call Congress for extraordinary session—which seems a remote possibility now—patience and tolerance will have to be the watchwords for many months to come, with a continuance of the irksome conditions in broadcasting, which for some time have caused so much annoyance to 2,000,000 listeners.
The failure of the Senate to act on the White radio bill is a certain source of regret to everybody concerned.
THE war between France and Germany is on again, this time, however, it is only a non-casualty radio war, with France victor in the first round.
For it appears that the feelings of the French were ruffled recently when the Germans, in the course of radiophone concerts from Berlin, inserted some reports on the Ruhr situation and ended the program by singing "Deutschland Uber Alles."
After hearing this a few times the French got busy with the Eiffel Tower station, tuned the transmitter to the same wave length used by the Berlin station and as soon as Ruhr reports began, or the war song was heard, started operation, making the Berlin concerts inaudible through the interference.
And then the Germans were ruffled.
After a few days of this, however, the Germans cut out the reports and the song, and stuck to a straight musical program.
Thus the radio war of 1923 ended. Outraged feelings replaced bloodshed with the entrance of radio into the field of diplomacy.
MARION DAVIES has been heard on the air with a beauty talk, but she has in mind an even more important duty for the radio telephone to perform, with the cooperation of the movies. She wrote a special article to tell you about it. You will find it on page 30.
Broadcasting Artists Who Tell of Their Work
MARIA SAMSON, Hungarian soprano, thinks songs of all nations sung by radio should assist Americanization work.
TITTA RUFFO has sung in every country except Japan, China and India. His biggest audiences have been radio ones. On page 31 is told why he broadcasts.
LILLEBIL IBSEN, granddaughter-in-law of the famous Norwegian author and a dancer of international fame, tells in an interview on page 32 her impressions of broadcasting.
Clinching Radio's Claim to Versatility
America has had a radio controlled auto, but England has a wireless-operated model dirigible, the invention of Major Phillips. It has astonished London vaudeville audiences.
This little boy is hearing the human voice for the first time. His headset is connected with a powerful amplifier, developed for radio use, but here attached to a microphone into which Miss Clara Cooper speaks.
The new Foo Doo in Porto Rico—only this is white magic, not black, and much to be enjoyed. PWX, at Havana, is entertaining these colored retainers on the farm of Senor Pessino.
Dr. Albert Abrams, of San Francisco, has all sorts of electric machines for diagnosing diseases, even at a distance, and other doctors are either very enthusiastic or very skeptical. Here he is shown with a new machine that registers love waves—wonder what Cupid thinks of it?
From permanent waves to radio ones—girls of the Y.W.C.A., New York City, learn all about wireless from Miss Abby Morrison, who is a well-known radio expert and an occasional contributor to The Wireless Age. These girls may soon be as expert as she is.
New Evidence of Radio's Appeal to All
That's not a bank that Master Robert Scott holds in his right hand. Oh, no, it's something much better—a radio receiving set! How tiny it is beside the 50-watt tube.
"Bow Wow!" said Strongheart, talking over CFCN at Calgary to invite dogdom to Banff's winter carnival. Of course, it's a loud speaker he's barking at, but that's a mere detail.
While Americans have been pestered by a severe winter, South Americans have been enjoying a balmy summer, and nowhere more than here, at Rio de Janeiro, where SPC, the new broadcasting station on Mount Corcovado, now is operating. The light on top of the mountain, seen across the Bay of Botafogo, is that of SPC, which has been giving Brazilians their first taste of broadcasting. Artists do not have to ascend to the top; instead, they perform in a special studio near the entrance to the Brazilian National Exposition, as explained in the article on page 41.
Radio Receivers for Prisons—An Appeal
Just one place where a radio set would make men over—the prison school at Auburn, N. Y.
On the opposite page is printed a stirring article by Mrs. Maud Ballington Booth, famous leader of the Volunteers of America.
She says that radio can give no greater service to humanity anywhere than in the prisons, which need the touch and help of the normal world as only radio can give it to them.
Prison funds are not available for the purchase and installation of receivers. If the prisoners, upon whose regeneration the property and even lives of many of us depend, are to realize the benefit of radio, YOU must be the ones to place it within the walls that confine them. YOU must place it within their reach.
The radio impulses that fill the ether and penetrate your home also carry their messages of news, entertainment, and, most important of all, education, into the prisons. It only remains to supply the means of making them intelligible, through receiving sets.
These are the prisons that Mrs. Booth has visited and which she knows can profit greatly by the use of radio:
GIVE RADIO TO THESE PRISONS:
| New York | Connecticut |
|----------------|-----------------|
| Sing Sing | Wethersfield |
| Auburn | |
| Dannemora | New Jersey |
| Comstock | Trenton |
| Massachusetts | Maryland |
| Charleston | Baltimore |
| New Hampshire | Ohio |
| Concord | Columbus |
| Michigan | Iowa |
| Jackson | Fort Madison |
| Iona | Virginia |
| Marquette | Richmond |
| Illinois | California |
| Joliet | Folsom |
| Kansas | St. Quentin |
| Lansing | Federal Prisons |
| Florida | Ft. Leavenworth, Kans. |
| Raiford | Atlanta, Ga. |
Will you help give these institutions of correction and education their most important equipment—receiving sets?
Contributions of instruments, funds, and services are needed.
All instruments should be commercial apparatus of recognized worth and excellence. Funds—in such amount as you feel able to give. Inasmuch as they are intended for the charitable radio purposes of the Volunteers of America, contributions are not subject to income tax. Services of experts who live or work in the vicinity of the above prisons are desired.
The Wireless Age will act as treasurer and custodian of the funds and apparatus for the Volunteers of America, and will give the advice, co-operation and services of its staff and representatives in assuring the success of each prison installation. In addition, to each prison in which a radio set is installed through this appeal, a set of radio books will be given:
BOOKS TO BE CONTRIBUTED BY THE WIRELESS AGE:
Modern Radio Operation, by J. O. Smith.
An Introduction to Radio.
Practical Wireless Telegraphy, by E. E. Bucher.
Wireless Experimenter's Manual, by E. E. Bucher.
Radio Telephony, by Dr. A. N. Goldsmith.
These books give popular and technical information covering all phases of radio, and enable both the poorly-educated man and the more intellectual one to understand the subject.
Send all letters to, and make checks payable to
The Wireless Age—Volunteers of America Radio Fund
326 Broadway, New York City
(Contributions will be acknowledged in The Wireless Age.)
Radio's Chance in the Prison
Need for Radio Receiving Sets in the Penal Institutions Everywhere — Great Woman Humanitarian Appeals for Equipment
By Mrs. Maud Ballington Booth
(Famous Leader of the Volunteers of America)
WHEN I talked over the radio, from a broadcasting station in New York, I at once realized the wonderful cheer and help that could be brought through this miracle of modern times, to those shut away behind prison walls. I have already given twenty-six years of my life to our country's prisoners and have studied earnestly all phases of prison reform. I naturally asked myself how could radio help those men to better themselves.
Perhaps no one in this country knows the prison world better than I do, for I have traveled from prison to prison, from New York to San Francisco and from Maine to the Gulf, year in and year out for a quarter of a century and you will readily understand that I have had time and opportunity to study not only the subject of prison reform but to learn to know the men themselves. I come into personal touch with them, and to me they are not criminals tagged by the name of their crime — "burglar," "forger," "pickpocket." They are men, individuals, my personal friends; and I can truly say that my knowledge of them has taught me how well worth saving they are.
There was a time long years ago when prison was spoken of and thought of as a place that could be likened to the junk heap for the human family. That which was worthless, broken, vile, good for nothing, was cast there and surprise was expressed if you spoke of the possibility of these men coming back to live lives that would be good, worthy and worth while after a prison experience.
Thank God, the world's viewpoint has vastly changed. Not only has prison reform within the walls made mighty strides but on the outside people realize that prison is a place to reform and make men over, not to break by mental and brutalize them by physical punishment. We realize that prisons must be to the morally faulty what the hospital is to the physically unfit. The larger the number of cures, the better the prison and its methods. A prison today must not be judged by the amount of money its factories earn for the state, but by the number of good citizens it can turn out.
Of course in all work for those who have broken the law and sinned against right living we can only succeed if we start out with the firm belief that they are worth saving. It is for those who work with and for the prisoners to find the grain of gold that exists in every heart, even amid the dross of an evil past. To those of us who believe in the miracle working power of Divine Love and aid, there is no room for doubt and pessimism.
This may seem a roundabout way of starting an article on radio for the prison, but I want my readers to divest their minds at the outset of the miserable fog of old prejudice regarding prisons and prisoners.
If we look for a new and better future for these men and women within the prisons, we must bring into their lives all the good inspirations and influences that will help them; and in this it seems to me that radio can be considered as an invaluable aid.
When I first began my work for the prisons there was very little brought into them from the outside world. No lectures, concerts or messages from the civilization that they had left entered those stern walls and in many prisons they never saw a daily paper, but lived lives that were absolutely cut off from the world of the living. It was as if they had been consigned to a tomb, forgotten, except by their own wives, mothers and dear ones. Alas, as many of them were friendless they passed years and years without a letter or a visit or a touch of sympathy from the outer world.
In some of the prisons they have libraries. Sometimes really good ones, but from the blessed companionship of books the illiterate were shut out. The work that they did in the shops was often of the monotonous kind that occupied the fingers but did not interest or develop the mind. Some prisons possessed not even the help of a library. One that I visited had not even a Bible, only six torn and tattered hymn books. I gave them at once a little library of two hundred new books which New York publishers sold me at a very generous discount. This stirred up the interest of that state and before long they had a fair collection of books.
Now the view often taken of the prisoner is that he is embittered against
society and sits in his cell brooding and plotting how to get even with those who have enforced the law against him and making new and ingenious plans for the perpetration of crimes after his release. To those who know prison conditions of over twenty years ago this might seem a very natural outcome of long dreary hours of idleness, and unfortunately in many cases it was.
It is different now.
Let me tell you the story of an old timer in Menard, the Southern State Penitentiary of Illinois. His sentence was over and he stepped into the Warden's office to say good-bye. As he smilingly shook hands he said, "This is the last time, Warden. I am never coming back again." The Warden laughed and patting him upon the back said, "Ah, but you have been in several times. Why do you think you will never come back?"
With a smile he answered: "It is quite different this time. I'll tell you about it. When I served time before I didn't know anything. I could not read, I could not write; I never had an education. After the day's work had been done I went into my cell and sat there thinking, and I had nothing good to think about.
"I would just think over the old times and go back to the old places in my mind and I was always lonely, but when I came to prison this time they had got the school started. I went to school, I learned to read and write. I got some education. Then when I could read I got some books and every night in my cell I could read what other people had done in the world. I read history and I read about travels, and I read what other people think and do, and I was never lonely any more. I saw a new wide world that I had never known anything about.
"Now I am going to be honest and work. I have tried to do that before and then when I got to my room each night after my work I would be lonely. I would have nothing to do, nothing to think about that was good, and if I went out and mixed with the old companions, then I got into trouble. Now after my day's work is over I'll be able to go to my room and read books or be able to read the papers and see what is going on in the world. I'll never be lonely and I am sure I will be able to keep out of trouble."
So, smiling and happy, he went out to face life with this new gift that had been given him. This education, limited as it was, had opened his eyes to a new world he had never known before.
Now to show you that the prisoner himself wants to improve his mind and prepare for a better future, let me cite the prison at Columbus, Ohio, of which Mr. P. E. Thomas is warden. There are fifteen hundred correspondence courses being taken there and these men are studying every night in their cells after the day's work is over. Does that not speak volumes for their desire
These Prisons Need Radio Sets
| New York | Michigan |
|----------|----------|
| Sing Sing | Jackson |
| Auburn | Iona |
| Dannemora| Marquette|
| Comstock | Illinois |
| Massachusetts | Joliet |
| Charleston | Kansas |
| New Hampshire | Lansing |
| Concord | Florida |
| Connecticut | Raiford |
| Wethersfield | Iowa |
| New Jersey | Fort Madison |
| Trenton | Virginia |
| Maryland | Richmond |
| Baltimore | California |
| Ohio | Folsom |
| Columbus | St. Quentin |
Federal Prisons
Pt. Leavenworth, Kans.
Atlanta, Ga.
and ambition to improve their opportunity?
In many of our prisons there are very successful schools for the illiterate and those who need them are marched to the school room when the others go to the work shop. The school work is made an essential part of their prison work. In other prisons it is a night school that does this valuable service.
Still I have not reached the radio: but I think you can see that I am getting there by degrees.
I realize that to talk of "Radio for the Prisons" will at once make some people—the sort who speak before they think—cry out against "entertaining and pampering prisoners." Let me remind you that all work and no play—or should I say, recreation—has always been found to have a dulling influence on the human mind, retarding its progress. Giving of some good clean interest or amusement at proper times to the men in prisons has been found by our wardens to improve the discipline and morale of the prison population.
Saturday afternoon baseball games, relaxation periods each day in the prison yard, and moving pictures once a week, a concert every now and then—these are thoroughly approved by even the most conservative of our prison officials.
I confess that I am conservative. I believe more emphasis should be laid on education and instruction and that entertainment should not be over-emphasized in prison development. Movie shows and concerts every night seem to me unwise, for they are not possible even in the life of the honest working man enjoying his freedom.
But I do not feel that radio stands only for entertainment. It is contact, helpful contact, with the outside world of thought and progress. Through the air can come not only wonderful music and thrilling voices in song, but messages of inspiration from the great minds of our country and all sorts of lectures on educational subjects.
Think what it would mean to men studying night after night in their cells, to hear the voice of some great authority speaking clearly and helpfully on the very subject of their study, just as if the lecturer stood in their midst.
When radio is installed in our prisons I myself hope to be able to talk to scores of prison audiences at one time, whereas it now demands thousands of miles' travel and weeks of time to reach them individually. I have a wide influence in the prisons where the "boys" have adopted me as their "Little Mother" and I long for this more constant touch with them, that will then
be possible. Then it occurs to me that many of our great men, men whose thought counts for a great deal can through the ether, send a message of cheer and inspiration, whereas they could not possibly drop their own work to travel to the prisons.
Now you will understand why I want to see installed in all the prisons named in the accompanying list, a good radio receiving set with loud-speaking device that can be used in the Prison Chapel.
Will you help me in this enterprise? You have the interest and enjoyment that radio brings right into your own home, but you can still go out to the concerts, can hear your favorite preacher, see your new play and go to the movies, while these "boys" are shut in.
The radio would mean so much more to them than to those of us who have our freedom.
Will you not send to them your message of good cheer with the wish that they too may come out into the world some day to make good? Perhaps the Kiwanis Clubs and Rotary Clubs in the different states will make this one of their kindly acts for their own state prisons.
Next month I hope to give you a message from some of our leading wardens on this subject. As the "Little Mother" of the Nation's Prisoners I ask you to help them generously, and do it now.
You may send receiving instruments, or checks, but preferably the latter, as for best results each prison installation should be assembled by experts making use of pieces of apparatus designed to function together. Send all contributions to The Wireless Age, 326 Broadway, New York City, which will act as custodian of the fund and will see that it is wisely spent for maximum results.
Reaching the Foreign Born
ANNOUNCEMENT by the United States Public Health Service that the broadcasting of health information by radio had been resumed by request, was good news to millions of foreign born residents of America. It meant the continuation of the "health talk" columns in the foreign-language newspapers of the United States.
Teaching good health by wireless is nothing new to the millions of radio fans in this country, but there are several million men and women in America who cannot take advantage of these radio broadcast health talks because they do not have complete understanding of the English language. There are more than thirteen million foreign born residents in the United States and many of them are still dependent upon their own foreign language newspapers and organizations for all their information about what is happening in America.
To reach this great body of men and women, with its gospel of better health, the United States Public Health Service has arranged to give copies of these radiograms to the Foreign Language Information Service, 119 West 41st Street, New York. This organization is non-partisan and co-operates with the departments of the Federal Government, the foreign language press, and foreign organizations, in informing the recent immigrant regarding our government and laws, and the facts and factors in American life that he needs to know.
It tries to answer the questions that puzzle him and help him improve his every-day life in the home. The Foreign Language Information Service sends out its material in sixteen languages: Czech, Slovak, Danish, Finnish, German, Hungarian, Italian, Jewish, Serbo-Croatian, Slovene, Lithuanian, Norwegian, Polish, Russian, Swedish and Ukrainian.
71 Per Cent. Radio Village
WHAT is claimed to be the most completely radio equipped town has been discovered near Chester, Pa., where Westinghouse Village, a small community of 200 homes, has 142 radio receiving sets. This is 71 per cent. of the houses. The village has no motion picture or other theatres, and depends solely upon radio for entertainment within its precincts.
KDKA Re-Broadcasting from 100 Meters
CLEVELAND, OHIO, despite the fact that it is comparatively near KDKA in Pittsburgh, has not been hearing that station with any great success. Apparently Cleveland is one of those mysterious "dead spots" within which radio waves from distant transmitters penetrate very weakly, if at all. Clevelanders however, recently have been hearing KDKA very clearly by means of retransmission.
This has been due to the development and operation of a new transmitter at KDKA, operating on 100 meters, allowing a separation which enables it to transmit simultaneously with the 360-meter wave. The programs on the 100-meter wave are picked up by station KDPM, the Westinghouse broadcasting station in the city of Cleveland, and retransmitted on 360 meters, a special receiving set tuned to 100 meters being connected through suitable amplifiers to KDPM's 360-meter transmitter. This experiment with 100-meter transmissions for relaying has been entirely successful and is considered to mark a new achievement in radio telephony.
Transmission on 100 meters does not interfere with any other listeners, as there are only a few receiving sets in existence that can tune to such a low wave length, and no one therefore hears it except the engineers possessed of special instruments.
Radio No Rival to Newspaper
THE radio broadcasting station will not supplant the newspaper. That is the opinion of Chester S. Lord, editor, author, and one of the foremost newspapermen, having been managing editor of the New York Sun under the late Charles A. Dana. He bases his opinion on the fact that although radio broadcasting already is highly developed it shows no signs of injuring the newspapers, and that radio requires listeners to adapt their time to it, while newspaper readers can choose their own time in which to read. The one supplements the other, Lord thinks.
"K" Calls Are Western
THE Department of Commerce now is issuing broadcasting calls starting with "K" to applicants west of the Mississippi River, and confines the "W" calls to the territory east of that river. The new system means that the location of the station as eastern or western will be evident from the first letter. However, all previous calls issued will be unchanged, and eastern stations already listed under "K," such as KDKA, will retain their original letters.
Broadcasting is an American institution, and by far the greater portion of the matter that the radio telephone places on the air of the world is American, in language, music, and in the nationality of the performer. Yet there is one petite little lady who thinks that the great opportunity offered to radio broadcasting is that of transmitting the voices and music of other lands. Hers is a new note in radio, and in America, and even in ideas of Americanization.
Insists on It
She is Maria Samson, lyric soprano, who has been heard from stations in Davenport, Ia., Tarrytown, N. Y., Newark, N. J., and Atlantic City. Born in Transylvania, Hungary, she is a Hungarian, and she always includes a Hungarian song among those in other languages, French, Italian and English, which she has on her repertoire. It is not easy to add a Hungarian song to her recital, because Hungarian music is difficult for pianists of any other nationality to play. But she always insists on singing one of her native folksongs, despite the difficulties, because she knows what they mean to the Hungarians who are listening-in.
She knows what it means to them because she has had hundreds of letters from them after each performance by radio; letters written, almost invariably, in Hungarian. Some of them on expensive stationery, evidently from homes of affluence. Some of them crude scrawls on torn scraps. Some of them showing grease spots and finger marks. Some of them—ah, some of them show the stains of tears.
"Thank you, oh, thank you from the bottom of our hearts for singing our beloved old song for us," they all say, in substance. "It has been so many years, so long, so long, since we have heard our music. It seems to come direct from Hungary, nay, from God Himself, as we hear it by radio."
Mlle. Samson has been in this country for only a year and a half, yet already, as a result of her experiences in singing in concerts in all the important cities, and particularly from her radio experiences, she has sensed one of the difficulties in which America finds herself. How shall the vast foreign population be made truly American?
And here is her answer: When you try to crush out of existence the immigrant's love for the Fatherland and its manners, customs, music and traditions, you are endeavoring to destroy that which makes a man a man, and a woman a woman. How can you destroy love of country, and create patriotism at the same time? You cannot, thinks Mlle. Samson. So she would have these groups of strangers remember their lands across the sea, preserve their memories and folk-lore, sing their songs, dance their dances, in this new country that offers them so much more than the old ever could. "In respecting the old, let them learn to love the new."
And what better medium for coming in contact with both old and new than the radio telephone broadcasting services? There is the opportunity of the radio—to give to the foreign groups not only American music, American voices, songs, ideals, but also to perpetuate the old, by special programs of varied nationality, representing each one of the "old countries."
Pathetic Letters
"Some of my letters come from just 'Hunkies,'" said Mlle. Samson to me with a sympathetic smile. She speaks with an accent that is quite French, and uses simple expressions, with only an occasional odd twist, as does a cultured stranger who is just learning the language. "I can see that they have been a long time in this country, because they forget how to write the Hungarian almost, and they make such mistakes as make you laugh and cry too. I have one letter that is so innocent and naive, so touching, from a young girl who loved the Hungarian song I sang by radio and thought that I was singing it just for her because she had asked me in another letter to sing it. That was just an accident that I sang it.
"Some of the people tell me that I made them cry, because they had forgotten the old land, and the song they used to sing made them remember for the first time in, oh, always it is many years.
Hungarians Respond Eagerly
"I think that all Hungarians have the radio. I sing many songs in French and Italian and English, and I get letters about those countries too, from everywhere in this big country of yours, but not so many as from my Hungarians, and none like them. They have been—what you call, ah, yes—starved for their music. The Hungarians, everywhere they write me, from New York and Iowa and Nebraska and way up north in Canada. It was too bad I went away after I sang in Newark, because my people here tell me that all day long the telephone rang with Hungarians to thank me. They got my number, I guess, from the Hungarian newspaper Amerika, in New York. It is so nice to give pleasure to people, and now I want to give a special Hungarian program for them by radio some day."
So that is something for the radio audience to look forward to. It takes a Hungarian to play and sing the native music of Hungary well, as those who have heard it know. Then it is exceedingly pleasing, even exciting at times.
But Mlle. Samson knows the music of other lands than her own. Her studies began at an early age, and led her to the Royal Academy in Budapest, where she received the highest awards on graduation. She then sang on the stage of the Royal Opera House as leading soprano, appearing in sixteen different roles, among them Butterfly, Mimi in La Bohème, Mignon, and Micaela in Carmen.
"Give Truth the Open Field—"
"And I Fear Not Though All the Winds of Doctrine Were Let Loose to Play Upon the Earth. Let Her and Falsehood Grapple; Who Ever Knew Truth Put to the Worse in a Free and Open Encounter?"—John Milton
By S. W. S.
I KNOW that when I finish writing this article I will be dissatisfied with it. And probably you also will think that what I say here falls far short of the truth in the matter, if you are one of those who have been moved by church services transmitted by radio, and particularly by the Men's Conferences of the Bedford Branch Y. M. C. A., Brooklyn, and more particularly still, by the oratory of Dr. S. Parkes Cadman.
The subject is one which deals with those most imponderable things, the human emotions; with those thoughts that are wordless even to those who think them; with those feelings that are sacred to those who thrill to them. It means writing of that which brings tears to the eyes of each listener; it calls for invading the sanctity of the innermost being; the being that instinctively resists the blare of words and lives most abundantly only when bathed in the secret light that shines within the soul.
As I write my radio receiving set is close at hand. It has brought to me at home the classics of literature and of music, the works of our contemporaries, often their very voices. It has brought pleasure. And though I instinctively shrink from admitting it, pain also has come—the keen swift shock of realization that I am less than I would wish to be; that, in the familiar, half-forgotten words, I have done the things I ought not to have done, and left undone the things that should have been done.
And right here I pause. The phrases to transfer this emotion to paper won't come. For there are things that cannot be said, not only because there are no words to fit them, but because within all of us there is an imperious something that is an impregnable barrier between the world and the inner being. Some facts, some emotions cannot ever be told. So complete the line of thought in your own manner, according to your own experience.
How many of us had neglected the church because it had grown away from us or we from it, only to find today that our paths have met again through radio?
There are multitudes. Hundreds of church services have been broadcast since the first one was put on the air at Pittsburgh. Practically every creed, certainly every important denomination, has broadcast its worship.
Ministers who once scorned radio as too undignified to serve them, now are eager to avail themselves of it, because they have seen the almost miraculous results of the broadcasting of church services.
Consider just one specific case of religious broadcasting, one that has impressed me and thousands of others.
Dr. S. Parkes Cadman for twenty years has been addressing the Sunday Afternoon Men's Conferences held by the Bedford Branch Y. M. C. A., Brooklyn, N. Y. The sessions are for men only, but since last January they have been broadcast each Sunday by station WEAF. In response, have come hundreds of letters of the most appealing character, revealing a new stirring of souls in a congregation vastly larger than the 1,100 who sit and stand before Dr. Cadman once a week. Some of those letters are reproduced on these pages.
Dr. Cadman is a busy man, for he is pastor of the Central Congregational Church in Brooklyn, and he also does a great deal of traveling, delivering lectures in many cities. But he agreed to see me by appointment. I made my call short, my words few, and my questions brief.
"What has your experience with radio led you to consider as its most important service?" was my first query.
Like a flash, with that unhesitating flow of decisive, clear English that marks his utterances, he replied: "Unquestionably the humanitarian aspect. There are so many thousands of persons shut in by illness, disability of one kind or another, who can never more come in personal contact with any save those who visit them in their homes. They cannot go to church, nor to the theatre or the concert. Radio is God's blessing to them, and many of them have been moved, deeply moved, by God's Word received by radio, as revealed in scores of letters I have received. I cannot stress too greatly or emphasize too strongly the tremendous influence that radio is having upon these unfortunates who now, for the
first time in all history, have the barriers that separate them from their fellows swept away."
"But," I objected, "radio transmits every conceivable kind of matter, jazz, operas, lectures on everything under the sun. Do you think it is all good?"
"Of course not. It never will be all good unless you weed out all the liars, takers, thieves and blatherskites, muzzle the pulpiteers, and bring about the reign of the Kingdom. Yet I do not think that there is anything to fear from the miscellany that is sent forth by radio," and he quoted the words that appear at the head of this article: "Give Truth the open field, and I fear not though all the winds of doctrine were let loose to play upon the earth," which is from John Milton's "Aeropagitica," a speech before the Lords and Commons of England protesting against the proposal to establish a literary censorship.
Continuing without a pause, he said: "The fact that the listener cannot see the speaker, and so cannot come under the spell of his personality, is one of the great advantages of radio. It means that all the demagogue's histrionism is negatived. No gestures, no frantic fanning of the air, no eye-rolling, are perceived. The speaker has to make his impression solely by the solidity of his word. It is his message alone that counts by radio. If all those who have to address the public had to do so in this manner, the world would soon learn the difference between the learned and the numskull, between the patriot and the politician, as they cannot easily perceive now through the mist of mock heroics which some of our most popular men cast about themselves for the befuddlement of the beholder! Of course, one must not 'walk so far ahead of the sheep that they cannot smell the salt,' and it is necessary, therefore, to make your word solid, yet not too firm for easy digestion and comprehension by your hearers."
There is no doubt about Dr. Cadman's words being "solid."
I expressed surprise at his astounding ability in answering the questions that are put to him each Sunday, and learned the secret of his ability, which is this: Years ago, when he was the pastor of a struggling church in down-town New York, he hit upon the idea of offering to answer questions on any subject, as a means of gaining the interest of the public in church topics. The questions came thick and fast. If he didn't know the answer, he gained everybody's respect by saying so. Such confessions have become fewer and fewer, however, for the questions have a way of falling into classifications, and of repeating themselves.
There are, first, Biblical queries, such as whether or not Jesus had brothers, and whether or not Balaam's ass really spoke. (A pet answer to the latter is: "Yes, an ass speaks every time we hold a meeting!")
Then there are leading questions on controversial subjects, such as the basis for antagonism between specific groups or races, which do not get an answer of any kind.
The third class of queries deals with current events.
Dr. Cadman specifically disclaims
---
**Remson, N. J.**
Last Sunday afternoon I enjoyed service so much that I informed some of my non-church going friends to come in this Sunday afternoon and hear something good for them. So this afternoon I had the pleasure of having eleven of my friends with me at the time I tuned in to your service and it was enjoyed by all. Among these friends present were some that had never heard over the radio before and I felt glad that the first experience for them was one of good Christian Service so that it would help make the now wonderful radio broadcasting more wonderful and appealing for this fact. I myself have not been to church in over a year, although a church member for many years, and this service made me feel that instead of listening in to such a wonderful service as this was I ought to be there in person to make it feel more wonderful to me and to those of my family who were listening in and for them to feel that in the singing of the anthems that I was among those who were in this manner trying to feel and show that I felt as a good church member should and was doing my bit in a great work. Like the announcer remarked this afternoon, I should be at the service and not listening in to it and to leave that for them to do.
---
**Philadelphia, Pa.**
On arriving at the lunch table yesterday, one of the men who frequents the table, and who is a Hebrew, was telling of the most wonderful talk which he heard, over the radio, at his suburban home in Langhorne, Pa. (about 20 miles from Philadelphia). He was reciting at some length the wonderful talk of Dr. Cadman, entitled the "King's Highway," and made particular reference to the inclusion of the Jews in the prayer of Dr. Cadman. The enthusiasm with which this talk was recited at the lunch table by this man, would certainly have been appreciated by Dr. Cadman, and when I told him I had actually been present at the meeting, his enthusiasm could hardly contain itself.
I am dropping you this line so that you will know, at least to a small degree, how effective your meetings are through the broadcasting, and how wide is the influence of Dr. Cadman's voice.
any particular credit for his often spectacular performance in replying to questions, feeling that any man with a similar education and experience could do as well.
These questions and answers are but a part of the Men's Conference. An address precedes them, a sermon; and while the questions are an intellectual delight, it is what Dr. Cadman says in his sermons transmitted by radio that appeals so greatly to the hearts of thousands.
Because he had more time to give me than Dr. Cadman, I went to Mr. Halsey Hammond, secretary of the Bedford Y. M. C. A., for some specific facts reported by the radio audience and I learned some extraordinary things. For instance, on one Sunday afternoon recently the churches in Cornwall-on-the-Hudson, N. Y., united in the Episcopal church there to listen to Dr. Cadman's service. They heard, near the close of the Conference, this:
"Do you think that all churches should get together?"
"I do. I would like to see all the churches in New York get together tonight."
In another case, a man in Wallace, N. C., wrote that he had organized a group of fifty people to listen. Still other groups of families, neighbors and friends have been reported from towns scattered over practically the entire territory east of the Mississippi.
In one week recently the number of people who wrote to the Y. M. C. A. regarding the Broadcast Conference exceeded the number in actual attendance in the auditorium, which each Sunday has a capacity crowd of 1,100, including the maximum number of standees.
A doctor and a self-confessed atheist wrote: "Almost persuadest thou me to be a Christian."
A mother said that the radio Conference had solved her problem of keeping her two sons home on Sunday afternoon, observing the Sabbath and instructing them in religion.
A nationally-known financier in Philadelphia listens with the greatest interest, writes his physician in an evident vein of relief.
People by hundreds mail requests for the singing of old-time hymns, some of them so old that they cannot be found in present-day hymn books, yet sung they are, and frequently the written thanks tell of the tears that fell at hearing the hymns of the childhood of long ago.
People by thousands write just a plain "thank you."
"Broadcasting the Conference seems really to have met a need in the lives of the people," said Mr. Hammond. It does even more than that—it meets and fills to overflowing the needs of people's souls.
U. S. Stations Heard in Hawaii by Retransmission
Radio listeners in Hawaii, on January 20, again listened to Pacific Coast broadcasting through retransmission by KDYX, the station of the "Star-Bulletin" in Honolulu. Broadcast programs from KHJ, Los Angeles; KGW, Portland, Ore.; and two others were picked up by Receiving Engineer Corey at the Radio Corporation of America's station at Koko Head, and transferred to a land wire running direct to the radio transmitter in Honolulu, where they again rode on the air.
This was not the first time that such a feat has been done, but it had not been accomplished with such perfection as marked the test on January 20, which ran for an hour and a half. KHJ and KGW were the two stations that were listened to for the majority of the time, the two others being picked up for only a few minutes.
A special receiving set, designed and made for the purpose by the RCA engineers at Koko Head, was responsible for the great success of the test, which is considered as indicating that regular programs from the States can be provided for the entire Hawaiian group practically at will.
Jersey City, N. J.
Please excuse pencil and writing, but I am unable to hold a pen, as I am sick and have been for (12) years, so I am a shut-in, but I want to tell you how much I enjoy the services Sunday afternoon.
It is very kind of you to let the home folks enjoy it, Dr. Cadman is a wonderful speaker, you all speak so plain and loud and the singing and trumpeters are just grand. Sunday morning I listen to the church services, the concerts during the week are nice, but I do look forward to Sunday, for I enjoy it the best. I always went to church when I had my health and strength, but when not able to go to church, what a blessing to have a radio. I am a member of the Second Presbyterian Church of which Dr. Henry Cronin is pastor. He comes to see me, and I do enjoy his visits when I can see him. Sometimes I am so awful sick that my doctor will not let any one see me.
I received my radio for Christmas from the doctor that takes care of me when my doctor is away, they both are taking care of me for nothing, both good and kind. My doctor has been looking after me all these years. He is a good Christian man.
Stamford, Conn.
It will be a tremendous loss to the radio public if the Sunday P. M. Conferences are discontinued.
There are church services a plenty but only one institution like this Conference with that marvellous-minded Cadman. I wrote WEAF after last Sunday's Conference that they had done a fine piece of work in adding this to our Sunday blessings and I hoped they would continue it. If your listeners-in feel as I do, the response will be so unanimous you can't help it. To my mind, it is the supreme event of the week.
For years I have been shut in on my outdoor porch bed. The radio has brought the world back.
Having had the interesting experience of broadcasting messages over the radio a couple of times I have become very much interested in the development and possibilities of this wonderful new invention which is bringing instruction and entertainment to millions of people. Every day one reads of some new use to which this force can be put.
We read of Dr. Simon Flexner announcing over the radio that bacteriologists at Rockefeller Institute have discovered how to isolate the deadly flu germ. Can't you just picture the thousands of family circles scattered throughout the United States who receive that welcome news—of the thankful comments which follow? The best part about radio is that an entire group receives the same momentous piece of information at the same instant. They converse on it while each one has it fresh in his mind and is enthusiastic over it.
I have been wondering why more cannot be done to acquaint the people of the country by means of the radio of what is going on in the motion picture world. My little experience in giving a talk on "How to Make Up for the Movies" convinces me that the radio is a wonderful source of power for disseminating news connected with the screen.
The motion picture industry is developing by leaps and bounds right along. Every day new experiments are being made in settings, lighting, the types of stories to be portrayed, and in the way they shall be presented on the screen. Of course all this is told in the daily press, but why would it not be possible to have some one person appointed as the radio movie editor? His duty would be to keep track of all the important news connected with the screen world and present a snappy, condensed account of it, say once a week by means of the radio. So many, many people are interested in both the radio and movies that this could not fail to make a hit.
Of course the person appointed for such a task would have to be absolutely impartial in his attitude, and be connected with no particular company. He would serve somewhat in the same capacity as an editor of a big metropolitan daily, selecting certain items to broadcast because they were news, rejecting others because they would not be of sufficient general interest.
The value of such a movie news service would lie in the fact that in every home in the land which boasts a radio outfit, there is bound to be several "movie fans." After the recent talk which I gave on make-up I received thousands of letters from all over the country, mostly from young girls, but many from older men and women, telling me how much they had enjoyed the talk and that hearing my voice after seeing me on the screen was almost like meeting me in person.
This alone shows the immense interest there is in motion pictures and the people who are making them. For that reason a "Radio Movie Editor," if he knew how to select his news and how to make his talk bright and interesting, would undoubtedly be welcomed by radio fans. Such a man could carefully study motion picture news in the press and the magazines and then once a week regale his vast audience with what he had learned. The program could be varied by talks by well-known stars shortly after the time a big picture is released simultaneously all over the country. The star of the production, if it turned out to be a big success, might tell by radio in New York or Los Angeles, how she enjoyed acting the leading rôle, describe the difficulties she encountered, and recount any other interesting facts connected with the making of the picture.
Also, the musical scores which are nowadays especially written for big screen productions, might be broadcast by the full orchestra which furnishes the music at the theatre when the picture is shown. I know that this is being done in New York, and I think it should be done elsewhere, too. I know that for my Cosmopolitan picture "When Knighthood Was in Flower," we had a special musical score written by William Fred Peters and presented by an orchestra of fifty-two pieces at the Criterion Theatre, where the picture ran for fifteen and a half weeks. Two numbers written by Victor Herbert, "Marion Davies March," and "When Knighthood Was in Flower" waltz, were also given at each performance. The motif of the music changed with the appearance of the various characters and it was always in keeping with the nature of the scene being shown on the screen. This also is nothing new, but the public has no idea of the research work that is done in order to make the "incidental" music correct in atmosphere. A talk on "Music and the Movies" might be given over the radio, explaining how the latest strides in pictorial art now require a tempo and a melody harmonizing with the action of the picture. It seems to me that this is a very interesting element in the presentation of motion pictures. Of course the talk could be followed by the musical score skilfully played.
No class of women in the world, it is probable, have had to learn more about ways to keep physically fit than the motion picture actresses. Studies of diet, of exercise, of ways of keeping their complexions smooth and flawless have been absolutely necessary to their success. Even more than her sister of the speaking stage does it behove the actress of the silver screen to keep a slim, graceful figure.
"Radio may in time bring opera companies to the smaller cities such as Troy, Trenton and Columbus that now hear only occasional recitals"
An Interview With
Titta Ruffo
(Metropolitan Opera Star)
By Paul S. Gautier
TITTA RUFFO has sung twice for the radio telephone—once, in Kansas City—once, in Brooklyn, N. Y., for the U.S. Navy station there, NAH. There must be something extraordinary about radio that such a singer should consent to sing for it, I reasoned. Ruffo is one of the famous tenors, a star of the first magnitude, one of the principals of the Metropolitan Opera Company in New York. So I called upon him at his studio.
"Why did you sing for the radio telephone?"
I put the question to him point blank.
"Ah," he said, "excuse please, I no speak English good," and turning to his manager, Howard Shelley, continued in Italian.
Opera Work Is Hard
That may surprise many people, for Ruffo has been singing in America for a good many years. He has lived among us long enough to learn the language, surely. Yet not so. For if there are any hard working persons in America they are the opera singers.
Work, work, work. Work to learn parts. Work to keep the voice in condition. Work to keep the health absolutely perfect. Spare time there is little or none. Teachers, coaches, pianists, orchestra conductors, managers, all must speak the language of the singer, who is surrounded continually by those who speak only the native tongue. There is no time to bother with another language, no time to learn it. In speaking English imperfectly, Ruffo is like most of the other principals of the Metropolitan Opera, only a few of whom speak the language easily.
So when Ruffo spoke, it was in Italian—such Italian! Soft, fluent, as it is a delight to hear. And I, who understood a few words here and there, was charmed.
"There are only four or five grande voce," he said, "such voices as you need to have for the radio. There was only one Caruso, of course. I know that for most people the only way of hearing these voices is by radio, for they cannot go to the opera houses of the world. And so I sang for the radio—oh, no, I sang not for the radio, but for the people, my friends.
"You understand that I have sung in all the countries of the world, except Japan, China and India. I have no need of réclame. Titta Ruffo is known nearly everywhere.
"The radio is a great thing for singers who are good and who are struggling to become known. It is a marvelous way for them to get a hearing before hundreds of people at one time. Maybe if I had had radio to help me I would have made my success sooner. I do not know. But now I do not need radio to help me that way."
"Tell me how you came to sing in Kansas City," I suggested.
"Ah, yes, Kansas City. I sing for just one or two reasons," he explained. "Everyone works for money, no? Well, I sing for money. That is work too, very hard work. People do not know how hard. Secondo, I sing for sentiment. I sing by radio for sentiment.
"In Kansas City I know the owner of the Kansas City Star. He has been very good to me, and when I was there on a concert tour he told me that he was going to open a new radio station, and asked me if I would honor it by singing. What could I do? I sang, of course. Anyone would do as much for a friend. Ah, yes."
"Then you must have a friend in Brooklyn, too," I said with a smile.
Singing for Sentiment
"Brooklyn, that is different. I sang there for sentiment also, but it was different. I like the navy. I like the American sailors and soldiers. Once, during the war, when I came back from Italy on a transport full of American troops, I sang for them, and I was glad to do it, because I like them so much, and they like me, too.
"Also, I have met Rear Admiral Plunkett, commander of the Brooklyn Navy Yard. It was he who asked me to sing for the boys in the navy when he opened his radio station for broadcasting. And of course I sang for those boys in the navy, and in the army, and if a lot of other people, the sick, the blind, the crippled, heard me too, why that is so much the better. And so again you see I sing for sentiment. I got a lot of letters from everywhere from those two performances by radio. Letters from all over the country, because the Kansas City station is heard on the Pacific Coast, and the Navy Yard on the Atlantic Coast. So you see I have sung by radio for the whole United States, in only two performances. That is better than the opera, eh?"
"It certainly is," I observed, "and I should think that radio would do a great deal for opera and for music in general if more artists like yourself would sing for it."
More and More Opera
Ruffo shrugged his shoulders. "I do not know," he confessed. "Maybe so. But what good would it do, when all the opera houses all over the world are crowded every night. Look at the Metropolitan here in New York—sold out every night! What would be the good of advertising it when already there isn't room for everybody who wants to get in?"
"Yes, but if there were enough more people wanting it," I prophesied, "another opera company would be organized."
"Ah," Ruffo exploded as an idea struck him. "You know that in Europe every small city has its own municipal opera company. That is why musical taste is much better there than it is here. Perhaps radio in time may bring opera companies to such cities as Troy, New York, and Trenton, New Jersey, and Columbus, Ohio, where now I only give a single recital once in a very long time.
"Yes, that would be good."
JUST because you cannot see by radio, but can only hear, is a good thing for the stage, because people are curious and want to see what they have missed.
Said
Lillebil Ibsen
(Granddaughter-in-law of Henrik Ibsen)
to T. J. Dunham
that he is two years old I think he is a very beautiful little boy who looks like himself."
Who is Madame Ibsen? She is the granddaughter-in-law of the famous Henrik Ibsen, the Norwegian playwright, having married his grandson, Tancred. She also is a dancer who is famous throughout Europe. Her voice with its slight foreign accent was heard by radio only a few days after her arrival in this country, and since then New Yorkers have had the opportunity to admire her art. She is dancing in the part of Anitra in "Peer Gynt," the famous Norwegian play by Ibsen, with music by another countryman of hers, Grieg.
Probably every radio fan knows the Peer Gynt Suite, by Grieg. Certainly it has been played in every broadcasting studio, either from records or by piano or orchestra. No classical composition is better known to the general public—and Anitra's Dance, being the gayest and most charming section of it, is especially popular.
So there is the unique combination, presented in this country for the first time; Norwegian music for a Norwegian play, the most popular number danced by a Norwegian artist who is herself a kinswoman, by marriage, of the distinguished playwright. No wonder that she was asked to speak to the radio audience on her arrival here, and no wonder that we sought her out for a personal interview.
It was at a dress rehearsal of "Peer Gynt" that she gave us a few moments. We sat in the empty and darkened house while the stage manager watched the doings on the stage with a critical eye.
"Yes," said Madame Ibsen, "I like America very much, and I hope I will stay here a long time, if you like my dancing. No, I do not care that it is dry. It is dry by us, and I think the water is best for a dancer, too."
LILLEBIL A NICKNAME
In Europe she is known by her childhood nickname of "Lillebil," and in her appearances there she usually is billed as just that: Lillebil. She has danced in Copenhagen, Stockholm, London, in Paris, in nearly every theater and opera house of importance. In Berlin she created the part of Sumurun in Max Reinhardt's pre-war pantomime of that name, which proved as much of a success here as it did abroad. It must not be thought that she is only a dancer, for she has taken speaking parts too, as in Scaramouche.
In fact, Madame Ibsen is a well-rounded actress, who can tell her story in action as well as voice. There she has a big advantage over the average American star who has gone through training in which the voice was the primary thing, and pantomime only, in the slang of the stage, "business."
And now a little secret. Perhaps this is the great big reason why she wishes to stay long in America; her husband, Tancred, is a Norwegian army officer who has been given two years' leave of absence to study American military methods, at West Point. So we can expect that she will dance for American audiences for at least two years and can join her in the hope that they will like her work and thus permit her to stay.
TANCRED IBSEN
Tancred Ibsen spoke via radio, as well as his wife, and he said: "I have been asked to speak about my grandfather, Henrik Ibsen, but what is of interest about him you can read in all the books, and I am so tired of always being the grandchild." As the radio audience guessed at once, he is a regular fellow. He is a cavalry officer and an aviator in the Norwegian Army and is frank in saying that the military methods of his country need a great deal of American "pep." After he has finished his studies here he hopes to play a part in bringing the army of Norway up to date.
The Ibsens first met America militarily by radio. The voice of broadcasting reached them several days before they landed, and they were invited into the wireless cabin to listen to American programs, which, as the Chief Officer said, had "come all the way out here to meet you."
32
Hackensack is a small New Jersey town—and not so small at that. It's an average American city, with some 18,000 citizens, many of whom commute to business in New York, Newark and nearby centers. It is far enough from Broadway to have a definite individuality of its own, and an unmistakable civic consciousness, yet it is near enough to have within its grasp most of the advantages of the big city at the price of a ride in the train—or the installation of a radio receiving set.
And Hackensack—which, like New York was founded by Dutch settlers—is eagerly grasping the advantages of radio. Antennas stretch in every direction, over lawn and garden, from housetop to garage or tree or pole. In that, Hackensack is not at all extraordinary. Thousands of communities are just as well provided with sets. What puts the city in a little niche all its own is the fact that its doctors have been responsible for the installation of a great many of the sets that are bringing so much pleasure and profit to its residents.
Hackensack doctors, as a body, are enthusiastic over radio. Anybody might guess it from a walk around town, for when you see a doctor's sign you only have to look in the air to find an antenna. That's not 100 per cent. perfect—nothing ever is—but you will find the antenna nine times out of ten, and if there is any town that can show a better average among its doctors, it still has to be discovered.
But you have to call upon those doctors to get the really astounding facts about radio as seen from a medical point of view in Hackensack. You will find them all enthusiastic—and all saying the same thing, whether they be homoeopath, allopath, chiropractor, eclectic—even the dentists agree with the rest.
This is what they say, in substance:
"Radio is of great value for the sick, especially in stubborn, chronic cases. Its interesting programs and the vital healthy way in which they are given have a highly beneficial effect on patients, to whom they suggest health, taking their minds off the diseases with which they are burdened."
Of course each one has his own individual group of cases, his own method of applying radio in his practice. Each one is cautious about classifying radio as a therapeutic agent, as having positive curative properties, for the ethics of the profession are strict. Each will, however, make it plain that he is not only enjoying it himself, but is recommending it to those of his patients who can benefit by it.
Take Dr. Geo. Wm. Finke, for instance. He has a receiving set of his own, which he has had for over a year. Chronic invalids and convalescents to the number of "about twenty" have installed receivers at his suggestion. He also endeavored to have the new Hackensack hospital equipped with receiving apparatus, but found the funds too low.
In his own life, radio takes comparatively little part. He is a busy doctor, and what that means only doctors and their families ever can know. So, Mrs. Finke listens in more than her husband does. She especially likes the operas, concerts and banquets—and the boxing matches: "If you weren't a radio fan they certainly would make you one."
But in the Finke household radio has a unique place—that of entertainer of the hired man. It keeps him indoors, and happy. Hackensack is a hard place for help; it is too easy to go to New York and get a job, too hard to go there only occasionally for the excitement of a visit. So Mrs. Finke and the doctor both thank radio for keeping their man with them, entirely contented.
Again, take Dr. Essertier—he has a general practice, like the others, but is particularly successful with children. So it has happened that many Hackensack children owe their radio sets to his suggestion. His own set is an interesting one. It was made by P. Stanley Case, brother of the famous Anna Case, the opera singer, and is such a good job that the doctor was asked to exhibit it last year at the New York radio show. He preferred to keep it in use at home, however, and the photograph taken especially for The Wireless Age represents its first public appearance. Mr. Case did not make the cabinet; that was a labor of love by a "G. P." or Grateful Patient.
Dr. H. C. DeBaun, D.C., has reversed this procedure, and has himself made no less than 28 receiving sets for patients. He is not only a chiropractor, but an expert in electrical matters, and has a great array of X-ray apparatus. In fact, he does so much work with X-rays that for a time he was rather heartily disliked by Hackensack radio fans. Every time he would start up the biggest of his five machines the high-frequency coil that is an essential part of it would raise such a racket in the town's receiving sets as to drown out everything else.
That would never do, and so the doctor set about remedying the condition. The cure turned out to be simple. It consisted of a heavy, insulated wire run from one pole of the starting switch to the ground. Since the connection of that wire there has been no interference with reception; even the receiving set in the hall, not ten feet from the machine, picks up not even a buzz from it. And that machine is rated at 20 kilowatts and normally consumes from 15 to 18 kw. This is a tip for others who may be harassed with the same trouble, hospitals, for instance, that wish to install radio receiving apparatus, or that want to prevent their electrical machines from interfering with neighboring radio sets.
Dr. DeBaun, in fact, is full of kinks. For attaching a single phone to a horn he uses one of those big rubber nursing bottle nipples, putting the phone in the big end of the nipple and cutting off enough of the small one to allow it to be slipped over the end of the horn. Then there is his organ pipe loud speaker; simplicity itself. It consists of an old wooden organ pipe, about four inches square and four feet long. Once upon a time it sounded in a church organ. When it was
scrapped, the doctor rescued it from the junk dealer, and now it resounds with radio programs, standing upright over a single Baldwin phone.
In fact, Dr. DeBaun is so enthusiastic and so expert that he and Dr. Haggerty have joined eleven other radio enthusiasts in the formation of the Hackensack Radio Laboratory. A 200-watt radio telephone transmitter is to be installed, with the thought that perhaps programs will be broadcast on special occasions. Primarily, however, the Laboratory has been formed for carrying on certain experimental work along lines that have been suggested by the members, all of whom are men who have had considerable radio experience.
Dr. Haggerty is a dentist, a lawyer, an electrical engineer, and has been a radio enthusiast for ten years. The men who have formed the Laboratory, other than the doctors, are: Judson Hayward, W. K. Sparrow, M. R. Sneeden, M. F. Sneeden, Percy Temlett, Stanley Russell, W. H. Ricardo, M. Damrau, M. D. Campbell, H. N. Davison and A. Eckleston.
The group of Hackensack doctors who are enthusiastic over radio includes Dr. Conrad, the dentist, and Dr. Gilady. The latter says that radio is "greatly appreciated by a host of medical men in our community."
So it is indeed, and it is a great and significant compliment to radio that such is the case.
Steinmetz Ridicules Fire Risk
THAT radio receiving equipment contains no fire hazard is the opinion of Dr. Charles P. Steinmetz, of the General Electric Co. He was asked by an amateur as to the fire danger involved in a receiving set, and made the following reply:
"There is no hazard in the amateur radio receiving station. It involves no fire risk, nor risk to life. It would, therefore, be very regrettable if, by a misguided public opinion, obstructions were placed in the way of the fullest and freest developments of the amateur radio station.
"With regard to the possible lightning risk from the grounded antenna, first—the lightning risk in a city is very remote in any case and, second—the grounded antenna rather acts like a lightning rod and exercises a protective action against lightning.
"Any danger from the radio power received by the amateur station obviously is ridiculous when considering that the energy of a single pound of coal would be more than enough to operate the radio receiving station continuously for over a thousand years. Certainly this is not enough energy to do harm."
Broadcasting Completes Trade Report System
THE latest business use of radio in the United States consists of the broadcasting of foreign trade opportunities by the radio telephone. This makes the radio chain complete from the transmitter in the foreign country to the American business man sitting in his home or office. Trans-Atlantic radio facilities are used by foreign agents of the Department of Commerce when speed is necessary. Heretofore, such trade information has been published in a daily bulletin, necessitating considerable delay. Now, however, the bulletins are furnished immediately to all broadcasting stations that desire to transmit them, so that it is quite possible for business men to hear in the evening an important trade tip that may have been discovered only that morning by a government agent in Europe.
Broadcasting of these foreign trade opportunities was started as an experiment by WGI, at Medford Hillside, Mass., which is heard throughout New England. On the morning after the first transmission of trade information several letters were received from nearby firms. One of the leading New England manufacturers of artificial leather who happened to be "listening in" that night learned of two possible openings for his goods; one in Mexico and the other in Colombia. He was much pleased, commending the Department of Commerce for taking advantage of "this most valuable time saving device." In the opinion of another New England merchant, the new "sell-it-by-air" service should appeal particularly to the out-of-town manufacturers and merchants who are not in daily contact with the offices maintained by the Commerce Department in Boston, New York, San Francisco, Chicago, New Orleans and other leading cities. "For example," says this executive, "there are many manufacturers interested in radio who wish to sell abroad, but who are prevented from keeping in constant touch by frequent visits and telephone calls with the trade openings reported to the government agents. As the radio stations reach many outlying cities it would seem that this service should be of especial value to more distantly situated business men within a wide radius."
The instantaneous success of the plan in New England quickly interested other broadcasters, and it is expected that in a few weeks each of the 34 branch offices of the Bureau of Foreign and Domestic Commerce will have made arrangements for regular broadcasting of important bulletins.
"Music in the Air"
WITH the trip of a commercial passenger airplane from Geneva to Paris, reads a copyrighted cable dispatch from Paris to the New York Times, wireless concerts for air passengers have become an assured fact. The experiment, which had been tried on the Paris-London route with only passable results, is now wholly successful and satisfactory.
"By a coincidence, ten of the fourteen passengers who enjoyed the concert were Americans. The music was sent out by the station at Lausanne and was heard plainly until the machine struck rain some distance beyond Dijon. From that point, however, conversation was held with le Bourget.
"Receivers were passed to each occupant, the pilot finally taking them and chanting to the passengers the songs received.
"This success is believed to assure the general inauguration of facilities for receiving concerts on all passenger airplanes.
"A member of the Temps staff has suggested to various wireless stations that they supplement the scenes of their districts by appropriate selections such as Swiss mountaineer songs and 'William Tell' for Lausanne, 'Mireille' for Provence.
"Interesting experiments have been carried out during the last few days on the Paris-Orleans Railroad by which engineers receive wireless communications. A receiving post having been rigged up where there is an electric light installation and the car being used as antennae, they are able to intercept messages from the new French station at Saint Assise. The result is declared to be very satisfactory and wireless engineers state that by means of special antennae attached to the roof of a car it will be possible to receive wireless telephone messages without difficulty."
Talking Both Ways From the Middle Through Station
KSD
Located at St. Louis, Mo.
If you were going to erect a broadcasting station that should be heard on the Atlantic and Pacific Coasts, on the Gulf and in Canada, and on the ships that sail the seas to the East and West and South, in other words if you wanted to put up a broadcasting station that would be heard throughout the United States and across its boundaries, where would you put it?
Would it be New York? No, for there nearly one-half of the power of the transmitter would be projected over the sea.
Would it be in Chicago? No, for there a large portion of the power would go into the vast open spaces of Canada.
It would have to be in a truly central spot within the territory of the United States. If you will look at the map and think of the cities in the central section you will quickly realize that St. Louis, Mo., is about the largest city in the center of the country. That is one outstanding reason why station KSD can boast proudly and truthfully that it is heard in all forty-eight states of the Union and by ships on the Atlantic and Pacific Coasts. As a matter of fact, it is not exactly in the center, being a little east of the true geographical focus of the country, but nevertheless so successful has been the working out of the transmitter that it is heard on the Pacific Ocean with practically the same power as on the Atlantic.
"This is station KSD, the St. Louis 'Post-Dispatch,' St. Louis, Mo.," comes with a welcome sound to hundreds of thousands of ears nightly, from 8 p.m. onward, on 400 meters. In fact, it is another of the "Post-Dispatch's" boasts that it was the first to be authorized to transmit on the Class B wave length of 400 meters.
The programs that are put on have varied from one-man talks in the studio, to the transmission of opera performances from the stage of the Municipal Theatre in Forest Park, with the voices of a chorus of several hundred going forth into the ether. The station has now been in operation for over a year.
It started with a little 15-watt transmitter, really nothing more than an amateur radiophone, and in fact, not as good as many that are to be found in the hands of amateurs all over the country. However, this diminutive set showed so much promise that a larger one was secured, of 500 watts power and as soon as the new Class B was open, application was made to enjoy its privileges.
Let us visit KSD. One leaves the elevator in the "Post-Dispatch" Building and steps into the reception room, where those who are to take part in the program await the call that summons them into the studio. It is a room the like of which cannot be found anywhere else in St. Louis. Summer and winter it looks as though it had been sheathed in tailor-made garments—and as a matter of fact it has. Every musical instrument and every bit of furniture has been covered with soft cloth, including chairs, radiators, the piano bench and even the adjustable pedestal for the microphone. Not an inch of bare wood is to be seen and so there are no smooth surfaces from which sound waves may echo. The walls are hung with thick fabric and there are two layers of felt under the heavy carpet. The voice, and the sounds of musical instruments fall upon the air of this room and upon the microphone without any accompanying reverberations.
The first thing that will attract attention in the KSD studio will be a red light, and then another and another and another. There are four of them, one on each wall, so that they cannot be overlooked. Under each one is a warning stating:
"When the red light is burning any sound of any kind in this studio goes out broadcast by radio."
As the artist goes into the studio these red lights are out and the program director after a few words of instruction, touches a button that flashes a signal to the radio operator on the roof, advising him that all is ready in the studio. As the operator completes the circuit between the microphone and the transmitter the red lights go on. The announcer tells the audience of many thousands who are listening in, what the next feature on the program is to be and then the entertainer proceeds. At the end of the selection another button is pressed, the transmitter turned off, the red lights go out and once more the studio is free for conversation of a business instead of a radio character.
Power for the transmitter is furnished by a motor-generator set, consisting of a five-horsepower motor driving two generators. One generator produces 1,600 volts for the plates of the 250-watt power tubes, of which there are four. The other generator turns out 16 volts, to light the filaments in the tubes.
Current to operate the microphone in the studio is supplied by an 18-volt storage battery. From the microphone the electrical modulations caused by the sounds in the studio go through an amplifier, which is supplied from the
same 18-volt storage battery for filaments while dry batteries give a pressure of 130 volts for the plates of this amplifier. From the voice amplifier, the electrical currents that correspond to the music that is being produced in the studio go to the modulator tubes, which control the output of the oscillator tubes that are connected with the antenna and so with the ether and with the radio set of the listener. In this arrangement the set is similar to that of hundreds of others operating in all parts of the United States.
The antenna consists of four phosphor bronze wires spaced six feet apart, and 130 feet long, swung between two 70-foot steel towers, or rather from wooden masts 10 feet long, set on the tops of the towers. The lead-in is taken from the center of the antenna which thus is of the T type.
Station KSD is not only being heard all over the United States, but also is being heard regularly in the Aleutian Islands, the most westerly territory of the United States off the Continent of North America. The air-line distance is about 4,000 miles. The broadcasting programs are heard by station KWS, located at the Alaska Sulphur Company's mine at Akun Island, using a detector and one step of audio-frequency amplification. There are sixty men and one woman on the island with radio as the sole source of communication with the rest of the world except for the monthly visits of the mail boat. The entire personnel of the island listens in regularly.
Communications and Banking
Few people realize the vital part played by communication systems in the business life and prosperity of the world. That was made plain on February 24, when General James G. Harbord, President of the Radio Corporation of America, addressed the Bankers' Club in Chicago. General Harbord's address was a scholarly survey of the development of communication through the ages, with pertinent historical facts as to the ways in which the great bankers of the Europe of the Middle Ages and later times, laid their own private communication lines. It is a historical fact that the great Rothschild fortune was founded by a system of special couriers, giving that house exclusive advance information that it was able to turn to speculative advantage. The final feat that placed the Rothschild fortune at a tremendous figure was that of Nathan Rothschild, who personally watched the Battle of Waterloo until he saw that victory would come to the English, hastened to London and bought securities secretly while the market was still panicky with fears of a defeat.
The contrast of this with today is, of course, striking, for now the cables and radio give communication with all parts of the globe, frequently in fewer minutes than it formerly took days. The result, General Harbord pointed out, has been a stabilization of trade, banking and industry, in which everybody benefits directly or indirectly.
French Pilots Use Radio
Wireless telegraph posts have been established by the French Government at Rouen, at the mouth of the Seine, and wireless sets likewise have been placed on the French pilot boats operating on the river. By means of these sets prompt reports will be given of all shipping entering and leaving the river, and docking will be accomplished without delay. Three pilot boats have been fitted with continuous wave sets, operating on 520 meters.
WOR Is Heard in England, France and Germany
Station WOR at Newark, N. J., has been heard on the air late at night a number of times in attempts to carry its program across the Atlantic to England. Strangely enough, though that excellent station has been heard over a wide area of the United States, and occasionally in Europe, it remained for the special test on February 23 to be the first conducted by that station to be heard more than fragmentarily. The triumph was decisive, WOR being heard not only in England, but in Europe generally. Many Englishmen listened to the entire concert; the program was heard in France and was reported in its entirety from Lichterfelde, a suburb of Berlin, Germany.
The report of reception from the interior of Germany is especially notable, as this is the first confirmed evidence that American broadcasting has been heard in that country, though WJZ was heard once upon a ship in Bremerhaven.
Miss Edith Bennett, whose voice was heard all over Europe the night of WOR's spectacularly successful trans-Atlantic test
The London correspondent of The Wireless Age reports the Bamberger test as follows:
"Bamberger transmission received by Inman Hampstead London weak until 6 entire until 6.13 one radio detector one audio, two others in London also received program satisfactorily."
The program was broadcast at midnight, eastern standard time, on February 23, and consisted of announcements, and songs in Italian, English and French by Miss Edith Bennett. It was enjoyed by radio fans in nearly all the states, as well as by their European cousins.
Where Your Receivers Come From
Unheralded Work of the Radio Laboratory Essential to Production of Good Sets for Amateur and Professional Use on Ship and Shore
By Ward Seeley
WHERE did your receiving set come from? You bought it in a store, you say? Oh, no! The store got it from the manufacturer, the maker got it from his factory and the factory got it from the laboratory in the form of a tested and approved device. That set was first a vision in the minds of a few men, then it was a hopeful experiment on a laboratory table, and then it was a successful experiment on the same table. That is where your set came from.
You got it from a laboratory. In fact, nearly everything you have has gone through some laboratory or other at some time in its history—clothing, many foods, electricity, paper, books, automobiles, furniture, china, the coins in your pocket, the medicine you take and the soap you wash with, even the glue that you lick on the back of the postage stamp.
There are two main functions performed by a laboratory that is maintained by a commercial organization—regardless of the line of activity, whether it be chemicals, textiles, automobiles, or radio. One function is in the development of new methods, new apparatus, new principles; the maintaining of progress in a steady march ahead. The other is the maintenance of quality in all activities that have proceeded out of the laboratory and have become commercial rather than experimental practice.
It is hard to say which of these functions is the more important. The one comes before the other, it is true, yet without the second, it would be difficult, if not impossible, to assure that the benefits of the first would be realized by the public.
For the general public has a great interest in what goes on in secret behind the locked doors of the experimental laboratories. There is not a receiving set on the market whose history has not at one time or another included a visit, usually a prolonged one, with the engineers. The very sets that are giving so much pleasure and profit today to the hundreds of thousands of broadcast listeners did not spring into being over night, nor were they hastily "slung together" to fill the demands of opportunist salesmen, nor were they the creatures of happy chance.
No, the receiving sets that are giving the most pleasure in the home today are carefully worked out evolutions, in which every item has had the scrutiny of the specialist, usually of several specialists. Before they get into production weeks and months must be consumed in theory and calculation, experiment and test. The first tool that is put to work frequently is the slide rule, or "slip stick," as the engineers call it, by which intricate mathematical calculations can be done semi-automatically.
Astounding, you say? But are not the results also astonishing?
Take the laboratory of the Radio Corporation of America, for instance. Every time you file a Radiogram for Europe or Asia or for a ship at sea, your message goes through many different pieces of apparatus, all either in whole or in part products of the laboratory. Even today a vast amount of research work is being carried on in the interest of the people who wish speedy and reliable communication by radio telegraph. The present maximum speed by radio is around 120 words a minute, by automatic devices; speeds ten times greater are being worked out to practicality by the RCA laboratory. When they come, the business world will find at its call ten times the present facilities for the exchange of messages by radio.
Every time you turn a knob on a receiver you alter the characteristics of the circuit in exactly the manner that the engineers have determined. The thought has been built into it by others—you have only to turn the knobs until you get the results you want. It is like the old Kodak slogan: "You press the button, we do the rest," and as in the case of the Kodak, the performance of the "rest" has been guaranteed for the amateur by much previous work on the part of the professional.
Now it should not be considered that expert technical skill and advanced scientific knowledge are all that is necessary in a laboratory—are the sole essentials to the successful use of technical ability. There is another element, and it comes mighty close to being the vital spark.
It is called by various names. "Imagination" is one of the best, "Inspiration" is not quite so good, "Vision" is perhaps best of all.
Broadcasting was just an imagined vision only a few years ago. "Can it be done?" was the query. "It can," was the answer, and in asking the question and in finding the answer three types of thinkers at least have collaborated. One, the man who knows nothing of practical difficulties and limitations, and only wants to secure a result, he knows not how. He is usually a business man. Two, the scientist who eagerly seizes the opportunity, realizes both the great scope offered and the tremendous difficulties, and sets himself to work out the major lines of attack, along some of which success may be met. Three, the skilled technician, the engineer of originality and resource, who may be relied upon to work out a problem once its conditions have been laid before him.
Sometimes all three men are to be found rolled together into one. But as Dr. Alfred N. Goldsmith, Director of the Research Department of the Radio Corporation, said recently at a dinner, most frequently it is the technically ignorant business man, who doesn't know what can't be done, who starts the engineers off on the accomplishment of the impossible, to their own great astonishment.
That is what a laboratory is for. That is what engineers are for. Here is what we want says the public, in effect, to the manufacturers. Here is what we must have, say the manufacturers to their engineers. Here it is, say the engineers. The public will be served.
In this particular laboratory that we are talking about there has been evolved many new ideas, and the work still rolls merrily on. Take the Radiola IV, for instance, which has sprung into quick favor. About a year ago, Dr. Goldsmith, being himself one of those rare combinations of engineer and business man, decided that the time had come for a receiver of just about that type.
Today, if you are especially favored you will be shown the daddy of the Radiola IV in the laboratory up on a shelf, its work done. It has a mahogany case and excellent appearing controls, and it and the model that sprung out of it no doubt are proud of each other, as they should be.
As you are conducted about the laboratory you see receivers of every conceivable kind scattered about under process of test, of construction, even of design. A few odds and ends of sockets and coils and things, betraying no special thought save to the expert, may represent a new idea. Wires running apparently haphazardly; a fortune in tubes lying around promiscuously; boxes of adapters of all kinds, so that every different kind of tube can be put in operation in any set, in order to determine its advantages and disadvantages; you see the familiar "slip stick" here and there on desks, but the tables groan under the weight of apparatus undergoing tests in actual working conditions, ending conclusively the argument that mathematics only started.
That is the big thing about this laboratory; it is scientific; there are theories galore, but it is also practical. And that is why that which comes out of it is so good. That is why the receivers being manufactured and sold today will be as good tomorrow, and in years to come, as they are now, regardless of what new things may be developed in the future.
Of course new things are coming, things that even the engineers themselves are not sure of, but that does not render the present apparatus any less marvelous. Any man who waits for the radio laboratory to put its O.K. on a piece of apparatus and say that there is nothing further, that the ultimate has been reached, will wait forever.
Loud speakers, for instance, are now to be had in satisfactory volume with excellent quality. Yet the laboratory is not through with them by any means. In fact, the loud speaker, perfect as it now seems, is just in its infancy. There is in the RCA laboratory a special acoustics department, provided with special sound-proof chambers. One of them contains a special oscillator that produces electrical vibrations at all frequencies within the range of audibility. By connecting this to a suitable receiver, which in turn feeds a transmitter connected to an amplifier and measuring instruments, every possible condition of voice and music can be reproduced. By means of a recording device it is possible to measure the response for any given tone. This apparatus tells infallibly all about it.
Another sound-proof chamber contains somewhat similar instruments, but is used for testing pick-up devices, the microphones that are used in the broadcasting studios and the amplifiers. These go through the same kind of tests. The devices at present in use in broadcasting are marvelous in their faithful rendering of notes of widely different pitch, and of different character, yet here are being conducted tests and mathematical studies that may bring perfection one step nearer. The work done in this particular comes close to pure physics, it delights the scientist, yet it holds forth practical promise of increased delight for the world's radio listeners.
These are but a few of the laboratory's activities, by which future progress is assured and present quality maintained.
How Radio Helps to Make It the Majestic
Famous Ocean Greyhound’s Radio Room Hums With Activity 24 Hours a Day—Skilled Operators Can Tell Exciting Tales of Adventures at Sea
A STATELY ocean liner, far out at sea, with a steward hastening along the deck. “Mr. Johnson, Mr. Johnson,” he calls. The passenger beckons and is presented with a small envelope bearing the word “Radiogram” printed in red. It is a message from the shore, ticked off into space only a minute or so before, and Mr. Johnson reads it before the sender has hardly had a chance to stop thinking about it.
His reply, scribbled on a blank and handed to the waiting steward, is put on the air in the dots and dashes of the Continental code, and may be in the hands of the addressee on shore within the hour, or sooner. And nobody marvels, for this one-time wonder has become a commonplace.
On board ship, only human fingers and brains operate the radio apparatus. While the immense land stations that transmit from continent to continent may employ automatic methods of sending and receiving, achieving speeds of 100 words a minute and more, the limited space available on board ship so far has prevented the use of this apparatus, and the hand key and the headphone figurative king and queen on the ether, reign supreme—with the consent and guidance of the prime ministers, the radio operators.
On board ship, radio means the radio operator, the chief and his assistants. They are the men who span the waves, reaching from ship to ship, and from ship to shore. Their skill, their intelligence, their faithfulness, annihilate distance, close the gaps between those at sea and ashore, enable active business men to keep in touch with their affairs and direct their course while traveling by sea, and, in an emergency, summon aid, saving life and property.
Radio is a tremendous blessing to those who sail the seas. Today it is within reach of all. It is a real public utility. Its service is comparable in every respect with that of the land telegraph; the same speed and accuracy is now available to the passengers of the great liners of the ocean.
Among the hundreds of ocean-going steamships that offer this indispensable service is the Majestic, a White Star Liner, a queen of the seas. A message every minute for five hours without error is only part of a day’s work for the radio officers of this huge vessel. Continuous, 24-hour-a-day operation while at sea, sending and receiving messages for the passengers and the officers of the ship, is the rule aboard the Majestic, as on many another ocean greyhound.
All these operators are veterans at the game, each having rounded out over twelve years of sea service. Mr. Garwood first went to sea in 1910 after serving as a railroad telegrapher for seven years. Mr. Jacobs, the second officer of the radio staff, sailed the seven seas before entering the English Marconi service in 1902. Egypt, South Africa, India and Australia are familiar haunts to Mr. Jacobs, as they were to the many budding operators of the Marconi Company in the early days of radio telegraphy. He is known as a master instructor in radio theory and practice.
Mr. Brunt made a personal visit to the trenches in France during the war, but he was later inspired to continue in his calling atop the briny breakers; he tells us that he served with the Fifth Battle Squadron of Mystery Ships. He ducked a mass of shells and submarine bullets while engaged as a radio operator on ships sailing the waters in the vicinity of the British Isles during the war.
Consider for a moment the vast amount of traffic the Majestic’s radio staff handle with the Chatham station of the Radio Corporation of America. On her last voyage thousands of words were received and transmitted in but five days, representing many hundreds of messages and in addition scores of relay messages passed through their hands, bound for small vessels whose radio transmitters are not powerful enough to span the entire sea.
There is a marked contrast between the wireless apparatus on the first radio-equipped vessel, the old Philadelphia, and that of the Majestic’s installation. The transmitting equipment is composed of three independent sets, a 1½ kw. tube set, a quenched spark and an emergency outfit. Commenting on this apparatus, Chief Officer Garwood said, “We handle too much traffic to invite jamming by using our spark transmitter, so the tube set is hardly ever idle.” Because of the highly efficient transmitter and receiving apparatus at the Chatham station and the speedy and accurate operating personnel stationed there, the passengers of the Majestic are given a remarkable service.
The Musician in the Operating Room
By Golda M. Goldman
Every visit to a broadcasting station reveals a new person upon whom in some particular and peculiar way depends the success of the broadcast program. At first it appears that only the artist is responsible for the pleasures which transport the listener-in. Then it develops that Mr. Announcer has duties extremely more complex than the audience might be led to expect from his simple statements into the microphone. After several visits to the very successful broadcasting studio of Station WEAF at Walker Street, New York City, I began to realize that everyone around a studio must know something of music, everyone must be socially inclined, everyone must be able to fill in when promised talent develops bronchitis at the last moment.
But a surprise was really in store for me when I visited the operating room and watched the engineer "monitoring" the transmission, for I found that even the men whom we think of as connected only with the mechanical process of transmission have it in their power to either make or mar a program. So true is this that it is found necessary to give musical instruction to the men in charge of the operating room.
The entertainer in the studio sings or plays into the microphone and the current controlled by it is carried along a wire to the transmitter, which may be at a considerable distance. Before it reaches the transmitter, however, the current is tapped at the input power board, where an amplifier reveals how the sound is carrying. The engineer in charge of the panel has under his hand the power to control the mean average current input to the wire line.
Now here is where, as I said above, it is possible for this engineer to make or mar a program by increasing or decreasing the power so greatly as to obliterate all technical and emotional variations from any performance. For instance, a pianist rendering a complicated composition may at one moment play ever so softly. The radio audience, because of the buzzing of wires, static, or other disturbances, may almost or entirely lose this portion of the selection which would be perfectly audible to an audience in the room with the performer. By judiciously increasing the current, the operator overcomes these disturbances and the listener-in enjoys the same results as does the visible audience. Immediately after the pianissimo portion of his selection, the pianist crashes into a fortissimo movement, which comes smoothly and agreeably to those in the studio with him, but which causes the receivers to jangle, doing them some degree of harm, and leaving a harsh and unmusical impression upon the auditory nerves of the listeners-in. Again, by a wise decreasing of the current, the engineer allows the change in movement to reach the unseen audience in a harmonious fashion.
Now it is obvious that had the engineer no appreciation of technique, no ear for music, in obviating extremes he might easily cause to be transmitted an evenly ironed out and entirely emotionless interpretation, and so ruin the work of the very finest artists. It is equally true, of course, that without his manipulation of the current the program would still be received, but the point is that without him it would be a program most of whose delicate timbre and tone would be lost in the transmission, while with him all the charm of the studio is preserved. Naturally, the operator does not exercise this control continually, from moment to moment, but changes are made from time to time as necessitated by the varying character of the program, and the skill with which each change is made is one of the things that makes the difference between merely good and really excellent results in any broadcasting station.
German Opera Heard in Germany
"Carrying coals to Newcastle" —WJZ has been guilty of that, as witness this radiogram: "Signals strong 0400 Greenwich mean time February 21, Bremerhaven, Germany, Manhattan Opera A.J.N. announcing, Radio KDCL." KDCL is the call of the S.S. George Washington, which sails between New York and Germany. On February 21, WJZ transmitted the German opera "Die Walküre," direct from the Manhattan Opera House, and it was that opera that was heard in Germany, the land in which the tale is set, and whose most famous musician, Wagner, wrote the words and music.
WHAZ Heard in New Zealand
WHAZ, the broadcasting station of the Rensselaer Polytechnic Institute, Troy, N. Y., has been reported heard in Invercargill, New Zealand, during a special test that the station conducted late in February. In order to give listeners to the west, in the Pacific Ocean, a chance to endeavor to hear the station, WHAZ ran a series of early morning transmissions, using voice and music. The period of sunrise was chosen, as experience shows that at that time the radio waves frequently are heard at distances much greater than normally. At 6 a.m. on February 28, which was 11 p.m. in New Zealand, WHAZ conducted one of these special tests. A cable from Invercargill the next day reported the station as having been heard clearly on a detector tube with no amplification. The air-line distance is about 9,500 miles, and this represents a record in broadcast reception.
NAA Broadcasts the Weather
THE Arlington naval radio station, NAA, which has been broadcasting by radio telephone on 710 meters for several months, has now begun transmitting weather forecasts and warnings. This weather information is broadcast twice daily, Sundays and holidays included, at 10:05 a.m. and p.m. It is for the following states: New England, New York, Pennsylvania, New Jersey, Delaware, Maryland, District of Columbia, Virginia, North and South Carolina, Georgia, Florida, Alabama, Mississippi, Tennessee, Kentucky, West Virginia and Ohio. Special warnings of cold waves, frosts and floods, when available in the afternoon, are broadcast at 3:45 p.m. The announcements are made directly from the office of the U. S. Weather Bureau in Washington, over a telephone line that is connected with the transmitter of NAA at Arlington, Va.
Broadcasting has struck South America, and hit it hard. The southern continent, fond of music, supporter of some of the best opera houses in the world, is seizing eagerly upon the most modern method there is for the distribution of it. More, the enthusiastic Latin-American temperament has been stirred by the romance of the radio telephone, and popular interest in the Argentine, Brazil, and the other countries to the south is at a white heat.
Originally, interest in radio in Latin America was created by amateurs in the Argentine, who were among the first in that part of the world to experiment with the radio telephone. Today it is said that there are in Buenos Aires 250 amateur stations which may be called broadcasters. The situation is somewhat similar to that existing in this country a year ago, except that popular interest is much greater in proportion to the quality of matter being broadcast and the size of the transmitting stations.
The latter two points are being improved, the various companies that own the vital patents covering radio telephone transmission and reception having decided to provide South America with broadcast stations and programs of the best possible type, as well as with apparatus. For this purpose the Radio Corporation of America, the British Marconi company, the French Compagnie Generale de T. S. F., and the German Telefunken company are organizing along "consortium" lines, having decided upon the formation of a company to be known as "Radio Sud-America," in which the four companies will be equal stockholders and sharers of costs and profits. Radio Sud-America will in turn organize such national and local companies in South America as may be necessary to conduct its business of distribution of apparatus and operation of broadcasting stations.
Broadcasting probably will be done by national companies known as "Radio Broadcasting de Brazil," "de Argentino," etc., these being financed by the parent organization. It is indicative of the height of interest in South America that the word "broadcasting" has been adopted into the language. There is no single word in Spanish or Portuguese that is so expressive, and the Latin American has eagerly adopted the term from the country in which it was born.
What will probably be the first broadcasting station to be operated by the consortium is already working in Buenos Aires, where it was erected in October by the Radio Corporation of America. W. H. Howard, one of the company's installation engineers, was sent to Buenos Aires in September, where he took over a 1 kw. transmitter in the warehouse of the International General Electric Co. and proceeded to erect it on the roof of the General Electric office building. Work was started on Monday, October 3, in great haste, as it was desired to have the station in operation by the following Sunday, in order to broadcast the Tracey-Firpo boxing bout. A temporary aerial and counterpoise were erected, and on Thursday night the first tests were made, showing 8 amperes in the antenna. On Friday and Saturday daylight tests were heard in Montevideo and Rosario, in Uruguay and Argentina, at distances of 220 and 300 kilometers, or 120 and 180 miles, respectively.
The first actual broadcasting on the part of the new station was on October
7, when the results of the polo match and the baseball scores were put on the air for the benefit of the English and American clubs, which had requested it.
Sunday the 8th was the big day, on account of the heavyweight championship bout. Considerable difficulty was experienced in getting a telephone wire from the ringside, and it was obtained only an hour before the bout started. The match was broadcast blow for blow until the Argentine champion knocked out his opponent. Despite the fact that a local newspaper also had a direct wire to the ringside, the news of the knockout was repeated on the air several times before the newspaper set off the big bomb that it had announced it would explode if the Argentine boxer won. This striking exhibition of American speed roused great enthusiasm in the Argentine. Since then, the station has been given a more permanent installation, several Government officials have inspected it with an idea of purchasing similar apparatus for use by the Argentine Government, and sales of receiving apparatus have taken a perpendicular jump. The Argentine has welcomed professional broadcasting with the enthusiasm that only Latin Americans can show.
**BROADCASTING IN BRAZIL**
In the meantime, broadcasting on a purely temporary basis has been entertaining the citizens of Argentine's neighbor to the north, Brazil. Due to strict legal prohibition of the use of radio transmitting and receiving equipment in Brazil, except for Government and licensed commercial purposes, amateur radio has not yet had a chance to develop there. However, when plans were drawn for the Brazilian Centennial Exposition, to celebrate the 100th anniversary of the country's independence, it was decided that radio broadcasting must be demonstrated, for exposition purposes at least.
A temporary concession was awarded to the Westinghouse International Company, which agreed to establish a broadcasting station at Rio de Janeiro, where the exposition is being held. The necessary apparatus was shipped, and Mount Corcovado, a spectacular peak 2,000 feet high, situated on the harbor of Rio, was chosen as the site of the station. The mountain is climbed by a cog-wheel railway, its peak being a favorite observation point. Here two 125-foot masts were erected, and a 153-foot 6-wire aerial swung between them. Down the mountain side was run a counterpoise. The station was given the call SPC, and immediately sprang into great favor. Receiving sets were located in many parts of the Exposition, and in the various clubs and other offices in the city that are the centers of the official and semi-official life of the Brazilian capital.
The programs that have been broadcast include speeches by prominent Brazilians, and also operas from the local opera house, from which a telephone line was run to the transmitter at the top of the mountain. The station has been reported heard at a distance of 1,000 miles north and south.
**ONLY TEMPORARY**
At present it seems that when the Brazilian exposition ends the broadcasting concession will terminate also, and that then the ether in Brazil once more will contain only the dots and dashes of commercial transmitters, and such radio telephone waves as may wash over into Brazil from her neighbors. Officially, the present status of broadcasting in Brazil is that of an exposition attraction.
However, the Brazilians now realize the enormous advantages presented by broadcasting, its great service in spreading news, culture and entertainment to the four winds. They are beginning to demand of their Government that the ban upon amateur radio be lifted. Those who are in close touch with the situation state that there is every hope that in the near future new regulations will be promulgated that will enable the continuous operation of broadcasting stations in Rio and other Brazilian cities, and permit the purchase and use of receivers on the part of the general public.
While all this is happening in Argentine and Brazil, the other South American countries are watching the course of events with eager eyes. Broadcasting eventually will be heard in all modern centers of South America.
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**Radio Helps Catch Herrings**
USE of the radio telephone for reporting schools of herring has been developed by Sweden, whose government radio station broadcasts daily reports to the fishing fleet. The approximate locations and direction of movement of all schools, as reported to the government and transmitted by radio enable the fleets, equipped with receivers, to waste little time in hunting for the fish that is so important an article in Swedish commerce. In addition to the herring news, the weather reports, forecasts, and storm warnings give the fishermen time to seek shelter before the gales themselves give notice of approaching danger. News bulletins also keep the fishermen advised of daily happenings of importance in Sweden and throughout the world.
Radio Telephony in France
By Milton S. Waldman
With no great excitement or fuss, broadcasting has slipped into its place in French life in a manner that promises its permanence. The Government assumed without question the duty of transmission, the electric shops quietly took over the sale of apparatus, and the public knew where to look for the one and the other. Probably in no other country did radiotelephony (here universally styled TSF—Téléphonie sans fil) enter in such full maturity and with so many problems already solved at introduction.
Incidentally, before I left London there was great excitement about a radio-equipped automobile, which would now scarcely draw a handful of spectators in America, and which I am sure, would no longer attract much attention here in Paris.
I can safely say that I have never listened to or heard of finer programs than are given by the stations in and near Paris. The Eiffel Tower's schedule at five o'clock in the afternoon has music of an order that would be welcomed in a concert hall. These concerts are public, and large audiences listen to them directly while still larger audiences are hearing them via the TSF. The cooperation is obtained, not only of famous individual artists, but of managers and impresarios; hence one can hear entire bills by famous stars of the Comédie Française and the Opera Comique. Such world-renowned musicians as Victor Charpentier and Archambaud have undertaken the direction of radio concerts. There is not nearly so much broadcasting here as in America, but what there is strikes, in my opinion, a far higher average.
With the French franc worth scarcely more than one-third its par value the price of radio equipment is ridiculously low to American eyes. I have before me a set with one detector and one amplifier bulb which will receive voice and music at 400 miles and signals from all over Europe—on favorable nights even from America—a thrilling event you may be sure, which costs without tubes or batteries about $30, and $50 should be sufficient to rig up a set equivalent to anything selling in America for three times the price or more. A two-stage detector and amplifier panel is priced at about $14 complete. The catalogue before me, issued by one of the biggest shops in Paris, located on the Rue de Rivoli, offers 40-volt dry batteries at about $2.50; fifty-ampere storage batteries at $12—good for about fifty ampere hours with three lamps, is the claim—ebonite knobs at six cents, and a wonderful 4,000-ohm headpiece for about $4.50. I am basing these quotations on the present value of the franc, about 6½ cents.
French Rules for Receivers
The French Ministry of Posts and Telegraphs, which is in control of radio transmitting and receiving in France, is developing new regulations for receiving sets, which at present bear a strong resemblance to the rules now in effect in England. The plans drawn up by Paul Laffont, Minister of Posts and Telegraphs, call for a yearly license fee of 10 francs, prohibit the use of apparatus that will interfere with others—probably prohibiting regeneration, as in England—and require that the owner must be a French citizen. The Minister also thinks it necessary to warn owners that their apparatus is liable to requisition in time of war or at any time.
European Broadcasting Schedules
Some of these transmissions are commercial or official. Wavelengths and times are liable to alteration without notice.
London B.B.C.* Station (2LO), 369 meters. Daily, 5 p.m. to 5.45 p.m., children's stories; 7 p.m. to 10.30 p.m., concert and news.
Manchester B.B.C.* Station (2ZY), 385 meters. Daily, 4.30 p.m. to 5 p.m., concert; 6 p.m. and 6.15 p.m., kiddies' corner; 6.30 p.m. to 7 p.m., reproducing-piano recital; 7 p.m., news bulletin; 8 p.m. to 9.10 p.m., concert; 9.15 p.m., second news bulletin; 9.30 p.m. to 10 p.m., miscellaneous concert.
Birmingham B.B.C.* Station (51T), 420 meters. Weekdays: 6.30 p.m., children's stories; 7 p.m., concert; 7.30 p.m., news bulletin; 8.30 p.m. to 9 p.m., interval; 9 p.m., concert; 9.45 p.m., second news bulletin; 10 p.m., final announcements. Sundays: 8 p.m., news bulletin; 8.10 p.m. to 9.45 p.m., concert; 9.45 p.m., second news bulletin; 10 p.m., final announcements.
Newcastle B.B.C.* Station (5NO), 400 meters. Daily, usually 7 p.m. to 10 p.m.
Cardiff B.B.C.* Station (5WA), 395 meters. Daily, 5 p.m. to 5.45 p.m., children's stories; 7.30 p.m. to 10 p.m., concert and news.
Croydon (GED), 900 meters. Daily.
Writtle (2MT), 400 meters. Tuesdays, 8 p.m.
Eiffel Tower (FL), 2,600 meters. Daily, 6.20 p.m. to 7 p.m., concert, and 10.10 p.m. to 10.20 p.m., concert (weekdays only).
The Hague (PCGG), 1,085 meters. Sundays, 3 p.m. to 5 p.m.
Paris. Concerts Radiola. 1,565 meters. Daily, 5.05 p.m. to 6 p.m., concert; 8.45 p.m. to 9.55 p.m., concert; also concert from 2 p.m. to 3 p.m. on Sundays.
Rome (ICD), 3,200 meters. Daily, 10 a.m.
Königswusterhausen (LP), 2,800 meters. Daily, 4 p.m. to 5.30 p.m.
Amsterdam (PCA), 1,800 meters. Daily, 1.10 p.m.
Haren (OPVH), 900 meters. Daily, every hour from 11.20 a.m. to 4.20 p.m.; 12 noon and 4.50 p.m., weather reports on 1,100 meters.
* British Broadcasting Company.
Distant Broadcasting Stations Heard
Broadcasting fans daily surprise themselves and others by reaching out across hundreds of miles by a turn of the wrist. Often the most simple bulb equipment will produce astonishing results, as reported below. What have YOU done?
Wm. L. BLAKELY, Kansas City, Mo., is enjoying his one-tube receiver, hearing stations on both Coasts and in Canada:
WGY Schenectady, N. Y. ............ 1,300 Miles
KFBF St. Louis, Mo. .................. 1,250 Miles
WHAZ Troy, N. Y. ..................... 1,325 Miles
CFCA Toronto, Canada .................. 1,000 Miles
KZM San Francisco, Cal. ............... 1,000 Miles
KGN Portland, Ore. .................... 1,775 Miles
WJZ Newark, N. J. ..................... 1,350 Miles
WGL Philadelphia, Pa. .................. 1,400 Miles
CFCN Calgary, Canada ................... 1,300 Miles
WNAC Boston, Mass. ..................... 1,300 Miles
EDWARD BARR, Atlantic Highlands, N. J., has heard distant stations, using a J-circuit regenerative set and detector:
WLAG Minneapolis, Minn. .............. 1,000 Miles
J. E. HILTS, Rochester, N. Y., uses a single circuit regenerative hook-up, with a WD-11 tube:
WCM Austin, Tex. ....................... 1,500 Miles
WAAC New Orleans, La. .................. 1,100 Miles
WEAT Tampa, Fla. ....................... 1,100 Miles
O. N. GAY, Mendon, Ill., has a 2-stage set, but on seeing the records for detector alone on this page, turned off his amplifier and got the following:
KHJ Los Angeles, Cal. .................. 1,700 Miles
JOHN LEAVITT, Hollis, L. I., N. Y., has a 75-foot antenna and hears the following stations on a loud speaker:
WGE Des Moines, Iowa ................... 1,100 Miles
PWX Havana, Cuba ....................... 1,250 Miles
J. R. NEWMAN, Pittsburgh, Pa., has a single-circuit circuit in the heart of the residential district of Pittsburgh and has found that he can hear stations only close to a power line. Nevertheless he has been able to hear the East, South, West and Southwest:
WOAI San Antonio, Tex. .................. 1,300 Miles
WEAM New Orleans, La. .................. 1,000 Miles
W. J. FRISCH, East McKeesport, Pa., has a single circuit regenerative receiver and has heard the following stations on the detector alone:
PWX Havana, Cuba ....................... 1,350 Miles
KFI Los Angeles, Calif. .................. 1,200 Miles
WFAA Dallas, Tex. ....................... 1,200 Miles
WLAG Minneapolis, Minn. .................. 1,000 Miles
CYCB Vancouver, B. C. ................... 2,000 Miles
WPAC Okmulgee, Okla. .................... 1,200 Miles
WGV New Orleans, La. .................... 1,100 Miles
O. J. NELSON, Rockford, Ill., made a one-tube set on Christmas day and since then has heard both Atlantic and Pacific Coasts, Canada to the North, and Texas to the South:
KPI Los Angeles, Calif. .................. 1,700 Miles
KHJ Los Angeles, Calif. .................. 1,700 Miles
KWH Los Angeles, Calif. .................. 1,700 Miles
KPO San Francisco, Calif. ............... 1,800 Miles
B. ADAMS, Ferndale, Cal., likes the single circuit regenerative type of hook-up, and uses that with a one-step amplifier.
Miles
KSD St. Louis, Mo. ....................... 1,700 Miles
WMAK Beaumont, Tex. ..................... 1,700 Miles
WBAP Fort Worth, Tex. .................... 1,400 Miles
WDAP Kansas City, Mo. ................... 1,400 Miles
CFCN Calgary, Canada ..................... 1,550 Miles
KYK Oklahoma City, Okla. ................. 1,450 Miles
VERNON CHASEN, Youngstown, Ohio, submits a list of 35 stations heard in a single night with a regenerative set with detector tube only.
Miles
PWX Havana, Cuba ......................... 1,275 Miles
WAAC New Orleans, La. .................... 1,025 Miles
WFAA Dallas, Tex. ......................... 1,050 Miles
WBAP Fort Worth, Tex. ..................... 1,400 Miles
V. O. FICCO, Ossian, Ind., reaches both east and west with ease, and hears Los Angeles regularly.
Miles
WKAQ San Juan, P. R. ..................... 2,800 Miles
PWX Havana, Cuba ......................... 1,400 Miles
KHJ Los Angeles, Cal. ..................... 1,500 Miles
J. W. BOWERS, Punxsutawney, Pa., 3AGV, likes a non-regenerative hook-up, and with the detector only hears:
Miles
WFAA Dallas, Tex. ......................... 1,150 Miles
WHAP Fort Worth, Tex. ..................... 1,250 Miles
KLB Pasadena, Cal. ......................... 2,150 Miles
ESCOL L. CHELLI, San Rafael, Cal., only wishes the "DX period was longer, as it is surely interesting."
Miles
WGR Buffalo, N. Y. ....................... 2,250 Miles
MAVIN MARTENS, Charles City, Ia., has "Charles City Special," a one-tube set so called because of its popularity among boys who build their own.
Miles
WGY Schenectady, N. Y. ................... 1,100 Miles
WEAF New York City ....................... 1,000 Miles
WJZ Newark, N. J. ......................... 1,000 Miles
C. S. CONRAD, Bridgeport, Conn., finds one step of amplification is sufficient to make nearly every distant station audible all over the room, including:
Miles
PWX Havana, Cuba ......................... 1,300 Miles
EUGENE SULLIVAN, Atchison, Kan., who is fifteen years old, has had a single tube set for about a month and is proud of having "caught" a number of distant stations:
Miles
KDKA Pittsburgh, Pa. ..................... 800 Miles
WHAS Louisville, Ky. ...................... 650 Miles
WLW Cincinnati, Ohio ..................... 650 Miles
WBAP Fort Worth, Tex. ..................... 600 Miles
WSB Atlanta, Ga. .......................... 700 Miles
DAVID B. HAXTER, New York City, says, "How's this for a single tube regenerative set in the big city?"
Miles
WWJ Detroit, Mich. ......................... 500 Miles
WDAP Chicago, Ill. ......................... 750 Miles
WBAP College Park, Ga. .................... 750 Miles
WOC Davenport, Iowa ....................... 850 Miles
WDAP Chicago, Ill. ......................... 850 Miles
WMAQ Chicago, Ill. ......................... 850 Miles
WJW Detroit, Mich. ......................... 600 Miles
WIA Milwaukee, Wis. ....................... 450 Miles
WABK Milwaukee, Wis. ...................... 450 Miles
WHB Kansas City, Mo. ...................... 1,250 Miles
WSD St. Louis, Mo. ......................... 1,000 Miles
WOC Davenport, Iowa ....................... 1,000 Miles
WJZ Louisville, Ky. ......................... 800 Miles
WJW Detroit, Mich. ......................... 750 Miles
WTAX Cleveland, O. ......................... 750 Miles
WBAP Fort Worth, Tex. ..................... 1,600 Miles
PWX Havana, Cuba ......................... 1,450 Miles
EARL MOORE, Salina, Kansas, is much bothered by a large flour mill opposite him, which uses five powerful electric machines for bleaching flour. He has heard stations in Michigan at 7 a.m. the following Sunday morning, and the interference from them is so great that reception becomes impossible. However, with a 3-circuit regenerative tuner he has been able to hear the following:
Miles
SFW San Francisco, Calif. .................. 1,325 Miles
WRAH Milan Beach, Fla. .................... 1,250 Miles
WGY Schenectady, N. Y. .................... 1,265 Miles
WEAF New York City ....................... 1,265 Miles
WJZ Newark, N. J. ......................... 1,250 Miles
KOG Los Angeles, Calif. .................... 1,175 Miles
WJZ Los Angeles, Calif. .................... 1,175 Miles
KWH Los Angeles, Calif. .................... 1,175 Miles
KFH Lancaster, Pa. ......................... 1,150 Miles
WMAK Beckley, W. Va. ...................... 1,000 Miles
CFCN Toronto, Canada ...................... 1,010 Miles
WBAG Bridgeport, Pa. ...................... 1,100 Miles
PAUL F. HARN, Rochester, N. Y., uses a single circuit receiver with one stage of audio-frequency amplification. For an antenna he uses two sets of bed springs.
Miles
WOB Atlanta, Ga. ......................... 1,200 Miles
WOC Davenport, Iowa ....................... 1,000 Miles
WOK Jefferson City, Mo. .................... 1,000 Miles
WOB Kansas City, Mo. ...................... 1,035 Miles
WMAQ Chicago, Ill. ......................... 975 Miles
WBAP Fort Worth, Tex. ..................... 1,400 Miles
DELWAY SMITH, Waco, Texas, reports the following stations as heard on a crystal set, in one evening:
Miles
WQAA Dallas, Tex. ......................... 100 Miles
WQAA San Antonio, Tex. .................... 175 Miles
WMAQ Chicago, Ill. ......................... 100 Miles
WBAP Fort Worth, Tex. ..................... 100 Miles
KSD St. Louis, Mo. ......................... 660 Miles
WMAQ Wichita, Kan. ....................... 415 Miles
WHB Kansas City, Mo. ...................... 660 Miles
KSD St. Louis, Mo. ......................... 710 Miles
KBT Charleston, W. Va. .................... 710 Miles
WCK Detroit, Mich. ......................... 1,100 Miles
WQAA San Antonio, Tex. .................... 1,100 Miles
WLB Minneapolis, Minn. ..................... 1,100 Miles
WOC Davenport, Iowa ....................... 975 Miles
WKN Newark, N. J. ......................... 1,500 Miles
WSD St. Louis, Mo. ......................... 1,500 Miles
WAAB New Orleans, La. ..................... 325 Miles
WQAA Dayton, Ohio ......................... 1,175 Miles
WDAP Kansas City, Mo. ..................... 1,175 Miles
WHAA Iowa City, Ia. ....................... 975 Miles
WHAN Wichita, Kans. ....................... 625 Miles
ENWIN W. KINN, West Hoboken, N. J., is one of the first listeners reporting from California broadcasting. He has a regenerative set and found one step of audio-frequency amplification sufficient to hear the Pacific Coast:
Miles
WDAP Kansas City, Mo. ..................... 1,100 Miles
WDAY Fargo, N. D. ......................... 1,200 Miles
WBAP Fort Worth, Tex. ..................... 1,400 Miles
WMAQ Chicago, Ill. ......................... 1,400 Miles
PWX Havana, Cuba ......................... 1,400 Miles
KHJ Los Angeles, Calif. .................... 3,000 Miles
ROGER GEITZ, Kalamazoo, Mich., has submitted a list of stations heard over distances of less than 1,000 miles.
FRANKLIN L. BENNETT, Stoneham, Mass., has a crystal set for which he reports the following results:
Miles
KSD St. Louis, Mo. ......................... 1,100 Miles
KDKA Pittsburgh, Pa. ...................... 575 Miles
NOF Washington, D. C. ..................... 500 Miles
WQAA Dayton, Ohio ......................... 300 Miles
WIZ Philadelphia, Pa. ..................... 300 Miles
WJZ Newark, N. J. ......................... 250 Miles
WQAA Dayton, Ohio ......................... 250 Miles
WEAF New York, N. Y. ...................... 200 Miles
WBAP Fort Worth, Tex. ..................... 200 Miles
WMAQ Chicago, Ill. ......................... 180 Miles
WGY Schenectady, N. Y. .................... 170 Miles
CHARLES A. HALL, Providence, R. I., has heard the following stations on a single WD-11 tube:
Miles
WHY Kansas City, Mo. ...................... 1,200 Miles
WQAA Davenport, Iowa ...................... 1,000 Miles
PWX Havana, Cuba ......................... 1,000 Miles
KSD St. Louis, Mo. ......................... 1,050 Miles
HAROLD PIKE, Fair Grove, Mich., joins the ranks of those who heard both Coasts, Canada and Cuba:
Miles
KHJ Los Angeles, Calif. .................... 2,000 Miles
KPI Los Angeles, Calif. .................... 2,000 Miles
KWH Los Angeles, Calif. .................... 2,000 Miles
PWX Havana, Cuba ......................... 1,000 Miles
WAB Galveston, Tex. ....................... 1,200 Miles
WQAA San Antonio, Tex. .................... 1,280 Miles
KIZ Denver, Colo. ......................... 1,200 Miles
KPAF Denver, Colo. ....................... 1,175 Miles
DAP Denver, Colo. ......................... 1,175 Miles
WPA Fort Worth, Tex. ...................... 1,050 Miles
WBAP Fort Worth, Tex. ..................... 1,050 Miles
WFAA Dallas, Tex. ......................... 1,040 Miles
WQAA Davenport, Iowa ...................... 1,000 Miles
WGV New Orleans, La. ...................... 1,000 Miles
BERNARD SEUWINK, Detroit, Mich., has a single circuit tuner and detector alone:
Miles
PWX Havana, Cuba ......................... 1,300 Miles
WBAP Fort Worth, Tex. ..................... 1,050 Miles
CLARENCE F. KRAMER, Lebanon, Ind., operator of station 9AOB, sends the following list of stations heard on a crystal set:
Miles
KDKA Pittsburgh, Pa. ...................... 350 Miles
WQAA Dallas, Tex. ......................... 225 Miles
WCTW Detroit, Mich. ....................... 225 Miles
WHIA Madison, Wis. ....................... 250 Miles
WMAQ Chicago, Ill. ......................... 450 Miles
WHIB Indianapolis, Ind. .................... 450 Miles
WSB Atlanta, Ga. .......................... 450 Miles
WGM Atlanta, Ga. .......................... 450 Miles
WJZ Newark, N. J. ......................... 700 Miles
WHAZ Troy, N. Y. ......................... 700 Miles
WMAQ Chicago, Ill. ......................... 150 Miles
WHAS Louisville, Ky. ...................... 150 Miles
WKN Davenport, Iowa ....................... 250 Miles
WMAQ Indianapolis, Ind. ................... 450 Miles
WAAP Wichita, Kan. ....................... 425 Miles
WFAA Dallas, Tex. ......................... 775 Miles
KSD St. Louis, Mo. ......................... 225 Miles
WIZ Newark, N. J. ......................... 625 Miles
WQAA Dayton, Ohio ......................... 500 Miles
WMAQ Minneapolis, Minn. ................... 500 Miles
WQAA Dayton, Ohio ......................... 525 Miles
WQAA Dayton, Ohio ......................... 525 Miles
WQAA Dayton, Ohio ......................... 525 Miles
WQAA Dayton, Ohio ......................... 450 Miles
WEAO Columbus, Ohio ....................... 175 Miles
Listening In Here and There
"SERVICE with a Smile"—that's the motto of Silvy's Place in Colorado Springs, Col. "Silvy" is Harold M. Silverstein, and his place is a cigar shop and newsstand, and a popular one too, now that radio concerts fill the air to blend with the aroma of tobacco and vie with the magazines for the interested attention of passers-by. "I get all concerts everywhere in the United States as clear as a bell," writes Silvy, and he is happy about it, not only because he enjoys what he hears, but also because his friends and customers enjoy it too. This means better business for his shop, and also gives his friends more reason than ever for their friendship. He who has a radio set—is he not worthy of cultivation? asks everybody, and Silvy thinks he is not only worthy of it, but gets it in two ways; his friends are more than ever attentive, and the broadcast concerts and lectures add to the cultivation of the listener. "Service with a Smile" is Silvy's motto, and radio helps him give it. It is seldom that one can combine business and pleasure as he does now, by radio. It's not a one-sided affair at all. It's fun for Silvy and for his customers, and good business for him too. And maybe some of his smoking friends get profit from it also.
How Radio Comes to One Hospital Bed
ANTHONY MODJESKI has spent the last ten years in a hospital in Grand Rapids, Mich. A mysterious disease during that time has been gradually ossifying every joint in his body, so that today many of them seem to be solid bone. He can move only slightly.
In spite of this great and sometimes painful affliction, Anthony has been cheerful, and by his patience and uncomplaining attitude has endeared himself to the nurses, the doctors, and all who have visited him. So it was not strange that when radio broadcasting arrived somebody gave him a receiving set, of the vacuum tube type. Thereby is Anthony's life given new interest, and a joy he had not known for years.
He used to be active. He liked people, liked to be with them, to participate in the affairs of the city, to keep his finger on the pulse of things, so to speak. If anything happened around Grand Rapids, Anthony knew about it before the papers did, usually, and it was a great hardship to him to have to give up all this activity for a life of rigid inaction in a hospital bed. Now by radio he hears the city, and more, the Middle West. It has brought back to him everything he used to enjoy, and many things that he never enjoyed before. "Thank God for radio," says Anthony Modjeski. "It's a gift right from Him."
Put "Taximeter" on Radio Receiver
THE first report from any source that taximeters were used to measure the amount of entertainment received from a radiophone, comes from Buenos Aires, Argentina. During a school festival in that city recently, the radio fans of a college in Belgrano, a suburb of the Argentine capital, constructed a radio receiving set with a number of headphones attached to the output of the set. Each pair of phones hung over a comfortable chair, and on the wall behind the chair, was a specially constructed "taximeter," run by clockwork. In this way the listening-in time is metered.
This novel arrangement paid for itself in a single day of operation. The minimum charge for "listening-in" was twenty centavos, which gave the listener three minutes of radiophone music. For every minute after the initial period, the taximeter registered ten centavos, so that five minutes of the sport would cost fifty centavos in Argentine money, or about twenty cents American silver.
Some persons, states the "Revista Telegrafica," in which the "stunt" was reported, listened to the music and forgot entirely that there was such a thing as time, with the result that when they laid down the headphones, they could scarcely believe the reading of the meter, the charge was so great. It might be well for the listeners in America to appreciate the radio broadcasting station at home, where conditions are such that anyone can put together a receiving set and listen in for hours free of charge.
Cartoonists' Pens Are Busy with Wireless Witticisms for All
SIMEON BATTES
NEIGHBORHOOD NEWS By FONTAINE FOX
SCHOOL DAYS By DWIG
WHILE MR. WIGGINS WAS LISTENING TO A JAZZ ORCHESTRA VIA RADIO, BURGLARS ENTERED AND MADE A CLEAN-UP OF ALMOST EVERYTHING OF VALUE ON THE FIRST FLOOR.
THERE IS THE HAPPY DAYS.
NOTHING IS IMPORTANT ENOUGH TO TEAR A MAN AWAY FROM HIS RADIO
THE POOR NUT IS SO WRAPPED UP IN HIS RADIO OUTFIT HE DOESN'T KNOW HIS HOUSE IS ON FIRE.
HE'S HAPPY BUT DUMB
—Goldberg in the N. Y. Mail
Laughter on the Radio Wave
Rah! Rah!! Rah!!!
It is proposed to conduct college courses by radio. That's fine. Only we see difficulties on graduation day. John Brown, frinstance, tunes in for his B.A. degree, and instead finds himself decorated with a First Class Hand Holder's certificate by the Mary & Jane Manicure School. And Clara Homebody, domestic scientist who has learned all about making pies and beds and things at home, refuses to wear an apron any more because she is—take it from the radio—Ph.D., LL.D. and D.C.L. While Hiram Snaffle, who knows all about stock raising and horse breeding, including its attendant assortment of cuss words, gets a D.D., and everything that goes with it except the pulpit.
However, probably we shouldn't complain until they try to play baseball by radio. A home run, for instance—into whose home? "Not in mine," would be the universal chorus, and the poor batter would be left hanging up in the air with no place to go.
And what would the radio rah-rah-boys do, poor things—hang their frat pins on their antennas? Would they be required to install transmitters in order to give the class yell?
The only alleviating aspect is that the radio college could only claim tuition fees by radio, and of course if it didn't get them, that would be the fault of its receiver, not of its students, oh no, no, nonono!
"HARK FROM THE TOMB"
Philadelphia Egypt February twenty seven 5223 a t after refusing for over thirty three hundred years to speak over the radiophone King Tutankhamen at last consented to broadcast a few words today said he this is station t u t kings valley interment association members of the radio audience i wish to correct the many mispronunciations of my name that i hear daily pronounce t as in tutt a as ink and hayman like an englishman except the accent is on the first syllable some people call me two tanker men but that sounds two much like two gun smith and besides why remind us of the wonderful light wines and beer we had in the days when gold was cheap enough to use for bedclothes i send special greetings to the city in the far west that is named after ours and i often think that perhaps there too some one will actually wake up in thirty three hundred years this is station t u t signing off until 8523 a t good afternoon jorje clairek.—N. Y. World.
Do You?
"Radio" is a terrible creed—I like it.
It satisfies no normal need—I like it.
It makes you thin, it makes you lean,
It takes your hair right off'n your bean,
It's the worst darn stuff I've ever seen,
BUT—I like it!
—N. Y. Evening Mail.
Bedtime Story
Once upon a time, my dears, there was a father who had twin sons who were so much alike that he couldn't tell them apart. So he sent one to Yale and the other to Harvard, but after they had graduated he still couldn't tell which was which. Then he made one spend a year in Germany and the other a year in France, but still he couldn't tell them apart. So he made one a radio amateur, and the other a broadcast listener, and after that he couldn't tell either of them anything.—G. W. Z.
A STRAIN ON THE FAMILY TREE
I don't see how the
Liz can't find you when
All evening fishin' round
For 77 words at Atlanta,
When she's got a radio an'
Runnin' an announcin' show?
Here hearts home! and
Alot louder!
—N. Y. News
Wise Crack-les
HAM: "What's the best circuit?"
BAM: "Horse racing, vaudeville, or radio?"
F. X. McC. says the way the announcers rip out their call letters nowadays reminds him of his Ford, which rattled off its license plates the other day. And they're not the only things a Ford will rattle off, if his is anything like ours.
OH, RATS!
J. H. T., who rolled his own in his father's barn, wants to know what's been nibbling at the spaghetti.
Radio bugs, of course.
WINDY CITY STUFF
G. W. G. wants to know if it is necessary to move to Chicago in order to use the Loop.
O. M., a movie operator in Hollywood, says the revenoocers overlooked the condenser part of his home brewery, and can he use it in a radio set? No, that's for taking still pictures with.
Cowboy Song, New Style
Whiles I was a-ridin' to San Antone
(Roll along, Lizzie, roll along)
Thar went my gas tank drier 'n a bone
(An' I ain't in a hurry nohow).
Nothin' but cactus, nothin' but dirt,
And you cain't start a Ford with spur ner quirt.
Plumb out o' gas, I'd been thar yet,
Ef I hadn't brought along my radio set.
Listen, you cowboys, listen to my song—
Allus take your radio set along.
Told my troubles to the desert air,
And along come a waddy that had gas to spare.
He on his pinto Liz, me on my roan
(Roll along, Lizzie, roll along)
Went down lopin' into San Antone
(An' I ain't in a hurry nohow).
S. K., in Life.
Radio Transmitters Increase 8,500 Per Cent.
An increase of 8,500 per cent. in the number of radio transmitting stations of all kinds in the United States took place in the ten years ending last January. The total number of stations licensed on June 30, 1913, was 1,890, while on January 1, 1923, there were 21,065 stations recorded on the lists of the U. S. Department of Commerce. Of those stations, 544 were Class A broadcasters, 25 were Class B broadcasters, and 16,898 were amateurs. The complete table for the two dates is as follows:
| Number of licensed radio stations on June 30, 1913, and on January 1, 1923. |
|---------------------------------------------------------------|
| Broadcasting class A | 1913 | 1923 |
| Broadcasting class B | 25 |
| Amateur | 1,312 | 16,898 |
| Special amateur | 3 | 201 |
| Experimental | 10 | 291 |
| Technical and training schools | 7 | 126 |
| Point to point inland | 14 | 167 |
| Coast stations communicating with ships | 64 | 39 |
| Transoceanic | 1 | 12 |
| Ship stations | 479 | 2,762 |
Total | 1,890 | 21,065
Number of operators licensed during fiscal years 1913 and 1922.
| Commercial | 1,832 | 3,136 |
| Experimental and instruction | 8 | 43 |
| Cargo | 1 | 14 |
| Amateur, first class | 1,075 | 4,530 |
| Amateur, second class | 766 | 4,390 |
Total | 3,682 | 12,113
Since this table was compiled by the authorities in Washington, some minor changes have been made, principally in the list of Class A broadcasting stations. No figures are obtainable as to the number of receiving sets, as these are not required to be licensed, but of course they far exceed the transmitters in number, and are growing more numerous daily. It is estimated, however, that there are approximately 1,500,000 receiving sets in operation at the present time.
Would Broadcast in China
According to one of the English daily papers in Shanghai, application has been made to the Chinese Minister of War for a "huchow" or permit to import amateur receiving sets, and erect and operate a broadcasting station or stations. There are a number of American manufacturers of radio and electrical apparatus, according to the Shanghai paper, backing the plans to give the country an efficient broadcasting service, and the co-operation of the U. S. consulate at Peking has been secured in negotiating with the authorities. Americans now in this country, however, who are familiar with the situation, say that the prospect is doubtful, as China is in a state of civil war, and in war time all amateur and popular radio is forbidden, there as in other countries.
Radio apparatus of all kinds is classified as "contraband of war" by the Chinese authorities, and its importation is strictly prohibited. So carefully is this rule and regulation enforced that some time ago a pair of telephone lineman's testing phones were seized by the Chinese customs officials on the ground that they were army field telephones, and it took considerable time to explain their use and secure their release. As long as this prohibition exists, it will be impossible to conduct broadcasting in China, for there would be no one to listen.
New International List
A new edition, the eighth, of the International List of Radio Telegraph Stations will be available soon. Copies may be had at 14 Swiss francs from the International Bureau of the Telegraph Union, Berne, Switzerland.
Mexico Repeats Marine Items
The Mexican Government has inaugurated a new broadcasting service for mariners. Notices to mariners emanating from radio stations in America and Cuba, and vessels within their zone, are re-transmitted by six Mexican stations on both the Pacific and Gulf coasts.
England Sanctions Private Radio Enterprise
An important announcement regarding the projected, but long-deferred imperial wireless chain was made by Premier Bonar Law in the House of Commons, on March 10. Replying to a question he said:
"In view of the developments in the science of wireless telegraphy and the other circumstances which have arisen since the late government decided upon a policy of a state operated wireless chain, it is not considered necessary any longer to exclude private enterprise from participation in wireless telegraphy within the Empire.
"The government has heretofore decided to issue licenses for the construction of wireless stations in this country for communication with the Dominions, colonies and foreign countries, subject to the conditions necessary to secure British control and for suitable arrangements for handling the traffic.
"At the same time the government has decided that it is necessary in the interests of national security that there should be a wireless station in this country capable of communicating with the Dominions, and owned and operated by private enterprise. A station of this kind will, therefore be erected as early as possible, and it will be available for commercial traffic as well as for service messages."
Army Radio Courses Now Are Standardized
A definite program of instruction in radio principles and practices has been laid down for the U. S. Signal Corps by a special board. Three courses are arranged, the Company Officers' Course, an Advanced Tactical and Administrative Course, and an Advanced Technical Course. Each takes a period of nine months for completion. In view of the radical changes that have taken place in the Signal Corps' relation to the other arms since the war, the new courses are of great importance. They will be relied upon in large measure to perfect the organization of the Corps into a scientific and technical body, responsible not so much for the actual operation of communication nets as for the furnishing of apparatus and training of special details from the other branches of the service.
Exhibit of Communication Methods
A comprehensive exhibit of all methods of communication, including latest developments in radio telegraphy and telephony, is being collected by the U. S. National Museum at Washington. The U. S. Signal Corps is co-operating with the Museum in developing a series of models illustrating the runner, the mounted messenger, the heliograph, the Postal Service, wire communications and finally, the history of radio. Many of the exhibits will consist of historic apparatus once used in this country and abroad.
Radio on Lightship 106
Light vessel 106, which will be anchored off Nantucket Shoals, Mass., is being completed by the builders at Bath, Me., where it was launched last October, and will shortly take its post at sea. Radio fog signal devices of the latest type are being installed in the ship, which will be the first lightship of the lighthouse service to be equipped from the start with this apparatus. The ship will be one of the most completely equipped off any coast and will have not only the most modern radio and transmitting apparatus, but also a powerful whistle, a submarine bell, and a brilliant automatic flashing light.
Navy Closing Lake Stations
Nine radio stations on the Great Lakes have been ordered closed by the U. S. Navy, pending final determination of their disposition. In the main, these were stations put in commission during the war, and since the necessity for them passed, they have been operated on a temporary basis. One of them, at Cleveland, Ohio, now will be used only for air mail work. According to Secretary of the Navy Denby, the stations now serve no purpose in connection with the efficiency of the fleet, and hence cannot be operated by the Navy any longer. They will be shut down while it is determined whether to lease them for private operation or transfer them to some other department of the Government.
Engine Service by Radio
The radio operators on board ship have often been called upon to transmit messages dealing with human illness on board their vessels, but it is very seldom if ever they have to fill the ether with appeals for a diagnosis of engine trouble, yet that has been what the S. S. Jangvar recently did. This ship uses Diesel engines, which take a special kind of oil as fuel. On her way from the Mediterranean to New York the vessel's fuel tanks ran dry unexpectedly. By using her wireless it was found that the nearest port where oil could be obtained was Ponta Delgada, but that there only a heavy oil, much heavier than Diesel oil, could be had. Could this oil be burned in the Diesel engine and if so, what, if any, alterations would have to be made? was the problem faced by the chief engineer of the Jangvar. An appeal for advice was sent to the Diesel department of the Morse Drydock & Repair Co., by radio. Instructions were sent back, and the Jangvar, which otherwise might have had to wallow helplessly in the seas until a ship came along and towed her to New York, was able to continue her journey under her own power.
New Commercial Stations
The radio station at Kotonou, West French Africa, now is in operation on 600 meters with a range of 300 miles. The transmitter is an S. F. R. Spark set. General public messages are handled between the hours of 8 to 11 and 14 to 17 o'clock, Greenwich mean time. The call is FKO.
CRK, Praia, Cape Verde Islands, is working on 600, 800, 1,000 and 1,530 meters, from 10 to 22 o'clock, Greenwich mean time. It has a Marconi transmitter with a range of about 400 miles.
Radio Exports Increase
Exports of wireless telephone and telegraph apparatus from the United States during 1922 were more than three times as large as they were in 1921. The total value for last year was $3,214,098, compared with $1,010,891 in 1921. Of the 1922 total, $2,891,799 consisted of radio apparatus, the rest being telegraph material.
French Radio Letters
France has introduced a new type of "radio letter" service for communication with her colonies, entailing the use of both the mails and the radio telegraph. The French radio letter must be printed plainly, and forwarded to the transmitting station by mail. There it is sent by radio to the appropriate receiving station, which places the message in its local mails for delivery in that manner. The result is a considerable saving of time over the all-mail route, and at a cost of less than the full radio rate.
San Francisco Show
San Francisco is all set for the radio and electrical exposition to be held April 3 to 8, under the auspices of the American Radio Exposition Company of New York. The Exposition Auditorium has been secured for the show, which has the endorsement of the Pacific Radio Trade Association, San Francisco Electrical Development League, Electrical Contractors and Dealers' Association of San Francisco, and the California State Association of Electrical Contractors and Dealers. The show will be conducted in the same manner as was the very successful New York exhibition of last December, a feature of which was the prohibition of loud speaker demonstrations and the use of sound-proof booths for that purpose. It is hoped to make the exhibition an annual affair.
Radio Revolution Not Yet Here
Power-Line Broadcasting Has Many Disadvantages Which Must Be Overcome Before Any Advantage Is Had Over Present Method—Many Reasons Why Radio Broadcasting Will Always Have a Strong Appeal
By Carl Dreher
"Wireless Has Been Revolutionized Over Night," reads a headline on the first page of a radio newspaper supplement. "What!" the reader may exclaim, "Have they discovered another variation of Armstrong's super?" The invention in this instance, however, is not so much in the receiver as in the medium between the broadcasting station and the listener. It's wired wireless—the system whereby the oscillations of the radio set, instead of being scattered to all points of the compass through space, are injected into a wire network. The article under the excited headline is a report of preliminary research done by an electric lighting company with the ultimate aim of selling a news, musical and educational service to its consumers by putting modulated radio frequency waves onto the electric light and power wires.
Revolution is a much-abused word. Nowhere has it been more abused than in the radio field during the past year or so, since broadcasting took hold of the public imagination. For one thing, so many of the revolutions seem to center around old ideas. This matter of line radio, for example, is by no means new. Major-General George Owen Squier is said to have invented it. He has done considerable work in this field, no doubt interesting and valuable work, for General Squier's eminence in scientific circles is unquestioned. Until an investigator's patents have been adjudicated, however, it is wise to hold one's judgment in abeyance in such matters. Other men have worked in this field. The public, of course, usually has little conception of the painful steps by which an art progresses, the interaction of different men's labors, the difficulty of assigning just credit to all the workers in a complicated engineering project. It is the same, of course, in all the applications of science. The public thinks M. Coué invented auto-suggestion. Muensterberg, who wrote about it at great length twenty years ago, is dead and forgotten—and Muensterberg never claimed the invention of this useful, but strictly limited method of psychiatry. Other men, he knew, antedated him. Without wishing to draw a parallel between the case of wire radio and this one, we should take the lesson to heart as showing the general attitude which one should take in common fairness. Similar instances might be cited without number. A number of contemporary radio men honestly believe that they are—or rather, each one thinks that he is—the inventor of the spider web inductance. But a fully-developed spider web coil is photographed in Zenneck's book on wireless telegraphy, written in 1908! Who invented the construction is not stated, but certainly the people who think they invented it in 1920 are in need of a little paging of old textbooks.
Leaving aside, however, the question of invention, it may be worth while to analyze the present situation in radio briefly, in order to forecast the result of a serious pushing of the wired radio idea by well capitalized interests, if such a development comes about. The proponents of the idea claim that it will appeal to the public because receiving apparatus can be made comparatively simple. As the broadcasted energy is sent out on wires, less attenuation or weakening of the signals may be expected than when the waves are flung off into space, on the same principle as that it takes several hundred kilowatts to telegraph over the ocean commercially by radio, and a comparatively small wattage when a cable is used. Thus, with a broadcasting transmitter shooting jazz into the lighting mains, a loud speaker may in all likelihood be operated by a single tube connected to a lamp socket through a suitable condenser. Radio receiving is changed, in short, from a problem in what the Germans call "Schwachstromtechnik"—weak current technique, to more or less of a power proposition. But is that really what people want?
Most of us have forgotten how to amuse ourselves. Plenty of people are ready to sell us amusement, but is it quite the same thing? It is really amazing what ponderous efforts are put forth to preserve the public from being bored. Enormous industries are based on the need of the people for diversion and their incapacity for getting it unassisted. In all this the role of the individual is purely passive. It is like going to an osteopathic physician in order to be massaged and mauled around, in place of taking one's exercise naturally. The movies are a case in point. The average man sits out an evening watching the fantastic struggles and exploits of the hero. He never thinks of having any adventures of his own. He is resigned, apparently, to the routine of a drab and restricted existence, relieved only by injections of industrialized and standardized entertainment. And, of course, the farther one goes along this road the more incapable one becomes of turning back. It has come to the point where an individual who still tries to be self-sustaining in his diversions runs the risk of being considered slightly abnormal.
Nothing could be less in keeping with the traditions of a nation which is supposed to foster individual enterprise and initiative. And in fact there is a good deal of restlessness under a system of living whose tendency is to make people act alike, and which, as the machinery of existence becomes more complex, restricts the activity of the individual more and more. Now what has this argument to do with radio?
Radio has been to a considerable extent a release for the energies which in most people find no adequate outlet. To that factor a great part of its present popularity may, I think, be ascribed. Radio, for a good many people, is not merely a passive listening to this soprano or that lecturer; it is an adventure. Building a set is a part of the adventure, to people many of whom have never done any previous handiwork beyond hanging a screen door. They have their difficulties and failures, but in the long run they are having a good time. Then there is the lure of distance work, for both those who build their own and those who buy sets complete. People without the means to travel get something of the zest of being footloose, even if it is only a shadow of the actuality, in hearing stations at the other end of the country. And in the very fact of the art's incomplete development and the certainty that broadcasting will undergo, within the next decade, many changes and developments now only dimly foreshadowed, amateurs of radio realize once more the impulses and compensations of pioneering.
For every listener who is interested only in the content of broadcasting and doesn't want to hear a word about the works inside of the box, there is another who insists on knowing all about it, adding some radio-frequency and trying that new hook-up which Jones says is "the berries." There is room for everyone. For the former classwired wireless, if and when it develops. For the latter—radio.
What has happened, in effect, is the infection of a large percentage of the newcomers in radio with the same spirit that animates the old style wireless telegraph amateurs. The code work, as a matter of fact, is a special thing. If one is not a good operator, one is none at all; and to become a fast operator is at least as hard as to become a competent stenographer. People are unlikely to do it in large masses—speaking here in terms of national population—except under the pressure of having to earn a living. This factor has restricted and will continue to restrict the number of code enthusiasts and transmitter men and so on. When radio telephone broadcasting came the field of interest in radio widened enormously. The man in the street became eligible for membership. If the new game lacks some of the spirit of freemasonry which ties together the comparative few who know the code, it makes up for that in the greater intimacy and humanism of communication by the spoken word, and in the superior interest of telephone broadcasted material over the bulk of telegraphed matter.
It seems clear, on these psychological and biological grounds, that radio has a field of its own, and that high frequency on wires will not oust high frequency in space, any more than high frequency in space supplanted low frequency on wires. Wires have certain inherent physical qualities, and space has other inherent qualities, and applications in each field derive exclusive advantages therefrom. We may analyze some of these characteristics on a technical basis. Looking at the matter electrically, is it certain that even in point of reliability wired radio can win hands down from the etheric brand? Some conjectures are possible. Presumably in the carrier system on wires the intention is mainly to exploit the rural field. Urban radio broadcasting, it is clear already, can be developed into a sensibly perfect proposition, on the level of the best public utility services. Long transmission lines, as everyone knows who has lived in the country, have their troubles. An antenna a few hundred feet long can be put up to withstand anything short of an earthquake, but when the stretch is a few hundred miles, there is apt to be a weak spot or two along the line—and high tension finds out weak spots. It is a rare electric light transmission that does not abandon its consumers to kerosene and candles during a heavy blizzard or a violent lightning storm. Sometimes the interruption is for a few minutes, sometimes for days. At these times, when the radio may be expected to hold up much more persistently, at least under winter conditions, the wire broadcast is apt to run behind. The same may conceivably be the case in time of public danger or disaster.
Then the matter of static. Lightning is no respecter of wire lines. Some of the best minds in the electric transmission field are still working on improvements in lightning arrester practice. It is hardly conceivable that the forces which occasionally burn out generators and shatter insulators will leave the radio frequency transmission on the same conductors unaffected. The amount of carrier current that can be conveniently injected is after all limited by commercial considerations, while lightning, though brief, runs into inordinate horsepowers. And here the very advantage of wire transmission may prove a drawback, for while with space broadcasting under proper transmitting conditions (adequate power, etc.) nothing short of local lightning should break up a concert, the wires may bring a storm near, in the electrical sense, where the greater attenuation of space radio would be a protection.
A final consideration along the same lines involves the question of possible effects due to the broadcasting current having to share the wires with the commercial frequency power. Just as space radio has to share the ether with what Professor Pupin calls the wireless stations of God, which send their messages in static, so wire radio will be subject to possible disturbances originating in such unromantic machinery as heavy motors, fed from the same wires, and quite capable of releasing in their turn impulses capable of affecting tuned circuits. Any observer who has used the wire lines with condenser plugs as an antenna substitute, particularly on direct-current distributions, will appreciate the possibilities of serious interference from such sources. In advance of demonstration over a suitable period and under the variety of conditions encountered in electric power practice, one may take with considerable reserve the prophecies that in wired wireless nothing will be heard at the receiver but what is sent out from the transmitter.
In short, the radio revolution may not be quite as red as expected.
Loud-Speaking Receiver
An amplifying receiver having remarkable quality of tone and good volume may be easily constructed as illustrated in the accompanying diagram. The magnet (1) is from an ordinary telephone receiver. Soft-iron cores (3) pass through the holes in the ends of the magnet, the lower core forcing in, and the upper given 1/64 clearance. A strip of 1/16 cold-rolled steel 1/4-inch wide (4), is clamped to the upper leg of the magnet as shown. The end of this takes the stem of the upper core, which may be forced in and held by solder. The coil (5) formed with No. 36 double silk covered wire is put in place, after which the cores are inserted, having a gap between their smooth and accurately-faced ends of about .010-inch which may be adjusted to almost nothing by means of the screw (9) and clamping-yoke (2).
The diaphragm of mica, about .010-inch thick, is held between rubber rings (8) which may be large size fruit-jar rings, as shown, by means of screws clamping the upper and lower wooden parts together. A small stud, preferably of aluminum, takes the upper end of the link (6), which in conjunction with hook (10) supports the mechanism. The hook (10) should be located at such a distance from the link that the latter is subjected to about four-ounce tension. In operation the gap should be so adjusted that the pole-faces are all but touching during the loudest sounds. For radio work it may be necessary to use a step-down transformer in case the current from the tubes is of too high voltage and of little volume.
Excellent Results with Crystal Receiver
By Paul Borth
Recently I made up a set of the 100-mile crystal receiver type described by Carl Dreher, in the December issue of THE WIRELESS AGE. I live in a suburban section of Chicago (Mount Claire) and use an aerial about 18 or 20 feet high. The aerial is about 100 feet long, single wire.
With the outfit described, using a selected crystal, I have received Davenport, Ia. (WOC) about 160 miles, and WWY, Detroit, 250 miles. One evening I heard very faintly KDKA. I did not hear the station letters, but I distinctly heard the announcer say "Westinghouse" and "Pittsburgh." I have also heard station WGY, or WGI, I don't know which, because the letters I and Y sound nearly alike at such a distance over radio. Here in the vicinity of Chicago we haven't much of a chance to experiment with faint signals, as KYW, WMAG and WDAP are going practically all evening.
WGY, Schenectady, if it was that station I heard, is approximately 700 miles from Chicago and KDKA, Pittsburgh, is about 450.
The Neutrodyne Receiver
A New Principle in Radio-Frequency Reception for Neutralizing Capacity Effects of Tubes—True Radio-Frequency Amplification Apparently Obtained
By Abraham Ringel
Member, Institute Radio Engineers
Experimenters and engineers have proposed various arrangements for getting rid of disadvantageous coupling effects in radio receiving circuits. Professor L. A. Hazeltine, of Stevens Institute of Technology, announced at a meeting of the Radio Club of America in Columbia University, the completion of his receiving set for this purpose. Professor Hazeltine, traced the steps by which he claims to have finally eliminated the capacity coupling in the tube. He then demonstrated a number of receivers which embodied his scheme and called as witnesses a number of prominent amateurs who testified to the results obtained.
Professor Hazeltine named his amplifier the "Neutrodyne" because in it he attempts to neutralize the capacity couplings of the amplifier tubes. It consists essentially of a tuned amplifier, which is stable, neutralization being effected by small capacities connected from grid to grid of successive radio frequency tubes. No potentiometer is necessary—and the tuning is said to be quite simple.
It is equally effective at short and long wave lengths. Some performances of a four-tube amplifier which is illustrated in figure 11 are as follows: (1) At broadcast wave lengths, as an instance, it regularly receives Fort Worth, Texas, which is at 417 meters and 2,000 miles away, while WEAF is working in New York City on 400 meters and only one mile away. (2) At amateur wave lengths: In one evening two prominent amateurs located in New York, both using similar sets, each received amateur stations in all districts. No external oscillator was necessary, CW being received merely by making the detector tube oscillate.
Capacity Coupling and How to Neutralize It
Before going on to the description of various practical neutrodyne hook-ups, the writer believes it best to explain the action of capacity coupling and the general method of neutralization.
Figure 1 illustrates the general method of neutralizing capacity coupling. There are two circuits, I and II both connected to some common point, usually ground. If circuit I contains radio frequency energy, some of it is bound to get into circuit II because of the capacity between I and II. This capacity is represented by $C_1$ and shown connected by dotted lines, which indicates that there is no other electrical connection. Current will flow from A to B through $C_1$ in the direction of the arrows. To neutralize this action, the arrangement A-C-N1-N2-B is introduced, with a lead taken from the junction of the coils to the ground. The coils N1 and N2 are coupled closely to one another. Current also flows from A through C2 and N2 to ground. This current induces in N1 a voltage of such direction as to create a current which opposes the current coming through C1. In order to obtain complete neutralization, Professor Hazeltine has shown that the following relation must hold:
$$\frac{1}{C_1} = \frac{1}{C_2} + \frac{1}{C_3} + \ldots + \frac{1}{C_n}$$
Prof. L. A. Hazeltine (at left) demonstrating his Neutrodyne Receiver to radio engineers at Columbia University
Prof. Hazeltine's method of neutralising capacity coupling
Neutralizing capacity coupling between a number of points
\[ \frac{N_1}{N_2} = \frac{C_3}{C_4} \]
Where \( N_1 \) and \( N_2 \) represent the number of turns on the coils, this expression is also correct when circuit II is the source of the disturbance, as shown in figure 1B. The capacities \( C_3 \) and \( C_4 \) may be made equal, in which case, \( N_1 \) and \( N_2 \) would both have the same number of turns. If \( N_2 \) has four times as many turns as \( N_1 \), \( C_3 \) would be one-fourth as large as \( C_4 \).
If there is coupling between a number of points of circuit I and point B of circuit II, as shown in figure 2, a similar method is used to neutralize these capacities. Here \( C_3, C_5 \) and \( C_6 \) are the coupling capacities, and \( C'_3, C'_5 \) and \( C'_6 \) the neutralizing capacities. Only a single coil need be used.
Figure 3 illustrates a previous practical application of this neutralization in an old Navy type receiver. Trouble was experienced in getting zero coupling between primary and secondary windings of the receiver—because of the capacity. This was eliminated by making a secondary with two windings only one of which was useful in applying the received signal to the detector. The neutralizing winding acts as one-half the inductance and provides neutralizing capacity, through its capacity to primary.
**CAPACITY COUPLING IN VACUUM TUBES AND ITS NEUTRALIZATION**
Due to the internal capacity of the tube the amplified energy in the plate circuit may be fed back through this capacity to the grid and re-amplified, etc., until a state of oscillation is reached if the plate is almost in tune with the wave lengths of the grid circuit. The ordinary regenerative receiver which employs plate tuning (see figure 4), is a very common example of this. In radio frequency amplifiers we are likely to encounter in addition coupling capacities between various stages as shown in figure 5. Then the radio frequency amplifier is not a true amplifier, since we reduce the actual amplification factor of the tube in order to stop oscillation, but depend on regeneration for proper functioning.
In applying the methods of figure 1 to neutralize the grid-plate capacity, we obtain circuits of figure 6A and 6B. The method of 6A corresponds to that of figure 1A and of 6B to figure 1B. In the former, the neutralizing winding is coupled to the grid coil and the neutralizing capacity connected to the plate, which is the source of the disturbance. In the latter case, the neutralizing winding is coupled to the existing plate coil and the neutralizing condenser connected to the grid. The reader should trace these circuits himself and compare them with figures 1A and 1B in order to satisfy himself absolutely as to their identity. Of course the equation given above still applies. It is important to have the windings in the proper direction so that neutralization of capacity coupling is obtained. This condition results when the points A and B are of opposite polarity.
The circuits of figure 6A and 6B illustrate the essential methods used by Professor Hazelton in his "Neutrodyne" amplifier. But Professor Hazelton was not satisfied to use additional coils and devised a method whereby no new windings would have to be employed. The transformer itself acts as the entire neutralizing winding—both primary and secondary being employed; the junction of the coils, which is connected to ground being in one case directly connected to the negative filament battery and in the other through the B batteries to the same point. Figures 7A and 7B show how this is actually accomplished in a radio frequency amplifier. In one case a neutralizing capacity \( C_3 \) of the necessary value \( \left( C_3 = \frac{N_1}{N_2} C_1 \right) \) is connected between successive plates. In this case, if \( N_1 \) and \( N_2 \) are of an equal number of turns, with proper polarity of windings, the neutralizing capacity \( C_3 \) would be of the same value as \( C_1 \). If the transformer is step-up, say \( N_1 \) is four times as many turns as \( N_2 \), the neutralizing capacity would be four times as large as \( C_1 \)—the grid to plate capacity. In the average amplifier tube the value of \( C_1 \) is about 6 micro-microfarads; so that \( C_3 \) would then be 24 micro-microfarads. In the case of figure 7B, \( C_3 \) is likewise determined by \( N_1 C_1 \). But here, \( N_1 \) is the plate
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**Practical Neutrodyne Hook-Ups**
From the theoretical considerations just given, it is evident that in order to stabilize a radio frequency oscillator it is simply necessary to connect neutralizing condensers between successive grids of the amplifier—or successive plates. The polarity of the windings should be properly made in order to produce neutralization—and the capacities themselves adjusted to the correct value for neutralization. Professor Hazelton prefers to use condensers between grids rather than plates because he finds it easier to produce a condenser of 1.5 micro-microfarads than one of 24 micro-microfarads (since he uses a step-up ratio of 1 to 4 in his transformers). This method of stabilizing may be used with ordinary radio frequency transformers, where the ratio of turns is about 1 to 1. The neutralizing capacity connected either between grids or between plates is then 6 micro-microfarads.
There is no advantage, however, in using ordinary radio frequency transformers with their large effective resistance, since they will not function properly without regeneration. With a tuned radio frequency amplifier as here described, the adjustments are quite simple and the selectivity is greatly increased, because of the lower resistance of the coils. The wave length range with a transformer is limited, but with a tuned circuit, a very broad band may be covered, depending on the size of the coils and condensers. With the circuits and coils described here, the range is from about 180 to 500 meters, with practically equal amplification over the entire band. Professor Hazeltine estimates that he can obtain a voltage amplification of about 11 per stage, which is beginning to compare quite favorably with the audio frequency amplifier—where we can get about 20 times per stage.
Figure 8 illustrates a practical 3-tube neutrodyne receiver, which consists of two stages of tuned radio frequency amplification and a regenerative detector. The radio frequency coupling coils or transformers are described in figure 13. It will be seen that the transformer T is composed of two coils very closely coupled. The primary consists of about 13 turns of No. 24 D.S.C. wire wound on a tube 2 3/4 inches in diameter, which is inside the secondary coil. The latter consists of 55 turns of No. 24 D.S.C. wire wound on a 3-inch tube. The tuning condenser has a maximum capacity of about .0005 microfarads and is of standard 11-plate type. It will be noted that the antenna circuit is not tuned at all, but it is so closely coupled to the secondary that the aerial circuit is thus brought into resonance.
Regeneration may be employed with this hook-up. An ordinary plate variometer in the plate circuit of the detector tube does the trick very nicely. It is especially advantageous in receiving short wave C.W.—no external heterodyne being required. All the tubes may be hard, but a soft detector tube can be used to advantage.
The stabilizing condensers, which would have a capacity of only 1.5 micro-microfarads appears to present some difficulty. One ingenious method of obtaining such a small condenser is shown in figure 12. The wires connected to the grids are insulated and butted together, leaving a gap of about 3/4 inch. A small metal tube is slipped over the wires, and the capacity is adjusted by sliding the tube until neutralization is obtained. The last process is a matter for the individual experimenter and will require a little care to secure the correct capacity. But once done, it will be unnecessary to readjust unless an altogether different type of tube—with different grid to plate capacity—is used. The tube should then be tied down so that it cannot be moved or disturbed.
**TUNING**
In tuning, changing one adjustment does not materially affect the others; in other words, the adjustments are altogether independent of one another. Ordinary methods of tuning do not apply here. In an ordinary receiver, the antenna circuit has a rather broad tuning. But in the neutrodyne, the antenna, or rather the first tuned circuit is the most sharply tuned of all.
Using the windings of the radio frequency transformer themselves to neutralize capacity coupling in a tube and prevent oscillation. Neutralizing condensers used between plates (A), between grids (B)
In order to bring in a station, all dials are set at approximately the same position (since the coils are alike). The last condenser is adjusted first, thus tuning the detector circuit. The second stage of amplification is then tuned, and finally the first. A little practice on the local transmitters will give the experimenter some idea as to the relative positions of the dials. If the positions for a 400-meter station are, let us say, 70° on the last dial, 68° on the second dial and 72° on the first, this relative position will be preserved to a fair degree. So that if a distant station at 380 meters is desired, the last dial will be reduced to approximately 65°, the next to 63°, and the first will be about 67°. The adjustments are then slightly altered until the best results are obtained. Once these wave lengths are logged, it is merely necessary to set the condensers at the recorded values and the circuit will be in tune.
For C.W. reception, the plate variometer is tuned in the usual fashion until a beat note of the desired pitch is obtained. The beat note is altogether independent of the other adjustments, except the detector tuning which of course determines the frequency of oscillation together with the position of the plate variometer. The first two dials, which control the radio frequency tuning merely vary the intensity of the received signal. Only when all the circuits are absolutely in tune, is there a slight change in the beat note.
In the neutrodyne the amplifier will not oscillate, so the inventor claims. No adjustments, it is said, that can be made, except perhaps that of the stabilizing condensers, will produce this undesirable condition. A stabilizing potentiometer is of no value—since there is no need for one. The tuning of the neutrodyne is not as sharp as a standard regenerative receiver—therefore vernier adjustments are required. The
panel, therefore, need not be shielded. All the circuits here given show only two stages of radio frequency amplification. It is advisable to add another stage because of the difficulty in preventing stray couplings between the last stage and the first two stages, unless the last stage is thoroughly shielded. It is also very hard to balance or rather neutralize the grid-plate coupling of the third stage, whereas a balance is very easily secured with two stages—adjustment of the stabilizing condensers being fairly broad.
Another point that cannot be overlooked in the neutrodyne amplifier is the inductive coupling between the various stages, due to the magnetic field of the coils. This is settled by arranging the coils as shown in figure 14. The lines of force of the magnetic field of one coil will then be parallel to the windings of an adjacent coil—and thus no voltage will be induced in the latter. This is shown in the rear view photo of the receivers demonstrated by Professor Hazeltine before the Radio Club of America.
The tubes used were amplifier tubes and exceptional results were obtained. On the detector alone, amateurs in all districts of the United States were logged in New York. Broadcast stations in Texas, Kansas City, Minneapolis, Davenport were also heard. With a loud speaker and two stages of audio frequency amplification, Atlanta, Georgia was quite loud with only a ground connection and no aerial at all.
3-TUBE REFLEX NEUTRODYNE
Because it is unnecessary to apply a positive bias to the grids of the amplifiers in order to stabilize them, the neutrodyne lends itself admirably to reflexing. The main features of reflex circuits were described by the writer in an earlier issue of *The Wireless Age* (January 1923) and there is therefore no need of going into more elaborate discussion.
Figure 10 illustrates essentially the circuit of figure 9 except that the first two tubes serve both as audio and radio frequency amplifiers. The incoming signal from the antenna is amplified at radio frequencies by the first and second tubes in the usual manner and then applied to the detector tube, which may or may not be regenerative. If standard regeneration is not desired, the plate variometer is either short circuited, set at minimum, or removed altogether. The radio frequency is rectified into audio frequency and applied to the grid of the first tube by means of a UV-712 amplifying transformer. The audio frequency is further amplified by the second tube, the phones or loud speaker being connected in the plate circuit. Audio and radio frequency windings are in series and it is necessary to have by-pass condensers of .002 microfarad capacity connected across the primaries of the audio frequency transformers and across the telephones, so that the radio frequency currents will not be obstructed. The secondary windings of the UV-712 transformers have sufficient dis-
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**5-TUBE NEUTRODYNE AMPLIFIER**
The circuit of figure 9 is a 5-tube amplifier containing two stages of tuned radio frequency amplification, a regenerative defrequency currents. Amplifier tubes are used throughout. The plate voltage is furnished by four B batteries having 90 volts.
A reflex amplifier in which both stages of audio frequency are reflex is rather difficult to handle and generally quite noisy, so that the writer would not recommend it except to amateurs who are interested in tackling knotty circuits.
4-TUBE REFLEX NEUTRODYNE AMPLIFIER
The best combination of reflex and neutrodyne amplifier is shown in figure 11. The first two tubes amplify at radio frequency which is rectified into audio frequency in the detector. Neutralizing condensers are connected between grids of audio frequency is applied to the grid of the first tube through a UV-712 transformer, is then amplified in the plate circuit, and
Construction of the 11 micromicrofarad adjustable neutralizing condenser
Arrangement of apparatus for the reflex Neutrodyne receiver shown in figure 11. Note position of radio frequency coils to prevent inductive coupling
Jacks are connected in the circuit, so that the listener may plug in on the detector or either of the audio frequency stages. This circuit is probably the best reflex neutrodyne, since no large audio frequency voltages are impressed on the radio frequency tubes.
The layout of apparatus for such a set is indicated in figure 14. The four-tube sockets are mounted on a long horizontal panel, on the under side of which are suspended the audio frequency transformers and the blocking condensers. The tube panel is supported by the vertical panel, which also contains the rheostats and tuning condensers, and also the variometer in the plate of the detector tube. The radio frequency coils, whose construction is shown in figure 13, are placed approximately six inches apart and inclined so as to make an angle of 60° to the base. This is done in order to avoid inductive coupling between stages. All binding posts are in the rear.
The neutralizing condensers are connected from grid to grid as shown in the diagram and their construction is illustrated in figure 12.
The operation of this set is the same as that described previously.
Radio Frequency With Regeneration
By J. Roussel
Translated from "La T.S.F. Moderne," Paris, December, 1922.
Can one receive American amateurs on a loop? This question has been asked by a certain number of persons who are unable to use the outdoor antenna, such as our Parisian friends, for the most part. The thing is certainly difficult, but we cannot consider it impossible, surely not without making an attempt. There is, moreover, an important precedent, namely, the reception at Paris on a loop, of English amateurs, carried out with regularity by one of the members of the French Radio Society, Monsieur Faucher.
"It is his hook-up, which he has been kind enough to furnish us for our readers, that we are going to explain. This hook-up, if it collects less radio energy, nevertheless has an advantage over the antenna, and a very appreciable one, of being much less susceptible to atmospheric perturbations of the type generally known as static. Moreover, it utilizes all the energy collected by the antenna system and by increasing the size of the loop, and using a greater number of radio frequency tubes and raising to three the number of audio frequency amplifiers, one can obtain positive results. In principle, this hook-up consists of radio frequency with inductive coupling and regeneration, as well."
"Nevertheless it seems to us that it would be preferable to obtain the Armstrong effect by tuning the plate circuit of the second tube, this tuning being accomplished by means of a variometer. The remarkable results obtained by this system have been, among others, the following: Reception of (French) 2JZ and of (French) 2ON on November 4th at 8:30 p.m. Reception of (French) 8AB on the 5th of November at 8 p.m. The vacuum tubes used were the ordinary receiving tubes.
"The accompanying diagram illustrates the hook-up utilized by Monsieur Faucher. The constants are as follows:
"(A) Loop formed of a single turn, 4 meters by 2½ meters (13.12 feet by 8.2 feet). This single turn is fixed against a wall extending north and south and insulated from the wall by porcelain knobs. The diagram shows two turns, but best results have been obtained with a single turn as indicated above. It will be remarked that such a loop cannot be oriented and that therefore it is not used in the best manner for directional effects.
"(S) Primary and feed-back coils: This consists of two coils whose coupling is varied by rotation on a common axis. The exterior one of these coils, which is in series with the loop antenna, consists of 16 turns of 2 mm. S.C.C. wire (about No. 32 U. S. gauge) wound on a tube 90 by 80 mm. (3.51 by 3.12 inches). The interior coil, which serves as feed-back for the detector tube, consists of 16 turns of the same wire on a form 80 by 70 mm. (3.12 inches by 2.73 inches).
"S-1 is the secondary tuning coil and can be constructed in two different ways. It may have 25 turns of .6 mm. D.C.C. wire (about No. 23 U. S. gauge) on a tube 45 mm. in diameter (1.755 inches); these turns to be slightly spaced, more than 6 per centimeter, or about 15 to the inch; or it may be of 38 turns tightly wound on a tube 60 mm. in diameter (2.34 inches).
"(C) A condenser for tuning the loop antenna, .0001 mfd.
"(C-1) Secondary tuning condenser, .0001 mfd.
"(C-2) and (R) are the conventional grid condenser and grid leak. The output from this hook-up goes to the conventional audio-frequency transformers. That part of the system contains no special features."
Detector Circuit With "Split" Variometer
By Wm. Hofmann
In 1912 I had one of the three wireless telegraph stations here in town. Tuning was unknown to us then and we used liquid rectifiers for detectors and spark coils for sending. Reception was good among us, but no outside waves ever vibrated our phones. Soon storms took toll on the other two aerials and as mine then seemed useless, I took it down. After that I lost track of all the advances in wireless until a few months ago when I was attracted to radio by a friend then building his first set. So you see I am a newcomer in the field and perhaps what I wish to say is old stuff, though I have not seen it described in any periodical.
After considerable experimenting I have found that a variometer makes a very excellent regenerator if the stator terminals are disconnected from the rotor. This is chiefly of interest to those who have only a limited supply of battery current and are limited to one tube.
The results are nearly equivalent to the ordinary two variometer varicoupler sets using two stages of audio amplification in loudness, and slightly clearer because the noises of the B batteries of the amplifiers are absent. The detector requires a little more filament current with this hook-up than in an ordinary circuit and the loudness is increased in proportion to the increase of filament current, also the B battery must be increased in proportion to the A battery. Maximum loudness is obtained when using twenty-seven volts though it will detect at fifteen. The plate circuit requires the most wire so the stator is connected into the plate circuit and the rotor into the grid circuit. My aerial is only one hundred feet long including lead-in and a loose coupler is the only coil I get any results with. The coupler is wound with No. 24 wire and the variometer with No. 22. Tuning is done mainly by sliding the secondary coil after the right setting is found for the rotor. However, if the B battery voltage is changed the rotor must also be moved a little.
DX Transmission From a New York Apartment
By R. L. Duncan
Dr. B. W. KIRSCHNER, residing on the tenth floor of the twelve-story Manchester Apartments, at 225 West 108th Street, New York City, operates 2CNK, the 100-watt C.W. and I.C.W. station described in this article. He has received reports on his signals from practically all over the United States and Canada. 6XAS, 8BOZ, 9PW, 4BX, 3BLU, 1XU, 9AOT, 8BEO, 3CC, 8BMK, 1CMK, 9BIK, and 8KG are a few of the stations who have reported him QSA without using radio frequency amplification.
The transmitter follows the "Hartley Circuit" with the following modifications: Grid chopper is in the ground circuit, insulated to the shaft of the motor by a bakelite bushing. Plate circuit reactors are placed in each of the high potential lines as choke coils. Radio Corporation of America parts are used throughout with the exception of the Esco motor-generator and Weston meters. The plate supply is a maximum 1200 volts D.C., 12 volts D.C. maximum for the filament.
The antenna is a four-wire cage of seven stranded No. 18 phosphor bronze on ordinary bicycle hoops, L shape, 66 feet long. The lead-in is also of cage type 5 inches in diameter, composed of four wires 35 feet long. The antenna runs from the roof of Dr. Kirschner's apartment to a large water tank on the top of a ten-story adjoining apartment. Spread out from his windows to the roof of the adjoining apartment in fan shape, are eleven wires, forming the counterpoise. The center wire of the counterpoise is approximately 50 feet long, the others longer in proportion to the distance separating them, which distance is approximately two feet at the outward end. The distance separating the counterpoise from the antenna is 30 feet. All steel and copper edgings and copings on the roof of Dr. Kirschner's apartment, as well as those on the adjoining roof are connected to form a separately tuned ground to the transmitter. The ground therefore consists of counterpoise described above with the tuned ground; approximately 75 per cent. of ground current flowing in the counterpoise and 25 per cent. in the ground. The reader is referred to page 71 of the January, 1923, Wireless Age for antenna construction in detail.
The antenna current is 5 amperes with a space current of 300 milliamperes using 1200 volts on the plate and 10 volts on the filament. With a space current of 200 milliamperes, 1000 volts on the plate and 10 volts on the filament the antenna current is 4.2 amperes. The antenna resistance is about nine ohms. The transmitter is wired with No. 10 soft drawn copper wire.
Since the grid chopper normally would emit a very sharp wave, seven turns of ordinary antenna wire has been wound on a small bakelite tubing and placed around the chopper, which gives a variation of about two meters in the emitted wave.
The receiving set is the ordinary regenerative circuit, employing variocoupler with double tapped primary, secondary condenser and plate variometer with detector and two stages of audio frequency amplification shielded entirely. Reception is accomplished by a one-hundred-foot single wire aerial on the roof.
All city apartment house dwellers are not permitted to put up aerials even for reception only. Yet upon most roofs that accommodate the one or two-wire receiving aerial, space can generally be found for the transmitting antenna and counterpoise. It is true, theoretically, that New York City, on account of its large steel buildings absorbs a large amount of transmitted signal strength and therefore, Dr. Kirschner had to overcome this very serious obstacle to low-power transmission before he could be heard from coast to coast. Differing from the old "rock crusher" spark transmitter, it takes many weeks of experimenting with C.W.—trying this and that arrangement until the long looked for results are accomplished.
Dr. Kirschner has been interested in experimental radio for several years but it has been only within the past year that his thoughts have turned to the amateur transmission field. It is now no uncommon occurrence to hear 2CNK in the wee small hours of the morning pounding out DX, or saying "GA OM I'LL QSR." He has taken the complete tube course offered by the Radio Institute of America and now he works right along with the old timers.
For Instant Tuning on Board Ship
New Uni-Control Receiver Covers 250 to 3,500 Meters With a Single Knob—Embodies New Invention in Variable Couplers and Inductances—Exceedingly Compact
Difficulties experienced by commercial operators on board ship in tuning quickly to various wave lengths have led to the development of a new tuner in the Research Laboratories of the Radio Corporation of America. The new tuner, which has but a single control knob, embodies the invention of Dr. Alfred N. Goldsmith, Director of the Research Department and Mr. L. Shapiro of the Research Department. As yet it has not been placed on the market, pending issuance of certain patents covering inventions embodied in it. As a matter of fact the present depression in shipping is so severe as to limit purchase of new equipment by ship owners, however desirable that equipment may be, so that it is doubtful if many buyers would present themselves should this new tuner be offered now.
Speed in tuning has been sought ever since radio traffic between ships and the shores grew to appreciable proportions. Now that radio equipment is compulsory on practically all ships, and the facilities offered by wireless are in continual use for private, public and navigating purposes, the other has become burdened with signals, resulting in use of many other wave lengths than that of 600 meters commonly assigned to ships.
As is well known, it is now common practice to use 600 meters primarily for calling, shifting to some other length as soon as the called station responds. This custom was mainly responsible for the development of the "stand-by" tuner, which can be set at that or any other wave and is customarily left unchanged, other wave lengths being picked up by means of the ordinary commercial tuner. By throwing a switch the stand-by is connected in and out of the detector circuit. Thus is afforded instant tuning at any moment to any predetermined wave.
The ideal tuner for ship use, therefore, would be one in which any wave length could be selected by a turn of the wrist. As anyone knows who has seen any of the present commercial receivers, simplicity of control is precisely what they haven't got, some eight or nine or more adjustments being provided. While these very properly place before the operator the possibility of extra fine results by giving every part of every circuit an individual adjustment, still considerable time is required to secure the utmost of which the receiver is capable. Under the frequently high pressure of these days of large traffic volume, the operator finds himself snatching at the most convenient adjustment that will bring in the desired signal somehow, relying upon his ears to read through interference, rather than upon the receiver to tune it out.
Aware of this condition, Dr. Goldsmith considered the possibility of making one knob adjust all the circuits simultaneously. The fact that each tuning element bears a definite relation to all the others seemed to him to present interesting possibilities especially in view of the fact that mathematical ratios can be expressed mechanically by means of gears, cams and levers.
In working out his ideas Dr. Goldsmith has evolved an instrument much simpler in construction than might have been expected, and also much more compact. The major part in condensing the units to small size, and in unifying the control was played by an invention of Dr. Goldsmith in the art of varying inductance and coupling. He discovered that an inductance wound in the form of a flat coil may be varied progressively by moving a metal plate parallel and close to it. Tests showed an astonishingly great range of variation, with a correspondingly wide range of wave lengths covered. In addition, the flat coil and metal plate occupied a minimum of space.
Similarly, it was found that the inductive coupling between two parallel flat coils can be varied within wide limits by sliding a metal plate between them.
Here, then, were the elements necessary for the single control receiver: tuning coils that, while compact, afforded resonance at longer waves up to 3,500 meters, and direct means of tuning down to 250 meters or less without using taps, shunts or in fact any of the more usual space-occupying and time-consuming controls.
These elements are found in the Uni-Control Receiver, as it is called, consist of the necessary flat wound inductances, held between thin fibre sheets, and metal plates of thin gauge, held on a shaft, which swing through the proper spaces between the sheets. The shaft holding the plates or shields is connected to the single control knob, as is also the rotating member of the conventional variable condenser that is placed in the antenna circuit. By the use of gears between the knob shaft and the condenser and shield members, the proper relations are maintained at all times between capacity, coupling and inductance. A single switch is provided for changing from long to short waves and vice versa. Externally the receiver consists of a simple box, about 10 x 12 x 18 inches, with a panel bearing a single dial and knob, a fine adjustment, a switch, and a pair of binding posts. The dial is graduated...
English Report on the Trans-Atlantics
FINAL reports on the reception of American amateur stations during the Trans-Atlantic tests last December show that 29 per cent, or nearly one-third of the total number of stations that qualified in the preliminaries were received in England during the finals, the falling off in the number from the more distant stations accounting for the drop as compared with those near the Atlantic coast. The 66.6 per cent. from the first district is particularly noteworthy.
The most successful districts were in order the First, Second, Third and Eighth. This, of course, was to be expected, both from last year's tests and also because these districts are near to the Atlantic seacoast. The Sixth and Seventh districts, on the Pacific coast, are naturally less well represented. A Sixth district station was, however, heard with code word, thus verifying the reception, which reception is really a remarkable performance considering that the station is located in Arizona, on the Pacific side of the Rocky Mountains. Signals from all districts have been reported, but as several of these from the Sixth and Seventh districts were only ordinary DX calls, it was not possible definitely to verify them, as in the case of the individual transmissions.
The number reported varied largely from night to night, there being in particular two bad nights and one especially good one, and bearing this in mind, an average of over 200 interceptions from 50 different stations per night seems to the writer to be a great tribute both to the design of the receiving apparatus used, and to the skill of the operators who were listening in.
During the ten days of the reception tests reports were received from 47 different amateur listening stations in Great Britain, and from two Dutch stations, making 49 in all. The total number of interceptions of United States and Canadian amateur signals reported in this way during these ten days were 2,297. This figure includes all interceptions — "Individual" transmissions; "Test" signals during the free-for-all periods; and calls and messages from stations simply carrying on their ordinary communications and "DX" transmissions.
Some of the stations heard signalled to the effect that they would try radiotelephone transmission. In most of these tests it was reported that their carrier wave could be heard quite strongly, but that the percentage of modulation was too small to enable the voice to be heard when the local heterodyne was switched off. In a few instances, however, reports were made to the effect that the phone transmissions were heard. The stations thus reported were: 2EL, 2XAP, 2ZK.
On the best nights of the tests, the ether was so full of signals that it was not possible to log more than a small proportion of the total for the above reasons. In addition to the above-mentioned difficulty most listeners in this country were hampered to a greater or lesser extent, depending upon their locality, by harmonics from various high-power stations. Of these, of course, the most complained of from all parts were Leafield and Northolt, with their multitudes of harmonics and "hash" bands in the short wave regions. Stonehaven was also troublesome to some, as were also the very bad spark harmonics from FFU (Ouessant, France), and from the short wave spark transmissions. On one occasion "SOS" calls from Niton and FFU on spark jammed out American signals for some time. Many listeners in the neighborhood of London, in particular, found it quite impossible to receive anything on wavelengths near 200 meters until after Northolt had finished its press transmissions—usually about 3 a.m.
The marked difference between the number of nights on which some stations were heard as compared with others was very interesting. The signals from the best stations were capable of being heard under almost any of the conditions met with during the period of the tests, and no improvement in the transmission quality was merely noted in the increased strength of the signals received from these stations. On the best nights and times the signals from the best stations were of extraordinary strength, 8AQO in particular being reported by most listeners as being of exceptional strength and readable many feet from the telephone receivers. The nights on which his individual transmissions were not heard his transmission times were earlier than 3 a.m., and therefore came in a very bad period, since during the worst nights of the tests signals were only reported during the last two hours or so before 6 a.m.
Following are the names and addresses of the British and Dutch amateurs who reported reception of 25 or more stations during the tests:
British and Dutch amateurs who reported the "Individual" Transmissions:
J. Briggs, Brank House, Ainsdale, Southport, 65.
Manchester, Wireless Society (Receptions by W. R. Burne & A. Cash), 43.
B. H. C. Brown, 10, Highgate, Nore Road, Portishead near Bristol, Somerset, 38.
W. E. F. Corsham, 104, Harlesden Gardens, West End, London, N.W. 10, 34.
W. E. Walters 4, Manad Street, Gowerton, Swansea, 31.
G. J. Eschauzier, 19, Parkweg, The Hague, Holland, 27.
E. W. Penney, 34 Coldenick Street, St. Budeaux, Plymouth, Devon, 27.
A recent issue of *The Wireless World* of London, contains the following summary of the reported reception of European amateur stations by American listeners during the recent trans-Atlantic tests:
**English:**
5WS—Reported by 10 American listeners.
2FZ — " " 9 " "
5SW— " " 1 " "
2PO — " " 1 " "
2JZ — " " 1 " "
**French:**
8AB — " " 2 " "
Since receiving the American report inquiries have been made in order to ascertain, if possible, whether the reported reception of 2FZ could possibly have been receptions of some other British station having a call sign which might be misread as 2FZ, such for instance as 2FQ or 2FP, both of which stations were transmitting during the tests. The time of these reported receptions, however, does not fit in at all with the time of any transmissions made from England, and it can therefore only be concluded that some confusion has arisen in these reported receptions of 2FZ. Possibly the signals that have been reported in this manner may have really had their origin at an American transmitting station, or else a transmitter has been employing an incorrect call sign.
The reported reception of 2JZ is also apparently in error, since 2JZ was unable to operate his station during every night of the tests and did not transmit any signals at all on the date reported.
No British station having the call letters 2PO was taking part in any of the individual transmissions in England, and no station having these call letters can be traced in any of the published lists of British amateur transmitting stations.
It therefore appears that the only British station unquestionably heard in America with verified code words and other transmission was the special station of the Radio Society of Great Britain, 5WS, which was erected at Wandsworth for the tests, and that the only French station heard was 8AB, which is operated by M. Deloy, at Nice, France.
It is also of interest to know that two other reports have been received of the reception of the test signals sent from England and France, one report emanating from the operator of a vessel bound from New York to Europe, and the other from the operator of a station at Reykjavik, Iceland. These reports are as follows:
The ship operator was listening in on a receiver using a single detecting valve, the fundamental wavelength of the relatively large ship aerial being reduced by means of a series condenser. Signals from 5WS were first heard on the morning of December 24th, when the vessel was 900 miles east of New York, and therefore approximately 2,500 miles west of London, taking a Great Circle measurement.
On Christmas morning, at about 2,200 miles from London, 8AB, a French station, was heard, and signals from a British amateur station were intercepted, sending Christmas greetings, the call letters of this station being doubtful, but thought to be 2SH.
On the morning of the 26th, signals were again heard, including the code word MUPZN, which was allocated to British 2OM located at Brentford, Middlesex. At this time the vessel was approximately 1,900 miles from London. On the morning of December 27th, when the vessel was another 200 miles nearer England, signals from 5WS and 2SH were again copied. On the morning of December 28, 5WS was heard again by the vessel, which was then another 200 miles nearer England. On December 30th, when still some 1,100 or 1,200 miles away, signals from the following British stations were heard:
2AW—Wakefield, Yorkshire.
2OM—Brentford, Middlesex.
2SH—Highgate, London.
5MS—Manchester Wireless Society.
5WS—Radio Society of Great Britain.
A French station, 8RRX, was also heard. The operator at Reykjavik, Iceland, who was only able to listen-in on one or two nights, as the set was borrowed, reported that, using a single valve only, the signals from SWS, including the code word, were heard on December 24th, while later on the same morning the code word of 2AW was heard also.
Commenting on the result of the westward tests, *The Wireless World* says: "Doubtless the American listeners had many sources of interference, as had also the British amateurs listening for their signals in the first part of the tests, and as several stations in this country had been granted special permission by the Post Office to use a transmitting power comparable with that employed by the American amateurs, the difference in the receptions in the two countries would seem probably to be due to the much greater use of radio-frequency amplification on this side. The general use of low-power transmitting stations in this country has doubtless been the cause of the development of the most sensitive type of receiver equipment suitable for the reception and amplification of short wavelength signals."
**French Report on the Trans-Atlantics**
By Dr. Pierre Corret
President Comité Français des Essais Trans-Atlantiques.
ALTHOUGH not one American amateur transmitter had been able to make itself heard with certainty in Europe during the course of the first trans-Atlantic tests, in February, 1921, and although only about 30 had been so heard during the second tests in December of that same year, the total number of American amateurs who were received, with or without code words, by twenty-six French amateurs and the two Swiss listeners during the course of the third series of tests in December, 1922, totaled 246, of whom only two employed damped waves, 1BCF and 2RP.
The scientific interest in these results is undisputable, especially if one considers that the greater part of the American transmitters have utilized a power well under the permissible maximum of one kilowatt and that the reception in Europe was often effected with a single tube or with a very small antenna. American station 8AQO, notably, which was received by a great number of European amateurs, has been reported by one of them as "excellent on a single tube," and "heard with head set on the table throughout the room, with superheterodyning easily readable at 10 meters (33 feet) from the head set, and fairly easily at 20 meters (66 feet) almost with the regularity of the great trans-Atlantic stations and often much louder than those, with an equal number of tubes."
The question of daylight transmission was not considered in these tests by reason of the great diminution in range during the day, which for a long time has been recognized as an obstacle to short waves. On the contrary, those hours were chosen during which it is night over the entire territory of Europe and America covered by the tests.
But even under these conditions great irregularities have been noted in the intensity of reception of any single transmitter. This intensity or volume can vary very rapidly from "excellent" to "unreadable," and return to "very good" an instant later. From these tests it seems to be possible to attribute the cause of these rapid variations in the intensity of reception of short wavelengths to absorption and perhaps even to reflections of the wave by atmospheric conditions.
Another cause of this absorption of short waves seems to have been made evident by the results of the trans-Atlantic tests. The stations transmitting with code word were found to be quite comparable one to the other, since on one hand they had to achieve a range of 1920 kilometers and since on the other hand they could not use more than the maximum power permitted of 1 kilowatt.
In the important experiments which have just been made with these short waves, whose use is now permitted in France, what are the methods of reception by which the best results have been obtained? By classifying these methods in perhaps an arbitrary manner, but in a way that general practice justifies, one obtains the following results:
| Method of Reception | No. of Stations | Receptions |
|---------------------|-----------------|------------|
| Super-heterodyne | 2 | 158 |
| One tuned R. F. | 7 | 153 |
| No R. F. | 8 | 102 |
| R. F. by means of radio frequency transformers | 4 | 59 |
| Several stages tuned R. F. | 3 | 9 |
The methods which gave the best results during the course of these tests were those known as super-heterodyning, the credit for the first idea of which belongs to a Frenchman, Mr. Levy, while the famous Mr. Armstrong has applied it to reception on short wave lengths. The other method that gave only slightly less favorable results, consisted of the employment of a stage of tuned radio frequency ahead of the detector.
Many of the operators who took part in the trans-Atlantic tests were led to cut down more and more on their audio-frequency amplification and even to do without it entirely, in order to avoid deafening their ears by the amplification of static.
French radio amateurs enlisted for the westward transmitting tests, of whom only ten actually transmitted, and only one, located at Nice, has been heard in America. Several of the stations that transmitted, did so only irregularly, on account of various difficulties and diverse incidents. Certainly but little time was given to transmitting each night and some worked only during one or two evenings.
The greater part of these stations, moreover, were not authorized to transmit with a power input greater than 100 watts. Several had, it is true, been authorized to use one kilowatt, but that permission was accorded only for the duration of the trans-Atlantic tests, and the small number of amateurs who could have undertaken the expense of installing a transmitter of that power did not feel justified in doing so for such a short time.
The only French station which was heard in America had been authorized, without time limit, to utilize a power of one kilowatt in continuous waves. This station put that power on the air by means of four tubes rated at 250 watts, connected in parallel, in the conventional manner, the grid coil being coupled to the plate coil forming a part of the antenna to ground circuit. A.C. in 25 cycles and in several thousands of volts pressure was applied directly to the plates.
Under these conditions 4.8 amperes was put into the antenna on 195 meters.
Reception of this transmitter in America was made rather difficult in the midst of static by the discontinuous character given to the emitted waves by the source of plate potential, which was alternating current at 25 cycles. In spite of that, this station was reported on December 23 and 25 by an American amateur using a detector and one stage of audio-frequency amplification. On December 30 it was heard with particular regularity and readability during an hour by another American who used a large untuned antenna with a detector tube in a regenerative circuit, followed by two stages of audio-frequency amplification. On December 26 and 28 it was heard by a radio operator on the French vessel *Janus*, which was at that time on the American coast at the mouth of the Delaware River. This also was with a detector in a regenerative circuit, followed by 2 stages of audio-frequency.
In consideration of the very encouraging results that were obtained, it is proposed to organize new tests on both telegraphy and telephony, on waves of 200 meters and below. Announcements of these will be made well in advance through the radio publications, but amateurs would do well to prepare for these now, for both transmission and reception.
**How to Check a Hook-Up**
By Fred Jantzen
AFTER you have decided on the hookup you wish to use and have assembled the set ready for wiring, the following suggestion will, I am sure, help you in accomplishing a speedy and easy way to wire your set correctly the first time.
Cut out the diagram of your hookup and tack it on to a piece of cardboard just large enough to take the diagram; next take a piece of thin tracing paper, same size, and tack over diagram.
Decide next what wires should be put in first so as to avoid any acrobatic stunts of soldering other wires later on.
Now here is the stunt: Every time you attach a wire to your set trace it off the diagram in red ink or crayon being sure first before you do so that it represents the progress of your work. Repeat this process until the diagram has been completely traced.
If you do this right your hookup will be right the first time and the set will function properly provided the apparatus used is good.
Importance of Lead-in Arrangements
By Samuel C. Miller
THERE has been quite a great deal written lately on ways and means of reducing the antenna resistance, but little material has been available on the importance of the antenna lead-in after it enters the lead-in insulator. A lot of care may be taken in the actual construction of the antenna and its down lead by keeping them away as far as possible from the building and surrounding metal conductors and by proper insulation; yet when the wire is brought from the lead-in insulator to the set it is just as important to take all the precautions that has been taken in putting up the antenna and down lead. In fact, the resistance of the antenna system may be sometimes increased 2 to 3 times due to lack of care in properly running the inside lead-in. This has actually been proven by experiment.
The antenna as indicated in figure 1, is 125 feet long, 40 feet high on one end and 25 feet high on the lead-in end. It is well insulated by electrose insulators and the down lead is kept away from the building about 1 foot for its entire length. It is brought into the building by means of a standard electrose lead-in insulator.
Two sets of measurements of the antenna characteristics were made by the method described by the writer in "Short Wave Reception Versus Antenna Resistance," October, 1922, issue of THE WIRELESS AGE. The first set of measurements was taken directly at the lead-in insulator and the other at a point 15 feet away. The resistance results obtained at various wave lengths directly at the lead-in insulator were quite normal, as shown by the curve A on the graph, but that obtained at the point 15 feet away gave an unusual increase in resistance, as indicated by curve B. It required no great deduction to determine that a short stretch of wire by itself inside a room could not give that uneven and large increase of resistance. So this phenomenon was investigated by eliminating various conductors in the immediate neighborhood of the lead-in. By this method it was found that this high increase of resistance was caused by a grounded conductor at right angles to the lead-in and crossing it at a distance of 6 inches. By disconnecting the ground from this conductor, or by taking it away entirely the antenna system was brought to a normal state. The result obtained is shown by curve C on the graph.
The importance of this experiment can not be over-emphasized. It is common practice for those who place their receiving set in a room other than that where the down lead is brought in, to run the inside lead-in around the moulding in a haphazard fashion. This may then cause the wire to run either parallel or very near the electric light conduits which are grounded, and the result will be a large increase of antenna resistance.
Figure 1.—Constructional detail of antenna system and lead-in.
Figure 2.—Antenna constants. Curve A—With no grounded conductor near the lead-in, capacity = 0.00081 mfd.; natural wavelength = 205 meters; inductance = 23 microhenries. Curve B—With a grounded conductor near the lead-in, capacity = 0.00037 mfd.; natural wavelength = 180 meters; inductance = 24 microhenries. Curve C—With a grounded conductor removed, capacity = 0.00081 mfd.; natural wavelength = 205 meters; inductance = 23 microhenries.
Production of WD-11 and WD-12 Dry Cell Tubes
One of the really dramatic episodes in the radio industry has been centering around the famous WD-11 tube, the receiving vacuum tube that operates on a filament terminal potential of 1.1 volts, which may be supplied by an ordinary dry battery of 1½ volts. This tube was by no means the first one designed for dry battery operation, one of its predecessors having been produced during the war for military purposes. The military tube, however, proved to be rather fragile and following the close of the hostilities considerable experimental work resulted in the development of the WD-11 tube as it is now known, one of great clarity in operation, exceedingly economical of current, and of excellent durability under both shipment and average use.
When development was at this point, production of the tube was put into what was at that time considered large volume. The executives of the Westinghouse Elec. & Mfg. Company and of the Radio Corporation of America possessed sufficient faith in the future of broadcasting, long before it had shown any unmistakable signs of its tremendous future, to go into the manufacture of the new tube in what then might have been considered by many as abnormal quantities. In fact, last Fall as a result of this production schedule there was in hand such a quantity of WD-11's that it was considered to be a five months' stock, judging by actual sales during the previous months, and allowing for a reasonable increase in the popularity of the tube.
However, what was the astonishment of the manufacturers and, in fact, all concerned with the manufacture and marketing of the tube, to find that this five months' stock was moved into the dealers' hands in sixty days and the dealers in turn disposed of them to the eager public almost as rapidly.
The result of this extraordinary demand was, of course, the subject of careful consideration, and called for an entire revision of production plans, in a most radical manner. Manufacturing had to be increased vertically upward and this was not an easy matter for such a highly specialized, intricate device as the WD-11. Great pressure was applied all along the line; pressure for volume and speed. In forty-five days production was increased to five times the previous figure. In fact, within six weeks the monthly output of WD-11's was at the rate of over 50 per cent. of the entire sales of that tube during 1922, exclusive of those tubes supplied as parts to complete sets. Thus, in January of this year, WD-11's were made in a number that greatly exceeded the total sales for 1922.
This is an accomplishment that is no less extraordinary than is dramatic the sudden flood of demands for the tube, and the gutting of the warehouses. Factory machinery and equipment had to be bought, installed and put into operation, hundreds of employees were trained to new work, raw materials were brought in under urgent orders and manufacturing rose to a height that even the most sanguine of the factory engineers had hardly thought would be possible in the short space of time in which it was accomplished.
In the meantime development work was being carried out on another dry battery tube which would have the same electrical characteristics as the WD-11, with certain mechanical advantages that would fit it for use in the standard Navy type bayonet sockets in which the 6-volt detector and amplifier tubes long have been used. The new tube has been named the WD-12, and became known to the general public only recently when the well-known RC and Radiola-5 sets were offered equipped with this bulb. It is suited to dry battery operation, taking a 1½-volt source for the filament, but unlike the WD-11, has the standard base of the same type and dimensions as the 6-volt tubes, and the glass has the same dimensions as the 6-volt tube.
Manufacturing of the WD-11 is being continued at its high point and it is expected that those desiring to purchase it will find it in increasing supply on the shelves of the dealers.
Production of the new tube, and the height to which WD-11 manufacture has been carried, indicate very strikingly the desire of a great part of the public for dry batteries as a source of filament current. The situation gives emphatic endorsement to the policy of the Radio Corporation of America to make broadcast receiving sets as economical in first cost and in cost of operation as possible, by elimination of the storage battery and of the battery charger, with their attendant difficulties as well as expense. The 6-volt tube will, of course, continue to be used by those who prefer its advantages and desire to obtain its valuable characteristics. It has made hundreds of thousands of friends who may be expected to adhere to it, just as the newcomers who start with the dry cell tubes may be expected to continue in their use.
Novel Method of Modulating an A. C. Set
Mr. Paul J. Miller, 1133 Creedmoor Ave., Pittsburgh, Pa., who is operator GH at 8AGX, has had such a flood of inquiries following publication in these pages of his phone transmitter using A. C. for filament and plate that he asks publication of the constants of the set. His original hook-up with the values is given herewith. This is the arrangement that has been put together by a number of amateurs in various parts of the country, and produces a very rough voice modulation unless carefully tuned. When properly tuned the voice modulation and the carrier wave bearing the A. C. hum are sufficiently separated for a good receiver to pick up the one and eliminate the other. Since his success with this, Mr. Miller has made some changes with considerable improvement.
One of his first arrangements was to modulate by means of a loop of wire, from one to three turns, around the grid end of the inductance, with the microphone in series with the loop. This proved a considerable improvement, allowing better separation of the voice wave and the carrier. Those who have heard this on the air find it a satisfactory method, with very little of the A. C. growl present.
The next development from this set led Mr. Miller to self-rectified A. C. using two tubes and rectifying both sides of the cycle. Here again loop modulation is used in order to provide easy tuning for separation of the voice and the A. C. hum. The hook-up is shown in figure 2, in which the two inductances L1 are 250-turn honeycomb coils. Both these circuits can be used with a 5-watt tube, UV 202. For C. W. on either, the microphone is taken out of the circuit and a key inserted in series with the filament lead.
That Loop Receiver
By L. W. Van Slyck
There are, in general, two types of loop receivers. There is the tuned radio frequency type, and the untuned type, the latter depending upon especially designed inter-stage radio-frequency transformers possessing a somewhat broad resonance curve, thereby suiting them for the reception of signals over a certain wavelength range with a not unreasonable efficiency.
The tuned type of radio-frequency set, although approaching nearer to the ideal as far as selectivity and sensitiveness are concerned, possesses the inherent disadvantage of being exceptionally difficult to adjust when three stages are used, as compared with the untuned type. In view of the fact that there are radio-frequency transformers on the market today covering a wave band sufficient to include practically all broadcasting stations, and working at good efficiency over this band, it is believed by the writer that a practical receiver of this type would be very much in favor with the radio public as compared with the ordinary regenerative system due to its greater selectivity, freedom from distortion, and portability.
The cost is within reason (less than $55.00 without tubes and accessories) and the construction is simple if directions are followed closely. Lastly, tuning is not as difficult as with the ordinary two circuit regenerative receiver.
It is very essential that only high grade instruments be used in its construction. This applies particularly to the transformers and variable condenser. A vernier potentiometer is not necessary, but it aids materially in bringing in distant stations.
The bakelite panel should be about 36 by 6 by \( \frac{3}{4} \) inches, and the base of soft wood, about 8 inches wide. Mount the transformers along the back of the base, spaced at equal intervals. Then about three inches, more or less, towards the front, and interspaced with the transformers, mount the sockets. These, by the way, are preferably of composition, with diagonally located contact springs in order to reduce parasitic capacity effects to a minimum. The mounting of the remainder of the apparatus is of lesser importance, except that it is well to attempt to follow as far as possible the physical layout of the apparatus in general this set, and if cheap apparatus is not used, no difficulty should be experienced in obtaining a consistent range of over one thousand miles on a two-foot loop. The set shown here can be depended upon most any evening to bring in KHJ (1800 miles) loud enough for phone reception, and to pick up Fort Worth (1000 miles) loud enough to operate the Magnavox. Havana, Cuba, comes in satisfactorily two or three evenings a week, and of course the nearer stations are always with us. It is possible to obtain satisfactory reception when some detector two-stage sets are mixed in a hopeless jangle.
Top view showing arrangement of apparatus
Circuit diagram of the loop receiver. Loop—(Flat type). Largest (outside) turn is 30" on a side. Ten turns \( \frac{3}{4} \) " between turns. Use No. 18 bell wire. C.—Ford coil condenser; C1—Phone condenser (Murdock); V. C.—.0005 mfd., 21-plate with spirals (pig tail connection is very important); Potentiometer—Standard variable type (Central Radio Laboratories); Rh.—Rheostat; R.—Radio Frequency Transformer; C2—.00005 mfd.; grid condenser (Murdock); L.—Variable grid lead (Central Radio Laboratories); R.—Mu-Red T-11, 1-11A, T-11B, R. F. transformers; A. F.—Reference A. F. transformer (3:1 ratio); A. F.—Transformer A. F. (make unknown); Jack—(for phones or loud-speaker) single circuit type; L.—Fifty turns No. 40 D. C. C. wire on a spool \( \frac{3}{4} \) dia.; Sockets preferably of insulating material throughout, with diagonally mounted prongs.
It will be a surprise to note the reduction of static and local noises, such as arc lights, sparking commutators, etc., with which all city dwellers have to contend, to a greater or less extent. This set also possesses the distinct advantage of being non-reradiating, hence you need not worry of ever spoiling your neighbor's pleasure.
Mazda Radio Parts Show Careful Thought
The Senior condenser, one of the Mazda parts, is a precision instrument carefully designed so that the first third of the dial covers a fifth of the total capacity range, the next third 60 per cent. of the total, and the last third the remaining fifth. This means that for tuning-in the middle third is used, after which, by varying the inductance or coupling, it is possible to do much finer tuning at either end of the dial. This approximates a vernier effect. However, the condenser is provided with a vernier adjustment, a second knob connected by reducing gears having a ratio of 7 to 1. This also acts as a stop, the gears being cut only half-way around the rotor.
The condenser is made without spacing washers, the posts being seamless copper tubing in which slots are milled, thereby securing uniform spacing. The condenser may be had in 3, 23 and 43 plates. For those who do not wish instruments of such accuracy there is a line of Mazda Junior condensers, which, however, preserve some of the unique details of the Senior, such as a geared vernier knob and milled posts.
The Mazda rheostat is of the carbon disc type, with copper washers between the discs, these being used as a result of tests showing that steadier adjustment was secured. The maximum pressure on the resistance unit is provided by a spring of the "rocking chair" type.
A special fusible washer is provided on the Mazda jacks on each connector post, with a screw. To make a soldered connection it is only necessary to insert the wire between screw and washer, tighten, apply a touch of soldering paste or flux, and heat with a match.
Filkostat, a Filament Control
In the Filkostat, a new filament control just perfected by S. R. Hipple, well known as an inventor of apparatus for the control of electric currents, there is presented an instrument which is distinctly designed to utilize the great tuning possibilities of the vacuum tube itself. The Filkostat permits perfect regulation of filament heat. This governs the flow of electrons. Proper control of the electronic flow in the tube permits the very finest tuning conceivable.
The Filkostat has a definite off position. It is so designed that the filament extinguishes abruptly, indicating that the A battery supply is completely disconnected. At full on the Filkostat, resistance is practically zero.
The Filkostat consists of a hollow cylinder containing the special resistance material placed between two large adjustable contacts controlled by turning the knob.
The resistance element is so finely divided that no further division is possible. There are no disks to break or chip.
The resistance remains constant at any position eliminating current variations once set. The Filkostat, which will retail for $2.00 is being manufactured by the DX Instrument Company.
Hutchison Phono-Phane
The marked advantages of the crystal detector are their lack of expense in operation, and the clarity of tone produced in radio telephone work. The marked disadvantage of the crystal is—or has been until recently—the delicacy of adjustment that is necessary in order to produce good results, or any results at all. This bothersome adjustment is rendered unnecessary by a new detector called the Hutchison Phono-Phane, which is being placed on the market. The device is a fixed detector, adjusted to maximum sensitivity at the factory, and not liable to disturbance thereafter by shocks, static discharges, or similar happenings that destroy, temporarily or permanently, the usefulness of the conventional crystal. The device takes the form of a cartridge with contacts at each end, mounted on an insulated base with binding posts.
Motor Generator for Charging Batteries
The efficiency of the motor-generator when used for charging storage batteries, and its great flexibility in permitting charging of batteries of varying voltages at widely different rates, has led to the construction of a new Electric Specialty motor-generator set. The set is of the two bearing type and is supplied with or without a panel containing voltmeter, ammeter and control switches. The sets are rated at 100, 200 and 300 watts.
Resiston-Radion, a New Insulating Composition
The manufacturers of the well-known Radion panels and parts for radio use have just announced that further improvements have been made in the composition of Radion, which produces an even better grade of material from the standpoint of its electrical and mechanical advantages. This improved product will be known, henceforth, as Resiston-Radion—Resiston being the trade mark adopted and registered by the American Hard Rubber Company for sheet or moulded material compounded for electrical insulating purposes, including radio apparatus.
Fifteen convenient stock sizes of Radion panels have been put on the market. This is an addition of five stock sizes over the number they have been manufacturing for the past year. Developments in the radio industry have indicated that fifteen stock sizes fulfil almost every demand of the man who builds his own set, and greatly simplifies distribution by jobber and dealer alike. Beginning at the smallest panel, 6 x 7 inches, they appear in increasing lengths, such as 6 x 10½, 6 x 14, 6 x 21, 7 x 18, 7 x 24, 10 x 12 and 12 x 14. The smaller sizes are 3/16 inches thick while the larger sizes, as 14 x 18 and 20 x 24 can be had in 3/16 and ¼ inch thickness.
H. R. Van Deventer Now With Dubilier Condenser and Radio Corporation
H. R. VAN DEVENTER, formerly with the Westinghouse Electric and Manufacturing Company, has been appointed vice-president of the Dubilier Condenser and Radio Corporation. Mr. Van Deventer will be in charge of research, development and manufacturing.
Charging B Batteries from the Tungar
The large numbers of users of the Tungar rectifier for charging 6-volt storage batteries are appreciating a new attachment for this charger by which it may be used for charging 22½-volt B batteries of the storage type. The attachment consists of a small porcelain spool wound with resistance wire and enclosed in a small sheet metal box, which can be hung on the side of the Tungar. Two connection leads come from the resistance, one going to the Tungar and the other (the longer) to the positive pole of the "B" battery. It can be attached in a few seconds, and without the slightest difficulty. It will charge a 20-24-cell storage "B" battery at approximately .1 ampere, or 10-12 cells at approximately .2 ampere. It can be removed easily and quickly for charging the "A" battery.
To meet the rapidly growing demand for the Tungar, brought about by its popularity for charging batteries used for radio, the factory facilities for manufacturing the smaller sizes have been greatly increased.
A New Battery Charger
A NEW type radio and automobile battery charger for convenient home use has been announced by the Valley Electric Company.
The new model has been designed so that it is suitable for installation and use in any room in the home. Similar in appearance to the watt-hour-meter, it is enclosed in a molded glass cover, which shows all working parts. No bulbs are used.
The Valley Type A and B charger will charge a 6-volt A radio battery or any make automobile battery at a 5-ampere rate. It will also charge 22½-volt and higher voltage B radio batteries.
This new model charger plugs in on the home lamp socket just like the ordinary electric light bulb. It connects to the battery by means of clamps, which are furnished with the instrument.
Knott Cinq Coil
ONE of the most interesting and ingenious tuning instruments that has been placed on the market is the Knott Cinq-Coil, which, as students of French and Spanish will surmise from the name, contains five coils. These coils are all arranged one within the other, and are governed by three concentric knobs, working independently of each other. The manufacturer, the Knott Machine Co., 1 Ellery Street, South Boston, Mass., states: "The loose coupling is so divided that instead of 90 degrees of one dial adjustment, as on the ordinary vario coupler or variometer, there are 120 degrees on each of three dials, multiplied by the fact that the change of position of each one affects the others, so the adjustment is stretched 1,000 times. This means, of course, that whereas in the old style of single rotor you might get four stations in ¼-inch of your dial, you have on this Cinq-Coil those same stations spread over several inches of adjustment. You thus eliminate interference and obtain clear accurate tuning.
"When all the dials read zero, the five coils are directly one inside the other with the same center line. The three dials are Knott positive stop dials. Wires are carried from each coil to binding posts. The outside coil and number three coil are wound for taps to be taken off every few turns if you desire. Numbers one, three and five are the rotating coils, each moved by its knob, independently of the others."
Tube Sockets
Radio fans who have wondered why the various tubes have different types of base, so that one tube cannot be used in the socket indicated for another, will be interested in the following explanation, which the makers of the Na-Aid socket make to those who inquire of them.
"There have been no changes made in tube design without a real reason for changing. The size of the WD-11 tube lends itself to a smaller base. The variation in the size of the prongs and peculiar location insure the tube being placed in the socket with the proper connections and prevent its being burned out by being placed in a socket of sets using a 6-volt battery.
"The same reason for changing the size of the base also applies to the new G. E. 199 tube that works from two dry cells.
"However, the most interesting change for added efficiency is in the changing of the plate and grid terminals. In the regular 6-volt tube Nos. 200, 201 and 201-A, the plate and grid terminals are side by side. In the Westinghouse WD 11 tube and General Electric Company's No. 199 tube, the plate and grid terminals or prongs are opposite each other. This elimination of capacity between these two terminals adds a great deal to the efficiency of these tubes. To get the full benefit of this efficiency it is advisable to use sockets designed especially for this tube. Some manufacturers have simply made over the mould for their regular sockets necessitating changing of connections underneath. To do this they must run close to each other and this restores the capacity effect to a serious degree. This same objection is also found in all adapters, as it is necessary for the connection to cross over and run in close proximity to each other."
For that reason the use of special sockets rather than adapters is recommended by the Na-Aid people. They point out that their WD-11 socket gives a wiping contact on the prongs in the base of the tube.
Underwriters Approve Ducon
THE Ducon plug, used for attachment to electric light sockets in order to use house wiring as an antenna, has been approved by the Underwriters' Laboratories for such service. The Laboratories submitted the plug to severe tests, mechanical and electrical, and found that it presented no fire danger. The plug, which is made by the Dubilier Condenser & Radio Corp., New York City, therefore may be freely used without danger of invalidating fire insurance policies, which is not the case with devices that have not had the approval of the Underwriters.
IN the February issue of *The Wireless Age* mention was made in the reports on the trans-Atlantic tests of last December by the French, of signals from station Zero-MX which at that time had not been identified. *The Wireless Age* has had this transmission confirmed in a recent letter from an amateur in Holland, whose name is omitted for obvious reasons. He states in his letter, that he assigned that call O-MX to his station because he was unsuccessful in obtaining any designation of it officially from the Postmaster General of his country, and because amateurs are not permitted to transmit in Holland. He does not explain, however, how he kept out of jail in the proceeding. The operator of O-MX states that he is going to carry these tests further as long as possible, and states that he will call "NATA" sign O-MX each Saturday night at 11 o'clock Greenwich Mean Time, on 200 meters using a C. W. transmitter, until further notice, and requests advices if any amateurs hear his signals.
O-MX in his letter states that he would like to live in America as it must be a "heaven" for radio amateurs. It may seem that way to him, but to any one who has listened recently on 200 meters in this country, there might be a different feeling about it. In fact, this feeling might be so entirely different as to suggest just the opposite.
*The Wireless Age* will appreciate any advices regarding reception of O-MX if the signals are heard by any of its readers.
THE design and operation of station 9AAP, Milwaukee's only station to have its signal span the Atlantic, was the subject of a paper presented by Marian Szukalski, Jr., at the first meeting in February of the Milwaukee Amateurs' Radio Club. E. G. Nickel and E. A. Cary, both of station 9ATO, as members of the club's publication committee, frequently give digests of current radio literature in their reports, one of these being a most interesting and instructive description of the design and operating record of station 6KA.
C. N. Crapo announced in his monthly report that Milwaukee County, the smallest of the districts, with four hundred and fifteen messages handled, ranked second in the race among traffic districts of the State.
To the stations which mostly handle the greatest amount of traffic a silver cup, known as the Wisconsin Cup, is offered by B. A. Ott, 9ZY, manager in charge of the latest issues of the leading radio magazines, and the "log" which every member signs as he enters and leaves the room. On the other side of the room, the sending and receiving outfits are located. The transmitter may be used for wireless telephony, continuous wave telegraphy, or buzzer-modulated telegraphy. Four 5-watt power tubes are used. The receiving set consists of a short wave regenerative receiver, a 2-step amplifier, and one step of power amplification, and a Magnavox. All the instruments are enclosed in cabinets with panel fronts.
During 1921, the club, conducted experiments in broadcasting music and song as well as reporting the scores of the college games. Phonograph selections and college songs sung by the members were broadcasted without any difficulty. Mandolin and banjo-mandolin music was also transmitted and favorable reports were received from those who heard it. The banjo-mandolin music furnished by Operator Fusco was especially appreciated. Last Fall, during the exciting C. C. N. Y.-N. Y. U. football game in the College Stadium, Radio Club members were on the side lines with a field telephone connected to the station in the bell tower. There, an operator repeated the plays as they were reported into the radiophone transmitter.
On January 1, 1922, at 4 p.m., 2XNA broadcast its first Radiophone Organ Recital. While the noted organist, Professor Samuel A. Baldwin, was playing the organ before a large audience in the Great Hall of the college, the recital was being broadcast from the club's station in the bell tower on a wave length of 280 meters. Microphones attached to large megaphones were installed in the two organ lofts and connected in series. On January 22, the second radiophone organ recital was broadcast, following which letters were received from stations which heard the concert and appreciated it enough to notify the club.
Some of the club activities that can be briefly enumerated are daily code practice a weekly lecture by one of the advanced members or by some outside expert.
The club is working on an even more ambitious program for the year of 1923. Adopting as our motto, "Service to Alma Mater," it is going to show how useful a radio club can be in a college. Plans have been formulated for the building of a 250-watt set.
The officers of the club are: President, R. Carlisle, 2VY; Vice-Pres. M. B. Gillespie, 2CVN; Chief Operator, Ben Orange, 2CEC; Sec.-Treasurer, D. Weinbloom.
Mr. John C. Gregory of Treadwell, Alaska, a new member of the National Amateur Wireless Association, while recently using a single circuit regenerative receiver in connection with a 2-stage audio-frequency amplifier, was successful in picking up the broadcasting program from PWX located at Havana, Cuba; the distance being approximately 4,000 miles.
There is still great interest in amateur radio telegraphy. This fact is shown by the increase in general and restricted amateur licenses issued by the Department of Commerce since January 1, which number 601. On January 1, there were 17,102 amateur licenses in effect, and on March 1st, there were 17,603.
These figures do not include 617 other non-commercial stations, which comprise 134 technical and training school stations, 297 experimental and 186 special amateur stations.
The distribution of special amateur licenses by districts is as follows, showing the Chicago District, including Northern Peninsula of Michigan, Wisconsin, Illinois, Kentucky, Indiana, Minnesota, Iowa, Missouri, North and South Dakota, Nebraska, Kansas and Colorado, first:
| District | Headquarters | Total, March 1 |
|----------|--------------|----------------|
| 1 | | 2490 |
| 2 | New York | 2589 |
| 3 | Baltimore | 1919 |
| 4 | Chicago | 230 |
| 5 | New Orleans | 825 |
| 6 | San Francisco| 2019 |
| 7 | Seattle | 863 |
| 8 | Detroit | 1749 |
| 9 | Chicago | 3729 |
Total... 17,603
Harry Sadenwater Promoted by General Electric Co.
Harry Sadenwater, former Assistant Radio Inspector, Second District, and former Lieutenant of the Air Service of the United States Navy, has been placed in charge of the technical operation of the broadcasting stations of the General Electric Company, including WGY at Schenectady, N. Y., and the projected station at San Francisco, Cal. The selection of Mr. Sadenwater was made by Martin P. Rice, Director of Broadcasting.
Two years before he entered the ranks of the Radio Engineering Department of the General Electric Company, Mr. Sadenwater was a Lieutenant in the United States Navy and was one of the few, out of hundreds of volunteers, selected for the hazardous flight of the NC flying boats, NC-1, NC-2 and NC-4, across the Atlantic, from Newfoundland to Portugal.
Lieut. Sadenwater was radio officer on the NC-1, which encountered heavy fog during the trip and finally came down to the surface of the sea and was so badly damaged by the waves that it was impossible to ride off the water. The crew was in imminent danger of going down with the NC-1 for several hours. Lieut. Sadenwater sent out SOS calls until the batteries became exhausted. Finally a Greek freighter, the SS. Ionia, sighted the NC-1 and picked up her crew and landed them safely at Horta Fayal, in the Azores. Lieut. Sadenwater, with other members of the crew, was made a Knight of the Military Order of the Tower and Sword by the President of Portugal.
Additions to Staff of C. Brandes, Inc.
L. W. Staunton, former research manager of the Herold-Garber Company, Indianapolis, Ind., has been appointed advertising manager of C. Brandes, Inc.
Previously, Mr. Staunton was in charge of the merchandising section, department of publicity, Westinghouse Elec. & Mfg. Company, in which capacity he had considerable responsibility in the production of radio publications. At the time the famous KDKA broadcasting station was established at East Pittsburgh, he was closely associated in radio work with Mr. M. C. Rypinski, who is now vice-president of C. Brandes, Inc., and therefore in joining the organization of C. Brandes, Inc., he is joining well-known friends in the radio field. Previous to his connection with the Westinghouse Company, he was affiliated with the publicity department of the Taylor Instrument Company, of Rochester, N. Y.
C. Brandes, Inc., has also recently appointed Mr. C. E. Brigham as research and design engineer.
Mr. Brigham has taken the course of radio at Harvard. He also took the course in telephony at the Naval School, at New London, Conn., and a four-year course in George Washington University in electrical engineering.
For two years Mr. Brigham was chief instructor in radio at the National Radio Institute at Washington, D. C.
STATIONS WORKED AND HEARD
Stations worked should be enclosed in brackets. All monthly lists of distant stations worked and heard which are received by the 10th of each month will be published in the next month's issue. For example, lists received by November 10th will be published in the December issue. Spark and C. W. stations should be arranged in separate groups.
2NE. A. H. Saxton, and D. M. Cole, 211 Clarmont Ave., Jersey City, N. J. (February). CW (unless otherwise marked).
Iaaw, ladn, (lakb), lape, laun, (lawe), lban, lbes, lbkq, lbqq, lbom, lbqg, lbrq, lbvh, lbwj, lcab, lcaq, lcbj, lcmk, (lcmp), (lcpi), lcsj, (ld), lil, low, (lrv), (lsn), lts, lxm, 3adx, 3aro, 3bss, 3bwt, 3pz, 3su, 4agi, 4bi, 4hw, 4ik, (4lj), 4mb, 5es, 5js, 5pd, 5zas, 8adg, 8aid, 8ajx, 8ai, 8alo, 8alv, 8apw, 8at, 8atn, (8atx), (8avt), 8bcy, 8bda (spk.), (8bj), (8bh), (8bvr), 8c1q (spk.), 8cin, 8cpx, 8cuu, (8cw), 8cxw, 8cyu, (8dae), 8gp, 8gz, 8lh, 8lj, (8jj), 8jy, 8kh, 8nb, 8qk, 8ue, (8xap), 8zz, 9ap, 9au, 9aih, 9aj, 9ajh, 9ako, 9amo, 9aoq, 9aoj, 9ar, (9bgc), 9bnd, 9bk, (9ota), 9eau, 9etz, 9ejc, 9epi, 9epx, 9ctv, 9cu, 9cxp, 9dbf, 9dio, (9dmj), 9dp, 9duq, 9dw, 9dn, 9il, (9pq), 9um, 9vb.
CANADIAN—2cq, (3de), 3in, 3ko, 3si, (3sx), 3yh. Please report signals from 2ne.
Raymond Groebe, Elizabeth, N. J. (February.)
C. W.—1aaw, laby, ladj, lagh, laij, lalz, lanm, lanr, lany, laoi, laoe, laoy, latj, laxi, layz, lban, lbas, lbd1, lbet, lbf, lbf, lboa, lbqk, lbsa, lbvb, lbvh, lbvr, lbwy, lbyn, lcab, lca, lcah, lcdn, lcmk, lcnf, lcnr, lcot, lcpj, lcpn, lcsw, lcev, lccx, law, lce, ldg, lez, lfm, lgs, liv, lmc, lmy, lnp, lsd, lit, lvg, lwc, lxe, lxm, lxx, lxx, lze—3aaq, 3acr, 3adq, 3aej, 3ahp, 3ajj, 3amw, 3apj, 3apo, 3apt, 3aqr, 3aro, 3arv, 3asp, 3atb, 3auv, 3awa, 3awh, 3bdm, 3bei, 3bfu, 3fhz, 3bgf, 3bmo, 3bob, 3bof, 3brw, 3bss, 3bss, 3buc, 3bup, 3buv, 3buy, 3bvc, 3bwj, 3can, 3ccc, 3ccv, 3cdy, 3cel, 3ce, 3dc, 3dh, 3fm, 3fq, 3fs, 3gc, 3hi, 3hx, 3ih, 3id, 3kl, 3lk, 3lp, 3od, 3oe, 3oj, 3ot, 3rt, 3ss, 3st, 3tl, 3tr, 3uc, 3wx, 3xa, 3xm, 3xn, 3xt, 3yh, 3yk, 3yo, 3zo, 3zw—4as, 4gb, 4gi, 4gb, 4qy, 4db, 4dc, 4dt, 4eb, 4eh, 4el, 4ep, 4fe, 4ft, 4hw, 4jh, 4ir, 4iw, 4jk, 4kl 4kg, 4ji, 4jm, 4nv, 4od, 4oi, 4xd, 4ze, 5da, 5ek, 5fe, 5ik, 5jb, 5kc, 5lf, 5ns, 5nz, 5pv, 5px, 5qm, 5qy, 5af, 5tc, 5uk, 5xb, 5xc, 5zt, 5zx, 5zas—8aaf, 8aak, 8adq, 8aeo, 8afd, 8aia, 8ailk, 8aiz, 8ajt, 8akd, 8ali, 8alo, 8anb, 8ang, 8aoh, 8apv, 8asc, 8aue, 8avr, 8aw, 8awz, 8axn, 8azc, 8bch, 8bda, 8bdl, 8bef, 8beo, 8bji, 8bjc, 8bms, 8bog, 8bo, 8bqc, 8brc, 8brd, 8btt, 8bry, 8bzf, 8bws, 8bw, 8bx1, 8bx2, 8bzq, 8caq, 8cb, 8cef, 8cei, 8chb, 8chu, 8cih, 8cjh, 8cji, 8cjz, 8cko, 8clz, 8coi, 8con, 8cow, 8cpx, 8cqx, 8ctn, 8cvx, 8cxh, 8cxp, 8cyu, 8crx, 8dag, 8dak, 8xap, 8zae, 8ab, 8cp, 8eo, 8er, 8iu, 8ji, 8jj, 8kj, 8ku, 8lu, 8ls, 8qk, 8rj, 8si, 8te, 8uc, 8uf, 8vl, 8vn, 8wa, 8zd, 8zo—9aal, 9aau, 9aek, 9aey, 9ak, 9aix, 9alp, 9amh, 9amt, 9amu, 9anl, 9anq, 9aps, 9ase, 9aza, 9bam, 9bda, 9bdt, 9bed, 9bee, 9bgb, 9bgh, 9bgi, 9bgx, 9bij, 9bjr, 9boe, 9bre, 9brj, 9brx, 9bw, 9bxz, 9bzi, 9bzz, 9bca, 9cs, 9cv, 9cu, 9crk, 9che, 9ej, 9ckw, 9cmi, 9cnv, 9cpg, 9cv, 9cvl, 9cym, 9cp, 9cyw, 9dah, 9dbi, 9dct, 9ddy, dio, 9djb, 9dq, 9dr, 9do, 9dad, 9dwf, 9dwx, 9dxc, 9dx, 9dxn, 9dyn, 9ehi, 9eki, 9as, 9cr, 9ei, 9ep, 9ip, 9ik, 9il, 9ih, 9ime, 9oc, 9oi, 9or, 9ox, 9pe, 9pf, 9tu, 9vk, 9vm, 9yi, 9za, 9zt, 9zy.—CZ-7, AD-7. (Phone)—lbka, 1xak, 3fj.
All these stations were heard on a one step only.
3RB. James A. and Joseph M. Nassau, 1510 N. Gratz St., Philadelphia, Pa. (February).
lap, law, lcn, 1fh, lgs, lgv, lii, lmc, lmy, low, lpy, lqp, lsd, lsn, lxx, lxm, lyd, lyk, lxxd, laaw, labb, lajp, laix, laoj, lary, latj, laun, lawb, lban, lbd1, lbeo, lbqg, (lbqd), lbrq, lbsp, lbvh, lbwy, lcaic, lcdn, lck, lci, lcia, lckp, lcmk, lcmp, lcmf, lcpn, lcsw, (2bxp), (2cd), (3cdy), (nof), 4bi, 4dc, 4ea, 4ft, 4gz, 4ik, 4kl, 4md, 4nv, 4va, 4zc, 5da, 5fv, 5kc, 5mo, 5qm, 5sm, 5xa, saab, 5ag, 5zas, 6zz, 7hd, (8apw),
Queries Answered
Answers to questions in this department relate to questions of subscribers, and cover the full range of wireless subjects, but only those which relate to the technical phase of the art and which are of general interest to readers will be published here. The subscriber's name and address must be given in all letters, on only one side of the paper written on; where diagrams are necessary they must be on a separate sheet and drawn with care. We cannot guarantee that questions of one reader can be answered in the same issue. To receive attention these rules must be rigidly observed.
Positively no questions answered by mail.
W. E. Snyder, New York City.
Q. The writer wanting something to read a week ago bought THE WIRELESS AGE of February. It was very interesting reading to the writer. Having a nephew 11 years old who wants to be a radio expert he discovered the article by Stuart Babcock on page 74. Now he wants the writer to build it for him and of course when a kid wants a thing he wants it. The writer not being familiar with radio is writing to you for some information to get a more detailed account of the article. In the article the sentence "Figure shows the complete form with half of the tooth picks in position." The sentence to the writer is rather vague. If the coil is made as the writer thinks, it will be flat, and how will the switches work on a flat surface. To the writer's way of thinking the five dots or switch contacts on the right when in a circle will be in back of the 9 switch contacts. If so, how is the coil held?
A. The switches do not move over the surface of the coil at all. This surface is not flat but wavy because the wire is interwoven with the toothpicks. The switches and switch contacts are mounted on a panel—the contacts being connected to the coil by means of the loops which are taken out of the coil every 5 turns, and every single turn for the last 5 turns of the coil. See diagram for layout of set.
We would urge you to read some of the elementary radio books such as "An Introduction to Radio" published by the Wireless Press.
H. R. Hall, Perry, Iowa.
Q. I am planning on changing my set over to use spider web coils and want to use the diagram that was printed in the January issue of THE WIRELESS AGE in answer to Mr. Rodda's question, but want to know if I can build a set of coils to receive the signals from the station at Arlington, Va., and also the Great Lakes station, and how many turns would each one require and what size wire would it take?
A. In order to receive longer wave lengths, the coils should contain 300 turns for primary and secondary and about 100 turns for the tickler. Use No. 24 or No. 26, S.S.C. wire. We would recommend the use of another form of winding for these wave lengths than spider web since the coils would become very large—of the order of 12 inches in diameter. You will find data on the design of long wave coils in E. E. Bucher's "Wireless Experimenter's Manual," published by the Wireless Press, New York.
* * *
Rolf A. Pearson, Port Chester, N. Y.
Q. Will you please give me the very best hook-up that you know of for a radio receiving set to be installed in an automobile, using a loop antenna? The number of bulbs or parts are immaterial. What I want is a good receiver to work a loud speaker and bring in distant stations.
A. The best hook-up for using a loop antenna on an automobile is one containing six tubes—three radio, detector and two audio. You will find complete data on the construction of such a set in the July, 1922, issue of THE WIRELESS AGE.
* * *
J. R. Hoover, Elmira, N. Y.
Q. 1. In your issue of THE WIRELESS AGE for January, you published a number of "Practical Reflex Hookups." In hookup described in figure 3 of that issue, a 50,000-ohm resistance is used. This resistance I have been unable to procure. Will you kindly advise me as to where it may be purchased?
A. 1. The 50,000-ohm resistance is a Western Electric Co. lavite resistance unit No. 38A and may be procured from the Continental Radio and Electric Corporation, 15 Warren St., New York City.
Q. 2. This hookup also requires a 10 M.H. choke coil, which should be used on an open core of an iron core.
A. 2. A honeycomb coil or one of the windings of a radio frequency transformer may be used for the 10 M.H. choke coil.
Q. 3. Will you please give the capacity of the variable condensers used in this hookup?
A. 3. The variable condensers have a maximum capacity of about .005 mfd.
* * *
Wm. Sacher, Pottstown, Pa.
Q. May I ask you what is wrong with my set? The set consists of three radio and detector and two of audio. I am using an Atwater-Kent circuit tuner and two 43-plate condensers. The best I ever received was Kansas City and got it through the loud speaker as loud as Schenectady. During the late hours I use the head phones but can't reach further than Kansas. Why is it the less voltage of "B" battery on the plate the louder it gets? I get nothing on voltage of 90 volts or upwards. Sometimes I get better results from the ground alone without the aerial. I built the set myself and bought nothing but the best parts. It was duplicated from the "M.P." ready-made set. This set always squealed and howled and was not a bit sensitive. I have my aerial on top of our building—fifteen feet above the roof. It is of the L type. The building is 75 feet high. Will you please give me the latest and most up-to-date hook-up that will give me results for the parts I have?
A. We would recommend that you use a 23-plate condenser and a vernier across the secondary of your coupler. The finer tuning will probably enable you to bring in more distant stations. Try interchanging tubes and try different tubes such as the UV-201A which are far superior to the UV-201. Try different detector tubes. Try using a loop instead of the regular aerial. For information on loop and r. f. circuits, look up the July 1922, Wireless Age. You get worse signal with 90 volts because the voltage amplification of the tube is reduced unless you apply a negative bias to the grids of the amplifier tubes.
* * *
Rev. Clarence E. Woodman, Berkeley, Calif.
Q. Kindly give me the natural wavelength of an aerial four wires, two feet apart, each from each; forty-seven feet above ground, one hundred and four feet long. The lead-in is twenty-six feet to receiving set. The lead-out is forty feet to a water pipe in the basement of my house.
A. The natural wavelength of your antenna is approximately 200 meters. This figure is fully correct to about 10 per cent. as there are a number of factors which enter, such as presence of trees, nearby buildings, etc.
* * *
A. G. Rosberg, New York City.
Q. 1. What is the best hook-up for my set, as outlined below?
A. 1. Below is a three-circuit regenerative receiver, using honeycomb coils.
Q. 2. If you approve of the Flewelling hook-up what grid leak condensers would you recommend?
A. 2. The Flewelling circuit is a regenerative circuit in which super-regeneration is effected by the discharge of a large condenser through a resistance. The latter produces the variation frequency which is necessary. We would advise you to look up the back numbers of The Wireless Age for explanation of super-regeneration. These local discharges are rather troublesome and we would advise using a standard regenerative hook-up which will give practically equal results. In fact, many experimenters find that all the stage condensers are unnecessary, the circuit then being simply that of an ordinary regenerative receiver. Any standard make of grid leak and condenser is suitable such as Radio Corporation, Dubliver, Freshman.
Q. 3. Who is KFB?
A. 3. KFB is the S. S. City of Atlanta, of the Savannah Line.
* * *
B. E. Litts, Ellendale, N. D.
Q. As per your request of February 17th, I am enclosing a complete diagram of reflex circuit referred to. I have tried to be explicit and the drawing is exactly the way I hooked up the circuit. But could not get it to function. I could get howls and tube noises, but nothing audible. I do not know of anything I can tell you further. But perhaps on looking over the diagram on opposite side you will detect something that will put some light on my failure. The .0002 mfd. condenser which you mentioned was simply an error on my part in writing, as I used .002 condensers in the four places shown in the diagram. I coupled everything very short.
A. We would advise you to disconnect the tickler coil and to use a 2-circuit tuner instead of the single circuit. Try adjusting filament and plate voltage of detector tube. See diagram below.
Roy Drew, Toronto, Ontario, Canada.
Q. I am trying to build a battery, as per the description given on page 41, chapter 17 in your book "Practical Amateur Wireless Stations." In your article you say, "In one end of each strip fill the holes with a red lead paste, and in the opposite end of each strip fill the holes with a similarly prepared paste of yellow lead." Now, sir, it is that yellow lead which I cannot definitely identify. One of the paint dealers thinks it must be a chromate, while battery men say it must be one of the oxides of lead. Will you please give me the chemical formula, so that I may be able to procure same?
A. The red lead in the positive plate has a chemical formula Pb 3 O4. The yellow lead in the negative plate is commonly called litharge. It is not a chromate—its composition being P6O (lead monoxide).
---
BRISTOL
(Trade-mark)
AUDIOPHONE
Loud Speaker
A round clear tone entirely free from mechanical noise and blurring—exactly reproducing the original. The AUDIOPHONE makes Radio receiving a joy.
More than six years' time has been consumed in perfecting this Loud Speaker. Thus, it is not a makeshift, but a reliable and permanent piece of radio equipment. Thousands are now in daily use by both professionals and amateurs.
Made in two models called AUDIOPHONE Senior and Junior. The design is artistic—the finish a handsome dull gold bronze. An attractive addition to any living room.
Ready for instant use, no auxiliary batteries required.
The wonderful tone quality has made the AUDIOPHONE famous. Hear it and compare it with others—then decide for yourself.
Bristol's One Stage Power Amplifier
Supplies the necessary additional one stage of amplification for using a loud speaker on any standard two stage set. It is a convenient unit and high grade in every respect. Especially suitable for use with the AUDIOPHONE. Constructed on a new principle of Audio Frequency. No C battery required.
AUDIOPHONE SR.
Reduced Price $32.50
Horn 15 inches diameter
Weight 10 pounds
AUDIOPHONE JR.
Price $22.50
Horn 11 inches diameter
Weight 7 pounds
Bristol One Stage Power Amplifier
Price $25.00
THE BRISTOL COMPANY, Waterbury, Conn.
USE THIS COUPON
The Bristol Company,
Waterbury, Conn.
Send me without cost or obligation to myself bulletins on Bristol Audiophone and One Stage Amplifier.
Name ...........................................
Street and No....................................
City........................................... State..............
When writing to advertisers please mention THE WIRELESS AGE
Frank Goodchild, Philadelphia, Pa.
Q. Kindly give me the information as to why, I don't get distant stations on my set. I cannot get anything outside of Philadelphia. I have a panel made by the Electro Dental Company of Philadelphia, with an inductance coil which is supposed to receive up to 1,200 meters and has ten taps on it. It has a 43-plate variable condenser and is hooked up with an Atwater-Kent detector and two-stage amplifier. I have an aerial of 19 stranded silvered bronze wire two lengths of 60 feet each, about 45 feet high. There are high tension wires passing by it about 40 feet away and also phone wires. I have my ground connected to a water pipe. I get Philadelphia broadcasting so loud I can hear and understand it plainly 20 feet away from the head phones. Please let me know what my trouble might be and what I can do to overcome it. Also let me know how to improve my set.
A. In order to receive distant stations with a non-regenerative receiver, your antenna should be very good and your coils of low resistance. It would be best for you to convert your set into a regenerative receiver in accordance with the diagram below, which will necessitate purchasing a vario-coupler and a vernier condenser.
Material: .0005 condenser and vernier; 1 vario-coupler—about 60 turns of each winding; 1 grid condenser .00025 mf and 1 grid leak; 1 phone condenser .002 mf; 2 amplifying transformers; 3 rheostats; 2 switches and about 16 switch contacts; 1 6-volt storage battery—60-80 Ampere hr.; 1 UV-200 radiotron; 2 UV-201 radiotrons; 1 pair phones; 3 22-volt B batteries.
Below is hook-up for a C.W. transmitter which will give about 1 mile radius.
The coil contains 40 turns of No. 18 annunciator wire wound on a core 3½ inches diameter. Turns ¾ inch apart. Core 12 inches long. Take taps out every two turns. A 1½-volt flashlight lamp is used as antenna ammeter.
RORN USED WITH CR-8
—for DX work—can't be beat—very QSA. Place your order now—write your nearest dealer. If he can't supply you, write us direct for immediate shipment.
"3 PW"
PHILADELPHIA WIRELESS SALES CORPORATION
Formerly Philadelphia School of Wireless Telegraphy
Wholesale Department 1533 Pine St. PHILADELPHIA Retail Department 1326 Arch St.
FIBERTONE
$10
Excels for Amplification
Scientific experiments have proven the superiority of fiber over metal for radio amplification.
Fibertone hand made horns are unequalled for true, clear and mellow tone reception, eliminating blast, vibration, crude distortion, tinny and metallic sound. Just clamp your present phone into the base.
Handsomely finished in black crystalline and will not crack, chip or dent.
Every radio owner can afford a Fibertone.
23" high—10" bell—Only $10
28" high—14" bell—Only $15
FIBER PRODUCTS CO.
240-A North 10th St.
Newark, N. J.
Dealers: Write for discount
FIL-FONE SWITCH
One Installation.
No Jacks.
One Movement for all Filament Control.
No Plugs.
No Separate Switches.
Price $3.00
Design and Circuit Connections Protected by patents pending
The Fil-Fone Switch is the latest addition to our remarkably complete line of Radio Products. Designed for convenience and elimination of surplus parts. Gives the operator perfect control of his tubes without noise or inconvenience of plugging in phones from one stage to another.
The Fil-Fone Switch automatically lights the filaments and connects the "B" Battery and telephones to either Detector, first stage of amplification or second stage of amplification as desired, with a positive and progressive operation. It has an "OFF" position which disconnects the filament battery, "B" Battery and phones from the set.
This method of filament control is sure to be universally adopted in set building because of its simplicity, convenience and saving of expense. Sold ready for mounting, with complete wiring diagram.
Send for free descriptive circular, F. F. S. No. 2.
(Complete catalog of Radio Parts with useful Radio information sent on receipt of six cents in stamps for mailing.)
The A-C Electrical Manufacturing Company
DAYTON, OHIO
Makers of Electrical Devices for over 20 years
WARNING!
While we try to adequately supply the newsstand demand for The WIRELESS AGE the safe way of getting your copy is to give to your newsdealer a standing order or place your yearly subscription with him. Now is a good time to do it.
FLEWELLYN FLIVVER FANS
We manufacture all the parts you may need to build one of these efficient one-tube receivers. When you see an article in WIRELESS AGE describing how to build a receiver you can depend on it. When you come to the selection of parts to build it—send your List to THE WIRELESS SHOP. You can then depend on all of the parts and can bank on your results.
OUR AUDIO AND RADIO FREQUENCY AMPLIFYING TRANSFORMERS ONLY
This Price Made Possible Only by Direct Factory-to-User Sales Policy $4.00
THE WIRELESS SHOP
A.J. EDGCOMB
1262 W. SECOND STREET
LOS ANGELES, CAL.
WRITE YOUR NAME AND ADDRESS ON THE MARGIN BELOW AND MAIL IT—GET YOUR NAME ON OUR MAILING LIST—IT WILL PAY YOU—BUY DIRECT AND SAVE. WA3
When writing to advertisers please mention THE WIRELESS AGE
New York Coil Company's Radio Products
The Leading Line of the Most Successful Jobbers and Dealers in Radio
STANDARD 90 DEGREE COUPLER BAKELITE TUBE
Price $3.50
180 DEGREE VARIOCOUPLER
Genuine Bakelite tubing throughout, silk wire, solid shaft, best made Coupler in existence. Price $4.50
OUR AMPLIFYING TRANSFORMERS are the choice of leading manufacturers. Particularly adapted for use with WD 11 tubes, highest magnification, no distortion. Price $4.00
Our Combination Mounted Variocoupler for table or back panel mounting has all taps connected and soldered—nothing else like it. Price $8.00
Our Variometers are full size, precision instruments. They are not of the competitive type. Price $4.00
NEW YORK COIL COMPANY'S Variable Condensers are the standard by which others are judged, containing such features as all metal frame work, adjustable bearings and positive electrical contact—
| Plate | Price |
|-------|-------|
| 11-Plate | $1.50 |
| 23-Plate | $2.00 |
| 43-Plate | $3.00 |
| 3-Plate | $1.25 |
NEW YORK ENTERTAIN-A-PHONE RECEIVING SET No. 2—Complete with detector and two stages of amplification, all in one cabinet. Contains a non-regenerative two circuit hook-up with two stages audio amplification. Results are simply a revelation. It must be operated and heard to be appreciated. Workmanship and design and material of exceptional character throughout. Of unusual interest to the jobber. Price $50.00, fully guaranteed.
NEW YORK COIL COMPANY, Inc. 338 Pearl Street New York City, N. Y.
SPARE TIME MONEY
Turn some of your spare time into money by securing subscriptions to
The Wireless Age
Many radio enthusiasts find this an easy way to get the money to pay for their new apparatus and books.
For particulars write
SUBSCRIPTION MANAGER
The WIRELESS AGE, 326 Broadway, New York
When writing to advertisers please mention THE WIRELESS AGE
Riding in the Day Coach is Cheaper
But the greater comfort and convenience of a Pullman chair are certainly worth the difference in price that is asked. In most things—including radio equipment—you get what you pay for.
You can buy a single-circuit receiving set for considerably less than you will pay for a Paragon three-circuit receiver. Of course, with a single-circuit receiver you must expect mixed messages, continuous jamming between different stations and generally unsatisfactory results.
With a Paragon three-circuit receiver, you can tune in accurately on the station you wish to hear, on any night that it happens to be broadcasting, and get a complete programme, clearly rendered.
Ask some experienced amateur what he knows about PARAGON RADIO PRODUCTS.
The amateur will tell you that the Paragon three-circuit receiver, because of its greatly superior selectivity and sensitivity, can pick and choose between broadcasting stations of about the same signal strength with less than one per cent differential.
This means that with a Paragon receiver you get what you want when you want it—complete messages and clear music from the station you tune in on, without interruption and jamming. Until you have listened in with a Paragon three-circuit receiver, you cannot guess the real pleasure and fascination of radio.
Long before broadcasting popularized radio with the general public, Paragon equipment was the choice of the experienced amateur. He will tell you today that if you want quality and satisfaction, Paragon Radio Products are the best and safest buy on the market.
An illustrated Catalog of Paragon Radio Products is Yours For the Asking
DEALERS — The Adams - Morgan Company has an interesting proposition to make to reputable radio dealers who believe in quality merchandise. Details on request.
ADAMS-MORGAN COMPANY
8 Alvin Ave., Upper Montclair, N.J.
Type RD-3 Regenerative Receiver and Detector—$75.00
Type A-2 Two-Stage Amplifier—$50.00
(Licensed under Armstrong Patents.)
Also Manufacturers of PARAGON
Radio Telephone Amplifier
Transmitters Transformers
V. T. Control Units Control Dials
Rheostats Amplifiers
Potentiometers Receivers
V. T. Sockets Switches
Detectors Varicometers
The Most Wonderful Radio Loud Speaker in the World
A New Principle—A New Adjustable Unit that Revolutionizes Radio Reception
The DICTOGRAND
Overcomes the defects common to all other radio loud speakers—the harsh jarring sounds, the noises and overtones. It creates the illusion that the artists are in the very room with the listeners. The new, wonderfully effective mechanical arrangement for adjusting the air gap of the DICTOGRAND LOUD SPEAKER regulates the magnetic flux as simply as the flow of water is controlled through a faucet. Absolutely the ultimate in Loud Speakers.
The DICTOGRAND RADIO LOUD SPEAKER is designed to operate on any vacuum tube receiving set, giving maximum results when two stages of amplification are used. Requires no extra batteries.
Ask your dealer to demonstrate it. (The unusual demand upon our facilities has not enabled us to complete our distribution. If your dealer has not yet received his stock of DICTOGRAND Radio Loud Speakers, send to us direct.)
The Dictograph Products Corporation
220 West 42nd Street, New York City
Branches in All Principal Cities
Dealers: Order through your jobber; or send to us direct for names of authorized distributors
CONTINENTAL
"New York's Leading Radio House"
RT-RA-AR-DA COMBINATION
RADIOLA FOR SUPER SELECTIVITY
Radiola Superselective Combination consists of Models RT primary coupler; RA secondary coupler; AR 3 stage radio frequency unit and DA detector, 2 stage audio amplifier, designed to operate on an outside antenna where extreme selectivity and broadcast reception over long distance is desired. Great selectivity is made possible by the model RT antenna coupling. The unit is virtually a very loosely coupled, and therefore highly selective, primary circuit. These four models constitute a modern, sensitive receiver which is very simple to manipulate. All instructions accompany the units.
"Modern Radio"—a new two hundred and eight page catalogue of our wireless equipment, supplies and apparatus sent for twenty-five cents.
PRICE COMPLETE, FOUR UNITS: $263.00
UNITS SEPARATE:
RT COUPLER: $45 RA SECONDARY COUPLER: $63
DA DETECTOR AMPLIFIER: $70
AR RADIO FREQUENCY AMPLIFIER: $80
CONTINENTAL RADIO & ELECTRIC CORP.
6 and 15 Warren Street New York, U. S. A.
Designed! Not just "made"
The market is over-run with head phones. Some are "made to sell"—others "designed" to perform a service—a service measured in terms of sensitiveness, tone quality, clarity—phone efficiency.
Such is the Basco Radio Head Phone—built first for service. Designed—not just "made."
One year on the market—and a phenomenal sales record. Why? Examine one. They are tuned to a deep, natural-voiced pitch—and keenly sensitive. Perfectly balanced—clear, scratchless reproduction. Coils encased in aluminum shell—light weight easy on the head. Employ solid horseshoe magnet—no laminations. The diaphragm is extra light—set to thousands-of-an-inch accuracy from magnet poles.
Jobbers and Dealers! Write for our exceptional discount proposition on our complete line of parts and name of our nearest representative.
$6.00 2000 Ohm
$7.50 3000 Ohm
Briggs & Stratton Co
Milwaukee Wisconsin
Mfrs. of Famous Basco Line
THE SECRET OF SUCCESS IN RADIO RECEIVING UNITS LIES IN THE EFFICIENCY OF THE VARIOUS PARTS
Federal STANDARD PARTS are now available to those who desire to assemble their own sets.
FOR SALE BY LEADING DEALERS
Write for descriptive literature and prices
Federal Telephone & Telegraph Company
MANUFACTURERS OF STANDARD RADIO EQUIPMENT
BUFFALO, NEW YORK
When writing to advertisers please mention THE WIRELESS AGE
DISTRIBUTORS FOR THE
Radio Corporation of America
WOOLWORTH BUILDING ~ NEW YORK CITY
DELAWARE
GARRETT, MILLER & CO.
Radio Equipment
N.E.CORNER 4th & ORANGE STS.
WILMINGTON, DELAWARE
ILLINOIS
Complete Radio Supplies
LYON & HEALY
Visit Our Model Store
245 So. Wabash Ave. Chicago
TUSCOLA RADIO SUPPLY STATION
Dependable Radio Apparatus
TUSCOLA ILLINOIS
KENTUCKY
THE SUTCLIFFE CO.
INCORPORATED
Write for our Complete Radio Catalog
LOUISVILLE, KENTUCKY
MAINE
ATLANTIC RADIO CO., Inc.
Complete Service
21 TEMPLE ST., PORTLAND, ME.
MARYLAND
JOS. M. ZAMOISKI CO.
19 NORTH LIBERTY STREET
BALTIMORE, MARYLAND
MASSACHUSETTS
ATLANTIC RADIO CO., Inc.
Complete Service
727 Boylston St., Boston, Mass.
MINNESOTA
STERLING ELECTRIC COMPANY
MINNEAPOLIS, MINN.
MISSOURI
WESTERN RADIO CO.
Dependable Merchandise from America's Greatest Manufacturers
BALTIMORE AT FOURTEENTH
KANSAS CITY, MO.
For Dependable Radio Goods
Satterlee Electric Company
22 E 9th ST Kansas City Mo.
Dealers Write Us
MISSOURI, KANSAS, OKLAHOMA
NEW JERSEY
NATIONAL LIGHT AND ELECTRIC COMPANY
Co-operative Merchandisers
289-291 MARKET STREET
NEWARK, N. J.
MARYLAND
TRI-CITY ELECTRIC CO.
52-56 Lafayette Street
NEWARK, N. J.
NEW YORK
DISBECKER & CO., Inc.
Standard Radio Material
15 West 35th Street
New York City
HOWELLS CINE EQUIPMENT COMPANY
Everything from the Antenna to the Phones
740 Seventh Ave., New York City
TIMES APPLIANCE CO., Inc.
Approved Radio Merchandise Wholesale Only
145 WEST 45th ST. NEW YORK
LANDAY BROS.
A Complete Stock of R. C. A. Merchandise Always on Hand
311 Sixth Avenue, New York
Retailed at the 7 Landay Stores
ALBANY, N. Y. SCRANTON, PA.
ELMIRA, N. Y. READING, PA.
BUFFALO, N. Y. WILKES BARRE, PA.
Wholesale Distributors Only
NEW YORK
CONTINENTAL RADIO AND ELECTRIC CORP'N
New York's Leading Radio House
15 WARREN STREET
NEW YORK
NORTH CAROLINA
SOUTHERN RADIO CORP'N
The South's Largest Exclusive Radio Company
Located in "The Radio Center of the South"
CHARLOTTE, N. C.
When writing to advertisers please mention THE WIRELESS AGE
RCA Distributors—Continued
OHIO
THE MILNOR ELECTRIC COMPANY
Large Stocks—Quick Service
129 GOVERNMENT SQUARE
CINCINNATI, OHIO
PENNSYLVANIA
General Radio Corporation
624-638 Market St.
Philadelphia
806 Penn Ave.
Pittsburgh
Special Service to Dealers on Radio Corporation of America Products, in Pennsylvania, New Jersey, Delaware, Maryland, District of Columbia, Virginia and West Virginia.
LUDWIGHOMMEL & CO.
530-534 FERNANDO ST.
PITTSBURGH, PENNA
WHOLESALE EXCLUSIVELY
Hommel's Illustrated Encyclopedia of Radio Apparatus 222 E will be sent free to dealers. We sell to no others.
PENN ELECTRICAL ENGINEERING CO.
Westinghouse Agent Jobbers
SCRANTON, PA.
THE PHILADELPHIA ELECTRIC COMPANY SUPPLY DEPT.
130-32 So. Eleventh St.
Philadelphia
NOVO "B" BATTERIES FOR RADIO
22½-45 & 105 VOLTS
NOISELESS DEPENDABLE GUARANTEED
ASK YOUR DEALER
NOVO MANUFACTURING CO.
424-438 W. 33rd ST.
NEW YORK
531 SO. DEARBORN ST., CHICAGO.
DOUBLE GUARANTEE or RISK
LUDWIG HOMMEL & CO. or Others
Material purchased from a reliable manufacturer can be relied upon.
Defective material will be replaced, for that manufacturer has an honorable name to uphold.
Buying from a jobber who wholesales to dealers only insures you satisfaction for that jobber must please his dealers, who take 100% of his products.
Your double guarantee is in Ludwig Hommel & Co., and the apparatus they distribute.
You can fill all your requirements from their manufacturers. Their well advertised apparatus makes your sale easy. When you sell their apparatus you profit by their advertising—when you sell nameless products you have to overcome their advertising.
Sell reputable material and order your requirements from the jobber who wholesales exclusively and does not compete with you.
Distributors for
Radio Corporation of America
Westinghouse
General Electric
Acme Electric
Kent
Haldwin
Brady
Brandes
Burgess
Custom
Curtiss-Eastham
Cutler-Hammer
Dubilier
Fada
Faimont
Frost
General Radio
Hipco
Homchazier
Howell
Kellogg
Kennedy
Klanner
Murdock
Pa'cent
Radio Service
Rehall
(Ampereite)
Remier
Rhamstine
Tuasa
Western Electric
Hommel's Illustrated Encyclopedia of Radio Apparatus No. 222 E is free to Dealers. We sell to no others.
LUDWIGHOMMEL & CO.
530-534 FERNANDO ST.
PITTSBURGH, PENNA
JEWELL Lightning Arrester
Approved by Underwriters' Laboratories, Inc. Code Carbon block types (not vacuum type) having a brown glazed porcelain case which can be installed inside or outdoors. Carbon block arresters have been standard in Railway signal and telephone protection for over 20 years. Ask your dealer or write us for special circular.
Price $1.10
Jewell Electrical Instrument Co.
1650 Walnut Street Chicago
IMPROVED Sterling PORTABLE RECTIFIER
Don't Kill Your Battery With Improper Charging Devices
No charging is often better than entrusting a valuable battery to a rectifier of unknown qualifications.
Sterling Portable Rectifiers are guaranteed not to harm the battery regardless how they are used. Tapping discharge protects against overcharging. Either positive or negative terminals may be attached to either battery terminal.
Precautions are fully explained.
Write for bulletin
The STERLING MFG. COMPANY
2845 Prospect Ave. Cleveland, Ohio
Over 3 million Sterling devices in use today.
Do not be confined to listening in on the nearby stations, when by installing the Genuine and Guaranteed Capitol "ALL WAVE COUPLER" (Trade Mark) Patents Granted in your set you can receive remarkably clear and selective broadcast entertainment From Stations THOUSANDS OF MILES AWAY and on any Wavelength from 150 to 3000 Meters without the use of variometers, vario-couplers, and loading coils.
Price $9.00
Six efficient and simple hook-ups sent free upon receipt of ten cents to cover cost of mailing.
Capitol Phonolier Corporation 56-60 Lafayette St., New York.
Beware of Imitations. Look for the Trade Mark "ALL WAVE" on the rotor, and the six efficient hook-ups packed in every box.
Eventually—Why Not Now? If your dealer cannot supply you send your order and remittance together with his name.
Fleron Vernier Adjuster
An absolute necessity for close tuning. Improve your set with this ingenious little device. Easily mounted on any panel by drilling only one 5/16 hole.
Its normal position is away from the dial. A slight pressure causes bevel of soft rubber to meet bevel of dial. Vernier is then turned for accurate tuning.
Fleron Porcelain Insulators
No deterioration in the weather with Fleron Radio Porcelain insulators. Solid black glaze. No kiln marks or white spots. A size for every requirement. Each insulator packed in an individual carton. The only complete line.
| No. | Size | Price |
|-----|---------------|-------|
| 0 | 1 1/8 x 3 long | .20 |
| 1 | 1 5/8 x 4 long | .30 |
| 2 | 2 1/8 x 3 3/4 (ball type) | .35 |
| 3 | 1 5/8 x 5 long | .40 |
| 4 | 1 5/8 x 8 long | .60 |
M.M. Fleron & Son, Inc.
Manufacturers
Trenton, N.J., U.S.A.
Beeko Radio-Phono Phonograph Attachment
Sample by mail, 40c. Liberal discount in quantities. Send stamp for our 45-A Catalog now ready.
J.H. Bunnell & Co.
32 Park Place
New York
WHY METRO HEADPHONES ARE SUPERIOR
MAGNETS
Permanently Sensitive!
Metro Headphones will always respond as distinctly to the slightest impulse as they did the day you purchased them. The magnets upon which their sensitivity depends, are made of highest quality tungsten steel put through a special heat treatment, tempered and then carefully "aged" to a uniform magnetic strength. These magnets will not weaken or lose their magnetism: If you want lasting sensitivity, you should insist on Metro Headphones, Price $6.00
Little Giant Receiving Set
A surprisingly compact set. Cabinet, highly polished American Walnut finish. Simplest and easiest tuning device. Complete with Metro Headphones. $14.00
Metro Wave Selector
Makes any set highly selective. Completely separates stations. Add only one control without changing set. Cabinet, American Walnut finish. $7.50
Metro Electrical Co., Inc.
Manufacturers of Metropolitan Radio Products
68 Goble Street
Newark, N.J.
How to Insure Sales for Your Product!
The chief asset of any business is the demand for its product. As long as that demand continues, the business is on a sure foundation. But let that demand subside, and every other asset of the business is in danger of becoming a liability.
In times of prosperity and a rising market there is a general demand for the products of industry that comes to be accepted as a matter of course. It is seldom listed among the assets of the business—it is simply assumed that it will always be there.
But, overnight, conditions may change—as they have done before—and the matter-of-course demand becomes conspicuous by its absence. The business, once strong and flourishing, is suddenly found to be in a very tight place. The demand had not been insured—and yet the entire business depended upon its continuance.
The modern, economical way to insure the market for any reliable product is by Advertising to the public which consumes it. Advertising creates a steadily increasing number of customers who desire the product, and ask for it by name. Changes in business conditions have little effect on a steady consumer demand for trade-marked articles of common use. The dealer may carry a lighter stock, and for a short time the demand through the jobber may seem curtailed; but just as sure as customers are calling on the dealer for the product, he is sure to supply it, and orders soon begin to flow in to make up for the temporary curtailment. The total consumption continues about the same.
Any manufacturer who has an article for popular consumption that can be trade-marked has the opportunity to insure his consumer market and retail sales by means of advertising.
During the present business condition the manufacturers who have insured their demand by Advertising are in a far better position—in every way—than those who have trusted to the current demand that was not of their creating.
Published by The WIRELESS AGE
in co-operation with The American Association of Advertising Agencies
Double As Good
The scientifically correct design of the Fada Vario-coupler enables a very gradual variation of coupling over 180 degrees.
Ordinary couplers give only a 90 degree variation and hence the Fada 180 degree type has double the efficiency.
Its simplicity and high efficiency in signal selection by vernier control of coupling has given the Fada 180 degree coupler universal demand.
Vernier Rheostats
The nationally famous Fada Rheostat with a new vernier attachment.
No. 150-A Fada Vernier Rheostat...$1.25
Potentiometers
Mechanically perfect spacing and winding of the resistance wire resulting in smoother adjustment.
No. 152-A Potentiometer (200 ohm)...$1.00
No. 154-A Potentiometer (400 ohm)...1.00
Fada ingenuity—manufacturing economy—value—guarantee—and low prices, are responsible for the popularity of Fada radio parts.
F. A. D. ANDREA
1581-C Jerome Ave.
New York City
The Fada Handbook gives facts about the use of each radio part, and will be of aid to you in your radio construction work. Send 10 cents for your copy.
"ESCO" BATTERY CHARGERS
To meet an insistent demand for
RUGGED—RELIABLE
NEVERFAILING
MOTOR-GENERATORS
For charging batteries used in wireless operation, we have developed a complete line of
MANY SIZES
with or without panel boards.
"ESCO" QUALITY thruout. You know what that means.
Ask for Bulletin 242
ELECTRIC SPECIALTY COMPANY
231 SOUTH STREET, STAMFORD, CONN., U. S. A.
Pioneers in developing Quality Wireless Apparatus
EXPERIMENTERS INFORMATION SERVICE
DESIGNERS OF THE HIGHEST CLASS
RADIO APPARATUS IN THE WORLD
220 WEST 42nd STREET Twenty-third Floor NEW YORK CITY
ASK FOR CATALOGS
Pick Up those Distant Stations
The tuning of detector tubes is such a critical operation that even the slightest movement of the ordinary rheostat knob will lose a distant concert or signal.
The Bradleystat, a guaranteed graphite disc rheostat, gives the most perfect vernier control with only one knob. Try one on your radio set. The improvement will be amazing.
Retail Price, $1.85
P. P.—10c extra
For sale by leading radio dealers
Bradleystat
REGISTERED
U. S. PAT. OFF.
PERFECT FILAMENT CONTROL
Uncle Sam's Choice!
Eight years of strenuous service in the U. S. Navy and Signal Corps have proved Bakelite-Dilecto (xx grade) supreme for radio insulation.
bakelite
~dilecto!!
(A Laminated Phenolic Condensation Product)
Makes the perfect radio panel. Tough, durable and super-resistant.
Finished a smart, sleek black. Cannot warp. Machines readily. Electrical men can get B D X X cut and drilled to your specifications.
The Continental Fibre Co.
Factory: Newark, Delaware
Dealer Service From:
New York, 233 Broadway; Chicago, 332 S. Michigan Ave.; Pittsburgh, 301 Fifth Ave.; San Francisco, 75 Fremont St.; Los Angeles, 411 Main St.; Seattle, 95 Connecticut St.
RADISCO RADIO PRODUCTS
The Radio Distributing Co.
Newark, New Jersey
U. S. A.
Kellogg Radio Equipment for Better Results
The Kellogg rheostat is of simple design, having but one moving part. It is so arranged that a maximum contact surface is provided, making perfect contact. To assure perfect current to the most critical tube, the rheostat operates on the half turn of the resistance element.
No. 501 Each $2.00
The value of extremely light and very small head sets in Radio receiving is most evident when using Kellogg head receivers, which, however, have proved as sensitive and thoroughly efficient as they are light in weight and small in size. The band too, is especially adaptable and the simple receiver holders, which are held in place on the lower part of the head band by the spring tension of the metal, can be instantly adjusted so as to place the receivers over the ears for the best hearing.
No. 69A Heat Set, 2400 ohms each ...............$10.00
No. 74A Head Set, 1000 ohms each ............... 5.00
Kellogg Radio jacks, plugs, condensers, variometers, tube sockets, dials, insulators, coils, variocouplers, microphones, etc., are the best that money can buy.
Kellogg Switchboard & Supply Co. Chicago
ANY OWNER OF AN EBY POST will tell you he wouldn’t take twice the price he paid for it if he couldn’t get another.
EBY BINDING POSTS not only excel all others in quality but it is impossible to lose the parts and they are surprisingly low in price.
Demand Them of Your Dealer
THE H. H. EBY MANUFACTURING CO., PHILADELPHIA, PA.
The Acoustical Amplifier
Bel-Canto
LOUD SPEAKER Amplifies Without Distortion
Built along scientifically correct principles, following minutely the natural functions of the human throat. The unexcelled acoustical amplifier!
The receiver is the vocal cord (A); the long tapering inner horn is the throat (B); and the sounding board at the top is the roof of the mouth (C).
With this superlative amplifier you can readily distinguish the delicate tonal differences between a harp and a piano, even when the two are playing together. A test never before equalled.
Is adjusted for regenerative two stages of amplification, also five tube radio and audio frequency.
Special phone, cord and plug, price $30.00 F. O. B. New York. If dealer can’t supply, we can.
Full line of radio parts.
BEL-CANTO CORPORATION, 417 East 34th St., New York City
When writing to advertisers please mention THE WIRELESS AGE
The Popular New Model C3 Radak Regenerative Receiving Set
(Licensed under Armstrong U. S. Pat. 1113149)
Simpler, Sharper Tuning with a Warren Radio Loop
AERIAL and tuning device all in one.
Tunes not only to wave length, but to wave direction. An aid to selection. Eliminates atmospherics. All enclosed—dust and damp proof, fool-proof and surprisingly compact, neat and durable. Write today for Bulletin M 102, containing hookups.
A Type for Every Set at the Best Dealers
| Type | Description | Price |
|------------|--------------------------------------------------|-------|
| A-7237 | (300-700 meters) 6 inches square—non-directional | $10.00|
| A-7236 | (175-1000 meters) 6 inches square—non-directional | $12.00|
| B-2537 | (300-700 meters) 18 inches square—directional | $20.00|
| BL-2520 | (200-15,000 meters) with honeycomb coil, 18 inches square—directional | $25.00|
Sold by the best dealers
V-DE-CO RADIO MFG.CO.
ASBURY PARK, N. J.
Dept. W
LEARN THE CODE
Get all the fun there is to be had from your wireless set. Learn to read the dots and dashes and double your pleasure.
The Marconi-Victor Records
Provide the ideal instruction
SIX DOUBLE FACED RECORDS—TWELVE LESSONS
From the alphabet to press and code work. Actual operating conditions reproduced. Satisfaction guaranteed.
Price: $5.00 per set
WIRELESS PRESS, Inc.
326 BROADWAY, NEW YORK
SIMPLEX
— that’s your safeguard
Simplex Vario-Coupler Panel Simplex Amplifier Panel
Simplex Variometer Panel Simplex Detector Panel
SIMPLEX PANEL UNITS make it possible to try out the many different hook-ups without disassembling panel, which is a decided advantage.
SIMPLEX RADIO CO.
1013-15 Ridge Ave. Phila., Pa.
BRACH
VACUUM
RADIO PROTECTOR
Ask your insurance agent
Approved By National Board Fire Underwriters $3
The Choice of the Foremost Engineers for Over 17 Years
SOLDERALL
The Only Convenient Metal Solder
Every Electrical Connection needs SOLDERALL for Perfect Reception
L. S. BRACH MFG. CO
NEWARK, N. J.
Super-Sensitiveness!
The crystal is the “building block” of your radio receiving set. Unless it is super-sensitive you are wasting time and entertainment, and cannot obtain the satisfaction and best results. Insist upon the best. All crystals in Washington tested: “N.A.A. Designated” and “Pure.” They are carefully selected from bulk stock, individually tested and guaranteed super-sensitive. One hundred or a million, price for crystal, 25c. Sealed in brass cup, etc. Obtainable at your dealer’s (or send [post-paid] on receipt of price.
Newman-Stern
Building
Cleveland, Ohio
It IS the Most Sensitive Receiving Set on the Market
February 1, 1923
WARREN R. LIGHTFOOT
METROPOLITAN TOWER
NEW YORK
Ware Radio Corp.’s
New York City
Gentlemen:
The WARE AD2 is a revelation. Clear as a bell, without interference of any sort, the programs come in to us plainly from distances I didn’t believe possible.
I use a small indoor loop and loud speaker and find it very simple to operate. Its sensitivity and selectivity amaze our friends, several of whom have been interested in radio for years.
I want to thank you for your courteous service and wish you every success.
Yours very truly,
Warren R. Lightfoot
Actual results count. Testimonials like this pour in to us daily.
The WARE AD2 Receiver
This 3-Step Radio-Frequency Amplifier Detector Set will operate in any location—steel buildings included. It positively solves the problem of ‘static’ and other interferences. With small indoor loop it reproduces local and distant programs with such marvelous tone quality as to amaze the most experienced radio expert. It IS the most sensitive Receiving Set on the market and fully guaranteed.
Price—without Tubes—$110.
Order direct or send for descriptive pamphlet.
DISTRIBUTORS and DEALERS Write for proposition.
WARE RADIO CORP’N
160-162 DUANE ST. NEW YORK N.Y.
Radio Operator’s School
In selecting the school in which you wish to become a radio operator, bear in mind that this school has been in operation over twelve years, that all of our graduates are placed in positions, that our laboratory equipment is of the latest type, and that our instructors are expert professional radio men.
Y. M. C. A. RADIO SCHOOL
“The Best Radio School in the East”
149 East 86th St. TELEPHONE LENOX 6051 New York, N. Y.
When writing to advertisers please mention THE WIRELESS AGE
HOMCHARGE
your
RADIO BATTERY
for
A NICKEL
ENJOYABLE concerts and maximum receiving range are obtained only when your battery is fully charged.
THE HOMCHARGER
charges your "A" or "B" battery over night for a nickel without removing it from your living room. No muss—no trouble—no dirt—requires no watching.
After the concert connect to any lamp socket, snap the clips on your battery and "turn in." When you sleep the HOMCHARGER is silently charging your battery, its charging rate being governed automatically. In the morning it is fully charged. No OTHER battery charger can boast of such QUICK and ECONOMICAL performance.
The HOMCHARGER is the only battery charger combining all of these NECESSARY HOMCHARGER features: AUTOMATIC POLARIZING—ONLY EIGHT AMPERE charging rate—UNSWRITERS APPROVAL—beautifully finished in mahogany and old gold UNQUALIFIEDLY GUARANTEED. OVER 90,000 NOW IN USE.
Sold complete with ammeter, etc., by all good radio and electrical dealers for $18.50 ($25.00 IN CANADA).
See the RADIO HOMCHARGER DE LUXE at your dealer's or write direct for our FREE circular showing why the HOMCHARGER is the BEST battery charger at any price.
MOTORISTS—The HOMCHARGER will also charge your AUTO battery.
THE AUTOMATIC ELECTRICAL DEVICES CO.
119 WEST THIRD STREET CINCINNATI, OHIO
LARGEST MANUFACTURERS OF VIBRATING RECTIFIERS IN THE WORLD
Freshman Products—Accurate and Dependable
VARIABLE RESISTANCE LEAK
With .00025 mfd.
Micon Condenser $1
Combined
Without Condenser 75c
Unbroken range—Zero to 5 Megohms—Clarifies signals, lowers filament current, increases battery life, eliminates hissing.
"MICON"
Tested Mica
CONDENSERS
Assure absolute noiselessness—clarity of tone—accuracy—constant fixed capacity.
ANTENELLA
No antenna or aerial needed. Eliminates all the inconveniences in radio, operates from any light socket. Price only $2.00.
At your dealer's—otherwise send purchase price and you will be supplied postpaid.
CHAS. FRESHMAN CO., Inc., 106 Seventh Ave., NEW YORK
When writing to advertisers please mention THE WIRELESS AGE
Where the Best Radio Books Are Sold
WOULD you like to personally examine these books? The list below contains names and addresses of dealers who handle the famous Wireless Press series of laboratory-tested textbooks on radio. It is arranged geographically and published for the convenience of those who are located at a distance from New York and prefer to deal with a nearby or local dealer.
ALABAMA
Auburn
Burtons Bookstore
ARKANSAS
Hot Springs
Wyatt Book Store
CALIFORNIA
Altadena
Altadena Radio Laboratory,
90 North Los Robles Ave.
Berkeley
Sather Gate Book Shop
2307 Telegraph Ave.
Hollywood
Hollywood Bookstore,
6804 Hollywood Blvd.
Los Angeles
The Jones Book Store
619 South Hill St.
Stewart & Green
642 South Main St.
Western Radio Electric Co.,
637 South Hope St.
Pasadena
A. C. Vroman,
320 East Colorado St.
Sacramento
Weinstock Lubin Co.
Salinas
Salinas Storage & Battery &
Elec. Co.,
24 Cabilan St.
San Francisco
Holmes Book Store,
1400 Market St.
Colin B. Kennedy,
209 Rialto Bldg.
Leo J. Meyerberg,
428 Market St.
COLORADO
Denver
Denver Dry Goods Co.
Fort Collins
Evans Book Store,
147 South College Ave.
Pueblo
Motor Auto Accessory Shop,
123 North Main Ave.
CONNECTICUT
Greenwich
Greenwich Electric Co.,
262 Greenwich Ave.
Middletown
Hazens Book Store,
238 Main St.
New Haven
Crown Light & Supply Co.,
111 Crown St.
New Haven Elec. Co.,
296 Elm St.
DISTRICT OF COLUMBIA
Washington
Continental Elec. Supply Co.,
808 Ninth St., N. W.
Pearlman's Book Shop,
931 "G" St., N. W.
White & Boyer,
812 13th St., N. W.
FLORIDA
Tampa
Pierce Electric Co.
GEORGIA
Atlanta
Cole Book Co.,
123 Whitehall St.
ILLINOIS
Chicago
Central Elec. Co.,
316-26 South Wells St.
Chicago Radio Apparatus,
508 South Dearborn St.
Commonwealth Edison Co.,
72 West Adams St.
Montgomery, Ward & Co.,
A. C. McClurg & Co.,
330 East Ohio St.
Paine Book Co.,
75 West Van Buren St.
Popular Mechanics,
6 North Michigan Ave.
Radio Digest Pub. Co.,
123 West Madison St.
C. V. Ritter,
Van Buren and Dearborn Sts.
MAINE
Portland
Loring, Short and Harmon,
474 Congress St.
MARYLAND
Baltimore
W. E. C. Harrison & Sons,
224 East Baltimore St.
Hochchild, Kohn & Co.,
147 West 54th St.
Norman Remington Co.,
Charles and Mulberry Sts.
J. M. Zamoiski,
19 North Liberty St.
INDIANA
Crawfordsville
Schultz & Schultz,
123 East Main St.
INDIANAPOLIS
Hatfield Electric Co.
W. K. Stewart & Co.
FLORIDA
South Bend
Book Shop,
119 North Nerehaga St.
South Bend Electric Co.,
Sample and Michigan Sts.
IOWA
SIoux City
The McGraw Co.,
515 5th St.
KANSAS
Emporia
Eckdoll & McCarthy
TOpeka
Topeka Electric Co.,
816 Kansas Ave.
Zercher Book & Stat. Co.
KENTUCKY
Louisville
H. C. Tafel Co.,
226 West Jefferson St.
LOUISIANA
New Orleans
S. Siler,
930 Canal St.
MASSACHUSETTS
Boston
DeWolfe, Fiske & Co.,
20 Franklin St.
Charles Lauriat Co.,
10 Washington St.
Old Corner Book Store,
27 Bloomfield St.
Pettingell-Andrews Co.
F. D. Pitts Co.,
12 Park Square
Wetmore Savage Co.
Williams Book Store,
2 Milk St.
NEW BEDFORD
H. S. Hutchinson & Co.,
222 Union St.
SPRINGFIELD
H. R. Hunting Co., Inc.,
29 Worthington St.
Whittall Electric Co.
MICHIGAN
Ann Arbor
Slater Book Shop,
334 South State.
George Wahr,
103 North Main St.
BATTLE CREEK
E. C. Fisher & Co.,
12 West Main St.
DETROIT
Crowley, Milnor & Co.
Detroit Electric Co.,
113 East Jefferson Ave.
W. H. Hartwig,
127 East Jefferson Ave.
When writing to advertisers please mention THE WIRELESS AGE
MICHIGAN—Continued
Mausalley Brothers,
1268 Library Ave.
John V. Sheehan & Co.,
262 Woodward Ave.
Grand Rapids
C. J. Litscher Elec. Co.,
41 Market St., S. W.
Sault Ste. Marie
Rudell Drug Co.,
301 Askumm St.
MINNESOTA
Minneapolis
Sterling Electric Co.,
31 Fifth St.
St. Paul
Northwest Elec. Equipment Co.,
174 East 6th St.
St. Paul Book & Sta. Co.
MISSOURI
Columbia
Missouri Store Co.
Kansas City
Central Radio Co.,
315 Grand Ave.
F. G. Cramer Bookstore,
1321 Grand Ave.
Western Radio Co.,
6 West 14th St.
Kirksville
College Book Store
St. Louis
Blaisdell, Wielandy Book & Sta. Co.
Linze Electrical Supply Co.,
1129 Olive St.
Western Electric Co.,
810 Spruce St.
MONTANA
Butte
Keefe Brothers,
I. O. News Stand
Great Falls
McKee Stationery Co.,
315 Central Ave.
NEBRASKA
Norfolk
Huse Publishing Co.,
320 Norfolk Ave.
Omaha
Kiesser's Book Store,
221 North 10th St.
NEW JERSEY
Arlington
Savage Hardware & Supply Co.,
Inc., 407 Elm St.
Asbury Park
Van Dyke Electric Co.,
812 Cookman Ave.
Atlantic City
Traymore Bookshop,
1709 Boardwalk
Cranford
Radio Laboratories of N. J.,
210 South Ave., East
Harrison
T. Shuver & Co.
Hamilton St. and Franklin Ave.
Newark
L. Bamberger & Co.
Galvin Radio Supply Co.,
66 Halsey St.
Krich Light Co.,
306 Market St.
New Jersey Supply Co.,
223 Market St.
Radio Distributing Co.,
8 West Park St.
Paterson
White's Book Store,
91 Van Houten St.
Princeton
The Princeton University Store
West Hoboken
Heraco Exchange, Inc.,
615 Bergenline Ave.
NEW YORK
Beacon
Lewis Electric Co.,
267 Main St.
Brooklyn
Abraham & Straus,
Fulton St.
F. Loeser & Co.,
Fulton St.
Buffalo
Queen City Book Co.,
43 Court St.
McCarthy Bros. & Ford,
75 West Mohawk St.
Federal Tel. & Tel. Co.,
1175 Elmwood Ave.
Otto Ulbrick Co.,
286 Main St.
Elmira
MacGrieny & Sleght-De Graff Co.
New York City
American News Co.,
9-15 Park Place
Baker & Taylor,
354 Fourth Ave.
Charles L. Bowman & Co.,
116 East 25th St.
J. H. Bunnell & Co.,
32 Park Place
Brentano's,
5th Avenue and 27th St.
Continental Radio & Elec. Corp.,
6 Warren St.
Gimbel Brothers,
33rd St. and 6th Ave.
David Kinch Co.,
57 Murray St.
R. H. Macy & Co.,
Harold Square
Marshall Elec. Supply Co.,
17 Park Place
Marshall Field & Co.,
Broadway and 24th St.
Paceet Electric Co.,
150 Nassau St.
Popular Science,
233 Madison St.
Radio Directory & Pub. Co.,
45 Vesey St.
Putnam's,
6 and 45th St.
Charles Scribner & Sons,
597 5th Ave.
Stanley and Patterson,
23 Murray St.
F. C. Stechert & Co.,
122 Broadway St.
G. E. Stechert & Co.,
151 West 25th St.
D. Van Nostrand,
8 Warren St.
John Wanamaker,
5th St. and Broadway
Rochester
Hicks' Electric Co.,
11 Corinthian St.
Scranton's, Inc.
Syracuse
H. C. Roberts' Elec. Supply Co.,
321 Genesee St.
Troy
Levenders Book Shop,
268 River St.
Utica
Grant's Book Shop, Inc.,
127 Genesee St.
NORTH CAROLINA
Charlotte
Smith Novotoy Elec. Co.,
24 West 5th St.
Fayetteville
Hunter Bros. Electric Co.,
116 Hay St.
OHIO
Canton
Mooeck Elec. Supply Co.,
Cleveland Ave. at 5th St., N. W.
Cincinnati
Book Shelf,
112 Garfield Place, West
Stewart and Kidd Co.
Cleveland
Newton Stern Co.,
E. 12th St. at Walnut Ave.
Radiodetectic Shop,
919 Huron Road
Toledo
Kuefer Radio Co.,
321 Huron St.
Youngstown
Hood Electric Co.
OKLAHOMA
Oklahoma City
Parlette Wigger Co.,
128 West Main
OREGON
Portland
J. K. Gell & Co.,
Northwest Electric Co.,
Washington at 10th St.
PENNSYLVANIA
Chester
Quinn Cycle Co.,
2601 West 3rd St.
Hazleton
J. Woodring & Co.,
200 West Broad St.
Philadelphia
Gimbel Brothers
E. P. Noll Co.,
21 North 7th St.
Philadelphia Book Store Co.,
17 South North St.
Phila. Wireless Sales Corp.,
1533 Pine St.
Sayre-Lewis Radio Co.,
41 North 10th St.
F. H. Stewart Elec. Co.,
37 North 7th St.
Pittsburgh
Donnelly-Hill Elec. Co.,
715 Liberty Ave.
Ludwig Hommel & Co.,
530 Fernando St.
Priscilla Gunther's Shop,
Union Arcade
Radio Electric Co.,
1427 Liberty Ave.
Robbins Electric Co.,
836 Liberty Ave.
Union Electric Co.,
933 Liberty St.
Scranton
International Textbook Co.
Sharpsburg
United States Radio Co.,
8th and Main Sts.
Wilkes-Barre
Foster Radio & Electric Co.,
4 West Northampton St.
RHODE ISLAND
Providence
Gregory's Bookstore, Inc.,
116 Union St.
The Outlet Co.,
Weybosset, Meddy Garnet and Pine Sts.
SOUTH CAROLINA
Columbus
Gittmans Book Shop,
1775 Main St., South
TENNESSEE
Memphis
Isaacs Book Exchange,
138 North Main St.
TEXAS
Dallas
Lamar & Barton,
1308 Commerce St.
J. D. Van Winkle Co.,
1603 Elm St.
Tyler
Byrne Publishing Co.
WASHINGTON
Pullman
Students Book Co.
Seattle
Lowman and Hanford Co.,
F. B. Wilson,
222 Pike St.
Spokane
John W. Graham Co.
Tacoma
M. R. Martin & Co.,
926 Pacific Ave.
WEST VIRGINIA
Bethany
Bethany College Book Store
Charleston
C. I. Coffey Book Store
WISCONSIN
Eau Clair
Eau Clair Book Co.
Fond Du Lac
Wells Mfg. Co.
Madison
Moseley Book Co.,
19 South Pinckney St.
Milwaukee
Julius Andrea & Sons Co.,
Broadway and Michigan Sts.
Kisselman & O'Driscoll,
Water, Wells and 2nd Sts.
New Era Book Shop,
211 Willis St.
AUSTRALIA
Sydney
Wireless Press,
97 Clarence St.
CANADA
Montreal
Scientific Experimenter, Ltd.,
St. Sacramento St.
Ontario
Thorburn and Abbott,
113 Sparks St., Ottawa.
Toronto
T. Eaton & Co. Ltd.
McAlpine & Co.,
412 College St.
Ryerson Press,
Qurre and John Sts.
CHINA
Shanghai
Mission Book Co.,
12 North Stechven Road
ENGLAND
London, W. C. 2
Wireless Press, Ltd.,
12-13 Henrietta St., Strand
HOLLAND
Amsterdam
Technische Boekhandel,
Nederlandsch Persbureau Radio,
Kerzersgracht 562.
JAPAN
Tokyo
Maruzen & Co.,
11-16 Nihonbashi,
Toni Samheme.
HONOLULU, T. H.
Electric Shop,
Fort and Britiani Sts.
When writing to advertisers please mention THE WIRELESS AGE
Hook up your radio to these
EVERY radio fan wants his set to deliver its utmost in radio satisfaction. Batteries. It's worth getting the very best. There's no uncertainty about their performance when they're Westinghouse. These batteries are built for highest efficiency in radio work. They're up to the latest advancements in radio science and embody the finest engineering, materials and workmanship Westinghouse can command. Can be easily and repeatedly recharged. No more battery replacements! No more discouraging results from run-down batteries!
Westinghouse "A" Batteries are carefully constructed, full-capacity, slow discharge, long life batteries. Made in 4-, 6- and 8-volt sizes with 3, 5, 9 and 13 plates per cell, to meet various filament-battery requirements.
Westinghouse "B" Batteries The Westinghouse 22MG 2 (22 volts) is a marvel for simple, noiseless, full-powered service. Glass case; visible interior; seal-in type; larger types, too; also 2-volt single cells for "C" batteries.
At radio dealers and Westinghouse Battery Service Stations everywhere. Write for illustrated folder, "Westinghouse Radio Storage Batteries."
WESTINGHOUSE UNION BATTERY CO.
Swissvale, Pa.
WESTINGHOUSE
RADIO "A," "B" and "C"
BATTERIES
DELICATE SOLDERING
Both the manufacturers' and amateurs' problem on all fine work is readily solved by the instrument constructed for this particular purpose.
THE POST SOLDERING IRON
Platinum Heating Unit—Interchangeable Tips—Universal Current
(Large and Small)
One-Half Actual Size $6.00
Awarded Certificate of Excellency, N. Y. Evening Mail Radio Institute
From Your Dealer or Write
POST ELECTRIC COMPANY, (Room 509) 30 E. 42nd St., New York
New Copies for Old
For each copy of the following issues of THE WIRELESS AGE that you send us we will extend your subscription one month:
JANUARY, 1923 MARCH, 1922
JANUARY, 1922 SEPTEMBER, 1921
FEBRUARY, 1922 DECEMBER, 1921
DECEMBER, 1920
THE WIRELESS AGE
Room 315, 326 Broadway
New York City, N.Y.
Eliminate the Aerial and Obtain Better Reception with the NASSAU LOOP TUNER
Pat. Pend.
Price $35.00
Jobbers and Dealers write for Proposition
The Secret is in the Patented Winding
1500 MILES ON LOUD SPEAKER
With 2 stages radio and 2 stages audio frequency amplification.
Write for Circular "W"
Manufactured by
NASSAU RADIO CO. Inc.
60 Court St., Brooklyn, N. Y.
BUYERS OF RADIO MERCHANDISE CAN SEE THE EXHIBITS OF NEARLY A HUNDRED LEADING MANUFACTURERS OF RADIO MERCHANDISE AT THE
Radio Fair
Don't Miss the Radio Sensation of the World
AT THE
Permanent Radio Fair, Inc.
HOTEL IMPERIAL
Broadway and 32nd Street, New York
RUSONITE
CRYSTAL RECTIFIER
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Determine Joint Factors that Affect Maternal Weight and Body Mass Index Among Pregnant Women in Ethiopia: A Bi-variate Analysis
Melkamu Ayana Zeru*, Kindu Kebede Gebre
Department of Statistics, College of Computing and Informatics, Haramaya University, Harar, Ethiopia
Email address:
firstname.lastname@example.org (M. A. Zeru), email@example.com (K. K. Gebre)
*Corresponding author
To cite this article:
Melkamu Ayana Zeru, Kindu Kebede Gebre. Determine Joint Factors that Affect Maternal Weight and Body Mass Index Among Pregnant Women in Ethiopia: A Bi-variate Analysis. American Journal of Theoretical and Applied Statistics. Vol. 8, No. 6, 2019, pp. 214-220.
doi: 10.11648/j.ajtas.20190806.13
Received: August 5, 2019; Accepted: October 15, 2019; Published: November 8, 2019
Abstract: Introduction: A low maternal body mass index and sub-optimal weight gain during pregnancy are long recognized risk factors for delivery of infants too small for gestational age, low birth weight as well as to increase the risk of subsequent obesity and hypertension in the off-spring. Maternal body mass index and maternal weight is positively associated with infant obesity risk. The main objective of this research was to determine the determinants of maternal body mass index and maternal weight simultaneously based on Ethiopia demographic health survey 2016 which was implemented in statistical package R. Methodology: Cross sectional study design was used from Ethiopia demographic health survey 2016. Bi-variate linear regression model was used to determine the factors that affect maternal body mass index and maternal weight simultaneously. Result: The bi-variate analysis of maternal pregnancy weight and body mass index identified that the co-variate husband educational level, preferred waiting time for birth, region, family size, frequency of watching television, maternal height, desire for more children and number of tetanus injections before pregnancy were statistically associated with maternal pregnancy weight. Moreover, educational level of husband, preferred waiting time for birth, region, family size, desire for more children, frequency of watching television and number of tetanus injections before pregnancy were statistically significant for maternal pregnancy body mass index in Ethiopia (p≤0.05). Conclusion: The risk of over pregnancy weight and body mass index increased when parents prefer high number of waiting time to birth another child in Ethiopia. In addition the risk of over pregnancy weight and body mass index increased when mother received more tetanus injection during pregnancy.
Keywords: Bi-variate Linear Model, Ethiopian Demographic Health Survey, Body Mass Index, Pregnant Women
1. Introduction
Obesity during pregnancy may cause adverse outcomes, not only in the mother but also in the child. Low body mass index continues to be a major health burden in addition to the emergence of new competing public health priority high body mass index (BMI) in developing countries [3].
Gestational weight gain is also higher than ever before, with approximately 40 percent of pregnant women gaining more weight than its recommended [11].
In developed countries, underweight women may smoke, which may contribute to both tetanus injection before pregnancy and low birth weight, but women smoke much less often in developing countries. A low maternal BMI and sub-optimal weight gain during pregnancy are long recognized risk factors for delivery of infants too small for gestational age, LBW as well as to increase the risk of subsequent obesity and hypertension in the off-spring. In the United States of America, it was found that only 2 percent of pregnant women have a BMI less than 18.5 and more than 50 percent have a BMI greater than 25. The most work on the effect of maternal BMI on neonatal BW has been done in developed countries. The anthropometric characteristics of women in the developed world are
different from those of the resource poor nations. Young maternal age, low maternal BMI, and poor weight gain in pregnancy are associated with both increased risk of LBW and poor infant survival [2, 19].
BMI is a fairly reliable indicator of body fatness for most people. BMI does not measure body fat directly, but research has shown that BMI correlates to direct measures of body fat.
Socio-demographic factors associated with BMI classes like age, school year, practicing high competition sport, being federate in a sport or having a vegetarian diet. The educational factors associated with BMI classes included only seminars given at school by a nutritionist. Behavioral factors significantly associated with BMI included: learning in classes, playing in the open air, reading books or use of internet [10].
Study by Ronnenberg et.al, reported that maternal nutritional status is important to maternal and fetal well being, and BMI were influenced by ethnicity and genetics [17]. Nutrient intake and weight gain during pregnancy are the two main factors affecting maternal and infant outcomes [1].
Using data from a national sample of children in the U.S. and study by Datar examines family size is associated with child BMI and obesity [6]. Frequent television watching was associated with obesity among rural women of reproductive age in Myanmar [10].
Goodrich stated that women were motivated to exercise for personal health benefits but fear exercise may harm the fetus. In addition, the lack of health care provider were inconsistent with recommendations has been consistently reported as a barrier [9].
Based on national research council and others (2007) report stated that interactions among several biological factors such as pregnancy weight, age, parity, and stature influence gestational weight gain and the biological influences on gestational weight gain vary widely among women and other potential metabolic factors that may affect gestational weight gain which is placental secretions or metabolic changes in obese women remain poorly understood [6].
Magalhaes stated that the determinants of excessive weekly weight gain were family income and the prevalence rate of excessive weekly weight gain in pregnant women in the second and third trimesters was found to be 42 percent [14].
The main objective of the study was identifying the factors that affect maternal weight and body mass index among pregnant women in Ethiopia. Parts of this paper were organized as follows. Section 2 describes the materials and methods used in this study, section 3 presents the results with its discussion and conclusion and recommendations are provided in section 4.
\[
Y = \begin{bmatrix}
y_{11} & y_{21} \\
\vdots & \vdots \\
y_{1n} & y_{2n}
\end{bmatrix}, X = \begin{bmatrix}
x_{11} & \cdots & x_{1r} \\
\vdots & \ddots & \vdots \\
x_{n1} & \cdots & x_{nr}
\end{bmatrix}, \beta = \begin{bmatrix}
\beta_{11} & \beta_{12} \\
\vdots & \vdots \\
\beta_{r1} & \beta_{r2}
\end{bmatrix}, \varepsilon = \begin{bmatrix}
\varepsilon_{11} & \varepsilon_{21} \\
\vdots & \vdots \\
\varepsilon_{1n} & \varepsilon_{2n}
\end{bmatrix}
\]
The error term has \(E(\varepsilon)=0\) and \(\text{var}(\varepsilon)=\Sigma\).
## 2. Research Methodology
### 2.1. Descriptions of Study Population
This research utilized Ethiopian 2016 demographic and health survey as its source of data which was the fourth comprehensive and nationally representative population and health survey. It is important feature of the data set that avails in-depth information on demographic and health aspects of households. The data were collected by the central statistical agency at the request of the ministry of health. Data collection took place from January 18, 2016 to June 27, 2016 [7]. Mothers who were pregnant and remember her maternal weight and body mass index which record from January 18, 2016 to June 27, 2016 were included in the study.
### 2.2. Study Design
Cross-sectional study was conducted to assess factors that affect maternal weight and body mass index among pregnant women in Ethiopia.
### 2.3. Study Variables
Response variable: In this study there are two response variables. Those are pregnant maternal weight and pregnant body mass index.
Independent variables: the independent variables of the study includes the variables such maternal height, preferred waiting time for birth, tetanus injection, region., desire more child, family size, maternal height, Place of residence, age, source of water supply, HIV status of mother, children ever born, frequency of watching television.
### 2.4. Methods of Data Analysis
The statistical methods used in this study were descriptive statistics (percentages and mean) and inferential statistics with bivariate multiple linear regression models).
#### 2.4.1. Bi-variate Multiple Linear Regression Models
Under this study, we did bi-variate multiple linear regression models (with m=2 response variables). The model would be multiple due to more than one predictor variables \((p>1)\), with a linear function of parameters \((\beta_1, \beta_1, \beta_2, \ldots, \beta_r)\). Each response is assumed to follow its own regression model,
\[
Y_1 = \beta_{01} + \beta_{11}X_1 + \beta_{12}X_2 + \ldots + \beta_{r1}X_r + \varepsilon_1 \quad (1)
\]
\[
Y_2 = \beta_{02} + \beta_{12}X_1 + \beta_{22}X_2 + \ldots + \beta_{r2}X_r + \varepsilon_2 \quad (2)
\]
The matrix notation of the model is given as:
\[
Y = X\beta + \varepsilon \quad (3)
\]
Where,
\[
\beta = \begin{bmatrix}
\beta_{11} & \beta_{12} \\
\vdots & \vdots \\
\beta_{r1} & \beta_{r2}
\end{bmatrix}, \varepsilon = \begin{bmatrix}
\varepsilon_{11} & \varepsilon_{21} \\
\vdots & \vdots \\
\varepsilon_{1n} & \varepsilon_{2n}
\end{bmatrix}
\]
Where,
\[ \Sigma = \begin{bmatrix} \sigma_{11} & \sigma_{12} \\ \sigma_{21} & \sigma_{22} \end{bmatrix} \]
Thus, the error terms associated with different responses on the same trial are correlated.
In the bi-variate analysis, the dependent variable should be normally distributed within groups and also in multi-variate designs, with multiple dependent measures, the homogeneity of variances assumption described earlier also applies. However, since there are multiple dependent variables, it is also required that their inter-correlations (covariance) are homogeneous across the cells of the design.
Bi-variate multiple regression model has unknown parameters. The parameter value was obtained from parameter estimation.
According to Nkurunziza and S. Ejaz Ahmed the estimation methods mostly used are the multivariate least square estimation [16].
### 2.4.2. Parameter Estimation
The most common method for estimating bi-variate linear regression is least squares estimation (OLS). The least square for \( \beta \) minimizes the sums of squares elements on the diagonal of the residual sum of squares and cross products matrix \((Y - Z\hat{\beta})'(Y - Z\hat{\beta})\). Since the matrix \((Y - Z\hat{\beta})'(Y - Z\hat{\beta})\) has smallest possible trace.
Using the least squares estimator for \( \beta \) we can obtain predicted values and compute residuals. From the theory of the least squares in uni-variate regression, we can get the estimator of \( \beta \) by minimizing \( e'e' \) where \( e' = X\hat{\beta} \) is \( n \times 2 \) error matrix. We minimize \( e'e' \) with constraints of non-negative matrix, the trace, the determinant, and the largest Eigen value, i.e. estimating \( \hat{\beta} \) meet the following inequality’s for all possible matrices of \( \beta \) respectively.
\[
(Y - Z\hat{\beta})'(Y - Z\hat{\beta}) \leq (Y - Z\hat{\beta})'(Y - Z\hat{\beta})
\]
\[
trace(Y - Z\hat{\beta})'(Y - Z\hat{\beta}) \leq trace(Y - Z\hat{\beta})'(Y - Z\hat{\beta})
\]
\[
|Y - Z\hat{\beta})'(Y - Z\hat{\beta})| \leq |(Y - Z\hat{\beta})'(Y - Z\hat{\beta})|
\]
\[
maxeig(Y - Z\hat{\beta})'(Y - Z\hat{\beta}) \leq maxeig(Y - Z\hat{\beta})'(Y - Z\hat{\beta})
\]
In fact, the four criteria are equivalent to each other. Under any criteria of the four, we can get the same least square estimator of \( \beta \), given by
\[
\hat{\beta} = (X'X)^{-1}X'Y \tag{4}
\]
Equation (4) is BLUE of parameters. Therefore the individual coefficients and standard errors produced by bi-variate linear regression are identical to those that would be produced by regress each response against the set of independent variable separately. The difference lies in that the bi-variate linear regression as joint estimator also estimates the between equation covariance, so we can test the interrelationship between coefficients across equations.
Variety of regression models from the same set of variables could be constructed. According to David J and Lilja backward elimination process was prefer because it is usually straightforward to determine which factor we should drop at each step of the process [11]. Backward elimination has further advantage, in that several factors together may have better predictive power than any subset of those factors. As a result, the backward elimination process is more likely to include these factors as a group in the final model than the forward and step wise selection process. Therefore, under this study we had used backward elimination.
### 3. Results and Discussion
#### 3.1. Some Demographic and Socioeconomic Characteristics of the Study Subjects
A total of 1996 pregnant were included in the study. Out of the total 1996 pregnant were included in the study, the mean of maternal BMI is 22.5 kg/m² with standard deviation 4.38 kg/m and the average family size were 5 with standard deviation 2 approximately. Moreover, the average weights of mother were 56.52 kg with standard deviation 11.84 kg. From total children ever born point of view the average total child ever born were 3 with standard deviation 2 approximately and the average height of mothers were 1.58 meter with standard deviation 0.67 meter.
In this study 44.7% mothers who watch TV at least once a week. In addition, there were 56.6% mothers who received tetanus injunction before birth between 1 and 3 times and 14.7% mothers who were not received tetanus injunction before pregnancy. Moreover, 32.3% mothers were between 25 and 29 age group and 48.1% wants to born after more 2 years.
Furthermore, this study discussed the effect of explanatory variables when maternal body mass index and weight were fitted jointly. Under this study E-statistic or energy test of multi-variate normality that was show multivariate normality with p-value 0.25 was used. From descriptive result shows the average duration of pregnancy were 35.87 weeks with standard deviation 1.01 weeks and the average weight of new born baby were 3.27 with standard deviation 0.83. The correlation between maternal weight and maternal body mass index is 0.92.
#### 3.2. Model Assumption Diagnosis
From scatter plot shown in Figure 1, indicate the linear relationship between maternal weight and maternal body mass index.
In addition residuals plot shown on Figure 2, seems to indicate that the residuals and the fitted values confirm linearity without distinct patterns and shows constant variance and also quintile-normal plot of Figure 3, confirms normality of errors which was residual points follow the straight dashed line. Moreover, Figure 4 shows the most observation had small cook’s distance deviate from straight dashed line mean that the data set has not more influential observation.
*Figure 2. Residual plot.*
*Figure 3. Normal Q-Q plot.*
*Figure 4. Plot of Cooks Distance.*
### 3.3. Determine of Maternal Weight and Body Mass Index: Bi-variate Multiple Linear Regression
After the overall assumptions, bi-variate multiple linear regression model of maternal body mass index and maternal weight over the significant predictors was modeled based on estimated value of the parameter that from Table 1. The fitted bi-variate linear regression model that relating maternal body mass index and maternal weight with the explanatory variables is given as:-
Maternal Weight = 9.43 *secondary - 48*maternal height - 14.49 *Preferred with 3year -11.88*Preferred with 5year - 17.04*Preferred with 6year+9.93*1-3times tetanus injection times+13.75*4-6 times tetanus injection -10.62 *greater than 7 times tetanus injection+11.29*SNNP+13.97*watch Tv less than once week+10.36759 *desire more child with 5 year.
And
Body Mass Index=3.76*secondary +5.69*Preferred with 3year- 4.81*Preferred with 5year.
-6.93*Preferred with 6year+3.99*1-3 times tetanus injection +5.45*4-6 times tetanus injection - 4.35*greater than 7 times tetanus injection+4.53 *SNNP+5.38*watch Tv less than once week+3.94*desire more child with 5 year+0.69 *family size.
From the model parameter of pregnancy maternal weight, the mean of pregnancy weight of mother when her husband learn up to secondary education decreased by factor 9.43 while pregnancy body massindex decreased by factor 3.76 as compared to who was no learn at all with similar effect of other co-variants. This result is in line with the previous study by Mullanly [15].
In addition, the mean of pregnancy weight of mother who was waiting three, five and six year for birth of another child decreased by factor 14.49, 11.88 and 17.04 respectively as compared to waiting less than one year for birth of another child when the effect of other variable remains constant. This has been confirmed by the study [5]. Furthermore, the mean of pregnancy weight of mother who was received injections of tetanus 1 up to 3 and 4 up to 6 times before birth increased by a factor of 9.93 and 13.75 respectively as compared to who was not received injections of tetanus before birth when the effect of other variables remain constant.
But, mother who was received injections of tetanus greater than seven times before birth then, the mean of pregnancy weight of mother was decreased by factor 10.62. This results also in line with the study of [4, 20].
Moreover, the mean of pregnancy weight of mother who lived in South Nation Nationality of people increased by a factor of 11.29 as compare to mother who lived in Tigray.
Furthermore, the mean of pregnancy weight of mothers who watching television for less once a week increased by factor 13.97 as compared to those not watching at all which is similar with the previous studies conducted by the scholars [17]. With the change in one centimeter in height, the mean of pregnancy weight of mother increased by 48 units.
Finally, the mean of pregnancy weight of mother who
desire more child with 5 year increased by factor of 10.36759 as compared to those desire more child with 2 year respectively.
The model parameter of pregnancy body mass index were discussed as, the mean of pregnancy body mass index of mother who was learn up to secondary education decreased by factor 3.76 as compared to who was no learn at all when the effects of other variable remain constant. In addition, the mean of body mass index of mother who was waiting three, five and six year for birth of another child decreased by factor 5.69, 4.81 and 6.93 respectively as compared to waiting less than one year for birth of another child, which has been also confirmed by the study of Conde-Agudelo [5].
Moreover, the mean of pregnancy body mass index of mother who was received injections of tetanus 1 up to 3 and 4 up to 6 times before birth increased by a factor of 3.99 and 5.45 respectively as compared to who was not received injections of tetanus before birth. But, mother who was received injections of tetanus greater than seven times before birth, the mean of pregnancy body mass index of mother was decreased by factor 4.35.
Furthermore, the mean of pregnancy body mass index of mother who lived in South Nation Nationality of people (SNNP) increased by a factor of 4.53 as compare to mother who lived in Tigray which is similar with the previous studies conducted by different scholars [17]. The mean of pregnancy body mass index of mother who watching television at least once a week increased by factor 5.38 as compared to those not watching at all which is in line with result of study [12].
Family size is change by one individual, then the mean of pregnancy body mass index of mother increased by 0.69 units. Similar result was observed in another study done by [8]. Finally, the mean of pregnancy body mass index of mother who desire more children with 5 year increased by factor 3.94 as compared to those desire more child with 2 year respectively.
Table 1. Results of Bi-variate Multiple Linear Regression.
| Pregnancy Maternal Weight | Parameter | Estimate | P value |
|----------------------------|----------------------------|------------|---------|
| Husband Education (no=ref) | Secondary | -9.34 | 0.029 * |
| Tetanus injection (no=ref)| 1-3 times | 9.93 | 0.022* |
| | 4-6 times | 13.75 | 0.005** |
| | >7 times | 10.62 | 0.043* |
| Waiting time for birth (1 year=ref) | Preferred (3year) | -14.49 | 0.009** |
| | Preferred (5year) | -11.88 | 0.020* |
| | Preferred (6year) | -17.04 | 0.002** |
| Region (Tigray=ref) | SNNP 11.29 | 0.034* | |
| Watch Tv (no=ref) | Less than once a week | 13.07 | 0.005** |
| | Maternal height | 48 | 0.048 * |
| Desire child (with 2 year=ref) | Desire (with 5 year) | 10.368 | 0.034* |
| R²=0.82 | Adjusted R²=0.80 | | |
| Pregnancy body mass index | Parameter | Estimate | P value |
|----------------------------|----------------------------|------------|---------|
| Husband Education (no=ref) | Secondary | -3.76 | 0.030 * |
| Tetanus injection (no=ref)| 1-3times | 3.99 | 0.021* |
| | 4-6 times | 5.45 | 0.005* |
| | > 7 times | 4.35 | 0.038* |
| Waiting time for birth (<1 year=ref) | Preferred (3 year) | -5.69 | 0.009** |
| | Preferred (5 year) | -4.81 | 0.019* |
| | Preferred (6 year) | -6.93 | 0.002 **|
| Region (Tigray=ref) | SNNP 4.53 | 0.034* | |
| Watch Tv (no=ref) | Less once a week | 5.38 | 0.007 **|
| | Family size | 0.69 | 0.033* |
| Desire child (with 2 year=ref) | Desire (with 5 year) | 3.94 | 0.043 * |
| R²=0.79 | AdjustedR²=0.77 | | |
*significant at 5% level of significance, ** significant at 1% and at 5% level of significance (ref) is reference category
4. Conclusion and Recommendations
4.1. Conclusion
This study was held with the objective of determine the determinant of pregnancy weight and body mass index among pregnant women in Ethiopia simultaneously to make recommendation for concerned body. Therefore, this study concluded that preferred waiting time for birth, number of tetanus injections before pregnancy, husband education level, region, watch television, desire more child are statistically significant at 5% level of significance for pregnancy weight and body mass index in Ethiopia jointly.
The risk of overweight pregnancy and high body mass index increased when parent prefer high number of waiting time to birth another child in Ethiopia. In addition the risk of over pregnancy weight and body mass index increased when mother received more tetanus injection during pregnancy.
Furthermore, the risk of over pregnancy weight and body mass index increased when parent was not educated, desire more child wants with more than 2 years expectancy.
4.2. Recommendations
Based on the finding of the study the following recommendations were forwarded
i. The health center of the country should work on the perception of women in order to enhance pregnancy weight and body mass index.
ii. Education level of husband plays an important role in minimizing pregnancy weight and body mass index. Thus, the respective bodies’ needs to focus on sustaining education implemented to reduce weight and body mass index.
iii. Since the risk of over pregnancy weight and body mass index increased when mother received more tetanus injection during pregnancy, health professionals should care on pregnant woman during tetanus injection.
iv. This research result helps to policy-makers and programmer to design ways of control the over pregnancy weight and body mass index in Ethiopia.
Abbreviations
BLUE: Best Linear Unbiased Estimator, BMI: Body Mass Index, kg: kilogram, Maxeig: Maximum Eigen values, LBW: Low Birth Weight, m: Meter, $R^2$: Coefficient of determination, SNNP: South Nation and National People, TV/tv: Television
Availability of Data and Materials
The dataset used and analyzed during this study are available from the corresponding author on reasonable request.
Conflict of Interest
The authors declare that they have no conflict of interests.
Authors’ Contributions
MA was involved in the conception and design of the study, data collection and entry, interpretation and drafting the manuscript. KK was involved in the design and review of protocol development, interpretation of the data and review of the manuscript. All authors read and approved the final manuscript.
Appendix
R Codes for the Analysis
attach(data)
names(data)
M=as.matrix(data[,c(9,19)])
summary(maternal_weight,NeBMI)
mat=c(var(maternal_weight), var(NeBMI))
sd=sqrt(mat)
prop.table(table(wealth_index))
round(100*prop.table(table(wealth_index)),1)
library(MASS)
library(MVN)
mvna1<-mvn(data=M, mvnTest=benergy'univariatePlot
=3$plotOf'
mvna2<-mvn(data=M, mvnTest=benergy'univariatePlot
=histogram'
corlat<-corr(maternal_weight,NeBMI)
plot(maternal_weight,NeBMI, xlab="maternal_weight ", ylab="maternal body mass index ",pch=19)
Model=lm(m~timing+as.factor(wealth_index)+as.factor(number_befbirth)+as.factor(number_befpre)+as.factor(Region)+as.factor(new_sourwat)+as.factor(freq_watch_television)+total_child_everborn+as.factor(alcohol)+family_size+as.factor(husband_partner_edule)+maternal_height+as.factor(Preferred)+as.factor(age_group)+as.factor(desire))
plot(fitted(Model), resid(Model), col = "dodgerblue",pch = 20, cex = 1.5, slab = "Fitted",ylab = "Residuals")
abline(h = 0, lty = 2, col = "darkorange",lwd = 2)
qqnorm(resid(Model),col = "darkgrey")
qgline(resid(Model),col = "dodgerblue",lwd = 2)
cooksd <- cooks.distance(Model)
plot(cooksd, pch = "*",cex=2)
References
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Demography and Low-Frequency Capital Flows*
David Backus,† Thomas Cooley,‡ and Espen Henriksen§
Conference draft
June 18, 2013
Abstract
We verify that fluctuations in international capital flows and stocks are persistent and consider a role for demography. In an overlapping generations model with uncertain lifetimes, we explore the impact of increases in life expectancy caused by decreases in adult mortality. Reductions in mortality affect the aggregate accumulation of assets in two ways: by changing household saving behavior and by changing the age distribution of the population. In an open economy, demographic differences across countries can produce large persistent capital flows, even if the countries are otherwise similar. We use a quantitative version of the model to illustrate the impact of demography on capital flows and net foreign assets in China, Germany, Japan, and the United States.
JEL Classification Codes: F21, J11.
Keywords: current account balance, net foreign asset position, life expectancy, mortality rates, population aging.
*Draft prepared for the International Seminar on Macroeconomics, Rome, June 2013. Preliminary and incomplete. We welcome comments, including references to related papers we inadvertently overlooked. We thank Jan Moeller, Tianchen Qian, and Ram Yamarthy for research assistance.
† Stern School of Business, New York University, and NBER; firstname.lastname@example.org.
‡ Stern School of Business, New York University, and NBER; email@example.com.
§ University of California at Davis; firstname.lastname@example.org.
1 Introduction
International capital flows continue to attract attention, both as a mechanism to allocate resources across countries and, more commonly, as “imbalances” that need “adjustment” or “correction.” Whether one or the other, in need of correction or not, we wonder where they come from. What are the root causes of the extensive capital flows we see in the world around us?
We focus on what we call low-frequency net capital flows: the persistent flows of capital between countries that we have observed since (at least) the late nineteenth century. Michael Bordo (2002) describes this earlier period: “The fifty years before World War I saw massive flows of capital from Western Europe to (mainly) the Americas and Australasia. At its peak, the outflow from Britain reached nine percent of GNP and was almost as high in France, Germany, and the Netherlands.” Over this period, Great Britain accumulated claims on the rest of the world equal to about one year’s GDP. Among the recipients were Australia, Canada, Sweden, and the United States. In recent times, we have seen significant capital flows into the US and out of Germany, Japan, and China. In both periods, countries experiencing capital flows, in or out, were likely to be doing the same one or two decades later.
If capital flows are persistent, the question is why. One possibility is institutions, which evolve slowly and might be expected to lead to similarly slow-moving flows of capital. Another is tax rates, which change infrequently. We emphasize demography, specifically increases in life expectancy and the associated aging of populations. These demographic trends are evident worldwide, but countries exhibit enough heterogeneity to make capital flows a plausible consequence. Thus in Japan we might expect to see capital outflows as a middle-aged population saves for retirement and capital inflows once enough of the population passes retirement age — as it will in the coming decades.
The mechanism connecting demography to capital flows is complex enough to require a model. We build an overlapping generations (OG) model in which we can feed in realistic demographics and explore their consequences. In our model, changes in the age distribution affect international capital flows in two ways. First, working people save, on the whole, and those who have retired dissave. A change in their proportions changes the aggregate saving rate. Second, the observed decrease in mortality rates raises saving rates if retirement ages...
don’t increase in response — and they don’t. Together, they can generate substantial effects on saving and capital flows.
The idea of using an OG model to study the impact of demography on international capital flows isn’t new. Attanasio, Kitao, and Violante (2007), Boersch-Supan, Ludwig, and Winter (2006), Brooks (2003), Domeij and Floden (2006), Feroli (2003), Ferrero (2010), Henriksen (2003), and Krueger and Ludwig (2007) all took this approach. Others before them expressed similar ideas without the formal structure of a model. A larger literature explores the impact of demography on aggregate saving rates. New or not, we think the idea is a good one and worth pursuing further.
We build a one-good model in which we can explore the role of demography. In each country, households have power utility and firms have identical constant elasticity aggregate production functions. Countries differ only in their demography: the mortality rates and life expectancies faced by households and the age distribution of their populations. The question is how much variation in capital flows we can generate across countries and over time from these differences alone. We show, using steady state calculations, that changes in life expectancy can, in principle, have large effects on international capital flows and net foreign asset positions. We go on to simulate paths for capital flows for China, Germany, Japan, and the United States, countries with large capital flows, both in or out. [coming soon!]
The challenge with this kind of model are the dozens of decisions we must make about details, far more than we would have in a representative agent model. Did households foresee the large drop in mortality we’ve seen around the world? How do they deal with uncertain lifetimes? Bequests? Are pensions substitutes for private saving or something more? You probably have a few questions of your own. We’ve done our best to emphasize details that we think are important and exclude completely those we think are not. One thing we think is important is the time interval. Most of the data, and most of the work based on it, uses five-year intervals. We use an interval of one year to get more precise control over the effects of mortality on life expectancy. This also brings the model closer to other work in macroeconomics, where annual or even quarterly frequencies are typical.
[Compare to other work on capital flows, including Caballero, Farhi, and Gourinchas (2008), Engel and Rogers (2006), Ohanian and Wright (2010), …]
2 Facts
We start with some facts: facts about international capital flows and stocks, facts about demography, and facts about capital-output ratios. In describing these facts, we look at four countries: China (ISO country code CHN), Germany (DEU), Japan (JPN), and the United States (USA). These countries account for a substantial fraction of net capital flows in the world, and they have striking, and different, demographics. We show — for these countries anyway — that capital flows are persistent. If the ratio of the current account balance to GDP has a tendency to revert to zero, as it does in most multi-country business cycle models, it’s well hidden in the data. The same holds for net foreign assets. Demography, of course, is inherently persistent. We describe changes in the age distribution of the population, in life expectancy, in old-age dependency, and in retirement ages. All but the retirement age have changed dramatically over the last few decades. Finally, we look at capital-output ratios, a central component of the modeling exercise that follows.
2.1 Capital flows and stocks
We plot current account balances in Figure 1 and net foreign assets in Figure 2, both as ratios to GDP. Current accounts are from the IMF’s *World Economic Outlook* database for April 2013. Net foreign asset positions were computed by Lane and Milesi-Ferretti (2007).
We see, for a start, that Japan has had persistent current account surpluses since the 1980s. These correspond to capital outflows and amounted to 50 percent of GDP in 2007, the last date in the available data. The US has had the opposite experience and now has a negative net foreign asset position. In both cases, the direction of net capital flows has been the same for almost three decades. Germany and China have had more variation, but there is a great deal of persistence in their capital flows as well. China, for example, has had capital inflows for almost twenty years. Germany has had the same for ten. Although there is a clear cyclical component in the current account, the bulk of current account fluctuations operate at a lower frequency. Henriksen and Lambert (2009) make the same argument more formally for a broader range of countries.
2.2 Demography
Could demography play a role in these capital flows? Certainly demography evolves slowly enough to produce persistent effects on the economy. It also differs across countries, a requirement for it to affect international capital flows.
Consider the evidence reported in the UN’s *World Population Prospects*, the 2010 revision. We see in Figure 3 that UN data and projections for the future show significant aging of the populations of China, Germany, Japan, and the US. Japan’s aging is the most pronounced, with more than a third of the population expected to be over 70 by 2040. The US, in this group, is aging the most slowly. This aging reflects, in part, a continuing increase in life expectancy; see Figure 4. The levels of life expectancy differ, but we see the same pattern of increase in all four countries. In each of them, life expectancy has increased almost a decade since 1970 and is projected to increase another decade by the end of the century.
The increase in life expectancy reflects a significant drop in mortality at all ages. We document this with data from the WHO’s *Global Health Observatory*. Figure 5 shows how mortality has changed in the US: we plot the log of age-specific mortality rates for the years 1990, 2000, and 2011. We see a consistent drop at all ages. The drop at higher ages is larger in absolute terms, because the underlying rates are larger. In Figure 6 we see mortality rates for all four countries for the year 2011. The differences reflect those in life expectancy: Japan has the lowest mortality rates and China the highest.
The aging of the population and rise in life expectancy are projected to produce sharp increases in the old-age dependency ratio, measured here as the ratio of the population aged 65 and above to the population with ages between 20 and 64. See Figure 7. In Japan, the ratio was about 20% in 1990, is now about 40%, and is projected to be over 70% in 2050. Germany is only slightly less extreme. China exhibits a similar pattern somewhat latter, with a current dependency ratio of about 10% projected to increase to 60% by 2060. Aging in the US looks modest by comparison, with a projected dependency ratio of about 40% in 2050.
The other side of population dynamics is fertility, which we summarize in Figure 8. The numbers come from the UN’s *World Population Prospects* and refer to the period 2005-2010.
We see that fertility rates in Germany and Japan have been low, lower even than in China with its one-child policy. The lower input of young people into the population reinforces the impact of reduced mortality on the aging of their populations. The US has the highest fertility of the four countries, with 414 births per thousand women. The same number for China is 328, for Germany 271, and for Japan 264. [NB: Numbers are labeled as in the source, but the units seem to be off by ten.]
We see, in short, gradual but significant aging of the populations of all four countries, but also significant differences among them. We conclude with one last fact about demographic trends. We show in Figure 9 how the retirement age has changed with time. The retirement age comes from the OECD’s *Statistics on average effective age of retirement* and is computed from labor market participation rates of older workers. We see in the figure that retirement ages differ across countries but show little variation over time over the period 1980-2011. Evidently, increases in life expectancy are leading to longer periods of retirement.
None of these facts are new. Bongaarts (2004) provides a more comprehensive analysis and a good summary of related work.
### 2.3 Capital stocks
We look at one last variable, the capital-output ratio, which plays a central role in our model. We compute capital stocks by standard methods from the Penn World Table, version 7.1. We take data on investment, estimate an initial capital stock value from a steady state approximation, and update by the perpetual inventory method using an annual depreciation rate of 6 percent. Caselli (2005) is one of many to describe the approach.
We show in Figure 10 how the ratio has evolved in our four countries. Over the period 1980 to 2010, the capital-output ratio has been between two and three in the US and China, about three in Germany, and has risen above four in Japan. China is the most surprising. Between 1990 and 2010, its real investment share of GDP averaged 37 percent, significantly higher than the 22 percent experienced by the US, yet its capital-output ratio is similar. The reason it’s not higher, of course, is that output has been growing so quickly. Could our calculation be grossly wrong for China? Our guess is no: Holz (2006) constructs similar estimates directly from company balance sheets.
3 An overlapping generations model
These demographic changes are striking, but we need a model to quantify their impact on saving, investment, and international capital flows. We follow others in building a model with one good, overlapping generations of agents who spread their consumption over their lifetimes and supply labor inelastically, and a common technology for producing the good from capital and labor. Countries differ primarily in their demographics, including their age distribution and mortality rates.
The central market here is the capital market, with households supplying capital and firms demanding it. Given an interest rate path, the production decisions of firms determine the capital-output ratio. The consumption decisions of households generate paths for cohort and aggregate net worth, which we also express as a ratio to GDP. Net foreign assets is the difference between the aggregate net worth of agents and capital used by firms. Flows such as saving, investment, and the current account are then computed from the laws of motion of the stocks.
We consider two equilibrium concepts for this environment. One is a closed economy in which the interest rate adjusts so that net worth and the capital stock are equal. We illustrate the impact of demography in steady state versions of this economy. The other equilibrium concept is an open economy facing a given world interest rate path. Fixing the interest rate path simplifies the computations enormously and allows us to focus our attention on other issues.
3.1 Demography
Our treatment follows a long line of work in demography and in overlapping generations models that use demographic inputs. Each country is populated by overlapping generations, or cohorts, of agents who live up to $I$ periods. At any date $t$, $x_{it}$ is the number of people in the cohort of age $i$, $x_t = (x_{1t}, x_{2t}, \ldots, x_{It})^\top$ is the age distribution, and $X_t = \sum_i x_{it}$ is the total population.
Changes in the age distribution $x_t$ are affected by births, deaths, and migration. Births are connected to the population by age- and date-specific fertility rates. Each period, an
agent of age $i$ produces $\varphi_{it}$ children of age $i = 0$ at date $t$. Deaths are handled the same way. The probability of an agent of age $i$ at date $t$ surviving until date $t + 1$ is $s_{it}$. The chance of surviving beyond age $I$ is zero: $s_{It} = 0$. The mortality rate at each age is the complementary probability $1 - s_{it}$. The dynamics of the population follow the difference equation
$$x_{t+1} = D_t x_t + m_{t+1},$$
where
$$D_t = \begin{bmatrix}
\varphi_{1t} & \varphi_{2t} & \varphi_{3t} & \cdots & \varphi_{It} \\
s_{1t} & 0 & 0 & \cdots & 0 \\
0 & s_{2t} & 0 & \cdots & 0 \\
\vdots & \vdots & \ddots & \ddots & \vdots \\
0 & 0 & \cdots & s_{I-1,t} & 0
\end{bmatrix}$$
captures the impact of fertility and mortality and $m_{t+1}$ is net migration by age. Evidently most of the $\varphi_{it}$'s are zero.
The dynamics of survival/mortality rates are a critical ingredient in what follows. We deal with them when they arise.
### 3.2 Households
We refer to households as agents or cohorts. They do two things: they work and they consume. Work is inelastic once the agent hits working age. Formally, the agent begins to work at age $I_w$ ($w$ for work), supplying one unit of labor every year until retirement. At age $I_r$ ($r$ for retirement), the household stops working.
Consumption starts at age $I_w$ and continues until death. Utility has a time-additive power form, which we express recursively by
$$U_{it} = c_{it}^{1-\sigma}/(1-\sigma) + \beta s_{it} U_{i+1,t+1}$$
for $i = I_w, \ldots, I$. Here $U_{it}$ is utility from date $t$ forward for an agent of age $i$, $c_{it}$ is date-$t$ consumption for the same agent, and $\beta$ is the discount factor. The intertemporal elasticity of substitution is $1/\sigma$. The limiting case $\sigma = 1$ corresponds to log utility. The use of the survival probability $s_{it}$ follows the now-familiar application of expected utility to uncertain lifetimes proposed by Yaari (1965).
We build productivity into labor. Each individual of working age supplies one unit of labor. For an agent of age $i$ at date $t$, that unit has efficiency $e_{it}$. Efficiency is zero for children and retirees: $e_{it} = 0$ for $i < I_w$ and $i > I_r$. If the wage per efficiency unit is $w_t$, the agent earns labor income $e_{it}w_t$.
[Describe dependence of $e_{it}$ on $i$ and $t$, build in difference between aggregate growth and growth within a cohort.]
Consumption and income are connected to changes in net worth through the budget constraint. Let $a_{it}$ be financial assets or net worth owned by agents of age $i$ at the start of the period $t$. The sequence budget constraint for an agent of age $i$ is
$$a_{i+1,t+1} = (1 + r_t)a_{it} + e_{it}w_t - c_{it} + b_{i+1,t+1},$$
where $r_t$ is the real return between $t$ and $t+1$. We have one of these constraints for each age $i = I_w, \ldots, I$, plus boundary conditions
$$a_{I_w,t} = a_{I+1,t} = 0.$$
(2)
Bequests $b_{it}$ are a necessary ingredient here, because we need to distribute the accidental bequests of agents who die before age $I$. The simplest method is to give agents annuities. Effectively, we spread the assets of those who die among the living of the same generation: $b_{i+1,t+1} = (1 - s_{it})a_{i+1,t+1}$. That gives us the budget constraint
$$s_{it}a_{i+1,t+1} = (1 + r_t)a_{it} + e_{it}w_t - c_{it}.$$
(3)
See, among many others, Hansen and Imrohoroglu (2008), Rios-Rull (2001), and Yaari (1965).
Preferences (1) and the budget constraint (3) lead to the familiar necessary condition
$$c_{i,t}^{-\sigma} = \beta c_{i+1,t+1}^{-\sigma}(1 + r_t).$$
This tells us that the slope of the lifetime consumption profile is governed by the discount factor $\beta$, the interest rate $r_t$, and the preference parameter $\sigma$. The absence of $s_{it}$ stems from the annuity. The asset profile depends on consumption and the profile for labor income.
Each of these individual or cohort variables has an aggregate analog. Aggregate consumption is the sum across generations: $C_t = \sum_i c_{it}x_{it}$. Aggregate net worth is the same: $A_t = \sum_i a_{it}x_{it}$. The total supply of labor at date $t$ is the sum over all agents of working age: $N_t = \sum_i e_{it}x_{it}$.
3.3 Firms
Firms in aggregate combine capital $K_t$ and efficiency units of labor $N_t$ to produce output $Y_t$. We give their technology a constant elasticity form:
$$Y_t = F(K_t, N_t) = \left[ \omega K_t^{1-\nu} + (1 - \omega) N_t^{1-\nu} \right]^{1/(1-\nu)}. \quad (4)$$
The elasticity of substitution between capital and labor is $1/\nu$. The limiting case $\nu = 1$ corresponds to Cobb-Douglas. The law of motion for capital is the usual
$$K_{t+1} = (1 - \delta) K_t + I_t, \quad (5)$$
where $I_t$ is gross investment in new capital and $\delta$ is the rate of depreciation.
A representative firm with this technology facing prices $(r_t, w_t)$ chooses capital and labor equate marginal products to prices:
$$\frac{\partial F(K_t, N_t)}{\partial K_t} = r_t + \delta \quad (6)$$
$$\frac{\partial F_n(K_t, N_t)}{\partial N_t} = w_t. \quad (7)$$
With the constant elasticity function (4), the marginal product of capital takes the form
$$\frac{\partial F(K_t, N_t)}{\partial K_t} = \omega (K_t/Y_t)^{-\nu},$$
a decreasing function of the capital-output ratio.
3.4 Equilibrium
A competitive equilibrium in this environment starts with two conditions. Given paths $\{r_t, w_t\}$ for prices:
- Households choose consumption to maximize utility (1) subject to their budget constraint (3) and the boundary conditions (2); and
- Firms choose capital, labor, and investment at each date to maximize profit subject to the technology (4) and the law of motion for capital (5).
At this point, we consider two alternatives:
• In a closed economy, the interest rate path clears the capital market: \( A_t = K_t \) for all \( t \).
• In an open economy, the path of the interest rate is given. Household and firm decisions therefore determine the path of net foreign assets: \( NFA_t = A_t - K_t \).
The latter, of course, is how we address capital flows: if the domestic supply and demand for capital aren’t equal, net foreign assets makes up the difference.
4 Demography and steady states
We consider the impact of increased life expectancy in the steady state. The advantage of the steady state is that we can easily see how everything works.
Here’s an outline. First, the demographic inputs give us a stationary age distribution. When we decrease mortality rates, this increases life expectancy and changes the age distribution, making it older. Second, this change in the age distribution has consequences for all of the variables in the model: consumption, labor supply, aggregate net worth, the capital stock, the wage, and the interest rate. In our closed economy, an increase in life expectancy raises aggregate net worth and the stock of capital. This reduces the marginal product of capital and hence the interest rate. In our open economy, we fix the interest rate, so the increase in aggregate net worth shows up as an increase in net foreign assets. We describe these effects in a supply and demand diagram, where the demand for capital comes from firms’ first-order condition and the supply comes from households accumulation of assets.
4.1 Parameter values
We review the inputs to the model, starting with demography. We use stylized demographics to illustrate the impact of increases in life expectancy. We start with benchmark mortality rates, adapted from WHO data, associated with a life expectancy at birth of 60 years:
\[
\log(1 - s_i) = \mu_i.
\]
The shape is evident from Figure 6, with mortality high for the young and old and low in between. Only the latter matters here, because agents do nothing until they reach working age. We then scale them up and down by some constant $z$,
$$\log(1 - s_{it}) = \mu_i - z_t$$
to reproduce other life expectancies. Demographers will recognize this as a simplified version of Lee and Carter (1992). The larger is $z_t$, the lower are mortality rates and the longer is life expectancy. We see the results in Figure 11, where we plot the resulting survival probabilities. The logarithmic form of (8) means that the greatest impact is on the largest mortality rates: those of the young and old.
With these mortality rates, and one birth each period, we can compute the stationary age distribution. The result is pictured in Figure 12. We see that this mechanism gives us an older population, on average, when we reduce mortality rates to reproduce longer life expectancies.
The next input is the technology. We set $\delta = 0.06$, which we used to generate the data. We also set $\nu = 1$, which corresponds to an elasticity of substitution of one, and choose $\omega$ to set capital’s share equal to one-third at a capital-output ratio of three. The capital share in general is
$$\frac{\partial F(K, N)}{\partial K} \cdot \left(\frac{K}{Y}\right) = \omega (K/Y)^{1-\nu}.$$
With $\nu = 1$, the capital share is one-third when $\omega = 1/3$. With other values of $\nu$, we adjust $\omega$ appropriately. The interest rate is the marginal product of capital minus depreciation:
$$r_t = \omega (K_t/Y_t)^{-\nu} - \delta.$$
Evaluated at a steady state with $K_t/Y_t =$ and $\nu = 1$, we have $r = 0.0511$.
A typical household’s problem includes the interest rate and labor income as inputs and generates paths for consumption and net worth. We choose labor efficiencies $e_{it} = 1$ for agents of working age and zero otherwise. Working age starts at age $I_w = 21$ and ends at retirement age $I_r = 65$. Finally, we set $\sigma = 1$ (log utility) and choose $\beta$ to match the steady state ratio of aggregate net worth to output of three. Since net worth and the capital stock are the same, net foreign assets is zero in the benchmark case.
4.2 Steady states
The interaction between the supply of capital by households and the demand for it by firms takes its cleanest form in a steady state, where we can capture its properties in a supply-and-demand diagram.
Demand is relatively simple. The demand for capital comes from the first-order condition (6). If we express capital as a ratio to output, the inverse demand function is equation (9). This equation holds at every date, as well as in a steady state.
Supply requires calculations that go beyond what we can show in an equation or two. But suppose we have a steady state age distribution for the population. Then we can compute the ratio of aggregate net worth to output for any constant interest rate. The overlapping generations structure is essential here. In a representative agent model, supply in a steady state is horizontal at the discount rate \((1 - \beta)/\beta\). Here there is some slope, which depends on intertemporal elasticity.
The results of these two sets of calculations are pictured in Figure 13. The downward-sloping line is demand, the upward-sloping one is supply. They cross by design at our steady state point: \(K/Y = A/Y = 3\) and \(r = 0.0511\). We show two examples of each. The solid downward-sloping line is the demand curve for \(\nu = 2/3\) and the dashed line the demand curve for \(\nu = 3/2\). As we might guess from (9), the line is flatter when \(\nu\) is smaller. The supply curves depend in a less obvious way on household decisions, but they have a similar form. The solid line corresponds to \(\sigma = 1/2\) and the dashed line to \(\sigma = 2\). Evidently the line gets flatter as we increase \(\sigma\). In what follows, we compute steady states for the intermediate values \(\nu = \sigma = 1\) (log utility and Cobb-Douglas production).
Now consider an increase in life expectancy on the steady state from 65 to 80. That doesn’t change the demand for capital, because life expectancy has no impact on the marginal product of capital. It does change the supply of capital. As we see in Figure 14, an increase in life expectancy increases the supply of capital. In a closed economy, we get an increase in the capital-output ratio and a decline in the interest rate. These effects of aging are well-known features of OG models. Here the impact combines two effects. One is a composition effect: we have more households at ages associated with high net worth. The other is that households have more wealth at all ages. The mechanism is one noted by
Bloom, Canning, and Graham (2003): with longer life expectancy, households save more. We see this in Figure 15, where net worth rises at most ages. The dashed line in the figure shows the effect of the composition effect alone: we fix net worth at all ages but change the age distribution. We see that this is a small part — less than ten percent — of the shift in supply.
In an open economy facing a fixed interest rate, the impact of increased life expectancy falls entirely on aggregate net worth. The demand for capital, and therefore the capital-output ratio, doesn’t change, but with aggregate net worth rising, the result is a positive steady state net foreign asset position. If we take a general equilibrium perspective, we might imagine a world with two countries, one with longer life expectancy than the other. The equilibrium interest rate will split the difference, leading the country with longer life expectancy to lend to the other — forever, if this situation continues.
[Things to try: change retirement age, connect stocks to flows.]
5 Country dynamics
We now compute time paths for net foreign assets and other variables for our four countries. In each case, we feed in an interest rate path based loosely on the findings of other work: the interest rate declines steadily from about 2000 to 2020. That is, as we’ve seen, the likely impact of increases in life expectancy worldwide.
The other parameters are similar to those in our steady state calculations. We use log utility \((\sigma = 1)\) and a Cobb-Douglas production function \((\nu = 1)\). The discount factor is chosen to match steady state net worth for a benchmark economy and is the same in all countries.
The differences are in the demographics. We take mortality rates from the WHO’s *Global Health Observatory* and update them using equation (8), with the shift \(z_t\) chosen to match reported life expectancy. This gives us the survival probabilities that enter household consumption and saving decisions. Since mortality rates change with time, every generation has different ones. The age distributions are adapted from the UN’s *World Population Prospects*. They report distributions every five years from 1950 to 2100 for five-year cohorts. We interpolate them to get annual numbers.
The last input is the initial values of household asset positions. We compute initial asset positions from their steady state values. From that point on, asset positions are computed recursively, starting in 1950. We report capital stocks and flows starting in 1980, with the hope that the effect of the initial conditions has worn off.
5.1 The United States and Japan
We see the results of this effort in Figure 17, where we plot capital flows for the US and Japan for the period 1980 to 2040. The paths are broadly similar to what we saw in Figure 1 for the last three decades, with the US experiencing capital inflows and Japan capital outflows. The difference between the two, in the model, is due entirely to demography. Obviously other factors have an influence, too, but this suggests that demography isn’t a bad starting point.
We also see that Japan’s three decades of capital outflows is projected to turn around over the next twenty years.
[We need to figure out why these lines are changing — what are the key demographic inputs?]
One issue for Japan is that its capital-output ratio has risen significantly over the last twenty years; see Figure 10. That’s inconsistent with our model unless either Japan has a different technology or faces, for some reason, a different interest rate than the other countries. This increase in capital tends to offset what would otherwise be an even larger increase in net foreign assets.
5.2 Germany
[coming]
5.3 China
[coming]
The challenge for China is accounting for its sky-high saving rate. We’ve seen that the capital-output ratio isn’t out of line, but it strikes us an unlikely that a model of this sort will explain what others have failed to explain. But see, among others, Chamon and Prasad (2010), Coeurdacier, Guibaud, and Jin (2013), Wei and Zhang (2011), and Yang, Zhang, and Zhou (2010).
6 Final thoughts
Things to consider:
- Surprises in life expectancy. The evidence suggests that experts have consistently underestimated life expectancy. Should we build something like that into the model?
- Intergenerational transfers. Examples include social security and the Norwegian petroleum fund (NBIM). They should affect saving decisions of all the generations affected, hence capital flows.
- China. Why is saving so high? Why does a large fraction of GDP not show up as private income? Could this work like intergenerational redistribution toward the future?
References
Attanasio, Orazio, Sagiri Kitao, and Giovanni Violante, 2007, “Global demographic trends and social security reform,” *Journal of Monetary Economics* 54, 144-198.
Bloom, David, David Canning, and Bryan Graham, 2007, “Longevity Demographic change, social security systems, and savings,” *Journal of Monetary Economics* 54, 92-114.
Boersch-Supan, Axel, Alexander Ludwig, and Joachim Winter, 2006, “Ageing, pension reform and capital flows: A multi-country study,” *Economica* 73, 625-658.
Bongaarts, John, 2004, “Population aging and the rising cost of public pensions,” *Population and Development Review* 30, 1-23.
Bordo, Michael, 2002, “Globalization in historical perspective,” manuscript, Rutgers University.
Brooks, Robin, 2003, “Population aging and global capital flows in a parallel universe,” *IMF Staff Papers* 50, 200-221.
Caballero, Ricardo, Emmanuel Farhi and Pierre-Olivier Gourinchas, 2008, “An equilibrium model of ‘global imbalances’ and low interest rates,” *American Economic Review* 98, 358-393.
Caselli, Francesco, 2005, “Accounting for cross-country income differences,” *Handbook of Economic Growth, volume 1A*, edited by P. Aghio and S.N. Durlauf, Elsevier.
Chamon, Marcos, and Eswar Prasad, 2010, “Why are saving rates of urban households in China rising?” *American Economic Journal: Macroeconomics* 2, 93-130.
Coeurdacier, Nicolas, Stephane Guibaud, and Keyu Jin, 2013, “Credit constraints and growth in a global economy,” manuscript, London School of Economics.
Domeij, David, and Martin Floden, 2006, “Population aging and international capital flows,” *International Economic Review* 47, 1013-1032.
Engel, Charles, and John Rogers, 2006, “The US current account deficit and the expected share of world output,” *Journal of Monetary Economics* 53, 1063-1093.
Feroli, Michael, 2003, “Capital flows among the G7 nations: A demographic perspective,” FEDS Working Paper No. 2003-54.
Ferrero, Andrea, 2010, “A structural decomposition of the US trade balance: Productivity, demographics, and fiscal policy,” *Journal of Monetary Economics* 57, 478-490.
Henriksen, Espen, 2002, “A demographic explanation of US and Japanese current account behavior, manuscript.
Henriksen, Espen, and Frederic Lambert, 2009, “Technology shocks and current account dynamics,” manuscript.
Holz, Carsten, 2006, “New capital estimates for China,” *China Economic Review* 17, 142-
Krueger, Dirk, and Alexander Ludwig, 2007, “On the consequences of demographic change for rates of return to capital, and the distribution of wealth and welfare,” *Journal of Monetary Economics* 54, 49-87.
Lane, Philip, and Gian Maria Milesi-Ferretti, 2007, “The external wealth of nations mark II,” *Journal of International Economics* 73, 223-250.
Hansen, Gary, and Selahattin Imrohoroglu, 2008, “Consumption over the life cycle: The role of annuities,” *Review of Economic Dynamics* 11, 566-583.
Lee, Ronald, and Lawrence Carter, 1992, “Modeling and forecasting US mortality,” *Journal of the American Statistical Association* 87, 659-671.
Lee, Ronald, and Timothy Miller, 2001, “Evaluating the performance of the Lee-Carter method for forecasting mortality,” *Demography* 38, 537-549.
Ohanian, Lee and Mark Wright, 2010, “Capital flows and macroeconomic performance: lessons from the golden era of international finance,” *American Economic Review: Papers & Proceedings* 100, 6872.
Rios-Rull, Jose-Victor, 2001, “Population changes and capital accumulation: The aging of the baby boom,” *Advances in Macroeconomics* 1, article 7.
Song, Zheng Michael and Dennis Tao Yang, 2010, “Life-cycle earnings and the rise in household saving in China,” manuscript, Chinese University of Hong Kong.
Wei, Shang-Jin, and X. Zhang, 2011, “The competitive saving motive: evidence from rising sex ratios and savings rates in China,” *Journal of Political Economy* 119, 511-564.
Yaari, Menahem, 1965, “Uncertain lifetime, life insurance, and the theory of the consumer,” *Review of Economic Studies* 32, 137-150.
Yang, Dennis Tao, Junsen Zhang, and Shaojie Zhou, 2010, “Why are saving rates so high in China?” manuscript, Hong Kong Institute for Monetary Research.
Current account balances
Source: IMF, World Economic Outlook, April 2013
Net foreign asset positions
Source: Lane and Milesi–Ferretti
Age distributions of populations
Source: United Nations, Population Estimates and Projections
Life expectancy at birth
Source: UN, World Population Prospects, 2010 revision
Changes in mortality rates
Source: WHO, Global Health Observatory
Mortality by age: estimates for 2011
Source: WHO, Global Health Observatory
Old-age dependency: population 65 and over to 20-64
Source: UN, World Population Prospects, 2010 revision
Fertility by age: estimates for 2005-2010
Source: UN, World Population Prospects, 2010 revision
Effective retirement ages
Source: OECD, Average Effective Age of Retirement
Figure 10
Capital-output ratios
Source: Penn World Table and authors calculations
Figure 11
Representative survival probabilities
- Life expectancy at birth: 60 years
- Life expectancy at birth: 70 years
- Life expectancy at birth: 80 years
Figure 12
Representative stationary age distributions
Stationary relative cohort sizes
Age
- Life expectancy at birth: 60 years
- Life expectancy at birth: 70 years
- Life expectancy at birth: 80 years
Figure 13
Steady state supply and demand for capital
Capital/wealth-to-output ratio
Marginal product of capital net of depreciation
Supply of capital: sigma = 0.5
Supply of capital: sigma = 2.0
Demand for capital: nu = 1.50
Demand for capital: nu = 0.67
Figure 14
Life expectancy and the steady state supply and demand for capital
Capital/wealth-to-output ratio
Marginal product of capital net of depreciation
Supply capital: life exp. 65y, cohorts 65y
Supply capital: life exp. 65y, cohorts 80y
Demand for capital
Supply capital: life exp. 80y, cohorts 80y
Figure 15
Steady state net worth by age
- Life expectancy at birth: 60 years
- Life expectancy at birth: 70 years
- Life expectancy at birth: 80 years
Net Worth
Age
Figure 16
Dynamics of capital flows in the model with constant interest rate
Net-foreign-assets-to-output ratios
-2 -1 0 1 2 3 4
1960 1980 2000 2020 2040
China
Germany
Japan
United States
Figure 17
Dynamics of capital flows in the model
d NFA/Y
Japan
United States
1980 1990 2000 2010 2020 2030 2040
|
Toward Understanding “A Dialectical Theory of Everything”
A General Summary of Theory, Purpose, Application
About this document: a self-tutorial
Since my teen years, this mathematician/human has sought a way to give mathematical structure to ideas, concepts, beliefs, etc., under a “more humane way of thinking/acting” (a better “logic”). Soon after discovering “A Dialectical Theory of Everything,” I recognized its depth and beauty, its comprehensiveness and applications, and its potential to assist in Mankind’s growth, especially in the peaceful ways sought / mandated by its founders. This theory provided an “Answer” to my search, and this model has become a real Joy to me (as it may be to You).
In seeking to understand the theory and application from all the information provided, I began this document as an attempt to clarify the concepts to myself and any interested others (perhaps via a website). This document is an independent effort, dedicated to providing information about this new worldview, in language that, I hope, speaks to a wide audience. The worldview, or dialectical model, that has been developed by Foundation Encyclopedia Dialectica [F.E.D. section], might be called a “Dialectical Theory of Everything,” in that it encompasses virtually every aspect of our Universe: cosmological natural history as a whole, including human history, science, philosophy, etc. The Foundation’s stated goal is to communicate this model/methodology through various channels, and to encourage its application. This document is an attempt to serve that goal, in ways the author deems appropriate.
As a basis for “self-tutorial,” the Background and Summary/Items sections below are intended to give the reader (or student) sufficient grounding in the theory so as to be able to continue his/her own research/use of the model. Only after understanding the Summary/Items [1-12], do I recommend accessing the guideline URL’s (indicated by [Refxx]) given in the [References] section below. The [Quick Primer] section at the end may also aid the reader “come up to speed” quickly with the key concepts of the theory.
Note: This author (not F.E.D.) is solely responsible for any “errors of understanding” in presenting the theory.
About F.E.D.
F.E.D., or Foundation Encyclopedia Dialectica, is a private, independent organization, established for the purpose of developing methodologies which may greatly assist HumanKind, in terms of both human survival and human flourishing. Its stated goal is to communicate these methodologies through various channels, and to encourage their application to understanding/resolving a vast variety of human and scientific issues.
Towards this goal, F.E.D. extends an “Omni-Copyright” to anyone seeking to use its methodologies, and also refuses to accept any “profit” (in financial terms, or in terms of intellectual credit, etc.) or “outside gifts” in return for its efforts, other than the revenues from sales of its books/media to cover its production costs. Much of the F.E.D. literature is available for free download from two websites. [Ref Z]
Note: F.E.D. has offered interpretations of its models, including some which have economic and political implications, resulting in its advocacy of views/beliefs on how best to proceed economically and politically. These views are not explored here, since this document is dedicated to explaining this new methodology and to encouraging its use, without bias.
Background
The dialectical model stems from F.E.D.’s intensive and extensive research into human thought and history, especially that of the ancient Greek philosophers Heraclitus, Pythagoras and Plato. The latter two valued the role of “Number,” not only in its widely-understood quantitative sense, but in a qualitative sense in which a “different kind of number” reflects universal ideas and the [self]-interactions of those ideas. The mutual and self-interaction of such “quality numbers” or “qualifiers” on themselves produces a qualitative expansion of the universe of ideas as its natural effect. This self-repeated [self]-interaction (dialectic) is seen as responsible for all growth and progress. A dialectical process is “self-correcting” in that its results are continually fed back into itself and re-adjusted / re-evaluated. Plato’s contention is that real knowledge can be obtained, and sustained, only by continual dialogue / dialectic.
Disclaimer: This document is an attempt to present the F.E.D. dialectical model in ways the author deems appropriate. It has been created as the author’s attempt to learn that dialectical theory and to share his learning with interested others. As such, it may be reproduced and published elsewhere, including by F.E.D. if it so wishes. I thank any/all for their help, but I alone am responsible for its accuracy. – Joy-to-You (May, 2012)
Most crucially to me, this theory goes beyond the Boolean logic of true/false, i.e. a logic which preserves the current system (when that system $S$ interacts with itself): $S \times S = S$, and which implies only “all or nothing” like possibilities: $\{1, 0\}$. In essence, any system based on Boolean logic can’t lead us to any Newness ($S \times S = S$) beyond its Oldness ($S$). It represents a narrow true/false logic that is great for designing airplanes and electrical circuits, but not-so-great for showing us how to “think out of that ‘Old’ [0/1] box!” Needed is a “contra-Boolean logic” to show us how to think/act in a richer, more inclusive way! And this is what the F.E.D. model provides and helps us to do.
In this spirit of dialog and a more-inclusive way, this theory/model is offered for your consideration and use.
**Terminology Used**
F.E.D. has developed its own language: Special technical terms and other neologisms for communicating (describing) the worldview embodied in its model. Such terms are often “dense with meaning,” and are meant to convey both etymological history as well as a healthy interplay of ideas. It is through such “neologisms” that new, deeper meaning is conveyed. [This document will use these neologisms only where they are essential to convey meaning that cannot otherwise be conveyed.] If the reader finds the terms difficult [when viewing F.E.D. documents], we recommend that he/she patiently “glance over” such terms – reading for the real content expressed or implied. Your patience will most likely be rewarded with a truly new and remarkable worldview! [Ref-T]
*Example:* As a contraction of “event” and “entity”, the term “eventity” is used (perhaps first by Prof. Archie J. Bahm in his 1976 book, *Polarity, Dialectic and Organicity*). This use is not meant to be cute, but rather to convey how process (verb) and subject/object (noun) can be thought of as one “eventity” which possesses subject-verb-object relationships, thereby suggesting/defining a new manner of perceiving and/or thinking.
**Summary: A Brief Look at the Model**
Out of a concern regarding the limitations of the existing discourse and progress in which mankind is presently engaged, F.E.D. has documented (critiqued) several issues in our existing mathematics, science, philosophy, history, politics, economics, etc., that it contends constitute a “barrier” to the further progress that it considers desirable. [Ref-S1]
Its critique in this regard constitutes not an “external” one, based upon criteria which are foreign to those fields, but a dialectical one, i.e., an “immanent” critique, a critique internal to a given system’s own self-view, that leads to the self-view of a richer system, as in what the Foundation calls “The Goedelian Dialectic”. [Ref-S2]
Having carefully researched the philosophies of the ancient Greeks, *et al.*, the theory’s founders have resurrected Plato’s principle of dialog and dialectic, and have rediscovered a form of his “idea numbers”. More recently, the dialectic principles offered by the “early modern” German philosopher G. W. F. Hegel (early 1800s) suggest that a given Thesis gives rise to its AntiThesis, which together interact to form a SynThesis, which then constitutes a NewThesis on the next-richer level of concreteness. [Such “levels” are referred to as “fractal scales.”] Hegel further mentions an *aufheben* process by which the original thesis/idea is not only 1) “conserved”, 2) “negated, canceled, or annulled”, but also 3) “elevated” into a new resulting thesis. These principles serve as the basis for the model, which has been rigorously mathematically-formulated in F.E.D. publications, and is interpreted below. [Ref-S3]
**Summary Items (1–12):**
1. **The Fundamental Equation of the Dialectic: Qualitatively [Self-]Expanding Universes of Discourse**
The model first considers a given initial finite set or system, $S_0$, based upon a “Universe of Discourse”, or initial “Universal Set” of [non-set] “logical elements”, $U$ ($S_0 = 2^U$, the “set of all subsets” of $U$), and the notion of $S_0$ interacting with itself (“dialoguing with itself”, if you will). This interaction is defined by a “multiplication” ($\times$) operation as $S_0 \times S_0$ ( $S_0$ “of” $S_0$ ). Under the dialectic principle, this $S_0 \times S_0$ product is not only the same system $2^U$ again, but that system $S_0$ plus a key added qualitative, ontological increment to that system: $\text{delta}(S_0)$, forming the new system: $S_1 = S_0 + \text{delta}(S_0)$. Thus, the *Fundamental Equation of the Dialectic* for any growth-stage (“epoch” t) is:
$$S_{t+1} := S_t \times S_t = S_t + \text{delta}(S_t).$$
Thus, Boolean logic (represented by $S \times S = S$) is “conserved” via the $S_t$ term of “$S_t + \text{delta}(S_t)$”, but that “logic of $S_t$” is also “annulled” and “elevated” by the $\text{delta}(S_t)$ term. The reconciliation of Old ($S_t$) and the implied Newness ($\text{delta}(S_t)$) is accomplished in their sum: $S_t + \text{delta}(S_t)$”, which represents the New system ($S_{t+1}$).
**Disclosure:** This document is an attempt to present the F.E.D. dialectical model in ways the author deems appropriate. It has been created as the author’s attempt to learn that dialectical theory and to share his learning with interested others. As such, it may be reproduced and published elsewhere, including by F.E.D. if it so wishes. I thank any/all for their help, but I alone am responsible for its accuracy. – *Joy-to-You (May, 2012)*
(This reconciliation process employs Hegel’s Thesis × Anti-Thesis ≡ Thesis + Anti-Thesis + Syn-Thesis notion and his general aufheben process.) The underlined $\mathbb{S}_1$ signifies a “quality number”, i.e., it exhibits the “trans-Boolean” characteristic ($\mathbb{S} \times \mathbb{S} = \mathbb{S} + \text{delta}(\mathbb{S})$, where $\text{delta}(\mathbb{S})$ is not null); while the underlined $\text{delta}(\mathbb{S}_1)$ signifies a qualitative increment -- an increment of ontology (“kind of being”) of a new kind – but still derived from the initial $\mathbb{S}_0 = 2^{\mathbb{U}}$. [Ref-01]
2. **New Kinds of Numbers to Model Expanding Ontologies**
Here, the words “ontology” or “ontological” refer to “kinds of being.” In order to capture or contain “the (ontological) qualities or ideas of such an expanding universe of discourse”, a new set of “generalized numbers” is postulated by F.E.D. Such numbers are referred to as “ontological qualifiers”, or as “quality numbers” by this author. The set or space of such qualifiers is:
$$\mathbb{NQ} := \{ q_1, q_2, q_3, \ldots \},$$
(“:=” denotes “is equal to by definition”) which corresponds to the Natural Numbers, $\mathbb{N} := \{ 1, 2, 3, \ldots \}$. Each such qualifier behaves more like a “set of qualities/ideas/beliefs/etc.:” rather than like a single “element of a given quality”. Just as $\mathbb{N}$ is a general set of symbols that can be applied to quantities of any specific kind of object (e.g., apples), $\mathbb{NQ}$ is a general set of symbols that can be applied to the defining quality (ontology) of any specific kind of object, or subject of discourse (e.g., qualities of/ideas of/beliefs about apples). [Ref-02]
3. **Name for these new numbers: The Meta-Natural Meta-Numbers**
Because these “quality numbers” correspond to the Natural Numbers but are beyond them in that they account for qualitative matters only, $\mathbb{NQ}$ is referred to as the space of Meta-Natural Meta-Numbers.
*Notes:* Plato’s term «Arithmoi Eidetikoi» literally translates as “Numbers of Idea Units”, wherein «Arithmoi» translates as “Assemblages” [of qualitative Ideas-as-Units]. Therefore, “quality numbers” represents this author’s attempt to capture this meaning. [Ref-03]
4. **These New Kinds of Numbers are “Purely-Qualitative” (unaddible)**
Since adding the same quality to itself does not change that quality (as in set-union), each such qualifier has this simple “non-additive property”:
$$q_n + q_n := q_n \quad \text{for any } q_n \text{ in } \mathbb{NQ}$$
but the sum of two different qualifiers $q_m + q_n$ exists but is not in $\mathbb{NQ}$ whenever $m$ is not $n$. Any two distinct qualifiers are *not quantitatively comparable* to one another. However, within $\mathbb{NQ}$ there is the *total quality ordering* in which two distinct qualifiers are always considered to be *qualitatively comparable*. [Ref-04]
*Note:* F.E.D. asserts an order principle for the $\mathbb{NQ}$, and a “total order relation” for the $\mathbb{NQ}$ sequence, a sequence of increasing qualitative determinateness (here $q_1$ represents greater qualitative “determinateness” than $q_2$, which represents greater qualitative “determinateness” than $q_1$).
5. **The Additive/Multiplicative “Open-ness” of “Open Qualifier Space”**
In $\mathbb{NQ}$, the sum of any two different qualifiers is not another qualifier within the set $\mathbb{NQ}$. Likewise, the product of any two $\mathbb{NQ}$ qualifiers is not in $\mathbb{NQ}$. In the case of either operation, the result goes outside of – beyond – the $\mathbb{NQ}$ space. There is no compelling need for “closure of addition,” nor for “closure of multiplication”. Thus, with the $\mathbb{NQ}$ number system, an “operationally open system” of arithmetic emerges. In short, $\mathbb{NQ}$ keeps us in “pure idea space” (or “Meta-Natural ontologies space”) exclusively, without worry as to its “closure of ideas”. This openness “creates room” (at every stage) for qualitative, ontological increments of new ideas to emerge from the interactions among already existing ideas! This open space, I call “Open Qualifier Space”. [Ref-05]
*Note:* “Open Qualifier Space” is somewhat analogous to the Natural Numbers under division: The resulting “open system” produces a different kind of set, the Fractions (Rational Numbers), which is a qualitatively different set from the set of the “whole” Natural numbers. Thus, in Open Qualifier Space, whenever an idea-sum occurs, we can qualitatively, connotatively (“intension-ally”) “interpret it”, rather than definitively (“extensionally”) “define it”. Such “openness” will be desirable when interpreting the resulting mathematical findings that express “expansions of idea ontology”, or “expansions of physical ontology”.
*Disclosure:* This document is an attempt to present the F.E.D. dialectical model in ways the author deems appropriate. It has been created as the author’s attempt to learn that dialectical theory and to share his learning with interested others. As such, it may be reproduced and published elsewhere, including by F.E.D. if it so wishes. I thank any/all for their help, but I alone am responsible for its accuracy. – *Joy-to-You (May, 2012)*
6. **Ontological Multiplication**
Again, the words “ontology or ontological” refer to “kinds of being” – the “kinds of physical things” and “kinds of ideas” that actually exist in any given epoch \( t \) (the “\( t \)” of the \( S_t \)). The dialectic principle is also reflected by the non-commutative multiplication (“×” interaction) of such “ontological qualifiers” in \( \mathbb{NQ} \) as defined by:
\[
g_m \text{ "of" } g_n: \quad g_m \times g_n := g_n + g_{n,m}
\]
\[
g_n \text{ "of" } g_m: \quad g_n \times g_m := g_m + g_{m,n}
\]
where the \( g_n + g_{n,m} \) sum might be viewed as an “elevation of the \( n \)-ontology by the \( m \)-ontology into the \( (n+m) \)-ontology.” This definition reflects Hegel’s «aufheben» process [Quick Primer section] [Ref-06]
7. **Arithmetic to model “The Goedelian Dialectic”**
In this model, “a [transient] closure of resulting ideas” is implied via a dialectic and interpretation of the resulting products/sums. An important result of logician Kurt Goedel’s completeness/incompleteness theorems of the 1930s is: *If an existing system cannot solve a problem that arises within it, then that system can be expanded to form a larger system in which that problem can be solved.* That larger system will also allow the formulation of new problems, which did not exist for its predecessor systems, but which both exist for it, and which are unsolvable within it, thus giving rise to additional system enlargement, and so on. This continual process of enlargement Goedel famously termed “the inexhaustibility of mathematics.” Thus, the F.E.D. model also embodies a “Goedelian dialectic,” which allows a system to expand qualitatively and “idea ontologically” so that it can solve any of the problems which arise within any of its predecessor systems, but still not some of the problems which arise within it (the new system) for the first time. [Ref-07]
8. **Arithmetic to model the “Autokinesis” of the “Set of All Sets”: delta as “qualo-operator” on \( S_t \)**
The expansion increment \( \delta(S_0) \) was discussed earlier for a “universe-of-discourse” or “universal set” \( U \) such that \( S_0 = 2^U \). But exactly what is this increment? In general, this increment is defined to be all the subsets of \( S_t \) (i.e., “all combinations generated by elements within \( S_t \)”), denoted as \( 2^{S_t} \). *Thus, “delta” is itself a quality-function, or “qualo-operator” on quality-set \( S_t \), which together create delta(\( S_t \)), the power set of \( S_t \).* So, initially, \( \delta(S_0) = 2^{S_0} \) which helps define the next epoch’s (\( t = 1 \)) “set of all discourse”:
\[
S_1 = S_0 \text{ "union" } 2^{S_0}.
\]
[The \( \delta(S_0) = 2^{S_0} \) can be large or small, depending on the nature of the problem(s) to be solved.] \( \delta(S_t) := \) the “set of all subsets of \( S_t \)”: \( 2^{S_t} \), which, when combined with the set for time epoch \( t \), namely \( S_t \), then forms the new system/discourse set \( S_{t+1} \) for the new period (epoch \( t+1 \)). Thus, this general set-content expansion formula serves as *the Fundamental Equation of the Dialectic:* \( S_{t+1} = S_t \text{ union } 2^{S_t} \), or \( S_{t+1} = S_t + \delta(S_t) \), as originally mentioned in Item 1. Each new “\( t \)” represents an attempt to complete the system by obtaining the “set of all sets” (all discourse universes), which can never fully be attained (completed), as explained in the Note below. [Ref-08]
*Note:* This “set of all sets” movement, which is the “extensional” definition of the concept of a “set” itself, is not the result of any external need for content-expansion, but of an “internal” need for such expansion. It is a “self-movement”, or “Autokinesis”. As given in its very name – “the set of ALL sets” – its nature drives its content-expansion (via the \( \delta(\_) = \) “power set” operator), which is therefore a “SELF-expansion”. Any set \( S_t \) always excludes all of its own subsets, including its “improper” subset – itself – so it fails to be “the set of ALL sets”. The move to “\( S_t \text{ union } 2^{S_t} \)” puts the missing sets, \( 2^{S_t} \), “back” into \( S_t \), but that changes \( S_t \) into a new, qualitatively different, qualitatively expanded set, named \( S_{t+1} \), which, again, fails to be “the set of ALL sets”. The qualitatively new subsets that are added in each “try” at the “set of all sets”, \( S_t \), represent the “extensions” of progressively ever more subtle qualities, represented by the elements of \( 2^{S_t} \).
*Disclaimer:* This document is an attempt to present the F.E.D. dialectical model in ways the author deems appropriate. It has been created as the author’s attempt to learn that dialectical theory and to share his learning with interested others. As such, it may be reproduced and published elsewhere, including by F.E.D. if it so wishes. I thank any/all for their help, but I alone am responsible for its accuracy. – *Joy-to-You* (May, 2012)
9. “Meta-Linearity” of “Qualitative Sums”
The Dialectic Equation is saying (assuming) that any ontological value/quality/discourse set $S_t$, interacting with, or reflecting upon, itself, yields itself again, but also plus some “delta”, representing a solution set which “solves” old problems, or creates new “possibilities”, in the t+1 epoch (via set $S_{t+1}$). Thus, the Equation always expresses the $S_t \times S_t = S_t^2$ product as a linear “sum”, or “union”, of qualitatively unequal sets, of “apples” + “oranges” + “pears” + … This process “[meta-]linearizes” the “nonlinear [squaring] interaction: $S_t \times S_t = S_t^2$, into a “qualitative sum”, $S_t + \text{delta}(S_t)$, which serves as the basis for the “self-iterative” algorithm behind F.E.D.’s Mathematics of Dialectics. The prefix “meta-” is used because this linearity is at/on the “level of addition of ontological qualifiers”, rather than on “the level of addition of pure, unqualified quantifiers”. [Ref-09]
10. Breaking through “The Nonlinearity Barrier”
As the Dialectic Equation indicates, the (ontological) product is a linear sum of qualifiers, and this points toward an answer to -- or breakthrough of -- the “Nonlinearity Barrier” which plagues present-day modern science. [Ref-10]
11. Connotational Calculus with an Algorithmic Underpinning
To become specific to a given universe of discourse, the (F.E.D.) dialectical model requires “interpretations” (“assignments”) of the new ontology expansion terms (the delta terms) that result from repeated interaction (multiplication) of the previously-posted sums of ontological qualifiers. It is these interpretations which can make-or-break any such dialectical model’s results in the non-science sphere of discourse. [Ref-11]
12. New Method for Hypothesis-Discovery in the Sciences
However, when this F.E.D. Dialectic approach is applied to “subjects of scientific discourse”, it results in a sweeping new understanding of Science, e.g., from subatomic particles to atoms to molecules, etc. It also results in a new universal taxonomy of the “fractal layers of … sub->species» to «species» to «genus» to super->genos» … etc. (ontological categories), thereby dramatically re-organizing our knowledge of the ontology of the cosmos! All this emerges from successive application “epochs” of the F.E.D. dialectical, “self-iterative” algorithm – rather appropriately called: A Dialectical Theory of Everything”. [Ref-12]
[References] Links to greater detail on each item or topic
Below are URL references to F.E.D. publications which explain each above concept in detail, in “F.E.D. terminology”. We recommend that these URLs be used for self-tutorial only after becoming thoroughly familiar with the Background and Summary Item sections of this document. The reason these links are not placed directly where they are first referenced is: The tutorial asks that the student engage in a conscious “goto to the link”, rather than almost unconsciously clicking on the link immediately after reading the summary item. Unless the viewer attains a good “Overview” understanding first, “clicking on a link” will open him/her to greater detail than is recommended. Thus, the general and tutorial presentation philosophy of this site/document is: See the forest first, understand “the lay of its land,” then study the trees in as much detail as you wish using the “links” provided below.
Also, the reader may wish to study the last section [Quick Primer] on the Math of Dialectics before accessing the links below.
[Ref-T]:
http://point-of-departure.org/Point-Of-Departure/ClarificationsArchive/Eventity/Eventity.htm
[Ref-S1]:
http://www.adventures-in-dialectics.org/Adventures-In-Dialectics/DiaRith/Intro/Dialectical-Ideography_An-Introductory-Letter.htm#The_Nonlinearity_Barrier
[Ref-S2]:
http://www.adventures-in-dialectics.org/Adventures-In-Dialectics/DiaRith/Intro/Dialectical-Ideography_An-Introductory-Letter.htm#Example_0
[Ref-S3]:
http://www.dialectics.org/dialectics/Correspondence_files/Letter17-06JUN2009.pdf
Disclaimer: This document is an attempt to present the F.E.D. dialectical model in ways the author deems appropriate. It has been created as the author’s attempt to learn that dialectical theory and to share his learning with interested others. As such, it may be reproduced and published elsewhere, including by F.E.D. if it so wishes. I thank any/all for their help, but I alone am responsible for its accuracy. – Joy-to-You (May, 2012)
[Ref-01]: Pages 111 through 112 at http://www.dialectics.org/dialectics/Dialectic_Ideography_files/7_Dialectics-Part1c-MetaBrief_OCR.pdf
[Ref-02]: Page I-141 at http://www.dialectics.org/dialectics/Dialectic_Ideography_files/6_Dialectics-Part1c-Briefing_OCR.pdf
[Ref-03]: Pages I-6 through I-10 at http://www.dialectics.org/dialectics/Briefs_files/_Brief2-29JUL2008_OCR.pdf and http://www.adventures-in-dialectics.org/Adventures-In-Dialectics/DiaRith/Intro/Dialectical-Ideography_An-Introductory-Letter.htm#The_Dialectic_According_to_Plato and http://www.dialectics.org/dialectics/Glossary_files/F.E.D.%20A%20Dialectical%20%27%27Theory%20of%20Everything%27%27%20Volume%200.%20FOUNDATIONS,%20Edition%201.00,%20first%20published%2010DEC2011,%20last%20updated%2017AUG2011,%20Definition,%20ARCHIVE%27.%20JPEG_1.jpg
[Ref-04]: Page 111 at http://www.dialectics.org/dialectics/Dialectic_Ideography_files/7_Dialectics-Part1c-MetaBrief_OCR.pdf
[Ref-05]: Page I-148 at http://www.dialectics.org/dialectics/Dialectic_Ideography_files/6_Dialectics-Part1c-Briefing_OCR.pdf
[Ref-06]: Page I-145 at http://www.dialectics.org/dialectics/Dialectic_Ideography_files/6_Dialectics-Part1c-Briefing_OCR.pdf
[Ref-07]: http://www.adventures-in-dialectics.org/Adventures-In-Dialectics/DiaRith/Intro/Dialectical-Ideography_An-Introductory-Letter.htm#Example_0
[Ref-08]: http://www.adventures-in-dialectics.org/Adventures-In-Dialectics/DiaRith/Intro/Dialectical-Ideography_An-Introductory-Letter.htm#The_Dialectic_of_Set_Theory
[Ref-09]: http://www.adventures-in-dialectics.org/Adventures-In-Dialectics/DiaRith/Intro/Dialectical-Ideography_An-Introductory-Letter.htm#An_Ideography_for_Example_5
[Ref-10]: http://www.dialectics.org/dialectics/Correspondence_files/Letter24-22JFEB2010.pdf
[Ref-11]: Page 1 at http://www.dialectics.org/dialectics/Briefs_files/_Brief1-29JUL2008_OCR.pdf
[Ref-12]: Pages B-7 through B-37 at http://www.dialectics.org/dialectics/Primer_files/4_F.E.D.%20Intro.%20Letter.%20Supplement%20B-1.%20v_2_OCR.pdf
[Ref-Z]: Two websites offering F.E.D. texts for free download are -- www.dialectics.org (includes blogs and outside correspondence) and www.adventures-in-dialectics.org (includes blogs and detailed documents presenting F.E.D. concepts)
Disclaimer: This document is an attempt to present the F.E.D. dialectical model in ways the author deems appropriate. It has been created as the author’s attempt to learn that dialectical theory and to share his learning with interested others. As such, it may be reproduced and published elsewhere, including by F.E.D. if it so wishes. I thank any/all for their help, but I alone am responsible for its accuracy. – Joy-to-You (May, 2012)
[Quick Primer] on the Math of Dialectics
This section is an attempt to provide a quick background on the math of dialectics, as currently understood by this author: **a)** the “Meta-Naturals” set of increasing ontologies, \( \mathbb{Q} := \{ q_1, q_2, ..., q_n \} \), **b)** the ontological multiplication of elements in this set, and **c)** some applications of the theory.
In \( \mathbb{N} := \{ 1, 2, 3, ... \} \), \( <1><n \) times” generates any \( n \), but \( (1x) \) generates only itself. In \( \mathbb{N} \mathbb{Q}, <q_1> \) generates only itself, but quite significantly, \( <q_1> \times <n> \) times” generates the “\( n \)-th Cumulum”, \( C_n := (q_1)^n = q_1 + q_2 + ... + q_n \). Using this result, it is possible to show an “isomorphic” correspondence between the Naturals (under +) and “Cumula space” (as I call it) under multiplication (\( \times \)) of cumula. Let \( h(n) := (q_1)^n := C_n \), then \( C_n \times C_m = C_{n+m} \), or \( h(n+m) = (q_1)^{n+m} = (q_1)^n \times (q_1)^m = h(n) \times h(m) \), which makes \( h(n) = (q_1)^n \) quite analogous to “\( e^{\exp(n)} = e^n \)” in the Reals: \( e^{n+m} = e^n \times e^m \), and the “Cum” or “Sum” notion is analogous to “Integration” (in the Reals) as Note’d below [for \( \mathbb{N} \mathbb{Q} & \mathbb{Q} \), s.t. \( \mathbb{W} := \{ 0, 1, 2, ... \} \) & \( \mathbb{Z} := \{ ..., -2, -1, \pm 0, +1, +2, ... \} \)], in the advanced “Special Note”.
**Special Note**: In one key sense, “\( q_i \)” is like a “qualitative e\(^x\)”, where \( e^x := \exp(x) \) quantitatively! Map \( h : \mathbb{W} \rightarrow \{ \mathbb{N} \mathbb{Q} \text{ Cumula} \} \), where \( h(w) = (q_1)^w = C_w \) means that the cumulum “sum[marize]s all ontologies from \( q_0 \) to \( q_w \)”. This seems analogous to integrating the quantitative function \( \exp(x) \) over the interval \([0, n]\) (epochs 0 to \( n \)), where \( \int \exp(x)dx \) [from \( t = 0 \) to \( n \)] “sums up” (is the “cumulative result” of) all historical (exponential) growth during those epochs! So, “in sum”, on \([t = 0, n]\), in *quantitative space*: \( e^t = e^0 + e^1 + e^2 + ... \) in *qualitative space*: \( (q_1)^n = (q_1)^0 + \sum_{z=0}^{n-1} q_z \) with \( z \) signing *non-amalgamative* summing, and given that, for \( \neq 0 \) \( \mathbb{Q} \), \( (q_1)^0 = (q_1/q_1) = q_1 \times q_1 = (q_0/q_1) \times (q_1/q_1) = q_1^{-1} \times q_1^{-1} = -q_1 \times q_1 = q_0 = q_1 + q_1 + q_1 + q_1 + q_0 + q_0 \) to \( q_0 \), by the more symmetric, “meta-genealogical product rule”: \( q_1 \times q_2 := q_1 + q_2 + q_{z+1} \), for \( z, z_2 \in \mathbb{Z} \).
Interestingly, \( \mathbb{N} \mathbb{Q} \) is neither closed under + nor \( \times \). Any \( q_n + q_m = q_{n+m} \), but when \( m \) is not \( n \), \( q_n + q_m \) is NOT in \( \mathbb{N} \mathbb{Q} \), since these are “unaddable numbers” (Plato) or “non-amalgamative” sums (Musès), i.e., *ontologies don’t really mix*, instead one is usually “subsumed” by another, as the defined multiplication indicates:
\( q_n \) “of” \( q_m := q_m \times q_n := q_n + q_{n+m} \).
This multiplication represents the “aufheben” process suggested by Hegel, where ontology \( q_n \) (thesis) is **1)** “preserved or conserved” via “\( q_n + \)” and **2)** “negated/cancelled” as \( q_n \) is subsumed by \( + \), and **3)** “elevated” to \( q_{n+m} \) by the antithesis (\( q_m \)) to form the synthesis, or new thesis (product/sum): \( q_n + q_{n+m} \). (*At least this is “close”.*)
Any universe of sets \( 2^\mathbb{U} = \mathbb{S}_0 \) (ontology) acting on itself under an Hegelian (and Goedelian) Dialectic is said to obey *the Fundamental Equation of the Dialectic* (“the F.E.D.”):
\[
\mathbb{S}_{i+1} := \mathbb{S}_i \times \mathbb{S}_i = \mathbb{S}_i + \deltaelta(\mathbb{S}_i), \text{ or}
\]
\[
\mathbb{S}_{\text{now}} := \mathbb{S}_{\text{now}} \times \mathbb{S}_{\text{now}} = \mathbb{S}_{\text{now}} + \deltaelta(\mathbb{S}_{\text{now}}).
\]
Thus, the \( \deltaelta(\mathbb{S}_{\text{now}}) \) is the “elevation” to the new ontology (\( \mathbb{S}_{\text{now}} \)), which, subsumed with the existing \( \mathbb{S}_{\text{now}} \), forms the new thesis \( \mathbb{S}_{\text{now}} \). The \( \deltaelta(\mathbb{S}_{\text{now}}) \) also represents the “power set” of \( \mathbb{S}_{\text{now}} \), which represents a new framework or possibilities for solutions to problems within \( \mathbb{S}_{\text{now}} \) that are not solvable within \( \mathbb{S}_{\text{now}} \). \( \mathbb{S}_{\text{now}} \) union \( \deltaelta(\mathbb{S}_{\text{now}}) \), or \( \mathbb{S}_{\text{now}} + \deltaelta(\mathbb{S}_{\text{now}}) \), represents including Goedel’s next higher “logical type” which permits solution of the unsolvable problem in \( \mathbb{S}_{\text{now}} \). Thus, “\( \deltaelta \)” is itself a quality-function, or “quado-operator” on quality set \( \mathbb{S}_i \), which together creates \( \deltaelta(\mathbb{S}_i) \), the power set of \( \mathbb{S}_i \). So, \( \deltaelta(\mathbb{S}_i) := \) the “set of all subsets of \( \mathbb{S}_i \)” = \( 2^{\mathbb{S}_i} \).
The “+” represents a “meta-linear” addition (to the next/subsuming ontological level of “epoch \( t \)”). This is a “linearization” of \( \mathbb{S} \times \mathbb{S} \) that embryonically solves the “Non-Linearity Barrier”, which the Foundation contends is an obstacle to growth not only in Science, but to growth in our Civilization in general.
Under Boolean logic in “Quantitative” space, \( \mathbb{S} \times \mathbb{S} = \mathbb{S} \), with no non-zero delta term, and our solution set is only the Boolean possibilities: \( \{ 0, 1 \} \) since \( S(1-S) = 0 \). *In essence, Boolean logic represents a narrow true/false logic that is great for designing airplanes and electrical circuits, but not-so-great for showing us how to “think out of that [0/1] box.” We need a “contra-Boolean logic” to show us how to think in a richer, more inclusive way!*
*Disclaimer:* This document is an attempt to present the F.E.D. dialectical model in ways the author deems appropriate. It has been created as the author’s attempt to learn that dialectical theory and to share his learning with interested others. As such, it may be reproduced and published elsewhere, including by F.E.D. if it so wishes. I thank any/all for their help, but I alone am responsible for its accuracy. – *Joy-to-You (May, 2012)*
With the **delta** increment or “operator on the ontology (S₁)” in open “Qualifier” space, this non-zero increment yields a “contra-Boolean” solution set, thus posits a “contra-Boolean logic”.
*Note:* By way of contrast, in Lawlor’s book, *Sacred Geometry*, he mentions the equation for the Golden Mean: $x^2 = x + 1$, where that Mean (“reconciler”) is seen as a kind of universal growth factor. There, only a constant “positive unity delta” (+1) exists, so the non-Boolean “linearized” alternative suffers from a “constant”
**delta(x) = 1**, which in no way depends on the limitations imposed within the system (since “1” is a constant).
Thus, applying this methodology to the ontological development of math systems, we might start with $S_1 := g_1 := \{\text{the ontology of the Natural numbers}\}$, then $S_1 \times S_1 = (g_1)^2 = g_1 + g_2$, where $g_2 = \{\text{idea-ontology solving } x + n = n\} = \text{ontologies up to the Whole Numbers}$. Then $(g_1)^3 = g_1 \times (g_1 + g_2) = C_1 \times C_2 = C_{1+2} = C_3 = \text{idea-ontologies up to the Integers}. (g_1)^4 = g_1 + g_2 + g_3 + g_4 = C_4 = \text{idea-ontologies up the Rational Numbers}, \text{ etc. The succeeding ideas-system (idea-ontology) solves what is unsolvable in the previous ideas-system (idea-ontology)}!
Finally, we apply this methodology to our Quantum World of $q_1 = \{\text{subatomic particles physio-ontology}\}$. Then $(q_1)^2 = \text{cumulum up to \{atomic particles physio-ontology\}}, (q_1)^3 = \text{cumulum up to \{molecules physio-ontology\}}, \text{ etc.}$
Oh, one more interesting notion. Expand $nQ$ via a $q_k$ where $q_0 + q_k = q_k$ for any $k$ in $\mathbb{N}$. Then $q_0 = \text{id}(+)$, the additive identity. And, surprisingly: $q_0 = \text{id}(\times)$, the multiplicative identity, also! This would be impossible in any non-trivial algebraic field, but is quite possible in ontological qualifier space!
That’s what I love about this space -- *It lets the “Impossible” scream loudly: “I’m Possible!”* And, of course, the Complex numbers were founded under a counter-thesis to the impossibility of an $x$ (in the Reals) such that $x^2 = -1$. It was then that “little F” screamed: “I am!” and (happily for us all) she was heard!
-- Joy-to-You (May, 2012)
*Disclaimer:* This document is an attempt to present the F.E.D. dialectical model in ways the author deems appropriate. It has been created as the author’s attempt to learn that dialectical theory and to share his learning with interested others. As such, it may be reproduced and published elsewhere, including by F.E.D. if it so wishes. I thank any/all for their help, but I alone am responsible for its accuracy. – Joy-to-You (May, 2012)
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RUSSIAN-ISRAELI RELATIONS:
THE ROLE OF THE RUSSIAN-SPEAKING COMMUNITY
OF THE STATE OF ISRAEL
T.D. Moshkova
Saint Petersburg State University, Saint Petersburg, Russian Federation
Abstract. The article is devoted to the study of the large and actively developing community of Israel — the “Russian street” — and its influence on the relations between Israel and Russia. The author considers such aspects of the topic as: the differences of the “Great Aliyah” of the 1990’s from the first wave of repatriation of the 1970’s and the factors that formed the unique “Russian-Jewish” identity among the representatives of the “Russian street”, the political and economic potential of “Russian Israel”, the main areas of cooperation between the two states and the role of the “Russian” community in this cooperation. A specific feature of the work is the use of the hermeneutic approach which is expressed in the author’s desire to comprehend the unique identity of a specific cultural community and to identify a number of factors that have decisively influenced the formation of a unique identity of such a community in a specific historical period. The author also resorts to general scientific procedures and operations, such as analysis and synthesis, inductive and deductive methods. The scientific novelty of the research is the author’s attempt to give a forecast concerning the possibility of forming a pro-Russian economic lobby among Israeli businessmen in the future as well as a forecast concerning the return of our former compatriots to Russia with the goal of developing the domestic high-tech industry. The main conclusion of the study is the following: if politically the community does not have a decisive influence on the actions of the Israeli authorities, then economically, it unequivocally contributes to strengthening economic ties between Israel and Russia. Russia’s initiatives to develop various forms of economic, cultural and media cooperation can give impetus to the growth of the influence of the Russian-speaking community.
Key words: aliyah, lobby, repatriates, the Russian street, The State of Israel, Russia-Israel cooperation
The problem of migration processes related to the State of Israel seems to be relevant, since Israel, in fact, is a country built by repatriates. Since the establishment of the State, about three million people of Jewish descent from eighty countries of the world have made repatriation\(^1\). But ethnic, linguistic and confessional uniformity was not achieved in Israel (unlike in other immigrant societies). As a result, the society has split into separate sub-ethnic groups, and that influences the foreign policy of the State.
The subject of the study is the Russian-speaking community of the State of Israel and its role in establishing relations between Israel and Russia. Being an autonomous formation within Israeli society, the “Russian street” mainly includes people with a high level of education, which makes it possible to say that “Russian Israel” puts some emphasis in relations with the motherland of returnees.
---
\(^1\) Lishka statistika rashii shel Israel. Netugim muvharim mi mishal sotsiali al ivrit ve shimush be safot aherot (The Central Israeli Bureau of Statistics. Selected Data from the Social Survey on Mastery of the Hebrew Language and Usage of Languages (in Hebrew). URL: http://www1.cbs.gov.il/reader/newhodaot/hodaa_template.html?hodaa=201319017 (accessed: 29.10.2017).
There is a point of view according to which the peak of the activity of the “Russian street” occurred at the end of the 1990’s, and after that the process of the disappearance of the community began [Khanin 2014: 22]. This point of view is held by E. Leshem, who writes about the completion of absorption in one or two generations [Leshem 2007: 283]. However, the current situation makes it possible to assert that the Russian-speaking community is still legitimate as a long-term phenomenon, which is precisely the community [Remennik 2008: 167], although the question of how the “Russian” Jews in Israel possess the classical structural features inherent in the communities remains open.
The fact is that it has a specific character and a number of atypical parameters: a system of informal relations with a high intensity, family support functions, a clear boundary between the community and the external environment. Natives of the former Soviet Union have formed a community that is a special society in which Russian-speaking Israelis create their own cultural and behavioral autonomy characterized by an isolated nature of the communication environment and forms of social and cultural life that differ sharply from the forms of social and cultural life of the indigenous Israelis — sabra.
With all the diversity of associations of the returnees from the countries of the former USSR, the subculture of the “Russian street” is not homogeneous and does not cover 100% of the repatriate community. However, despite the fact that some part of the community is outside the subculture, the fact of existence of the phenomenon of the “Russian street” allows its representatives to feel their importance and not to develop their potential only within the community cell but to offer it to the whole Israeli society. Therefore, the fact of broad involvement of immigrants from the countries of the former Soviet Union in the politics does not seem random. The question was only in the search for an adequate form of institutionalization of the Russian-speaking community with the goal of turning it into a full-fledged “Russian lobby”.
This question is also debatable among the political elite of Russian-speaking Israelis today. Since 1993, two groups have emerged in this milieu, the first of which was convinced of the need for a purely sectoral party, believing that only such a party would be able to consolidate the community’s forces, prevent their dispersion, and stop the confrontation among the new repatriates and to fully lobby the interests of the community and its emerging elites. The second group spoke only of the necessity of the existence of a “Russian wing” within the framework of Israeli parties and political movements and the use of their mechanisms to achieve the goals of “Russian Israel”. Ten years later, in 2003, Russian immigrants proved that the structural and ideological differences within the community cell cost more than integration tendencies within the community [Khanin 2008: 98—116].
The “Great Aliyah” of the 1990’s coincided with the process of legitimizing the “multiculturalism” in Israel, which contributed to the legitimization of the social institutions of the “Russian” community and played a role in shaping a unique identity among the representatives of the “Russian street”. The Israeli political establishment positively perceived the maturation of the subculture of “Russian” repatriates in the society.
There is a phenomenon of the concentration of returnees from the former USSR within certain districts. In such areas, community-forming links are formed, which can
be considered as a compensator of the negative consequences of the absorption of the “Great Aliyah”. In turn, these communal ties helped to increase the level of the cultural self-sufficiency among the representatives of the “Russian street” and the desire to preserve and reproduce their habitual forms of social, cultural and professional interaction. This can be confirmed by a study conducted in 2006 by the Joint Israel organization. 90% of the “Russian” immigrants responded that 15 years after their repatriation they continue to live in a traditionally immigrant area. Moreover, 90% of the young respondents aged 18 to 29 claimed to have some degree of Hebrew language, but at home they continue to speak Russian [Khanin 2014: 25].
Another illustrative example of the cultural self-sufficiency of immigrants from the countries of the former USSR can be the fact that only one third of the respondents noted that among the members of their families there are those who did not marry a representative of the “Russian street” [Khanin 2014: 26]. The study of civil identity also showed that among the young immigrants aged 18—28 years the percentage of those who claimed that their four closest friends out of five were representatives of the “Russian street” was the highest. Moreover, 57% of respondents stated that they are in constant contact with their “Russian” friends, which indicates the effective functioning of social ties within the Russian-speaking community.
However, it is wrong to assert today that the “Russian” community is a kind of a “Russian ghetto” because, according to the same poll by the Mutagim agency, young immigrants are also actively involved in Israeli reality and are in contact with indigenous Israelis and returnees from other countries. At the same time, only 34% of the middle-aged respondents and 15% of the older respondents establish contacts with Israeli citizens without distinction of their origin [Khanin 2014: 127].
The key aspect of the subculture of “Russian” Jews and the factor of their rallying is the preservation of the unique status of the Russian language in Israel and its place in the media space of the country. It became a legitimate means of communication within the community [Niznik 2003: 49—60]. The Ministry of Aliya and Absorption is tolerant to the use of the Russian language in the practice of state institutions and in the media. Russian is also introduced into the curricula of Israeli schools as the third language. The Ministry of Education provided Russian-speaking immigrant pupils with the opportunity to use the texts in Russian at the TANAKH (Jewish Scripture) examinations, as well as the opportunity to pass the exams in the native language under the secondary school program. In the 2011—2012 school year the Ministry of Education decided to increase the hours of studying Russian language by 25%, as well as to increase the hours allocated for passing the refresher courses for the teachers of the Russian language by 50%. The listed initiatives of state bodies of Israel correspond to the needs of representatives of the Russian-speaking community who use the Russian language and Hebrew equally.
Russian language is studied by seven and a half thousand schoolchildren in one hundred and fifty Israeli schools. 95% of students were born in the countries of the former USSR or in Israel in the families of the Russian-speaking immigrants. The length of stay in Israel of students is from zero to seventeen years. Their level of language proficiency differs, but for the majority Russian is not a native language, but a language of a “cultural heritage” [Niznik 2010: 6].
The Russian language of the repatriates is very different from the Russian language of the Russians [Donnitsa-Shmidt 2007: 57—64]. It should be viewed not as the evidence of the “Russian universalism”, but as a proof of the existence of the phenomenon of integration of the Russian-speaking repatriates into Israeli society without subsequent acculturation. Russian-speaking repatriates see it as their goal to preserve the cultural baggage with which they moved to Israel [Khanin 2014: 32].
There are some historical roots of the influence of Russian-speaking repatriates on interstate relations. And this is not just a consequence of mass repatriation of Russian-speaking Jews in the early 1990’s and of specific features inherent in the “Russian street”. The key point is the fact that Israel and Russia had close ties throughout the 20th century, even though in the period from 1967 to 1991 diplomatic relations between states were broken [Morozov 2003: 178]. Israel adopted the experience of the state building both of the Russian Empire and of the Soviet Union, which manifested itself in combination in the State of Western and Eastern political traditions. The Israeli leadership in different years borrowed some elements of the Russian experience of economic construction. As an example, we can name Vysotsky’s company, which comes from pre-revolutionary Russia, and now controls most of the tea market in Israel [Fedorchenko 1998: 125].
The political orientation of the repatriates created an environment for cooperation in Palestine. The repatriates started the development of “working democracy” within the business activities of the trade union “Histadrut” [Zvyagelskaya, Karasova, Fedorchenko 2005: 155]. Immigrants from Russia brought their political views to the Palestinian lands, including a trend towards socialist experiments and the desire to build a Russian socialist utopia in Palestine. Many Russian Zionists were members of the Narodnik organizations and later joined the Socialist Revolutionaries [Khanin 2004: 127]. The political views of the returnees put some new collectivist ideas into classical Zionism by T. Herzl, which implied the development of private entrepreneurship on the Palestinian land. This led to the large-scale establishment of kibbutzim. As a mass and diverse in form, cooperation in Israel was similar to the Russian version of cooperation, therefore, before the formation of the State, especially during the 1920’s, it developed in the same way as the first rural communes and collective farms in the USSR [Kupovetsky 2000: 134].
There is an imbalance between the influence that the Russian-speaking community has on Israel’s policy and the influence that the “Russian street” has on the Israeli economy and the development of Israeli-Russian economic ties. Today the potential of the “Russian street” in the political field is relatively low. The Russian-speaking community does not represent a key factor in influencing the internal policy of the State, it affects only the dynamics of relations between Russia and Israel. The conditions for the growth of the influence of the “Russian street” are the preservation by the migrants from Russia of their national identity; preservation of the Russian language and its introduction into the education system; the interaction of the Russian-speaking community of Israel with the Jewish diaspora in Russia through a variety of cultural projects. In particular, educational seminars on the basis of Jewish youth organizations in Russia, such as “Hillel”, “Yahad” and “Enerjew”, contribute to the popularization of Israeli culture.
As for a shaping the course of the state’s foreign policy towards Russia, today it is also impossible to talk about the great role of the Russian-speaking repatriates. Nevertheless, the “Russian Israel” in this regard has unrealized potential, in connection with which the Russian side needs to work more with the Russian-speaking segment in Israel.
In the economic sphere, the potential of the community is much higher, which is due, first of all, to the composition and structure of the “big wave of repatriation” of the 1990’s. Comparing the repatriation of the period of the “Great Aliyah” with the first wave of immigration in the 1970’s, it is possible to note a large number of specific features of the “aliyah of the 1990’s”. It is necessary to take into account the fact that all waves of repatriation took place in absolutely different periods of the domestic political situation in the country of origin. During the 1970’s there was a large number of activists of the Zionist movement, in particular, members of the organization “Prisoners of Zion” among the returnees. Zionism in the countries of the former Soviet Union was an ideology hostile to the basic ideology, so until the late 1980’s, Zionist activities in the country were banned. Repatriates of the 1970’s sought to the “Promised Land” because they could not reconcile themselves to the situation of Jews in the USSR, with the infringement of their religious and political rights, as well as with manifestations of anti-Semitism in one form or another [Horowitz 1998: 514].
For the immigrants of the “Great Aliyah” period, Israel could become a country that would unconditionally provide them with assistance. Repatriation occurred, first of all, not because of the Zionist views of immigrants, but because of anti-Semitism and the difficult life circumstances that resulted in returnees being forced to leave the country of origin. In contrast to the previous wave, the “Great Aliyah” in the bulk consisted of people of Jewish origin, but far from Judaism, Jewish culture, traditions, Hebrew, Zionist ideology, almost indifferent (especially the younger generation) to the problems of Jewish self-identification. For the most part, among the “Great Aliyah” repatriates, there was no sense of solidarity with the indigenous inhabitants of Israel — the Sabra [Lissak, Leshem 1995: 22].
A large percentage repatriated from Moldova, the Transcaucasian republics, the Ukraine due to the deterioration of the economic and political situation in these regions; the new olim (repatriates) almost completely lacked ideological or religious reasons for repatriation. The overwhelming majority of them were secular Jews, only a small part (according to polls) “observed some traditions” [Adler 1997: 132]. The fear of political and economic instability in the CIS countries was one of the main reasons to leave. The deterioration of the economic situation, living conditions, growing unemployment in many CIS countries have become significant arguments in favor of aliyah. According to public opinion polls, among the reasons for leaving one of the central places was the desire to provide the new generation with a stable future [Adler 1997: 144]. It is noteworthy that, among the arguments in favor of repatriation in the immigrant community of the “Great Aliyah” period, there was no argument related to manifestations of anti-Semitism, which was characteristic of the 1970’s aliyah.
Thus, on the one hand, the repatriates of the 1990’s are less ideologized than the repatriates of the previous wave. At the same time, the educational level of the repatriates
of the “Great Aliyah” was very high. This wave of repatriation included a large number of certified and graded specialists. 40.5% of repatriates had a total training experience of 13 years, while among indigenous Israelis this percentage is much lower (24.2%) [Adler 1997: 137]. 60% of the new olim were specialists with higher education, among the sabers this category is 28% [Remennik 2008: 169]. Thus, after the “Great Aliyah”, Israel’s population not only increased by 13% as a whole, but also the number of researchers increased by 41%, which led the country to the first place in the world in terms of the number of scientists per capita [Adler 1997: 143]. The professional structure of immigrants looked as follows: 73,000 engineers (twice as many as the number of saber engineers), 15,200 doctors (almost equivalent to the number of Israeli doctors), 16,100 nurses, 33,600 teachers, 11,700 scientists, 15,100 representatives of creative professions (artists, writers, journalists) [Leshem, Lissak 1999: 174].
Such a high level of education, cultural and intellectual potential of the representatives of the “Russian street” determined the employment of repatriates in the technology industry, in applied technologies, in the banking sector, in the defense industry, and in entrepreneurial activity [Feldman 2003: 351].
Problems of immigrants in Israel are dealt with by the Jewish Agency, which was created in 1929, the Ministry of Aliya and Absorption, founded in 1968 and the government commission on the absorption of immigrants. Despite the considerable experience gained by Israel in the absorption of new olim, there is some discrepancy in the approaches to solving the problems of absorption and adaptation of immigrants at the conceptual level. There are several forms of absorption: the first focuses on traditional values, the second on atheism and anticlericalism, the third focuses on the idea of a “melting pot”; the fourth assumes a pluralistic model for the development of Israeli society.
The first steps to structuring the policy in relation to the use of “diaspora languages”, including Russian, in the practice of state institutions took place in 1989—1992 against the backdrop of the de facto introduction of language by the structures of the “free market” (banks, intermediary offices, retail chains, etc.).
The contribution that the repatriates of the “Great Aliyah” made to the economic development of the country is of special value because the composition and the structure of the new olim fully corresponded to the economic development plan of Israel, in which the stake was made on small and medium-sized businesses based on high-tech production. To speed up the process of including specialists trained in Russia in the production process, the State of Israel created and financed various funds supporting scientific personnel and technological “greenhouses” in which scientific developments were carried out [Vardimon 2003: 115].
The commitment of the representatives of the “Russian street” to the market principles is also of great importance. This may seem paradoxical, but the “Russian” returnees with a socialist past are very different from indigenous Israelis in terms of business activity. If sabers are used to the active state intervention in the economy and to the strong state care in all spheres of society, the “Russian Israel” is known for its orientation toward creating a market economy.
The cooperation of Russia and Israel in the field of innovative technologies can be effective for a number of reasons. Firstly, Israel today is the leading country in terms of the number of start-ups per capita\(^2\). From 1991 to 2013 the government invested about 1,900 projects with total state investments of $730 million. More than 1600 projects have grown to independent companies and were released from the incubator. 60% successfully attracted private capital. By 2013, 35% of the graduates are still active. According to the total amount the private investment amounted to 4 billion dollars. Thus, 5—6 dollars of private capital were attracted for each state dollar\(^3\). Russia is striving to develop this sphere today, therefore Israel’s experience in this field will be extremely useful. For Israel, the cooperation established on an equal footing will be beneficial because of the fact that until now, in the economic relations with the West, Israel was in the background.
Secondly, the absence of a language barrier between Russian and Israeli scientists is important. This will not only allow the transfer of technology between the two states, but also avoid the diversion of technology from both countries to the United States.
Thirdly, the projects for the opening of production on the territory of Russia with the involvement of Israeli capital are also beneficial for both sides. Israel may be interested in such projects, since production on its territory is much more expensive, for Russia it is an opportunity to revive a number of industrial facilities and provide a part of the population with new jobs.
However, the practical cooperation between Russia and Israel speaks of a different trend. Statistics shows that the structure of trade between Russia and Israel has not changed in recent years. Russia continues to supply the goods of the fuel and raw materials group, diamonds and products of the agro-industrial complex to Israel. Israel supplies food products, high-tech products, motor vehicles and medicines to Russia. Bilateral trade is in stagnation today. Foreign trade turnover between Russia and Israel is only 2343.8 million dollars\(^4\). As it appears in the special information of the Russian News Agency, “According to the Federal Customs Service of the Russian Federation, Russian exports amount is 1,537.7 million US dollars, imports — 806.1 million US dollars”\(^5\).
---
\(^2\) Summary of Israeli High-Tech Capital Raising-Q4/2015. IVC Research Center. URL: http://www.ive-online.com/Research-Center/IVC-Publications/IVC-Surveys/High-Tech-Capital-Raising (accessed: 29.10.2017).
\(^3\) Ibid.
\(^4\) Foreign trade of Russia with Israel (2015). Portal of the Ministry of Economy. URL: http://economy.gov.ru/wps/wcm/connect/74f394b4-59d5-4b2d-a14b-9bf7442cdc8a/%D0%92%D0%BD%D0%B5%D1%88%D0%BD%D1%8F%D1%8F+%D1%82%D0%BE%D1%80%D0%B3%D0%BE%D0%B2%D0%BB%D1%8F+%D0%A0%D0%BE%D1%81%D1%81%D0%B8%D0%B8+%D1%81+%D0%98%D0%B7%D1%80%D0%B0%D0%B8%D0%BB%D0%B5%D0%BC+%282015%29.pdf?MOD=AJPERES&CACHEID=74f394b4-59d5-4b2d-a14b-9bf7442cdc8a (accessed: 04.11.2017); Foreign trade of Russia with Israel in the 1\(^{st}\) quarter of 2016. Foreign trade portal of Russia. URL: http://russian-trade.com/reports-and-reviews/2016-07/vneshnyaya-torgovlya-rossii-s-izrailem-v-1-kvartale-2016-goda/ (accessed: 04.11.2017).
\(^5\) Interstate relations between Russia and Israel. URL: https://ria.ru/spravka/20160316/1390260072.html (accessed: 02.11.2017).
Another obstacle to the establishment of Russian-Israeli economic relations is the fact that Russia pursues an isolationist policy in which Russian investments abroad are perceived as unpatriotic. The realities of geopolitics today show that the West is trying to reduce cooperation with Russia which has an impact on partners of Western countries, including Israel. With such a conjuncture, it is difficult to set up a bilateral mechanism for financing cooperation in the field of innovation. The solution to the problem may be the establishment of a bilateral fund to support R&D. Such funds already operate between Israel and the United States, Canada, Singapore, South Korea and Germany [Mar’yasis 2015: 125].
Talking about the measures that will contribute to increasing the influence of the “Russian street” on the formation of the Israeli foreign policy, the following areas can be singled out.
First of all, it is necessary to promote projects that involve the activity of the Russian entrepreneurs in the Israeli market. Today, however, there is a clear imbalance in the mutual flow of capital. If businessmen from Israel are very active in the market in Russia, foreign entrepreneurs do not allow Russian competitors to enter the market. This kind of rejection by Israeli entrepreneurs is attributed to the negative image of Russian business in the world [Leshem, Lissak 2000: 48]. It seems that the true reason is still the fact that Sabra businessmen and foreign entrepreneurs who have already divided the Israeli market among themselves are afraid of competition from their Russian counterparts. Overcoming this obstacle is possible only with the assistance of the Russian-speaking community. In particular, the Russian-Israeli Business Council was established in 2010, whose main task is to develop business as the most effective format for the development of bilateral trade and economic relations between Russia and Israel\textsuperscript{6}.
The Russian side needs to develop cooperation with the “Russian street” of Israel through the expansion of the Russian cultural space in the State. One of the important directions is cooperation with the Russian media of Israel, which turned from the socio-cultural phenomenon into a political weapon during their existence. It is necessary to increase the number of such materials published in Russian media in Israel, which would clearly explain Russia’s position on various issues. This will serve to shape the Israelis’ positive image of Russia, and the level of anti-Russian rhetoric in the State will decline. In economic terms, it is necessary to form a pro-Russian lobby in the State, which could be composed of businessmen who are doing business simultaneously in Russia and Israel and advocating for even greater strengthening of trade, industrial and economic ties between the two countries.
Another aspect of the interaction with the Russian-speaking community of Israel is connected with the prospect of returning to their former homeland. If in the 1990’s the problem of repatriation was not on the agenda in Russia, today it is obvious that not only the flow of emigration needs to be contained, but also the return of those who live in other countries. The Russian-speaking community of Israel is the object of Russian
\textsuperscript{6} Russian-Israeli Business Council. URL: http://rus-israel.ru/about/pologenie-o-sovete/ (accessed: 29.10.2017).
authorities’ guardianship, since Russian-speaking immigrants, as already noted, have a high educational level, so their return to Russia will positively affect the development of the domestic high-tech industry, science, financial industry, military-industrial complex, foreign trade and international entrepreneurship.
At the same time, the representatives of the “Russian street”, who fall under the definition of “Toshav Khozer” (“the returning Israeli”) may be useful for Russia, even if they decide to stay in Israel, since “Russian Israel” today took its niche in the political life of the State. Despite the loss in 2003 and then the end of the existence of one of the political wings of the “Russian street” — Nathan Sharansky’s “Israel Ba-Aliyah” party, another “Russian” party — “Israel Our Home” — continues to participate in the elections and receive mandates in The Knesset. It is legitimate to even argue that with the disappearance of the main competitor — the Sharansky’s party — from the political arena of Israel, Avigdor Lieberman’s party strengthened its positions even more, as it received a part of the “home electorate” of “Israel Ba-Aliyah”. In the elections to the Knesset in 2009, “Israel Our Home” received 15 mandates, in the elections of 2015 — 6 mandates [Morozov 2015: 26]. The closeness of the Lieberman’s party to the ruling “Likud” party is also important. The appointment of Lieberman as a Minister of Defense of Israel in 2016 can be regarded as a kind of victory for the “Russian lobby”, since this post is de facto the second most important post for the State of Israel.
Talking about the prospects for the return of our former compatriots, we can predict the mobility of repatriates according to the “pendulum” migration scheme. A large number of Israeli families of the “Russian” Jews will live between the two countries in the short term. This will create a new layer of the Israeli population, which can become a strong link between Israel and Russia.
***
There is a point of view that the State of Israel is a prototype of what the USSR would be if the NEP was preserved and the multi-party system existed in the country [Morozov 2015: 25]. Given the above facts, this opinion can generally be accepted.
It should be specially noted that the idea of a “melting pot” which was aimed at creating a homogenous Israeli society, failed with respect to the Russian-speaking immigrants, was combined with the complete and successful absorption of the “Russian” olim, if we consider absorption as an employment and improving the living conditions of returnees. This is one of the paradoxes of Israeli society. The experience of resettlement of new citizens, accumulated in Israel, may well be rethought and used in Russia.
If in the political field the potential of the “Russian street” remains weak, in the economic sphere it is much higher. Since the beginning of the “Great Aliyah” period, economic ties between Israel and Russia have been strengthening. The presence in the Israeli labor market of highly qualified specialists from Russia has become an impetus for the development of science-intensive industries. The “Great Aliyah” of the 1990’s
7 Who is considered «toshav khozer». Determination of the Ministry of Aliyah and Absorption of the status of «returned Israeli». URL: http://www.moia.gov.il/Russian/ReturningResidents/Pages/Whois2.aspx (accessed: 29.10.2017).
included people with higher education and a high level of culture, which favorably distinguished them from immigrants from other countries. Moreover, two-thirds of the settlers in the country of origin were engaged in science, and over 10% of migrants had engineering education, and their number was twice the number of indigenous engineers.
Thus, the influence of the “Third Israel” on the economy and its lack of influence on politics today are obvious. To change the situation it is necessary, on the one hand, to promote the growth of the political influence of the Russian-speaking community through the building of economic cooperation through public and private partnerships, as well as through the promotion of socio-cultural and scientific projects. On the other hand, it is advisable to develop work with the Russian media of Israel, which are a powerful political weapon and the main mechanism for lobbying the interests of the “Russian street”.
A number of programs of socio-political development can help to strengthen the “Russian street”. Firstly, we are talking about the projects launched at the initiative of the establishment of Israel (in particular, the Jewish Agency, state institutions, trade unions and all-Israeli parties) and aimed at completing the absorption of the newly arrived immigrants to the country. Then the community puts forward its own cultural and political initiatives. And, thirdly, with the support of the Jewish Diasporas around the world, as well as the international intergovernmental and non-governmental organizations, new institutions can be established.
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Received: 6.03.2018
For citations: Moshkova, T.D. (2018). Russian-Israeli relations: the role of the Russian-speaking community of the State of Israel. *Vestnik RUDN. International Relations*, 18 (2), 387—399. DOI: 10.22363/2313-0660-2018-18-2-387-399.
About the author: Moshkova Tatiana Dmitrievna — postgraduate student of Faculty of International Relations of the Saint Petersburg State University (e-mail: firstname.lastname@example.org).
выражен в стремлении автора осмыслить уникальную идентичность отдельного культурного сообщества и выявить факторы, которые главным образом повлияли на формирование данного сообщества в отдельный исторический период. Автор также прибегает к общенакучным методам исследования, таким как анализ и синтез, индукция и дедукция. Научная новизна исследования состоит в попытке автора спрогнозировать возможность формирования пророссийского экономического лобби среди израильских бизнесменов в будущем, а также сделать прогноз относительно возможности возвращения бывших соотечественников в Россию с целью развития в стране индустрии высоких технологий.
Автор пришел к следующим выводам: если русскоязычное сообщество не оказывает столь серьезного влияния на политические решения израильского руководства, то в экономической сфере оно способно укрепить контакты между Израилем и Россией. Инициативы России по развитию различных форм экономического, культурного сотрудничества и взаимодействия по линии СМИ могут дать импульс для роста влияния русскоговорящего сообщества.
**Ключевые слова:** алия, лобби, репатрианты, «русская улица», Государство Израиль, российско-израильское сотрудничество
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Дата поступления статьи: 6.03.2018
Для цитирования: Moshkova T.D. Russian-Israeli relations: the role of the Russian-speaking community of the State of Israel // Вестник Российского университета дружбы народов. Серия: Международные отношения. 2018. Т. 18. № 2. С. 387—399. DOI: 10.22363/2313-0660-2018-18-2-387-399.
Сведения об авторе: Мошкова Татьяна Дмитриевна — аспирант факультета международных отношений Санкт-Петербургского государственного университета (e-mail: email@example.com). © Moshkova T.D., 2018
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Efficient Localized Inference for Large Graphical Models
Jinglin Chen\textsuperscript{1}, Jian Peng\textsuperscript{1}, Qiang Liu\textsuperscript{2}
\textsuperscript{1} University of Illinois at Urbana-Champaign
\textsuperscript{2} University of Texas at Austin
email@example.com, firstname.lastname@example.org, email@example.com
Abstract
We propose a new localized inference algorithm for answering marginalization queries in large graphical models with the correlation decay property. Given a query variable and a large graphical model, we define a much smaller model in a local region around the query variable in the target model so that the marginal distribution of the query variable can be accurately approximated. We introduce two approximation error bounds based on the Dobrushin’s comparison theorem and apply our bounds to derive a greedy expansion algorithm that efficiently guides the selection of neighbor nodes for localized inference. We verify our theoretical bounds on various datasets and demonstrate that our localized inference algorithm can provide fast and accurate approximation for large graphical models.
1 Introduction
Probabilistic graphical models such as Bayesian networks, Markov random fields, and conditional random fields are powerful tools for modeling complex dependencies over a large number of random variables ([Koller and Friedman, 2009; Wainwright et al., 2008]). Graphs are used to represent joint probability distributions, where nodes denote random variables, and edges represent dependency relationships between different nodes. With the specification of a graphical model, a fundamental problem is to calculate the marginal distributions of variables of interest. This problem is closely related to computing the partition function, or the normalization constant of a graphical model, which is known to be intractable and \#P-complete. As a result, developing efficient approximation inference algorithms becomes a pressing need. The most popular algorithms include deterministic variational inference and Markov Chain Monte Carlo sampling.
However, many challenging practical problems involve very large graphs on which it is computationally expensive to use existing variational inference or Monte Carlo sampling algorithms. This happens, for example, when we use Markov random fields to represent the social network of Facebook or use a Bayesian network to model the knowledge graph that is derived from the entire Wikipedia, where in both cases the sizes of the graphical models can be prohibitively large (e.g., millions or billions of variables). It is thus infeasible to perform traditional approximate inference such as message passing or Mote Carlo on these models because such methods need to traverse the entire model to make an inference. Despite the daunting sizes of large graphical models, in most real-world applications, users only want to make an inference on a set of query variables of interest. The distribution of a query variable is often only dependent on a small number of nearby variables in the graph. As a result, complete inference over the entire graph is not necessary and practical methods should perform inference only with the most relevant variables in local graph regions that are close to the query variables, while ignoring the variables that are weakly correlated and/or distantly located on the graph.
In this work, we develop a new localized inference method for very large graphical models. Our approach leverages the Dobrushin’s comparison theorem that casts explicit bounds based on the correlation decay property in the graphs, in order to restrict the inference to a smaller local region that is sufficient for the inference of marginal distribution of the query variable. The use of the Dobrushin’s comparison theorem allows us to explicitly bound the truncation error which guides the selection of localized region from the original large graph. Extensive experiments demonstrate both the effectiveness of our theoretical bounds and the accuracy of our inference algorithm on a variety of datasets.
Related Work
Approximate inference algorithms of graphical models have been extensively studied in the past decades (see [Koller and Friedman, 2009; Wainwright et al., 2008; Dechter, 2013]). Query-specific inference, including [Chechikta and Guestrin, 2010] which proposed a focused belief propagation for query specific inference, and [Wick and McCallum, 2011; Shi et al., 2015] which study query-aware sampling algorithms, have recently been introduced for large graphical models. Compared with these methods, our work is theoretically motivated by the Dobrushin’s comparison theorem and enables us to efficiently construct the localized region in a principled and practically efficient manner.
2 Background on Graphical Models
Graphical models provide a flexible framework for representing relationships between random variables [HeineIn graph $G$, we use $X = (X_1, X_2, \cdots, X_n)$ to denote a finite collection of $n$ random variables and we use $\mathbf{x} = (x_1, x_2, \cdots, x_n)$ to refer to an assignment. Suppose $E$ is a set of edges and $\mathbf{\theta}$ is a set of functions with $\theta_{ij}(x_i, x_j)$ for edge $\langle i, j \rangle \in E$ and $\theta_i(x_i)$ for node $i \in \{1, 2, \cdots, n\}$. We use $\mu(\mathbf{x}; \mathbf{\theta})$ to represent the joint distribution of the graphical model $(G, E, \mathbf{\theta})$ as following,
$$\mu(\mathbf{x}; \mathbf{\theta}) = \frac{1}{Z_\mu(\mathbf{\theta})} \exp \left( \sum_{\langle i, j \rangle \in E} \theta_{ij}(x_i, x_j) + \sum_i \theta_i(x_i) \right),$$
where $Z_\mu(\mathbf{\theta})$ is the normalization constant (also called the partition function).
In this work, we will focus on the Ising model, an extensively studied graphical model. The Ising model is a pairwise model with binary variables $x_i \in \chi = \{-1, +1\}$. The pairwise and singleton parameters are defined as follows
$$\theta_{ij}(x_i, x_j) = \begin{pmatrix} J_{ij} & -J_{ij} \\ -J_{ij} & J_{ij} \end{pmatrix}, \quad \theta_i(x_i) = \begin{pmatrix} -h_i \\ h_i \end{pmatrix}.$$
So the distribution of an Ising model is defined as,
$$\mu(\mathbf{x}; \mathbf{\theta}) = \frac{1}{Z_\mu(\mathbf{\theta})} \exp \left( \sum_{\langle i, j \rangle \in E} J_{ij} x_i x_j + \sum_i h_i x_i \right). \tag{1}$$
Given a graphical model, marginal inference involves calculating the normalization constant, or the marginal probabilities of small subsets of variables. These problems require summation over an exponential number of configurations and are typically #P-hard in the worst case for loopy graphical models. However, practical problems can be often easier than the theoretically worst cases, and it is still possible to obtain efficient approximations by leveraging the special structures of given models. In this work, we focus on the query-specific inference, where the goal is to calculate the marginal distribution $\mu(x_i)$ of given individual variable $x_i$. For this task, it is possible to make good approximations based on a local region around $x_i$, thus significantly accelerates the inference in very large graphical models.
### 3 Localized Inference and Correlation Decay
Given a large graphical model, it is usually not feasible to compute the exact marginal of a specific variable due to the exponential time complexity. Furthermore, it is even not practical to perform the variational approximation algorithms, such as mean field and belief propagation, when the graph is very large. This is because these traditional methods need to traverse the entire graph multiple times before convergence, and thus are prohibitively slow for very large models such as these built on social networks or knowledge bases.
On the other hand, it is relatively cheap to calculate exact or approximate marginals in small or medium size graphical models. In many applications, users are only interested in certain queries of node marginals. Because users’ queries of interest often have strong associations with only a small number of nearby variables in the graph, the complete inference over the full graph is not necessary. This can be formally captured by the phenomenon of correlation decay, that is, when the graph $G$ is large and sparse, the influence of a random variable on the distribution of another random variable decreases quickly as the distance of the shortest path between the corresponding nodes in the graph $G$ increases.
The correlation decay property has been widely studied in statistical mechanics and graphical models [Rebeschini et al., 2015].
If a graphical model satisfies the property of correlation decay, it is possible that we can use only the local information in the graph to perform marginal inference, as the distant variables have little correlation with the query variable. This intuition allows us to use the information from the most relevant variables in the local region close to the queried variable to efficiently approximate its marginal distribution. Assume that $\mu$ is a large graphical model, and we want to calculate a marginal distribution $\mu(x_i)$ of variable $i$. Localized inference constructs a much smaller model $\nu(x_i)$, defined on a small subgraph $\alpha$ that includes $i$, such that $\nu(x_i) \approx \mu(x_i)$. The challenge here, however, is how to construct a good localized model and bound its approximation error. We address this problem via the Dobrushin’s comparison theorem [Föllmer, 1982], and propose an efficient algorithm to find the local graph region for a given query node and provide an error bound between its approximate and true marginals. To get started, we first introduce the Dobrushin’s comparison theorem, which is used to compare two Gibbs measures.
**Theorem 1** [Föllmer, 1982] *Dobrushin’s comparison theorem* Let $\mu$ be a Gibbs measure on a finite product space $E = S^I$, where $I$ is an index set. For $i, j \in I$, we define
$$C_{i,j} = \frac{1}{2} \sup \{ \| \mu_k(x_i | \mathbf{x}) - \mu_k(y_i | \mathbf{y}) \| : x_k = y_k, \forall k \neq j \},$$
where $\mu_k(x_i | \mathbf{x})$ is the conditional distribution of the $i$th coordinate with respect to the $\sigma$-field generated by the coordinates with index $j \neq i$, and $\| \cdot \|$ is the total variance distance. We compute
$$c = \max_{i \in I} \sum_{j \in I} C_{i,j}, \tag{2}$$
and assume $c < 1$. Let $C = (C_{i,j})_{i,j \in I}$ and $D = \sum_{i \in I} c^n = (I - C)^{-1}$, then for any probability measure $\nu$ on the same place and any function $f$, we have
$$\left| \int f d\mu - \int f d\nu \right| \leq \sum_{i \in I} (Db)_i \ast \delta_i(f),$$
where \( b = (b_j) \) is the singleton perturbation coefficient of node \( x_j \),
\[
b_j = \frac{1}{2} \sup_x \| \mu_j(x_j | x) - \nu_j(x_j | x) \|,
\]
and \( \delta_i(f) \) is the oscillation of \( f \) in the \( i \)th coordinate, that is,
\[
\delta_i(f) = \max_{x, x'} | f(x_{-i}, x_i) - f(x_{-i}, x'_i) |.
\]
In Theorem 1, \( \mu_i(x_i | x) \) is the probability of variable \( i \) conditioned on its adjacent variables whose assignments are the same as corresponding entries in \( x \). According to the Markov property, calculating \( \mu_i(x_i | x) \) only requires information from the local star-shaped graph (the figure can be found in the full version). It is worth noting that a tighter bound can be obtained by defining \( b \) to be
\[
b_j = \frac{1}{2} \int \| \mu_j(x_j | x) - \nu_j(x_j | x) \| \nu(dx).
\]
Here we use the definition in (3) for lower computational complexity. The matrix \( C \) is known as the Dobrushin’s interaction matrix, and the inequality \( c = \max_{i \in I} \sum_{j \in I} C_{ij} < 1 \) is the Dobrushin condition. If this condition holds, the theorem can give us a bound between two measures, which is the result of correlation decay.
In the following, we will apply Theorem 1 to undirected graphical models to derive an approximation bound of marginal distributions. We first denote \( I = \{1, 2, \cdots, n\} \) by the index set of the variables and assume that we want to query the marginal distribution of variable \( x_i \). In order to apply Theorem 1, we set \( f(x) \) to be the indicator function of the variable \( x_i \), that is, \( f(x) = f(x_1, x_2, \cdots, x_n) = \mathbb{I}[x_i = k] \). Then \( \int f d\mu - \int f d\nu \) becomes the absolute marginal difference \( |\mu(x_i = k) - \nu(x_i = k)| \) between the two measures \( \mu \) and \( \nu \). In addition, the oscillation of function \( f \) is thus reduced to \( \delta_i(f) = 1 \) and \( \forall j \neq i, \ \delta_j(f) = 0 \). With these simplifications, we obtain a bound of the maximum difference between marginals of the queried node \( i \) for two measures:
**Corollary 1** Following the assumptions in Theorem 1 and the above text, we have
\[
\max_k |\mu(x_i = k) - \nu(x_i = k)| \leq (Db)_i.
\]
Note that the roles of \( \mu \) and \( \nu \) in (4) are not symmetric because the Dobrushin coefficient \( D \) is solely defined based on \( \mu \) (and independent with \( \nu \)). As a result, there are two ways to use bound (4) for localized inference, depending on whether we treat \( \mu \) or \( \nu \) as the original model that we want to query or the localized model that we use for approximation, respectively. We will next exploit both possibilities in the next sections. In Section 4, we take \( \mu \) as the global model (or measure) and \( \nu \) as the localized model (or measure) and derive a simple upper bound relates the approximation error to the distance between the query node and the boundary of the local region on the graph. In Section 5, we take \( \nu \) as the global model (or measure) and \( \mu \) as the localized model (or measure), we derive another upper bound that only involves the localized region, and leverage it to propose a greedy expansion algorithm to construct the localized model with guaranteed approximations.
### 4 Distance-based Upper Bound
In this section, we assume that \( \mu = \mu(x_1, x_2, \cdots, x_n) \) in Theorem 1 is defined by the original graphical model that we want to query, and \( \nu \) is a simpler and more tractable distribution that we use to approximate the marginal of \( x_i \) in \( \mu \).
For notational simplicity, we partition the node-set to two disjoint sets \( \alpha \) and \( \beta = \{1, 2, \cdots, n\} \setminus \alpha \), where \( \alpha \) is the local subgraph that contains query node \( i \in \alpha \) and \( \beta \) is the rest of the graph. We use \( \partial \alpha \) and \( \bar{\alpha} \) to represent the set of subscripts of nodes on the boundary and in the interior of \( \alpha \). Obviously, \( \partial \alpha \subseteq \alpha, \ \bar{\alpha} \subseteq \alpha, \ \text{and} \ \partial \alpha \cup \bar{\alpha} = \alpha \). Similarly, \( \partial \beta \subseteq \beta, \ \bar{\beta} \subseteq \beta, \ \text{and} \ \partial \beta \cup \bar{\beta} = \beta \). In addition, we use \( x_\alpha \) to denote the variables in \( \alpha \) and \( x_\beta \) to denote the variables in \( \beta \). We will first apply the following lemma to obtain our first result on the relationship between the approximation error of marginals and the radius of the local subgraph \( \alpha \).
**Lemma 1** [Rebeschini and van Handel, 2014] Assume \( I \) is a finite set and let \( m \) be a pseudo-metric on set \( I \). \( C = (C_{ij})_{i,j \in I} \) is a non-negative matrix. Suppose that
\[
\max_{i \in I} \sum_{j \in I} e^{m(i, j)} C_{ij} \leq d < 1.
\]
Then matrix \( D = \sum_{n=0}^{\infty} C^n = (I - C)^{-1} \) satisfies
\[
\max_{i \in I} \sum_{j \in I} e^{-m(i, j)} D_{ij} \leq \frac{1}{1 - d}.
\]
In particular, this implies that
\[
\sum_{j \in J} D_{ij} \leq \frac{e^{-m(i, J)}}{1 - d}
\]
for every set \( J \subseteq I \), where \( m(i, J) = \max_{j \in J} m(i, j) \).
This lemma indicates that if \( C_{ij} \) decays exponentially with the distance between \( i \) and \( j \), the \( D_{ij} \), which is used in Theorem 1 and Corollary 1, also decays exponentially with the distance between \( i \) and \( j \). The condition of this correlation decay lemma is usually mild in practice. When we choose \( m \equiv 0 \), which is naturally a pseudo-metric, and use Dobrushin’s interaction matrix as \( C \), the conditions of the lemma hold once the Dobrushin condition is satisfied, because matrix \( C \) in Theorem 1 is by definition a non-negative matrix and hence \( D \) is also non-negative, and every entry in \( b \) is less than 1/2. Applying Lemma 1, we can obtain the following result.
**Theorem 2** Suppose \( \mu \) is the probability measure for a graphical model for which we want to query the marginal distribution of node \( i \). Let \( \nu \) be another probability on the same space, whose parameters of edges on subgraph \( \alpha \) and parameters of nodes in \( \alpha \) are the same as \( \mu \). Assume the Dobrushin condition holds for \( \mu \) (\( c = \max_{i \in I} \sum_{j \in I} C_{ij} < 1 \)).
Let \( d(i, \partial \alpha) \) denote the distance between node \( i \) and node-set \( \partial \alpha \) on the Markov graph \( G \) of \( \mu \). If we assume
\[
d(i, \partial \alpha) \geq \frac{\ln \frac{t}{2s(t-1)(1-c)}}{\ln \frac{1+(t-1)c}{tc}} \quad \text{for some } t > 1,
\]
then \( \forall \varepsilon > 0 \), we have
\[
\max_k |\mu(x_i = k) - \nu(x_i = k)| \leq \varepsilon.
\]
This theorem characterizes the error bound when approximating the global model $\mu$ using another model $\nu$ that matches $\mu$ locally in region $\alpha$. Our result shows that in order to ensure an $\varepsilon$ bound on the query node $i$, the distance $d(i, \partial\alpha)$ from the query node $i$ to the boundary $\partial\alpha$ should be at least linear to $\ln(1/\varepsilon)$. In other words, the error $\varepsilon$ decreases exponentially with $d(i, \partial\alpha)$. The proof of Theorem 2 can be found in the Appendix C.
As a result, given $c$ and $\varepsilon$, we can get the minimum value of the lower bound of $d(i, \partial\alpha)$ by optimizing $t$. Theorem 2 gives a simple but general way to bound the local subgraph of variable $x_i$, as we only need to check the Dobrushin condition and compute $c$ on the whole true graphical model.
5 Localized Bound and Greedy Expansion
The bound in Theorem 2 requires computing the value $c$ as defined in (2) for a given graphical model. However, since $c$ is the maximum $C_{ij}$ of the entire graph, it can be very expensive to compute when the graph is large. In this section, we explore another approach of using the bound in Corollary 1, by setting $\nu = \nu(x_1, x_2, \cdots, x_n)$ to be the distribution of the original graphical model and $\mu$ to be the localized model. In this way, we will derive a novel approximation approach by greedily constructing a local graph from the query variable $i$, with guaranteed upper bounds of the approximation error between marginal distributions of $\mu$ and $\nu$.
To start with, we note that $\nu$ can be decomposed to
\[
\nu(x) = \frac{\psi_\alpha(x_\alpha)\psi_\beta(x_\beta)\psi_{\partial\alpha\partial\beta}(x_{\partial\alpha}, x_{\partial\beta})}{Z_\nu},
\]
where $\psi_\alpha$ is the exponential of a potential function of $x_\alpha$, $\psi_\beta$ is the exponential of potential function of $x_\beta$, and $\psi_{\partial\alpha\partial\beta}$ is the exponential of potential function defined on $x_{\partial\alpha}$ and $x_{\partial\beta}$.
We want to approximate $\nu$ with a simpler model $\mu$ in which the nodes in $\alpha$ and $\beta$ are disconnected, so that the inference over $i \in \alpha$ can be performed locally within $\alpha$, irrelevant to the nodes in $\alpha$. Formally, we want to approximate $\mu$ by
\[
\mu(x) = \frac{\psi_\alpha(x_\alpha)\psi_\beta(x_\beta)\tilde{\psi}_{\partial\alpha}(x_{\partial\alpha})\tilde{\psi}_{\partial\beta}(x_{\partial\beta})}{Z_\mu},
\]
which replaces the factor $\psi_{\partial\alpha\partial\beta}$ with a product $\tilde{\psi}_{\partial\alpha}\tilde{\psi}_{\partial\beta}$ with approximations $\tilde{\psi}_{\partial\alpha}$ and $\tilde{\psi}_{\partial\beta}$. Therefore, the marginal distributions of $x_\alpha$ and $x_\beta$ get decoupled in $\mu$, that is,
\[
\mu(x) = \mu(x_\alpha)\mu(x_\beta).
\]
This decomposition thus allows us to approximately calculate marginal $\mu(x_i)$ efficiently within subgraph $\alpha$. The challenges here are 1) how to construct the factors $\tilde{\psi}_{\partial\alpha}$ and $\tilde{\psi}_{\partial\beta}$ in $\mu$ to closely approximate $\nu$, 2) how to decide the subgraph region and 3) how to bound the approximation error. We consider two methods for constructing $\tilde{\psi}$ in this work:
1. [Dropping out] Simply remove the $\psi_{\partial\alpha\partial\beta}$ in $\nu$. To do so, we set
\[
\tilde{\psi}_{\partial\alpha} = \tilde{\psi}_{\partial\beta} = 1.
\]
This corresponds to directly remove all the edges between $\partial\alpha$ and $\partial\beta$, which is also referred as the “dropping out” method in our experiments.
2. [Mean field] Find $\tilde{\psi}_{\partial\alpha}, \tilde{\psi}_{\partial\beta}$ to closely approximate $\psi_{\partial\alpha\partial\beta}$ by performing a mean field approximation, that is, we solve the following optimization problem:
\[
\min_{\tilde{\psi}_{\partial\alpha}, \tilde{\psi}_{\partial\beta}} KL(\tilde{\psi}_{\partial\alpha}\tilde{\psi}_{\partial\beta} || \psi_{\partial\alpha\partial\beta}),
\]
where the $KL(||)$ refers to the KL divergence of the corresponding normalized distributions. To apply the mean field approximation and reduce complexity, we further assume that the nodes are independent in $\tilde{\psi}_{\partial\alpha}$ and $\tilde{\psi}_{\partial\beta}$. By using the optimized approximation $\tilde{\psi}_{\partial\alpha}$, we will be able to compensate the error of marginal of $x_i$, which is introduced by simply removing the edges between $\partial\alpha$ and $\partial\beta$, as mentioned above.
Note that the potentials $\psi_{\partial\beta}$ and $\psi_\beta$ in $\mu$ do not influence the calculation of $\mu(x_i)$, for $i \in \alpha$. Therefore, we remove all the edges in $\beta$. The marginal of node $i \in \alpha$ will not change.
By applying Corollary 1, we can now obtain an error bound which, remarkably, only involves the local region $\alpha$. The details can be found in Appendix B.
Corollary 2 Assume $\mu(x) = \mu(x_\alpha)\mu(x_\beta)$, and the conditions in Theorem 1 holds, we have
\[
\max_k |\mu(x_i = k) - \nu(x_i = k)| \leqslant \sum_{j \in \partial\alpha} D_{ij}b_j,
\]
where $b_j$ is defined in Eq 3, and $D$ is defined by $D_{\alpha\alpha} = (I - C_{\alpha\alpha})^{-1}$; here $C$ is defined in Theorem 1.
Note that the upper bound in (8) only involves the local region $\alpha$ and hence can be computed efficiently using mean field or belief propagation within the subgraph on $\alpha$. The proof of Corollary 2 and the details on how to calculate $C$ and $D$ for Ising models in practice can be found in the full version.
Using the bound in (8), we propose a greedy algorithm to expand the local graph starting from query node $i$ incrementally. At iteration, we add a neighboring node that yields the tightest bound using the above bound and repeat this process until the bound is tight enough or a maximum of graph size is reached. This process is summarized in Algorithm 1. After we complete the expanding phase, we can apply exact inference or on local region $\alpha$ to calculate the marginal of the query $x_i$ if the size of $\alpha$ is small or perform approximate inference methods if the size of $\alpha$ is medium. The actual size of $\alpha$ can vary in different graphical models, which is mainly determined by the correlation decay property near the query variable $x_i$ or the tightness of the upper bound in Eq (8).
Computational Complexity We find that both the complexity of expanding the local subgraph and the complexity of localized inference can be bounded. The details will be included in the Appendix A.
6 Experiments
We test our algorithm on both simulated and real-world datasets. The results indicate that our method provides an efficient localized inference technique.
Algorithm 1 Greedy expansion algorithm for localized inference
1: given a graphical model $\nu$ and a node $i$, approximate marginal probability $\nu(x_i)$
2: input: $K =$ maximum number of nodes in the local subgraph $\alpha$ and $\delta =$ the improvement threshold
3: initialize local subgraph $\alpha = \{i\}$ and $bound_{best} = 1$
4: while $|\alpha| < K$ ($|\alpha|$ is the number of nodes in $\alpha$) do
5: set $\beta = \{1, 2, \cdots, n\} \setminus \alpha$ and $\partial \beta$ the nodes in $\beta$ that connects with $\alpha$ in $\nu$.
6: for node $k \in \partial \beta$ do
7: add node $k$ to $\alpha$ and get a candidate local subgraph $\alpha^{new} = \alpha \cup \{k\}$.
8: construct local model $\mu$ by setting $\tilde{\psi}_{\partial \alpha} = 1$ (dropping out, Eq (6)) or estimating it using mean field as in Eq (7).
9: calculate the bound $bound_k$ in (8) where the $bound_k$ refers to $\sum_{j \in \partial \alpha_k^{new}} D_{ij} b_j$
10: end for
11: if $\min_{k \in \partial \beta} bound_k < bound_{best} - \delta$ then
12: update $bound_{best} = \min_{k \in \partial \beta} bound_k$
13: update $\alpha = \alpha \cup \{\arg\min_{k \in \partial \beta} bound_k\}$
14: end if
15: end while
6.1 2D Ising Grid
In this section, we perform experiments on 2D-grid Ising models and regard the localized probability as $\nu$ and regard the true probability as $\mu$. The graph is a $10 \times 10$ lattice and the coordinate of query node is $(5, 5)$. The parameters in the Ising model is generated by drawing $h_i$ uniformly from $[-I_1, I_1]$ for all nodes $i$ and $J_{ij}$ uniformly from $[-I_2, I_2]$ for all edges $\langle i, j \rangle$. Here $I_1$ and $I_2$ control the locality and hardness of this Ising model.
Checking Dobrushin’s condition. We start with numerically checking the Dobrushin condition $c = \max_k \sum_j C_{kj} < 1$. We find that $c$ is smaller than one in most regions, but is larger than one when $I_2$ is very large and $I_1$ is very small, in which case the nodes are strongly coupled together (no correlation decay) and there is no significant local information. The hope, however, is that real problems tend to be easier because a large amount of information is available. The figure is shown in the full version.
Comparing Different Expansion Algorithms In this part, we compare the true approximation error $\max_k |\mu(x_i = k) - \nu(x_i = k)|$ to the bound $\sum_{j \in \partial \alpha} D_{ij} b_j$ given by our algorithm when we expand the local subgraph. The true error $\max_k |\mu(x_i = k) - \nu(x_i = k)|$ is evaluated using the brute-force algorithm. When removing the bipartite graph, we try both simply dropping edges and the mean field approximation. In all the experiments, we use the UGM Matlab package\footnote{http://www.cs.ubc.ca/~schmidtm/Software/UGM.html} for the mean field approximation.
In order to better compare the error, we also add two baselines. One baseline is that we expand the local subgraph in each step by randomly selecting a node in the boundary $\partial \beta$. Another baseline is that we expand the local subgraph greedily by choosing the node in $\partial \beta$ that has the maximum $L_2$ norm over the edge-set between such node and the subgraph $\alpha$. The intuition is that when the edges’ weights are large, the node may be more related to the nodes in the subgraph.
In Figure 2, we compare our greedy expansion method stated in Algorithm 1 to the baselines stated above. For this experiment, we fix $I_1 = 1$ and $I_2 = 0.25$ and average on 100 random trials. We stop expanding the graph when the local subgraph contains 16 nodes. We calculate the mean value of the true errors and bounds in the 100 trials for a different number of nodes in the subgraph.
From Figure 2, we can see that, when combined the dropping out method for constructing $\psi$, our greedy expansion method significantly outperforms the two baselines. We also find that the mean field method for constructing $\psi$ gives about the same true error as the dropping out method, but provides a tighter upper bound. It is interesting to note that the true errors of the two baseline expansion methods are sometimes even worse than the upper bounds of our greedy expansion, indicating the strong advantage of our method.
We further investigate how the parameters of the Ising model may influence the results of the algorithms and the tightness of the bound. For this purpose, we fix $I_2 = 0.25$ and vary $I_1$ in the range of $\{0, 0.5, 1, \cdots, 10\}$ in Figure 3. For each setting, we simulate 100 times and then calculate the mean error and bound. From Figure 3, we can find that the bound is again relatively tight, especially when the value of $I_1$ is large. Both the bounds and the true errors decrease as $I_1$ increases because the correlation decay is stronger and the inference task is easier with strong local evidence on the singleton potentials (large $I_1$).
6.2 Cora Data Set
We perform experimental evaluations on the Cora data set\footnote{https://people.cs.umass.edu/~mccallum/data.html}. Cora consists of a large collection of machine learning papers with citation relations between the papers, in which each
paper is labeled as one of seven classes. For our experiment, we binarize the labels by taking “Neural Networks” as label 1 and the remaining classes as label $-1$. We process the data by removing the hubs in the graph and truncate the graph to have a maximum degree of 15; this is done by randomly deleting edges of the nodes whose degree is larger than 15 until the whole graph is degree bounded by 15. We then experiment on the maximum connected subgraph, which consists of 2389 nodes and 4325 edges.
In order to construct an Ising model, we random draw edge potentials by $J_{i,j} \sim N(0.25, 0.05)$ for each edge of the citation graph, and draw the singleton potentials by $h_i \sim N(0.1I_1, 1)$ for nodes with true label 1, and $h_i \sim N(-0.1I_1, 1)$ for nodes with true label $-1$. Here $I_1$ is a parameter that we choose from $\{0, 1, \cdots, 10\}$. When $I_1$, the node potentials increases so that marginal is more dominated by the status of the query node and the querying is easier.
**Comparing local inference with global inference**
In this part, we want to compare the performance of inference on the local graph to the inference on the global graph. Since the global graph is too large, we can only use approximate inference algorithm. Here, we use mean field to do the global inference and use it as a baseline. For the local graph, we expand the graph greedily as stated in Algorithm 1 and choose a threshold of $\delta = 0.005$ and stop expanding when the subgraph already has 16 nodes.
For $I_1 \in \{0, 1, \cdots, 10\}$, we query the same 500 nodes randomly selected out of the 2389 nodes and evaluate their marginal distributions. In global inference and local inference, we have the marginal on the each query node. If the marginal is larger than 0.5, we consider our inference algorithm give it label 1, whereas if the marginal is less than 0.5, we give it label $-1$.
In Figure 4, we report the accuracy of the labels given by the global and local inference evaluated w.r.t. the true labels, as well as the accuracy of the local inference evaluated w.r.t. the labels provided by global inference. We find that as $I_1$ increases, both the accuracies of global and local inference w.r.t. the true labels increase significantly. In addition, the local inference gives similar result as the global inference (the green curve is high) and the accuracy increases as $I_1$ increases as well. We also report in Figure 5 the precision, recall, and F-measure when comparing local inference with global inference, by treating label 1 as positives. Both figures show that when $I_2$ is fixed and $I_1$ increases, which means that the correlation decay is stronger, our local inference method achieves better results.
**7 Conclusion**
In this paper, we address query-specific marginal inference in large-scale graphical models using a new localized inference algorithm. We leverage the Dobrushin’s comparison theorem to derive two error bounds for localized inference, including a simple bound based on graph distance and a localized bound from which we derive an efficient greedy expansion algorithm for constructing local regions for localized inference. Our experiments have shown that our bounds are practically useful and the algorithm works efficiently on various graphical models. Future directions include theoretical investigation on tighter bounds and development of more efficient greedy expansion algorithms.
A Computational Complexity
Here we consider the computational complexity of expanding the local subgraph and the complexity of localized inference. We always suppose that the maximum degree of the graph $G$ is $d$ and we define the maximum distance between the query node and any node in the subgraph to be the radius of the subgraph. First, given a threshold $\varepsilon$, from Theorem 2, we just need a subgraph with radius
$$r = \inf_{t > 1} \left[ \ln \frac{t}{2\varepsilon(t-1)(1-c)} - \ln \frac{1+(t-1)c}{tc} \right],$$
where we recall that $c$ is the Dobrushin coefficient $c = \max_{i \in I} \sum_{j \in I} C_{ij}$. In particular, taking $t = 2$ shows that we just need $r = \lceil -\ln(\varepsilon(1-c))/\ln \frac{1+c}{2c} \rceil$. It is worth noting that $r$ decreases when $c$ becomes small and/or the accuracy threshold $\varepsilon$ becomes large. Since the size of the subgraph with radius $r$ is no more than $1 + d + d^2 + \cdots + d^r = (d^{r+1} - 1)/(d - 1)$, it can be much smaller than the whole graph. As a result, the inference over the subgraph is much more efficient.
Then, we discuss the computation complexity in each expansion step (Algorithm 1, line 6-10). We need to loop over the nodes in $\partial \beta$. In the loop, we need to calculate the vector $b$ and the matrix $D$. The calculation for each element in $b$ requires the enumeration of different assignments in the neighborhood of such node, which is bounded because it is not related to the size of the whole graph. In the calculation of matrix $C$, we only need to update the elements related to the new node. The number of such elements is no more than $d$ and the calculation of each element is not related to the size of the whole graph. $D$ can be derived from $C$ and use historical information to calculate incrementally. The complexity is no more than computing the inverse of the whole matrix $I - C_{\alpha \alpha}$. If we use mean field approximation in the greedy expansion, the computation is also cheap because the sizes of $\partial \alpha$ and $\partial \beta$ are small.
B Proof of Corollary 2
Proof 1 Note that the Dobrushin’s interaction matrix $C$ of $\mu$ is a block diagonal matrix. Since there are no edges between $\alpha$ and $\beta$, the corresponding blocks equal to zero. If the Dobrushin condition holds, $D$ would also be a block-diagonal matrix and can be calculated easily from $C$. To see this, we have
$$C = \begin{bmatrix} \alpha & \beta \\ C_{\alpha \alpha} & O \\ O & C_{\beta \beta} \end{bmatrix}, \quad \alpha \quad \beta$$
and $$D = \begin{bmatrix} \alpha & \beta \\ (I - C_{\alpha \alpha})^{-1} & O \\ O & (I - C_{\beta \beta})^{-1} \end{bmatrix}, \quad \alpha \quad \beta.$$ Applying the bound in Corollary (1) gives the result.
C Proof of Theorem 2
Proof 2 Let $m(i, j) = d(i, j) \ln \frac{1+(t-1)c}{tc}$, where $d(i, j)$ represents the distance between node $i$ and node $j$ in the graph and $t > 1$. Then
$$\max_{i \in I} \sum_{j \in I} e^{m(i, j)} C_{ij} = \frac{1+(t-1)c}{tc} \max_{i \in I} \sum_{j \in I} e^{d(i, j)} C_{ij} \leq \frac{1+(t-1)c}{t} < 1.$$ Applying Lemma 1, we have
$$\max_{k \in \{i, i-1\}} |\mu(x_i = k) - \nu(x_i = k)| \leq \frac{e^{-m(i, \partial \alpha)}}{1 - \frac{1+(t-1)c}{t}} = \frac{e^{-d(i, \partial \alpha) \ln \frac{1+(t-1)c}{tc}}}{\frac{(t-1)(1-c)}{t}}.$$ Substituting the inequality of $d(i, \partial \alpha)$ in the condition into right-hand side yields to the result.
References
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[Rebeschini et al., 2015] Patrick Rebeschini, Ramon Van Handel, et al. Can local particle filters beat the curse of dimensionality? The Annals of Applied Probability, 25(5):2809–2866, 2015.
[Shi et al., 2015] Tianlin Shi, Jacob Steinhardt, and Percy Liang. Learning where to sample in structured prediction. In AISTATS, 2015.
[Wainwright et al., 2008] Martin J Wainwright, Michael I Jordan, et al. Graphical models, exponential families, and variational inference. Foundations and Trends® in Machine Learning, 1(1–2):1–305, 2008.
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Using socioeconomic evidence in clinical practice guidelines
Rosemary Aldrich, Lynn Kemp, Jenny Stewart Williams, Elizabeth Harris, Sarah Simpson, Amanda Wilson, Katie McGill, Julie Byles, Julia Lowe and Terri Jackson
*BMJ* 2003;327:1283-1285
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Using socioeconomic evidence in clinical practice guidelines
Rosemary Aldrich, Lynn Kemp, Jenny Stewart Williams, Elizabeth Harris, Sarah Simpson, Amanda Wilson, Katie McGill, Julie Byles, Julia Lowe, Terri Jackson
The effects of socioeconomic position on health have been largely ignored in clinical guidelines. Australia’s National Health and Medical Research Council has produced a framework to ensure that they are taken into account.
The effects of socioeconomic position on health are well established\(^1\)–\(^2\) but difficult to overcome. This is because the underlying causes are embedded in social and economic structures at all levels of society.\(^3\) Access to health services, the ability to act on health advice, and the capacity to modify health risk factors are all influenced by the circumstances in which people live and work.\(^4\) Studies have also shown that those most needing care are least likely to receive it,\(^5\)–\(^6\) and that the quality of care received by people with lower socioeconomic positions is different from those with higher positions.\(^7\) Despite this evidence, guidelines for clinical practice do not take the effects of socioeconomic position into account, although some guideline groups acknowledge the need to consider the relevance and applicability of the evidence to the target group.\(^8\)
Role of guidelines
Developers of guidelines for clinical practice attempt to identify, appraise, and collate the best evidence to ensure that the highest quality information is available for clinicians and patients. To date, clinical practice guidelines have been informed by clinical and, sometimes, economic evidence.\(^9\)–\(^10\) The most robust evidence is considered to come from randomised controlled trials, but the results of such trials may not always be relevant and applicable to the needs of all groups in the population, particularly those who are socioeconomically disadvantaged.
Clinical practice guidelines have the potential to increase health inequalities by improving the health of the relatively health advantaged more readily than that of the relatively disadvantaged. Recognising this gap, Australia’s National Health and Medical Research Council commissioned a handbook to inform developers of guidelines about ways to access, review, and collate evidence on the effect of socioeconomic position and apply that evidence when developing guidelines for clinical practice.\(^11\)
Developing the framework
Our process for developing the framework for using socioeconomic position and health evidence in clinical practice guidelines development is described fully in the handbook.\(^11\) Briefly, we used traditional search engine and listserv search and communication strategies to identify if and how evidence about socioeconomic position and health had been incorporated into guidelines. We located over 1700 published papers or guidelines or reports; 58 were considered relevant and critically reviewed. We also corresponded extensively with national and international experts in health equity and development of clinical guidelines.
Guidelines need to recognise the problems associated with low socioeconomic position
We found no guidelines, models, or handbooks for guideline developers that were specifically concerned with the use of evidence on socioeconomic position in developing broad clinical guidelines. We did, however, identify two specific guidelines (one for New Zealand Maori with heart failure\(^12\) and the other for Australian Aboriginal patients with a spectrum of chronic diseases\(^13\)) that included evidence about socioeconomic position and health. These guidelines included recommendations to be aware of access and cultural barriers to optimal care and evidence, where available, about strategies to overcome these barriers.
We recognised that in developing the framework it was crucial to attend to the following issues:
- Problems of translating evidence based guidelines into practice and use of clinical judgment\(^14\)
- Non-representativeness of populations studied in randomised controlled trials\(^15\)–\(^16\)
- Contribution of other types of evidence, including observational and qualitative studies\(^17\)
Appropriateness of, and difficulties in, conducting randomised controlled trials in all aspects of health (particularly modifying psychosocial conditions, health behaviours, and prevention)\textsuperscript{18–19}
- Difficulty of developing and evaluating complex interventions in health services research within randomised trials.\textsuperscript{20}
**Framework**
We developed a four step framework (figure) for developers of clinical practice guidelines by including an additional stage in Australia’s established process for developing guidelines.\textsuperscript{7} The framework outlines the steps to be followed in accessing and applying evidence of socioeconomic position in the development of clinical practice guidelines. Box 1 gives an example of its use.
**Step 1: Identify the health decision**
The first step is to identify clearly the health decision that the guideline will concern and clarify the desired outcomes. These should include wellbeing and equity as well as mortality, morbidity, and survival. The decision may vary from individual management to treatment of whole communities and can refer to any part of care (prevention, diagnosis, primary care, secondary care, tertiary care) as well as psychosocial factors and health behaviours that may be affected by socioeconomic position.
**Step 2: Search for evidence that socioeconomic position affects outcome**
Once the health decision has been identified, a literature search is needed to identify the effect of socioeconomic position on the outcomes. As well as socioeconomic effects, the search should include the multiple factors (personal, behavioural, physiological, social, and environmental) that affect the capacity of individuals and population subgroups to comply with best practice.\textsuperscript{21–22} All studies with sufficient power to control for the effect of socioeconomic position should be reviewed. Evidence of an association between the markers of socioeconomic position and the health decisions may include factors at the physical, economic, or social environment levels (such as health service provision, transport, and housing infrastructure) and health determinants (such as education, employment, occupation, income, housing, and area of residence).\textsuperscript{23}
**Step 3: Search for studies of interventions that reduce effect of socioeconomic inequity**
Literature describing interventions that attempt to overcome barriers to achieving equal health outcomes is often scarce. When this is the case, the guidelines should apply the general principles of equitable service—that is, “everyone should have a fair opportunity to attain their full potential and … no-one should be disadvantaged from achieving this potential, if it can be avoided.”\textsuperscript{24} Approaches include targeting interventions that take into account the structural, material, economic, and environmental constraints experienced by population subgroups.\textsuperscript{7}
**Step 4: Use the evidence to produce guidelines**
Once the evidence is gathered, the literature is analysed and synthesised to inform a set of recommendations or treatment options. Box 2 gives strategies that can be used if no evidence is available. When synthesising the evidence, developers of guidelines need to consider the representativeness of populations identified in the evidence and the interactions (including confounders and effect modifiers) between individual markers of socioeconomic position and health outcomes.
**The future**
The framework requires groups developing guidelines on clinical practice to analyse and synthesise a broader range of evidence than has been done in the past. Developers may have to learn how to identify and critically review evidence on socioeconomic position from peer reviewed and grey literature, including observa-
---
**Box 1: Example of application of framework to New South Wales policy standards for cardiac rehabilitation**
**Step 1: Identify the health decision**
Overweight and obese patients should be advised to optimise their body weight and increase physical activity
**Step 2: Search for evidence of effect of socioeconomic position**
Evidence from cross sectional studies shows that socioeconomic factors influence capacity to optimise weight and increase physical activity
**Step 3: Search for interventions that reduce the effects of socioeconomic position**
Social support and lifestyle advice have been shown to be more effective than lifestyle advice alone. Interventions should be low cost, scheduled at appropriate times, include assistance with transportation and childcare, and seek to promote general knowledge about health.
**Step 4: Synthesise evidence to develop recommendations**
Recommendation: Counselling for weight loss and increased physical activity should be conducted within a programme of social support and interventions to overcome the geographical, financial, social, or educational barriers that may affect the patient’s capacity to gain maximum benefit
Box 2: What to do when there is no evidence
- Broaden the search terms
- Repeat the search strategy with a similar disease
- Repeat the search for different aspects of care of the same disease
- Review different types of evidence—for example, non-intervention, observational, and qualitative studies
- Review different sources of evidence—for example, grey literature
- If no relevant information is found, base recommendations on generic principles that promote health equity
Summary points
Socioeconomic position is known to affect health outcomes and delivery of health care
Guidelines for clinical practice have not routinely incorporated evidence on the effect of socioeconomic position
A framework is described for using socioeconomic evidence in development of clinical practice guidelines
Routine use of the framework should contribute to more equitable health care
The authors of this paper were contracted by the National Health and Medical Research Council to draft the handbook *Using socioeconomic evidence in clinical practice guidelines*, published and launched in 2003. The framework for using socioeconomic evidence in clinical practice guidelines is reported here with the permission of the NHMRC. We thank the NHMRC for the opportunity to develop the framework and the many experts who contributed to the process.
Contributors and sources: The authors have qualifications and experience in public health medicine, biostatistics, health economics, social science, journalism, nursing, psychology, epidemiology, and clinical medicine.
Competing interests: RA and TJ were members of the NHMRC Health Advisory Committee for the 2000–2003 triennium.
---
My holistic bakery
In Exeter we are lucky in that some of our old-fashioned corner shops have survived the onslaught of the supermarkets. My bakery is such a remnant from the past. What is more, it is more holistic than an alternative health centre.
The first thing that strikes you when you enter is the irresistible smell. Customers’ wellbeing hits the ceiling, and the local aromatherapists are out of business. There is often a queue, and the intense stimulation of my olfactory system relaxes my mind and lulls me into an aut hypnotic state as I wait to be served.
“You are looking well today,” says the baker’s wife. Her diagnosis is spot-on; her holistic therapy has already cured all my ills. Her whole-wheat cheese scones are unbeatable so I order three—one for the road and two for tea at home. Prices have gone up a bit, but, as with all holistic therapies, the more you pay the more it’s worth. “Here you are,” she says, handing me my scones. As I pay, our hands touch and I briefly experience the intense energy transfer characteristic of all touch therapies. “Take care now, and God bless.”
As I walk home, I contemplate these well said words—expert counselling and holistic from the physical to the spiritual level.
*Edward Ernst director, Complementary Medicine, Peninsula Medical School, Universities of Exeter and Plymouth*
|
ENVIRONMENTAL KUZNETS CURVE AND AIR POLLUTION IN CITY OF LONDON: EVIDENCE FROM NEW PANEL SMOOTHING TRANSITION REGRESSIONS
Eleftherios Giovanis
Department of Economics
Royal Holloway University of London
TW20 0EX, Egham, Surrey, UNITED KINGDOM
Abstract: The purpose of the paper is to test empirically the existence of the environmental Kuznets curve (EKC), using existing and new Panel Smoothing Transition Regressions (PSTR) in the city of London. More specifically, two new PSTR are proposed, the Gaussian and the Generalized Bell function used in Fuzzy Logic. Moreover, two air pollutants are examined using social data from the British Household Panel Survey. The air pollutants are the carbon monoxide (CO) and sulphur dioxide (SO$_2$). In particular the paper uses three regime smoothing transition regressions. More specifically, because the definition of the two regime smoothing regressions is not very clear, as three income classes exist, three regime smoothing regressions are proposed. Thus, the three regimes include the low, middle and high income. In the case of CO a negative relationship between air emissions and income is reported in low and high income classes, while middle income households present a positive relation. On the contrary regarding SO$_2$, individuals and households with middle income pollute more, followed by high income class, while a negative association is presented to low income. Therefore, EKC should be examined for a number of various air pollutants in micro-economic level too, because the patterns derived from the estimations are varied using different air pollutants.
AMS Subject Classification: C230, C450, Q530, Q560, Q580
Key Words: air quality, air pollution, environmental Kuznets curve, environmental sustainability, income, smoothing transition functions
1. Introduction
The relationship between economic growth and environmental quality has been an object of a long debate for many years. Through the fast exhaustion of the non-renewable resources, during the 21st century, and the irreversible dangers linked to climate changes, many scholars have expressed their worries that such a remarkable economic prosperity may not be sustainable in the future. Based on the report of Club of Rome if the future economic growth model remains unchanged and the population/industrial capital keeps growing exponentially, then the limited supply of both food and non-renewable resources will lead to the collapse of our production system and to the halt of our economic growth before 2100 [1].
Kuznets [2] predicted that the changing relationship between per capita income and income inequality is characterized by an inverted-U-shaped curve. This means that as per capita income increases, income inequality also increases at first and then starts declining after a turning point. Thus, in the early stages of the economic growth the distribution of income becomes more unequal, but then this distribution moves towards to greater equality as the economic growth continues [2]. As economy grows, environmental degradation and climate change are likely to have deleterious effects on natural and human systems, economies and infrastructure. The negative link between economic growth and environmental degradation is the reason to call for environmental policy responses and strategies at the local, regional, national and global level. Therefore, the Environmental Kuznets Curve (EKC) hypothesis argues for an inverted U-shaped relationship between economic development and environmental quality. More specifically, the environmental Kuznets curve is a hypothesized relationship between various indicators of environmental degradation and income per-capita.
The purpose of this study is twofold. Firstly, the EKC hypothesis is examined based on microeconomic level data, instead of macroeconomic, using the
Panel British Household Survey. Secondly, this study proposes two new transition functions, which are used in Fuzzy Logic. Furthermore, only the double threshold logistic transition function is explored in the literature. Thus, three additional double threshold transition functions are proposed and investigated in the current study.
The paper is organized as follows: Section 2 provides a briefly synopsis of previous researches in environmental Kuznets curve. Section 3 reviews the methodology of the models used in this study. Section 4 presents the data, and the research sample used in the estimations, while in Section 5 the empirical estimated results are reported and discussed.
2. Literature Review
Arrow et al.[3], Stern et al. [4] and Ekins [5] provide a number of reviews and critiques of the EKC studies. Grossman and Krueger, ([6], [7]) and Shafik and Bandyopadhyay, [8] suggest that at high income levels, material use increases in a way that the EKC is N-shaped. Shafik and Bandyopadhyay, [8] estimated the EKC hypothesis for 10 different indicators of environmental degradation, including lack of clean water and sanitation, deforestation, municipal waste, and sulphur oxides and carbon emissions. The authors found that the lack of clean water and sanitation declined uniformly with increasing incomes and over time; water pollution, municipal waste and carbon emissions increase; and deforestation is independent of income levels. In contrast, air pollutants conform to the EKC hypothesis with turning points at income levels between 300 and 4,000 US dollars. Panayotou, [9] using cross-section data and a translog specification, found similar results for these pollutants, with turning points at income levels ranging from 3,000 to 5,000 US dollars.
Panayotou, [9] also found that deforestation also conforms to the EKC hypothesis, with a turning point around 800 US dollars per capita; controlling for income, deforestation is significantly greater in tropical and in densely populated countries. Dinda [10] provides a very detailed and long survey of literature review about EKC hypothesis and environmental quality, but the researches are restricted on macroeconomic level. Cropper and Griffiths [11] estimated three regional EKCs for deforestation only. The regressions were for Africa, Latin America and Asia. They used pooled time series cross-section data on a regional basis. One of the main conclusions of this paper was that economic growth does not solve the problem of deforestation. Dijkgraaf and Vollebergh [12] estimated EKCs for CO$_2$ emissions relying on a panel data of OECD countries and time series regressions for each of the countries in the panel. They claim that although, analyzing the whole dataset, there is not a meaningful EKC for carbon emissions; for some individual countries this relationship may be significant.
3. Methodology
3.1. Model Specification
The basic smooth transition autoregressive (STAR) model, as discussed extensively in Granger and Terasvirta [13], Terasvirta [14] and van Dijk et al. [15], embraces two regimes, where the prevailing regime at time $t$ is determined by the value of an observable variable. A STAR model of order $p$ for a univariate time series $y_{it}$, which may represent for example the income in household $i$, for $i = 1, 2...N$ and in time $t$, for $t = 1, 2...T$, is given by:
$$y_{it} = a_i + \sum_{j=1}^{p} a_{i,j} y_{it-j} + G(s_{it}; \gamma, c_i (\beta_{i,0} + \sum_{j=1}^{p} \beta_{i,j} s_{it-j}) + \epsilon_{it} \tag{1}$$
Alternatively, STAR model can be expressed as:
$$y_{it} = \hat{a}_i x_{it} + \hat{\beta}_i x_{it} G(s_{it}; \gamma, c_i) + \epsilon_{it}, \tag{2}$$
where $x_{it} = (1, \tilde{x}_{it})$ with $\tilde{x}_{it} = (y_{t-1}, y_{t-2}..., y_{t-p})$, $\hat{a}_i = (a_{i,0}, a_{i,1}..., a_{i,p})$, $\hat{\beta}_i$ is similarly defined, $a_i$ represents the fixed individual effect and $\epsilon_{it}$ denotes the error term or the residuals. The so-called transition function $G(s_{it}; \gamma, c_i)$ is a continuous function that is bounded between 0 and 1. There are two possible interpretations of the STAR model. On the one hand, STAR model can be thought of as a regime switching model that allows for two regimes, associated with the extreme values of the transition function, $G(s_{it}; \gamma, c_i) = 0$ and $G(s_{it}; \gamma, c_i) = 1$, where the transition from one regime to the other is smooth. On the other hand, the STAR model allows for a continuum of regimes, each associated with a different value of $G(s_{it}; \gamma, c_i)$ between 0 and 1. The parameter $c_i$ in relations (1) and (2) can be interpreted as the threshold between the two regimes, in the sense that the transition function changes monotonically from 0 to 1 as the transition variable $s_{it}$ increases and $G(s_{it}; \gamma, c_i) = 0.5$ when $s_{it} = c_i$. The parameter $\gamma$ determines the smoothness of the change in the value of the logistic function and, thus, the smoothness of the transition from one regime to the other. In addition, as $\gamma \to \infty$ the models in (1) or (2) become Panel
Transition Regressions (PTR). Luukkonen, et al. [16] proposed a linearity test by replacing the transition function with its Taylor approximation of a suitable order. At this point it should be noticed that this is not suitable when the transition function $s_{it}$ is element of the vector $x_t$. Therefore, in the current study this test is not suitable, as the transition function is the income. Additionally, the choice of transition variable, in STAR models, is not straightforward, since the underlying economic theory often gives no clues as to which variable should be taken for the transition variable under the alternative. In the case examined this is not a shortcoming as based on EKC hypothesis the income is the transition function.
Based on STAR model methodology a Panel Smoothing Transition Regression (PSTR) is proposed. A feature that makes the PSTR model quite appealing is that individuals are not restricted to remain in the same group for all time periods if the so-called threshold variable that is used for grouping the observations is time-varying. Four transition functions are examined: the logistic, the exponential the Gaussian and the Generalized Bell function. These functions can be expressed by relation (3)- (6) respectively.
\begin{align}
G(y_{it}; \gamma, c_i) &= (1 + \exp(-\gamma(y_{it} - c_i)))^{-1}, \\
G(y_{it}; \gamma, c_i) &= (1 - \exp(-\gamma(y_{it} - c_i)))^2, \\
G(y_{it}; \gamma, c_i) &= \exp\left(\frac{-(y_{it} - c_i)^2}{2\gamma^2}\right), \\
G(y_{it}; \gamma, c_i) &= \left(1 + \left|\frac{y_{it} - c_i}{\gamma}\right|^{2b}\right)^{-1},
\end{align}
with positive parameters $c_i$ and $\gamma$. For relations (3) and (4) the following interpretation is possible. In the inner regime the individuals or households with low-middle income are included, while the individuals or households belonging in the high income class are expressed by the outer regime, which is characterized by the respective transition function. Therefore, PSTR can be seen as fuzzy regressions. Additionally, the three regime smoothing transition regression, which is the topic of interest in the current study, is defined as:
\begin{equation}
e_{it} = \hat{a}_i x_{it} + \hat{\beta}_{0i} G_1(y_{it}; \gamma_1, c_1) + \hat{\beta}_{1i} G_2(y_{it}; \gamma_2, c_2) + \epsilon_{it},
\end{equation}
where $e_{it}$ denotes the air pollution levels and $y_{it}$ determines both transitions and the second transition function is defined analogously to (3)-(6). Similarly, parameters $c_1$ and $c_2$ are the thresholds giving the location of the transition function and parameters $\gamma_1$ and $\gamma_2$ are the slopes of the transition functions.
3.2. Parameter Estimation
Estimating the parameters in the PSTR model (1) is an application of the fixed effects estimator and nonlinear least squares (NLS). First the individual effects $a_i$ are eliminated by removing individual-specific means and then apply NLS. Fixed effects, as well as, clustered-robust standard errors take place on local authority districts. While eliminating fixed effects using the within transformation is standard in linear panel data models, the PSTR model calls for a more careful treatment. The model used in this study for air pollution can be rewritten as:
$$e_{it} = \hat{a}_i + \hat{\beta}_i x_{it}(\gamma, c_i) + e_{it},$$ \hspace{1cm} (8)
where $e_{it}$ denotes the again air pollution emissions, $y_{it}$ is the personal or household income, $\hat{\beta}_i=(\hat{a}_i, \hat{\beta}_{ij})$ for $j=1,2,...p$ and $x_{it}=x_{it}, \hat{x}_{it}(G(y_{it};\gamma,c_i))$. Matrix $x_{it}$ contains the independent variables; the income and control variables. Subtracting the individual means from (8) yields:
$$\tilde{e}_{it} = \hat{\beta}_i \tilde{x}_{it}(\gamma, c_i) + \tilde{e}_{it},$$ \hspace{1cm} (9)
where $\tilde{e}_{it}=e_{it}-\bar{e}_i$, $\tilde{x}_{it}(\gamma,c_i)=(x_{it}-\bar{x}_i)$, $\hat{x}_{it} G_1(y_{it};\gamma,c)-\bar{w}_i(\gamma,c)$, $\tilde{e}_{it}=e_{it}-\bar{e}_i$ and $\bar{y}_i$, $\bar{x}_i$, $\bar{w}_i$ and $\bar{e}_i$ are individual means with $\bar{w}_i(\gamma,c)=T^{-1}\prod_{t=1}^{T} G(y_{it};\gamma,c)$. NLS are applied for the values determination of these parameters that minimize the concentrated sum of squared errors. These are defined as:
$$SSE(\gamma, c) = \sum_{i=1}^{N} \sum_{t=1}^{T} (\tilde{e}_{it} - \hat{\beta} \tilde{x}_{it}(\gamma, c))^2.$$ \hspace{1cm} (10)
In this study the sign of derivative $\frac{\partial e_{it}}{\partial y_{it}}$ is examined. More specifically, of the derivative presents a negative sign then the EKC hypothesis might hold. This indicates that there is a negative association between personal or household income and air pollution.
Usually, before proceeding with the estimation of the STAR models, it must be determined whether the regime-switching effect is statistically significant. The null hypothesis of linearity is $H_0: \gamma=0$, which expresses no regime-switching effect in the data. However, under the null hypothesis the PSTR model is unidentified, and then classical tests have no standard distribution, which is the so-called Davies Problem ([17], [18]). Therefore, the PSTRs are estimated and then the parameters are examined whether are significant or not. Based on this criterion the proper transition function is chosen. A practical issue that
deserves special attention in the estimation of the PSTR model is the selection of starting values for parameters $\gamma$ and $c$. For the smooth transition model, it is often suggested that sensible starting values can be obtained by means of a grid search across the parameters in the transition function. This suggestion is based on the fact that (9) is linear in parameters $\beta$ when $\gamma$ and $c$ are fixed. Hence, the concentrated sum of squared residuals (10) can be computed for an array or grid of values of $\gamma$ and $c$.
An extensive two-dimensional grid search over $\gamma$ and $c$ is carried out. The model with the minimum sum of squared errors value from the grid search is used to provide initial estimates of parameters $\gamma$ and $c$. Then, the model is re-estimated by NLS. For parameters $\gamma$ and $c$ the initial values of 1 and the mean of transition variable (income) respectively are set up. The grid search for parameter $c$ takes place in a short interval around the mean. For example for household income, where the mean is roughly 37,000, the grid search takes place in the interval [10, 11], which is expressed in logarithms, with increment 0.5. For parameter the grid search takes place in the interval [1 10] with increment 0.5. The estimations guarantee that the value of $c$ should not be far outside the transition variable and the problem of near-singularity in the moment matrix is avoided. Teräsvirta [14] proposed that in some case it might be proper to divide the parameter $\gamma$ with the sample standard deviation of the dependent variable, because the estimation of parameter $\gamma$ may cause problems like overestimations. This is not a drawback in the case examined, based on the estimations, presented in next part of the study. Furthermore, one additional parameter is included in Generalized bell function, parameter $b$. This parameter indicates the width of the curve. The grid search takes place in the interval [0.1 2] with increment 0.1. Additionally, the logarithms of income are taken.
Another aim of the paper is the proposal of more efficient transition function. More specifically, there might be more efficient algorithms, instead of grid search, for the computation of parameters, but this paper shows that Gaussian and Generalized bell functions are more efficient regarding the statistical significance of the parameters, as well as, the number of iterations for the NLS procedure. In particular the maximum number of iterations is set up at 5,000. The maximum optimum number of NLS process, regarding proposed transition functions, is significant lower to the respective of logistic and exponential functions. Additionally, the Root Mean Squared Error (RMSE), which is a common statistical measure of regression performance, is lower concerning the proposed transition functions.
4. Data
The data used for the estimations come directly from the British Household Panel Survey (BHPS). The BHPS was started as a result of a proposal to the ESRC to establish an Interdisciplinary Research Centre (IRC) at the University of Essex. The proposal for the BHPS was very consciously seeking to emulate the success of household panel studies in other countries in Europe and North America. In particular the original inspiration was the Panel Study on Income Dynamics carried out by the Institute for Social Research at the University of Michigan since 1968. The wave 1 panel consists of some 5,500 households and 10,300 individuals drawn from 250 areas of Great Britain. Additional samples of 1,500 households in each of Scotland and Wales were added to the main sample in 1999, and in 2001 a sample of 2,000 households was added in Northern Ireland, making the panel suitable for UK-wide research [19]. It should be noticed that only the city of London, and not the greater area of London, is examined in this paper.
The variables used as control, are the education, gender, age, family size or household size, job status, marital status and house tenure. For regional and geographic effects the controlling is done based on individuals local authority district. There are various reasons why the specific demographic and household characteristics are obtained. For example it could be the case that a higher level of education, which generally increases with income, enhances environmental awareness and thereby amplifies the pressure made by inhabitants on policy makers to increase environmental quality or to decrease the rate of environmental degradation. Similarly the job or marital status can play an important role on EKC hypothesis. Additionally, the personal, as well as, the household income are examined. The paper examines the relation of air quality and personal/household income and investigates the assumption if the household income is relevant in explaining a persons relation with the air pollution and if it is possible to state that there are communitarian arrangements within the family.
The data for the air pollutants, can be found at the website of the Department for Environment Food and Rural Affairs DEFRA. Carbon monoxide (CO) is a colourless, odourless, tasteless, poisonous gas produced by incomplete burning of carbon-based fuels, including gas, oil, wood and coal. Carbon-based fuels are safe to use. It is only when the fuel does not burn properly that excess CO is produced, which is poisonous. When CO enters the body, it prevents the blood from bringing oxygen to cells, tissues, and organs [20].
Sulphur dioxide (SO$_2$) is a colourless gas, released from burning fossil fuels
like coal and oil. It is one of the main chemicals that cause acid rain. Usually, power stations and oil refineries are the main sources of sulphur dioxide. Additionally, \((\text{SO}_2)\) has long been recognised as a pollutant because of its role, along with particulate matter, in forming winter-time smogs [20].
Weather and meteorological data come directly from MetOffice (www.metoffice.gov.uk) and National Climatic Data Centre (http://www.ncdc.noaa.gov). More specifically, the weather data used is the average temperature, the precipitation and the wind speed. The data period used in the current study covers the waves 1-18 or years 1991-2009.
5. Empirical Results
In Table 2 the Logistic and Exponential PSTR results are reported. Also the standard errors are presented between the brackets. As it can be observed the coefficients are insignificant, except from the parameters in the first regime. In Table 3 the results with Gaussian and Generalized bell transition function are presented. The results indicate that based on Root MSE, the parameters significance and the number of iterations; the proposed transition functions outperform the conventional ones. The only exception is the Root MSE for Exponential function, which is 0.705. Based on results of Table 3, there is a positive association between air emissions and personal or household income for the middle class. On the contrary this relationship becomes negative for high income households, and the magnitude is higher followed by low income individuals and households. The estimations regarding personal income with Gaussian function are insignificant. Moreover, other researches found, as the EKC hypothesis claims, an inverted-U shaped curve. The results of Table 3 indicate that a cubic, instead of a quadratic relation, might exist. Additionally, concerning the estimations obtaining Generalized bell transition function and personal income, parameters \(b_1\) and \(b_2\) are 0.587 and 0.600, but only \(b_2\) is significant at 5% level. Furthermore, parameters \(b_1\) and \(b_2\), in the case of household income, are 1.156 and 0.877 and statistically significant at 10% level.
Similarly, the results for Sulphur dioxide and the exponential transition function, show that all the income categories contribute negative to air emissions, regarding the personal income. On the contrary, based again on the results of Table 4, in the case of household income, only the results of exponential transition function are significant. The estimates show that there is a positive relationship between air pollutants and income. More specifically, the low income households contribute in a negative way to air pollution, while the
middle income contributes positive and more, followed by richer households. The same conclusion is derived by Gaussian and Generalized bell transition functions. Based on Tables 4 and 5, the proposed transition functions outperform the conventional using the same criteria mentioned previously. Moreover, regarding personal income, parameters $b_1$ and $b_2$ are 0.511 and 0.628 respectively, but insignificant. On the other hand, in the case of household income parameters $b_1$ and $b_2$ are 0.563 and 0.828 respectively and statistically significant at 1% and 5% level.
Generally, EKC hypothesis does not hold in both air pollutants examined. More precisely, there might be a cubic relationship, rather a linear or quadratic. Moreover, only two major air pollutants have been examined, while there are other major pollutants, as nitrogen dioxide or nitrogen oxides, as well as, secondary pollutants, like ground-level ozone and especially particulate matter. Finally, most researches examine macroeconomic level, like country level, and not individual or household level. Additionally, most studies use conventional panel data procedures as fixed and random effects, while also this paper proposes and examines two additional transition functions.
6. Conclusion
This paper suggests further empirical investigation of EKC hypothesis in additional microeconomic level data using switching regime regressions. Furthermore, STAR models have been inspired by fuzzy logic and artificial intelligence techniques, therefore alternative transition functions are proposed in this study, as the Gaussian and the Generalized Bell functions, but additional functions can be used as well, like the triangle and the trapezoidal among others. Moreover, simulated annealing algorithm can be used instead of grid search procedure. Furthermore, neural networks with error backpropagation algorithm or neuro-fuzzy systems can be used. Generally, fuzzy rules can be incorporated or other training or computational methods can be applied instead to nonlinear squares. Finally, free-derivative procedures, like genetic algorithms, can be used in order to compute the parameters $\gamma$ and $c$.
References
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### Appendix
| Variable | Mean | Standard Deviation | Min | Max |
|-------------------|----------|--------------------|-------|--------|
| Personal Income | 9,193.611| 14,498.68 | 0 | 1,190,309 |
| Household Income | 27,729.92| 22,827.92 | 0 | 1,205,210 |
| Carbon Monoxide | 0.443 | 0.398 | 0 | 6.7 |
| Sulphur Dioxide | 7.457 | 8.343 | 0 | 291 |
Table 1: Summary statistics for income and air pollutants
| Logistics PSTR | personal income | household income |
|----------------|-----------------|------------------|
| $\alpha_{00}$ | 0.797 (0.416)* | 1.779 (0.455)*** |
| $\alpha_{01}$ | 0.030 (0.013)** | -0.037 (0.057) |
| $\beta_{00}$ | -0.333 (0.411) | -0.006 (0.005) |
| $\beta_{01}$ | 0.027 (0.030) | 0.461 (0.290) |
| $\beta_{10}$ | -0.0002 (0.005) | -1.970 (0.790)** |
| $\beta_{11}$ | 0.002 (0.003) | 0.165 (0.233) |
| $c_1$ | 7.951 (7.577) | 7.878 (7.655) |
| $c_2$ | 9.433 (8.127) | 9.971 (2.346)*** |
| $\gamma_1$ | 1.057 (0.764) | 2.913 (10.626) |
| $\gamma_2$ | 3.317 (4.330) | 1.306 (2.707) |
| Threshold 1 | 2,838 | 5,079 |
| Threshold 2 | 12,494 | 21,397 |
| N.observations | 1,544 | 2,380 |
| No.iterations | 4,745 | 4,878 |
| Adjusted R² | 0.0185 | 0.0189 |
| Root MSE | 0.700 | 0.768 |
| Exponential PSTR | personal income | household income |
|------------------|-----------------|------------------|
| $\alpha_{00}$ | 1.628 (0.273)***| 1.851 (0.322)*** |
| $\alpha_{01}$ | -0.102 (0.027)***| -0.105 (0.026)***|
| $\beta_{00}$ | -0.003 (0.002) | 0.078 (0.117) |
| $\beta_{01}$ | -0.006 (0.005) | -0.015 (0.025) |
| $\beta_{10}$ | 0.025 (0.018) | 0.253 (0.545) |
| $\beta_{11}$ | -0.008 (0.006) | -0.006 (0.013) |
| $c_1$ | 7.951 (8.253) | 8.050 (7.965) |
| $c_2$ | 9.756 (10.075) | 10.256 (13.144) |
| $\gamma_1$ | 2.566 (1.871) | 0.971 (0.475)** |
| $\gamma_2$ | 1.322 (1.457) | 5.622 (14.418) |
| Threshold 1 | 2,838 | 3,134 |
| Threshold 2 | 17,257 | 28,453 |
| N.observations | 1,544 | 2,380 |
| No.iterations | 4,397 | 4,178 |
| Adjusted R² | 0.0185 | 0.0153 |
| Root MSE | 0.701 | 0.705 |
***, ** and * denote sig. at 1%, 5% and 10% level
Table 2: LPSTR and EPSTR Estimates for Carbon Monoxide (CO)
| Coefficient | personal income | household income |
|-------------|-----------------|------------------|
| $\alpha_{00}$ | 0.499 (0.106)*** | 1.337 (0.242)*** |
| $\alpha_{01}$ | 0.024 (0.024) | -0.061 (0.023)*** |
| $\beta_{00}$ | 0.434 (0.503) | 0.152 (0.614) |
| $\beta_{01}$ | 0.041 (0.061) | 0.111 (0.008)** |
| $\beta_{10}$ | 0.566 (10.016) | -0.197 (0.232) |
| $\beta_{11}$ | -0.084 (0.919) | -0.068 (0.005)*** |
| $c_1$ | 8.200 (0.178)*** | 8.555 (0.319)*** |
| $c_2$ | 10.942 (5.100)*** | 11.099 (0.015)*** |
| $\gamma_1$ | 0.215 (0.143) | 0.036 (0.009)*** |
| $\gamma_2$ | 1.145 (1.877) | 0.017 (0.003)*** |
| Threshold 1 | 3.641 | 5.192 |
| Threshold 2 | 56.500 | 66,050 |
| No. observations | 1,544 | 2,380 |
| No.iterations | 396 | 787 |
| Adjusted R$^2$ | 0.0366 | 0.0492 |
| Root MSE | 0.696 | 0.756 |
| Coefficient | personal income | household income |
|-------------|-----------------|------------------|
| $\alpha_{00}$ | 1.386 (0.394)*** | 1.310 (0.351)*** |
| $\alpha_{01}$ | -0.091 (0.037)** | -0.082 (0.034)** |
| $\beta_{00}$ | 2.777 (4.500) | -5.739 (3.140)** |
| $\beta_{01}$ | 0.730 (0.256)*** | 0.879 (0.365)** |
| $\beta_{10}$ | 0.376 (0.566) | -3.471 (4.175) |
| $\beta_{11}$ | -0.976 (0.525)* | -0.385 (0.017)*** |
| $c_1$ | 8.112 (0.293)*** | 8.577 (0.319)*** |
| $c_2$ | 10.828 (0.256)*** | 11.063 (0.006)*** |
| $\gamma_1$ | 0.523 (0.157)*** | 0.920 (0.427)** |
| $\gamma_2$ | 0.496 (0.150)*** | 0.530 (0.090)*** |
| Threshold 1 | 3,334 | 5,308 |
| Threshold 2 | 50,412 | 63,767 |
| No. observations | 1,544 | 2,380 |
| No.iterations | 248 | 95 |
| Adjusted R$^2$ | 0.0441 | 0.0612 |
| Root MSE | 0.693 | 0.752 |
***, ** and * denote sig. at 1%, 5% and 10% level
Table 3: GPSTR and GbPSTR Estimates for Carbon Monoxide (CO)
| Coefficient | personal income | household income |
|-------------|-----------------|------------------|
| $\alpha_{00}$ | 4.668 (1.117)*** | 0.866 (4.494) |
| $\alpha_{01}$ | 0.600 (0.279)** | 0.858 (0.674) |
| $\beta_{00}$ | -1.052 (0.076)*** | -0.195 (0.753) |
| $\beta_{01}$ | 0.088 (0.015)*** | 0.014 (0.055) |
| $\beta_{10}$ | -0.001 (0.027) | 0.352 (0.466) |
| $\beta_{11}$ | 0.0001 (0.0019) | -0.293 (0.380) |
| $c_1$ | 7.375 (1.595)*** | 8.222 (9.127) |
| $c_2$ | 9.077 (8.155) | 9.227 (10.175) |
| $\gamma_1$ | 1.185 (0.084)*** | 1.199 (0.958) |
| $\gamma_2$ | 3.527 (1.719)** | 7.452 (241.646) |
| Threshold 1 | 1,596 | 3,722 |
| Threshold 2 | 8,752 | 10,168 |
| No. observations | 1,775 | 2,621 |
| No.iterations | > 5,000 | > 5,000 |
| Adjusted R$^2$ | 0.0171 | 0.0110 |
| Root MSE | 7.149 | 7.496 |
| Coefficient | Exponential PSTR |
|-------------|------------------|
| $\alpha_{00}$ | 14.249 (1.998)*** | 18.559 (11.180)* |
| $\alpha_{01}$ | -0.742 (0.201)*** | -0.916 (0.277)*** |
| $\beta_{00}$ | 0.002 (0.0006)** | 1.480 (1.244) |
| $\beta_{01}$ | -0.0057 (0.0022)** | 3.307 (0.229)*** |
| $\beta_{10}$ | 0.0001 (0.00005)** | 0.123 (0.133) |
| $\beta_{11}$ | -0.00013 (0.00005)** | 2.301 (0.325)*** |
| $c_1$ | 7,455 (2.125)*** | 8.687 (1.798)*** |
| $c_2$ | 9.006 (1.133)*** | 9.547 (5.475)** |
| $\gamma_1$ | 1.527 (0.098)*** | 0.528 (0.707) |
| $\gamma_2$ | 2.433 (2.127) | 4.174 (86.393) |
| Threshold 1 | 1,729 | 5,925 |
| Threshold 2 | 8,063 | 16,234 |
| No. observations | 1,775 | 2,621 |
| No.iterations | 112 | 1,257 |
| Adjusted R$^2$ | 0.0109 | 0.0081 |
| Root MSE | 7.165 | 7.491 |
***, ** and * denote sig. at 1%, 5% and 10% level
Table 4: LPSTR and EPSTR Estimates for Sulphur Dioxide (SO$_2$)
| Coefficient | personal income | household income |
|-------------|-----------------|------------------|
| $\alpha_{00}$ | 4.492 (1.108)*** | 9.537 (3.205)*** |
| $\alpha_{01}$ | -0.109 (0.205) | -0.421 (0.222)* |
| $\beta_{00}$ | 51.191 (61.216) | -63.635 (35.727)* |
| $\beta_{01}$ | 4.893 (1.124)*** | 8.012 (4.466)* |
| $\beta_{10}$ | -4.560 (3.585) | -37.438 (26.526) |
| $\beta_{11}$ | 0.235 (8.864) | 3.986 (1.762)** |
| $c_1$ | 7.776 (0.131)*** | 7.937 (0.936)*** |
| $c_2$ | 9.103 (0.486)*** | 9.772 (1.781)*** |
| $\gamma_1$ | 0.739 (0.252)*** | 1.506 (0.368)*** |
| $\gamma_2$ | 0.327 (0.159)** | 1.455 (0.038)*** |
| Threshold 1 | 2,382 | 2,799 |
| Threshold 2 | 8,982 | 17,536 |
| No.observations | 1,775 | 2,621 |
| No.iterations | 48 | 63 |
| Adjusted R² | 0.0278 | 0.0165 |
| Root MSE | 7.114 | 7.468 |
| Coefficient | Generalized bell PSTR |
|-------------|-----------------------|
| $\alpha_{00}$ | 13.976 (3.454)*** |
| $\alpha_{01}$ | -0.922 (0.320)*** |
| $\beta_{00}$ | 99.363 (88.038) |
| $\beta_{01}$ | 11.230 (6.537)* |
| $\beta_{10}$ | -62.022 (60.868) |
| $\beta_{11}$ | 7.211 (23.263) |
| $c_1$ | 8.031 (0.670)*** |
| $c_2$ | 8.970 (1.007)*** |
| $\gamma_1$ | 0.511 (0.048)*** |
| $\gamma_2$ | 0.604 (0.063)*** |
| Threshold 1 | 3,074 | 3,271 |
| Threshold 2 | 7,863 | 21,226 |
| No.observations | 1,775 | 2,621 |
| No.iterations | 46 | 55 |
| Adjusted R² | 0.0338 | 0.0160 |
| Root MSE | 7.094 | 7.470 |
***, ** and * denote sig. at 1%, 5% and 10% level
Table 5: GPSTR and GbPSTR Estimates for Sulphur Dioxide (SO₂)
Economic growth Environmental pollution Environmental Kuznets Curve Panel smooth transition model. This is a preview of subscription content, log in to check access. Notes. Duarte R, Pinilla V, Serrano A (2013) Is there an environmental Kuznets curve for water use? a panel smooth transition regression approach. Econ Model 31:518–527CrossRefGoogle Scholar. Fok D, Van Dijk D, Franses PH (2005) A multi-level panel STAR model for US manufacturing sectors. J Appl Econ 20(6):811–827CrossRefGoogle Scholar. Fouquau J, Hurin C, Rabaud I (2008) The Feldstein–Horioka puzzle: a panel smooth transition regression approach. Econ Model 25(2):284–299CrossRefGoogle Scholar.
|
Determinism in Mesoscale Wind Spectra at Columbia, Missouri
James B. Harrington\(^1\) and Thomas R. Heddinghaus
Dept. of Atmospheric Science, University of Missouri, Columbia 65201
(Manuscript received 20 September 1973, in revised form 29 November 1973)
ABSTRACT
Power spectra of mesoscale eddies with periods ranging from 10 min to 8 hr were computed for the months of January and July from three years of surface wind data obtained at Columbia, Mo. To educe the degree of determinism in the spectra, their variability with time of year, time of day, wind speed and direction, and with the presence or absence of thunderstorms was measured.
Diurnal spectra for January and July were found to be similar. A comparison of semidiurnal daytime and nighttime spectra showed that the former contained considerably more energy than the latter and that the difference was greater in July than in January. The eddy energy was shown to increase by a factor of approximately 7 at night in the presence of thunderstorms. No effect of wind direction could be found.
Over a large portion of the lower mesoscale range the diurnal power spectra followed a \(-1\) law, similar to that for "wall turbulence" in the layer of strong shear in the boundary layer over a flat plate.
1. Introduction
Mesoscale atmospheric eddies, with periods ranging from 10 min to 8 hr, are of the utmost importance in both air pollution and atmospheric energetics problems. For example, the duration of sampling at a stationary array in atmospheric diffusion experiments usually corresponds to periods in the mesoscale range. Eddies in the mesoscale range have an overriding influence on the measured diffusion because of the rapid increase of eddy energy with eddy size (Kolmogoroff, 1941) and because of the decreasing effectiveness with time of the smaller eddies (Batchelor, 1949).
The degree to which mesoscale eddies link synoptic-scale and microscale eddies in phase space and the degree to which mesoscale eddies contribute to the generation and dissipation of the wind are not clearly understood. This topic is one of the major areas for investigation in the GARP Atlantic Tropical Experiment (GATE). Some authors consider the mesoscale gap to indicate very little linkage, especially in the dissipation process (Fiedler and Panofsky, 1970), whereas others consider mesoscale eddies to be of major importance in both processes, but especially in generation (McInnis and Kung, 1972; Gray, 1970). It can certainly be claimed that mesoscale turbulence is worthy of study.
It is the purpose of this paper to examine the power spectra of atmospheric eddies in the mesoscale range in order to ascertain the extent to which such eddies are deterministic. The relatively uniform mid-continental terrain near Columbia in central Missouri was chosen for the analysis because it provides a good contrast with more distinctive topography whose power spectra will be studied later. Eventually it will be desirable to accumulate spectra for a large number of sites in order to produce a spectrum climatology.
2. Determinism in power spectra of atmospheric turbulence
Studies of the power spectrum of the horizontal wind have been published by Panofsky and McCormick (1954), Van der Hoven (1957), Panofsky (1969), Oort and Taylor (1969), Vinnichenko (1970), and others. The time spectrum given by Vinnichenko (Fig. 1) shows general features common to most spectra: an annual cycle most prominent in the free atmosphere (above 1 km), a flat peak rising from the planetary wave scale near 60 days to a maximum near 5 days, a diurnal cycle, a semi-diurnal cycle near the ground indicating that this spectrum was measured near 100 m (Taylor, 1917), a broad spectral gap in the mesoscale range centered near a period of 1 hr, and a microscale peak near 1–2 min. The mesoscale region is characterized by Fiedler and Panofsky (1970) as being a region of negligible generation lying between the synoptic-scale peak created by barotropic and baroclinic instabilities and a microscale peak resulting from Kelvin-Helmholtz instabilities (vertical wind shear and thermal instability). Mesoscale turbulence can be naturally divided in two depending on whether or not the eddies exceed in size the depth of the troposphere. In the large-scale, low-frequency portion of the mesoscale region, where wavelengths exceed the depth of the troposphere, eddies are basically two-dimensional.
through resonance between the shear flow in the Ekman layer and internal gravity waves (Kaylor and Faller, 1972; Vinnichenko and Dutton, 1969). Shear in the turbulent boundary layer, although contributing greatly to the cascading process (Hinze, 1959, p. 263; Tennekes and Lumley, 1972, p. 256), contributes little to the direct generation of mesoscale turbulence because the shearing stress over the depth of the boundary layer is too small.
As far as is known no author has yet attempted to predict the variability of the power spectrum of eddies in the lower-mesoscale range on any basis, although the Pasquill stability categories used in pollution research make a successful use of such variability (Pasquill, 1961).
3. Data processing and analysis
Wind speed and direction were measured at a site 5 mi southeast of Columbia, Mo., in an area of gently undulating topography locally free of trees and other obstructions. A Belfort type L anemometer (starting speed 2.5 mph) was mounted on a small building at an elevation of 28 ft above the ground. The anemometer transmitted wind speed and direction to a chart recorder set to advance at 3 inches hr\(^{-1}\).
Six months of data were chosen for this study: July 1968, 1969, 1970, and January 1969, 1970, 1971. Five minute averages of wind speed and direction were abstracted from the records and transformed to north-south, \(v\), and east-west, \(u\), components.
To obtain power spectral estimates of the lower-mesoscale eddy energy as a function of variables such as wind speed, wind direction, time of day, and the presence or absence of thunderstorms, it was necessary to break the observations into shorter intervals than the monthly periods over which they were abstracted. The shortest interval chosen was one-half day, allowing spectra to be computed out to periods of about 4 hr.
To achieve some measure of stationarity, the data were first smoothed by applying a normal distribution smoothing function using a standard deviation of 4 hr as shown in Fig. 2, and then filtered by subtracting the smoothed curve from the original data. The filtered data were then referred to as \(\hat{u}\) and \(\hat{v}\). Twelve days were missing out of the six months of record. For the purpose of smoothing, zeroes were substituted for the missing data. All values within 8 hr of any missing data point were omitted from the analysis.
A standardized program was used to compute the power spectra from the filtered data (Dixon, 1968). Daily power spectral estimates for both \(\hat{u}\) and \(\hat{v}\) were computed over 24-hr periods beginning at 0000 CST for 48 frequencies ranging from 1 cycle per 8\(\frac{1}{2}\) hr to the Nyquist frequency of 1 cycle per 10 min. Semi-diurnal estimates were computed for daytime (0600 to 1800 CST) and nighttime (1800 to 0600 CST) at 24 freFig. 2. Five-minute averages of the east-west wind component (squares) and the same data after normal distribution smoothing (circles) for July 1969. The circles and squares are plotted at hourly intervals. The date markers are located at 0000 CST.
Fig. 3. Inverse frequency response of the measured spectrum due to a finite observation interval of 24 hr, A, a finite observation interval of 12 hr, B, normal distribution smoothing, C, and 5-min averaging, D.
Frequencies ranging from 1 cycle per $4\frac{1}{6}$ hr to the Nyquist frequency.
Distortions in the power spectra generated by each of the operations performed on the data were reduced by applying appropriate inverse response functions. The effect of a finite sampling period is corrected by the approximate relation given by Ogura (1957):
$$S_\infty(\omega) = S_T(\omega) \left[1 - \frac{\sin\left(\frac{\omega T}{2}\right)}{\frac{\omega T}{2}}\right]^{-1},$$
where $S_\infty(\omega)$ is the corrected spectral density and $S_T(\omega)$ the spectral density for a finite period $T$. The effect of 5-min averaging is corrected by a relation first used in the meteorological literature by Griffith et al. (1956):
$$S_u(\omega) = S_{\bar{u}}(\omega) \left[\frac{\sin\left(\frac{\Delta t \omega}{2}\right)}{\frac{\Delta t \omega}{2}}\right]^{-2},$$
where $\Delta t$ is the averaging interval (5 min) and $S_{\bar{u}}(\omega)$ the measured spectral density of the averaged wind. The effect of using the normal distribution function is corrected by a relation computed by the authors to be (see Bracewell, 1965, p. 130)
$$S(\omega) = S_f(\omega) \left[1 + \exp(-\omega^2 \sigma^2) - 2 \exp\left(-\frac{\omega^2 \sigma^2}{2}\right)\right]^{-1},$$
where $S_f(\omega)$ is the spectrum of the filtered data. The inverse response functions for each of the three processes (Fig. 3) indicate that only the 5-min averaging significantly affects the spectra over the range of frequencies considered.
Two types of aliasing error occur in power spectra. The first, observed in one-dimensional spectra when wave fronts are not aligned normal to the axis of measurement, does not change the shape of the spectrum for isotropic turbulence in the "inertial-subrange" (Tennekes and Lumley, 1972, p. 265) and therefore affects none of the comparisons to be made later. The same conclusion is drawn for two-dimensional isotropic wall turbulence (Hinze, 1959, p. 268).
The second aliasing error occurs in spectral analysis when discrete samples are drawn from continuous data. Energy from all frequencies higher than the Nyquist frequency is folded into the measured spectrum. The effect for random turbulence is unpredictable (Griffith et al., 1956; Oort and Taylor, 1969). Five-minute averaging serves to eliminate most of the aliasing problem but no estimate of the magnitude of the remaining error is available.
4. Results
Ensemble averages of daily power spectral estimates of $u$ and $v$ were computed for the months of January and July (Fig. 4). No significant difference can be discerned between the January and July spectra despite observed differences in the mean wind speed (Table 1). These results strongly suggest that eddy energy in the lower-mesoscale range is not produced by shearing stress in the boundary layer, at least for the reported wind speeds. No difference was observed between the spectra for the $u$ and $v$ components in any of the data selected for this study (Fig. 4), a result which would be expected in isotropic turbulence only if the average deviation of the wind from the north-south axis lay at approximately 45° (Hinze, 1959, p. 167).
The effect of stability on the energy in the lower-mesoscale range is clearly demonstrated by the day-night comparisons shown in Figs. 5a–c. During July a comparison of the daytime power spectral estimates with those for the nighttime reveals that the former contain almost an order of magnitude more energy than the latter for periods <20 min, gradually decreasing to about a factor of 2 difference at a period of 4 hr. It is obvious that the addition of turbulent energy through convective instability is not confined to eddies with periods near the microscale peak, but occurs in significant quantities throughout the lower-mesoscale range. The anomalous curve for July 1969 will be discussed later.
Table 1. Observed average wind speeds (mph) at Columbia, Mo., for January 1969, 1970, 1971 and July 1968, 1969, 1970.
| | Days | Nights |
|-------|------|--------|
| January | 11.6 | 10.7 |
| July | 9.4 | 7.4 |
A comparison of the January daytime and nighttime spectra (Fig. 5b) also reveals more energy in the former, although, as might be expected considering the reduced solar radiation in January, the effect is much
smaller than in July. An average of all the daytime and nighttime spectra for January and July (Fig. 5c) clearly shows the greater July range.
The anomalous nighttime spectrum of July 1969 contains more energy between periods of 1 to 4 hr than even the daytime spectra (Fig. 5b). A check of the
**Fig. 5c.** As in Fig. 5a except for July and January.
**Fig. 6.** Ensemble averages of nighttime power spectral estimates for January 1969 for nights with and without thunderstorms.
Fig. 7. Ensemble averages of diurnal power spectral estimates for three wind speed categories in the wind direction range $170^\circ-220^\circ$ as a function of the regular frequency range (a) and the dimensionless frequency $f$ (b).
Local Climatological Data disclosed that eight nighttime thunderstorms occurred during July 1969 as compared to one and two for July 1968 and 1970. Nighttime power spectra prepared for July 1969 with the eight thunder-
Fig. 8. Power spectra of the $u$ components for ensemble averages of all daily January and July power spectral estimates plotted on a log-log scale. Lines with slopes of $-5/3$ and $-1$ are shown.
storm nights removed conformed to those for the other two July months. The enormous increase in eddy energy on thunderstorm nights is clearly demonstrated in Fig. 6 where spectral estimates of the eight thunderstorm nights is contrasted with spectral estimates for the remaining nights of that month. From these data one can infer that energy dissipation due to the cascade from the mesoscale range on one thunderstorm night in Missouri is about seven times greater than that from the same frequency range for a non-thunderstorm night.
To determine a possible terrain effect the daily power spectral estimates were grouped into nine categories with three wind direction ranges (120°–240°, 250°–350°, 360°–110°) and three wind speed ranges (<5 mph, 5–10 mph, >10 mph). Ensemble averages in each category were computed and the results compared. No consistent peaks could be associated with distinctive
terrain features such as the Ozark mountains and only minor differences between the categories were observed.
A breakdown into twelve categories with six wind direction ranges (170°–220°, 230°–280°, 290°–340°, 350°–40°, 50°–100°, 110°–160°) and two wind speed ranges (<6.7 mph, >6.7 mph) also failed to reveal any directional effects. Plotting the spectra against the dimensionless frequency $f = \nu z / u$ failed to reveal any outstanding peaks [Fig. 7; for a complete display see Heddinghaus (1972)].
One must conclude that in central Missouri there is no observable effect of wind direction on the power spectral estimates in the lower mesoscale range. This may be attributed in part to the uniformity of terrain roughness in all directions from Columbia, in part to the inability of the scale of roughness elements present to influence turbulence in the lower-mesoscale region, and possibly in part to the turbulent destruction of any large-scale eddies produced by distant topographic features such as the Ozark mountains. It is also possible that more data and narrower wind speed and direction categories would have revealed some topographical effects.
The frequency dependence of the energy spectrum for three-dimensional isotropic turbulence in the inertial subrange follows the $-5/3$ law as proven theoretically by Kolmogoroff (1941) and demonstrated both for the lower-mesoscale region and for the high frequency side of the microscale peak (Vinnichenko and Dutton, 1969; MacCready, 1953; Pond et al., 1963; and others).
In the strong layer of shear near the ground, turbulence is not isotropic except for the smallest eddy sizes. This nonisotropy is a consequence of preferential generation of turbulence in the direction of the mean flow and of the presence of a solid lower boundary. Near the ground, turbulence should be more typical of what Hinze (1959, p. 501) has characterized as "wall turbulence." "Wall turbulence" is characterized by a rapid cascade of energy from larger to smaller scales brought about by the action of strong boundary layer shear on eddies which extend for a significant distance through the shear layer. In this region both theory\(^2\) (Hinze, 1959, p. 268) and observation (Klebanoff, 1954; Laufer, 1954) indicate a $-1$ law for both the three-dimensional and the one-dimensional spectra.
Ensemble averages of the $u$ component of all daily power spectra for January and July are shown plotted in Fig. 8 on a log-log scale. The slopes conform to a $-1$ law over a range of periods from 20 min to 2 hr. Corroboratory evidence can be seen in data presented by Hwang (1970) for Palmyra Island (Fig. 9). It can be concluded that three-dimensional turbulence in the layer of strong shear near the ground exhibits the same spectral characteristics as "wall turbulence." For periods $>2$ hr (depending on the wind speed) the eddies begin to occupy the full depth of the troposphere and become, more or less, two-dimensional. The slope of the profiles in Fig. 8 at periods $>2$ hr becomes indeterminate.
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|
SAHARA: Memory Footprint Reduction of Cloud Databases with Automated Table Partitioning
Michael Brendle
email@example.com
University of Konstanz
Nick Weber*
firstname.lastname@example.org
Celonis SE
Mahammad Valiyev*
email@example.com
Technical University of Munich
Norman May
firstname.lastname@example.org
SAP SE
Robert Schulze
email@example.com
SAP SE
Alexander Böhm
firstname.lastname@example.org
SAP SE
Guido Moerkotte
email@example.com
University of Mannheim
Michael Grossniklaus
firstname.lastname@example.org
University of Konstanz
ABSTRACT
Enterprises increasingly move their databases into the cloud. As a result, database-as-a-service providers are challenged to meet the performance guarantees assured in service-level agreements (SLAs) while keeping hardware costs as low as possible. Being cost-effective is particularly crucial for cloud databases where the provisioned amount of DRAM dominates the hardware costs. A way to decrease the memory footprint is to leverage access skew in the workload by moving rarely accessed cold data to cheaper storage layers and retaining only frequently accessed hot data in main memory. In this paper, we present SAHARA, an advisor that proposes a table partitioning for column stores with minimal memory footprint while still adhering to all performance SLAs. SAHARA collects lightweight workload statistics, classifies data as hot and cold, and calculates optimal or near-optimal range partitioning layouts with low optimization time using a novel cost model. We integrated SAHARA into a commercial cloud database and show in our experiments for real-world and synthetic benchmarks a memory footprint reduction of 2.5× while still fulfilling all performance SLAs provided by the customer or advertised by the DBaaS provider.
1 INTRODUCTION
As enterprises are increasingly moving their databases into the cloud, database-as-a-service (DBaaS) providers (e.g., Amazon Redshift [14], Snowflake [18], or SAP HANA Cloud [61]) need to reduce hardware costs instead of only focusing on the classical database objective of maximizing performance to remain competitive in the marketplace. DBaaS providers can tailor their hardware setup to customer needs based on different compute, memory, and storage nodes. Such flexible provisioning models enable DBaaS providers to adapt the (virtual) hardware to the expected workload by configuring database instances appropriately. Additionally, DBaaS providers typically host database instances of thousands of customers. Consequently, multiple database instances, e.g., different tenants, can be placed on the same (virtual) node to increase the tenant density and to utilize available hardware resources more efficiently.
Previous work [44] identified the provisioned amount of DRAM as the primary driver of hardware costs. For example, in 2021, a memory-optimized Google Cloud [26] instance costs monthly only $18 per vCPU and $80 per TB of provisioned disk space, while main memory is prizred at $2606 per TB of DRAM. Since DBaaS providers are able to scale memory nodes flexibly, reductions in memory footprint (e.g., smaller buffer pool sizes for database instances) quickly translate to substantial hardware cost savings. However, service-level agreements (SLAs) guarantee customers a certain level of performance. As a result, DBaaS providers are challenged to meet the performance SLAs provided by the customer or advertised by the DBaaS provider while keeping the memory footprint of their offerings as low as possible.
In this paper, we present SAHARA\(^1\), which proposes a table partitioning for each relation such that the buffer pool size is minimized while all performance SLAs are fulfilled. To illustrate the main idea of SAHARA, let us consider the query “SELECT DISCOUNT FROM LINEITEM WHERE SHIPDATE >= 1994-12-24 and SHIPDATE < 1995-01-01” that selects the discount of all shipped line items between Christmas and New Year’s Eve 1994. Assume that LINEITEM is stored on pages in a disk-based column store with a buffer pool, that it is not clustered by SHIPDATE, and that it does not have any index on SHIPDATE. Under this assumption, the whole SHIPDATE column must be scanned to evaluate the selection predicate. Further, to project on DISCOUNT, almost all pages of the DISCOUNT column are accessed because the qualifying tuples are likely distributed over all DISCOUNT pages. In
\(^1\)A storage advisor based on heavy and rare accesses.
contrast, creating a range partitioning on SHIPDATE with partition boundary values 1994-12-24 and 1995-01-01 reduces the number of accessed pages and, therefore, the required buffer pool size. There are two reasons for this: First, due to partition pruning, only the SHIPDATE column of the single range partition [1994-12-24, 1995-01-01] must be scanned to evaluate the selection predicate. The SHIPDATE column of all other range partitions is not accessed. Second, because of the correlated storage of the DISCOUNT column with the SHIPDATE column that follows from the range partitioning, only DISCOUNT pages that refer to the range partition [1994-12-24, 1995-01-01) are accessed to project on DISCOUNT. All other range partitions are not accessed.
To show that SAHARA’s idea also works for more complex workloads, we consider Fig. 2, illustrating two partitioning layouts for six attributes of ORDERS after executing 200 queries of the JCC-H benchmark [10]. The non-partitioned layout is shown on the left, while the right shows the range-partitioned layout proposed by SAHARA. Each column partition consists of multiple 4 KB pages (i.e., each horizontal line represents a single 4 KB page). To quantify the impact of SAHARA’s layout on the buffer pool size, we count the number of physical page accesses of all operators by the workload. To draw a reasonable border between frequently (hot) and rarely (cold) accessed pages, we consider the five-minute-rule\(^2\) to classify pages as hot or cold [27]. Hot pages are shown in red, whereas cold pages are white (no access) or blue (at least one access). We observe that the range-partitioned layout proposed by SAHARA consists of fewer hot pages than the non-partitioned layout. In particular, only a subset of O_CUSTKEY (CK), O_ORDERDATE (OD), and O_ORDERKEY (OK) is frequently accessed in SAHARA’s layout compared to the non-partitioned layout. Consequently, the buffer pool size can be reduced with SAHARA’s layout by keeping only hot-classified pages in DRAM.
Fig. 1 shows that existing table partitioning advisors focuses on the classical database objective of maximizing performance. In particular, existing table partitioning advisors [17, 31, 50, 56, 58, 63] do the exact opposite of what SAHARA intends to achieve: To balance the load on partitions, they distribute accesses evenly across all partitions and, therefore, generate pages with mixed temperatures (hot and cold data). This pollutes the buffer pool with cold data because all pages with hot data (including cold data) are required to be held in DRAM to maximize performance.
Besides a different objective function, Fig. 1 shows that state-of-the-art table partitioning advisors are mainly designed for row stores [2, 3, 17, 31, 50, 56, 58, 59, 63, 73, 74]. SAHARA instead is a table partitioning advisor designed for column stores and considers, in contrast to related work [47, 74], the impact of dictionary compression on the memory footprint of range partitioning layouts. This aspect is crucial since many column stores allow dictionary compression [1].
Furthermore, SAHARA collects physical data accesses and, therefore, is not sensitive to skew in the distribution of data accesses, unlike IBM DB2 [34, 59, 74] and Microsoft SQL Server [2, 3, 47] that rely on the optimizer’s what-if API. Finally, SAHARA is a table partitioning advisor that handles all operators, contrary to Casper [7], which considers only selections.
Our contributions are summarized below:
- We formalize the problem of minimizing the memory footprint while fulfilling performance SLAs for range partitionings with optional dictionary compression (Sec. 3).
- We introduce SAHARA, a table partitioning advisor that collects lightweight workload statistics (Sec. 4) and calculates (near)-optimal range partitioning layouts with low optimization time (Sec. 5) for estimates of accesses as well as storage sizes (Sec. 6) using a novel cost model (Sec. 7).
- We integrated SAHARA prototypically into SAP HANA Cloud and analyze the memory footprint, hardware costs, precision of estimates, optimality, overhead, and optimization time for real-world and synthetic benchmarks (Sec. 8).
## 2 OVERVIEW
We present a table partitioning advisor that optimizes each relation independently from other relations. Its objective is to decrease buffer pool pollution and reduce data accesses. We consider derived partitioning of multiple relations as future work. Our table partitioning advisor focuses on range partitioning because hash and round-robin partitioning distribute accesses evenly over all partitions and are thus unsuitable for memory footprint reduction [43]. For large (fact) tables, a multi-level partitioning setup might be preferred, such that hash partitioning can be used for scale-out as a first level and range partitioning for memory footprint reduction as a second level.
2.1 Problem Statement
For a given relation with \( n \) attributes, let attribute \( A_k \) (\( 1 \leq k \leq n \)) refer to the partition-driving attribute, e.g., `O_ORDERDATE` (OD) in the range-partitioned ORDERS relation in Fig. 2. For each attribute \( A_k \), there exists a set of potential range partitioning specifications \( S_k \). For example, Fig. 2 shows the range specification \( S_3 \in S_3 \) of the `O_ORDERDATE` (OD) attribute. The problem we consider is to find a partition-driving attribute \( A_k \), a range partitioning specification \( S_k \in S_k \), and a buffer pool size \( B \in \mathbb{N} \) such that the memory footprint \( M \) of a workload \( W \) is minimized (e.g., lower monetary memory costs), while the workload execution time \( E \) for range partitioning specification \( S_k \) and buffer pool size \( B \) does not violate a performance SLA (e.g., a maximum workload execution time provided by the customer or advertised by the DBaaS provider):
\[
\arg \min_{1 \leq k \leq n, S_k \in S_k, B \in \mathbb{N}} M(S_k, W, B)
\]
subject to
\[
E(S_k, W, B) \leq \text{SLA}.
\]
2.2 System Model
Fig. 3 shows the system model of SAHARA. We first collect data access statistics during workload execution for the current partitioning layout (Sec. 4). This could also be a non-partitioned layout if SAHARA was not applied before. We then enumerate partitioning layout candidates, where each partitioning layout candidate is identified by a partition-driving attribute \( A_k \) and a range partitioning specification \( S_k \in S_k \). Sec. 5 presents exact and heuristic enumeration algorithms to determine a partitioning layout. Afterwards, in Sec. 6, the statistics collected on the current partitioning layout must be transformed into estimates of statistics for each partitioning layout candidate. The reason is that workload’s data accesses differ for each partitioning layout candidate due to partition pruning. In addition, compression ratios can also differ due to the number of values replicated into the dictionaries of multiple partitions. Finally, our cost model calculates for each partitioning layout candidate the memory footprint \( M \) based on estimated accesses, storage sizes, a given SLA, and the hardware configuration (Sec. 7). A partitioning layout candidate with minimal memory footprint \( M \) is proposed. Besides, a buffer pool size \( B \) is calculated to fulfill the SLA. As shown in Fig. 3, we may also end up in the current partitioning layout.
3 PROBLEM FORMALIZATION
We formalize the problem of Sec. 2.1 by defining range partitioning layouts for a relation in a column store.
**Definition 3.1.** Let \( R \) be a relation with \( n \) attributes \( A_1, ..., A_n \). A **range partitioning specification** \( S_k = \{ v_{1,k}, ..., v_{p_k} \} \subseteq \Pi^D_{A_k}(R) \) with \( v_{1,k} < ... < v_{p_k} \) and \( v_{i,k} = \min(\Pi^D_{A_k}(R)) \) is a subset of the domain of the **partition-driving attribute** \( A_k \) (\( 1 \leq k \leq n \)).
The main idea is that we record accesses on the domain of each attribute and classify value ranges as hot or cold. We then choose a partition-driving attribute \( A_k \) and propose a range partitioning specification \( S_k \) from a set of **range partitioning specifications** \( S_k \). For example, the right side of Fig. 2 shows the proposed range partitioning specification \( S_3 = \{ 1992-01-01, ..., 1997-09-02 \} \) for partition-driving attribute `O_ORDERDATE` (OD). Further, we call any other attribute \( A_i \neq A_k \) a **passive attribute**.
**Definition 3.2.** A **partitioning** \( P(S_k) = \{ P_1, \ldots, P_{p_k} \} \) of a relation \( R \) into \( p_k \) partitions is generated by
\[
P_j := \begin{cases}
\sigma_{v_{j,k} \leq A_k < v_{(j+1)k}}(R) & (j < p_k) \\
\sigma_{v_{p_k} \leq A_k}(R) & (j = p_k)
\end{cases}, \quad \text{for all } 1 \leq j \leq p_k.
\]
The partitioning \( P(S_k) \) is generated by selecting only tuples of relation \( R \) for partition \( P_j \), where the value of the partition-driving attribute \( A_k \) is between two partition boundaries \( v_{j,k} \) and \( v_{(j+1)k} \) of \( S_k \). For example, Fig. 2 shows the partitioning \( P(S_3) = \{ P_1, ..., P_7 \} \) generated from the range partitioning specification \( S_3 \).
**Definition 3.3.** We associate with every tuple in relation \( R \) a **unique global tuple identifier** \( \text{gid} \in [1, |R|] \), and with every tuple in a partition \( P_j \) a **unique local tuple identifier** \( \text{lid} \in [1, |P_j|] \). Given a partition \( P_j \) and a local tuple identifier \( \text{lid} \), the global tuple identifier is retrieved by \( P_j[\text{lid}].\text{GID} \).
We associate local and global tuple identifiers to identify the same tuple of different partitioning layouts.
**Definition 3.4.** An **uncompressed column partition** \( C^u_{i,j} \) of \( A_i \) (\( 1 \leq i \leq n \)) in \( P_j \) (\( 1 \leq j \leq p_k \)) is a vector of length \( |P_j| \) with
\[
C^u_{i,j}[1\text{id}] = P_j[1\text{id}].A_i, \quad \text{for all } 1 \leq 1\text{id} \leq |P_j|,
\]
where \( P_j[1\text{id}].A_i \) retrieves the value of attribute \( A_i \) in partition \( P_j \) for the tuple with the local tuple identifier \( 1\text{id} \).
An uncompressed column partition is a vector of all values of an attribute for a partition. The local tuple identifiers determine the placement of the values inside the vector. Almost all column stores allow for optional dictionary compression [1]. We thus introduce definitions for dictionaries and compressed columns.
**Definition 3.5.** Let \( \Pi^D_{A_i}(P_j) = \{ v_{1,i}, < ... < v_{d,i} \} \) denote the domain of an attribute \( A_i \) of partition \( P_j \). The **dictionary** of attribute \( A_i \) of partition \( P_j \) is a bijection \( D_{i,j} = (\text{vid}_{i,j} : \Pi^D_{A_i}(P_j) \rightarrow [1, d_{i,j}]) \) with \( \text{vid}_{i,j}(v_{y,i}) = y_{i,j} \).
The dictionary \( D_{i,j} \) of attribute \( A_i \) of partition \( P_j \) is a bijection \( \text{vid}_{i,j} \), where \( \Pi^D_{A_i}(P_j) \) is the domain and \([1, d_{i,j}]\) is the range of the function, such that the \( y \)-th value of the domain returns number \( y \).
**Definition 3.6.** A **dictionary-compressed column partition** \( C^c_{i,j} \) of attribute \( A_i \) in partition \( P_j \) is a vector of numbers in \([1, d_{i,j}]\), such that
\[
C^c_{i,j}[1\text{id}] = \text{vid}_{i,j}(C^u_{i,j}[1\text{id}]), \quad \text{for all } 1 \leq 1\text{id} \leq |P_j|.
\]
The dictionary-compressed column partition $C^c_{i,j}$ stores the numbers returned by the bijection $\text{vid}_{i,j}$ of the dictionary $D_{i,j}$ for all values of attribute $A_i$ for partition $P_j$.
**Definition 3.7.** We define a **column partition** $C_{i,j}$ depending on the effectiveness of dictionary compression:
$$C_{i,j} := \begin{cases} (C^c_{i,j}, D_{i,j}) & \text{if } ||C^c_{i,j}|| + ||D_{i,j}|| \leq ||C^u_{i,j}|| \\ C^u_{i,j} & \text{otherwise,} \end{cases}$$
where $||\ldots||$ is the number of bytes to store a(n) (un-)compressed column partition or a dictionary. The storage size in bytes of $C_{i,j}$ is then defined as $||C_{i,j}|| = \min(||C^c_{i,j}|| + ||D_{i,j}||, ||C^u_{i,j}||)$.
Fig. 2 shows all column partitions $C_{1,1}, \ldots, C_{6,7}$ for $\text{ORDERS}$ generated from the range partitioning specification $S_3$. Finally, we define the range partitioning layout as a set of all column partitions $C_{i,j}$.
**Definition 3.8.** A **partitioning layout** $\mathcal{L}(R, A_k, S_k)$ for a relation $R$ and a range partitioning specification $S_k$ with partition-driving attribute $A_k$ consists of the set of all column partitions $C_{i,j}$:
$$\mathcal{L}(R, A_k, S_k) := \{C_{i,j} | 1 \leq i \leq n, 1 \leq j \leq p_k\}.$$
## 4 STATISTICS COLLECTION
We begin by describing our approach by explaining how workload statistics are collected for the *current* partitioning layout (cf. Fig. 3). On the one hand, we record **domain** (dictionary) accesses to enumerate range partitioning layout candidates in Sec. 5. On the other hand, we capture **row** (logical tuple identifiers) accesses to calculate the memory footprint of a partitioning layout in Sec. 7 based on estimated accesses and storage sizes (Sec. 6).
As we focus on reducing the memory footprint for a workload, the distribution of data accesses over time is crucial because it impacts the buffer pool eviction policy [23, 55]. For example, if a data item is accessed twice within a short period, it is likely cached in the buffer pool at the second access. Thus, we track accesses only within specified time windows so that the statistics are not dominated by many accesses occurring only during a short period. However, by increasing the length of a time window, it becomes more difficult to separate the access pattern of individual queries. Therefore, Sec. 7 shows how the length of a time window should be chosen.
**Definition 4.1.** Let $Q$ be a set of queries (**workloads**), $\Omega$ a set of time windows, and $R$ a relation. A **workload trace** $W$ is then defined as
$$W \subseteq \{(g\text{id}, A_i, q, \omega) | 1 \leq g\text{id} \leq |R|, A_1 \leq A_i \leq A_n, q \in Q, \omega \in \Omega\},$$
where each element in $W$ denotes a single access to attribute $A_i$ of the tuple with global tuple identifier $g\text{id}$ by query $q$ within time window $\omega$.
We record accesses block-wise to reduce the memory overhead of the statistics collection. This can lead to imprecise access frequencies if a block contains values with heavily skewed access patterns. As a result, smaller block sizes lead to more precise access frequencies. We previously analyzed the impact of the block size on the precision of the access frequency of values and showed how workload statistics are collected space and time-efficiently [12]. In our experiments in Sec. 8, we set the block size such that 1% additional memory is spent on statistics compared to the data set size.
**Definition 4.2 (Row block counter).** We define a **row block access** for an attribute $A_i$, a partition $P_j$, a local block number $z$, and a time window $\omega$ as
$$x_{\text{block}}(A_i, P_j, z, \omega) := \begin{cases} 1 & \exists g\text{id}, q, l\text{id} : (g\text{id}, i, q, \omega) \in W \\ & \land l\text{id} \in [1..|P_j|] \land P_j[l\text{id}].G\text{ID} = g\text{id} \\ & \land \lfloor l\text{id}/\text{RBS}_{i,j} \rfloor = z \\ 0 & \text{otherwise,} \end{cases}$$
where the **row block size** $\text{RBS}_{i,j}$ is the number of local tuple identifiers that are grouped for counting accesses.
A row block access is recorded if $W$ contains at least one element that accesses the attribute $A_i$ of the tuple by query $q$ within time window $\omega$, such that the $l\text{id}$ of partition $P_j$ corresponds to the $g\text{id}$ of the tuple and falls into the local block number $z$.
To define domain block accesses, we assume a Boolean function $\text{eval}(i, v, q)$ that evaluates a value $v$ for a conjunction of predicates in query $q$’s WHERE clause on $A_i$.
**Definition 4.3 (Domain block counter).** Let $\Pi^D_{A_i}(R) = \{v_{A_1} < .. < v_{A_n} < .. < v_{A_{n+1}}\}$ denote the domain of an attribute $A_i$. We define a **domain block access** for an attribute $A_i$, a domain block number $y$, and a time window $\omega$ as
$$v_{\text{block}}(A_i, y, \omega) := \begin{cases} 1 & \exists g\text{id}, q, v_{A_i} : (g\text{id}, i, q, \omega) \in W \\ & \land \text{eval}(i, v_{A_i}, q) \land R[g\text{id}].A_i = v_{A_i} \\ & \land \lfloor u_i/\text{DBS}_i \rfloor = y \\ 0 & \text{otherwise,} \end{cases}$$
where the **domain block size** $\text{DBS}_i$ is the number of consecutive values in the domain constituting a block.
A domain block is accessed if there is at least one query in the workload trace that satisfies the predicate during the given time window and is part of the specified domain block.
**Example.** Fig. 4 presents the statistics collected for the execution of JCC-H Query 3 [10] during one time window. Row blocks of each accessed attribute are shown on the top left, whereas domain blocks are at the bottom left. The query execution plan is illustrated on the right. We show the first access to each attribute because we only record whether or not a block was accessed during a time window. Blocks accessed by an operator are highlighted using a unique color and number $\otimes$ to identify the query execution plan operator that caused that access. The selection operators $\otimes$ and $\otimes$ touch all row blocks of $\text{C\_MKTSEGMENT}$ and $\text{O\_ORDERDATE}$, but the respective domain blocks only record if domain values satisfied the WHERE clause (Def. 4.3). Therefore, range-partitioning $\text{ORDERS}$ on $\text{O\_ORDERDATE}$ (OD) with $\{1993-05-29, 1998-08-03\}$ would create a column partition that is never accessed. In particular, $\text{ORDERS}$ has 15 million tuples which are all fetched without partitioning, given the range partitioning specification $S = \{1992-01-01, 1993-05-29\}$, we would fetch 3,204,724 tuples. The subsequent hash join $\otimes$ touches all row and domain blocks on the build ($\text{CUSTOMER}$) and the probe side ($\text{ORDERS}$). However, only a subset of the rows is accessed, e.g., the customer with $\text{C\_CUSTKEY}$ (CK) ‘5004’ was filtered out by $\otimes$. Hence, the buffer pool is polluted with cold data since all pages but not all rows are read. Next, an index nested loop join $\otimes$ touches all row blocks in $\text{ORDERS}$, but only $\approx 75\%$ of the row blocks in $\text{LINEITEM}$. For example, the order with $\text{L\_ORDERKEY}$ (OK) ‘43’ comprises 3 million items, which spans multiple blocks, but was already filtered out by $\otimes$. The following selection $\otimes$ filters all $\text{L\_SHIPDATE}$ (SD) values smaller than 1993-05-30. Values larger than 1993-09-26 are not read since the $\text{L\_SHIPDATE}$ (SD) of an item is not 121 days after its $\text{O\_ORDERDATE}$ (OD), and orders with an $\text{O\_ORDERDATE}$ (OD) larger...
than 1993-05-28 were filtered out by (2). While such constraints are only known to domain experts [11] and cannot be extracted from query execution plans, domain block counters can provide this insight. The memory footprint can be reduced by creating a range partition with \{1993-05-30, 1993-09-27\} on L_SHIPDATE (SD), i.e., 75% of LINEITEM pages are fetched without partitioning, while a partitioning layout based on the range partitioning specification $S = \{1992-01-01, 1993-05-30, 1993-09-27\}$ would access only 5% of the pages. While the following group-by operator (6) does not create new accesses, the sorting operator (7) additionally accesses L_DISCOUNT (DC) and L_EXTENDEDPRICE (EP). Finally, the projection (8) accesses only ten blocks of L_SHIPPRIORITY (SP) since it is a top-k query.
## Determining Partitioning Layouts
We now explain how we determine a partitioning layout based on the collected statistics (Sec. 4). Since any attribute $A_k$ may be the partition-driving attribute, we compute a partitioning layout for each possible $A_k$. Afterwards, we propose the layout that minimizes the memory footprint most while not violating the customer’s SLA. We identify an optimal range partitioning for $A_k$ in Sec. 5.1 and present a heuristic in Sec. 5.2 to lower the optimization time.
### Optimal Range Partitioning Layout
Alg. 1 finds an optimal range partitioning specification for a partition-driving attribute $A_k$ using dynamic programming (DP). The idea is to calculate the optimal range partitioning for $d$ ($1 \leq d \leq d_k$) distinct values of the domain of $A_k$ ($d_k$ is the number of distinct values of $A_k$) by using a previously calculated optimal range partitioning with $d - 1$ or less distinct values. We then find the optimal range partitioning for $A_k$ iteratively. Alg. 1 uses two two-dimensional arrays cost and split. Array cost (resp. split) stores at position $[d][s]$ the optimal memory footprint $M$ (resp. partition border) for a range partitioning with $d$ distinct values and the $s$-smallest value $v_{s_k} \in \Pi^D_{A_k}(R)$ as the lower bound of the range partition.
The first for loop (Lines 2 to 10) iterates over the number of distinct values $d$, while the second for loop (Lines 3 to 10) iterates over all possible start positions $s$. For each combination of $d$ and $s$, we initialize the cost array at position $[d][s]$ with the memory footprint $M$ for a single range partition for the value range $[v_{s_k}, v_{(s+d)_k})$ (or $[v_{s_k}, \infty)$ for the last range) with $A_k$ as a partition-driving attribute (Lines 4 and 5). Sec. 6 and 7 explain how the memory footprint for this single range partition is estimated and calculated. The split array is initialized with $\infty$ to indicate that there is no partition border (Line 6). Afterwards, we check if it is more beneficial to have a partition border at $v_{(s+b)_k}$ ($1 \leq b < d$) and update cost and split accordingly (Lines 7 to 10). For this, we combine the previously calculated optimal range partitioning for $b$ distinct values starting at $v_{s_k}$ with the previously calculated optimal range partitioning for $d - b$ distinct values starting at $v_{(s+b)_k}$. Finally, we build and return the optimal range partitioning specification with its memory footprint $M$ (Lines 11 to 13). Lines 14 to 18 show the recursive build of the specification based on the split array. The complexity of Alg. 1 is $O(d_k^3)$ due to the three for loops over the distinct values $d_k$ of attribute $A_k$.
**Correctness.** We now prove that Alg. 1 finds the range partitioning specification for a partition-driving attribute $A_k$ with the minimal memory footprint $M$.
**Theorem 5.1.** Alg. 1 finds an optimal range partitioning specification for a partition-driving attribute $A_k$ according to $M$.
**Proof.** We prove the correctness of Alg. 1 by induction over the number of distinct values $d$ for value ranges $[v_{s_k}, v_{(s+d)_k})$. Base case ($d=1$): The only possible range partitioning specification for the value range $[v_{s_k}, v_{(s+1)_k})$ of any starting value $v_{s_k} \in \Pi^D_{A_k}(R)$ is a single range partition. Alg. 1 is correct since
cost[1][s] is initialized with the memory footprint of the single range partition on the range \([v_{s_k}, v_{(s+d)_k})\) (Line 5), split[1][s] with the partition border \(+\infty\) (Line 6), and both are not updated in Lines 7 to 10 since the condition of the for loop is not satisfied for any \(b\) if \(d=1\).
**Induction step (\(d-1 \rightarrow d\)):** We now prove that Alg. 1 finds the optimal range partitioning specification for the value range \([v_{s_k}, v_{(s+d)_k})\) of any starting value \(v_{s_k} \in \Pi^D_{A_k}(R)\) with \(d\) distinct values. We assume the induction hypothesis that Alg. 1 finds the optimal range partitioning specification for a value range with less than \(d\) distinct values. First, we have to show that Alg. 1 considers that the optimal range partitioning specification can be a single range partition on the value range \([v_{s_k}, v_{(s+d)_k})\). This is considered by the initialization of cost[d][s] and split[d][s] (Lines 5 and 6). Second, we have to show that Alg. 1 considers that the optimal range partitioning specification can be a combination of optimal range partitioning specifications for the value ranges \([v_{s_k}, v_{(s+b)_k})\) and \([v_{(s+b)_k}, v_{(s+d)_k})\) with a partition border at \(v_{(s+b)_k}\) \((1 \leq b < d)\). This is considered since Alg. 1 iterates over all partition borders \(v_{(s+b)_k}\) and updates cost[d][s] and split[d][s] if the sum of the memory footprint for the optimal range partitioning specifications on the value ranges \([v_{s_k}, v_{(s+b)_k})\) and \([v_{(s+b)_k}, v_{(s+d)_k})\) is smaller than cost[d][s] (Lines 7 to 10). By the induction hypothesis, the memory footprint of the optimal range partitioning specification for both value ranges can be fetched from cost[b][s] and cost[d-b][s+b] since \(b\) and \(d-b\) are smaller than \(d\). Hence, Alg. 1 is correct.
**Optimization.** We further optimize the runtime of Algorithm 1 by iterating only over domain blocks (instead of all distinct values) and considering only partition borders between two domain blocks if at least one time window is accessed differently. We still find an optimal range partitioning for uncompressed column partitions by applying both pruning strategies. In contrast, with dictionary compression, we may not find the optimal range partitioning if pruning is applied. If some values occur only in a single column partition, the storage size decreases because a dictionary-compressed column partition may require fewer bits to store the vid (since only a subset of the active domain of the attribute is present in this column partition), if additional compression techniques such as bit-packing [60, 71] are applied. We argue that the performance benefit is superior to the pruning of the search space. However, Alg. 1 considers all values and finds the optimal partitioning.
**Example.** Fig. 5 presents how the optimized version of Alg. 1 finds the optimal range partitioning for LINEITEM with L_SHIPDATE as a partition-driving attribute for JCC-H Query 3. The domain block counters for L_SHIPDATE (SD) in Fig. 4 show only three potential lower bound values of a range partition: 1992-01-02, 1993-05-30, and 1993-09-27. Thus, Fig. 5 shows the iteration over \(d\) \((1 \leq d \leq 3)\) horizontally (Lines 2 to 10) and the iteration over the potential lower bound values \(v_{s_k}\) (Lines 3 to 10) vertically. For each combination of \(d\) and \(s\), we show the initialize step (Lines 4 to 6) of the cost and split array at position \([d][s]\) for a single range partition for the value range \([v_{s_k}, v_{(s+d)_k})\) (or \([v_{s_k}, +\infty)\) for the last range). We also denote each step of the iteration over the partition borders at \(v_{(s+b)_k}\) \((1 \leq b < d)\) (Lines 7 to 10). The recursive build of the optimal range partitioning specification from the split array is highlighted in bold.
### 5.2 Heuristic Approach MaxMinDiff
Since Alg. 1 finds an optimal partitioning but has cubic complexity, we now present a heuristic to lower optimization time. The idea is to leverage the partition-driving attribute domain block counters and cluster values with almost identical accesses. On the one hand, we group consecutive domain blocks that were all accessed during the same time window to merge hot data into a single partition. On the other hand, we split domain blocks that were not all accessed during the same time window into partitions to separate hot and cold data. While this might generate a partition for each domain block, we introduce a heuristic that clusters consecutive domain blocks such that MaxMinDiff, i.e., the number of time windows with accesses to a non-empty and strict subset of the domain blocks, is smaller or equal than a tuning parameter \(\Delta \in \mathbb{N}\).
Fig. 6 illustrates the calculation of MaxMinDiff for two boundaries 1 and \(r\), based on domain block counters (y-axis) of column ORDERS\_O_ORDERDATE for 200 JCC-H queries during 89 time windows (x-axis). We highlight domain block accesses in red if, for a given time window \(\omega \in \Omega\), all domain blocks between 1 and \(r\) are accessed (22 time windows). Such domain blocks will be grouped into a single partition. In contrast, we highlight domain block accesses in blue if, for a given time window, only a non-empty and strict subset of the domain blocks between 1 and \(r\) is accessed (16 time windows). Therefore, in this example, MaxMinDiff is 16.
Alg. 2 describes the heuristic for finding a near-optimal range partitioning for a partition-driving attribute \(A_k\). Given domain block boundaries 1 and \(r\), we search for the domain block that was accessed during most time windows, and place it into the current range partition, i.e., the boundaries \(\hat{1}\) and \(\hat{r}\) (Lines 2 to 6).
Algorithm 2: Heuristic Approach MaxMinDiff
Function Heuristic(R, k, vblock, l, r, Δ):
hot ← 1; f ← 0
for 1 ≤ y < r do // search for hottest domain block
ŷ ← 0; for ω ∈ Ω do ŷ ← ŷ + vblock(Ak, y, ω)
if ŷ > f then hot ← y
l ← hot; ŷ ← hot + 1 // initialize range partition
while 1 ≤ r > ŷ do // extend range partition
Δl ← ∞; Δr ← ∞
if 1 < ŷ then Δl ← MaxMinDiff(R, Ak, vblock, ŷ − 1, ŷ)
if r > ŷ then Δr ← MaxMinDiff(R, Ak, vblock, ŷ, ŷ + 1)
if Δl > Δ ∧ Δr > Δ then break
if Δl ≤ Δr then ŷ ← 1 − 1 else ŷ ← ŷ + 1
Sk ← {} // create range partitioning specification
if 1 < ŷ then Sk ← Sk ∪ Heuristic(R, Ak, vblock, 1, ŷ, Δ)
Sk ← Sk ∪ {v[1−DBSk]k} // partition border at pos 1 · DBSk
if r > ŷ then Sk ← Sk ∪ Heuristic(R, Ak, vblock, ŷ, r, Δ)
return Sk
Function MaxMinDiff(R, k, vblock, l, r):
Diff ← 0
for ω ∈ Ω do
max ← 0; min ← 1
for 1 ≤ y < r do
max ← maximum(max, vblock(k, y, ω))
min ← minimum(min, vblock(k, y, ω))
Diff ← max − min + Diff
return Diff
Afterwards, we iteratively extend the current range partition to the left or right as long as MaxMinDiff of the current range partition is smaller or equal than Δ (Lines 7 to 12). Lines 18 to 26 show the calculation of MaxMinDiff as illustrated in Fig. 6. For each time window ω ∈ Ω (Lines 20 to 25), we loop over all domain block indexes y between 1 and r (Lines 22 to 24) and add a time window ω to MaxMinDiff if at least one (Line 23) but not all domain blocks (Line 24) were accessed during ω, i.e., only a non-empty and strict subset of the domain blocks was accessed within ω. Next, the heuristic is called recursively on all domain block indexes smaller and on all domain block indexes larger than ŷ and ŷ (Lines 14 and 16). We also add the current lower bound value v[1−DBSk]k as partition border to the range partitioning specification Sk (Line 15). To obtain the index of the value in the domain of Ak, we multiply the domain block index ŷ by the domain block size DBSk of Ak (Definition 4.3). Finally, the range partitioning specification Sk is returned (Line 17).
The heuristic leverages only domain block counters instead of using the cost function. Therefore, the proposed partitioning is only near-optimal, while the complexity is reduced to O(dk²).
6 ACCESS AND STORAGE SIZE ESTIMATOR
We now describe how SAHARA estimates accesses and storage sizes of partitioning layout candidates based on collected statistics of the current partitioning layout (Sec. 4). We first describe the estimation of column partition accesses and then of storage sizes. These estimates are required in Alg. 1 (Line 5) to initialize single range partitions generated for a value range [vlbk, ubbk] (or [vlbk, ∞) for the last range) with a memory footprint M and to compute an optimal range partitioning specification from it recursively. The calculation of the memory footprint M of a single range partition is shown in Sec. 7.
6.1 Estimating Column Partition Accesses
We start by estimating an access xcol during a time window ω for the column partition of the partition-driving attribute Ak by leveraging its domain block counters vblock (Sec. 4). The estimate depends on whether the domain block counters record at least one access during ω, which falls into the value range [vlbk, ubbk] of the partition boundaries. If no access exists, we assume that the column partition will not be accessed, e.g., partition pruning is applied.
Definition 6.1. The estimate of a column partition access xcol for a time window ω ∈ Ω for a partition-driving attribute Ak with range partition specification boundaries vlbk, ubbk ∈ Sk ∪ {∞} is
\[ \hat{x}^{\text{col}}(A_k, v_{lbk}, u_{ubk}, \omega) := \begin{cases}
1 & \exists y : v_{\text{block}}(A_k, y, \omega) = 1 \land \\
& [lb_k/DBS_k] \leq y < [ub_k/DBS_k] \\
0 & \text{otherwise.}
\end{cases} \]
To estimate accesses to a column partition of a passive attribute Ai, i.e., an attribute different than the partition-driving attribute Ak, we need to consider how the range partition of the partition-driving attribute impacts accesses to the passive attribute, e.g., partition pruning [43] also influences accesses to passive attributes. We argue that three cases exist for estimating the column partition accesses xcol during a time window ω to a passive attribute Ai.
Case 1: The passive attribute was not accessed during ω, i.e., all row block counters of Ai during ω are zero. Thus, the column partition of Ai will not be accessed during ω.
Case 2: The range partition of the partition-driving attribute influences accesses to the passive attribute. This is the case if the set of rows accessed in Ai during ω is a subset of the rows accessed in Ak, i.e., for each local tuple identifier, Ai’s row block counter is smaller or equal than Ak’s row block counter during ω. We then use the already estimated access xcol during ω from Ak (Definition 6.1).
Case 3: Otherwise, the range partition of the partition-driving attribute does not influence accesses to the passive attribute during ω. We assume that the column partition of Ai will be accessed during ω.
Definition 6.2. We define an estimate of a column partition access xcol for a time window ω ∈ Ω for a passive attribute Ai based on a partition-driving attribute Ak ≠ Ai with range partition specification boundaries vlbk, ubbk ∈ Sk ∪ {∞} as
\[ \hat{x}^{\text{col}}(A_i, A_k, v_{lbk}, u_{ubk}, \omega) := \begin{cases}
0 & \forall j, z : x_{\text{block}}(A_i, P_j, z, \omega) = 0 \\
\hat{x}^{\text{col}}(A_k, v_{lbk}, u_{ubk}, \omega) & \forall j, 1 \text{Id} : \\
& x_{\text{block}}(A_i, P_j, [\text{lId}/RBS_{i,j}], \omega) \\
& \leq x_{\text{block}}(A_k, P_j, [\text{lId}/RBS_{k,j}], \omega) \\
1 & \text{otherwise.}
\end{cases} \]
For example, based on the row block counters of _CUSTKEY (CK) and _ORDERDATE (OD) in Fig. 4, we observe that the rows accessed in CK are a subset of the rows accessed in OD. Further, all accesses to OD read domain values [1992-01-01, 1993-05-29]. Consequently, the column partition of the passive attribute CK defined by the value range [1993-05-29, 1998-08-03] of OD will not be accessed.
6.2 Estimating Column Partition Sizes
We now estimate a column partition’s storage size, both for partition-driving and passive attributes. The estimate of the uncompressed column partition size depends on the estimated cardinality of the range partition and the attribute data type size in bytes.
**Definition 6.3.** We define an **estimate of an uncompressed column partition size** \(||C^u||\) in bytes for an attribute \(A_i\) based on a partition-driving attribute \(A_k\) with range partition boundaries \(v_{lb_k}, v_{ub_k} \in S_k \cup \{\infty\}\) as
\[
||C^u|| (A_i, A_k, v_{lb_k}, v_{ub_k}) := \text{CardEst}(A_k, v_{lb_k}, v_{ub_k}) \cdot ||v_i||
\]
where \(\text{CardEst}(A_k, v_{lb_k}, v_{ub_k}) \approx \left| \sigma_{v_{lb_k} \leq A_k < v_{ub_k}}(R) \right|\) is a cardinality estimate provided by the database [16] and \(||v_i||\) is the average storage size of the data type of attribute \(A_i\).
To estimate a compressed column partition’s size, we first estimate the dictionary size, which is influenced by the number of values replicated within the dictionaries of different partitions. Hence, we multiply the estimated distinct count and the attribute data type size in bytes.
**Definition 6.4.** We define an **estimated dictionary size** \(||D||\) in bytes for an attribute \(A_i\) based on a partition-driving attribute \(A_k\) with range partition specification boundaries \(v_{lb_k}, v_{ub_k} \in S_k \cup \{\infty\}\) as
\[
||D|| (A_i, A_k, v_{lb_k}, v_{ub_k}) := \text{DvEst}(A_i, A_k, v_{lb_k}, v_{ub_k}) \cdot ||v_i||
\]
where \(\text{DvEst}(A_i, A_k, v_{lb_k}, v_{ub_k}) \approx \left| \Pi D_{A_i} \left( \sigma_{v_{lb_k} \leq A_k < v_{ub_k}}(R) \right) \right|\) is the estimated distinct count provided by the database [16].
The estimated dictionary-compressed column partition size depends on the number of bits needed to represent all \(v_i\)’s of the attribute’s domain within a column partition (assuming bit packing [60, 71]). We multiply this value by the estimated cardinality.
**Definition 6.5.** The **estimate of a dictionary-compressed column partition size** \(||C^c||\) in bytes for an attribute \(A_i\) based on a partition-driving attribute \(A_k\) with range partition specification boundaries \(v_{lb_k}, v_{ub_k} \in S_k \cup \{\infty\}\) is
\[
||C^c|| (A_i, A_k, v_{lb_k}, v_{ub_k}) := \left\lceil \frac{\log_2 (\text{DvEst}(A_i, A_k, v_{lb_k}, v_{ub_k}))}{8 \cdot \text{CardEst}(A_k, v_{lb_k}, v_{ub_k})^{-1}} \right\rceil.
\]
7 COST MODEL
Based on the estimated accesses and storage sizes (Sec. 6), we can calculate the memory footprint \(M\) of a single range partition for the value range \([v_{lb_k}, v_{ub_k}]\). Alg. 1 (Line 5) employs this memory footprint to propose a table partitioning recursively. Moreover, we calculate a buffer pool size \(B \in \mathbb{N}\) to fulfill a given performance \(SLA\), i.e., the maximum workload execution time.
The idea is that column partitions that are frequently accessed (Def. 7.1) are classified as hot and configured to hold all data in DRAM. Column partitions that are rarely accessed are classified as cold, and data is loaded on-demand from disk upon each read. The buffer pool size is calculated by summing up the sizes of all column partitions classified as hot. To fulfill a given performance \(SLA\), the classification depends on the hardware configuration, e.g., disk speed, as well as the number of accesses and the \(SLA\) itself. To classify column partitions as hot or cold, we consider the five-minute-rule as the cost break-even point of storing data in DRAM versus performing disk I/O for every access [27]. As prices, capacities, and performance of these two storage tiers evolve at a different pace, we refer to the rule as a timeless \(\pi\)-second-rule:
\[
\pi := \frac{\text{Disk Costs } [\$/s]}{\text{Disk IOP } [\text{Page/s}]} / \text{DRAM Costs } [\$/\text{Page}].
\]
Accordingly, we classify a column partition as hot if it is accessed more often than every \(\pi\)-seconds. A misclassification of a hot column partition as cold induces many expensive disk I/Os, degrades performance, and potentially violates the \(SLA\). In contrast, misclassification of a cold column partition as hot increases the DRAM consumption and thus the memory footprint.
**Definition 7.1.** Given an estimated column partition size \(||C_{i,j}||\), an estimated access frequency \(\widehat{X}_{i,j}^{\text{col}}\), a maximum workload execution time \(SLA\), and \(\pi\), the **memory footprint of a column partition** \(C_{i,j}\) in \(\$\) that fulfills the \(SLA\) is
\[
M(||C_{i,j}||, \widehat{X}_{i,j}^{\text{col}}, SLA, \pi) := \begin{cases}
M_{\text{hot}}(||C_{i,j}||) & \text{if } SLA/\widehat{X}_{i,j}^{\text{col}} \leq \pi \\
M_{\text{cold}}(||C_{i,j}||, \widehat{X}_{i,j}^{\text{col}}, SLA) & \text{else},
\end{cases}
\]
where the access frequency \(\widehat{X}_{i,j}^{\text{col}}\) is the sum over all estimated accesses \(\widehat{X}^{\text{col}}\) (Sec. 6) of all time windows \(\omega \in \Omega\).
According to the \(\pi\)-second-rule, a data item accessed twice within \(\pi\) seconds should be cached in the buffer pool at the second access. Hence, the time window length should not be set substantially smaller than \(\pi\). Otherwise, statistics could be dominated by many accesses occurring only during a short period, cached in the buffer pool. In addition, the Nyquist–Shannon sampling theorem proves that a sample rate of \(\pi/2\) is sufficient to achieve precise statistics [64]. Therefore, we set the time window length to \(\pi/2\).
We now specify the cost functions \(M_{\text{hot}}\) and \(M_{\text{cold}}\). The memory footprint of a hot classified column partition is only affected by the estimated column partition size in bytes and the DRAM costs (in \$/per byte) because all data is held in DRAM.
**Definition 7.2.** Given an estimated column partition size \(||C_{i,j}||\), the **memory footprint of a hot column partition** in \(\$\) is
\[
M_{\text{hot}}(||C_{i,j}||) := \text{DRAM Costs } [\$/B] \cdot ||C_{i,j}||.
\]
The memory footprint of a column partition classified as cold considers the estimated column partition size, the estimated number of accesses, the \(SLA\), and the hardware configuration because data is fetched for every access.
**Definition 7.3.** Given an estimated column partition size \(||C_{i,j}||\) in bytes, an estimated access frequency \(\widehat{X}_{i,j}^{\text{col}}\), and a maximum workload execution time \(SLA\) in seconds, the **memory footprint of a cold column partition** in \(\$\) is
\[
M_{\text{cold}}(||C_{i,j}||, \widehat{X}_{i,j}^{\text{col}}, SLA) := \frac{\widehat{X}_{i,j}^{\text{col}}}{SLA[s]} \cdot \frac{||C_{i,j}||[B]}{sp[B/\text{Page}]} \cdot \frac{\text{Disk Costs } [\$/s]}{\text{Disk IOP } [\text{Page}/s]}
\]
where \(sp\) is the size of a page in bytes.
We propose a buffer pool size based on the hot classified column partitions, such that the performance \(SLA\) is fulfilled.
**Definition 7.4.** Given a partitioning layout \(\mathcal{L}(R, A_k, S_k)\), a maximum workload execution time \(SLA\), and \(\pi\), we define the proposed **buffer pool size** \(B\) as
\[
B(S_k, SLA, \pi) := \sum_{C_{i,j} \in \mathcal{L}(R, A_k, S_k)} 1\{SLA/\widehat{X}_{i,j}^{\text{col}} \leq \pi\} \cdot ||C_{i,j}||.
\]
Further, two system-specific restrictions exist: A minimum partition cardinality and a page size. First, if the partition cardinality is below a certain threshold, the overhead of scheduling jobs and opening and closing partitions becomes too large, and we assign an infinite memory footprint to the range partition such that Alg. 1 proposes a partitioning, where the cardinality of each range partition is above the threshold. Second, the column partition size is at least the system’s disk page size.
8 EXPERIMENTAL EVALUATION
We evaluate the memory footprint reduction achieved by SAHARA (Sec. 8.1), hardware cost savings (Sec. 8.2), the precision of access and storage size estimations (Sec. 8.3), optimality of layouts (Sec. 8.4), and the overhead and optimization time (Sec. 8.5). We implemented SAHARA as a prototype in SAP HANA Cloud [46, 61], a fully automatic advisor that only depends on static hardware or software related properties. First, we discuss the experimental setup.
Hardware: Our test system is equipped with an Intel Xeon E7-8870 v4 CPU (4 sockets) and 1 TB DRAM. Secondary storage is provided by a RAID of 8 disks (HGST HUC101812CSS204 HDD) with 10k rpm and a SAS 12 Gbit/s interface.
Workloads: The JCC-H benchmark [10] (scale factor 10) is our first workload. It extends the TPC-H benchmark [69] with data and query skew. For example, special shopping events such as the Black Friday are reflected by corresponding spikes in the O_ORDERDATE column of the ORDERS table. Our second workload is the Join Order Benchmark (JOB) [40]. JOB consists of 113 queries and uses real-world data from IMDb with data skew and correlations that aggravate estimation errors. We randomly sampled 200 queries for both JCC-H and JOB. Query and data skew, as well as data correlation, pose a challenging environment for SAHARA.
Parameters: We calculate $\pi = 70$ by inserting the prices, capacities, and performance of our hardware into Equation 1. As a result, we set the time window length to $\pi/2 = 35$, such that we fulfill the Nyquist–Shannon sampling theorem (Sec. 7). Further, we set the minimum partition cardinality to 100,000 based on the multi-threading and partitioning capabilities of SAP HANA Cloud. The page size varies between 4 KB and 16 MB, depending on the column partition data type [65]. Finally, logical tuple identifiers are grouped into blocks of 4 KB, and domain blocks are limited to at most 5000 per attribute, such that 1% additional memory is spent on data access counters compared to the data set size. Overall, the parameters are neither workload-specific nor need tuning by a database administrator.
Baseline and Database Experts: To demonstrate SAHARA’s effectiveness, we compare SAHARA against combinations of partitioning layouts and buffer pool sizes. As a baseline, we include the non-partitioned layout. Since related approaches (Sec. 9) optimize performance and, therefore, differ in their objective function to SAHARA, we compare ourselves to carefully hand-optimized partitioning layouts for memory footprint reduction and hardware cost savings proposed by experts. For JCC-H, the layout referred to as DB Expert 1 represents the recommendation [22] of hash-partitioning the primary key columns of ORDERS and LINEITEM. The layout referred to as DB Expert 2 represents the recommendation [15] of range-partitioning the columns O_ORDERDATE and L_SHIPDATE. To the best of our knowledge, no related work on partitioning the tables of JOB exists. As JOB executes many joins between the foreign key column movie_id and the primary key column id of table TITLE, DB Expert 1 might partition on these columns. The layout referred to as DB Expert 2 creates range partitions on columns with selective filter predicates, e.g., on TITLE.PRODUCTION_YEAR. The layouts from SAHARA and all database experts are published on https://github.com/SAHARAEEngineer/SAHARA.
For both JCC-H and JOB, we compare SAHARA against three strategies to configure the buffer pool size. The strategy referred to as ALL in Memory denotes the baseline where the buffer pool size is set to the accumulated storage size of all partitions. This yields the best performance but results in a high memory footprint. The strategy referred to as WS in Memory is a database expert, who profiled the workload accesses and set the buffer pool size to the working set (WS) size, i.e., all accessed data fits into the buffer pool. The strategy referred to as MIN in Memory (SLA) represents a database expert, who sets the buffer pool size to the smallest value such that the SLA is still fulfilled.
8.1 Exp. 1: Memory Footprint Reduction
The first experiment analyzes the effect of the partitioning layouts on the minimal required buffer pool size, i.e., the smallest memory footprint to fulfill a performance SLA provided by a customer. As SLA, we choose a maximum workload execution time $E$ on a non-partitioned layout. For other SLAs, we observed similar behavior.
Fig. 7(a) shows on the y-axis the relative end-to-end workload execution time for the previously explained partitioning layouts of JCC-H. The x-axis represents the buffer pool size. The storage sizes differ for all layouts since the partitioning specification impacts dictionary compression and additional compression techniques such as bit-packing. For instance, hash partitioning
produces many duplicate dictionary entries. The execution times of all layouts are approximately equal between the storage size (ALL in Memory) and the size of the accessed data (WS in Memory). In this segment, the buffer pool size may be reduced without increasing execution times. Further lowering the buffer pool size starts to increase the execution time. For the non-partitioned layout, the smallest possible buffer pool size, which still fulfills the SLA, is 900 MB. DB Expert 1 needs a buffer pool size of at least 1000 MB because hash-partitioning does not cluster hot and cold data into separate partitions, while DB Expert 2 can decrease the buffer pool size until 700 MB using range partitioning. The layout proposed by SAHARA reduces the buffer pool size to 280 MB while still fulfilling the SLA by separating hot and cold data into disjoint partitions to avoid pollution of the buffer pool with cold data. Thus, SAHARA increases the tenant density by 2.5× compared to layouts proposed by experts. Since SAHARA consistently yields the best performance or comes close to the best performance for all buffer pool sizes, SAHARA reduces the memory footprint for all other possible SLAs.
The measurements for JOB in Fig. 7(b) show similar effects. SAHARA is again able to run the workload with the smallest buffer pool (240 MB) and increases the tenant density by at least 1.7× compared to database experts and the baseline. DB Expert 1 consumes substantially more memory than other partitioning layouts due to many duplicate dictionary entries caused by hash partitioning.
### 8.2 Exp. 2: Hardware Cost Savings
The second experiment analyzes the hardware cost that a DBaaS provider needs to pay for executing the workload. As SAHARA optimizes the memory footprint, we calculate the DRAM and disk costs with a fixed number of CPUs. The task of proposing an appropriate number of CPUs [19, 20] is beyond the scope of the paper. We run the experiment on the introduced on-premise hardware but map the provisioned resource costs to a so called *memory-optimized* Google Cloud instance, priced at $2606.10 per TB/month of DRAM and $80.00 per TB/month for regional standard provisioned disk space (HDD) [26]. While DRAM and disk space are billed per GB on Google Cloud, DBaaS providers can reduce hardware costs internally on a more fine-granular level by placing multiple database instances on the same node. Hence, we consider memory costs $C_{\text{Google}}$ of a Google Cloud instance per MB/s in €.
Fig. 8(a) shows on the y-axis the memory cost $C_{\text{Google}}$ in € for different partitioning layouts of JCC-H and on the x-axis the buffer pool size. We use the same definition of the SLA as in Experiment 1. The costs of all layouts decrease from the storage size (ALL in Memory) until the first local minimum close to the size of the accessed data (WS in Memory). By lowering the buffer pool size further, the costs start to increase because increasing execution times impact costs more heavily than reduced buffer pool sizes. Below a buffer pool size of ca. 800 MB, costs for SAHARA and both database experts are reduced since hot data is cached in the buffer pool. While the SLA for both experts is no longer fulfilled, SAHARA reduces the costs to 0.04€ with a buffer pool size of 280 MB and fulfills the SLA. For the non-partitioned layout and both experts, the cost-optimal buffer pool size (0.06€) that fulfills the SLA is 2.4 GB. Thus, SAHARA yields the smallest buffer pool size and memory costs.
The measurements for JOB in Fig. 8(b) show similar behavior. SAHARA achieves a cost-optimal buffer pool size, still fulfilling the SLA, at only 240 MB (0.15€), while other layouts require a buffer pool size of at least 1000 MB for minimal costs (0.16€).
### 8.3 Exp. 3: Precision of Estimates
The third experiment evaluates how precisely SAHARA estimates data accesses, storage sizes, and the memory footprint. We generated for JCC-H 67 and for JOB 37 random partitioning layouts with a random partition-driving attribute. We then compared the estimated and actual values at relation, attribute, and column partition level. For JCC-H (JOB), we analyzed 67 (37) estimates at relation, 1030 (310) at attribute, and 5699 (2237) at column partition level.
**Data Accesses.** Fig. 9(a) shows the ratio of estimated and actual data accesses at relation, attribute, and column partition level for both JCC-H (left side) and JOB (right side). Overestimation is shown on the top, underestimation at the bottom. Since partition pruning impacts the number of data accesses in a range-partitioned layout and SAHARA proposes a new layout based on the collected statistics, the current layout can impact the precision of the estimates. However, we observe that most estimates are bound by a factor of 4. Therefore, expensive misclassifications of a hot page as being cold and vice versa are prevented. In general, estimates for JCC-H are more accurate than for JOB because JOB is based on the real-world IMDb dataset, whereas the dataset of JCC-H remains synthetic.
**Storage Size.** Fig. 9(b) shows the ratio of estimated and actual storage size at relation, attribute, and column partition level. We observe that all storage size estimates for JCC-H are bound by a factor of 1.5. For JOB most estimates are bound by a factor of 2. SAHARA tends to underestimate storage sizes because cardinalities in commercial databases tend to be underestimated [40].
Memory Footprint. Figure 9(c) shows the ratio of estimated and actual memory footprint at relation, attribute, and column partition level. We observe again that most estimates for JCC-H are bound by a factor of 2, while estimates for JOB are underestimated.
8.4 Exp. 4: Optimality
The fourth experiment evaluates the impact of the estimated memory footprint $\hat{M}$ on the output of SAHARA. We created partitioning layouts with the lowest estimated memory footprint $\hat{M}$ for all possible partition-driving attributes and number of partitions. We then ran the workload and compared the actual memory footprint $M$ for each layout against SAHARA, the non-partitioned layout, and the layouts proposed by database experts.
Fig. 10 shows on the y-axis the actual memory footprint $M$ for layouts of six different partition-driving attributes of LINEITEM. The x-axis denotes the number of partitions per layout. We also highlight SAHARA, the non-partitioned layout, and the layouts chosen by database experts. As SAHARA estimates are accurate (Sec. 8.3), the proposed layout with five partitions and L_SHIPDATE as partition-driving attribute is close to the optimum with seven partitions. DB Expert 2 chooses the same partition-driving attribute but has a higher memory footprint than SAHARA due to a different partitioning specification. DB Expert 1 picks the wrong partition-driving attribute (L_ORDERKEY) and has a higher memory footprint than most other layouts. L_RECEIPTDATE and L_COMMITTDATE as partition-driving attributes also have a low memory footprint due to their correlation with L_SHIPDATE. We observed similar behavior (not shown) for other tables of JCC-H and JOB.
As SAHARA’s choice is close to the optimum, it particularly reduces data accesses and increases the compression ratio. The reason is that an increasing number of partitions would separate hot and cold data better into disjoint partitions by reducing the number of accesses and, therefore, reducing the memory footprint. However, an increasing number of partitions would also increase the storage size in most cases due to dictionary duplicates and, therefore, increases the memory footprint. SAHARA instead balances both.
Using the MaxMinDiff heuristic (Alg. 2) instead of Alg. 1 (DP) increases the memory footprint $M$ (not shown) not at all or by a tiny margin: For JCC-H, ORDERS (0.6%) and LINEITEM (0.8%); For JOB, AKA_NAME (0.1%), CAST_INFO (2.9%), CHAR_NAME (4.3%), and MOVIE_INFO (6.5%). MaxMinDiff provides near-optimal partitioning layouts because the memory footprint increases by at most 6.5%.
In sum, SAHARA’s partitioning layout is close to the optimum, while other partitioning layouts may fail due to the wrong choice of the partition-driving attribute or range partitioning specification.
8.5 Exp. 5: Overhead and Optimization Time
The final experiment evaluates the memory (relative to the data set size) and runtime overhead (relative to the in-memory workload execution time of Experiment 1) for collecting statistics during workload execution, as well as the optimization time of SAHARA, using either Alg. 1 (DP) or Alg. 2 (MaxMinDiff).
The results (Tab. 1) show that SAHARA has a low optimization time and a low memory overhead. The runtime overhead is notable but enables substantial memory footprint and hardware cost savings. To reduce the overhead, statistics may be collected only periodically or sampling is applied. For detailed space and time efficient implementation techniques the reader is referred to [12]. In sum, SAHARA is practical and can be applied in production.
| Workload | JCC-H | JOB |
|---------------------------------|---------|--------|
| Statistics Collection: Memory | 0.39% | 0.28% |
| Overhead | | |
| Statistics Collection: Runtime | 14.84% | 18.74% |
| Overhead | | |
| Optimization Time: Alg. 1 (DP) | 3.06sec | 1.45sec|
| Optimization Time: Alg. 2 | 0.02sec | 0.01sec|
| (MaxMinDiff) | | |
9 RELATED WORK
Physical Design Advisors. Popular approaches for physical design advice include index advisors [2, 13, 35, 38, 49, 53, 74], storage model advisors [4, 6, 28], table placement advisors [39, 45, 54, 68], and resource advisors for elasticity [19, 20]. We limit the discussion to table partitioning advisors, which are orthogonal to the approaches mentioned above. Data skipping techniques [67] work on a more fine-granular level and can be applied within table partitions. Similarly, Qd-tree [72] analyzes filter predicates and groups rows into pages to minimize I/O cost by routing the queries to the blocks that need to be accessed.
The main difference between state-of-the-art table partitioning advisors and SAHARA is the objective function. While all other advisors focus on maximizing performance, the objective function of SAHARA is memory footprint reduction.
Besides SAHARA, Casper [7] is the only table partitioning advisor specifically built for column stores. All other partitioning advisors are mainly designed for row stores. In Casper, the partition-driving attribute has to be provided by the DBA, and only selections are considered. SAHARA instead recommends a partition-driving attribute, estimates data access correlations between passive and partition-driving attributes, and handles all operators.
Schism [17], Clay [63], Horticulture [56], Mesa [50], Hilprecht et al. [31], Strife [58], and Chiller [73] are table partitioning advisors for distributed DBMS and designed for row stores. In particular, they aim to minimize cross-partition transactions by distributing hot accesses evenly across all server nodes. In contrast, the hot and cold partitions proposed by SAHARA intentionally lead to unbalanced access patterns.
Table partitioning advisors in IBM DB2 [34, 59, 74] and Microsoft SQL Server [2, 3, 47] support column stores only partially. For example, IBM DB2 does not support range partitioning for column store tables [33]. Both commercial tools minimize estimated query costs, i.e., query response time, using the optimizer’s what-if API. Apart from a different objective function, SAHARA generates partitioning proposals based on actual data accesses and lower optimization time.
Classification of Hot and Cold Data. Disk-based DBMS employ buffer pools with fixed page sizes to manage data larger than main memory [30]. Replacement policies [23, 55] have been proposed to minimize the number of I/O operations, while the buffer pool size has to be provided by the DBA. Related work [29, 42] showed that a buffer pool induces significant computation and memory overhead when all data fits in memory. To avoid this overhead, in-memory DBMS were initially designed without a buffer pool [9, 36, 66]. However, recent work [41, 51, 65] showed how modern buffer pool designs still achieve in-memory speed. Nevertheless, DRAM remains an expensive resource. Therefore, related work [5, 8, 21, 24, 25, 32, 42, 70] focuses on identifying hot and cold data, intending to move cold data to secondary storage or compressing cold data with a higher compression ratio.
The main difference between related work and SAHARA is their hot and cold classification. While related work requires the DBA to specify a memory budget, SAHARA uses the five-minute-rule to classify data as hot and cold without additional tuning knobs, based only on the hardware and the workload.
Furthermore, the systems differ in the way hot and cold data is identified. Project Siberia [5, 24, 42] and X-Engine [32] leverage access frequencies at row, respectively, at extent granularity, to determine temperatures. Project Siberia collects log samples to estimate the access frequency, while SAHARA counts block-wise and collects actual accesses of the workload. Anti-Caching [21] and LeanStore [41, 51] utilize replacement policies instead of access counters to identify cold data. Unlike both approaches, SAHARA’s goal is to propose a range partitioning that separates hot and cold data that necessitates fine-granular access statistics, e.g., on the domain. Also, access frequencies need to be calculated for the cost model. HyPer [25] uses flags of the CPU’s MMU for each virtual memory page to identify cold pages for compression. In contrast to our work, they lack a formal definition of the temperature. Hyrise [8] and Mosaic [70] determine hot and cold columns based on a representative workload sample. Since data access patterns are already heavily distorted within a column due to events like Black Friday [10, 23, 32], SAHARA classifies hot and cold data at a more fine-granular level and proposes a range partitioning.
MAT [52] collects memory accesses on processors for only analyzing table partitionings and buffer pool sizes. SAHARA instead collects data accesses inside the database and proposes instead analyzing a table partitioning and a buffer pool size.
Cost Models. Query optimizers utilize cost models [40, 48, 62] to minimize query response time. Lomet [44] proposes a cost model for a cost/performance analysis by assigning every operation, either main memory or secondary storage operation costs. SAHARA’s cost model instead assigns the memory footprint to a column partition and still fulfills performance SLAs. This allows SAHARA to build an optimal table partitioning recursively.
Histograms. The heuristic MaxMinDiff was inspired by histogram construction. While traditional histograms [37, 57] group values based on a one-dimensional domain, e.g., access frequency, MaxMinDiff considers the distribution of accesses over time.
10 CONCLUSION AND FUTURE WORK
We presented the first table partitioning advisor that optimizes the table partitioning on the memory footprint while still fulfilling performance SLAs. The proposed range partitioning is based on hot- and cold-classified value ranges, such that pages of hot-classified partitions contain mainly hot data while pages of cold-classified partitions group cold data. This allows to reduce the buffer pool size substantially to keep only pages with a high density of hot data in DRAM but still adhering to all performance SLAs. Furthermore, SAHARA’s partitioning proposal is based on actual data access statistics. Therefore, SAHARA does not rely on the optimizer’s what-if API and is not sensitive to any skew in the distribution of data accesses. In addition, SAHARA collects data accesses from all operators during statistics collection and, therefore, can be used for any workload. Further, SAHARA considers dictionary compression and partition pruning. Both are excellent further opportunities to reduce the memory footprint of databases and are employed in many column stores. Finally, we integrated SAHARA into a prototype of a commercial cloud database and showed that SAHARA reduces the memory footprint (e.g., the buffer pool size) and memory costs by 2.5x compared to database experts while still adhering to all SLAs. Therefore, SAHARA is practical for popular free and mature commercial systems.
In future, we plan to predict the future workload based on an observed workload to decide if proactive re-partitioning is beneficial. This is the case, for example, if the re-partitioning costs are amortized by a better fit of the table layout to the future workload.
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Human Molecular Biology Laboratory Manual-Stefan Surzycki 2008-04-15 Human Molecular Biology Laboratory Manual offers a hands-on, state-of-the-art introduction to modern molecular biology techniques as applied to human genome analysis. In eight unique experiments, simple step-by-step instructions guide students through the basic principles of molecular biology and the latest laboratory techniques. This laboratory manual's distinctive focus on human molecular biology provides students with the opportunity to analyze and study their own genes while gaining real laboratory experience. A background section highlighting the theoretical principles for each experiment.
Safety Precautions. Technical Tips. Expected Results. Simple icons indicating tube orientation in centrifuge. Experiment Flow Charts Spiral bound for easy lab use
Forensic DNA Biology-Kelly M. Elkins 2012-08-03 DNA typing has revolutionized criminal investigations and has become a powerful tool in the identification of individuals in criminal and paternity cases. Forensic DNA Biology: A Laboratory Manual is comprised of up-to-date and practical experiments and step-by-step instructions on how to perform DNA analysis, including pipetting, microscopy and hair analysis, presumptive testing of body fluids, human DNA typing and statistics Covers techniques such as pipetting, microscopy and DNA extraction Pre- and post-lab exercises and questions assist the reader in learning the material Report writing templates assure the reader learns real world crime lab procedures.
Recombinant DNA Laboratory Manual-Judith W. Zyskind 2014-05-12 Recombinant DNA Laboratory Manual is a laboratory manual on the fundamentals of recombinant DNA techniques such as gel electrophoresis, in vivo mutagenesis, restriction mapping, and DNA sequencing. Procedures that are useful for studying either prokaryotes or eukaryotes are described, and experiments are included to teach the fundamentals of recombinant DNA technology. Hands-on computer sessions are also included to teach students how to enter and manipulate sequence information. Comprised of nine chapters, this book begins with an introduction to bacterial growth parameters, how to measure bacterial cell growth, and how to plot cell growth data. The discussion then turns to the isolation and analysis of chromosomal DNA in bacteria and Drosophila; plasmid DNA isolation and agarose gel analysis; and introduction of DNA into cells. Subsequent chapters deal with Tn5 mutagenesis of pBR329; DNA cloning in M13; DNA sequencing; and DNA gel blotting, probe preparation, hybridization, and hybrid detection. The book concludes with an analysis of lambda phage manipulation. This manual is intended for advanced undergraduate or beginning graduate students and should also be helpful to established investigators who are changing their research focus.
Biology Laboratory Manual - 2017
Introduction to Biology Laboratory Manual-Tiffany MCFALLS-SMITH 2017-01-09
Biology-Neil A. Campbell 2005 CD-ROM contains: investigations, videos, word study & glossary, cumulative tests and chapter guides.
Exploring Biology: Core Concepts-Murray P. Pendavitt 2019-02-01 Exploring Biology in the Laboratory: Core Concepts is a comprehensive manual appropriate for introductory biology lab courses. This edition is designed for courses populated by nonmajors or for majors courses where abbreviated coverage is desired. Based on the twelfth edition of Exploring Biology in the Laboratory, 3e, this Core Concepts edition features a streamlined set of clearly written activities with abbreviated coverage of the biodiversity of life. These exercises emphasize the unity of all living things and the evolutionary forces that have resulted in, and continue to act on, the diversity that we see around us today.
Concepts in Biology-Eldon D. Enger 2004-01-Concepts in Biology is a short, student-friendly text organized in a traditional manner. It has very little botany and presents a human-oriented approach to the animal unit. Professors and students appreciate the low cost of this title, and that it is written for students who are not biology majors.
Live Cell Imaging-Robert D. Goldman 2005 Recent advances in imaging technology reveal, in real time and great detail, critical changes in living cells and organisms. This manual is a compendium of emerging techniques, organized into two parts: specific methods such as fluorescent labeling, and delivery and detection of labeled molecules in cells; and experimental approaches ranging from the detection of single molecules to the study of dynamic processes in organelles, organs, and whole animals. Although presented primarily as a laboratory manual, the book includes introductory and background material and could be used as a textbook in advanced courses. It also includes a DVD containing movies of living cells in action, captured by investigators using the imaging techniques discussed in the book. The editors, David Spector and Robert Goldman, whose previous book was Cells: A Laboratory Manual, are highly respected investigators who have taught microscopy courses at Cold Spring Harbor Laboratory, the Marine Biological Laboratory, at the Weizmann Institute, and Northwestern University.
LAB MANUAL BIOLOGY-Sylvia Madeo 2009-01-13 An introduction to key concepts in the field of biology, covering such topics as the cell, evolution, comparative animal biology, and behavioral ecology. Includes chapter summaries, key terms, and review questions.
Plant Molecular Biology — A Laboratory Manual-Melody S. Clark 2013-11-27 Covering the whole range of molecular biology techniques - genetic engineering as well as cytogenetics of plants - each chapter begins with an introduction to the basic approach, followed by detailed methods with easy-to-follow protocols and comprehensive troubleshooting. The first part introduces basic molecular methodology such as DNA extraction, blotting, production of libraries and RNA cloning, while the second part describes analytical approaches, in particular RAPD and RFLP. The manual concludes with a variety of gene transfer techniques and both molecular and cytological analysis.
As such, this will be of great use to both the first-timer and the experienced scientist.
Laboratory Exercises and Techniques in Cellular Biology-Anthony Cantarella 2012-12-13 The Contento Experimental Cell Biology Lab Book is a modular design that matches the topics discussed in Karp's textbook. The manual itself consists of 30+ experiments that coincide and complement each of the 18 chapters in the Karp text. There are three possible designs of the lab book based on the instructor's needs. The manual focuses on either Techniques, Concepts, or Organelles. The procedures of the 30+ experiments remain standard and unchanged in all designs of the lab book. Special Overview pages, Discussion Questions and DataSheets booklet the procedures in order to create a rich and flexible textbook designed to give instructors the flexibility to create a lab book that suits their lecture course curriculum, their experience, and available equipment and supplies.
Laboratory Manual Of Microbiology, Biochemistry And Molecular Biology-Saxena, J. 2015-05-01 Though many practical books are available in the market but this Laboratory Manual of Microbiology, Biochemistry and Molecular Biology is an unique combination of protocols that covers maximum (about 80%) of the practicals of various Indian universities for UG and PG courses in Bioscience, Biotechnology, Microbiology, Biochemistry and Biochemical Engineering.
Phage Display-Carlos F. Barbas 2004-10-12 Phage-display technology has begun to make critical contributions to the study of molecular recognition. DNA sequences are cloned into phage, which then present on their surface the proteins encoded by the DNA. Individual phage are rescued through interaction of the displayed protein with a ligand, and the specific phage is amplified by infection of bacteria. Phage-display technology is powerful but challenging and the aim of this manual is to provide comprehensive instruction in its theoretical and applied so that any scientist with even modest molecular biology experience can effectively employ it. The manual reflects nearly a decade of experience with phage-display technology expertise and experience who attained a course in technology at Cold Spring Harbor Laboratory. Phage-display technology is growing in importance and power. This manual is an unrivalled source of expertise in its execution and application.
The Fusarium Laboratory Manual-John L. Leslie 2002-02-15 For the first time, over 20 years of comprehensive collection of photographs and descriptions of species in the fungal genus Fusarium is available. This laboratory manual provides an overview of the biology of Fusarium involved in the isolation, identification and characterization of individual species and the population in which they occur. It is the first time that phenotypic, morphological and molecular approaches have been integrated into a volume devoted to Fusarium identification. The authors include the description of species, both new and old, and provide protocols for genetic, morphological and molecular identification techniques. The Fusarium Laboratory Manual also includes some of the evolutionary biology and population genetics thinking that has begun to inform the understanding of agriculturally important fungal pathogens. In addition to practical "how-to" protocols it also provides guidance in formulating questions and obtaining answers about this very important group of fungi. The need for as many different techniques as possible to be used in the identification and characterization process has never been greater. These approaches have applications to fungi other than those in the genus Fusarium. This volume presents an introduction to the genus Fusarium, the toxins these fungi produce and the diseases they can cause. "The Fusarium Laboratory Manual is a milestone in the study of the genus Fusarium and will help bridge the gap between morphological and phylogenetic taxonomy. It will be used by everybody dealing with Fusarium in the Third Millennium."—W.F.O. Marasas, Medical Research Council, South Africa.
Laboratory Exercises in Developmental Biology-Yolanda P. Cruz 2012-12-02 This intensive manual provides students with valuable information and insights into animal development at the organismal, cellular, and subcellular levels. The book uses both descriptive and investigative approaches that emphasize techniques, key experiments, and data analysis. Provides a broad introductory view of developmental systems Teaches both classical embryology and modern experimental approaches Contains seventeen laboratory exercises, written in step-by-step style Organized with additional notes to students and preparators Lists questions and references for each exercise Special chapters give introductions to the scientific process, use of the microscope, and the writing of scientific papers Illustrated with detailed line drawings
Investigating Biology Laboratory Manual-Judith Giles Morgan 2010 With its distinctive investigative approach to learning, this best-selling laboratory manual encourages you to participate in the process of science and develop creative and critical reasoning skills. You are invited to pose hypotheses, make predictions, conduct open-ended experiments, collect data, and apply the results to new problems. The Seventh Edition emphasizes connections to recurring themes in biology, including structure and function, unity and diversity, and the overarching theme of evolution. Select tables from the lab manual are provided in Excel(R) format in MasteringBiology(R) at www.masteringbiology.com, allowing you to record data directly on their computer, process data using statistical tests, create graphs, and be prepared to communicate your results in class discussions or reports.
VanDeGraaff's Photographic Atlas for the Biology Laboratory, 8e-Bryan J Adams 2016-02-01 This full-color atlas provides students with a balanced visual representation of the diversity of biological organisms. It is designed to accompany any biology textbook or laboratory manual.
Life: The Science of Biology-William H. Freeman 2009-01-01 This laboratory manual is a text that presents biological concepts through the research that revealed them. "Life" covers the full range of topics with an integrated experimental focus that flows naturally from the narrative.
Laboratory Manual for General Biology-James W. Perry 2008-08-10 One of the best ways for your students to engage in their biology course is through hands-on lab experience. With its 46 lab exercises and hundreds of color photos and illustrations, the LABORATORY MANUAL FOR GENERAL BIOLOGY, Fifth Edition, is your students' guide to a better understanding of biology. Most exercises can be completed within two hours, and answers to the exercises are included in the Instructor's Manual. The perfect companion to Starr and Taggart's BIOLOGY: THE UNITY AND DIVERSITY OF LIFE, Eleventh Edition, as well as Starr's BIOLOGY: CONCEPTS AND APPLICATIONS, Sixth Edition, and BIOLOGY: TODAY AND TOMORROW, this lab manual can also be used with any introductory biology text.
Human Molecular Biology-R. J. Epstein 2003 Human Molecular Biology is an introduction to the language of health and disease for the new generation of life scientists and medical students. By integrating cutting-edge molecular genetics and biochemistry with the latest clinical information, the book weaves a pattern which unifies biology with syndromes, genetic pathways with developmental phenotypes, and protein function with drug action. From the origins of life to the present day, a narrative is traced through the workings of genomes, cells and organ systems, culminating in linking of laboratory technologies to future research horizons.
Cell Biology-Jule E. Celis 1996 V. 1: cell and tissue culture and related techniques; Primary culture from embryonic and newborn tissues; Culture of specific cell types; Cell separation techniques; Model systems to study differentiation; cell cycle analysis; Assays of tumorigenicity, invasion, and others; Cytotoxic and cell growth assays; Sensitivity of cells to drugs and other agents; Methods; Histopathology; Cell culture; Other cell types and organisms; Appendix v. 2: Ultrastructure of cells; Assays; Antibodies; Immunofluorescence; Vital staining of cells; v. 3: Light microscopy and contrast generation; Electron microscopy; Intracellular measurements; Cytogenetics and in situ hybridization; transgenic and gene knockouts; v. 4: Transfer of microorganisms and small molecules; Expression systems; Differential gene expression; Proteins; Appendix; List of suppliers; Subject index.
Biology-Darrell S. Vodopich 1996 Take a New Look at Raven! "BIOLOGY" is an authoritative text focusing on evolution as a unifying theme. In revising the text, McGraw-Hill consulted with numerous users, noted experts and professors in the field. "Biology" is distinguished from other texts by its strong emphasis on natural selection and the evolutionary process that explains biodiversity. The new 8th edition continues that tradition and advances into modern biology by featuring the latest in cutting edge content reflective of the rapid advances in biology. That same modern perspective was brought into the completely new art program offering readers a dynamic, realistic, and accurate, visual program. To view a sample chapter, go to www.ravenbiology.com
Visualizing Human Biology-Kathleen T. Ireland 2010-10-04 Medical professionals will be able to connect the science of biology to their own lives through the stunning visuals in Visualizing Human Biology. The important concepts of human biology are presented as they relate to the world we live in. The role of the human in the environment is stressed throughout, ensuring that topics such as evolution, ecology, and chemistry are introduced in a non-threatening and logical fashion. Illustrations and visualization features are help make the concepts easier to understand. Medical professionals will appreciate this visual and concise approach.
Laboratory Manual of Accompany Biology-Michael M. McElroy 1986
Human Stem Cell Technology and Biology-Gary S. Stein 2011-03-04 Human Stem Cell Technology & Biology: A Research Guide and Laboratory Manual integrates readily accessible text, electronic and video components with the aim of effectively communicating the critical information needed to understand and culture human embryonic stem cells. Key Features: An authoritative, comprehensive, multimedia training manual for stem cell researchers Easy to follow step-by-step laboratory protocols and instructional videos provide a valuable resource A must-have for developing laboratory course curriculums, training courses, and workshops in stem cell biology Perspectives written by the world leaders in the field Introductory chapters will provide background information The volume will be a valuable reference resource for both experienced investigators pursuing stem cell and induced pluripotent stem cell research as well as those new to this field.
Laboratory Manual for Human Biology-David Morton 2011-01-01 This four-color lab manual contains 21 lab exercises, most of which can be completed within two hours and require minimal input from the instructor. To provide flexibility, instructors can vary the length of most exercises, many of which are divided into several parts, by deleting portions of the procedure without sacrificing the overall quality of the experience. Taking a consistent approach to each exercise, the second edition provides an even clearer presentation, updated coverage, and increased visual support to enable students to apply concepts from the Human Biology course. Important Notice: Media content referenced within the product description or the main product image may not be available in the e-book version.
Visualizing Human Biology Lab Manual-Jennifer Elle 2011-02-03 Visualizing Human Biology Lab Manual provides 18 labs specifically designed for the non-majors biology student, each of which engages students by focusing on the structure and function of each persons own unique body. The lab manual includes key experiments with step-by-step visual guides and more interesting, real world topics to connect with students diverse experiences. Visuals are used to teach and explain, not just illustrate, and students with varied learning styles will be engaged. The applications of common laboratory techniques in science, medicine, and everyday life are also explored in each lab topic.
Imaging in Developmental Biology-James Sharpe 2011 New imaging technologies have revolutionized the study of developmental biology. Where researchers once struggled to connect events at static timepoints, imaging tools now offer the ability to visualize the dynamic form and function of molecules, cells, tissues, and whole embryos throughout the entire developmental process. Imaging in Developmental Biology: A Laboratory Manual, a new volume in Cold Spring Harbor Laboratory Press' Imaging series, presents a comprehensive set of essential visualization methods. The manual features primers on live imaging of a variety of standard model organisms including C.
elegans, Drosophila, zebrafish, Xenopus, avian species, and mouse. Further techniques are organized by the level of visualization they provide, from cells to tissues and organs to whole embryos. Methods range from the basics of labeling cells to cutting-edge protocols for high-speed imaging, optical projection tomography, and digital scanned laser light-sheet fluorescence. Imaging has become a required methodology for developmental biologists, and *Imaging in Developmental Biology: A Laboratory Manual* provides the detailed explanations and instructions for mastering these necessary techniques.
The Nature of Life-Anton E. Lawson 1995 This lab manual is designed for A Level and first-year undergraduate students of general biology. It is split into 40 separate experiments, all of which have been designed to enhance students' deductive and reasoning powers. Pupils are expected to describe the results of the experiments, reason why they achieved these results and be prepared to explain the biological processes that have occurred.
A Laboratory Guide to Frog Anatomy-Eli C. Minkoff 2013-10-22 A Laboratory Guide to Frog Anatomy is a manual that provides essential information for dissecting frogs. The selection provides comprehensive directions, along with detailed illustrations. The text covers five organ systems, namely skeletal, muscular, circulatory, urogenital, and nervous system. The manual also details a frog's major external and internal features. The book will be of great use to students and instructors of biology related laboratory course.
Antibodies-Edward Harlow 1988 Introduction to immunochemistry for molecular biologists and other nonspecialists. Spiral.
Applied Biology-Maxwell Alpheus Bigelow 2012
Molecular Cloning-Michael R. Green 2006, 2nd Rev. ed. of: Molecular cloning : a laboratory manual / Joseph Sambrook, David W. Russell, 2001.
Molecular Cloning-Joseph Sambrook 2001 The two editions of this manual have been mainstays of molecular biology for nearly twenty years, with an unrivalled reputation for reliability, accuracy, and clarity. In this new edition, authors Joseph Sambrook and David Russell have completely updated the book, revising every protocol and adding a mass of new material, to broaden its scope and maintain its unbeatable value for studies in genetics, molecular cell biology, developmental biology, microbiology, neuroscience, and immunology. Handsomely redesigned and presented in new bindings of proven durability, this three-volume work is essential for everyone using today's biomolecular techniques. The opening chapters describe essential techniques, some well-established, some new, that are used every day in the best laboratories for isolating, analyzing and cloning DNA molecules, both large and small. These are followed by chapters on cDNA cloning and exon trapping, amplification of DNA, generation and use of nucleic acid probes, mutagenesis, and DNA sequencing. The concluding chapters deal with methods to screen expression libraries, express cloned genes in both prokaryotes and eukaryotic cells, analyze transcripts and proteins, and detect protein-protein interactions. The Appendix is a compendium of reagents, vectors, media, technical suppliers, kits, electronic resources and other essential information. As in earlier editions, this is the only manual that explains how to achieve success in cloning and provides a wealth of information about why techniques work, how they were first developed, and how they have evolved.
Criminailistics Laboratory Manual-Elizabeth Erickson 2013-03-21 The Criminailistics Laboratory Manual: The Basics of Forensic Investigation provides students with little to no prior knowledge of forensic science with a practical crime scene processing experience. The manual starts with an original crime scene narrative setting up the crime student will be investigating. The manual is pieced together with the scientific method, tying each exercise together to show the integrated workings of a real crime lab. After the completion of all of the exercises, the student will be able to solve the homicide based on forensic evidence.
Laboratory Manual for Human Biology-Bert Atsma 2001-08 A variety of approximately 30 lab activities to complete any human biology course.
Laboratory Manual for Non-Majors Biology-James W. Perry 2012-06-06 One of the best ways for your students to succeed in their biology course is through hands-on lab experience. With its 46 lab exercises and hundreds of color photos and illustrations, the LABORATORY MANUAL FOR NON-MAJORS BIOLOGY, Sixth Edition, is your students' guide to a better understanding of biology. Most exercises can be completed within two hours, and answers to the exercises are included in the Instructor's Manual. The perfect companion to Starr and Taggart's BIOLOGY: THE UNITY AND DIVERSITY OF LIFE, as well as Starr's BIOLOGY: CONCEPTS AND APPLICATIONS, and BIOLOGY TODAY AND TOMORROW, this lab manual can also be used with any introductory biology text. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version.
Comprehensive Laboratory Manual in Biology XI-Dr. J. P. Sharma 2011-12-01
Biology Laboratory Manual for the Telecourse Cycles of Life - Exploring Biology-Cecie Starr 1997-01-01 Available from Brooks/Cole, this lab manual accompanies the Cycles of Life telecourse. Brooks/Cole is a part of Cengage Learning. For information about bundling it with any Starr textbook, contact your Cengage Learning representative.
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Resource Allocation Framework for Pandemic Risk and Surveillance: Version 1.0
Victoria Fan
Abstract
This proposed Resource Allocation Framework may inform country-level allocation decisions by the Pandemic Fund for its first call for proposals supporting surveillance, laboratories, and human resources. This framework incorporates three measures of pandemic risk and one index of need for surveillance capacity for an overall allocation index. The measures of pandemic risk involve an absolute measure using estimated country mortality losses, a relative measure using estimated mortality losses normalized on a per person basis, and a measure of 'spark risk'. A country's absolute measure is scaled down based on its World Bank income group, by a factor that is scaled to average differentials in total health spending between World Bank income groups relative to low-income countries (LIC) (i.e., lower-middle income countries spend 4x as much per capita compared to LIC, upper-middle income countries spend 13x as much, and high-income countries spend 38x as much). Each pandemic risk measure is further standardized using a max-min scaling ranging from 0 to 1. A fourth component of the framework uses a simple summary index of need for surveillance capacity combining three elements: health data capacity as measured as birth registration coverage; health workforce capacity as measured by nurse availability per capita; and network connectivity as measured by mobile subscribers per capita. The weights for each of the four components can be adjusted based on consensus. An alternative version of the allocation index uses a logistic function as an alternative normalization from 0 to 1.
We gratefully acknowledge support from the Rockefeller Foundation and helpful discussions with Ben Oppenheim and Nita Madhav at Concentric, Masood Ahmed, Amanda Glassman, Eleni Smitham, Clemence Landers, and Javier Guzman at the Center for Global Development, and others.
Background
Following the G20 High-Level Independent Panel report recommendation to establish a fund dedicated to pandemic preparedness, the Pandemic Fund was launched in September of 2022 and issued its first call for proposals for surveillance, laboratories, and human resources for a limited budget of $300 million.\(^1\) Countries have submitted letters of interest that indicate a potential demand of more than $5.5 billion, indicating far more demand than available budget. The Pandemic Fund will need to make tough decisions to allocate resources across countries fairly, rather than based on demand or first-come first-serve.
The use of resource allocation frameworks or formulae among multilateral development agencies is common, including by the World Bank International Development Association (IDA)\(^2\), the Global Fund to Fight Aids, Tuberculosis, and Malaria\(^3\), the Global Environment Facility (GEF)\(^4\), and the International Fund for Agricultural Development (IFAD)\(^5\), along with the use of indices such as the United Nations Development Programme Human Development Index (HDI)\(^6\).
This proposed Resource Allocation Framework does not use existing indices available on pandemic preparedness, such as the International Health Regulations Joint External Evaluation Tool, for several reasons\(^7\): (1) pandemic preparedness indices have not been shown to be correlated with performance against the COVID-19 pandemic; (2) such indices use discretionary, subjective, and somewhat opaque data; and (3) the value and focus of the index is diluted by relying on many components.
Rather than attempt to alter existing indices, we have instead opted to develop a simple index that begins from first principles. We argue that the overarching principle for determining allocations for investing in pandemic surveillance should be based on pandemic risk. Given the current lack of available models or information on international pandemic risks from an international multilateral body or agency, we use the Concentric epidemic risk model which estimates potential losses from infectious disease epidemics across the globe.
Resources should not only be allocated based on pandemic risk, however. Country need is an important consideration; countries which have weaker capacity to conduct surveillance and need additional resources to strengthen health systems should receive more resources.
Indicators
Indicators of pandemic risk
Pandemic risk in this note is measured in three forms:
1. Average annual loss \(AAL\) as measured by the expected deaths per year (ranging from 2 to 450,000);
2. Average annual loss population adjusted \(AAL_p\), or the expected deaths per 10,000 population per year, using 2020 population (ranging from 2 to 9);
3. Spark index \(S\), a combined respiratory spark risk value derived from summation of individual spark probabilities for epidemic coronaviruses and pandemic influenza in each country, normalized between 0 and 1;
These mortality risk estimates are derived from its General Respiratory Stochastic Catalog V1.1 (Version Date: February 8, 2023). This catalog quantifies general respiratory disease risk due to pandemic influenza viruses and novel/epidemic coronaviruses, which are viruses of high pandemic potential. The events in the catalog are simulated through Concentric’s probabilistic, event-based infectious disease risk model that captures plausible event trajectories. The model incorporates pathogen characteristics, transportation networks, local medical resources, and pandemic preparedness to estimate the likelihood and severity of general respiratory epidemics and pandemics across the globe. Extensive further details about the modeling process methodology will soon be available in a forthcoming Disease Control Priorities 4th Edition Working Paper.\(^8\)
Indicators of need for surveillance capacity \(C\)
Adjustment factors across three dimensions of need for surveillance capacity are measured using the following curated indicators to form a summary index of need:
1. Data capacity \(d\) measured by birth registration as a key measure of the civil registration and vital statistics capacity of a country;
2. Health workforce capacity \(h\) as measured by nurse availability per capita;
3. Network capacity and connectivity \(c\), as measured by mobile subscribers per capita.
Need for surveillance capacity may mean different things to different international agencies and national governments. The overarching concern is for the Pandemic Fund to use a simple and objective indicator for which there are widely available and regularly reported data, rather than an aggregate of many subjective indicators or with unavailable data.
Throughout the COVID-19 pandemic, health data capacity and health information systems were a recurrent challenge, if not failure, in addressing COVID-19.\(^9\) Recent initiatives by the White House (US executive branch)\(^{10}\) and other organizations have emphasized the importance of health workforce, also known as human resources for health, for pandemic preparedness. Finally, the Mosaic Framework by the World Health Organization emphasizes the importance of networks of communication between data-providing units such as laboratories.\(^{11}\) As such, we use elements of data capacity, health workforce capacity, and network capacity or connectivity to adjust allocations according to pandemic risk.
**Formulae**
This framework incorporates the three measures of pandemic risk \(AAL\), \(AAL_p\), and \(S\) and one summary index of need for surveillance capacity \(C\) into an overall Resource Allocation Formula \(RAF\). We first take the \(AAL\) and scale it down based on its World Bank income group, by a factor corresponding to the average differentials in total health spending between World Bank income groups relative to low-income countries (LIC). Using LIC as the base of 1, \(AAL\) for lower-middle income countries are divided by a factor of 4 as they spend 4 times as much in health spending per capita compared to LIC; \(AAL\) for upper-middle income countries are divided by a factor of 13 as they spend 13 times per person as much compared to LIC; and \(AAL\) for high-income countries are divided by 38 as they spend 38 time more than LIC. We label this scaled \(AAL\) as the \(AAL_s\).
Next, following the UNDP Human Development Index methodology, we apply to each indicator a max-min scaling or normalization, with maximum value across countries set as a goalpost and the minimum value set as the ‘natural zero’. Each indicator \(X\) for each country is normalized from 0 to 1 into an indicator \(N\):
\[
N(X) = \frac{X - \min(X)}{\max(X) - \min(X)}.
\]
(1)
This normalization is applied to each measure of pandemic losses, namely, \(AAL_s\) and \(AAL_p\), and each adjustment factor, namely, \(d\), \(h\), and \(c\). The spark index \(S\) is already normalized and hence no additional normalization is required.
For the adjustment factors, a larger normalized number indicates higher performance. In order to invert a measure of performance into a measure of need for surveillance capacity, the normalization function is subtracted from 1, i.e.:
\[
AF(X) = 1 - N(X)
\]
(2)
The max-min normalization function represented in equation 1 is linear, but an alternative normalization could use a logistic function, comparable to diminishing marginal returns. Thus, as an alternative normalization to the max-min scaling of the population adjusted \(AAL_p\) (and a substitute to equation 1), a logistic function \(M\) compresses the variable between 0 and 1 in the following form:
\[
M(X) = \left(\frac{2}{1 + e^{-X}}\right) - 1
\]
(3)
Next, we generate a simple summary index of need for surveillance capacity \(C_i\) for each country \(i\) that combines the three normalized adjustment factors, the geometric mean is calculated:
\[
C_i = \left(\prod_{i=1}^{n} (AF(d_i) \cdot AF(h_i) \cdot AF(c_i))\right)^{\frac{1}{3}}
\]
(4)
Finally, the overall Resource Allocation Formula first generates a country *Score* combining the four components, with a weight of 10 given to the population-adjusted losses, a weight of 5 to the spark index, and a weight of 1 to the absolute population loss and the simple index of need for surveillance capacity \(C\), as follows:
\[
\text{Score} = 10 \cdot N(AAL_p) + 5 \cdot S + 1 \cdot N(AAL_s) + 1 \cdot C
\]
(5)
The alternative form of equation 5 may substitute \(N\) with \(M\), i.e. the standard normalized function \(N\) in equation 1 is replaced by the logistic-normalized function in \(M\) in equation 3. Each country’s score is expressed as a country share of the global sum of scores, and then multiplied by the overall budget, e.g. $300 million for the first call of proposals to calculate the country amount, a functional form that is adaptable to increasing (or decreasing) total budget envelopes.
Limitations
The form of equation 5 is comparable to that of other resource allocation formula, but like other formula, it is challenging because the weights represent a focal point of heated discussion and disagreement. The weights provided here are illustrative but may be interpreted to indicate that a country’s population-adjusted loss is 10 times as important and spark risk is 5 times as important for resource allocation compared to a country’s (income-adjusted) population and a country’s capacity. There are other ways to develop consensus on the weights including expert Delphi methods as well as empirical methods that use regression, representing an area of future work. We do not delve into the methods for developing and refining weights, but acknowledge that choosing weights is not easy.
We acknowledge that the indicators chosen are imperfect and not comprehensive of pandemic surveillance capacity. Instead, it reflects a curated set of a wide range of indicators (which had been incorporated in several previous pandemic preparedness indices). Other factors considered for inclusion were doctor availability, electricity access, and death registration coverage. Nurse availability was chosen over doctor availability to emphasize the role of other health workers in pandemic surveillance at primary care centers. Mobile subscribers were chosen over other forms of broadband connectivity, internet use, or electricity given its broad prevalence and importance as an inexpensive form of communication, connectivity, and networking and its role in digital health. Electricity access was also considered, but chosen as a secondary feature relative to mobile subscribers which may not require extensive electricity access to implement pandemic surveillance. Birth registration coverage was chosen over death registration coverage due to the lack of data on death registration coverage for several dozen countries.
Data availability of the indicators was a major hindrance. The most recent data for a given indicator was selected, resulting in a cross-sectional data set in which the indicators reflects different points in time depending on when the country last reported a value for the given indicator. Where a country had no data for a given indicator, the mean for that indicator for the subset of countries classified by the corresponding World Bank country income grouping (low income, lower middle, upper middle, high income) was used. Alternative imputation methodologies may be considered and applied as well. There were more countries missing data for birth registration coverage compared to for nurse availability, which in turn had more missing compared to data for mobile subscribers.
This resource allocation formula is intended to stimulate a discussion and a starting point for further revision and refinement in the Pandemic Fund’s inaugural year. Regardless of the final formula to be used, we hope the Pandemic Fund will consider a minimal set of indicators to drive its allocation in order to increase transparency.
References
1. A global deal for our pandemic age: report of the G20 High Level Independent Panel on financing the global commons for pandemic preparedness and response: (2021).
2. Leo, B. Inside the World Bank’s Black Box Allocation System: How Well Does IDA Allocate Resources to the Neediest and Most Vulnerable Countries? Working Paper No. 216 (Washington, DC: Center for Global Development, 2010).
3. Fan, V. Y., Glassman, A. & Silverman, R. L. How A New Funding Model Will Shift Allocations From The Global Fund To Fight AIDS, Tuberculosis, And Malaria. Heal. Aff. 33, 2238–2246, DOI: 10.1377/hlthaff.2014.0240 (2014).
4. GEF. Updating the System for Transparent Allocation of Resources (STAR): GEF/c.62/04, GEF Council Meeting, Washington, D.C. (2022).
5. IFAD. PBAS formula and procedures: EB 2017/120/r.2 - Executive Board - 120th session, Rome, 10-11 April 2017. International Fund for Agricultural Development. Rome, Italy (2017).
6. Sen, A. & Anand, S. Human Development Index: Methodology and Measurement (New York: United Nations, 1994).
7. Fan, V. & Smitham, E. The Pandemic Fund’s Results Framework: Early Reflections and Recommendations. In CGD Development Blog (Washington, DC: Center for Global Development, 2023).
8. Madhav, N. et al. Estimated Future Mortality from Pathogens of Epidemic & Pandemic Potential. In Norheim, O. (ed.) Disease Control Priorities, vol. 2, chap. 1 (World Bank, Forthcoming), 4 edn.
9. GAO. Public Health Emergencies: Data Management Challenges Impact National Response (2022).
10. Fact Sheet: The Biden-Harris Administration Global Health Worker Initiative (2022).
11. WHO. “Crafting the mosaic”: a framework for resilient surveillance for respiratory viruses of epidemic and pandemic potential (Geneva: World Health Organization, 2023).
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Introduction
In a recent article, Robert Picirilli summarized the current state of verbal aspect theory in New Testament scholarship, concluding that in order to “test and refine current views about the meaning of the Greek tenses” we must shift our attention from focusing only on the theoretical level and the whole and “now focus on the parts as a way of testing and fleshing out the basic theory.”¹ One of the constituent parts of the new paradigm in need of such testing is that of Porter’s prominence theory for aspectual choices.² According to the theory, verbal aspect is used by an author to differentiate three “planes of discourse” – background, foreground, and frontground.³ The Gospel of Matthew offers us the opportunity to take up detailed examples and to seek to test and apply Porter’s theory.⁴ In this paper, we will do just that. But first, we will suggest that the category of aspectual prominence needs further refinement in order to help us understand how it functions in Matthew. We will suggest two subcategories or types of aspectual prominence that can be called Structural Prominence and Emphatic Prominence. We will then turn to three passages in Matthew which will provide us with working examples of these two types of aspectual prominence within narrative. In conclusion, we will offer several suggestions for further research.
Authorial Choice of Tense-Forms
When an author selects a particular tense-form from the Greek verbal system, whether subconsciously or deliberately, it is assumed that he does so in a reasonable way. The primary reason for selecting one tense-form over another appears to be for the purpose of conveying
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¹ Robert Picirilli, “The Meaning of the Tenses in New Testament Greek” JETS 48/3 (Sept 2005), 555.
² Stanley E. Porter, *Idioms of the Greek New Testament* (Sheffield: JSOT Press, 1992) 22-24, 302-303.
³ “The aorist is the background tense, which forms the basis for the discourse; the present is the foreground tense, which introduces significant characters or makes appropriate climactic references to concrete situations; and the perfect is the frontground tense, which introduces elements in an even more discrete, defined, contoured and complex way.” Porter, *Idioms*, 23.
⁴ Comparatively little has yet been done in testing this component of verbal aspect theory in Matthew. The nearest study in Matthew to the present one is Stephanie Black’s investigation into the use of the so-called “historic present,” which calls out for “a fuller study of the interaction between aorist, imperfect and present tense-forms in Matthew’s narrative from an aspectual approach which takes into account planes of discourse.” Stephanie Black, “The Historic Present in Matthew: Beyond Speech Margins” in Jeffrey T. Reed and Stanley E. Porter, *Discourse Analysis and the New Testament: Approaches and Results* (Sheffield: Sheffield Academic, 1999), 133.
verbal aspect – the authorial perspective from which the action is conceived. The perfective aspect, grammaticalized by the aorist tense-form, is selected to convey action conceived of as complete; the imperfective aspect, grammaticalized by the present and imperfective tense-forms, is selected to convey action conceived of as being in progress; and the stative aspect, grammaticalized by the perfect and pluperfect tense-forms, is selected to convey action conceived of as reflecting a given state of affairs.\(^5\)
This view of verbal aspect has now gained widespread though not undisputed acceptance. We are following it here because we have found it to provide the best explanation of the use of tense-forms, better than a time-based or *Aktionsart* or other aspect theory-based explanation.
While this understanding of verbal aspect appears to be the primary reason Matthew or any other author would choose a particular tense-form, in some cases there are other mitigating factors that limit true aspectual choice. We can identify at least three situations in which this limitation may occur.
(1) First, the lack of aspectual choices for a given lexis can limit authorial choice. In such cases, Porter labels the verbs as “aspectually vague”\(^6\) since the semantic force of the aspect grammaticalized by the tense-form dissolves. Matthew 27:6 is illustrative of tense-form selection limited by lack of aspectual choice:
\[ \text{oὐκ ἐξεστίν βαλεῖν αὐτὰ εἰς τὸν κορβανᾶν, ἵπει τιμὴ αἱματός ἐστιν.} \]
It is not lawful to put them into the treasury, since it is the price of blood.
Verbs such as \( \epsilonἰμί \) and \( ἐξεστίν \), where perfective and stative forms are non-existent in the language, are aspectually vague. Therefore, it would be inappropriate to view the two present tense-forms above as conceived of by Matthew as being in progress based on their form.
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\(^5\) Porter, *Idioms*, 21-22. There is little consensus on where the future tense-form fits. Some scholars have classified it as a mood, citing evidence that it developed from a subjunctive. [E.g. C.F.D. Moule *An Idiom Book of NT Greek* (Cambridge: Cambridge University Press, 2\(^{nd}\) ed., 1959) 21-23.] Others suggest that it is aspectual in that it “grammaticalizes the semantic feature of expectation,” but not fully aspectual in that “it does not enter into a meaningful set of oppositions” with the other tense-forms. [E.g. Stanley Porter *Idioms*, 43-44; cf. K. L. McKay *A New Syntax of the Verb in New Testament Greek: An Aspectual Approach* (New York: Peter Lang Publishing, 1994) 7-8; 34.] Others further contend that the future tense-form joins the present and imperfect tense-forms in signaling aspectual prominence. [E.g. Jeffrey T. Reed and Ruth A. Reese, “Verbal Aspect, Discourse Prominence, and the Letter of Jude” in *Filiologia Neotestamentaria* 9 (1996) 189.]
\(^6\) Porter, *Idioms*, 25.
(2) Another reason Matthew’s ability to select a certain tense-form may be limited comes from dependence on or conformity to his literary sources. For example, at times he chooses to carefully follow the LXX:
Isaiah 6:9 ἀκοῇ ἀκούσετε καὶ οὐ μὴ συνῆτε καὶ βλέπουσις βλέψετε καὶ οὐ μὴ ἰδῆτε
Matthew 13:14 ἀκοῇ ἀκούσετε καὶ οὐ μὴ συνῆτε καὶ βλέπουσις βλέψετε καὶ οὐ μὴ ἰδῆτε
You will indeed hear but never understand, and you will indeed see but never perceive.
It is interesting to note that Matthew will frequently use a verb that is different from the one found in the LXX passage from which he is quoting and yet the verbal aspect is consistently preserved even when the lexis is changed:
Psalm 77:2 ἀνοίξω ἐν παραβολαῖς τὸ στόμα μου φθέγξομαι προβλήματα ἀπ’ ἀρχῆς
I will open my mouth in parables: I will utter dark sayings which have been from the beginning.
Matthew 13:35 ἀνοίξω ἐν παραβολαῖς τὸ στόμα μου, ἐρεύξομαι κεκρυμμένα ἀπὸ καταβολῆς
I will open my mouth in parables, I will utter what has been hidden since the foundation of the world.
Isaiah 42:3 κάλαμον τεθλασμένον οὐ συντρίψει καὶ λίνον κατιζόμενον οὐ σφέσει
A bruised reed he will not break, and a smoking flax he will not quench
Matthew 12:20 κάλαμον συντετριμμένον οὐ κατεάξει καὶ λίνον τυφόμενον οὐ σφέσει
He will not break a bruised reed or quench a smoldering wick
In such cases, the exegete should be cautious in giving too much significance to aspect since Matthew’s inclination to follow his literary source carries much less semantic weight than a choice to alter the aspect would carry.
(3) A third reason for the limitation on Matthew’s selection of tense-forms can be explained in terms of grammatical convention. Biblical Greek language conventions, such as introducing Scripture quotations with γέγραπται, help explain why certain forms appear. Here, as with conformity to his sources, Matthew’s decision to follow expected convention is less exegetically significant than a break from convention would be.
__________________________
7 Matthew 2:5, 4:4, 4:6, 4:7, 4:10, 11:10, 21:13, and 26:31
Aspectual Prominence
To sum up what has been said thus far: normally the appearance of a certain tense-form communicates how an author is choosing to perceive an action (what is called aspectual choice), while sometimes, for a variety of reasons, an author’s ability to do so is limited. However, we can see that at times there is another reason why an author may choose one tense-form over another. This reason can be called aspectual prominence. Prominence refers some element in a discourse standing out from another element. Prominence in a discourse conveys meaningfulness of some kind.\(^8\) Lest there be any misunderstanding, it is important to note that aspectual prominence is a pragmatic function of grammar and, thus, is not conveyed every time a tense-form is selected.\(^9\) Nevertheless, the use of different tense forms does often communicate prominence. Porter discusses aspectual prominence in terms of background, foreground, and frontground. “Items which are placed in the background tense (aorist) comprise either the backbone (in narrative) or supporting illustrative material (in exposition) against which more prominent items are set,” explains Porter, whereas “the foreground (present) and frontground (perfect) tense-forms are used to mark prominent features.”\(^10\)
Within this understanding of aspectual prominence, we can identify two related ways in which it functions. Though they have not been categorized this way before, it is helpful to label these as Emphatic Prominence and Structural Prominence. Structural Prominence is used to structure narrative discourse by drawing attention to a new paragraph, new scene, or a new subject.\(^11\) It is most frequently accomplished by using present-tense forms in past time contexts. Emphatic Prominence is used to highlight or emphasize a key theme, action, or element within the narrative. The imperfective and stative tense-forms are utilized for this purpose. The balance of this paper will provide examples where Matthew’s choices of tense-forms do appear to be selected for the purpose of indicating either Emphatic or Structural Prominence.
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\(^8\) Prominence conveys greater or lesser meaningfulness based on the reader’s expectation. To quote Lyons’ oft-repeated maxim: ‘The ‘meaningfulness’ of utterances (and parts thereof) varies in inverse proportion to their degree of ‘expectancy’ in context.’ J. Lyons, *Introduction to Theoretical Linguistics* (Cambridge: CUP, 1968), 415.
\(^9\) Since ‘prominence is not a function of morphology proper but is a result of morphological forms as they are used in discourse … in one context of discourse particular morphological forms (e.g. tense-forms) may be used to indicate prominence whereas in another they may play a different functional role.’ Jeffrey T. Reed and Ruth A. Reese, “Verbal Aspect, Discourse Prominence, and the Letter of Jude” in *Filiologia Neotestamentaria* 9 (1996) 188.
\(^10\) Porter, *Idioms*, 302.
\(^11\) This is often done with the so-called ‘historic present’. Cf. Richard A. Young, *Intermediate New Testament Greek: A Linguistic and Exegetical Approach* (Nashville: Broadman & Holman, 1994), 110; Buist Fanning, *Verbal Aspect in New Testament Greek* (Oxford: Clarendon Press, 1990), 232; Porter, *Verbal Aspect in the Greek of the New Testament, with Reference to Tense and Mood* (New York: Peter Lang, 1989), 196.
Examples of Emphatic and Structural Prominence
1. Matthew 1:18-25; 2:13-15; 2:19-23
A clear example of Matthew’s use of Structural Prominence is found in his deliberate use of the verb φαίνω in the three-fold appearance of an angel of the Lord to Joseph within three of the earliest Matthean fulfillment-formula passages (1:18-25; 2:13-15; and 2:19-23). The circumstances surrounding each appearance could hardly be more similar; these three passages clearly parallel each other:
1:20 ἰδοὺ ἀγγελος κυρίου κατ’ ὄναρ ἐφάνη αὐτῷ λέγων·
Behold an angel of the Lord appeared to him in a dream, saying
2:13 ἰδοὺ ἀγγελος κυρίου φαίνεται κατ’ ὄναρ τῷ Ιωσῆφ λέγων·
Behold an angel of the Lord appeared to Joseph in a dream, saying
2:19 ἰδοὺ ἀγγελος κυρίου φαίνεται κατ’ ὄναρ τῷ Ιωσῆφ ἐν Αἰγύπτῳ λέγων·
Behold an angel of the Lord appeared to Joseph in Egypt in a dream, saying
In each case, the interjection ἰδοὺ introduces the action, an angel of the Lord (ἀγγελος κυρίου) is the one appearing, the appearance is specifically to Joseph, the medium of the appearance is by way of a dream (κατ’ ὄναρ), and the purpose of the appearing is a speech-act (λέγων) by the angel to Joseph, commanding him to do a certain action which subsequently is obeyed and leads in each case to the fulfillment of scripture (πληρωθῇ τὸ ρῆθεν).
The single most striking difference between the first and the latter two sections of the Matthean triad is the tense-form of φαίνω. We may ask why Matthew would break his initial pattern of κατ’ ὄναρ ἐφάνη and instead front the main verb before κατ’ ὄναρ and change from an aorist tense-form to a present tense-form for the latter two occurrences. Clearly, neither a distinction between time of action nor between type of action is being drawn. Furthermore, verbal aspect alone is insufficient to explain the reason why near-identical actions would be conceived of by Matthew in aspectually different ways. This leads to the question of whether or not some type of prominence might best explain these tense-forms. Since the action in all three cases is by the same agent to the same person for the same basic purpose, it seems unlikely that the latter two actions are any more key or thematically significant to the narrative that the first. Therefore, Emphatic Prominence does not fit here.
However, when the larger structure is considered, a clear pattern emerges. The present tense-form φαίνεται is used in Matthew 2:13 and 2:19 in order to mark the beginning of new narrative scenes, whereas the aorist tense-form ἐφάνη is used in 1:20 simply to convey aspect
alone (viewing the complete action) rather than prominence. This can be seen because of the different role that this verb plays in 1:18-25 than it does in 2:13-15 and 2:19-23. In 1:18-25, verse 20 is part of the flow of the story, still concerning Joseph. In 2:13 and 2:19, however, we have a major scene change, with a new setting and new participants. Thus, the shift in tense-form from the aorist in 1:18 to the present forms in 2:13 and 2:19 is part of the structure of the discourse, indicating a clear and significant scene change. Hence it is best understood as an example of Structural Prominence.
2. Matthew 4:1-11
The three-fold temptation of Jesus in Matthew provides another example of aspectual prominence. In this case, it will be shown that Matthew is underscoring the mounting tension within the story through his increasing use of Emphatic Prominence. As with the example above, many of the tense-form choices in 4:1-11 are inexplicable under either the lens of Aktionsart or under that of a predominantly time-based model. This is most evident in the alternating use of the aorist and present tense-forms of λέγω throughout this passage, but it can be demonstrated from other verbs as well. For instance, why is the main action surrounding the first temptation rendered with aorist tense-forms (ἀνήκθη, πειρασθήναι, ἐπείναισεν, προσελθών, εἰπεν 2x, εἰπέ) while the main action surrounding the final temptation is portrayed primarily with present and imperfect tense-forms (παραλαμβάνει, δείκνυσιν, λέγει, ὑπαγε, ἀφίησιν, διηκόνουν)? In order to make sense of this data, it is necessary to read the narrative in light of aspectual markedness.
Stephanie Black, who has carefully analyzed this passage with an eye toward Matthew’s use of the so-called “historic present” apart from direct speech, rightly observes that “Matthew increasingly uses the historic present, intermixed with other tense-forms, to convey the growing tension as the narrative builds to a climax in the third temptation.”\(^{12}\) This observation is solid, but its strength is even increased when full consideration is given to all the tense-forms within and without the speech margins. In the first temptation (4:1-4), only one present tense-form is used while ten aorist tense-forms are used.\(^{13}\)
\(^{12}\) Black, “The Historic Present in Matthew,” 132.
\(^{13}\) Verbs whose tense-forms were determined by limited choices (vague verbs), conformity to literary sources, or grammatical convention were ignored in the statistics of all three temptations.
Τότε ὁ Ἰησοῦς ἀνήχθη εἰς τὴν ἐρημον ὑπὸ τοῦ πνεύματος πειρασθῆναι ὑπὸ τοῦ διαβόλου. 2 καὶ ὑπετέθεις ἡμέρας τεσσεράκοντα καὶ νυκτας τεσσεράκοντα, ὃστερον ἐπείνασεν. 3 καὶ προσελθὼν ὁ πειράζων εἶπεν αὐτῷ· εἰ υἱὸς εἶ τοῦ θεοῦ, εἰπὲ ἴνα οἱ λίθοι ὑδρον γένωνται. 4 ὃ δὲ ἀποκριθεὶς εἶπεν· γέγραπται· οὐκ ἔπ’ ἄρτῳ μόνῳ ζήσεται ὁ ἀνθρώπος, ἀλλ’ ἐπὶ παντὶ ρήματι ἐκπορευομένω διὰ στόματος θεοῦ.
All of the main action is conveyed with aorist tense-forms. The lone present tense-form is the substantival participle ὁ πειράζων (the tempter). Clearly, there is not much being highlighted in the narrative surrounding this first temptation. In the second temptation (4:5-7), however, there are only three aorist tense-forms and two present tense-forms:
Τότε παραλαμβάνει αὐτὸν ὁ διάβολος εἰς τὴν ἀγίαν πόλιν καὶ ἐστησεν αὐτὸν ἐπὶ τὸ πτερύγιον τοῦ ἱεροῦ 6 καὶ λέγει αὐτῷ· εἰ υἱὸς εἶ τοῦ θεοῦ, βάλε σεαυτὸν κάτω· γέγραπται γὰρ ὅτι τοῖς ἀγγέλοις αὐτοῦ ἐντελεῖται περὶ σοῦ καὶ ἐπὶ χειρῶν ἀρουσίν σε, μήποτε προσκυψής πρὸς λίθον τὸν πόδα σου. 7 ἐφ’ αὐτῷ ὁ Ἰησοῦς· πάλιν γέγραπται· οὐκ ἐκπεράσεις κύριον τὸν θεόν σου.
The main action is evenly divided between aorist (ἐστησεν, ἐφ’α) and present (παραλαμβάνει, λέγει) tense-forms as the tension builds. The emphasis is on the devil taking Jesus from the desert up to Jerusalem and tempting him with words from scripture. Finally, in the concluding temptation (4:8-11), there are four aorist tense-forms, five present tense-forms, one imperfect tense-form, and one future tense-form:
Πάλιν παραλαμβάνει αὐτὸν ὁ διάβολος εἰς ὄρος ὑψηλὸν λίαν καὶ δείκνυσιν αὐτῷ πάσας τὰς βασιλείας τοῦ κόσμου καὶ τὴν δόξαν αὐτῶν 9 καὶ εἶπεν αὐτῷ· ταῦτα σοι πάντα δῶσαι, ἐὰν πεσώῃ προσκυψής μου. 10 τότε λέγει αὐτῷ ὁ Ἰησοῦς· ὑπάγε, σατανᾶ· γέγραπται γὰρ· κύριοι τὸν θεόν σου προσκυψήσεις καὶ αὐτῷ μόνῳ λατρεύσεις. 11 Τότε ἀφίησιν αὐτὸν ὁ διάβολος, καὶ ἰδοὺ ἀγγέλοι προσῆλθον καὶ ὑπεκάνουν αὐτῷ.
Whether or not future tense-forms join the present and imperfect tense-forms in signaling aspectual prominence,\textsuperscript{14} the aspectually imperfective verbs dramatically outnumber the aorist tense-forms. The main action is almost entirely conveyed by the imperfective aspect as the narrative reaches its climax and resolution. The emphasis here is on the devil taking Jesus from the pinnacle of the temple up to a very high mountain, the devil showing Jesus all the kingdoms of the world and their glory, Jesus telling the devil to depart, the devil departing from Jesus, and the angels ministering to Jesus. Black’s observation concerning the function of the so-called “historic present” in this pericope – that it “both confirms established exegetical insights about the climactic structure of the pericope, and answers questions about seemingly random use of
\textsuperscript{14} As suggested by Reed and Reese, “Verbal Aspect, Discourse Prominence, and the Letter of Jude,” 189.
tenses by Matthew in this passage”\textsuperscript{15} – is all the more true of the function of Matthew’s broader use of aspectual prominence. Therefore, we both affirm and build upon Black’s astute analysis, having demonstrated how Matthew underscores the mounting tension within the temptation narrative through his use of Emphatic Prominence.
3. \textit{Matthew 26:36-46}
In Matthew 26:36-46 we find a clear and good example in one passage of both Structural Prominence and Emphatic Prominence at work through the pattern of alternating tense forms. Traditional understandings of time and \textit{Aktionsart} clearly do not have the ability to interpret the tense-form usage here. At the same time, the use of different verbal aspects in this text does communicate both Structural Prominence (by indicating scene changes) and Emphatic Prominence (by showing some elements of the narrative to be foregrounded and others to be backgrounded).
Matthew chapter 26 begins the highly important Passion Narrative. This whole chapter provides us with an interesting example of how a pattern of alternating tense-forms seems to function in a prominence-indicating way. Interestingly, this aspectual markedness is most apparent in and draws attention to verses 36-46, the story of the three-fold failure of the sleepy disciples in the Garden of Gethsemane. It is particularly through an examination of the two very common Greek words \textit{\textepsilon\textrho\textchi\textomega\textalpha} and \textit{\lambda\textepsilon\textgamma\omega} that we get a useful vantage point on how the different tense forms convey different kinds of prominence in this passage. These words are particularly good candidates for examination because both are frequent enough to provide a large enough amount of data to enable recognition of distinctions and patterning.
In the case of \textit{\textepsilon\textrho\textchi\textomega\textalpha} (including in compound forms) across all moods we find that Matthew predominantly prefers aorist tense-forms (perfective aspect) of this verb to present forms (imperfective aspect) by nearly 4 to 1.\textsuperscript{16} There are only a total of sixteen present tense
\textsuperscript{15} Black, “The Historic Present in Matthew,” 135. Black gives a fitting example from Davies and Allison’s commentary: “The three temptations exhibit a spatial progression, from a low place to a high place. The first takes place in the desert, the second on a pinnacle in the temple, the third on a mountain from which all the kingdoms of the world can be seen. This progression corresponds to the dramatic tension which comes to a climax with the third temptation.” Dale C. Allison Jr. and W. D. Davies, \textit{Matthew} International Critical Commentary, Vol. I (New York: T&T Clark, 1991) 352.
\textsuperscript{16} In non-compound forms of \textit{\textepsilon\textrho\textchi\textomega\textalpha}, in all moods there are 114 occurrences. This is comprised of 84 Aorists (74%), 28 Presents (25%) and 2 Futures (1%). There are an additional 178 occurrences of \textit{\textepsilon\textrho\textchi\textomega\textalpha} in compound
indicative forms of ἐρχομαι in all of Matthew – a small number, especially in light of Matthew’s tendency to use the so-called ‘historic present’. Not only are these forms infrequent in usage, we also find that thirteen of these sixteen occurrences are found in direct speech. As Stephanie Black has discovered in analyzing tense-forms in Matthew, the ‘speech margins’ often stand apart from other elements in the discourse. Strikingly, the only three occurrences of ἐρχομαι in the imperfective aspect which are used to introduce action and carry along the narrative are found concentrated here in Matt 26:36-46. This alone is noteworthy, but its significance is highlighted by the fact that there are many occurrences of ἐρχομαι and its compounds throughout Matthew 26 and that, as we will see below, they reveal a clear and consistent pattern that indicates scene changes while also showing some elements of the discourse are primary (foregrounded) while others are summary and backgrounded.
In the case of λέγω, it is has long been recognized that the so-called ‘historic present’ is especially associated with verbs of speaking. It has also been observed that in Matthew the use of verbs of speaking in the present tense form is particularly noticeable, accounting for more than three-fourths of the total uses. Again, this backdrop makes the alternating pattern in 26:36-46 stand out in sharp relief.
---
17 Black, “The Historic Present,” 122.
18 Black, “Historic Present,” 121. Black defines a speech margin as a “sentence in which λέγω or φημί introduces quoted speech.”
19 Black, “Historic Present,” 124, quoting Hawkins.
Below is the text of 26:36-46 laid out in a structured way:
36 Τότε ἐρχεται μετ’ αὐτῶν ὁ Ἰησοῦς εἰς χωρίον λεγόμενον Γεθσημανί
καὶ λέγει τοῖς μαθηταῖς· καθίσατε αὐτοῦ ἕως [οὗ] ἀπελθὼν ἐκεῖ προσευξώμαι.
37 καὶ παραλαβὼν τὸν Πέτρον καὶ τοὺς δύο υἱοὺς Ζεβδαίου ἦρξατο λυπεῖσθαι καὶ
ἀδημονεῖν.
38 τότε λέγει αὐτοῖς· περίλυπος ἐστιν ἡ ψυχή μου ἕως θανάτου· μείνατε ὧδε καὶ
γρηγορεῖτε μετ’ ἐμοῦ.
39 καὶ προελθὼν μικρὸν ἔπεσεν ἐπὶ πρόσωπον αὐτοῦ προσευχόμενος
καὶ λέγων· πάτερ μου, εἰ δύνατόν ἐστιν, παρελθάτω ἀπ’ ἐμοῦ τὸ ποτήριον τοῦτο· πλὴν
οὐχ ὃς ἔγω θέλω ἀλλ’ ὃς σύ.
40 καὶ ἐρχεται πρὸς τοὺς μαθητὰς καὶ εὐρίσκει αὐτοὺς καθεύδοντας,
καὶ λέγει τῷ Πέτρῳ· οὐτως οὐκ ἰσχύσατε μίαν ὥραν γρηγορῆσαι μετ’ ἐμοῦ; 41 γρηγορεῖτε καὶ
προσεύχεσθε, ήνα μὴ εἰσέλθητε εἰς πειρασμόν· τὸ μὲν πνεῦμα πρόθυμον ἡ δὲ σάρξ ἀσθενής.
42 πάλιν ἐκ δευτέρου ἀπελθὼν προσηύξατο
λέγων· πάτερ μου, εἰ οὐ δύναται τοῦτο παρελθεῖν ἐὰν μὴ αὐτὸ πίω, γενηθήτω τὸ
θέλημά σου.
43 καὶ ἐλθὼν πάλιν εὑρεν αὐτοὺς καθεύδοντας, ἥσαν γὰρ αὐτῶν οἱ ὀφθαλμοί
βεβαρημένοι. 44 καὶ ἀφεις αὐτοὺς πάλιν ἀπελθὼν προσηύξατο ἐκ τρίτου τὸν
αὐτὸν λόγον εἰπών πάλιν.
45 τότε ἐρχεται πρὸς τοὺς μαθητὰς
καὶ λέγει αὐτοῖς· καθεύδετε [τὸ] λοιπὸν καὶ ἀναπαύσθε· ἰδοὺ ἤγγικεν ἡ ὥρα καὶ ὁ υἱὸς τοῦ
ἀνθρώπου παραδίδοται εἰς χεῖρας ἀμαρτωλῶν. 46 ἐγείρεσθε ἄγωμεν· ἰδοὺ ἤγγικεν ὁ παραδιδούς
με.
This passage is clearly structured on a three-fold pattern of ἐρχεται plus λέγει (both in
the imperfective aspect) in verses 36, 40, and 45. In each case Jesus is the subject of this verb
combination and the objects or participants are his disciples (μετ’ αὐτῶν in v.36; πρὸς τοὺς
μαθητὰς in vv. 40 and 45). Indications of intentional structure are also found in the typical
Matthean transition word τότε\textsuperscript{20} and in the fact that the verse following this pericope (v47) is demarcated by a genitive absolute phrase.\textsuperscript{21}
A few other observations can be offered. First, as is common in Matthew, λέγω is used to introduce speech and in all moods is employed in the imperfective aspect or the ‘historic present’.\textsuperscript{22} The notable exception is verse 44, which uses the unexpected aorist εἰπών.\textsuperscript{23} More on this below. We may also observe that, as in the rest of Matthew, there are many occurrences of ἐρχομαι, by itself as well as in a number of compound forms. Each of the ten occurrences of ἐρχομαι in this short passage occurs in the aorist tense form, with the exception of the three instances already pointed out, those in verses 36, 40, and 45. As stated above, the use of aorist forms of ἐρχομαι far outweighs that of present forms, and the use of the present indicatives to carry along the narrative, as in these verses, is itself quite uncommon.
Having laid this groundwork, we may now query as to why these verbs alternate as they do in this passage. It is clear that time is not a factor, and type of action also provides no help in understanding why the very same verbs are used in an alternating pattern. Do verbal aspect and prominence help us understand this text?
We are not, in fact, the first ones to examine this text in light of aspect. In her insightful essay “The Historic Present in Matthew: Beyond Speech Margins”, Stephanie Black chose Matt 26:36-46 as one of two passages to analyze through the lens of prominence and aspect. Black first provides a number of helpful statistics on tense form patterns in Matthew before turning to a detailed analysis of two passages: 4:1-11 and 26:36-46. She concludes that Matthew intentionally “alternates the historic present with other tense forms to help create the narrative’s structure and make his storytelling more engaging to his readers”.\textsuperscript{24} What this looks like is different in the two Matthean passages in her purview. In 26:36-46 Black argues that the
\textsuperscript{20} Cf. Stephanie Black, \textit{Sentence Conjunction in the Gospel of Matthew} (London: Sheffield Academic, 2002). This text does match Mk 14:32-43 quite closely, though evidence of Matthew’s hand can be seen in a number of points, including his common use of τότε.
\textsuperscript{21} There is a striking pattern of Matthew using genitive absolute phrases to demarcate breaks. He is so fond of this technique that at times he even uses the dative case in the same way, what we may called the ‘dative absolute’ (e.g., 8:23; 9:27, 28:14:6).
\textsuperscript{22} The present indicative in vv. 36, 38, 40, and 45. The present participle in vv. 36, 39, and 42.
\textsuperscript{23} Aorist participles of λέγω occur only 15 times in all of Matthew, 13 of which are in the formulaic aorist passive form ἐφθέν, always referring back to Scripture. Besides 26:44, the only other occurrence is in 17:26, and there it is a far from certain reading. The variants are quite diverse (at least six entirely distinct readings) and include a significant number of disagreements within the major uncialis and minuscules. Thus, 26:44 is the only clear example of an aorist participle being used to report speech in Matthew. We will see below why this is the case.
\textsuperscript{24} Black, “Historic Present,” 124.
juxtaposition of different tense forms is used to distinguish between two interwoven story lines. She suggests that Matthew has used the historic present forms to present the elements of the story that focus on Jesus’ interactions with his disciples, while on the other hand, he uses the aorist tense forms to depict the elements of the story in which Jesus is in isolation.
This essay has much to commend it, though her study is certainly limited by its focus on the so-called ‘historic present’. Moreover, while her theory that the use of different tense forms communicates two different elements of the story is a vast improvement over time-based or Aktionsart views, it ultimately proves unconvincing for 26:36-46. She is right to observe that there is indeed some pattern of alternating tense forms, but her theory fails to account for all of the data. Contrary to her stated thesis, we do find aorist tense-forms used to apply to Jesus’ interaction with his disciples in 26:43a, in noticeable contrast to present tense-forms of the same verbs used for the same reason in 26:40b. Thus, her theory proves untenable.
However, Black is right to examine this passage for aspectual markedness and to observe that some pattern is at work. But rather than indicating the different elements of the stories in this text, the alternating pattern of tense-forms communicates both Structural Prominence (here, scene changes) and Emphatic Prominence (backgrounding and foregrounding). As observed above, the use of the ἐρχεται plus λέγει combination clearly sets out verses 36, 40, and 45 as indicating a change in scene, thus what we are calling Structural Prominence. This stands in marked contrast to the aorist tense-forms used (especially for all forms of ἐρχομαι) in between these structural indicators.
At the same time, the alternating tense forms indicate Emphatic Prominence by bringing the actions and dialogue of the three scene changes to the foreground. The greatest evidence of this is seen in the striking change of tense-forms that occurs in verses 43-44. In the second major scene (vv 40-44) Jesus comes (ἐρχεται) to the disciples and finds (εὑρίσκει) them sleeping. He instructs them to watch and pray and then returns a second time to pray to the Father. In verses 43-44 Jesus comes again to find the disciples sleeping and returns for a third time to pray. What is noticeably different in verses 43-44 is that all of the tense forms have switched to aorists, including a conspicuous change of the identical verbs used earlier (ἐρχεται→ξλθων; εὑρίσκει→εὑρεν) and the especially-odd aorist form of λέγω (here the one-time only aorist participle, εἰπων). This change is noteworthy on its own, but its significance is made clear when we observe that unlike the other identically parallel scenes, here Matthew is not really depicting
a scene, action, or dialogue at all, but is instead offering a rehashed narrative summary statement. That is, unlike each of the other times when Jesus interacts with his disciples and when he prays to the Father, no dialogue at all is given in verses 43-44. Instead, these verses are summed up and treated cursorily with three summary occurrences of πάλιν. Thus, we can see that the aorist tense-forms fit perfectly as the forms used to communicate backgrounded, summary narration, in contrast to the present tense-forms which are used (with the very same lexemes) to depict ‘live’ or foregrounded action.
In this way, the pattern of tense-forms in Matt 26:36-46 fit precisely into an understanding of the Emphatic Prominence use of the present and aorist verbal forms. At the same time, as observed earlier, the pattern of tense-forms communicates Structural Prominence by indicating major scene changes. Thus, we have in these verses an excellent example of how a discourse prominence understanding of aspectual markedness finds exegetical support.
**Conclusion**
The perpetual problem hanging over much discussion of aspect and its meaning is that it often remains at the level of theory and taxonomy, with few detailed exegetical examples. We also have begun at this level and we have offered some refinement to the theoretical notion of Prominence. We have suggested that there is benefit in distinguishing at least two types or subcategories of Prominence in narrative literature, what we are calling Structural and Emphatic Prominence.
But while we have necessarily also begun with a theoretical discussion, we have tried to move beyond this by examining three particular passages in Matthew. We have chosen these passages because they seem to supply easily discernible examples of both Structural and Emphatic Prominence at work. In fact, these labels and categories have been derived from a close examination of the passages, rather than vice versa.
Picirilli astutely points out that much discussion of aspectual prominence leaves us with no way to independently verify what is being argued. That is, examples that are typically given for aspect at work usually leave one wondering whether there is any way to test whether what is being argued is true or not. And unfortunately, it seems that usually there is not, thus we are not truly testing the theories, but simply positing their existence. We have observed this same impasse in much discussion of aspect. However, in each of the cases presented here, we believe
that we are able to get beyond this vicious circularity because in each case the interpretation of Prominence is confirmed by other elements in the text. Moreover, it is clear in each case that the data in the text is not explicable in terms of *Aktionsart* or time, even in the case of the indicative mood.
Additionally, when authors have tried to apply aspect and aspectual prominence to exegetical examples, the result has often been little by way of actual exegetical help. In each of the examples we have given in this paper we can offer real clues to the exegetical understanding of the passage regarding both structure and emphasis. In these ways we hope we have made a small but real contribution to the continuing discussion of verbal aspect.
We may conclude by offering some suggestions for further study. There is need for a more detailed study of prominence in Matthew at the macro level, incorporating not only Matthew’s usage of tense-forms but also other indicators of prominence (transitivity-based, lexically-based, emphatic particles, word order, repetition, superlatives, redundant pronouns, etc.). Also, working under the assumption that different authors employ the Greek tenses in subtly different ways, we have selected the Gospel of Matthew and his tense-form choices as our testing ground for Porter’s prominence theory; it would be interesting to see what a similar study of a different author, such as Luke, would yield. It would be worthwhile and interesting to examine whether our ideas of Structural and Emphatic Prominence work well in another Gospel, and whether there are other subcategories of Prominence that are at play.
|
April 18, 2008
Mr. Jeffrey Quandt, Chief
Vehicle Control Division (NVS-213, Rm W48-312)
NHTSA, Office of Defects Investigation
1200 New Jersey Avenue, SE
Washington, DC 20590
Re: NVS-213dsy; DP08-001
Dear Mr. Quandt:
This letter is being sent in response to your February 8, 2008 letter regarding DP08-001, a defect petition your office is evaluating. Per our agreement, enclosed you will find Toyota’s second partial response to your inquiry and a CD-ROM of the attachments. Two copies of these materials are being provided for your convenience. The remainder of our response will be submitted on April 25.
Please note that the marked portions of “Attachment Response 6-1,” “Attachment Response 8,” “Attachment Response 9,” “Attachment Response 10,” and “Attachment Response 11” are identified as confidential business information and a request for confidential treatment has been made to the Office of Chief Counsel. Copies of these attachments with all confidential business information removed are included with this partial response. Copies of the attachments with the confidential business information included have been sent to the Office of Chief Counsel. Should you have any questions about this response, please contact Mr. Chris Santucci of my staff at (202) 775-1707.
Sincerely,
Chris Tinto
Vice President
TOYOTA MOTOR NORTH AMERICA, INC.
CT:cs
Enclosure:
CD-ROM ATT_2
1. State, by model, engine and model year, the number of the subject vehicles Toyota has manufactured for sale or lease in the United States. Separately, for each subject vehicle manufactured to date by Toyota, state the following:
a. Vehicle identification number (VIN);
b. Engine designator (family);
c. Model designator;
d. Transmission type (manual or auto);
e. Number of transmission gear ranges (speeds);
f. Throttle control system type (mechanical, electronic, etc);
g. Drive train type (2WD or 4WD);
h. Whether equipped with air conditioning;
i. Whether equipped with cruise control;
j. Whether equipped with anti-lock braking;
k. Whether equipped with stability control;
l. Whether equipped with traction control;
m. Whether equipped with adjustable accelerator and brake pedal assemblies;
n. Date of manufacture;
o. Date warranty coverage commenced; and
p. The State in the United States where the vehicle was originally sold or leased (or delivered for sale or lease).
Provide the table in Microsoft Access 2000, or a compatible format, entitled “PRODUCTION DATA.” See Enclosure 1, Data Collection Disc, for further details (templates) regarding this response.
**Response 1**
The number of MY 2004-2008 Toyota Tacoma manufactured for sale or lease in the United States by model, engine and model year is as follows:
| Tacoma | 2005MY | 2006 MY | 2007 MY | 2008 MY | Total |
|--------|--------|---------|---------|---------|-------|
| 1GR-FE | 110,659| 138,704 | 117,045 | 71,631 | 438,039|
| 2TR-FE | 40,979 | 56,464 | 48,776 | 31,302 | 177,521|
| Total | 151,638| 195,168 | 165,821 | 102,933 | 615,560|
| Tacoma | 5VZ-FE | 2RZ-FE | 3RZ-FE | Total |
|--------|--------|--------|--------|-------|
| 2004MY | 91,933 | 39,276 | 28,126 | 159,335|
In addition, the detailed information responsive to “a” through “p” is provided electronically on CD-ROM in Microsoft Access 2000 format entitled “PRODUCTION DATA (DP08-001).mdb” stored in the folder “Attachment-Response 1.”
2. State the number of each of the following, received by Toyota, or of which Toyota is otherwise aware, which relate to, or may relate to, the alleged defect in the subject vehicles:
a. Consumer complaints, including those from fleet operators;
b. Field reports, including dealer field reports;
c. Reports involving a crash, injury, or fatality, based on claims against the manufacturer involving a death or injury, notices received by the manufacturer alleging or proving that a death or injury was caused by a possible defect in a subject vehicle, property damage claims, consumer complaints, or field reports;
d. Property damage claims;
e. Third-party arbitration proceedings where Toyota is or was a party to the arbitration; and
f. Lawsuits, both pending and closed, in which Toyota is or was a defendant or codefendant.
For subparts “a” through “d,” state the total number of each item (e.g., consumer complaints, field reports, etc.) separately. Multiple incidents involving the same vehicle are to be counted separately. Multiple reports of the same incident are also to be counted separately (i.e., a consumer complaint and a field report involving the same incident in which a crash occurred are to be counted as a crash report, a field report and a consumer complaint).
In addition, for items “c” through “f,” provide a summary description of the alleged problem and causal and contributing factors and Toyota’s assessment of the problem, with a summary of the significant underlying facts and evidence. For items “e” through “f,” identify the parties to the action, as well as the caption, court, docket number, and date on which the complaint or other document initiating the action was filed.
**Response 2**
Using the methodology described in your question above, the number of reports which relate to, or may relate to, the allegations that the engine speed increased without driver application of the accelerator pedal, that the engine speed failed to return to an idle state after the operator released the accelerator pedal, or that the cruise control system caused the engine speed to change in an unsafe manner, including the reports which don’t clearly show the phenomenon on the MY 2004-2008 Toyota Tacoma vehicles are as follows:
| Type of Reports | Total | Number With Crash | Number With Injuries | Number With Fatalities | Number With Property Damage |
|----------------------------------|-------|-------------------|----------------------|------------------------|----------------------------|
| Consumer Complaints | 478 | 49 | 9 | 0 | 0 |
| Field Reports | 13 | 0 | 0 | 0 | 0 |
| Legal Related Claims | 23 | 22 | 8 | 0 | 18 |
| Third-Party Arbitration Proceedings | 0 | 0 | 0 | 0 | 0 |
| Lawsuits | 0 | 0 | 0 | 0 | 0 |
| Total Reports | 514 | 71 | 17 | 0 | 18 |
| Total Vehicles with Reports (Unique VIN) | 431 | 51 | 12 | 0 | 18 |
3. Separately, for each item (complaint, report, claim, notice, or matter) within the scope of your response to Request No. 2, state the following information:
a. Toyota’s file number or other identifier used;
b. The category of the item, as identified in Request No. 2 (i.e., consumer complaint, field report, etc.);
c. Vehicle owner or fleet name (and fleet contact person), address, and telephone number;
d. Vehicle’s VIN;
e. Vehicle’s make, model and model year;
f. Vehicle’s mileage at time of incident;
g. Incident date;
h. Report or claim date;
i. Whether the vehicle was inspected by Toyota, and if so, the results or findings of the inspection;
j. Whether a crash is alleged;
k. Whether property damage is alleged;
l. Number of alleged injuries, if any; and
m. Number of alleged fatalities, if any.
Provide this information in Microsoft Access 2000, or a compatible format, entitled “REQUEST NUMBER TWO DATA.” See Enclosure 1, Data Collection Disc, for further details (templates) regarding this response.
**Response 3**
The information “a” through “m” for each item (complaint, report, claim, notice, or matter) is provided electronically on CD-ROM, in Microsoft Access 2000 format entitled “REQUEST NUMBER TWO DATA (DP08-001).mdb” stored in the folder “Attachment-Response 3.”
4. Produce copies of all documents related to each item within the scope of Request No. 2. Organize the documents separately by category (i.e., consumer complaints, field reports, etc.) and describe the method Toyota used for organizing the documents.
**Response 4**
A list of the consumer complaints, the copies of the field reports, and the documents related to the legal related claims are all provided electronically on CD-ROM in Microsoft Excel 2000, Word 2000, PDF or JPEG format stored in the folder “Attachment-Response 4.” (The list of consumer complaints is stored in the sub-folder “Consumer Complaint.” The copies of the field reports are stored in sub-folder “Field Report.” The copies of the documents for the legal related claims are stored in the sub-folder “Legal Related Claims.”)
5. State, by model and model year, a total count for all of the following categories of claims, collectively, that have been paid by Toyota to date that relate to, or may relate to, the alleged defect in the subject vehicles: warranty claims; extended warranty claims; claims for good will services that were provided; field, zone, or similar adjustments and reimbursements; and warranty claims or repairs made in accordance with a procedure specified in a technical service bulletin or customer satisfaction campaign.
Separately, for each such claim, state the following information:
a. Toyota’s claim number;
b. Vehicle owner or fleet name (and fleet contact person) and telephone number;
c. VIN;
d. Repair date;
e. Vehicle mileage at time of repair;
f. Repairing dealer’s or facility’s name, telephone number, city and state or ZIP code;
g. Labor operation number;
h. Problem code;
i. Replacement part number(s) and description(s);
j. Concern stated by customer; and
k. Comment, if any, by dealer/technician relating to claim and/or repair.
Provide this information in Microsoft Access 2000, or a compatible format, entitled “WARRANTY DATA.” See Enclosure 1, Data Collection Disc, for further details (templates) regarding this response.
**Response 5**
The total counts of warranty claims, extended warranty claims and claims for good will services paid by Toyota for the subject vehicles that relate to, or may relate to, the allegations that the engine speed increased without driver application of the accelerator pedal, that the engine speed failed to return to an idle state after the operator released the accelerator pedal, or that the cruise control system caused the engine speed to change in an unsafe manner, including the reports which don’t clearly show the phenomenon are provided electronically on CD-ROM, in Microsoft Excel 2000 format entitled “Total Count for Claims.xls” stored in the folder “Attachment-Response 5.”
The detailed information for each claim is also provided electronically on CR-ROM, in Microsoft Access 2000 format entitled “WARRANTY DATA (DP08-001).mdb” stored in the folder “Attachment- Response 5.”
6. Describe in detail the search criteria used by Toyota to identify the claims identified in response to Request No. 5, including the labor operations, problem codes, part numbers and any other pertinent parameters used. Provide a list of all labor operations, labor operation descriptions, problem codes, and problem code descriptions applicable to the alleged defect in the subject vehicles. State, by make and model year, the terms of the new vehicle warranty coverage offered by Toyota on the subject vehicles (i.e., the number of months and mileage for which coverage is provided and the vehicle systems that are covered). Describe any extended warranty coverage option(s) that Toyota offered for the subject vehicles and state by option, model, and model year, the number of vehicles that are covered under each such extended warranty.
**Response 6**
The search criteria used by Toyota to identify the claims is the following:
Toyota searched the warranty database for those claims that replaced any of the parts identified in Microsoft Excel file entitled “Search Criteria, Operation & Problem Codes.xls” stored in the folder “Attachment-Response 6” on CD-ROM. Toyota then reviewed the claim comments to determine if the claims may relate to the allegations that the engine speed increased without driver application of the accelerator pedal, that the engine speed failed to return to an idle state after the operator released the accelerator pedal, or that the cruise control system caused the engine speed to change in an unsafe manner, including the reports which don’t clearly show the phenomenon. In addition, a list of all labor operations, labor operation descriptions, problem codes and problem code descriptions identified in these warranty claims are also provided in the same Microsoft Excel file described above.
The terms that Toyota offers for new vehicle warranty coverage on MY 2004-2008 Tacoma vehicles is as follows;
**For the Engine Control Computer**
In accordance with the Federal Emission Control Warranty, 96 months or 80,000 miles from the vehicle’s date-of-first-use, whichever occurs first.
**For the Throttle Body**
In accordance with the California Emission Control Warranty, 84 months or 70,000 miles from the vehicle’s date-of-first-use, whichever occurs first. In the states where the California Emission Control Warranty doesn’t apply, 36 months or 36,000 miles from the vehicle’s date-of-first-use, whichever occurs first.
**For the Throttle position sensor**
In accordance with the Federal Emission Control Warranty, 36 months or 50,000 miles from the vehicle’s date-of-first-use, whichever occurs first.
**For other related parts which is shown in this response**
36 months or 36,000 miles from the vehicle’s date-of-first-use, whichever occurs first.
There are some extended warranty coverage options that Toyota offered for purchase with the subject vehicles. Detailed information about these options is provided electronically on CD-ROM, in PDF format, entitled “Extended Warranty Option.pdf” stored in the folder “Attachment-Response 6.”
The number of vehicles that are covered under each such extended warranty option, by option, model, and model year is provided as “Attachment-Response 6-1”. Please note that this “Attachment-Response 6-1” contains trade secret and commercial information, therefore, Toyota believes that this document must be afforded confidential treatment. A request for confidential treatment of this document has been sent to the Office of Chief Counsel. A public version of this document is included with this response.
7. Produce copies of all service, warranty, and other documents that relate to, or may relate to, the alleged defect in the subject vehicles, that Toyota has issued to any dealers, regional or zone offices, field offices, fleet purchasers, or other entities. This includes, but is not limited to, bulletins, advisories, informational documents, training documents, or other documents or communications, with the exception of standard shop manuals. Also include the latest draft copy of any communication that Toyota is planning to issue within the next 120 days.
**Response 7**
Toyota has not issued any service or technical bulletins, advisories, or other communications to dealers, regional or zone offices, field offices, fleet purchasers, or other entities that relate to, or may relate to, the allegations that the engine speed increased without driver application of the accelerator pedal, that the engine speed failed to return to an idle state after the operator released the accelerator pedal, or that the cruise control system caused the engine speed to change in an unsafe manner, including the reports which don’t clearly show the phenomenon on the MY 2005-2008 Toyota Tacoma vehicles.
8. Describe all assessments, analyses, tests, test results, studies, surveys, simulations, investigations, inquiries and/or evaluations (collectively, “actions”) that relate to, or may relate to, the alleged defect in the subject vehicles that have been conducted, are being conducted, are planned, or are being planned by, or for, Toyota. For each such action, provide the following information:
a. Action title or identifier;
b. The actual or planned start date;
c. The actual or expected end date;
d. Brief summary of the subject and objective of the action;
e. Engineering group(s)/supplier(s) responsible for designing and or conducting the action; and
f. A brief summary of the findings and/or conclusions resulting from the action.
For each action identified, provide copies of all documents related to the action, regardless of whether the documents are in interim, draft, or final form. Organize the documents chronologically by action.
Response 8
Toyota has summarized in a table the actions, that relate to, or may relate to, the allegations that the engine speed increased without driver application of the accelerator pedal, that the engine speed failed to return to an idle state after the operator released the accelerator pedal, or that the cruise control system caused the engine speed to change in an unsafe manner on the MY 2005-2008 Toyota Tacoma vehicles, conducted by, or for, Toyota. We are providing this information as “Attachment-Response 8” stored in the folder on CD-ROM. All of the documents related to these actions are being provided within “Attachment-Response 8.” Please note that the documents provided in this portion of the response contain design and technical specifications, trade secrets and commercial information, therefore, Toyota believes that these documents must be afforded confidential treatment. A request for confidential treatment of these materials has been sent to the Office of Chief Counsel. Public versions of these documents are included with this response.
9. Describe all modifications or changes made by, or on behalf of, Toyota in the design, material composition, manufacture, quality control, supply, or installation of the accelerator and or cruise control system, from the start of production to date, which relate to, or may relate to, the alleged defect in the subject vehicles. For each such modification or change, provide the following information:
a. The date or approximate date on which the modification or change was incorporated into vehicle production;
b. A detailed description of the modification or change;
c. The reason(s) for the modification or change;
d. The part number(s) (service and engineering) of the original component, if any; and
e. The part number(s) (service and engineering) of the modified component, if any.
Also, provide the above information for any modification or change that Toyota is aware of which may be incorporated into vehicle production within the next 120 days.
Response 9
All modifications or changes made by Toyota, or on behalf of Toyota in the design, material composition, manufacture, quality control or installation, which relate to, or may relate to, the malfunction of the parts related to the accelerator on the MY 2005-2008 Toyota Tacoma vehicles, are provided as “Attachment-Response 9” stored in the folder on CD-ROM. However, these modifications are unlikely to lead to the allegations that the engine speed increased without driver application of the accelerator pedal, that the engine speed failed to return to an idle state after the operator released the accelerator pedal, or that the cruise control system caused the engine speed to change in an unsafe manner. Please note that some of the information included in “Attachment-Response 9” is confidential, and a request for confidential treatment has been submitted to the Office of Chief Counsel. A public version of “Attachment-Response 9” is included with our response to your office; please see the Office of Chief Counsel for the confidential version of this document.
Identify each air conditioning (a/c) control system (a/c system) manufactured or installed in the subject vehicles, and for each system, state;
a. The make, model, model year, and engine designator the a/c system is installed on;
b. Whether the a/c system cycles the a/c compressor on and off;
c. The conditions which cause the compressor to cycled;
d. The engine idle speed when the compressor is on, and when it is off;
e. Whether the compressor is automatically enabled by the a/c system when the front windshield defroster is selected on the climate control system; and,
f. Whether there is a control switch to inhibit operation of the compressor, and if so, are there any conditions under which the control cannot disable the compressor.
**Response 10**
Toyota has summarized the a/c system installed in MY 2005-2008 Tacoma vehicles in “Attachment-Response 10-1” and the a/c system installed in MY 2004 Tacoma in “Attachment-Response 10-2.” We are providing these attachments stored in the folder “Attachment-Response 10” on CD-ROM. Please note that the response contains design and technical specifications, therefore, Toyota believes the response must be afforded confidential treatment. A request for confidential treatment of these materials has been sent to the Office of Chief Counsel.
11. For each engine designator manufactured or installed in the subject vehicles, and for all manual and automatic transmission variants, state whether there are any conditions (e.g., when shifting the manual transmission from one gear to another at road speed) where the engine speed may remain above the normal idle speed even though the accelerator pedal is not applied, and if so, state;
a. The conditions under which the engine speed is elevated;
b. The maximum engine speed that can occur (at no load); and,
c. The duration that the speed may remain elevated.
Also, if any such conditions exist, describe in detail the need or intent for the vehicle to operate in this manner (e.g., fuel economy, emissions reduction/requirement, etc.) and any impact the condition may have on the operation of the vehicle, including safety.
**Response 11**
Toyota has summarized the response to this question related to the 1GR-FE engine in “Attachment-Response 11-1,” the response to this question related to the 2TR-FE engine in “Attachment-Response 11-2,” and the response to this question related to all engine types of the MY 2004 vehicles in “Attachment-Response 11-3.” We are providing these attachments stored in the folder “Attachment-Response 11” on CD-ROM. Please note that the response contains design and technical specifications, therefore, Toyota believes the response must be afforded confidential treatment. A request for confidential treatment of these materials has been sent to the Office of Chief Counsel.
12. Furnish Toyota’s assessment of the alleged defect in the subject vehicles, including:
a. The causal or contributory factor(s);
b. The failure mechanism(s);
c. The failure mode(s);
d. The risk to motor vehicle safety that it poses;
e. What warnings, if any, the operator and the other persons both inside and outside the vehicle would have that the alleged defect was occurring; and
f. The reports included with this inquiry.
**Response 12**
Toyota will respond to this inquiry on April 25, 2008.
Regarding privileged documents that may be responsive to this information request, Toyota understands that it is acceptable to the Agency at this stage for Toyota to identify categories of privileged documents rather than any specific document within those categories. These categories include (a) communications between outside counsel and employees of Toyota's Law Department, other Toyota employees, or employees of parties represented by Toyota in litigation or claims; (b) communications between employees of Toyota's Law Department and other Toyota employees or employees of parties represented by Toyota in litigation or claims; (c) notes and other work product of outside counsel or employees of Toyota's Law Department, including work product of employees or consultants done for or at the request of outside counsel or Toyota's Law Department. For any privileged documents that are not covered by these categories, if any, Toyota will provide a privilege log identifying any such documents under separate cover. Toyota is not claiming a legal privilege for any documents provided with this response; however, Toyota does not waive the legal privilege or work product protection with respect to other documents that may have been prepared in connection with a specific litigation or claim. In addition, Toyota may assert the attorney client privilege or claim protection under the work-product doctrine for analyses or other documents that may be prepared in connection with litigation or claims in the future.
Toyota understands that NHTSA will protect any private information about persons that is contained in the Attachments to this response, based on privacy policy considerations. Such private information includes data such as names, addresses, phone or fax numbers, email addresses, license plate numbers, driver's license numbers and last 4 digits of the vehicle's VIN.
Data provided in this document is current as of the following dates:
| Response | Response | 2005-2008MY | 2004MY |
|----------|----------|-------------|--------|
| 1 | Production Data | March 3, 2008 | April 8, 2008 |
| 2 - 4 | Consumer Complaint | April 2, 2008 | April 2, 2008 |
| | Field Report | March 3, 2008 | March 14, 2008 |
| | Lawsuit | February 26, 2008 | February 26, 2008 |
| 5 | Warranty claims | March 3, 2008 | March 14, 2008 |
| | Goodwill | February 21, 2008 | March 19, 2008 |
| | Extended warranty claims | February 22, 2008 | March 13, 2008 |
| 7 | Dealer communications | March 10, 2008 | - |
| 8 | Actions | April 16, 2008 | - |
| 9 | Modifications or Changes | April 15, 2008 | - |
|
Voluntary modulation of human stretch reflexes
Daniel Ludvig · Ian Cathers · Robert E. Kearney
Received: 30 January 2006 / Accepted: 14 June 2007 / Published online: 13 July 2007
© Springer-Verlag 2007
Abstract It has been postulated that the central nervous system (CNS) can tune the mechanical behavior of a joint by altering reflex stiffness in a task-dependant manner. However, most of the evidence supporting this hypothesis has come from the analysis of H-reflexes or electromyogram (EMG) responses. Changes in overall stiffness have been documented but, as yet, there is no direct evidence that the CNS can control reflex stiffness independently of the intrinsic stiffness. We have used a novel identification algorithm to estimate intrinsic and reflex stiffness and feed it back to subjects in real-time. Using this biofeedback, subjects could learn to control reflex stiffness independently of intrinsic stiffness. At low torque levels, subjects could vary their reflex stiffness gain by a factor of 4, while maintaining elastic stiffness and torque constant. EMG measurements confirmed that the contraction levels of the ankle muscles remained constant. Further experiments showed that subjects could change their reflexes rapidly on command. Thus, we conclude that the CNS can control reflex stiffness independently and so has great flexibility in adjusting the mechanical properties of a joint to meet functional requirements.
Introduction
Joint stiffness describes the relationship between the position of a joint and the torque about it (Kearney and Hunter 1990); hence it is a key property in the control of movement and posture. Joint stiffness is composed of two components:
1. Intrinsic stiffness, which is generated by the viscoelastic properties of the joint, muscles and connective tissue, as well as the inertia of the limb.
2. Reflex stiffness, which is generated by active muscle contraction in response to afferent feedback.
Previous studies have shown that intrinsic stiffness varies with the activation level of the associated muscles, either with contraction of the agonist alone which results in a change in the mean level of torque, or with co-contraction of the agonist and the antagonist leading to no net change in torque (Sinkjaer et al. 1988; Weiss et al. 1988; Carter et al. 1990; Kearney and Hunter 1990; Zhang et al. 1998; Mirbagheri et al. 2000). Intrinsic stiffness also varies with the position of the joint (Weiss et al. 1986a, b; Zhang et al. 1998; Mirbagheri et al. 2000). Reflex stiffness has been shown to depend on multiple factors including amplitude and velocity of the stretch (Stein and Kearney 1995), initial position of the joint (Mirbagheri et al. 2000) and background torque (Sinkjaer et al. 1988; Carter et al. 1990; Mirbagheri et al. 2000). It has also been shown that reflex stiffness varies cyclically during periodic tasks such as imposed motions with the same trajectory as normal walking (Kearney et al. 1999).
In addition to studies, which measured reflex stiffness, many other studies have examined the electromyographic (EMG) stretch reflex activity of the muscle. The reflex EMG response has been shown to vary with activation...
level (Cathers et al. 2004), joint position (Weiss et al. 1986c), and velocity (Ogiso et al. 2002). It has also been shown to vary depending on the task, such as walking, pedaling and standing (Grey et al. 2002), as well as the phase of cyclic tasks such as cycling (Grey et al. 2001). Other studies have shown that H-reflexes are modulated during walking (Capaday and Stein 1986; Brooke et al. 1991), running (Capaday and Stein 1987) and pedaling (McIlroy et al. 1992; Brooke et al. 1993; Collins et al. 1993).
It has been postulated that the central nervous system (CNS) can tune the mechanical behavior of the joint by altering reflex stiffness in a task-dependant manner. There is evidence in support of this hypothesis. The reflex EMG response has been reported to be greater in a “maintain position” task than in a “maintain torque” task (Akazawa et al. 1983; Doenges and Rack 1992a, b; Dietz et al. 1994). Other studies have shown that, given feedback of their reflex activity, subjects can control their reflexes (Neilson and Lance 1978; Neilson and McCaughey 1982; Evatt et al. 1989; Wolf and Segal 1990, 1996; Segal and Wolf 1994). However, there is doubt as to whether these changes represent true voluntary control of the reflex or rather simply result from varying activation levels of the associated muscles (Crago et al. 1976; Rothwell et al. 1980; De Serres and Milner 1991; Capaday et al. 1994). More recent studies have indicated that the level of arousal and sympathetic activity can alter the reflex response (Hjortskov et al. 2005; McIntyre et al. 2004). Furthermore all these studies have focused on the EMG activity of the reflex response, which does not always map directly to mechanical changes (Kearney et al. 1999). Thus, whether or not the CNS can control reflex and intrinsic stiffness independently remains unknown.
One reason for this is that it is difficult to distinguish the mechanical contributions of intrinsic and reflex stiffness, which occur together and vary simultaneously. Previous work from our lab addressed this issue using a parallel-cascade identification method that produces quantitative, dynamic estimates of intrinsic and reflex stiffness (Kearney et al. 1997). This method uses system identification methods to separate intrinsic and reflex mechanisms on the basis of delay. For small perturbations about a fixed operating point, intrinsic stiffness is described well by a linear dynamic model having three components: inertial, viscous and elastic. Reflex stiffness has been modeled by a differentiator followed by a delay, a static non-linearity and linear low-pass dynamics of second or third order (Kearney et al. 1997; Mirbagheri et al. 2000). Using this model we examined how intrinsic and reflex stiffness vary with joint position and contraction level (Mirbagheri et al. 2000). We also used it to study abnormalities of the intrinsic and reflex mechanisms associated with spinal cord injuries and strokes (Mirbagheri et al. 2001; Galiana et al. 2005). The parallel-cascade method was originally developed for offline analysis. Recently, we extended the algorithm to produce estimates of intrinsic and reflex stiffness in real-time (Ludwig and Kearney 2006, 2007). In this paper we use this new algorithm to provide subjects with real-time feedback of intrinsic and reflex stiffness.
We examined the ability of human subjects to control reflex stiffness at the ankle when provided with real-time feedback of elastic stiffness, reflex stiffness gain, and ankle torque. We show that using this biofeedback, human subjects can modulate their reflex stiffness over a wide range, thereby altering the mechanical characteristics of the joint while maintaining intrinsic stiffness constant. This demonstrates that the CNS can control reflex stiffness independently and so has great flexibility in adjusting the mechanical properties of a joint to meet functional requirements.
**Methods**
**Subjects**
Two males and two females, between the ages of 23 and 46, with no history of neuromuscular disorders participated in the study. All subjects gave informed consent to the experimental procedure, which was approved by the McGill University Research Ethics Board.
**Apparatus**
A schematic diagram of the experimental apparatus is shown in Fig. 1. Subjects lay supine with their left foot attached to an electrohydraulic actuator by a custom-fitted fiberglass boot. Movement of the foot was restricted to plantarflexion and dorsiflexion with the axis of rotation of the ankle aligned with that of the actuator. The left leg was immobilized with a leather strap and supported with sand bags under the knee, preventing any upper limb muscles from contributing to the torque measured at the ankle. The toe section of the boot was cut out preventing the toe muscles from contributing to the torque measured at the ankle. Mechanical and hydraulic safety stops built into the actuator prevented movement of the ankle beyond its voluntary range of motion.
Ankle position was measured with a potentiometer (BI Technologies 6273), and ankle torque was measured with a torque transducer (Lebow 2110-5K). Both position and torque were defined to be positive for dorsiflexion and negative for plantarflexion. EMGs were measured using a 4-channel EMG system (Delsys Bagnoli-4 EMG System) with a bandwidth of 20–2,000 Hz and a gain of 1,000.
Surface electrodes (Delsys DE-2.1) were placed on the lateral head of the gastrocnemius (GS) as well as on the belly of the tibialis anterior (TA). A disposable self-adhesive Ag/AgCl electrode (3M Red Dot) placed on the knee was used as the reference. In some trials the EMG activity of the different muscles of the gastrocnemius-soleus were also recorded. In these cases, electrodes were placed on the lateral head of the gastrocnemius (LG), the medial head of the gastrocnemius (MG), and over the soleus (Sol) at the musculotendinous junction of the Achilles tendon just inferior to the gastrocnemius.
Position, torque and EMG activity were sampled at 1 kHz using an NI-4472 data acquisition card in the Host PC (AMD Athlon 1.33 GHz, 1 GB RAM). Anti-aliasing was performed by the card, which oversampled the data and then applied a digital brick wall filter with a 486.3 Hz cut-off frequency prior to storing the data.
Actuator control and the real-time identification were carried out using xPC Target (The Mathworks inc.) on the Target PC (AMD Athlon 1.6 GHz, 256 MB RAM). Position and torque were low-pass filtered with 8-pole, 6-zero, linear phase, constant delay filters with a cut-off of 400 Hz (Frequency Devices 9064) and sampled at 1 kHz (ComputerBoards PCIM-DAS1602/16). The control signal to the actuator servo-valve was provided by a ComputerBoards PCIM-DDA06/16 Digital-to-Analog Card.
Visual feedback was generated using a custom display built using Simulink (The Mathworks Inc.) on the Display PC (Intel Pentium III 500 MHz, 256 MB RAM). Real-time estimates of intrinsic and reflex stiffness and average torque were computed on the Target PC and sent to the Display PC using the UDP network protocol, every 0.02 s. This machine generated the feedback display on a 15 inch LCD monitor (NEC) mounted above the subject’s head.
Real-time stiffness estimates
A detailed description of the algorithm and studies used to validate it are presented in (Ludvig and Kearney 2006, 2007) and so it will be described only briefly here.
The algorithm assumes that the overall torque can be described as
$$TQ = TQ_I + TQ_R,$$
where
$$TQ_I = I \frac{d^2\theta}{dt^2} + B \frac{d\theta}{dt} + K\theta,$$
and
$$TQ_R = LP\left[n\left[\frac{d}{dt}(\theta(\tau))\right]\right],$$
where $TQ$ is total torque. $TQ_I$ and $TQ_R$ are the intrinsic and reflex components of the torque, $\theta(\tau)$ is the position with a delay of $\tau$, $n$ is a static non-linearity, LP is a linear low-pass filter, and $K$, $B$ and $I$ are elastic, viscous and inertial stiffnesses, respectively. This parallel-cascade structure has been demonstrated to describe ankle mechanics well for a wide range of situations (Kearney et al. 1997; Mirbagheri et al. 2000, 2001; Galiana et al. 2005).
First, form the zero-lag cross-correlation between position and torque
$$E[\theta \bullet TQ],$$
where $E$ is the expectation value. Under general conditions this will depend on both components of Eq. (1); however, by using an appropriate position signal, it is possible to eliminate the correlation between position and reflex torque. This input consisted of randomly distributed “pulses” and “steps”. The “pulses” consisted of a 40 ms pulse in a 500 ms interval, while the “steps” consisted of a 460 ms pulse in a 500 ms interval. Both “pulses” and “steps” were 0.035 rad amplitude. Each 500 ms interval
was separated by a random delay of between 0 and 200 ms so that the resulting dorsiflexing stretches were not predictable. For this input
\[ E[\theta \bullet TQ_R] = 0, \]
therefore
\[
\begin{align*}
E[\dot{\theta} \bullet TQ] & \approx KE\left[\dot{\theta}^2\right], \\
E[\ddot{\theta} \bullet TQ] & \approx BE\left[\ddot{\theta}^2\right], \\
E[\dddot{\theta} \bullet TQ] & \approx IE\left[\dddot{\theta}^2\right],
\end{align*}
\]
which can be used to estimate \( K, B \) and \( I \).
Using the estimates of Eq. (6), we estimate reflex torque as
\[ \hat{T}Q_R = TQ - \hat{I}\ddot{\theta} - \hat{B}\dot{\theta} - \hat{K}\theta. \]
Assuming that the non-linearity is a half-wave rectifier, reflex stiffness can be found by computing the impulse response function (IRF) between half-wave rectified velocity and reflex torque. However, finding the IRF is computationally intensive, so cross-correlations were used instead. Based on the reflex stiffness IRFs found by (Mirbagheri et al. 2000), the maximum value of the IRF occurs at a lag of 100 ms, and thus the cross-correlation at this lag was used to estimate the gain of the reflex stiffness IRF. A cross-correlation at a second lag of 435 ms, corresponding to a point in the reflex stiffness IRF where the value has returned to zero, was also estimated and used to account for any offsets in the reflex stiffness IRF. Thus, reflex stiffness gain was estimated as
\[ \hat{G} = A\left(\Phi_{\dot{\theta} \cdot \hat{T}Q_R}(100) - \Phi_{\dot{\theta} \cdot \hat{T}Q_R}(435)\right), \]
where \( \Phi_{\dot{\theta} \cdot \hat{T}Q_R}(\tau) \) is the cross-correlation between half-wave rectified velocity and estimated reflex torque at lag \( \tau \) ms; and \( A \) is an empirically determined gain.
This computation was implemented in the real-time algorithm outlined by the following steps:
1. Position and torque were high-pass filtered at 0.033 Hz to remove the mean.
2. Position was double differentiated, to obtain the acceleration, multiplied by the torque, low-pass filtered at 0.033 Hz, divided by the acceleration squared, and low-pass filtered to estimate the inertial stiffness. This estimate was multiplied by the acceleration to estimate the inertial torque; this inertial torque estimate was then subtracted from the original torque. A low-pass filter was used to perform the averaging of the expectation values.
3. Step 2 was repeated for the velocity, using the torque minus the inertial torque instead of the original torque, to estimate the viscous stiffness and torque.
4. Step 2 was repeated for the position, using the torque minus the inertial and viscous torques to estimate the elastic stiffness and torque.
5. Reflex torque was estimated by subtracting the estimated intrinsic torque from the total torque.
6. Reflex stiffness gain was estimated by multiplying the reflex torque by a delayed half-wave rectified velocity then low-pass filtering at 0.033 Hz and then dividing it by the half-wave rectified velocity signal squared and filtered. Two different delays were used, 100 and 435 ms, with the latter being subtracted from the former. Finally the signal was multiplied by an empirically determined gain of 45, so that the estimate of the reflex stiffness gain was in the same range as the actual gain.
**Procedure**
Subjects participated in three experiments each lasting approximately one hour. In Experiment 1, subjects were trained to modulate elastic or reflex stiffness at different torque levels. The perturbation was applied continuously and the subject was asked to explore the torque versus elastic stiffness versus reflex stiffness gain space with the aid of feedback of torque and elastic or reflex stiffness. When a novel state was found, the subject was asked to maintain it for 60 s. Co-contraction was permitted during this session.
In Experiment 2, subjects were provided with feedback of torque and reflex stiffness gain and instructed to modulate their reflex stiffness gain while holding their torque constant without co-contracting. Once subjects achieved a stable reflex stiffness gain they were asked to maintain it and data were recorded for 60 s.
In Experiment 3, subjects were provided with visual feedback of torque and reflex stiffness gain or elastic stiffness and asked to maintain torque and elastic stiffness constant while modulating their reflex stiffness gain to one of three states—low, medium and high—in response to a verbal command. Each state was held for 1 min and data were collected for 10 min.
**Off-line analysis**
The non-linear parallel-cascade identification described in (Kearney et al. 1997) was used to validate the real-time estimates.
Reflex EMG responses in the GS are known to be unidirectionally rate sensitive, associated with a delay of
40 ms, and to last no more than 100 ms (Mirbagheri et al. 2000; Lambertz et al. 2002). Thus, reflex EMG was calculated by finding the maximum rectified EMG in the first 100 ms following stretch onset. Background EMG was calculated by finding the average rectified EMG for the interval 0–40 ms preceding stretch onset. Reflex and background EMGs recorded during maximum voluntary contractions (MVC) were used to normalize the raw EMG.
Statistical analysis was performed on the EMG measurements to determine whether the EMG remained constant while the reflex stiffness gain varied. Since the rectified EMG measures were not normally distributed, a Kruskal–Wallis non-parametric one-way analysis of variance was performed. This test compares the medians of the groups and returns a $\chi^2$ value and the $P$ value for the null hypothesis, which is that all samples are from the same distribution. Furthermore, the distribution of the reflex EMG has a long tail, thus plotting the mean and standard deviation is misleading. Thus, box-and-whisker plots were used when plotting reflex EMG data. The box shows the lower quartile, median and upper quartile, while the dotted error bars show the largest and smallest values within 1.5 times the interquartile range. The interquartile range is defined as the range in values between the lower and upper quartile. Any values beyond 1.5 times the interquartile range from the upper or lower quartile are considered outliers and are demarcated by a plus (+) sign.
Results
Figure 2 shows a data segment from a typical trial. Figure 2a shows the position signal, with a dorsiflexing stretch shown by the arrow. Dorsiflexing stretches—positive going under our sign convention—caused a synchronized burst of activity in the GS at a lag of approximately 40 ms, indicated by the arrow in GS EMG trace of Fig. 2d. This burst of activity in the EMG led to a contraction of the muscle and production of reflex torque with a characteristic twitch-like shape, shown by the arrow in Fig. 2b. Bursts of activity were also present in the EMG of the TA (Fig. 2c), however since they were highly correlated to the bursts of GS activity, we believe these spikes to be the result of cross-talk from the GS (Rossignol 1975).
Reflex stiffness gain versus elastic stiffness versus torque space
In Experiment 1 subjects were asked to explore various regions of the torque versus elastic stiffness versus reflex stiffness gain space, and when a novel position was found to maintain it for 60 s. Figure 3 shows the space that one subject was able to achieve; each marker represents the mean real-time estimate of reflex stiffness gain and elastic stiffness for a different state. Subjects were free to co-contract during this session, and the points with high elastic stiffness result from high levels of co-contraction. The
most important observation from this figure is that many different values of reflex stiffness gain were achieved for the same elastic stiffness and ankle torque. Thus, for example, the subject was able to generate reflex stiffness gains ranging from 0–6 while keeping the elastic stiffness (−20 Nm/rad) and ankle torque (−0 Nm) constant. Multiple values of reflex stiffness were also achieved elsewhere in the elastic stiffness-reflex stiffness space although the range of reflex stiffness values that could be achieved tended to decrease as elastic stiffness increased. All subjects were able to map out a similar space and this clearly demonstrates that reflex stiffness gain can be modulated independently of the background torque level and elastic stiffness of the joint.
Independent modulation of reflex stiffness
Figure 4 shows a typical data set from Experiment 2, where subjects were provided with feedback of torque and reflex stiffness gain and instructed to modulate their reflex stiffness gain while holding their torque constant without co-contracting. Figure 4a shows the real time estimates of reflex stiffness gain and elastic stiffness from one subject who modulated reflex stiffness gain by a factor of 5 while maintaining elastic stiffness nearly constant. The subject maintained an average torque level of approximately 0 Nm in all trials, as shown by the values above each set of points.
Validation of real-time estimates
To validate the real-time estimates of the reflex stiffness gain and elastic stiffness and provide a comprehensive description of the changes in intrinsic and reflex stiffness we performed a complete off-line identification for each state using a non-linear, parallel-cascade identification procedure (Kearney et al. 1997). Impulse response functions (IRF) for intrinsic compliance (the dynamic inverse of intrinsic stiffness) and reflex stiffness are shown for each trial in Fig. 4c and d, respectively. Data from the same trials are represented in the same colors in Fig. 4a, c and d. It is evident from Fig. 4c and d that the reflex stiffness IRF increased with increasing estimated reflex stiffness gain while the intrinsic compliance did not change in shape or size, confirming the conclusions made from the real-time estimates.
Fig. 4 Reflex stiffness is independent of intrinsic stiffness. Subject D was able to maintain states with different reflex stiffness gains but the same elastic stiffness and torque. **a** Real-time estimates of elastic stiffness and reflex stiffness gain for four different states maintained for 60 s and plotted at half second intervals with a superimposed ellipse centered on the mean and having axes lengths equal to the standard deviations in each direction. Mean and standard deviation of torque are given above each set of points. **b** Corresponding background TA and GS EMG, as well as reflex GS EMG. Reflex EMG increases with increasing reflex stiffness gain, while TA and GS background EMGs are invariant. **c** Reflex stiffness IRFs and **d** intrinsic compliance IRFs found using parallel-cascade identification. Colors of the curves correspond to those of trials shown in **a**
EMG recordings
In addition to measuring the mechanical properties of the joint, the EMG activity of the ankle muscles were also measured. Figure 4b shows the components of the EMG activity in GS and in TA. A non-parametric analysis of variance showed that the reflex GS ($\chi^2 = 192.8$, $P = 0$), background GS ($\chi^2 = 11$, $P = 0.01$) and background TA ($\chi^2 = 15$, $P = 0.002$) EMG activity were all non-constant. However, the changes in the background activity were small and there was no significant correlation between the reflex stiffness gain and the mean background activity in either the GS ($r^2 = 0.35$, $P = 0.40$) or the TA ($r^2 = 0.56$, $P = 0.25$). Thus, the EMG measurements confirm the mechanical measurements; reflex GS EMG increased with increasing reflex stiffness gain while background EMG activity and elastic stiffness remained nearly constant.
GS EMG activity was measured by placing a surface electrode over the lateral gastrocnemius; however it is possible that the reflex modulation was due to changing activation levels in the medial gastrocnemius or the soleus. For one subject the EMG activity was measured in both heads of the gastrocnemius and the soleus. Figure 5 shows the ensemble average of the rectified EMG activity recorded from both heads of the gastrocnemius and the soleus aligned on stretch onset. It is evident that the biggest differences amongst the different reflex states (denoted by the different colors) occurred between 40 and 100 ms after stretch onset. A non-parametric analysis of variance showed that the reflex activity was non-constant for all muscles, while background activity was non-constant in LG ($\chi^2 = 11$, $P = 0.01$) and MG ($\chi^2 = 22$, $P < 10^{-4}$). However, the changes were small and there was no correlation between the reflex activity and the background activity in either the LG ($r^2 = 0.004$, $P = 0.26$) or the MG ($r^2 = 0.009$, $P = 0.09$). Thus we conclude that even though the background activity of the muscle differed slightly among the different reflex stiffness gain states, there was no relationship between the EMG activity of the muscles in the 40 ms before stretch onset and the EMG of the resultant reflex response.
In addition to the experiments performed at zero torque, some subjects showed the ability to voluntarily modulate their reflex stiffness gain independently at torque levels, which corresponded to 5% of the maximum torque. Figure 6 shows the results of a series of trials where the subject maintained a constant torque of −2 Nm (5% maximal torque). The subject was able to change the reflex activity in the soleus ($\chi^2 = 42$, $P < 10^{-6}$) without changing the background activity ($\chi^2 = 0.38$, $P = 0.83$).
Reflex modulation on command
The first two experiments demonstrated that subjects could find states where reflex stiffness was different but intrinsic stiffness and torque were the same. Experiment 3 tested the
 Ensemble average of rectified EMGs. **a** lateral gastrocnemius (LG), **b** medial gastrocnemius (MG), **c** soleus (Sol), and **d** tibialis anterior (TA) EMGs for four different reflex stiffness gain states from Subject D. Colors correspond to the trials in Fig. 4. Background activity, shown in inset in each panel, was nearly constant for all muscles, while reflex activity was correlated with the reflex stiffness gain in all muscles
 Reflex modulation at 5% maximal torque. Subject D modulated her reflex stiffness gain while maintaining net torque constant at −2 Nm (5% maximal torque). The reflex EMG varied with the changing reflex stiffness gain while the background activity remained constant. The solid error bars show the standard deviation of the background EMG (vertical) and reflex stiffness gain (horizontal), while the box-and-whisker plot shows the reflex EMG activity
ability of subjects to switch between the different states on command. Figure 7 shows a typical experimental trial in which the subject tried to match their reflex stiffness gain (solid-black line) to a target level (dashed-blue line). The corresponding elastic stiffness, average torque, background EMGs from GS and TA, and GS reflex EMG activity are also shown. The vertical dotted lines demarcate the onset of a new reflex stiffness gain target level, which occurred every minute. It is evident that the subject was able to increase or decrease the reflex stiffness gain to different levels on command. The sluggish, low pass nature of the response is due at least in part to the real-time estimation algorithm, which required around 20 s to respond fully to a change in stiffness. The elastic stiffness was somewhat variable ($K = 28 \pm 6$ Nm/rad) but this variability was similar in magnitude to the variability seen when the reflex stiffness gain was held constant at 4.5 ($K = 36 \pm 5$ Nm/rad), and was not correlated with the changes in reflex stiffness gain ($r^2 = 0.33$, $P = 0.08$). As would be expected, there was a strong correlation between the mean reflex GS EMG and the mean reflex stiffness gain at each state ($r^2 = 0.97$, $P < 10^{-5}$), but neither TA ($r^2 = 0.03$, $P = 0.65$) nor GS ($r^2 = 0.24$, $P = 0.18$) background EMG levels were correlated with the reflex stiffness gain.
In addition to the real-time estimates, parallel-cascade estimates were also computed (dotted-red line). However, the real-time reflex stiffness gain estimates are relative estimates; hence the absolute magnitude of the two estimates may differ. Thus to compare the two, the real-time and parallel-cascade estimates were plotted on two different scales. The scale at the left shows the real-time scale, while that on the right shows the parallel-cascade scale. Figure 7a shows that the parallel-cascade and real-time estimates of reflex stiffness gain strongly co-vary ($r^2 = 0.97$, $P < 10^{-6}$). Furthermore there is no correlation between the reflex stiffness gain and the elastic stiffness ($r^2 = 0.001$, $P = 0.92$) as estimated by the parallel-cascade algorithm.
Figure 7 shows that the reflex stiffness gain and the torque co-vary ($r^2 = 0.89$, $P < 10^{-4}$). To examine the origin of this covariance, we aligned segments of data to the onset of dorsiflexing position changes and computed ensemble averages of the torque. Figure 8 shows the ensemble averages obtained for different reflex stiffness gains. It is evident that the torque traces were identical for latencies...
<50 and >300 ms but differed in the 50–300 ms interval where the mechanical effects of the reflex response would be expected. Furthermore, after segmenting the data into three time windows—0–40 ms prior to, 80–120 ms following, and 415–455 ms following the perturbation—it was determined that only the 80–120 ms segment was correlated with the reflex stiffness gain ($r^2 = 0.99$, $P < 10^{-8}$), while the 40 ms prior to the perturbation ($r^2 = 0.10$, $P = 0.37$) and 415–455 ms segment ($r^2 = 0.33$, $P = 0.08$) were not correlated to the reflex stiffness gain. This demonstrates that the change in average torque was in fact a result of increased reflex stiffness gain and not a change in background activity.
Inter-subject variability
While the results for each experiment are illustrated with data from one subject, all subjects were able to perform the three experiments, though some were more proficient than others. Using the data obtained in Experiment 2, Table 1 compiles the reflex stiffness gain ($G$), elastic stiffness ($K$) and torque (TQ) of each subject from the states where reflex stiffness gain was minimal and maximal. Though the range of reflex stiffness gain and elastic stiffness differed amongst the subjects, all subjects showed the ability to increase their reflex stiffness gain by a factor of at least 4 without appreciably altering their elastic stiffness. Additionally all subjects were able to modulate their reflex stiffness gain on command, though some were able to do so more quickly and with less variability than others (Fig. 9).
Discussion
These results demonstrate that with the aid of real-time feedback of reflex stiffness gain, elastic stiffness and torque, subjects can control their reflex stiffness gain and elastic stiffness independently. In Experiment 1 subjects were able to map out a three-dimensional space of reflex stiffness gain, elastic stiffness and mean torque level. In Experiment 2, where subjects maintained a constant torque, they were also able to modulate their reflexes without changing their elastic stiffness. Finally, in Experiment 3, subjects were able to set their reflex stiffness gain to a desired level on command, without correlated changes in either their background torque or elastic stiffness.
Real-time estimation of intrinsic and reflex stiffness
A key component of this study was the use of an algorithm that could produce real-time estimates of intrinsic and reflex stiffness. These estimates were needed to provide feedback to the subjects, so that they could modulate their reflex and intrinsic stiffness independently. The ability to view their stiffness values in real-time may be the reason the subjects were able to modulate their reflex stiffness on command despite previous failed attempts (Crago et al. 1976; Rothwell et al. 1980; Pearce et al. 2003). While others have separated intrinsic and reflex stiffness (Kearney et al. 1997; Zhang and Rymer 1997), neither algorithm operates in real-time. The algorithm used in the present
Table 1 Reflex stiffness gain, elastic stiffness, net torque and percentage of variance accounted for (VAF) of the reflex torque for all subjects from each end of the range of their reflex stiffness gain
| Subject | Maximal torque (Nm) | Minimum | Maximum |
|---------|---------------------|---------|---------|
| | | Reflex stiffness gain ($G$) (Nm/rad/s) | Elastic stiffness ($K$) (Nm/rad) | Net torque (Nm) | Reflex torque VAF (%) | Reflex stiffness gain ($G$) (Nm/rad/s) | Elastic stiffness ($K$) (Nm/rad) | Net torque (Nm) | Reflex torque VAF (%) |
| A | −106 | 0.9 ± 0.2 | 21 ± 2 | 0.3 ± 0.2 | <1 | 5.5 ± 0.3 | 15 ± 5 | 0 ± 0.2 | 16 |
| B | −36 | 1.6 ± 0.1 | 44 ± 3 | 0.4 ± 0.2 | 9 | 5.9 ± 0.1 | 46 ± 11 | −0.8 ± 0.3 | 43 |
| C | −115 | 0.1 ± 0.1 | 52 ± 1 | −0.2 ± 0.3 | <1 | 5.3 ± 0.3 | 68 ± 18 | −0.3 ± 0.4 | 10 |
| D | −47 | 2.2 ± 0.6 | 28 ± 4 | −0.3 ± 0.2 | 16 | 8.6 ± 0.7 | 37 ± 12 | −0.7 ± 0.3 | 53 |
study was a simplified version of the real-time estimation algorithm discussed in detail in (Ludvig and Kearney 2006, 2007).
We are confident that the algorithm gives an accurate indication of changes in reflex intrinsic stiffness for two reasons. First, as demonstrated in Fig. 4, the results of the real-time algorithm were consistent with those obtained using our off-line identification algorithm, which has been validated extensively (Kearney et al. 1997). Secondly, the results are consistent with the analysis of individual steps as demonstrated in Fig. 8. The deviations of these responses only occurred between 50 and 300 ms following the stretch, thereby indicating that only the reflex stiffness varied, in agreement with the real-time estimates. Had intrinsic stiffness been different, there would be differences between the traces at all times including the first 50 ms before the reflex exerted a mechanical effect.
One potential application of the real-time estimation algorithm is the diagnosis and treatment of spasticity. Studies have shown that reflex stiffness is increased in spastic spinal cord injured patients (Mirbagheri et al. 2001) as well as some spastic stroke patients (Galiana et al. 2005). A number of studies have attempted to train healthy and spastic patients to control reflex stiffness using EMG as feedback (Neilson and McCaughey 1982; Evatt et al. 1989; Wolf and Segal 1990, 1996, Segal and Wolf 1994). These studies found that extensive training was required—including for normal subjects—to gain control over reflex responses. We found that subjects could learn to modulate their reflex stiffness gain over a four-fold range,
within 1 h training. It would seem, therefore, that the procedure used in our study may be more efficient for reflex training and may also prove to be more effective for certain spastic patients.
Independent and voluntary control of stretch reflexes
These experiments demonstrated that reflex stiffness gain can be altered up to a factor of four with no change in joint position, elastic stiffness, or background activity in the muscle or its antagonist (Figs. 3, 4). The small correlated changes in torque at the different reflex stiffness gains were shown to result from the varying reflex stiffness gain (Fig. 8). Furthermore, subjects were able to control reflex stiffness gain on command (Fig. 7). While it has been shown that stretch reflexes are modulated in many different contexts, it has been widely believed that this modulation is only produced as a consequence of other actions, such as changing background levels of torque or co-contraction (Crago et al. 1976; Rothwell et al. 1980; De Serres and Milner 1991; Capaday et al. 1994). Indeed, it is well established that reflex stiffness as well as the reflex EMG activity do vary with background level activity and joint position (Weiss et al. 1986a, b; Sinkjaer et al. 1988; Carter et al. 1990; Mirbagheri et al. 2000; Cathers et al. 2004). A number of studies have shown some voluntary control of reflexes (Neilson and Lance 1978; Neilson and McCaughey 1982; Akazawa et al. 1983; Evatt et al. 1989; Wolf and Segal 1990, 1996; Doemges and Rack 1992a, b; Dietz et al. 1994; Segal and Wolf 1994). However, these studies measured only the reflex EMG activity in response to a perturbation; other studies have shown that EMG activity does not map directly to mechanical changes (Kearney et al. 1999). Furthermore, many of those studies did not account for the reflex modulation with joint position and activation level. The current study is the first to systematically address these issues. However, whether subjects are able to achieve this independent and voluntary control of reflex stiffness under more natural tasks remains unknown.
Sources of stretch reflex modulation
How is this voluntary modulation of the reflex achieved? There would seem to be a number of possible mechanisms, including: $\alpha$-motor excitability, long loop pathways, muscle spindles, pre-synaptic modulation and interneuronal gain.
One important factor affecting stretch reflex response is $\alpha$-motoneuron excitability. Descending inputs from the CNS could excite the $\alpha$-motoneurons, causing them to be more excitable and fire action potentials in response to smaller stimuli (Matthews 1986; Stein and Kearney 1995). This may be the source of activation level modulation of stretch reflexes (Mirbagheri et al. 2000). However, if this were the mechanism acting in the present study, we would expect to see a general increase in the background EMG of that muscle. Since the background EMG levels remained invariant, $\alpha$-motor excitability is likely not the source of modulation in our experiments. Capaday et al. (1994) suggested that sub-threshold activation of $\alpha$-motoneurons could lead to changes in reflex EMG with no associated change in background levels. However, they only observed this phenomenon at torque levels around 0 Nm, and thus cannot explain the phenomena seen in Fig. 6, where the subject was able to modulate her reflex stiffness gain at a torque corresponding to 5% maximal torque.
Long-loop and transcortical pathways (Petersen et al. 1998) can be discounted as the mechanism for the stretch reflex modulation seen in the current study. The reflex related activity in the GS EMG occurred between 40 and 60 ms following stretch onset (Fig. 5), longer pathways to higher centers could not contribute at such short latencies.
It is well established that $\gamma$-motoneurons can modulate reflex feedback (Hulliger et al. 1989; Ribot-Ciscar et al. 1991). Furthermore, recent studies showing reflex modulation with sympathetic activity have suggested that changes in $\gamma$-motoneuron activity are responsible for the modulation (Rossi-Durand 2002; Hjortskov et al. 2005; McIntyre et al. 2004). Thus the voluntary reflex modulation seen here could be achieved by $\gamma$-control.
Another possible source of reflex control is pre-synaptic modulation. This mechanism is mediated by interneurons innervated by primary afferents, flexion reflex afferents and neurons descending from the CNS (Jankowska 1992; Katz 1999). Thus pre-synaptic modulation would increase or decrease the activity in the primary afferent for a given stretch. A number of studies have shown that H-reflexes in the soleus were inhibited by an increase in pre-synaptic inhibition, which was generated by stimulation of the common peroneal nerve (Stewart and Brooke 1993; Capaday et al. 1995). Capaday (1995) found a decrease in the cat soleus stretch reflex when pre-synaptic inhibition was induced by injection of baclofen. Furthermore it is believed that the stretch reflex modulation caused by the Jendrassik maneuver is mediated through pre-synaptic inhibition (Zehr and Stein 1999).
Reflex modulation can also take place through interneuronal pathways. Not only is there a direct synapse between primary afferents and the $\alpha$-motoneurons, but there are pathways where the primary afferents connect to the $\alpha$-motoneuron through interneurons. Furthermore, it is known that these interneurons receive inputs from neurons descending from the CNS (Jankowska 1992). These polysynaptic pathways can be expected to contribute at slightly longer lags than the monosynaptic response.
Based on the evidence collected in this study we cannot conclusively determine the source of modulation. We can
eliminate $\alpha$-motoneuron and long-loop reflexes as sources of modulation but we cannot distinguish between $\gamma$-control, pre-synaptic inhibition and polysynaptic pathways.
Significance of stretch reflex modulation
We have shown that the stretch reflex can be controlled voluntarily, and we have proposed a number of different possibilities for the origin of the modulation—but are the changes significant mechanically?
To assess the significance of this stretch reflex modulation, we estimated the percentage of the total torque accounted for by the reflex stiffness, using the parallel-cascade identification algorithm (Table 1). For Subject B, at the lowest level of reflex stiffness gain, the reflex stiffness accounted for only 9%, while at the highest level it accounted for 43%. This shows that this subject could modulate her reflex stiffness from negligible levels up to almost half of total joint torque. All subjects showed this ability to alter their reflexes in a manner, which greatly increased the percentage of torque, which can be attributed to reflex stiffness. Such increases in joint stiffness via increases in reflex response may have greater energy benefits than merely increasing background levels of muscle contraction.
Acknowledgments Supported by Canadian Institutes of Health Research (CIHR).
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Dr.VOT: Measuring Positive and Negative Voice Onset Time in the Wild
Yosi Shrem\textsuperscript{1}, Matthew Goldrick\textsuperscript{2}, Joseph Keshet\textsuperscript{1}
\textsuperscript{1}Department of Computer Science, Bar-Ilan University, Ramat-Gan, Israel
\textsuperscript{2}Department of Linguistics, Northwestern University, Evanston, IL, USA
email@example.com
Abstract
Voice Onset Time (VOT), a key measurement of speech for basic research and applied medical studies, is the time between the onset of a stop burst and the onset of voicing. When the voicing onset precedes burst onset the VOT is negative; if voicing onset follows the burst, it is positive. In this work, we present a deep-learning model for accurate and reliable measurement of VOT in naturalistic speech. The proposed system addresses two critical issues: it can measure positive and negative VOT equally well, and it is trained to be robust to variation across annotations. Our approach is based on the structured prediction framework, where the feature functions are defined to be RNNs. These learn to capture segmental variation in the signal. Results suggest that our method substantially improves over the current state-of-the-art. In contrast to previous work, our Deep and Robust VOT annotator, Dr.VOT, can successfully estimate negative VOTs while maintaining state-of-the-art performance on positive VOTs. This high level of performance generalizes to new corpora without further retraining.
Index Terms: structured prediction, multi-task learning, adversarial training, recurrent neural networks, sequence segmentation.
1. Introduction
In acoustic studies of speech, one of the most commonly-examined properties of sounds is the voicing of stop consonants (e.g., the contrast between English /b d g/ and /p t k/). In initial positions this is typically indexed by voice onset time (VOT), the time between the release burst of the obstruent and the onset of voicing (negative when voicing begins before the release, and positive when voicing follows release) [1]. The VOT task makes major contributions to both clinical [2] and theoretical [3] studies, for example: to characterize how a communication disorder affects speech [2], or how languages differ in phonetic cues to stop contrasts[1, 4].
Being a key feature in distinguishing voiced and voiceless consonants across languages, VOT is increasingly used as a feature for ASR tasks, such as stop consonant classification [5, 6, 7]. A core challenge to the use of VOT in acoustic studies is the need for highly accurate measurements. For example, speakers use small variations in VOT to signal contrasts with a similar word (e.g., signaling that the speaker said pill instead of bill [8]). Because such effects are modulated across different contexts [9], such accurate measurements must also be scalable. These issues have been partially addressed in our previous work using discriminative large-margin algorithms to measure positive VOT, trained on data from human expert coders [10, 11]. This approach has a significant shortcoming in failing to address the measurement of negative VOTs, severely limiting the application of this tool. While such VOTs are relatively rare in English, they are the prototypical realization of voiced stops in many other languages (e.g., many Romance and Semitic languages). The amplitude of voicing occurring before release of closure (as in negative VOTs) can be quite small and highly variable, reflecting the challenges of maintaining voicing during closure [12]. Variation of such weak signals can lead to substantial variation in the application of annotations. Extending algorithms [13, 14] to cover such instances has been challenging, in part, due to variation in the annotation. While there is some variation in the annotation of positive VOT [10], the annotations of negative VOT is extensively diversified. Hence, applying the same measurement is inadequate. A related challenge is the varying structure of different datasets. As noted above, the distribution of VOTs varies across languages, and, within a single language community, there is substantial inter-speaker variation in VOT [15], possibly reflecting systematic differences as a function age, gender, and other sociolinguistic variables [16].
Inspired by recent developments in Multi-Task Learning (MTL) [17, 18] and adversarial training techniques [19, 20, 21], we explored these methods separately and combined in a structured prediction framework. MTL [17, 18] is a technique to enhance overall performance and robustness by learning multiple domain-related tasks. Relying on the assumption that both tasks share a familiar set of underlying features, leveraging information from an auxiliary task can improve the main task accuracy. MTL can focus the model’s attention to relevant features that single-task training may overlook. For example, in speech recognition, an auxiliary task can be phonetic context identification or gender classification [22]. Our training data is composed of several corpora. Each was recorded in a different environment, and annotated by different annotators using slightly different criteria. Naturally, characteristics of the speaker such as age, gender, and so on, also vary and are known to influence VOT [23]. One technique for addressing this issue is adversarial training, which increases model robustness by making it invariant to a specified criterion. To that end, a set of models are trained together but pursue competing goals. Specifically, a good acoustic representation should be corpus-invariant. It should encode only the relevant features regardless of the recording environment, such that a dataset classifier will not be able to distinguish between examples from different corpora. Since the acoustic features vary across corpora, current approaches [13, 14] are unable to transfer good performance on one dataset to different environment.
To that end, we propose \textbf{Dr.VOT, a Deep Robust method for VOT measurement}, incorporating adversarial training and MTL within a structured prediction framework, so as to enhance general performance and directly address the lack of generalization to new environments and domains. In this paper, the classifying of VOT type as positive or negative as an auxiliary task for MTL, while the adversary task is to find the corpus an utterance originated from.
2. Problem Settings
VOT measurement belongs to the family of segmentation problems, as we are provided with a series of time-related samples in an arbitrary length, and required to predict the boundaries for every segment. Let $\tilde{\mathbf{x}} = (\mathbf{x}_1, \ldots, \mathbf{x}_T)$ denote the input speech utterance, represented as a sequence of acoustic features. Every frame $\mathbf{x}_t$ for $t \in [1, T]$ is a D dimensional vector, i.e. $\mathbf{x}_t \in \mathbb{R}^{D}$. Since the input can be of any length, the number of frames denoted as $T$ is not fixed.
The corresponding segmentation for every input is denoted by $\tilde{\mathbf{y}} = (y_1, \ldots, y_k)$, where $k$ can vary across different inputs. Each element $y_i$ in the label vector $\tilde{\mathbf{y}}$, indicates the start time of a new segment, hence $y_i \in \mathcal{T}$ where $\mathcal{T} = \{1, \ldots, T\}$, and the number of segments is denoted by $|\tilde{\mathbf{y}}|$.
The VOT is defined as the time difference between the burst onset and the voicing onset. When the voice onset precedes the burst, it is called prevoiced, and the VOT is negative. Otherwise, when the voice comes after the burst, the VOT is positive. In order to measure VOT, each utterance is paired with three indices corresponding to the prevoicing onset, $t_{pv} \in \mathcal{T} \cup \{-1\}$ (in case of positive VOT, no voice precedes the burst), burst onset, $t_b \in \mathcal{T}$, and the vowel onset $t_v \in \mathcal{T}$, s.t. $t_{pv} < t_b < t_v$. In the positive case, the VOT is $t_v - t_b$, and the segmentation is $\tilde{\mathbf{y}} = (t_b, t_v)$. Similarly, if negative, the VOT is $t_b - t_{pv}$ and the segmentation is $\tilde{\mathbf{y}} = (t_{pv}, t_b)$.
3. MODEL ARCHITECTURE
In this section, we explain our model and the joint optimization process thoroughly. First, we provide basic knowledge about structured prediction. We then describe a basic structured model using an RNN as a feature function, and then combine this with VOT classification and an adversarial branch.
3.1. Structured Prediction
For every pair $(\tilde{\mathbf{x}}, \tilde{\mathbf{y}})$ where $\tilde{\mathbf{x}}$ is the input sequence, $\tilde{\mathbf{y}}$ is the desired output. Our goal is to find $\tilde{\mathbf{y}}'_w$ which is a good approximation to the true output $\tilde{\mathbf{y}}$:
$$\tilde{\mathbf{y}}'_w(\tilde{\mathbf{x}}) = \argmax_{\tilde{\mathbf{y}} \in \mathcal{Y}} \mathbf{w}^\top \Phi(\tilde{\mathbf{x}}, \tilde{\mathbf{y}}),$$ \hspace{1cm} (1)
where $\mathbf{w} \in \mathbb{R}^D$ is the set of model parameters, which are estimated on a training set. The feature function $\Phi : \mathcal{X} \times \mathcal{Y} \rightarrow \mathbb{R}^D$, which is described in the following section, maps a real-world object to a real values vector. In order to quantify a prediction’s quality, we define a task loss denoted by $\ell$, as the absolute difference between our prediction and the true segmentation:
$$\ell(\tilde{\mathbf{y}}, \tilde{\mathbf{y}}') = \left[|y_1 - y'_1| - \tau\right]_+ + \left[|y_2 - y'_2| - \tau\right]_+, \hspace{1cm} (2)$$
where $[\pi]_+ = \max\{0, \pi\}$, and $\tau$ is a user defined tolerance parameter. In order to find the model parameters $\mathbf{w}$, ideally we would like to minimize the expected task loss. Let $\rho$ be the unknown data distribution, then:
$$\mathbf{w}^* = \argmin_{\mathbf{w}} \mathbb{E}_{(\tilde{\mathbf{x}}, \tilde{\mathbf{y}}) \sim \rho} [\ell(\tilde{\mathbf{y}}, \tilde{\mathbf{y}}'_w(\tilde{\mathbf{x}}))]. \hspace{1cm} (3)$$
Since the distribution $\rho$ is unknown, we minimize the empirical loss over a training set of examples that are drawn i.i.d. from $\rho$. Moreover, the non-convexity of the loss function makes direct optimization a hard task, hence, we minimize a closely related and slightly different function, called surrogate loss, denoted $\ell_{\text{struct}}(\mathbf{w}, \tilde{\mathbf{x}}, \tilde{\mathbf{y}})$ that upper bounds the loss:
$$\ell_{\text{struct}}(\mathbf{w}, \tilde{\mathbf{x}}, \tilde{\mathbf{y}}) = \max_{\tilde{\mathbf{y}}' \in \mathcal{Y}} [\ell(\tilde{\mathbf{y}}, \tilde{\mathbf{y}}') - \mathbf{w}^\top \Phi(\tilde{\mathbf{x}}, \tilde{\mathbf{y}}) + \mathbf{w}^\top \Phi(\tilde{\mathbf{x}}, \tilde{\mathbf{y}}')]. \hspace{1cm} (4)$$
3.2. RNNs as Feature Functions
A recurrent neural network (RNN) is a neural architecture that excels in capturing relations between elements within a temporal sequence. Using an inner state which acts as a memory, an RNN leverages insights from previous frames while predicting the next one. Such architectures have excelled in multiple temporal domains such as NLP [24] and speech [25].
Bidirectional RNN (BiRNN) [26] is a model composed of two recurrent networks: the first one reads the input regularly while the later reads it backward. In our model, the outputs of both forward and backward RNNs are concatenated as depicted in Fig. 1. Such a model can predict every frame based on both past and future frames. A common approach to address a segmentation task is to locate the frames in which a new segment begins. To make this search tractable, we decompose $\tilde{\mathbf{y}}$ into parts and score every part individually using a feature function. The global score is then the summation of these part scores, $\Phi(\tilde{\mathbf{x}}, \tilde{\mathbf{y}}) = \sum_{i=1}^{k} \phi(\tilde{\mathbf{x}}, y_i)$. We use BiRNNs to learn the appropriate feature functions, capitalizing on their ability to focus in on the relevant features of the dynamic temporal sequence. We can now re-formulate our prediction rule in Eq. (1) as:
$$\tilde{\mathbf{y}}'_w(\tilde{\mathbf{x}}) = \argmax_{\tilde{\mathbf{y}} \in \mathcal{Y}^k} \mathbf{w}^\top \Phi(\tilde{\mathbf{x}}, \tilde{\mathbf{y}})$$
$$= \argmax_{\tilde{\mathbf{y}} \in \mathcal{Y}^k} \mathbf{w}^\top \sum_{i=1}^{k} \phi(\tilde{\mathbf{x}}, y_i)$$
$$= \argmax_{\tilde{\mathbf{y}} \in \mathcal{Y}^k} \mathbf{w}^\top \sum_{i=1}^{k} \text{BiRNN}(\tilde{\mathbf{x}}, y_i)$$
$$= \argmax_{\tilde{\mathbf{y}} \in \mathcal{Y}^k} \mathbf{w}^\top \sum_{i=1}^{k} \text{RNN}_f(\tilde{\mathbf{x}}, y_i) \oplus \text{RNN}_b(\tilde{\mathbf{x}}, y_i) \hspace{1cm} (5)$$
The notation $\text{RNN}(\tilde{\mathbf{x}}, y_i)$, is the RNN’s output at index $y_i$ for a given sequence $\tilde{\mathbf{x}}$. We use gradient-based methods to minimize the objective Eq. (3), since both the RNN and the structural hinge loss are differentiable with respect to the input and the model parameters.
3.3. VOT Classifier
As noted above, VOT can be either negative or positive. Consider our prediction rule in Eq. (1), the same weight vector $\mathbf{w}$ is used regardless of the VOT type. Having a VOT classification model, which tags whether the utterance has positive or negative VOT may improve our prediction. Specifically, use two different weight vectors: $\mathbf{w}_{neg}$ when dealing with a negative VOT, otherwise, use $\mathbf{w}_{pos}$. Rather than adapting two separate
models (VOT predictor and VOT classifier), we integrate the tagging task with the main prediction. We do this by using an MTL technique where VOT tagging as positive or negative is the auxiliary task. Practically, the last hidden state of the RNN is forwarded to a small fully connected network, ending with a softmax layer of size two as depicted in Fig. 2. The output of the softmax is a 2-valued vector which represents the probabilities for positive and negative, $[P(pos|\tilde{x}), P(neg|\tilde{x})]$. The weight vector in Eq. (5) is then set to be the one associated to the higher probability:
$$w := \begin{cases}
w_{pos} & P(pos|\tilde{x}) > P(neg|\tilde{x}) \\
w_{neg} & \text{else}
\end{cases}$$
The classifier parameters are optimized by minimizing the negative log-likelihood loss. As shown in Fig. 2, we allow the gradients to backpropagate from the classifier and update the BiRNN parameters as well; thus, the tasks are jointly trained.
### 3.4. Adversarial Multi-Task Branch
During training, a model will learn to map the features of seen examples to the desired outcome. However, if the seen examples do not include all the possible dynamics and behavior of the features, performance may be degraded on a different dataset with a different distribution over the features. To make our model robust in the face of this issue – to make our model dataset-invariant – we must develop a method by which the model can apprehend the relevant features while ignoring the rest. Conceptually, the RNN should “filter” the acoustic representation, removing those features that are not relevant to the task.
To implement this, we feed the last state of the RNN to another small fully connected network which acts as a dataset classifier. This is similar to the VOT tagger in the previous section but has a different impact on the RNN. To encourage the main model to extract only those features which are task-related – to avoid extraction of features that alter across datasets – we add a gradient reversal layer [27] before feeding the adversarial net. This layer allows the normal flow of information in the forward step, but in the backward step, it changes the sign of the gradients. Hence, while the adversarial net tries to minimize its loss in dataset classification, the feature extractor is tuned to maximize this loss. At inference, the adversarial branch is irrelevant and can be ignored.
Overall our model’s loss, $\bar{\ell}_{\text{model}}$ is given by:
$$\bar{\ell}_{\text{model}} = \bar{\ell}_{\text{struct}} + \bar{\ell}_{\text{tagger}} + \lambda \bar{\ell}_{\text{adversarial}},$$
where $\bar{\ell}_{\text{struct}}$ is the structured max-margin loss defined in Eq. 4, $\bar{\ell}_{\text{tagger}}$ is the NLL loss of the tagger, $\bar{\ell}_{\text{adversarial}}$ is the NLL loss of the adversarial branch, and $\lambda$ is a hyper-parameter to control the weight of the adversarial loss in the training objective.
### 4. Experiments
First, we describe the datasets and then proceed by comparing the performance of each model on both seen and unseen datasets to assess generalization ability.
#### 4.1. Datasets
In order to estimate a model’s cross-datasets performance, we used four corpora of isolated productions of words with initial voiced and voiceless stops, characterized by different speakers and recording environments. The first dataset named PGWORDS [3] consists of English picture naming and reading aloud by L1 English speakers and L1 Portuguese/L2 English bilinguals from the Northwestern University community. The other three ([28], [29], [30, 31]) consist of recordings of single words read aloud by L1 English participants. The corpus described in [28] is composed of recordings from the Northwestern University community where [29] and [30, 31] are recordings of speakers from the Purdue University community. Each corpus was divided into train, validation, and test; each speaker was uniquely assigned to one of these sets, allowing us to ensure that performance generalizes across talker differences. The input features are described in detail in [10] and have been utilized in previous research [13, 14]. Broadly speaking, these features measure small time scale (1 and 5 msec windows) spectral, duration, and amplitude measures utilized by human annotators. Overall we have 63 features per frame. Among the entire training corpus consisting of 7,483 utterances, the ratio of positive to negative VOT is 80:20 respectively.
#### 4.2. Evaluation and discussion
We started by evaluating our proposed model Dr.VOT compared to previous known models, namely AutoVOT [10], DeepVOT [32], and DeepSegmentor [14]). In all the experiments we used a 2 layers BiLSTM [33] with a hidden size of 100 for each network, as the feature function, and optimized parameters with Adagrad [34] and a learning rate of 0.01; $\lambda$ was set to 0.1. Table 1 summarizes the performance achieved by each model as reported in previous papers [32, 14], when trained and tested on the PGWORDS dataset. The performances were measured by the proportion of differences between automatic and manual measures falling at or below a given tolerance value. As noted in the introduction, the resolution needed for this task is quite fine-grained; we therefore focus primarily on the 2, 5, and 10 msec tolerances in order to reproduce phonological and clinical research. For example, for DeepSegmentor, the difference between automatic and manual measurements in the test set was 2 msec or less in 78.2% of examples. As one can see, our model, which is denoted as Dr.VOT, performed almost identically to the state-of-the-art model DeepSegmentor.
| Model | $\tau \leq 2$ msec | $\tau \leq 5$ msec | $\tau \leq 10$ msec | $\tau \leq 15$ msec |
|-----------|---------------------|--------------------|---------------------|---------------------|
| AutoVOT | 49.1 | 81.3 | 93.9 | 96.0 |
| DeepVOT | 53.8 | 91.6 | 97.6 | 98.7 |
| DeepSeg. | 78.2 | 94.1 | 97.0 | 98.6 |
| Dr.VOT | 78.5 | 94.6 | 98.0 | 98.8 |
Table 2: Proportion of differences between automatic and manual measures falling at or below a given tolerance value. Performance at each tolerance level is separated by within-corpus (first column) vs. unseen corpora (second column).
| Model | $\tau \leq 2$ msec | $\tau \leq 5$ msec | $\tau \leq 10$ msec | $\tau \leq 15$ msec |
|-----------|-------------------|-------------------|-------------------|-------------------|
| DeepSeg. | 64.8 | 50.8 | 86.2 | 78.8 | 93.6 | 89.5 | 96.3 | 93.2 |
| TGM | 70.9 | 53.8 | 90.7 | 81.3 | 96.5 | 91.5 | 98.0 | 94.6 |
| ADM | 69.1 | 55.4 | 89.4 | 81.1 | 95.8 | 90.9 | 97.8 | 94.2 |
| Dr.VOT | 71.1 | 56.5 | 90.3 | 82.5 | 96.2 | 91.5 | 98.0 | 94.7 |
Using the previous models “in the wild,” i.e., on an entirely new dataset with different talkers from which the model was trained on, and a new acoustic environment, they face a severe performance degradation. For example, when testing AutoVOT and DeepSegmentor on the unseen corpus [28], the results in the $\tau \leq 2$ msec section; the percentage of files in which the predicted VOT was off by up to 2 msec, dived from 49.1 to 31.9 and from 78.2 to 46.8, respectively.
To better understand the effect of each component of our proposed model, we compared the following four models:
i DeepSegmentor [14];
ii Tagging model, denoted with TGM, an MTL extension of DeepSegmentor with the VOT classifier;
iii Adversarial model, denoted with ADM, is an adversarial side-branch added to DeepSegmentor;
iv Both tagging and adversarial models, denoted as Dr.VOT.
To check the performance on unseen datasets, we used a 4-fold cross validation method on the datasets. In each fold one of the 4 datasets was left out for evaluation while the rest were used for training. Each model was evaluated on unseen examples from the same dataset it was trained on as well as on examples from the evaluation dataset. We balanced the data proportionately giving a higher probability to examples of negative VOT. Those probabilities were calculated at the beginning of each run to ensure the training set was equally distributed. We report in Table 2 the average performance achieved by each model using the task loss in Eq. (2).
The results suggest that the proposed model, Dr.VOT, handled untrained items from both seen and unseen corpora with greater accuracy than DeepSegmentor at all tolerance values. At the lowest tolerance values on the trained dataset, both of our additions improve performance relative to the benchmark (64.8%). Adding the tagging task via MTL had a slightly better impact (70.9%) than adversarial training (with dataset classification as the adversarial task: 69.1%). Combining both methods barely disrupts the model with respect to the tagger alone. When looking at the reported results on an unseen corpus (the second of two columns at each tolerance value), the benchmark consistently underperforms the other models. Adding an adversarial branch contributes more to the performance at the lowest range of tolerances (from 50.8% to 55.4%) compared to the classification branch (from 50.8% to 53.8%). Across levels of tolerance, the Dr.VOT exhibits the highest level of generalization.
When splitting a dataset into training, validation, and test sets, each set should represent the distribution of the entire dataset. Consequently, results on a test set should be similar to performance in the “real-world.” As mentioned before, a primary goal of this paper is to address a key challenge when measuring VOT; producing accurate measurements when the VOT is negative. As we break down the reported results in Table 2 to the performance on negative VOT utterances, we can clearly see the contribution of our proposed algorithm. Since the positive case is far more common, the results on the positive VOT examples are similar to those reported in Table 2. Hence, our discussion focuses on predictions for negative VOT.
The results for examples from unseen corpora are summarized in Table 3. It is clear that it was more difficult to predict negative VOT than positive VOT. This may be due to difficulties in a consistent annotation of the onset of voicing, given that this often has an extremely small amplitude in negative VOT. However, even considering the overall lower performance, it is clear that our model exhibits dramatic improvement over existing approaches. In 32.4% of the utterances which have negative VOT, our model prediction was off by at most 2 msec, a 9.2% absolute improvement and a roughly +40% relative improvement to the 23.2% achieved by the current state-of-the-art. When allowing larger threshold values, our method consistently shows a relative improvement of around +20%. (Note the AutoVOT model is limited to the positive case only, leading to very poor performance on the negative-VOT utterances.) This dramatic performance improvement on negative VOTs accounts for most of the overall performance boost of the current approach. For example, considering all VOTs, at a 10 msec threshold Dr.VOT outperforms DeepSegmentor by 2% (91.5% over 89.5%); focusing only on the less common negative VOTs, there is a 12.3% gain in performance (75.7% over 63.4%).
Finally, in addition to producing better predictions of segmentations, our model also successfully classifies whether the VOT is negative or positive with an accuracy of 94-97% (depending on the dataset) on both seen and unseen corpora.
5. Conclusions
We have presented two different approaches for generalization in a deep learning structured prediction framework. Focusing on enhancing overall performance, we combined MTL within the prediction rule. Focusing on generalization, we used adversarial learning to “filter” unnecessary properties from the feature space. As far as we are aware of, this is the first work to tackle, in an integrated way, VOT classification along with prediction of both positive and negative VOTs – critically, yielding well-balanced results on both. In future work we would like to further explore the adversarial effect by testing it over multilingual corpora, and add handcrafted auxiliary related tasks. Such an approach may allow the first-ever application of these techniques to the analysis of bilingual language production.
After acceptance Dr.VOT will be publicly available at https://github.com/MLSpeech/dr.VOT.
6. Acknowledgements
Research supported in part by NIH grant 1R21HD077140. Thanks to Olga Dmitrieva and Alexander Francis for providing access to VOT datasets.
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Rhythm as Aristotelian Form of Psychological Process (Part 1)
- Recherches
- L'art du rythme dans les sciences et les arts contemporains
- Psychologie
Date de mise en ligne : Monday 27 August 2018
Copyright © Rhuthmos - All rights reserved
During the last decades of the 19th century, psychology emancipated itself from physiology, even though the latter remained an important basis for its development. This mutation allowed it to become an academic discipline in its own right and to be recognized in the university curricula.
This mutation coincided with the remarkable surge of interest in rhythm which characterized the "Belle Époque." When, in 1913, Christian Ruckmich compiled a list of the recent psychological studies on rhythm, he cited more than two hundred entries and the research propagated at such a pace that he had to update his bibliography again in 1915, 1918 and 1924 (Ruckmich, 1913).
In this chapter and the next, I will concentrate on two exemplary contributions published during this period: the first by the German Ernst Friedrich Wilhelm Meumann (1862-1915), and the second by the American Thaddeus L. Bolton (1865-1948). The very same year 1894, the former published a 113-page long *Habilitationsschrift* (Phd) entitled *Untersuchungen zur Psychologie und Aesthetik des Rhythmus - Research on the Psychology and Aesthetic of Rhythm*, while the latter circulated in the *American Journal of Psychology*, under the pristine title "Rhythm," the results of an innovating research program which he had developed at Clark University, Worcester-Massachusetts, during the two preceding years (*AJP*, n° 6, 1894, p. 145-238).
Meumann and Bolton had a lot in common. Both were young: Meumann was only thirty-two and Bolton twenty-nine. Both, unlike most of their predecessors, were not educated as medical doctor or physiologist. Meumann failed his entrance exam for the university of medicine because of his aversion toward practical anatomy and studied instead philosophy, art sciences, theology, before working a few years as a private teacher and finally joining, in 1891, the *Institut für experimentelle Psychologie* founded and run in Leipzig by Wundt. Similarly, after receiving his B.A. degree from the University of Michigan, Bolton worked in school administration for a year before enrolling in the psychology program at Clark University founded by Edmund G. Sanford on Wundtian bases (1859-1924). Both announced an important shift in the history of the rhythm concept: it was the first time that rhythm became the main topic of a scientific investigation. Whereas Wundt still considered it as a secondary subject, Meumann and Bolton placed it at the center of their concerns.
For these various reasons, their contributions are of great interest to us. As we shall see, they not only illustrate the fast-growing interest in rhythm after 1890; they also provide numerous evidence of the new semantic shifts of the concept which occurred during the last decades before World War I. Moreover, they exemplify two diverging philosophical, cultural and social perspectives in psychology: although, in both cases, the rhythmolological frame remained basically Platonic, Meumann gave it a strong Aristotelian twist, while Bolton, by contrast, rather radicalized its Platonic perspective.
**On the Theories of Rhythm (Meumann - 1894)**
Respectful of the methodological requirements in the German university, Meumann began his study by classifying and criticizing the main theories concerning rhythm that had been developed since the end of the 18th century.
I therefore treat first all those approaches aiming at the formation of a general theory of rhythm that are not specific to a particular fact area [...] Among these I distinguish developmental [entwicklungsgeschichtliche] hypotheses, teleological theories, approaches to purely physiological explanations, psycho-physiological and purely aesthetic theories. (Research on the Psychology and Aesthetic of Rhythm, 1894, pp. 5-6, my trans.)
I will dedicate some space to this reasoned critique because it was the first ever, as far as I know, to provide such a large synthesis and also because it quite clearly exposed the view, with its lights and shadows, reached by continental psychologists, I mean mostly in Germany and France, at the end of the 19th century.
In stark contrast, as we shall see, with Bolton, he first rejected, as sheer speculation, all developmental theories aiming at reconstructing the "genesis of rhythm."
The ambiguity of the word "genesis" [Entstehung], which can just as well be understood in terms of developmental history, as in the sense of a proof of the conditions which allow the rhythmic impression to "emerge" in each individual case of beat perception [Taktwahrnehmung], seems to have misled the researchers. (Research on the Psychology and Aesthetic of Rhythm, 1894, p. 6, my trans.)
He rightly gave Karl Philip Moritz's Deutsche Prosodie as an example of such genetic speculation without, though, being aware of his remarkable contribution to the theory of poetic rhythm itself (for an alternate view, see vol. 2, p. 102 sq.). This is a characteristic of the continental psychology to be both faithful to Aristotle's empiricism and at the same time, utterly ignorant of his contribution to poetics (on the starting point of this divide in Aristotle himself, see vol. 1, chap. 3).
Moritz states: because of the overwhelming urge to move that drives the sense of power of the human beings (which and when? - the author) to leap and dance movement, one would have accidentally observed the periodic alternation of fast and slow movements, and this rhythmic order of movements, once it had accidentally emerged, would have attracted attention, aroused the feeling of pleasure, been admired and imitated. So was the genesis of the dance to be derived [from this rhythmic order of movements], and similarly the genesis of the meter from the random succession of regularly alternating long and short syllables, as they may occasionally occur in emphatic speech. (Research on the Psychology and Aesthetic of Rhythm, 1894, p. 6, my trans.)
There was nothing, he claimed, to gain from this kind of genetic perspective which had unfortunately been imitated many times since. It shed no light on the psychological genesis of rhythm, on the pleasure it brings forth, on its power on us, nor on "the principles according to which the particular rhythmic forms are brought into existence."
This conception of the origin of rhythm from random rhythmic movements has been repeated since in every imaginable variation. There is no interest for psychological research in tracking their evolution. [...] We thus do not know neither what makes a succession of movements or sound sensations into a whole new experience, the "rhythm," nor from where rhythmic movements and sound-strokes get their powerful emotional effect, let alone the principles according to which the particular rhythmic forms are brought into existence. (Research on the Psychology and Aesthetic of Rhythm, 1894, p. 6-7, my trans.)
Yet, some of the 19th-century most modern views did not fare any better because they much too rapidly derived rhythm from physiological phenomena. These physiological theories were nothing but "Phantasieconstructionen - imaginary constructions" (p. 8).
As an extreme of such genetic constructions, I will only mention the dissertation of Benecke (Vom Takt im Tanz, Gesang und Dichtung – On the Beat in Dance, Song and Poetry, 1891) [...] This view brings the genesis of rhythm in connection with certain rhythmic processes of our organism, the breath, the heartbeat and the pulse. Through them we would have gotten acquainted with rhythmic movements, and after having found once pleasure in them, we would have imitated their rhythm with arbitrary movements. Along the same lines, the theories of John Hughlings Jackson [and] Friedrich von Hausegger regard the two-part rhythm as the only elemental rhythmic form and derive the latter from the two-fold division of the breath, [or] the bilateral symmetry of the body and bodily gestures. (Research on the Psychology and Aesthetic of Rhythm, 1894, pp. 7-8, my trans.)
A few pages below, Meumann pointed at the quite fashionable surge of so-called "Physiologies" around the middle of the century. Because of their simplistic view of causality, none of them was useful for scientific research.
Significantly, most of them are produced by writers who are completely ignorant of both physiology and physiological psychology, and who are infected by the modern evil of popularized physiology and work with misunderstood physiological data. The characteristic of all these writings entitled *Physiology of the Art of Sound*, *Physiology of the Melody*, *Physiology of the Counterpoint*, *Physiology of the Rhythm*, etc. is always that any physiological side-effect which is in any relation, be it close or remote, to the psychic phenomenon to be explained, is taken for the "essence" of the latter, while the importance of a descriptive analysis of the psychical state remains unknown to these authors. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 21, my trans.)
A second important way to theorize on rhythm was that followed by the *teleological theories*. Meumann took the example of August Wilhelm Schlegel and the poetic-aesthetic tradition that developed in his wake. According to Schlegel, rhythm would be beneficial to the organism because it would allow saving strength by regulating it.
A. W. Schlegel seems to have initiated the teleological explanation of rhythm, the classics of our poetry have continued it, and modern aesthetics has very often returned to it. According to Schlegel (*Ueber Silbenmaß und Sprache - On Syllable Measure and Language*, S.W.VII), the unregulated frenzy of joy [as well as] the unrestrained expression of pain damage the forces of the organism; those are spared [instead] when the movements are tied by a rule that corresponds to the organic balance [*organischen Haushalt*]. Conversely, our affects are softened when their expression is firmly regulated. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 9, my trans.)
Faithful to a steady distrust in science since the 17th century towards any teleological account in nature, Meumann criticized the substitution of a teleological to a causal explanation that could not be provided by lack of empirical knowledge. He recognized that it could be used as a "heuristic principle" but it entailed "the danger" of believing that the final cause was the efficient one (p. 9). Finally, this kind of explanation did not "tell us anything about what the rhythm is" (p. 10) psychologically speaking that is, because Meumann entirely ignored Schlegel's significant contribution to the poetic theory of rhythm as "complex organization" (see vol. 2, p. 105 sq.), as he had indeed ignored Moritz's.
Meumann accepted, though, certain 19th-century theories which combined the two previous modes of observation into a peculiar "teleological-developmental view" (p. 10). Poetic rhythm was, according to those theories, useful for memorization and helped to organize the psychic life.
Muller and Schumann have recently renovated this kind of theory [...] [by suggesting] that a rhythmically formed word sequence is easier to memorize and remember [...]. In views like these, the "origin" of verse rhythm is sought in a purposefulness of rhythm for the memory, and the development of special metric forms [in] a series of other factors. The superiority of this view over the previous one is that it at least does not merely introduce an external cause for rhythm formation, but rather considers a reliably proven psychic performance of rhythm as a possible cause. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 10, my trans.)
The third kind of theories about which Meumann was openly distrustful was *the aesthetic* ones. Schopenhauer’s grand view on World, Art and Will was of particular dislike to him. He mocked, in a few expeditious lines, the way he developed “his theory of rhythm in analogy with architecture” and his use of sonorous concepts devoid of any content (on the analogy between rhythm and architecture in the early 19th-century Idealist tradition, see vol. 2, p. 145 sq.).
Both arts, music and architecture, are transformed, under the strait-jacket of analogy, into a sum of very improper relations. Schopenhauer makes intelligible the aesthetic effect of rhythm by asserting an “alternating division and reconciliation” of the rhythmic and musical motive in the melody; thus giving the reader the twofold task of explaining what is meant by this image of division and reconciliation. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 13, my trans.)
Concerning rhythm, in his *Aesthetik* (1887), Eduard von Hartmann (1842-1906) “nowhere [went] beyond trivial and obvious matter or unproven assertions” (p. 13), while Karl von Köstlin (1819-1894), in his own *Aesthetik* (1869), contented himself with “symbolic descriptions” (p. 14) and “extensive play on words.”
The rhythm can either be “completely free (vag)” or “real”; the real-rhythm is “narrow” or “far,” “simple,” “concretely structured,” “even (planus),” “uneven,” and then at once “even-numbered” and “odd-numbered.” The tone-series becomes “more vivid,” “rich in change,” “freer, lighter, livelier, more graceful,” through the rhythm; it receives “emphasis, weight, significance, momentum,” and so on.
I put this presentation of the special power of the musical beat [*musikalischer Takte*] ahead of his general exposition of the concept of rhythm given to us by Köstlin in his Aesthetics, since it is characteristic of the previously criticized deficiency of the common aesthetics: extensive play on words instead of a systematic search for facts. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 14, my trans.)
Generally speaking, the 19th-century aesthetics fared quite poorly in its elaborations of the concept of rhythm, confusing it, for instance, with the simple regular division of “a line,” and forgetting that rhythm only emerges through a psychological process of “rhythmization.”
According to Köstlin, a line divided by points at a regular distance and, for instance, a simple waltz beat would have to be, in the same sense, called rhythm, the former even in a stricter sense than the latter. […] a series of uniformly recurring impressions of sound should already be rhythmic, as the simplest case of a “division of a time-stretch into sections,” while in truth it can only appear rhythmical through subjective rhythmization [*Rhythmisierung*]. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 15, my trans.)
Meumann was not critical about using the term rhythm to describe repetitive spatial phenomena, like in architecture, but he recommended not to forget that it was a derivation of the only sense that was really rhythmic: the sense of hearing which process the auditory sensations into a whole (p. 15-16).
Rudolf Hermann Lotze (1817-1881), most of whose contribution was dedicated to “the aesthetic side of the phenomenon” made “a few remarks on the psychological explanation of rhythm” (p. 16). But Meumann rapidly but
quite accurately summarized Lotze’s perspective in his *Geschichte der Aesthetik in Deutschland* (1868) and the objectionable reduction of rhythm to regular beat that resulted from it.
Every work of art, according to Lotze, must give a hint of the whole world structure [*des ganzen Weltbaus*] and “present the representation of a particular phenomenon only in the light of the latter.” It must awaken in the spectator a “memory” of an objectively real and appropriate world plan and the general law prevailing in it. Three elements “devour each other” when the “general figure of any happening” is to be expressed: first, *general laws*, unreservedly and without any preference for a particular form of the resulting successes, dominate all phenomena; subject to them is then a *multiplicity of real elements*, each equipped with its own inalienable nature, which obeys the commandment of the universal laws without, however, springing from them; an *ordering thought* combines, as a guiding purpose, the manifold noise of the phenomena into the whole of a plan (*Gesch. D. Aesth.*, p. 488). Now, since the harmonically sounding tones and the melody represent [respectively] the “multiplicity of real elements” and the “ordering thought,” “the beat” [*der Takt*] is “that which divides time into equal parts, and repeat the rises and falls of its internal structure [*die Hebungen und Senkungen seiner inneren Gliederung*], always in the same way ( ?), without regard to the diversity of the musical content.” (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 16-17, my trans.)
The rhythm, as synthesized by the consciousness from “the rhythmic impression in the hearer,” is much more complex than the mere beat which is only “one of the means by which the composer makes his rhythmic intentions understandable to the player.” By contrast to the beat, which is indifferent to “the particular content of the musical motive,” the rhythm takes full charge of the latter.
Lotze evidently does not distinguish here between beat and rhythm [*Takt und Rhythmus*]. He intends to describe [...] the rhythmic impression in the hearer, but this description is impeded by the indifference to the particular content of the musical motive. At best, it is true of the measured beat in the score [*in der Notenvorschrift gemessenen Takt*], and as the latter is only one of the means by which the composer makes his rhythmic intentions understandable to the player, it does not play any role in the aesthetics of the rhythmic impression. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 17, my trans.)
Meumann criticized Lotze’s associationistic perspective as utterly inadequate to grasp the synthetic nature of rhythm.
But apart from this, Lotze’s fundamental mistake lies in the fact that he refers the aesthetic effect of the systemic order [*der gesetzmäßigen Ordnung*], which the rhythm actually brings into the melody [*in die Tonfolge*] though not indifferently to the transformations of the motive, merely to the associative apparatus of the hearer. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 18, my trans.)
The fourth class of theories identified by Meumann comprised *the physiological theories* of rhythm. Most of them were naive speculations, like those already alluded to above. But Meumann acknowledged one exception to this rule: Ernst Mach’s *Untersuchungen über den Zeitsinn des Ohres - Research on the Time Sense of the Ear* (1865). According to Meumann, Mach had the exceptional quality to consider “the perception of rhythmically ordered sensations” as “a special case of time perception.”
The only theory that deserves to be taken seriously among those who are preoccupied with the physiological side of the rhythm is that of Mach. Mach has given his theory two different formulations, in both, however, he takes into account the psychological basis of the rhythm, but the most notable of them is the attempt to find a physiological equivalent of the rhythm with respect to time perception, in that the perception of rhythmically ordered sensations is rightly [considered as] a special case of time perception. (Research on the Psychology and Aesthetic of Rhythm, 1894, p. 21, my trans.).
Unfortunately, Mach wrongly associated time perception with the ear instead of consciousness, i.e. brain.
The first hypothesis is based on the fact that a (familiar) melody, the rhythm of which is made by tapping on the table, can be guessed. From this Mach concludes that the rhythm is thus bound to a special group of sensations, the "rhythm sensations." He then considers the accommodation apparatus of the ear as the seat of the latter, [in other words], the sensations of rhythm would be accommodation sensations of the ear. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 21, my trans.)
Mach himself had given up this first hypothesis and replaced it by a new one, based on the variation of "the specific time-energy of the central organ," viz. the brain. But it was not much more convincing.
The hypothesis that rhythm has its seat in the sensations of accommodation of the ear, has been given up by Mach himself; instead he has looked for a central process as the physiological parallel process of time perception and thus indirectly also of the rhythm. [...] The development of the rhythm could then be understood as a result of the efficacy of this specific time-energy proper to the central organ. This hypothesis of Mach is to be rejected because it is superfluous. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 22, my trans.)
Among the most recent physiological theories of rhythm, Meumann also noticed that of J. R. Ewald (1892) who associated, as Mach and Bolton, "the perception of sound beats" with "concomitant bodily movements."
Based on the fact recently made probable by R. Ewald (which, of course, has been again questioned by Breuer) that the tone of our voluntary muscles, especially as far as it serves the finer mobility of the body, is subject to a constant regulation by the arc-labyrinth of the ear, it is quite possible to substantiate hypotheses which provide a certain anatomical foundation to the connection of the perception of sound beats [Schalltakten] with concomitant movements of our voluntary musculature. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 24, my trans.)
But he again refused any wild extension of the physiological explanation. Music and poetry could not be accounted for, he sensibly noticed, by mere bodily movements.
The possibility of somehow deriving certain rhythmic forms of music or poetry from those physiological processes [activity of the vessels, cardiac contractions, respiratory activity] must, of course, be rejected from the outset. These are all art-products which could develop only through a random and continuous building process of rhythmic elements in the course of a long development. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 25, my trans.)
The rhythm is not *in* "the organic changes" themselves, he contended, faithful to his master Wundt. It is always, even
when we believe to perceive "organic rhythms," the *result* of an "intellectual process" which "draws successive impressions out of their isolation," and "combine" and "order" them. In this instance, Meumann stuck to the common Kantian epistemology of his time and rejected any realism, be it a materialist one. He was also faithful to his master Wundt.
At most, one can ask whether 1. the organic changes (*organische Veränderungen*) of this kind account for the specific rhythm [*das spezifisch Rhythmische*] which is introduced into the simple succession with the rhythmic ordering of our sensations; or whether 2. they are merely accompanying phenomena of a rhythm perception, that is, of a substantially intellectual process. The possibility of 1. can be *a priori* dismissed. The succession of sensation [*der Empfindungswechsel*] is transformed into the subjective experience of a rhythmic succession of sensation [*eines rhythmischen Empfindungswechsels*], only on the condition that the intellectual work of combining and ordering the successive impressions draws them out of the isolation of single sound impression. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 25, my trans.)
This point was so important to Meumann that he felt compelled to give empirical evidence of the work of the mind in the production of rhythm, using Bolton's most recent studies. This passage is particularly interesting to us because it shows again, as in Wundt who was here duly cited, how Augustine's conception of time (see vol. 1, p. 379 sq.) was retrieved by late-19th century psychologists and integrated into their Kantian theoretical body.
Similarly, Bolton's thirty subjects found in "grouping" [in English] the first and indispensable feature of all subjective rhythm. The conception of the present sensation as a repetition of the previous one and a preparation for the following one, which is characteristic of all perception of rhythm (see Wundt *Phys. Psych.*, II, p. 84), also points to the never-missing participation of higher intellectual processes in rhythm formation [*Rhythmusbildung*]. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 26, my trans.)
The mention of Mach's work allowed Meumann to switch to the last category, the only one which appealed to him: the *psychological theories of rhythm*. For most late-19th century psychologists, Meumann noticed, rhythm is only a by-product of the activity of the mind. It is the result of a "rhythmization of sound impressions" that introduces into "regularly recurring differences in intensity," subordination, co-ordination, combination, i.e. specific arrangement.
Finally, there are a number of observations that point out, in the most definite way, that the indicated intellectual processes come first in the whole rhythm perception. 1. The subjective rhythmization [*Rhythmisierung*] of sound impressions always introduces into regularly recurring differences in intensity a subordination of the weaker impressions to the stronger ones, a co-ordination of the latter, an internal combination of the weaker and stronger impressions, and so on. (*Research on the Psychology and Aesthetic of Rhythm*, 1894, p. 26, my trans.).
Strangely given the number of opposite views, according to Meumann, there was no emotion involved in this process. On the contrary: the weaker the "emotional effect," the greater the complexity of the combination. Rhythm was the product of a sheer mental process.
2. These intellectual processes often occur without any particular emotional effect accompanying them (we group, subordinate, inwardly emphasize even indifferent beats \textit{Takten}), and they are independent of the change of feeling. 3. The greatest energy of the inner combination \textit{Zusammenfassung} occurs when (with very slow rhythms) there is a very small emotional effect. (\textit{Research on the Psychology and Aesthetic of Rhythm}, 1894, p. 26, my trans.).
As a matter of fact, there is always a possibility to change a given perception of rhythm into another one by simply imagining the latter. This seemed to prove to Meumann the purely intellectual nature of rhythm.
4. In subjective rhythmization [Rhythmisierung], any arbitrary change of rhythm is made possible by simply starting imagining another rhythm. (Research on the Psychology and Aesthetic of Rhythm, 1894, p. 26, my trans.).
According to Meumann, "the first ever to attempt a psychological explanation of the facts of rhythm" was Johann Friedrich Herbart (1776-1841) in his Psychologische Untersuchungen (Erstes Heft) - Psychological Investigations (Vol. 1) (1839) in the section entitled "Ueber die ursprüngliche Auffassung eines Zeitmaßes - On the Original Conception of a Measure of Time" (p. 28). But Meumann did not elaborate further Herbart's contribution which still was more that of a philosopher than of a real psychologist to which we will have to return one day because of its extraordinary conception of consciousness as a continuous and oscillating flow of ideas or representations. From Herbart, he retained only his re-introduction of the Augustinian motive of time as generated by the mind as memory and expectation.
Lotze reproduces Herbart's opinion as follows: "[...] since the regular or irregular return of the beat strokes [Tactschläge] would either satisfy or deceive an expectation in us, there would at the same time be a reason for the pleasure and aversion which the latter respectively trigger in us." Obviously, a completely new thought is here introduced, namely that of an expectation from which two different states of feeling may spring again, as soon as they are satisfied or disappointed. (Research on the Psychology and Aesthetic of Rhythm, 1894, p. 30, my trans.)
The program of a psychological account of rhythm was then exposed in the following terms. It was clear in Meumann's mind that it remained largely unfinished at the time.
An exhaustive account of the rhythmic facts would have, at any rate, to distinguish between time elements, elements of accentuation, intellectual processes of associative and apperceptive type, emotional facts, organic and motor side effects, and to establish their mutual relation. [Yet.] a theory of rhythm that would fulfill these demands has not yet been given. (Research on the Psychology and Aesthetic of Rhythm, 1894, p. 34, my trans.)
Finally, Meumann was brought to the conclusion that the only psychologist who had foreseen such an expansion was Wundt his mentor at Leipzig. Yet, there was still a lot to do. His work had laid the foundations for an application of the general theory to the various "specific rhythmic domains," by which he meant principally music and poetry.
After having realized why the previous attempts at a physiopsychological theory of rhythm remained more than incomplete beginnings, we find, for the first time, in Wundt's theory a conception of the rhythm which satisfies all requirements of the scientific approach. But I believe that this conception, as it complies with the system of representation of a general psychology, is more to be regarded, from the standpoint of a monographic research, as a program for the application of a [general] theory of rhythm to the specific rhythmic domains. (Research on the Psychology and Aesthetic of Rhythm, 1894, p. 36, my trans.)
Since I already thoroughly presented, in the preceding section, Wundt's theory of rhythm, I won't repeat it here by going through Meumann's reading, which is completely faithful to his model. I will just notice the way Meumann introduced the few pages he dedicated to it, which tells us how the latter was received by his own students and the general scientific community in the 1890s under three main headings: general system of rhythm; specific rhythmic forms; aesthetics of rhythm.
I will articulate Wundt's theory according to three viewpoints, since I will
1. present the system [Zusammenhang] of rhythmic phenomena which can be understood as special cases of the general manifestations [Erscheinungen] of consciousness. From this, it should follow
2. the development of specific rhythmic forms and
3. the justification of their aesthetic effects. (Research on the Psychology and Aesthetic of Rhythm, 1894, p. 36, my trans.)
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Club Meetings:
One of the requirements for 4-H projects, in Ontario, is that there is a minimum of 12 hours of meeting time. Traditionally this has consisted of 6 meetings (2 hours in duration). Some Clubs choose to do 5 meetings (2.5 hours), 4 meetings (3 hours). Brant County 4-H Association encourages all members to attend 100% of the meetings. 4-H Ontario club completion requirements state that members must attend 2/3s of the club meetings and complete the club activity. If there are 6 meetings, then need to attend 4. If your meetings are longer (hour wise) then you need to ensure members attend 2/3s the meeting time (8 hours of a 12 hour club).
For some projects 12 hours may not be a realistic time frame. When you are doing your initial planning consider splitting the club into Part 1 and Part 2, and run them as 2 consecutive clubs. This way there is more consistency between what is required for completion.
It is suggested that at the time of sign up that the meeting dates and Achievement dates are set. To recognize that families have busy lives and to help them manage their time and yours, it is important that they know potential conflicts in dates ahead of the time so they can make an informed decision about joining the clubs or not. Club leaders should not be expected to provide “make-up” opportunities for dates that where set from the beginning, unless a situation is warranted.
B-CE-10 – Youth Safety Policy (Established – December 15, 2019)
visit: https://4-hontario.ca/volunteers/policies.aspx Should be included as an attachment to the policies for easy reference as they are substantial.
O-M-03 – Membership & Club Composition (Amended: June 16, 2018) 4-H clubs are required to have a minimum of six (6) eligible members and two (2) consistent and dedicated 4-H Ontario Volunteers in Good Standing (Policy O-V-14) involved in club leadership/activities. It is not necessary for all members of a club to take the same project. Before enrolling, a person who is eligible to be both a 4-H member and a Leader of a club, must choose to be either be a member or leader of the specific club (with a 4-H Ontario screened leader that is 22 years of age or older prior to January 1st). A Youth Member cannot receive recognition as both a member and a Leader in the same club. Cloverbud participants are able to complete Cloverbud projects only. They are not able to participate in other club projects offered for 4-H members. Youth aged 15-21 years prior to January 1st may assist in a Cloverbud project as a Youth Leader.
GUIDELINES for Membership & Club Composition:
One of the requirements for 4-H projects, in Ontario, is that there is a minimum of 12 hours of meeting time. Traditionally this has consisted of 6 meetings (2 hours in duration). Some Clubs choose to do 5 meetings (2.5 hours), 4 meetings (3 hours). Brant County 4-H Association encourages all members to attend 100% of the meetings. 4-H Ontario club completion requirements state that members must attend 2/3s of the club meetings and complete the club activity. If there are 6 meetings, then need to attend 4. If your meetings are longer (hour wise) then you need to ensure members attend 2/3s the meeting time (8 hours of a 12 hour club).
For some projects 12 hours may not be a realistic time frame. When you are doing your initial planning consider splitting the club into Part 1 and Part 2, and run them as 2 consecutive clubs. This way there is more consistency between what is required for completion.
It is suggested that at the time of sign up that the meeting dates and Achievement dates are set. To recognize that families have busy lives and to help them manage their time and yours, it is important that they know potential conflicts in dates ahead of the time so they can make an informed decision about joining the clubs or not. Club leaders should not be expected to provide “make-up” opportunities for dates that where set from the beginning, unless a situation is warranted.
**O-M-04 – Club / Project (Amended: December 15, 2019)**
4-H clubs in Ontario can complete projects on topics from two places:
1) 4-H Ontario provincial resource library (on the 4-H Ontario website), including: a) Provincially developed projects or b) Locally submitted and approved for provincial use or
2) Global resource library (on the 4-H LEARNS website).
Project Resource manuals that are local or global in nature must be provincially approved for use as a project in an Ontario 4-H Club. The approval process for Locally Submitted Projects is outlined in O-M-17. The approval process for projects found on 4-H LEARNS is outlined in Policy 0-M-16.
In order for 4-H clubs to be deemed active:
1. The club must have a minimum of two (2) current 4-H Ontario Volunteers in Good Standing consistently engaged in club leadership and supervision of youth. When only one of the consistent Volunteers in Good Standing is able to be present at a meeting, another Volunteer in Good Standing must be present for the full duration of that club meeting/activity so that the club leadership still consists of at least two Volunteers in Good Standing. The 4-H Ontario policy “Duty of Care” (B-BO-21.) outlines how having two leaders present at all times mitigate the risk to youth and volunteers by providing Duty of Care and adequate supervision.
2. At least one of these 4-H Ontario Volunteers in Good Standing must be 22 years of age or older prior to January 1st of that current calendar year.
3. The club must be registered into the 4-H Ontario database (membership web application (MWA)) immediately following the second meeting (or 4 hours) of the club. Note: In order to ensure the safety of 4-H participants and a quality program, only 4-H Ontario Volunteers in Good Standing may receive 4-H project / club resources and awards, have their 4-H club registered in the 4-H program and have their group or team receive recognition and participate in 4-H events.
**Leader Attendance at Club Meetings:**
Leaders are recognized locally and provincially for being leader volunteers. In order to receive credit as a Club volunteer, the leader should also attend 2/3s of the meetings. Individuals who are not able to commit to that time commitment can be used as a resource, special guest or visiting expert for a particular meeting or activity. The responsibility for the club would rest with the leaders who are able to make the time commitment. The resource, visiting expert would not be police screened because of the fact that the screened leaders would be present and in charge at all times. Individuals who are “resource people” to the club leader do not have to be screened, but the leader is responsible to not place that person in a position of trust. For Brant 4-H, unscreened persons cannot be alone with an individual member.
TRAINING:
All leaders, volunteers and youth leaders are to complete all training as required by 4-H Ontario Policy
O-V-11 - Volunteer Training (Updated: April 15, 2018)
New Volunteers: All volunteer candidates must attend and complete a 4-H Ontario Staff lead New Volunteer Orientation Session to be approved as a 4-H Ontario volunteer. Current Volunteers: At minimum, all 4-H Ontario volunteers must attend and complete a Staff led re-engagement learning opportunity every two (2) years. This must be completed within +/- three (3) months of the last recorded engagement date outlined in the provincial Membership Web Application (MWA) database to retain their Volunteer in Good Standing status.
O-V-14 – Volunteer in Good Standing (Amended: July 31, 2019)
Volunteer in Good Standing Definition: Volunteers with up to date screening (police checks), re-engagement learning opportunity and Child Protection Training (through Commit to Kids) records and who have signed and agreed to adhere to the Code of Conduct included in the Participant Agreement Form (Form #6.8) shall receive “Volunteer in Good Standing” status.
A volunteer must be a ‘Volunteer in Good Standing’ in order to be:
• Eligible to be a volunteer or club leader
• Eligible to chaperone 4-H activities (provincial and national)
• Eligible for recognition by outside organizations who opt to use the ‘Volunteer in Good Standing’ status as selection criteria.
• Eligible for their club and themselves to receive recognition and awards.
Dress Code:
Members and volunteers represent themselves, their club, Brant 4-H Association, their county and 4-H profile whenever they participate in a 4-H event. It is the responsibility of the leaders to provide guidelines to members on appropriate dress prior to the 4-H event. You may even want to send a note to the parents with requirements for the particular event. This list would include supplies needed and who is responsible for these, times of arrival and departure, money, t-shirts, just in case members are inappropriately dressed. If the member refuses to oblige, the member can be asked to leave. A rule of thumb for appropriate dress:
O-M-15 #6 Wear clothing that is neat, clean and acceptable in appearance, as appropriate for a 4-H event.
This no longer exists in 4-H Ontario policy. Wording has been substantially changed under Code of Conduct.
Locally Submitted Projects:
1. Brant County 4-H prides itself in offering many unique clubs, which currently are not provincially recognized. If a leader wants to start a locally approved cub they must:
2. Contact the Brant County 4-H Program Manager with their intentions and request the “Locally Submitted Project Outline Worksheet”
3. The Program Manager will work with the leader to ensure that the club meets the 4-H criteria (12 hours), leadership development, project achievement, etc.
4. The completed outline then goes before the Brant 4-H Association for approval. The leader may choose to attend the Association meeting to speak to their outline.
5. The Program Manager will submit projects to 4-H Ontario for approval.
**Club Finances:**
Brant County 4-H Association is accountable for all monies raised in the name of Brant County 4-H. The Brant County 4-H Association does a fund-raising campaign called, “Friends of 4-H” Clubs are not to duplicate or jeopardize the fund-raising campaign of the Brant County 4-H Association and therefore the following policies are in place:
1. Clubs need to determine the cost of the club prior to advertising for the club. Any material costs associated with the projects need to be known before joining a club. Material costs for projects can be an additional club fee paid by the members. Leaders can keep these fees and use them as needed to pay for the supplies for the members. Any surplus of funds at the completion of the club needs to be given back to the members.
The Brant County 4-H Association may have a nominal budget for club supplies. This money, if available, is paid when the Association treasurer is presented with an itemized receipt and a completed reimbursement statement. These monies are to be used for supplies, admission fees, bus costs for trips, and speaker gifts. These monies are **not** to be used for snacks.
2. Clubs wishing to organize a fund-raising campaign for a specific event need to make fund-raising proposal to the Brant County 4-H Association prior to imitating their campaign. The Brant County 4-H Association will ensure there is no duplication in the request for funding and that the campaign upholds the values of the 4-H program. Any funds raised by a club, in surplus of the amount required, needs to be returned to the Brant County 4-H Association at the completion of the club.
3. Club leaders, who did do a fund-raising project, need to provide the Brant County 4-H Association with an itemized statement of the funds raised and the disbursement of the funds.
4. Fundraising for clubs/events/opportunities must be coordinated through Brant County 4-H Association. A full financial report with receipts/documentation must be submitted within 30 days of the last day of the club/event/opportunity.
5. Prize money from the 4-H exhibit boards will be made payable to the Brant County 4-H Association.
6. Surplus Club funds: Upon receipt of a note to the attention Treasurer Brant 4-H Association giving the following information [Club name______, Leader’s name and phone number___________, Amount of funds being deposited_______ year in which funds were raised. The treasure of the Brant County 4-H Association will issue receipt to the club leader depositing the funds in trust. In order to draw from these trust funds, the club who deposited the funds needs to in writing request the amount required from the treasurer of the Brant 4-H Association with a statement of the balance in the account. This balance should agree with what the club stated. Any request that creates a negative balance, the treasurer will advise the club leader, who could request additional funds from the Association, have a specific fund-raiser, request members to assist with the expense.
7. Interest if any generated on these funds left with the Association in trust will belong to the Association to assist in offsetting any banking fees levied to maintain these trust funds. Thus the club
will deposit a principal amount of funds and draw from the principal only when additional funds are needed.
8. If a club ceases to operate and has not given instructions to the Brant 4-H Association for the disbursement of any trust fund balance at the end of two (2) years, **if the club has not reorganized**, the remaining trust fund balance will become the property of the Brant 4-H Association to be used for the benefit of Brant 4-H members in general.
9. If Brant County 4-H as an association should dissolve, all money in possession shall be sent to 4-H Ontario in Trust.
**ANNUAL REPORT - Committee Reports and Association reports from the respective Chairs:**
In order that Brant County 4-H can have a comprehensive report, committees of the Association (Rally night, Judging night, etc.) must submit a written report to the Brant County 4-H Association secretary one month before the Annual Meeting. The report should include a description of the event, numbers of members attending and the evaluation report of the event. (The good and the bad and suggestions for next year.)
**EXTRA-CURRICULAR ACTIVITIES:**
(These are activities separate from normal club completion requirements)
As part of the 4-H program, we encourage members to participate in additional leadership opportunities. These opportunities include the Royal Winter Fair, Gencor Challenge, Discovery Days Judging days, and other opportunities. Some of these are considered day trips and others as overnight trips. Each of these is unique and warrants their own procedures and policies as follows;
- **Day Trips;**
- Brant County 4-H Association will follow all policies laid out by 4-H Ontario as it pertains to day trips
- All money collected (admission, gas, supplies, etc) prior to the trip and given to the Brant County 4-H Association, who will make sure the appropriate persons are paid with receipts given.
- **Overnight Trips:**
- Brant County 4-H Association will follow all policies laid out by 4-H Ontario as it pertains to overnight trips
- All money collected (admission, gas, supplies, etc) prior to the trip and given to the Brant County 4-H Association, who will make sure the appropriate persons are paid with receipts given.
BRANT COUNTY 4-H ASSOCIATION
POLICIES & PROCEDURES
DIRECTOR DUTIES:
Chairperson
• Shall be responsible for the general management and direction, subject to the authority of the Board, of the Association and transactions of the affairs of the Association and when present, preside at all meetings of the members of the Association and of the Board. The Chairperson shall have such other powers and duties as the Board may prescribe.
Vice-Chairperson
• Is responsible for keeping the Constitution and Policy and Procedures up to date
• With the assistance of the Immediate Past Chairperson, the Vice-Chairperson will fulfill the duties of any vacant position on the Board, other than member representative or Association Representative.
Secretary
• Assists the Chairperson to prepare the agenda.
• Handle all Association correspondence and read pertinent items at meetings.
• Records the minutes of each meeting.
Treasurer
• Keeps an accurate, up-to-date record of Association finances and gives a full account of all transactions to the Board at Association meetings.
Association Representative
• With Association support can run for the position of director on the Ontario 4-H Council Board of Directors
Immediate Past Chairperson
With the assistance of the Vice-Chairperson, the Immediate Past Chairperson will fulfill the duties of any vacant position on the Board, other than member representative or Association Representative.
Media Coordinator
• Newsletter editor in which the Newsletter is sent out via email, published on website, & Brant 4-H’s private Facebook Group.
• Manage website keeping news and events up to date.
• Manage Private and public Facebook groups keeping news and events up to date. Ensuring appropriate material is on these pages.
Fundraising Coordinator
• Focal point for any fund raising activities for the Association including any club fund raising events.
• Advises the board of any fund raising event seeks boards approval prior to the commencement of any event.
Manages and reports to the board activities and funds raised through the “Friends of 4-H” program.
**Leader Representative**
- Represents leader’s interests, concerns, requests bringing these to the attention of the Board
- Assists the Program Manager with any training to Volunteers
- Assist Program Manager in delivering Clover Bud Program
**Volunteer Coordinator**
- Volunteer screening contact for Brant 4-H
- Ensures all volunteers are screened and related procedures prior to becoming a Volunteer with Brant 4-H.
- Ensures all volunteer police checks are current with 4-H Ontario Council policy.
- Reports to the Board results of Screening Committee activities. *Screening Committee comprised of the Volunteer Coordinator, Vice Chairperson or Chairperson and one other Director.*
**Program Coordinator**
*Job description inserted here*
**Member Representative**
- Senior member who wishes to be part of the Board of Directors bring to the Board their ideas, vision from a member’s perspective. Link for all members of Brant 4-H to the Board of Directors. These members are required to complete the youth leader manual. These are non-voting members of the Board.
**CHANGES TO POLICY AND PROCEDURES**
- The Policy and Procedures may be amended at any proper Association meeting. Any proposed policy change must have been distributed by either email, fax, or mail to all current Directors 10 days prior to the Association meeting that the proposed policy change will be presented.
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Symmetrization of the Classical “Attack-defense” Model
Pavel Yuryevich Kabankov\textsuperscript{1}, Alexander Gennadevich Perevozchikov\textsuperscript{1}, Valery Yuryevich Reshetov\textsuperscript{2}, Igor Evgenievich Yanochkin\textsuperscript{1}
\textsuperscript{1}Department of System Design, JSC NPO RusBITekh-Tver, Tver, Russia
\textsuperscript{2}Faculty of Computational Mathematics and Cybernetics, Lomonosov Moscow State University, Moscow, Russia
Email address:
firstname.lastname@example.org (P. Y. Kabankov), email@example.com (A. G. Perevozchikov), firstname.lastname@example.org (V. Y. Reshetov), email@example.com (I. E. Yanochkin)
To cite this article:
Pavel Yuryevich Kabankov, Alexander Gennadevich Perevozchikov, Valery Yuryevich Reshetov, Igor Evgenievich Yanochkin. Symmetrization of the Classical “Attack-defense” Model. Science Journal of Applied Mathematics and Statistics. Vol. 8, No. 1, 2020, pp. 1-10. doi: 10.11648/j.sjams.20200801.11
Received: December 7, 2019; Accepted: December 18, 2019; Published: January 7, 2020
Abstract: The article considers Germeyer’s “doubled” classic “attack-defense” game, which is symmetrical for the participants in the sense that in one game each participant is an “attack” party and in the other game each participant is a “defense” party. This corresponds to the logic of bilateral active-passive operations, when the parties simultaneously conduct defensive-offensive operations against each other. The mathematical expectation of the number of destroyed enemy means is taken as criteria for the effectiveness of the parties, which should be maximized implicitly. Thus, both sides are placed in a “defense” position. Under otherwise equal conditions, the parties strive to minimize shares aimed at defense, guided by a strategy of reasonable sufficiency of defense. The authors study Pareto-dominated equilibria depending on the initial ratio of the parties’ forces and, in particular, the extreme points of Pareto sets. Formulas are obtained for such equilibria depending on the parties’ balance of forces, which allows us to build a dynamic expansion of the model in the future. The main research method is the parametrization of Nash’s equilibria. The parameterization of the equilibria shows that they fill the two-dimensional subregion of a unit square with a boundary. Therefore, for its narrowing, it makes sense to distinguish from it the Pareto-non-dominated part of the boundary and its extreme points. The latter provide an opportunity to assess the maximum share of the strike means of the parties, which they can afford to allocate without prejudice to the defense. It is shown that these fractions represent piecewise continuous functions of the initial ratio of the parties’ forces and explicit expressions for them are obtained. A numerical example of the construction of the Pareto-non-dominated part of the boundary and its extreme points is given.
Keywords: Germeyer’s Classical “Attack-Defense” Game, Multi-Turn Generalization, Best Guaranteed Result of Defense, Game’s “Doubling”, Equilibrium Strategies Parameterization, Pareto-Minimal Set of Equilibria, Pareto-Minimal set Extreme Points
1. Introduction
The work is based on the results from [1-2] and is a further development of the constructions in [3-4]. Germeyer’s classical “attack-defense” model was defined and studied in [5]. It is a modification of the Gross’ model [6]. In the military models points are usually interpreted as directions and characterize the spatial distribution of defense resources across the width. However, in reality there is also a spatial distribution of defense resources in depth, characterized by the number of levels of defense lines in this direction.
The simplest model was proposed in [5], taking into account the defense’s lines. A game model that generalized the Gross and Germeyer models was studied in [7]. In this model a constructive description of the set of all optimal mixed attack strategies was obtained. The Gross’s model with the opposite interests of the parties was studied in [8], and dynamic extensions of the model were studied in [9, 10], a direct generalization of the attack-defense game on networks describing the topology of the paths leading to defended objects was proposed in [11].
The further generalization of the classical “attack-defense” game may consist in its symmetrization, which leads in the general case to problems of finding equilibria with concave
criteria, that can be reduced to solving a system of inclusions [12]. The parameterization of the equilibria shows that they fill the two-dimensional subregion of a unit square with a boundary. Therefore, for its narrowing, it makes sense to distinguish from it the Pareto-non-dominated part of the boundary and its extreme points. The latter provide an opportunity to assess the maximum share of the strike means of the parties, which they can afford to allocate without prejudice to the defense. It is shown that these fractions represent piecewise continuous functions of the initial ratio of the forces of the parties and explicit expressions for them are obtained, which can be used in the dynamic expansion of the model according to the scheme [13].
2. The Simplest Multi-Line Generalization of the Model
The simplest model, taking into account the defense’s lines, consists in modifying the classical model [5], in which the function of attack’s winning has the form [1]:
\[
f(x, y) = \sum_{i=1}^{n} \max \left[ q_i^T x_i; x_i - p_i r_i y_i \right]
\]
(1)
and the vectors \(x, y\) belong to the sets
\[
M = \left\{ x \in E^n_x \left| \sum_{i=1}^{n} x_i = X \right. \right\}, N = \left\{ y \in E^n_y \left| \sum_{i=1}^{n} y_i = Y \right. \right\},
\]
(2)
where \(T_i\) is the number of defense lines in the \(i\)-th direction \(i = 1, \ldots, n\), \(r_i\) – the maximum number of actions that one unit of defense can produce, \(p_i\) – the probability of hitting one enemy attack means with one effect in the \(i\)-th direction, which is assumed to be independent from the number \(i = 1, \ldots, T_i\) of the defense line, \(q_i = 1 - p_i\) – the corresponding probability of non-defeat, \(X\) and \(Y\) is the total number of attack and defense means, which are considered homogeneous and infinitely divisible, \(x_i\) and \(y_i\) – the number of attack and defense means in the \(i\)-th direction. In particular, formally, when \(p_i = 1\) we obtain the Germeier’s classical model [5].
The content of the model is interpreted as follows: the attack party strive to maximize the total amount of means that break through, distributing its means in \(n\) directions. Defense party, on the contrary, strive to minimize the number of means that break through by distributing its means in \(n\) directions. In each direction, the attack party must overcome the layered defense of the enemy. The result of a combat collision at one defense line is given by a function
\[
x_i' = \max \left[ q_i x_i; x_i - p_i r_i y_i \right]
\]
that is the result of the Osipov-Lanchester’s discrete one-step model of dynamics of average. It is obtained as follows: the number of attack means that have received an impact at a given line is \(n_i = \min \left[ x_i; r_i y_i \right]\) providing that exactly one defense means effect one attack means. The mathematical amount of attack’s losses will be \(m_i = p_i r_i\). As a result, the mathematical expectation of the number of means that break through will be
\[
x_i' = x_i - m_i = \max \left[ q_i x_i; x_i - p_i r_i y_i \right].
\]
The final formula for the mathematical expectation of attack means overcoming all \(T_i\) defense’s lines will be
\[
x_i' = \max \left[ q_i^T x_i; x_i - p_i r_i u_i \right]
\]
taking into account the optimization for the defense party of the distribution of its means \(y_i\) at the lines and derived in [1].
Using the convexity of the function \(f(x, y)\), it was proved for this antagonistic game (see [1]) that the best guaranteed result (BGR) of defense
\[
v = \max(X \max_{i=1,2,\ldots,n} q_i^T \cdot X - Y(\sum_{i=1}^{n} \frac{1}{D_i P_i})^{-1}))
\]
(3)
will be the value of the game and the minimax defense strategy is optimal. In this case, the optimal attack strategy is a mixed strategy, consisting in concentrating all forces in one direction in accordance with the optimal probability distribution, which can be obtained by the formulas given in [1].
Let’s denote for brevity
\[
Q = \max_{i=1,2,\ldots,n} q_i^T, P = 1 - Q, t = (\sum_{i=1}^{n} \frac{1}{D_i P_i})^{-1}.
\]
(4)
3. Model’s Symmetrization
Let’s suppose that strike forces and defense forces take part in a game of two sides \(B, A\). The proportion of strike forces and defense forces is \(\sigma^B, \sigma^A\) from the total number of parties’ means \(Y^B, Y^A\). Then the losses of the opposite sides will be according to formula (3), taking into account the accepted notation (4)
\[
F(\sigma^B, \sigma^A) = Y^A (1 - \sigma^A) -
\]
\[
- \max \{Q^B Y^A (1 - \sigma^A), Y^A (1 - \sigma^A) - t^B Y^B \sigma^B\} =
\]
(5)
\[
= \min(P^B Y^A (1 - \sigma^A), t^B Y^B \sigma^B),
\]
and
\[
G(\sigma^B, \sigma^A) = Y^B (1 - \sigma^B) -
\]
\[
- \max \{Q^A Y^B (1 - \sigma^B), Y^B (1 - \sigma^B) - t^A Y^A \sigma^A\} =
\]
(6)
\[
= \min(P^A Y^B (1 - \sigma^B), t^A Y^A \sigma^A).
\]
The payment functions of the parties are continuous and concave; therefore, by virtue of Theorem 8 in [12, p. 90], there are situations of parties’ equilibrium that satisfying the inclusions
\[ \sigma_B^B \in \Sigma(\sigma_A^A), \sigma_A^A \in \Xi(\sigma_B^B), \]
(7)
where
\[ \Sigma(\sigma_A^A) = \text{Arg} \max_{\sigma_A^A \in [0,1]} F(\sigma_B^B, \sigma_A^A), \]
\[ \Xi(\sigma_B^B) = \text{Arg} \max_{\sigma_A^A \in [0,1]} G(\sigma_B^B, \sigma_A^A) - \]
(8)
sets of the parties’ best answers. In this case, it can be easy to find explicitly.
\[ \Sigma(\sigma_A^A) = [\min(\frac{P^B Y^A (1-\sigma_A^A)}{t^B Y^B}, 1); 1], \]
\[ \Xi(\sigma_B^B) = [\min(\frac{P^A Y^B (1-\sigma_B^B)}{t^A Y^A}, 1); 1]. \]
(9)
Or
\[ \Sigma(\sigma_A^A) = \begin{cases}
\{1\}, & 0 \leq \sigma_A^A \leq 1 - \frac{t^B Y^B}{P^B Y^A}, \\
[\frac{P^B Y^A (1-\sigma_A^A)}{t^B Y^B}, 1], & 1 - \frac{t^B Y^B}{P^B Y^A} \leq \sigma_A^A \leq 1,
\end{cases} \]
(10)
and
\[ \Xi(\sigma_B^B) = \begin{cases}
\{1\}, & 0 \leq \sigma_B^B < 1 - \frac{t^A Y^A}{P^A Y^B}, \\
[\frac{P^A Y^B (1-\sigma_B^B)}{t^A Y^A}, 1], & 1 - \frac{t^A Y^A}{P^A Y^B} \leq \sigma_B^B \leq 1.
\end{cases} \]
(11)
4. Parameterization of Equilibria
Parameterization of all Nash’s equilibria can be obtained by choosing specific points from segments (9) in inclusion (7),
\[ \sigma_B^B = (1-\lambda) \min(\frac{P^B Y^A (1-\sigma_A^A)}{t^B Y^B}, 1) + \lambda, \]
\[ \sigma_A^A = (1-\mu) \min(\frac{P^A Y^B (1-\sigma_B^B)}{t^A Y^A}, 1) + \mu, \]
(12)
where
\[ \lambda, \mu \in [0,1] \]
(13)
- some parameters.
Equilibria correspond to points satisfying the conditions
\[ 0 \leq \sigma_A^A \leq 1, 0 \leq \sigma_B^B \leq 1. \]
(14)
Let’s consider a subset \( \Omega \subseteq [0,1] \times [0,1] \) of such pairs \( (\lambda, \mu) \) under the conditions (12) - (14) are compatible. The mathematical expectation of the number of destroyed enemy means is taken as criteria for the effectiveness of the parties, which should be implicitly. Thus, both sides are placed in a “defense” position. The strategy of each side is the share of forces directed to defense. Let’s suppose that under otherwise equal conditions, the parties adhere to a strategy of reasonable defense adequacy. The desire to minimize the shares \( \sigma_B^B, \sigma_A^A \) allocated for defense can be formalized by considering its one-dimensional subset \( \Omega' \) of Pareto-minimal points \( (\lambda, \mu) \in \Omega \) and its images \( (\sigma_B^B, \sigma_A^A) \). Therefore, further the Pareto-dominated equilibria (12) - (14) are studied depending on the initial ratio of the parties forces and, in particular, the extreme points of the Pareto sets.
For the attack party, which has a noticeable excess of the balance of forces in its favor, it makes sense to choose an equilibrium corresponding to the minimum value of the share allocated to cover. The minimization of the criterion \( \sigma_B^B(\lambda, \mu) \) on the set \( \Omega' \) of Pareto-non-dominated equilibria gave such a solution. We will call it a solution of the minimum sufficiency of defense for the attack party. Note that in this case \( \sigma_A^A(\lambda, \mu) \) reaches a maximum on the set \( \Omega' \) due to the Pareto’s non-dominance.
Let’s suppose that \( Y^B, Y^A > 0 \). Denote the ratio of the parties forces the from the point of view \( B \) by \( x = Y^B / Y^A \). Assume, following [14], that the conditions are correct
\[ P^B / t^B < 1, P^A / t^A < 1. \]
(15)
Let’s consider the various cases that arise when the minima are revealed in (12). Depending on whether the minimum in the first and second equations in (12) is equal to the left (L) or right (R) expression, we’ll consider the LL, LR, RL, and RR options.
4.1. The Main Case LL
Let’s suppose that the minima in (12) are reached on the first component. Then (12), (14) are equivalent to the system
\[ \sigma_B^B = \frac{(1-\lambda) P^B Y^A (1-\sigma_A^A)}{t^B Y^B} + \lambda, \sigma_A^A = \frac{(1-\mu) P^A Y^B (1-\sigma_B^B)}{t^A Y^A} + \mu, \]
(16)
with conditions
\[ 1 - \frac{t^B Y^B}{P^B Y^A} \leq \sigma_A^A \leq 1, 1 - \frac{t^A Y^A}{P^A Y^B} \leq \sigma_B^B \leq 1, \]
(17)
Remark 1. The point \( (\sigma_B^B, \sigma_B^B) = (1,1) \) is always the equilibrium and corresponds to the point \( (\lambda, \mu) = (1,1) \in \Omega \). Therefore, it is interesting to obtain conditions under which \( (\lambda, \mu) = (0,0) \in \Omega \), i.e. \( \Omega = [0,1] \times [0,1] \) and \( \Omega' = \{(0,0)\} \) consists of a single point.
System (16), (17), when \( (\lambda, \mu) = (0,0) \) taking into account the accepted notation, has the form of conditions
It is easy to verify that the left inequalities in (19) to be verified, taking into account (18), are collectively equivalent to the right. Therefore, system (19) is equivalent to the conditions
\[
\sigma^B = \frac{P^B}{t^B} \frac{1 - \sigma^A}{x}, \quad \sigma^A = \frac{P^A}{t^A} x(1 - \sigma^B),
\] (18)
and
\[
1 - \frac{t^B}{P^B} x \leq \sigma^A \leq 1, \quad 1 - \frac{t^A}{P^A} \frac{1}{x} \leq \sigma^B \leq 1.
\] (19)
It is easy to verify that the left inequalities in (19) that were subjects to verification are collectively equivalent to the right inequalities taking into account (18). Therefore the system (19) is equivalent to the conditions
\[
1 - \frac{t^B}{P^B} x \leq \sigma^A, \quad 1 - \frac{t^A}{P^A} \frac{1}{x} \leq \sigma^B,
\] (20)
and
\[
\sigma^A, \sigma^B \geq 0.
\] (21)
4.1.1. Case When the Left Sides in (20) Are Nonpositive
We’ll First Consider the Case When the Left Sides in (20) Are Nonpositive, then (21) Implies (20) and the Solution to the System (18), (20) - (21) Relatively \( x \) Is the Segment
\[
\frac{P^B}{t^B} \leq x \leq \frac{t^A}{P^A}.
\] (22)
Note that due to inequalities (15), the right side of (22) is larger than the left one.
Let’s solve system (18) with respect to \( \sigma^B \):
\[
\sigma^B = \frac{P^B}{t^B} \frac{(1 - \frac{P^A}{t^A} x)}{x(1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A})}.
\] (23)
Then \( \sigma^B \geq 0 \) by virtue of (15), (22). It follows from (20) that \( \sigma^A, \sigma^A \leq 1 \), whence it follows that
\[
\sigma^A = \frac{P^A}{t^A} x(1 - \sigma^B) \geq 0.
\] (24)
Thus \( (\lambda, \mu) = (0, 0) \in \Omega \) in case (22).
4.1.2. Case When \( (\lambda, \mu) = (0, 0) \notin \Omega \)
Let’s Now
\[
x > \frac{t^A}{P^A} > \frac{P^B}{t^B}.
\] (25)
Then condition (20) is equivalent to the right inequality
\[
1 - \frac{t^A}{P^A} \frac{1}{x} \leq \sigma^B,
\] (26)
which should be solved in conjunction with (21). However, the latter is false due to the fact that \( \sigma^B < 0 \) by virtue of (23). Thus, under condition (25), the point \( (\lambda, \mu) = (0, 0) \notin \Omega \).
4.1.3. Symmetric Case
Let’s Now
\[
x < \frac{P^B}{t^B} < \frac{t^A}{P^A}.
\] (27)
Remark 2. Case (27) is symmetric (25); therefore, it can not be considered separately. In fact, condition (22) is invariant with respect to the replacement \( B \) by \( A \) and \( x \) by \( \frac{1}{x} \), whereby case (27) goes over into (25).
Thus, the following theorem is valid.
Theorem 1. A necessary and sufficient condition that the set \( \Omega' \) consist of a single point \( \{(0, 0)\} \) is condition (22).
Remark 3. The only solution that appears in Theorem 1 is stable provided that the latter adheres to a strategy of reasonable sufficiency of defense, i.e. it strive to minimize the share of its funds allocated for defense when reaching the maximum of its criterion, as the second parties in the Stackelberg equilibrium (see [12], p. 122). Therefore, it can be called the Stackelberg symmetrized equilibrium.
Remark 4. It seems unnatural to play along with your opponent in the war game using the strategies of the second players in the Stackelberg equilibria, but this contradiction is easily eliminated by moving to the vector criteria of the parties \( (F(\sigma^B, \sigma^A), 1 - \sigma^B) \) and \( (G(\sigma^B, \sigma^A), 1 - \sigma^A) \), accordingly, to the lexicographic equilibrium, which is defined similarly to the classical Nash’s equilibrium using the concept of the lexicographic maximum of the vector criterion. This equilibrium will also be equivalent to a system of inclusions of parties strategies to point-to-multiple mappings that implement the lexicographic maximum of each party, as multivalued functions of the strategy of the opposite side. After that, each party “plays along” with itself according to the second criterion \( 1 - \sigma^B \) and \( 1 - \sigma^A \) accordingly. We prefer to stay in this article within the framework of the formalism of Stackelberg symmetrized equilibrium so as not to complicate the proof of the main results, since the second criteria are equivalent to the criteria \( G(\sigma^B, \sigma^A) \) and \( F(\sigma^B, \sigma^A) \) in the sense of monotonicity by \( 1 - \sigma^B \) and \( 1 - \sigma^A \), accordingly, by the definition of criteria (5), (6).
4.1.4. Researching the Obtained Solution
The general solution of system (16) relatively \( \sigma^B \) has the form
\[
\sigma^B = 1 - \frac{P^B}{x - \frac{t^B}{t^A} - 2} \frac{x - \frac{t^B}{t^A}}{xg(\lambda, \mu)},
\] (28)
where indicated for brevity
\[
g(\lambda, \mu) = 1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A} (1 - \lambda)(1 - \mu) > 0.
\] (29)
In order to $\sigma^B < 1$ it is need to
$$x - \frac{P^B}{t^B} - \lambda > 0.$$
(30)
Derivatives $\sigma^B$ of $\lambda, \mu$ has the form
$$\sigma^B_\lambda = \frac{g(\lambda, \mu) + (x - \frac{P^B}{t^B} - \lambda)g_x(\lambda, \mu)}{xg^2(\lambda, \mu)}, \quad \sigma^B_\mu = \frac{(x - \frac{P^B}{t^B} - \lambda)g_y(\lambda, \mu)}{xg^2(\lambda, \mu)}$$
and are positive under condition (30) by virtue of the inequalities
$$g_\lambda(\lambda, \mu) = \frac{P^B}{t^B} - \frac{P^A}{t^A}(1 - \mu)) > 0, g_\mu(\lambda, \mu) = \frac{P^B}{t^B} - \frac{P^A}{t^A}(1 - \lambda)) > 0,$$
that correct at $\lambda < 1, \mu < 1$.
4.2. Additional Case LL
We'll solve system (16), (17) in the general case when condition (22) is not satisfied, i.e.
$$x \not\in \left[\frac{P^B}{t^B}, \frac{t^A}{P^A}\right].$$
(31)
Let's suppose for definiteness, that case (25) holds, i.e. the side $B$ has an advantage in the balance of forces. Case (27) is symmetric by virtue of Remark 5; therefore, it can not be considered separately.
The solution of system (16) - (17) relatively $\sigma^B$ has the form (31)
$$\sigma^B = \frac{\frac{P^B}{t^B} - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A} x(1 - \lambda)(1 - \mu) + \lambda}{x(1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A}(1 - \lambda)(1 - \mu))}.$$
(32)
$$x \leq (\frac{\frac{P^B}{t^B} + \lambda}{1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A}(1 - \lambda)(1 - \mu)} + \frac{t^A}{P^A})(1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A}(1 - \lambda)(1 - \mu)) =$$
$$= \frac{P^B}{t^B} + \lambda + \frac{t^A}{P^A}(1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A}(1 - \lambda)(1 - \mu)) = \frac{P^B}{t^B} + \lambda + \frac{t^A}{P^A} - \frac{P^B}{t^B}(1 - \lambda)(1 - \mu).$$
In the view of (35), we finally obtain the condition
$$\frac{P^B}{t^B} + \lambda \leq x \leq \frac{P^B}{t^B} + \lambda + \frac{t^A}{P^A} - \frac{P^B}{t^B}(1 - \lambda)(1 - \mu).$$
(36)
Thus, the set $\Omega$ of admissible $(\lambda, \mu)$ in case (25) is determined by conditions (13), (36).
By virtue of (32) $\sigma^B(\lambda, \mu)$ it can be represented in the form (31)
Inequality (17) is equivalent to the right inequality
$$1 - \frac{t^A}{P^A} \frac{1}{x} \leq \sigma^B,$$
which should be solved in conjunction with the condition
$$\sigma^B \leq 1.$$
(34)
In fact, it follows from (14) and (33) that $\sigma^B \geq 0$, and the condition is equivalent to the condition
$$\frac{P^A Y^B (1 - \sigma^B)}{t^A Y^A} \leq 1,$$
which is a consequence of (33).
Condition (34) is equivalent to the inequality
$$\frac{P^B}{t^B} + \lambda \leq x.$$
(35)
The condition (33) is remains, which, taking into account (32), takes the form
$$\frac{\frac{P^B}{t^B} - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A} x(1 - \lambda)(1 - \mu) + \lambda}{x(1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A}(1 - \lambda)(1 - \mu))} \geq 1 - \frac{t^A}{P^A} \frac{1}{x}.$$
The latter is equivalent to the inequality
$$1 - \frac{x}{1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A}(1 - \lambda)(1 - \mu)} + \frac{t^A}{P^A} \geq 1 + \frac{\frac{P^B}{t^B} - \frac{P^A}{t^A}(1 - \lambda)(1 - \mu)}{1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A}(1 - \lambda)(1 - \mu)}.$$
Hence we obtain the condition
$$\sigma^B = 1 - \frac{x - \frac{P^B}{t^B} - \lambda}{x(1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A}(1 - \lambda)(1 - \mu))}.$$
(37)
Let's note that by virtue of condition (36), the fraction on the right side is a non-negative quantity.
Theorem 2. Let's suppose that condition (25) is satisfied. Then the necessary condition for the minimality of the
criterion $\sigma^B(\lambda, \mu)$ on the set $\Omega$ is the conditions $\lambda = 0$ or $\mu = 1$.
Evidence. If for some $(\lambda, \mu) \in \Omega$ the conditions $\lambda > 0, \mu < 1$ are true, then there exists such a point $(\lambda', \mu') \in \Omega$ that $\lambda' < \lambda, \mu' > \mu$ and the value of the function
$$g(\lambda, \mu) = \lambda - \frac{P^B}{t^B}(1-\lambda)(1-\mu)$$
remained unchanged. This follows from the strict increase of this function with $\lambda, \mu$ and respect to condition (36), which together with (13) defines the set $\Omega$. Moreover, the value of the function $\sigma^B(\lambda, \mu)$ decreases according to the obtained expression (37), which contradicts the minimality of the criterion $\sigma^B(\lambda, \mu)$ on the set $\Omega$. It follows that the conditions $\lambda = 0$ or $\mu = 1$ are the necessary condition for the minimality of $\sigma^B(\lambda, \mu)$.
Theorem 2 allows us to find all the minimum points of the criterion $\sigma^A(\lambda, \mu)$ on the set $\Omega$ in case (25).
4.2.1. Conditions for $x$, Under Which $\lambda = 0$
Let's Find the Conditions for $x$, Under Which $\lambda = 0$, i.e. $\sigma^B(\lambda, \mu)$ Reaches an Absolute Minimum. Substituting in (31), Taking into Account the condition (25), We'll Obtain the Inequality
$$x \leq \frac{P^B}{t^B} + \frac{t^A}{P^A} - \frac{P^B}{t^B}(1-\mu) = \frac{t^A}{P^A} + \frac{P^B}{t^B}\mu.$$ \hspace{1cm} (38)
On the right side of (38) is an increasing function from $\mu \in [0,1]$. Substituting the extreme values, we'll obtain the boundaries of a possible change of $x$
$$\frac{t^A}{P^A} \leq x \leq \frac{t^A}{P^A} + \frac{P^B}{t^B}. \hspace{1cm} (39)$$
Moreover, the $\mu$ value should be chosen as low as possible, taking into account the strategy of necessary sufficiency of the $A$ player’s defense. Therefore, (38) is satisfied as an equality, whence we'll obtain a solution of the $B$ player’s minimum sufficiency
$$\lambda = 0, \mu = \frac{t^B}{P^B}(x - \frac{t^A}{P^A}). \hspace{1cm} (40)$$
Note that when the range (39) runs through, the $\mu$ value changes from 0 to 1. Thus, the following lemma is proved.
Lemma 1. Let's suppose that conditions (14), (22) are satisfied. Then a necessary and sufficient condition for the point (40) to be a solution of the $B$ player’s minimum sufficiency is condition (39).
Example 1. Let's suppose that there are $n=1$ directions with $T=1$ so that $t=pr$ and $Q=q, P=p$. Let $r^B=1, r^A=2, x=2.5$. It is required to construct a Pareto set of parameters $(\lambda, \mu)$.
Solution. Condition (39)
$$\frac{t^A}{P^A} = r^A = 2 \leq x = 2.5 \leq \frac{t^A}{P^A} + \frac{P^B}{r^B} = r^A + \frac{1}{r^B} = 3.$$
is satisfy. Consequently, the permissible values of the parameter vector $(\lambda, \mu)$ is satisfy inequality (36) where only the right one is nontrivial, which takes the form
$$x = 2.5 \leq \frac{P^B}{r^B} + \lambda + \frac{t^A}{P^A} - \frac{P^B}{r^B}(1-\lambda)(1-\mu) = 3 + \lambda - (1-\lambda)(1-\mu).$$
The latter is equivalent to the inequality
$$0.5 + \lambda \geq (1-\lambda)(1-\mu) = 1 - \lambda - \mu + \lambda \mu.$$
The equality holds on the Pareto border, whence, taking into account conditions (13), we'll obtain its parametric notation in the form
$$\lambda = \frac{0.5 - \mu}{2 - \mu}, 0 \leq \mu \leq 0.5.$$
Note that the point (40)
$$\lambda = 0, \mu = \frac{t^B}{P^B}(x - \frac{t^A}{P^A}) = 0.5$$
represents its extreme point corresponding to the strategy of minimum sufficiency of the $B$ side defense, i.e. providing a minimum value of $\sigma^B$ or a minimum value $\lambda = 0$, which can be verified by substituting the value $\mu = 0.5$ obtained by formula (40) into the found parametric representation of the Pareto boundary.
The set $\Omega$ and its Pareto boundary $\Omega'$ are shown in the Figure 1.
4.2.2. The Case When
\[ x > \frac{t^A}{P^A} + \frac{P^B}{t^B} > \frac{P^B}{t^B} + \lambda. \] (41)
Then the left inequality in (36) is satisfy, and the right inequality for minimal equilibria on \( \sigma^B \) is satisfy as equality
\[ x = \frac{P^B}{t^B} + \lambda + \frac{t^A}{P^A} - \frac{P^B}{t^B}(1-\lambda)(1-\mu). \]
This follows from condition (30) of the strict increase of the function \( \sigma^B \) on \( \lambda, \mu \), which in this case is satisfied by virtue of (41).
Since \( \lambda = 1 \) is impossible due to the conditions of the previous paragraph, then the minimal solution on \( \sigma^A \) is obtained when \( \mu = 1 \), i.e. when
\[ x = \lambda + \frac{t^A}{P^A}, \]
where we get
\[ \lambda = x - \frac{t^A}{P^A}. \] (42)
Moreover, it follows from (41) that
\[ \lambda = x - \frac{t^A}{P^A} > \frac{P^B}{t^B} > 0, \]
The condition \( \lambda \leq 1 \), is remains which by virtue of (42), is equivalent to the inequality
\[ x \leq \frac{t^A}{P^A} + 1. \] (43)
Combining (41) and (43), we'll obtain the boundaries of a possible change of \( x \)
\[ \frac{t^A}{P^A} + \frac{P^B}{t^B} < x \leq \frac{t^A}{P^A} + 1. \] (44)
Moreover, the minimal solution on \( \sigma^B \) has the form
\[ \lambda = x - \frac{t^A}{P^A}, \mu = 1. \] (45)
Note that when \( x \) runs through the range (44) the \( \lambda \) value changes from \( \frac{P^B}{t^B} \) to 1. Thus, the following lemma is proved.
Lemma 2. Let's suppose that conditions (14), (41) are satisfied. Then a necessary and sufficient condition for the point (45) to be a solution of the \( B \) player’s minimum sufficiency is condition (44).
4.3. LR and RL Options
Lemma 3. Under condition (15) and
\[ x \geq \frac{t^A}{P^A}, \frac{1}{1-\lambda}, \lambda \in [0,1), \] (46)
there is only one minimal equilibrium on \( \sigma^B \)
\[ \sigma^B = \lambda, \sigma^A = 1. \] (47)
Proof. In fact, in the LP option we’ll get
\[ \sigma^B = \lambda, \sigma^A = 1, \]
under conditions
\[ 1 - \frac{t^B}{P^B} x \leq \sigma^A = 1 \leq 1, 0 \leq \sigma^B = \lambda \leq 1 - \frac{t^A}{P^A} \frac{1}{x}, \]
from which only the right inequality in the right double inequality is nontrivial, which is equivalent to the condition
\[ x \geq \frac{t^A}{P^A} \frac{1}{1-\lambda}. \]
Remark 5. When
\[ x \leq \frac{P^B}{t^B}(1-\mu), \mu \in [0,1), \]
there is only one minimal equilibrium \( \sigma^B = 1, \sigma^A = \mu \) on \( \sigma^A \). This follows from symmetry by virtue of Remark 2.
4.4. RR Option
In this case equilibria do not exist. This can be seen directly from the general parametric representation of equilibria (12) - (14). In fact, in this case the restrictions has the form
\[ 0 \leq \sigma^A = 1 < 1 - \frac{t^B}{P^B} x, 0 \leq \sigma^B = 1 < 1 - \frac{t^A}{P^A} \frac{1}{x} \]
and obviously incompatible.
4.5. Comparison of Minimum Equilibria on \( \sigma^B \)
4.5.1. Minimum Equilibria on \( \sigma^B \)
Under Condition (39), the Minimum Equilibria on \( \sigma^B \) Obtained in Lemmas 1 and 3 Are Comparable. By Lemma 1, the Solution of the Necessary Sufficiency of Defense for the Side \( B \) is (40)
\[ \lambda = 0, \mu = \frac{t^B}{P^B}(x - \frac{t^A}{P^A}). \] (48)
By the formula (28) we’ll obtain
\[ \sigma^B = 1 - \frac{x - \frac{P^B}{t^B} - \lambda}{xg(\lambda, \mu)}, \] (49)
where according to (3.18)
\[ g(\lambda, \mu) = 1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A} (1 - \mu)(1 - \lambda). \] (50)
Substituting the expression for \( \mu \) from (48) into (50) when \( \lambda = 0 \), we’ll obtain
\[ g(\lambda, \mu) = 1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A} (1 - \frac{t^B}{P^B}(x - \frac{t^A}{P^A})) = \frac{P^A}{t^A} (x - \frac{P^B}{t^B}). \] (51)
Whence, by virtue of (49) when \( \lambda = 0 \), we’ll obtain
\[ \sigma^B = 1 - \frac{t^A}{xP^A}. \] (52)
Now, by formula (32), we have
\[ \sigma^A = (1 - \mu)x \frac{P^A}{t^A} \frac{x - \frac{P^B}{t^B}}{xg(\lambda, \mu)} + \mu = (1 - \mu)x \frac{P^A}{t^A} - \frac{t^A}{xP^A} + \mu = 1. \] (53)
There is the condition (46) by Lemma 3 under condition (39)
\[ x \geq \frac{t^A}{P^A} \cdot \frac{1}{1 - \lambda}, \lambda \in [0, 1), \] (54)
when
\[ \lambda = 1 - \frac{t^A}{xP^A}. \] (55)
Therefore, there is a solution of the necessary sufficiency of defense for the \( B \) party (47)
\[ \sigma^B = \lambda, \sigma^A = 1, \] (56)
which coincides with (52), (53) taken into account (55).
Thus, the LL and LR options provide the same solution.
### 4.5.2. Dominates the Solution
Under Condition (44), the Solutions Obtained in Lemmas 2 and 3 Are Comparable. By Lemma 2, the Solution Is (45)
\[ \lambda = x - \frac{t^A}{P^A}, \mu = 1. \] (57)
By the formula (49) we’ll obtain
\[ \sigma^B = 1 - \frac{x - \frac{P^B}{t^B} - \lambda}{xg(\lambda, \mu)} = 1 - \frac{\frac{t^A}{P^A} - \frac{P^B}{t^B}}{x}, \] (58)
since, according to (50) \( g(\lambda, \mu) = 1 \) when \( \mu = 1 \).
Moreover, according to (53) when \( \mu = 1 \), we’ll obtain
\[ \sigma^A = 1. \]
By Lemma 3, there exists a solution (55), (56)
\[ \sigma^B = 1 - \frac{t^A}{xP^A}, \sigma^A = 1, \] (59)
which dominates the solution (58), (59).
Thus, the LR option provides a better solution than LL option.
### 4.5.3. Case When There Are no Solutions
When
\[ x > \frac{t^A}{P^A} + 1, \]
in the LL option, and in the LR option there is a solution (59).
From 4.1 – 4.3 it follows that the following theorem is correct.
**Theorem 3.** In the case (26)
\[ x > \frac{t^A}{P^A}, \]
the LR option provides the solution of the necessary defense sufficiency for the \( B \) party (59) no worse than the solutions of the LL option.
The classification of non-dominant equilibria of minimum defense sufficiency for the \( B \) party is presented in the table 1.
**Table 1. Classification of non-dominated solutions \( \sigma^B \) of the minimum defense sufficiency for the \( B \) party when \( t^B \geq P^B, t^A \geq P^A \) and**
\[ \sigma^A = (1 - \mu)P^A / t^A \cdot x(1 - \sigma^B) + \mu, g(\lambda, \mu) = 1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A} (1 - \mu)(1 - \lambda). \]
| N | Range \( x = y^B / y^A \) | Options \( (\lambda, \mu) \) | Share of \( \sigma^B \) |
|---|-----------------|-----------------|-----------------|
| 1 | \[ P^B / t^B, t^A / P^A \] | \((0, 0)\) | \( \frac{P^B / t^B (1 - xP^A / t^A)}{x(1 - P^B / t^B \cdot P^A / t^A)}. \) |
| 2 | \[ t^A / P^A, t^A / P^A + P^B / t^B \] | \((0, P^B / t^B (1 - t^A / P^A))\) | \( 1 - (x - P^B / t^B - \lambda) / (xg(\lambda, \mu)) \) |
| 3 | \[ t^A / P^A + P^B / t^B, t^A / P^A + 1 \] | \((x - t^A / P^A, 1)\) | \( 1 - (t^A / P^A - P^B / t^B) / x \) |
| 4 | \[ t^A / P^A, \infty \] | \((x - t^A / P^A, 1)\) | \( 1 - t^A / (xP^A) \) |
Remark 6. Solutions 1 and 3 represent a special case of solution 2. We remain the solution 3, although it is dominated by solution 4, since cases 1-3 correspond to the most interesting case of LL, when the Pareto boundary $\Omega^*$ of the set $\Omega$ is different from \{(1,1)\}.
Remark 7. For non-dominated equilibria of minimal sufficiency for the $A$ party the solutions are obtained from symmetry when the indices of the parties are replaced by opposite ones.
Remark 8. The obtained formulas for $\sigma^B$ and $\sigma^A$ can be used in the dynamic extension of the model according to the scheme [13], in which the equations of system’s motion will have the form:
$$Y^A_{k+1} = \max\{Q^B Y^A_k (1 - \sigma^A_k), Y^A_k (1 - \sigma^A_k) - t^A Y^A_k \sigma^A_k\} + Y^A_k \sigma^A_k$$
(60)
and
$$Y^B_{k+1} = \max\{Q^A Y^B_k (1 - \sigma^B_k), Y^B_k (1 - \sigma^B_k) - t^A Y^A_k \sigma^A_k\} + Y^B_k \sigma^B_k,$$
(61)
where
$$x_k = Y^B_k / Y^A_k, k = 0, 1, ...$$
Remark 9. The question is, what solutions remain when condition (15) $P^B / t^B < 1, P^A / t^A < 1$ is not satisfied?
The solution (0,0) in the parametric form on the first interval $[P^B / t^B, P^A / t^A]$ remain if $P^B / t^B \leq P^A / t^A$ and $P^B / t^B \cdot P^A / t^A < 1$.
For example, $P^B / t^B = 1,5; P^A / t^A = 0,5$. Then $P^B / t^B = 1,5 \leq t^A / P^A = 2$ and $P^B / t^B \cdot P^A / t^A = 0,75 < 1$.
The solution on the remaining half-interval $x \geq P^A / t^A$ has the usual form $(1-t^A/(xP^A),1)$ in a parametric form, which allows us to build a dynamic extension of the model according to the previous scheme.
4.6. Numerical Example
Example 2. Let’s suppose that there are $n=2$ symmetric directions with $T=1$ so that $t = \frac{Pr}{2}$ and let
$$Y^A = 70; p^B = 0,7, r^B = 2, Q^A = q^A = 0,3;$$
$$Y^B = 100; p^A = 0,8, r^A = 4, Q^B = g^B = 0,2.$$
It is required to find the minimum equilibrium on $\sigma^B$. Solution. With this data
$$t^B = \frac{p^B r^B}{2} = 0,7; t^A = \frac{p^A r^A}{2} = 1,6.$$ Let’s find the aspect ratio $x = 100 : 70 = 1,43$. The condition (25)
$$\frac{P^B}{t^B} = 1 \leq x \leq \frac{t^A}{P^A} = 2$$
is satisfied and the only non-dominated equilibrium is obtained by the formulas (23), (24)
$$\sigma^B = \frac{P^B}{t^B} \frac{(1 - \frac{P^A}{t^A} x)}{x(1 - \frac{P^B}{t^B} \cdot \frac{P^A}{t^A})} = 0,40,$$
and
$$\sigma^A = \frac{P^A}{t^A} x(1 - \sigma^B) = 0,43.$$
Thus, for the side $B$ it is enough to allocate 40% of its forces to defense, and for the side $A$ it is enough to allocate 43% of its forces to defense.
5. Conclusion
In this work, we proposed the symmetrization of the “attack-defense” model defined and studied by Germeyer. In the military models points are usually interpreted as directions and characterizes the spatial distribution of defense resources across the width. It is also possible to distribute the resources in depth in relation with the separation of the defense. The parties’ resources are generally heterogeneous. All these areas of generalization of the classical “attack-defense” model were studied by the authors in previous works. In reality, there is also a symmetry of the conflict, when both sides attack and defend at the same time. Therefore, in the present work, a symmetric extension of the model was proposed, in which the parties simultaneously participate in two games, notably in one game the each side is an attack party and in the other game the each side is a defense party. The solution in the resulting doubled game is defined as the non-dominated Nash’s equilibrium by Pareto. A classification of such equilibria is given depending on the balance of parties’ forces. The extreme points of the Pareto’ sets corresponding to the minimum of the share of the stronger side directed to defense are distinguished. Or the same thing, the extreme points of the Pareto’ sets corresponding to the maximum share of the stronger side directed to the attack, which makes sense when planning a defense’s breakthrough of the weaker side.
References
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Video-Based Information Systems in Academic Library Media Centers
GEORGE L. ABBOTT
Just a little more than ten years ago a revolution in video-based technologies began. About that time most academic library media centers consisted primarily of sound recordings for language instruction, poetry readings, and dramatic performances. If the center served a curriculum resource function it frequently contained filmstrips, slides, kits, and other materials for teacher education programs. Some centers also provided equipment distribution, graphics services, and film libraries. The use of video in libraries was embryonic. According to a 1977 SPEC flyer: "While there is increased recognition of nonprint materials as research tools, they are likely to remain minor collections at many academic research libraries for the foreseeable future."¹ The documents contained in SPEC Kit no. 38, "The Integration of Nonprint Media," were collected from ten Association for Research Libraries (ARL) libraries and covered all aspects of nonprint media.² Among the video services mentioned were video recordings of classroom lectures, videotape group simulations for psychology class review, commercial videorecordings, instructional television, cable distribution on campus, and some equipment handling. Only one document mentioned video-disc.³ In 1980, Arlene Farber Sirkin noted the reluctance with which academic libraries were approaching video services. The chief reason given was that of inadequate funding.⁴ And in 1981, S.D. Neill stated: "University libraries were divided in their response to the nonprint media, some refusing to deal with them at all."⁵
George L. Abbott is Head of Media Services, E.S. Bird Library, Syracuse University, Syracuse, New York.
SUMMER 1985 151
There were, however, some pioneering activities in which academic library media centers began to incorporate video among their services. Initially there were the videotape lectures and other "talking heads" programs. Collections of videocassettes of commercially produced films and television documentaries were starting to become available. In 1968 the Joint University Libraries (now Vanderbilt University Library) in Nashville, Tennessee began the Vanderbilt Television News Archives. This consisted of the weekday evening newscasts of the three major television networks and continues today with expanded coverage of presidential addresses, news specials, and some news documentaries.\(^6\) In the mid-1970s video collections began to grow. The University of Tennessee at Knoxville added 334 videocassettes to its collection during 1975-76. This was almost triple the existing collection of 133 videocassettes.\(^7\) And in 1976 R. Kent Wood began the Utah State University Videodisc Innovation Projects. Through these projects the first tests were conducted on the applications of videodisc technology for library instruction and indexing.\(^8\)
Video-based information systems providing more powerful capabilities were still in the research and development stage. These systems encompass interactive and digital videodisc, videotex, satellite broadcasting, and expanded uses for videocassettes and cable television in an interactive mode. The first uses of these newer technologies was for programmatic information (full video with motion, such as recordings of films) but today they are increasingly being used in an interactive mode and for mass information storage and retrieval. The optical digital disc, which will be discussed later, has a storage capacity of 2 gigabytes (2 billion characters) or the equivalent of over 1 million pages of double-spaced typed text.\(^9\)
**The Role of Library Media Centers**
Library media centers are ideally situated to be the focus of use for video-based information systems. Media centers contain the equipment—television monitors, videocassette and videodisc players, microcomputers, computer graphics terminals, and cable distribution systems—and the staff trained in the use of technology in education. Although the media center will most often not house and administer all of the services discussed here, the media center can serve as a valuable resource to other library units in planning and implementation. Video equipment is costly and any multipurpose uses that can be made of this equipment are to the benefit of the budget-conscious library. With the blurring of technologies, the media center is becoming the integrating
site bridging the transition for libraries to video-based information systems.
**Videodisc and Optical Disc**
Among the first videodisc demonstrations in the information community were those at the 1975 Association for Educational Communications and Technology Conference in Dallas, Texas and the 1976 American Society for Information Science Annual Meeting in San Francisco. Other developments about the same time were the formation in 1975 of the Video and Cable Communications Section of the Library and Information Technology Association—a division of the American Library Association—and an ASIS program session in the mid-1970s on CEEFAX, an early trial by the British Post Office in the area of videotex.
Videodisc and optical disc applications for libraries are expanding rapidly. The term *videodisc* is usually used to indicate analog recording of a visual image with optical disc being defined as digital recording of either image, sound, or data. Frequently in the literature, a distinction is not made and “videodisc” is used as a generic term. Although standardization is still a question with as many as eight different styles of discs,\(^{10}\) it is likely that a clear direction will emerge within the next year. The various laser-style discs are the most versatile with capability to store information in analog form as full-motion video with audio, still-frame video or audio only and in digital form as data, digitized high-resolution images, or audio; or any combination of these.\(^{11}\) Capacitance Electronic Discs (CED) are useful only for full-motion video and have no effective still or random access capabilities. Videodiscs can be used for programmatic information, as slide libraries, as interactive video for programmed instruction, for preservation of images, and as mass storage devices. In 1982 the Library of Congress (LC) began an Optical Disk Pilot Program. This program was divided into two major areas, the nonprint project using analog recording and currently available equipment and the print project using digital technology with custom-made equipment.\(^{12}\) On 15 June 1984 LC made available for public use the first analog disc from its nonprint project. This disc and viewing equipment were installed in LC’s Prints and Photographs Reading Room. The disc contains almost 40,000 photographs, posters, architectural drawings, and other pictorial items from LC’s collections.\(^{13}\) The print project is primarily concerned with image preservation. Exact images of printed text are digitized and stored on the disc at a resolution of 300 dots/inch. The resultant image on playback is a replication of the original type style and graphics. The storage capacity is from 10,000 to 15,000 pages of text per disc.\(^{14}\) Other disc projects which record digital data have capabilities of over 1 million typed pages. Another analog videodisc project is NASA's "Space Disc." This series of laser discs contains several thousand color photographs, numerous video and motion picture sequences, and computer-generated data from the space shuttle missions.\textsuperscript{15}
The newest entry in the disc field is the CDROM (Compact Disc Read-Only Memory). The format is the same as the compact disc currently used for audio. It is 4.72 inches in diameter and can hold 600 megabytes.\textsuperscript{16} Indications at this writing are that CDROM discs will become stand-alone databases replacing some of the current online database usage. Evidence of this is several announcements of databases on disc. International Standard Information Systems (ISIS) has signed an agreement to develop compact laser discs containing the ERIC database and a second agreement for a subset of PsycInfo, produced by the American Psychological Association. ISIS expects to sign several others in the near future.\textsuperscript{17} Gaylord Bros., Inc. has announced the purchase of Library Systems and Services, Inc. (LSSI) and will market the LSSI MARC laser videodisc (twelve-inch variety).\textsuperscript{18} The Library Corporation demonstrated its Bibliofile—a CDROM containing over 1 million MARC records—at the ALA Midwinter meeting in Washington, D.C., 5-10 January 1985; and at the 1984 annual ALA meeting, Carrollton Press demonstrated Marvls (MARC and REMARC Videodisc Library System). Other companies including CL Systems, Inc.; BRS; and Geac have announced and or displayed systems. By year's end the activity will no doubt double.
Several companies are developing players for these discs with the most exciting being the Pioneer CLD-900 which is capable of accepting twelve-inch laser, eight-inch laser, and the compact disc in the single player. The cost of the unit is $1200.\textsuperscript{19} For CDROM only, the Philips (Model CMD-1) is targeted to cost about $1000. Sony, Hitachi, and others have all announced players in the same price range with prices expected to drop slightly.\textsuperscript{20}
Possible library applications for laser discs range from the LC projects to local online catalogs to the replacement of large microform collections. As early as 1981\textsuperscript{21} and 1982,\textsuperscript{22} there were suggestions that discs would replace COM (Computer Output Microform). Disclosure, Inc. is developing LaserDISCLOSURE for disseminating copies of SEC filings (10Ks, 10Qs, and annual reports).\textsuperscript{23} This and similar developments would suggest that discs are a viable alternative to conventional microfiche as well. Video and optical discs are film libraries, slide libraries, music libraries, microform libraries, data libraries, and interactive program instruction libraries—all playable with some of the
same equipment. Video- and optical discs are not everything, but they do have enormous capabilities.
**Videotex**
Another very powerful video-based information system is videotex. Videotex is still very much in a state of development and expansion. What is videotex exactly? The definition is not clear. Some writers consider online databases—the type found on the Source, Dow Jones, and CompuServe—to be videotex. Others are much more restrictive and include requirements for color video and/or graphics.\(^{24}\) While the concept behind videotex is similar to that behind Dialog or BRS, I prefer to make some distinctions. For the purpose of this article, videotex is defined as a low-cost, easy-to-use, two-way information system using video display and computer storage. A related technology, teletext, is one-way and is usually broadcast. Its storage capacity is more limited than that of videotex.
Possibly the first use of videotex by a library agency was the Channel 2000 experiment, a Columbus, Ohio videotex trial conducted in 1980 by the OCLC Research Department. As part of this experiment the Public Library of Columbus and Franklin County made available a video catalog of library holdings. Other services available were a video encyclopedia, regional and community information, and home banking. A report on Channel 2000 states, “viewdata [videotex] services will allow public access through libraries to electronic information in much the same way as books, magazines, and other materials provide access to traditional sources of information.”\(^{25}\) About this same time, the National Library of Australia conducted an extensive study of videotex in a library setting concentrating on libraries as information providers.\(^{26}\) Within the past three years Viewdata Corporation of America began its Viewtron service in south Florida. For this system and for Keycom Electronic Publishing’s KEYFAX National Teletext Magazine, ALA is providing reviews from *Booklist* and *Openers.*\(^{27}\) Libraries are being looked to as information providers for videotex systems. This is only reasonable since libraries currently are primary information providers in nonelectronic forms.
Speaking on videotex in a 1978 article, Robert Frederick Smith said:
Like many of the other possible technological innovations for the library, these video systems do much more than displace a traditional library function; they also could fulfill some objectives of the newspaper and show why it may become progressively more difficult to separate library functions from other mass communication services in the future.\(^{28}\)
A special localized form of videotex is the video kiosk now commonly found in hotel lobbies giving floor plans, meeting schedules, news announcements, and community information. This technology is ideally suited for point-of-use library instruction programs.
**Other Video-Based Information Systems**
In 1978 Robert Frederick Smith predicted: "By the 1990s, video transmission [using slow-scan television] of [interlibrary] loaned materials will, in fact, be the norm."29 This technology, slow-scan television, was demonstrated at the 1983 LITA National Conference in Baltimore, Maryland; and while there is the possibility of its use in interlibrary loan activities, especially for the vast collections now held by libraries, new trends in electronic publishing may offer other options for the future. Not as flashy as the newer video technologies but more often found in academic library media centers are videotapes supporting the instructional program. Recent developments in videotape editing and videocassette players allow for greater interactive use of the medium. An important advantage of interactive videotape is the ability to easily update programs.30 Other video-based information systems—including computer graphics, cable and satellite transmission—also have library applications. According to Smith: "Satellite communication poses a tremendous opportunity for the library in the 1980s."31 He notes teleconferencing possibilities and direct satellite broadcasting. The topic of computer graphics in libraries was the subject of the president's program at the ALA 1983 Midwinter meeting in San Antonio, Texas. Many library media centers are already active in these areas and more are becoming active as libraries reevaluate their service goals and objectives.
**Limiting Factors**
One limiting factor in increased use of many video-based systems is the resolution of the output device. The standard U.S. television set is composed of 525 lines of resolution. This is not satisfactory for displaying fine details in illustrations or small print. The maximum legible information which can be displayed on the standard television is about 500 characters or one-fifth of an eight and one-half by eleven inch page.32 Current work with HDTV (High Definition Television) uses 1125 lines, dramatically improving the resolution of the image. HDTV units are especially useful for image preservation projects like LC's Optical Disk Pilot Program. A further limiting factor to HDTV development is transmission bandwidths. HDTV cannot be broadcast using
existing channel frequencies. Cable television using coaxial cable can carry HDTV, but fiber optics can handle it better.\textsuperscript{33} Since many video-based systems of interest to libraries will be on-site stand-alone ones, broadcast limitations are not a problem.
**The Future**
Perhaps the most difficult task is choosing the right technology. In the early 1970s electronic video recording (EVR) was introduced and was adopted by several libraries as an exciting new technology. Within five years EVR had all but vanished and is probably no longer in use anywhere. More recently RCA ceased production of the CED videodisc player. With the CED players no longer being manufactured it is likely that within five years CED will also be a dinosaur. Where is quad sound? How about Polavision? A 1981 *New York Times* article discusses some of these failures.\textsuperscript{34} Why does this happen? How does the media specialist avoid costly errors? With the rapid changes and developments in technology it is not possible to make the right choice every time. If a technology works and serves users for up to a five-year period, it is an acceptable choice. To help make this choice, a conceptual understanding of the technological capabilities of a technology is desirable. More important is a detailed understanding of the requirements of use. According to Joseph Becker: “What the librarian needs is an intellectual framework within which to evaluate the emerging technology in order to place new developments and trends in context.”\textsuperscript{35} Becker further states: “Technology provides opportunities; to be of use to a library, it must be incorporated into a systems solution for the problems of the library as a whole.”\textsuperscript{36} New technologies will always be created. Whether they succeed in a given library will depend on their doing a better job than existing technologies—i.e., more economically or with additional applications areas. Using careful planning, an academic library media center must be prepared to integrate those services which meet the needs of its users in the growing complexity of the information and video age.
**References**
1. Association for Research Libraries. Systems and Procedures Exchange Center. “Introduction.” In *The Integration of Nonprint Media* (SPEC Kit no. 33), p. 2. Washington, D.C.: ARL, SPEC, 1977.
2. Ibid.
3. Chapin, Richard E. “A Proposal for the Expansion of Nonprint Facilities in the Library—Michigan State University 1975.” In *The Integration of Nonprint Media* (SPEC Kit no. 33), pp. 49-50.
4. Sirkin, Arlene Farber. "Academic Libraries Struggle to Provide Video Services." In *Video Involvement for Libraries*, edited by Susan Spaeth Cherry, pp. 37-41. Chicago: ALA, 1980.
5. Neill, S.D. "Libraries in the Year 2010." *The Futurist* 15(Oct. 1981):48.
6. Schreibman, Fay C. "Easy-to-Access Television News Archives Brings History to Life." In *Video Involvement for Libraries*, pp. 41-43.
7. "Annual Report. Non-Print Dept., Undergraduate Library. Fiscal Year 1975-76—University of Tennessee at Knoxville." In *The Integration of Nonprint Media* (SPEC Kit no. 33), pp. 16-18.
8. Wood, R. Kent, et al. "Videodisc/Microcomputer Research Opens New Horizons for Libraries." *American Libraries* 12(April 1981):208-09.
9. Jacobus, William W., Jr. "Optical Disk Mass Storage: Promise for the 80's." *Information Display* 1(March 1985):15.
10. Several styles are described in: Paulson, Bob. "Laser Optical, Capacitance and Magnetic Video Disc Formats." *International Television* 1(Aug. 1983):48, 50, 52.
11. Jacobus, "Optical Disk Mass Storage," p. 15.
12. Price, Joseph. "The Optical Disk Pilot Program at the Library of Congress." *Videodisc and Optical Disk* 4(Nov.-Dec. 1984):426.
13. Library of Congress. "Fact Sheet" (pamphlet). Washington, D.C.: LC, 20 June 1984.
14. Price, "The Optical Disk Pilot Program," p. 429.
15. Nixon, William. "NASA Takes Discs to School." *E-ITV* 16(Jan. 1984):41-42.
16. Jacobus, "Optical Disk Mass Storage," p. 14.
17. "Laser Disc Database Service to be Shown at ALA." *Advanced Technology Libraries* 14(March 1985):2.
18. "Gaylord Buys LSSI and Its MINIMARC." *Library Hotline* 14(15 April 1985):2.
19. "The Laser's Edge." *Playboy* 32(May 1985):213.
20. Porter, Martin. "Compact Discs Pack in Data." *High Technology* 5(Jan. 1985):64+.
21. Gill, Philip J. "Video Disk Poses Major Threat to Micrographics." *Information Systems News*, 20 April 1981, p. 38.
22. Badler, Mitchell M. "Micrographics and the Videodisc Challenge." *Information and Records Management* 16(Feb. 1982):40.
23. "New Technology." *College & Research Libraries News* 45(Sept. 1984):437-38.
24. Arlen, Gary H. "The Becoming of Videotex." In *Videotex '84, p. 1*. New York: Online Publications, Inc., 1984.
25. OCLC. "Channel 2000 Fact Sheet." Dublin, Ohio: OCLC, n.d. (pamphlet).
26. "Videotex and Libraries" (Reports by Insearch, Ltd. and the National Library of Australia). Canberra: National Library of Australia, 1981 (pamphlet).
27. "KEYFAX Uses ALA Reviews." *American Libraries* 14(April 1983):242; and "ALA Contributes to Viewdata Home Information Experiment." *American Libraries* 13(Oct. 1982):594.
28. Smith, Robert Frederick. "A Funny Thing is Happening to the Library on its Way to the Future." *The Futurist* 12(April 1978):90.
29. Ibid., p. 89.
30. Gayeski, Diane, and Williams, David. "It is Updatable and Affordable." *International Television* 1(Aug. 1983):54-55.
31. Smith, "A Funny Thing is Happening to the Library," p. 90.
32. Schwerin, Julie. "The Reality of Information Storage, Retrieval, and Display Using Videodiscs." *Videodisc and Optical Disk* 4(March-April 1984):113.
33. Lu, Cary. "High Definition TV Comes at High Cost." *High Technology* 3(July 1983):45-48.
34. Pollack, Andrew. "The Perils of Consumer Electronics." *The New York Times*, 22 March 1981, sect. F, p. 4.
35. Becker, Joseph. "How to Integrate and Manage New Technology in the Library." *Special Libraries* 74(Jan. 1983):4.
36. Ibid.
**Additional References**
Allen, Robert J. "The Promise and Performance of Optical Discs." *Today's Office* 19(April 1985):37-41.
Bahr, Alice Harrison. *Video in Libraries, A Status Report, 1979-80*, 2d ed. White Plains, N.Y.: Knowledge Industry Publications, Inc., 1980.
Cannon, T. "Customer Oriented Technological Futures for Library Systems." *The Electronic Library* 3(Jan. 1985):52-55.
Currier, Richard L. "Interactive Videodisc Learning Systems." *High Technology* 3(Nov. 1983):51-59.
Doyle, Michael J. "The Video Disc System: A Technical Report by the SMPTE Study Group on Video Disc Recording." *SMPTE Journal* 91(Feb. 1982):180-85.
Gale, John C. "Use of Optical Disks for Information Storage and Retrieval." *Information Technology and Libraries* 3(Dec. 1984):379-82.
Hensel, Martin, and Nelson, Robert. "CDROM: Dramatic Key to Information Dissemination and Use." *The Electronic Library* 2(Oct. 1984):257-59.
Johnston, Jerome, ed. *Evaluating the New Information Technologies*. San Francisco, Calif.: Jossey-Bass, 1984.
*Laser Bases: Laserdisc and CD-ROM Databases for Local and Inhouse Use* (Library Hi Tech Special Studies Series). Ann Arbor, Mich.: Pierian Press, forthcoming, Oct. 1985.
Riddick, John. "Videodisc Technology: Developments 1980-1982." *Library Hi Tech* 1(Summer 1983):93-96.
Sessions, Judith A., and Cocke, Lucy S. "Finding Libraries in the Video Maze." *American Libraries* 12(May 1981):260-61.
Sonnemann, Sabine S. "The Videodisc as a Library Tool." *Special Libraries* 74(Jan. 1983):7-13.
Surprenant, Tom. "Future Libraries." *Wilson Library Bulletin* 59(Oct. 1984):120-21. "What's New in Video" (issue theme). *Instructional Innovator* 26(Feb. 1981):8-32.
|
Comparing Algorithms, Representations and Operators for the Multi-Objective Knapsack Problem
Gualtiero Colombo
School of Computer Science
Cardiff University
United Kingdom
email@example.com
Christine L. Mumford
School of Computer Science
Cardiff University
United Kingdom
firstname.lastname@example.org
Abstract - This paper compares the performance of three evolutionary multi-objective algorithms on the multi-objective knapsack problem. The three algorithms are SPEA2 (strength Pareto evolutionary algorithm, version 2), MOGLS (multi objective genetic local search) and SEAMO2 (simple evolutionary algorithm for multi-objective optimization, version 2). For each algorithm, we try two representations: bit-string and order-based. Our results suggest that a bit-string representation works best for MOGLS, but that SPEA2 and SEAMO2 perform better with an order-based approach. Although MOGLS outperforms the other algorithms in terms of solution quality, SEAMO2 runs much faster than its competitors and produces results of a similar standard to SPEA2.
1 Introduction
The multi-objective knapsack problem (MKP) is a popular test-bed with researchers developing evolutionary multi-objective algorithms (EMOs). The present paper compares the performance of three EMOs on some large instances of this problem, trying two different representations on each EMO. The EMOs chosen for this study are SPEA2 (strength Pareto evolutionary algorithm, version 2) [17], MOGLS (multi-objective genetic local search) [5] and SEAMO2 (simple evolutionary algorithm for multi-objective optimization, version 2) [13]. The study builds on earlier work in which Mumford [12] used the SEAMO algorithm [14, 16] (the precursor of SEAMO2) as a framework to explore a number of different representations and operators for the 0-1 multi-objective knapsack problem. The approaches tested by Mumford on the SEAMO framework, covered bit-string and order-based representations, with various penalty functions, repair mechanisms and decoders, all adapted from the single objective case [3, 4, 10, 11]. Results published in [12] favor an order-based approach with a first fit decoder over the bit-string representations. Notwithstanding the apparent success of the order-based approach in this particular study, the favorite method of representation for the MKP is a bit-string chromosome with a greedy repair mechanism [5, 8, 17, 18]. However, the implications drawn from the comparative study must remain tentative, given the experiments were limited to the SEAMO algorithm. Bit-string representations may indeed produce better results for other EMOs.
The present study takes the most promising approaches established for SEAMO [12], and tries them on the three above mentioned EMOs. In addition, our paper assesses the relative merits of the EMOs in terms of solution quality and run time.
The remainder of the paper is organized as follows. Sections 2 to 5 cover the essential background to our study, including the MKP and an outline of the representations, operators and algorithms. In Section 6 we describe our experimental method, and in Section 7 we present our results. Finally, we summarize the paper and suggest future work in Section 8.
2 The 0-1 Multi-Objective Knapsack Problem
The 0-1 multi-objective knapsack problem (MKP) is a generalization of the 0-1 simple knapsack problem, and is a well known member of the NP-hard class of problems. In the simple knapsack problem, a set of objects, $O = \{o_1, o_2, o_3, ..., o_n\}$, and a knapsack of capacity $C$ are given. Each object, $o_i$, has an associated profit $p_i$ and weight $w_i$. The objective is to find a subset $S \subseteq O$ such that the weight sum over the objects in $S$ does not exceed the knapsack capacity and yields a maximum profit. The 0-1 MKP involves $m$ knapsacks of capacities $c_1, c_2, c_3, ..., c_m$. Every selected object must be placed in all $m$ knapsacks simultaneously, although neither the weight of an object nor its profit is fixed, and will probably have different values in each knapsack. The present study covers problems with between two and four objectives (i.e. knapsacks).
3 Representations for the Multiple Objective Problem
For our experiments we have selected the two best performing approaches from [12]: a bit-string representation with greedy repair [18], and an order-based representation with a first-fit decoder [12]. More details of these approaches are given below.
3.1 The Bit-String Representation with Greedy Repair
For the bit-string representation, all $n$ objects of a given instance of the MKP are fixed in an arbitrary sequence, $[o_1, o_2, \ldots, o_n]$, and each object, $o_i$, is mapped to bit $i$ of an $n$ bit chromosome. Bit $i$ is set if and only if the $i^{th}$ object from the list is included in the knapsack, otherwise bit $i = 0$. Thus, for example, a bit pattern $(0 \ 1 \ 1 \ 0 \ 1 \ 0)$ for a
six object problem would mean that objects 2, 3 and 5 are packed.
Unfortunately, the act of randomly assigning bits to objects, cannot guarantee a feasible solution, and overfull knapsacks are produced when too many bits are set. Processing and storing large numbers of infeasible solutions can seriously reduce the effectiveness of an EA. The most popular method of dealing with this problem in the MKP is to use a greedy repair mechanism.
Initially, a greedy repair routine is presented with knapsacks packed with all the objects that have their bits set. Repair proceeds by the sequential removal of objects from the knapsacks, until all the capacity constraints are satisfied. In the repair method of Zitzler and Thiele [18], used in SPEA2, the order in which the items are removed is determined by the maximum profit/weight ratio per object (taken over all the knapsacks), with the object which is least profitable, per unit weight, being the first to be removed. The repair mechanism of [12] used in SEAMO2 is similar to this but here the removal of objects from the knapsacks is sequenced on average profit to weight ratio taken over all the knapsacks. Our implementations of SPEA2 and SEAMO2 do not write back the repaired chromosomes into the population.
The repair mechanism for MOGLS, although similar to the approach described for SPEA2 and SEAMO2, takes account of the weighted scalarized functions that MOGLS uses to fuel the local search phase of the algorithm, [5]. In this case the replacement of repaired chromosomes into the population forms a constituent part of the algorithm.
One-point crossover and point mutation (i.e. bit flips) are used for all our bit-string experiments.
### 3.2 The Order-Based Representation
In the order-based representation the genes represent the objects themselves and the chromosomes consist of orderings of all the objects. Because every object is included on each chromosome, a decoder is required to produce legal solutions. Hinterding [3] used a first fit heuristic for his order-based representation in the single objective case. Starting with an empty knapsack, he selected objects in sequence from a permutation list, starting with the first object on the list, then working through to the second, then the third and so on. Whenever inclusion of an object from the list would result in a constraint violation, that object was skipped over and the next object tried. Assume we are given an order-based sequence of \((1, 5, 2, 4, 3, 6)\) for a six object problem in the single objective case. A first-fit decoder will attempt to pack object 1, then object 5, then object 2 etc., until it reaches an object that, if packed, would exceed the capacity constraint. If this occurs, for example, when object 4 is tried, the first-fit decoder would skip over object 4 and try object 3, then 6.
Adapting a decoder based on the first fit algorithm for the multi-objective knapsack problem simply requires that the constraints are tested for all the knapsacks each time an object is considered for inclusion in the solution, and this is the approach adopted here.
Cycle crossover, CX, [15] is used as the recombination operator for all the order-based experiments, and the mutation operator swaps two arbitrarily selected objects within a single permutation list. CX was selected as the recombination operator because it produced better results than other permutation crossovers in some test runs described in [12].
### 4 The Evolutionary Multi-Objective Algorithms
We justify our choice of SPEA2, MOGLS and SEAMO2 as follows:
1. SPEA and SPEA2 are successful and widely implemented,
2. MOGLS produces particularly impressive results and uses a different approach to most other EMOs: linear scalarizing functions, rather than Pareto-based fitness assignment
3. SEAMO and SEAMO2 seem to be fast and effective, but need testing against other state-of-the-art EMOs.
Below we outline the main features of our chosen EMOs. Interested readers should refer to the original papers for more details, [5, 13, 14, 16, 17, 18].
#### 4.1 SPEA2
**Procedure SPEA2**
*Parameters:* \(N\) – population size, \(\bar{N}\) – archive size, stopping condition
**Begin**
**Initialization:**
Generate an initial population, of \(N\) random individuals
Create an empty archive, \(P_0 \leftarrow \emptyset\)
**Main loop**
Repeat
**Fitness assignment:**
for each individual in \(P_t\) and \(\bar{P}_t\)
**Environmental selection:**
from \(P_t\) and \(\bar{P}_t\) creating new archive, \(\bar{P}_{t+1}\)
**Mating selection:**
Perform binary tournament selection
with replacement on \(\bar{P}_{t+1}\)
in order to fill the mating pool, \(M_{t+1}\)
Apply recombination and mutation to \(M_{t+1}\)
Set \(P_{t+1} \leftarrow M_{t+1}\)
Increment generation counter, \(t \leftarrow t + 1\)
**Until** stopping condition is satisfied
**Print** all non-dominated solutions in the final population and archive
**End**
Figure 1: Algorithm 1 A basic framework for SPEA2
SPEA2 uses two populations: a regular population, \(P_t\) and an archive, \(\bar{P}_t\). The archive is used to accumulate non-dominated solutions and it is from here that individuals are selected to form a mating pool. Following the application of the genetic operators to the mating pool, the resulting offspring become the new regular population, \(P_{t+1}\). The new archive, \(\bar{P}_{t+1}\), is mainly constructed from the non-dominated solutions in \(P_t + \bar{P}_t\). Binary tournament selection is used to fill the mating pool, and fitness assignment consists of two components: one based on the concept of Pareto
dominance and the other on density information. The purpose of the density component is to encourage a more even spread of solutions across the Pareto front. SPEA2 is outlined in Figure 1.
In more detail, the procedure for fitness assignment can be expressed as follows:
\[ F(i) = R(i) + D(i) \]
Where \( F(i) \) is the total fitness value, \( R(i) \) represents the raw fitness component, and \( D(i) \) the density component.
In order to calculate the raw fitness, each individual in \( P_t \) and \( \bar{P}_t \) is assigned a strength value, \( S(i) \), representing the number of solutions it dominates. The raw fitness, \( R(i) \), for a particular individual, is then determined by adding together the strengths of all members of \( P_t \) and \( \bar{P}_t \), that dominate that individual. The density value, \( D(i) \), is based on the inverse of the Euclidean distance (in objective space) of the \( k^{th} \) nearest neighbor from individual \( i \):
\[ D(i) = \frac{1}{\sigma_k^k + 2} \]
where \( \sigma_k^k \) denotes the Euclidean distance sought. We set \( k = \sqrt{N + 1} \), following advice in [17]. In the denominator, two is added to avoid division by zero and ensure \( D(i) < 1 \).
Environmental selection essentially copies all the individuals in \( P_t \) and \( \bar{P}_t \) that are non-dominated, to \( \bar{P}_{t+1} \), but at the same time, it ensures that the size of the archive remains constant at \( N \). To achieve this, solutions are deleted if \( \bar{N} \) is exceeded and added when the archive size would otherwise fall below \( \bar{N} \). A truncation operator is used to reduce the population by deleting those members considered too close to another individual in objective space. When the population needs to be increased, the best dominated individuals are copied from the previous archive and population.
### 4.2 MOGLS
In [5] Jaskiewicz describes how MOGLS is able search for approximations to all the points in a non-dominated set simultaneously, by making a random choice of a scalarizing function at each iteration of the algorithm’s main loop. This process simply requires the application of random numbers, \( rand() \), in the range \( (0, 1) \) to the formulae in (1):
\[
\begin{align*}
\lambda_1 &= 1 - m^{-1} \sqrt{rand()} \\
\ldots \\
\lambda_j &= \left( 1 - \sum_{l=1}^{j-1} \lambda_l \right) \left( 1 - m^{-1-j} \sqrt{rand()} \right) \\
\ldots \\
\lambda_m &= 1 - \sum_{l=1}^{m-1} \lambda_l
\end{align*}
\]
(1)
When \( m = 2 \) objectives, the weights applied to objectives 1 and 2 simply become, respectively, \( \lambda_1 = 1 - r_1 \) and \( \lambda_2 = r_1 \), where \( r_1 = rand() \). When \( m > 2 \) it is necessary to generate more than one random number, \( (r_1, r_2, \ldots r_{m-1}) \), using the function \( rand() \). The linear scalarizing function in the is given by: \( \lambda_1 P_1 + \lambda_2 P_2 + \ldots + \lambda_m P_m \), where \( P_1, P_2 \) etc. are the total profits in knapsack 1, 2 and so on. (Note: For problems where objectives share approximately the same range, it is not necessary to normalize the scalarizing function, [5].) Outline pseudocode for MOGLS can be found in Figure 2.
The MOGLS algorithm begins by initializing the current set, \( CS \), with \( S \) random bit-strings, or permutations, depending on the representation scheme. In the case of the bit-string representation, a local search heuristic (i.e. greedy repair) is applied to each newly generated string, but this stage is inappropriate for the order-based scheme and is therefore omitted. The lack of opportunity for local search is a potential disadvantage of the order-based approach in the case of MOGLS.
In addition to the current set, \( CS \), MOGLS maintains two further populations: \( PP \), the set of potentially non-dominated solutions, and \( TEP \) a temporary elite population. At the start of each iteration of the main loop, a new random weight vector, \( (\lambda_1, \lambda_2, \ldots, \lambda_m) \), is generated and this is used to select \( K \) different solutions from \( CS \) to make up \( TEP \). The \( K \) solutions selected are the best on the current scalarizing function, \( (\lambda_1 P_1 + \lambda_2 P_2 + \ldots + \lambda_m P_m) \). Two solutions, \( x_1 \) and \( x_2 \), are next selected at random from \( TEP \). These are recombined to produce an offspring, \( x_3 \). Mutation is then applied, followed by the greedy repair heuristic in the case of the bit-string representation, or the decoder applied to the order-based scheme, giving \( x'_3 \). \( x'_3 \) is then added to \( CS \) if it is better on the linear scalarizing function than the worst solution in \( TEP \) and different in the decision space (i.e., the chromosomes) from all the solutions in $TEP$. Finally $PP$, the set of potentially non-dominated solutions, is updated.
As already mentioned in Section 3.1, the local search heuristic used for the bit-string representation involves a form of greedy repair heuristic that takes into account the current value of the linear scalarizing function. In more detail, each new offspring, $x$, is checked for feasibility, and if the capacity is exceeded for one or more of the knapsacks, objects are removed (i.e. bits reset from “1” to “0”) until the constraints are satisfied. The order in which the objects are removed corresponds with their profit to weight ratios amalgamated according to the random vector, $(\lambda_1, \lambda_2, \ldots, \lambda_m)$. Assuming that object $i$ has profit to weight ratios, $p_{i1}/w_{i1}, p_{i2}/w_{i2} \ldots, p_{im}/w_{im}$, in knapsacks $1, 2, \ldots, m$ respectively, the amalgamated profit to weight ratio for object $i$ will be $\lambda_1 p_{i1}/w_{i1} + \lambda_2 p_{i2}/w_{i2} + \ldots + \lambda_m p_{im}/w_{im}$. The local search heuristic will remove objects in non-decreasing sequence of these amalgamated values (thus removing the least promising objects first). In the case of the order-based representation, the decoder described in Section 3.2 will produce a feasible solution from any given permutation, making the local repair heuristic redundant. As mentioned previously, the lack of a weighted local search in MOGLS when using the order based representation, is a potential disadvantage (and we shall see later that this is borne out by our results).
$CS$ is organized as a queue of maximum size $K \times S$, where $K$ is the size of the temporary elite populations and $S$ is the size of initial population. New solutions are added to the front of the queue, and old solutions deleted from the back of the queue to prevent $CS$ exceeding its maximum size.
### 4.3 SEAMO2
The SEAMO2 framework, outlined in Figure 3, illustrates a simple steady-state approach, which sequentially selects every individual in the population to serve as the first parent once, and pairs it with a second parent that is selected at random (uniformly).
A single crossover is applied to produce each offspring, and this is followed by a single mutation. Each new offspring will either replace a parent, or another population member, or it will die, depending on the outcome of a number of tests. Essentially, an offspring will replace a parent if it is deemed to be better than that parent. This occurs if the offspring dominates one of the parents, or if produces a new global best profit in one of the knapsacks. If the offspring neither dominates either of its parents, nor is it dominated by either of them, the offspring will replace a random individual in the population, if one can be found that it dominates. Any offspring that duplicates any member of the population in its objective space will be deleted, regardless of its ability to dominate its parents.
**Procedure SEAMO2**
*Parameters: N – population size, stopping condition*
**Begin**
**Generation of the initial set of solutions:**
- Generate $N$ random individuals
- Evaluate the objective vector for each individual and store it
- Record the bestSoFar for each objective function
**Main loop**
- **Repeat**
- For each member of the population
- This individual becomes the first parent
- Select a second parent at random
- Apply crossover to produce offspring
- Apply a single mutation to offspring
- Evaluate the objective vector produced by the offspring
- **If** offspring objective’s vector improves on any bestSoFar
- Then it replaces a parent
- **Else if** offspring is a duplicate
- Then it dies
- **Else if** offspring dominates either parent
- Then it replaces it
- **Else if** offspring is neither dominated by nor dominates either parent
- Then it replaces another individual that it dominates at random
- Otherwise it dies
- **End for**
- Until stopping condition is satisfied
- Print all non-dominated solutions in the final population
**End**
Figure 3: Algorithm 3 A basic framework for SEAMO2
### 5 Comparing the Performance of the Algorithms
Unfortunately there is no general agreement amongst researchers on how best to assess the quality of a non-dominated set of points produced by a particular multi-objective algorithm. Of the multitude of metrics from the literature which attempt to express the solution quality as a single number, the $S$ metric of Zitzler and Thiele[18] has been recommended in [9] as a good all-round choice, provided the problem involves relatively few dimensions, and the non-dominated sets are not overlarge. For this reason we have adopted $S$ as the main metric for the present study. In addition, we use simple 2D plots, where appropriate, to give a visual interpretation and also consider the cardinality (i.e. size) of the non-dominated sets produced by the various algorithms and compare their run times.
#### 5.1 The $S$ Metric
The $S$ metric is a measure of the size of the dominated space, measured in the number of dimensions determined by the number of objectives. Let $X' = (x_1, x_2, \ldots, x_l) \subseteq X$ be a set of $l$ solution vectors. The function $S(X')$ gives the volume enclosed by the union of the polytypes $p_1, p_2, \ldots, p_l$, where each $p_i$ is formed by the intersection of the hyperplanes arising out of $x_i$, along with the axes. For each axis in the objective space, there exists a hyperplane perpendicular to that axis and passing through the point $(f_1(x_i), f_2(x_i), \ldots, f_k(x_i))$. In the two dimensional
case, each $p_i$ represents a rectangle defined by the points $(0, 0)$ and $(f_1(x_i), f_2(x_i))$. In this study, the size of the dominated space is quoted as a percentage of the reference volume between the origin and an upper approximation of the ideal point taken from [5].
6 Experimental Method
The purpose of our experiments is to answer the following questions:
1. For each EMO, which representation is best: bit-string or order-based?
2. How do the EMOs compare with each other with respect to solution quality?
3. How do the EMOs compare with each other with respect to run time?
Five problems were selected from the test data taken from [18], kn250.2, kn500.2, kn750.2, kn750.3 and kn750.4. Problems kn250.2, kn500.2 and kn750.2 are two objective problems with 250, 500 and 750 objects, respectively, while kn750.3 and kn750.4 are problems with 750 objects and 3 and 4 objectives. SPEA2, MOGLS and SEAMO2 were each run 30 times, on the two objective problems, and just 5 times on kn750.3 and kn750.4 (because of the long run times). Each replicate run was seeded with a different random start, and population sizes were $N = 150$, 200 and 250 for kn250.2, kn500.2 and kn750.(2,3,4). On all problems, runs were extended for 5000 generations for SPEA2 and SEAMO2, and for $5000 \times S$ evaluations in the case of MOGLS. Each EMO performed exactly the same number of objective function evaluations on a given problem. For SPEA2 the regular population ($P_t$) and archive ($\bar{P}_t$) were set to the same size, $N = \bar{N}$. MOGLS was initialized with a current set, $CS$, of $S = N$, and we set the size of $TEP$ to 20, the same as [5].
Crossover was applied at a rate of 100 % in MOGLS and SEAMO2 and at a rate of 80 % in SPEA2, and the mutation rate was 0.6 % in SPEA2, 1 % in MOGLS and one mutation per offspring in SEAMO2. Guidelines for crossover and mutation rates were based on those given in the original papers, validated by us in some pilot studies. To give each algorithm a fair chance in the contest, we set crossover and mutation rates favorable to each technique, rather than use a “one size fits all” approach.
In adapting MOGLS for an order-based implementation, we found it necessary to deviate slightly from the published version of the algorithm. The standard version of MOGLS checks the temporary elite population, $TEP$, for duplicates in the decision space. However, the order-based encoding has a very high level of redundancy (i.e. many orderings produce identical solutions) and deleting duplicates in the decision space tends to be ineffective and leaves too many individuals that are identical in the objective space. For this reason we delete duplicates in the objective space of $CS$, rather than the decision space of $TEP$. Much better results can be obtained in this way, with no extra burden on
Figure 4: Non dominated solutions extracted from 5 runs of SPEA2 (top), MOGLS (center), and SEAMO2 (top)
the run time (pairwise comparisons in the decision space are very much more time consuming than comparisons in the objective space). We also discovered that better results for SPEA2 can be obtained if objective space duplicates are deleted, and not allowed to enter the archive. Furthermore, these improvements were noted for SPEA2 using bit-string as well order-based approaches. These findings are in accordance with previous reports on the same issue. Fitness duplicate elimination has been shown to be an important feature to avoid drift and improve performance in multi-objective evolutionary algorithms on a range of problems in [1].
The performances of the algorithms are assessed using the $S$ metric described in [18] and outlined in Section 5 of the present paper. In addition, 2D graphical plots, run time measurements and the sizes of non-dominated sets provide additional information. Experiments were conducted using Java 2, version 1.4.2 (J2SE) on a PC with 2.99 GHz Intel Pentium 4 and 1 GB RAM.
7 Results
We shall now attempt to answer the three questions posed in the previous section, beginning with the effect of representation. A visual impression of the algorithms’ performance on kn750.2 can be obtained from Figure 4, which plots non-dominated solutions extracted from five replicate runs, comparing bit-string and order-based representations for each EMO. The traces in Figure 4 indicate that MOGLS performs better with a bit-string representation but that the order-based representation works best for SEAMO2. The results appear less clear cut for SPEA2, although the order-based approach seems to give a better spread of results.
Figure 5 shows box plots for the $S$ metric on kn250.2, kn500.2 and kn750.2. Each plot gives the distribution of the dominated space for 30 replicate runs, covering a particular EMO, representation and knapsack instance. The plots provide strong supporting evidence in favor of bit-strings for MOGLS and order-based representations for both SEAMO2 and SPEA2. The box plots in Figure 6 for kn750.3 and kn750.4 add further support in favor of a bit-string approach for MOGLS, and furthermore, the gap between the two approaches appears to grow quite considerably for MOGLS, as the number of objectives increases from two to four. This is consistent with expectations, considering the absence of the local search phase in the order-based approach. As the number of objectives increase, so the problems get harder to solve, and it is possible that the role of local search becomes increasingly important. The order-based approach performs consistently better than the bit-string for SEAMO2. However, the case is not quite so clear cut for SPEA2, which still favors an order-based approach for kn750.3 but performs slightly better with a bit-string representation on kn750.4.
We shall now try to answer the second question we posed, and compare the three EMOs with respect to solution quality. Examination of Figures 5 and 6, indicate that MOGLS is the best performer, using a bit-string representation. Figures 5 and 6 further suggest that SPEA2 is marginally better than SEAMO2 on problems with two objectives, but that the situation changes when more objectives are used, with SEAMO2 outperforming SPEA2 on kn750.3 and kn750.4. Figure 7 compares the three EMOs: SPEA2, MOGLS and SEAMO2 on kn750.2, using the most appropriate representation in each case. (The results are similar for kn250.2 and kn500.2 but the sets of points are closer together and rather difficult to distinguish.) As before, non dominated solutions are extracted from 5 replicate runs. Clearly, MOGLS is able to achieve a much broader spread of results than the other EMOs. MOGLS also tends to produce larger sets of non-dominated points than the other EMOs, especially for problems with more objectives. Table 1 bears this out.
Finally, we answer question 3 and compare the run times of the three algorithms. Table 2 shows the results, in seconds, for the three EMOs on kn250.2, kn500.2 and kn750.2.
Table 1: Average sizes of final non-dominated sets, $|z|$
| Algorithm | kn250.2 | kn500.2 | kn750.2 | kn750.3 | kn750.4 |
|---------------|---------|---------|---------|---------|---------|
| SPEA2 BIT | 155 | 201 | 242 | 264 | 301 |
| SPEA2 ORD | 164 | 209 | 245 | 270 | 300 |
| MOGLS BIT | 212 | 212 | 190 | 1492 | 3087 |
| MOGLS ORD | 190 | 175 | 145 | 850 | 1504 |
| SEAMO2 BIT | 68 | 80 | 107 | 204 | 228 |
| SEAMO2 ORD | 97 | 136 | 172 | 224 | 239 |
Figure 6: Dominated space for 5 runs of 5,000 generations on kn250.3 (top) and kn750.4 (bottom), SP: SPEA2, MO: MOGLS SE: SEAMO2
Figure 7: Comparing the performance of MOEs: OB = order-based, BS = bit-string
using the same parameters as previously, with each EMO performing exactly the same number of objective function evaluations on a given problem. Averages are taken of three replicate runs, starting with different random seeds, and excluding the calculation of any metrics. Clearly, SEAMO2 is at least an order of magnitude faster than its competitors on the two objective problems. Unfortunately, we did not record run times on kn750.3 and kn750.4 because the work was carried out at a much later date and on a different platform, making comparisons unreliable.
Table 2: Comparing run times of EMOs (in seconds)
| Algorithm | kn250.2 | kn500.2 | kn750.2 |
|---------------|---------|---------|---------|
| SPEA2 BIT | 1169 | 2180 | 3341 |
| SPEA2 ORD | 1205 | 2287 | 3593 |
| MOGLS BIT | 1078 | 3400 | 7890 |
| MOGLS ORD | 497 | 1100 | 1710 |
| SEAMO2 BIT | 23 | 50 | 98 |
| SEAMO2 ORD | 34 | 78 | 138 |
8 Conclusion and Discussion
This paper compares the performance of the three EMOs: SPEA2, MOGLS and SEAMO2, using the multi-objective knapsack problem as a test-bed. For each algorithm, we try two representation schemes: bit-string and order-based. Our results provide strong evidence that a bit-string representation works best for MOGLS, but that SEAMO2 performs better if an order-based approach is used. The relative performance of the two approaches is less well defined for SPEA2, however. MOGLS appears to benefit from the bit-string representation because it is able to apply its weighted scalarizing function at the repair stage, thus biasing the search towards the chosen region of the Pareto front. Furthermore, it would seem that the relative benefit of applying the bit-string approach to MOGLS increases as the problems get harder with more objectives.
Over all, MOGLS produces better results than either SPEA2 or SEAMO2. SPEA2 and SEAMO2 produce rather similar results, with SPEA2 performing slightly better than SEAMO2 on the instances with two objective problems, and SEAMO2 doing better on kn750.3 and kn750.4. The EMOs are compared on the basis of equal numbers of objective function evaluations. However, as MOGLS and SPEA2 both take very much longer to run than SEAMO2 on the knapsack test problems, it is clear that an evaluation for evaluation comparison may not be entirely fair.
Future plans include extending our comparative studies (covering representations, solution quality and run time) to more EMOs, for example PESA (Pareto envelope-based selection algorithm) [7], NSGA II (non-dominated sorting algorithm II) [2], and PMA (Pareto memetic algorithm) [6]. PMA is of particular interest because it operates in a similar fashion to MOGLS (using scalarizing functions), and thus promises high quality results. Yet, because it uses a simple tournament selection instead of $TEP$ used by MOGLS, it promises to be much faster.
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[3] R. Hinterding. Mapping, order-independent genes and the knapsack problem. In *Proceedings of the first IEEE Congress on Evolutionary Computation*, pages 13–17, Orlando florida, 1994.
[4] R. Hinterding. Representation, constraint satisfaction and the knapsack problem. In *Proceedings of the 1999 IEEE Congress on Evolutionary Computation (CEC99)*, volume 2, pages 1286–1292, 1999.
[5] A. Jaskiewicz. On the performance of multiple objective genetic local search on the 0/1 knapsack problem - a comparative experiment. *IEEE Transactions on Evolutionary Computation*, 6(4):402–412, 2002.
[6] A. Jaskiewicz. On the computational efficiency of multiple objective metaheuristics. the knapsack problem case study. *European Journal of Operational Research*, 158:418–433, 2004.
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|
Dear participants,
The purpose of a study visit is to generate an exchange of experience and good practice between the country you visit and the countries you all come from. Thus, participating in a study visit can be an exciting experience and an important learning tool for you.
During the visit you are invited to prepare a group report summarising your discussions and learning. This will help Cedefop disseminate what you have learnt to others, who share your interest but did not participate in this particular study visit.
On the first day of the visit, you are to select a reporter who will be responsible for preparing the final report and submitting it to Cedefop. Everybody should contribute to the report by sharing their views, knowledge, and practices in their respective countries. Please start working on the report from the first day of the visit.
You will, of course, be taking your own notes during presentations and field visits; but the group report should highlight the result of the group’s reflections on what was seen and learnt during the entire visit and the different perspectives brought by the different countries and participants. The report should NOT read as a travel diary, describing every day and every session or visit.
Cedefop will publish extracts of your reports on its website and make them available to experts in education and vocational training. When writing the report, please keep this readership in mind: make your report clear, interesting, and detailed enough to be useful to colleagues throughout Europe.
By attaching any photos to the report, you agree to Cedefop’s right to use them in its publications on study visits and on its website.
Please prepare the report in the working language of the group.
Please do not include the programme or list of participants.
The reporter should submit the report to Cedefop (firstname.lastname@example.org) within ONE month of the visit.
I FINDINGS
This section summarises the findings of the group while visiting host institutions, discussing issues with the hosts and within the group. You will be reflecting on what you learnt every day. But to put them together and give an overall picture, you need to devote a special session to prepare the final report on the last day of the visit.
In this section, it is important that you describe not only things you learnt about the host country but also what you learnt about the countries represented by group members.
1. One of the objectives of the study visits programme is to exchange examples of good practice among hosts and participants. Cedefop will select well-described projects/programmes/initiatives and disseminate them to former participants and a wider public, including potential partners for future projects. Therefore it is important that you identify and describe all aspects that, in your view, make these projects/programmes/initiatives successful and worth exploring.
Describe each of the good practices you learnt about during the visit (both from the hosts and from one another) indicating the following:
| title of the project/programme /initiative | country | name of the institution that implements it (if possible, provide a website) | contact person (if possible) who presented the programme to the group | whom the project/programme/ initiative addresses | what features of the project/programme/initiative make it an example of good practice |
|--------------------------------------------|---------------|------------------------------------------------------------------------------|---------------------------------------------------------------------|-------------------------------------------------|------------------------------------------------------------------------------------------|
| Transition from education to work | Poland | The John Paul II Catholic University in Lublin | Katarzyna Marianczyk email@example.com | Young adults with intellectual disability, their teachers and parents | To support youth with intellectual disability in the transition from education to work and to provide the methods for teachers and families |
| Vocational education for people with disabilities | Lithuania | Asociacija “Lietuvos neįgaliųjų forumas” (Lithuanian Forum for the Disabled) www.lnf.lt | Lina Gulbine firstname.lastname@example.org | People with disabilities in Lithuania | To obtain the information about inclusive education and be able to provide it for our members organizations and public institutions |
| Black and White Project | Czech Republic| SPMP CR - http://www.inclusion-europe.com/topside/ | Camille Latimier email@example.com | Parents and disabled adults | Developing community based support for people with intellectual disability: working in partnership to achieve change. Creating and testing a method to build circles of support. |
| Person-centred person | Spain | Laborvalia Association www.laborvalia.org | Jose V. Garcia-Bermejo Polanco firstname.lastname@example.org | Adults with intellectual disabilities | To provide adults with intellectual disabilities with a wide range of services aimed to get the social inclusion in a holistic way (Labour, leisure, self-advocacy, Legal consultancy) |
| Vocational education in special schools | Germany | Biesalski-Schule, Berlin | Jürgen Scholz | Teachers, headteachers, teacher trainers | Vocational projects and student companies in special schools |
| Romanian children | Romania | Inspectoratul Scolar | Corobana Nelia | Head teacher, teacher | - Didactics and teaching methods |
2. The study visits programme aims to promote and support policy development and cooperation in lifelong learning. That is why it is important to know what you learnt about such policies and their implementation during your visit. You are invited to describe your findings concerning the following:
2.1 Approaches taken by participating countries (both host and participants’) regarding the theme of the visit. Are there any similar approaches/measures in participating countries? What aspects are similar and why? What aspects are different and why?
We have experienced that inclusion is a theme that is being debated a lot currently in our countries.
The situation in Lithuania is similar to the one in the Czech Republic. But in the CR there are more vocational education possibilities for children with disabilities. We find it positive that young people with disabilities can practice in the society providing a concrete service of which they are being payed. In Romania the children don’t have as many opportunities as they have in the CR even though the government encourages the companies to hire people with disabilities.
All participants countries are signatories of the Convention of Rights of People with disabilities which means that generally speaking, all of them have similar approaches, because environments must be inclusive in terms of education and employment.
2.2 Challenges faced by participating countries (including host) in their efforts to implement policies related to the theme of the visit. What are the challenges? Are they common challenges? If so, why? If not, why not?
In the special school of Klasterec nad Ohri it is a problem that 90% of the pupils’ parents are unemployed and most of them without an education. The parents are of that opinion that education isn’t important because of the social benefits they are receiving are equal to - or more – than they would earn if they were working. The Romanian participant tells of similar problems in their specific area, which are also a poor area inhabited by many people with social problems and less or no educational background. It looks partially different in Germany and Denmark. In all countries there is a gap between the educational system and employment market. People with disabilities tend to end up unemployed.
2.3 Name and describe effective and innovative solutions you have identified that participating countries (both host and participants) apply to address the challenges mentioned in question 2.2. Please mention specific country examples.
In Germany and Denmark the governments have made decisions to lower the social benefits so working is more attractive. In Denmark a more restrictive legislation has obliged young people to educate themselves and there is a pressure on people on social benefits to find a job. In general there is a higher degree of monitoring by the State in these countries which means that the state requires more from each individual. The governments have also succeeded to influent young people’s perspective on education by repeatedly mentioning that education is important. This means that there’s a common cultural understanding on this matter. In Romania is compulsory for companies with more than 50 workers to hire one with disabilities (in CR the number is 25 workers)
The main challenge in all our countries is the budget restrictions because true inclusion cost money.
### 2.4 ASSESSMENT OF THE TRANSFERABILITY OF POLICIES AND PRACTICES
**Could any examples of good practice presented in this report be applied and transferred to other countries? If so, why? If not, why not?**
The German and Danish model in the field of social benefits and encouraging people with disabilities to get in to the labour market can be a model for other countries. The idea that the Vocational Education program cooperate with the surrounding community is a very good idea (look 2.1) which should be able to transfer.
### 3. Creating networks of experts, building partnerships for future projects is another important objective of the study visit programme.
Please state whether and which ideas for future cooperation have evolved during meetings and discussions.
To achieve social inclusion of adults with special needs through a wide range of leisure activities such as dancing, singing, and learning traditional crafts. The World Wide Web is a suitable tool for people with disabilities to exchange experience and to feel that they are a part of society. We are thinking about planning international exchanges to develop people with disabilities in matter to become more self-reliant. This is similar to the social network programme presented by Camille Latimier.
TO SUM UP
4. What is the most interesting/useful information that the group believes should be communicated to others? To whom, do you think, this information will be of most interest?
In spite of the cultural differences we conclude that inclusion cost more money and resources than exclusion and therefore it must have higher priority. As a result of the new economic situation in Europe and the new legislative framework, mainly the Convention on the rights of people with disabilities, this target group must not be considered as mere receivers any longer, but they must be empowered to lead their own lives and to pursue their own dreams.
II Organisation of the visit
This part of the report will not be published but it will be made available to the organiser and will be used by national agencies and Cedefop to monitor and improve implementation of the study visits programme.
We recognise the value of ongoing feedback as a way of ensuring that the programme is at all times a responsive and dynamic initiative, meeting the needs of its various participants and target audiences. In this section you are invited to give us your feedback on several factors that, in our opinion, contribute to an effective visit.
1. Discuss within the group and check if you agree or disagree with the following statements. Please mark only one box (☒) that expresses most closely the opinion of the entire group. Please use Question 2 of this section to elaborate on your responses, if needed.
| | | All agree | Most agree | Most disagree | All disagree | Not applicable |
|---|---|-----------|------------|---------------|--------------|----------------|
| e.g. | The size of the group was good. | ☒ | □ | □ | □ | □ |
| 1.1. | The programme of the visit followed the description in the catalogue. | ☒ | □ | □ | □ | □ |
| 1.2. | There was a balance between theoretical and practical sessions. | □ | □ | ☒ | □ | □ |
| 1.3. | Presentations and field visits were linked in a coherent and complementary manner. | ☒ | □ | □ | □ | □ |
| | | All agree | Most agree | Most disagree | All disagree | Not applicable |
|---|---|-----------|------------|---------------|--------------|----------------|
| 1.4. | The topic was presented from the perspectives of the following actors of the education and training system in the host country: | | | | | |
| 1.4.1. | government and policy-makers | ☒ | □ | □ | □ | □ |
| 1.4.2. | social partners | ☒ | □ | □ | □ | □ |
| 1.4.3. | heads of institutions | ☒ | □ | □ | □ | □ |
| 1.4.4. | teachers and trainers | ☒ | □ | □ | □ | □ |
| 1.4.5. | students/trainees | □ | ☒ | □ | □ | □ |
| 1.4.6. | users of services | □ | ☒ | □ | □ | □ |
| 1.5. | There was enough time allocated to participants’ presentations. | ☒ | □ | □ | □ | □ |
| 1.6. | The background documentation on the theme provided before the visit helped to prepare for the visit. | □ | ☒ | □ | □ | □ |
| 1.7. | Most of the group received a programme well in advance. | □ | ☒ | □ | □ | □ |
| 1.8. | The information provided before the visit about transportation and accommodation was useful. | ☒ | □ | □ | □ | □ |
| 1.9. | The organiser accompanied the group during the entire programme. | ☒ | □ | □ | □ | □ |
| 1.10. | The size of the group was appropriate. | ☒ | □ | □ | □ | □ |
| 1.11. | The group comprised a good mixture of participants with diverse professional backgrounds. | ☒ | □ | □ | □ | □ |
| 1.12. | There were enough opportunities for interaction with representatives of the host organisations. | ☒ | □ | □ | □ | □ |
| 1.13. | There was enough time allocated for discussion within the group. | ☒ | □ | □ | □ | □ |
| 1.14. | The Cedefop study visits website provided | ☒ | □ | □ | □ | □ |
2. If you have any comments on the items 1.1. - 1.14 above, please write them in the box below.
III Summary
1. Having summarised all your reflections and impressions, please indicate how satisfied you are with your participation in the study visit. Indicate the number of participants for each category, e.g.
Very satisfied 10
2. What elements and aspects of the study visits do you think could be changed or improved?
More interaction with the students/pupils.
3. If there is anything else you would like to write about that is not included in the above questions, please feel free to write below or attach a separate sheet.
THANK YOU!
Please submit the report to Cedefop (email@example.com) within one month of the visit.
|
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| 34 | |
| 35 | |
---
- **Date:** 8 December 2010
- **Number:** 69
- **Volume:** 39
---
**Government Gazette**
- **Contact Numbers:**
- 3336137, 3323701
- 3325500
- **Email:** gazette@po-gov-mv
- **Website:** www.gazette.gov.mv
REQUEST FOR PROPOSALS
Companies Secretaries Training Program 2010
Capital Market Development Authority (CMDA) is looking for a firm or an Individual to develop and deliver a training program for Company Secretaries in the Maldives.
The objective of the program is to allow participants to acquire the practical skills required for effectively discharging the role of Company Secretary.
Target Audience
The program is targeted for the Company Secretaries of listed companies, public companies, state owned entities and private companies. A total of 30 participants are expected to undertake the program.
Duration of the Course
The program should be designed to conduct over 3 consecutive working days, from 9:00 am to 4:00 pm, expected to be held latest by the 1st week of August 2010.
Responsibilities of the Presenter
The firm or the individual hired to conduct this program will be tasked with preparing the course materials based on the proposed course outline. The course materials should be delivered to CMCGI 1 week prior to the commencement of the program. The materials should include any relevant case studies and working papers.
Educational Qualification and Experience
The firm or the individual should have previous experience in designing and delivering Company Secretaries Training Programs or any other similar programs which include modules related to the field.
The resource person should have a minimum educational qualification of Masters’ Degree in a related field or any other relevant area with 5 years experience on the field.
Proposed Course Outline for the Companies Secretaries Training Program
1. Overview of the Companies Act of the Republic of Maldives and other Corporate Laws applicable to Companies.
2. Evolving Role, Responsibilities and duties of today’s Company Secretary
3. Practical Skills required for effectively discharging the role of a Company Secretary
4. Interaction with Directors and Senior Management
5. Company Meetings, Minutes and Resolutions – Best Practices
6. Shareholder Communications, accountability and disclosures
External Reporting and Disclosure Requirements
7. Corporate Governance Standards & Ethics - Board structure, board committees, internal control system and risk management, transparency and disclosures
8. Maintaining Statutory Corporate records
9. Corporate Social Responsibility and good citizenship
*Please note that this is a guide for interested parties for the submission of proposals
Criteria for Evaluation
1. Responsibilities of the presenter (Course Design & execution dates) 22%
2. Educational qualification and experience 48%
3. Financial Details (in the case of a foreign resource person, costs associated with local convenience shall be borne by the resource person and accounted for, in the lump sum amount quoted in the financial details) 30%
All interested parties must submit their proposals, financial details and CV’s to CMDA or to the email address specified below by 1600 hrs on 15th July 2010.
Capital Market & Corporate Governance Institute
Capital Market Development Authority
4th Floor MTCC Tower, 20057
Boduthakurufaanu Magu
Male’, Maldives
Tel: + 960 3343685
Fax: + 960 3336624
Email: firstname.lastname@example.org
Website: www.cmda.gov.mv
6th July 2010
- Duration = 10 pts ("Shortest delivery period") / (Quoted duration) x 10".
- Experience = 10 pts (Please submit letter of reference from previous supplies for similar work).
**Further information:**
Interested bidders may obtain further information from the following address:
Procurement Department
State Electric Company Limited
Ameenee Magu, Male’, 20349
Republic of Maldives
Tel: (960) 333 8121, (960) 333 8122
Fax: (960) 332 7036
E-mail: procurement@stelco-com-mv.
- This invitation for bid is also published in STELCO website www.stelco-com-mv.
---
(IUL)28-B/1/2010/1015
**Bid Opening**
The Bid Opening will be held at the Procurement Department, State Electric Company Limited, Ameenee Magu, Male’ on 05th June 2010 at 11:30 am.
Bidders are requested to attend the Bid Opening and submit their sealed bids by 11:30 am on 05th June 2010.
For any clarification, please contact Mr. Ahmed Shihabuddin, Procurement Officer at 3313124.
Date: 23rd May 2010
---
(IUL)28-B/1/2010/1014
**Bid Opening**
The Bid Opening will be held at the Procurement Department, State Electric Company Limited, Ameenee Magu, Male’ on 12th June 2010 at 11:00 am.
Bidders are requested to attend the Bid Opening and submit their sealed bids by 11:00 am on 12th June 2010.
For any clarification, please contact Mr. Ahmed Shihabuddin, Procurement Officer at 3313124.
Date: 23rd May 2010
State Electric Company Ltd.
Ref No: H-2010/61
Date: 05/07/2010
Invitation for Bids
Re-tender of Construction of steel frame for supporting control room slab at K. Villingili Power House. (Ref no: H-2010/47), as few responses were received.
1. State Electric Company Ltd (STELCO) invites sealed bids from interested and eligible bidders to Construction of steel frame for supporting control room slab at K. Villingili Power House.
2. A complete set of bidding documents may be purchased by interested and eligible bidders from STELCO’s head office in Male’, from 05th July 2010 to 13th July 2010 between 08:30 hrs to 16:00 hrs on all working days, upon payment of a non-refundable fee of Mrf1000.00 (One Thousand) to our payment counters at head office. Documents shall be issued from 18th July 2010 to 21st July 2010 between 09:30hrs to 14:30hrs on all working days.
- Only bidders who purchase the bidding document can participate and thus the document is not transferable.
3. A pre-bid meeting shall be held on Thursday 22nd July 2010 at 10:30hrs local time at STELCO Head Office, 2nd Floor meeting room.
4. All bids shall reach STELCO head office on or before Monday, 02nd August 2010, 10:30hrs.
5. The bids shall be submitted in sealed envelope and addressed as follows:
Head of Procurement and Inventory Management Department
State Electric Company Limited.
Construction of Steel frame for supporting control room slab at K. Villingili Power House
Ref. no: H-2010/61
- STELCO shall not be liable for the misplacement or premature opening for the unlabeled sealed bids.
6. Bids shall be opened on Thursday, 29th July 2010, at 10:30hrs, at STELCO Head Office, 2nd Floor meeting room, in the presence of those bidders or bidder’s representatives who wish to attend the session.
Key Dates:
| EVENT | DATE | TIME |
|------------------------|-----------------------------|---------------|
| Selling Tender documents | 05th July 2010 – 13th July 2010 (on all working days) | 08:30 hrs – 16:00 hrs |
| Issuing Tender Documents | 18th July 2010 – 21st July 2010 (on all working days) | 09:30 hrs – 14:30 hrs |
| Pre-bid Meeting | 22nd July 2010 (Thursday) | 11:30 hrs |
| Bid Opening | 02nd August 2010 (Monday) | 11:30 hrs |
• **Bid Evaluation Criteria:**
All Bids shall be evaluated on the following basis. And points (pts) shall be given according to the formula below.
- Price = 80 pts “(Minimum Quoted Price) / (Quoted Price) x 80”.
171-FD(PU)/IUL/2010/98
مرجع:
171-FD(PU)/IUL/2010/97
مرجع:
171-FD(PU)/IUL/2010/103:
مرجع:
171-FD(PU)/IUL/2010/102
مرجع:
171-FD(PU)/IUL/2010/1016
مرجع:
Ministry of Finance and Treasury
Male’, Republic of Maldives
Ref.No.: 13-K/IUL/2010/52
Project No.: TEB/2010/45
INVITATION FOR BIDS
Subject: Supply and Delivery of Medical Consumables for IGMH (Laboratory and Nursing) - Retender
1. The Ministry of Finance and Treasury, on behalf of Indhira Gandhi Memorial Hospital (IGMH) invites sealed bids from eligible suppliers both local & International for the *Supply & Delivery of Medical Consumables (Laboratory and Nursing) – Retender* for a period of 6 months.
2. A complete set of the Tender Documents may be obtained from Tender Evaluation Section of Ministry of Finance and Treasury, from *05th July 2010 to 13th July 2010 between 0830hrs and 1530 hrs* on all working days, upon payment of a non-refundable fee of *MRF 500.00 (Five Hundred Maldivian Rufiyaa)*.
3. Bidders may obtain further information from the following address,
Tender Evaluation Section
Ministry of Finance and Treasury,
Ameenee Magu,
Malé, Maldives,
Tel: (960) 3349102, (960) 3349106
Fax: (960) 3320706, (960) 3324432
E-Mail: email@example.com
4. All bids shall be accompanied by a Bid Security of the value *MRF 50,000.00* or an equivalent amount in a freely convertible currency which is valid 28 days beyond the validity of the Bid. A pre-bid meeting will be held on *12th July 2010 at 1200 hrs* Maldivian time at the Ministry of Finance and Treasury.
5. Bids shall be valid for a period of *180 days* from the date of bid opening and shall be delivered to the Ministry of Finance and Treasury at the address specified above in Clause 4 of this Invitation for Bids, on or before *1200 hrs Maldivian time on 20th July 2010*, at which time they will be opened in the presence of the Bidders who wish to attend.
6. This Invitation for Bid is also published in the Ministry of Finance and Treasury website [www.finance.gov](http://www.finance.gov).
Company details: Shall submit company profile, registration copy and contact details.
- Important Note: It is in STELCO’s discretion to reject/cancel any bid which does not fulfil or comply the above terms, at anytime during the bid evaluation process.
• Bid Evaluation Criteria:
All Bids shall be evaluated on the following basis. Points (pts) shall be given according to the formula below.
- Price = 75 pts \[ \frac{(\text{Minimum Quoted Price})}{(\text{Quoted Price})} \times 75 \].
- Delivery period = 20 pts \[ \frac{(\text{Shortest delivery period})}{(\text{Quoted delivery period})} \times 20 \].
- Experience = 05 pts (Shall submit reference letters from previous supplies for similar work).
* Additional (US$25/- plus 0.04% of bid amount shall be included to price of bid as financial costs for overseas payments).
• The bid shall be submitted in sealed envelope and addressed as follows:
Head of Procurement Department
State Electric Company Limited.
Termination Kits & Cable Lugs / Inventory Management Unit
Ref. no: H-2010/73
- STELCO shall not be liable for the misplacement or premature opening for the unlabeled sealed bids.
• Deadline:
All sealed bids shall reach STELCO head office on or before Wednesday, 21st July 2010, 12:30hrs. Any bid(s) received after this deadline shall be disqualified.
• Bid Opening:
Bids shall be opened on Wednesday, 21st July 2010, at 12:30hrs, in STELCO Head Office / 2nd Floor meeting room, in the presence of those bidders or bidder’s representatives who wish to attend the session.
• Further information:
Interested bidders may obtain further information from the following address:
Procurement Department
State Electric Company Limited.
Ameenee Magu, Male’, 20349
Republic of Maldives
Tel: (960) 333 8121, (960) 333 8122
Fax: (960) 332 7036
E-mail: firstname.lastname@example.org.
- This invitation for bid is also published in STELCO website www.stelco.com.mv.
State Electric Company Ltd.
Ref No: H-2010/75
Date: 08-07-2010
Invitation for Bids
State Electric Company Limited (STELCO) invites sealed bids from interested and eligible bidders for the following item(s).
| Item | Description | Qty |
|------|-------------|-----|
| 1 | Termination Kit 11 KV 3C x 70mm² XLPE/SCT/PVC/SWA/PVC Cu Cable, TKN-50-90 No-650-SG, Brand Tyco | 30 KITS |
| 2 | Termination Kit 11KV 3C x 185mm² XLPE/SCT/PVC/SWA/PVC Cu Cable, TKN-95-240 No-650-SG, Brand Tyco | 30 KITS |
| 3 | HV CABLE LUG COPPER 70mm² (2A14-M12) | 90 PCS |
| 4 | HV CABLE LUG COPPER 185mm² (2437-M12) | 90 PCS |
• **Bids shall indicate the following:**
- Price
* Door Step Delivery Price
OR
* CIF Price
The following charges shall be applied for CIF Male’ Prices:
1. For custom duty (25% of CIF price)
2. For clearing, handling & delivery to STELCO site (2% of the highest quoted CIF price)
* Bids shall indicate the unit price, total price for each item and total price of the bid.
- **Currency** (If not stated, shall be assumed as Maldivian Rufiya).
- **Delivery period** (In days). For CIF quoted bids, additional 07 days shall be included for the clearing, handling and delivery to STELCO site. Delivery indicated as ‘ex-stock’ and a particular duration not specified shall be taken same as the bidder offering the longest delivery period.
- **Technical specification(s)**: All the relevant information(s) shall be completed to enable technical evaluation of the item(s) quoted.
- **Genuine parts**: Only genuine product(s) shall be acceptable.
- **Payment terms**: 100% upon delivery within 30 working days.
- **Bid validity**: Bid validity shall be minimum 30 days from the date of bid opening.
- **Currency** (If not stated, shall be assumed as Maldivian Rufiya).
- **Delivery period** (In days). For CIF quoted bids, additional 07 days shall be included for the clearing, handling and delivery to STELCO site. Delivery indicated as ‘ex-stock’ and a particular duration not specified shall be taken same as the bidder offering the longest delivery period.
- **Technical specification(s)**: All the relevant information(s) shall be completed to enable technical evaluation of the item(s) quoted.
- **Genuine parts**: Only genuine product(s) shall be acceptable.
- **Payment terms**: 100% upon delivery within 30 working days.
- **Bid validity**: Bid validity shall be minimum 30 days from the date of bid opening.
- **Company details**: Shall submit company profile, registration copy and contact details.
- **Important Note**: It is in STELCO’s discretion to reject/cancel any bid which does not fulfil or comply the above terms, at anytime during the bid evaluation process.
• **Bid Evaluation Criteria**:
All Bids shall be evaluated on the following basis. Points (pts) shall be given according to the formula below.
- Price = 80 pts \[ \frac{(\text{Minimum Quoted Price})}{(\text{Quoted Price})} \times 80 \].
- Delivery period = 15 pts \[ \frac{(\text{Shortest delivery period})}{(\text{Quoted delivery period})} \times 15 \].
- Experience = 05 pts (Shall submit reference letters from previous supplies for similar work).
* Additional (US$25/- plus 0.04% of bid amount shall be included to price of bid as financial costs for overseas payments).
• **The bid shall be submitted in sealed envelope and addressed as follows**:
Head of Procurement Department
State Electric Company Limited.
Cummins Engine 4BT 3.9 G2 Spares / RD.
Ref. no: H-2010/71
- STELCO shall **not be liable** for the misplacement or premature opening for the unlabeled sealed bids.
• **Deadline**:
All sealed bids shall reach STELCO head office on or before **Wednesday, 21st July 2010, 14:30hrs**. Any bid(s) received after this deadline shall be disqualified.
• **Bid Opening**:
Bids shall be opened on **Wednesday, 21st July 2010, at 14:30hrs**, in **STELCO Head Office / 2nd Floor meeting room**, in the presence of those bidders or bidder’s representatives who wish to attend the session.
• **Further information**:
Interested bidders may obtain further information from the following address:
Procurement Department
State Electric Company Limited.
Ameenee Magu, Male’, 20349
Republic of Maldives
Tel: (960) 333 8121, (960) 333 8122
Fax: (960) 332 7036
E-mail: email@example.com.
- This invitation for bid is also published in STELCO website [www.stelco.com.mv](http://www.stelco.com.mv).
State Electric Company Ltd.
Ref No: H-2010/71
Date: 08-07-2010
Invitation for Bids
Re-tender of Cummins Engine 4BT 3.9-G2 Spares for Regional Department (Ref no: PMT-2010/67)
State Electric Company Limited (STELCO) invites sealed bids from interested and eligible bidders for the following item(s).
| Item | Description | Qty |
|------|--------------------------------------------------|-----|
| 1 | SEAL OIL (P/N:3904353) | 1 |
| 2 | TAPPET (P/N:3907240) | 8 |
| 3 | SLEEVE SALVAGE (P/N:3904166) | 4 |
| 4 | SET MAIN BEARING (P/N:3802010) | 1 |
| 5 | BELT V RIBBED (P/N:3903090) | 1 |
| 6 | KIT SEAL OIL (P/N:3909410) | 1 |
| 7 | PUMP TRANSFER (P/N:3904374) | 1 |
| 8 | CAP FILLER (P/N:101322) | 1 |
| 9 | KIT ENGINE PISTON (P/N:3802100) | 4 |
| 10 | SET PISTON RING (P/N:3802050) | 4 |
| 11 | BEARING CON ROD (P/N:3901170) | 8 |
| 12 | SCREW CON ROD (P/N:3900919) | 8 |
| 13 | VALVE EX (P/N:3802006) | 4 |
| 14 | VALVE IN (P/N:3802005) | 4 |
| 15 | KIT INJECTOR (P/N:3802035) | 4 |
| 16 | STARTING MOTOR (P/N:3909913) 12 V | 1 |
| 17 | WATER PUMP (P/N:3802004) | 1 |
| 18 | SET UPPER ENGINE GASKET (P/N:3802016) | 1 |
| 19 | SET LOWER ENGINE GASKET (P/N:3802019) | 1 |
Remarks: Cummins Diesel Engine, M/N: 4BT 3.9 G, S/N: 21071075, CPL no: 696
- Bids shall indicate the following:
- Price
* Door Step Delivery Price
OR
* CIF Price
The following charges shall be applied for CIF Male’ Prices:
1. For custom duty (25% of CIF price)
2. For clearing, handling & delivery to STELCO site (2% of the highest quoted CIF price)
* Bids shall indicate the unit price, total price for each item and total price of the bid.
• **Bid Evaluation Criteria:**
All Bids shall be evaluated on the following basis. Points (pts) shall be given according to the formula below.
- Price = 80 pts \[ \frac{(\text{Minimum Quoted Price})}{(\text{Quoted Price})} \times 80 \].
- Delivery period = 15 pts \[ \frac{(\text{Shortest delivery period})}{(\text{Quoted delivery period})} \times 15 \].
- Experience = 05 pts (Shall submit reference letters from previous supplies for similar work).
* Additional (US$25/- plus 0.04% of bid amount shall be included to price of bid as financial costs for overseas payments).
• **The bid shall be submitted in sealed envelope and addressed as follows:**
Head of Procurement Department
State Electric Company Limited.
Surg Suppressor / Hulhumale Powerhouse.
Ref. no: H-2010/68
- STELCO shall not be liable for the misplacement or premature opening for the unlabeled sealed bids.
• **Deadline:**
All sealed bids shall reach STELCO head office on or before **Wednesday, 21st July 2010, 14:00hrs**. Any bid(s) received after this deadline shall be disqualified.
• **Bid Opening:**
Bids shall be opened on **Wednesday, 21st July 2010, at 14:00hrs**, in **STELCO Head Office / 2nd Floor meeting room**, in the presence of those bidders or bidder’s representatives who wish to attend the session.
• **Further information:**
Interested bidders may obtain further information from the following address:
Procurement Department
State Electric Company Limited.
Ameene Magu, Male’, 20349
Republic of Maldives
Tel: (960) 333 8121, (960) 333 8122
Fax: (960) 332 7036
E-mail: firstname.lastname@example.org.
- This invitation for bid is also published in STELCO website [www.stelco.com.mv](http://www.stelco.com.mv).
State Electric Company Ltd.
Ref No: H-2010/68
Date: 08-07-2010
**Invitation for Bids**
Re-tender of Surg Suppressor for K. Hulhumale Powerhouse (Ref no: PMT-2010/74)
State Electric Company Limited (STELCO) invites sealed bids from interested and eligible bidders for the following item(s).
| Item | Description | Qty |
|------|------------------------------------|-----|
| 1 | Surg Suppressor (Z 500) Stamford | 8 |
- **Bids shall indicate the following:**
- Price
* Door Step Delivery Price
OR
* CIF Price
The following charges shall be applied for CIF Male’ Prices:
1. For custom duty (25% of CIF price)
2. For clearing, handling & delivery to STELCO site (2% of the highest quoted CIF price)
* Bids shall indicate the unit price, total price for each item and total price of the bid.
- **Currency** (If not stated, shall be assumed as Maldivian Rufiya).
- **Delivery period** (In days). For CIF quoted bids, additional 07 days shall be included for the clearing, handling and delivery to STELCO site. Delivery indicated as ‘ex-stock’ and a particular duration not specified shall be taken same as the bidder offering the longest delivery period.
- **Technical specification(s)**: All the relevant information(s) shall be completed to enable technical evaluation of the item(s) quoted.
- **Genuine parts**: Only genuine product(s) shall be acceptable.
- **Payment terms**: 100% upon delivery within 30 working days.
- **Bid validity**: Bid validity shall be minimum 30 days from the date of bid opening.
- **Company details**: Shall submit company profile, registration copy and contact details.
- **Important Note**: It is in STELCO’s discretion to reject/cancel any bid which does not fulfil or comply the above terms, at anytime during the bid evaluation process.
- **Important Note:** It is in STELCO’s discretion to reject/cancel any bid which does not fulfill or comply the above terms, at anytime during the bid evaluation process.
• **Bid Evaluation Criteria:**
All Bids shall be evaluated on the following basis. Points (pts) shall be given according to the formula below.
- Price = 75 pts \[ \frac{(\text{Minimum Quoted Price})}{(\text{Quoted Price})} \times 75 \].
- Delivery period = 20 pts \[ \frac{(\text{Shortest delivery period})}{(\text{Quoted delivery period})} \times 20 \].
- Experience = 05 pts (Shall submit reference letters from previous supplies for similar work).
* Additional (US$25/- plus 0.04% of bid amount shall be included to price of bid as financial costs for overseas payments).
• **The bid shall be submitted in sealed envelope and addressed as follows:**
Head of Procurement Department
State Electric Company Limited.
Glamox IND Luminaires / Power Generation Department.
Ref. no: H-2010/67
- STELCO shall **not be liable** for the misplacement or premature opening for the unlabeled sealed bids.
• **Deadline:**
All sealed bids shall reach STELCO head office on or before **Wednesday, 21st July 2010, 13:30hrs**. Any bid(s) received after this deadline shall be disqualified.
• **Bid Opening:**
Bids shall be opened on **Wednesday, 21st July 2010, at 13:30hrs**, in **STELCO Head Office / 2nd Floor meeting room**, in the presence of those bidders or bidder’s representatives who wish to attend the session.
• **Further information:**
Interested bidders may obtain further information from the following address:
Procurement Department
State Electric Company Limited.
Amenee Magu, Male’, 20349
Republic of Maldives
Tel: (960) 333 8121, (960) 333 8122
Fax: (960) 332 7036
E-mail: email@example.com.
- This invitation for bid is also published in STELCO website www.stelco.com.mv
State Electric Company Ltd.
Ref No: H-2010/67
Date: 08-07-2010
Invitation for Bids
Re-tender of Glamox IND Luminares for Power Generation Department (Ref no: PMT-2010/10A)
State Electric Company Limited (STELCO) invites sealed bids from interested and eligible bidders for the following item(s).
| Item | Description | Qty |
|------|-----------------------------------------------------------------------------|-----|
| 1 | GLAMOX IND Luminare GPV MIR Z236, 230V 50Hz | |
| | (2 x 36W Lamps Electronic Ballast) or Equivalent | 50 |
| 2 | GLAMOX IND Luminare with Emergency Light MIXZ67 236, 4/5 TW PC20 | |
| | (2 x 36W Lamps Electronic Ballast) or Equivalent | 10 |
• **Bids shall indicate the following:**
- **Price**
* Door Step Delivery Price
OR
* CIF Price
The following charges shall be applied for CIF Male’ Prices:
1. For custom duty (25% of CIF price)
2. For clearing, handling & delivery to STELCO site (2% of the highest quoted CIF price)
* Bids shall indicate the unit price, total price for each item and total price of the bid.
- **Currency** (If not stated, shall be assumed as Maldivian Rufiya).
- **Delivery period** (In days). For CIF quoted bids, additional 07 days shall be included for the clearing, handling and delivery to STELCO site. Delivery indicated as ‘ex-stock’ and a particular duration not specified shall be taken same as the bidder offering the longest delivery period.
- **Technical specification(s)**: All the relevant information(s) shall be completed to enable technical evaluation of the item(s) quoted.
- **Genuine parts**: Only genuine product(s) shall be acceptable.
- **Payment terms**: 100% upon delivery within 30 working days.
- **Bid validity**: Bid validity shall be minimum 30 days from the date of bid opening.
- **Company details**: Shall submit company profile, registration copy and contact details.
• **Further information:**
Interested bidders may obtain further information from the following address:
Procurement Department
State Electric Company Limited.
Ameenee Magu, Male’, 20349
Republic of Maldives
Tel: (960) 333 8121, (960) 333 8122
Fax: (960) 332 7036
E-mail: firstname.lastname@example.org.
- This invitation for bid is also published in STELCO website [www.stelco.com.mv](http://www.stelco.com.mv).
State Electric Company Ltd.
Ref No: H-2010/73
Date: 08/07/2010
Invitation for Bids
1. State Electric Company Ltd (STELCO) invites sealed bids from interested and eligible bidders to **Supply of 11kV Equipments and Accessories required for K. Hulhumale and Villimale Distribution Network upgrading Project 2010**.
2. A complete set of bidding documents may be purchased by interested and eligible bidders from STELCO’s head office in Male’, from **11th July 2010 to 22nd July 2010** between **08:30 hrs to 16:00 hrs** on all working days, upon payment of a non-refundable fee of US$50.00 (Fifty) or equivalent in Maldivian Rufiyaa, by telegraphic transfer or directly to our payment counters at head office. Overseas bidders shall pay additional US$50.00 (Fifty) if they require the documents to be delivered to their mailing address. Documents shall be issued from **21st July 2010 to 25th July 2010** between **09:30hrs to 14:30hrs** on all working days.
- Only bidders who purchase the bidding document can participate and thus the document is not transferable.
3. A pre-bid meeting shall be held on **Sunday 01st August 2010 at 11:30hrs** local time at **STELCO Head Office, 2nd Floor meeting room**.
4. All bids shall reach STELCO head office on or before **Sunday, 15th August 2010**, at **11:30hrs**.
5. The bids shall be submitted in sealed envelope and addressed as follows:
- Head of Procurement Department
- State Electric Company Limited.
Supply of 11kV Equipments and Accessories required for K. Hulhumale and Villimale
Ref. no: H-2010/73
- STELCO shall not be liable for the misplacement or premature opening for the unlabeled sealed bids.
6. Bids shall be opened on **Sunday, 15th August 2010, at 11:30hrs**, at **STELCO Head Office, 2nd Floor meeting room**, in the presence of those bidders or bidder’s representatives who wish to attend the session.
Key Dates:-
| EVENT | DATE | TIME |
|------------------------|-------------------------------------------|------------|
| Selling Tender documents| 11th July 2010 – 22nd July 2010 (on all working days) | 08:30 hrs – 16:00 hrs |
| Issuing Tender Documents| 21st July 2010 – 25th July 2010 (on all working days) | 09:30 hrs – 14:30 hrs |
| Pre-bid Meeting | 01 August 2010 (Sunday) | 11:30 hrs |
| Bid Opening | 15th August 2010 (Sunday) | 11:30 hrs |
- **Bid Evaluation Criteria:**
All Bids shall be evaluated on the following basis. And points (pts) shall be given according to the formula below.
- Price = 80 pts \[ \frac{(\text{Minimum Quoted Price})}{(\text{Quoted Price})} \times 80 \].
- Duration = 10 pts \[ \frac{(\text{Shortest delivery period})}{(\text{Quoted duration})} \times 10 \].
- Experience = 10 pts *(Please submit letter of reference from previous supplies for similar work).*
* Additional (US$25/- plus 0.04% of bid amount shall be included to price of bid as financial costs for overseas payments).
• The bid shall be submitted in sealed envelope and addressed as follows:
Head of Procurement Department
State Electric Company Limited.
Proximity Card
Ref. no: H-2010/72
- STELCO will not be liable for the misplacement or premature opening for the unlabeled sealed bids.
• Deadline:
All sealed bids shall reach STELCO head office on or before Thursday, 22nd July 2010, at 10:30hrs. Any bid(s) received after this deadline shall be disqualified.
• Bid Opening:
Bids shall be opened on Thursday, 22nd July 2010, at 10:30hrs., STELCO Head Office, at 2nd Floor meeting room, in the presence of those bidders or bidder’s representatives who wish to attend the session.
• Further information:
Interested bidders may obtain further information from the following address:
Procurement Department
State Electric Company Limited.
Ameenee Magu, Male’, 20349
Republic of Maldives
Tel: (960) 333 8121, (960) 333 8122
Fax: (960) 332 7036
E-mail: email@example.com.
- This invitation for bid is also published in STELCO website www.stelco.com.mv.
State Electric Company Ltd.
Ref No: H-2010/72
Date: 08/07/2010
Invitation for Bids
State Electric Company Limited (STELCO) wishes to invite sealed bids from interested and eligible bidders for the supply & delivery of the following item(s).
| Item | Description | Qty |
|------|-------------|-----|
| 1 | PROXIMITY CARD | 300 Nos. |
| | 125khz programmable ASK, | |
| | 0.8mm thick, Card size: Standard cr80 | |
• Bids shall indicate the following:
- Price
* Door Step Delivery Price
OR
* CIF Price
The following charges shall be applied for CIF Male’ Prices:
1. For custom duty (25% of CIF price)
2. For clearing, handling & delivery to STELCO site (2% of the highest quoted CIF price)
* Bids shall indicate the unit price, total price for each item and total price of the bid.
- Currency (If not stated, shall be assumed as Maldivian Rufiya).
- Delivery period (In days). For CIF quoted bids, additional 07 days shall be included for the clearing, handling and delivery to STELCO site. Delivery indicated as ‘ex-stock’ and a particular duration not specified shall be taken same as the bidder offering the longest delivery period.
- Technical specification(s): All the relevant information(s) shall be completed to enable technical evaluation of the item(s) quoted.
- Genuine parts: Only genuine product(s) shall be acceptable.
- Payment terms: 100% upon delivery within 30 working days.
- Bid validity: Bid validity shall be minimum 30 days from the date of bid opening.
- Company details: Shall submit company profile, registration copy and contact details.
- Important Note: It is in STELCO’s discretion to reject/cancel any bid which does not fulfil or comply the above terms, at anytime during the bid evaluation process.
• Bid Evaluation Criteria:
All Bids shall be evaluated on the following basis. Points (pts) shall be given according to the formula below.
- Price = 85 pts \[ \frac{(\text{Minimum Quoted Price})}{(\text{Quoted Price})} \times 85 \].
- Delivery period = 10 pts \[ \frac{(\text{Shortest delivery period})}{(\text{Quoted delivery period})} \times 10 \].
- Experience = 05 pts (Submit feedback from previous supplies for similar work).
• **Bid Evaluation Criteria:**
All Bids shall be evaluated on the following basis. Points (pts) shall be given according to the formula below.
- Price = 85 pts \[ \frac{(\text{Minimum Quoted Price})}{(\text{Quoted Price})} \times 85 \].
- Delivery period = 10 pts \[ \frac{(\text{Shortest delivery period})}{(\text{Quoted delivery period})} \times 10 \].
- Experience = 05 pts (\textit{Submit feedback from previous supplies for similar work}).
* Additional (US$25/- plus 0.04% of bid amount shall be included to price of bid as financial costs for overseas payments).
• **The bid shall be submitted in sealed envelope and addressed as follows:**
Head of Procurement Department
State Electric Company Limited.
\textit{Engraving Machine}
Ref. no: H-2010/66
- STELCO will not be liable for the misplacement or premature opening for the unlabeled sealed bids.
• **Pre-bid Meeting:**
A pre-bid meeting will be held on \textit{Monday, 12th July 2010 at 10:30hrs. at STELCO Head Office, 2nd Floor meeting room}.
• **Deadline:**
All sealed bids shall reach STELCO head office on or before \textit{Wednesday, 28th July 2010, at 10:30hrs}. Any bid(s) received after this deadline shall be disqualified.
• **Bid Opening:**
Bids shall be opened on \textit{Wednesday, 28th July 2010, at 10:30hrs, STELCO Head Office, at 2nd Floor meeting room}, in the presence of those bidders or bidder’s representatives who wish to attend the session.
• **Further information:**
Interested bidders may obtain further information from the following address:
Procurement Department
State Electric Company Limited.
Ameenee Magu, Male’, 20349
Republic of Maldives
Tel: (960) 333 8121, (960) 333 8122
Fax: (960) 332 7036
E-mail: firstname.lastname@example.org
- This invitation for bid is also published in STELCO website \textit{www.stelco.com.mv}
State Electric Company Ltd.
Ref No: H-2010/66
Date: 08/07/2010
Invitation for Bids
Re-tender of Engraving Machine & Plastic Sheets required for STELCO (Ref no: H-2010/53)
State Electric Company Limited (STELCO) wishes to invite sealed bids from interested and eligible bidders for the supply & delivery of the following item(s).
| Item | Description | Qty |
|------|-------------|-----|
| 1 | Engraving Machine (Rotary type engraving machine, with computer interface including software) | 1 Nos. |
| | Remarks: For signage of substations / distribution box | |
| 2 | Engraving Plastic Sheets (610mm x 1220mm) (Matte 2-ply suitable for outdoor, 1.5mm thick, White background with black lettering) | 10 Nos. |
| | Remarks: For signage of substations / distribution box | |
• **Bids shall indicate the following:**
- Price
* Door Step Delivery Price
OR
* CIF Price
The following charges shall be applied for CIF Male’ Prices:
1. For custom duty (25% of CIF price)
2. For clearing, handling & delivery to STELCO site (2% of the highest quoted CIF price)
* Bids shall indicate the unit price, total price for each item and total price of the bid.
- **Currency** (If not stated, shall be assumed as Maldivian Rufiya).
- **Delivery period** (In days). For CIF quoted bids, additional 07 days shall be included for the clearing, handling and delivery to STELCO site. Delivery indicated as ‘ex-stock’ and a particular duration not specified shall be taken same as the bidder offering the longest delivery period.
- **Technical specification(s)**: All the relevant information(s) shall be completed to enable technical evaluation of the item(s) quoted.
- **Genuine parts**: Only genuine product(s) shall be acceptable.
- **Payment terms**: 100% upon delivery within 30 working days.
- **Bid validity**: Bid validity shall be minimum 30 days from the date of bid opening.
- **Company details**: Shall submit company profile, registration copy and contact details.
- **Important Note**: It is in STELCO’s discretion to reject/cancel any bid which does not fulfil or comply the above terms, at anytime during the bid evaluation process.
- Payment Terms: 100% upon delivery within 30 working days.
- Bid Validity: Bid validity shall be minimum 30 days from the date of bid opening.
- Company details: Shall submit company profile, registration copy and contact details.
• The bid shall be submitted in sealed envelope and addressed as follows:
Head of Procurement Department
State Electric Company Limited.
Cable Cutter & Crimping Tool
Ref. no: H-2010/56
- STELCO shall not be liable for the misplacement or premature opening for the unlabeled sealed bids.
• Deadline:
All sealed bids shall reach STELCO head office on or before Monday, 12th July 2010, 11:30hrs. Any bid(s) received after this deadline shall be disqualified.
• Bid Opening:
Bids shall be opened on Monday, 12th July 2010, 11:30hrs, STELCO Head Office, at 2nd Floor meeting room, in the presence of those bidders or bidder’s representatives who wish to attend the session.
• Bid Evaluation Criteria:
All Bids shall be evaluated on the following basis. Points (pts) shall be given according to the formula below.
- Price = 85 pts [(Minimum Quoted Price) / (Quoted Price) x 85].
- Delivery period = 10 pts [(Shortest delivery period) / (Quoted delivery period) x 10].
- Experience = 05 pts (Submit feedback from previous supplies for similar work).
* Additional (US$25/- plus 0.04% of bid amount shall be included to price of bid as financial costs for overseas payments).
• Further information:
Interested bidders may obtain further information from the following address:
Procurement Department
State Electric Company Limited.
Ameenee Magu, Male’, 20349
Republic of Maldives
Tel: (960) 333 8121, (960) 333 8122
Fax: (960) 332 7036
E-mail: email@example.com.
- This invitation for bid is also published in STELCO website www.stelco.com.mv
State Electric Company Ltd.
Ref No: H-2010/56
Date: 05/07/2010
**Invitation for Bids**
State Electric Company Limited (STELCO) invites sealed bids from interested and eligible for the supply & delivery of the following item(s).
| Item | Description | Qty |
|------|-------------|-----|
| 1 | Battery Operated Cable Cutter - Should be able to cut through 40mm copper Strands
Shall include the followings:
Battery Charger 220-240V AC,
2 Batteries,
Carry Case | 1 | No. |
| 2 | Battery Operated Crimping Tool - Should be able to crimp copper lugs upto 630sqmm
Shall include the followings:
With Crimping dies
Battery Charger 220-240V AC,
2 Batteries
Carry Case | 1 | No. |
Remarks: For Power Distribution Unit
• Bids shall indicate the following:
- Price
* Door Step Delivery Price
OR
* CIF Price
The following charges shall be applied for CIF Male’ Prices:
1. For custom duty (25% of CIF price)
2. For clearing, handling & delivery to STELCO site (2% of the highest quoted CIF price)
* Bids shall indicate the unit price, total price for each item and total price of the bid.
- Currency (If not stated, shall be assumed as Maldivian Rufiya).
- Delivery period (In days). For CIF quoted bids, additional 07 days shall be included for the clearing, handling and delivery to STELCO site. Delivery indicated as ‘ex-stock’ and a particular duration not specified shall be taken same as the bidder offering the longest delivery period.
- Technical specification(s): All the relevant information(s) shall be completed to enable technical evaluation of the item(s) quoted.
- Genuine parts: Only genuine product(s) shall be acceptable.
| مجموعہ | سرخی | تفصیل |
|--------|-------|--------|
| 1 | 7035/- | 2000 میں |
| مجموعہ | سرخی | تفصیل |
|--------|-------|--------|
| 2 | 6245/- | 2000 میں |
| مجموعہ | سرخی | تفصیل |
|--------|-------|--------|
| 3 | 1 | سردار میر کوکر |
| مجموعہ | سرخی | تفصیل |
|--------|-------|--------|
| 4 | 1 | سردار میر کوکر |
| مجموعہ | سرخی | تفصیل |
|--------|-------|--------|
| 5 | 1 | سردار میر کوکر |
| مجموعہ | سرخی | تفصیل |
|--------|-------|--------|
| 6 | 1 | سردار میر کوکر |
| مجموعہ | سرخی | تفصیل |
|--------|-------|--------|
| 7 | 1 | سردار میر کوکر |
| مجموعہ | سرخی | تفصیل |
|--------|-------|--------|
| 8 | 1 | سردار میر کوکر |
| مجموعہ | سرخی | تفصیل |
|--------|-------|--------|
| 9 | 1 | سردار میر کوکر |
| شمارہ | تفصیل | مبلغ |
|-------|--------|------|
| 1 | 5020/- | 1500/-
| | 5020/- | 1500/-
| | 5020/- | 1500/-
| | 5020/- | 1500/-
1. کسی بھی کاروباری انجمن / کمیٹی کے نام پر 2 ہزار روپے کا مجموعہ ہے۔
2. کسی بھی کاروباری انجمن / کمیٹی کے نام پر 4 ہزار روپے کا مجموعہ ہے۔
3. کسی بھی کاروباری انجمن / کمیٹی کے نام پر 6 ہزار روپے کا مجموعہ ہے۔
4. کسی بھی کاروباری انجمن / کمیٹی کے نام پر 9 ہزار روپے کا مجموعہ ہے۔
2010/05/05
IL-2010/28
شمارہ: 02
| شمارہ | تفصیل | مبلغ |
|-------|--------|------|
| 1 | 5020/- | 1500/-
| | 5020/- | 1500/-
| | 5020/- | 1500/-
| | 5020/- | 1500/-
1. کسی بھی کاروباری انجمن / کمیٹی کے نام پر 2 ہزار روپے کا مجموعہ ہے۔
2. کسی بھی کاروباری انجمن / کمیٹی کے نام پر 4 ہزار روپے کا مجموعہ ہے۔
3. کسی بھی کاروباری انجمن / کمیٹی کے نام پر 6 ہزار روپے کا مجموعہ ہے۔
4. کسی بھی کاروباری انجمن / کمیٹی کے نام پر 9 ہزار روپے کا مجموعہ ہے۔
| ترتیب | مضمون | تعداد صفحات | تعداد صورت | تعداد صورت 1 | تعداد صورت 2 | تعداد صورت 3 |
|-------|--------|--------------|-------------|--------------|--------------|--------------|
| 1 | مضمون 1 | 1 | 4 | 4465/- | 1500/- | |
| 2 | مضمون 2 | 2 | 3 | 3 | 3 | |
| 3 | مضمون 3 | 3 | 2 | 2 | 2 | |
| 4 | مضمون 4 | 4 | 6 | 6 | 6 | |
| 5 | مضمون 5 | 5 | 3 | 3 | 3 | |
| 6 | مضمون 6 | 6 | 2 | 2 | 2 | |
| 7 | مضمون 7 | 7 | 3 | 3 | 3 | |
| ترتیب | مضمون | تعداد صفحات | تعداد صورت | تعداد صورت 1 | تعداد صورت 2 | تعداد صورت 3 |
|-------|--------|--------------|-------------|--------------|--------------|--------------|
| 1 | مضمون 1 | 1 | 4 | 4465/- | 1500/- | |
| 2 | مضمون 2 | 2 | 3 | 3 | 3 | |
| 3 | مضمون 3 | 3 | 2 | 2 | 2 | |
| 4 | مضمون 4 | 4 | 6 | 6 | 6 | |
| 5 | مضمون 5 | 5 | 3 | 3 | 3 | |
| 6 | مضمون 6 | 6 | 2 | 2 | 2 | |
| 7 | مضمون 7 | 7 | 3 | 3 | 3 | |
JOB VACANCY
(Only for Maldivians)
SCUL/2010/AD/63
Date: 6th July 2010
South Central Utilities Limited (Thaa: vandhoo)
invites application from young and energetic people with pleasant personality, good interpersonal communication skill, and excellent command of Dhivehi & English and should be result driven and committed to the job.
01. Duty officer 2 (male)
Requirements: - G.C.E “O” level standard or 2 Years experience in Similar field
Salary: Attractive remuneration package will be Offered to successful candidates.
Interested candidates please send application along with Attested certified copies of your qualifications and resume before 15th July 2010, 4pm to:-
SOUTH CENTRAL UTILITIES LIMITED
04th Floor, H.Fulidhooge, Tel: 330-9789, Fax: 330-6844
**ISLAND AVIATOR SERVICES LIMITED**
Ref no: IAS/MIS/2010/1063
Date: 1st July 2010
**EMPLOYMENT OPPORTUNITIES**
Island Aviation Services Ltd. provides Domestic & Regional Air Services, Passenger Handling and Air Cargo Services at Male’ International Airport. In order to meet the challenges in the industry, we are committed to provide quality services to our customers. In this context, we are looking for suitable candidates to join our company and be part of the team.
**Human Resources Senior Officer Trainee**
Job ref no: J/2010/18
Qualifications:
- Minimum Diploma or higher qualification in related filed or 03 years of work experience in area of Human Resources.
Requirements:
- Computer literate and familiarity with any software used by Human Resources
- Able to work successfully alongside with other people
- Ability to manage one’s own work effectively, to use one’s own initiative and to be self-motivating in order to achieve results
Location:
- Island Aviation Head Office – Male’
Interested candidates may complete the Application Form for Employment and submit the form with supporting documents not later than **1600hrs of 12th July 2010 (Monday)** to Island Aviation Head Office addressed to;
**Human Resources Department**
Island Aviation Services Ltd, 26, Ameer Ahmed Magu
Male’, 20026, Republic of Maldives
Phone: 3331262 Fax: 3314806
Application Form for Employment will be available to download on our website [www.maldivian.aero](http://www.maldivian.aero)
Applications with inaccurate information, which do not meet the above requirements and which are incomplete will be disqualified.
*(Only Maldivians will be accepted for the above positions and only short listed candidates will be informed)*
| مضمون | محتوى |
|--------|-------|
| 1. | جمعیت کارکردی اوراق سند 2 |
| | جمعیت کارکردی اوراق سند 6,295:00 |
| | جمعیت کارکردی اوراق سند 2,000:00 |
| | جمعیت کارکردی اوراق سند 35% |
| | جمعیت کارکردی اوراق سند 01 |
| مضمون | محتوى |
|--------|-------|
| 2. | جمعیت کارکردی اوراق سند 1 |
| | جمعیت کارکردی اوراق سند 3 |
| | جمعیت کارکردی اوراق سند 4 |
| | جمعیت کارکردی اوراق سند 5 |
| | جمعیت کارکردی اوراق سند 6 |
| | جمعیت کارکردی اوراق سند 7 |
| | جمعیت کارکردی اوراق سند 8 |
| مضمون | محتوى |
|--------|-------|
| 3. | جمعیت کارکردی اوراق سند 2 |
| | جمعیت کارکردی اوراق سند 3 |
| | جمعیت کارکردی اوراق سند 4 |
| | جمعیت کارکردی اوراق سند 5 |
| | جمعیت کارکردی اوراق سند 6 |
| | جمعیت کارکردی اوراق سند 7 |
| | جمعیت کارکردی اوراق سند 8 |
| مضمون | محتوى |
|--------|-------|
| 4. | جمعیت کارکردی اوراق سند 1 |
| | جمعیت کارکردی اوراق سند 2 |
| | جمعیت کارکردی اوراق سند 3 |
| | جمعیت کارکردی اوراق سند 4 |
| | جمعیت کارکردی اوراق سند 5 |
| | جمعیت کارکردی اوراق سند 6 |
| | جمعیت کارکردی اوراق سند 7 |
| | جمعیت کارکردی اوراق سند 8 |
1. 15:00 13 12 2010 3 3
2. www.csc.gov-mv
3. 3303647 3303648 firstname.lastname@example.org
4. http://www.csc.gov-mv
1431 24 6 2010
15 1 2010 2.30 2
2010 5
MALDIVES MONETARY AUTHORITY
Male’, Republic of Maldives
Ref No: IL - HRMS / 2010 /39
July 07, 2010
JOB VACANCY
We are looking for dynamic, reliable, energetic and highly motivated individuals to work in our organization.
Interested candidates can apply for the following positions.
Position: Assistant Manager
- Mobile Phone Banking Section
- Accounting and Finance Section
- Internal Audit Section
- Non-Bank Financial Institution Supervision Section
- Financial Intelligence Section
Qualification and Experience
- Bachelors Degree in Information Technology or any related field OR
- Bachelors Degree in Banking related area OR
- Bachelors Degree in Accounting OR
- ACCA Professional level qualification
Skills required:
- Should possess excellent interpersonal skills and sound leadership qualities.
- Should have excellent communication, report writing and presentation skills
- Should have planning, administrative and organizational skills
- Should be keen to learn banking systems and process
Interested candidates are requested to send their application along with CV, copy of ID card, copies of educational certificates with transcripts and other supporting documents to:
Human Resource Division
Maldives Monetary Authority
Boduthakurufaanu Magu, Male’
Application closing time: 15 July, 2010 at 1500hrs.
Application forms are available from MMA and from our website: www.mma.gov.mv.
MTCC is actively seeking dynamic, proactive, result oriented, logical thinker to be a part of our LEGAL TEAM.
Advertisement Ref No.: MTCC-HR/2010/21
LAWYER
Successful Candidate:
• Bachelors degree or higher in Shariah Law or equivalent professional education at an accredited college or university
• Should have worked for two years in the Maldives as a practicing lawyer
• Should have knowledge of substantive and procedural law and statutes applicable to public companies
• Should demonstrate strong research, analytical and writing skills
• Should have a broad range of legal and industry sector experience to reflect the demands of MTCC.
• Demonstrate a high level of skills in communication, organization, problem solving, analysis and decision-making.
• Ability to formulate and express ideas on complex technical and legal subjects clearly and concisely, orally and in writing.
• Ability to work independently in a multi tasking team environment under minimum supervision
The successful candidate will be able to clearly demonstrate:
• Provide legal advice to the CEO and management on substantive and procedural issues related to management, procurement, contracts and other operational modalities for the continued operations and administration of business;
• Development of corporate policies in key areas, including review and improvement of existing policies and procedures.
• Contribution to an efficient, transparent and fair internal grievance and justice system.
• Monitoring the negotiation of agreements with contractors, suppliers and other entities.
• Advising MTCC on complex commercial contracts, reviewing model contracts and agreements.
• Perform legal research and analysis and prepare legal opinions, reports and correspondence on relevant matters;
• Management of the legal partnership with legal retainer, contractors, suppliers, regulatory bodies and law enforcement agencies.
• Represent the MTCC in the courts of law
Pay Package: Mrf. 20,000.00
Other Benefits: Medical Insurance Scheme
The Maldives Transport and Contracting Company Plc is a successful business organization that offers exciting career opportunities to you within Maldives in a supportive and rewarding environment. Our employees are responsible for our success and we value our employees, aiming to create a working environment where you are Valued, Respected and Empowerment is a daily experience.
Number of position: 01
Department: Legal Department
Work Location: MTCC Tower, Male’
Working hours: 08:00 to 16:00 hrs
Contract duration: 12 months
If selected for the position you will be expected to mobilize rapidly following negotiation of a contract. A copy of the terms of reference and application process may be obtained by writing to:
HUMAN RESOURCE DEPARTMENT
Maldives Transport & Contracting Company plc
MTCC Building, Boduthakurufaanu Magu, Male’ 20181,
Republic of Maldives
Phone: (00960) 332 6822
Email: email@example.com
Web: http://www.mtcc.com.mv
Applications should be sent in by completing the JOB APPLICATION form, along with all relevant documents by citing the above reference.
Job Application Form will be available at MTCC Reception, the form also can be downloaded from MTCC website.
Closing date: July 14th, 2010
reports.
**Basic Salary Range:**
Mrf.4400.00-5370.00
**Other Benefits:**
Educational Allowance,
Medical Insurance Scheme
| Department: | Construction and Projects Management Department |
|-------------|-------------------------------------------------|
| No. of Position: | 01 |
**Basic Salary Range:**
Mrf.4400.00-5370.00
**Other Benefits:**
Educational Allowance,
Medical Insurance Scheme
**Work Location:**
MTCC Tower, Male’
**Working hours:**
08:00 to 16:00 hrs
If selected for the position you will be expected to mobilize rapidly following negotiation of a contract.
A copy of the terms of reference and application process may be obtained by writing to:
**HUMAN RESOURCE DEPARTMENT**
Maldives Transport & Contracting Company plc
MTCC Tower Building,
Boduthakurufaanu Magu, Male’ 20181,
Republic of Maldives
Phone: (00960) 3001145
Email: firstname.lastname@example.org ,
Web: http://www.mtcc.com.mv
Applications should be sent in by completing the JOB APPLICATION form, along with all relevant documents by citing the above reference.
Job Application Form will be available at MTCC Reception, the form also can be downloaded from MTCC website.
**CLOSING DATE: 14TH July 2010**
MTCC is actively seeking dynamic, proactive, result oriented, self starter to be part of our TEAM.
The Maldives Transport and Contracting Company Plc is a successful business organization that offers exciting career opportunities to you within Maldives in a supportive and rewarding environment. Our employees are responsible for our success and we value our employees, aiming to create a working environment where you are Valued, Respected and Empowerment is a daily experience.
HUMAN RESOURCE OFFICER
Department: Human Resource Department
No. of Position: 01
Successful Candidate:
- Diploma in Human Resources, or related field or HR related experience; or any equivalent combination of education, training, and experience which provides the requisite knowledge, skills, and abilities for this position.
- Proficiency in word processing, spreadsheets and scheduling applications using Ms Office packages.
- Superior in written and verbal communication skills, coupled with highly developed inter-personnel skills.
- Self-starter, energetic and assertive
- Well organized, attention to detail and ability to multi-task and set priorities
- Ability to liaise with people at all levels of the organization
- Ability to work with a minimum of supervision and with a commitment to team work
The successful candidate will be able to clearly demonstrate:
- Monitor, measure and report on staff training and development plans and achievements within agreed formats and timescales
- Coordinate seminars, workshops, short & long term trainings activities.
- Ensure activities meet with and integrate with organizational requirements for quality management, health & safety, legal stipulations, environmental policies & general duty of care
- Assist in the implementation of policies; ensure that the employees are aware of company policies.
- Assist in the resolution of specific disciplinary or grievance cases
- Administer payroll and maintain records relating to staff
- Deal with prospective clients and client queries
- File and retrieve corporate documents, records, and reports.
Basic Salary Range:
Mrf.5220.00-5910.00
Other Benefits:
Educational Allowance,
Medical Insurance Scheme
Department: Corporate Department
No. of Position: 01
Successful Candidate:
- Minimum 3 passes in O’ Level or a Certificate in Business Administration; or any equivalent combination of education, training, and experience which provides the requisite knowledge, skills, and abilities for this position.
- Proficiency in word processing, spreadsheets and scheduling applications using Ms Office packages.
- Superior in written and verbal communication skills, coupled with highly developed inter-personnel skills.
- Self-starter, energetic and assertive
- Well organized, attention to detail and ability to multi-task and set priorities
- Ability to liaise with people at all levels of the organization
- Ability to work with a minimum of supervision and with a commitment to team work
The successful candidate will be able to clearly demonstrate:
- Deal with prospective clients and client queries
- Issue dividend, share certificates and maintain share registry
- Produce monthly required reports, update account balance and assist in the share income management.
- Update daily dividend payments and individual shareholders dividend details
- Deposit share dividend to the accounts of shareholders
- Provide administrative support to the Shareholder Relations unit
- File and retrieve corporate documents, records, and
Job Announcement
We are looking for a dynamic, dedicated and results-oriented individual to work in our Organization. The candidates shall be mainly responsible for performing a wide range of activities in relation to the work CMDA.
**Job Rank:** Deputy Director Level or Senior Officer Gr. 2 Level
**Number of vacancies:** 01
- If the applicant does not qualify for a Deputy Manager, the applicant may be considered for the post of Senior Officer.
**Title:** Deputy Manager (Pension Analyst)
**Basic Salary:**
MRF 7270/- (Seven Thousand Two Hundred and Seventy)
**Qualification and Experience:**
Masters degree in Economics, Finance, Accounting, Banking or equivalent professional qualification; or Bachelors degree in Economics, Finance, Accounting, Banking or equivalent professional qualification with 4 years work experience
or
**Title:** Senior Officer
**Basic Salary:**
MRF 5460/- (Five Thousand Four Hundred and Sixty)
**Qualification and Experience:** Bachelors degree in Economics, Finance, Accounting, Banking or equivalent professional qualification
**Other Employment Benefits:**
- Other allowances as per CMDA salary structure
- Overtime pay as per Employment Act entitlements
- Medical Insurance
- Food Allowance
- Short term training opportunities
**Other Requirements:**
- Demonstrate a high level of skills in communication, organization, problem solving, analysis and decision-making.
- Demonstrate good leadership, vision, individuality, originality, team spirit, creativity and a high level of motivation
- Ability to meet deadlines
- Proactive, detail and result oriented, accurate, and systematic thinking
- Demonstrate a high level of integrity and good character
- A good record of punctuality and willingness to work when required on special assignments or projects undertaken by the Authority outside work hours
Interested candidates please send the applications along with accredited copies of your qualification, Copy of ID and CV to Capital Market Development Authority. Application form is available on the CMDA website: www.cmda.gov.mv
For further information please contact: 333 6620
Application closing time: July 14, 2010 at 1500hrs.
---
**MALDIVES TOURISM DEVELOPMENT CORPORATION PLC**
No: MTDC-JA/2010/11
**JOB VACANCY**
Maldives Tourism Development Corporation Plc invites enthusiastic and energetic Maldivian’s willing to work for the following post.
**POST:** Receptionist x 01
**WORK SITE:** MTDC Head Office, Male’
**QUALIFICATION AND EXPERIENCE:**
- Minimum of 02 passes in A’ Level
- Minimum of 01 year working experience in a similar capacity will be considered a bonus
- Should be fluent in written and spoken English & Dhivehi
- Good working knowledge of computer office applications (i.e. MS Office; Word and Excel)
- Applicants must be able and willing to work for long hours
**REMUNERATION:** MRF. 4,600 – 5,000 depending on qualification and experience plus medical benefits plus one month paid leave per annum.
Interested candidates are requested to send in their applications on or before 15th July 2010 along with Curriculum Vitae, copy of ID card, copies of educational certificates, recent passport size photograph and other supporting documents including reference letters from previous employers to:
**Maldives Tourism Development Corporation Plc.**
1st Floor, G. Fathuruvehi
Buruzu Magu
Male’ 20124, Republic of Maldives
Phone: 334 7766
Fax: 334 7733
E-mail: email@example.com
د.ب. 1431/18
د.ب. 2010/30
د.ب. 198-A/2010/36
د.ب. 1
د.ب. 4465/- (4465/-)
د.ب. 1500/-
د.ب. 7035/- (7035/-)
د.ب. 2000/-
د.ب. 50%
MINISTRY OF FINANCE AND TREASURY
MALE’
ADB Technical Assistance Project R-PATA 7527: Best Practice for Regulatory Framework and Use of Credit Rating Information of Domestic Credit Rating Agencies in South Asia
Credit Rating Economist (Maldives national, 1.5 person-months)
For further details, please visit http://csrn.adb.org. Submit all expressions of interest through the above website.
|
Post-traumatic osteomyelitis: drug-resistance and other challenges
Richard Murphy
and
Jean-Baptiste Ronat
MSF OCP
08th December 2012
Post-traumatic chronic osteomyelitis (COM) in poor & conflict-affected regions
- Post-traumatic chronic osteomyelitis (COM) is typically an indolent disease characterized by presence of necrotic bone.
- Most commonly it is encountered in contexts with a high trauma burden (*eg* RTAs, violence) and inadequate surgical services.
*Nigeria: Trends in road traffic deaths*
Global status report on road safety: time for action. Geneva, WHO, 2009
Post-traumatic COM can be difficult to cure; it disables and stigmatizes far more than it kills.
Common endpoints are:
- Long-term disability
- Amputation
Economic costs are high.
Post-traumatic chronic osteomyelitis: an emerging neglected disease?
“Neglected tropical diseases are a group of chronic, disabling, and disfiguring conditions that occur most commonly in the setting of extreme poverty, especially among the rural poor and some disadvantaged urban populations.”
Hotez PJ, Kamath A (2009) Neglected Tropical Diseases in Sub-Saharan Africa: Review of Their Prevalence, Distribution, and Disease Burden. PLoS Negl Trop Dis 3(8): e412.
A word on link between war injury and post-traumatic chronic osteomyelitis...
Contamination and soft-tissue trauma
(1) War-related extremity injury commonly results in both contamination with environmental debris & severe soft tissue injury.
Conflict disrupts health care services
(2) Conflict is linked to reduced access to health service, lower levels of hygiene in structures, disruptions in HR and access to supplies.
Association between war injury and drug-resistant organisms
(3) Colonization followed by infection with drug-resistant, particularly gram-negative organisms, documented in conflict-affected settings.
- These resistant organisms are probably acquired in health care structures.
Prevention easier than cure
Reducing frequency of COM after open fracture possible with:
- Early debridement and wash-out after injury
- Prophylactic antibiotics
- External fixation
- Soft tissue coverage (envelope for healing, may deter infection)
Once established, post-traumatic COM can be difficult to cure:
- The standard treatment tools widely available for COM in resource-rich settings are not widely available in poor and conflict-affected settings
- MSF approach:
- Extensive surgical debridement with removal of all necrotic soft tissue and bone (bone clearance margin of ≥5 mm)
- Pathogen-targeted antibiotic therapy up to 12 weeks after definitive debridement
- Reconstructive surgery in some contexts (eg Amman)
Christopher M.
- A patient history -
Two years earlier, while on a motorcycle, Christopher M. – a 33-year-old oil worker – experienced a traffic accident in which he suffered a severe open (Gustillo grade III) tibial fracture.
At the time of the fracture, he had received early wound debridement, antibiotic prophylaxis and external fracture fixation. During the first hospitalization he underwent placement of a muscle flap and skin graft.
Several months after the trauma, he achieved union of the fracture but developed swelling over his anterior tibia and three sinus tracts.
Challenges in the field
Extent of debridement
Long-term antibiotics initiated in some patients without complete debridement of dead bone (eg debulking).
- Reluctance to create large bone defects or fracture instability
- Large bone defects require reconstructive surgery (prolonged treatment & significant morbidity).
- Infrequent use of amputation (social, economic, cultural, reasons)
- Belief that there is little risk linked with long-term antibiotics → temptation to “give antibiotics a try.”
- Exposes patients to toxicities of long-term antibiotics with little chance of cure
- Renal failure
- Bone marrow suppression
- Drug allergy
- The likelihood of cure is low when a complete debridement not performed -
Extent of resection & long-term outcome in COM
Simpson et al. (2001) evaluated 3 surgical strategies for COM (N=50):
1) Wide resection, with a bone clearance margin of $\geq 5$ mm
2) Marginal resection, with a clearance margin of $< 5$ mm;
3) Intralesional biopsy, with only debulking of the infected area.
- All patients antibiotics IV for 6 weeks + PO for a further 6 weeks -
**Outcomes:**
Group 1 = $\geq 5$ mm:
No recurrence (0%)
Group 2 = $< 5$ mm / marginal
8 of 29 (28%) recurrence.
Group 3 = Debulking
All had a recurrence (100%)
within 1 year of surgery.
**Infection free survival by strategy:**
*Infection free survival analysis*
- Group 1
- Group 2
- Group 3
% infection free survival
Months
0 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48
Chris M.
A patient history
History of present illness:
He underwent surgical debridement, with excision of dead bone and sinus tracts and intraoperative cultures revealed *Pseudomonas aeruginosa* with resistance to several antibiotic classes.
MSF approach to microbiology investigations
Identification of bacterial infection in bone and joint and determining the activity of antibiotics on bacteria = vital to the establishment of an optimal therapeutic strategy
- Adapted validation of microbiology laboratory setup in resource-poor context
- Specimen collection policy
- Antibiotic resistance surveillance
| Cons | MSF | Public | Private |
|------|-----|--------|---------|
| | | Quality of analysis (varies by country) | Proper assessment (tools, time,...) |
| | | Quality of reagent | Memorandum of Understanding |
| | | Quality control are rare | |
| | | Delay of results | |
| | | Difficulty of partnership | |
| Pros | MSF | Public | Private |
|------|-----|--------|---------|
| | Standard Operating Procedures (SOP) | Support on capacity building | Quality of results |
| | Quality of reagent | | SOP |
| | Type of reagents (Kit, home made, ...) | | Partnership and follow-up |
| | Quality insurance and control | | Cost |
| | Reliability of analysis | | Quality control and Insurance |
| | | | Guideline for Antibiotic Susceptibility Testing (AST) interpretation |
Specimens collection and transport policy
Collection:
- Swabbing of the orifice of a fistula had no diagnosis interest
- Deep sampling, per operative with different instruments
- 3-5 samples from suspected infected site
- Metaphyseal bone puncture, abscesses or sub-periosteal biopsy performed at the capsule, necrotic tissue, products of curettage = Solid samples
- No swab samples
- Sample containers not sterile outside handle by OT assistant
Specimens collection and transport policy
- Transport = depend on delay to laboratory
- < 12 hours = dry sterile container; cold chain
- > 12 H to 48 H = Transport media (Portagerm), room °C
- > 48 hours = Broth tubes (Brain-Heart infusion), room °C
Antibiotic resistance surveillance
- Implementation of WHONET analytical database for Antibiotic Susceptibility (AS) pattern follow up and analysis
- Sulaimania (Irak); 2008
- Amman, Gaza; 2009
- Port Harcourt; 2011
- Haiti; 2012
- Critical benefits of WHONET in middle east:
- Allow us to propose rational empirical antibiotic therapies for patients with burn sepsis in Kurdistan
- Allow us to identify critical local antibiotic needs/gaps
- Trends in drug-resistance became clear
Epidemiology of infection and antibiotic resistance in MSF orthopedic projects
## Results: Baseline characteristics
| | Theme | Drouillard | Amman |
|--------------------------|--------|------------|-------|
| Patients with infection (N) | 84 | 44 | 142 |
| males (%) | 71 | N/A | 88 |
| age median (years) | 32 | N/A | 35 |
| Foreign body at time of surgery (%) | | | |
| External fixator | 20 | N/A | 35 |
| internal fixator | 6 | N/A | 13 |
| none | 74 | N/A | 52 |
| Average surgery before | N/A | N/A | 6 |
## Results: Antibiotic resistance
| Theme | Nb° patient tested | CLI %R | OXA %R | VAN %R | RIF %R | TCY %R |
|----------------|--------------------|--------|--------|--------|--------|--------|
| | | T | D | T | D | T | D |
| Staphylococcus aureus | 47 | 29 | 12 | 0 | 17 | 0 | 8 | 92 | 23 | 75 |
CLI: Clindamycin, OXA: Oxacilin, VAN: Vancomycin, RIF: Rifampicin, TCY: Tetracyclin
| Theme | Nb° patient tested | CAZ %R | CIP %R | GEN %R | SXT %R | IPM %R |
|----------------|--------------------|--------|--------|--------|--------|--------|
| | | T | D | T | D | T | D |
| P. aeruginosa | 16 | 6 | 6 | 16 | 20 | 15 | 31 | 25 | 0 | 0 |
| E. cloacae | 11 | 0 | 87 | 6 | 40 | | | | | |
| A. baumannii | 0 | 5 | 60 | 0 | 33 | | | | | |
| E. coli | 10 | 4 | 65 | 0 | 40 | 0 | 20 | N/A | 0 | 0 |
CAZ: Ceftazidim, CIP: Ciprofloxacin, GEN: Gentamycin, SXT: Cotrimoxazol, IPM: Imipenem
Results: Multi Drug Resistant
| Location | MRSA % | ESBL_E % |
|------------|--------|----------|
| Amman | 65 | 86 |
| Theme | 17 | 65 |
| Drouillard | 0 | 0 |
- Predominance of Multi Drug Resistant bacteria in Iraqi patients
- Moderate MDR rate in Theme patients
- No MDR in patient from Haiti
Discussion
- Etiology of germ similar to developed countries orthopedic centers
- High MDR rate Amman = poly-operated, ~ 2 years time injury, over use of ATB in all middle East \(^1\)
- Similar patients in Theme and Drouillard but different resistance pattern?
- Nigeria = top country in Africa for ATB misused, counterfeiting, over prescription \(^2\).
- Haiti = difficulty of access to ATB, poverty, etc
---
1) Murray, CK. Epidemiology of infections associated with combat related injuries in Iraq and Afghanistan. *The Journal of Trauma Injury, Infection and Critical Care*. 2008, Vol. 64, pp. 232-238.
2) Okeke IN, Lamikanra A, Edelman R. Socioeconomic and behavioral factors leading to acquired bacterial resistance to antibiotics in developing countries. *Emerg Infect Dis*. 1999, Vol. 5, 1, pp. 18-27.
Challenges in the field
Antibiotic resistant (ABR) bacteria; what are implications?
- Chronic osteomyelitis cannot be treated empirically
- With the growth of ABR, deep surgical cultures at the time of debridement is essential to plan definitive antibiotic therapy (up to 12 weeks).
- Use of empirical antibiotics perilous due to varied epidemiology of osteomyelitis globally.
- Few antibiotic choices especially for resistant gram-negatives
- Patients with COM caused by highly-resistant gut bacteria (E coli, Klebsiella and Enterobacter) or Pseudomonas, generally lack active PO antibiotic options, and required prolonged hospitalization for long-term IV therapy.
- Fortunately, for MRSA, often some PO options remain if “community” c-MRSA strains are more prevalent than “hospital” MRSA in a given context.
- Increased cost of treatment
- Late-generation antibiotics are typically far more costly than older agents
- Ex. For COM, the dose of imipenem 4 grams/day
- 500 mg vial = 6 euros. For 4 grams/day over 6 week course → 2016 euros
- The cost of prolonged inpatient care is also significant
Post-excision management
Antibiotics
a. **Route:** When active PO options available, equally effective as IV options
Llargu and colleagues (Spain, 2009)
- After radical debridement, randomized (N=90) with Staph. aureus COM to:
Cloxacillin IV (2 g every 4 h) for 6 wks + Cloxacillin PO (500 mg q6h) for 2 wks
OR
Rifampicin PO + Cotrimoxazole PO for 8 weeks:
(Typically: TMP-SMX 3 SS tabs q12 + Rifampin 600 mg for 8 wks)
**Outcome (at 7 years of follow-up):**
No difference in cure rate (both ~ 90% cured)
Failures that occurred were associated with internal device retention
b. **Duration:** Minimum duration of antibiotics not defined.
- In patients with complete debridement and no retained internal devices, 6-8 weeks of pathogen-directed antibiotics may be adequate, with 12 weeks the most conservative option
Antimicrob Agents Chemother. 2009 Jun;53(6):2672-6.
Patient monitoring in COM
Twice monthly:
- Review patient for adherence, side effects and treatment response
- Laboratory (if available)
- Complete blood count
- Serum creatinine
- (C-reactive protein)
C-reactive protein (CRP)
What is the role of CRP in chronic post-traumatic osteomyelitis?
CRP is an acute phase protein, elevated in most patients with COM.
- CRP rises after surgery but -- in absence of infection -- falls by POD 4
CRP has been used to monitor patients with osteomyelitis after interventions and has been shown to be predictive of post-operative course for:
- Pediatric hematogenous osteomyelitis
- Acute device-associated osteomyelitis
Serial measurement of CRP can be used to monitor therapy and to guide duration of systemic antibiotic therapy.
CRP is preferred by many experts because it is more specific than ESR (less likely to be elevated from other processes).
Post-traumatic chronic osteomyelitis: a neglected area of research?
Research
- Chronic osteomyelitis has not been the subject of sufficient ongoing clinical research.
- Research in osteomyelitis has been hampered by lack of interest among researchers as well as the difficulty in accruing sufficient patients at a single site.
- In the US National Institutes of Health clinical trials database, there is currently only 1 clinical trial addressing osteomyelitis.
Post-traumatic chronic osteomyelitis: a neglected area of research?
Critical questions on the infectious diseases side are unanswered
- What is the ideal duration of antibiotic treatment?
- Should extent of debridement guide duration → margins 5 mm vs 0-5mm?
- Standard treatment duration or use CRP (or other marker) to guide?
- Is there a larger role for local delivery systems (antibiotic cement & beads) in chronic osteomyelitis in MSF contexts?
- Local delivery can reduce cost and system antibiotic exposure.
- What patients are optimal for local delivery systems?
- What are the most appropriate markers of cure? What is the rate of late relapse in our own programs?
Summary
• Post-traumatic COM, a growing problem in contexts with high burden of violence and RTA but with poor access to surgery.
• Extent of debridement is critical: antibiotics should never be used as a substitute for adequate surgery.
• Drug-resistance may render chronic post-traumatic COM virtually untreatable in some settings because of lack of access to quality microbiology labs & poor access to active, affordable antibiotics.
– Antibiotic therapy to contribute to cure must be based on results of deep surgical culture specimens
– PO combinations are effective when active, especially for Staph. aureus
• As a disabling disease with burden falling largely on poor contexts (and ignored area of research), COM may considered a neglected disease.
Merci
Thank you
• Profils de résistance des souches de *Staphylococcus aureus* :
| Antibiotique testé | n | %R |
|--------------------|----|----|
| Penicillin G | 13 | 92 |
| Cefepime | 12 | 81 |
| Oxacillin | 9 | 64 |
| Gentamicin | 6 | 43 |
| Fusidic acid | 3 | 21 |
| Ciprofloxacin | 6 | 43 |
| Clindamycin | 6 | 39 |
| Rifampin | 5 | 38 |
| Amikacin | 4 | 26 |
| Trimethoprim/Sulfamethoxazole | 5 | 33 |
| Vancomycin | 0 | 0 |
• Profils de résistance des souches d'*Escherichia coli*:
| Antibiotique testé | n | %R |
|--------------------|----|----|
| Amikacin | 3 | 20 |
| Ampicilline | 12 | 97 |
| Cefixime | 12 | 93 |
| Cefaclor | 12 | 94 |
| Cefuroxime (CIIG) | 12 | 91 |
| Ceftazidime (CIIIIG)| 11 | 86 |
| Cefepime (CIVG) | 9 | 91 |
| Ciprofloxacin | 5 | 44 |
| Gentamicin | 10 | 81 |
| Trimethoprim/Sulfamethoxazole | 9 | 75 |
| Imipenem | 0 | 0 |
|
Structure Removal Counterfeeds Status Government
Johanna Benz*
Abstract
This paper develops an account of German non-finite verbal inflection in terms of (Upward) Agree. I argue for a special treatment of the zu-infinitive, traditionally known as ‘second status’, on the basis of its distribution. Bech (1955) noted that the bare infinitive and the participle have to be licensed by a structurally higher verb within a locality domain, whereas the zu-infinitive does not. Under the present analysis, this follows because the second status is the default value for an inflectional feature otherwise valued by a higher goal, where the default appears if the Agree relationship fails to be established in the relevant locality domain. I also discuss to what extent this morphological dependency informs our understanding of restructuring constructions, which involve the same mechanism to determine verbal inflection. I show that an analysis of restructuring as involving true reanalysis or ‘structure removal’ is compatible with the morphology for optionally/lexically restructuring verbs, but not in most cases of obligatory/functional restructuring.
1. Introduction
Non-finite verbs in German occur in three different morphologically distinct forms. The relevant classification goes back to Bech (1955) and distinguishes the first, second, and third status.
(1)
| | also known as |
|----------------|------------------------|
| first status | arbeiten | (bare) infinitive |
| second status | zu arbeiten | zu-infinitive |
| third status | gearbeitet | (past) participle |
Which of these three forms appear is determined based on the context; specifically, it is determined by a structurally higher element, often the next higher
*Many thanks to Anke Himmelreich, Gereon Müller, Martin Salzmann, and the Morphology/Syntax Colloquium at Universität Leipzig for their very helpful comments! This is a true working paper, and all comments are very welcome, write to me at firstname.lastname@example.org.
verb. Consider the initial examples, each is a finite subordinate clause containing two verbs. In each case, the morphological form of the non-finite verb ‘arbeiten’ (to work, in boldface) is dependent on the second verb. In the glosses, I, II and III refer to the first, second, and third status respectively.
(2)
a. dass wir Basti **arbeiten** sahen
that we Basti work.I saw
‘that we saw Basti work’
b. dass Anna **zu arbeiten** versprach
that Anna work.II promised
‘that Anna promised to work’
c. dass Caro **gearbeitet** hat
that Caro work.III has
‘that Caro has worked’
This dependency can be thought of as *morphological selection*: the higher verb selects for a verb with a specific morphological form in its complement. Which form is selected is, broadly speaking, a lexical property of the selecting verb. I argue that these dependencies are established in syntax before they are expressed morphologically: following Adger (2003) and in particular Wurmbrand (2012a,b), this is seen as an implementation of morphological selection rather than an alternative to it.
I propose that in sequences of non-finite verbs in German, first and third status (bare infinitives and participles) are licensed by an Upward Agree operation with the next higher verb. The second status (zu-infinitive) is inserted as a default when this Agree operation fails to take place within the CP. The observation that second status is special goes back to Bech (1955), who notes that first and third status have to be *governed* by another verb in a locality domain. For Bech, this locality domain is the ‘Kohärenzfeld’ (coherence field). Stechow (1984, 1990) shows that this locality domain is in relevant aspects equivalent to the clause. In light of this locality restriction, my goal is to explain why government of first and third status is clause-bounded, while the second status is free to occur without a governing verb as a clause-mate. I propose that this asymmetry follows if German non-finite inflectional morphology arises through Upward Agree for feature values [INFL:I] and [INFL:III] (cf. Wurmbrand 2012a,b), but that second status is inserted as a default if the probe for status on a verb has failed to locate a goal within the (CP-)phase. I relate
this analysis of status government to a recent proposal about restructuring in German, where optionally restructuring control verbs uniformly embed a CP whose CP-projection is later removed (Müller 2017). Optionally restructuring verbs always govern second status, and insertion of second status is contingent on the presence of a CP boundary under the present approach. We learn about the interaction of structure removal in restructuring and status government that structure removal counterfeeds status government. If structure removal were involved in other restructuring contexts such as with modals, verbs of perception and auxiliaries, we would expect second status in all of these constructions, clearly contrary to fact. This is consistent with earlier claims in the literature (especially Wurmbrand 2001 et seq. and other strictly monoclausal approaches to restructuring, but also Müller 2017) that these verbs embed a smaller-than-CP complement from the start. In the absence of a CP, they are then able to govern first and third status. The next section introduces a few additional data points. I present my analysis in section 3. Section 4 discusses the interaction of restructuring and status government and includes a new proposal about raising verbs as involving obligatory restructuring through structure removal for some speakers of German.
2. Some instances of status government
We have seen in the introduction that status government is a process where non-finite verbal inflection is determined by a structurally higher element, typically another verb. This section provides an overview of the different contexts in which status government occurs: in clusters of several verbs, but also with certain complementizers, adjectives and nominals if these categories embed a non-finite verb. First, let us look at status government in periphrastic tense and passive constructions.
(3)
a. dass der Delfin Zeitung gelesen hat
that the dolphin newspaper read.III has
‘that the dolphin has read the newspaper’
b. dass der Delfin beobachtet wurde
that the dolphin watch.III was
‘that the dolphin was watched’
c. dass jeder Roman gelesen worden sein wird
that every novel read.III become.III be.I will
‘that every novel will have been read’
A comparison of (3a) and (3b) shows that both the perfective auxiliary *haben* ('have') and the passive auxiliary *werden* ('be', 'become') govern the third status (often referred to as the (past) participle). It also becomes apparent that the third status has different morphological realizations. The choice of the correct allomorph depends on verb class and word stress, all in all, there are seven different forms.
I refer to the non-finite verb form that is part of the passive and perfective construction as the ‘third status’ throughout for two reasons. Firstly, because it corresponds to Bech’s original terminology (the term ‘participle’ is reserved for non-verbal forms) and will help us see the crucial contrasts between first, second, and third status. More importantly, it signals the abstract nature of the formal property ‘being third status’ that these forms share, even when they differ both in their selection (belonging, as in (3a) and (3b), to different constructions) and in their surface realization.
We see in (3c) that status government occurs on all non-finite verbs in a complex cluster. For each verb, its status is determined by the next higher verb in the structure.
(4)
```
V_3P
|
V_2P V_3
/ \
V_1P V_2
\ /
DPint V_1
```
Verb clusters like this can also include modals, as in (5) (German is different from English in allowing more than one) and other so-called restructuring verbs, as in (6) (more on restructuring below).
(5)
a. dass er gescheitert sein mag
that he fail.III be.I may
‘that he may have failed’
b. dass er lesen können sollte
that he read.I can.I should
‘that he was supposed to be able to read’
(6) a. dass der Pinguin Netrebko singen hörte
that the penguin Netrebko sing.I heard
‘that the penguin heard Netrebko sing’
b. dass der Pinguin die Arie zu singen versuchte
that the penguin the aria sing.I tried
‘that the penguin tried to sing the aria’
c. dass der Pinguin seinen Job aufgegeben zu haben bedauerte
that the penguin his job give up.III have.II regretted
‘that the penguin regretted giving up his job.’
In these more complex examples, we again see the inflectional morphology of each non-finite verb determined by the next higher verb. Furthermore, (6c) shows that some infinitival complement clauses can be extraposed, the highest non-finite verb in the cluster appears in second status in both the extraposed and the non-extraposed version of the sentence. In fact, extraposition is only possible for infinitival complements in second status, if we try to do the same with (6a), the result is ungrammatical.
(7) *dass der Pinguin hörte Netrebko singen
that the penguin heard Netrebko sing.I
We are starting to uncover an asymmetry between second status on the one hand and first and third status on the other. A further piece of evidence for this asymmetry is that some non-verbal elements such as certain complementizers, adjectives and nominals can also embed non-finite verbs, which always appear in the second status.
(8) a. ohne es zu verstehen
without it understand.II
‘without understanding it’
b. dass der Delfin zu helfen bereit war
that the dolphin help.II ready was
‘that the dolphin was ready to help’
c. dass mein Plan zu kochen vereitelt wurde
that my plan cook.II foiled was
‘that my plan to cook was foiled’
Here and elsewhere, this asymmetry is assumed to reflect an important connection between the type of infinitival complement embedded in a given
construction and the possibility to govern status and thereby determine the morphological realization of the non-finite verb in the same construction. This is reflected in the rule of coherence, stated in Bech (1955) and investigated in Stechow (1984, 1999).
(9) Rule of coherence:
a. Verbs governing the first or the third status are always coherently constructed. (Bech 1955, Stechow 1984)
b. If a verb actually governs a status, then it is coherently constructed. (Stechow 1990)
In the literature on German syntax, a subordinating construction is ‘coherent’ if it does not embed a sentence, i.e. a CP. Only CPs can be extraposed in German, and only the second status can appear in these extraposed CPs, a generalization the analysis in this paper aims to capture. In the relevant sense, the locality domain we are concerned with can thus be understood to be CP. Government of the first and third status is clause-bound, whereas the second status can appear without a governor in the same clause, as is most obviously the case if it is extraposed. In the next section, we will see a way to implement the notion of status government with the technical machinery of present-day linguistic theory within the Minimalist Program. Specifically, we will characterize status government as a clause-bound Upward Agree relation between verbs.
3. A special status
In line with Wurmbrand (2012a,b, see also Adger 2003, Bjorkman 2011) I analyze morphological selection in the verbal domain as Upward Agree.\(^1\) In her approach to participle licensing, Wurmbrand (2012a,b) posits that participles are verbs which enter the derivation with an unvalued inflectional feature. By Reverse Agree (downward valuation, conceptually closely related to upward probing as in the approach below), the verbs then receive a feature value from a higher head. For example, the participle is valued as [uT:perf] by the
\(^1\)A wrinkle: Wurmbrand develops this analysis for participle licensing in Germanic in general and later claims that German actually works differently: in her view, German participles enter the derivation with the feature that will determine their realization as a participle already valued. I will follow the general line of thinking, not this specific point.
higher perfect auxiliary, as illustrated in (10). This feature value is later realized morphologically as the participle.
(10)
\[
\begin{array}{c}
\text{AuxP} \\
\text{AUX} \quad \text{VP} \\
\text{iT:perf} \quad V \\
\text{uT:perf} \quad \longrightarrow \text{PART}
\end{array}
\]
I propose a similar analysis that extends to bare infinitives and zu-infinitives, i.e. from the third to the first and second status. The approach below thus differs from Wurmbrand’s in empirical focus. Furthermore, I make different assumptions about the involved feature values. Rather then [perf] or [pass], I will assume entirely abstract feature values [I], [II], and [III]. There are several reasons for this departure from Wurmbrand’s proposal. I propose to follow the Bechian tradition more strictly than previous approaches by treating the alternation under discussion as purely morphological, the features as purely formal and their realizations as non-meaningful (uninterpretable in the literal sense). I represent this choice by naming the feature values [I], [II] and [III], where [I] corresponds to the first status and so on. Somewhat similarly, Sternefeld (2015) characterizes status government with the feature values [INF], [ZU], and [PART]. An important notion in the literature is that status government instantiates the morphological realization of uninterpretable tense/aspect features (e.g. [uT:perf] for third status, see above, cf. also Adger 2003). Even if we were to accept the idea that third status should sometimes correspond to ‘being passive’, sometimes to ‘being past’ or ‘being perfective’, with the identity in form reduced to accidental syncretism, the bigger problem with this featural representation is that it does not very naturally extend to first and second status, with the result that purely formal feature values like [ZU] for second status or [INF] for first status find their way into this literature as well. It is unclear to me if there is a real difference between uninterpretable feature with and without an interpretable counterpart (Bjorkman 2011:60 raises the same question), but I see no reason to include both types in the same analysis unless this difference can be motivated independently.
The second set of background assumptions concerns German clause structure. In what follows, all verbs that serve as goals or probe for status will be labeled
simply as V. German lexical and ‘functional’ verbs tend to behave very much alike, contrary to observations for English that have led to the common practice of assuming that auxiliaries and modals are fundamentally different from lexical verbs and merged in fixed functional projections in the clause. Importantly, status government is one of the properties that unifies these classes of verbs, as they all participate in this relation. As an intuitive example, consider the fact that there is no infinitive ‘to must’ and no participle ‘musted’ in English, which has been argued to reflect the Merge-site of the modal, namely T, where it can never co-occur with ‘to’ or receive an inflectional feature of the kind under discussion in this paper (see e.g. Adger 2003). The German modal ‘müssen’, on the other hand, can occur in all three statuses, and it can be embedded, for example in future tense and perfective aspect and under other modals. In fact, empirically evidence for T in German is scarce more generally. Aside from the missing evidence from distributional effects such as the one described above, there is also no obligatory EPP-movement of the subject to SpecTP in German and it is impossible to see a positional effect of verb movement to T because such movement is string-vacuous due to head-finality in the verbal domain. Considerations like these lead Haider (2010) to claim that German simply does not have a T projection. For mostly theory-internal reasons\(^2\), I will continue to assume that T is part of the German clause.
One specific assumption about T that I will crucially not adopt here is that second status \(zu\) is an instantiation of it (Evers 1990). \(zu\) cannot be separated syntactically from the verb and occurs within particle verbs, both facts are easily dealt with if \(zu\) expones inflectional features located on or directly above the lexical verb, rather than building \(zu\)-infinitives through obligatory verb raising and complex head formation in T. As to the exact location of the inflectional features, Salzmann (2019) provides arguments from displacement phenomena for a separate head F above each verb that is combined with it in the morphology. I take this to be correct but will continue to represent the inflectional features directly on the verbs for simplicity, since no such displacement facts will be considered in this paper.
I propose that verbs probe upward to receive a feature value for inflection.
\(^2\)A convincing, but rather indirect piece of empirical evidence can be found in Müller (2017) and concerns unstressed pronoun fronting.
Valued by the next higher verb, these features will be spelled out with the appropriate morphological realization.
The relevant syntactic operation is Upward Agree, defined as follows:
Upward Agree (based on Georgi 2014):
Agree between a probe P and a goal G applies if
a. G asymmetrically c-commands P
b. P has an unvalued feature $[*F: \square *]$ and G has a matching valued feature [F]
c. G is the closest matching goal for P
d. Result: G values P.
I also assume a locality condition on Upward Agree:
Locality condition on Upward Agree
If a probe P fails to locate a valued goal within the phase, a fixed default value is inserted.
The locality condition stops the probe from probing across its own phase head, i.e. the head of the phase in which it is contained. Under the assumption that this phase is the CP, the locality condition stops the probe from probing a higher clause domain. Depending on our conception of the phase and upward impenetrability, this may or may not be necessary. Typically and by design, phase impenetrability blocks syntactic operations from outside the phase from interacting with material contained within the phase. It is less clear if it also blocks syntactic operations from within the phase from interacting with material outside it. The questionable period in the derivation consists of the steps between Merge of the phase head and spell-out of the associated phase. There is no reason a priori why a probe should stop to probe upward before it has been sent to the interfaces. I view the locality condition on Upward Agree as a fail-safe to ensure that the probe cannot access material outside the phase even if spell-out is delayed or the phase-head subsequently removed (see next section). Further investigation of the relationship between the phase impenetrability and Upward Agree may obviate the need for such a condition.
Turning to the relevant derivations, in a sequence of verbs, the higher verbs assign inflectional feature values, specifically, they serve as goals and carry the feature values [I] and [III] for first and third status respectively.
(15)
\[
\begin{array}{c}
\text{CP} \\
\text{C dass} \\
\text{TP} \\
\text{T} \\
\text{V}_3 \text{P} \\
\text{V}_2 \text{P} \\
\text{vP} \\
\text{DP der Pinguin} \\
\text{v'} \\
\text{V}_1 \text{P} \\
\text{DP den Roman} \\
\text{V}_1 \\
\text{V} \\
\text{V}_2 \text{[III]} \\
\text{[*INFL:□*]} \\
\text{haben} \\
\text{V}_3 \text{[I]} \\
\text{wird} \\
\text{[*INFL:□*]} \\
\text{gelesen} \\
\end{array}
\]
What is different about second status? Recall that its distribution with regard to its syntactic context is different from first and third status. We return to the rule of coherence.
(16) Rule of coherence:
a. Verbs governing the first or the third status are always coherently constructed. (Bech 1955, Stechow 1984)
b. If a verb actually governs a status, then it is coherently constructed. (Stechow 1990)
We have seen that the second status can appear in incoherent constructions, for example in extraposed CPs. The first clause of the rule of coherence is expected if status government is implemented as a phase-bound Agree operation: only within a coherent construction will it be possible for the Agree relation to be established successfully. Consequently, the second status must have a way of arising that does not involve a successful Agree operation, or successful status government. Indeed, the second clause of the rule of coherence invites the more radical conclusion that the second status never arises through successful probing: in the terminology of Bech and Stechow, the second status is not actually governed at all. Within the present analysis, I propose that [II] is inserted as a default feature value when the verb has probed a completed CP without locating a goal, as required by the locality condition on Upward Agree.
(17)
The insertion of this default value happens in syntax and is not merely the realization of an unvalued feature by morphology in the sense of Preminger (2009, 2011), for two reasons: Firstly, there is independent evidence from eg. the IPP (infinitivus pro participio, also Ersatzinfinitiv) that the first status is the morphological default, applied when something goes wrong in morphology (Salzmann 2019), and more importantly, verbs remain in second status even if a goal becomes available at a later stage in the derivation (as in restructuring, which we will examine in the next section), that is, syntactic processes counterbleed the realization of the second status where they might be expected to bleed it if the probe was still unvalued by the time a potential goal becomes available. Under the assumption that the default value is inserted syntactically, it does not only rescue the derivation, but also deactivates the probe permanently.
Before turning to the interactions of restructuring and status government, let us quickly examine the implications of the proposed analysis for the occurrence of non-finite verbs embedded in non-verbal contexts. Recall from section 2 that complementizers, adjectives and nouns, always appear with the non-finite verb in the second status:
(18) a. ohne es zu verstehen
without it understand.II
‘without understanding it’
b. dass der Delfin zu helfen bereit war
that the dolphin help.II ready was
‘that the dolphin was ready to help’
c. dass mein Plan zu kochen vereitelt wurde
that my plan cook.II foiled was
‘that my plan to cook was foiled’
Under the present analysis, the uniform behavior of these embedding categories follows with the added assumption that non-verbal categories are never lexically specified to govern a specific status, i.e. are not endowed with a status feature that could serve as a goal for a probe on a lower verb. In the absence of such a goal, [II] will always be inserted as soon as a phase-boundary is reached. More generally, the wider distribution of second status follows because it appears in the absence of a successful application of Agree.
4. Restructuring as structure removal
I have claimed in the previous section that the second status in sentences with optionally restructuring control verbs such as *versuchen* (‘try’) in (19) depends on the presence of a CP-phase boundary that induces default insertion of a feature value.
(19) dass der Pinguin die Arie zu singen versuchte
that the penguin the aria sing.I tried
‘that the penguin tried to sing the aria’
Whether or not a CP is projected in this construction has been the subject of much debate in the literature; as summarized in Müller (2017, see also references therein), there seems to be evidence both for the presence and the absence of a CP, i.e. for monoclausal and biclausal analyses.
4.1. Mono- and biclausality in restructuring
On the one hand, several arguments can be made for the absence of a CP, a monoclausal structure, these arguments include the availability of scrambling and unstressed pronoun fronting, availability of multiple sluicing, and wide scope of embedded negation. As an example for the availability of scrambling out of a restructured infinitival complement, see (20):
(20) dass den Fritz, keiner [ t₁ zu küssen ] versuchte
that the Fritz no-one kiss.II tried
‘that no-one tried to kiss Fritz’
Since scrambling is generally clause-bound in German, (20) should not be possible if the matrix verb embeds a CP. On the other hand, several arguments point to the presence of a CP, a biclausal structure, including the conceptually appealing uniformity of embedding (all of the optionally restructuring control verbs can occur in unambiguously biclausal constructions), licensing of PRO in the embedded clause, the absence of new binding domains, and the availability of extraposition in the so-called Third Construction. To illustrate the relevance of the availability of extraposition in the Third Construction, consider that we just saw that scrambling indicates restructuring, and that we said earlier that only CPs can undergo extraposition in German:
(21) dass sie ihn$_2$ t$_1$ versucht [CP$_1$ t$_2$ zu küssen ]
that she him tries kiss.II
‘that she tries to kiss him’
In this example, an infinitival complement has been extraposed, so it must be a CP, and consistent with the analysis in this paper, it appears in the second status. However, the direct object has clearly scrambled out of the embedded clause, indicating a smaller-than-CP structure. Müller concludes that there is convincing evidence for the mono- and biclausal analyses, sometimes within the same construction. For this reason, he proposes a ‘true’ restructuring analysis, in which both types of structures are actually present at different stages in the derivation. He reconciles evidence for monoclausal and biclausal structure in restructuring contexts by innovating the syntactic operation Remove. This operation works to remove structure previously build by Merge. It reconciles conflicting syntactic evidence because it applies after a structure has been built and may have been accessible for operations in need of and in accordance with this bigger structure, which is then shrunk by Remove, yielding a smaller structure that may enable different syntactic processes. Remove is feature-driven, with the features specifying which head or phrase they remove. If a head is removed, its specifier and complement will re-attach within the structure.
In the context of restructuring, this approach means that we have both the biclausal and the monoclausal structure at some stage of the derivation: first, the restructuring verb uniformly takes a CP-Complement. This stage in the derivation accounts for the evidence for a biclausal structure. However, the verb may come with features that require the subsequent removal of the C, T, and possibly v heads. Optionally restructuring verbs can come with or without these features. If the CP- (and TP-)layers are removed, the result is a monoclausal structure. We can easily see that this will have no effect on status government in the embedded clause:
Even if the CP is subsequently removed and the embedded verb would in principle be accessible for valuation from above once again, it now already has a value and no longer probes:
Once the C head is introduced into the derivation and the CP-layer built, a still unvalued inflectional feature on any of the lower verbal heads will have
to be dealt with and receive a default value. It may well be that the CP-layer will be removed in the very next step of the derivation, but without invoking some kind of look-ahead, the unvalued feature cannot have the information that it will soon be accessible for valuation once again. Therefore, it has to be valued with a default value as soon as the CP is built. In the realm of status government, that default value is second status. It now follows that even if the CP-layer is subsequently removed, the feature is already valued for second status and will no longer probe.
4.2. Obligatory restructuring in raising verbs
The second status morphology governed by optionally restructuring verbs is compatible with a structure removal approach to restructuring, and indeed neatly follows from uniform CP-embedding in this approach, as demonstrated in the previous subsection. I will now discuss the implications of this analysis for a second class of restructuring verbs that governs the second status. This class consists of a small number of raising verbs: *scheinen* (‘to seem’), *pflegen* (‘to usually do’, ‘to be in a habit of’), *drohen* (‘to threaten’) and *versprechen* (‘to promise’)\(^3\). Müller (2017) does not adopt a structure removal account for these verbs, following Wurmbrand (2001), he assumes that they, along with all other non-optionally restructuring verbs, embed smaller complements from the beginning because they do not display the same evidence for bicausality that we have seen sketched above for optionally restructuring verbs. How then do the verbs in the complement of these raising verbs receive second status? It would be an option to abandon the idea that second status only ever arises as a default value, and then to posit that these verbs simply govern the second status. However, Müller’s structure removal approach actually opens up a different option. Recall that optionally restructuring verbs are optionally endowed with features that trigger subsequent removal of the higher projections of the complement. It is unclear what excludes lexical items that carry these features obligatorily. Obviously such items need not be excluded if they in fact exist, and raising verbs like *scheinen*, *pflegen*, *drohen* and *versprechen* are obvious candidates.
\(^3\)All of these verbs have homophonous counterparts with different syntactic properties and a different meaning in other verb classes: *scheinen* and *pflegen* also occur as lexical verbs with respective meanings ‘to shine’ and ‘to take care of’, *drohen* and *versprechen* have subject control counterparts.
(24) dass der Delfin Zeitung zu lesen scheint
that the dolphin newspaper read.II seems
‘that the dolphin seems to read the newspaper’
Under this analysis, the derivation proceeds in the same way that it did with optionally restructuring verbs, except that *scheinen* carries the removal feature obligatorily.
(25)
```
V_2P
|
CP
|
DP_1
der Delfin
|
C'
|
C
|
TP
|
vP
|
t_1
|
v'
|
V_1P
|
DP
Zeitung
|
V_1
zu lesen
```
Exactly as before, we get the second status on the embedded verb before Remove applies.
From the perspective of status government, the assumption that raising verbs involve obligatory restructuring through structure removal appears unproblematic. A potential problem arises with regards to extraposition. We have seen that the complement clauses in optional restructuring can be extraposed even if they do undergo restructuring in the Third construction. Müller (2017) suggests that extraposition takes place after the CP is built and before it is removed, such that the generalization that only CPs undergo extraposition in German can be maintained. German speakers differ in their judgments of the corresponding extraposition in raising constructions, which we currently predict to be grammatical.
(27) ?dass der Delfin scheint Zeitung zu lesen
that the dolphin seems newspaper read.II
For the speakers who allow extraposition in these cases, the analysis of raising verbs as involving an intermediate biclausal stage receives further support. My own judgement, however, aligns with the more traditional view in the literature that this example is ungrammatical. For this second group of speakers, obligatory removal of the C head and the CP projection must be ordered
before extraposition, such that extraposition is bled.\footnote{I'm grateful to Andy Murphy for this suggestion.} Under this analysis of the \textit{scheinen}-class as involving obligatory restructuring and the derivational presence of a CP-boundary, the stronger clause of the rule of coherence can be maintained: the second status arises exclusively through default valuation and never through the successful application of Agree.
5. Conclusion
In this paper, I have implemented Bech’s (1955) notion of status government as an Upward Agree operation that takes place between verbs in the syntax. Concerning the second status, the \textit{zu}-infinitive, I have proposed that it arises as a default when the Agree operation fails to apply within the phase. I take this to explain the wider distribution of the second status and its tendency to occur in clausal complements. For occurrences of the second status in constructions that are arguably monoclausal, i.e. in restructuring, we have seen that they remain predicted under an approach that features the intermediate projection of a CP, such an approach is proposed by Müller (2017) for optionally restructuring control verbs and is here extended to the class of obligatorily restructuring raising verbs such as \textit{scheinen}. In these contexts, the insertion of a default feature value upon completion of the CP permanently blocks the probe - structure removal counterfeeds status government. An open question concerns the containment relationship between the morphological realizations of first and second status, where the first status is contained in the second. It would be in the spirit of the present analysis to take this at face value, given the strong role that the surface forms of non-finite verbs are given within the syntax. Intuitively, it seems appealing to say that \textit{zu} in the second status is itself a goal in status government and values its complement as [I]. However, this idea is not straightforwardly compatible with the present analysis because this form-internal status government would necessarily be counter-cyclic, given that second status itself does not arise until a fairly late point in the derivation. The alternative is to make the first status a morphological default, realized in the context of the syntactically default \textit{zu}; the implications of this strategy remain to be investigated.
References
Adger, David (2003). *Core Syntax*. Oxford University Press: Oxford.
Bech, Gunnar (1955). *Studien über das deutsche Verbum Infinitum*. Niemeyer: Tübingen.
Bjorkman, Bronwyn & Hedde Zeijlstra (2014). Upward Agree is superior. Ms., ling-buzz/002350.
Bjorkman, Bronwyn M. (2011). *BE-ing Default: the morphosyntax of auxiliaries*. PhD thesis, MIT. Cambridge, Mass
Evers, Arnold (1990). The Infinitival Prefix “zu” as INFL. In G. Grewendorf & W. Sternefeld (eds). *Scrambling and Barriers*. Benjamins: Amsterdam. 217–238.
Georgi, Doreen (2014). *Opaque Interactions of Merge and Agree*. PhD thesis, Universität Leipzig. Leipzig
Müller, Gereon (2017). Rethinking Restructuring. Ms., Universität Leipzig. To appear in a Festschrift.
Preminger, Omer (2009). Breaking agreements: Distinguishing agreement and clitic doubling by their failures. *Linguistic Inquiry* 40. 619–666.
Preminger, Omer (2011). *Agreement as a fallible operation*. PhD thesis, MIT. Cambridge, MA
Salzmann, Martin (2019). Displaced morphology in German verb clusters: an argument for post-syntactic morphology. *The Journal of Comparative Germanic Linguistics* 22. 1–53.
Stechow, Arnim von (1984). Gunnar Bech’s government and binding theory. *Linguistics* 22. 225–241.
Stechow, Arnim von (1990). Status Government and Coherence in German. In G. Grewendorf & W. Sternefeld (eds). *Scrambling and Barriers*. Benjamins: Amsterdam. 143–198.
Sternefeld, Wolfgang (2015). *Syntax*. Stauffenburg: Tübingen.
Wurmbrand, Susi (2001). *Infinitives: Restructuring and Clause Structure*. Mouton de Gruyter: Berlin.
Wurmbrand, Susi (2012a). Parasitic participles in Germanic: evidence for the theory of verb clusters. *Taal en Tongval: Tijdschrift voor Taalvariatie* 64. 129–156.
Wurmbrand, Susi (2012b). The syntax of valuation in auxiliary-participle constructions. In J. C. et al. (ed.). *Coyote Working Papers: Proceedings of the 29th West Coast Conference on Formal Linguistics (WCCFL 29)*. 154–162.
Zeijlstra, Hedde (2012). There is only one way to agree. *The Linguistics Review* 29. 491–539.
|
Local determination of ionospheric plasma convection from coherent scatter radar data using the SECS technique
O. Amm,¹ A. Grocott,² M. Lester,² and T. K. Yeoman²
Received 25 August 2009; accepted 25 September 2009; published 12 March 2010.
[1] A new technique for merging line-of-sight (LOS) data of the ionospheric plasma convection velocity, as obtained from coherent scatter radars, into a full velocity vector field on a sphere is presented. This technique is based on the expansion into Spherical Elementary Current Systems (SECS) which have been successfully applied to many other problems in ionosphere-magnetosphere physics. Despite their name mentioning currents for historical reasons, SECS can be used as basis functions for any continuously differentiable vector field on a sphere. In contrast to the traditional modeling of the radar data with spherical harmonics over the whole auroral zone, the new technique does not require any “a priori” model input but relies solely on the measured data, nor does it need any explicit boundary conditions to be specified. The new technique is designed to be applied locally to areas where sufficient radar backscatter exists. The analysis area that satisfies this condition may have any shape and is not limited to, e.g., spherical caps. A test with synthetic data shows that the method performs excellently (less than 5% relative error) if 25% or more of the optimal coverage of input data are actually available as backscatter data, with respect to the scale on which the results for the velocity vector field are desired to be obtained. Still if only 10% of the optimal coverage of input data are available, the technique performs fairly well with a relative error of ~12%. A second test with real LOS input data from the SuperDARN radars shows that on such a local area with sufficient backscatter, our new technique is able to reproduce mesoscale details of the LOS data significantly better than the current standard analysis based on the technique of Ruohoniemi and Baker (1998) which processes the radar data on the whole auroral zone. While the new technique is presented here for the application with LOS radar data, it can be applied for merging any kind of vector component data on a sphere to a vector field.
Citation: Amm, O., A. Grocott, M. Lester, and T. K. Yeoman (2010), Local determination of ionospheric plasma convection from coherent scatter radar data using the SECS technique, J. Geophys. Res., 115, A03304, doi:10.1029/2009JA014832.
1. Introduction
[2] The determination of ionospheric plasma convection maps is a key target for ionosphere-magnetosphere physics, since the convection and the electric field associated with it are crucial parameters for the determination of, e.g., ionospheric currents, field-aligned currents, and the energy deposition in the ionosphere. Presently, coherent scatter radars such as STARE [Greenwald et al., 1978] or the SuperDARN radar network [Greenwald et al., 1995; Chisham et al., 2007] are the only instruments able to determine such maps over a mesoscale region (of a few hundreds to thousands of kilometers) with a time resolution suitable to study single events (20 s for STARE, 1 min routinely with SuperDARN). In the future, with the advantages of modern electronic beam steering, SuperDARN can achieve higher time resolution. With the same technique, also the upcoming AMISR [e.g., Heinselman and Nicolls, 2008] and the EISCAT 3-D [Wannberg, 2008] incoherent scatter radars may be used for similar purposes. However, due to the much larger energy per volume required by incoherent scatter techniques, the results will be restricted to smaller areas or have less time resolution.
[3] The nature of coherent backscatter is spatially and temporally highly variable. That is, for each measured time step, only a certain percentage of the data points that would be observed in an optimal case are actually available. Furthermore, like with any radar, the coherent scatter radar only measures the component of the plasma convection velocity along the radar beam, called line-of-sight (LOS) velocity. In order to obtain a spatial map of the full convection vectors, therefore the available LOS velocities from two or more radars must be merged into a 2-D plasma
convection velocity vector field. In most cases, also in the present paper, it is assumed that inductive effects can be neglected, and consequently the resulting 2-D velocity vector field is divergence-free.
[4] Plasma convection maps over the whole northern auroral zone are a standard output produced by the data of the SuperDARN coherent scatter radar network [Ruohoniemi and Baker, 1998]. However, in order to overcome data gaps either due to areas where none of the radars has a field of view, or due to lack of data because of missing backscatter, the technique to produce these maps (called “APL model” here) uses statistical “a priori” information taken from plasma convection models that are driven by parameters of the interplanetary magnetic field (IMF) and the solar wind. Further, the APL model is built on spherical harmonics, which means that missing information on one part of the analysis area will have an effect on all other parts of that area. For these two reasons, even in regions where good radar backscatter is available, it is not granted that the outcome of the APL model reflects the actual radar data in that region well. Particularly, there is a risk that smaller-scale variations and anything in the data that is incompatible with the used statistical “a priori model” will be suppressed in the plasma convection maps produced by the APL model.
[5] In this paper, we present a new technique for merging plasma flow velocity vectors from LOS data locally in areas where sufficient backscatter from two or more coherent scatter radars is available, without the use of any “a priori” models. The new technique is based on Spherical Elementary Current Systems (SECS) which were introduced by Amm [1997], and since then have been used successfully in numerous tasks for ionosphere-magnetosphere physics, e.g., the determination of ionospheric equivalent currents from ground magnetometer data [Amm and Viljanen, 1999], the determination of induction effects in the ionosphere [Vanhamäki et al., 2006], or establishing a local version of the well known KRM technique [Kamide et al., 1981] that derives ionospheric electric fields and currents from ground magnetometer data, as shown by Vanhamäki and Amm [2007]. (Note that the notion “current systems” exists for historical reasons, but in fact the SECS can be used as basis functions for any kind of continuously differentiable vector field on a sphere.) The analysis region, i.e., the region with sufficient backscatter, may have any shape. The SECS basis functions are local, and thus no upper or lower wavelength that can be represented in the output results needs to be selected globally. In addition, no fixed boundary conditions need to be specified. The output plasma flow velocity vectors resulting from the technique are by definition exactly divergence-free.
[6] In section 2, we present the analytical basis of the new technique. In section 3, we test the technique using a synthetic data set, and by subsequently reducing the amount of available input data, we investigate how much backscatter is sufficient for the technique to operate with reasonable error margins. Finally, section 4 contains an application of the technique for a real SuperDARN data case. We compare the output of our new technique with that of the APL model on the same area, with the same input data.
[7] It should be noted that although the new technique is presented here in terms of merging LOS radar data to plasma convection velocity vectors, it is not restricted to this specific application. The mathematics presented in the following section can be applied to any type of vector component data on a sphere, and their merging into a vector field.
2. Technique
[8] In this section, we describe the analytical basis of the new technique, based on the SECS approach. For detailed description of the SECS approach itself, see Amm [1997] or Amm and Viljanen [1999].
[9] Figure 1 sketches the geometry of the input data, which consist of n vector components $V_i$ in directions $e_i$, $i = 1, \ldots, n$, given at positions $\vec{r}_i$ on a spherical area F. In our radar data application, the unit vectors $e_i$ refer to the LOS directions of the radar beams. The area F is the analysis area, in which the method provides the searched output of the technique, namely the vector field $\vec{V}$ on F such that $div_h \vec{V} = 0$. Here and in the following, the subscript “h” denotes the horizontal component of a vector or operator. For simplicity, in the sketch a rectangular area was chosen for F, but the shape of the analysis area can freely be chosen to best match the area of available input data.
[10] The way to solve for $\vec{V}$ with the SECS approach is to place m divergence-free spherical elementary system poles to an area $F^*$ with $F \subset F^*$, and then fit the scaling factors $I_{j,d,h}, j = 1, \ldots, m$ of these poles such that the field given by the sum of all SECS optimally fits the measured vector components. The elementary systems are placed with their poles on positions $\vec{r}'_j$ on $F^*$. Typically, the positions $\vec{r}'_j$ are chosen as a regular grid, but the density of the elementary systems placed can also be adopted to reflect areas of denser or sparser input data availability if so desired.
[11] The first step of the solution is to solve for the scaling factors of the divergence-free elementary systems. For that, we solve the linear equation
$$\vec{T} \cdot I = \vec{Z} \quad (1)$$
with
\[
\mathbf{Z} = \begin{pmatrix}
V_1 \\
V_2 \\
\vdots \\
\vdots \\
V_n
\end{pmatrix}
\]
(2)
being the vector of observations, and
\[
\mathbf{I} = \begin{pmatrix}
I_{1,df} \\
I_{2,df} \\
\vdots \\
\vdots \\
I_{m,df}
\end{pmatrix}
\]
(3)
being the vector that contains the searched scaling factors, and \( T = (T_{ij}) \) being the “transfer matrix” which gives the effect of a unit elementary system with pole at \( \vec{r}_j' \) in direction of \( \mathbf{e}_i \) at point \( \vec{r}_i \). Hence
\[
T_{ij} = \left( \frac{1}{4\pi R_I} \cot(\vartheta^*/2) e_{\varphi}^* \right)^t \cdot \mathbf{e}_i
\]
(4)
where the expression inside the brackets is given in the spherical coordinate system of the elementary system with pole at \( \vec{r}_j' \), and the superscript “t” indicates that this expression needs to be transformed to the same coordinate system in which the \( \mathbf{e}_i \) are given (i.e., usually the geographic or a geomagnetic coordinate system) before the dot product is taken. \( \vartheta^* \) means the \( \vartheta \) coordinate of \( r_j \) in the SECS system with pole at \( \vec{r}_j' \), and \( e_{\varphi}^* \) is the direction of the \( \varphi \) unit vector of the same SECS system at \( \vec{r}_i \). The transfer matrix \( T \) is thus only dependent on the geometry, i.e., on the given location of the input vectors and on the chosen locations of the SECS poles, but it is independent of the actual flow velocity data. Using equations (2)–(4), equation (1) can be solved for \( \mathbf{I} \) with the same singular value decomposition (SVD) inversion technique as described by Amm and Viljanen [1999, section 5].
[12] Once \( \mathbf{I} \) (and therefore the scaling factors of each SECS system) is known, \( \vec{V} \) follows immediately \( \forall \vec{r}_0 \subset F \) as
\[
\vec{V}(\vec{r}_0) = \sum_{j=1}^{m} \left( \frac{I_{j,df}}{4\pi R_I} \cot(\vartheta^*/2) e_{\varphi}^* \right)^t
\]
(5)
where again the expression in brackets is given in the spherical coordinate system of the elementary system with pole at \( \vec{r}_j' \), and the superscript “t” indicates the transformation to the global coordinate system before the sum is taken. \( \vartheta^* \) means the \( \vartheta \) coordinate of \( r_0 \) in the SECS system with pole at \( \vec{r}_j' \), and \( e_{\varphi}^* \) is the direction of the \( \varphi \) unit vector of the SECS system at \( \vec{r}_0 \). Equation (5) can be applied for any desired \( \vec{r}_0 \subset F \), and thus the searched vector field \( V \) can be constructed.
### 3. Test With Synthetic Data Sets
[13] In this section, we test the performance of the new technique using a synthetic input data set of plasma flow velocity, as shown in Figure 2. In fact, this input data set has been constructed from SuperDARN measurements on 13 November 1996, 1900 UT, and it has been analyzed together with magnetometer data in the work of Amm et al. [1999]. However, in the context of this technique paper, we disregard the geophysical aspects and use the vector field shown in Figure 2 as a synthetic representation of a true plasma flow velocity distribution at some given time only.
[14] In order to test how well the new technique can reproduce the given synthetic input data set, and in order to test its sensitivity with respect to the availability of (or lack of) backscatter (and thus of input vector component data), we have performed the following virtual experiment: We define two “virtual radars,” one of which measures only the north component, and the other only the east component of the original plasma flow velocity. (We are aware of the fact that in the real world, such a configuration would not be possible since lines of constant latitude are not straight on a sphere, but this is of no concern for this mathematical test.) The range gates of the “virtual radars” correspond just to the intervals between the vectors shown in Figure 2, i.e., if optimal backscatter would be received, the radar data would consist exactly of the north and east components of the vectors shown in Figure 2. Next, we define six probability levels (100%, 75%, 50%, 25%, 10%, and 5%) which define the probability for each vector component of the vectors shown in Figure 2 to be actually observed by the virtual radar. When generating virtual input data for each of the probability levels, a random process with the respective probability is used to determine for each vector component whether or not it is observed. Each probability level thus corresponds to different amounts of backscatter (on average, the percentage of backscatter received equals the probability level) and therefore of input data for the technique.
[15] With the available input vector component data at each probability level, we then use the new SECS-based local merging technique presented in section 2 to reconstruct the divergence-free plasma flow velocity field. The relative error \( \varepsilon \) between the recalculated field (denoted by the subFigure 3. Reconstruction of the plasma flow velocity vector field from the synthetic model shown in Figure 2 using the new SECS-based radar merging technique, for different probability levels for the radar backscatter. (a) Output for 25% level; (b) output for 10% level; (c) input vector components for 10% level; (d) output for 5% level.
script “calc”) and the original field, i.e., the vectors shown in Figure 2 (denoted by the subscript “orig”), is defined as
\[
\varrho = \frac{\int_F |\vec{v}_{calc} - \vec{v}_{orig}|}{\int_F |\vec{v}_{orig}|}
\]
(6)
[16] Figure 3 shows the output of the reconstruction with the new technique for the probability levels 25%, 10%, and 5% (Figures 3a, 3b, and 3d, respectively). The reconstructed field is displayed by black vectors, and the original model field is displayed by green vectors, for comparison. The reason why we do not show the corresponding output for probability levels higher than 25% is clear from Figure 3a: Even at the 25% probability level, visually it is hard to observe any difference between the reconstructed and the original vector fields. However, the relative error \( \varrho \), given in Table 1, rises from 0.45% at 100% probability level to 4.41% at 25% probability level. The reason for \( \varrho \neq 0 \) at 100% probability level is, in addition to numerical effects relating to the inversion, the fact that the amount of elementary system poles that we use for the SECS expansion is finite. At 10% probability level (Figure 3b), deviations between the reconstructed and the original vector fields start to become visual, particularly in the western part of the analysis area. Still, also at this low probability level, the structure of the original field is fully reconstructed, and the deviations are moderate with a relative error of \( \varrho = 12.26\% \). Figure 3c shows the vector component input data for this level, demonstrating the sparseness of the input data with which the technique still obtains a very reasonable reconstruction result. Finally, at 5% probability level, the reconstructed vector field has clearly deteriorated (Figure 3d), and the relative error rises to \( \varrho = 49.45\% \). However, even at this very low probability level, the result is not random but the basic features of the original vector field, i.e., the change in vorticity from northwest to southeast, the vortex at the southern flank, and the general decrease of the field’s magnitude from west to east, are still recognizable.
4. Test With a Real SuperDARN LOS Data Set and Local Comparison With APL Model Results
[17] The second test of our technique is based on real SuperDARN LOS plasma velocity data, measured on 5 January
Table 1. Relative Error $e$ of the Reconstructed Plasma Flow Velocity Vector Field Compared to the Original Synthetic Model Field, for Different Probability Levels for the Radar Backscatter
| Probability Level (%) | Relative Error $e$ (%) |
|-----------------------|------------------------|
| 100 | 0.45 |
| 75 | 0.91 |
| 50 | 2.20 |
| 25 | 4.41 |
| 10 | 12.26 |
| 5 | 49.45 |
*Relative error $e$ is as defined in equation (6).
2000 at 2007 UT. In addition to the testing of the technique with real data, we locally also compare the results with those of the APL model, based on the same input data. We concentrate here on the field of view of the two CUTLASS radars which are part of the SuperDARN network and situated in Hankasalmi (Finland) and Pykkvibaer (Iceland). The location of the radars, their fields of view, and the observed LOS velocities are shown in Figure 4a. In the color scale, negative values and red/orange color denote LOS velocity components away from the radar, while positive values and blue/green colors denote LOS velocity components toward the radar. The data are presented in altitude adjusted corrected geomagnetic coordinates (AACGM [e.g., Gustafsson et al., 1992]). The interval presented is characterized by a very good level of available backscatter overall in the SuperDARN radars, and thus also for the CUTLASS radars. Still, some regions where no backscatter is received exist especially at the flanks of the field of view in the far range gates in the Pykkvibaer radar (Figure 4a, left), and at some medium distance and far range gates in the Hankasalmi radar (Figure 4a, right). Again, we do not discuss any geophysical aspects of the data set in this technique paper, but merely use it as an input to our technique.
[18] Figure 4b shows the output of the APL model on the northern auroral zone. In Figure 4b, magnetic noon is on the top, and magnetic midnight is on the bottom. For better orientation, also the two CUTLASS radars and their field of view are indicated, where “E” denotes to Pykkvibaer radar, and “F” denotes the Hankasalmi radar. The origins of the
Figure 4. Testing of the new SECS-based radar merging technique with real SuperDARN data and local comparison with the results of the APL model. (a) Original LOS data from the two CUTLASS radars on 5 January 2000 at 2007 UT. (b) Resulting electric potential (isocontour lines) and plasma flow velocity (vectors) on the northern auroral zone from the APL model. The positions and field of view of the CUTLASS radars are marked. Magnetic noon is on the top of the plot, and the evening side is on the left. (c) Local comparison of results for the plasma flow velocity in the area of the CUTLASS radars’ field of view: (top) APL model and (bottom) new SECS-based radar merging technique.
vectors indicate positions where at least one of the SuperDARN radar obtained ionospheric backscatter. However, the direction of the vectors at these positions always point along the APL model solution for the plasma flow velocity (not along the original LOS measurement direction). In addition, also isocontours of the electric potential that describes the electric field $\vec{E} = -\vec{V} \times \vec{B}$ resulting from the APL model of $\vec{V}$ (where $\vec{B}$ denotes the Earth’s main magnetic field) are plotted. As can be seen from Figure 4b, on the magnetic evening (i.e., on the plot at left) side of the auroral zone, the radars generally obtain a good amount of backscatter, while on most of the magnetic morning (i.e., on the plot at right) side, backscatter is sparse or fully absent. In these regions, the APL model output is dominated by the “a priori” information given to the model, which are based on parameters of the IMF also stated in Figure 4b. However, we emphasize that the nature of spherical harmonic basis functions, on which the APL model is built, is such that there cannot be a clear separation into areas that are influenced by the “a priori” information and others that would not be influenced by them. Moreover, the sparse data availability in some areas globally limits the maximum possible degree of the spherical harmonic expansion, and by that its spatial resolution.
[19] In Figure 4c, we directly compare the output of the APL model and that of our new SECS-based merging technique, in the area of the CUTLASS radar field of view. Looking only at the most basic features of the plasma flow velocity pattern, there is good correspondence between the results of the two techniques: Mostly westward flow is seen in the southern part of the analysis area equatorward of $73^\circ$ lat, while poleward of that the plasma flow splits into a clockwise vortical structure on the western side, and an anticlockwise vortical structure on the eastern side. However, when looking more closely, it becomes clear that the result of the new SECS-based technique preserves much more of the mesoscale detailed structures that are contained in the measured LOS velocity data (Figure 4a), and it also preserves a much larger variability of the amplitude of the plasma flow velocity, again in accordance with the original LOS data. For example, the intensification of the eastward flow in the northeastern edge of the analysis area and the strong zonal shear flow equatorward of it, as they are clearly seen in the LOS data of the Pykkviibaer radar, are both well represented in the results of the new SECS-based technique, but hardly visible in the results of the APL model.
5. Summary and Discussion
[20] In this paper, we have devised a new technique based on SECS for merging vector component data on a sphere into a vector field, and presented it for the specific case of coherent scatter radar LOS data of the ionospheric plasma flow velocity. Most importantly, unlike the traditional APL model that is regularly used with SuperDARN data on the whole northern auroral zone, the new technique does not require any “a priori” modeling nor other specific assumptions such as boundary conditions for the scalar potential that describes the plasma flow velocity vector field. On the other hand, the new technique must only be applied on areas where sufficient backscatter from two or more radars is present. These areas may have any shape, and are not restricted to, e.g., spherical caps, as is the case for techniques based on local spherical harmonics such as spherical cap harmonic analysis (SCHA [Haines, 1985]). Some inherent problems of SCHA related to the boundary conditions assumed in their construction were pointed out by Thébault et al. [2006].
[21] We have tested the new technique for one synthetic model case and for one real data case. The test with the synthetic model showed that the technique is able to produce excellent reconstructions of the original vector field with relative errors less than $\sim 5\%$ when more than $\sim 25\%$ of the original input vector component data are available as backscatter measurements. Even if only $\sim 10\%$ of the original input vector component data are available, the reconstruction is still fairly good with a relative error of $\sim 12\%$, and all structural features of the vector field being fully contained in the reconstruction. This is particularly reconfirming for the performance of our new technique because the synthetic model shown in Figure 2 is not an easy case for a local reconstruction, since it contains opposite vorticities, a wide dynamic range of vector magnitudes, and a vortex that is cut at the equatorward boundary of the analysis area. The above stated numbers of available backscatter can be used as guidelines for what amount of input data is sufficient for the application of the technique, with respect to the scale on which the results for the velocity vector field are desired to be obtained. (In our example, this scale is $\sim 100$ km.)
[22] The test of our new SECS-based merging technique with real SuperDARN LOS data, and the local comparison with the output of the APL model, showed that while the most essential features of the plasma flow velocity vector field agree, the results of the new technique contain much more mesoscale features of the vector field, and variability of its magnitude. Those features, which are clearly present in the input LOS data, are largely suppressed in the APL model results, presumably due to the global spherical harmonic basis functions used, and due to the influence of the “a priori” modeling. Therefore, in situations when mesoscale details of the radar data are of importance, or when the radar data is to be combined with other mesoscale data sets, in regions where sufficient backscatter exists it is recommendable to analyze the radar data with the SECS-based technique presented in this paper.
[23] For the present paper, we have restricted our discussion to the application of the new technique with a plasma flow velocity field that is desired to be divergence-free. Therefore, only divergence-free elementary system terms appear in equations (3)–(5). If for some other application, the output field is desired to be curl-free, then only curl-free elementary system terms would need to be used instead. If the output field should be of general kind, the matrix $T$ and the vector of scaling factors $I$ need to be extended to contain both curl-free and divergence-free elementary system terms, and equation (5) would then contain the sum of both of these terms.
[24] Acknowledgments. The work of O.A. was supported through project 115947 of the Academy of Finland. A.G., M.L., and T.K.Y. were supported during this study by STFC grant PP/E000983/1. SuperDARN operations at the University of Leicester are supported by STFC grant PP/E007929/1.
Wolfgang Baumjohann thanks Peter Dyson and Karl-Heinz Glassmeier for their assistance in evaluating this paper.
References
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O. Amm, Arctic Research Unit, Finnish Meteorological Institute, PO Box 503, FIN-00101 Helsinki, Finland. (firstname.lastname@example.org)
A. Grocott, M. Lester, and T. K. Yeoman, Department of Physics and Astronomy, University of Leicester, Leicester LE1 7RH, UK.
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The Effects of Temperature on the Stability of a Neuronal Oscillator
Anatoly Rinberg, Adam L. Taylor*, Eve Marder*
Volen Center and Biology Department, Brandeis University, Waltham, Massachusetts, United States of America
Abstract
The crab *Cancer borealis* undergoes large daily fluctuations in environmental temperature (8–24 °C) and must maintain appropriate neural function in the face of this perturbation. In the pyloric circuit of the crab stomatogastric ganglion, we pharmacologically isolated the pacemaker kernel (the AB and PD neurons) and characterized its behavior in response to temperature ramps from 7 °C to 31 °C. For moderate temperatures, the pacemaker displayed a frequency-temperature curve statistically indistinguishable from that of the intact circuit, and like the intact circuit maintained a constant duty cycle. At high temperatures (above 23 °C), a variety of different behaviors were seen: in some preparations the pacemaker increased in frequency, in some it slowed, and in many preparations the pacemaker stopped oscillating (“crashed”). Furthermore, these crashes seemed to fall into two qualitatively different classes. Additionally, the animal-to-animal variability in frequency increased at high temperatures. We used a series of Morris-Lecar mathematical models to gain insights into these phenomena. The biophysical components of the model have been shown to sensitize similar to what is found in nature, and can crash via two qualitatively different mechanisms that resemble those observed experimentally. The crash type is determined by the precise parameters of the model at the reference temperature, 11 °C, which could explain why some preparations seem to crash in one way and some in another. Furthermore, even models with very similar behavior at the reference temperature diverge greatly at high temperatures, resembling the experimental observations.
Introduction
Neuronal oscillators depend on the balanced interaction of many voltage-dependent currents to produce functional output. For example, the cardiac action potential is a result of the voltage- and time-dependent activation and inactivation of many different ion channels [1]. Likewise, thalamic neurons generate bursts that also depend on the properties of many currents [2–4].
Temperature is a global perturbation that influences the conductance, activation, and inactivation of all ion channels [5]. Because the temperature sensitivities of different ion channels are generally different, this variability presents a potential challenge to maintaining stable oscillatory function over an extended temperature range, as is necessary for neuronal oscillators found in cold-blooded animals.
A number of theoretical studies have shown that similar neuronal and network behaviors can be produced by widely different sets of conductances [6–9]. More specifically, very similar patterns of neuronal bursting can arise from different balances of inward and outward currents [7,10]. Thus, even if temperature alters the relative balance of inward and outward currents in a neuronal oscillator, this divergence might not immediately lead to a loss of robust oscillation.
In the stomatogastric ganglion (STG) of the crab, *Cancer borealis*, the anterior burster (AB) neuron is strongly oscillatory, and is electrically coupled to the two pyloric dilator (PD) neurons. Together the AB and PD neurons comprise a three-neuron pacemaker kernel that drives the pyloric rhythm of the STG [11]. Previous work on the STG has shown that there is substantial variability in ionic currents across animals [12,13]. Despite this variability, in a “permissive” temperature range (7 °C to 25 °C), the pyloric rhythm exhibits remarkably stable phase relationships among activity in different neurons [14]. However, at higher temperatures the rhythm often “crashes”, i.e. fails to oscillate [15]. Crashed preparations resume oscillations if returned to a permissive temperature.
In this paper we characterize the effects of temperature on the isolated pacemaker kernel of the pyloric rhythm, both over the permissive temperature range and at more extreme temperatures, as a way of probing the diversity of the underlying oscillatory mechanisms across individual animals. Additionally, by studying the effects of temperature on a simple oscillator model, we describe the generic features that enable neuronal oscillators to respond to temperature modifications in a reliable fashion.
Results
The pyloric rhythm is a triphasic motor pattern in which the pacemaker kernel, consisting of the AB and two PD neurons, fires in alternating bursts with the lateral pyloric (LP) and pyloric (PY) neurons. The connectivity among the pyloric network neurons and the rhythm itself are shown in Figure 1A. Activity of the PD...
Author Summary
The nervous systems of cold-blooded animals must maintain essential function despite fluctuations in environmental temperature. We studied the pyloric rhythm of the crab, *Cancer borealis*. The pyloric rhythm is important for the animal's feeding behavior, and previous work has shown that relative timing, or phase, of the neurons in the pyloric circuit is temperature invariant over a range of physiologically realistic temperatures (7 to 23 °C), although the frequency of the rhythm increases. At higher temperatures, however, the rhythm becomes disrupted. In this paper we present experimental work on the isolated pacemaker of the pyloric rhythm together with a computational model that explores the loss of stability of the pacemaker as a function of temperature. Experimentally, we found that the isolated pacemaker responds to temperature similarly to the intact network, and maintains constant duty cycle over large temperature ranges. At high temperatures, about half of the pacemakers stop oscillating, reminiscent of certain mathematical bifurcations. We varied the temperature dependence and conductance densities of a simple model oscillator, and characterized its bifurcations as a function of temperature. We found that particular temperature-dependent relationships must be maintained to provide robust temperature performance of oscillators with variable underlying conductances.
**Figure 1. The pyloric network, intact and with pacemaker isolated.**
(A) At top, a schematic of the intact pyloric network. Dots represent inhibitory chemical synapses, resistor symbols indicates electrical synapses. Dot color represents the transmitter used by particular synaptic connections: blue, Glu = glutamate; at bottom, intracellular recording of PD and simultaneous extracellular recordings from three nerves: pdn, gpn, and pyn, which reflect activity in PD, LP, and PY, respectively. Traces recorded at 11 °C. (B) At top, a schematic of the pyloric network in presence of $10^{-5}$ M PTX, which blocks glutamatergic synapses in *C. borealis*. Under this condition, the major synaptic input to the pacemaker and other pyloric neurons has been blocked. At bottom, the same preparation as in panel A, but after application of $10^{-5}$ M PTX. Deprived of pacemaker input, LP and PY fire tonically, but the pacemaker continues to oscillate.
doi:10.1371/journal.pcbi.1002857.g001
Neurons can be seen in the intracellular recording of one of the PD neurons and on the extracellular recording from the pyloric dilator nerve (*pdn*; Figure 1A). Activity of the LP neuron is seen as the spikes recorded on the gastropyloric nerve (*gpn*; Figure 1A). The smaller amplitude spikes on the pyloric nerve (*pyn*) show activity from the PY neurons (Figure 1A). Note that while the LP and PY neurons are inhibited by both the glutamatergic AB and the cholinergic PD neurons [16], the only feedback to the pacemaker kernel comes from the glutamatergic LP neuron [17].
In the STG, picrotoxin (PTX) blocks the glutamatergic inhibitory synapses [16,18,19], thus allowing the pacemaker kernel to be isolated from other members of the pyloric circuit (Figure 1B). In the presence of $10^{-5}$ M PTX the pacemaker kernel maintains its activity, as seen in the intracellular PD recording and the extracellular *pdn* recording (Figure 1B). Loss of the AB inhibition usually causes the LP and PY neurons to fire tonically (the residual cholinergic inhibition from the PD neurons is often very weak). Because of the strong electrical coupling between the AB and PD neurons, PD neuron activity is a good monitor of the AB neuron’s activity [11].
**Variability in pacemaker frequency at high temperature**
We studied the output of isolated pyloric pacemakers in a temperature range from 11 to 31 °C (Figure 2). Generally, the frequency increased with temperature (Figure 2A). However, bursting was quite variable at extreme temperatures, and some individuals displayed a decrease in frequency as temperature was increased (Figure 2B). Furthermore, some preparations continued to cycle at 31 °C, the highest temperature tested, whereas some crashed before this point (compare Figure 2A, 2B). Three isolated pacemaker kernels increased their frequency over the entire range from 11 to 31 °C (as in Figure 2A). Seven isolated pacemakers crashed (as in Figure 2B). Finally, four isolated pacemakers showed frequency-temperature (F-T) curves that flattened out or sloped downward at high temperatures (as in Figure 2B, compare 19 °C panel to 23 °C panel).
Averaged across individuals, frequency increased with temperature (Figure 2C; $Q_{90} = 1.57 \pm 0.15$, SE, Sec Methods). This increase was approximately linear from 11 to 19 °C (slope = 0.152 Hz/C; $r^2 = 0.87$, 95% CI = [0.76, 0.93]). Variability of the frequency (across individuals) also increased with increasing temperature (Figure 2D; $p < 0.01$, Levene’s test on log-transformed frequency). The onset of the change occurred above 19 °C. From 11 to 19 °C, variability of the frequency did not change significantly ($p > 0.1$, Levene’s test on log-transformed frequency), but at higher temperatures the variability increased strongly (see Figure 2D for detailed comparisons).
Previously, it was shown that in the intact pyloric network, frequency increased with increasing acute temperature [14,15]. Remarkably, we found that the isolated pacemaker had an F-T curve that was statistically indistinguishable from that of the intact network (Figure 2E, with data from [14,15] shown for comparison; $p = 0.34$, two-way RM ANOVA).
As in the intact network, isolated pacemaker duty cycle remains invariant to temperature
We measured the effect of temperature on the pacemaker duty cycle. For a bursting neuron, duty cycle is defined as the fraction of the period that the oscillator is bursting. In contrast to the effect of temperature on frequency, the isolated pacemaker kernel’s duty cycle changed little as temperature was increased, exhibiting a $Q_{90}$ close to one (Figure 2F; $Q_{90} = 0.97 \pm 0.05$; SE). In the previous work on the intact pyloric network, it was also found that the pacemaker duty cycle did not vary with temperature [14,15]. As
Figure 2. Effect of temperature on frequency and duty cycle of the isolated pyloric pacemaker. (A) Membrane potential of the PD neuron in one animal, at several temperatures. (B) Similar to A, but in a different individual. (C) PD burst frequency versus temperature for $n = 14$ individuals (gray), and averaged across individuals (black). Gray lines that end in a dot represent animals that crashed above that temperature. Error bars represent SD. (D) The coefficient of variation of the burst frequency (across individuals) at each temperature, and the variance of the log-transformed frequency ($S_{\log}$; see Methods). Brackets denote a Levene’s test to compare the log-transformed variance between two temperatures: n.s. = not significant, ** = p < 0.01. (E) Pyloric frequency versus temperature, for the isolated pacemaker (black, subset of the data shown in panel C), and the intact network (gray, n = 15, as previously reported in [14,15]). Data for 31°C is not shown because many preparations crashed or cycled erratically at this temperature. Error bars represent SD. (F) Duty cycle versus temperature, again in the isolated pacemaker (black, n = 12) and the whole network (gray, n = 15, as previously reported in [14,15]). Again, data for 31°C is not shown. Error bars represent SD.
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with frequency, we found that the isolated pacemaker had a duty-cycle-versus-temperature curve that was statistically indistinguishable from that of the intact network (Figure 2F, with data from [14,15] shown for comparison; p = 0.44, two-way RM ANOVA). Of these preparations, some crashed at 31°C, but even these maintained constant duty cycle until they crashed. Together, these observations strongly suggest that the underlying mechanism for the pacemaker’s duty-cycle invariance is intrinsic to the pacemaker itself and does not depend on network interactions.
Crash characterization
For each preparation, we attempted to push the system to its critical temperature, the temperature at which the behavior of the oscillations changed qualitatively, e.g. from robust oscillations to a fixed voltage. While seven isolated pacemakers crashed at or below 31°C, they showed a variety of behaviors as they transitioned in and out of robust bursting. Figure 3A shows a crash recovery in which the initially quiescent pacemaker transitioned to small-amplitude oscillations that then grew to larger amplitude as temperature was decreased. Figure 3B and C show a similar type of behavior (in the reverse direction) in which full-amplitude oscillations gradually decreased in amplitude as temperature was increased, while maintaining an approximately steady frequency. Qualitatively, this type of behavior is reminiscent of a supercritical Hopf bifurcation, in which amplitude transitions gradually from fixed voltage to full oscillations and at the transition point the oscillations are born at non-zero frequency [20].
In contrast, some preparations abruptly transitioned from full-amplitude oscillations to quiescence at high temperatures. In the example shown in Figure 3D, the rhythm spontaneously flipped between full-amplitude oscillations and quiescence at a fixed temperature. This kind of behavior is reminiscent of a fold limit cycle bifurcation, in which oscillations emerge at a non-zero amplitude [20]. Additionally, the sudden transitions at a fixed temperature suggest that the system is highly sensitive to small perturbations when it is close to a critical temperature.
A model of the pyloric pacemaker
Broadly speaking, the experimental data show that as temperature is increased, the pacemaker duty cycle is largely constant while its frequency increases. Nevertheless, the individual preparations showed considerable diversity at high temperature, with
Figure 3. Examples of isolated pacemaker crashes at high temperatures. (A) Simultaneous intracellular recording from two PD neurons, and an extracellular recording from the pdn, as temperature is dropped from 27 to 23 C. In the top trace, spikes were cut off at $-40$ mV. (B, C) Two examples of similarly behaving oscillations: as temperature was increased, from around 18 to 30 C, amplitude dropped and frequency continued to increase, eventually terminating in small-amplitude oscillations. (D) PD recording at a steady 35 C shows multiple switching between oscillation and flat-line voltage, seemingly through odd limit cycle bifurcations.
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some steadily increasing in frequency while others leveled off or even slowed (Figure 2C). Furthermore, some preparations crashed at very high temperatures, while others continued to oscillate. This diversity of behavior is likely the result of diverse underlying conductances in the individual pacemakers [8,14,21,22]. To better understand these results, we constructed models in which we varied the maximal conductances and temperature sensitivity of the pacemaker currents, and examined how these models behaved as temperature was changed.
We chose to use a Morris-Lecar model [23] to represent the oscillator. This simple model uses biophysically realistic membrane currents and produces an oscillation that varies in amplitude, burst duration and frequency as its parameters are varied [24], and has been widely used in other studies of STG neurons and other neuronal oscillators [24–27]. A two-neuron multicompartmental model of the PD-AB neuron exists [28], but this model, while producing voltage trajectories that resemble those of the PD and AB neurons much more accurately than does the Morris-Lecar model, has so many parameters that it can only be studied numerically. Our intent in this paper is to understand how temperature can influence a neuronal oscillator in an analytically tractable model, and then to use these insights to guide further biological and computational studies. A single Morris-Lecar neuron [23,24,27] captures the features of the slow-wave oscillations that we studied experimentally, including amplitude, frequency, and duty cycle, but does not capture the fast action potentials of the biological neurons. As in previous studies [25,27], fast action potential dynamics were neglected for two reasons. First, STG pacemaker neurons can continue to oscillate after sodium spikes are blocked (at least in some modulatory conditions) [21,29,30]. Second, in the STG, synaptic transmission is a graded function of presynaptic voltage [31,32]. It therefore seems reasonable for a simple model to only capture slow-wave behavior.
The Morris-Lecar model [23] is a single isopotential electrical compartment with an instantaneous inward Ca$^{2+}$ current, a slow outward K$^+$ current, and a leak current. Here we use the same model equations to capture the total inward, outward and leak currents, respectively. While it is possible to make use of an even simpler oscillator model, we feel it is important to retain the form of actual voltage-dependent membrane conductances. The model has the following form:
$$C_m \frac{dV}{dt} = -g_{\text{inh}}(V-E_{\text{inh}}) - g_{\text{out}}(V-E_{\text{out}}) - g_m(V-E_p)$$ \hspace{1cm} (1)
$$\frac{dn}{dt} = k(n_\infty(V) - n)$$ \hspace{1cm} (2)
where
\[ m_n(V) = \frac{1}{1 + \exp[-4(V - V_{in})/\sigma_{in}]} \] \hspace{1cm} (3)
\[ n_L(V) = \frac{1}{1 + \exp[-4(V - V_{out})/\sigma_{out}]} \] \hspace{1cm} (4)
\( V \) corresponds to the membrane potential, \( n \) is the gating variable for the outward current, \( k \) is the maximum activation rate of \( n \), \( E_i \) is the reversal potential of conductance \( i \), \( g_i \) is the maximal conductance of conductance \( i \), \( V_c \) is the half-activation voltage for conductance \( i \), \( \sigma_i \) controls the slope of the activation curve for conductance \( i \), and \( C_m \) is the membrane capacitance. The capacitance, reversal potentials, steady-state activation functions and maximal conductances were chosen to roughly match known biological values [33–35]. The parameters were then hand-tuned to produce frequency and amplitude that resembles the pyloric output at 11°C, and were fixed unless otherwise stated (see Methods).
The electrical properties most strongly affected by temperature are the maximal conductances and the rates of channel opening and closing [5]. We added these effects to the model by making \( g_{\text{inh}}, g_{\text{in}}, g_{\text{out}} \), and \( k \) all functions of temperature, using the usual \( Q_{T_0} \)-based formalism:
\[ r = r_{\text{ref}} Q \] \hspace{1cm} (5)
\[ Q = Q_0^{(T-T_{\text{ref}})/10}, \] \hspace{1cm} (6)
where \( r \) is one of \( g_{\text{inh}}, g_{\text{in}}, g_{\text{out}} \), and \( k \); \( T_{\text{ref}} \) is the value of \( r \) at the reference temperature \( T_{\text{ref}} \) here chosen to be 11°C; \( Q \) is the factor by which the parameter is scaled at the current temperature, \( T \); and \( Q_0 \) denotes the temperature scaling. Generally, the \( Q_0 \) values for \( g_{\text{inh}}, g_{\text{in}}, g_{\text{out}} \), and \( k \) can all be different, but are denoted by \( Q_{\text{inh}}, Q_{\text{in}}, Q_{\text{out}} \), and \( Q_k \) respectively. With this model we hope to illuminate temperature effects and how they relate to average inward and outward conductance dynamics, and ignore more complex contributions from large numbers of parameters in models with many conductances.
Given this model, we examined how its behavior changed as a function of temperature for different choices of \( Q_0 \) values and other parameters. We were particularly interested to determine whether the model was oscillatory or quiescent (non-oscillatory), and if oscillatory, what were the frequency, amplitude, and duty cycle of its membrane potential oscillations, since these are the most salient features of the biological oscillations. In the model, amplitude was defined as the peak-to-peak amplitude of the voltage waveform. Because the model did not include spikes, duty cycle was defined, somewhat arbitrarily, as the fraction of time in each cycle that the membrane potential was above the half-activation voltage of the inward conductance (\( V_m \)), which did not vary with temperature.
In what follows, we begin with a highly constrained model and successively relax it to make it agree better with the biology. While the first model is not very realistic, it is more analytically tractable, and it yields insights that will be useful when thinking about the less-constrained models.
**Model 1: Uniform \( Q_0 \)'s yield perfect duty cycle invariance, but no crashes**
If the same \( Q_0 \) is used for all the temperature-dependent parameters (i.e. \( Q_{\text{inh}}^0 = Q_{\text{in}}^0 = Q_{\text{out}}^0 = Q_k^0 \)), the oscillation waveform remains the same as the temperature is varied, while the frequency changes according to the common \( Q_0 \) (Figure 4A). This implies that the duty cycle remains invariant in the face of temperature changes, which matches the pyloric pacemaker’s activity (Figure 2F). However, this also implies that this model does not crash, regardless of the temperature swing which does not match the data. We also know that in biological systems, the relevant \( Q_0 \)'s are not all the same [15]. Therefore we investigated models that do not require all of the \( Q_0 \)'s to be identical, to determine whether they would achieve approximate duty cycle invariance and also produce variable high temperature behavior.
**Model 2: Supercritical Hopf bifurcation at high temperature**
Experimental measurements of channel \( Q_{T_0} \) values show that channel activation rates are generally more sensitive to temperature than are maximal conductances [14]. Therefore, we next examined models in which the \( Q_0 \)'s for the maximal conductances remained identical (\( Q_{\text{inh}}^0 = Q_{\text{in}}^0 = Q_{\text{out}}^0 \)), but the \( Q_0 \) for the activation of the outward channel, \( Q_k^0 \), was larger. We refer to the common maximal conductance \( Q_{\text{in}} \) as \( Q_{\text{in}}^0 \). Initially, we chose \( Q_{\text{inh}}^0 = 3 \) and \( Q_{\text{in}}^0 = 1.5 \), which are typical biological values [5]. With these parameters, oscillation frequency increases with increasing temperature, as before, while amplitude and duty cycle decrease slowly (Figure 4B). However, above a critical temperature the model ceases to oscillate (i.e., crashes). Note that at the temperature where oscillation ceases, the frequency is non-zero (and is, in fact, increasing up to the crash). The combination of non-zero frequency and zero amplitude transitions are hallmarks of a supercritical Hopf bifurcation. We confirmed that this transition was indeed a supercritical Hopf bifurcation for this model using numerical bifurcation analysis (see Methods). Thus, the model produced crashes similar to some of those observed biologically (Figure 3A–C), and also exhibited approximate duty cycle invariance.
To investigate whether these results might depend on our particular choice of \( Q_{\text{inh}}^0 \) and \( Q_{\text{in}}^0 \), we made plots of frequency, amplitude and duty cycle as a function of two scaling factors. According to Equation 5 and 6, temperature determines a factor, \( Q \). We temporarily ignore the dependence of \( Q \) on temperature, and treat it as an arbitrary scaling factor, which we call \( Q^k \) in the case of \( k \), and \( Q^i \) in the case of the maximal conductances. We then examine how the model behaves as a function of \( Q^k \) and \( Q^i \), plotting both on a logarithmic scale (Figure 5). In this plot, one can see a linear boundary where frequency drops abruptly to zero (Figure 5A), and amplitude gradually decreases to zero (Figure 5B): this is a line of supercritical Hopf bifurcations. In this plot, a particular choice of \( Q_{\text{inh}}^0 \) and \( Q_{\text{in}}^0 \) corresponds to a path through the plane, the path being parameterized by \( T \). If \( Q_{\text{inh}}^0 = Q_{\text{in}}^0 \) as in model 1, the line will have a slope of 1, and will never intersect the line where the bifurcation occurs, which also has a slope of 1 (this follows from the fact that when all of \( g_{\text{inh}}, g_{\text{in}}, g_{\text{out}} \), and \( k \) are scaled together, the model waveform does not change, only its frequency). Thus, choosing \( Q_{\text{inh}}^0 > Q_{\text{in}}^0 \) will yield a line with slope greater than 1, leading to a supercritical Hopf bifurcation when temperature is increased enough. Furthermore, and regardless of the particular choice of \( Q_{\text{inh}}^0 \) and \( Q_{\text{in}}^0 \), the duty cycle remains close
Figure 4. Difference in model channel temperature dependencies produces bifurcation at high temperatures. Waveforms and corresponding phase plots are presented for example for two different $Q$ dependencies: (A) $Q_{10}^k = Q_{10}^e = 2$ and (B) $Q_{10}^k = 3$, $Q_{10}^e = 1.5$. Phase plots have the gating variable $n$ on the y-axis, and the voltage $v$ on x-axis. Thin green line is the $V$ nullcline (the line where $\partial V/\partial n = 0$), and the thin blue line is the $n$ nullcline (where $\partial n/\partial t = 0$). All red lines correspond to the duty cycle threshold line chosen as the inward half activation voltage ($-60$ mV). Thickest black line is the limit cycle. Black dot is a stable fixed point. Lower panel plots capture simultaneous frequency, amplitude, and duty cycle plotted from 0 to 35°C with reference temperature of 11°C. Each point is calculated from the steady state solution of the model equations.
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to 50% until one is quite close to the bifurcation. Both the approximately invariant duty cycle and the crash at high temperature are general properties of model 2 as long as $Q_{10}^k > Q_{10}^e$.
Figure 5. Generalized parameter scaling maps. Values from the reference model are plotted without scaling at $Q^k = 1$ and $Q^e = 1$. From the given reference model, along the x-axis, all conductances ($Q^k$) are log-scaled together; on the y-axis, the gating variable ($Q^e$) is log-scaled independently. Each point on the color plot corresponds to the measurements from the steady state model ran at their respective scaling factors. The maps of model outputs plot frequency (A), amplitude (B), and duty cycle (C). The dark blue region represents parameters where no oscillations exist. The diagonal (unity) line corresponds to a slice through parameter space where $Q_{10}^k = Q_{10}^e$, as in Figure 4A; the white line with a slope of 2 corresponds to the parameter space from Figure 4B.
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Model 3: Accounting for variability in pacemaker behavior at high temperatures
One unrealistic aspect of both models 1 and 2 is that frequency always increases monotonically with temperature until one reaches...
the crash temperature. Some experimental preparations showed a monotonic increase in frequency with temperature, but others exhibited a decrease in frequency as temperature approached the crash point (Figure 2A–C). We observed that in the model, as described by Equations 1–4 (i.e. before temperature dependence was added), increasing $g_{\text{Na}}$ typically led to a decrease in frequency, and eventually to a crash via a fold limit cycle bifurcation (qualitatively similar to Figure 3D). Thus we reasoned that if we modified model 2 so that $g_{\text{Na}}$ was more temperature-sensitive than $g_{\text{K leak}}$ and $g_{\text{K out}}$, we might generate a model that, at least in some cases, had decreasing frequency as temperature was increased, and crashed via a fold limit cycle bifurcation.
We therefore implemented model 3, in which $Q_{\text{K leak}}^{(0)} = Q_{\text{Na}}^{(0)} = 1.5$, $Q_{\text{K out}}^{(0)} = 1.6$, and $Q_{\text{Na}}^{(0)} = 3$. We studied the model’s output over a range of maximal outward conductance at the reference temperature ($g_{\text{K out}}^{\text{ref}}$), while fixing all other parameters (Figure 6). There were two qualitatively different possibilities for the oscillator behavior as temperature was varied. At high values of $g_{\text{K out}}^{\text{ref}}$, we observed a monotonically increasing frequency curve, amplitude decreasing to zero, and eventually a supercritical Hopf bifurcation (Figure 6, case 1), very similar in behavior to model 2. In this case, the limit cycle drifted below the duty cycle threshold and eventually dropped to 0% as a function of temperature. Low values of $g_{\text{K out}}^{\text{ref}}$, on the other hand, yielded a decrease in frequency as the crash was approached, and a fold limit cycle bifurcation (Figure 6, case 2). In this case, the limit cycle drifted upwards relative to the duty cycle threshold, causing the duty cycle to monotonically increase and eventually reach 100%.
Thus model 3 mimics some of the individual-to-individual variability seen in the biological data. Depending on the parameters, it can produce either a monotonic or an inverted U-shaped F-T curve (compare Figure 6A, bottom two panels, with Figure 2C). It can also produce two different kinds of crashes, mimicking the dichotomy seen experimentally (Figure 3). In both cases it produces approximate duty-cycle invariance, as is observed experimentally (compare Figure 6C with Figure 2F).
**Extreme temperatures can reveal underlying individual-to-individual differences**
We know that despite great variability in underlying parameters, pyloric rhythm output is extremely consistent from animal-to-animal at moderate temperatures, but diverges at extreme temperatures [15]. Likewise, the frequency of the pyloric pacemakers is highly constrained at moderate temperatures, but widely variable at high temperatures (Figure 2D). Thus high temperatures can reveal differences between individuals that are obscured at normal temperatures. We were curious whether varying the parameters of model 3 could yield this pattern of behavior: low variability at moderate temperature but high variability at high temperature.
We examined three versions of model 3, with different maximal leak conductances at the reference temperature ($g_{\text{K leak}}^{\text{ref}}$: 0.1, 0.075, and 0.06 $\mu$S) but all other parameters fixed (Figure 7). For each model, we determined the range of $g_{\text{K out}}^{\text{ref}}$ values that would yield a frequency between 0.95 and 1.05 Hz for all temperatures between 10 and 11 °C (narrow vertical rectangles in the parameter maps of Figure 7). We then varied the temperature for the models corresponding to the highest and lowest values of $g_{\text{K out}}^{\text{ref}}$ in each case (horizontal white lines in Figure 7), and examined the pacemaker behavior at high temperatures. For the highest value of $g_{\text{K out}}^{\text{ref}}$, we observed inverted U-shaped F-T curves in both cases, and both models crashed via a fold limit cycle bifurcation, but they did so at
Temperature dependencies in the model are as follows: $Q_{\text{K leak}}^{(0)} = Q_{\text{Na}}^{(0)} = 1.5$, $Q_{\text{K out}}^{(0)} = 1.6$, $Q_{\text{Na}}^{(0)} = 3$. Each grid point corresponds to a model output at steady state. Temperature is varied from 0 to 45 °C, $g_{\text{Na}}$ is varied from 0.04 to 0.09 $\mu$S. The maps of model outputs plot frequency (A), amplitude (B), and duty cycle (C). The amplitude map points to domains where the amplitude decreases homoclinically through a supercritical Hopf or fold limit cycle bifurcation. The thick indicators indicate where the two bifurcations coalesce. The two white lines (1, 2) are chosen as two representative curves with qualitatively different behaviors. Line 1 is at $g_{\text{Na}}^{\text{ref}} = 0.07 \mu$S and line 2 is at $g_{\text{Na}}^{\text{ref}} = 0.051 \mu$S. The waveform, phase plots and scaling behavior (frequency, amplitude, duty cycle) are plotted for each line to show specific examples. For the phase plots, the thin green line is the V nullcline (where $dV/dt=0$) and the thin blue line is the n nullcline (where $dn/dt=0$). Red line is the duty cycle threshold line chosen as the inward half activation voltage (~50 mV). Black line is the limit cycle.
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different temperatures (Figure 7A). For the middle value of $\tilde{g}_{\text{out}}^{\text{ref}}$, one F-T curve was monotonic, and the other was inverted U-shaped (Figure 7B). The former model crashed via a supercritical Hopf bifurcation, the latter via a fold limit cycle bifurcation, and their frequencies just below the crash point were very different. For the lowest value of $\tilde{g}_{\text{out}}^{\text{ref}}$, both models yielded monotonic F-T curves and supercritical Hopf bifurcations, but both their crash temperatures and their frequencies just shy of the crash were quite different (Figure 7C). Thus the model demonstrates how individuals that behave similarly at moderate temperatures can diverge considerably at extreme temperatures.
To further demonstrate the variability that can arise from small differences in underlying reference-temperature parameters, we picked random values for $\tilde{g}_{\text{out}}^{\text{ref}}$, $\tilde{g}_{\text{in}}^{\text{ref}}$ and $\tilde{g}_{\text{out}}^{\text{ref}}$ from a range that covered the intersection of the two bifurcations shown in Figure 7A (white arrow). This sample of models yielded similar frequency, amplitude and duty cycle near the reference temperature (11°C), but their behavior diverged as temperature was increased (Figure 8). This phenomenon is similar to that observed for the biological pacemaker frequency (Figure 2C). Again, this demonstrates how individuals that behave similarly at moderate temperatures can diverge wildly at extreme temperatures.
**Discussion**
Neuronal oscillators are ubiquitous throughout the nervous system. Some individual neurons are intrinsically oscillatory, by virtue of their voltage-dependent conductances [22,36–39]. Other oscillations arise from network interactions, such as reciprocal inhibition [39–42] or other circuit configurations [43]. Rhythmic pattern generators must maintain robust and reliable activity in the face of external and internal perturbations. For the central pattern generators that control movement, it is important to control both the frequency of the motor pattern as well as the phase relationships of all of the constituent circuit elements [44]. Mathematical models have been quite instructive for understanding many features of central pattern generating circuits. For example, in many circuits reciprocal inhibition helps ensure the out-of-phase activity of functional antagonists, but it was theoretical models that illuminated the richness of behaviors possible with reciprocally inhibitory circuits [42,45]. In one of the best-understood circuits driven by reciprocal inhibition, the leech heartbeat system, mathematical models and bifurcation analysis have been particularly helpful in understanding the parameters that allow the system to be sensitive to various modulator inputs while maintaining robust activity [46–48].
In general, studying the stability of oscillators by perturbing them in a gradual fashion, especially to the point of failure, can help expose the salient features that contribute to their robustness. In this paper, we use temperature to perturb the pacemaker of the pyloric circuit of the stomatogastric ganglion, to assess the extent to which the mechanisms that give rise to this function are variable across individual animals. The responses of oscillators to perturbations have been extensively studied and characterized using dynamical systems theory [20,47,49–53]. As a result, it was possible to use a mathematical framework to loosely infer the underlying structure of the pyloric pacemaker responsible for generating the behavior produced in response to temperature. This kind of analysis is particularly revealing at points of instability or bifurcation as it offers qualitative points of comparison between the biological oscillator and the model. The temperature-induced bifurcations in the models studied here were of two forms, supercritical Hopf and fold limit cycle. In the supercritical Hopf bifurcation, the oscillation amplitude decreases gradually, but the oscillation stops at a non-zero frequency (Figure 6A). In the fold limit cycle bifurcation, the oscillation does not gradually decrease in amplitude, but stops abruptly from a non-zero amplitude (Figure 6B). The bifurcations in the model can be unambiguously identified because all the state variables are known, as are their dynamics. Although the biological pacemakers show behaviors that look similar to those of the models, we presently lack detailed knowledge of the full complement of voltage- and time-dependent currents in the biological PD and AB neurons. A complete understanding of how temperature affects the biological oscillator must await biophysical studies of the effects of temperature on each of the currents in these neurons, followed by the construction of a far more biophysically realistic computational model that incorporates those data.
Nonetheless, we can account for the temperature compensation of phase in the intact pyloric rhythm as a consequence of two processes: the maintenance of pacemaker duty cycle shown here and the effect of temperature on the follower neurons [14]. Interestingly, the pacemaker duty cycle’s relative invariance to period depends on the interaction between the AB and PD neurons [25,28], so temperature must produce balanced effects on the AB and PD neurons and the electrical coupling between them.
The pacemaker neurons provide strong inhibition, drive to the follower neurons, which imposes a well-defined temporal constraint on them as temperature is changed [14]. Because the LP and PY neurons burst on rebound from inhibition [54–57], the phase invariance of the LP and PY neuron’s activity is partially accounted for by the phase invariance of the pacemaker [14,15]. Additionally the intrinsic $I_{\text{K}}$ and $I_{\text{Na}}$ conductances in the LP neuron scale with temperature in a complementary way that also contributes to the temperature invariance of the pyloric phase relationships [14]. The combination of the pacemaker’s intrinsic stability and the synaptic and intrinsic channel regulation of the follower neurons explains how phase-temperature stability is achieved at the level of the entire network.
Pacemaker duty cycle stability arises from the scaling of the limit cycle appropriately around the duty cycle threshold. We can speculate that in the biological system, the limit cycle as well as the duty cycle threshold change in such a manner as to conserve these relationships in response to temperature perturbation. Furthermore, the model results inform the understanding of how duty cycle reliability is consistent with diversity in behavior at high temperatures (Figures 6–8). While the intrinsic temperature-dependent model parameters are well balanced at low temperatures, they diverge except at higher temperatures because of the variable exponential temperature-dependent terms. Of course, the Morris-Lecar model is at best, an over-simplified caricature of the biological pacemaker. Furthermore, in the work presented here, temperature dependence was implemented as a simplified approximation of the full range of temperature’s effects on ion channel function. Nevertheless, the model’s simplicity allows for intuitive, testable predictions regarding channel temperature dependencies and deepens our understanding of the way in which variability plays a role in robustness.
Not all biological circuits routinely face large swings in temperature. Yet, all networks are challenged with perturbations of their internal or external environment. Because there are many sets of underlying parameters that can give rise to similar neuronal or network performance [9,58–63], it is critical for us to understand how network robustness is maintained in the face of perturbations across a population of individuals with variable sets of network parameters. The work presented here provides one example of the remarkable robustness that biological networks can display over a large range of parameters. Nonetheless, it is
Figure 7. Restricting low temperature frequency output constraints high temperature variability. Three models were generated with the same reference parameters but different $g_{\text{leak}}^{\text{ref}}$ values. Temperature domain was fixed at: $Q_0^{\text{ref}} = Q_1^{\text{ref}} = 1.5$, $Q_2^{\text{ref}} = 1.6$, $Q_3^{\text{ref}} = 3$. Frequency, amplitude and duty cycle maps were generated (as in Figure 5) for the three parameter points, varying temperature and inward conductance: (A) $g_{\text{leak}}^{\text{ref}} = 0.1 \mu$s, (B) $g_{\text{leak}}^{\text{ref}} = 0.075 \mu$s, (C) $g_{\text{leak}}^{\text{ref}} = 0.06 \mu$s.
PLOS Computational Biology | www.ploscompbiol.org 9 January 2013 | Volume 9 | Issue 1 | e1002857
important that the parameters underlying robust network performance in a population of wild-caught crabs is the result of long years of evolutionary pressure, and we understand as yet little of the mechanisms by which individual animals find one of the sets of parameters that can allow it to live for years in a variable world.
**Methods**
**Animals**
*Cancer borealis* were purchased from Commercial Lobster (Boston, MA). The tanks were kept at approximately 7°C, 11°C, or 19°C. The experiments reported in this manuscript were done between December 2010 and April 2011.
**Solutions**
*C. borealis* physiological saline was composed of 440 mM NaCl, 11 mM KCl, 13 mM CaCl$_2$, 26 mM MgCl$_2$, 11 mM Trizma base, and 5 mM Maleic acid, pH 7.4–7.5. The microelectrode solution contained 0.6 M K$_2$SO$_4$ and 20 mM KCl. Picrotoxin (PTX) was obtained from Sigma and used at $10^{-5}$ M in saline.
**Electrophysiology**
The stomatogastric nervous system was dissected out of the animals and pinned out in a Sylgard (Dow Corning) coated plastic Petri dish containing heated saline at 11–12°C [64]. During experiments, the preparations were continuously superfused with saline. Isolated pacemaker experiments were done in $10^{-5}$ M PTX, which blocks glutamatergic synapses in crustaceans [17,18]. The PD, LP and PY neurons project axons to the *pdu*, *gin* and *gin*, respectively. Vaseline wells were placed around the corresponding motor nerves and extracellular recordings were obtained using stainless steel pin electrodes placed in the wells and amplified using a differential amplifier (A-M Systems). Intracellular recordings were obtained from STG somata using 10–30 MΩ glass microelectrodes pulled with a Flaming/Brown micropipette puller (Sutter Instrument Company). For all intracellular recordings, the STG was desheathed. Neurons were identified using previously described procedures [65].
The temperature of the saline was controlled using a Peltier device (Warner Instruments), which had a precision of ±0.5°C. Slight adjustments of the electrode position were required with large swings of temperature, as the cells tended to swell at high temperatures. Temperature was increased from 11 to 31°C in increments of 1°C. Each preparation was given at least 5 minutes to adapt at a new steady-state temperature before taking data. At the end of each experiment, the temperature was returned to the reference 11°C to check that no irreversible changes had occurred and that the circuit output remained the same.
**Data analysis**
Data were acquired using a Digidata 1200 data acquisition board (Axon Instruments) and analyzed using Clampfit 9.0 (Axon Instruments), Spike 2.5 (Cambridge Electronic Design), and MATLAB 7.1 (Mathworks). All figures were generated in Adobe Illustrator CS5, and obvious electrical artifacts were removed by hand. Spike2 scripts written by Dirk Bucher were used to extract phase and frequency from extracellular recordings [65].
To quantify the temperature sensitivity of a quantity (e.g., pyloric frequency), we calculated the $Q_{10}$. That is, we assumed the quantity, $r$, fit the equation
$$r(T) = r_0 Q_{10}^{(T-T_{ref})/10} \quad (7)$$
as a function of temperature, where all parameters are as in Equations 5 and 6. We then fit a line to a plot of $\log_{10} r$ versus temperature, $T$, and extracted the slope of this line, $m$. The $Q_{10}$ is then given by
$$Q_{10} = 10^{10m}. \quad (8)$$
The PD neuron’s duty cycle was calculated as the ratio of burst duration to period. Burst period was the time between PD burst onsets, and frequency as the reciprocal of the period. Data from 8
experiments with and 6 experiments without intracellular recordings were pooled for analyzing average frequency and duty cycle. A rhythm was considered crashed when periodic oscillatory bursting behavior terminated. All statistical analyses were performed using SigmaPlot and SigmaStat 11.0 software packages [Jandel Scientific]. XPPAUT 5.6 was used to analyze and characterize bifurcations in the Morris-Lecar model for all the parameter sweeps preformed in the paper [49]. Matlab was used to numerically calculate the model output and generate the parameter color maps.
For performing statistical comparisons of relative variability, we used the sample variance of the log-transformed data (denoted $S^2_{\log}$ in Figure 2D) instead of the coefficient of variation. This provides a measure of variability which is invariant to the overall scale of the data (like the coefficient of variation), but because it is a sample variance it has more convenient statistical properties [66].
**Model**
The Morris-Lecar model is defined by Equations 1–4. The model used in this work has some differences from the original Morris-Lecar model [23]; the $I_{app}$ term is dropped, and in our hands the two currents are intended to describe an aggregate inward and an aggregate outward current, rather than being literal calcium and potassium currents. All reference model parameters are fixed unless otherwise stated; parameters were chosen to resemble real biological values: $\bar{g}_{Ca}^{ref} = 0.06 \mu S$; $\bar{g}_{K}^{ref} = 0.06 \mu S$; $\bar{g}_{K_{leak}}^{ref} = 0.1 \mu S$; $E_{Ca} = -10 \text{ mV}$; $E_{K} = -80 \text{ mV}$; $E_{K_{leak}} = -50 \text{ mV}$; $k = 3 \text{ Hz}$; $\sigma_m = 10$; $\sigma_{sat} = 7$; $I_{in} = -50 \text{ mV}$; $I_{out} = -53 \text{ mV}$; $C_m = 5 \text{ nF}$.
**Acknowledgments**
We thank Matt Bowers for help with some experiments.
**Author Contributions**
Conceived and designed the experiments: AR ALT. Performed the experiments: AR. Analyzed the data: AR. Wrote the paper: AR ALT EM.
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The Port Orange Police Officers’ Pension Board of Trustees held its quarterly meeting on Friday, May 18, 2018 in the Police Department Training Room, 4545 Clyde Morris Boulevard, Port Orange, Florida.
MEMBERS PRESENT: Chairman Steve Braddock (police member)
Warren Carman (fifth member)
Drew Bastian (resident member)
Brian Cobb (resident member)
MEMBERS ABSENT: William Proctor (police member) – excused due to work commitment
CONSULTANTS: Ken Harrison, Board Attorney – Sugarman & Susskind
Tyler Grumbles, Investment Consultant – AndCo
Dan Johnson, Investment Consultant - AndCo
Chad Little, Actuary – Freiman Little Actuaries
Karan Rounsavall, Plan Administrator
CITY STAFF: Jake Johannson, City Manager
Tracey Riehm, Finance Director
Margaret Roberts, City Attorney
Chairman Braddock called the meeting to order at 9:03 a.m. A quorum was in attendance.
APPROVAL OF MINUTES
Member Bastian moved to approve minutes of quarterly meeting February 16, 2018 and special meeting March 29, 2018 as submitted. Member Carman seconded the motion and it carried unanimously.
OFFICER AND TRUSTEE REPORTS - None
CONSENT AGENDA
The following items were presented for action as recommended:
A. Approve plan expenditures as follows:
1. Sugarman & Susskind – monthly retainer for March 2018 - $2,600.
Recommendation: Ratify payment.
2. Sugarman & Susskind – reimbursement of copy charges for Vastell disability - $257.01. Recommendation: Ratify payment.
3. Sugarman & Susskind – monthly retainer for April 2018 - $2,600.
Recommendation: Ratify payment.
4. Sugarman & Susskind – monthly retainer for May 2018 - $2,600.
Recommendation: Ratify payment.
5. SIMED Rehabilitation Medicine – prepayment for Independent Medical Exam for David Vastell - $1,300. Recommendation: Ratify payment.
6. Plan Administrator Karan Rounsavall – monthly fee (February 2018, March 2018, April 2018) - $7,800. *Recommendation*: Ratify payments.
7. Drew Bastian – reimbursement of mileage, meals, etc. for attendance at FPPTA Winter School in Orlando - $111.76. *Recommendation*: Ratify payment.
8. Warren Carman – reimbursement of mileage, meals, etc. for attendance at FPPTA Winter School in Orlando - $111.76. *Recommendation*: Ratify payment.
9. Freiman Little Actuaries – contracted actuarial services from February 14, 2017 through February 12, 2018 - $22,240. *Recommendation*: Ratify payment.
10. Freiman Little Actuaries – supplemental actuarial services from February 14, 2017 through February 12, 2018 - $4,302. *Recommendation*: Ratify payment.
11. AndCo Consulting – investment consulting and performance monitoring services for quarter ending March 31, 2018 - $8,750. *Recommendation*: Ratify payment.
12. First State Trust Company – custodial services for quarter ended March 31, 2018 - $4,625. *Recommendation*: Ratify payment.
13. James Moore & Co. – Final billing for work on September 30, 2017 audit - $1,000. *Recommendation*: Ratify payment.
*Member Bastian moved to ratify plan expenses as recommended.* *Member Cobb seconded the motion and it carried on an all yes vote.*
B. Acknowledge refund of member contributions to the following non-vested members:
1. Ethan Siders (non-vested member) in the amount of $671.12;
2. Kayla Scott (non-vested member) in the amount of $19,493.25.
*Member Bastian moved to acknowledge refunds to the non-vested members as stated.* *Member Carman seconded the motion and it carried unanimously.*
**OLD BUSINESS**
A. Status of ordinance increasing investment limits on equities held in the portfolio from 65 to 70 percent
It was noted that the subject ordinance had not yet been presented to the Port Orange City Council for consideration. City Manager Jake Johannson expressed concerns about risk and volatility associated with increasing equity limits in the portfolio particularly since the city was responsible for funding annual shortfalls. He sought assurance that increasing these limits was an appropriate and prudent action.
Investment Consultants Tyler Grumbles and Dan Johnson of AndCo Consulting discussed the importance of asset allocation in a portfolio and provided a handout illustrating the historical performance of various asset classes versus assumptions, asset allocation of other public plans, and long-term projections. From their perspective, the greatest concern was current low fixed income returns which were expected to continue years into the future. One strategy to increase the probability that the fund met its expected annual rate of return was to raise the portfolio’s exposure to equity, specifically international equity investments. Including an allocation to international fixed income was also a possibility. Mr. Grumbles added that investment returns in the police
pension fund lagged in the past, in part, because of a higher allocation to domestic fixed income. In fact, in a rising interest rate environment, bond returns could turn negative. The goal was to take an appropriate amount of risk and position the portfolio to achieve its investment objectives going forward.
Actuary Chad Little noted that the pension plan utilized a five-year smoothing technique of investment returns to decrease year-to-year volatility. Attorney Ken Harrison stated that AndCo Consulting had “quite a big hole to dig themselves out of” having taken over investment consulting to the plan in October 2017. Changes needed to be made to the portfolio and trustees had taken on this responsibility. From a legal perspective, the subject ordinance was proper.
The consultants were happy to attend city council meetings when the ordinance was presented to address city council concerns and answer questions.
Member Bastian moved to direct representatives from AndCo Consulting to attend city council meetings when this ordinance was presented. Member Carman seconded the motion and it carried unanimously.
**NEW BUSINESS**
A. Ratify early retirement benefits for Sean Sheridan (terminated vested member) commencing July 1, 2018
B. Ratify service-related disability benefits for David Vastell commencing April 1, 2018
Member Carman moved to ratify Mr. Sheridan’s selection of 100 percent joint and survivor benefit option and to ratify Mr. Vastell’s selection of life annuity option. Member Bastian seconded the motion and it carried on an all yes vote.
C. Discussion and possible action with regard to changing quarterly meeting schedule
Attorney Harrison asked whether or not the board would be agreeable to his attendance at future meetings via video conferencing (Skype). This alternative was contemplated because of recent changes with other retirement plans that his law firm represented. He also noted that Sugarman & Susskind recently was named as legal counsel for the Port Orange Fire Pension Plan which met on Mondays. Board members voiced their preference for the attorney’s personal (face-to-face) attendance at quarterly meetings. There was no objection to a change of meeting dates, however, Mondays were generally preferred to Thursdays.
Plan Administrator Rounsavall would research the feasibility of meeting on third Mondays or possibly third Thursdays of February, May, August, and November and report back to the board. Pending her report, there was no immediate change to current meeting date/arrangements for 2018.
D. Professional service agreement with James Moore, Certified Public Accounts, to perform pension plan audit for fiscal years ending September 30, 2018, 2019, and 2020
Board members were in receipt of a proposed agreement with James Moore CPA to perform an audit of the pension fund for the ensuing three years at a fixed cost of $9,000 each year. Upon query from Chairman Braddock, the attorney advised that the
fund was only required to have an audit every three years. Audits had been performed for the past three years with each receiving an “unmodified opinion.” It was also noted that the Port Orange Fire Pension Fund utilized the city’s audit to meet this requirement.
Member Bastian moved to authorize execution of the agreement with James Moore CPA for independent audit of police pension plan financials at annual cost of $9,000. It was understood that the agreement could be terminated for successive years (i.e. 2019 or 2020). Member Cobb seconded the motion which carried unanimously.
E. Renewal of fiduciary liability insurance policy with Markel American Insurance Company through Ullico Casualty Group
Board members were in receipt of a renewal quote from Markel American Insurance Company. The aggregate limit of liability was $1 million with zero deductible. Waiver of recourse for trustees was included at no additional premium as was an endorsement covering the third-party administrator as an additional insured. The annual premium was $4,878 (slightly higher than the prior year's premium of $4,795).
Member Carman inquired as to whether or not the policy allowed the Board the option of selecting its own counsel in the event of a claim (as opposed to using legal representation provided by the insurer). Attorney Harrison and Plan Administrator Rounsavall would inquire as to this clause and report back.
Member Bastian moved to authorize renewal of the fiduciary liability insurance policy at a cost of $4,878 for the ensuing year (May 31, 2018 through May 31, 2019) subject to legal review of the policy allowing the pension plan the right to select independent counsel if desired. Member Carman seconded the motion; it carried on an all yes vote.
F. Periodic review of professional service provider agreements
Pursuant to its adopted policy, the Pension Board routinely reviewed all professional service provider agreements to determine appropriateness and timeliness of the terms contained therein. Board members were in receipt of a listing of all consultants and their agreement execution dates.
The Board expressed satisfaction with all of its current professional service providers. No further action was necessary.
**CONSULTANT REPORTS**
A. Tyler Grumbles – AndCo Consulting (Investment Consultant)
1. Investment Performance Report for quarter ended March 31, 2018
Mr. Grumbles delivered the Investment Performance Report for the quarter ended March 31, 2018. It was a volatile quarter with market returns broadly negative across major equity and fixed income indices. Equity markets saw a ten percent correction in February triggered in part by trade war concerns. Fixed income performed poorly as interest rates began to rise which caused bond prices to decrease. Exposure to real estate continued to add value to the portfolio relative to fixed income returns.
Total market value as of March 31, 2018 was $35,494,438 down from $35,756,521 for the previous quarter ended December 31, 2017. On a percentage basis, the composite portfolio was down -0.65 percent (gross) for the quarter which ranked in the 76th
percentile of public plans. Fiscal year to date, the fund was up 3.23 percent (gross return) which ranked in the 58\textsuperscript{th} percentile.
Member Carman moved to accept the investment performance report as presented. Member Bastian seconded the motion which carried unanimously.
2. Domestic Equity: Passive vs. Active Investment Options Review
Mr. Grumbles provided an informational handout that compared passive and active management strategies for domestic equity investments, specifically large capitalization value and growth styles. The domestic equity market was extremely efficient and it was difficult for active managers to outperform this index. The police pension plan currently utilized the Vanguard Total Stock Market Index Fund for its domestic equity portfolio. Mr. Grumbles stated that a passive strategy only replicated the index; the fund would never achieve an above market-return with passive equity investing. Active investing involved buying and selling stocks in an effort to outperform the index.
If the pension board wished to consider active management for a portion of its domestic equity allocation, Mr. Grumbles recommended the Vanguard Equity Income Fund for large cap value and MFS Growth for large cap growth.
It was the pension board’s preference to continue a passive strategy in this asset class by remaining in the Vanguard Total Stock Market Index Fund.
At the next quarterly meeting, Mr. Grumbles would present a review on global fixed income opportunities.
B. Chad Little – Freiman Little Actuaries, LLC (Plan Actuary)
1. 2017 State Annual Report - Approved
Board members were in receipt of correspondence dated May 7, 2018 from the Office of Municipal Police Officers’ and Firefighters’ Retirement Trust Funds/Division of Retirement advising that it had reviewed and approved the 2017 Annual Report for the Port Orange Police Officers’ Pension Fund. Mr. Little also mentioned that he completed the electronic filing of the 2018 actuarial valuation. This was a new requirement.
2. Discussion regarding pension credit start dates
Mr. Little advised of a recent conference call with the plan administrator and human resources director to verify pension start dates for several plan members. He went on to recommend that the swear-in date be used as the pension start date for new hires. This recommendation would be formalized and presented to the pension board for consideration at the next quarterly meeting.
***
At the next meeting, Mr. Little would also present a study on assumed investment rates of return.
C. Ken Harrison – Sugarman & Susskind (Attorney)
1. Legislative Update.
Attorney Harrison advised that the State Legislature passed a bill providing workers compensation coverage for PTSD (post-traumatic stress disorder) for first responders. This could potentially affect applications for disability retirement in the future.
Attorney Harrison responded to Member Carman's question about plan benefits when two collective bargaining units posted divergent votes. He advised that a member could not lose a benefit in which they were already vested. Actuary Little commented that mutual consent between the city and bargaining units also factored into this conversation.
Board members agreed to conduct a "pre-retirement conference" for active members at the conclusion of the next quarterly meeting when the attorney, actuary, plan administrator and human resources director could be in attendance to present information and answer questions.
D. Karan Rounsavall – Plan Administrator
1. Educational Opportunities:
- Annual Police Officers' & Firefighters' Pension Trustees' School sponsored by the Division of Retirement in Tallahassee (June 4-6, 2018)
- Florida Public Pension Trustees Association (FPPTA) Annual Conference at Rosen Shingle Creek in Orlando (June 24-27, 2018)
If any member wished to attend, they were to contact her at their earliest opportunity.
2. Annual Financial Disclosure Filing Deadline
Mrs. Rounsavall reminded board members of the importance of timely filing of their disclosure reports no later than July 1, 2018.
The next quarterly meeting was scheduled for August 17, 2018.
PUBLIC COMMENT - None
ADJOURNMENT
The meeting adjourned at 11:45 a.m.
Steve Braddock, Chairman
Karan Rounsavall, Plan Administrator
|
Word Sense Disambiguation in Natural Language Processing
Preeti Dubey
Department of Computer Science, Govt. College for Women, Parade Jammu, J&K- India
Abstract: Word Sense Disambiguation has been a research area since the evolution of Natural Language processing. Most of the languages have ambiguous words. Resolution to these ambiguous words is a very important task in developing any tool for natural language processing which otherwise hampers the efficiency of the developed systems. The accuracy of the output generated depends on the sense of the context a word is being used in a sentence. Word Sense Disambiguation is used for resolving the ambiguous words. This paper presents a brief introduction to Word Sense Disambiguation, an overview of the approaches that can be used solving ambiguity and work done for various Indian languages.
Keywords: WSD, NLP, Ambiguity, Lexeme
Introduction
All human languages have ambiguous words, these are the words whose meaning differ with context to their reference. The computational identification of correct sense of a word in a context is known as Word Sense Disambiguation (WSD). It automatically figures out the intended meaning of an ambiguous word when used in a sentence. Few illustrations of ambiguous words are:
**English:** Bark, light, fair, fan, right, fly, watch, bank, bat, lead, live
**Hindi:** सोना, मद, गुलाब, आम
Illustration of some ambiguous words in English and Hindi is shown below in table I:
Word Sense Disambiguation is applied in various areas such as Machine translation (MT), Information retrieval (IR), speech recognition, computational advertising, text processing, etc. Without WSD, the processing of data is error prone. WSD plays a very important role in increasing the accuracy of the output produced by a system. It preserves the meaning of the word with reference to the context.
**Ambiguity** A word, phrase, or sentence is said to be ambiguous, if it has more than one meaning. The various types of ambiguities are discussed below:
Lexical ambiguity: Words with multiple senses can either be homonymous or polysemous. Two senses of a word are said to be homonyms when they mean entirely different things but have the same spelling. For example, the two senses of the word ‘right’ may be used as below:
1) He is a right-handed batsman
2) He is right.
A word is said to be polysemous when its sense has various shades of the same basic meaning i.e. it has different but related meanings. For example, the word accident is polysemous since its two senses – a mishap and anything that happens by chance are somewhat related to each other.
Structural (Syntactic) Ambiguity:
If the ambiguity is in a sentence or clause, it is called structural ambiguity. It occurs when a phrase or sentence has more than one underlying structure e.g
*We should be discussing violence on TV.*
*We should be discussing violence on TV.*
Referential ambiguity
Sentences in which pronouns refer to certain words, but it is often difficult to find out, to which word it is referring e.g.
She dropped the plate on the table and broke it. [13]
Here, the ambiguity is that the pronoun ‘It’ refers to which noun, the table or the plate.
Such references are called anaphoric references or anaphora.
**The Multi-Word Constructs:**
Ambiguity arising due to multi-word constructs like Idioms and Phrasal verbs. For example, “My neighbor’s house was broken into last night.” The actual meaning of the idiom can’t be identified from its constituent words.
**Approaches for WSD**
The Word Sense Disambiguation approaches are classified into three main categories:
1) Supervised approach
2) Unsupervised approach
3) Knowledge based approach
**Supervised Approach**
The Supervised is based on annotated data/corpus. The supervised approach is based on trained sense annotated corpus to build classifiers. Initially, annotated corpus is required to build a classifier. The classifier is used to recognize the sense of the word based on their context of use. This approach assumes that the context can provide enough evidence on its own to disambiguate words. A major disadvantage of this approach is the requirement of a large sense-tagged corpora.
The accuracy of the classifier depends on the size and the variety of the data incorporated in the corpus. Larger the corpus, better the results. The creation of corpus itself is a challenge in terms of time and money. Some important WSD algorithms based on supervised approach are: Naïve Bayes Method, Decision List Method, Decision Tree Method, Support Vector Machine (SVM) Method.
**Unsupervised Approach**
The Unsupervised approach is based on unannotated corpora. It is based on clustering of words. It assumes that sense of the ambiguous word can be induced from the neighboring words. Since this approach is based on unannotated data, it is very essential to have most of the senses of the word in the training corpus. Some algorithms based on this approach are: Context Group Discrimination, Co-occurrence graphs, WSD using parallel corpora.
**Knowledge Based Approach**
This approach is based on using Knowledge bases for Word Sense Disambiguation. The knowledge bases that can be used are: Word Net, Machine readable dictionaries, thesauri etc. This
approach is suitable for domain specific word sense disambiguation. One of the famous algorithm used in this approach is the algorithm proposed by Michael Lesk in 1986 and is named Lesk Algorithm.
**Literature Review**
*Lesk Algorithm* [5] developed by Michael Lesk in 1986. It is used to identify senses of polysemic words. He used the overlap of word definition from the Oxford Advanced Learner’s Dictionary of Current English (OALD) to disambiguate the word senses.
*Banerjee and Pedersen* [7] adapted the original Lesk algorithm and used WordNet as the knowledge source. The overall accuracy of their system was evaluated to be 32%. They used Senseval-2 word sense disambiguation exercise to evaluate their system.
*Sinha M. et. al.* [8] at IIT Bombay developed automatic WSD for Hindi language using Hindi WordNet. They used statistical method for determining the senses. The system could disambiguate the nouns only. They compared the context of the polysemic word in a sentence with the contexts constructed from the WordNet. They evaluated the system using the Hindi corpora provided by the Central Institute of Indian Languages (CIIL). The accuracy of their algorithm was found in the range from 40% to 70%.
*Shrestha N. et. al.* [9] developed WSD module based on Lesk algorithm for the disambiguation of Nepali ambiguous words. They collected words to be used as the knowledge resource from synset, gloss, examples and hypernym. [1] The number of example for each sense of the target word was only one in the database. Each word in the context words is compared with each word in the collection of words available in the formed database.
*Dhungana and Shakya* [12] have also worked for the disambiguation of the polysemous words in Nepali language using the Lesk algorithm. The experiments performed on 348 words (including the different senses of 59 polysemic words and context words) with the test data containing 201 Nepali sentences shows the accuracy of their system to be 88.05%.
*Richard Singh and K. Ghosh* [14] in 2013 proposed an architecture for Manipuri Language. The system performs WSD in two phases: training phase and testing phase. The Manipuri word sense disambiguation system is composed of the following steps: (i) pre-processing, (ii) feature selection and generation and (iii) training, (iv) testing and (v) performance evaluation.
Haroon, R.P. (2010) has given the first attempt for an automatic WSD in Malayalam. The author used the knowledge based approach.
Rakesh and Ravinder have proposed a WSD algorithm for removing ambiguity from the Punjabi text document. The authors used the Modified Lesk Algorithm for WSD.
Ayan Das and Sudeshna Sarkar have developed WSD system based on unsupervised graph-based clustering approach for Bengali language, which is applied to the Bengali-Hindi machine translation.
Preeti Dubey (2014) has applied the unannotated corpus based WSD algorithm for word sense disambiguation in the copyrighted Hindi-Dogri Machine Translation system developed by her under the guidance of Prof. Devanand and Prof. Shashi Pathania with assistance from Dr. Vishal Goyal. Ambiguity in the Hindi-Dogri Machine Translation System is resolved using the ‘n gram approach’ for the morphemes ‘से’ and ‘और’. Some use cases of the morpheme ‘से’ are shown in Table II:
As seen in Table II, the translations from Hindi to Dogri did using the Hindi-Dogri MTS show high accuracy rate for disambiguation of the morpheme से. Out of 9 sentences taken from online Hindi news only two resolutions shown in table III of से are incorrect.
| Sentence | Incorrect Translation | Correct Translation |
|----------------|-----------------------|--------------------|
| बाहर से आकर | बाहर कोला आईये | बाहरे दा आईये |
| बीबीसी से | बीबीसी कोला | बीबीसी कन्नौज |
Table III: shows the incorrect resolutions by WSD module in Hindi-Dogri MTS as well as the correct translations of से.
**Conclusion**
Word sense disambiguation (WSD) has been a very active area of research in computational linguistics. It plays an important role in the increased accuracy of the output generated by systems. One of the factors that has hampered WSD research is the unavailability of linguistic resources. The state of art is that most researchers are mostly using the knowledge based approach of disambiguation based on Lesk’s algorithm. Due to lack of corpus, researchers are using WordNet for disambiguation.
It is also studied that the knowledge based approaches are efficient in resolving the sense of the ambiguous words, but there is a great need to develop lexical resources to be used for the efficiency of the natural language processing tools.
References
[1] Arindam Chatterjee, Salil Rajeev Joshi, Mitesh M. Khapra, Pushpak Bhattacharyya, “Introduction to Tools for IndoWordNet and Word Sense Disambiguation” http://www.cfilt.iitb.ac.in/wordnet/webhwn/IndoWordnetPapers/18_Tools%20for%20IndoWordNet%20&%20WSD.pdf
[2] C. Fellbaum, “WordNet: An Electronic Lexical Database.”, MIT Press, 1998.
[3] Lokesh Nandanwar, Kalyani Mamulkar, “Supervised, Semi-Supervised and Unsupervised WSD Approaches: An Overview”, International Journal of Science and Research (IJSR) ISSN (Online): 2319-7064
[4] Kuhoo Gupta, Manish Shrivastava, Smriti Singh and Pushpak Bhattacharyya, Morphological Richness Offsets Resource Poverty- an Experience in Building a POS Tagger for Hindi, COLING/ACL-2006, Sydney, Australia, July, 2006. https://pdfs.semanticscholar.org/1daa/370563deb1e9f5772d6ada1edfb4ec4cd7b4.pdf
[5] M. Lesk. 1986. Automatic Sense Disambiguation Using Machine Readable Dictionaries: How to Tell a Pine Cone from an Ice Cream Cone. In Proceedings of the 5th annual international conference on Systems documentation, SIGDOC ’86, pages 24–26, New York, NY, USA. ACM
[6] Udaya Raj et.al, “Word Sense Disambiguation using WSD specific Wordnet of polysemy Words” https://arxiv.org/ftp/arxiv/papers/1409/1409.3512.pdf
[7] Banerjee and Pederson “An adapted Lesk algorithm for Word Sense Disambiguity using Word Net” http://www.cs.cmu.edu/~banerjee/Publications/cicling2002.pdf
[8] Sinha M. et. Al, “Unsupervised Graph-based Word Sense Disambiguation Using Measures of Word Semantic Similarity” http://citeseerx.ist.psu.edu/viewdoc/download?doi=10.1.1.62.3892&rep=rep1&type=pdf
[9] Shrestha N et.al “Resources for Napali WSD” in proceedings of IEEE conference on Natural Language Processing and Knowledge Engineering, 2008. NLP-KE ‘08. 2008
[10] Alok Ranjan Pal and Diganta Saha, “WORD SENSE DISAMBIGUATION: A SURVEY”, International Journal of Control Theory and Computer Modeling (IJCTCM) Vol.5, No.3, July 2015
[11] Z.Z. Merhbene Laroussi, “Unsupervised system for Lexical Disambiguation of Arabic Language using a vote procedure,” IEEE-ICoAC, 2011
[12] Raj Dhungana, Subarna Shakya ,et.al” Word Sense Disambiguation Using Wsd Specific Wordnet Of Polysemy Words” Udaya International Journal on Natural Language Computing (IJNLC) Vol. 3, No.4, August 2014
[13] “Study and Development of Machine Translation System: an important tool to bridge the digital divide”. Ph.D. Thesis submitted in the Department of Computer Science & IT, University of Jammu, 2014.
[14] Shallu et.al “A Survey of Word-sense Disambiguation Effective Techniques and Methods for Indian Languages”, JOURNAL OF EMERGING TECHNOLOGIES IN WEB INTELLIGENCE, VOL. 5, NO. 4, NOVEMBER 2013
| S.No | Hindi | Dogri |
|------|----------------------------------------------------------------------|----------------------------------------------------------------------|
| 1 | वो कौन से देश हैं, जहां जिंदगी शानदार है. | ओह केसड़े देश न , जित्यै जिंदगी शानदार ऐ |
| 2 | बेहतरीन सुविधाओं से लैस है? | बेहतरीन सुविधाओं कन्नै लैस ऐ ? |
| 3 | उत्तरी ध्रुव के करीब स्थित डेनमार्क तीन नॉर्डिक देशों में से एक है | उत्तरी ध्रुव दे करीब स्थित डेनमार्क त्रै नार्डिक देश बिच्छा इक ऐ |
| 4 | जर्मनी से डेनमार्क आकर बर्सी एली स्टीनबाख कहती हैं कि सिर्फ अपने नागरिकों के लिए ही नहीं, डेनमार्क बाहर से आकर बसने वालों के लिए भी जन्नत है. | जर्मनी कोला डेनमार्क आइयै बर्सी एली स्टीनबाख आखदियां न जे सिर्फ अपने नागरिके दे आस्तै गे नेहै , डेनमार्क बाहर कोला आइयै बसने आहले दे आस्तै बी जन्नत ऐ . |
| 5 | न्यूज़ीलैंड और इसका करीबी देश ऑस्ट्रेलिया रहने के लिहाज से शानदार देश हैं | न्यूज़ीलैंड ते एहदा करीबी देश ऑस्ट्रेलिया रोहने दे लिहाज कन्नै शानदार देश न |
| 6 | पूरे देश से लोग एक पर्व पर ये मांग करते हुए एक-दूसरे से जुड़ते गए. जैसे-जैसे दस्तख़्त बढ़े, अर्ज़ी की लंबाई भी बढ़ती गई. आज ये अर्ज़ी न्यूज़ीलैंड के एक म्यूजियम में रखी है. | पूरे देश शा लोक इक पर्व पर एह मांग करदे होए इक - दुए कन्नै जुड़दी गे . जियां - जियां दसख़्त बध , अर्ज़ी दी लंबाई बी बधटी गई . अजज एह अर्ज़ी न्यूज़ीलैंड दे इक म्यूजियम च रखखी ऐ . |
| 7 | यहां का जीवन-स्तर बहुत से पश्चिमी देशों से बेहतर है. | इन्थे दा जीवन - स्तर बड़े हारे पश्चिमी देशों कोला शैल ऐ . |
| 8 | बीबीसी से रूबर हुए सैफ ने कहा कि, "बोर्डिंग स्कूल में पलना शहरों में पलने से बेहतर होता है. | बीबीसी कोला रूबर होए सैफ नै आखेआ जे , बोर्डिंग स्कूल च पलना शहरें च पलने कोला शैल होदा ऐ . |
| 9 | तब से लोग इस ठंडी जगह में बसे हैं. | अद्वे दा लोक इस ठंडी थाहूर च बससे न . |
Table II: Use cases of word sense disambiguation in Hindi-Dogri MTS
|
Reactionary modernism
Technology, culture, and politics in Weimar and the Third Reich
JEFFREY HERF
PUBLISHED BY THE PRESS SYNDICATE OF THE UNIVERSITY OF CAMBRIDGE
The Pitt Building, Trumpington Street, Cambridge CB2 1RP, United Kingdom
CAMBRIDGE UNIVERSITY PRESS
The Edinburgh Building, Cambridge CB2 2RU, UK http://www.cup.cam.ac.uk
40 West 20th Street, New York, NY 10011-4211, USA http://www.cup.org
10 Stamford Road, Oakleigh, Melbourne 3166, Australia
© Cambridge University Press 1984
This book is in copyright. Subject to statutory exception and
to the provisions of relevant collective licensing agreements,
no reproduction of any part may take place without
the written permission of Cambridge University Press.
First published 1984
First paperback edition 1986
Reprinted 1987, 1990, 1993, 1996, 1998
Typeset in Baskerville
A catalogue record for this book is available from the British Library
Library of Congress Cataloguing-in-Publication Data is available
ISBN 0-521-33833-6 paperback
Transferred to digital printing 2003
## Contents
**Preface** ix
1. The paradox of reactionary modernism 1
2. The conservative revolution in Weimar 18
3. Oswald Spengler: bourgeois antinomies, reactionary reconciliations 49
4. Ernst Jünger’s magical realism 70
5. Technology and three mandarin thinkers 109
6. Werner Sombart: technology and the Jewish question 130
7. Engineers as ideologues 152
8. Reactionary modernism in the Third Reich 189
9. Conclusion 217
*Bibliographical essay* 237
*Index* 245
There is no such thing as modernity in general. There are only national societies, each of which becomes modern in its own fashion. This study examines a cultural paradox of German modernity, namely, the embrace of modern technology by German thinkers who rejected Enlightenment reason. Dichotomies – tradition or modernity, progress or reaction, community or society, rationalization or charisma – predominate in sociological theories of the development of European modernity. When applied to modern German history, such dichotomies suggest that German nationalism, and subsequently National Socialism, was primarily motivated by rejections of modernity – the political values of the French Revolution and the economic and social realities created by the Industrial Revolution. Romantic Germany, we are told, rejected scientistic modernity. Had the pastoral vision vanquished technological advance, German modernity would not have led to the German catastrophe. In this study of a cultural tradition I have called reactionary modernism, I am advocating a more nuanced view of German ideology in the Weimar Republic and the Third Reich.
My basic point is the following: Before and after the Nazi seizure of power, an important current within conservative and subsequently Nazi ideology was a reconciliation between the antimodernist, romantic, and irrationalist ideas present in German nationalism and the most obvious manifestation of means–ends rationality, that is, modern technology. Reactionary modernism is an ideal typical construct. The thinkers I am calling reactionary modernists never described themselves in precisely these terms. But this tradition consisted of a coherent and meaningful set of metaphors, familiar words, and emotionally laden expressions that had the effect of converting technology from a component of alien, Western *Zivilisation* into an organic part of German *Kultur*. They combined political reaction with technological advance. Where German conservatives had spoken of technology or culture, the reactionary modernists taught the German Right to speak of technology and culture. Reactionary modernism was not primarily a pragmatic or tactical reorientation, which is not to deny that it transformed military-industrial necessities into national virtues. Rather, it incorporated modern technology into the cultural system of modern German nationalism, without diminishing the latter’s romantic and antirational aspects. The reactionary modernists were nationalists who turned the romantic anticapitalism of the German Right away from backward-looking pastoralism, pointing instead to the outlines of a beautiful new order replacing the formless chaos due to capitalism in a united, technologically advanced nation. In so doing, they contributed to the persistence of Nazi ideology throughout the Hitler regime. They called for a revolution from the Right that would restore the primacy of politics and the state over economics and the market, and thereby restore the ties between romanticism and reararmament in Germany.
Though I call them reactionary modernists, these thinkers viewed themselves as cultural revolutionaries seeking to consign materialism to the past. In their view, materialism and technology were by no means identical. Thomas Mann captured the essence of reactionary modernism when he wrote that “the really characteristic and dangerous aspect of National Socialism was its mixture of robust modernity and an affirmative stance toward progress combined with dreams of the past: a highly technological romanticism.” This book presents what Mann grasped as the interpenetration of German Innerlichkeit (inwardness) and modern technology.
The German reconciliation of technology and unreason began in German technical universities around the turn of the century, was first advocated by the nontechnical intellectuals in Weimar’s conservative revolution, found a home in the Nazi party in the 1920s and among the propagandists of the Hitler regime in the 1930s, and became a contributing factor in the triumph of totalitarian ideology up to 1945. The bearers of this tradition were numerous professors of engineering as well as contributors to journals published by the na-
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Thomas Mann, “Deutschland und die Deutschen,” in Thomas Mann: Essays, Band 2, Politik, ed. Herman Kunzke (Frankfurt, 1977), p. 294. For a critique of dichotomous theories of the development of “industrial society,” see Anthony Giddens, “Classical Social Theory and the Origins of Modern Sociology,” American Journal of Sociology 81 (1976), pp. 703–29. Also see John Norr’s essay, “German Social Theory and the Hidden Face of Technology,” European Journal of Sociology XV (1974), pp. 312–36.
tional engineering associations. In Weimar’s conservative revolution the irrationalist embrace of technology was advocated by Hans Freyer, Ernest Jünger, Carl Schmitt, Werner Sombart, and Oswald Spengler, with Martin Heidegger adding a more ambivalent voice to the reactionary modernist chorus. Within the Nazi party, Gottfried Feder’s theories of the threat of Jewish finance to German productivity were eventually supplemented by a more subtle diction of romanticism and modern technics under the direction of Joseph Goebbels and Fritz Todt, the administrator of the construction of the Autobahnen and Hitler’s first armaments minister. Throughout, the reactionary modernists contributed to the coexistence of political irrationalism alongside rearmament and industrial rationalization. By the end of the war, for example, the SS research station in Peenemünde developing V-1 and V-2 rockets was engaged in a desperate search for a weapon that would miraculously turn the tide of the now obviously lost war.
It is not paradoxical to reject technology as well as Enlightenment reason or to embrace technology while celebrating reason. These pairings are the customary outcomes of choosing between scientism and pastoralism. But it is paradoxical to reject the Enlightenment and embrace technology at the same time, as did the reactionary modernists in Germany. Their claim was that Germany could be both technologically advanced and true to its soul. The whole anti-Western legacy of German nationalism suggested that such a reconciliation between soul and technology was out of the question, for nothing could be more at odds with German culture. But the reactionary modernists recognized that antitechnological views were formulas for national impotence. The state could not be simultaneously strong and technologically backward. The reactionary modernists insisted that the Kulturnation could be both powerful and true to its soul. As Joseph Goebbels repeatedly insisted, this was to be the century of stählernde Romantik, steellike romanticism.
A fundamental point to be made about National Socialism is that Hitler’s ideology was the decisive political fact of the Nazi regime up to the catastrophic end. Very few of Hitler’s conservative allies and left-wing opponents expected this would be the case. Some argued that Hitler was a cynical opportunist who would abandon principle for the sake of power. Others simply could not accept the idea that anyone or any large number of people would take such a contemptible blend of irrationality and inhumanity seriously. And still others, at the time and since, argued that National Socialism was fundamentally a complete rejection of the modern world and its values. As such, its
ideological dynamism would be broken apart in the course of actually governing and administering the most advanced industrial society in Europe. Why this did not happen has been the focus of a scholarly debate ever since.\(^2\)
In this book, I am bringing interpretive sociology to bear on this problem. As Max Weber put it, sociology is an interpretive endeavor because it can offer causal explanations of social action only to the degree to which such analyses are simultaneously adequate on the level of meaning. Hence, in order to contribute to a causal explanation of the primacy of politics and ideology in Nazi Germany, I have focused on motives, meanings, intentions, and symbolism and have depicted an ideal typical world view I am calling reactionary modernism. In the last decade, a split has opened up between analysts of politics and analysts of meaning and intentionality. On the one hand, militant structuralists have told us that human intentions count for little in the larger scheme determined by classes, states, and the international system. On the other hand, equally militant phenomenologists have abandoned the field of political and historical analysis. This split expresses itself in a linguistic barbarism: “macro-” versus “micro-” sociology. Of late, the militants seem to be a bit less bellicose, and the idea of paying attention to what people actually think and believe has become respectable again. This has nothing to do with social science going “soft” in the head but rather with Weber’s point that explanation of social and political events requires careful examination of the meaning and intentionality of actors in a particular historical and social context. In this sense his works on the emergence of the modern state, bureaucracy, or the spirit of capitalism from the psychological anxieties fostered by the Protestant sects are “structural” analyses. This project is elusive and difficult for it calls for examination of the links between socioeconomic structure, cultural trends, and politics. This is, or ought to be, one of the sociologist’s main tasks, and it is one of my aims to proceed along these lines in this study. In the remainder of this chapter, I will situate this work in past efforts to grapple with National Socialism and modernity and will define the terms of discussion.
Interpreters of National Socialism have placed the cultural and political revolt against modernity at the center of discussions of Nazi ideology. Georg Lukács called Germany the “classic nation of irra-
\(^2\) For an overview of the current debate, see Karl Dietrich Bracher, “The Role of Hitler: The Problem of Underestimation,” pp. 211–25, and Hans Mommsen, “National Socialism – Continuity and Change,” pp. 179–210, both in *Fascism: A Reader’s Guide*, ed. Walter Laqueur (Berkeley, 1976).
tionalism.” Helmut Plessner’s view of the “belated nation,” George Mosse’s studies of “völkisch ideology,” Karl Mannheim’s work on “conservative thought,” and Fritz Stern’s analysis of “the politics of cultural despair” all stressed the connection between right-wing ideology and protest against the Enlightenment, modern science, liberalism, the market, Marxism, and the Jews. Talcott Parsons argued that “at least one critically important aspect of the National Socialist movement” was “a mobilization of the extremely deep-seated romantic tendencies of German society in the service of a violently aggressive political movement, incorporating a ‘fundamentalist’ revolt against the whole tendency of the rationalization of the Western world.” Henry J. Turner has recently summarized the analysis presented by modernization theorists. National Socialism, he writes, was the product of a “crisis of modernization.” Ideologically it stood for “utopian antimodernism . . . an extreme revolt against the modern industrial world and an attempt to recapture a distant mythic past.” National Socialist antimodernism contrasted with Italian fascism, with its Futurist fascination with speed and the beauty of machines.
Germany’s path to modernity lay behind the intensity of its antimodernist revolt. Compared with England and France, industrialization was late, quick, and thorough. Economic units were large and state intervention extensive. Most important, capitalist industrializa-
3 Georg Lukács, *Die Zerstörung der Vernunft* (Darmstadt, 1962); Helmut Plessner, *Die verspätete Nation* (Frankfurt, 1974); George Mosse, *The Crisis of German Ideology* (New York, 1964); Karl Mannheim, “Conservative Thought,” in *From Karl Mannheim*, ed. Kurt Wolff (New York, 1971), p. 132; Fritz Stern, *The Politics of Cultural Despair* (New York, 1961); Talcott Parsons, “Democracy and Social Structure in Pre-Nazi Germany,” in *Essays in Sociological Theory* (New York, 1964), p. 123. Also see his “Some Sociological Aspects of Fascist Movements,” pp. 124–41 in the same volume. Fritz Ringer documented antimodernist views among German university professors in the humanities and social sciences in *The Decline of the German Mandarins* (Cambridge, Mass., 1969).
4 Henry J. Turner, “Fascism and Modernization,” in *Reappraisals of Fascism* (New York, 1975), pp. 117–39. James Gregor, who focuses on Italy, interprets fascism as an industrializing and modernizing movement, as well as a developmental dictatorship. See James Gregor, “Fascism and Modernization: Some Addenda,” *World Politics* 26 (1974), pp. 382–4; *Interpretations of Fascism* (Morristown, N.J., 1974); and *The Fascist Persuasion in Radical Politics* (Princeton, N.J., 1974). On the shared antiindustrialism of the far Left and far Right in Weimar see Helga Grebing, *Linksradikalismus gleich Rechtsradikalismus: Eine falsche Gleichung* (Stuttgart, 1969), esp. ch. 3, “Antindustrie gesellschaftliche Kultur-, Zivilisations-, und Kapitalismuskritik,” pp. 37–50; Rene Konig, “Zur Soziologie der Zwanziger Jahre: oder Ein Epilogue zu zwei Revolutionen, die niemals stattgefunden haben, und was daraus für unsere Gegenrat resultiert,” in *Die Zeit ohne Eigenschaften: Eine Bilanz der Zwanziger Jahre*, ed. Leonard Rheinisch (Stuttgart, 1961), pp. 82–118; Claus Offe, “Technik und Eindimensionalität: Eine Version der Technokratie-these?” in *Antworten auf Herbert Marcuse*, ed. Jürgen Habermas (Frankfurt, 1968), pp. 73–88.
tion took place without a successful bourgeois revolution. The bourgeoisie, political liberalism, and the Enlightenment remained weak.\(^5\) Whereas the concept of the state in England and France was associated with democracy and equality, in Germany it remained authoritarian and illiberal.\(^6\) In Ralf Dahrendorf’s words, the “explosive potential of recent German social development” lay in the “encounter and combination” of rapid industrialization and the “inherited structures of the dynastic state of Prussia,” an encounter that left little space for political and economic liberalism.\(^7\) German nationalism was largely a countermovement expressing longings for a simpler, preindustrial life. The Volk needed to be protected from the corrupting influences of Western Zivilisation.
How then did German nationalism, and subsequently National Socialism, become reconciled to modern technology? Barrington Moore, Jr., drew the reasonable conclusion that “the basic limitation” of this “Catonist” rural imagery lay in its uncompromising hostility to industrialism as a result of which it would develop into rural nostalgia.\(^8\) Dahrendorf and David Schoenbaum further developed the idea that Nazi ideology was incompatible with industrial society. Dahrendorf argued that despite their antimodernist ideology, the demands of totalitarian power made the Nazis radical innovators. The “strong push to modernity” was National Socialism’s decisive feature resulting in a striking conflict between Nazi ideology and practice. The “veil of ideology should not deceive us,” for the gap between ideology and practice was so striking that “one is almost tempted to believe that the ideology was simply an effort to mislead people deliberately.”\(^9\) Along similar lines, Schoenbaum described National Socialism as a “double revolution,” that is, an ideological war against bourgeois and industrial society waged with bourgeois and industrial means. In his view, the conflict between the antiindustrial outlook of the Nazi ideologues and the modernizing practice of the Nazi regime was resolved through an “inevitable rapprochement” between the Nazi mass movement and the state and industrial elites the movement had promised to destroy. In Schoenbaum’s view, the Nazis made their peace with modern tech-
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\(^5\) On Germany’s illiberal path to modernity, see Ralf Dahrendorf, *Society and Democracy in Germany* (New York, 1966).
\(^6\) Karl Dietrich Bracher, *The German Dictatorship*, trans. Jean Steinberg (New York, 1970).
\(^7\) Dahrendorf, *Society and Democracy in Germany*, p. 45.
\(^8\) Barrington Moore, Jr., *The Social Origins of Dictatorship and Democracy* (Boston, 1966), esp. pp. 484–508. Thorstein Veblen made a similar argument in his classic work, *Imperial Germany and the Industrial Revolution* (Ann Arbor, Mich., 1966).
\(^9\) Dahrendorf, *Society and Democracy in Germany*, pp. 381–6.
nology because it was needed to carry out their antimodernist politics, but not because they could discern any intrinsic value in it.\textsuperscript{10}
Dahrendorf’s and Schoenbaum’s views recall Hermann Rauschning’s analysis of Hitlerism as a “revolution of nihilism” guided by an utterly cynical, opportunistic set of rationalizations passing themselves off as a world view.\textsuperscript{11} The problem is that in too many very important instances, Hitler’s practice coincided with his ideology. If ideology and practice were so at odds, how do we account for their terrifying unity during the war and the Holocaust? The thesis of a “double revolution” suggests ideological cynicism where ideological consistency and belief existed. The “strong push to modernity” or at least to certain aspects of modern society existed, but not at the expense of Nazi ideology. Both Dahrendorf and Schoenbaum underestimated the degree to which a selective embrace of modernity – especially modern technology – had already taken place within German nationalism both before and after the Nazi seizure of power in 1933.
The main problem with this approach has been its neglect of the modern aspects of Nazi ideology. Marxists have had little difficulty in this regard because they have examined the Hitler regime as one variant of fascism that, in turn, was a form of capitalism. At times, such analyses suggest that Hitler was merely a tool of the capitalists or that Nazi ideology actually declined in importance after the seizure of power.\textsuperscript{12} And at their best, such as Franze Neumann’s classic \textit{Behemoth}, they employ a utilitarian concept of class and ideology that rules out the possibility that the Hitler regime could act against the interests of German capital – as indeed it did when it pursued racial utopia and genocide above all else.\textsuperscript{13} The route is different, but the
\textsuperscript{10} David Schoenbaum, \textit{Hitler’s Social Revolution} (New York, 1967), p. 276.
\textsuperscript{11} Hermann Rauschning, \textit{The Revolution of Nihilism} (London, 1939). For a critique of this view and a presentation of Hitler’s ideas as a coherent world view, see Eberhard Jäckel, \textit{Hitler’s World View: A Blueprint for Power}, trans. Herbert Arnold (Middletown, Conn., 1972).
\textsuperscript{12} As in Nicos Poulantzas, \textit{Fascism and Dictatorship: The Third International and the Problem of Fascism} (London, 1974). Also see Jane Caplan, “Theories of Fascism: Nicos Poulantzas as Historian,” \textit{History Workshop Journal} (1977), pp. 89–100; and Anson Rabinbach, “Poulantzas and the Problem of Fascism,” \textit{New German Critique} (Spring 1976), pp. 157–70.
\textsuperscript{13} Franz Neumann, \textit{Behemoth: The Structure and Practice of National Socialism} (New York, 1944). Neumann wrote that “the internal political value of anti-Semitism will . . . never allow a complete extermination of the Jews. The foe cannot and must not disappear; he must always be held in readiness as a scapegoat for all the evils originating in the socio-political system” (p. 125). Erich Goldhagen points out that the murder of the Jews was “the most striking refutation of the thesis that the National Socialists were disbelieving and cynical manipulators of anti-Semitism,” in “Weltanconclusion the same for Marxists and modernization theorists: Whether it was due to the antimodernist nature of the ideology or the overwhelming power of class interests, both suggest that Nazi ideology could not explain the actions of the Hitler regime. They are thus at a loss to explain the triumph of ideology in the Third Reich.\textsuperscript{14}
During the 1930s, discussion of the synthesis of technics and unreason in German ideology took place among the critical theorists of the Frankfurt school, as well as in the work of the romantic Marxist, Ernst Bloch. Walter Benjamin’s essays on the Weimar Right initiated a discussion of fascism and aesthetics that continues up to the present.\textsuperscript{15} Bloch’s analysis of \textit{Ungleichzeitigkeit}, roughly “noncontempor-
\textsuperscript{14} Critics of the analysis of totalitarianism deny that National Socialism was a monolithic system of domination. For example, Hans Mommsen and Martin Broszat argue that nazism was a “polycracy” of conflicting authorities, which made possible the ascendancy of radicalized SS fanatics. See Broszat’s \textit{Der Staat Hitlers} (Munich, 1969), and Mommsen, “Continuity and Change in the Third Reich.” The critics have destroyed a straw man. In \textit{The Origins of Totalitarianism} (Cleveland, 1958), Hannah Arendt wrote that the absence of clear hierarchies, the multiplication of offices, and confusion of bureaucratic responsibilities were crucial to totalitarianism in power because the resultant insecurity and fear enhanced the power of the leadership and served to preserve the dynamic of a “movement-state.” See “The So-called Totalitarian State,” pp. 392–419.
\textsuperscript{15} See his discussion of Ernst Jünger and other right-wing thinkers in “Theorien des deutschen Faschismus,” in \textit{Walter Benjamin: Gesammelte Schriften}, vol. 3 (Frankfurt, 1977), pp. 238–50; trans. by Jerold Winkoff as “Theories of German Fascism,” \textit{New German Critique} 17 (Spring 1979), pp. 120–8. See also \textit{Links hätte noch alles sich zu enträteln. Walter Benjamin im Kontext}, ed. Walter Burkhardt (Frankfurt, 1978), esp. Ansgar Hillach, “Die Ästhetisierung des politischen Lebens: Walter Benjamins faschismus theoretischer Ansatz – eine Rekonstruktion,” pp. 126–67; George Mosse, \textit{The Nationalization of the Masses} (New York, 1970). Rainer Stollman gives an overview of recent West German work in “Faschistische Politik als Gesamtkunstwerk: Tendenzen der Ästhetisierung des politischen Lebens im Nationalsozialistischen ‘Bewegung,’” in \textit{Die deutsche Literatur im Dritten Reich}, ed. Horst Denkler and Karl Prumm (Stuttgart, 1976), pp. 83–101. Translated as “Fascist Politics as a Total Work of Art,” in \textit{New German Critique} 14 (Spring 1978), pp. 41–60.
aneity,” drew attention to the fusion of German romanticism with a cult of technics in the journals of German engineers.\textsuperscript{16} Max Horkheimer argued that National Socialism organized a “revolt of nature” against modern capitalism and industrialism, which eschewed antitechnological themes.\textsuperscript{17}
More than any other modern social theorists, Horkheimer and Theodor Adorno placed the intertwining of myth and rationalization at the center of attention in their classic work, \textit{Dialectic of Enlightenment}. They opened their book with the now well-known assertion that the “fully enlightened world” radiated “disaster triumphant.”\textsuperscript{18} If this was the case, understanding the relation between nazism and modernity was crucial. Part of their argument merely repeated standard Marxist views: “Bourgeois anti-Semitism has a specific economic reason: the concealment of domination in production.”\textsuperscript{19} Right-wing anticapitalists identified the Jews with the “unproductive” circulation sphere of banking, finance, and commerce and praised the sphere of production and technology as an integral part of the nation. German anticapitalism was anti-Semitic but not antitechnological. But it was a second, and more sweeping, analysis of the Enlightenment that made Horkheimer and Adorno’s work truly distinctive. They argued that the German disaster was the outcome of a link between reason, myth, and domination implicit in Enlightenment thought since Kant and Hegel. The Enlightenment’s true face of calculation and domination was evident in de Sade’s highly organized tortures and orgies. In Germany the Jews suffered from being identified with both abstract rationality and with backwardness and reluctance to conform to national community.\textsuperscript{20} National Socialism telescoped in a particular place and time the awful potentialities of the Western domination of nature.
\textsuperscript{16} Ernst Bloch, \textit{Erbschaft dieser Zeit} (Frankfurt, 1962), and “Technik und Geistererscheinungen,” in \textit{Verfremdungen I} (Frankfurt, 1962), pp. 177–85.
\textsuperscript{17} In Max Horkheimer, \textit{The Eclipse of Reason} (New York, 1974). Horkheimer also discussed the link between irrationalism and technology in “Zum Rationalismusstreit in der gegenwärtigen Philosophie,” \textit{Kritische Theorie der Gesellschaft}, Band I (Frankfurt, 1968), pp. 123–4.
\textsuperscript{18} Max Horkheimer and Theodor Adorno, \textit{Dialectic of Enlightenment} (New York, 1972), p. 3.
\textsuperscript{19} Ibid., p. 173. Herbert Marcuse also discussed the right-wing anticapitalist rhetorical assault on \textit{Händlertum} or the merchant in “The Struggle Against Liberalism in the Totalitarian View of the State,” \textit{Negations}, trans. Jeremy Shapiro (Boston, 1968), pp. 3–42.
\textsuperscript{20} Horkheimer and Adorno, \textit{Dialectic of Enlightenment}, pp. 168–208. On Horkheimer’s sociology of religion and his analysis of anti-Semitism, see Julius Carlebach, \textit{Karl Marx and the Radical Critique of Judaism} (London, 1978), pp. 234–67; Martin Jay, “The Jews and the Frankfurt School: Critical Theory’s Analysis of Anti-Semitism,” \textit{New German Critique} (Winter 1980), pp. 137–49; and Anson Rabinbach, “Anti-Semitism Reconsidered.”
Horkheimer and Adorno were right to point out that reason and myth were intertwined in the German dictatorship. No doubt, the cultural paradoxes of reactionary modernism were less perplexing for these dialectical thinkers than for those more accustomed to dichotomous modes of thought. But if their perceptions were accurate, their theory of the Enlightenment and their view of modern German history were woefully mistaken.\footnote{See Ringer, \textit{Decline of the German Mandarins}; Jürgen Habermas, “The Entwinement of Myth and Modernity: Re-reading Dialectic of Enlightenment,” \textit{New German Critique} (Spring/Summer 1982), pp. 13–30.} What proved so disastrous for Germany was the separation of the Enlightenment from German nationalism. German society remained partially – never “fully” – enlightened. Horkheimer and Adorno’s analysis overlooked this national context and generalized Germany’s miseries into dilemmas of modernity per se. Consequently they blamed the Enlightenment for what was really the result of its weakness. Although technology exerted a fascination for fascist intellectuals all over Europe, it was only in Germany that it became part of the national identity. The unique combination of industrial development and a weak liberal tradition was the social background for reactionary modernism. The thesis of the dialectic of enlightenment obscured this historical uniqueness. As a “critical theory,” it is strangely apologetic in regard to modern Germany history. It is one of the ironies of modern social theory that the critical theorists, who thought they were defending the unique against the general, contributed to obscuring the uniqueness of Germany’s illiberal path toward modernity.
This said, it is better to have been perceptive for the wrong reasons than to have neglected an important problem altogether. It would be less than generous of me not to acknowledge the role concepts such as reification, the aestheticization of politics, and the dialectic of enlightenment have had in directing my attention to the existence of a reactionary modernist tradition in Germany. Although some of the literature on National Socialism inspired by the critical theorists suffers from sloganeering about fascism and capitalism, some very fine reconsiderations of the interaction of modernist and antimodernist currents in National Socialism have also appeared. Karl-Heinz Bohrer’s study of Ernst Jünger, Anson Rabinbach’s work on Albert Speer’s Bureau of the Beauty of Labor, Klaus Theweleit’s massive compilation of the unconscious fantasy life of members of the \textit{Freikorps}, Timothy Mason’s and Eike Hennig’s work on the uses of antimodernist rhetoric in the rationalization of German industry in the 1930s, and KarHeinz Ludwig’s superbly researched study of engineers and politics before and during the Third Reich all present evidence that right-wing and then Nazi ideology was far more intertwined with modern technology than earlier work suggested.\(^{22}\) Recent work has also modified our view of the relation between anti-Semitism and antimodernism. Moishe Postone has attempted to explain why anti-Semitism attributes such enormous power to the Jews – they were supposed to be the source of both international finance capitalism and international communism. He turns to Marx’s analysis of commodity fetishism to interpret anti-Semitism as a specifically modern form of anticapitalist ideology, despite its atavistic vocabulary.\(^{23}\) Although some of this new literature suffers from blaming capitalism for the peculiarities of modern German history, it has contributed to a reconsideration of the larger problems of nazism and modernity. I am building on these and other reconsiderations of the problem of modernity and National Socialism while rejecting the implication that German modernity was only one example of a generalized sickness inherent in modern industrial societies.
It is time to clarify terms. I have called the tradition under examination a *reactionary* modernist one to emphasize that it was a tradition of the political Right. A figure such as Oswald Spengler straddled the border between traditional Prussian conservatives – the industrialists, Junkers, military, and civil service – and the postwar conservative revolutionaries. Both were illiberal and authoritarian but the latter reached into the lower middle class to create a mass movement. Like the *völkisch* ideologues of the nineteenth century, the conservative revolutionaries sought a cultural–political revolution that would re-
\(^{22}\) Karl-Heinz Bohrer, *Die Ästhetik des Schreckens: Die pessimistische Romantik und Ernst Jüngers Frühwerk* (Munich, 1978); Anson Rabinbach, “The Aesthetics of Production in the Third Reich,” in *International Fascism*, ed. George Mosse (Beverly Hills, Calif., 1979), pp. 189–222; Klaus Theweleit, *Männerphantasien*, 2 vols. (Frankfurt, 1978); Timothy Mason, “Zur Entstehung des Gesetzes zur Ordnung der nationalen Arbeit, vom 20 Januar 1934: Ein Versuch über das Verhältnis ‘archaischer’ und ‘moderner’ Momente in der neuesten deutschen Geschichte,” in *Industrielles System und politische Entwicklung in der Weimarer Republik*, ed. Hans Mommsen, Dieter Petzina, and Bernd Weisbrod (Düsseldorf, 1974), pp. 323–51; Eike Hennig, *Bürgerliche Gesellschaft und Faschismus in Deutschland: Ein Forschungsbericht* (Frankfurt, 1977); and Karl-Heinz Ludwig, *Technik und Ingenieure im Dritten Reich* (Königstein, T.S./Düsseldorf, 1979).
\(^{23}\) Moishe Postone, “Anti-Semitism and National Socialism: Notes on the German Reaction to ‘Holocaust,’” Postone’s point of departure is the idea that “the specific characteristics of the power attributed to the Jews by modern anti-Semitism – abstractness, intangibility, universality, mobility – are all characteristics of the value dimension of the social form analyzed by Marx,” (p. 108). He interprets Auschwitz as the end point of fetishized anticapitalism in Germany. Postone suggests paradoxes in National Socialist views of technology similar to those I am describing.
vitalize the nation. They were reactionaries in that they opposed the principles of 1789 yet found in nationalism a third force “beyond” capitalism and Marxism. Along with Hitler, they were cultural revolutionaries seeking to restore instinct and to reverse degeneration due to an excess of civilization. Like fascist intellectuals all over postwar Europe, the reactionary modernists in Germany viewed communism as merely the obverse of bourgeois materialism, a soulless world’s mirror image.\textsuperscript{24}
The reactionary modernists were \textit{modernists} in two ways. First, and most obviously, they were technological modernizers; that is, they wanted Germany to be more rather than less industrialized, to have more rather than fewer radios, trains, highways, cars, and planes. They viewed themselves as liberators of technology’s slumbering powers, which were being repressed and misused by a capitalist economy linked to parliamentary democracy. Second, they articulated themes associated with the modernist vanguard: Jünger and Gottfried Benn in Germany, Gide and Malraux in France, Marinetti in Italy, Yeats, Pound, and Wyndham Lewis in England. Modernism was not a movement exclusively of the political Left or Right. Its central legend was of the free creative spirit at war with the bourgeoisie who refuses to accept any limits and who advocates what Daniel Bell has called the “megalomania of self-infinitization,” the impulse to reach “beyond: beyond morality, tragedy, culture.” From Nietzsche to Jünger and then Goebbels, the modernist credo was the triumph of spirit and will over reason and the subsequent fusion of this will to an aesthetic mode. If aesthetic experience alone justifies life, morality is suspended and desire has no limits.\textsuperscript{25} Modernism exalted the new and attacked traditions, including normative traditions. As aesthetic standards replaced moral norms, modernism indulged a fascination for horror and violence as a welcome relief to bourgeois boredom and decadence. Modernism also celebrated the self. When modernists turned to politics, they sought engagement, commitment, and authenticity, experiences the Fascists and Nazis promised to provide.\textsuperscript{26}
\textsuperscript{24} On fascism as a cultural revolution, see George Mosse, “Fascism and the Intellectuals,” in \textit{The Nature of Fascism}, ed. S. J. Woolf (New York, 1969), pp. 205–25; and Joachim Fest, \textit{Hitler}, trans Richard Winston and Clara Winston (New York, 1974), pp. 104–6.
\textsuperscript{25} Daniel Bell, \textit{The Cultural Contradictions of Capitalism} (New York, 1976), pp. 49–52; Jürgen Habermas, “Modernity vs. Post-modernity,” \textit{New German Critique} 22 (Winter 1981), pp. 3–14.
\textsuperscript{26} See Karl-Heinz Bohrer, \textit{Die Ästhetik des Schreckens}; J. P. Stern, \textit{Hitler: The Führer and the People} (Berkeley, 1975), an excellent study of Hitler’s language, in particular of his appeals to the authentic self; and Theodor Adorno, \textit{The Jargon of Authenticity}, trans. Knut Tarnowski and Frederic Will (Evanston, Ill., 1973).
reactionary modernists discussed trains as embodiments of the will to power or saw the racial soul expressed in the *Autobahnen*, they were popularizing what had been the preserve of a cultural vanguard.
The reactionary modernists were *irrationalists*. They simply despised reason and denigrated its role in political and social affairs. Their rejection of reason went far beyond the thoughtful criticisms of positivism in philosophy and social science for which German sociology has become famous. Although Adorno and Horkheimer dissected what they took to be reason’s inner tensions, they still looked to it as a court of last resort. But the reactionary modernists spoke what Adorno labeled the “jargon of authenticity” in which certain absolutes such as blood, race, and soul were placed beyond rational justification. In their view reason itself was *lebensfeindlich*, or “hostile to life.”\(^{27}\)
Defenders of nineteenth-century German romanticism have made a simple but important point\(^{28}\): There was no straight line between romanticism and nazism. Further, even in Germany the romantic tradition was not exclusively right-wing or antitechnological. On the contrary, romanticism touched all segments of the intellectual and political spectrum in Germany in Weimar from Lukács and Bloch on the far left, through Mann and Max Weber in the center, to Jünger and his conservative revolutionary comrades. Furthermore, as the Hungarian literary critic and sociologist, Ferenc Feher, has put it, World War I was a turning point for romantic anticapitalism among the literary intellectuals, after which right-wing romanticism expressed growing hostility to what had been considered typical romantic themes such as the critique of dehumanization at the hands of the machine. Michael Lowy and Feher attribute the predominance of “romantic anticapitalism” in Germany to the conflict between humanist culture and capitalist exchange relations. Bell points to a “disjunction of realms” between a culture focused on the self and a socioeconomic system based on efficiency to account for the cultural re-
---
\(^{27}\) On the role of *Lebensphilosophie* and the meaning of irrationalism in the conservative revolution see Kurt Sontheimer, *Antidemokratisches Denken in der Weimarer Republik* (Munich, 1968); Georg Lukács, *Die Zerstörung der Vernunft*; and Helmut Plessner, *Die verspätete Nation*.
\(^{28}\) For example, Jacques Barzun, *Classic, Romantic and Modern* (Chicago, 1934), Meyer Abrams, *Natural Supernaturalism* (New York, 1973), and Alvin Gouldner, “Romanticism and Classicism: Deep Structures in Social Science,” in *For Sociology* (Middlesex, England, 1973), pp. 323–66, all stress the romantic contribution to twentieth-century liberal and socialist humanism. Gouldner’s thesis is that nineteenth-century German romanticism decisively influenced early twentieth-century social theory – Max Weber, Georg Simmel, Lukács, and the Frankfurt school.
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WILLBROS GROUP, INC.
CORPORATE GOVERNANCE GUIDELINES
OF THE BOARD OF DIRECTORS
JANUARY 18, 2018
1. **Director Qualifications**
The Board of Directors (the "Board") will have a majority of directors who meet the criteria for independence required by the New York Stock Exchange and applicable law. The Nominating/Corporate Governance Committee is responsible for reviewing with the Board, on an annual basis, the composition of the Board as a whole as well as the requisite skills and characteristics of any proposed Board members. This assessment will include members' independence and may include consideration of diversity, skills, and experience in the context of the needs of the Board. Nominees for directorship will be recommended by the Nominating/Corporate Governance Committee in accordance with the policies and principles in these guidelines and its charter. Nominees are approved by the Board before submission to the stockholders for election.
In addition to the criteria for director independence required by the New York Stock Exchange and applicable law, the Board will affirmatively determine that each director has no material relationship with the Company (either directly or as a partner, material stockholder or officer of an organization that has a relationship with the Company). In assessing the materiality of any existing or proposed director's relationship with the Company, the Board will consider all relevant facts and circumstances. Material relationships can include, but are not limited to, commercial, industrial, banking, consulting, legal, accounting, charitable, and familial relationships. The Board should evaluate materiality not only from the perspective of the director, but also from that of persons and organizations with which the director has a relationship. The Board may adopt categorical standards to assist it in making determinations of independence. The basis for the Board's determination that a relationship is not material must be disclosed in the Company's proxy statement. This disclosure may be stated in a general way for a director satisfying any categorical standards adopted by the Board and described in the proxy statement, but the determination must be specifically explained if no such standards are adopted or if a director does not satisfy them.
The Board may expand or contract within the limitations set forth in the Company's Certificate of Incorporation, as the demands and responsibilities of the Board so dictate.
A director may resign at any time by giving notice in writing or by electronic transmission to the President or Secretary of the Company. Any such resignation shall take effect at the time specified in the notice or, if the time when it shall become effective is not specified therein, then it shall take effect immediately upon its receipt.
It is the sense of the Board that individual directors who materially change the responsibilities held when they were elected to the Board, should volunteer to step down enabling the Nominating/Corporate Governance Committee to review that Board member's continuing service under the changed circumstances.
The Board does not believe it should establish limits with respect to the number of other public company boards on which a board member may serve. Directors should advise the Chairman of the Board and the Chairman of the Nominating/Corporate Governance Committee in advance of accepting an invitation to serve on another public company board.
The Nominating/Corporate Governance Committee should review each director’s continuation on the Board near the end of his or her term on the Board. This will allow each director the opportunity to confirm his or her desire to continue as a member of the Board. In addition, the Board believes that an individual generally will not be eligible for nomination or renomination to the Board if he or she would be age 70 at the date of election.
2. **Board Membership Selection Criteria**
Qualifications considered by the Nominating/Corporate Governance Committee for director candidates include an attained position of leadership in the candidate’s field of endeavor, business and/or financial expertise, demonstrated exercise of sound business judgment, expertise relevant to the Company’s lines of business, diversity of the candidate, corporate governance experience, and the ability to serve the interests of all stockholders. The Company is committed to a policy of inclusiveness and as such when searching for new directors, the Nominating/Corporate Governance Committee should actively seek out highly qualified women and minority candidates as well as candidates with diverse backgrounds, skills and experiences to include in the pool from which Board nominees are chosen. The Nominating/Corporate Governance Committee will consider director candidates submitted to it by other directors, employees, and stockholders.
3. **Majority Voting Standard in Director Elections**
The Company’s Bylaws provide that, with the exception of a contested director election, a nominee for director shall be elected to the Board if the votes cast for the nominee’s election exceed the votes cast against the nominee. The Board expects a director to tender his or her resignation if he or she fails to receive the required number of votes for re-election. The Nominating/Corporate Governance Committee will nominate for election or re-election as director only candidates who agree to tender, promptly following the annual meeting at which they are elected or re-elected as director, irrevocable resignations that will be effective upon (i) the failure to receive the required vote at the next annual meeting at which they face re-election and (ii) Board acceptance of such resignation. In addition, the Board shall fill director vacancies and new directorships only with candidates who agree to tender, promptly following their appointment to the Board, the same form of resignation tendered by the other directors in accordance with these guidelines.
If an incumbent director fails to receive the required vote for re-election, the Nominating/Corporate Governance Committee (excluding, if applicable, the director who tendered the resignation) will promptly evaluate any such resignation to determine whether to accept or reject the director’s resignation and will submit such recommendation for prompt consideration by the Board. The Nominating/Corporate Governance Committee and the Board may consider any factors or other information they deem relevant in deciding whether to accept a director’s resignation.
The Board will publicly disclose (by press release, a filing with the Securities and Exchange Commission or other broadly disseminated means of communication) (i) its decision whether or not to accept the tendered resignation and (ii) if applicable, the reasons for rejecting the tendered resignation.
4. **Director Responsibilities**
The responsibility of the directors is to exercise their business judgment as they act in what they reasonably believe to be in the best interests of the Company and its stockholders. In discharging that obligation, directors are entitled to rely on the honesty and integrity of the Company's senior executives and its outside advisors and auditors. The directors are also entitled to have the Company purchase reasonable directors' and officers' liability insurance on their behalf, to the benefits of indemnification to the fullest extent permitted by law and the Company's Certificate of Incorporation and Bylaws and any indemnification agreements, and to exculpation as provided by local law and the Company's Certificate of Incorporation and Bylaws.
Directors are expected, to the extent reasonably practicable, to attend Board meetings and meetings of committees on which they serve, and to spend the time needed to properly discharge their responsibilities. Information and data that are important to the Board's understanding of the business to be conducted at a Board or committee meeting should generally be distributed to the directors before the meeting, and directors should use their reasonable best efforts to review these materials in advance of the meeting. Each director is encouraged to attend the Company's annual meeting of stockholders.
The Board has no policy with respect to the separation of the offices of Chairman and the Chief Executive Officer. The Company's Bylaws provide that the directors may elect a Chairman from among the directors.
Each Board member is free to suggest the inclusion of items on the agenda of any Board meeting. Each Board member is free to raise at any Board meeting subjects that are not on the agenda for that meeting.
While the Board believes that the management speaks for the Company, individual Board members may, from time to time, meet or otherwise communicate with various constituencies of the Company. However, it is expected that Board members would do this with the knowledge of the management and, absent unusual circumstances or as contemplated by the committee charters, only at the request of management.
At least two Board meetings per year will include an executive session of the nonmanagement directors. The independent, non-executive Chairman of the Board will preside at these meetings, including meetings of only the independent directors as discussed below, and his or her name will be disclosed in the annual proxy statement. If there is no independent, nonexecutive Chairman of the Board, the name of the Lead Director who presides at these meetings will be chosen by the non-management directors, and his or her name, or the method by which he or she is chosen, will be disclosed in the annual proxy statement. If the non-management directors include a director who the Board has determined is not independent, the Board will also schedule at least once a year an executive session including only independent directors.
5. **Board Committees**
The Board will have an Audit Committee, a Compensation Committee, a Nominating/Corporate Governance Committee, and an Executive Committee. All of the members of the Audit, Compensation, and Nominating/Corporate Governance committees will be independent directors under the criteria established by the New York Stock Exchange and applicable law. Committee members will be appointed by the Board upon recommendation of the Nominating/Corporate Governance Committee after consideration of the desires of individual directors and the recommendations of the Nominating/Corporate Governance Committee. It is the sense of the Board that consideration should be given to rotating committee members periodically, but that rotation should not be mandated.
The Audit, Compensation, Nominating/Corporate Governance and Executive committees will each have a charter setting forth the purposes, goals, and responsibilities of the committees. The charters will also provide that each committee will annually evaluate its performance.
The Chairman of each committee, in consultation with committee members, may develop an agenda in advance of each meeting. Minutes of such meetings will be prepared and will be kept with the permanent records of the Company.
The Board and each of the Audit, Compensation and Nominating/Corporate Governance committees have the power to hire independent legal, financial or other advisors as they may deem necessary, without consulting or obtaining the approval of any officer of the Company in advance.
The Board may, from time to time, establish or maintain additional committees as necessary or appropriate.
6. **Director Access to Officers and Employees**
Directors have full and free access to officers and employees of the Company. Any meetings or contacts that a director wishes to initiate may be arranged through the Chief Executive Officer ("CEO") or the Secretary or directly by the director. The directors will use their judgment to ensure that any such contact is not disruptive to the business operations of the Company and should, to the extent appropriate, inform the CEO of said contact or copy the CEO on any written communications between a director or an officer or employee of the Company.
The Chairman of the Board may designate guest attendees at any Board meeting, to be present for the purpose of making presentations, responding to questions by the directors, or providing counsel on specific matters within their area of expertise.
7. **Director Compensation**
The Compensation Committee will conduct an annual review of director compensation. The form and amount of director compensation will be recommended to the Board for its approval by the Compensation Committee in accordance with the policies and principles set forth in the committee's charter. The Compensation Committee will consider that directors'
independence may be jeopardized if director compensation and perquisites exceed customary levels, or if the Company makes substantial charitable contributions to organizations with which a director is affiliated, or if the Company enters into consulting contracts with (or provides other indirect forms of compensation to) a director or an organization with which the director is affiliated.
8. **Director Orientation and Continuing Education**
All new directors should participate in the Company's orientation program, which should be conducted within six months of any annual meeting at which new directors are elected. This orientation should include presentations by or meetings with senior management to familiarize new directors with the Company's strategic plans, its significant financial, accounting and risk management issues, its compliance programs, its Code of Business Conduct and Ethics, its principal officers, and its internal and independent auditors.
From time to time, the Chairman or the Board may request management to make presentations to the Board, or management may recommend to the Board, areas where the Board may need enhanced understanding of a particular area relating to Company policy, procedures, or operations. When such request or recommendation is made, the Chairman should evaluate the request or suggestion and if he or she determines it is appropriate, should include the presentation in the agenda for an upcoming meeting of the Board.
9. **CEO Evaluation and Management Succession**
The Compensation Committee will conduct an annual review of the CEO's performance, as set forth in its charter. The Board of Directors will review the Compensation Committee's report in order to ensure that the CEO is providing the best leadership for the Company in the long and short term.
The Nominating/Corporate Governance Committee should report periodically to the Board on succession planning, as set forth in its charter. The entire Board should work with the Nominating/Corporate Governance Committee to evaluate potential successors to the CEO.
10. **Annual Performance Review**
The Board of Directors will conduct an annual self-evaluation to determine whether it and its committees are functioning effectively. The Nominating/Corporate Governance Committee should receive evaluations from all directors and report annually to the Board with an assessment of the Board's performance. The assessment should focus on areas in which the Board or management believes that the Board could improve.
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Atomic Structure of the (0001) Corundum Surface
V.E. Puchin\textsuperscript{1,2}, J.D. Gale\textsuperscript{3}, A.L. Shluger\textsuperscript{4}, E.A. Kotomin\textsuperscript{1}, J. Günster\textsuperscript{2}, M. Brause\textsuperscript{2} and V. Kempter\textsuperscript{2}
\textsuperscript{1} University of Latvia, Rainis blvd. 19, LV-1586 Riga, Latvia
\textsuperscript{2} Physikalisches Institut der TU Clausthal, Leibnizstr. 4, D-38678 Clausthal-Zellerfeld, Germany
\textsuperscript{3} Department of Chemistry, Imperial College, South Kensington, SW7 2AY, UK
\textsuperscript{4} Centre for Materials Research, Department of Physics, University College London, Gower St., London WC1E 6BT, UK
**Keywords:** Ab-Initio Calculations, Atomic and Electronic Structure, Corundum (0001) Surface, Photoelectron Spectroscopy, Metastable Impact Electron Spectroscopy
**Abstract.** The electronic structure and geometry of the Al terminated corundum (0001) surface were studied using a slab model within the \textit{ab-initio} Hartree-Fock technique. The distance between the top Al plane and the next O basal plane is found to be considerably reduced on relaxation (by 0.57 Å, i.e. by 68% of the corresponding interlayer distance in the bulk). An interpretation of experimental photoelectron spectra (UPS HeI) and metastable impact electron spectra (MIES) is given. Calculated projected densities of states exhibit a strong dependence on the relaxation of surface atoms.
**Introduction.** Alumina surfaces have been studied extensively because of their technological importance [1]. Theoretically, the simplest nonpolar Al terminated (0001) corundum surface was predicted to be the most stable ideal termination of the bulk structure [2,3]. Pioneering \textit{ab initio} Hartree-Fock (HF) calculations using the minimal (STO-3G) basis set of atomic orbitals (AO's) have predicted a large inward displacement (relaxation) of the terminating layer of Al atoms (0.4 Å, or 48% of Al – O interlayer spacing) [4]. Further calculations performed in the local density approximation (LDA) with pseudopotentials and a plane wave basis set predicted an even larger relaxation of about 0.7 Å [5]. The calculations using pair potentials based on the empirical shell-model [3] predict the surface relaxation to be intermediate between the HF [4] and LDA [5] data.
The incentive for this study comes from our recent combined experimental and theoretical study of the MgO (001) surface [6]. It has demonstrated that the UPS (He I) and MIES\textsuperscript{1} (He$^*$ 1s2s) spectra which have quite different structures in the valence band energy region, can be well approximated by the total density of states (DOS) of a thin crystalline slab and the DOS projected to the surface O ($2p_x$) AO's, respectively (PDOS) [6]. Moreover, the results of these calculations demonstrated that the shape of both DOS and PDOS is very sensitive to the surface relaxation. This leads to the possibility of extracting information on surface atomic structure through the comparison of DOS and PDOS calculated for different surface relaxations with the experimental spectra.
In this paper we explore the above possibility in more detail for the case of the alumina surface. UPS and MIES spectra of the corundum monocrystalline (0001) surface and corundum films on Al (111) and W (110) substrates have recently been published [7–9]. As follows from LEED and ISS data, the films grown on Ta(110) [10] and W(110) [9] are Al terminated (0001) corundum or (111) $\gamma$-Al$_2$O$_3$ structures. Therefore Al electronic states must contribute to the valence band DOS [4], and the straightforward interpretation of electron spectra given for the simple ionic rocksalt-type insulators like MgO may not be valid for corundum.
We study the relationship between the atomic and electronic structure of the relaxed corundum (0001) surface and the UPS and MIES spectra. A novel method is proposed for the comparison of MIES spectra with theory: in order to simulate in a direct way the projectile–surface interaction (via
\textsuperscript{1} For an introduction to MIES see V. Kempter: this volume.
Auger deexcitation connected with electron emission), the DOS projected onto the floating $1s$ orbital of He atom above the surface is calculated and analysed as a function of the He coordinates.
**Theoretical method and results.** To model the experimental spectra we have used the same method as discussed in ref. [6] for MgO. The electronic structure and the total energy of the corundum slab containing three O and 6 Al atomic layers parallel to (0001) plane terminated by an Al layer were calculated within the Hartree-Fock approximation as implemented in the CRYSTAL computer code [11]. An 85-11G/8-411G basis set augmented with polarization functions was used for Al and O, respectively [12].
The atomic structure of the surface corresponding to the minimum of the slab total energy with respect to the 7 independent atomic coordinates was found using the least square fit of the energy surface to the quadratic form. The major displacements from the perfect bulk positions are that of Al atoms in the top surface layer. The inward relaxation value of 68% of the Al – O bulk interlayer distance have been found, which is 20% larger than the previous HF result [4]. This difference can be attributed to the more extended basis set and to the larger number of degrees of freedom taken into account in the minimization procedure. Further extension of the basis set with $d$ polarization functions on Al increases this relaxation by 5%. However, our relaxation is still smaller by 17% than that obtained in the LDA calculations [5]. The surface relaxation energy, defined as the difference in total energies of relaxed and unrelaxed slabs, was obtained to be 6.23 eV per unit cell. Three quarters of the relaxation energy gain is due to the inward displacement of the surface Al.
In the MIES experiment the interaction of the He$^*$ probe atom with the surface takes place via the Auger deexcitation process along the entire trajectory in front of the surface. The projectile moves with thermal kinetic energy and the electron emission occurs on the incoming path of the trajectory at comparatively large distances (several atomic units, typically); the transition energy is not strongly influenced by the actual interaction potentials of the initial and final states. We have shown on several occasions [7, 6] that under these conditions the MIES spectra is proportional to the surface density of states relevant for the interaction with He$^*$.
The spectrum of the emitted electrons may depend on the incident He$^*$ coordinate along the surface. In order to simulate this dependence, we have calculated the DOS projected to the floating He $1s$ orbital as a function of its coordinates. We find that the shape of this DOS does not depend on the distance from the surface (vertical z coordinate) while its magnitude decreases exponentially in the range of $z$ varied between 2 and 4 Å reflecting the average behavior of the overlap integral between the floating AO and surface wave function.
In Fig. 1 we show the He (1s) projected DOS averaged along the surface at a distance $z = 2.1$ Å which is close to the typical distance where the Auger deexcitation of He$^*$ projectile takes place. The dotted curve in Fig. 1 was calculated for the slab geometry predicted by the LDA method.
In this paper we do not develop the rigorous theory for the UPS spectra, we merely assume that the structure in the valence band UPS (HeI) spectra is proportional to the valence band DOS of the near-surface region. It was proved to be a good approximation for the case of MgO (100) surface [6] and we believe that this is also the case for Al$_2$O$_3$ (0001). The DOS projected to the surface O atom is given in Fig. 1 along with UPS data.
**Comparison with experiment.** The spectra represented by light lines in Fig. 1 were obtained from corundum films grown by coadsorbing Al and O$_2$ molecules onto a W (110) substrate held at 750K [8]; the film thickness was estimated as 13 Å. Electron energies are given with respect to the vacuum level. The value of 3.8 eV for the surface workfunction of the film was determined from the UPS spectra.
The MIES spectra show very little intensity above the top of the valence band (VB) ($E > 9.3$ eV). We attribute the "soft tail" of the valence band emission to the ionization of such surface oxygen species which have a lower coordination than in the bulk, located at kinks, steps, etc. The VB emission consists of a pronounced peak ($E = 9.8$ eV) and a shoulder ($E \approx 12.3$ eV) towards higher binding energies. The UPS spectra show the same two VB features ($E = 9.8; 12.3$ eV). The weak intensity above the top of the VB (denoted as B) is not well understood at present: it may be due to emission from the underlying substrate and/or from point defects located underneath the surface. The high energy part of both spectra above 16 eV (denoted as A) is known to be affected by the emission of secondary electrons. Thus this energy region will not be interpreted here.
**Fig. 1.** The experimental MIES (left panel) and UPS (right panel) spectra for corundum films produced by coadsorption of Al and O$_2$ on W (110) substrate [8] (thin curves). Heavy curves show the result of theoretical simulations of MIES and UPS. Dotted curve is theoretical MIES spectrum for the surface structure predicted by LDA method [5]. HF method have been used to calculate DOS. The energy scale corresponds to the experimental electron binding energy. Theoretical curves are shifted by 1.7 eV in order to match the experimental top of the VB.
The calculated surface DOS is in good agreement with UPS spectra (Fig. 1). This confirms that the photoemission spectrum at HeI incident photon energy is mainly dependent on the initial state electron wavefunction. The final state effects including the dispersion of the conduction band and photoelectron scattering at the surface potential barrier might be important for larger photon energies and angle resolved UPS interpretation, but are probably less important in our case.
The result of the MIES spectra simulation with He $1s$ orbital as a probe of the surface DOS is close to the experiment. However, the peaks in the experimental spectra appears broader than in the simulated one as it was also the case in MgO. Three possible explanations have been suggested for this discrepancy [6]. As it is seen from Fig. 1, the second peak in the simulated MIES spectrum at the LDA geometry has significantly lower amplitude relatively to the HF geometry, thus giving less satisfactory agreement with experimental spectrum.
From the comparison of the surface DOS and that projected to $1s$ orbital of the He$^+$ projectile with the relevant UPS and MIES spectra, respectively, it is seen that the agreement between theory and
experiment is satisfactory, the positions of the peaks and their relative magnitudes are similar. The comparison of the MIES spectrum with theoretical simulations allows us to discriminate between the HF and LDA optimized slab geometries in favor of that found in this paper using the HF technique.
**Conclusion.** The results of present calculations demonstrate that in corundum, like in MgO, the shape, relative positions and intensities of the peaks in the surface density of electronic states (DOS) are in satisfactory agreement with the experimental HeI photoelectron spectra (UPS). The metastable impact electron spectrum (MIES), arising from the Auger deexcitation of the He$^-$ metastable atom near the surface can be approximated by the DOS projected to a floating 1s atomic orbital (AO) which simulates the probing He atom. This method appears to be more accurate for the simulation of the MIES spectra than just the comparison with DOS projected to the $p_z$ AO of surface atoms used for MgO [6]. We also found that both DOS strongly depend on the surface relaxation. This allows us to study details of the surface atomic structure by means of a comparison of the projected DOS calculated using *ab initio* methods with experimental MIES and UPS spectra. The present Hartree-Fock calculations predict an inward relaxation of the top Al layer as large as 68% of the Al - O interlayer distance. This slab geometry gives the surface projected DOS which is in the best agreement with the experimental MIES and UPS spectra.
**Acknowledgments.** The authors are greatly indebted to the Deutsche Forschungsgemeinschaft for the financial support through the grants Ke 155/24-1 and 436-LET 113/1. VEP and EAK have been partly supported by the EC-HCM project No. ERB CIPDCT 940008. JDG would like to thank the Royal Society for funding. We are grateful to N. E. Christensen for providing us access to the CONVEX computer at Aarhus University (Denmark), to A. Svane for supplying us with the code for the least square fitting to the quadratic form and to M. J. Gillan for providing the equilibrium atomic configuration of the corundum slab, obtained with LDA method.
**References.**
[1] Science of Alumina (R. H. French, A. H. Heuer. Eds.) *J. Am. Ceram. Soc.* 77, 292-453 (1994)
[2] P. W. Tasker, *Adv. Ceram.* 10, 176-89 (1988)
[3] W. C. Mackrodt, *J. Chem. Soc. Faraday Trans. 2*, 85, 541 (1989), W. C. Mackrodt, *Phil. Trans. R. Soc. A*, 341, 301 (1992)
[4] C. Pisani, M. Causà, R. Dovesi, C. Roetti, *Progr. Surf. Sci.* 25, 119 (1987); M. Causà, R. Dovesi, C. Pisani, C. Roetti, *Surf. Sci.* 215, 259 (1989); L. Salasco, R. Dovesi, R. Orlando, M. Causà, V. R. Saunders, *Mol. Phys.* 72, 267 (1991)
[5] I. Manassidis, A. De Vita, M. J. Gillan, *Surf. Sci. Lett.* 285, L517 (1993); I. Manassidis, M. J. Gillan, *J. Am. Ceram. Soc.* 77, 335 (1994)
[6] D. Ochs, M. Brause, J. Günster, W. Maus-Friedrichs, V. Kempter, V. E. Puchin, L. N. Kantorovich, A. L. Shluger, *Surf. Sci.* (1996) in press.
[7] A. Hitzke, J. Günster, J. Kolaczkiewicz, V. Kempter, *Surf. Sci.* 318, 139 (1994);
[8] J. Günster, A. Hitzke, M. Brause, Th. Mayer, V. Kempter, *Nucl. Instr. Meth. B*, 100, 411 (1995).
[9] J. Günster, Dissertation, TU Clausthal (1996), ISBN 3-931443-62-0
[10] P. J. Chen, D. W. Goodman, *Surf. Sci.* 312, L767 (1994)
[11] C. Pisani, R. Dovesi, C. Roetti, *Hartree-Fock Ab-initio Treatment of Crystalline Systems, Lecture Notes in Chemistry*, Vol. 48, Springer Verlag, Heidelberg, 1988; R. Dovesi, V. R. Saunders, C. Roetti, *CRYSTAL-92 User Manual*, QCPE program n.577, Bloomington, Indiana, 1989.
[12] W. C. Mackrodt (to be published); J. D. Gale, C. R. A. Catlow and W. C. Mackrodt, *Modelling Simul. Mater. Sci. Eng.*, 1, 73 (1992)
Defects in Insulating Materials
doi:10.4028/www.scientific.net/MSF.239-241
Atomic Structure of the (0001) Corundum Surface
doi:10.4028/www.scientific.net/MSF.239-241.633
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The One with the Feminist Critique: Revisiting Millennial Postfeminism with *Friends*
In the years that followed the completion of its initial broadcast run, which came to an end on 6th May 2004 with the airing of the tenth season finale “The Last One” (S10 E17 and 18), iconic millennial US sitcom *Friends* (NBC 1994-2004) generated only a moderate amount of scholarly writing. Most of it tended to deal with the series principally in terms of its institutional context, and to discuss it as an example of “must-see TV” -- appointment viewing of the kind that was prevalent in 1990s television culture. This, of course, was prior to the widespread normalization of time-shifted viewing practices to which the online era has since given rise (Lotz 2007, 261-274; Curtin and Shattuc 2009, 49; Gillan 2011, 181).
*Friends* was also the subject of a small number of pieces of scholarship that interrogated the show’s negotiation of the cultural politics of gender. Some noteworthy entries that emerged in the mid-2000s included, for example, Naomi Rockler’s discussion of its liberal feminist individualism, and what she argued to be the postfeminist depoliticization of the hollow feminist rhetoric that intermittently rose to prominence in the show’s hierarchy of discourses of gender, and in its treatment of women’s issues (2006). The same year also saw the publication of work by Kelly Kessler that interrogated issues and problems arising from some of the limitations inherent to the show’s depiction and treatment of queer femininities (2006). The same year also saw acknowledgement in a piece by feminist television scholars Janet McCabe and Kim Akass of the significance of *Friends* as a key text of postfeminist television culture (2006). In their contextual overview of feminist television criticism that spans the period from second wave feminism to their mid-2000s time of writing, McCabe and
Akass rightly situate *Friends* alongside, and in relation to, a number of contemporaneously running series that have been much more widely discussed and critiqued by feminist scholars, critics and commentators as touchstone texts for US television culture’s various takes on gender roles and gender performance in the period of millennial postfeminism (2006, 115). These texts have long served as textual reference points for and symptomatic examples of television’s negotiation of the postfeminist cultural zeitgeist of the late 1990s and early to mid-2000s. Specifically, they characterize *Friends* directly as a “post-feminist series” (115), placing it explicitly alongside some of its most iconically postfeminist contemporaries in the US television landscape of the time, including *Ally McBeal* (Fox 1997-2002), *Sex and the City* (HBO 1998-2004) and *Desperate Housewives* (ABC 2004-12).
The three latter series were highly culturally impactful during (and in some cases also after) the period of their respective runs, and all three have generated key entries in what has since become the canon of feminist television studies scholarship to have emerged from the first wave of feminist criticism of postfeminist television culture (e.g. Lotz 2001; Moseley and Read 2001; Dow 2002; Ouellette 2002; Akass and McCabe 2003; Arthurs 2003; Negra 2004; McCabe and Akass 2006; Jermyn 2009). Their cultural currency also gave rise to some of the most noteworthy flashpoints of millennial postfeminist media culture. For example, the publication of the famous June 29, 1998 edition of *Time* magazine, which featured the title character of *Ally McBeal* on its cover as the poster girl for present day postfeminism, above a strapline that posed the question ‘Is Feminism Dead?’ Akass and McCabe’s inclusion of *Friends* amongst this group of popular cultural powerhouses and in the context of its place in the history of feminist television criticism, is certainly indicative of its credentials as a postfeminist text, and therefore its pertinence to the concerns of scholars and critics of postfeminist
culture. But the fact that it receives only a brief namecheck and that no scholarship on the series is cited in contrast to the relative abundance of scholarship cited about its aforementioned contemporaries, is symptomatic of a tendency by feminist scholars to overlook the extent and the specifics of the cultural significance of *Friends*, and its relationship to contemporary gender discourse, especially postfeminism.
Thus, notwithstanding the contributions made by these scholars and others (e.g. Hersey Nickel (2012) on the show’s cultural politics of motherhood) to the extant body of work on the series, *Friends* as a site of analysis remains a curious, almost structuring absence from the central canon of the first wave of postfeminist media criticism. This absence is curious considering the place of *Friends* at the forefront of millennial popular culture in the Anglophone world and beyond, but also in light of its long-term syndication both within the US and in countries across the world since that time (Kessler 2013, 936; Lotz 2014, 134; Vogel 2014, 256-257). And it is structuring in the sense that *Friends* was the stage on which many of the familiar tropes of postfeminism that are interrogated across this body of work, appear, in retrospect, to have been tried and tested.
Such tropes, which became normalized in the postfeminist culture of the early twenty-first century, span the spectrum of femininities and masculinities that populate the representational landscape of the series, ranging from the runaway bride discourse that underpins the characterization of Rachel Green (Jennifer Aniston) in the inaugural episode (S1 E1 “The One Where It All Began”); to the homosocial dynamic between Chandler Bing (Matthew Perry) and Joey Tribbiani (Matt Le Blanc) and the masculine gender discourse of ‘bromance’ that presciently circulates around the series’ articulation of their friendship; and the matter-of-fact depiction of Ross Geller’s (David Schwimmer) hands-on parenting of his son Ben (and later daughter Emma), among
others. In many ways this corresponds to a configuration of ideal masculinity that I have elsewhere theorized as “postfeminist fatherhood” and which I argue to have been the hegemonically ideal formation of manhood for millennial postfeminism (Hamad 2014). This article thus aims to contribute toward redressing, in part, the absence of *Friends* from feminist media studies scholarship on postfeminist culture at the turn of the millennium through interrogation and contextualization of the series’ negotiation of these tropes of postfeminist gender discourse. In so doing, I therefore argue for the status of *Friends* as an unacknowledged and structuring ur-text of millennial postfeminist media culture.
**Postfeminist Neo-Traditionalism in *Friends***
Establishing the de facto postfeminist credentials of the series and its central sextet of twenty-something friends, Hersey Nickel observes that, “the characters display no interest in political action and seem unaware that they are benefitting from that of the feminists who came before them.” (2012, 26) With particular reference to the female characters Rachel, Monica Geller (Courteney Cox) and Phoebe Buffay (Lisa Kudrow), she goes on to note that while they “may not be feminists themselves… they have [nonetheless] benefited from the achievements of the second wave.” (Hersey Nickel 2012, 30; see also Projansky 2001, 68-70; McRobbie 2004; Tasker and Negra 2007). Elsewhere, in locating the series within postfeminist culture, the one observation that Akass and McCabe do make about it situates *Friends* as one of a range of contemporaneous media fictions of postfeminism that “perpetuate a narrative of supposedly liberated women desiring romance – longing for a man to *complete* her,” thus correspondent with the arch narrative of innumerable media fictions of millennial postfeminist femininity. (See for example Genz 2009, 2010; Taylor 2011, 89-90)
In feminist media studies our go-to reference points for this figure have tended to be found in the aforementioned central characters of Ally McBeal (Calista Flockhart) and Carrie Bradshaw (Sarah Jessica Parker) from millennial US television series *Ally McBeal* and *Sex and the City*, as well of course as the titular Bridget Jones (Renee Zellweger) of *Bridget Jones’s Diary*, both the novel (Fielding 1996) and the film adaptation of the same name (Sharon Maguire, 2001). But there is an equally vividly and arguably even more extremely drawn iteration of this cultural figure in *Friends* in the character of Monica. Most notably in the early seasons, Monica epitomizes this figure of the “postfeminist singleton” (Genz 2009, 135) and she embodies and articulates a discourse of neo-traditionalism that is centered on (white) heteronormative romantic love, and the fetishization of the domestic sphere, encompassing both domestic labor and the inhabitation of domestic space. This mode of neo-traditionalism has featured as a defining component of discourses of postfeminist femininity since the 1980s, going as far back as Susan Faludi’s now iconic polemic *Backlash* (1992). Faludi sheds light on the phenomenon of what she describes as the “New Traditionalist” woman who withdraws from the public sphere and “gladly retreats to her domestic shell.” (77) Faludi terms this phenomenon “cocooning” (1992, 77), but in later feminist media studies, it would be more fully theorized and conceptualized by Diane Negra, who terms it “postfeminist retreatism.” (2009, 16)
As Rockler points out, the characterization of Monica is centered upon her “obsessive desire for domestic bliss” and her “fantasies... about domestic tranquility.” (2006, 252) This can be seen not only in her intense desire to couple, which is evident from the early seasons, long prior to the formation and continuation of the long term heteronormative relationship that she goes on to experience with neighbor and friend Chandler. It can also be seen in her fetishistic and obsessive relationship to domestic labor, and her
equally intense desire to perform it, on which a great deal of the show’s humor as it relates to Monica’s character is contrived and focused. Monica’s two great desires as a postfeminist neo-traditionalist peak and dovetail most pointedly and visibly in the 1998 episode “The One With All the Wedding Dresses.” (S4 E20) An instance of mistaken identity (typical to the set-up of innumerable sitcom scenarios in this series and beyond) when Monica picks up her soon-to-be sister-in-law Emily’s (Helen Baxendale) wedding dress gives her the opportunity to model it in the store – an opportunity that she readily takes. She is so seduced by the image that she is left with of herself as a bride that upon returning home with the dress, she is tempted to once again put it on, and this time to play out a conflated fantasy of both matrimonial and domestic bliss, as she gleefully washes dishes while dressed up like a bride on her wedding day. The bridal image likewise proves so seductive to the show’s other female characters that by the end of the episode, both Phoebe and Rachel have joined Monica for her wedding day themed costume party. The episode culminates in a scene that finds the three of them sitting together on the living room sofa, drinking beer and eating popcorn, all dressed in bridal gowns. Moreover, invoking Negra’s notion of postfeminist “time crisis” (2009, 57), which she elucidates as the means by which postfeminism defines and provides parameters for the mapping out of a succession of normative life stages for women – specifically in this case the iteration that puts time pressure on women to marry while relatively young that she terms “matrimonial panic” (85) – one of the episode’s most noteworthy jokes in this regard comes with Phoebe’s deadpan remark to the effect that she rented her bridal dress from a store called “It’s Not Too Late.”
We are of course supposed to see Monica as excessive and ridiculous in her near obsessive compulsive performance of domestically located neo-traditionalism. There is certainly an argument to be made that the use of humour here has great potential to
complicate and challenge the hegemonic struggle to negotiate postfeminist ideology through her characterization in this way. However, given her long-term narrative arc that adheres both to the inherent conservativeness of the sitcom genre and the dictates of the postfeminist life script for women in having her couple, marry, have children and relocate from the city to the suburbs, the potential for this humour to operate to subversive or counter-hegemonic ends is contained.
**Friends** and the Postfeminist “Runaway Bride”
Staying with bridal themed tropes of postfeminist culture, another symptomatic trait of this kind to be found in *Friends* is the fact that the premise of the series is underpinned by a typically contrived “runaway bride” narrative. Specifically, at the outset of the inaugural episode (S1 E1 “The One Where It All Began”) the formation of the central sextet of titular friends is completed at the outset when, having fled from the altar on her wedding day, away from the suburbs and toward the city, toward her new urban family, and toward what will go on to become her on-again off-again romantic relationship with Ross, Rachel bursts into Central Perk – the coffee house in which much of the show’s action takes place – looking for her high-school best friend Monica, and quickly finds her.
The cultural figure of the runaway bride of course has a long history far beyond the timeframe of millennial postfeminism. It has in fact long served as an iconic semiotic signifier of and visual and discursive shorthand for newly liberated and/or empowered femininity (Negra 2005), signifying (albeit often ambivalently or ideologically disingenuously) a symbolic rejection of repressive patriarchal social structures and institutions, and the subjugated place of women within them. As a number of scholars have noted elsewhere, the runaway bride is in fact a historically entrenched cultural
archetype that has been used to negotiate and articulate fluctuations and shifts in gender norms and social roles at different historical points over time, and to likewise signify and culturally negotiate the destabilization of patriarchal institutions (Kendall 1990; Rickman 2001; Gehring 2008; Negra 2009; Mizejewski 2010; Hamad 2010). A noteworthy early flashpoint example of this figure in popular US film culture is the character of spoiled heiress Ellie Andrews (Claudette Colbert) in the highly culturally impactful and much discussed classical Hollywood screwball comedy *It Happened One Night* (Frank Capra, 1934), who flees from her own wedding in the film’s narrative denouement. Further well-known flashpoint examples of runaway brides in popular films of subsequent decades have included Elaine Robinson (Katharine Ross) in *The Graduate* (Mike Nichols, 1968) and Judy Benjamin in *Private Benjamin* (Howard Zieff, 1980). This figure has thus persisted over time, and intermittently found renewed purchase as her signification has adapted to shifting cultural, social and political terrain, including of course the onset of millennial postfeminism. The “hypermatrimoniality” (Negra 2009, 81) of millennial postfeminism, in conjunction with its circulation and negotiation of politically disingenuous discourses of liberation and empowerment, re-cemented the representational efficacy and cultural viability of runaway bride narratives and the runaway bride trope.
The figure of the runaway bride and the discourses of gender that circulate around her thus found renewed currency in postfeminist culture, and images and discursive formations of this figure proliferated and intensified in millennial media fictions. These include the Hollywood film and Julia Roberts star vehicle *Runaway Bride* (Garry Marshall, 1999), the 2006 Christmas special of rebooted telefantasy series *Doctor Who* (BBC 2006-) “The Runaway Bride,” and as Negra explores at length in her interrogation of postfeminist family values and social fantasies, in the mediation of the bizarre US
news story of runaway bride Jennifer Wilbanks who secretly absconded from her home, her family and her life a few days prior to her planned wedding to her then fiancé (2009, 36-45). The millennial runaway bride was thus, as Negra writes “very much in keeping with a postfeminist media culture that tends to recycle classical representational codes but strip them of their progressive and/or ambivalent features.” (2009, 42)
Notwithstanding the initial challenge posed by these figures to the patriarchal status quo of these narratives, the endgame is nonetheless still to achieve the romantically driven formation of the {white} heteronormative couple. Unsurprisingly, this remains the case in *Friends*. Rachel’s initial status as a runaway bride may have given rise to her inhabitation of a formation of femininity that was characteristically postfeminist, in terms of her being an aspirationally upwardly mobile singleton who transitions from low grade service work to a professional career in the fashion industry, and who seems (in the early seasons) to give equal weight to her friendships (especially with other women) and her (hetero) sexual encounters. And it may have been a jumping off point for a narrative journey that navigated her through a series of archetypally postfeminist pitfalls, pleasures and dilemmas. These include sexual liberation (via her sexual encounters and/or romantic relationships with various male partners over the years), striking a balance between the fulfilment of professional ambition and the attainment of personal satisfaction in the domestic sphere (although when Rachel becomes a mother, the realities of time management inherent to her situation as a working woman and a single mother are glossed over, to say the least), and the felt need to adhere to the gendered demands of the heteronormative life script for a (white, privileged) woman, i.e. get married, have children, retreat to the suburbs, and downshift her career, to name only some. But ultimately *Friends*, like most sitcoms, conceded to the inherent conservatism of the sitcom genre in working towards her eventual (re)coupledom.
Rachel sacrifices the chance to take up a major job opportunity in Paris in order to remain in New York and couple with Ross. (S10 E18 “The Last One”)
**Friends and Postfeminist Masculinities**
Notwithstanding the fact that the corpus of scholarship on postfeminism and postfeminist media culture continues to grow and expand, it remains the case that masculinities in postfeminism remain under explored and relatively lightly theorized. There are key contributions towards redressing this imbalance (made by, for example, Modleski 1988; Byers 1996; Projansky 2001, 84-86; Dow 2006; Thompson 2012; Gill 2014; Abele and Gronbeck-Tedesco 2015; O’Neill 2015; Clark 2016), but postfeminist masculinities remain less well served by scholars than postfeminist femininities on which there now exists a sizeable, robust and variegated body of work. In the main, this is also true where scholarship on *Friends* is concerned. Although the work of Lauren Jade Thompson is highly noteworthy in this regard for its discussion of the show’s male characters in terms of postfeminist masculinity, in her doctoral study of masculine formations in millennial cultures of postfeminist film and television (2012).
As I, and others, have argued elsewhere, “a hallmark of postfeminism is its dualistic approach to configuring ideal masculinities that conflate [otherwise] competing modes of masculinity.” (Hamad 2014, 40). Specifically, through a mutually constitutive binary of strong and sensitive masculinity that renegotiates heretofore outmoded norms by accommodating qualities of masculinity that are reconfigured as desirable following the challenge posed to the hegemony of these norms by second wave feminist re-evaluations of their efficacy, worth and morality. *Friends* was typically attuned to the millennial postfeminist cultural purchase of this formation of masculinity, and this is crystallized in the 1997 episode “The One With Ross’s Thing” (S3 E23) in which Phoebe
is shown to be struggling with the dilemma of which of the two men she is currently dating she should choose to be her boyfriend: hard-bodied alpha male firefighter Vince, or sensitive intellectual kindergarten teacher Jason. Channelling both the cultural logic of postfeminist masculinity and the narrative premise of the high-grossing Hollywood film *Kindergarten Cop* (Ivan Reitman, 1990) in which hard-bodied alpha male police officer John Kimble (Arnold Schwarzenegger) goes undercover as a kindergarten teacher, the solution provided to Phoebe’s dilemma is found in the contrivance of a comedic scenario designed to expose her dilemma as having been premised on a false binary of masculinity of Pheobe’s own assumptive making.
In the first instance, the two men appear to offer embodiments of different, opposing and seemingly competing modes of masculinity, each of which is presented as desirable and appealing to (hetero) women for different reasons, and in ways that differently correspond to the gender mores of millennial postfeminism such as, for example, the sexual objectification of the male body for the pleasure of a (hetero) female gaze and the problematic suggestion that this constitutes some kind of gesture toward gender equality. As Phoebe explains, “Vince is great… cos’ he’s a *guy* guy. He’s just so burly. *So very burly;*” but, she continues “Jason’s really sensitive.” And therein lies her dilemma. As the episode continues, a scenario is contrived to showcase the extent to which it is actually a composite of these two masculine modes that provides the formation of masculinity which constitutes the ideal both for the mores of the current cultural moment, and for Phoebe. After considering her options, she chooses Jason and must break the news that she no longer wishes to see Vince, whereupon, to Phoebe’s dismayed surprise, he immediately reveals himself to be as “sensitive” and emotionally literate as Jason, breaking down in tears, and retreating to “go write in [his] journal.” Thereafter, she pays a visit to Jason, but is equally taken aback by the sight of a toned
and muscular Jason performing alpha masculinity at his apartment when, to her obvious delight, she finds him shirtless and undertaking home improvements with a power tool. She, however, is left with neither Vince nor Jason as a potential romantic partner, when the two men happen upon one another, discover that they have been two-timed and both end their relationships with her. The episode thus ends with a kind of retributive comeuppance for Phoebe, as a result of her ostensibly reductive treatment of their respective masculinities in viewing them as mutually exclusive and dichotomous, and for having reversed the terms of an inherently problematic dynamic in heteronormative gender relations in her determination to adopt behavioural practices associated with hegemonic masculinity and “play the field.”
**Metrosexuality in Friends**
The ‘metrosexual’, a term first coined by British journalist Mark Simpson in his now iconic polemic on 1990s masculinity for UK newspaper *The Independent* (1994), and published in the same year that *Friends* began its initial broadcast run, is a much discussed, debated and critiqued formation of postfeminist masculinity (Hyman 2004; Miller 2005; Cohan 2007; Coad 2008; Ervin 2011; Simpson 2013; Hall 2015). Furthermore it is a configuration of maleness that depends on the masculine adoption of the supposedly feminine traits of consumerism and narcissism, and that has been widely interrogated in feminist media studies writings on masculinities in postfeminism (e.g. Chapman and Rutherford 1988; Nixon 1996, 1997). The defining characteristics of the metrosexual male in millennial postfeminism have correspondingly been identified and discussed by various writers as his urbanity, style consciousness, a proclivity for personal grooming, concern over his appearance, and the consumption of purchasable
lifestyle commodities and experiences. His lifestyle is thus necessarily a consumerist one, which can only be maintained through shopping and spending.
As Steven Cohan rightly and corroboratively notes, “the metrosexual reimagines masculinity from a postfeminist perspective,” which is “feminized as narcissistic” in that “the metrosexual willingly displays... [and] perform[s] his masculinity through his ability to consume.” (2007, 182) Nowhere has postfeminist culture articulated a discourse of metrosexual masculinity more visibly and persistently than through the mediated celebrity persona of British former football star and pop culture icon David Beckham. One of the first big media flashpoints for the metrosexuality of his celebrity masculinity came in June 1998 with the tabloid print media publication of what would go on to become an extremely widely mediated image of the then footballer dressed in a sarong while out for the evening with his then fiancée Victoria Adams during the 1998 World Cup in France. The saleability to men of items like these, that might previously have been restricted to female market demographics, is thus central to the notion of metrosexuality, and the comparable marketability of an accessory that became labelled with the epithet of the “man bag” (ostensibly a satchel intended to serve the same function for men as a handbag or purse does for women users of such items) has been highly instructive in this regard. Unsurprisingly, Beckham again was at the media forefront of the cultural negotiation of this item as a sartorial marker of this formation of postfeminist masculinity in the mid-2000s. This process of negotiation arguably peaked across the spring and summer of 2006 when a number of male celebrities (including Jude Law, Brad Pitt, and of course David Beckham), all differently associated with various formations and iterations of postfeminist masculinity, were photographed and written about in the mainstream media for their respective use that season of a range of designer so-called “man bags.” (Bilmes 2006)
As is so often the case, *Friends* was ahead of the cultural curve in responding to this consumer phenomenon of millennial cultures of masculinity. Specifically in the 1999 episode “The One With Joey’s Bag,” (S5 E13) in which a comedic scenario is contrived around Joey’s purchase of a man bag, an item that thereafter came to serve as an instant visual and sartorial shorthand for the signification of the cultural figure of the metrosexual man. Visiting Rachel at Bloomingdale’s where she works as a buyer and personal shopper, Joey, an actor, is taking her advice on dressing for an audition. To Joey’s evident bewilderment, Rachel adds a finishing touch to her friend’s outfit when she grabs what appears to be a handbag intended for (normatively feminine) women from the shoulder of a feminine contoured mannequin and proudly presents him with it. Joey leaves no doubt about the extent to which he views this item as gendered, and in which direction, with his incredulous response “Really?! A purse?!” Rachel’s immediate disavowal of this reading with her insistence that the accessory is a unisex “shoulder bag” rings hollow with Joey, even after her attempt to negotiate the bag’s currency, and its potential to enhance his cultural capital, when she situates it as emblematic of an emergent trend in fashion cultures of masculinity of the moment: “All the men are carrying them in the spring catalogue. See? Men. Carrying the bag.” Thereafter, most of the humor in the episode, as it relates to Joey, derives from the episode’s use of his man bag to destabilize normative gender binaries, via a combination of comedic appeal to the recognizability of the postfeminist figure of the metrosexual, and humorous disavowal of its potential challenge to hegemony by falling back on homophobic and transphobic jokes that serve to resituate Joey within the semiotic landscape of hegemonic masculinity. This takes place through a combination of ironic dismissal (e.g. Chandler’s sarcastic exclamation of “Wow, you look just like your son, Mrs Tribbiani!”), and the fact that ordinarily, as Shelley Cobb and I write elsewhere, of the three central
male characters “it is Joey who is depicted as securest in his heterosexuality and with the normativity of his masculinity.” (forthcoming 2018)
**Homosocial Dynamics and Proto-‘Bromance’ in *Friends***
Also occupying the upper levels of postfeminist culture’s hierarchy of discourses of masculinity are the masculine relational dynamics attendant to homosocial relationships between male friends, that have since (and sometimes retrospectively) come to be vividly and recurrently articulated through the ‘bromance’ trope/epithet. In short, such dynamics and cultural iterations thereof serve to showcase the possibilities, ambivalences and limitations of ostensibly platonic but frequently homoerotically charged intimacies between men in mediated form across the representational landscape of millennial postfeminist popular culture. In the mutable and ever expanding pop culture lexicon, the negotiation of so-called ‘bromantic’ dynamics between men was normalized in the 2000s through the vernacular and rhetorical adoption of the ubiquitous phrase “I love you, man.” This permeated spheres of popular media, arguably peaking and crystallizing with the late 2000s release and reception of the Hollywood comedy and Paul Rudd/Jason Segel star vehicle *I Love You, Man* (John Hamburg, 2009).
The makers of *Friends* were thus prescient in setting a cultural tone in this regard, both at a micro textual level -- as in the 1997 episode ‘The One Where Chandler Crosses the Line’ (S4 E7) when Joey writes “I love you man” on a notice board in gratitude for Chandler’s recent purchase of new furniture for their apartment -- and also at broader narrative and discursive levels. So much so, that homosociality and bromance are the discourses of gender that have thus far generated the most interest in *Friends* from scholars. Writings thus most often focus on the relationship between roommates Chandler and Joey, and correspondingly interrogate their masculinities by
looking at them through this lens. Ron Becker, for example, discusses *Friends* as symptomatic of a millennial television culture in which homophobia is renegotiated through these discourses of bromance, homosociality and through the figure of the so called “bromosexual.” (2014) Rebecca Feasey likewise discusses dominant discourses of masculinity in *Friends* in terms of homosociality, pointing to the extent to which “the relationship between Chandler and Joey can be seen to widen the degrees of acceptable personal disclosure between men by ‘representing new ways of men dealing with each other’ with emotionality and [with] feeling as the foundation of their relationship.” (2008, 26) The series even went so far as to self-reflexively signal the show makers’ intentionality in configuring the masculinities of Chandler and Joey to this template of postfeminist homosociality in the 2000 episode “The One With Mac and C.H.E.E.S.E.” (S6 E20) In the main this episode was comprised of short vignettes of footage from previous episodes and seasons, one of which was compiled to make an overt point of showcasing and knowingly remarking upon Chandler and Joey’s propensity to hug one another.
This montage serves to humorously and vividly showcase bromance as the structuring dynamic of Chandler and Joey’s friendship through its repeated depiction of the physical intimacy that goes hand in hand with their regularly recurring hugs. However, the ironic mode through which this remediation takes place, and Chandler’s ultimate refusal of Joey’s embrace evinces ambivalent anxiety about the potential challenge to the hegemony of normative masculinity posed by their intimacy, and which is distilled into his curt refusal of it on becoming conscious of the frequency of its recurrence.
The tendency of bromance to thus invoke the possibility of a homoerotic dynamic between male friends, in order to dismiss and disavow it, is one of the many ways in which the plethora of iterations and manifestations of dualistically configured
postfeminist masculinities are enabled to have their cake and eat it too. By offering up the possibility of a challenge to normative masculinity, only ultimately to re situate that challenge within patriarchal norms, the hegemony of straight white masculinity is thus negotiated. As Becker writes, thinking about this phenomenon in the context of 1990s popular culture, “while expressions of homophobia became increasingly taboo in certain social circles during [this decade], constructions of hegemonic masculinity remained firmly tied to heterosexuality. The era’s mistaken sexual identity plots foregrounded the pitfalls of male bonding for straight men trying to navigate this shifting and contradictory terrain.” (2014, 240) He goes on to assert that the particular episodes of *Friends* under his scrutiny “relied on (and reinforced) the perceived illegibility of sexual identity and focussed on the anxiety it produced for straight male characters” arguing that “in the newly gay inclusive world of these sitcoms, homosocial relationships easily got tangled up in homosexual ones” pointing to the 1995 episode “The One With the Baby on the Bus” (S2 E6) in which Chandler and Joey are mistaken for a pair of gay fathers after having been tasked with caring for Ross’s infant son when he is forced to spend the day at the emergency room following an allergic reaction to kiwi fruit. This example is also highly symptomatic of how the series harnessed the cultural currency of paternally inflected masculinities to negotiate postfeminist discourse, as I expound upon in the next section.
**Friends, Postfeminism and Parenthood**
In line with broader tendencies elsewhere in postfeminist popular culture, at times *Friends* also articulates the practice and experience of parenting roles in ways that seem to naturalize fatherhood for men and denaturalize motherhood for women. As Hersey Nickel has observed “multiple episodes reinforce the theme that nothing about
motherhood comes naturally” for the women of the series. (2012, 37) In addition to this, it is also noteworthy that from its earliest episodes the series used humour to conversely articulate a discourse that negotiated the idea that fatherhood can and does come naturally to suitably postfeminist men. For example, in the aforementioned episode “The One With the Baby on the Bus” (S2 E6), Ross’s infant son Ben is shown to cry unremittingly when placed in the arms of an aggrieved Monica, but to cease immediately in the arms of any one of the male characters that he is placed with.
As indicated earlier, a scenario is also contrived in this episode whereby Chandler and Joey are placed in charge of baby Ben for the day after Ross is taken ill with an extreme allergic reaction. Between them, they decide to attempt to harness the desirability of fatherhood and male parental caregiving as a means of attracting women. Or as Becker puts it, they attempt to use Ben as a “chick magnet.” (2014, 238) Adorned with the standard range of paraphernalia for an excursion with an infant, Chandler and Joey observe two women at a bus stop watching them and smiling. When the realization finally dawns that the baby has given rise to heterosexual flirting between them and the women, they board the bus and revel in the attention being lavished on the baby, and by association on them, resulting in them successfully securing a drinks date with their new acquaintances. This narrative scenario is also seen elsewhere in millennial popular cultural fictions of postfeminist masculinity such as Nick Hornby’s novel *About a Boy* (1998), which was adapted first into a feature film starring Hugh Grant (Chris Weitz and Paul Weitz, 2002) and then a US television series (NBC 2014).
Returning to the idea invoked earlier that *Friends* is complicit in the cultural tendency to naturalize fatherhood for men and denaturalize motherhood for women, it is instructive that in the 1996 episode “The One Where Old Yeller Dies” (S2 E20), Ross’s apparently effortless secondary caregiving to his son is placed in contrast with Rachel’s
manifest discomfort in the company of the infant, whom she holds in front of her body by his underarms stiffly and awkwardly and facing away from her. Despite Ross’s attempt to school her in maternal comportment -- “Just hold him like you would hold a football.” -- Rachel’s response manages to at once normalize the gendered cognitive dissonance between women and the traditionally masculine sport of American football - “This is how I would hold a football!” - at the same time as negotiating the naturalization of Ross’s paternal instincts in contradistinction to the absence of her own maternal ones.
This denaturalization of motherhood is echoed following the birth of her own baby Emma in the 2002 episode “The One Where Emma Cries” (S9 E2). Here, Rachel, Monica and Phoebe between them are unable to find a way to stop the newborn baby girl from crying. Hersey Nickel invokes an interesting and appropriate comparison when she describes this scene, referencing the much discussed Hollywood comedy of male parental incompetence and transformation Three Men and a Baby (Leonard Nimoy, 1987), as “three women and a baby,” (2012, 25) highlighting that even when pooling their efforts, Rachel, Monica and Phoebe have “almost no instinctive knowledge about raising children,” and stating that “[m]othering does not come naturally to any of them.” (25) This brings into clear view the extent to which the scenario of parental incompetence that was once used so lucratively in early postfeminism to narrate transformations of fatherhood and renegotiations of masculinity, is here articulated as far more necessary for the women than for the men, for whom child-care and parenting are conversely depicted as relatively effortless, and as coming to them fairly naturally. There is thus clear political ground at stake here for feminism with respect to the politics of gender equality in parenthood, adhering as Friends hence does in this way to
what Sarah Projansky positions as the postfeminist trope that men are better feminists than women, and “emerge... as [feminist] models to be emulated.” (2001, 20)
**Conclusion**
A big part of what I thus hope to have demonstrated in this article is the efficacy of *Friends* as a teaching text for introducing students to the range of contextually specific gender discourses that manifested in popular media and culture in millennial postfeminism. As the heretofore go-to texts (such as *Ally McBeal*, which at the time of its initial broadcast was a major cultural touchstone but today is little remembered) for teaching these tools for the analysis of gender discourses become increasingly historically remote to today’s cohorts of students, and as the formerly iconic pop culture figureheads of millennial postfeminism like Bridget Jones, Ally McBeal and Carrie Bradshaw come to appear anachronistic to them as reference points for a cultural moment that predates the realm of their adult or even lived experiences, *Friends* is remarkable for the resilience and robustness of the cultural afterlife that it has and continues to experience (recently prolonged in the UK at the time of writing by an impactful landing on Netflix), and for its continued ability to strike a resonant chord with new generations of audiences.
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RESOLUTION APPROVING A SPHERE OF INFLUENCE AMENDMENT AND REORGANIZATION OF THE LANDS OF MCOSD (A DESIGNATED PORTION OF APN 033-200-01) INCLUDING DETACHMENT FROM THE CITY OF MILL VALLEY AND ANNEXATION TO THE TOWN OF CORTE MADERA AND SANITARY DISTRICT NO. 2 WITH WAIVER OF NOTICE, HEARING AND PROTEST PROCEEDINGS
"Sphere of Influence Amendment and Reorganization of the lands of Marin County Open Space District (a designated portion of APN 033-200-01) including detachment from the City of Mill Valley and Annexation to the Town of Corte Madera and Sanitary District No. 2. (LAFCo File #1361)"
WHEREAS Marin County Open Space District, hereinafter referred to as "Proponent," has filed a validated landowner petition with the Marin Local Agency Formation Commission, hereinafter referred to as "Commission," pursuant to the Cortese-Knox-Hertzberg Local Government Reorganization Act of 2000; and
WHEREAS the proposal seeks Commission approval to detach approximately 22,934 square feet of incorporated land from the City of Mill Valley and annex this land to the Town of Corte Madera and Sanitary District #2 and concurrent sphere amendments; and
WHEREAS the affected territory represents part of the Alto Bowl Preserve, is improved with residential accessory uses consistent with the O-A zoning district, lies adjacent to 800 Corte Madera, is identified by the County of Marin Assessor's Office as a portion of APN 033-200-01, and is specified by Exhibits "B" and "C" as the "Transfer Area"; and
WHEREAS the "Transfer Area" is consistent with the spheres of influence of the proposed districts it is being annexed into with a concurrent Sphere of Influence amendment that has been proposed and the Commission, pursuant to G.C. §56425(e) is conducting a concurrent service review; and,
WHEREAS the Commission's staff has reviewed the proposal and prepared a report with recommendations; and
WHEREAS the staff's report and recommendations on the proposal have been presented to the Commission in the manner provided by law; and
WHEREAS the Commission considered all the factors required by law under Government Code Section 56668 and 56668.3 and adopted local policies and procedures; and
WHEREAS the proposal is for an annexation of territory that is uninhabited, and no affected local agency has submitted a written demand for notice and hearing as provided for in Government Code section 56662(a).
NOW THEREFORE, the Marin Local Agency Formation DOES HEREBY RESOLVE, DETERMINE AND ORDER as follows:
Section 1. The boundaries, as set forth in the proposal, are hereby approved as submitted and are as described and depicted in Exhibits "B" and "C" attached hereto and by this reference incorporated herein.
1. Amend the Sphere of Influence of the City of Mill Valley to exclude the designated portion of APN 033-200-01 and amend the sphere of influence of the Town of Corte Madera and Sanitary District 2 to include the designated portion of APN 033-200-01 and make the written determinations pursuant to Government Code section 56245(e) as provided for in Exhibit "A" attached hereto and incorporated herein by reference.
2. Approve the proposed reorganization of the portion of APN 033-200-01 designated "Transfer Area" in Exhibits "B" and "C", including detachment from the City of Mill Valley and annexation to Sanitary District #2 and the Town of Corte Madera as shown and described in Exhibits "B" and "C."
Section 2. The territory includes 22,934 square feet and is found to be uninhabited, and the application is assigned the following distinctive short form designation: "Reorganization of the lands of Marin County Open Space District (a designated portion of APN 033-200-01) including detachment from the City of Mill Valley and annexation to the Town of Corte Madera and Sanitary District No. 2. (LAFCo File #1361)"
Section 3. The proposal is consistent with the proposed spheres of influence for the City of Mill Valley, Town of Corte Madera and Sanitary District #2, as amended.
Section 4. The Executive Officer is hereby authorized to waive notice and hearing, and protest proceedings, and complete reorganization proceedings.
Section 5. As a condition to reorganization and to filing the certificate of completion, that the Town of Corte Madera pre-zone the area to be annexed and that the Town of Corte Madera and City of Mill Valley execute a tax exchange agreement within 1 year of the date of the approval of this proposal.
Section 6. As Lead Agency under CEQA for the proposed sphere of influence amendment and reorganization, LAFCo finds that the sphere of influence change and reorganization are categorically exempt from the provisions of CEQA pursuant to State CEQA Guidelines §15319.
PASSED AND ADOPTED by the Marin Local Agency Formation Commission on February 10, 2021, by the following vote:
AYES: McEntee, Kious, Rodoni, Coler, Moody, Loder
NOES:
ABSTAIN:
ABSENT:
Sashi McEntee, Chair
ATTEST: Jason Fried, Executive Officer
APPROVED AS TO FORM: Malathy Subramanian, LAFCo Counsel
Attachments to Resolution No. 22-03
a) Exhibit A – SOI Determinations
b) Exhibit B – Legal Description for reorganization of "Transfer Area" within APN 033-200-01
c) Exhibit C – Map for Reorganization of "Transfer Area" within APN 033-200-01
1) The present and planned land uses in the area, including agricultural and open-space lands.
a. This is currently a portion of an open space land in the City of Mill Valley, belonging to Marin County Open Space District. Although the land is designated for agricultural use, it is an improved area of land for residential use. The land contains portions of a basketball court, elevated garden planter boxes, stairs, retaining walls, and gravel pathways. It is associated with a single-family home located on a parcel within the Town of Corte Madera, outside of the encroachment area. The transfer area has been fenced and inaccessible as public open space for over 20 years.
2) The present and probable need for public facilities and services in the area.
a. The parcel is presently being used for residential uses. There is little to no development potential, and although the parcel is currently outside of the boundary of the areas it is being annexed into, it has been maintained by these agencies for over 2 decades now, meaning that present public service use is unlikely to significantly change after the sphere and boundary amendments.
3) The present capacity of public facilities and adequacy of public services that the agency provides or is authorized to provide.
a. The facilities and services provided by the Town of Corte Madera and Sanitary District #2 are sufficient to provide service to the area currently being served by the City of Mill Valley.
4) The existence of any social or economic communities of interest in the area if the commission determines that they are relevant to the district.
a. This area does not reside in any social or economic communities of interest.
5) For an update of a sphere of influence for a city that provides public facilities or services related to sewers, municipal and industrial water, or structural fire protection, that occurs on or after July 1, 2012, the present and probably need for those public facilities and services of any disadvantaged unincorporated communities within the existing sphere of influence.
a. There are no unincorporated communities within the Study Area that have been identified as disadvantaged.
Attachment to Exhibit A
a) Map of the new SOI
Proposed SOI Amendment
Adapted from the Map prepared by Jason Kirchmann at BKF
EXHIBIT B
LEGAL DESCRIPTION
(TRANSFER AREA FROM MARIN COUNTY OPEN SPACE DISTRICT TO 800 CORTE MADERA HOLDINGS LLC)
Real property situate in the City of Mill Valley, County of Marin, State of California, Being a portion of the Lands of Marin County Open Space District, as described by that Grant Deed recorded in Book 2841 of Official Records of Marin County at Page 436, said portion being described as follows;
BEGINNING at a 2” aluminum disk stamped “MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806”, being the common southerly corner of Lots 22 and 23 as shown on that Map of Chapman Park #2 filed in Book 2 of Maps at Page 21, Marin County Records, said point lying South 82°36’00” West, 371.97 feet from a ¾” iron pipe at the southerly terminus of Sausalito Street as shown on that Record of Survey filed in Book 18 of Official Surveys at Page 61, Marin County Records;
Thence leaving the southerly line of said Chapman Park #2, South 7°24’00” East, 3.60 feet to a 2” aluminum disk stamped “MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806”;
Thence parallel to and 3.60 feet southerly of said southerly line, South 82°36’00” West, 159.23 feet to a 2” aluminum disk stamped “MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806”;
Thence South 52°57’33” West, 98.25 feet to a 2” aluminum disk stamped “MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806”;
Thence South 67°02’34” West, 96.82 feet to a 2” aluminum disk stamped “MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806”;
Thence North 74°43’51” West, 44.24 feet to a 2” aluminum disk stamped “MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806”;
Thence North 27°36’30” West, 22.47 feet to a 2” aluminum disk stamped “MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806”;
Thence South 81°59’46” West, 91.71 feet to a 2” aluminum disk stamped “MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806”;
Thence North 82°07’25” West, 25.28 feet to a 2” aluminum disk stamped “MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806”;
Thence North 59°47’53” West, 34.48 feet to a 2” aluminum disk stamped “MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806”;
Thence South 80°10'31" West, 275.63 feet to a 2" aluminum disk stamped "MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806";
Thence South 68°20'41" West, 131.11 feet to a 2" aluminum disk stamped "MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806";
Thence North 88°41'52" West, 96.76 feet to a 2" aluminum disk stamped "MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806";
Thence North 68°22'27" West, 9.01 feet to a 2" aluminum disk stamped "MARIN COUNTY OPEN SPACE DISTRICT SURVEY MARKER PLS 8806" in the southerly line of Lot 32 shown on previously described Chapman Park #2.
Thence North 78°18'37" East, 235.47 feet along southerly line of Lot 32 shown on previously described Chapman Park #2.
Thence North 78°54'26" East, 320.03 feet along southerly line of Lot 32 to the common southerly corner of Lots 24 and 32 shown on previously described Chapman Park #2.
Thence North 82°36'00" East, 481.70 feet along southerly line of Lots 24 and 23 as shown on previously described Chapman Park #2, to the POINT OF BEGINNING.
Containing: 22,934 square feet, more or less.
Basis of Bearings: Record of Survey filed in Book 18 of Official Surveys at Page 61, Marin County Records
END OF DESCRIPTION
DRAFT
_________________________ Dated: ___________
Jason Kirchmann, PE, PLS No. 8806
|
electronics
A McGRAW HILL PUBLICATION
APRIL 1945
WHY AMPEREX
WATER AND AIR COOLED
TRANSMITTING AND RECTIFYING TUBES
233
Another new AMPEREX power tube for induction and dielectric heating equipment
The new Amperex 233 is designed for use as a Class C oscillator or amplifier for generating radio frequency power at frequencies up to 30 megacycles. Two grid arms make neutralization more convenient in the amplifier connection, and also permit cooler operation of the grid when the tube is employed at higher frequencies either in a self-excited oscillator or power amplifier. As do all tubes designed and developed in our laboratory, the 233 incorporates well-known "Amperextras" which make for longer operating efficiency and lower operating costs. Write for engineering data.
AMPEREX
...the high performance tube
AMPEREX ELECTRONIC CORPORATION
79 WASHINGTON STREET • • • • • BROOKLYN 1, N. Y.
Export Division: 13 E. 40th St., New York 16, N. Y., Cables: "Arlab"
GIVE WHAT YOU'VE GOT... DONATE A PINT OF BLOOD TO THE RED CROSS
AUDION ................................................................. Cover
One of the first triodes, used in c-w receiver developed by Dr. Lee deForest in Palo Alto labs. of Federal Tel. & Radio Corp.
THE RADAR EQUATION ........................................ 92
Radiated power and receiver sensitivity are related to the distance and size of the detected object
HUMAN CENTRIFUGE ............................................. 95
Aircraft pilot blackout conditions are reproduced and reactions measured electronically in AAF aero-medical lab
PRACTICAL ELECTRONIC INDUSTRIAL CONTROLS, by Paul G. Weiller .................................................. 96
A consultant tells what tubes will and will not do
A 50-kw F-M TRANSMITTER, by Phil B. Laesser ............ 100
WMFM, and particularly its phase-shift modulator, is described in detail
ELECTRONIC IGNITION SYSTEMS, by G. V. Ellgroth .......... 106
A survey of the development of various circuits and a comparison of their functions
TEST SET FOR QUARTZ CRYSTALS, W. E. McNatt ........... 113
Stable a-c operated unit can be set to check many types of crystals against requirements
DIELECTRIC-CONSTANT METER, by Frank C. Alexander, Jr. .... 116
Magic-eye tube is used as indicator-oscillator in a simple, unique differential-capacitance meter
AUTOMATIC LIQUID LEVEL CONTROLS, by Theodore A. Cohen .................................................. 120
Industrial electronic equipment provides accurate automatic control of liquid level and other process variables
RECEIVER WITH 2-Mc I-F, by Harvey Kees ...................... 129
Complete circuit of five-tube receiver for high-quality local reception, having several novel features
GEIGER COUNTER SPECTROMETER FOR INDUSTRIAL RESEARCH, by H. Friedman .................................. 132
New instrument measures x-ray intensities of rotating powder samples directly, for speedy analysis
GASEOUS RECTIFIER CIRCUITS—PART I, by P. T. Chin ........ 138
Voltage and current wave forms of commonly used single-phase circuits, with pertinent equations
DESIGN OF LC PHASE-SHIFT NETWORKS, by Robert W. Woods .................................................. 144
Graphical analysis simplifies design of phase-shift networks for power circuits
HYPERBOLIC CHART, by Perry Ware ................................ 148
Speeds conversion of complex numbers from hyperbolic to rectangular form
DEPARTMENTS
Crosstalk ......................................................... 91
Reference Sheet .................................................. 148
Industrial Control ............................................... 150
Tubes at Work .................................................... 192
Electron Art ....................................................... 248
News of the Industry ........................................... 280
New Products ..................................................... 364
New Books ......................................................... 430
Backtalk .......................................................... 436
Index to Advertisers ............................................. 443
CHANGE OF ADDRESS
Director of Circulation,
ELECTRONICS,
330 West 42nd Street
New York 18, N. Y.
Please change the address of my Electronics subscription.
Name ...............................................................
Old Address .......................................................
New Address .......................................................
New Company Connection .......................................
New Title or Position .............................................
ANOTHER QUALITY PRODUCT
UTC
CD-604, CD-605 TRANSFORMER-CORD SETS
UTC production facilities for these Signal Corps headset adapters permit acceptance of additional quantity orders for quick delivery. Also available in hermetic construction.
ALL PLANTS
May we cooperate with you on design savings for your applications...war or postwar?
United Transformer Corp.
150 VARICK STREET • NEW YORK 13, N.Y.
EXPORT DIVISION: 13 EAST 40TH STREET, NEW YORK 16, N.Y. CABLE: "ARLAN"
K&E SLIDE RULES
Think of K & E. What product comes first to your mind? Slide Rules, probably. Or think of Slide Rules. What name do you associate with them? K & E of course.
The reason is simple. For years a K & E Slide Rule has been an integral part of every engineer's equipment, from his student days, right on.
The war brought an avalanche of orders for K & E Slide Rules. We have done our utmost to keep pace with it and are rather proud of the job. But we are still prouder of the quality that makes the K & E Slide Rule reputation what it is.
You will find Don Herold's booklet, "How To Choose A Slide Rule" helpful and amusing. Write to Keuffel & Esser Co., Hoboken, N. J.
KEUFFEL & ESSER CO.
EST. 1867
NEW YORK • HOBOKEN, N. J.
CHICAGO • ST. LOUIS • DETROIT
SAN FRANCISCO • LOS ANGELES
MONTREAL
Drafting, Reproduction, Surveying Equipment and Materials, Slide Rules, Measuring Tapes.
How many spots in communications equipment can you find for this newest MICARTA product?
Here's a new boost, and a challenge, to communications and electronic designers... coil forms from Micarta "444", the latest Westinghouse development in industrial plastics.
These strong, lightweight forms provide greater freedom in production due to the insulating characteristics and resistance to heat, cold, humidity and chemicals—characteristics found in all Micarta plastics. Both small and medium size forms can be economically made from Micarta "444" for small-run production jobs.
Micarta "444"—a phenolic resin with a fabric base—is easily formed on inexpensive and quickly-constructed plastic or wooden dies. A simple arbor press with only 100 pounds per square inch pressure can do the job handily. Micarta "444" can be formed or bent into a variety of shapes from flat, cured sheets with perfect uniformity (see examples above).
Micarta "444" has already found many uses in radio and communications equipment. How many can you find in your own product designs? Your nearest Westinghouse office will be glad to explore its possibilities with you. Or write Westinghouse Electric & Mfg. Co., P. O. Box 868, Pittsburgh 30, Pa. J-94667
Westinghouse
PLANTS IN 25 CITIES... OFFICES EVERYWHERE
April 1945 — ELECTRONICS
Micarta "444" is one of many Westinghouse products developed especially to meet engineers' demands for their new designs.
Here is a quick check list of some important Westinghouse developments... what they are, where to use them, what they will do. Like Micarta, each possesses characteristics giving designers greater freedom and flexibility.
Your nearest Westinghouse office can give you complete data on any of these exceptional communications products. Ask for the book number shown in parentheses on each item.
A QUICK CHECK LIST OF SOME WESTINGHOUSE COMMUNICATIONS PRODUCTS
MATERIALS
Hipersil Cores...
Ready-to-assemble Hipersil cores have 1/3 greater flux-carrying capacity and eliminate time-wasting stacking of tissue-thin laminations by hand. (B-3223-A)
Tuffernell Insulating Materials...
Developed during 50 years of field experience, Westinghouse "Tuffernell" insulating materials supply the right grade needed for numberless communications jobs. (B-3322-A)
Solder-Seal Prestite...
New high-strength Zircon Prestite offers remarkable versatility for communications products... it has low loss, high resistance to thermal and mechanical shock and can be supplied with standard Solder-Seal for true hermetic joining to metals. (B-3244)
PARTS AND ASSEMBLIES
Inerteen Capacitors...
Light weight, small volume and high reliability are features of Inerteen Capacitors for d-c service at 400 to 250,000 volts. Inerteen—the liquid dielectric is noninflammable... non-explosive. (B-3300)
Electronic Tubes...
Uniform, trouble-free, long-life service is built into every electronic tube in the Westinghouse line... Pliotrons, Kenotrons, Phototubes, Thyratrons and Ignitrons. (SP-204)
Instruments...
Westinghouse instruments range from miniature panel size to 4-foot boiler room indicators for all types of mountings. (B-3283)
Thermostats...Heaters...
If it takes electric heat, Westinghouse can help solve the control problem with a well-stocked line of thermostats that will handle any job up to 650° F. The tiny thermostat illustrated is for final temperature control in a crystal oven. (B-3344)
Dynamotors, Motors and Blowers...
Smooth, functional design gives these rotating components high flexibility for radio equipment. Light weight and compactness are the keynotes in the design of these long-lived devices. Available for a wide range of frequencies and voltages. (B-3242)
AWAY AHEAD!
Tobe Leads the Noise Elimination Field
Few problems are as vexing as the elimination of unwanted radio interference set up by the operation of nearby electric motors. And few sources of engineering advice on this subject are as experienced as the Tobe Engineering Staff. Tobe is the acknowledged leader in this field; our organization has devoted 17 years to the intricate problems of noise elimination.
The large #1182 Navy-Type Filter illustrated above is an example of our specialization. Examine the curve and container dimensions. This is only one of a large number of filters designed to meet special needs. Send for complete details. Let us help you solve any problem connected with blotting out unwanted "man-made" radio static. Your inquiries are welcome.
TOBE DEUTSCHMANN CORP., CANTON, MASS.
GRAND CENTRAL TERMINAL BUILDING
NEW YORK 17, N.Y.
230 NORTH MICHIGAN AVE.
CHICAGO 1, ILL.
110 WEST BROADWAY
GLENDALE 4, CAL.
2-159 GENERAL MOTORS BLDG.
DETROIT 2, MICH.
FREQUENCY IN MEGACYCLES
ATTENUATION IN DBS
IN 20 OHM LINE
ELECTRICAL DATA
FILTERETTE 118D
440 AC DC VOLTS AMPERES=100
GREAT THAN 86 DB
GREAT THAN 86 DB
TYPE 1182 — ATTENUATION RANGE
150 KC TO 150 MC
CONTAINER DIMENSIONS
Length . 22 1/8 " Height . 4 1/8 "
Width . 11 7/8 "
This unit contains three #1180 Filterettes, each bearing Navy-type No. CTD 53177.
April 1945 — ELECTRONICS
HOW THE "BIG THREE" MYCALEX PRODUCTS
Answer Military Needs for Advanced Electronic Insulation...and Afford New and Wide Horizons for Post-war Product Improvement
1. MYCALEX 400
A general purpose insulation, especially fitted for high frequency applications; combines low loss factor with machinability to close tolerances, impermeability to water and oil; not subject to distortion below 700° F. Free of carbonization. Approved by Army and Navy as Grade L-4 insulation. Fabricated to your specifications.
2. MYCALEX K
A series of improved capacitor dielectrics, with dielectric constant selectable from 8 to 15. Available in the form of large sheets (14"x18"), or long rods ¼" to 1" in diameter. Low power factor and high dielectric strength. Ideal for use in equipment with variable capacity. MYCALEX K-10 approved by Army and Navy as Grade H1C5H4 Class H material (JAN I-12). Fabricated to your specifications.
3. MOLDED MYCALEX
A low-loss, high temperature injection molded insulation which can be formed into intricate or irregular shapes, with or without metal electrodes or metal inserts molded in. Adaptable to high production rates and can be sold at moderate prices.
We have plant facilities to fabricate MYCALEX parts to your order. Send for detailed characteristics and specifications of any or all three grades of MYCALEX.
MYCALEX CORPORATION OF AMERICA
Plant and General Offices
Clifton, N. J.
Executive Offices
30 Rockefeller Plaza
New York 20, N. Y.
"OWNERS OF 'MYCALEX' PATENTS"
ELECTRONICS — April 1945
CONTACT!
Behind bombing missions and dog fights at every one of our invasion points you'll find Super-Pro receivers on twenty-four hour duty with the AACS under almost impossible operating conditions.
CRYSTAL SELECTIVITY
BAND WIDTH
LIMITER OFF ON
MAIN TUNING
SUPER-PRO
HAMMARLUND MFG. CO., INC.
THE SIGN OF QUALITY
ESTABLISHED 1910
THE HAMMARLUND MFG. CO., INC., 460 W. 34TH ST., N.Y.C.
MANUFACTURERS OF PRECISION COMMUNICATIONS EQUIPMENT
April 1945 - ELECTRONICS
YOU NEED THIS BOOK!
It contains complete information on recent C.T.C. radio and electronic components designed to speed production and improve the performance of precision equipment.
You'll discover how the new line of C.T.C. Terminal Lugs and Swaging Tools saves time and money through faster, cleaner assembly. It contains specifications for C.T.C. Crystals and facts about a thumb-size I-F Ultra-High Frequency Transformer.
You need this book for your files. Write for your copy today.
CAMBRIDGE THERMIONIC CORPORATION
439 CONCORD AVENUE • CAMBRIDGE 38, MASSACHUSETTS
New Designs Simplify Mass Production!
HIGH FREQUENCY COILS, TRANSFORMERS AND SWITCHES FOR ELECTRONIC APPLICATIONS
Originality of design coupled with precision workmanship sets apart the SE units shown here. They are, however, but a small sampling of the extensive range of SE-engineered vital parts we are producing to our customers' own specifications. Our complete facilities, including laboratory, design, development and manufacturing, are available to interested makers of electronic equipment.
INQUIRIES ARE INVITED
SUPER ELECTRIC PRODUCTS CORP.
1057 Summit Avenue
Jersey City, N. J.
Also Makers of Transformers for: Power • Audio Frequency • Luminous Tube
April 1945 — ELECTRONICS
The 16,000-v Type GL-IL22 illustrated above—4 11/16" long, 2" diameter—has only 10 per cent of the volume of an air capacitor with similar rating... At the right are two curves showing the breakdown voltages of vacuum capacitors and air capacitors at successive altitudes. Note that air capacitors show a steady drop. However, the figures for G-E vacuum capacitors, sealed against atmospheric changes, remain constant at all times.
G-E VACUUM CAPACITORS
—are 1/10 the size of air capacitors
—are unaffected by external conditions
G-E vacuum capacitors are designed for service where voltage peaks run up to 16,000 v, a range that is common in military, aviation, and other radio equipment, and in special applications such as diathermy. They are small in size and compactly built. This fact underscores their usefulness in high-frequency circuit design, where space-saving is important because of short lead-lengths.
Since vacuum capacitors are completely sealed in, variations in air-density due to changing altitudes or other causes have no effect on voltage breakdown, which remains constant at all times. Likewise, temperature or humidity changes do not influence performance, nor can dust, insects, or foreign particles in the air affect these capacitors in any way.
Consult the table at the right to select the right capacitors for your own use. For full details telephone your nearest G-E office or distributor, or write direct to Electronics Department, General Electric, Schenectady 5, N. Y.
Hear the G-E radio programs: "The World Today" news, Monday through Friday, 6:45 p.m., EWT, CBS. "The G-E All-Girl Orchestra," Sunday 10 p.m., EWT, NBC. "The G-E House Party," Monday through Friday, 4 p.m., EWT, CBS.
| Type | Peak Voltage, volts (a-c, d-c, or r-f) | Capacitance, micromicrofarads | Price |
|--------|--------------------------------------|-------------------------------|-------|
| GL-IL32| 7,500 | 6 | $8.50 |
| GL-IL21| 7,500 | 12 | 8.50 |
| GL-IL36| 7,500 | 25 | 8.50 |
| GL-IL38| 7,500 | 50 | 8.50 |
| GL-IL33| 7,500 | 100 | 10.00 |
| GL-IL31| 16,000 | 6 | 9.25 |
| GL-IL25| 16,000 | 12 | 9.25 |
| GL-IL22| 16,000 | 25 | 9.25 |
| GL-IL23| 16,000 | 50 | 9.25 |
| GL-IL24| 16,000 | 100 | 11.00 |
GENERAL ELECTRIC
ELECTRONICS — April 1945
AND NOW...the General Electric
INTRA-TEL SYSTEM
Television by wire for business, education and industry
The G-E Intra-Tel system can make a store the show place of a community. With it, it will be possible to televise and transmit living pictures throughout the store and in display windows. It is a new sales power that will increase customer traffic on every floor and in every department.
From the television laboratories of General Electric has come a powerful new selling aid for business, a dynamic medium for education, an effective tool for industry. It is G-E Intra-Tel—a television-by-wire system that can carry high-quality pictures and sound and reproduce them anywhere within the range of the system.
- Intra-Tel has great potentialities. In merchandising it can increase store traffic. With an Intra-Tel system dynamic demonstrations can be displayed simultaneously on every floor and in show windows. In education, the Intra-Tel system can bring special demonstrations, lectures, and motion pictures to every classroom. In industry the Intra-Tel system can provide the means for coordinating activities throughout a plant, observe production progress, to peer into inaccessible places or to observe extremely hazardous operations. The Intra-Tel system uses no transmitter and its installation thus requires neither FCC license nor government approval.
- A G-E Intra-Tel system includes one or more portable pickup cameras, one or more sound microphones, and a control and monitoring console. The entire system is designed so that both picture and sound are fed by cable to any number of home-type or display receivers. If desired, a motion picture projector and film pickup camera can easily be added to the system. Provision can also be made to link the system to any outside local television broadcast station by means of coaxial line or by radio relay.
For details on G-E Intra-Tel systems and television broadcast systems, see your G-E broadcast equipment representative, or write for the booklet "Television Broadcasting Post-War," Electronics Department, General Electric, Schenectady 5, N. Y.
A typical G-E Intra-Tel system. With the Intra-Tel system, portable television cameras and sound microphones can be operated from any place in store or plant. Pictures and sound picked up by cameras (1) and microphone with microphone amplifier (2) and (3) are fed by cable to the control and monitoring console (4). Outlets at the console make it possible to feed picture and sound signals by cable to any number of display receivers (5). Amplifiers and pulse generator (6) maintain signal levels and synchronize scanning, respectively. Film projector (7) is used for motion pictures.
Plan to visit General Electric's great television proving ground—WRGB at Schenectady. Every Wednesday and Friday are "open house" days. Write for the folder, "How to get to Schenectady," or see your local G-E broadcast equipment representative.
Establish a delivery priority now on your future television equipment. General Electric offers you the "G-E Television Equipment Reservation Plan." Write for your copy. It explains how you can assure yourself early delivery of your television equipment.
Hear the G-E radio programs: "The World Today" news, Monday through Friday, 6:45 p.m., EWT, CBS. "The G-E All-Girl Orchestra," Sunday 10 p.m., EWT, NBC. "The G-E House Party," Monday through Friday, 4 p.m., EWT, CBS.
ANTENNAS • ELECTRONIC TUBES • HOME RECEIVERS
FM • TELEVISION • AM
See G.E. for all three!
The famed bazooka is one of today's light, strong products welded with current controlled by G-E IGNITRONS
For resistance welding, G-E ignitron tubes are fast, precise, quiet, and need minimum maintenance.
When you are designing welding equipment, consider strongly the merits of G-E ignitron tubes for current-control purposes. These powerful, steel-jacketed electronic tubes perform a dual function. They open and close the welding machine primary circuit with split-second precision; they also control current-flow as required by the job on hand.
Their operation is instantaneous, noiseless, and involves no rotating or moving parts of any kind. Maintenance therefore is at the minimum—no lubrication and no wear that requires adjustment—facts which reflect themselves in lower upkeep cost and superior dependability.
By all means investigate the application of G-E ignitrons to welding apparatus now being designed or being considered for installation in your plant.
General Electric will be glad to cooperate with you in this study. Also, a copy of the illustrated, informative book on "How Electronic Tubes Work" is yours for the asking. Telephone your nearest G-E office or distributor, or write today for details.
Electronics Department, General Electric, Schenectady 5, N.Y.
TYPE GL-415
PRICE $30.
A steel-jacketed 3-electrode ignitron tube with mercury-pool cathode, for welder-control service. Cathode has special splash-ring baffle. Rugged, compact — only 5¾" long, 2¼" diameter—and easily installed. Water-cooled by a clamp for that purpose, which also locates and mounts the tube. Ratings are maximum kva demand 300, with corresponding average anode current 12.1 amp; maximum average anode current 22.4 amp, with corresponding kva demand 100. (These ratings for voltages of 600 rms and below.) Ignitor requirements 200 v and 30 amp. Type GL-415 also operates for certain types of welder-control service with forced-air cooling. Special ratings on request.
Hear the G-E radio programs: "The World Today" news, Monday through Friday, 6:45 p.m., EWT, CBS. "The G-E All-Girl Orchestra," Sunday 10 p.m., EWT, NBC. "The G-E House Party," Monday through Friday, 4 p.m., EWT, CBS.
G.E. HAS MADE MORE BASIC ELECTRONIC-TUBE DEVELOPMENTS THAN ANY OTHER MANUFACTURER
GENERAL ELECTRIC
April 1945 - ELECTRONICS
Adapting the principles of radio to train communication is a simple matter—up to a point. Standard space radio equipment will do in a pinch. But railroads necessarily demand more than adaptations. A coordinated system, for one thing; reliability of performance for another; and the privacy of wire lines.
Aireon engineers tackled the problem and came up with an FM carrier-current system that makes use of the wayside wires. Communication with trains is established by inductive means. Performance is of telephonic quality. Equipment and operating costs are self liquidating.
The first Aireon FM carrier induction system was installed on the Kansas City Southern Railway, where it is in daily operation. Similar installations have been made on other railroads. All have proved their dependability.
Creative engineering of this nature has contributed to the steady growth of Aireon in the electronics field. Behind it is a type of thinking that gets things done. We'll show you what we mean any time you say.
Aireon
MANUFACTURING CORPORATION
Formerly AIRCRAFT ACCESSORIES CORPORATION
Radio and Electronics • Engineered Power Controls
NEW YORK • CHICAGO • KANSAS CITY • BURBANK
ELECTRONICS — April 1945
FORMED FROM A FLAT SHEET IN LESS THAN 2 MINUTES
TAYLOR PHENOLASTIC FIBRE
The method by which ordinary sheets of fully-cured Phenol Fibre are re-heated and formed into various shapes is a new development to which users of Laminated Plastics are turning with ever-increasing interest. Now, Taylor engineers, working in the new Taylor Research Laboratory, have developed a special fibre which forms better and easier than standard grades of Phenol Fibre. This new development is called Taylor Phenolastic Fibre—a Phenol Fibre with special, elastic qualities. This new product has many advantages. Unlike metal, Phenolastic Fibre is not reduced in section at the maximum point of draw. Shapes involving compound curves and comparatively deep draws are easily made with no sacrifice in the strength of the material. Send us the facts about your product and our engineers will gladly tell you whether it can be made easier or better or more economically with Taylor Phenolastic Fibre.
TAYLOR FIBRE COMPANY
LAMINATED PLASTICS: PHENOL FIBRE • VULCANIZED FIBRE • Sheets, Rods, Tubes, and Fabricated Parts
NORRISTOWN, PENNSYLVANIA • OFFICES IN PRINCIPAL CITIES • PACIFIC COAST HEADQUARTERS: 544 S. SAN PEDRO ST., LOS ANGELES
April 1945 — ELECTRONICS
DOES YOUR EQUIPMENT WORK AS WELL IN FLIGHT AS IT DID IN THE LABORATORY?
Modern electronic equipment is carefully and skillfully built to assist our airmen in locating and neutralizing enemy installations, and to guide them safely back to their home bases. Laboratory tests are made to assure high efficiency and uniformity in these devices.
However, it has been demonstrated that vibration and shock as experienced in high powered military aircraft can reduce the efficiency of radio equipment as much as 50%, even though total failure may not always occur.
Electronic equipment may even pass laboratory vibration tests only to fail under the continuous beating of long flight missions. Moreover, combat damage to aircraft may induce vibration conditions undreamed of by the radio engineer.
The one type of vibration and shock mounting which will cushion and protect airborne equipment under all conditions has proven to be the Robinson VibraShock*. It has the reserve capacity to meet emergency conditions, and staying power to outlast the airplane itself.
Newly designed units should be protected by Robinson mounts and their use as replacement mountings on current equipment may almost entirely eliminate servicing problems.
The Robinson Organization is ready to assist and advise on vibration mounting problems.
* Trade Mark
ROBINSON AVIATION, INC.
730 Fifth Avenue, New York, 19, N. Y.
First National Building, Hollywood 28, Calif.
VIBRATION CONTROL ENGINEERS
ELECTRONICS — April 1945.
NOW FLYING AT THE SANTAY MASTHEAD
The coveted Army-Navy Production Award was presented to the Santay Corporation on March 24, 1945! It represents official recognition for the fine record established by Santay in producing war equipment. The entire Santay organization is justifiably proud of this award . . . our country's expression of approval for a job well done. All of our facilities have been working 24 hours a day for many months, for VICTORY! Santay's war production has concentrated upon our regular type of products . . . injection molding, metal stamping and electro-mechanical assemblies. The skill and precision craftsmanship for which Santay workers are widely known are indicated in this award. These same fine qualities can be depended upon in post war production in equal or surpassing measure to that employed in our production before and during the war.
INJECTION MOLDING • METAL STAMPING • ELECTRO-MECHANICAL ASSEMBLIES
SANTAY CORPORATION 353 NORTH CRAWFORD AVE., CHICAGO 24, ILLINOIS
FORMERLY S'NKO TOOL & MANUFACTURING CO.
REPRESENTATIVES: POTTER & DUGAN, INC., 29 WILKESON STREET, BUFFALO 2, NEW YORK • PAUL SEILER, 7770 CORTLAND AVENUE, DETROIT 4, MICHIGAN • QUEISSER BROS., 108 E. NINTH STREET, INDIANAPOLIS 2, INDIANA
Protection starts here by controlling vibration
YOU remember the old story about the lost nail—and the shoe, the horse, the rider, the general, the battle, and the war that went haywire in consequence. The story doesn’t begin soon enough—the nail was lost because of vibration.
In your plant or your product, it may be a screw...a bolt instead of a nail; a motor instead of a horse, but it’s still vibration that starts the trouble. And you can sink two-foot bolts into the concrete base, but still you haven’t kept the motor from shaking itself to pieces, or diminished the nerve wracking noise that’s keeping morale and production down.
For more than twenty years Lord’s business has been the isolation and control of vibration. Lord has lifted the methods of attack on the destructive forces of vibration to a highly developed science. When Lord engineers make a study of your plant or your product, there’s no guesswork about their recommendations.
Lord Shear Type Mountings and other Bonded Rubber Products embody many exclusive techniques and patented features which cannot be copied.
Every genuine Lord Product has the name “LORD” molded into the rubber section, as a means of ready identification, and as a guarantee to the user that he is receiving Lord quality.
If you have a vibration problem, or a mechanical design problem involving the use of functional rubber, it may best be solved by means of rubber-bonded-to-metal. Call in a Lord Vibration Engineer, or write for literature on the subject. There is no obligation.
It takes Bonded Rubber In Shear to absorb vibration.
LORD MANUFACTURING COMPANY
ERIE, PENNSYLVANIA
Originators of Shear Type Bonded Rubber Mountings
KILOWATTS
Electric equipment leads the way!
Types of tubes have been introduced by Western Electric and Bell Telephone Laboratories for war services. These new tubes—and the techniques used in developing and manufacturing them—will find many important uses in communications at the war's end.
In all forms of electrical communications, count on Western Electric for continuing leadership.
Buy all the War Bonds you can...and keep all you buy!
SOUND SYSTEMS TELEVISION HEARING AIDS ACOUSTIC INSTRUMENTS
knowledge in all of these fields
MILLIWATTS
Why Western Electric equipment leads the way!
1. Western Electric products are designed by Bell Telephone Laboratories—world's largest organization devoted exclusively to research and development in all phases of electrical communication.
2. Since 1869, Western Electric has been the leading maker of communications apparatus. Today this company is the nation's largest producer of electronic and communications equipment.
3. The outstanding quality of Western Electric equipment is being proved daily on land, at sea, in the air, under every extreme of climate. No other company has supplied so much equipment of so many different kinds for military communications.
From tiny tubes to eight foot water cooled giants—from vest pocket aids for the hard of hearing to super-powered radio transmitters—Western Electric has led the way in electrical communications equipment for many years.
Western Electric vacuum tubes for over 30 years have been noted for their uniformity and long life. Scores of new and radically different
People who make Collins Radio
A few of the more than 3000 specialists who design and produce high quality radio communication equipment in the Collins plant.
Collins workers have a personal interest in radio. Many of the men have long been radio amateurs and a large number of the women are mothers, wives or sweethearts of Collins men now in the Service. This part of the plant is devoted to the assembly of large ground station transmitters.
The technicians who wire the critical r.f. circuits in the exciter unit understand why each wire must be located and terminated with great care, exactly as engineered.
These men know what it means to the field service man to have cables neatly positioned so that component terminals are accessible and item numbers in full view.
Collins is a radio man's radio organization. Men of high technical integrity have come here from all parts of the country because Collins standards are their own ideals of excellence.
Skilled mechanics assemble and synchronize the heavy duty Autotunes used on the output network of the 3000 watt Collins 231D ground station transmitter.
First line craftsmen assemble the Collins pi output network, which matches into a wide variety of single wire and vertical antennas.
Collins final-test men check every transmitter function critically, from the operator's point of view.
IN RADIO COMMUNICATIONS, IT'S...
Collins Radio Company, Cedar Rapids, Iowa; 11 W. 42nd St., New York 18, N.Y.
ELECTRONICS — April 1945
Simplify your rectifier circuit by installing AmerTran "WS" or "WSB" filament transformers. These ingenious two-in-one units incorporate the tube socket in the transformer body and in the "WSB", the center tap is brought out through the ceramic base. Thus, they eliminate filament wiring and save copper, promote safety, reduce maintenance and cut costs.
Because of their inherent ruggedness, these transformers are being used in ratings formerly restricted to oil-immersed apparatus. Both AmerTran "WS" and "WSB" transformers are moisture-proofed and insulated well above the average. Their test voltage is two and a half times their rated d.c. operating voltage.
Primary taps are arranged to permit close control of secondary voltage. Other features include completely enclosed windings, compound filled and full electrostatic shields. Send for Bulletin No. 14-5.
AMERICAN TRANSFORMER COMPANY, 178 Emmet St., Newark 5, N. J.
AMERTRAN PRODUCTS
MODULATION TRANSFORMERS AUDIO FREQUENCY TRANSFORMERS
HERMETICALLY SEALED TRANSFORMERS
TRANSTAT A.C. VOLTAGE REGULATORS
HIGH VOLTAGE RECTIFIERS WAVE FILTERS
OTHER ELECTRONIC AND INDUSTRIAL TRANSFORMERS
Pioneer Manufacturers of Transformers, Reactors and Rectifiers for Electronics and Power Transmission
ELECTRONICS — April 1948
Before the war, RCA engineers had designed a complete line of equipment for FM broadcast stations. A considerable number of RCA-built, FM broadcast transmitters were installed and are on the air today. In the important (because it is chiefly used in New York, Chicago and other metropolitan centers) 10KW category, for instance, five RCA 10KW, FM transmitters have been installed. More than of any other make. An additional quantity of these transmitters was built but was diverted for war purposes.
1. **HIGH FIDELITY MICROPHONES** — The RCA 44-BX Microphone is the standard of the industry. After the war, RCA will have even better microphones, insuring maximum FM response characteristics.
2. **STUDIO CONSOLETTES** — The RCA 76-B2 Consolette is well-suited for small and medium-sized FM stations and the individual studio booths of larger stations. Complete facilities for two studios, booth announcements, turntables, remotes, etc.
3. **STUDIO CONSOLES** — RCA custom-built studio consoles are ideal for the high-quality requirements of FM. Shown here is the control console of FM Station WBRL, Baton Rouge, La.
7. **HIGH-QUALITY AMPLIFIERS** — The several types of standard, RCA studio amplifiers are well-suited for FM use. All amplifiers have a flat frequency response, which may be compensated, when desired, for particular installations.
8. **1 KW FM TRANSMITTER** — This is the RCA FM-1-B Transmitter, built before the war, a number of which were installed and are in operation. After the war, RCA will offer a complete new line of FM transmitters of all powers.
9. **3 KW FM TRANSMITTER** — This is the RCA FM-3-B Transmitter, built and sold before the war. The same exciter is used in all RCA FM Transmitters from 1 KW to 50 KW.
13. **FM FIELD-INTENSITY METER** — The RCA 301-B Field Intensity Meter, which has a frequency range of 20 to 125 megacycles—and a built-in discriminator circuit—is the only commercially produced unit suitable for FM use.
14. **FM MONITORS** — RCA FM frequency monitors and FM modulation monitors are the finest built for this specific purpose—are fully approved by the FCC for FM station use.
15. **MEASURING EQUIPMENT** — For making “proof-of-performance” measurements of AM noise level, FM noise level, frequency response and distortion, the RCA 68-B Oscillator and 69-C Distortion Meter are recommended.
RCA FM transmitters were designed and built along the lines of the exceedingly successful RCA AM transmitters. They are built that way because it is felt that station engineers want in their FM transmitters the same qualities of convenience, reliability and appearance that they have come to expect in AM equipment.
After the war, RCA will offer a complete new FM line which will incorporate the much superior, RCA-developed locked-in oscillator circuit and other improved features which have become available through RCA's advanced war work.
4. **STUDIO EQUIPMENT RACKS** — RCA studio assemblies for use with or without custom-built consoles are also well-adapted for FM — can be built to incorporate any facilities desired. These are the studio equipment racks at WBRL.
5. **RELAY TRANSMITTER** — RCA has built many types of relay transmitters, including the television transmitter shown here. After the war, RCA will have a new, simplified relay transmitter especially designed for FM stations.
6. **RELAY ANTENNAS** — The directional or beam antenna, such as that shown here, is largely based on RCA research. After the war, RCA will offer a special type for FM relay service.
10. **10 KW FM TRANSMITTER** — This RCA FM-10-A Transmitter at NBC, New York is one of five in this power which were installed before the war.
11. **50 KW FM TRANSMITTER** — This is the RCA FM-50-A Transmitter which was under construction when the war began. After the war, RCA will have a new 50 KW design incorporating many unique features.
12. **FM ANTENNAS** — The turnstile antenna — symbol of FM broadcasting — was developed by Dr. G. H. Brown of the RCA Laboratories. After the war, RCA will sell directly a new and improved design — much easier to install and requiring no tuning in the field.
16. **MONITORING ASSEMBLIES** — Transmitter audio equipment and monitoring equipment can be mounted in standard RCA racks to match other RCA units. Racks shown here are those at WBRL, Baton Rouge.
Our crystal blanks are cut to specifications from selected Brazilian quartz and guaranteed free from all impurities, mechanical and electrical imperfections. Dimensions, temperature coefficients and frequencies are guaranteed within your specifications. Supplied in either "rough-sawed", "semi-finished" or "electrically-finished" blanks as desired. Remember Crystal Products when you need crystals.
MAIL THIS COUPON!
CRYSTAL PRODUCTS CO.,
Dept. O, 1519 McGee, Kansas City, Mo.
Gentlemen: I am interested in
NAME ____________________________________________
FIRM ____________________________________________
ADDRESS _________________________________________
CITY ___________________ STATE _________________
Crystal PRODUCTS COMPANY
1519 McGEE STREET KANSAS CITY, MISSOURI
Producers of Approved Precision Crystals for Radio Frequency Control
April 1948 - ELECTRONICS
Save Manpower—put electronics to work
As did the yeast manufacturer whose installation is pictured here. Before Photoswitch went on the job, a full-time operator was needed to guard this tank against excessive foaming. Now it's done automatically—with a standard Photoswitch Electronic Level Control.
As the photograph illustrates, a probe or electronic "finger" extends into the tank. When rising foam reaches this finger, a signal is relayed to the level control which opens a solenoid valve permitting an anti-foaming agent to flow into the tank. A Photoswitch Electronic Timer used in addition controls the interval during which the valve is held open and regulates the amount of anti-foaming agent added. Operation is precise—no chemicals are wasted—and a cleaner product results.
* * *
If there's a spot in your plant where automatic control can replace much-needed manpower, why not investigate Photoswitch electronic methods? With Photoswitch at work, there's no problem of labor turnover or absenteeism. Nor is there even the question of upkeep common to other automatic control systems. Electronic controls contain no moving parts to wear or fail in operation—give dependable day-in day-out service, with negligible maintenance, over an unusually long life.
Signal from electronic "finger" at tank actuates Photoswitch Level Control (left) and Timer (right) mounted on control panel.
Photoswitch Electronic Controls are at work today throughout industry controlling levels automatically, timing, counting, inspecting, safeguarding—performing hundreds of specialized operations. Whatever your control problem, let us have the details, and we may have the answer—pre-engineered and packaged, ready for quick and easy installation.
Electronic Controls by PHOTOSWITCH INCORPORATED
CAMBRIDGE 42, MASSACHUSETTS • District Offices in All Principal Cities
ELECTRONICS — April 1946
The automatic stacking machines shown have enabled Sangamo to play an important part in meeting the heavy and exacting requirements of wartime America. Well-trained operators, adequate facilities, and competent supervision have contributed in some measure in helping the United States to become the world's leader in Electronic developments.
THESE OPERATORS who assemble Sangamo mica capacitors are fully aware of the dependability required in their performance. They know that full quality must be built into these units to meet the high standard set at Sangamo. Skilled operators, utilizing the most modern mechanical equipment, contribute to the excellence of the finished product, be it the smallest or the largest capacitor.
SANGAMO ELECTRIC
ESTABLISHED 1898 ••• MICA CAPACITORS •••
EXCELLENCE IS BUILT INTO...
Sangamo
MICA CAPACITORS
Capacitor Assembly
A MICA CAPACITOR consists of a number of alternate layers of mica film and a conducting metal plate. As the capacity of the unit varies directly with the area of the active surface of the plate and inversely with the thickness of the dielectric, these factors must be accurately controlled in order to produce a satisfactory capacitor.
The assembling or stacking of these units may be done by hand with the use of mechanical stacking fixtures, or automatically, by utilizing special assembly machines. Since 1929, automatic machines, designed and developed by Sangamo, have been used for stacking many types of Sangamo capacitors. This method of stacking has insured accurate positioning of the foil, which is essential for long life and trouble-free operation of any capacitor unit. The automatic assembly machines are designed so that the length of each foil is very accurately controlled; as the mica previously has been gauged to within very close limits and inspected for all defects or flaws, a uniform capacitor results. Since many of the large capacitors consist of series sections and comprise in all many hundreds, and in some cases thousands, of pieces of mica, automatic stacking insures consistent quality and facilitates increased production. A large battery of these assembling machines enables Sangamo to produce many thousands of capacitors of all values each day and each is built with that precision and care required to insure dependable operation in all types of electronic equipment.
COMPANY SPRINGFIELD ILLINOIS
WATT HOUR METERS TIME SWITCHES
ELECTRONICS — April 1945
"Nothing ever put so much NEW LIFE in this shop...
...as these Quick and Easy-Driving AMERICAN PHILLIPS SCREWS"
Yes, it always boosts the morale of workers when they're freed from the slow, exhausting, dangerous work of hand-driving slotted screws...and switched onto the fast, effortless, safe method of power-driving American Phillips Screws.
Output jumps to new highs. Accidents and rejects hit bottom. Total time-savings climb as high as 50%. For American Phillips Screws banish the fear of mistakes, instil new self-confidence, build pride in good work. In fact, good work is the only kind that can be done, with American Phillips Screws. The recessed head stays straight on the 4-winged driver 'till the screw is turned up tight and flush. And this surety of operation means fairer return on fixed overhead...an advantage no shop, large or small, can afford to miss.
To these advantages are added other exclusive American advantages...the capacity of one of the largest U.S. screw plants...3-point inspection that checks every screw-head, thread, and point...and the ready advice, on any fastening job, of American's veteran corps of engineers.
AMERICAN SCREW COMPANY, PROVIDENCE 1, RHODE ISLAND
CHICAGO 11: 589 E. Illinois Street
DETROIT 2: 502 Stephenson Building
Take a Recess from Slotted-Screw Costs and Troubles
...the Tapered, Engineered Recess of:
AMERICAN PHILLIPS Screws
PATENTS MAKE JOBS
Put the Screws on the Japs...
BUY BONDS!
Temco Versatility
help solve your problems with electronics
Today many things are being done better...faster and more economically through the application of electronics. More and more, this amazing new science is performing miracles of increased efficiency in the fields of Communications, Medical Science and throughout all Industry.
In these ever broadening fields, Temco engineers are contributing heavily in the application of electronics to the manifold demands of war. Restrictions do not permit us to describe these achievements now but we can speak about the engineers who made them possible.
Underlying these accomplishments are the versatility and the vision of a closely knit organization of pioneering minds—rich in ideas—mature in judgement. Keeping pace with progress in radio research, they are constantly meeting the challenge of many new and diversified assignments.
However complex or different your problem may be, bring it to Temco with the assurance that the concerted effort of specialists will yield results to satisfy your most exacting standards and requirements. Let us show you what we have accomplished for others.
TEMCO
RADIO COMMUNICATION EQUIPMENT
TRANSMITTER EQUIPMENT MFG. CO., INC.
345 Hudson Street, New York 14, N.Y.
In the forefront of land operations in every war theatre has been the Signal Corps' famous SCR-299 mobile intercommunication unit, whose transmitter is built by The Hallicrafters Company of Chicago, Illinois.
Clare Type "C" d.c. Relay is used as a part of the speech amplifier of the SCR-299. Its function is that of the control relay for the circuit which changes over the equipment from "send" to "receive" or from "receive" to "send." Under certain conditions the relay is controlled by an impulse sent over as much as a mile of telephone wire from a remote observation or command post.
This Clare Relay has stood up remarkably well in the field and has contributed greatly to the outstanding performance of the SCR-299. In choosing a Clare "Custom-Built" Relay for this important function, The Hallicrafters Company left nothing to chance. Clare performance was well known. Clare's ability to "custom-build" just the relay to serve as these important nerve centers simplified design and assured the quick, positive action, the rugged dependability, the resistance to vibration that a mobile radio transmitter must have.
Illustrated here are a few of the Clare "custom-building" features that have revolutionized designing and made it possible for Clare Relays to reduce overall relay cost, simplify installation and assure more dependable performance in hundreds of applications, such as sequence control of machine tools, radio, radar or other electronic controls, electric eye controls, counting equipment and alarm systems.
Clare engineers are ready at all times to "custom-build" a relay to your exact requirements. Send for the Clare catalog and data book. Address: C. P. Clare & Co., 4719 West Sunnyside Avenue, Chicago 30, Illinois. Sales engineers in all principal cities. Cable address: CLARELAY.
CLARE RELAYS
"Custom-Built" Multiple Contact Relays for Electrical, Electronic and Industrial Use
Class 1 or Class 5
Whether it’s a Class 1 Airport for the private owner, or Class 4 or 5 for the largest aircraft, RADIO RECEPTOR has the required experience in designing and installing essential radio equipment.
RADIO RECEPTOR has, for many years, been serving airports and airways—in peace, throughout the nation—in war, throughout the world. Consistently, our equipment has performed faithfully and well.
See RADIO RECEPTOR first on contemplated airport projects. Regardless of size, the services of RR engineers are freely available for consultation purposes.
Send NOW for your copy of our booklet, “Highways of the Air”—published for those interested in airports. It will be sent without charge or obligation. Dept. No. E-4.
RADIO RECEPTOR COMPANY, Inc.
231 WEST 18th STREET NEW YORK 14, N.Y.
Engineers and Manufacturers of Airway and Airport Radio Equipment
SINCE 1922 IN RADIO AND ELECTRONICS
The TINYMITE
SMALLEST PAPER CAPACITOR —— yet 100% MOISTUREPROOF
FEATURES
1. Bakelite Resinoid Ends. Lead wire cannot pull out, even under hot conditions.
2. Non-Inductive.
3. Excellent Temperature Coefficient.
4. Very high leakage Resistance.
5. Fine Power-Factor.
6. Range from 20 MMFD to .25 MFD. From 150 volts to 600 volts.
7. Types P4N, P5N for 100% humidity operation.
8. Types P4, P5 for 95% humidity operation.
Samples and price list on Request
BUY EXTRA WAR BONDS . . . . 'TIL THE WAR IS OVER
DUMONT ELECTRIC CO.
MFR'S OF CAPACITORS FOR EVERY REQUIRMENT
34 HUBERT STREET NEW YORK, N. Y.
Hallicrafters equipment covers the spectrum
- Hallicrafters equipment covers the radio spectrum. From low to ultra high frequencies there is a Hallicrafters receiver ready to meet your special requirements. Although certain equipment operating in the ultra high frequencies cannot be described at present for security reasons, the characteristics of Hallicrafters standard line of receivers may be disclosed. This line includes:
**Model S-37.** FM-AM receiver for very high frequency work. Operates from 130 to 210 Mc. Highest frequency range of any general coverage commercial type receiver.
**Model S-36.** FM-AM-CW receiver. Operates from 27.8 to 143 Mc. Covers old and proposed new FM bands. Only commercially built receiver covering this range.
**Model SX-28A.** Operates from 550 kc to 42 Mc continuous in six bands. Combines superb broadcast reception with the highest performance as a versatile communications receiver.
**Model S-22R.** Completes Hallicrafters coverage in the lower end of the spectrum. Operates from 110 kc to 18 Mc in four bands. A.c./d.c. operation.
BUY A WAR BOND TODAY!
hallicrafters
THE HALLICRAFTERS COMPANY • MANUFACTURERS OF RADIO AND ELECTRONIC EQUIPMENT • CHICAGO 16, U.S.A.
Sensitive SNAP-ACTION
...in a new, simplified design
The new, simplified construction of the Struthers-Dunn Type 79XAX Sensitive Snap-Action Relay makes it particularly suitable for a wide range of applications because of its ease of adjustment. Snap-action contacts eliminate the erratic, undependable action normally encountered in ordinary sensitive relays when a slowly varying coil current tends to balance the armature tension spring, and to hold closed the normally closed contacts.
The armature of the 79XAX almost completes its travel in either direction before the contacts snap into the new position. This feature permits an unusually broad range of use from vacuum tube circuits, to overcurrent protection, pulsing circuits, and jobs where extremely close differential or extreme sensitivity of operation is required.
The standard adjustment using 60 ampere turns in the coil at approximately .02 watts results in contact pressures of 5 grams with contacts rated 5 amperes, 115 volts a-c; or 0.5 amperes, 115 volts d-c, non-inductive. Contact ratings up to 10 amperes, 115 volts a-c may be obtained with 100 or more ampere turns and a corresponding increase in power. A sensitivity of 0.005 watts, with 30 ampere turns, is obtainable with reduced contact pressures and ratings, and at an increase in price of the unit.
STRUTHERS - DUNN INCORPORATED
1321 ARCH STREET, PHILADELPHIA 7, PA.
STRUTHERS-DUNN
5,312 RELAY TYPES
DISTRICT ENGINEERING OFFICES: ATLANTA, BALTIMORE, BOSTON, BUFFALO, CHICAGO, CINCINNATI, CLEVELAND, DALLAS, DENVER, DETROIT, HARTFORD, INDIANAPOLIS, LOS ANGELES, MINNEAPOLIS, MONTREAL, NEW YORK, PITTSBURGH, ST. LOUIS, SAN FRANCISCO, SEATTLE, SYRACUSE, TORONTO, WASHINGTON
What type of microphone is best suited for a particular application?
How can I convert the level of a microphone rated on the basis of milliwatts per bar to a level of volts per bar?
What new types of special purpose microphones have been developed for voice and sound transmission?
These and many other answers may be found in the NEW and COMPLETE Electro-Voice CATALOG.
More than an exposition of microphone types, the new Electro-Voice Catalog provides a source of valuable information which should be at the fingertips of every sound man. It contains a simplified Reference Level Conversion Chart which marks the first attempt in the history of the industry to standardize microphone ratings. Several pages are devoted to showing basic operating principles of microphones... offering a guide to the proper selection of types for specific applications. And, of course, every microphone in the Electro-Voice line is completely described, from applications to specifications.
Reserve your copy of the new Electro-Voice Catalog. Write today.
Electro-Voice MICROPHONES
ELECTRO-VOICE CORPORATION • 1239 SOUTH BEND AVENUE • SOUTH BEND 24, INDIANA
Export Division: 12 East 40th Street, New York 14, N.Y., U.S.A. Cables: Ariab
THE shape of equipment to come may still be on the drawing board but the shapes of G-E mycalex which enter into the assembly can be plotted right now. Plates, disks, octagonal rods, strips and semiround rods in a wide variety of sizes simplify design problems and assure top quality performance. Economy, too, is served by this generous range of shapes and sizes through keeping waste to a minimum.
Where tough jobs and trying problems dictate an insulation of outstanding merit, you can depend on G-E mycalex. It does not warp, shrink or carbonize and is practically impervious to water, gas and oil. It can be milled, machined, drilled, tapped and punched for applications requiring these operations. G-E mycalex also possesses an extra quality—mechanical strength which permits its use as a supporting member in an assembly. For complete information write: General Electric Company, 1 Plastics Ave., Pittsfield, Mass.
Hear the G-E Radio Programs: "The World Today" news, Monday through Friday 6:45 p.m., EWT, CBS. "The G-E All-Girl Orchestra," Sunday 10 p.m., EWT, NBC. "The G-E House Party," Monday through Friday, 4 p.m., EWT, CBS.
IS YOUR HAT IN THE TELEVISION RING?
Television promises unprecedented profit and prestige to men of vision and energy. Television will be tomorrow's highroad to local and national leadership.
If you plan to toss your hat in the Television ring, arrange now to assure both early postwar delivery of your telecasting equipment and the proper training of your Television station's operating personnel. Both equipment and staff training are provided for in DuMont's Equipment Reservation Plan.
DuMont-engineered telecasting equipment has rugged dependability and practical flexibility; will be designed for economical operation and is realistically priced. These facts have been spectacularly demonstrated by more than 4 years' continuous operation in 3 of the nation's 9 Television stations.
Furthermore, a pattern for profitable station design, management and programming has been set at DuMont's pioneer station, WABD New York...a pattern and backlog of Television "know-how" which is available to prospective station owners. Call, write or telegraph today.
Copyright 1945, Allen B. DuMont Laboratories, Inc.
ALLEN B. DUMONT LABORATORIES, INC., GENERAL OFFICES, 2 MAIN AVE., PASSAIC, N. J. TELEVISION STUDIOS AND STATION WABD, 318 MADISON AVENUE, NEW YORK 22, N. Y.
When you need a relay that's sensitive enough to operate on minute current, yet has the high contact pressure needed for perfect closure, you'll find the Automatic Electric Class "B" Relay worth investigating.
If you need a relay that will switch many circuits, yet is compact enough for multiple mounting in small space, you'll find Class "B" the perfect solution.
Or perhaps you are interested in extra durability, for long service under tough conditions. Then you'll need the in-built quality for which Class "B" has become famous.
No other relay—even in the Automatic Electric line—can give you a greater combination of all these essential qualities. Get the full story on Class "B"—one of the forty basic types described in the Automatic Electric catalog. Ask for your copy of Catalog 4071.
CHECK THESE FEATURES of the New Class "B" Relay
Independent Twin Contacts—for dependable contact closure.
Efficient Magnetic Circuit—for sensitivity and high contact pressure.
Unique Armature Bearing—for long wear under severe service conditions.
Compact Design—for important savings in space and weight.
Versatility—Available for coil voltages to 300 volts d-c and 230 volts a-c, and with capacities up to 28 springs; also with magnetic shielding cover, when specified.
No other relay can give you a greater combination of all these essential qualities.
The end bells illustrated above were manufactured by the Sampsel Time Control Company. Used as casings for covering the end connections of high speed electric machines, these small but vital items are no simple job to produce. The machine tolerances are quite close and the parts must have a high degree of stability. In fact the boring of a seat for a ball bearing is held to .0003" tolerance while one shoulder diameter is turned to .0008" tolerance.
As a result of an ingenious mold design, these end bells are molded in a single operation. Notice how the inserts are molded-in making for ease of assembly and fabrication.
The tremendous progress which America's custom molders have made during the past three years in developing new molding methods and processes is exemplified by the efficient production of just such items as these end bells.
The material selected for these end bells was a general-purpose Durez phenolic molding compound. Besides possessing excellent moldability, this Durez compound possesses such versatile properties as oil and grease resistance, dielectric strength, self-insulation, excellent wearability and heat resistance. The unusual versatility of Durez phenolics has made their usage practically universal throughout industry. Add to this the quarter century's experience which Durez technicians have acquired through active participation in the successful development of many plastic products and you can readily appreciate the benefits of working with our organization. The services of the Durez staff are available at all times to you and your custom molder. Durez Plastics & Chemicals, Inc., 324 Walck Road, North Tonawanda, N. Y.
DUREZ
PHENOLIC RESINS
MOLDING COMPOUNDS
INDUSTRIAL RESINS
OIL SOLUBLE RESINS
PLASTICS THAT FIT THE JOB
Before 1945 was two days old, Press Wireless came through with another brilliant first,—direct radio-telegraph service for the newspapers from Holland.
On February 25th Press Wireless reopened its Manila circuit, which was discontinued December 31st, 1941 when the Japs invaded the Philippines.
The transmitters and other units used on these Press Wireless “war-front circuits” were designed, built, installed, and are being operated by Press Wireless personnel. The Company’s outstanding success for over fifteen years in the field of press communications has been due in no small measure to its own engineering and manufacturing divisions. Now devoted entirely to the war effort, these departments will be in the public service as soon as peace permits.
Awarded to our Mitchell, Iowa, Land Plant for outstanding achievement in war production.
PRESS WIRELESS, INC. IS DEVELOPING OR MANUFACTURING
• HIGH POWER TRANSMITTERS
• DIVERSITY RECEIVERS
• AIRCRAFT AND AIRFIELD RADIO EQUIPMENT
• RADIO PRINTER SYSTEMS
• MODPLEX UNITS “TRADEMARK”
• CHANNELING DEVICES
• RADIO PHOTO TERMINALS
• FACSIMILE MACHINES
AND OTHER TYPES OF RADIO AND COMMUNICATIONS EQUIPMENT
PRESS WIRELESS, INC. Executive and Sales Office 1475 BROADWAY, NEW YORK 18
PARIS • RIO DE JANIERO • MONTEVIDEO • BERNE • SANTIAGO DE CHILE • NEW YORK • CHICAGO • LOS ANGELES • LONDON • HAVANA
April 1945 — ELECTRONICS
RAYTHEON CK510AX . . . A DUAL SPACE CHARGE TETRODE AUDIO AMPLIFIER TUBE
Raytheon engineers recently developed a tube radically different in design and performance—yet so small that many users were amazed by its capabilities. It is the CK510AX, which is essentially a very low-drain filament type dual tetrode intended for cascade operation as a high-gain audio-amplifier.
A unique feature is a space charge grid around the filament—which produces two virtual cathodes, one for each section. Thus from a single filament two individual tetrodes are obtained, between which there is a minimum of interaction.
This tiny tube occupies only one-fifth the physical volume of a standard miniature type, yet voltage gains of approximately 250 may be obtained in the simple circuit illustrated here. The CK510AX is further proof of Raytheon's ability to develop new and better tubes . . . tubes that will be in ever-increasing demand in the new era of electronics to come.
PLEASE DIRECT INQUIRIES TO OUR COMMERCIAL ENGINEERING DEPARTMENT, NEWTON, MASS.
Specifications of CK510AX
Physical:
- Bulb: T2X3 Flat Glass
- Maximum Length: 1.48 inches
- Maximum Width: .385 inches
- Maximum Thickness: .205 inches
- Minimum Lead Length: 1.75 inches
Electrical:
- Filament Voltage: 0.625 volts
- Filament Current: 50 ma
- Maximum Plate Voltage: 45 volts
- Control Grid Voltage: 0
- Space Charge Grid Current: 75 to 150 ma
- Approximate Voltage Gain: 250
*Grids Returned to Negative Filament through 5 megohms.
Versatile DOPLEX tapes
DOPLEX ASBESTOS TYPE AB
High-grade nonferrous asbestos paper, .007" thick, laminated on one side with .0016" cellulose acetate butyrate film. Film provides mechanical strength needed to apply tape without tearing or breaking. Noncorrosive; alkali and acid resistant. Meets Class B insulation requirements at lower cost. For use where higher temperatures are encountered.
DOPLEX ASBESTOS TYPE CL
High-grade nonferrous asbestos paper, .007" thick, laminated on one side with minimum amount of cotton cloth to provide extra mechanical strength and abrasion resistance. These properties are further improved by a flame-inhibiting coating on cloth side. Noncorrosive and nonferrous; minimum organic content. Another less expensive Class B insulation.
DOPLEX ROPE PAPER TYPE PJT
High-quality thin rope paper laminated on one side with a special flame-resistant cellulose film. For use as a separator or barrier in cables. Prevents sulphur in rubber compounds from attacking and penetrating untinned copper conductors. Conserves space, only .0035" thick.
DOPLEX ACETATE TYPE AA
This 4-ply tape, only .004" thick, provides equivalent dielectric to .007" of varnished cambric at normal temperature and humidity, with even more marked improvement after 7 days in humid atmosphere at 250° F. Retains dielectric and physical properties after dipping and baking in varnish. Recommended for all uses requiring thin, high dielectric insulation.
Made by the makers of "LEXEL" tape and "DOBAR" laminated paper insulation
available for many jobs
Each of these DOPLEX tapes has its own properties and characteristics. The descriptions will help you determine which one best meets your specific requirements. In most instances, DOPLEX tapes cut costs or improve the product... proved in actual installations by leading manufacturers.
They are made in widths from one-eighth inch up, with a wide range of put-ups on universal cops or pads, for machine or manual application. Available quickly for priority products.
FOR PEACETIME PRODUCTS
Deliveries for nonpriority products depend upon military demands. However, samples of sufficient size are available for examination and testing. Check DOPLEX tapes now for future use. Use the coupon for convenience.
SEND FOR
DETAILED DATA
AND
TEST SAMPLES
Please check samples desired and sign as indicated. Attach coupon to your letterhead and mail to The Dobeckmun Company, 3301 Monroe Avenue, Cleveland 13, Ohio.
☐ Doplex asbestos: Type AB
☐ Doplex asbestos: Type CL
☐ Doplex rope paper: Type PJT
☐ Doplex acetate: Type AA
☐ Doplex cambric: Type AB
Name ____________________________
Title ____________________________
Company _________________________
Just Published!
FASCINATING, NEW BOOK FOR AMATEUR RADIO OPERATORS!
"From One Ham to Another"
Packed full of brand new information on amateur radio operation! Shows how you can solve many of your problems! Completely explains, in your own language, the PANORAMIC Technique, and what it will mean to you when you get back to your rig!
"From One Ham to Another" tells you how to get the most out of your rig. It shows you how you can have even more satisfactory QSO's with your friends all over the world. In detail it describes the problems that confront amateur radio operators...and proposes solutions. For example, after you have read "From One Ham to Another," you will know how to reduce the number of missed signals, how to determine quickly which frequencies are free, how to step up your efficiency.
Simple and pleasant to read, "From One Ham to Another" is written for the ham in terms you use. And you will be amused by the clever cartoons that illustrate it throughout. You will want to file and keep "From One Ham to Another" for the new ideas it provides. You will learn about the role that the PANADAPTOR will play in future ham operations. You'll be thrilled by the stories of wartime applications of this technique. Send for your free copy today!
"From One Ham to Another" discusses such subjects as:
- Watching for CQ's
- Answers to CQ's
- Operation of nets
- Choosing a spot in the band for your xmtr
- Helping your brother ham
- Reading signal strength
- Logging the frequencies of your friends
- And many other topics of great interest
To obtain your free copy of "FROM ONE HAM TO ANOTHER," just send us a card with your name, address, and call letters if you have them. If you are now connected with radio in some way, we should like to know the name of the organization with which you are affiliated, and the type of work you do. EVEN IF YOU ARE NOT A HAM, YOU ARE WELCOME TO THIS PANORAMIC BOOK.
PANORAMIC RADIO CORPORATION
242 250 WEST 55TH ST. New York 19, N.Y.
April 1945 — ELECTRONICS
To meet the need for a light-weight, high-capacity, high-voltage tank condenser for transmitter applications, Johnson engineers developed a new type of condenser. The unit illustrated has a capacity of 1200 mmf. at a peak voltage of 40,000 volts at 2 megacycles. Nearly any combination of capacity and voltage ratings may be had. The capacity may be varied in the field by removing plates or altering spacing.
The plates are made of fabricated sheet steel, heavily copper plated and enameled. Rounded edges increase the breakdown voltages. Vertical tie rods of copper tubing furnish good conductivity between plates. Plates are secured to the upright supports with aluminum castings.
A protective gap is incorporated in the condenser to protect the plates from damage in case of excessive voltages or surges. The mounting base is welded channel iron, which forms a strong support. A very convenient mounting for the tank inductance is formed by the two cross beams at the top of the condenser.
This condenser will find wide application in high power equipment because of its compact and efficient construction.
Ask for Catalog No. 968D
Other JOHNSON Products for High Power . . . . . . INDUCTORS, variable & fixed TRANSMISSION LINE EQUIPMENT SOCKETS SWITCHES COUPLINGS CHOKES ANTENNA PHASING UNITS GAS-FILLED CONDENSERS CONTACTORS INSULATORS
JOHNSON
a famous name in Radio
E. F. JOHNSON COMPANY • WASECA • MINNESOTA
ELECTRONICS — April 1945
Here's How to CANCEL-OUT RESISTANCE CHANGES DUE TO TEMPERATURE WITH KEYSTONE "NTC" UNITS
✓ Purely Electrical Method
✓ Efficient—less added resistance
✓ For AC or DC
✓ Lightweight, compact
✓ Close compensation over range as wide as -55°C to +150°C
NOW . . . EFFICIENT, SIMPLE COMPENSATION FOR WIDE VARIETY OF ELECTRICAL DEVICES
MODERN war has demonstrated that the extremes of world climate are only hours away . . . has clearly indicated the expanded temperature range over which many precision electrical devices must operate if they are to meet the demands of the future.
The inherent positive temperature coefficient of copper (and many other pure metals) results in large variations in current flow and voltage drop in windings and conductors when the temperature range is great. If uncompensated, wide-tolerance performance is probable. If the percentage resistance change is minimized by adding large amounts of low-coefficient resistance, low efficiency and drastic limitation of available power are inevitable.
Because they have a large negative temperature coefficient, there need be only a moderate increase in circuit resistance when Keystone "NTC" units are used. The remarkable effectiveness and simplicity of this method are evident from the typical problem and its solution illustrated at the left.
The experience of our customers indicates that Keystone "NTC" compensation can help make better-performing, more-saleworthy indicating and recording devices, meters, relays, control systems and many other electrical devices and components . . . economically. Why not let us tell you more about them—and put us to work on your problem? Write now—no obligation.
Keystone "NTC" units are thermal resistors of special composition (not carbon), developed and manufactured by Keystone, and extensively used for temperature compensation, temperature measurement and control, time delay and other applications.
KEystone CARBON COMPANY, INC.
ST. MARYS . . . . PENNSYLVANIA
TUBING OF DESTINY
We at Precision take justifiable pride in the privilege of contributing in a small way toward our Country's Destiny . . . our Freedom . . . and the Freedom of all men fighting for Liberty and Democracy.
Tubing, as used in Instruments, Aircraft and Electronics, is shaping that Destiny, that Victory which comes to all free men.
Accurately drawn small Tubing and Metal Shielded Wire are our Specialties. Your inquiry concerning your requirements is invited.
INSTRUMENTS
Precise Instruments, vital to all Communications, must depend upon accurately made, positively balanced Pointer Tubing. Today Precision Tube Company supplies this high grade Aluminum Alloy Pointer Tubing to over 80% of the Instrument Manufacturers in this free Land. There must be a reason.
ELECTRONICS
Metal Shielded Wire — insulated wire shielded with Seamless Aluminum or Copper Tubing — offers the only positive protection against Moisture, Electrical Interference and Mechanical damage. It is a MUST for dependable Electronic Equipment where failure cannot be tolerated. Made in a wide variety of sizes and combinations.
PRECISION TUBE CO.
SPECIALISTS IN ACCURATELY DRAWN TUBING AND METAL SHIELDED WIRE
Factory: 3824-26-28 TERRACE STREET • PHILADELPHIA, PA.
BRANCHES IN ALL PRINCIPAL CITIES
SALES DEPT. 215-05 27TH AVE. BAYSIDE, L. I., N. Y.
High Insulation Resistance
makes ERIE CERAMICONS Excellent Coupling Condensers
Although Erie Ceramicons were originally designed and developed almost a decade ago primarily to provide engineers with a simple and effective method of compensating for frequency drift in other components, they are now being used in wide and varied types of applications with complete success.
For instance, Erie Ceramicons give excellent results when used as coupling condensers, particularly in plate to grid circuits, where high insulation resistance is of paramount importance.
The tremendous wartime demand for condensers has provided ample opportunity to prove the reliability and adaptability of Erie Ceramicons as extremely stable general purpose capacitors.
When specifying Ceramicons under JAN-C-20 for general purpose use, temperature coefficient characteristics "SL" should be given. If Erie designations are used, specify "any temperature coefficient between P100 and N750." The temperature coefficient of these Ceramicons will be between +150 and -870 parts/million/°C.
In many cases, particularly in the low capacity ranges, these temperature coefficient limits will permit us to ship from stock, since the Ceramicons may be selected from any one of ten standard temperature coefficients between P120 and N750. The capacity range for equivalent physical size is given in the table at the left.
We will gladly send you samples of Erie Ceramicons for your general purpose applications.
| CAPACITY RANGE IN MMF | JAN-C-20 STYLE | ERIE STYLE | MAXIMUM OVERALL DIMENSIONS |
|-----------------------|----------------|------------|---------------------------|
| 1 to 51 | CC20 | A | .200 x .400 |
| | CC21 | K | .250 x .562 |
| 52 to 110 | CC25 | B | .200 x .656 |
| | CC26 | L | .250 x .812 |
| 111 to 360 | CC35 | M | .265 x 1.125 |
| | | | .340 x 1.328 |
| 361 to 510 | CC40 | D | .375 x 1.110 |
| 511 to 820 | CC45 | E | .375 x 1.560 |
| 821 to 1100 | CC45 | F | .375 x 2.00 |
* Ceramicon is the registered trade name of silvered ceramic condensers made by Erie Resistor Corporation.
Electronics Division
ERIE RESISTOR CORP., ERIE, PA.
LONDON, ENGLAND • • • TORONTO, CANADA
Do More Than Before—Buy EXTRA War Bonds
April 1945 — ELECTRONICS
WHAT THE WELL DRESSED TUBES ARE WEARING
MYKROY
PERFECTED MICA CERAMIC INSULATION
In their design considerations leading Tube Manufacturers are now specifying MYKROY because it provides the ideal combination of essential insulation characteristics... low-loss — dimensional stability — high strength and heat resistance.
Through advanced engineering ideas utilizing improved materials and better techniques, modern radio tubes achieve a high degree of efficiency. Complete vacuums within the tubes provide the perfect low-loss inter-electrode insulation; externally, however, insulation of lower dielectric properties is often used, considerably reducing tube efficiency.
The external leaks that occur at plate, grid, filament, tube base and socket terminals due to poor insulation, seriously reduce power output. To reduce these external power losses to a negligible minimum, you can now obtain tube accessories and parts made of MYKROY ... the perfected mica ceramic insulation.
Write for full information today. Ask for your copy of the MYKROY Bulletin #104 — containing the scientific facts about this vastly improved Radio Tube Insulator.
MADE EXCLUSIVELY BY
Electronic Mechanics Inc.
70 Clifton Blvd., Clifton, N.J.
Chicago 47, 1917 N. Springfield Ave., Tel. Albany 4310
Export Office: 89 Broad Street, New York 4, New York
MYKROY IS SUPPLIED IN SHEETS AND RODS — MACHINED OR MOLDED TO SPECIFICATIONS
MECHANICAL PROPERTIES*
MODULUS OF RUPTURE 18000-21000psi
HARDNESS Mohs Scale 3-4 BHN. BHN 500 K9 Load. 63-74
IMPACT STRENGTH ASTM Charpy 34-41 ft. lbs.
COMPRESSION STRENGTH 42000 psi
SPECIFIC GRAVITY 2.75-2.8
THERMAL EXPANSION .000006 per Deg. Fahr.
APPEARANCE Brownish Grey to Light Tan
ELECTRICAL PROPERTIES*
DIELECTRIC CONSTANT 6.5-7
DIELECTRIC STRENGTH (1/4") 630 Volts per Mil
POWER FACTOR .001-.002 (Meets AWS L-4)
*THESE VALUES COVER THE VARIOUS GRADES OF MYKROY
GRADE 8. Best for low loss requirements.
GRADE 38. Best for low loss combined with high mechanical strength.
GRADE 51. Best for molding applications.
Special formulas compounded for special requirements.
Based on Power Factor Measurements made by Boonton Radio Corp. on standard Mykroy stock.
Why are Carbonyl Iron Powders better?
In illustration, note regularity of pattern. This is due to uniform shape, density, size, and purity of each particle.
These factors account for high "Q" value—the combination of maximum magnetic permeability and minimum power loss. This is why carbonyl iron powders are better.
The following text gives a brief, complete outline of G.A.F. Carbonyl Iron Powders for those desiring more information.
G.A.F. Carbonyl Iron Powders are obtained by thermal decomposition of iron penta-carbonyl. There are five different grades in production, which are designated as "L," "C," "E," "TH," and "SF" Powder. Each of these five types of iron powder is obtained by special process methods and has its special field of application.
The particles making up the powders "E," "TH," and "SF" are spherical with a characteristic structure of increasingly larger shells. The particles of "L" and "C" are made up of homogenous spheres and agglomerates.
The chemical analysis, the weight-average particle size, the "tap density" and the apparent density are given in the following table for the five different grades:
| Carbonyl Iron Grade | % Carbon | % Oxygen | % Nitrogen | Wt. Ave. diameter microns | Tap Density g/cm3 | Apparent Density g/cm3 |
|---------------------|----------|----------|------------|---------------------------|-------------------|------------------------|
| L | 0.005—0.03 | 0.1 —0.2 | 0.005—0.05 | 20 | 3.5—4.0 | 1.8—3.0 |
| C | 0.03 —0.12 | 0.1 —0.3 | 0.01 —0.1 | 10 | 4.4—4.7 | 2.5—3.0 |
| E | 0.65 —0.80 | 0.45—0.6 | 0.6 —0.7 | 8 | 4.4—4.7 | 2.5—3.5 |
| TH | 0.5 —0.6 | 0.5 —0.7 | 0.5 —0.6 | 5 | 4.4—4.7 | 2.5—3.5 |
| SF | 0.5 —0.6 | 0.7 —0.8 | 0.5 —0.6 | 3 | 4.7—4.8 | 2.5—3.5 |
With reference to the chemical analysis shown above it should be noted that spectroscopic analysis shows the rest to be iron with other elements present in traces only.
Carbonyl Iron Powders are primarily useful as electromagnetic material over the entire communication frequency spectrum.
Table 2 below gives relative Q values (quality factors) and effective permeabilities for the different grades of carbonyl iron powder. The values given in the table are derived from measurements on straight cylindrical cores placed in simple solenoidal coils. Although the data were not obtained at optimum conditions, the Q values as expressed in percentage of the best core give an indication of the useful frequency ranges for the different powder grades.
| Carbonyl Iron Grade | Effective Permeability at 1 kc | 10 kc | 150 kc | 200 kc | 1 Mc | 100 Mc |
|---------------------|-------------------------------|-------|--------|--------|------|--------|
| L | 4.16 | 100 | 96 | 90 | 43 | 1 |
| C | 3.65 | 94 | 100 | 98 | 72 | 3 |
| E | 3.09 | 81 | 94 | 100 | 97 | 30 |
| TH | 2.97 | 81 | 93 | 98 | 100 | 54 |
| SF | 2.17 | 62 | 71 | 78 | 84 | 100 |
(Note: The actually measured Q values can be obtained by multiplying the rows respectively with: 0.78, 1.09, 1.35, 2.43, and 1.62.)
"L" and "C" powders are also used as powder metallurgical material because of their low sintering temperatures, high tensile strengths and other very desirable qualities. (Sintering begins below 500°C and tensile strengths reach 150,000 psi.)
Further information can be obtained from the Special Products Sales Dept., General Aniline & Film Corporation, 437 Hudson Street, New York 14, N. Y.
PROTECTS!
...the insulation that safeguards critical equipment operation—
TURBO
★ FLEXIBLE VARNISHED TUBING
★ SATURATED SLEEVING
★ VARNISHED GLASS TUBING
★ EXTRUDED TUBING
★ WIRE IDENTIFICATION
New applications...
Continuous, dependable functioning of electrical products and equipment is imperative in every category—industrial, communications appliances, and accessories. Equally important is maintenance—repairs when required, must be permanent, fast and economical. In both, severe operating hazards and general deterioration must be surmounted by planned design and proper choice of insulation materials.
TURBO can meet these requirements. Whether your product-functioning involves high, low or fluctuating temperature, acids, alkalis, corrosive fumes or vapor, there is a TURBO insulation to meet your exacting specifications. All are available in a wide range of vivid colors for rapid identification. A free Specimen Board with samples and sizes of each will be sent on request on company letter head.
WILLIAM BRAND & CO
276 FOURTH AVENUE, NEW YORK, N.Y.
325 W. HURON STREET, CHICAGO, ILL.
"The following is electrically transcribed..."
"Super Suds, Super Suds, lots more suds..."
on PRESTO discs!
To any modern youngster or her Mommy, the Super Suds jingle is as familiar as the works of Mother Goose. In two years, this merry snatch of song has proved itself a commercial with "super-do"—lilting its way into the musical memory of America, and, incidentally, selling a whacking big heap of suds.
Super Suds "spots" are cut on PRESTO discs.
Most important transcriptions are. For recording engineers know that PRESTO discs give finer results with less margin for error—actually perform better than most of the recording equipment on which they are used. That's why you'll find, in most large broadcasting stations, recording studios and research laboratories, the standard recording disc is a PRESTO.
WHY BROADCASTING STUDIOS USE MORE PRESTO DISCS THAN ANY OTHER BRAND
Less Surface Noise No Distortion Easier on Cutting Needle No Fussy Needle Adjustments
WORLD'S LARGEST MANUFACTURER OF INSTANTANEOUS SOUND RECORDING EQUIPMENT AND DISCS
PRESTO RECORDING CORPORATION
242 West 55th Street, New York 19, N.Y.
Walter P. Downs Ltd., in Canada
KARP, AMERICA'S FOREMOST SHEET METAL SPECIALIST, IS GEARED TO PRODUCE
Broadcasting Station Control Desk
TO YOUR SPECIFICATIONS SIMPLE OR COMPLEX UNITS OF ANY SIZE, IN ANY
Relay and Switch Gear Rack
Left: Steel Facilities for Liberty Ship Communications Equipment (without instruments)
Relay or Transmitter Rack Cabinet (front view)
Relay or Transmitter Rack Cabinet (rear view)
QUANTITY, MORE EFFICIENTLY, MORE REASONABLY, AND ON SCHEDULE.
Chassis for Link Trainer
Aluminum Radio Shield
Aluminum Radio Chassis
124 30th STREET • BROOKLYN 32, N.Y.
To assist the equipment designer Federal offers comprehensive data on high frequency cables.
This technical information sheet provides the design-engineer with pertinent electrical and physical characteristics...including impedance, capacitance, attenuation, diameter, materials, and weight for Federal’s wide variety of high-frequency cables.
Single and double braid, armored, dual conductor and dual coaxial, air spaced, low capacitance lines, and antenna lead-in wire...there’s a right type for your job, backed by the built-in superiority that’s a tradition with Federal.
Special developments in flexible low-loss cables by Federal have resulted in superior cables for all types of transmission. For a better job, see Federal first.
Write for your cable information sheet today.
Federal Telephone and Radio Corporation
ELECTRONICS — April 1945
Callite tube components
meet gruelling Eimac life-tests
Eimac 1500-T's, key FM tubes, undergo a variety of gruelling tests deliberately designed to wear them out. In these tubes, Callite tungsten rod and Callite thoriated tungsten wire specified for uniform high quality and stamina, meet Eimac's high standards of performance.
Callite's careful processing of tube components, such as thoriated wire, is based on years of tungsten research. This special knowledge results in products equal to the most exacting requirements of leading tube manufacturers.
Let us work with your engineers and designers to explore the possibilities of Callite precision-engineered components in your electronic products. It will be worth while to take advantage now of our specialized experience. Callite Tungsten Corporation, 544 Thirty-ninth Street, Union City, New Jersey. Branch Offices: Chicago and Cleveland.
Hard glass leads, welds, tungsten and molybdenum wire, rod and sheet, formed parts and other components for electron tubes and incandescent lamps.
FOR 25 YEARS PIONEERS IN TUNGSTEN METALLURGY
April 1945 — ELECTRONICS
Precision Engineered VARIABLE RESISTORS
Good engineering reduces the element of chance to an absolute minimum. At CTS, every rule of good engineering no matter how slight its application, is strictly adhered to.
Typical of this are the contacts in all CTS variable resistors. Every contact has multiple—and independent—wiping surfaces whose precision workmanship practically eliminates the chance of faulty contact.
Such engineering craftsmanship has made CTS variable resistors known all over the world for dependability.
When your production plans call for new developments in variable resistors, consult these leading specialists—the CTS engineers.
Manufacturers of Quality Electro-Mechanical Components Since 1896
VARIABLE RESISTORS
PLUGS AND JACKS
SWITCHES, RINGERS
TELEPHONE GENERATORS
REPRESENTATIVES
B. W. Farris Co.
406 West Thirty-fourth Street
Kansas City 2, Missouri
Phone: Logan 7495
BRANCH OFFICES
S. D. Hutchinson
401 North Twenty-first Street
Philadelphia 8, Pennsylvania
Phone: Walnut 5369
IN CANADA
C. C. Meredith & Co.
Streetsville, Ontario
IN ENGLAND
Chicago Telephone Supply Co.
St. John's Wood
103 Grove End Gardens
London, N. W. 8, England
*Frank A. Emmet Co.
2837 West Pico Boulevard
Los Angeles 6, California
Phone: Rochester 9111
IN SOUTH AMERICA
Jose Luis Pontel
Cordoba 1472
Buenos Aires, Argentina
South America
Masculino 2634
Montevideo, Uruguay
South America
Avda. Conselheiro Rodrigues
Naves 100
Vila Mariana
Sao Paulo, Brazil
South America
No one told him to go fly a kite
Ben Franklin’s famous experiment with a kite and a key started great electrical developments. Later came the science of electronics which is now helping so substantially in this war.
In electronic optics we have been busy “flying our own kites.” Many experiments and much development work in this field have placed our compact group of precision lens technicians in a position to be most helpful to manufacturers who are planning to make electronic products after the war.
Our entire production is for war now. But many of the optical problems we are solving for the Army and Navy have a direct application to postwar production in television and other electronic fields.
You will find us interested and ready to cooperate on postwar product planning. We have always worked for other manufacturers and make only optical components.
Our plant is equipped with the most modern machinery. We are geared to give you production with precision, quality with economy and original ideas based on sound scientific principles.
for precision OPTICS come to
AMERICAN LENS COMPANY, INC.
45 Lispenard Street, New York 13, N.Y.
LENSSES . . . PRISMS . . . FLATS . . . REFLECTORS
LAPP-DESIGNED, LAPP-BUILT—TO DO A SPECIFIC JOB
This is an antenna base insulator for use on a communications center transmitter. It is one of several Lapp designs for transmitter and receiver mast bases for military vehicular radio—on jeeps, halftracks, tanks and other rolling equipment.
Whether or not this special-purpose gadget has application to anything you build or propose to build, there's a moral in it for you. In this case, as in hundreds of others, an original and impractical design was modified by Lapp engineers—to provide a part that meets all electrical and mechanical requirements, and that Lapp can build economically and efficiently.
Lapp engineering talent and Lapp production methods are such that we can say, "If it's an assembly that can be made of porcelain or steatite and metal parts, tell us what the requirements are and how you think it might be made; Lapp will tell you how it can best be made—and will make it." Our right to that claim has been proved over and over in military electronic production; it's going to be a competitive advantage to smart post-war electronic producers. *Lapp Insulator Co., Inc., LeRoy, N. Y.*
Now accuracy in rugged moving iron vane and dynamometer instruments
Over this entire frequency range 25 ... 3000
WESTON
FREQUENCY COMPENSATED INSTRUMENTS
This is another WESTON contribution born of war's needs, wherein the growing use of equipment operating in the higher power frequency range necessitated instruments of broad flexibility plus the rugged dependability which moving iron vane and dynamometer instruments provide.
And throughout industry today, the growing use of power frequencies above 60 cycles, with the smaller transformers, higher speed motors, simpler rectifier filter systems, makes the use of these instruments essential for their dependable indications and for their economy as well.
Weston is furnishing these instruments as ammeters, voltmeters, and wattmeters, in both portable and switchboard types; flat compensated up to 1000 . . . 2000 . . . 3000 cycles for general laboratory use, as well as for specific application to electronic and power apparatus.
Weston Electrical Instrument Corporation,
618 Frelinghuysen Avenue, Newark 5, N. J.
Some Things speak for themselves
The War Department of the United States of America recognizes in this award for distinguished service the loyalty, energy and efficiency in the performance of the war work by which Driver-Harris Company aided materially in obtaining victory for the arms of the United States of America in the war with the Imperial German Government and the Imperial and Royal Austro Hungarian Government.
1918
The parade of citations and stars awarded to Driver-Harris for contributions to the war effort in the highly specialized field of alloys, began as far back as 1918.
This equivalent of the Army-Navy "E" was awarded to our craftsmen 27 years ago in recognition for their "loyalty, energy and efficiency."
1945
4th CITATION
First exclusive manufacturer of electrical and heat-resistant alloys to receive the Army-Navy "E" Award for the 4th time. There is no greater reward for the steadfast devotion of Driver-Harris employees to their country in time of war.
Driver-Harris COMPANY
HARRISON, N. J.
Branches: Chicago • Detroit • Cleveland
Los Angeles • San Francisco • Seattle
Famous for Nichrome made only by
*Trade Mark Reg. U. S. Pat. Off.
Electronic bombardment of high voltage cable oil under vacuum at 10,000 volts, a test as unique as it is purposeful, is but one indication of the searching investigations here undertaken.
Here, wire and cable Research tests every component beyond the severest demands of service-in-the-field.
Looking far beyond today’s needs, General Cable Research is prepared for the days when there will be commercial application of voltages beyond those of yesterday and today. Research endeavor is exploring in many directions, examining many products, evaluating the stability of many materials under the severest conceivable conditions. When the demand can be met, General Cable high voltage wires and cables will be available.
GENERAL CABLE CORPORATION
Manufacturers of Bare and Insulated Wires and Cables for Every Electrical Purpose
Connect with DICO
CO-AXIAL CONNECTORS TO "AN" SPECIFICATIONS
Performance-proved in specialized high-frequency applications — where only the finest is acceptable — DICO coaxial connectors are now available for additional service to the electronic industry. A catalog will be furnished at your request; please give type designations of the connectors you require.
DICO
DIAMOND INSTRUMENT CO.
NORTH AVENUE • WAKEFIELD, MASSACHUSETTS
ENGINEERING • DESIGNING
CASTING • WELDING
MACHINING • SILVER SOLDERING
PLATING • ASSEMBLING
LET US DEMONSTRATE WHAT ELECTRONIC HEATING can do for YOU
PROOF BY TRIAL . . . that's our motto. Before you invest in electronic heating equipment you should be shown how any process requiring heat can be done better, faster and more economically for you with a Scientific Electric unit.
Our engineers will gladly—without obligation—make a study of the heating process under consideration. They will then make recommendations supported by practical demonstrations on the S.E. heater best suited for the job.
This procedure will enable you to figure accurately the economies that will result; also permit you to estimate the time required to pay for the equipment out of resultant savings.
You can submit your heating problems to us with the assurance that absolute secrecy will be observed, if so desired. Investigate the advantages of applying electronic heating in your manufacturing operations NOW. Consult with us at your earliest opportunity.
Write for free copy of The ABC of Electronic Heating
Manufacturers of Vacuum Tube and Spark Gap Converters Since 1921
Scientific Electric
DIVISION OF "S" CORRUGATED QUENCHED GAP COMPANY
119 MONROE ST. GARFIELD, N. J.
3 KW DIELECTRIC HEATER
Diellectric Heating Units priced from $1500.
(3 KW complete)
5 KW INDUCTION HEATER
Induction Heating Units priced from $1285.
(for 5 KW complete with 1 work coil)
Scientific Electric Electronic Heaters are made in the following range of power: 3—5—7½—8—10—12½—15—18—25—40—60—80—100—250 KW.—and range of frequency up to 300 Megacycles depending on power required.
OHMITE RESISTORS
April 1945 — ELECTRONICS
More than 60 Core Sizes to Meet Every Control Need
Large resistors. Small resistors. Stock units. Made-to-order units. You get the exact size and type you need at Ohmite, to solve your particular problem. More than 60 different core sizes . . . as large as $2\frac{1}{2}$" diameter by 20" long . . . as small as 5/16" diameter by 1" long. Where required, special sizes can be produced. Terminals, mountings, enclosures are available for all types of applications.
Ohmite quality is time-proved. These rugged resistors serve in all types of critical equipment for war, industry, research and communications. They give trouble-free resistance control under extremes of temperature, humidity, shock, vibration, altitude. Experienced Ohmite engineers are at your service always.
Write on company letterhead for Industrial Catalog and Engineering Manual No. 40.
OHMITE MANUFACTURING CO.
4816 Flournoy St., Chicago 44, U.S.A.
Be Right with OHMITE
RHEOSTATS • RESISTORS • TAP SWITCHES
Quality Counts
The Koh-i-nor is one of the world's most magnificent diamonds. Weighing 106-1/16 carats, it is famous for its brilliance and luster. Of course, a diamond is considered supreme as a jewel because it is the hardest, most imperishable and most brilliant of all gems. The Koh-i-nor's reputation places it in a separate class apart from other diamonds due to its flawless quality — a true example of the fact that, with any product, Quality Counts.
The Ward Products Corporation, realizing this fact, has long been the leader in the manufacture of one-piece and sectional antennas for automobile and home radios. Ward products are quality products, the workmanship of craftsmen using modern equipment under ideal conditions. Many important design changes pioneered by Ward, have become accepted standards in the industry... For quality antennas for all applications, look to Ward.
Ward Antennas
The Ward Products Corporation
1523 East 45th Street, Cleveland 3, Ohio
April 1945 - Electronics
It Bends...
Tough Production Problems Made Easy by this Remarkable Property of National Vulcanized Fibre
Just as the amazing bending properties of National Vulcanized Fibre suggested its use and simplified the production of this arc baffle—so will its combination of outstanding characteristics make it readily adaptable for the manufacture of countless other industrial products.
Its superior machinability and forming qualities, its toughness and high dielectric strength, its resistance to wear and abrasion, its lightness of weight and its long-lasting durability—all combine to make this material highly versatile and suitable for an almost endless number of industrial uses. If desired, these same properties may be modified to meet requirements of your specific applications.
Right now our entire output is being used for vital war purposes. But our technical engineers will be glad to work with you and show you how this versatile material will help you overcome tough production problems in peacetime...how it may open up entirely new fields for profitable products for you. Write us now. Let a trained technical man show you how National Vulcanized Fibre will help you later on.
NATIONAL VULCANIZED FIBRE CO.
Wilmington, Delaware Offices in Principal Cities
STACK MOUNTING CAPACITORS
Aerovox popularized this type. Originally a special item made only to order and at custom-built prices, it was Aerovox that selected and standardized the sizes, voltages and capacitances so that standard Aerovox stack-mounting units could be regularly produced, listed and properly priced. The rest is history.
Especially intended for various transmitting and electronic applications, these heavy-duty micas have found wide usage in military and peaceful applications alike. Such units are especially popular in heavy-duty transmitting applications such as grid, plate blocking, coupling, tank and by-pass functions. Also in carrier-current applications.
Special yesterday, standard today, Aerovox stack-mounting mica capacitors have contributed greatly to available quality equipment and outstanding performance.
Literature on request...
AEROVOX CORPORATION, NEW BEDFORD, MASS., U.S.A.
SALES OFFICES IN ALL PRINCIPAL CITIES
Export: 11 E. 40 St. New York 16, N.Y. • Cable "ARLAB" • In Canada AEROVOX CANADA LTD., Hamilton, Ont.
April 1945 — ELECTRONICS
Wherever American planes go, Amphenol products go with them—even into the upper stratosphere where severest conditions are experienced. They may be A-N or British connectors, perhaps cable assemblies, perhaps synthetic conduit, or the aristocrat of electrical wiring—RG Cable and U.H.F. connectors. In many planes you will find them all.
Some types are available for work in pressurized quarters, others where explosion-proofing is vital. There are some that are used because they can stand contact with oil, or acid or water. Regardless of where you find them, Amphenol products have earned the right to be there by passing every required test and by performance on many a firing line.
AMERICAN PHENOLIC CORPORATION
Chicago 50, Illinois
In Canada—Amphenol, Limited—Toronto
Connectors (A-N, British, U.H.F.) Cable Assemblies • Conduit, U.H.F. Cable • Radio Parts • Plastics for Industry
WILCO facilities Expanded to Meet Wartime Needs!
But Postwar Industry will be the ultimate gainer from the many new WILCO products and developments
As the Hourglass indicates . . . at the coming of peace, the skill and experience gained in the development and application of new WILCO products and techniques will mean much to automotive, electrical appliance and many other types of manufacturing customers.
Though now chiefly applied to the war effort, these new WILCO developments are destined to play as vital a role in the post-war industrial "comeback" as they are now playing in scores of wartime applications.
Thermostatic Bimetals, Electrical Contacts, and Precious Metal Bimetallic Products are such important factors in the precision performance of ships, planes, tanks, guns, and various instruments of the Army and Navy that the H. A. Wilson Company has found it necessary to enlarge its facilities and develop these important new products and techniques.
In the postwar period no company will be better equipped to meet individual requirements for Thermostatic Bimetals and Electrical Contacts on any desired scale than the H. A. Wilson Company, pioneers in this field.
WILCO PRODUCTS ARE: Contacts—Silver, Platinum, Tungsten, Alloys, Sintered Powder Metal. Thermostatic Bimetal—High and Low Temperature with new high temperature deflection rates. Precious Metal Collector Rings for rotating controls. Silver Clad Steel—for bearings, shims, reflectors, Jacketed Wire—Silver on Steel, Copper, Invar, or other combinations requested. Silver Clad Steel. Rolled Gold Plate. Special Materials.
THE H. A. WILSON COMPANY
105 Chestnut Street. Newark 5, New Jersey
Thermometals—Electrical Contacts
Precious Metal Bimetallic Products
April 1945 — ELECTRONICS
You take for granted the plating process in the manufacture of Utah’s radio parts and electronic devices. Just as you would take for granted the Utah loud speakers in manufacturers’ sets.
But Utalins* don’t. They work on this phase of production as carefully as if they were plating with gold. They know that plating is one of the more important steps in the production of these products of precise manufacture...of proven performance. Products that stand up under every condition known to man.
Utalins* begin with nothing but raw materials. As each step follows in the process of manufacture... tool making, welding, punch press, electroplating, and all the other steps...it’s checked, re-checked, tested, supervised. Finally the finished products, shipped from Utah’s self-contained factory, prove the Utah method correct. For they speak by performance.
UTAH RADIO PRODUCTS COMPANY
820 Orleans Street, Chicago 10, Illinois
Utah Electronics (Canada) Ltd., 300 Chambly Rd., Longueuil, Montreal
(23) P.Q. • Ucoa Radio, S.A., Misiones 48, Buenos Aires
*Utah’s helpers.
IT IS EASY to see that both these gentlemen are satisfied customers of General Industries. One acclaims our “know-how” in molded plastic parts — the other our velvety Smooth Power motors. Yes, we do both jobs under one roof and one management.
GENTLEMEN, YOU’RE BOTH RIGHT!
The plastic parts buyer has profited from the ingenious skill of our mold makers, who enable us to turn out tricky jobs economically and on time. Quite likely he has seen our up-to-date equipment for compression, transfer and injection molding of large or small parts in any quantities. Our engineers have made sensible and workable suggestions, by reading between his blueprint lines. He is typical of leading manufacturers in many fields who rely upon General Industries plastics division.
The speaker on Smooth Power motors might be a radio-phonograph builder who uses our turntables, record changers and recorders. Or he might be a designer who depends upon these fine low-torque drives to power electric, electronic or mechanical devices. In any case, he’s well acquainted with the facilities of our Smooth Power motor division.
We want to emphasize the point that we’re a thoroughly able producer of both these products. If your plans call for either or both, we’d like to work with you. In your request for details, please address the respective division . . . small motors or plastics.
Solutions to SOME OF YOUR PROBLEMS
dag dispersions of colloidal graphite crown with success many a search for solutions to difficult lubrication problems like these:
- Minimizing Diamond-Die Wear and Wire Breakage.
- Providing Lubrication and Conductivity Simultaneously.
- Producing a Non-Reflective Ray-Focusing Anode.
- Obtaining a Shielding Material Which Can Be Applied Like Paint to Any Surface, Whether Rigid or Flexible.
Don't think of dag colloidal graphite as a single product. Actually it is many products in one, each with its own specific advantages and applications.
Oildag*, Aquadag, Glydag, and some of the other familiar Acheson products are only a few dispersions in a long, versatile list.
Many dag suspensions, hitherto not available, have been developed during the war, thus greatly broadening the usefulness of colloidal graphite. You may save yourself considerable production and maintenance grief by thoroughly investigating the family of dag dispersions.
A complete product list and general booklet are available on request without obligation.
dag colloidal graphite
ACHESON COLLOIDS CORPORATION, Port Huron, Michigan
* Oildag, Aquadag and Glydag are registered trade marks of Acheson Colloids Corporation.
TO GET THESE
These new bulletins on specific applications for dag colloidal graphite are yours for the asking
421 dag colloidal graphite for ASSEMBLING AND RUNNING-IN ENGINES AND MACHINERY
422 dag colloidal graphite as a PARTING COMPOUND
423 dag colloidal graphite as a HIGH TEMPERATURE LUBRICANT
431 dag colloidal graphite for IMPREGNATION AND SURFACE COATINGS
432 dag colloidal graphite in the FIELD OF ELECTRONICS
MAIL THIS
ACHESON COLLOIDS CORPORATION
PORT HURON, MICHIGAN DEPT. 5-D
Please send me, without obligation, your general booklet on dag colloidal graphite, and also free copies of the specific bulletins checked below:
No. 421 [ ] NAME ____________________________
No. 422 [ ] POSITION _________________________
No. 423 [ ] FIRM _____________________________
No. 431 [ ] ADDRESS __________________________
No. 432 [ ] CITY ___________ ZONE No. ______ STATE _______
OUR PRESENT OIL SUPPLIER IS _______________________
(Lubricants containing dag colloidal graphite are available from major oil companies.)
It must be made of Steatite
Whether in the field of communication (high and ultra-high frequency) or in the various industrial electronic fields, there is no substitute for Centralab Steatite.
There are no other materials that can be made in as many varied forms and shapes as Steatite. Our engineering and laboratory facilities are at your disposal.
Producers of VARIABLE RESISTORS — SELECTOR SWITCHES — CERAMIC CAPACITORS, FIXED AND VARIABLE — STEATITE INSULATORS — AND BUTTON-TYPE SILVER MICA CAPACITORS.
Centralab
Division of GLOBE-UNION INC., Milwaukee
WHEN MAGNET WIRE Must take the RAP!
FORMEX* helps keep down rejects—lowers cost of completed windings.
Few operations put magnet wire to a tougher test than bench assembly of armatures and stators. And rough treatment is intensified by today’s push for high production despite high labor turnover.
Because of its exceptionally tough and flexible insulating film, FORMEX magnet wire can take a lot more such abuse than conventional enameled wire. When coils are being wound, bonded, baked, formed, or handled, this extra toughness (and extra resistance to heat-shock and solvents) helps to reduce rejects without requiring “babying” techniques.
As the world’s largest user of magnet wire, General Electric makes the same sort of comparisons of installed costs as you might make. These comparisons show that, even in those few cases where the cost of Formex may be slightly higher than the cost of conventional magnet wire which it replaced, the higher first cost is definitely offset by lower costs of manufacturing the completed coil or installed winding. In addition, the choice of Formex for new designs permits more compact windings, which, in turn, save space, copper, and frame materials.
Why not, right now, ask your G-E representative for complete information and samples of Formex wire. General Electric Company, Schenectady 5, N. Y.
Round wire sizes: No. 8 Awg to .001 in.
Rectangular wire: Full range of sizes.
Buy all the BONDS you can—and keep all you buy
*Trade-mark
Reg. U.S. Pat. Off.
GENERAL ELECTRIC
FORMEX MAGNET WIRE
Out of the War Came BETTER Insulation!
STRIKING progress in many lines during the all out war effort will have great value in the future and will pay back a part of the terrible cost of war.
Formica FF and MF grades developed during this time have introduced glass base laminated sheets to electrical engineers and have provided insulation of a new high quality in the laminated form.
Some of these grades are excellent high frequency insulators—comparable with ceramics—yet they maintain the easy machinability and workability of laminated parts. They can be punched, drilled, milled. Some of them have exceptional heat resistance for use in motor slot wedges and similar applications.
They will produce better electrical devices at lower costs in the years to come, and contribute in a small way to making a better world.
Engineering data on request.
THE FORMICA INSULATION COMPANY
4661 Spring Grove Avenue
Cincinnati 32, Ohio
FORMICA
Heintz and Kaufman is establishing a standardization policy which will be heartily welcomed by all who design and service electronic equipment.
From now on, whenever you engineer your equipment around Gammatron tubes you can be sure that identical replacement tubes will be readily available throughout the life of that equipment!
Thus while Heintz and Kaufman will continue to develop new and improved Gammatrons, these advancements will never embarrass the equipment manufacturer since they will not result in the discontinuance of any Gammatron type.
We are starting this program off by standardizing the specifications for 22 Gammatron types, the outstanding products of our 17 years of tube research and development.
The electrical and physical uniformity and quality of these 22 types will be maintained at the level of Joint Army and Navy specifications. We feel that these specifications are sufficiently high to serve as a sound basis for our standardization policy.
With the establishment of this progressive policy, Heintz and Kaufman Ltd. is taking the lead to end the problem you have always faced of redesigning equipment in production because of variations in type characteristics, and to prevent the premature obsolescence of equipment from the same cause.
Here are the 22 types of Gammatrons which we pledge will be available during the years ahead, always conforming to the same high specifications:
14 TRIODES: HK-24, 24G, 54, 254, 354C and E, 454L and H, 654, 854L and H, 1054L, 1554, 3054.
1 PENTODE: HK-257B.
4 HIGH VACUUM RECTIFIERS: HK-253, 953B, D, and E.
3 IONIZATION GAUGES: VG-2, VG-24G, VG-54.
Our advertisement next month will contain additional data on the above types, and will also include a list of Gammatrons available primarily for replacement use.
Have you written for the specification sheet on the HK-1054 Gammatron?
HEINTZ AND KAUFMAN LTD.
SOUTH SAN FRANCISCO • CALIFORNIA
Gammatron Tubes
Export Agents: M. Simons & Son Co., Inc. 25 Warren Street, New York City, N.Y., U.S.A.
FIELDS OF TOMORROW
will be developed more efficiently because of Thordarson Transformers being designed TODAY!
Our 50 years of general experience, plus the many new results of war-time research are a guarantee that Thordarson will have the right transformer for every need, when civilian orders may again be accepted.
THORDARSON
TRANSFORMER DIVISION
THORDARSON ELECTRIC MFG. CO.
500 WEST HURON STREET, CHICAGO, ILL.
Transformer Specialists Since 1893
... ORIGINATORS OF TRU-FIDELITY AMPLIFIERS
THYRATRON WL-678
Grid Controlled Mercury Vapor Rectifier
General Characteristics
| | 55° C Max. Thg | 50° C Max. Thg |
|--------------------------|----------------|----------------|
| Filament Voltage | 5.0 Volts | 5.0 Volts |
| Filament Current | 7.5 Amperes | 7.5 Amperes |
| Filament Heating Time (Minimum) | 1 Minute | 1 Minute |
| Typical Control Bias at Rated Voltage | -50 Volts | -75 Volts |
Maximum Ratings
| | | |
|--------------------------|----------------|----------------|
| Anode Voltage, Peak Forward | 10000 | 15000 |
| Anode Voltage, Peak Inverse | 10000 | 15000 |
| Anode Current, Average | 1.6 Amperes | 1.6 Amperes |
| Anode Current, Peak | 6 Amperes | 6 Amperes |
| Temperature Range, Condensed Mercury | 25 to 53° C | 25 to 50° C |
THIS NEW
15,000 VOLT THYRATRON
provides split-cycle control of high power for R.F. heating units, and radio transmitters
The WL-678 combines the high voltage characteristics of a Kenotron, the efficiency of a Phanotron, and the controllability of a Thyatron. This latest feat of Westinghouse engineering offers the electronic equipment designer the following outstanding advantages:
- Smooth and instantaneous power control from 0% to 100% load
- Simplified automatic load control
- High speed automatic overload protection
- Low space and weight requirements
- Low control power requirements
For more detailed information—write to your nearest Westinghouse office or to Westinghouse Electric and Manufacturing Company, Lamp Division, Bloomfield, N.J.
Westinghouse Electronic Tube distributors are located in principal cities.
Westinghouse
PLANTS IN 23 CITIES OFFICES EVERYWHERE
Quality Controlled Electronic Tubes
ELECTRONICS — April 1945
CATHODE-RAY TUBE DATA
DuMont bulletins are arranged to give the essential data on each cathode-ray tube type in the manner which the industry has found most useful and complete. Be sure you have these bulletins in your electronic reference library. Available on request written on your business stationery.
DU MONT Precision Electronics & Television
ALLEN B. DUMONT LABORATORIES INC., PASSAIC, NEW JERSEY • CABLE ADDRESS: WESPEXLIN, NEW YORK
April 1945 — ELECTRONICS
Problems are our Dish—TRY YOUR KNOW-HOW ON THIS ONE!
HOW MANY PAGES DID THIS WORM EAT... AND WHY?
Ten books are arranged in orderly fashion on a shelf. Each book has 100 pages, making 1,000 pages in all. A worm starting on the first page of the first book eats through the last page of the last book. How many pages has he eaten?
The answer to this one will be given in next month’s advertisement or in reply to your written query. But don’t give up, it’s simple to solve as is our ability to solve your design, fabricating, production and assembly problems.
FRANKLIN KNOW-HOW and WHAT-WITH CAN SOLVE YOUR PROBLEM of design, fabrication, production and assembly of small metal and laminated parts.
At Franklin you will find engineers with the Know-How of design and the What-With in equipment and facilities for coordinated efficient production... tool and die makers who click the first time... facilities for compression molding of bakelite parts... equipment for making plastic parts including laminations... machinery for fabricating small metal parts... hot tinning... plating... parkerizing... vacuum impregnating... tropicalization... all the facilities to do a job from the raw material to the finished part and complete assembly.
Franklin coordinated engineering, design, fabrication and production assures economical use of materials, low competitive costs and quick certain deliveries... let Franklin solve your production problems.
LAST MONTH’S PROBLEM AND ITS SOLUTION
Problem — D is a missionary interviewing 3 natives of a country where everyone has either black or white feet. The white footed ones can tell only the truth and the black footed natives can tell only lies. All three natives are wearing boots. To the liar?
D to A—"What is the color of your feet?"
A—"Mumbles incoherently."
D to B—"What did A say?"
B—"A says he has white feet".
C—"B lies, A says he has black feet".
Solution — "A" can only answer that he has white feet for if he has black feet he must lie and say white and if he has white feet he must tell the truth and say white. Therefore B told the truth and C is the liar—simple isn’t it.
ELECTRONIC COMPONENTS
SOCKETS • TERMINAL STRIPS • PLUGS • SWITCHES • PLASTIC FABRICATION • METAL STAMPINGS • ASSEMBLIES
A.W.Franklin MANUFACTURING CORP.
175 VARICK ST., NEW YORK 14, N.Y.
Again it's HYTRON—Easy on the Battery!
In mobile operation, the battery is the kingpin. Two-way police radio takes it out of the battery twenty-four hours a day. Conservation of battery power during stand-by periods is mandatory.
Instant-heating Hytron tubes with thoriated tungsten filaments came to the rescue of police radio. Only when on duty, does police radio equipment draw power when Hytron tubes are used. Filament and plate power go on together.
And that's not all. The Hytron HY31Z, HY65, HY69, HY1231Z, and HY1269 are rugged. HY65 performance in two-way motorcycle police radio has proved this. Including 12-volt filament tubes for marine applications, Hytron's instant-heating line is versatile. Concentration is on the R. F. beam tetrode — work horse of transmitting tubes — but also included is the HY31Z twin triode for Class B. One type can power a whole transmitter — R. F. and A. F. — thus simplifying the spares problem (e.g., Kaar Engineering transmitters built around the HY69).
Wartime uses are bringing additions to the Hytron instant-heating line. Watch for future announcements.
HYTRON
RADIO AND ELECTRONICS CORP.
MAIN OFFICE: SALEM, MASSACHUSETTS
PLANTS: SALEM, NEWBURYPORT, BEVERLY & LAWRENCE
FORMERLY HYTRON CORPORATION
FIRST THIS - in 1930*
98 ounces
THEN THIS - in 1940*
21 ounces
NOW - in 1945*
4.64 ounces
ALNICO 5
by Jensen
Fifteen years ago, when JENSEN introduced the first Permaner.t Magnet Loud Speaker in the United States, the magnet itself weighed 98 ounces (6.1 pounds) — a bulky, costly structure ... but, still an outstanding first by JENSEN. By 1940, through advanced design and without decreasing the magnetic strength, JENSEN had reduced the weight of the magnet for an equivalent speaker to 21 ounces!
Now, with ALNICO 5 the most powerful magnet material ever developed, JENSEN is able to obtain the same magnetic strength as in the original 1930 design with a magnet weighing only 4.64 ounces, giving compactness and light weight with highest efficiency.
Jensen
SPEAKERS WITH
ALNICO 5
* All of equal performance ability
Specialists in Design and Manufacture of Acoustic Equipment
JENSEN RADIO MANUFACTURING COMPANY, 6601 SOUTH LAKE AVE, CHICAGO 38, ILLINOIS
ELECTRONICS — April 1945
MEMO TO Purchasing Dept.
For postwar, recommend we standardize on Solar's hermetically-sealed, patented special twist-prong base Type DY electrolytic. They're properly protected against moisture.
E.M.
LEADING MANUFACTURERS EVERYWHERE
| PART NO. | SOLAR PART NO. | CAPY MFD. | WKG. VOLTS | DIMENSIONS |
|----------|----------------|-----------|------------|------------|
| 51 B50-1 | DY-61 | 20+20 | 150 | 1" |
| 51 B50-2 | DY-92 | 20+20 | 450 | 1" |
| 51 B50-3 | DY-94 | 10+10 | 450 | 1" |
| 51 B50-4 | DY-132 | 15+10+20 | 350-350:25 | 1" |
| 51 B50-5 | DY-141 | 10+10+20 | 450-450:25 | 1" |
DRAWN E.OH DATE 1/4/45
TRACED M. DWG. No. 51 B50
APPROVED J.C. ISSUE
Prominent engineers consistently show their preference for Solar Capacitors. Solar pledges continued production of superior quality capacitors to merit that preference. Solar Manufacturing Corporation, 285 Madison Avenue, New York 17, N.Y.
A TOTAL OF EIGHT ARMY-NAVY EXCELLENCE AWARDS!
BAYONNE PLANT WEST N. Y. PLANT
SOLAR CAPACITORS & ELIM-O-STATS
April 1945 — ELECTRONICS
A BOOK to be published early in April by the McGraw-Hill Book Company carries the provocative title "Prosperity: We Can Have It If We Want It." Its authors, Messrs. Shields and Woodward, state in vigorously challenging terms their conviction that the United States will emerge from war with human, material and technological resources adequate to provide a nation-wide standard of living unprecedented in world history. They present, too, their formulation of the several policies and procedures which must be followed by government, business, and labor if we are to realize our potential for a high and sustained prosperity unmarred by prolonged periods of severe unemployment and business stagnation such as have haunted our economic past.
The specific proposals set forth will elicit both enthusiastic acclaim and acrid dissent, for the book deals in far from gentle fashion with many of the currently fashionable panaceas for assuring prosperity by magic formula. It examines, and discards as effective guarantors of prosperity, whatever their individual merits upon other grounds, programs for public works, slum clearance, subsidizing of small business, foreign loans, social insurance, deficit government spending, redistribution of income, the numerous formulae for monetary management, repeal of the anti-trust laws, or any of the loosely-phrased admonitions that government should do nothing and allow everything to take its course untrammeled by controls of any kind.
On the positive side, the book urges clear recognition of the fact that prosperity, under a system of business enterprise, depends primarily upon the existence of competitive incentives that spur capital investment to provide better tools and equipment, that improve organization and technology to insure continuously increasing productivity per man-hour of work, and that enlarge markets by producing what the consumer wants at lower prices to the end that real incomes may be increased.
In short, prosperity depends upon profitable and expanding business and employment opportunity, so it becomes the part of enlightened government, business, agriculture and labor policy to promote those measures which will forward rather than retard the major aim of expanding production.
However great the room for dissent upon the adequacy, or the phrasing, of the specific recommendations it makes, the approach of this book has one virtue of solid merit. It attacks positively the problem of what steps should be taken to achieve and hold prosperity rather than merely devising a politice to be applied when and if we run into a decline.
Virtually all responsible spokesmen for government, and for business, labor, and agricultural groups, are agreed upon the goal of prosperity. Moreover, they agree that, insofar as possible, it should be achieved through the effort of private enterprise, with government intervention utilized only as a last resort. But despite this unanimity, almost all public discussion of the problem has concentrated upon the nature, the extent, and the timing of such government expenditures as may be found necessary to combat deflation. Since upon this question there is far from general agreement, our procedure has created an exaggerated sense of divergence in a field in which, so far as fundamentals go, we all are in accord to quite an unusual degree.
No confusion should be caused by the fact that the generally current phrase for prosperity is "full employment." The latter phrase merely states the goal in terms of human values, which are good terms in which to state any goal. What matters is that we generally are agreed as to what we mean when we say that we want prosperity or full employment. Not only do we know what we mean, but within very rough limits we can give dimension to our concepts. There are a few whose appraisals are somewhat lower, but most competent estimators set the goals for about 1950 at an average annual employment in civilian jobs of between 55 and 57 million persons, with a gross national product of between $185 and $200 billion measured at 1943 price levels. This contrasts with the 1944 level of non-military employed of 51½ million, and a gross output for the end of 1944 of over $200 billion. It assumes a reduction of the average work-week to 40 hours.
It will take some such levels as these to provide employment for those who seek work, with only sufficient "frictional" unemployment (those temporarily listed as unemployed because of the normal turnover between jobs) to afford reasonable labor-market flexibility to both workers and employers. The non-military employment figures are generally consistent with the officially stated postwar goal of jobs for 60 million workers, since the latter figure is generally understood to be an estimate of the labor force, which includes members of the armed services and an allowance for frictional unemployment.
There are a number of reasons why the estimates cannot be figured more closely, and why no one can be very confident even of the validity of the stated limits. The chief points of doubt in the employment estimates relate to how many withdrawals there are likely to be on the part of women, oldsters, and youngsters, who now are in the labor force to a number more than 6 millions beyond normal expectancy; how many men will be retained in the armed forces; and whether the
postwar frictional unemployment should be calculated as approximating the current 1 million or the 3 million so-listed in the prosperous year of 1929. Additional uncertainties cloud the estimates of gross national product. Notable among them is the fact that no one is sure of the war's effect upon man-hour productivity trends, in view of the fact that half of our current output has consisted of products that had no substantial counterpart in our peacetime price or production series.
Nevertheless, despite such qualifications, it is fair to say that we do have a general conception of the magnitude of our postwar goals. Although they are well within our production potentials as demonstrated in this war, they are formidably beyond any previous record of peacetime achievement. Only the most sanguine optimism could lead one to expect that they will be achieved without concerted will, planning, and cooperative effort. Only blind recklessness could engender confidence that once attained they will automatically be held, let alone expanded in normally healthful growth.
If we were to follow past patterns, our war-built boom would, after a period of uncertain length, collapse into disastrous depression. The very magnitude of our recent growth would contribute to the depth and duration of the subsequent trough. Yet a fall even to the level of our previous peacetime-peak-year 1939, has been estimated by The Federal Reserve Board to imply unemployment for between 15 and 20 million persons. If human values have importance, that is something that must not be allowed to occur. If business values have importance, we must not tolerate again such losses as occurred from 1930 to 1933, when sales over the four year period were $128 billion less than would have been provided if the 1929 level had held, and corporate profits declined from more than $7 billions in 1929 to an average annual loss of $1 billion over the next four years. A repetition of these things cannot be tolerated—if foresight and cooperative effort can prevent them.
In January of this year Senator Murray introduced in the Senate a bill entitled "The Full Employment Act of 1945." It instructs the President to submit to Congress plans for eliminating both unemployment and inflation, including recommendations for correcting structural defects in the economic system. It provides for a Joint Congressional Committee to consider the proposals of the President, to take testimony from experts and the general public on these proposals or any others it may wish to consider, and after weighing all the facts to submit its findings to Congress. It provides for an advance budgeting of the constituent parts of a full-employment economy, and commits the Federal Government to provide, in advance, for sufficient expenditures (through private contractor channels) to make up for the gap between estimated private expenditures and the amount necessary to assure full employment.
By no stretch of the imagination can The Full Employment Bill, in its present form, be regarded as acceptable to business. Yet it may well present a test of whether or not American business can deal with problems in this area in a statesmanlike fashion. Such statesmanship will consist in demonstrating first, that the Bill is not acceptable because of deficiencies which preclude the possibility of its accomplishing the avowed purposes; and second, that business is able and anxious to offer constructive suggestions for remedying these deficiencies.
It is easy to point to weaknesses in the Bill. To mention only a few of major importance: The proposal to make advance Federal expenditures to compensate for estimated deficiencies in prospective private expenditures is completely impracticable. No one in the country can predict future trends with sufficient accuracy for this purpose; no one can tell what the constituent parts of a really high, stable peacetime budget should be, for in our boom-or-bust economy we have no stable pattern to project; no one can tell, within reasonable limits, how much the government should spend in advance to assure full employment. The Bill pronounces labor's right to work without defining commensurate responsibilities which it should exercise. It does not define the areas of proposed government expenditure in such a way as to allay business fears of government competition or the general public suspicion of leaf raking. Above all, the Murray Bill is defective in that, despite a somewhat vague pronouncement in favor of forwarding private business activity, it recommends a single specific designed to supplement such activity rather than stimulate it.
The very definition of certain of these faults suggests their remedies. But the positive task of stating how the Bill should be amended in order that it may have effective usefulness is far from simple. Yet it is enormously to the advantage of American business to undertake it. Fortunately, there is a representative group sponsored by industry, The Committee for Economic Development, which has for some time been working intensively upon the problem, and which is excellently equipped to offer sound and progressive advice. It should be used for this purpose.
American business cannot afford to take a negative attitude toward legislation in this field. Some legislation undoubtedly will pass, for the problem is one in which there is a grave government responsibility. But equally there is a comparably important responsibility upon all citizen groups. None of them has more to gain or lose from the rise or fall of prosperity than American business.
James H. McElroy, Jr.
President, McGraw-Hill Publishing Co., Inc.
THIS IS THE 34TH OF A SERIES
"We use Eimac tubes exclusively in all our larger ground stations"
Says Robert F. Six
President, Continental Air Lines
Below...a pair of Eimac 450-T tubes in the jaws of Continental ground station transmitter built by Wilson.
CONTINENTAL AIR LINES, INC.
MUNICIPAL AIR TERMINAL
Denver 7, Colorado
Chief Engineer
Eitel-McCullough, Inc.
870 San Mateo Avenue
San Bruno, California
January 9, 1945
Dear Sir:
An airline must have a communication system which is absolutely dependable. For that reason, we scrutinize with great care the records we keep on the performance of the various components used in our transmitting and receiving equipment.
Included among these records are those on Eimac transmitting tubes—used exclusively in all of the larger ground stations operated by Continental Air Lines. I am pleased to tell you that these records show that your transmitting tubes are averaging well over 20,000 hours of service in our stations.
Sincerely yours,
Robert F. Six
President
RFS/1ad
FOLLOW THE LEADERS TO
EIMAC TUBES
EITEL-MCCULLOUGH, INC., 1028 San Mateo Ave., San Bruno, Calif.
Plants located at: San Bruno, California and Salt Lake City, Utah
Export Agents: Fraser & Hansen
361 Clay St., San Francisco 11, California, U.S.A.
Brains of Your Postwar Product—a Mallory Interval Time Switch
HERE'S a precision part—developed by Mallory for controlling automatic home laundry equipment, washing machines and dryers—that seems almost human.
Controlled by a Mallory Interval Time Switch, a piece of electrical or electronic equipment performs a pre-determined sequence of operations automatically. Simply set a dial, and the machine's "thinking" is done for it by the Mallory switch.
Construction of the time switch is typical of the precision workmanship for which Mallory is noted. The small sturdy motor is sealed in oil—requires no lubrication. Precision springs assure smooth mechanical operation, and contacts of a special Mallory alloy have uniformly low electrical resistance. The entire switch is ruggedly built for dependability and long life.
Manufacturers of industrial, electrical and electronic equipment... seeking greater operating efficiency and output... will find many uses for the Mallory Interval Time Switch, as have makers of household appliances. The postwar trend to automatic operation is evident.
Now is the time to discover how you can incorporate the "brains" of this switch in your postwar products—for the greater efficiency that assures greater sales appeal. Consult Mallory while your designs are being planned,
P. R. MALLORY & CO., Inc., INDIANAPOLIS 6, INDIANA
MALLORY
Industrial and Electronic Switches
April 1945 — ELECTRONICS
BIRTHDAY . . . This is ELECTRONICS' fifteenth anniversary issue. In April 1930, when the first issue was published, this country along with all others was in the midst of a great economic depression. Engineers' brains, however, were not sterile; and some of the devices which are so useful today came from seeds planted in the early 1930's.
Fifteen years ago, electronics was very simple, technically. Pentode tubes were creating quite a stir, the diehards of the industry stating that triodes were ok with them and why clutter up the business with more complex structures. Radio set manufacturing companies were advertising the "perfect" tone quality of their products; tube manufacturers were using electronic heating but no one else gave it much of a thought.
Ten years ago the FCC was about to reallocate the broadcast spectrum and, as always, was under terrific pressure to add a thousand or two stations to those already spraying the ether with palaver. WBEN in Buffalo celebrated the first anniversary of its seven-meter broadcasting station W8XH. Engineers were aware of the advantages of the high frequency carrier, but, as usual, station managers felt that something new like short-wave operation was a complicating idea and might upset the standard-band setup.
In April, just five years ago, engineers were debating heatedly whether f-m had any advantages over a-m. Today the technical advantages are well recognized, and although there are a few who refuse to be converted, their objections are usually on specious and not technical grounds. The only question is whether f-m is to stay where it is in the spectrum or go upstairs into the 80-100 megacycle region where the air may—or may not—be cleaner. Five years ago there was talk of the greatly expanded communication services that would come with the microwaves—but even the best dreamer could not have imagined all the microwave applications that have come from the accelerated research due to war.
Just five years ago, engineers were still hunting for jobs. In spite of all manner of shots in the arm, the country was still sick economically. Europe and Asia were at war; but Americans had not yet felt the cold breath of strife. Today, jobs are hunting for engineers. The whole world is at war; money is cheap—but to get a cigarette you've got to stand in line or monkey with the black market.
Fifteen years ago, ELECTRONICS pioneered a new and strange word. For a number of years the circulation remained at about 6000; then our subscribers increased in number and have continued to do so ever since. Today the circulation is about 24,000. Within a short two or three years, additional hundreds of thousands of men have learned what electronics can do. It must be the sincere hope of all of us that most of these hardened and experienced electronic technicians will find their place in the post-war sun.
The basic relationship which governs the design of a radar system is an equation which relates the radiated power and receiver sensitivity to the distance and size of the detected object. This equation is here derived from fundamental considerations.
Considerations of security at present forbid disclosure of the performance of particular radar equipment. No such prohibition applies to the fundamental principles which govern radar operation.
The basic factors concerned are the formation and propagation of radio beams, and the reflection of radio waves when they encounter a sudden change in the electrical properties of the transmission medium. These fundamentals are well known. They are, in fact, among the earliest fundamentals established in the radio art, enunciated by Hertz in 1887.
It is the purpose of this paper to examine the factors which govern the perception of reflected radio waves.
Power Considerations
The equation which links these factors may be termed appropriately the radar equation, since its formulation is applicable to the radar system. The simplest and most fundamental form is the free-space radar equation, which governs the radar signal when it is propagated between a radar and a reflecting object or target in otherwise empty space. The free-space radar equation relates the power radiated from the radar (transmitter output and antenna gain) to the power delivered to the terminals of the receiver, taking account of the attenuation in space and the reflecting properties of the target. It is derived as follows:
Consider a transmitter which delivers a peak power of $P_t$ watts to the radiator. If the radiator were an isotropic source, this power would be radiated equally in all directions, filling a sphere of constantly increasing radius as in Fig. 1(a). The density of the power, at a distance $r$ meters, would be equal to the power radiated divided by the area $4\pi r^2$ of the sphere.
In practice, the radiator is directional, a fact which increases the power density in particular directions at the expense of the power density in the other directions as in Fig. 1(b). The maximum power gain of the radiator is denoted by $G_a$. The power density $S_r$ radiated in the direction of the maximum gain is, then
$$S_r = \frac{G_a P_t}{4\pi r^2} \text{ watts per sq meter} \quad (1)$$
When the wave encounters the target, at range $r$, the target absorbs and reradiates an amount of power equal to the impinging power density $S_r$ times the scattering cross-section or echo area of the target, $\sigma$ square meters. We may assume that the echo area has been determined empirically. The target is, then, a source of radio waves, of power $\sigma S_r$ watts. It is evident that the power re-radiated is not uniform in all directions, but the value $\sigma$ is taken as that effective in the direction toward the radar.
The wave, in traveling the distance $r$ back to the radar, spreads through a sphere of radius $r$, as in Fig. 1(c). Hence it displays, at the radar, a power density of
$$S_r = \frac{\sigma S_r}{4\pi r^2} \text{ watts per sq meter} \quad (2)$$
Substituting Eq. (1), this is
$$S_r = \frac{G_a P_t \sigma}{(4\pi)^2 r^2} \text{ watts per sq meter} \quad (3)$$
This power density is gathered by the effective absorption cross-section of the receiving antenna, $A_o$ sq meters, and generates a power at the receiver input of
$$P_r = A_o S_r \text{ watts} \quad (4)$$
Substituting Eq. (3), this becomes
$$P_r = \frac{A_o G_a P_t \sigma}{(4\pi)^2 r^2} \text{ watts} \quad (5)$$
Equation (5) is most informative if it is recast to express the range of the target in terms of the other quantities,
$$r = \sqrt[4]{\frac{P_t A_o G_a \sigma}{P_r (4\pi)^2}} \text{ meters} \quad (6)$$
This is the general form of the free-space radar equation.
The form of the equation of most practical interest is that expressing the maximum range at which detection of a given target is possible. For a given transmitter power $P_t$, antenna system $A_o G_a$, and target echo area $\sigma$, the range is limited by the minimum received power $P_{min}$ which will generate a barely discernible response in the radar indicator. The maximum range is then given by
$$r_{\text{max}} = \sqrt[4]{\frac{P_t A_o G_a \sigma}{P_{\text{min}} (4\pi)^2}} \text{ meters} \quad (7)$$
A surprisingly large amount of information is given by this equation. It states that the maximum range of a radar depends on the fourth root of: (1) the transmitter power, (2) the antenna gain and absorption area $G_a A_o$, (3) the target echo area $\sigma$, and (4) the inverse $1/P_{\text{min}}$ of the minimum discernible received power.
Equation (7) also reveals that equal effects on the maximum range may be achieved by increasing the transmitter power $P_t$, or the power sensitivity $1/P_{\text{min}}$ of the receiver. It indicates the apparent facts that the range is greater when the anThe fourth-root modifies these relationships in a very important way. It indicates that a given increase in maximum range is obtained only at great expense in additional transmitter power and antenna gain and that the range possible when viewing large targets is only slightly greater than that possible with small targets. Doubling the value of transmitted power, for example, increases the maximum range, by $\sqrt[4]{2} = 1.19$ times. Doubling the value of $A_s$, $G_s$ or $\sigma$ (or halving the value of $P_{min}$) has the same small effect, i.e., a 19-percent increase in maximum range. In engineering terms, a 12-db increase in transmitted power or receiver sensitivity is required to double the maximum range.
The radar equation expressed in Eq. (7) gives no clue as to the dependence of radar performance on the operating wavelength or frequency. This information is implicit in the quantities $A_s$, $G_s$ and $\sigma$. The radiator gain $G_r$ and absorption across section $A_s$ are readily computed, to a fair approximation, from the operating wavelength and the area of the reflector surface.
**Influence of Operating Wavelength**
The gain is defined as the ratio of the solid angle subtended by a point-source radiator to the solid angle subtended by the beam. The angle subtended by the beam depends evidently on the form of the radiator. One of the commonest forms is the circular reflector, whose diameter is $D$ meters and whose area across the face is $A = \pi D^2/4$ sq meters. The beam produced is of circular cross-section and occupies a minimum angular width, between half-power points, of
$$b = \frac{\lambda}{D} = \frac{\lambda}{2\sqrt{A/\pi}} \text{ radians}$$
where $\lambda$ is the operating wavelength in meters. The maximum gain of such a beam radiator, relative to an isotropic radiator, is
$$G = \frac{8\pi A}{3\lambda^2}$$
(9)
The radiator proper is customarily a dipole mounted at right angles to the direction of maximum gain. The dipole has an inherent power gain, in that direction, of $3/2$ over an isotropic radiator. Hence the total maximum gain $G_s$ of the radiator is
$$G_s = \frac{3}{2} \times \frac{8\pi A}{3\lambda^2} = \frac{4\pi A}{\lambda^2}$$
(10)
The absorption cross section $A_s$ is related to the maximum receiver antenna gain $G_r$ by the following:
$$A_s = \frac{G_r \lambda^2}{4\pi} \text{ sq meters}$$
(11)
When the radar uses a single reflecting system and dipole (or dipoles) for transmitting and receiving, $G_r = G_s$, and
$$A_s = \frac{G_r \lambda^2}{4\pi} \text{ sq meters}$$
(12)
Substituting Eq. (10) for $G_s$
---
**FIG. 1—Geometric relations underlying the radar equation**
which is simply the area of the reflector.
The dependence of the echo area $\sigma$ on the operating wavelength cannot be generally stated except for targets of simple shape. Accordingly the quantity $\sigma$ is retained without further analysis, with the understanding that its contribution to the radar equation does in fact vary with the operating frequency, but in a manner which is so dependent upon the particular target and its aspect that no general conclusions can be drawn.
Returning now to the radar equation for maximum range, Eq. (7), and substituting Eq. (10) and (13) for $G_e$ and $A_e$, we obtain
$$r_{\text{max}} = \sqrt[4]{\frac{P_t A^2 \sigma}{P_{\text{min}} \lambda^2 4\pi}} \text{ meters} \quad (14)$$
This equation indicates that the maximum range increases inversely as the square root of the wavelength, or directly as the square root of the frequency, provided that we can choose the area $A$ of the reflector without regard to frequency. Thus if we can select a convenient value of $A$ and let it remain fixed, the maximum range will increase slowly, all other factors remaining unchanged, as the frequency is increased.
One important aspect of radar design is the beam width, $\lambda/D$. As the wave length is decreased (frequency increased) with a given area of reflector, the beam becomes narrower. A practical limit is reached, with a fixed value of $A$, when the beam becomes so narrow that it is impractical to scan a large region of space in a reasonable time. Hence it is of interest to consider the effect of frequency on maximum radar range, when the beam width is fixed. To show this, Eq. (14) is re-written, substituting Eq. (8), as
$$r_{\text{max}} = \sqrt[4]{\frac{P_t \pi \sigma \lambda^3}{P_{\text{min}} 64b^3}} \text{ meters} \quad (15)$$
Thus, when the beam width is fixed, the maximum range increases with the square root of the operating wavelength. It is necessary, of course, to use large reflectors to produce a suitably narrow beam at low frequencies, but when this is done, the range achieved is greater than in comparable high-frequency radars of the same beam width.
**Influence of Receiver Characteristics**
The quantity $P_{\text{min}}$, which represents the power sensitivity of the receiver, must be examined in detail to relate the maximum radar range to receiver characteristics. $P_{\text{min}}$ is the minimum reflected signal power to which the receiver will give a discernible response against noise. The quantity depends, therefore, on: (1) the amount of noise present, and (2) the amount of signal necessary to give an indication just distinguishable against the noise.
The first factor, the noise present, arises from many sources, the most important of which is circuit (thermal) noise generated in the receiver. The second factor, the minimum signal required to produce a response against the noise, is fundamentally a psychological quantity, since the act of discerning the signal involves the eye and mind of the observer. Before the least discernible signal can be specified in a particular instance, it is necessary to know the type of indicator employed, and similar factors involved in transferring the signal voltage into an indication.
The minimum discernible received power $P_{\text{min}}$ is taken as equal to the thermal noise generated in the receiver output, thus
$$P_{\text{min}} = nkT\Delta f \text{ watts} \quad (16)$$
where $n$ is the receiver noise figure, $k$ is Boltzmann's constant, $1.38 \times 10^{-23}$ watts per degree per cycle, $T$ is the absolute temperature in degrees Kelvin (degrees centigrade plus 273 deg), and $\Delta f$ is the effective bandwidth of the receiving system in cps.
The quantity $kT\Delta f$ is the available external noise power; that is, one-quarter of the noise power $(4kT\Delta f)$ generated by the random motion of charges in space and developed in the radiation resistance of the antenna. The equivalent temperature of space is not definitely known, so the limit of receiver sensitivity is not, as yet, a definitely known quantity. For purposes of standardization $T$ may be taken as 290 deg $K$ (room temperature) and $kT\Delta f$ equals $4 \times 10^{-23}$ watts per cycle of effective bandwidth.
The fact that the thermal noise power present in radio reception increases in direct proportion to the effective bandwidth has important consequences. To show this, we substitute $nkT\Delta f$ for $P_{\text{min}}$ in Eq. (14),
$$r_{\text{max}} = \sqrt[4]{\frac{P_t A^2 \sigma}{nkT\Delta f 4\pi \lambda^3}} \text{ meters} \quad (17)$$
This equation states that the maximum range decreases as the bandwidth is increased. The bandwidth required varies inversely as the pulse width. In particular, for optimum peak signal-to-noise ratio, the bandwidth should be approximately $1/d$ Mc where $d$ is the pulse length in microseconds.* Substituting $\Delta f = 1/d$ in Eq. (17) we obtain
$$r_{\text{max}} = \sqrt[4]{\frac{P_t d A^2 \sigma}{nkT 4\pi \lambda^3}} \text{ meters} \quad (18)$$
Hence the fourth root of the energy of the pulse $P_t d$ (the peak power times the pulse length) determines the range of the system, rather than the peak power alone.
The above analysis is made plausible by the following reasoning: The range of a radar may be increased by increasing the peak power of the pulse, provided the pulse length is not proportionately decreased in the process. If the pulse length is decreased in proportion, the necessary bandwidth and the thermal noise power increase, in proportion, so no benefit is derived from the increase in peak power. In other words, high peak power is not used for its own sake. It is used, rather, to obtain sufficient average power for a given maximum range, when the pulse specifications have been set by other considerations.
The application of the radar equation depends on specific numerical values of the constants. Unfortunately none of the pertinent factors, such as operating frequencies, pulse lengths and peak power, antenna dimensions, receiver noise figures, or target echo areas, may be disclosed for the present.—D.G.F.
**References**
(1) Friis H. T., Noise Figures of Radio Receivers, *Proc. IRE*, vol. 32, p. 419, July, 1944.
(2) Hansen W. W., Bandwidth Requirements for Pulse-Type Transmissions, *QST*, 29, No. 2, p. 11, Feb. 1945.
HUMAN Centrifuge
Intensity and duration of gravity increase at the termination of a dive are simulated in the aero-medical laboratory at Wright Field. Effects on pilot are studied by numerous means involving electronics.
SEATED in an aircraft pilot's position, a volunteer, above, is whirled in a human centrifuge at speeds calculated to reproduce the effect of pulling out of a dive at various values of g.
The seat is trunnion-mounted at the end of a revolving arm and assumes a horizontal position sideways under the influence of centrifugal force. Thus the pilot's physical attitude with respect to his motion becomes analogous to the actual pullout. The equipment is located in the aero-medical laboratory of the AAF materiel command, Wright Field, Dayton, O.
Attached to the subject's ear is a photoelectric plethysmograph which monitors the fullness of his blood vessels. The twisted pair coming over his shoulder leads to the light source in front while the heavier cord is the shielded line from the phototube. The cap is plastic and bears electrodes for brain-wave pickup.
Actual measurements are performed in an adjoining room over lines which extend from the pilot position by way of the axis of the centrifuge and can be seen leading up the central column in the lower illustration. The observation desk is at the axis and revolves with the subject. Telephone communication is maintained with him from this point and motion pictures are taken by the motor-driven camera at the left. Floodlights for this purpose are in the foreground.
Control of the program of rotation of the centrifuge is photoelectric and determined by a curve drawn on a paper strip. Scanning of the strip establishes the time taken for the unit to get up to speed, the number of g exerted, and the duration of the test. It is thus possible to repeat exactly the same set of conditions.
Some of the findings from these tests show that a tense pilot, or one who yells during the pullout, blacks out less easily than a relaxed pilot. Subjects who have had repeated rides in the centrifuge black out at a lower g rating than novices because the excitement in prospect raises blood pressure. As the ride becomes familiar, the effect disappears. Taping of the body and prone or crouching positions also make it possible to undergo faster pullouts.
Men who manage plants considering the inclusion of tubes in post-war products will be interested in this text telling what tubes can and cannot do. Producers of packaged controls will also find it informative and some suggestions should prove helpful to engineers previously concerned with communications equipment design.
The question, "Shall we go in for electronic control?" currently concerns many manufacturers in many fields. This article is dedicated to those men in management who have to decide. It also may serve as a reminder, to engineers who have devoted their efforts mostly to radio, of the vast difference between communications devices and those adapted to industrial control work.
It is obviously advisable for manufacturers contemplating new products to consider the application of electronic controls to their particular line. The incorporation of such controls into any piece of equipment may have important economic consequences for the maker. It may improve performance and create a new demand for an existing product. On the other hand, it may cause serious losses if it is not acceptable to the user.
The Place of Electronics
Let us put this newest of arts in the proper perspective with reference to other, older means of getting things done.
Industrial electronic devices are intermediate links which take power at their input terminals in one form and deliver it to the output terminals in another form. The electronic device itself can amplify, rectify, switch, time and perform other such functions but it almost invariably remains just a part of some non-electronic processing equipment. The input may be the power line or it may be a weak signal from a sensing element such as a thermocouple, pressure gage, or what have you. At the output end there is in almost all cases either a relay or a motor which actually performs the desired work. This fact precludes many of the ambitious dreams of new electronic marvels. If those responsible for final decisions on new products will keep it in mind, many disappointments will be avoided.
To make this abundantly clear, let us consider a web printing machine. Web printing machines are designed to print and cut labels in large quantities for toothpaste and similar mass-production packages. Phototube devices are often employed to make sure the machine cuts the labels at the proper place. The phototube has immensely increased the accuracy of such machines but would have been of little value had not machines been redesigned to print and cut labels faster and faster. In this case the usefulness of the phototube was contingent upon the ability of engineers to make the mechanical parts of the machine operate successfully at higher and higher speeds.
The case is typical. It is not enough to design a properly functioning electronic link for a product. It is also necessary to improve the overall performance of the device in order to achieve maximum utilization of the capabilities of the electronic link. Unless this overall improvement is possible, electronics is probably out of place.
Some of the Pitfalls
Pitfalls await the novice electronic control designer. In fact, he is liable to make his first mistake right in the choice of the function of the electronic link.
There are other pitfalls in the design details. To turn out an electronic controller or an electronic instrument is an engineering job of the first order. It takes time and money and sometimes the patience of Job, and when it is all done field tests must be undertaken. These tests may show that devices which perform in a perfectly satisfactory manner during the most grueling laboratory tests will still fail in some respects in the field. They must often be radically changed before they can be put on the market with full confidence and with the assurance that the advantages they give a device over competitive products are not more than offset by faults and operational difficulties.
No doubt the employment of an electronic link adds to the sales appeal of a product. This is due to the blaze of publicity which electronics has received and because of the great assistance it has been to the war effort. Unfortunately electronics has been over-publicized.
Any appreciable number of electronic fakes, involuntary or deliberate, would discredit industrial electronics for a long time. To market an electronic device which is no better and does no more than its mechanical or electrical competitor of olden days would also result in
discredit to industry even if the use of vacuum tubes in the device gives it enhanced sales appeal. Therefore, before releasing a new device embodying electronic control, be doubly sure that it has some new features which competitive devices do not have. Be sure that it is better than your previous number. At best the device will do things that have never been done before; at the very least, the advantage will be in greater convenience of operation, installation or maintenance.
If you are hesitant in the final evaluation of results, call in a competent outsider for an opinion. Then compare your opinion and his and you will learn a great deal. One is, as a rule, a poor judge of any product one has lived with a long time.
Technical Advantages
So much for sales appeal, positive and negative. Are there any great technical advantages in the use of electronics? Decidedly, yes.
Among the advantages of electronic control the almost infinite speed of response is probably the most important one. The response of the vacuum tube is instantaneous for all practical purposes. Electronic circuits, however, do have time constants though the time delay is generally negligible.
Welding timers constituted the first large-scale and exceedingly successful industrial application of electronic circuits. The task of the welding timer consists of delivering to the welder primary powers running into hundreds of kilowatts but only for a short time. Welding is commonly done at one cycle, that is, one-sixtieth of a second, and sometimes with a time period as short as a quarter-cycle. The electric energy must be perfectly synchronized so that the start is made at the beginning of some half-cycle, or at least at a definite electrical angle with respect to it. Electronic timing is indicated because it is extremely difficult to devise mechanical or electro-mechanical timers to handle the large current with sufficient accuracy and without rapid deterioration of the contacting device.
Applications requiring the high speed of electronic devices are legion. In military photography from planes, for instance, it is imperative to open the camera shutter a few microseconds after a dropped flash-bomb explodes. This can be most successfully accomplished by an electronic device. Devices for measuring the speed of projectiles were made before the advent of the electron tube but the new electronic devices are so vastly superior that they displace the old types.
The second important advantage of electronic control is its sensitivity. A multtube amplifier is not necessarily more sensitive than a fine mirror galvanometer but a galvanometer can move a pointer or a light-band up the scale and nothing more. If the power for a furnace is to be started or stopped, as directed by the galvanometer deflection, a coupling unit must be added which translates the position of the galvanometer pointer into a function of some current-making and breaking device.
The modern link between a galvanometer pointer and a contactor on the wall or an electric motor is an electronic device. Where the
sensitive galvanometer pointer in itself can accomplish no work, a motor or relay can be operated by the output of an electronic circuit which is controlled by the galvanometer and yet adds no load to the galvanometer.
The third advantage of electronic control is its suitability for remote control. There are, for example, serious obstacles in the way of using conventional thermometers and pyrometers with their sensing and indicating elements separated by great distances. The usual bulb thermometer is connected to the indicator and controller by a capillary of minute diameter. If the indicator is 200 feet from the bulb the capillary is cumbersome and not too reliable. Electronic links can be operated over almost any desired distance with conventional wiring.
There is at least one other major point of superiority. This is the flexibility of control design. The variety of tubes and other circuit elements available is almost as great as the number of combinations in a chess game. Therefore the electronic control can be given almost any characteristics. It can be fast, or time delays may be readily incorporated. It can be rugged and sensitive at the same time. It can be comparatively inexpensive or a luxury device selling for thousands of dollars.
**Typical Industrial Applications**
Though the number of packaged industrial items containing electronic controls is not yet large, many successful special applications have been made. Some of the more important uses are worth specific mention.
Electronic control of d-c motors was a major industrial application of electronics. In response to electronic, electrical, or mechanical monitoring devices, tubes here regulate or change the speed of the motor in the required manner.
Electronic links have been extremely useful in stopping or starting some or all operations on high-speed machines where mechanical methods become awkward or impossible. If, for example, you wish to use some very delicate sensing device to start, stop or control heavy equipment, an electronic link will probably do the job better than anything else. An electronic device may, for instance, be designed to follow up the movement of an instrument pointer. The motorized follow-up equipment may perform almost any control function, near the instrument or miles away from it. Though the pressure of the pointer on the follow-up mechanism can not be more than a fraction of a milligram, reliable operation can be had by electronic methods. There are cases where no contact whatever between pointer and follow-up fingers is allowable. There the capacitance relay or inductive relay fills the bill.
In many devices the follow-up or control system must be actuated by the light-beam of a mirror galvanometer, by a drawn line or by the transparent or opaque portions of a template. Here a phototube relay does the job. One interesting application is the automatic cutting torch, which reproduces the pattern of a template.
When the number of instruments on an aircraft used in test flights became so large that visual observation was a nightmare, automatic recording methods were devised. The oldest consisted of photographing the instruments with one or more motion picture cameras. All instruments had to be located within the proper range of the camera and the record was available only some time after the plane had landed. Now each instrument is connected with a transducer which modulates the frequency of an f-m radio transmitter. The signals are received on the ground, demodulated and recorded on a paper strip or sound film. Results are available while the plane is in flight. The pilot can be warned by radio in case of approaching failures. If the plane crashes, the record remains intact and may give reliable information on the events preceding the crash.
Electronic devices for the inspection of metals for uniformity, soundness and size are in use in many places. Devices of this type may discover cracks, slag inclusions, voids, changes in chemical composition, faulty heat treatment, under or over size. The devices are nondestructive and very fast. Old style tests sometimes destroy or
mar the test pieces and are much slower.
Several of the newest automatic pilots for airplanes are now electronic devices, operated through follow-up systems by one vertical and one horizontal gyro. Automatic landing systems land a plane smoothly in the densest of fogs without any assistance by the pilot. Only electronic control devices can accomplish this task.
There are a large number of electronic timing devices. Some of them deliver power impulses of accurately timed duration, while others serve to measure time intervals. The various stroboscopes and also the newest of flash devices for photographic use may also be classified as electronic timers. Short-duration timing lends itself admirable to electronic methods. For long intervals other types of timers are often more suitable.
The rectifiers furnishing the current for the electrolytic cells of our new aluminum and magnesium plants and for some railroads are electronic devices. There are also electronic train controls, electronic level indicators and controls and numberless other devices, all in successful practical use.
In addition, there are many electronic instruments devoted entirely to laboratory or diagnostic work. Industrial electronics has indeed come of age technically and economically. Even before the war sales of industrial electronic devices ran into the millions.
**Reliability is Essential**
We may seem to fall into the same old error of overboasting electronics. In order to correct any such impression, let it be said that many electronic devices sold to industry have ended in the factory morgue or curio cabinet after a six-week trial. Reason: the devices were difficult to use, or required too much supervision and maintenance.
The unreliability inherent even in some frequently-advocated designs is generally due to two factors. The first is the availability of a large number of possible circuits, many of which have not been thoroughly tried. There is a powerful incentive for the designer to be over-ingenuous. Very few really complicated circuits are sufficiently reliable for industrial use.
A 10-percent variation in the output of a radio receiver over a period of time will be barely noticeable. Infrequent clicks will be ascribed to static. But we can permit neither static nor 10-percent variations in industrial devices. Such misoperation might cause spoiled products or even loss of life.
The second factor is the marginal erraticism of many sensitive electronic circuits, caused by a variety of characteristics of circuits and tubes which are not too well understood. For example, vacuum tubes in industrial circuits are often used on portions of their characteristic curves which are not published because they are of no importance in communications, for which the tubes were originally designed. These details may vary from tube to tube and cause difficulties. As an additional example, industrial control circuits more often than not operate on transients and transients have not been as thoroughly investigated as the usual steady-state oscillatory phenomena by the average engineer.
All this emphatically does not lead to the conclusion that electronic devices are less reliable than their mechanical and electrical brethren. It means only that electronic devices require more time, ingenuity and meticulous care for the final tests before releasing a product for use.
When all faults inherent in the circuit are eliminated we still have to investigate the effects of stray magnetic and electrostatic fields, surges on power lines, radio-frequency impulses derived from arcs and sparks, and the effects of dirt and humidity. All or any of these are commonly present in industrial plants.
Electronic industrial devices are often competing with mechanical controls consisting of a considerable number of punchings or screw-machine parts. Even after final machining most of these parts cost only a few cents. Electronic components are much more expensive. Therefore, there are severe limits to the number of parts which can be used if the price is to be kept reasonable.
Industrial electronics is as replete with opportunities as it is beset with traps for the unwary. We know that the harder the road, the greater the prize at its end; but let me say to manufacturers and communication engineers: Industrial electronic devices are not radio transmitters or receivers. There is a vast difference.
A 50-KW
By P. B. Laeser
FM-Television Engineer, Supervisor
WMFM-WTMJ
The Milwaukee Journal Radio Stations
Milwaukee, Wisc.
OUTPUT POWER AT CARRIER FREQUENCY. 15 watts to a balanced coaxial line.
AUDIO FREQUENCY INPUT. Zero level, 500 ohms at 6 mw.
CARRIER FREQUENCY STABILITY. Average of 300 cycles.
The output frequency of the modulator is dependent upon a single temperature-controlled oscillator. Frequency stability is not difficult to maintain over long periods, as is shown in Fig. 1. This graph represents two month's operation and was arrived at by taking the maximum deviation for each day's operation from the log sheets and plotting against time. The average value of deviation is much less than the maximum values shown. The maximum deviation permitted by present standards is plus or minus 2,000 cps from center frequency.
The modulator, shown in block diagram form in Fig. 2, and schematically in Fig. 3, is composed of five major units. The first unit is the audio section. This consists of three 6C5's, used as a resistance-coupled amplifier and a phase inverter, the output of which feeds a pair of 6P5GT's in push pull. Inserted in the grid circuit of the first 6C5 is a resistance-capacitance pre-emphasis network whose time constant corresponds to 100 microseconds as prescribed by present engineering standards. The push-pull stage is coupled to the screen.
PRESENT INDICATIONS are that many of the f-m stations planned for post-war operation will be of the high-power type required to serve large areas. A detailed description of 50-kw WMFM will therefore be of interest, since this station employs one of the few high-power transmitters on the air at the present time.
Of particular interest to many broadcast station engineers will be the phase-shift modulator incorporating circuits developed by Major Edwin H. Armstrong to correct deficiencies in earlier types.
Phase-Shift Modulator
The phase-shift modulator utilizes high-gain tubes introduced just prior to the outbreak of the war. The majority are still in use after more than 15,000 hours of service, corresponding to a daily 13-hour schedule of operation.
Following are some of the improved modulator's characteristics:
FREQUENCY. 50 to 15,000 cycles within 1 db plus or minus, including 100 microsecond pre-emphasis.
DISTORTION, measured at 100 percent modulation on a GR-732A distortion and noise meter:
| Frequency (cycles) | Distortion (%) |
|--------------------|----------------|
| 50 | 1.5 |
| 100 | 1.2 |
| 400 | 1.0 |
| 1,000 | 0.8 |
| 5,000 | 0.7 |
| 7,500 | 1.0 |
NOISE LEVEL, below 100 percent modulation. Average weekly measurement around 70 db, depending on choice of tubes.
FIG. 1—Graph showing maximum frequency deviations of the modulator unit over a period of two months
The phase-shift modulator, designed to insure center carrier-frequency stability and to avoid other deficiencies of earlier types, is described in detail. Construction of the 250-watt and 3-kw amplifiers and the high-power final stage is covered.
ABOVE—The modulator unit swings open on hinges, facilitating maintenance
RIGHT—The unit at the right in this photo is the 250-watt driver and the phase-shift modulator built by Radio Engineering Laboratories and seen from the back. Rectifiers are in the bottom of the cabinet. At the left is the 3-kw r-f amplifier.
grids of the balanced modulator, in the second unit. In the grid circuit of the modulator is another network, sometimes called the corrector, which produces the inverse audio-frequency effect necessary with a phase modulation system.
Section two includes oscillator, buffer and phase-shift modulator. These circuits all operate on 190 kilocycles and the tubes used are 6SJ7's. A crystal-controlled oscillator supplies the primary source of frequency and its output is fed into a buffer amplifier. The output of this buffer divides itself into two parts, one supplying excitation to the control grids of the balanced amplitude modulator and the other part bypassing the modulator completely. The output of the modulator is such that the unmodulated carrier is suppressed and the side band modulation is shifted in phase 90 degrees.
Inserted in the plate circuit of the modulator is a phase-splitting network which divides the side bands into two branches equal in amplitude but 180 degrees displaced with respect to each other. The unmodulated carrier, bypassed around the balanced modulator, effects a junction at the output of these two branches, thereby combining the carrier and sidebands. A comparatively small frequency excursion from 190 kc is realized by this method of modulation and a very large frequency multiplication is necessary to produce a final deviation of 75 kc on each side of the center-carrier frequency.
The third and fourth sections consist of two cascade frequency-multiplier chains identical up to their converters but opposite in phase. It is here that one of the main criticisms of the first Armstrong modulator was corrected. The former depended on two crystal-controlled oscillators for carrier-frequency stability. The newer type minimizes drift by a very ingenious method to be described.
The function of the two multiplier chains and their converters is
two-fold; one automatically cancels out any frequency drift in the 190-ke crystal and the other represents a multiplication of the primary frequency and its modulated frequency-shift. Each chain is made up of five tubes and each of the multiplier stages acts as a tripler. Thus each chain supplies a 15,390-ke signal to its converter. This represents a multiplication of 81 times.
**Modulator Details**
By introducing into one converter a current from a crystal oscillator operating on, say, 1000 kc, a beat of 14,390 kc is obtained. This corresponds to the difference between 15,390 and 1000 kc. The heterodyne beat of 14,390 kc is injected into the converter of the second multiplier chain, whose input is 15,390 kc and identical to that of the other chain.
Combining 14,390 kc and 15,390 kc produces a difference beat of 1000 kilocycles again, but with all the frequency modulation components on it, and cancels out any drift in the 190-ke crystal. As an example of this, suppose the 190-ke crystal drifted up in frequency enough to operate its output chain on 15,400 kc instead of 15,390 kc, then the 1000-ke crystal would produce a beat of 14,400 kc. Since both multiplier channels would be 15,400 kc, the injection of the frequency of 14,400 kc would still give a frequency difference of 1000 kilocycles.
It can thus be seen that the output frequency of the modulator unit is independent of the 190-ke crystal. To demonstrate this action it is only necessary to replace the crystal with a signal generator and manually vary the frequency. Whether the crystal frequency drifts higher or lower is unimportant, provided it does not drift beyond the pass-band of the multiplier chain. This possibility is eliminated by the use of a low-drift crystal. Therefore, only the change that occurs in the second crystal's frequency results in a change of the center carrier frequency. Deviation of this frequency is minimized by using a low-drift crystal and a temperature-controlled oven.
The modulator has an extremely low residual hiss and hum level at its output. Noise generated in the early stages tends to balance out in the mixing process, much the same as 190-ke oscillator drift cancels out.
The fifth and last section of the modulator consists of a chain of additional multipliers. Since the frequency shift is insufficient at 15,390 kc (less than 2000 cycles) the heterodyne or beat-back to 1000 kc serves the additional function of allowing the shift to be multiplied another 48 times. The difference frequency of 1000 kc is fed to the final chain of multipliers and is always the carrier frequency divided by 48. Multiplication is accomplished by four doublers and one tripler, the output of the latter being approximately 15 watts on the carrier frequency. This would bring the carrier to 48 megacycles, and capable of a frequency swing of 75 kc plus or minus.
Shifting the second crystal frequency to a value lower than 1000 kc would bring the carrier somewhat lower in the f-m band, but would not change the overall multiplication constant. Therefore, it is not necessary to make a change in the 190-ke oscillator frequency and its multiplier chain to accomplish a change of carrier frequency. As an example, to change 45.5 to 46.7 Mc, it is only necessary to change the frequency of the second oscillator from 947.91 kc to 972.91 kc and to re-align the second multiplier channel.
The power supplies for the entire modulator unit are located below the modulator compartment. There are four in all, the 550-volt supply for the power doubler and tripler stages, the 250-volt regulated plate supply for the remainder of the circuits, a d-c filament supply using a dry-disk rectifier stack, and a bias supply. The primary source of power is 220 volts single-phase and the power consumption is approximately 400 watts. The power controls of the modulator are interconnected with the circuits of the succeeding stage.
**250-Watt and 3000-Watt Amplifiers**
The 250-watt r-f amplifier of the WMFM transmitter consists of two HK-257 pentode tubes in a push-pull circuit. This amplifier and its rectifier are located in the same cabinet as the modulator described and occupy the major portion of the space. An excess of grid excitation for this stage is taken from the power tripler through a balanced coaxial line. The 1750-volt rectifier is located directly below the amplifier and supplies the necessary plate power.
In conjunction with the two HK-257 tubes an overload relay is used which trips out on excess current. After several seconds a time-delay relay automatically closes, re-applying the plate voltage to the tubes. This automatic motor-driven recycling relay can be adjusted for any time delay desired up to thirty
FIG. 3—Schematic of the WMFM phase-shift modulator shown in block-diagram form in Fig. 2
seconds. A centrally located air blower, mounted on four Lord rubber shocks, expels dead air through spun-glass filters at the top of the cabinet.
The output of the 250-watt stage is transferred by a balanced 3-inch coaxial line to the grid circuit of the three-kw amplifier located in a cabinet adjacent to the combined modulator amplifier. This unit is self-contained, including a three-phase half-wave plate rectifier (872's) and the full-wave grid-bias rectifier (866's). Two Eimac 1500T tubes are connected as a class-C neutralized amplifier and the output of this stage is adjustable from 1 to 3 kw by means of a step-type regulator which controls the plate voltage.
A plate input of three-kw d-c power will deliver sufficient grid drive to the final power amplifier. It is worthy of note that the output of either the 250-watt or the three-kw unit can be arranged to drive any succeeding stage or be coupled to a single or balanced transmission line feeding an antenna. This makes possible easy cutback of power to the antenna in case of emergency. The two lines carrying the power to the final amplifier grids are each approximately 30 feet long. They were carefully adjusted to minimize standing waves and this work results in unusually low required driving power and long tube life.
**50-kw Amplifier**
The final r-f amplifier is located in a separate room, completely shielded including the floor and door. Copper-wire screen is used over the only window and a mesh size was chosen which would not interfere with visibility of the meters. A double door is used for access and is double-interlocked with the transmitter for personnel protection. A motor-operated ventilator was installed in the ceiling, controlled by a thermostat to maintain a constant room temperature during operating hours. Two intake louvers are located near the floor on the outside wall and are controlled manually.
The amplifier consists of two Westinghouse 899A tubes in a push-pull neutralized class-C circuit. At the ultrahigh frequencies it is difficult to bring directly to ground potential the filaments of high-power water-cooled tubes because of their physical size, thereby preventing neutralization. In order to overcome the reactance of the filament leads a long line is used in series with each tube filament and tuned until the line is effectively one-half wavelength. This can be seen by referring to Fig. 4. These lines are about 11 feet long at 45 megacycles and are separated by several inches. In practice, they are run overhead to the filament cabinet and tuned by means of a sliding capacitor until the filaments are substantially at ground potential. The correct setting of the capacitor is determined as a part of the neutralizing procedure.
A pair of Scott-connected transformers are located in the final amplifier cabinet as an alternate to filament power generators. Air from a compressor in a room below is directed at each vital point to carry away heat which might cause breakdown or failure of dielectric. About thirty points are protected by air from ¼-inch jets and include filament seals, grid capacitors, grid seals, grid tank-coil and antenna coupling capacitors. The remainder of the air jets are directed over the glass envelopes of the tubes. The plate tank coil is a part of the water cooling system. More than ample room is allowed around the entire unit for servicing.
The output of the amplifier is coupled to two 3/4-inch coaxial transmission lines and at the input of these lines is a remote-reading vacuum-tube voltmeter. This remote-reading meter was installed in place of two thermo-ammeters. An extension line from each diode
was run to the control desk, where the remote meter is placed for easy observation. The meter is arranged for convenient switching to each diode and log notations are regularly made. A schematic diagram of the meter is shown in Fig. 5.
Other equipment associated directly with the 50-kw amplifier includes the high-voltage rectifier unit, the control desk, cooling apparatus, and power-supply machines. The high-voltage rectifier unit consists of six Westinghouse 869B tubes connected as a three-phase full-wave rectifier delivering 15,000 d-c volts at 7.5 amperes to the power amplifier tubes. The power transformer, filter choke, and a motor-operated regulator are mounted just outside the building in a vault. The regulator is in the primary circuit of the high-voltage transformer and its control circuits terminate at the control desk. In the event of a power failure or an outage, the regulator automatically returns to a minimum voltage position for circuit and tube protection. This function is included in another re-cycling mechanism which, in effect, removes the plate voltage. The circuit is locked out after six automatic three-second recycling operations have taken place. After the difficulty has been rectified the locked-out mechanism can be released by operating a pushbutton at the desk.
Single pushbutton automatic starting for the entire transmitter can be obtained at the power console. Independent control can also be had with each unit properly interlocked for mutual protection of equipment and personnel. Two tower-monitoring lights were built into the desk for the two-flasher beacons. Another feature of the desk is a Teletalk unit which proves indispensable for communicating with the tower top, tuning house or basement workshop.
Cooling, Shielding and Grounding
Directly below the power-amplifier room is the cooling room. Located here is the evaporative cooler, motor-generator set, water pumps, the air compressor, etc. Adjacent to the cooling room is a tube storage space, where the larger spare tubes are racked for easy access.
A quite different conception of good grounding between units is necessary compared to standard broadcast-band practice. Because of the inductance of ordinary wires at the f-m frequencies it is best to install five to six-inch copper straps. Several recent installations have been made with the units mounted on copper sheet (five to six-thousandths inch stock) fastened to the floor with a mastic and covered with linoleum, rubber or asphalt-tile. Surprisingly, little trouble is experienced if the proper precautions are taken and, particularly, if the power amplifier is well shielded.
Installations planned to include low-level audio amplifiers and microphones may find it necessary to place them in a separately shielded room or at least some distance from the power stages. Receivers and test equipment also can be included in this setup. Care should be taken in the installation of low-level audio lines to see that they are sufficiently far away from low-frequency power lines to eliminate the possibility of ground currents within the shielding. Since the service an f-m transmitter renders is high quality in nature, it is well to have the speech-input room situated and treated to minimize extraneous noises, thereby allowing better monitoring conditions.
The WMFM control room. Units, from left to right, include the 250-watt r-f amplifier and modulator, the 3-kw amplifier, the 15,000-volt, 7.5-ampere rectifier, and the low-voltage control equipment. The master-control console is in the foreground.
The f-m station's workshop, showing some of the test equipment used for maintenance.
Experimental electronic ignition system which has operated for 5500 miles in a 1941 Buick. The circuit is an outgrowth of work described in the text. The tube is a type 80 and the 42-cp 6-v lamp is used as a coil ballast-resistor. Spark plugs are 14-mm Lodge RCS/2 aircraft type.
Among the many improvements and innovations with which the automotive industry normally lays siege to the public fancy each year, one factor has steadfastly retained its original form through more than two decades. This element, the spark ignition system, is associated with by far the largest portion of internal combustion engines produced in this country.
The Conventional Circuit
Briefly, as shown in Fig. 1, the traditional arrangement includes a transformer of the open-core type—the ignition coil—having its primary winding connected across the storage battery of the main electrical system in series with a cam-actuated breaker whose contacts are shunted by a capacitor (having a value of 0.2-0.4 μF) to prevent arcing. The breaker cam, located in the distributor, is driven by the engine at one-half the crank-shaft speed and with an angular position causing the breaker arm to be actuated whenever a spark is required.
Immediately upon opening of the breaker points, the flow of current through this portion of the circuit is interrupted and transferred to the breaker capacitor, whose potential executes the familiar series of damped oscillations shown in Fig. 2. The first oscillation usually reaches an amplitude of 200-350 volts and a corresponding voltage is developed across the primary of the ignition coil. As the primary inductance is generally 5 to 10 millihenrys, the frequency of this oscillation is normally in the region of 2000 cps.
The secondary winding, having about 60 times as many turns as the primary, is wound about the primary and develops a voltage of 10 to 15 kv, which is then distributed to the plug to be fired by a rotating contact in the distributor head.
As seen in Fig. 2, the peak voltage available for firing the plug is not developed at the instant the breaker contacts open, but ¼ cycle later. At an engine speed of 3000 rpm, corresponding to a road speed of 60 mph, this lag amounts to 2.25 crankshaft degrees. Because the time lag between opening of the interrupted contacts and the peak voltage remains constant, this results in an effective retarding of the spark timing as the engine is operated at high speeds, and requires compensation which is introduced into the automatic speed-advance part of the mechanical structure of the distributor.
The magnitude of the influence exerted by such mistiming is best judged with relation to the proportional deviation from the most favorable spark advance-speed characteristic. Figure 3 illustrates the relation between engine speed and the number of degrees of spark advance required to develop maximum brake torque (curve A). In addition to this ideal curve, Fig. 3 also shows the performance actually obtained in a representative production engine (curve B).
Lack of agreement between these two curves appreciably exceeds any lag introduced by the delay in attaining peak firing voltage, thereby demonstrating that this factor has only negligible influence on engine performance. The displacement lag between the ideal and actual spark advance curve is deliberately introduced to prevent detonation.
Shortcomings
There are three further difficulties peculiar to the system of Fig. 1 which have elicited several solutions. First, there is extreme sensitivity in the secondary circuit to loading such as may be produced by dirt on the exterior of the spark plug insulator, combustion deposits on the interior end of the insulator, or pure volume leakage through the insulator due to the loss in insulating properties accompanying high operating temperatures.
How serious this problem is can readily be understood from the fact that with a 15,000-v peak secondary voltage, a 10-megohm load may absorb nearly all the energy stored in the magnetic field of the coil at
Ignition Systems
Application of the electron art to automotive and aircraft ignition systems promises solutions to the problems of cross-firing, maintaining spark intensity at high speeds, and reducing sensitivity to secondary loading from deposits on the spark plugs.
The moment of interruption as shown in the shaded first \( \frac{1}{4} \) cycle of oscillation of Fig. 2.
Total power taken from the coil during the build-up of the voltage pulse to its peak value is proportional to the square of the shaded area in Fig. 2 and is conveniently expressed by
\[
W = \left( \frac{1}{R} \right) \int_{t_0}^{t_1} E^2 \, dt,
\]
where \( t_0 \) is the moment of break and \( t_1 \) is the time at which the peak excursion occurs.
Systems insensitive to secondary loading have been developed in which the peak voltage comes at the moment of contact actuation. Here \( t_0 \) equals \( t_1 \), the value of the definite integral becomes zero, and circuit losses are without influence on the peak voltage available. In the conventional engine, only the first voltage peak need be considered because if the gap is not fired at this time, it never will be. If level of first voltage peak is kept up, the fact that succeeding waves may die away more rapidly is unimportant.
A further difficulty of the conventional ignition system lies in the possibility of cross-firing. All the cables to the spark plugs are bunched together and led through a common conduit. Since these are very high-impedance circuits, the coupling between adjacent cables often develops enough voltage to fire the plug in a cylinder which is at a part of the work cycle where it must not be fired. This is prevented in systems where the lines to the plugs are kept at low impedance.
Lastly, there is the problem of maintaining spark intensity at high interruption speeds. The peak voltage obtainable is proportional to the break current, and this decreases as the interrupter speed increases since less and less time is allowed for the current in the primary to build up. This, together with the necessity of holding the low-speed break current to 2 or 3 amperes to obtain reasonably good interrupter contact-point life, is a definite limitation on the high-speed performance of engines.
Functional Modifications
A constant break current is secured simply in the arrangement of Fig. 4, in which the standard ignition circuit is modified by the insertion of a hydrogen-filled ballast in the primary excitation line. At high speeds of interruption, current through the coil tends to decrease, which permits the ballast resistor to cool and decrease its resistance by an amount very nearly compensating for the shorter build-up period. The converse occurs at low speeds and prevents the break current from exceeding the safe limit of 3 amperes.
To minimize the effects of secondary loading, the standard circuit has been further modified to the arrangement of Fig. 5, in which the breaker circuit includes the ballast resistor, a charging reactor \( L \), and the battery. At break, the voltage across capacitor \( C \) begins to rise, but no current flows through the primary of the sparking transformer until the breakdown voltage of the gas-filled two-electrode tube \( V \) is exceeded, after which capacitor \( C \) discharges through the primary to produce a pulse with an extremely steep wave front in the secondary.
Because of the short time of rise of the pulse, its peak value is practically independent of the loading on the secondary circuit and this circuit will perform satisfactorily with a shunting resistance as low as 100,000 ohms connected to the
---
**FIG. 1**—Time-honored automotive ignition system involves this simple circuit which is particularly susceptible to faulty operation caused by loading of the secondary through deposits of dirt or carbon.
**FIG. 2**—Highly-damped sinusoid like this arises across breaker points of conventional system when they open. The first peak is in the neighborhood of 300 v and the frequency around 2000 cps.
**FIG. 3**—Engine-speed versus spark-advance curves show (A) the maximum brake torque theoretically available and (B) the actual performance attained by a typical production engine.
secondary, whereas the ordinary ignition system will have ceased to operate with a megohm resistor in this position.
Figure 6 illustrates still another ignition system relatively insensitive to secondary loading, and includes a charging inductor $L$ connected to the battery in series with a first interrupter $I_1$. When $I_1$ opens, voltage builds up across $C_1$ and charges $C_1$ through the hot-cathode gas-filled tube $V_1$. Now, when the spark is desired, interrupter $I_2$ closes and develops the requisite voltage in the secondary of the sparking transformer.
Interrupter $I_2$ may be actuated at any time previous to the time the spark is required, and only $I_2$ need be critically timed. Although $C_1$ may be charged to several hundred volts when the contacts in $I_2$ close, these contacts nevertheless have a long life, as the current is zero when they close, and has fallen again to zero by the time the contacts are opened.
**High-Voltage Sources**
The circuits thus far described all operate directly from the 6-volt battery in the main electrical system of the vehicle. When freed from this limitation, reliability of performance may be truly remarkable under all conditions for long periods of time.
Figure 7 illustrates a circuit capable of delivering a succession of powerful sparks at almost any rate desired. A 300-volt source feeds the reservoir capacitor $C_1$ through the limiting resistor, and a pair of igniting transformers $T_1$ and $T_2$ are arranged in conjunction with $C_1$ and the interrupter $I$ so that $C_1$ is alternately charged through $T_1$ and discharged through $T_2$. As $C_1$ charges through $T_1$, a voltage is developed in the secondary which is applied to the igniting band around the tube $V_1$, causing this tube to fire and charge the capacitor $C_2$ to line potential through the primary of the sparking transformer.
Since $C_2$ is now charged, it is ready at once for the next operation, which is initiated when the interrupter $I$ discharges $C_2$ through the transformer $T_2$, thus firing the tube $V_2$ whose igniting band is connected to the secondary of $T_2$. This discharges $C_2$, and prepares it for the succeeding operation of $V_1$.
**Cross-Firing Cure**
None of the foregoing arrangements have attempted to overcome the problem of cross-firing which, it will be remembered, was due to the high impedance of the circuits being run in the common conduit. The arrangement of Fig. 8 overcomes this, and is peculiarly suited as well to meeting the ignition problems presented in the fuel injection engine where a continuous discharge is preferable over a momentary igniting spark.
The spark-fired fuel injection engine is not to be confused with the spontaneously firing Diesel engine. In the former, compression pressures approximating those in the conventional vaporized fuel engine are retained and the gas temperature at the end of the compression stroke is not sufficiently elevated by the adiabatic compression to ignite the incoming liquid charge, thus requiring the use of auxiliary ignition. In the latter, the more familiar Diesel, the gas temperature at the end of the compression stroke has attained such a value that the incoming charge is ignited thereby without auxiliary means.
Unless a continuously active igniting means is located in the path of the incoming fuel, the turbulent flow currents in the cylinder above the rapidly moving piston may sweep the flame front away from the incoming fuel and cause incomplete or irregular combustion. The tube is connected with the transformer $T_1$ in a Hartley oscillator circuit working at 25 to 50 kc and delivering power into a low-impedance secondary with one end grounded and the other connected to the rotating arm of a distributor assembly. As the arm passes over the conducting segments set in the insulating housing of the distributor head one after another of the spark plug step-transformers is connected to the low-impedance output from the oscillator.
Only one of these transformers $T_2$ is shown in Fig. 8, the others being similarly connected. One transformer is associated with each plug and is located immediately adjacent to the plug, so that distribution takes place at a low-impedance level, and the high-impedance portion of the sparking circuit is free of cross coupling to other spark plugs, thus eliminating the possibility of cross-firing.
The step-up transformer at the spark plug is of either the air-core or iron-core type and designed to be self-resonant at the operating frequency. The smallest size for this assembly is secured when an iron core is used.
This ignition circuit differs from those previously described in the fact that it does not supply an impulse, but a continuous discharge during the entire time the distributor wiper arm is in engagement with the stationary contact. As earlier remarked, this is of particular advantage in fuel injection engines, though in certain designs of
engines introducing a gaseous fuel mixture into the combustion chamber it may also be used to advantage.
**High-Altitude Problems**
The weaknesses of distribution at the high-voltage level, while apparent in automotive vehicles, become especially serious in the design and operation of aircraft at altitudes of 30,000 feet and higher. At such heights, pressure of the atmosphere has dropped from its sea level value of 76 cm Hg to 23 cm Hg and the insulating capacity of the atmosphere is correspondingly reduced from the sea-level value for the disruptive gradient—31 kv per cm.
Conservative design, under these circumstances, requires that the conductive properties of air be borne uppermost in mind, with lesser reliance on it as an insulating medium. One answer has been the introduction of pressurized harnesses within which the conductors of the high-tension distribution system are located, thereby retaining sea-level operating conditions.
It is very difficult to insure a completely leak-free harness under the extreme temperature cycling and vibration conditions encountered in the vicinity of the aircraft engine, and in a later modification, use has been made of the presence of the supercharger which reproduces sea-level operating conditions for the engine itself to extend this benefit to the ignition system.
Now, clearly, the inclusion of additional apparatus for a pressurized harness adds materially to the weight of the complete engine. It may well be that an arrangement performing the distribution operation at low-voltage level, with reduction of the harness weight, may offer a net advantage even though it requires some auxiliary apparatus.
A system devised in 1938 with this in mind is shown in Fig. 9 and employs an auxiliary converter unit to raise the supply potential from the system voltage of 24 v to 300 v, which is then fed across the two series-connected capacitors $C_1$ and $C_2$ whose center tap is grounded. Capacitor $C_3$ is merely a reservoir to eliminate surges from the output windings of the converter. The two gas tubes $V_1$ and $V_2$ are connected in series with the lines across capacitors $C_1$ and $C_2$ and the various contacts of the cam-operated distributor to the primaries of the sparking transformers $T_n$, etc., one of which is associated with each plug.
Gas tubes $V_1$ and $V_2$ are of the type requiring a positive grid potential to establish conduction and having an inductor $L_1$ connected between anode and grid, and a second inductor $L_2$ shunted by a capacitor $C_4$ connected between grid and cathode. Since capacitor $C_4$ is an integrating device, there can be no voltage developed across it until current has flown for an appreciable time, and firing of the associated tube is delayed by this effect for a purpose later to be evident.
With the interrupter cam in the position shown, the anode of $V_2$ is connected to the primary of $T_n$, thus connecting capacitor $C_4$ across the primary of $T_1$ in series with the discharge tube. No appreciable current flows at the instant of contact closure, since the tube $V_2$, not being ionized, is as yet an open circuit. The current through $L_1$ begins slowly to build up, charging the ca-
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**FIG. 6**—Insensitivity to secondary loading and long contact life are features of this circuit involving a second interrupter. Critical timing is only required for the second breaker
**FIG. 7**—Availability of a high-voltage source makes possible the application of a circuit which provides powerful sparks at a rate of speed higher than can be obtained in a make-and-break arrangement
**FIG. 8**—Triode in circuit as shown attacks problem of cross-firing between high-impedance spark-plug leads. This circuit is particularly useful in fuel-injection-type engines using a continuous discharge
**FIG. 9**—Aircraft ignition systems encounter problem of high-altitude loss in insulating properties of the atmosphere. This circuit gets away from arc-over leakage, and cross-firing by using special spark plugs and two gas-filled triodes
capacitor $C_s$, which after a time reaches the firing potential of tube $V_s$, establishing the arc and permitting the passage of the main discharge current.
The purpose of this delay is to prevent passage of the heavy main discharge before the contacts have become firmly engaged. During this period, capacitor $C_s$ is discharged and $C_1$ becomes charged, both currents adding to increase the energy in the spark produced at the plug $P_s$. The circuit is thereby cocked for the next cycle of operation. This is initiated when, upon the continuing rotation of the cam, the primary of $T_s$ is connected to the cathode of $V_s$, $V_s$ having been previously disconnected from the circuit. Once again, after a slow build-up of the current through the delay inductance, the discharge tube is fired and a spark is produced in the plug connected to the excited transformer $T_s$, this time by the combined discharge current of $C_1$ and charging current of $C_s$.
Life of the contact points in this apparatus is practically unlimited, since there is no current flow except during the period of solid engagement, the blocking action of the control tubes preventing a surge during the period of initial engagement, while the natural decay of the oscillations reduces the current to zero before the contacts break.
As distribution takes place at 300 volts, there is also no difficulty with arc-over at high altitudes, leakage on the distribution lines, or cross-firing. When, for starting purposes, more energy is needed in the spark, this is secured by closing the switch $S$, to effectively parallel $C_1$ and $C_s'$, and $C_2$ and $C_s'$. It should be emphasized that this will not change the sparking voltage available, but only the energy in the spark.
An ingenious assembly embodying both spark plug and transformer has been worked out for use in conjunction with the system of Fig. 9 and is illustrated in detail in Fig. 10. The threaded shell of the plug is fitted with an insulated central electrode projecting into the interior of a molded assembly in which the step-up transformer is embedded.
Shown in vertical section in Fig. 10, the transformer comprises an 800-turn secondary wound directly on a laminated or pressed iron core, with the 25-turn primary wound over the secondary. One end of the secondary is connected to the core, which is conductive and fitted to engage the projecting end of the center electrode. The other end of the secondary, together with one end of the primary winding, is connected to the shield slipped over and secured to the shell.
Power is fed to the primary from the incoming line through a contact at the top of the molded transformer assembly, the lead terminal being maintained in engagement with this contact through the action of the retaining spring. This keeps the whole interior assembly pressed tightly against the center electrode.
With this form of assembly, all the high-frequency currents in the spark-produced transient are confined to the plug itself, the remaining interference reflected into the line from the distributor being much lower in value and located in a circuit where filtering is relatively simple.
**Multi-Electrode-Tubes and High-Tension Systems**
Turning now to high-tension distribution systems incorporating multiple-electrode tubes, we encounter the arrangement of Fig. 11, operating directly from the 6-volt storage battery, and having a tapped charging coil connected to the battery in series with the standard breaker or interrupter.
When the breaker is opened, a damped sinusoid appears across the charging coil, charging $C_s$, connected across the primary of the sparking transformer in series with the anode-cathode path of the gas-filled hot-cathode discharge tube $V$. Capacitor $C_s$ is connected across only a portion of the charging coil, and the control grid of the tube is connected to the opposite end of the coil so that as the anode is driven positive, the control grid is driven negative.
By using a discharge tube requiring positive grid voltages for firing when the anode voltage is below 100 volts, and negative grid voltage for firing when the anode voltage is greater than this, it is possible to proportion the turns so that the tube characteristic and the voltage characteristic of the charging coil intersect at any chosen point, say 200 anode volts. There is then no current flow in the sparking transformer until this voltage is reached, whereupon the tube $V$ breaks down to generate a high-voltage pulse in the secondary of the sparking transformer which is then impressed on the selected plug by the distributor.
Another circuit with which some work was done in 1939 is that shown in Fig. 12, wherein an interrupter $I$, connected to a charging transformer and the battery, operates in conjunction with a rectifier to charge a reservoir capacitor $C$ through a limiting resistor. Again the reservoir capacitor is connected to the primary of the
FIG. 12—High-speed acceleration is improved by this circuit which combines power-supply interrupter with timed breaker and gas-filled triode
The circuits of Fig. 13 and 14 are designed to overcome restrictions on design freedom imposed by the hot-cathode type of discharge tube, both employing the 631-P1 for control purposes. The 631-P1 is a cold-cathode gas-filled discharge device having two control elements interposed between the anode and cathode.
Its particular adaptability for this type of work is due to the extremely high peak currents which it is able to pass and to its availability for instant operation resulting from lack of heater requirements. The tube itself is most familiar in connection with stroboscopic apparatus where it has found wide application as a highly satisfactory light source.
Figure 13 shows a system designed for an engine having a single ignition coil and a single distributor. A 300-volt source is connected across the reservoir capacitor $C_0$ and bridged by the series-connected capacitors $C_1$ and $C_2$.
The junction point of the two impulse-generating capacitors $C_1$ and $C_2$ connects through the primary of the ignition coil to the interconnected cathode and anode of a pair of 631-P1 tubes connected in series across the supply line. Interrupters $I_1$ and $I_2$, actuated by the cam in the distributor housing, successively place a positive bias on one of the grids in the two gas tubes, causing a primary discharge through $T$ first in one direction and then the other.
The 1-meg resistor across $C_1$ insures that $C_2$ will be charged to the full line potential when the apparatus is turned on after a period of inactivity, in which case the operation is as follows: as the cam rotates clockwise, contacts $I_1$ first separate, after which contacts $I_2$ close, placing a positive bias on the control element of $V_2$. This triggers off the discharge of capacitor $C_2$ through the primary, to which there is added the charge current of capacitor $C_1$ being readied for action on the next cycle. Upon the continuing rotation of the breaker cam, the contacts at $I_2$ are opened and those of $I_1$ close, firing $V_1$ and restoring the impulse capacitors to their original state ready to continue the operation.
Figure 14 is a similar ignition system designed for operation with two ignition coils working through two distributor heads. The two 631-P1 tubes are symmetrically connected in the two supply lines leading to either end of the series-connected ignition-coil primaries. The center tap from the two primaries goes to the tap between the two capacitors $C_1$ and $C_2$. As interrupter $I_1$ closes, the positive potential on...
the control element fires $V_s$ connecting ignition coil $T_1$ across $C_s$ to discharge and charge $C_s$. On the next cycle of operation $V_s$ similarly fires, discharging $C_s$ and recharging $C_s$. The 631-P1 is especially suited for this type of service as contrasted with the hot-cathode types because of its very great surge-current-carrying capacity.
Unless surge currents of 2 to 5 amperes can be reliably supplied, neither these nor any of the previous circuits will deliver satisfactory performance. The high cathode powers required in the hot-cathode type of discharge tube to secure these peak anode currents, together with the heating time required, have up to now limited the development in this direction.
**Unconventional Timers**
With tubes controlling the discharge circuit, it is no longer necessary to use relatively massive breaker points for controlling the moment of spark initiation. In the case of fuel-injection engines in particular, benefits can be derived by controlling the timing to coincide with a certain portion of the charge pressure-time curve. Figure 15 illustrates a system utilizing pressure fluctuations to trigger off the spark in the combustion chamber\(^{11}\). The 0.5 $\mu F$ capacitor is charged from a 250-volt source through a limiting resistor, and connected in series with the primary of the ignition coil via the anode-cathode path of a gas-discharge tube.
Battery $B$ normally biases the control-grid of tube $V$ so that no discharge can take place, and is connected to this grid in series with a pressure-responsive piezoelectric device. Connected to the proper portion of the fluid feed system, this piezoelectric actuator generates a positive voltage which, when it reaches the proper value, permits firing of the tube and passage of the spark across the terminals of whichever spark plug is connected through the distributor to the ignition-coil secondary at the moment.
The general scheme of the hydraulic actuator system is portrayed in Fig. 16, showing a pressure reservoir connected through a rotary valve to the hydraulically driven piezoelectric actuator. The rotary valve is synchronized with the engine crankshaft in the same manner as the camshaft, and each time the valve port sweeps into register with the line connections, a pressure pulse is applied to the piezoelectric element. Figure 17 illustrates the internal details of the quartz pulse-generator used in this arrangement. As the pressure wave drives the base electrode in the direction of the top electrode, pressure on the quartz plate rises, developing the trigger voltage.
These developments, which illustrate the type of work done to improve ignition systems through the use of electronic devices and techniques in the past decade, make it clearly evident that although superior performance over the presently incorporated ignition systems can be demonstrated, the designer in this field is limited by the fundamental fact that the primary power sources available to him are in the relatively low-voltage range of 6 to 24 v, a range with which the experienced electronics designer associates heater operation, not anode excitation.
All the systems described embody some means to work the space discharge portion of the associated electronic device at a voltage in excess of 100 volts, and most use gas discharge tubes to decrease the power lost within the tube. That an increase in voltage level is an indispensable expedient, is evident upon a moment's reflection, for no conventional gas discharge devices have pick-up potentials as low as 6 volts, which is even lower than the arc-voltage required after establishment of the discharge.
Costwise, an electronic ignition system is still at a disadvantage, for it requires a step-up device and some synchronized contacting device in addition to the tube and auxiliary components, and the make-and-break system does not have to reckon with the cost of these latter elements. In the aircraft field, with problems peculiar to itself, and the trend toward higher primary a-c or d-c power-supply voltages, the supply-voltage limitation is steadily becoming less effective. When sufficiently superior performance can be demonstrated with not more than a moderate increase in price, a growth of interest is to be anticipated.
**References**
(1) Bychinsky, Wilfred A., U. S. Patent 2,222,498.
(2) Bychinsky, Wilfred A., U. S. Patent 2,229,424.
(3) Randolph, Donald W., U. S. Patent 2,005,466.
(4) Knight, Henry de Boyne, U. S. Patent 2,175,900.
(5) Cotter, William F., U. S. Patent 1,968,539.
(6) Hooven, Frederick J., U. S. Patent 2,180,650.
(7) Randolph, Donald W., U. S. Patent 2,027,617.
(8) Randolph, Donald W., U. S. Patent 2,028,334.
(9) Peters, Melville F. and Blackburn, George F., U. S. Patent 2,260,331.
(10) Peters, Melville F. and Blackburn, George F., U. S. Patent 2,278,483.
(11) Knight, Henry de Boyne, U. S. Patent 2,248,574.
Prior to World War II, the quartz crystal industry of this country consisted of perhaps four or five major manufacturers and two dozen or so smaller producers. The advent of Lend-Lease and the subsequent entry of our country into the war immediately created a terrific demand for radio and electronic equipment and components of all kinds.
Crystals quickly became one of the most critical items. The wartime program called for many thousands per month as a starter, whereas a pre-war order for 500 or 1,000 crystals was a large one, indeed. Consequently, it was necessary that existing crystal manufacturers reorganize their plants and processes to a mass-production basis. Among the many developments which have materially contributed to mass crystal production is the crystal test set.
Such a test set was not in general use by the industry prior to, and for some time after the outbreak of war. Rather, it was customary practice for the radio equipment manufacturer to supply to the crystal manufacturer a representative item of the equipment in which the crystal was to be used. The equipment thus supplied to him became the crystal manufacturer's production standard, to which he established a working relationship on his production test oscillators.
**Early Test Sets**
Pre-war problems in crystal manufacture were multiplied to the extreme when military orders were placed. Everything necessary for crystal production was scarce: technical knowledge and methods, trained personnel, materials, space, and equipment. Test sets for crystal manufacture were generally unknown and the practice of using the actual radio equipment as a production standard was followed for a time. Use of the radio itself, however, was awkward and generally unsatisfactory from a technical standpoint. At the same time, the armed forces were crying for every available means of communications. As a final discouragement, military security definitely restricted display of new equipment.
Accordingly, crystal test sets were soon developed which represented fairly well the actual requirements of the radio sets, and were simple to operate. These test sets, however, had little advantage over the actual equipment except for the important one of releasing equipment urgently needed for military use.
Maintenance of the crystal test
Front and rear views of quartz crystal test set show simplicity of design. All controls are available on the panel which also carries the correlation data chart for establishing the tests for various crystal units.
sets was a problem. As with the actual radio equipment when used in crystal production, the useful production life of the test set was short. Tubes aged or burnt out, and batteries lost their voltages. Consequently, the Galvin crystal engineering group began thinking of an ideal crystal test set. This unit would be stable, thus requiring a minimum of calibration maintenance. It would be so designed that the requirements for many types of crystals, not just one, could be accurately and quickly established on it, and duplicated at any time. A table of adjustments would be provided to facilitate the setting up of any established correlation. The set would be entirely a-c operated.
**Relation of Test Set to Equipment**
The fundamental requirement of a crystal test set with relation to the equipment in which the crystal is to be used is, of course, quite simple: the test set shall cause the crystal to operate just as it does in the radio equipment. To obtain this performance, the test oscillator must be so designed that its input characteristics are the same as presented to the crystal by the crystal oscillator in the radio equipment. Thus, frequency and activity (r-f voltage) requirements for the crystal are duplicated to a high degree of accuracy by the test set.
The maximum frequency tolerance and minimum activity requirements of the crystal are generally determined by the radio engineer after a working model of the radio set has been designed and built. The frequency tolerance depends upon a number of factors: transmitting frequency, receiver bandwidth response, and others. The minimum activity value is that below which the crystal will not produce satisfactory operation of the equipment, all other variables being at their minimum values. In some equipment, the crystal has been required to produce proper set operation even when other components are somewhat below their minimum values.
To the activity value which is established as a minimum, a safety factor is usually added. The activity value itself is usually expressed or evaluated in terms of one of the following: rectified grid current of the oscillator tube, d-c bias voltage produced on the grid of the following tube, r-f signal voltage at the grid of either the oscillator or following tube, r-f voltage at the grid of a mixer tube, d-c bias voltage on modulator or a-f output tubes, etc. The minimum requirements are given to the crystal engineer so that he can proceed to establish an accurate crystal test set against average radio equipment.
The crystal test set is usually correlated to an average radio in the following manner: with the test set input adjusted to duplicate that of the equipment, frequency measurements are made on a number of crystals over the operating range as a check that a given crystal, operating in the test set, does reproduce very accurately its frequency when operating in the radio equipment. A number of crystals having activity values above, below and at the minimum are then used to determine the average test-set grid meter reading which corresponds to the minimum crystal activity in the radio equipment.
Thus correlated, the test set and associated radio equipment then become standards and, as such, are reserved from further use until such time as it may be desired to confirm primary correlation. Other test sets are calibrated against the one established as primary standard. Of the secondary standards, one is reserved from use—against which the working standards may be checked from time to time. The crystal manufacturer receives other calibrated reference-standard test sets which have been established against one of the working secondary standards.
**Design of the New Test Set**
Inasmuch as each crystal oscillator is different in each of a number of types of Signal Corps equipment manufactured by Galvin, a like number of early primary standard test sets was established, duplicated and maintained. Consequently, when the concept of an ideal crystal test set arose, the variety of oscillator characteristics to be encompassed was indeed impressive. As examples of variables encountered; only one of all radio sets involved used crystal oscillators each presenting the same shunt capacitance to the crystal. Several different types of tubes were used. Circuit variety was extensive, as were plate, grid, screen and cathode-bias voltages and component values.
Obviously, the new test set must be confined to only those variables absolutely necessary to its function as a multi-crystal correlation standard. Therefore, grid and plate capacitors must be variable, and of sufficient capacitance range to meet minimum and maximum values found in actual equipment. Likewise, the grid-bias resistor must be variable so that the rectified grid current could be regulated to a desired meter value. It might be desirable to incorporate variable d-c plate-voltage control, but this feature would be omitted from preliminary plans.
The oscillator circuit would be the Pierce type, since nearly all the radio equipment concerned used one or another variation of the basic Pierce circuit. The entire test set would be a-c operated, with d-c voltage regulation. The oscillator tube would be operated far below its nominal d-c plate and screen voltages; likewise, the heater would be operated at sub-normal voltage. Because of these reductions in operating points, tube aging and burn-out would be minimized.
Preliminary sketches of the circuit (see Fig. 1) and physical layout of the new test set were made. Then a model was built and given preliminary tests whose results well justified completion of the development.
After construction, performance tests, and correlation, three Model CES-1 Standard Crystal Test Sets were shipped to the Long Branch Signal Laboratories for their tests. A short time later, tentative approval and an engineering report of the findings were issued. Following this, the Laboratories, through the cooperation of Lt. Col. W. F. Atwell and Maj. E. F. Mitchell, sent two of their engineers to Galvin to confirm the prime correlations which had previously been established. Full approval and acceptance of the CES-1 Crystal Test Set as a standard by the Signal Corps was announced soon afterwards.
Performance of Sets
After the first production group of CES-1 test sets had been in service for a few weeks, it became evident that the activity-correlation stability of some units was not as consistent as that of others. A thorough investigation of several of the unstable units disclosed two sources of trouble: erratic grid-bias and meter-reference resistors and unstable VR-90-30 voltage-regulator tubes.
Although the VR-90 tubes, as well as the entire test set, had been aged 60 to 100 hours prior to being placed into service, it was found that many of the tubes did not hold their specified regulating characteristics. This situation was remedied by aging of the regulator tubes in a special rack. Unstable units were discarded and the acceptable ones were placed into service in the test sets. This program was applied to all CES-1 test sets, as well as to considerable engineering laboratory equipment which used the VR-90 voltage regulator.
After extensive tests, the resistors which had given trouble were replaced in all test sets by a semi-precision type.
The stability of both the voltage-regulator and the resistors involved in the meter-reference circuit was important to the extreme since a given resistor value was to be set up at any time to an accuracy of ±5 microamperes, in terms of direct current on the activity meter. Circuit variations ordinarily considered as very small therefore became quite important. A switching circuit was added to the test set so that the operation of the VR-90 tube can be checked at any time against a B+ reference value, established and recorded on the correlation chart when the tube is put into service. The meter-reference value, established by a variable resistor in the oscillator grid circuit and the constant B voltage, simultaneously establishes the proper activity correlation for the particular crystal involved.
After these improvements were made, the stability of the test set had improved so that nearly a year ago, crystal suppliers were changed over to a schedule calling for routine checking of their test standards at 2-month intervals by the crystal engineering division at Galvin, the prime contractor. Of course, if and when a component failure should occur, the test set is to be returned for complete servicing and re-standardization. This has not yet occurred, however.
Setting up a calibrated CES-1 test set for a given correlation is a simple matter. The necessary data are included in the chart mounted on the front panel on the instrument. The procedure consists of setting up two dial values and one meter-reference value for each correlation. This operation requires less than one minute.
Future Developments
In order to advance the simplicity of standardizing crystal test sets further, it is contemplated that artificial minimum-activity crystals may be available at some time in the future. Such units will be made to a desired characteristic which will correspond to an actual minimum-activity crystal in the radio equipment concerned. With such artificial crystals, the crystal manufacturer or the Signal Corps inspector may, at any time, standardize his crystal test set without returning it to his prime contractor, or to the Signal Corps, whichever action applies. This particular development by the Signal Corps Laboratories has not yet been completed, although one form of it is in practical use.
While the crystal test-set problem seems well in hand, there remains much to be done. For one thing it is expected that some day the crystal engineer and the radio engineer will work hand in hand on the design of any new equipment in which crystals are to be used. Difficult crystal manufacturing problems might be avoided if this sort of cooperation were to be practiced. More efficient crystal circuits generally are possible when the specialized knowledge of the crystal engineer is used. The crystal specialist, on the other hand, has the obligation of hastening the day when the performance to be expected of a crystal will be defined, in practice, as a function of the crystal itself, rather than in such arbitrary terms as those discussed in this article.
In the past thirty years dielectric measurements have become important in the study of molecular structure and in laboratory procedure. Most apparatus used to make these measurements has been designed for high precision, and is costly and complicated.
The purpose of this paper is to discuss dielectric-constant measurements, and to describe a simple instrument which is accurate to one percent and suitable for many laboratory and industrial measurements.
**The Dielectric Constant**
The dielectric constant $k$ is generally defined as the ratio of the permittivity of the substance being investigated to that of empty space ($k = \epsilon/\epsilon_0$); $k$, however, is more often thought of as the ratio between the capacitance of a capacitor immersed in a dielectric and its capacitance in empty space. In fact, most methods for measuring $k$ depend on this latter concept. The dielectric constant of dry air (1.00059 at 0°C) is generally taken as unity since most measurements of $k$ are not made to better than 0.1 percent.
Dielectric constants measured at low frequencies cover the range from 1 to nearly 100. This is a remarkably wide range compared to a related property, the optical refractive index, which only covers the range 1.000 for vacuum to 2.950 for chrome-spinel. Dielectric constants of some common materials are shown in Table I.
Since water has such a high dielectric constant, a small amount of it can be detected in liquids such as benzene, and powders such as flour and tobacco, by dielectric measurement. Commercial moisture meters based on measurement of $k$ have been made. Molecular dipole-moment measurements depending on $k$ measurements will be discussed later.
**Methods of Measuring $k$**
Any method used for measuring capacitance can be applied to measuring $k$. It is only necessary to make the measuring cell a capacitor of such form that the space between the plates can be filled with the substance to be measured. The ratio of the capacitance when filled, to that when empty, is $k$.
In most $k$ measurements the substitution method is used. The test cell, of capacitance $C_T$, is placed in parallel with a calibrated variable capacitor of capacitance $C_M$, in a circuit arranged to indicate balance when the sum of $C_T$ and $C_M$ is a constant $C_0$. The capacitance of the test cell, when filled with a liquid of dielectric constant $k_i$, is $k_i C_T$. At balance
$$k_i C_T + C_M = C_T + C_{M0} = C_0 \quad (1)$$
where $C_{M0}$ is the capacitance of the calibrated capacitor when the test cell is empty, and $C_{M1}$ is the calibrated-capacitor capacitance when the test cell is filled with a substance of dielectric constant $k_i$.
It is difficult to ascertain the true value to use for $C_T$ since the medium only partially fills the space surrounding the test cell electrodes, and also because there are stray capacitances in the circuit connecting $C_T$ and $C_M$. Consequently, Eq. (2) is seldom used, and a calibration against a standard liquid of dielectric constant $k_2$ is made, with provision to always fill the cell the same way for each determination. By this method it is possible to eliminate $C_T$ from the calculations as follows:
$$k_2 C_T + C_M = C_T + C_{M0} = C_0 \quad (1)$$
$$k_2 C_T + C_M = C_T + C_{M0} = C_0 \quad (3)$$
Rearranging, and dividing,
$$\frac{(k_1 - 1) C_T}{(k_2 - 1) C_T} = \frac{C_{M0} - C_{M1}}{C_{M0} - C_{M2}} \quad (4)$$
Eliminating $C_{M0}$,
$$k_1 = 1 + (k_2 - 1) \frac{\Delta C_{M1}}{\Delta C_{M2}} \quad (5)$$
where $\Delta C_{M1}$ and $\Delta C_{M2}$ are the changes in the calibrated capacitor from the condition that the test cell was empty to the condition that it is either full of the unknown dielectric material or the standard dielectric material respectively.
Table II shows a list of standard liquids appearing in The International Critical Tables.
For measurements at audio frequencies, capacitance bridges are customarily used to measure $C_T$. At radio frequencies up to 100 megacycles the heterodyne beat method shown in Fig. 1 is used. The latter is capable of great precision, and most research workers in dielectric constants have made use of it for the past twenty years.
Another principle applied to measuring $k$ at radio frequencies is...
Simple method for measuring dielectric constant by utilizing the plate current characteristic of a crystal oscillator as it is tuned through its oscillating range. The meter can be made automatic for industrial applications or it can be used to measure capacitance.
The resonance method, which makes use of a constant-frequency reference oscillator loosely coupled to a tuned circuit. The tuned circuit contains an inductor, a standard capacitor, and the measuring cell, plus a means of determining resonance such as a thermogalvanometer or a vacuum-tube voltmeter as illustrated in Fig. 2. This is just another method of ascertaining when $C_r$ plus $C_m$ equals $C_o$.
Another resonance method used in the frequency ranges above 100 megacycles is to vary the oscillator's frequency and observe maximum oscillator reaction from a cavity resonator immersed in the dielectric. The dielectric constant is proportional to the square of the resonating frequency. The dielectric constants of most substances show anomalous behavior in the hundred-megacycle region; this is because the relaxation time of molecules is on the order of $10^{-4}$ second, and with an excitation frequency of $10^6$ cps they are not able to follow the rapid changes in the applied electric field.
**The K-Meter**
The k-meter developed in this laboratory is simple and inexpensive. Only one tube, an electronic ray tube of the magic-eye type, is used. The costs of parts, including power supply, is about twenty-five dollars.
The critical capacitance effect utilized in this k-meter is the well-known snapping-in of a crystal oscillator as the tuning capacitor is changed from too high a value toward the range in which the crystal oscillates. This effect was first used by Henriquez of Holland in connection with dielectric-constant measurements.
Figure 3 shows a graph of the plate current of a triode crystal oscillator plotted against tuning capacitance. Curve A is obtained with decreasing values of capacitance; curve B with increasing values. It will be noted that the circuit stops oscillating with a larger value of capacitance than the starting value. This electrical-backlash represents a constant increment of capacitance for a particular oscillator, and is useful in checking the linearity of the measuring capacitors. In the region x-y the curve is steepest. This critical portion of the curve is used to locate the balance for each capacitance determination.
**K-Meter Construction**
Upon conception of the idea to use the 6E5 as both oscillator and indicator, there were some misgivings as to the tube's ability to handle both jobs well. The first model built on a breadboard worked remarkably well, however, and the 6E5 proved to be an excellent crystal oscillator for the purpose. The curves shown in Fig. 3 were taken on the circuit now in use.
The circuit of the k-meter is shown in Fig. 4. The total change in capacitance of the measuring capacitor $C_m$ is about 7 $\mu\mu f$ for 180 deg rotation. It is linear between 15 and 90 on the dial, which is graduated into 100 divisions in 180 deg. $C_i$ is a capacitor to bring the total circuit capacitance into the oscillating range. The dials of these capacitors read increasing numbers with decreasing capacitance; thus, when $C_r$ increases, the $C_m$ dial is increased proportionally to maintain balance.
It is interesting to note that not only is the direct plate current indicated by the 6E5, but also the amplitude of the radio-frequency oscillations. This dual indication makes the critical point easy to read.
The oscillator unit is assembled with the precautions taken with a frequency meter. All r-f wiring is rigid and well spaced. The parts are tied or clamped in place to prevent changes in stray capacitance. The unit is built on the panel, making removal from the cabinet easy.
X-cut and AT-cut crystals have been tried. The X-cut crystal has a better snap-in than the AT-cut type. A ten centigrade-degree change in temperature causes a 0.03 percent change in frequency for an X-cut crystal at seven megacycles. Since the precision of the dials and measuring capacitors is about 0.5 percent, this drift of the X-cut is allowable, and desirable because of the better indicator action which it gives.
The frequency used is not critical. Up to about ten megacycles the dielectric constants of most materials are the same as those measured by direct-current methods. Seven-megacycle crystals were used because they were available, and because operation at their frequency gave good accuracy using small measuring cells.
If the instrument is warmed up...
for half-an-hour it will have done ninety percent of its drifting. After two hours warm-up, the circuit can run for days with a zero drift less than that which can be read on the dial of $C_x$.
**Automatic Operation**
No voltage regulation is necessary. Line voltages of 100 to 135 volts gave no shift in the zero setting of $C_x$. When the line voltage was reduced to 75 volts the pattern on the 6E5 was too dim to be clearly seen and the zero of $C_x$ shifted 0.5 dial division, corresponding to a 0.2 percent error in the dielectric constant of benzene.
The instrument has been made to operate automatically by connecting a spdt relay in the plate circuit of the 6E5. The relay operates a reversible four-rpm motor connected to the vernier drive of the dial on $C_x$. The motor decreases $C_x$ until balance is reached, at which point the relay operates, whereupon the motor reverses until the relay again operates. In this manner the k-meter can be made to record continuous changes in dielectric constant due to temperature variations. A suitable recording system can be attached to the motor shaft.
**The Test Cell**
Whether the substance to be measured is a gas, liquid or solid, it must be made the dielectric of a capacitor. Dielectric-constant measurements on gases are performed with elaborate equipment and are outside the capabilities of this k-meter. Cells for liquids are of greatest interest to the practical physical chemist since much chemistry depends on the properties of liquids and solutions.
Most cells described in the literature are of glass coated with metal walls. Several cells of excellent design are described in the literature. Glass cells are adapted to precision measurements, but are difficult to make since not only is a good glassblower required, but also one able to do a careful job of silvering or platinizing the electrodes.
A simple demountable cell that is easily cleaned is shown in Fig. 5. This cell uses semi-micro quantities of sample; only two milliliters of sample are required to fill it. It is stainless steel and can be turned on a lathe in several hours. A punch mark is made on one side of the outer steel test-tube electrode so that the center part can always be plugged in with the same orientation. A sapphire centering pin set in the bottom of the central electrode increases the overall reproducibility of measurements from one percent error without the pin to 0.3 percent error with the pin. This increase in accuracy is valuable when making molecular dipole-moment measurements or tests for impurities.
Using two milliliters of sample in the cell brings the liquid level above the recessed shoulder so that volumetric errors cannot cause large errors in $k$. A plus or minus five percent error in measuring a sample causes a $\pm 0.7$ percent error in $k$ for $2 < k < 3$. Using this cell, one dial division of $C_x$ corresponds to $\Delta k = .010 \pm .003$. Due to the type of measuring capacitor used, actual dielectric-constant values can only be relied on to plus or minus one in the third significant figure.
A similar cell made to fit in a test tube rather than to be self-contained was described by Hazen. A dip-cell has been used with the k-meter. It was made of flat nickel plates. A cell made of concentric cylinders is preferable, however, to one of flat plates, because the parallel-plate capacitor suffers from larger edge effects. For solids in powder form such as flour and cut tobacco, special cells must be devised for the particular problem.
**Chemical Applications**
In the chemical laboratory $k$ measurements are useful in the identification of compounds, the control of distillations and reactions, the determination of purity, and the measurement of molecular dipole moments.
Isomers of organic liquids can often be identified by their dielectric constants. If it is known that only two isomers exist in a sample, the concentrations of each can be determined if their $k$'s are known. For example, ortho-xylene has a $k$ at twenty degrees centigrade of 2.58 and meta-xylene under the same conditions has a $k$ of 2.37. Using the test cell described above there is a twenty dial-division increment on $C_x$ from ortho- to meta-xylene, making it possible to measure 2.5 percent ortho- in meta-xylene by reading $C_x$ to one-half a dial division.
Dielectric constant measurements have been used to follow the course of distillation in a three-component system. The variation of $k$ is shown in Fig. 6. Such distillations may be
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**FIG. 4**—This type of dielectric-constant meter uses few parts. The 6E5 tube serves both as oscillator and balance indicator. The power supply can have no direct-current path to ground
**FIG. 5**—Plate current of a crystal oscillator changes as the tuning capacitor is tuned through resonance. Data for this curve was taken from an oscillator using the triode section of a 6E5 tube, and an X-cut 7-Mc crystal
FIG. 5—The liquid or powder whose dielectric constant is to be measured is made the dielectric of this concentric capacitor used as the test cell.
automatically controlled by having distillation receivers cut in at a fixed value of $k$.
Two samples of wheat flour of known moisture content were obtained. One-gram samples were weighed to an accuracy of 0.1 percent, and $k$ measurements made. Sample A contained 9.3 percent moisture by weight; sample B, 12.9 percent. Sample B had a dielectric constant 0.67 greater than sample A, a difference of almost 70 dial divisions for a moisture difference of 3.6 percent. However, for reproducible results a special cell is needed.
**Capacitance Measurements**
Many small capacitance effects can be detected and measured by the $k$-meter. Some of these are academic and primarily used for demonstration purposes, while others have more useful applications.
The radius in centimeters of an isolated metal sphere is equal to 0.900 times its capacitance in micro-microfarads. A sphere can be isolated for purposes of demonstration by supporting it 10 or 20 cm above the instrument on a stiff wire. The wire connects the sphere to the high side of the capacitance measuring terminals. This principle has been used both to measure the diameter of 2.0-cm spheres to the nearest 0.02 cm and to check the linearity of the measuring capacitors by using spheres as small increments of capacitance.
A very convincing demonstration of the capacitance effects of insulation and wire diameters can be made by using equal lengths of insulated wires of varying diameters as capacitors. A one-cm length of spaghetti-type insulation slipped over a three-cm length of number eighteen bus wire gave a 0.8 dial-division change in $C_y$. These demonstrations using the $k$-meter would be valuable in a course in electrical measurements, and are made more simply than with a precision capacitance bridge.
**Temperature and Pressure Measurements**
The $k$-meter has been used to follow automatically the temperature indications of a standard mercury-in-glass thermometer. A wire was wrapped around the bulb to make capacitive contact with the mercury, and a piece of metal foil was wrapped around the stem. The $k$-meter with motor drive was connected to these electrodes. With the particular thermometer used, a one-centigrade degree temperature change gave a two-dial-division change on $C_y$. By sealing a lead into the mercury bulb and using a thinner glass wall this could be magnified.
The meter has also been used to follow minute variations in level of a mercury-in-glass manometer. One electrode was inserted in the mercury; the other was a tight-fitting metal cylinder mounted at the meniscus. With standard eight-mm glass tubing of one-mm wall thickness $C_y$ gave 96 divisions per centimeter of mercury pressure change. This corresponds to 0.5 cm of mercury motion inside the sleeve electrode. The sensitivity of these mercury-in-glass devices used with the $k$-meter is partly due to the high dielectric constant of glass.
**Molecular Dipole-Moment Measurements**
The dipole moment of a substance is a measure of its molecular symmetry, or lack of it.\(^{11}\) It represents the part of a dielectric's polarization due to orientation in the electric field, and is large for unsymmetrical molecules such as nitrobenzene. Molecular dipole-moment measurements have been valuable in determining the actual structure of molecules.
Molecular dipole-moment is generally measured by correlating dielectric constants, densities, and refractive indices for a series of dilute solutions of the dipole sub-
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**REFERENCES**
(1) Nernst, *Z. Phys. Chem.*, 1894.
(2) Ratz, *Z. Phys. Chem.*, 1894.
(3) LeFevre, "Dipole Moments," Chemical Publishing Co., 1938.
(4) Reilly and Rao, "Physical Chemical Methods," Vol. II, p. 501-531, D. VanNostrand, 1940.
(5) Frank, "Introduction to Electricity and Optics," p. 206, McGraw-Hill, 1940.
(6) Kuntz and Waldschmidt, *Z. Phys. Chem.*, 1931.
(7) "International Critical Tables," Vol. VI, p. 73-107, McGraw-Hill, 1929.
(8) Zahn, *Phys. Rev.*, 24, 400, 1924.
(9) Williams, *J. A. C. S.*, 82, 1900, 1931.
(10) Estermann, *Z. Phys. Chem.*, 1928.
(11) Wyman, *Phys. Rev.*, 35, 623, 1930.
(12) Henriquez, *R. T. C. D. P. B.*, 54, 327, 1935.
(13) Henriquez, *Physica*, 2, 434, 1935.
(14) Hazen, *R. S. I.*, 14, 141, 1943.
(15) A Symposium on Dipole Moments, *Trans. Faraday Soc.*, 30, 1934.
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**FIG. 6**—One industrial application of the dielectric-constant meter is to determine the condition of the charge in a still pot. This curve is for the separation of acetone, toluol, and benzene.
Automatic Liquid
It is axiomatic that before a variable in an industrial process can be controlled automatically, the change in the variable must first be measured. The measuring instruments used for this purpose are generally either direct indicating or null balance types, and incorporate the usual pointer and calibrated scale for indicating the measured quantity. The measurement must then be converted to a control action, by adding a contact system to the pointer or by other means. An all-electronic system has obvious advantages over such electro-mechanical arrangements, but a brief analysis of contact-making systems will be helpful in evaluating possible industrial applications for the all-electronic measuring and control system to be described in detail in this article.
Types of Contact Systems
Direct electrical contacting control systems as applied to sensitive measuring apparatus have until recently taken two differing general design forms. One method involves incorporation of a motor-driven mechanical detent mechanism in which the position of the indicating pointer is sensed by a mechanical clamping system, which in turn determines the closed or open conditions of the control contacts. Such systems introduce a delay in the measuring response (since the measuring element is clamped during the sensing interval) and usually require the use of a more rugged measuring system to withstand the action of the mechanical clamping mechanism.
A second method, illustrated in Fig. 1, makes use of an electrical contact mounted on the moving element (pointer, armature, etc.) of the measuring system. This contact engages a mating contact whose position can be preset to a desired position on the scale of the instrument. These contacts in turn are used to close a circuit to a pilot relay which controls the final desired corrective function in the control system.
Drawbacks of Mechanical Systems
Both the mechanical and electrical contact making methods entail drawbacks from the standpoint of design as well as function. The first introduces undesirable delays in the system and requires an enhanced ruggedness in the design of the measuring apparatus. The second method sometimes involves instrument redesign since carrying...
of a contact upon the measuring element usually introduces disturbances to the torque-weight ratio of the instrument. The small forces available in sensitive measuring instruments introduce problems of contact failure due to film formation or contact adherence, and errors in measurement due to electrostatic fields present in the neighborhood of the contact surfaces. These measuring errors can be analyzed further with reference to Fig. 1.
A source of electrical energy in series with a pilot relay and the contact system supplies energy for the relay when an upscale motion of the pointer closes the contact system. By means of its contacts, the relay in turn controls auxiliary apparatus in the control circuit. Two major force disturbances are present in the mechanism, as follows:
(1) The source creates an electrostatic field, and introduces an attractive force between the two separated contact faces when in close proximity. Such force creates a false displacement of the indicating pointer and, therefore, causes a measurement error.
(2) With the contact faces in partial contact but separated by some types of surface films, a large attractive force may be present which acts to delay parting of the contacts as the energy in the measuring system falls, again introducing a measurement error.
Although the above-mentioned forces introduce opposite effects upon the instrument, a resultant force invariably exists to cause measuring error. The extent of these forces may be seen from the following: Let the contact faces represent the boundary conductors of an electrical capacitance having an air dielectric. The energy stored per cubic centimeter of dielectric is $KF^2/8\pi$ ergs where $F$ is the electric field intensity and $K$ is the dielectric constant (approximately 1 for air). If the contact areas are assumed equal and close together, the surface density of charge $\sigma$ is the same on both surfaces and, by Coulomb's theorem, the intensity between the surfaces at all points is $4 \pi \sigma/K$ dynes.
Now let the surfaces be parted by a small distance, $\delta y$, and let $P$ represent the force of attraction, in dynes, between the surfaces. Neglecting the fringe effects, the work done in separating the contacts by this distance is $P\delta y$ ergs. If the area of the contact surfaces be represented by $A$ sq cm, the increase in energy stored due to the increase in dielectric volume will correspond to the work done, or $A\delta yKF^2/8\pi$ ergs, from which $P = AKF^2/8\pi$ dynes. Since $F = V/d$, the force of attraction in dynes may be written in terms of $V$ and $d$ as $P = AKV^2/8\pi d^2$ dynes. If $D$ is the pivot-to-contact distance on the pointer, the disturbing torque $T$ is then equal to $PD$.
Since the potential $V$ may be several volts the forces acting upon the measuring pointer of a sensitive instrument due to the fields created may become a considerable fraction of the useful measuring torque of the instrument. The usual design torque values in dynes per cm per degree rotation for representative moving-coil instruments with jewel pivots and spiral springs range from 0.09 to 0.3, and the disturbing force can be a considerable fraction of this total available force.
A similar analysis may be made of the second disturbing effect. In this case, it will be noted that the dielectric medium is a film of thickness $d = \delta y$. Depending upon atmosphere, contact materials can form upon their faces a semi-conducting film of high dielectric constant, having a possible thickness of the order of a fraction of a millimeter. Inasmuch as the forces present are also a function of the dielectric constant of the film, such forces may reach figures many
times in excess of those obtained for the dielectric constants of true insulators. In order to reduce the effect of these forces, many designers have attempted expedients such as reducing the areas of the contacts, reducing the potential $V$ (and therefore requiring an increase in sensitivity of pilot relays), and changing the relative areas of the contact faces with respect to each other or the relative shapes of the contacts. However, these expedients do not eliminate the force disturbances, but only reduce their effect with a resultant required compromise between allowable disturbance error and desired sensitivity.
These problems in the design of sensitive contact-making instruments have resulted in compromises which usually have limited the application of such apparatus. The advent of the electronic oscillator mechanism as a relay device has made possible a new approach to such design problems, and made practical an instrument relay which has demonstrated many advantages over the earlier contact-making devices.
**Description of Oscillator Relay**
The basic circuit of the oscillator type relay, functioning at a frequency of approximately 15 megacycles, is given in Fig. 2. It is a tuned plate, tuned grid circuit, due to Kuhn-Huth, in which parallel resonant circuits $L_1 C_1$ and $L_2 C_2$ are placed respectively in the plate and grid circuits. Sustained oscillations are produced through the interelectrode grid-plate capacitance of the tube when the plate and grid tanks are both resonant at approximately the same frequency. Under these conditions, the steady plate current is at some low value based upon the strength of oscillations, and the negative value of bias applied to the grid due to the presence of the grid leak and capacitor.
If one of the resonant circuits is detuned, the strength of oscillations is considerably decreased or halted entirely, with the consequent disappearance of grid bias and rise in plate current. By properly choosing circuit components, applied voltages and tube characteristics, it is possible to produce large changes in plate current with small departures from resonance.
Since either the grid or the plate tank may be deresonated or re-resonated by a change of inductance or capacitance in the proper direction, a variety of control methods by change of either inductance or capacitance is available, with consequent control of plate current. By introducing an electromagnetic contact-making relay into the plate circuit, the plate current change may be made to perform a useful function.
**Application of Oscillator Relay**
The circuit of Fig. 3 permits the inductance $L_2$ to be rapidly altered by the motion of a metallic control mass attached to the pointer of a sensitive measuring instrument. The modification involves replacing the grid coil of Fig. 2 with the split inductances $L_a$ and $L_b$. Capacitor $C_2$ has been eliminated since the inductances are resonated by their distributed capacitance, as has been described by Lorentz.
The control mass in most industrial forms of the apparatus takes the form of a light non-ferrous metal foil flag, usually of aluminum, rigidly attached to the pointer of the instrument. Because of the small sizes of such flags ($0.002 \times 0.375 \times 0.750$ inch), their weights have little disturbing effect upon the torque-weight ratios of sensitive measuring equipment. The inductances $L_a$ and $L_b$ are positioned at either side of the axis of motion of the flag in such a manner that the metal flag may pass between these inductances without touching them. The introduction of the metal flag between these inductances reduces their effective resistance.
**The Control Inductance**
To obtain large changes in plate current $\Delta I_p$ with small changes in pointer position, $\Delta I_p / \Delta y$, it is desirable that the inductance change with flag motion be as large as possible. One method of attaining such a condition is to concentrate the inductance in as small a geometrical volume as possible, consistent with the design of an effective inductance and allowable space considerations. A good form for such inductances is the plane spiral, sometimes termed a pancake coil.
**Effect of Flag on Inductance**
A rapid decrease in the total inductance and an increase in the effective resistances of the inductances will occur when the metal flag passes between the two coils. The reduction of the effective inductance and increase of resistance depend upon the frequency and the electrical constants of the flag material. The decrease in inductance is due to the fact that the introduction of a non-ferrous metal body into the alternating field of the inductance causes an induced alternating current flow within the metal body. These currents set up a field opposing the inductor.
field, with a consequent change in effective coil inductance and a resultant decrease in inductance.
If $L_a$ and $L_b$ are control inductances, the total inductance $L_t = L_a + L_b + 2M$, where $M =$ mutual inductance. Consider the flag as a short-circuited single-turn secondary of a transformer operating at a frequency of 15 megacycles. If $I$ is the current in the coils at a frequency $\omega/2\pi$, and the induced emf in the flag is $E_r = \omega M_o J$, the induced flag current is $I_f = E_r/Z_r = \omega M_o J/Z_r$. Since $I_f$ lags $E_r$ by the phase angle $\theta$, the reactive component of flag current $I_r$ is $I_r \sin \theta$ and is $180^\circ$ behind $I$. The voltage induced in the coils due to $I_r \sin \theta$ is $E_{t(A)} = (\omega M_o) I \sin \theta = \omega L_f (\omega M_o/Z_r)^2$, and the total reactive voltage in the coils is $[\omega L_t - \omega L_f (\omega M_o/Z_r)]^2 I$. The inductance change with flag entry is $\Delta L_t = -L_f (\omega M_o/Z_r)^2$, with $L_f$ being as defined in Fig. 4.
The energy involved in the circulation of the induced eddy currents must be drawn from the inductor field and, therefore, an apparent increase in the effective resistance of the inductor is obtained. The induced current $I_r$ lags $E_r$ by the angle $\theta$, and $\tan \theta = \omega L_r/R_r$. The active component of $I_r$ is in phase with $E_r$, and so $I_r \cos \theta = (\omega M_o) IR_r/Z_r$. The voltage induced in the coils by $I_r \cos \theta$ is $I_r (\cos \theta) (\omega M_o) I$ and $E_t(A) = IR_r (\omega M_o/Z_r)^2$. Since $E_{t(A)}$ lags $I$ by $180^\circ$, it can be considered resistive voltage drop and $I(\omega M_o/Z_r)^2$ represents $\Delta R_t$, the increase in the high-frequency resistance of the coils.
Both the decrease in inductance and increase in effective resistance introduce control effects upon the oscillator in the direction required for obtaining large changes in the plate current, because the inductance change de-resonates the system and the increase in resistance reduces resonant energy.
**Possible Disturbing Forces**
The flow of high-frequency alternating current through inductances $L_a$ and $L_b$ gives rise to both an electromagnetic and electrostatic field in their vicinity. Since both these fields are a function of the current and potential in these inductances it is conceivable that some disturbing forces might be present to act upon the control flag and the instrument pointer to which it is attached. The introduction of a conductive non-ferrous metal flag into the magnetic field of the total inductance $L_t$ involves a repulsion phenomena due to eddy current induction in the metal flag, while induced electrostatic charges on the flag due to the electrostatic field may introduce some attractive force. However, the energy levels are exceedingly minute and such disturbing effects are negligible. However, minute as these forces may be, it may be of some interest to mention the reason for their presence.
**Electromagnetic Repulsion Effect**
If a non-ferrous metal ring or disc is present in an alternating magnetic field and is in such position with respect to the field that the lines of force pass through the disc, an alternating potential will be set up in the disc which is 90 degrees in phase displacement from the magnetic flux. This potential in turn causes a current flow in the material which sets up a reactive field which exerts a force tending to move the material in the magnetic field. Such a force is proportional in magnitude and direction to the product of the corresponding instantaneous values of current and flux. The force for any period is equal to the average of the instantaneous forces during the period. If the disc has no self-inductance, the current would be in quadrature with the inducing flux and the average forces during alternate quarter periods would be equal but in opposite directions; thus the average force during the whole period would be zero and, therefore, the disc would have no tendency to move in the field.
However, in actuality even a flat metal sheet has some inductance, and the induced current would therefore lag behind the induced voltage. The current phase, therefore, would be more than 90 deg behind the magnetic phase, and a summation of instantaneous forces during a half period would reveal a larger average force than the instantaneous force summation, having a finite negative value in the alternate period. The result is a small repulsive component between the two fields.
Thus, if the flag is threaded by flux $MI_o \sin \omega t$ due to current $I_o \sin \omega t$ in the coils, the induced emf in the flag is $E_r = M_o I_o \sin (\omega t -
Now $E_r$ lags $I_s$ by 90 deg and, if flag inductance $L_r$ is neglected, the flag current $I_r$ and flag emf $E_r$ will be in phase, and $I_r \propto M\omega I_s \sin (\omega t - \pi/2)$. The force between the two currents will then be proportional to the product $II_r$. Therefore, the force $\propto M\omega I_s^2 \sin \omega t \sin (\omega t - \pi/2)$. It will be seen that the mean of quantity $\sin \omega t$ ($\sin \omega t - \pi/2$) is zero where harmonic components differ in phase by 90 deg. Therefore, if $L_r = 0$ the mean force = 0. However, $L_r$, although small, can never reach zero, and $I_r$ lags behind $I_s$ by more than 90 deg. Under these conditions, force $\propto M\omega I_s^2 \sin \omega t \sin (\omega t - \pi/2 - \theta)$ and $\propto [M\omega I_s^2 \sin^2 \omega t \cos (\pi/2 + \theta)] - \left[ \frac{M\omega I_s^2}{2} \sin 2 \omega t \sin (\pi/2 + \theta) \right]$
The mean value of the last term is zero, while the mean value of the first term = $\frac{1}{2} M\omega I_r \cos (\pi/2 + \theta)$. Since the computed value of $\cos (\pi/2 + \theta)$ is negative when $\theta$ is small, the force upon flag is repulsive, the flag experiencing a repulsive impulse once for each cycle.
Because the energy present in the inductance is minute, the repulsive forces are negligible. The small disturbing force possibly remaining acts perpendicular to the plane of the flag and is hence ineffectual.
Because it is not possible to have the existence of an electro-magnetic field without the presence of an electrostatic field, the introduction of a metal flag into the field of the inductors may cause the formation of induced electrostatic charges on the flag surfaces. Such charges, if different in sign from charges present upon the plane faces of the inductances, may introduce slight attractive forces. By insuring that the metal flag surface is at the same potential level as the inductance surface by an appropriate leakage resistor network and proper grounding, the slight effect of such induced electrostatic charges is eliminated.
Force measurements on delicately balanced instruments, involving both the repulsion forces present due to the high-frequency electromagnetic fields and the slight forces due to electrostatic charges, have been measured in a number of cases. The results obtained indicate that such apparatus may be used in conjunction with measuring equipment whose torques are in the order of 0.03 dyne per cm per degree without introducing detrimental disturbing forces.
**Industrial Version of Circuit**
For industrial use the oscillator relay circuit has been rearranged as shown in Fig. 5, for operation directly from an a-c power line. The split inductance $L_2-L_3$ and the plate tank circuit $L_6-C_2$ are the same as in Fig. 3, but energy for the plate circuit of the oscillator is now supplied by a secondary winding of a transformer serving as source $E_1$.
When the oscillator has been resonated, oscillation will occur due to the coupling inherent in the inTABLE I. DIELECTRIC CONSTANTS OF MATERIALS
| MATERIAL | DIELECTRIC CONSTANT K |
|---------------------------|-----------------------|
| ASPHALT | 2.68 |
| EBONITE | 2.72 |
| GLASS,FLINT | 9.90 |
| MARBLE,CARRARA | 8.3 |
| MICA | 5.66 |
| PARAFFIN | 2.10 |
| PORCELAIN,HARD | 5.73 |
| QUARTZ | 4.69 |
| SHELL,AC | 3.10 |
| SULPHUR,AMORPHOUS | 3.98 |
| MATERIAL | DIELECTRIC CONSTANT K |
|---------------------------|-----------------------|
| AIR | 1,000590 |
| ACETIC ACID | 9.7 |
| ALCOHOL AMYL | 17.4 |
| ALCOHOL ETHYL | 44.3 |
| CARBON BISULPHIDE | 2.626 |
| GLYCERINE | 56.2 |
| CASTOR OIL | 4.67 |
| OLIVE OIL | 3.11 |
| PHENOL | 9.68 |
| WATER | 81.07 |
The effective bias attained on the grid of the amplifier stage is, therefore, the algebraic sum of $E_s$ and $E_R$. During the time that the plate potentials are in the positive portions of the applied a-c cycle, the effective bias on the grid of the amplifier section is approximately zero, with a consequent high average plate current in the second stage. This plate current maintains the relay in a preset contact position. Capacitor $C_3$ across the relay furnishes energy to the relay during the negative portion of the a-c cycle, and thus prevents chatter.
From the standpoint of design simplicity, the introduction of the direct-coupled amplifier stage results in greatly increased overall sensitivity with the obvious advantage of attaining reasonably large plate current levels for the operation of a high-wattage relay mechanism. For convenience, a dual triode is used for the oscillator and amplifier.
The bias return for the oscillator grid circuit is taken through bias resistor $R_2$ from a tap on the relay. The effect of the introduction of such regeneration is to cause large changes in bias on the oscillator due to plate current changes through the relay, and since the direction of bias change is that required to augment the trend of amplifier plate current change, small changes in flag position initiate large changes in plate current.
The effect of flag travel on plate current is shown in Fig. 6 for a rectangular-shaped flag used with regenerative bias (curve A) and with fixed bias (curve D) obtained by connecting the bias resistor to the cathode. Within limits, the contour of these curves may be modified by properly shaping the flag areas and by changing the geometry of the control inductances $L_a$ and $L_b$; curves B and C are examples.
By making use of a steep characteristic such as curve A, with a relay having a small operating current differential, and properly positioning such a relay characteristic on curve A, such as at $d_3$, an extremely small flag motion will change the contact condition. In fact, oscillator relay mechanisms of this type are possible in which changes of flag position of the order of 0.0001 inch cause a change in plate current from cut-off to maximum.
**Relay Operation**
The relay characteristic (operating differential) is customarily chosen to permit operation to take place at approximately the midpoint of the plate current characteristic. This insures long-term functioning despite changes in tube life. Ageing of the tube and reduction in emission lowers the maximum plate current and causes a small upward creepage of minimum plate current. Furthermore, choosing midpoint operation permits relay operation on a relatively linear portion of the plate current characteristic. This type of operation is of greater significance where the oscillator mechanism is to be used for a positioning function.
The change in plate current may be positive or negative with flag motion, depending upon the positioning of plate tank capacitor $C_4$ in Fig. 5. By resonating the oscillator with the flag all the way out of the coils, a high plate current is obtained in the amplifier plate circuit. Upon entry of flag into the coils, the oscillator is de-resonated and plate current through the relay drops.
In some cases, a reversal of this operation is desirable. This may be
obtained by adjusting capacitor $C_a$ so the oscillator is de-resonated and plate current in the amplifier stage is positioned on the lower edge of the resonance curve skirt (proper side) with the flag removed from coils $L_a-L_o$. Upon flag entry into the coils, the oscillator is resonated by the inductance change and plate current through the relay rises.
Thus, in the former case relay current falls with flag motion into the coils, while in the latter case relay current rises with flag motion into the coils.
**Fail-Safe and Stability Features**
The former method is the one commonly preferred where the apparatus is supplied for automatic control function, since a failure of line supply leaves the contact system of the relay in open condition and thus leaves the controlled apparatus in de-energized condition. The stability of circuits of this type is unusually good since they are to a great extent self-damping from the standpoint of spurious oscillations, and are also to a certain extent self-compensating for line voltage changes.
As an example, consider an increase in line voltage to the transformer supplying the voltages $E_1$, $E_2$, and $E_3$. Normally, one would expect the increase in line voltage to increase the plate currents in the tube plate circuits. However, an increase in plate current in the first stage increases the negative bias of the amplifier stage, with a resultant counteracting effect upon the tendency to an increase in plate current in the second stage. The self-compensation in these circuits is usually in the order of 10 percent in plate current change for the usual line voltage extremes met with in practice. With some sacrifice in sensitivity, the compensation effect may be improved to approximately 6 percent. Where extremely good regulation is required (in the order of 2 percent), a simple regulating system may be added to the circuit.
**Industrial Version**
A partly exploded view of an industrial oscillator relay instrument is shown in Fig. 7. The pointer carries the control flag, and the control coils are mounted on a lever which may be manually set to any desired scale position. A level-indicating pointer shows the coil position at which contacting is to occur. A pointer stop mounted on the setting lever prevents the pointer from moving too far beyond the setting level, as this would allow the flag to pass completely through the field of the control coils and destroy normal functions of the control mechanism. Flexible leads bring energy to the control coils from the oscillator system.
The apparatus of Fig. 7 is shown adapted to a pyrometric control system in which the electrical measuring instrument is a millivoltmeter energized from a thermocouple heated in the furnace. The heater elements of the furnace are energized through the relay contacts.
Although one of the major industrial uses of the oscillator relay mechanism just described is as an instrument relay in applications ranging from automatic control pyrometers to galvanometer torque amplifiers, there is another major class of applications. In this class, the mechanism senses a condition change in a process directly, rather than through the intermediary means of a measuring instrument. An example of such is its use as a materials level sensing mechanism.
**Materials Level Sensing**
In many industries the sensing of materials level in storage tanks is an important problem. These tanks may be a portion of a reserve storage system such as is common in petroleum fields, or may be a portion of a complete processing plant in which the levels vary constantly as the product is added or subtracted from the process. The types of materials encountered in modern industry range from hydrous and anhydrous mixtures and compounds to highly corrosive fluids such as acids and alkalis.
The most frequent and simplest mechanism met with in these problems is a float which is introduced into the storage container, and whose position is a function of the materials level. Since the float position must in turn be translated to a useful result exterior to the storage container, a translating mechanism is included which in some cases takes the form of a mechanical transmitter (shaft and stuffing box, or diaphragm seal) or a pneumatic or hydraulic transmission system (flapper valve or pilot relay). These intermediary mechanisms in turn control the position of a remotely situated valve or an indicating or recording mechanism, as dictated by the problem requirement.
**FIG. 10—Typical tuning curve for oscillator relay**
**FIG. 11—Oscillator relay circuit adapted for liquid-level sensing operation**
Unfortunately, the wide range of materials conditions to which these float-type devices are applied, complicated with such factors as chemical attack, mechanical erosion and friction, high temperature and high pressure conditions, have made these mechanisms prone to a variety of service failures, unless they are constructed with such care and attention to detail in view of the conditions to which they are exposed, as to make their cost and upkeep disproportionately high.
Materials usually stored in a liquid or solid state may have electrical conducting, semi-conducting or electrical insulating properties. That is, they may be termed electrolytes, dielectrics, or partials. These materials, therefore, may be used to vary the capacitance of an electrical capacitor by allowing them to become a portion of the capacitor structure.
**Capacitance Considerations**
The capacitance of a simple air dielectric capacitor having two parallel metal plates is directly proportional to the dielectric constant. Thus, \( C_0 = AK/4\pi D \) esu, where \( K \) is the dielectric constant (approx. 1 for air), \( A \) is the area of a plate in sq cm and \( D \) is the distance between inner surfaces in cm. (1 esu = 1.11 \( \mu \mu f. \))
If we replace the air dielectric by a new dielectric medium having a higher value of \( K \), the capacitance will be increased. Obviously, such a capacitance method is only acceptable where the new medium is a true dielectric. If the new material is a good conductor (electrolyte) no charge could be present in the capacitor. However, we may insulate the plates with a dielectric film, whereupon if fringe effects are neglected the capacitance in esu is given by \( C_1 = AK_1/4\pi (D_1 + D_2) \), where \( K_1 \) = dielectric constant of films (values for some common liquids are given in Table I), and \( D_1 = D_2 \) = thickness of films in cm (uniform).
If the new electrolyte medium is allowed to rise between the capacitor plates to some distance \( L \), the capacitance increase becomes approximately a measure of the height of the medium between the plates.
The level-sensing capacitors usually take either of two design forms. One form consists of a pair of partial cylindrical metal segments clamped geometrically around the circumference of a manometer column of glass or plastic tubing, where liquid level is taken by manometric means.
The second form consists of a capacitor element within a non-metallic protecting tube, mechanically designed for immersion in storage containers under high pressure and/or temperature.
The manometric capacitor, various forms of which are illustrated in Fig. 8, functions under two conditions: (1) The medium in the manometer is a dielectric; (2) The medium is an electrolyte.
If the liquid is a dielectric, the empty capacitance in esu is
\[
C_0 = \frac{WL \left( 1 + \frac{[2r_1 - (r_1 + r_1\pi/6)]^2}{3(r_1 + r_1\pi/6)^2} \right)}{4\pi \left[ 2\left(\frac{r_1 + r_1/6}{K_1}\right) + \left(\frac{r + r\pi/6}{K_1}\right) \right]}
\]
where \( L \) = length of plates, cm
\( W \) = width of plates, cm (2\(\pi R_1/3\) at manometer surface)
\( K_1 \) = dielectric constant of \( M_1 \) (medium in empty column, usually air)
\( K_2 \) = dielectric constant of \( M_2 \) (liquid medium)
\( K_3 \) = dielectric constant of \( M_3 \) (about 6 for glass)
\( r \) = inner radius of manometer column, cm
\( r_1 \) = outer radius of manometer column, cm
With the column filled (plates topped), \( K_1 \) increases to \( K_2 \) and \( C_0 \) becomes \( C_1 \).
If the liquid is an electrolyte (conductor) the empty capacitance will be the same as above, while with the column filled the capacitance in esu will be \( C_1 = WLK_3/4\pi [2(r_1 - r)] \). Upon recession, many electrolytes with high surface tension may leave a conducting film on the interior surface of the column and this may disturb the capacitance measurement. The use of a nonionic agent on the interior surface of the column prevents wetting and film formation.
In all the above cases we may consider the capacitance to vary between \( C_0 \) and \( C_1 \), and neglecting edge fringing field effect, the capacitance variation between the limits \( C_0 \) and \( C_1 \) will be a function of \( L \), the height of the liquid between the plates.
In the level-sensing capacitors of Fig. 9, the conditions of functioning are again two-fold; i.e., the media may be either dielectric or electrolyte.
**The Immersion Capacitor**
In both immersion units, the capacitance change again takes place between the limits \( C_0 \) and \( C_1 \), while the capacitance is again a function of \( L \), the height of the liquid in the area of the sensing plate.
When immersion capacitors are used with electrolytes, recession of liquid sometimes leaves a conducting film on the surface of the protecting tube. Such a film can disturb the capacitance measurement. By corrugating the outer surface of this tube as shown at the right in Fig. 9, such films are broken up as the liquid recedes. The change in capacitance is still a function of the height of liquid in the area of the sensing plate.
**Capacitance-Measuring Relay**
The oscillator relay mechanism is ideally suited for sensing the change in capacitance of the level-sensing capacitors in a liquid or materials level control system. The oscillator relay may be either de-resonated or re-resonated by the change in capacitance produced by a change in level. The overall sensitivity to capacitance change is the ratio of the plate current change to the capacitance change.
In Fig. 10 is illustrated a typical tuning curve of an oscillator relay, in which \( \Delta C \) represents the critical capacitance change of a level-sensing capacitor with media of low dielectric constant. By proper design of the sensing capacitors, the ratio $\Delta I_s / \Delta C$ may be made a constant for liquids of widely varying dielectric and conductive properties. Conversely, $\Delta C / \Delta L$, becomes a constant for media of widely varying properties.
**Liquid Interface Sensing**
An interesting application of capacitive level-sensing systems is the sensing of the position of the interface boundary between two liquid media of differing density and differing dielectric and conductive properties. There are four conditions of interest to be considered:
1. Denser liquid (bottom) is an electrolyte
2. Lighter liquid (top) is a dielectric
3. Denser liquid (bottom) is a dielectric
4. Lighter liquid (top) is an electrolyte
5. Denser liquid (bottom) is a high-$K$ dielectric
6. Lighter liquid (top) is a low-$K$ dielectric
7. Denser liquid (bottom) is a low-$K$ dielectric
8. Lighter liquid (top) is a high-$K$ dielectric
Typical of such problems is sensing the interface between gasoline and water in underground reservoirs or the interface position between an oil and an alcohol. The level-sensing capacitor is ideally suited to such problems since the movement of the interface over the sensing area of the capacitor can represent an appreciable change of capacitance. In practice, a difference as small as 1.15 in the values of $K$ for the two liquids can cause a usable change $\Delta C$ in capacitance for a change of 0.010 inch in interface level with an appropriately designed sensing unit.
When one of the liquids is an electrolyte, much greater dependable sensitivities may be attained. The proper portion of the tuning curve must be chosen, for an electrolyte at the top will give a negative change in capacitance with interface rise in an immersion capacitor, while an electrolyte at the bottom gives a positive change in capacitance with interface rise.
**Oscillator Circuit for Liquid-Level Operation**
The oscillator relay circuit is adapted for level-sensing applications by making the level-sensing capacitor serve as the grid resonating capacitance, as shown in Fig. 11. Circuit operation is the same as before, except that the capacitance change $\Delta C$ resonates or de-resonates the oscillator.
In many applications of the apparatus it is undesirable to mount the oscillator relay mechanism in close proximity to the liquid level sensing device, and it becomes necessary to provide some convenient means whereby the energy from the oscillator may be led to the sensing capacitor system without excessive loss. The use of a coaxial transmission line is ideally suited for the purpose, inasmuch as it presents fixed conditions of linear capacitance, inductance and impedance while providing satisfactory mechanical strength. A metal-clad transmission line constructed of heavy tubing, with low-loss, high-strength bead insulation and fairly large gauge internal conductors, has been very satisfactory.
**Remote Control Operation**
In these liquid level sensing devices the level-sensing capacitor assembly includes a terminating inductance $L_t$ and coupling capacitance $C_t$ placed at one end of the transmission line, while the other end of the transmission connects to the oscillator apparatus. Transmission lines up to 200 feet in length are entirely feasible and such lengths pretty well fulfill all usual industrial requirements.
Because of the very low radio-frequency energies present in a level-sensing capacitor serving as a portion of the grid resonant section of the oscillator, fracture of the protecting tube does not expose inflammable or explosive vapors to possibilities of ignition by sparking.
**Accuracy is High**
The narrow field of influence of these sensing devices make possible sharply defined sensing levels. However, there are some cases where large changes in line supply cause small shifts in the sensing level due to small changes in relay operating level. Voltage-regulating systems, previously mentioned, minimize such effects.
Where multi-contacting operation is required, as in some throttling applications, compound relays having diverse operating levels can be used by properly positioning their operating levels on the resonance curve, as shown in Fig. 10.
**Industrial Version**
In Fig. 12 is shown one form of industrial manometric capacitor clamped around a manometer leg. The sensing plates are within a sealed housing, and are insulated from the effects of moisture and dirt on the outer surface of the manometer. The transmission line is partly flexible to allow a reasonable range of clamping position. The junction box allows changeover from flexible to semi-rigid transmission line going to the remotely located oscillator relay.
Oscillator relay mechanisms are readily applied to more complex systems and to a wide variety of level-sensing applications. Such oscillator devices are the heart of a host of apparatus designs such as position-translating mechanisms, proportional devices, telemeters, torque amplifiers, and many others.
**BIBLIOGRAPHY**
(1) Esnault-Pelterie, On the Coefficient of Self Inductance, *Comptes Rendus*, Tome 205, No. 18, 1937.
(2) Lees, S., Electro Magnetic Shielding Effect of an Infinite Plane Conducting Sheet Between Coaxial Coils, *Proc. I. R. E.*, 24.
(3) Parkin, C. B., Magnetic Induction Field of Air Core Coils, *Wireless Engineer*, Aug. 1943.
(4) Burch, C. R., "Theory of Eddy Current Induction," Ernest Benn Ltd., London, Eng.
(5) Pender, H., and Warren, S., "Electric Circuits and Fields," McGraw-Hill Book Co., New York City.
(6) Morecroft, J. H., "Principles of Radio Communication," John Wiley & Sons, New York City.
(7) Hund, A., "Phenomena in High Frequency Systems," McGraw-Hill Book Co., New York City.
(8) Eccles, W., "Wireless Telegraphy & Telephony," Benn Bros. Ltd., London.
(9) Nottage, W., "The Calculation and Measurement of Inductance and Capacity," Iliffe & Sons Ltd., London.
(10) Thompson, E., Novel Phenomena of Alternating Currents, *Transactions A. I. E. E.*, 1911.
(11) Moullin, E., "Theory & Practice Radio Frequency Measurements," Charles Griffin & Co. Ltd., London, Eng.
(12) Gray, A., Absolute Measurements In Electricity and Magnetism, Sir Isaac Pitman & Sons Ltd., London, Eng.
(13) Page, L., "Principles of Electricity," Van Nostrand Co., New York City.
(14) Scott, K., "Variation of Coil Inductance Due to Eddy Current Effect," Technical Monograph, Bell Telephone System.
(15) McLean, D., "Measurement of Wetting of Dielectrics," Technical Monograph, Bell Telephone System.
(16) Schelkunoff, S., Equivalence Theorems in Electro Magnetics, *Bell System Technical Journal*, XV, Jan. 1936.
Receiver With 2 Mc I-F
Complete circuit of five-tube receiver for high-quality local reception. Use of high i-f value gives coverage of 100 to 1750 kc in a single range by tuning only the local oscillator. Applications in f-m and communication receivers are also covered.
By HARVEY KEES
Electronics Research, Inc.
Evansville, Indiana
EARLY DESIGNERS of superheterodyne receivers used comparatively low-frequency i-f amplifiers, apparently to obtain satisfactory gain and selectivity. However, new design techniques and modern tubes make it possible to obtain satisfactory gain and selectivity even where relatively high intermediate frequencies are used, and thereby take advantage of other useful features.
A Conventional Receiver
In Fig. 1 is a block diagram of a superheterodyne broadcast band receiver of the simplest conventional design. The salient features of this set are (1) the 400-ke i-f amplifier, (2) the necessity of tuning the r-f circuit between the antenna and first detector over a three-to-one (500 to 1500 kc) frequency range and ganging the tuning control for this circuit with that for the oscillator which covers a greater than two-to-one (900 to 1900 kc) range, and (3) the relatively poor suppression of image responses from signals in the range of 1300 to 2700 kc. The main purpose of the t-r-f circuit ahead of the first detector is the elimination of such images.
Use of High I-F Value
A block diagram of a simple five-tube broadcast and longwave receiver using a high-frequency i-f amplifier is shown in Fig. 2. The use of the 2000-ke i-f amplifier makes it necessary to tune only the local oscillator in this receiver, and that over a range considerably less than two-to-one (2100 to 3500 kc) for a receiving range of fifteen-to-one. Signals which cause image responses in this receiver lie in the range of 4100 to 5500 kc, and are easily eliminated by the low-pass filter between the antenna and first detector. No variable tuning control is required for the low-pass filter.
As might be expected, the receiver of Fig. 2 has some limitations. Since all signals in its tuning range appear on the control grid of the first detector tube, spurious responses result from beats between, and harmonics of, strong signals. This means that weak signals cannot always be received in the presence of strong signals—which amounts to saying that the maximum length of receiving antenna that may be used is limited by that value which will cause the strongest signal in the tuning range of the set to overload the first detector.
Circuit of Experimental Receiver
A simple five-tube receiver of the type outlined in Fig. 2 was constructed and tested. A block diagram of this working version is
shown in Fig. 3, and the schematic diagram appears in Fig. 4. This receiver was designed primarily to give high-fidelity reception of local broadcast stations in the metropolitan area of Boston, Massachusetts, and has a number of interesting features.
A type 6SA7 tube is used as first detector and local oscillator. The 6SA7 was chosen after experimental trials of a number of converter tubes and found to be the best for this type of set, as far as ability to handle a wide range of signal strengths without spurious responses is concerned. A three-section low-pass filter is used between the antenna and 6SA7 control grid, giving an image rejection of well over 30 db.
The i-f amplifier has a center frequency of 2000 kc and is down 3 db at about 10 kc off resonance. This bandwidth is about the minimum necessary for reasonably high-fidelity reception. Only one i-f amplifier stage is used, employing a 6SG7 pentode. The i-f transformers are modified standard 1500-ke iron-core units, the coil inductances being reduced and mutual coupling increased.
A type 6SN7 double-triode tube serves as diode detector and first audio amplifier; one section has its plate and grid tied together to act as a diode. The 6SN7 affords a means of obtaining a diode and triode with separate cathode connections in one envelope.
The audio system uses the 6SN7 triode section to drive the 6V6 final amplifier stage. The cathode of the 6SN7 is grounded through the secondary winding of the output transformer, providing enough inverse feedback to reduce the gain of the system by a factor of three. The weak point of the audio system is the output transformer, which must be rather large for good, distortionless low-frequency response. An output of over 3.5 watts is available at 1000 cycles, but this drops to one watt at 50 cycles with the particular transformer used. With a reasonably good loudspeaker and baffle, this power is more than adequate for the average-size living room and will easily handle the limited volume range transmitted by most broadcast stations. The frequency response of the audio system is flat within 3 db from 25 to 20,000 cycles.
Another interesting feature of the receiver is the balance between avc action and audio gain. The gain of the audio system is so low that the power output capabilities of the 6V6 stage cannot be exceeded. That is, the r-f stages of the receiver overload before the audio system distorts.
Listening tests at a location in a residential section of Boston indicate that the set is fully capable of serving the purpose for which it was designed, that of a high-quality local receiver. In fact, the receiver is almost too good as far as tone is concerned; network and recorded programs are easily recognized as being inferior in tonal quality to local studio broadcasts when this receiver is used.
**Performance of Test Receiver**
The low-frequency end of the receiver tuning range was set at 100 kc because going this low involved no design complications. However, when the tuning range is extended appreciably below this value trouble is encountered as a result of the local oscillator being on a frequency near that of the i-f amplifier. The wide single-band tuning range of 100 to 1750 kc involves no great tuning problems, even without a vernier dial.
The usefulness of the receiver is limited by the strongest signal in the received band. That is, there appears to be a critical maximum amount of signal voltage that may be applied to the control grid of the 6SA7 first detector, and when this value is exceeded a heterodyning squeal appears in the background on all signals. This squeal disappears completely when the input signal is reduced below the critical
value. Thus, the range of signal strengths that may be received is somewhat limited, and the length of antenna that may be used with the set is not sufficient to permit reception of weak, distant signals in a location where there are strong local signals. It was definitely determined experimentally that increasing the i-f gain of the set after the first detector or increasing the gain of the audio system would make possible reception of a wider range of signal strengths. However, since high-fidelity reception of weak signals in the broadcast band is not generally possible (due to the 10-ke spacing between adjacent channels) it does not appear desirable to provide for such reception in this particular receiver.
**Other Applications of High-Value I-F Amplifiers**
A high-frequency i-f amplifier is almost an essential requirement in an f-m receiver, and it is a simple matter to convert a dual-bandwidth f-m receiver, such as the Hallicrafters S-27, to a dual-purpose receiver which covers the f-m band and a band extending from about 100 ke to the i-f amplifier frequency (5 Mc with the S-27).
Where a higher intermediate frequency, such as 20 Mc, is used the possibilities become quite interesting. It is not difficult to build a stable 20-Mc i-f amplifier having a bandwidth well under 100 ke. If a second converter is used, as shown in Fig. 5, almost any desired selectivity is available, along with a novel bandspread feature.
The receiver of Fig. 5 covers 100-15,000 kc in one range. A bandspread dial, tuning the second local oscillator 100-ke above and below its center frequency, provides an accurately calibrated bandspread action over exactly 200 ke at any point in the 100-15,000 kc range of the receiver. For f-m reception a limiter stage and discriminator are substituted for the second converter and narrow i-f circuits, the low-pass filter ahead of the first detector is replaced by a band-pass filter covering the f-m band, and the oscillator tank circuit is switched to operate over a suitable range. The essential features of this receiver have already been tried experimentally breadboard fashion.
Geiger Counter Spectrometer for Industrial Research
New instrument measures x-ray intensities and diffraction angles of powdered chemical and metallurgical samples directly and speedily, by using a Geiger counter tube to actuate a scale-of-64 flip-flop circuit that feeds an impulse register.
X-RAY DIFFRACTION has many applications in the chemical and metallurgical industries, but its techniques have been confined until recently to the laboratory and to highly trained personnel. Conventional procedure entails photographic exposure, processing, and density comparisons of the finished film strips.
The Geiger counter spectrometer described below measures x-ray intensities and diffraction angles directly, without intermediate photographic steps. It is simple enough for unskilled operators performing routine industrial processes, yet also meets the precise requirements of laboratory research. The instrument was developed at the Naval Research Laboratory, where it has been in regular use for the past two years.
X-Ray Powder Diffraction
X-rays for diffraction analysis are generated by electronic bombardment of a suitable target, generally molybdenum, copper, cobalt, iron, or chromium. The x-ray spectrum of molybdenum bombarded by 35-kilovolt electrons is shown in Fig. 1; characteristic x-ray lines are superposed on the background of "white" radiation. To simplify the interpretation of x-ray powder patterns the target radiation is partially monochromatized through the use of filters which strongly absorb the $K\beta$ radiation and pass the $K\alpha$.
In Fig. 2(a), assume the beam is monochromatic of wavelength $\lambda$, and that it is limited by a series of pinhole apertures. A small portion of the chemical compound to be examined is ground to a fine powder and mounted at point C. Let the dotted line indicate the orientation of a particular set of crystal planes in a single powder particle, the planes being normal to the plane of the figure. If the spacing of this set of planes is $d$, the x-ray beam is reflected only when
$$n \lambda = 2d \sin \theta$$
(1)
FIG. 1.—X-ray spectrum of molybdenum bombarded with 35-kilovolt electrons, showing characteristic lines
FIG. 2.—Basic arrangement for analysis by powder diffraction (a), use of cylindrical film to intercept a cone of diffracted radiation (b), and example of pattern obtained on film (c)
Here \( n \) is the order of diffraction, and \( \theta \) is the glancing angle.
The myriad of small crystal fragments that make up the powder specimen are oriented in all directions. The particle whose orientation is represented in Fig. 2 (a) is only one of a large number of particles aligned to reflect at the angle \( \theta \) from the same set of lattice planes. These sets of planes, however, make all possible angles with the plane of the figure. The rays diffracted from the entire specimen are therefore the generators of a cone of semi-apex angle \( 2\theta \) about the primary beam as an axis, as indicated in Fig. 2(b).
Corresponding to each set of interplanar spacings (the so-called \( d \) values) there is a diffracted cone of different Bragg angle \( \theta \). If a photographic film is mounted perpendicular to the incident beam direction, as shown in Fig. 2(b), the diffraction cones from the various \( d \) spacings intercept the film in concentric circles. The more common arrangement for photographic registration is to surround a rod-shaped powder sample with a cylindrical film strip. The intersections of diffracted beams with the film are then curved traces which approach circular arcs at zero and 180 degrees, and straight lines in the 90-degree direction, as in Fig. 2(c). The obvious method of identifying compounds is to place the pattern of an unknown side by side with standard patterns so that the zero positions match. If the unknown shows a set of lines coincident with the lines of a standard and in roughly the same intensity relationship, the unknown must contain the standard material.
One of the earliest Geiger counter spectrometers simply used a counter to scan the arc normally covered by film in a cylindrical power camera. The counter was mounted on an arm pivoted at the specimen axis. This method of scanning, however, is poor in comparison with focusing arrangements.
**Focusing Powder Spectrometers**
The focusing powder spectrometer engineered by North American Philips Company is capable of precision angular measurements and resolution beyond that attainable by means of photographic cameras. In addition, the instrument may be adapted to measurement of pinhole transmission patterns, fiber orientation, and low-angle scattering. The essential features are a zero to ninety-degree scale, with a dial micrometer to indicate hundredths of a degree, and a specimen holder geared to rotate at half the speed of the Geiger counter scanning arm. The angular positioning mechanism is free...
of backlash; this permits resetting angles directly to 0.01 degree.
The x-ray tube of the focusing powder spectrometer is mounted horizontally inside its protective housing. A cone of x-rays from the focal spot converges on the first of a pair of slits, directly in front of the exit aperture in the housing. This slit acts as the source of a diverging pencil of radiation. The second slit controls the degree of divergence and thereby the area of specimen irradiated. Rays reflected from the specimen are brought to a focus on a receiving slit before the window of the Geiger counter. The three slits mentioned thus far are bilateral and calibrated in thousandths of an inch. A fixed slit of wide dimensions is included ahead of the counter slit to reduce the amount of stray radiation entering the counter. The source slit and the receiving slit are each spaced ten centimeters from the spectrometer axis.
Focusing spectrometers date back to the early days of the development of x-ray diffraction techniques. The original Bragg ionization spectrometer, shown in Fig. 3(a), was designed for use with a single crystal. The incident x-radiation was collimated by a system of slits, and after reflection was measured by the scanning ionization chamber. A subsequent development employed a divergent beam and provided for rocking the crystal about the spectrometer axis, as in Fig. 3(b). By maintaining equal distances from the rotation axis C to the entrant slit S₁ and to the receiving slit S₂ of the ionization chamber, a focusing action was derived. At each position of S₂ on the spectrometer circle, a different wavelength is received. While this arrangement yields a true focusing, it contributes no increase in intensity to the reflected radiation.
The use of powder samples with the focusing crystal spectrometer was described by W. H. Bragg in 1921. If the specimen face conforms to the arc of a circle which passes through the slits S₁ and S₂, as in Fig. 3(c), then all rays from S₁ to the specimen to S₂ make equal Bragg angles. The specimen can be prepared by spreading a mixture of S₁ and C are fixed in practice and S₂ moves with the spectrometer arm. As the Bragg angle increases, the curvature of the hypothetical focusing circle increases. To preserve the focusing condition exactly at all angles would require that the specimen curvature be adjusted to match the circle at each setting of S₂. A working compromise is arrived at by using a plane specimen and limiting the divergence of the primary beam sufficiently to avoid introducing excessive errors in the measured diffraction angles.
Most specimens can be prepared by mixing the powdered material with collodion or other binder and spreading a thin layer of the mixture onto a glass slide. Other methods involve packing the powder into a shallow form, with the aid of a spatula, or sprinkling the powder into a form faced with a thin flat film that is highly transparent to x-rays.
**Geiger Counters for X-Rays**
Relatively few laboratories have published powder diffraction data obtained with the Bragg type ionization chamber spectrometer. The reason lies in the difficulty associated with ionization chamber measurements of the very weak currents involved. Brentano and his coworkers have investigated focusing spectrometer arrangements using film in preference to an ionization chamber, but these methods require that limited portions of the film be exposed step by step in order to register all of the powder pattern in focus.
the sample powder and a suitable binder on a strip of paper bent to the proper curvature. Arrangements of this type are called "focusing" although no true focusing action takes place. The large gain in intensity is due directly to the increased amount of specimen irradiated by the divergent beam.
The focusing circle of Fig. 3(c) is only hypothetical and applies to one particular Bragg angle. Points
FIG. 6—Absorption of x-radiation by argon and by krypton at various wavelengths and pressures, for a path length of ten centimeters
FIG. 7—Three types of Geiger counter tubes suitable for detecting soft x-rays
The excellent results obtainable with the present instrument are due to the efficiency of the Geiger counter technique employed. The counter tube is prepared with close to 100-percent efficiency for the characteristic x-ray wavelength used in the powder crystal analysis; in other words, one count is produced for almost every x-ray quantum entering the tube. This is to be compared with values of four to fifteen counts per hundred quanta attributed to the x-ray counters previously used.\textsuperscript{7,8} Furthermore, in photographic measurement, the number of quanta required to produce a diffraction line on film is roughly $10^4$ to $10^5$, for minimum detectable blackening; a Geiger counter measurement of the same x-ray energy would have an accuracy of better than one-tenth of a percent. Comparisons with secondary electron multiplier tubes based on the work of Eisenstein and Gingrich indicate a factor of 25 to 50 in favor of the Geiger counter described below.
The high sensitivity of the Geiger counter lies in its ability to detect individual quanta of radiation. The formation of a single ion pair anywhere within the active volume of a counter tube releases a flow of current large enough to operate a relay directly.
In its simplest form a Geiger counter consists of a coaxial wire and cylinder arrangement as shown in Fig. 4. The electrodes are usually enclosed in a glass envelope containing a suitable gas mixture at a small fraction of atmospheric pressure. The passage of ionizing radiation triggers a momentary discharge and develops a voltage pulse at capacitor C. Following the discharge, the counter recovers quickly to its original condition and is ready to detect the next ionization.
The characteristic curve of a Geiger counter, in Fig. 5, indicates the number of discharges or counts per second as a function of applied voltage. Up to a minimum voltage, the threshold, no counts are detected. Above this threshold, the counting rate increases only slightly over a range of a hundred or more volts. This region is called the plateau. The upper limit to the plateau is set by the inception of self-sustained discharges. The various curves of Fig. 5 correspond to different intensities of radiation.
**Counter Tubes**
A counter tube detects x-rays by virtue of the charged secondaries released within its active volume, and x-rays of the wavelengths employed in diffraction work are absorbed almost entirely by photoelectric effect. When the counter is triggered by photoelectrons released from the cathode wall its efficiency cannot be very high, since only a relatively small fraction of these electrons escape from the wall into the accelerating field of the tube. On the other hand, if photoelectric absorption of the x-rays takes place in the gaseous contents of the tube, every x-ray quantum produces a count.
In most published work on Geiger counters for x-ray diffraction the tubes were designed to receive the x-ray beam on the cathode wall, with negligible gaseous absorption. These tubes yielded quantum counting efficiencies of the order of four to fifteen percent, with the higher values obtained through use of a cathode surface whose critical absorption limit fell at slightly longer wavelength than the radiation being measured.
The counter tube employed in the present spectrometer is designed for almost complete absorption of the x-ray beam in the gaseous volume. This is accomplished by filling the counter tube with a high pressure of a gas whose absorption coefficient is large for the x-ray wavelength employed.
The percentage of the x-radiation absorbed by argon and by krypton in a ten-centimeter counter tube is shown in Fig. 6. Argon, at pressures close to atmospheric, absorbs more than 85 percent of the $K_\alpha$ radiations of Cu, Co, Fe, and Cr. Krypton strongly absorbs the $K_\alpha$ rays of Mo.
The counter tubes are designed to permit passage of the x-rays through a gas path ten centimeters in length without striking the electrodes. Three tube constructions are sketched in Fig. 7. In type 1, the x-rays are admitted through a beryllium window sealed off to one side of the tube axis. The anode is a fine tungsten wire mounted under spring tension and insulated by glass sleeves at the ends. Type 2 comprises a brass cylinder and stiff tungsten rod anode enclosed in a Pyrex glass envelope. A bubble window, 20 microns thick, readily transmits the x-rays.\textsuperscript{10} Type 3 differs from type 2 in that the fragile
---
**FIG. 8**—Pulse producer and pulse averaging circuit of counting rate meter used in Geiger counter focusing spectrometer
**FIG. 9**—Basic scale-of-two trigger circuit and rectifier output stage employed in the scale-of-64 counting arrangement
bubble window is replaced by a thicker Lindemann glass window, and the cathode cylinder of chromel-iron is sealed directly to soft glass ends.
The addition of a small amount of organic vapor, such as ethyl alcohol, to the rare gas filling, makes these tubes self quenching. The discharges are extinguished internally by a space charge mechanism and a large external series resistance is not essential to the counting action. Using a value of 2 megohms for $R$ in Fig. 4, maximum counting rates of the order of 5000 per second are obtainable with conventional detecting circuits.
**Circuits**
Two types of intensity measurement are employed—a counting-rate meter for rapid scanning, and a scale-of-64 vacuum-tube counting circuit with timed counting intervals of 15, 30 or 60 seconds.
The counting rate meter, composed of a uniform pulse producer and a pulse averaging circuit, is shown in Fig. 8. The averaging is accomplished in a resistance-capacitance tank provided with a selection of capacitors to make up time constants of 5, 10 and 20 seconds. Uniform pulses are derived from a succession of pulse shaping, amplifying, and limiting stages. The Geiger counter anode is coupled through a small capacitor to a two-stage preamplifier mounted in the same housing as the counter tube. The pulses developed on the counter wire appear as negative pulses, sharpened and amplified, in the output of the preamplifier. A third stage of amplification and differentiation suffices to equalize all pulses at counting rates up to 3000 per second. These uniform pulses are applied to the grid of the averaging stage.
The resistance-capacitance averaging tank is placed in the anode circuit of a pentode. In this arrangement, the amplitude of each pulse delivered to the capacitor is independent of the voltage across it. The parallel resistor draws leakage current in proportion to the capacitor voltage; a microammeter in series with the resistor serves to measure the current. A choice of capacitors permits adjusting the charging time or speed of response of the indicator. Circuit constants and supply voltages are selected to yield approximately one microampere per pulse per second.
**Flip-Flop Counting Action**
The basic unit of the scale-of-64 counting circuit is shown in Fig. 9. It consists of two tubes, $A$ and $B$, in a triode flip-flop circuit coupled to a rectifier stage. The flip-flop unit is essentially a resistance-coupled two-stage amplifier with regenerative feed-back. It can be shown readily that this combination has only two states of stable equilibrium. If the circuit is not in one of its equilibrium states any very small disturbance is amplified regeneratively so that one tube draws more plate current and the other is driven towards cut-off. When one tube reaches cut-off, the amplification process ceases and since the tubes are directly coupled they remain in this configuration. The reverse action can be initiated, however, by applying a sufficiently large signal to the grids. The action then proceeds in the same manner, as the other tube is driven to cutoff. The two states of equilibrium are (1) tube $A$ conducting, $B$ non-conducting and (2) $A$ non-conducting, $B$ conducting.
When input pulses are fed to the grids of tubes $A$ and $B$, the flip-flop action described above causes the plate potentials to rise and fall on successive pulses. To obtain a division of the input pulses by two, one plate is coupled to a stage capable of responding to only one polarity of pulse. The complete scaling circuit therefore consists of a succession of flip-flop units separated by rectifiers, in the form of triode amplifiers, biased to cut-off. Each flip-flop stage can respond to pulses of either polarity, but each rectifier passes only positive pulses, which appear as negative pulses in its output.
The output pulses from the preamplifier are sufficiently strong and sharpened to activate the scaling circuit. The output of any section of the scaling circuit may be coupled to the grid of a thyratron which operates an impulse register. Scale ratios of 2, 4, 8, 16, 32 and 64 are selected in this way.
The timer circuit operates a relay which shunts the pulse output of the first scale stage to ground between timing intervals.
**Counting Losses**
The Geiger counters and counting systems described above do not continue to record accurately as the speed of arrival of successive impulses increases beyond certain limits. The response of the Geiger counter is limited by a dead time related to the deionization time; the maximum output of the Geiger counter pulse amplifier system is of the order of 5000 per sec. The scaling circuit is considerably faster, with a resolving power of 100,000 pulses per second. The impulse counter is by far the slowest element in the counting system; it cannot record two counts when the pulses are separated by less than about 0.01 second.
By making the scaling ratio sufficiently large it is possible to eliminate the counting circuit completely as a source of counting losses. The limitations then reside entirely in the Geiger counter and its amplifier system. The dependence of output counting rate on the scale ratio is illustrated in Fig. 10.
The distribution in time of the x-ray quanta arriving at the Geiger counter is random, or in other words, the time of arrival of any quantum is not influenced by the arrival of any preceding quantum. The probability of arrival of two successive quanta separated by a small interval is proportional to the length of that interval but even at low counting rates some quanta follow each other too closely to be resolved. To determine the curve of counting rate versus incident x-ray intensity, the intensity may be varied in a known manner and the corresponding counting rates observed. The spectrometer is equipped with a calibrated wedge type slit height control on the Geiger counter entrance slit. With the spectrometer arm set at zero degrees, the intensity entering the counter is proportional to this slit height. A typical calibration curve is shown in Fig. 11.
**Performance**
The performance of the Geiger counter x-ray powder spectrometer may be compared with photographic powder camera technique by referring to Fig. 12 and 13. A copper oxide pigment, containing both cuprous and cupric oxides and some free copper, was the powder specimen. The Geiger counter pattern shows superior sensitivity, greater resolution and a much lower background level at the smaller Bragg angles, yet only one-tenth the time of the photographic exposure was required to obtain the spectrometer data. Equivalent resolution could be achieved photographically with finer beam collimation, but only at the expense of increasing the exposure by another factor of five to ten. The spectrometer measurements consumed little more time than is usually spent in setting up for the photographic exposure and in processing the film.
In most chemical identifications by the powder pattern method, only the positions and relative intensities of the strongest lines need be determined. This information is obtainable by rapid scanning, with rate meter observation. For quantitative analyses, the line positions are generally known, and counts are needed at only a few points to get the peak, background, and half-maximum intensities.
**Applications**
Paint pigments are quickly analyzed for relative amounts of different crystal forms. An analysis of titanium dioxide white pigment for rutile and anatase modifications can be completed in less than ten minutes, with an accuracy of ± one percent.
With boiler scale, it is a means of identifying many silicate and phosphate scales and aids in determining the nature of chemical reactions between scale products.
In studies of engine wear and lubrication it identifies deposits on filters, valves, bearings, etc.
For ceramics and refractories, it rapidly checks uniformity of raw material supplies and fixed products.
In powder metallurgy, it indicates the degree of alloying of metal powder mixtures at different sintering temperatures.
It gives a measure of phase constitution of alloys, as for example, relative amounts of martensite and retained austenite in heat-treated steels. The chemical composition of the alpha phase of brass can be determined to ± one percent from a simple measurement of diffraction angle.
**References**
(1) Ulrey, C. T., *Phys. Rev.* 11, p. 401, 1918.
(2) Barrett, C. S., "Structure of Metals," McGraw-Hill Book Co., New York, 1943.
(3) LeGalley, D. P., *R.S.I.* 6, p. 279, 1935.
(4) Bragg, W. H., and Bragg, W. L., *Proc. Roy. Soc.* 88, p. 225, 1917.
(5) Bragg, W. H., *Proc. Phys. Soc.* 33, p. 222, 1921.
(6) Bernal, J. C. M., *Proc. Phys. Soc.*, 37, p. 184, 1925; 47, p. 932, 1935; 49, p. 61, 1937.
(7) Locher, G. L., *Phys. Rev.* 50, p. 1099, 1936.
(8) Sullivan, H. M., *R.S.I.* 11, p. 856, 1940.
(9) Eisenstein, A., and Gingrich, N. S., *R.S.I.* 12, p. 558, 1941.
(10) Ewald, P. P., *Phys. Rev.* 57, p. 877 (1940); Beeman, W. W. and Friedman, H., *Phys. Rev.* 58, p. 892 (1940).
(11) Littau, W. P., *R.S.I.* 10, p. 21, 1939.
(12) Dwyer, W. P., *General Electric Review* 25, p. 565, 1922.
Gaseous Rectifier Circuits
A two-part paper presenting voltage and current wave forms of commonly used rectifier circuits, with pertinent equations, in convenient form for reference. Part I, herewith, covers 20 single-phase circuits. Part II will cover 22 bi-phase arrangements.
By P. T. CHIN
Industrial Control Engineering Division
General Electric Co.
Schenectady, N. Y.
INDUSTRIAL electronic control equipments which require a controllable power source greater than a few watts and smaller than a few kilowatts capacity are usually incorporated with a controlled rectifier arranged for single-phase or bi-phase connections. Little information can be found on the behavior of these rectifier circuits. The present standard textbooks on rectifiers are more or less centered on the polyphase uncontrolled rectifiers operated under the so-called normal mode of operation. Although a considerable number of papers in technical periodicals have covered single-phase and bi-phase rectifier circuits, most of them deal with uncontrolled rectifiers. Furthermore, the treatment in most of these papers is limited to one or a few types of load circuits only.
The diagrams in Part I were prepared with a view to covering most of the commonly used single-phase rectifier circuits, while those in Part II do the same for bi-phase rectifier circuits. In each diagram, the voltage and the current wave forms at different parts of a rectifier circuit are sketched and the analytical solution of the instantaneous, average, and rms currents is listed whenever the analytical solution is not too complicated.
Construction of voltage and current wave forms is presented in an AIEE paper entitled "A Graphical Analysis of the Voltage and the Current Wave Forms in Controlled Rectifier Circuits," by P. T. Chin and E. E. Moyer, A.I.E.E. Trans., 63, p. 501-8, July, 1944.
REFERENCES
(1) Cockrell, W. D., Half Cycles, General Electric Review, 37, No. 8, 1934.
(2) Stout, M. B., Analysis of Half Wave Rectifiers, ELECTRONICS, Sept. 1939.
(3) Cobine, J. D., "Gaseous Conductors", McGraw-Hill Book Co., New York, 1938.
(4) Pender, "Electrical Engineering Handbook—Vol. 5, Communication", John Wiley & Sons, Inc., New York, 1936.
(5) A.T.E. Electrical Engineering Staff, "Applied Electronics", 1943.
(6) Wallis, L. M., "HF-Wave Gas Rectifier Circuits", ELECTRONICS, Feb. 12.
(7) Millman, J. and Seely, S., "Electronics", McGraw-Hill Book Co., New York, 1941, p. 426.
(8) Ware, L. A., Operation of a Thyatron as a Rectifier, Proc. I.R.E., Nov. 1942, p. 500.
(9) Shade, O. H., Analysis of Rectifier Operation, Proc. I.R.E., July 1943, p. 354.
(10) White, C. F., Four-Way Rectifier Analysis, ELECTRONICS, Mar. 1940, p. 19-22.
(11) Vedder, E. H., and Puchlowich, K. P., Thyatron Rectifier, AIEE Motor Drive, A.I.E.E. Technical Paper, May 1943.
(12) Flake, J. M., Operation of Vapor Tube Rectifier Circuits with Opposing Direct Voltages, ELECTRONICS, June 1943, p. 100.
TABLE I. REFERENCES FOR RECTIFIER CIRCUITS
| LOAD | Part I: SINGLE-PHASE, SINGLE-WAY | Part II: BI-PHASE |
|------|----------------------------------|-------------------|
| | Phenotron | Thyatron | Two phenotrons | Two thyatrons | Phenotron Thyatron |
| R | Fig. 1 | Fig. 8 | Fig. 21 | Fig. 26, 41 * | Fig. 34 |
| | p. 366 of (1) | p. 474 of (3) | p. 486 of (3) | | |
| | p. 32 of (3) | p. 473 of (3) | p. 492 of (7) | | |
| L | Fig. 2 | Fig. 9 | | | |
| | p. 368 of (1) | p. 481 of (3) | p. 492 of (3) | | |
| C | Fig. 3 | | | | |
| | p. 368 of (1) | p. 476 of (3) | | | |
| R,L in series** | Fig. 4 | Fig. 10, 11 | Fig. 22, 23 | Fig. 27, 28, 45*| Fig. 35, 36, 37 |
| | p. 16-02 of (4) | p. 484 of (3) | p. 487 of (3) | (11) | |
| | p. 285 of (5) | p. 500 of (8) | p. 534 of (9) | | |
| R,C in parallel | Fig. 5, 6 | | | | |
| | p. 368 of (1) | p. 479 of (3) | p. 492 of (3) | | |
| | p. 275 of (5) | | | | |
| E_R,R in series | Fig. 13 | | Fig. 30 | | Fig. 38 |
| | p. 476 of (3) | | p. 100 of (12) | | |
| E_R,L in series | Fig. 14 | | | | |
| | p. 485 of (3) | | | | |
| E_R,L,R in series | Fig. 7 | | Fig. 24, 25 | | Fig. 39, 40 |
| | p. 12 of (6) | Fig. 15, 16 | p. 19 of (10) | | |
| | p. 354 of (9) | | p. 30, 31, 32, 33 | | |
| R, L in parallel | Fig. 20 | | | | |
| | p. 369 of (1) | | | | |
| R,L in series C in parallel | Fig. 19 | | | | |
| | p. 369 of (1) | | | | |
*Inverse Parallel Circuit.
**Phenotron & Thyatron = Fig. 17, 18 = p. 16 - 05 of (4).
TABLE II. NOMENCLATURE
Small letters stand for instantaneous values
Capital letters with subscript stand for average effective values
Subscripts:
s—Transformer sec.
t—Tube
L—Inductance
R—Resistance
C—Capacitance
d—Rectifier output
B—Battery or cemf
av—Average
rms—Root mean square
e—Instant. voltage
e_s—Transformer secondary voltage
e_t—Tube voltage (e_t for 1st tube, etc.)
e_f—Peak forward volt.
e_i—Initial inverse volt.
e_p—Peak inverse volt.
e_L—Inductance voltage
e_R—Resistance voltage
e_C—Capacitance voltage
e_d—Rect. output volt.
E—Specific voltage
(E)_av—Average voltage
(E)_rms—RMS voltage
E_B—Battery voltage or counter emf
E_s—Peak value of transformer sec. volt.
i—instant. current
i_d—rect. output current
i_p—Rectifier output peak current
i_t—Tube current
i_p—Tube peak current
i_L—Current through L
i_R—Current through R
i_C—Current through C
I—Specific currents
(I)_av—Average cur.
(I)_rms—Root mean square current
θ_f—Firing angle
θ_c—Extinction angle
θ_c—Conduction angle
= θ_c - θ_f
φ—P-F angle
ω—Angular speed in radians per sec (= 2πf)
**SINGLE PHASE UNCONTROLLED RECTIFIER**
**NO OF TUBES:** 1 PHANOTRON
**NATURE OF LOAD:** R
**FIG. 1**
\[ i_d = \frac{E_S}{R} \sin(\omega t - \pi/2) \]
\[ i_{pd} = \frac{E_S}{R} \]
\[ (i_d)_\text{av} = \frac{E_S}{\pi R} \]
\[ (i_d)_\text{rms} = \frac{E_S}{\sqrt{2} R} \]
\[ e_1 = 0 \quad \pi \leq \omega t \leq 0 \]
\[ e_S \sin(\omega t - \pi/2) \leq 0 \]
\[ e_{p1} = E_S \]
\[ e_d = E_S \sin(\omega t - \pi/2) \]
\[ + \frac{E_S}{2} \cos(\omega t - \pi) \]
\[ (E_d)_\text{av} = \frac{E_S}{4} \]
\[ (E_d)_\text{rms} = \frac{E_S}{\sqrt{2}} \]
---
**SINGLE PHASE UNCONTROLLED RECTIFIER**
**NO OF TUBES:** 1 PHANOTRON
**NATURE OF LOAD:** L
**FIG. 2**
\[ i_d = \frac{E_S}{L} (1 - \cos(\omega t)) \]
\[ i_{pd} = \frac{E_S}{L} \]
\[ (i_d)_\text{av} = \frac{E_S}{L} \]
\[ (i_d)_\text{rms} = \sqrt{\frac{3}{8}} \frac{E_S}{L} \]
\[ e_1 = 0 \]
\[ e_{p1} = 0 \]
\[ e_d = e_c = E_S \sin(\omega t) \]
\[ (E_d)_\text{av} = 0 \quad (E_d)_\text{av} = 0 \]
\[ (E_d)_\text{rms} = \frac{E_S}{\sqrt{2}} \]
---
**SINGLE PHASE UNCONTROLLED RECTIFIER**
**NO OF TUBES:** 1 PHANOTRON
**NATURE OF LOAD:** C
**FIG. 3**
\[ i_d = 0 \]
\[ e_1 = E_S (1 - \sin(\omega t)) \]
\[ e_{p1} = 2 E_S \]
\[ e_d = e_c = E_S \]
---
**SINGLE PHASE UNCONTROLLED RECTIFIER**
**NO OF TUBES:** 1 PHANOTRON
**NATURE OF LOAD:** L, R IN SERIES
**FIG. 4**
\[ i_d = \frac{E}{L} [\sin(\omega t - \phi) + \sin(\phi)e^{-\frac{R}{L}t}] \]
\[ e_1 = 0 \quad \alpha > \omega t > 0 \]
\[ E_S \sin(\omega t - 2\pi > \omega t > \alpha \]
\[ e_{p1} = E_S \]
\[ e_d = e_R + e_L \]
\[ = \frac{E_S}{2} \sin(\omega t - \phi) \quad \alpha > \omega t > 0 \]
\[ (E_d)_\text{av} = \frac{E}{2} (1 - \cos \phi) \]
\[ (E_d)_\text{rms} = \frac{E}{2} \cdot \frac{\phi}{2\pi} \]
SINGLE PHASE UNCONTROLLED RECTIFIER
NO. OF TUBES: 1 PHANOTRON
NATURE OF LOAD: R C IN PARALLEL
FIG. 5
\[ i_d = I_{d\text{avg}} + i_r \]
NOTE EQUAL AREAS
\[ i_r = E_s \sin \omega t \]
\[ i_r = \frac{E_s}{2} e^{-\frac{\theta_0}{\tau}} \cos \omega t \]
\[ i_r = \frac{E_s}{2} e^{-\frac{\theta_0}{\tau}} \cos \omega t \]
\[ i_r = \frac{E_s}{2} \sin (\omega t + \phi) \]
\[ \theta_f \leq \omega t \leq \theta_e \]
\[ \theta_e \leq \omega t \leq 2\pi + \theta_f \]
\[ \theta_f \leq \omega t \leq \theta_e \]
\[ \theta_e \leq \omega t \leq 2\pi + \theta_f \]
SINGLE PHASE UNCONTROLLED RECTIFIER
NO. OF TUBES: 1 PHANOTRON
NATURE OF LOAD: R C IN PARALLEL
FIG. 6
\[ i_d = \frac{E_s}{R} \sin \omega t \]
\[ i_d = \frac{E_s}{2} e^{-\frac{\theta_0}{\tau}} \cos \omega t \]
\[ i_d = \frac{E_s}{2} \sin (\omega t + \phi) \]
\[ \theta_f \leq \omega t \leq \theta_e \]
\[ \theta_e \leq \omega t \leq 2\pi + \theta_f \]
\[ \theta_f \leq \omega t \leq \theta_e \]
\[ \theta_e \leq \omega t \leq 2\pi + \theta_f \]
SINGLE PHASE UNCONTROLLED RECTIFIER
NO. OF TUBES: 1 PHANOTRON
NATURE OF LOAD: R L, E_B IN SERIES
FIG. 7
\[ i_d = \frac{E_s}{R} \sin \omega t \]
\[ (180^\circ \geq \omega t \geq \theta_f) \]
\[ i_d = 0 \quad (\omega t > 180^\circ) \]
\[ i_d = \frac{E_s}{R} \cos \omega t \]
\[ (|i_d|_{\text{rms}} = \frac{1}{T} \left[ \int_0^T (i_d)^2 dt \right]^{1/2} = \frac{E_s}{2R} \]
\[ e_f = E_s \sin \omega t \]
\[ (180^\circ \geq \omega t \geq 180^\circ) \]
\[ e_f = 0 \quad (180^\circ \geq \omega t \geq \theta_f) \]
\[ e_f = E_B \]
\[ e_{R\text{avg}} = i_d R \]
\[ (e_{R\text{avg}} = i_d R) \]
\[ (e_{R\text{rms}} = i_d \text{rms} R) \]
SINGLE PHASE CONTROLLED RECTIFIER
NO. OF TUBES: 1 THYRATRON
NATURE OF LOAD: R
FIG. 8
\[ i_d = \frac{E_s}{R} \sin \omega t \]
\[ (180^\circ \geq \omega t \geq \theta_f) \]
\[ i_d = 0 \quad (\omega t > 180^\circ) \]
\[ i_d = \frac{E_s}{R} \cos \omega t \]
\[ (|i_d|_{\text{rms}} = \frac{1}{T} \left[ \int_0^T (i_d)^2 dt \right]^{1/2} = \frac{E_s}{2R} \]
\[ e_f = E_s \sin \omega t \]
\[ (180^\circ \geq \omega t \geq 180^\circ) \]
\[ e_f = 0 \quad (180^\circ \geq \omega t \geq \theta_f) \]
\[ e_f = E_B \]
\[ e_{R\text{avg}} = i_d R \]
\[ (e_{R\text{avg}} = i_d R) \]
\[ (e_{R\text{rms}} = i_d \text{rms} R) \]
**SINGLE PHASE CONTROLLED RECTIFIER**
**NO OF TUBES:** 1 THYRATRON
**NATURE OF LOAD:** L
**FIG. 9**
\[ i_d = \frac{E_S}{UL} (\cos \theta_1 - \cos \theta_1) \]
\[(\theta_2 - \omega t \approx \theta_1)\]
\[ = 0 \quad (\theta_2 - \omega t \approx \theta_2) \]
\[ E_{d} = 360^\circ - \theta_1 \]
\[ i_d = \frac{E_S}{UL} (1 + \cos \theta_1) \]
\[ (i_d)_{\text{avg}} = \frac{E_S}{UL} \left( \frac{(\cos \theta_1)(2\pi - 2\theta_1) + 2\sin \theta_1}{2\pi} \right) \]
\[ (i_d)_{\text{rms}} = \frac{E_S}{UL} \left[ \frac{1}{2\pi} \left( 1 + \cos \theta_1 \right) \left( 2\pi - 2\theta_1 \right) + \frac{1}{2} \sin 2\theta_1 \right]^{1/2} \]
\[ e_L - e_d = E_S \sin \omega t \]
\[(\theta_2 - \omega t \approx \theta_2)\]
\[ = 0 \quad (\theta_2 - \omega t \approx \theta_2) \]
\[ (E_L)_{\text{avg}} = 0 \]
\[ (E_L)_{\text{rms}} = E_S \left[ \frac{1}{2\pi} \left( \pi - \theta_1 \right) + \frac{\sin 2\theta_1}{2} \right]^{1/2} \]
**CURRENT WAVE FORMS FOR DIFFERENT FIRING ANGLES**
---
**SINGLE PHASE CONTROLLED RECTIFIER**
**NO OF TUBES:** 1 THYRATRON
**NATURE OF LOAD:** R, L IN SERIES
**FIG. 10**
---
**SINGLE PHASE CONTROLLED RECTIFIER**
**NO OF TUBES:** 1 THYRATRON
**NATURE OF LOAD:** R, L IN SERIES
**FIG. 11**
---
**SINGLE PHASE CONTROLLED RECTIFIER**
**NO OF TUBES:** 1 THYRATRON
**NATURE OF LOAD:** R, C IN PARALLEL
R₁ USED TO LIMIT PEAK CURRENT
**FIG. 12**
---
**CURRENT WAVE FORMS AT DIFFERENT FIRING ANGLES WITH A LOAD HAVING A P.F OF 0.5**
**CURRENT WAVE FORMS FOR LOAD OF DIFFERENT POWER FACTOR ANGLE FIRED AT 60°**
\[ i_d = \frac{E_S}{\sqrt{R^2 + \omega L^2}} \left[ \sin (\omega t + \phi_f - \theta) - e^{-i\omega t} \right] \sin (\theta_f - \theta) \]
**SINGLE PHASE CONTROLLED RECTIFIER**
**NO. OF TUBES:** 1 THYRATRON
**NATURE OF LOAD:** R, $E_B$ IN SERIES
**FIG. 13**
$$i_d \text{ ov} = [E_S \cos \theta_1 + (E_B - \frac{E_S}{R})] \frac{E_B}{R}$$
$$\alpha_d \text{ ov} = \left[ E_S \cos \theta_1 + E_B \left( \theta_1 - \frac{\pi}{2} \right) \right]$$
$$e_{pl} = E_S + E_B$$
$$(E_R) \text{ ov} = (E_d) \text{ ov} + R$$
---
**SINGLE PHASE CONTROLLED RECTIFIER**
**NO. OF TUBES:** 1 THYRATRON
**NATURE OF LOAD:** L, $E_B$ IN SERIES
**FIG. 14**
$$i_d = \frac{E_S}{\omega L} (\cos \theta_1 - \cos \omega t)$$
$$- \frac{E_B}{\omega L} (\sin \theta_1 - \theta_2)$$
$$e_{pl} = e_S + E_B$$
---
**SINGLE PHASE CONTROLLED RECTIFIER**
**NO. OF TUBES:** 1 THYRATRON
**NATURE OF LOAD:** R, L, $E_B$ IN SERIES
**FIG. 15**
$$i_d = \frac{E_S}{R} \sin (\omega t + \theta_1 - \phi)$$
$$- \left[ \frac{E_S}{L} \sin (\theta_1 - \theta_2) \right] e^{-\omega t \cot \phi}$$
$$E_B = \frac{E_S}{R} \left( 1 - e^{-\omega t \cot \phi} \right), \text{ WHERE } \theta_2 \leq \sin^{-1} \frac{E_B}{E_S}$$
---
**SINGLE PHASE CONTROLLED RECTIFIER**
**NO. OF TUBES:** 1 THYRATRON
**NATURE OF LOAD:** R, L, $E_B$ IN SERIES
**INVERSION**
**FIG. 16**
$$i_d = \frac{E_S}{R} \left( 1 - e^{-\omega t \cot \phi} \right) + \frac{E_B}{R} \sin (\omega t + \theta_1 - \phi)$$
$$+ \left[ \frac{E_S}{L} \sin (\theta_1 - \theta_2) \right] e^{-\omega t \cot \phi}$$
---
*April 1945 — ELECTRONICS*
SINGLE PHASE CONTROLLED RECTIFIER
NO. OF TUBES: 1 PHANOTRON, 1 THYRATRON
NATURE OF LOAD: R,L IN SERIES
DISCONTINUOUS CURRENT
FIG. 17
\[ e_d = \frac{E_s}{2} (1 + \cos \theta_1) \]
\[ i_{d1} = \frac{\pi \theta_1}{2\pi} \]
\[ i_{d2} = \frac{\pi \theta_2}{2\pi} \]
\[ E_d = \left( \frac{1 + \cos \theta_1}{2} \right) E_s \]
\[ I_d = \left[ \frac{1}{2} \left( \frac{\pi \theta_1}{2} \right) + \sin \theta_1 \right] \frac{1}{2} E_s \]
\[ e_{p11} = E_s \]
\[ e_{p12} = E_s \]
SINGLE PHASE UNCONTROLLED RECTIFIER
NO. OF TUBES: 1 PHANOTRON
NATURE OF LOAD: R+L IN PARALLEL WITH C
\[ R = 0, \omega^2 L C = 1 \]
FIG. 19
\[ e_s = \frac{1}{L} \]
\[ i_c = \frac{1}{C} \]
\[ e_d = \frac{1}{L} \]
\[ e_t = \frac{1}{C} \]
SINGLE PHASE CONTROLLED RECTIFIER
NO. OF TUBES: 1 PHANOTRON, 1 THYRATRON
NATURE OF LOAD: R,L IN SERIES
DISCONTINUOUS CURRENT
FIG. 18
\[ e_d = \text{EQUAL AREAS} \]
\[ \theta_1 \]
\[ \theta_2 \]
\[ e_d = \text{SAME AS } e_{16} \]
\[ i_{d1} = \frac{E_s}{2} \sin \left( \phi - \phi_1 \right) e^{-\left( m - \phi_1 \right) \cot \phi} \]
\[ i_{d2} = \frac{E_s}{2} \sin \left( \phi - \phi_2 \right) e^{-\left( m - \phi_2 \right) \cot \phi} \]
SINGLE PHASE UNCONTROLLED RECTIFIER
NO. OF TUBES: 1 PHANOTRON
NATURE OF LOAD: R,L IN PARALLEL
\[ R = L \]
FIG. 20
\[ e_s = \text{TUBE CONDUCTING} \]
\[ e_d = \text{TUBE NOT CONDUCTING} \]
\[ e_{p1} < E_s \]
\[ e_{p2} < E_s \]
\[ e_d = \text{NOTE EQUAL AREAS} \]
PROPER OPERATION of many electronic circuits depends upon the relative phase relation of voltages in associated circuits. To obtain the required phase relation some form of phase-shift network is used. If the current drain is small, simple R-C networks are adequate; but where the current is large, special equipment is required, such as a three phase source with isolating transformers for the selective mixing of the phases.
The familiar T-section L-C high-pass filter can be used for such requirements, but the calculations are laborious. The following analysis simplifies this design problem, without the inaccuracy of assuming an infinite $Q$ for the coil to be used in the filter.
**Filter Circuit Equations**
We will assume a sinusoidal input voltage which originates in a source of negligible internal impedance compared to the input impedance of the loaded phase-shift network, and also assume that the network load is a linear element without reactance. If $C_1 = C_n = C$ in Fig. 1, application of a-c theory gives the complex expression
$$\frac{e_z}{e_{in}} = \frac{b \left\{ [ab(a-1) + c(bc-1)] + j[a(2a-1) + c(b+2c)] \right\}}{[(2a-1) + bc]^2 + [b(a-1) - 2c]^2}$$ \hspace{1cm} (1)
where
$$a = \omega^2 LC$$
$$b = \omega CR$$
$$c = \omega C_r$$
From Eq. (1) we obtain an expression for the angle $\theta$ by which $e_z$ leads $e_{in}$.
$$\tan \theta = \frac{a(2a-1) + c(b+2c)}{ab(a-1) + c(bc-1)}$$ \hspace{1cm} (2)
Likewise we obtain the attenuation
Phase-Shift Networks
Graphs facilitate design of filter-type phase-shift networks used in circuits handling large power. Required voltage and current ratings for components are determined analytically. Technique is applied to phase-lead filters using finite-Q coils.
factor $F$ which is the absolute value of the ratio given in Eq. (1).
$$F = \left| \frac{e_{\text{in}}}{e_{\text{in}}} \right| = \frac{b \sqrt{a^2 + c^2}}{\sqrt{(2a - 1) + be^2} + [b(a - 1) - 2c]^2}$$ \hspace{1cm} (3)
The quantities $\theta$ and $F$ are thus functions of three independent variables $a$, $b$, and $c$, and can be plotted in three-dimensional space as contour surfaces. If we confine our attention to planes parallel to the $a-c$ plane in this $a-b-c$ space, the intersections of both the $\theta$ and $F$ contour surfaces with these constant-$b$ planes give a family of circles which is very easy to plot. Furthermore, it can be shown that the $F$ circles form an orthogonal family with the $\theta$ circles. Rearranging Eq. (2) gives Eq. (4) from which circles for a discrete set of values of $\theta$ can be plotted in each constant-$b$ plane.
$$\left[ a - \frac{1 - b \tan \theta}{2(2 - b \tan \theta)} \right] + \left[ c + \frac{b + \tan \theta}{2(2 - b \tan \theta)} \right]^2 = \left[ \frac{\sqrt{(1 + \tan^2 \theta)(1 + b^2)}}{2(2 - b \tan \theta)} \right]^2$$ \hspace{1cm} (4)
Similarly, rearranging Eq. (3) gives Eq. (5) for the $F$ circles.
$$\left[ a - \frac{2 + b^2}{4 + b^2(F^2 - 1)/F^2} \right]^2 + \left[ c + \frac{b}{4 + b^2(F^2 - 1)/F^2} \right]^2 = \left[ F \left[ 4 + b^2(F^2 - 1)/F^2 \right] \right]^2$$ \hspace{1cm} (5)
Equations (4) and (5) are each in the form $(a - x)^2 + (c - y)^2 = r^2$, the equation of a circle with center $(x, y)$ and radius $r$. The locus of the centers $(x, y)$ of the $F$ circles is a straight line in each $b$ plane whose equation is $bx + (b^2 + 2)y = 0$ where $x$ and $y$ are obtained from Eq. (5).
The locus of the centers of the $\theta$ circles is also a straight line $(b^* + 2)y' - bx' = (1 + b^*)/2$ where the parameters $x'$ and $y'$ are coordinates of the centers of circles obtained from Eq. (4).
By analytic geometry it is shown that these two straight lines are mutually perpendicular at the point
$$(a, c) = \left( \frac{b^* + 2}{2(b^* + 4)}, \frac{-b}{2(b^* + 4)} \right)$$
These geometrical relations are the property that makes it easy to plot the contour circles of $\theta$ and $F$ on the various constant-$b$ planes. Such planes are given for values of $b$ equal 0.5, 1.0, and 2.0.
On these same constant-$b$ planes other useful lines can be drawn by taking various ratios of $a$, $b$ and $c$. Thus $a/c = Q = L/r$ is the equation of a family of straight lines through the origin.
**Design Safety Factor**
By applying a-c theory to the network, safety factors are calculated and given by the following relations.
$$\frac{|e_{\text{in}}|}{e_{\text{in}}} = \frac{[(a - 1)(2a - 1 - b^*) + 2c(b + c)]}{j[b(a^2 + c^2) + c(b^2 + 1)]}$$ \hspace{1cm} (6)
$$\frac{|e_{\text{in}}|}{e_{\text{in}}} = \frac{[a(2a - 1) + c(b + 2c)]}{j[ab(a - 1) + c(bc - 1)]}$$ \hspace{1cm} (7)
$$I_L = \omega C e_{\text{in}} \times \sqrt{[c(b^2 + 2) + ab]^2 + [(2a - 1) - bc + b^2(a - 1)]^2}$$ \hspace{1cm} (8)
These safety factors should allow for extreme conditions as well as for normal operating conditions. It turns out that greatest voltage strain appears across $C_1$ if the load comes open, or analytically if $b$ becomes infinite. Under this condition Eq. (6) simplifies to
$$|e_{\text{in}}/e_{\text{in}}| = n = 1/\sqrt{(a - 1)^2 + c^2}$$ \hspace{1cm} (9)
Rearrangement of Eq. (9) gives an equation for a circle which bounds a forbidden zone of operation. This boundary is given by $(a - 1)^2 + c^2 = (1/n)^2$. One such forbidden zone boundary for $n = 3$ has been plotted on the $b$ planes.
**Illustrative Design**
As an example of the application of this analysis, suppose that we wish to shift the phase of the filament voltage of a 250T1H tube by 120 degrees. The value of the elements in the phase shifter will be more reasonable if the shifting is...
accomplished in the primary circuit of the filament transformer as illustrated in Fig. 2.
As a starting point in the design, the coils available for the phase shifter were considered. One had the parameters $L = 0.173 \text{ h}$; $r = 17$ ohms at 60 cps, hence
$$Q = (377 \times 0.173)/17 = 3.84 = a/c \quad (10)$$
With the filament transformer to be used—a 12-volt secondary—67.5 volts at 1.1 amp was required across the primary to supply the 7.5 volts for the filament, and therefore the apparent load would be $R = 67.5/1.1 = 61.36$ ohms, whence
$$r/R = 17/61.36 = 0.277 = c/b$$
or $c = 0.277b \quad (11)$
$$\omega L/R = a/b = 1.065$$
or $a = 1.065b \quad (12)$
Only two of the three expressions in Eq. (10), (11) and (12) are independent, the third being derivable from the other two. Consequently we now have three independent conditions to harmonize, namely $\theta = 120^\circ$; $Q = 3.84$; and either $a = 1.065b$ or $c = 0.277b$.
We are to find the value of $b$ that will provide the solution of our problem. Referring to the planes where $b = 0.5$ and $b = 1.0$, we find that the $\theta = 120$ degrees circle crosses the $Q = 3.84$ line at
| $b$ | $a$ | $c$ |
|-----|-----|-----|
| 0.5 | 0.713 | 0.185 |
| 1.0 | 0.732 | 0.190 |
Applying the condition that $b = a/1.065$ to these points, we derive the following values corresponding to the values of $a$ in Eq. (13).
| $a$ | $b$ |
|-----|-----|
| 0.713 | 0.669 |
| 0.732 | 0.687 |
Neither of these values agrees with the value of $b$ for the plane from which it was derived. However, we note that $b = 0.669$ is approximately as much greater relatively than $b = 0.5$, as $b = 0.687$ is less than $b = 1.0$. Since the 120-degree circles are intersections of a continuous surface with successive $b$ planes, the 120-degree circle in the proper $b$ plane would intersect the $Q = 3.84$ line somewhere between these two points. This principle of continuity indicates that the proper $b$ plane lies between 0.669 and 0.687. In fact, to a first approximation, interpolation as indicated above places it approximately midway between these values, giving $a = 0.7225$ and $c = 0.1875$. From these values and Eq. (11) and (12) we find that $b = 0.6778$.
An alternative algebraic method for solving for the correct value of $b$ is to substitute the values $\tan \theta = \tan 120^\circ = -1.7321$, $a = 1.065b$, and $c = 0.277b$ in Eq. (2) and solve the resulting quadratic equation for $b$. One of the two answers is negative and manifestly spurious, but the other is $b = 0.6801$, from which we obtain $a = 1.065b = 0.7245$, and $c = 0.277b = 0.1883$.
The graphically determined values agree within 0.5 percent with the algebraically determined values. This algebraic method is probably as easy to perform as the graphical one. Both are presented, however, because of the vivid way in which the graphical method shows the interrelations of the various quantities.
To determine the value of $F$ to be used, we can interpolate by plotting $F$ at $(a, c) = (0.7225, 0.1875)$—using the values of $a$ and $c$ obtained graphically—and the values of $b$ for which the charts are plotted. This interpolation is carried out graphically in Fig. 3. For the previously determined value of $b$ we find that $F = 0.63$.
**Choice of Components**
The required value of $e_x$ is 67.5 volts, therefore $e_{in} = e_x/F = 107$ volts. Also $C = b/\omega R = 0.6778/377 \times 61.36 = 29.35 \times 10^{-4}$ farads. The safety factors are also evaluated for use in specifying the components, and are given in Table I.
The maximum voltage required of the capacitors will be $2.98 \times 107 \sqrt{2} = 452$ volts. The current-handling ability of the coil must be 1.755 amp, and its power dissipation must be $I_r^2 r = 52.2$ watts.
The unit was built from these specifications and is serving its purpose very well. The assumption that the load contain no reactive component was not rigorously true; the internal impedance of the generator was not completely negligible, but the phase shift which was obtained was near enough to the required value to accomplish the purpose for which the shifter was designed.
**Extension to Phase-Lag Circuit**
A very similar treatment is possible for the phase-lag circuit shown in Fig. 4. In this case
$$\tan \theta = \frac{a(2-a)+c(b+c)}{(a-1)(b+2c)}$$
$$F = \frac{b}{\sqrt{(a-1)(b+2c)^2 + [a(2-a)+c(b+c)]^2}}$$
As before, we assign parametric values of $\theta$ and $F$ in these equations, but the resulting curves in the constant $b$ planes are not circles and therefore are difficult to plot. However, once constructed, their application is the same as for the phase-lead circuit. Likewise the algebraic method of solution described in discussing the phase-lead circuit is equally applicable to the phase-lag circuit. The equation in $b$ resulting from the substitutions is linear and correspondingly easier to solve in the latter case.
---
**Table I—Evaluation of safety factors for use in determining the voltage rating of the capacitors and current and power ratings of inductor used in the phase shifter of Fig. 2**
| $R$ | 0 | 61.36 | $\infty$ |
|-----|-----|-------|----------|
| $e_{x1}$ | 0.575 | 1.138 | 2.98 |
| $e_{in}$ | | | |
| $e_{x2}$ | 1.270 | 1.040 | 0 |
| $e_{in}$ | | | |
| $I_r$ | 2.005 | 1.755 | 3.15 |
MORE OFTEN THAN NOT, THE TERMINAL STRIP IN SERVICE IS A CINCH
IT'S "KNOW HOW"
From the early pioneering days of rapid development Cinch has led the field in laminated terminal strips, both in quantity and variety, so it was natural that for specialized electronic equipment we should again lend our flexibility and experience in the manufacture of molded terminal strips. The illustration is one of a series of molded terminal strips so designed as to provide a variety of lengths, mounting centers and combinations of lugs. Development Engineers—we suggest you write for actual samples.
CINCH Fasteners * Miniature Sockets
Filler Necks * Octal Sockets * Lugs
Terminal Strips * Metal Stampings
CINCH MANUFACTURING CORPORATION
2335 West Van Buren Street, Chicago 12, Illinois
Subsidiary of UNITED-CARR FASTENER CORPORATION, Cambridge, Mass.
IN DEALING with transmission-line problems, both communications and power engineers have occasion to use hyperbolic functions. The most commonly encountered are the tangent and cotangent, which relate the short-circuit and open-circuit impedance to the characteristic impedance and propagation function in the familiar expressions
\[ Z_{sc} = Z_0 \tanh \gamma L \]
\[ Z_{oc} = Z_0 \coth \gamma L \]
Since \( \gamma L \) is a complex quantity, calculation of its hyperbolic functions involves considerable time and effort. The accompanying chart affords a simple means of evaluating the tanh and coth of \( \gamma = a + j\beta \).
The group of circles marked in degrees represents the imaginary part, \( \beta \), while the other group corresponds to the real part, \( a \). In order to use the chart, the following procedure should be followed:
Add or subtract multiples of 180 degrees to the imaginary part, \( \beta \), of the complex angle until the remainder is positive and less than 180 degrees.
Determine the value of \( b \) from Table I.
Determine the rectangular coordinates at the point of intersection of the proper \( b \) circle with the \( a \) circle corresponding to \( a \). For the rectangular coordinates so determined, \( R \) is always positive; the sign of \( X \) is determined from the last column of Table I.
The following examples illustrate the use of the chart and Table I. In each example \( a = 0.13 \) and \( b = 86 \) degrees.
\[
\begin{align*}
Z_{sc}/Z_0 &= \tanh (0.13 + j266^\circ) \\
&= \tanh (0.13 + j86^\circ) = 6.0 + j3.2 \\
Z_{sc}/Z_0 &= \tanh (0.13 + j274^\circ) \\
&= \tanh (0.13 + j94^\circ) = 6.0 - j3.2 \\
Z_{oc}/Z_0 &= \coth (0.13 + j184^\circ) \\
&= \coth (0.13 + j4^\circ) = 6.0 - j3.2 \\
Z_{oc}/Z_0 &= \coth (0.13 + j356^\circ) \\
&= \coth (0.13 + j176^\circ) = 6.0 + j3.2
\end{align*}
\]
MALLORY Heavy-Duty CONTACTS
Carry 3,000 Amperes at 15,000 Volts
THOUSANDS of Mallory Contacts are giving dependable performance and long life in oil and air circuit breakers for heavy power applications. The heavy-duty contacts illustrated are required to interrupt and carry 3,000 amperes at 15,000 volts, in a giant oil circuit breaker. To meet these requirements calls for contacts that are plenty rugged!
A "plug-and-socket" type of contact assembly is used. To carry the heavy current, contact surfaces of Elkonite* 3W3, a Mallory refractory metal composition, have been specified on the recommendation of experienced Mallory contact engineers. The plug is made of copper with a complete cover of Elkonite on the contacting surface.
The socket is also made of copper, with an insert of Elkonite at the contact point. In the actual installation, the socket is cut into several segments, each mounted on a spring.
Mallory engineering "know-how" for solving contact problems covers the range from these large circuit breaker applications to the most minute silver or tungsten contacts for small relays, electronic and automotive controls.
Consult Mallory while your electronic or electrical product designs are being blueprinted. It pays to come to Mallory—Contact Headquarters—for experienced engineering help, the widest selection of contact and contact backing materials, and the most complete manufacturing facilities in the industry.
Write today for your copy of the Mallory contact catalog. The New Mallory Contact Data Book will be sent gratis to engineers when requested on company letterhead. Available to students, libraries and schools at $2.50 per copy, postage paid.
P. R. MALLORY & CO., Inc., INDIANAPOLIS 6, INDIANA
TYPICAL PHYSICAL PROPERTIES OF ELKONITE 3W3
| Property | Value |
|---------------------------|---------|
| Density, lb.-cu.in. | 12.6 |
| Conductivity, % I.A.C.S. | 49 |
| Hardness, Rockwell B | 30-35 |
| Tensile Strength, psi | 78,000 |
| Cross Breaking Strength, psi | 80,000 |
| | 130,000 |
Other grades of Elkonite are available with properties adapted to practically all heavy-duty contact applications.
*Reg. U.S. Pat. Off. for electric contacting elements.
Built-in Electronic Control on Milling Machine
By combining the best features of electronic and hydraulic control, Sundstrand Machine Tool Company has designed and built a special machine for milling the circular, partial and dome fins on a forged aluminum airplane cylinder head. The one machine handles in two operations the milling of the same number of fins which formerly required four machines and four separate operations.
Actually, the milling of the circular and partial fins is done in one operation. The milling of the dome fins requires a change in the cams, the cutter and the work-holding fixture.
The path followed by the cutter is very irregular and constantly changes in shape and depth for each successive fin. However, the automatic electronic feed control keeps the fragile cutter loaded to full capacity. If the cut becomes light, the rate of feed increases, and if the cut becomes heavy, the rate of feed decreases. The rate of feed varies automatically within a range of 6 in. to 60 in. per minute, with the actual rate depending upon the depth of cut and horsepower consumed.
The machine has a complete automatic cycle after loading and an operator could run more than one machine if desired. There is no waste motion or cutting of air under the irregular cutting since adjustments are positive and the cutter can be set to rapid approach to within \( \frac{1}{8} \) in. of each fin.
Unusual Methods of Applying Electronic Heat
By E. D. THILSON
Commonwealth Edison Company
Chicago
Some time ago it was announced to industrial customers of Commonwealth Edison Company that induction and dielectric heating units had been obtained through the courtesy of equipment manufacturers for running heat trials. Plant managers were invited to bring in any product within reason for test.
The result was surprising. Hog medicine, armatures, chicken feathers, popcorn, golf clubs, peanuts, and surgical sutures are only seven examples from a list of over 200 heterogeneous processed or semi-processed materials that were brought in for electronic heating tests. Some of the methods that were developed for applying electronic heat to various articles in production are described in the following case histories.
Figure 1(a) shows how an irregularly shaped metal strap was heated locally at points where it was later to be folded into a final assembly. The temperature required was 700 deg. F. The job was accurately done in 16 seconds.
The next illustration, Fig. 1(b), shows a powdered metal ring in which diamond particles are embedded. The problem was to sinter the metal to form a grinding wheel. The required temperature, 1400 deg F, was attained in 10 seconds. Unfortunately, the customer involved in this experiment did not have the proper mold material for so high a temperature and it disintegrated. However, he was satisfied that the application is a sound one, and is now making up molds from albarene.
Collapsible metal tubes such as shown in Fig. 1(c) are filled with tooth paste, ointment, etc., and are then sealed by folding and crimping at the bottom. A certain percentage of these folds later open up and the ointment comes out the wrong end. This was stopped by coating the inner metal surface with a plastic bonding film, folding, and heating to 250 deg F by a
Effective April 1st.
All shipments of IRC Type BT and BW resistors will be FUNGICIDE TREATED
INTERNATIONAL RESISTANCE CO.
Dept. 1-D
401 NORTH BROAD STREET, PHILADELPHIA 6, PA.
IRC makes more types of resistance units in more shapes, for more applications, than any other manufacturer in the world.
single-turn coil and loose coupling. The time required was only one second.
Output
The production for that particular customer was 17,000 tubes per day. No doubt the job can be done faster, but the unfolded portion of is used for gas mantles, high-temperature tubes, beakers, etc. The laboratory was called upon to fuse this oxide at 5,000 deg F. Several methods were tried and one, illustrated in Fig. 1(d), was finally developed which appears thoroughly practical. This involves the use of a special coil of six turns, 3 inches a heavy sheet-metal cylinder enclosing a sand mold. A polystyrene pattern is used instead of wood. The styrene is melted out by induction heating applied to the metal cylinder and steel is injected into the cavity by centrifugal force.
Accurate castings requiring no subsequent machining are produced in very high carbon steels, stainless steel, or almost any metal desired. A slow rate of heat is required at the start to prevent excessive moisture and alcohol in the sand mix from exploding the mold. On these particular samples, the ideal seemed to be four one-minute cycles separated by one-minute intervals. The method formerly used required from $1\frac{1}{2}$ to $1\frac{1}{2}$ hours to melt out the styrene. Considerable experiment has been done on sand cores and sprue plugs. Both operations appear quite feasible and desirable.
Impregnation
In drying a small armature, preheating with induction heating was done before dipping it into insulating varnish. Afterwards it was baked by induction heating at 240 deg F. A six-turn coil was used. One minute was required for preheat, and for baking, two minutes with power on, which brought the piece to curing temperature after which baking occurred from residual heat. This is in contrast
Compact and light in weight, this Westinghouse Power Center Unit means new speed and efficiency in power installation. This easily-handled "package power" can be located at the actual load center to simplify wiring problems and effect savings of up to 75% in secondary cable requirements.
Lindsay Structure, modern method of light metal construction, contributes to the unusual lightness and compactness of the power center unit. Utilizing the principle of uniform tensioning to provide a unique high strength-weight ratio, Ls makes additional supports unnecessary even in housings for heavy machinery. And Ls units leave the equipment they house readily accessible with the removal of the nearest panel.
Parts for Lindsay Structure, available in steel or non-magnetic aluminum, are pre-formed to your individual requirements. A new war service also makes it possible to furnish completely or partially assembled units—ready for the installation of your machinery or equipment—anywhere in the United States.
Check the possibilities of Lindsay Structure as a cabinet or housing for your product. Write to Lindsay and Lindsay, 222-D W. Adams St., Chicago 6, Ill.; or 60 E. 42nd St., New York 17, N.Y.; or to Lindsay Structure (Canada) Ltd., Dominion Square Building, Montreal.
LINDSAY STRUCTURE
U.S. Patents 2317629, 2263510, 2263511
U.S. and Foreign Patents and Patents Pending
In every case, heating before impregnation increases the depth of penetration and heating after impregnation prevents case-hardening, brought about by premature surface hardening. A great many of these jobs can best be done by high-frequency heating.
The magnets in Fig. 2(b) required heating to 1700 deg F and oil quenching. This was accomplished in 131 seconds, as contrasted with 16 minutes in a convection oven.
In the manufacture of golf clubs, a bond was needed between the steel head, weighing between 8½ and 10 ounces, and the steel shaft of the golf club. The tapered hole in the head had been previously coated with polyvinyl acetate. The head was heated to 350 deg in one second and a very severe torsional test was applied. This method is now in regular use. The bond has been pronounced unbreakable, and there is no discoloration of the chrome plating.
Steel banding strap such as used on packing cases must be blued, both the flat and edge surfaces. The temperature required is 650 deg F. A flat coil of 18 turns was used and the strap blued at the rate of one foot per second. The customer now uses a lead bath 30 feet long and 100 tons of lead. Induction heat for this purpose entails an electrical demand of approximately 80 kilowatts for a daily production of 264,000 feet of strap.
**Dielectric Heating**
All sizes and types of abrasive wheels have been submitted for cure or polymerization of the binding resin. On one particular type, some difficulty was experienced due to swelling, but otherwise an acceptable curing job was done. It is believed that if the wheel were retained between two perforated transite plates and a perforated transite ring was used for the periphery, the moisture would escape without causing swelling. Apparently the pressure is not great. In fact, it is possible to keep the grinding face accurate merely by wrapping a few turns of mucilage tape around the wheel before treating. There has been no opportunity to retest this particular wheel, but others have been successfully cured without distortion. The temperature depends upon the resin used. It may be anywhere from 150 to 350 deg F. Aluminum oxide is frequently employed as the abrasive. This wheel was heated dielectrically in ten minutes. The alternative method requires 36 hours.
**Casting Teeth**
A mold for casting teeth is shown in Fig. 3(a). Instead of sand, we have here a vinyl chloride plastic, a soft sticky yellowish mass. The problem is to heat the plastic to a flowing temperature (not over 290 deg F) so it can be poured around the teeth without bubbles or overheating. This was successfully done in three minutes. The alternative method required 30 minutes and, furthermore, certain portions are nearly always overheated.
The virtue of the plastic is that the teeth can be withdrawn in spite of the "non-draw" shape of the tooth and in a single flask mold without parting lines. The plastic is merely forced back by the pattern as it is withdrawn, and it closes in again after the pattern is free from the mold.
Brake lining material was required to be preheated before insertion in a hydraulic press. The lining consists of asbestos fiber, phenolic resin, filler and brass filings. Because of the filings there were breakdowns of single and double thicknesses of the material. This was overcome as more layers were added. By treating four layers at once with dielectric heating, the temperature was raised to 500 deg F in one minute.
A non-skid neoprene shoe sole must be polymerized under a press of 100 pounds per square inch. A plate facing must be used which does not cause the neoprene to stick to it. The sample was polymerized in two minutes at 200 deg F. Incidentally, all these curing jobs that have been carried out with steel or aluminum alloy molds in the past will have to be cured in non-metallic molds if dielectric heating is to be used.
**Drying Ampoules**
Ampoules are filled with sulfa drugs, penicillin, etc., and shipped to the Army and Navy. After sterilization, the moisture must be removed. In the dielectric-heating process worked out for this operation, the ampoules are mounted on hollow needles through which distilled water and air are successively sprayed. All of this occurs on a conveyor belt as shown in Fig. 3(b). The last operation is the drying by high frequency while the ampoules are still supported on the needles. The speed of production is about 60 per minute and it could evidently be accomplished by a machine having six kilowatts of input.
One trouble surgeons have had with sheep's gut is that after the wound is sewed up the gut absorbs moisture and stretches. A roll of 1,000 feet of gut was submitted to the laboratory to be heated by high frequency. It is known that a temperature of 300 deg F case-hardens the gut, making it relatively impervious to moisture and with better slipping qualities. Ovens used for the process require an eight-hour bake. The job was done by high frequency in six minutes.
**Wave-Form Demonstrator for Controlled Rectifier Circuits**
By P. T. CHIN AND E. E. MOYER
ELECTRONIC CONTROL equipment is more and more frequently using controlled rectifiers of the gaseous-discharge type. The one-way valve action of the rectifying element produces nonsinusoidal and often
THE HARVEY OF CAMBRIDGE REGULATED POWER SUPPLY 106 PA
A Dependable, Controllable Source of Laboratory D.C. Power
An ideal source of constant voltage for use with pulse generators, amplifiers, measurement equipment, constant frequency oscillators and other equipment requiring regulated D.C. voltage in the 200 to 300 volt range. That is the HARVEY Regulated Power Supply 106 PA.
This precision instrument operates from 115 volts A.C. and has a D.C. voltage output variable from between 200 to 300 volts that is regulated to within one percent. Output remains constant even though line voltage varies between 95 and 130 volts.
The HARVEY 106 PA is a model of efficiency and convenience. It has separate fuses on each transformer primary as well as the D.C. output circuit; pilot lights on each switch; and a D.C. voltmeter for measuring output voltage.
For complete information on this efficient, dependable instrument, ask us to send you the HARVEY 106 PA bulletin.
HARVEY OF CAMBRIDGE
HARVEY RADIO LABORATORIES, INC.
439 CONCORD AVENUE • CAMBRIDGE 38, MASSACHUSETTS
discontinuous wave forms in the rectifier circuits. The formation of these wave forms is not too evident to those who are familiar only with circuits under ordinary sinusoidal driving forces.
The equipment described can be used, with the assistance of one or more cathode-ray oscilloscopes, to demonstrate:
1. Methods of grid control of thyatrons:
(a) D-C bias only
(b) A-C bias of fixed amplitude and variable phase angle
(c) A-C bias of fixed amplitude and fixed phase angle plus d-c bias of variable magnitude
2. The behavior of single-phase (one phanotron or one thyatron) and bi-phase (two phanotrons, one phanotron and one thyatron, or two thyatrons) half-wave rectifier circuits supplying a load consisting of $R$, $L$, $C$, counter electromotive force, or any combination of these, and showing:
(a) The voltage wave form across the load
(b) The voltage wave form across the tube
(c) The wave forms of tube current and load current
(d) The inverter action of a controlled rectifier supplying an inductive load
3. Using high-vacuum diodes in-
---
Front panel of wave-form demonstrator, developed for use as a teaching aid in industrial electronics classes
Circuit of wave-form demonstrator for controlled rectifier circuits. All terminals numbered from 1 through 38 go to jacks on the front panel, for use with patch cords in setting up various circuit combinations for connecting these terminals to the two meters.
AVOID UNNECESSARY ASSEMBLY DELAYS BY PLANNING YOUR FASTENINGS NOW
"Cold-forging"—proof #30
...more each month
Forethought, when your product is still in the design stage, can mean timely delivery of fastenings for that "long planned" fast assembly job. Your early and precise choice of fastenings—standard or special—may be vital to the fast and exacting assembly job required for an advantageous start on postwar production.
That's where Scovill comes in . . . our broad experience in fastenings and ingenuity in special design qualify us as specialists in the fastenings field. Let us help you determine the best modern fastenings to use—a featured standard fastening or a part especially designed to suit your needs.
The part shown above is one of Scovill's many special purpose cold-forged items. Our special processing of this part meant substantial savings in money—materials—motions. Call our Fastenings Expert for assistance so that you likewise may profit. Call him now.
Scovill Manufacturing Company
Waterville Screw Products Division
WATERVILLE 48, CONN. TEL. WATERBURY 3-3151
NEW YORK, Chrysler Building • DETROIT, 714 Fisher Building • CHICAGO, 1229 W. Washington Boulevard • PHILADELPHIA, 18 W. Chelten Avenue Building
PITTSBURGH, 2882 W. Liberty Ave. • SYRACUSE, Syracuse-Kemper Insurance Bldg. • LOS ANGELES, 2627 S. Soto St. • SAN FRANCISCO, 434 Brannan St.
stead of phanotrons or thyratrons, the behavior of single-phase (one rectifying element) and bi-phase (two rectifying elements) half-wave rectifier circuits supplying a load consisting of $R$, $L$, $C$, counter electromotive force, or any combination of these, and showing:
(a) The voltage wave form across the load
(b) The voltage wave form across the tube
(c) The wave forms of tube current and load current
*Description of Equipment*
As the circuit shows, the entire equipment is supplied from a 115-volt, 60-cycle, single-phase line. It draws about 100-va maximum load.
When switch $S_2$ is closed to CONSTANT, the anode voltage is 115 volts on each anode-to-neutral phase. When $S_2$ is closed to VARIABLE, the anode voltage can be varied from 0 to 115 volts by means of the variable autotransformer. The capacity of this anode transformer is approximately 100 milliamperes d-c output from the bi-phase half-wave rectifier circuit.
*Phase-shifting Network*
A midtapped transformer winding, a capacitor, and a variable resistor are arranged in a phase-splitting bridge circuit. The output voltage of the bridge (between midpoint of the transformer winding and the junction of the $R$ and $C$ bridge arms) can be varied in its phase relation to the supply voltage (anode voltage of the thyatrons) by varying the resistance arm of the bridge. This output voltage supplies the primary winding of a grid transformer whose two secondaries supply the grid circuits of the thyatrons.
This d-c source is derived from two bi-phase rectifiers connected together so that their output voltages oppose each other. The primary windings of the two anode transformers are connected to the slider of the variable autotransformer in such a manner that as the slider is rotated the voltage of one transformer is reduced while that of the other is increased; thus the d-c output from the two rectifiers is caused to be variable from +100 volts to -100 volts (approximately). The capacity of this d-c
How to Shorten Molding Cycles and Increase Your Output 50%
Two years' experience shows quicker press closing, shorter curing, fewer rejects when electronic preheating is used.
Electronic preheating can often make important savings in time in all three steps of the molding cycle—press closing, curing, and removing the finished piece. On the average, the overall increase in press output is about 50%.
Here's Proof: One user* of RCA electronic heating equipment reported that a single RCA 2000-watt generator doubled the output of two presses and of the thirty men engaged in that particular molding job. And rejects were cut from 60% to 10%!
A second application by this same molder reduced the operational time of each press by 50%; and the decrease in rejects produced an overall gain in output of 400%!
Tests conducted by a manufacturer of molding materials* to determine the advantage of electronic preheating in molding thick sections showed a reduction of molding time from 30 minutes (the mold from 2½ inches thick) to 5 minutes (electronic preheating). Test blocks were 2¾ inches thick; quality of results was in most respects better with electronic preheating.
Why Is Electronic Preheating Effective? Because it brings preforms to uniform temperature, and hence uniform plasticity—ideal plasticity—in only a few seconds. Not only does the molding material soften completely—with no hard centers—but it softens so quickly that premature setting cannot take place.
Quick Press Closing: With electronic preheating, there's no delay in press closing—no need to wait for the material to soften due to mold heat. Flow begins at once. Molding pressures are often reduced by as much as 40% to 50%. And that may mean a better product in cases where high pressures formerly displaced inserts, or damaged intricate molds.
Quick Curing: Because the molding material is at uniformly high temperature when molding begins, only a short time is needed for mold heat to produce an excellent cure. Acetone extractive tests in one case showed that a 1½-minute cure after electronic preheating was more effective than a 7½-minute cure with ordinary preheating.
Perhaps Electronic Preheating Can Help You: To find out, at no cost to you, write today for RCA engineering advice. Include details of material; product size, shape, and design; molding method; press cycle time; and a statement of your molding problem in which you think this method might help. Or the coupon will bring you further information, if you wish. Address: Radio Corporation of America, Electronic Apparatus Section, Box 70-191M, Camden, N. J.
*Name on request.
RCA ELECTRONIC HEAT
BUY MORE WAR BONDS
RADIO CORPORATION OF AMERICA
RCA VICTOR DIVISION • CAMDEN, N. J.
SEND THIS FOR MORE DATA
RCA, Electronic Apparatus Section, Box 70-191M, Camden, N. J.
Gentlemen: I want to know more about how electronic heating can improve my molding. Please send me the bulletins checked:
- [ ] Electronic Heat Speeds Plastic Molding
- [ ] RCA 2-kw electronic generator
- [ ] RCA 15-kw electronic generator
Name...............................................................
Company..........................................................
Address............................................................
City........................................Zone........State...........
NEW VACUUM TUBE FREQUENCY METER...
INDICATES 800 CYCLES ±2 CYCLES!
Model 33-VTF can be mounted in several ways—rack and panel installation shown is typical. Only the meter appears in front—electronic unit may be mounted either on same panel or at some remote location.
MODEL 33-VTF, now released for commercial use, makes available the ruggedness and exceptional accuracy of the vibrating reed frequency meter. It measures specific bands such as 760-840 cps or 1140-1260 cps.
Again, J-B-T engineers have extended the useful range of the vibrating reed frequency meter—through use of a simple, practical electronic circuit. A vacuum tube multivibrator divides the incoming frequency by the proper integer, and shows the result on the widely used standard 400 cycle meter.
Harmonics of accidental frequencies or unusual wave form do not affect the response where the speed of the inverter or other frequency source is in the approximate range being measured.
Model 39-VTF, Laboratory Type, not shown, has an input impedance of 500,000 ohms, and uses regular line current for power supply. This model, through use of a multiplier switch, measures frequencies 1, 2, 3, 4, 6 and 9 times the basic range of 380-420 cycles.
(Manufactured under Triplett Patents and/or Patents Pending)
Check These Features:
EXTREME ACCURACY...within 0.25% of frequency measured.
PERMANENT ACCURACY...calibrated at factory—no subsequent calibration or standardization required at any time.
STABILITY...no temperature drift after initial 30 second warm-up period. Accuracy is independent of line voltage variation. No voltage regulator, external or internal, is required.
BURN-OUT PROOF...no protection needed against accidental frequencies above the range being measured.
SIMPLE—LIGHTWEIGHT—COMPACT...only 3 tubes—6N7 multivibrator, 6V6 amplifier, 6X5 rectifier. Weighs only 6 lbs...electronic unit 5½" x 6" x 4½"; meter meets JAN-L6 mounting dimensions for 3½" instruments.
20 WATT POWER CONSUMPTION...derived from frequency source being measured.
J-B-T
Circuit Details
Two instruments are provided on the panel. One is a 150-0-150-volt, zero center, permanent magnet type (d'Arsonval) d-c voltmeter (800 ohms/volt). This voltWithin Reach
Electronic planning is frequently confronted by seemingly insurmountable obstacles in the form of new tube types, special electronic controls or other devices yet undeveloped. RAULAND engineers have an unusually good record in solving these "tough" problems. For RAULAND is an organization of top-flight electronic specialists...men of long experience, noted for many achievements. Post-war cooperation of this trained staff may bring your objectives within easy reach.
Rauland
Electroneering is our business
THE RAULAND CORPORATION • CHICAGO 41, ILLINOIS
Buy War Bonds and Stamps! Rauland employees are still investing 10% of their salaries in War Bonds
ELECTRONICS — April 1945
NOW IN FULL PRODUCTION...
the new NYT transformer plant at Alpha, New Jersey
COLLABORATION:
N-Y-T service to the electronic manufacturer begins at the design stage. The experience of N-Y-T design engineers extends into every field in which transformers are used. These men are at your service.
ENGINEERING:
N-Y-T engineers will meet your requirements at minimum unit cost. They also know how to design transformer components so as to simplify your production assembly and reduce dimensional requirements.
MANUFACTURING:
Highest quality is paramount. Not only electrical characteristics but all materials used in assembly are held to the most exacting requirements. Rigid inspection is imposed at every stage of production.
Planned convenience speeds production on these efficient assembly benches.
THE NAME FOR PRECISION
April 1945 — ELECTRONICS
...ready to meet present and post-war transformer requirements!
Complete in every phase of transformer manufacture, the Alpha Division of N-Y-T embraces one of the most modern equipped plants in the East, including complete laboratories, engineering and manufacturing facilities.
This new plant is now at peak production and is rapidly assuming the roll of 'transformer department' to many of the leading manufacturers of electronic equipment.
NEW YORK TRANSFORMER COMPANY
GENERAL OFFICES
26 WAVERLY PLACE, NEW YORK 3, N.Y.
Ample inventories systematically stocked prevent production delays—assure prompt delivery.
Transformers, Chokes and Filters
SOUND VALUES AT TERMINAL RADIO
Deluxe 30-watt power amplifier
Six input channels — 4 microphone; 2 phonograph
Controls — 4 microphone gain; 1 dual phono gain;
1 master gain; 1 treble cut & boost; 1 bass cut & boost
Double tone control for finest equalization
Wide range, hum and distortion free response
4 — 8 ohm speaker sockets with switch to select speakers and proper impedances simultaneously
500 ohm terminal strip for multiple speaker systems
Gray wrinkle steel case with handles and hinged top
Size 20 x 10 3/8 x 10 1/2, for 105-125V 60 cycles AC
Tubes — 6-6SQ7; 1-6SJ7; 2-6L6G; 1-5Z3
MODEL 6729 — PRICE $57.15 NET WITH TUBES. F.O.B. N.Y.
UTAH PUBLIC ADDRESS SPEAKERS
| Model | Size | Voice Coil Impedance | Normal Power | Peak Power | Magnet Weight | Price |
|-------|------|----------------------|--------------|------------|---------------|-------|
| 8P | 8" | 6-8 | 7 | 11 | 5 oz. | $3.38 |
| 10P | 10" | 6-8 | 9 | 14 | 12 oz. | $5.44 |
| E12P | 12" | 6-8 | 13 | 20 | 12 oz. | $9.41 |
| G12P | 12" | 8 | 17 | 26 | 46 oz. | $14.26|
Terminal Has Microphones in Stock!
Shure 55C Unidyne — Acclaimed as the best.
Price, $29.10 — F.O.B. New York
Shure 717B Crystal Economy Hand Microphone
Price, $5.85 — F.O.B. New York
Turner BX Crystal Economy Microphone
Fits all stands
Price, $5.85 — F.O.B. New York
Electro-Voice V-1 Velocity Ribbon Microphone
Finest of its type.
Price, $16.17 — F.O.B. New York
LARGE SELECTION OF OTHER TYPES BY ALL MANUFACTURERS IN STOCK!
Terminal #MS1 Floor Stand
11 ft. 12" diameter base.
Chrome pipe section. Positive locking clutch.
Price, $6.81 — F.O.B. New York
#MS2 Adjustable Table Stand
All chrome — weighted base.
Price, $3.72 — F.O.B. New York
#MS3 Table Stand
Same as MS2, but not adjustable
Price, $2.95 — F.O.B. New York
Terminal Utility Wall Baffles
Heavy plywood construction.
Tan imitation leatherette finish.
For 8-inch speaker — price, $2.00 — F.O.B., N.Y.
For 10-inch speaker — price, $2.80 — F.O.B., N.Y.
For 12-inch speaker — price, $3.20 — F.O.B., N.Y.
FACSIMILE ON MOVING TRAIN
The conductor of a Rock Island freight train removes a facsimile message sent to him by radio from a wayside station. A complete message form is turned out in three minutes.
Can You Give Us a Tougher UPSET Job Than This?
Here’s a piece of metal that really takes a beating. It’s the terminal stud for Ohio Brass Company’s Hammerhead Signal Bond. It must withstand first a severe assembly operation in the plant, then a lusty blow on the head when it’s driven into the rail, and finally, the constant vibration throughout the lifetime of the rail as the trains thunder over it.
When production needs for this stud could not be met by hot forging, Ohio Brass put it up to National Screw. It was a very difficult part to upset, particularly with the necessity of procuring perfect grain flow and tempering to prevent difficulties in final assembly and reforming. We worked out a method of upsetting from round wire, solving the problem of securing volume while at the same time reducing the cost.
Few upsetting jobs are as tough as this one, but we cite it to show you what unusual things can be done where unusual experience, ingenuity and facilities are at your service.
Have you seen our “Savings” booklet? If not, please write for a copy.
Send for a copy of the “Savings” booklet—brief diagrammatic stories of time and money saved by “National” methods.
THE NATIONAL SCREW & MFG. CO., CLEVELAND 4, O.
Push-Button De Luxe
This Ucinite push-button switch is used in planes for turret control. It fires machine guns, and operates gun cameras and intercommunication microphones. On the Republic "Thunderbolt" it is used to squirt water into the carburetor for emergency spurts of speed.
An exclusive Ucinite design, this push-button switch represents a departure in switch operation. Its wide acceptance is due to its special usefulness in close quarters and its ability to operate under extreme variations of air pressure and temperature.
Here is one war-developed gadget with a real postwar future.
The UCINITE CO.
Newtonville 60, Mass.
Division of United-Carr Fastener Corp.
Specialists in RADIO & ELECTRONICS
LAMINATED BAKELITE ASSEMBLIES
CERAMIC SOCKETS • BANANA PINS &
JACKS • PLUGS • CONNECTORS • ETC.
WE'RE THINKING... OF YOUR REPUTATION!
That good name and important position you enjoy in the radio industry took long years to build. Your postwar reputation can hinge on the performance of the record changer you select for your radio phonograph combinations of tomorrow.
This is elementary, of course. But it has particular bearing on our postwar concentration on volume production of automatic record changers.
These changers will be Custombilt. The engineering "savvy" that helped us lick the toughest problems the armed forces could dream up is proving itself right now in the record changers we have designed.
We would welcome your inquiry and design problems. For we are going all the way in this matter of automatic changers. Set manufacturers who knew our prewar changer—who have looked to us for nearly a quarter century for their condensers and other radio components—will understand what this means.
GENERAL INSTRUMENT CORPORATION
829 NEWARK AVENUE • ELIZABETH 3, N. J.
TELEVISION, SINCE PIONEER DAYS, HAS DEPENDED UPON CANNON PLUGS
Because Cannon Plugs and Receptacles were designed especially for use in critical circuits, they were incorporated into the first television hook-ups. Says Harry R. Lubcke, Director of Television for the Don Lee Broadcasting System:
"We find Cannon Connectors indispensable in our television operations. We called on Cannon in 1937 and what was probably the first all-television connector was fabricated."
All the circuits of a modern television camera pass through this single master Cannon Connector mounted on the side of the instrument. Equipment for the control of focusing, power and intensity of image is connected to power sources and to pickup and broadcasting equipment through Cannon Plugs.
If you are interested in equipment of this kind, write for Cannon Condensed Catalog. Address Dept. A-120, Cannon Electric Development Company, 3209 Humboldt Street, Los Angeles 31, Calif.
CANNON ELECTRIC
Cannon Electric Development Co., Los Angeles 31, Calif.
Canadian Factory and Engineering Office: Cannon Electric Company, Ltd., Toronto, Canada
REPRESENTATIVES IN PRINCIPAL CITIES—CONSULT YOUR LOCAL TELEPHONE BOOK
Other Equipment Required
The only other piece of equipment required in connection with this rectifier panel is a cathode-ray oscilloscope. This oscilloscope should be equipped for viewing d-c potentials, either direct to plates of the tube through a suitable voltage divider (variable, and of five meg-ohms or more resistance) or through a d-c amplifier, neither of which requirements are met in the more readily available instruments.
Three such oscilloscopes give a much more complete picture of the over-all circuit behaviour, since the wave forms of the load voltage, the tube voltage, and the tube current can be observed simultaneously.
What the Equipment Demonstrates
1. Methods of grid control of thyatron
A. D-C bias only. Open $S_m$, connect 21 to 1 and connect 22 to 7. The d-c bias can be varied by turning the slider on the variable autotransformer.
The equipment demonstrates:
(1) That the grid control action is rough and critical
(2) A phase control range of only 90 degrees can be obtained
B. A-C bias of fixed amplitude and variable phase angle. Disconnect 21 from 1 and 22 from 7, close $S_m$; connect 1 to 7. Phase shift can be obtained by varying $R_s$.
The equipment demonstrates:
(1) Phase shift of one voltage (grid) relative to another anode voltage
(2) Much smoother and more uniform control
(3) That a full range of 180 degrees cannot be realized
C. A-C bias of fixed amplitude and fixed phase angle plus d-c bias of variable magnitude. Disconnect 1 from 7, connect 21 to 1 and 22 to 7, close $S_m$.
The equipment demonstrates:
(1) That approximately 180 degrees of phase control is possible
(2) The effect of different
ELECTRONIC COMPONENTS
SERVE ON OUR NAVY'S
NEWEST AND FINEST
BATTLESHIPS
As the new giants of the U. S. Navy leave the ways for their history making battle missions, among their most essential equipment are electronic devices. Mec-Rad's entire productive capacity is now devoted to the manufacture of vital mechanical and electro-mechanical components for these electronic units.
Our work includes "fancy brass plumbing" of all types involving soft and hard soldering, close tolerances, precision machining, careful assembly and finishes ranging from lacquer to silver and rhodium plating.
After the war our specialized facilities will be available to the electronic industry for peacetime needs. You can use our engineering "know-how" based on years of experience in this field, for planning your post-war products today.
MEC-RAD
DIVISION-BLACK INDUSTRIES
1400 EAST 222ND STREET ★ CLEVELAND 17, OHIO
CERAMIC DIELECTRIC TUBES for TEMPERATURE COMPENSATING CAPACITORS
by STUPAKOFF
Stupakoff ceramic dielectric tubes have high dielectric strength, good power factor (less than 0.06%) and uniform electrical characteristics. They are available in all temperature coefficients from +120 to -750 parts per million per degree Centigrade. These tubes are employed in temperature compensating capacitors for eliminating frequency drift in RF circuits—also for bypass, lead-through and blocking capacitors.
Stupakoff manufactures a wide variety of ceramic dielectric materials. Inquiries are invited for Stupakoff ceramic dielectric tubes of the 3850 series used to produce capacitors in accordance with J.A.N. specification C-20, and also for those having special electrical characteristics. Stupakoff is prepared to give prompt delivery in large quantities, of ceramic dielectric tubing in a complete range of sizes and coefficients. Your inquiries—whether for specialized or standard ceramic dielectric tubes—will receive prompt attention.
CHARACTERISTICS OF STANDARD 3850 SERIES BODIES
TYPICAL TEST CURVE OF A CONDENSER MADE FROM "3850 SERIES" MATERIAL
TEMPERATURE COEFFICIENT OBTAINED WITH VARIOUS TEMPERATURE COEFFICIENTS OF CAPACITY
BUY MORE WAR BONDS
STUPAKOFF CERAMIC AND MANUFACTURING CO., LATROBE, PA.
Ceramics for the World of Electronics
April 1945 — ELECTRONICS
"He wan'sta know why they call this tha' Pacific theayter"
Fine instruments produced in volume with quality first . . . to last.
Triplet
STANDARDS ARE SET BY
TRIPLET
ELECTRICAL INSTRUMENT CO.
BLUFFTON, OHIO
Write your own Specs—
CONTROL CRYSTAL SPECIFICATIONS
Frequency _______________________
Frequency Tolerance over Temperature Range ________________
Effective Temperature Range _____________________________
Activity Requirement ___________________________________
Electrode Type Crystal □ Plated Type Crystal □
HOLDER TYPE
Plastic □ Ceramic □ Metal □
Oven Controlled □ or Plain Type □
Pin Spacing ________ Pin Diameter ________
Type Circuit to be used _________________________________
CHIEF ELECTRONICS ENGINEER
fixed phase-angles of the a-c component of grid voltage on the control characteristic.
(3) That this method of control is apt to be critical near the almost-phased full-off position.
2. The behavior of single-phase and bi-phase half-wave rectifier circuits with different types of load.
The equipment demonstrates:
(a) The voltage across the load
(b) The voltage across the tube
(c) The current through the load
(d) The current through the tube
Under conditions of:
(a) Different phase control angles (if the tube is a thyatron)
(b) Different values of circuit constants (e.g., different ratios of $L/R$ in an inductive circuit, or different ratios of counter electromotive force to anode voltage)
Of particular interest is the sudden change in the grid control characteristic at the point of transition from continuous to discontinuous load current when the load is
SURRENDER AMPLIFIER
Cornered Japs in Burma are invited to give up by members of Psychological Warfare Division of SEAC using this electronic megaphone. If first call is ignored, Japs get shelled. Then music is played and followed by second call. If this is not effective, all-out shelling is
An Important Plastics Announcement BY DOW
STYRALOY
A NEW PLASTIC FOR INDUSTRY
Highly significant among countless new materials developed for war requirements is Styraloy—trade name for a remarkable group of plastics belonging in a category between rubber-like materials and rigid thermoplastics.
"Working it out together" with the Armed Forces, Dow developed the first of this impressive new line—Styraloy 22—to provide a one-piece cable sheathing with a low power loss at high frequencies and possessing great durability and flexibility. These unique qualities—combined with others presented below in capsule form—point to its use in a broad range of products. As a result, unlike many war-born materials, Styraloy anticipates a peacetime career of great importance.
Now that Styraloy is available for commercial purposes, molders and manufacturers or designers will find Dow equally willing to cooperate with them in developing to the fullest extent the numerous applications indicated by the impressive list of Styraloy's properties. "Let's work it out together."
We at Dow know from experience that success in plastics is not a one-man nor even a one-industry job. It calls for the combined skill and cooperation of manufacturer or designer plus fabricator plus raw materials producer. Working together, this team saves time and money and puts plastics to work successfully.
Call us—we'll do our part.
PRESENT AND POTENTIAL USES: One-piece cable sheathing; handles for tools, household appliances, etc.; gaskets; bushings; coil forms; floor mats; scuff plates; many applications still to be ascertained.
PROPERTIES AND ADVANTAGES: High dielectric strength, low power loss over all frequencies. Power factor only .005 at 100-300 megacycles. Flexible and shock resistant from -90° F. to 212° F. Specific gravity less than 1 (floats in water). Water absorption only .2 to .5%. Resists heat, ozone, and most chemicals. Highly resistant to abrasion. Resists permanent indentation. Ideally suited to extrusion of complex cross sections and readily fabricated by other molding techniques. Easily machined.
THE DOW CHEMICAL COMPANY • MIDLAND, MICHIGAN
New York • Boston • Philadelphia • Washington • Cleveland • Detroit
Chicago • St. Louis • Houston • San Francisco • Los Angeles • Seattle
DOW PLASTICS
STYRON • ETHOCEL • ETHOCEL SHEETING
SARAN • SARAN FILM • STRIPCOAT • STYRALOY
Miniature Pentode Designed for Use In UHF Circuits
Tube Type 6AK5, a new addition to Sylvania Electric's line, is a miniature sharp cut-off pentode in the short bulb, and is especially suitable for use in ultra high frequency equipment. Small size and high efficiency make it useful in portable equipment.
Full technical information may be obtained from Sylvania Electric.
Oscillographic Technique Traces Tube Performance in New Regions
Method Devised by Sylvania Electric Throws New Light on Characteristics
The measurement of tube characteristics in regions where previous test methods were inapplicable has been made possible through the development, by Sylvania Electric, of a new procedure, based on photographing an oscillographic trace.
EARLIER METHODS
Formerly, tube characteristics were taken by a point-by-point method. This was extremely slow, and had the still greater disadvantage that it could be used only in those parts of the characteristics where the tube would not be damaged by continuous operation. In many recent applications, characteristics must be known in regions where a plate or grid would vaporize if left on for even a second.
PHOTOGRAPHIC RECORDING
The new technique permits taking of characteristics in these regions. The oscillographic trace of the characteristics is shown on a special Sylvania 7-inch cathode ray tube, and may be photographed.
Improved tubes and circuits are expected to result from the use of the new method, equipment for which was built in Sylvania Electric's Commercial Engineering Laboratory.
SYLVANIA ELECTRIC
SYLVANIA ELECTRIC PRODUCTS INC., Emporium, Pa.
MAKERS OF RADIO TUBES; CATHODE RAY TUBES; ELECTRONIC DEVICES; FLUORESCENT LAMPS, FIXTURES, ACCESSORIES; INCANDESCENT LAMPS
It's simple arithmetic
Do ALL GAGE BLOCKS + Do ALL GAGE ACCESSORIES
ALL KINDS OF SPECIAL GAGES
GO-NOT GO
HEIGHT GAGE
LOCATING GAGE
SCRIBER
SNAP GAGE
Where DoALL Gages Are Made
Write for new QUALITY CONTROL BOOK
DoALL INDUSTRY'S NEW SET OF TOOLS
CONTINENTAL MACHINES, INC.
1366 S. Washington Ave. • Minneapolis 4, Minn.
Sales & Service Offices: Baltimore, Birmingham, Boston, Chicago, Cincinnati, Cleveland, Dallas, Dayton, Denver, Detroit, El Paso, Erie, Grand Rapids, Hartford, Houston, Indianapolis, Kansas City, Los Angeles, Milwaukee, Minneapolis, New York, Orlando, Philadelphia, Pittsburgh, Providence, Reading, Rochester, Rockford, St. Louis, San Francisco, Seattle, St Louisville, Syracuse, Toledo, Tulsa.
ELECTRONICS — April 1945
Produced for 1/3 the cost of machined parts, these GOAT PRECISE-FORMED STAMPINGS are definitely superior in quality.
For example, the cold working required to coin the raceway was calculated to bring the phosphor bronze to maximum hardness. This materially increased the life of the bearings because the machined bronze retainer rings could not be hardened beyond the initial hardness of the stock.
The smooth mirror-like "free from tool marks" surface of the coined raceway introduced less friction than when it was machined, thereby improving the performance of the bearings.
Furthermore, all the principal dimensions of the GOAT PRECISE-FORMED Stampings were uniformly held to a tolerance of ± .0005". In contrast, it was very difficult to produce on screw machines a part as thin as .028" with this tolerance.
GOAT specializes in the design and fabrication to close tolerances of small intricate, drawn, formed, stamped coined and sized metal parts. GOAT is particularly qualified to fabricate the most difficult working metals and alloys, such as Tantalum, molybdenum, nickel and metal alloys, monel, tungsten, stainless steel, beryllium, copper, etc.
ENGINEERS
DESIGNERS
SEND US YOUR PROBLEMS!
GOAT METAL STAMPINGS, INC.
AFFILIATE OF THE FRED GOAT CO., INC. • EST. 1893
314 DEAN ST., BROOKLYN 17, N. Y.
highly inductive, and the partial remedy for this condition when the inductance is shunted by a resistance.
Also of interest is the effect of a counter electromotive force on the grid control characteristic, particularly in the case of the inverse-parallel circuit when the hold-off period of the incoming thyatron widens from the usual 180 degrees and approaches 360 degrees.
Rectifier Data Sheets
The current and voltage wave forms at different parts of the circuit are tabulated for the more common single-phase and bi-phase half-wave rectifier circuit combinations in a two-part presentation, "Gaseous Rectifier Circuits" starting in the April, 1945 issue of ELECTRONICS. These examples will serve as a pattern for the instructor who wishes to complete all of the circuit combinations. It is interesting and instructive to predict these various wave forms, then verify them on the equipment.
Copies of the photographic diagram (using industrial rather than electronic symbols) and a drilling templet of this instrument with more detailed information concerning the construction, etc., may be obtained by writing to Mr. A. C. Stevens in charge of Educational Sales, General Electric Company, Schenectady, N. Y.
Mercury Vapor Detector for Plants
Designed particularly for use in industries such as chemical, smelting, metal-mining, and electrical apparatus, a new electronic detector instantaneously detects the presence of mercury-vapor concentrations in the atmosphere. In these fields, mercury-vapor concentrations must be kept below the toxic limit (1.2 parts mercury vapor in 100,000 parts of air by volume, for continual breathing) to safeguard the health of employees.
Announced by the Special Products Division of G-E, the detector measures directly concentrations as high as one part in three million parts of air by volume and as low as one part in two hundred million parts, with an accuracy of approxiSPEED NUTS OVER TOKYO
Boeing uses thousands of SPEED NUTS on every B-29 Superfortress to make them lighter, faster and deadlier.
Photos courtesy of Boeing Aircraft Company
SPEED NUTS HELP THESE BOEING WORKERS BOOST B-29 PRODUCTION
TINNERMAN PRODUCTS, INC.
2106 Fulton Road, Cleveland 13, Ohio
In Canada: Wallace Barnes Co., Ltd., Hamilton, Ontario
In England: Simmonds Aerocessories, Ltd., London
Speed Nuts
FASTEST THING IN FASTENINGS
ELECTRONICS — April 1948
MICRO SWITCH Provides Automatic, Precise Operation FOR THIS SIMPLEX BORING MACHINE
Ruggedness and dependability of the sensitive "Micro Switch" snap-action switches is amply illustrated by their use in the automatic control of the Simplex Precision Boring and Facing Machine made by the Stoker Unit Corporation of Milwaukee, Wisconsin.
Every step in the operation of this precision machine, designed for boring and facing shells, is controlled by the use of nine switches so located as to regulate the sequence of operations of the automatic cycle.
This machine consists of a fixture and spindle head. The fixture rotates about a horizontal axis and is hydraulically indexed to four different positions in each complete cycle. The "Micro Switch" snap-action switches automatically control the feeding cycle on the table which carries the three-spindle boring head. Four of these switches are visible in this illustration.
Here is How it Works . . . Loading and unloading of the machine is controlled by Type LK limit switch 'A'. This switch, when actuated by the movement of the dog, energizes two timers, which provide a "dwell" and also a time cycle on a solenoid which furnishes a return to the table.
Steel clad switch "B" controls the limit of the return table travel after the boring cycle is completed.
As the head travels up to the work, the dog trips steel clad switch "C" which opens to de-energize a solenoid allowing a coarse feed travel. At the completion of the coarse feed travel, a dog contacts steel clad switch "D" which closes to energize another solenoid giving a fine feed travel.
Five other switches, not visible, control operations of the spindle motor and the coolant pump and regulate the speed of operation.
Do You Need a Switch To . . . control temperatures, help to package products, bottle fluids, record airplane flights, make change, dispense drinks, heat water, control electronic tubes, or steer ships? "Micro Switch" snap-action switches successfully control many such operations . . . and thousands more.
"Micro Switch" engineers, experienced in the application of millions of these precise snap-action switches to products for both war and peace, will be glad to show you how they can add long life and reliability to your product at lower cost. Write for the "Micro Switch" Handbook-Catalog today.
LET'S ALL BACK THE ATTACK BUY EXTRA WAR BONDS
The basic switch is a thumbsize featherlight, plastic enclosed, precision snap-action switch. Underwriters' listed and rated at 1200 V. A., at 125 to 460 volts a-c. Capacity on d-c depends on load characteristics. Accurate reproducibility of performance is maintained over millions of operations. Basic switches of different characteristics are combined with various actuators and metal housings to meet a wide range of requirements.
HOW TO Cut Costs and "Corners" ON YOUR BLANKING DIES
You can save steel and time in the making of dies for blanking, trimming, beading, or any application involving the cutting of sheet metals to regular or irregular shapes, by assembling them from FCC Composite Steel Die Sections.
These prefabricated die parts consist of fine tool steel cutting edges, in a selection of grades, electrically welded by a special process to non-hardenable mild steel bases. Thus, screw and dowel holes may be easily drilled after heat treating, and there are numerous other advantages that will be immediately obvious to the die maker.
Thousands of die shapes may be made up from combinations of thirty-five standard sections. Specially shaped sections are manufactured to customers' specifications in five to ten days.
Prompt delivery under CMP.
WRITE FOR ENGINEERING DATA
It contains a print showing the various standard shapes available for quick shipment, and explains how to order special shapes, including rib-reinforced extra high sections. It also contains prices. Get your copy—write for it today.
ADDRESS DEPT. E-32
Allegheny Ludlum STEEL, CORPORATION Forging and Casting Division DETROIT 20, MICHIGAN
YOU Can't Strip THREADS WITH THE LIVERMONT ROTO-TORQ IT WON'T OVERTIGHTEN
Simple adjustment from 1" lb. to 25" lbs. Either socket head wrench or self-contained crank adjustment.
Easily read... Indication of torque setting.
New Positive Spring Principle Not Controlled by Friction
Slips here when proper torque load is reached... can't overtighten... won't break or strip screws, nuts or bolts... prevents damaging materials.
ROTO-TORQ assures uniform predetermined tension on screws, nuts and bolts, thus standardizes assembly. It is a feather-weight tool, but can take a beating. The comfortable handle provides either a firm grip or finger tip action; and the tool is balanced for continuous use with minimum fatigue.
Either square drive or Stanley tip holder as desired.
Write for Catalog
Richmont Inc.
215 West 7th Street, Los Angeles 14, California
mately 5 percent. When set at its highest point of sensitivity, it is also capable of measuring with reasonable accuracy concentrations as low as one part in a billion. It will also detect mercury if it is carried by a gaseous medium whose spectral absorption band does not overlie the 2537 Angstrom wavelength.
The detector draws air from the atmosphere at the rate of one-quarter to one-half a cubic foot per minute through a cylindrical absorption chamber which contains an ultraviolet lamp and a phototube. Normally, the lighted ultraviolet lamp permits normal current to flow through the phototube, but the presence of mercury-vapor in the air drawn into the absorption chamber intercepts and scatters the ultraviolet light, thus reducing the phototube current. This unbalances a bridge circuit so that the drop in phototube current is electronically translated into an upscale reading on the indicating microammeter of the detector.
Instantaneous detection of mercury vapor in the air of industrial plants is made with this G-E instrument. It measures concentrations as small as one part in 200,000,000.
Dielectric Heating in Woodworking Industry
To raise the temperature at the center of a six-inch block of wood to 280 degrees F takes nine hours when conventional heating methods are used. The same result can be achieved in four minutes by the application of electronic dielectric heating.
An increase in the production rate of glued wood aircraft spars
POWER TUBE ANODES
Standard or Special Types
Stackpole Power Tube Anodes are "tailor-made" for the specific tube type involved. Whether your need is for a standard type or something new for a tube type that has never been made before, Stackpole engineering is well equipped to serve you. Years of experience throughout the entire and highly ramified power tube field are your assurance of the closest possible match to your specifications—or samples which may enable you to set a new, higher standard for your present anode specifications.
STACKPOLE CARBON COMPANY
St. Marys, Pa.
Continuously Adjustable Carbon Rheostats (CARBON PILES)
WRITE FOR THIS NEW BOOKLET
Stackpole Engineering has developed the Continuously Adjustable Rheostat formed of piles of carbon discs to a state of efficiency where it is now being used and considered for applications heretofore reserved for rheostats of other, but less satisfactory types. Write for new Bulletin, just off press, describing this development in detail.
STACKPOLE
"EVERYTHING IN CARBON BUT DIAMONDS"
No mere automatons are the girls who tend machines in Remler factories. They know how to make minor adjustments to keep equipment in top running condition; they learn the operation of several machines and switch from one to the other to lessen fatigue. The machines are "beauties" too. In many instances they have been designed by Remler engineers to perform multiple tasks which save time and speed up deliveries. For complete sound transmitting systems; radio, plugs, connectors and special electronic devices manufactured to order, consult—
REMLER COMPANY, LTD. • 2101 Bryant St. • San Francisco, 10, Calif.
REMLER
SINCE 1918
Announcing & Communication Equipment
PLUGS & CONNECTORS
Signal Corps • Navy Specifications
| Types | PL | NAF |
|-------|------|-----|
| 50-A | 61 | 74 | 114 | 150 |
| 54 | 62 | 76 | 119 | 159 |
| 55 | 63 | 77 | 120 | 160 |
| 56 | 64 | 104 | 124 | 291-A |
| 58 | 65 | 108 | 125 | 354 |
| 59 | 67 | 109 | 127 | |
| 60 | 68 | 112 | 149 | |
| PLP | PLQ | PLS |
|------|------|-----|
| 56 | 65 | 56 | 65 | 56 | 64 |
| 59 | 67 | 59 | 67 | 59 | 65 |
| 60 | 74 | 60 | 74 | 60 | 74 |
| 61 | 76 | 61 | 76 | 61 | 76 |
| 62 | 77 | 62 | 77 | 62 | 77 |
| 63 | 104 | 63 | 104 | 63 | 104 |
| 64 | 64 | | | | |
OTHER DESIGNS TO ORDER
April 1945 — ELECTRONICS
ROLLER-SMITH 4.5" PANEL INSTRUMENTS...
for Quick and Accurate Readings
Where panel conditions permit their installation these 4.5" semi-flush Bakelite case instruments provide maximum readability. Scale length of d-c instruments is $3\frac{1}{8}$ inches and for a-c instruments is $3\frac{3}{16}$ inches. All instruments except rectifier types are accurate within 1% of full scale value at any point on the scale. Rectifier types, approximately 5%.
Incorporating the long life and dependability developed during 40 years of fine instrument manufacture, R-S 4.5" panel instruments have a diversified field of application which includes: Radio Transmitters; Control Panels; Battery Testers and Chargers; Electronic Tube Testers and Analyzers; Automotive Analyzers; Instrument Test Units; Sound Movie Equipment; Motion Picture Control Panels; Arc Welding Equipment; Experimental and Amateur Radio; General Electrical Laboratory Testing; General Communications, etc.
Any practical range can be supplied on short notice in d-c and a-c (Repulsion iron-vane and Rectifier type) models, with single or multi-range scales. Correspondence is invited.
OTHER R-S INSTRUMENTS: Panel, switchboard and portable instruments of practically every standard size, shape, capacity, type and style are included in the R-S line of electrical instruments. Shown here are (upper) 3.5" Miniature Panel Ammeter conforming to American War Standard C39.2-1944 and (lower) "Steel-Six" Portable Ammeter.
and don't forget... BUY WAR BONDS
ROLLER-SMITH BETHLEHEM, PENNA.
Canadian Plant: ROLLER-SMITH MARSLAND, LTD., Kitchener, Ontario
STANDARD AND PRECISION ELECTRICAL INSTRUMENTS • AIRCRAFT INSTRUMENTS • SWITCHGEAR • AIR AND OIL CIRCUIT BREAKERS • ROTARY SWITCHES • RELAYS • PRECIS ON BALANCES
INDUSTRIAL SOUND EQUIPMENT
Available from Stock
NOW, you can quickly obtain all the benefits of modern, high quality Public Address, at low cost. KNIGHT Sound Systems, long proved by use in Industry and the Armed Services, can be shipped promptly from stock on priority rated orders.
With a KNIGHT System, you can relieve busy switchboards . . . quickly reach anyone in plant or office . . . reduce employee fatigue thru music. Increased efficiency and production more than pay for the sound installation.
Illustrated above is the KNIGHT 60-Watt Industrial Sound System with highly efficient reflex type trumpets. Assures clear, powerful voice and music reproduction. Adequately covers up to 200,000 sq. ft. of floor space, depending upon the existing noise level.
Complete system as shown, net . . . $278.81
Other systems and accessories available to meet each requirement.
Write, Wire or Phone Haymarket 6800.
ALLIED RADIO CORPORATION
833 W. Jackson Blvd. • Dept. 24-D-5 • Chicago 7, Illinois
SUPPLIERS OF ELECTRONIC PARTS AND EQUIPMENT TO INDUSTRIAL AMERICA
Electronic Tubes, Rectifiers, Power Supplies, Intercommunicating Systems, Sound Systems, Photo-Cell Equipment, Batteries, Chronometers, Clocks, Generators, Supplies for Resistance Welders, Fuses, Test Instruments, Meters, Broadcast Station Equipment, Relay Contacts, Capacitors, Resistors, Transformers, Switches, Coaxial Cable, Wire, Soldering Irons, Microphones, Speakers, Technical Books, etc.
Production Testing of Swivel Joints
Use of an unbalanced bridge circuit for testing communications systems in Martin electric turrets has resulted in a saving of 600 percent of the time originally used for this testing work.
Developed by an engineering quartette, George Andrews, Leo Douville, Harold Horner and Herman Roemer, all of Glenn L. Martin Company, the tester is used for testing swivel plugs and permits acceptance only of components which meet manufacturing specifications. The wiring problem, due to
LOW-LOSS—DESPITE HEAT AND HUMIDITY
BM-16981 is a new phenolic, mica-filled molding material with extraordinary low-loss characteristics under hot, humid conditions. BM-16981, indeed, retains its superior insulation qualities after long periods of immersion—greatly surpassing in this important respect all other mica-filled phenolics tested by the Bakelite Laboratories.
With its extreme resistance to water absorption, its excellent dielectric properties, and good molding qualities, BM-16981 brings you the opportunity to improve the performance of molded parts in applications subjected to heat and high humidity.
Specify BAKELITE molding material BM-16981 for completely new measures of service where atmospheric conditions are generally unfavorable for electrical insulation. Department 7 will be glad to send you detailed information upon request.
BAKELITE CORPORATION
Unit of Union Carbide and Carbon Corporation
30 East 42nd Street, New York 17, N.Y.
ELECTROSTATIC VOLTMETER
For Accurate Measurement In High Impedance Circuits
PORTABLE PROJECTING FLUSH
RANGES
0-150 Volts
0-300 Volts
0-450 Volts
0-600 Volts
0-750 Volts
0-1000 Volts
0-1500 Volts
0-2000 Volts
0-2500 Volts
0-3000 Volts
0-3500 Volts
FEARANTI ELECTRIC, INC.
Ferranti Electric, Ltd., Toronto, Canada • Ferranti, Ltd., Hollinwood, England
30 ROCKEFELLER PLAZA
NEW YORK, N. Y.
April 1945 — ELECTRONICS
Here is advanced Relay Engineering!
**TYPE BN**
The Allied 6-pole, double-throw BN type embodies many new improvements for heavy duty 6-pole switching... permits individual adjustment of contacts. Molded Bakelite is used throughout the relay. Contacts are rated at 10 Amperes. As in all Allied relays, the BN is designed for compactness and minimum weight. May be furnished normally open or normally closed or double-throw. Available in AC or DC. Weight 11 oz. Write for complete operating characteristics, etc.
Height: 2 9/16" Length: 3" Width: 1 23/32"
**TYPE CN**
The CN relay is the result of advanced engineering technique and succeeds Allied's successful AN type... a power relay expressly designed for breaking heavy current. Contact rating is 50 Amperes at 24 Volts DC with silver contacts; with alloy contacts the contact rating is 75 Amperes at 24 Volts DC. (The latter arrangement with the alloy contacts is known as the CNS type.) The contact arrangement is single pole, single throw, double break, normally open or normally closed. The new design incorporates molded Bakelite insulation, greater electrical clearance and over-all improved mechanical structure. Available in AC or DC. Complete data on request.
Height: 2 1/2" Length: 2 1/4" Width: 2"
The two relays described above are typical examples of the many new types of relays Allied is constantly designing for its customers' widely diversified requirements.
Allied's engineering staff continually works to improve relay designs and to develop new magnetic control devices for present and future manufacturers whose products require electrical control. The highly practical accumulated knowledge of these men is at your command. Send us your control problems!
ALLIED CONTROL COMPANY, INC.
2 EAST END AVENUE (at 79th Street) NEW YORK 21, N. Y.
FACTORIES: NEW YORK CITY • PLANTSVILLE, CONN.
ALLIED CONTROL CO. OF CALIFORNIA, INC. • 1633 SOUTH HOPE STREET • LOS ANGELES 15, CALIFORNIA
ALLIED CONTROL COMPANY, INC. • 4321 NORTH KNOX AVENUE • CHICAGO 41, ILLINOIS
TODAY...and TOMORROW!
Today, the world over, many of the machines and devices of war are shaping the peaceful pursuits of tomorrow. Out of the holocaust of battle will emerge new horizons of human comfort, convenience and safety. The science of electronics marches on!
Today, and every day, Temple engineers and technicians are toiling on new problems, developing new products, improving old ones—dedicated to the task of insuring final Victory—and inspired, as well, to anticipate the peacetime demands of tomorrow.
Temple
Electronics Division
TEMPLETONE
RADIO MFG. CORP.
New London, Conn.
Panel view of the swivel joint tester used on communications equipment for Martin electric turrets. It measures leakage between contacts and resistance of contacts.
leakage in the tester, was a complicated one.
The instrument makes both an insulation test at 100 megohms and a continuity test at 0.02 ohms. In the insulation test, an unbalance is set up when the leakage between contacts is less than 100 megohms. Detected by the electronic equipment, this causes a relay to operate, automatically lighting an indicator signal. This light has to be released before tests can continue on other circuits.
Continuity of the contacts is checked by passing approximately three amperes through each circuit and measuring the voltage drop as indicated on a meter. An open circuit unbalances the bridge and causes the red light to glow. An acceptable circuit is indicated on a calibrated meter.
Greater acceptance and increased production of ZIRMET (FOOTE DUCTILE ZIRCONIUM) for gettering (purity 99.9% +) permits...
50% PRICE REDUCTION
Now costs only 2¢ to 3¢ per tube
Need approximately but one-eighth square inch of .003" or .005" sheet for a continuous getter in usual sizes of tubes.
- Ductile Zirconium can be used in all types of tubes, including mercury vapor rectifiers.
- Readily spot welded to tantalum, molybdenum, nickel, etc.
- Corrosion resistant.
- Ease-of-use effects savings in production costs.
- Non volatile (produces clear tubes)
- Best temperature: 400°C. or over.
ZIRMET (FOOTE DUCTILE ZIRCONIUM) IS NOW AVAILABLE IN PRODUCTION QUANTITIES OF SHEET, WIRE OR ROD
Write immediately for details and quotation.
WHERE SIZE IS A SCIENCE
This is one of many types of mills used by Foote for producing from ores and minerals the grindings and granulations consumed by industry. The all-important control of particle size through grinding, and the processes related to grinding such as tabling, calcining, drying and magnetic separation are reduced to a science at Foote's three plants.
Foote MINERAL COMPANY
A Step Ahead in Industrial Ores and Chemicals
PHILADELPHIA • ASBESTOS • EXTON, PENNSYLVANIA
Home Office: 1617 SUMMER STREET, PHILADELPHIA 3, PA.
West Coast Repr.: Griffin Chemical Co., San Francisco, Calif. • English Repr.: Ernst B. Westmen, Ltd., London, Eng.
At last...a high capacity Relay engineered for high altitude performance...HERMETICALLY SEALED against MOISTURE, HUMIDITY, EXPLOSIVE VAPORS, DUST, PRESSURE CHANGE, and CORROSION.
Regardless of how high aircraft ceilings are bumped...this is a relay that can take the ride.
Laboratory models have been completed and tested...CEILING UNLIMITED.
LIGHT and COMPACT—models illustrated weigh approximately 5 ounces; overall dimensions approximately: Height, 2"; width, 1 3/8".
TAMPER PROOF.
CONTACT RATING—20 to 25 amps inductive load at 30 volts.
Meets winterization requirements.
Unit has withstood Army test, including overload; vibration 55 cycles per second with .06' excursion; acceleration of 10 gravity units; salt spray tests of 240 hours duration.
This is the Relay of the future...also worth your consideration in many commercial installations.
Here's a
200 kw R. F. Generator
TO SPEED INDUCTION HEATING
Another advance in radio frequency heating equipment is this Westinghouse Radio Frequency Generator for induction heating.
This 200kw generator is a complete power source, built with all the performance characteristics of Westinghouse industrial equipment. Timing, for example, is automatic according to a predetermined load cycle and power consumption is determined by the work being done.
Consecutive heats can be repeated automatically without interruption or duplicated at any future time with accuracy. Once the generator is adjusted to a process, operation requires only pushing buttons and setting dials to calibration data.
The 200kw generator is one of a complete Westinghouse line including 2, 5, 10, 20, 50 and 100kw sizes. For more information, ask for Descriptive Bulletin 85-800, or give your nearest Westinghouse representative your specific problem. Westinghouse Electric & Manufacturing Co., P. O. Box 868, Pittsburgh 30, Pa.
This 200kw, 450kc r.f. generator may be installed adjacent to the work, or at a remote point. Lead-front construction safeguards operators. From left to right, cubicles contain rectifier and control panel, radio frequency oscillator and tank circuit.
Electronic Detection of Deception
By Dr. JOSEPH F. KUBIS
Associate Professor of Psychology
Fordham Univ., New York City
The application of electronic and electrical techniques to the broad field of human emotions, and especially to the detection of deception in normal and abnormal subjects, involves fundamental reactions whose utilization for lie-detection purposes can be traced back to the days of ancient Greece. According to history, the doctor of a certain king felt the pulse of a subject during questioning, to detect changes in blood pressure associated with emotions accompanying deliberate lies.
Around 1900, word lists developed by Jung were in vogue for lie detection, with the subject speaking the first word that came into his mind after hearing a word on the carefully prepared list. Differing reaction times for words pertaining to the crime in question, as compared to neutral words, often pointed to lies in previous testimony.
In Russia, one scientist picked up finger tremors during questioning, with favorable results. Next came observation of respiration during cross-examination, continuous observation of blood pressure, and the continuous and simultaneous recording of both respiration and blood pressure with the Keeler polygraph now in use by many police departments. This instrument gives from 75 to 85 percent accuracy, but interpretation of the record pattern requires considerable skill. Oftentimes the variations traced on the paper by the recorder are so slight that they are interpreted with difficulty.
All lie detectors are based on the fundamental principle that the telling of a lie creates a situation of conflict and attendant emotional disturbance within the individual. Though internal, this disturbance may be expressed in many ways, such as blushing, paling, perspiring, shaking, fidgeting and the like. The clever or habitual liar can with a little practice easily conceal such observable reactions, but he cannot repress or control certain involuntary reactions, such as minor variIf your application requires a specially designed relay Guardian engineers can be of great help to you. But, as a result of their wide experience in designing "specials" they have evolved a standard design so flexible that it is now specified in numerous applications that would ordinarily require a specially designed unit. Perhaps you can use it in your "special" application... with a saving in money and delivery time. This unusually flexible relay is the SERIES 345. Its chief features are the large coil winding area, numerous contact combinations, the non-binding pin type armature hinge pin, its resistance to shock and vibration, and an ability to operate in extremes of temperature. It is now being used in aircraft, radio, and other exacting applications to insure dependable performance.
STANDARD SERIES 345—The ample coil winding area of the SERIES 345 gives you a wide range of windings for various voltages and currents. Coil winding area is approximately .75 cubic inches. Average power required is 3.56 watts with three pole, double throw contacts of 12½ amp. capacity. Coils are available for either A.C. or D.C. operation.
The maximum switch capacity of the Standard Series 345 is three pole, double throw. Contacts are rated at 12½ amperes at 110 volts, 60 cycles, non-inductive A.C. Moving contacts are attached to but insulated from the armature by a bakelite plate. Terminals are solder lugs. Weight is 6½ ounces.
SERIES 345 RELAY
VARIATIONS OF THE WINDING—Multi-wound coils are available for operation on two or more circuits. Or coil may be wound to operate on the discharge of a 3 mfd. condenser.
CONTACTS—Normal switch capacity is three pole, double throw; maximum switch capacity may be up to six pole double throw with 12½ amp. contacts, or any variation of contact combinations within this range, including the operation of contacts in sequence. The flexibility of the contact springs may be increased through the use of coil spring rivets.
TIME DELAY—On D.C. coils a time delay of 0.25 seconds on release or 0.06 second on attract may be achieved through the use of copper slugs which require these time intervals for saturation or de-energizing depending on whether they are used on the heel or head of the coil.
DUST COVER—For applications where this relay may be subject to injury or in atmosphere where dust may be present in sufficient quantity to impede operation, the SERIES 345 may be equipped with a metal dustproof cover.
SCREW TERMINALS—Screw type terminals are optional for applications where terminals must be disconnected occasionally or where solder lug terminals are not otherwise practical.
INTERLOCKING: Here the series 340 a-c relay is coupled with the d-c coil of a series 405 short telephone type relay in an overload application. Under normal conditions the series 340 contacts are mechanically held in a closed position. Normal current flows through the series 405 coil and then through the series 340 contacts to the circuit for which overload protection is desired. Excessive current, however, energizes the series 405 coil releasing the locking arrangement and breaking the series 340 contacts. Push button control resets to normal but is ineffective if current is still excessive.
SERIES 345 RELAY DATA
| Normal Volts | Minimum Volts | Normal M.A. | Minimum M.A. | Coil Resist. | Normal Wattage |
|--------------|---------------|-------------|--------------|--------------|----------------|
| 6 | 4.8 | 600 | 480 | 10 | 3.56 |
| 12 | 9.8 | 300 | 245 | 40 | 3.56 |
| 24 | 18 | 148 | 111 | 162 | 3.56 |
| 32 | 25.6 | 112 | 89 | 287 | 3.56 |
| 115 | 92 | 31 | 23 | 3720 | 3.56 |
Minimum operating wattage.......................... 2.3
If you will write us about your relay problems our engineers will be glad to make recommendations which may save you time and money. Should you desire a quotation, please mention quantity.
GUARDIAN ELECTRIC
1625-D W. WALNUT STREET CHICAGO 12, ILLINOIS
A COMPLETE LINE OF RELAYS SERVING AMERICAN WAR INDUSTRY
At last...a truly satisfactory answer to the urgent need for a tropicalized electrical indicating instrument
Glass-to-Metal Hermetically Sealed 2½" and 3½" Instruments by Marion
Utilizing an entirely different design and construction approach, Marion engineers have completely licked one of the toughest problems ever assigned to our industry. By building the mechanism into a protective cup-like frame, and then sealing the glass cover to the metal rim, unequivocable hermetic sealing has been achieved with a minimum number of seals.
- There are no rubber gaskets, no cement seals.
- Can be immersed in boiling brine solution for weeks without deterioration of seals.
- Windows are of double thickness tempered glass processed for solder sealing, and are highly resistant to shock.
- Instruments are completely dehydrated and are filled with dry air at sea level pressure.
- A newly designed crowned crystal permits greater scale length, reduces shadows, and makes for better visibility.
- Magnetic shielding permits interchangeability on any type of panel without affecting calibration; can be supplied silver plated for extra R.F. shielding.
- Silver clad beryllium copper hair springs reduce zero shift at all temperatures.
- Standard Kovar glass bead type terminals with solder lugs.
- Special phosphate finish on cases meets two-hundred-hour salt spray test.
- Window sealing process developed and perfected in cooperation with engineers of the Corning Glass Co.
- Instruments manufactured in accordance with AWS Spec. C-39.2 1944 plus hermetic sealing.
TYPE HM 2 DIRECTLY INTERCHANGEABLE WITH AWS TYPE MR 24 AND 25
TYPE HM 3 DIRECTLY INTERCHANGEABLE WITH AWS TYPE MR 34 AND 35
Available in all DC ranges. Write for additional details
MARION ELECTRICAL INSTRUMENT COMPANY
MANCHESTER, NEW HAMPSHIRE
Unstable voltage on commercial power lines is so prevalent that many manufacturers of electrical and electronic equipment have found it necessary to warn their customers of its existence and its possible effects on the operation and efficiency of the equipment.
There is an easy and inexpensive solution to this important problem—specify a SOLA CONSTANT VOLTAGE TRANSFORMER as a component part of your equipment. There are several types of SOLA CONSTANT VOLTAGE TRANSFORMERS specially designed for this purpose—small, compact units in capacities ranging from 10VA to several KVA. Other capacities and designs can be custom built to your specifications.
Once installed in your equipment they require no pampering or supervision. They are fully automatic, instantly correcting voltage fluctuations as great as ±15%. They are self-protecting against short circuit.
No sales manager will overlook the added salability of a product that features this guarantee of performance, low maintenance cost and satisfaction to the user.
SOLA engineers with wide experience in the application of the SOLA CONSTANT VOLTAGE principle are available for consultation on details of design specifications.
Warnings against unstable voltages are unnecessary on equipment protected with built-in CONSTANT VOLTAGE
To Design Engineers:
Complete, new hand-book of Constant Voltage Transformers available on request.
Ask for Bulletin DCV-102
For more than 10 years
we have been manufacturing crystals. Not only are we crystal manufacturers, but crystal specialists as well. Consult us on your "crystal problems".
PETERSEN RADIO CO.
Council Bluffs, Iowa
CRYSTALS EXCLUSIVELY SINCE 1934
These simple metal electrodes, held in the palms by straps, are the only connection to the subject during a deception test with the Fordham Pathometer.
psychologist and founder of the Department of Psychology at Fordham University, in the development of his ink-recording psychogalvanometer, called the Pathometer. When this instrument is used to pick up and record the variations in resistance between two points on the skin during questioning, a single recording provides easily interpreted indications having better than 98 percent accuracy in the diagnosis of guilt and innocence. The suspect feels nothing and hence has no opportunity to control the involuntary electrical changes occurring at the surface of his skin. No diagnosis of guilt or innocence made with this equipment has yet been contradicted by later evidence, and already over 300 criminal situations have been diagnosed with the aid of the Pathometer. Although applied chiefly to criminal cases largely in cooperation with police authorities, it has been more recently used by the armed forces and also in connection with the diagnosis of mental disorders.
The Fordham technique involves attaching a german silver electrode in the palm of each hand with a simple strap or bandage, applying a direct voltage of from $1\frac{1}{2}$ to $22\frac{1}{2}$ volts
CONCENTRICITY...
For Uniform Transmission Characteristics in High Frequency Lines
In coaxial cables, more than in any other types, accurate relationship between the component parts is essential.
Concentricity and uniformity of conductors and dielectric join in Anaconda Coaxials to effectively fulfill the objectives of electrical designers.
Each type is specifically designed to serve best in the intended application. All electrical characteristics are held within close limits to uniform standards assuring accurate surge impedances.
In addition to manufacturing standard types of coaxial cables, Anaconda offers research and engineering facilities to meet needs for specialized types.
ANA CONDA COAXIAL CABLES:
Anaconda coaxial cables are made in a variety of types to Army-Navy specifications.
ANA CONDA WIRE & CABLE COMPANY
GENERAL OFFICES: 25 Broadway, New York City 4
CHICAGO OFFICE: 20 North Wacker Drive 6 • Sales Offices in Principal Cities
Subsidiary of Anaconda Copper Mining Company
ELECTRONICS — April 1945
"CONTROL OF THE AIR" has a new meaning today
Yes, we're talking about a different kind of air control than that established by Allied fighters and bombers. For the air today is full of high-frequency impulses, launched by varied types of radio and electronic equipment and performing varied functions of communication, detection, ranging and safeguarding. From compact mobile radio sets to highly intricate radar equipment, Delco Radio products are helping to bring new "air supremacy" to America's armed forces. Delco Radio Division, General Motors Corporation, Kokomo, Indiana.
KEEP BUYING WAR BONDS
Delco Radio
DIVISION OF
GENERAL MOTORS
201 SERIES Rectifiers
TYPE 201A RECTIFIER. Designed to furnish filament and plate current to line amplifiers such as the Langevin 102 Series. Delivers 275 V. at 75 M.A., 6.3 V. at 8 A. Length 10½". Width 5½". Maximum height 6½" (5½" above, 1" below mounting chassis). Occupies one third Langevin Type 3A mounting frame.
Type 201 Series Rectifiers consist of Type 201A, described above, and 201B. Type 201A is supplied with a single filter stage, whereas Type 201B has a dual filter stage. Latter type designed to supply filament and plate power for quiet pre-amplifiers such as Langevin Type 106 or 111. In addition supplies associated line amplifiers such as Langevin 102 Series. These units possess excellent regulation and low ripple content.
Send today for complete engineering information about these and other Langevin apparatus.
The Langevin Company
INCORPORATED
SOUND REINFORCEMENT AND REPRODUCTION ENGINEERING
NEW YORK
37 W. 65 St., 23
SAN FRANCISCO
1050 Howard St., 3
LOS ANGELES
1000 N. Seward St., 38
Small, but OH, MIGHTY!
Yes, here is a mighty important little unit designed and developed by Cook engineers. Here is a small relay, one of the "400" series of Cook relays (illustration above is actual size) that meets the most exacting requirements of all engineers and manufacturers. Here is a space-saver that makes no sacrifice of hardiness, accessibility, life of service or all-round quality in comparison with larger standard type relays. Like all Cook relays, the "400" is built of the finest materials. Stainless steel bearing pins for long life and permanent adjustment, new coil terminal design to prevent coil losses due to breakage of lead wires, wide spacing of spring terminals, and elongated holes to facilitate wiring, high permeable magnetic materials annealed in controlled atmosphere, coils wrapped in serving and bakelite impregnated against moisture to Air Corps specifications with single or twin contacts and single or double spring pile-ups.
Production of all types of these relays is still limited to high priority Government contracts; however, our home and field engineers will be pleased to consult with you on your post-war requirements, on this as well as all Cook products.
Sample record of a guilty person, showing consistently large reactions to questions pertaining to guilt (G), to actual possession of stolen object (P) and to knowledge of person who stole object (E)
The current is proportional to the resistance between the pick-up electrodes; both current and resistance vary as much as 10 percent for large emotional reactions, and from 3 to 5 percent for responses to questions evoking embarrassment or touching on crime but not involving personal guilt or knowledge.
The use of only one index eliminates the problem of analyzing conflicting indications encountered with other techniques. Thus, a blood pressure curve may indicate truthfulness while the respiration curve will indicate a lie.
Nature of Examination
The person examined is comfortably seated in a large arm chair facing away from the operator, so that the latter is uninfluenced by the facial expressions of the suspect. After preliminary balancing of the person into the electrical circuit, the operator proceeds with the questioning. This is done in a low monotone, special care being taken to eliminate any stress or inflection upon critical words or phrases.
The questions are prepared beforehand. They are specific to the case under investigation and are worded to obtain either a yes or no answer. A summary of the case and history of the persons involved is studied a few days before the examination as a guide for preparing the questions.
Several different sets of questions are prepared, two or three
No matter how tiny the coil
LUMARITH* C.A.
Keeps the Black Hand of Corrosion at bay
Many types of insulation, in the presence of moisture and current, create free acids highly corrosive to current-carrying copper wire. In such instances this electrolytic action is a built-in hazard.
Lumarith C.A. (cellulose acetate base) is chemically inert in electrical applications. It does not give rise to corrosion even on fine copper wire.
Many fabricators use tubing of spiral wound Lumarith C.A. film to make exceptionally strong cores. They are offered by various manufacturers in round, square and oval shapes. Other Lumarith C.A. films are available in plain or in special mat finish (A78) for easier winding. Slippage is reduced, visibility increased.
Lumarith C.A. is also supplied in thin foil for coil linings, coverings and interlayer insulation, and in molding materials for coil spools, bobbins, housings, bases and plugs. Send for the Lumarith Electrical Booklet. Celanese Plastics Corporation, a division of Celanese Corporation of America, 180 Madison Avenue, New York 16, N.Y.
"Have You Heard About the Big War Job They're Doing at Bridgeport?"
"You Bet I Have! And They'll Be Able To Do Just As Good A Job For Us After the War... I've Already Placed our Coil Business With Bridgeport."
YES, BRIDGEPORT WILL DO A BIG POSTWAR JOB
Right now, Bridgeport is turning out search coils and variometers in the huge quantities necessary to meet the needs of the armed forces, and with the quality required by exacting military specifications. That same capacity and skill will be brought to bear on your postwar orders.
Bridgeport's central location, right near the population center of America, gives you the added advantage of fast, trunk line delivery service to any point. Write to us TODAY to insure early postwar delivery of R.F. Coils and Chokes, I.F. Transformers and Transmitting Coils and Chokes.
BRIDGEPORT MANUFACTURING COMPANY
Bridgeport, Illinois
R. F. Coils • R. F. Chokes • I. F. Transformers
Transmitting Coils • Transmitting Chokes
how to tame 36,000 horsepower
Above you see the six giant propellers for one of Uncle Sam's mighty new windtunnels — where NACA research engineers are working out the designs for still faster and higher-flying planes.
Driving these 40-foot propellers are six 6000 hp motors, each weighing 57 tons. And in spite of the size of the motors, the complicated system of exciters, generators, spinning shafts and whirling propellers—the speed of each motor must be held to extreme accuracy.
By making a complete study of the system, Westinghouse engineers were able to determine the proper regulator system to do the job. It turned out to be the small, compact electronic regulator shown at the right. By responding to minute changes in speed, it automatically makes the necessary adjustments—compensating for any fluctuations in power supply or changes in load. Thus, through the delicate sensitivity of electronic tubes, it is possible to tame 36,000 hp.
Accurate speed and voltage regulation is just one of the many practical applications of electronics perfected to meet wartime demands. You may want to know more about this or other electronic developments for your industry. Your nearest Westinghouse office is ready to provide full information . . . or write to Westinghouse Electric & Mfg. Co., P.O. Box 868, Pittsburgh 30, Pa.
THE ELECTRONIC REGULATOR
Through the sensitivity of electronic tubes, this device accurately regulates the speed by controlling the voltage on the "running" generator, despite fluctuations in power supply or changes in load. It has wide applications in continuous process industries, wherever accurate control of machine speed is essential to uniformity of product.
being given on each of two days comprising the test period. The goal is to gain corroborative evidence as to guilt or innocence on two different days, possibly under different emotional conditions, on which the operator is justified in rendering judgment.
The accuracy of any lie detector depends to a great extent upon the nature of the questions used and the sequence in which they are given. In general, questions related to the crime and involving knowledge, guilt or possession are repeated frequently in various forms during the questioning period. They are interspersed with two or more so-called neutral questions like "Did you ever carry a revolver?" or "Were you ever arrested?", selected to cause emotional embarrassment larger than a normal reaction. By making the neutral questions apply to crime, though not necessarily to the guilt of the subject, the investigators secure an emotional standard that gives adequate comparative criteria.
One or two questions alone cannot indicate truth or deception; many questions must be given to note the trend in the reaction. For example, in the case of a murder suspect, a very strong reaction may be given even by an innocent person the first time that the question "Did you kill him?" is asked. Each succeeding time this question is asked, however, the reaction will...
WHY R/C CAPACITORS?
FROM start to finish R/C products are researched, engineered, designed and produced by men who "know how"—men whose sole business is the making of better variable capacitors, and has been for over 23 years.
Accurate, modern methods of production make possible a precision component, produced to meet the exacting demands of war communications as well as the specifications of manufacturers in peace.
This broad background of experience is one of which R/C is proud. It assures leaders in the Radio and Electronics fields of components which, in every respect, match the quality characteristics they demand.
RADIO CONDENSER CO.
CAMDEN, N. J.
RADIO CONDENSER CO., LTD., TORONTO, CANADA
Now!
NO PRIORITIES are necessary to purchase a Brush Surface Analyzer... Approximately two week delivery on unrated orders...
THE BRUSH SURFACE ANALYZER measures and records the irregularities as shallow as a millionth of an inch on steel... glass... plastics... plated and painted surfaces.
Ask for a demonstration at your plant.
An Illustrated brochure, SURFACE FINISH—.000001", sent on request.
At the Willow Run Bomber Plant of the Ford Motor Company, the Brush Surface Analyzer determines the smoothness of oleo strut pistons.
THE BRUSH DEVELOPMENT COMPANY
3423 PERKINS AVENUE • CLEVELAND 14, OHIO
April 1945 — ELECTRONICS
ARE YOU WORRIED ABOUT THE HOUSING PROBLEM?
Schweitzer has solved it with .00025"
Schweitzer Paper Company, one of the largest producers of condenser papers, sensed the need of a condenser paper thin enough for use in the small housings necessary for war and post-war equipment. Experiment, based on experience, enabled them to create a paper gauged to .00025" ... with a tolerance of + or - .000025". Perhaps tiny housings are not your problem... but whatever your problem may be, if it has to do with paper for condensers, coils, transformers, or other insulation purposes... you can solve it with Schweitzer.
SCHWEITZER PAPER CO.
142 MILLER STREET • NEWARK, N.J.
Plants: Newark, Jersey City, Mt. Holly Springs, Pa.
Research Laboratories: Chrysler Bldg., New York, N.Y.
The Standard of Quality for a Third of a Century
HICKOK INSTRUMENTS
ELECTRONIC and RADIO SERVICE Equipment
HICKOK Instruments have long been known as the ultimate in scientific development. Illustrated here are but 4 of our 36 leaders in the Radio Service field. Thousands of Radio Service men have preferred HICKOK Instruments because of their unusual accuracy and dependability. • HICKOK pioneered in Dynamic Mutual Conductance Tube Testing Equipment. In the field of Signal Generators, Traceometers, Vacuum tube Voltmeters, Oscillographs, Zero Current Testers, Volt-ohm-milliam-meters and Industrial Analyzers the name HICKOK is assurance of excellence.
THE HICKOK ELECTRICAL INSTRUMENT COMPANY
10527 Dupont Ave., Cleveland 8, Ohio
be less and will finally be normal as the initial startle and fear response drops to the level of the emotional standard response. However, if the subject is guilty even though denying the crime, the Pathometer trace will show almost uniformly high response each time that the pertinent question is asked.
The lie detector can only prove whether or not a man believes what he says. Thus, if a mental case who believes he is Napoleon is subjected to the test, the lie detector will invariably indicate truthfulness each time the question is asked “Are you Napoleon?”. On the other hand, it is practically impossible to fake a belief and fool the lie detector. This is important in insurance compensation cases, where people have succeeded in feigning injuries or even paralysis before the best doctors, yet cannot fool the lie detector.
The lie detector should not be used in approximately 10 percent of the cases, involving mentally unstable subjects, those in which drugs have been used, and cases where fatigue has not been eliminated.
Legal Decisions
There are at least three cases already in which the results of the Fordham Pathometer have been admitted in evidence. In 1938, for the first time in the history of lie detection, evidence based upon a deception test was introduced in court and accepted as legal evidence over the objection of the district attorney (People vs. Kenny (167) Misc. 51, 3 N.Y.S. (2d) County Ct. 1938). Deception test results were
HERE'S A SMART USE OF S.S.WHITE FLEXIBLE SHAFTS
In home radios, in commercial radios, in television and other electronic equipment, it is essential to place the various elements in positions which simplify assembly and wiring, and give optimism circuit efficiency.
At the same time, it is essential to have all operational controls centralized at a convenient point.
The pictures of the broadcast transmitter show how both of these requirements are satisfied by the use of S. S. White Remote Control Flexible Shafts—which come in a wide selection of sizes and characteristics.
Engineered and built expressly for remote control, these shafts, properly applied, operate as easily and smoothly as a direct connection—and proper application is a simple matter.
256-PAGE FLEXIBLE SHAFT HANDBOOK FREE TO ENGINEERS—
This book completely covers the subject of flexible shafts and their application, including essential technical data. Your copy will be sent free, if you will write to us direct on your business letterhead and indicate your position.
S:S.WHITE INDUSTRIAL DIVISION
THE S. S. WHITE DENTAL MFG. CO.
DEPT. E, 10 EAST 40th ST., NEW YORK 16, N.Y.
FLEXIBLE SHAFTS
MOLDED PLASTICS
MOLDED RESISTORS
AIRCRAFT ACCESSORIES
FLEXIBLE SHAFT TOOLS
One of America's AAAA Industrial Enterprises
PERMANENT MAGNETS MAY DO IT BETTER
(This is the first of four advertisements discussing the major functions of permanent magnets)
ELECTRIC CURRENT from MECHANICAL ENERGY through PERMANENT MAGNETS
The ability to create an electric current through the agency of a permanent magnet suggests to the engineer or product designer a wide range of useful applications.
Permanent magnets are able to transform mechanical into electrical energy in two ways—
1. By producing a magnetic field through which an electrical conductor is moved mechanically—as in the case of generators, magnetos and velocity or dynamic microphones.
2. By acting as a polarizing agent, where reluctance to the magnetic circuit is varied by mechanical means; for example—the phonograph pick-up and inductor type magnetos and generators.
This characteristic of the permanent magnet permits its use for the generation of electricity for actual power uses, or to produce devices for the control, detection and measurement of many materials.
Backed by 34 years of experience as the largest exclusive manufacturers of permanent magnets, our engineers will gladly consult with you on problems where the use of permanent magnets may do the job better. Write for free copy of technical booklet: "Permanent Magnets Have Four Major Jobs".
THE INDIANA STEEL PRODUCTS COMPANY
6 NORTH MICHIGAN AVENUE • CHICAGO 2, ILLINOIS
Specialists in Permanent Magnets Since 1910
COPYRIGHT 1945, THE INDIANA STEEL PRODUCTS COMPANY
April 1945 — ELECTRONICS
WHAT WILL YOU NEED TO PRODUCE BETTER POST-WAR PRODUCTS?
CORNING GLASS GIVES YOU
Special Electrical Qualities
Thermal Endurance
Hermetic Sealing
Mechanical Strength
Corrosion Resistance
Precision
Permanence
Metallizing
Dimensional Stability
High dielectric strength — high resistivity—low power factor—wide range of dielectric constants—low losses at all frequencies.
Permanent hermetic seals against gas, oil and water readily made between glass and metal or glass and glass.
Commercial fabrication to the fine tolerances of precision metal working.
Corning's metallizing process produces metal areas of fixed and exact specification, permanently bonded to glass.
AS YOU plan post-war electronic products, give a thought to versatile glass. We really mean glasses, for Corning has, at its fingertips, 25,000 different glass formulae from which to select those especially suited to your electronic applications. Let us show what glass can do for you. We may already have a solution — or Corning Research can find the answer for you. Address Electronic Sales Dept., E-4 Bulb and Tubing Division. Corning Glass Works, Corning, New York.
Electronic Glassware
"PYREX", "VYCOR" and "CORNING" are registered trade-marks and indicate manufacture by Corning Glass Works, Corning, N. Y.
Shallcross BX Processed
(PATENT APPLIED FOR)
HIGHLY RESISTANT TO MOISTURE AND FUNGUS
Applicable to Any Akra-Ohm Type
BX Processing for Shallcross Akra-Ohm Close Tolerance Wire-Wound Resistors is the culmination of extensive specialized engineering research in close conjunction with the exacting demands of the nation's armed forces.
ANTI-FUNGUS TEST—Exposed in actual outdoor conditions in which the known fungi were numerous and under an average relative humidity of 95%, no fungus or corrosion was apparent after 88 days.
SALT SPRAY—Large users have certified that BX Resistors successfully withstand 200 hours of salt spray containing 20% sodium chloride.
HUMIDITY—Production samples supplied to a leading manufacturer's laboratory successfully withstood 90 days' exposure to 90% relative humidity at a temperature of 85° F. Measured while wet, at the end of the test, the resistors were still within a few tenths of one percent of their original value!
TEMPERATURE CYCLING—Five cycles of -55° C. to +85° C. have no effect on the coating or stability of BX Processed Resistors—a fact confirmed by impartial tests in several large industrial laboratories.
Shallcross BX Processed Resistors are identified by the prefix "BX" on the standard type number. Write for details.
Radar Fire Hazard
A SERIOUS FIRE HAZARD to life and property exists when gasoline is transferred from one container to another in the vicinity of an operating radar set. High-frequency current is induced into the containers and sparks jumping between them can cause an explosion and fire. The filling of gasoline heaters in radar sets and the filling of power plant and vehicle fuel tanks near radar sets are the chief sources of this hazard. It is recommended that a radar set be shut down when it is necessary to pour gasoline from one container to another in the vicinity of the set.
Waterproofing Radio and Electronic Equipment
By Edward C. Warrick
Engineering Division
The Crosley Corporation
IN PEACE TIME, manufacturers of equipment were not concerned to any marked degree with the problem of protecting their products from extreme weather conditions since the people using this equipment took precautions to prevent harmful exposure to the elements. However, our armed forces during war time do not always have the time or facilities for properly protecting their equipment as it is sometimes operated in the rain, in fox holes and may even be floated ashore from landing craft.
Reports from the war fronts indicated numerous occasions where equipment that normally would operate many hours failed to function also accepted as evidence before a referee in a compensation court, again over the objection of the defense attorney (Industrial Board of State of New York, case No. 37514096). In New York City, a magistrate's court similarly accepted such evidence. In all these instances the subjects were tested by means of the Pathometer.
BIBLIOGRAPHY
(1) Summers, W. G., Science Can Get the Confession, *Fenham Law Review*, Nov. 1939, p. 335–354.
(2) Kubis, J. F., Medicine and Lie-Detection, *The Living Quarterly*, XI, No. 2, p. 28–30, Apr. 1943.
(3) Hoch, P., Kubis, J. F., and Rouke, P. J., Psychophysometric Investigations in Psychosis and Other Abnormal Mental States, *Psychoomatic Medicine*, VI, No. 3, p. 237–243, July 1944.
INCREDIBLY SMALL...
INCREDIBLY EFFICIENT...
Micamold PQ
(Illustrated actual size)
Silvered Mica CAPACITORS
The smallest yet—especially notable for their remarkable electrical qualities
Another MICAMOLD achievement that dovetails perfectly into advanced Radio and Radar design... admirably serving your need for a fine small capacitor to use in TUNED CIRCUITS, such as small IF transformers, tank circuits, etc.
Capacity Range: 5 mmf. to 100 mmf.*
Voltage Rating: 300 VDC Working 600 VDC Test
Tolerance: Plus or minus 5% or 1 mmf.—whichever is greater
Minimum Q: Over 2000
Temperature Coefficient: Plus or minus 100 parts/million**
Capacitance Drift: Plus or minus 0.3%**
*PQ is so small, it can only be marked with a 3-dot color code indicating capacity in mmfs.
**These figures correspond to characteristic "D" of specifications JAN - C-5.
Molded in Red XM262 (lowloss material)
Tropicalized by application of an anti-fungus wax
Available At Once
SAMPLES ON PRODUCTION QUANTITIES
MICAMOLD Radio Corporation
115 Knickerbocker Ave., Brooklyn 6, N.Y.
I.C.E.
HAS THE ANSWER TO YOUR MICROMICROFARAD PROBLEM
You don’t have to build equipment to suit the capacity of any particular condenser. I.C.E.’s advanced research now makes available to you reliable vacuum condensers in capacities ranging from 10 to 110 micromicrofarads...in steps of one micromicrofarad. I.C.E. precision assures accuracy of one micromicrofarad, plus or minus. Standard condensors available in sizes VC-12...VC-25...VC-50 and VC-100.
Order your requirements today
Send for this Complete Catalog
A new catalog, fully illustrated, describes in detail I.C.E. vacuum condensers as well as other high precision vacuum equipment. Write for your free copy today.
Research on Your Other Problems
The I.C.E. research laboratory is ready to serve you in the development and designing of tubes and other vacuum units required by electronic equipment you are now designing. Write Engineering Department today.
ELECTRONIC TUBES
RESEARCH • DESIGN & PRODUCTION
INDUSTRIAL & COMMERCIAL ELECTRONICS
BELMONT, CALIFORNIA
MEETING THE HIGHEST INDUSTRIAL STANDARDS
Nationally recognized engineering talent... sharpened by intelligent specialization... broadened by the exacting tests of war... explains, in part, PLASTIC'S amazing progress in the field of thermoplastic insulation. Also responsible are latest equipment, careful materials control, and a personnel whose loyalty and devotion is "above and beyond the call of duty." You can utilize to advantage... in today's planning and tomorrow's production... this experience and ability. Available for the asking is the "know how" which can make your product a BETTER product. You can DEPEND on PLASTIC for design... development... delivery.
PLASTIC WIRE & CABLE CORPORATION
NORWICH - CONNECTICUT
THERMOPLASTIC SPECIALISTS
ELECTRONICS — April 1945
BETTER PERMANENT MAGNETS for:
RADIO, SOUND and COMMUNICATIONS EQUIPMENT
AUTOMOTIVE and AVIATION EQUIPMENT
INSTRUMENTS
However advanced your own product-development work may be... however new or revolutionary the permanent magnets you require... Arnold engineers can be of considerable assistance to you in supplying the proper permanent magnets in volume. They're precision-built entirely in our own plant, under the closest metallurgical, mechanical and magnetic control to assure peak efficiency at the lowest cost.
NEW! Get your copy of this valuable, up-to-the-minute manual on the design, production and application of modern Alnico permanent magnets. Write us, on your company letterhead, today.
Specialists in the manufacture of ALNICO PERMANENT MAGNETS
THE ARNOLD ENGINEERING COMPANY
147 EAST ONTARIO STREET, CHICAGO 11, ILLINOIS
entirely or performed for a very short time when delivered to our fighting men. Many of these failures were due to moisture and water getting inside the cases onto the working parts during shipment, in field warehouses or in actual field service. The engineers of the Signal Corps and manufacturers were called upon to develop ways and means of combating this problem. One of the problems, moisture proofing, can be solved by waterproofing the housing of the unit in addition to the moistureproof treatment of some of the component parts.
To accomplish this all shafts, openings, windows, etc., must be sealed; all rivets and spot welded seams must be waterproofed; covers and their mountings must be properly designed. Not only must everything on or through the case be watertight, but ways and means had to be found to dissipate the heat generated inside the case.
Metal Cabinets
It had been standard practice to form a box out of sheet metal, fastening the sides or ends by riveting or spot welding. The removable side or end was held in place by screws. Louvers were often placed in the sides and back for ventilation.
To replace a case of this construction and still save as many tools as possible, a step bracket (see Fig. 1) around the entire open end of the case to carry a gasket can be added. The removable cover is made from a die casting having a locating flange to fit around the outside of the case and a V-ridge to fit into the gasket material. External clamping latches are used in place of screws. The latches are spot
Succussion* in some form... from mild vibration to heavy shock... is present around every electrical connector in service. If succussion wins, circuit efficiency drops or service stops... and costly maintenance begins.
How, then, can you be sure the connections you make, in your product or in your plant, will remain unaffected by mechanical abuse? You'll find the answer here in Burndy's torture chamber where connectors are 'pre-tested' through a rigorous physical 'workout'.
Hour after hour, they are vibrated at varying frequencies and amplitude. But in addition, very unusual methods are employed to add shock, stress and twist as well. After which their electrical resistance and strength are carefully measured to make sure there has been no change... that they are worthy of the Burndy name.
These 'physics' are but part of the thorough test procedure here in the Burndy laboratories... all aimed to assure that your circuits or equipment suffer no connection troubles in service. If you don't have the Burndy catalog, let us send you a copy. Burndy Engineering Co., Inc., 107L Bruckner Boulevard, New York 54, N.Y.
*Succussion: forcible shaking, violent shock.
ALL THIS, AND electronic switching, TOO!
- HEAVY PLATE CURRENT CAPACITY
- CONTINUOUSLY VARIABLE OUTPUT
- HIGH INVERSE VOLTAGE RATING
E-E Type 17 Rectifier "for greater efficiency!"
The electrical characteristics of the E-E 17 grid controlled rectifier have resulted in its wide adaptability in industrial applications. At condensed mercury temperature of 29 to 60° C., peak plate current is 2.5 amps., peak inverse voltage 7,500, heating time is 30 seconds, deionization 1,000 microseconds and ionization time 10 microseconds.
Desirable as the above characteristics are, the full measure of E-E17 efficiency must include consideration of application some by virtue of efficient grid control. This feature permits continuously variable rectifier output—an extremely important factor in industrial application. It also makes possible effective on and off control of output—for example in transmission keying, induction heating control, etc. For additional fulfillment of requirements, offer a full range of characteristics, completely covered in the comprehensive E-E Data Book. Write for it today.
ELECTRONIC ENTERPRISES, INC.
GENERAL OFFICES: 65-67 SEVENTH AVENUE, NEWARK, 4, N. J. EXPORT DEPT. 25 WARREN STREET, NEW YORK CITY, N. Y. CABLE ADDRESS: SIMENTRICE, N.Y.
Fungi puts the "finger" on communications!
...but Tropicalized Q-Max A-27, H.F. Lacquer offers sure protection
From the moment your communication or electrical product arrives on a Pacific beachhead, its "number is up"—unless, of course, it has been tropicalized! For Fungi and Mold, those deadly parasitic organisms that thrive in a hot, humid, tropical atmosphere, are insidious performance enemies that do not respect the finest workmanship your factory can build into any component part.
The sure, safe and effective antidote is Tropicalized Q-Max A-27, H.F. Lacquer that can easily be applied by brushing or dipping as a post-assembly operation. This dependable fungicide-and-lacquer combination offers every delicate part double-barreled protection. It offers the protection of the fungicide and that offered by the Q-Max Lacquer, long known for its good electrical characteristics and corrosion resistance. And Q-Max not only fungus-proofs the coated area, but the untreated surfaces adjacent to the treated part as well.
Send for your copy of "Tropicalized Q-Max A-27, H.F. Lacquer", a folder which supplies complete details. Specify this factory-mixed fungicidal lacquer that's non-toxic and meets Government specifications—look for the word "Tropicalized" on the Q-Max label.
Coaxial Transmission Line and Fittings
Sterling Switches
Auto-Dryaire
Antenna and Radiating Systems
Tropicalized Q-Max A-27, H.F. Lacquer
Communication Products Company, Inc.
Q-MAX CHEMICAL DIVISION: 346 BERGEN AVENUE, JERSEY CITY 5, N.J.
welded to the exterior of the sheet-metal case and latch over the die-cast cover. The louvers are omitted, and to help dissipate the generated heat, the entire inside of the case is painted black. All seams are brazed or welded their entire length and the tenons of tapped studs to be used for mountings are first dipped in a hard-setting sealing compound and then riveted to the case.
**Glands in Holes**
All shafts subject to movement are waterproofed by use of packing glands. The design of the gland is determined by the space available and the type of panel through which the shaft extends. If the panel is a die-cast or sand-cast piece where a counterbore can be utilized, then the construction consists of a circular rubber washer backed up with a metal washer. This type of construction is shown in Fig. 2. A packing nut is used to hold the rubber and metal washers in place. As the packing nut is tightened, it forces the rubber against the bottom of the counterbored hole. Since the diameter of the counterbore is just slightly larger than the outside diameter of the rubber washer, it also causes the rubber to seal around the shaft. A suitable lubricant is used on the shaft to prevent the rubber from gripping the metal.
For sheet-metal panels, a different type of gland is used. As shown in Fig. 3, this type of construction consists of a metal bushing having a rubber diaphragm vulcanized to it. The rubber diaphragm is held in place by screws through the panel and diaphragm into a back-up metal disc. These screws are dipped into a sealing compound before being
TUNING IN TOMORROW
The future events of the world will be heard and seen on "Detrola-built" instruments* of unsurpassed value and beauty.
*Radio Receivers . . . Television Receivers . . . Automatic Record Changers, and other electronic products.
KEEP AN EYE ON DETROLA RADIO
division of
INTERNATIONAL DETROLA CORPORATION
Detroit 9, Michigan
PERFECTION
The Gardenia is one of the most outstanding examples of the perfection of Nature's production lines — yet by engineering standards a failure, for no two Gardenias ever are exactly alike.
AUTOMATIC Mica Trimmers are all exactly alike — never varying in a single detail.
You will still find AUTOMATIC Mica Trimmers to be the best, for we have lost none of the "know-how" that was our special pride in pre-war days. With it we have combined much that we have learned in designing and producing military equipment. Specify AUTOMATIC Mica Trimmers in your Post-war Receivers.
AUTOMATIC MANUFACTURING CORPORATION
COMPLETE ELECTRONIC ASSEMBLIES & COMPONENT PARTS
900 PASSAIC AVE. EAST NEWARK, N. J.
EVEN 43 YEARS AGO Machlett TUBES WERE PRAISED
In 1902 Dr. W. J. Morton, distinguished scientist, doctor and pioneer in the then-new field of roentgenology, wrote to Robert H. Machlett:
"My special tube, as you manufactured it, is truly a success and I don't know how I could obtain anything better. Please make me another one as soon as you possibly can."
Though little was known about X-rays at that time, one thing was clear to the men using them: the best tubes available were made by Machlett. We believe that is still true today.
The transition from the original Machlett Laboratory to the two modern plants at Springdale and Norwalk, Connecticut, was a gradual process. It was made possible by constant improvement in the tubes, by developing new techniques for their manufacture, and by designing and making new types for new applications. Thus Machlett became the largest producer of X-ray tubes in the world.
Today we also apply our half a century of experience to the production of other electron tubes, such as oscillators, amplifiers and rectifiers for radio and industrial uses. For information as to available types of Machlett tubes, write Machlett Laboratories, Inc., Springdale, Connecticut.
ML-893—high power oscillator and amplifier tube for radio and industrial purposes.
MACHLETT
APPLIES TO RADIO AND INDUSTRIAL USES ITS 43 YEARS OF ELECTRON-TUBE EXPERIENCE
Now our sights are set for the Stars
Ever since the war began—and for some time previous—B & W engineering has been achieving in days what would normally have taken months. Production was quickly doubled and redoubled. Then it was doubled again.
Somewhere along the line, we began catching up with the tremendous demand placed upon us or the coveted Army-Navy "E" burgee would not now be here.
We're proud of this recognition. We were more than pleased when the Flag arrived—even though there was time for no more than a fervent 20-minute salute. There are still Air Inductors, variable capacitors and special electronic assemblies to be produced—in more intricate designs and in larger quantities than seemed possible only a few years ago. There are still stars to be added to our "E" burgee. There is still a war to be won!
BARKER & WILLIAMSON
AIR INDUCTORS • VARIABLE CONDENSERS • ELECTRONIC EQUIPMENT ASSEMBLIES
235 FAIRFIELD AVENUE, UPPER DARBY, PA.
Export: LINDETEVES, Inc., 10 ROCKEFELLER PLAZA, NEW YORK, N. Y., U. S. A.
Fig. 3—Gland construction for sealing a sheet-metal panel
assembled. Sealing compound is also placed between the diaphragm and the panel. The rotating shaft for this type of installation has an undercut which carries a rubber sealing washer which is circular in cross section. The diameter of the bushing, being slightly less than that of the rubber washer when installed on the shaft, causes the rubber to be squeezed between the shaft and the bushing, creating the seal. As in the preceding type of gland, lubricant is used between the rubber and the bushing.
The third type of packing gland used requires considerably more space than the two explained above. This method has been used for years on propeller shafts and water pumps and is illustrated in Fig. 4. It consists of a packing nut having
Fig. 4—Shaft hole can also be sealed with impregnated cord and a packing nut
a countersink at the base of the threads and a packing gland having a similar countersink. A graphite impregnated cord, which is wound around the shaft, is forced into the small space created by the countersinks. This seals around the shaft as well as around the inside diameter of the gland. The impregnation of the cord serves as a lubricant and as a water seal.
Pushbuttons and toggle switches used on some pieces of equipment
566 seconds is the longest standard time delay.
HEINEMANN MAGNETIC CIRCUIT BREAKERS
566 seconds is the maximum time which the magnetic breaker will allow to elapse at 25% overload, if the No. 1 time curve is chosen.
There are three standard time curves to choose from in order to match closely the characteristics of the individual application.
The breaker will hold 100% of rated load; may trip between 100% and 125% of rated load; and WILL trip at 125% and above, as shown on the curve. Breakers are available in any rating between 10 milliamperes and 50 amperes with time delay in single, two, and three pole as shown.
The same breaker can also be had with instantaneous trip where current is applied gradually up to rated load. All instantaneous breakers are set to trip instantly.
Send for Catalog Showing Complete Line and Engineering Data
HEINEMANN CIRCUIT BREAKER CO.
Subsidiary of Heinemann Electric Co — Est. 1888
97 PLUM STREET
TRENTON, N. J.
World’s fastest and most accurate communications system
By means of Finch Facsimile, any message that can be written, printed or illustrated on paper can be transmitted as far and as fast as electric circuits reach by wire or radio.
A sheet 8½” x 11” can be transmitted in two minutes, which can contain many hundred words, plus photographs and drawings!
This is a speed of electric transmission never before equalled. And the accuracy is absolute. Furthermore, the definition is finer than newspaper halftones. And the cost is reasonable.
Begin using Finch Facsimile in a limited area and expand as desired. Include Facsimile in your postwar planning.
FINCH TELECOMMUNICATIONS, INC. • PASSAIC, N. J.
Automatically synchronizing
finch facsimile
The Breeze Radio Ignition Shielding which equips the modern aircraft engine is the product of extensive laboratory test and research.
Effective shielding calls for a metal case of high conductivity around possible sources of radio interference, designed to lead off high frequency impulses to the ground and prevent their radiation. Each installation must be custom engineered to meet the needs of the problems involved.
Breeze Shielding is designed for ruggedness, resistance to vibration, and maximum isolation of high frequency interference. Each wire of the braided cover must be positively soldered at each connection, inner conduit must be tight to avoid electrical leakage, and fittings must be precision-machined for close fit and uniform pressure of contact faces.
New shielding problems presented by the rapid advance in the science of radio communication and television are constantly being solved by Breeze engineering. A background of many years experience in shielding automotive, aircraft, marine and commercial engines has made Breeze America's headquarters for Radio Ignition Shielding.
Breeze
CORPORATIONS, INC.
Newark, New Jersey
1. Inner flexible conduit affords maximum physical protection to wiring.
2. Braided wire covering, sometimes in multiple layers, improves the electrical shielding and provides increased ruggedness.
3. Main conduit manifold is bent to shape from seamless tubing.
The new Type 6NAO Self-Locking Palnut may be used as a one-piece locknut to securely fasten parts—or as an adjusting nut to maintain accurate settings anywhere on the screw. (See typical use herewith.)
When used as a fastening, the full triple grip is utilized to keep parts tight under vibration, without need of lockwashers. When used as an adjusting nut, the third gripping action (3-3) locks it firmly in position.
Type 6NAO Palnuts are single thread locknuts, made of tempered spring steel. Light in weight, low in cost, easily, speedily applied. Send details of your assembly for samples and suggestions. Write for new data sheet and copy of Palnut Manual No. 2, giving information on all types of Self-Locking Palnuts.
THE PALNUT COMPANY
77 CORDIER ST. IRVINGTON 11, N. J.
Self-Locking PALNUTS
Fig. 5—A molded rubber cover seals pushbuttons and toggle-switch handles
are covered with a molded rubber cover as shown in Fig. 5. This cover is fastened to the panel with screws and a back up plate. Sealing compound is placed between the panel and the cover and also on the screw threads. The rubber cover has molded extrusions which fit over the buttons or switch handle, making them readily accessible.
In cases where it is necessary to run tie rods through the panel, the tie rods are sealed by using a rubber gasket backed up by a cup washer. This construction is shown in Fig. 6. As the fastening nut is tightened, the cup washer forces the rubber into the threads of the tie rod and at the same time forces it tight against the panel.
Cables and Connectors
Cable connectors for electrical leads proved to be somewhat of a problem. However, the manufacturers of these connectors produced a unit having inserts molded into a Bakelite base which in turn is sealed in a metal shell by means of a sealing compound. The connector is mounted to the panel with a gasket between the two pieces. The screws used for mounting are screwed into blind tapped holes or dipped into sealing compound and fastened into screw plates.
Liquid Leaks in Cable
The most surprising source of leaks were electrical cables. These cables vary in length from several inches to several yards and are made up from two to eight individual wires. The wires are shielded and covered by a rubber sleeving, but even with this compact arrangement, water was found to seep the entire length of the cable. Several methods for sealing these cables were tried with the final
REMOTE Single Carrier CONTROL
EITHER CONDUCTOR OR RADIO WAVE
of variable sequence operations becomes an "everyday" procedure with W&T Torsional Relays.
Of particular interest to the engineer are a few design characteristics: RANGE — 10 to 20 cycles per second. SENSITIVITY — Less than 3.0 seconds from impression of a 5 volt 0.0012 ampere current pulse of constant amplitude and at the resonant frequency to which the relay is adjusted. SELECTIVITY — Resonant frequency plus or minus 2.5% under above conditions for response. STABILITY — Excellent over a wide range of ambient temperature and pressure. CONTACT CAPACITY — In controlled circuit, 50 milliamperes.
Write for Technical Publication 252
WALLACE & TIERNAN PRODUCTS, INC.
BELLEVILLE 9 NEW JERSEY
ELECTRONICS — April 1945
Yes Sir—THAT'S OUR BABY!
What is it? Sorry, but that's a military secret! However, we can tell you this much—it's a very important and intricate part for a very important piece of equipment which is most important to the war effort. We're mighty proud of this particular job because it demonstrates our ability to cope with a situation which not only demanded precision in the fabrication of the component plastic parts but hair-line accuracy in assembling those parts—strictly according to specifications. * True, all the parts we produce are not quite as complicated as this one but "extraordinary" or not, every job receives the same careful consideration right down to the last specific detail.
Send us Specifications for your next fabricated parts and let us prove to you that we can produce them better...faster and more economically!
Branch Offices:
DETROIT: 4835 WOODWARD AVE.
CHICAGO: 4317 RAVENSWOOD AVE.
Precision FABRICATORS, INC.
EAST ROCHESTER, N. Y.
Specification Fabricators of
VULCANIZED FIBRE, CORK, CORPENE,
PHENOL FIBRE, RUBBER, ASBESTOS
AND OTHER MATERIALS
April 1945 — ELECTRONICS
problem: more power in a hurry...
CORNELL-DUBILIER HAD THE ANSWER
American Industry had to speed up for war production. That meant more electric power—much more. But there was no time to build new generating equipment, nor could we release copper and other critical materials.
CORNELL-DUBILIER ENGINEERS HAD A SOLUTION . . .
C-D Power-Factor Capacitors. They're easy to install quickly, they save man-hours and critical materials.
Like all C-D Capacitors, power factor units are precision products. To make sure of their perfection, highly trained men, long skilled in testing capacitors check and recheck repeatedly throughout production.
Devotion to detail is a habit with C-D craftsmen. Their precision methods have made C-D's famed for dependability since 1910. Look to C-D for capacitors of better-than-specified quality, performance and life. Cornell-Dubilier Electric Corporation, South Plainfield, N. J. Other Plants: New Bedford, Brookline, Worcester, Mass. and Providence, R. I.
15 Kva. 2400 volt single phase, 60 cycle individual rack type capacitor unit.
CORNELL-DUBILIER CAPACITORS
ELECTRONICS — April 1945
The basic design of the 2300 Frame Motor has been used in scores of individual modifications. Many of these designs are complete and available—others for new equipment can readily be developed.
**FEATURES**
**ELECTRICAL**
- Series or shunt wound
- High starting torque
- Low starting current
- High efficiency
- Low RF interference
- Unidirectional or reversible
- Armature and field windings varnish impregnated and baked
**MECHANICAL**
- Low weight factor
- Unusual compactness
- Completely enclosed
- Base or flange mounting
- Laminated field poles
- Precision ball bearings
- Segment-built commutator
- Permanent end play adjustment
| 2300 FRAME MOTORS | 2318 Series | 2310 Shunt |
|-------------------|-------------|------------|
| Watts Output, Int. (max.) | 160 | 50 |
| Torque at 6000 RPM (in. oz.) | 40 | 10 |
| Torque at 3800 RPM (in. oz.) | 57 | — |
| Lock Torque (in. oz.) | 120 | 14 |
| Volts Input (min.) | 5 | 5 |
| Volts Input (max.) | 110 | 28 |
| Temperature Rise (int.) | 50°C | 50°C |
| Diameter | 2\(\frac{9}{16}\)” | 2\(\frac{3}{4}\)” |
| Length less shaft | 4\(\frac{5}{8}\)” | 2\(\frac{3}{4}\)” |
| Shaft Dia. (max.) | .312” | .312” |
| Weight (lbs.) | 2.4 | 1.5 |
EICOR INC. 1501 W. Congress St., Chicago, U.S.A.
DYNAMOTORS • D. C. MOTORS • POWER PLANTS • CONVERTERS
Export Ad Auriema, 89 Broad St., New York, U. S. A. Cable: Auriema, New York
Fig. 6—Simple seal for tie rods
The answer being a liquid tar drawn into one end of the cable by a vacuum applied at the opposite end. Cables sealed in this manner are tested under three feet of water for a period of twenty-four hours. Careful examination at the end of this time disclosed that water had not traveled from one end of the cable to the other. In assembling the cable to the unit, the end of the cable into which the melted tar had been drawn is left in the open while the opposite end is sealed into the case. By assembling in this manner, water is excluded from the entire length of the cable.
**Phone Jacks**
The final and most troublesome part of waterproofing was phone jacks used for plugging in a microphone, ear phone, speaker or transmitting key. These jacks must be easily accessible and at the same time must be waterproof. Spring-actuated hinged covers, having a rubber gasket, were tried but due to production tolerances were not too successful. A rubber balloon arrangement shown in Fig. 7 fastened and sealed to the inside of the case around the jack body, having a hole for wires to pass through, proved satisfactory. The wires are first coated with a rubber cement,
Fig. 7—A rubber balloon behind the panel and an auxiliary rubber cover seals a phone jack
MAKE THIS FLAME TEST
Hold a match under a piece of BH Extra Flexible Fiberglas Sleeving. The flame does not burn, char or otherwise affect it. And temperatures much higher than usually encountered electrically are just as readily resisted by the inorganic Fiberglas!
BH EXTRA FLEXIBLE FIBERGLAS SLEEVING 2 WAYS BETTER NON-FRAYING • NON-STIFFENING
FEW electrical insulations can double in brass as heat insulations. Yet so effectively heat resistant is BH Extra Flexible Fiberglas Sleeving that actual service records show it refuses to burn even in direct contact with heat units. The reason—both yarns and impregnation are non-inflammable!
A special gum base and dye applied by an exclusive BH process is responsible for many more features. It permanently prevents fraying, stiffening and abrasive wear. The sleeving is unusually flexible and takes the roughest handling without fraying. It does not harden and crack with age—lasts indefinitely without deterioration. It is also non-crystallizing at low temperatures.
Fiberglas is non-absorbent and unaffected by moisture, oil or grease—qualities ideally suited to appliance manufacture for instance. And it has high dielectric and tensile strength.
“Punishment” tests prove that BH Extra Flexible Fiberglas Sleeving is the most logical insulation for a host of tough jobs. Why not see for yourself? It’s available in all standard colors and all sizes from No. 20 to 3/8”, inclusive. Write for samples today and compare!
BH SPECIAL TREATED FIBERGLAS SLEEVING UNAFFECTED BY HEAT UP TO 1200° F!
This is a high quality sleeving that will not fray when cut and withstands heat up to 1200° F. Yet no saturant is used in the exclusive BH process! Flexible as string, too. Made in natural color only—all standard sizes. Try it!
ALSO SLOW-BURNING IMPREGNATED MAGNETO TUBING • SLOW-BURNING FLEXIBLE VARNISHED TUBING • SATURATED AND NON-SATURATED SLEEVING
BENTLEY, HARRIS MANUFACTURING CO.
Dept. E Conshohocken, Penna.
PROTECT VITAL COMMUNICATIONS with Dulac
FUNGUS RESISTANT LACQUERS, VARNISHES AND COATINGS
Containing mercury bearing and non-mercury bearing fungicides
Reports from overseas indicate a need for more complete knowledge of the necessity for and methods of tropicalizing communication equipment, to protect it from excessive moisture and fungus growth.
M&W's research laboratories were among the first to undertake a study of this problem early in the war. Within a short time, a complete line of coatings for the tropicalization of communication equipment was made available.
M&W moisture and fungus resistant coatings made to Signal Corps and other Government Dept.'s specifications include:
Lacquers and varnishes for overall treatment of assembled equipment
Special coatings for points such as insulators, terminal blocks, wiring, etc.
Solutions for paper, leather, felt, cloth, cordage and fabrics
Wax bases for mixing with insulating waxes, thus giving them fungus resistant properties
Fluorescent solutions to aid inspection of such equipment under black light
If you make communication equipment, you may find our literature on this subject helpful. Write today for our bulletin, "Dulac Fungus Resistant Coatings for Tropicalization of Radio Equipment."
MAAS & WALDSTEIN COMPANY, NEWARK, N. J.
PRODUCERS OF LACQUERS, ENAMELS, SYNTHETICS AND SPECIALTY FINISHES FOR ALL PURPOSES
BRANCH OFFICES & WAREHOUSES: 1658 CARROLL AVE., CHICAGO, ILL. • 1228 W. PICO BLVD., LOS ANGELES, CALIF.
It’s Just A Case of Making the Right Connection
--WHITAKER CUSTOM-MADE CABLE ASSEMBLIES are supplied ready to install
Above photo, courtesy of Collins Radio Company, Cedar Rapids, Iowa. It shows installation of a Whitaker Assembly in a Collins TDO Transmitter . . . Illustration at right shows Assembly being made at Whitaker plant.
IF YOUR PRODUCT requires
★ WIRING HARNESSES ★ CABLE ASSEMBLIES
★ BONDING JUMPERS ★ CABLE or TERMINALS
-- you’ll find WHITAKER a dependable source
You can save time and money by having Whitaker produce the cable assemblies required for your products... In turning your wiring jobs over to us, you are making the right connection for quality merchandise made to exacting specifications, and when your men install the completed assemblies, they will find every lead and terminal properly positioned for the right connection . . . You win both ways . . . Furthermore, you will find your production costs reduced as the result of utilizing our specialized facilities. You get full benefits of our 25 years of experience, our ample production facilities, skilled manpower, and the economies resulting from our use of modern methods and special equipment.
In addition to an engineered wiring service, Whitaker also offers a quality line of standard cable products.
Write for latest catalog, and complete information.
WHITAKER CABLE CORPORATION
General Offices: 1307 Burlington Avenue, Kansas City 16, Missouri
Factories: Kansas City, Mo. • St. Joseph, Mo. • Philadelphia • Oakland
The Wonder of it All
NEVER has man's mind been so taxed as it is today... and never have his accomplishments been greater. In supplying the demands created by a world at war, products that were scarcely even dreamed of a few years ago are today realities... and it all happens so smoothly, so precisely, so naturally, that we scarcely realize the wonder of it all. Research in every field of endeavor has moved us ahead fully half a century in time. So it is with The Astatic Corporation. While producing important essentials for wartime use, Astatic engineers have also planned for the postwar period. Among Astatic's many new and improved products for the detection, recording and pickup of sound will be a zephyr-light pickup for phonograph and radio phonograph sets as important to improved phonograph performance as FM will be to radio. Now, as never before, the human voice and instrumental artistry of the entertainment world will be reproduced from modern recordings with tone fidelity and true-to-life realism to bring a great, new listening audience "closer to the stars."
"You'll hear more from Astatic"
THE ASTATIC CORPORATION
CONNEAUT, OHIO
IN CANADA: CANADIAN ASTATIC LTD., TORONTO, ONTARIO
ASTATIC Crystal Products manufactured under Brush Development Co. patents.
Transmission of Color Pictures by Facsimile
COLORED PHOTOGRAPHS can be sent and received at any distance in the form of three-color separation films ready for the customary photographic processing in assembling a colored print, according to a patent covering transmission of color by facsimile granted recently to Finch Telecommunications, Inc.
The system is based on standard facsimile equipment and practice of the Finch system, with certain changes in transmitter and receiver. In transmitting copy or black and white photographs and drawings, transmitting and receiving drums are the same size and diameter and are synchronized to operate at equal speeds. On the ordinary black and white Finch facsimile transmitter, the scanning head assembly includes an exciting lamp, lens system, and photocell, which are given a reciprocating motion through the operation of a driving cam at the bottom of the main driving shaft. During each cycle of operation, the scanning head is swung from left to right through an angle of 42 deg and is returned to complete its cycle in one second. The drive is by a 1/15-hp synchronous motor that operates at 1800 rpm and drives the scanning mechanism by means of speed-reducing gears with a step-down of 30:1, which turns the main drive shaft at a speed of 60 rpm.
Full Color Transmitted
While the patent anticipated transmitting the primary color sepIn a bleak and desolate Long Island marsh stands a small windowless house — alone and mysterious. But the three antenna masts surrounding it offer a clue to its function.
This is United Air Lines’ radio communications station, remotely-controlled from a hangar at La Guardia Field. The pilot’s contact with the ground, it transmits such vital information as weather conditions, wind direction, and air traffic instructions.
Here dependability is a must . . . and this Federal transmitter — the FTR-5 — is on the job every minute of the day, every day of the year. The only direct human attention it receives is a routine inspection visit . . . about once a month.
The need was for efficient, unfailing service . . .
. . . which Federal equipment delivers.
You can count on Federal’s radio aids to aerial navigation.
Federal Telephone and Radio Corporation
An IT&T Associate
Newark 1, N. J.
What's Going on Here?
The what we can tell you about. The how is one of those many little secrets about instrument manufacture Simpson has learned through more than 35 years of experience. This particular operation has to do with the making of pivots, those critical parts around which the accuracy of any electrical instrument revolves. Only by means of this and other Simpson-developed processes can we make pivots which in strength and hardness, and in their perfect contour, measure up to Simpson’s standard.
The Simpson plant is full of such refinements and shortcuts—all aimed at the twin purpose of improving performance and reducing cost. Added to the basic superiority of the patented Simpson movement they provide the fullest measure of accuracy and stamina, and dollar value.
Only Simpson’s long familiarity with the problems of instrument manufacture could achieve so many noteworthy solutions. Nothing less can promise so much for the electrical instruments and testing equipment you will use in the years to come.
SIMPSON ELECTRIC CO.
5200-18 W. Kinzie St., Chicago 44, Ill.
Simpson
INSTRUMENTS THAT STAY ACCURATE
April 1945 — ELECTRONICS
COILFORMS OF NYLON
Used in U.S. Navy Sound-Powered Telephone Units
FOUND TOUGHER—LESS EXPENSIVE—MORE HEAT-RESISTANT
ADVANTAGES—For maximum sensitivity and output in Navy sound-powered telephone units, many turns of wire must be placed as close to an armature as possible. Though the wall of the nylon core is only 0.012 inch thick, it maintains, under test, dimensional and dielectric stability at temperatures ranging from -60° F. to +400° F. According to the manufacturer, operations have been reduced from six to three, thus contributing to cutting the cost of the finished coilform by 50% with the use of nylon. With the old materials only about 10% yield was obtained; with nylon the average yield is better than 95%. With a two-cavity die, injection-molded nylon has increased coilform production per man 800 to 1000%.
AVAILABILITY—The current supply of Du Pont nylon is available only for war applications and experimental work. For information write E. I. du Pont de Nemours & Company (Inc.), Plastics Department, Arlington, New Jersey.
FOR PLASTICS, CONSULT DU PONT
BETTER THINGS FOR BETTER LIVING ...THROUGH CHEMISTRY
DU PONT
aration prints of a colored picture to a remote point, transmissions to date have been from a full color print to three color separation positives, assembled into colored prints by the usual photographic methods after reception.
For color transmission, the equipment receives minor changes in transmitter and receiver. A color disk is interposed between the scanning eye and the picture on the drum of the transmitter. This color filter contains triangular gelatine sections of the three primary colors so that each in turn is filtered out and transmitted to be recorded by exposure of the film on the receiver drum.
**Separations Made by Receiver**
The transmitting cylinder on the color transmitter revolves at 300 rpm while the color disk revolves but once in the same time. Thus, the first color selected for transmission is filtered out and sent. The receiver, located in a dark room, has on its drum unexposed films of the same measurement as the full color picture on the sending drum. The receiving drum revolves at only 100 rpm and has three times the circumference of the transmitting drum, so that it takes all three films to record the three principle colors.
During the time the transmitter
---
**CHINESE RADIO INDUSTRY**
Army receiving equipment is tested in a plant of the Central Radio Works near Kweilin that has, at least until recently, produced all the radio apparatus used by the Chinese Army and broadcast stations operated by the government.
---
**SPECIFICATIONS**
- **D.C. MICROAMPERES:**
- 0-10-20-40-80 microamperes
- **D.C. MILLIAMMETER:**
- 0-7-35-175-350 milliamperes
- **D.C. AMPERES:**
- 0-1-4-14 amperes
- **D.C. VOLTS: 25,000 OHMS PER VOLT:**
- 0-3.5-7-35-140-350-700-1400 volts
- **D.C. VOLTS: 1000 OHMS PER VOLT:**
- 0-3.5-7-35-140-350-700-1400 volts
- **A.C. VOLTS: 1000 OHMS PER VOLT:**
- 0-3.5-7-35-140-350-700-1400 volts
- **OUTPUT VOLTMETER:**
- 0-10-20-40-80-160-320-640 volts
- **DECIBEL METER:**
- 0 db to plus 46 db
- **OHMMETER:**
- 0-500-5000-50,000-500,000 ohms
- **POWER SUPPLY:**
- Battery operated
With the above specifications the Supreme Model 592 Speed Tester meets today's requirements for general laboratory use, assembly line tests and inspection, radio and other electronic repair and maintenance.
NOW Your newly designed appliances can always have a cord of the right length!
WITH THE INTERCHANGEABLE
Belden CONNECT-A-CORD
There is something new in electrical cords. The Belden Connect-A-cord makes available the correct length cord for every installation—in matching colors, too. Furthermore, the Connect-A-cord
1. Provides a cord for every tool or appliance—detachable at the appliance end as well as the plug end.
2. Is easy to replace—eliminates dealer cord repair service.
3. Simplifies line assembly operation. Simplifies packing and display.
4. Provides a NEW SALES FEATURE.
A worth-while sales feature—promoted by consistent national advertising. Get information on the new Corditis-free Connect-A-cord today.
Belden Manufacturing Company
4625 W. Van Buren Street, Chicago 44, Ill.
Belden Corditis-free CORDS
A new series of KAAR radiotelephones, offering improved performance and greater convenience, is now available to police and fire departments, public utilities, sheriffs' offices, railroads, the forestry service, and similar users of radiotelephone communication. Designed with the needs of these services in mind, this series provides instant heating tubes, single channel or five channel operation, and crystal controlled or tunable receivers. Notice how compact this equipment is, and how it is immediately accessible for tuning or servicing, although the cabinet itself may be permanently secured to a shelf, wall, vehicle, or vessel.
**SERIES 46 • 50 WATT**
**KAAR RADIOTELEPHONE**
A five channel transmitter with power output of 50 watts. All five channels are independently tuned, and any one may be instantly selected by turning a knob on the front panel. Standard frequency range is from 1600 to 6000 Kc. Furnished with companion tunable or fixed tuned crystal-controlled receiver as desired. Power supply (8" x 8" x 17") is a separate unit, interconnected by a 12-foot cable. Available for operation on 117 volts 60 cycle A.C., 12, 32 and 110 volts D.C.
**SERIES 96 • 100 WATT**
**KAAR RADIOTELEPHONE**
*(NOT ILLUSTRATED)*
Five channel instant-heating transmitter, with an output of 100 watts and having a standard frequency range from 1600 to 6000 Kc. The companion receiver may be of the tunable or fixed tuned crystal-controlled type as desired. R.F. ammeter and plate milliammeter are mounted on front panel. This 100 watt radiotelephone, including transmitter and receiver, is only 19½" high, 22" wide, 14¾" deep. Furnished with separate power supply (8" high, 16" wide, and 17" deep). Available for operation on 117 volt 60 cycle A.C., 32 or 110 volt D.C. circuits.
**KAAR ENGINEERING CO.**
**PALO ALTO • CALIFORNIA**
*Export Agents: FRAZAR & HANSEN, San Francisco*
**COMPARE THE ADVANTAGES...and you will get a KAAR 46!**
- **INSTANT HEATING TUBES...** Stand-by current is zero—yet there is no waiting for tubes to warm up before sending a message! Reduces drain on batteries... extremely important in mobile or marine operation.
- **FIVE CHANNEL TRANSMISSION...** Any one of five channels from 1600 to 6000 Kc can be instantly selected by turning the large knob on the panel.
- **CARRY ONLY 1 SPARE TUBE...** For simplicity of replacement there is only one type of tube used in these Kaar transmitters. (For 117 volt AC operation, 5R4GY rectifier tubes are also employed.)
- **REMOVABLE PANEL...** By removing six finger-tight lugs, the front panel of the transmitter may be lifted away, exposing all tuning controls. This allows complete tune-up to be made in a short time without moving the set.
- **SIMPLE TO SERVICE...** When four screws are released, transmitter slides out like a letter file to simplify tube replacement.
- **FITS MOST ANYWHERE...** Transmitter may be placed above or below the receiver, or on either side of it. Transmitter and receiver units are each 10" high, 13" wide, 13" deep. This equipment is easy to install.
- **REASONABLY PRICED...** Although Kaar instant-heating radiotelephones offer all these features for convenience and simplicity, they are competitively priced. Your inquiries are cordially invited.
After two years in test #868 EX was made available to meet the most damaging conditions known for potting compounds. Its qualities soon became apparent and today #868 EX is doing 'Yeoman Service' protecting war equipment by resistance to cracking from low temperatures and flow from elevated temperatures while retaining the necessary electrical and waterproof characteristics.
868 EX is especially suited for sealing transformers, lightning arrestors, communication equipment and other products which require potting for positive protection against moisture despite extreme temperatures, plus or minus.
#868 EX has a high content of mineral filler.
... after being subjected to 180° F. for 8 hours showed very good resistance to cold flow.
... submitted to temperatures of minus 40-50° F. for several hours, did not fracture readily or show excessive brittleness. At 0° F. to 20° F. 868 EX showed remarkable flexibility.
... has good adhesion, toughness, resistance to fracture, waterproof and dielectric qualities.
**PHYSICAL CHARACTERISTICS**
| Property | Value |
|---------------------------------|----------------|
| Softening Point (ring and ball) | 245° F. |
| Specific Gravity (60° F.) | 2.02-2.03 |
| Penetration | |
| of Basic Compound | |
| 32/200/60 | 26 |
| 77/100/5 | 40 |
| 115/50/5 | 55 |
| Flash Point | 475° F. |
| Fire Point | 565° F. |
| Suggested Pouring Temperature | 400° F.-425° F.|
Upon written request a One Gallon Sample of #868 EX will be sent, gladly, for laboratory tests.
MITCHELL-RAND INSULATION COMPANY, INC.
51 MURRAY STREET
Cortlandt 7-9264
NEW YORK 7, N.Y.
A PARTIAL LIST OF M-R PRODUCTS
Fiberglas Varnished Tape and Cloth
Insulating Papers and Twines
Cables, Wires and Pathway Compounds
Friction Tape and Splice
Transformer Compounds
Fiberglas Saturated Sleeving and Varnished Tubing
Asbestos Sleeving and Tape
Varnished Cambric Cloth and Tape
Mica Plate, Tape, Paper, Cloth and Tubing
Fiberglas Braided Sleeving
Cotton Tapes, Weavings and Sleevings
Impregnated Varnish
Insulating Varnishes of all types
Extruded Plastic Tubing
has sent a complete line from top to bottom of a picture, the receiving drum revolves only one-third of a revolution, covering a single line on one color film. In this way, the scanner selects and transmits impulses for the different colors, the receiving electric eye opening and closing to expose the films in the proper places for each of the primary colors.
**Identifying Separations**
In sending a picture, it is necessary to transmit an identification mark indicating the order in which the colors are being scanned. The color filter may be started with any of the three colors and will automatically rotate through the series. Without identification of this order of scanning the colors, the person on the receiving end might, with certain pictures, meet difficulty in knowing which color a film represents.
The films formed at the receiver are positives. In assembling them into a picture, the process is the same as in making the usual full-color print of a photograph. Received positives are on thin translucent or transparent gelatine. After the film is developed, it is bleached in the conventional manner and the separations are dyed to their proper color with aniline dye or by toning them with metallic salt solutions which combine with the silver retained in the print. Finally, the monochrome colored prints are superimposed to form an integral final picture, laminated on paper or board back as in the case of any colored photographic print.
Use of the system commercially as a post-war project suggests that photographs now regularly transmitted over long distances may be increasingly sent in color. The principle deterrent, however, would appear to be limited use of color reproduction either by letter-press printing or photo-offset in magazines and other periodicals. The method also suggests itself as a rapid and low-cost method of ordinary color separation by an engraver who might set up transmitter and receiver in the same room and separate either prints or color negatives into three separation negatives from which to make plates for letter-press printing of color.
---
**OHIO MOTORS for ELECTRONIC APPLICATIONS**
1/12 HP -- 115 V-60 Cy. -- 1 Ph. 1800 RPM -- A.C. -- Clockwise, synchronous, ball bearing.
Cut shows one of many types and sizes of Ohio Motors designed for driving Electronic Devices.
**RANGE**
1/100 to 2 HP.--A.C.
1/100 to 1 HP.--D.C.
1/1000 to ¼ HP.--A.C. Synchronous.
1 to 100 oz. ft. A.C. Torque.
Shell type motors for built-in applications to 4 HP.--D.C. and to 7½ HP.--A.C.
All usual voltages and cycles.
What is your problem?
THE OHIO ELECTRIC MANUFACTURING CO.
5908 Maurice Avenue, Cleveland 4, Ohio
April 1945 — ELECTRONICS
As the science of electronics reaches out to new horizons, the contributions of research specialists in insulation become increasingly important.
It is our job to research materials and develop bodies for insulators with the special characteristics and performance that enable the designer's theory to become practice.
In cooperation with manufacturers of electronic, radio and electrical equipment, we have developed formulas and designs for AlSiMag Insulators which are vital parts of communications and controls of planes, warships, tanks, guns and other machines of war.
Constant research, experimentation and commercial development keep pace with the insulating requirements of today's products and provide the foundation for tomorrow's designs. Whatever you are planning in the electrical and electronic field, we believe our experience and specialized knowledge of insulators can be helpful. Let's work together.
AMERICAN LAVA CORPORATION
Chattanooga 5, Tennessee
43RD YEAR OF CERAMIC LEADERSHIP
AlSiMag
TRADE MARK REG. U.S. PAT. OFFICE
CERAMIC INSULATORS
FOR USE IN:
Electronic Devices
Electrical Circuits and Appliances
Gas and Oil Heating
Automotive Equipment
ALCO has been awarded for the fifth time the Army-Navy "E" Award for continued excellence in quantity and quality of essential war production.
Transmission Line Parameters for Wave-Guide Behavior
WAVE GUIDES are analyzed on the basis of transmission-line theory and the results applied to conditions of guides used as resonators, and to terminal and input impedance in two companion papers in *Journal of Applied Physics* for July 1944. In the first paper, David Middleton and Ronald King develop equations for hollow wave guides of arbitrary cross section. In the second paper, Middleton presents some applications of this analysis to particular wave guide configurations.
The special value of the expressions for stream and potential distributions as derived in the first paper is that they are of the same hyperbolic form as transmission-line equations, and hence can readily be interpreted in terms of the already familiar transmission factors of line and terminal parameters, standing wave ratio, and efficiency of power transmission.
However in drawing such parallels, the three-dimensional field configuration of the guide with its different modes and possible variety of boundaries must not be omitted. That is, although the stream and potential functions of the field along the guide axis are shown to be expressable in the same form as transmission-line voltage and current, thereby providing a tool for solving transmission problems, the variation of the field perpendicular to the axis must be considered in practical applications. For example, two guides can present the same terminal impedance and yet not be matched unless the guide shape and wave mode are comparable.
By obtaining expressions for wave-guide behavior which are the counterparts of transmission-line propagation parameters, the analytic treatment enables wave-guide problems to be stated in terms of such quantities as characteristic impedance, propagation constant and phase shift. These constants are evaluated from physical parameters of the guide and dielectric material, and the transmission portion of the design carried out along familiar lines. This is, as the authors point out, a convenience of viewpoint and not an exact analogy, because the wave-guide equations so derived do not contain as a limiting case the transmission-line equations.
One illustration of this approach given in the second paper is that of the terminal impedance of a cylindrical brass pipe excited in the $H_{11}$ mode and containing a dielectric as shown in Fig. 1. The terminal resistance and impedance are shown in Fig. 2.
Two Methods of Measuring U-H-F Fields
MEASURING ULTRA-HIGH-frequency electric fields by the induced dipole and dielectric thermometer methods is described in the June, 1944 *Philosophical Magazine* (Taylor & Francis, Ltd., Red Lion Court, Fleet Street, E.C.4, London), by K. R. Makinson and H. D. Fraser.
The fields to be measured were of 136 Mc and 510 Mc. At the lower frequency, both the dielectric thermometer and induced dipole methods gave corresponding results. At the higher frequency, the dielectric thermometer appeared useful only for comparative field strength measurements; the induced dipole was found to be more accurate.
The induced dipole method depends on the measurement of the couple exerted by the field on a small metallic strip lying at an angle of 45 degrees to the electric vector. The instrument was calibrated at 1.2 Mc and the calibration was independent of frequency up to higher than 500 Mc.
Construction of the induced dipole instrument is shown in the drawing. The copper vane dipole had the dimensions 2 cm $\times$ 6.5 mm $\times$ 0.1 mm. The only limitation on the upper frequency which this instrument can measure correctly is that the dimensions of the dipole be far less than the wavelength. The glass containing tube was coated with lacquer to prevent deposition of moisture which would tend to screen the dipole from the electric field.
For conductive strip and electromagnetic field, the couple is zero when the strip lies parallel to or perpendicular to the field and is at maximum when it lies at an angle...
Unfailing Dependability
TURNER 99 DYNAMIC
The most rugged microphone in the entire Turner line. Engineered and built for the discriminating user who wants utmost efficiency and dependability. Available as No. 999 with Balanced Line features for critical applications. Write for complete specifications and details.
Built to stand up and deliver under the most difficult acoustic and climatic conditions, Turner Microphones are "sound" instruments of rugged dependability. For indoor or outdoor use in arctic cold, desert heat or tropic humidity, they're precision engineered to give crisp, clear transmission of any sound, with all gradations of tone and volume faithfully reproduced without distortion or blasting.
In every theater of military operations—on land, on sea, and in the air—in critical P.A., recording or broadcast work—wherever accurate transmission of voice, music or any sound is vital, Turner Microphones set the standard for unfailing performance.
The TURNER Company
Cedar Rapids, Iowa
There is a Turner Microphone for every electronic communications application. Get the complete Turner story from Turner engineers. Write for Free Illustrated Catalog giving details and specifications on all Turner Microphones for recording, P. A., amateur or commercial broadcast work. Write today.
TURNER—Pioneers in the communications field
GUIDE POSTS
to effective control or protection
Type C 7220 Precision Snap Switch
12 amps, 30 Volts D.C., 125 Volts A.C.
Type C 4351 Thermostat. Used for Tube Warming, Tube Cooling, High Limit Controls, etc.
Type B 3120 Thermostat and Heater, Crystal Dew Point Control
Type C 2851 Thermostat. For such use as Roughing Controls on Outer Crystal Ovens.
Type NT Thermostat. Adjustable Temperature Control.
Type FM (NAF-1131) Circuit Breaker
Type FR Series Ambient Compensated Time Delayed Relays.
KLIXON Snap-Acting CONTROLS
In hundreds of applications... from motor and transformer overheat protection, electrical circuit overload protection, thermal time delays to temperature control for radio equipment... Klixon snap-acting Controls are operating accurately and dependably year in and year out.
Actuated by the scientifically calibrated Spencer thermostatic disc, Klixon Controls "snap" the circuit open or "snap" it close quickly and surely every time they operate. Because this Spencer disc eliminates relays, toggles, and other complicated parts that tend to wear out, it keeps on providing accurate performance no matter how often it operates.
Klixon Controls are small, lightweight, compact and are available to meet design and performance requirements for practically every application. They are unaffected by shock, vibration, motion or altitude. If you have a control or protection problem, we suggest you write for complete information, today.
KLIXON
SPENCER THERMOSTAT CO., ATTLEBORO, MASS.
April 1945 — ELECTRONICS
ARE YOU USING THE TUBING best SUITED FOR YOUR JOB?
Irvington can Supply it
BEST suited means a varnished tubing or sleeving that meets every service requirement... at lowest cost!
That's the way IRVINGTON... long the leader in electrical insulation... meets every tubing or sleeving need. For IRVINGTON makes all the types including non-fraying FIBERGLAS... high voltage IRV-O-VOLT... RADIO SPAGHETTI and SATURATED SLEEVINGS... in a complete range of colors and A.S.T.M. sizes.
Thus a recommendation from IRVINGTON can be unbiased... you get the tubing best suited to your needs, not only from the standpoint of efficiency, but economy as well.
In addition, you get that extra increment of electrical surety which IRVINGTON'S 'know how' and 'manufacturing control' provides. For literature, or engineering assistance, write to Dept. 106.
IRVINGTON PRODUCTS:
Cotton, Fiberglas, or Rayon Tubings and Sleevings — Varnished, Lacquered, or Vinylite Processed
Non-Fraying Fiberglas Sleeving
Transformer Lead Tubings
Wire Identification Markers—Varnished or Plastic
Extruded Plastic Tubings
Fibron Plastic Tapes
Varnished Fabrics and Papers
Slot Insulations
Harvel and Irvington Insulating Varnishes
Cardolite Resins
"LOOK TO IRVINGTON FOR CONTINUED LEADERSHIP IN INSULATION"
IRVINGTON
VARNISH & INSULATOR COMPANY
Irvington 11, New Jersey
of 45 degrees. On the basis of this, the dipole was placed first at 0 degrees, then at 90 degrees to the field. That the correct position had been found was indicated by switching the field on and off and noting that there was no deflection of the dipole. With the field off, the dipole strip was then set midway between these two positions, therefore being at 45 degrees to the field. With the field on, the torsion head is
Construction of induced dipole for u-h-f field strength measurements. The insert shows the minor details: reflecting surfaces are represented by heavy lines
turned until the dipole again takes this 45-degree position. The square of the field strength is then proportional to the angle of rotation of the torsion head. The dipole was calibrated at 1.2 Mc in a field between 20 cm square parallel plates 6.7 cm apart. The field strength used was in the range of 10 to 30 volts per cm.
**Dielectric Type**
The dielectric thermometer method depends on the measurement of the rate of expansion of a liquid dielectric heated by the field under examination; this rate is proportional to the square of the field strength. This instrument was used to compare fields at two fixed frequencies using normal propyl alcohol of uncertain purity as the liquid dielectric.
The dielectric thermometer consisted of a thin glass walled bulb of 0.73 cm with an attached capiWhether for Radio's finest programs or amateur auditions, best recordings are made on
audiodiscs
AUDIO DEVICES, INC. • 444 MADISON AVE., N.Y.
they speak for themselves audiodiscs
Crystal gateways for your voice
Four hundred and eighty telephone conversations over a coaxial cable was one of the last peacetime achievements of communication research in Bell Telephone Laboratories. In this multi-channel telephone system, each conversation is transported by its own high-frequency carrier current. At each end of the line are crystal gateways; each opens in response to its own particular "carrier" with the message it transports. In telephone terminology, these gateways are filters.
The ultra-selective characteristic of these filters is made possible by piezo-electric quartz plates, cut in a special manner from the mother crystal, and mounted in vacuum. Each set of plates is precisely adjusted so that the filter responds only to the frequency of its assigned channel, rejecting all others. In the coaxial terminal equipment, such crystal gates sort out messages for delivery to their four hundred and eighty individual destinations.
In recent years, Bell Telephone Laboratories research has provided the Armed Forces with many types of electrical equipment in which frequency is controlled by quartz crystals. Notable is the tank radio set which enables a tank crew to communicate over any one of 80 different transmission frequency channels by simply plugging in the appropriate crystal. The future holds rich possibilities for the use of quartz crystals in Bell System telephone service.
BELL TELEPHONE LABORATORIES
Exploring and inventing, devising and perfecting for our Armed Forces at war and for continued improvements and economies in telephone service.
See how much you can save with Shakeproof Thread-Cutting Screws.
- Eliminate Tapping!
- Speed Assembly!
- Reduce Costs!
Send for free test kit! Drive these screws yourself. Watch them actually cut their own threads easily in any thickness of metal. See what a snug, tight fastening each screw produces. Write for your Test Kit No. 22, today!
It's simple! Just figure what tapping costs you per thousand machine screws used—and don't forget to add the cost of taps and maintenance. These costs are what you eliminate with Shakeproof Type 1 Thread-Cutting Screws. And, what's more, you save vital assembly time and get tighter, stronger fastenings, too! Get complete data and prices on this faster, lower cost assembly method now!
Shakeproof Inc.
Fastening Headquarters
Distributor of Shakeproof Products Manufactured by Illinois Tool Works
2501 North Keeler Avenue, Chicago 39, Illinois
Plants at Chicago and Elgin, Illinois • In Canada: Canada Illinois Tools, Ltd., Toronto, Ontario
Los Angeles Office 5670 Wilshire Blvd., Los Angeles 36, Cal. Detroit Office 2895 E Grand Blvd. Detroit 2, Mich.
Do you need longer life, open blade switches in smaller sizes to solve many installation problems? If so, you will be delighted with these. Now you can really design for compactness with switches that users' tests have shown well above ten million actuations. They can handle 15 amps. at 115 volts A.C. Made for normally open or normally closed circuits and double throw. Also well adapted to mounting in multiples. Standard pressure range from 3 to 5 oz. Engineered with the same positive beryllium Rolling Spring action that built the Acro-Snap reputation. (Similar characteristics applicable to vertical mounting model shown below). ACRO basic pin actuator switch code No. HRD7-1A2T approved under spec. AN-S-39 Dwg. AN3210-1. Other ACRO Rolling Spring Switches made to over 1,000 different specifications. Write for further details.
THE ACRO ELECTRIC COMPANY
1316 SUPERIOR AVENUE CLEVELAND 14, OHIO
Sensitivity of various liquids was examined. N-propyl alcohol of unknown purity was found to be the most sensitive. Calculations from the dielectric constant of alcohol verified the observations made with this dielectric thermometer within the accuracy of the known constants. The dielectric thermometer was calibrated against the induced dipole.
Because of the greater portability of the dielectric thermometer, it was decided that the best procedure would be to calibrate this thermometer against the more sensitive induced dipole and to use the thermometer for field measurements.
Photoelectric Fourier Analysis
FOURIER SYNTHESIS and analysis by a new photoelectric method is described in the October 1944 Philosophical Magazine (Taylor & Francis, Ltd., Red Lion Court, Fleet Street, E.C.4, London) by R. Furth and R. W. Pringle.
The system makes use of a disk of photographic film on which the pattern shown in Fig. 1 is reproduced. On the disk, pairs of circles contain the various harmonics. The inner ring contains the sine term of the fundamental, the second ring contains the corresponding cosine term. In this way succeeding rings contain sine and cosine terms for harmonics up to the ninth. The disk
Among the many types of tubes produced by North American Philips for war purposes is the 5-inch cathode ray tube illustrated here. The problem with this type tube was to produce it in volume with evenly coated screens having no pinholes or other defects.
The ability to produce, in volume, Norelco cathode ray tubes that meet rigid specifications, is the result of experience gained by an organization with a background of over half a century of research and development in the electrical field.
Although Norelco tubes now go to our armed forces, a list of tube types we are especially equipped to produce will be sent on request.
North American Philips will have postwar facilities available for the development and production of tubes for projection television; also amplifier, transmitting, rectifier and special purpose tubes.
Write today for interesting booklet on "How and Why Cathode Ray Tubes Work" and the brochure describing the background of North American Philips in the science of electronics.
*When in New York, be sure to visit our Industrial Electronics Showroom.*
OTHER PRODUCTS: Quartz Oscillator Plates; Searchray (Industrial X-ray) Apparatus, X-ray Diffraction Apparatus; Medical X-ray Equipment, Tubes and Accessories; Tungsten and Molybdenum Products; Fine Wire; Diamond Dies.
Norelco Electronic Products by NORTH AMERICAN PHILIPS COMPANY, INC.
Dept. C-4, 100 East 42nd Street, New York 17, N.Y.
Factories in Dobbs Ferry, N.Y.; Mount Vernon, N.Y. (Metalix Div.); Lewiston, Me. (Elmet Div.)
A SPRING NOT IN THE HANDBOOKS
Typical of the engineering which has produced AMP SIMPLIFIED WIRING is the development of the conducting member of the AMP connector block. After careful study of the job to be done, the goal was set and the problem analyzed in logical functional design stages.
The result is a device — simple, economical and completely satisfactory — which does the job desired. The conductor member supplies connect ends for the disconnect terminals and, by a series of ingenious spring actions incorporated in its design, is itself held firmly in place in the block and is a means of sound electrical connection between adjacent members.
Terminals are in position for shortest possible overall length.
Conductor design starts, taking minimum lateral space and providing support tabs.
Contact surfaces extended, block reshaped to hold members securely and help insulate unit.
To connect adjacent members tabs are shaped as spring members; metal plugs may be inserted.
Bend in mounting tab creates spring pressure against mounting screw and on terminal slot.
Completed conductor member.
AMP connector block assembled. Connections insulated and locked when cover is in place.
ONLY TWO PARTS
IDENTICAL ENDS
STAY TOGETHER UNTIL INTENTIONALLY TAKEN APART
AMP SIMPLIFIED WIRING
The Basic Approach to Product Improvement!
Solderless wiring has been reduced to its essentials by AMP Simplified Wiring . . . two identical locking-unlocking ends provide the basis for an entire system of solderless wiring.
Visualize for yourself the impact of this innovation in terms of your own production.
1. Connect two wire ends by using AMP knife-switch splicing terminals.
2. Modify or adapt design of present members of components to incorporate identical end as integral part of metal stamping — to which splicing terminal may be attached or detached at will.
3. AMP connector blocks, connector strips, terminal blocks, terminal strips, and multiple connectors, already in production, offer new bases upon which to re-design wiring harnesses and wiring systems for low cost assembly and maintenance.
AIRCRAFT-MARINE PRODUCTS INC.
1521-53 NORTH FOURTH STREET - HARRISBURG, PENNSYLVANIA
S. F. BOWSER CO. LTD., 113 GEORGE ST., TORONTO, ONTARIO
Investigate AMP Simplified Wiring . . . a basically sound principle . . . electrically, economically production-wise. Write today for as many copies of AMP Bulletin 33 as you need.
BUS BAR
April 1945 — ELECTRONICS
Light? We call it "LIGHT FANTASTIC"!
... a transformer headed for 65,000 feet "altitude" ... at 350 degrees temperature!
And to top it off, it had to be "lighter than anything on the market," *they said. What, we asked, was it for? They couldn't tell us, and we don't know to this day, but we do know it was badly needed.
"It has to operate not only on a 60-cycle current at ground level, but from 400 to 2600-cycle current, and what's more, at a simulated altitude of 65,000 feet."
Thermador built this special transformer equipment. It passed the above mentioned requirements. That wasn't enough. They gave it another test, in which they changed the temperature from ambient (the temperature of a fairly warm room) to 350—in two hours. It passed that test, too. This is all we know of one of the most mysterious jobs we ever did, in the not-mysterious method in which we built all of our transformers.
*For reasons of military security names cannot be given.
BUY WAR BONDS
THERMADOR TRANSFORMERS
DEFEAT HEAT • COLD • HUMIDITY
THERMADOR ELECTRICAL MANUFACTURING CO.
5119 SOUTH RIVERSIDE • LOS ANGELES 22, CALIFORNIA
PORTABLE POWER PROBLEMS
THIS MONTH—FISHER CARBANALYZER
TIME-SAVING carbon content analyses of steel samples—from molten metal to report—take only five minutes with the portable, battery-powered Carbanalyzer, produced by the Fisher Scientific Company. Leading steel firms employing open hearth or electric furnaces quickly make carbon determinations of each steel batch, achieving close control of quality.
CARBANALYZER, powered by Burgess Industrial Batteries, operates over a range of .05% to 1.50% carbon content and is sensitive to a change of ± .005%. The power requirements of modern control and test instruments are fully met by Burgess Industrial Batteries—the standard of quality for all commercial uses. The types you require may not be immediately available today since industrial battery production is greatly reduced by urgent war needs.
Burgess Battery Company, Freeport, Illinois
BURGESS BATTERIES
FOOD IS A WAR WEAPON—USE IT WISELY!
Famous for the WORLD'S MOST COMPLETE LINE of dry batteries
is rotated between a light source and a photoelectric cell at a speed of 300 rpm. Associated with each ring is an optical wedge. The output of the photoelectric cell is fed through amplifiers to an oscilloscope.
In operation, the optical wedges are adjusted to give the amplitude on the oscilloscope screen of the particular harmonic sine or cosine terms of the function being synthesized. This adjustment is done individually for each one of the rings with all the others blanked out.
A continuous-control potentiometer driven from the same shaft as the optical disk provides the time-base for the oscilloscope. Fig. 2 shows a sawtooth wave synthesized by this method.
This photoelectric method can also be used for analysis of the Fourier terms in a given periodic function. The terms of such a function are given by the formula
\[ a_n = \frac{2}{T} \int_0^T \cos (2\pi n/T) f(t) dt \]
\[ b_n = \frac{2}{T} \int_0^T \sin (2\pi n/T) f(t) dt \]
These integrals can be evaluated
FIG. 2—Synthesis of a saw-tooth wave using (a) the first four terms in the Fourier series and (b) using the first eight terms
FIG. 3—The use of a mixer tube to combine two light impulses from the phototube Fourier analyzer accomplishes electrically the required mathematical integration of a product
LELAND ELECTRIC COMPANY
Engineering Department Report
ASSIGNMENT:
To provide airborne power units for radar, automatic pilot, gyroscopic compass, fluorescent lighting, and to operate from main electrical system of aircraft.
SOLUTION:
Leland engineers designed special lightweight, highly efficient inverters converting direct current to 400 or 800 cycle alternating current with controlled frequency and voltage regulation. Radio interference was held to a minimum.
NOTE TO ELECTRICAL ENGINEERS
This example of Leland Creative Electrical Engineering indicates our ingenuity and ability to solve your specific problem with custom-designed power equipment.
If it calls for CREATIVE ELECTRICAL ENGINEERING... call for Leland!
THE Leland ELECTRIC COMPANY
DAYTON, OHIO • IN CANADA, LELAND ELECTRIC CANADA, LTD... GUELPH, ONTARIO
How Fedelco-Sealing solved this environment* problem
Radio transformers like this, efficient under ordinary conditions, had been going bad in airplanes. The trouble was traced to moisture, condensation being accelerated by changes in altitude and temperature. Fedelco-Sealing solved the problem. A metal case was designed to fit the original mounting—one requirement; leads were brought through sealed terminals in the base, and the cover was sealed on. Then the case was exhausted, refilled with dry air, and sealed permanently, ending moisture troubles.
*ENVIRONMENT may cause trouble...
You Can Control These "Conditions Beyond Your Control"
DUST INSECTS
TAMPERING MOISTURE
Fedelco-Sealing protects apparatus from environment*
To insure the long life and unfailing performance you build into your product, insure its Environment-Free operation, with Fedelco-Sealing. By this process, an electrical or mechanical device is sealed into an air-tight housing, which can be exhausted, and, if desired, filled with dry air or inert gas, at atmospheric, lower, or higher pressures.
Ship your product to us and we will Fedelco-Seal it for you. Or you can Fedelco-Seal your own products, in your plant, with our methods and our equipment. Get details on this new and progressive method now—from any of the offices listed below.
FEDERAL ELECTRIC COMPANY, INC.
8700 South State Street, Chicago 19, Illinois • Phone: VINcennes 5300
E. B. Mathewson Company, sales agents • 612 North Michigan Avenue, Chicago 11, Illinois • Phone WHitehall 4822
Sales offices: New York 17, N. Y.—Graybar Bldg. • Chicago 11, Ill.—612 N. Michigan Ave. • Philadelphia 7, Pa.—Real Estate Trust Bldg.
Kansas City 8, Mo.—2017 Grand Ave. • Atlanta, Ga. • Troy, N. Y.—17 Bank Street
1. Can Plastic Molding improve your product?
2. Your Plastic Part should be molded of... What?
3. What goes into Plastic Design?
4. Where should your Mold be made?
5. Considerations of Plastic Production
6. What to look for—and why—in your Custom Molder
Our new illustrated brochure "A Businessman's Guide to the Molding of Plastics" discusses all those topics—and others. For engineers and purchasing departments, some technical data is included, along with a description of the resources and physical equipment we devote to producing better plastic moldings. If you are interested in this brochure, please write our Dept. 7 and request it on your letterhead. Your copy will be mailed promptly—with our compliments.
Kurz-Kasch, Inc., 1425 South Broadway, Dayton 1, Ohio • Branch Sales Offices: New York • Chicago • Detroit • Indianapolis • Los Angeles • Dallas • St. Louis • Toronto, Canada • Export Offices: 89 Broad Street, New York City
For over 28 years Planners and Molders in Plastics
by the circuit of Fig. 3. The plate current of the circuit is
\[ i = i_0 + Ag_1 + Bg_2 + Cg_1g_2 \]
(2)
If the two grid voltages are made functions of time this last term of Eq. (2) becomes of the form
\[ C\left(\frac{1}{T}\right)\int_0^T g_1(t)g_2(t)dt \]
(3)
where \( g_1(t) \) is made to represent the term to be analyzed by plotting it in polar coordinates on a supplementary disk mounted in the transparent center of the disk of Fig. 1, and \( g_2(t) \) is obtained from the harmonic sine-cosine disk by blanking out all but the desired ring.
The technique consists of obtaining a current reading for \( i \) of Eq. (2) with both the harmonic and the function optical systems active. The function (\( g_1 \)) system is darkened and a current corresponding to
\[ i_2 = i_0 + Bg_2 \]
(4)
is obtained. By darkening the harmonic (\( g_2 \)) system, a current corresponding to
\[ i_1 = i_0 + Ag_1 \]
(5)
is obtained. With both the optical systems dark \( i_0 \) is obtained. From Eq. (2), (4) and (5) and the value of \( i_0 \) the solution for \( Cg_1g_2 \) is
\[ Cg_1g_2 = i - i_1 - i_2 + i_0 \]
(6)
which is the value of the definite integral of Eq. (3). An analysis of a square wave carried out in this method is given in the table.
| n | \( a_n \) (exp) | \( a_n \) (theor) | \( b_n \) (exp) | \( b_n \) (theor) |
|---|-----------------|------------------|-----------------|------------------|
| 1 | 0 | 0 | 42 | 42 |
| 2 | 0 | 0 | 1 | 0 |
| 3 | 0 | 0 | 13 | 14 |
| 4 | 0 | 0 | 0 | 0 |
| 5 | 1 | 0 | 7 | 6.4 |
| 6 | -1 | 0 | 2 | 0 |
| 7 | 2 | 0 | 6 | 8 |
This table gives a comparison of the experimental and theoretical harmonic coefficients of a square wave and shows the utility of the method.
The equipment described for this synthesis and analysis was an experimental laboratory model. The authors believe that, with proper care in construction of the optical system and the use of specially designed circuits, the accuracy of the method could be greatly improved. The ease of operation and versatility of the method both for demonstration and as an analytical
Better Metals for Many Uses
Precision-made brass and other Western copper-base alloys will serve important functions in a large number of tomorrow's new and improved products. Manufacturers seeking alloy metals to meet very exacting requirements find that Western, with mills at East Alton, Ill., and New Haven, Conn., delivers as specified...in sheet, strip, long coils or stamped parts.
We may be able to serve you. Now, perhaps—or later. Your inquiry will be welcomed. Western Brass Mills, East Alton, Ill., Division of Olin Industries, Inc.
Western Brass Mills
Masters of Precision
Brass • Bronze • Phosphor Bronze • Nickel Silver • Copper
Electronics — April 1945
UNIVERSAL’S NEW D-20 MICROPHONE
The stage was set for something new and here it is. Universal’s new D-20 Microphone... soon on your radio parts jobbers’ shelves to fill your essential requirements... uses Universal’s “Dynoid” construction... A dynamic microphone of conventional characteristics built to fill the utility requirements of war time plus advance styling of the many modern things to come. Orders placed now with your Radio Parts Jobbers will assure early delivery when priority regulations are relaxed.
FREE — History of Communications Picture Portfolio. Contains over a dozen 11" x 14" pictures suitable for office, den or hobby room. Write factory for your Portfolio today.
UNIVERSAL MICROPHONE COMPANY
INGLEWOOD, CALIFORNIA
FOREIGN DIVISION: 301 CLAY STREET, SAN FRANCISCO 11, CALIFORNIA • CANADIAN DIVISION: 560 KING STREET WEST, TORONTO 1, ONTARIO, CANADA
April 1945 — ELECTRONICS
FLEXIBLE VARNISHED TUBING PRODUCTS INCLUDING FIBERGLAS
Ease of handling in the shop and permanence in the finished assembly are features of Dieflex varnished tubings and sleevings which designers and production men appreciate.
Dieflex Products are a decided aid in manufacturing—the smooth inside treated bore is easy to thread—prevents snagging—facilitates telescoping. The roundness and non-flattening qualities—extreme flexibility and non-fraying qualities, give maximum workability and protection. The Fiberglas grades give permanence. Its complete varnish impregnation gives excellent protection against moisture, oils, and chemicals and provides maximum electrical insulating qualities.
Obtain the finest varnished tubing products by specifying Dieflex. They meet or surpass V.T.A. and A.S.T.M. standards.
WHEN IN NEED CALL FOR THE IMC ENGINEER
INSULATION MANUFACTURERS CORPORATION
★ CHICAGO 6 • 565 West Washington Blvd.
★ CLEVELAND 14 • 1005 Leader Building
Representatives in
MILWAUKEE: 312 East Wisconsin Avenue
DETROIT: 11341 Woodward Avenue
MINNEAPOLIS: 316 Fourth Ave., South
PEORIA: 101 Hains Court
Deep is the magic of SOUND
The magic of sound has been the business of Webster Electric for many years. Our engineers have applied their talents to the building of Webster Electric Pickups of just the right balance, the right pressure and of just the proper materials to reproduce sound with the utmost fidelity.
Today this engineering and manufacturing skill of Webster Electric is being devoted to bringing victory closer.
In the course of these herculean efforts to develop more and better products for war and to build them in greater quantity, we have learned important things...have made discoveries that will make Webster Electric Pickups more than ever capable of giving you the clear, high quality tone reproduction you have learned to expect from Webster Electric products.
As you develop fine new products for post-war markets, you will want to know more about what Webster Electric has in store for you. We invite you to keep in touch with our laboratories and our engineers in order that you may be ready with the finest in tone reproduction.
Let's All Back the Attack
Buy Extra War Bonds
WEBSTER ELECTRIC
Racine, Wisconsin, U.S.A. • Established 1908 • Export Dept.: 13 E. 40th Street, New York (16), N.Y. Cable Address "ARLAB" New York City
"Where Quality is a Responsibility and Fair Dealing an Obligation"
Magnetic Current Investigation
To verify Ehrenhaft's claims of having experimentally established the existence of a pure magnetic current, D. M. Milles conducted an investigation of the existence of magnetic current which was published in the Philosophical Magazine (Taylor & Francis, Ltd., Red Lion Court, Fleet St., E. C. 4, London) for May, 1944.
The equipment shown in the illustration was similar to that used by Ehrenhaft except that the pole pieces, $P_1$ and $P_2$, were cleaned and heavily coated with tin where they would come in contact with the acid. The use of a tin coating permitted the conduction of electric current through the magnet and electrolyte which might take place as a consequence of the looked-for dissociation. The use of paraffin by Kendall to protect the pole pieces from electrolytic action might have interfered with this passage of electric current.
The experimental technique consisted of passing current through the electromagnet for periods of approximately 8 hours. A field of
transformer designs
FOR Every ELECTRONIC NEED
Although specialists in the design and quantity production of transformers for a quarter century, the demands of the past few years have brought about many developments. The requirements for military and essential industry purposes have multiplied many-fold with further emphasis on exactness and uniformity.
Transformer specialists before the War—great strides have been made in anticipating and meeting requirements of greatly varied character that have multiplied many-fold for military and essential industrial purposes.
Reports from all over the world emphasize the reliability of Jefferson Electric Transformers. Wherever used—on land, sea or in the air—in the frozen North, or hot, dry or humid tropics, the value of "quality" is being demonstrated daily.
Now is a good time to study your transformer requirements and let Jefferson engineers make recommendations that will save your time later.
JEFFERSON ELECTRIC COMPANY
BELLWOOD (SUBURB OF CHICAGO) ILLINOIS
IN CANADA: CANADIAN JEFFERSON ELECTRIC CO. LTD., 384 PAPE AVENUE, TORONTO, ONT.
IT'S SPRING...
and the Plants are Booming!
NO, THAT'S NOT A TYPOGRAPHICAL ERROR. We're not speaking of the agricultural variety of plants. We mean WAR plants—like this one at Eastern—and we mean booming!
When the Japs dive-bombed us into war, all America prayed for a quick ending. Yet here is still another Spring—a fourth peace-shattered Spring—and the enemy is still fighting back.
It's a tough war and we at Eastern Amplifier know it! Eastern is all-out for Victory, doing its utmost to help end the conflict before another Spring comes. Eastern-built equipment is helping America's war machines to navigate with certainty—to bomb with accuracy. But we're not stopping there! Eastern engineers are available for consultation on any electronic problem. They are serving NOW!
With the advent of peace, we shall turn our skill to the creation of better electronic products for a better America. Meanwhile, on request, let us send you the next of a series of articles on important phases of electronics, prepared by our engineering staff. Ask for Brochure 4-F.
Manufacturer's Representatives — write today for our post-war distribution plan. Please outline your present operations.
Buy MORE War Bonds
EASTERN AMPLIFIER CORPORATION
U. S. Reg'n. Applied For
794 East 140th Street • New York 54, N. Y.
April 1945 — ELECTRONICS
Announces the acquisition of WEBSTER PRODUCTS
The former Webster Products organization and facilities will be retained intact and will operate as the Electronics Division of Webster-Chicago Corporation. This division is now manufacturing dynamotors and voltage regulators for the war program.
For peacetime production, the Electronics Division will resume manufacture of Webster Record Changers as well as several new, but related products, already designed and ready for postwar production. Watch for later important technical and merchandising information over this new signature.
Again Postwar, You Will Find Webster Record Changers in High Quality Combinations
WEBSTER CHICAGO
ELECTRONICS DIVISION
3825 ARMITAGE AVENUE, CHICAGO 47, ILLINOIS
approximately 3,000 gauss at the center of the region between the poles was maintained. Liquid in the voltameter was battery acid diluted with an equal volume of distilled water and boiled before use. Current was reversed between successive runs so that during one run the left-hand pole was a south pole and in the succeeding run the right-hand pole was a south pole.
Although gas was liberated, it was in such small quantities and its liberation so erratic from run to run that it was concluded from these observations there is still considerable doubt as to the existence of a magnetrolytic effect, but that the experiments do not completely exclude possibilities. Because of bubbles of gas which appeared in the horizontal arm of the voltameter, it was believed that air dissolved during the filling of the voltameter was liberated from the bulk of the acid, and not exclusively at the magnetic poles. However, the negative results of Kendall seem to be amply verified by these experiments, and in the absence of any indications from theoretical considerations as to the most favorable experimental arrangements, all that can be concluded from these results is that it will be necessary to conduct additional experiments similar to those of Ehrenhaft before the existence of magnetic current is definitely established or disproved.
• • •
London Letter
By JOHN H. JUPE
London Correspondent
Large Screen Television. Details of a new television system capable of being used for cinema work are given in Swiss Technic for February, 1944. The basic principle involved is the point-to-point distortion of the surface of a liquid by means of electrostatic forces.
Light from an arc lamp is passed through an optical system to the screen via a special shutter. This shutter consists of a trough containing a heavy mineral oil such as apiezonol in a layer about 0.1 mm thick, being spread evenly over the surface of the plate (which revolves) by a squeegee. Included in the optical system are two grilles arranged so that the light rays passing between the lower grille are exactly blocked by the upper
Who sets the Quality Standard for Transmitting Tubes
Brilliant United craftsmanship is steadfastly verified and maintained by skillful and vigilant testing—truly representative of daily production. For this reason every United tube must pass through a series of critical examinations that do not permit any defects, no matter how minute they may be, to escape unnoticed.
By maintaining Quality Standard Tests of the highest order United engineers and technicians have achieved recognition for leadership. To engineers everywhere, the name United is the trusted standard by which other transmitting tubes are judged and measured.
For every electronic application including radio communication, physiotherapy, industrial control and electronic heating, standardize with tubes that are the Quality Standard. “Tube up” with United.
Order direct or from your electronic parts jobber.
Masterpiece of Skilled Hands
UNITED ELECTRONICS COMPANY
NEWARK, 2 NEW JERSEY
Transmitting Tubes EXCLUSIVELY Since 1934
This B-L Battery Charger was designed to meet special need in Airport Fire Truck
It maintains a 12 volt, 6 cell heavy-duty storage battery, which is a component part of the fire truck shown at the right, and furnishes power for mechanical operation of the booms directing the mass carbon dioxide discharge.
Since the nozzles must be directed to the proper position in extinguishing a fire, reliability of the mechanical drive, including the battery, is very important.
The battery is kept fully charged at all times by means of a trickle charge supplied by this B-L Charger. When the truck returns after use, the charger provides a 12 ampere rate for rapid recharging and automatically reduces to the trickle rate when battery charge reaches a predetermined value. The battery is thus fully recharged within a short period of time and maintained at full charge. The operation of this charger is fully automatic and it requires no attention.
The charger is mounted in the body of the truck and is of rugged construction, capable of withstanding severe shocks such as those encountered in operating mobile equipment over rough terrain. It is provided with a B-L selenium rectifier comprising two stacks, a heavy-duty B-L transformer, relays for automatic charge rate control and adjustable pre-set resistors. The entire equipment is housed in a heavy gauge steel cabinet.
Cardox Airport Fire Truck—(capacity, 3 tons of liquid CO₂ supplemented by 500 gallons of foam)—extinguishing in 20 seconds simulated crash fire, involving 400 gallons of gasoline and 150 gallons of oil.
Have You a Conversion Problem?
Twenty-five years of B-L specialized skill in AC-DC conversion problems is available to you. We are designers of Selenium and Copper Sulphide Rectifiers, Battery Chargers, and DC Power Supplies for practically every requirement. We invite your inquiries—address Dept. A.
SELENIUM
COPPER SULPHIDE
THE BENWOOD LINZE COMPANY
1815 Locust Street . . . St. Louis 3, Mo.
DESIGNERS AND MANUFACTURERS OF SELENIUM AND COPPER SULPHIDE RECTIFIERS, BATTERY CHARGERS, AND D.C. POWER SUPPLIES FOR PRACTICALLY EVERY REQUIREMENT.
It's SHANK EXPANSION -
that makes CHERRY RIVETING so tight, so strong, so durable
The high resistance to shear and fatigue typical of self-plugging Cherry Blind Rivets is due to positive mechanical expansion of the rivet shank.
This shank expansion occurs during application when the enlarged plug section of the stem is pulled into the rivet (drawings to right and above). The sides of the rivet are forced against the material being fastened, filling any irregularities in the drilled hole. The installed Cherry Rivet has shear and fatigue values comparable with those of a solid rivet—stays firm, even under excessive strain and vibration. No special locking device is required.
Cherry Blind Rivets have generous tolerances in hole size and material thickness, as indicated in the drawings. Breaking the stem at the notch above the rivet head, rather than automatically breaking it at the nominal grip length, allows greater material thickness tolerance. The broken end is then trimmed flush with flat ground nippers.
Oversize shanks on special order.
Please send me your new booklet. Also enclose the metal demonstration panel which shows actual stages in installation of Cherry Rivets.
Cherry Rivet Company, 231 Winston St., Los Angeles 13, Calif., Dept. A-120
Send for your booklet and demonstration panel
CHERRY RIVETS, THEIR MANUFACTURE AND APPLICATION ARE COVERED BY U.S. PATENTS ISSUED AND PENDING
Cherry Rivet Company
LOS ANGELES, CALIFORNIA
Name____________________________________
Street_____________________________________
City_________________ Zone_____ State_______
Firm__________________________ Title__________
Oil Type EC CAPACITRONS
...Ready to Meet Your Requirements!
Up to 10 MFD. Capacity
Sturdy Single Hole Mounting
No Brackets Needed
DIMENSIONS IN INCHES
| Catalog Number | Capacity in Mfd. | Working Voltage D.C. | A | B | C | D | E | F |
|----------------|------------------|----------------------|-----|-----|-------|------|------|------|
| 6EC200 | 2.0 | 600 | 2 3/4 | 1 1/2 | 3/4x16hd | 1 | 1 3/4 | 5/8 |
| 6EC300 | 3.0 | 600 | 4 1/2 | 1 1/2 | 3/4x16hd | 1 | 1 3/4 | 5/8 |
| 6EC400 | 4.0 | 600 | 4 1/2 | 1 1/2 | 3/4x16hd | 1 | 1 3/4 | 5/8 |
| 6EC500 | 6.0 | 600 | 4 | 2 | 1x14hd | 1 1/8 | 1 3/8 | 1 |
| 6EC800 | 8.0 | 600 | 4 1/2 | 2 | 1x14hd | 1 3/8 | 1 3/8 | 1 |
| 6EC1000 | 10.0 | 600 | 4 | 2 1/2 | 1x14hd | 1 3/8 | 1 3/8 | 1 |
| 10EC100 | 1.0 | 1000 | 2 3/4 | 1 1/2 | 3/4x16hd | 1 | 1 3/4 | 5/8 |
| 10EC200 | 2.0 | 1000 | 4 1/2 | 1 1/2 | 3/4x16hd | 1 | 1 3/4 | 5/8 |
| 10EC400 | 4.0 | 1000 | 4 | 2 | 1x14hd | 1 3/8 | 1 3/8 | 1 |
| 10EC600 | 6.0 | 1000 | 4 | 2 1/2 | 1x14hd | 1 3/8 | 1 3/8 | 1 |
| 10EC800 | 8.0 | 1000 | 4 1/2 | 2 1/2 | 1x14hd | 1 3/8 | 1 3/8 | 1 |
| 15EC50 | .5 | 1500 | 2 3/4 | 1 1/2 | 3/4x16hd | 1 | 1 3/4 | 5/8 |
| 15EC100 | 1.0 | 1500 | 4 1/2 | 1 1/2 | 3/4x16hd | 1 | 1 3/4 | 5/8 |
| 15EC200 | 2.0 | 1500 | 4 | 2 | 1x14hd | 1 3/8 | 1 3/8 | 1 |
| 15EC400 | 4.0 | 1500 | 4 1/2 | 2 1/2 | 1x14hd | 1 3/8 | 1 3/8 | 1 |
All of the Above A.W.S. Army-Navy Submersion Proof Units Available in Production Quantities for Prompt Delivery. Write, Wire or Telephone — Now!
The CAPACITRON Company
849 North Kedzie Ave.,
Chicago 51, Illinois
Telephone VAN Buren 3322
OUR NEW HOME - America's Most Modern Capacitor Manufacturing Plant
grille when the oil film is undistorted.
A cathode-ray beam from the electron gun charges the surface of the liquid electrostatically, the beam being subjected to scanning motion by deflector coils and given an intensity modulation by another coil so that there is deformation of the normal molecular alignment of the oil in proportion to the strength of the incoming signal, and a pencil of light is able to pass over and around the upper grille on to the screen.
The deformation of the film is purely local and persists only for a short time, the charges being dissipated by arranging that the oil is slightly conducting.
Owing to the considerable concentration of light in the optical system and the focussing of the electron beam, a fair amount of heat is produced and both the grilles and oil trough are water cooled, the latter by a cooling plate.
No performance data has yet been released concerning this apparatus but it seems to be promising, since the designers have taken the trouble to produce rather bulky apparatus (of high mechanical precision), much of which must be operated in a high vacuum.
Undersea Amplifier. Details have just been released of experiments carried out in 1943 by the British Post Office on a submerged thermionic repeater for a submarine cable used for carrier-current telephony circuits.
Three stages are used in the amplifier, each stage having two spare tubes which can be brought into the circuit by impulse switching from a shore station. Commercial tubes are used and life tests showed that they would have a probable life of 20,000 hours ± 25 percent. Power for the amplifier is fed from the shore, via the cable and a ground plate, 0.63 amp. at 230 direct volts being the supply.
The weight of the equipment is about 2,000 lb, but much of this is due to the fact that the cases have to withstand continuous sea immersion.
The first repeater built, and claimed to be the first ever included in a working cable system, was laid in the sea between England and Ireland in June 1943, and by its use the number of carrier
Unique research, engineering, tool design and production skills combine, not only to build control devices that fulfill the most exacting requirements, but also to build special purpose devices for which no specifications exist. Our list of customers, the most exacting in government, aviation and manufacturing, attest to these skills.
Manufacturers of Electrical, Electronic & Mechanical Control Devices
EAD
EASTERN AIR DEVICES, INC.
585 Dean Street • Brooklyn 17, N.Y.
An Affiliate of THE FRED GOAT CO., INC., Est. 1893
MODEL J 80 A
AXIAL FLOW BLOWER
AIR DELIVERY (FREE AIR)
170 C.F.M. (NEMA CODE)
65 C.F.M. (NAFM CODE)
60 cycles • 115 volts • single phase capacitor run • 3100 R.P.M. • 12 watts input • 1 oz. in. starting torque • 1 mfd. condenser required • Weight 16½ oz. Overall length 3 1/16" • Motor diameter 1¾" • Fan: 4 blade propeller type, 4" diameter.
We invite inquiry!
Elastic "GLOBAR" Resistors
Did you ever hear of an elastic resistor? Here is one type—a resistor that springs back when you release the potential or load. Conversely, when the potential or load is applied, the resistance decreases. Study these curves; they may suggest a solution to one of your problems.
"GLOBAR" Negative Resistance-Voltage Characteristic Resistors are currently being used in the following typical applications:
1. Peak voltage limiters (to limit voltage peaks for protective purposes). For example, they are used in Oil Burner Ignition Transformers to eliminate the inductive kick due to the opening of the electric circuit.
2. Stabilizing circuits supplied by Rectifiers to limit the peak voltage.
3. For the control of voltage circuits in Electronic devices.
4. Protection of Solenoids in direct current circuits.
Resistors of this type must, of necessity, be manufactured to meet the purchaser's needs. Therefore, the following information should be furnished when considering the use of such resistors:
(a) Type of apparatus in which resistors are to be used.
(b) Method of mounting and whether they will be mounted in series or in parallel.
(c) Normal and peak voltage as well as the resistance and inductance of the circuit.
(d) Ohmic resistance of the resistor and allowable plus or minus tolerance.
(e) Maximum voltage applied continuously or intermittently.
(f) Steady or intermittent load.
(g) Duration of load and elapse of time between its application.
Feel free to write us about your resistor problems. You incur no obligation in doing so.
Working samples for engineering tests are available. The Carborundum Company, Niagara Falls, New York.
"Globar" Ceramic Resistors by CARBORUNDUM
("CARBORUNDUM" and "GLOBAR" are registered trade marks of and indicate manufacture by The Carborundum Company)
Presenting
A NEW 75 MEGACYCLE MARKER RECEIVER
Improved Indication at Low Battery Voltage—A new minimum in unwanted lamp operation—½ A.T.R. Size Case—Reduced Weight
Does your marker receiver give good indications when battery voltage drops to eleven (or twenty-two) volts? Does unwanted lamp operation confuse the pilot during instrument approaches? These difficulties have been eliminated in the design of the new Bendix Radio MN-53 marker receiver; and, in addition, valuable weight and mounting space have been saved.
This receiver is available in a number of different types. This same unit may be used with either twelve or twenty-four volt systems. A centralized radio power supply may be used, or an individual dyna-motor may be plugged right into the unit. In addition there is a model that is both mechanically and electrically interchangeable with existing airline marker equipment. Another feature of this new marker receiver is variable coupling of the intermediate frequency transformers. If adjustment is thus greatly simplified and the desired band pass characteristic can be easily obtained.
For further information on this latest product of Creative Engineering, write direct to the Sales Department, Bendix Radio.
Bendix RADIO DIVISION
BENDIX AVIATION CORPORATION, BALTIMORE 4, MARYLAND
STANDARD FOR THE AVIATION INDUSTRY
ELECTRONICS — April 1945
circuits in the cable was increased from 24 to 48. Unfortunately, however, a filter capacitor broke down after 5 months service and the repeater had to be raised, but the replacement equipment is still working satisfactorily.
"Compandor" Grips IEE Speaker. A speaker at an I.E.E. meeting has drawn attention to the fact that there is no such instrument as a "compandor." His claim being, that with part of the apparatus, in say, England and the other part in America, we cannot speak of it as a single item. The suggestion was that we should adopt the term "companding" to indicate the use of volume compressors at the sending end and of expanders at the receiving end.
A new Electronic Voltmeter. The research laboratories of the G.E. Co. in England have recently developed a new electron-optical instrument for measuring peak voltages in the range 2-20 kv, a.c. or d.c. with an accuracy of 3 percent.
It is based on a triode theorem in which the angle of the beam in a focussed electron system is defined by the ratio of two voltages; the anode voltage and the modulator grid voltage. When both terms in this ratio are multiplied by the same factor, the beam angle remains constant, the modulator bias voltage being directly proportional to the voltage to be measured, when the latter is applied to the anode. Thus, a high voltage is measured in terms of a low one and the instrument constitutes an electronic potentiometer.
This principle can be applied to high-voltage tubes so that they act as their own voltmeters and the range can be extended as desired.
The tube developed has a capacitance of 9 cm and in certain cases can be used in circuits of 1 Mc or higher, because even at the lowest anode voltage, the transit time is only 1/100 cycle and the instrument is free from the inevitable lag of a spark-gap voltmeter.
The instrument measures peak voltages only and gives no information concerning wave form. It should, however, prove very helpful in measuring rapidly fluctuating voltages of widely differing wave forms and where the values obtained with a spark gap voltmeter are known to be unreliable.
CO-OPERATION IS IN THE CARDS
Here is Help in Your Electronic Problems
Each of the representatives listed above is a key man in the Sickles Field Engineering and Co-ordinating Service... ready at all times to aid you in any matter related to radio and electronic parts and components. Chances are they've got on-the-spot information you require, for they're all men with long experience in their field. But if your problem is out of the ordinary they'll quickly take it to headquarters, where Sickles' highly skilled production organization and technical staff will work out the right answer.
Jot down the address nearest to you for prompt, efficient co-operation whenever you need it.
F. W. SICKLES CO. • CHICOPEE, MASS.
VERNON C. MacNABB
P. O. Box 5904, Indianapolis 5, Ind.
Phone: Broadway 6770
Representing: The F. W. Sickles Co.
L. P. MACK
1603 S. Michigan Ave., Chicago 16, Ill.
Phone: Victory 5040
Representing: The F. W. Sickles Co.
NORMAN H. LAWTON
1775 Broadway, New York 19, N. Y.
Phone: Circle 6-0867
Representing: The F. W. Sickles Co.
HARRY GERBER
94 Portland St., Boston 14, Mass.
Phone: Lafayette 3484
Representing: The F. W. Sickles Co.
GERALD B. MILLER
8208 Santa Monica Blvd.,
Los Angeles, Cal.
Phone: Hempstead 5388
Representing: The F. W. Sickles Co.
AD. AURIEMA (Export)
89 Broad Street, New York 4, N. Y., U.S.A.
Phone: Bowling Green 9-7751
Representing: The F. W. Sickles Co.
NEWS OF THE INDUSTRY
Association officers; television for industry; network finances; FCC report; train radio, science committees; meetings; news of Washington, companies, and people
Railway Radio Demonstrated at Baltimore Chapter IRE
RELIABLE RAILROAD communication can be expected for a distance of five miles with a 5-watt a-m transmitter and suitable receiver, according to J. W. Hammond of Bendix Radio Division, Bendix Aviation Corp., who presented a paper on the subject during a recent meeting of the Baltimore Section of IRE.
Reviewing field experiences encountered on railroads throughout the country, he described tests of end-to-end communication made through all imaginable types of terrain and in all weather conditions. As he pointed out, differing services such as end-to-end, yard-to-train, terminal-to-train and train-to-train require different circuits but in the interest of a unified system the objective has been to do all tasks with the same equipment.
Limitations of range at vhf did not prove as severe as had been expected, although the road requirements that the antenna be both low and narrow did limit radiation efficiency. This problem was solved by a capacitance-loaded, vertical, end-fed rod. The discussion was concluded by an actual demonstration of communication from the meeting hall to a mobile truck.
Permission was obtained by the Baltimore Section during the winter meeting in New York to supplement its income with paid advertising and use the proceeds to implement a new program of activity.
Preliminary plans being formulated in the Section propose the eventual establishment of a technical reference library; a complete experimental laboratory outfitted with suitable test equipment, power supplies, and other requirements; a Section radio station devoted to experimental research and development; annual Section awards in recognition of outstanding accomplishments of members in that area; unlimited freedom in choice of speakers and subjects; an employment and placement service; technical refresher courses and examination assistance; an expanded social calendar; and more elaborate publication activities.
Nationalized Measurements and Control
A NEW NATIONAL ASSOCIATION, to be called the Instrument Society of America, is being planned by members of the Society for Measurement and Control in Chicago. The objective is to consolidate related organizations in Washington, Pittsburgh, New York, and Boston into a national organization whose membership would be open to individual members not now affiliated with existing local groups.
Wireless Operators' 20th Anniversary
SEVERAL AWARDS for achievements within the electronics field were presented during the twentieth annual dinner-cruise of the VWOA (Veteran Wireless Operators Association), held in New York recently.
Opened by messages of salute from General Dwight D. Eisenhower and Admiral Ernest J. King, the meeting included as guests many of those prominent in the field besides the individuals in the
RMA BOARD OF DIRECTORS 1944-45
[Images of board members]
UHF HARMONIC FREQUENCY GENERATOR
PROVIDES output voltages in 10 or 40 megacycles with CRYSTAL-CONTROLLED accuracy.
SELECTS 10 or 40 megacycle series and IDENTIFIES any one of these harmonics by means of a Frequency Identifier* which consists of a filter providing high attenuation of all voltages except that of frequency to be identified.
USED FOR calibration of receivers, wavemeters, or (with Beat Detector supplied separately) for calibration of oscillators and signal generators.
UHF PRECISION FREQUENCY METER
Completely portable Accuracy 0.1%
Battery or AC-Operated
Models available from 100 to 1500 megacycles with 2 to 1 frequency coverage on each model. Available only on high priority.
RECOMMENDED FOR:
• Production testing
• Measurement of oscillator drift
• Independent alignment of transmitters and receivers
• Precise measurements of frequencies
PRECISION . . . IN MANUFACTURE AND PERFORMANCE!
The LAVOIE trademark is your guarantee of exacting manufacture and precision performance. From the outset we have specialized in the development and production of UHF equipment, working to standards of absolute precision in design, manufacture and operation. The UHF HARMONIC FREQUENCY GENERATOR and PRECISION FREQUENCY METER, shown here, are indicative of the scope of our work and specialized background. We shall be glad to send you additional information on these instruments or discuss any specific requirements you may have in the UHF field for the present or post-war uses.
* Specify frequency of Identifier wanted.
Lavoie Laboratories
RADIO ENGINEERS AND MANUFACTURERS
MORGANVILLE, N. J.
Specialists in The Development of UHF Equipment and in The Manufacture of UHF Antennas
Assembled during the recent 20th-anniversary dinner-cruise of VWOA are E. K. Jett, FCC; Col. T. H. Mitchell, RCA Communications; Capt. E. M. Webster, USCG; Gen. H. M. McClelland, AAF; George W. Bailey, NDRC; W. J. McGonigle, president VWOA; Gen. Frank E. Stoner; Adm. J. F. Farley, USCG; F. C. de Wolf, Dept. of State; Gen. H. C. Ingles; Capt. A. H. Adams, USN; and A. J. Costigan, Radiomarine Corp. of America.
Now--"World's Smallest Transformers" Can be Produced to Meet Your Own Exacting Design Requirements
One of these new Permoflux midget transformer types may be the complete answer to your space or weight problem. Available unshielded, shielded or hermetically sealed, they provide exceptional operating efficiency and uniform frequency response.
The same Permoflux engineers who developed these transformers, using new materials and manufacturing methods, are ready to assist in designing a unit for you. Write for technical catalog listing transformers, speakers, headphones and other Permoflux acoustical products.
BUY WAR BONDS FOR VICTORY!
TRADE MARK
PERM-O-FLUX
PERMOFLUX CORPORATION
4900 WEST GRAND AVE., CHICAGO 39, ILL.
PIONEER MANUFACTURERS OF PERMANENT MAGNET DYNAMIC TRANSDUCERS
Industrial Television
A SINGLE OPERATOR in a control room may be able to control a full battery of lathes, punch presses, or other machines through television, in the opinion of L. M. Clement, vice-president in charge of research and engineering at The Crosley Corp., who addressed a midwestern club recently.
In the system he visualizes, floormen would be dispatched to load and unload machines at the direction of the dispatcher in the television control room. Other useful abilities in the television camhere's help for busy plastics "intelligence officers"
To be as helpful as possible during this time of swift technical developments in plastics, Monsanto has instituted a new Bulletin Information Service, to which you are welcome.
This service is Monsanto's solution to the growing problem of keeping the technical minded plastics man completely informed so that he can make the best possible use of the new materials being developed and the new qualities being added to the familiar, established materials.
These bulletins are issued as soon as new developments are authenticated in the laboratory and the field...without waiting for fancy printing or arbitrary publication dates.
If you have need in your business for these plastics "communiques" we will be glad to place your name on our Bulletin Information Service mailing list. Meanwhile, scan the list of current Monsanto bulletins and publications; if there are any here that interest you, order them with the convenient coupon below. All are free, of course. Address: MONSANTO CHEMICAL COMPANY, Plastics Division, Springfield 2, Mass.
| | The Family of Monsanto Plastics — A guide for product designers | X500-1 | Thalid resins for impression molding. Fabrication information |
|---|---------------------------------------------------------------|--------|-------------------------------------------------------------|
| B | Resinox — A Monsanto plastic | X500-4 | Thalid for impression molding. Application information |
| C | Lustron — A Monsanto plastic | X500-5 | Thalid — Glass cloth laminates. Physical properties |
| D | Monsanto Plastics — A data book for molders and fabricators | X500-6 | Thalid for impression molding. Data sheet |
| X100-1 | Monsanto potting compound | X800-1 | Resimene 803-A Black. Melamine molding material |
| X200-2 | Cerex data sheet | X800-2 | Resimene 801-K Specifications. Molding laminating resin |
| X200-3 | Cerex — Applications | X800-5 | Resimene 803-A General |
| X300-1 | Styramic HT (polychlorostyrene) | X800-6 | Resimene molding compounds and resins |
| X400-1 | Divinylbenzene | | |
MONSANTO CHEMICAL COMPANY, Plastics Division
Springfield 2, Massachusetts
Please send the following bulletins:
- [ ] A X100-1
- [ ] B X200-2
- [ ] C X200-3
- [ ] D X300-1
- [ ] X400-1
- [ ] X500-1
- [ ] X500-4
- [ ] X500-5
- [ ] X500-6
- [ ] X800-1
- [ ] X800-2
- [ ] X800-5
- [ ] X800-6
Name _______________________________________________________
Company ____________________________________________________
Address _____________________________________________________
City __________________________ State _________________________
SPARE PARTS BOXES
...in every needed size!
...for every needed use!
No. 1025-14
30" x 15" x 12"
(Partitions not included)
No. 1025-6
18" x 9" x 9"
24 STOCK SIZES
As per specification 42 B.9 (Int) for shipboard use, Electrical and Mechanical. Navy grey finish. Immediate Delivery.
— WRITE FOR PRICE LIST —
| Number | Length | Width | Height | Number | Length | Width | Height |
|--------|--------|-------|--------|--------|--------|-------|--------|
| 1025-1 | 12 | 6 | 6 | 1025-13| 18 | 18 | 12 |
| 1025-2 | 12 | 9 | 6 | 1025-15| 24 | 15 | 12 |
| 1025-3 | 12 | 12 | 6 | 1025-16| 24 | 15 | 15 |
| 1025-4 | 12 | 9 | 9 | 1025-17| 24 | 18 | 12 |
| 1025-5 | 18 | 9 | 6 | 1025-18| 24 | 18 | 15 |
| 1025-6 | 18 | 9 | 9 | 1025-19| 24 | 18 | 18 |
| 1025-7 | 18 | 12 | 9 | 1025-20| 24 | 12 | 9 |
| 1025-8 | 18 | 6 | 6 | 1025-23| 30 | 15 | 9 |
| 1025-9 | 18 | 15 | 9 | 1025-14| 30 | 15 | 12 |
| 1025-10 | 18 | 12 | 6 | 1025-22| 36 | 12 | 9 |
| 1025-11 | 18 | 15 | 12 | 1025-21| 42 | 9 | 9 |
| 1025-12 | 18 | 12 | 12 | 1025-24| 42 | 12 | 9 |
COLE
STEEL EQUIPMENT COMPANY
349 Broadway, New York 13, New York • Factory: Brooklyn, New York
COLE STEEL OFFICE EQUIPMENT
will again be available after the war
DYNAMIC AIR AXIAL FLOW BLOWERS
DELIVER MORE AIR at high pressures
Even Tiny Units Give Amazing Performance
(Left) No. 43818-1A
Propeller Diameter — 4-1/2"
Overall Length — 5-1/16"
Weight 1 lb. 7 oz.
DELIVERS 100 C.F.M.
@ .38" S.P.
(Fungus proof Plastic Shroud)
(Right) No. 1921A-2
Propeller Diameter — 2"
Overall Length — 3-5/8"
Weight 6-1/2 oz.
DELIVERS 15 C.F.M.
@ .25" S.P.
...WITH FRACTIONS OF SPACE, WEIGHT AND POWER INPUT REQUIRED FOR OLD FASHIONED BLOWERS
No longer is heavy, bulky blower equipment required for efficient air delivery against high pressures. Dynamic Air Axial Flow Blowers, representing over 12 years of development, now bring you the advantages of direct air flow with amazing savings. Much smaller, lighter and more economical in both first cost and operation, they bring great new possibilities for air engineering against static pressures as high as 9" W.G.
The two small models shown above indicate the new high performance standards you can expect from axial flow — and in all fields, from electronics to heavy industry. They are made in 60 to 400 cycles AC and 24 to 115 volts universal DC-AC.
Other equally efficient models are available up to 42" diameter. All are designed to rigid air delivery and weight specifications. Adaptations can be made to the most precise requirements of weight and space limitations.
Consult us about your blower problem.
DYNAMIC AIR ENGINEERING Inc.
LOS ANGELES, U. S. A.
DON'T BE COY
about asking your boss to make the switch from tracing papers to Arkwright Tracing Cloths!
EVEN A BOY
can see they're better for draftsmen. Better in every way—even in cost, in the long run!
WHY NOT EMPLOY
the next two minutes most profitably by writing for free samples? We'll send them gladly. Write, Arkwright Finishing Company, Providence, Rhode Island.
Sold by leading drawing material dealers everywhere
Arkwright TRACING CLOTHS
AMERICA'S STANDARD FOR OVER 20 YEARS
Load Building in Reverse
Because of the serious shortage of electricity and fuel, a new type radio receiver is being put on sale in liberated Holland. Older models now in Dutch homes range from 10 to 20 watts in power consumption. The new model will only require two watts.
Finalists in Science
Forty science-talented high school seniors have been chosen as finalists in the fourth annual Science Talent Search which culminates in the awarding of $11,000 in Westinghouse scholarships.
Of the forty, sixteen showed definite and wide interest in electronic subjects. One has built eleven radio receivers, another, an electronic rectifier for electrolyzing metallic sodium, and a third, his own oscillograph for measuring speed of bullets. Other activities include light-beam sound transmission, a 5-octave electronic organ, brain-wave study, investigation of shock treatment as used in depresNot everybody
Few manufacturers possess the versatile production facilities of The Standard Products Company.
Standard is prepared to develop and plan for industry, parts of molded rubber, steel stampings, plastics, in almost any shape or form.
The services of The Standard Products Company Research Laboratory and Engineering Departments are at your disposal.
Let us have the necessary data and our engineers will submit designs and proposal.
The Standard Products Company is the world's largest manufacturer of glass run window channel and contour weather strip. Production and replacement channel for passenger cars, truck cabs, busses, motor boats, airplane cabins and streamlined trains is now available for delivery.
Your inquiries are solicited.
THE STANDARD PRODUCTS COMPANY
Main Offices and Research Laboratory
505 Boulevard Bldg. • Woodward Ave. at E. Grand Blvd. • Detroit 2, Michigan
FROM PEANUT TUBES TO
Giant Turbines
Versatile GENERAL PLATE LAMINATED METALS Can Improve Performance, Cut Costs
Whether you're working on products for immediate use or planning and designing your contemplated post-war products, General Plate Laminated Metals...sheet, wire or tube...can definitely fit into your product picture.
These versatile permanently bonded laminations of precious metals to base metals or base to base metals increase performance and cut costs in such products as electrical equipment, aircraft, radio, electronic devices, ships, tanks and chemical apparatus. A few of their advantages are that they provide better electrical performance, maximum resistance to corrosion, long life and ease of fabrication...yet they cost but a fraction of the cost of solid precious metals.
General Plate Laminated Metals are available inlaid or wholly covered in raw stock or fabricated parts. Our engineers will gladly consult with you on your problems. Write for their services.
General Plate Division of Metals & Controls Corporation
50 Church St., New York, N.Y.; 205 W. Wacker Drive, Chicago, Ill.; 2635 Page Drive, Altadena, California; Grant Bldg., Rm. 603, Pittsburgh, Pa.
ATTLEBORO, MASSACHUSETTS
April 1945 — ELECTRONICS
IN YOUR DESIGNS for the future
Control Remotely...ELECTRICALLY
ATF precision remote controls are handling some of the war's most exacting remote control jobs. And they are finding wide application in planning for the exacting industrial jobs of tomorrow...for the accurate adjustment or setting of communications equipment, machine tools, valves, fuel supplies, power controls, and other machinery, from remote or obscured points.
If your post-war planning involves a problem of precise positioning, the solution may rest with one of these proved ATF electrical control units. Their hair-line precision, extreme simplicity, and their ability to withstand temperature extremes and mechanical abuse will give your product a decided edge in post-war selling.
Complete literature available. The services of ATF engineers are freely offered to assist in applying these units to your products.
AMERICAN TYPE FOUNDERS
REMOTE CONTROL DIVISION
11 West 42nd Street, New York 18, N.Y.
RESISTANCE PLUS
From the tropics to the arctics—on land, sea and in the air, HARDWICK, HINDLE resistors and rheostats are serving with distinction.
HARDWICK, HINDLE, INC.
RHEOSTATS and RESISTORS
DIVISION OF
THE NATIONAL LOCK WASHER COMPANY
ESTABLISHED 1886
Newark 5, N. J., U. S. A.
Radios Nazi Germany
The last stronghold of Axis resistance in Europe has been besieged from ten different countries and territories by powerful 50,000-watt shortwave transmitters, according to RCA Victor Division of the Radio Corp. of America, suppliers of 23 such transmitters and a larger number of smaller powered units.
West Coast Elections
The Los Angeles Council of the West Coast Electronic Manufacturers Association recently held elections resulting in chairmanship by Howard Thomas of Packard Bell Co. Vice-Chairman is L. W. Howard, Peerless Electrical Products Co. while James L. Fouch, Jr., Universal Microphone Co., becomes treasurer.
Prosperous Networks
As revealed in a recent release by FCC, major network time sales reached an all-time high of $126,330,491 for 1944. These preliminary figures indicate that total major network time sales have more than
WASHINGTON MEETING
Members and guests at a Washington IRE section meeting examine a display board showing construction of the GE lighthouse tube, subject of the evening's discussion. They are: J. W. Greer, Navy Dept.; F. W. Albertson, vice-chairman of the section; T. B. Jacocks, GE; E. F. Peterson, GE, who presented the paper; H. A. Burroughs, chairman of the section; and H. H. Lyon, chief engineer, WOL Washington.
HOLD THAT TIGER!
A few curt words whispered into the mouthpiece of a "handy-talkie" directs a deadly hail of mortar shells upon a stalking Tiger tank. Insurance against failure in crucial moments is the precision wire that serves as the arteries of American communication equipment at the fighting fronts.
SPENCER Precision WIRE
FINE STEEL AND ALLOY WIRE
Spencer Wire Company
WEST BROOKFIELD PLANT
WEST BROOKFIELD • MASS.
ELECTRONICS — April 1945
YOU’LL HAVE TO WATCH YOUR PENNIES...
IN THE PEACETIME COMPETITION
With the coming of peace and a return to the American way of producing goods at a profit in highly competitive consumer markets you’ll have to be certain that every step from initial blueprint and tool design, through the machining, stamping and assembly line, up to packaging and delivery is planned and executed with utmost efficiency and with the minimum of cost.
In the production of war munitions Oiljak has maintained an enviable record of production of intricate parts and on time deliveries, in accordance with strict Government inspection—and has actually reduced the estimated and approved cost, thus saving the Government considerable sums, by skillful planning and supervision of the work. These same skills in metal manufacturing, improving designs and reducing costs are available to manufacturers as they convert to peacetime merchandise. It may transmit your penny savings into dollar profits to confer with us on any metal manufacturing problem.
MACHINING • STAMPING • WELDING • PLATING • FINISHING • ASSEMBLING
METAL MANUFACTURERS
THE OILJAK MANUFACTURING Co., INC.
MONTCLAIR, NEW JERSEY
THE JOB COMPLETE FROM BLUEPRINT TO FINISHED PRODUCT
April 1945 — ELECTRONICS
REL IN PHILADELPHIA
FM STATION WFIL-FM
Frequency: 45.3 megacycles
Input to final amplifier: 11.3 KW
Antenna Output: 10 KW
Total hours operation to date: Over 4,500
Type of Transmitter: REL No. 520 DL
WFIL-FM has been functioning successfully since November 10, 1941. High above the city of Philadelphia, this station's huge tower is a monument to REL's pioneering in staticless, high-fidelity frequency modulation, utilizing the Armstrong Direct Crystal Controlled Phase Shift System of Modulation.
Sales Representatives
MICHIGAN
M. N. Duffy & Co., Inc.
2040 Grand River Ave., W.
Detroit, Mich.
MIDWEST
REL Equipment Sales, Inc.
612 N. Michigan Blvd.
Chicago, Ill.
PACIFIC COAST
N. B. Neeley
5334 Hollywood Blvd.
Hollywood, Cal.
PIONEER MANUFACTURERS OF FM TRANSMITTERS EMPLOYING ARMSTRONG PHASE-SHIFT MODULATION
RADIO ENGINEERING LABS., INC.
Long Island City, N.Y.
An ANDREW SOLUTION to an ANTENNA PROBLEM
Faced with a difficult antenna problem, E. H. Andresen, Chief Engineer of Chicago's Board of Education Station WBEZ, called on ANDREW engineers for a solution. The problem was that of coupling a 70-ohm unbalanced coaxial transmission line to the much smaller balanced impedance of the antenna. Uncertainty of the exact value of the antenna impedance made the problem difficult, and called for some kind of an adjustable coupling device.
ANDREW solved the problem by constructing a quarter wave impedance transforming section with a concentric "bazooka" for the balance conversion. Adjustments were made by varying the average dielectric constant in resonant section.
This problem is but one of many that the experienced staff of ANDREW engineers are called upon to solve. As qualified experts in the field of FM, radio and television antenna equipment ANDREW engineers have solved many problems for military and broadcast engineers.
FOR THE SOLUTION OF YOUR ANTENNA PROBLEMS . . . FOR THE DESIGNING, ENGINEERING, AND BUILDING OF ANTENNA EQUIPMENT . . . CONSULT ANDREW
FM Broadcasting Summary
STATISTICS RELEASED by Frequency Modulation Broadcasters, Inc. (FMBI) show that there are a total of 46 stations operating under a commercial status as of the end of 1944, including four new stations which were added to the list during the year.
Currently, applications for f-m construction permits on file with FCC are quoted at 353 and approximately 100,000,000 persons reside within the primary service area of stations existing and planned.
Broken down according to power there are four existing stations at 1 kw, ten at 3, thirteen at 10, and eleven at 50. Other stations are not operating at full power because of wartime restrictions of equipment and labor. Per station, an average monthly cost of operation is listed at $3,014.
Resistance Welder Officers
DURING A RECENT MEETING, the Resistance Welder Manufacturers' Association elected Charles Eisler of Eisler Engineering Co. to succeed Floyd E. Taylor, Swift Electric Welder Co., as president. Co-vice-presidents are David Sciaky of Sciaky Bros. and H. V. Beronius of Welding Machines Mfg. Co.
The Allocation Proposals
THE SEARCH FOR SPACE in the radio spectrum is like a dog race, in the opinion of James L. Fly, former FCC chairman. Speaking before the Television Press Club in New York recently on the allocation proposals, he advocated that the demand for space be kept out in front of the engineers on the assumption that they might, like the greyhounds, lose interest in the race if they caught the rabbit.
Commenting on the factors which
DOW CORNING, first in silicones,
is fully equipped with new plant and facilities for
the production and distribution of an expanding line of silicone products
American industry has been quick to utilize the new Dow Corning Silicones—to see the potentialities inherent in their higher order of heat stability, chemical inertness, water resistance, and dielectric properties. Dow Corning is now supplying, directly or through selected distributors, the following silicone products:
**LC FLUIDS**
Water-white, odorless, inert Silicone Liquids . . . notable for their low rate of viscosity change over a wide temperature range, low vapor pressure, water repellency, and good dielectric properties.
**LC 993**
Insulating Varnish . . . recommended because of its extreme heat stability for impregnating, coating and bonding, and waterproofing inorganic insulating materials such as asbestos, mica, and Fiberglas cloth, tape, and sleeving. Other special purpose silicone resins and compounds are available.
**LC 4**
Ignition Sealing Compound . . . an easily applied silicone waterproofing compound having excellent dielectric properties, corona resistance, and the consistency of petroleum jelly. It neither hardens nor melts at temperatures ranging from \(-40^\circ\) F. to \(400^\circ\) F.
**LC STOPCOCK GREASE**
A chemically resistant Silicone Grease for lubricating stopcocks and other ground glass joints.
**LC 7**
Special Low Temperature Compound . . . an oxidation resistant lubricant and sealing compound developed for use at temperatures as low as \(-70^\circ\) F.
**LC 31**
A lubricating Silicone Grease for special applications in the temperature range of \(-70^\circ\) F. to \(190^\circ\) F.
**LC 41**
A lubricating Silicone Grease for special applications where operating temperatures range from \(0^\circ\) F. to \(400^\circ\) F.
**DOW CORNING CORPORATION**
**MIDLAND, MICHIGAN**
**ADDRESS ALL INQUIRIES TO BOX 592**
*ELECTRONICS — April 1945*
SAFEGUARD the Quality of your ELECTRONIC INSTRUMENTS with PALLITE
PALLADIUM PLATING SOLUTION
GOLD
COPPER
BRONZE
NICKEL
BRASS
SILVER
No matter what metals you are using, PALLITE will safeguard the quality of your Electronic Instruments. If you are using Silver, a film of Palladium .000001" from our PALLITE bath will prevent tarnishing and maintain the Q value without imparting measurable characteristics to the silver.
Palladium, by means of a PALLITE bath, can be plated on solder, tungsten, tantalum, etc., and if required, gold, copper, etc. can be plated over PALLITE Palladium Plate.
Palladium is easy to use and economical; it has tremendous throwing power and can be deposited without difficulty in the most remote corners. Palladium is highly resistant to corrosion at elevated and at low temperatures.
PALLITE may be the answer to your plating difficulties; bring your problems to us and we will tell you how PALLITE is now being used successfully in the electronic field.
PALLITE is made only by PRECIMET LABORATORIES
Division of GEORGE C. LAMBROS
Research and Development in Precious Metals
64 Fulton Street
New York 7, N.Y.
It's NEW and it's APPROVED by Underwriters Laboratories and designated as POSN, SVSN, SJSN, SSN.
PLASTITE FLEXIBLE CORD
OIL RESISTANT
—meets a long felt need for a Cord of High Dielectric Strength that is practically Ageless. It has High Abrasive and Impact Resistance.
Other favorable features are:
Resistance to Oil, Flame, Alcohol, Water, Alkali and most Common Solvents!
POSN "Tru-Rip": Lamps, Clocks, Radios, Light Appliances
SVSN Light Duty: Vacuum Cleaners, Fans, Food Mixers
SJSN Medium Duty: Drills, Grinders, Tools, etc.
SSN Heavy Duty: Portable Tools, Bus Heaters, etc.
Ask Your Nearest Graybar Electric Company Office for Prices and Samples
The Whitney Blake Company
New Haven, Connecticut, U.S.A.
The urgent demand, in peacetime days, by the aircraft and radio industries for a compact, efficient D.C. motor was the challenge that led Pioneer to develop the Pincor BX series. Today Pincor BX motors flow from our plant in a steady stream to the producers of aircraft and radio equipment for the armed services.
Pincor BX motors, in their classification, meet the varied requirements of aircraft and radio manufacturers that demand light weight, compact motors for efficient and dependable application. Pincor BX motors are direct drive, ball bearing, high speed units wound for continuous or intermittent duty. Shunt, series or split series windings are for operation on 12 to 24 volt battery systems currently used and may be easily modified to meet your product demand.
Depend on these rugged Pincor quality-proven motors in the BX series. Send your problem to Pioneer engineers and let them put their years of experience to work for you. Consultation with these men will not obligate you in the least.
DYNAMOTORS • CONVERTERS
GENERATORS
POWER PLANTS • GEN-E-MOTORS
PINCOR PRODUCTS
BUY MORE BONDS!
PIONEER GEN-E-MOTOR CORPORATION
5841-49 DICKENS AVENUE CHICAGO 39, ILLINOIS
Export Office, 25 Warren Street, New York 7, U.S.A.
Cable Address: Simontrice, N.Y.
Radio Club Officers
At a recent meeting of its directors, the Radio Club of America announced the reelection for 1945 of F. A. Klingenschmitt, president; O. J. Morelock, vice-president; Joseph Stantley, treasurer; M. B. Sleeper, corresponding secretary. Mr. Morelock is also serving as chairman of the Papers Committee.
Resistance Welding Training Course
Differences between welding processes and the application of electronic control to resistance welding are the subjects covered in a new seven-part training course released to industry. The material was put together originally for Westinghouse workers but made available to others at reproduction costs.
Subjects covered by the course are as follows:
Part One—Basic Definitions of Welding Technology; Forge Welding; Gas Welding; Thermit Welding; Electric Arc Welding; Resistance Welding.
Part Two—Types of Resistance Welding Work; Spot; Projection; Seam; Butt; Flash; Duty Cycle.
Part Three—The Ignitron and the Thyatron—Fundamentals of Electronic Tubes; Ignitron; Thyatron.
Part Four—How the Flow of Resistance Welding Current is Started and Stopped.
Part Five—How the Amount of Resistance Welding Current is
From the arctic to the tropics—at all altitudes—this permanent hermetic seal of steel and steatite is now successfully protecting all types of communication equipment.
For SEALEX combinations—a new method of joining steatite and metal permanently in various combinations—produces a bond which not only withstands great extremes of temperature, but gives proved protection against vibration, humidity, and Salt Spray Corrosion, as well.
SEALEX Bushings will contain air at 50 pounds per square inch after a thermal change test of 25 cycles from $-65^\circ$ C to $+125^\circ$ C. They are available in single terminal and multiple terminal designs for high and low voltage requirements.
For long-life, dependable, trouble-free service, specify SEALEX Combinations. Specifications and complete data on all SEALEX Bushings available for quick delivery are listed in the SEALEX catalog. Send for a copy today. Write us for any special assistance you may require, when confronted with hermetic sealing problems.
SALES REPRESENTATIVES
H. W. GEBHARD
737 No. Michigan Ave., Chicago, Illinois
J. J. PERLMUTH & ASSOCIATES
942 Maple Avenue, Los Angeles, Calif.
MICA COMPANY OF CANADA LTD.
P. O. Box 189, Hull, Quebec
General Ceramics AND STEATITE CORP.
KEASBEY NEW JERSEY
ELCO meets the challenge of the Jungle with FUNGUSIZED* PRECISION wire-wound RESISTORS!
ELCO engineers not only met the new requirements of the U. S. Signal Corps, but exceeded them by several hundred percent. Further evidence of the way ELCO tackles a job.
IF YOUR RESISTOR SPECIFICATIONS CALL FOR ANTI-FUNGUS TREATMENT—CALL ELCO
PROMPT DELIVERIES as usual!
ELCO "FUNGUSIZED RESISTORS" are so treated to combat the destruction powers of parasitic organisms. They are made to stand up in stifling jungle heat and humidity.
SPECIFICATIONS:
"A-1"—15/32 long x 1/4" dia.—Mountable with 6-32 flat or filester screw. No. 21 tinned copper wire leads. 1 to 300,000 ohm value—1/2% standard accuracy—non inductive pie wound—1 watt. 30° C temperature rise in free air—100° C maximum operating temperature—200 D. C. maximum operating voltage. Baked varnish finish.
"A-R"—Same as A-1, with leads reversed.
"B-1"—15/16 long x 1/4" dia.—Mountable with 6-32 flat or filester screw. No. 21 tinned copper wire leads. 1 to 100,000 ohm value—1/2% standard accuracy—non inductive pie wound—1 watt. 30° C temperature rise in free air—100° C maximum operating temperature—300 D. C. maximum operating voltage. Baked varnish finish.
"B-R"—Same as B-1, with leads reversed.
"T"—1 1/32 long x 7/16" dia.—Inductively wound—1/4 x .018 strap terminals—35 to 35,000 ohms—2 watts. 100° C maximum operating temperature—normal accuracy 1%. Baked varnish finish.
"M"—1 1/32 long x 1/4" dia.—Mountable with 6-32 screw. 1/4" thick terminals—non inductive wound—1 meg ohm maximum resistance—600 volts maximum operating voltage—100° C maximum operating temperature—1.5 watts 1%, normal accuracy Baked varnish finish.
"G"—15/32 long x 1/4" dia.—Mountable with 6-32 flat or filester head screw. No. 21 tinned copper wire leads. 1 to 500,000 ohm value—1/2% standard accuracy—non inductive pie wound—1 watt. 30° temperature rise in free air. 100° C maximum operating temperature. 200 D. C. maximum operating voltage. Baked varnish finish.
Get to know ELCO RESISTORS COMPANY
114 West 18th Street, New York, N. Y.
Telephone - Watkins 9-4774-5
April 1945 — ELECTRONICS
What you may expect from LITTON
JET MIX BURNERS. Litton engineered Jet Mix Burners, proved by 13 years of practical industrial performance, have stepped up production in a number of urgent war industry operations—spectacularly so in vital vacuum tube output.
Compact in size, Litton burners are designed to achieve almost complete carburetion thus eliminating the intense light so injurious to eyes, while permitting low volume operation with complete absence of pop outs—explosions due to rapid change of fire size. Other features of Litton burners include low cost, use of oxygen-gas or oxygen-hydrogen at low and non-critical pressures, uniform size of high temperature flame. They articulate at both head and base, are quickly replaceable, and maintain oxidizing conditions permitting work close to burner tips. Models available are: single jet, two to twelve fire assemblies, large size, seven jet, six or ten fire assemblies; Annealing Burner for bench mounting or with handle. Also hand torches with single or seven jet burners. Complete catalog listings may be had on request.
Litton
ENGINEERING LABORATORIES
REDWOOD CITY, CALIFORNIA, U.S.A.
Write... for this latest BULLETIN No. 40
DESCRIBES DIRECT READING PYROMETER FOR CRYSTAL CHECKING IN SUB-ZERO RANGES
Manufacturers of radio equipment used by our armed forces are urged to send for this special new bulletin. It contains not only photographs and some of the more important features of the Model 40, but complete technical data regarding its construction and operation for checking temperature changes in radio crystals. Already this instrument has proven indispensable to numerous manufacturers—and has been subjected to exhaustive tests by them as well as Elematic engineers. It is accurate to within $1\frac{1}{2}^\circ$... has features and advantages not to be found in other pyrometers... is adaptable to all types crystal holders... and available in six scale ranges. Sold with an unconditional guarantee, the instrument is vital in any laboratory where closer control of production is essential.
ELEMATIC EQUIPMENT CORPORATION
6046 S. Wentworth Ave. • Chicago 21, Ill.
Controlled: Phase-Shift Heat Control.
Part Six—Electronic Timing Controls in Resistance Welding: Basic Principles of Electronic Timing; Synchronous-Precision Weld Timer; Nonsynchronous Timer; Sequence-Weld Timer.
Part Seven—Energy-Storage Control; Capacitor-Discharge Type; Magnetic Type.
Material costs for a class of 20 are $50, including the lesson and quiz booklets, supplementary literature, slide films and records, and instructor's manual. Slide films are for operation on 35-mm equipment.
FCC Activity Report
According to compilations included in the tenth annual report of the Federal Communications Commission covering the period up to June 30, 1944, the number of standard broadcast stations has jumped from 912 to 924 by the addition of sixteen new licensees and the dropping of four. 320 emergency radio stations were authorized, running the total in this class from 3558 to 3863 including deletions.
Under the heading of miscellaneous radio services, the following figures are shown:
| Class of Station | Total Stations 1942 | Total Stations 1943 | Total Stations 1944 |
|------------------|---------------------|---------------------|---------------------|
| Geological | 302 | 326 | 358 |
| Provisional | 22 | 36 | 87 |
| Motion Picture | 15 | 10 | 8 |
| Mobile Press | 3 | 3 | 3 |
| Relay Press | 7 | 5 | 5 |
| **Total** | **349** | **379** | **461** |
Geological stations are used by oil companies and other organizations for the determination of the character of underground strata of the earth. Low-power portable and mobile geological stations are used for communication by personnel of field parties prospecting for oil and for transmitting signals and impulses to the seismic recording instruments from geophones at the various pickups at distances up to fifteen miles from the centrally located recording truck.
Provisional stations are restricted in use for communications relating to safety or practical necessity relative to projects of benefit to the public. Licenses are issued on a temporary basis only and for a limited period of time not to exceed one year, subject to renewal if the need continues. The increase
Call on General for Engineered Accuracy in Control of Vibration and Shock Load
THE GENERAL SILENTBLOC is Different from all Other Rubber Mountings
If you're wrestling with tough problems of vibration and shock load in war materiel or new models, call on General.
General engineers can give you a solution engineered exactly to your needs because—
1. General, through experience and research, knows rubber, natural and synthetic.
2. Only General makes the patented Silentbloc, the rubber-and-metal mounting of precision control.
Silentbloc Mountings can be engineered to give any specified performance because of their exclusive construction—rubber elongated and confined between concentric metal members. The radial compressive force forms an indestructible rubber-to-metal adhesion.
By varying the type, modulus and elongation of the rubber and the size and design of metal parts, General engineers can produce Silentbloc Mountings with performance and endurance characteristics to meet any problem of vibration and shock load.
Silentbloc Mountings are in use in many fields—automotive, industrial, marine, electrical, aeronautic and household. They can be made any size, to carry loads of ounces to tons. To find how they may improve your products, write for free Silentbloc booklet. The General Tire & Rubber Co., Dept. 190, Wabash, Ind.
PRECISION-MOLDED RUBBER GOODS
Our Wabash plant is equipped to fill your requirements in extruded rubber, glass-run channel and almost any kind of rubber parts, precision-molded to specification. General engineers offer technical advice on choice of rubber and design.
THE GENERAL TIRE & RUBBER CO
Mechanical Goods Division, Wabash, Indiana
ONE CORNER OF YOUR ENGINEERING DEPARTMENT
Is all you need to make Bruning Black and White Prints
- Have all the prints you want—exactly where you want them! No need for a separate "department" when you make Bruning Black and White Prints! Simple, compact Bruning BW equipment—like this 75-159B BW Printer-Developer—easily fits into your engineering department or drafting room—needs no plumbing. This machine gives you big-volume production with one operator. BW Prints, too, are made faster than blue prints—there's no washing and prints are delivered ready for use. No matter how many—or how few—prints you use per day, there is Bruning BW equipment to fit your needs. Mail the coupon for complete information.
CHARLES BRUNING COMPANY, INC.
4712-16 Montrose Avenue, Chicago 41, Illinois
Please send me your free booklet giving up-to-date information on Bruning Black and White Prints. I understand there is no obligation.
Name ____________________________________________
Address ___________________________________________
City ________________________ State ________________
CHARLES BRUNING COMPANY, INC.
Since 1897
NEW YORK
Birmingham
Kansas City
St. Louis
CHICAGO
Boston
Milwaukee
San Francisco
LOS ANGELES
Detroit
Newark
Seattle
Houston
Pittsburgh
April 1945 — ELECTRONICS
ONE WAY TO GET YOUR VOICE HEARD
There are just two drawbacks to this method: (1) the range is limited; (2) it's not done after a certain age.
To get your voice heard when you want it and where you want it, Harvey-Wells manufactures completely dependable communications equipment.
For peacetime communications in the marine industry — in aviation — in public safety services — Harvey-Wells will continue to transmit the human voice efficiently and reliably.
Know the company that wants your business. Our Catalog 200R tells the story of Harvey-Wells and its place in Electronics. Send for it today. Your name on your letterhead is sufficient.
Harvey-Wells Electronics
SETTING THE FACE FOR PROGRESS IN COMMUNICATIONS
HARVEY-WELLS ELECTRONICS, INC. SOUTHBRIDGE, MASSACHUSETTS
ELECTRONICS — April 1945
Chace Alloy No. 772 provides a unique combination of properties useful to electrical equipment, control and instrument manufacturers.
Its electrical resistivity is about 60% higher than most resistance alloys in common use . . . 1050 ohms per circular mil foot.
Its thermal conductivity is less than 50% that of steel . . . only about 2% that of copper.
Its temperature coefficient of expansion is twice as great as ordinary steel . . . much higher than that of any other strong alloy.
Neither its resistivity value nor its expansion rate is affected by thermal treatment . . . or by cooling to -100° F.
Chace Alloy No. 772 is non-magnetic.
This new engineering material is especially adapted to low temperature resistor applications, rheostats, auxiliary heater for circuit breakers, and other electrically heated expansion elements . . . Available now in sheets, strips, and rods.
"Bulletin No. A-942", giving detailed information regarding Chace Manganese Alloy No. 772, sent on request.
Not Much Propaganda
A survey recently run off for Sylvania Electric Products Inc. shows that less than 2 percent of the American public can be reached regularly by axis propaganda, even if all short-wave receivers were capable of receiving enemy programs.
Set owners in different parts of the country and in different income groups were interviewed so that radio listening habits could be determined as a guide to design of postwar receivers.
It was discovered that about 52 out of every 100 sets in use may be tuned to short waves although 37 percent of them are never used for that purpose.
Electronic Train Control
For the expediting of freight traffic and as a factor in safety, railroad radio has proved of value, in the opinion of E. A. Dahl, speaking
Techrad's Production and Engineering...a combination that clicks!
• Techrad's engineering takes nothing for granted and each product represents an advanced technique in production accuracy. • Techrad engineers insist on the perfect component—if they can't find it they build it. To them, there is no substitute for quality! • Techrad is your assurance of trouble-free service under the most adverse conditions. Every detail is planned for easy operation. • Over a decade of continuous experience behind each Techrad product: transmitters, direction finders, receivers, marine equipment, interpolating counter dials, Techrad dial lock, Techrad knob.
• All Techrad services and products are guaranteed.
• When you consult our engineers on your problems you will receive prompt and thoughtful attention. Write now for complete information.
technical radio company
275 NINTH STREET • SAN FRANCISCO 3, CALIFORNIA
EXPORT AGENTS: FRAZAR & HANSEN, 301 CLAY STREET, SAN FRANCISCO 11, CALIFORNIA, U.S.A.
Over a decade of continuous experience
PERFORMANCE in a tiny package
It had to be small, this new MULTIPLE CHANNEL BAND PASS FILTER, because it's destined to do a special military job. FOSTER designed and is building it, meeting the high performance standard required, kept it light in weight, and sealed it in a case that measures only 2¾ x 2¾ x 3¼"!
Terminals are sealed in VITROSEAL, a basic advance in transformer manufacture, exclusive with Foster. VITROSEAL terminals are fused uniformly, simultaneously, into the metal, in multiple. The job is neat, fast, economical. The seal is sure and extremely resistant to vibration and thermal shock.
In the past 12 months Foster Engineers have solved more than 1000 individual transformer problems, designing and building entirely new units or "upping" the performance of units already in use.
If you manufacture electrical and electronic equipment, it may well be worth your while to address your special transformer inquiries to Foster.
REPRESENTATIVES
BOB REID 810 WEST 57TH STREET INDIANAPOLIS 5, IND.
BAUMAN & BLUZAT 2753 WEST NORTH AVENUE CHICAGO 47, ILL.
TELEPHONE: BROADWAY 2725
TELEPHONE: HUMBOLT 6809-10-11-12
SPECIALISTS IN BUILDING TRANSFORMERS SINCE 1938
A. P. FOSTER COMPANY
TRANSFORMER ENGINEERS & MANUFACTURERS
719 WYOMING AVENUE, LOCKLAND 15, OHIO (SUBURB OF CINCINNATI)
Seven Reasons Why "NATIONAL" GRAPHITE IS USED IN IGNITRONS AND OTHER ELECTRONIC TUBES
In ignitron rectifiers... and in many types of industrial and radio tubes... "National" electronic graphite is used for anodes and other tube components because of:
1. Purity higher than any other anode material.
2. Greater energy dissipation, permitting higher tube ratings.
3. Higher permissible operating temperatures than with other anode materials, allowing wider range of applications.
4. Low expansion characteristics and absence of distortion and warping.
5. Close dimensions.
6. Ease of machining, providing more latitude of design and construction.
7. Light in weight.
In addition, the reduction of heat lessens the tendency of other tube parts to warp, while the structural strength of "National" electronic graphite gives added assurance against breakage from vibration and shock.
Representatives of National Carbon Company will gladly consult with you in the design and on the advantages of "National" electronic graphite for components of any type of tube. Inquire at our nearest Division Office.
The registered trade-mark "National" distinguishes products of National Carbon Company, Inc.
NATIONAL CARBON COMPANY, INC.
Unit of Union Carbide and Carbon Corporation
General Offices: 30 East 42nd Street, New York 17, N.Y.
Division Sales Offices: Atlanta, Chicago, Dallas, Kansas City, New York, Pittsburgh, San Francisco
KEEP YOUR EYE ON THE INFANTRY... THE DOUGHBOY DOES IT!
500,000,000 to ONE
0.00002 TO 10,000 VOLTS
MODEL 300
ELECTRONIC
VOLTMETER
This enormous range of voltages—five hundred million to one—is accurately covered by our Model 300 Electronic Voltmeter and some of the accessories shown above. Frequency range 10 to 150,000 cycles. Accuracy 2% over most of the range. AC operation. Five decade ranges with logarithmic scale make readings especially easy. Uniform decibel scale also provided. May also be used as a highly stable amplifier, 70 DB gain, flat to 150,000 cycles.
BALLANTINE LABORATORIES, INC.
BOONTON, NEW JERSEY, U.S.A.
Engineers in attendance at the CRTA-AIEE meeting on railroad radio inspect some equipment. They are: F. M. Davis, director of research and development; T. A. Hunter, director of oscillator development; and L. M. Craft, operations manager—all of Collins Radio Co.; A. E. Ganzert, electrical engineer; and E. A. Dahl, electronic engineer—Rock Island Railroad.
Island include carrier current on 175 kc and radio on frequencies ranging from 40 to 2700 Mc. He pointed out that extremely high frequencies are especially convenient for direct communications since antenna lengths vary inversely with frequency and physical space is at a premium.
Gun Location by Sound Ranging
NEW EQUIPMENT has been announced by the Signal Corps for use in sound ranging and location of enemy guns. The new equipment is less than half the size and weight of that used by the Army at the beginning of the war and photographic recording is being replaced by a dry recorder which eliminates the need for photographic chemicals.
In the system, a microphone
Metaplate CONDUCTOR AND NON-CONDUCTOR IN ONE PIECE
Commutation
PLATING IN 0.005" GROOVES FOR COMMUTATING SURFACE
CONNECTORS PLATED IN SAME OPERATION
Shielding
MOLDED PLASTIC HOUSING
SHIELDED WITH COPPER AND CADMIUM
ELECTROPLATED WITH COPPER
Radiation
OVER CAMFIELD'S COMPREG WOOD
Since 1941 the Metaplast Company has maintained a 24 hour day schedule producing important war material.
Metaplast COMPANY
205 West 19th Street
New York 11, N.Y.
Metaplast Process Patented and Licensed
METAL PLATING ON PLASTICS
ELECTRONICS — April 1945
NOW IS THE TIME TO INVESTIGATE ROCKBESTOS PERMANENTLY INSULATED WIRES, CABLES & CORDS
Why risk wire-failure in your present products or post-war projects when it can be avoided by proper wire-planning? Just check your design and operating characteristics against the chart shown above, and then select wires which will not only meet these requirements, but provide ample safety margins as well.
Among the 125 standard permanently insulated Rockbestos constructions, there are very probably wires, cables and cords particularly suited to the conditions under which your product is designed to operate. Otherwise, Rockbestos Research will be glad to go to work on a special construction for you. For recommendations or engineering advice, write to the nearest district office or:
ROCKBESTOS PRODUCTS CORPORATION
421 Nicoll Street, New Haven 4, Conn.
ROCKBESTOS RESEARCH
Solves Difficult Wiring Problems
FOR VICTORY...BUY WAR BONDS
Rockbestos Firewall Radio Hookup Wire
Sizes No. 22 to 4 AWG in 1000 volt rating, and No. 12, 14 and 16 / WG in 3000 volt.
The first lightweight, small diameter, flame-resistant hookup wire, designed in 1937 and widely used since in airborne and ground communication systems, electronic devices, instruments and apparatus. Operating temperatures range from 125°C. to minus 50°C. Also with tinned copper shielding braid and in twisted pair or triplexed construction.
Rockbestos Type CA Lead Wire
Has high-dielectric strength and moisture resistance for use where heat and humidity are encountered. No. 20 to 8 AWG solid or stranded copper, molyb or nickel conductors insulated with synthetic tape and various thicknesses of felted asbestos finished in black, white or colors for coding purposes. Also with All-Asbestos insulation only, for high temperature applications where moisture resistance is not required.
Rockbestos Multi-Conductor Firewall Instrument Cable
This unusually small diameter, light weight, high-dielectric No. 20 AWG three conductor cable was designed for an electronic device in which three No. 22 AWG single conductor aircraft circuit wires previously used had proved too heavy. It is made of nominal diameter of .125" (smaller than the No. 14 AWG single conductor 1000 volt Rockbestos Firewall Radio Hookup Wire). Also in four and five-conductor construction.
A few of the 125 different wires and cables developed for severe operating conditions by Rockbestos.
IT ALWAYS DID WORK
...but it took the war to make industry realize it!
Sub-contracting is not a war-baby. The automotive industry has long relied upon it. Others, too, but most manufacturers confined their outside purchases to standard components like electric motors, relays, hardware, and so on.
Came the war . . . had it not been for the universal adoption of sub-contracting (even highly specialized parts and assemblies) there’s no telling how far back along the road to Victory we’d be.
Why has industry hesitated?
Prime contractors have had conflicting experiences with sub-contracting. Some have hesitated as a result of hearing complaints from others about rejects, falling down on deliveries, lack of integration with production schedules, failure of parts to fit. The why is really very simple.
It’s a part of the war . . . not the fault of the sub-contracting system. Over night, concerns were asked to convert from some non-essential peacetime product to making parts for someone else. They had never worked for someone else.
Sub-Contracting new to most war plants
Sub-contracting is one of the toughest assignments in all industry. It calls for a different kind of teamwork . . . ingenuity . . . timing with the other fellow’s operation. And most of these American plants found themselves in the sub-contracting business without the sub-contracting thinking.
Here at Lewyt, we have a real appreciation for their problem. When the prime contractors for whom we work discuss the shortcomings of some sub-contractors, we try to point out that the integration which they have come to expect from us is a result of long experience in sub-contracting. After all, that’s been our business for the past fifty odd years.
Write on your business stationery for 48 page book “Let Lewyt Do It”—the story of the Lewyt organization in pictures. Lewyt Corporation, 60 Broadway, Brooklyn 11, N. Y.
A contract manufacturer—expertly staffed to produce complete electronic and mechanical assemblies, component parts and sub-assemblies, to the most exacting requirements.
Lewyt
CONTINUE BUYING WAR BONDS
ELECTRONICS — April 1945
MODERN COIL WINDINGS
on bobbins
Three bobbins are being wound in sequence, which results in a minimum unit coil cost and maximum production.
May we help you with your war production problems?
COTO-COIL CO., INC.
COIL SPECIALISTS SINCE 1917
65 PAVILION AVE. PROVIDENCE 5, R. I.
Here a British Army operator uses radio to effect liaison between the listening post and the recording center where sensitized paper records the gunfire-impulses picked up by the sound-ranging microphone array.
array is spread through the area behind the front lines with wire connections to a central station. Microphones pick up signals from enemy gunfire or our own shell bursts and the differences in time of arrival provide data for geometric calculations on the position of the detonation.
Private British Television
It is reported that television, discontinued in Great Britain at the start of the war, is being tried out again on a closed-circuit basis. Owners of receivers are not yet permitted to see what the new developments are.
Science After the War
Four advisory committees have been set up under OSRD (Office of Scientific Research and Development) to search out answers for four questions recently asked by President Roosevelt in a letter to Dr. Vannevar Bush, director of the Office.
Question 1 was "What can be done, consistent with military security, and with the prior approval of the military authorities, to make known to the world as soon as possible the contributions which have been made during our war effort to scientific knowledge?"
The committee to deal with this question is chairmanned by Dr. Irvin Stewart, executive secretary of OSRD. Its members include: Dr. Karl T. Compton, MIT; Dr. J. B. Conant, Harvard; Dr. M. A. Tuve, Carnegie Institution; Dr. J. P. Baxter, OSRD & Williams College; and C. L. Wilson, OSRD.
The second question relates to
MAGNAVOX IS ALSO HEADQUARTERS FOR SOLENOIDS
THIS is the youngest of the Magnavox family, but like the other members is on top of the heap.
Did you know: That every solenoid used by any branch of the armed forces—firing all automatic weapons from .30 calibre machine guns to 105 m. m. cannon—was developed by Magnavox?
- That Magnavox has been providing every type of solenoid—fifty different models?
- That the production of solenoids by Magnavox during the war has been greater than that of all other manufacturers combined?
- At present we can only consider inquiries for quantity production, but that situation will change. If you have any solenoid problems, we suggest that you consult our technical department. Their skills are at your service, plus the outstanding facilities of our completely modern six-acre plant.
The Magnavox Company, Special Devices Division, Fort Wayne 4, Indiana.
Magnavox has served the radio industry 33 years
SPEAKERS • CAPACITORS • SOLENOIDS • ELECTRONIC EQUIPMENT
Plastic Throat Parts for a BIG VOICE!
A voice strong enough to carry across miles of sea and land...and to be heard above the sounds of battle...urgent, time-saving words of command and direction. This was the voice needed by the Navy to co-ordinate operations between landing craft, ships and shore. For the special equipment required to amplify the human voice for this need we molded the plastic horn throat, receiver, insert and spacer parts shown on this page.
The job called for precise molding and incorporation of inserts. Tolerances had to be held close to avoid affecting sound and tone qualities. Quick delivery was essential. How we met these requirements is indicated by this quotation from a letter sent to us by Western Electric Company, makers of the amplifying system:
"Your company was called upon to furnish all of the required plastic parts. We feel that without your help the program could not have been a success, and we would like to express our appreciation of your fine work and excellent cooperation."
We have collected information on our plastics engineering, molding and assembly services in a most convenient form. If you are interested in obtaining product improvement thru plastics, write for free Folder File E 4.
*Advantages of these plastic molded parts include resistance to shock, vibration and corrosion. Exceptionally close tolerances are held.*
PLASTIC MANUFACTURERS
INCORPORATED
STAMFORD, CONNECTICUT
MOLD MAKING • INJECTION & TRANSFER MOLDING • COMPLETE ASSEMBLY
Representatives: DETROIT 2—805-06 New Center Bldg. • LOS ANGELES 35—1440 So. Robertson Blvd.
CANADA—A. & M. Accessories Ltd., 19 Melinda Street, Toronto; 1405 Bishop Street, Montreal; 920 Second Avenue, Seattle
April 1945 — ELECTRONICS
Quality Transcription
... that keeps the original music and speech alive!
Your station announcer . . . not quality variation . . . should tell your listening audience whether your broadcast is a 'live' or 'recorded' program.
'Live' and 'recorded' quality should be practically indistinguishable!
Fairchild-built recording channels put the fundamental tone and all overtones up to 8,000 cycles on the record at full strength. The bass takes on the character of the individual instruments instead of the all-too-prevalent overall 'boom, boom' which leaves the listener wondering whether the recorded sound is string bass, brass horns, bassoon or drums.
At the other end of the sound spectrum, and throughout all intermediate ranges, Fairchild recorded sound comes back over good playback systems with absolute naturalness. No doubt remains in the listener's mind that he's hearing the 'live' qualities of the orchestra, band, or the even-more-difficult-to-record individual performances of the piano or pipe organ.
Fairchild Portable Recorder descriptive and priority data are available. Address New York Office: 475 - 10th Avenue, New York 18; Plant: 86-06 Van Wyck Boulevard, Jamaica 1, N. Y.
C. M. H. Stainless Steel BELLOWS Are Standard Production Items
C. M. H. Stainless Steel BELLOWS are standard production products; hence, shipping delays are minimized. All the advantages of Stainless Steel have been utilized in the art and craftsmanship of C. M. H. BELLOWS. They are the solution to both difficult and urgent requirements.
C. M. H. Stainless Steel BELLOWS are corrosion resistant and operate efficiently at either high or low temperatures. They have the qualities required for handling high pressures—which may be further increased by multiple ply construction, where needed. Ferrous fittings attached by circular seam welding, give uni-metal assembly and assure non-corrosion of the assembled parts.
C. M. H. engineers and production will help you solve your immediate bellows problems—where they are to be required for valve stem housing on vacuum equipment, thermostats, pressure controls, valves, recording instruments, hydraulic mechanisms, rotating shaft seals, or other purposes. Write for complete information today.
Ask for Chicago Metal Hose Engineering Take-off Form SSB2 on which to submit your bellows requirements. It will save you time—assure more accurate, expeditious handling.
Flexible Metal Hose for Every Industrial Use
CHICAGO METAL HOSE CORPORATION
MAYWOOD, ILLINOIS
Plants: Maywood and Elgin, Ill.
Meanwhile, to serve the hiatus between the expiration of the present OSRD and the establishment by Congress of a new independent agency to develop war weapons, Secretary of War Stimson, Secretary of the Navy Forrestal, and Dr. Frank B. Jewett, president of the National Academy of Sciences, announced the establishment of a Research Board for National Security.
Membership in the executive committee will include: Karl T. Compton, MIT, as chairman; Brig. Gen. W. A. Borden, War Department Special Staff, and Rear Admiral J. A. Furer, Navy Department.
Among the civilian board members are: Dr. Oliver E. Buckley,
3 EXAMPLES OF -hp- ENGINEERING TO SOLVE SPECIAL PROBLEMS
This instrument automatically varies the output frequency from 1000 cps to 3000 cps and back to 1000 cps once each second. It's another example of a special oscillator on which information has not been restricted during the war.
This special unit was developed to supply a readily adjusted frequency between 24 and 26 kc, and is now in use testing secret devices for the war effort. To give an accurate incremental variation of the frequency, a separate control was provided.
To facilitate rapid production tests for a prominent western radio manufacturer, this special oscillator was designed and constructed. Seven fixed audio frequencies are instantly obtained by means of a single control knob. Small incremental variations of frequency are controlled by another knob.
The Hewlett-Packard organization has had wide experience in the development of special equipment for laboratory and production work where specific and exacting problems are encountered. The answer quite often requires only an adaptation of a standard -hp- instrument, but in some cases new instruments are developed for the particular problem. Today all of the standard -hp-instruments are confined to war work. However, -hp- engineering facilities are at your service to assist in solving your individual problem. A letter will bring further information without obligation.
HEWLETT-PACKARD COMPANY
BOX 1014A • STATION A • PALO ALTO, CALIFORNIA
Canadian Office: 560 King Street West, Toronto 2, Canada
Hard to Get?
SORENSEN & COMPANY CAN PROVIDE AIRCRAFT WEIGHT
400-2400 Cycle Variable Auto Transformers
400 cycle Electronic A.C. Voltage Regulators, 500 watts, not affected by frequency shift. Input voltage variation 90-140 volts, output 115 volts ± 3/4 of 1%, weight 12½ lbs.
60 cycle Electronic Voltage Regulators, 1200 to 1750 watts, input 50 to 70 cycles, 90-140 volts; output 115 volts constant to 3/4 of 1%, weight 60 lbs.
These A.C. Voltage Regulators are not to be confused with the resonant type regulators on the market as they are not affected by wave form, or frequency shift and they do not distort the output wave.
Audio Components, Power Transformers and Chokes—all frequencies. Frosterite construction or hermetically sealed.
Constant Intensity Light Sources, capable of modulation—for use in printing of photographic film, microscope photometry and spectral analysis.
Where Hi "Q" is necessary, we build toroidal, dust core coils for choke and transformers.
A normal delivery schedule can be provided on any of these items. Your inquiry invited.
SORENSEN & COMPANY
AIRBORNE ELECTRONICS » » STAMFORD, CONN.
NO REJECTS WITH COMPONENTS BY AVIOMETER
AVIOMETER
COMMUNICATION AND CONTROL INSTRUMENTS
370 WEST 35TH STREET NEW YORK 1, N.Y.
"Crystal Controlled" Frequency Standard
Look at These Features!
- Stable output up to 40 megacycles
- Output circuit is tunable
- Cool operation, even if continuous
- Famous JK dual T8MD Crystal
- Metal cabinet, grey crackle finish
IMMEDIATE DELIVERY!
Complete Price Only $59.50
BUY MORE WAR BONDS
The JAMES KNIGHTS Co.
SANDWICH, ILLINOIS
CRYSTALS FOR THE CRITICAL
Bell Telephone Laboratories; Prof. Lee A. DuBridge, University of Rochester; Zay Jeffries, General Electric Co.; Prof. C. C. Lauritsen, California Institute of Technology; Prof. E. O. Lawrence, University of California; and I. I. Rabi, Columbia University. Among military members is included Maj. Gen. Harry C. Ingles, chief signal officer.
RMA Trade Directory
RECENTLY PUBLISHED by Radio Manufacturers Association is a booklet combining the membership list with a trade directory including product listings of normal production.
Contents of the book include lists of officers and executives, boards of directors, and past presidents of the Association. Detailed information on personnel is shown for standing committees, special committees, divisional executive committees, sections of divisions, and the engineering department.
Other data includes a roster of the Radio Technical Planning Board, WPB and OPA industry advisory committees. In the membership section, member companies are listed by personnel, products, and trade names and cross-indexed according to their membership in the set, tube, transmitter, parts, amplifier, and sound equipment divisions. Associate members are likewise listed.
Servicing Legislation
ACCORDING TO INFORMATION received by RMA, a bill has been introduced in the Oregon State Legislature to require the licensing of radio repairmen. A similar bill was previously introduced in the California governing body.
Television Engineering Committee
TELEVISION BROADCASTERS Association forms an engineering committee chairmaened by F. J. Bingley, Philco Radio & Television Corp. Others members of the committee are: W. J. Purcell, General Electric Co., Schenectady; Dr. Thomas T. Goldsmith Jr., Allen B. DuMont Laboratories Inc.; David B. Smith,
WHEN STEEL SINGS OFF KEY
At Waugh we have developed magnetic testing equipment which measures the voice of steel.
It has been applied to many special purposes: non-destructive production line testing of shell cases and armor plate; correlation of magnetic readings with hardness and change in grain structure; sorting steel of various grades. It has spotted trouble where all other instruments have failed.
This instrument is the Waugh Induflux, Type F. If steel presents unsolved problems, write for details.
Above: WAUGH INDUFLUX, TYPE F
Write for Rental List and Service Manual on business letterhead.
WAUGH Laboratories
Pacific Coast Branch: 180 East California St., Pasadena 5, California
420 LEXINGTON AVE., NEW YORK 17, N.Y.
"Designed for Application"
THE 90505 SECONDARY FREQUENCY STANDARD
A Precision Frequency Standard for both Laboratory and production uses. Designed around the GE G-18 and G-18A crystal, having a frequency temperature coefficient of less than 1 cycle Mc C°. The crystal is sealed in Helium in a standard metal tube envelope. Adjustable output provided at intervals of 10, 25, 100, and 1000 KC with magnitude useful to 50 MC. Harmonic amplifier with tuned plate circuit and panel range switch. 800 cycle modulator, with panel control switch. Panel plate supply control switch. In addition to Oscillators, Multi-vibrators, Modulators, and Amplifiers, a built-in Detector with 'phone jack and gain control on the panel is incorporated. Easily adjusted to WWV. Self-contained AC power supply with VR 1.50-30 voltage regulator. Used in quantity by Signal Corps, Navy, FCC, British and all large government prime contractors such as GE, RCA, Western Electric, Sperry, Westinghouse, etc. Cabinet size 9" x 9¾" x 10½", weight 20 lbs. Compact, dependable, stable, trouble-free. Price complete with GE crystal and tubes $135 net, f.o.b., Malden for 115 V. 60 cycle model. Available for the duration, of course, only with proper priority.
JAMES MILLEN MFG. CO., INC.
MAIN OFFICE AND FACTORY
MALDEN, MASSACHUSETTS, U.S.A.
FRANKLY, SMITHERS, YOUR DIRECTORS DON'T NEED TO SEARCH THE SCRAP PILE, ALBION CAN SHIP ALL THE COILS YOU NEED!
SUPER-QUALITY COILS AT REASONABLE PRICES
More and more every day, the industry is turning to Albion for fast, quality and quantity production of coils, chokes, and transformers. That's because here you benefit from the unbeatable combination of management "know how," skilled workmanship, streamlined facilities, and central location. Your requirements will be given prompt and thoughtful attention.
ALBION COIL COMPANY
ALBION, ILLINOIS
R. F. AND TRANSMITTING COILS AND CHOKES; I. F. TRANSFORMERS
There's no substitute for ACCURACY
B.R.C. instruments are designed and manufactured to give accurate and precise direct reading measurements with simplicity of operation.
Q METER TYPE 160-A
A Standard for "Q" Measurements with a reputation for accurate and dependable service. Has a Frequency Range of 50 kc to 75 mc which may be extended with external oscillator down to 1 kc.
Q METER TYPE 170-A
This instrument retains the same general operating principles and characteristics of the 160-A Q Meter but with such structural modifications and design refinements as are required for accurate performance at higher frequencies. Has a continuously variable frequency range of 30 mc to 200 mc.
Philco Radio & Television Corp.; O. B. Hanson, NBC; Robert Shelby, NBC (alternate); E. A. Hayes, Hughes Productions, Los Angeles; George Lewis, Federal Telephone and Radio Corp.; Harry Lubcke, Don Lee Broadcasting System, Hollywood; and H. L. Blatterman, Earle C. Anthony, Inc., Los Angeles.
Morale Radio
DEVELOPMENT is complete on a new Signal Corps radio receiver to be used for morale and recreational purposes by troops overseas. Known as R-100/URR, the unit provides reception for medium and short-wave broadcasts and operates from self-contained batteries or from a-c or d-c power sources.
MEETINGS TO COME
APRIL 4; INSTITUTE OF RADIO ENGINEERS, New York Section; Wartime Developments in Electronics, by Dr. W. L. Everitt, national president; Engineering Societies Building, 33 W. 39th St., New York, N. Y.; J. T. Cimorelli, secretary, Radio Corp. of America, Harrison, N. J.
APRIL 11; AMERICAN INSTITUTE OF ELECTRICAL ENGINEERS, New York Section, Electron Ballistics in High-Frequency Fields; Mines Building, Columbia University, New York, N. Y.; Prof. C. W. van der Merwe, symposium chairman, Dept. of Physics, Washington Square College, New York University, New York, N. Y.
APRIL 12-14. ELECTROCHEMICAL SOCIETY, 87th General Meeting, Hotel Churidge, Atlantic City, N. J. Colin G. Fink, secretary, Columbia University, New York 27, N. Y. Subject to postponement or cancellation.
APRIL 12-14. OPTICAL SOCIETY OF AMERICA, Cleveland, Ohio. Arthur C. Hardy, secretary, Massachusetts Institute of Technology, Cambridge 39, Mass. . . . Cancelled.
APRIL 16-20. NATIONAL ELECTRICAL MANUFACTURERS ASSOCIATION, Spring Meeting, Palmer House, Chicago, Ill. . . . Cancelled.
APRIL 20-21; ASSOCIATED POLICE COMMUNICATION OFFICERS, New York Chapter; Annual Meeting, Schenectady, N. Y.; Francis A. (Continued on page 330)
RECTIFIERS FOR EVERY D-C APPLICATION
Only G-E Offers All 3
Wherever low-voltage power is needed whether for instruments, relays, solenoids, motors, battery charging, plating, or any other d-c application, G.E. can supply the exact size and type rectifier to do the job.
G.E. and only G.E. designs and builds the three types of low-voltage rectifiers most commonly used; copper-oxide, selenium and Tungar. Each rectifier differs in characteristics, basic materials and construction.
The conditions under which a rectifier is to operate and the results that are to be obtained determine which type will do the most economical, most efficient and most satisfactory job.
G-E engineers will gladly analyze your rectifier needs and offer their recommendations. Whether they recommend copper-oxide, selenium or Tungar you can be sure their selection is impartial for G.E. offers all three. For more information write to Section A457-119, Appliance and Merchandise Dept., General Electric Company, Bridgeport, Conn.
BUY WAR BONDS AND KEEP THEM
Hear the General Electric radio programs: "The G-E All Girl Orchestra" Sunday 10 P.M. EWT, NBC. "The World Today" news every weekday 6:45 P.M. EWT, CBS. "The G-E House Party" Monday through Friday 4:00 P.M. EWT, CBS.
GENERAL ELECTRIC
How many of these FIBERGLAS* ELECTRICAL INSULATION MATERIALS can you use to Advantage?
There is a Fiberglas Electrical Insulation Material available to meet virtually every insulation need. Fiberglas—glass in fiber form—provides a thin, strong, flexible, inorganic fabric base for insulating impregnants. This combination has unexcelled advantages and characteristics for electrical insulation.
Fiberglas Insulated Wire and Cable . . . Most wire manufacturers are currently manufacturing Fiberglas insulated wire of many different types for a wide range of applications—magnet wire, single and double covered, lead wire, radio hook-up wire, aircraft ignition cable, neon sign cable, and wires for special purposes are all in large volume production.
Fiberglas Varnished Cloth and Tape... Made by many manufacturers who impregnate various types of Fiberglas Cloth with several kinds of varnishes. These products are available in 36" widths or cut to any desired tape width.
Fiberglas Mica Combinations . . . The combination of thin glass cloths with mica for ground insulation is not dependent upon impregnating varnish for its electrical characteristics; the mica splittings provide dielectric strength while Fiberglas gives it strong inorganic backing.
Fiberglas Laminates . . . Most manufacturers of electrical laminates make one or more types of Fiberglas base materials. The finished materials are used in motors and generators as slot sticks, armature or stator end laminations, brush holders, space blocks, etc. The low power factor obtainable has resulted in increasingly wide use in radio and electronic applications.
Write for booklet . . . It tells what type to use, where and how. Send for your copy today, and ask for the name of the Fiberglas Electrical Insulation Materials supplier located nearest to you . . . Owens-Corning Fiberglas Corporation, 1860 Nicholas Bldg., Toledo 1, Ohio. In Canada, Fiberglas Canada Ltd., Oshawa, Ontario.
Each Distributor of Fiberglas-base Insulation Materials has his own source of supply; none of these processed insulations is made by Owens-Corning Fiberglas Corporation.
FIBERGLAS
ELECTRICAL INSULATION MATERIALS
*T. M. Reg. U. S. Pat. Off.
BE SURE TO SEE THE FIBERGLAS ELECTRICAL INSULATION MATERIALS EXHIBIT
THE NEXT SHOWINGS ARE: Hotel Statler, Buffalo, February 27-March 1; Biltmore, Dayton, March 7-9;
Netherlands Plaza, Cincinnati, March 13-15; Hotel Henry Grady, Atlanta, March 20-21;
Hotel Tutwiler, Birmingham, March 27-28.
CONTROLS FOR WORLD MARKETS
Ward Leonard Controls have an enviable record of performance in war equipment. On the sea, under the sea, on the ground, and in the air — subjected to widely varying climatic conditions in all parts of the world!
Obviously manufacturers who are planning world-wide postwar markets can be certain that the Ward Leonard controls they incorporate in their products will give continuous trouble-free service.
Write for our catalogs describing the types of controls you need.
WARD LEONARD
RELAYS • RESISTORS • RHEOSTATS
Electric control devices since 1892.
WARD LEONARD ELECTRIC COMPANY • 32 SOUTH ST. • MOUNT VERNON, N.Y.
Comco Production Planning Means QUALITY RADIO AND ELECTRONIC EQUIPMENT
Customized
For the Best in Dependable Performance
Production Planning at COMCO is the point where research and development are synchronized with precision manufacture and scientific assembly. The result: a product of fine quality and superior operating characteristics, customized to meet the most exacting requirements.
COMCO TRANSMITTER Model 127AA
15 watts output. Frequency range 200 to 550 kc. Cabinet size: Width 23"; Depth 18"; Height 48". Other COMCO Transmitters available for operation on VHF and medium high frequencies.
COMCO RECEIVER Model 82F
Fixed tuned, single frequency, crystal controlled, superheterodyne, radio telephone receiver. Frequency range 2 to 8 Mc. Standard 3½" rack panel mounting. Eight tubes. Other COMCO Receivers available for operation on VHF and low frequencies.
We can supply a wide variety of customizing improvements to any type of equipment. We are accepting non-priority orders for post-war delivery.
MANUFACTURERS OF RADIO & ELECTRONIC EQUIPMENT
COMMUNICATIONS COMPANY, Inc.
CORAL GABLES 34, FLORIDA
(Continued from page 326)
Burns, secretary, 240 Centre St., New York 13, N. Y.
APRIL 25-26; AMERICAN INSTITUTE OF ELECTRICAL ENGINEERS, North Eastern District Meeting, Buffalo, N. Y. . . . Cancelled.
APRIL 26-27; INSTITUTE OF THE AERONAUTICAL SCIENCES, National Light Aircraft Meeting, Detroit, Mich. . . . Cancelled.
APRIL-MAY; NATIONAL ASSOCIATION OF BROADCASTERS, Annual Conference . . . Cancelled.
MAY 2; INSTITUTE OF RADIO ENGINEERS, New York Section; Allocations, by E. K. Jett, FCC Commissioner; Engineering Societies Building, 33 W. 39th St., New York, N. Y.; J. T. Cimorelli, secretary, Radio Corp. of America, Harrison, N. J.
MAY ——; SOCIETY FOR EXPERIMENTAL STRESS ANALYSIS, 1945 Spring Meeting, Buffalo, N. Y. W. M. Murray, president, P.O. Box 168 Central Square Station, Cambridge 39, Mass. Subject to postponement or cancellation.
MAY 11-12; ACOUSTICAL SOCIETY OF AMERICA, New York, N. Y.; Wallace Waterfall, secretary, 350 Fifth Ave., New York 1, N. Y. Subject to postponement or cancellation.
MAY 14-18; SOCIETY OF MOTION PICTURE ENGINEERS, 57th Semi-Annual Technical Conference; Hollywood-Roosevelt Hotel, Hollywood, Calif.; W. C. Kunzmann, convention vice president, P.O. Box 6087, Cleveland 1, Ohio. Subject to postponement or cancellation.
MAY 28; AMERICAN SOCIETY FOR MEASUREMENT & CONTROL, Meeting on Process Control; Roosevelt Hotel, Pittsburgh, Pa.; L. M. Susany, secretary, Carnegie Institute of Technology, 4400 Forbes St., Pittsburgh 13, Pa.
JUNE 25-29; AMERICAN INSTITUTE OF ELECTRICAL ENGINEERS, Summer Technical Meeting; Detroit, Mich.; H. H. Henline, secretary, 33 West 39 St., New York 18, N. Y. . . . Cancelled.
WASHINGTON NEWS
RESISTORS. During 1944, the fixed-and variable-resistor industry shipped 600,496,000 units valued at $48,000,682, as compared to 1943
How to make a beam of light scream "FIRE!"
Fire protection by means of Luxtron* photocells employs a steady source of light. When blocked by smoke or deflected by smoke particles, it decreases or increases the flow of current from the cell and activates the entire protection system. . . . By using Luxtron photocells, light can be converted to electric energy, sufficient to operate meters and meter relays without costly bulky amplifiers, and with assurance of long life under strenuous conditions.
Photocells today are doing everything from calmly watching batches of textiles for perfect color match . . . to sitting undismayed on roaring machinery, stopping it when trouble is in sight. To learn if photocells can help you, write Bradley Laboratories.
* T.M. REG. U.S. PAT. OFF.
Another Bradley Development
This is one of a unique group of "Coprox" (copper oxide) rectifiers developed and manufactured by Bradley with the same understanding of electrical problems that goes into Luxtron photocells. Write for illustrated "Coprox" bulletin.
PHOTOCELLS—MASTERS OF LIGHT
BRADLEY MASTER OF PHOTOCELLS
BRADLEY LABORATORIES, INC., 82 MEADOW STREET, NEW HAVEN 10, CONNECTICUT
ELECTRONICS — April 1945
U.S. NAVY
Certificate of Achievement
Radar-Radio Industries of Chicago Inc.
FOR ITS UNTIRING EFFORTS IN ORGANIZING THE ELECTRONICS INDUSTRY TO SPEED THE PRODUCTION OF VITAL WAR MATERIAL FOR THE UNITED STATES NAVY.
August 1944
James Forrestal
SECRETARY OF THE NAVY
BUY WAR BONDS
Awarded to the J.P. Seeburg Corporation for outstanding production of war materials in each of its four plants
J.P. SEEBURG CORPORATION • CHICAGO
FINE MUSICAL INSTRUMENTS SINCE 1902
April 1945 — ELECTRONICS
MEMO:
To Designers, Engineers and Manufacturers of Electronic, Radionic and Electrical Devices, thinking in terms of quality for POST WAR production... Here is a convenient "abbreviated listing" of METAL-CASED TUBULAR OIL-PAPER CAPACITORS—hermetically sealed to meet unusual operating conditions.
| Class 20M—Both terminals insulated (without insulating tube) | Class 21M—Both terminals insulated (with insulating tube) |
|-----------------|-----------------|
| CAP. MFDS. | VOLTS D.C. D. | SIZE (inches) L. | CAP. MFDS. | VOLTS D.C. D. | SIZE (inches) L. |
| .001 | 1000 | 1/2 | 1-3/16 | .05 | 800 | 11/16 | 1-5/8 |
| .0025 | 1000 | 1/2 | 1-3/16 | .1 | 800 | 13/16 | 1-7/8 |
| .005 | 1000 | 1/2 | 1-3/16 | | | | |
| .005 | 600 | 3/8 | 1-5/16 | .1 | 600 | 11/16 | 1-3/4 |
| .01 | 600 | 3/8 | 1-3/16 | .25 | 400 | 13/16 | 2-5/16 |
| .02 | 600 | 1/2 | 1-1/16 | .5 | 400 | 1-1/16 | 2-5/16 |
| .05 | 600 | 9/16 | 1-5/16 | 1. | 400 | 1-1/16 | 3-15/16 |
| .1 | 200 | 9/16 | 1-13/16 | 1. | 200 | 1-1/16 | 3-3/16 |
| .25 | 200 | 3/8 | 1-7/8 | 1.5 | 100 | 1-1/16 | 3-3/16 |
| .5 | 200 | 1 | 1-13/16 | 2. | 100 | 1-5/16 | 2-11/16 |
| Class 22M—One terminal grounded (without insulating tube) | Class 23M—One terminal grounded (with insulating tube) |
|-----------------|-----------------|
| .0075 | 1000 | 1/2 | 1-1/16 | .1 | 1000 | 13/16 | 2-1/16 |
| .01 | 1000 | 1/2 | 1-1/16 | .25 | 1000 | 1-1/16 | 2-1/2 |
| .05 | 1000 | 5/8 | 1-13/16 | .5 | 1000 | 1-7/16 | 2-13/16 |
| .5 | 600 | 1 | 2 | .5 | 800 | 1-1/16 | 3-1/16 |
| 1. | 600 | 1 | 3-5/8 | 1. | 800 | 1-7/16 | 3-1/4 |
(Standard Capacity Tolerance on the above units is ± 20%. Closer or wider tolerances may be obtained if required.)
Standard or Special Units to Meet Every Need
FAST Capacitors are produced in many types and sizes in standard or special designs. We can supply paper capacitors—oil or wax impregnated—rectangular or tubular—in sizes from the smallest to the largest.
This line of FAST Capacitors have containers made of brass with a heavy tin dip. The terminals are made with bushings of NEOPRENE and BAKELITE and are coated with "fungus-resistant" insulating varnish. They have excellent stability over a wide range of temperatures and frequencies—will pass recognized thermal and salt water immersion tests.
Inquiries are particularly invited from organizations planning to build that better equipment for the new day ahead. Please feel free to call us on any capacitor problems.
"When You Think of Capacitors ... Think FAST"
JOHN E. EAST & CO.
Capacitor Specialists for a Quarter-Century
3101 North Crawford Avenue, Chicago 41
Canadian Representatives: Beaupre Engineering Works Reg'd.
3101 Bennett Avenue, Montreal, for Power Factor Correction
J. R. Langstaffe, Ltd., 11 King Street, W., Toronto 1, for Special Applications
TELEX in Railroad Radio!
With the coming of frequency modulation, radio promises to take its place in railroad communications. With the realization of this advancement in the interest of safety and operation, the new TELEX TWINSET can fulfill another assignment where accurate reception and dependability are of prime importance.
Cleverly designed to wear under the chin instead of over the head, the new TELEX TWINSET is one of the newest engineering developments in electro-acoustics. Gone will be the ear pressure and head fatigue suffered with most head sets, for the TELEX TWINSET weighs just 13/4 ounces and only requires space of 5 x 6 inches.
Why not learn how it can help simplify a project on your schedule? Write for more information about the new TELEX TWINSET receiver.
TELEX PRODUCTS COMPANY
ELECTRONIC PRODUCTS DIVISION
MINNEAPOLIS 1, MINNESOTA
Radio Frequency Cables. Approved by the War and Navy Department for use of procurement services of the Army and Navy is JAN-C-17 covering coaxial and twin conductor cables for radio frequency. Types included are flexible and semi-flexible, coaxial, twin conductor, and dual-coaxial shielded cable for radio frequencies and employing solid and semi-solid dielectrics of low-loss polymeric resin, thermosetting compounds, or vulcanized synthetic rubber.
Designated by Army Number 71-4920 and Navy Number 16C8, the specification lists applicable specifications, types, material and workmanship, general and detail requirements, methods of sampling, inspection and test, and packing and marking for shipment. Detail requirements are covered by over forty individual cable specifications.
Electron Tube Needs. Requirements for 1945 being about 25 percent higher than the 12,000,000 radio tubes a month needed in 1944, WPB has created a radio-tube task committee to advise on methods for increasing production. Consisting of members from both AFL and CIO organizations, it will discuss difficulties present in the various tube plants.
The committee suggested that much of the production difficulties come from labor turnover brought about by low wage rates. At the same time the receiving-tube-scheduling advisory Committee feels that completion of certain facilities will make it possible for inEASY ON MEN!
Hand driving screws into garnish molding is slow, hard work. But as long as he used slotted screws, this world-famous manufacturer of automobile bodies didn't dare risk power driving. Driver skids came too high—and too often!
EASY ON THE POCKETBOOK!
A change to Phillips Recessed Head Screws ruled out driver skids... permitted use of power methods. Also eliminated one operation involving countersunk washers. All of which added up to substantial cost-savings!
EASY ON ENGINEERING!
Easy on assemblymen... easy on the pocketbook... Phillips Screws are kind to design staffs, too. With Phillips, engineers can build product strength and rigidity up to specifications slotted screws just can't approach!
EASY ON THE EYES!
Besides being strength-builders, Phillips Screws are also great little sales-builders. They help dress up any product... do away with unsightly burrs that snag clothing and make an otherwise sweet piece of merchandisc look sour!
It's Phillips... the engineered recess!
In the Phillips Recess, mechanical principles are so correctly applied that every angle, plane, and dimension contributes fully to screw-driving efficiency.
... It's the exact pitch of the angles that eliminates driver skids.
... It's the engineered design of the 16 planes that makes it easy to apply full turning power—without reaming.
... It's the "just-right" depth of recess that enables Phillips Screw Heads to take heaviest driving pressures.
With such precise engineering, is it any wonder that Phillips Screws speed driving as much as 50%—cut costs correspondingly?
To give workers a chance to do their best, give them faster, easier-driving Phillips Recessed Head Screws. Plan Phillips Screws into your product now.
PHILLIPS Recessed Head SCREWS
WOOD SCREWS • MACHINE SCREWS • SELF-TAPPING SCREWS • STOVE BOLTS
Made in all sizes, types and head styles
25 SOURCES
American Screw Co., Providence, R. I.
Atlantic Screw Works, New Britain, Conn.
The Atlas Co., Newburyport, Mass.
Central Screw Co., Chicago, Ill.
Chandler Products Corp., Cleveland, Ohio
Corbin Screw Works, New Britain, Conn.
The Corbin Screw Corp., New Britain, Conn.
General Screw Mfg. Co., Chicago, Ill.
The H. M. Harber Co., Chicago, Ill.
International Screw Co., Detroit, Mich.
The Lathrop Sessing Co., Cleveland, Ohio
Manufacturers Screw Products, Chicago, Ill.
Morton Rivet & Machine Co., Hartford, Conn.
The National Screw Mfg. Co., Cleveland, Ohio
New England Screw Co., Keene, N. H.
Parker-Kalon Corp., New York, N. Y.
Pawtucket Screw Co., Pawtucket, R. I.
Phell Manufacturing Co., Chicago, Ill.
Rockford Screw Co., Horrington, Pa.
Russell-McCullough-Ward-Hoff & Mfg. Co., Port Chester, N.Y.
Savelli Manufacturing Co., Waterville, Conn.
Shakertown Inc., Chicago, Ill.
Southington Hardware Mfg. Co., Southington, Conn.
The Steel Company of Canada Ltd., Hamilton, Canada
Wolverine Bolt Co., Detroit, Mich.
ELECTRONIC PARTS
Whether you need a single Electronic Part in a hurry to finish that Laboratory test... or a complete stock for your assembly line.
Call, wire or write HARRISON
Serving the Industry Since 1925
Send For your Copy of our MASTER BUYERS GUIDE Now
Long Islanders try our Jamaica Branch
HARRISON RADIO CORPORATION
12 WEST BROADWAY • NEW YORK CITY 7
Telephone — WOrth 2-6276 • Cable — Harrisorad
JAMAICA BRANCH—172-31 Hillside Ave., REpublic 9-4102
THERE'S A DRAKE SOLDERING IRON FOR EVERY TYPE OF ELECTRONIC WORK
From that mighty mite
the Drake No. 400 to the high-speed production "honey"
the Drake No. 600-10 there is a high quality Drake Soldering Iron "just right" for the job.
Drake Heat Controls and the Drake "Magic Cup" Stand are important soldering aids,
SEE YOUR RADIO PARTS JOBBER
DRAKE ELECTRIC WORKS, INC.
3656 LINCOLN AVE. CHICAGO, ILL.
SMART IDEA:
Though we're all absorbed in vital war work, let's give some thought to the future. Do a smart thing now — get thoroughly acquainted with Insuline's vast line of Radio-Electronic Products and the Insuline Manufacturing Facilities...
These 2 books tell the story. Write for them now.
48-page Catalogue describes Insuline's vast line of Radio-Electronic Products.
8-page Brochure presents Insuline's organization and manufacturing facilities.
What are your requirements? Send data for immediate assistance.
Insuline
CORPORATION OF AMERICA
INSULINE BUILDING • LONG ISLAND CITY, N.Y.
WIRE, RIBBON and Other Metal Products
★ Smaller than Commercial Sizes; closer than Commercial Tolerances
An organization devoted to the research, development and production of wire and ribbon and similar products of Platinum and other Precious Metals, as well as Rare and Base Metals... This metallurgical plant is completely equipped with alloying, melting and working facilities for precision production. Equipment and staff permit specialization in smaller than commercial sizes and closer than commercial tolerances for the most exacting technical requirements.
SIGMUND COHN & CO.
44 Gold Street • New York 7, N.Y.
April 1945 — ELECTRONICS
You can rely on this Oster Blower Motor to operate dependably in marine, aircraft, electronic, and similar applications...
In planning your post-war product, it is well to remember the design and operating advantages of this Oster blower motor. Although it has been especially designed for use in the marine, aircraft, and electronic fields, it may have qualities that fit your particular product. Check these features:
**Housing:** Die cast, zinc field housing and aluminum end brackets. Totally enclosed.
**Finish:** Black baked enamel.
**Weight:** 5 lbs.
**Bearings:** Single shielded ball bearings lubricated with a grease suitable for any specific application. Bearing housings fitted with steel inserts.
**Windings and Insulation:** Field coils and armature wound with a select grade of insulated copper wire and impregnated with a high quality heat and moisture resisting insulating varnish.
**Mounting:** Available with either base mounting or machined pads.
**Brushes:** Metal graphite or electro-graphite brushes of ample size to assure unusually long brush life. Phosphor bronze or beryllium copper brush springs.
**Temperature Rise:** 55°C maximum frame temperature rise at rated output.
**Modification:** Motors can be furnished with special shaft extensions, mounting arrangements, finishes, leads, etc.
Let us help you fit this and other Oster Motors to your requirements.
**John Oster Manufacturing Co.**
DEPARTMENT L-24 • RACINE, WISCONSIN
---
**PERFORMANCE WITH #3 L-R TURBO TYPE BLOWER**
| Type | F-9A-3 | F-9-4S |
|----------|----------|----------|
| Voltage | 115 A.C. 60 CYC. | 27 D.C. |
| Amps. Input | 2.7 | 7 |
| R.P.M. | 6000 | 6000 |
| Rotation | Clockwise Drive End | Clockwise Drive End |
| Starting Torque in % of B.L. Torque | 200 | 300 — 400 |
---
You can recommend Oster Motors with full assurance that they will live up to the worldwide reputation of pre-war Oster appliances, Oster-powered.
---
Buy WAR BONDS
RADIO SPEAKERS for all applications
Recently expanded production facilities combined with complete engineering "know-how" enable Consolidated Radio Products Co. to supply the finest radio speakers available. Speakers can be furnished in the following ranges:
Dynamic Speakers from 2 inches to 18 inches
Permanent Magnet Speakers from 2 inches to 8 inches
Headsets
Electronic and Magnetic Devices
CONSOLIDATED RADIO
Products Company
350 W. ERIE ST., CHICAGO 10, ILL.
Small and Medium TRANSFORMERS
Consolidated Radio is also a nationally known manufacturer of small and medium transformers including Pulse Transformers, Solenoid and Search Coils.
Engineering service is available to design transformers and speakers for special applications, or to your specifications.
Increased military requirements to be filled.
Shipments of forty critical types of receiving tubes are being frozen at the factories to allow specific authorization and direction by WPB. Forty-one other types were declared obsolete for the duration.
RECEIVER DESIGNATIONS. Several stipulations have recently been issued by FTC (Federal Trade Commission) under which radio companies have agreed to cease and desist from representing that any radio receiving set contains a designated number of tubes when any of the tubes do not perform recognized and customary functions in the detection, amplification, and reception of radio signals. Other stipulations have been issued relative to the cessation of price manipulation.
MUNITIONS PRODUCTION. Actual production figures for communication and electronic equipment from January to November, plus scheduled figures from December show the trend charted in the accompanying illustration. Total for 1944 equals $4,293 million. Schedule for January 1945 is $397 million.
LEAD-SHEATH WIRE. Limitations have been imposed by WPB on the amount of lead that may be used as a protective sheath in the manufacture of insulated copper wire and cable. Because of the present lead shortage, no producer may use lead as a protection for wire or cable unless it is for fire alarm and traffic control, telephone and telegraph, railway signal, shipboard cable, or a rating of more than 2,000 volts. Quantitatively, the directive limits the manufacturer to the use during
BLAW-KNOX and the voice of radio
Blaw-Knox Towers have played an important part in radio since the early days of Marconi. Most Radio Towers*, here and abroad, are of Blaw-Knox design or manufacture. Blaw-Knox's importance in military electronic development cannot now be disclosed.
What Blaw-Knox means to radio, it means to many other industries. If you are concerned with modern methods for converting raw materials to usable products by chemical or mechanical means, or solvent recovery...or any ramification of industrial processing, Blaw-Knox can carry on from pilot plant to full scale production.
Blaw-Knox can serve in other ways: with pre-fabricated piping, equipment for the steel industry and a broad line of construction equipment, to name a few. Let us discuss your problems with you—at your convenience.
*The Tower is an essential part of the voice of radio. Blaw-Knox Towers (some over 1000' high) are used for broadcasting, communications, navigation, television, facsimile, police work...as well as for undisclosed electronic purposes.
BLAW-KNOX COMPANY
A PACE MAKER FOR AMERICAN INITIATIVE AND INGENUITY
LEWIS FOUNDRY & MACHINE DIVISION,
Rolls and Rolling Mill Machinery
POWER PIPING DIVISION, Prefabricated Piping Systems
COLUMBUS DIVISION, Ordnance Materiel
SPECIAL ORDNANCE DIVISION,
Bofors Anti-Aircraft Gun Mounts and Mechanisms
BLAW-KNOX DIVISION, Chemical & Process Plants &
Equipment, Construction Equipment, Steel Plant
Equipment, Radio Transmission Towers...
General Industrial Products
PITTSBURGH ROLLS DIVISION,
Rolls for Steel and Non-Ferrous Rolling Mills
UNION STEEL CASTINGS DIVISION,
Steel and Alloy Castings
NATIONAL ALLOY STEEL DIVISION,
Heat and Corrosion-Resistant Alloy Castings
MARTINS FERRY DIVISION,
Bofors Anti-Aircraft Gun Mounts
BLAW-KNOX SPRINKLER DIVISION,
Automatic Sprinklers and Deluge Systems
A FEW VICTORY PRODUCTS
ANTI-AIRCRAFT GUN MOUNTS GUN SLIDES LANDING BARGES SYNTHETIC RUBBER PLANTS PIPING FOR NAVAL VESSELS
POWDER PLANTS ROCKETS 16" PROJECTILES CAST ARMOR FOR TANKS & NAVAL CONSTRUCTION CHEMICAL PLANTS
THERMOSWITCHES
... put tires in trim for extra mileage
Vulcanizing is playing a vital part in the conservation of precious rubber ... and in controlling the temperature of tire vulcanizers, THERMOSWITCHES give unparalleled performance.
Write for catalogue and complete information ... to Fenwal Incorporated ASHLAND - MASS.
Electronics and Radar Engineers
Experienced in the field of communications and radar
Top Flight Salary
Good Post-War Future
Write
HUDSON AMERICAN CORP.
25 West 43rd Street
New York 18, New York
RADIART VIBRATORS and VIPOWER UNITS
The Choice of Many Prominent Manufacturers for use in their Important Electronic and Communications War Equipment.
Our large, experienced staff of electronic engineers will be glad to cooperate with you, too, in selecting or developing RADIART VIBRATORS and/or VIPOWER UNITS for your needs.
Radiart Corporation
3571 W. 62nd St.
CLEVELAND 2, OHIO
AIRCO RARE GASES AND MIXTURES OF TESTED PURITY
STANDARD OF THE INDUSTRY
- Airco Rare Gases of highest purity, and Airco Rare Gas Mixtures, blended accurately, meet the most exacting requirements of laboratory and production applications. Their uniformity and purity are definite factors contributing to increased tube operating efficiency...and longer life. Airco Rare Gases are supplied in lead glass or PYREX containers from which they are easily removed with no change in quality. Your nearby Airco Office can supply your needs quickly.
AIR REDUCTION
60 EAST 42nd STREET • NEW YORK 17, N.Y.
Offices in Principal Cities
ARGON • NEON • HELIUM • KRYPTON • XENON
STANDARD AND SPECIAL MIXTURES
April 1945 — ELECTRONICS
COMMUNICATION—WITHOUT WIRES—the keynote of the nation's ability to wage modern war—has brought in its train a great paradox: A need for more and different cables. And the same needs will extend into the post-war world.
To other government agencies requiring "fussy" cable jobs, Ansonia offers the "Yankee ingenuity" which has enabled this organization to meet these requirements—accurately and on time. And to business men now and in the post-war world, Ansonia, through its Ankoseal thermoplastic cables, offers the same ability to meet similar problems to their satisfaction.
Why ANKOSEAL solves cable problems
Ankoseal, a thermoplastic insulation, can help solve many electrical engineering problems, now and in the future. Polyvinyl Ankoseal possesses notable flame-retarding and oil resisting characteristics; is highly resistant to acids, alkalies, sunlight, moisture, and most solvents. Polyethylene Ankoseal is outstanding for its low dielectric loss in high-frequency transmission. Both have many uses, particularly in the radio and audio fields. Ankoseal cables are the result of extensive laboratory research at Ansonia—the same laboratories apply engineering technique in the solution of cable problems of all types.
THE ANSONIA ELECTRICAL COMPANY
Specializing in "Ankoseal" a Thermoplastic Insulation
ANSONIA • CONNECTICUT
A Wholly-Owned Subsidiary of
NOMA ELECTRIC CORPORATION
GENERAL OFFICES • NEW YORK, N. Y.
In peacetime makers of the famous Noma Lights—the greatest name in decorative lighting. Now, manufacturers of fixed mica dielectric capacitors and other radio, radar and electronic equipment.
In Need of a Source of Test Power in Range of 50 to 6,000 Cycles?
Here it is—Developed for Continuous Duty
CML 1420
ELECTRONIC GENERATOR
FREQUENCY RANGE: 50 to 6,000 Cycles in 4 bands
POWER OUTPUT: 250 Watts Continuous Duty
FREQUENCY CONTROL Single dial, direct reading linear scale in 4 ranges—50-180, 170-600, 500-1800, 1700-6000 cycles.
Frequency stability of the CML 1420 is better than 2% after initial warm-up. Maximum distortion at full output into resistive load is 10%. Regulation no-load to full load within 4%. Nominal regulated voltage output 80-120-135-215-255 or 270 volts. Power input 115 volts 60 cycles 1200 watts single phase.
DESCRIPTIVE BULLETIN SENT ON REQUEST
Communication Measurements Laboratory
120 Greenwich St., New York 6, N.Y.
March of only 9 percent of the amount of lead used during the calendar year 1944 in manufacturing these products. After April 1 he may use during any calendar quarter 25 percent of the lead used in 1944.
SIGNAL CORPS REORGANIZATION. Five new divisions have been established under the Engineering and Technical Service of the Signal Corps. They are: communication equipment development division under Col. Herbert G. Messer; electronic equipment development division, under Lt. Col. Carl S. Kleinau; development management division, under Maj. Willard A. Muir; equipment coordination division, under Lt. Col. Joseph A. Mahoney and maintenance division, under Maj. George M. Cooper.
FREQUENCY-STANDARD EXTENSION. An extension of service by the National Bureau of Standards results in transmission from station WWV of a 15 Mc signal at night as well as in the daytime. Otherwise unchanged, the services include standard radio frequencies, standard time intervals accurately synchronized with basic time signals, standard audio frequencies, and standard musical pitch—440 cps. Frequencies used are: 2.5, 5, 10 and 15 Mc which are now all continuous night and day except the first which is scheduled from 7 pm to 9 am EWT or 2300 to 1300 GMT.
BUSINESS NEWS
American Telephone and Telegraph Co. has announced its ability and eagerness to supply program transmission channels to meet the present and future requirements of f-m broadcasters.
Resistance Welder Manufacturers Association launches a program of cooperative education activity on the subject of resistance welding. Objective will be to encourage advances in design, welding technique, and fabricating procedure.
Fisher Pierce Co. is a new concern established at 62 Ceylon St., Boston 21, Mass., to produce timers and related electronic equipment.
Associated Electronics Corp., consulting engineers, have moved
T IS FOR "TROPICALIZED"
... which means that STANDARD Sprague Koolohms now have the same EXTRA HUMIDITY PROTECTION formerly obtainable only on special order.
All Sprague Koolohm Resistors are now supplied with glazed ceramic shells and a new type of end seal as standard construction.
These features provide maximum protection against the most severe tropical humidity and corrosive conditions. Extensive tests in the laboratories of the armed forces and prime contractors have proven the ability of the "KT" construction to "take it" under the most brutal air thermal shock, humidity, and corrosive conditions.
Type "KT" Koolohms correspond to characteristic "J" of resistor specification JAN-R-26.
All previous catalog designations remain the same except for the addition of the letter "T" to the old type numbers to designate the new standard construction.
Thus "T" is for "Tropicalized"—and all Sprague Koolohms have it. One type of Koolohm, the standard type, does the job—under any climatic condition, anywhere in the world.
SPRAGUE ELECTRIC CO., Resistor Division, North Adams, Mass.
(Forever Sprague Specialties Co.)
SPRAGUE
KOLOOHM RESISTORS
ELECTRONICS — April 1945
AGASTAT
ELECTRO-PNEUMATIC RELAY
COMPACT:
4 IN HIGH
2 1/2 IN DEEP
2 1/2 IN WIDE
WEIGHT:
1, POUNDS
ELIZABETH AGA NEW JERSEY
AMERICAN GAS ACCUMULATOR COMPANY
NEW GUIDE
TO PRECISION-MADE
PLASTICS
By Sillcocks-Miller
FREE BOOKLET
PRESENTS 4-POINT
SERVICE TO HELP
DESIGN ENGINEERS
How the facilities and experience of Sillcocks-Miller specialists can help you solve your problems in precision-fabricated plastics is told in a new illustrated booklet now available.
Designers and manufacturers in need of plastic parts and products made to extremely close tolerances will find the Sillcocks-Miller Company a most dependable source for design and development service and for highest quality production.
Whether you are now using plastics or want to learn why it will pay you to convert to plastics, you should have a copy of this helpful booklet. Write for it today — without obligation.
SILLCOCKS-MILLER CO.
Office & Factory
10 W. PARKER AVE., MAPLEWOOD, N. J.
Mailing Address, SOUTH ORANGE, N. J.
It Costs You Less to Pay a Little More for Sillcocks-Miller Quality
April 1945 — ELECTRONICS
more efficient ... in miniature
It took a practiced eye and a steady hand to use the old mariner's telescope. In contrast, the compact modern binoculars may be used by anyone, with results far beyond those obtainable with the old instrument. Development that gains efficiency while reducing size is an indication of modern trend. This trend is seen in miniature electronic tubes.
In the new allocation of frequencies, Tung-Sol foresees great possibilities in high frequency application of miniature tubes...tubes that have proved their efficiency in military service. Advances have been made, using miniature tubes, that would not have been possible with larger tubes. In numerous other instances Tung-Sol miniatures are doing a better job than large tubes, in similar circuits.
TUNG-SOL is not only a dependable source of supply for electronic tubes of all types, but provide an engineering laboratory service as well to aid set manufacturers in planning circuits and selecting tubes for more efficient operation. All consultations are held in strictest confidence.
TUNG-SOL
vibration-tested
ELECTRONIC TUBES
TUNG-SOL LAMP WORKS INC., NEWARK 4, NEW JERSEY
Also Manufacturers of Miniature Incandescent Lamps, All-Glass Sealed Beam Headlight Lamps and Current Intermittors
ELECTRONICS — April 1945
With ... or Without — PROTECTIVE FINISHES
Insurok T-640 out-performs ordinary laminates!
So far as we know—there is no laminated phenolic plastic that has the low moisture absorption of Laminated INSUROK, Grade T-640! Scientific laboratory tests show it! On-the-job performance proves it! For in humid, tropical climates this Richardson Precision Plastic is daily showing its unique ability to out-last ordinary materials with or without protective finishes—in spite of devastating, ever-present fungus growths.
In addition, INSUROK T-640 has uniform dielectric and mechanical characteristics, and can be fabricated. With so many outstanding features, it's no wonder INSUROK T-640 shows up with increasing regularity today in specifications for radar, communications transmitters, receivers and many other products where moisture absorption must be cut to a minimum. Get the full story now! Write Richardson Plasticians today.
TESTS ON T-640 — SANDED & UNSANDED
Made at Richardson Laboratories
Dec. 6, 1944
| STOCK | T-640 SANDED | NOT SANDED |
|-------|-------------|------------|
| Thickness | .097 | .126 |
| Volatile | 0.34% | 0.29% |
| Moisture Abs. | 0.56% | 0.38% |
| Expansion | .0002 | .0002 |
TESTS AT ROOM CONDITIONS
| Power Factor | .0322 | .0333 |
| Dielectric Constant | 4.61 | 4.89 |
| Loss Factor | .149 | .162 |
| Arc Test (Sec.) | 130-128-129-126-123 | 129-60-117-12-64 |
TESTS AT 90% HUMIDITY 104° F.
| Power Factor | .0342 | .0347 |
| Dielectric Constant | 4.77 | 5.06 |
| Loss Factor | .163 | .176 |
| Insulation Resistance | 122,000-98,000-122,000 | 98,000-162,000-122,000 |
| Average | 114,000 | 127,000 |
Insulation resistance was determined using taper pins. Sanded and unsanded samples were obtained from same factory sheet.
to new and larger quarters at 132 Nassau St., New York 7, N. Y. A new department is added for the compilation and editing of technical manuals.
MAJESTIC RECORDS INC. is a newly formed major subsidiary of the Majestic Radio and Television Corp., Chicago, Ill. Executive offices and recording studios of the new company will be at 29 West 57th St., Manhattan, while the production plant and general offices will be in Newark, N. J. President of the new record corporation is James J. Walker, former mayor of New York City, shown in the illustration with Eugene A. Tracey, president of Majestic Radio and Eli Oberstein, executive vice-president of the New York operation.
ESPEY MFG. CO. announces that its plant is ready for conversion to television production in 72 hours from the time parts are available.
BELMONT RADIO CORP., Chicago, Ill., and Raytheon Mfg. Co., Newton, Mass., are negotiating a merger.
HYTRON CORP., Salem, Mass. proposes to double its working capital in anticipation of a greatly expanded postwar tube market.
WEBSTER-CHICAGO CORP., Chicago, Ill., has purchased Webster Products, also of Chicago. Facilities and personnel will be retained intact and will operate as the electronics division of the parent company.
WESTINGHOUSE ELECTRIC & MFG. Co. changes the name of its radio division to industrial electronics division, while its former radio receiver division becomes the home radio division.
BENDIX RADIO DIVISION of Bendix Aviation Corp. uses a specially
“Tops” for Top Mounting...
MALLORY “FP” CAPACITORS
WHEREVER you need dry electrolytics, Mallory “FP” Capacitors are your best choice. Top chassis mounting for ease and speed of assembly is merely one advantage. Check the list of “FP” features below against your own design and manufacturing problems.
Mallory research and engineering, coupled with precision manufacturing, have built exceptionally long life into “FP” Capacitors. They save chassis space, too, since they are the smallest capacitors available for any given electrical rating.
Mallory “FP’s” have been specified for the best electronic equipment . . . radio and television receivers and transmitters, the newest electron microscope, and test and laboratory apparatus of the highest quality.
Mallory “FP” Capacitors are manufactured uniformly to precision standards. They are ideal when you want to maintain high precision in volume production.
Check this list of “FP” advantages, and send for the Mallory catalog—containing specifications on “FP’s” and many other precision electronic parts. Get your free copy of the catalog from your nearest Mallory Distributor, or write us today.
Check List of “FP” Features
Top chassis mounting for ease in assembly and servicing.
“Twisted ear” mounting eliminates other hardware.
Internal cartridge design provides minimum coupling.
Identical type mounting for all rated capacities.
Ratings from 2000 mfd. at 10 volts to 80 mfd. at 450 volts.
Avoids engineering problems on special capacitors.
P. R. MALLORY & CO., Inc., INDIANAPOLIS 6, INDIANA
ELECTRONICS — April 1945
FROM THE HOUSE OF JACKS
... and other radio and electronic components!
JK-26
America's largest producer of JK-26 jacks. All models built to strict Signal Corps specifications.
PL-53
PL-54
Experience for Sale!
Amalgamated Radio, pioneers in the field, maintain experimental and development laboratories for post-war radio and television equipment. Our components are completely engineered in a self-contained factory equipped with tools of our own design. Years of specialized experience assure high quality products at low cost. Inquiries are invited.
AMALGAMATED RADIO TELEVISION CORP.
476 BROADWAY • NEW YORK 13, N.Y.
Stokes MICROVAC Pumps
HEART OF HIGH VACUUM SYSTEMS
HIGHER VACUUM
in the Low Micron Range
GREATER
VOLUMETRIC EFFICIENCY
LOW
POWER REQUIREMENT
FIVE SIZES:
from 15 to 225 cu. ft. per min.
F. J. STOKES MACHINE CO.
6046 Tabor Road Phila. 20, Pa.
Stokes High Vacuum
PUMPS • GAUGES • EQUIPMENT
This picture from Leslie's Weekly depicts an 1861 Express van being loaded with war materials. This vehicle was considered a mammoth advance in efficiency.
READY
When The Nation Calls
Throughout American history when a real need arose, a man or an organization has been ready to cope with it. Express shipping is an organized service originated 106 years ago to meet the demands of those times. Since then, through peace and war, Express has promptly adopted every scientific advance so as to be ready for the nation's changing shipping requirements.
Today the major part of the unprecedented volume of Express, both by rail and air, is connected with the war effort. This wartime transportation experience and new handling techniques will aid in the nation's postwar commercial shipping needs.
BUY MORE WAR BONDS
RAILWAY EXPRESS AGENCY
NATION WIDE RAIL AIR SERVICE
April 1945 — ELECTRONICS
NOW-WIRE SPEAKS!
A thin, swift wire shimmers across the poles of a magnet. Magically, it is sound-impressed with music snatched from the air — the voices of children — the words of a business conference.
In an instant — it is playing back every note, tone and inflection. Clear. True. Faithful. Prompt as an echo — lasting as the metal of the wire itself.
What is it? Lear Wire Recording. Modern recording — brought to practical usefulness in Lear laboratories.
No longer the scratch and hiss of needle-on-record. No longer the mess and fuss of shaving dictating-machine cylinders. No longer reliance on fallible memory or scribbled notes for the precise statements at meetings or conventions, or the actual words of individual conversations.
Instead — office machines will record instructions, take dictation, listen in on important meetings. And at home your radio will catch and hold hours of entertainment from favorite programs.
You can record, reproduce or erase at will — you can re-use any reel any time.
Interesting? The possibilities are endless. Of course you'll want to know more! So send the coupon — or write Lear, Incorporated — for the fascinating booklet that explains and explores Lear Wire Recording — and its meaning to you.
LEAR RADIO
RADIO DIVISION: GRAND RAPIDS 2, MICHIGAN
Home Radio Sales, 130 E. Ohio St., Chicago 11, Illinois
See what Lear dealers are going to have to offer. Fine radios plus the Lear Wire Recorder — the newest contribution to complete home entertainment.
This advertisement sets the stage. It tells the millions of people waiting for new radios that a new thrill will come with Lear Home Radios. They'll be anticipating the Lear Wire Recorder.
If you would like to be able to offer these radios to your customers, write for information on the Lear Franchise.
Want more information on Wire Recording?
LEAR, Incorporated
Home Radio Sales Division, 230 East Ohio Street, Chicago 11, Illinois.
Gentlemen:
Please send me your free booklet on Wire Recording offered in Lear national magazine advertising.
Firm Name_____________________________________________________
Individual______________________________________________________
Address_________________________________________________________
Here’s why SPERTI HERMETIC SEALS are A “MUST” IN THE TROPICALIZATION OF ELECTRONIC MILITARY EQUIPMENT
1. EFFECTIVELY SEAL OUT DUST, sand, salt spray, fumes, fungus, injurious atmosphere.
2. GLASS PATH WILL NOT CARBONIZE. Have wide thermal operating range and high insulation leakage resistance.
3. SPECIAL PROCESS insures maximum acceptability to solder. Simple and easy to attach.
Sperti Hermetic Seals have been an important factor in increasing the life expectancy and usefulness of vital military equipment of many kinds. Write, today. Outline your problems. Let us show you how Sperti Hermetic Seals can help you solve them.
THE HELP YOU’VE BEEN LOOKING FOR!
Now available. Skilled assembly service for soldering terminals into cover plates. Send drawings and specifications for quick quotation. For full information, phone, wire or write.
Sperti
INCORPORATED
Cincinnati, Ohio
RESEARCH • DEVELOPMENT • MANUFACTURING
equipped Lockheed Lodestar for daily tests of performance and airworthiness of its products. Time required for test has been cut by more than 50 percent.
HALLICRAFTERS Co., Chicago, Ill., removes its foreign division to new quarters at 1791 Howard St. as a step in greatly enlarged export activities after the war.
HARCO STEEL CONSTRUCTION Co., Elizabeth 4, N. J., has available motion picture films demonstrating the high speed erection of radio and other structural masts and towers.
AEROVOX CORP., New Bedford, Mass., changes hands and a new management takes over. No other company in the capacitor or electrical industry is involved, stock having been purchased for the private investment of W. Myron Owen and associates.
COLUMBIA MACHINE WORKS, Brooklyn, N. Y., principally active in Naval electronics, is acquired by Maguire Industries—former Auto-Ordnance Corp., New York, N. Y.
NEW YORK UNIVERSITY announces new evening graduate courses in powder metallurgy in the graduate division of its College of Engineering.
BROWN INSTRUMENT Co., Philadelphia, Pa., adds to the curriculum of its school of instrumentation free courses in electronic strip chart and humidity control instruments.
COLLINS RADIO Co., Cedar Rapids, Iowa, has acquired its own test airplane and is planning the construction of suitable hangar and laboratory facilities for research and development on airborne communication and navigation equipment.
ARMOUR RESEARCH FOUNDATION adds five new names to the roster of wire-recorder licensees. New participants include E. H. Scott Radio Laboratories, Chicago, Ill.; J. P. Seeburg Corp., Chicago, Ill.; Lewyt Corp., Brooklyn, N. Y.; Radiotechnic Laboratory, Evanston, Ill.; and Boosey & Hawkes Ltd., London, England.
POLYTECHNIC INSTITUTE of Brooklyn has organized a separate division for polymer chemistry under the direction of Dr. Herman F.
PLASTIC PARTS
... PRODUCED TO YOUR SPECIFICATIONS
PRINTING
DIE CUTTING
CEMENTING
Wide experience by all known processes in the application of printing, engraving, silk screening, die cutting and cementing of all thermoplastics.
FORMING
Specialists in deep drawing radio dial windows, embossing, swaging and bending in Acetate, Vinykite and Acrylics.
MACHINING
Precision threading, screw machine, milling, drilling, turning of Polystyrene, Acrylics, Phenolics, Nylon, Tenite; sheets, tubes and rods; through spindle capacity up to 2½" rod.
ASSEMBLY
Our engineers can assist you in problems of design and assembly of your plastic units.
PRINTLOID, Inc.
93 Mercer Street
New York 12, N.Y.
Concentric Transmission Line
by Doolittle
A Standard Product Since 1934
Ten years of experience in building concentric transmission line and associated impedance matching equipment assures you highest quality and workmanship.
Doolittle lines are made in seven standard sizes. Each line uses seamless copper tubing for the outer and inner conductor, except Types C-1 and C-6 which use solid inner conductors. The insulating heads are made of low loss ceramic—impervious to moisture—spaced and fastened securely for maintaining proper electrical and mechanical characteristics.
Carefully designed fittings and accessories for any requirements are also available.
Special sizes are made to order. For engineering information concerning installation and use, feel free to consult our engineering staff.
WRITE FOR CATALOG AND PRICES
QUICK DELIVERY On All Standard Sizes Upon Suitable Priority
Doolittle RADIO, INC.
Builders of Precision Communications Equipment
7421 SOUTH LOOMIS BLVD., CHICAGO 36, ILLINOIS
Another DX FIRST!
For more than a year DX Crystals have been automatically deep-etched by a new process. Both the method and machines were perfected by DX Engineers so that all DX Xtals can have the nth degree of stability and endurance necessary to wartime operation.
Think about DX Products for your new receivers and transmitters.
DX XTALS
the heart of a good transmitter
DX CRYSTAL CO.
GENERAL OFFICES: 1200 N. CLAREMONT AVE., CHICAGO 22, ILL. U.S.A.
RAPIDITY... when delivery is paramount
Are you faced with a production problem that requires quick delivery on a special part? Our engineering service and our machines are both geared for high-speed production. Ask us to help you—no obligation. Also, in most cases, you'll find cold-forging to be more economical.
This Decimal Equivalents wall chart is accurate to four places and signalled in three colors. Yours, at no cost or obligation, just send us your name, title and address.
See our Catalog in Sweet's File for Product Designers
JOHN HASSALL INC.
Specialists in Cold-Forging Since 1850
150 Clay Street
Brooklyn 22, N.Y.
April 1945 — ELECTRONICS
RAYTHEON VOLTAGE STABILIZERS
Provide Stabilized Voltage ±1/2% WITHIN 2 CYCLES
All precision as well as other types of electrical equipment requires steady, uniform voltage for accurate operation. Raytheon Voltage Stabilizers meet this need by providing accurately controlled voltage to ±1/2% of 1%.
Entirely automatic in operation, the Raytheon Voltage Stabilizer requires no maintenance, no adjustments. Simply incorporate it into new products or equipment already in use and it will take care of itself providing uniformly stabilized voltage.
Raytheon Voltage Stabilizers provide these advantages: Stabilize voltage at any load within their ratings... Hold constant varying AC input voltage to ±1/2 of 1% — within 2 cycles... Control wide AC input variation — 95 to 130 volts. Write for Bulletin DL48-537. It gives the complete story.
Tune in the Raytheon radio program: "MEET YOUR NAVY," every Saturday night on the Blue Network. Consult your local newspaper for time and station.
The coveted Army-Navy "E" for Excellence in the manufacture of war equipment and tubes, flies over all four Raytheon Plants where over 16,000 men and women are producing for VICTORY.
RAYTHEON MANUFACTURING COMPANY
Electrical Equipment Division
190 WILLOW STREET, WALTHAM, MASS.
Devoted to research and manufacture of complete electronic equipment: receiving, transmitting and hearing aid tubes; transformers; and voltage stabilizers.
The extensive R-B-M line includes a wide variety of relays, furnished in complete voltage ranges and contact capacities ordinarily encountered in the signal, electronic, and communication fields. For further information write Dept. A-4...
R-B-M MANUFACTURING COMPANY
Division of
ESSEX WIRE CORPORATION
LOGANSPORT, INDIANA
ELECTRICAL RELAYS, SOLENOIDS, SWITCHES AND CONTROLS
FOR INDUSTRIAL, COMMUNICATION AND ELECTRONIC USE
Marks. The division's research program involves modern techniques including x-rays and radio-active isotopes.
WINCHARGER CORP., Sioux City, Iowa, has acquired the Benjamin patent No. 1,841,593 for automatic phonograph record changers.
WESTINGHOUSE ELECTRIC & MFG. Co. has conducted a round-robin meeting presenting electronics to company engineers in plants at Baltimore, Bloomfield, and East Pittsburgh.
UNIVERSITY OF CALIFORNIA is sponsoring a no-fee electronic training course for members of the International Brotherhood of Electrical Workers. Headed by James L. Brown of General Electric Co. as instructor, the course is held at Los Angeles, Calif. Another class operated by the Union is designed to prepare members for FCC license examinations.
RCA VICTOR CO. OF CANADA, LTD. supplied ten radio transmitters to the Chungking government for use by the AVG Flying Tigers. This equipment is credited with having carried the burden of American airforce ground communications on that Asiatic battlefront from 1941 until now.
YORK RESEARCH CORP., New York, N. Y., forms a new electronics laboratory at 63 Park Row, New York. Facilities are headed by J. Knox Tillotson.
PERSONNEL
RALPH A. HACKBUSCH, vice president, Stromberg-Carlson Co., Toronto, is elected vice president of the newly organized Canadian Radio Technical Planning Board.
E. F. PHILIBSEN has been appointed chief engineer and production manager of Sorensen & Company, Stamford, Conn., manufacturer of airborne and other types of electronic equipment. He was at one time a member of Montgomery Ward's engineering staff, has recently reEngineering rubber mountings for military purposes continues to be a full-time job for United States Rubber Company specialists in that field.
In the race to develop new and more accurate weapons, eliminating disturbing vibration becomes increasingly complex. Electronic instruments in planes, tanks and surface craft, as an example, must be insulated far more perfectly than ever before.
U. S. Rubber scientists, working closely with military experts and manufacturers of war materiel, are helping to win this fight against vibration and shock. Such effort—rightfully given priority until victory is assured—means that service to manufacturers of non-military goods has had to be sharply curtailed.
But the knowledge being gained in the adaptability of rubber compounds and the precision-engineering of rubber mountings is invaluable.
We are eager to cooperate with you on problems of vibration-insulation. But if we must postpone the date, we are sure you will understand.
SERVING THROUGH SCIENCE
WITH ENGINEERED RUBBER MOUNTINGS
Listen to "Science Looks Forward"—new series of talks by the great scientists of America—on the Philharmonic-Symphony program. CBS network, Sunday afternoons, 3:00 to 4:30 E.W.T.
UNITED STATES RUBBER COMPANY
1230 SIXTH AVENUE • ROCKEFELLER CENTER • NEW YORK 20, N.Y. • In Canada: DOMINION RUBBER CO., LTD.
One of the products Jelliff makes is fine RESISTANCE WIRE
not plain steel, copper, or magnet wire—but special resistance wire as fine as .0008 in. dia., drawn by special Jelliff methods to insure uniformity and top quality
ALLOYS FOR EVERY PURPOSE
ALLOY "A"—Nickel-chromium; non-magnetic; spec. resistance 650 ohms/CMF.
ALLOY "C"—High resistance to oxidation and corrosion; for electronics and industrial equipment.
ALLOY "D"—Normally 30% nickel, 15% chromium, balance iron. Specific resistance 600 ohms/CMF.
ALLOY "45"—Copper-nickel for winding precision resistors. Constant resistance over wide range of temperatures.
KANTHAL—Unavailable for duration; we will be pleased to supply data for your post-war requirements.
Carefully-controlled annealing is part of the manufacture of all Jelliff resistance wire
OTHER Jelliff PRODUCTS
WIRE MESH CLOTH. Woven in a wide variety of styles, sizes, metals and alloys.
DIPPING BASKETS. Sturdy, heavy-duty construction to meet oil dipping-basket requirements. Engineering service on proper selection of metals and alloys.
FABRICATED PARTS. Strainers, filters and other parts fabricated from wire stock. Complete operations from drawing and weaving to fabricating and assembly done in a Jelliff plant.
Write for our "Wire Data Book"
The C. O. Jelliff Mfg. Corp.
123 Pequot Road
Southport, Conn.
★ The ingenious Clarostat Series 60 Hi-Voltage Coupler provides either 3,000 or 10,000 volts breakdown insulation between the control proper and its shaft and mounting.
This coupler is cyclable with Clarostat Midget Controls Series 37 (composition element) and Series 48 (wire-wound). Also with the large Series 38 (wire-wound) controls. Likewise with Clarostat multiple controls.
Especially desirable for controls used in high-voltage circuits such as X-ray generation equipment, cathode-ray oscillographs, and many electronic applications.
In fact. Unit mounts as readily as usual control. And SAFE where high voltages are involved.
★ Write for DATA...
CLAROSTAT MFG. CO., Inc. - 285-7 N. 6th St., Brooklyn, N.Y.
April 1945 - ELECTRONICS
NATIONAL RECEIVERS ARE THE EARS OF THE FLEET
Three out of four of the Navy’s ships — landing craft or larger — are equipped with receivers designed by National.
The photograph above was taken from the deck of the USS Tulagi, participating in the August, 1944, invasion of France. Modern amphibious operations require superb radio communications.
NATIONAL COMPANY
MALEN MASS, U. S. A.
NATIONAL RECEIVERS ARE IN SERVICE THROUGHOUT THE WORLD
ELECTRONICS — April 1945
READ LOW CAPACITANCE
Directly·Accurately
Five-step decade multiplier gives full-scale ranges .01 to 100 mmfd.
Wide-range calibration control permits choice of full-scale ranges from 50% to 200% of normal.
This direct-reading instrument gives convenient means for checking vacuum tube inter-electrode capacitance and for other low capacitance measurements. Its stability suits it to continuous production testing as well as to intermittent laboratory service. The experience record of users shows that measurements can be reproduced over long periods; accuracy of 5% absolute is guaranteed. Data on the operation of this versatile instrument, with application notes, are given in Engineering Bulletin T-445, free on request.
Special instruments, of which this is an example, are developed at TECHNICAL for use in radio, radar, and electronic research, testing, and production.
We are equipped to carry your embryonic designs to completion on a sound basis of mechanical, electrical, and radio engineering.
TECHNICAL APPARATUS CO.
1171 TREMONT ST., BOSTON, MASS., U. S. A.
H. A. WINNE, vice president, becomes manager of engineering of the apparatus department of General Electric Co., Schenectady, N. Y.
WILSON A. CHARBONNEAUX leaves Burlington Instrument Co., where he was chief engineer and general manager, to take the post of manager and chief engineer at Automatic Control Engineers, Burlington, Iowa.
DR. E. F. W. ALEXANDERSON, consulting engineer, General Electric Co., is presented with the Cedergren Gold Medal of the American Society of Swedish Engineers, New York, N. Y. The award, made by the Swedish consul, Martin Kastengren, was characterized as a tribute not only to a scientist but to a creator of good will and closer contacts between two democratic nations.
GEORGE W. BAILEY is elected executive secretary of IRE. Presently chief of the scientific personnel office of OSRD, he will continue in that activity for the duration. He is also president of ARRL and of IARU.
BENNETT S. ELLEFSON becomes assistant to the vice president in charge of engineering at Sylvania Electric Products, Inc., Bayside,
IMPROVE YOUR POSTWAR "TRADE-MARKSMANSHIP"
with
MEYERCORD DECALS
Score a BULLS-EYE in Low-cost, LASTING IDENTIFICATION
Your postwar product deserves a fine trademark...a lasting form of identification that continuously tells "who made it" for the life of the product. Meyercord Decals, combat-tested on world battle fronts, provide the ideal trademark or nameplate. They're durable, washable, and resistant to acid, vibration and temperature extremes. They can be produced in any size, colors or design and applied at fast production line speeds. No rivets, bolts or screws required. Easy-to-use methods of adhesion permit fast, lasting application to any known commercial surface. Investigate the better "Trademarksmanship" of Meyercord Decals. Free designing and technical service is at your disposal. Write for literature. Address all inquiries to Department 9-4.
Buy War Bonds and Keep Them
THE MEYERCORD CO.
World's Largest Decalcomania Manufacturers
5323 WEST LAKE STREET • • • CHICAGO 44, ILLINOIS
IDENTIFY
DECORATE
ADVERTISE
your products with
MEYERCORD DECALS
WHAT IS THE STA-WARM METHOD?
1. It is co-operative engineering service to determine the correct heating, melting, conveying or dispensing equipment needed to handle the kind of compound you specify in the volume and manner your job requires.
2. It is a high standard of design for the heating tank, kettle or pot which the engineering survey shows is needed. It includes efficient design that assures the essential element of low heat concentration to avoid possibility of carbonizing or burning the compound regardless of the size or shape of the heater or material to be employed.
3. It is the dependable, uniform construction of the heater which must pass rigid laboratory tests before approval and shipment.
This is the Sta-Warm method.
By this method you are assured of heating equipment that is tailored to fit your job, rather than tailoring your job to the equipment. What more basically sound method could you ask for in choosing compound or soft metal heating and melting equipment?
When you think of heated compounds, think of Sta-Warm equipment for heating them. Inquire today for bulletin 038W
STA-WARM ELECTRIC CO.
1000 N. CHESTNUT ST. • RAVENNA, OHIO
HINGED UNIVERSAL LINK JOINT—Type H
for the simplification of REMOTE CONTROLS
The type "H" hinged Universal Link Joint with solid shafting has three distinct advantages for remote controls. (1) Simplicity of installation (the Universal Link Joint hinges from 0 to 90°). (2) A minimum of backlash. (3) Output shaft turns in exact angular rotation with the input shaft.
This method is particularly recommended for panel operation of dial and rheostat controls, switches, variable condensers, variable transformers, coils, remote operating rods and other mechanical adjustments.
Write for Bulletin 45B for complete data and specifications.
PIEZOELECTRIC CORPORATION
110 EAST 42nd ST., NEW YORK 17, N. Y.
VICTORY* will mold Plastics for you...
We'll be ready to do a better molding job for you... when we've finished supplying the needs of many prime contractors to the Armed Forces.
Molding plastics for War still demands most of our time and equipment... it's VICTORY'S* bit toward complete Victory... but it's also paving the way for better-molded products for you in the days of Peace.
Wartime lessons in precision molding have sharpened the wits of our engineering staff. Solving tough problems has broadened our knowledge of handling a great variety of thermo-plastics. Our workers are better craftsmen because they have learned the importance of extreme accuracy.
Whatever plastic product you're planning to use, consult with our engineers at once. On certain contracts we may be able to begin molding right now.
Member: Society of the Plastics Industry
Automatic Injection Molding
Small and large parts
UP TO 17-OZ. SHOTS
Lumarith, Tenite, Fibestos, Plastacelle, Crystallin, Lucite, Eibyl Cellulose, Polycell, Lurex, Styron, Cellonite Acetate and others... all molded to your exacting specifications.
*VICTORY MANUFACTURING COMPANY
1724 W Arcade Place, Chicago 12, Ill.
ESTABLISHED 1930
April 1945 — ELECTRONICS
A HEAVY WIRING HARNESS
by a Wire Manufacturer
helps solve your manpower problem
Use Lenz Laced Wiring Harnesses, constructed of approved types of color coded insulation to speed up your assembly operations, and release manpower for other work on the assembly line.
The Lenz organization, manufacturers of radio and instrument hookup, has the experienced personnel that can produce these harnesses with meticulous care and regard for precision, to meet your exact specifications.
Quotations will be gladly furnished on receipt of sketch and specifications.
LENZ ELECTRIC MANUFACTURING CO.
1751 North Western Avenue • Chicago 47, Illinois
when they offer thee a heifer,
run with a halter
...and, these days, if and when anyone offers you Macallen Mica, grab it quick. Because Macallen Mica has maintained highest standards of dependability for more than 50 years, it is natural that it should be so generally specified for the machines and instruments of war.
When you think of MICA think of MACALLEN
the Macallen Company
16 MACALLEN STREET BOSTON 27
CHICAGO: 389 W. Washington Blvd. CLEVELAND: 1005 Leader Bldg.
L. I. He has been connected with the company since 1937.
Virgil M. Graham of the RMA Engineering Department is alternate representative of the association on the governing council of ASA.
L. C. F. Horle, manager of the RMA Data Bureau, has been designated to represent the association on the governing council of ASA.
Howard J. Beck is made chief engineer in the broadcasting division of Farnsworth Television & Radio Corp., including radio station WGL. Mr. Beck was formerly chief inspector at the company's Fort Wayne, Ind., plant.
Ray C. Ellis, formerly director of the WPB radio and radar division has been lent by General Motors Corp. to Johns Hopkins applied physics laboratory, Silver Spring, Md.
AWARDS
Workers of the following concerns in the electronic field have been awarded Army-Navy E burgeses for excellence in production:
Andrea Radio Corp.
Long Island City, N. Y.
Bendix Aviation Corp.,
Pacific Div.
North Hollywood, Calif.
Freed Radio Corp.
New York, N. Y.
Harvey-Wells Electronics Inc.
Southbridge, Mass.
Muter Co.
Chicago, Ill.
Pacific Sound Equipment Co.
Hollywood, Calif.
Regal Electronics Corp.
New York, N. Y.
Sperry Gyroscope Co.
Brooklyn, N. Y.
United States Instrument Corp.
East Orange, N. J.
A NEW VARIAC FOR 400 TO 2600 CYCLES
DESIGNED for an increasing number of applications requiring the control of power at frequencies higher than 60 cycles, this new VARIAC meets the need for a unit for frequencies between 400 and 2600 cycles. It is a companion to the widely used Type 200-C having substantially the same power rating . . . 860 va; with a load current of 5 amperes, rated, and a maximum current of 7.5 amperes near zero and line voltages.
A number of new mechanical features are incorporated in the Type 60-A VARIAC. Included are:
- New unit brush construction requiring no tools for brush replacement and designed to prevent contact between brush holder and winding when the brush wears away.
- Positive rotor contact with NO pigtails
- Combination screw and solder terminals
- Fully insulated hollow steel shaft
- Improved bearings, suitable for motor drive.
As seen in the photograph, the Type 60-A VARIAC is considerably smaller than its 60-cycle counterpart. The Type 60-AU is priced at $13.00 and the 60-AM at $15.00.
Because all VARIAC production is scheduled months in advance on high priority war orders for 60-cycle models, these new VARIACS are now available only in sample quantities.
- WRITE FOR BULLETIN 920
GENERAL RADIO COMPANY
Cambridge 39, Mass.
NEW YORK
CHICAGO
LOS ANGELES
NEW PRODUCTS
Month after month, manufacturers develop new materials, new components, new assemblies, new measuring equipment; issue new technical bulletins, and new catalogs.
Measuring Devices
DATA IS NOW available on several types of measuring instruments manufactured by Measurements Corporation of Boonton, N. J.
The first instrument is Model 5M moisture detector which is equipped with a Model 4E electrode, and which measures the moisture content of wood and wooden products from 8 to 24 percent of dry weight.
The meter is an electronic ohmmeter which operates on the resistance principle. To measure the moisture content, the four-pin electrode is hammered into the object. An indicator lamp flashes when the dial is turned to moisture content of wood. Power for operation is supplied by self-contained A and B batteries. An adjustment knob is used to compensate for change of battery voltage. Selection of wet stock from dry stock is quickly accomplished.
Model 58 u-h-f radio noise and field strength meter may be used in the fields of television, frequency modulation, diathermy interference, ignition noise measurements, facsimile on any u-h-f carrier within the range of the instrument in amplitude modulation or facsimile. Specifications of the meter are: 15 to 150 Mc in five bands (dial is directly calibrated in megacycles); 1 to 100,000 microvolts measured across a 70-ohm line; 1 to 100 microvolts on a semi-logarithmic output scale; balanced resistance attenuator with ratios of 10, 100, and 1000 ahead of all tubes; accurate gain standardization from internal shot-noise diode; a special calibration dial which eliminates need for charts; a tuned r-f amplifier eliminates image response (all circuits are accurately tracked); provision for direct operation of a 5-milliamp recorder; push-button switching throughout for rapid operation; and a built-in regulated dual power supply for operation from either 115-v ac or 6-v dc.
Three standard signal generators include Model 65-B Laboratory Standard, Model 80 and Model 84 u-h-f instrument. Model 65-B utilizes a transmission line output system for eliminating lead resonance errors. Frequency range of this instrument is rated 75 kc to 30 Mc in 6 push-button selected ranges. Output voltage is continuously variable from 0.1 microvolt to 2.2 volts. Output impedance is 5 ohms at 0.2 volts, rising to 15 ohms at 2.2 volts.
Tentative specifications of Model 80 standard signal generator are: Carrier frequency range 2 to 400 Mc; individually calibrated dial with 6 overlapping bands; an automatic range indicator which eliminates errors in the selection of correct frequency scale; output is continuously variable from 0.0 to 100,000 microvolts; Output impedance is fixed at 50 ohms; amplitude modulation is provided from 400 or 1,000 cycles or for external audio modulation; a video modulation jack is provided for connecting an external pulse generator directly to the oscillator plate circuit. Pulses of 1 microsecond can be obtained at higher carrier frequencies.
Tentative specifications of Model 84 u-h-f standard signal generator are: Carrier frequency range, 300-1000 Mc. Modulation—for am, choice of 400, 1000 or 2500 cycle internal—and external up to 30 kc. Percent modulation is directly indicated up to 30 percent; pulse repetition rate is continuously variable, from 50 to 100,000 cps in three ranges; pulse width is continuously variable and calibrated from 1 to 50 microseconds; pulse delay (with respect to synchronizing output) is continuously variable and calibrated from 0 to 50 microseconds.
Portable Electric Megaphone
APPROVED BY THE Merchant Marine Inspection and U. S. Coast Guard, Model 100 Type M megaphone makes communications over a great distance possible by the use of electronic amplification. The megaphone consists of two units: a comStill Another DeJur Achievement
Completely Enclosed
ARMY-NAVY
Rheostat-Potentiometer
DESIGNED TO CONFORM TO SPECIFICATIONS
JAN. R-22
MODEL 231—50 WATTS, Ranges from 1/4 to 10,000 OHMS
MODEL 235—25 WATTS, Ranges from 2 to 5000 OHMS
These two new DeJur rheostat-potentiometers are completely enclosed in permanently sealed, corrosion-proof metal cases. Terminals are brought through a sealed terminal board. Thus, no dust can penetrate, no varying degrees of heat, cold or humidity can affect their high operating efficiency. Rigid requirements, including the salt spray corrosion test, are met.
Supporting these advantages is the excellence of DeJur precision construction. You can subject these instruments to great shock or vibration... take them up miles into the air... and their close tolerances remain unaffected. Write for additional details, or consult with a DeJur engineer. Special features built to order—length of shaft (round, slotted or flatted) can be provided to individual specifications.
DeJur—AMSCO CORPORATION
GENERAL OFFICE: NORTHERN BLVD. AT 45th STREET, LONG ISLAND CITY 1, N.Y.
IN CANADA—ATLAS RADIO CORP. LTD., 560 KING ST. WEST - TORONTO, CANADA
ELECTRONICS — April 1945
R-F CAPACITOMETER
The G-E Capacitometer is a compactly designed unit for precision measurements of small capacitance and inductance. It will be found to be an extremely valuable asset in college and industrial laboratories where maximum utility is essential. This instrument measures directly at radio frequency and measurements are very easily and simply performed with the aid of a self-contained oscilloscope. For information write: Electronics Department, General Electric, Schenectady 5, New York.
Electronic Measuring Instruments
GENERAL ELECTRIC
ADECO NOZZLE TESTER
Keeps Diesel Engines Running Efficiently
TESTS FUEL INJECTORS AND HYDRAULIC DEVICES At Pressures Up To 10,000 p.s.i.
To keep diesel engines operating at peak efficiency, this portable, precision-built Adeco Nozzle Tester is indispensable.
Light in weight yet built for heavy-duty service, it enables any mechanic to make quick, accurate tests on injector opening pressure, spray pattern, etc., and detect stuck needle valves and leakage around valve seats. Tests both large and small injectors, on bench or engine, at pressures up to 10,000 p.s.i. Prevents costly delays and possible damage to engine.
Ideal for testing hydraulic devices.
Write for bulletin on this practical, low-cost unit.
AIRCRAFT & DIESEL EQUIPMENT CORP.
4411 NO. RAVENSWOOD AVE.
CHICAGO 40, ILLINOIS
An Invitation to All Electrical Designers to TRY SILVER GRAPHALLOY
FOR BRUSHES
High current density, low contact drop, low electrical noise, and self-lubrication are characteristics of this silver-impregnated molded graphite that may be the answer to your electrical brush problems.
SAMPLES of Silver Graphalloy will be gladly furnished for test on your applications. Silver Graphalloy is usually silver plated to permit easy soldering to leaf springs or holders. Why not WRITE NOW for your test sampler?
GRAPHITE METALLIZING CORPORATION
1055 NEPPERHAN AVE • YONKERS, NEW YORK
SLIP-RING AND COMMUTATOR BRUSHES AND CONTACTS
HE'S USING BM-9725* - ANOTHER ROGERS-BORD
PROBABLY every time you use the telephone you use another ROGERS-BORD, for most telephone handsets use this material — identified as BAKELITE molding plastic BM-9725 — for the mouthpiece or for strengthening the main molded structure.
ROGERS makes numerous other multipurpose BORDS by the ROGERS PROCESS of wet-laminating cellulose fibers in various formulations. Molding BORDS are handled on conventional molding presses. All others can be formed, drawn, shaped and punched with a single stroke of a punch press — ready for use without curing, or they may be subsequently treated or painted.
The resultant products will support a man's weight and are naturally economical. The Fabricating Division of ROGERS is equipped to handle all punch press, drawing and stamping work, including die making. ROGERS does no plastic molding.
You probably already use a ROGERS-BORD every time you lift a telephone. You may profit by making your next call one for more data on ROGERS-BORDS. Write for the ROGERS-BORD SAMPLE BOX, containing numerous fabricated parts and samples of materials.
ROGERS CORPORATION
Formerly
The Rogers Paper Manufacturing Co.
107 Mill St. Manchester, Conn.
"BAKELITE" BM-9725
This ROGERS PROCESS blend of phenolic resin and cellulose fibers, made exclusively for the BAKELITE Corporation, comes in sheet, blanked or diced forms. It is a medium high impact thermosetting plastic . . . another ROGERS-BORD.
MANUFACTURERS AND FABRICATORS OF SPECIAL FIBROUS AND PLASTIC MATERIALS
ELECTRONICS — April 1945
COAST-TO-COAST
AIR EXPRESS
OVERNIGHT DELIVERIES
We'll Pay Half the Cost!
W-J Emergency Service scores again! Now, we'll deliver overnight by air express anywhere in the U.S.A.! Just ask for AIR EXPRESS Shipment when you order items of unusual urgency. We'll pay half the express charges on any emergency shipment weighing not over three pounds!
High speed, coast-to-coast overnight deliveries are giving Industry everywhere an entirely new conception of emergency service on Radio and Electronic Supplies. Industries, driving hard on vital research or production, save time and trouble; maintain tight schedules by relying on W-J.
Write today for table of air express rates and the new W-J Radio and Electronic Equipment Book that lists many products never cataloged before!
FILL IN AND MAIL COUPON, TODAY!
Radio and Electronic Supplies
WALKER-JIMIESON, INC.
311 S. WESTERN AVE., CHICAGO 12
PHONE. CANAL 2525
GENTLEMEN: Please send me a free copy of your Reference Book & Buyer's Guide.
NAME ____________________________
COMPANY _________________________
CITY ______________ ZONE _______ STATE _______
combination microphone and loudspeaker equipped with a pistol grip, squeeze-to-talk, switch and a strap permitting the unit to be suspended from the neck or shoulder of the user; and a battery-powered amplifier which is also equipped with a carrying strap. Both units are connected by a 6-ft. heavy-duty electric cord. The amplifier weighs 8 lb and 2 oz and measures 7\(\frac{1}{2}\) x 7\(\frac{1}{2}\) x 4\(\frac{1}{2}\) in. The megaphone weighs 6 lb and 12 oz and measures 13\(\frac{1}{2}\) x 10\(\frac{1}{2}\) in. Units are splashproof and shockproof.
Hose-McCann Products Co., 177 Pacific St., Brooklyn 2, N. Y.
Sherron Electronic Instruments
Some types of equipment manufactured by Sherron Electronics Company (1201 Flushing Ave., Brooklyn 6, N. Y.) may be described as follows:
Model SE1 is a cathode ray null detector designed for all a-c bridge measurements and for use in production applications. The unit is both a high impedance detector and an undistorted, filtered and shielded
DON'T LET YOUR ELECTRONIC NEEDS BE A PUZZLE . . .
...BELL MAY HAVE THE ANSWER!
Whether it be electronic controls or assemblies—either as part of your product, or as part of your production equipment—BELL may have the answer! Wide experience in designing and building electronic equipment—from early developments right through to the latest war-vital types—qualifies BELL to serve you. Write, there is no obligation.
Among our present products are:
• Electronic Sound Devices • Intercommunicating Systems • Industrial Voice-Paging and Broadcasting Equipment • Permanent and Portable Amplifying Systems • Recording and Disc-Playing Units • Electronic Controls • Operating Sequence Recorders • Other Special Electronic Devices.
BELL SOUND SYSTEMS, INC.
1189 Esser Ave. Columbus 3, Ohio
Export Off. 3900 Euclid Ave., Cleveland 3, Ohio
April 1945 — ELECTRONICS
What gives a plane its homing instinct?
In these days when airplanes span continents and oceans non-stop, navigational and communications devices are of critical importance.
For these are the instruments which give an airplane its homing instinct...its sense of direction which spells safety and schedule maintenance.
We at the Wheeler Insulated Wire Company take pride in the part which Bendix Aviation Corporation has played in supplying man-made homing instincts to thousands of modern airplanes.
For Wheeler insulated wire goes into both the Bendix aircraft radio compass...and the Bendix long-range radio telephone equipment.
Windings for precision-made equipments such as these are part of Wheeler's everyday job. We've been making high quality coils and transformers for 35 years...not for a very large list of customers, but for a very fine one.
When wartime demands permit, we hope to introduce our products to many new customers. If you are going to manufacture anything which could use the products we make—Wheeler is a good name to remember.
The Wheeler Insulated Wire Co., Inc.
BRIDGEPORT 4, CONN.
Manufacturers of Magnet Wire...Litz Wire...Coil Windings
Transformers...Ballasts for Fluorescent Lighting
ELECTRONICS — April 1945
HERE IS THE DIFFERENCE BETWEEN PERMOPIVOTS AND ORDINARY PIVOTS
Only PERMOPIVOTS are tipped with Permometal...a special alloy of precious metals produced by Permo Incorporated.
- WEAR RESISTANT...The Permometal tip gives precision instruments longer life and greater accuracy under actual operating conditions.
- NON-CORROSIIVE...Permopivots cannot rust or corrode.
- NON-ABRASIVE...The satin-smooth tip eliminates abrading particles of wear.
- NON-MAGNETIC...K-monel shank material available.
The two unretouched photos reproduced below show why Permopivots keep precision instruments accurate longer.
PERMO INCORPORATED
MANUFACTURING METALLURGISTS
6427 RAVENSWOOD AVE.
CHICAGO 26, ILLINOIS
* T. M. Reg. U. S. Pat. Off.
WRITE TODAY FOR DESCRIPTIVE FOLDER
NO OBLIGATION
"ALNICO"
PERMANENT MAGNETS
Specializing in the production of highest quality Alnico Magnets in all grades including new triple strength No. 5.
Production material checked to assure highest uniform quality of product.
Castings made to customers special order on the basis of sketches or blueprints furnished.
Information and suggestions furnished on request.
GENERAL MAGNETIC CORPORATION
MANUFACTURERS OF HIGH COERCIVE MAGNETIC ALLOYS
2126 E. Fort Street
Detroit 7, Michigan
LET US QUOTE ON YOUR
SMALL STAMPINGS
SPECIAL TERMINALS
SOLDERING LUGS
PRECISION WASHERS up to 5/8" O. D.
Manufactured to Your Specifications
Large Tool Room Facilities plus 20 Years Experience insure HIGH GRADE STAMPINGS QUICK DELIVERIES on Medium and Large Quantities
Let Us Quote on Your Requirements
DIEBEL DIE & MFG. CO.
3658 N. Lincoln Ave., Chicago 13, Ill. Phone WELLington 4202
April 1945 — ELECTRONICS
FOR YOUR NEWLY DESIGNED Transmitting and Electronic Heating Equipment Use
Jennings RADIO
VACUUM ELECTRONIC COMPONENTS
6 to 250 mmfds.
HIGH VACUUM CAPACITORS
20 to 60 amps. • 20KV to 32KV
ADVANTAGES:
1. Relatively small physical size.
2. Electrical characteristics independent of atmospheric pressure and humidity.
3. No dielectric losses.
4. No ceramic or internal insulator.
5. Ferrule type mounting.
6. Zero power factor at most frequencies.
7. Low distributed capacity.
8. High current carrying capacity at high voltage.
9. Unlimited life expectancy.
10. Universal adaptability.
11. Rugged mechanical construction.
12. Comparatively light weight.
13. No cold emission.
JENNINGS RADIO MANUFACTURING COMPANY
1098 EAST WILLIAM STREET, SAN JOSE 12, CALIFORNIA
Photograph shows final tests of Jennings High Vacuum Capacitors
source of 1000 cps. Comparison of frequencies is obtained by the use of Lissajous figures. Gain is 80 db at an input voltage of 100 microvolts. Bridge detector impedance is 1 megohm. The instrument is self protected against overload or damage. Automatic gain control eliminates the necessity of resetting while adjusting the bridge balance.
As an auxiliary to a-c bridge measurements a standard null detector is available. This unit gives an appreciable deflection with an input of 0.01 volt. An input of 32 volts will not cause the meter to swing off scale. These detectors are equipped with a 1000-cycle source of sufficient level to operate any standard bridge, and a filter circuit to insure that only the desired frequency is activating the indicating meter. Arrangements are provided to disconnect both the internal tone source and filter circuit.
Model SE-10 precision tolerance bridge is accurate to 0.1 percent.
The unit has an electronic visual gauge which can be used as an inspection tool to safeguard against faulty components; or it may be used as an automatic filter to grade components for their individual tolerance. The unit checks a-c resistance and impedance, capacitance and inductance. Tests are made automatically. Instead of meter readings, rejects are indicated visually and audibly.
Model SE-20 is a production test set which will automatically test 720 vacuum tubes per hour. The unit has complete adjustable con-
---
**Chicago EDITOR Wanted**
- ELECTRONICS is looking for a field editor.
- Working out of our district office in Chicago, following an orientation period in New York, it will be his job to represent the magazine editorially in the middle-west. This will primarily involve encouraging technicians to prepare articles for us, helping them when necessary, doing some original writing, and general reporting about meetings and other pertinent activities in the area.
- The man we want must be an engineer fully familiar with electron tubes and the circuits in which they are used, both communications and industrial. He should have, or be able to readily develop, equal facility in dealing with equipment design and production engineers, and with the ultimate users of such equipment. He should, for example, feel as much at home in a machine shop as in an experimental laboratory, as much at ease in a broadcast station as in a plant building transmitters.
- Knowledge of sensitive measurement, control, inspection and safety devices other than electronic will be considered an additional asset.
- If you think you are the kind of a man we need, and we appear to have the kind of a job you want, write, stating qualifications and expectations, to
Keith Henney, Editor
electronics
McGraw-Hill Publishing Co., Inc.
330 West 42nd Street
New York 18, New York
April 1945 — ELECTRONICS
EXACTLY - as planned
This DILECTO Gr. "L" part was punched from sheet, drilled and counter-bored. It is an electrical insulating part for an Army Tank. It must stand up under severe mechanical abuse.
CONTINENTAL-DIAMOND can supply you with fabricated plastic, vulcanized fibre, or mica parts EXACTLY to your blueprints... whether your requirements be a few pieces or a million pieces. C-D NON-metallics are especially adaptable to close tolerance fabricating; where close tolerances are needed.
Before designing NON-metallic parts to close tolerances, consult our design engineers. Their experience in helping design thousands of fabricated parts will save you money and time, by helping you avoid specifications which are beyond the possibilities of NON-metallics.
Booklet FP—"The design and fabrication of plastics and vulcanized fibre," should be on the desk of every one of your design engineers and draftsmen. We'll be glad to send you as many as you need.
C-D PRODUCTS
The Plastics
DILECTO—A Laminated Phenolic.
CELORON—A Molded Phenolic.
DILECTENE—A Pure Resin Plastic Especially Suited to U-II-F Insulation.
HAVEG—Plastic Chemical Equipment, Pipe, Valves and Fittings.
The NON-Metallics
DIAMOND Vulcanized FIBRE
VULCOID—Resin Impregnated Vulcanized Fibre.
MICABOND—Built-Up Mica Electrical Insulation.
Standard and Special Forms
Available in Standard Sheets, Rods and Tubes; and Parts Fabricated, Formed or Molded to Specifications.
Descriptive Literature
Bulletin GF gives Comprehensive Data on all C-D Products. Individual Catalogs are also Available.
DISTRICT OFFICES
NEW YORK 17 • CLEVELAND 14 • CHICAGO 11
SPARTANBURG, S.C. • SALES OFFICES IN PRINCIPAL CITIES
• WEST COAST REPRESENTATIVES
MARWOOD LTD., SAN FRANCISCO 3
• IN CANADA:
DIAMOND STATE FIBRE CO. OF CANADA, LTD., TORONTO 8
Continental Diamond Fibre Company
Established 1895. Manufacturers of Laminated Plastics since 1911—NEWARK 16 • DELAWARE
Get This New Booklet on Cellusuede FLOCK
An interesting and colorful booklet on their product has been prepared for your information and convenience by the makers of Cellusuede Cotton and Rayon Flock. Brief, clear explanations give all the facts you'll want to know about this versatile coating material; what it is made of; how it is applied; how it can be used. In the pages of this booklet you may find the answer to one of your manufacturing problems. You will be interested, too, in the colorful and unique application of Cellusuede on the booklet cover. Write for your copy.
Cellusuede Products, Inc.
ROCKFORD, ILLINOIS
CARTER SOLVES YOUR Dynamotor PROBLEMS
For many years, Carter Dynamotors have been a familiar part of the specifications of leading Communication Equipment Manufacturers, Police Departments, Government Agencies, etc. May we suggest you submit your Dynamotor requirements too, and see for yourself the reason for this recognized preference. The latest catalog of Carter Dynamotors, Converters, Permanent Magnet Generators and Dynamotors and special rotary equipment will be sent upon request.
Carter Motor Co.
Chicago, Illinois
Model 201
The Time-Tested, Reliable VIBROTEST Insulation Resistance Tester
Since 1938 VIBROTESTS have proven the soundness of this modern method of testing insulation resistance. Superbly engineered, ruggedly built, this pioneer instrument in CRANKLESS INSULATION TESTING offers the utmost in usefulness and value.
VIBROTEST Is Thoroughly Modern—
No hand cranking, no leveling, no shocks to the operators. Wide range 0-200 megohms covering values usually encountered in general testing are instantly available from a self-contained power source providing a constant potential of 500 Volts D.C.
Available in this one compact instrument are a convenient Ohmmeter scale as well as A.C. and D.C. voltage ranges up to and including 600 volts full scale. Other models with 1,000 volts D.C. potential also available.
Many Other VIBROTESTS are designed for specific uses involving unusual ranges or operating conditions. WRITE for full information at your earliest opportunity.
Engineering Service Representatives in All Principal Cities
ASSOCIATED RESEARCH Incorporated
223 So. Green St.
Chicago 7, Ill.
April 1945 — ELECTRONICS
Portrait of a man who no longer cares about the cigarette shortage, the meat shortage...or gas shortage!
It's just a question of time when all shortages will be replaced by plenty—thanks to this boy and to millions like him.
Give them a helping hand. Buy Bonds — Donate Blood.
We, the management and employees alike, at Kenyon, are building better transformers than we ever built before—and building them faster for the armed forces.
KENYON TRANSFORMER CO., Inc. 840 BARRY STREET NEW YORK, U.S.A.
"Isolationists" have gone to war...
We're referring to Cardwell Flexible and Rigid Insulated Couplings for ISOLATING "hot" radio frequency controls. There's a whole family of them in addition to the custom-built ones shown here.
Cardwell "ISOLATIONISTS" are an ubiquitous lot. You will find them in every battle zone where America's finest communication equipment is utilized for Victory.
Are you, too, making full use of these high QUALITY components? If not, talk your insulated control problems over with Cardwell. Inquiries answered promptly.
STANDARD OF COMPARISON
CARDWELL CONDENSERS
THE ALLEN D. CARDWELL MANUFACTURING CORPORATION
81 PROSPECT STREET
BROOKLYN 1, N.Y.
MAKE AN APPOINTMENT TO SAVE A LIFE... DONATE A PINT OF BLOOD TO THE RED CROSS
Ground Resistance Tester
DESIGNATED AS Model 255 Vibroground, this tester is for use in extremes of wet and dry conditions. It has four ranges (0-3, 0-30, 0-300 and 0-3000 ohms), a self-contained power supply, is direct reading and requires no calculations and no cranking operation. The unit is lightweight and portable, and comes in a one-piece welded metal case which is water-tight and which excludes strays from all sources. A triple range Vibroground, Model 251, for average ground conditions is also available.
Associated Research Inc., 231 S. Green St., Chicago 7, Ill.
Resistors
PRE-WAR CONSTRUCTION of shafts in this manufacturer's resistors (designated as Radiohm of the split knurl midget types) is again being
2 ACES...that are JACKS "of all trades!"
A FAMOUS PAIR
- THE GATES 3 CHANNEL PORTABLE REMOTE AMPLIFIER FOR ALTERNATING CURRENT OR BATTERIES.
- THE GATES REMOTE CONDITIONER FOR SINGLE MICROPHONE REMOTE PICK UPS. A.C. OPERATED.
Remote Pick-Up Amplifiers
This famous pair...truly "a Jack of all trades"...for they have been "Aces" in doing an outstanding job of remote broadcasting from Maine to Pango Pango—from Macy's windows to Montana's mountains—from Sandlot ball games to World Series—from Presidents to Prime Ministers. For more than a decade Gates Remote Amplifiers have served broadcasters for every need and purpose. From year to year they have been modernized, but in efficient performance they still remain the same in name, type number and service.
Here's what one broadcaster writes about his Gates DYNAMOTE: "'—My Gates Dynamote is so much superior to my studio speech system quality, that I have discarded my studio equipment until new equipment can be obtained.'"
Another wrote: "'—I am using my Gates Dynamote as standard for overall frequency response for the entire transmitting plant.'"
This, plus the fact that Gates Remote Conditioners are used in nearly every U.S. broadcast station for single mike pickups, is proof that this famous pair have been engineered for efficiency and economy. This is why Gates Remote Amplifiers are now in use in every theater of war, bringing to America's loud speakers the war events from the place where history's biggest news is taking place!
Wartime restrictions do not allow the sale of new broadcasting equipment without priority, therefore, this equipment is presented merely to acquaint you with Gates' current developments.
Ask About Our Priority Plan for Prompt Delivery When Gates Equipment Is Again Available
RADIO COMPANY, Quincy, Illinois, U.S.A.
MANUFACTURERS OF RADIO BROADCAST TRANSMITTERS, SPEECH EQUIPMENT, ANTENNA TUNING AND PHASER UNITS, AMPLIFIERS, REMOTE EQUIPMENT, BROADCAST STATION AND TRANSMITTER ACCESSORIES.
WAR-TESTED
During the critical stress of battle, men and equipment prove themselves. Materiel that has performed dependably under highly abnormal War conditions has stamina to spare in normal peacetime operation. Atlas Sound Loud Speakers have come through their War tests with flying colors. War-tested Atlas Sound manufacturing facilities and personnel will soon again be ready to go to work for you on new designs or minor conversions. Contact them for details.
Complete Catalogue on Request
ATLAS SOUND CORPORATION
1449 39th Street Brooklyn, New York
TWO BOOKS EVERY ENGINEER NEEDS
THE CATHODE-RAY TUBE AT WORK by John F. Rider
The cathode-ray tube is the most universally used device for research, engineering and maintenance in the radio and electrical fields.
In using this device to its fullest capabilities, it is necessary to understand its theory and functioning. This book presents a complete explanation of the various types and what role each element within the device plays. Different types of cathode-ray oscillographs are discussed.
More than half the book is devoted to the practical applications illustrated with unretouched photographs of actual oscillographs.
338 PAGES . . . 450 ILLUSTRATIONS . . . $4.00
A-C CALCULATION CHARTS
This book is a tremendous time saver for engineers and others who work on electrical communication and electrical power problems. Faster than a slide rule. It covers all alternating current calculations in series circuits, parallel circuits, series-parallel and mesh circuits, at frequencies from 10 cycles to 1000 megacycles. 146 Charts—7" x 11"—Two colors—$7.50.
JOHN F. RIDER Publisher, Inc.
404 Fourth Avenue, New York 16, N.Y.
Make Plans Now... for the coming...
PLASTIC ERA
Consult...
ROGAN
• Here at Rogan, seasoned engineers are ready and willing to assist you in determining your post-war Plastic requirements.
Whether your peacetime products are to include electronic equipment, electrical appliances, stoves or what have you, the Rogan Organization will gladly provide cost-free advice on all phases of plastic production.
Send us Your Specifications Today!
ROGAN BROTHERS
Compression Molders and Branders of Plastics
2003 So. Michigan Avenue
Chicago, Illinois
April 1945 — ELECTRONICS
TO SET YOUR VOLTAGE
use a POWERSTAT VOLTBOX
...for...
RESEARCH
PRODUCT-TESTING
HEAT RISE
LIFE CYCLE
QUALITY-CONTROL etc.
In presenting this new and unique instrument, SECO offers a portable source of variable a-c voltage for the laboratory, assembly line, or maintenance shop. There is no bother or delay in collecting and setting-up separate instruments. Included in the light-weight and compact VOLTBOX are all the essentials and more. Besides a POWERSTAT variable transformer to obtain the required voltage and a 1% voltmeter to accurately set the output — other features incorporated are an "on-off" switch, dial light, output receptacles, binding posts, and an input cord and plug.
By connecting the VOLTBOX shown above to a convenient 115 volt outlet, an output variable from 0-135 volts is available. Its current rating is 7.5 amperes. Other types are manufactured for 230 volt operation.
We invite your inquiries.
Send for Bulletins 149 LE and 163 LE
SUPERIOR ELECTRIC COMPANY
403 LAUREL STREET, BRISTOL, CONNECTICUT
Bring Our Boys Home Sooner with WAR BONDS...
It's squarely up to us at home to finance the weapons of war as well as to build them. This is America's challenge. Here at ADC, we are exerting our energies to produce the finest communication components—and invest in as many War Bonds as possible. Believing that most Americans share our thoughts, we ask you to join us in this pledge—"Let us all continue purchasing War Bonds to the limit and bring our boys home sooner to a peaceful and economically sound country".
Audio Development Co.
2833 13th Ave. S., Minneapolis 7, Minn.
Cable and Wire Clips
Plastic cable clips (illustrated) are now on a production basis and are available in a variety of sizes for use as fasteners for wires and cables. A feature of these clips is the rolled edges of their design and the abrasion-free nature of the plastic surface which prevents insulated materials from wearing off. Clips are non-corrosive, non-conductive, light in weight, strong and resistant to acids, alkalis and oils. They are fabricated with LT Ethocel, a thermoplastic developed by Dow to provide toughness, shock resistance at low temperatures, and low dimensional change over a wide range of atmospheric conditions.
Commercial Plastics Co., fabricates these clips. Write Dow Chemical Co., Midland, Mich.
Small Dynamotors
A series of small dynamotors are designated as Multi-Output Micro-Magmotors which will be available in quantities after the war. These motors have a permanent magnet field and furnish outputs totaling up to 100 w. This wattage can be divided over two or even three difAnnouncing
the SECOND U.S.-made "Megger" Instrument
... THE MIDGET "MEGGER"* INSULATION TESTER
Following the production, in June 1943, of the first U. S.-made "Megger" testers, we now announce a second "Megger" instrument being built in our Philadelphia factory—the Midget "Megger" Insulation Tester.
This new U. S. model is identical in design and similar in every way to the Midget "Megger" Insulation Testers we have been supplying for the past ten years, except that the molded plastic housing is mottled brown instead of red.
The Midget "Megger" Tester has achieved wide popularity because of its size and low cost. Weighing but 3 pounds, it is always ready to use for testing insulation resistance of a wide variety of electrical equipment. It is indispensable for maintenance and trouble shooting, even where higher range "Megger" testers can be used . . . reads up to 50 megohms and delivers 500 volts d-c from a hand-cranked generator, making it independent of batteries or external power supply. Lower ratings are also available.
Manufacturing facilities are complete and our expanding production makes availability of these new instruments far better than we have previously been able to offer. We invite your orders for them.
JAMES G. BIDDLE CO.
1211-13 ARCH STREET • PHILADELPHIA 7, PA.
For complete description of the new U. S.-made Midget "Megger" Tester, write for Bulletin 1785-E.
*By special arrangement with the original makers of the "Megger" Testing Sets, our new instrument carries the U. S. Registered Trade Mark "MEGGER."
Die cut metal stampings in limited quantities can be produced to your special requirements at 15% to 20% of the cost of permanent type tools. No matter how small your quantity requirements or how intricate your work, we can show you a definite saving. During our twenty-three years of specialized experience in this service, there has been no other method of producing metal stampings in small lots that can equal the process originated by Dayton Rogers.
Our new, illustrated booklet #176-17 will give you full particulars.
DAYTON ROGERS MFG. CO. 2835 12th Avenue So. Minneapolis, Minnesota
PRESTO RESISTORS
VITREOUS ENAMEL and PRECISION WIRE WOUND
75 Winding Machines
Backed by 20 years of Winding Experience
ALSO
TELEPHONE SWITCH KEYS & JACKS
Telephone Communication and Cable Assemblies
PROMPT DELIVERY
PRESTO ELECTRIC COMPANY
Manufacturers of Signalling Devices UNION CITY, N. J.
This UNI-CRIMP Terminal Grips the Wire
Like a NUT on a BOLT
You can't see it in the above illustration, but the entire inside of the UNI-CRIMP barrel is serrated, somewhat like the threads inside a nut. When this terminal is crimped onto the wire, it's there to stay!
Easy to Install
— with hand crimping pliers or insulating tools. You can even use ordinary side-cutting pliers!
This UNI-CRIMP Terminal will stand a lot of vibration and hard service. Extensive tests, in the laboratory and in service, have proven that. And, because of its pure electrolytic copper, it makes a connection of the highest conductivity.
You'll like the way the UNI-CRIMP installs, and the way it performs. Write today for Bulletin UC-2, giving specifications.
H. B. SHERMAN MFG. CO. BATTLE CREEK, MICHIGAN
Sherman
Solderless and Solder Type Terminals and Lugs . . . Wire and Cable Connectors . . . Splicing Sleeves . . . Fuse Clips
April 1945 — ELECTRONICS
This New Cetron High Current Thyatron brings New Efficiency to Industrial Operations
CETRON CE-304
In the Cetron CE-304 tube shown here, Continental Electric Company engineers have reached a new high in concentrating super-efficiency in the smallest possible space.
CE-304 is a mercury vapor filled tube with a peak current rating of 125 amperes and an average current rating of 12.5 amperes DC. This high current thyatron-type tube is designed to be particularly useful in welding control and motor control applications.
CE-304 uses industrial type 4-pin base; is sturdily constructed. Patented filament design gives exceptionally high output with minimum of cathode power.
CE-304 is built to give long life in all sorts of industrial and other applications where dependability is an important consideration.
Write for Bulletin No. 119
CONTINENTAL ELECTRIC CO.
GENEVA, ILL.
Chicago: 903 Merchandise Mart . . . New York: 265 W. 14th St.
Don't Risk Solder Failure Because of WRONG FLUX
BE SURE WITH KESTER
- Chemically and physically correct flux is imperative for tight, permanent solder-bonding. Oxides on metals must be dissolved and the solder must alloy with the metals in a way to prevent re-oxidation.
- Different solder-bonds demand different fluxes. One flux will not do for all, if soldered connections are to resist shocks, vibrations, bending, twisting, contraction and expansion without failure.
- Delicate electrical connections, for example, demand a flux that is a poor conductor, that is non-corrosive, and that has no tendency to collect moisture, dust or other foreign matter. Seams of various design each require a different flux. So do spot soldering operations. And there are correct fluxes for all of the myriad materials used in industry.
KESTER MAKES THEM ALL!
- Kester Fluxes protect you against solder failures due to improper flux. They represent 46 years of practical experience with solder and fluxes, and extensive laboratory research. Kester has pioneered many important flux improvements. The complete line includes the right flux for any solder job.
- You can be sure with Kester Fluxes—sure of tight, permanent solder-bonding ... Kester engineers are at your service.
BUY WAR BONDS
KESTER SOLDER COMPANY
4204 Wrightwood Ave., Chicago 39, Illinois
Eastern Plant: Newark, N. J. Canadian Plant: Brantford, Ont.
KESTER Solder Fluxes
STANDARD FOR INDUSTRY
Variable Inductor and Filters
UNITED TRANSFORMER Co., 150 Varick St., New York 13, N. Y., announces two new products. The first of these is a variable inductor (Series V1-C) which is a tunable device for peaked amplifiers, filters, etc. This sealed unit measures $1\frac{1}{2} \times 1\frac{1}{2} \times 1\frac{1}{2}$ in. It is available in inductance values from 10 millihenries to 10 henries.
High pass (HP-1) and low pass (LP-1) interstage filters are the other products available. The units are designed with a nominal impedance of 10,000 ohms. The filters utilize a dual alloy magnetic shield which reduces inductive pickup to 150 millihenries per gauss. Either type can be supplied for any cutoff frequency from 200 to 10,000 cycles. Dimensions, in hermetically-sealed cases, are $1\frac{1}{2} \times 2\frac{1}{2} \times 2\frac{1}{2}$ in.
Parallel-Plate Capacitors
WATER-COOLED, h-f parallel-plate capacitors, designated Class HFP, are for use in electronic-heater resonant circuits and other electronic-oscillator applications. The capacitors are filled with a new, synthetic dielectric liquid. When connected in parallel with an in"DO NOT SQUANDER TIME"
... Benjamin Franklin
At Connecticut Telephone and Electric Division, production is unhurried, as it must be to maintain accuracy and quality in precision electrical and electronic manufacturing. We substitute time-saving methods for hustle and bustle. This has enabled us to keep abreast of the ever-increasing need for military communicating equipment of uniform dependability.
After the war, you will very likely use electrical equipment, electronic devices, or communicating systems made at Connecticut Telephone and Electric Division . . . Or you may be one of the many manufacturers who will use our engineering and manufacturing facilities in connection with your own products . . . In either case, our time-saving methods will be your gain, measured by the important standards of uniform high precision, and speed of filling your orders.
Freshly painted telephone chassis run the gantlet of automatically controlled infra-red dryers, which cut drying time to half an hour. This system, designed by our own engineers, is one of many examples of time-saving installation throughout the Connecticut Telephone & Electric Division plant.
CONNECTICUT TELEPHONE & ELECTRIC DIVISION
GREAT AMERICAN INDUSTRIES, INC. • MERIDEN, CONNECTICUT
EISLER EQUIPMENT
...complete and diversified for every phase of electronic* manufacture!
(A) No. 600-KC3P, 50 KVA Press Type Spot Welder, 3 Spots, Air Operated, 18" Repeat—a high production unit.
(B) No. 57-91, New Eisler 8 Head Type Tipless Sealing Machine. Adaptable for all types and sizes of bulbs.
(C) EISLER Special Transformers and Reactors—high or low voltage; air cooled, oil immersed or unclosed.
The CHAS. EISLER line of specialized electronic tools, machines and devices is complete and diversified. Included are innumerable types of welders — spot, seam, butt, rocker, arm, pneumatic and special types. Also included are hundreds of devices for vacuum tube manufacture — glass tube cutters, slicers, stem and sealing machines as well as an all-inclusive line of transformers for every industrial and general need.
* EISLER serves 99% of American vacuum tube producers today. Write for completely illustrated catalog now—you incur no obligation.
Eisler Engineering Company
751 SO. 13th STREET NEWARK 3, NEW JERSEY
PyroFerric IRON CORES
Pyroferric powdered metal cores have kept pace with the vital precision instrument development. They are manufactured to specification:
PERMEABILITY HIGH
RESISTANCE LOW
Consult Pyroferric on your Powder Metallurgy requirements.
THE VICTOREEN INSTRUMENT CO.
5806 HOUGH AVENUE
CLEVELAND 3, OHIO
April 1945 — ELECTRONICS
In fifteen short years Essex Extra-Test Magnet Wire has reached an enviable "first-choice" position in the field.
A natural advancement—for it has always been a rigid Essex policy never to be content with just good wire. Every spool that leaves the plant must carry extra-good wire—the best that can be made—whether it is size 50 or 0; round, square or rectangular; bare, covered or enameled.
Essex Magnet Wire is drawn to size under most careful supervision, and subjected to continuous physical and electrical tests for purity, temper, elongation, conductivity, and gauge. Insulation tests are equally frequent and severe. And in every case, results must exceed standard requirements. Many are far in excess of most rigid specifications.
That's why Essex Magnet Wire has been so literally labeled, "Extra-Test".
ESSEX WIRE CORPORATION
FORT WAYNE 6, INDIANA
ductance coil, the capacitors constitute the resonant circuit which determines the frequency of the oscillator. In such applications, the capacitors are operated at relatively high voltages, and may be required to carry heavy currents continuously at frequencies of 50 kc to several megacycles. Features of the units are: low losses at high frequencies; uniformly high dielectric strength; high current rating per unit volume; and convenient mounting and connection facilities. Capacitors are available in standard ratings ranging from 2000 v, 0.025 microfarad to 9000 v, 0.0056 microfarad. Bulletin GEA-4365 illustrates and describes the capacitors in detail.
General Electric Co., Schenectady, N. Y.
Wire Markers
TURBO WIRE MARKERS are available in all colors, as well as in clear, transparent polyvinyl extruded tubes, made by a production process which permits any desired location of the imprinting, circumferentially or longitudinally, in any diameter or length. Markers are easily installed. They are designed to replace metal and paper tags. Inflammability and crimping are eliminated. The markers are extruded from polyvinyl chloride resin, are...
Scovill Electrónents* may give you the same competitive advantages
Electric terminals for radio compasses were needed faster than screw machines could turn them out of rod stock. Asked to suggest a speedier method, Scovill recommended stamping them out of sheet metal. Given the job, Scovill produced many more terminals per day at a much lower cost... and paid an extra dividend in the form of better electrical properties. That was because the sheet brass used had a higher copper content and higher conductivity than the brass rod necessary in the former method.
With the same kind of ingenuity applied to your small electronic components or complete assemblies, the chances are that Scovill can save you time and money. Investigate the designing service, manufacturing ability in all metals, and wide range of metalworking facilities that have won for Scovill the title of "Masters of Metal". Fill in coupon below and mail today.
*Electrónents = Electronic Components
Please send me a free copy of "Masters of Metal" booklet describing your facilities. I am interested in the ELECTRONENT* applications checked.
☐ Batteries
☐ Record Changers
☐ Clips
☐ Condensers
☐ Dials
☐ Escutcheons
☐ Jacks
☐ Lugs
☐ Panels
☐ Sockets
☐ Stampings (misc.)
☐ Tubes
Other applications:
SCOVILL MANUFACTURING COMPANY
Electronic Division
22 Mill Street, Waterbury 91, Connecticut
Name ____________________________________________
Company _________________________________________
Address __________________________________________
ELECTRONICS — April 1945
This New Jig Speeds Radio Assembly
1) Holds chassis in any position to step up soldering and all other assembly operations. 2 models (friction or positive indexing 360° around axis).
2) Adjustable to any size within base limits of the jig. Comes in 5 standard sizes (4", 6", 9", 12" or 15" swing), or will make jigs to your specifications.
3) Strong, rigid construction.
4) Can be loaded and unloaded in two seconds.
5) Prices start at $11.50.
Information about our Dummy Tubes, Pin Straighteners, Precision Gages, Test and Adapter Plugs and other Tools is yours upon request.
ROBERT L. STEDMAN MACHINE WORKS
SPECIALISTS IN MASS PRODUCTION TOOLS
OYSTER BAY, LONG ISLAND
NEW YORK
NOW!
BURGESS
THINSTRIp MAGNESIUM
AS THIN AS .005"
IN COILED-STRIP FORM
THIS NEW DEVELOPMENT is now available for production applications from Burgess rolling mill facilities. It can be supplied in widths from 3/4" to 5" and from .010" to as thin as .005".
COMPLETE INFORMATION — technical specifications, cost figures, sample strip, and the answer to your problem—is available free in new folio.
Sample on request. Write Dept. M-7
BURGESS BATTERY COMPANY
FREEPORT, ILLINOIS
THERE IS NO SUBSTITUTE FOR EBY SPRING BINDING POSTS
From the product designer through to final assembly and use in the field, the Eby Spring Binding Post line offers top service based on dependability.
The spring binding post offers unique advantages that can't be duplicated:
1. No screw cap to tighten or come loose with vibration.
2. Constant, even pressure on the wire at all times in all positions.
3. Easy one-hand feeding of wire into the post.
4. Corrosion-resistant, long-life springs.
5. Complete range of sizes, stem lengths, and accessories for every application.
Replace with Eby Spring Binding Posts — Write today.
HUGH H. EBY
INCORPORATED
18 W. CHELTON AVE.
PHILADELPHIA, PA.
LOW FREQUENCIES
ACCURACY TO 1/1,000th of 1%
These tuning forks which include new engineering principles, provide frequencies from 120 to 1,000 cycles directly with an unqualified guarantee of accuracy to 1 part in 100,000 over a wide temperature range. (Better than 1 second in 24 hours). Closer tolerances are obtainable on special order.
These tuning fork assemblies are available only in single or multi-frequency instruments of our own manufacture which are designed to test, measure or control other precision equipment by mechanical, electrical acoustical or optical means.
The dependability of these frequency standards is being demonstrated for myriad purposes in all climates and under all working conditions.
If you have need for low frequency standards of exceptional accuracy, your inquiries are invited.
American Time Products, Inc.
580 Fifth Ave.
New York, N. Y.
moisture absorbent and have good insulating properties. They can be used to identify circuits and leads of electrically energized equipment and controls.
William Brand & Co., 276 Fourth Ave., New York 10, N. Y.
H-F Vacuum Tube,
Power Tube
EXHIBITED AT THE Winter Technical Meeting of the IRE was a high-frequency vacuum tube for use in short-wave equipment being built for government services by Federal Telephone & Radio Corp., 591 Broad St., Newark, N. J. The tube was developed especially for high-power, high-frequency broadcasting. It has an output of 200 kw, requires a steady flow of 2,400 gallons of water per hour, and weighs 350 lbs.
Another Federal exhibit was a new, compact power tube, the first of a series being developed especially for general industrial use in h-f heating equipment. The tube is designed to withstand the shocks and vibrations which may be encountered in manufacturing plant operations. It is supplied with 6-in. flexible copper leads which are permanently secured to the tube terminals to eliminate glass damage in attaching and adjusting terminal clamps. It has a power input of 3,500 watts.
Sealed Headers, Mountings
ALL TYPES OF sealed headers and sealed mountings for electrical components are available in any desired number of hermetically-sealed connections. Terminals are of a glass-bead type. Units are shock-proof and heat-resistant and provide a chemically-bonded seal between the shell and glass, as well as between the glass and Kovar.
Springs cost little but mean much. A single spring is often the determining factor in the functioning of a critical mechanism. The failure of one small, inexpensive spring may cause the breakdown of a complex machine, with loss of time, money, production—even life or limb itself.
Reliable specializes in the design and production of springs to high precision standards—springs exactly adapted in every detail to the work they must perform. We make all types of springs of round or square wire, or of strip, and of any desired material—also wire forms and light stampings. We are large volume producers, yet our organization is built so that it is easy for you to bring your individual problem directly to competent executives, and receive real attention.
Consult Reliable on your requirements. Catalog 44 sent on request.
THE RELIABLE SPRING & WIRE FORMS CO.
3167 Fulton Rd., Cleveland 9, Ohio • Representatives in Principal Cities
YOU CAN RELY ON
Reliable Springs
ROUND AND FLAT
WIRE SPRINGS
CLIPS HOOKS BENDS
LIGHT STAMPINGS
April 1945 — ELECTRONICS
EXPLOSION-PROOF!
AN IMPROVED NEW TELECHRON MOTOR
SMALL—COMPACT—ACCURATE. Here’s a new EXPLOSION-PROOF synchronous timing motor that operates with safety under the most hazardous conditions!
THIS new Telechron EXPLOSION-PROOF motor is already performing smoothly and safely in war plants under conditions highly conducive to explosion . . . in the production of chemicals, synthetic rubber, high octane gasoline and ammunition. In exhaustive tests, with internal and external firing, it has never failed.
It has been developed by Telechron primarily for timing of automatic switching and controls in industrial processes where atmospheres contain ethyl vapor, gasoline, petroleum, naphtha, alcohols, acetone, or natural gas. Its safety factors offer profitable protection to paint, varnish, and lacquer plants, or to any industry or mining operation where there is danger of explosion.
The new Telechron EXPLOSION-PROOF motor is approved by the Underwriters’ Laboratories under their label service for use in Class 1, Groups C and D hazardous locations. Various shaft speeds, voltages, frequencies, and designs for many industrial applications.
For more information concerning the new EXPLOSION-PROOF Telechron motor, and how you can use it for greater safety in your plant installations . . . or details on our many other synchronous self-starting motors for instrumentation . . . write to Motor Advisory Service, Dept. C. Our 25 years’ experience is at your service.
Telechron
WARREN TELECHRON COMPANY, ASHLAND, MASS.
MAKERS OF TELECHRON ELECTRIC CLOCKS AND SYNCHRONOUS ELECTRIC MOTORS
Laboratory Standards
PULSE GENERATOR
MODEL 79-B
SPECIFICATIONS:
FREQUENCY: continuously variable 60 to 100,000 cycles.
PULSE WIDTH: continuously variable 0.5 to 40 microseconds.
OUTPUT VOLTAGE: Approximately 150 volts positive.
OUTPUT IMPEDANCE: 6Y6G cathode follower with 1000 ohm load.
R.F. MODULATOR: Built-in carrier modulator applies pulse modulation to any r.f. carrier below 100 mc.
MISCELLANEOUS: Displaced sync output, individually calibrated frequency and pulse width dials, 117 volt, 40-60 cycles operation, size 14" x 10" x 10", wt. 31 lbs.
Price: $295.00 F.O.B. BOONTON
Immediate Delivery
MEASUREMENTS CORPORATION
BOONTON • NEW JERSEY
American Beauty
ELECTRIC SOLDERING IRONS
are sturdily built for the hard usage of industrial service. Have plug type tips and are constructed on the unit system with each vital part, such as heating element, easily removable and replaceable. In 5 sizes, from 50 watts to 550 watts.
TEMPERATURE REGULATING STAND
This is a thermostatically controlled device for the regulation of the temperature of an electric soldering iron. When placed on and connected to this stand, iron may be maintained at working temperature or through adjustment on bottom of stand at low or warm temperatures.
For further information or descriptive literature, write
AMERICAN ELECTRICAL HEATER COMPANY
DETROIT 2, MICH., U.S.A.
ZOPHAR
Fungus-Proofed Waxes
As a vital service to the Armed Forces we now offer Fungus Resistant Materials. These recently developed products are the answer to Communications requirements where the impregnation or coating of radio parts and equipment are concerned.
ZOPHAR waxes and compounds meet every specification of both the Army and Navy for waterproofing and insulating all electrical and radio components. They also have wide application in packaging of every description.
ZOPHAR MILLS INC
112-130—26th STREET
BROOKLYN, N.Y.
ESTABLISHED 1846
Single Bolt Assembly on Model MCL Lever Switches
Speeds Chassis-to-Panel Assembly on Electronic & Communications Equipment
This exclusive* General Control Company feature means savings in time and labor during original assembly and at any time that maintenance, rewiring, etc. is required. Consider the convenience of this feature when build-ups must be assembled to a frame that is buried among other units on the back of the control panel. During assembly of equipment, the Model MCL can be wired where it is most convenient—the control lever can be mounted anywhere on the panel where it is most convenient for the operator—there is no need to compromise.
The "Midget" Model MCM also has the single bolt assembly feature. This unusual lever switch weights only 3\(\frac{1}{2}\) ounces with 12 contact springs.
All General Control Company lever switches have unlimited contact possibilities; all parts are non-corrosive; all have easy, positive roller action, regardless of number or arrangement of contacts on each side of switch.
*PATENT No. 2,351,236
The "Midget" MODEL MCM has it too!!
GENERAL CONTROL COMPANY
1202 Soldiers Field Road
BOSTON 34, MASS.
Another Conant first!
A New Rectifier Assembly that Eliminates Temperature Variations
Here's important news for users of rectifier type instruments. Conant has done it again! This new instrument rectifier application makes possible for the first time complete freedom from temperature errors. AC values are read on the same linear scale as DC values.
You'll be amazed at the vastly improved frequency response achieved by this new development. This remarkable assembly can be furnished in any of three Conant series (500, 160 or 160-C).
Available to original purchasers of Conant Instrument Rectifiers license free. Write today for details.
Conant Instrument Rectifiers
ELECTRICAL LABORATORIES
6500 O STREET, LINCOLN 5, NEBRASKA, U.S.A.
Electronic Testing Laboratories, Inc., 44 Summer Ave., Newark 4, N. J.
Reference Recorder
A NEW REFERENCE recorder, Model AV-2, records on cellophane tape up to eight hours continuously and without supervision. Compared to the manufacturer's Model AV it is smaller and has an improved indexing control.
Other products available postwar from this manufacturer, include a home recorder and a rack model for radio broadcast station use, as well as models which will be available for 230-volt, 50-cycle, a-c operation.
Fonda Corp., 245 East 23rd St., New York 10, N. Y.
Grid Cap and Tube Cap Shield
Two NEW PRODUCTS are available from Alden Products Co., 117 N. Main St., Brockton 64, Mass.
The first of these is a suppressor grid cap (Type 92NTL) which was developed especially to eliminate parasitic oscillation. A knurled section, in the top of the grid cap connector, unscrews. A resistor of predetermined value is supplied in the cavity under this cap and in series.
You Are Going to Want
BROWNING SIGNAL SYSTEMS
YOUR OWN USE of the Browning Signal System may be quite different from the job it has performed so successfully since before Pearl Harbor: detection of intruders.
If you will read the illustrated folder which describes this unique application of a balanced electronic circuit, you will be stimulated to visualizing other uses to which you can put it.
While we are spending every man-hour available on war production, we have jotted down in our lab notebooks certain interesting improvements we want to make in the Signal System. We'd like to add to those notes whatever thoughts you have on the subject. Your own application may call for entirely different design plans, and we want to be able to offer exactly what you will want in the Browning Signal System. Get the booklet today, or, if you already have it, tell us now what you want in this System.
Browning Laboratories, Inc.
750 Main Street
Winchester, Mass.
Gentlemen:
I already have your folder. Here are the new uses to which I might put Browning Signal Systems, together with notes on what I would like to see built into them:
NAME
TITLE
COMPANY
ADDRESS
Browning Laboratories, Inc.
750 Main Street
Winchester, Mass.
Gentlemen:
I want to learn more about your Signal System as it exists today. Please send your folder to:
NAME
ADDRESS
25 YEARS Specialization in RELAYS
New Feature ... eliminates "bounce" and "chatter"
Microphone Hummer
Twenty-five years' experience in solving all types of Relay Problems ... Complete facilities for Designing, Engineering, Manufacturing ... Specialists in producing Relays of exceptional power and sensitivity for Aircraft, Intercommunications Systems, Electronic Devices. Exclusive Kurman features provide greater dependability, longer life, more precise performance ...
Send data for quotations. Write for new descriptive Bulletins.
KURMAN ELECTRIC CO.
35-18 37th STREET • LONG ISLAND CITY I, N. Y.
E-I HERMETICALLY-SEALED MULTIPLE HEADERS
★ VACUUM TIGHT SEAL
★ KOVAR METAL ELECTRODES
★ PYREX GLASS BEAD
★ MANY STANDARD TYPES
★ ANY TYPE TO SPECIFICATIONS
★ SOLDER OR WELD EASILY
A complete and diversified line of E-I 4, 5, 6, 7 and 8 electrode hermetically sealed Multiple Headers are now available as standard stock items. All are supplied at mass production prices—no special tool or die costs involved. Individual sealed terminals are also included in a wide variety of standardized types. All special shapes or forms can be supplied to exact specifications at slightly higher cost.
All include Pyrex glass bead—immune to thermal or electrical shock. Pyrex annealed to eliminate strain. Kovar electrode and shell solders and welds easily and forms absolute vacuum tight chemical bond with glass—lead becomes integral part of housing. Multiple Headers can be fabricated in any form to specification—write today.
ELECTRICAL INDUSTRIES • INC.
42 SUMMER AVENUE, NEWARK 4, N. J.
YOU SHOULD KNOW
...the advantages of buying from a Complete Manufacturer, such as SNYDER.
Prompt Delivery
Better Price
Production Control
Maintenance of high Standards
When permissible SNYDER will be first.
ANTENNÆ by SNYDER MANUFACTURING CO. • PHILADELPHIA
COMPLETE MANUFACTURERS FROM START TO FINISH
April 1945 — ELECTRONICS
With red points as scarce as they are, this mistake is understandable but, when a design engineer says he wants a field of 3500 GAUSS, the chances are good that he has something else in mind—possibly a permanent magnet.
And if it is a permanent magnet, it's an odds-on bet that he'll be tough about such details as size, shape, weight, allowances for grinding and other factors he considers essential.
Neatest way out of any such situation is to humor him—"Yes" him—tell him to stay right where he is while you get in touch with Cinaudagraph, where they speak his language.
Typical of the many varieties of Permanent Magnets designed and made by Cinaudagraph.
FOR INDUSTRIAL ELECTRONIC DEVICES
What Relay?
ELECTRONIC DISCRIMINATOR WITH "SIGMA" PLUG-IN RELAYS
The relay, like all components, must have maximum freedom from possibility of failure — and also, because it may nevertheless be subject to accidental damage, it must be easy to replace.
SIGMA RELAYS ARE FAMOUS FOR:-
- Highest contact pressure per input milliwatt.
- Plug-in mounting.
- Dust-proof or hermetically sealed enclosure.
- Maintenance of precise adjustment.
TYPE 4R
SIGMA Instruments, Inc.
Sensitive Relays
62 Ceylon St., Boston 21, Mass.
with the attached lead. The cap also clamps to the lead wire providing strain relief. This particular cap is made for \( \frac{3}{8} \)-in. diameter tube top cap, but others are available with top or side lead for most similar applications where a series resistor is required in the lead of the connector.
The second product is the TCIM patented tube cap shield which is now available to industry. It provides, in addition to electrostatic shielding, a molded insulating lining which prevents the tube top cap from grounding to the shell. It also provides a smooth rolled edge for the lead wire entrance to eliminate chafing caused by vibration.
Aircraft Radio Direction Finder
These new radio direction finders for aircraft have a receiver that is lighter and smaller than the older models. The new compass is a 4-band instrument (instead of three bands used in the older model SCR-269) which operates on regular air"CLIENT WILL BUY A BUSINESS"
If some of your War activities cannot be continued profitably in Peacetime, then perhaps a client of ours* can help you.
Our client wishes to buy a going business or a complete department of a permanent organization.
This is to help them in the rapid expansion of a growing concern whose success is due to Electrical and Electronic Engineering talent, backed by proven merchandising ability.
Anything that can be made and sold to any branch of Electrical Communications will interest them; this includes Radio, Telephone, Telegraph, Television, Radar, Wire Photo, Sound on Film, Wire or Disc. An accessory widely used in these fields would be ideal.
Also, any items that would carry their technical ability into Industrial markets or into Air, Ground or Marine Transportation would be attractive.
They are particularly interested in products with protected positions either by virtue of patents, special "know-how" or limited markets; however, they would be glad to consider situations relating to mass markets.
They prefer products whose quality demands Engineering and Manufacturing skill thereby justifying above average sales prices and careful selling attention.
If you will be forced to stop work on any of your projects after V-day, either because they are out of line with your Peacetime activities or because they have insufficient sales volume to be of interest, then our client would like to meet you.
They would like to study your situation with reference to their ability to take over one of your projects, either now or later, and continue it on a mutually profitable basis.
All answers will be held confidential. Please reply to:
Cory Snow, Inc.
• MERCHANDISING • ADVERTISING •
739 BOYLSTON ST. BOSTON 16, MASS.
*We are authorized to furnish the name of our client if requested on your business letterhead.*
GRAYHILL INTRODUCES NEW SNAPIT SWITCH — A SMALL MOMENTARY PUSH-BUTTON, SINGLE-POLE, SINGLE-THROW, SNAP-ACTION SWITCH AVAILABLE NORMALLY OPEN OR NORMALLY CLOSED. 3/4" DIAMETER. FURNISHED WITH EITHER HARDENED STEEL ACTUATING PIN OR BAKELITE PUSH-BUTTON. OPERATOR FEELS SNAP ACTION AND HEARS A DISTINCT "CLICK" WHEN SWITCH OPERATES.
Grayhill
5 North Pulaski Road, Chicago 24, Illinois
NORTON INSTRUMENTS
Portable & Switchboard Ammeters—Voltmeters
The scales of Norton Instruments are hand drawn and hand calibrated to meet your special requirements, thus assuring accuracy at every reading point.
Furnished for both switchboard and portable use. Magnetically shielded. Hardened, specially ground pivots, supported by sapphire jewels.
Norton has served the electrical industry for fifty years. Wherever accurate measurement of electrical units is called for, there is a Norton instrument to meet the requirements.
Send for our new catalog
NORTON Electrical Instrument Co.
59 Hilliard St., Manchester, Connecticut
Precise Control of TEMPERATURES
with...
DOUBLE DIAMOND
THERMO-REGULATORS AND THERMOSTATS
H-B Thermostats and Thermo-regulators (adjustable thermostats) are used extensively in both laboratory and production equipment. Ranges of application are from minus 30 to +350°F. (minus 35 to +180°C.) and both straight and angle types are available. Temperatures can be maintained with these instruments to an accuracy of a fraction of a degree. Many shapes and sizes now available for shipment, and single units or quantity lots can be furnished. Write for H-B Blue Book 4.
H-B INSTRUMENT COMPANY
2524 No. Broad Street, Philadelphia 32, Penna.
April 1945 — ELECTRONICS
COILS, TRANSFORMERS AND LOUD SPEAKERS
THAT JUSTIFY THE NAME...
30 new BEST speakers, incorporating every advance in speaker design for a quarter of a century, achieve higher efficiency at lower cost through the use of Alnico 5 permanent magnets.
Transformers, for varied applications, which perform to your most exacting requirements, are manufactured and tested in large quantity at BEST.
Tremendously increased winding tolerances make BEST a preferred choice for bobbin or universal wound coils of all types and sizes. The coil illustrated is hand layer-wound with #42 wire.
Constructed to withstand the rigorous conditions of military service, BEST hermetically sealed transformers, using every type of terminal construction, are delivered promptly and at low cost.
The name BEST has been associated with the finest in coils, transformers and loud speakers since the days of radio's infancy. Illustrated are but a few of the many items manufactured by BEST which required skill, precision and efficiency. Because of the experience gained throughout the years, BEST has been able to meet the ever growing demands of this industry for greater quality, durability and quantity production.
We Invite Inquiry
Our Engineering Department and modern production facilities are available for the designing and mass production of quality electronic and sound reproducing equipment which will meet your most rigid requirements.
BEST MANUFACTURING CO., INC.
Electronic and Sound Reproducing Equipment
1200 GROVE STREET • IRVINGTON 11, N. J.
craft supply of 28-volt dc. Alternating-current voltages for the indicators and the loop drive motor are produced by a small vibrator. Reception continues if the a-c voltages fail since the loop can be turned manually. The fourth band is the 100-200 kc band which has been added to take radio navigational aid from the many European and Asiatic stations.
Fairchild Camera & Instrument Corp., 475 Tenth Ave., New York 18, N. Y.
One and One-Half Inch Panel Instruments
Two manufacturers announce panel instruments of the one and one-half-inch type.
General Electric Instruments utilize the internal-pivot design and are available in two forms to meet the various requirements for war equipment. A waterproof design is for use where the equipment may be accidentally submerged in water, exposed to rain, or used in extremely humid atmosphere. The conventional moisture-resisting design is for use in aircraft or other service where the instrument will be protected from the elements.
Roller-Smith instruments are designed to withstand extreme conditions of temperature, humidity, vibration and shock in aircraft service. The manufacturer states immersion tests show the units will withstand hydrostatic pressures up to 14.7 psi without case leakage. Accuracy is rated at 2 percent. They are available in all practical ranges above 50 millivolts as d-c voltmeters, and in all practical ranges above 500 microamps as d-c ammeters. Lower ranges can be supplied for other applications.
USE ADJUSTABLE PERFORATING DIES FOR INCREASED PRODUCTION
HERE IS TWO-FOLD MANUFACTURING ECONOMY
Whistler precision perforating dies get you into production quicker—make your own set-up in a matter of minutes as against weeks. Rearrange the same units—add or delete sizes or shapes—and get going on the next job. Original die cost is amortized over any number of jobs. Effect pre-production and production time savings that can only be measured by the size and importance of each job.
Whistler Adjustable Perforating Dies are shipped from stock or within a few days, in sizes from 1/32" to 1 1/2"—round, square, oval and rectangle—for perforating mild metals to 1/4" thickness. Notching dies and special shapes made to order and can be used in combination with stock units. Whistler Adjustable Dies work on practically any type press. Close centers permit more perforations per press operation. Absolute precision on short or long runs. All parts are interchangeable. Write us today and ask for the Whistler Catalog.
S. B. WHISTLER & SONS, Inc.
752-756 MILITARY ROAD, BUFFALO, 17, N. Y.
WHISTLER MULTI-USE ADJUSTABLE PERFORATING DIES
BUS-BAR
Formed in 2 PLANES to .001" ACCURACY
WITH DI-ACRO
ONE-HALF ACTUAL SIZE
A heavy Copper Bus-Bar for panel board and terminal assemblies is illustrated, accurately duplicated in two planes with angles formed both flat and edgewise, across the material horizontally and vertically.
DI-ACRO Bender No. 2 has a forming radius up to 6" and capacity of 3/8" cold rolled solid steel bar or equivalent.
Send for Catalog "DIE-LESS DUPLICATING"
showing all models of DI-ACRO Benders, Shears and Brakes, and many examples of parts formed by "DIE-LESS DUPLICATING"
BENDER No. 2
Many electrical and other parts can be duplicated without dies, saving Man Hours and Critical Materials and helping to meet rush delivery schedules. DI-ACRO Precision Machines — Shears, Brakes, Benders — form angle, channel, rod, tube, wire, moulding, strip stock; bi-metals, dielectrics, sensitized materials, fiber slot insulation, frequency reeds, etc.
SPEED-UP
MINIATURE TUBE SET ASSEMBLY CUT TUBE FAILURES WITH THE
STAR DOUBLE-CHECK SYSTEM
Assure high set production by equipping your Assembly Department with STAR MINIATURE SOCKET WIRING PLUGS to obtain socket contact during wiring, and STAR MINIATURE TUBE SETTING SPACERS* to provide an easy, perfect fit when tube is inserted. A simple "double-check" that insures smooth assembly flow and fewer failures.
* Fills a requirement for your Assembly Department and meets the specifications of WPB Sub-Committee on Miniature Tubes.
For Complete Information and prices—write RADIO ACCESSORY DIVISION
STAR EXPANSION PRODUCTS CO.
147 Cedar Street, New York 6, N. Y.
FOR ELECTRONIC USE
SILVER
WIRE - SHEET - TUBING
SILVER BRAZING ALLOYS & FLUXES
PLATINUM
WIRE - RIBBON - FOIL
SEAMLESS TUBING
YOUR INQUIRIES ARE INVITED FOR ALL APPLICATIONS OF PRECIOUS METALS TO ELECTRONIC PRODUCTS.
THE AMERICAN PLATINUM WORKS
N. J. R. R. AVE. AT OLIVER ST.
NEWARK 5, N. J.
April 1945 — ELECTRONICS
RADEX
In future peace-time production, Radex will uphold its war-won reputation by the scope and caliber of its service to the radio and electrical industries.
Radex Corporation
53 W. Jackson Blvd., Chicago 4, Ill.
ANOTHER SPECIAL BY PROGRESSIVE
71 other "specials" are illustrated in Catalog 18, which includes tables of weights per 1M standard pieces, deci. equivs. of fractions, etc. Write for it.
Special heads, threads, and finishes — on fastenings of any metal or alloy adapted to cold- upset — are Progressive's specialty. Weekly output: 25,000,000.
The PROGRESSIVE MFG. CO.
50 NORWOOD ST., TORRINGTON, CONN.
"RUNUS BUY MORE WAR BONDS"
(3)
FACTORY SUPERINTENDENTS
Organization methods experience
Small assembly work
$7000-$8500
Also Openings for
3
GENERAL FOREMEN
$5000-$6000
Write
Hudson American Corporation
25 West 43rd Street
New York 18, New York
MENDELSON
FOR 15 YEARS TOPS IN PHOTOGRAPHY
NOW TOPS IN ELECTRONICS
COAXIAL CONNECTORS
RADAR EQUIPMENT
RECTANGULAR TUBING
MICRO-WAVE CONNECTORS
WRITE YOUR REQUIREMENTS
Folder on Request
MENDELSON
SPEEDGUN COMPANY (ELECTRONICS DIVISION)
457-461 BLOOMFIELD AVE., BLOOMFIELD, N.J.
To Postwar Designers
Simplify design and reduce costs with Walker-Turner Flexible Shafting!
Reduced production costs is the key to the lower-prices, increased-sales-volume, more-jobs combination needed for post-war prosperity. Walker-Turner Flexible Shafting offers a proven way to bring about this reduction—in products involving remote control or the transmission of light power loads!
By substituting Walker-Turner Flexible Shafting for complicated gear systems in these applications, design is substantially simplified. The product is lighter, more compact. Less material is required. Costly machining is eliminated. Shipping and storage costs go down. Write today and let us put our years of flexible shafting experience to work for you!
WALKER - TURNER CO., INC.
Plainfield, New Jersey
Electronic Timers
ELECTRONIC TIMERS, designated as Series 5000, measure 3/4 x 3/4 x 3/4 in. and are intended for built-in applications where no individual housing is necessary. The four standard types available include Models 5010, 5020, 5030 and 5040. Model 5020 requires a warm-up period of 3 sec before the unit is ready to operate. The other three models require 30 sec. The units are rated for loads up to 2 amp at 115-v ac. Mounting is achieved by an insulating strip located on the rear of the timers.
Fisher-Pierce Co., 62 Ceylon St., Boston 21, Mass.
Thyratron Tube
RCA-3D22 is a sensitive, four-electrode thyratron for use in relay and grid-controlled rectifier applications, particularly those involving motor-control service. It is conservatively rated to handle an average output current of 0.75 amp in continuous operation. The tube utilizes a sturdy and compact single-ended construction which eliminates bulb terminals with their attendant flexible leads. Because of its xenon-gas filling, the tube has a control characteristic which is essentially independent of ambient temperature throughout the range from -75 to +90 deg. C. It also has small preconduction or gas-leakage currents, low control grid to anode capacitance, and low control-grid current.
RCA Victor Div., Radio Corp. of America, Harrison, N. J.
Thermostatic Delay Relay
PORCELAIN HEATERS are utilized in this new thermostatic metal-type delay relay which has higher ratings than the unit described in August 1943 ELECTRONICS. Delays from 1 to 120 seconds can be obtained. Contact ratings are 10-amp,
Electrical Papers
Laboratory Control is essential for...
Dielectric Strength
Non-Corrosion
Physical Strength
Chemical Purity
- Our laboratories maintain constant check on all runs of paper for electrical purposes - from pulp to final treatment. We will be glad to make an intelligent appraisal of your usage conditions and recommend the most efficient paper.
Send for free book "Electrical Papers"
Central Paper Company Incorporated
2442 Lakeshore Drive, Muskegon, Mich.
Electricity
Onan Electric Generating Plants supply reliable, economical electric service for electronics applications as well as for scores of general uses.
Driven by Onan-built, 4-cycle gasoline engines, these power units are of single-unit, compact design and sturdy construction. Suitable for mobile, stationary or emergency service.
Model shown is from WSC series, 2 and 3-KW, 60-cycle, 115 volt; powered by water-cooled, 2-cylinder engine.
Models range from 350 to 35,000 watts. A.C. types from 115 to 660 volts; 50, 60, 180 cycles, single or three-phase: 400, 500, and 800 cycle, single phase: also special frequencies. D.C. types range from 6 to 4000 volts.
Dual voltage types available. Write for engineering assistance or detailed literature.
D. W. Onan & Sons — 3262 Royalston Ave. Minneapolis 5, Minn.
Printers, Laminators, Fabricators of Plastics
Injection and Extrusion Molders
Plastic Printing by special inks and special methods developed in our plant.
Lamination of printed sheets on one or both sides, permanently sealing the printed surfaces.
Sheet Fabrication on even the most complicated jobs.
Write for Free Booklet E, "Hopp Plastics Today & Tomorrow."
The Hopp Press Incorporated
460 W. 34th St., New York 1, N.Y.
ELECTRONIC TEMPERATURE CONTROL
- NORTHERN LABS developed these compact Temperature control cabinets for control of its low temperature and Humidity test chambers. Our customers forced us to sell them separately for other difficult temperature control problems—high and low—even for modernizing test chambers of other manufacture. Now we can offer them all in one with HUMIDITY, ROOM-HIGH TEMPERATURE FURNACE OR OVEN-TEMPERATURE CONTROLLED BATH or any other temperature control problem.
MODEL NL-9 will control simultaneously two temperatures. It incorporates two potentiometer-thermocouple indicator controllers, line voltage regulator system and a terminal board for your connections. Will control on temperature changes of .1°C.
MODEL NL-10 is identical with NL-9 but is equipped with a multi-pen electronic recorder to keep a visual record of the performance of your equipment.
MODEL NL-11 will operate for an indefinite period on a time variable program cycle. Several other models are available to perform almost any temperature control.
Write for Bulletin stating your probable application or better still have our field engineer call on you.
See our advertisement on Low Temperature Test Cells—page 442
NORTHERN LABORATORIES LTD.
3-01 27th Ave., Long Island City, New York
PERMANENT MAGNETS
All Shapes—All Sizes—for All Purposes
COBALT—CHROME—TUNGSTEN
Stamped, formed and cast
Alnico (Cast or Sintered under G.E. License)
Also: Laminations for Radio Transformers
TOOLS—DIES—STAMPINGS
Heat Treating of Metals and Alloys
THOMAS & SKINNER STEEL PRODUCTS COMPANY
1116 EAST 23RD STREET • INDIANAPOLIS 5, INDIANA
INDICATOR LAMPS
Indicate and identify circuit operations on radio transmitters and electronic devices. Lock-on caps, available in five different colors, cannot shake loose. Caps and bases of sturdily constructed molded plastic. Easy to mount. With or without "dim-out" feature. For further details write Electronics Department, General Electric, Schenectady 5, N.Y.
GENERAL ELECTRIC
177-DL-1
UNBRAKO
Reg. U.S. Pat. Off.
Self-Locking HOLLOW SET SCREW
Pat'd & Pats. Pend.
Save SPACE, WEIGHT and WORRY
Now made in sizes so small you can hardly see them, yet perfect in every detail, these "Unbrako" self-locking set screws are invaluable in the field of radio, electronics and fine instruments.
The knurled cup point of the "Unbrako" Hollow Set Screw digs in and holds tight. Vibration positively will not loosen it, yet it is easily removed with a wrench, and may be used over and over again.
Sizes from #8 to 1" diameter. All commercial lengths.
Where the Knurled Cup Point "Unbrako" cannot be used, use our knurled Thread "Unbrako"—also a Self-Locker regardless of the point.
Send for the "Unbrako" Catalog of Socket Screw Products.
STANDARD PRESSED STEEL CO.
JENKINTOWN, PENNA. BOX 596
BRANCHES
BOSTON • DETROIT • INDIANAPOLIS • CHICAGO • ST LOUIS • SAN FRANCISCO
OVER 40 YEARS IN BUSINESS
GASES
HYDROGEN NITROGEN·OXYGEN
COMPLETE GAS PRODUCTION PLANTS INSTALLED FOR LOWEST COST OPERATION
FORMING MIXTURES
CARBON DIOXIDE ACETYLENE
HIGHEST QUALITIES • ANY QUANTITY DELIVERED ANYWHERE
AMERICAN GAS & CHEMICAL CO.
HARRISON, NEW JERSEY • Contracted Complete Service on All Gases
NEW IMPROVED "T" PAD ATTENUATORS BY TECH LAB
• Stainless Silver
Alloy contacts and wiper arms.
• Rotor hub pinned to shaft prevents unauthorized tampering and keeps wiper arms in perfect adjustment.
• Can be furnished in any practical impedance and db. loss per step upon request.
• Write for our Bulletin No. 431.
TECH LAB MICROHMMETER
Direct and Instantaneous resistance readings down to 5 microhms and up to 1,000,000 megohms. Write for Bulletin No. 432.
TECH LABORATORIES
7 LINCOLN STREET
JERSEY CITY 7, N. J.
ELECTRONICS — April 1945
Ideal for Radio Work!
KWIKHEAT SOLDERING IRON
FROM TIP TO PLUG . . . IN A CLASS BY ITSELF!
COMPLETE U.L. APPROVAL
COOL, PROTECTING HANDLE
MODERN DESIGN
WELL BALANCED LIGHT WEIGHT
THERMOSTATIC HEAT CONTROL
QUICK HEATING ELEMENT
6 INTERCHANGEABLE TIPS are available
★ Weighs only 14 ozs.
★ 225 Watts—Powerful!
★ Heats in only 90 Seconds
Only the Kwikheat has...
Built-in Thermostatic Heat Control
...Check the exclusive advantages that put the Kwikheat Soldering Iron in a class by itself...it's HOT, ready to use only 90 seconds after plugging in. Saves time. The built-in thermostat keeps the Kwikheat Iron at correct temperature for most efficient work—can't overheat—saves retinning time. Powerful, 225 watts, yet it's light (14 oz.)—well-balanced. Cool—safe—protected handle. Six interchangeable tip designs enable one iron to do most jobs. You cannot afford to overlook the Kwikheat Soldering Iron. Write today for complete information—$11 list.
VANATTA
KWIKHEAT
THERMOSTATIC SOLDERING IRON
A Division of Sound Equipment Corp. of Calif. • 3903 San Fernando Rd., Glendale 4 Calif.
115-volt, ac. The relay is compensated for ambient temperature changes from 40 to 110 deg F and is available as a SPST normally open, or SPST normally closed device. Hermetic sealing provides protection against altitude, moisture or other climatic changes. The unit is explosion proof, and its octal radio base permits easy replacements.
Amperite Co., 561 Broadway, New York 12, N. Y.
Vacuum-Tube Voltmeter
SPECIFICATIONS OF a vacuum-tube voltmeter, designated as Model VM-27, which may be used in the laboratory, or for engineering design or production testing, are as follows. The voltage range is from 0.1 to 100 volts ac or dc, and the frequency range is 20 cycles to over 100 Mc. The unit has five ranges:—1, 3, 10, 30 and 100-volts, full scale. The peak response is calibrated to read the rms value of a sine wave, or 0.707 of the peak of a complex wave. Accuracy is rated better than 2 percent on all ranges. The unit is factory adjusted, and operates from 105 to 125 volts, 60 cycles. It consumes 30 watts of power.
Alfred W. Barber Laboratories, 34-04 Francis Lewis Blvd., Flushing, N. Y.
Isolating Transformer
THE PRODUCT illustrated is an isolating transformer (designated as Catalog No. 7242) for use in the laboratory, and for testing and portable applications. The unit is wound for three-phase but may be employed on single-phase circuits. It is a compact component, rated 250 va, 115 volts, 1:1 ratio. Frequency range is 60 to 400 cycles. Units are rugged and drip-proof,
FAST WORK ON YOUR WAR ORDERS
• If your needs are urgent, take advantage of our exceptionally large and complete stock of radio-electronic supplies and parts. Most orders can be filled immediately from stock, and shipped the same day received.
And to help you order just what you need, we have the big Dalis catalog which is yours for the asking. Write on your business letterhead for your copy.
• Try Dalis—just wire, 'phone or write...
MOLDED TERMINAL STRIPS
COMPLETELY ASSEMBLED WITH HARDWARE
Available in lengths from 1 to 20 terminals.
2 Types: NAS 17 and NAS 18. Prompt deliveries.
Northern Industrial Chemical Company
7-11 ELKINS ST., SO. BOSTON 27, MASS.
36 YEARS OF PLASTIC MOLDING EXPERIENCE
SHORT CUT TO Easier NUT DRIVING
XCELITE NUT DRIVERS
Xcelites are just the nut drivers for your "close Quarters" electrical work! Hollow shaft (insulated, if desired) fits easily over long bolts. Finely-machined socket grips two nuts at once! Genuine Xcelite handle is fire and shock resistant. Available on satisfactory priorities, delivery necessarily delayed by wartime conditions. Ask your dealer or write Dept. C now!
A Handy Set in Holder
Saves time, too! Seven Xcelite nut drivers, each with different colored handle to flash you the size at a glance... complete in sturdy metal holder. Nut sizes 3/16"-3/4". Enjoy these short-cuts by ordering now!
PARK METALWARE CO., INC.
Orchard Park
Back the Attack Buy More War Bonds
ELECTRONICS — April 1945
Specialists
... in Assembly and sub-assembly of Precision Electronic Products
• Complete Facilities for Production and Testing of Audio Equipment
• Consult us with your Production Assembling Problems
RADELL CORPORATION
6323-27 GUILFORD AVENUE, INDIANAPOLIS 5, INDIANA
Approved
Leakproof
ENAMELED MAGNET WIRE
• Much of the success of this Hudson Wire product is due to a new coating method that gives a smooth, permanently-adherent enameling. Mercury-process tests guarantee perfect uniformity; great tensile strength assures perfect laying even at high winding speeds. Especially adaptable for reduction in coil dimensions without sacrificing electrical values.
Our engineering and design facilities are at your disposal. Details and quotations on request.
HUDSON WIRE COMPANY
Winsted Division
WINSTED CONNECTICUT
SpeedWay MAKES IT
After The Others Failed...
SpeedWay’s “know how” was able to develop new gearmotor designs for the Armed Forces that did not meet the standard requirements. Today, the expanded needs for these motors require greater capacity, as well as the accuracy of other SpeedWay’s gear manufacturers, working in SpeedWay Specifications.
If you need motors or gearmotors for standard or special application from 1/3000 hp. to 1/2 hp., Universal Motor outputs rated from 1/4000 hp. to 1 hp., Universal gear ratios available from 1:1 to 100:1, write for our recommendations on your gear or power problem.
Write for SpeedWay’s new Motor Bulletin showing Standard A.C., D.C., and Universal Motors and generators.
SPEEDWAY MANUFACTURING CO.
1898 S. 52nd Ave., Cicero 66, Ill.
ARGON HELIUM KRYPTON
NEON NEON MIXTURES
Linde
RARE GASES AND MIXTURES
... Spectroscopically Pure
... Easily removed from bulb without contamination
Scientific uses for LINDE rare gases include—
1. The study of electrical discharges.
2. Work with rectifying and stroboscopic devices.
3. Metallurgical research.
4. Work with inert atmospheres, where heat conduction must be increased or decreased.
Many standard mixtures are available. Special mixtures for experimental purposes can be supplied upon request.
The word "Linde" is a trade-mark of
THE LINDE AIR PRODUCTS COMPANY
Unit of Union Carbide and Carbon Corporation
170 East 42nd Street, New York 17, N.Y. Offices in Principal Cities
April 1945 — ELECTRONICS
DUPLICATING and PROFILING
AUTO ENGRAVER
Accurate Engraving with Unskilled Operators
Unskilled operators will profile or accurately reproduce in smooth lines any design, number, letter, emblem, signature; on iron, brass, copper, aluminum, soft steels and all plastics. Here are some of its other uses...
- Drills a series of holes, or profiles small parts.
- Cuts an even channel for wiring on panels. Increases accuracy and production.
- Works from original drawing or templates.
- Etches glass and similar items.
- Will not cause distortion.
For complete information on this and other models and prices write Dept. K
AUTO ENGRAVER CO.
1776 BROADWAY, NEW YORK 19
TRANSFORMERS for TRANSPORTATION APPLICATIONS
Wherever specialized transformers are required for transportation applications, you will find a high-quality transformer designed and engineered by Electronic Engineering Co., a modern mass production organization...
For communications equipment in airplanes and trucks, for blind-flying controls and landing apparatus in planes, for signaling and safety equipment in trains, rely on Electronic Engineering Co. for the solution to your problem.
ELECTRONIC ENGINEERING CO.
735 West Ohio Street • Chicago 10, Illinois
Associated Company
Holubow and Rehfeldt Consulting Engineers
Transformer Engineers for Specialized Applications
WORKS MANAGER
With engineering background. Must have organization and administrative experience for overall supervision of complete plant.
Salary $12,000
Good Post-War Future.
Write
Hudson American Corp.
25 West 43rd Street
New York 18, New York
If you want
- CRYSTALS
- CABLES
- HARNESSSES
- ELECTRONIC ASSEMBLIES
- CABINETS
Telephone Peru, Indiana 151
Serving the Radio and Electronic Industries with precision engineered products.
Wm.T.Wallace Mfg. Co.
General Offices: PERU, INDIANA
Cable Assembly Division: ROCHESTER, INDIANA
NEON PILOT LIGHTS
EMBODY THESE IMPORTANT FEATURES:
Penetrating orange-red glow Long life Low current consumption Resistance to vibration and shock Operate direct on high voltage circuits Emit practically no heat
These advantages of Neon Glow Lamps are enhanced by "SIGNAL" Pilot Light Assemblies. We manufacture a complete line, featuring types fitted with Full-View Plastic Heads. Specialists in supplying completely assembled units, housing G.E. or Westinghouse Lamps. Send specifications for prompt estimates and suggestions... Write for Catalog.
SIGNAL INDICATOR Corporation
894 BROADWAY... NEW YORK 3, N.Y.
Telephone: ALgonquin 4-4770
Our Electronic Equipment For YOUR Post-War Use
We present a few items of equipment which our Post-War Plan proposes to release to you. These items are now being built for the U.S. Navy and other Armed Forces.
1. The original Portable Electric Megaphone*, now highly developed, for use by the Merchant Marine, yachts, airplanes, drydocks, shipyards, stadiums and outdoor arenas, construction companies, and Police and Fire Departments.
2. Our exclusive Divers Communication Equipment for use by marine salvage companies and manufacturers of diving suits.
3. Interior Communication Equipment and docking sets for all types of marine use.
Other equipment will be announced when released by the Armed Forces.
GUIDED RADIO CORPORATION
161 Sixth Avenue New York 13, N.Y.
* Patent No. 2,301,459
After the War any infringement of this patent will be prosecuted.
SPECIAL PRECISION FRACTIONAL HORSE-POWER MOTORS AND GENERATORS
"ELINCO" A.C. DRAG-CUP INDUCTION GENERATORS
Both base and frame-mounted models, die-cast aluminum-alloy housing, black enamel finish. Torque required for rotation approximately 25 grains at 1" rad. Type 58: applied voltage (to one of the two stator phase terminals) 115 v.a.c., generated voltage (at other terminal) with resistive load 100,000 ohms varies from 0.15 v. max. with drag cup stationary, to 1.20 v. min. at 1,000 RPM, and to increase at uniform rate up to 6,000 RPM.
OTHER MODELS
The business of our company is the design and production of special fractional h.p. motors and generators to meet the requirements of individual customers. We will be pleased to assist in the solution of your problems.
Electric Indicator Company
104 Parker Ave., Glenbrook, Conn.
measure 8½ x 5½ x 4 in., and weigh 16½ lb.
New York Transformer Co., 26 Waverly Place, New York 3, N. Y.
**High Voltage Tester**
MODEL NL5-H5 unit (illustrated) is a lightweight, compact high voltage supply for testing corona effects, leakage and breakdown of all types of dielectrics and assemblies. The unit can be supplied with an auxiliary capacitor network for momentary high current breakdown tests. Normal current range is 0 to 2½ milliamp. The auxiliary capacitor network is designated as Model NL5-H5-IU and is furnished in a separate steel box with a large standoff insulator for high voltage terminals. Ranges of the tester are from 0 to 5 kv, 0 to 10 kv and 10-0-10 kv (10 kv each side of ground or 20 kv between output terminals). The increment of voltage from zero to maximum rating is indicated by a calibrated voltmeter. A milliammeter indicates commencement of leakage and also gives quantitative indication. A safety feature is the use of a micro-switch to operate the high voltage relay when the cover is lifted. Voltage is controlled by a variable transformer. Accessories include three 6-ft test leads with banana jacks and alligator clips. The unit can be used for either laboratory or production testing.
Northern Laboratories Ltd., 3-01 27th Ave., Long Island City 2, N. Y.
**Midget Transformer**
THESE TRANSFORMERS measure ¾ x ¾ x ¾ in. and are small enough to be incorporated directly into the cases of earphones or hand-held microphones. They utilize a new design and new materials, and are
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**QUALITY CONTROL**
The Bushing Tests
The maintenance of uniformity and accuracy in component parts is a recognized prerequisite of quality in a finished transformer, as in any precision product. For this reason, important parts of Chicago Transformers are closely inspected and tested for structural and dimensional accuracy before they reach production.
Ceramic bushings, a vital part of Hermetically-Sealed Chicago Transformers, are subjected to exhaustive tests and inspections. Dimensional accuracy to close tolerances is insured by micrometer and gauge inspection, while internal flaws and structural imperfections are detected by the use of light directed through bushing walls and by air-pressure exerted upon each bushing under water. As a final check the bushings are subjected to a high-voltage breakdown test to determine their insulating properties.
By this type of close control of quality in essential parts, production is facilitated and high standards of quality in the finished transformer are maintained. The result—better service to Chicago Transformer customers.
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CHICAGO TRANSFORMER
DIVISION OF ESSEX WIRE CORPORATION
3501 WEST ADDISON STREET
CHICAGO, 18
BROADCASTING STATIONS!
RECORDING STUDIOS!
SCHOOLS!
You Can Get Them Without Delay!
GOULD-MOODY "Black Seal" GLASS BASE INSTANTANEOUS RECORDING BLANKS
The tributes paid to "Black Seal" discs by many leading engineers have been earned by distinguished service on the turntable. Your ears will recognize the difference in quality of reproduction, and the longer play-back life will prove the superiority of "Black Seal" construction. Choice of two weights—thin, flexible, interchangeable with aluminum, or medium weight—both with four holes.
An AA-2X rating is automatically available to broadcasting stations, recording studios and schools. Enclosure of your priority rating will facilitate delivery.
Old Aluminum Blanks Recasted with "Black Seal" Formula on Short Notice.
THE GOULD-MOODY COMPANY
RECORDING BLANK DIVISION
395 BROADWAY • NEW YORK 13, N.Y.
EXPORT DEPT. ROYAL NATIONAL COMPANY, INC.
67 BROAD STREET, N.Y.
a Star is added
ARMY E NAVY
A second citation for doing a good war job!
RADIO RECEIVERS • AUDIO OSCILLATORS • TELEVISION ELECTRONIC TEST EQUIPMENT • SIGNAL GENERATORS PHONOGRAPHS... Licensed by RCA • Hazeltine • Armstrong F.M.
ESPEY MANUFACTURING COMPANY, INC.
33 WEST 46TH STREET, NEW YORK 19, N.Y. BRyant 9-2300
There is NOT a SUPERIOR BRUSH GRADE for Every Need
There can't be, because new needs are arising every day, and research must fill them. The Superior Research Department places its 25-year experience at your disposal.
SUPERIOR CARBON PRODUCTS, INC.
9117 George Avenue • CLEVELAND 5, OHIO
SUPERIOR CARBON BRUSHES
CUP WASHERS for Binding Screws
WHITEHEAD STAMPING CO.
1691 W. Lafayette St.
Detroit 16, Michigan
Preferred as a source of precision-made WASHERS and STAMPINGS manufactured to your specifications.
April 1945 — ELECTRONICS
designed to operate with a uniform frequency response within ±2 db from 100 to 8000 cycles. Units can be made with windings to provide impedances as high as 200,000 ohms, and when used as a choke coil, with inductive reactance as high as 1 megohm. Units may be potted, shielded or hermetically sealed.
Permoflux Corp., 4900 W. Grand Ave., Chicago 39, Ill.
**Wire-wound Resistors**
An addition to this manufacturer's line of components are Type GRW wire-wound resistors which meet Army-Navy specification JAN-R-26. Seven standard sizes are available (GRW-10 to GRW-16 which correspond to Army-Navy types RW-10F to RW-16F). Resistance values covered by these seven types are from 0.1 ohm to 46,000 ohms, with power ratings from 15 to 140 volts. The units are completely sealed and have pyrex-glass enclosure tubes which are specially heat-treated to achieve optimum stress distribution and to provide increased resistance to thermal shock and mechanical damage. Connections are welded rather than soldered.
International Resistance Co., 401 N. Broad St., Philadelphia 8, Pa.
**H-F Paper-Dielectric Capacitors**
A new line of high-frequency paper-dielectric capacitors (available in ratings of 5000 to 20,000-volt dc, 0.01 microfarad) are available primarily for grid and plate-clocking service in electronic oscillator circuits of h-f induction-heating equipment. They can also be used to advantage in other h-f oscillator circuits. By the use of three
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**CONCORD BUYING-GUIDE and REVISED LISTINGS**
**Radio Parts**
Just published! Concord's great, new 68-page Buying-Guide and latest 1945 Revised Listings of standard lines of Condensers, Transformers, Resistors, Tubes, Test Equipment, Repair and Replacement Parts, Tools, and hundreds of other essential items. Page after page of top-quality radio and electronic parts, and a special 16-page Bargain Section offering hundreds of hard-to-get parts at important savings. Mail the coupon now for your FREE copy. Use it to get what you need—and get it fast—from Concord.
Quick Shipment from CONCORD CHICAGO or ATLANTA
Concord carries vast stocks. Concord ships to you at once from the nearest shipping warehouse, CHICAGO or ATLANTA. Concord invites you to consult our technical experts on special requirements. Concord can expedite any "essential" order and speed action. Concord now serves the United States Government, Institutions, Industry—and can serve YOU, when you want one part or a hundred. Telephone, wire, or write your needs. And rush this coupon for the new 68-page Buying-Guide. It's FREE.
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**Mail Coupon Today for FREE BOOK!**
Concord Radio Corp.
901 W. Jackson Blvd., Dept. G-45
Chicago 7, Illinois
Please RUSH FREE copy of CONCORD'S new 68-page Buying-Guide and Revised Listings. Just off the press.
Name ...............................................
Address ...............................................
City ........................................ State .......
paper-dielectric capacitors instead of four mica capacitors, costs may be reduced plus lower losses and lower voltage drop across the capacitor. The capacitors are hermetically sealed in rectangular metallic cases, and are supplied with removable footed-type brackets, which provide for four-point mounting in any position. The 20,000-volt rating is available in two designs—one in a plain case, and the other with cooling fins to permit a higher current-carrying capacity.
Bulletin GEA-4388 tells about these capacitors and is available from General Electric Co., Schenectady, N. Y.
Ceramic Insulation
MYCALEX K SERIES is a new ceramic for use as a dielectric in capacitors. It can be supplied with dielectric constant values ranging from 8 to 15, at 1 Mc. Mycalex K-10 has been approved by Army-Navy (Jan. 1-12) as Class H material. K Series is available in thicknesses of \( \frac{1}{8} \) to 1 in., in 14 x 18-in. sheets; in thicknesses down to \( \frac{1}{2} \) in. in smaller sheets; and from 14 to 18 in. rods, measuring \( \frac{1}{8} \) to 1 in. in diameter. The material can be readily molded and machined.
Mycalex Corp. of America, 60 Clifton Blvd., Clifton, N. J.
The Standard for Accuracy and Performance
For instruments, indicators, relays, switches—there are no finer springs than Manross hairsprings. Get the benefits of sound experience in design and modern research in materials.
Send for Brochure of Specifications and Design
F. N. MANROSS & SONS
ASSOCIATED SPRING CORPORATION
BRISTOL, CONNECTICUT
Janette
D.C. to A.C. CONVERTERS
The Janette Rotary Converter is a simple, practical method for obtaining Alternating Current when only D.C. power is available.
.1 to 3.2 K.V.A.
Janette was one of the first manufacturers to build converters especially for use with A.C. electronic tube devices. Since their inception these machines have established a world wide record for reliable, efficient, quiet, trouble free operation, under the most adverse conditions.
TWO TYPES are available; one for commercial applications, the other for marine service. Special filters for suppressing conducted and radiated noise voltage interference can be supplied.
If you want a really dependable converter, guaranteed for one year, we suggest you TRY A JANETTE!
May We Send Literature?
Janette Manufacturing Company
556 W. Monroe St. Chicago 6, Ill.
TECHNICAL NOTES
Excerpts from New Home Study Lessons Being Prepared under the Direction of the CREI Director of Engineering Texts
Engineers!
Send for This Free Article on the Delta-Wye Transformation
Each month CREI presents a specially prepared, practical technical article in its popular magazine, CREI NEWS. The final article on Circuit Equivalents appears in the April issue and discusses the Delta-Wye Transformation with illustrative examples—a Bridged-Tee Variable Attenuation Pad and an I.F. Trap circuit employed in a television receiver.
We believe that the readers of Electronics will find this article of practical interest and possibly of assistance in their daily work.
The CREI NEWS is issued free of charge. Merely write a card or letter and request your copy of the April issue. Your name will be added to the mailing list and you will receive each forthcoming issue together with the interesting series of articles that are planned for the future. We will also be glad to send all past articles on "Circuit Equivalents," if available, upon request. You will incur no obligation in doing so, and you will undoubtedly appreciate its contents.
The subject of "Circuit Equivalents" is but one of many that are being constantly revised and added to CREI lessons by A. Preisman, Director of Engineering Texts, under the personal supervision of CREI President, E. H. Rietzke. CREI home study courses are of college calibre for the professional engineer and technician who recognizes CREI training as a proved program for personal advancement in the field of Radio-Electronics. Complete details of the home study courses sent on request.
Write for 36-page booklet.
CAPITOL RADIO Engineering Institute
E. H. RIETZKE, President
Home Study Courses in Practical Radio-Electronics Engineering for Professional Self-Improvement
Dept. E-4, 3224 — 18th St., N.W.
WASHINGTON 10, D. C.
Contractors to the U. S. Navy—U. S. Coast Guard—Canadian Broadcasting Corp.—Producers of Well-trained Technical Radiomen for Industry.
Loudspeaker
RANGING IN SIZES from 2 to 15 in. is a complete new line of loudspeakers which will handle capacities from 1 to 20 w and which are designed to give an acoustical output in 2-db steps. A magnet alloy is used to provide magnetic efficiency and to save weight. The speakers are dust proof. Metal parts are rust-proof finished. Permoflux Corp., 4900 W. Grand Ave., Chicago 39, Ill.
Lightweight Blower
A NEW LIGHTWEIGHT blower for heat dispersion is Model No. 2½ which has been added to this manufacturer's line. The unit weighs 3½ oz and delivers 50 gfm at 8000 rpm. It is not affected by climatic or temperature changes, and is available with shaft bores of either 0.1895 in. or ¼ in.
L. R. Manufacturing Co., Torrington, Conn.
Portable Test Meter
MODEL 695, Type 11, a compact, portable instrument, which is essentially a rectifier-type voltmeter, provides readings in decibels (from -4 to +35 in all ranges), as well as in volts (from 2 to 200, in 7 a-c ranges). The meter can be used for power-level measurements in all types of sound equipment and in radio receivers. Constant impedance is 20,000 ohms. When connected across any sound line, the ranges can be shifted continuously without varying the line impedance. A self-contained condenser provides blocking for any d-c component. The instrument is cali-
Are you using the most suitable ELECTRICAL TAPES?
THIS NEW BOOK WILL TELL YOU . . SEND FOR YOUR COPY TODAY!
It tells the whole story of "SCOTCH" Electrical Tapes and their application, by word and picture. It even carries samples of all the tapes listed.
"SCOTCH" Electrical Tapes are made in a wide range of tested properties, with backings and adhesives scientifically adjusted to varying requirements.
High dielectric strength, resistance to corrosion and firm adhesion are unfailing qualities of "SCOTCH" Electrical Tapes. Made to exact standards, every lot of "SCOTCH" Electrical Tape must conform completely with the most rigid requirements before being released for use.
Send for your copy of the new "SCOTCH" Electrical Tapes book today. You'll find it complete and very helpful. The coupon below is for your convenience.
MINNESOTA MINING & MANUFACTURING COMPANY
St. Paul 6, Minn.
Please send us a copy of your new book on "SCOTCH" Electrical Tapes.
Firm_____________________________________________________
Street_____________________________________________________
City_______________________________________________________
Zone_____State_______________Signed_______________________
Title_______________________________________________________
"SCOTCH" IS THE TRADEMARK FOR ADHESIVE TAPE MADE IN U.S.A. BY MINNESOTA MINING & MANUFACTURING COMPANY
For Radio at its Best
Again, when the war is won, we will be on call . . . To DESIGN, DEVELOP and MANUFACTURE . . .
Radio Receivers and Transmitters
Industrial Electronic Equipment
Airport Radio Control Equipment
Marine Radio Telephone Equipment
Your inquiries will receive immediate action.
ISLIP RADIO MFG. CORPORATION
ISLIP, L. I., NEW YORK
To ENGINEERS Looking for Bigger Opportunities
Belmont, a leading radio manufacturer, has immediate and important openings for Senior and Project Electrical Engineers. Also Mechanical Engineers and Designers with Electrical experience. Excellent post-war possibilities.
As one of these men, your immediate job will be to work on high-priority radar and electronic developments for the armed forces. We promise you that the work will be interesting. It will present a constant challenge to ingenuity and ability. And it will bring you in contact with some of the country's foremost engineers.
Write immediately giving full details as to experience and qualifications. If you qualify, you will become associated with a manufacturer who now is engaged 100% in war work, who produced millions of the nation's fine radios in peacetime, and who will be a still more important factor in the radio industry of the future. Contact Mr. Wm. L. Dunn at Belmont Radio Corporation's Chicago plant immediately by wire or telephone, collect.
5921 W. Dickens Ave.
Chicago 39, Illinois
Belmont Radio
RADAR * TELEVISION * FM * ELECTRONICS
KIRKLAND Pioneer INDICATING LAMPS
New D/E Dome Type Lens-Cap with Heavy Walled Deeply Cupped Glass Lens . . . so outstanding that a complete line of Pilot-Lights has been equipped with it.
For Use With the Most Readily Obtainable Lamp Bulbs
Type No. 600 D/E Unit for use with the 86 candelabra screw base lamp on voltage up to 120 volts.
The No. 600 D/E Unit, List Price, (less lamp) $1.25.
Specifications: Mounting hole, 7/8" diameter; overall depth behind the front of the panel 2"; length of threaded area 1 7/16". Underwriters' Approved.
Write for Catalogue
THE H. R. KIRKLAND CO.
MORRISTOWN, N. J.
Craftsmanship by PAR-METAL
When skill of a high degree becomes habitual, and shows up in the smallest detail — that's Craftsmanship!
Having specialized for many years, Par-Metal has this habit of Craftsmanship — expressed throughout the entire line, which ranges from small chassis to housings for huge transmitters.
To get a picture of what Par-Metal can do now (and the post-war possibilities) write for a copy of Catalogue No. 41-A.
PAR-METAL PRODUCTS CORPORATION
32-62—49th STREET . . . LONG ISLAND CITY, N. Y.
Export Dept.
100 Varick St., N. Y. C.
The News About HARVEY is going 'round
Purchasing Agents are saying:
If we need tubes, meters, capacitors, resistors, test equipment, or any other radio and electronic components, what do we do? We call HARVEY—he has 'em!
Wartime Agencies are saying:
If HARVEY can't furnish us with the parts we need, he finds them for us—or gives us something that will fill the bill.
Training Schools are saying:
...and besides, we get extra service from his staff. They know the ins and outs of this priority business, and know how to cut through red tape.
Laboratories are saying:
HARVEY delivers! No time lost on the orders we send to him. That place has good, efficient service.
WHAT THE FIELD IS SAYING IS SO!
WRITE, WIRE OR TELEPHONE HARVEY FOR CRITICAL RADIO AND ELECTRONIC PARTS AND EQUIPMENT!
Telephone: LOnagre 3-1800
RADIO COMPANY
HARVEY
103 WEST 43rd ST., NEW YORK 18, N.Y.
Literature
FM Program Transmission. This is the title of a 12-page brochure released by American Tel & Tel (195 Broadway, New York, N.Y.) in answer to the question of whether the Bell System can provide program transmission channels which will meet the present and future needs of fm broadcasters. The booklet points out that the Bell System already is furnishing studio-transmitter links to the majority of fm stations now in operation. These links transmit a frequency band of 15,000 cycles as specified by FCC. The booklet also states that present broad band carrier telephone facilities can readily be adapted for 15,000-cycle program circuits by adding special terminal equipment. Another statement points out the fact that whether wire or radio links are used to transmit fm programs, the Bell System will use them, citing as evidence of this the A.T. & T.'s projected microwave radio-relay system between New York and Boston. This trial installation was under development before the war, and is intended to test broad-band transmission by radio of various types of communications, including long distance telephone messages and television, as well as broadcast programs. Directed radio beams will operate simultaneously in both directions and be relayed at stations situated about 30 miles apart.
Test Instruments. Such instruments as Model 785 industrial circuit tester, Models 665, 663 and 697 volt-ohm-milliammeters, Model 689 ohmmeter, Model 796 insulation tester, Model 564 volt-ohmmeter, Model 772 analyzer, Model 633 a-c brated for 500-ohm lines with zero level of 6 milliwatts or 1.732 volts. With each instrument a chart is provided which gives interpolation values on lines other than 500 ohms. Test leads are supplied. Dimensions are approximately $5\frac{1}{2} \times 3\frac{1}{2} \times 3\frac{1}{2}$ in.
Weston Electrical Instrument Corp., 617 Frelinguysen Ave., Newark 5, N.J.
A New Impregnating Service
WHICH PROTECTS STEATITE CERAMIC PARTS AGAINST MOISTURE ABSORPTION AND FUNGUS ATTACK
by the use of...
DOW-CORNING FLUID No. 200
This new method for waterproofing ceramic surfaces results in increased electrical resistance and improved performance of equipment under conditions of high humidity and condensation. Application of Dow-Corning Fluid No. 200 to ceramic bodies coats them with an extremely thin film of silicone. It will adhere effectively even when immersed for days in sea water and does not collect dust or corrode metals; nor will it react with organic materials. It has a power factor of the order of .005% and is effective up to 150°C. It also acts as a neutral flux for soldering, and is not removed by contact with organic solvents. For further applications and engineering data write or phone.
Daily PICK-UP AND DELIVERY in METROPOLITAN AREA
* PRODUCTION ENGINEERING CORP.
666 VAN HOUTEN AVE.
CLIFTON, N.J.
April 1945 - ELECTRONICS
The IMPROVED KELNOR electric SOLDERING IRON
about 1/6 actual size; weighs ½ lb.
PATENTS APP. FOR
specially designed for most efficient soldering in the ELECTRONIC, RADIO AND INSTRUMENT manufacturing and repairing fields
Easily solders hard-to-reach connections. Cuts down fatigue, increases accuracy.
ORDER FROM YOUR JOBBER, OR DIRECT. GENERAL OFFICES: CENTRAL TOWER, SAN FRANCISCO 3
KELNOR MANUFACTURING COMPANY
"When Ordering Please Mention Electronics."
Wanted ENGINEERS
Radio
*Electrical
Electronic
*Mechanical
*Factory Planning
Materials Handling
Manufacturing Planning
Work in connection with the manufacture of a wide variety of new and advanced types of communications equipment and special electronic products.
Apply (or write), giving full qualifications, to:
R.L.D., EMPLOYMENT DEPT.
Western Electric Co.
100 CENTRAL AV., KEARNY, N.J.
*Also: C.A.I.
Locust St., Haverhill, Mass.
Applicants must comply with WMC regulations
IF A STANDARD RELAY WILL DO THE JOB—THAT'S THE ONE TO BUY!
Potter & Brumfield Standard Relays will give accurate and precise operation, their rugged construction and wide range of simplified designs fit most standard applications.
Standard Relays reduce overall cost, simplify installation, insure maximum performance. They are made of the finest materials, assembled by skilled hands, and are built to specifications established by long experience in actual use. They are tough, dependable and ECONOMICAL. Standard Relays carry more built-in dollar value than specially designed relays and, being standard production items, deliveries are prompt.
Ask for catalog giving specifications and full range of coil voltages on all types of relays.
Potter & Brumfield Mfg. Co., Inc.
PRINCETON, IND.
105 North 10th St.
CRYSTAL MANUFACTURERS!
Here is a NEW Holder, approved by the Signal Corps.
Featuring new materials and designs, the new Nemco Crystal Holders have easily passed every test to which they have been subjected by the Signal Corps. and crystal manufacturers.
Nemco Holders are designed to prevent deterioration of the crystal by repelling water vapor under tropical conditions.
Because we specialize in the manufacture of Crystal Holders exclusively, we can give you the quality and service to help speed your production.
Write for samples and prices; also request quotations on your requirements for imprinting holders with metallic ink.
New NEMCO N5X in No. 6105 and 592 may be obtained in all types of FT-243 Holders.
NATIONAL ELECTRONIC MANUFACTURING CORP.
22-78 STEINWAY ST., LONG ISLAND CITY, N.Y.
Engineers, please note: 211 TYPES of DIALCO PILOT LIGHTS provide rapid solutions to every problem.
Consider your Pilot Light problem solved! The extensive Dialco line covers every conceivable application—Aircraft, Marine, Electrical, Electronic, Radio, and Industrial. We are geared to supply COMPLETE ASSEMBLIES, housing required. G.E. or Westinghouse Lamps. Special emphasis on NEON applications. Send data for estimates, suggestions, and samples.
Write for CATALOG
DIAL LIGHT CO. of America, Inc.
900 BROADWAY • NEW YORK 3, N.Y.
Telephone: ALgonquin 4-5180-1-2-3
HEXA CON is helping to do the job at Douglas Aircraft
TYPE 350 - for more dependable, faster soldering
Where precision soldering must be accomplished on a production basis, HEXACON Irons satisfy critical requirements. ALL HEXACON irons have replaceable elements and scale-resistant cores. Heating element is housed in damage-proof barrel to prevent mechanical injury.
Literature describing the all-inclusive HEXACON line of screw tip, plug tip and Hatchet type irons—from 40 to 700 watts, and with tip diameters ranging from \( \frac{3}{16} \) to \( 1\frac{3}{16} \)—will be sent on request.
HEXA CON ELECTRIC COMPANY
130 WEST CLAY AVENUE, ROSELLE PARK, NEW JERSEY
IGN-QUALITY LONG-LASTING SOLDERING IRONS
clamp-ammeter. Models 461 and 539 current transformers are described and illustrated in Circular R-24-C, an 8-page booklet entitled "Multi-Range, Multi-Purpose Test Instruments" which are for use in industry, laboratories and schools. Weston Electrical Instrument Corp., Newark 5, N.J.
Technical Monographs. These monographs are a series of booklets available from the Technical Service Dept., of Jensen Radic Mfg. Co., 6601 S. Laramie Ave., Chicago 38, Ill., and are available at 25 cents each. Monograph No. 1 on loudspeaker-response measurements was announced in November 1944 ELECTRONICS. Monograph No. 2 is titled "Impedance Matching and Power Distribution in Loud Speaker Systems." Monograph No. 3 is titled "Frequency Range and Power Considerations in Music Reproduction." No. 4 is called "The Effective Reproduction of Speech."
General Catalog. Nineteen types of measuring instruments are described and illustrated in Catalog No. 45 which also gives a brief summary of the background of Ferris Instrument Co., Boonton, N.J.
Control Instruments. General information as well as circuits and ratings are contained in Bulletin No. 149 which tells about Powerstat variable transformers which are used to obtain continuously variable output voltages from a-c power lines. Bulletin No. 116 describes other types of Powerstats. Superior Electric Co., Bristol, Conn.
Electrical Connecting Devices. A new 32-page catalog, No. 14, illustrates and describes a complete line of multi-contact plugs and sockets, terminal strips, fuse mounts, barrier strips, etc., available from Howard B. Jones Co., 2460 W. George St., Chicago 18, Ill.
Resistor Guide. Technical engineering data giving types, descriptions and specifications on eighteen different resistors is contained in a 4-page folder available from Madison Electrical Products Corp., Madison, N.J.
Electrical Contacts. Standard forms and sizes and typical asHERMETICALLY SEALED TRANSFORMERS
We are completely equipped to build and test these transformers to meet the 5-cycle test. We invite inquiries.
DONGAN ELECTRIC MFG. CO.
2977 Franklin Detroit 7, Mich.
The Dongan Line Since Nineteen-Nine
We Invite Inquiries
ALL-PURPOSE JACKS
One of the many precision radio parts illustrated in the NEW Bud Catalog
| Catalog Number | Circuit Design | Contact Arrangements |
|----------------|----------------|----------------------|
| 1324 | | Open Circuit |
| 1325 | | Closed Circuit |
| 1326 | | 3 Contact Open Circuit |
| 1327 | | Brake Contact on Tip and Ring Springs |
| 1328 | | Separate Make Contact Springs |
| 1329 | | Brake Contact on Tip Spring. Separate Make Contact Spring |
| 1330 | | Brake — Make Contacts on Tip Spring |
These Jacks, although small in size, are among the finest available. The careful design and high quality materials used in these components assure dependable service indefinitely. Circuit opening contacts are made of pure silver. The laminated mica-insulate insulation prevents breakdown between contacts at ordinary voltages. Supplied with panel insulating washers.
Made in the following types, shown at left.
BUD RADIO, INC.
DEPT. C, Cleveland 3, Ohio
Send at no cost one copy of your catalog to:
Name ____________________________
Address _________________________
City ____________________________ State ________
ELECTRONICS — April 1945
assemblies are contained in a 4-page folder, designated as Catalog C-11, which tells about solder-backed contacts manufactured by Gibson Electric Co., 8350 Frankstown Ave., Pittsburgh 21, Pa.
"Know-How" Booklet. "Lear Know-How" is the title of a new booklet which gives a complete story of this manufacturer's equipment in its present and potential uses. Lear, Inc., Piqua, Ohio.
Component Circular. A 2-color, 4-page circular describes relays, switches, condensers, coils and other products made by Comar Electric Co., 2701 Belmont Ave., Chicago 18, Ill.
Components Catalog. Catalog No. 100 contains complete information on many of the radio and electronic components available from Cambridge Thermionic Co., 445 Concord Ave., Cambridge 38, Mass. Products described include terminal lugs, x-ray oriented crystals, u-h-f i-f transformers and pressure and hand-swaging tools.
Wire Catalog. Firewall aircraft wire for aircraft control, power, instrument and lighting circuits is described in a 24-page catalog (Bulletin No. 53-A). Rockbestos Products Corp., New Haven 4, Conn.
Radio Parts and Hardware. Some 500 items consisting of chemicals and hardware for use in radio are described in a 20-page catalog. Walter L. Schott Co., 9306 Santa Monica Blvd., Beverly Hills, Calif.
Coupling Transformer, Plugs and Jacks. Bulletin No. 31 contains data on a rhombic antenna coupling transformer, and on coaxial plugs and jacks. Andrew Co., 363 East 75th St., Chicago 19, Ill.
Background Brochure. The title of this brochure is "Case Book" which portrays the personnel and factory operations involved in the manufacture of Harvey-Wells communications equipment. Illustrations and brief descriptions of various types of instruments available are also given. Harvey-Wells, Inc., Southbridge, Mass.
IN-RES-CO RESISTORS offer unusual post-war PRODUCTION ECONOMIES
Type P-2 and P-4, Illustrated, emphasize the low-cost factor inherent in all custom-designed, high-accuracy IN-RES-CO resistors. Type P-2 has a maximum resistance of 500,000 ohms, standard tolerance of 1/2%, 1/2 watt rating and measures 9/16" long by 9/16" in diameter. Type P-4, also non-inductive, has a maximum resistance of 1 megohm, measures 1" long by 9/16" in diameter, and has 1 watt rating.
Especially suited for precision apparatus and equipment applications, these types are representative of the all-industrial IN-RES-CO wirewound resistor line. Here, engineering ingenuity—plus exclusive manufacturing techniques — can mean substantially lowered costs in post-war plannings.
A note on your company letterhead will bring your copy of the new IN-RES-CO catalog; no obligation.
TYPES P-4 P-2
INSTRUMENT RESISTORS CO.
IN-RES-CO
25 AMITY STREET
LITTLE FALLS, N. J.
April 1945 — ELECTRONICS
CUT HOLES FAST
in radio chassis
No tedious drilling... no reaming... no filing! Saves hours of work. Cuts clean, accurate holes for sockets, plugs, other receptacles. Tool has three parts: punch cuts through chassis, die supports metal and prevents distortion, screw is turned with wrench to cut hole. Sizes for holes 3/16" to 3/8". For complete information write Greenlee Tool Company, 1924 Columbia Ave., Rockford, Illinois.
WRITE FOR FREE FOLDER S-119
Get Ready with Greenlee!
REGISTERED TRADES
GREENLEE
FOR THE CRAFTSMAN
Lavite STEATITE CERAMIC
Properties and Characteristics of Our LAVITE SI-5 Steatite Ceramic Body
| Property | Value |
|---------------------------|------------------------------|
| Compressive Strength | 96,000 lbs per square inch |
| Tensile Strength | 10,000 lbs per square inch |
| Flexural Strength | 10,500 lbs per square inch |
| Modulus of Rupture | 20,000 lbs per square inch |
| Dielectric Strength | 215 volts per mil |
| Dielectric Constant | 6.42 |
| Loss Tangent | .007 |
| Power Factor | .446 |
| Bulk Specific Gravity | 2.5 g/cc |
| Density (Bulk specific gravity) | 0.096 lbs. per cubic inch |
| Hardness (Mohs scale) | 3.0 |
| Softening Temperature | 2,350°F |
| Thermal Expansion Coefficient | 1.0 x 10^-6 /°F |
| Moisture Absorption (ASTM D-1164-42-A) | 0.009% |
Makers of electrical and radio equipment designed for war service have found in LAVITE the precise qualities called for in their specifications... high compressive and dielectric strength, low moisture absorption, and resistance to rot, fumes, acids, and high heat. The exceedingly low loss-factor of LAVITE plus its excellent workability makes it ideal for all high frequency applications.
We will gladly supply samples for testing.
D. M. STEWART MFG. COMPANY
Main Office & Works, Chattanooga, Tenn.
New York Needham, Mass. Chicago Los Angeles
Choice of American Industry for De-Burring and Light Grinding and Finishing Jobs
Foredom Machines are employed in many thousands of manufacturing plants for grinding, finishing, polishing, deburring, milling, cleaning, etc., replacing old-fashioned, time-killing hand methods.
Foredoms are used in 3 key departments,—production—tool room—maintenance. Among the leading industrial plants employing Foredoms are Ford, General Motors, Chrysler, Nash-Kelvinator, Jack & Heintz, Sperry Gyroscope, Bendix, Westinghouse, etc.
Models from $17.50 to $48.75. Catalog No. 45 shows complete line and many uses,—may point the way to solving some of today's production and maintenance problems. Write for your copy.
Another Foredom Time-Saver
GRINDING KIT
Model 111
One of Foredom's complete line of versatile grinding and grinding kits preferred by so many plants for emergency or special production needs. You too will find it pays to spot them liberally about your plant. A belt-size grinder is ideal for getting to tight corners for touch-up production settings. Complete with accessories $23.50.
Order from your regular Dealer or direct
Foredom Electric Company
27 Park Pl., New York 7
Please send us your new catalog showing the different uses of Foredom Flexible Shaft Machines.
Name ...........................................
Address ..........................................
City ............ State .........................
NEW BOOKS
Vibrator Analysis
By N. O. Myklestad, Research Associate, Guggenheim Aeronautical Laboratory, California Institute of Technology, McGraw-Hill Book Co., Inc., New York, 300 pages, price $3.50.
RARELY DOES the dean of an engineering science take time out from his research to publish a text expressly written for the uninitiated. However, Mykelstad has presented the fundamentals and analytical methods for studying vibration with especial care to define terms so that the beginner will not be misled or confused.
Undamped and damped vibrations, free and forced vibrations, and vibrations of several degrees of freedom both translational and rotational are discussed. The final chapter culminates in an analysis of flutter of propeller blades. Each section contains problems with answers as well as illustrative examples and solutions.
To the electrical engineer the mathematics of these mechanical vibrations will readily be recognized as that of transient circuit analysis, except for the different symbols and their physical significance.—F.R.
British Standard Glossary of Terms Used in Telecommunication
B.S. 204: 1943, published by British Standards Institution, 28 Victoria St., London, S.W.1, 107 pages, price 3/6. Also available from American Standards Association, 70 East Forty-fifth St., New York 17, N. Y. (price $1.25).
THIS SECOND REVISION (first published in 1924; first revision in 1930) of one of the few authoritative glossaries of electronic terms in print defines with British terminology the technical terms used in speech testing and acoustics; in transmission practice; in vacuum-tube design and use; in cathode-ray tube applications; for electrical characteristics of transmission circuits and equipment; in telegraphy, telephony, radiocommunication, television, and radio direction-finding; and for fire alarms.
According to H. M. Turner, past-president of IRE, who reviewed the standard in Industrial Standardiz"SEALOL"
THE BALANCED PRESSURE SEAL
FOR ANY ROTATING SHAFT
ABSOLUTELY SEALS GASES AND LIQUIDS
OVER WIDE RANGE OF PRESSURES & SHAFT SPEEDS
The Balanced Pressure feature of this compact seal insures perfect sealing with minimum power loss and frictional heating, whether the fluid is under pressure or vacuum.
Available with or without retainer cup, for shaft sizes from 1/4" up, and in various constructions to meet specific needs.
Send complete information for recommendations
Bulletin on request
SEALOL CORPORATION
45 Willard Avenue, Providence 5, R. I.
Baltimore Chicago Cleveland Detroit Los Angeles New York Rochester
NOW IN USE ON MANY ELECTRONIC DEVELOPMENTS
Investigate
SICKLES
BROADCAST BAND
PUSH-BUTTON UNIT
to Simplify Small Set Design
Smaller than any previously made is the Sickles Broadcast Band Push-Button Oscillator assembly with an antenna coil trimmer.
The assembly shown has a fixed oscillator padder condenser and six oscillator coils, each tuned by screw type iron cores.
A product of
The F. W. Sickles Co.
LARGEST LINE OF
Underwriters' Approved and Listed
PILOT LIGHT ASSEMBLIES
Gothard has established a policy for the approval of all leading Pilot Light Assemblies in the Gothard Line to meet the ever increasing demand for approved component parts. This feature, plus such Gothard developments as rigid, non-short terminals, generally higher standards in light dispersion, and special engineering service for unusual requirements is your guarantee of maximum efficiency and lasting quality in every Gothard Assembly.
GOTHARD NO. 1216 NEON LIGHT ASSEMBLY
Designed especially to accommodate the low cost NE-45 Neon Lamp, this assembly is particularly suited to continuous operation—to indicate equipment is "ON". The NE-45 lamp has an approximate life span of 3000 hours as compared to the 500 hour lifetime of the ordinary lamp. An unbreakable lucite protective cap, designed and made for Gothard exclusively, provides perfect light dispersion of the warm neon glow in all directions. See catalog for details.
FOR HEAT DISSIPATION
under all conditions of temperature and climate
L-R Blowers produce maximum C.F.M. with minimum space and weight. Lightweight, high-impact plastic housings. Turbo-type wheels. Clockwise or counterclockwise rotation.
Model 1½
Weight (less motor): 8 oz.
Output: 15 C.F.M. at 8000 R.P.M.
Height: 3"
Model 2
Weight (less motor): 4½ oz.
Output: 25 C.F.M. at 8000 R.P.M.
Height: 5¾"
Model 3
Weight (less motor): 12 oz.
Output: 860 C.F.M. at 8000 R.P.M.
Height: 6½"
IT'S NEW
Model 3½
Weight: less motor; 3½ oz.
Output: 50 C.F.M. at 8000 R.P.M.
Height: 4½"
L-R BLOWERS
LIGHT • COMPACT • EFFICIENT
L-R MANUFACTURING COMPANY Division of
The RIPLEY Company
TORRINGTON, CONNECTICUT
Dictionary of Engineering and Machine Shop Terms
By A. H. SANDY, Instructor and Lecturer, Borough Polytechnic, London. American edition published by Chemical Publishing Co., Brooklyn, N. Y., 1944, 153 pages, $2.75.
COMPILED IN THIS HANDY volume are the definitions of many important terms used in machine shops, industries and engineering literature, as gathered by the author during many years of experience both in industry and as a lecturer. Its clear and simple language will make this dictionary useful not only for engineers and students of engineering, but also for foremen and specialized workmen of the various shops and industries. Electronic engineers concerned with production problems will find here in convenient form the definitions of many unfamiliar terms.
What are Cosmic Rays?
By PIERRE AUGER, Ecole Superieure Normale, Paris. University of Chicago Press, Chicago 37, Ill., 1945, 150 pages, $2.
THE AUTHOR HAS written primarily for an educated scientifically-inclined public who want to be familiar with current developments in science without having to acquire a knowledge of physics and mathematics. The subject is not one in which the average layman can find interest, however, for three reasons: first, cosmic rays have not yet been put to practical use; second, no effect on humanity has yet been discovered; and third, they are still a scientific curiosity of unknown origin and value, at least as far as the book discloses. On the other hand, however, the fact that scientists have during the past 40 odd years gone to the ends of the earth, miles above the earth, into deep mines in the earth, and...
Transformer Engineers
Designers
Draftsmen
Technicians
Transformer experience essential!
Top Flight Salary
Good Post-War Future
Write
Hudson American Corp.
25 West 43rd Street
New York 18, New York
They Save Power, Last Longer, Have Wider Voltage Range!
DRAKE Patented NEON Assemblies raise miniature jewel lighting to new heights of economy and efficiency! Power consumption is only 1/25 watt . . . length of life 3000 hours . . . voltage range 105 to 125 volts! No. 50N offers a \( \frac{3}{4} \) smooth, clear jewel. Red glass jewel also available. The No. 51N without jewel applies where 180° visibility is desired. These popular patented Drake Assemblies are shipped complete with built-in Resistors and NE51 Neon Lamps.
Drake Patented features have been widely-copied. Get the original . . . specify "DRAKE".
Socket and Jewel Light Assemblies
DRAKE MANUFACTURING CO.
1713 WEST HUBBARD ST., CHICAGO 22, U.S.A.
New INLAY PROCESS
ELIMINATES NAME PLATES ON FRONT PANELS
A proven method for placing durable characters on metal panels, chassis, etc.
★ Inlaid baked enamel characters, protected by background finish; resistant to abrasion and salt spray; guaranteed to pass 50 hour salt spray test.
★ Front panel will match finish of cabinets.
★ Recommended and endorsed by scores of manufacturers of electronic, sound and communication equipment.
PROMPT DELIVERIES—Send us your bare fabricated steel and within two weeks we will return it finished and marked to your complete satisfaction.
ALSO . . .
SILK SCREENING on front panels and chassis, either metal or plastic. Sharp clear characters durably printed on finished or unfinished surfaces.
SCREENMAKERS
64 FULTON STREET • NEW YORK 7, N.Y.
Tel.: REctor 2-9867
How Dan, the draftsman, calmed his "pencil nerves"!
Dan's "pencil nerves" were the sad result of uncertainty. No uniformity in his drawing pencils—the draftsman's nightmare!
"Take it easy, Dan," we said, "take an Eldorado! Here's a pencil a man can rely upon. It's uniform in all 17 degrees. So accurately graded one HB is always the twin of another HB. Eldorado has grit-free, non-crumbling, non-feathering leads that stand up under pressure and produce dense, sharp lines. How about trying it?"
He did. And Typhonite Eldorado cured his "pencil nerves", improved his work and opened his eyes. "Say," he said, "this pencil's great! Pass the good word along." So—try Eldorado yourself!
DIXON'S TYPHONITE ELDORADO
Pencil Sales Dept. 59-J4, Joseph Dixon Crucible Co., Jersey City 3, N. J.
NOTE: The price of "Theory and Application of Electron Tubes", Second Edition, by H. H. Reich, is $5.00 as stated in the Dec. 1944 issue of ELECTRONICS and not $4.50 as erroneously given in the Jan. 1945 issue.
JONES BARRIER TERMINAL STRIPS
Bakelite Barriers placed between Terminals increase the leakage path and prevent direct shorts from frayed wires at Terminals. Terminals and screws are of nickel plated brass. Insulation is of BM 120 molded Bakelite.
Illustrated are three types: Screw Terminals, Screw and solder Terminals and Screw Terminal above panel with solder Terminal below. For every need.
Six series cover every requirement:
No. 140 — 5-40 screws. No. 141—32 screws. No. 142—8-32 screws. No. 150—10-32 screws. 151—12-32 screws and No. 152—¼-28 screws.
These sturdy Terminal Strips will not only improve your electrical connections but will add considerably to the appearance of your equipment. A truly modern Terminal.
Write today for catalog No. 14 listing our complete line of Barrier Strips in addition to other Electrical Connecting Devices.
HOWARD B. JONES COMPANY
2460 W. GEORGE ST. CHICAGO 18
BAKELITE SHEETS, RODS AND TUBES
We can furnish Army and Navy specification materials from our representative local stocks. On special mill shipments we can give prompt delivery. Also complete fabrication service backed by 20 years of experience.
ELECTRICAL INSULATION CO., INC.
12 Vestry St., New York 13, N. Y.
SCREWS
Just "knowing how" is not enough.
Only to a few is granted that combination of experience, organization and equipment which sets them apart as specialists.
We can rightfully claim that distinction — we are specialists in screw production. If you have a special screw problem, consult us.
NEW ENGLAND SCREW CO.
KEENE, NEW HAMPSHIRE
MACHINE SCREWS PLASTIC INSERTS
SHEET METAL SCREWS HOLDING PINS
MACHINE SCREW NUTS SPECIAL RIVETS
ALL TYPES OF HEADS AND THREADS
NORCO Electronic Communication Components
SPECIAL COILS
Advanced design. Finest quality materials. Precise construction. High operating efficiency. Used for high Q reactors, 400-cycle aviation instrument, test equipment, special relays, or other devices requiring better quality coils.
NORTHERN COMMUNICATIONS MANUFACTURING CO.
210 EAST 40th STREET NEW YORK 16, N. Y.
Manufacturers of Transformers • Special Coils • Reactors • Sound Systems Recorders • Equalizers • Full Range Phonograph • Coaxial Transmission Lines
Precision engineered for electronic requirements
QUADRIGA Quality WASHERS
Special, Flat, Tension and Spring, Formed and Drawn, Cupped and Finishing, Wire Terminals, etc. Any quantity. Prompt delivery. Also SMALL STAMPINGS, any design. Send specifications for quotations.
Ask for Quadriga Catalog
Photos show samples of Quadriga superiority. Tables, data, valuable information. Wire or write.
THE QUADRIGA MANUFACTURING CO.
Incorporated 1894.
221A West Grand Ave., Chicago 10, Ill.
Backtalk
This department is operated as an open forum where our readers may discuss problems of the electronics industry or comment upon articles which ELECTRONICS has published.
Who Invented the Electron Microscope?
Dear Sirs:
Mr. L. A. Austrian, in his letter on page 380 of your December 1944 issue, has evidently mistaken the Ultra Microscope, invented in 1902 by H. Siedentopf and R. Zsigmondy, for the Electron Microscope which was invented nearly thirty years later and was then industrially developed in Germany and in this country.
The Ultra Microscope makes use of visible light, illuminating sub-microscopic particles transversely to the direction of vision and thus forming an image consisting merely of irregular points, without any definition.
The other reference of Mr. Austrian with respect to the Electron Microscope contains inter-German polemical material all of a later date than the priorities of the U.S. Patents of Dr. Rüdenberg cited by me, which are of May 30, 1931. Hence I referred* to this scientist as the true inventor of the Electron Microscope. In his basic patents this modern instrument is described for the first time with all the fundamental and necessary details. Usually we call the originator of such patents the inventor of the new device.
Harry Stockman
Gruft Laboratory, Harvard University
Cambridge, Mass.
(1) Ann. d. Phys., 10, p. 1, 1903.
(2) Electronics, p. 362, Mar., 1944.
Cold-Water Cure
Dear Mr. Henney:
UNPREPARED LISTENERS confronted with high and low fidelity reproduction and asked to choose between them will invariably choose the low fidelity. The reasons are many but are mainly those mentioned in your editorial on the subject.
Prior to the war this preference
We manufacture a complete line of equipment
8000 TRANSFORMERS, 1/4 to 50 KVA
TRANSFORMERS, special and standard types
INCANDESCENT LAMP manufacturing equipment
FLUORESCENT LAMP manufacturing equipment
AC ARC WELDERS From 100 to 400 Amps.
ELECTRONIC EQUIPMENT, vacuum pumps, etc.
WET GLASS slitting and cutting machines for laboratory use
GLASS BLOWING, glass blowing and burners
COLLEGE GLASS working units for students and laboratory
Kahle Engineering Co.
731 So. 13th St. (near Avon Ave.) Newark, New Jersey
YOUR NEW FREE CATALOG IS READY FOR YOU!
Radionic's Catalog No. 26 lists hard-to-get radio parts! Helps you fill your radio and electronic needs. All are in stock, ready for immediate shipment. All are highest quality. All are exceptional values.
SEND TODAY FOR YOUR FREE COPY TO
Dept. 5A
Radionic Equipment Co.,
Chancellors' Products
170 Nassau Street, New York 7, N.Y.
Strip Insulated Wires QUICKER... BETTER with "Speedex" AUTOMATIC WIRE STRIPPER ... Speeds Production Strips insulation from any type of wire instantly, easily, perfectly. Just press the handles and the job is done. Cuts wire too. Strips to 1000 feet per hour. Available for all size solid or stranded wires —No. 8 to No. 30. List Price $6.00. Write Dept. E for Full Particulars
GENERAL CEMENT MFG. CO.
Rockford, Illinois, U.S.A.
MORE RF KILOWATT HOURS PER DOLLAR WITH F & O TRANSMITTING TUBES
Inquiries Invited—Let us explain how Savings are effected and the F & O greater guarantees.
Freeland & Olschner Products Inc.
611 Baronne St., New Orleans 13, La.
Raymond 4756
High Power Tube Specialists Exclusively (1/4 To 100 KW)
Electron Tube Machinery of every type,—standard, and special design
Specialists in Equipment for the manufacture of Radio Tubes, Cathode Ray Tubes, Fluorescent Lamps, Incandescent Lamps, Neon Tubes, Photo Cells, X-ray Tubes and other glass and electronic products, on production or laboratory bases.
Kahle Engineering Company
1307-1309 Seventh St., North Bergen, N.J.
MICROMETER FREQUENCY METER for checking Transmitters from 1.5 to 56 mc. within 0.01 per cent
Lampkin Laboratories
Bradenton, Fla., U.S.A.
FINE RIBBONS OF TUNGSTEN and MOLYBDENUM Making quality products in our laboratories, Tungsten and Molybdenum ribbon, the chief requisites to effective collaboration with the Engineering needs of the Electronic Industry
A development of H. Cross Co.
15 Beekman St., New York 7, N.Y.
BOTTLENECK REMOVER
Have you soldering problems? Do you use or make hermetic seals? Does your electro-tin plate oxidize and refuse to solder?
If so, let me help you. There is a new development in the art of hot tinning. A new development that requires no acid, no alkali, no corrosive flux. A new development that has undreamed of possibilities.
For further information send your problem and samples, if possible, to:
DON FOSTER
30 BURNS AVENUE, WYOMING 15, OHIO
NATION-WIDE MAIL ORDER DISTRIBUTORS SINCE 1928
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RADIO AND ELECTRONIC DEVICES For...
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BURSTEIN-APPLEBEE CO.
1012-14 McGEE ST.
KANSAS CITY 6, MISSOURI
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sleeveless type
TUNGSTEN LEADS
PRODUCED FROM CONTINUOUS SPOOLS OF WIRE, STRANDED OR SOLID, ASSURING OVERALL UNIFORMITY. EACH TINY WIRE OF THE STRANDED CABLE IS POSITIVELY FUSED TO THE TUNGSTEN.
write for details & samples
GLENDALE VACUUM PRODUCTS CO.
8816-77th Ave. Brooklyn 27, N.Y.
Free!
RADIO & ELECTRONIC TEST EQUIPMENT AVAILABILITY BULLETIN
Contains detailed descriptions of models we're now making.
We manufacture Volt-Ohm Milliammeters, Insulation Testers, Signal Generators and Tracers, Industrial Analyzers, Voltage Testers, etc.
SUPERIOR INSTRUMENTS CO., Dept. 157
227 Fulton St., New York 7, N.Y.
for low fidelity reproduction was a real problem to me in manufacturing and trying to sell (at fancy prices) high fidelity reproducers. The answer to it was very simple.
The prospective customer was asked to sit and listen to a specially doctored amplifier in which the frequencies between about 2,000 and 5,000 were boosted somewhere between ten and twenty db. The sound was pretty bad, and it was often difficult to make the victim sit through a whole twelve inch record.
But after he had submitted to this torture he was asked to listen to a well-balanced high fidelity reproduction of the same record. This he found extremely pleasing until suddenly in the middle of it we turned the tone control full on, cutting out everything above about 3500 cycles in the manner of the best commercial consoles. His disgust at this effect was as great as his horror of the distortion in the other direction.
By this roundabout process we at least sold our reproducers, and to the best of my knowledge all our customers have remained sold on them. Perhaps the method was not a fair test of listener preference but it was the only simple and quick way of removing the long "wash-tub" conditioning to which commercially available radios had subjected him.
SUTHERLAND MACKLEM
Inspection Board of United Kingdom and Canada
Ottawa, Ont., Canada
On the House
Dear Mr. Henney:
WOULD IT BE POSSIBLE to insert a correction notice into an early issue of ELECTRONICS in regard to the following typographical error in my article, Relays in Industrial Tube Circuits, Jan. 1945.
On the 4th and 3rd lines from the bottom in the left column of page 187 it reads:
\[ G_m' = G_m r_p \left( r_p + R_1 \right) \]
This should read:
\[ G_m' = G_m r_p / \left( r_p + R_1 \right) \]
Of course, this error would not fool an expert, but I feel, that its correction would be in line with the high standard of ELECTRONICS.
ULRICH R. FURST
Chicago, Ill.
WANTED
V. H. F. or U. H. F. ENGINEER
For design and development of Army-Navy Electronic Equipment. The position offers an excellent opportunity with a well-established and expanding company in Connecticut, employing over 100 personnel. The company's big postwar program in the industrial electronics, audio and aircraft communication fields assures a continued opportunity to engineering personnel for advancement.
P-810, Electronics
330 W. 42nd St., New York 18, N. Y.
A Present and Future For An ELECTRICAL-MECHANICAL ENGINEER
Leading Philadelphia area producer of electronic components seeks the services of an experienced engineer. The man we're looking for should be familiar with the design and development of small parts. Accuracy is of utmost importance and a knowledge of modern mass production methods will prove helpful.
For the right man a real future is assured. Please give full information as to qualifications and salary requirements in your first letter.
Address replies to
P-816, Electronics
330 W. 42nd St., New York 18, N. Y.
Senior Electronic Engineers
Preferably graduates of communication engineering courses are required for designing receiving-type electronic equipment covering all frequency ranges, and other specialized electronic apparatus. Design experience necessary, and knowledge of production is desirable. Excellent post-war opportunities. Salary open. Requirements urgent. Proof of citizenship and certificate of availability are necessary. Write giving detailed qualifications, and if satisfactory, interview will be arranged at our expense.
Submarine Signal Co.
Dept. 420
175 State St. Boston, Mass.
WANTED
TRANSFORMER & SMALL ELECTRIC MOTOR MEN
ENGINEERS
DESIGNERS
DRAFTSMEN
TECHNICIANS
For war time and post-war design and development of intermediate, high-frequency second transformers, and special purpose fractional h.p. motors.
Write giving details about age, experience, past salaries to
SPERRY
GYROSCOPE COMPANY, INC.
Research Laboratories
Stewart Ave. & Clinton Rd.
Garden City, New York
RADIO ENGINEERS
Medium-sized, progressive, Midwest manufacturer has openings for one senior and two junior engineers. Desire men for work on military projects now who will be adaptable later to postwar engineering. Prefer men with experience in radio receiver or television laboratory, and with college education in communication engineering. Our staff knows of this advertisement.
P-798, Electronics
520 No. Michigan Ave., Chicago 11, Ill.
(Additional Employment Advertising on Pages 340, 407, 415, 423, 425, 433, 440 & 441)
Wanted
ELECTRONIC ENGINEERS
We are offering permanent positions to a few Electronic Engineers or Physicists. This is an unusual opportunity for men who possess adequate educational background, originality and initiative to join a well established and growing organization engaged in research and development relating to motion picture equipment, television, and marine instruments. Write full particulars relative to education and experience, so that we can arrange an interview for you.
INTERNATIONAL PROJECTOR CORPORATION
92 Gold Street
New York 7, N. Y.
WANTED
PRODUCT ENGINEERS
A progressive manufacturer of electrical products needs five product engineers to do trouble shooting, shrinkage analysis, materials engineering, etc.
Applicants for these positions should have a degree in either electrical engineering or physics and at least five years' engineering experience of an important nature, requiring the use of independent judgment and thoroughgoing analysis of electrical engineering problems.
Early interviews will be arranged for qualified applicants furnishing full details regarding age, education, experience and salary requirements.
P-800, Electronics
330 West 42nd St., New York 18, N. Y.
WANTED
MECHANICAL ENGINEERS
POWER TUBES
New York City laboratory of national electronic manufacturing concern has a position for a mechanical engineer who has general tool knowledge and working knowledge of impact on cantilever structures to supervise the mechanical design of power tubes.
The engineer for this position should have experience in the scientific machine design or small machine drafting experience. Any experience in the manufacture of power tubes will be particularly valuable. This opening will demand the best in initiative and ability and should prove to be an excellent stepping-stone in the career of a qualified engineer.
Please reply giving qualifications, experience, and salary desired to
P-802, Electronics
330 W. 42nd St., New York 18, N. Y.
WANTED
ELECTRONIC AND AUDIO ENGINEER
For key position in a small but nationally known concern with unusual post-war possibilities. Liberal salary and chance for advancement. Qualifications: E. E. degree with practical experience in design of radios, amplifiers, and electro-acoustic equipment.
P-812, Electronics
330 W. 42nd St., New York 18, N. Y.
for confidential interview, stating qualifications, experience, any patents, or personal background.
ENGINEERS WANTED
by Large Radio Manufacturer
for its Midwest Plant
I. R. F. and I. F. Coil design engineer with knowledge of powdered iron cores for tuning, an important function involving coordination of supervision of other engineers. Man must be engineering graduate or have equivalent experience in permeability tuning systems.
2. Vibrator Power Supply engineer, thoroughly familiar with design of rectifiers, synchronous and non-synchronous, and associated transformer and filter circuits. Engineering graduate or equivalent experience. Write details on education and background to Dept. 56, Box 429, Grand Central Station, New York 17, N. Y.
THE WAR RESEARCH LABORATORY
of the
UNIVERSITY OF FLORIDA
Gainesville, Florida
offers opportunities combining favorable living conditions, educational advantages and participation in development work of high priority for the armed forces to radio engineers, radio service men, radio technicians, mechanical engineers, radio physicists, mechanics, tool makers, draftsmen and photographers.
WANTED
VACUUM TUBE DESIGNER
An Eastern manufacturer has an attractive opportunity for a graduate physicist or electrical engineer with several years of practical experience in vacuum tube design. It is necessary that applicants have sufficient production experience to develop designs which will improve quality and reduce cost through lowered shrinkage. Furnish full details regarding experience, education, age, and salary requirements.
P-799, Electronics
330 West 42nd St., New York 18, N. Y.
WANTED
ENGINEER
and
DRAFTSMAN
Engineer with good general radio knowledge and good knowledge of fundamentals of electricity for work as designing engineer on power and audio transformers.
Draftsman with good mechanical sense and as much radio knowledge as possible for work on transformer development and production.
DINION COIL CO., INC.
Attn: Lincoln Welsh
Caledonia, N. Y.
WANTED
ELECTRICAL ENGINEER
POWER TUBES
Nationally known manufacturer of electronic tubes has an opening for a skilled electrical engineer with power transmission or general radio circuit experience. The work will be to supervise and design circuits for power tube tests and applications.
The work is not of a routine nature and ideal for an opportunity for a young, capable and resourceful engineer. Location New York City.
Please send sufficient information relative to age, education, experience, and salary desired to warrant an early interview.
P-803, Electronics
330 W. 42nd St., New York 18, N. Y.
RADIO ENGINEERS WANTED
Top radio design engineer wanted. Also juniors. Work reception, etc. Post war home, radios, short wave, television, electronic tubes, etc. Prospectus showing medium sized N. Y. radio mfr. Send complete data. We pay highest salaries to good producers.
P-774, Electronics
330 W. 42nd St., New York 18, N. Y.
JUNIOR RADIO ENGINEERS
Prefer: drafting, mechanical experience; six years or more practical design experience. Splendid opportunity with growing N. Y. radio tube manufacturers.
P-782, Electronics
330 W. 42nd St., New York 18, N. Y.
SEARCHLIGHT SECTION
SENIOR RADIO ENGINEERS
Project development engineering positions open with excellent postwar future assured. Salaries open. Confidential inquiries respected. International Detrola Corporation.
P-734, Electronics
520 N. Michigan Ave., Chicago 11, Ill.
ELECTRONIC ENGINEERS!
War-Winners Today, Post-War Builders Tomorrow!
Leaders in NATIONAL UNION RADIO CORPORATION'S staff of engineers, scientists and technicians have brought us far out in front in the electronics industry. We have a research laboratory and two manufacturing plants in Newark, N. J., and a manufacturing plant near Philadelphia, Pa. We invite you to consider your opportunities with us for professional advancement, stimulating, friendly associations, and a future with promise.
NATIONAL UNION NEEDS:
SENIOR TUBE ENGINEERS: These men MUST have actual experience with radio tube manufacture. The pay and opportunities are commensurate with your ability.
COMMERCIAL ENGINEERS: Engineers interested in developing electronic tube applications, who may represent us among radio manufacturers upon occasion.
QUALITY CONTROL MEN AND WOMEN: Here you need an interest in the practical application of statistical and/or engineering procedures to many factory processes.
TEST EQUIPMENT ENGINEERS: Men experienced with meters or electronic test equipment to work either as TEST EQUIPMENT DESIGN ENGINEERS or as MEASUREMENT LABORATORY ENGINEERS.
JUNIOR ENGINEERS—MEN AND WOMEN: Do you have a college degree in Physics, Electrical Engineering, Chemical Engineering, Mechanical Engineering, Mathematics or Chemistry? This company offers an opportunity for young, ambitious graduates to assume responsibilities and to exercise initiative.
FOREMEN AND ASSISTANT FOREMEN: Men experienced in radio or radio tube manufacture to supervise exhaust, stem or grid operations.
TECHNICIANS, CIRCUIT MEN: Have you been a radio ham, or have you built or repaired radios? Have you studied radio in the Services? We need men who can read circuit diagrams and do wiring and construction.
WOMEN!
We have a number of fine young women engineers with us now. We need more. If you have a degree in Electrical Engineering, Chemical Engineering, Mechanical Engineering, Physics, Chemistry or Mathematics and are seeking career opportunities, investigate.
If you have thorough training in your field, as evidenced by job experience in radio or allied industries, or by a college degree—if you have ambition, initiative and resourcefulness—if you have the ability to inspire your co-workers, then...
Telephone or Write
DR. L. GRANT HECTOR
Director of Engineering
NATIONAL UNION RADIO CORPORATION
Plane St. at Raymond Blvd.
Newark 2, New Jersey
WMC RULES OBSERVED
JOB with post-war future
available for junior chemical and electrical engineer with company now doing important war work.
Give salary requirements and education or experience.
P-811, Electronics
330 West 42nd St., New York 18, N. Y.
WANTED
RESEARCH ENGINEERS
Prominent radio and electronics manufacturer located in Midwest has immediate openings for three research men preferably with engineering background, on post-war problems in electrical and electronic fields. Confidential inquiries respected.
P-816, Electronics
520 N. Michigan Ave., Chicago 11, Ill.
Permanent Employment
ELECTRONIC DEVELOPMENT ENGINEERS
Well-established Eastern Massachusetts concern desires graduate electronic engineers with flair for research and eye to future. Permanent position concerned at present with important development work for government with increased opportunities after the war. Unusual openings for men with capacity and initiative. Must be U. S. Citizens.
P-470, Electronics
330 W. 42nd St., New York 18, N. Y.
WANTED
ASSISTANT CHIEF ENGINEER
Mid-west radio-electronics manufacturer, engaged exclusively on electronic war projects at present, requires experienced engineer to assume complete supervision of post-war development of home and auto radio receivers. Television receiver experience desirable but not essential. All inquiries confidential. Write
P-814, Electronics
520 N. Michigan Ave., Chicago 11, Ill.
-70° C in 20 minutes
From room temperature to -70° C is NORTHERN'S latest achievement... We have built many test chambers which reach even lower temperatures but this problem required flight similitude program control to simulate an airplane ascent and descent... we did it. PROGRAM-CYCLE-CONTROLLED TEST CHAMBERS make life testing under HUMIDITY LOW TEMPERATURE and VACUUM conditions a simple matter.
LET US SOLVE YOUR TEST PROBLEM.
See our advertisement on Control Cabinets—page 410
NORTHERN LABORATORIES LTD.
3-01 27th Ave., Long Island City, New York
FRANK MASSA
ELECTRO-ACOUSTIC CONSULTANT
DEVELOPMENT PRODUCTION DESIGN PATENT ADVISOR
Magnetostriction and Piezoelectric Transducers
Dynamic and Magnetic Vibrating Systems
Loud Speakers, Microphones, Headphones
Sound Powered Telephones
Under Water Sound
Hearing Aids
Supersonics
Electro-Acoustic and Electro-Mechanical Instruments
Acoustical Laboratory Design and Techniques
3393 DELLWOOD ROAD
CLEVELAND HEIGHTS 18, OHIO
UNIFORM and ACCURATE
* Star Steatite
Whether carefully molded on manually operated presses, or produced on high pressure hydraulic extrusion presses, the Steatite pieces made by STAR are of uniform and accurate dimensions at all times. Write us for further characteristics of STAR Steatite.
THE STAR PORCELAIN CO.
ELECTRONICS DEPT.
TRENTON, N. J.
Premax Antennas
Tested in War... Ready for Peace
The story of Premax in action... Photos... Diagrams... Commercial, Military, Amateur... Just off the press.
Premax Products
Division Chisholm-Ryder, Co., Inc.
4502 Highland Ave., Niagara Falls, N. Y.
STAMFORD METAL SPECIALTY CO., 428 BROADWAY, N. Y. 13
Metal Work of Every Description
## INDEX TO ADVERTISERS
| Advertiser | Page |
|-------------------------------------------------|------|
| Acheson-Colloids Corporation | 77 |
| Acme Electric & Mfg. Co. | 430 |
| Acme Radio Corp. | 251 |
| Aerovox Corporation | 242 |
| Air Reduction | 340 |
| Aircraft & Diesel Equipment Corp. | 366 |
| Airfield Products, Inc. | 366 |
| Airone Manufacturing Corp. | 15 |
| Albion Coil Co. | 325 |
| Allegheny Ludlum Steel Corp. | 189 |
| Allis Control Co., Inc. | 187 |
| Allied Radio Corp. | 184 |
| Allyn Instruments | 240 |
| Amalgamated Radio Television Corp. | 184 |
| American Electrical Heater Co. | 394 |
| American Gas Accumulator Co. | 344 |
| American Metal Chemical Co. | 344 |
| American Lava Corporation | 245 |
| American Lens Co., Inc. | 60 |
| American Platinum Corp. | 406 |
| American Screw Co. | 30 |
| American Steel Products, Inc. | 391 |
| American Transformer Co. | 23 |
| American Type Founders | 289 |
| Ampexer Electronic Corporation | Inside Front Cover |
| Ampertite Co. | 196 |
| Anacorda Wire & Cable Co. | 197 |
| Ando Electric Co. | 294 |
| Ansonia Electrical Co. | 341 |
| Arkwright Finishing Co. | 286 |
| Arrows Engineering Co. | 286 |
| Associated Research, Inc. | 374 |
| Astatic Corporation | 236 |
| Atlas Wire Corp. | 247 |
| Audak Co. | 245 |
| Audio Development Co. | 380 |
| Audio Devices, Inc. | 251 |
| Auto Engraving Co. | 215 |
| Automatic Electric Sales Corp. | 40 |
| Automatic Mfg. Corporation | 222 |
| Aviometer Corporation | 521 |
| Bakelite Corporation | 185 |
| Ballantine Laboratories, Inc. | 310 |
| Barker & Williamson | 124 |
| Belden Mfg. Co. | 241 |
| Bell Sound Systems, Inc. | 368 |
| Bell Telephone Laboratories | 368 |
| Belmont Radio Corporation | 423 |
| Bendix Aviation Radio Division | 277 |
| Bentley, Harris Mfg. Co. | 277 |
| Benwood Linze Co. | 272 |
| Best Manufacturing Co., Inc. | 403 |
| Biddle & James Co. | 339 |
| Blaw-Knox Co. | 339 |
| Boonton Radio Corp. | 326 |
| Bradley Instrument, Inc. | 34 |
| Brand & Co., William | 34 |
| Brezee Corporations, Inc. | 227 |
| Brinkman Mfg. Co. | 402 |
| Browning Laboratories, Inc. | 297 |
| Bruning Co., Inc., Charles | 304 |
| Brush Electric Company | 287 |
| Bud Radio, Inc. | 287 |
| Burgess Battery Co. | .258 , 390 |
| Burndy Engineering Co. | 217 |
| Burstien-Appelbe Co. | 457 |
| Callite Tungsten Corp. | 58 |
| Cambridge Thermionic Corporation | 308 |
| Cannon Electric Development Co. | 168 |
| Capacitor Company | 274 |
| Carling Radio Engineering Institute | 274 |
| Carborundum Mfg. Company | 276 |
| Cardwell Mfg. Corp., Allen D. | 376 |
| Carter Metal Co. | 374 |
| Celanese Corp. of America | 201 |
| Cellusuede Products, Inc. | 374 |
| Centralab, Inc. | 409 |
| Centralab, Div. of Globe-Union, Inc. | 78 |
| Chace Co., W. M. | 306 |
| Chester Mfg. Co. | 306 |
| Chicago Metal Hose Corp. | 318 |
| Chicago Telephone Supply Co. | 59 |
| Chicago Telephone Corp. | 147 |
| Cinematograph Corporation | 399 |
| Cinch Mfg. Corp. | 147 |
| Clare & Co., C. J. | 32 |
| Clarostat Mfg. Co., Inc. | 356 |
| Cohn & Co., Sigmund | 336 |
| Cole Street Equipment Co. | 284 |
| Collins Radio Co. | 13 |
| Columbia Wire Supply Co. | 431 |
| Communication Measurements Laboratory | 342 |
| Communication Research Corp., Inc. | 330 |
| Communications Company, Inc. | 330 |
| Conant Electric Laboratories | 396 |
| Concord Radio Corporation | 419 |
| Construction, Testing & Electric Division | 419 |
| of G. A. I. | 385 |
| Consolidated Radio Products Co. | 338 |
| Continental-Diamond Fibre Co. | 373 |
| Continental Electric Co. | 434 |
| Continental Machines, Inc. | 173 |
| Cornell Electric Co. | 200 |
| Cornell-Dubilier Electric Corp. | 231 |
| Corning Glass Works | 436 |
| Corsini Wire Company, Inc. | 401 |
| Cott Stamping, Inc. | 314 |
| Coto-Coil Co., Inc. | 317 |
| Cross, H. | 26 |
| Crystal Products Co. | 413 |
| Dalis, Inc., H. L. | Inside Back Cover |
| Daven Company | 382 |
| Davis Radio Mfg. Co. | 382 |
| Delco Amico Corporation | 365 |
| Delco Radio, Div. of General Motors | 198 |
| Delco Radio Corp., Inc. | 6 |
| Dial Light Co. of America, Inc. | 426 |
| Diamond Instrument Co. | 56 |
| Ebelt D. & Mfg. Co. | 370 |
| Dickey Coil Co. | 344 |
| Dixon’s Typhonite ELORADO Pencils | 434 |
| Dobeksmann Company | 44, 45 |
| Dodge Electric Mfg. Co. | 427 |
| Doolittle Radio, Inc. | 352 |
| Dow Chemical Co. | 175 |
| Dow Chemical Corporation | 295 |
| Drake Electric Works, Inc. | 336 |
| Drake Manufacturing Co. | 433 |
| Draper-Hall Co. | 63 |
| Dumont Electric Co. | 34 |
| Dumont Laboratories, Inc., Allen B. | 39, 34 |
| Dupont de Nemours & Co. (Inc.) | 239 |
| DuPont Plastics & Chemicals, Inc. | 41 |
| DX Crystal Co. | 352 |
| Dynamic Air Engineering, Inc. | 285 |
| Eastern Air Devices, Inc. | 275 |
| Eastern Amplifier Corporation | 268 |
| Eastern Electric Co. | 290 |
| Eby, Inc., Hugh H. | 232 |
| Electric, Inc. | 386, 437 |
| Eitel Engineering Co. | 389 |
| Eitel-McCullough, Inc. | 300 |
| Elec. Research Co. | 300 |
| Electric Indicator Co. | 416 |
| Electrical Industries, Inc. | 336 |
| Electrical Insulation Co., Inc. | 335 |
| Electrical Insulation Supply Co. | 190 |
| Electronic Engineering Co. | 415 |
| Electronic Engineering Co. | 418 |
| Electronic Enterprises, Inc. | 418 |
| Elgin Mfg. Co. | 444 |
| Electronic Mechanics, Inc. | 51 |
| Electronic-Voice Corp. | 37 |
| Electronic Equipment Corp. | 302 |
| Ericsson Screen Machine Products Co., Inc. | 406 |
| Erie Resistor Corp. | 50 |
| Espey Mfg. Co., Inc. | 418 |
| Essex Electronics | 443 |
| Essex Wire Corporation | 387 |
| Fairchild Camera & Instrument Corp. | 317 |
| Fast & Co., John E. | 335 |
| Federal Electric Co., Inc. | 260 |
| Federal Tel-Audit Corp. | 57, 437 |
| Federal, Inc. | 340 |
| Ferranti Electric, Inc. | 186 |
| Finch Electric Communications, Inc. | 226 |
| Force Mineral Co. | 189 |
| Foremost Electric Co. | 429 |
| Foremost Insulating Company | 480 |
| Foster Co., A. P. | 308 |
| Foster, Don | 437 |
| Franklin Mfg. Corp., A. W. | 39 |
| Freeland Transformer Co. | 262 |
| Freeland & Olschner Products, Inc. | 437 |
| Gates Radio Company | 377 |
| General Aniline & Film Corp. | 52, 53 |
| General Cable Corp. | 64, 65 |
| General Ceramics Co. | 437 |
| General Ceramics & Steatite Corp. | 299 |
| General Control Co. | 395 |
| General Electric Co., 11, 12, 13, 14, 38, 79, 237 |
| General Electric Co., 366, 410 | |
| General Industries Company | 76 |
| General Magnetics Corp. | 165 |
| General Magnetic Corp. | 370 |
| General Plate Div. of Metals & Controls Corp. | 288 |
| General Radio Company | 563 |
| General Tire & Rubber Co. | 303 |
| Glendale Vacuum Products, Inc. | 45 |
| Goodrich & Sons, Inc. | 476 |
| Goodrich Co., B. F., Chemical Div. | 446 |
| Gothaar Manufacturing Company | 458 |
| Graph-Met Corp. | 419 |
| Graphite Metallizing Corp. | 366 |
| Grayhill | 402 |
| Green Electric Company, Inc., W. | 408 |
| Greenlee Tool Co. | 429 |
**IRON CORE R.F. CHOKES**
- Physically compact
- High Q
- Available in standard inductances of .5 mh, 1.0 mh, 2.5 mh, 5.0 mh, 10 mh.
- Inductance tol. ± 3%
Write for data sheet.
Precision manufacturers of all types of IF and RF coils, chokes, and transformers.
**ESSEX ELECTRONICS**
1060 Broad St., Newark, N. J.
## INDEX TO ADVERTISERS
### Continued
| Company | Page |
|----------------------------------------------|------|
| Guardian Electric Mfg. Co. | 193 |
| Guided Radio Corporation | 416 |
| Hallicrafters Co. | |
| Hammerlund Mfg. Co., Inc. | 35 |
| Hanovia Chemical & Mfg. Co. | 408 |
| Harlow Products, Inc. | 290 |
| Harris Products Co. | 250 |
| Harrison Radio Corporation | 244 |
| Harvey Radio Company | 155 |
| Harvey-Ross Laboratories, Inc. | 244 |
| Harvey-Wells Electronics, Inc. | 155 |
| Hassall, Inc., John | 352 |
| Hays Instruments, Co. | 402 |
| Heineken Circuit Breaker Co. | 225 |
| Heintz & Kaufman, Ltd. | 231 |
| Heilbrun Packard Lamppany | 319 |
| Hexagon Electric Co. | 268 |
| Hickok Electrical Instrument Co. | 208 |
| Hoppe Precision, Inc. | 409 |
| Hudson American Corp. | 340, 407, 415, 431 |
| Hudson Wire Co. | 414 |
| Hystron Corporation | 86 |
| Indiana Steel Products Co. | 210 |
| Industrial Commercial Electronics | 214 |
| Industrial Condenser Co. | 240 |
| Inst-X Co., Inc. | 203 |
| International Insulation Company | 428 |
| Insulation Mfrs. Company | 265 |
| Insuline Corp., of America | 265 |
| International Petroleo Corporation | 221 |
| International Radio Co. | 219 |
| Irvington Varnish & Insulator Co. | 423 |
| Islip Radio Mfg. Corp. | 423 |
| Jantette Manufacturing Co. | 421 |
| J-B-T Instruments, Inc. | 421 |
| Jefferson Electric Co. | 169 |
| Jelliff Mfr. Corp., C. O. | 356 |
| Jennings Radio Manufacturing Co. | 371 |
| Jensen Radio Mfg. Co. | 371 |
| Johnson Co., E. F., | 47, 148 |
| Jones Co., Howard B. | 435 |
| Jorgensen Mfg. Co. | 411 |
| Kaar Engineering Co. | 243 |
| Kibbie Engineering Co. | 437 |
| Kurp Metal Products Co., Inc. | 125 |
| Kury Mfg. Company | 375 |
| Kenyon Transformer Co., Inc. | 384 |
| Kester Solder Co. | 48 |
| Ketter & Lister Co. | 3 |
| Keystone Carbon Company, Inc. | 48 |
| Kirkland, H. R. | 423 |
| Knights Co., James | 322 |
| Kuehman Electric Co. | 398 |
| Kurz-Kirsch, Inc. | 261 |
| Lumpkin Laboratories | 437 |
| Langevin Company, Inc. | 499 |
| Lapp Insulators Co., Inc. | 61 |
| Laval Laboratories | 281 |
| Lawton, Norman H. | 281 |
| Lee, Inc. | 349 |
| Lenz Electric Mfg. Co. | 259 |
| Lenz Electric Mfg. Co. | 259 |
| Lens Corporation | 313 |
| Linda Air Products Co. | 414 |
| Lindsay & Lindsay | 301 |
| Litton Engineering Laboratories | 22 |
| Lord Manufacturing Co. | 432 |
| LR Manufacturing Co. | 22 |
| Maas & Waldstein Company | 234 |
| Macallen Company | 462 |
| Machlett Laboratories, Inc. | 223 |
| Macmillan Company | 315 |
| Mallory & Co., Inc., P. R. | 90, 149, 342 |
| Manross & Sons, F. N. | 121 |
| Martin Electrical Instrument Co. | 194 |
| Marconi Co. | 442 |
| McGraw-Hill Book Co. | 374 |
| Measuring Corp. | 394 |
| Med Rad Div, Black Industries | 169 |
| Mendelson Speedgun Co. | 407 |
| Mercord Co. | 359 |
| Metaplex Company | 311 |
| Micamold Radio Corp. | 178 |
| Mini Switch Corp. | 321 |
| Miller Mfg. Co., Inc., James | 321 |
| Miniature Precision Bearings | 374 |
| Minnesota Mining & Mfg. Co. | 422 |
| Mitchell-Rayn Insulation Co., Inc. | 243 |
| Minnesota Chemical Co., Plastics Div. | 288 |
| Mycalex Corporation of America | 7 |
| National Carbon Co., Inc. | 309 |
| National Company | 357 |
| National Electronic Mfg. Corp. | 428 |
| National Screw & Mfg. Co. | 165 |
| National Specialized Tube Co. | 71 |
| New England Screw Co. | 435 |
| New York Transformer Co. | 162, 163 |
| North American Philips Co., Inc. | 255 |
| North American Vacuum Mfg. Co. | 435 |
| Northern Industrial Chemical Co. | 411 |
| Northern Laboratories Ltd. | 410, 412 |
| Norton Electrical Instrument Co. | 402 |
| Numberkill Stamp & Tool Co. | 431 |
| Ohio Electric Mfg. Co. | 244 |
| Ohmite Mfg. Company | 68, 69 |
| Oilite Manufacturing Co., Inc. | 292 |
| Olympic Tool & Mfg. Co., Inc. | 446 |
| Onan, Sons, D. W. | 409 |
| O'Neilltown Mfg. Co. | 406 |
| Oster Mfg. Co., John | 337 |
| Owens Corning Fiberglas Co. | 328 |
| Palnut Co. | 228 |
| Pan-Electronics Laboratories, Inc. | 172 |
| Panoramic Radio Corp. | 46 |
| Par Metal Products Corporation | 423 |
| Paracelite Wire Co., Inc. | 413 |
| Permo, Inc. | 370 |
| Permutol Corporation | 282 |
| Petersen Radio Co. | 196 |
| Phillips Screw Manufacturers | 335 |
| Photowatch, Inc. | 27 |
| Photographers' Supply Co. | 360 |
| Pioneer Gen-Motor Corp. | 298 |
| Plastic Manufacturers, Inc. | 316 |
| Plastic Products Mfg. Corp. | 215 |
| Porter & Brumfield Mfg. Co., Inc. | 457 |
| Precimelt Laboratories | 296 |
| Precision Vibrators, Inc. | 230 |
| Precision Tube Co. | 40 |
| Premax Products | 442 |
| Press Wireless, Inc. | 42 |
| Proto Electric Co. | 382 |
| Preco Recording Corp. | 55 |
| Primfloid, Inc. | 351 |
| Progressive Engineering Corp. | 424 |
| Progressive Mfg. Co. | 407 |
| Pyroferric Co. | 386 |
| Quadriga Mfg. Co. | 435 |
| Quaker City Gear Works, Inc. | 388 |
| Radell Corp. | 414 |
| Radex Corp. | 407 |
| Radiart Corporation | 340 |
| Radio Condenser Co. | 205 |
| Radio Corp. of America, Victor Div. | 24, 26, 159, Back Cover |
| Radio Engineering Lab.'s, Inc. | 298 |
| Radio Receptur Co., Inc. | 33 |
| Radio Shack Television, Inc. | 410 |
| Radionic Equipment Co. | 437 |
| Railway Express Agency | 348 |
| Rayleigh Coupling Process, Inc. | 433 |
| Rauland Corporation | 161 |
| Raytheon Mfg. Co. | 45, 351 |
| Reliable Springs & Wire Forms Co. | 392 |
| Remington Gun Works, Ltd. | 382 |
| Richardson Company, The | 346 |
| Richmond, Inc. | 180 |
| Ritter Publisher, Inc., John F. | 378 |
| Ripley Company, The | 432 |
| R. B. & Co., Manufacturing Co. | 354 |
| Robinson Aviation, Inc. | 17 |
| Rockbestos Products Corp. | 312 |
| Rogan Brothers | 378 |
| Rogers Corporation | 367 |
| Roller-Smith Co. | 185 |
| Sangamo Electric Co. | 28, 29 |
| Sandusky Corporation | 18 |
| Schweitzer Paper Co. | 207 |
| Scientific Elec. Div. of "S" Corrugated | 67 |
| Quenched Cup Co. | 389 |
| Seaburg Mfg. Co., Electronic Div. | 389 |
| Seavill Mfg. Co., Waterville Screw Products | 157 |
| Div. | |
| Screwmakers | 333 |
| Senlrol Corporation | 431 |
| Seeburg Corporation, J. P. | 332 |
| Sheboygan Mfg. Inc. | 351 |
| Shillcross Mfg. Co. | 212 |
| Sherman Mfg. Co. | 212 |
| Sickler Company, J. W. | 382 |
| Sigma Instruments, Inc. | 279 |
| Signal Indicator Corp. | 416 |
| Silcock's-Miller Co. | 344 |
| Simpson Electric Co. | 238 |
THE IMPORTANCE OF Specialization IS FORCEFULLY DEMONSTRATED BY Audax
Aside from outstanding and long-acknowledged technical skill — our "Specialization Formula" is probably as fully responsible for the world-renowned AUDAX quality as any other single factor.
We proudly concentrate all our energies and resources upon producing the finest pick-ups and cutters. Because we are specialists in this field, much more is expected of us. Because the production of fine instruments like MICRODYNE is a full time job, it stands to reason that we could not afford to jeopardize our reputation—EVER—by making pick-ups a side-line.
After Victory, you may expect further AUDAX improvements, refinements . . . master-touches to heighten the marvelous fac simile realism of AUDAX reproduction.
AUDAX COMPANY 500E Fifth Avenue, New York 18 "Creators of Fine Electronic-Acoustical Apparatus Since 1915"
"The Standard by Which Others Are Judged and Valued"
Send for complimentary copy of our informative "PICK-UP FACTS"
Wire insulation of Geon is tough!
FORMAL tests by a leading testing laboratory show that insulation made of GEON for SN wire can stand twice the pressures that ordinary insulation can take in the Olsen compression machine. Informal tests of this insulating material for portable cable indicate an even better crush test record.
Translated into performance these test results mean that insulation of GEON will stand abuse and rough treatment that would quickly ruin ordinary insulating materials. The picture shows one such service—portable cable for a maintenance tool used in a large factory where the insulation takes a terrific beating.
Many other of GEON'S important properties are useful in this service, too. Excellent electrical properties, of course. And resistance to oil, abrasion, chemicals, air, heat, flame, water and many other normally destructive factors. In other types of service, the use of GEON will permit thinner coatings of insulation—more conductors per conduit. Its slick surface means easy installation. GEON can be brilliantly colored in the entire NEMA range for quick, positive identification.
Urgently needed for military uses, all the GEONS are subject to allocation by the War Production Board. Limited quantities are available for experiment, and our development staff and laboratory facilities will help you work out special problems or applications. For more complete information write Department FF-4, Chemical Division, The B. F. Goodrich Company, 324 Rose Building, Cleveland 15, Ohio.
Geon Polyvinyl Materials
CHEMICAL DIVISION
The B. F. Goodrich Company
ROSE BUILDING • CLEVELAND 15, OHIO
April 1945 — ELECTRONICS
DAVEN Volume Level Indicators
DAVEN Volume Level Indicators are designed to indicate audio levels in broadcasting, sound recording and allied fields. Extremely sensitive, they are sturdily constructed and correctly damped for precise monitoring. The long, specialized experience of DAVEN in the design and development of test equipment makes these Indicators the preference of major sound engineers both here and abroad.
**Type 915**
Rock model, terminating or bridging type. Meter multiplier ranges: terminating, -6 VU to +32 VU; bridging, +4 VU to +42 VU; or terminating, +4 VU to +16 VU; bridging, +4 VU to +24 VU, 2 VU steps. Reference level: 1 mw into 600 ohms.
**Type 920**
Rock model, low-level bridging type. Meter multiplier range: -20 VU to +28 VU. Power supply, 115-130 V, 60 cycle AC, with voltage regulator for normal variations. Reference level: 1 mw into 600 ohms.
**Type 911**
Portable model, bridging type. Meter multiplier ranges: +4 VU to +42 VU or +4 VU to +26 VU, 2 VU steps. Reference level: 1 mw into 600 ohms.
**Type 970**
Rock model, same as Type 911.
**General Specifications**
**Input Impedance:** Bridging, 7500 ohms; terminating, 600 ohms, excepting Type 185—1581 ohms, bridging.
**Frequency Range:** Less than 0.2 db up to 10,000 c.p.s. "Type 920, less than 0.2 db, 30 up to 15,000 c.p.s."
**Meter Scale:** -20 to +3 VU and 0 to 100%. Type A scale has VU reading on upper scale; Type B scale has percentage reading on upper scale.
**Indicating Meter:** Copper-Oxide type, adjusted for deliberate pointer action.
**Meter Adjustment Control:** Miniature step type; ±0.5 db range, in 0.1 db steps.
**Mounting:** Rack models 19" long for standard relay rack; portable models in walnut cabinet, approx. 11" x 6" x 6½".
The DAVEN Company
191 Central Avenue
Newark 4, New Jersey
Help speed total victory, buy and hold more war bonds.
NEW Xenon-Filled Thyratron
RCA 3D22
Moderately priced; rugged, single-ended construction; operates in any position; designed for relay and grid-controlled-rectifier applications, particularly those involving electronic speed-control of small D-C motors.
3/4-Ampere Average Continuous Current. The 3D22 is a sensitive, four-electrode thyratron conservatively rated to handle an average output of 0.75 ampere in continuous operation and a peak current of 6 amperes.
Single-ended, Sturdy, Compact Construction. Sturdily and compactly constructed for industrial service, the 3D22 is single-ended and requires no flexible leads for connections.
Control-Characteristic Stable Over Wide Temperature Range. Because Xenon gas is used, the control-characteristic is essentially independent of ambient temperature.
Low Preconduction Current and Low Control-grid Current. The low preconduction current and the low control-grid current permit the use of a high-value grid resistor to give increased sensitivity with a high-impedance circuit.
TECHNICAL DATA
ELECTRICAL
Heater for Unipotential Cathode:
Voltage (A.C. or D.C.)* ........... 6.3 +10% ... Volts
Current ......................... 2.6 ....... Amperes
Tube Voltage Drop (Approx.) ........ 12 .......... Volts
Grid. No. 1 Control Ratio (Approx.) † . 150
PHYSICAL
Mounting Position ........................................ Any
Maximum Overall Length .......................... 4 ¾ "
Maximum Diameter .................................... 2 ¼ "
Base .................. Medium Metal Shell Giant 7-pin, Bayonet
*Heater voltage must be applied at least 30 seconds before start of tube conduction.
†For conditions with 0.1-megohm grid resistor and grid No. 2 volts = 0.
‡Averaged over any 30-second interval.
RELAY AND GRID-CONTROLLED RECTIFIER SERVICE
Maximum Ratings, Absolute Values
Peak Forward Anode Voltage ........ 650 max....... Volts
Peak Inverse Anode Voltage ........ 1300 max....... Volts
Peak Cathode Current .............. 6 max..... Amperes
Average Cathode Current‡........... 0.75 max..... Ampere
Ambient Temperature Range .... -75 to +90 ....... °C
WRITE FOR ADDITIONAL DATA
RCA, Commercial Engineering Section
Department 62-29E, Harrison, N. J.
Please send bulletin on RCA-3D22 Thyratron, giving additional information for equipment-design purposes.
Name ....................................................
Company ..................................................
Address ...................................................
City ...................................................... State
MAIL TODAY!
RADIO CORPORATION OF AMERICA
RCA VICTOR DIVISION • CAMDEN, N. J.
THE FOUNTAIN-HEAD OF MODERN TUBE DEVELOPMENT IS RCA
|
EFFICIENT CONSUMER RESPONSE (ECR):
A SURVEY OF THE AUSTRALIAN GROCERY INDUSTRY
John K. Harris
Paula M.C. Swatman
Electronic Commerce Research Group
Department of Information Systems
Monash University
E-mail: firstname.lastname@example.org
ABSTRACT
Efficient consumer response (ECR) is a U.S. supply chain management strategy which attempts to address the inefficiencies which have led to excessive inventory and unnecessary costs at all levels within the grocery industry supply chain. This paper discusses the traditional grocery store format, the supermarket, and the ways in which inefficient business practices developed in the U.S. grocery supply chain; and discusses the major business activities needed for successful implementation of ECR. The paper then presents a brief summary of the results of a survey of ECR knowledge and usage within the Australian grocery industry, which is the initial phase of a long term research project whose main purpose is to evaluate ECR as it applies to that industry.
Keywords
Food industry, efficient consumer response, supply chain management, exploratory research, strategic IS, strategic alliances, business process re-engineering.
INTRODUCTION
Efficient Consumer Response (ECR) originated in the United States in 1992 as a direct result of threats from alternative store 'formats' (or types) and their supply chains (McKinsey & Co. 1992) which highlighted major inefficiencies within the traditional grocery store format, the supermarket, and its supply chain (Kurt Salmon Associates 1993). The concept on which ECR is based originated from the quick response (QR) strategy already existing in the textile and apparel industries (Cooke 1994) which, in turn, were based on the manufacturing just-in-time (JIT) concept (Ellram, La Londe and Weber 1989; Knill 1990).
ECR is concerned with changing, or reengineering, the grocery supply chain from a 'push system' to a 'pull system' — where trading partners form new alliance relationships and the replenishment of store products is initiated by the point of sale (POS) data. The JIT concept was simple: to deliver raw material to production areas in the exact required amount at the precise time it was needed. The use of raw material pulls new raw material into the production process. During the mid 1980s the JIT manufacturing concept was applied to the U.S. textile and apparel industries in an attempt to combat market penetration by overseas manufacturers. This textile and apparel industries initiative was termed 'quick response' and attempted to reduce the amount of inventory held within the apparel supply chain. Quick response required the retailer to share point-of-sale-scanned data with manufacturers to improve the flow of product through the supply chain. The grocery industry noted the success of the quick response approach to managing supply chain data and proposed a similar stock replenishment system called ECR (Cooke 1994; Ellram, La Londe and Weber 1989).
GROCERY INDUSTRY
Supply Chain Practices and the Implications of Inefficiency
The traditional grocery retail store, the supermarket, developed during the 1920's in the U.S. The supermarket is a large, departmentalised retail store (Pintel and Diamond 1991) which operates on a self serve basis — selling primarily grocery products and, occasionally, a small assortment of non-grocery merchandise. During the 1930's supermarkets experienced explosive growth due to the economic depression and the mobility provided by the automobile — consumers were no longer restricted to using the local, limited-line food store, but could travel to more distant but cheaper supermarkets (Hayward and York 1976). The supermarket with its high operating efficiencies quickly became the popular and dominant retail grocery format, deposing the (limited line) food store by selling goods at lower prices (Morgenstein and Strongin 1992). During the 1940's and 1950's the supermarket became the major food distribution channel in the U.S.
During the 1950s the U.S. became saturated with supermarkets, which led to the development of innovative ways to maintain profits. These included the use of private brand labels, stamps and games. Large supermarket chain stores were the primary initiators of private brand labels as they were able to reduce product, distribution and selling costs to such an extent that these products could be sold at a considerable discount to consumers and still
return a greater profit to the retailer (National Commission of Food Marketing 1971). Stamps were issued to customers in amounts based on the volume of grocery purchases. The collection of a suitable number of stamps could then be exchanged for a variety of products such as household goods, toys and recreation equipment (Mayo 1993). The use of games was introduced during the early 1960s by supermarket chains in an attempt to build consumer loyalty by encouraging shoppers to purchase more regularly from the same store to increase their chance of winning a prize. Consumers were given free game slips based on the purchase value at the check-out station (Allvine 1971).
Discounting, based on low price and high-pressure advertising, began replacing the use of stamps and games as a promotional tool during the 1970s. It is estimated that such consumer promotional activities added as much as 4% to the costs of food items and as much as 20% to the overhead costs of operating a supermarket (Mayo 1993). Other supermarkets discounted a large number of well known leading items in an attempt to attract customers to the store, who would then purchase other non-discount items or buy items on impulse. Discounting resulted in larger and larger physical store sizes, as profits accrued only through huge volume, frequent sales (Forbes magazine 1971). To attract additional higher sales the discount supermarket added additional or larger departments such as pharmacy, bakery and general merchandise in an attempt to create a one-stop-shopping store.
During this same period supermarket operators began using hard-hitting newspaper advertisements with pricing comparisons and shopper testimonials. These advertisements would often include coupons — which could be used either by manufacturers to boost the sale of a particular product, or by retailers to improve sales of a particular product within a particular store. The presentation of the coupon by the consumer at the supermarket checkout results in a discount for the coupon item being purchased (Peak and Peak 1977). Couponing has remained the most prevalent form of consumer promotion in the U.S. grocery industry today, although the use of stamps and games as a consumer promotional tool has almost disappeared. Couponing is highly paper intensive and costly to administer, with only around 2.6% of coupons being redeemed annually (Kurt Salmon Associates 1993). Despite its continued use, the coupon is thus considered an inefficient promotional tool.
Changes in demographic patterns caused a slowing of overall U.S. grocery sales during the 1970s and 1980s: population growth decelerated, following the post-war boom; increasing numbers of consumers began to eat out and, in consequence, spent less of their disposable incomes on food prepared and eaten at home (Garry 1995; Sansolo 1994); and alternative store formats began to market grocery items aggressively in new ways (Newton 1993). At the same time, grocery industry organisations sought to increase their profits at the expense of their supply chain trading partners, leading to adversarial relationships between sellers and buyers (Michelson 1995). The complexity of deals between grocery trading partners and the performance measurement systems used led to large inventory holdings throughout the supply chain, with sellers (manufacturers, distributors and/or brokers) continually offering deals to buyers (wholesales, distributors, brokers and/or retailers) to ‘push’ products into the supply chain (Sansolo and Garry 1992; Schlossberg 1992; Teinowitz 1993).
In most transactions, the seller is trying to sell as much as possible at the highest possible price, while the buyer is trying to buy only what is needed as cheaply as possible (Liesse 1994); rather than developing trading partner relationships based on mutual benefit. The traditional key performance measurement systems used for selling and buying fuelled these adversarial relationships, since the measurement system for the seller was sales and shipments and that for the buyer was gross margins (Hastings 1994). The sellers would start with very high selling prices which would later be discounted for trade promotional activities or to meet selling objectives within a given time period. Buyers would seek to increase their gross margins by buying additional inventory during the discount period and selling at regular prices after the discount period had ended (‘investment’ or ‘forward’ buying) or by re-selling it immediately at a profit to buyers in other regions which had not been offered the discount (known as ‘diverting’) (Harding 1995).
As forward buying and diverting became more widespread, sellers (particularly manufacturers) realised that a growing proportion of their trade promotion spending was not reaching the consumer in the way of reduced prices, but instead was subsidising the buyer’s business operation. Sellers, in an attempt to force buyers to pass on the savings offered by trade promotions to the consumers, continued to offer more and more complex deals (Kurt Salmon Associates 1993). It was the complexity of these deals between grocery trading partners which led to excessive inventory throughout the supply chain, with suppliers continually offering deals to wholesalers/distributors and/or retailers to ‘push’ products into the supply chain (Schlossberg 1992; Teinowitz 1993).
While margins remained high, supermarket operators tolerated these inefficient practices — despite their tendency to create increased transportation, administration and warehousing costs. But as more and more of the U.S. grocery supply chain engaged in complex deals, forward buying, diverting and promotional activities, any real competitive advantage which might have existed originally was lost, although the additional costs continued (and increased). It was clear that a more efficient means of moving goods through the supply chain was needed — in particular, one which would encourage the growth of improved trading partner relationships, while
reducing inventory holdings.
**Efficient Consumer Response**
ECR calls for the creation of a timely, accurate and paperless flow of information — relying heavily on Electronic Data Interchange (EDI) and strategic alliances between supply chain members (Sansolo 1993). The goal of ECR is to take out of the supply chain costs which do not add consumer value (Robins 1994). ECR is about producing efficiencies in the grocery supply chain within the four core business process areas of efficient store assortment, efficient replenishment, efficient promotions and efficient product introductions (Kurt Salmon Associates 1993).
**ECR Business Activities/Initiatives**
To achieve these four efficiencies, ECR requires the following major business activities or initiatives (deRoulet 1993):
(a) continuous replenishment program (CRP);
(b) computer assisted ordering (CAO);
(c) flow-through distribution (cross-docking);
(d) activity-based costing (ABC);
(e) category management;
(f) integrated Electronic Data Interchange (EDI).
**(a) Continuous Replenishment Program (CRP)**
Continuous replenishment, usually managed by the manufacturer, is a program used to control and monitor the movement of goods from the manufacturer to the warehouse/distributor (Garry 1994c). CRP involves the manufacturer (rather than the retailer’s warehouse) taking responsibility for replenishing the warehouse inventory, with the buyer supplying actual warehouse inventory withdrawal data and data on ‘stock-keeping units’(individual line items) to the manufacturer (Cross 1993). CRP programs reduce costs in distributors’ inventory, but can increase some costs, such as transportation costs, if the manufacturer ships smaller truck loads more frequently (Garry 1994b). Successful CRP implementation is dependent on effective trade relations, requiring shared business practices and information systems which rely heavily on EDI.
**(b) Computer-assisted ordering (CAO)**
Computer-assisted ordering, also known as ‘computer-aided ordering’ (Fensholt 1992; Garry 1992; Thayer 1991; Weinstein 1995), covers the second half of the overall inventory supply chain — the movement of goods from the warehouse/distribution centre to the retail store. The aim of CAO is to generate store replenishment orders automatically, with minimal management intervention, based on such things as current and historical PoS scan data, delivery data and sales forecasts. The benefits of CAO have been identified as labour savings and dependability, warehouse and shipping improvements, and inventory reduction (Garry 1994c). Traditionally, stores have based their orders on the re-order clerk manually inspecting the store shelves and scanning the shelf-tag bar codes for those items with limited stock on the shelf (Anderson 1996). The re-order amount entered by the clerk is based on the actual shelf amount and the ideal shelf quantity. The re-order clerk is not in a position to take into account PoS data, inventory which has already been scheduled for delivery, or likely future trends based on forecasting. Integrated CAO systems are designed to minimise (and even eliminate) these problems.
**(c) Flow Through Distribution (cross-docking)**
According to Garry (1994a) the purpose of flow through distribution is to hasten the flow of products from the supplier to the retail store by reducing storage and handling of products at the distribution centre or warehouse. It involves the breaking down of pallets at the distribution centre, reassembling them for store delivery and then shipping them to the retail store without ever storing the product in the warehouse. This requires significant investment in technologies such as EDI, bar coding and scanning of pallets, and cases; and warehouse design changes such as lower ceilings and less racking. The key EDI transaction required for cross-docking is the Advanced Shipping Notice (ASN), to inform the distributor of the merchandise that is about to arrive. The automation of the warehouse inventory management system using bar codes means that these inaccuracies can be eliminated.
(d) Activity-Based Costing (ABC)
Activity-based costing provides the cost and operating information necessary to support innovative management improvement initiatives such as ECR. The focus of ABC is on accurate information about the true cost of products, services, processes, activities, distribution channels, customer segments, contracts and projects (Miller 1996). ABC supplies information about profits (where the money is being made) rather than about costs. Traditional accounting systems use gross margin calculations that spread operating costs across all products based on unit purchase price regardless of the actual value chain (Porter 1985) the product passes through. ABC focuses management's attention on controlling the source of costs, decisions that create activities, rather than squeezing budgets. Therefore ABC as part of ECR can increase the profitability of the supply chain by removing or reducing those cost activities that do not add value. This can not be done with traditional systems because they do not reflect costs accurately (Weinstein 1993).
(e) Category Management
The term category management first appeared in 1987 (Smith 1993) when certain organisations, such as Procter and Gamble (Mathews 1995a), began moving from 'brand' management to management 'by category'. Category management has evolved to mean a process that involves managing product categories as business units and customising them on a store-by-store basis to satisfy consumer demands (Ginau, Richardson and Dippold 1992). A category is a group of products having a common consumer end use (Hoffer 1996) and include such things as household cleaners, dairy and frozen foods, paper products, health and beauty care products, soft drinks, etc. Category management allows the category manager to operate a category like a business so as to identify optimal product mix; and to stock each store with specific products that demographic and PoS information indicate customers wish to purchase.
(f) Integrated Electronic Data Interchange (EDI)
Electronic Data Interchange is the computer-application to computer-application communication of structured, formatted messages based on international standards, using electronic transmission media with no manual intervention (Brawn 1989; Swatman 1993). EDI is a technology which allows structured information to be shared among organisations in the supply chain resulting in significant reductions in transaction costs and enabling the organisations to adopt new and more effective and efficient business strategies (Emmelhainz 1990; Gilmour 1993; Klima 1993; Spence 1994), such as ECR. EDI is viewed as the essential effective enabler of the ECR management strategy because it focuses on achieving integration across organisational functions and between organisations (Swatman 1993) in the grocery supply chain.
AN AUSTRALIAN ECR SURVEY
At the start of this research project, little U.S. and almost no Australian research into ECR could be discovered. We identified three academic research projects on ECR or continuous replenishment (Hoban 1993; Clark 1994; Mathews 1995) in the U.S. and in Australia we found only a single industry report undertaken for the Grocery Manufacturers of Australia by Coopers & Lybrand in 1995. We therefore decided to commence the overall research project (which involves a number of researchers and is expected to take several years) by investigating Australian attitudes to ECR and existing practices by members of the grocery industry in this country — an investigation which we believed was most appropriately addressed by means of a mail survey. Participants were chosen from those organisations directly involved in the grocery supply industry and which considered themselves to be members of the grocery supply chain. The questionnaire was posted to the most senior executive of 1500 grocery industry supply chain members, whose mailing lists were obtained from grocery industry journals (Retail World Pty Ltd 1995; White, Craig, Wiland et al. 1995); and an effective response rate of 30%, or 450 organisations, was obtained after two mailouts of the questionnaire. The research question under examination was "can Australian grocery industry supply chain members benefit from the efficient consumer response supply chain management strategy?" Industry supply chain members were surveyed to:
- determine the extent of inefficient business practices;
- identify the current use of business activities (supply chain initiatives) necessary for the adoption of the ECR strategy;
- identify those organisations that are aware of the ECR strategy to discover whether their
organisation (and the supply chain as a whole) can benefit from the ECR strategy;
- determine the reasons for adopting ECR by those organisations which have decided to pursue such a strategy.
**Inefficient Business Practices**
Figure 1 shows that ‘diverting’ is little used within the Australian grocery industry, as just 17% of survey respondents indicated that they use some form of diverting, and only 2% stated that they used this practice the majority of the time. Deal selling/buying which results in forward buying, however, is prevalent within Australia and, as a result, there are likely to be excessive inventory holdings throughout the Australian grocery supply chain. Despite the greater than optimal inventory holdings, these figures suggest that inefficient promotional activities are used to a much lesser extent than in the U.S. and are therefore far less important as a motivator for ECR in this country.
**ECR Business Activities**
Figure 2 illustrates the various ECR initiatives and shows that category management (59%) and EDI (49%), have the greatest number of respondents committed to their implementation, while cross-docking (19%) and continuous replenishment (23%) have the smallest number. Even though category management (59%) is more widely used than the other initiatives, only 10% of respondents are committed to the implementation of this business activity as part of their ECR strategy. EDI (17.1%) implementation as part of an ECR strategy has by far the greatest commitment in terms of ECR strategy, while activity-based costing (4%) and cross-docking (5%) have the lowest respondent commitment as part of their ECR strategy. These results suggest that although Australian grocery industry members are actively engaged in a number of the ECR initiatives, they view each activity on its own merit — and have, thus far at least, shown little interest in integrating their improved supply chain management practices into an holistic ECR approach.
ECR Awareness
Table 1 shows that just over two-thirds (61%) of respondents were previously aware of the ECR strategy, while another third (34%) were unaware of ECR before receiving this survey. Two-thirds of the group of 'aware' organisations are actively engaged in pursuing an ECR strategy and, in Table 2, we have summarised the reasons why these respondents are actively pursuing this strategy. This list makes it clear that the 'threat from alternative store formats' which motivates so many U.S. supermarkets is of little importance to Australian grocery industry members.
| ECR status | Percent |
|-------------------------------------------------|---------|
| Not Aware of ECR | 34% |
| Aware of ECR: | 61% |
| - Actively pursuing ECR | 40% |
| - Not actively pursuing ECR | 16% |
| - Unknown if actively pursuing ECR | 5% |
| Other | 5% |
Table 1. Respondents ECR status.
| Reason | Percent |
|--------------------------------------------------|---------|
| Improve efficiency of your organisation | 60% |
| Pressure from trading partner(s) | 46% |
| Cost savings to your organisation | 45% |
| Improve efficiency of overall supply chain | 45% |
| Cost savings to overall supply chain | 33% |
| Threats from alternative store formats | 8% |
| Other | 6% |
Table 2. Reasons for actively pursuing and ECR strategy.
Figure 3 summarises respondents' views of the likely benefits of ECR to the Australian grocery industry and shows that the majority of those respondents who are aware of ECR believe the Australian grocery supply chain can gain significant benefit from ECR in terms of improved efficiency (76%) and reduced costs (61%); and that the respondent's own organisation can benefit (61%) from pursuing an ECR strategy. Of the total group of respondents, 47% believe that ECR will improve the efficiency of the grocery supply chain, while 37% of all respondents believe that ECR will remove costs from the supply chain and also benefit their own organisation.
DISCUSSION AND CONCLUSIONS
Our research into ECR within Australia provides very strong evidence in two areas:
- that the inefficient business practices of deal selling/buying and forward buying (figure 1), which inadvertently push excessive inventory into the supply chain, exist within the Australian grocery industry although not necessarily to the same extent as in the U.S.
- that Australian organisations have begun implementing business activities and initiatives that are essential for the adoption of the ECR strategy.
These results suggest that the Australian grocery industry is a 'push system', like the U.S., where inventory is continually pushed into the supply chain by supplier deals, which in turn lead to forward buying by customers. There is considerable interest in ECR in Australia, with 61% of respondents being aware of ECR and 40% of respondents actively pursuing an ECR strategy (table 1). Despite this interest in ECR, we are concerned that there is no real commitment to its implementation. This is borne out by the fact that while 40% of respondents are actively pursuing an ECR strategy (table 1) only 17% (EDI) and 4% (ABC) respectively of respondents are actually committed to the implementation of the essential business activities (figure 2) necessary for the successful implementation of ECR.
A review of the Australian grocery industry (Commercial Economic Advisory Service of Australia 1991) identified inefficiencies within the Australian grocery industry which ECR seeks to address. This review even identified threats from alternative store formats which were likely to have an adverse effect on the traditional grocery store, the supermarket. Given the findings of this review, we find it somewhat surprising that respondents to our survey did not indicate threats from alternative store formats as a main reason for adopting ECR, and that there is not a stronger commitment to implement the necessary ECR business activities/initiatives.
One of the main reasons given for adopting ECR is pressure from trading partners (table 2). If organisations are pressured and/or coerced into using an ECR strategy we do not believe that they can be committed to its implementation and therefore gain the potential benefits from such implementation. These results, which differ significantly from the (comparatively limited) evidence available from the U.S. suggest that the Australian motive for engaging in ECR may well be quite different. Indeed, the likelihood is that Australian grocery industry members appear to be 'encouraged' to engage in ECR by large and powerful customers (supermarkets) — a situation which is reminiscent of the Australian experience with EDI. There is thus a real danger that, as with EDI, organisations may become involved only to the extent required by their larger and more powerful trading partners, so that the full benefits of a strategic approach may be lost.
The survey reported in this paper provides the first 'hard' evidence of Australian ECR activities and attitudes. One thing which has become clear from the results is that, as with all surveys (which provide a 'snap-shot' of a respondent group at a point in time) we have made some fascinating discoveries, but opened up some even more intriguing possibilities which the data cannot answer satisfactorily. The next step is clearly to engage in case studies of Australian and overseas organisations involved in ECR to discover whether our suspicions about the motivations for ECR involvement are correct. This project is being undertaken by another member of the Monash Electronic Commerce Research Group and our serendipitous discovery that the member nations of the European Union have nominated ECR as a major area of interest for the next few years encourages us to hope for an enthusiastic response from prospective case study participants.
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FORMATION OF SLOW ATOMIC NEGATIVE OXYGEN IONS IN COLLISIONS OF FAST PROTONS AND HYDROGEN ATOMS WITH O₂ MOLECULES
V. A. GUSEV, A. A. OKSYUK, Ya. M. FOGEL', and D. V. FILIPENKO
Physicotechnical Institute, Ukrainian Academy of Sciences
Submitted June 1, 1970
Zh. Eksp. Teor. Fiz. 59, 1909—1916 (December, 1970)
A procedure is developed for the investigation of processes of formation of slow negative ions in collisions of fast ions or atoms with gas molecules. The effective cross sections for the production of $O^-$ ions in collisions of hydrogen ions and atoms with energy 3—50 keV with oxygen molecules are measured in relative units.
INTRODUCTION
In collisions of singly-charged positive ions and atoms with diatomic molecules, slow atomic negative ions are produced as a result of the following two processes:
$$A^+ + B_2 \rightarrow A^+ + B^- + B^+,$$ \hspace{1cm} (1)
$$A^+ + B_2 \rightarrow A^+ + B_2^{-*} \rightarrow A^+ + B^- + B^+.$$ \hspace{1cm} (2)
The process (1) is a direct dissociation of a diatomic molecule into a positive and a negative ion as a result of collision with a fast ion or atom. If the impinging particle has no electron shell (H⁺, He⁺, etc.) the process (1) is the only source of the slow ions $B^-$.
In process (2), the slow ions $B^-$ are the result of the decay of the unstable molecular ion $B_2^-$ which is produced in turn when the target molecule captures an electron.
The process of dissociation of diatomic molecules by electron impact into positive and negative ions was observed in [1—7]. For collisions of heavy particles with gas molecules, this process has not been sufficiently well studied. Il'in, Afrosimov, and Fedorenko [8] gave the results of measurements of the effective cross section for the dissociation of the molecule $O_2$ into the ions $O^-$ and $O^+$ by impact of the ions H⁺ and H₂ at three values of the incoming-particle energy. Afrosimov and coworkers [9] estimated the effective cross section of the dissociation of the H₂ molecule into H⁻ and H⁺ ions by proton impact. According to their data, the effective cross section of this process does not exceed $3 \times 10^{-20}$ cm². Finally, Ogurtsov and Flaks [10] measured the effective cross sections for the production of C⁻, O⁻, and CO⁻ ions in the interaction of fast neon ions and atoms with CO molecules. They obtained cross sections $\sim 10^{-18}$, $\sim 10^{-19}$, and $\sim 10^{-20}$ cm² for the production of the ions O⁻, C⁻, and CO⁻, respectively.
The formation of slow atomic negative ions in collisions between fast atoms and diatomic molecules has been somewhat better investigated, but still insufficiently [11—14].
Thus, the processes of formation of slow atomic negative ions in collisions between heavy particles and gas molecules have not yet been sufficiently well studied. This statement is particularly true with respect to process (1). On the other hand, a study of this process is of considerable interest, since it differs greatly from the other processes in which slow atomic ions are produced in molecular gases (dissociative charge exchange and dissociative ionization). A study of this process is useful also from the point of view of clarifying the general properties of the function $\sigma(v)$ ($\sigma$—effective cross section of a certain process of atomic collision, $v$—relative velocity of the colliding particles). The point lies in the fact that the formation of slow atomic negative ions in the process (1) can occur in many cases only along a single channel, and therefore the $\sigma(v)$ curves, which characterize this process, should have a particularly simple form, thereby greatly simplifying their analysis.
The purpose of our present and subsequent investigations is a detailed study of the regularities of process (1), which we wish to compare with the regularities in the formation of slow atomic negative ions by dissociative charge exchange (process (2)).
The first stage of these investigations is measurement of the effective cross sections for the production of $O^-$ ions in collisions between fast protons or hydrogen atoms with $O_2$ molecules; the results of these measurements are reported in the present paper.
APPARATUS AND MEASUREMENT PROCEDURE
The measurements of the effective cross sections for the production of slow $O^-$ ions were performed with the aid of the experimental setup described in [15]. The system for the extraction and beam shaping of the slow negative ions produced in the investigated gas is shown schematically in Fig. 1.
This system consists of five flat electrodes, each a disc of 40 mm diameter. Electrodes 1 and 2, in the space between which the beam of incoming particles enters, form the collision chamber proper. The slow negative ions produced in the collision chamber are moved by the electric field due to the extraction potential difference $V_{\text{extr}}$ (which is smoothly adjustable from 0 to 175 V) applied between electrodes 1 and 2 through a slit in the second electrode into the space between the
electrodes 3, 4, and 5. The collision chamber is under an accelerating potential $V_{\text{acc}}$ equal to 1500 V, relative to the grounded electrode 3. The beam of negative ions passing through the slit in the electrode 3 is focused with the aid of a focusing potential $V_{\text{foc}} \approx 1000$ V applied to electrode 4, and then passes through a slit in the grounded electrode 5 and strikes the slit 7 of the mass spectrometer. The negative-ion beam trajectory is corrected in the space between the system of electrodes 1—5 and the slit 7 by the electric field of parallelepiped-plate capacitor 6. The dimensions of the slits in the electrodes of the extraction system and the distances between the electrodes of the extraction and negative-ion-beam shaping systems are given in the caption of Fig. 1.
In measuring the effective cross sections for the production of slow negative ions, it must be kept in mind that the investigated negative ions can result not only from collisions between the incoming-beam particles and the gas molecules, but also in the following processes:
1) In collisions between the secondary electrons knocked out by the incoming-beam particles from the edges of the entrance and exit slits of the collision chamber, and the molecules of the investigated gas.
2) In collisions between the secondary electrons produced in the collision-chamber gas and the molecules of this gas.
3) In processes occurring when the surface of the first electrode of the collision chamber is bombarded by positive ions produced in the collision-chamber gas by the incoming-beam particles. These positive ions, accelerated in the electric field produced by the extraction voltage applied to the collision-chamber electrodes, can produce, by charge exchange and by secondary ion-ion emission on the surface of the first electrode, negative ions having the same nature as the negative ions produced in the collision-chamber gas by passage of the primary-beam particles through the chamber\(^2\). The negative ions produced on the surface of the first electrode by the field of the extraction potential difference are accelerated towards the slit of the second collision-chamber electrode and are registered ultimately by the mass-spectrometer receiver.
4. In collisions between the negative ions from the surfaces of the electrodes when negative ions pass through the slit of the beam-shaping system.
To prevent the secondary electrons knocked out by the incoming-beam particles from the edges of the entrance and exit slits of the collision chamber from entering the region from which the slow secondary ions are drawn into the beam-shaping system, a positive potential of 500 V was applied to the slit in order to block the secondary electrons.
We investigated the dependence of the current $i$ of the slow negative ions on the incoming-particle-beam current $I$ and on the gas pressure $p$ in the collision chamber. The effective cross sections for the production of the slow negative ions were measured at values of $I$ and $p$ within the limits of the linear sections of the $i(I)$ and $i(p)$ dependences, thereby eliminating the contribution made to the slow-negative-ion current by collisions between the gas molecules and the secondary electrons produced in the gas.
To separate the negative ions to be investigated from the negative ions having the same nature but produced on the surface of the first electrode on the collision chamber or on the slits of the slow-negative-ion beam shaping system, we investigated the mass spectra of the slow negative and positive ions produced by the passage of a beam of 20-keV protons through hydrogen and oxygen. These spectra are shown in Fig. 2a (oxygen) and Fig. 2b (hydrogen). They were obtained in each case by using two forms of the first electrode of the secondary-ion-beam shaping system: in the form of a solid disc (solid lines) and in the form of a grid having a transparency of 80% (dashed lines).
As seen from Fig. 2a, four peaks are observed in the mass spectrum of the negative ions produced in oxygen. When the solid first electrode of the shaping beam is replaced by a reticular one, the height of the first peak remains unchanged, whereas the heights of the second
---
\(^2\)The possibility of producing on the surface of the first electrode negative ions having the same nature as the ions produced in the collision-chamber gas was kindly pointed out to us by M. N. Panov and Yu. A. Mamaev of the Physicotechnical Institute of the USSR Academy of Sciences, to whom the authors are sincerely grateful.
and fourth peaks decrease by an approximate factor of 5. This indicates that the negative ions of the second and fourth peaks of the spectrum are produced in processes occurring on the surface of the first electrode of the extraction system.
The arrow in Fig. 2a marks the value of the magnetic field intensity corresponding to the peak of the O$^-$ ions and coinciding in magnitude with the field intensity for the first peak of the negative spectrum.
For a more detailed elucidation of the nature of the negative-spectrum peaks, we investigated the function $\Delta H = f(\Delta V_{\text{extr}})$, which represents the variation of the magnetic field intensity corresponding to the top of the peak with variation of the extraction voltage. Here $\Delta H_i = H_{\text{max}} - H_i$, $\Delta V_{\text{extr}}^i = V_{\text{extr}}^{\text{max}} - V_{\text{extr}}^i$, where $H_{\text{max}}$ is the magnetic field intensity corresponding to the top of the investigated peak at the maximum value of the extraction voltage $V_{\text{extr}}^{\text{max}}$. Figures 3a and 3b show plots of $\Delta H = f(\Delta V_{\text{extr}})$ for oxygen and hydrogen, respectively. Since the ions are produced in the gas in a region lying halfway between the electrodes of the collision chamber, their energy on leaving the beam-shaping system will be equal to $e[V_{\text{acc}} + (V_{\text{extr}}/2)]$. The negative ions produced on the surface of the first electrode of the collision chamber can acquire at the exit from the beam-shaping system, owing to charge exchange of the slow positive ions, an energy $e(V_{\text{acc}} + kV_{\text{extr}})$, where the coefficient $k$ is equal to $3/2$ if the slow ions are elastically scattered during the charge exchange. On the other hand, if the collisions between the slow ions and the surface of the first electrode are inelastic, then $k$ can assume arbitrary values smaller than $3/2$, down to $k = 1$. The negative ions produced on the surface of the first electrode by secondary ion emission will have an energy $e(V_{\text{acc}} + V_{\text{extr}}) + E_1$, where $E_1$ is the initial kinetic energy of the knocked-out negative ions. The energy of the ions produced outside the collision chamber (on the slits of the shaping-system electrodes) will be independent of $V_{\text{extr}}$.
Figure 3a shows plots of $\Delta H = f(\Delta V_{\text{extr}})$ for all the peaks of the negative spectrum of oxygen and for the peak of the O$^-$ ions. As seen from this figure, the slopes of the plots of $\Delta H = f(\Delta V_{\text{extr}})$ for the second and fourth peaks of the spectrum are approximately 2.5 times larger than for the first peak of the negative spectrum and for the peak of the O$^-$ ions. The agreement between the plots of $\Delta H = f(\Delta V_{\text{extr}})$ for the second and fourth peaks of the spectrum indicates that the coefficients $k$ in the formula for the energy are close in magnitude for ions producing the second and fourth peaks of the spectrum. The magnetic field intensity at which the third peak of the spectrum appears is independent of the extracting potential difference.
On the basis of the foregoing measurements it can be concluded that the first peak of the mass spectrum shown in Fig. 2a corresponds to O$^-$ ions produced in the collision chamber by dissociation of the O$_2$ molecule into a positive ion and a negative ion as a result of proton impact. The second and fourth peaks of the mass spectrum correspond to the negative ions produced on the surface of the first electrode of the collision chamber. The third peak of the negative spectrum is apparently produced by ions knocked out from the surface of the second electrode of the extraction system by the negative secondary-ion beam passing through the slits of the electrodes.
Similar methodical investigations of the peaks of the negative spectrum of hydrogen, the results of which are shown in Figs. 2b and 3b, allow us to conclude that the first peak of the spectrum of Fig. 2b corresponds to H$^-$ ions produced on the surface of the second electrode of the extraction system. The second peak of the negative spectrum is due to H$^-$ ions produced in processes occurring on the surface of the first electrode of the extraction system. Thus, it was impossible to observe in the mass spectrum of the negative ions the peak corresponding to the H$^-$ ions produced in the collision chamber as a result of the dissociation of the hydrogen molecules into positive and negative hydrogen ions. It appears that in bombardment of molecular hydrogen by 20-keV protons, the effective cross section of this process does not exceed $5 \times 10^{-21}$ cm$^2$, which is the lower limit of the sensitivity of our experimental setup.
The methodological measurements performed show that it is possible to investigate processes (1) and (2) in molecular oxygen. The results of this investigation are reported in the next section of the article.
**EXPERIMENTAL RESULTS AND DISCUSSION**
When protons pass through oxygen, O$^-$ ions are produced only as a result of process (1). We shall designate the effective cross section of this process by $\sigma_{O^-}^1$.
In the case of passage of hydrogen atoms through oxygen, the O$^-$ ions are produced as a result of either process (1) or process (2). The total effective cross section $\sigma_{O^-}^0$ for the production of O$^-$ ions in oxygen by passage of hydrogen atoms is given by the formula
$$\sigma_{O^-}^0 = \sigma_{O^-}^{\text{diss}} + \sigma_{O^-}^{\text{c.e.}},$$
where $\sigma_{O^-}^{\text{diss}}$ and $\sigma_{O^-}^{\text{c.e.}}$ are the effective cross sections of the processes (1) and (2) in collisions of hydrogen atoms with O$_2$ molecules.
We measured, in relative units, the effective cross sections $\sigma_{O^-}^1$ and $\sigma_{O^-}^0$ for collisions of protons and hydrogen atoms of energy 3–50 keV with O$_2$ molecules.
Plots of the effective cross sections $\sigma_{O^-}^*$ and $\sigma_{O^-}^0$ against the velocity of the incoming particles are shown in Fig. 4. The same figure shows plots of $\sigma_{O^-}^0(v)$ obtained in [14]. The three values of the effective cross section $\sigma_{O^-}^0$ obtained in [8] are also shown in Fig. 4. These values of $\sigma_{O^-}^0$ are made to agree with the $\sigma_{O^-}^*(v)$ curve obtained in the present paper at the point corresponding to a proton energy of 20 keV. As seen from Fig. 4, the results of the earlier measurements of the effective cross sections $\sigma_{O^-}^*$ and $\sigma_{O^-}^0$ are in satisfactory agreement with the results of the measurements reported in the present article.
The $\sigma_{O^-}^*(v)$ and $\sigma_{O^-}^0(v)$ curves differ strongly in the incoming-particle velocity interval $(1-2) \times 10^6$ cm/sec. In this velocity region, the effective cross section $\sigma_{O^-}^0$ is several times larger than $\sigma_{O^-}^*$. However, with increasing incoming-particle velocity the differences between $\sigma_{O^-}^*$ and $\sigma_{O^-}^0$ and between their velocity dependences disappear.
The observed differences in the form of the $\sigma_{O^-}^*(v)$ and $\sigma_{O^-}^0(v)$ curves can be explained on the basis of the adiabatic maximum rule of Hasted and Massey. According to this rule, the velocity $v_{\text{max}}$ corresponding to the maximum of the effective cross section of the process is determined by the equation $v_{\text{max}} \approx a |\Delta E|_{\infty}/h$, where $a$ is the radius of the interaction forces between the colliding particles, $|\Delta E|_{\infty}$ is the resonance defect of the process or the distance between the potential curves of the initial and final states of the system of colliding particles at an infinitely large distance between them, and $h$ is Planck's constant.
As shown in [10], the value of $a$ for the charge exchange processes (2) is $\sim 3$ Å. By calculating the resonance defects for the processes (2), in which the oxygen atom is produced not only in the ground state but also in different excited states, and by using the value $a = 3$ Å, we can determine $v_{\text{max}}$ for different channels of the process (2). The values of $v_{\text{max}}$ calculated in this manner are indicated by the arrows in Fig. 4.
An examination of Fig. 4 shows that the two maxima on the $\sigma_{O^-}^0(v)$ curve lie in the velocity region predicted by the adiabatic maximum rule. We can conclude from this that in the velocity region $(1-2) \times 10^6$ cm/sec the contribution made to the total effective cross section $\sigma_{O^-}^{\text{c.e.}}$ by the effective cross section $\sigma_{O^-}^0$ of the charge-exchange process (2) is quite appreciable. As is well known, the effective charge-exchange cross section decreases rapidly with increasing velocity. In the velocity region $v > 2.5 \times 10^8$ cm/sec, the effective cross section $\sigma_{O^-}^{\text{c.e.}}$ becomes sufficiently small and the total effective cross section $\sigma_{O^-}^0$ approaches the effective cross section $\sigma_{O^-}^{\text{diss}}$. If this reasoning is valid, then it can be concluded from the identical course of the $\sigma_{O^-}^*(v)$ and $\sigma_{O^-}^0(v)$ curves in the velocity region $v > 2.5 \times 10^8$ cm/sec that the effective cross section of the process for the dissociation of the molecule $O_2$ into ions $O^-$ and $O^-$ depends little on the charge state of the incoming particle.
As seen from Fig. 4, the effective cross section $\sigma_{O^-}^0$ increases monotonically with decreasing velocity of the incoming particle. This means that the maximum of the $\sigma_{O^-}^0(v)$ curve lies in the velocity region $v < 7 \times 10^7$ cm/sec. On the other hand, for the process (1) we have $\Delta E_{\infty} = -17.2$ eV. If $a = 3$ Å for this process, too, then the maximum of the $\sigma_{O^-}^*(v)$ curve should occur in the region $v \approx 1.2 \times 10^6$ cm/sec. The absence of a maximum on the $\sigma_{O^-}^*(v)$ curve in this velocity region indicates that a $< 3$ Å for process (1).
In conclusion, it must be emphasized that the course of the $\sigma_{O^-}^*(v)$ curve in the investigated velocity interval differs significantly from the course of the $\sigma(v)$ curves for dissociative ionization. Further investigations of the process (1) using other incoming particles and target molecules will show the extent to which this conclusion is general and what its meaning is.
---
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2 R. E. Fox, J. Chem. Phys., 26, 1281, 1957.
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7 P. J. Chantry and G. J. Schulz, Phys. Rev. 156, 134, 1967.
8 R. N. Il'in, V. V. Afrosimov, and N. V. Fedorenko, Zh. Eksp. Teor. Fiz. 36, 41 (1959) [Sov. Phys.-JETP 9, 29 (1959)].
9 V. V. Afrosimov, G. A. Leiko, Yu. A. Mamaev, and M. M. Panov, ibid. 56, 1204 (1969) [29, 648 (1969)].
10 G. N. Ogurtsov and I. P. Flaks, Zh. Tekh. Fiz. 36, 117 (1966) [Sov. Phys.-Tech. Phys. 11, 84 (1966)].
11 T. M. Donahue and F. Hushfar, Nature, 186, 1038, 1960.
12 T. M. Donahue and F. Hushfar, Phys. Rev. 124, 138, 1961.
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14 D. V. Pilipenko and Ya. M. Fogel', Zh. Eksp. Teor. Fiz. 48, 404 (1965) [Sov. Phys.-JETP 21, 266 (1965)].
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Translated by J. G. Adashko
215
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Highlights of This Issue 2675
SMALL MOLECULE THERAPEUTICS
2677 Dual Metronomic Chemotherapy with Nab-Paclitaxel and Topotecan Has Potent Antiangiogenic Activity in Ovarian Cancer
Rebecca A. Previs, Guillermo N. Armaiz-Pena, Yvonne G. Lin, Ashley N. Davis, Sunila Pradeep, Heather J. Dalton, Jean M. Hansen, William M. Merritt, Alpa M. Nick, Robert R. Langley, Robert L. Coleman, and Anil K. Sood
2687 Antitumor Activity of KW-2450 against Triple-Negative Breast Cancer by Inhibiting Aurora A and B Kinases
Kazuharu Kai, Kimie Kondo, Xiaoping Wang, Xuemei Xie, Mary K. Pitner, Monica E. Reyes, Angie M. Torres-Adorno, Hiroko Masuda, Gabriel N. Hortobagyi, Chandra Bartholomeusz, Hideyuki Saya, Debu Tripathy, Subrata Sen, and Naoto T. Ueno
2700 Combined Pan-RAF and MEK Inhibition Overcomes Multiple Resistance Mechanisms to Selective RAF Inhibitors
Steven R. Whittaker, Glenn S. Cowley, Steve Wagner, Flora Luo, David E. Root, and Levi A. Garraway
2712 Targeting the Neurokinin-1 Receptor Compromises Canonical Wnt Signaling in Hepatoblastoma
Matthias Ilmer, Agnès Garnier, Jody Vykoukal, Eckhard Alt, Dietrich von Schweinitz, Roland Kappler, and Michael Berger
2722 Silibinin Preferentially Radiosensitizes Prostate Cancer by Inhibiting DNA Repair Signaling
Dhanya K. Nambiar, Paulraj Rajamani, Gagan Deep, Anil K. Jain, Rajesh Agarwal, and Rana P. Singh
2735 Efficacy of PARP Inhibitor Rucaparib in Orthotopic Glioblastoma Xenografts Is Limited by Ineffective Drug Penetration into the Central Nervous System
Karen E. Parrish, Ling Cen, James Murray, David Calligaris, Sani Küzilbash, Rajendar K. Mittapalli, Brett L. Carlson, Mark A. Schroeder, Julieann Sludden, Alan V. Boddy, Nathalie Y.R. Agar, Nicola J. Curtin, William F. Elmquist, and Jann N. Sarkaria
2744 The Sphingosine Kinase 2 Inhibitor ABC294640 Reduces the Growth of Prostate Cancer Cells and Results in Accumulation of Dihydroceramides *In Vitro* and *In Vivo*
Heather Venant, Mehrdad Rahmaniyan, E. Ellen Jones, Ping Lu, Michael B. Lilly, Elizabeth Garrett-Mayer, Richard R. Drake, Jacqueline M. Kravek, Charles D. Smith, and Christina Voelkel-Johnson
2753 Aurora A Is Critical for Survival in HPV-Transformed Cervical Cancer
Brian Gabrielli, Fawzi Bolhari, Max V. Ranall, Zay Yar Oo, Alexander J. Stevenson, Weili Wang, Melanie Murrell, Mushfiq Shaikh, Sora Fallaha, Daniel Clarke, Madison Kelly, Karin Sedelies, Melinda Christensen, Sara McKee, Graham Leggatt, Paul Leo, Dubravka Skalamera, H. Peter Soyer, Thomas J. Gonda, and Nigel A.I. McMillan
2762 BI 885578, a Novel IGF1R/INSR Tyrosine Kinase Inhibitor with Pharmacokinetic Properties That Dissociate Antitumor Efficacy and Perturbation of Glucose Homeostasis
Michael P. Sanderson, Joshua Appar, Pilar Garin-Chesa, Marco H. Hofmann, Dirk Kessler, Jens Quant, Alexander Savchenko, Ottmar Schaaf, Matthias Treu, Heather Tye, Stephan K. Zahn, Andreas Zoepfel, Eric Haaksma, Günther R. Adolf, and Norbert Kraut
2773 MEK Inhibitor Selumetinib (AZD6244; ARRY-142886) Prevents Lung Metastasis in a Triple-Negative Breast Cancer Xenograft Model
Chandra Bartholomeusz, Xuemei Xie, Mary Kathryn Pitner, Kimie Kondo, Ali Dadbin, Jangsoon Lee, Hitomi Saso, Paul D. Smith, Kevin N. Dalby, and Naoto T. Ueno
LARGE MOLECULE THERAPEUTICS
2782 High-Dose FOLFIRI plus Bevacizumab in the Treatment of Metastatic Colorectal Cancer Patients with Two Different UGT1A1 Genotypes: FFCD 0504 Study
Sylvain Manfredi, Olivier Bouché, Philippe Rougier, Laëtitia Dahan, Marie Anne Loriot, Thomas Aparicio, Pierre Luc Etienne, Jean Pierre Lafargue, Cedric Lécaille, Jean Louis Legoux, Karine Le Malicot, Emilie Maillard, Thierry Lecomte, Faïza Khemissa, Gilles Breysacher, Pierre Michel, Emmanuel Mitry, and Laurent Bedenne
2789 Recombinant Immunotoxin with T-cell Epitope Mutations That Greatly Reduce Immunogenicity for Treatment of Mesothelin-Expressing Tumors
Ronit Mazor, Jingli Zhang, Laiman Xiang, Selamawit Addissie, Prince Awuah, Richard Beers, Raffit Hassan, and Ira Pastan
| Page | Title | Authors |
|------|----------------------------------------------------------------------|-------------------------------------------------------------------------|
| 2797 | Systemic Administration and Targeted Radiosensitization via Chemically Synthetic Aptamer–siRNA Chimeras in Human Tumor Xenografts | Xiaohua Ni, Yonggang Zhang, Kenji Zennami, Mark Castanares, Amarnath Mukherjee, Raju R. Raval, Haoming Zhou, Theodore L. DeWeese, and Shawn E. Lupold |
| 2805 | A TORC2–Akt Feed-Forward Topology Underlies HER3 Resiliency in HER2-Amplified Cancers | Dhara N. Amin, Deepika Ahuja, Paul Yaswen, and Mark M. Moasser |
| 2818 | PARP Inhibitors Sensitize Ewing Sarcoma Cells to Temozolomide-Induced Apoptosis via the Mitochondrial Pathway | Florian Engert, Cornelius Schneider, Lilly Magdalena Weiß, Marie Probst, and Simone Fulda |
| 2831 | ERK Signal Suppression and Sensitivity to CH5183284/Debio 1347, a Selective FGFR Inhibitor | Yoshito Nakamishi, Hideaki Mizuno, Hitoshi Sase, Toshihiro Fujii, Kiyoshi Sakata, Nukinori Akiyama, Yuko Aoki, Masahiro Aoki, and Nobuya Ishii |
| 2840 | Pigment Epithelium–Derived Factor Alleviates Tamoxifen-Induced Endometrial Hyperplasia | Keren Goldberg, Hadas Bar-Joseph, Hadas Grossman, Noa Hasky, Shiri Uri-Belapolsky, Salomon M. Stemmer, Dana Chuderland, Ruth Shalgi, and Irit Ben-Aharon |
| 2850 | Potentiation of Carboplatin-Mediated DNA Damage by the Mdm2 Modulator Nutlin-3a in a Humanized Orthotopic Breast-to-Lung Metastatic Model | Eva Tonsing-Carter, Barbara J. Bailey, M. Reza Saadatzadeh, Jixin Ding, Haiyan Wang, Anthony L. Sinn, Kacie M. Peterman, Tiaisha K. Spragins, Jayne M. Silver, Alyssa A. Sprouse, Taxiarchis M. Georgiadis, T. Zachary Gunter, Eric C. Long, Robert E. Minto, Christophe C. Marchal, Christopher N. Batuello, Ahmad R. Safa, Helmut Hanenberg, Paul R. Territo, George E. Sandusky, Lindsey D. Mayo, Christine M. Eischen, Harlan E. Shannon, and Karen E. Pollok |
| 2864 | Genome-Wide Identification of a Methylation Gene Panel as a Prognostic Biomarker in Nasopharyngeal Carcinoma | Wei Jiang, Na Liu, Xiao-Zhong Chen, Ying Sun, Bin Li, Xian-Yue Ren, Wei-Feng Qin, Ning Jiang, Ya-Fei Xu, Ying-Qin Li, Jian Ren, William CS Cho, Jing-Ping Yun, Jing Zeng, Li-Zhi Liu, Li Li, Ying Guo, Hai-Qiang Mai, Mu-Sheng Zeng, Tie-Bang Kang, Wei-Hua Jia, Jian-Yong Shao, and Jun Ma |
| 2874 | Severely Impaired and Dysregulated Cytochrome P450 Expression and Activities in Hepatocellular Carcinoma: Implications for Personalized Treatment in Patients | Tongmeng Yan, Linlin Lu, Cong Xie, Jiamei Chen, Xiaojuan Peng, Lijun Zhu, Ying Wang, Qiang Li, Jian Shi, Fuyuan Zhou, Ming Hu, and Zhongqiu Liu |
| 2887 | Assessment of BRAF V600E Status in Colorectal Carcinoma: Tissue-Specific Discordances between Immunohistochemistry and Sequencing | Jeannelyn S. Estrella, Michael T. Tetzlaff, Roland L. Bassett Jr, Keyur P. Patel, Michelle D. Williams, Jonathan L. Curry, Asif Rashid, Stanley R. Hamilton, and Russell R. Broaddus |
| 2896 | Clinical and Translational Assessment of VEGFR1 as a Mediator of the Premetastatic Niche in High-Risk Localized Prostate Cancer | Sumanta Kumar Pal, Winston Vuong, Wang Zhang, Jiehui Deng, Xueli Liu, Courtney Carmichael, Nora Ruel, Manasvi Pinnamaneni, Przemyslaw Twardowski, Clayton Lau, Hua Yu, Robert A. Figlin, Neeraj Agarwal, and Jeremy O. Jones |
| 2901 | Acute Tumor Lactate Perturbations as a Biomarker of Genotoxic Stress: Development of a Biochemical Model | Vlad C. Sandulache, Yunyun Chen, Heath D. Skinner, Tongtong Lu, Lei Feng, Laurence E. Court, Jeffrey N. Myers, Raymond E. Meyn, Clifton D. Fuller, James A. Banksion, and Stephen Y. Lai |
| 2909 | Acknowledgment to Reviewers |
ABOUT THE COVER
The cover image shows the structural model of LMB-T20, a highly potent recombinant immunotoxin consisting of an antimesothelin Fv fused to a portion of *Pseudomonas* exotoxin A. The toxin has a deletion of domain II and six point mutations in domain III that delete or greatly suppress the eight T-cell epitopes. For details, see the article by Mazor and colleagues on page 2789.
Molecular Cancer Therapeutics
14 (12)
Mol Cancer Ther 2015;14:2675-2912.
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Growth-Optimal Portfolio Selection under CVaR Constraints
Guy Uziel
Computer Science Department
Technion - Israel Institute of Technology
Ran El-Yaniv
Computer Science Department
Technion - Israel Institute of Technology
Abstract
Online portfolio selection research has so far focused mainly on minimizing regret defined in terms of wealth growth. Practical financial decision making, however, is deeply concerned with both wealth and risk. We consider online learning of portfolios of stocks whose prices are governed by arbitrary (unknown) stationary and ergodic processes, where the goal is to maximize wealth while keeping the conditional value at risk (CVaR) below a desired threshold. We characterize the asymptotically optimal risk-adjusted performance and present an investment strategy whose portfolios are guaranteed to achieve the asymptotic optimal solution while fulfilling the desired risk constraint. We also numerically demonstrate and validate the viability of our method on standard datasets.
1 Introduction
It has long been recognized that the value of any financial investment should be quantified using both return and risk, where risk is traditionally measured by the variance of the return. A common quantification for risk-adjusted return is the Sharpe ratio [42], which is essentially the (annualized) mean return divided by the (annualized) standard deviation of the return. Nevertheless, in online portfolio selection [13], which has become a focal point in online learning research, risk is rarely considered and the primary quantity to be optimized is still the return alone. The creation of an online learning technique that optimizes risk-adjusted return is a longstanding goal and a major challenge [29].
In an adversarial (regret minimization) online learning setting, risk-adjusted portfolio selection with no regret is known to be an impossible goal [15, 39]. Recently, within an i.i.d. setting, Mahdavi et al. presented a framework that can be utilized for achieving this goal [37], and Haskell et al. considered risk-aware algorithms [22], but i.i.d. modeling has been criticized for being unsuitable for modeling the stock prices faithfully [33]. The problem with i.i.d. modeling is the lack of time dependencies between stock returns. A substantially richer family of stochastic models is the class of stationary and ergodic processes, which are sufficiently expressive to model arbitrary dependencies among stock prices. It is the place to note that in the literature there exist other papers dealing with long term constraints (e.g., [24, 36]), however they are not suitable for our goal since they assume that the constraint function is fully known a priory (i.e. do not depend on time) which is obviously not the case studied in this paper.
Many publications have considered stationary and ergodic markets [3, 21, 20, 18, 30], and all these works consider strategies that are oblivious to risk. All the learning strategies they consider rely on non-parametric estimation techniques (e.g., histogram, kernel, or nearest neighbors methods). Moreover, these strategies always use a countably infinite set of experts, and the guarantees provided for these strategies are always asymptotic. This is no coincidence, as it is well known that finite sample guarantees for these methods cannot be achieved without additional strong assumptions on the source distribution [14, 35]. Similarly, it is also known that non-parametric strategies in this context must rely on infinitely many experts [17].
Approximate implementations of non-parametric strategies (which apply only a finite set of experts), however, turn out to work exceptionally well and, despite the inevitable approximation, are reported [21, 20, 18, 28, 29] to significantly outperform strategies designed to work in an adversarial, no-regret setting. For example, the nearest-neighbor investment strategy of [21] is shown in [32, 29] to beat Cover’s universal portfolios (UP) [13], the exponentiated gradient (EG) method [23], and the online Newton steps strategy of [1] on most of the common datasets. We also note that practical approximate use of asymptotic methods is prevalent in other areas of machine learning such as (deep) reinforcement learning with function approximation [6]).
For a market with $n$ stocks, and within a stochastic online
learning framework, we develop a novel online portfolio selection strategy called *CVaR-Adjusted Nearest Neighbor* (CANN), which guarantees the best possible asymptotic performance while keeping the risk contained to a desired threshold. This is done using a novel mechanism that facilitates the handling of multiple objectives. Rather than using standard deviation to measure risk, we consider the well-known CVaR, a coherent and widely-accepted risk measure, which improves upon the traditional measure by appropriately capturing the downside risk [41]. We prove the asymptotic optimality of our strategy for general stationary and ergodic processes, thus allowing for arbitrary (unknown) dependencies among stock prices. We also present numerical examples where we apply an approximate application of our strategy (with a finite set of experts) that validates the method and beautifully demonstrates how risk can be controlled.
The problem of risk-adjusted prediction is, of course, not limited only to online portfolio selection but to other areas as well, and in recent years, there is a growing interest in the risk accompanied by the prediction. In [15] it was proved that in the expert setting one can not efficiently trade off between return and risk (measured by the variance) when the setting is adversarial. Other papers have tried to incorporate a coherent risk measure (see Section 2) in their predictive algorithms. For example, papers such as [11, 12] have discussed risk sensitive algorithms within a Markov decision process (MDP) framework and [22] incorporated coherent risk measures in the i.i.d. setting.
## Online Portfolio Selection
We consider the following standard online portfolio selection game (OPS) with short selling and leverage, as defined by Györfi et al. [19]. The game is played through $T$ days over a market with $n$ stocks. On each day $t$, the market is represented by a *market vector* $\mathbf{X}_t$ of relative prices, $\mathbf{X}_t \triangleq (x_1^t, x_2^t, ..., x_n^t)$, where for each $i = 1, \ldots, n$, $x_i^t \geq 0$ is the *relative price* of stock $i$, defined to be the ratio of its closing price on day $t$ relative to its closing price on day $t - 1$. A *wealth allocation vector* or *portfolio* for day $t$ is $\mathbf{b}_t \triangleq (b_0^t, b_1^t, b_2^t, \ldots, b_n^t)$, where $b_0^t$ is a cash allocation (not invested in any stock), and for $i > 0$, $b_i^t$ is the wealth allocation for stock $i$ (i.e. the fraction of total wealth allocated into the asset), where a positive component, $b_i^t > 0$, represents a *long position* in stock $i$, and a negative one, $b_i^t < 0$, is a *short position* in stock $i$. We also allow leverage; that is, the investor can borrow and invest additional cash, so as to amplify her profits. For the borrowed cash, the investor must pay a daily interest rate, $r > 0$, and we assume that the investor receives the same interest $r$ for deposited cash ($b_0^t$). Consider a portfolio $\mathbf{b}_t$ played at the start of day $t$. After the market vector $\mathbf{X}_t$ is revealed, the portfolio changes in response to changes in stock price, as follows. For each portfolio component $b_i$, if $b_i^t > 0$ is a long position, its revised value is $b_i^t x_i^t$. However, if $b_i^t < 0$ is a short position, then, after we take into account the interest owed on borrowing the stock for the short sale, the revised value of this position is $b_i^t (x_i^t - 1 + r)$ (note that in this case, the investor profits when the price drops and vice versa). Clearly, short selling and leveraging are risky: for example, a short position has unbounded potential loss that is further amplified by leveraging. Following [19], we assume that no stock can lose or gain more than $B \times 100\%$ of its value from one day to another, where $B \in (0, 1)$. In other words, for each $i, t$,
$$1 - B \leq x_i^t \leq 1 + B.$$
Thus in order to preclude the possibility of bankruptcy (see, e.g., [19], Chapter 4), the allowed leverage is
$$L_{B,r} \triangleq \frac{B + 1}{r + 1}.$$
Note that in order to avoid a degenerate market where the best investment is the risk-free asset, it is reasonable to assume that $B > r$, which results in $L_{B,r} > 1$. Using the notation
$$(\mathbf{b})^+ \triangleq (\max\{b_1, 0\}, \ldots, \max\{b_n, 0\})$$
and
$$(\mathbf{b})^- \triangleq (\min\{b_1, 0\}, \ldots, \min\{b_n, 0\}),$$
and considering the interest accredited for deposited cash, the interest debited for borrowed stocks (short positions), and the interest paid for leveraged wealth, we obtain, by the end of the day, an overall daily return of
$$b_0(1 + r) + \langle (\mathbf{b}_t)^+, \mathbf{X}_t \rangle + \langle (\mathbf{b}_t)^-, \mathbf{X}_t - 1 + r \rangle - (L_{B,r} - 1)(1 + r).$$
The investor chooses a portfolio from the following set,
$$\left\{ (b_0, \ldots, b_n) \in \mathbb{R}^{n+1} \mid \sum_{i=0}^{n} |b_i| = L_{B,r} \right\},$$
which is, unfortunately, not convex. We thus apply a simple transformation proposed by Györfi et al. [19]: transform the market vector $\mathbf{X}_t$ into a vector with $2n + 1$ entries (one entry for cash, $n$ entries for the long components, and $n$ for the short ones). Formally, we define the transformed market vector as
$$\mathbf{X}'_t \triangleq (1 + r, x_1^t, 2 - x_1^t + r, \ldots, x_n^t, 2 - x_n^t + r),$$
which is uniquely defined as a function of the original market vector. The transformed portfolio set is now defined as
$$\mathcal{B}' \triangleq \left\{ (b_0, \ldots, b_{2n}) \in \mathbb{R}^{2n+1} \mid b_i \geq 0, \sum_{i=0}^{2n} b_i = L_{B,r} \right\},$$
which is an unnormalized simplex. With this transformed market vector and portfolio set, at the start of each trading day $t$, the player chooses a portfolio $\mathbf{b}_t \in \mathcal{B}'$ based on the previous market sequences. It can easily be shown [19] that by the end of day $t$, the player’s daily multiplicative return is simplified to
$$\langle \mathbf{b}_t, \mathbf{X}'_t \rangle - (L_{B,r} - 1)(1 + r). \tag{5}$$
With respect to a fixed stationary and ergodic process, we denote by $\mathbf{X} \triangleq \{\mathbf{X}_t\}_{-\infty}^{\infty}$ the induced sequence of stationary and ergodic market vectors, and define the player’s investment strategy, denoted by $\mathbf{S}$, as a sequence of portfolios $\mathbf{b}_1, \mathbf{b}_2, \ldots$. Then, assuming initial wealth of $1$, we obtain after $T$ days the following cumulative wealth,
$$R_T(\mathbf{S}, \mathbf{X}) \triangleq \prod_{t=1}^{T} (\langle \mathbf{b}_t, \mathbf{X}'_t \rangle - (L_{B,r} - 1)(1 + r)). \tag{6}$$
Defining the average growth rate,
$$W_T(\mathbf{S}) \triangleq$$
$$\frac{1}{T} \sum_{t=1}^{T} \log \left( \langle \mathbf{b}_t, \mathbf{X}'_t \rangle - (L_{B,r} - 1)(1 + r) \right), \tag{7}$$
we have
$$R_T(\mathbf{S}, \mathbf{X}) = \prod_{t=1}^{T} (\langle \mathbf{b}_t, \mathbf{X}'_t \rangle - (L_{B,r} - 1)(1 + r)) =$$
$$e^{\sum_{t=1}^{T} \log \left( \langle \mathbf{b}_t, \mathbf{X}'_t \rangle - (L_{B,r} - 1)(1 + r) \right)} = e^{TW_T(\mathbf{S})}.$$
Notice that maximizing $W_T(\mathbf{S})$ is equivalent to maximizing $R_T(\mathbf{S}, \mathbf{X})$. In Section 4, we denote the summand of $W_T(\mathbf{S})$ (7) by
$$\omega(\mathbf{b}_t, \mathbf{X}_t) \triangleq$$
$$- \log \left( \langle \mathbf{b}_t, \mathbf{X}'_t \rangle - (L_{B,r} - 1)(1 + r) \right).$$
### 3 Introducing Risk
The traditional quantity for measuring financial risk is the variance (standard deviation) of the return. This measure, however, is criticized for being inadequate to measure risk. One of the reasons is its inability to distinguish between downside risk and upside risk (which corresponds to a desirable behavior). Various alternative measures have been proposed, such as the maximum drawdown, and value at risk (VaR). An axiomatic approach proposed by Artzner et al. [4] identifies coherent risk measures, which satisfy the proposed axioms. Accordingly, the most popular coherent risk measure is conditional value at risk (CVaR). For any parameter $\alpha \in (0, 1)$, CVaR$_\alpha$ is essentially the average loss that the investor suffers on the $(1 - \alpha)\%$ worst returns. For a continuous, bounded mean random variable $Z$ the CVaR$_\alpha$ is defined as
**Definition 1 (CVaR$_\alpha$).** Let $Z$ be a continuous random variable representing loss. Given a parameter $0 < \alpha < 1$, the CVaR$_\alpha$ of $Z$ is
$$CVaR_\alpha(Z) = \mathbb{E}[Z \mid Z \geq \min\{c \mid \mathbb{P}_Z(Z \leq c) \geq \alpha\}].$$
Assuming that we already know the distribution of returns, a direct calculation of CVaR from the above formula requires a calculation of the $\alpha\%$ quantile followed by averaging over the right tail of the loss distribution. Alternatively, it was shown in [41] that CVaR$_\alpha$ can be computed by solving the following convex optimization problem. Define
$$\phi(\mathbf{b}, c) \triangleq c + \frac{1}{1 - \alpha} \mathbb{E} \left[ (\omega(\mathbf{b}, \mathbf{X}) - c)^+ \right], \tag{8}$$
where we overload the previously defined $(\cdot)^+$ for vectors, and define for any scalar $x$, $(x)^+ \triangleq \max\{0, x\}$.
**Theorem 1 ([41]).** The function $\phi(\mathbf{b}, c)$ is convex and continuously differentiable. Moreover, the CVaR$_\alpha$ of the loss associated with any portfolio $\mathbf{b}$ is
$$CVaR_\alpha(\mathbf{b}) = \min_{c \in \mathbb{R}} \phi(\mathbf{b}, c). \tag{9}$$
Theorem 1 is essential to the development and analysis of our strategy. By our market boundedness assumption (1), it follows that $\omega(\mathbf{b}, X)$ is contained in $[-M, M]$ for some $M > 0$. Thus, any $c$ that minimizes Equation (9) must reside in $[-M, M]$. For a complete proof of this simple fact, see [22]. In Section 4, we require the following definition,
$$\mathcal{B} \triangleq \mathcal{B}' \times [-M, M].$$
### 4 Optimality of $W^*$
Let $\mathcal{F}_\infty$ be the $\sigma$-algebra generated by the infinite past $X_{-1}, X_{-2}, \ldots$, and let $\mathbb{P}_\infty$, be the induced regular conditional probability distribution of $X_0$ given the infinite past. Thus, all expectations w.r.t. $X_0$ are conditional given the infinite past. A well-known result appearing in [3, 2] proves the following upper bound on the asymptotic average growth rate of any investment strategy $\mathbf{S}$ under stationary and ergodic markets:
$$\limsup_{T \to \infty} W_T(\mathbf{S}) \leq \mathbb{E} \left[ \max_{\mathbf{b} \in \mathcal{B}'(\cdot)} \mathbb{E}_{\mathbb{P}_\infty} [-\omega(\mathbf{b}, \mathbf{X}_0)] \right], \tag{10}$$
where $\mathcal{B}'(\cdot)$ denotes the $\mathcal{F}_\infty$-measurable functions. Over the years, several algorithms achieving this asymptotic bound were proposed [20, 18, 21] (for the case of long-only portfolios).
Our goal is to achieve the optimal asymptotic average growth rate while keeping the CVaR bounded. By Theorem 1, the desired growth for a given risk threshold $\gamma > 0$ rate is given by the solution to the following minimization problem,
\begin{equation}
\begin{aligned}
& \text{minimize} & & \mathbb{E}[\omega(\mathbf{b}, X_0)] \\
& \text{subject to} & & \phi(\mathbf{b}, c) \leq \gamma,
\end{aligned}
\tag{11}
\end{equation}
Optimization problem (11) motivates a definition of a $\gamma$-bounded strategy, whose long-term average CVaR, calculated according to the available information at the beginning of each round, is bounded by $\gamma$.
**Definition 2** ($\gamma$-bounded strategy). An investment strategy $S$ will be called $\gamma$-bounded if, almost surely,
\[
\limsup_{T \to \infty} \frac{1}{T} \sum_{i=1}^{T} \min_{c \in \mathbb{R}} \left( c + \frac{1}{1 - \alpha} \mathbb{E}_{P_{X_i | X_0}^{-1}} \left[ (\omega(\mathbf{b}_i, X_i) - c)^+ \right] \right) \leq \gamma,
\]
where $b_i$ is portfolio chosen by $S$ at day $i$. The set of all $\gamma$-bounded strategies is denoted $S_\gamma$.
Clearly, there is always a solution to optimization problem (11), and therefore, $S_\gamma \neq \emptyset$. For example, the vacuous strategy that always invests everything in cash is $\gamma$-bounded for any $\gamma > 0$. Let $(\mathbf{b}_\infty^*, c_\infty^*)$ be a solution to (11). Define the $\gamma$-feasible optimal value as
\[
W^* \triangleq \mathbb{E}[\omega(\mathbf{b}_\infty^*, X_0)] \quad a.s.
\]
Optimization problem (11) is equivalent to finding the saddle-point of the Lagrangian function [34], namely,
\begin{equation}
\min_{(\mathbf{b}, c) \in B()} \max_{\lambda \in \mathbb{R}^+} L((\mathbf{b}, c), \lambda),
\tag{12}
\end{equation}
where the Lagrangian is
\[
L((\mathbf{b}, c), \lambda) \triangleq \mathbb{E}[\omega(\mathbf{b}, X_0)] + \lambda (\phi(\mathbf{b}, c) - \gamma).
\tag{13}
\]
Let $\lambda_\infty^*$ be the value of $\gamma$ optimizing (12), and assume it is unique and that it is possible to identify a constant $\lambda_{\text{max}}$ such that $\lambda_{\text{max}} > \lambda_\infty^*$ [37]. With this constant available, we set $\Lambda \triangleq [0, \lambda_{\text{max}}]$.
Our first result is that $W^*$ bounds the performance of any strategy in $S_\gamma$. This result, as stated in Theorem 2, is a generalization of the well-known result of [2] regarding the best possible performance for wealth alone (without constraints).
**Theorem 2** (Optimality of $W^*$). For any investment strategy $S \in S_\gamma$ whose portfolios are $\mathbf{b}_1, \mathbf{b}_2, \ldots$, the following holds a.s.
\[
\liminf_{T \to \infty} \frac{1}{T} \sum_{i=1}^{T} \omega(\mathbf{b}_i, X_i) \geq W^*.
\]
From Theorem 2 it follows that an investment strategy, $S \in S_\gamma$, is optimal if, for any bounded, stationary and ergodic process $\{X_i\}_{-\infty}^{\infty}$,
\begin{equation}
\lim_{T \to \infty} \frac{1}{T} \sum_{i=1}^{T} \omega(\mathbf{b}_i, X_i) = W^* \quad a.s.
\tag{14}
\end{equation}
A $\gamma$-bounded investment strategy whose asymptotic average growth rate is $W^*$ will be called $\gamma$-universal. By the above theorem its asymptotic average growth rate is not worse than any other $\gamma$-bounded strategy. We find just such a strategy in Section 5.
## 5 CVaR-Adjusted Nearest Neighbor Investment Strategy
In this section we present an investment strategy in $S \in S_\gamma$ that satisfies (14). The strategy, which we call CVaR-Adjusted Nearest Neighbor, henceforth CANN, is summarized in the pseudo-code in Algorithm 1. To define the strategy we require the following definition of the instantaneous Lagrangian:
\[
l(\mathbf{b}, c, \lambda, x) \triangleq
\]
\[
\omega(\mathbf{b}, x) + \lambda \left( c + \frac{1}{1 - \alpha} (\omega(\mathbf{b}, x) - c)^+ - \gamma \right).
\tag{15}
\]
The strategy maintains a countable array of experts $\{H_{k,l}\}$, where on each day $t$ an expert $H_{k,l}$ outputs a triplet $(\mathbf{b}_{k,l}^t, c_{k,l}^t, \lambda_{k,l}^t) \in B \times \Lambda$, defined to be the minimax solution corresponding to an empirical distribution using nearest neighbor estimates (see details below). We prove that, as $t$ grows, those empirical estimates converge (weakly) to $P_\infty$ and thus converge to $W^*$. Each day $t$, CANN outputs a prediction $(\mathbf{b}_t, c_t, \lambda_t) \in B \times \Lambda$. The sequence of predictions $(\mathbf{b}_1, c_1), (\mathbf{b}_2, c_2), \ldots$ output by CANN is designed to minimize the average loss, $\frac{1}{T} \sum_{i=1}^{T} l(\mathbf{b}, c, \lambda, x_i)$. Similarly, the sequence of predictions $\lambda_1, \lambda_2, \ldots$ is designed to maximize the average loss, $\frac{1}{T} \sum_{i=1}^{T} l(\mathbf{b}_i, c_i, \lambda, x_i)$. Each of $(\mathbf{b}_t, c_t)$ and $\lambda_t$ is generated by aggregating the experts' predictions $(\mathbf{b}, c)_{k,l}^t$ and $\lambda_{k,l}^t$, $k, l = 1, 2, \ldots$, respectively. In order to ensure that CANN will perform as well as any other expert for both the $(\mathbf{b}, c)$ and $\lambda$ predictions, we apply, twice alternately, the Weak Aggregating Algorithm (WAA) of [43], and [26]. It will also ensure that the average loss of the strategy will converge a.s. to $W^*$.
We now turn to defining the countable set of experts $\{H_{k,h}\}$: For each $h = 1, 2, \ldots$, we choose $p_h \in (0, 1)$ such that for the sequence $\{p_h\}_{h=1}^{\infty}$, $\lim_{h \to \infty} p_h = 0$. Setting $\hat{h} = \lfloor tp_h \rfloor$, for expert $H_{k,h}$ we define, for a fixed $(k \times n)$-
Algorithm 1 CVaR-Adjusted Nearest Neighbor Investment Strategy (CANN)
**Input:** Countable set of experts \( \{H_{k,h}\} \), \( \alpha > 0 \) \((b_0, c_0) \in B\) \( \lambda_0 \in \Lambda \), initial probability \( \{\beta_{k,h}\} \),
**For** \( t = 0 \) **to** \( \infty \)
Play \( b_t, c_t, \lambda_t \).
Nature reveals market vector \( X_t \)
Suffer loss \( l(b_t, c_t, \lambda_t, x_t) \).
Update the cumulative loss of the experts
\[
l^{k,h}_{(b,c),t} \triangleq \sum_{i=0}^{t} l(b^i_{k,h}, c^i_{k,h}, \lambda_i, x_i)
\]
\[
l^{\lambda,t}_{\lambda,t} \triangleq \sum_{i=0}^{t} l(b_t, c_i, \lambda^i_{k,h}, x_i)
\]
Update experts’ weights
\[
w^{(k,h)}_{t+1,(b,c)} \triangleq \beta_{k,h} \exp \left( -\frac{1}{\sqrt{t}} l^{k,h}_{(b,c),t} \right)
\]
\[
p^{(k,h)}_{t+1,(b,c)} \triangleq \frac{w^{(k,h)}_{t+1,(b,c)}}{\sum_{h=1}^{\infty} \sum_{k=1}^{\infty} w^{(k,h)}_{t+1,(b,c)}}
\]
Update experts’ weights \( w^{\lambda,(k,h)}_{n+1} \)
\[
w^{(k,h)}_{t+1,\lambda} \triangleq \beta_{k,h} \exp \left( \frac{1}{\sqrt{t}} p^{(k,h)}_{\lambda,t} \right)
\]
\[
p^{(k,h)}_{t+1,\lambda} \triangleq \frac{w^{(k,h)}_{t+1,\lambda}}{\sum_{h=1}^{\infty} \sum_{k=1}^{\infty} w^{(k,h)}_{t+1,\lambda}}
\]
Choose \( b_{t+1}, c_{t+1} \) and \( \lambda_{t+1} \) as follows
\[
b_{t+1} = \sum_{k,h} p^{(k,h)}_{t+1,(b,c)} b^{t+1}_{k,h}
\]
\[
c_{t+1} = \sum_{k,h} p^{(k,h)}_{t+1,(b,c)} c^{t+1}_{k,h}
\]
\[
\lambda_{t+1} = \sum_{k,h} p^{(k,h)}_{t+1,\lambda} \lambda^{t+1}_{k,h}
\]
**End For**
dimensional vector, denoted \( w \), the following set,
\[
B^{w,(1,t)}_{k,h} \triangleq \{x_i \mid k + 1 \leq i \leq t, X^{i-1}_{i-k} \text{ is among the } \hat{h} \text{ nearest neighbors of } w \text{ among } X^k_1, \ldots, X^{t-1}_{t-k}\},
\]
where
\[
X^{j+k}_j \triangleq (X_j, \ldots, X_{j+k}) \in \mathbb{R}^{k \times n}.
\]
Thus, expert \( H_{k,h} \) has a window of length \( k \) and it looks for the \( \hat{h} \) euclidean nearest-neighbors of \( w \) in the past. This results in a set of market vectors \( B^{w,(1,t)}_{k,h} \). This set can also be seen as a conditional probability over the space of possible market vectors. Then, each expert recommends the actions \((b, c) \in B\) and \( \lambda \in \Lambda \), which are the corresponding minimax solution. More formally, we define
\[
h^{(b,c)}_{k,h}(X^{t-1}_1, w) \triangleq \arg \min_{(b,c) \in B} \left( \max_{\lambda \in \Lambda} \frac{1}{|B^{w,(1,t)}_{k,h}|} \sum_{x_i \in B^{w,(1,t)}_{k,h}} l_{k,l,t}(b, c, \lambda, x_i) \right)
\]
and
\[
h^{\lambda}_{k,h}(X^{t-1}_1, w) \triangleq \arg \max_{\lambda \in \Lambda} \left( \min_{(b,c) \in B} \frac{1}{|B^{w,(1,t)}_{k,h}|} \sum_{x_i \in B^{w,(1,t)}_{k,h}} l_{k,l,t}(b, c, \lambda, x_i) \right)
\]
for
\[
l_{k,h,t}(b, c, \lambda, x_i) \triangleq l(b, c, \lambda, x_i) + \left( ||(b, c)||^2 - ||\lambda||^2 \right) \left( \frac{1}{t} + \frac{1}{h} + \frac{1}{k} \right),
\]
Using the above, we define the predictions of \( H_{k,h} \) to be:
\[
H^{(b,c)}_{k,h}(X^{t-1}_1) = h^{(b,c)}_{k,h}(X^{t-1}_1, X^{t-1}_{t-k}), \quad t = 1, 2, 3, \ldots
\]
\[
H^{\lambda}_{k,h}(X^{t-1}_1) = h^{\lambda}_{k,h}(X^{t-1}_1, X^{t-1}_{t-k}), \quad t = 1, 2, 3, \ldots
\]
Note that \( l_{k,h,t}(b, c, \lambda, x) \) is an approximation of \( l(b, c, \lambda, x) \), which guarantees that the minimax solution of every expert is unique. This technicality is used in the proof of Theorem 3.
Theorem 3 below states that the CANN strategy, applied on the experts defined above, is \( \gamma \)-universal. We note that the theorem utilizes a standard assumption (see, e.g., [7, 21]).
**Theorem 3** (\( \gamma \)-universality). Assume that for any vector \( w \in \mathbb{R}^{n \times k} \) the random variable \( ||X^k_1 - w|| \) has a continuous distribution. Then, for any \( \gamma > 0 \) and for any bounded process \( \{X_i\}_{-\infty}^{\infty} \), CANN is \( \gamma \)-universal.
The full proof of this theorem appears in the supplementary material. The main idea is to show first that the minimax (12) value of the Lagrangian (13) is continuous with respect to the probability measure. Then, we prove that the minimax measurable selection (which gives the optimal actions) is also continuous and every accumulation point of induced sequence of optimal actions is optimal. This is formulated in the following lemmas:
**Lemma 1** (Continuity and Minimax). Let \( B, \Lambda, \mathcal{X} \) be compact real spaces. \( l : B \times \Lambda \times \mathcal{X} \rightarrow \mathbb{R} \) be a continuous function. Denote by \( \mathbb{P}(\mathcal{X}) \) the space of all probability measures
on $\mathcal{X}$ (equipped with the topology of weak-convergence). Then the following function $L^* : \mathbb{P}(\mathcal{X}) \to \mathbb{R}$ is continuous
$$L^*(\mathbb{Q}) = \inf_{(\mathbf{b}, c) \in \mathcal{B}} \sup_{\lambda \in \Lambda} \mathbb{E}_{\mathbb{Q}} [l((\mathbf{b}, c), \lambda, x)] . \quad (18)$$
Moreover, for any $\mathbb{Q} \in \mathbb{P}(\mathcal{X})$,
$$\inf_{(\mathbf{b}, c) \in \mathcal{B}} \sup_{\lambda \in \Lambda} \mathbb{E}_{\mathbb{Q}} [l((\mathbf{b}, c), \lambda, x)] = \sup_{\lambda \in \Lambda} \inf_{(\mathbf{b}, c) \in \mathcal{B}} \mathbb{E}_{\mathbb{Q}} [l((\mathbf{b}, c), \lambda, x)] .$$
**Lemma 2** (Continuity of the optimal selection). Let $\mathcal{B}, \Lambda, \mathcal{X}$ be compact real spaces. Then, there exist two measurable selection functions $h^{\mathcal{X}}, h^{\lambda}$ such that
$$h^{(\mathbf{b}, c)}(\mathbb{Q}) \in \arg \min_{(\mathbf{b}, c) \in \mathcal{B}} \left( \max_{\lambda \in \Lambda} \mathbb{E}_{\mathbb{Q}} [l((\mathbf{b}, c), \lambda, x)] \right),$$
$$h^{\lambda}(\mathbb{Q}) \in \arg \max_{\lambda \in \Lambda} \left( \min_{(\mathbf{b}, c) \in \mathcal{B}} \mathbb{E}_{\mathbb{Q}} [l((\mathbf{b}, c), \lambda, x)] \right)$$
for any $\mathbb{Q} \in \mathbb{P}(\mathcal{X})$. Moreover, let $L^*$ be as defined in Equation (18). Then, the set
$$Gr(L^*) \triangleq \{(u^*, v^*, \mathbb{Q}) | u^* \in h^{(\mathbf{b}, c)}(\mathbb{Q}), v^* \in h^{\lambda}(\mathbb{Q}), \mathbb{Q} \in \mathbb{P}(\mathcal{X})\},$$
is closed in $\mathcal{B} \times \Lambda \times \mathbb{P}(\mathcal{X})$.
Those lemmas are helpful since the empirical measures generated by the experts will converge weakly, using the ergodic theorem [9] and the properties of the nearest neighbors estimates [14], to $\mathbb{P}_\infty$. Thus, we will get that the asymptotic average growth rate of the experts is $\mathcal{W}^*$, and by the guarantee of WAA, the asymptotic average growth rate of CANN will also be $\mathcal{W}^*$.
**Table 1: Datasets**
| DATASET | STARTING DAY | # DAYS | # STOCKS |
|---------|--------------|--------|----------|
| NYSE-N | 1/1/1983 | 2250 | 23 |
| MSCI | 4/1/2006 | 1043 | 24 |
**6 Empirical results**
To apply the CANN strategy, we implemented it with a finite set of experts, and in this section we present our empirical results on some standard datasets. One objective of our experiments is to examine how well CANN maintains the CVaR constraints. Another objective is to compare it to several well-known adversarial no-regret portfolio selection algorithms and to stochastically universal strategies. The benchmark algorithms we tested are:
- **Best Constant Rebalancing Portfolio (BCRP)** [13]: Constant rebalancing portfolio (CRP) is a strategy which uses the same wealth allocation at each round. The BCRP is the optimal strategy among the class of CRP strategies. Clearly, the BCRP is calculated in hindsight and it only stands as a benchmark strategy. It was shown in [13] that the BCRP is the optimal strategy whenever market sequences are i.i.d.
- **Cover’s Universal Portfolios (UP)** [13]: This algorithm invests a fraction of the wealth in every CRP, where the updates ensures that well preforming CRPs will get an higher fraction. The algorithm guarantees logarithmic regret w.r.t the wealth achieved by the BCRP.
- **Exponentiated Gradient (EG)** [23]: This well known no-regret algorithm can be applied to the problem of OPS by looking at every stock as an individual expert. This algorithm ensures a square-root regret.
- **Online Newton Steps (ONS)** [1]: This algorithm exploits the exp-concavity property of the loss function in order to guarantee logarithmic regret w.r.t. the wealth achieved by BCRP.
- **The nearest-neighbor based strategy (long-only and non-leveraged) of Györfi et al. ($\mathcal{B}_{NN}$)** [21]: $\mathcal{B}_{NN}$, which is a (stochastically) universal strategy whose asymptotic growth rate is optimal when the market follows a stationary and ergodic process.
- **The nearest-neighbor based strategy (with short and leveraged): $\mathcal{B}_{NN}^L$**: A variant of $\mathcal{B}_{NN}$ which allows short and leveraged investment. This variant was described in [19]
The experiments were conducted on two datasets that were used in many previous works (see, e.g., [28, 29, 8]). The first is the NYSE dataset, which consists of 23 stocks between the years 1985-1995. The second is the MSCI dataset, which consists of 24 stocks between the years 2006-2010. The statistics of these two datasets are summarized in Table 1.
Following [19, 25], for both datasets we used a daily interest rate of $r = 0.000245$ and set $B = 0.4$, which implies that $L_{B, r} = 2.49$. This interest rate is suitable for the NYSE dataset and is higher than the true rate that was at the time of the MSCI dataset. However, this high choice of interest only reduces the returns of our algorithm, which rarely deposits cash and must pay a lot for short selling and loans. Similarly to the implementation of $\mathcal{B}_{NN}$ [21], our implementation of CANN took the following experts, $k = 1, \ldots, 5$ $h = 1, \ldots, 10$, for a total of 50 experts, and we set $p_l = \frac{1}{20} + \frac{l - 1}{18}$. The initial expert prior was set to be uniform and we chose the typical value of $\alpha = 0.95$ for the calculation of CVaR. The hyper-parameters for the benchmark algorithms were according to [31].
Table 2: Wealth of CANN and benchmark algorithms.
| Dataset | BCRP | UP | EG | ONS | $B_{NN}$ | $B^L_{NN}$ | CANN$_{.05}$ |
|---------|------|----|----|-----|----------|------------|-------------|
| NYSE | 12.53| 5.05| 5.03| 5.83| 39.56 | 1054 | 58.8 |
| MSCI | 1.51 | 0.92| 0.93| 0.86| 13.47 | 6.32E+05 | 6.06E+03 |
Table 3: CVaR$_{0.95}$ of CANN with different values of $\gamma$.
| Dataset | $B^L_{NN}$ | CANN$_{.07}$ | CANN$_{.06}$ | CANN$_{.05}$ | CANN$_{.04}$ | CANN$_{.03}$ | CANN$_{.02}$ | CANN$_{.01}$ |
|---------|------------|--------------|--------------|--------------|--------------|--------------|--------------|--------------|
| NYSE | 6.3% | 4.9% | 3.82% | 3.2% | 2.9% | 2.46% | 1.86% | 1.24% |
| MSCI | 7.76% | 5.49% | 5.15% | 4.44% | 3.81% | 2.98% | 2.27% | 1.59% |
Table 2 presents the total wealth of all the algorithms, where CANN was applied with $\gamma = 0.05$, denoted by CANN$_{.05}$. It is evident that the stochastically universal algorithms are superior to all the worst-case universal algorithms. It is also evident that allowing margin and short trading is beneficial in terms of final wealth. Another phenomenon we can observe is that the final wealth of the our risk-adjusted algorithm is less compare to the risk-oblivious algorithm $B^L_{NN}$, this of-course should not be surprising.
We conducted another experiment where we applied CANN with different choices of $\gamma$ in the range $[0.01, 0.07]$. The results are presented in Table 3, where the CVaR$_{0.95}$ is presented. It is evident that CANN indeed enjoys lower CVaR$_{0.95}$ rates compares to $B^L_{NN}$. We can also observe that by lowering the choice of $\gamma$ we can adjust the CVaR resulting in less risky strategies. In Figure 1, we present the mean-CVaR tradeoff where the $y$-axis shows the average return and the $x$-axis shows the CVaR$_{0.95}$. The concave shape suggests that by choosing an appropriate $\gamma$, one may achieve a better mean-CVaR trade-off.
In Figure 2 we present the smoothed PDF of the returns of the daily returns of both $B^L_{NN}$ (red curve) and CANN (green curve) on the NYSE and the MSCI datasets. The left tails of these PDFs show that our algorithm effectively decreases the risk accompanied with the investment. Another interesting aspect of our strategy is its lower variance.
In Figure 3 we plot the log-returns of the above instances on both datasets where it can be seen that the performance of our algorithm is consistent during different investment periods.
7 Concluding Remarks
In this paper we introduced the CVaR-adjusted nearest-neighbor portfolio selection strategy, which is the first CVaR-adjusted universal portfolio selection strategy when the underlying market process is stationary and ergodic. It should be noted that it is possible to revise our method to work with other modern measures of risk such as the *optimized certainty equivalent* [5], *distortion risk measures* (mixture of CVaR) [16, 27], and *law-invariant coherent risk measures* [27], in a straight forward manner since all of the above can be calculated by solving a convex minimization problem as was done for CVaR.
Early works in modern finance assumed that markets are stochastic and very simple (e.g., the returns are normally distributed) [40, 38]. This modeling assumption was later found to be too simplistic [33]. At the other extreme, Cover initiated the study of adversarial portfolio selection whereby stock prices are controlled by an adversary. Neither extreme led to overly effective strategies. It appears that a more sophisticated stochastic modeling, as we pursue here, can lead to effective strategies. However, despite the empirical success of these methods, there are two caveats, the first one is that the obtained bounds are asymptotic and the second is the computational deficiency of the method. To overcome those barriers, additional, and possibly strong, assumptions on the market process will be required. Moreover, it is not entirely clear whether such goals can be pursued without harming the empirical success of the methods. In the future, we wish to pursue those goals while not over-committing to dubious assumptions.
Another interesting future direction is designing a metric which is suitable for the problem of portfolio selection. In our paper and in [21] the euclidean metric was used. However, it was demonstrated in [30] that the Euclidean metric may not be suitable for OPS since it ignores profitable phenomenas such as mean-reversion. A careful design of similarity measure might lead to significant improvement in terms of final wealth.
A final caveat would be that the OPS framework ignores several factors which are essential for real paper trading (e.g., transaction costs, implementation shortfall and market impact). Incorporating and considering those factors is a difficult task and still considered to be an open problem. We leave those issues for future work.
Acknowledgments
We would like to thank the anonymous reviewers for providing helpful comments. This research was supported by The Israel Science Foundation (grant No. 1890/14).
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1. Introduction
Turbulence is almost the rule in the flow of classical fluids. It is a complex nonlinear phenomenon for which the development of a satisfactory theoretical framework is still incomplete. Turbulence is often found in the flow of quantum fluids, especially superfluid Helium 4, known as liquid helium II (Donnelly, 1991), (Nemirovskii & Fiszdon, 1995), (Barenghi et al., 2001), (Vinen & Niemela, 2002).
In recent years there has been growing interest in superfluid turbulence, because of its unique quantum peculiarities and of its similarity with classical turbulence to which it provides a wide range of new experimental possibilities at very high Reynolds numbers (Vinen, 2000), (Barenghi, 1999), and because of their influence in some practical applications, as in refrigeration by means of superfluid helium. We will consider here the turbulence in superfluid $^4$He, for which many detailed experimental techniques have been developed.
The behavior of liquid helium, below the lambda point ($T_c \simeq 2.17$ K), is very different from that of ordinary fluids. One example of non-classical behavior is the possibility to propagate the second sound, a wave motion in which temperature and entropy oscillate. A second example of non-classical behavior is heat transfer in counterflow experiments. Using an ordinary fluid (such as helium I), a temperature gradient can be measured along the channel, which indicates the existence of a finite thermal conductivity. If helium II is used, and the heat flux inside the channel is not too high, the temperature gradient is so small that it cannot be measured, so indicating that the liquid has an extremely high thermal conductivity (three million times larger than that of helium I). This is confirmed by the fact that helium II is unable to boil. This effect explains the remarkable ability of helium II to remove heat and makes it important in engineering applications.
The most known phenomenological model, accounting for many of the properties of He II, given by Tisza and Landau (Tisza, 1938), (Landau, 1941) is called the two-fluid model. The basic assumption is that the liquid behaves as a mixture of two fluids: the normal component with density $\rho_n$ and velocity $v_n$, and the superfluid component with density $\rho_s$ and velocity $v_s$, with total mass density $\rho$ and barycentric velocity $v$ defined by $\rho = \rho_s + \rho_n$ and $\rho v = \rho_s v_s + \rho_n v_n$. The second component is related to the quantum coherent ground state and it is an ideal fluid, which does not experience dissipation neither carries entropy. The superfluid component, which is absent above the lambda transition temperature, was originally considered to be composed by particles in the Bose-Einstein state and is an ideal...
fluid, and the normal component by particles in the excited state (phonons and rotons) and is a classical Navier-Stokes viscous fluid.
The two-fluid model explains the experiment described above in the following way: in the absence of mass flux \((\rho_n v_n + \rho_s v_s = 0\) and \(v_n\) and \(v_s\) averaged on a small mesoscopic volume \(\Lambda\)), in helium II the heat is carried toward the bath by the normal fluid only, and \(q = \rho_s T v_{n1}\) where \(s\) is the entropy per unit mass and \(T\) the temperature. Being the net mass flux zero, there is superfluid motion toward the heater \((v_s = -\rho_n v_n / \rho_s)\), hence there is a net internal counterflow \(V_{ns} = v_n - v_s = q / (\rho_s s T)\) which is proportional to the applied heat flux \(q\).
An alternative model of superfluid helium is the one-fluid model (Lebon & Jou, 1979), (Mongiovì, 1993), (Mongiovì, 2001) based on extended thermodynamics (Müller & Ruggeri, 1998), (Jou et al., 2001), (Lebon et al., 2008). Extended Thermodynamics (E.T.) is a thermodynamic formalism proposed in the last decades, which offers a natural framework for the macroscopic description of liquid helium II. The basic idea underlying E.T. is to consider the physical fluxes as independent variables. In previous papers, the E.T. has been applied to formulate a non-standard one-fluid model of liquid helium II, for laminar flows. This model is recalled in Section 2, in the absence of vortices (laminar flow) and in Section 3 both in rotating containers and in counterflow situations.
Quantum turbulence is described as a chaotic tangle of quantized vortices of equal circulation
\[
\kappa = \oint u_s \cdot dl
\]
\((u_s\) microscopic velocity of the superfluid component) called *quantum of vorticity* and results \(\kappa = h / m_4\), with \(h\) the Planck constant, and \(m_4\) the mass of \(^4\)He atom: \(\kappa \simeq 9.97 \times 10^{-4} \text{cm}^2/\text{s}\).
Since the vorticity is quantized, the increase of turbulence is manifested as an increase of the total length of the vortex lines, rather than with a faster spinning of the vortices. Thus, the dynamics of the vortex length is a central aspect of quantum turbulence.
A preliminary study of these interesting phenomena was made in (Jou et al., 2002), where the presence of vortices was modeled through a pressure tensor \(P_\omega\), for which a constitutive relation was written. In homogeneous situations, the vortex tangle is described by introducing a scalar quantity \(L\), the average vortex line length per unit volume (briefly called *vortex line density*). The evolution equation for \(L\) in counterflow superfluid turbulence has been formulated by Vinen (Vinen, 1958), (Donnelly, 1991), (Barenghi et al., 2001)
\[
\frac{dL}{dt} = \alpha_v V_{ns} L^{3/2} - \beta_v \kappa L^2,
\]
with \(V_{ns}\) the modulus of the counterflow velocity \(V_{ns} = v_n - v_s\), which is proportional to the heat flux \(q\), and \(\alpha_v\) and \(\beta_v\) dimensionless parameters. This equation assumes homogeneous turbulence, i.e. that the value of \(L\) is the same everywhere in the system. In fact, homogeneity may be expected if the average distance between the vortex filaments, of the order of \(L^{-1/2}\), is much smaller than the size of the system.
Recent experiments show the formation of a new type of superfluid turbulence, which has some analogies with classical one, as for instance using towed or oscillating grids, or stirring liquid helium by means of propellers. In this situation, which has been called *co-flow*, both components, normal and superfluid, flow along the same direction. To describe these experiments it is necessary to build up a hydrodynamic model of quantum turbulence, in which the interactions between both fields can be studied and the role of inhomogeneities is explicitly taken into account.
Our aim in this review is to show hydrodynamical models for turbulent superfluids, both in linear and in non-linear regimes. To this purpose, in Section 4 we will choose as fundamental fields the density $\rho$, the velocity $v$, the internal energy density $E$, in addition to the heat flux $q$, and the averaged vortex line density $L$ (Mongiovi & Jou, 2007), (Ardizzone & Gaeta, 2009). We will write general balance equations for the basic variables and we will determine the constitutive equations for the fluxes; the nonlinear relations which constrain the constitutive quantities will be deduced from the second law of thermodynamics, using the Liu method of Lagrange multipliers (Liu, 1972). The physical meaning of the Lagrange multipliers both near and far from equilibrium will be also investigated. Under the hypothesis of homogeneity in the vortex tangle, the propagation of second sound in counterflow is studied, with the aim to determine the influence of the vortex tangle on the velocity and attenuation of this wave. In this model the diffusion flux of vortices $J^L$ is considered as a dependent variable, collinear with the heat flux $q$. But, in general, this feature is not strictly verified because the vortices move with a velocity $v_L$, which is not collinear with the counterflow velocity. For this reason, a more detailed model of superfluid turbulence would be necessary, by choosing as fundamental fields, in addition to the fields previously used, also the velocity of the vortex line $v_L$. In Section 5 we aim to study the interaction between second sound and vortex density wave, a model which chooses as field variables, the internal energy density $E$, the line density $L$, and the vortex line velocity $v_L$ (Sciacca et al., 2008).
The paper is the first general review of the hydrodynamical models of superfluid turbulence inferred using the procedures of E.T. Furthermore, the text is not exclusively a review of already published results, but it contains some new interpretations and proposals which are formulated in it for the first time.
2. The one-fluid model of liquid helium II derived by extended thermodynamics
Extended Thermodynamics (E.T.) is a macroscopic theory of non-equilibrium processes, which has been formulated in various ways in the last decades (Müller & Ruggeri, 1998), (Jou et al., 2001), (Lebon et al., 2008). The main difference between the ordinary thermodynamics and the E.T. is that the latter uses dissipative fluxes, besides the traditional variables, as independent fields. As a consequence, the assumption of local equilibrium is abandoned in such a theory. In the study of non-equilibrium thermodynamic processes, an extended approach is required when one is interested in sufficiently rapid phenomena, or else when the relaxation times of the fluxes are long; in such cases, a constitutive description of these fluxes in terms of the traditional field variables is impossible, so that they must be treated as independent fields of the thermodynamic process.
From a macroscopic point of view, an extended approach to thermodynamics is required in helium II because the relaxation time of heat flux is comparable with the evolution times of the other variables; this is confirmed by the fact that the thermal conductivity of helium II cannot be measured. As a consequence, this field cannot be expressed by means of a constitutive equation as a dependent variable, but an evolution equation for it must be formulated.
From a microscopic point of view, E.T. offers a natural framework for the (macroscopic) description of liquid helium II: indeed, as in low temperature crystals, using E.T., the dynamics of the relative motion of the excitations is well described by the dynamics of the heat flux.
The conceptual advantage of the one-fluid model is that, in fact, from the purely macroscopic point of view one sees only a single fluid, rather than two physically different fluids. Indeed the variables $v$ and $q$ used in E.T. are directly measurable, whereas the variables $v_n$ and $v_s$,
are only indirectly measured, usually from the measurements of \( q \) and \( v \). The internal degree of freedom arising from the relative motion of the two fluids is here taken into account by the heat flux, whose relaxation time is very long. However, the two-fluid model provides a very appealing image of the microscopic helium behavior, and therefore is the most widely known.
### 2.1 Laminar flows
A non standard one-fluid model of liquid helium II deduced by E.T. was formulated in (Mongiovi, 1991). The model chooses as fundamental fields the mass density \( \rho \), the velocity \( v \), the absolute temperature \( T \) and the heat flux density \( q \). Neglecting, at moment, dissipative phenomena (mechanical and thermal), the linearized evolution equations for these fields are:
\[
\begin{cases}
\dot{\rho} + \rho \nabla \cdot v = 0, \\
\rho \dot{v} + \nabla p^* = 0, \\
\rho \dot{\epsilon} + \nabla \cdot q + p \nabla \cdot v = 0, \\
\dot{q} + \zeta \nabla T = 0.
\end{cases}
\]
(3)
In these equations, the quantity \( \epsilon \) is the specific internal energy per unit mass, \( p \) the thermostatic pressure, and \( \zeta = \lambda_1 / \tau \), being \( \tau \) the relaxation time of the heat flux and \( \lambda_1 \) the thermal conductivity. As it will be shown, coefficient \( \zeta \) characterizes the second sound velocity, and therefore it is a measurable quantity. Upper dot denotes the material time derivative.
Equations (3) describe the propagation in liquid helium II of two waves, whose speeds \( w \) are the solutions of the following characteristic equation:
\[
\left( w^2 - V_1^2 \right) \left( w^2 - V_2^2 \right) - W_1 W_2 u^2 = 0,
\]
(4)
where
\[
V_1^2 = p_\rho, \quad V_2^2 = \frac{\zeta}{\rho c_V}, \quad W_1 = \frac{p_T}{\rho}, \quad W_2 = \frac{T p_T}{\rho c_V},
\]
(5)
and with \( c_V = \partial \epsilon / \partial T \) the constant volume specific heat and \( p_T = \partial p / \partial T \) and \( p_\rho = \partial p / \partial \rho \).
Neglecting thermal expansion (\( W_1 = 0, W_2 = 0 \)) equation (4) admits the solutions \( w_{1,2} = \pm V_1 \) and \( w_{3,4} = \pm V_2 \), corresponding to the two sounds typical of helium II: \( w = \pm V_1 \) implies vibration of only density and velocity; while \( w = \pm V_2 \) implies vibration of only temperature and heat flux. This agrees with the experimental observations. The coefficient \( \zeta \) can be determined by the second equation in 5, once the expression of the second sound velocity is known.
Finally, we observe that the Gibbs equation for helium II can be written as
\[
T ds = d\epsilon - \frac{p}{\rho^2} d\rho - \frac{1}{\rho \zeta T} q : dq,
\]
(6)
where \( s \) is the specific entropy.
### 2.2 The viscous pressure tensor
It is experimentally known that dissipative effects both of mechanical and thermal origin are present in the propagation of the two sounds in liquid helium II, also in the absence of
vortices. To take into account of these effects, a symmetric dissipative pressure tensor $P_K$ must be introduced:
$$[P_K]_{ik} = p_{<ij>} + p_V \delta_{ik}. \tag{7}$$
In (Mongiovì, 1993) for the two fields $p_{<ij>}$ and $p_V$, respectively deviator and trace of the stress tensor, the following constitutive relations were determined:
$$p_V = -\lambda_0 \frac{\partial v_i}{\partial x_j} + \beta' T \lambda_0 \frac{\partial q_j}{\partial x_i}, \tag{8}$$
$$p_{<ik>} = -2\lambda_2 \frac{\partial v_{<i}}{\partial x_k>} + 2\beta T \lambda_2 \frac{\partial q_{<i}}{\partial x_k>}. \tag{9}$$
In these equations $\lambda_0$ and $\lambda_2$ are the bulk and the shear viscosity, while $\beta$ and $\beta'$ are coefficients appearing in the general expression of the entropy flux in E.T. and take into account of the dissipation of thermal origin.
Equations (8)–(9) contain, in addition to terms proportional to the gradient of velocity (the classical viscous terms), terms depending on the gradient of the heat flux (which take into account of the dissipation of thermal origin). The first terms in (8)–(9) allow us to explain the attenuation of the first sound, the latter the attenuation of the second sound.
In the presence of dissipative phenomena, the field equations (3) are modified in:
$$\begin{cases}
\dot{\rho} + \rho \nabla \cdot v = 0, \\
\dot{v} + \frac{1}{\rho} \nabla p + \frac{1}{\rho} \nabla p_V + \frac{1}{\rho} \nabla p_{<ji>} = 0, \\
\dot{T} + \frac{T p_V}{\rho c_V} \nabla \cdot v + \frac{1}{\rho c_V} \nabla \cdot q = 0, \\
\dot{q} + \zeta \nabla T - \beta' T^2 \zeta \nabla p_V + \beta T^2 \zeta \nabla p_{<ji>} = 0.
\end{cases} \tag{10}$$
The propagation of small amplitude waves was studied in (Mongiovì, 1993). Supposing zero thermal expansion under the hypothesis of small dissipative losses (viscous and thermal) approximation, one sees that in helium II two waves propagate (the first and the second sound), whose velocities are identical to that found in the absence of dissipation, and the attenuation coefficients are found to be:
$$k_s^{(1)} = \frac{\omega^2}{2\rho w_1^3} \left( \lambda_0 + \frac{4}{3} \lambda_2 \right), \quad k_s^{(2)} = \frac{\omega^2 T^3 \zeta}{2w_2^3} \left( \lambda_0 \beta'^2 + \frac{4}{3} \lambda_2 \beta^2 \right). \tag{11}$$
### 2.3 Comparison with the two-fluid model
Comparing these results with the results of the two-fluid model (Mongiovì, 1993), we observe that the expression of the attenuation coefficient $k_s^{(1)}$ of the first sound is identical to the one inferred by Landau and Khalatnikov, using the two-fluid model (Khalatnikov, 1965). The attenuation coefficient of the second sound appears different from the one obtained in (Khalatnikov, 1965). However, it contains a term proportional to the square of the frequency $\omega$, in agreement with the experimental results.
The main difference between the results of the one-fluid theory and the two-fluid model is that, while in the latter the thermal dissipation (needed to explain the attenuation of the
second sound) is due to a dissipative term of a Fourier type, in the extended model it is a consequence of terms dependent on the gradient of the heat flux $q_i$ (which are present in the expressions of the trace and the deviator of non equilibrium stress, besides the traditional viscous terms).
3. Vortices in liquid helium II
From the historical and conceptual perspectives, the first observations of the peculiar aspects of rotation in superfluids arose in the late 1950’s, when it was realized that vorticity may appear inside superfluids and that it is quantized, its quantum $\kappa$ being $\kappa = h/m_4$, with $h$ the Planck constant and $m_4$ the mass of the particles. According to the two-fluid model of Tisza and Landau (Tisza, 1938), (Landau, 1941), the superfluid component cannot participate to a rigid rotation, owing to its irrotationality. Consequently, owing to the temperature dependence of the normal component fraction, different forms of the liquid free surface should be observed at different temperatures. In order to check this prediction, Osborne (Osborne, 1950) put in rotation a cylindrical vessel containing helium II, but no dependence of the form of the free surface of temperature was observed. Feynman (Feynman, 1955) gave an explanation of the rigid rotation of helium II without renouncing to the hypothesis of the irrotationality of the velocity of the superfluid. Following the suggestion of the quantization of circulation by Onsager (Onsager, 1949), he supposed that the superfluid component, although irrotational at the microscopic level, creates quantized vortices at an intermediate level; these vortices yield a non-zero value for the curl of the macroscopic velocity of the superfluid component.
Another interesting experiment was performed by Hall and Vinen (Hall & Vinen,, 1956), (Hall & Vinen,, 1956) about propagation of second sound in rotating systems. A resonant cavity is placed inside a vessel containing He II, and the whole setting rotates at constant angular velocity $\Omega$. When the second sound propagates at right angles with respect to the rotation axis, it suffers an extra attenuation compared to a non-rotating vessel of an amount proportional to the angular velocity. On the other hand, a negligible attenuation of the second sound is found when the direction of propagation is parallel to the axis of rotation. The large increase of the attenuation observed by Hall and Vinen when the liquid is rotated can be explained by the mutual friction, which finds its origin in the interaction between the flow of excitations (phonons and rotons) and the array of straight quantized vortex filaments in helium II. Indeed, such vortices have been directly observed and quantitatively studied. In fact, vortices are always characterized by the same quantum of vorticity, in such a way that for higher rotation rates the total length of the vortices increases. The vortices are seen to form a regular array of almost parallel lines. This has strong similarities with electrical current vortex lines appearing in superconductors submitted to a high enough external magnetic field. In fact, this analogy has fostered the interest in vortices in superfluids, which allow one to get a better understanding of the practically relevant vortices in superconductors (Fazio & van der Zant, 2001).
The situation we have just mentioned would scarcely be recognized as “turbulence”, because its highly ordered character seems very far from the geometrical complexities of usual turbulence. In fact, it only shares with it the relevance of vorticity, but it is useful to refer to it, as it provides a specially clear understanding of the quantization of vorticity.
The interest in truly turbulent situations was aroused in the 1960’s in counterflow experiments (Vinen, 1957), (Vinen, 1958). In these experiments a random array of vortex filaments appears, which produces a damping force: the mutual friction force. The measurements of vortex
lines are described as giving a macroscopic average of the vortex line density $L$. There are essentially two methods to measure $L$ in superfluid $^4$He: observations of temperature gradients in the channel and of changes in the attenuation of the second-sound waves (Donnelly, 1991), (Barenghi et al., 2001).
In the present section, our attention is focused on the study of the action of vortices on second sound propagation in liquid helium II. This will be achieved by using the one-fluid model of liquid helium II derived in the framework of E.T., modified in order to take into account of the presence of vortices.
3.1 The vorticity tensor
To take into account the dissipation due to vortices, a dissipative pressure tensor $P_{\omega}$ can be introduced in equations (3) (Jou et al., 2002)
$$P = P_K + P_{\omega}, \quad (12)$$
where $P_K$ designates the kinetic pressure tensor introduced in the previous section (equation (7)). In contrast with $P_K$ (a symmetric tensor), $P_{\omega}$ is in general nonsymmetric. The decomposition (12) is analogous to the one performed in real gases and in polymer solutions, where particle interaction or conformational contributions are respectively included as additional terms in the pressure tensor (Jou et al., 2001).
As in the description of the one-fluid model of liquid helium II made in Section 2 (see also (Mongiovi, 1991), (Mongiovi, 1993)), the relative motion of the excitations may still be described by the dynamics of the heat flux, but now the presence of the vortices modifies the evolution equation for heat flux. For the moment, we will restrict our attention to stationary situations, in which the vortex filaments are supposed fixed, and we focus our attention on their action on the second sound propagation. In other terms, in this section, we do not assume that $P_{\omega}$ is itself governed by an evolution equation, but that it is given by a constitutive relation. Furthermore, we neglect $P_K$ as compared to $P_{\omega}$, because the mutual friction effects are much greater than bulk and shear forces acting inside the superfluid.
Let us now reformulate the evolution equation for the heat flux $q$. The experimental data show that the extra attenuation due to the vortices is independent of the frequency. Therefore, a rather natural generalization of the last equation in system (3) for the time evolution of the heat flux $q$ is the following:
$$\dot{q} + 2\Omega \times q + \zeta \nabla T = -P_{\omega} \cdot q. \quad (13)$$
This relation is written in a noninertial system, rotating at uniform velocity $\Omega$; the influence of the vortices on the dynamics of the heat flux is modeled by the last term in the r.h.s. of (13). In this equation all the non linear terms have been neglected, with the exception of the production term $\vec{\sigma}_q = -P_{\omega} \cdot q$, which takes into account the interaction between vortex lines and heat flux.
To close the set of equations, we need a constitutive relation for the tensor $P_{\omega}$. The presence of quantized vortices leads to a interaction force with the excitations in the superfluid known as mutual friction. From a microscopic point of view, the major source of mutual friction results from the collision of rotons with the cores of vortex lines: the quasiparticles scatter off the vortex filaments and transfer momentum to them. The collision cross-section is clearly a strong function of the direction of the roton drift velocity relative to the vortex line: it is a maximum when the roton is travelling perpendicular to this line and a minimum (in fact zero)
when the roton moves parallel to the line. The microscopic mechanism is the same in rotating helium II and in superfluid turbulence.
We are therefore led to take:
\[ P_{\omega} = \lambda <\omega> <U - s' \otimes s'> + \lambda' <\omega> <W \cdot s'>, \]
(14)
where brackets denote (spatial and temporal) macroscopic averages. The unspecified quantities introduced in (14) are the following: \( \vec{\omega} \) is the microscopic vorticity vector, \( \omega = |\vec{\omega}| \); \( \lambda = \lambda(\rho, T) \) and \( \lambda' = \lambda'(\rho, T) \) are coefficients relating the internal energy of the liquid to the microscopic vorticity (Khalatnikov, 1965), \( s' \) is a unit vector tangent to the vortices, \( U \) the unit second order tensor and \( W \) the Ricci tensor, an antisymmetric third order tensor such that \( W \cdot s' \cdot q = -s' \times q \). Finally, the quantity \( <\omega> \) depends on the average vortex line length per unit volume \( L \). Neglecting the bulk and shear viscosity and under the hypothesis of small thermal dilation (which in helium II are very small), the linearized system of field equations for liquid helium II, in a non inertial frame and in absence of external force, is (Jou et al., 2002):
\[
\begin{cases}
\frac{\partial \rho}{\partial t} + \rho \frac{\partial v_i}{\partial x_j} = 0, \\
\rho \frac{\partial v_i}{\partial t} + \frac{\partial p}{\partial x_i} + i^0_i + 2\rho (\Omega \wedge v)_i = 0, \\
\frac{\partial T}{\partial t} + \frac{1}{\rho c_V} \frac{\partial q_i}{\partial x_i} = 0, \\
\frac{\partial q_i}{\partial t} + \zeta \frac{\partial T}{\partial x_i} + 2 (\Omega \wedge q)_i = (\vec{\sigma}_q)_i = -(P_{\omega} \cdot q)_i,
\end{cases}
\]
(15)
where \( i^0 + 2\rho (\Omega \wedge v)_i \) stands for the inertial force.
In this section we consider the three most characteristic situations: the wave propagation in a rotating frame, the wave propagation in a cylindrical tube in presence of stationary thermal counterflow (no mass flux), and the wave propagation in the combined situation of rotation and thermal counterflow.
### 3.2 Rotating frame
Rotating helium II is characterized by straight vortex filaments, parallel to the rotation axis, when the angular velocity exceeds a critical value. The amount of these vortices is proportional to the absolute value of the angular velocity \( \Omega \) of the cylinder by the Feynman’s rule: \( L_R = 2|\Omega|/\kappa \). Therefore
\[ <\omega> = \kappa L = 2|\Omega|. \]
(16)
In this situation the averaged unit vector tangent to the vortices is \( <s'> = \Omega/\Omega \).
But, the state with all the vortex lines parallel to the rotation axis will not be reached, because the vortex lines will always exhibit minuscule deviations with respect to the straight line, and such deviations produce a mutual friction force parallel to the rotation axis. Indeed, in another experiment (Snyder & Putney, 1966) the component of the mutual friction along the rotational axis was studied, and their result shows that this component is very small compared with the orthogonal components but not exactly zero. In this subsection, in order to include the axial component of the mutual friction force, the following more general expression for vorticity tensor \( P_{\omega} \) is used:
\[ P_{\omega}^R = \frac{1}{2} \kappa L_R \left[ (B - B'') (\mathbf{U} - \hat{\Omega} \otimes \hat{\Omega}) + B' W \cdot \hat{\Omega} + 2B'' \hat{\Omega} \otimes \hat{\Omega} \right], \tag{17} \]
where \( B \) and \( B' \) are the Hall-Vinen coefficients (Hall & Vinen, 1956) describing the orthogonal dissipative and non dissipative contributions while \( B'' \) is the friction coefficient along the rotational axis. The production term in (15d) can be expressed as (Donnelly, 1991), (Jou & Mongiovì, 2005), (Jou & Mongiovì, 2006):
\[ \vec{\sigma}_q^R = \frac{1}{2} \kappa L_R \left[ (B - B'') \hat{\Omega} \wedge (\hat{\Omega} \wedge q) + B' \hat{\Omega} \wedge q - 2B'' \hat{\Omega} \otimes \hat{\Omega} \cdot q \right]. \tag{18} \]
Assuming the rotation axis as first axis, the vorticity tensor (17) can be written as:
\[ P_{\omega} = \frac{1}{2} B \kappa L \left\{ \begin{pmatrix} 2b & 0 & 0 \\ 0 & 1-b & 0 \\ 0 & 0 & 1-b \end{pmatrix} + \begin{pmatrix} 0 & 0 & 0 \\ 0 & 0 & c \\ 0 & -c & 0 \end{pmatrix} \right\}. \tag{19} \]
where we have put \( b = B''/B \) and \( c = B'/B \). Comparing (19) with (14): if \( B'' = 0 \) then \( B = 2\lambda \), \( B' = 2\lambda' \), \( <(s'_{x_1})^2> = 1 \) and \( <(s'_{x_2})^2> = <(s'_{x_3})^2> = 0 \); if \( B'' \neq 0 \) then the previous identification is not possible but it results \( <(s'_{x_1})^2> = 1 - 2B''/B \) and \( <(s'_{x_2})^2> = <(s'_{x_3})^2> = 2B''/B \).
### 3.2.1 Wave propagation in a rotating frame
In the following we assume that \( \Omega \) is small, so that the term \( i_0 \) in (15b) can be neglected. Substituting the expression (18) into the system (15) and choosing \( \Omega = (\Omega, 0, 0) \), the system assumes the following form:
\[
\begin{cases}
\frac{\partial \rho}{\partial t} + \rho \frac{\partial v_j}{\partial x_j} = 0, \\
\rho \frac{\partial v_i}{\partial t} + \frac{\partial p}{\partial x_i} + 2\rho \Omega v_j W_{1ji} = 0, \\
\frac{\partial T}{\partial t} + \frac{1}{\rho c_V} \frac{\partial q_i}{\partial x_i} = 0, \\
\frac{\partial q_j}{\partial t} + \zeta \frac{\partial T}{\partial x_i} + \left( 2\Omega - \frac{1}{2} B' \kappa L_R \right) q_j W_{1ji} = \frac{1}{2} \kappa L_R [(B - B'') (-q_i + q_1 \delta_{i1}) - 2B'' q_1 \delta_{i1}],
\end{cases}
\] \tag{20}
where \( \delta_{ij} \) is the unit tensor and \( W_{kji} \) the Ricci tensor.
It is easily observed that a stationary solution of this system is:
\[ \rho = \rho_0, \quad \mathbf{v} = 0, \quad T = T_0, \quad \mathbf{q} = 0. \tag{21} \]
In order to study the propagation of plane harmonic waves of small amplitude (Whitham, 1974), we linearize system (20) in terms of the fields \( \Gamma = (\rho, v_i, T, q_i) \), and we look for solutions of the form:
\[ \Gamma = \Gamma_0 + \tilde{\Gamma} e^{i(kn_j x_j - \omega t)}, \tag{22} \]
where $\Gamma_0 = (\rho_0, 0, T_0, 0)$ denotes the unperturbed state, $\tilde{\Gamma} = (\tilde{\rho}, \tilde{v}_i, \tilde{T}, \tilde{q}_i)$ are small amplitudes whose products can be neglected, $K = k_r + i k_s$ is the wavenumber, $\omega = \omega_r + i \omega_s$ the frequency and $n = (n_i)$ the unit vector orthogonal to the wave front. For the sake of simplicity, the subscript 0, which denotes quantities referring to the unperturbed state $\Gamma_0$, will be dropped out.
**First case: n parallel to Ω.**
Assuming that the unit vector $n$ orthogonal to the wave front is parallel to the rotating axis ($x_1$–axis), it follows that longitudinal and transversal modes evolve independently. The study of the longitudinal modes $(\tilde{\rho}, \tilde{v}_1, \tilde{T}$ and $\tilde{q}_1)$ furnishes the existence of two waves: the first sound (or pressure wave) in which density and velocity vibrate with velocity $V_1 := \frac{\omega_{1,2}}{k_r} = \sqrt{\frac{p}{\rho}}$ ($\omega$ real), and the second sound (or temperature wave) in which temperature and heat flux vibrate with velocity
$$w^2 = \left( \frac{\omega}{k_r} \right)^2 = V_2^2 - \frac{B''/2 \kappa L_R^2}{4V_2^2 k_r^2 + B''/2 \kappa L_R^2} \quad \text{and} \quad k_s = \frac{\omega B''/2 \kappa L_R}{2V_2^2},$$
(23)
where $V_2^2 = \frac{\zeta}{\rho c_V}$ is the velocity of the second sound in the absence of vortices and $k_s$ is the attenuation. The longitudinal modes are
| $\omega_{1,2} = \pm k_r V_1$ | $\omega_{3,4} = \pm \sqrt{\frac{4V_2^4 k_r^4}{4V_2^2 k_r^2 + B''/2 \kappa L_R^2}}$ |
|---|---|
| $\tilde{\rho} = \psi$ | $\tilde{\rho} = 0$ |
| $\tilde{v}_1 = \pm \frac{V_1}{\rho} \psi$ | $\tilde{v}_1 = 0$ |
| $\tilde{T}_0 = 0$ | $\tilde{T} = T_0 \psi$ |
| $\tilde{q}_1 = 0$ | $\tilde{q}_1 = \pm \rho c_V T_0 \sqrt{\frac{4V_2^4 k_r^4}{4V_2^2 k_r^2 + B''/2 \kappa L_R^2}} \psi$ |
Therefore, as observed in (Snyder & Putney, 1966), when the wave is propagated parallel to the rotation axis, the longitudinal modes are influenced by the rotation only through the axial component of the mutual friction ($B''$ coefficient).
On the contrary, the transversal modes ($\tilde{v}_2$, $\tilde{v}_3$, $\tilde{q}_2$ and $\tilde{q}_3$) are influenced by the rotation. In fact, the ones of velocity $v$ admit nontrivial solutions if and only if $\omega_{5,6} = \pm 2|\Omega|$, while the ones related to $q$ require the following dispersion relation:
$$\omega_{7,8} = \pm (2\Omega - \frac{1}{2} \kappa L_R B') - \frac{i}{2} \kappa L_R (B - B'').$$
(24)
These transversal modes are influenced from both dissipative and nondissipative contributions $B$, $B'$ and $B''$ in the interaction between quasi-particles and vortex lines (Peruzzo & Sciaccia, 2007).
**Second case: n orthogonal to Ω.**
In the case in which the direction of propagation of the waves (for instance along $x_2$) is orthogonal to the rotation axis (along $x_1$), the longitudinal and transversal modes do not evolve independently. The first sound is coupled with one of the two transversal modes in which velocity vibrates, whereas fields $v_1$, $T$ and $q$ do not vibrate.
Second sound is coupled with a transversal mode in which $T$, $q_2$ and $q_3$ vibrate. Neglecting the second-order terms in $\Omega$, the dispersion relation becomes:
$$\left(-\omega - \frac{i}{2}\kappa L_R (B - B'')\right) \left[-\omega \left(-\omega - \frac{i}{2}\kappa L_R (B - B'')\right) - K^2 V_2^2\right] = 0.$$
(25)
For $\omega \in \Re$ and $K = k_r + i k_s$ complex, one gets the solution $\omega_4 = 0$, which represents a stationary mode; and two solutions which furnish the following phase velocity and attenuation coefficient of the temperature wave (approximated with respect to $(B - B'')\kappa L_R / \omega$):
$$w \simeq \pm V_2 \left(1 - \frac{(B - B'')^2 \kappa^2 L_R^2}{32 \omega^2}\right) + O\left(\frac{(B - B'')^4 \kappa^4 L_R^4}{\omega^4}\right),$$
(26)
$$k_s \simeq \frac{(B - B'')\kappa L_R}{4V_2} + O\left(\frac{(B - B'')^3 \kappa^3 L_R^3}{\omega^2}\right).$$
(27)
The corresponding modes are $\bar{\rho} = \bar{q}_1 = \bar{v}_1 = \bar{v}_2 = \bar{v}_3 = 0$ and
| $\omega_4 = 0$ | $\omega_{5,6} \simeq \pm k_r V_2 \left(1 - \frac{(B - B'')^2 \kappa^2 L_R^2}{32 \omega^2}\right) + O\left(\frac{(B - B'')^4 \kappa^4 L_R^4}{\omega^4}\right)$ |
|---|---|
| $\bar{T} = -\frac{i(2\Omega - \frac{1}{\zeta K} \kappa L_R B')}{\psi}$ | $\bar{T} = T_0 \psi$ |
| $\bar{q}_2 = 0$ | $\bar{q}_2 = \frac{T_0 \zeta}{V_2} \left(1 - \frac{(B - B'')^2 \kappa^2 L_R^2}{32 \omega^2}\right) \psi$ |
| $\bar{q}_3 = \psi$ | $\bar{q}_3 = \frac{i(2\Omega - \frac{1}{\zeta K} \kappa L_R B')}{T_0 \zeta} \left(1 - \frac{(B - B'')^2 \kappa^2 L_R^2}{32 \omega^2}\right) \psi$ |
We note that in the mode of frequency $\omega_4 = 0$, only the transversal component of the heat flux is involved.
For $\omega = \omega_r + i \omega_s$ complex and $K \in \Re$, the first solution of the dispersion relation (25) becomes $\omega_4 = -\frac{i}{2}(B - B'')\kappa L_R$. This first mode corresponds to an extremely slow relaxation phenomenon involving the temperature and the transversal component of the heat flux
| $\omega_4 = -\frac{i}{2}(B - B'')\kappa L_R$ |
|---|
| $\bar{\rho} = \bar{v}_1 = \bar{v}_2 = \bar{v}_3 = 0$ |
| $\bar{T} = -\frac{i(2\Omega - \frac{1}{\zeta K} \kappa L_R B')}{\psi}$ |
| $\bar{q}_2 = 0$ |
| $\bar{q}_3 = \psi$ |
which, when $\Omega \to 0$, converges to a stationary mode.
3.3 Counterflow in a cylindrical tube
Here we apply the model proposed in Section 2 to study the superfluid turbulence, in a cylindrical channel filled with helium II and submitted to a longitudinal stationary heat flux; for simplicity we suppose that the vortex distribution is described as an isotropic tangle. This allows us to suppose that the microscopic vorticity $\tilde{\omega}$ (hence the unit vector $s'$) is isotropically distributed, so that
$$<U - s' \otimes s'> = \frac{2}{3} U,$$
while $<\omega>$ depends on the average vortex line length $L$ per unit volume, through the simple proportionality law $<\omega> = \kappa L$ and $\lambda = B/2$, $\lambda' = 0$. As a consequence, the pressure tensor (14) takes the simplified form
$$P_{\omega} = \lambda \kappa L \frac{2}{3} U \quad \Rightarrow \quad \tilde{v}_q^H = -K_1 L q,$$
where $K_1 = \frac{1}{3} \kappa B$.
3.3.1 Wave propagation in presence of thermal counterflow
Consider a cylindrical channel filled with helium II, submitted to a longitudinal heat flux $q_0$, exceeding the critical value $q_c$. We refer now to the experimental device (Donnelly & Swanson, 1986), (Donnelly, 1991) in which second sound is excited transversally with respect to the channel. In this case, the heat flux $q$ can be written as $q = q_0 + q'$, with $q'$ the contribution to the heat flux, orthogonal to $q_0$, due to the temperature wave. Suppose that the longitudinal heat flux $q_0$ down the channel is much greater than the perturbation $q'$. Under these hypotheses, neglecting second order terms in $q'$, the production term is linear in the perturbation $q'$.
To study the second sound attenuation in the experiment described above, we use simplified field equations, where all the nonlinear contributions are neglected. Under the above hypotheses, omitting also the thermal dilation, the linearized set of field equations read as
$$\begin{cases}
\frac{\partial \rho}{\partial t} + \rho \frac{\partial v_i}{\partial x_i} = 0, \\
\rho \frac{\partial v_i}{\partial t} + \frac{\partial p}{\partial x_i} = 0, \\
\frac{\partial T}{\partial t} + \frac{1}{\rho c_V} \frac{\partial q_i}{\partial x_i} = 0, \\
\frac{\partial q_i}{\partial t} + \zeta \frac{\partial T}{\partial x_i} = -\frac{1}{3} \kappa B L q_i.
\end{cases}$$
(30)
A stationary solution of the system (30) is (Jou et al., 2002):
$$\rho = \rho_0, \quad \bar{v} = 0, \quad T = T(x_1) = T_0 - \frac{\kappa B L}{3 c_V} q_0 x_1, \quad q = q_0,$$
(31)
where $x_1$ is the direction of the heat flux $q = q_0$. In order to study the propagation of harmonic plane waves in the channel, we look for solutions of the system (30) of the form (22) with $\Gamma_0 = (\rho_0, 0, T(x_1), q_0)$. The longitudinal modes are obtained projecting the vectorial equations for the small amplitudes of velocity and heat flux on the direction orthogonal to the wave front. It is observed that the first sound is not influenced by the thermal counterflow, while
the velocity and the attenuation of the second sound are influenced by the presence of the vortex tangle. The results are (Peruzzo & Sciacca, 2007):
\[ w_{1,2} = \pm \sqrt{p_p}, \]
with \( p_p \) standing for \( \partial p / \partial \rho \) and:
\[ w_{3,4} = \pm V_2 \sqrt{\left( 1 + \frac{k_s^2 V_2^2}{\omega^2} \right)^{-1}} \simeq \pm V_2 \left( 1 - k_s^2 \frac{V_2^2}{2 \omega^2} \right), \quad k_s = \frac{1}{6} \kappa B L \omega. \]
(32)
The transversal modes are obtained projecting the vectorial equations for the small amplitudes of velocity and heat flux on the wave front. The solutions of this equation are: \( \omega_5 = 0 \) and \( \omega_6 = \frac{i}{3} \kappa B L \). The mode \( \omega_5 = 0 \) is a stationary mode.
### 3.4 Combined situation of rotating counterflow
The combined situation of rotation and heat flux, is a relatively new area of research (Jou & Mongiovi, 2004), (Mongiovi & Jou, 2005), (Tsubota et al., 2004). The first motivation of this interest is that from the experimental observations one deduces that the two effects are not merely additive; in particular, for \( q \) or \( \Omega \) high, the measured values of \( L \) are always less than \( L_H + L_R \) (Swanson et al., 1983).
Under the simultaneous influence of heat flux \( q \) and rotation speed \( \Omega \), rotation produces an ordered array of vortex lines parallel to rotation axis, whereas counterflow velocity causes a disordered tangle. In this way the total vortex line is given by the superposition of both contributions so that the vortex tangle is anisotropic. Therefore, assuming that the rotation is along the \( x_1 \) direction \( \Omega = (\Omega, 0, 0) \) and isotropy in the transversal \( (x_2 - x_3) \) plane, for the vorticity tensor \( P_\omega \), in combined situation of counterflow and rotation, the following explicit expression is taken
\[ P_\omega = \frac{B}{2} \kappa L \left\{ \frac{2}{3} (1 - D) U + D \left[ \left( 1 - \frac{B''}{B} \right) \left( U - \hat{\Omega} \otimes \hat{\Omega} \right) + \frac{B'}{B} W \cdot \hat{\Omega} + 2 \frac{B''}{B} \hat{\Omega} \otimes \hat{\Omega} \right] \right\}, \]
(33)
where \( D \) is a parameter between 0 and 1 related to the anisotropy of vortex lines, describing the relative weight of the array of vortex lines parallel to \( \Omega \) and the disordered tangle of counterflow (when \( D = 0 \) we recover an isotropic tangle – right hand side of Eq. (30d) –, whereas when \( D = 1 \) the ordered array – Eq. (17)). Assuming \( b = \frac{1}{3} (1 - D) + \frac{D B''}{B} \) and \( c = \frac{B' D}{B} \), the vorticity tensor (33) can be written as:
\[ P_\omega = \frac{B}{2} \kappa L \left\{ \begin{pmatrix} 2b & 0 & 0 \\ 0 & 1 - b & 0 \\ 0 & 0 & 1 - b \end{pmatrix} + \begin{pmatrix} 0 & 0 & 0 \\ 0 & 0 & c \\ 0 & -c & 0 \end{pmatrix} \right\}. \]
(34)
Note that the isotropy in the \( x_2 - x_3 \) plane may only be assumed when both \( \Omega \) and \( V_{us} \) are directed along the \( x_1 \) axis. A more general situations was studied in (Jou & Mongiovi, 2006).
#### 3.4.1 Wave propagation with simultaneous rotation and counterflow
Substituting the expression (34) into the linearized set of field equations (15), it becomes
\[
\begin{cases}
\frac{\partial \rho}{\partial t} + \rho \frac{\partial v_i}{\partial x_i} = 0, \\
\rho \frac{\partial v_i}{\partial t} + \frac{\partial p}{\partial x_i} + 2\rho \Omega v_j W_{1ji} = 0, \\
\frac{\partial T}{\partial t} + \frac{1}{\rho c_V} \frac{\partial q_i}{\partial x_i} = 0, \\
\frac{\partial q_i}{\partial t} + \xi \frac{\partial T}{\partial x_i} + 2\Omega q_j W_{1ji} = -\frac{B}{2} \kappa L \left\{ 2bq_1 \delta_{1i} + [(1-b)q_2 + cq_3] \delta_{2i} + [(1-b)q_3 - cq_2] \delta_{3i} \right\},
\end{cases}
\]
(35)
A stationary solution of this system is:
\[
\rho = \rho_0, \quad \dot{v} = 0, \quad q = q_0 \equiv (q_0, 0, 0), \quad T = T(x_i) = T_0 - 2 \frac{B \kappa L}{2\xi} b q_0 \delta_{1i} x_i.
\]
In order to study the propagation of harmonic plane waves, we look for solutions of (35) of the form (22), with \( \Gamma_0 = (\rho_0, 0, T(x_i), q_0) \).
Now, we investigate two different cases: \( n \) parallel to \( \Omega \) and \( n \) orthogonal to \( \Omega \); the latter is the only case for which experimental data exist (Swanson et al., 1983).
**First case:** \( n \) parallel to \( \Omega \).
Let \( x_1 \) be the direction of the rotation axis and of the unit vector \( n \) orthogonal to the wave front. In this case the longitudinal and transversal modes evolve independently. In particular, we can observe that the first sound is not influenced by the presence of the vortex tangle \( k_s^{(1)} = 0 \) and \( \tilde{T} = 0, q = 0 \)
\[
\begin{align*}
\omega_{1,2} &= \pm k_r V_1 \\
\bar{\rho} &= \psi \\
\bar{v}_1 &= \frac{V_1}{\rho} \psi
\end{align*}
\]
whereas the second sound suffers an extra attenuation due to the vortex tangle. This is confirmed by the approximate solutions of the dispersion relation
\[
w_{3,4} \simeq \pm V_2 \left( 1 - \frac{B^2 \kappa^2 L^2 b^2}{8\omega^2} \right) + O \left( \frac{B^4 \kappa^4 L^4 b^4}{16\omega^4} \right),
\]
(36)
\[
k_s^{(2)} \simeq \frac{B \kappa L b}{2V_2} + O \left( \frac{B^3 \kappa^3 L^3 b^3}{8\omega^2} \right).
\]
(37)
where \( \omega \) is assumed real and \( K = k_r + i k_s \) complex. When \( \Omega = 0 \) and \( b = 1/3 \) the results of the Section 3.3 are obtained again.
Now, we study the transversal modes, corresponding to \( \omega_{5,6} = \pm 2|\Omega| \); in this case \( \bar{\rho} = \tilde{T} = \bar{q}_1 = \bar{q}_2 = \bar{q}_3 = \bar{v}_1 = 0 \) and
They correspond to extremely slow phenomena, which, when $\Omega \to 0$, tend to stationary modes. Finally, the dispersion relation
$$\omega_{7,8} = \pm \left(2\Omega - \frac{B}{2}\kappa Lc\right) - i\frac{B}{2}\kappa L(1-b)$$ \hspace{1cm} (38)
corresponds to the vibration of only these fields
$$\begin{align*}
\omega_{7,8} &= \pm \left(2\Omega - \frac{B}{2}\kappa Lc\right) - i\frac{B}{2}\kappa L(1-b) \\
\tilde{q}_3 &= \psi \\
\tilde{q}_2 &= \pm i\psi
\end{align*}$$
From (36), (37) and (38) one may obtain the following quantities $L$, $b$ and $c$:
$$L = \frac{-\omega_s w + V_2^2 k_s}{\kappa w B/2}, \quad b = \frac{V_2^2 k_s}{-\omega_s w + V_2^2 k_s}, \quad c = \frac{-\omega_r w + 2\Omega w}{-\omega_s w + V_2^2 k_s},$$ \hspace{1cm} (39)
where we have put $\omega_7 = \omega_r + i\omega_s$.
The results of this section imply that measurement in a single direction are enough to give information on all the variables describing the vortex tangle.
**Second case: $\mathbf{n}$ orthogonal to $\mathbf{\Omega}$.**
Now we assume that the direction of propagation of the waves is orthogonal to the rotation axis (axis $x_1$), i.e. for example, $\mathbf{n} = (0,1,0)$. In this case the longitudinal and the transversal modes do not evolve independently. In particular, the first sound is coupled with one of the two transversal modes in which velocity vibrates, while the second sound is coupled with a transversal mode in which heat flux vibrates.
Fields $\bar{\rho}$, $\bar{v}_2$, $\bar{v}_3$ have the same solutions and the same dispersion relation to the case of pure rotation
$$-\omega \left[\omega^2 - 4\Omega^2 - K^2 p_\rho\right] = 0.$$ \hspace{1cm} (40)
The dispersion relation of fields $\bar{T}$, $\bar{q}_2$, $\bar{q}_3$ is instead:
$$\left(-\omega - i\gamma \frac{B}{2}\kappa L(1-b)\right) \left[\omega \left(-\omega - i\frac{B}{2}\kappa L(1-b)\right) + K^2 V_2^2\right] + \omega \left(2i\Omega - i\frac{B}{2}\kappa Lc\right)^2 = 0.$$ \hspace{1cm} (41)
Assuming $\omega \in \Re$ and $K = k_r + ik_s$ and in the hypothesis of small dissipation ($k_r^2 \gg k_s^2$), one obtains:
$$k_s = \frac{B}{2}\kappa L(1-b) \left(\frac{2w^2 - V_2^2}{2wV_2^2}\right),$$ \hspace{1cm} (42)
\[
\left( \frac{\omega}{k_r} \right)^2 = 0, \quad \text{and}
\]
\[
\left( \frac{\omega}{k_r} \right)^2 = w^2 = V_2^2 \frac{(\omega^2 - \bar{B})}{(\omega^2 + \bar{A})} = V_2^2 \frac{1}{1 - \frac{(2\Omega - \frac{B}{2}\kappa Lc)^2}{\omega^2 + (B/2)^2\kappa^2 L^2(1-b)^2}},
\] (43)
where \( \bar{A} = -\left[ (2\Omega - \frac{B}{2}\kappa Lc)^2 - \frac{B^2}{4}\kappa^2 L^2(1-b)^2 \right] \) and \( \bar{B} = -\frac{B^2}{4}\kappa^2 L^2(1-b)^2 \).
We can remark that the coefficients \( \bar{A} \) and \( \bar{B} \) are negative and that \( \omega^2 \geq V_2^2 \) because \( \omega^2 + \bar{A} \leq \omega^2 - \bar{B} \) and, in particular, \( \omega^2 = V_2^2 \) for \( \Omega = \frac{B\kappa Lc}{2} \).
Now, studying the transversal modes, i.e. that ones corresponding to non zero \( \tilde{v}_1 \) and \( \tilde{q}_1 \), we obtain \( \omega_7 = 0 \), which corresponds to a stationary mode, and
\[
\omega_8 = -iB\kappa Lb.
\] (44)
Summarizing, also in this case measurements in a single direction are enough to given information on all the variables describing the vortex tangle, namely \( L, b \) and \( c \), from equations (42), (43) and (44)
\[
L = \frac{4k_s w V_2^2 - \omega_s (2w - V_2^2)}{(2w^2 - V_2^2) B\kappa},
\]
\[
b = -\frac{\omega_s (2w^2 - V_2^2)}{4k_s w V_2^2 - \omega_s (2w - V_2^2)},
\]
\[
c = \frac{4\Omega(2w^2 - V_2^2) - \sqrt{(1 - V_2^2)(4k_r^2(2w^2 - V_2^2)^2 + 16k_s^2 V_2^4)}}{4k_s w V_2^2 - \omega_s (2w^2 - V_2^2)},
\] (45)
where we have put \( \omega_8 = i\omega_s \) and \( \omega_7 = -\kappa LbB \).
In this subsection we have analyzed wave propagation in the combined situation of rotation and counterflow with the direction \( n \) orthogonal to \( \Omega \). In (Swanson et al., 1983) authors experimented the same situation, but they didn’t represent the attenuation neither the speed of the second sound but only the vortex line density \( L \) as function of \( \Omega \) and \( V_{ns} \). Therefore, it is unknown how they plotted these graphics, which hypothesis they made and what the anisotropy considered. Instead, the results of these two subsections allow to know the spatial distribution of the vortex tangle simply by performing experiments on waves propagating orthogonally to \( \Omega \) (equations (39)) or parallelly to \( \Omega \) (equations (45)).
From the physical point of view it is interesting to note that our detailed analysis in this subsection shows that, in contrast to which one could intuitively expect, measurements in a single direction are enough to give information on all the variables describing the vortex tangle, namely \( L, b \) and \( c \), for instance, from one of (36)-(37) and (38) or of (42)-(43) and (44). This is not an immediate intuitive result.
### 3.5 Comparison with the two-fluid model
To compare the one-fluid model of liquid helium II in a non-inertial frame with the two-fluid one, we recall that in (Mongiovi, 1991), (Mongiovi, 1993) it is shown that the linearized field equations (3) can be identified with those of the two-fluid non dissipative model if we define
\[
\zeta = \rho \frac{\rho_S}{\rho_n} T s^2,
\] (46)
and we make the following change of variables:
\[ q = \rho_s T s V_{ns}, \]
\[ v = \frac{\rho_s}{\rho} v_s + \frac{\rho_n}{\rho} v_{ns}, \]
where, we recall, \( v_n \) and \( v_s \) are the mesoscopic velocities of the normal and superfluid components and \( V_{ns} = v_n - v_s \) is the counterflow velocity.
If we perform in the field equations (15) the change of variables (47–48), we check immediately that the first three equations are identical to the ones of the two-fluid model for helium II, even in non-inertial frame (Peruzzu & Sciaccia, 2007). We concentrate therefore on the field equation for the heat flux. To the first order approximation with respect to the relative velocity \( V_{ns} \) and the derivatives of the field variables, we obtain:
\[ \frac{\partial V_{ns}}{\partial t} + \frac{\zeta}{\rho_s T s} \nabla T + 2 \Omega \times V_{ns} = \frac{1}{\rho_s T s} \vec{\sigma}_q, \]
where \( \vec{\sigma}_q \) stands for \( \vec{\sigma}_q^R \) in rotation case, \( \vec{\sigma}_q^H \) in counterflow case and \( \vec{\sigma}_q^{HR} \) in rotating counterflow. We multiply equation (49) by \( \rho_n / \rho \) and add it to the balance equation (15 b). Making use of the result \( v_s = v - (\rho_n / \rho) V_{ns} \), we find
\[ \frac{\partial v_s}{\partial t} - s \nabla T + \frac{1}{\rho} \nabla p + 2 \Omega \times v_s + \frac{\rho_n}{\rho} \frac{1}{\rho_s T s} \vec{\sigma}_q = 0. \]
In virtue of equation \( d\mu = (1/\rho) dp - sdT \), which relates the chemical potential \( \mu = \varepsilon - Ts + (p/\rho) \) to the equilibrium variables, the field equation for the superfluid velocity takes the form
\[ \rho_s \frac{\partial v_s}{\partial t} + \rho_s \nabla \mu + 2 \rho_s \Omega \times v_s + \frac{\rho_n}{\rho} \frac{1}{Ts} \vec{\sigma}_q = 0. \]
Expression (51) is identical to the corresponding field equation for \( v_s \), obtained in the two-fluid model. Of course in the pure counterflow case \( \Omega \) has to be set zero in (51). This result is a confirmation of the results derived in the framework of the one-fluid model based on E.T..
In counterflow experiments, equation (51) can be written as:
\[ \rho_s \frac{\partial v_s}{\partial t} + \rho_s \nabla \mu = F_{ns}^{(E)}, \quad \text{where} \quad F_{ns}^{(E)} = \frac{1}{3} \frac{\rho_s \rho_n}{\rho} \kappa B \gamma^2 V_{ns}^2 V_{ns} \]
and relation \( L = \gamma^2 V_{ns}^2 \) has been used.
To interpret the experimental results on stationary helium flow through channels using the two-fluid model, Gorter and Mellink (Gorter & Mellink, 1949) and Vinen (Vinen, 1957) postulate the existence, in the field equation for the superfluid component, of a dissipative term proportional to the cube of the relative velocity \( V_{ns} \):
\[ F_{ns}^{(GM)} = \rho_s \rho_n \bar{A} V_{ns}^2 V_{ns}, \]
\( \bar{A} \) being a temperature dependent coefficient. It is interesting to note that, setting \( \bar{A} = \kappa B \gamma^2 / (3\rho) \) in (52b), and using (47), the results of the present work are in full agreement with those of Gorter and Mellink.
4. Hydrodynamical model of inhomogeneous superfluid turbulence
In Section 3 a first model of superfluid turbulence was presented, where the vortices were modeled through the pressure tensor $P_{ij}$ for which a constitutive relation was written.
Experiments (Vinen, 2000), (Vinen & Niemela, 2002), show the formation of a new type of superfluid turbulence, which has some analogies with classical one, as for instance using towed or oscillating grids, or stirring liquid helium by means of propellers. In this situation (named co-flow) both components, normal and superfluid, flow along the same direction. To describe these experiments it is necessary to build up a hydrodynamic model of quantum turbulence, in which the interactions between both fields can be studied and the role of inhomogeneities is explicitly taken into account (Mongiovì & Jou, 2007), (Ardizzone & Gaeta, 2009).
In a more complete hydrodynamic model of superfluid turbulence the line density $L$ acquires field properties: it depends on the coordinates, it has a drift velocity $v_L$, and it has associated a diffusion flux. These features are becoming increasingly relevant, as the local vortex density may be measured with higher precision, and the relative motion of vortices is observed and simulated. Thus it is important to describe situations going beyond the usual description of the vortex line density averaged over the volume. Our aim, in this Section, is to formulate a hydrodynamical framework sufficiently general to encompass vortex diffusion and to describe the interactions between the second sound waves and the vortices, instead of considering the latter as a rigid framework where such waves are simply dissipated. This is important because second sound provides the standard method of measuring the vortex line density $L$, and the mentioned dynamical mutual interplay between second sound and vortex lines may modify the standard results.
4.1 The line density and Vinen’s equation
The most well known equation in the field of superfluid turbulence is Vinen’s equation (Vinen, 1958), which describes the evolution of $L$, the total length of vortex lines per unit volume, in counterflow situations characterized by a heat flux $q$. Vinen suggested that in homogeneous counterflow turbulence there is a balance between generation and decay processes, which leads to a steady state of quantum turbulence in the form of a self-maintained vortex tangle. The Vinen’s equation (2), written in terms of the variable $q$, is:
$$\frac{dL}{dt} = \alpha_q |q| L^{3/2} - \beta_q L^2,$$
(54)
with $\alpha_q = \alpha_v \rho_s s T$ and $\beta_q = \kappa \beta_v$.
Vinen considered homogeneous superfluid turbulence and assumed that the time derivative $dL/dt$ is composed of two terms:
$$\frac{dL}{dt} = \left[ \frac{dL}{dt} \right]_f - \left[ \frac{dL}{dt} \right]_d,$$
(55)
the first is responsible for the growth of $L$, the second for its decay. Vinen assumes that the production term $[dL/dt]_f$ depends linearly on the instantaneous value of $L$ and the force $f$ between the vortex line and the normal component, which is linked to the modulus $|q|$ of the heat flux, and he obtained:
$$\left[ \frac{dL}{dt} \right]_f = \alpha_v \kappa V_{ns} L^{3/2} = \alpha_q |q| L^{3/2}.$$
(56)
The form of the term responsible for the vortex decay was determined assuming Feynman’s model of vortex breakup, analogous to Kolmogorov’s cascade in classical turbulence
\[
\left[ \frac{dL}{dt} \right]_d = -\beta_v \kappa L^2 = -\beta_q L^2,
\]
thus obtaining equation (54). A microscopic derivation of this equation was made by Schwarz (Schwarz, 1988).
The stationary solutions of this equation are \( L = 0 \) and \( L^{1/2} = (\alpha_q / \beta_q)|q| \). The non-zero solution is proportional to the square of the heat flux and describes well the full developed turbulence.
### 4.2 Derivation of the hydrodynamical model
The starting point here is to formulate a theory for a turbulent superfluid, which uses the averaged vortex line density \( L \) in addition to the fields \( \rho, v, E \) and \( q_i \), used in Sections 2 and 3. Because we want to formulate a general nonlinear theory, we will suppose that the dynamics of the excitations is described by a vector field \( m_i \), which must be considered as an internal variable, linked to the heat flux \( q_i \) through a constitutive relation, but not identical to it.
We consider for the fields \( \rho, v, E \) and \( m \) and \( L \) the following balance equations written in terms of the non-convective terms (Ardizzone & Gaeta, 2009):
\[
\begin{cases}
\dot{\rho} + \rho \frac{\partial v_k}{\partial x_k} = 0, \\
\rho \dot{v}_i + \frac{\partial J_{ik}^v}{\partial x_k} = 0, \\
\dot{E} + E \frac{\partial v_k}{\partial x_k} + \frac{\partial q_k}{\partial x_k} + J_{ik}^v \frac{\partial v_i}{\partial x_k} = 0, \\
\dot{m}_i + m_i \frac{\partial v_k}{\partial x_k} + \frac{\partial J_{ik}^m}{\partial x_k} = \sigma_i^m, \\
\dot{L} + L \frac{\partial v_k}{\partial x_k} + \frac{\partial J_{ik}^L}{\partial x_k} = \sigma^L.
\end{cases}
\]
where \( J_{ij}^v \) is the stress tensor, \( J_{ij}^m \) the flux of the field \( m_i \), and \( J_{i}^L \) the flux of vortex lines; \( \sigma_i^m \) and \( \sigma^L \) are terms describing the net production of the field \( m_i \), characterizing the dynamics of the excitations and the production of vortices. Dot denotes the material time derivative.
Since in the system (58) there are more unknowns than equations, it is necessary to complete it by adding constitutive equations, relating the variables \( m_i, J_{ik}^v, J_{ik}^m \) and \( J_{i}^L \) to the independent fields \( \rho, E, q_i \) and \( L \). As a consequence of the material objectivity principle, the constitutive equations can be expressed in the form:
\[
m_i = a(\rho, E, q^2, L)q_i,
\]
\[
J_{ik}^v = p(\rho, E, q^2, L)\delta_{ik} + a(\rho, E, q^2, L)q_{<i}q_{k>},
\]
\[
J_{ik}^m = \beta(\rho, E, q^2, L)\delta_{ik} + \gamma(\rho, E, q^2, L)q_{<i}q_{k>},
\]
\[
J_{i}^L = \nu(\rho, E, q^2, L)q_i.
\]
where $\alpha$, $\beta$, $a$, $p$, $\gamma$, $\nu$ are scalar functions, $\delta_{ik}$ is the Kronecker symbol and $q_{<i|q_k>} = q_i q_k - \frac{1}{3} q^2 \delta_{ik}$ is the deviatoric part of the diadic product $q_i | q_j$.
### 4.2.1 Restrictions imposed by the entropy principle
Further restrictions on these constitutive relations are deduced from the second law of thermodynamics. Accordingly, there exists a convex function $S = S(\rho, E, q^2, L)$, the entropy per unit volume, and a vector function $f^S_k = \phi(\rho, E, q^2, L) q_k$, the entropy flux density, such that the rate of production of entropy $\sigma^S$ is non-negative
$$\sigma^S = \dot{S} + S \frac{\partial v_k}{\partial x_k} + \frac{\partial f^S_k}{\partial x_k} \geq 0.$$
(60)
Note that this inequality does not hold for any value of the fundamental variables, but only for the thermodynamic processes, i.e. only for those values which are solution of the system (58). This means that we can consider the equations (58) as constraints for the entropy inequality to hold. A way to take these constraints into account was proposed by Liu (Liu, 1972): he showed that the entropy inequality becomes totally arbitrary provided that we complement it by the evolution equations for the fields $\rho$, $v_i$, $E$, $m_i$ and $L$ affected by Lagrange multipliers: $\Lambda_\rho = \Lambda_\rho(\rho, E, q^2, L)$, $\Lambda^T_i = \Lambda^T_i(\rho, E, q^2, L) q_i$, $\Lambda_E = \Lambda_E(\rho, E, q^2, L)$, $\Lambda^m_i = \Lambda^m_i(\rho, E, q^2, L) q_i$, $\Lambda_L = \Lambda_L(\rho, E, q^2, L)$. One obtains the following inequality, which is satisfied for arbitrary values of the field variables:
$$\dot{S} + S \frac{\partial v_k}{\partial x_k} + \frac{\partial f^S_k}{\partial x_k} - \Lambda_\rho \left[ \dot{\rho} + \rho \frac{\partial v_k}{\partial x_k} \right] - \Lambda^T_i \left[ \dot{v}_i + \frac{1}{\rho} \frac{\partial f^T_k}{\partial x_k} \right] - \Lambda_E \left[ \dot{E} + E \frac{\partial v_k}{\partial x_k} + \frac{\partial q_k}{\partial x_k} + f^T_{ik} \frac{\partial v_i}{\partial x_k} \right] - \Lambda^m_i \left[ \dot{m}_i + m_i \frac{\partial v_k}{\partial x_k} + \frac{\partial f^m_{ik}}{\partial x_k} - \sigma^m_i \right] - \Lambda_L \left[ \dot{L} + L \frac{\partial v_k}{\partial x_k} + \frac{\partial f^L_k}{\partial x_k} - \sigma^L \right] \geq 0.$$
(61)
Imposing that the coefficients of the time derivatives of $\rho$, $v_i$, $E$, $q_i$ and $L$ vanish, one gets: $\Lambda_v = 0$ and
$$dS = \Lambda_\rho d\rho + \Lambda_E dE + \Lambda_L dL + \Lambda^m_i dm_i,$$
(62)
Imposing that the coefficients of space derivatives of $\rho$, $E$, $q_i$ and $L$ vanish, one finds:
$$df^S_k = \Lambda^m_i d f^m_{ik} + \Lambda_L d f^L_k + \Lambda_E dq_k.$$
(63)
From these relations in (Ardizzone et al., 2009) we have found:
$$\Lambda_v = 0, \quad a = 0,$$
(64)
$$dS = \Lambda_\rho d\rho + \Lambda_E dE + \lambda q_i d(\alpha q_i) + \Lambda_L dL,$$
(65)
$$S - \rho \Lambda_\rho - \Lambda_E (E + p) - \lambda \alpha q^2 - \Lambda_L L = 0,$$
(66)
\[ d\phi = \lambda \left( d\beta + \frac{1}{6} \gamma dq^2 + \frac{2}{3} q^2 d\gamma \right) + \Lambda_L dv, \tag{67} \]
\[ \phi = \Lambda_E + \lambda \gamma q^2 + \Lambda_L v. \tag{68} \]
We note that all the relations (65)-(68) are exact, because no approximation has been used for their determination and maintain their validity also far from equilibrium.
It remains the following residual inequality for the entropy production:
\[ \sigma^S = \Lambda_i^m v_i^m + \Lambda^L \sigma^L \geq 0. \tag{69} \]
Introducing the specific internal energy \( \epsilon = E/\rho \), substituting the constitutive equations (59) in system (58) and the restriction \( a = 0 \), the following system of field equations is obtained:
\[
\begin{cases}
\dot{\rho} + \rho \frac{\partial v_i}{\partial x_k} = 0, \\
\rho \dot{v}_i + \frac{\partial p}{\partial x_i} = 0, \\
\rho \dot{\epsilon} + \frac{\partial q_k}{\partial x_k} + p \frac{\partial v_k}{\partial x_i} = 0, \\
\dot{q}_i + q_i \frac{\partial v_i}{\partial x_k} + \frac{\partial [\beta \delta_{ik} + \gamma q_k \cdot q_k]}{\partial x_k} = \sigma_i^m, \\
\dot{L} + L \frac{\partial v_i}{\partial x_k} + \frac{\partial (v q_k)}{\partial x_k} = \sigma^L.
\end{cases} \tag{70}
\]
Observe that in these equations there are the unknown quantities \( \alpha, p, \epsilon, \beta, \gamma \) and \( v \), which are not independent, because they must satisfy relations (65)-(68), and the productions \( \sigma_i^m \) and \( \sigma^L \) which must satisfy inequality (69).
In (Ardizzone et al., 2009) it is shown that, using a Legendre transformation, the constitutive theory is determined by the choice of only two scalar functions \( S' \) and \( \phi' \) of the intrinsic Lagrange multipliers, defined as:
\[ S' = -S + \Lambda_p \rho + \Lambda_E E + \Lambda_L L + \Lambda_i^m m_i, \tag{71} \]
\[ \Phi'_k = \phi' \Lambda_k^m = -J_k^S + \Lambda_E q_k + \Lambda_L J_k^L + \Lambda_i^m J_{ik}, \tag{72} \]
Furthermore, if one chooses as state variables the fields
\[ \bar{\Lambda}_\rho = \Lambda_p + \frac{1}{2} \Lambda_E v^2, \quad \bar{\Lambda}_v_i = -\Lambda_E v_i, \quad \bar{\Lambda}_{m_i} = \Lambda_{m_i}, \quad \bar{\Lambda}_E = \Lambda_E, \quad \bar{\Lambda}_L = \Lambda_L, \tag{73} \]
the system of field equation (58) assumes the form of a symmetric hyperbolic system and, therefore, for it the Cauchy problem is well posed, i.e. the existence, uniqueness and continuous dependence of its solutions by the initial data is assured.
### 4.2.2 Physical interpretation of the constitutive quantities and of the Lagrange multipliers
As shown, the use of the Lagrange multipliers as independent variables results very useful from a mathematical point of view. In order to single out the physical meaning of the constitutive quantities and of the Lagrange multipliers, we analyze now in detail the relations
obtained in the previous section. First we will determine the equilibrium values for these multipliers. Denoting with $Y$ any of the scalar quantities $\alpha, h, \phi, p, \beta, \gamma, v, \Lambda_\rho, \Lambda_E, \lambda, \Lambda_L$ and making the position
$$Y_0(\rho, E, q^2, L) = Y_0(\rho, E, L) + O(q^2),$$ \hspace{1cm} (74)
the following relations are obtained:
$$dS_0 = \Lambda_0^\rho d\rho + \Lambda_0^E dE + \Lambda_0^L dL,$$
$$S_0 - \rho \Lambda_0^\rho - \Lambda_0^E (E + p_0) - \Lambda_0^L L = 0,$$ \hspace{1cm} (75)
$$d\phi_0 = \lambda_0 d\beta_0 + \Lambda_0^L dv_0,$$
$$\phi_0 = \Lambda_0^E + \Lambda_0^L v_0.$$
Introduce now a "generalized temperature" as the reciprocal of the first-order part of the Lagrange multiplier of the energy
$$\Lambda_0^E = \left[ \frac{\partial S_0}{\partial E} \right]_{\rho, L} = \frac{1}{T}$$ \hspace{1cm} (76)
and observe that, in the laminar regime (when $L = 0$), $\Lambda_0^E$ reduces to the absolute temperature of thermostatics. In the presence of a vortex tangle the quantity (76) depends also on the line density $L$. Writing equations (75a) and (75b) as
$$dE = TdS_0 - T\Lambda_0^\rho d\rho - T\Lambda_0^L dL,$$ \hspace{1cm} (77)
$$- T\Lambda_0^\rho = \frac{E}{\rho} - T \frac{S_0}{\rho} + \frac{p_0 + LT\Lambda_0^L}{\rho},$$ \hspace{1cm} (78)
and defining the quantity $-\Lambda_0^\rho / \Lambda_0^E = -T\Lambda_0^\rho$ as the "mass chemical potential" in turbulent superfluid
$$- T\Lambda_0^\rho = -T \left[ \frac{\partial S_0}{\partial \rho} \right]_{E, L} = \mu_0^\rho,$$ \hspace{1cm} (79)
and the quantity $-\Lambda_0^L / \Lambda_0^E = -T\Lambda_0^L$ as the "chemical potential of vortex lines", which is denoted with $\mu_0^L$,
$$- T\Lambda_0^L = -T \left[ \frac{\partial S_0}{\partial L} \right]_{\rho, L} = \mu_0^L,$$ \hspace{1cm} (80)
one can write equations (77) and (78) in the following form:
$$dS_0 = \frac{1}{T} dE - \frac{1}{T} \mu_0^\rho d\rho - \frac{1}{T} \mu_0^L dL,$$ \hspace{1cm} (81)
$$\rho \mu_0^\rho + L \mu_0^L = E - Th_0 + p_0.$$ \hspace{1cm} (82)
Indeed, in absence of vortices ($L = 0$) equation (77) is just Gibbs equation of thermostatics and the quantity (79) is the equilibrium chemical potential. The presence of vortices modifies the energy density $E$, and introduce a new chemical potential.
Consider now the consequences of equations (75c) and (75d) which concern the expressions of the fluxes. Using definitions (76) and (80), we get:
\[
\lambda_0 d \beta_0 = d \left( \frac{1}{T} \right) - v_0 d \left( \frac{\mu^L_0}{T} \right).
\]
(83)
From this equation, recalling that in (Mongiovi & Jou, 2007) it has shown that \( \mu^L_0 \) depends only on \( T \) and \( L \), one obtains \( \partial \beta_0 / \partial p = 0 \) and
\[
\frac{\partial \beta_0}{\partial T} = \zeta_0 = -\frac{1}{T^2 \lambda_0} \left[ 1 + v_0 T^2 \frac{\partial}{\partial T} \left( \frac{\mu^L_0}{T} \right) \right], \quad \frac{\partial \beta_0}{\partial L} = \chi_0 = -\frac{v_0}{T \lambda_0} \frac{\partial \mu^L_0}{\partial L}.
\]
(84)
In (Mongiovi & Jou, 2007) it was shown also that it results \( \lambda_0 < 0 \), \( \zeta_0 \geq 0 \), \( v_0 \leq 0 \) and \( \chi_0 \leq 0 \).
### 4.2.3 The constitutive relations far from equilibrium
Finally, we analyze the complete mathematical expressions far from equilibrium of the constitutive functions and of the Lagrange multipliers.
**Non-equilibrium temperature.** First, we introduce the following quantity:
\[
\theta = \frac{1}{\Lambda_E(\rho, E, L, q^2)},
\]
(85)
which, near equilibrium (\( L = 0 \), \( q_i = 0 \)) can be identified with the local equilibrium absolute temperature. In agreement with (Jou et al., 2001), we will call \( \theta \) “non-equilibrium temperature”, a topic which is receiving much attention in current non-equilibrium Thermodynamics (Casas-Vázquez & Jou, 2003).
Using this quantity, the scalar potential \( S' \) is expressed as:
\[
S' = -\frac{p}{\theta}.
\]
(86)
**Non-equilibrium Chemical Potentials.** As we have seen, at equilibrium the quantities \(-\Lambda_\rho/\Lambda_E\) and \(-\Lambda_L/\Lambda_E\) can be interpreted as the equilibrium mass chemical potential and the equilibrium vortex line density chemical potential. Therefore, we define as non-equilibrium chemical potentials the quantities:
\[
\mu_\rho = -\frac{\Lambda_\rho}{\Lambda_E}, \quad \text{and} \quad \mu_L = -\frac{\Lambda_L}{\Lambda_E}.
\]
(87)
**Generalized Gibbs equation.** Using equations (65) and (66) and defining \( s = S/\rho \) the non-equilibrium specific entropy, one obtains
\[
\theta d(\rho s) = dE - \mu_\rho d\rho - \mu_L dL + \theta \lambda q_i d(\alpha q_i),
\]
(88)
\[
\mu_\rho + \frac{L}{\rho} \mu_L = \varepsilon - \theta s + \frac{p}{\rho} + \frac{\theta}{\rho} \alpha \lambda q^2.
\]
(89)
One gets also:
\[
dp = \rho d\mu_\rho + L d\mu_L + \rho sd\theta - \alpha q_i d(\theta \lambda q_i).
\]
(90)
For the interested reader, in (Ardizzone & Gaeta, 2009), the complete constitutive theory can be found.
Non-equilibrium Entropy Flux. The theory developed here furnishes also the complete non-equilibrium expression of the entropy flux $J^S_i$. Remembering relation (68), we can write:
$$J^S_i = \left( \frac{1}{\theta} + \nu \Lambda_L + \gamma \lambda q^2 \right) q_i = \frac{1}{\theta} \left( q_i - \mu_L I^L_i + \theta \gamma \lambda q^2 q_i \right). \tag{91}$$
This equation shows that, in a nonlinear theory of Superfluid Turbulence, the entropy flux is different from the product of the reciprocal non-equilibrium temperature and the heat flux, but it contains additional terms depending on the flux of heat flux and on the flux of line density.
4.3 Linearized field equations
Now we will apply the general set of equations derived to the analysis of two specific situations: vortex diffusion and wave propagation. First of all, we note that, substituting in (70) the constitutive expressions obtained in Subsection 4.2.2, and neglecting nonlinear terms in the fluxes, the following system is obtained (Mongiovi & Jou, 2007):
$$\begin{cases}
\dot{\rho} + \rho \nabla \cdot v = 0, \\
\rho \dot{v} + \nabla p_0 = 0, \\
\rho \dot{\epsilon} + \nabla \cdot q + p_0 \nabla \cdot v = 0, \\
\dot{q} + \zeta_0 \nabla T + \chi_0 \nabla L = \sigma^q, \\
\dot{L} + L \nabla \cdot v + \nabla \cdot (\nu_0 q) = \sigma^L,
\end{cases} \tag{92}$$
with $\zeta_0$ and $\chi_0$ defined by (84) and satisfying $(\nu_0 / \chi_0) = -(T \lambda_0^q L / \epsilon_V)$.
The total pressure of the turbulent superfluid has the form (Mongiovi & Jou, 2007):
$$p_0 = p^* + \epsilon_V L, \tag{93}$$
$p^*$ being the pressure of the bulk superfluid and $\epsilon_V L$ the contribution of the tangle, with $\epsilon_V$ the energy per unit length of the vortices (Donnelly, 1991).
For the production terms $\sigma^q$ and $\sigma^L$, we will take
$$\sigma^q = -K_1 L q \quad \sigma^L = -\beta_q L^2 + \alpha_q |q| L^{3/2}, \tag{94}$$
where $K_1 = \frac{1}{2} \kappa B$. In this approximation, the unknown coefficients, which must be determined from experimental data, are the specific energy $\epsilon$, the pressure $p_0$, and the three coefficients $\zeta_0$, $\chi_0$ and $\nu_0$, which are functions only of $T$ and $L$. Here, we will focus a special attention on the coefficients $\chi_0$ and $\nu_0$, which are the new ones appearing in the present formulation, as compared with the formulation presented in (58).
4.3.1 The drift velocity of the tangle
As observed, in a hydrodynamical model of turbulent superfluids, the line density $L$ acquires field properties and its rate of change must obey a balance equation of the general form:
$$\frac{\partial L}{\partial t} + \nabla \cdot (L v^L) = \sigma^L, \tag{95}$$
with $v^L$ the drift velocity of the tangle. If we now observe that the last equation of system (92) can be written:
$$\frac{\partial L}{\partial t} + \nabla \cdot (Lv + v_0 q) = \sigma^L,$$
we conclude that the drift velocity of the tangle, with respect to the container, is given by
$$v^L = v + \frac{v_0}{L} q.$$
Note that the velocity $v^L$ does not coincide with the microscopic velocity of the vortex line element, but represents an averaged macroscopic velocity of this quantity. It is to make attention to the fact that often in the literature the microscopic velocity $\dot{s}$ is denoted with $v_L$.
Observing that in counterflow experiments ($v = 0$) results $v^L = v_0 q / L$, and recalling that measurements (in developed superfluid turbulence) show that the vortex tangle drifts as a whole toward the heater, we conclude that $v_0 \leq 0$. The measurement of the drift velocity $v^L$ of the vortex tangle, together with the measurement of $q$ and $L$, would allow one to obtain quantitative values for the coefficient $v_0$. In the following section we will propose a way to measure the coefficient $\chi_0$ too.
Another possibility is to interpret $v_0 q = J^L$ as the diffusion flux of vortices, which since $v_0 \leq 0$, would be opposite to the direction of $q$. Note that, in this model, if $q = 0$, $J^L$ is also zero.
### 4.3.2 Vortex diffusion
An interesting physical consequence from the generalized equations (92) is the description of vortex diffusion. A diffusion equation for the vortex line density was proposed for the first time by van Beelen et al. (van Beelen et al., 1988), in an analysis of vorticity in capillary flow of superfluid helium, in situations with a step change in $L$ arising when the tube is divided in a region with laminar flow and another one with turbulent flow. Assume, for the sake of simplicity, that $T = constant$ and that $q$ varies very slowly, in such a way that $\dot{q}$ may be neglected. We find from (92d) and (94a) that
$$q = -\frac{\chi_0}{K_1 L} \nabla L.$$
Introducing this expression in equation (92e), we find:
$$\frac{dL}{dt} + L \nabla \cdot v - \frac{v_0 \chi_0}{K_1} \nabla \cdot \left( \frac{\nabla L}{L} \right) = \sigma^L = -\beta_q L^2 + \alpha_q q L^{3/2},$$
where $q$ denotes the modulus of (98). Equation (99) can be written (if $\nabla L \neq 0$)
$$\frac{dL}{dt} + L \nabla \cdot v - \frac{v_0 \chi_0}{K_1 L} \Delta L + \left( \frac{v_0 \chi_0}{K_1 L^2} \right) (\nabla L)^2 = \sigma^L.$$
Then, we have for $L$ a reaction-diffusion equation, which generalizes the usual Vinen’s equation (54) to inhomogeneous situations. The diffusivity coefficient is (Mongiovi & Jou, 2007)
$$D_{diff} = \frac{v_0 \chi_0}{K_1 L}.$$
Since $K_1 > 0$, it turns out that $D_{diff} > 0$, as it is expected. Thus, the vortices will diffuse from regions of higher $L$ to those of lower $L$. Note that $D_{diff}$ must have dimensions $(length)^2/time,$
the same dimensions as $\kappa$. Then, a dimensional ansatz could be $D_{diff} \propto \kappa$. Indeed, Tsubota et al. (Tsubota et al., 2003b) have studied numerically the spatial vortex diffusion in a localized initial tangle allowed to diffuse freely, and they found for $D_{diff}$ at very low temperatures (when there is practically no normal fluid), a value $D_{diff} \approx (0.1 \pm 0.05)\kappa$.
If $\mathbf{v}$ vanishes, or if its divergence vanishes, equation (99), neglecting also the term in $(\nabla L)^2$, yields
$$\dot{L} = -\beta_q L^2 + \alpha_q q L^{3/2} + D_{diff} \Delta L.$$
(102)
Equation (102) indicates two temporal scales for the evolution of $L$: one of them is due to the production-destruction term ($\tau_{decay}$) and another one to the diffusion
$$\tau_{decay} \approx [\beta_q L - \alpha_q q L^{1/2}]^{-1}, \quad \tau_{diff} \approx \frac{X^2}{D_{diff}},$$
(103)
where $X$ is the size of the system. For large values of $L$, $\tau_{decay}$ will be much shorter and the production-destruction dynamics will dominate over diffusion; for small $L$, instead, diffusion processes may be dominant. This may be also understood from a microscopic perspective because the mean free path of vortex motion is of the order of intervortex spacing, of the order of $L^{-1/2}$, and therefore it increases for low values of $L$.
A more general situation for the vortex diffusion flux is to keep the temperature gradient in (92d). In this more general case, $\mathbf{q}$ is not more parallel to $\nabla L$ but results
$$\mathbf{q} = -\frac{\chi_0}{K_1 L} \nabla L - \frac{\zeta_0}{K_1 L} \nabla T,$$
(104)
in which case, it is:
$$\mathbf{J}^L = v_0 \mathbf{q} = -D_{diff} \nabla L - D_{diff} \frac{\zeta_0}{\chi_0} \nabla T.$$
(105)
Thus, if $\nabla L = 0$, (105) will yield
$$\mathbf{q} = -\lambda_{eff} \nabla T,$$
(106)
with an effective thermal conductivity $\lambda_{eff} = \frac{D_{diff} \zeta_0}{\chi_0 v_0} > 0$. As in the case of the diffusion coefficient $D_{diff}$, $\lambda_{eff}$ is expected to be positive. Note that $\lambda_{eff} > 0$ implies again $\chi_0 v_0 > 0$.
The second term in (105) plays a role analogous to thermal diffusion — or Soret effect — in usual diffusion of particles. In this case, equation (99) modifies as
$$\frac{dL}{dt} + L \nabla \cdot \mathbf{v} - \frac{v_0 \chi_0}{K_1 L} \Delta L - \frac{v_0 \zeta_0}{K_1 L} \Delta T = \sigma^L.$$
(107)
This kind of situations have not been studied enough in the context of vortex tangles, but they would arise in a natural way when trying to understand the behavior of quantum turbulence in the presence of a temperature gradient.
Expression (105) yields a coupling between the heat flux and an inhomogeneity in $L$; in other terms, it means that a heat flux may influence the vortex line density. In view of (104), we have
$$-\chi_0 \nabla L = K_1 L \mathbf{q} + \zeta_0 \nabla T.$$
(108)
From here, it follows that there should be a slight inhomogeneity in $L$ in such a way that $\nabla L$ points in the same direction as $K_1 L \mathbf{q} + \zeta_0 \nabla T$. It follows, in contrast with the standard assumption that the vortex line density is longitudinally homogeneous in counterflow experiments, that the vortex tangle would be slightly inhomogeneous. Thus, an experiment suggested by our formalism would be to carefully measure the longitudinal profile of $L$ along the heat flux, to check whether there is a slight increase in $L$. Furthermore, equation (108) would allow one to measure the coefficient $\chi_0$, in the linear approximation.
Since below (97) we have mentioned a way to measure $v_0$, it turns out that the new coefficients $v_0$ and $\chi_0$ could be measured independently of each other.
### 4.3.3 Propagation of plane harmonic waves
Here, we will study wave propagation in counterflow vortex tangles, assuming that only fields $T$, $\mathbf{q}$ and $L$ are involved. The equations for these fields, expressing the energy in terms of $T$ and $L$, are simply:
\[
\begin{cases}
\rho c_V \dot{T} + \rho \epsilon_L \dot{L} + \nabla \cdot \mathbf{q} = 0, \\
\dot{\mathbf{q}} + \zeta_0 \nabla T + \chi_0 \nabla L = -K_1 L \mathbf{q}, \\
\dot{L} + \nabla \cdot (v_0 \mathbf{q}) = -\beta_q L^2 + \alpha_q q L^{3/2}.
\end{cases}
\]
(109)
where $c_V = \partial \epsilon / \partial T$ is the specific heat at constant volume, $\epsilon_L = \partial \epsilon / \partial L \simeq c_V$.
These equations are enough for the discussion of the physical effects of the coupling of second-sound and the distortion of the vortex tangle (represented by the inhomogeneities in $L$), which must be taken into account in an analysis of the vortex tangle by means of second sound. In fact, some of the previous hydrodynamical analyses of turbulent superfluids had this problem as one of their main motivations (Tsubota et al., 2003a), (Tsubota et al., 2003b).
As we can easily see, a stationary solution of system (109) is:
\[
\mathbf{q} = \mathbf{q}_0 = (q_{10}, 0, 0), \quad L = L_0 = \frac{\delta_q^2}{\beta_q^2} [q_{10}]^2, \quad T = T_0(x) = T^* - \frac{K_1 L_0 q_{10}}{\zeta_0} x_1,
\]
(110)
with $q_{10} > 0$.
To study the wave propagation in a neighborhood of this solution, we substitute $\sigma^\mathbf{q}$ and $\sigma^L$ with
\[
\sigma^\mathbf{q} \simeq -K_1 [L_0 \mathbf{q} + \mathbf{q}_0 (L - L_0)],
\]
(111)
\[
\sigma^L \simeq -\left[2\beta_q L_0 - \frac{3}{2}\alpha_q q_{10} L^{1/2}\right] (L - L_0) + \alpha_q L_0^{3/2} \mathbf{q}_0 \cdot (\mathbf{q} - \mathbf{q}_0),
\]
(112)
obtaining:
\[
\begin{cases}
\rho c_V \frac{\partial T}{\partial t} + \rho \epsilon_L \frac{\partial L}{\partial t} + \nabla \cdot \mathbf{q} = 0, \\
\frac{\partial \mathbf{q}}{\partial t} + \zeta_0 \nabla T + \chi_0 \nabla L = -K_1 [L_0 \mathbf{q} + \mathbf{q}_0 (L - L_0)], \\
\frac{\partial L}{\partial t} + v_0 \nabla \cdot \mathbf{q} = -\left[2\beta_q L_0 - \frac{3}{2}\alpha_q q_{10} L^{1/2}\right] (L - L_0) + \alpha_q L_0^{3/2} \mathbf{q}_0 \cdot (\mathbf{q} - \mathbf{q}_0).
\end{cases}
\]
(113)
Consider the propagation of harmonic plane waves, seeking for solutions of equations (109) of the form
\[ T = T_0(x) + \bar{T} e^{i(kn \cdot x - \omega t)}, \quad q = q_0 + \bar{q} e^{i(kn \cdot x - \omega t)}, \quad L = L_0 + \bar{L} e^{i(kn \cdot x - \omega t)}, \]
where \( K = k_r + i k_s \) is the complex wave number, \( \omega \) the real frequency and \( n \) the unit vector in the direction of the wave propagation. Furthermore, we suppose that the oversigned quantities denote small amplitudes, whose products can be neglected. Inserting (114) in the linearized field equations (109), and making the positions:
\[ N_1 = K_1 L_0, \quad N_2 = 2\beta_q L_0 - \frac{3}{2} a_q L_0^{1/2} q_{10}, \quad N_3 = K q_{10}, \quad N_4 = a_q q_{10} l_0^{-3/2}, \]
we obtained in (Mongiovi & Jou, 2007), when the wave is collinear with the heat flux \( q \), the following dispersion relation:
\[ \omega^2 = K^2 \left[ V_2^2 (1 - \rho \varepsilon_L v_0) + v_0 \chi_0 \right] + \]
\[ -i \omega (N_1 + N_2) + i \frac{K^2}{\omega} V_2^2 N_2 - i K \left[ (\chi_0 + V_2^2 \rho \varepsilon_L) N_4 - v_0 N_3 \right], \]
while, when the wave is orthogonal with the heat flux \( q \), we obtained
\[ \omega^2 = K^2 \left[ V_2^2 (1 - \rho \varepsilon_L v_0) + v_0 \chi_0 \right] + N_1 N_2 - i \omega (N_1 + N_2) + i \frac{K^2}{\omega} V_2^2 \left( N_2 - \frac{N_3 N_4}{\omega + i N_1} \right). \]
We compare these results with the result obtained in Section 3 (see also (Jou et al., 2002)), where we supposed \( L \) a fixed quantity, and the term \( v_0 \) was assumed to vanish, eliminating in this way the effects of the oscillations of \( q \) on the vortex line density \( L \) of the tangle. Assuming \( v_0 = N_2 = N_4 = 0 \) in (116) and (117), the same dispersion relation for the second sound is obtained
\[ \omega^2 = V_2^2 K^2 - i \omega K_1 L_0. \]
Comparison of (116) and (117) with (118) shows that the distortion of the vortex tangle under the action of the heat wave, and its corresponding back reaction on the latter, implies remarkable changes in the velocity and the attenuation of the second sound, the latter effect depending on the relative direction between \( q_0 \) and \( n \).
### 4.3.4 High-frequency waves
In the hypothesis of high-frequency waves, which means \( \omega \gg N_1, \omega \gg N_2 \) and \( |\bar{K}| \gg \max \left( \frac{K_1 q_{10}}{\chi_0}, \frac{a_q q_{10} l_0^{-3/2}}{v_0} \right) \), the dispersion relation (n parallel or orthogonal to the initial heat flux) is
\[ w^2 = V_2^2 (1 - v_0 \rho \varepsilon_L) + v_{\infty}^2, \]
where \( w = \omega / k_r \) is the speed of the wave, \( V_2^2 = \zeta_0 / \rho c_V \) is the second sound speed in the absence of vortices and
\[ v_{\infty}^2 = \chi_0 v_0 \]
is the speed of the vortex density wave, which was found in (Jou et al., 2007).
If we try to read the relation (119) in terms of the second sound, we note that the vortex vibrations modify this second sound speed through the two contributions $-V_2^2 v_0 \rho \epsilon_L$ and $\tau_{\omega}^2$, the latter due to the presence of the vortex density waves and the former due to the reciprocal existence of two waves. The correction for the speed of the second sound is not important, because $V_2$ is of the order of 20 m/s near 1.7 K, whereas, for $L_0 = 10^6$ cm$^{-2}$, the speed of vortex density waves would be of the order 0.25 cm/s, much lower than $V_2$ (Jou et al., 2007).
To obtain approximate solutions of equations (116) and (117), we assume that the quantities $N_1$, $N_2$, $N_3$ and $N_4$ are coefficients small enough to assume them as perturbations of the physical system. This is reasonable at high-frequencies, since we have assumed that $\omega \gg N_1$, $\omega \gg N_2$ and $|\tilde{K}| \gg \max \left( \frac{k_{q10}}{\chi_0}, \frac{A_{q10} L_0^{3/2}}{v_0} \right)$.
Therefore, let assume that the speed of the wave has the following expression
$$\bar{w} = \frac{\omega}{k_r} = w + \delta,$$
for which substituting it in the equations (116) and (117), we obtain at the lowest order the relation (119) for the speed $w$. From the next order follows that $\delta = 0$, that is the perturbations due to the coefficients $N_1$, $N_2$, $N_3$ and $N_4$ do not modify the speed of the wave while they modify the coefficients $k_s$ related to the attenuation in the form, which in the parallel case is
$$k_s^\parallel = \frac{N_2 (w^2 - V_2^2) + w (\rho \epsilon_L N_4 V_2^2 + N_1 w + N_3 v_0 - N_4 \chi_0)}{2w^3},$$
and in the orthogonal case is
$$k_s^\perp = \frac{N_2 (w^2 - V_2^2) + N_1 w^2}{2w^3},$$
From a comparison between the two relations of $k_s$, (122) and (123), one may note that
$$k_s^\parallel = k_s^\perp + \frac{(\rho \epsilon_L V_2^2 - \chi_0) N_4 + N_3 \chi_0}{2w^2}.$$
Anyway, the modification of the attenuation coefficients, due to $N_i$, will be small because $w^2 - V_2^2$ is small and the coefficients $N_i$ are also small in the considered situation. This is in contrast with what happens at low frequency, or when the vortex tangle is assumed as perfectly rigid, not affected by the second sound, in which case the relative motion of the normal fluid with respect to the vortex lines yields an attenuation which allows to determine the vortex line density $L$ of the tangle. However, the wave character of vortex density perturbations at high frequency makes that vortex lines and the second sound become two simultaneous waves with a low joint dissipation, in the first-order approach. Thus, from the practical point of view, it seems that, at high frequency, second sound will not provide much information on the vortex tangle because the influence of the average vortex line density $L$ is small both in the speed as in the attenuation. In the next section we will propose an extended hydrodynamical model which includes flux of vortices as independent variable in order to study vortex density waves.
5. The flux of line density $L$ as new independent variable, vortex density waves
The vortex lines and their evolution are investigated by second sound waves, so that it is necessary to analyze in depth their mutual interactions. In particular, high-frequency second
sound may be of special interest to probe small length scales in the tangle, which is necessary in order to explore, for instance, the statistical properties of the vortex loops of several sizes. In fact, the reduction of the size of space averaging is one of the active frontiers in second sound techniques applied to turbulence, but at high-frequencies, the response of the tangle to the second sound is expected to be qualitatively different than at low frequencies, as its perturbations may change from diffusive to propagative behavior (Mongiovi & Jou, 2007), (Nemirovskii & Lebedev, 1983), (Yamada et al, 1989), (Jou et al., 2007).
In Section 4 and in the paper (Mongiovi & Jou, 2007) a thermodynamical model of inhomogeneous superfluid turbulence was built up with the fundamental fields: density $\rho$, velocity $v$, internal energy density $E$, heat flux $q$ and average vortex line length per unit volume $L$. In (Jou et al., 2007), starting from this model, a semiquantitative expression for the vortex diffusion coefficient was obtained and the interaction between second sound and the tangle in the high-frequency regime was studied. In both these works the diffusion flux of vortices $J$ was considered as a dependent variable, collinear with the heat flux $q$, which is proportional to the counterflow velocity $V_{ns}$. But, in general, this feature is not strictly verified because the vortices move with a velocity $v_L$, which is not collinear with the counterflow velocity (for more detail see paper (Sciacca et al, 2008)).
5.1 Balance equations and constitutive theory
In this section we build up a thermodynamical model of inhomogeneous counterflow superfluid turbulence, which chooses as fundamental fields the energy density $E$, the heat flux $q$, the averaged vortex line length per unit volume $L$, and the vortex diffusion flux $J$. Because experiments in counterflow superfluid turbulence in the linear regime are characterized by a zero value of the barycentric velocity $v$, in this paper one does not consider $v$ as independent variable. In a more complete model $v$ and $\rho$ will be also fundamental fields.
Consider the following balance equations
$$\begin{cases}
\frac{\partial E}{\partial t} + \frac{\partial q_i}{\partial x_i} = 0 \\
\frac{\partial q_i}{\partial t} + \frac{\partial f^q_{ij}}{\partial x_j} = \sigma^q_i \\
\frac{\partial L}{\partial t} + \frac{\partial J_i}{\partial x_i} = \sigma^L \\
\frac{\partial J_i}{\partial t} + \frac{\partial F_{ij}}{\partial x_j} = \sigma^J_i
\end{cases}$$
(125)
where $E$ is the specific energy per unit volume of the superfluid component plus the normal component plus the vortex lines, $f^q_{ij}$ the flux of the heat flux, $J_i$ the flux of vortex lines (which was denoted with $J^L_i$ in the previous Section), and $F_{ij}$ the flux of the flux of vortex lines; $\sigma^q_i$, $\sigma^L$ and $\sigma^J_i$ are the respective production terms. Since here one is interested to study the linear propagation of the second sound and vortex density waves, the convective terms have been neglected.
If one supposes that the fluid is isotropic, the constitutive equations for the fluxes $f^q_{ij}$ and $F_{ij}$, to the first order in $q_i$ and $J_i$, can be expressed in the form
$$f^q_{ik} = \beta_1(E,L)\delta_{ik},$$
$$F_{ik} = \psi_1(E,L)\delta_{ik}.$$
Restrictions on these relations are obtained, as in Section 4, imposing the validity of the second law of thermodynamics, applying Liu’s procedure.
In order to make the theory internally consistent, one must consider for entropy density $S$ and entropy flux density $J_k^S$ approximate constitutive relations to second order in $q_i$ and $J_i$
$$S = S_0(E,L) + S_1(E,L)q^2 + S_2(E,L)j^2 + S_3(E,L)q_i j_i, \quad J_k^S = \phi^q(E,L)q_k + \phi^l(E,L)J_k.$$ (127)
The quantities $\Lambda^E$, $\Lambda^q_i$, $\Lambda^L$ and $\Lambda^l_i$ are Lagrange multipliers, which are also objective functions of $E$, $q_i$, $L$ and $J_i$; in particular, one sets
$$\Lambda^E = \Lambda^E(E,L,q_i,J_i) = \Lambda^E_0(E,L) + \Lambda^E_1(E,L)q^2 + \Lambda^E_2(E,L)j^2 + \Lambda^E_3(E,L)q_i j_i,$$
$$\Lambda^L = \Lambda^L(E,L,q_i,J_i) = \Lambda^L_0(E,L) + \Lambda^L_1(E,L)q^2 + \Lambda^L_2(E,L)j^2 + \Lambda^L_3(E,L)q_i j_i,$$
$$\Lambda^q_i = \lambda_{11} q_i + \lambda_{12} J_i \quad \text{and} \quad \Lambda^l_i = \lambda_{21} q_i + \lambda_{22} J_i,$$ (128)
with $\lambda_{mn} = \lambda_{mn}(E,L)$. Imposing that the coefficients of the time derivatives are zero, one obtains
$$dS = \Lambda^E dE + \Lambda^q_i dq_i + \Lambda^L dL + \Lambda^l_i dJ_i.$$ (129)
In the same way, imposing that the coefficients of space derivatives vanish, one finds
$$dJ_k^S = \Lambda^E dq_k + \Lambda^q_i dJ_{ik} + \Lambda^L dJ_k + \Lambda^l_i dF_{ik}.$$ (130)
Substituting now (126), (127) and (128) in (129-130), one gets
$$S_1 = \frac{1}{2} \lambda_{11}, \quad S_2 = \frac{1}{2} \lambda_{22}, \quad S_3 = \lambda_{12} = \lambda_{21},$$ (131)
$$\phi^q = \Lambda^E_0, \quad \phi^l = \Lambda^L_0,$$ (132)
$$dS_0 = \Lambda^E_0 dE + \Lambda^L_0 dL, \quad dS_1 = \Lambda^E_1 dE + \Lambda^L_1 dL,$$ (133)
$$dS_2 = \Lambda^E_2 dE + \Lambda^L_2 dL, \quad dS_3 = \Lambda^E_3 dE + \Lambda^L_3 dL,$$ (134)
$$d\phi^q = \lambda_{11} d\beta_1 + \lambda_{21} d\psi_1, \quad d\phi^l = \lambda_{12} d\beta_1 + \lambda_{22} d\psi_1.$$ (135)
In particular, one obtains to the second order in $q$ and $J$ the following expressions for the entropy and for the entropy flux
$$S = S_0 + \frac{1}{2} \lambda_{11} q^2 + \frac{1}{2} \lambda_{22} j^2 + \lambda_{12} q_i j_i, \quad J_k^S = \Lambda^E_0 q_k + \Lambda^L_0 J_k.$$ (136)
It remains the following residual inequality for the entropy production
$$\sigma^S = \Lambda^q_i \sigma^q_i + \Lambda^L \sigma_L + \Lambda^l_i \sigma^l_i \geq 0.$$ (137)
Now, the obtained relations are analyzed in detail. As in Section 4 we first introduce a generalized temperature as the reciprocal of the first-order part of the Lagrange multiplier of the energy:
\[ \Lambda_0^E = \left[ \frac{\partial S_0}{\partial E} \right]_L = \frac{1}{T}. \] (138)
and the chemical potential of vortex lines (near equilibrium):
\[ - T \Lambda_0^L = \mu^L. \] (139)
Neglecting in (129) second order terms in \( q \) and \( J \), and using relations (131), (138) and (139), the following expression for the entropy density \( S \) is obtained
\[ dS = \frac{1}{T} dE - \frac{\mu^L}{T} dL + \lambda_{11} q_i dq_i + \lambda_{22} J_i dJ_i + \lambda_{12} (J_i dq_i + q_i dJ_i). \] (140)
Consider now equations (135), which one rewrites using (132) and (139) as
\[ d \left( \frac{1}{T} \right) = \lambda_{11} d\beta_1 + \lambda_{21} d\psi_1, \quad d \left( -\frac{\mu^L}{T} \right) = \lambda_{12} d\beta_1 + \lambda_{22} d\psi_1. \] (141)
After some calculations (Sciacca et al, 2008), we find:
\[ \zeta_1 = \frac{\partial \beta_1}{\partial T} = \frac{1}{N} \left[ -\frac{1}{T^2} \lambda_{22} + \lambda_{12} \frac{\partial}{\partial T} \left( \frac{\mu_0^L}{T} \right) \right], \quad \chi_1 = \frac{\partial \beta_1}{\partial L} = \frac{1}{T} \frac{\lambda_{12}}{N} \frac{\partial \mu_0^L}{\partial L}, \] (142)
\[ \eta_1 = \frac{\partial \psi_1}{\partial T} = \frac{1}{N} \left[ \frac{1}{T^2} \lambda_{12} - \lambda_{11} \frac{\partial}{\partial T} \left( \frac{\mu_0^L}{T} \right) \right], \quad \nu_1 = \frac{\partial \psi_1}{\partial L} = -\frac{1}{T} \frac{\lambda_{11}}{N} \frac{\partial \mu_0^L}{\partial L}, \] (143)
where \( N = \lambda_{11} \lambda_{22} - \lambda_{12}^2 \). A physical meaning for the coefficient \( \lambda_{22} \) was furnished in (Sciacca et al, 2008). Finally, one obtains for the entropy flux
\[ J_k^S = \frac{1}{T} q_k - \frac{\mu_0^L}{T} J_k, \] (144)
which is analogous to the usual expression of the entropy flux in the presence of a mass flux and heat flux, but with the second term related to vortex transport rather than to mass transport.
Substituting the constitutive equations (126) in system (125), using the relations (142-143), and expressing the energy \( E \) in terms of \( T \) and \( L \), the following system of field equations is obtained
\[ \begin{cases}
\rho c_V \frac{\partial T}{\partial t} + \rho e_L \frac{\partial L}{\partial t} + \frac{\partial q_i}{\partial x_i} = 0 \\
\frac{\partial q_i}{\partial t} + \zeta_1 \frac{\partial T}{\partial x_i} + \chi_1 \frac{\partial L}{\partial x_i} = \sigma_i^q \\
\frac{\partial L}{\partial t} + \frac{\partial J_i}{\partial x_i} = \sigma^L \\
\frac{\partial J_i}{\partial t} + \eta_1 \frac{\partial T}{\partial x_i} + \nu_1 \frac{\partial L}{\partial x_i} = \sigma^{J_i}
\end{cases} \] (145)
where \( c_V \) is the specific heat at constant volume and \( e_L = \frac{\partial E}{\partial L} \). The coefficients \( \chi_1 \) and \( \eta_1 \) describe cross effects linking the dynamics of \( q \) and \( J \) with \( L \) and \( T \), respectively. Thus, they are expected to settle an interaction between heat waves and vortex density waves. These
equations are analogous to those proposed in Section 4 (Mongiovì & Jou, 2007) except for the choice of $J_i$: in fact here $J_i$ is assumed to be an independent field whereas in Section 4 (Mongiovì & Jou, 2007) $J_i$ was assumed as dependent on $q_i$. However, at high frequency, $J_i$ will become dominant and will play a relevant role, as shown in the following.
The production terms $\sigma$ must also be specified. Regarding $\sigma^q$ and $\sigma^L$, since only counterflow situation is considering, as in Section 4, we assume
$$\sigma^q = -K_1 L q, \quad \sigma^L = -\beta_q L^2 + \alpha_q |q| L^{3/2},$$
(146)
where $K_1 = \frac{1}{2} \kappa B$. For the production term of vortex line diffusion, one assumes the following relaxational expression:
$$\sigma^J = -\frac{J}{\tau_J} = -\gamma_1 \kappa L J,$$
(147)
where $\gamma_1$ is a positive coefficient which can depend on the temperature $T$ (Sciacca et al, 2008). Note that in (146) one has assumed that the production terms of $q$ and $J$ depend on $q$ and $J$, respectively, but not on both variables. In more general terms, one could assume that both production terms depend on the two fields $q$ and $J$ simultaneously.
In order to determine the physical meaning of the coefficients appearing in equations (145)–(147), concentrate first the attention on the equations for $L$ and $J$. Supposing that $J$ varies very slowly, one obtains (Sciacca et al, 2008)
$$\frac{\partial}{\partial t} L = \frac{\eta_1}{\gamma_1 \kappa L} \nabla^2 T + \frac{\nu_1}{\gamma_1 \kappa L} \nabla^2 L + \sigma^L.$$
(148)
It is then seen that the coefficient $\frac{\nu_1}{\gamma_1 \kappa L} \equiv D_1$ represents the diffusion coefficient of vortices. Coefficient $\frac{\eta_1}{\gamma_1 \kappa L} \equiv D_2$ may be interpreted as a thermodiffusion coefficient of vortices because it links the temperature gradient to vortex diffusion. In other terms, this implies a drift of the vortex tangle. Detailed measurements have indeed shown [(Donnelly, 1991), pag.216] a slow drift of the tangle towards the heater; this indicates that $\eta_1 < 0$ and small. The hypothesis $\eta_1 = 0$ corresponds to $D_2 = 0$, i.e. the vortices do not diffuse in response to a temperature gradient.
### 5.2 Interaction of second sound and vortex density waves
In this Section wave propagation in counterflow vortex tangles is studied, with the aim to discuss the physical effects of the interaction between high-frequency second sound and vortex density waves. A stationary solution of the system (145), with the expressions of the production terms (146–147), is
$$q = q_0 = (q_{01}, 0, 0), \quad L = L_0 = \frac{\alpha_q^2}{\beta_q^2} q_{01}^2,$$
(149)
$$T = T_0(x) = T^* - \frac{1}{3} \frac{\kappa B}{\xi_1} L_0 q_{01} x_1, \quad J_0 = \left( \frac{1}{3} \frac{\kappa B}{\xi_1 \gamma_1 \kappa} q_{01}, 0, 0 \right),$$
(150)
with $q_{01} > 0$.
Consider the propagation of harmonic plane waves of the four fields of the equation (145) in the following form
\[ \begin{cases}
T = T_0(x) + \tilde{T} e^{i(Kn \cdot x - \omega t)} \\
q = q_0 + \tilde{q} e^{i(Kn \cdot x - \omega t)} \\
L = L_0 + \tilde{L} e^{i(Kn \cdot x - \omega t)} \\
J = J_0 + \tilde{J} e^{i(Kn \cdot x - \omega t)}
\end{cases} \] (151)
where \( K = k_r + ik_s \) is the wave number, \( \omega \) the real frequency, \( n \) the unit vector along the direction of the wave propagation.
Substituting (151) in the system (145), and linearizing the quantities (146), and (147) around the stationary solutions, the following equations for the small amplitudes are obtained
\[ \begin{cases}
-\omega [\rho c_V]_0 \tilde{T} - \omega [\rho c_L]_0 \tilde{L} + K \tilde{q} \cdot n = 0 \\
\left[ -\omega - \frac{i}{3} \kappa B L_0 \right] \tilde{q} + \zeta_{10} K \tilde{T} n - \left( -\chi_{10} Kn + \frac{i}{3} \kappa B q_0 \right) \tilde{L} = 0 \\
\left[ -\omega - i \left( 2\beta_q L_0 - \frac{3}{2} \alpha_q L_0^{1/2} q_{01} \right) \right] \tilde{L} + K \tilde{J} \cdot n + i \alpha_q L_0^{3/2} \tilde{q}_1 = 0 \\
(-\omega - i \gamma_1 \kappa L_0) \tilde{J} + \eta_{10} Kn \tilde{T} + (\nu_{10} Kn - i \gamma_1 K J_0) \tilde{L} = 0
\end{cases} \] (152)
Note that the subscript 0 refers to the unperturbed state; in what follows, this subscript will be dropped out to simplify the notation.
**First case: \( n \) parallel to \( q_0 \).**
Now, impose the condition that the direction of the wave propagation \( n \) is parallel to the heat flux \( q_0 \), namely \( n = (1, 0, 0) \). Through these conditions the system (152) becomes
\[ \begin{cases}
-\omega \rho c_V \tilde{T} + K \tilde{q}_1 - \omega \rho c_L \tilde{L} = 0 \\
\zeta_1 K \tilde{T} - \left( \omega + \frac{i}{3} \kappa B L \right) \tilde{q}_1 - \left( -\chi_1 K + i \kappa B q_1 \right) \tilde{L} = 0 \\
i \alpha_q L^{3/2} \tilde{q}_1 - \left( \omega + i \tau_L^{-1} \right) \tilde{L} + K \tilde{J}_1 = 0 \\
\eta_1 K \tilde{T} + (\nu_1 K - i \gamma_1 K J_1) \tilde{L} + (-\omega - i \gamma_1 K L) \tilde{J}_1 = 0 \\
\left( -\omega - \frac{i}{3} \kappa B L \right) \tilde{q}_2 = 0 \\
\left( -\omega - \frac{i}{3} \kappa B L \right) \tilde{q}_3 = 0 \\
(-\omega - i \gamma_1 K L) \tilde{J}_2 = 0 \\
(-\omega - i \gamma_1 K L) \tilde{J}_3 = 0
\end{cases} \] (153)
where \( \tau_L^{-1} = \left( 2\beta_q L - \frac{3}{2} \alpha_q L^{1/2} q_1 \right) \).
Note that the transversal modes, those corresponding to the four latter equations, evolve independently with respect to the longitudinal ones, corresponding to the four former equations.
One will limit the study to the case in which \( \omega \) and the modulus of the wave number \( K \) assume values high enough to make considerable simplification in the system. Indeed, it is for high values of the frequency that the wave behavior of the vortex tangle can be evidenced because the first term in (145c) will become relevant. Note that the assumption \( |K| = |k_r + ik_s| \) large
Table 1. Modes corresponding to second sound velocity and vortex density waves, respectively.
refers to a large value of its real part $k_r$, which is related to the speed of the vortex density wave, whereas the imaginary part $k_s$, corresponding to the attenuation factor of the wave, will be assumed small.
This problem is studied into two steps: first assuming $|K|$ and $\omega$ extremely high to neglect all terms which do not depend on them. Then, the solution so obtained is perturbed in order to evaluate the influence of the neglected terms on the velocity and the attenuation of high-frequency waves.
Denoting with $w = \omega / k_r$ the speed of the wave, and assuming $|K|$ and $\omega$ large, the following dispersion relation is obtained:
$$w^4 - \left[ V_2^2 + v_1 - \frac{\eta_1}{\rho c_V} \left( \rho \varepsilon_L - \frac{\chi_1}{v_1} \right) \right] w^2 + V_2^2 v_1 = 0,$$
where $V_2 = (-\lambda_{22} T^2 \rho c_V)^{-1/2}$ is the second sound speed in the absence of vortex tangle (see previous sections) and from (142b) it is related to the coefficient $\zeta_1$ by the relation $\zeta_1 = V_2^2 \rho c_V - \lambda_{12} \eta_1 / \lambda_{11}$. Further, if one assumes that the coefficient $\eta_1$ is zero
$$\eta_1 = 0 \quad \Rightarrow \quad \frac{\lambda_{12}}{\lambda_{11}} = T^2 \frac{\partial}{\partial T} \left( \frac{\mu^L}{T} \right) = \frac{2S_3}{S_2} = -\frac{\chi_1}{v_1},$$
then the dispersion relation (154) has the solutions
$$w_{1,2} = \pm V_2, \quad w_{3,4} = \pm \sqrt{v_1},$$
to which correspond the propagation modes shown in Table 1.
As one sees from the first column of Table 1, under the hypothesis (155) the high-frequency wave of velocity $w_{1,2} = \pm V_2$ is a temperature wave (i.e. the second sound) in which the two quantities $\tilde{L}$ and $\tilde{J}_1$ are zero, whereas in the second column the high-frequency wave of velocity $w_{3,4} = \pm \sqrt{v_1}$ is a wave in which all fields vibrate. The latter result is logic because when the vortex density wave is propagated in the superfluid helium, temperature $T$ and heat flux $q_1$ cannot remain constant. This behavior is different from that obtained in Section 4 because using that model in the second sound also the line density $L$ vibrates. In fact, there the flux of vortices $J$ was chosen proportional to $q$, so that vibrations in the heat flux (second sound) produce vibrations in the vortex tangle. Experiments on high-frequency second sound are needed to confirm this new result.
Now we consider all the neglected terms of the system (153) and the coefficient $\eta_1$ as small perturbations of the velocity $w$ of the wave and of the attenuation term $k_s$ of the wave number $K$. Substituting the following assumptions
\[ \bar{w} = \frac{\omega}{k_r} = w + \delta \quad \text{and} \quad K = k_r + i k_s \]
in the system (153), one finds the expression (156), at the zeroth order in \( \delta \) and \( k_s \), whereas at the first order in \( \delta \) and \( k_s \), one obtains
\[
\begin{align*}
\bar{w}_{1,2} &= \left( 1 - \frac{\eta_1}{2\rho c_V \left( w_{1,2}^2 - w_{3,4}^2 \right)} \left( \rho \varepsilon_L - \frac{\chi_1}{w_{3,4}^2} \right) \right) w_{1,2}, \\
\bar{w}_{3,4} &= \left( 1 + \frac{\eta_1}{2\rho c_V \left( w_{1,2}^2 - w_{3,4}^2 \right)} \left( \rho \varepsilon_L - \frac{\chi_1}{w_{3,4}^2} \right) \right) w_{3,4},
\end{align*}
\]
and
\[
\begin{align*}
k_s^{(1,2)} &= \frac{\kappa L B}{6 w_{1,2}} + \frac{\alpha_q L^{3/2} \left( w_{1,2}^2 \rho \varepsilon_L - \chi_1 \right)}{2 \left( w_{1,2}^2 - w_{3,4}^2 \right)}, \\
k_s^{(3,4)} &= \frac{\kappa L \gamma_1 + \tau_L^{-1}}{2 w_{3,4}} - \frac{\alpha_q L^{3/2} \left( w_{1,2}^2 \rho \varepsilon_L - \chi_1 \right)}{2 \left( w_{1,2}^2 - w_{3,4}^2 \right)} + \frac{J_1 \kappa \gamma_1}{2 w_{3,4}^2}.
\end{align*}
\]
Observe that in this approximation all thermodynamical fields vibrate simultaneously and the attenuation coefficients \( k_s \) are influenced by the choice of \( J \) as independent variable, as one easily sees by comparing expressions (159–160) with those obtained in Section 4 (Jou et al., 2007). Looking at these results, in particular the two speeds (157–158), one sees that these velocities are not modified when one makes the simplified hypothesis that the coefficient \( \eta_1 \) is equal to zero. In Section 4 (Jou et al., 2007) it was observed that the second sound velocity is much higher than that of the vortex density waves, so that the small quantity \( \eta_1 \) should influence the two velocities (157-158) in a different way: negligible for the second sound velocity but relevant for the vortex density waves. Regarding the attenuation coefficients (159–160), one sees that the first term in (159) is identical to that obtained in (Jou et al., 2002), when the vortices are considered fixed. The new term, proportional to \( \alpha_q \), comes from the interaction between second sound and vortex density waves.
Note that the second term of the dissipative coefficient \( k_s^{(1,2)} \) is the same as the third term of \( k_s^{(3,4)} \), but with an opposite sign. This means that this term contributes to the attenuation of the two waves in opposite ways; and its contribution depends also on whether the propagation of forward waves or of backward waves is considered. The first term of \( k_s^{(3,4)} \) produces always an attenuation of the wave, while the behavior of the third term is analogous to the first one.
**Second case: \( n \) orthogonal to \( q_0 \)**
In order to make a more detailed comparison with the model studied in Section 4 (Mongiovì & Jou, 2007), (Jou et al., 2007), one proceeds to analyze another situation, in which the direction of the wave propagation is perpendicular to the heat flux, that is, for example, assuming \( n = (0, 0, 1) \). This choice simplifies the system (152) in the following form
\[
\begin{cases}
-\omega \rho c_V \bar{T} + K \bar{q}_3 - \omega \rho \varepsilon_L \bar{L} = 0 \\
\left(-\omega - \frac{i}{2} \kappa B L\right) \bar{q}_1 - \frac{i}{3} \kappa B q_1 \bar{L} = 0 \\
\zeta_1 K \bar{T} - \left(\omega + \frac{i}{2} \kappa B L\right) \bar{q}_3 + \chi_1 K \bar{L} = 0 \\
i \alpha_q L^{3/2} \bar{q}_1 - \left(\omega + i \tau_L^{-1}\right) \bar{L} + K \bar{J}_3 = 0 \\
\eta_1 K \bar{T} + v_1 K \bar{L} + (-\omega - i \gamma_1 \kappa L) \bar{J}_3 = 0 \\
\left(-\omega - \frac{i}{2} \kappa B L\right) \bar{q}_2 = 0 \\
-i \gamma_1 K \bar{J}_1 \bar{L} + (-\omega - i \gamma_1 \kappa L) \bar{J}_1 = 0 \\
(-\omega - i \gamma_1 \kappa L) \bar{J}_2 = 0
\end{cases}
\] (161)
Note that, in contrast with what was seen before, but in agreement with the corresponding situation of the model described in Section 4, here the transversal and the longitudinal modes in general do not evolve independently, as shown from the first five equations. However, one will see that this is the case if high-frequency waves are considered.
As in the previous situation, we assume that the values of the frequencies $\omega$ and of the real part of the wave number, $k_r$, are high enough, such that the system (161) may be easily solved. The other terms will be considered as perturbations to $w = \omega / k_r$ and $k_s$. Note that in this special case, as in the previous case and in [Jou et al., 2007], only the longitudinal modes are present, so that the dispersion relation assumes the form
\[ w \left( w^4 - \left[ V_2^2 + v_1 - \frac{\eta_1}{\rho c_V} \left( \rho \varepsilon_L + \frac{\lambda_{12}}{\lambda_{11}} \right) \right] w^2 + V_2^2 v_1 \right) = 0, \] (162)
which is similar to equation (154).
Assuming the same hypothesis (155), the dispersion relation (162) takes the form
\[ w(w^2 - v_1)(w^2 - V_2^2) = 0, \] (163)
where $V_2$ is the second sound velocity and $\sqrt{v_1}$ is the velocity of the vortex density waves in helium II. The conclusions which one achieves here are the same to those of the previous situation. Indeed, $\omega_0 = 0$ corresponds to $\bar{q}_1 = \psi$ and $\bar{T} = \bar{q}_3 = \bar{L} = \bar{J}_3 = 0$; while $w_{1,2} = \pm V_2$ and $w_{3,4} = \pm \sqrt{v_1}$ correspond to those in Table 1.
Now, as in the previous case, we assume that all the neglected terms in (161) modify $w$ and $K$ by small quantities $\delta$ and $k_s$, that is
\[ \bar{w} = \frac{\omega}{k_r} = w + \delta \quad \text{and} \quad K = k_r + i k_s. \]
Substituting them in the dispersion relation of the system (161), one finds the relation (163), at the zeroth order in $\delta$ and $k_s$, and the following two expressions at the first order in $\delta$ and $k_s$
\[ \bar{w}_{1,2}^\perp = \bar{w}_{1,2}^\parallel, \] (164)
\[ \bar{w}_{3,4}^\perp = \bar{w}_{3,4}^\parallel, \] (165)
and
\[ k_s^{(1,2)} = \frac{\kappa L B}{6 w_{1,2}}, \] (166)
\[ k_s^{(3,4)} = \frac{\tau_L^{-1} + \kappa L \gamma_1}{2 w_{3,4}}. \] (167)
As regards the expression (166) for the dissipative term \( k_s^{(1,2)} \), note that it is the same as the expression obtained when the vortices are assumed fixed (Jou & Mongiovì, 2006), (Peruzza & Sciacca, 2007), whereas the attenuation term \( k_s^{(3,4)} \) is the same as the second term of \( k_s^{(3,4)} \) of the first case (\( n \) parallel to \( q_0 \)). As in (Mongiovì & Jou, 2007), (Jou et al., 2007), in this case one has the propagation of two kinds of waves, namely heat waves and vortex density waves, which cannot be considered as propagating independently from each other. In fact, the uncoupled situation (equation (156)), in which the propagation of the second sound is not influenced by the fluctuations of the vortices, is no more the case when the quantities
\[
\overline{N}_1 = \frac{1}{3} \kappa B L, \quad \overline{N}_2 = \frac{1}{3} \kappa B q_1, \quad \overline{N}_3 = A L^{3/2}, \quad \overline{N}_4 = \gamma_1 K J_1, \quad \overline{N}_5 = \gamma_1 K L, \quad \tau_L^{-1} \text{ and } \eta_1,
\]
are considered. Indeed, from (157–158) and from the results of (Jou et al., 2007) one makes in evidence that heat and vortex density waves cannot be considered separately, that is as two different waves, but as two different features of the same phenomena. Of course, the results obtained here are more exhaustive than those of Section 4: in fact, comparing the velocities at the first order of approximation in both models, one deduces that the expressions (157–158) depend not only on the velocities of heat waves and vortex density waves, as in (Mongiovì & Jou, 2007), (Jou et al., 2007), but also on the coefficient \( \eta_1 \), which comes from the equation (145d) of the vortex flux \( J \), and whose physical meaning is a thermodiffusion coefficient of vortices. The fourth equation of the system (153) shows that the vortex flux \( \tilde{J}_1 \) is not proportional to the heat flux, as it was assumed in Sections 2 and 4, but it satisfies an equation in which also the fields \( \tilde{L} \) and \( \tilde{T} \), through \( \eta_1 \), are present.
It is to note that the attenuation of the second sound depends on the relative direction of the wave with respect to the heat flux: in some experiments this dependence was shown for parallel and orthogonal directions (Awschalom et al, 1984). These results were explained assuming an anisotropy of the tangle of vortices. But, looking at the expressions (159) and (166) of the attenuation of the second sound in the high-frequency regime, one notes that these expressions are not equal. In particular, the term
\[
\frac{\alpha_q L^{3/2} \left( w_{1,2}^2 \rho \varepsilon_L - \chi_1 \right)}{2 \left( w_{1,2}^2 - w_{3,4}^2 \right)}
\] (168)
in (159) causes a dependence of the attenuation depending on whether the wave direction agrees with the direction of the heat flux \( q \) or not. This term is absent if the wave propagates orthogonal to the heat flux. In (Sciacca et al, 2008) vortex tangle was assumed to be anysotropic. The result was that \( \bar{w}_{1,2,3,4}^\perp = \bar{w}_{1,2,3,4}^\parallel \) and that the behavior of speed of propagation is isotropic and does not depend on the isotropy or anisotropy of the tangle.
In conclusion, it could be that an anisotropy of the behavior of high-frequency second sound does not necessarily imply an actual anisotropy of the tangle in pure counterflow regime, but only a different behavior of the second sound due to the interaction with the vortex density waves. This may be of interest if one wants to explore the degree of isotropy at small spatial scales. Of course, some more experiments are needed in order to establish the presence and the sign of these additional terms.
6. Conclusions and perspectives
Helium behaves in a very strange way when temperature is dropped down below the lambda line, different to any classical fluid. This review is a first attempt to put together some of our results concerning the application of the Extended Thermodynamics to superfluid helium, both in laminar and turbulent flows.
In Section 2 a one-fluid model for superfluid helium in absence of vortices is shown, which chooses heat flux as an independent variable, and a comparison between this non-standard model and the more well-known two-fluid model is faced. The main part of the review is devoted to the macroscopic description of the interesting behaviour of this liquid in the presence of quantized vortex lines. They are very thin dynamical defects of superfluid helium, which are usually sketched by geometrical lines, representing the quantized vorticity of the superfluid motion. The amount of quantized vortices is high enough in turbulent superfluid helium, so they are usually expressed by means of the line length per unit volume $L$. Different hydrodynamical models of superfluids in the presence of vortices are dealt with, that have more detailed successive descriptions. First, in Section 3 the one-fluid model for laminar flow (no presence of vortices) is extended introducing a vorticity tensor (in the heat flux equation), which takes into account the presence of vortices as a fixed structure. The influence of vortices to the main fields is studied, mainly in the three experimental situations: rotating helium (vortices are basically straight lines parallel to the rotating axis), pure counterflow (an enough high heat flux, without mass flux, which causes an almost isotropic vortex tangle), and then the combined situation of rotating counterflow turbulence.
Since vortex lines density may experimentally be detected by means of the second sound (temperature waves), the propagation of harmonic waves is investigated in all the situations above mentioned. Section 4 is devoted to build up a new model in which the line density $L$ acquires field properties: it depends on the coordinates, it has a drift velocity, and it has associated a diffusion flux. These features are becoming increasingly relevant today, as the local vortex density may be measured with higher precision, and the relative motion of vortices is observed and simulated. The hydrodynamical model built in this section is sufficiently general to encompass vortex diffusion and to describe the interactions between the usual waves and the vortices, which in Section 3 were simply considered as a rigid framework where second sound waves are dissipated. A hint about vortex density waves is also shown, which is then better considered in Section 5. In this section we further generalize the model, in order to include the velocity of the vortex tangle as a new independent variable. This is motivated by the fact that this velocity (or the flux of the vortex line density) is not always properly parallel to the heat flux, so it needs an own evolution equation. Also this model is formulated using Extended Thermodynamics, determining the restrictions imposed by the second law of Thermodynamics by means of the Liu’s procedure. One of the results of this section is that when the high frequency harmonic plane waves are considered, vortex density waves are found out. The interesting thing is that heat waves and vortex density waves cannot be considered separately, that is as two different waves, but as two different features of the same phenomena. Another interesting result is that attenuation of the second sound depends on the relative direction of the wave with respect to the heat flux: it seems that the anisotropy in the behavior of high-frequency second sound does not mean anisotropy in the tangle in counterflow regime.
These results are important because second sound provides the standard methods of measuring the vortex line density $L$, and we have shown that the dynamical mutual interplay between second sound and vortex lines modifies the standard results. In the case when there
is a net motion of the mass, the model is useful to study Couette and Poiseuille flow, where the bulk motion of the system contribute to the production of new vortex lines (Jou et al., 2008). The renewed interest in superfluid turbulence lies on the fact that at some length scales it appears similar to classical hydrodynamic turbulence, and therefore a better understanding of it can throw new light on problems in classical turbulence. Our results are relevant also to modelize the influence of the bulk motion on the vortex production in Couette and Poiseuille flows, and in towed or oscillating grids, including the important application of superfluid helium as a coolant for superconducting devices.
7. Acknowledgments
The authors acknowledge the support of the Università di Palermo (grant 2007.ORPA07LXEZ and Progetto CoRI 2007, Azione D, cap. B.U. 9.3.0002.0001.0001) and the collaboration agreement between Università di Palermo and Universitat Autònoma de Barcelona. MS acknowledges the “Assegno di ricerca” of the University of Palermo. DJ acknowledges the financial support from the Dirección General de Investigación of the Spanish Ministry of Education under grant FIS 2009-13370-C02-01 and of the Direcció General de Recerca of the Generalitat of Catalonia, under grant 2009 SGR-00164.
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Progress of thermodynamics has been stimulated by the findings of a variety of fields of science and technology. The principles of thermodynamics are so general that the application is widespread to such fields as solid state physics, chemistry, biology, astronomical science, materials science, and chemical engineering. The contents of this book should be of help to many scientists and engineers.
**How to reference**
In order to correctly reference this scholarly work, feel free to copy and paste the following:
D. Jou, M.S. Mongiovi, M. Sciacca, L. Ardizzone and G. Gaeta (2011). Hydrodynamical Models of Superfluid Turbulence, *Thermodynamics*, Prof. Mizutani Tadashi (Ed.), ISBN: 978-953-307-544-0, InTech, Available from: http://www.intechopen.com/books/thermodynamics/hydrodynamical-models-of-superfluid-turbulence
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from the director...
SHEDDING LIGHT ON THE HOLIDAYS
It is no accident that our holiday season, occurring at the coldest and darkest time of the year, is always characterized by our efforts to create light, warmth and joy. For some, the joy is more difficult to muster. Depression, whether at clinical proportions or just a “blue” mood, is all too common as we miss the sunny buoyancy of warmer seasons.
In keeping with the seasonal theme, we devote this issue of *briefings* to examining ways to lift our moods and stay on track through the winter. Our article on Seasonal Affective Disorder considers the biological approach to winter doldrums, while our other featured article provides cognitive, behavioral, and spiritual ideas to “turn around depression for the holidays.”
My hope for all of us is that, despite the cold and dark days of winter, the seasonal pressures, and our global concerns, we can nurture a perspective of gratitude. This is, in fact, a wonderful time of year to refocus our attention onto the blessings that we may take for granted, blessings of recovery and of friends and family, including the large LCL network of caring individuals.
I am personally very grateful that my path and yours have crossed, and, along with the entire LCL staff, send you my ‘unseasonably’ warm wishes for a safe and happy holiday season, and a bright and joyful New Year.
NINE WAYS TO TURN AROUND DEPRESSION FOR THE HOLIDAYS
by Nancy Brown
The holiday season is once again upon us. With all its commercially motivated portrayals of warm, welcoming, convivial family gatherings in beautiful settings where an abundance of everything is taken for granted, we might find ourselves acutely aware of our imperfect lives and wondering where we went wrong. We all know on some level, however, that the holidays can be tough for most people, whether or not they suffer from depression. Memories, losses, unfulfilled hopes and dreams surface in a unique way during the holidays. In addition, we are now constantly reminded about the unsettling social, economic and geopolitical events of the last 18 months. These internal and external “environments” can trigger anyone, particularly those vulnerable to depression. The following questions may be helpful in considering ways to ameliorate or prevent certain symptoms of depression at any time of year:
What track are your thoughts on? A powerful causal relationship exists between what we think and believe, and what we feel. Negative thoughts beget negative feelings, which beget negative expectations, which beget negative behaviors, which creates a perpetual cycle of negativity. We all have well established, but not irreversible, patterns of thought (although the noise of our hectic lives can drown out our awareness of them). Depression thrives in that Petri dish of negative thought about oneself, others, or life in general. A simple (not easy) and effective way to interrupt that cycle involves the conscious substitution of positive thoughts. A good starting point might be to remind yourself of all you have to be grateful for. Gratitude and depression cannot usually co-exist for long.
Are you acting or reacting? A potentially avoidable symptom of depression is a sense of powerlessness, or lack of control over one’s life. Dissatisfaction with your own life can show up in a variety of ways, including preoccupation with, or attempts to change or control someone else. Focusing on and taking responsibility for your own life offers a firm foundation from which to act. Willingness to face fears makes one less a victim of the illusion of helplessness.
What do you need to do to take good care of yourself? Prioritize yourself. Good self-care is the beginning of good mental and physical health. What are you eating? How many hours of sleep do you average? Are you pumping out those endorphins with regular exercise? Do you have a hobby? A favorite author, activity? Do you give yourself time to think? Time to listen to your own heartbeat and be awed by that?
Are you laughing enough? Or are you taking everything, including yourself, too seriously? This is a pitfall for many lawyers who have been taught to think and work in a very logical, rational, disciplined and diligent manner. Changing gears so the kid inside can come out to play, be goofy, have some belly laughs, refreshes both the brain and the spirit and wards off negativity.
Have you planned your next vacation? Most of us need something to look forward to, whether it’s a Saturday morning breakfast with our
buddies, an evening at the Symphony, a special holiday event, an extended time in the woods, or whatever. If you lack a travel companion, join a tour; then you’ll have many! Take one-minute vacations whenever possible: close your eyes, relax your body, and envision yourself doing what you love. Vision precedes action.
**Do you need to adjust your expectations?** As a group, lawyers tend to enjoy challenges and set high expectations for themselves, especially at work. Seductive financial rewards for unreasonable productivity demands serve to reinforce a potentially destructive imbalance. This is a good time of year to re-evaluate priorities in favor of that which enhances peace and harmony year ‘round. Participants in the growing movement toward simplification report enriched and more meaningful lives—with less “stuff and status.”
**What makes you happy?** *This is a very important question.* Some people can readily answer this question, and they go for it with enthusiasm. At the other extreme are those who seem to refuse to be happy and consider those who are to be in denial of reality. Many fall somewhere in-between and may really not know, or get stymied by fears, or dismiss it as irrelevant, unrealistic or self-indulgent. The answer to this question, however, is what gives vitality, identity, energy, involvement with life! We’ve all heard of individuals diagnosed with terminal cancer whose pursuit of long delayed dreams became their cure. So what makes you happy? Certain music? *Play it!* Certain people? *Reach out!* A certain activity? *Do it!* Learning new things? *Enroll!* Discussing books? *Form a book club!*
**Whom can you tell it to?** Many lawyers consciously cultivate a public persona that says, “I’m competent, confident and *in control.*” True, presentation *does* matter. There is a risk, however, in gradually and unconsciously identifying with that constricted persona, such that anything that isn’t subject to logical analysis and rational management is suppressed, repressed or denied. Denied realities can manifest in depression and eventually create pain in mind, body and relationships. Whether with a friend, a spouse or clinician, sharing your more vulnerable inner experience with someone you trust can bring clarity, energy and corrective or constructive action.
**How do you make a change?** As creatures of habit and routine, we all know how tough change can be. It’s best to start slow and let the momentum build. Choose *just one thing* that you can realistically do differently and forget everything else. Consider what sacrifices will be required (Less TV? Making your own lunch? Paying for childcare or house cleaning? A gym membership? Less complaining?), and evaluate your willingness to make them. Journal your efforts, slips and progress. Keep visual reminders everywhere. Enlist the support of a friend, consultant or counselor to hold you accountable to yourself. Incremental changes are more likely to become habitual. Taking charge of one’s own life is empowering and confidence building, and counteracts depression.
And finally, compassionate and good-humored self-acceptance greatly enhances our capacity for genuine enjoyment of ourselves *and* of others. A healthy, reality based love of self generates and attracts more love. And love always partners with happiness.
If the late fall and winter tend to bring down your mood, you are not alone. There are several reasons why winter may be a tough time of year. One is the so-called “anniversary reaction.” Many of us had less-than-optimal childhood environments, in which holiday time was an acute source of pain, that we may revisit involuntarily (often without conscious awareness) when those months roll around each year. We may also be reminded of those loved ones who can no longer be with us.
Just as common, though, and generally of longer duration, is the phenomenon of declining mood as a biological response to late fall and winter. During this period, the majority of people feel some seasonal impact on behavior, mood, sleep and energy level. For some, these effects are severe, a condition now known as Seasonal Affective Disorder (SAD). Anyone can be affected, though this disorder is found more often in women and in people age 20 to 50.
Identification of SAD came out of research in the late 1970’s on the effects of Melatonin, a substance secreted by the pineal gland (just below the brain). Melatonin appears to trigger a hibernation-type response in mammals, and its production is suppressed by light. Researchers found that exposure to bright light (in comparison to dimmer light) could trigger significant improvements in mood. This notion was consistent with reports of fewer SAD symptoms in people who spent the winter in sunnier climates. Longitude, latitude, and genes may also play a role – while winter depression is most common in North America, for example, mood plunges in summer are more prevalent in China and Japan.
SAD is currently seen as a seasonal variant of depression. In order to “qualify” for the diagnosis, one must meet criteria for Major Depression, but with a clear seasonal pattern (see boxes within this article). A quick self-test of seasonality is also available on the website of Norman Rosenthal, MD, a leading expert in this field. (Go to www.normanrosenthal.com, then click Winter Blues, then “SAD? - Test Yourself!”.)
In contrast to non-seasonal depression, the most prominent aspect of SAD is not a sad mood or deflated self-esteem, but the biological symptoms, namely, effects on appetite, sleep (increased), energy and libido (both decreased). Typically, sufferers will eat more during the winter, with an increased tendency to consume carbohydrates. (Carbohydrates may actually increase levels of serotonin, the brain chemical most closely associated with mood, but can also lead to weight gain.) Of course, some people do also get acute feelings of sadness, and may seek ways to “self-medicate.” Those with a summer SAD pattern tend, in contrast, to eat less, and to be more agitated than tired. Prior to diagnosing SAD, it is important to rule out medical conditions, such as chronic fatigue syndrome, viral illness, hypoglycemia, and hypothyroidism (none of which vary by season).
**Treatment**
The Light Box is the main form of treatment specifically for SAD. These
devices come in various shapes and sizes, but the smaller and cheaper ones may not work as well. A typical light box is made of metal, is about 2 feet long and 1½ feet high, and is priced between $300 and $500. The light is produced by white fluorescent bulbs and passes through a UV filter as well as a plastic screen that spreads the light evenly. The user sits facing the light (from a distance of 1 to 3 feet) for anywhere from 20 to 90 minutes a day during the season of depressed mood. There is no need to stare at the apparatus (which may be angled to optimize light entering the eye); users typically read, make phone calls, even use a treadmill. In contrast to normal office lighting, rated at 500-700 lux, a light box produces 2500-10,000 lux. There are many sources of light boxes, among them: The Sunbox Company (www.sunbox.com); Apollo Light Systems, Inc. (www.apollolight.com); and Bio-Brite, Inc. (www.biobrite.com).
If light treatment is going to help, the effects will be noticed within 2 to 14 days. Most people with SAD experience improvement, and for some it is dramatic (e.g., increased energy and concentration, decreased need for sleep). There can be side effects, such as eye strain or headache, which can usually be managed by modifying the intensity or length of light exposure. People with skin problems or on certain medications may need to use sunscreen, and those with eye diseases should consult an ophthalmologist.
Dawn Simulators can be used as an adjunctive treatment. These are modified timers, attached to normal-wattage lamps, which gradually turn on the light prior to awakening and seem to make a difference even though the eyes are closed. Light visors have also been developed as a more portable alternative, but as yet there is limited scientific evidence of their efficacy.
Aside from these targeted treatments, increased exposure to all forms of light may be beneficial, as well as winter vacations to sunnier climates. It is also helpful to fight the tendency to be sedentary, e.g., making efforts to get aerobic exercise and to rise from bed early in the day. Rosenthal further
**DIAGNOSTIC CRITERIA FOR DEPRESSION**
The following are based on criteria for *Major Depression* in the latest edition of psychiatry’s official diagnostic manual, but are reworded:
Most days in a 2-week period, you’ve had at least 5 of the following 9 symptoms (including at least one of the first two listed):
- Depressed mood (may be irritable in kids)
- Greatly reduced pleasure or interest in most activities.
- Significant (unintended) increase or decrease in appetite or weight.
- Getting much more or much less sleep than usual.
- Physically moving more slowly, or with more agitation, than usual.
- Fatigue or lowered energy.
- Feeling worthless or unreasonably guilty.
- Reduced concentration or ability to make decisions.
- Persistent thoughts of death or suicide.
There’s no reason to think you feel this way because of a medical condition, drug use, normal grief reaction, or psychotic disorder such as schizophrenia.
This quarterly newsletter is published by Lawyers Concerned for Lawyers, Inc. for its members and the bar at large. We welcome your comments and questions.
**Editor**
Bonnie Waters, CEAP
**Associate Editors**
Nancy Brown, LICSW
Jeff Fortgang, Ph.D.
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**LCL SUPPORT GROUP MEETING CALENDAR**
For current LCL support group meeting schedule, click on LCL web site calendar icon.
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**DIAGNOSTIC CRITERIA FOR SEASONAL AFFECTIVE DISORDER**
The following are based on criteria in the latest edition of psychiatry's official diagnostic manual, but are reworded:
- Clear connection between a particular time of year and entering a period of Major Depression, and this connection is not based on other things that happen to occur in your life at the same time.
- Clear connection between another time of year and a let-up in the depression.
- Two consecutive years with both of the above and no depression during the rest of the year.
- Over the course of your life, it is clear that most periods of depression were limited to certain parts of the year.
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**‘TIS THE SEASON (CONTINUED)**
suggests scheduling your more stressful projects in the sunnier months, and has found that some people benefit from a low carbohydrate diet.
The good news is that the symptoms of SAD, and of depression in general, can be significantly alleviated with the proper treatment. Aside from those specialized approaches described above, successful treatment may also involve the more traditional approaches of **psychotherapy** and/or **antidepressant medication**. An assessment from a mental health professional can be a good place to start. LCL’s clinical staff can offer a combination of assessment, clinical recommendations, and referrals.
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