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JFK Assassination Records - 2018 Additional Documents Release | National Archives
Have a question about JFK Assassination Records? Ask it on HistoryHub! The National Archives is releasing documents previously withheld in accordance with the JFK Assassination Records Collection Act. The vast majority of the Collection (88%) has been open in full and released to the public since the late 1990s. The records at issue are documents previously identified as
JFK Assassination Records - 2018 Additional Documents Release
The National Archives is releasing documents previously withheld in accordance with the JFK Assassination Records Collection Act. The vast majority of the Collection (88%) has been open in full and released to the public since the late 1990s. The records at issue are documents previously identified as assassination records, but withheld in full or withheld in part.Learn more
These releases include FBI, CIA, and other agency documents (both formerly withheld in part and formerly withheld in full) identified by the Assassination Records Review Board as assassination records. The releases to date are as follows:
July 24, 2017: 3,810 documents (read press release )
October 26, 2017: 2,891 documents (read press release )
November 3, 2017: 676 documents (read press release )
November 9, 2017: 13,213 documents (read press release )
November 17, 2017: 10,744 documents (read press release )
December 15, 2017: 3,539 documents * (read press release )
April 26, 2018: 18,731 documents * (read press release )
* Note: There are instances where multiple record identification numbers are associated with the same pdf. This is due to the fact that the files were scanned in batches.
Accessing the Release Files
The table below displays metadata about all the released documents. You can alsodownload the spreadsheet as an Excel file(4.7MB).
To view or download a specific document, follow the link in the "Doc Date" column. The files are sorted by NARA Release Date, with the most recent files appearing first. The previous withholding status (i.e., formerly withheld in part or formerly withheld in full) is identified in the “Formerly Withheld Status” column.
JFK Table
Row Num Record Num NARA Release Date Formerly Withheld Agency Doc Date Doc Type File Num To Name From Name Title Num Pages Originator Record Series Review Date Comments Pages Released
Row Num Record Num NARA Release Date Formerly Withheld Agency Doc Date Doc Type File Num To Name From Name Title Num Pages Originator Record Series Review Date Comments Pages Released 36251 104-10072-10182 11/09/2017 In Part CIA 08/09/1973 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A COS COS COPY OF THE WATCHLIST PER REFERENCE. 29 CIA JFK 11/09/2017 JFK15 : F59 : 1993.08.02.19:23:48:810033 : 29 36252 104-10072-10228 11/09/2017 In Part CIA 05/11/1963 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A CHIEF, SAS COS COPIES OF SUBJECT CONTACT REPORTS DATED 11 MAY, 14 MAY, AND 15 MAY 1963. 13 CIA JFK 11/09/2017 JFK15 : F45 : 1993.08.03.19:37:02:870033 : 13 36253 104-10183-10342 11/09/2017 In Part CIA 04/15/1965 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A CHIEF, WH COS DISPATCH: FORMS FOR AMMUG/1. 1 CIA JFK 11/09/2017 JFK64-19 : F11 : 1998.04.22.20:35:30:420102 : 1 36254 104-10185-10010 11/09/2017 In Part CIA 10/13/1960 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A CHIEF, KUDOVE COS DISPATCH: ENVELOPE FOR JAMES N. RABNEY 2 CIA JFK 11/09/2017 JFK64-20 : F10 : 20040310-1056296 : 2 36255 104-10215-10014 11/09/2017 In Part CIA 12/02/1966 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A CHIEF, SB COS SUBJ: REDTOP VALENTIN VASILYEVICH BAKULIN. 1 CIA JFK 11/09/2017 JFK64-50 : F4 : 20040311-1057085 : 1 36256 104-10216-10025 11/09/2017 In Part CIA 09/15/1969 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A CHIEF, WHD COS DISPATCH: INFORMATION ON 13 OF MARZO MEMBERS FROM GUILLERMO GONZALES SEAVEDRA. 5 CIA JFK 11/09/2017 JFK64-51 : F10 : 20040315-1057838 : 5 36257 104-10216-10030 11/09/2017 In Part CIA 01/01/1964 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A DC/WH/SA COS DISPATCH: CUBAN ELECTRIC COMPANY. 1 CIA JFK 11/09/2017 JFK64-51 : F10 : 20040315-1057843 : 1 36258 104-10216-10031 11/09/2017 In Part CIA 03/04/1965 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A DC/WH/SA COS DISPATCH: AMLASH/1. 3 CIA JFK 11/09/2017 JFK64-51 : F10 : 20040315-1057844 : 3 36259 104-10216-10037 11/09/2017 In Part CIA 06/13/1965 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A D/CHIEF, WH,SA COS DISPATCH: TRANSMITTAL OF LETTER. 6 CIA JFK 11/09/2017 JFK64-51 : F10 : 20040315-1057846 : 6 36260 104-10216-10038 11/09/2017 In Part CIA 06/20/1967 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A D/CHIEF, WH/C COS DISPATCH: IDENTIFICATION OF COMMUNIST PARTY AND DSE MEMBERS. 2 CIA JFK 11/09/2017 JFK64-51 : F10 : 20040315-1057847 : 2 36261 104-10216-10058 11/09/2017 In Part CIA 07/10/1969 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A COS COS DISPATCH: SHOLOMO CLIKSBERG 2 CIA JFK 11/09/2017 JFK64-51 : F15 : 1998.04.25.14:19:17:623102 : 2 36262 104-10216-10104 11/09/2017 In Part CIA 11/01/1960 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A CHIEF, WHD COS DISPATCH-PBPRIME CITIZEN WITH EQUADOREAN GOVERNMENT CONNECTIONS. 1 CIA JFK 11/09/2017 JFK64-51 : F12 : 1998.04.29.13:10:08:340082 : 1 36263 104-10218-10006 11/09/2017 In Part CIA 08/15/1962 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A COS JMWAVE COS DISPATCH: INTERROGATION OF CUBAN REFUGEES. 9 CIA JFK 11/09/2017 JFK64-53 : F9 : 1998.04.25.17:24:30:233102 : 9 36264 104-10220-10022 11/09/2017 In Part CIA 08/08/1969 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A CHIEF, EUROPEAN DIV COS DISPATCH: NEWSPAPER ARTICLE CONCERNING RICHARD CASE NAGELL. 1 CIA JFK 11/09/2017 JFK64-55 : F7 : 20040316-1058567 : 1 36265 104-10087-10094 07/24/2017 In Part CIA 12/20/1963 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A DIRECTOR COS PLAN FOR PASSING INFORMATION TO W.C. CIA JFK 06/12/2017 JFK27 : F34 : 20040106-1030748 : 36266 104-10112-10160 07/24/2017 In Part CIA 08/09/1957 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A KING, J.C., C/WHD COS REQUEST FOR FIELD TRACES AND INVESTIGATION. CIA JFK 06/14/2017 JFK41 : F4 : 20040112-1033642 : 36267 104-10003-10085 04/26/2018 Redact 05/14/1964 [ PDF ] PAPER-TEXTUAL DOCUMENT 201-289248 C/WE COS SPANISH WEEKLY "SP" AND THE O'BRIEN ARTICLE, "LA POLICIA DE DALLAS MATO A KENNEDY" ("THE DALLAS POLICE KILLED KENNEDY") 8 CIA 03/12/2018 OSW9 : V37 : 1993.06.08.18:11:03:620000 : IDEN AID UPDATE TO CORRECT PAGE NUMBERS 36268 104-10003-10085 04/26/2018 Redact 05/14/1964 [ PDF ] PAPER-TEXTUAL DOCUMENT 201-289248 C/WE COS SPANISH WEEKLY "SP" AND THE O'BRIEN ARTICLE, "LA POLICIA DE DALLAS MATO A KENNEDY" ("THE DALLAS POLICE KILLED KENNEDY") 8 CIA 03/12/2018 OSW9 : V37 : 1993.06.08.18:11:03:620000 : IDEN AID UPDATE TO CORRECT PAGE NUMBERS 36269 104-10055-10045 04/26/2018 Redact CIA 11/23/1963 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A DIRECTOR COS CONDOLENCES OVER LOSS OF PRES KENNEDY AND OSWALD CALLS TO SOVIET EMBASSY IN MEXICO 2 CIA JFK 03/12/2018 JFK7 : F25 : 20031203-1019857 : 2 36270 104-10072-10182 04/26/2018 Redact CIA 08/09/1973 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A COS COS COPY OF THE WATCHLIST PER REFERENCE. 29 CIA JFK 03/12/2018 JFK15 : F59 : 1993.08.02.19:23:48:810033 : 29 36271 104-10072-10228 04/26/2018 Redact CIA 05/11/1963 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A CHIEF, SAS COS COPIES OF SUBJECT CONTACT REPORTS DATED 11 MAY, 14 MAY, AND 15 MAY 1963. 13 CIA JFK 03/12/2018 JFK15 : F45 : 1993.08.03.19:37:02:870033 : 13 36272 104-10183-10342 04/26/2018 Redact CIA 04/15/1965 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A CHIEF, WH COS DISPATCH: FORMS FOR AMMUG/1. 1 CIA JFK 03/16/2018 JFK64-19 : F11 : 1998.04.22.20:35:30:420102 : 1 36273 104-10185-10010 04/26/2018 Redact CIA 10/13/1960 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A CHIEF, KUDOVE COS DISPATCH: ENVELOPE FOR JAMES N. RABNEY 2 CIA JFK 03/16/2018 JFK64-20 : F10 : 20040310-1056296 : 2 36274 104-10215-10014 04/26/2018 Redact CIA 12/02/1966 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A CHIEF, SB COS SUBJ: REDTOP VALENTIN VASILYEVICH BAKULIN. 1 CIA JFK 03/16/2018 JFK64-50 : F4 : 20040311-1057085 : 1 36275 104-10216-10025 04/26/2018 Redact CIA 09/15/1969 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A CHIEF, WHD COS DISPATCH: INFORMATION ON 13 OF MARZO MEMBERS FROM GUILLERMO GONZALES SEAVEDRA. 5 CIA JFK 03/12/2018 JFK64-51 : F10 : 20040315-1057838 : 5 36276 104-10216-10030 04/26/2018 Redact CIA 01/01/1964 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A DC/WH/SA COS DISPATCH: CUBAN ELECTRIC COMPANY. 1 CIA JFK 03/12/2018 JFK64-51 : F10 : 20040315-1057843 : 1 36277 104-10216-10031 04/26/2018 Redact CIA 03/04/1965 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A DC/WH/SA COS DISPATCH: AMLASH/1. 3 CIA JFK 03/16/2018 JFK64-51 : F10 : 20040315-1057844 : 3 36278 104-10216-10037 04/26/2018 Redact CIA 06/13/1965 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A D/CHIEF, WH,SA COS DISPATCH: TRANSMITTAL OF LETTER. 6 CIA JFK 03/16/2018 JFK64-51 : F10 : 20040315-1057846 : 6 36279 104-10216-10038 04/26/2018 Redact CIA 06/20/1967 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A D/CHIEF, WH/C COS DISPATCH: IDENTIFICATION OF COMMUNIST PARTY AND DSE MEMBERS. 2 CIA JFK 03/16/2018 JFK64-51 : F10 : 20040315-1057847 : 2 36280 104-10216-10058 04/26/2018 Redact CIA 07/10/1969 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A COS COS DISPATCH: SHOLOMO CLIKSBERG 2 CIA JFK 03/12/2018 JFK64-51 : F15 : 1998.04.25.14:19:17:623102 : 2 36281 104-10216-10104 04/26/2018 Redact CIA 11/01/1960 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A CHIEF, WHD COS DISPATCH-PBPRIME CITIZEN WITH EQUADOREAN GOVERNMENT CONNECTIONS. 1 CIA JFK 03/16/2018 JFK64-51 : F12 : 1998.04.29.13:10:08:340082 : 1 36282 104-10218-10006 04/26/2018 Redact CIA 08/15/1962 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A COS JMWAVE COS DISPATCH: INTERROGATION OF CUBAN REFUGEES. 9 CIA JFK 03/16/2018 JFK64-53 : F9 : 1998.04.25.17:24:30:233102 : 9 36283 104-10220-10022 04/26/2018 Redact CIA 08/08/1969 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A CHIEF, EUROPEAN DIV COS DISPATCH: NEWSPAPER ARTICLE CONCERNING RICHARD CASE NAGELL. 1 CIA JFK 03/12/2018 JFK64-55 : F7 : 20040316-1058567 : 1 36284 104-10100-10237 11/09/2017 In Part CIA 10/18/1963 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A NONE CORPUS CHRISTI DELIVERY OF CARTRIDGES TO CORPUS CHRISTI 1 CIA JFK 11/09/2017 JFK33 : F5 : 20040108-1032333 : 1 36285 104-10100-10237 04/26/2018 Redact CIA 10/18/1963 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A NONE CORPUS CHRISTI DELIVERY OF CARTRIDGES TO CORPUS CHRISTI 1 CIA JFK 03/16/2018 JFK33 : F5 : 20040108-1032333 : 1 36286 180-10110-10103 10/26/2017 In Full HSCA 08/29/1978 [ PDF ] LETTER 127-JFK RHOADS, JAMES B. CORNWELL, GARY 2 HSCA SECURITY CLASSIFIED FILES 09/25/2017 Box 4. 3 36287 104-10180-10094 11/09/2017 In Part CIA 01/06/1965 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A COPS/WH (SA) MEMORANDUM FOR THE RECORD: SUBJECT - MANOLO RAY 1 CIA JFK 11/09/2017 JFK64-16 : F3 : 1998.04.04.18:37:34:140115 : 1 36288 104-10180-10094 04/26/2018 Redact CIA 01/06/1965 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A COPS/WH (SA) MEMORANDUM FOR THE RECORD: SUBJECT - MANOLO RAY 1 CIA JFK 03/12/2018 JFK64-16 : F3 : 1998.04.04.18:37:34:140115 : 1 36289 104-10225-10004 11/09/2017 In Part CIA 11/10/1964 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A HEADQUARTERS COPS, WH/SA/CI FITNESS REPORT ON JOSEPH S. PICCOLO 2 CIA JFK 11/09/2017 JFK64-60 : F2 : 20040316-1058692 : 2 36290 104-10225-10004 04/26/2018 Redact CIA 11/10/1964 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A HEADQUARTERS COPS, WH/SA/CI FITNESS REPORT ON JOSEPH S. PICCOLO 2 CIA JFK 03/16/2018 JFK64-60 : F2 : 20040316-1058692 : 2 36291 104-10165-10033 11/09/2017 In Part CIA 07/02/1959 [ PDF ] PAPER - TEXTUAL DOCUMENT 80T01357A SECRETARY OF STATE COPENHAGEN INCOMING TELEGRAM DOS: HAROLD CITRYNELL. 1 CIA JFK 11/09/2017 JFK64-4 : F8 : 1998.01.06.19:31:02:123102 : 1 36292 104-10165-10033 04/26/2018 Redact CIA 07/02/1959 [ PDF ] PAPER-TEXTUAL DOCUMENT 80T01357A SECRETARY OF DOS COPENHAGEN INCOMING TELEGRAM DOS: HAROLD CITRYNELL. 1 CIA JFK 03/12/2018 JFK64-4 : F8 : 1998.01.06.19:31:02:123102 : 1 36293 178-10003-10127 12/15/2017 In Part KISS/SCOW 12/01/1963 [ PDF ] MEMORANDUM 7602957 (2) DCI COOPER, CHESTER L. CONSIDERATIONS FOR US POLICY TOWARD CUBA AND LATIN AMERICA 6 CIA CHURCH COM. 11/30/2017 Attached to 1781000310109. Bad copy. Unmarked but contains classified information. 36294 178-10003-10158 12/15/2017 In Part KISS/SCOW 12/01/1963 [ PDF ] MEMORANDUM 7602957 (7) DCI COOPER, CHESTER L. CONSIDERATIONS FOR US POLICY TOWARD CUBA AND LATIN AMERICA 6 CIA CHURCH COM. 11/30/2017 Attached to 1781000310151. Bad copy. Unmarked but contains classified information. #4 and 4a on list. 36295 178-10003-10127 04/26/2018 Redact KISS/SCOW 12/01/1963 [ PDF ] PAPER-TEXTUAL DOCUMENT 7602957 (2) DCI COOPER, CHESTER L. CONSIDERATIONS FOR US POLICY TOWARD CUBA AND LATIN AMERICA 6 CIA CHURCH COM. 03/12/2018 Attached to 1781000310109. Bad copy. Unmarked but contains classified information. 36296 178-10003-10158 04/26/2018 Redact KISS/SCOW 12/01/1963 [ PDF ] PAPER-TEXTUAL DOCUMENT 7602957 (7) DCI COOPER, CHESTER L. CONSIDERATIONS FOR US POLICY TOWARD CUBA AND LATIN AMERICA 6 CIA CHURCH COM. 03/12/2018 Attached to 1781000310151. Bad copy. Unmarked but contains classified information. #4 and 4a on list. 36297 124-10194-10251 11/17/2017 In Part FBI 07/25/1963 [ PDF ] PAPER, TEXTUAL DOCUMENT 92-3182-807 DIRECTOR, FBI COOK, ROBERT A. 21 FBI HQ 11/17/2017 36298 124-10194-10314 11/17/2017 In Part FBI 11/29/1963 [ PDF ] PAPER, TEXTUAL DOCUMENT 92-3182-869 DIRECTOR, FBI COOK, ROBERT A. 19 FBI HQ 11/17/2017 36299 124-10194-10338 11/17/2017 In Part FBI 01/22/1964 [ PDF ] PAPER, TEXTUAL DOCUMENT 92-3182-893 DIRECTOR, FBI COOK, ROBERT A. 15 FBI HQ 11/17/2017 36300 124-10199-10112 11/17/2017 In Part FBI 03/10/1961 [ PDF ] PAPER, TEXTUAL DOCUMENT 92-3182-160 DIRECTOR, FBI COOK, ROBERT A. 37 FBI HQ 11/17/2017
| https://www.archives.gov/research/jfk/release?order=From%20Name&page=725&sort=desc |
Compressive CSIT estimation for multi-user massive MIMO with autonomous adaptation of pilot and feedback | Request PDF
Request PDF | On May 1, 2016, Feibai Zhu and others published Compressive CSIT estimation for multi-user massive MIMO with autonomous adaptation of pilot and feedback | Find, read and cite all the research you need on ResearchGate
Conference Paper
Compressive CSIT estimation for multi-user massive MIMO with autonomous adaptation of pilot and feedback
May 2016
DOI: 10.1109/ICC.2016.7510946
Conference: ICC 2016 - 2016 IEEE International Conference on Communications
Authors:
. In this paper, we focus on a downlink training framework for FDD massive MIMO systems. ...
... In addition, it is shown from many experimental studies of massive MIMO channels that the channel matrices are sparse in the angular domain due to limited scattering around the BTS [10]- [14]. Therefore, such hidden sparsity structure has been utilized in [6]-
[9]
by applying compressed sensing techniques to estimate CSIT with significantly reduced training overhead. ...
... However, most of the sparsity-inspired approaches assume that receivers perfectly feed back the analog received signal to the BTS [7]-
[9]
. One possible implementation is to quantize the received signal and feed back the quantized symbols to the BTS. ...
Sparse Channel Estimation for Massive MIMO with 1-Bit Feedback Per Dimension
Conference Paper
In massive multiple-input multiple-output (MIMO) systems, acquisition of the channel state information at the transmitter side (CSIT) is crucial. In this paper, a practical CSIT estimation scheme is proposed for frequency division duplexing (FDD) massive MIMO systems. Specifically, each received pilot symbol is first quantized to one bit per dimension at the receiver side and then the quantized bits are fed back to the transmitter. A joint one-bit compressed sensing algorithm is implemented at the transmitter to recover the channel matrices. The algorithm leverages the hidden joint sparsity structure in the user channel matrices to minimize the training and feedback overhead, which is considered to be a major challenge for FDD systems. Moreover, the one-bit compressed sensing algorithm accurately recovers the channel directions for beamforming. The one-bit feedback mechanism can be implemented in practical systems using the uplink control channel. Simulation results show that the proposed scheme nearly achieves the maximum output signal-to-noise-ratio for beamforming based on the estimated CSIT.
... In current wireless standards based on Orthogonal Frequency Division Multiplexing (OFDM), there is little flexibility for adaptive signaling, such as support for multiple classes of adaptive waveform parameters such as subcarrier spacing, OFDM symbol duration, frame structures and adaptive control channel overhead based on different operating conditions. In the evolution from 4G to 5G, there is considerable interest in the research community to adopt multicarrier waveforms with adaptive transmission parameters at the physical layer in order to enhance the spectral efficiency [4],
[5]
, [6]. Although not all control channels can be eliminated to reduce system overhead, one class of control signals whose overhead can be controlled are 'pilots' or 'reference signals'. ...
... Zhu et. al
[5]
Adaptive Pilot Patterns for CA-OFDM Systems in Nonstationary Wireless Channels
IEEE T VEH TECHNOL
Raghunandan M Rao
In this paper, we investigate the performance gains of adapting pilot spacing and power for Carrier Aggregation (CA)-OFDM systems in nonstationary wireless channels. In current multi-band CA-OFDM wireless networks, all component carriers use the same pilot density, which is designed for poor channel environments. This leads to unnecessary pilot overhead in good channel conditions and performance degradation in the worst channel conditions. We propose adaptation of pilot spacing and power using a codebook-based approach, where the transmitter and receiver exchange information about the fading characteristics of the channel over a short period of time, which are stored as entries in a channel profile codebook. We present a heuristic algorithm that maximizes the achievable rate by finding the optimal pilot spacing and power, from a set of candidate pilot configurations. We also analyze the computational complexity of our proposed algorithm and the feedback overhead. We describe methods to minimize the computation and feedback requirements for our algorithm in multi-band CA scenarios and present simulation results in typical terrestrial and air-to-ground/air-to-air nonstationary channels. Our results show that significant performance gains can be achieved when adopting adaptive pilot spacing and power allocation in nonstationary channels. We also discuss important practical considerations and provide guidelines to implement adaptive pilot spacing in CA-OFDM systems.
Equipping base stations (BSs) with very large antenna arrays is a promising way to increase the spectral and energy efficiency of mobile communication systems without the need for new cell sites. However, the prominently theoretical works on this topic are based on several crucial assumptions about the wireless channel which have not been sufficiently validated by measurements. In this paper, we report on an outdoor measurement campaign with a scalable virtual antenna array consisting of up to 112 elements. The large amount of acquired data allows us to study several important aspects of large-scale MIMO systems. For example, we partially confirm the theoretical results based on uncorrelated channels which predict that the channels at different positions become more and more orthogonal as the number of antennas grows. However, for the measured channels, the marginal gain of an additional antenna quickly diminishes. Nevertheless, our results indicate that most of the theoretical benefits of large-scale MIMO could be realized also over the measured channels.
Article
Full-text available
Jul 2010
P IEEE
Waheed U. Bajwa
Jarvis Haupt
Akbar M Sayeed
Robert Nowak
High-rate data communication over a multipath wireless channel often requires that the channel response be known at the receiver. Training-based methods, which probe the channel in time, frequency, and space with known signals and reconstruct the channel response from the output signals, are most commonly used to accomplish this task. Traditional training-based channel estimation methods, typically comprising linear reconstruction techniques, are known to be optimal for rich multipath channels. However, physical arguments and growing experimental evidence suggest that many wireless channels encountered in practice tend to exhibit a sparse multipath structure that gets pronounced as the signal space dimension gets large (e.g., due to large bandwidth or large number of antennas). In this paper, we formalize the notion of multipath sparsity and present a new approach to estimating sparse (or effectively sparse) multipath channels that is based on some of the recent advances in the theory of compressed sensing. In particular, it is shown in the paper that the proposed approach, which is termed as compressed channel sensing (CCS), can potentially achieve a target reconstruction error using far less energy and, in many instances, latency and bandwidth than that dictated by the traditional least-squares-based training methods.
Linear Pre-Coding Performance in Measured Very-Large MIMO Channels
Conference Paper
Full-text available
Sep 2011
Veh Tech Conf
Xiang Gao
Ove Edfors
Fredrik Rusek
Fredrik Tufvesson
Wireless communication using very-large multiple-input multiple-output (MIMO) antennas is a new research field, where base stations are equipped with a very large number of antennas as compared to previously considered systems. In theory, as the number of antennas increases, propagation properties that were random before start to become deterministic. Theoretical investigations with independent identically distributed (i.i.d.) complex Gaussian (Rayleigh fading) channels and unlimited number of antennas have been done, but in practice we need to know what benefits we can get from very large, but limited, number of antenna elements in realistic propagation environments. In this study we evaluate properties of measured residential-area channels, where the base station is equipped with 128 antenna ports. An important property to consider is the orthogonality between channels to different users, since this property tells us how advanced multi-user MIMO (MU-MIMO) pre-coding schemes we need in the downlink. We show that orthogonality improves with increasing number of antennas, but for two single-antenna users there is very little improvement beyond 20 antennas. We also evaluate sum-rate performance for two linear pre-coding schemes, zero-forcing (ZF) and minimum mean squared error (MMSE), as a function of the number of base station antennas. Already at 20 base station antennas these linear pre-coding schemes reach 98% of the optimal dirty-paper coding (DPC) capacity for the measured channels.
Message Passing Algorithms for Compressed Sensing
Article
Full-text available
Nov 2009
P NATL ACAD SCI USA
David Donoho
Arian Maleki
Andrea Montanari
Compressed sensing aims to undersample certain high-dimensional signals yet accurately reconstruct them by exploiting signal characteristics. Accurate reconstruction is possible when the object to be recovered is sufficiently sparse in a known basis. Currently, the best known sparsity-undersampling tradeoff is achieved when reconstructing by convex optimization, which is expensive in important large-scale applications. Fast iterative thresholding algorithms have been intensively studied as alternatives to convex optimization for large-scale problems. Unfortunately known fast algorithms offer substantially worse sparsity-undersampling tradeoffs than convex optimization. We introduce a simple costless modification to iterative thresholding making the sparsity-undersampling tradeoff of the new algorithms equivalent to that of the corresponding convex optimization procedures. The new iterative-thresholding algorithms are inspired by belief propagation in graphical models. Our empirical measurements of the sparsity-undersampling tradeoff for the new algorithms agree with theoretical calculations. We show that a state evolution formalism correctly derives the true sparsity-undersampling tradeoff. There is a surprising agreement between earlier calculations based on random convex polytopes and this apparently very different theoretical formalism.
A Convergent Iterative Restricted Complexity Control Design Scheme
Conference Paper
Full-text available
Jan 1995
Håkan Hjalmarsson
Svante Gunnarsson
Michel Gevers
In this contribution we propose an optimization approach to the
design of a restricted complexity controller. The design criterion is of
LQG type containing two terms. The first term is the quadratic norm of
the error between the output of the true closed loop and a desired
response. The second term is the quadratic norm of the input signal. It
is shown that the minimization of this criterion does not require a
model of the system. Closed loop experimental data can be used instead.
The result is an iterative scheme of closed loop experiments and
controller updates which converges to a local minimum of the design
criterion under the condition of bounded signals
Full-text available
Nov 2002
IEEE T SIGNAL PROCES
Akbar M Sayeed
Accurate and tractable channel modeling is critical to realizing the full potential of antenna arrays in wireless communications. Current approaches represent two extremes: idealized statistical models representing a rich scattering environment and parameterized physical models that describe realistic scattering environments via the angles and gains associated with different propagation paths. However, simple rules that capture the effects of scattering characteristics on channel capacity and diversity are difficult to infer from existing models. We propose an intermediate virtual channel representation that captures the essence of physical modeling and provides a simple geometric interpretation of the scattering environment. The virtual representation corresponds to a fixed coordinate transformation via spatial basis functions defined by fixed virtual angles. We show that in an uncorrelated scattering environment, the elements of the channel matrix form a segment of a stationary process and that the virtual channel coefficients are approximately uncorrelated samples of the underlying spectral representation. For any scattering environment, the virtual channel matrix clearly reveals the two key factors affecting capacity: the number of parallel channels and the level of diversity. The concepts of spatial zooming and aliasing are introduced to provide a transparent interpretation of the effect of antenna spacing on channel statistics and capacity. Numerical results are presented to illustrate various aspects of the virtual framework.
Correlation analysis based on MIMO channel measurements in an indoor environment
Article
Full-text available
Jul 2003
IEEE J SEL AREA COMM
Persefoni Kyritsi
D.C. Cox
Reinaldo A. Valenzuela
Peter Wolniansky
Multiple-input-multiple-output (MIMO) systems have the potential to achieve very high capacities, depending on the propagation environment. Capacity increases as signal correlation decreases. We present the measurements of a MIMO system under strong and weak line-of-sight conditions. The system capacity decreases as the distance from the transmitter increases. Indeed the transmitter correlation increases as the distance increases. The receiver correlation is lower than the transmitter correlation under both propagation conditions.
On the bang-bang control problem
Article
Mar 1955
Richard Bellman
Irving Glicksberg
Oliver Gross
Let S be a physical system whose state at any time is described by an n-dimensional vector x(t), where x(t) is determined by a linear differential equation Z = Az, with A a constant matrix. Application of external influences will yield an inhomogeneous equation, Z = Az + f, where f, the 'forcing term', represents the control. A problem of some importance in the theory of control circuits is that of choosing f so as to reduce z to 0 in minimum time. If f is restricted to belong to the class of vectors whose i(th) components can assume only the values =b sub i, the control is said to be of the 'bang-bang' type. The case where all the solutions of Z = Az approach zero as t approaches infinity is considered.
Fundamentals of Wireless Communication (Hardcover)
Article
May 2005
David Tse
Pramod Viswanath
The past decade has seen many advances in physical layer wireless communication theory and their implementation in wireless systems. This textbook takes a unified view of the fundamentals of wireless communication and explains the web of concepts underpinning these advances at a level accessible to an audience with a basic background in probability and digital communication. Topics covered include MIMO (multi-input, multi-output) communication, space-time coding, opportunistic communication, OFDM and CDMA. The concepts are illustrated using many examples from real wireless systems such as GSM, IS-95 (CDMA), IS-856 (1 x EV-DO), Flash OFDM and UWB (ultra-wideband). Particular emphasis is placed on the interplay between concepts and their implementation in real systems. An abundant supply of exercises and figures reinforce the material in the text. This book is intended for use on graduate courses in electrical and computer engineering and will also be of great interest to practising engineers.
Distributed compressive CSIT estimation and feedback for FDD multi-user massive MIMO systems
Article
Jun 2014
IEEE T SIGNAL PROCES
Xiongbin Rao
Vincent Lau
To fully utilize the spatial multiplexing gains or array gains of massive MIMO, the channel state information must be obtained at the transmitter side (CSIT). However, conventional CSIT estimation approaches are not suitable for FDD massive MIMO systems because of the overwhelming training and feedback overhead. In this paper, we consider multi-user massive MIMO systems and deploy the compressive sensing (CS) technique to reduce the training as well as the feedback overhead in the CSIT estimation. The multi-user massive MIMO systems exhibits a hidden joint sparsity structure in the user channel matrices due to the shared local scatterers in the physical propagation environment. As such, instead of naively applying the conventional CS to the CSIT estimation, we propose a distributed compressive CSIT estimation scheme so that the compressed measurements are observed at the users locally, while the CSIT recovery is performed at the base station jointly. A joint orthogonal matching pursuit recovery algorithm is proposed to perform the CSIT recovery, with the capability of exploiting the hidden joint sparsity in the user channel matrices. We analyze the obtained CSIT quality in terms of the normalized mean absolute error, and through the closed-form expressions, we obtain simple insights into how the joint channel sparsity can be exploited to improve the CSIT recovery performance.
Closed-Loop Autonomous Pilot and Compressive CSIT Feedback Resource Adaptation in Multi-user FDD Mas...
October 2016 · IEEE Transactions on Signal Processing
Acquisition of accurate channel state information (CSI) at the transmitter (CSIT) is a major challenge of deploying frequency-division duplexing (FDD) massive MIMO systems. Although compressive sensing (CS) based CSIT estimation approaches have been proposed to reduce the pilot training overhead for massive MIMO systems, the existing schemes cannot properly dimension the minimum required pilot ... [Show full abstract] symbols to estimate the CSIT of all users at the required CSIT quality, because of the loose bounds on the required number of measurements for successful CS recovery and the unknown sparsity levels of user channels. In this paper, we propose a robust closed-loop pilot and CSIT feedback resource adaptation framework which not only exploits the joint sparsity of the multi-user (MU) massive MIMO channels to improve the CSIT estimation performance, but also has the built-in learning capability to adapt to the minimum pilot and feedback resources needed for successful CSIT recovery under unknown and time-varying channel sparsity levels. We establish the convergence of the proposed closed-loop adaptation algorithm under certain conditions. Simulations show that the proposed framework has substantial performance gain over conventional schemes with a fixed number of pilots and is very robust to dynamic sparsity as well as model mismatch.
Nailed It: Autonomous Roofing with a Nailgun-Equipped Octocopter
View Video Presentation: https://doi.org/10.2514/6.2021-3211.vid This paper presents the first demonstration of autonomous roofing with a multicopter. A DJI S1000 octocopter equipped with an off-the-shelf nailgun was used to secure shingles on an adjustable-slope roof mock-up. The nailgun was modified to allow safe, autonomous triggering from the multicopter through tooltip compression feedback. ... [Show full abstract] A mount was designed to adjust the angle to match representative roof slopes. An open-source octocopter autopilot facilitated controller adaptation for the roofing application. An autonomous nailing sequence was developed using smooth trajectories designed to apply prescribed contact forces for reliable nail deployment. Experimental results showed that the system is capable of nailing within a required three centimeter vertical gap on the shingle at 30 degree roof slope. Extensions to achieve a complete autonomous roofing system are discussed as future work.
| https://www.researchgate.net/publication/305675776_Compressive_CSIT_estimation_for_multi-user_massive_MIMO_with_autonomous_adaptation_of_pilot_and_feedback |
Materials | Free Full-Text | Sulfur-Deficient Porous SnS2−x Microflowers as Superior Anode for Alkaline Ion Batteries
SnS2 as a high energy anode material has attracted extensive research interest recently. However, the fast capacity decay and low rate performance in alkaline-ion batteries associated with repeated volume variation and low electrical conductivity plague them from practical application. Herein, we propose a facile method to solve this problem by synthesizing porous SnS2 microflowers with in-situ formed sulfur vacancies. The flexible porous nanosheets in the three-dimensional flower-like nanostructure provide facile strain relaxation to avoid stress concentration during the volume changes. Rich sulfur vacancies and porous structure enable the fast and efficient electron transport. The porous SnS2−x microflowers exhibit outstanding performance for lithium ion battery in terms of high capacity (1375 mAh g−1 at 100 mA g−1) and outstanding rate capability (827 mA h g−1 at high rate of 2 A g−1). For sodium ion battery, a high capacity (~522 mAh g−1) can be achieved at 5 A g−1 after 200 cycles for SnS2−x microflowers. The rational design in nanostructures, as well as the chemical compositions, might create new opportunities in designing the new architecture for highly efficient energy storage devices.
Sulfur-Deficient Porous SnS 2−x Microflowers as Superior Anode for Alkaline Ion Batteries
by Lei Zhang 1,2 , Bin Yao 2 , Congli Sun 1,* , Shanshan Shi 3 , Wangwang Xu 4 and Kangning Zhao 1,3,*
1
State Key Laboratory of Advanced Technology for Materials Synthesis and Processing, International School of Materials Science and Engineering, Wuhan University of Technology, Wuhan 430070, China
2
3
College of Sciences & Institute for Sustainable Energy, Shanghai University, Shanghai 200444, China
4
Department of Mechanical and Industrial Engineering, Louisiana State University Baton Rouge, LA 70830, USA
*
Authors to whom correspondence should be addressed.
Materials 2020 , 13 (2), 443; https://doi.org/10.3390/ma13020443
Received: 9 December 2019 / Revised: 3 January 2020 / Accepted: 14 January 2020 / Published: 17 January 2020
(This article belongs to the Section Energy Materials )
Abstract
:
SnS
2
as a high energy anode material has attracted extensive research interest recently. However, the fast capacity decay and low rate performance in alkaline-ion batteries associated with repeated volume variation and low electrical conductivity plague them from practical application. Herein, we propose a facile method to solve this problem by synthesizing porous SnS
2
microflowers with in-situ formed sulfur vacancies. The flexible porous nanosheets in the three-dimensional flower-like nanostructure provide facile strain relaxation to avoid stress concentration during the volume changes. Rich sulfur vacancies and porous structure enable the fast and efficient electron transport. The porous SnS
2−x
at 100 mA g
−1
) and outstanding rate capability (827 mA h g
−1
at high rate of 2 A g
−1
). For sodium ion battery, a high capacity (~522 mAh g
−1
) can be achieved at 5 A g
−1
after 200 cycles for SnS
2−x
microflowers. The rational design in nanostructures, as well as the chemical compositions, might create new opportunities in designing the new architecture for highly efficient energy storage devices.
Keywords:
lithium-ion battery
;
porous nanosheet
;
SnS 2
;
sulfur vacancy
;
sodium-ion battery
1. Introduction
The energy crisis brings about a challenge to human life and sustainable and clean energy storage devices play a key role to overcome these issues [ 1 ]. Lithium-ion batteries (LIBs) dominate the commercial portable energy storage devices, including cell phones. However, their low energy density hinders them from some emerging applications such as electric vehicle (EVs) [ 2 ]. In commercial LIBs, graphite is commercialized as an anode electrode and its limited theoretical capacity (372 mAh g −1 ) is far from the increasing demand [ 3 , 4 , 5 ]. Thus, high capacity anode development becomes crucial. Additionally, sodium-ion batteries (SIBs) have become promising alternative energy storage devices for large-scale applications due to the low cost and earth-abundance of sodium resources [ 6 ]. Nevertheless, due to the narrow lattice spacing of graphite and large radius of the Na + ions (0.97 Å), graphite usually exhibits sluggish kinetics for Na + ions and inferior performance as anode for SIBs [ 7 , 8 , 9 ]. Therefore, development of high energy and long life anode materials is urgently needed.
Tin-based materials have received more and more research interest due to the high theoretical capacity and low charging/discharging potential platform [ 10 , 11 ]. Despite the high lithium/sodium storage capability, the fast capacity loss during repetitive huge volume expansion–contraction remains a major challenge to tin-based materials [ 12 ]. As a typical layered metal dichalcogenide material, SnS 2 is a typical two-dimensional layered structure and the large interlayer spacing could not only store the intercalated Li + or Na + ions but also release the stress induced by volume change [ 13 ]. However, as a ceramic semiconductor, tin disulfide suffers from low electronic conductivities [ 14 , 15 , 16 , 17 , 18 , 19 ]. Different highly conductive materials have been added to composite with SnS 2 , such as grapheme [ 20 , 21 , 22 , 23 , 24 , 25 ], PPy [ 18 ], and so on [ 26 , 27 ]. Another method is to decrease the feature size of SnS 2 and build nanostructures in order to reduce the length of ion transportation. Sulfur vacancies have been recently reported to increase the electrical conductivity of SnS 2 [ 28 , 29 , 30 , 31 , 32 , 33 , 34 ]. Thus, rational design of hierarchical structures with sulfur vacancies would improve the electrochemical performance of SnS 2 .
Herein, we designed three-dimensional hierarchical porous SnS
2−x
microflowers with interconnected porous nanosheets as anode for LIBs and SIBs. The SnS
2−x
microflowers exhibit excellent electrochemical properties for LIBs and SIBs. The excellent electrochemical performance of SnS
2−x
microflowers can be attributed to the porous structure of SnS
2−x
nanosheets, which provide more accessible active sites and shorten the length for alkaline ion diffusion and rich sulfur vacancy. The rich sulfur vacancy would increase the electric conductivity and the formation of porous structure would lead to the facile strain relaxation during battery cycling. In this way, the porous SnS
2−x
microflowers exhibit promising performance in both lithium and sodium ion storage.
2. Results and Discussion
SnS 2−x microflowers were synthesized via a hydrothermal reaction and this was followed by annealing process ( Figure 1 ). After the hydrothermal reaction, SnS 2 microflowers were formed. The microflowers are composed of interconnected flexible thin SnS 2 nanosheets. The additional annealing process not only increases the crystallinity of the SnS 2 microflowers but also introduces sulfur vacancies in the SnS 2−x nanosheets. XRD spectra were carried out to investigate the crystal structure of the products ( Figure 2 a). All the diffraction peaks of the SnS 2 , SnS 2 -400, and SnS 2 -450 are well indexed to the hexagonal structure of SnS 2 (JCPDS No.01-089-2358). All of these well-defined identified diffraction peaks at 15.0°, 28.2°, 32.1°, and 41.9° can be well assigned to (001), (100), (011), and (012) planes of hexagonal SnS 2 , respectively. When the annealing temperature was increased to 500 °C, the impurity phase Sn 4 S 3 (Orthorhombic, JCPDS No.00-030-1379) is generated accompanying with the main phase SnS 2 . Furthermore, the morphologies of the as-prepared samples were characterized by SEM and TEM. The SnS 2 microflowers are composed of thin and smooth nanosheets ( Figure 2 b). The SEM morphology of microflowers kept unchanged for SnS 2−x -400 and SnS 2−x -450 ( Figure 2 c and Figure S1 ), while it became a mixture of microflowers and bulks for SnS 2−x -500 ( Figure S2 ). The energy dispersive spectrometer (EDS) mapping confirms the homogeneous distribution of Sn and S elements in the entire sample of SnS 2−x microflowers ( Figure S2 ). In order to further identify the pore size and crystallographic structure of the SnS 2−x microflowers, scanning transmission electron microscopy (STEM) and high resolution scanning transmission electron microscopy (HRSTEM) were further carried out. There are no obvious pores observed on SnS 2 nanosheets ( Figure S3 ). Pores become distinct on the nanoflakes of SnS 2−x -400 and SnS 2−x -450, while the pore size of the SnS 2−x -450 nanosheets is larger than that in SnS 2−x -400 nanosheets ( Figure 2 c, Figure S3 ). However, further increasing the annealing temperature, no pores were observed on SnS 2−x -500 due to the phase evolution to Sn 3 S 4 ( Figure S3 ). HRTEM image in Figure 2 d shows that the pore size is in the range of 2–20 nm. The side view of the nanosheet suggests that the nanosheet is composed of 15 layers ( Figure 2 e). The HRSTEM image reveals the typical 2H phase of SnS 2 and no obvious lattice shift was observed, suggesting that the formation of pores does not affect the crystal structure.
In order to investigate the contents of sulfur vacancies in SnS 2−x samples, thermogravimetric (TG) analysis was carried out in the air ( Figure 3 a,b). For SnS 2 microflowers, the total weight loss is 17.6%, while the total weight loss of SnS 2−x microflowers is only 13.7%. During the annealing in air, the SnS 2 is oxided to SnO 2 . The much lower weight loss of SnS 2−x microflowers corresponds to the rich sulfur vacancies in SnS 2−x microflowers, which is formed during the annealing process under sulfur-deficient environment.
To further study the formation of sulfur vacancies in SnS 2−x microflowers during annealing process, XPS measurements were conducted on the samples before and after the annealing ( Figure 3 ). In Figure 3 c–f, both Sn 3d and S 2p peaks in XPS spectra were shifted to lower binding energies after annealing, suggesting the formation of low-valance Sn 2+ and sulfur vacancies [ 32 ]. In addition, the Sn 3d spectrum shown in Figure 3 c can be further deconvoluted into four peaks. The two dominating peaks at 495.3 eV and 487.0 eV correspond to Sn 4+ , while the two small peaks at 485.8 eV and 494 eV correspond to Sn 2+ , indicating the coexistence of Sn 4+ and Sn 2+ in SnS 2−x microflowers [ 35 ]. However, there are only two peaks ( Figure 3 e) for the SnS 2 microflowers (495.3 eV, 487.0 eV), suggesting the presence of Sn 4+ in the SnS 2 microflowers. The N 2 adsorption–desorption isotherms of SnS 2 microflowers and SnS 2−x microflowers are shown in Figure S4 . The specific surface area of porous SnS 2−x -450 microflowers is 20.1 m 2 g –1 , which is much higher than SnS 2 microflowers (5.8 m 2 g −1 ), SnS 2−x -400 (9.8 m 2 g −1 ), and SnS 2−x -500 (6.6 m 2 g −1 ). The higher surface area is attributed to a greater number of pores, as evidenced by the STEM images in Figure 2 d.
Sulfur vacancies are believed to stabilize this material for alkaline ion storage. Cyclic voltammetry (CV) of SnS 2−x microflower sample was measured at 0.1 mV s −1 in the potential range of 0.01–3 V vs. Li/Li + , which is shown in Figures S5 and S6 . In the initial sweeping process, the CV curves show two broad peaks located at ~1.4 V and ~0.2 V, ascribing to the conversion reaction of SnS 2 into metallic Sn and Li 2 S (reaction 1) and the alloying reaction of Li-Sn alloy (reaction 2), respectively. Cycling performances of the samples are one of the most important parameters for batteries and are evaluated by a galvanostatic charging/discharging test as in Figure 4 a. SnS 2−x -450 exhibits much better cycling stability than those of SnS 2 , SnS 2 -400, and SnS 2 -500. At 100 mA g −1 (corresponding to 0.06C), the initial discharging capacity of SnS 2−x -450 is 1375 mA h g −1 , surpassing those of SnS 2 (1311 mAh g −1 ), SnS 2 -400 (1128 mAh g −1 ), and SnS 2 -500 (1306 mAh g −1 ). The 50th capacity of SnS 2−x -450 is 865 mA h g −1 corresponding to a capacity retention of 62.9%, which is much higher than that of SnS 2 (362 mA h g −1 , 27.8%), SnS 2−x -400 (643 mA h g −1 , 57.0%), and SnS 2−x -500 (575 mA h g −1 , 44.0%), manifesting the increased capacity and enhanced cycling stability. Figure 4 b displays the galvanostatic charging/discharging curves of the SnS 2−x -450 at 100 mA g −1 . The initial discharging capacity is 1375 mA h g −1 , and the initial charging capacity is 1176 mA h g −1 . Figure 4 c summarizes the rate performances of all samples. At rates of 100, 200, 500, 1000, 2000, and 200 mA g −1 ( Figure 4 d), the discharging capacities of the SnS 2−x -450 microflowers were 1130, 1010, 954, 899, 827, and 1005 mA h g −1 , respectively. Notably, even at a high current density of 2000 mAh g −1 , the SnS 2−x -450 microflowers still retain a high capacity of 827 mAh g −1 . Besides, the capacity at each current density was far higher than that of the SnS 2 , SnS 2−x -400, and SnS 2−x -500. The cycling stability at 1000 mA g −1 was further measured. ( Figure 4 c). After 100 cycles, the SnS 2−x -450 still maintained a high capacity of 712 mA h g −1 , surpassing those of SnS 2 (111 mA h g −1 , 19.0%), SnS 2−x -400 (431 mA h g −1 , 57%), and SnS 2−x -500 (91 mA h g −1 , 13.0%). The capacity of SnS 2−x -450 is still more than twice that of graphite.
To further investigate the charge storage mechanism in SnS 2−x microflowers, the kinetics of the charging process was studied to gain more quantitative charge storage processes [ 36 ]. Figure 4 e shows the contributions from the diffusion-controlled process. When the scan rates were increased from 0.1 to 1.0 mV s −1 , the proportions of the capacitive contribution increased. The capacitive contribution reaches 62.6% at 1.0 mV s −1 . Figure 4 f shows the capacitive and diffusion-controlled contributions to charge storage in the SnS 2−x -450-based lithium-ion battery at 1 mV s −1 . The diffusion-controlled regions are mainly located around the peaks of the CV, revealing that the redox peaks are governed by the diffusion, while the rest of the regions are capacitive-controlled. In order to further investigate the electrochemical kinetics, electrochemical impedance spectra (EIS) in Figure S7 shows that SnS 2−x -450 holds enhanced kinetics for Li-ion insertion/extraction. The TEM images and the EDS mapping of the sample after 100 cycles are carried out to reveal the stability of the SnS 2−x nanostructure in Figure S8 . It is found that the microflowers tend to aggregate together, while the nanosheet morphology keeps stable. The EDS mapping in Figure S8 shows the homogeneous distribution of the Sn and S elements in the area, which confirms the excellent stability of SnS 2−x nanostructure.
In addition, we studied the electrochemical performance of SnS 2−x microflower electrodes for sodium ion storage. The Na-storage behavior of the SnS 2−x microflower electrode was measured based on the half cell with Na metal anode and SnS 2−x microflower cathodes in the range of 0.01–3 V. CV curves of SnS 2−x microflower-based SIB were first tested at 0.1 mV s −1 . As shown in Figure 5 a, the cathodic peak located at 1.74 V is attributed to the sodium intercalation into SnS 2 host, while the peak at 0.73 V to the conversion reaction, alloying reaction, and solid electrolyte interface (SEI) film formation [ 35 ]. Figure S9 shows the galvanostatic charging/discharging profiles of the SnS 2−x microflower electrode at a current density of 200 mA g −1 at different cycles. The initial discharge capacity is 984 mAh g −1 , and the first charge capacity is 793 mAh g −1 . The observed potential plateaus in the charging/discharging curves correspond to the redox peaks in the CV curves. Figure 5 b shows the cycling performance of SnS 2−x microflower-based SIB at 200 mAh g −1 . The initial capacity of SnS 2−x -450 and SnS 2 is 984, 641 mAh g −1 , respectively. After 30 cycles, the SnS 2−x -450 still retained a capacity of 608 mAhg −1 , which was much higher than SnS 2 (340 mAh g −1 ), demonstrating the improved capacity and cycling stability. Furthermore, the rate performances were investigated in Figure 5 d. Notably, even at a high current density of 5000 mA g −1 , the SnS 2−x -450 still keeps a high capacity of 491 mAh g −1 , showing an excellent rate capability. Besides, the capacity of SnS 2−x -450 was much higher than that of the SnS 2 , SnS 2−x -400, and SnS 2−x -500 at each current density. As displayed in Figure 5 c, at current density of 1000 mA g −1 , SnS 2−x -450 could maintain a capacity of 522 mA h g −1 after 200 cycles, with a capacity retention of 89.5% from 3 to 200 cycles, surpassing those of SnS 2 (84 mAh g −1 , 14.8%), SnS 2−x -400 (96 mAh g −1 , 21.6%), and SnS 2−x -500 (43 mAh g −1 , 7.0%).
3. Conclusions
In summary, we have successfully fabricated porous SnS
2−x
microflower structure through a facile solvothermal method, followed by the thermal treatment. The porous structure and sulfur vacancies are formed mainly due to the partial loss of sulfur during the annealing under sulfur-deficient environment. The rich sulfur vacancy increases the electric conductivity and the formation of porous structure leads to the facile strain relaxation during battery cycling. In this way, the porous SnS
2−x
microflowers exhibit promising performance as the anode for LIBs in terms of high capacity (1375 mAh g
−1
at 100 mA g
−1
) and outstanding rate capability (827 mA h g
−1
at 2 A g
−1
). For SIBs, a high capacity of ~522 mAh g
−1
is achieved at 5 A g
−1
after 200 cycles for SnS
2−x
microflowers. The simultaneous rational structural design and chemical composition control of SnS
2−x
microflowers in this work brings new insight to the synthesis of advanced functional electrode materials and offers great potential for next-generation energy storage devices.
Supplementary Materials
The following are available online at https://www.mdpi.com/1996-1944/13/2/443/s1 , Figure S1: SEM images of SnS 2 (a, b), SnS 2−x -400 (c, d), SnS 2−x -450 (e, f) and SnS 2−x -500 (g, h). Figure S2: SEM image of a representive SnS 2−x nanoflower and its elemental mapping images of S (b), and Sn (c). Figure S3. TEM images of SnS 2 (a, b), SnS 2−x -400 (c, d), and SnS 2−x -500 (e, f). Figure S4. Nitrogen adsorption-desorption isotherms and pore size distributions (insets) of SnS 2 (a), SnS 2−x -400 (b), SnS 2−x -450 (c) and SnS 2−x -500 (d). Figure S5. CV curves of the LIB based on SnS 2−x -450 nanoflowers. Figure S6. CV curves of SnS 2−x -450 at different scan rates ranging from 0.1 to 1 mV s −1 . Figure S7. EIS of of LIBs based on SnS 2 , SnS 2−x -400, SnS 2−x -450 and SnS 2−x -500 nanoflowers. Figure S8. Charge and discharge curves of SnS 2−x -450 at different cycles as SIBs.
Author Contributions
Data curation, L.Z., B.Y. and C.S.; Formal analysis, B.Y. and S.S.; Funding acquisition, K.Z.; Investigation, C.S. and K.Z.; Methodology, L.Z.; Project administration, K.Z.; Software, L.Z., S.S. and W.X.; Writing—original draft, L.Z. and K.Z.; Writing—review & editing, C.S., W.X. and K.Z. All authors have read and agreed to the published version of the manuscript.
Funding
This research was funded by the National Natural Science Foundation of China (21905169). The S/TEM work was performed at the Nanostructure Research Center (NRC), which is supported by the Fundamental Research Funds for the Central Universities (WUT: 2019III012GX), the State Key Laboratory of Advanced Technology for Materials Synthesis and Processing, and the State Key Laboratory of Silicate Materials for Architectures (all of the laboratories are at Wuhan University of Technology).
Conflicts of Interest
The authors declare no conflict of interest
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Figure 1. Schematic of the synthesis of SnS 2 microflowers.
Figure 2. ( a ) XRD patterns of SnS 2 , SnS 2−x -400, SnS 2−x -450, and SnS 2−x -500. ( b , c ) SEM images of SnS 2 microflowers and SnS 2−x -450 microflowers. ( d ) TEM image and ( e , f ) canning transmission electron microscopy (STEM) images of SnS 2−x -450 microflowers, showing the atomic resolution of the 2H-SnS 2 .
Figure 2. ( a ) XRD patterns of SnS 2 , SnS 2−x -400, SnS 2−x -450, and SnS 2−x -500. ( b , c ) SEM images of SnS 2 microflowers and SnS 2−x -450 microflowers. ( d ) TEM image and ( e , f ) canning transmission electron microscopy (STEM) images of SnS 2−x -450 microflowers, showing the atomic resolution of the 2H-SnS 2 .
Figure 3. ( a , b ) Thermogravimetric (TG) curves and their corresponding DSC curves of the SnS 2 and SnS 2−x microflowers. ( c , d ) Sn 3d spectrum and S 2p spectrum for SnS 2−x microflowers. ( e , f ) Sn 3d spectrum and S 2p spectrum for SnS 2 microflowers.
Figure 3. ( a , b ) Thermogravimetric (TG) curves and their corresponding DSC curves of the SnS 2 and SnS 2−x microflowers. ( c , d ) Sn 3d spectrum and S 2p spectrum for SnS 2−x microflowers. ( e , f ) Sn 3d spectrum and S 2p spectrum for SnS 2 microflowers.
Figure 4. ( a ) Cycling performances at 100 mA g −1 . ( b ) Charge and discharge curves of SnS 2−x -450. ( c ) Rate performances and ( d ) Cycling performances at 1000 mA g −1 . ( e ) Capacitive and diffusion-controlled contributions to charge storage in SnS 2−x -450 at different scan rates of 0.1, 0.5, 0.8, and 1 mV s −1 . ( f ) Capacitive contributions of SnS 2−x -450 to charge storage at 1 mV s −1 . The shaded region is the pseudocapacitive contribution in SnS 2−x -450.
Figure 4. ( a ) Cycling performances at 100 mA g −1 . ( b ) Charge and discharge curves of SnS 2−x -450. ( c ) Rate performances and ( d ) Cycling performances at 1000 mA g −1 . ( e ) Capacitive and diffusion-controlled contributions to charge storage in SnS 2−x -450 at different scan rates of 0.1, 0.5, 0.8, and 1 mV s −1 . ( f ) Capacitive contributions of SnS 2−x -450 to charge storage at 1 mV s −1 . The shaded region is the pseudocapacitive contribution in SnS 2−x -450.
Figure 5. ( a ) Cyclic voltammetry (CV) curves of of SnS 2−x microflowers. ( b ) Cycling performances of SnS 2 and SnS 2−x microflowers at 200 mA g −1 . ( c ) Cycling performances of SnS 2 , SnS 2−x -400, SnS 2−x -450, and SnS 2−x -500 at 2000 mA g −1 ( d ) Rate performances of SnS 2 , SnS 2−x -450 and SnS 2−x -500 at current densities ranging from 200 to 5000 mA g −1 . ( e ) EIS spectra of the SnS 2 , SnS 2−x -400, SnS 2−x -450, and SnS 2−x -500.
Figure 5. ( a ) Cyclic voltammetry (CV) curves of of SnS 2−x microflowers. ( b ) Cycling performances of SnS 2 and SnS 2−x microflowers at 200 mA g −1 . ( c ) Cycling performances of SnS 2 , SnS 2−x -400, SnS 2−x -450, and SnS 2−x -500 at 2000 mA g −1 ( d ) Rate performances of SnS 2 , SnS 2−x -450 and SnS 2−x -500 at current densities ranging from 200 to 5000 mA g −1 . ( e ) EIS spectra of the SnS 2 , SnS 2−x -400, SnS 2−x -450, and SnS 2−x -500.
MDPI and ACS Style
Zhang, L.; Yao, B.; Sun, C.; Shi, S.; Xu, W.; Zhao, K. Sulfur-Deficient Porous SnS 2−xMicroflowers as Superior Anode for Alkaline Ion Batteries. Materials 2020, 13, 443.
https://doi.org/10.3390/ma13020443
AMA Style
Zhang L, Yao B, Sun C, Shi S, Xu W, Zhao K. Sulfur-Deficient Porous SnS 2−xMicroflowers as Superior Anode for Alkaline Ion Batteries. Materials. 2020; 13(2):443.
https://doi.org/10.3390/ma13020443
Chicago/Turabian Style
Zhang, Lei, Bin Yao, Congli Sun, Shanshan Shi, Wangwang Xu, and Kangning Zhao. 2020. "Sulfur-Deficient Porous SnS 2−xMicroflowers as Superior Anode for Alkaline Ion Batteries" Materials13, no. 2: 443.
https://doi.org/10.3390/ma13020443
| https://www.mdpi.com/1996-1944/13/2/443/xml |
HB4390 98TH GENERAL ASSEMBLY
98TH GENERAL ASSEMBLY
State of Illinois
2013 and 2014 HB4390 Introduced , by Rep. Patrick J. Verschoore SYNOPSIS AS INTRODUCED: 35 ILCS 105/3-5 35 ILCS 110/3-5 35 ILCS 115/3-5 35 ILCS 120/2-5 Amends the Use Tax Act, the Service Use Tax Act, the Service Occupation Tax Act, and the Retailers' Occupation Tax Act. Provides that medical appliances purchased for use by a person aged 65 or older are exempt from taxation under the Acts. Provides that the Acts' automatic sunset provisions do not apply to that exemption. LRB098 15788 HLH 50821 b FISCAL NOTE ACT MAY APPLY A BILL FOR HB4390 LRB098 15788 HLH 50821 b 1 AN ACT concerning revenue. 2 Be it enacted by the People of the State of Illinois, 3 represented in the General Assembly: 4 Section 5. The Use Tax Act is amended by changing Section 5 3-5 as follows: 6 (35 ILCS 105/3-5) 7 Sec. 3-5. Exemptions. Use of the following tangible 8 personal property
is exempt from the tax imposed by this Act: 9 (1) Personal property purchased from a corporation, 10 society, association,
foundation, institution, or 11 organization, other than a limited liability
company, that is 12 organized and operated as a not-for-profit service enterprise 13 for the benefit of persons 65 years of age or older if the 14 personal property
was not purchased by the enterprise for the 15 purpose of resale by the
enterprise. 16 (2) Personal property purchased by a not-for-profit 17 Illinois county
fair association for use in conducting, 18 operating, or promoting the
county fair. 19 (3) Personal property purchased by a not-for-profit
arts or 20 cultural organization that establishes, by proof required by 21 the
Department by
rule, that it has received an exemption under 22 Section 501(c)(3) of the Internal
Revenue Code and that is 23 organized and operated primarily for the
presentation
or
HB4390 - 2 - LRB098 15788 HLH 50821 b 1 support of arts or cultural programming, activities, or 2 services. These
organizations include, but are not limited to, 3 music and dramatic arts
organizations such as symphony 4 orchestras and theatrical groups, arts and
cultural service 5 organizations, local arts councils, visual arts organizations, 6 and media arts organizations.
On and after the effective date 7 of this amendatory Act of the 92nd General
Assembly, however, 8 an entity otherwise eligible for this exemption shall not
make 9 tax-free purchases unless it has an active identification 10 number issued by
the Department. 11 (4) Personal property purchased by a governmental body, by 12 a
corporation, society, association, foundation, or 13 institution organized and
operated exclusively for charitable, 14 religious, or educational purposes, or
by a not-for-profit 15 corporation, society, association, foundation,
institution, or 16 organization that has no compensated officers or employees
and 17 that is organized and operated primarily for the recreation of 18 persons
55 years of age or older. A limited liability company 19 may qualify for the
exemption under this paragraph only if the 20 limited liability company is
organized and operated 21 exclusively for educational purposes. On and after July
1, 22 1987, however, no entity otherwise eligible for this exemption 23 shall make
tax-free purchases unless it has an active exemption 24 identification number
issued by the Department. 25 (5) Until July 1, 2003, a passenger car that is a 26 replacement vehicle to
the extent that the
purchase price of
HB4390 - 3 - LRB098 15788 HLH 50821 b 1 the car is subject to the Replacement Vehicle Tax. 2 (6) Until July 1, 2003 and beginning again on September 1, 3 2004 through August 30, 2014, graphic arts machinery and 4 equipment, including
repair and replacement
parts, both new and 5 used, and including that manufactured on special order, 6 certified by the purchaser to be used primarily for graphic 7 arts production,
and including machinery and equipment 8 purchased for lease.
Equipment includes chemicals or chemicals 9 acting as catalysts but only if
the
chemicals or chemicals 10 acting as catalysts effect a direct and immediate change
upon a 11 graphic arts product. 12 (7) Farm chemicals. 13 (8) Legal tender, currency, medallions, or gold or silver 14 coinage issued by
the State of Illinois, the government of the 15 United States of America, or the
government of any foreign 16 country, and bullion. 17 (9) Personal property purchased from a teacher-sponsored 18 student
organization affiliated with an elementary or 19 secondary school located in
Illinois. 20 (10) A motor vehicle that is used for automobile renting, 21 as defined in the
Automobile Renting Occupation and Use Tax 22 Act. 23 (11) Farm machinery and equipment, both new and used, 24 including that manufactured on special order, certified by the 25 purchaser
to be used primarily for production agriculture or 26 State or federal
agricultural programs, including individual
HB4390 - 4 - LRB098 15788 HLH 50821 b 1 replacement parts for
the machinery and equipment, including 2 machinery and equipment
purchased
for lease,
and including 3 implements of husbandry defined in Section 1-130 of
the 4 Illinois Vehicle Code, farm machinery and agricultural 5 chemical and
fertilizer spreaders, and nurse wagons required to 6 be registered
under Section 3-809 of the Illinois Vehicle Code, 7 but excluding other motor
vehicles required to be
registered 8 under the Illinois Vehicle Code.
Horticultural polyhouses or 9 hoop houses used for propagating, growing, or
overwintering 10 plants shall be considered farm machinery and equipment under 11 this item (11).
Agricultural chemical tender tanks and dry 12 boxes shall include units sold
separately from a motor vehicle 13 required to be licensed and units sold mounted
on a motor 14 vehicle required to be licensed if the selling price of the 15 tender
is separately stated. 16 Farm machinery and equipment shall include precision 17 farming equipment
that is
installed or purchased to be 18 installed on farm machinery and equipment
including, but not 19 limited to, tractors, harvesters, sprayers, planters,
seeders, 20 or spreaders.
Precision farming equipment includes, but is not 21 limited to, soil testing
sensors, computers, monitors, 22 software, global positioning
and mapping systems, and other 23 such equipment. 24 Farm machinery and equipment also includes computers, 25 sensors, software, and
related equipment used primarily in the 26 computer-assisted operation of production agriculture
HB4390 - 5 - LRB098 15788 HLH 50821 b 1 facilities, equipment,
and
activities such as, but not limited 2 to,
the collection, monitoring, and correlation of
animal and 3 crop data for the purpose of
formulating animal diets and 4 agricultural chemicals. This item (11) is exempt
from the 5 provisions of
Section 3-90. 6 (12) Until June 30, 2013, fuel and petroleum products sold 7 to or used by an air common
carrier, certified by the carrier 8 to be used for consumption, shipment, or
storage in the conduct 9 of its business as an air common carrier, for a
flight destined 10 for or returning from a location or locations
outside the 11 United States without regard to previous or subsequent domestic 12 stopovers. 13 Beginning July 1, 2013, fuel and petroleum products sold to 14 or used by an air carrier, certified by the carrier to be used 15 for consumption, shipment, or storage in the conduct of its 16 business as an air common carrier, for a flight that (i) is 17 engaged in foreign trade or is engaged in trade between the 18 United States and any of its possessions and (ii) transports at 19 least one individual or package for hire from the city of 20 origination to the city of final destination on the same 21 aircraft, without regard to a change in the flight number of 22 that aircraft. 23 (13) Proceeds of mandatory service charges separately 24 stated on customers' bills for the purchase and consumption of 25 food and
beverages purchased at retail from a retailer, to the 26 extent that the proceeds
of the service charge are in fact
HB4390 - 6 - LRB098 15788 HLH 50821 b 1 turned over as tips or as a substitute
for tips to the 2 employees who participate directly in preparing, serving, 3 hosting or cleaning up the food or beverage function with 4 respect to which
the service charge is imposed. 5 (14) Until July 1, 2003, oil field exploration, drilling, 6 and production
equipment,
including (i) rigs and parts of rigs, 7 rotary
rigs, cable tool rigs, and workover rigs, (ii) pipe and 8 tubular goods,
including casing and drill strings, (iii) pumps 9 and pump-jack units, (iv)
storage tanks and flow lines, (v) any 10 individual replacement part for oil
field exploration, 11 drilling, and production equipment, and (vi) machinery and 12 equipment purchased
for lease; but excluding motor vehicles 13 required to be registered under the
Illinois Vehicle Code. 14 (15) Photoprocessing machinery and equipment, including 15 repair and
replacement parts, both new and used, including that 16 manufactured on special order, certified by the purchaser to be 17 used
primarily for photoprocessing, and including 18 photoprocessing machinery and equipment purchased for lease. 19 (16) Coal and aggregate exploration, mining, off-highway 20 offhighway hauling,
processing, maintenance, and reclamation 21 equipment,
including replacement parts and equipment, and 22 including equipment purchased for lease, but excluding motor 23 vehicles required to be registered under the Illinois Vehicle 24 Code. The changes made to this Section by Public Act 97-767 25 apply on and after July 1, 2003, but no claim for credit or 26 refund is allowed on or after August 16, 2013 ( the effective
HB4390 - 7 - LRB098 15788 HLH 50821 b 1 date of Public Act 98-456) this amendatory Act of the 98th 2 General Assembly for such taxes paid during the period 3 beginning July 1, 2003 and ending on August 16, 2013 ( the 4 effective date of Public Act 98-456) this amendatory Act of the 5 98th General Assembly . 6 (17) Until July 1, 2003, distillation machinery and 7 equipment, sold as a
unit or kit,
assembled or installed by the 8 retailer, certified by the user to be used
only for the 9 production of ethyl alcohol that will be used for consumption 10 as motor fuel or as a component of motor fuel for the personal 11 use of the
user, and not subject to sale or resale. 12 (18) Manufacturing and assembling machinery and equipment 13 used
primarily in the process of manufacturing or assembling 14 tangible
personal property for wholesale or retail sale or 15 lease, whether that sale
or lease is made directly by the 16 manufacturer or by some other person,
whether the materials 17 used in the process are
owned by the manufacturer or some other 18 person, or whether that sale or
lease is made apart from or as 19 an incident to the seller's engaging in
the service occupation 20 of producing machines, tools, dies, jigs,
patterns, gauges, or 21 other similar items of no commercial value on
special order for 22 a particular purchaser. The exemption provided by this 23 paragraph (18) does not include machinery and equipment used in 24 (i) the generation of electricity for wholesale or retail sale; 25 (ii) the generation or treatment of natural or artificial gas 26 for wholesale or retail sale that is delivered to customers
HB4390 - 8 - LRB098 15788 HLH 50821 b 1 through pipes, pipelines, or mains; or (iii) the treatment of 2 water for wholesale or retail sale that is delivered to 3 customers through pipes, pipelines, or mains. The provisions of 4 Public Act 98-583 this amendatory Act of the 98th General 5 Assembly are declaratory of existing law as to the meaning and 6 scope of this exemption. 7 (19) Personal property delivered to a purchaser or 8 purchaser's donee
inside Illinois when the purchase order for 9 that personal property was
received by a florist located 10 outside Illinois who has a florist located
inside Illinois 11 deliver the personal property. 12 (20) Semen used for artificial insemination of livestock 13 for direct
agricultural production. 14 (21) Horses, or interests in horses, registered with and 15 meeting the
requirements of any of the
Arabian Horse Club 16 Registry of America, Appaloosa Horse Club, American Quarter 17 Horse Association, United States
Trotting Association, or 18 Jockey Club, as appropriate, used for
purposes of breeding or 19 racing for prizes. This item (21) is exempt from the provisions 20 of Section 3-90, and the exemption provided for under this item 21 (21) applies for all periods beginning May 30, 1995, but no 22 claim for credit or refund is allowed on or after January 1, 23 2008
for such taxes paid during the period beginning May 30, 24 2000 and ending on January 1, 2008. 25 (22) Computers and communications equipment utilized for 26 any
hospital
purpose
and equipment used in the diagnosis,
HB4390 - 9 - LRB098 15788 HLH 50821 b 1 analysis, or treatment of hospital patients purchased by a 2 lessor who leases
the
equipment, under a lease of one year or 3 longer executed or in effect at the
time the lessor would 4 otherwise be subject to the tax imposed by this Act, to a 5 hospital
that has been issued an active tax exemption 6 identification number by
the
Department under Section 1g of the 7 Retailers' Occupation Tax Act. If the
equipment is leased in a 8 manner that does not qualify for
this exemption or is used in 9 any other non-exempt manner, the lessor
shall be liable for the 10 tax imposed under this Act or the Service Use Tax Act, as the 11 case may
be, based on the fair market value of the property at 12 the time the
non-qualifying use occurs. No lessor shall collect 13 or attempt to collect an
amount (however
designated) that 14 purports to reimburse that lessor for the tax imposed by this 15 Act or the Service Use Tax Act, as the case may be, if the tax 16 has not been
paid by the lessor. If a lessor improperly 17 collects any such amount from the
lessee, the lessee shall have 18 a legal right to claim a refund of that amount
from the lessor. 19 If, however, that amount is not refunded to the lessee for
any 20 reason, the lessor is liable to pay that amount to the 21 Department. 22 (23) Personal property purchased by a lessor who leases the 23 property, under
a
lease of
one year or longer executed or in 24 effect at the time
the lessor would otherwise be subject to the 25 tax imposed by this Act,
to a governmental body
that has been 26 issued an active sales tax exemption identification number by
HB4390 - 10 - LRB098 15788 HLH 50821 b 1 the
Department under Section 1g of the Retailers' Occupation 2 Tax Act.
If the
property is leased in a manner that does not 3 qualify for
this exemption
or used in any other non-exempt 4 manner, the lessor shall be liable for the
tax imposed under 5 this Act or the Service Use Tax Act, as the case may
be, based 6 on the fair market value of the property at the time the 7 non-qualifying use occurs. No lessor shall collect or attempt 8 to collect an
amount (however
designated) that purports to 9 reimburse that lessor for the tax imposed by this
Act or the 10 Service Use Tax Act, as the case may be, if the tax has not been 11 paid by the lessor. If a lessor improperly collects any such 12 amount from the
lessee, the lessee shall have a legal right to 13 claim a refund of that amount
from the lessor. If, however, 14 that amount is not refunded to the lessee for
any reason, the 15 lessor is liable to pay that amount to the Department. 16 (24) Beginning with taxable years ending on or after 17 December
31, 1995
and
ending with taxable years ending on or 18 before December 31, 2004,
personal property that is
donated for 19 disaster relief to be used in a State or federally declared 20 disaster area in Illinois or bordering Illinois by a 21 manufacturer or retailer
that is registered in this State to a 22 corporation, society, association,
foundation, or institution 23 that has been issued a sales tax exemption
identification 24 number by the Department that assists victims of the disaster 25 who reside within the declared disaster area. 26 (25) Beginning with taxable years ending on or after
HB4390 - 11 - LRB098 15788 HLH 50821 b 1 December
31, 1995 and
ending with taxable years ending on or 2 before December 31, 2004, personal
property that is used in the 3 performance of infrastructure repairs in this
State, including 4 but not limited to municipal roads and streets, access roads, 5 bridges, sidewalks, waste disposal systems, water and sewer 6 line extensions,
water distribution and purification 7 facilities, storm water drainage and
retention facilities, and 8 sewage treatment facilities, resulting from a State
or 9 federally declared disaster in Illinois or bordering Illinois 10 when such
repairs are initiated on facilities located in the 11 declared disaster area
within 6 months after the disaster. 12 (26) Beginning July 1, 1999, game or game birds purchased 13 at a "game
breeding
and hunting preserve area" as that term is 14 used in
the Wildlife Code. This paragraph is exempt from the 15 provisions
of
Section 3-90. 16 (27) A motor vehicle, as that term is defined in Section 17 1-146
of the
Illinois
Vehicle Code, that is donated to a 18 corporation, limited liability company,
society, association, 19 foundation, or institution that is determined by the
Department 20 to be organized and operated exclusively for educational 21 purposes.
For purposes of this exemption, "a corporation, 22 limited liability company,
society, association, foundation, 23 or institution organized and operated
exclusively for 24 educational purposes" means all tax-supported public schools, 25 private schools that offer systematic instruction in useful 26 branches of
learning by methods common to public schools and
HB4390 - 12 - LRB098 15788 HLH 50821 b 1 that compare favorably in
their scope and intensity with the 2 course of study presented in tax-supported
schools, and 3 vocational or technical schools or institutes organized and 4 operated exclusively to provide a course of study of not less 5 than 6 weeks
duration and designed to prepare individuals to 6 follow a trade or to pursue a
manual, technical, mechanical, 7 industrial, business, or commercial
occupation. 8 (28) Beginning January 1, 2000, personal property, 9 including
food,
purchased through fundraising
events for the 10 benefit of
a public or private elementary or
secondary school, 11 a group of those schools, or one or more school
districts if 12 the events are
sponsored by an entity recognized by the school 13 district that consists
primarily of volunteers and includes 14 parents and teachers of the school children. This paragraph 15 does not apply
to fundraising
events (i) for the benefit of 16 private home instruction or (ii)
for which the fundraising 17 entity purchases the personal property sold at
the events from 18 another individual or entity that sold the property for the 19 purpose of resale by the fundraising entity and that
profits 20 from the sale to the
fundraising entity. This paragraph is 21 exempt
from the provisions
of Section 3-90. 22 (29) Beginning January 1, 2000 and through December 31, 23 2001, new or
used automatic vending
machines that prepare and 24 serve hot food and beverages, including coffee, soup,
and
other 25 items, and replacement parts for these machines.
Beginning 26 January 1,
2002 and through June 30, 2003, machines and parts
HB4390 - 13 - LRB098 15788 HLH 50821 b 1 for machines used in
commercial, coin-operated amusement and 2 vending business if a use or occupation
tax is paid on the 3 gross receipts derived from the use of the commercial, 4 coin-operated amusement and vending machines.
This
paragraph 5 is exempt from the provisions of Section 3-90. 6 (30) Beginning January 1, 2001 and through June 30, 2016, 7 food for human consumption that is to be consumed off the 8 premises
where it is sold (other than alcoholic beverages, soft 9 drinks, and food that
has been prepared for immediate 10 consumption) and prescription and
nonprescription medicines, 11 drugs, medical appliances, and insulin, urine
testing 12 materials, syringes, and needles used by diabetics, for human 13 use, when
purchased for use by a person receiving medical 14 assistance under Article V of
the Illinois Public Aid Code who 15 resides in a licensed long-term care facility,
as defined in 16 the Nursing Home Care Act, or in a licensed facility as defined 17 in the ID/DD Community Care Act or the Specialized Mental 18 Health Rehabilitation Act of 2013. 19 (31) Beginning on
the effective date of this amendatory Act 20 of the 92nd General Assembly,
computers and communications 21 equipment
utilized for any hospital purpose and equipment used 22 in the diagnosis,
analysis, or treatment of hospital patients 23 purchased by a lessor who leases
the equipment, under a lease 24 of one year or longer executed or in effect at the
time the 25 lessor would otherwise be subject to the tax imposed by this 26 Act, to a
hospital that has been issued an active tax exemption
HB4390 - 14 - LRB098 15788 HLH 50821 b 1 identification number by
the Department under Section 1g of the 2 Retailers' Occupation Tax Act. If the
equipment is leased in a 3 manner that does not qualify for this exemption or is
used in 4 any other nonexempt manner, the lessor shall be liable for the 5 tax
imposed under this Act or the Service Use Tax Act, as the 6 case may be, based on
the fair market value of the property at 7 the time the nonqualifying use
occurs. No lessor shall collect 8 or attempt to collect an amount (however
designated) that 9 purports to reimburse that lessor for the tax imposed by this 10 Act or the Service Use Tax Act, as the case may be, if the tax 11 has not been
paid by the lessor. If a lessor improperly 12 collects any such amount from the
lessee, the lessee shall have 13 a legal right to claim a refund of that amount
from the lessor. 14 If, however, that amount is not refunded to the lessee for
any 15 reason, the lessor is liable to pay that amount to the 16 Department.
This paragraph is exempt from the provisions of 17 Section 3-90. 18 (32) Beginning on
the effective date of this amendatory Act 19 of the 92nd General Assembly,
personal property purchased by a 20 lessor who leases the property,
under a lease of one year or 21 longer executed or in effect at the time the
lessor would 22 otherwise be subject to the tax imposed by this Act, to a 23 governmental body that has been issued an active sales tax 24 exemption
identification number by the Department under 25 Section 1g of the Retailers'
Occupation Tax Act. If the 26 property is leased in a manner that does not
qualify for this
HB4390 - 15 - LRB098 15788 HLH 50821 b 1 exemption or used in any other nonexempt manner, the lessor 2 shall be liable for the tax imposed under this Act or the 3 Service Use Tax Act,
as the case may be, based on the fair 4 market value of the property at the time
the nonqualifying use 5 occurs. No lessor shall collect or attempt to collect
an amount 6 (however designated) that purports to reimburse that lessor for 7 the
tax imposed by this Act or the Service Use Tax Act, as the 8 case may be, if the
tax has not been paid by the lessor. If a 9 lessor improperly collects any such
amount from the lessee, the 10 lessee shall have a legal right to claim a refund
of that 11 amount from the lessor. If, however, that amount is not 12 refunded to
the lessee for any reason, the lessor is liable to 13 pay that amount to the
Department. This paragraph is exempt 14 from the provisions of Section 3-90. 15 (33) On and after July 1, 2003 and through June 30, 2004, 16 the use in this State of motor vehicles of
the second division 17 with a gross vehicle weight in excess of 8,000 pounds and
that 18 are subject to the commercial distribution fee imposed under 19 Section
3-815.1 of the Illinois Vehicle Code. Beginning on July 20 1, 2004 and through June 30, 2005, the use in this State of 21 motor vehicles of the second division: (i) with a gross vehicle 22 weight rating in excess of 8,000 pounds; (ii) that are subject 23 to the commercial distribution fee imposed under Section 24 3-815.1 of the Illinois Vehicle Code; and (iii) that are 25 primarily used for commercial purposes. Through June 30, 2005, 26 this exemption applies to repair and
replacement parts added
HB4390 - 16 - LRB098 15788 HLH 50821 b 1 after the initial purchase of such a motor vehicle if
that 2 motor
vehicle is used in a manner that would qualify for the 3 rolling stock exemption
otherwise provided for in this Act. For 4 purposes of this paragraph, the term "used for commercial 5 purposes" means the transportation of persons or property in 6 furtherance of any commercial or industrial enterprise, 7 whether for-hire or not. 8 (34) Beginning January 1, 2008, tangible personal property 9 used in the construction or maintenance of a community water 10 supply, as defined under Section 3.145 of the Environmental 11 Protection Act, that is operated by a not-for-profit 12 corporation that holds a valid water supply permit issued under 13 Title IV of the Environmental Protection Act. This paragraph is 14 exempt from the provisions of Section 3-90. 15 (35) Beginning January 1, 2010, materials, parts, 16 equipment, components, and furnishings incorporated into or 17 upon an aircraft as part of the modification, refurbishment, 18 completion, replacement, repair, or maintenance of the 19 aircraft. This exemption includes consumable supplies used in 20 the modification, refurbishment, completion, replacement, 21 repair, and maintenance of aircraft, but excludes any 22 materials, parts, equipment, components, and consumable 23 supplies used in the modification, replacement, repair, and 24 maintenance of aircraft engines or power plants, whether such 25 engines or power plants are installed or uninstalled upon any 26 such aircraft. "Consumable supplies" include, but are not
HB4390 - 17 - LRB098 15788 HLH 50821 b 1 limited to, adhesive, tape, sandpaper, general purpose 2 lubricants, cleaning solution, latex gloves, and protective 3 films. This exemption applies only to the use of qualifying 4 tangible personal property by persons who modify, refurbish, 5 complete, repair, replace, or maintain aircraft and who (i) 6 hold an Air Agency Certificate and are empowered to operate an 7 approved repair station by the Federal Aviation 8 Administration, (ii) have a Class IV Rating, and (iii) conduct 9 operations in accordance with Part 145 of the Federal Aviation 10 Regulations. The exemption does not include aircraft operated 11 by a commercial air carrier providing scheduled passenger air 12 service pursuant to authority issued under Part 121 or Part 129 13 of the Federal Aviation Regulations. The changes made to this 14 paragraph (35) by Public Act 98-534 this amendatory Act of the 15 98th General Assembly are declarative of existing law. 16 (36) Tangible personal property purchased by a 17 public-facilities corporation, as described in Section 18 11-65-10 of the Illinois Municipal Code, for purposes of 19 constructing or furnishing a municipal convention hall, but 20 only if the legal title to the municipal convention hall is 21 transferred to the municipality without any further 22 consideration by or on behalf of the municipality at the time 23 of the completion of the municipal convention hall or upon the 24 retirement or redemption of any bonds or other debt instruments 25 issued by the public-facilities corporation in connection with 26 the development of the municipal convention hall. This
HB4390 - 18 - LRB098 15788 HLH 50821 b 1 exemption includes existing public-facilities corporations as 2 provided in Section 11-65-25 of the Illinois Municipal Code. 3 This paragraph is exempt from the provisions of Section 3-90. 4 (37) Medical appliances purchased for use by a person aged 5 65 or older. This paragraph is exempt from the provisions of 6 Section 3-90. 7 (Source: P.A. 97-38, eff. 6-28-11; 97-227, eff. 1-1-12; 97-431, 8 eff. 8-16-11; 97-636, eff. 6-1-12; 97-767, eff. 7-9-12; 98-104, 9 eff. 7-22-13; 98-422, eff. 8-16-13; 98-456, eff. 8-16-13; 10 98-534, eff. 8-23-13; 98-574, eff. 1-1-14; 98-583, eff. 1-1-14; 11 revised 9-9-13.) 12 Section 10. The Service Use Tax Act is amended by changing 13 Section 3-5 as follows: 14 (35 ILCS 110/3-5) 15 Sec. 3-5. Exemptions. Use of the following tangible 16 personal property
is exempt from the tax imposed by this Act: 17 (1) Personal property purchased from a corporation, 18 society,
association, foundation, institution, or 19 organization, other than a limited
liability company, that is 20 organized and operated as a not-for-profit service
enterprise 21 for the benefit of persons 65 years of age or older if the 22 personal
property was not purchased by the enterprise for the 23 purpose of resale by the
enterprise. 24 (2) Personal property purchased by a non-profit Illinois
HB4390 - 19 - LRB098 15788 HLH 50821 b 1 county fair
association for use in conducting, operating, or 2 promoting the county fair. 3 (3) Personal property purchased by a not-for-profit arts
or 4 cultural
organization that establishes, by proof required by 5 the Department by rule,
that it has received an exemption under 6 Section 501(c)(3) of the Internal
Revenue Code and that is 7 organized and operated primarily for the
presentation
or 8 support of arts or cultural programming, activities, or 9 services. These
organizations include, but are not limited to, 10 music and dramatic arts
organizations such as symphony 11 orchestras and theatrical groups, arts and
cultural service 12 organizations, local arts councils, visual arts organizations, 13 and media arts organizations.
On and after the effective date 14 of this amendatory Act of the 92nd General
Assembly, however, 15 an entity otherwise eligible for this exemption shall not
make 16 tax-free purchases unless it has an active identification 17 number issued by
the Department. 18 (4) Legal tender, currency, medallions, or gold or silver 19 coinage issued
by the State of Illinois, the government of the 20 United States of America,
or the government of any foreign 21 country, and bullion. 22 (5) Until July 1, 2003 and beginning again on September 1, 23 2004 through August 30, 2014, graphic arts machinery and 24 equipment, including
repair and
replacement parts, both new and 25 used, and including that manufactured on
special order or 26 purchased for lease, certified by the purchaser to be used
HB4390 - 20 - LRB098 15788 HLH 50821 b 1 primarily for graphic arts production.
Equipment includes 2 chemicals or
chemicals acting as catalysts but only if
the 3 chemicals or chemicals acting as catalysts effect a direct and 4 immediate
change upon a graphic arts product. 5 (6) Personal property purchased from a teacher-sponsored 6 student
organization affiliated with an elementary or 7 secondary school located
in Illinois. 8 (7) Farm machinery and equipment, both new and used, 9 including that
manufactured on special order, certified by the 10 purchaser to be used
primarily for production agriculture or 11 State or federal agricultural
programs, including individual 12 replacement parts for the machinery and
equipment, including 13 machinery and equipment purchased for lease,
and including 14 implements of husbandry defined in Section 1-130 of
the 15 Illinois Vehicle Code, farm machinery and agricultural 16 chemical and
fertilizer spreaders, and nurse wagons required to 17 be registered
under Section 3-809 of the Illinois Vehicle Code, 18 but
excluding other motor vehicles required to be registered 19 under the Illinois
Vehicle Code.
Horticultural polyhouses or 20 hoop houses used for propagating, growing, or
overwintering 21 plants shall be considered farm machinery and equipment under 22 this item (7).
Agricultural chemical tender tanks and dry boxes 23 shall include units sold
separately from a motor vehicle 24 required to be licensed and units sold mounted
on a motor 25 vehicle required to be licensed if the selling price of the 26 tender
is separately stated.
HB4390 - 21 - LRB098 15788 HLH 50821 b 1 Farm machinery and equipment shall include precision 2 farming equipment
that is
installed or purchased to be 3 installed on farm machinery and equipment
including, but not 4 limited to, tractors, harvesters, sprayers, planters,
seeders, 5 or spreaders.
Precision farming equipment includes, but is not 6 limited to,
soil testing sensors, computers, monitors, 7 software, global positioning
and mapping systems, and other 8 such equipment. 9 Farm machinery and equipment also includes computers, 10 sensors, software, and
related equipment used primarily in the 11 computer-assisted operation of production agriculture 12 facilities, equipment,
and activities such as, but
not limited 13 to,
the collection, monitoring, and correlation of
animal and 14 crop data for the purpose of
formulating animal diets and 15 agricultural chemicals. This item (7) is exempt
from the 16 provisions of
Section 3-75. 17 (8) Until June 30, 2013, fuel and petroleum products sold 18 to or used by an air common
carrier, certified by the carrier 19 to be used for consumption, shipment, or
storage in the conduct 20 of its business as an air common carrier, for a
flight destined 21 for or returning from a location or locations
outside the 22 United States without regard to previous or subsequent domestic 23 stopovers. 24 Beginning July 1, 2013, fuel and petroleum products sold to 25 or used by an air carrier, certified by the carrier to be used 26 for consumption, shipment, or storage in the conduct of its
HB4390 - 22 - LRB098 15788 HLH 50821 b 1 business as an air common carrier, for a flight that (i) is 2 engaged in foreign trade or is engaged in trade between the 3 United States and any of its possessions and (ii) transports at 4 least one individual or package for hire from the city of 5 origination to the city of final destination on the same 6 aircraft, without regard to a change in the flight number of 7 that aircraft. 8 (9) Proceeds of mandatory service charges separately 9 stated on
customers' bills for the purchase and consumption of 10 food and beverages
acquired as an incident to the purchase of a 11 service from a serviceman, to
the extent that the proceeds of 12 the service charge are in fact
turned over as tips or as a 13 substitute for tips to the employees who
participate directly 14 in preparing, serving, hosting or cleaning up the
food or 15 beverage function with respect to which the service charge is 16 imposed. 17 (10) Until July 1, 2003, oil field exploration, drilling, 18 and production
equipment, including
(i) rigs and parts of rigs, 19 rotary rigs, cable tool
rigs, and workover rigs, (ii) pipe and 20 tubular goods, including casing and
drill strings, (iii) pumps 21 and pump-jack units, (iv) storage tanks and flow
lines, (v) any 22 individual replacement part for oil field exploration, 23 drilling, and production equipment, and (vi) machinery and 24 equipment purchased
for lease; but
excluding motor vehicles 25 required to be registered under the Illinois
Vehicle Code. 26 (11) Proceeds from the sale of photoprocessing machinery
HB4390 - 23 - LRB098 15788 HLH 50821 b 1 and
equipment, including repair and replacement parts, both new 2 and
used, including that manufactured on special order, 3 certified by the
purchaser to be used primarily for 4 photoprocessing, and including
photoprocessing machinery and 5 equipment purchased for lease. 6 (12) Coal and aggregate exploration, mining, off-highway 7 offhighway hauling,
processing,
maintenance, and reclamation 8 equipment, including
replacement parts and equipment, and 9 including
equipment purchased for lease, but excluding motor 10 vehicles required to be
registered under the Illinois Vehicle 11 Code. The changes made to this Section by Public Act 97-767 12 apply on and after July 1, 2003, but no claim for credit or 13 refund is allowed on or after August 16, 2013 ( the effective 14 date of Public Act 98-456) this amendatory Act of the 98th 15 General Assembly for such taxes paid during the period 16 beginning July 1, 2003 and ending on August 16, 2013 ( the 17 effective date of Public Act 98-456) this amendatory Act of the 18 98th General Assembly . 19 (13) Semen used for artificial insemination of livestock 20 for direct
agricultural production. 21 (14) Horses, or interests in horses, registered with and 22 meeting the
requirements of any of the
Arabian Horse Club 23 Registry of America, Appaloosa Horse Club, American Quarter 24 Horse Association, United States
Trotting Association, or 25 Jockey Club, as appropriate, used for
purposes of breeding or 26 racing for prizes. This item (14) is exempt from the provisions
HB4390 - 24 - LRB098 15788 HLH 50821 b 1 of Section 3-75, and the exemption provided for under this item 2 (14) applies for all periods beginning May 30, 1995, but no 3 claim for credit or refund is allowed on or after the effective 4 date of this amendatory Act of the 95th General Assembly for 5 such taxes paid during the period beginning May 30, 2000 and 6 ending on the effective date of this amendatory Act of the 95th 7 General Assembly. 8 (15) Computers and communications equipment utilized for 9 any
hospital
purpose
and equipment used in the diagnosis, 10 analysis, or treatment of hospital patients purchased by a 11 lessor who leases
the
equipment, under a lease of one year or 12 longer executed or in effect at the
time
the lessor would 13 otherwise be subject to the tax imposed by this Act,
to a 14 hospital
that has been issued an active tax exemption 15 identification number by the
Department under Section 1g of the 16 Retailers' Occupation Tax Act.
If the
equipment is leased in a 17 manner that does not qualify for
this exemption
or is used in 18 any other non-exempt manner,
the lessor shall be liable for the 19 tax imposed under this Act or the Use Tax Act, as the case may 20 be, based on the fair market value of the property at the time 21 the
non-qualifying use occurs. No lessor shall collect or 22 attempt to collect an
amount (however
designated) that purports 23 to reimburse that lessor for the tax imposed by this
Act or the 24 Use Tax Act, as the case may be, if the tax has not been
paid by 25 the lessor. If a lessor improperly collects any such amount 26 from the
lessee, the lessee shall have a legal right to claim a
HB4390 - 25 - LRB098 15788 HLH 50821 b 1 refund of that amount
from the lessor. If, however, that amount 2 is not refunded to the lessee for
any reason, the lessor is 3 liable to pay that amount to the Department. 4 (16) Personal property purchased by a lessor who leases the 5 property, under
a
lease of one year or longer executed or in 6 effect at the time
the lessor would otherwise be subject to the 7 tax imposed by this Act,
to a governmental body
that has been 8 issued an active tax exemption identification number by the 9 Department under Section 1g of the Retailers' Occupation Tax 10 Act.
If the
property is leased in a manner that does not 11 qualify for
this exemption
or is used in any other non-exempt 12 manner,
the lessor shall be liable for the
tax imposed under 13 this Act or the Use Tax Act, as the case may
be, based on the 14 fair market value of the property at the time the 15 non-qualifying use occurs. No lessor shall collect or attempt 16 to collect an
amount (however
designated) that purports to 17 reimburse that lessor for the tax imposed by this
Act or the 18 Use Tax Act, as the case may be, if the tax has not been
paid by 19 the lessor. If a lessor improperly collects any such amount 20 from the
lessee, the lessee shall have a legal right to claim a 21 refund of that amount
from the lessor. If, however, that amount 22 is not refunded to the lessee for
any reason, the lessor is 23 liable to pay that amount to the Department. 24 (17) Beginning with taxable years ending on or after 25 December
31,
1995
and
ending with taxable years ending on or 26 before December 31, 2004,
personal property that is
donated for
HB4390 - 26 - LRB098 15788 HLH 50821 b 1 disaster relief to be used in a State or federally declared 2 disaster area in Illinois or bordering Illinois by a 3 manufacturer or retailer
that is registered in this State to a 4 corporation, society, association,
foundation, or institution 5 that has been issued a sales tax exemption
identification 6 number by the Department that assists victims of the disaster 7 who reside within the declared disaster area. 8 (18) Beginning with taxable years ending on or after 9 December
31, 1995 and
ending with taxable years ending on or 10 before December 31, 2004, personal
property that is used in the 11 performance of infrastructure repairs in this
State, including 12 but not limited to municipal roads and streets, access roads, 13 bridges, sidewalks, waste disposal systems, water and sewer 14 line extensions,
water distribution and purification 15 facilities, storm water drainage and
retention facilities, and 16 sewage treatment facilities, resulting from a State
or 17 federally declared disaster in Illinois or bordering Illinois 18 when such
repairs are initiated on facilities located in the 19 declared disaster area
within 6 months after the disaster. 20 (19) Beginning July 1, 1999, game or game birds purchased 21 at a "game
breeding
and hunting preserve area" as that term is 22 used in
the Wildlife Code. This paragraph is exempt from the 23 provisions
of
Section 3-75. 24 (20) A motor vehicle, as that term is defined in Section 25 1-146
of the
Illinois Vehicle Code, that is donated to a 26 corporation, limited liability
company, society, association,
HB4390 - 27 - LRB098 15788 HLH 50821 b 1 foundation, or institution that is determined by
the Department 2 to be organized and operated exclusively for educational 3 purposes. For purposes of this exemption, "a corporation, 4 limited liability
company, society, association, foundation, 5 or institution organized and
operated
exclusively for 6 educational purposes" means all tax-supported public schools, 7 private schools that offer systematic instruction in useful 8 branches of
learning by methods common to public schools and 9 that compare favorably in
their scope and intensity with the 10 course of study presented in tax-supported
schools, and 11 vocational or technical schools or institutes organized and 12 operated exclusively to provide a course of study of not less 13 than 6 weeks
duration and designed to prepare individuals to 14 follow a trade or to pursue a
manual, technical, mechanical, 15 industrial, business, or commercial
occupation. 16 (21) Beginning January 1, 2000, personal property, 17 including
food,
purchased through fundraising
events for the 18 benefit of
a public or private elementary or
secondary school, 19 a group of those schools, or one or more school
districts if 20 the events are
sponsored by an entity recognized by the school 21 district that consists
primarily of volunteers and includes 22 parents and teachers of the school children. This paragraph 23 does not apply
to fundraising
events (i) for the benefit of 24 private home instruction or (ii)
for which the fundraising 25 entity purchases the personal property sold at
the events from 26 another individual or entity that sold the property for the
HB4390 - 28 - LRB098 15788 HLH 50821 b 1 purpose of resale by the fundraising entity and that
profits 2 from the sale to the
fundraising entity. This paragraph is 3 exempt
from the provisions
of Section 3-75. 4 (22) Beginning January 1, 2000
and through December 31, 5 2001, new or used automatic vending
machines that prepare and 6 serve hot food and beverages, including coffee, soup,
and
other 7 items, and replacement parts for these machines.
Beginning 8 January 1,
2002 and through June 30, 2003, machines and parts 9 for machines used in
commercial, coin-operated
amusement
and 10 vending business if a use or occupation tax is paid on the 11 gross receipts
derived from
the use of the commercial, 12 coin-operated amusement and vending machines.
This
paragraph 13 is exempt from the provisions of Section 3-75. 14 (23) Beginning August 23, 2001 and through June 30, 2016, 15 food for human consumption that is to be consumed off the 16 premises
where it is sold (other than alcoholic beverages, soft 17 drinks, and food that
has been prepared for immediate 18 consumption) and prescription and
nonprescription medicines, 19 drugs, medical appliances, and insulin, urine
testing 20 materials, syringes, and needles used by diabetics, for human 21 use, when
purchased for use by a person receiving medical 22 assistance under Article V of
the Illinois Public Aid Code who 23 resides in a licensed long-term care facility,
as defined in 24 the Nursing Home Care Act, or in a licensed facility as defined 25 in the ID/DD Community Care Act or the Specialized Mental 26 Health Rehabilitation Act of 2013.
HB4390 - 29 - LRB098 15788 HLH 50821 b 1 (24) Beginning on the effective date of this amendatory Act 2 of the 92nd
General Assembly, computers and communications 3 equipment
utilized for any hospital purpose and equipment used 4 in the diagnosis,
analysis, or treatment of hospital patients 5 purchased by a lessor who leases
the equipment, under a lease 6 of one year or longer executed or in effect at the
time the 7 lessor would otherwise be subject to the tax imposed by this 8 Act, to a
hospital that has been issued an active tax exemption 9 identification number by
the Department under Section 1g of the 10 Retailers' Occupation Tax Act. If the
equipment is leased in a 11 manner that does not qualify for this exemption or is
used in 12 any other nonexempt manner, the lessor shall be liable for the 13 tax imposed under this Act or the Use Tax Act, as the case may 14 be, based on the
fair market value of the property at the time 15 the nonqualifying use occurs.
No lessor shall collect or 16 attempt to collect an amount (however
designated) that purports 17 to reimburse that lessor for the tax imposed by this
Act or the 18 Use Tax Act, as the case may be, if the tax has not been
paid by 19 the lessor. If a lessor improperly collects any such amount 20 from the
lessee, the lessee shall have a legal right to claim a 21 refund of that amount
from the lessor. If, however, that amount 22 is not refunded to the lessee for
any reason, the lessor is 23 liable to pay that amount to the Department.
This paragraph is 24 exempt from the provisions of Section 3-75. 25 (25) Beginning
on the effective date of this amendatory Act 26 of the 92nd General Assembly,
personal property purchased by a
HB4390 - 30 - LRB098 15788 HLH 50821 b 1 lessor
who leases the property, under a lease of one year or 2 longer executed or in
effect at the time the lessor would 3 otherwise be subject to the tax imposed by
this Act, to a 4 governmental body that has been issued an active tax exemption 5 identification number by the Department under Section 1g of the 6 Retailers'
Occupation Tax Act. If the property is leased in a 7 manner that does not
qualify for this exemption or is used in 8 any other nonexempt manner, the
lessor shall be liable for the 9 tax imposed under this Act or the Use Tax Act,
as the case may 10 be, based on the fair market value of the property at the time 11 the nonqualifying use occurs. No lessor shall collect or 12 attempt to collect
an amount (however designated) that purports 13 to reimburse that lessor for the
tax imposed by this Act or the 14 Use Tax Act, as the case may be, if the tax has
not been paid by 15 the lessor. If a lessor improperly collects any such amount 16 from the lessee, the lessee shall have a legal right to claim a 17 refund of that
amount from the lessor. If, however, that amount 18 is not refunded to the lessee
for any reason, the lessor is 19 liable to pay that amount to the Department.
This paragraph is 20 exempt from the provisions of Section 3-75. 21 (26) Beginning January 1, 2008, tangible personal property 22 used in the construction or maintenance of a community water 23 supply, as defined under Section 3.145 of the Environmental 24 Protection Act, that is operated by a not-for-profit 25 corporation that holds a valid water supply permit issued under 26 Title IV of the Environmental Protection Act. This paragraph is
HB4390 - 31 - LRB098 15788 HLH 50821 b 1 exempt from the provisions of Section 3-75. 2 (27) Beginning January 1, 2010, materials, parts, 3 equipment, components, and furnishings incorporated into or 4 upon an aircraft as part of the modification, refurbishment, 5 completion, replacement, repair, or maintenance of the 6 aircraft. This exemption includes consumable supplies used in 7 the modification, refurbishment, completion, replacement, 8 repair, and maintenance of aircraft, but excludes any 9 materials, parts, equipment, components, and consumable 10 supplies used in the modification, replacement, repair, and 11 maintenance of aircraft engines or power plants, whether such 12 engines or power plants are installed or uninstalled upon any 13 such aircraft. "Consumable supplies" include, but are not 14 limited to, adhesive, tape, sandpaper, general purpose 15 lubricants, cleaning solution, latex gloves, and protective 16 films. This exemption applies only to the use of qualifying 17 tangible personal property transferred incident to the 18 modification, refurbishment, completion, replacement, repair, 19 or maintenance of aircraft by persons who (i) hold an Air 20 Agency Certificate and are empowered to operate an approved 21 repair station by the Federal Aviation Administration, (ii) 22 have a Class IV Rating, and (iii) conduct operations in 23 accordance with Part 145 of the Federal Aviation Regulations. 24 The exemption does not include aircraft operated by a 25 commercial air carrier providing scheduled passenger air 26 service pursuant to authority issued under Part 121 or Part 129
HB4390 - 32 - LRB098 15788 HLH 50821 b 1 of the Federal Aviation Regulations. The changes made to this 2 paragraph (27) by Public Act 98-534 this amendatory Act of the 3 98th General Assembly are declarative of existing law. 4 (28) Tangible personal property purchased by a 5 public-facilities corporation, as described in Section 6 11-65-10 of the Illinois Municipal Code, for purposes of 7 constructing or furnishing a municipal convention hall, but 8 only if the legal title to the municipal convention hall is 9 transferred to the municipality without any further 10 consideration by or on behalf of the municipality at the time 11 of the completion of the municipal convention hall or upon the 12 retirement or redemption of any bonds or other debt instruments 13 issued by the public-facilities corporation in connection with 14 the development of the municipal convention hall. This 15 exemption includes existing public-facilities corporations as 16 provided in Section 11-65-25 of the Illinois Municipal Code. 17 This paragraph is exempt from the provisions of Section 3-75. 18 (29) Medical appliances purchased for use by a person aged 19 65 or older. This paragraph is exempt from the provisions of 20 Section 3-75. 21 (Source: P.A. 97-38, eff. 6-28-11; 97-227, eff. 1-1-12; 97-431, 22 eff. 8-16-11; 97-636, eff. 6-1-12; 97-767, eff. 7-9-12; 98-104, 23 eff. 7-22-13; 98-422, eff. 8-16-13; 98-456, eff. 8-16-13; 24 98-534, eff. 8-23-13; revised 9-9-13.) 25 Section 15. The Service Occupation Tax Act is amended by
HB4390 - 33 - LRB098 15788 HLH 50821 b 1 changing Section 3-5 as follows: 2 (35 ILCS 115/3-5) 3 Sec. 3-5. Exemptions. The following tangible personal 4 property is
exempt from the tax imposed by this Act: 5 (1) Personal property sold by a corporation, society, 6 association,
foundation, institution, or organization, other 7 than a limited liability
company, that is organized and 8 operated as a not-for-profit service enterprise
for the benefit 9 of persons 65 years of age or older if the personal property 10 was not purchased by the enterprise for the purpose of resale 11 by the
enterprise. 12 (2) Personal property purchased by a not-for-profit 13 Illinois county fair
association for use in conducting, 14 operating, or promoting the county fair. 15 (3) Personal property purchased by any not-for-profit
arts 16 or cultural organization that establishes, by proof required by 17 the
Department by
rule, that it has received an exemption under 18 Section 501(c)(3) of the
Internal Revenue Code and that is 19 organized and operated primarily for the
presentation
or 20 support of arts or cultural programming, activities, or 21 services. These
organizations include, but are not limited to, 22 music and dramatic arts
organizations such as symphony 23 orchestras and theatrical groups, arts and
cultural service 24 organizations, local arts councils, visual arts organizations, 25 and media arts organizations.
On and after the effective date
HB4390 - 34 - LRB098 15788 HLH 50821 b 1 of this amendatory Act of the 92nd General
Assembly, however, 2 an entity otherwise eligible for this exemption shall not
make 3 tax-free purchases unless it has an active identification 4 number issued by
the Department. 5 (4) Legal tender, currency, medallions, or gold or silver 6 coinage
issued by the State of Illinois, the government of the 7 United States of
America, or the government of any foreign 8 country, and bullion. 9 (5) Until July 1, 2003 and beginning again on September 1, 10 2004 through August 30, 2014, graphic arts machinery and 11 equipment, including
repair and
replacement parts, both new and 12 used, and including that manufactured on
special order or 13 purchased for lease, certified by the purchaser to be used 14 primarily for graphic arts production.
Equipment includes 15 chemicals or chemicals acting as catalysts but only if
the 16 chemicals or chemicals acting as catalysts effect a direct and 17 immediate change
upon a graphic arts product. 18 (6) Personal property sold by a teacher-sponsored student 19 organization
affiliated with an elementary or secondary school 20 located in Illinois. 21 (7) Farm machinery and equipment, both new and used, 22 including that
manufactured on special order, certified by the 23 purchaser to be used
primarily for production agriculture or 24 State or federal agricultural
programs, including individual 25 replacement parts for the machinery and
equipment, including 26 machinery and equipment purchased for lease,
and including
HB4390 - 35 - LRB098 15788 HLH 50821 b 1 implements of husbandry defined in Section 1-130 of
the 2 Illinois Vehicle Code, farm machinery and agricultural 3 chemical and
fertilizer spreaders, and nurse wagons required to 4 be registered
under Section 3-809 of the Illinois Vehicle Code, 5 but
excluding other motor vehicles required to be registered 6 under the Illinois
Vehicle
Code.
Horticultural polyhouses or 7 hoop houses used for propagating, growing, or
overwintering 8 plants shall be considered farm machinery and equipment under 9 this item (7).
Agricultural chemical tender tanks and dry boxes 10 shall include units sold
separately from a motor vehicle 11 required to be licensed and units sold mounted
on a motor 12 vehicle required to be licensed if the selling price of the 13 tender
is separately stated. 14 Farm machinery and equipment shall include precision 15 farming equipment
that is
installed or purchased to be 16 installed on farm machinery and equipment
including, but not 17 limited to, tractors, harvesters, sprayers, planters,
seeders, 18 or spreaders.
Precision farming equipment includes, but is not 19 limited to,
soil testing sensors, computers, monitors, 20 software, global positioning
and mapping systems, and other 21 such equipment. 22 Farm machinery and equipment also includes computers, 23 sensors, software, and
related equipment used primarily in the 24 computer-assisted operation of production agriculture 25 facilities, equipment,
and activities such as, but
not limited 26 to,
the collection, monitoring, and correlation of
animal and
HB4390 - 36 - LRB098 15788 HLH 50821 b 1 crop data for the purpose of
formulating animal diets and 2 agricultural chemicals. This item (7) is exempt
from the 3 provisions of
Section 3-55. 4 (8) Until June 30, 2013, fuel and petroleum products sold 5 to or used by an air common
carrier, certified by the carrier 6 to be used for consumption, shipment,
or storage in the conduct 7 of its business as an air common carrier, for
a flight destined 8 for or returning from a location or locations
outside the 9 United States without regard to previous or subsequent domestic 10 stopovers. 11 Beginning July 1, 2013, fuel and petroleum products sold to 12 or used by an air carrier, certified by the carrier to be used 13 for consumption, shipment, or storage in the conduct of its 14 business as an air common carrier, for a flight that (i) is 15 engaged in foreign trade or is engaged in trade between the 16 United States and any of its possessions and (ii) transports at 17 least one individual or package for hire from the city of 18 origination to the city of final destination on the same 19 aircraft, without regard to a change in the flight number of 20 that aircraft. 21 (9) Proceeds of mandatory service charges separately 22 stated on customers' bills for the purchase and consumption of 23 food and
beverages, to the extent that the proceeds of the 24 service charge are in fact
turned over as tips or as a 25 substitute for tips to the employees who
participate directly 26 in preparing, serving, hosting or cleaning up the
food or
HB4390 - 37 - LRB098 15788 HLH 50821 b 1 beverage function with respect to which the service charge is 2 imposed. 3 (10) Until July 1, 2003, oil field exploration, drilling, 4 and production
equipment,
including (i) rigs and parts of rigs, 5 rotary rigs, cable tool
rigs, and workover rigs, (ii) pipe and 6 tubular goods, including casing and
drill strings, (iii) pumps 7 and pump-jack units, (iv) storage tanks and flow
lines, (v) any 8 individual replacement part for oil field exploration, 9 drilling, and production equipment, and (vi) machinery and 10 equipment purchased
for lease; but
excluding motor vehicles 11 required to be registered under the Illinois
Vehicle Code. 12 (11) Photoprocessing machinery and equipment, including 13 repair and
replacement parts, both new and used, including that 14 manufactured on
special order, certified by the purchaser to be 15 used primarily for
photoprocessing, and including 16 photoprocessing machinery and equipment
purchased for lease. 17 (12) Coal and aggregate exploration, mining, off-highway 18 offhighway hauling,
processing,
maintenance, and reclamation 19 equipment, including
replacement parts and equipment, and 20 including
equipment
purchased for lease, but excluding motor 21 vehicles required to be registered
under the Illinois Vehicle 22 Code. The changes made to this Section by Public Act 97-767 23 apply on and after July 1, 2003, but no claim for credit or 24 refund is allowed on or after August 16, 2013 ( the effective 25 date of Public Act 98-456) this amendatory Act of the 98th 26 General Assembly for such taxes paid during the period
HB4390 - 38 - LRB098 15788 HLH 50821 b 1 beginning July 1, 2003 and ending on August 16, 2013 ( the 2 effective date of Public Act 98-456) this amendatory Act of the 3 98th General Assembly . 4 (13) Beginning January 1, 1992 and through June 30, 2016, 5 food for human consumption that is to be consumed off the 6 premises
where it is sold (other than alcoholic beverages, soft 7 drinks and food that
has been prepared for immediate 8 consumption) and prescription and
non-prescription medicines, 9 drugs, medical appliances, and insulin, urine
testing 10 materials, syringes, and needles used by diabetics, for human 11 use,
when purchased for use by a person receiving medical 12 assistance under
Article V of the Illinois Public Aid Code who 13 resides in a licensed
long-term care facility, as defined in 14 the Nursing Home Care Act, or in a licensed facility as defined 15 in the ID/DD Community Care Act or the Specialized Mental 16 Health Rehabilitation Act of 2013. 17 (14) Semen used for artificial insemination of livestock 18 for direct
agricultural production. 19 (15) Horses, or interests in horses, registered with and 20 meeting the
requirements of any of the
Arabian Horse Club 21 Registry of America, Appaloosa Horse Club, American Quarter 22 Horse Association, United States
Trotting Association, or 23 Jockey Club, as appropriate, used for
purposes of breeding or 24 racing for prizes. This item (15) is exempt from the provisions 25 of Section 3-55, and the exemption provided for under this item 26 (15) applies for all periods beginning May 30, 1995, but no
HB4390 - 39 - LRB098 15788 HLH 50821 b 1 claim for credit or refund is allowed on or after January 1, 2 2008 (the effective date of Public Act 95-88)
for such taxes 3 paid during the period beginning May 30, 2000 and ending on 4 January 1, 2008 (the effective date of Public Act 95-88). 5 (16) Computers and communications equipment utilized for 6 any
hospital
purpose
and equipment used in the diagnosis, 7 analysis, or treatment of hospital patients sold to a lessor 8 who leases the
equipment, under a lease of one year or longer 9 executed or in effect at the
time of the purchase, to a 10 hospital
that has been issued an active tax exemption 11 identification number by the
Department under Section 1g of the 12 Retailers' Occupation Tax Act. 13 (17) Personal property sold to a lessor who leases the 14 property, under a
lease of one year or longer executed or in 15 effect at the time of the purchase,
to a governmental body
that 16 has been issued an active tax exemption identification number 17 by the
Department under Section 1g of the Retailers' Occupation 18 Tax Act. 19 (18) Beginning with taxable years ending on or after 20 December
31, 1995
and
ending with taxable years ending on or 21 before December 31, 2004,
personal property that is
donated for 22 disaster relief to be used in a State or federally declared 23 disaster area in Illinois or bordering Illinois by a 24 manufacturer or retailer
that is registered in this State to a 25 corporation, society, association,
foundation, or institution 26 that has been issued a sales tax exemption
identification
HB4390 - 40 - LRB098 15788 HLH 50821 b 1 number by the Department that assists victims of the disaster 2 who reside within the declared disaster area. 3 (19) Beginning with taxable years ending on or after 4 December
31, 1995 and
ending with taxable years ending on or 5 before December 31, 2004, personal
property that is used in the 6 performance of infrastructure repairs in this
State, including 7 but not limited to municipal roads and streets, access roads, 8 bridges, sidewalks, waste disposal systems, water and sewer 9 line extensions,
water distribution and purification 10 facilities, storm water drainage and
retention facilities, and 11 sewage treatment facilities, resulting from a State
or 12 federally declared disaster in Illinois or bordering Illinois 13 when such
repairs are initiated on facilities located in the 14 declared disaster area
within 6 months after the disaster. 15 (20) Beginning July 1, 1999, game or game birds sold at a 16 "game breeding
and
hunting preserve area" as that term is used 17 in the
Wildlife Code. This paragraph is exempt from the 18 provisions
of
Section 3-55. 19 (21) A motor vehicle, as that term is defined in Section 20 1-146
of the
Illinois Vehicle Code, that is donated to a 21 corporation, limited liability
company, society, association, 22 foundation, or institution that is determined by
the Department 23 to be organized and operated exclusively for educational 24 purposes. For purposes of this exemption, "a corporation, 25 limited liability
company, society, association, foundation, 26 or institution organized and
operated
exclusively for
HB4390 - 41 - LRB098 15788 HLH 50821 b 1 educational purposes" means all tax-supported public schools, 2 private schools that offer systematic instruction in useful 3 branches of
learning by methods common to public schools and 4 that compare favorably in
their scope and intensity with the 5 course of study presented in tax-supported
schools, and 6 vocational or technical schools or institutes organized and 7 operated exclusively to provide a course of study of not less 8 than 6 weeks
duration and designed to prepare individuals to 9 follow a trade or to pursue a
manual, technical, mechanical, 10 industrial, business, or commercial
occupation. 11 (22) Beginning January 1, 2000, personal property, 12 including
food,
purchased through fundraising
events for the 13 benefit of
a public or private elementary or
secondary school, 14 a group of those schools, or one or more school
districts if 15 the events are
sponsored by an entity recognized by the school 16 district that consists
primarily of volunteers and includes 17 parents and teachers of the school children. This paragraph 18 does not apply
to fundraising
events (i) for the benefit of 19 private home instruction or (ii)
for which the fundraising 20 entity purchases the personal property sold at
the events from 21 another individual or entity that sold the property for the 22 purpose of resale by the fundraising entity and that
profits 23 from the sale to the
fundraising entity. This paragraph is 24 exempt
from the provisions
of Section 3-55. 25 (23) Beginning January 1, 2000
and through December 31, 26 2001, new or used automatic vending
machines that prepare and
HB4390 - 42 - LRB098 15788 HLH 50821 b 1 serve hot food and beverages, including coffee, soup,
and
other 2 items, and replacement parts for these machines.
Beginning 3 January 1,
2002 and through June 30, 2003, machines and parts 4 for
machines used in commercial, coin-operated amusement
and 5 vending business if a use or occupation tax is paid on the 6 gross receipts
derived from
the use of the commercial, 7 coin-operated amusement and vending machines.
This paragraph 8 is exempt from the provisions of Section 3-55. 9 (24) Beginning
on the effective date of this amendatory Act 10 of the 92nd General Assembly,
computers and communications 11 equipment
utilized for any hospital purpose and equipment used 12 in the diagnosis,
analysis, or treatment of hospital patients 13 sold to a lessor who leases the
equipment, under a lease of one 14 year or longer executed or in effect at the
time of the 15 purchase, to a hospital that has been issued an active tax 16 exemption identification number by the Department under 17 Section 1g of the
Retailers' Occupation Tax Act. This paragraph 18 is exempt from the provisions of
Section 3-55. 19 (25) Beginning
on the effective date of this amendatory Act 20 of the 92nd General Assembly,
personal property sold to a 21 lessor who
leases the property, under a lease of one year or 22 longer executed or in effect
at the time of the purchase, to a 23 governmental body that has been issued an
active tax exemption 24 identification number by the Department under Section 1g
of the 25 Retailers' Occupation Tax Act. This paragraph is exempt from 26 the
provisions of Section 3-55.
HB4390 - 43 - LRB098 15788 HLH 50821 b 1 (26) Beginning on January 1, 2002 and through June 30, 2 2016, tangible personal property
purchased
from an Illinois 3 retailer by a taxpayer engaged in centralized purchasing 4 activities in Illinois who will, upon receipt of the property 5 in Illinois,
temporarily store the property in Illinois (i) for 6 the purpose of subsequently
transporting it outside this State 7 for use or consumption thereafter solely
outside this State or 8 (ii) for the purpose of being processed, fabricated, or 9 manufactured into, attached to, or incorporated into other 10 tangible personal
property to be transported outside this State 11 and thereafter used or consumed
solely outside this State. The 12 Director of Revenue shall, pursuant to rules
adopted in 13 accordance with the Illinois Administrative Procedure Act, 14 issue a
permit to any taxpayer in good standing with the 15 Department who is eligible for
the exemption under this 16 paragraph (26). The permit issued under
this paragraph (26) 17 shall authorize the holder, to the extent and
in the manner 18 specified in the rules adopted under this Act, to purchase 19 tangible personal property from a retailer exempt from the 20 taxes imposed by
this Act. Taxpayers shall maintain all 21 necessary books and records to
substantiate the use and 22 consumption of all such tangible personal property
outside of 23 the State of Illinois. 24 (27) Beginning January 1, 2008, tangible personal property 25 used in the construction or maintenance of a community water 26 supply, as defined under Section 3.145 of the Environmental
HB4390 - 44 - LRB098 15788 HLH 50821 b 1 Protection Act, that is operated by a not-for-profit 2 corporation that holds a valid water supply permit issued under 3 Title IV of the Environmental Protection Act. This paragraph is 4 exempt from the provisions of Section 3-55. 5 (28) Tangible personal property sold to a 6 public-facilities corporation, as described in Section 7 11-65-10 of the Illinois Municipal Code, for purposes of 8 constructing or furnishing a municipal convention hall, but 9 only if the legal title to the municipal convention hall is 10 transferred to the municipality without any further 11 consideration by or on behalf of the municipality at the time 12 of the completion of the municipal convention hall or upon the 13 retirement or redemption of any bonds or other debt instruments 14 issued by the public-facilities corporation in connection with 15 the development of the municipal convention hall. This 16 exemption includes existing public-facilities corporations as 17 provided in Section 11-65-25 of the Illinois Municipal Code. 18 This paragraph is exempt from the provisions of Section 3-55. 19 (29) Beginning January 1, 2010, materials, parts, 20 equipment, components, and furnishings incorporated into or 21 upon an aircraft as part of the modification, refurbishment, 22 completion, replacement, repair, or maintenance of the 23 aircraft. This exemption includes consumable supplies used in 24 the modification, refurbishment, completion, replacement, 25 repair, and maintenance of aircraft, but excludes any 26 materials, parts, equipment, components, and consumable
HB4390 - 45 - LRB098 15788 HLH 50821 b 1 supplies used in the modification, replacement, repair, and 2 maintenance of aircraft engines or power plants, whether such 3 engines or power plants are installed or uninstalled upon any 4 such aircraft. "Consumable supplies" include, but are not 5 limited to, adhesive, tape, sandpaper, general purpose 6 lubricants, cleaning solution, latex gloves, and protective 7 films. This exemption applies only to the transfer of 8 qualifying tangible personal property incident to the 9 modification, refurbishment, completion, replacement, repair, 10 or maintenance of an aircraft by persons who (i) hold an Air 11 Agency Certificate and are empowered to operate an approved 12 repair station by the Federal Aviation Administration, (ii) 13 have a Class IV Rating, and (iii) conduct operations in 14 accordance with Part 145 of the Federal Aviation Regulations. 15 The exemption does not include aircraft operated by a 16 commercial air carrier providing scheduled passenger air 17 service pursuant to authority issued under Part 121 or Part 129 18 of the Federal Aviation Regulations. The changes made to this 19 paragraph (29) by Public Act 98-534 this amendatory Act of the 20 98th General Assembly are declarative of existing law. 21 (30) Medical appliances purchased for use by a person aged 22 65 or older. This paragraph is exempt from the provisions of 23 Section 3-55. 24 (Source: P.A. 97-38, eff. 6-28-11; 97-73, eff. 6-30-11; 97-227, 25 eff. 1-1-12; 97-431, eff. 8-16-11; 97-636, eff. 6-1-12; 97-767, 26 eff. 7-9-12; 98-104, eff. 7-22-13; 98-422, eff. 8-16-13;
HB4390 - 46 - LRB098 15788 HLH 50821 b 1 98-456, eff. 8-16-13; 98-534, eff. 8-23-13; revised 9-9-13.) 2 Section 20. The Retailers' Occupation Tax Act is amended by 3 changing Section 2-5 as follows: 4 (35 ILCS 120/2-5) 5 Sec. 2-5. Exemptions. Gross receipts from proceeds from the 6 sale of
the following tangible personal property are exempt 7 from the tax imposed
by this Act: 8 (1) Farm chemicals. 9 (2) Farm machinery and equipment, both new and used, 10 including that
manufactured on special order, certified by the 11 purchaser to be used
primarily for production agriculture or 12 State or federal agricultural
programs, including individual 13 replacement parts for the machinery and
equipment, including 14 machinery and equipment purchased for lease,
and including 15 implements of husbandry defined in Section 1-130 of
the 16 Illinois Vehicle Code, farm machinery and agricultural 17 chemical and
fertilizer spreaders, and nurse wagons required to 18 be registered
under Section 3-809 of the Illinois Vehicle Code, 19 but
excluding other motor vehicles required to be registered 20 under the Illinois
Vehicle Code.
Horticultural polyhouses or 21 hoop houses used for propagating, growing, or
overwintering 22 plants shall be considered farm machinery and equipment under 23 this item (2).
Agricultural chemical tender tanks and dry boxes 24 shall include units sold
separately from a motor vehicle
HB4390 - 47 - LRB098 15788 HLH 50821 b 1 required to be licensed and units sold mounted
on a motor 2 vehicle required to be licensed, if the selling price of the 3 tender
is separately stated. 4 Farm machinery and equipment shall include precision 5 farming equipment
that is
installed or purchased to be 6 installed on farm machinery and equipment
including, but not 7 limited to, tractors, harvesters, sprayers, planters,
seeders, 8 or spreaders.
Precision farming equipment includes, but is not 9 limited to,
soil testing sensors, computers, monitors, 10 software, global positioning
and mapping systems, and other 11 such equipment. 12 Farm machinery and equipment also includes computers, 13 sensors, software, and
related equipment used primarily in the 14 computer-assisted operation of production agriculture 15 facilities, equipment,
and activities such as, but
not limited 16 to,
the collection, monitoring, and correlation of
animal and 17 crop data for the purpose of
formulating animal diets and 18 agricultural chemicals. This item (2) is exempt
from the 19 provisions of
Section 2-70. 20 (3) Until July 1, 2003, distillation machinery and 21 equipment, sold as a
unit or kit,
assembled or installed by the 22 retailer, certified by the user to be used
only for the 23 production of ethyl alcohol that will be used for consumption 24 as motor fuel or as a component of motor fuel for the personal 25 use of the
user, and not subject to sale or resale. 26 (4) Until July 1, 2003 and beginning again September 1,
HB4390 - 48 - LRB098 15788 HLH 50821 b 1 2004 through August 30, 2014, graphic arts machinery and 2 equipment, including
repair and
replacement parts, both new and 3 used, and including that manufactured on
special order or 4 purchased for lease, certified by the purchaser to be used 5 primarily for graphic arts production.
Equipment includes 6 chemicals or
chemicals acting as catalysts but only if
the 7 chemicals or chemicals acting as catalysts effect a direct and 8 immediate
change upon a
graphic arts product. 9 (5) A motor vehicle that is used for automobile renting, as 10 defined in the Automobile Renting Occupation and Use Tax Act. 11 This paragraph is exempt from
the provisions of Section 2-70. 12 (6) Personal property sold by a teacher-sponsored student 13 organization
affiliated with an elementary or secondary school 14 located in Illinois. 15 (7) Until July 1, 2003, proceeds of that portion of the 16 selling price of
a passenger car the
sale of which is subject 17 to the Replacement Vehicle Tax. 18 (8) Personal property sold to an Illinois county fair 19 association for
use in conducting, operating, or promoting the 20 county fair. 21 (9) Personal property sold to a not-for-profit arts
or 22 cultural organization that establishes, by proof required by 23 the Department
by
rule, that it has received an exemption under 24 Section 501(c)(3) of the
Internal Revenue Code and that is 25 organized and operated primarily for the
presentation
or 26 support of arts or cultural programming, activities, or
HB4390 - 49 - LRB098 15788 HLH 50821 b 1 services. These
organizations include, but are not limited to, 2 music and dramatic arts
organizations such as symphony 3 orchestras and theatrical groups, arts and
cultural service 4 organizations, local arts councils, visual arts organizations, 5 and media arts organizations.
On and after the effective date 6 of this amendatory Act of the 92nd General
Assembly, however, 7 an entity otherwise eligible for this exemption shall not
make 8 tax-free purchases unless it has an active identification 9 number issued by
the Department. 10 (10) Personal property sold by a corporation, society, 11 association,
foundation, institution, or organization, other 12 than a limited liability
company, that is organized and 13 operated as a not-for-profit service enterprise
for the benefit 14 of persons 65 years of age or older if the personal property 15 was not purchased by the enterprise for the purpose of resale 16 by the
enterprise. 17 (11) Personal property sold to a governmental body, to a 18 corporation,
society, association, foundation, or institution 19 organized and operated
exclusively for charitable, religious, 20 or educational purposes, or to a
not-for-profit corporation, 21 society, association, foundation, institution,
or organization 22 that has no compensated officers or employees and that is 23 organized and operated primarily for the recreation of persons 24 55 years of
age or older. A limited liability company may 25 qualify for the exemption under
this paragraph only if the 26 limited liability company is organized and operated
HB4390 - 50 - LRB098 15788 HLH 50821 b 1 exclusively for educational purposes. On and after July 1, 2 1987, however, no
entity otherwise eligible for this exemption 3 shall make tax-free purchases
unless it has an active 4 identification number issued by the Department. 5 (12) Tangible personal property sold to
interstate 6 carriers
for hire for use as
rolling stock moving in interstate 7 commerce or to lessors under leases of
one year or longer 8 executed or in effect at the time of purchase by
interstate 9 carriers for hire for use as rolling stock moving in interstate 10 commerce and equipment operated by a telecommunications 11 provider, licensed as a
common carrier by the Federal 12 Communications Commission, which is permanently
installed in 13 or affixed to aircraft moving in interstate commerce. 14 (12-5) On and after July 1, 2003 and through June 30, 2004, 15 motor vehicles of the second division
with a gross vehicle 16 weight in excess of 8,000 pounds
that
are
subject to the 17 commercial distribution fee imposed under Section 3-815.1 of 18 the Illinois
Vehicle Code. Beginning on July 1, 2004 and 19 through June 30, 2005, the use in this State of motor vehicles 20 of the second division: (i) with a gross vehicle weight rating 21 in excess of 8,000 pounds; (ii) that are subject to the 22 commercial distribution fee imposed under Section 3-815.1 of 23 the Illinois Vehicle Code; and (iii) that are primarily used 24 for commercial purposes. Through June 30, 2005, this
exemption 25 applies to repair and replacement parts added
after the
initial 26 purchase of such a motor vehicle if that motor vehicle is used
HB4390 - 51 - LRB098 15788 HLH 50821 b 1 in a
manner that
would qualify for the rolling stock exemption 2 otherwise provided for in this
Act. For purposes of this 3 paragraph, "used for commercial purposes" means the 4 transportation of persons or property in furtherance of any 5 commercial or industrial enterprise whether for-hire or not. 6 (13) Proceeds from sales to owners, lessors, or
shippers of 7 tangible personal property that is utilized by interstate 8 carriers for
hire for use as rolling stock moving in interstate 9 commerce
and equipment operated by a telecommunications 10 provider, licensed as a
common carrier by the Federal 11 Communications Commission, which is
permanently installed in 12 or affixed to aircraft moving in interstate commerce. 13 (14) Machinery and equipment that will be used by the 14 purchaser, or a
lessee of the purchaser, primarily in the 15 process of manufacturing or
assembling tangible personal 16 property for wholesale or retail sale or
lease, whether the 17 sale or lease is made directly by the manufacturer or by
some 18 other person, whether the materials used in the process are 19 owned by
the manufacturer or some other person, or whether the 20 sale or lease is made
apart from or as an incident to the 21 seller's engaging in the service
occupation of producing 22 machines, tools, dies, jigs, patterns, gauges, or
other similar 23 items of no commercial value on special order for a particular 24 purchaser. The exemption provided by this paragraph (14) does 25 not include machinery and equipment used in (i) the generation 26 of electricity for wholesale or retail sale; (ii) the
HB4390 - 52 - LRB098 15788 HLH 50821 b 1 generation or treatment of natural or artificial gas for 2 wholesale or retail sale that is delivered to customers through 3 pipes, pipelines, or mains; or (iii) the treatment of water for 4 wholesale or retail sale that is delivered to customers through 5 pipes, pipelines, or mains. The provisions of Public Act 98-583 6 this amendatory Act of the 98th General Assembly are 7 declaratory of existing law as to the meaning and scope of this 8 exemption. 9 (15) Proceeds of mandatory service charges separately 10 stated on
customers' bills for purchase and consumption of food 11 and beverages, to the
extent that the proceeds of the service 12 charge are in fact turned over as
tips or as a substitute for 13 tips to the employees who participate directly
in preparing, 14 serving, hosting or cleaning up the food or beverage function 15 with respect to which the service charge is imposed. 16 (16) Petroleum products sold to a purchaser if the seller 17 is prohibited by federal law from charging tax to the 18 purchaser. 19 (17) Tangible personal property sold to a common carrier by 20 rail or
motor that
receives the physical possession of the 21 property in Illinois and that
transports the property, or 22 shares with another common carrier in the
transportation of the 23 property, out of Illinois on a standard uniform bill
of lading 24 showing the seller of the property as the shipper or consignor 25 of
the property to a destination outside Illinois, for use 26 outside Illinois.
HB4390 - 53 - LRB098 15788 HLH 50821 b 1 (18) Legal tender, currency, medallions, or gold or silver 2 coinage
issued by the State of Illinois, the government of the 3 United States of
America, or the government of any foreign 4 country, and bullion. 5 (19) Until July 1 2003, oil field exploration, drilling, 6 and production
equipment, including
(i) rigs and parts of rigs, 7 rotary rigs, cable tool
rigs, and workover rigs, (ii) pipe and 8 tubular goods, including casing and
drill strings, (iii) pumps 9 and pump-jack units, (iv) storage tanks and flow
lines, (v) any 10 individual replacement part for oil field exploration, 11 drilling, and production equipment, and (vi) machinery and 12 equipment purchased
for lease; but
excluding motor vehicles 13 required to be registered under the Illinois
Vehicle Code. 14 (20) Photoprocessing machinery and equipment, including 15 repair and
replacement parts, both new and used, including that 16 manufactured on
special order, certified by the purchaser to be 17 used primarily for
photoprocessing, and including 18 photoprocessing machinery and equipment
purchased for lease. 19 (21) Coal and aggregate exploration, mining, off-highway 20 offhighway hauling,
processing,
maintenance, and reclamation 21 equipment, including
replacement parts and equipment, and 22 including
equipment purchased for lease, but excluding motor 23 vehicles required to be
registered under the Illinois Vehicle 24 Code. The changes made to this Section by Public Act 97-767 25 apply on and after July 1, 2003, but no claim for credit or 26 refund is allowed on or after August 16, 2013 ( the effective
HB4390 - 54 - LRB098 15788 HLH 50821 b 1 date of Public Act 98-456) this amendatory Act of the 98th 2 General Assembly for such taxes paid during the period 3 beginning July 1, 2003 and ending on August 16, 2013 ( the 4 effective date of Public Act 98-456) this amendatory Act of the 5 98th General Assembly . 6 (22) Until June 30, 2013, fuel and petroleum products sold 7 to or used by an air carrier,
certified by the carrier to be 8 used for consumption, shipment, or storage
in the conduct of 9 its business as an air common carrier, for a flight
destined 10 for or returning from a location or locations
outside the 11 United States without regard to previous or subsequent domestic 12 stopovers. 13 Beginning July 1, 2013, fuel and petroleum products sold to 14 or used by an air carrier, certified by the carrier to be used 15 for consumption, shipment, or storage in the conduct of its 16 business as an air common carrier, for a flight that (i) is 17 engaged in foreign trade or is engaged in trade between the 18 United States and any of its possessions and (ii) transports at 19 least one individual or package for hire from the city of 20 origination to the city of final destination on the same 21 aircraft, without regard to a change in the flight number of 22 that aircraft. 23 (23) A transaction in which the purchase order is received 24 by a florist
who is located outside Illinois, but who has a 25 florist located in Illinois
deliver the property to the 26 purchaser or the purchaser's donee in Illinois.
HB4390 - 55 - LRB098 15788 HLH 50821 b 1 (24) Fuel consumed or used in the operation of ships, 2 barges, or vessels
that are used primarily in or for the 3 transportation of property or the
conveyance of persons for 4 hire on rivers bordering on this State if the
fuel is delivered 5 by the seller to the purchaser's barge, ship, or vessel
while 6 it is afloat upon that bordering river. 7 (25) Except as provided in item (25-5) of this Section, a 8 motor vehicle sold in this State to a nonresident even though 9 the
motor vehicle is delivered to the nonresident in this 10 State, if the motor
vehicle is not to be titled in this State, 11 and if a drive-away permit
is issued to the motor vehicle as 12 provided in Section 3-603 of the Illinois
Vehicle Code or if 13 the nonresident purchaser has vehicle registration
plates to 14 transfer to the motor vehicle upon returning to his or her home 15 state. The issuance of the drive-away permit or having
the 16 out-of-state registration plates to be transferred is prima 17 facie evidence
that the motor vehicle will not be titled in 18 this State. 19 (25-5) The exemption under item (25) does not apply if the 20 state in which the motor vehicle will be titled does not allow 21 a reciprocal exemption for a motor vehicle sold and delivered 22 in that state to an Illinois resident but titled in Illinois. 23 The tax collected under this Act on the sale of a motor vehicle 24 in this State to a resident of another state that does not 25 allow a reciprocal exemption shall be imposed at a rate equal 26 to the state's rate of tax on taxable property in the state in
HB4390 - 56 - LRB098 15788 HLH 50821 b 1 which the purchaser is a resident, except that the tax shall 2 not exceed the tax that would otherwise be imposed under this 3 Act. At the time of the sale, the purchaser shall execute a 4 statement, signed under penalty of perjury, of his or her 5 intent to title the vehicle in the state in which the purchaser 6 is a resident within 30 days after the sale and of the fact of 7 the payment to the State of Illinois of tax in an amount 8 equivalent to the state's rate of tax on taxable property in 9 his or her state of residence and shall submit the statement to 10 the appropriate tax collection agency in his or her state of 11 residence. In addition, the retailer must retain a signed copy 12 of the statement in his or her records. Nothing in this item 13 shall be construed to require the removal of the vehicle from 14 this state following the filing of an intent to title the 15 vehicle in the purchaser's state of residence if the purchaser 16 titles the vehicle in his or her state of residence within 30 17 days after the date of sale. The tax collected under this Act 18 in accordance with this item (25-5) shall be proportionately 19 distributed as if the tax were collected at the 6.25% general 20 rate imposed under this Act. 21 (25-7) Beginning on July 1, 2007, no tax is imposed under 22 this Act on the sale of an aircraft, as defined in Section 3 of 23 the Illinois Aeronautics Act, if all of the following 24 conditions are met: 25 (1) the aircraft leaves this State within 15 days after 26 the later of either the issuance of the final billing for
HB4390 - 57 - LRB098 15788 HLH 50821 b 1 the sale of the aircraft, or the authorized approval for 2 return to service, completion of the maintenance record 3 entry, and completion of the test flight and ground test 4 for inspection, as required by 14 C.F.R. 91.407; 5 (2) the aircraft is not based or registered in this 6 State after the sale of the aircraft; and 7 (3) the seller retains in his or her books and records 8 and provides to the Department a signed and dated 9 certification from the purchaser, on a form prescribed by 10 the Department, certifying that the requirements of this 11 item (25-7) are met. The certificate must also include the 12 name and address of the purchaser, the address of the 13 location where the aircraft is to be titled or registered, 14 the address of the primary physical location of the 15 aircraft, and other information that the Department may 16 reasonably require. 17 For purposes of this item (25-7): 18 "Based in this State" means hangared, stored, or otherwise 19 used, excluding post-sale customizations as defined in this 20 Section, for 10 or more days in each 12-month period 21 immediately following the date of the sale of the aircraft. 22 "Registered in this State" means an aircraft registered 23 with the Department of Transportation, Aeronautics Division, 24 or titled or registered with the Federal Aviation 25 Administration to an address located in this State. 26 This paragraph (25-7) is exempt from the provisions
of
HB4390 - 58 - LRB098 15788 HLH 50821 b 1 Section 2-70. 2 (26) Semen used for artificial insemination of livestock 3 for direct
agricultural production. 4 (27) Horses, or interests in horses, registered with and 5 meeting the
requirements of any of the
Arabian Horse Club 6 Registry of America, Appaloosa Horse Club, American Quarter 7 Horse Association, United States
Trotting Association, or 8 Jockey Club, as appropriate, used for
purposes of breeding or 9 racing for prizes. This item (27) is exempt from the provisions 10 of Section 2-70, and the exemption provided for under this item 11 (27) applies for all periods beginning May 30, 1995, but no 12 claim for credit or refund is allowed on or after January 1, 13 2008 (the effective date of Public Act 95-88)
for such taxes 14 paid during the period beginning May 30, 2000 and ending on 15 January 1, 2008 (the effective date of Public Act 95-88). 16 (28) Computers and communications equipment utilized for 17 any
hospital
purpose
and equipment used in the diagnosis, 18 analysis, or treatment of hospital patients sold to a lessor 19 who leases the
equipment, under a lease of one year or longer 20 executed or in effect at the
time of the purchase, to a 21 hospital
that has been issued an active tax exemption 22 identification number by the
Department under Section 1g of 23 this Act. 24 (29) Personal property sold to a lessor who leases the 25 property, under a
lease of one year or longer executed or in 26 effect at the time of the purchase,
to a governmental body
that
HB4390 - 59 - LRB098 15788 HLH 50821 b 1 has been issued an active tax exemption identification number 2 by the
Department under Section 1g of this Act. 3 (30) Beginning with taxable years ending on or after 4 December
31, 1995
and
ending with taxable years ending on or 5 before December 31, 2004,
personal property that is
donated for 6 disaster relief to be used in a State or federally declared 7 disaster area in Illinois or bordering Illinois by a 8 manufacturer or retailer
that is registered in this State to a 9 corporation, society, association,
foundation, or institution 10 that has been issued a sales tax exemption
identification 11 number by the Department that assists victims of the disaster 12 who reside within the declared disaster area. 13 (31) Beginning with taxable years ending on or after 14 December
31, 1995 and
ending with taxable years ending on or 15 before December 31, 2004, personal
property that is used in the 16 performance of infrastructure repairs in this
State, including 17 but not limited to municipal roads and streets, access roads, 18 bridges, sidewalks, waste disposal systems, water and sewer 19 line extensions,
water distribution and purification 20 facilities, storm water drainage and
retention facilities, and 21 sewage treatment facilities, resulting from a State
or 22 federally declared disaster in Illinois or bordering Illinois 23 when such
repairs are initiated on facilities located in the 24 declared disaster area
within 6 months after the disaster. 25 (32) Beginning July 1, 1999, game or game birds sold at a 26 "game breeding
and
hunting preserve area" as that term is used
HB4390 - 60 - LRB098 15788 HLH 50821 b 1 in the
Wildlife Code. This paragraph is exempt from the 2 provisions
of
Section 2-70. 3 (33) A motor vehicle, as that term is defined in Section 4 1-146
of the
Illinois Vehicle Code, that is donated to a 5 corporation, limited liability
company, society, association, 6 foundation, or institution that is determined by
the Department 7 to be organized and operated exclusively for educational 8 purposes. For purposes of this exemption, "a corporation, 9 limited liability
company, society, association, foundation, 10 or institution organized and
operated
exclusively for 11 educational purposes" means all tax-supported public schools, 12 private schools that offer systematic instruction in useful 13 branches of
learning by methods common to public schools and 14 that compare favorably in
their scope and intensity with the 15 course of study presented in tax-supported
schools, and 16 vocational or technical schools or institutes organized and 17 operated exclusively to provide a course of study of not less 18 than 6 weeks
duration and designed to prepare individuals to 19 follow a trade or to pursue a
manual, technical, mechanical, 20 industrial, business, or commercial
occupation. 21 (34) Beginning January 1, 2000, personal property, 22 including food, purchased
through fundraising events for the 23 benefit of a public or private elementary or
secondary school, 24 a group of those schools, or one or more school districts if 25 the events are sponsored by an entity recognized by the school 26 district that
consists primarily of volunteers and includes
HB4390 - 61 - LRB098 15788 HLH 50821 b 1 parents and teachers of the
school children. This paragraph 2 does not apply to fundraising events (i) for
the benefit of 3 private home instruction or (ii) for which the fundraising 4 entity purchases the personal property sold at the events from 5 another
individual or entity that sold the property for the 6 purpose of resale by the
fundraising entity and that profits 7 from the sale to the fundraising entity.
This paragraph is 8 exempt from the provisions of Section 2-70. 9 (35) Beginning January 1, 2000 and through December 31, 10 2001, new or used
automatic vending machines that prepare and 11 serve hot food and beverages,
including coffee, soup, and other 12 items, and replacement parts for these
machines. Beginning 13 January 1, 2002 and through June 30, 2003, machines
and parts 14 for machines used in
commercial, coin-operated amusement and 15 vending business if a use or occupation
tax is paid on the 16 gross receipts derived from the use of the commercial, 17 coin-operated amusement and vending machines. This paragraph 18 is exempt from
the provisions of Section 2-70. 19 (35-5) Beginning August 23, 2001 and through June 30, 2016, 20 food for human consumption that is to be consumed off
the 21 premises where it is sold (other than alcoholic beverages, soft 22 drinks,
and food that has been prepared for immediate 23 consumption) and prescription
and nonprescription medicines, 24 drugs, medical appliances, and insulin, urine
testing 25 materials, syringes, and needles used by diabetics, for human 26 use, when
purchased for use by a person receiving medical
HB4390 - 62 - LRB098 15788 HLH 50821 b 1 assistance under Article V of
the Illinois Public Aid Code who 2 resides in a licensed long-term care facility,
as defined in 3 the Nursing Home Care Act, or a licensed facility as defined in 4 the ID/DD Community Care Act or the Specialized Mental Health 5 Rehabilitation Act of 2013. 6 (36) Beginning August 2, 2001, computers and 7 communications equipment
utilized for any hospital purpose and 8 equipment used in the diagnosis,
analysis, or treatment of 9 hospital patients sold to a lessor who leases the
equipment, 10 under a lease of one year or longer executed or in effect at 11 the
time of the purchase, to a hospital that has been issued an 12 active tax
exemption identification number by the Department 13 under Section 1g of this Act.
This paragraph is exempt from the 14 provisions of Section 2-70. 15 (37) Beginning August 2, 2001, personal property sold to a 16 lessor who
leases the property, under a lease of one year or 17 longer executed or in effect
at the time of the purchase, to a 18 governmental body that has been issued an
active tax exemption 19 identification number by the Department under Section 1g
of 20 this Act. This paragraph is exempt from the provisions of 21 Section 2-70. 22 (38) Beginning on January 1, 2002 and through June 30, 23 2016, tangible personal property purchased
from an Illinois 24 retailer by a taxpayer engaged in centralized purchasing 25 activities in Illinois who will, upon receipt of the property 26 in Illinois,
temporarily store the property in Illinois (i) for
HB4390 - 63 - LRB098 15788 HLH 50821 b 1 the purpose of subsequently
transporting it outside this State 2 for use or consumption thereafter solely
outside this State or 3 (ii) for the purpose of being processed, fabricated, or 4 manufactured into, attached to, or incorporated into other 5 tangible personal
property to be transported outside this State 6 and thereafter used or consumed
solely outside this State. The 7 Director of Revenue shall, pursuant to rules
adopted in 8 accordance with the Illinois Administrative Procedure Act, 9 issue a
permit to any taxpayer in good standing with the 10 Department who is eligible for
the exemption under this 11 paragraph (38). The permit issued under
this paragraph (38) 12 shall authorize the holder, to the extent and
in the manner 13 specified in the rules adopted under this Act, to purchase 14 tangible personal property from a retailer exempt from the 15 taxes imposed by
this Act. Taxpayers shall maintain all 16 necessary books and records to
substantiate the use and 17 consumption of all such tangible personal property
outside of 18 the State of Illinois. 19 (39) Beginning January 1, 2008, tangible personal property 20 used in the construction or maintenance of a community water 21 supply, as defined under Section 3.145 of the Environmental 22 Protection Act, that is operated by a not-for-profit 23 corporation that holds a valid water supply permit issued under 24 Title IV of the Environmental Protection Act. This paragraph is 25 exempt from the provisions of Section 2-70. 26 (40) Beginning January 1, 2010, materials, parts,
HB4390 - 64 - LRB098 15788 HLH 50821 b 1 equipment, components, and furnishings incorporated into or 2 upon an aircraft as part of the modification, refurbishment, 3 completion, replacement, repair, or maintenance of the 4 aircraft. This exemption includes consumable supplies used in 5 the modification, refurbishment, completion, replacement, 6 repair, and maintenance of aircraft, but excludes any 7 materials, parts, equipment, components, and consumable 8 supplies used in the modification, replacement, repair, and 9 maintenance of aircraft engines or power plants, whether such 10 engines or power plants are installed or uninstalled upon any 11 such aircraft. "Consumable supplies" include, but are not 12 limited to, adhesive, tape, sandpaper, general purpose 13 lubricants, cleaning solution, latex gloves, and protective 14 films. This exemption applies only to the sale of qualifying 15 tangible personal property to persons who modify, refurbish, 16 complete, replace, or maintain an aircraft and who (i) hold an 17 Air Agency Certificate and are empowered to operate an approved 18 repair station by the Federal Aviation Administration, (ii) 19 have a Class IV Rating, and (iii) conduct operations in 20 accordance with Part 145 of the Federal Aviation Regulations. 21 The exemption does not include aircraft operated by a 22 commercial air carrier providing scheduled passenger air 23 service pursuant to authority issued under Part 121 or Part 129 24 of the Federal Aviation Regulations. The changes made to this 25 paragraph (40) by Public Act 98-534 this amendatory Act of the 26 98th General Assembly are declarative of existing law.
HB4390 - 65 - LRB098 15788 HLH 50821 b 1 (41) Tangible personal property sold to a 2 public-facilities corporation, as described in Section 3 11-65-10 of the Illinois Municipal Code, for purposes of 4 constructing or furnishing a municipal convention hall, but 5 only if the legal title to the municipal convention hall is 6 transferred to the municipality without any further 7 consideration by or on behalf of the municipality at the time 8 of the completion of the municipal convention hall or upon the 9 retirement or redemption of any bonds or other debt instruments 10 issued by the public-facilities corporation in connection with 11 the development of the municipal convention hall. This 12 exemption includes existing public-facilities corporations as 13 provided in Section 11-65-25 of the Illinois Municipal Code. 14 This paragraph is exempt from the provisions of Section 2-70. 15 (42) Medical appliances purchased for use by a person aged 16 65 or older. This paragraph is exempt from the provisions of 17 Section 2-70. 18 (Source: P.A. 97-38, eff. 6-28-11; 97-73, eff. 6-30-11; 97-227, 19 eff. 1-1-12; 97-431, eff. 8-16-11; 97-636, eff. 6-1-12; 97-767, 20 eff. 7-9-12; 98-104, eff. 7-22-13; 98-422, eff. 8-16-13; 21 98-456, eff. 8-16-13; 98-534, eff. 8-23-13; 98-574, eff. 22 1-1-14; 98-583, eff. 1-1-14; revised 9-9-13.)
| https://www.ilga.gov/legislation/98/HB/09800HB4390.htm |
Noradrenaline inhibits neurogenic propulsive motor patterns but not neurogenic segmenting haustral progression in the rabbit colon | Request PDF
Request PDF | Noradrenaline inhibits neurogenic propulsive motor patterns but not neurogenic segmenting haustral progression in the rabbit colon | Background Excessive sympathetic inhibition may be a cause of colon motor dysfunction. Our aim was to better understand the mechanisms of... | Find, read and cite all the research you need on ResearchGate
Noradrenaline inhibits neurogenic propulsive motor patterns but not neurogenic segmenting haustral progression in the rabbit colon
February 2019
Neurogastroenterology and Motility 31(Suppl. 1)
DOI: 10.1111/nmo.13567
Request full-text
Abstract
Background
Excessive sympathetic inhibition may be a cause of colon motor dysfunction. Our aim was to better understand the mechanisms of sympathetic inhibition on colonic motor patterns using the rabbit colon, hypothesizing that noradrenaline selectively inhibits propulsive motor patterns.
Methods
Changes in motor patterns of the rabbit colon were studied ex vivo using noradrenaline and adrenoceptor antagonists and analyzed using spatiotemporal diameter maps.
Key Results
Noradrenaline abolished propulsive contractions: it abolished the long‐distance contractions (LDCs) from a baseline frequency of 0.8 ± 0.3 and the clusters of fast propagating contractions (FPCs) at a frequency of 14.4 ± 2.8 cpm. Both motor patterns recovered after addition of the α2‐adrenoceptor antagonist yohimbine to a frequency of 0.5 ± 0.2 and 9.9 ± 3.3 cpm, respectively. The β‐adrenoceptor antagonist propranolol did not prevent the loss of propulsive motor patterns with noradrenaline. Noradrenaline did not inhibit haustral boundary contractions and increased the frequency of the myogenic ripples from 8.3 ± 1.4 to 10.5 ± 1.3 cpm which was not affected by yohimbine, propranolol nor the α1‐adrenoceptor blocker prazosin.
Conclusions and Inferences
Noradrenergic inhibition of propulsive motor patterns is mediated by the α2‐adrenoceptor to inhibit the neurogenic LDCs and the neurogenic clustering of FPCs. The neurogenic haustral boundary contractions are not affected, suggesting that α2‐receptors are on selective neural circuits. The excitatory effect of noradrenaline on ripples may be due to the activation of adrenoceptors on interstitial cells of Cajal, but action on α1‐receptors was excluded. No role for the β‐adrenoceptor was found.
... Inflammatory, pharmacological, and cellular factors are thought to contribute to ACPO, though excessive sympathetic drive and/or reduced parasympathetic activity appear to be a common pathophysiological pathway (Wells et al., 2017). Overactive noradrenergic signaling may suppress neurogenic HAPS, and unmask intrinsic pacemaker activity in the distal colon
(Hanman et al., 2019;
Rosli et al., 2020). No HAPS were observed in 24 h of manometric recordings from this patient, although events may have been missed due to the distal location of the manometry catheter. ...
A novel mechanism for acute colonic pseudo-obstruction revealed by high-resolution manometry: A case report
Article
Full-text available
Jul 2021
Cameron Wells
Nira Paskaranandavadivel
Peng Du
Gregory O'Grady
Background: Acute colonic pseudo-obstruction (ACPO) is a severe form of colonic dysmotility and is associated with considerable morbidity. The pathophysiology of ACPO is considered to be multifactorial but has not been clarified. Although colonic motility is commonly assumed to be hypoactive, there is little direct pathophysiologi- cal evidence to support this claim.
Methods: A 56-year-old woman who developed ACPO following spinal surgery un- derwent 24 h of continuous high-resolution colonic manometry (1 cm resolution over 36 cm) following endoscopic decompression. Manometry data were analyzed and correlated with a three-dimensional colonic model developed from computed tomog- raphy (CT) imaging.
Results: The distal colon was found to be profoundly hyperactive, showing near- continuous non-propagating motor activity. Dominant frequencies at 2–6 and 8–12 cycles per minute were observed. The activity was often dissociated and out-of-phase across adjacent regions. The mean amplitude of motor activity was higher than that reported from pre- and post-prandial healthy controls. Correlation with CT imag- ing suggested that these disordered hyperactive motility sequences might act as a functional pseudo-obstruction in the distal colon resulting in secondary proximal dilatation.
Conclusions: This is the first detailed description of motility patterns in ACPO and suggests a novel underlying disease mechanism, warranting further investigation and identification of potential therapeutic targets.
... Propulsive activity in the rabbit colon takes the form of the Colonic Motor Complexes (CMCs) (15,
24,
33,39,45). The development of the CMC occurs in a dose-dependent and antagonist sensitive manner, manifested in various levels of excitation beginning with clusters of fast propagating contractions followed by long distance contractions (LDCs) as the most forceful representation of the CMC in the rabbit. ...
Intraluminal Prucalopride Increases Propulsive Motor Activities in the Human Colon
Preprint
May 2020
Mitra Shokrollahi
Xuan Yu Wang
Natalija Milkova
Ji Hong Chen
Background: Luminal application of 5-HT4 receptor agonists can increase peristalsis in the guinea pig, mouse, rat and rabbit colon. Our aim in the present study was to test the effects of intraluminal prucalopride on motor patterns in the human colon.
Methods: Colonic motor patterns were studied in vivo in a healthy volunteer using High-Resolution Colonic Manometry (HRCM) with an 84-sensor water perfused catheter with 1cm spacing. 5-HT and 5-HT4 receptor immunohistochemistry was performed on human tissue
biopsies throughout the colon.
Key results: Activating mucosal 5‐HT4 receptors via intraluminal prucalopride enhanced propulsive motor activity in the human colon by increasing occurrence and amplitude of propulsive motor patterns including high-amplitude propagating pressure waves (HAPWs), pancolonic simultaneous pressure waves (SPWs) and HAPW-SPWs. Prucalopride-induced motor patterns had a close temporal association with a significant degree of anal sphincter relaxation and some were accompanied by a strong urge to defecate. Biopsies showed 100%
colocalization of the 5-HT4 receptor to enterochromaffin cells throughout the colon and rectum.
Conclusions and inferences: Activating luminal 5‐HT4 receptors on enterochromaffin cells by intraluminal prucalopride increased propulsive motor activity. 5-HT4 receptors were found only on enterochromaffin cells and not ubiquitous on all epithelial cells. Our data support
incorporation of prucalopride in colon‐specific drug delivery systems as a prokinetic to treat colonic hypomotility disorders.
View
... Propulsive activity in the rabbit colon takes the form of the Colonic Motor Complexes (CMCs) (15,
24,
33,39,45). The development of the CMC occurs in a dose-dependent and antagonist sensitive manner, manifested in various levels of excitation beginning with clusters of fast propagating contractions followed by long distance contractions (LDCs) as the most forceful representation of the CMC in the rabbit. ...
Intraluminal Prucalopride Increases Propulsive Motor Activities in the Human Colon
Preprint
Full-text available
May 2020
Mitra Shokrollahi
Xuan-Yu Wang
Natalija Milkova
Jihong Chen
Background: Luminal application of 5-HT4 receptor agonists can increase peristalsis in the guinea pig, mouse, rat and rabbit colon. Our aim in the present study was to test the effects of intraluminal prucalopride on motor patterns in the human colon.
Methods: Colonic motor patterns were studied in vivo in a healthy volunteer using High- Resolution Colonic Manometry (HRCM) with an 84-sensor water perfused catheter with 1cm spacing. 5-HT and 5-HT4 receptor immunohistochemistry was performed on human tissue biopsies throughout the colon.
Key results: Activating mucosal 5-HT4 receptors via intraluminal prucalopride enhanced propulsive motor activity in the human colon by increasing occurrence and amplitude of propulsive motor patterns including high-amplitude propagating pressure waves (HAPWs), pan-colonic simultaneous pressure waves (SPWs) and HAPW-SPWs. Prucalopride-induced motor patterns had a close temporal association with a significant degree of anal sphincter relaxation and some were accompanied by a strong urge to defecate. Biopsies showed 100% colocalization of the 5-HT4 receptor to enterochromaffin cells throughout the colon and rectum.
Conclusions and inferences: Activating luminal 5-HT4 receptors on enterochromaffin cells by intraluminal prucalopride increased propulsive motor activity. 5-HT4 receptors were found only on enterochromaffin cells and not ubiquitous on all epithelial cells. Our data support incorporation of prucalopride in colon‐specific drug delivery systems as a prokinetic to treat colonic hypomotility disorders.
... 39 Another prominent motor pattern in the rabbit colon is the propagating haustral boundary contraction that also has neurogenic and myogenic features. 31,39,
40
The haustral boundary contractions are segmental in nature due to their continuous interaction with ripples 31,39,41 which are rhythmic myogenic slowwave-driven contractions of low amplitude. 31 ...
Intraluminal Prucalopride Increases Propulsive Motor Activities via Luminal 5-HT4 Receptors in the Rabbit Colon
Article
Apr 2019
Mitra Shokrollahi
Jihong Chen
| https://www.researchgate.net/publication/331090898_Noradrenaline_inhibits_neurogenic_propulsive_motor_patterns_but_not_neurogenic_segmenting_haustral_progression_in_the_rabbit_colon |
Cultural revolution
One of the world’s blandest regions has become one of its most creative | Special report
Cultural revolution
One of the world’s blandest regions has become one of its most creative
TWENTY YEARS AGO the Nordic region was a cultural backwater. Even the biggest cities were dead after 8pm. The restaurants offered meatballs or pale versions of Italian or French favourites. The region did come up with a few cultural icons such as Ingmar Bergman and Abba, and managed to produce world-class architects and designers even at the height of post-war brutalism. But the few successes served only to emphasise the general dullness.
The backwater has now turned into an entrepot. Stockholm relishes its reputation as one of the liveliest cities in Europe (and infuriates its neighbours by billing itself as “the capital of Scandinavia”). Scandinavian crime novels have become a genre in their own right. Danish television shows such as “The Killing” and “Borgen” are syndicated across the world. Swedish music producers are fixtures in Hollywood. Copenhagen’s Noma is one of the world’s most highly rated restaurants and has brought about a food renaissance across the region.
Why has the land of the bland become a cultural powerhouse? Jonas Bonnier, CEO of the Bonnier Group, Sweden’s largest media company, thinks that it is partly because new technologies are levelling the playing field. Popular music was once dominated by British and American artists who were able to use all sorts of informal barriers to protect their position. Today, thanks to the internet, somebody sitting in a Stockholm attic can reach the world. Rovio’s Michael Hed suggests that network effects are much more powerful in small countries: as soon as one writer cracks the global detective market, dozens of others quickly follow.
All true. But there is no point in giving people microphones if they have nothing to say. The bigger reason why the region’s writers and artists—and indeed chefs and game designers—are catching the world’s attention is that they are so full of vim. They are reinventing old forms such as the detective story or the evening meal but also coming up with entirely new forms such as video games for iPads.
The cultural renaissance is thus part of the other changes that have taken place in the region. A closed society that was dominated by a single political orthodoxy (social democracy) and by a narrow definition of national identity (say, Swedishness or Finnishness) is being shaken up by powerful forces such as globalisation and immigration. All the Nordics are engaged in a huge debate about their identity in a post-social democratic world. Think-tanks such as Denmark’s Cepos flaunt pictures of Milton Friedman in the same way that student radicals once flaunted pictures of Che Guevara. Writers expose the dark underbelly of the old social democratic regime. Chefs will prepare anything under the sun as long as it is not meatballs.
The region’s identity crisis is creating a multicultural explosion. The Nordics are scavenging the world for ideas. They continue to enjoy a love-hate relationship with America. They are discovering inspiration from their growing ethnic minorities but are also reaching back into their own cultural traditions. Swedish crime writers revel in the peculiarities of their culture. Danish chefs refuse to use foreign ingredients. A region that has often felt the need to apologise for its culture—those bloodthirsty Vikings! Those toe-curling Abba lyrics! Those naff fishermen’s jumpers!—is enjoying a surge of regional pride.
Blood and snow
Over the past decade Scandinavia has become the world’s leading producer of crime novels. The two Swedes who did more than anyone else to establish Nordic noir—Stieg Larsson and Henning Mankell—have both left the scene of crime. Larsson died of a heart attack in 2004 before his three books about a girl with a dragon tattoo became a global sensation. Mr Mankell consigned his hero, Kurt Wallander, to Alzheimer’s after a dozen bestsellers. But their books continue to be bought in their millions: “Dragon Tattoo” has sold more than 50m, and the Wallander books collectively even more.
A group of new writers, such as Jo Nesbo in Norway and Camilla Lackberg in Sweden, are determined to keep the flame burning. And the crime wave is spreading beyond adult fiction and the written word. Sweden’s Martin Widmark writes detective stories for children. Swedish and British television producers compete to make the best version of Wallander. “The Killing” established a new standard for televised crime drama.
The region has a long tradition of crime writing. Per Wahloo and Maj Sjowall, a Swedish husband-and-wife team, earned a dedicated following among aficionados with their police novels in the 1960s and 1970s. They also established two of Nordic noir’s most appealing memes. Martin Beck is an illness-prone depressive who gets to the truth by dint of relentless plodding. The ten Martin Beck novels present Sweden as a capitalist hellhole that can be saved only by embracing Soviet-style communism (the crime at the heart of the novels is the social democratic system’s betrayal of its promise).
Today’s crime writers continue to profit from these conventions. Larsson’s Sweden, for example, is a crypto-fascist state run by a conspiracy of psychopathic businessmen and secret-service agents. But today’s Nordic crime writers have two advantages over their predecessors. The first is that their hitherto homogenous culture is becoming more variegated and their peaceful society has suffered inexplicable bouts of violence (such as the assassination in 1986 of Sweden’s prime minister, Olof Palme, and in 2003 of its foreign minister, Anna Lindh, and Anders Breivik’s murderous rampage in Norway in 2011). Nordic noir is in part an extended meditation on the tension between the old Scandinavia, with its low crime rate and monochrome culture, and the new one, with all its threats and possibilities. Mr Mankell is obsessed by the disruption of small-town life by global forces such as immigration and foreign criminal gangs. Each series of “The Killing” focuses as much on the fears—particularly of immigrant minorities—that the killing exposes as it does on the crime itself.
The second advantage is something that Wahloo and Sjowall would have found repulsive: a huge industry complete with support systems and the promise of big prizes. Ms Lackberg began her career in an all-female crime-writing class. Mr Mankell wrote unremunerative novels and plays before turning to a life of crime. Thanks in part to Larsson, crime fiction is one of the region’s biggest exports: a brand that comes with a guarantee of quality and a distribution system that stretches from Stockholm to Hollywood.
Copenhagen is the restaurant capital of Europe, largely thanks to Noma, which has been rated among the world’s best restaurants for the past three years, and to its founders, Claus Meyer and René Redzepi. Mr Redzepi, the head chef, eschews the standard fare of Mediterranean cooking such as olive oil and sun-dried tomatoes in favour of local products such as mushrooms, cloudberries, seaweed and flowers, which he collects from beaches and hedgerows. His signature dishes include vegetables in “soil” (a mixture of flour, melted butter and beer) and “the Hen and the Egg” (which customers are asked to cook for themselves, under supervision). Noma’s guests should “experience something that can only happen in this particular part of the world and in this particular city”, he says. But they need to be patient: the waiting list for bookings is three months.
The thousands who are turned away from Noma still have plenty to choose from. Mr Meyer’s food empire includes a bakery chain, a catering business, a vinegar brewery, an organic orchard, a collection of public allotments and a “Nordic Food Lab” that operates from a boat berthed round the corner from Noma, all dedicated to his mission to rid Denmark of its “uniform, generic, passionless food”. Noma has dozens of imitators-cum-competitors, such as Geranium in Copenhagen, Malling & Schmidt in Aarhus and Ti Trin Ned in Fredericia. Local supermarkets sell local wild garlic. The beaches and hedgerows are thick with foodies scavenging for their dinner.
Open-source culture
The Bremen theatre used to be one of the mainstays of the pornography industry: mighty printing presses whirred day and night in order to slake the world’s thirst for pictures of copulating Danes. Today it is the home of Volcano, a “multifaceted entertainment company” that employs 22 people. Its boss, Kristian Riis, is trying to bring imaginative flair to the often routine business of running a nightclub-cum-concert hall. He mixes concerts with stand-up comedy and quiz nights and particularly prides himself on his ability to connect different worlds. He helps the foreign ministry feature Danish musicians in Danish embassies abroad. He arranges deals between companies who want to reach the young and bands that want to make money. These deals usually break down because companies lack nuance (they expect bands to wear their logos or T-shirts) and bands constantly worry about selling out. Volcano feels it can bring these two worlds together because “we’re not afraid of talking about money.”
Much the biggest regional power in the music industry is Sweden. Its record producers and songwriters are a big force in the American record industry: about a third of the records in the Billboard 100 bestsellers have Swedish fingerprints on them. Sweden has also produced groups that have enjoyed international success in their own right, such as Swedish House Mafia, Robyn and, more recently, The Tallest Man on Earth.
So far Finland has not extended its success in video games to other areas of the culture industry. Finnish detective novels are too depressing. Finnish music is too tortured. But do not mistake lack of global reach for lack of creativity: the country that produced Linux, an open-source computer operating system, is also proud to be able to organise “open-source” cultural happenings that allow anyone to have a go.
The biggest annual national opera festival featured an open-source opera in 2012. Helsinki has an annual restaurant day when everybody is encouraged to serve up what they like. Parks fill with pop-up restaurants. Streets are converted into outdoor eateries. Restaurant day has inspired a succession of other “days” such as spring-cleaning day (when Helsinki becomes a giant flea market) and teaching day (when games players teach people how to design games and cobblers how to cobble). “These kinds of citizen-led events and innovations make Helsinki a really good city at the moment,” says Outi Kuittinen of Demos, a local think-tank. “It used to be a lot duller.”
| https://www.economist.com/special-report/2013/01/31/cultural-revolution |
(PDF) Enhanced dissolved organic carbon production in aquatic ecosystems in response to elevated atmospheric CO2
PDF | Although aquatic ecosystems are a major carbon reservoir, how their carbon dynamics will respond to increasing concentrations of atmospheric CO2... | Find, read and cite all the research you need on ResearchGate
Article
PDF Available
Enhanced dissolved organic carbon production in aquatic ecosystems in response to elevated atmospheric CO2
April 2014
Biogeochemistry118(1-3)
DOI: 10.1007/s10533-013-9904-7
Authors:
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Chao Song
Lanzhou University
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Ford Ballantyne IV
Ford Ballantyne IV
This person is not on ResearchGate, or hasn't claimed this research yet.
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Val H. Smith
University of Kansas
Abstract and Figures
Although aquatic ecosystems are a major carbon reservoir, how their carbon dynamics will respond to increasing concentrations of atmospheric CO2 is not well understood. The availability of essential nutrients has the potential to modify carbon fluxes under elevated CO2 by altering carbon processing and storage in the biota. Here, we describe a semi-continuous culture experiment with natural phytoplankton and bacteria assemblages designed to investigate (1) how carbon dynamics in aquatic ecosystems respond to continuously elevated atmospheric CO2, and (2) whether carbon fluxes resulting from elevated CO2 are modified by changes in inorganic nitrogen and phosphorus availability. Our results showed that elevated CO2 led to significant increases in photosynthetic carbon uptake, despite a decrease in the algal chlorophyll a concentrations and no significant change in total algal biovolume. This enhancement of inorganic carbon uptake was accompanied by a significant increase in dissolved organic carbon (DOC) production. Concurrent increases in the C/N and C/P ratios of dissolved organic matter also suggested that DOC stability increased. Nutrient availability, especially nitrogen availability, had strong effects on inorganic carbon uptake and biomass carbon pools. In contrast, CO2-enhanced DOC production was not significantly affected by varying concentrations of inorganic nitrogen and phosphorus. Our study underscores the importance of DOC as a potential carbon sink in aquatic ecosystems. The observed responses to changes in CO2 and nutrient availability could have important implications for long-term carbon cycling in aquatic ecosystems, and highlight the potential buffering capacity of aquatic ecosystems to future environmental change.
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Schematic diagram of carbon pools and carbon fluxes in the experimental systems …
Figures - uploaded by
Chao Song
... Freshwater systems have garnered less attention than marine systems in terms of elevated CO 2 effects, and the high heterogeneity in carbonate chemistry within and among freshwater systems complicates predictions of long-term responses to elevated atmospheric CO 2 (Cole et al. 2007;
Song et al. 2014
). Among freshwater systems, ambient pH can range from 3.8 to 9.9 and ambient DIC (CO 2 + HCO 3 − + CO 3 2− ) concentrations can vary from 0.005 to 146 mM (Cole et al. 1994). ...
... Nutrient levels (e.g., nitrogen and phosphorus) also vary within and among freshwater systems, and impacts of elevated CO 2 may be increased when nutrients are not limiting (Low-Decarie et al. 2014;Hasler et al. 2016). With such variations in freshwater DIC dynamics, it is not well understood or easily predictable how freshwater systems will respond to longterm increases in atmospheric CO 2 (Cole et al. 2007;
Song et al. 2014)
. ...
Strong effects of elevated CO2 on freshwater microalgae and ecosystem chemistry
Article
Full-text available
Aug 2019
LIMNOL OCEANOGR
<here is a image 52758f80a23cab8d-335e34ed0d33669a> Terry-René Brown
<here is a image d7a5cbbf04e8e7c6-0a6594b333e19c0d> Marc J. Lajeunesse
Kathleen Scott
The carbonate chemistry of freshwater systems can range from inorganic carbon‐limited to supersaturated with respect to the atmosphere, and the pH of these systems can vary temporally and spatially from alkaline to acidic. Determining how these heterogeneous systems respond to increases in atmospheric CO2 is critical to understanding global impacts of these changes. Here, we synthesize 22 studies from a variety of systems to explore the effects of elevated CO2 on freshwater chemistry and microalgae, which form the base of autotrophic food webs. Across the variability in freshwater systems, elevated CO2 significantly affected water chemistry by decreasing pH and increasing dissolved inorganic carbon. Microalgae were also affected by elevated CO2 with measured increases in (1) nutrient acquisition through microalgal carbon‐to‐nutrient ratios, (2) photosynthetic activity, and (3) growth. While these effects were measured from controlled experiments, the results indicate a wide range of potential freshwater ecosystem effects from elevated atmospheric CO2. Our synthesis also identified several knowledge gaps. Generally, larger sample sizes and studies of longer duration are needed for more robust analyses and conclusions. Additionally, more field experiments across a range of freshwater ecosystem types and studies involving benthic species and multiple trophic levels are needed to strengthen global predictions across the broad variability found within and among freshwater systems.
... In the tributaries of the Mississippi River DOC subsequently decreased with 58%, leading to a lower downstream DOC concentration in the river (Duan et al., 2017). A third cause that could lead to increased DOC concentration is the effects of climate change such as: (i) increased precipitation (Wu et al., 2007;Brothers et al., 2014), but in other cases also (ii) decreased precipitation (Porcal et al., 2009) in combination with (iii) increased temperature (Fenner and Freeman, 2011), (iv) rising CO 2 emissions, which can cause increased organic matter production by terrestrial (Zangerl and Bazzaz, 1984) and aquatic
(Song et al., 2013)
primary producers, and (v) increased nitrogen deposition (McElarney et al., 2010), although there are also studies that claim that DOC increases are caused by a decrease in nitrogen deposition (Musolff et al., 2017). ...
... If the quantity and quality of DOC are changed by climate change, this may have large effects on the extent of C sequestration in aquatic sediments and on aquatic CO 2 emissions. Although it is important to study the fate of DOC, DOC itself can also be regarded as C sink for anthropogenically emitted CO 2 as DOC production in algae increases under elevated CO 2 concentrations
(Song et al., 2013)
. ...
The Future of Freshwater Macrophytes in a Changing World: Dissolved Organic Carbon Quantity and Quality and Its Interactions With Macrophytes
May 2018
<here is a image 909998d85a2d9b6b-b9a978f18cdcc426> Rosanne E. Reitsema
<here is a image a556cda72b671309-078d40d97bc9bd2a> Patrick Meire
<here is a image 41a127784e6d89e5-a79722e85b93909e> Jonas Schoelynck
Freshwater ecosystems are confronted with the effects of climate change. One of the major changes is an increased concentration of aquatic carbon. Macrophytes are important in the aquatic carbon cycle and play as primary producers a crucial role in carbon storage in aquatic systems. However, macrophytes are affected by increasing carbon concentrations. The focus of this review lies on dissolved organic carbon (DOC), one of the most abundant forms of carbon in aquatic ecosystems which has many effects on macrophytes. DOC concentrations are rising; the exact cause of this increase is not known, although it is hypothesized that climate change is one of the drivers. The quality of DOC is also changing; for example, in urban areas DOC composition is different from the composition in natural watersheds, resulting in DOC that is more resistant to photo-degradation. Plants can benefit from DOC as it attenuates UV-B radiation, it binds potentially harmful heavy metals and provides CO2 as it breaks down. Yet plant growth can also be impaired under high DOC concentrations, especially by humic substances (HS). HS turn the water brown and attenuate light, which limits macrophyte photosynthesis at greater depths. This leads to lower macrophyte abundance and lower species diversity. HS form a wide class of chemicals with many different functional groups and they therefore have the ability to interfere with many biochemical processes that occur in freshwater organisms. Few studies have looked into the direct effects of HS on macrophytes, but there is evidence that HS can interfere with photosynthesis by entering macrophyte cells and causing damage. DOC can also affect reactivity of heavy metals, water and sediment chemistry. This indirectly affects macrophytes too, so they are exposed to multiple stressors that may have contradictive effects. Finally, macrophytes can affect DOC quality and quantity as they produce DOC themselves and provide a substrate to heterotrophic bacteria that degrade DOC. Because macrophytes take a key position in the aquatic ecosystem, it is essential to understand to what extent DOC quantity and quality in surface water are changing and how this will affect macrophyte growth and species diversity in the future.
... Rhizosphere activities in response to elevated CO2 and phosphorous availability The effect of elevated CO2 on rhizosphere properties is likely to impact on the ability of plants to acquire P from the soil. Elevated CO2 is likely to increase C flow from plant to soil by increasing the release of root exudates (Lin et al., 2000;
Song et al., 2014)
. These exudates contain functional molecules that facilitate an increase in rhizosphere P solubility, and hence improve P nutrition to plants (Richardson et al., 2009;. ...
Climatic changes and their effects on physiological and nutritional status of crop plants: importance and Strategies. A review
Jul 2021
Abou Seeda
<here is a image a2f1cd154e6b5733-6b1d64324145f388> El-Zanaty Abd El-Motaleb Aly Abou El-Nour
Sahar M Zaghloul
Climate change represents one of the greatest research challenges currently faced by plant biologists, agronomists and conservation biologists. Greenhouse gas emissions set to continue to rise for the near future. Impact of elevated atmospheric eCO2 and associated shifts in temperature and precipitation are all expected to impact plant ecophysiology, distribution and interactions with other organisms. Climate change such as drought, flood, high temperature, storm etc. are increased dramatically. Climate change has both direct and indirect impacts on agricultural production systems. Direct impacts include effects caused by a modification of physical characteristics e.g. temperature levels and rainfall distribution on specific agricultural production systems. Indirect impacts are those that affect production through changes on other species such as pollinators, pests, disease vectors and invasive species. These indirect effects can play a major role. They are much more difficult to assess and project given the high number of interacting parameters and links, many of which are still unknown. Climate change influences food security in a very complicated manner, it hampers the agricultural yield directly by means of disturbing the agro-ecological environment and indirectly by putting pressure on growth and circulation of income and consequently, increased the necessity of agricultural products. Impacts of climate change on food security have been calculated in several ways. Consequently, due to climate changes, many regions of cultivated land may become unsuitable for cultivation, and other tropical regions may produce more crops. Temperature instability will also provide more favorable environmental conditions for insect, pests of crops to boost their capacity to stay alive in cold temperatures and then emerge in outbreaks in spring. It is very crucial to observe that in case of food accessibility, all recent calculations for food security and safety have concentrated mainly on the effects of climate change in ways that did not measure the probability of substantial alteration in the rate of climate extremes on crop productivity. The atmospheric eCO2 levels have been progressing from the 280 ppm, preindustrial reference levels to current global levels exceed now above 400 ppm. Although the increasing concentration of atmospheric eCO2 is the main driver of harmful anthropogenic. Climate change, it can also improve crop performance by increasing rates of photosynthesis and water use efficiency (WUE), particularly in C3 plants. The putative positive effect in agriculture is in fact denoted to as the "CO2 fertilization effect" This effect has already been observed in crop plants and vegetables. However, longer treatments with eCO2 might lead to photosynthetic acclimation, due to increased soluble sugars leading to an imbalanced C: N ratio, accelerated leaf senescence and/or limited growth rate.
... Aquatic macrophytes play a crucial role in carbon storage in aquatic systems. However, aquatic macrophytes are affected by increasing carbon concentrations which are related to rising CO2 emissions, which increase organic matter production by aquatic primary producers
[17]
. ...
Ecosystem Organic Carbon Stock Estimations in the Sile River, North Eastern Italy
<here is a image 0cfcaa3f83397c98-c438649e3fe3cf85> Alessandro Buosi
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Yari Tomio
<here is a image 71dc02af1ea9d85b-b46e84aa08e59413> abdul-salam Juhmani
<here is a image 8986132969cb2e6c-e6a077b829c0c2f6> Adriano Sfriso
River ecosystems are one of the dynamic components of the terrestrial carbon cycle that provide a crucial function in ecosystem processes and high value to ecosystem services. A large amount of carbon is transported from terrestrial to the ocean through river flows. In order to evaluate the contribution of Sile River ecosystem to the global carbon stock, the river ecosystem Organic Carbon (OC) stock was quantified for sediments and dominant submerged aquatic macrophytes (SAMs) during the two sampling periods at three different stations along the Sile River (North Eastern Italy). The total mean ecosystem OC stock was 95.2 ± 13.8 Mg C ha −1 while those of SAMs ranged from 7.0 to 10.9 Mg C ha −1 which accounted for approx. 10% of the total OC stock. The total aboveground biomass retains approx. 90% of the SAM carbon stock, with a mean of 8.9 ± 1.6 Mg C ha−1. The mean sediment OC stock was 86.6 ± 14.5 Mg C ha −1 with low seasonal variations among the sites. Indeed, various environmental parameters and hydrodynamics appear to affect the accumulation of OC within the river ecosystem. The results highlight the role that freshwater river ecosystems play in the global carbon cycle, which consequently provide a baseline for future river ecosystem monitoring programs. Furthermore, future studies with additional sites and seasonal surveys of the river will enhance our understanding of the effects of global climate change on the river ecosystem and improve the ecosystem services.
... Changes in intracellular metabolites of phytoplankton were also shown to affect higher trophic level organisms that are feeding on them (Rossoll et al., 2012;Cripps et al., 2016). Elevated CO 2 has also been found to promote extracellular organic carbon release in phytoplankton (Torstensson et al., 2013;
Song et al., 2014)
, changing the dynamics of the biological carbon pump and the remineralization of organic carbon. ...
A metabolomic approach to investigate effects of ocean acidification on a polar microalga Chlorella sp
Article
AQUAT TOXICOL
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Yong Hao Tan
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Phaik Eem Lim
<here is a image 3b2699a730ca7e00-edf911ab71c4d3f5> John Beardall
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Siew-Moi Phang
... This supports a previous work illustrating increased available phosphorus in soil, with various crops, including cotton, okra, and mungbean (Prasanna et al. 2014(Prasanna et al. , 2015Manjunath et al. 2016). Increase in CO 2 concentration may have increased the release of root exudates, which enhanced the flow of carbon between soil and plant (Lin et al. 2000;
Song et al. 2014)
. Root exudates influence rhizospheric activity, thereby modulating P availability and P acquisition by plants (Norby et al. 2001;deGraaff et al. 2006;Shen et al. 2011). ...
Interplay of phosphorus doses, cyanobacterial inoculation, and elevated carbon dioxide on yield and phosphorus dynamics in cowpea
Article
Full-text available
ENVIRON MONIT ASSESS
<here is a image 0fd5062569988a04-5a60da3c8d868ad9> Sumit Kumar Dey
Bidisha Chakrabarti
<here is a image 4dee63d0fef5304a-46c2daf8b9f8e074> Tapan Purakayastha
<here is a image 1b09587f5860686c-fd630674cb503203> Himanshu Pathak
Phosphorus (P) demand is likely to increase especially in legumes to harness greater benefits of nitrogen fixation under elevated CO2 condition. In the following study, seed yield and seed P uptake in cowpea increased by 26.8% and 20.9%, respectively, under elevated CO2 level. With an increase in phosphorus dose up to 12 mg kg⁻¹, seed yield enhanced from 2.6 to 5.4 g plant⁻¹. P application and cyanobacterial inoculation increased the microbial activity of soil, leading to increased availability of P. Under elevated CO2 condition, microbial activity, measured as dehydrogenase, acid phosphatase, and alkaline phosphatase activities showed stimulation. Soil available P also increased under elevated CO2 condition and was stimulated by both P application and cyanobacterial inoculation. Higher P uptake in elevated CO2 condition led to lower values of inorganic P in soil. Stepwise regression analysis showed that aboveground P uptake, soil available P, and alkaline phosphatase activity of soil influenced the yield while available P, and organic and inorganic P influenced the aboveground P uptake of the crop. This study revealed that under elevated CO2 condition, P application and cyanobacterial inoculation facilitated P uptake and yield, mediated through enhanced availability of nutrients, in cowpea crop.
Role of Phosphorus in Imparting Abiotic Stress Tolerance to Plants
Chapter
<here is a image 30a66cb4564068b1-8e8b944260e93804> Bhaswatee Baroowa
<here is a image 76b79f82047157cd-71183dc6a3e5d07a> Sreyashi Paul
<here is a image 82fa9e8338c9f667-a87f623981dc423e> Nirmali Gogoi
Phosphorus (P) is one of the most abundant macronutrients in plant tissues and is indispensable for several key plant functions, including energy transfer, photosynthesis, transformation of sugars and starches, nutrient movement within the plant, and transfer of genetic characteristics from one generation to the next. Abiotic stresses such as low and high temperatures, osmotic shock and drought, excess soil moisture, elevated carbon dioxide (CO 2 ) lower the rate of nutrient transport from the root to the shoot by reducing transpiration rates and altering the cell transporter functions. This in turn hampers the growth, development, and yield processes leading to a decline in global crop productivity by more than 50% every year. Tolerance against these adverse environmental conditions is a complex phenomenon involving an array of mechanisms that will be critical in evaluating the impact of climate change and climate variability on crop production. Also, assessing the role of externally applied P in tolerating these unfavourable conditions will give an insight towards management practices against these stresses. In the present chapter, an overview of the influences of these abiotic stresses on various plant processes is provided. The chapter also covers the mitigation options to improve stress tolerance of crops especially through the external application of P that may become a promising strategy for minimizing the impact of climate change in near future.
Differential responses of dominant and rare epiphytic bacteria from a submerged macrophyte to elevated CO2
ENVIRON SCI POLLUT R
<here is a image 9994d93177b006f9-0587dd14e00277b7> Yang Li
Lei Yang
<here is a image fa7c1219ae993a10-6d2fb764d9c16cc4> Fei Ma
<here is a image 5a9e7ed5289f04b2-8ce75f96507967a4> Dan Yu
Epiphytic bacteria develop complex interactions with their host macrophytes and play an important role in the ecological processes in freshwater habitats. However, how dominant and rare taxa respond to elevated atmospheric CO2 remains unclear. A manipulated experiment was carried out to explore the effects of elevated CO2 on the diversity or functional characteristics of leaf epiphytic dominant and rare bacteria from a submerged macrophyte. Three levels (high, medium, normal) of dissolved inorganic carbon (DIC) were applied to the overlying water. The physicochemical properties of the overlying water were measured. Elevated atmospheric CO2 significantly decreased the pH and dissolved oxygen (DO) of overlying water. Proteobacteria, Cyanobacteria, Bacteroidetes, Planctomycetes, and Actinobacteria are the dominant phyla of leaf epiphytic bacteria from Myriophyllum spicatum, occupying over 90% of the accumulated relative abundances. The aquatic DIC level and further pH significantly drove the epiphytic community composition differences among the three DIC levels. For dominant epiphytic bacteria, the functional potential of nutrient processes and mutualistic relationships were strongly affected by a high DIC level, while responses of rare epiphytic bacteria were more related to trace element processes, pathogens, and defense strategies under a high DIC level. Our results showed the responses of epiphytic bacteria to elevated CO2 varied across dominant and rare taxa.
Short-term effects of winter warming and acidification on phytoplankton growth and mortality: more losers than winners in a temperate coastal lagoon
HYDROBIOLOGIA
<here is a image ce83614a61cb68ec-3f802ac1455a1530> Rita B Domingues
<here is a image 07cc3a392a5a2853-879164f20e6256a1> Marcelle Barreto
<here is a image 8b41c4d80a5eb932-d8a520607e4dc865> Vanda Brotas
<here is a image 77b3a51d9d1619b1-4c55f6d23e1ed5c3> Ana Branco Barbosa
Changes in temperature and CO2 are typically associated with climate change, but they also act on shorter time scales, leading to alterations in phytoplankton physiology and community structure. Interactions among stressors may cause synergistic or antagonistic effects on phytoplankton dynamics. Therefore, the main goal of this work is to understand the short-term isolated and interactive effects of warming and high CO2 on phytoplankton nutrient consumption, growth, production, and community structure in the Ria Formosa coastal lagoon (southern Portugal). We performed microcosm experiments with temperature and CO2 manipulation, and dilution experiments under temperature increase, using winter phytoplankton assemblages. Phytoplankton responses were evaluated using inverted and epifluorescence microscopy. Overall, phytoplankton growth and microzooplankton grazing on phytoplankton decreased with warming. Negative antagonist interactions with CO2 alleviated the negative effect of temperature on phytoplankton and cryptophytes. In contrast, higher temperature benefited smaller-sized phytoplankton, namely cyanobacteria and eukaryotic picophytoplankton. Diatom growth was not affected by temperature, probably due to nutrient limitation, but high CO2 had a positive effect on diatoms, alleviating the effect of nutrient limitation. Results suggest that this winter phytoplankton assemblage is well acclimated to ambient conditions, and short-term increases in temperature are detrimental, but can be alleviated by high CO2.
Responses of the large centric diatom Coscinodiscus sp. to interactions between warming, elevated CO 2 , and nitrate availability: Diatom responses to climate changes
LIMNOL OCEANOGR
Pingping Qu
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Fei-Xue Fu
<here is a image c23e04f7c598b97b-0e158d5ed27fa076> D. A. Hutchins
Marine ecosystems are facing multiple anthropogenic global changes, including ocean acidification, warming, and reduced nutrient supplies. Together, these will challenge phytoplankton including large centric diatoms such as Coscinodiscus sp., a group that is important to ocean food webs and carbon export. We investigated the interactive effects of warming, elevated CO2, and nitrate availability on Coscinodiscus growth, elemental stoichiometry, and Fe and C uptake rates in a four-treatment factorial experiment combining two CO2 levels (∼400 ppm and 800 ppm) and two temperatures (16°C and 20°C) across seven nitrate concentrations (1–100 μmol L−1). Higher temperatures led to higher maximum growth rates (μmax), but also higher half-saturation constants for nitrate (K1/2), while elevated CO2 increased K1/2 only at the warmer temperature. Lower μmax/K1/2 ratios under warming and rising CO2 indicated a higher nitrate requirement at these conditions. High temperature decreased cellular P and Si contents and consequently increased N : P and C : Si ratios, especially at ambient CO2. Fe : C uptake ratios responded positively to lower nitrate levels, lower CO2, and warming. Significant interactions between nitrate availability and temperature or CO2 were observed for specific growth rates, chlorophyll a and Si contents, Fe : C, N : P, and Si : C, while temperature and CO2 interactions were only significant for μmax/K1/2 and cellular P content. The mutual interactions among CO2 concentrations, temperature, and nitrate supply may all affect future growth, physiology, and carbon export by Coscinodiscus sp., however, in general warming and nitrate availability appear to be more influential than CO2.
Carbon to volume relationship for dinoflagellates, diatoms and other protist plankton
| https://www.researchgate.net/publication/260835850_Enhanced_dissolved_organic_carbon_production_in_aquatic_ecosystems_in_response_to_elevated_atmospheric_CO2 |
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(PDF) Biomineralisation of 1,2,4-trichlorobenzene in soils by an adapted microbial population
PDF | In laboratory experiments the mineralisation of 14C-labelled 1,2,4-trichlorobenzene (1,2,4-TCB) in soils was studied by direct measurement of the... | Find, read and cite all the research you need on ResearchGate
Biomineralisation of 1,2,4-trichlorobenzene in soils by an adapted microbial population
February 2004
Environmental Pollution127(3):395-401
DOI: 10.1016/j.envpol.2003.08.012
Authors:
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe>
Reiner Schroll
Helmholtz Zentrum München Deutsches Forschungszentrum für Gesundheit und Umwelt (GmbH)
<here is a image 2a46b775da3de6e3-6c393ba537a7a119>
Ferdi Brahushi
Agricultural University of Tirana
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
U Dörfler
U Dörfler
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
S Kühn
S Kühn
Abstract
In laboratory experiments the mineralisation of 14C-labelled 1,2,4-trichlorobenzene (1,2,4-TCB) in soils was studied by direct measurement of the evolved 14CO2. The degradation capacity of the indigenous microbial population was investigated in an agricultural soil and in a soil from a contaminated site. Very low mineralisation of 1% within 23 days was measured in the agricultural soil. Whereas in the soil from the contaminated site the mineralisation occurred very fast and in high rates; up to 62% of the initially applied amount of 1,2,4-TCB were mineralised within 23 days. The transfer of the adapted microbial population into the agricultural soil significantly enhanced the mineralisation of 1,2,4-TCB in this soil, reflecting, that the transferred microbial population survived and maintained its degradation ability in the new microbial ecosystem. Additional nutrition sources ((NH4)2HPO4) increased the mineralisation rates in the first days significantly in the contaminated soil. In the soil from the contaminated site high amounts of non extractable 14C-residues were formed.
Content uploaded by Ferdi Brahushi
Biomineralisation of 1,2,4-trichlorobenzene in soils by an
adapted microbial population
R. Schroll
a
, F. Brahushi
a
,U.Do
¨ rfler
a,
* ,S.Ku
¨ hn
a
, J. Fekete
b
, J.C. Munch
a
a
GSF—National Research Center for Environment and Health, Institute of Soil Ecology, D-85764 Neuherberg, Germany
b
Budapest University of Technology and Economics, Institute of General and Analytical Chemistry, H-111 Budapest, Hungary
Received 30 April 2003; accepted 1 August 2003
‘‘Capsule’’: Enhanced mineralisation of 1,2,4-trichlorobenzene was observed in an agricultural soil by inoculating it with
an adapted microbial community.
Abstract
In laboratory experiments the mineralisation of
14
C-labelled 1,2,4-trichlorobenzene(1,2,4-TCB) in soils was studied by direct measure-
ment of the evolved
14
CO
2
. The degradation capacity of the indigenous microbial population was investigated in an agricultural soil and in a
soil from a contaminated site. Very low mineralisation of 1% within 23 dayswas measured in the agricultural soil. Whereas in the soil from
the contaminated site the mineralisation occurred very fast and in high rates; up to62% of the initially applied amount of 1,2,4-TCB were
mineralised within 23 days. The transfer of the adapted microbial population into the agricultural soil significantly enhanced the miner-
alisation of 1,2,4-TCBin this soil, reflecting, that thetransferred microbial population survived and maintained itsdegradationability in the
new microbial ecosystem. Additional nutrition sources ((NH
4
)
2
HPO
4
) increased the mineralisation rates in the first days significantly in the
contaminated soil. In the soil from the contaminated site high amounts of non extractable
14
C-residues were formed.
# 2003 Elsevier Ltd. All rights reserved.
Keywords: 1,2,4-Trichlorobenzene; Soil; Mineralisation; Adapted microorganisms; Non extractable residues
1. Introduction
1,2,4-Trichlorobenzene (1,2,4-TCB) is one of the most
widely used chlorobenzenes. Due to its use as a dye
carrier, pesticide intermediate, heat-transfer medium,
dielectric fluid in transformers, degreaser, lubricant and
solvent in chemical manufacturing it has become a ubi-
quitous environmental pollutant.
High chlorinatedbenzenes can only be degraded by
preliminary reductive dechlorination ( Beurskens et al.,
1993; Ramanand et al., 1993; Nowak et al., 1996; Prytula
and Pavlostathis, 1996; Chang et el., 1998; Yuan et al.,
1999; Pavlostathis and Prytula, 2000; Wu et al., 2002 ),
whereas lower chlorinated benzenes can be mineralised
under aerobic conditions. Aerobic mineralisation of
mono-, di-, tri- and even tetrachlorobenzenes is reported
( Marinucci and Bartha, 1979, Nishino et al., 1992,
Brunsbach and Reineke, 1995, Yadav et al., 1995, Rapp
and Timmis,1999, Tchelet et al., 1999, Brahushi et al.,
2002, Dermietzel and Vieth, 2002 ). Furthermore, several
pure strains were isolated and described which used
chlorobenzenes as the sole source of carbon and energy
( de Bont et al., 1986; Schraa et al., 1986; van der Meer
et al., 1987; Spain and Nishino, 1987; Haigler et al.,
1988; Sander et al., 1991; Potrawfke et al., 1998 ).
Many biodegradation and mineralisation studies of
1,2,4-TCB in pure cultures and environmental samples
have been performed. The results from these laboratory
experiments are diverse. In aquifer samples no sig-
nificant mineralisation was found for 1,2,4-TCB after
eight months of incubation ( Aelion et al., 1987 ). Under
aerobic conditions 1,2,4-TCB was only degraded in low
amounts in the presence of nutrients (KH
2
PO
4
,
K
2
HPO
4
,Na
2
HPO
4
, (NH
4
)
2
SO
4
, MgSO
4
, FeSO
4
)by
the indigenous microorganisms originated from a con-
taminated aquifer ( Dermietzel and Vieth, 2002 ). Very
low mineralisation rates of 1,2,4-TCB were also repor-
ted in soil ( Scheunert and Korte, 1986, Marinucci and
Bartha, 1979 ); mineral fertilisers or cosubstrates failed
to increase the mineralisation rates ( Marinucci and
Bartha, 1979 ). Moreover, in soil slurry ( Brunsbach and
0269-7491/$ - see front matter # 2003 Elsevier Ltd. All rights reserved.
doi:10.1016/j.envpol.2003.08.012
Environmental Pollution 127 (2004) 395–401
www.elsevier.com/locate/envpol
*Corresponding author. Fax: +49-89-3187-3376.
E-mail address: doerfl[email protected] (U. Do
¨ rfler).
Reineke, 1994 ) and activated sludge ( Freitag et al.,
1985 ) 1,2,4-TCB was not degraded, but after inocul-
ation of the soil slurry with a Pseudomonas aeruginosa
strain, which is a known mono- and 1,4-dichloro-
benzene-degrading organism, 1,2,4-TCB was co-meta-
bolized, but the degradation was incomplete and stopped
when mono- and 1,4-dichlorobenzene were totally con-
sumed ( Brunsbach and Reineke, 1994 ). The native
microbial population of sandy sediments from the river
Rhine was not able to degrade 1,2,4-TCB; inoculation of
the percolation columns with Pseudomonas sp. strain P51
however resulted in rapid degradation,as was measured
by disappearance of 1,2,4-TCB ( van der Meer et al.,
1987 ). Tchelet et al. (1999) investigated the survival of
Pseudomonas sp. strain P51 after its release into two
experimental systems. When strain P51 was released
into microcosms of water saturated sandy river sedi-
ments it remained active and was able to degrade
1,2,4-TCB since profile measurements along the length
of the column showed a clear decrease in 1,2,4-TCB
concentration; but when Pseudomonas sp. strain P51
was released into sludge microcosms it did not survive.
In a BBA standard soil inoculated with Burkholderiasp.
strain PS14 the initially applied 1,2,4-TCB concen-
tration of 54.4 ppb fell below the detection limit of 0.09
ppb within an incubation time of 72 h and mineralisa-
tion amounted to 80% as was recorded by indirect
measurement of CO
2
( Rapp and Timmis, 1999 ). Sander
et al. (1991) elucidated the metabolic pathway for
1,2,4-TCB degradation by Pseudomonas sp. PS12 which
was isolated from soil samples of an industrial waste
deposit. This microbial species degrades 1,2,4-TCB via a
chlorinated dihydrodiol (3,4,6-trichloro-1,2-dihydroxy-
cyclohexa-3,5-diene), a chloro-substituted catecol
(3,4,6-Trichlorocatecol) and a chlorinated muconic acid
(2,3,5-trichloro- cis , cis -muconic acid) to the central
metabolic intermediates succinate (2,5-dichloro-4-car-
boxy-methylenebut-2-en-4-olide) and (chloro)acetate
(2,5-dichloromaleylacetic acid).
The reported data show that biodegradation of
1,2,4-TCB in natural samples occur in very low rates
due to insufficient degradation capacity and slow adap-
tation of the indigenous microorganisms. By inocul-
ation with specialised bacteria the biodegradation of
1,2,4-TCB could be enhanced. But the release of these
strains may be related with difficulties because they
often are not able to maintain their activity in natural
ecosystems and even do not survive. Moreover the
reported data are often based on the disappearance of
the parent compound and processes like volatilisation
and formation of bound residues which are also
involved in the fate of a xenobiotic in soil environments
are not considered.
The main objective of our study was to find an applic-
able method to enhance the in situ biodegradation of
1,2,4-TCB in soils by inoculating them with a microbial
community with known degradation ability. Since an
overall evaluation of the fate and behaviour of a xeno-
biotic in soils is only possible when all relevant pro-
cesses are considered, we conducted our experiments
with
14
C-1,2,4-TCB and measured not only mineralisa-
tion directly but also volatilisation and formation of
nonextractable residues. The use of the
14
C-technique
enabled the establishment of a
14
C mass balance. The
experiments were performed in a special closed laboratory
system which allowed a clear separation between miner-
alisation and volatilisation processes aswell asthe deter-
mination of soil respiration as a microbial activity
parameter. Mineralisation of
14
C-1,2,4-TCB was first
studied in soils from anagricultural and acontaminated
site to evaluate the degradation capacity of the indigenous
microorganisms. In afurther approach, it was investigated
whether the mineralisation potential in the agricultural
soil could be enhanced by inoculation with the adapted
microbial community ofthe soil from a contaminated site.
2. Materials and methods
2.1. Chemicals
Uniformly
14
C-ring-labelled 1,2,4-trichlorobenzene
(purity > 98%, specific radioactivity 185 MBq/mMol)
was obtained from International Isotope (Munich,
Germany). Non labelled 1,2,4-trichlorobenzene was
purchased from Dr. Ehrenstorfer (purity > 99.5%,
Augsburg, Germany). The solvents were of analytical
grade and were purchased from Merck (Darmstadt,
Germany). The scintillation cocktails were obtained
from Packard (Dreieich, Germany).
2.2.Soil materials
For the model mineralisation experiments two differ-
ent soil samples were used: an agricultural soil (AS) and
a nonagricultural soil from a 1,2,4-TCB contaminated
site (CS). In this soil the concentration of 1,2,4-tri-
chlorobenzene amounted to 5.36 m g/g soil. Soils were
sampled from the upper 20cm, sieved ( < 2 mm) and
stored at 4 C for 1 month. Prior to starting the laboratory
experiments, the soil samples were equilibrated for one
week at 20 1 C and 50% of the water holding capacity
(WHC). Some of the soil samples were homogeneously
mixed with fertiliser and inoculum before they were equi-
librated. Some soil properties are listed in Table 1 .
2.3.Spiking of soil samples
14
C-1,2,4-TCB, mixed with unlabelled 1,2,4-TCB was
dissolved in n -hexane and applied to an aliquot of 3.5 g
dried and pulverised soil sample in a 50 ml beaker glass.
After evaporation of n-hexane the soil aliquot was
396 R.Schroll etal. / EnvironmentalPollution127 (2004)395–401
carefully stirred with a spatula and then transferred to a
200 ml beaker glass where it was mixed with 46.5 g(dry
weight equivalent) of equilibrated soil. The spiked soil
sample was transferred to the incubation flask, adjusted
to 60% of WHC and connected to the closed laboratory
system ( Fig. 1 ). The
14
C-losses during application
amounted to 19.5 ( 1.8)%, as measured in preliminary
experiments. Regarding these losses, the initial amount
of
14
C-1,2,4-TCB in each soil sample was 5 ( 0.1) mg/g
soil (dry weight), corresponding to 23.5 ( 0.47) kBq.
2.4.Mineralisation experiments
The mineralisation of
14
C-1,2,4-TCB to
14
CO
2
was
studied in a closed aerated laboratory system, as descri-
bed previously ( Brahushi et al., 2002 ). The soil samples
were incubated at 20 1 C for 23 days in the dark. At
the sampling times the system was aerated for 1h with
humidified CO
2
free air (1.0 l h
1
) and the
14
C-volatile
substances, the evolved
14
CO
2
from mineralisation of
14
C-1,2,4-TCB and CO
2
from soil respiration were
absorbed in special traps. First sampling of the liquids
in the traps was three days after application and then
three times per week. For details see Brahushi et al.
(2002) . Since 1,2,4-TCB is a volatile compound it was
important, to use a laboratory system which allowed a
strict separation between volatilised and mineralised
radioactivity, otherwise the process of mineralisation
would be overestimated ( Brahushi et al., 2002 ). Trapped
CO
2
from microbial respiration was determined
according to the method of Isermeyer (1952) . Biomi-
neralisation of
14
C-1,2,4-trichlorobenzene was investi-
gated in the agricultural soil (AS) and in the soil from
the contaminated site (CS). Since soil CS was a non
agricultural soil it was amended with a fertilizer
((NH
4
)
2
HPO
4
, 2 mg/g soil). In another approach agri-
cultural soil material was supplied with 5% of CS (dry
weight), to investigate, whether the addition of soil
material that contains 1,2,4-TCB adapted microorgan-
isms could enhance the mineralisation of 1,2,4-TCB ina
soil, where the indigenous microbial population was not
exposed to a chlorobenzene contamination. The experi-
ments were conducted in three replicates.
2.5.Soil residues
At the end of the mineralisation experiments the soil
samples were extracted. Three extraction methods
(accelerated solvent extraction (ASE), soxhlet extrac-
tion, and column extraction) were tested for their
extraction efficiency of 1,2,4-trichlorobenzene from soil.
For these tests, the
14
C-1,2,4-trichlorobenzene standard
was applied prior to the extraction procedure directly to
the soil in the ASE cell, the soxhlet thimble, or the glass
column. Accelerated solvent extraction was performed
in an ASE-200 (Dionex, Idstein, Germany) at a tem-
perature of 90 C and a pressure of 10 MPa. Soxhlet
extraction was conducted in a soxhlet apparatus for 8 h
at 60 C, the cooler was kept at a temperature of 10 C
to minimise the losses during the extraction process and
column extraction was carried out in a glass column
(50 2.5 cm). A mixture of hexane/acetone (3:1 v/v) was
used as extraction solvent in each extraction method.
The extraction efficiency experiments were conducted in
Table 1
Physical and chemical properties of the soil samples (AS=soil from an
agricultural site, CS=soil from a contaminated site, top soil 0 – 20 cm)
Soil
AS CS
Clay (%)2424
Silt (%)6065
Sand (%)1611
pH (CaCl
2
)7.1 7.2
Corg. (%)1.681.96
N total (%)0.180.14
P
2
O
5
(mg/100 g soil)221.8
C/N ratio9.3/114/1
Fig. 1.Closed laboratory system: 1=humidifier (distilled water),2=incubation flask with soil sample, 3=cryostate (20 C), 4=cryostate ( 10 C),
5=traps (cooled) for volatile organic substances (10 ml ethyleneglycolmonomethylether), 6=traps for CO
2
(15 ml 0.1N NaOH), 7=gas flow meter,
8=Woulfe‘s bottle, 9=charcoal filter, 10=pump.
R.Schroll etal. / EnvironmentalPollution127 (2004)395–401 397
three replicates. For determination of radioactivity in
liquid samples, aliquots of the sample were mixed witha
scintillation cocktail (Ultima Gold XR) and measured
in a liquid scintillation counter (Tricarb 1900 TR,
Packard, Dreieich, Germany).
The extraction recoveries of
14
C-1,2,4-TCB from soil
for the tested extraction methods were 88.0 3.3%,
92.9 14.5% and 86.8 7.6% for accelerated solvent
extraction, soxhlet extraction and column extraction,
respectively. Since there were no significant differences
between the extraction efficiencies of the three tested
methods, we used ASE for the extraction of 1,2,4-TCB
from the soil samples, which consumes less time and
solvents than the other extraction techniques.
The residual radioactivity in the soil after extraction
(non extractable residues) was determined by combust-
ing aliquots of the soil samples (Oxidizer 306, Packard,
Dreieich, Germany), trapping the evolved
14
CO
2
in
Carbo-Sorb E (Packard, Dreieich, Germany) and mix-
ing it with Permafluor E (Packard, Dreieich, Germany)
prior to liquid scintillation counting.
The sum of
14
C-volatile compounds,
14
CO
2
, extrac-
table and non extractable
14
C-residues, allowed the
establishment of a
14
C mass balance.
3. Results
3.1.Mineralisation of
14
C-1,2,4-TCB
Mineralisation of 1,2,4-TCB was followed for a per-
iod of 23 days after application ( Fig. 2 ). High rates of
mineralisation were observed in soil CS. Within the first
3 daysofincubation about 44% of 1,2,4-TCB was con-
verted to CO
2
in soil CS with additional NP fertiliser,
whereas in the same soilwithout NP fertiliser only 15%
were mineralised. But after 23 daysof incubation no sig-
nificant differences could be observed between the two
treatments: 62 and 61% of applied
14
C-1,2,4-TCB were
recovered as
14
CO
2
from soil CS without NP and from soil
CS with NP, respectively. Incontrast, very low miner-
alisation of 1% wasmeasuredin soil AS after the incu-
bation time of 23 days. Addition of 5% soil CS to soil AS
however strongly enhanced the mineralisation rate, result-
ing in 51% mineralisation of 1,2,4-TCB within 23 days.
In all treatments the mineralisation of 1,2,4-TCB
started without a lag phase. In soil CS with NP-addition
and without NP-addition the time courses of
14
CO
2
production were different. NP addition led to high
mineralisation rates in the first days of incubation and
the mineralisation curve reached a plateau after the first
week of incubation. Without NP addition mineralisa-
tion occurred in lower rates in the first days and the
plateau phase was reached later. Mineralisation of
1,2,4-TCB in soil AS inoculated with soil CS showed a
similar time course as in soil CS+NP which waschar-
acterised by high rates of mineralisation during the first
week of incubation, and decreasing rates with increasing
incubation time. In soil AS without inoculum the
mineralisation rates increased continuously, but in very
much lower rates than in the other treatments.
3.2.Soil respiration
To evaluate the microbial activity in the investigated
soils the total evolution of CO
2
was determined during
Fig. 2.Mineralisation of
14
C-1,2,4-trichlorobenzene in soils from a contaminated site (CS) and an agricultural site (AS) during 23 days ( n =3,
S.D.). Soil CS was amended with fertiliser (CS+NP) and soil AS was inoculated with 5% of soil CS (AS+inoc. CS).
398 R.Schroll etal. / EnvironmentalPollution127 (2004)395–401
the whole incubation time. Generally, soil respiration
rates decreased with time in all treatments ( Fig. 3 ). In
soil CS the addition of NP led to a striking increase of
the microbial activity. Inoculating the soil AS with soil
CS had no effect on the soil respiration.
3.3.Soil residues
The extractable and non extractable
14
C-residues in
the incubated soil samples varied considerably between
the soils CS and AS ( Table 2 ). In soil AS without
inoculum the extractable residues were between 64 and
74% and the non extractable residues were in the range
of 3–4% of the applied radioactivity. Whereasin soil CS
the extractable residues were very much lower (9%)
with corresponding higher non extractable residues
(25%). A similar distribution was observed in soil AS
inoculated with soil CS: 15% extractable residues and
25% non extractable residues. The total recoveries of
14
C-radioactivity after the end of the experiments ran-
ged from 75 to 100% of the applied radioactivity
( Table 2).
4. Discussion
The very low rates of mineralisation observed in soil
AS indicate that the native microbial population was
not adapted to 1,2,4-TCB. The observed low miner-
alisation in soil AS is in agreement with the results of
former biodegradation studies of 1,2,4-TCB which were
performed in arable soil ( Scheunert and Korte, 1986,
Marinucci and Bartha, 1979 ), soil slurry (Brunsbach
and Reineke, 1994 ) and aquifer solid samples ( Aelion et
al., 1987 ). The occurrence of mineralisation in very low
rates could be an indicator that the native microbial
population of the agricultural soil had a potential ability
for 1,2,4-TCB mineralisation but since the applied
14
C-1,2,4-TCB was not 100% pure, the measured
14
CO
2
production could also be due to the mineralisation of
radiochemical impurities.
In contrast, the mineralisation of 1,2,4-TCB in soil CS
occurred in high rates up to 62%, because the indigen-
ous microbial population of this soil was adapted to
1,2,4-TCB for 25 years and was therefore able to
mineralise the contaminant in high amounts. Thus, the
Fig. 3.The rates of total CO
2
production from soils from a contaminated site (CS) and an agricultural site (AS) during 23 days ( n =3, S.D.). Soil
CS was amended with fertiliser (CS+NP) and soil AS was inoculated with 5% of soil CS (AS+inoc. CS).
Table 2
Distribution and mass balance of
14
C-1,2,4-TCB in the incubated soil samples (CS=soil from a contaminated site; AS=soil from an agricultural
site; CS+NP=soil CS with fertiliser; AS+inoculum CS=soil AS, inoculated with 5% of soil CS) after 23 days of incubation (in % of applied
radioactivity, n =3, S.D.)
Treatments
14
CO
2 14
C-volatile substances
14
C-extractable
14
C-non extractable
14
C-recovery
Soil CS60.5 4.8 5.0 3.2 9.0 0.7 25.0 1.0 99.5 6.8
Soil CS+NP62.3 3.9 1.0 0.2 8.6 1.3 23.9 1.3 95.8 6.0
Soil AS1.0 0.1 5.6 0.3 64.1 5.9 4.2 0.4 74.9 6.1
Soil AS+inoculum CS50.9 2.2 2.8 4.1 14.7 1.0 17.9 0.3 86.3 4.3
R.Schroll etal. / EnvironmentalPollution127 (2004)395–401 399
degradation ability of microorganisms appears to be
closely dependent on their long-term adaptation to
contaminated habitats as has been previously supposed
by van der Meer et al. (1998) . The transfer of the adap-
ted microbial community from soil CS into the agri-
cultural soil significantly enhanced the mineralisation of
1,2,4-TCB in soil AS, reflecting, that the degrading
capability of the transferred microbial population was
conserved and that it was able to perform its degrada-
tion potential in soil AS. Rapp and Timmis (1999)
reported a higher mineralisation rate of 80% for
1,2,4-TCB in a soil inoculated with Burkholderiasp.
Strain PS14. But these results cannot be directly com-
pared with our data since the experiments of Rapp and
Timmis (1999) were conducted at higher temperature
(30 C) and the mineralisation was estimated by an
indirect measurement of the evolved CO
2
. In addition,
the quantification of non extractable residues was not
performed.
The mineralisation dynamics of 1,2,4-TCB in soil AS
showed the typical pattern of co-metabolic degradation:
first order kinetics and slow degradation rates ( Bending
et al., 2003 ). The mineralisation curves of 1,2,4-TCB in
soil CS and in inoculated soil AS however showed an
exponential phase of degradation and a high rate of
total mineralisation. The same mineralisation kinetic
was found in previous experiments with
14
C-glucose
(Ku
¨ hn et al., 2003, unpublished). This indicates a meta-
bolic rather than a co-metabolic degradation.
In soil CS the microbial community was influenced by
a relative nitrogen deficiency as could be seen from the
C/N ratio; the phosphorous content was also very low.
Addition of NP fertiliser therefore led to a striking
increase of the microbial respiration in this soil. The
increase of microbial activity significantly enhanced the
mineralisation rates in the first days of incubation. But
when soil CS was not amended with NP the microbial
community was also able to mineralise 1,2,4-TCB,
though the microbial activity was not increased. Under
these suboptimal nitrogen and phosphorous conditions
the mineralisation rates were lower in the first days but
after about 20 days the extent of mineralisation had
reached the same values than in the NP amended soil
CS. These results indicate that (1) the adapted microbial
population in soil CS had a very strong mineralisation
capability for 1,2,4-TCB which was even maintained
under suboptimal nitrogen and phosphorous conditions
when the total soil respiration was low, (2) additional
nitrogen and phosphorous had only an effect in the first
days where it strikingly enhanced the mineralisation,
and (3) in a long-term range the extent of mineralisation
was not dependent from additional NP sources. It seems
that
14
CO
2
was produced until a plateau was reached
above which no further mineralisation of 1,2,4-TCB
could be measured. Additional NP nutrients had there-
fore only a positive effect before the plateau was
reached. On the other side, under suboptimal nitrogen
and phosphorous conditions the microbial community
was also able to mineralise 1,2,4-TCB up to the same
CO
2
plateau, but in this case more time was needed till
this plateau was reached. In inoculated soil AS no
increase of the microbial activity could be observed but
the mineralisation rate was significantly increased com-
pared with non inoculated soil AS. This should be due
to the change of the active microbial population by
introducing the inoculum; it also indicates, that the
degrading potential of this microbial consortium does
not depend on the total soil respiration, as already dis-
cussed above.
In soil AS only low amounts of non extractable resi-
dues were formed. The formation of non extractable
residues is often explained by binding of a xenobiotic to
the soil matrix, specially to the soil organic matter.
Therefore it should be expected that the formation rates
of non extractable residues should be similar in soil AS
and soil CS since the chemical-physical properties of
these soils did not differ very much. But in soil CSsig-
nificantly higher amounts of non extractable residues
were formed, moreover, the mineralisation of 1,2,4-TCB
was very much higher than in soil AS. Thus, thestrong
formation of non extractable residues is related to the
microbial activity of 1,2,4-TCB degrading microbes.
This becomes also evident by the fact, that after inocu-
lation of soil AS the formation of non extractable resi-
dues as well as 1,2,4-TCB mineralisation were enhanced.
The much higher formation of non extractable residues
in soil CS and in the inoculated soil AS could therefore
be due to the binding or incorporation of 1,2,4-TCB and
its degradation and mineralisation products not only to
the soil matrix but also to the microbial biomass.
Since 1,2,4-TCB is a volatile substance the biode-
gradation studies were complicated by the volatility of
this compound. We tried to overcome these difficulties
by using a specially designed laboratory system. But it
was not possible to avoid the losses completely, the
established
14
C-mass balances varied from 75 to 100%.
When the transformation rates of 1,2,4-TCB (miner-
alisation and formation of bound residues) were high,
the
14
C-recoveries were quite good, but with decreasing
transformation rates, the
14
C-recoveries also decreased.
Therefore, the losses could be due to the volatile parent
compound which could be lost during incubation time
and after removing the soil sample from the incubation
flask for further analysis. Especially, handling of the soil
after disconnection from the closed test system can
cause considerable losses of the parent compoundas
could be seen during the application process, where
18% of the initially applied 1,2,4-TCB was lost. Fur-
thermore, the established
14
C-mass balances indicate
that 1,2,4-TCB was mineralised by direct ring cleavage
without formation of dechlorinated intermediates like
dichlorobenzenes or monochlorobenzene. Otherwise, in
400 R.Schroll etal. / EnvironmentalPollution127 (2004)395–401
soil CS where 1,2,4-TCB was mineralised to a high
extent, the formation of highly volatile dechlorination
products during the mineralisation process should have
resulted in lower
14
C-recoveries. Moreover the dechlor-
ination process takes place under reductive conditions
and starts only after a considerable lag phase, as pre-
vious experiments have shown ( Brahushi et al., 2003,
unpublished ). Establishing a
14
C mass balance is not only
helpful to control the correct handling of the experi-
mental set up but it also supports the overall evaluation
of the behaviour of the investigated pollutant.
The results of the current study indicate that the
adapted microbial population of a soil from a
1,2,4-TCB contaminated site was able to mineralise
1,2,4-TCB in considerable amounts. When this adapted
microbial community was transferred to another soil it
conserved its degradation ability. The very low miner-
alisation rates in an agricultural soil could therefore be
considerably enhanced.
References
Aelion, C.M., Swindoll, C.M., Pfaender, F.K., 1987. Adaptation to
and biodegradation of xenobiotic compounds by microbial com-
munities from a pristine aquifer. Appl. Environ. Microbiol. 53,
2212–2217.
| https://www.researchgate.net/publication/8991211_Biomineralisation_of_124-trichlorobenzene_in_soils_by_an_adapted_microbial_population?_sg%5B0%5D=started_experiment_milestone |
Conceptual Assessment Framework for Forested Wetland Restoration: The Pen Branch Experience. Restoration of a Severely Impacted Riparian Wetland System - The Pen Branch Project (Journal Article) | OSTI.GOV
The U.S. Department of Energy's Office of Scientific and Technical Information
Title: Conceptual Assessment Framework for Forested Wetland Restoration: The Pen Branch Experience. Restoration of a Severely Impacted Riparian Wetland System - The Pen Branch Project
Abstract
Development of an assessment framework and indicators can be used to evaluate effectiveness of wetland restoration. Example of these include index of biotic integrity and the hydrogeomorphic method. Both approaches provide qualitative ranks. We propose a new method based on the EPA wetland research program. Similar to other methods, indexes are compared to reference communities; however, the comparisons are quantitative. In this paper we discuss the results of our framework using the Pen Branch riparian wetland system as an example.
Authors:
Kolka, R;Nelson, E A; Trettin, C C
Publication Date:
2000-10-01
Research Org.:
USDA Forest Service, Savannah River, New Ellenton, SC (US)
Sponsoring Org.:
(US)
OSTI Identifier:
807723
DOE Contract Number:
AI09-00SR22188
Resource Type:
Journal Article
Journal Name:
Ecological Engineering
Additional Journal Information:
Journal Volume: 15; Journal Issue: 1; Other Information: PBD: 1 Oct 2000; Journal ID: ISSN 0925-8574
Country of Publication:
United States
Language:
English
Subject:
54 ENVIRONMENTAL SCIENCES; WETLANDS; FORESTS; LAND RECLAMATION; PERFORMANCE; EVALUATION; RESTORATION; RIPARIAN SYSTEMS; IBI; HGM
Restoration of a Severely Impacted Riparian Wetland System-The Pen Branch Project
Journal Article Barton, C; Nelson, E; Kolka, R; ... - Ecological Engineering
The Pen Banch riparian wetland system was impacted by hot water releases from the reactor operations at the SRS. Several hundred acres of swamp and bottomland forest were destroyed and degraded as a result of thermal effects and sedimentation. The SRS developed a plan to restore the system based upon planting both early and last successional tree species. The goal was to develop a
https://doi.org/10.1016/S0925-8574(99)00084-1
Use of fish community data to evaluate restoration success of a riparian stream.
Journal Article
From 1985 to 1988, stream and riparian habitats in Pen branch and Four Mile branch began recovering from deforestation caused by the previous release of hot water from nuclear reactors. The Pen branch corridor was replanted with wetland trees in 1995 to expedite recovery and restore the Pen branch ecosystem. Pen branch, Four Mile branch, and two relatively undisturbed streams were electrofished in 1995:1996 to determine how fish assemblages differed between the previously disturbed and undisturbed streams and whether such difference could be used to measure restoration success in Pen branch. Fish assemblages were analyzed using nonparametric multivariate statistical methods more » and the index of biotic integrity (IBI), a bioassessment method based on measurement of ecologically sensitive characteristics of fish assemblages. Many aspects of fish assemblage structure (e.g. species richness, disease incidence, taxonomic composition at the family level) did not differ between disturbed and undisturbed streams; however, the disturbed streams were characterized by higher densities of a number of species. These differences were successfully detected with the multivariate statistical methods; whereas, the IBI did not differ between most recovering and undisturbed sampling sites. Because fish assemblages are strongly influenced by instream habitat, and because instream habitat is strongly influenced by the riparian zone, fish assemblages can be used to measure restoration success. Nonparametric ordination methods may provide the most sensitive measure of progress towards restoration goals, although the IBI can be used during early stages of recovery to indicate when certain ecologically important aspects of structure and function in recovering streams have reached levels typical of undisturbed streams. « less
Application of EPA wetland research program approach to a floodplain wetland restoration assessment.
Journal Article
Kolka, R.K., C.C. Trettin, E.A. Nelson, C.D. Barton, and D.E. Fletcher. 2002. Application of the EPA Wetland Research Program Approach to a floodplain wetland restoration assessment. J. Env. Monitoring & Restoration 1(1):37-51. Forested wetland restoration assessment is difficult because of the timeframe necessary for the development of a forest ecosystem. The development of a forested wetland ecosystem includes the recovery of hydrology, soils, vegetation, and faunal communities. To assess forested wetland restoration projects, measures need to be developed that are sensitive to early changes in community development and are predictive of future conditions. In this study we apply the EPS's more » Wetland Research Program's (WRP) approach to assess the recovery of two thermally altered riparian wetland systems in South Carolina. In one of the altered wetland systems, approximately 75% of the wetland was planted with bottomland tree seedlings in an effort to hasten recovery. Individual studies addressing hydrology, soils, vegetation, and faunal communities indicate variable recovery responses. « less
https://doi.org/10.4029/2002jemrest1no13
Restoration of a forested wetland ecosystem in a thermally impacted stream corridor
Conference Nelson, E; McKee, Jr, W; Dulohery, C
The Savannah River Swamp is a 3,020 Ha forested wetland on the floodplain of the Savannah River and is located on the Department of Energy`s Savannah River Site (SRS). Major impacts to the swamp hydrology occurred with the completion of the production reactors and one coal-fired powerhouse at the SRS in the early 1950`s. Water was pumped from the Savannah River, through secondary heat exchangers of the reactors, and discharged into three of the tributary streams that flow into the swamp. This continued from 1954 to 1988 at various levels. The sustained increases in water volume resulted in overflow of more » the original stream banks and the creation of additional floodplains. Accompanying this was considerable erosion of the original stream corridor and deposition of a deep silt layer on the newly formed delta. Heated water was discharged directly into Pen Branch and water temperature in the stream often exceeded 50 C. The nearly continuous flood of the swamp, the thermal load of the water, and the heavy silting resulted in complete mortality of the original vegetation in large areas of the floodplain. Research has been ongoing to determine methods to reintroduce tree species characteristic of more mature forested wetlands. The goal of the restoration is to create structural and biological diversity in the forest canopy by establishing a mix of species typically present in riparian and wetland forests of the area. « less
Operational restoration of the Pen Branch bottomland hardwood and swamp wetlands - the research setting
Journal Article Nelson, E - Ecological Engineering
The Savannah River Swamp is a 3020 Ha forested wetland on the floodplain of the Savannah River and is located on the Department of Energy's Savannah River Site (SRS) near Aiken, SC. Historically the swamp consisted of approximately 50 percent bald cypress-water tupelo stands, 40 percent mixed bottomland hardwood stands, and 10 percent shrub, marsh, and open water. Creek corridors were typical of Southeastern bottomland hardwood forests. The hydrology was controlled by flooding of the Savannah River and by flow from four creeks that drain into the swamp prior to flow into the Savannah River. Upstream dams have caused some more » alteration of the water levels and timing of flooding within the floodplain. Major impacts to the swamp hydrology occurred with the completion of the production reactors and one coal-fired powerhouse at the SRS in the early 1950's. Water was pumped from the Savannah River, through secondary heat exchangers of the reactors, and discharged into three of the tributary streams that flow into the swamp. Flow in one of the tributaries, Pen Branch, was typically 0.3 m3 s-1 (10-20) cfs prior to reactor pumping and 11.0 m3 s-1 (400 cfs) during pumping. This continued from 1954 to 1988 at various levels. The sustained increases in water volume resulted in overflow of the original stream banks and the creation of additional floodplains. Accompanying this was considerable erosion of the original stream corridor and deposition of a deep silt layer on the newly formed delta. Heated water was discharged directly into Pen Branch and water temperature in the stream often exceeded 65 degrees C. The nearly continuous flooding of the swamp, the thermal load of the water, and the heavy silting resulted in complete mortality of the original vegetation in large areas of the floodplain. In the years since pumping was reduced, early succession has begun in some affected areas. Most of this has been herbs, grasses, and shrubs. Areas that have seedlings are generally willow thickets that support a lower diversity of wildlife. No volunteer seedlings of heavy-seeded hardwoods or cypress have been found in the corridor areas. Research was conducted to determine methods to reintroduce tree species characteristic of more mature forested wetlands. Three restoration strategies were formulated to deal with the differing conditions of the Upper Corridor, the Lower Corridor, and the Delta regions of the impacted area. Site preparation and planting of each area with mixtures of tree species were carried out to speed the restoration of the ecosystem. Species composition and selection were altered based on the current and expected hydrological regimes that the reforestation areas will be experiencing. Because of the operational design of the restoration project, a research program naturally followed to document the success. Many of those efforts are detailed here. « less
https://doi.org/10.1016/S0925-8574(99)00069-5
| https://www.osti.gov/biblio/807723 |
(PDF) Prevalence and Predictors of Sexually Transmitted Infections in Hazardously-Drinking Incarcerated Women
PDF | Incarcerated women are at high risk for sexually transmitted infections. Left untreated, these infections can have severe adverse health effects.... | Find, read and cite all the research you need on ResearchGate
Prevalence and Predictors of Sexually Transmitted Infections in Hazardously-Drinking Incarcerated Women
March 2012
Women & Health 52(2):119-34
DOI: 10.1080/03630242.2011.649396
Abstract
Incarcerated women are at high risk for sexually transmitted infections. Left untreated, these infections can have severe adverse health effects. In this study the authors present prevalence rates of trichomonas, chlamydia, and gonorrhea, and factors related to having a sexually transmitted infection in a sample of 245 hazardously-drinking incarcerated women who reported heterosexual intercourse in the previous 3 months. Vaginal swabs were collected following the self-report baseline assessment. Participants averaged 34.0 (±8.8) years of age; 174 (71.3%) were non-Hispanic Caucasian, 47 (19.3%) were African-American, 17 (7.0%) were Hispanic, and 6 (2.5%) were of other racial or ethnic origins. Twenty-three percent of participants tested positive for chlamydia, trichomonas, or gonorrhea. Being African-American, more frequent sex with a casual partner, and reporting more than one male partner were significantly positively related to sexually transmitted infection, while more frequent sex with a main partner was inversely related. Due to the high rates of infection in this population, jail admission provides a public health opportunity to access a concentrated group of sexually transmitted infectious women. Sexually transmitted infection testing targeted at specific demographic factors, for instance younger age, will miss infected women. Risky sexual partnerships, as well as the benefit of maintaining stable main partnerships may be important topics during sexually transmitted infection prevention interventions.
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... Low socioeconomic status and level of education was observed among female prisoners (8,(11)(12)(16)(17)(20)(21)(24)(25)28) . Prisoners come from marginalized social groups located in suburbs and urban centers (11,20) , from unstructured family nuclei (11,17,22) , belonging to racial and ethnic minorities (8,10,12,(14)
(15)
(18)(19)22,24,(27)(28). They are mostly young (11,13,20,27) , some were homeless (11)(12)24,28) , victims of domestic (12) and gender (11,25,28) violence, with a history of sexual and physical abuse or (8,(11)(12)17,22,26,28) who were unemployed or engaged in low-paid works (11,13,25) , which often determined their involvement with prostitution (10)(11)(14)(15)(16)18,26) with crime under the influence of affective-sexual partners (13) . ...
... Prisoners come from marginalized social groups located in suburbs and urban centers (11,20) , from unstructured family nuclei (11,17,22) , belonging to racial and ethnic minorities (8,10,12,(14)(15)(18)(19)22,24,(27)(28). They are mostly young (11,13,20,27) , some were homeless (11)(12)24,28) , victims of domestic (12) and gender (11,25,28) violence, with a history of sexual and physical abuse or (8,(11)(12)17,22,26,28) who were unemployed or engaged in low-paid works (11,13,25) , which often determined their involvement with prostitution (10)(11)(14)
(15)
(16)18,26) with crime under the influence of affective-sexual partners (13) . Imprisonment would happen mainly due to drug use and/or trafficking (8,(11)(12)15,(22)(23)26,28) , with probability of criminal recidivism (25,28) and difficulties of social reintegration due to postincarceration stigma (28) . ...
... They are mostly young (11,13,20,27) , some were homeless (11)(12)24,28) , victims of domestic (12) and gender (11,25,28) violence, with a history of sexual and physical abuse or (8,(11)(12)17,22,26,28) who were unemployed or engaged in low-paid works (11,13,25) , which often determined their involvement with prostitution (10)(11)(14)(15)(16)18,26) with crime under the influence of affective-sexual partners (13) . Imprisonment would happen mainly due to drug use and/or trafficking (8,(11)(12)
15,
(22)(23)26,28) , with probability of criminal recidivism (25,28) and difficulties of social reintegration due to postincarceration stigma (28) . ...
Sexual and reproductive health risk factors of imprisoned women: integrative review
Objective
to identify sexual and reproductive health risk factors related to health vulnerability of imprisoned women.
Method
integrative literature review held in Virtual Health Library databases in December 2016, using the strategy Population, Variables and Outcomes. A sample of 21 articles was obtained.
Results
there are risk factors related to sexual and reproductive health vulnerability that are enhanced by the absence and/or deficit of actions on health promotion, protection, recovery and rehabilitation in the prison context.
Conclusion
sexual and reproductive grievances of imprisoned women are related tosocial and programmatic individual risk factors.
... Incarcerated women are at high risk for sexually transmitted infections (STI), which if left untreated can lead to adverse complications such as preterm delivery, infertility, pelvic inflammatory diseases, ectopic pregnancy, and even increased HIV transmission (1,
2)
. Overall, chlamydial infection, trichomoniasis, and gonorrhea are the most common STIs among American women (3), who are generally affected by STI at higher rates than men. ...
... Overall, incarcerated women are among the subpopulation of females at high risk for STIs. Recent data indicate that the prevalence of some STIs such as chlamydia and gonorrhea in female prisoners is much higher than the general population
(2)
. Commercial sex, elevated rates of substance use, exchanging drugs for sex, and hazardous drinking are quite common in detained women and are important risk factors for STIs. ...
Prevalence of Commonly Encountered Sexually Transmitted Infections Among Imprisoned Incarcerated Women
Background: Sexually transmitted infections are major causes of morbidity among incarcerated women. However, little is known about the prevalence of these infections among female prisoners in Iran.
Objectives: This cross-sectional study, assessed the prevalence of sexually transmitted infections among a group of women imprisoned in Adelabad Prison, Shiraz, Iran.
Patients and Methods: Over a 6-month period, we screened 129 female inmates in Adelabad Prison, Shiraz, Iran for sexually transmitted infections by appropriate clinical and routine laboratory assessments. Infected inmates were treated and followed up free of charge by the prison medical staff.
Results: All inmates had evidence of at least one sexually transmitted infection. Chlamydial infection was the most common infection, which detected in 44 (34%) inmates, followed by candidiasis in 34 (26%), trichomoniasis in 26 (20%), syphilis in 8 (6%), and finally gonorrhea in 6 (4.5%) inmates. The least common infection was HIV infection, which was present in only 1 out of 129 subjects. In addition, 1 out of 58 (1.72%) serologically examined prisoners had hepatitis B, and 4 cases from 58 (7%) had evidence of hepatitis C, one of them was a drug addict and the other 3 had histories of past tattooing.
Conclusions: Because of high rate of sexually transmitted infections (STIs) in incarcerated women, it is necessary to conduct a comprehensive screening program, treatment, follow-up, and partner notification in order to reduce the frequency of STIs in this high-risk, vulnerable group of females.
... ► Sexual and reproductive healthcare services: Women in prisons have a higher prevalence of sexually transmitted infections, such as chlamydia, gonorrhoea and HIV compared with men.
26
Integrating sexual and reproductive health strategies and programmes within prisons, such as information and education, ensuring the availability of safer sex materials, contraception and sexual health clinics 12 26 can help meet the aspirations of Target 3.7. ...
Leaving no one behind in prison: Improving the health of people in prison as a key contributor to meeting the Sustainable Development Goals 2030
Mar 2021
Nasrul Ismail
Audrey Lazaris
Eamonn O'Moore
Sunita Sturup-Toft
Worldwide, approximately 11 million people are currently being held in prison, a number that has steadily grown since the turn of the 21st century. The prison population is more likely to suffer from physical and mental ailments both during and prior to their imprisonment due to poverty, social exclusion and chaotic lifestyles. Recognition of people in prison is noticeably absent from the Sustainable Development Goals (SDGs), despite the goals’ ethos of ‘leaving no one behind’.
We present the first analysis of how improving the health of people in prison can contribute to achieving 15 SDGs. Relevant indicators are proposed to fulfil these goals while meeting the existing international prison health standards. We also assess the political, economic and social challenges, alongside the unparalleled COVID-19 pandemic that can thwart the realisation of the SDGs. To reach the ‘furthest behind first’, prison health must be at the forefront of the SDGs.
... Although few reports on behavioural interventions and STIs incidence exist [18], we are in agreement with the thought that reducing STIs-related risk behaviours among youth and other vulnerable population groups is essential for the effectiveness of any prevention programs [17,
19,
20,21,22,23,24]. However, optimization of developing countries' response to prevent the transmission of STIs requires both information and the capacity to use this information to build an efficient response. ...
Chlamydia trachomatis, Human Immunodeficiency Virus (HIV) Distribution and Sexual Behaviors across Gender and Age Group in an African Setting
Mar 2014
PLOS ONE
Joel Fleury Djoba Siawaya
The purpose of this study was to (1) describe the distribution of Chlamydia trachomatis (CT) and Human Immunodeficiency Virus (HIV) cases across gender and age groups in Libreville (Gabon); (2) examine Gabonese Sexually Transmitted Infections (STIs)-related risk behaviour.
The sampled population was people attending the "Laboratoire National de Santé Plublique". Between 2007 and 2011, 14 667 and 9 542 people respectively, were tested for CT and HIV infections. 1 854 of them were tested for both infections. We calculated CT and HIV rates across gender and age groups. Also analysed was the groups' contribution to the general CT and HIV epidemiology. STIs-related risk behaviours were assessed in 224 men and 795 women (between July 2011 and March 2013) who agreed and answered a questionnaire including questions on their marital status, number of sex partners, sexual practices, history of STIs, sex frequency and condom use.
Data showed a 24% dropped in the CT infection rate between 2007 and 2010, followed by a 14% increase in 2011. The HIV infection rates for the same period were between 15% and 16%. The risk of a CT-positive subject getting HIV is about 0.71 times the risk of a CT-negative subject. Young adult aged between 18 and 35 years old represented 65.2% of people who had STIs. 80% of women and 66% of men confessed to an inconsistent use of condoms. 11.6% of women and 48% of men declared having multiple sex partners. 61% of questioned women and 67% of men declared knowing their HIV status.
In this Gabonese setting, the population-aged from18 to 35 years is the most affected by STIs. Other matters of concern are the inconsistent use of protection and sex with non-spousal or non-life partners.
Assessing sexual behavior with self-report is essential to research on a variety of health topics, including pregnancy and infertility, sexually transmitted infections, and sexual health and functioning. Recent methodological research has provided new insights regarding the accuracy of self-reports of sexual behavior. We review these studies, paying particular attention to a promising new development: the use of computer-assisted assessments. The collection of sexual risk behavior data with computers has increased dramatically in recent years, but little is known about the accuracy of such assessments. We summarize the evidence, discuss methodological issues that arise in studies evaluating the accuracy of self-reports, and offer recommendations for future research.
Background: Nationally representative surveys of chlamydia and gonorrhea are an important measure of disease burden and progress of screening programs. Objective: To measure chlamydia and gonorrhea prevalence in the United States. Design: Analysis of sexual history information and urine specimens collected in the National Health and Nutrition Examination Survey (NHANES), 1999-2002. Setting: U.S. civilian noninstitutionalized population as sampled by NHANES, 1999-2002. Participants: 6632 NHANES respondents. Measurements: Urine specimens were tested for chlamydia and gonorrhea. Results were weighted to represent the U.S. civilian, noninstitutionalized population between 14 and 39 years of age. Results: Prevalence of gonorrheal infection was 0.24% (95% Cl, 0.16% to 0.38%). Prevalence of gonorrheal infection was higher among non-Hispanic black persons (1.2% [Cl, 0.7% to 1.9%]) than among non-Hispanic white persons (0.07% [Cl, 0.02% to 0.24%]). Among those with gonorrheal infection, 46% also had chlamydial infection. Prevalence of chlamydial infection was 2.2% (Cl, 1.8% to 2.8%) and was similar between males (2.0% [Cl, 1.6% to 2.5%]) and females (2.5% [Cl, 1.8% to 3.4%]). Among females, the highest prevalence was in those age 14 to 19 years, whereas among males, it was highest in those age 14 to 29 years. Prevalence was higher among non-Hispanic black persons (6.4% [Cl, 5.4% to 7.5%]) than non-Hispanic white persons (1.5% [Cl, 1.0% to 2.4%]). Among females with a history of gonorrhea or chlamydia in the previous 12 months, chlamydia prevalence was 16.7% (Cl, 5.5% to 50.7%). Limitations: The specificity of urine-based assays for chlamydia and gonorrhea is limited, and the possible misclassification of sexual experience status may have affected the accuracy of some estimates. Conclusions: The findings support current recommendations to screen sexually active females age 25 years or younger for chlamydia, to retest infected females for chlamydial infection, and to co-treat individuals with gonorrhea for chlamydia.
Background:
No unbiased estimates of the rates of psychiatric disorder among women prison inmates are available. Nonetheless, available data suggest that some psychiatric disorders are prevalent in this population. The objective of the study was to determine the rates, risk factors, and outcomes of specific psychiatric disorders among women prison inmates.
Methods:
A virtual census of women felons (N=805) entering prison in North Carolina was assessed using in-person interviews. Assessments were conducted for 8 disorders, using the Composite International Diagnostic Interview as the primary assessment measure. For validation purposes, one quarter of the inmates were reassessed for 2 of these disorders, using structured clinical interviews.
Results:
Inmates were found to have high rates of substance abuse and dependence and antisocial and borderline personality disorders compared with women in community epidemiologic studies. Rates among inmates were also somewhat elevated for mood disorders but not for anxiety disorders. The rate of reports of lifetime exposure to traumatic events was also high. Rates of disorder tended to be higher among white than among African American women.
Conclusion:
High rates of substance abuse, psychiatric disorder, and psychological distress associated with exposure to traumatic events suggest that women in prison have a need for treatment for substance abuse and other mental health problems.
| https://www.researchgate.net/publication/223994179_Prevalence_and_Predictors_of_Sexually_Transmitted_Infections_in_Hazardously-Drinking_Incarcerated_Women |
Condensed Matter | Free Full-Text | Investigating the Morphology, Optical, and Thermal Properties of Multiphase-TiO2/MAPbI3 Heterogeneous Thin-Films for Solar Cell Applications
The present study evaluates the effect of mesoporous multiphase titanium dioxide (TiO2) nanoparticles (NPs) as an electron transporting layer and investigates the influence of phase composition on the perovskite solar cell (PSC) performances. This study also aims to evaluate PSC performance using conductive silver ink as an alternative counter electrode. The heterogeneous PSC thin-film solar cells were successfully fabricated and assembled by using a simple a doctor blade and two-step spin coating methods under ambient conditions. Scanning electron microscopy (SEM) micrograph images investigate methyl ammonium lead iodide (MAPbI3) crystal formation on the mesoporous TiO2 surface structure. Energy-dispersive x-ray spectroscopy (EDX) spectra reveal excellent qualitative and quantitative analysis corresponding to the SEM images in the TiO2/MAPbI3 heterogeneous thin films. Thermogravimetric analysis (TGA) characterization reveals that the TiO2/MAPbI3 thin films are thermally stable recording a maximum of 15.7% mass loss at 800 °C elevated temperatures. Photoluminescence spectroscopy (PL) characterized the effect of multiphase TiO2 phase transformation on the TiO2/MAPbI3 recombination efficiencies. A maximum of 6% power conversion efficiency (PCE) with the open-circuit voltage (Voc) of 0.58 ± 0.02 V and short circuit current (Jsc) of 3.89 ± 0.17 mAcm−2 was achieved for devices with an active area of 3 × 10−4 m2 demonstrating that the synthesized multiphase TiO2 nanoparticles are promising for large surface area manufacturing. Therefore, it is apparent that multiphase TiO2 NPs play a significant role in the performance of the final device.
Investigating the Morphology, Optical, and Thermal Properties of Multiphase-TiO 2 /MAPbI 3 Heterogeneous Thin-Films for Solar Cell Applications
by
Thembinkosi D. Malevu 1,* ,
Tshwafo E. Motaung 2,3 ,
Lehlohonolo F. Koao 5 ,
Teboho P. Mokoena 1 and
Motlalepula R. Mhlongo 1
1
Department of Physics, Sefako Makgatho Health Sciences University, P.O. Box 94, Medunsa 0204, South Africa
2
Department of Chemistry, Sefako Makgatho Health Sciences University, P.O. Box 235, Medunsa 0204, South Africa
3
Department of Chemistry, School of Science, College of Science Engineering and Technology, University of South Africa, Preller Street, Muckleneuk Ridge, City of Tshwane, P.O. Box 392, Unisa 0003, South Africa
4
Department of Chemical and Physical Sciences, Walter Sisulu University, Private Bag X1, Mthatha 5117, South Africa
5
Department of Physics, University of the Free State (Qwa Qwa Campus), Private Bag X13, Phuthaditjhaba 9866, South Africa
*
Author to whom correspondence should be addressed.
Condens. Matter 2022 , 7 (2), 39; https://doi.org/10.3390/condmat7020039
Received: 11 April 2022 / Revised: 9 May 2022 / Accepted: 11 May 2022 / Published: 6 June 2022
:
The present study evaluates the effect of mesoporous multiphase titanium dioxide (TiO
2
) nanoparticles (NPs) as an electron transporting layer and investigates the influence of phase composition on the perovskite solar cell (PSC) performances. This study also aims to evaluate PSC performance using conductive silver ink as an alternative counter electrode. The heterogeneous PSC thin-film solar cells were successfully fabricated and assembled by using a simple a doctor blade and two-step spin coating methods under ambient conditions. Scanning electron microscopy (SEM) micrograph images investigate methyl ammonium lead iodide (MAPbI
3
) crystal formation on the mesoporous TiO
2
surface structure. Energy-dispersive x-ray spectroscopy (EDX) spectra reveal excellent qualitative and quantitative analysis corresponding to the SEM images in the TiO
2
/MAPbI
3
heterogeneous thin films. Thermogravimetric analysis (TGA) characterization reveals that the TiO
2
/MAPbI
3
thin films are thermally stable recording a maximum of 15.7% mass loss at 800 °C elevated temperatures. Photoluminescence spectroscopy (PL) characterized the effect of multiphase TiO
2
phase transformation on the TiO
2
/MAPbI
3
recombination efficiencies. A maximum of 6% power conversion efficiency (PCE) with the open-circuit voltage (Voc) of 0.58 ± 0.02 V and short circuit current (Jsc) of 3.89 ± 0.17 mAcm
−
2
was achieved for devices with an active area of 3 × 10
−4
m
2
demonstrating that the synthesized multiphase TiO
2
nanoparticles are promising for large surface area manufacturing. Therefore, it is apparent that multiphase TiO
2
NPs play a significant role in the performance of the final device.
Keywords:
multiphase TiO 2
;
mesoporous TiO 2
;
perovskite solar cells
;
doctor blade
;
conductive silver ink
1. Introduction
P- and n-type semiconducting transition metal oxides are extensively studied and put in use in third-generation solar cells ranging from dye-sensitized solar cells (DSSCs), quantum dot solar cells (QDSCs), organic solar cells (OSCs), and perovskite solar cells (PSCs) [ 1 , 2 , 3 ]. Thin films of TiO 2 , ZnO, V 2 O 5 , MoO, CuO, and NiO 2 are used due to their nanostructural properties to facilitate charge extraction and transport from photoactive hybrid materials [ 4 , 5 , 6 , 7 ]. The mesoporous structure in titanium dioxide (TiO 2 ) makes it a successful n-type photoanode electrode in photovoltaics (PVs). This unique TiO 2 morphology appears to serve as a host/absorber matrix for light active materials on its surface in DSSCs, QDSCs, and PSCs, which increases the metal oxide/light active material intermediate contact [ 8 , 9 ]. Tailoring the structure, morphology, and optical properties of metal oxides is key to optimizing the performance of solar cell devices [ 10 , 11 , 12 ]. Changes in TiO 2 merit properties such as phase composition, degree of crystallinity, porosity, crystalline size, particle size, and bandgap structure are significant to improving hybrid solar cell’s photocurrent, open-circuit voltage, and energy conversion efficiencies.
Similar to DSSCs, TiO 2 thin films are coated over conductive glass substrates, annealed, and stained with a light sensitive ABX 3 perovskite material in PSCs. The annealing process is known to transform TiO 2 into a crystalline and conductive electron transport layer (ETL), remove residual impurities, precursor solvents, and encourage brookite, anatase, and rutile phases formation [ 13 ]. In addition, significant research has demonstrated that annealing alters TiO 2 merit properties, which subsequently influence the metal oxide/light active interface properties [ 13 , 14 ]. In PVs anatase, TiO 2 is the most preferred phase due to its higher open-circuit voltage, photoactivity, and surface area than rutile-based PV cells [ 15 ]. An important concept that has not received much attention is the use of mixed-phase (anatase: rutile) TiO 2 nanoparticles (NPs) in PSCs. Extensive research on mixed-phase TiO 2 photoanode has been carried out in DSSCs. The majority of these studies observe synergy at less than 20% rutile phase formation [ 16 , 17 ]. Material characterization results reveal that changes in phase composition bring about changes in TiO 2 merit properties such as crystallinity, morphology, and optical properties of the photoanode [ 18 ]. The authors [ 14 ] have previously reported similar changes and are included in the article to further demonstrate the influence of multiphase-TiO 2 ETL on PSCs performance. Existing studies on mixed-phase TiO 2 achieve phase composition through a mixture of two-phase different titanium precursors, (e.g., P25 and P90), the addition of phase controlling agents/additives, (e.g., CH 3 COOH, EDTA, and (NH 4 ) 2 SO), and annealing TiO 2 NPs [ 16 , 17 , 19 , 20 , 21 , 22 , 23 , 24 , 25 , 26 , 27 ]. Li et al. [ 17 ] fabricated mixed-phase TiO 2 photoelectrodes based on phase pure anatase and rutile TiO 2 . The authors’ results demonstrate that the addition of small rutile phase content into anatase enhances the photoelectrode absorption coefficient, improving the photocurrent density and efficiency in comparison to the phase pure PV cells. In addition, Yun et al. [ 16 ] prepared mixed-phase TiO 2 NPs by (NH 4 ) 2 SO 2 hydrolysis. The concentration of the sulfate ion successfully tunes anatase and rutile phase composition. The authors’ characterization results indicate that the improved photocurrent and efficiencies in comparison to pure phase devices are attributed to high light scattering by large rutile particles. However, large amounts of rutile phase content decrease surface area and as a consequence dramatically reduce the device’s performance. In similar research work, Ruan et al. [ 19 ] supplement the explanation of synergy in mixed-phase TiO 2 by symbiosis in anatase and rutile surface morphologies, which facilitates maximum interparticle charge transfer.
The above synthesis of mixed-phase TiO
2
NPs results in two distinctive rod-like and spherical morphologies associated with rutile and anatase phases, respectively, with rutile morphology relative to anatase decreasing solar cell performances due to its low surface area and packing structure both phenomena decreasing the electron collection in the devices.
Earlier studies conducted by the authors Lekesi et al. [ 28 ] on the formation of multiphase titanium dioxide (TiO 2 ) suggested that increasing the annealing temperature of TiO 2 brings about changes in material merit properties such as porosity, particle size, crystallinity, and optical properties. Without any further treatment, the as-synthesized multiphase titanium dioxide (TiO 2 ) was employed in this study and used as is to fabricate heterogeneous thin films of TiO 2 /MAPbI 3 .
Therefore, the main aim of this work was to use the mesoporous multiphase-TiO
2
NPs to investigate the influence of phase composition on PSC performance, and additionally, to evaluate the PSC performance using conductive silver ink as an alternative counter electrode. The phase transformation is achieved through annealing TiO
2
NPs from 200 to 1200 °C. Scanning electron microscopy coupled with energy-dispersive x-ray spectroscopy (SEM-EDX) was used to investigate the perovskite MAPbI
3
crystal formation and interaction with TiO
2
ETL. Fourier transform infrared spectroscopy (FT-IR) was used to confirm functional groups within the multiphase-TiO
2
/MAPbI
3
heterogeneous thin films. Thermogravimetric analysis (TGA) was used to determine the thermal behavior and confirm the existence of heterogeneous TiO
2
and MAPbI
3
mixture from the TGA degradations steps within a temperature range of 0 to 800 °C. Photoluminescence spectroscopy (PL) was used to study recombination efficiencies. The increasing TiO
2
particle size and rutile phase increase photoexcitation and efficient electron extraction from the MAPbI
3
light active material. A detailed explanation of the effect of annealing/phase composition on the PSC IV performance is given. Maximum efficiency of up to 6.7% is reported, attributed to factors discussed in SEM and PL.
2. Methods
Perovskite Solar Cell (PSCs) Device Fabrication
Indium-doped tin oxide (ITO) glass substrates (Sigma-Aldrich, Burlington, MA, USA) were first cleaned with a detergent and ultrasonicated three times using water, isopropanol, and ethanol for 20 min separately. The glass substrates were later allowed to dry at ambient atmosphere and thereafter subjected to Ultraviolet (UV)–Ozone cleaning for a period of 15 min. To form a dense compact TiO
2
blocking layer, the UV–Ozone-cleaned substrates were coated with a 0.15 M titanium diisopropoxide bis(acetylacetonate) (75% in isopropanol, Sigma-Aldrich) in 1-butanol by spin-coating at 2000 rpm for 20 s which were then heated at 100 °C for 5 min. After the coated glass substrates were allowed to cool at room temperature, the process was repeated two times using a 0.3 M titanium diisopropoxide bis(acetylacetonate). Following the three-times coating of titanium diisopropoxide bis(acetylacetonate) the glass substrates were then heated at 250 °C for 15 min and allowed to cool at room temperature. A few micrometers thick layer of mesoporous-TiO
2
photoelectrode was formed from a paste of the authors’ previously synthesized TiO
2
[
28
]. The micrometer thick layers were coated over the compact layer using the doctor blade technique thereafter the substrates were heated at 250 °C for 45 min. From here the substrates/photoelectrodes were treated with a 0.02 M TiCl
4
(98%, Sigma-Aldrich) solution maintained at 80 °C for 10 min, washed with deionized water, and dried at 100 °C in an open atmosphere. A single halide perovskite layer of CH
3
NH
3
PbI
3
-(MAPbI
3
) was formed by a two-step spin coating of PbI
2
and MAI at ambient conditions (relative humidity = 45–60%) to form TiO
2
/MAPbI
3
heterogeneous thin films. Firstly, a solution of 0.02 mL of 1 M PbI
2
(4.61 g) in a solvent mixture of dimethyl formamide DMF: dimethyl sulfoxide DMSO (3:1) prepared at 70 °C was spin-coated over the mesoporous TiO
2
layers at 3000 rpm for 10 s without loading time. The ITO/c-TiO
2
/m-TiO
2
/PbI
2
glass substrates were then dried at 100 °C for 10 min and allowed to cool to room temperature. The perovskite layer was completed by spin-coating 0.2 mL of 0.038 M CH
3
NH
3
I at 4000 rpm for 20 s with a loading time of 20 s. The ITO/c-TiO
2
/m-TiO
2
/MAPbI
3
glass substrates were then dried at 100 °C for 10 min. A 0.02 mL solution of spiro-MeOTAD was spin-coated over the perovskite bearing substrated at 3500 rpm for 35 s. The spiro-MeOTAD deposited solution was obtained by dissolving 0.072 g of spiro-MeOTAD (Sigma-Aldrich) in 1 mL chlorobenzene (Sigma-Aldrich) solvent. This was followed by the addition of 0.029 mL 4-
tert
-butyl pyridine (Sigma-Aldrich) and 0.018 mL (0.52 g) lithium bis(trifluoromethanesulfonyl)imide in 1 mL acetonitrile (Sigma-Aldrich) solutions. The counter electrode was obtained by using silver (Ag) ink on an opposite ITO substrate. Approximately 80% of the ITO substrate was covered with a deposition mask and a conductive Ag ink (Sigma-Aldrich) was deposited over the exposed area via doctor blade technique. The solar cells were assembled by preheating the TiO
2
coated substrates at 100 °C for 5 min and thereafter clamped with the opposite Ag coated electrodes. The fabricated cells were then heated at 100 °C for 15 min to form solar cells with device architecture of ITO/c-TiO
2
/m-TiO
2
/MAPbI
3
/Ag/ITO. A total of six (6) devices are reported by varying only the mesoporous TiO
2
electron transport layer and the remaining layers are kept constant.
Figure 1
shows the fabrication steps of the different TiO2/MAPbI3 films.
3. Characterization
To determine the surface morphology of TiO
2
/MAPbI
3
heterogeneous thin-films, a TESCAN VEGAN3 scanning electron microscopy (OXFORD X-MAX
N
) coupled with EDX operated at 20 kV was used and the analysis was done at room temperature. The surface of the samples was sputter-coated with carbon for 9.9 s to produce a conductive coating on the samples. To characterize the thermal behavior of the samples Perkin-Elmer STA6000 thermogravimetric analyzer (TGA) was used. A total of 20–25 mg of the photoanode/perovskite was obtained by scraping the TiO
2
/MAPbI
3
heterogeneous thin films off the ITO conductive substrate. The samples were heated at 10 °C min
−1
from ambient to 800 °C under 20 mL min
−1
nitrogen flow. In this work, a Perkin-Elmer Spectrum 100 Fourier transform infrared (FT-IR) spectroscope fitted with an attenuated total reflection (ATR) detector was used. FT-IR spectrometer was used in this study to identify functional groups in the TiO
2
/MAPbI
3
heterogeneous thin films. The infrared (IR) spectra were recorded between 4000 and 650 cm
−1
at a resolution of 4 cm
−1
. Photoluminescence spectroscopy (PL) characterization was performed on as-prepared TiO
2
nanopowder, annealed TiO
2
nanopowder, and TiO
2
/MAPbI
3
heterogeneous films under a Carry Eclipse Fluorescence spectrophotometer with a 150 W xenon lamp (λ
ex
= 238 nm). The electrical properties of the final devices with an active area of 3 cm
2
= 3 × 10
−4
m
2
were measured using Newport Oriel LCS-100 solar simulator and Keithley source meter (Keithley 2450) under AM1.5 G and 1000 W/m
2
standard irradiation test conditions calibrated from a standard Si-based solar cell.
4. Results and Discussion
4.1. Morphology and Chemical Analysis
Figure 2
a–f shows low-magnification SEM surface morphology of the as-prep TiO
2
/MAPbI
3
and annealed heterogeneous thin films, respectively. It should be mentioned that the low magnification was used in this work to allow us to have an overview of how the surface looks following the deposition of MAPbI
3
solution on top of multiphase TiO
2
nanomaterials. The surface images depict that annealing the multiphase-TiO
2
nanopowder has a strong influence on MAPbI
3
crystals formation over the TiO
2
surface structure. The images show two distinctive morphologies; (1) small particles (assumed to be nanometer-sized TiO
2
nanoparticles (NPs)) and (2) relatively large particles (assumed to be MAPbI
3
crystals). Similar perovskite crystal morphology is reported by Christians et al. [
22
] from the two-step MAPbI
3
deposition method. In
Figure 1
1t is observed that the increased annealing temperature in the multiphase-TiO
2
NPs encourages a non-uniform MAPbI
3
crystal dispersion increasing the distribution over the nanoporous TiO
2
surface. Im et al. [
23
] demonstrated comparable perovskite crystal growth. From all the SEM images the MAPbI
3
crystals are of the same size due to the consistent preparation method.
Figure 3 shows high-magnification SEM micrographs and the corresponding SEM-EDX micrographs of TiO 2 /MAPbI 3 heterogeneous thin-films used to investigate MAPbI 3 crystal formation onto the mesoporous TiO 2 NPs on a particular/selected region marked by white dotted squares in Figure 2 a. The observed morphology from the magnified SEM image in Figure 3 a shows an incomplete or initial stage of perovskite crystal formation. This is confirmed by the corresponding SEM-EDX micrograph presented in Figure 3 b demonstrating the presence of C, Pb, and I perovskite main elements. It is anticipated in this study that the TiO 2 surface charging leads to possible perovskite nucleating (or crystallization) sites depending on the MAPbI 3 surface charging density leading to the heterogeneous morphology shown in Figure 3 c illustrating a cluster of crystals emerging from the surface of the TiO 2 nanoporous host material. Based on the observed MAPbI 3 crystal morphology, it is noted that there exists a preferred MAPbI 3 orientated crystal growth that propagates away from a fixed-point source justifying the proposed localized nucleating sites discussed above. Figure 3 d demonstrates the presence of perovskite main elements similarly to Figure 3 b.
Figure 4
a,b shows EDX spectra of as-prepared TiO
2
/MAPbI
3
, 200°C/MAPbI
3,
and annealed MAPbI
3
heterogeneous thin films. In these results, all the expected elements such as Ti, O, Pb, and I were attained; however, the C element emerged from the carbon tape on which the samples were mounted. The EDX peak position (keV) and intensities (cps/eV) values provide excellent qualitative and quantitative analysis of the elements present in the TiO
2
/MAPbI
3
heterogeneous thin films, respectively, consistent with SEM surface analysis. There were no significant differences worth mentioning in the proportion of expected elements in any of the annealed samples. The weight percent of Ti, O, Pb, and I elements obtained from EDX is nearly stoichiometric.
4.2. Fourier Transform Infrared Spectroscopy
FT-IR spectroscopy was used to investigate the compatibility between the TiO
2
NPs and MAPbI
3
crystal in the heterogeneous thin films.
Figure 5
presents FT-IR spectra of the heterogeneous TiO
2
/MAPbI
3
thin films. The activity of the IR-spectra was recorded between 4000 to 500 wavenumber regions. Vibrational modes from the heterogeneous thin films centered at 2902, 2804, 1703, and 709 cm
−1
were identified and correlated with SEM surface images. The large absorption bands located at low annealing temperatures at 2902, 2804, and 1703 cm
−1
are associated with low compatibility between the TiO
2
NPs and MAPbI
3
crystals. However, these vibrational bands systematically decrease with increasing TiO
2
annealing temperature, indicating that the interface contact compatibility in the heterogeneous thin films is improved. This can be successfully correlated with the increase in surface coverage from the SEM images. The appearance of a new vibrational mode located at 709 cm
−1
substantiates enhanced compatibility, indicating that a good interface contact has been established.
4.3. Thermogravimetric Analysis
To understand the thermal behavior and determine the degradation steps from the TiO 2 /MAPbI 3 perovskite heterogeneous thin films TGA analysis was performed by heating the samples from ambient temperature to 800 °C in triplicate, average values are reported in Table 1 . From the percentage mass loss in Figure 6 a, it is apparent that all the heterogeneous thin films are thermally stable, recording a maximum mass loss percentage of 15.7% at high temperatures of up to 800 °C. The as-prep TiO 2 /MAPbI 3 heterogeneous thin films experience the highest mass loss, recording a final residual mass percent of 84.3%. The remaining heterogeneous thin films increase systematically with increasing annealing temperature, exhibiting mass residues greater than 84.3%. A minimum of 2.2% mass loss is recorded for the 1200 °C/MAPbI 3 heterogeneous thin films. This shows that annealing of the TiO 2 nanopowder removes temperature-initiated degrading agents, resulting in thermally stable heterogeneous films. This observation is further depicted by the decreasing peak intensities in the DTGA graphs in Figure 6 b. This systematic increase in the residual mass % in the heterogeneous films is further correlated to the TiO 2 phase transformation. TiO 2 NPs are naturally characterized by thermal transitions from the metastable phases to the stable rutile phase. Therefore, samples annealed at higher temperatures possess the thermodynamically stable rutile phase, whereas samples at lower annealing temperatures are metastable anatase phases. Hence, the 2.2% mass loss belongs to the heterogeneous samples bearing more stable-TiO 2 NPs. In Figure 6 a,b TiO 2 /MAPbI 3 heterogeneous thin films decompose through three degradation mechanisms located at temperatures ≥ 106, 438, and 513 °C. The first and small degradation step located at ~106 °C is associated with the evaporation of absorbed water molecules on the surface of TiO 2 NPs, the second degradation step approximated at 438 °C is associated with the characteristic TiO 2 anatase to rutile phase transition [ 24 , 25 ]. As expected in both events, the mass loss % is significantly reduced with increasing annealing temperature as outlined above and summarized in Table 1 . The third degradation step results from the decomposition of the MAPbI 3 perovskite by desorption of volatile MAI organic group [ 26 ].
4.4. Photoluminescence Spectroscopy
Photoluminescence (PL) is used to characterize photogenerated recombination pathways caused by defect levels within the bandgap structure of a semiconductor and the resulting PL peak emissions indicate the recombination of excitons, electrons, and holes between the conduction band and valence band. TiO 2 NPs are characterized by PL peak emissions caused by oxygen vacancies, surface states, and free and bound exciton recombinations [ 20 , 21 , 27 ]. The emission spectra in Figure 7 a–c present PL peak emissions in the 300–700 nm range obtained from the excitation wavelength of λ ex = 238 nm for the as-prep TiO 2 nanopowder, annealed TiO 2 nanopowders, and as-prep TiO 2 /MAPbI 3 and annealed heterogeneous thin films. The peak emissions were analyzed to investigate the effect of annealing/phase transformation on the recombination efficiencies. The deconvoluted gaussian fit for the as-prep TiO 2 nanopowder in Figure 7 a shows characteristic peak emissions centered at λ em = 426, 466, 501, and 537 nm, a similar PL spectrum has previously been reported by Tsega et al. [ 27 ] and Acchutharaman et al. [ 21 ]. The prominent emissions located at 426 and 466 nm are associated with the oxygen vacancies and surface state dominant defect levels in the TiO 2 forbidden gap, whereas the shoulder peak emissions at high wavelengths of 501 and 537 nm are associated with the free edge and bound exciton minority recombinations. Figure 7 b demonstrates the effect of annealing multiphase-TiO 2 on the material’s recombination rates, insert of Figure 7 b (normalized peak intensities) presents similar peak emissions reported in Figure 6 a indicating that throughout the annealing process the peak emissions result from intrinsic trapping sites within the forbidden gap of multiphase-TiO 2 . From Figure 7 b, it is observed that by increasing annealing temperature, the multiphase-TiO 2 NPs undergo PL quenching. The observed luminescence quenching may be attributed to several factors, including the presence of trap centers, grain boundary defects, and the band structure thermal quenching effect. In this study, the band structure thermal quenching is observed indicated by the decreasing trend in peak intensities of the samples as follows; from the samples: as-prep TiO 2 → 200 °C → 400 °C. This indicates that the intrinsic recombination rates (or concentration of defect levels) from oxygen vacancies, surface states, and excitons are significantly reduced. A similar observation has been reported by Fan et al. [ 20 ] in mixed-phase TiO 2 NPs and is ascribed to the increase in TiO 2 degree of crystallinity and the desorption of oxygen molecules reducing TiO 2 dominant defect levels. However, with a further increase in annealing temperature, a counteractive phenomenon emerges, substantially increasing the peak intensities dramatically. This apparent change in behavior from the PL peak emissions is attributed to the multiphase-TiO 2 phase transition and an increase in TiO 2 particle size. Comparable results are reported by Yun et al. [ 16 ] and Ruan et al. [ 19 ] demonstrating that more rutile phase formation and large particle size result in a low electron mobile phase and increased light-scattering, respectively, providing an efficient charge carrier recombination pathway.
Figure 7
c depicts PL peak emissions from the as-prep TiO
2
/MAPbI
3
and annealed heterogeneous thin films. A new dominant peak emission in all the heterogeneous films located at 540 nm appears. This shows that an intermediate contact is established between the ETLs and the light active material; therefore, such recombination rate is attributed to TiO
2
ETL and MAPbI
3
interface electron decaying pathway. For comparison, it is observed that all the maximum peak intensities of the TiO
2
/MAPbI
3
heterogeneous thin films are significantly reduced when compared to the maximum peak intensity of the as-prep TiO
2
nanopowder reported in
Figure 7
a,b. This behavior may indicate that the incorporation of the light active MAPbI
3
perovskite material encourages maximum electron collection as a result of minimum photon emissions. A systematic decrease in TiO
2
/MAPbI
3
PL peak emission is observed with increasing annealing temperature/rutile phase content. This unusual trend highlights the synergistic effect of the multiphase-TiO
2
material influencing the overall photogenerated electron collection. The synergy results from the large photon scattering caused by the large particle size, which contributes to large photoexcitation in the perovskite material.
4.5. Electrical Characterization
Figure 8
depicts a simplified schematic image of the devices.
Figure 9
shows IV characterization curves measured under AM1.5G and 1000 W/m
2
standard illumination conditions.
Table 2
summarizes electrical average parameter values with standard deviations from the three best cells for each sample. The power conversion efficiency of the devices given in
Table 2
is calculated from Equation (1). From the IV curves in
Figure 9
and
Table 2
, it is observed that there is a prominent increase in current density (J
sc
) and power conversion efficiency (ղ) from the PSCs with increasing rutile phase content and annealing temperature. This observation is correlated with the increasing MAPbI
3
surface coverage morphology (SEM) over the large multiphase-TiO
2
NPs, and the evident decrease in PL in
Figure 7
c, resulting in enhanced J
sc
and ղ. This indicates that the increase in the rutile phase establishes an efficient electron transfer from the photoexcited perovskite material into the conduction band of the anatase phase. A maximum of 6.7% efficiency is achieved for the solar cells fabricated from the 1000 °C/MAPbI
3
heterogeneous thin films. Therefore, the IV characterization demonstrates that although the rutile phase is characterized by slow electron mobility resulting in increased multiphase-TiO
2
recombination rates as shown in
Figure 6
b, the increasing PSC performance with increasing rutile content demonstrates that rutile is a high electron harvesting phase that extracts maximum photogenerated electrons from the perovskite material into the more electron mobile anatase phase decreasing the recombination as shown by
Figure 7
c. This is followed by a significant decrease to 5.1% efficiencies as rutile becomes the more dominant phase indicating that phase optimization in the multiphase-TiO
2
NPs is required for optimal PSC performances.
ղ
=
V
oc
·
J
sc
·
FF
P
in
=
V
oc
·
J
sc
·
FF
A
·
1000
W
/
m
(1)
Equation (1) is used in the calculation of the power conversion efficiency (ղ), whereby V
oc
represents open-circuit voltage, J
sc
represents short circuit current density, FF represents the fill factor, A represents the active area of the solar cells, and P
in
represents the maximum power from the solar simulator lamp.
5. Conclusions
In this study, the use of multiphase TiO
2
nanoparticles proved to be an excellent mediator for maximum electron collection of the light active MAPbI
3
perovskite material to the ITO glass substrate. Heterogeneous thin films of TiO
2
and MAPbI
3
for solar cells were successfully fabricated from doctor blade and two-step spin coating methods. In this work, the silver conductive ink was used as a counter electrode. The SEM-EDX micrographs reveal that the MAPbI
3
crystal formation mechanism involved TiO
2
pore filling (nucleation) followed by crystallization (growth) during the evaporation of the deposition solvents. The thermal analysis reveals that the TiO
2
/MAPbI
3
thin films are thermally stable, recording a maximum of 15.7% mass loss at elevated temperatures. A systematic decrease in TiO
2
/MAPbI
3
PL peak emission is observed with increasing annealing temperature/rutile phase content. This unusual trend highlights synergy from the multiphase-TiO
2
material influencing the overall photogenerated electron collection. Finally, PSCs of device structure ITO/c-TiO
2
/m-TiO
2
/MAPbI
3
/Spiro-MeoTAD/Conductive Ag ink/ITO were fabricated and their performance was evaluated using the Keithley solar simulator. A maximum of 6.7% efficiency is achieved for the solar cells fabricated from the 1000 °C/MAPbI
3
heterogeneous thin films.
The data is available upon request.
Acknowledgments
I acknowledge the South African National Research Foundation through the Thuthuka programme (Grant No 137775) for the financial support throughout the course of the study. This work was not going to be successful without the financial assistance provided. This work is also dedicated to the late student Lehlohonolo Lekesi.
Conflicts of Interest
The authors declare that there is no conflict of interest.
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Figure 1. Schematic scheme representing steps involved in the fabricated device.
Figure 1. Schematic scheme representing steps involved in the fabricated device.
Figure 2. Low-magnification SEM micrographs presenting the surface morphology of the ( a ) as-prep TiO 2 /MAPbI 3 , ( b ) 200 °C/MAPbI 3 ( c ) 400 °C/MAPbI 3, ( d ) 800 °C/MAPbI 3, ( e ) 1000 °C/MAPbI 3 , and ( f ) 1200 °C/MAPbI 3 heterogeneous thin-films.
Figure 2. Low-magnification SEM micrographs presenting the surface morphology of the ( a ) as-prep TiO 2 /MAPbI 3 , ( b ) 200 °C/MAPbI 3 ( c ) 400 °C/MAPbI 3, ( d ) 800 °C/MAPbI 3, ( e ) 1000 °C/MAPbI 3 , and ( f ) 1200 °C/MAPbI 3 heterogeneous thin-films.
Figure 3. High-magnification SEM micrographs illustrating ( a ) surface morphology of as-prep TiO 2 /MAPbI 3 interaction on ITO substrate, corresponding ( b ) SEM-EDX mapping image, ( c ) heterogeneous morphology interaction of MAPbI 3 nanocrystals embedded within TiO 2 nanopores, and corresponding ( d ) SEM-EDX image.
Figure 4. ( a , b ) Shows EDX spectra of as prepared TiO 2 /MAPbI 3 and annealed 200 °C/MAPbI 3 heterogeneous thin films.
Figure 4. ( a , b ) Shows EDX spectra of as prepared TiO 2 /MAPbI 3 and annealed 200 °C/MAPbI 3 heterogeneous thin films.
Figure 5. FT-IR spectra of the heterogeneous TiO 2 /MAPbI 3 thin films.
Figure 5. FT-IR spectra of the heterogeneous TiO 2 /MAPbI 3 thin films.
Figure 6. ( a ) TGA and ( b ) DTGA graphs present the effect of annealing TiO 2 NPs on the thermal degradation behavior of the resulting TiO 2 /MAPbI 3 heterogeneous thin films.
Figure 6. ( a ) TGA and ( b ) DTGA graphs present the effect of annealing TiO 2 NPs on the thermal degradation behavior of the resulting TiO 2 /MAPbI 3 heterogeneous thin films.
Figure 7. Presents PL peak emissions of the ( a ) deconvoluted as-prep TiO 2 nanopowder, ( b ) annealed TiO 2 nanopowders, and ( c ) as-prep TiO 2 /MAPbI 3 and annealed heterogeneous thin films at λ ex = 238 nm excitation wavelength.
Figure 7. Presents PL peak emissions of the ( a ) deconvoluted as-prep TiO 2 nanopowder, ( b ) annealed TiO 2 nanopowders, and ( c ) as-prep TiO 2 /MAPbI 3 and annealed heterogeneous thin films at λ ex = 238 nm excitation wavelength.
Figure 8. Schematic representation of the fabricated solar cell with device architecture ITO/c-TiO 2 /m-TiO 2 /MAPbI 3 /Spiro-MeoTAD/Conductive Ag ink/ITO.
Figure 8. Schematic representation of the fabricated solar cell with device architecture ITO/c-TiO 2 /m-TiO 2 /MAPbI 3 /Spiro-MeoTAD/Conductive Ag ink/ITO.
Figure 9. IV characterization curves.
Table 1. Presents DTGA peak temperatures, TGA degradation steps, and total mass loss from the TiO 2 /MAPbI 3 heterogeneous thin films.
Table 1. Presents DTGA peak temperatures, TGA degradation steps, and total mass loss from the TiO 2 /MAPbI 3 heterogeneous thin films.
Samples Degradation Steps Total Average Mass (%) Loss H 2 O Evaporation A-R Phase Transition MAI Volatilization DTGA Temperatures (°C) ≥106.2 ≥437.5 ≥512.5 - As-pre TiO 2 /MAPbI 3 1.7% 9.5% 4.5% 15.7% 200/MAPbI 3 0.5% 8.3% 4.4% 13.2% 400/MAPbI 3 0% 6.9% 2.8% 9.7% 800/MAPbI 3 0% 4.5% 1.9% 6.4% 1000/MAPbI 3 0% 3.5% 1.2% 4.7% 1200/MAPbI 3 0% 1.8% 0.4% 2.2%
Table 2. Photovoltaic parameters for the PSCs with device architecture ITO/c-TiO 2 /m-TiO 2 /MAPbI 3 /Spiro-MeoTAD/Conductive Ag ink/ITO.
Table 2. Photovoltaic parameters for the PSCs with device architecture ITO/c-TiO 2 /m-TiO 2 /MAPbI 3 /Spiro-MeoTAD/Conductive Ag ink/ITO.
Device Phase Composition (A/R) V oc (V) J sc (mA·cm −2 ) FF (%) ղ (%) As-pre TiO 2 /MAPbI 3 68/32 0.53 ± 0.02 1.57 ± 0.15 65.7 ± 0.028 1.82 ± 0.55 200/MAPbI 3 65/35 0.54 ± 0.02 1.86 ± 0.13 66.5 ± 0.015 2.22 ± 0.42 400/MAPbI 3 46/54 0.56 ± 0.02 2.31 ± 0.11 66.8 ± 0.023 2.88 ± 0.58 800/MAPbI 3 60/40 0.57 ± 0.02 2.98 ± 0.18 67.4 ± 0.021 3.82 ± 0.72 1000/MAPbI 3 36/64 0.59 ± 0.02 5.02 ± 0.16 68.1 ± 0.025 6.72 ± 0.68 1200/MAPbI 3 34/66 0.58 ± 0.02 3.89 ± 0.17 68.0 ± 0.018 5.11 ± 0.64
Malevu TD, Motaung TE, Motloung SV, Koao LF, Mokoena TP, Mhlongo MR. Investigating the Morphology, Optical, and Thermal Properties of Multiphase-TiO 2/MAPbI 3Heterogeneous Thin-Films for Solar Cell Applications. Condensed Matter. 2022; 7(2):39.
https://doi.org/10.3390/condmat7020039
Chicago/Turabian Style
Malevu, Thembinkosi D., Tshwafo E. Motaung, Setumo V. Motloung, Lehlohonolo F. Koao, Teboho P. Mokoena, and Motlalepula R. Mhlongo. 2022. "Investigating the Morphology, Optical, and Thermal Properties of Multiphase-TiO 2/MAPbI 3Heterogeneous Thin-Films for Solar Cell Applications" Condensed Matter7, no. 2: 39.
https://doi.org/10.3390/condmat7020039
Malevu, T.D.; Motaung, T.E.; Motloung, S.V.; Koao, L.F.; Mokoena, T.P.; Mhlongo, M.R. Investigating the Morphology, Optical, and Thermal Properties of Multiphase-TiO 2/MAPbI 3Heterogeneous Thin-Films for Solar Cell Applications. Condens. Matter 2022, 7, 39.
https://doi.org/10.3390/condmat7020039
Malevu TD, Motaung TE, Motloung SV, Koao LF, Mokoena TP, Mhlongo MR. Investigating the Morphology, Optical, and Thermal Properties of Multiphase-TiO 2/MAPbI 3Heterogeneous Thin-Films for Solar Cell Applications. Condensed Matter. 2022; 7(2):39.
https://doi.org/10.3390/condmat7020039
Chicago/Turabian Style
Malevu, Thembinkosi D., Tshwafo E. Motaung, Setumo V. Motloung, Lehlohonolo F. Koao, Teboho P. Mokoena, and Motlalepula R. Mhlongo. 2022. "Investigating the Morphology, Optical, and Thermal Properties of Multiphase-TiO 2/MAPbI 3Heterogeneous Thin-Films for Solar Cell Applications" Condensed Matter7, no. 2: 39.
https://doi.org/10.3390/condmat7020039
| https://www.mdpi.com/2410-3896/7/2/39/xml |
Basic Bakunin
Basic Bakunin
Republished from the (British) Anarchist Communist Federation's original
pamphlet in 1993 by P.A.C. (Paterson Anarchist Collective) Publications.
This electronic version has the extra ACF text added to the PAC version,
for more completeness.
"The star of revolution will rise high above the streets of Moscow, from
a sea of blood and fire, and turn into a lodestar to lead a liberated
humanity"
-Mikhail Bakunin
Preface
The aim of this pamphlet is to do nothing more than present an outline of
what the author thinks are the key features of Mikhail Bakunin's
anarchist ideas.
Bakunin was extremely influential in the 19th century
socialist movement, yet his ideas for decades have been reviled,
distorted or ignored. On reading this pamphlet, it will become apparent
that Bakunin has a lot to offer and that his ideas are not at all
confused (as some writers would have us think) but make up a full
coherent and well argued body of thought. For a detailed but difficult
analysis of Bakunin's revolutionary ideas, Richard B. Saltman's book,
"The Social and Political Thought of Michael Bakunin"
is
strongly recommended. Ask your local library to obtain a copy.
Class
Bakunin saw revolution in terms of the overthrow of one oppressing class
by another oppressed class and the destruction of political power as
expressed as the state and social hierarchy. According to Bakunin,
society is divided into two main classes which are fundamentally opposed
to each other. The oppressed class, he variously described as commoners,
the people, the masses or the workers, makes up a great majority of the
population. It is in 'normal' time not conscious of itself as a class,
though it has an 'instinct' for revolt and whilst unorganized, is full of
vitality. The numerically much smaller oppressing class, however
is
conscious of its role and maintains its ascendancy by acting in
a purposeful, concerted and united manner. The basic differences between
the two classes, Bakunin maintained, rests upon the ownership and control
of property, which is disproportionately in the hands of the minority
class of capitalists. The masses, on the other hand, have little to call
their own beyond their ability to work.
Bakunin was astute enough to understand that the differences between the
two main classes is not always clear cut. He pointed out that it is not
possible to draw a hard line between the two classes, though as in most
things, the differences are most apparent at the extremes. Between these
extremes of wealth and power there is a hierarchy of social strata which
can be assessed according to the degree to which they exploit each other
or are exploited themselves. The further away a given group is from the
workers, the more likely it is to be part of the exploiting category and
the less it suffers from exploitation. Between the two major classes
there is a middle class or middle classes which are both exploiting and
exploited, depending on their position of social hierarchy.
The masses who are the most exploited form, in Bakunin's view, the great
revolutionary class which alone can sweep away the present economic
system. Unfortunately, the fact of exploitation and its resultant poverty
are in themselves no guarantee of revolution. Extreme poverty is, Bakunin
thought, likely to lead to resignation if the people can see no possible
alternative to the existing order. Perhaps, if driven to great depths of
despair, the poor will rise up in revolt. Revolts however tend to be
local and therefore, easy to put down. In Bakunin's view, three
conditions are necessary to bring about popular revolution.
They are:
sheer hatred for the conditions in which the masses find themselves the belief the change is a possible alternative
Without these three factors being present, plus a united and efficient
self organization, no liberatory revolution can possibly succeed.
Bakunin had no doubts that revolution must necessarily involve
destruction to create the basis of the new society. He stated that, quite
simply, revolution means nothing less than war, that is the physical
destruction of people and property. Spontaneous revolutions involve,
often, the vast destruction of property. Bakunin noted that when
circumstances demanded it, the workers will destroy even their own
houses, which more often than not, do not belong to them. The negative,
destructive urge is absolutely necessary, he argued, to sweep away the
past. Destruction is closely linked with construction, since the
"more
vividly the future is visualized, the more powerful is the force of
destruction."
Given the close relationship between the concentration of wealth and
power in capitalist societies, it is not surprising that Bakunin
considered economic questions to be of paramount importance. It is in the
context of the struggle between labor and capital that Bakunin gave great
significance of strikes by workers. Strikes, he believed, have a number
of important functions in the struggle against capitalism. Firstly they
are necessary as catalysts to wrench the workers away from their ready
acceptance of capitalism, they jolt them out of their condition of
resignation. Strikes, as a form of economic and political warfare,
require unity to succeed, thus welding the workers together. During
strikes, there is a polarization between employers and workers. This
makes the latter more receptive to the revolutionary propaganda and
destroys the urge to compromise and seek deals. Bakunin thought that as
the struggle between labor and capital increases, so will the intensity
and number of strikes. The ultimate strike is the general strike. A
revolutionary general strike, in which class conscious workers are
infused with anarchist ideas will lead, thought Bakunin, to the final
explosion which will bring about anarchist society.
Bakunin's ideas are revolutionary in a very full sense, being concerned
with the destruction of economic exploitation and social/political
domination and their replacement by a system of social organization which
is in harmony with human nature. Bakunin offered a critique of
capitalism, in which authority and economic inequality went hand in hand,
and state socialism, (e.g. Marxism) which is one sided in its
concentration on economic factors whilst, grossly underestimating the
dangers of social authority.
State
Bakunin based his consistent and unified theory upon three interdependent
platforms, namely:
human beings are naturally social (and therefore they desire social
solidarity) are more or less equal and,
want to be free
His anarchism is consequently concerned with the problem of creating a
society of freedom within the context of an egalitarian system of mutual
interaction. The problem with existing societies, he argued, is that they
are dominated by states that are necessarily violent, anti-social, and
artificial constructs which deny the fulfillment of humanity.
Whilst there are, in Bakunin's view, many objectionable features within
capitalism, apart from the state, (e.g. the oppression of women, wage
slavery), it is the state which nurtures, maintains and protects the
oppressive system as a whole. The state is defined as an anti-social
machine which controls society for the benefit of an oppressing class or
elite. It is essentially an institution based upon violence and is
concerned with its maintenance of inequality through political
repression. In addition the state relies upon a permanent bureaucracy to
help carry out its aims. The bureaucratic element, incidentally, is not
simply a tool which it promotes. All states, Bakunin believed, have
internal tendencies toward self perpetuation, whether they be capitalist
or socialist and are thus to be opposed as obstacles to human freedom.
It might be objected that states are not primarily concerned with
political repression and violence and indeed that liberal democratic
states, in particular, are much interested in social welfare. Bakunin
argues that such aspects are only a disguise, and that when threatened,
all states reveal their essentially violent natures. In Britain and
Northern Ireland this repressive feature of state activity has come
increasingly to the fore, when the state has been challenged to any
significant degree, it has responded with brutal firmness.
And developments within Britain over the last couple decades tend to
substantiate another feature of the state which Bakunin drew attention
to, their tendency toward over increasing authoritarianism and
absolutism. He believed that there were strong pressures in all states
whether they are liberal, socialist, capitalist, or whatever, toward
military dictatorship but that the rate of such development will vary,
however according to factors such as demography, culture and politics.
Finally, Bakunin noted that states tend toward warfare against other
states. Since there is no internationally accepted moral code between
states, then rivalries between them will be expressed in terms of
military conflict.
"So long as there's government, there will be no
peace. There will only be more or less prolonged respites, armistices
concluded by the perpetually belligerent states; but as soon as a state
feels sufficiently strong to destroy this equilibrium to its advantage,
it will never fail to do so."
Bourgeois Democracy
Political commentators and the media are constantly singing the praises
of the system of representative democracy in which every few years or so
the electorate is asked to put a cross on a piece of paper to determine
who will control them. This system works good insofar as the capitalist
system has found a way of gaining legitimacy through the
illusion
that some how the voters are in charge of running the system. Bakunin's
writings on the issue are of representative democracy were made at the
time when it barely existed in the world. Yet he could see on the basis
of a couple of examples (the United States and Switzerland) that the
widening of the franchise does little to improve the lot of the great
mass of the population. True, as Bakunin noted, middle class politicians
are prepared to humble themselves before the electorate issuing all sorts
of promises. But this leveling of candidates before the populace
disappears the day after the election, once they are transformed into
members of the Parliament. The workers continue to go to work and the
bourgeoisie takes up once again the problems of business and political
intrigue.
Today, in the United States and Western Europe, the predominant political
system is that of liberal democracy. In Britain the electoral system is
patently unfair in its distribution of parliamentary seats, insofar as
some parties with substantial support get negligible representation.
However, even where strict proportional representation applies, the
Bakuninist critique remains scathing. For the representative system
requires that only a small section of the population concern itself
directly with legislation and governing (in Britain a majority out of 650
MP's (Members of Parliament)).
Bakunin's objections to representative democracy rests basically on the
fact that it is an expression of the inequality of power which exists in
society. Despite constitutions guaranteeing the rights of citizens and
equality before the law, the reality is that the capitalist class is in
permanent control. So long as the great mass of the population has to
sell its labor power in order to survive, there can not be democratic
government. So long as people are economically exploited by capitalism
and there are gross inequalities of wealth, there can not be real
democracy. As Bakunin made clear, economic facts are much stronger than
political rights. So long as there is economic privilege there will be
political domination by the rich over the poor. The result of this
relationship is that representatives of capitalism (bourgeois democracy)
"posses in fact, if not by right, the exclusive privilege of governing."
A common fiction that is expounded in liberal democracies is that the
people rule. However the reality is that minorities necessarily do the
governing. A privileged few who have access to wealth, education and
leisure time, clearly are better equipped to govern than ordinary working
people, who generally have little free time and only a basic education.
"determined aristocrats, bold or timid worshipers of the principle of
authority who will also become exploiters and oppressors."
The point that Bakunin makes time and time again in his writings is that
no one can govern for the people in their interests. Only personal and
direct control over our lives will ensure that justice and freedom will
prevail. To abdicate direct control is to deny freedom. To grant
political sovereignty to others, whether under the mantle of democracy,
republicanism, the people's state, or whatever, is to give others control
and therefore domination over our lives.
It might be thought that the referendum, in which people directly make
laws, would be an advance upon the idea of representative democracy. This
is not the case according to Bakunin, for a variety of reasons. Firstly,
the people are not in a position to make decisions on the basis of full
knowledge of all the issues involved. Also, laws may be a complex,
abstract, and specialized nature and that in order to vote for them in a
serious way, the people need to be fully educated and have available the
time and facilities to reflect upon and discuss the implications
involved. The reality of referenda is that they are used by full-time
politicians to gain legitimacy for essentially bourgeois issues. It is no
coincidence that Switzerland, which has used the referendum frequently,
remains one of the most conservative countries in Europe. With referenda,
the people are guided by politicians, who set the terms of the debate.
Thus despite popular input, the people still remain under bourgeois
control.
Finally, Bakunin on the whole concept of the possibility of the
democratic state: For him the democratic state is a contradiction in
terms since the state is essentially about force, authority and
domination and is necessarily based upon an inequality of wealth and
power. Democracy, in the sense of self rule for all, means that no one is
ruled. If no one rules, there can be no state. If there is a state, there
can be no self rule.
Marx
Bakunin's opposition to Marxism involves several separate but related
criticisms. Though he thought Marx was a sincere revolutionary, Bakunin
believed that the application of the Marxist system would necessarily
lead to the replacement of one repression (capitalist) by another (state
socialist).
Firstly, Bakunin opposed what he considered to be the economic
determinist element in Marx's thought, most simply stated that
"Being
determines consciousness."
Put in another way, Bakunin was against
the idea that the whole range of 'super structural' factors of society,
its laws, moralities, science, religion, etc. were
"but the necessary
after effects of the development of economic facts."
Rather than
history or science being primarily determined by economic factors (e.g.
the 'mode of production'), Bakunin allowed much more for the active
intervention of human beings in the realization of their destiny.
More fundamental was Bakunin's opposition to the Marxist idea of
dictatorship of the proletariat which was, in effect, a transitional
state on the way to stateless communism. Marx and Engles, in the
Communist Manifesto of 1848, had written of the need for labor armies under
state supervision, the backwardness of the rural workers, the need for
centralized and directed economy, and for wide spread nationalization.
Later, Marx also made clear that a workers' government could come into
being through universal franchise. Bakunin questioned each of these
propositions.
The state, whatever its basis, whether it be proletarian or bourgeois,
inevitably contains several objectionable features. States are based upon
coercion and domination. This domination would, Bakunin stated, very soon
cease to be that of the proletariat over its enemies but would become a
state
over
the proletariat. This would arise, Bakunin believed,
because of the impossibility of a whole class, numbering millions of
people, governing on its own behalf. Necessarily, the workers would have
to wield power by proxy by entrusting the tasks of government to a small
group of politicians.
Once the role of government was taken out of the hands of the masses, a
new class of experts, scientists and professional politicians would
arise. This new elite would, Bakunin believed, be far more secure in its
domination over the workers by means of the mystification and legitimacy
granted by the claim to acting in accordance with scientific laws (a
major claim by Marxists). Furthermore, given that the new state could
masquerade as the true expression of the people's will. The
institutionalizing of political power gives rise to a new group of
governors with the same self seeking interests and the same cover-ups of
its dubious dealings.
Another problem posed by the statist system, that of centralized statist
government would, argued Bakunin, further strengthen the process of
domination. The state as owner, organizer, director, financier, and
distributor of labor and economy would necessarily have to act in an
authoritarian manner in its operations. As can be seen by the Soviet
system, a command economy must act with decision flowing from top to
bottom; it cannot meet the complex and various needs of individuals and,
in the final analysis, is a hopeless, inefficient giant. Marx believed
that centralism, from whatever quarter, was a move toward the final,
statist solution of revolution. Bakunin, in contrast opposed centralism
by federalism.
Bakunin's predictions as to the operation of Marxist states has been
borne out of reality. The Bolsheviks seized power in 1917, talked
incessantly of proletarian dictatorship and soviet power, yet inevitably,
with or without wanting to, created a vast bureaucratic police state.
Unions
Most of the left in Britain view the present structures of trade unions
in a positive light. This is true for members of the Labor Party, both
left and right, the Communist Party, the Militant Tendency and many other
Marxist organizations. These bodies wish to capture or retain control of
the unions, pretty much as they stand, in order to use them for their own
purposes. As a result, there are frequently bitter conflicts and
maneuverings within the unions for control. This trend is most apparent
in the C.P.S.A. where a vicious anti-communist right wing group
alternates with the Militant Tendency and its supporters for control of
the union executive and full time posts. The major exception to this is
the Socialist Workers Party which advocates rank and file organization,
so long as the S.W.P. can control it.
Bakunin laid the foundations of the anarchist approach to union
organization and the general tendency of non-anarchist unions to decay
into personal fiefdoms and bureaucracy over a century ago. Arguing in the
context of union organization within the International Working Mens
Association, he gave examples of how unions can be stolen from the
membership whose will they are supposed to be an expression of. He
identified several interrelated features which lead to the usurpation of
power by union leaders.
Firstly, he indicated a psychological factor which plays a key part.
Honest, hardworking, intelligent and well meaning militants win through
hard work the respect and admiration of their fellow members and are
elected to union office. They display self sacrifice, initiative and
ability. Unfortunately, once in positions of leadership, these people
soon imagine themselves to be indispensable and their focus of attention
centers more and more on the machinations within the various union
committees.
Given the existence of union bureaucracies and secret debating chambers
in which leaders decide union actions and policies, a 'governmental
aristocracy' arises within the union structures, no matter how democratic
those structures may formally be. With the growing authority of the union
committees etc., the workers become indifferent to union affairs, with
the exception Bakunin asserts, of issues which directly affect them e.g.
dues payment, strikes etc. Unions have always had great problems in
getting subscriptions from alienated memberships, a solution which has
been found in the 'check off' system by which unions and employers
collaborate to remove the required sum at source, i.e. from the pay packet.
Where workers do not
directly
control their union and delegate
authority to committees and full-time agents, several things happen.
Firstly, so long as union subscriptions are not too high, and back dues
are not pressed too hard for, the substituting bodies can act with virtual
impunity. This is good for the committees but brings almost to an end the
democratic life of the union. Power gravitates increasingly to the
committees and these bodies, like all governments substitute their will
for that of the membership. This in turn allows expression for personal
intrigues, vanity, ambition and self-interest. Many intra-union battles,
which are ostensibly fought on ideological grounds, are in fact merely
struggles for control by ambitious self seekers who have chosen the union
for their career structure. This careerism occasionally surfaces in
battles between rival leftists, for example where no political reasons
for conflict exist. In the past the Communist Party offered a union
career route within certain unions and such conflicts constantly arose.
Presumably, within the Militant Tendency, which also wishes to capture
unions, the same problem exists.
Within the various union committees, which are arranged on a hierarchical
basis (mirroring capitalism), one or two individuals come to dominate on
the basis of superior intelligence or aggressiveness. Ultimately, the
unions become dominated by bosses who hold great power in their
organizations, despite the safeguards of democratic procedures and
constitutions. Over the last few decades, many such union bosses have
become national figures, especially in periods of Labor government.
Bakunin was aware that such union degeneration was inevitable but only
arises in the absence of rank and file control, lack of opposition to
undemocratic trends and the accession to union power to those who allow
themselves to be corrupted. Those individuals who genuinely wish to
safeguard their personal integrity should, Bakunin argued, not stay in
office too long and should encourage strong rank and file opposition.
Union militants have a duty to remain faithful to their revolutionary
ideals.
Personal integrity, however, is an insufficient safeguard. Other,
institutional and organizational factors must also be brought into play.
These include regular reporting to the proposals made by the officials
and how they voted, in other words frequent and direct accountability.
Secondly, such union delegates must draw their mandates from the
membership being subject to rank and file instructions. Thirdly, Bakunin
suggests the instant recall of unsatisfactory delegates. Finally, and
most importantly, he urged the calling of mass meetings and other
expressions of grass roots activity to circumvent those leaders who acted
in undemocratic ways. Mass meetings inspire passive members to action,
creating a camaraderie which would tend to repudiate the so called leaders.
(Electronic Ed- From this, one can conclude that Bakunin was a major
inspiration for the
anarcho-syndicalist
movement.)
Revolutionary Organization
Above all else, Bakunin the revolutionary, believed in the necessity of
collective action to achieve anarchy. After his death there was a strong
tendency within the anarchist movement towards the abandonment of
organization in favor of small group and individual activity. This
development, which culminated in individual acts of terror in the late
nineteenth century France, isolating anarchism from the very source of
the revolution, namely the workers.
Bakunin, being consistent with other aspects of his thought, saw
organization not in terms of a centralized and disciplined army (though
he thought self discipline was vital), but as the result of decentralized
federalism in which revolutionaries could channel their energies through
mutual agreement within a collective. It is necessary, Bakunin argued, to
have a coordinated revolutionary movement for a number of reasons.
Firstly, is anarchists acted alone, without direction they would
inevitably end up moving in different directions and would, as a result,
tend to neutralize each other. Organization is not necessary for its own
sake, but is necessary to maximize strength of the revolutionary classes,
in the face of the great resources commanded by the capitalist state.
However, from Bakunin's standpoint, it was the spontaneous revolt against
authority by the people which is of the greatest importance. The nature
of purely spontaneous uprisings is that they are uneven and vary in
intensity from time to time and place to place. The anarchist
revolutionary organization must not attempt to take over and lead the
uprising but has the responsibility of clarifying goals, putting forward
revolutionary propaganda, and working out ideas in correspondence with
the revolutionary instincts of the masses. To go beyond this would
undermine the whole
self-liberatory
purpose of the revolution.
Putchism has no place in Bakunin's thought.
Bakunin then, saw revolutionary organization in terms of offering
assistance to the revolution, not as a substitute. It is in this context
that we should interpret Bakunin's call for a
"secret revolutionary
vanguard"
and
"invisible dictatorship"
of that vanguard. The
vanguard it should be said, has nothing in common with that of the
Leninist model which seeks actual, direct leadership over the working
class. Bakunin was strongly opposed to such approaches and informed his
followers that
The vanguard was, however, to influence the
revolutionary movement on an informal basis, relying on the talents of
it's members to achieve results. Bakunin thought that it was the
institutionalization of authority, not natural inequalities, that posed a
threat to the revolution. The vanguard would act as a catalyst to the
working classes' own revolutionary activity and was expected to fully
immerse itself in the movement. Bakunin's vanguard then, was concerned
with education and propaganda, and unlike the Leninist vanguard party,
was not to be a body separate from the class, but an active agent
within
it.
The other major task of the Bakuninist organization was that it would act
as the watchdog for the working class. Then, as now, authoritarian
groupings posed as leaders of the revolution and supplied their own
members as
"governments in waiting."
The anarchist vanguard has to
expose such movements in order that the revolution should not replace one
representative state by another 'revolutionary' one. After the initial
victory, the political revolutionaries, those advocates of so-called
workers' governments and the dictatorship of the proletariat, would
according to Bakunin try
"to squelch the popular passions. They appeal
for order , for trust in, for submission to those who, in the
course and the name of the revolution, seized and legalized their own
dictatorial powers; this is how such political revolutionaries
reconstitute the state. We on the other hand, must awaken and foment all
the dynamic passions of the people."
Anarchy
Throughout Bakunin's criticisms of capitalism and state socialism he
constantly argues for freedom. It is not surprising, then, to find that
in his sketches of future anarchist society that the principle of freedom
takes precedence. In a number of revolutionary programs he outlined which
he considered to be the essential features of societies which would
promote the maximum possible individual and collective freedom. The
societies envisioned in Bakunin's programs are not Utopias, the sense
of being detailed fictional communities, free of troubles, but rather
suggest the basic minimum skeletal structures which would guarantee
freedom. The character of future anarchist societies will vary, said
Bakunin depending on a whole range of historical, cultural, economic and
geographical factors.
The basic problem was to lay down the minimum necessary conditions which
would bring about a society based upon justice and social welfare for all
and would also generate freedom. The negative, that is, destructive
features of the programs are all concerned with the abolition of those
institutions which lead to domination and exploitation. The state,
including the established church, the judiciary, state banks and
bureaucracy, the armed forces and the police are all to be swept away.
Also, all ranks, privileges, classes and the monarchy are to be abolished.
The positive, constructive features of the new society all interlink to
promote freedom and justice. For a society to be free, Bakunin argued, it
is not sufficient to simply impose equality. No, freedom can only be
achieved and maintained through the full participation in society of a
highly educated and healthy population, free from social and economic
worries. Such an enlightened population, can then be truly free and able
to act rationally on the basis of a popularly controlled science and a
thorough knowledge of the issues involved.
Bakunin advocated complete freedom of movement, opinion, morality where
people would not be accountable to anyone for their beliefs and acts.
This must be, he argued, complete and unlimited freedom of speech, press
and assembly. Freedom, he believed, must be defended by freedom, for to
"advocate the restriction of freedom on the pretext that it is being
defended is a dangerous delusion."
A truly free and enlightened
society, Bakunin said, would adequately preserve liberty. An ordered
society, he thought, stems not from suppression of ideas, which only
breeds opposition and factionalism, but from the fullest freedom for all.
This is not to say that Bakunin did not think that a society has the
right to protect itself. He firmly believed that freedom was to be found
within
society, not through its destruction. Those people who
acted in ways that lessen freedom for others have no place; These include
all parasites who live off the labor of others. Work, the contribution of
one's labor for the creation of wealth, forms the basis of political
rights in the proposed anarchist society. Those who live by exploiting
others do not deserve political rights. Others, who steal, violate
voluntary agreements within and by society, inflict bodily harm etc. can
expect to be punished by the laws which have been created by that
society. The condemned criminal, on the other hand, can escape punishment
by society by removing himself/herself from society and the benefits it
confers. Society can also expel the criminal if it so wishes. Basically
thought, Bakunin set great store on the power of enlightened public
opinion to minimize anti-social activity.
Bakunin proposed the equalization of wealth, though natural inequalities
which are reflected in different levels of skill, energy and thrift,
should he argued be tolerated. The purpose of equality is to allow
individuals to find full expression of their humanity within society.
Bakunin was strongly opposed to the idea of hired labor which if
introduced into an anarchist society, would lead to the reintroduction of
inequality and wage slavery. He proposed instead collective effort
because it would, he thought, tend to be more efficient. However, so long
as individuals did not employ others, he had no objection to them working
alone.
Through the creation of associations of labor which could coordinate
worker's activities, Bakunin proposed the setting up of an industrial
assembly in order to harmonize production with the demand for products.
Such an assembly would be necessary in the absence of the market.
Supplied with statistical information from the various voluntary
organization who would be federated, production could be specialized on
an international basis so that those countries with inbuilt economic
advantages would produce most efficiently for the general good. Then,
according to Bakunin, waste, economic crisis and stagnation
"will no
longer plague mankind; the emancipation of human labor will regenerate
the world."
Turning to the question of the political organization of society, Bakunin
stressed that they should all be built in such a way as to achieve order
through the realization of freedom on the basis of the federation of
voluntary organizations. In all such political bodies power is to flow
"from the base to the summit"
and from
"the circumference to
the center/"
In other words, such organizations should be the
expressions of individual and group opinions, not directing centers which
control people.
On the basis of federalism, Bakunin proposed a multi-tier system of
responsibility for decision making which would be binding on all
participants, so long as they supported the system. Those individuals,
groups or political institutions which made up the total structure would
have the right to secede. Each participating unit would have an absolute
right to self-determination, to associate with the larger bodies, or not.
Starting at the local level, Bakunin suggested as the basic political
unit, the completely autonomous commune. The commune, on the basis of
universal suffrage, would elect all of its functionaries, law makers,
judges, and administrators of communal property.
The commune would decide its own affairs but, if voluntarily federated to
the next tier of administration, the provincial assembly, its constitution
must conform to the provincial assembly. Similarly, the constitution of
the province must be accepted by the participating communes. The
provincial assembly would define the rights and obligations existing
between communes and pass laws affecting the province as a whole. The
composition of the provincial assembly would be decided on the basis of
universal suffrage.
Further levels of political organization would be the national body, and,
ultimately, the international assembly. As regards international
organization, Bakunin proposed that there should be no permanent armed
forces, preferring instead, the creation of local citizens' defense
militias. Disputes between nations and their provinces would be settled
by an international assembly. This assembly, if required, could wage war
against outside aggressors but should a member nation of the
international federation attack another member, then it faces expulsion
and the opposition of the federation as a whole.
Thus, from root to branch, Bakunin's outline for anarchy is based upon
the free federation of participants in order to maximize individual and
collective well being.
Bakunin's Relevance Today
Throughout most of this pamphlet Bakunin has been allowed to speak for
himself and any views by the writer of the pamphlet are obvious. In this
final section it might be valuable to make an assessment of Bakunin's
ideas and actions.
With the dominance of Marxism in the world labor and revolutionary
movements in the twentieth century, it became the norm to dismiss Bakunin
as muddle-headed or irrelevant. However, during his lifetime he was a
major figure who gained much serious support. Marx was so pressured by
Bakunin and his supporters that he had to destroy the First International
by dispatching it to New York. In order that it should not succumb to
Anarchism, Marx killed it off through a bureaucratic maneuver.
Now that Marxism has been seriously weakened following the collapse of
the USSR and the ever increasingly obvious corruption in China, Bakunin's
ideas and revolutionary Anarchism have new possibilities. If
authoritarian, state socialism has proved to be a child devouring
monster, then libertarian communist ideas once again offer a credible
alternative.
The enduring qualities of Bakunin and his successors are many, but
serious commitment to the revolutionary overthrow of capitalism and the
state must rank high. Bakunin was much more of a doer than a writer, he
threw himself into actual insurrections, much to the trepidation of
European heads of state. This militant tradition was continued by
Malatesta, Makhno, Durruti, and many other anonymous militants. Those
so-called anarchists who adopt a gradualist approach are an insult to
Anarchism. Either we are revolutionaries or we degenerate into
ineffective passivism.
Bakunin forecast the dangers of statist socialism. His predictions of a
militarized, enslaved society dominated by a Marxist ruling class came to
pass in a way that even Bakunin could not have fully envisaged. Lenin,
Trotsky and Stalin outstripped even the Tsars in their arrogance and
brutality. And, after decades of reformist socialism which have
frequently formed governments, Bakunin's evaluations have been proved
correct. In Britain we have the ultimate insult to working people in the
form of "socialist Lords". For services to capitalism, Labor MP's are
ultimately granted promotion to the aristocracy.
Bakunin fought for a society based upon justice, equality and freedom.
Unlike political leaders of the left he had great faith in the
spontaneous, creative and revolutionary potential of working people. His
beliefs and actions reflect this approach. So, revolutionaries can learn
much of value from his federalism, his militancy and his contempt for the
state, which, in the twentieth century, has assumed gigantic and
dangerous proportions, Bakunin has much to teach us but we too must
develop our ideas in the face of new challenges and opportunities. We
must retain the revolutionary core of his thought yet move forward. Such
is the legacy of Bakunin.
With this in mind, the Anarchist Communist Federation is developing a
revolutionary anarchist doctrine, which whilst being ultimately based on
Bakunin's ideas, goes much further to suit the demands of present-day
capitalism. Ecological issues, questions of imperialist domination of the
world, the massive oppression of women, the automation of industry,
computerized technology etc. are all issues that have to be tackled. We
welcome the challenge!
FURTHER READING
There are two main compilations of Bakunin's works which are quite
readily available through public libraries. They are
"Bakunin on
Anarchy"
edited by Sam Dolgoff and
"The Political Philosophy of
Bakunin"
edited by
G.P. Maximoff. Also worth looking at, if you can get hold of them are
"The Basic Bakunin - Writings 1869-1871"
edited by Robert M.
Cutler and
"Mikhail Bakunin - From Out of the Dustbin"
, edited by the
same person.
For an understanding of the full profundity of Bakunin's ideas, there is
nothing to match
"The Social and Political Thought of Michael
Bakunin"
by
Richard B Saltman. This American publication should be available through
your local library.
Bakunin's works currently available:
"God and the State"
"Marxism, Freedom and the State" (edited by K.J. Kenafik)
"The Paris Commune and the Idea of the State"
"Statism and Anarchy" (heavy going) ed. Marshall Shatz.
| https://www.j12.org/spunk/library/writers/bakunin/sp001862.html |
Coordination and Joint Action
Accessibility for the Blind: The Necessity for Coordination
and Joint Action
Technology for the blind has been the hope and the frustration of blind
people for as long as technology has existed. Even Braille, which was invented more than a
hundred and fifty years ago and which has provided literacy to many blind people, has
often been more of a promise of hope than a reality of achievement. This is so because
many blind people never had competent Braille instruction available to them, and sometimes
administrators of programs for the blind failed to believe in their own clients and
ignored the skills and techniques that are used by the blind.
In the 1960's the portable tape recorder became generally available, and a
number of people said that this new technology would (at long last) make the world of
literary works available to the blind for the first time. Braille (it was said), though
effective for many, was difficult to learn, was bulky, and would forever be in short
supply. The tape recorder--especially the cassette recorder--would open literacy for the
blind.
In the 1970's a number of new products for the blind were being
developed--many of which used the computer as the framework for managing information. As
the '70's dissolved into the '80's, specialized technological adaptations of the computer
proliferated. The Reading Machine developed by Dr. Kurzweil in the mid 1970's became less
expensive and more efficient. Braille printers increased in speed and accuracy. The
Port-a-Braille was invented by Dr. Cranmer, and this invention was modified, enhanced, and
streamlined by Deane Blazie to become the Braille 'n Speak, which has altered learning
methods for blind students and note-taking for blind adults.
In the 1980's, with the advent of access technology using the disk
operating system, obtaining information from the computer began to be manageable. Then the
graphical user interface became a part of the computer scene, and access by the blind to
computer information deteriorated. There were those who said that making information on
the computer screen into speech or Braille could never happen. Some blind people met this
announcement with despair, and others greeted it with anger or a determination to make
things different. A number of sighted technicians told the blind that presenting
information visually was fundamentally different from presenting it in audio form or in
Braille. They said that access to information from a computer would always be more limited
and circumscribed for the blind than the same access for the sighted. What had been
available to the blind in the DOS environment could not be replicated with the graphical
user interface.
Blind people responded by telling the manufacturers that our lives are
being crippled, that our jobs are being taken, that we are being prevented from
participating in the eerie world of the Internet, and that with the increasing use of
computers in the schools even our opportunities for education are being diminished. The
systematic exclusion of the blind from the world of technology could not be permitted to
continue.
We let it be known that we would fight for the right to be a part of the
technological world. We would urge our cause on the public platforms, in the governmental
offices of regulatory agencies, in the halls of Congress, in the academic arenas, and in
the public mind. If necessary, we would take to the streets and make a public
demonstration of the urgency that faced us in the information age. We would never be
satisfied until the blind had the same opportunities for participation that were available
to everybody else.
In the midst of the effort to bring public attention to the changing
environment in the technological world, we asked the experts what had happened. What was
there about the graphical user interface that made the information presented through it so
difficult to interpret? It seemed particularly ironic that, as computers became more
powerful, the blind had less access to the information that was in them. What appeared to
have happened was that the increasing power of the computers offered more opportunities
for visual presentation, and these became so numerous that interpretation for an alternate
presentation in speech and Braille was difficult.
In the DOS environment the number of windows available was usually one,
the screen of the computer. The number of characters used for presenting information was
limited to two hundred and fifty-five. With the graphical user interface, the number of
windows for presentation increased to whatever the eye could interpret, and the character
set became essentially unlimited. In the DOS medium most things were presented using text.
With Windows, text and other representations were used together. The DOS computer
manipulated pages of print. Windows computers manipulated information that looks much more
like what an individual might find along a street. There are storefront windows with
displays, streetlights, signs on buildings or lampposts, and other images such as a raised
hand in red light to indicate don't walk. Interpreting the jumble of text, icons,
decorations, and other symbols requires a level of sophisticated knowledge unlike anything
previously presented in the computer environment. The job of transforming this mixture
into intelligible speech or readable Braille is daunting, but it must be done.
What began with the computer has in many respects occurred with other
machines. Many devices have visual display panels and a set of operating symbols that
demand interaction with them. Microwaves, bread machines, televisions, stereos, and a host
of other devices have interactive visual displays. In an increasing number of cases even
the knobs and buttons have disappeared. When I was a boy at the school for the blind,
operating a radio was easy. One knob turned it on and set the volume. The other knob
selected the frequency. Occasionally, radios like my old friend at the school for the
blind can still be found. However, radios now often have arrow buttons and a mode
selector. It is essential to see the screen to get the frequency you want, and independent
operation for the blind is completely impractical.
The frustrations in achieving access to technology for the blind are well
known to us all. We have tried individually to solve them, and sometimes we have had
substantial success in doing so. However, we have frequently discovered that the talent
and power we possess individually are insufficient to address the universe of needs.
To meet the objectives of full access to technology for the blind, we need
coordinated action. I suggest that we establish a board to review technology for the
blind. We might call it the National Information Access Board for the Blind. This board
would pool resources from its participating members, and it would establish standards to
determine whether products are accessible to the blind. Such a board would encourage
manufacturers to submit products and programs for technology-access review. It would
provide feedback regarding the characteristics essential for accessibility to the blind.
Organizations of consumers should be a central part of such a review board because the
users of the products are those who will be most dramatically affected. However, the
manufacturers will also have much to provide in judging products produced by others.
The standards for accessibility should provide that no organization is
permitted to determine whether its product meets the guidelines. Each organization that
wants to be a part of the board must commit resources to make such an enterprise
practical, and all organizations participating will have an equal voice in
decision-making. Each organization should be prepared to contribute both funding to meet
the ongoing expenses of the board and personnel who are technically competent. Each
participating organization should contribute $25,000 a year for the initial costs of
operating the board. If this sum is insufficient to meet the on-going expenses, each
should share the expense of the shortfall. The National Federation of the Blind will
pledge to put $25,000 aside for this purpose, and we urge others to join us in creating
the National Information Access Board for the Blind.
Can a particular device be operated by a blind person? Can it be used by a
blind person to get data from the Internet? Is it effective in assisting a blind person to
retrieve information from a device that would ordinarily provide it only visually? These
are fundamental questions to be answered by the board. Everybody is invited to be a part
of it. Today many of the answers would necessarily be "no." We must combine our
energies to open the doors for the blind to enter the information age. When the answers
are "yes," our joint efforts to promote accessibility will have been a success,
and I think we should do it.
| https://nfb.org/images/nfb/publications/bm/bm00/bm0001/bm000119.htm |
Rotman v. Progressive Ins. Co., Case No. 5:12–cv–67. - Federal Cases - Case Law - VLEX 893797128
0: [object Object]. 1: [object Object]. 2: [object Object]. 3: [object Object]. 4: [object Object]. 5: [object Object]
Rotman v. Progressive Ins. Co., Case No. 5:12–cv–67.
Court United States District Courts. 2nd Circuit. District of Vermont Writing for the Court CHRISTINA REISS Citation 955 F.Supp.2d 272 Parties Lisa ROTMAN, Plaintiff, v. PROGRESSIVE INSURANCE COMPANY and The Concord Group, Defendants. Docket Number Case No. 5:12–cv–67. Decision Date 28 June 2013
955 F.Supp.2d 272
Lisa ROTMAN, Plaintiff, v. PROGRESSIVE INSURANCE COMPANY and The Concord Group, Defendants.
Case No. 5:12–cv–67.
United States District Court, D. Vermont.
June 28, 2013.
[955 F.Supp.2d 275]
Susan J. Flynn, Clark Werner & Flynn, P.C., Burlington, VT, Barbara R. Blackman, Lynn, Lynn & Blackman, P.C., for Defendants.
OPINION AND ORDER GRANTING IN PART DEFENDANTS' MOTION TO EXCLUDE AND DENYING DEFENDANTS' MOTION FOR SUMMARY JUDGMENT
(Doc. 31, 35)
CHRISTINA REISS, Chief Judge.
Plaintiff Lisa Rotman brings this insurance coverage action seeking compensation under the uninsured motorist insurance policy she holds with Defendants Progressive Insurance Company (“Progressive”), as well as the excess coverage uninsured motorist insurance policy she holds with The Concord Group (“Concord”) (collectively “Defendants”). Plaintiff alleges she was injured in a motorcycle crash in Sheldon, Vermont, after exiting the roadway to avoid oncoming vehicles which she claims were “crowding” the centerline and travelling at an excessive rate of speed in the opposite lane of travel.
Presently before the court are Defendants' motions to exclude the testimony of Plaintiff's expert witness, Robert Duhaime, and for summary judgment.(Docs. 31 & 35.) Defendants contend that Mr. Duhaime's opinion is unreliable and is based entirely on the observations of an interested witness. Defendants further contend that without Mr. Duhaime's opinion, Plaintiff cannot survive summary judgment. Plaintiff opposes the motions and requested an evidentiary hearing to address the Daubert issue raised by Defendants. An evidentiary hearing was held on April 11, 2013.
Plaintiff is represented by Brooks G. McArthur, Esq. and David J. Williams, Esq. Defendants are represented by Susan J. Flynn, Esq. and Barbara R. Blackman, Esq.
I. Factual Background.
A. Plaintiff's Supplemental Statement of Undisputed Facts.
Plaintiff filed a supplemental statement of undisputed material facts in addition to her response to Defendants' statement of undisputed facts.(Doc. 36–1.) Defendants have neither moved to strike Plaintiff's additional facts nor responded to
[955 F.Supp.2d 276]
them in any manner. Accordingly, it is difficult to discern whether Plaintiff's additional facts are in fact disputed.
In Schroeder v. Makita Corp., 2006 WL 335680 (D.Vt. Feb. 13, 2006) (Sessions, C.J.), this court ruled that the Local Rules do not provide an opportunity for the nonmoving party to file a statement of undisputed facts at the summary judgment stage. Id.at *3. The court explained:
Local Rule 7.1(c)(2) afforded Schroeder [the party opposing summary judgment] the opportunity to bring relevant disputed factual matters to the Court's attention, and he took full advantage of this opportunity by filing a 33–page response to Makita's statement of undisputed facts. The Local Rules make no provision for the second document filed by Schroeder. Furthermore, because a party's ability to withstand summary judgment depends on the existence of disputed facts, not undisputed ones, there is no need for Schroeder to establish undisputed facts at this stage of the litigation. Accordingly, the Court will strike Schroeder's Statement of Undisputed Facts, and Makita is under no obligation to respond to it. The Court will not consider the document in its disposition of the remaining motions.
Id.at *4. The court adopted this same approach in Post v. Killington Ltd., 2010 WL 3323659, at *1 n. 1 (D.Vt. May 17, 2010), as well as in Boule v. Pike Industries, Inc., 2013 WL 711937, at *1–2 (D.Vt. Feb. 27, 2013), although in both instances it considered any additional facts that were both integral to the parties' arguments and undisputed.
Local Rule 56(b) (effective June 29, 2012) provides that “a party opposing summary judgment ... must provide a separate, concise statement of disputed material facts.” All material facts in the movant's statement of undisputed facts are deemed to be admitted unless controverted by the opposing party's statement. The rule thus does not authorize the filing of a statement of additional undisputed facts by the non-moving party.
In this case, the court will follow Schroeder, Post, and Boule, and will disregard Plaintiff's additional facts unless it is clear from the parties' briefing that those facts are both material and undisputed.
B. Undisputed Facts.
On August 20, 2011, Plaintiff and Daren Hall, the son of Plaintiff's domestic partner, 1 were riding motorcycles southbound on Main Street in Sheldon, Vermont. Mr. Hall was traveling in the left-hand tire groove 2 of the southbound lane, closest to the centerline, while Plaintiff was riding behind him, staggered, in the right-hand tire groove furthest away from the centerline. While travelling southbound, Mr. Hall and Plaintiff approached a curve in the roadway. 3 Mr. Hall navigated the
[955 F.Supp.2d 277]
curve first and, after doing so, observed at least one oncoming vehicle driving northbound in the opposite lane of travel. He noted that the oncoming vehicle or vehicles appeared to be “crowding” the centerline without crossing into his lane of travel. He estimated that the vehicle or vehicles were “a foot if not closer” to the centerline.(Doc. 33–2 at 10–11.) Mr. Hall did not discern the color, make, model, or occupants of the vehicle or vehicles, however, he observed that the vehicles were not sports utility vehicles or vans. After the oncoming vehicle or vehicles passed him, Mr. Hall looked in his rearview mirror and observed that Plaintiff's motorcycle had left the roadway. He did not witness the accident and cannot testify as to what caused it.
The Vermont State Police (“VSP”) responded to the accident scene. VSP Trooper Cory Lozier completed an accident report and created a not-to-scale diagram indicating Plaintiff's crash location on the western shoulder of the road. Trooper Lozier did not take photographs or otherwise memorialize the scene. Based on his observations, Trooper Lozier estimated that Plaintiff's motorcycle travelled approximately seventy-five yards after exiting the road and before crashing. Trooper Lozier did not observe skid marks on the road or make an estimate as to the speed of the vehicles although he indicated that Plaintiff's motorcycle appeared to be travelling at a low rate of speed at the time of the crash. Plaintiff has no independent recall of the events leading up to and culminating in her injuries.
Plaintiff disclosed Robert Duhaime, a retired VSP Detective Sergeant, as an expert in accident reconstruction. Mr. Duhaime prepared a two-page “Expert Accident Reconstruction Opinion” (the “Expert Report”) dated January 19, 2012.(Doc. 33–1.) In his Expert Report, Mr. Duhaime initially opined that “this motorcycle accident was caused by two unidentified speeding vehicles traveling left of center when meeting [Plaintiff's] motorcycle causing [her] to go off the road to avoid a collision.” Id.at 1–2. He noted that there was damage to the northbound lane of travel and he “found the timing sequence of events as experienced by the lead motorcyclist [Mr. Hall] to be correct.” Id.at 2. He opined that Plaintiff:
was confronted with a sudden dangerous situation of being in a left hand curve on the motorcycle and meeting vehicles traveling at a high rate of speed and the lead vehicle being partially on [Plaintiff's] side of the road causing [Plaintiff's motorcycle] to drive away from the danger of a head on collision, straighten the motorcycle, thus reducing the turning radius resulting in the motorcycle going off the road resulting in the accident and subsequent injuries.
(Doc. 33–1 at 2.) Mr. Duhaime bases his opinions on “my experience, training and education together with my inspection and evaluation of the accident scene, my review of the police reports and interviews with witnesses ... including [Mr.] Hall, the lead motorcyclist.” Id.at 1.
Although Plaintiff agreed that Mr. Duhaime's Expert Report was a “complete and accurate” disclosure of his expert opinion, it was later revealed that Mr. Duhaime was under the misimpression that the oncoming vehicle or vehicles had crossed into Plaintiffs line of travel while passing Mr. Hall. When this misunderstanding
[955 F.Supp.2d 278]
was corrected, Mr. Duhaime's opinion remained unchanged.
Mr. Duhaime testified that determining speed, distance, and time are three critical variables in accident reconstruction. In this case, he was unable to make exact measurements or establish timing sequences because the investigating VSP troopers failed to document or otherwise memorialize the accident scene. He therefore did not measure any distances at the scene so as to correlate them with the supposed positions of the relevant vehicles traveling at various speeds. Mr. Duhaime has not examined Plaintiff's motorcycle or any photographs of it. He concedes that Plaintiff “technically” violated 23 V.S.A. § 1081 4 at the time of the accident by driving off the roadway.
Mr. Duhaime's conclusions regarding the specific facts of the incident are derived from Mr. Hall. As Mr. Duhaime explained, “[w]e don't know what happened at that accident other than what that witness [Mr. Hall] saw when he was riding and facing those cars”(Doc. 32 at ¶ 19) and “I don't know what startled [Plaintiff], but something startled her about those vehicles, and she lost control.”(Doc. 33–6 at 48.)
Plaintiff is covered for bodily injury damages caused by an “uninsured motorist” by Progressive, with excess coverage from Concord. Plaintiff's insurance policy with Progressive provides coverage as follows:
INSURING AGREEMENT—UNINSURED/UNDERINSURED MOTORIST BODILY INJURY COVERAGE
If you pay the premium for this coverage, we will pay for damages that an insured person is legally entitled to recover from the owner or operator of an uninsured motor vehicle or underinsured motor vehicle...
24 practice notes
| https://case-law.vlex.com/vid/rotman-v-progressive-ins-893797128 |
A thromboxane synthetase antagonist ameliorates progressive renal disease of Dahl-S rats | Request PDF
Request PDF | A thromboxane synthetase antagonist ameliorates progressive renal disease of Dahl-S rats | Recent studies have suggested a role for thromboxane in the progression of renal disease. The current study evaluated the role of this arachidonic... | Find, read and cite all the research you need on ResearchGate
A thromboxane synthetase antagonist ameliorates progressive renal disease of Dahl-S rats
February 1988
Kidney International 33(1):77-83
DOI: 10.1038/ki.1988.12
Authors:
Abstract
Recent studies have suggested a role for thromboxane in the progression of renal disease. The current study evaluated the role of this arachidonic acid metabolite in a model of renal disease which bears many biologic similarities to that in the kidneys of patients with chronic progressive renal failure. The model is that induced by ferritin-anti-ferritin immune complex nephritis in Dahl-salt sensitive rats rendered hypertensive by a high salt intake. Rats with this model of renal disease were chronically given a thromboxane synthetase antagonist OKY-046 or a placebo treatment from 16 to 29 weeks of age. Sequential observations of serum creatinine and 24-hour urinary protein excretion showed an ameliorating effect of OKY-046 on these renal parameters. Histologic examination of the kidneys also showed significantly less glomerular sclerosis in OKY-046 treated animals. The efficacy of OKY-046 was monitored by measurements of serum TXB2 levels and of glomerular production of TXB2 (and other prostaglandins); amounts of TXB2 were significantly reduced in the OKY-046 group. It is concluded that blockade of thromboxane generation has been successful in ameliorating the functional and structural lesions in this model of renal disease, providing further support to the thesis that thromboxane is an important mediator in events leading to eventual chronic renal failure and sclerosis.
Discover the world's research
... In another model of progressive renal insufficiency that shares many biologic similarities with the human condition, immune complex nephritis induced by ferritin-anti-ferritin complexes in DahI-salt sensitive rats, a thromboxane synthase inhibitor, ameliorated urinary protein excretion and renal function
[134]
. Histological examination of the kidney showed that animals given the thromboxane synthase inhibitor were also significantly protected from glomeruloscberosis. ...
... proteinuria [102] Puromycin nephrosis (rat) proteinuria [103] Passive Heymann nephritis proteinuria [105] (rat) STZ-induced diabetes (rat) TxB [107] . albuminuria, GFR [107] Milan normotensive strain glomeruli [1191 proteinuria [1101 (rat) Nephrotoxic nephritis (rabbit) glomeruli [112] 1 proteinuria, ' GFR [112] CsA nephrotoxicity (rat) glomeruli [121] ' TxB2 [119,120,121] 2,3-dinor-TxB [120,121] 1 GFR [119] Endotoxin-induced ARF (rat) cortex [122] 1' GFR and RPF [122] Ureteral obstruction (rat, kidney microsomes 1' GFR and RBF [124] rabbit) [123] Renal allograft rejection (rat) 1 Dahl-S strain (rat) glomeruli
[134]
proteinuria, GFR, I FSG [134] Noninsulin-dependent diabetes cortex type IV collagen mRNA [ ...
... proteinuria [102] Puromycin nephrosis (rat) proteinuria [103] Passive Heymann nephritis proteinuria [105] (rat) STZ-induced diabetes (rat) TxB [107] . albuminuria, GFR [107] Milan normotensive strain glomeruli [1191 proteinuria [1101 (rat) Nephrotoxic nephritis (rabbit) glomeruli [112] 1 proteinuria, ' GFR [112] CsA nephrotoxicity (rat) glomeruli [121] ' TxB2 [119,120,121] 2,3-dinor-TxB [120,121] 1 GFR [119] Endotoxin-induced ARF (rat) cortex [122] 1' GFR and RPF [122] Ureteral obstruction (rat, kidney microsomes 1' GFR and RBF [124] rabbit) [123] Renal allograft rejection (rat) 1 Dahl-S strain (rat) glomeruli [134] proteinuria, GFR, I FSG
[134]
Noninsulin-dependent diabetes cortex type IV collagen mRNA [ ...
Thromboxane synthesis and action within the kidney
Article
Giuseppe Remuzzi
Garret A. FitzGerald
Carlo Patrono
Thromboxane (Tx) A2 is a labile derivative of arachidonic acid metabolism that amplifies the platelet response to a variety of aggregating agents [1]. In addition, TxA2 contracts vascular smooth muscle [2] and glomerular mesangial cells [3] through receptor-mediated actions, resulting in increased intracellular calcium [4–6]. TxA2 is formed by the sequential cyclooxygenation and peroxidation of arachidonic acid to the prostaglandin (PG) endoperoxides, PGG2 and PGH2. The last of these compounds is then transformed to TxA2 by a specific TxA2 synthase.
Platelets represent a major source of TxA2 formed in vivo under physiological conditions. However, TxA2 synthase is widely distributed in other cells, particularly in macrophages, in the lung, peritoneum and kidney [7, 8], which may augment their contribution to systemic TxA2 biosynthesis in disease states. The most convincing evidence for the biological importance of TxA2 and its precursor endoperoxides derives from the beneficial effects of aspirin in platelet-mediated vascular occlusive disease [9]. Aspirin irreversibly inhibits platelet cyclooxygenase activity by acetylating a serine residue of the enzyme PGG/H synthase [10, 11]. This mechanism is presumed to underlie its effectiveness in preventing death in unstable angina [12–14] and in patients who have suffered a myocardial infarction [15], conditions in which TxA2 biosynthesis is augmented [16].
More recently, evidence has accumulated to support a role for these eicosanoids in the pathogenesis of various forms of renal disease. The purpose of this review will be to consider the role of TxA2 within the kidney and to consider the potential therapeutic benefit which might derive from modulating TxA2 synthesis and/or action by pharmacological or dietary intervention.
... 14,15 In these processes, thromboxane A 2 (TXA 2 ) plays a crucial role in the progression of chronic renal disability over the course of inflammation-implicated ROS in SHRSP 16 or SHR, 17 and the expression of TXA 2 and/or the prostaglandin endoperoxide (PGH 2 ) receptor (TPR) are shown to increase because of salt loading in the rat cortical kidney. 18,19 Thromboxane A 2 , or its stable analogue U-46,619, reduces renal blood flow (RBF) and the glomerular filtration rate (GFR), and potentiates tubuloglomerular feedback (TGF), 19,20 platelet aggregation 21 and monocyte chemoattractant protein-1 (MCP-1) production via the induction of nuclear factor (NF) κB and activating protein 1 (AP-1) binding activity, 22 vascular smooth muscle contraction,
23
and the production of extracellular matrix proteins. 24 The TXA 2 synthase inhibitor Dazmegrel increases prostaglandin E2 (PGE 2 ) synthesis, 20 which preserves kidney function. ...
Thromboxane A2 receptor antagonist (ONO‐8809) attenuates renal disorders caused by salt overload in stroke‐prone spontaneously hypertensive rats
Article
Full-text available
Yusuke Nagatani
Toshihide Higashino
Kosho Kinoshita
Hideaki Higashino
Epidemiological and clinical studies have demonstrated that excessive salt intake causes severe hypertension and exacerbates organ derangement, such as in chronic kidney disease (CKD). In this study, we focused on evaluating the histological and gene expression effects in the kidneys of stroke‐prone spontaneously hypertensive rats (SHRSP) with a high salt intake and the thromboxane A2/ prostaglandin H2 receptor (TPR) blocker ONO‐8809. Six‐week‐old SHRSPs aged 6 weeks, were divided into three groups and were fed normal chow containing 0.4% NaCl, 2.0%NaCl, or 2.0%NaCl +ONO‐8809 (0.6 mg/kg p.o. daily). Histological analyses with immunohistochemistry and a gene expression assay with a DNA kidney microarray were performed after eight weeks. The following changes were observed in SHRSPs with the high salt intake. Glomerular sclerotic changes were remarkably observed in the juxtamedullary cortex areas. The ED1, monocyte chemoattractant protein‐1 (MCP‐1), nitrotyrosine, and hypoxia inducible factor 1α (HIF‐1α) staining areas were increased in the glomeruli and interstitial portion of the kidneys. The genesTbxa2r (which encodes TPR), Prcp, and Car7 were significantly under‐expressed in the kidneys. The plasma 8‐isoprostane level was significantly elevated and was attenuated with the ONO‐8809 treatment. Thromboxane A2 (TXA2) and oxidative stress exaggerated renal dysfunction in the salt‐loaded SHRSPs, and ONO‐8809 as a TPR blocker suppressed these changes. Therefore, ONO‐8809 is a candidate drug to prevent CKD in hypertensive patients when CKD is associated with a high salt intake.
... Despite being lower than in healthy controls, serum Tx B 2 s howed a weak, but significant independent relationship to the rate of progression of renal failure in non-diabetics. This finding is of interest since thromboxane synthetase inhibitors protect the kidney in both the renal ablation [180] and the Dahl-S rat models of progressive C R F
[181]
. In the former study, amelioration of progressive C R F could not be explained by reduction in blood pressure, renal hypertrophy or glomerular hyperfiltation (which, if anything, was increased). ...
Haemostasis in progressive renal failure
Thesis
Jan 1991
Michael Patrick Gordge
This thesis describes a series of clinical and haematological studies of patients with chronic renal failure. My aim was to investigate the role of haemostatic abnormality in two aspects of renal disease: (1) The bleeding tendency of uraemia. (2) The progression of renal failure. (1) In the first part of the thesis I show that anaemia appears to be the most important determinant of uraemic bleeding. The development of a prolonged bleeding time in the early stages of renal failure was documented, and experiments were performed to identify platelet functional abnormalities which might develop in parallel, and hence explain the haemorrhagic defect. The only significant relationship which emerged was a negative correlation between the haematocrit and the bleeding time. This was further investigated by studying platelet function during correction of anaemia with recombinant human erythropoietin. Bleeding time was shortened following erythropoietin, by a degree which correlated with the increase in the haematocrit, but not with any changes in platelet reactivity. A study of platelet aggregation in whole blood showed an aggregation-enhancing effect of uraemic red cells which was not evident with normal erythrocytes. (2) In the second part of the thesis, increased blood viscosity and intravascular haemostatic activation were demonstrated in both diabetic and non-diabetic patients with progressive renal disease, abnormalities which might promote non-immune glomerular injury and hence the progression of renal failure. It was not clear, however, whether these changes represented cause or effect of disease, since in multiple regression analysis, proteinuria emerged as the major independent determinant of progression. A clinical study of antiplatelet therapy in progressive renal failure showed a slowing of progression in half the patients treated, and, in diabetic nephropathy, a significant reduction in proteinuria. These results suggest a partial role for haemostasis in the progression of renal injury.
... TXA2, or its stable analog, U-46,619, reduced renal blood flow (RBF) and glomerular filtration rate (GFR); and potentiated tubuloglomerular feedback (TGF) [19][20], platelet aggregation [21], and monocyte chemoattractant protein-1 (MCP-1) production via the induction of nuclear factor (NF) κB and activating protein 1 (AP-1) binding activity [22], vascular smooth muscle contraction
[23]
, and the production of extracellular matrix proteins [24]. The TXA2 synthase inhibitor Dazmegrel, increased PGE2 synthesis [20], which preserved kidney function. ...
Thromboxane A2 Receptor Antagonist (ONO-8809) Attenuates the Renal Disorders Caused by Salt-Overload in Stroke-Prone Spontaneously Hypertensive Rats
Preprint
Jan 2021
Yusuke Nagatani
Toshihide Higashino
Kosho Kinoshita
Hideaki Higashino
Background. Epidemiological and clinical studies demonstrated that excessive salt intake causes severe hypertension and exacerbated organ derangement such as chronic kidney disease (CKD). In this study, we focused on evaluating histological and gene-expression findings in the kidney using stroke-prone spontaneously hypertensive rats (SHRSP) with high-salt intake and thromboxane A2/ prostaglandin H2 receptor (TPR) blocker ONO-8809. Methods. SHRSP aged 6 weeks were divided into three groups eating normal chow containing 0.4% NaCl, 2.0%NaCl, or 2.0%NaCl +ONO-8809 (0.6mg/kg p.o. daily). Histological analyses with immunohistochemistry and a gene-expression assay with a DNA kidney microarray were performed after 8 weeks. Results. The following changes were observed with high-salt intake. Glomerular sclerotic changes were remarkably observed in the juxtaglomerular cortex areas. ED1, MCP-1, nitrotyrosine, and HIF-1α staining areas were increased in the glomeruli and interstitial portion. Tbxa2r which encodes TPR, Prcp, and Car7 were significantly underexpressed in the kidney. The plasma 8-isoprostane level was significantly elevated, and was attenuated with ONO-8809 treatment. Conclusion. TXA2 and oxidative stresses exaggerated renal dysfunction in salt-loading SHRSP, and ONO-8809 as a TPR blocker suppressed these changes. Therefore, ONO-8809 is a candidate drug to prevent CKD for hypertensive patients associated with high-salt intake.
... Chronic administration of a thromboxane synthesis inhibitor almost completely prevents the decrease in GFR and the hypertension in the SHR. 6 In addition, thromboxane receptor blockade attenuates the reduction in GFR caused by high salt diet in Dahl salt sensitive rats,
16
and a similar beneficial effect on renal function is observed in diabetes mellitus 17 and after acute cyclosporine administration in rats. 18 Moreover, acute infusion of a thromboxane mimetic was reported to decrease GFR through an afferent arteriolar constriction action. ...
Inhibition of Thromboxane Synthesis Attenuates Insulin Hypertension in Rats
Article
Oct 1997
Henry L. Keen
Chronic insulin infusion in rats increases mean arterial pressure (MAP) and reduces glomerular filtration rate (GFR), but the mechanisms for these actions are not known. This study tested whether thromboxane synthesis inhibition (TSI) would attenuate the renal and blood pressure responses to sustained hyperinsulinemia. Male Sprague-Dawley rats were instrumented with arterial and venous catheters, and MAP was measured 24 h/day. After 4 days of baseline measurements, endogenous synthesis of thromboxane was suppressed in 7 rats by infusing the thromboxane synthetase inhibitor, U63557A, intravenously (30 μg/kg/min) for the remainder of the experiment; 7 other rats received vehicle. Baseline MAP was not significantly different between vehicle and TSI rats (96 ± 1 v 99 ± 1 mm Hg). After 3 days of U63557A or vehicle, a 5-day control period was started, followed by a 7-day infusion of insulin (1.5 mU/kg/min, intravenously). Glucose (22 mg/kg/min, intravenously) was infused along with insulin to prevent hypoglycemia. In the control period, MAP was not different between vehicle and TSI rats (99 ± 2 v 100 ± 1 mm Hg), but MAP increased throughout the 7-day infusion period only in the vehicle rats with an average increase in blood pressure of 7 ± 2 mm Hg. In the control period, GFR was lower in vehicle rats compared with TSI rats (2.5 ± 0.1 v 3.1 ± 0.2 mL/min, P = .06), and the decrease to 81% ± 4% and 91% ± 6% of control, respectively, during insulin was significant only in the vehicle rats. All variables returned toward control during a 6-day recovery period. These results suggest that full expression of hypertension and renal vasoconstriction during hyperinsulinemia in rats is dependent on a normal ability to synthesize thromboxane.
... In contrast to SHR, the depressor effect is not obtained in hypertensive Dahl rats, although blockage of TXA 2 synthetase ameliorates renal functional and structural lesions.
23,
24 Gomi et al 24 postulated that the abnormality of renal thromboxane seems to play a minor role in the development of hypertension in DS rats in contrast to SHR. ...
Endothelium-Derived Contracting Factor in Carotid Artery of Hypertensive Dahl Rats
Article
Aug 1999
Ming-Sheng Zhou
Yasuhiro Nishida
Qing-Hui Chen
Hiroaki Kosaka
The present study is designed to investigate whether acetylcholine (ACh) elicits an endothelium-derived contracting factor (EDCF) and whether it contributes to decreased relaxant response induced by ACh in Dahl rats. Dahl salt-sensitive (DS) and -resistant (DR) rats were fed a 0.4% NaCl or an 8% NaCl diet for 4 weeks. High sodium intake significantly increased blood pressure in DS rats but not in DR rats. The carotid rings were suspended for isometric tension recording. ACh caused an endothelium-dependent contraction in carotid rings from hypertensive DS rats but not from normotensive Dahl rats. Atropine, indomethacin, SQ29548, or ONO-3708 (prostaglandin H(2) [PGH(2)]/thromboxane A(2) [TXA(2)] receptor antagonist) abolished ACh-induced contraction, and OKY-046 (inhibitor of TXA(2) synthetase) partially attenuated the contraction. High sodium intake significantly enhanced contraction evoked by U46619, a PGH(2)/TXA(2) receptor agonist, in both DS and DR rats. In contrast, ACh-induced relaxation was significantly depressed in the rings from hypertensive DS rats, and ONO-3708 partially improved the depressed relaxation. Administration of ONO-8809 (an orally active PGH(2)/TXA(2) receptor antagonist; 30 micrograms per body per day) for 4 weeks neither reduced blood pressure nor improved the depressed ACh-induced relaxation in hypertensive DS rats. These results suggest that ACh causes release of EDCF in carotid rings of hypertensive DS rats, which is likely to be PGH(2) and TXA(2). The EDCF contributed in part to the depressed ACh-induced relaxation.
... The higher levels of COX-1 activity would result in higher levels of prostanoids in the renal vascular tissue, mesangium, and/or collecting tubules, while increased COX-2 would increase prostanoid levels in the macula densa, the surrounding loop of Henle and/or medullary interstitial cells. TXA 2 is a vasoconstrictor and associated with reduced renal blood flow and kidney damage (3,34,
54)
, whereas the prostaglandins are vasodilators (42), so the balance of these prostanoids would dictate the net physiological effect. In diseased kidneys, the TXB 2 to prostaglandin ratios are higher than in normals, suggesting that the balance shifts toward a greater vasoconstrictory effect in diseased kidneys. ...
Selectivity of cyclooxygenase isoform activity and prostanoid production in normal and diseased Han : SPRD-cy rat kidneys
Article
May 2006
Lori Warford-Woolgar
Claudia Yu-Chen Peng
Jamie N Shuhyta
Harold M Aukema
Renal prostanoids are important regulators of normal renal function and maintenance of renal homeostasis. In diseased kidneys, renal cylooxygenase (COX) expression and prostanoid formation are altered. With the use of the Han:Sprague-Dawley-cy rat, the aim of this study was to determine the relative contribution of renal COX isoforms (protein, gene expression, and activity) on renal prostanoid production [thromboxane B(2) (TXB(2), stable metabolite of TXA(2)), prostaglandin E(2) (PGE(2)), and 6-keto-prostaglandin F(1alpha) (6-keto-PGF(1alpha), stable metabolite of PGI(2))] in normal and diseased kidneys. In diseased kidneys, COX-1-immunoreactive protein and mRNA levels were higher and COX-2 levels were lower compared with normal kidneys. In contrast, COX activities were higher in diseased compared with normal kidneys for both COX-1 [0.05 +/- 0.02 vs. 0.45 +/- 0.11 ng prostanoids x min(-1) x mg protein(-1) (P < 0.001)] and COX-2 [0.64 +/- 0.10 vs. 2.32 +/- 0.22 ng prostanoids x min(-1).mg protein(-1) (P < 0.001)]. As the relative difference in activity was greater for COX-1, the ratio of COX-1/COX-2 was higher in diseased compared with normal kidneys, although the predominant activity was still due to the COX-2 isoform in both genotypes. Endogenous and steady-state in vitro levels of prostanoids were approximately 2-10 times higher in diseased compared with normal kidneys. The differences between normal and diseased kidney prostanoids were in the order of TXB(2) > 6-keto-PGF(1alpha) > PGE(2), as determined by higher renal prostanoid levels and COX activity ratios of TXB(2)/6-keto-PGF(1alpha), TXB(2)/PGE(2), and 6-keto-PGF(1alpha)/PGE(2). This specificity in both the COX isoform type and for the prostanoids produced has implications for normal and diseased kidneys in treatments involving selective inhibition of COX isoforms.
... Thromboxane (TXA 2 ) is another potent vasoconstrictor derived from the endothelium that has been suggested to influence the development of hypertension. Vascular and (or) renal production of TXA 2 has been demonstrated to be increased in different hypertensive animal models including spontaneously hypertensive rats, the Dahl salt-sensitive rats, angiotensin II salt-induced hypertensive animals, and in renovascular hypertension (Ishimitsu et al. 1988;
Yamashita et al. 1988;
Stahl et al. 1984;Mistry and Nasjletti 1989). ...
Endothelin-1 blockade prevents COX2 induction and TXA 2 production in the fructose hypertensive rat
Article
Full-text available
May 2007
Jihong Jiang
Linda T Tran
Harish Vasudevan
John H McNeill
Feeding rats with a high fructose diet results in insulin resistance and hypertension. Fructose-hypertensive rats (FHR) have increased vascular levels of endothelin-1 (ET-1) and thromboxane (TXA2). We have previously shown that chronic treatment with either the dual endothelin receptor blocker, bosentan, or the thromboxane synthase inhibitor, dazmegrel, prevented fructose-induced increases in blood pressure, suggesting that both ET-1 and TXA2 play important roles in the development of hyperinsulinemia/insulin resistance-associated hypertension. In this study, we investigated the potential interrelationship between ET-1 and TXA2 in the development of fructose-induced hypertension in vivo. Male Wistar rats were fed on a high fructose diet for 9 weeks. Either bosentan or dazmegrel treatment (daily by oral gavage) was initiated 3 weeks after the start of fructose feeding for a total duration of 6 weeks. At the end of drug treatment, blood and aorta were collected from each animal. Plasma thromboxane B2 (TXB2), a stable TXA2 metabolite, increased significantly in FHR and was reduced to control level by both chronic bosentan and dazmegrel treatment. Protein expression of cyclooxygenase 2 (COX2) was elevated significantly in FHR aortas and treatment with bosentan and dazmegrel corrected these changes. These results indicate that the actions of ET-1 in the aorta of FHR may be mediated through COX2-derived TXA2. Bosentan may prevent the development of hypertension in fructose-fed rats through inhibition of COX2 induction and subsequently the reduction in plasma TXA2.
The effects of excess salt intake on the kidney metabolism in Sprague-Dawley rats
Preprint
Jan 2023
Satoshi Shimada
Brian Hoffmann
Chun Yang
Allen W Cowley
In the present study, novel methods were developed which allowed continuous (24/7) measurement of blood pressure (BP) and renal blood flow (RBF) in freely moving rats and the intermittent collection of arterial and renal venous blood to estimate kidney metabolic fluxes of O2 and metabolites. The study determined the effects of a high salt (HS) diet upon whole kidney O2 consumption and the metabolomic profiles of normal Sprague Dawley (SD) rats. A separate group of rats was studied to determine changes in the cortex (Cx) and outer medulla (OM) tissue metabolomic and mRNAseq profiles before and following the switch from a 0.4% to a 4.0% NaCl diet. Significant changes in the metabolomic and transcriptomic profiles occurred with feeding of the HS diet. A progressive increase of kidney O2 consumption was found despite a reduction in expression of most of the mRNA encoding enzymes of TCA cycle. Increased glycolysis was evident with the elevation of mRNA expression encoding key glycolytic enzymes and release of pyruvate and lactate from the kidney in the renal venous blood. Glycolytic production of NADH is used in either the production of lactate or oxidized via the malate aspartate shuttle. Aerobic glycolysis (e.g., Warburg-effect) may account for the needed increase in cellular energy. The study provides interesting and provocative new data of how normal kidneys respond to a HS diet and guides us toward deeper mechanistic studies examining the effects of a HS diet upon kidney metabolism.
Defibrotide Treatment and Disease Progression in Patients with IgA Nephropathy and Impaired Renal Function at Diagnosis
Article
Apr 1997
Giovanni Maria Frasca'
Mauro Martello
Cristina Canova
Vittorio Bonomini
Defibrotide is an antithrombotic agent that is capable of increasing the synthesis and release of prostaglandin I2 from endothelial cells, and improving fibrinolysis. The aim of this study was to evaluate the effectiveness of defibrotide therapy in slowing down the rate of progression of immunoglobulin (Ig) A nephropathy in patients with impaired renal function at diagnosis. 20 such patients were randomised to receive either prednisolone for 6 months plus defibrotide for 2 years (group A) or a 6-month prednisolone course only (group B). No significant difference was found at baseline between the two groups with regard to renal function, daily protein excretion or renal histological lesions. After 24 months, patients in group A had a mean decrease in serum creatinine level of 14%, compared with a 9% increase observed in group B (p = 0.007). A 14% increase in creatinine clearance occurred in group A patients as opposed to a 12% decrease in group B (p = 0.003). Daily protein excretion was significantly reduced in group A relative to baseline (p = 0.02), while it did not change in group B. These results suggest that nonimmunological factors are important in the progression of IgA nephropathy and that drugs that improve renal haemodynamics can contribute to the maintenance of renal function.
Vasoconstrictors and Renal Protection Induced by β-Selective Adrenoceptor Antagonist Bisoprolol
Article
Jun 1994
J CARDIOVASC PHARM
A TP receptor (TP-R) mimetic causes salt-sensitive hypertension and renal afferent arteriolar vasoconstriction. TP-Rs mediate effects of ANG II on renal vascular resistance and drinking. Therefore, we investigated the hypothesis that thromboxane A(2) synthase (TxA(2)-S) and/or TP-R expression is regulated by salt and/or ANG II. Rats (n = 6) received high-salt (HS) or low-salt (LS) diets. Additional HS-diet rats received ANG II while other HS- and LS-diet rats received the AT(1) receptor (AT(1)-R) antagonist losartan. Excretion of thromboxane B(2) by conscious rats was increased with the HS diet compared with the LS diet (126 +/- 10 vs. 48 +/- 5 pmol/24 h, respectively; P < 0.01). The mRNA abundance for TP-Rs (relative to beta-actin) in the kidney cortex was enhanced 30% by the HS diet (P < 0.001) and was reduced 50% by the addition of ANG II (P < 0.001). However, during losartan administration, the effects of salt were reversed; mRNA more than doubled during the LS diet (P < 0.001). Similarly, the mRNA abundance for TP-Rs in the brain stem was reduced by 50% with the addition of ANG II (P < 0.001) and during losartan administration was almost doubled by the LS diet (P < 0.001). The mRNA abundance for TxA(2)-S in the kidney cortex also was increased many times with the HS diet (P < 0.001). In contrast, the mRNA for TxA(2)-S in the brain was unaffected by salt. ANG II did not affect TxA(2)-S at either site. During losartan administration, TxA(2)-S increased modestly in the brain stem with the LS diet. mRNA abundance for TP-Rs in the kidney cortex and brain stem is suppressed by ANG II acting on AT(1)-Rs. In the absence of AT(1)-Rs, expression of TP-Rs at both sites is enhanced by LS intake. In contrast, ANG II does not affect the mRNA abundance for TxA(2)-S. Expression of TxA(2)-S is enhanced by HS intake in the kidney cortex but by LS intake in the brain stem only during losartan administration. Thus TP-Rs are strongly dependent on ANG II acting on AT(1)-Rs, whereas TxA(2)-S is regulated differentially in the kidney cortex and brain stem by salt intake.
| https://www.researchgate.net/publication/20191534_A_thromboxane_synthetase_antagonist_ameliorates_progressive_renal_disease_of_Dahl-S_rats |
Mount Jefferson State Natural Area | NCpedia
Mount Jefferson State Natural Area (formerly Mt. Jefferson State Park)
North Carolina Division of Parks and Recreation, 2015; Revised by Jared Dease, Government and Heritage Library, January 2023
https://www.ncparks.gov/
Established: 1956, 1999 GPS Coordinates: 36.393564,-81.468012 Size: 975 acres
Photograph of a small farming community in Jefferson, N.C. with Mount Jefferson in the distance, ca. 1920. The mountain was given the name "Mount Jefferson" at the time the park was created in 1956. Item H.19XX.313.27 from the collection of the N.C. Museum of History.
Park Area History and Geology
Mount Jefferson lies along the drainage divide between the north and south forks of the New River—one of the oldest rivers in North America and in the world. This drainage system had an important influence on the size and shape of the mountain.
The mountain and its nearby peaks are remnants of a once lofty, mountainous region that existed throughout much of the western part of the state. Weathering and the erosive action of streams throughout millions of years wore away the softer, less resistant rocks. More resistant rocks, including the amphibolite and metagraywacke of Mount Jefferson, were slower to erode. These and other rocks comprise the peaks standing above their surrounding plateau.
Though there is no evidence of permanentNative Americansettlements in the Ashe County area, game was plentiful and both theCherokeeand the Shawnee claimed it as a hunting ground. The first settlers in the area were from Virginia. Few North Carolinians, other than adventurous individuals likeDaniel Boone, had ventured westward beyond the Blue Ridge Mountains.
Before theAmerican Revolution, Mount Jefferson was known asPanther Mountain, perhaps because of a legend that tells of a panther that attacked and killed a child there. Area residents gave the mountain other names until 1952 when Mount Jefferson received its official name. The mountain's name was chosen in honor of Thomas Jefferson and his father, Peter, who owned land in the area and surveyed the nearby North Carolina-Virginia border in 1749. Around the time of theCivil War, legend holds that the "caves" beneath Mount Jefferson's ledges served as hideouts for freedom-seeking enslaved people traveling to freedom on the Underground Railroad.
Park Development
By the 1930s people began to take an interest in creating widespread access to the mountain. The site as a park had its beginnings when theWorks Progress Administrationconstructed a two-mile road to the summit. In 1939, local officials sought to have the road improved, but the state could not provide funds for a private road. In order to get needed road improvements, two local residents who owned land on the mountain -- H.C. Tucker and J.B. Hash -- donated 26 acres, and the site became a state wayside park.
In 1942, citizens petitioned the General Assembly to take the park as a state park, but the effort failed. In 1955, attempts were made again to establish the park as a state park; they failed once again due to legislation passed that year specifying a minimum size of 400 acres for state parks. Citizens then began campaigns to raise funds and land donations. By 1956 300 acres had been obtained by gift and an additional 164 acres by fundraising, sufficient to establish a state park. The mountain's named was changed to Mount Jefferson at the establishment of the state park.
In 1974 the park was designated by the federal government as a National Natural Landmark, recognizing its natural heritage with undisturbed red oak forests and as a key example of existing oak-chesnut forests in the Southeast. The state changed its designation to a state natural area in 1999.
Park Ecology
The slopes and summit of the mountain are home to a diverse population of trees, shrubs and wildflowers. This large variety of interesting and unusual plants qualified the area for designation as a national natural landmark by the National Park Service in 1974.
The forests of the area vary with the altitude and the direction of the slope. At altitudes above 4,000 feet, an oak/chestnut forest dominates the slopes facing south, east and west. This forest is one of the best examples of its type in the southeastern United States. Beneath the canopy of oak is an understory of Catawba rhododendron, mountain laurel, flame azalea and dogwood. Wildflowers include trillium, pink lady slipper and false lily of the valley.
Until the early 20th century, American chestnut trees were abundant in the area. The chestnut's rot-resistant wood was immensely valuable to early settlers for the construction of buildings and fences, and its large, sweet nuts provided food for humans and animals. Tragically, the chestnut blight, introduced from Europe in 1910, destroyed the species here and elsewhere. At the summit of Mount Jefferson, ghostly trunks stand; sprouts rise from the diseased roots and thrive until maturity when they become susceptible to the blight.
On the north slopes, a cove forest includes red maple, yellow birch, tulip tree and basswood. In the understory are mountain ash, prairie willow, black huckleberry and mountain pepperbush. Hobblebush, mayapple, blue bead lily and other shrubs and herbs cover the forest floor. On the slopes below Luther Rock is a stand of big-toothed aspen trees. The big-toothed aspen is primarily a northern plant, found in North Carolina only in Ashe and Haywood counties. Trees growing on the northern ridges and slopes of Mount Jefferson are gnarled and dwarfed, averaging only about 20 feet. Their growth has been stunted by exposure to strong northerly winds and heavy loads of ice in winter.
The animal life of the natural area has not been as well studied as the plant life but is typical of the western part of the state. Red squirrels, locally known as “boomers,” live in forests near the peak. Several species of small mice, including deer mice, and southern red-backed voles are also common.
Bird life in these high-altitude forests includes several species not seen at lower elevations. Lucky visitors may catch a glimpse of a red-tailed hawk, the most common hawk in the area. Chestnut-sided warblers, Canada warblers and black-throated blue warblers, as well as rose-breasted grosbeaks, slate-colored juncos and white-breasted nuthatches nest in the woodlands. Their melodies are often heard with the song of the veery at dusk and dawn. The wing beats of flushed ruffed grouse often surprise hikers along the trail.
The park's mature deciduous forests are home to many common mammals, including gray squirrels, southern flying squirrels, eastern chipmunks, red foxes, raccoons and Virginia opossums. Shrews, moles and mice also make their homes in the middle altitudes. Woodchucks and an occasional white-tailed deer inhabit the forest edges. Reptiles, such as skinks and small snakes, travel in and around rotting logs and other places offering food and seclusion.
References:
North Carolina Division of Parks and Recreation. Mount Jefferson State Natural Area.https://www.ncparks.gov/mount-jefferson-state-natural-area (accessed December 29, 2015).
Additional Resources:
North Carolina Division of Parks and Recreation. Mount Jefferson State Park General Management Plan. January 1993.https://digital.ncdcr.gov/digital/collection/p16062coll9/id/215849(accessed December 29, 2015).
North Carolina Division of Parks and Recreation. North Carolina State Parks.1965 .
North Carolina Division of Parks and Recreation. North Carolina State Parks.1959.
North Carolina Division of Parks and Recreation. North Carolina State Parks.1957.
"Around Capitol Square." Burlington Daily Times News(Burlington, N.C.), October 20, 1951.
"State Park Use Growing." High Point Enterprise(High Point, N.C.), June 6, 1965.
Image Credits:
[Small farm community in Jefferson, N.C., with mountain in the distance.] Photograph. ca. 1920. Item H.19XX.313.27, collection of the N.C. Museum of History.https://www.ncmuseumofhistory.org/collections(accessed December 29, 2015).
Subjects:
Natural resources
Parks
Places
Origin - location:
Mountains
Ashe County
From:
NC Division of Parks and Recreation, NC Dept. of Natural and Cultural Resources
| https://ncpedia.org/mount-jefferson-state-natural-area |
The Euro and the battle of ideas
Why is the Euro in trouble? Are philosophical differences between the founding countries to blame and can those differences be reconciled?
Event
The Euro and the battle of ideas
Why is the Euro in trouble? Are philosophical differences between the founding countries to blame and can those differences be reconciled?
Date and time
13 October 2016 10:30-12:30
Speakers
Markus Brunnermeier
Professor, Princeton University,
Maria Demertzis
Senior fellow, Bruegel
Harold James
Professor, Princeton University,
Marco Buti
Chief of Staff of the Commissioner for the economy, Paolo Gentiloni, European Commission
SUMMARY
See below for the video and audio and the event materials
At this event Markus Brunnermeier and Harold James presented their new book The Euro and the Battle for Ideas(co-authored with Jean-Pierre Landau). A joint work which combined not only their different backgrounds (the authors are, respectively, an economist, a historian and a former deputy governor of the Banque de France), but also their different national perspectives.
The authors outlined how the political response to the euro crisis has led to a seismic shift of power in Europe. With the notable expection of the ECB which gained significantly in stature and influence, decision-making capacity moved from European institutions to the capitals of member states, particularly Berlin and Paris. However, the differences between Northern (but above all German) and what are sometimes called Southern (but above all French) visions of the appropriate economic policy emerged with great clarity in the management of the crisis.
In this regards, the authors contested the usual way of interpreting the political dynamics as simple result of a balancing between contrasting economic interests. Conversely, since material interests are always interpreted through the lens of ideas, they claimed that we should take into account more the different economic philosophies developed in each country to fully understand the origin and the rationale of any European political dispute.
The declared attempt of the book is to trace the long-term historical, intellectual, and cultural origins of the “French” and “German” economic traditions. The authors claimed that the indeterminate cohabitation of these two traditions of economic and political thought, in addition to mutual incomprehension and national stereotyping, prevented an adequate response during the crisis and led to downward compromises on the future design of the European Union.
In terms of policy contribution, the authors supported the proposal presented in 2011 to create Euro Safe Bonds (“ESBies”), as a practical solution to permanently break the link between sovereign debt and the stability of banking sector in a manner amenable to different political (and philosophical) positions.
According to the main discussant, Marco Buti, the book provides important insights with respect to the origin and the persistence of clashing economic cultures within European project. He agreed with the opinion expressed by the authors regarding the shift towards intergovernamentalism, reclaiming, nevertheless, an active role of the European Commission during the crisis, bringing the EFSM and the Banking Union as example of important policy proposals.
He added to the discussion evidence that economic differences across EA countries widened during the first years of EMU and linked them to the increasingly diverging social and political preferences. To bridge these differences and address the transition to an enchanced European governance, he called for the parallel progress on risk sharing and risk reduction in the current phase of development of Banking and Capital Markets Union. A relevant obstacle, however, is represented by the fact that these over-present differences of economic ideas increased substantially during the crisis. After several year of digging trenches around established intellectual and theoretical propositions, Marco Buti warned that economics ideas tranformed even into ideologies, from which an open discussion in the quest for a compromise becomes more difficult. Finally, he showed interest for the proposal of the ESBies, as a good balance between the non-mutualisation concerns (German position) and the (French) necessity to address systemic risks, but it would require a nontrivial transition in the current sovereign bonds market.
A relevant comment from the audience came from Mario Monti, according to who the reciprocal interaction between European political authorities and the ECB have been somewhat underestimated by the authors (at least in their presentation). As an example of this, he recalled the importance of the decisions taken during the Euro Area Summit in 29 June 2012, which thereafter represented the political pre-conditions for Mario Draghi’s “whatever it takes” speech. Moreover, the discussions during that Summit represented another suggestive example of the battle of ideas evoked by the authors. In that context, indeed, the German position emphasizing the need to put one’s house in order first (“often falling into the fallacy of composition”) severely confronted in the quest of compromise (truly necessary at that time) with the French and others’ ones pointing more to systemic problems requiring systemic responsabilities.
In conclusion Guntram Wolff made two points. Firstly, he questioned the “shift towards intergovernmentalism” argument identified by the authors since it provided a wrong description of the events: in fact there was nothing to be shifted. What actually occurred and eventually added political tension during the crisis was the difficult creation of new mechanisms for fiscal risk-sharing across countries, which was not originally included in the Maastricht treaty. Secondly, regarding financial stability issues, he agreed on the necessity to complete the Banking Union, while arguing that the real missing part is a proper fiscal backstop, and not necessarily the ESBies.
Event notes by Filippo Biondi , Research Assistant.
AUDIO & VIDEO RECORDING
event materials
Presentation by Markus Brunnermeier and Harold James
Presentation by Marco Buti
Theme
Macroeconomic policies European governance
Keyword
Euro crisis euro area
Language
English
| https://www.bruegel.org/event/euro-and-battle-ideas |
Goldfarb v. Bronston - Florida - Case Law - VLEX 894105920
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Florida
Goldfarb v. Bronston
Court United States State Supreme Court of Florida Citation 17 So.2d 300,154 Fla. 180 Parties GOLDFARB v. BRONSTON et al. Decision Date 15 February 1944
17 So.2d 300
154 Fla. 180
GOLDFARBv.BRONSTON et al.
Florida Supreme Court
February 15, 1944
Rehearing Denied March 6, 1944.
E. F. P. Brigham, of Miami, for appellant.
Edward E. Fleming and Bernstein & Hodsdon, all of Miami, for appellee.
BROWN, Justice.
We are here dealing with a motion to dismiss an appeal taken by the plaintiff below from what purports to be a final judgment in favor of the defendant below on four counts of an eight count declaration in a common law action for damages.
On July 5, 1943, Irwin Goldfarb, by his next friend and father, Albert M. Goldfarb, filed a declaration consisting of four counts against Walter Bronston, Jr., a minor, and Walter Bronston, Sr., to recover damages for serious personal injuries, alleged to have been permanent, caused by the negligence of the defendants. The defendants filed a demurrer to the declaration on August 2, 1943.
On October 25, 1943, Irwin Goldfarb having died as a result of the alleged injuries, his father Albert M. Goldfarb, as administrator of the estate of Irwin Goldfarb, filed a petition to revive said suit. On the same day, the Circuit Court made an order in which it stated that it appearing to the court [154 Fla. 182] 'that the cause of action therein sued on survives said death,' the cause 'is hereby revived in the name of Albert M. Goldfarb as administrator of the estate of Irwin Goldfarb deceased, and the plaintiff's pending declaration in the cause is amended by the substitution of this new party plaintiff in lieu of the deceased plaintiff, Irwin Goldfarb.'
On the same date, October 25, 1943, the plaintiff administrator amended his declaration by adding four additional counts, claiming damages to the estate of Irwin Goldfarb as a result of his death, based on the prospective future earnings of Irwin Goldfarb [17 So.2d 301] which he would have earned after he had obtained his majority and during his life expectancy had he not died.
On November 1, 1943, the defendants filed an adoption and application of the demurrer previously filed to the original declaration to the 5th, 6th, 7th and 8th counts which had been filed as an amendment to the original declaration, and on the same day defendants filed their motion to strike the first four counts of the plaintiff's original declaration as amended upon the ground that the damages alleged in said counts were not recoverable by said administrator.
On November 19, 1943, the court granted the motion to strike the first four counts of plaintiff's declaration and the plaintiff sought to have this order reviewed by this court by certiorari, but the petition was by this court, on December 23, 1943, denied.
On December 28, 1943, the circuit court entered an order purporting to be a final judgment reading as follows:
'The Plaintiff having elected to stand on Counts One, Two, Three and Four of his declaration without amendment, the Court having stricken the same from Plaintiff's declaration; now, therefore, it is
'Considered, ordered and adjudged that the Plaintiff take nothing by said...
8 practice notes
Southern Ry. Co. v. Bowling, No. 60-622 United States Court of Appeal of Florida (US) April 24, 1961 ...one. Obviously it is not a final order, as it would have been if the cause had been dismissed. See Page 439 Goldfarb v. Bronston, 154 Fla. 180 , 17 So.2d 300. In denying the motion, the court is not disposing of the case; it simply decides that the inconvenience to the defendant of the chose......
Raphael v. Carner, No. 289 United States Court of Appeal of Florida (US) January 17, 1967 ...only on appeal from a subsequent judgment or order finally adjudicating the entire cause or complaint. Goldfarb v. Bronston, 1944, 154 Fla. 180 , 17 So.2d 300; Morse v. Hendry Corporation, Fla.App.1965, 177 So.2d 31. Further, an order which dismisses a complaint but also grants leave to amen......
Bailey v. Allstate Ins. Co., No. 68--333 United States Court of Appeal of Florida (US) February 5, 1969 ...Chastain v. Embry, id. See, also, Strazzulla et al. v. Hinson (Fla.App.2d 1959), 113 So.2d 419; and Goldfarb v. Bronston et al. (1944), 154 Fla. 180 , 17 So.2d 3 State ex rel. Royal Ins. Co. v. Barrs (Fla.1924), 87 Fla. 168, 99 So. 668. 4 See Craft v. Clarembeaux, (Fla.App.2d 1964), 162 So.2......
Russell v. Russell, No. 4-86-0876 United States Court of Appeal of Florida (US) April 29, 1987 ...an order's being non-appealable until a further order dismissing the complaint has been rendered. See, for example Goldfarb v. Bronston, 154 Fla. 180 , 184, 17 So.2d 300, 301 (1944) and Gates v. Hayner, 22 Fla. 325 (1886), cited therein. See, also, Baker v. Colley, 104 So.2d 473 (Fla. 2d DCA......
8 cases
Southern Ry. Co. v. Bowling, No. 60-622 United States Court of Appeal of Florida (US) April 24, 1961 ...one. Obviously it is not a final order, as it would have been if the cause had been dismissed. See Page 439 Goldfarb v. Bronston, 154 Fla. 180 , 17 So.2d 300. In denying the motion, the court is not disposing of the case; it simply decides that the inconvenience to the defendant of the chose......
Raphael v. Carner, No. 289 United States Court of Appeal of Florida (US) January 17, 1967 ...only on appeal from a subsequent judgment or order finally adjudicating the entire cause or complaint. Goldfarb v. Bronston, 1944, 154 Fla. 180 , 17 So.2d 300; Morse v. Hendry Corporation, Fla.App.1965, 177 So.2d 31. Further, an order which dismisses a complaint but also grants leave to amen......
Bailey v. Allstate Ins. Co., No. 68--333 United States Court of Appeal of Florida (US) February 5, 1969 ...Chastain v. Embry, id. See, also, Strazzulla et al. v. Hinson (Fla.App.2d 1959), 113 So.2d 419; and Goldfarb v. Bronston et al. (1944), 154 Fla. 180 , 17 So.2d 3 State ex rel. Royal Ins. Co. v. Barrs (Fla.1924), 87 Fla. 168, 99 So. 668. 4 See Craft v. Clarembeaux, (Fla.App.2d 1964), 162 So.2......
Russell v. Russell, No. 4-86-0876 United States Court of Appeal of Florida (US) April 29, 1987 ...an order's being non-appealable until a further order dismissing the complaint has been rendered. See, for example Goldfarb v. Bronston, 154 Fla. 180 , 184, 17 So.2d 300, 301 (1944) and Gates v. Hayner, 22 Fla. 325 (1886), cited therein. See, also, Baker v. Colley, 104 So.2d 473 (Fla. 2d DCA......
| https://case-law.vlex.com/vid/goldfarb-v-bronston-894105920 |
Genes | Free Full-Text | The 5′-3′ Exoribonuclease XRN4 Regulates Auxin Response via the Degradation of Auxin Receptor Transcripts
Auxin is a major hormone which plays crucial roles in instructing virtually all developmental programs of plants. Its signaling depends primarily on its perception by four partially redundant receptors of the TIR1/AFB2 clade (TAARs), which subsequently mediate the specific degradation of AUX/IAA transcriptional repressors to modulate the expression of primary auxin-responsive genes. Auxin homeostasis depends on complex regulations at the level of synthesis, conjugation, and transport. However, the mechanisms and principles involved in the homeostasis of its signaling are just starting to emerge. We report that xrn4 mutants exhibit pleiotropic developmental defects and strong auxin hypersensitivity phenotypes. We provide compelling evidences that these phenotypes are directly caused by improper regulation of TAAR transcript degradation. We show that the cytoplasmic 5′-3′ exoribonuclease XRN4 is required for auxin response. Thus, our work identifies new targets of XRN4 and a new level of regulation for TAAR transcripts important for auxin response and for plant development.
Background:
The 5′-3′ Exoribonuclease XRN4 Regulates Auxin Response via the Degradation of Auxin Receptor Transcripts
by David Windels 1,2,* and Etienne Bucher 1,2
1
Botanical Institute, University of Basel, Zurich-Basel Plant Science Center, Part of the Swiss Plant Science Web, Schönbeinstrasse 6, 4056 Basel, Switzerland
2
IRHS, Agrocampus-Ouest, INRA, Université d’Angers, SFR 4207 QuaSaV, 49071 Beaucouzé, France
*
Author to whom correspondence should be addressed.
Genes 2018 , 9 (12), 638; https://doi.org/10.3390/genes9120638
Received: 26 November 2018 / Revised: 13 December 2018 / Accepted: 13 December 2018 / Published: 17 December 2018
(This article belongs to the Section Plant Genetics and Genomics )
Auxin is a major hormone which plays crucial roles in instructing virtually all developmental programs of plants. Its signaling depends primarily on its perception by four partially redundant receptors of the TIR1/AFB2 clade (TAARs), which subsequently mediate the specific degradation of AUX/IAA transcriptional repressors to modulate the expression of primary auxin-responsive genes. Auxin homeostasis depends on complex regulations at the level of synthesis, conjugation, and transport. However, the mechanisms and principles involved in the homeostasis of its signaling are just starting to emerge. We report that
xrn4
mutants exhibit pleiotropic developmental defects and strong auxin hypersensitivity phenotypes. We provide compelling evidences that these phenotypes are directly caused by improper regulation of TAAR transcript degradation. We show that the cytoplasmic 5′-3′ exoribonuclease XRN4 is required for auxin response. Thus, our work identifies new targets of XRN4 and a new level of regulation for TAAR transcripts important for auxin response and for plant development.
Keywords:
XRN4
;
RNA Decay
;
Auxin
1. Introduction
Plant growth, organogenesis, and diverse responses to environmental changes are control by auxins plant hormones [ 1 , 2 ]. The perception of Auxin signaling depends on auxin receptors of the TAAR [TRANSPORT INHIBITOR RESPONSE 1 (TIR1)/AUXIN SIGNALLING F-BOX PROTEIN 2 (AFB2)] family. There are four TAARs genes which have partially-redundant functions [ 3 , 4 , 5 ]. TAAR proteins belong to SKIP/CULLIN/F-BOX (SCF)-ubiquitin ligase complexes and in presence of auxins can form a complex with AUXIN/INDOLE-3-ACETIC ACID (AUX/IAA) transcriptional repressors [ 6 , 7 , 8 ]. These AUX/IAA proteins are ubiquitinated and degraded by the 26S proteasome [ 6 ]. The degradation of AUX/IAA induces the release of AUXIN RESPONSE FACTOR (ARF) transcription factors. ARFs leads to the activation (5 ARFs) or to the repression (18 ARFs) of primary auxin-responsive genes [ 1 , 9 , 10 ].
Auxin signaling is an extremely robust system which invokes complex homeostatic regulations at the levels of synthesis, conjugation, and transport [ 2 , 11 ]. Moreover, recent works, including ours, have shown that it also involves complex regulation at the level of signaling [ 12 , 13 , 14 , 15 , 16 , 17 ]. Thus, auxin signaling homeostasis also appears to depend on the homeostasis of TAAR transcripts and to involve tight regulation orchestrated by the microRNA miR393 and by a complex network of secondary small interfering RNAs (siRNAs), the siTAARs [ 13 , 14 , 15 , 18 ]. Importantly, this regulation is highly significant for auxin signaling, since it appears necessary for the production of proper signaling outputs important for plant development [ 16 ].
RNA surveillance and RNA decay encompass a large array of ubiquitous regulatory mechanisms involved in controlling the integrity and turn-over of cellular RNAs [ 19 , 20 ]. These mechanisms depend on specific recognition factors and on the activity of endonucleases and of 5′-3′ and 3′-5′ exonucleases to degrade decapped, improperly terminated, improperly processed or improperly spliced RNA molecules [ 19 , 20 ]. In Arabidopsis, the family of 5′-3′ exonucleases comprises 3 proteins: XRN2 and XRN3, which are localized in the nucleus and are involved in processing of pre-rRNA and for surveillance of proper termination of transcription [ 21 , 22 ], and XRN4, which is localized in the cytoplasm and is implicated in the degradation of a subset of 3′ RNA fragments generated upon microRNA-guided cleavages [ 23 , 24 , 25 , 26 ]. Importantly, none of the XRN proteins of plants seem to have a general role in mRNA turn-over [ 23 , 24 , 26 ]. Indeed, although the steady-state level of many transcripts is increased in xrn4 mutants, none of these transcripts exhibit altered turn-over rate [ 27 ]. For example, although XRN4 is an important component of signaling by the plant hormone ethylene, its involvement in this signaling pathway, via regulation of EIN3 BINDING F-BOX1 and 2 (EBF1 and EBF2) messenger RNA (mRNA) levels, was shown to be indirect [ 28 , 29 , 30 , 31 ]. Still recently, Merret et al. found that many transcripts may be targeted by XRN4 under heat stress, and at least eight of those were directly degraded [ 32 ].
We report here that
xrn4
mutant plants exhibit pleiotropic developmental defects and hypersensitive responses to auxin that are caused by their inability to generate accurate auxin response. We show that
xrn4
mutants are unable to properly regulate the turn-over of TIR1/AFB2 auxin receptor (TAAR) transcripts and that chemical suppression of TAAR functions leads to suppression of certain developmental defects observed in
xrn4
plants. Thus, our data provide evidences showing that XRN4 is a component and a direct regulator of the auxin signaling pathway. Our work identifies new direct XRN4 target RNAs and a new layer of regulation of TAAR transcripts.
2. Materials and Methods
2.1. Plant Material, Growth Conditions, and Treatments
Arabidopsis thaliana
plants were grown in soil under long day conditions (16 h 10,000 lux lights at 21 °C/8 h dark at 16 °C) in growth chambers at 65% relative humidity [
15
,
16
,
33
]. Assays for inhibition of root elongation were done as described in [
4
]. For scoring the incidence of leaf serration, seeds were germinated and grown for 28 days on MS medium supplemented with PEO-IAA (alpha-(phenylethyl-2-oxo)-IAA) in dimethyl sulfoxide (DMSO) or DMSO alone as a control in 5.5 cm high Petri dishes. For studies of IAA3pro:GUS, IAA12pro:GUS, and DR5pro:GUS expression, seven day old seedlings were incubated in MS medium containing 10 µM 2,4-D in ethanol or ethanol alone as a control for the time indicated before proceeding to staining. For studies of AXR3-NT:GUS fusion protein stability, seven day old seedlings were placed in water at 37 °C for 2 h to induce the expression of the
HSpro:AXR3-NT:GUS
gene and incubated for 30 min at room temperature before proceeding to GUS staining. For the treatments, either 10 µM 2,4-D were added to the solution 4 h before the heat shock.
2.2. Histochemical GUS Assays
Arabidopsis seedlings were incubated into a staining solution containing 1 mM X-Gluc in 100 mM Na 3 PO 4 (pH 7.2), 0.1% Triton X-100, 5 mM K 3 Fe(CN) 6 , and 5 mM K 4 Fe(CN) 6 for 24 h at 37 °C in the dark. Seedlings were then cleared in 70% ethanol for two days and mounted in 50% v/v glycerol before observations.
2.3. RNA Decay Assay
For determining the rate of RNA decay, seeds were grown in short day (SD) conditions for 14 days in liquid MS medium and treated with 0.6 mM cordycepin as described in [ 34 ]. Tissues were collected at the indicated intervals before RNA extraction. Half-life times of transcripts were estimated by calculation of signal decay rate per minute.
2.4. RNA Preparation and RNA Analysis
RNA extractions and Northern blot hybridizations were done as described in [ 15 ].
3. Results
3.1. XRN4 Defective Plants Exhibit Pleiotropic Developmental Defects
We observed that mutants impaired in the function of XRN4 exhibit developmental abnormalities which resulted in an increase of their global stature and altered the morphology of several of their organs, as for the T-DNA insertion allele
xrn4-3
(
Figure 1
). As exemplified in
Table 1
,
ein5-7
mutants, another allele of
xrn4
, develop longer leaves and generate significantly more of these leaves (Student
t
-test,
p
= 1.2 × 10
−5
) than the wild-type (wt) plants. Their rosettes are three times heavier than those of wt plants (
p
= 4.4 × 10
−7
), their stems have shorter internodes (
p
= 2.7 × 10
−6
), and they develop a greater number of flowers (
p
= 1.9 × 10
−3
). Their root system is also affected; primary roots are longer with less lateral roots (
p
> 1.6 × 10
−5
) than in wt plants. The morphology of their organs is also altered; the leaves develop significantly more serrations (
p
> 3 × 10
−4
) and the flowers are more often duplicated (
p
= 3.1 × 10
−4
) in
xrn4
compared to wt plants. Thus, deficiency in XRN4 function leads to production of pleiotropic morphological defects. These observations suggested that XRN4 regulates the expression of genes involved in several important developmental programs.
3.2. Defects in XRN4 Result in Hypersensitive Physiological Responses to Auxin
The pleiotropic defects observed for
xrn4
plants, especially their greater stature, their affected root architecture, and their serrated leaves suggested that these mutants are deficient in the regulation of auxin responses. This hypothesis was also supported by our observation that, in normal axenic growth conditions,
ein5-7
and
xrn4-3
mutants exhibit a significantly higher frequency of root enrolling (37.3% and 52.2%, respectively) (student
t
-test,
p
< 1.2 × 10
−5
,
n
= 66) than wild-type plants (11.9%) which was similar to that of the hypersensitive auxin mutants
mir393b-1
, and thus indicative of defects in auxin-dependent gravitropic responses (
Figure S1
).
To test whether auxin-dependent physiological and developmental responses are affected in xrn4 mutants, we compared the incidence of extreme cotyledon epinasty, typical for hypersensitive auxin response [ 15 , 16 ] in wt, in the two xrn4 alleles xrn4-3 and ein5-7 , and in the ein3-1 mutant, which serves as a control to evaluate indirect effects of ethylene signaling deficiency ( Figure 2 ). When grown on standard medium, a high and significantly greater fraction of xrn4-3 and ein5-7 mutants (>74%; Fischer exact test, p < 3.1 × 10 −8 ) than wt (2%) or ein3-1 (19%) plants exhibited the extreme cotyledon epinasty phenotype typical for hypersensitive response to auxin ( Figure 2 ). Similar to what we observed earlier for miR393-deficient mutants and the siTAARs deficient mutant dcl4-2 [ 15 , 16 ], this incidence was decreased by increasing the concentration of the auxin transport inhibitor NPA (1-N-naphthylphthalamic acid) in the medium. Thus, these observations showed that xrn4 mutants exhibit a hypersensitive response to auxin and that the cotyledon epinasty response to auxin depends on the regulation by XRN4, independently of the ethylene pathway.
As an additional test of hypersensitive auxin responses, we compared the inhibition of root elongation typical for response to the synthetic auxin 2,4-D in these organs [
4
]. Although the changes were subtler, the root elongation of both
xrn4
mutant alleles was slightly more inhibited than that of wt plants at all 2,4-D concentrations tested (
Figure S2
). The 2,4-D concentration necessary to reach 50% inhibition (RI50) was 12% to 24% lower for
xrn4
alleles than for wt. Thus, these observations showed that
xrn4
mutants also exhibit an auxin hypersensitive response phenotype in roots. Together with the cotyledon epinasty phenotype, these experiments established that XRN4 is important for proper physiological and developmental auxin-mediated responses.
3.3. Chemical Inhibition of TAAR Function Suppresses Specific xrn4 Phenotypes
The
xrn4
plants exhibit pleiotropic developmental defects, and at least some of these are hypersensitive auxin responses. To test whether some of the
xrn4
phenotypes are directly caused by improper auxin signaling, we suppressed the activity of TAAR proteins with the auxin antagonist PEO-IAA, which blocks auxin signaling by occupying the auxin binding site of TAAR proteins [
35
]. Interestingly, a significantly greater fraction of
xrn4-3
plants (76%; Fischer exact test,
p
< 1.8 × 10
−11
) relative to wt plants (12.5%) showed an extreme cotyledon epinasty phenotype which was gradually decreased by increasing the concentration of PEO-IAA in the medium (
Figure 3
A). Furthermore, 80 µM of PEO-IAA was necessary to observe no significative difference between the
xrn4-3
and wt plants.
We also measured the effect of PEO-IAA on the incidence of leaf serrations ( Figure 3 B). While the number of serrations, which we measured on the third and fourth leaf, was significantly higher in xrn4 compared to wt plants grown on MS medium, this number was decreased to similar values when 80 µM PEO-IAA was applied.
Thus, these experiments demonstrated that the chemical suppression of TAAR activity leads to suppression of some of the developmental and physiological defects of
xrn4
mutants.
3.4. XRN4 Regulates the Turn-Over of TAAR Transcripts
The molecular function of XRN4, the phenotype displayed by
xrn4
plants that could be reverted by a
TAAR
inhibitor and their hypersensitive auxin responses which were reminiscent to what we previously recorded for
mir393b-1
suggested a potential role for XRN4 in the regulation of
TAAR
transcripts. Thus, to determine whether these hypersensitive auxin responses was the result of improper regulation of
TAAR
gene expression, we analyzed their steady-state mRNA levels in
xrn4
mutants by northern blot. Interestingly, we found that the levels of full-length
TIR1
,
AFB2,
and
AFB3
mRNAs was higher in
xrn4
mutants than in wt plants (
Figure 4
A). AFB1, as for it, could not be detected using this method. To know if the increase of
TAAR
transcripts in
xrn4
plants can affect the production of siTAARs derived from
AFB2
(AFB2 3′D2(+)) (
Figure 4
B), we analyzed the accumulation of AFB2 3′D2(+) in
xrn4-3
and
xrn4-3/rdr6-14
. Whereas the level of mir393 still remained unchanged in
xrn4-3
(
Figure S3
), we can observe an increase of AFB2 3′D2(+) in
xrn4-3
but not in the double mutants
xrn4/rdr6
as expected, because the production of AFB2 3′D2(+) is dependent of RDR6.
To understand why the increase of siTAARs did not result in a decrease of
TAAR
transcripts, we analyzed the accumulation of
AFB2
and AFB2 3′D2(+) in the
xrn4
/
rdr6
double mutants. In the
xrn4/rdr6
double mutants the level of
AFB2
is much higher than in the
xrn4
mutants (
Figure 4
C), indicating that XRN4 is important for the control of TAAR transcript and siTAAR levels. The expression of auxin receptor genes of the
TIR1
/
AFB2
clade is affected in
xrn4
mutants. However, whether this effect is direct or indirect, and, whether it is responsible for the hypersensitive auxin responses of
xrn4
plants remains to be addressed.
To address if the
TIR
/
AFB2
transcripts are targeted directly or indirectly by XRN4, we treated the plants with the transcription inhibitor cordycepin [
30
] and we measured the kinetic of
TAAR
transcripts decay. The signals obtained by northern blot for
TIR1
and
AFB3
were too weak to provide informative conclusion, however, for
AFB2
, the signals for full-length mRNAs decreased faster in wt than in
xrn4
plants. Indeed, the half-life of
AFB2
transcripts was more than three times longer in
xrn4
(340 min) than in wt plants (100 min) (
Figure 4
D). Moreover, we ruled out the possibility that this is due to an increased activity of the
AFB2
promoter since the expression pattern of
AFB2p:GUS
was similar or lower, but not higher, in
xrn4
compared to wt plants (
Figure S4
). Thus, together these observations demonstrated that the increased accumulation of
AFB2
mRNAs in
xrn4
, and possibly that of other
TAAR
mRNAs, is directly due to improper decay of these mRNAs. Our experiments identified new targets of XRN4.
3.5. xrn4 Plants Exhibit Hypersensitive Auxin Signaling Responses
We previously showed that the auxin-hypersensitive mutants mir393a-1 and mir393b-1 exhibit a decreased basal level of DR5pro:GUS expression and a conversely increased basal level of IAA3pro:GUS , of IAA12pro:GUS, and of HS:AXR3-NT:GUS expression, which we could explain by an increased basal level of AUX/IAA proteins [ 16 ]. To determine whether the auxin-dependent hypersensitive phenotypes of xrn4 arise from similar hypersensitive auxin responses, we analyzed the expression of these reporter genes in xrn4 . While the synthetic primary auxin-responsive gene DR5pro:GUS was expressed in the margins and in the hydathodes of leaves, and in the hypocotyls and in the root tips of wt plants, it was only weakly or not at all expressed in xrn4 mutants ( Figure 5 A), and even after 2,4-D treatment, the induction of DR5pro:GUS was still weaker in xrn4 mutant roots compare to the wt roots ( Figure 5 B). Thus, the hypersensitive auxin signaling responses recorded in xrn4 were even stronger ( Figure 5 A) than those observed in mir393a-1 , mir393b-1, and even mir393ab double mutant plants [ 16 ]. Conversely, the IAA12pro:GUS, which are not detected in wt plants, had much higher basal expression levels in emerging leaves and in the meristematic region of xrn4 mutants ( Figure 5 D). In the case of IAA3pro:GUS, we did not observe a difference between xrn4 and wt plants. However, like in miR393-deficient mutants, the expression of IAA3pro:GUS and IAA12pro:GUS was more rapidly induced in xrn4 compared to wt plants by the synthetic auxin 2,4-D ( Figure 5 C,D). Thus, altogether, these results showed that, like miR393 mutants, xrn4 mutants exhibit strong hypersensitive responses to auxin.
To determine whether these hypersensitive auxin responses also rely on an increased basal level of AUX/IAA proteins, we analyzed the rate of AUX/IAA degradation by monitoring the accumulation of the AXR3-NT:GUS protein fusion ( Figure 6 ) [ 16 ]. After induction of the HSpro:AXR3-NT:GUS gene for two hours at 37 °C ( Figure 6 ), the AXR3-NT:GUS protein was stable in the roots of xrn4 and accumulated to a level similar to that observed in mir393b-1, while it could not be detected in wt plants ( Figure 6 ) [ 16 ]. Moreover, the two mutants occasionally exhibited ectopic expression of AXR3-NT:GUS in cotyledons and leaves ( Figure 6 ). These observations showed that xrn4-3 plants are also unable to properly degrade AUX/IAA proteins under normal growth conditions. To test whether these hypersensitive auxin responses were due to increased basal levels of AUX/IAA proteins as well, we treated the plants with 2,4-D for 4 h before inducing the HSpro:AXR3-NT:GUS gene. As we anticipated, chasing the high level of AUX/IAA proteins by inducing their degradation with high levels of auxin led to a restoration of the proper degradation of the AXR3-NT:GUS protein ( Figure 6 ).
Thus, altogether, these experiments suggest that
xrn4
, like miR393-deficient plants, likely accumulate high basal levels of endogenous AUX/IAA proteins. More importantly, these experiments demonstrated that the hypersensitive auxin responses exhibited by
xrn4
are comparable and stronger than that exhibited by miR393-deficient mutants and that XRN4 is required to ensure the timely degradation of AUX/IAA proteins and to generate reliable auxin signaling outputs.
4. Discussion
We have shown here that the 5′-3′ exoribonuclease XRN4 is a component of the auxin signaling pathway and that this function is achieved through a mechanism involving controlled degradation of TAAR transcripts. The Arabidopsis family of 5′-3′ exonuclease comprises 3 members, only one of which is localized in the cytoplasm and can potentially be involved in mature mRNA turn-over. XRN4 had been implicated in the degradation of 3′ RNA fragments generated upon microRNA-guided cleavages. Rymarquis and colleagues have shown that special features comprised within the 150 nucleotides downstream of the miRNA-binding site are necessary and sufficient for degradation of the 3′ cleavage fragments by XRN4 [
25
]. Their bioinformatic analyses also proposed that the basis for XRN4 selectivity might reside at least partially in the presence of hexameric nucleotide motifs. However, none of the xrn4-enriched transcripts used for the analysis have yet been shown to be directly degraded. It is therefore possible that these hexameric motifs rather represent sequences used by other proteins directly or indirectly regulated by XRN4. Similarly, the role of XRN4 in the ethylene signaling pathway occurs by indirectly controlling the mRNA level of EBF1 and EBF2. Because ethylene and auxin pathways are subjected to complex cross-talks at the level of their synthesis and likely at the level of their signaling, it is possible that the effects observed on EBFs are an indirect consequence of direct TAAR regulation. However, this hypothesis remains to be demonstrated.
We have shown that the mRNAs of AFB2, and presumably those of the other TAARs, are directly degraded by XRN4. However, the basis for this selectivity or the underlying mechanism remain to be determined. Although the mechanism involved is unknown, we believe that it is highly regulated and specific for selected full-length transcripts. Indeed, accumulation of TAAR transcripts in the xrn4 mutants leads to hypersensitive responses to auxin and developmental defects. Studies by Gregory and colleagues have used deep sequencing approaches to identify Arabidopsis transcripts which might be decapped and degraded by XRN4 [
36
]. The experimental validation of at least some of these hypothetical targets will help determining the molecular determinants important for selection by XRN4. Of course, we also expect that the TAAR transcripts are decapped before degradation. Martinez de Alba and colleagues have shown that XRN4 is co-localized with decapping proteins such as decapping (DCP) and varicose (VCS) in the P-bodies [
37
]. Like in animals, where XRN1 interacts with DCP1, selection of TAARs for degradation by XRN4 should depend on a specific interaction with a decapping protein [
38
]. Martinez de Alba and colleagues have also shown that decapping prevents RDR6-dependent production of small RNAs. RDR6 is localized in siRNA bodies, which are themselves closely linked with the P-bodies, indicating a strong interaction between RNA turnover and RNA silencing. Thus, we can speculate that XRN4 could modulate the quantity of the matrix available for the production and amplification of siTAARs necessary for the TAARs silencing, and so to ensure an appropriate auxin response.
We anticipate that siTAARs may also act as non-cells autonomously. Indeed, the pathway that we have identified might be responsible for the generation of certain auxin signaling maxima important for initiation of lateral organ formation [
39
,
40
]. Indeed, considering that XRN4 would not be expressed in a given cell or cell group, this would lead to the accumulation of high levels of TAAR transcripts in these cells and to the production of high levels of siTAARs. These would create auxin signaling maxima by subsequently moving and silencing TAAR transcripts in the surrounding cells. Importantly, some of the phenotypic defects observed in XRN4, like the perturbed phyllotaxis characterized by the stochastic production of flowers on the stems or the high degree of leaf serration, strongly support our model [
41
] (
Figure 1
).
Our work reveals that TAAR mRNA are targets of XRN4 and demonstrates that their regulation by XRN4 is necessary for the proper auxin response and plant development.
Supplementary Materials
The following are available online at https://www.mdpi.com/2073-4425/9/12/638/s1 , Figure S1: miR393b-1 and xrn4 mutants exhibit root enrolling phenotype typical for auxin-dependent gravitropy defects, Figure S2: Both ein5-7 and xrn4-3 mutants exhibit hypersensitive auxin-induced root growth inhibition, Figure S3: Level of mir393 remains unchanged in xrn4-3 , Figure S4: Expression of the AFB2 promoter in xrn4-3 .
Author Contributions
D.W. performed the experiments and analyzed the data. D.W. designed the research. E.B. and D.W. wrote the paper.
Funding
This work was supported by the Swiss National Science Foundation (Ambizione individual research grants PZ00P3_126329 and PZ00P3_142106 to Franck Vazquez) and by the EPICENTER ConnecTalent grant of the Pays de la Loire (E.B.).
Acknowledgments
We thank Franck Vazquez, who initiated this work, and for his constant support. The authors thank NASC for providing seeds of xrn4-3 mutants (N014209), Thomas Potuschak for seeds of ein5-7 mutants, Miltos Tsiantis for seeds of DR5pro:GUS line, Mark Estelle for seeds of AFB2pro:GUS line, and Ken-ichiro Hayashi for providing samples of PEO-IAA and auxinole. We thank the organizers and participants of the Auxin’2012 meeting in Hawai’i for informative talks and discussions. We thank Thomas Boller and Christian Körner for providing laboratory space and facilities at the Botanical Institute of the University of Basel.
Conflicts of Interest
The authors declare no conflict of interest. The funders had no role in the design of the study; in the collection, analyses, or interpretation of data; in the writing of the manuscript, or in the decision to publish the results.
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Figure 1. The xrn4 mutants exhibit pleiotropic development defects. For Col-0 and xrn4-3 , the photographs show representative series of rosette leaves and cauline leaves ( A , G ) and magnified views of the 5th leaves ( B , H ), stems with siliques and flowers ( C , I ), terminal inflorescences ( D , J ), closed flower buds ( E , K ), and opened flowers ( F , L ). See Table 1 for quantifications.
Figure 1. The xrn4 mutants exhibit pleiotropic development defects. For Col-0 and xrn4-3 , the photographs show representative series of rosette leaves and cauline leaves ( A , G ) and magnified views of the 5th leaves ( B , H ), stems with siliques and flowers ( C , I ), terminal inflorescences ( D , J ), closed flower buds ( E , K ), and opened flowers ( F , L ). See Table 1 for quantifications.
Figure 2. The xrn4 mutants exhibit extreme auxin-dependent epinasty of cotyledons. The incidence of the auxin-hypersensitive response in populations of Col-0 (open bars), ein3-1 (light grey bars), ein5-7 (dark-grey bars), and xrn4-3 mutants (dark bars). Seedlings ( n > 17 for each condition and genotype) were grown on media containing the concentration of N-1-Naphthylphthalamic Acid (NPA) indicated and harvested four days after germination. The p values (two-tailed Fisher’s exact test) for significant differences towards each other are indicated.
Figure 2. The xrn4 mutants exhibit extreme auxin-dependent epinasty of cotyledons. The incidence of the auxin-hypersensitive response in populations of Col-0 (open bars), ein3-1 (light grey bars), ein5-7 (dark-grey bars), and xrn4-3 mutants (dark bars). Seedlings ( n > 17 for each condition and genotype) were grown on media containing the concentration of N-1-Naphthylphthalamic Acid (NPA) indicated and harvested four days after germination. The p values (two-tailed Fisher’s exact test) for significant differences towards each other are indicated.
Figure 3.
Reversion of
xrn4
’s developmental phenotypes by chemical suppression of TAAR functions. (
A
) The incidence of the auxin-hypersensitive response in populations of Col-0 (open bars);
xrn4-3
(solid bars) seedlings grown on media containing the concentration of the auxin antagonist PEO-IAA (alpha-(phenylethyl-2-oxo)-IAA) indicated. The
p
values (two-sided Fisher exact test) for significant differences between pairs is indicated; no significant (NS),
p
> 0.05. (
B
) The mean number of serrations per leaf in populations of Col-0 (open bars) and
xrn4-3
(solid bars) plantlets grown on media supplemented (+) or (−) with 80 μM of the auxin antagonist PEO-IAA. The
p
-values (Student t-test) for significant differences are indicated; NS,
p
> 0.05.
Figure 3. Reversion of xrn4 ’s developmental phenotypes by chemical suppression of TAAR functions. ( A ) The incidence of the auxin-hypersensitive response in populations of Col-0 (open bars); xrn4-3 (solid bars) seedlings grown on media containing the concentration of the auxin antagonist PEO-IAA (alpha-(phenylethyl-2-oxo)-IAA) indicated. The p values (two-sided Fisher exact test) for significant differences between pairs is indicated; no significant (NS), p > 0.05. ( B ) The mean number of serrations per leaf in populations of Col-0 (open bars) and xrn4-3 (solid bars) plantlets grown on media supplemented (+) or (−) with 80 μM of the auxin antagonist PEO-IAA. The p -values (Student t-test) for significant differences are indicated; NS, p > 0.05.
Figure 4.
XRN4 is required for proper accumulation and turn-over of
TAAR
messenger RNAs (mRNAs) and siTAARs. (
A
) Comparison of
TIR1
,
AFB2,
and
AFB3
mRNA accumulation in Col-0,
xrn4-3,
and
mir393b-1
by Northern blot. Signals detected in
tir1-10
,
afb2-3,
and
afb3-5
mutants serve as negative controls; (
B
,
C
) analysis of AFB 3′D2(+) and
AFB2
mRNA accumulation, respectively, in
mir393b-1
, Col-0,
rdr6-14
,
xrn4-1,
and
xrn4-3/rdr6-14
by RNA-blot hybridization and Northern blot. (
D
) Analysis of
AFB2
mRNA decay by Northern blot in Col-0 and
xrn4-3
mutants for the time indicated after treatment with the transcription inhibitor cordycepin. The half-life (t1/2) of the
AFB2
transcript was determined by normalizing the
AFB2
signals to the 25S rRNA signals. Arrows indicate the full-length mRNA and asterisks indicate non-specific signals.
Midori Green
®
stained 25S rRNAs serve as a loading standard for northern blot and U6 for RNA-Blot hybridization.
Figure 4. XRN4 is required for proper accumulation and turn-over of TAAR messenger RNAs (mRNAs) and siTAARs. ( A ) Comparison of TIR1 , AFB2, and AFB3 mRNA accumulation in Col-0, xrn4-3, and mir393b-1 by Northern blot. Signals detected in tir1-10 , afb2-3, and afb3-5 mutants serve as negative controls; ( B , C ) analysis of AFB 3′D2(+) and AFB2 mRNA accumulation, respectively, in mir393b-1 , Col-0, rdr6-14 , xrn4-1, and xrn4-3/rdr6-14 by RNA-blot hybridization and Northern blot. ( D ) Analysis of AFB2 mRNA decay by Northern blot in Col-0 and xrn4-3 mutants for the time indicated after treatment with the transcription inhibitor cordycepin. The half-life (t1/2) of the AFB2 transcript was determined by normalizing the AFB2 signals to the 25S rRNA signals. Arrows indicate the full-length mRNA and asterisks indicate non-specific signals. Midori Green ® stained 25S rRNAs serve as a loading standard for northern blot and U6 for RNA-Blot hybridization.
Figure 5. The xrn4 mutant exhibits hypersensitive molecular responses to auxin. ( A ) Typical decrease in the basal expression levels of DR5pro:GUS in leaves, hypocotyl, and roots tips of xrn4-3 compared to wt plants; ( B ) lant treatment with 2,4-D for 4 h induced the expression of DR5pro:GUS more rapidly in wt than in xrn4-3 mutants; ( C , D ) expression levels of IAA3pro:GUS and IAA12pro:GUS in leaves of ein5-7 compared to wt plants.
Figure 5. The xrn4 mutant exhibits hypersensitive molecular responses to auxin. ( A ) Typical decrease in the basal expression levels of DR5pro:GUS in leaves, hypocotyl, and roots tips of xrn4-3 compared to wt plants; ( B ) lant treatment with 2,4-D for 4 h induced the expression of DR5pro:GUS more rapidly in wt than in xrn4-3 mutants; ( C , D ) expression levels of IAA3pro:GUS and IAA12pro:GUS in leaves of ein5-7 compared to wt plants.
Figure 6. XRN4 is required for proper degradation of AXR3-NT:GUS proteins. Pictures of cotyledons and roots of wt, xrn4-3 and mir393b-1 mutant expressing the HSpro:AXR3-NT:GUS gene. Without treatments, the AXR3-NT:GUS fusion protein is more stable in xrn4-3 and mir393b-1 than in wild-type (wt) plants, and sometimes accumulates ectopically in cotyledons. Clearance of high levels of endogenous AUX/IAA proteins by treatment with 2,4-D for 4 h before heat shock (HS) allowed proper degradation of AXR3-NT:GUS.
Figure 6. XRN4 is required for proper degradation of AXR3-NT:GUS proteins. Pictures of cotyledons and roots of wt, xrn4-3 and mir393b-1 mutant expressing the HSpro:AXR3-NT:GUS gene. Without treatments, the AXR3-NT:GUS fusion protein is more stable in xrn4-3 and mir393b-1 than in wild-type (wt) plants, and sometimes accumulates ectopically in cotyledons. Clearance of high levels of endogenous AUX/IAA proteins by treatment with 2,4-D for 4 h before heat shock (HS) allowed proper degradation of AXR3-NT:GUS.
Table 1. Comparison of wild type (wt) and xrn4 phenotypes at different stages of plant development.
Table 1. Comparison of wild type (wt) and xrn4 phenotypes at different stages of plant development.
Col-0 xrn4 p -Value 14 days-old Primary Root Length (mm) 51.3 ± 1.3 61.6 ± 1.4 4.0 × 10 −6 N. Lateral Roots 19.9 ± 1.2 12.8 ± 0.7 1.6 × 10 −5 28 days-old Fresh Weight (mg) 105 ± 10 325 ± 29 4.4 × 10 −7 N. of Serrations on 5th Leaf 0.8 ± 0.2 2.0 ± 0.2 3.1 × 10 −4 N. of Serrations on 7th Leaf 1.3 ± 0.3 3.5 ± 0.2 2.5 × 10 −6 34 days-old Number of Leaves 11.9 ± 0.2 17.4 ± 1.0 1.2 × 10 −5 45 days-old N. of duplicated siliques 0.0 ± 0.0 3.3 ± 0.6 3.1 × 10 −4 N. of aborted siliques 0.1 ± 0.1 0.7 ± 0.2 3.4 × 10 −2 N. of Silique insertions 25.0 ± 1.3 29.3 ± 0.7 2.9 × 10 −3 Internode length (mm) 7.9 ± 0.1 6.3 ± 0.2 2.7 × 10 −6
The values are Mean ± SE (standard error) for N = 10 plants grown in standard long day (LD) conditions. Statistical t -test p -values relative to Col-0 are given. Root measurements were done on vertically grown plantlets. The number of leaves was determined at 34 days just before bolting of the plants. These data are for the ein5-7 mutant allele. Similar values were recorded for the ein5-1 allele.
Windels D, Bucher E. The 5′-3′ Exoribonuclease XRN4 Regulates Auxin Response via the Degradation of Auxin Receptor Transcripts. Genes. 2018; 9(12):638.
https://doi.org/10.3390/genes9120638
Chicago/Turabian Style
Windels, David, and Etienne Bucher. 2018. "The 5′-3′ Exoribonuclease XRN4 Regulates Auxin Response via the Degradation of Auxin Receptor Transcripts" Genes9, no. 12: 638.
https://doi.org/10.3390/genes9120638
Windels D, Bucher E. The 5′-3′ Exoribonuclease XRN4 Regulates Auxin Response via the Degradation of Auxin Receptor Transcripts. Genes. 2018; 9(12):638.
https://doi.org/10.3390/genes9120638
Chicago/Turabian Style
Windels, David, and Etienne Bucher. 2018. "The 5′-3′ Exoribonuclease XRN4 Regulates Auxin Response via the Degradation of Auxin Receptor Transcripts" Genes9, no. 12: 638.
https://doi.org/10.3390/genes9120638
| https://www.mdpi.com/2073-4425/9/12/638/xml |
(PDF) Drosophihla topoisomerase I: Isolation, purificatioann and characterization
PDF | We have purified and characterized topoisomerase I from Drosophila melanogasts. The molecular weight of the enzyme is 135,000; 100,000, 90,000,... | Find, read and cite all the research you need on ResearchGate
Drosophihla topoisomerase I: Isolation, purificatioann and characterization
December 1982
Nucleic Acids Research 10(21)
DOI: 10.1093/nar/10.21.6945
Abstract and Figures
We have purified and characterized topoisomerase I from Drosophila melanogasts. The molecular weight of the enzyme is 135,000; 100,000, 90,000, and 65,000 molecular weight products result from degradation
of the enzyme. The enzyme relaxes both positive and negative supercoiled DNA. M++ is not absolutely required, but stimulates the enzymatic activity considerably.
. Purification of topoisomerase 1 from Drosophila eggs (100 gms) …
a). Isoelectric focusing of topoiomerase I. 20 ug each of myoglob in, carbonic anhydrase and bovine serum albumin (Sigma) with isoelectric points of 8.3, 5.9 and 4.9 respectively were used as standards (a). Approximately 1 vg of enzyme was dialyzed extensively against 30 mM potassium phosphate, pH 7.1 and applied in lane (b). Fig. 3(b). Topoisomerase activity from individual segments of agarose gel in lane (b) of Fig. 3(a). Using protein markers as top and bottom of the gel the agarose strip was cut into eight pieces followed by elution and renaturation as described in the text. Lane 4 corresponds to the enzyme band. …
a). Formation of the covalent complex between denatured 32P-labelled PM2 DNA and Drosophila topoisomerase I. The sample was prepared as described in Materials and Methods, and run on an SDS gel with 5% acrylamide using 0.075 M sodium phosphate buffer, pH 7, with 0.1% SDS. The resultant …
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... Several eukaryotic type I topoisomerases have been characterized including enzymes encoded by some viruses that infect eukaryotes (12)
(13)
(14)(15). For example, studies on topoisomerase I from vaccinia virus provided valuable insights into the structure-function relationships and the mechanism of type I enzymes (15). ...
Topoisomerase II from Chlorella virus PBCV-1 - Characterization of the smallest known type II topoisomerase
Article
Full-text available
Mar 2000
Oleg V. Lavrukhin
John M. Fortune
Thomas G. Wood
R. Stephen Lloyd
Type II topoisomerases, a family of enzymes that govern topological DNA interconversions, are essential to many cellular processes in eukaryotic organisms. Because no data are available about the functions of these enzymes in the replication of viruses that infect eukaryotic hosts, this led us to express and characterize the first topoisomerase II encoded by one of such viruses. Paramecium bursaria chlorella virus 1 (PBCV-1) infects certain chlorella-like green algae and encodes a 120-kDa protein with a similarity to type II topoisomerases. This protein was expressed in Saccharomyces cerevisiae and was highly active in relaxation of both negatively and positively supercoiled plasmid DNA, catenation of plasmid DNA, and decatenation of kinetoplast DNA networks. Its optimal activity was determined, and the omission of Mg2+ or its replacement with other divalent cations abolished DNA relaxation, All activities of the recombinant enzyme were ATP dependent. Increasing salt concentrations shifted DNA relaxation from a normally processive mechanism to a distributive mode. Thus, even though the PBCV-1 enzyme is considerably smaller than other eukaryotic topoisomerase II enzymes (whose molecular masses are typically 160-180 kDa), it displays all the catalytic properties expected for a type II topoisomerase.
View
Role of nucleosomal cores and histone H1 in regulation of transcription by RNA polymerase II
Oct 1991
Paul J. Laybourn
James T Kadonaga
The relation between chromatin structure and transcriptional activity was examined by in vitro transcription analysis of chromatin reconstituted in the absence or presence of histone H1. To maintain well-defined template DNA, purified components were used in the reconstitution of chromatin. Reconstitution of nucleosomal cores to an average density of 1 nucleosome per 200 base pairs of DNA resulted in a mild reduction of basal RNA polymerase II transcription to 25 to 50 percent of that obtained with naked DNA templates. This nucleosome-mediated repression was due to nucleosomal cores located at the RNA start site and could not be counteracted by the sequence-specific transcription activators Sp1 and GAL4-VP16. When H1 was incorporated into the chromatin at 0.5 to 1.0 molecule per nucleosome (200 base pairs of DNA), RNA synthesis was reduced to 1 to 4 percent of that observed with chromatin containing only nucleosomal cores, and this H1-mediated repression could be counteracted by the addition of Sp1 or GAL4-VP16 (antirepression). With naked DNA templates, transcription was increased by a factor of 3 and 8 by Sp1 and GAL4-VP-16, respectively (true activation). With H1-repressed chromatin templates, however, the magnitude of transcriptional activation mediated by Sp1 and GAL4-VP16 was 90 and more than 200 times higher, respectively, because of the combined effects of true activation and antirepression. The data provide direct biochemical evidence that support and clarify previously proposed models in which there is depletion or reconfiguration of nucleosomal cores and histone H1 at the promoter regions of active genes.
Microinjection of Anti-Topoisomerase I Immunoglobulin G Into Nuclei of Chironomus Tentans Salivary Gland Cells Leads tO Blockage of Transcription Elongation
Dec 1987
E Egyházi
Egon Durban
Purified anti-topoisomerase I immunoglobulin G (IgG) was microinjected into nuclei of Chironomus tentans salivary gland cells, and the effect on DNA transcription was investigated. Synthesis of nucleolar preribosomal 38S RNA by RNA polymerase I and of chromosomal Balbiani ring RNA by RNA polymerase II was inhibited by about 80%. The inhibitory action of anti-topoisomerase I IgG could be reversed by the addition of exogenous topoisomerase I. Anti-topoisomerase I IgG had less effect on RNA polymerase II-promoted activity of other less efficiently transcribing heterogeneous nuclear RNA genes. The pattern of inhibition of growing nascent Balbiani ring chains indicated that the transcriptional process was interrupted at the level of chain elongation. The highly decondensed state of active Balbiani ring chromatin, however, remained unaffected after injection of topoisomerase I antibodies. These data are consistent with the interpretation that topoisomerase I is an essential component in the transcriptional process but not in the maintenance of the decondensed state of active chromatin.
Localization of Specific Topoisomerase I Interactions within the Transcribed Region of Active Heat Shock Genes by Using the Inhibitor Camptothecin
Article
Jan 1987
David S. Gilmour
Sarah C. R. Elgin
Camptothecin stabilizes the topoisomerase I-DNA covalent intermediate that forms during the relaxation of torsionally strained DNA. By mapping the position of the resultant DNA nicks, we analyzed the distribution of the covalent intermediates formed on heat shock genes in cultured Drosophila melanogaster cells. Topoisomerase I was found to interact with the transcriptionally active genes hsp22, hsp23, hsp26, and hsp28 after heat shock but not with the inactive genes before heat shock. The interaction occurred predominantly within the transcribed region, with specific sites occurring on both the transcribed and nontranscribed strands of the DNA. Little interaction was seen with nontranscribed flanking sequences. Camptothecin only partially inhibited transcription of the hsp28 gene during heat shock, causing a reduced level of transcripts which were nonetheless full length. Topoisomerase I also interacted with the DNA throughout the transcriptionally active hsp83 gene, including an intron, in both heat-shocked and non-heat-shocked cells. The results point to a dynamic set of interactions at the active locus.
| https://www.researchgate.net/publication/31290084_Drosophihla_topoisomerase_I_Isolation_purificatioann_and_characterization |
India grapples with second wave of COVID-19 - The Lancet Microbe
India grapples with second wave of COVID-19
Udani Samarasekera
Open Access Published: June, 2021 DOI: https://doi.org/10.1016/S2666-5247(21)00123-3
India's devastating second wave of COVID-19 has overwhelmed its health system and the country. In several cities and states, oxygen supplies have been critical, hospitals have turned patients away, and crematoriums have run out of space. As of May 18, India had reported more than 26·4 million confirmed cases and over 274 000 deaths from COVID-19.
The country's surge in cases started in mid-March 2021 and rose rapidly in April. After 10 consecutive days of recording more than 300 000 new infections, on May 1, India reported just over 400 000 new COVID-19 cases in a single day. The country had been lulled into a false sense of security by low COVID-19 case numbers in February. “Functions, marriages that had been delayed for a year were suddenly held day, after day, after day”, Anurag Agrawal, Director of the CSIR Institute of Genomics and Integrative Biology (New Delhi, India) told
The Lancet Microbe
. Large public festivals and election rallies also went ahead, attended mostly by people not wearing masks or physically distancing. “Laxity was clearly increased all over the country at every level because there was a feeling of getting on with life”, said Agrawal.
Variants of SARS-CoV-2 are also probably contributing to the second wave. In late March, the Indian health ministry announced that a new variant, now known as B.1.617, had been identified in the state of Maharashtra. B.1.617 and the variant first identified in the UK, B.1.1.7, are linked to the surge in cases, said Agrawal: “March was a time of B.1.1.7 dominating in India and April the time when B.1.617 really started to rise…From India's point of view, B.1.617 is a variant of concern.”
Andrew Rambaut, professor of Molecular Evolution at University of Edinburgh (UK) and a co-investigator in COVID-19 Genomics UK (COG-UK), said that three mutations in B.1.617—causing substitutions E484Q, L452R, and P681R—are worrying. Three global variants of concern, including those first reported in Brazil (P.1 variant) and South Africa (B.1.351 variant), have substitutions at position 484, but these variants contain E484K. E484Q meanwhile has been “shown to have reduced neutralisation by some but not all convalescent plasma samples from people who have had natural infection with SARS-CoV-2 using an experimental system”, wrote Sharon Peacock, Director of COG-UK, and Professor of Public Health and Microbiology, University of Cambridge, UK, in a UK Science Media Centre statement on April 19.
L452R is present in several variants of interest, including B.1.429, which is linked to COVID-19 outbreaks in California. “This mutation has been associated with weaker neutralisation of the virus by convalescent plasma from people who have been infected with SARS-CoV-2”, noted Peacock. Agrawal said that on the basis of data from the USA on L452R and the presence of E484Q, Indian scientists thought “moderate increased transmissibility” might occur, “not highly increased transmissibility as we really saw in April”. As for the P681R substitution, it “is located adjacent to the furin cleavage site of the spike protein, which could mean a change in spike protein processing or other changes in biology”, said Peacock. Rambaut noted that all three sublineages of B.1.617 have the P681R mutation.
WHO's epidemiological update on April 27 noted that multiple other variants are also circulating in India. However, “preliminary modelling by WHO based on sequences submitted to [global database] GISAID suggest that B.1.617 has a higher growth rate than other circulating variants in India, suggesting potential increased transmissibility, with other co-circulating variants also demonstrating increased transmissibility.” Rambaut cautioned against attributing India's second wave to a single variant: “It's very premature to say that any one of these variants is the predominant reason for the surge. The fact that multiple variants are seen to be going to quite high prevalence possibly indicates a more complex picture than simply a new transmissible variant.”
Another factor behind the crisis in India has been its struggle to immunise its large population against SARS-CoV-2. India launched its vaccination drive in January, 2021, with a focus on vaccinating frontline workers and adults older than 45 years. On May 1, all adults older than 18 years became eligible for vaccination. During India's first wave of COVID-19, “young people were simply not getting infected or having much of a severe disease at all” but that is “not what we are seeing this time”, said Agrawal.
Vaccine supply has been an issue, with several states reporting shortages of COVID-19 vaccines in early May. As of May 3, just over 9% of India's 1·4 billion population had one dose of a COVID-19 vaccine and only 2% were fully vaccinated. The Serum Institute of India, the world's largest vaccine manufacturer, is set to deliver 220 million doses of Covishield, a version of Oxford–AstraZeneca's COVID-19 vaccine, to India's federal and state governments over the next few months. Still, that amount will only cover 8% of the country's population.
Article info
Publication history
Identification
| https://www.thelancet.com/journals/lanmic/article/PIIS2666-5247(21)00123-3/fulltext |
Porsche Newsroom & Notas de Prensa: Porsche extends electric sports car model range with the Taycan 4S - Porsche América Latina
Sala de prensa
La sala de prensa de
Porsche
es un servicio proporcionado por
Porsche
Communication para periodistas, blogueros y multiplicadores.
www.newsroom.porsche.com
Esta sección contiene una lista completa de nuestras notas de prensa.
Current
Porsche
AG Press releases
Porsche
extends electric sports car model range with the
Taycan
4S
New entry-level model with two battery sizes and a range of up to 463 kilometres according to WLTP
Stuttgart
.
It was only in September that the new electric sports car from
Porsche
celebrated its high-profile premiere on three continents simultaneously. Now, the company is already presenting the third version of the sports saloon with the
Taycan
4S. The new model is available with two battery sizes and delivers with the Performance battery up to 390 kW (530 PS) or with the Performance battery Plus up to 420 kW (571 PS). Following the
Taycan
Turbo
S and the
Taycan
Turbo
, the
Taycan
4S is therefore the new entry-level model in the series. A single-deck Performance battery with a total capacity of 79.2 kWh comes as standard. The two-deck Performance battery Plus familiar from the
Taycan
Turbo
S and
Taycan
Turbo
is optionally available. The total capacity here is 93.4 kWh.
The power output and range therefore vary correspondingly: with the Performance battery, the
Taycan
4S generates up to 390 kW (530 PS) overboost power output. Equipped with the Performance battery Plus, it delivers up to 420 kW (571 PS). In both variants, the
Taycan
4S accelerates from a standing start to 100 km/h in 4.0 seconds. The top speed is also 250 km/h in both cases. The range is up to 407 kilometres with the Performance battery and up to 463 kilometres with the Performance battery Plus (in accordance with WLTP in each case) – the highest value of the current
Taycan
range. The maximum charging capacity (peak) is 225 kW (Performance battery) or 270 kW (Performance battery Plus).
Innovative drive machines and dynamic performance
Breathtaking acceleration, tractive power typical of sports cars and outstanding continuously available power – the new model 4S also features these strengths of the
Taycan
. The permanently excited synchronous machine on the rear axle has an active length of 130 millimetres and is therefore exactly 80 millimetres shorter than the corresponding drive component on the
Taycan
Turbo
S and
Taycan
Turbo
. The pulse-controlled inverter used on the front axle in the
Taycan
4S operates with up to 300 amps, and the inverter on the rear axle with up to 600 amps.
With two permanently excited synchronous machines on the front and rear axles, in other words all-wheel drive, as well as a two-speed transmission on the rear axle, the drive architecture comprises the same main technical highlights as on its model brothers. The same also applies to the intelligent charging management and exemplary aerodynamics. With a cd value from 0.22, the aerodynamics makes a significant contribution to low energy consumption and thus long range. The clear, puristic exterior design with
Porsche
DNA is also typical for the
Taycan
, as is the unique interior design with wide display band.
Puristic exterior design with PorscheDNA
With its clear, puristic design, the
Taycan
signals the beginning of a new era. At the same time, it retains the unmistakable
Porsche
design DNA. From the front, it looks particularly wide and flat with highly contoured wings. The silhouette is shaped by the sporty roof line sloping downward to the rear. The highly sculpted side sections are also characteristic. The sleek cabin, the drawn-in rear C-pillar and the pronounced shoulders of the wings result in a sharply emphasised rear, typical of the brand. There are also innovative elements such as the glass-effect
Porsche
logo, which has been integrated into the light bar at the rear.
Distinguishing features of the
Taycan
4S compared with the
Turbo
and
Turbo
S include the aerodynamically optimised 19-inch
Taycan
S Aero wheels and the red-painted brake callipers. The front apron with new geometry, side sills and rear diffuser in black ensure further visual differentiation. LED headlights including
Porsche
Dynamic Light System Plus (PDLS Plus) are equipped as standard.
Unique interior design with a wide display band
The cockpit also signals the start of a new era with its clear structure and completely new architecture. The free-standing, curved instrument cluster forms the highest point on the dashboard. This places a clear focus on the driver axis. A central 10.9-inch infotainment display and an optional passenger display are combined to form an integrated glass band in a black-panel look.
As standard, the
Taycan
4S comes with a partial leather interior as well as front comfort seats with eight-way electrical adjustment.
With the
Taycan
,
Porsche
offers an entirely leather-free interior for the first time. Interiors made from innovative recycled materials underscore the sustainable concept of the electric sports car.
Centrally networked chassis systems
Porsche
uses a centrally networked control system for the
Taycan
chassis. The integrated
Porsche
4D Chassis Control analyses and synchronises all chassis systems in real time. As standard, the
Taycan
4S features adaptive air suspension with three-chamber technology including electronic damper control PASM (
Porsche
Active Suspension Management).
The
Taycan
4S has six-piston fixed-calliper brakes on the front axle with internally vented cast iron brake discs. The brake disc diameter is 360 millimetres on the front axle and 358 millimetres on the rear axle. Four-piston brakes are used on the rear axle. The brake callipers of the brake system are painted red.
The
Taycan
4S can be ordered immediately and will arrive in European dealerships in January 2020. Prices in Germany start at 105,607 euros – including VAT and country-specific equipment.
Further information, film and photo material in the Porsche Newsroom: newsroom.porsche.com
The consumption and CO
2
emission values were calculated according to the new Worldwide Harmonised Light Vehicle Test Procedure (WLTP). The NEDC values derived from this must continue to be specified for the time being. These values cannot be compared with the values calculated on the basis of the previously used NEDC test.
Further information on the official fuel consumption and official, specific CO
2
emissions of new passenger cars is available in the publication entitled “Guide on the fuel economy, CO
2
emissions and power consumption of all new passenger car models offered for sale on the German market”, which is available free of charge from all sales outlets and from Deutsche Automobil Treuhand GmbH (DAT).
Taycan 4S with Performance battery: combined power consumption 24.6 kWh/100 km; combined CO 2 emissions 0 g/km Taycan 4S with Performance battery Plus: combined power consumption 25.6 kWh/100 km; combined CO 2 emissions 0 g/km
Further information and pictures for journalists and media representatives can be found on the
Porsche
press database at
http://presse.porsche.de/
.
| https://www.porsche.com/latin-america-es/aboutporsche/pressreleases/?lang=none&pool=international-de&id=565834 |
Closed-Loop Fluid Administration System Using Hemodynamic Monitors - Full Text View - ClinicalTrials.gov
Closed-Loop Fluid Administration System Using Hemodynamic Monitors
The safety and scientific validity of this study is the responsibility of the study sponsor and investigators. Listing a study does not mean it has been evaluated by the U.S. Federal Government.
Read our disclaimer for details.
ClinicalTrials.gov Identifier: NCT02020863 Recruitment Status :
Completed First Posted : December 25, 2013 Results First Posted : May 27, 2016 Last Update Posted : May 27, 2016
Sponsor:
University of California, Irvine
Information provided by (Responsible Party):
Maxime Cannesson, University of California, Irvine
Study Details
Study Description
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Brief Summary:
The purpose of this study is to evaluate the feasibility of a closed-loop (automated) fluid administration system to deliver fluids using feedback from standard operating room hemodynamic monitors. In standard anesthesia care the rate of IV fluid administration to the patient is determined by the anesthesiologist caring for the patient. In this study protocol, the rate of fluid administration will be determined instead by the closed-loop (automated) control system under the supervision of the anesthesiologist. The system will independently decide when to give fluid and at what rate; the supervising anesthesiologist will monitor the system to ensure appropriate volumes are being delivered and to intervene if necessary.
Condition or disease Intervention/treatment Phase Intraoperative Volume Status Postoperative Complications Device: Closed Loop Not Applicable
Detailed Description:
In our protocol we will test the hypothesis that closed-loop fluid administration can maintain higher cardiac stroke volume (shown to improve patient outcomes after surgery) than anesthesiologist management. We have shown this to be the case in multiple simulation studies and in-vivo animal studies, but not yet experimentally in a clinical setting. Investigators will recruit their patients from the surgical record that that require cardiac output monitoring undergoing surgery and require mechanical ventilation and consent to participate in the study will be included in the study. They will receive standard patient care in that in no way will their anesthetic or surgical procedure will be altered as part of the study, with the exception of fluid administration. Fluids are usually given to a patient based on the physician's discretion. As part of the study patients will receive fluid management via a closed loop (automated) system that will use an infusion pump (Q-Core) and a controller (a computer run index and algorithm developed by Sironis) to make frequent, regular and accurate adjustments to the amount of fluid the patient receives using feedback from standard operating room monitors at UCI). Data from this study will be retrospectively compared to subjects case matched to evaluate differences in cardiac output, total fluid given, and patient outcomes.
Study Design
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Layout table for study information Study Type : Interventional
(Clinical Trial) Actual Enrollment : 40 participants Allocation: N/A Intervention Model: Single Group Assignment Masking: None (Open Label) Primary Purpose: Treatment Official Title: Closed-Loop Fluid Administration System Using Hemodynamic Monitors Study Start Date : November 2012 Actual Primary Completion Date : May 2014 Actual Study Completion Date : May 2014
Arms and Interventions
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Arm Intervention/treatment Experimental: Closed Loop Study patients will receive a baseline crystalloid infusion of 3 cc/kg/hr and all additional fluid management will be performed via a closed loop (automated) system that will determine rate, amount, and timing of fluid administration. Device: Closed Loop Fluid management in the closed loop group will be performed via a closed loop (automated) system that will use an infusion pump (Q-Core) and a controller (a computer run index and algorithm developed by Sironis) to make frequent, regular and accurate adjustments to the amount of fluid the patient receives using feedback from standard operating room monitors.
Outcome Measures
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Primary Outcome Measures
:
Fluid Status During Surgery [ Time Frame: Duration of Surgery, up to 8 hours ]
The primary outcome between groups is preload independence, defined as % case time where Stroke Volume Variation (SVV) is ≤12%.
Eligibility Criteria
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Information from the National Library of Medicine
Choosing to participate in a study is an important personal decision. Talk with your doctor and family members or friends about deciding to join a study. To learn more about this study, you or your doctor may contact the study research staff using the contacts provided below. For general information, Learn About Clinical Studies.
Layout table for eligibility information Ages Eligible for Study: 18 Years and older (Adult, Older Adult) Sexes Eligible for Study: All Accepts Healthy Volunteers: No
Criteria
Inclusion Criteria:
Adult subjects (over the age of 18)
Subjects undergoing elective major, abdominal surgery
Subjects requiring general anesthesia and mechanical ventilation
Subjects requiring cardiac output monitoring and an arterial line
Exclusion Criteria:
Subjects under 18 years of age
Subjects not undergoing surgery
Subjects not requiring general anesthesia or mechanical ventilation
Subjects not requiring cardiac output monitoring or an arterial line
Subjects who are pregnant
Subjects without the capacity to give informed consent
Publications:
Rinehart J, Liu N, Alexander B, Cannesson M. Review article: closed-loop systems in anesthesia: is there a potential for closed-loop fluid management and hemodynamic optimization? Anesth Analg. 2012 Jan;114(1):130-43. doi: 10.1213/ANE.0b013e318230e9e0. Epub 2011 Sep 29.
Bednarski P, Siclari F, Voigt A, Demertzis S, Lau G. Use of a computerized closed-loop sodium nitroprusside titration system for antihypertensive treatment after open heart surgery. Crit Care Med. 1990 Oct;18(10):1061-5. doi: 10.1097/00003246-199010000-00002.
Colvin JR, Kenny GN. Development and evaluation of a dual-pump microcomputer-based closed-loop arterial pressure control system. Int J Clin Monit Comput. 1989 Jan;6(1):31-5. doi: 10.1007/BF01723370.
Blankenship HB, Wallace FD, Pacifico AD. Clinical application of closed-loop postoperative autotransfusion. Med Prog Technol. 1990 May;16(1-2):89-93.
Bowman RJ, Westenskow DR. A microcomputer-based fluid infusion system for the resuscitation of burn patients. IEEE Trans Biomed Eng. 1981 Jun;28(6):475-9. doi: 10.1109/TBME.1981.324822. No abstract available.
Chaisson NF, Kirschner RA, Deyo DJ, Lopez JA, Prough DS, Kramer GC. Near-infrared spectroscopy-guided closed-loop resuscitation of hemorrhage. J Trauma. 2003 May;54(5 Suppl):S183-92. doi: 10.1097/01.TA.0000064508.11512.28.
DeBey RK, Westenskow DR, Jordan WS, McJames SW. A urine based control system for fluid infusion. Biomed Sci Instrum. 1987;23:195-8. No abstract available.
Rinehart J, Alexander B, Le Manach Y, Hofer C, Tavernier B, Kain ZN, Cannesson M. Evaluation of a novel closed-loop fluid-administration system based on dynamic predictors of fluid responsiveness: an in silico simulation study. Crit Care. 2011;15(6):R278. doi: 10.1186/cc10562. Epub 2011 Nov 23.
Rinehart J, Lee C, Cannesson M, Dumont G. Closed-loop fluid resuscitation: robustness against weight and cardiac contractility variations. Anesth Analg. 2013 Nov;117(5):1110-8. doi: 10.1213/ANE.0b013e3182930050.
Rinehart J, Lee C, Canales C, Kong A, Kain Z, Cannesson M. Closed-loop fluid administration compared to anesthesiologist management for hemodynamic optimization and resuscitation during surgery: an in vivo study. Anesth Analg. 2013 Nov;117(5):1119-29. doi: 10.1213/ANE.0b013e3182937d61.
Pearse R, Dawson D, Fawcett J, Rhodes A, Grounds RM, Bennett ED. Early goal-directed therapy after major surgery reduces complications and duration of hospital stay. A randomised, controlled trial [ISRCTN38797445]. Crit Care. 2005;9(6):R687-93. doi: 10.1186/cc3887. Epub 2005 Nov 8.
Forget P, Lois F, de Kock M. Goal-directed fluid management based on the pulse oximeter-derived pleth variability index reduces lactate levels and improves fluid management. Anesth Analg. 2010 Oct;111(4):910-4. doi: 10.1213/ANE.0b013e3181eb624f. Epub 2010 Aug 12.
Rinehart J, Chung E, Canales C, Cannesson M. Intraoperative stroke volume optimization using stroke volume, arterial pressure, and heart rate: closed-loop (learning intravenous resuscitator) versus anesthesiologists. J Cardiothorac Vasc Anesth. 2012 Oct;26(5):933-9. doi: 10.1053/j.jvca.2012.05.015. Epub 2012 Jul 12.
Rinehart J, Lilot M, Lee C, Joosten A, Huynh T, Canales C, Imagawa D, Demirjian A, Cannesson M. Closed-loop assisted versus manual goal-directed fluid therapy during high-risk abdominal surgery: a case-control study with propensity matching. Crit Care. 2015 Mar 19;19(1):94. doi: 10.1186/s13054-015-0827-7.
Joosten A, Huynh T, Suehiro K, Canales C, Cannesson M, Rinehart J. Goal-Directed fluid therapy with closed-loop assistance during moderate risk surgery using noninvasive cardiac output monitoring: A pilot study. Br J Anaesth. 2015 Jun;114(6):886-92. doi: 10.1093/bja/aev002. Epub 2015 Feb 17.
| https://clinicaltrials.gov/show/NCT02020863 |
Children’s Perceptions of Sibling Conflict During Middle Childhood: Issues and Sibling (Dis)similarity | Request PDF
Request PDF | Children’s Perceptions of Sibling Conflict During Middle Childhood: Issues and Sibling (Dis)similarity | This study focused on the content (rather than the frequency) of sibling conflict, conflict initiation, and conflict resolution during middle... | Find, read and cite all the research you need on ResearchGate
Children’s Perceptions of Sibling Conflict During Middle Childhood: Issues and Sibling (Dis)similarity
December 2001
Review of Social Development 9(2):173 - 190
DOI: 10.1111/1467-9507.00118
Authors:
Afsoon Eftekhari
Abstract
This study focused on the content (rather than the frequency) of sibling conflict, conflict initiation, and conflict resolution during middle childhood. Sibling similarity and heritability of children’s perceptions of sibling conflict were also examined. One hundred and eight school-aged sibling pairs were interviewed using a semi-structured interview format (average ages were 11.1 years and 8.2 years, respectively). Children’s responses were coded using 16 categories extracted from the literature and interviews. Results showed that descriptions of disagreements revolved around issues between the siblings (e.g., sharing personal possessions and physical aggression) rather than parental favoritism. Parental intervention, on the other hand, was cited as the most common outcome. Children in the same family rarely mentioned the same issues and only six out of 16 of the topics showed a pattern suggesting heritability. The importance of the school-aged sibling relationship to children’s sense of self, personal rights, and social understanding is discussed.
... For example, sibling cooperation yielded an estimate of 75 %, with this increasing to 85 % for sibling conflict.
McGuire et al. (2000)
focused their paper on sibling negativity, using a sample of full (biological) siblings and unrelated (adoptive) siblings, rather than twins. The authors reported evidence of a significant environmental contribution towards conflict within these dyads when children's reports were explored. ...
... Much of the existing research exploring SRQ in twins has compared MZ and DZ twins in the absence of a non-twin group (e.g., Penninkilampi-Kerola et al. 2005), or compared twins to non-twins, without considering twin zygosity (e.g., Tancredy and Fraley 2006). With the exception of Reiss et al.'s (2000) work, the BG papers discussed here have also either left out non-twin siblings in their research (e.g., Lemery and Goldsmith 2001), or have recruited biological siblings versus adoptive siblings (e.g.,
McGuire et al. 2000)
. These methodologies make it difficult to confirm, or disconfirm, inclusive fitness or attachment theories when studying sibling relationships. ...
... Also in line with the existing evidence (Lemery and Goldsmith 2001;
McGuire et al. 2000;
Reiss et al. 2000;Rende et al. 1992), parents tended to rate their children's behaviour towards one another in similar terms, yielding a large shared environmental component. This is indicative of consistency among children within the same family, once genetic similarity has been accounted for. ...
Using Twins to Better Understand Sibling Relationships
Article
Full-text available
Katharine M. Mark
Alison Pike
Rachel M Latham
Bonamy R Oliver
We compared the nature of the sibling relationship in dyads of varying genetic relatedness, employing a behavioural genetic design to estimate the contribution that genes and the environment have on this familial bond. Two samples were used-the Sisters and Brothers Study consisted of 173 families with two target non-twin children (mean ages = 7.42 and 5.22 years respectively); and the Twins, Family and Behaviour study included 234 families with two target twin children (mean age = 4.70 years). Mothers and fathers reported on their children's relationship with each other, via a postal questionnaire (the Sisters and Brothers Study) or a telephone interview (the Twins, Family and Behaviour study). Contrary to expectations, no mean level differences emerged when monozygotic twin pairs, dizygotic twin pairs, and non-twin pairs were compared on their sibling relationship quality. Behavioural genetic analyses also revealed that the sibling bond was modestly to moderately influenced by the genetic propensities of the children within the dyad, and moderately to substantially influenced by the shared environment common to both siblings. In addition, for sibling negativity, we found evidence of twin-specific environmental influence-dizygotic twins showed more reciprocity than did non-twins. Our findings have repercussions for the broader application of results from future twin-based investigations.
... É possível que disputas sobre direitos e propriedades sejam uma característica única e consistente da relação fraterna, ao menos enquanto ambos os irmãos vivem em casa. Além deste tema, a divisão de tarefas domésticas (Felson, 1983), a agressão física e verbal
(McGuire et al., 2000)
e o mau humor ou problemas de personalidade dos irmãos foram apontados como temas centrais das disputas (McGuire et al., 2000;Prochaska & Prochaska, 1985). O relato dos irmãos raramente incluiu o relacionamento com os progenitores como fonte de conflito. ...
... É possível que disputas sobre direitos e propriedades sejam uma característica única e consistente da relação fraterna, ao menos enquanto ambos os irmãos vivem em casa. Além deste tema, a divisão de tarefas domésticas (Felson, 1983), a agressão física e verbal (McGuire et al., 2000) e o mau humor ou problemas de personalidade dos irmãos foram apontados como temas centrais das disputas
(McGuire et al., 2000;
Prochaska & Prochaska, 1985). O relato dos irmãos raramente incluiu o relacionamento com os progenitores como fonte de conflito. ...
... O relato dos irmãos raramente incluiu o relacionamento com os progenitores como fonte de conflito. A luta por ter a atenção e o amor dos progenitores, conflitos envolvendo o tratamento parental diferencial ou comparações, estiveram entre as causas menos frequentes de conflito relatadas pelos irmãos (Felson, 1983;
McGuire et al., 2000;
Prochaska & Prochaska, 1985). Dunn (1995) corroborou esta perspectiva, ao afirmar que o conflito fraterno possuiria diversas causas, além da rivalidade e do ciúme. ...
sibling rivalry
... However, for many families in the modern western world (where our study was conducted), access to resources is adequate if not abundant. Studies focusing on proximate explanations of sibling conflict have suggested that the most common sources of conflict include issues of relative power, selfinterest (sharing personal items), violation of rules, and activities outside the family
(McGuire et al., 2000)
. Both younger and older siblings' most common complaint is about sharing personal possessions with the least common complaint competition over parental attention from toddlers to adolescents (Campione- Barr & Smetana, 2010;Dunn & Munn, 1985;McGuire et al., 2000). ...
... Studies focusing on proximate explanations of sibling conflict have suggested that the most common sources of conflict include issues of relative power, selfinterest (sharing personal items), violation of rules, and activities outside the family (McGuire et al., 2000). Both younger and older siblings' most common complaint is about sharing personal possessions with the least common complaint competition over parental attention from toddlers to adolescents (Campione- Barr & Smetana, 2010;Dunn & Munn, 1985;
McGuire et al., 2000)
. ...
Good Friends, Better Enemies? The Effects of Sibling Sex, Co-Residence, and Relatedness on Sibling Conflict and Cooperation
Dec 2021
Catherine A. Salmon
While siblings can be close allies, they can also be significant competitors. They are also family members that are typically with us for most of our lives. Research has raised questions about the factors shaping sibling relationships, and an adaptationist perspective would predict a role for a number of factors including sex, genetic relatedness, and childhood co-residence. Recent work has highlighted sex differences with regard to conflict and emotional closeness, greater conflict among full-siblings than half-siblings, and a role for co-residence in increasing sibling altruism. This study examines levels of both sibling conflict and sibling cooperation as a function of respondent sex, sex of sibling, birth interval (or absolute age difference), co-residence, and relatedness. Results indicate that sibling conflict and cooperation may not be shaped by the same set of factors. Sibling conflict was predicted by own sex, sex of sibling, birth interval, duration of co-residence, and the degree of relatedness. Greater levels of conflict were reported by sisters, those closer in age, those who have co-resided longer, and full-siblings compared to half-siblings. However, sibling prosocialness was only predicted by sex and relatedness with females and full siblings reporting greater levels of sibling prosocialness. More research investigating patterns of conflict and cooperation within families using more ecologically valid cues are necessary to determine whether the two are operating under the same mechanism, sensitive to the same cues, or are, indeed, operating under different mechanisms.
... To date, studies of adolescent siblings' conflict content have only utilized questionnaires (Campione- Barr et al., 2013;Campione-Barr & Smetana, 2010) or standardized interviews (Raffaelli, 1992) about previous sibling conflicts. Studies of younger siblings' conflicts also have used semi-structured or open interviews, as well as observations
(McGuire et al., 2000;
Recchia & Howe, 2010;Ross et al., 2006;Wilson et al., 2004). Conducting observational studies with adolescent siblings also is important in order to better understand the content of sibling conflict and how the content of conflicts is associated with the quality of conflict discussions and relationship quality. ...
... Finally, future research could examine sibling conflicts over a larger age range. For instance, prior studies on the content of sibling conflicts in early and middle childhood have found that conflicts typically surround sharing, possessions, inappropriate/ irritating behavior, and physical aggression (e.g.,
McGuire et al., 2000)
. Although these topics were present in some of adolescents' conflicts, conflicts involving invasion of the personal domain (more broadly than possessions) appear to be more evident in adolescence than earlier in development (based on comparison of rates across separate studies). ...
Differing Domains of Actual Sibling Conflict Discussions and Associations with Conflict Styles and Relationship Quality
... The most commonly cited source of conflict by both older and younger siblings has been the sharing of personal possessions, and the least commonly cited source has been competition over parental attention. This has been a consistent finding in studies conducted with toddlers and preschool-aged siblings (Dunn and Munn 1987;Stenimetz 1977), school-aged siblings
(McGuire et al. 2000)
, as well as adolescent siblings who noted conflict over personal space and possessions as not only the most frequent source of conflict, but also the most intense one (Campione-Barr and Smetana 2010). Given the consistency of these findings, it has been suggested that sibling conflict may be a process by which children learn their place in the world, learn how to set personal boundaries, and (especially for young adolescents) learn to assert their independence and claim autonomy over their personal choices (McGuire et al. 2000). ...
... This has been a consistent finding in studies conducted with toddlers and preschool-aged siblings (Dunn and Munn 1987;Stenimetz 1977), school-aged siblings (McGuire et al. 2000), as well as adolescent siblings who noted conflict over personal space and possessions as not only the most frequent source of conflict, but also the most intense one (Campione-Barr and Smetana 2010). Given the consistency of these findings, it has been suggested that sibling conflict may be a process by which children learn their place in the world, learn how to set personal boundaries, and (especially for young adolescents) learn to assert their independence and claim autonomy over their personal choices
(McGuire et al. 2000)
. ...
The Evolution of Violence
This volume is an interdisciplinary exploration of our understanding of the causes and consequences of violence. Represented in its chapters are noted scholars from a variety of fields including psychology, anthropology, law, and literature. The contributions reflect a broad scope of inquiry and diverse levels of analysis. With an underlying evolutionary theme each of the contributors invoke their separate areas of expertise, offering empirical and theoretical insights to this complex subject. The multi-faceted aspect of the book is meant to engender new perspectives that will synthesize current knowledge and lead to a more nuanced understanding of an ever timely issue in human behavior. Of additional interest, is a foreword written by world renowned psychologist, Steven Pinker, and an afterword by noted evolutionary scholar, Richard Dawkins. © Springer Science+Business Media New York 2014. All rights are reserved.
... Given that younger siblings look up to their older siblings, they may be eager to maintain harmony and engage in shared activities, whereas older siblings may perceive this 36 POWER, CONTROL, AND INFLUENCE IN SIBLING RELATIONSHIPS ACROSS DEVELOPMENT solicitousness as a source of irritation. In contrast, older siblings may be more concerned with issues of autonomy and privacy, especially with increasing age as they focus on extending their boundaries of personal jurisdiction (Helwig, 2006;
McGuire, Manke, Eftekhari, & Dunn, 2000)
. Furthermore, given older siblings' greater tendency to engage in aggressive conflict actions, self-protective motives may be more salient to younger siblings. ...
... Coding categories were drawn from theory and research pertaining to sibling conflict issues and motivations, as described in the introduction (e.g.,
McGuire et al., 2000;
Recchia et al., 2015;. Categories were subsequently refined based on family members' responses. ...
Relative Power in Sibling Relationships Across Adolescence
During childhood, older siblings typically hold a more powerful position in their relationship with their younger siblings, but these relationships are thought to become more egalitarian during adolescence as siblings begin to prepare for their relationships as adults and as younger siblings become more socially and cognitively competent. Little is known about relationship factors that may explain this shift in power dynamics, however. The present study therefore examined longitudinal changes in adolescents’ and their siblings’ perceptions of sibling relative power from age 12 to 18 (n = 145 dyads), and examined whether different levels of sibling relationship positivity and negativity, as well as sibling structural variables, indicated different over-time changes in relative power. Multilevel models indicated that adolescents reported significant declines in their siblings’ relative power across adolescence, with older siblings relinquishing the most power over time. However, only siblings with less positively involved relationships reported declines in relative power, suggesting that siblings who maintain highly involved relationships may not become more egalitarian during adolescence.
... Specifically, it has been found that although more siblings are associated with more overall incidents of sibling conflict, fewer siblings are associated with more severe acts of violence (Straus, Gelles, & Steinmetz, 2006). Studies which have investigated proximate explanations of sibling conflict found the most commonly cited sources of conflict (cited by both older and younger siblings) involved issues of relative power, self-interest (e.g., sharing of personal items), violation of rules (e.g., perceived immaturity and inappropriate behavior), as well as interests outside the family
(McGuire, Manke, Eftekhari, & Dunn, 2000)
. Across different ages from toddlerhood through adolescence, the most commonly cited source of conflict (in terms of both frequency as well as intensity) has been the sharing of personal space and possessions, while the least cited source of conflict has been competition over parental attention (Campione-Barr & Smetana, 2010;Dunn & Munn, 1987;McGuire et al., 2000;Steinmetz, 1977). ...
... Studies which have investigated proximate explanations of sibling conflict found the most commonly cited sources of conflict (cited by both older and younger siblings) involved issues of relative power, self-interest (e.g., sharing of personal items), violation of rules (e.g., perceived immaturity and inappropriate behavior), as well as interests outside the family (McGuire, Manke, Eftekhari, & Dunn, 2000). Across different ages from toddlerhood through adolescence, the most commonly cited source of conflict (in terms of both frequency as well as intensity) has been the sharing of personal space and possessions, while the least cited source of conflict has been competition over parental attention (Campione-Barr & Smetana, 2010;Dunn & Munn, 1987;
McGuire et al., 2000;
Steinmetz, 1977). ...
Sibling Conflict
... Furthermore, behavior and choices were the most frequent source of conflict among television siblings, while physical possessions were the least frequent source. These findings counter real-life conclusions that siblings most often fight over personal property or personal space (Dunn & Munn, 1987;
McGuire et al., 2000;
Raffaelli, 1997;Ross et al., 2006;Wilson et al., 2004). Real-life siblings also have conflicts surrounding fairness of time with personal possessions and time spent with other family members (McGuire et al., 2000). ...
... These findings counter real-life conclusions that siblings most often fight over personal property or personal space (Dunn & Munn, 1987;McGuire et al., 2000;Raffaelli, 1997;Ross et al., 2006;Wilson et al., 2004). Real-life siblings also have conflicts surrounding fairness of time with personal possessions and time spent with other family members
(McGuire et al., 2000)
. However, television siblings appear more concerned with helping one another make better choices, rather than arguing over toys or money. ...
Women Leaders in Higher Education: Constructing an Active Voice
Full-text available
Jan 2014
Despite a substantial increase in the number of women with advanced degrees in higher education, women leaders remain underrepresented in top leadership positions. This continued underrepresentation in numbers and status indicates that having more women in the university pipeline is not enough to improve the leadership status of women in higher education. Therefore, a fundamental change is needed in the approach that women take when considering and pursuing leadership positions. This qualitative study proposes that an essential component of this change should be an increase in women’s use of an “active voice” on college campuses. This study investigates how seven successful women leaders in higher education have constructed and implemented an active voice in developing their own leadership skills, and advancing opportunities for future women leaders, despite barriers that traditionally impede leadership attainment for women in higher education. Collectively, the stories of the seven women leaders depict higher education as a complex environment in which women struggle not only for equality, but also for their voices to be heard by both men and women.
... In relation to family size, evidence suggests more siblings are associated with more overall incidents of violence (Straus, Gelles, and Steinmetz 2006). Investigations of proximate explanations have found the most common sources of sibling conflict to involve issues of relative power, selfinterest such as the sharing of personal items, violation of rules (e.g., perceived immaturity and inappropriate behavior), and interests outside the family
(McGuire, Manke, Eftekhari, and Dunn 2000)
. The most commonly cited source of conflict by both older and younger siblings is the sharing of personal possessions, and the least commonly cited source is competition over parental attention. ...
... The most commonly cited source of conflict by both older and younger siblings is the sharing of personal possessions, and the least commonly cited source is competition over parental attention. This has been a consistent finding in studies conducted with toddlers and preschool-aged siblings (Dunn and Munn 1985;Steinmetz 1977), school-aged siblings
(McGuire et al. 2000)
, as well as adolescent siblings who noted conflict over personal space and possessions as not only the most frequent source of conflict but also the most intense (Campione-Barr and Smetana 2010). ...
The Evolutionary Psychology of Sibling Conflict and Siblicide
Our siblings can be our closest allies and yet are often our first rivals. What factors influence the nature of these relationships, and are there certain aspects that make our sib-lings more likely to be a source of conflict rather than solidar-ity? From an adaptationist perspective, sibling conflict should vary in frequency and intensity as a function of degree of relatedness. For example, conflict should be most frequent and intense between non-biological and step-siblings while conflict between full biological siblings should be least frequent and intense with half-sibling conflict being of an intermediate degree. This study examines levels of sibling conflict as a function of sex of participant, sex of sibling, degree of relatedness, and length of co-residence as well as self-reported sources of conflict. Results indicate that genetic relatedness does influence the frequency and intensity of conflict, though the most intense conflict was between non-biological siblings and the least was between half-siblings.
... In relation to family size, evidence suggests more siblings are associated with more overall incidents of violence (Straus, Gelles, & Steinmetz, 2006). Investigations of proximate explanations have found the most common sources of sibling conflict to involve issues of relative power, self-interest such as the sharing of personal items, violation of rules (e.g., perceived immaturity and inappropriate behavior), and interests outside the family
(McGuire, Manke, Eftekhari, & Dunn, 2000)
. It is interesting that the most commonly cited source of conflict by both older and younger siblings has been the sharing of personal possessions, and the least commonly cited source has been competition over parental attention. ...
... It is interesting that the most commonly cited source of conflict by both older and younger siblings has been the sharing of personal possessions, and the least commonly cited source has been competition over parental attention. This has been a consistent finding in studies conducted with toddlers and preschool aged siblings (Dunn & Munn, 1987;Stenimetz, 1977), school aged siblings
(McGuire et al., 2000)
, as well as adolescent siblings who noted conflict over personal space and possessions as not only the most frequent source of conflict, but also the most intense (Campione- Barr & Smetana, 2010). ...
Evolutionary Perspectives on the Nature of Sibling Conflict: the Impact of Sex, Relatedness, and Co-residence
Our siblings can be our closest allies and yet are often our first rivals. What factors influence the nature of these relationships, and are there certain aspects that make our siblings more likely to be a source of conflict rather than solidarity? From an adaptationist perspective, sibling conflict should vary in frequency and intensity as a function of degree of relatedness. For example, conflict should be most frequent and intense between non-biological and step-siblings while conflict between full biological siblings should be least frequent and intense with half-sibling conflict being of an intermediate degree. This study examines levels of sibling conflict as a function of sex of participant, sex of sibling, degree of relatedness, and length of co-residence as well as self-reported sources of conflict. Results indicate that genetic relatedness does influence the frequency and intensity of conflict, though the most intense conflict was between non-biological siblings and the least was between half-siblings.
... The quality of sibling relationships may, however, be affected by a wide range of factors. As young children are learning social skills and self-regulation, while cohabiting in close quarters and sharing possessions, conflict is common
(McGuire et al., 2000)
. Individual differences in age, gender and personality may lead to more or less friction between siblings (Milevsky, 2021). ...
A Randomized Controlled Trial of a Parenting Program to Improve Sibling Relationships
Jinny Hong
Matthew R. Sanders
Although parents of siblings play a crucial role in the development of both the positive and negative aspects of their children’s relationships, relatively few parenting programs specifically target sibling conflict alongside sibling warmth. To bridge this gap, the current study reports the outcomes of a randomized controlled trial evaluating a brief parenting intervention focusing on improving sibling relationships. A total of 74 parents reporting concerns about sibling conflict were randomized to either the Triple P brief discussion group intervention condition (n = 37) or the waitlist control condition (n = 37). Parents were predominately Caucasian, female, from a middle-income background. Parents completed a range of self-report measures examining the quality of the sibling relationship, parenting practices, family functioning, and child emotional and behavioral problems. Across treatment groups, participants showed improvements on almost all measures of sibling conflict, sibling warmth, child emotional and behavioral problems, parenting practices, and parenting confidence. Participants in the treatment group also experienced a greater reduction in the amount of help they wanted to manage sibling warmth, relative to participants in the control group. These results suggest that a low-intensity parenting intervention may only have a small effect on improving sibling relationships. Additional research is needed to determine how to broaden program efficacy for sibling conflict and parental adjustment, for families from diverse levels of income and family composition. Trial registration: ANZCTR 365567.
... While some studies have shown that larger sibships are associated with more sibling conflict (Straus et al., 2006), much of the research in the modern west has taken place in populations where resources are at least adequate if not abundant. In such populations, research suggests the most common sources of sibling conflict include issues of relative power, self-interest (sharing), violations of rules/obligations, and activities outside the family (Campione- Barr & Smetana, 2010;
McGuire et al., 2000)
. ...
Sibling Conflict and Closeness: The Effects of Sex, Number of Siblings, Relatedness, Parental Resemblance and Investment
Siblings may be our staunchest supporters as well as our most significant rivals. What factors shape these sibling relationships into ones of conflict versus closeness? Are conflict and closeness shaped by the same factors, occupying opposite ends of the same spectrum? Or are conflict and closeness independent of each other, being shaped by different factors? The current study examined conflict and closeness between siblings as a function of respondent sex; sex of sibling; genetic relatedness; age difference; time spent together; and perceived parental resemblance, investment, and favoritism. Results indicate the factors that shape conflict differ from those that shape closeness, suggesting they are not simply opposite ends of the same spectrum. While genetic relatedness, perceived parental favoritism, and sex of sibling relative to the respondent explained most of the variance in sibling conflict, most of the variance in sibling closeness was explained by time spent with the sibling and perceived sibling resemblance—not genetic relatedness. Furthermore, the factors examined in the study explained much more variance in closeness than in conflict. Future research utilizing within-family designs as well as cross-cultural data will be useful in adding to our understanding of how sibling conflict and closeness are shaped.
... In contrast, boys have been found to have more conflict with their siblings and are more likely to engage in destructive conflict resolution strategies (i.e., physical aggression) (Brody et al., 1985). Boy-boy pairs demonstrate the highest rate of intersibling conflict and aggression, followed by mixed-sex and girl-girl pairs, suggesting that sibling aggression may be higher when the dyad contains a boy (Aguilar et al., 2001;Buhrmester & Furman, 1990;Buist, 2010;Hoffman et al., 2005;
McGuire et al., 2000)
. ...
Do siblings influence one another? Unpacking processes that occur during sibling conflict
Sahar Borairi
André Plamondon
Michelle Rodrigues
Jennifer M. Jenkins
This study examined the extent to which 205 sibling dyads influenced each other during conflict. Data were collected between 2013 to 2015. The sample included 5.9% Black, 15.1% South Asian, 15.1% East Asian, and 63.8% White children. Older siblings were between 7–13 years old (Female = 109) and younger siblings were 5–9 years old (Female = 99). Siblings' conflict resolution was analyzed using dynamic structural equation modeling. Modeling fluctuations in moment‐to‐moment data (20‐s intervals) allowed for a close approximation of causal influence. Older and younger siblings were found to influence one another. Younger sisters were more constructive than younger brothers, especially in sister–sister dyads. Sibling age gap predicted inertia in older siblings. Socialization processes within sibling relationships are discussed.
... Another important area to explore is examining the influence of body-related parental differential treatment. Specifically, examining whether or not parents differentially encourage their children to diet or exercise or compare their children's appearances is important to study because it may negatively impact individual's body image and lead to negative parentchild and sibling relationships
(McGuire et al., 2000;
Padilla et al., 2016). Van Diest and Tylka (2010) explain the need to explore caregivers' messages because caregivers' messages may vary by their level of internalization of societal standards and as a result may treat their children differently. ...
Negative messages from parents and sisters and Latina college students’ body image shame
BODY IMAGE
Avelina Rivero
Sarah Killoren
Gabrielle Kline
Nicole Campione-Barr
Using the sociocultural model and risk and resilience theory, we examined the moderating role of Latinas’ family relationship quality on the associations between negative eating and weight messages from fathers, mothers, and sisters, and Latinas’ body image shame. Utilizing Amazon Mechanical Turk, we recruited a sample of 195 Latina young adults (Mage = 23.24, range = 18 −25; SD = 1.95; 67.4 % Mexican-origin) who reported retrospectively on negative appearance-related messages from each family member (i.e., fathers, mothers, and sisters), positive (e.g., parental warmth and sibling intimacy) and negative (i.e., parental psychological control and sibling negativity) relationship quality with parents and sisters, and current body image shame. Hierarchical linear regression analyses revealed that negative eating and weight messages from fathers, mothers, and sisters and sibling negativity were positively and significantly associated with Latinas’ body image shame. Further, we found that under conditions of high paternal psychological control but not low, the associations between fathers’ messages and Latinas’ body image shame were strengthened. For mothers, under conditions of low maternal psychological control but not high, the associations between mothers’ messages and Latinas’ body image shame were strengthened. Our findings reveal that family members’ negative comments are harmful for Latinas’ body image.
... They can describe their own and their siblings' goals and emotions, and how they harmed one another. Although children's descriptions of conflict tend to highlight the harms done to them and selectively elaborate on justifications for their own position
(McGuire et al., 2000;
Ross et al., 2004;Wilson et al., 2004), they can also describe ways in which they share blame for conflict. In the aftermath of having harmed their sibling, they can consider the morally laden implications of their own transgressions (Recchia & Howe, 2010;Recchia et al., 2013). ...
Sibling relations in early childhood
Amy L Paine
Nina Howe
Hildy S. Ross
This chapter focuses on sibling relations in early and middle childhood, but children are acutely aware of their younger sibling from their birth, and early interaction patterns influence later development. Relationships theory posits that children's development occurs in the context of intimate and close relationships, such as with parents and siblings. Children's sibling relationships are an important influence on their developmental outcomes and a context for developing understanding of the social world. The chapter discusses features of different sibling interactions associated with individual differences in social understanding and relationship quality: teaching, play and prosocial behavior, and conflict and aggression. Prominent developmental theories (e.g., social learning, attachment) suggest that children's interactions with close family members influence their patterns of behavior, social skills, and models of relationships. Siblings play an important role in one another's development in the early years. The sibling relationship is a natural laboratory for learning about the social world.
... The most cherished moments of Manjula's life are the ones she spends with her parents during holidays. Behrman (1997) and
McGuire et al. (2000)
point out that siblings compete frequently for the resources, including time and attention, of parents, and the fi nancial assets and material possessions of the family. While Malini lives in Koramangala with their parents, Manjula lives in Dharwad with their grandparents. ...
Understanding Rivalry: Staging Jealousy in Karnad’s “Broken Images”
Acclaimed Kannada and English playwright, Girish Karnad’s play Broken Images focuses on human relationships and their intricacies, as well as on the relationship between languages. Outwardly, it addresses the sibling relationship and focuses on its destructive side. However, on a close reading, this monologue unfolds a series of diverse human relationships, viz., the relationship of the two sisters, Manjula and Malini; the husband-wife relationship between Manjula and Pramod; the camaraderie of Pramod and Malini; the friendship between Pramod and Lucy; and the amity between Lucy and Manjula. Besides these personal relationships, the play deals with and explores at length another important relationship, the one between two languages, one regional and one global, the legacy of the erstwhile colonizers. The relationship between Manjula and Malini acts as a metaphor for the mismatch and the hierarchy between regional language writers and Indian English writers on the Indian literary scene. This paper, therefore, examines the aforementioned human relationships in the play to reveal the motives behind the enmity and the causes which lead to sinful actions that remain invisible at all times, and in the process comments upon the relationship between different language writers, as well as what leads to the formation of existing hierarchies. First, the paper investigates the sororal bond between Manjula and Malini; second, it examines the tripartite relationships and how the third party is perceived as a rival in the relationships of Manjula-Lucy-Pramod and Manjula-Malini-Pramod; and finally, it looks at the relationship that exists between the Bhasha writers and Indian English writers, and exposes the enmity in these relationships and its various causes.
... In the context of the current study, key adults may make assumptions about sibling dynamics, such that the behaviours they see youth depicting (e.g., conflict) may be interpreted as 'normal' sibling behaviours, and overestimate the quality of the sibling relationship when in fact they may be perceived as problematic by the youth. For instance, sibling conflict has been reported as the most prevalent form of family violence (Straus et al., 2003) and parents are brought in to help resolve the majority of sibling conflict
(McGuire et al., 2000;
Ross et al., 1996). Key adults may see their role as helping siblings avoid conflict. ...
Levels of agreement between youth in out-of-home care and key adults’ ratings of sibling and peer relationships: The impact of respondent characteristics and associations to youth resilience
The current study utilized survey data to determine if respondent characteristics and inter-rater agreement on measures of important relationships were associated with resilience among child welfare involved youth. Youth and key adults (e.g., caregivers or caseworkers) each completed a multidimensional survey of youth well-being. Both responded to measures of sibling and peer relationships, youth also completed a brief resilience measure. Inter-rater agreement for sibling and peer relationship constructs were established through independent samples t-test, Pearson correlation coefficient, Cronbach’s kappa, and double-entry intraclass correlation coefficient. Linear regression models then examined associations of respondent and dyad characteristics to inter-rater disagreement, and inter-rater disagreement to youth reported resilience. Post-hoc analyses probed interactions for respondent characteristics and inter-rater disagreement to youth resilience. Results indicate key adults overestimated the quality of youth’s sibling relationships, and inter-rater disagreement was highest when the youth was older and the adult was a caregiver. Sibling rater disagreement was associated with higher youth reported resilience. For peer relationships, significant inter-rater disagreement was not observed. Higher relative disagreement however was associated with lower youth resilience. Findings suggest levels of inter-rater agreement may be an important consideration when assessing the well-being of youth in out-of-home care.
... Παρότι συνήθως τα αδέλφια κατά την παιδική ηλικία συγκρούονται για θέματα ισχύος ή ιδιοτέλειας (όπως ανταλλαγή προσωπικών αντικειμένων)
(McGuire et al., 2000)
, υπάρχουν και καταστάσεις όπου η επιθετικότητα εμφανίζεται με μορφή βίας, η οποία μάλιστα παρουσιάζεται με μεγαλύτερη συχνότητα απ' ότι άλλες μορφές παιδικής κακοποίησης (Button & Gealt, 2009). ...
Εφαρμογή εκπαιδευτικής καινοτομίας με ανάλυση SWOT: Σχεδιασμός παρέμβασης με οπτική φύλου και στόχο την ολοκλήρωση της φοίτησης μαθητριών σε Εσπερινό Γυμνάσιο
Article
Full-text available
Evangelos Papakitsos
Xanthippi Foulidi
Επιστημονική Επετηρίδα, τεύχος 10, σελ. 91-100. Ελεύθερα διαθέσιμο από: http://dipe.kor.sch.gr/files/epetirid10o.pdf
... Investigations of specific processes involved insibling relationships across all age groups, as wellas adolescent siblings more generally, have beenlimited until the last few decades (Feinberg, McHale,Crouter, &Cumsille, 2003;Kim, McHale, Osgood,&Crouter, 2006). Research suggeststhat siblings continue to be important influences,even as adolescents begin spending less timewith family members as they enter young adulthood(Carbery&Buhrmester; D'Amico &Fromme, 1997).Research on sibling relationships in early and middle childhood has examined someaspects of sibling relationships such as sibling conflicts(McGuire,Manke, Eftekhari,
& Dunn, 2000)
and conflict resolution strategies (Howe, Rinaldi, Jennings, & Petrakos,2002), and parental intervention (Ross, Filyer, Lollis,Perlman, & Martin, 1994). ...
IJRMSS Journal V4, I2
Full-text available
Amima Shoeb
Adeel Maqbool
... However, it seems justified to refer to the psychological mechanisms that explain the results on adults such as greater egoism and focusing on the self-interest of richer people than those with a lower social status (Piff et al., 2012). This explanation seems to be justified in the case of the age group in which the study was concerned, because, as shown by the results of several studies, preschool age children are characterized by high self-centredness and concentration on self-interest (Birch & Billman, 1986;Blake & Rand, 2010;
McGuire, Manke, Eftekhari, & Dunn, 2000)
. ...
Preschoolers’ honesty and prosocial behavior determined by a sense of wealth and poverty
Preprint
Dariusz Karaś
Numerous studies of adults indicate that people who perceive themselves as rich are less prosocial than those who describe themselves as belonging to the poorer classes. Furthermore the state of being rich or poor affects immoral behavior. Surprisingly little is known regarding whether having more or less resources affects children’s behavior towards others. Presented study verify whether preschool children with an experimentally created sense of being rich or poor would present different social behaviors. Findings suggest that immoral behavior appears more often among children with a created sense of wealth and is an indirect effect between the prosocial behavior and the sense of wealth and poverty.
... . It corresponds with naturalistic observations indicating that spontaneous acts of sharing are relatively infrequent among toddlers and pre-schoolers when self-interest is at stake (Birch & Billman, 1986;
McGuire, Manke, Eftekhari, & Dunn, 2000)
. The self-centred behaviour of young children is in stark contrast with their believe in equality as a basic fairness principle and their marked inequity aversion (Fehr, Bernhard, & Rockenbach, 2008), which has been demonstrated in numerous studies using a variety of methodological approaches (e.g., Damon, 1977;Olson & Spelke, 2008;Shaw & Olson, 2012;Sommerville, Schmidt, Yun, & Burns, 2013). ...
Fairness, prosociality, hypocrisy, and happiness: Children's and adolescents’ motives for showing unselfish behaviour and positive emotions
Article
Jun 2019
BRIT J DEV PSYCHOL
Tobias Krettenauer
Kathleen Bauer
Sonia Sengsavang
The present study examined what motives account for age‐related decreases in selfish behaviour and whether these motives equally predict positive emotions when making a moral decision. The study was based on a sample of 190 children and adolescents (101 females) from three different age groups (childhood, early adolescence, and middle adolescence, M = 12.9 years, SD = 2.58). A decision‐making task was used where participants chose between (1) maximizing their own self‐interest versus (2) being prosocial, (3) being fair, or (4) appearing fair while avoiding the costs of actually being fair. Overall, prosociality and fairness were equally important motives for unselfish behaviour. At the same time, the importance of fairness motivation increased with age. Hypocrisy motivation was less frequent than expected by chance. Prosociality was most strongly and positively associated with self‐rated happiness about the decision, whereas the opposite was found for individuals who were motivated by fairness. Overall, the study indicates that children's or adolescents’ unselfish behaviour in decision‐making tasks are driven by a variety of motives with diverse emotional implications. The relative importance of these motives changes over the course of development.
Statement of contribution
What is already known on this subject?
• Older children behave less selfishly in resource allocation tasks.
• Prosocial behaviour is associated with positive emotions.
What the present study adds?
• Unselfish behaviour is equally motivated by fairness and prosociality.
• Fairness motivation increases from childhood throughout adolescence.
• Decisions motivated by prosociality are experienced as more positive than decisions motivated by fairness.
... found that parental differential treatment was associated with intersibling differences in adolescents' delinquent behaviors. Furthermore,
McGuire, Manke, Eftekhari, and Dunn (2000)
showed that children who perceived higher levels of differential treatment were also more likely to report conflicted relationships with their siblings. Kowal and Kramer (1997) extended this line of research to show that siblings often evaluated the fairness of parental differential treatment; siblings who reported that differential treatment was warranted, perhaps because it was performed in the service of meeting the unique needs, characteristics, and interests of individual children, reported more positive relationships with siblings than those who perceived parental differential treatment to be unfair. ...
Siblings
Chapter
Full-text available
Apr 2019
Laurie F Kramer
Katherine J Conger
Christy Rae Rogers
Niyantri Ravindran
In this chapter, we examine how siblings and sibling relationships affect, and are affected by, other family relationships. One key objective is to help researchers , educators and practitioners move beyond the traditional parent-driven model of how families operate to explore some of the ways that children-who are growing up with siblings-also affect the quality of family life. In so doing, we will consider some of the mutual influences of parent-child, marital , and sibling subsystems over the life course. As we examine relevant research and theory, we aim to enhance our understanding of the roles that sibling relationships play in promoting resilient families. More specifically, we will ask whether positivity in sibling relationships results in better functioning for individuals, parents, and for families as a whole-and, if so, whether this is true across the life course. In the United States, approximately 85% to 90% of families include multiple children (Milevsky, 2011). This means at least two things: First, children largely grow up in contexts that include other children , each of whom faces her or his own developmental challenges. And, second, that in addition to meeting the unique needs of each of their children as individuals, parents are also challenged to support and manage their children's relationships with one another (Dunn, 2014; Kramer, 2010). The implications of these two factors are powerful. At the very least, they require researchers, educators, and practitioners to move beyond the "social address models" of sibling relations that are concerned with the potential influences of immutable factors, such as birth order, age spacing, and sex constellation, and to examine the dynamic qualities of sibling relationships and their role in family systems.
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... Research on birth order tends to focus on the impact that birth order has on children's futures, considering how it may shape their personalities (Berthoud 1996;Sulloway 1996) as well as influence their successes and failures as adults (Conley 2004;Leman 2002). Psychological literature has tended to perceive siblings in relation to the "roles" and "expectations" of their birth order position (Boer and Dunn 1992;
McGuire et al. 2000;
Sutton-Smith and Rosenberg 1970). However, there is a lack of geographical or sociological studies on birth order Evans 2012). ...
Negotiating Sibling Relationships and Birth Order Hierarchies
Chapter
Jan 2018
Samantha Punch
... Several researchers have been able to elicit sharing among preschool aged children (Brownell, Svetlova, & Nichols, 2009;Fehr, Bernhard, & Rockenbach, 2008;Moore, 2009;Thompson et al., 1997;Williams et al., 2014), with the literature converging on the idea that children as young as 2 know that it is important to share (e.g., Rheingold et al., 1976). However, several other researchers found that while children under the age of 7 understand the importance of sharing, they did not actually engage in sharing behaviour (Birch & Billman, 1986;Eisenberg-Berg & Hand, 1979;
McGuire, Manke, Eftekhari, & Dunn, 2000;
Smith, Blake, & Harris, 2013). Thus, there is a considerable amount of variation exhibited in children's decisions to share with others. ...
The role of empathy and motivational context on children's prosocial lying and responding
Thesis
Aug 2017
P. Megha Nagar
... Research on birth order tends to focus on the impact that birth order has on children's futures, considering how it may shape their personalities (Berthoud 1996;Sulloway 1996) as well as influence their successes and failures as adults (Conley 2004;Leman 2002). Psychological literature has tended to perceive siblings in relation to the "roles" and "expectations" of their birth order position (Boer and Dunn 1992;
McGuire et al. 2000;
Sutton-Smith and Rosenberg 1970). However, there is a lack of geographical or sociological studies on birth order Evans 2012). ...
Negotiating Sibling Relationships and Birth Order Hierarchies
Chapter
Jan 2017
Samantha Punch
This chapter argues that the birth order is socially constructed and shows how birth order hierarchies are negotiated in everyday interactions between siblings. It explores the relative opportunities and constraints of children’s birth order positions within families. The chapter indicates that both children and parents recognize the existence of age and birth order hierarchies and that this may influence how siblings behave as well as how they are treated by family members. However, the ways in which age and birth order hierarchies are played out in children’s everyday lives are dynamic and do not follow rigid rules. The benefits and limitations of being in any birth order position are negotiated, contested, and accepted in a multitude of ways across different sibling groups. The chapter draws on the perspectives of older, middle, and younger siblings in order to demonstrate the many tensions and complexities which surround the perceived strengths and weaknesses of different locations in the birth order.
... Investigating this question would allow us to gain a more comprehensive understanding of what issues are likely to draw additional family members into a dispute, even if they are not previously or directly involved. While sibling disputes that require parental intervention concern issues related to possession, aggression, and obnoxious behavior
(McGuire, Manke, Eftekhari, & Dunn, 2000)
, this question has not been investigated in the context of the additional roles assumed during polyadic conflicts. In addition, Vuchinich et al. included a wide age range of children crossing several developmental periods; this makes it difficult to disentangle age and developmental factors associated with the processes of conflict resolution (Raffaelli, 1992). ...
Family members' helping behavior: Alliance formations during naturalistic polyadic conflicts: Alliances in polyadic family conflicts
Ryan J. Persram
Nina Howe
Sandra Della Porta
Hildy S. Ross
The present study investigated the role of alliances in naturalistic polyadic conflicts, which involved at least three family members, through a comparative analysis of parent–child‐ and sibling‐originated conflicts. Thirty‐nine families with two children (aged 4 and 6 years) were observed in the home setting. Transcripts of six 90‐min observational sessions per family resulted in identifying 306 polyadic family sequences; conflict initiators, topic, and resolution, as well as additional party roles (e.g., ally, judge, additional combatant, and mediator), were coded. Findings reveal that despite all family members being involved in polyadic conflicts, children tended to be initiators, while parents were more involved as additional parties. Alliances occurred more often than the other types of additional party roles. Alliance partnerships were most evident between mothers and fathers in parent–child‐originated conflicts, and mothers were more likely to ally with the younger child in sibling‐originated conflicts. Finally, submission was the most common resolution of polyadic conflicts; however, allies were more likely to win conflicts than to compromise or lose. This study highlights the dynamic nature of family conflict at home and is discussed in terms of links between relationships with family members, as well as informal learning of conflict behaviors.
Highlights
• Conflicts involving three or more family members occurs quite often at home.
• Alliances are a common role that family members assume in conflict, as they try to achieve a favourable outcome for their side.
• Children's involvement both as initiators and additional parties highlight their learning of various complex conflict behaviours in childhood.
... When young children are in possession of resources, they are not very generous in giving them away to others. This is apparent both in natural observations in which preschool children are mostly reluctant to share their toys with others (e.g., Eisenberg-Berg & Hand, 1979;Levitt, Weber, Clark, & McDonnell, 1985;
McGuire, Manke, Eftekhari, & Dunn, 2000)
and in experimental situations resembling a dictator game in which preschool donators across many different cultures tend to keep the majority of resources for themselves (e.g., Benenson, Pascoe, & Radmore, 2007;Blake & Rand, 2010;Fehr, Bernhard, & Rockenbach, 2008;Rochat et al., 2009;Thompson, Barresi, & Moore, 1997). This is despite the fact that, when asked, 3-year-olds explicitly endorse the principle of egalitarianism (Smith, Blake, & Harris, 2013). ...
How 18- and 24-month-old peers divide resources among themselves
J EXP CHILD PSYCHOL
Julia Ulber
Katharina Hamann
Michael Tomasello
... Pour les jeunes adultes, un frère ou une soeur représente quelqu'un ou quelqu'une de fiable, qui est là et sur qui ils peuvent compter en cas de besoin (Floyd, 1995). Cependant, comme en témoignent les travaux de Raffaelli (1996
) et McGuire, Manke, Eftekhari et Dunn (2000
, les relations entre les frères et soeurs sont également source de conflits. ...
La Qualité Des Relations Fraternelles Chez Des Jeunes Ayant Connu ou Non Une Transition Familiale
Article
Jan 2002
Can J Community Ment Health
Marie Simard
Madeleine Beaudry
Sylvie Drapeau
Cécile Charbonneau
In this study, similarities and differences in sibling relationships between children who have experienced family transitions and those who have not are examined. Comparisons are made between children who live in intact families, those whose parents have separated, and those who live in substitute care regarding the quality of their relationships with one of their siblings. More specifically, 4 dimensions describing the quality of sibling relationships are compared: Warmth/Closeness, Conflict, Relative Status/Power, and Rivalry (Furman & Buhrmester, 1985). The sample is made up of 3 groups of children (N = 158) aged between 8 and 12 years old: children living in intact families (n = 101), children who have experienced parental separation (n = 35), and children living in substitute care (n = 22). Results indicate differences on dimensions of Warmth/Closeness, Conflict, and Relative Status/Power. Different patterns of responses between the children who have experienced family transitions and those who have not are observed for the dimensions of Conflict and Power. The significant difference observed between the groups for the dimension of Warmth appears difficult to explain. Discussion of these results emphazises the importance of the relationship between brothers and sisters experiencing family transition.
... It is possible that these older children are appraising the cancer as more threatening because they understand that the ill child may die from the cancer, whereas some very young children cannot reach this conclusion. As well, due to different developmental stages, children at different ages may focus on different aspects of the cancer experience
(McGuire, Manke, Eftekhari, & Dunn, 2000)
. For example, younger children may focus on the loss in family routines because that may be the most challenging aspect of being the sibling of a child with cancer for them, whereas older children may focus more on the health related concerns for the child who is ill (Hoffman, 1991). ...
“Cancer is a family diagnosis and it just hits everybody in a different way”: The Non-shared Experiences of the Siblings of Pediatric Cancer Patients
Article
Aug 2011
Laura Calvert
... One possible explanation relates to the meaning of parent-rated sibling conflict and parents' strategies for managing that conflict. Some parents might view frequent sibling conflict as a recurring need to respond to unpleasant whining or tattling
(McGuire et al. 2000)
. Research has shown that parents' approach to managing sibling conflict can convey important messages to children about how to respond to conflict, and not all of the messages are adaptive (Perlman et al. 2007). ...
Conflict and Dominance Between Siblings as Predictors of Children’s Peer Victimization
Article
Full-text available
Mar 2015
Melissa A Faith
Lawrence Christian Elledge
Rebecca A. Newgent
Timothy A Cavell
This study examined relations among sibling conflict, sibling dominance, and peer victimization. Participants were 65 elementary school students and their parents, with additional data provided by teachers and classmates. Structured interviews were used to gather information about children’s relationship with their nearest-age sibling. Findings differed substantially based on parent versus child sibling conflict ratings. Sibling dominance negatively predicted parent-rated sibling conflict. Sibling dominance moderated the relation between child-rated sibling conflict and self-rated peer victimization such that sibling conflict positively predicted peer victimization for dominant siblings, but negatively predicted victimization for children who were submissive to their sibling. The linear and curvilinear sibling dominance terms moderated relations between sibling conflict and peer victimization as rated by teachers and peers, but the nature of interactions varied by parent versus child report of sibling conflict. Children regarded by parents as engaging in frequent sibling conflict were at greater risk of teacher- and peer-reported victimization, but not if the child was dominant over their sibling. The curvilinear dominance term also moderated the relation between child-rated sibling conflict and peer-reported victimization. Child-rated conflict negatively predicted victimization for children in balanced sibling relationships but positively predicted victimization for children in sibling dyads characterized by dominance disparity. Findings are complex, but suggest healthy sibling relationships characterized by balanced levels of social dominance can protect against peer victimization.
... In addition, both preschool girls and boys with (especially older) brothers have been found to be more masculine and less feminine in their interests, activities, and characteristics than children with sisters (Rust et al., 2000). Quality of the sibling relationship may also vary for different sibling gender combinations
(McGuire, Manke, Eftekhari, & Dunn, 2000)
, which in turn can influence child behavior (Scholte, Engels, De Kemp, Harakeh, & Overbeek, 2007). For example, there is evidence that girls are generally more positive and nurturing toward their younger siblings than boys (Dunn, Deater-Deckard, Pickering, & Golding, 1999), but especially when the younger sibling is a girl (Kier & Lewis, 1998). ...
Sibling Gender Configuration and Family Processes
Article
Feb 2015
J FAM ISSUES
Lotte D. van der Pol
Judi Mesman
Marleen Groeneveld
Marian bakermans-kranenburg
The current study focuses on the effects of sibling gender configuration on family processes during early childhood. In a sample of 369 two-parent families with two children (youngest 12 months, oldest about 2 years older), both siblings’ noncompliant and oppositional behaviors and fathers’ and mothers’ sensitivity and discipline strategies were observed. Both siblings’ aggressive behaviors and empathy of the oldest sibling were assessed with parent-reports. Children in families with two sons showed more problematic interaction patterns compared with children in families with an oldest girl. In families with two boys, older siblings were more aggressive and fathers were less sensitive toward their youngest child in comparison with families with two girls. Furthermore, in boy-boy families older siblings showed more oppositional behavior and younger siblings more noncompliance compared with girl-boy families. These findings highlight the importance of sibling gender configuration in the development of child behavior and parent-child interactions.
... However, this article emphasizes the importance of social context and children's own understandings of the sibling order (Edwards et al., 2005a). Much of the focus of extant scholarship concerned with siblings is upon rivalry, conflict and support networks (Bank and Kahn, 1982;
McGuire et al., 2000
). Forms of exchange and relations of reciprocity have been underresearched . ...
McIntosh, I. and Punch, S. (2009) ‘Barter’, ‘deals’, ‘bribes’ and ‘threats’: Exploring Sibling Interactions, Childhood, 16 (1):49-65.
Article
Full-text available
Jan 2009
Samantha Punch
Sibling Influences on Prosociality: From Infancy to Adolescence
Chapter
May 2023
Claire Hughes
Gabrielle McHarg
Alison Pike
Prosociality is a multifaceted concept referring to the many ways in which individuals care about and benefit others. Human prosociality is foundational to social harmony, happiness, and peace; it is therefore essential to understand its underpinnings, development, and cultivation. This handbook provides a state-of-the-art, in-depth account of scientific, theoretical, and practical knowledge regarding prosociality and its development. Its thirty chapters, written by international researchers in the field, elucidate key issues, including: the development of prosociality across infancy, childhood, adolescence, and beyond; the biological, cognitive, emotional, and motivational mechanisms that underlie and influence prosociality; how different socialization agents and social contexts can affect children's prosociality; and intervention approaches aimed at cultivating prosociality in children and adolescents. This knowledge can benefit researchers, students, practitioners, and policy makers seeking to nurture socially responsible, caring youth.
Typical and Atypical Child and Adolescent Development 7: Social Relations, Self-awareness and Identity
فاعلية برنامج إرشادي في تحسين جودة الحياة والعلاقات الأخوية لدى الأخوة العاديين، وأثره في تنمية السلوك التكيفي لأخيهم المصاب بمتلازمة داون
This study aims to explore the effectivess of a designed counseling program for improving the quality of life, and the Sibling Relationship among « normal » brothers, in addition to improving the adjustment behaviour of their handicaped brothers. The hypothesis is : The designed counseling program helps to improve the psychological quality of life, and the Sibling Relationships among «normal» brothers. The program improves also the « adjustment behavior » of the brothers who have Down syndrome.
The methodology is based on a quasi-experimental longitudinal approach. One group design with before and after testing was used.
To test this study hypothesis Ten « normal » adolescents who are brothers of handicaped were selected. Their age ranges between 13 and 18 years. The sample is selected from Two places : ‘Mentally Retarted Children Pedagogical Center’, and ‘Mentally Handicaped Children Hope Association in chlef state.
The researcher used the following instruments :sibling relationship questionnaire prepared by Furman & Buhrmester (1985), Quality of psychological life scale prepared by Caroll Ryff (1989), American Adaptation Behavior Scale of Mental retardation (2004), This scale is translated by Al Hussein (2004), and counseling program for improving the quality of life, and the brotherhood relations among « normal » brothers, in addition to improving the adjustment behaviour of their handicaped brothers. This program is prepared by the researcher.
Data analysis was performed by using SPSS program. The results partially confirmed the hypothses, which implies that the designed counseling program was effective in improving the psychological life quality, and the brotherhood relationships, and in improving the adaptation behavior of the handicaped brothers who safer from Down syndrome.
The results were discussed on the basis of literature review, previous studies, and on the basis of the sample characteristics
هدفت الدراسة الحالية بشكل أساسي إلى معرفة فاعلية برنامج إرشادي في تحسين جودة الحياة والعلاقات الأخوية لدى الأخوة العاديين، وأثره في تنمية مهارات السلوك التكيفي لدى الاخوة المعاقين عقليا المصابين "بمتلازمة داون"، وذلك انطلاقا من الفرضية التالية:
يعين البرنامج الارشادي في تحسين جودة الحياة النفسية والعلاقات الأخوية لدى الإخوة العاديين، وتنمية مهارات السلوك التكيفي لدى الاخوة المعاقين المصابين "بمتلازمة داون".
تم استخدام المنهج شبه التجريبي من خلال التصميم التجريبي لمجموعة واحدة بتطبيق قبلي وبعدي وتتبعي. وقد تكونت عينة الدراسة من (10) مراهقين من إخوة الاطفال المعاقين المصابين "بمتلازمة داون" القابلين للتعلم الذين تتراوح أعمارهم بين (13 -18) سنة.
تم اختيار العينة من "المركز البيداغوجي للأطفال المتخلفين عقليا"، "وجمعية الأمل للاطفال المعاقين" عقليا على مستوى ولاية الشلف.
تمثلت أدوات الدراسة في: استبيان العلاقات الاخوية من إعداد "فورمان وبهرمستر" "Furman& Buhrmester "(1985) ، ومقياس جودة الحياة النفسية من إعداد "كارول رايف" "Ryff"(1989)، ومقياس السلوك التكيفي للجمعية الأمريكية للتخلف العقلي(AAMR, ABS, S:2) من تقنين وتعريب "عبد الله الحسين"(2004) ، وبرنامج إرشادي موجه لإخوة المعاقين المصابين بمتلازمة داون، من إعداد الباحثة.
استخدمت الباحثة الأساليب الإحصائية المناسبة لطبيعة الدراسة ، ومتغيراتها وحجم العينة، عن طريق البرنامج الاحصائي للعلوم الاجتماعيةspss 20 .
وقد تجلت أهم نتائج الدراسة في تحقق فروضها بشكل جزئي، مما يعنى أن البرنامج الارشادي كان ذو فاعلية في تحسين جودة الحياة النفسية والعلاقات الأخوية لدى الاخوة العاديين، وتنمية مهارات السلوك التكيفي لدة الاخوة المعاقين المصابين بمتلازمة داون.
تم مناقشة نتائج الدراسة على ضوء الدراسات السابقة وخصائص عينة الدراسة.
Psychological Well-Being and Family Functioning in Middle Childhood: The Unique Role of Sibling Relational Dynamics
Despite being the longest relationships across the lifespan, the sibling dyad is the most under-studied relationship in the family system. Researchers have documented the harmful and beneficial effects of sibling relationships and family dynamics on individual well-being. Extending this research to middle childhood, the current study examined family functioning, sibling relational dynamics, and self-reported adjustment and internalizing symptoms among 8- to 11-year-old children. Path analyses revealed significant direct effects between conflictual family functioning and children’s psychological well-being. Significant interactions between family functioning and sibling dynamics suggested that congruent relational dynamics at multiple levels of the family system had a cumulative impact on the child’s well-being. Findings from the current study highlight the role of family functioning and the unique contributions of sibling relationships to children’s functioning, suggesting that consideration of sibling relational dynamics may improve treatment planning by pointing out additional targets for intervention and/or potential sources of support.
Impact On Siblings
This chapter draws on the work of some seminal authors to explore theoretical perspectives surrounding the sibling, the sibling relationship and factors that impact on sibling social development, as this will provide a foundation before exploring and giving an insight into the wider issues and influences that can impact upon them as a consequence of the chronic illness trajectory. Siblings as care‐givers are also explored. Sibling conflict can result in positive outcomes for siblings as it can help them to develop social competence in terms of dealing with different situations, as well as help in the formation of identity and development of self. The chapter discusses supportive interventions that can be used to help understand the needs and care of siblings within their family. Case studies are used to explore different aspects of sibling experiences, using cystic fibrosis as the long‐term illness example.
Sibling Relationships in Adolescence Across Cultures: Predictors, Transitions, and Support
In addition to being the most long-lasting relationship an individual can develop, the sibling relationship has the potential of offering unique cognitive, social, and emotional provisions throughout the lifespan. This potency is particularly distinct during adolescence, a time of shifting identity and social constellations. This chapter will review research findings on the structural and familial predictors of sibling relationship quality during adolescence. In addition to gender, age, age gap, family size, and gender tilting factors that may impact sibling relationship quality, familial characteristics, particularly parent base factors, have been shown to impact sibling relationship quality both indirectly and directly. The chapter will also assess outcomes associated with sibling support and will examine these predictors and outcomes within a cultural context.
Genetic Relatedness, Emotional Closeness and Physical Aggression: A Comparison of Full and Half Sibling Experiences
Two studies investigated whether perceived closeness of siblings, and aggression between siblings, were associated with genetic relatedness. In following Hamilton’s rule, we predicted that as the coefficient of relatedness between siblings increased, emotional closeness would also increase while conflict would decrease. Contrary to the predictions, we found no effect of genetic relatedness in Study 1 when we compared participants’ (n = 240) ratings of emotional closeness; participants also reported significantly higher levels of conflict with full siblings than with half siblings. In Study 2, participants (n = 214) also reported a higher frequency of physical aggression with full siblings than with half siblings. These findings were contrary to the prediction from Hamilton’s rule. We discuss them in relation to parental investment in biological and non-biological offspring.
Quality of sibling relationship and family functioning in Greek families with school-age children
The aim of the current study is to examine the quality of sibling relationships in relation to family functioning in Greek families with typically developing school-age children. The sample: 251 intact Greek families with two children (251 parents — 1 parent participated from each family — and 251 children). Research instruments: (a) the Family Adaptability and Cohesion Evaluation Scales III (FACES III; Olson, 1986), administered to both parents and children), (b) the Sibling Relationship Questionnaire (SRQ; Furman& Buhrmester, 1985); and (c) the family constellation: number of children, birth order, gender and socioeconomic level. According to the findings, the quality of a sibling relationship is associated with family cohesion and adaptability. Regarding children’s gender, the Warmth/Closeness scale is lower in families with children of different gender compared to families with children of the same gender. Regarding birth order, first-born children report higher levels of cohesion (ideal and actual), as well as higher Warmth/Closeness (children and parents), in comparison to the second-born children. Regarding parental educational level, parents and children report a higher level when it comes to ideal family and cohesion type (ideal level), as well as higher Warmth/Closeness (parents) when at least one of the parents has a university education background.
Chapter 3: The Positional Self and Researcher Emotion: Destabilising Sibling Equilibrium in the Context of Cystic Fibrosis
Sibling Caregiving and Its Implications in Sub-Saharan Africa
Most children worldwide grow up with at least one sibling, and the sibling relationship is usually the longest-lasting one in a person’s life. Understanding sibling relationships therefore is important as it contributes to our understanding of human development. This chapter attempts to make a contribution to the knowledge base on sibling interactions by discussing the implications of sibling caregiving in sub-Saharan Africa. The roles siblings play in individuals’ social and cognitive development and mental health are described. In addition, sibling caregiving in sub-Saharan Africa and specifically sibling caregiving among the Agikuyu of Kenya are described. In the conclusion section, some policy implications for child development, learning, and educational processes are presented.
Family Perspectives on Siblings’ Conflict Goals in Middle Childhood: Links to Hierarchical and Affective Features of Sibling Relationships: Family Perspectives on Siblings’ Conflict Goals in Middle Childhood
This study examined parents’ and children's descriptions of older and younger siblings’ conflict goals in the late preschool and middle childhood years, and how these attributions were related to sibling relationship quality. Parents and 4- to 10-year-old children from 62 families were interviewed separately about siblings’ motivations in two disputes and completed assessments of sibling relationship quality. Goal attributions varied across respondents in ways reflecting their family roles and positioning within disputes. Findings also revealed variations in the goals ascribed to older and younger siblings in line with hierarchical features of sibling relationships, such as younger siblings’ conciliation/connectedness motives and older siblings’ desires for autonomy/respect. Goal attributions were related to differences between families in the affective tenor of sibling relationships. Results demonstrate how power dynamics in sibling relationships play out in their everyday disputes, and underscore the importance of considering different family members’ unique perspectives on children's sibling conflict experiences.
Destructive Sibling Aggression
Destructive sibling aggression is presumably the most widespread form of interpersonal hostility. It is associated with a wide array of negative consequences. Yet it has been relatively overlooked by researchers, educators, and practitioners, compared to other forms of aggression. Sibling maltreatment remains perhaps the only form of socially sanctioned violence. This chapter will provide an overview of sibling aggression and its normalization, highlight its different types and estimates of prevalence, its links to negative developmental outcomes, describe the factors that support it, and present prevention and intervention considerations. Finally, implications for practice, education and research are offered.
Developmental Differences in Infants' Fairness Expectations From 6 to 15 Months of Age
The present research investigated the developmental trajectory of infants' fairness expectations from 6 to 15 months of age (N = 150). Findings revealed a developmental transition in infants' fairness expectations between 6 and 12 months, as indicated by enhanced visual attention to unfair outcomes of resource distribution events (a 3:1 distribution) relative to fair outcomes (a 2:2 distribution). The onset of naturalistic sharing behavior predicted infants' fairness expectations at transitional ages. Beyond this period of developmental transition, the presence of siblings and infants' prompted giving behavior predicted individual differences in infants' fairness concerns. These results provide evidence for the role of experience in the acquisition of fairness expectations and reveal early individual differences in such expectations.
Familial Relationships
Kinship has been a central organizing principle in evolutionary explorations of social behavior ever since Hamilton (J Theor Biol 7:1–52, 1964) extended the concept of Darwinian fitness benefits to include actions that benefit not only own offspring but also collateral kin. This insight into humans as nepotistic strategists has fueled an extensive literature on the adaptations that make up the repertoire that is our family psychology from those that shape mothers’ and fathers’ substantial investment in offspring, to parent–offspring conflict over the allocation of investment, to sibling conflict and cooperation, and the valuable investment that some grandparents make to the survival and success of their grandchildren. No understanding of social behavior can be complete without understanding where it all starts: with the families we grow up in.
Sibling relationship in early/middle childhood: Trait- and dyad-centered approach
In a two-year prospective longitudinal study, mothers and fathers of 93 sibling dyads in early childhood reported on perceived characteristics of their children's sibling relationship. At the beginning of the study, all of the children attended pre-school institutions. Younger children were on average 3 years old and their siblings were on average 2 years older. One year later, 53 of the older siblings entered primary school. The Parental Expectations and Perceptions of Children's Sibling Relationships (Kramer, 2001a) questionnaire was used as a measure of three dimensions of the sibling relationship, i.e. warmth, agonism and rivalry/competition. Interrater agreement, differences between maternal and paternal data sources, age changes and temporal stability of the sibling relationship over a period of one year were investigated at two levels of analyses, applying a trait- and a dyad-centered approach. Results showed a moderate interrater agreement between spouses reporting on same sibling dyads and a moderate temporal stability of the three dimensions of sibling relationship within as well as across the reporters. Dyad-centered analysis revealed three sibling relationship types. The Affectionate type was characterized by relatively high warmth and low agonism as well as by low rivalry/competition. Parents of sibling dyads engaged in the Involved relationship observed high levels of expression of the three dimensions of sibling relationship, while sibling dyads classified within the Average sibling relationship type were ascribed moderate levels of warmth, agonism, and rivalry/competition. The empirically derived sibling relationship types were established as internally replicable and structurally stable across data sources and over time. However, the individual consistency and temporal stability of type membership were estimated as low across the reporters.
Positive illusions have been explained either through the limited functions of the cognitive system or through the egocentric construction of memory and attention. We argue that the function of positive illusions can be better understood by integrating them in the process responsible for forming the cognitive anthropological architecture and some specific problems to which we have had to find solutions throughout our evolution. The purpose of this study is to offer some original explanations to the question "for what reason and in which way positive illusions occurred" and to analyze illusions from a theoretical perspective in which the anthropological, biological, psychological and social models could be possibly integrated.
Siblicide in Humans and Other Species
Sibling conflict is common across a wide variety of species, including humans. It is an expected process because offspring compete for dominance as well as food resources (most common in nonhuman species) and also for parental attention, money, and other personal resources in the case of human children. While most conflict in humans has no long lasting effects, under some circumstances, sibling conflict can turn violent and even result in death, what is commonly referred to as siblicide. While siblicide is quite rare in humans, from an evolutionary perspective, we would expect it to be influenced by some of the same factors as less intense sibling conflict. Such factors include sex of sibling, resource availability, birth spacing, and relatedness. These factors will be discussed with respect to research on sibling conflict and siblicide in human and nonhuman species.
A Self-Serving Bias in Children's Memories?
Although children's initial perceptions and judgments about sociomoral situations are being actively explored, little is known about what children remember about them. In four experiments testing over 400 children, we investigated children's memories for small acts of giving and taking. When asked to recall their own giving and taking, children were relatively accurate following a number of delays. In contrast, when asked to recall a child's giving or taking, children exaggerated the child's taking after a 1-day or 1-week delay. Notably, this pattern of misremembering occurred only when children recalled the actions of a child but not an adult. We consider the idea that children spontaneously engage in social comparison, which colors their memories of the social world. (PsycINFO Database Record
(c) 2015 APA, all rights reserved).
Assessed children's worries about the behaviors of significant people in the family with a new measure that focused on both the target of the worry and the types of behavior that worry the child. One hundred twenty-one 7 to 12-year-old in families with and without domestic violence rated, on a 4-point scale ranging form 1 (not a lot) to 4 (a lot) how much they worried about 20 behaviors concerning five people in the family: mother, father, brother, sister, and self. Varimax analyses provided two factors - Vulnerable and Harmful - that indicate worry about the vulnerable and harmful behavior of each family member. The measure has acceptable internal and test-retest reliability, as well as known-groups validity. Children in the domestic violence families were significantly more worried about the vulnerability of their mothers, brothers, and sisters, and they tended to worry more about the harmful behavior of their fathers than did children in the comparison group. Significant associations were found, for the children of battered women, between child adjustment and worry about the harmful behavior of family members.
Examined change in prosocial moral judgment over a 7-year period; determined whether there are gender differences in the development of prosocial moral judgment; and examined the interrelations of moral judgment, affect (empathy), and behavior in middle childhood. Participants were two groups of children who have been followed for 5 and 7 years and two groups of children interviewed for the first time at either ages 9–10 or 11–22. Hedonistic reasoning decreased with age; simple needs-oriented moral judgments increased with age and then leveled off; most other more sophisticated types of reasoning increased in a linear fashion with age. Modes of reasoning that most explicitly reflect role taking or empathy increased in use with age for girls but not for boys. Empathy was positively related to needs-oriented judgments and to higher-level prosocial reasoning and was negatively related to hedonistic reasoning (depending on the age of the children). Empathy was positively related to donating at 11–22 years of age but not at 9–20 years of age. Relations between behavior and reasoning varied depending on the structure and costs of a specific behavior. The results are discussed in relation to theory and research concerning developmental change in moral reasoning and possible mediators of prosocial development. (PsycINFO Database Record (c) 2012 APA, all rights reserved)
the main focus of developmental psychopathology research has been on identifying factors that increase children's risk of psychological difficulties / in more recent years attention has also been given to factors that might ameliorate or lessen the impact of negative experiences on children / there are two important questions to consider in relation to sibling relationships in stressful circumstances / the first relates to whether there is any difference in the frequency of positive relationships between children in stressful family circumstances and those in non-stressful family circumstances / the second issue relates to the potential benefit of sibling relationships for children under stress
aim in this chapter is to present data pertaining to whether children are protected by close sibling relationships, to distinguish between factors that are protective and those that increase children's risk, and to compare the frequency of negative and positive sibling relationships in disharmonious and harmonious homes
[the samples for the study] were 83 families in which the marriage had been rated as disharmonious . . . and 83 families in which the marriage had been rated as harmonious / children were between 9 and 12 years old / parents were interviewed in their homes simultaneously but separately using a semi-structured interview / children were interviewed approximately 1 week later (PsycINFO Database Record (c) 2012 APA, all rights reserved)
| https://www.researchgate.net/publication/229784136_Children%27s_Perceptions_of_Sibling_Conflict_During_Middle_Childhood_Issues_and_Sibling_Dissimilarity |
JCM | Free Full-Text | Prehospital Point-Of-Care Lactate Increases the Prognostic Accuracy of National Early Warning Score 2 for Early Risk Stratification of Mortality: Results of a Multicenter, Observational Study
The objective of this study was to assess whether the use of prehospital lactate (pLA) can increase the prognostic accuracy of the National Early Warning Score 2 (NEWS2) to detect the risk of death within 48 h. A prospective, multicenter study in adults treated consecutively by the emergency medical services (EMS) included six advanced life support (ALS) services and five hospitals. Patients were assigned to one of four groups according to their risk of mortality (low, low-medium, medium, and high), as determined by the NEWS2 score. For each group, the validity of pLA in our cohort was assessed by the area under the curve (AUC) of the receiver operating characteristic (ROC) curve. In this study, 3081 participants with a median age of 69 years (Interquartile range (IQR): 54–81) were included. The two-day mortality was 4.4% (137 cases). The scale derived from the implementation of the pLA improved the capacity of the NEWS2 to discriminate low risk of mortality, with an AUC of 0.910 (95% CI: 0.87–0.94; p < 0.001). The risk stratification provided by the NEWS2 can be improved by incorporating pLA measurement to more accurately predict the risk of mortality in patients with low risk.
Prehospital Point-Of-Care Lactate Increases the Prognostic Accuracy of National Early Warning Score 2 for Early Risk Stratification of Mortality: Results of a Multicenter, Observational Study
Raúl López-Izquierdo 3,* ,
Juan F. Delgado Benito 2 ,
Ancor Sanz-García 4,† ,
Carlos del Pozo Vegas 5 ,
Miguel Ángel Castro Villamor 1 ,
José Luis Martín-Conty 6 and
Guillermo J. Ortega 4,7
CONICET, C1425FQB Buenos Aires, Argentina
*
Author to whom correspondence should be addressed.
†
These authors contributed equally to this work.
J. Clin. Med. 2020 , 9 (4), 1156; https://doi.org/10.3390/jcm9041156
Received: 21 March 2020 / Revised: 12 April 2020 / Accepted: 14 April 2020 / Published: 18 April 2020
(This article belongs to the Section Emergency Medicine )
Abstract
:
The objective of this study was to assess whether the use of prehospital lactate (pLA) can increase the prognostic accuracy of the National Early Warning Score 2 (NEWS2) to detect the risk of death within 48 h. A prospective, multicenter study in adults treated consecutively by the emergency medical services (EMS) included six advanced life support (ALS) services and five hospitals. Patients were assigned to one of four groups according to their risk of mortality (low, low-medium, medium, and high), as determined by the NEWS2 score. For each group, the validity of pLA in our cohort was assessed by the area under the curve (AUC) of the receiver operating characteristic (ROC) curve. In this study, 3081 participants with a median age of 69 years (Interquartile range (IQR): 54–81) were included. The two-day mortality was 4.4% (137 cases). The scale derived from the implementation of the pLA improved the capacity of the NEWS2 to discriminate low risk of mortality, with an AUC of 0.910 (95% CI: 0.87–0.94;
p
< 0.001). The risk stratification provided by the NEWS2 can be improved by incorporating pLA measurement to more accurately predict the risk of mortality in patients with low risk.
Keywords:
biomarkers
;
clinical decision-making
;
clinical deterioration
;
early warning
;
emergency medical services
;
mortality
;
patient safety
1. Introduction
Assistance to people with acute disease in the prehospital context has evolved rapidly in recent years, making it possible to diagnose and treat bedside pathologies on many occasions [ 1 ]. Thanks to research in this field and to the implementation of specific protocols and technological developments, we now have tools that can be employed at the scene or on the road, which can help to evaluate the actual state of a patient from the very first contact of the emergency medical services (EMS) until the arrival at the emergency department (ED) [ 2 ].
The use of early warning scores (EWS) is a reality in the current clinical practice [ 3 ] and has become a standard procedure in many contexts and pathologies [ 4 , 5 ]. Among all scores, the National Early Warning Score 2 (NEWS2) [ 6 ] has proven to be useful in the prehospital context, is validated, and commonly used internationally [ 7 , 8 , 9 ]. Moreover, technological development has led to the use of rapid-response point-of-care testing [ 10 , 11 ], as such is the case of prehospital lactate (pLA), which is a sensitive indicator of tissue hypoperfusion, reliable, and easy to obtain [ 12 , 13 ].
One challenge faced by the EMS is the capability of detecting risk of mortality in patients with acute diseases [ 14 ], fundamentally in time-dependent pathologies where a diagnostic or therapeutic delay may negatively influence the outcome, thereby increasing morbidity and mortality [ 15 ]. In addition, these pathologies may not be suspected or detected initially. In these contexts, the use of any aid that can discriminate the risk of mortality should be evaluated because it can reduce the interval for definitive qualified health care [ 16 ].
The use of EWS and biomarkers represents a fundamental tool that enables the systematized evaluation of the patient and can predict possible serious adverse events (SAEs), individualizing the assessment and care of each patient [ 17 ]. EWS and biomarkers have been used separately and in combination [ 18 , 19 ]. Specifically, the relationship between the NEWS2 and lactate has been analyzed in diverse clinical contexts [ 20 , 21 , 22 ].
Our main objective was to analyze whether the use of pLA increases the prognostic capacity of the NEWS2 to predict the risk of early mortality in people with acute disease treated by EMS.
2. Material and Methods
2.1. Study Design
We conducted a prospective, multicenter study in adults treated consecutively by the EMS and transported in advanced life support units (ALS) to referral hospitals between 1 October 2018 and 3 November 2019.
The present study was in accordance with Good Clinical Practice and the Declaration of Helsinki. The Research Ethics Committee of each participating institution approved the protocol. (REC number: #PI 18-010, #PI 18-895, #PI 18-10/119, #PI MBCA/dgc and #PI 2049). All patients (or guardians) signed an informed consent. The study was coordinated by the Advanced Clinical Simulation Center of the Faculty of Medicine at Valladolid University. This study is reported in line with the STROBE statement.
2.2. Study Setting
The study was conducted in six ALS and five hospitals (four tertiary university hospitals and one small general district hospital) of the public health system of Castile and Leon (Spain) with a reference population of 1,364,952 inhabitants.
The sample size calculation was performed using an area under the curve (AUC) of the expected receiver operating characteristic (ROC) of 90% with a confidence level of 99% and an accuracy of 1%, with 2543 subjects. We estimated a follow-up loss in 5%, so the estimated final sample size was 2677 subjects, for an early mortality rate of 4%, in line with similar studies [ 7 , 11 , 18 ].
Each ALS was composed of a medical doctor, an emergency registered nurse (ERN), and two paramedics. These units operate nonstop 24 h a day, 365 days a year, performing standard life support maneuvers on the scene or on the road.
2.3. Population
Eligible patients were recruited from among all phone requests for assistance during the study period. Inclusion criteria were age over 18 years and being transported in ALS to the ED of the reference hospital after the initial evaluation and life support maneuvers on the scene.
We excluded patients in cardiorespiratory arrest or with lesions incompatible with life, pregnant women, people evacuated by other means of transport (e.g., basic life support) or discharged in situ. Also, we excluded from the present study the following cases: Impossibility of obtaining informed consent at the scene or at the hospital; lack of exactness in the patient data; cases with evident physical risk at the scene, like people with psychiatric problems, attacks, armed incidents, and accidents of any etiology with ongoing risks.
2.4. Study Protocol
The review protocol of this study was registered with ICTRP (doi.org/10.1186/ISRCTN17676798).
The main outcome variable was early hospital mortality (within 48 h) from any cause—globally and by stratified groups—according to the NEWS2 estimated risk band. Patients discharged prior to 48 h (dead or alive in this interim) and those who died before the arrival of the EMS were not included in the study.
The EMS collects all clinical data necessary to perform the NEWS2 as a standard procedure. Based on the history, exploration, and complementary tests and, depending on the type of incident, they decide the best strategy for each case accordingly with the current management guidelines for the pathology in emergencies. In addition, for this study, the determination of pLA was introduced in all ALS participating in the study, but since it was an observational study, the value of pLA was not taken into account for clinical decision-making. All the variables considered in the present work were recorded at the event site or during transportation by the EMS.
The NEWS2 calculation was performed according to the recommendations of The Royal College of Physicians of London [
6
]. The NEWS2 analyzes seven clinical parameters: Respiratory rate, oxygen saturation, use of supplemental oxygen, heart rate, systolic blood pressure, temperature, and level of consciousness (
Table 1
). Partial scores for each category are added to obtain an overall score. Depending on this score’s value, the risk of mortality was stratified in the following way: 1–4 points as ‘low risk’, score of 3 in any individual parameter as ‘low-medium risk’, aggregate score 5–6 as ‘medium risk’, and aggregate score of 7 or more as ‘high risk’ [
6
].
Respiratory rate was determined by direct observation by counting respiratory cycles in one minute. Oxygen saturation, systolic blood pressure, and heart rate were measured with the LifePAK
®
15 defibrillator monitor (Physio-Control, Inc., Redmond, WA, USA). Temperature was determined with the ThermoScan
®
PRO 6000 tympanic thermometer (Welch Allyn, Inc, Skaneateles Falls, NY, USA). EMS also recorded both the use of supplemental oxygen at their arrival to the event site and the patient mental state (Glasgow Coma Scale (GCS) of less than 15 points or new confusion
en route
). GCS was converted to the AVPU scale by considering GCS < 15 as V, P, or U categories of the AVPU [
23
], as shown in
Table 1
.
Blood, and therefore lactate, were obtained from all the patients in the study through a venous line, which was necessary in all cases. An Accutrend Plus measuring device (Roche Diagnostics, Mannheim, Germany) with a measuring range of 0.8–21.7 mmol/L was used to determine pLA values. The protocol for obtaining the pLA involves five phases. First, the Accutrend Plus device is turned on, the test strip is inserted, and the verification code on the screen is checked against the code of the reagent canister, as well as the expiration date. Second, blood is taken from the vein with a 1-mL syringe. Third, between 15 μL and 40 μL of blood is deposited on the test strip inside the Accutrend Plus. Fourth, the lid is closed, and the pLA value in mmol/L appears on the screen within 60 s. Then, the lid is opened, the reagent removed, and the device cleaned. The time taken from the blood sampling to its placement in the device should not exceed 1 min.
To guarantee the traceability of all analyses, we recorded all reagents used in the study: Lot number, expiration date, and verification code. All Accutrend Plus devices used in the study were calibrated by the researchers from each participating center every 25 determinations using the Accutrend
®
BM-Control-Lactate control solution (Roche Diagnostics, Mannheim, Germany).
2.5. Data Abstraction
Prior to the field phase, all members of the research team received specific training about the standardized way of obtaining the necessary data for the calculation of the NEWS2 [ 6 ]: Use, maintenance, and calibration of electromedical equipment; blood extraction protocol; and pLA determination.
All data were recorded in a standardized case form (standard clinical history used by the EMS). During the first EMS contact with the patient, the ERN recorded: Administrative data; times of arrival, assistance, and evacuation; reason for calling according to the Advanced Medical Priority Dispatch System [ 24 , 25 ]; the set of vital signs (respiratory rate, oxygen saturation, use of supplemental oxygen, heart rate, systolic blood pressure, temperature, and level of consciousness); and the pLA value.
With the whole set of vital signs, the total NEWS2 score was obtained and the risk of mortality was finally stratified [ 6 ].
Forty-eight hours after the index event, an associated researcher from each hospital reviewed the electronic medical record through the database of the public health system (JIMENA-SACYL) and obtained the hospital outcomes: need for admission and/or intensive care unit (ICU) and early hospital mortality (within 48 h). Only mortality was used for the analysis, and the other outcomes were used only for descriptive purposes. To guarantee an exact link of the data between the EMS history and the electronic history in each case, the necessary linking criteria were date, time of arrival, ALS code, name and surname, sex, and age.
2.6. Data Analysis
All patient data were recorded electronically in a database created specifically for this purpose. The case registration form was tested to eliminate ambiguous elements and to validate the data collection instrument.
Categorical variables were expressed as number of patients and percentage (%), continuous variables were expressed as median and interquartile range (IQR) after normal distribution was discarded by a Shapiro–Wilk test. Among all registered parameters, the variables used in the analyses were, as the outcome variable: mortality within two days, and as the predictor variables: NEWS2 and pLA. None of the variables presented missing data. The statistical comparison of the cohort characteristics between groups and for each variable was performed using Student’s
t
-test or Chi-square test when required [
26
].
A two-step sequential procedure (
Figure 1
a) was followed for the analysis of the data. In the first step, an assessment of the obtained NEWS2 classification against the outcome (mortality risk) through the AUC of the ROC for all the patients was performed and, following the recommendations of the Royal College of Physicians of London, the whole cohort was divided in four groups according to the obtained NEWS2 score. This first evaluation allows not only checking the NEWS2 stratification, but also splitting the cohort in four risk groups. In the second step of the procedure, on each of the obtained groups, a new evaluation of mortality risk was performed using both the pLA levels, and, independently, the NEWS2 again. This second-step NEWS2 and pLA scores applied on each of the previously obtained groups were not combined into a single score, but they were instead considered separately in order to compare their performance regarding mortality. In this way, both systems were applied to each risk group (low, low-medium, medium, and high) to determine their capability of predicting mortality, and, subsequently, their corresponding results were compared.
The validity of NEWS2 and pLA in the four groups was assessed by the AUC of the ROC curve for predicting mortality within two days. In particular, the NEWS2 value or pLA levels were used in a logistic regression model to predict the probability of mortality given the value or levels of individual patients. Then, to evaluate the discrimination between outcomes (deceased or alive,) the AUC of the ROC curve was used. In addition to the AUC, a 95% confidence interval (95% CI) and a
p
-value corresponding to the comparison against the chance level (AUC = 0.5) were calculated. The adjusted AUC was estimated as an internal validation procedure computed with 300 stratified bootstrap replicates, which is the recommended method for a predictive logistic regression model validation [
27
]. The database use for the calculations can be found in the
supplementary data
. Further details of the predictive model were also estimated including the odds ratios of pLA and NEWS2. A statistical comparison between the corresponding AUCs of both variables for each group was finally obtained.
All statistical analyses were performed using our own codes and base functions in R, version 3.5.1 ( http://www.R-project.org ; the R Foundation for Statistical Computing, Vienna, Austria).
3. Results
3.1. Patients
In the study period, 5488 cases were examined for eligibility and 3081 participants met the inclusion criteria ( Figure 1 ).
Median age was 69 years (Interquartile range (IQR) 54–81 years), and 1269 (41.2%) were women. Demographic characteristics and their statistical differences are described in Table 2 . The two-day mortality was 4.4% (137 cases), most commonly of cardiovascular origin (46 cases, 33.5%). The differences between survivors and nonsurvivors were significant in all the parameters that make up the NEWS2, such as it is the case of pLA or the need for ICU (71 cases, 51.8%) ( Table 2 ).
Medical pathologies (2736 cases, 88.8%) far exceeded trauma cases (345 cases, 11.2%). Table 3 shows the reasons for requesting assistance.
3.2. Patient Classification and Global NEWS2 Performance
Before splitting the sample in the risk groups, the NEWS2 performance to predict mortality was evaluated presenting an AUC of 0.859 (95% CI: 0.82–0.89; p < 0.001; Figure 2 a). The internally validated AUC was 0.859 (95% CI: 0.85–0.86). As can be seen in Figure 2 b, the highest NEWS2 values correspond to an increase in mortality within two days, also shown by the predicted probability trend line.
Following the recommendations of The Royal College of Physicians of London, patients were divided into four groups according to the risk of mortality ( Table 4 ): Low (1656 cases, 8 nonsurvivors), low-medium (139 cases, 1 nonsurvivor), medium (483 cases, 23 nonsurvivors), and high (803 cases, 105 nonsurvivors).
3.3. Comparison of Mortality Discrimination Derived from pLA and NEWS2
The AUCs of the pLA and the NEWS2 for each risk group obtained in the step one of the procedure—initial NEWS2 stratification—are shown in Figure 3 . For the groups of low, low-medium and medium mortality risk, the scale derived from the implementation of the pLA improved the results of NEWS2 discrimination, as evidenced by the results of pLA: AUC 0.911 (95% CI: 0.87–0.95; p < 0.001; Figure 3 a), 0.913 (95% CI: NA–NA; p = 0.07; Figure 3 c), and AUC 0.820 (95% CI: 0.76–0.88; p < 0.001; Figure 3 e); and for NEWS2: AUC 0.568 (95% CI: 0.38–0.75; p = 0.24; Figure 3 b), 0.5 (95% CI: NA–NA; p = 1; Figure 3 d), and AUC 0.525 (95% CI: 0.42–0.62; p = 0.31; Figure 3 f).
In contrast, for the case of the high-risk group, the implementation of the pLA was nearly similar to NEWS2, that is, 0.762 (95% CI: 0.71–0.80; p < 0.001; Figure 3 g), and 0.756 (95% CI: 0.70–0.80; Figure 3 h), respectively. The comparison of AUCs between pLA and NEWS2 showed statistically significant differences between AUCs of low- ( p < 0.001), low-medium- ( p < 0.001), and medium-risk ( p < 0.001) groups but not for the high-risk group ( p = 0.86).
In all cases, the odds ratios of pLA were statistically significant, with values of 1.29 for low-risk and 1.15 for medium- and high-risk groups ( Table 5 ), except for low-medium, but for NEWS2, only high-risk presented a significant value of 1.42 ( Table 5 ). Both tables present further measures of both scores.
Additionally, in order to exclude those patients with altered mental status, we evaluated the performance of NEWS2 and pLA in patients with NEWS2 < 3. Again, the pLA outperformed NEWS2, AUC 0.908 (95% CI: 0.856–0.96;
p
< 0.001) and 0.555 (95% CI: 0.215–0.896;
p
= 0.34), respectively. The comparison of AUCs showed statistically significant differences (
p
< 0.02). Similarly, if we consider the cutoff value for patients with NEWS2 < 3 as a threshold to determine the mortality, our results showed that all deaths occurred in patients with pLA > 4 mmol/L. Likewise, this value was similar to the one found in low-risk group (
Table 5
). In this sense, further investigation on the relationship of that pLA nonmortality can be seen in
Table 6
. This table shows the percentage of mortality in each group that resulted from the combination of NEWS2 above or below 3 and pLA above or below 4 mmol/L, and also highlights the low percentage of mortality for those patients with NEWS2 > 3 but also with less than 4 mmol/L.
4. Discussion
In this prospective, multicenter study, we evaluated the ability of pLA to increase the prognostic accuracy of the NEWS2 for determining early mortality. We found that after performing a stratification of the risk of mortality provided by the NEWS2, a subsequent pLA measurement helps to discriminate more efficiently the risk of patients categorized as low risk.
It is common to find studies that analyze the use of EWS and lactate in people with acute disease [ 18 , 19 , 28 ] and studies that specifically analyze the association between the NEWS2 and lactate [ 20 , 21 , 29 , 30 ]. However, it is rather uncommon to find studies focused on the prehospital context [ 31 , 32 , 33 ], especially dealing with the use of the pLA for a further evaluation of risk groups stratified by the NEWS2.
The regular assessment of the risk of mortality in patients with acute disease and the stratification of the risk offered by the NEWS2 provides the EMS with a more precise knowledge of the situation [ 34 , 35 ], it can helps in setting treatment goals, and even it can guide them toward the most appropriate destination center. Therefore, risk stratification can help in decision-making at critical moments.
The current recommendations of the Royal College of Physicians of London [
6
] set thresholds and triggers. An aggregate score of 7 or more indicates high risk that demands the response of the critical care team [
36
]. With this strict criterion for activating the emergency response, health systems ensure that no ill person is at risk of mortality and of suffering SAEs. The NEWS2 has a high sensitivity in patients with medium and high risk, and its clinical utility is certainly undebatable. Our study shows that by incorporating a subsequent assessment of the pLA, a better characterization of the risk of mortality in patients with low risk is achieved. In this way, care professionals may know in advance the severity of the condition they are confronting and the actual need for evacuation, which certainly may facilitate the decision-making process [
9
,
37
].
The use of point-of-care testing, and specifically pLA, is becoming widespread among the EMS [ 11 , 38 ] because it provides a robust clinical and prognostic utility with high reliability [ 39 ]. The technical possibility of performing bedside analytics allows the incorporation of these devices into standard procedures of EMS, clearly helping in decision-making.
Our data indicate that a pLA less than 4 mmol/L in people with acute disease, categorized with low risk, but also for those with NEWS2 < 3, indicates a minimal risk of mortality. In contrast, a pLA greater than 4 mmol/L, despite a low risk, is associated with a significant increase in mortality, which it was also seen for patients with NEWS2 > 3, a fact that should be taken into account by professionals when predicting early SAEs, even in those a priori less serious situations [ 40 , 41 ].
The NEWS2 is easy to use, validated, and widely implemented. Likewise, measuring pLA has become easier and cheaper in the last years. For both parameters, their clinical utility as a bedside tool is undebatable. The portability of the NEWS2 and pLA makes their isolated or combined use an excellent tool for EMS either at the scene or on the road.
In the prehospital context, professionals must make rapid and critical decisions, even with little data at hand. After a brief history and rapid examination and guided by few diagnostic tests, the objective must be decided according to the management guidelines of each pathology. Both the objective and a structured clinical evaluation are the main tasks the EMS should perform. The uses of EWS and point-of-care testing procedures could be included in their routine. In this case, scores certainly may be of help.
Strength and Limitations
The strength of the present study rests mainly in the methodology itself, as it is a multicenter prospective study with an extensive though very homogeneous cohort of participants (based on restrictive inclusion criteria). Although all personnel are professionals with extensive experience in the prehospital activity and received prior training, the work presented here possesses some limitations. On the one hand, patients’ selection bias exists because they were selected based on the opportunity criteria in a specific period of time. Also, by including only patients evaluated and evacuated in ALS, a high number of older adults were involved. This fact nonetheless reflects the target population of our geographic area, and it is in line with similar studies [
9
]. On the other hand, because data extraction was done on a nonblinded procedure, the cases were only considered if the mortality occurred—due to any cause—within the hospital and within the first 48 h after EMS care, in order to minimize the selection bias. The principal investigator made monthly visits to all ALS and all ED to verify the correct implementation of the research protocol with the objective to resolve potential discrepancies. The principal investigator reviewed 50% of the sample data and all cases of early mortality.
5. Conclusions
The risk stratification provided by the NEWS2 can be improved by incorporating pLA determination to more accurately predict the risk of mortality in patients with low risk.
Supplementary Materials
The following are available online at https://www.mdpi.com/2077-0383/9/4/1156/s1 , Table S1: Database used in the present work.
Author Contributions
Conceptualization, F.M.-R. and R.L.-I.; methodology, J.L.M.-C., A.S.-G and J.F.D.B.; software, A.S.-G.; formal analysis, G.J.O. and A.S.-G.; investigation, C.d.P.V. and M.Á.C.V.; resources, J.L.M.-C., and C.d.P.V.; data curation, M.Á.C.V.; writing—original draft preparation, F.M.-R.; writing—review and editing, R.L.-I.; visualization, C.d.P.V.; supervision, G.J.O.; project administration, F.M.-R. All authors have read and agreed to the published version of the manuscript.
Funding
This research was funded by Gerencia Regional de Salud de Castilla y León (Spain), grant number GRS 1678/A/18.
Conflicts of Interest
The authors declare no conflict of interest. The funders had no role in the design of the study; in the collection, analyses, or interpretation of data; in the writing of the manuscript, or in the decision to publish the results.
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Figure 1. ( a ) The two-step analysis procedure. ( b ) Epidemiology diagram showing analysis population by groups derived from the risk stratification provided by the NEWS2. AUC: Area under the curve; BLS: Basic life support; NEWS2: National Early Warning Score 2; pLA: Prehospital lactate; ROC: Receiver operating characteristic.
Figure 1. ( a ) The two-step analysis procedure. ( b ) Epidemiology diagram showing analysis population by groups derived from the risk stratification provided by the NEWS2. AUC: Area under the curve; BLS: Basic life support; NEWS2: National Early Warning Score 2; pLA: Prehospital lactate; ROC: Receiver operating characteristic.
Figure 2. ( a ) Receiver operational characteristic (ROC) by NEWS2 for early mortality. The bold line shows the value of the ROC curve and the orange shading is the 95% confidence interval. In the center of the graph is the area under the curve (AUC), its 95% confidence interval and the p -value of the comparison against the null hypothesis (AUC = 0.5). ( b ) Probability of death based on the value of NEWS2 for early mortality. The bar graph shows the number of patients in the whole cohort for each scale value (survivors in blue and nonsurvivors in red). The trend line shows the estimated probability of death.
Figure 2. ( a ) Receiver operational characteristic (ROC) by NEWS2 for early mortality. The bold line shows the value of the ROC curve and the orange shading is the 95% confidence interval. In the center of the graph is the area under the curve (AUC), its 95% confidence interval and the p -value of the comparison against the null hypothesis (AUC = 0.5). ( b ) Probability of death based on the value of NEWS2 for early mortality. The bar graph shows the number of patients in the whole cohort for each scale value (survivors in blue and nonsurvivors in red). The trend line shows the estimated probability of death.
Figure 3. Receiver operational characteristic (ROC) of pLA for early mortality based on the stratification of the risk of mortality. ( a ) Low risk, ( c ) low-intermediate risk, ( e ) intermediate risk, ( g ) high risk; and ROC of NEWS2 for early mortality based on the stratification of the risk of mortality ( b ) low risk, ( d ) low-intermediate risk, ( f ) intermediate risk, ( h ) high risk. The bold line shows the value of the ROC curve and the orange shading is the 95% confidence interval. In the center of the graph is the area under the curve (AUC), its 95% confidence interval, and the p -value of the comparison against the null hypothesis (AUC = 0.5).
Figure 3. Receiver operational characteristic (ROC) of pLA for early mortality based on the stratification of the risk of mortality. ( a ) Low risk, ( c ) low-intermediate risk, ( e ) intermediate risk, ( g ) high risk; and ROC of NEWS2 for early mortality based on the stratification of the risk of mortality ( b ) low risk, ( d ) low-intermediate risk, ( f ) intermediate risk, ( h ) high risk. The bold line shows the value of the ROC curve and the orange shading is the 95% confidence interval. In the center of the graph is the area under the curve (AUC), its 95% confidence interval, and the p -value of the comparison against the null hypothesis (AUC = 0.5).
Table 1. National Early Warning Score 2 (NEWS2).
Table 1. National Early Warning Score 2 (NEWS2).
NEWS2 3 2 1 0 1 2 3 Pulse (bpm) ≤40 41–50 51–90 91–110 111–130 ≥131 BR (bpm) ≤8 9–11 12–20 21–24 ≥25 T (°C) ≤35 35.1–36 36.1–38 38.1–39 ≥39.1 SBP (mmHg) ≤90 91–100 101–110 111–219 ≥220 SpO 2 (%) Scale 1 ≤91 92–93 94–95 ≥96 SpO 2 (%) Scale 2 1 ≤83 84–85 86–87 88–92 ≥93 air 93–94 Oxygen 95–96 Oxygen ≥97 Oxygen Air oxygen Oxygen Air AVPU (scale) A V, P, U
1 In patients with hypercapnic respiratory insufficiency, scale 2 should be used to weight the oxygen saturation score. SBP: Systolic blood pressure; BR: Breathing rate; SpO 2 : Oxygen saturation; AVPU: Alert, verbal, pain, unresponsive: T: Temperature. Reproduced from The Royal College of Physicians. National Early Warning Score (NEWS) 2: Standardizing the assessment of acute-illness severity in the NHS. Updated report of a working party. London: RCP, 2017 [ 6 ].
Table 2. Demographic, prehospital, and hospital characteristics of study subjects (death statistics refer to mortality rates in less than 48 h).
Table 2. Demographic, prehospital, and hospital characteristics of study subjects (death statistics refer to mortality rates in less than 48 h).
Characteristic 1 Total Survivors Non-Survivors p -Value Number ( n (%)) 3081 (100) 2944 (95.6) 137 (4.4) Age (years) 69 (54–81) 69 (53–81) 80 (65–87) 0.001 2 Female 1269 (41.2) 1218 (41.4) 51 (37.2) 0.335 3 Isochronous (Minutes) Arrival time 10 (8–13) 10 (8–13) 10 (8–15) 0.184 2 Support time 28 (22–34) 28 (22–34) 32 (25–39) 0.001 2 Transfer time 10 (7–14) 10 (7–13) 10 (7–18) 0.039 2 Initial Evaluation NEWS 2 (points) 4 (2–7) 4 (2–6) 11 (7–13) 0.001 2 Breathing rate (bpm) 17 (14–24) 17 (14–22) 23 (14–34) 0.001 2 Supplemental oxygen 389 (12.6) 343 (11.7) 46 (33.6) 0.001 2 Oxygen saturation (%) 96 (93–98) 96 (93–98) 83 (72–93) 0.001 2 Heart rate (bpm) 85 (70–104) 84 (70–102) 97 (71–121) 0.009 2 SBP (mmHg) 137 (118–155) 137 (119–155) 124 (93–153) 0.002 2 Temperature (°C) 36.3 (36.0–36.8) 36.3 (36.0–36.8) 36.0 (35.1–37.0) 0.014 2 GCS (3–15 points) 15 (15–15) 15 (15–15) 11 (3–15) 0.001 2 pLA (mmol/L) 2.9 (2.0–4.0) 2.8 (1.9–3.8) 5.1 (4.3–7.3) 0.001 2 Hospital Outcomes Inpatients 1718 (55.8) 1581 (53.7) 137 (100) 0.001 2 ICU 526 (17.1) 455 (15.5) 71 (51.8) 0.001 2
1 Values expressed as total number (fraction) and medians (25th percentile–75th percentile) as appropriate. 2 The p -values were calculated with Mann–Whitney U-test. 3 The p -values were calculated with Chi-square test. NEWS 2: National Early Warning Score 2; SBP: Systolic blood pressure; GCS: Glasgow coma scale; pLA: Point-of-care lactate; ICU: Intensive care unit.
Table 3. Distribution of cases according to the Advanced Medical Priority Dispatch System (death statistics refer to mortality rates in less than 48 h).
Table 3. Distribution of cases according to the Advanced Medical Priority Dispatch System (death statistics refer to mortality rates in less than 48 h).
Pathologies Total Survivors Non-Survivors Abdominal Pain/Problems 176 (5.7) 166 (5.6) 10 (7.3) Allergies (Reactions) 33 (1.1) 33 (1.1) 0 Animal Bites/Attacks 3 (0.1) 3 (0.1) 0 Assault/Sexual Assault/Stun Gun 2 (0.1) 1 (0) 1 (0.7) Breathing Problems 333 (10.8) 311 (10.6) 22 (16.1) Burns (Scalds)/Explosions 7 (0.2) 6 (0.2) 1 (0.7) Carbon Monoxide/Inhalation 12 (0.4) 12 (0.4) 0 Chest Pain 593 (19.2) 579 (19.7) 14 (10.2) Choking 17 (0.6) 12 (0.4) 5 (3.6) Convulsions/Seizures 185 (6.0) 185 (6.3) 0 Diabetic Problems 37 (1.2) 36 (1.2) 1 (0.7) Electrocution/Lightning 2 (0.1) 2 (0.1) 0 Falls 59 (1.9) 57 (1.9) 2 (1.5) Headache 64 (2.1) 64 (2.2) 0 Heart Problems/AICD 381 (12.4) 349 (11.9) 32 (23.4) Heat/Cold Exposure 11 (0.4) 10 (0.3) 1 (0.7) Hemorrhage/Lacerations 27 (0.9) 27 (0.9) 0 Inaccessible Incident/Entrapments 3 (0.1) 3 (0.1) 0 Overdose/Poisoning (Ingestion) 158 (5.1) 154 (5.2) 4 (2.9) Sick Person 106 (3.4) 96 (3.3) 10 (7.3) Stab/Gunshot/Penetrating Trauma 10 (0.3) 10 (0.3) 0 Stroke/Transient Ischemic Attack 301 (9.8) 290 (9.9) 11 (8.0) Traffic/Transportation Incidents 160 (5.2) 155 (5.3) 5 (3.6) Traumatic Injuries 49 (1.6) 44 (1.5) 5 (3.6) Unconscious/Fainting (Near) 352 (11.4) 339 (11.5) 13 (9.5)
Values expressed as total number and percentage of mortality in parentheses; AICD: Automated Implantable Cardioverter-Defibrillator.
Table 4. Characteristics of study subjects by risk groups based on the NEWS2.
Table 4. Characteristics of study subjects by risk groups based on the NEWS2.
Variable Mortality Risk Low Low-Medium Medium High Number 1656 (53.8) 139 (4.5) 483 (15.7) 803 (26.1) Age (years) 65 (51–78) 66 (49–79) 72 (55–83) 76 (62–84) Female 669 (52.7) 67 (5.2) 208 (16.4) 325 (25.6) pLA (mmol/L) 2.4 (1.8–3.4) 2.9 (2.0–3.8) 3.1 (2.2–4.4) 3.7 (2.6–5.1) Hospital Outcomes Inpatients 741 (44.7) 57 (41) 290 (60.0) 630 (78.5) ICU 223 (13.4) 21 (15.1) 76 (15.7) 206 (25.7) Mortality 8 (0.5) 1 (0.7) 23 (4.8) 105 (13.1)
Table 5. Measures of the predictive model.
Table 5. Measures of the predictive model.
Mortality Risk by pLA Low Low-Medium Medium High Prev. 0.005 0.005 0.048 0.131 pLA cut-off 4.0 4.9 4.3 4.1 Se 28.3 (8.83–47.7) 50 (12.2–87.7) 30.4 (11.7–49.1) 28.4 (11.5–45.4) Sp 86.4 (73.1–99.6) 71.2 (45.1–97.3) 81.5 (67.3–95.6) 81.0 (67.4–94.6) PPV 1.01 (0.37–1.65) 1.35 (0–3.08) 7.46 (5.25–9.67) 15.2 (10.6–19.7) NPV 99.6 (99.5–99.7) 99.5 (99.2–99.8) 96.2 (95.4–97.1) 89.4 (87.4–91.3) LR+ 2.14 (0.78–3.51) 1.97 (0–4.55) 1.66 (1.15–2.17) 1.29 (0.87–1.7) LR− 0.77 (0.58–0.95) 0.57 (0.15–1) 0.77 (0.59–0.95 0.80 (0.63–0.95 DA 86.1 (73–99.2) 71.1 (45.3–96.8) 79.1 (66.4–91.7) 74,1 (64.3–83.9) OR 1.27 (1.12–1.45) ( p < 0.001) NS 1.15 (1.06–1.24) ( p < 0.001) 1.15 (1.10–120) ( p < 0.001) Mortality Risk by NEWS 2 Low Low-Medium Medium High Prev. 0.005 NA 0.048 0.131 NEWS2 cut-off 2 NA 5 11 Se 65 (21.9–100) NA 69.5 (0–100) 66.7 (57.2–75) Sp 40.8 (0–81.9) NA 27 (0–100) 74.6 (71.3–77.7) PPV 0.52 (0.30–0.74) NA 4.5 (1.22–7.78) 28.3 (23.1–34.3) NPV 99.6 (99.4–99.8) NA 94.8 (NA–NA) 93.7 (91.4–95.4) LR+ 1.09 (0.63–1.54) NA 0.94 (0.22–1.66) 2.63 (2.18–3.17) LR− 0.81 (0.44–1.19) NA 1.08 (NA–NA) 0.45 (0.34–0.59) DA 40.9 (18.9–81.6) NA 26.9 (0–100) 73.6 (70.4–76.5) OR NS NS NS 5.89 (3.79–9.14) ( p < 0.001)
Bracketed numbers indicate 95% confidence interval. Prev: Prevalence; pLA: Prehospital lactate; Se: Sensitivity; Sp: Specificity; PPV: Positive predictive value: NPV: Negative predictive value; LR: Likelihood ratio; OR: Odds ratio; DA: Diagnostic accuracy. Low risk: Aggregate score 0–4. Low-medium risk: Score of 3 in any individual parameter. Medium risk: Aggregate score 5–6. High risk: Aggregate score 7 or more.
Table 6. Mortality of groups resulted from the combination of NEWS2 above and below 3 and prehospital lactate above and below the cutoff (4 mmol/L).
Table 6. Mortality of groups resulted from the combination of NEWS2 above and below 3 and prehospital lactate above and below the cutoff (4 mmol/L).
Survivors Non-Survivors Odd Ratios NEWS2 < 3 pLA < 4 944 (100%) 0 (0%) * pLA > 4 158 (97.5%) 4 (2.5%) NEWS2 > 3 pLA < 4 1075 (98.5%) 17 (1.5%) 15.75(9.27–28.32) p < 0.001 pLA > 4 449 (80%) 112 (20%)
Bracketed numbers indicate 95% confidence interval. pLA: Prehospital lactate; * cannot be calculated because of 0 cases in one group.
Martín-Rodríguez, F.; López-Izquierdo, R.; Delgado Benito, J.F.; Sanz-García, A.; del Pozo Vegas, C.; Castro Villamor, M.Á.; Martín-Conty, J.L.; Ortega, G.J. Prehospital Point-Of-Care Lactate Increases the Prognostic Accuracy of National Early Warning Score 2 for Early Risk Stratification of Mortality: Results of a Multicenter, Observational Study. J. Clin. Med. 2020, 9, 1156.
https://doi.org/10.3390/jcm9041156
Martín-Rodríguez F, López-Izquierdo R, Delgado Benito JF, Sanz-García A, del Pozo Vegas C, Castro Villamor MÁ, Martín-Conty JL, Ortega GJ. Prehospital Point-Of-Care Lactate Increases the Prognostic Accuracy of National Early Warning Score 2 for Early Risk Stratification of Mortality: Results of a Multicenter, Observational Study. Journal of Clinical Medicine. 2020; 9(4):1156.
https://doi.org/10.3390/jcm9041156
Chicago/Turabian Style
Martín-Rodríguez, Francisco, Raúl López-Izquierdo, Juan F. Delgado Benito, Ancor Sanz-García, Carlos del Pozo Vegas, Miguel Ángel Castro Villamor, José Luis Martín-Conty, and Guillermo J. Ortega. 2020. "Prehospital Point-Of-Care Lactate Increases the Prognostic Accuracy of National Early Warning Score 2 for Early Risk Stratification of Mortality: Results of a Multicenter, Observational Study" Journal of Clinical Medicine9, no. 4: 1156.
https://doi.org/10.3390/jcm9041156
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Materials | Free Full-Text | Optimal Dimensioning of Retaining Walls Using Explainable Ensemble Learning Algorithms
This paper develops predictive models for optimal dimensions that minimize the construction cost associated with reinforced concrete retaining walls. Random Forest, Extreme Gradient Boosting (XGBoost), Categorical Gradient Boosting (CatBoost), and Light Gradient Boosting Machine (LightGBM) algorithms were applied to obtain the predictive models. Predictive models were trained using a comprehensive dataset, which was generated using the Harmony Search (HS) algorithm. Each data sample in this database consists of a unique combination of the soil density, friction angle, ultimate bearing pressure, surcharge, the unit cost of concrete, and six different dimensions that describe an optimal retaining wall geometry. The influence of these design features on the optimal dimensioning and their interdependence are explained and visualized using the SHapley Additive exPlanations (SHAP) algorithm. The prediction accuracy of the used ensemble learning methods is evaluated with different metrics of accuracy such as the coefficient of determination, root mean square error, and mean absolute error. Comparing predicted and actual optimal dimensions on a test set showed that an R2 score of 0.99 could be achieved. In terms of computational speed, the LightGBM algorithm was found to be the fastest, with an average execution speed of 6.17 s for the training and testing of the model. On the other hand, the highest accuracy could be achieved by the CatBoost algorithm. The availability of open-source machine learning algorithms and high-quality datasets makes it possible for designers to supplement traditional design procedures with newly developed machine learning techniques. The novel methodology proposed in this paper aims at producing larger datasets, thereby increasing the applicability and accuracy of machine learning algorithms in relation to optimal dimensioning of structures.
Optimal Dimensioning of Retaining Walls Using Explainable Ensemble Learning Algorithms
by Gebrail Bekdaş 1,* , Celal Cakiroglu 2 , Sanghun Kim 3 and Zong Woo Geem 4,*
*
Authors to whom correspondence should be addressed.
Materials 2022 , 15 (14), 4993; https://doi.org/10.3390/ma15144993
Received: 30 June 2022 / Revised: 8 July 2022 / Accepted: 15 July 2022 / Published: 18 July 2022
(This article belongs to the Special Issue Modeling and Testing of Reinforced Concrete or Composite Structures Using Advanced New Materials )
Abstract
This paper develops predictive models for optimal dimensions that minimize the construction cost associated with reinforced concrete retaining walls. Random Forest, Extreme Gradient Boosting (XGBoost), Categorical Gradient Boosting (CatBoost), and Light Gradient Boosting Machine (LightGBM) algorithms were applied to obtain the predictive models. Predictive models were trained using a comprehensive dataset, which was generated using the Harmony Search (HS) algorithm. Each data sample in this database consists of a unique combination of the soil density, friction angle, ultimate bearing pressure, surcharge, the unit cost of concrete, and six different dimensions that describe an optimal retaining wall geometry. The influence of these design features on the optimal dimensioning and their interdependence are explained and visualized using the SHapley Additive exPlanations (SHAP) algorithm. The prediction accuracy of the used ensemble learning methods is evaluated with different metrics of accuracy such as the coefficient of determination, root mean square error, and mean absolute error. Comparing predicted and actual optimal dimensions on a test set showed that an
R 2
score of 0.99 could be achieved. In terms of computational speed, the LightGBM algorithm was found to be the fastest, with an average execution speed of 6.17 s for the training and testing of the model. On the other hand, the highest accuracy could be achieved by the CatBoost algorithm. The availability of open-source machine learning algorithms and high-quality datasets makes it possible for designers to supplement traditional design procedures with newly developed machine learning techniques. The novel methodology proposed in this paper aims at producing larger datasets, thereby increasing the applicability and accuracy of machine learning algorithms in relation to optimal dimensioning of structures.
Keywords:
machine learning
;
optimization
;
structural design
1. Introduction
Retaining walls are a ubiquitous element in structural design. Due to their relatively large dimensions, optimizing their dimensions can lead to significant gains with construction costs. Furthermore, designing with minimum dimensions has certain advantages for
CO 2
emissions because of using the minimum amount of cement. Therefore, the application of advanced methodologies of optimization in the design of retaining walls has economic and environmental benefits.
Many newly developed optimization techniques have been used for structural optimization in recent years. Gomes [ 1 ] applied the particle swarm optimization technique to the mass optimization of steel trusses under frequency constraints. Similarly, Dede [ 2 ] analyzed the weight minimization of steel trusses using the teaching–learning-based optimization algorithm. Bekdaş et al. [ 3 ] used several metaheuristic optimization algorithms in the minimum total potential energy analysis of steel trusses. Bekdaş [ 4 ] applied the applications of harmony search, flower pollination, and teaching–learning-based optimization algorithms to minimizing the total construction cost associated with axially symmetric cylindrical reinforced concrete walls. Ocak et al. [ 5 , 6 ] optimized a tuned liquid damper device, which was used for lateral displacement control of structures using the adaptive harmony search algorithm. Ulusoy [ 7 ] applied the teaching–learning-based optimization algorithm to the problem of the fire-resistant design of timber-based roof structures. Cakiroglu et al. [ 8 , 9 ] showed that the social spider algorithm could affect the cost minimization problem for concrete-filled steel tubular columns. The optimum design of retaining walls has been investigated using various metaheuristic algorithms including the non-dominated sorting genetic algorithm (NSGA-II) [ 10 ], flower pollination algorithm [ 11 ], gravitational search algorithm [ 12 ], and harmony search algorithm [ 13 , 14 , 15 ].
In addition to various optimization algorithms, the application of machine learning techniques in structural design has been increasingly reported in the literature. Feng et al. [ 16 ] developed an XGBoost-SHAP machine learning model which estimates the shear strength of reinforced concrete shear walls. In their study, the database, which consisted of 434 samples, was split into a training and a test set in a 70% to 30% ratio. This split ratio is adopted by the majority of the studies in this field and it is based on the optimum split ratio established by Mangalathu et al. [ 17 ]. Somala et al. [ 18 ] showed that in the fundamental period estimation of masonry infilled reinforced concrete frames, Ensemble Learning Techniques such as Random Forest and XGBoost could outperform the existing empirical predictive models available in the literature. Ahmed et al. [ 19 ] developed a novel long short-term memory network with overlapping data for the accurate prediction of earthquake-induced damage in ductile and non-ductile frame structures. Ni et al. [ 20 ] generated fragility curves for buried pipelines using Lasso Regression Analysis. Bekdaş et al. [ 21 ] demonstrated the high accuracy of different Ensemble Learning Algorithms in predicting the optimal wall thickness of reinforced concrete cylindrical walls. Cakiroglu et al. [ 22 ] developed predictive models using Ensemble Learning Algorithms to estimate the axial load-carrying capacity of FRP-reinforced concrete columns.
The current paper deals with optimizing six key dimensions which define the dimensioning of a retaining wall. These dimensions are the length of the heel (X1), length of the toe (X2), the thickness of the stem at the top of the wall (X3), the thickness of the stem at the bottom of the wall (X4), the thickness of the foundation of the wall (X5), and the stem height of the wall (H). For each of them, a separate predictive model has been developed using four different Ensemble Learning Algorithms. Ensemble Learning Techniques have been demonstrated to have superior performance in terms of prediction accuracy in recent years in comparison to traditional methods of structural performance prediction. The dataset needed to train the predictive models has been created using the Harmony Search Algorithm. More than seventy thousand data samples have been created, where each one of these data points corresponds to an optimum design configuration. Every data sample in this dataset contains, in addition to the six geometric variables which define the retaining wall geometry, the soil density (
γ
), surcharge loading (q), soil friction angle (
ϕ
), the unit cost of concrete (C
c
), and the soil bearing capacity (q
z
).
Optimal dimensioning of retaining walls can lead to significant gains in terms of cost and environmental protection. In recent years, various optimization techniques have been demonstrated for minimizing the construction cost associated with retaining walls. On the other hand, machine learning algorithms are increasingly being used in the prediction of structural performance. However, it is necessary to train these predictive algorithms using large datasets for their accuracy. The availability of large-enough datasets has been a major bottleneck in the development of accurate predictive machine learning models for structural design in the recent years. Most of the research in this area has been conducted using datasets in the order of magnitude of a thousand data samples or fewer. To overcome this limitation, the current paper demonstrates a novel technique to generate significantly larger datasets with the help of optimization algorithms. The current paper is unique in its combination of metaheuristic optimization with machine learning models to obtain predictive models that can determine optimal dimensions of a retaining wall under various loading and soil conditions. The novelty of the paper is the usage of a well-established optimization methodology for the generation of large datasets that can be used in the training of machine learning models.
2. Methods of Optimization and Predictive Model Development
The current paper demonstrates the application of the harmony search algorithm in generating large datasets consisting of optimum design configurations. These design configurations consist of six key geometric variables which define the geometry of a retaining wall in addition to soil properties, concrete unit cost, and applied surcharge load. The variables of retaining wall geometry are shown in
Figure 1
. After generating a large dataset with more than seventy thousand combinations of design variables, four different machine learning models are trained based on this dataset. The following sections describe optimization and machine learning techniques.
Figure 1. Retaining wall dimensions.
2.1. Harmony Search Algorithm
The application of metaheuristic optimization algorithms to structural optimization is an active area of research. Among a large number of metaheuristic algorithms, the harmony search (HS) algorithm is one of the most widely used and established techniques, and applied to numerous areas such as structural design [ 23 ], water network design [ 24 ], flood model calibration [ 25 ], economic load dispatch [ 26 ], concrete mix proportion design [ 27 ], chaotic systems [ 28 ], timetabling [ 29 ], weapon target assignment [ 30 ], stock price prediction [ 31 ], mobile network security [ 32 ], COVID-19 detection from CT scans [ 33 ], and subway ventilation [ 34 ].
The technique is based on the incremental improvement of an initial population of randomly generated solution candidates, also called the harmony memory matrix. In the case of cost optimization of the retaining wall, the solution candidates are vectors consisting of variables such as the wall geometry, soil properties, unit cost of material used in the retaining wall construction, and the external loads, as shown in Equation (1) where harmony memory size (HMS) denotes the size of the population of candidate solution vectors.
H M = X 1 1 X 2 1 X 3 1 X 4 1 X 5 1 H 1 q z 1 q 1 γ 1 ϕ 1 C c 1 f x 1 X 1 2 X 2 2 X 3 2 X 4 2 X 5 2 H 2 q z 2 q 2 γ 2 ϕ 2 C c 2 f x 2 ⋮ ⋮ ⋮ ⋮ ⋮ ⋮ ⋮ ⋮ ⋮ ⋮ ⋮ ⋮ X 1 H M S X 2 H M S X 3 H M S X 4 H M S X 5 H M S H H M S q z H M S q H M S γ H M S ϕ H M S C c H M S f x H M S
(1)
In Equation (1), each row of the harmony memory matrix (HM) contains the components of a candidate solution vector. The last column of the HM contains the output of a function f that takes a candidate solution vector as its argument and returns the performance of the solution vector. In the case of cost optimization, the output of f is the total cost of material used in constructing the retaining wall. Based on their performances, the solution vectors are ranked, and the best- and worst-performing members of the population are determined. In each HS iteration, the solution vectors are updated according to the steps shown in Equations (2)–(5).
k = int ( rand · HMS ) , rand ∈ ( 0 , 1 )
(2)
x i , new = x i , min + rand · ( x i , max − x i , min ) , if HMCR > rand
(3)
x i , new = x i , k + rand · PAR · ( x i , max − x i , min ) , if HMCR ≤ rand
(4)
HMCR = 0.5 ( 1 − i max ( i ) ) , PAR = 0.05 ( 1 − i max ( i ) )
(5)
HMCR and PAR in Equations (2)–(5) are the harmony memory consideration rate and the pitch adjustment rate, respectively. After each modification step, the newly generated solution vectors are ranked against the existing vectors. Among these vectors, the ones that perform better than the vectors of the previous iteration replace those worse-performing vectors. In the process of generating new solution candidate vectors, the constraints of optimization are regarded based on design codes for retaining walls so that the new design has enough capacity to resist the applied loads. The details of the HS algorithm and its different variants can be found in [
35
].
2.2. Machine Learning Methodologies
The database of optimum design combinations generated through the HS algorithm has been used in training predictive models. The design variables included in this dataset and their ranges are shown in
Figure 2
, where the values that each design variable takes are split into four different subgroups. For each one of these groups, the total number of samples belonging to that group is written inside the horizontal bars and the subgroup ranges are written above the subgroup boundaries. In
Figure 2
, the length of a subgroup indicates the percentage of the samples belonging to that group inside of the entire dataset.
Figure 2. Design variable ranges in the dataset.
Figure 2 shows the concrete unit price (C c ) ranging between 50 and 150 USD/m 3 . It can be observed that the majority of cases were within the 75–150 USD/m 3 range. The entire range of unit prices for concrete corresponds to a compressive strength of 16 to 50 MPa, which includes the compressive strengths of most commonly used concrete classes, excluding high strength concrete [ 36 , 37 ]. For the details of the correlation between the soil friction angles included in this study with the other soil properties and the soil classification, the reader is referred to [ 38 ].
The predictive models in this paper were generated using the XGBoost, Random Forest, LightGBM, and CatBoost algorithms. These models are further analyzed using the SHapley Additive exPlanations (SHAP) methodology. The following sections show a summary of the theoretical background of these methods.
2.2.1. Extreme Gradient Boosting (XGBoost)
The XGBoost algorithm is a decision tree-based method that has the capability of scaling to large datasets with billions of samples. The decision tree technique starts with testing a root criterion and recursively branches into leaf nodes, testing further criteria, ultimately reaching a terminal node that contains the prediction. The algorithm controls overfitting by using a special regularization technique. The objective of the algorithm is to obtain mapping between the input vectors
x i
and the output values
y i
as shown in Equations (6) and (7), where L is the loss function,
f k
is a weak learner,
α k
is the learning rate, T is the number of leaves,
w k
are the leaf weights, and
γ
and
λ
are the penalty coefficients [
16
,
39
].
y ^ i = ϕ ( x i ) = ∑ k = 1 K α k f k ( x i )
(6)
L ( ϕ ) = ∑ i ( y i − y ^ i ) 2 + ∑ k γ T + 1 2 λ | | w k | |
(7)
2.2.2. Random Forest
The Random Forest technique combines the predictions of an ensemble of single decision trees. The algorithm implements bagging and random feature selection techniques such that every decision tree in the ensemble is built using a bootstrap sample of the training set and the mean value of the individual tree predictions determines the overall predictive model prediction. In every node split, a random subset of features is selected for tree building. The random forest model can be summarized as in Equation (8), where
m ^ j
stands for a single decision tree [
40
,
41
,
42
].
m ^ ( x ) = 1 M ∑ i = 1 N m ^ j ( x )
(8)
2.2.3. Light Gradient Boosting Machine (LightGBM)
LightGBM is another decision tree-based algorithm, where the leaf-wise generation of the predictive model enables the creation of more complex trees. This is a version of the gradient boosting algorithm with improved computational speed and better accuracy. Using the Gradient-based One-Side Sampling (GOSS) method, LightGBM can handle large datasets. The Exclusive Feature Bundling (EFB) method makes it possible to handle datasets with a large number of design features in a more efficient way compared to the basic gradient boosting decision tree [ 43 , 44 , 45 ].
2.2.4. Categorical Gradient Boosting (CatBoost)
CatBoost differentiates itself from the basic gradient boosting decision tree in that it is capable of dealing with categorical input features more efficiently. The built-in one-hot encoding capability of CatBoost can obtain target statistics from categorical features. Furthermore, the ordered boosting technique allows the CatBoost algorithm to overcome the gradient bias. Let
X i = ( x i , 1 , … , x i , m )
be an input vector consisting of m design features and
Y = ( Y 1 , … , Y n )
, the vector of labels. Let
σ = ( σ 1 , … , σ n )
be a permutation. To reduce overfitting and use the entire dataset, the CatBoost algorithm uses a random permutation by substituting
x σ p , k
with the expression in Equation (9), where P is a prior value and a > 0 is its weight [
46
,
47
].
∑ j = 1 p − 1 [ x σ j , k = x σ p , k ] Y σ j + a · P ∑ j = 1 p − 1 [ x σ j , k = x σ p , k ] + a
(9)
2.2.5. SHapley Additive exPlanations (SHAP)
The SHAP analysis is a great contribution to the explainability of the machine learning models, in that it enables a visual representation of the impact of each input variable on the predictive model outcome. Furthermore, Shapley values can measure the interdependencies between different input variables. The algorithm is based on game theory and uses the additive feature attribution, method where an output model is defined as a linear combination of simplified input vectors, as shown in Equation (10) [
48
].
f ( x ) = g ( x ′ ) = ϕ 0 + ∑ i = 1 M ϕ i x i ′
(10)
In Equation (10), the functions f and g are the original predictive model and the explanation model, respectively. M is the total number of input variables,
x
is a vector of input variables,
x i
are the simplified input vectors, and
ϕ i
are the Shapley values. The Shapley values are calculated using Equation (11). Further details of the SHAP algorithm can be found in [
49
].
ϕ i ( f , x ) = ∑ z ′ ⊆ x ′ | z ′ | ! ( M − | z ′ | − 1 ) ! M ! [ f x ( z ′ ) − f x ( z ′ \ i ) ]
(11)
3. Results
In this section, the predictions of four different Ensemble Learning Algorithms are compared to the actual optimum dimensions obtained through the harmony search method.
3.1. Comparison of the Model Predictions
The comparisons have been visualized for all of the six key dimensions that describe the retaining wall geometry. For each algorithm and each dimension that is being predicted, the accuracy of the predictive models has been measured using three different metrics and listed in Table 1 . In Figure 3 , Figure 4 , Figure 5 and Figure 6 , the predicted optimum dimensions are plotted against the actual optimized dimensions. It can be observed that in the plots showing the predictions for X1, X5, and H, the points representing the different configurations are within a relatively narrow band, which indicates higher accuracy of prediction. In each one of these plots, the dotted ±10% lines can be seen, which indicates a 10% deviation from a perfect match between the predicted and actual optimal dimensions.
Figure 3. Comparison of the predicted and optimized dimensions using XGBoost. ( a ) X1, ( b ) X2, ( c ) X3, ( d ) X4, ( e ) X5, ( f ) H.
Figure 4. Comparison of the predicted and optimized dimensions using Random Forest. ( a ) X1, ( b ) X2, ( c ) X3, ( d ) X4, ( e ) X5, ( f ) H.
Figure 5. Comparison of the predicted and optimized dimensions using LightGBM. ( a ) X1, ( b ) X2, ( c ) X3, ( d ) X4, ( e ) X5, ( f ) H.
Figure 6. Comparison of the predicted and optimized dimensions using CatBoost. ( a ) X1, ( b ) X2, ( c ) X3, ( d ) X4, ( e ) X5, ( f ) H.
Table 1. Prediction accuracy of the machine learning models.
Table 1
shows that five out of the six parameters defining the wall geometry could be accurately predicted using the ensemble learning models. Among these models in
Table 1
, low R
2
values were obtained for X3, since the database used in the training of the predictive models is mostly populated with samples where the X3 value is 0.2. This distribution of the design variable values was obtained after eliminating the design configurations for which the harmony search method did not converge to an optimum result within design constraints. Taking the average value of the metrics of accuracy corresponding to different dimensions, it can be seen from
Table 2
that the CatBoost model has the best performance in terms of all three accuracy metrics. CatBoost was followed by Random Forest and LightGBM, whose performances were close to each other. Lastly, the XGBoost models had the lowest accuracy among the four predictive models.
Table 2. Average predictive model accuracy and performance.
The Taylor diagrams in Figure 7 show the model quality by using the Pearson correlation coefficient as the metric of accuracy. The equation for the calculation of the Pearson correlation is given in Appendix A . The prediction of each model is shown with a circle and the corresponding correlation coefficient is shown on the radial grid, which ranges from 0 to 1. Furthermore, for each predictive model as well as the original dataset, the corresponding standard deviation values are calculated and shown on both the horizontal and vertical axes. From Figure 7 , it can be seen that for the design variables X1, X5, and H, the correlation coefficients were greater than 0.99 for all predictive models, which indicates excellent accuracy of prediction. For X2 and X4, the correlation values were 0.98 for all predictive models. The lowest correlation values were observed for X3 in the interval from 0.75 to 0.80, where the highest correlation values could be obtained through the CatBoost model. A summary of the predictive model performance can be observed in Table 2 , where the average values of the error metrics are listed for all the models. According to Table 2 , the CatBoost models have the highest accuracy on average.
Figure 7. Taylor diagrams for the design variables.
3.2. SHAP Analysis
The SHAP summary plots and feature dependence plots presented in this section provide an effective way of visualizing the impact of various design variables on the overall predictions of the machine learning models. The summary plot shown in
Figure 8
is an information-rich representation of how ten different input variables affected the CatBoost model outcome for the prediction of the wall stem thickness at the bottom (X4). In
Figure 8
, each dot corresponds to a different sample in the database. The dot positions along the horizontal axis are related to the SHAP value of the variable such that greater positive values indicate an increasing effect on the model prediction and negative SHAP values indicate a decreasing effect on the model output. Furthermore, the magnitude of a variable in a sample is represented with color such that greater magnitudes are shown with the shades of blue and lower values are shown with the shades of red. According to
Figure 8
, the thickness of the wall foundation (X5) has the greatest impact on X4 such that increasing the X5 value also increases X4.
Figure 8. SHAP summary plot for X4.
The feature dependence plots in
Figure 9
present further information about the interdependencies of the different input variables.
Figure 9
a shows that as the value of X1 increases, the SHAP value decreases. Therefore, its impact on the model output tends to decrease. Particularly when the length of the toe (X2) has a high value, this relationship between X1 and its impact is more pronounced. From
Figure 9
b, it can be observed that up to a certain value as X2 increases, its SHAP value increases regardless of the value of X5, which is the variable most dependent on X2. For X2 > 1.5, the impact of these variables decreases with its size when X5 has higher values shown with the shades of red. The relationship between the values of X5 and the impact of this variable on the model output can be observed in
Figure 9
d. For X5 < 1, the value of X5 and its impact are linearly proportional regardless of the value of
C c
, which is the most dependent parameter on X5.
Figure 9. Feature dependence plots for the geometric variables. ( a ) CatBoost dependence plot for X1, ( b ) CatBoost dependence plot for X2, ( c ) CatBoost dependence plot for X3, ( d ) CatBoost dependence plot for X5.
4. Discussion
The current paper presents a novel technique for the optimum dimensioning of retaining walls. A data-driven approach is presented using four different ensemble learning techniques. Predictive machine learning models have been generated using a large dataset obtained through optimization. The thickness of the retaining wall stem at the bottom has been used as the decisive parameter that determines the overall size and cost of the structure. The database necessary to develop the predictive models has been generated using the HS optimization technique. Using this technique, a large database with over seventy thousand data samples was generated where each data sample consists of an optimum combination of eleven design variables and the total construction cost associated with them. The prediction accuracy of the different models has been presented using root mean square error (RMSE), mean absolute error (MAE), coefficient of determination (R
2
), and Pearson correlation as the metrics of model performance. The highest prediction accuracy could be achieved by the CatBoost models followed by LightGBM, Random Forest, and XGBoost. The focus of this analysis was the optimization of the geometric dimensions of a retaining wall. The overall wall size and shape were described using six key geometric dimensions.
Previous studies in the area of optimal structural dimensioning mostly attempted to minimize structural cost or weight for a single load case [
8
,
9
]. More recent studies in the area attempted to develop general-purpose predictive models based on a dataset of structural configurations with known structural behavior [
21
,
22
]. However, the availability of experimental or numerical data describing the structural behavior is a major limiting factor in the training of robust predictive models since the size of the database used in the training of these predictive models is a decisive factor that effects to what extent these models could be used reliably. Furthermore, the range of design variables included in the dataset determines the accuracy of the predictions on new data samples. The current study differentiates itself from the previous ones by generating comprehensive predictive models that incorporate a large number of samples and design variables. Both the size of the dataset and the ranges of the design variables were selected so that these ranges would include most load cases with practical relevance. As a result, a dataset of 71,660 data samples was generated using the harmony search optimization algorithm, which is significantly larger than the datasets previously used in this field. The current paper demonstrates the possibility of generating significantly larger datasets using optimization techniques. This novel approach has the potential to overcome the data availability limitations associated with training machine learning models for structural dimensioning. Using this approach, the applicability of machine learning algorithms to the field of engineering design can be greatly enhanced.
From the SHAP summary plot, it could be observed that all geometric variables, except for the length of the heel (X1), have an increasing effect on the wall stem thickness at the bottom (X4). On the other hand, variables such as concrete unit cost, soil friction angle, and soil bearing capacity have a decreasing effect on X4 as their values increase. Furthermore, increasing the magnitude of the soil density (
γ
) was observed to have an increasing effect on X4. The thickness (X5) of the wall foundation was found to have the greatest impact on X4, whereas X3 was the variable with the least impact. The low impact of X3 on the model output can be attributed to the concentration of the X3 values around a single value in the entire database.
5. Conclusions
The availability of large datasets is crucial for the development of accurate predictive models in machine learning and particularly in structural dimensioning. The current paper shows the generation of a database consisting of 71,660 unique optimal combinations of six different geometric variables and five parameters that describe the material properties and external loads. The harmony search algorithm has been utilized to obtain these optimal configurations. The major outcomes of this paper can be summarized as follows:
Among the four ensemble learning models developed in this paper, the highest overall prediction accuracy could be achieved by the CatBoost model, with a maximum coefficient of determination score of 0.999 for the prediction of the optimum stem height and an average R 2 score of 0.927, while the XGBoost models demonstrated, on average, the lowest prediction accuracy.
In terms of computational speed, the LightGBM models demonstrated the best performance, with an average duration of 6.17 s for the training and testing, whereas the CatBoost models were an order of magnitude slower than the LightGBM models.
The results of the SHAP analysis showed that the thickness of the retaining wall foundation (X5), the unit cost of concrete (C c ), and the stem height of the wall have the greatest impact on the optimal design.
The foundation thickness and concrete unit cost were found to be highly dependent on each other and a linear proportionality could be observed between the foundation thickness and the impact of this parameter on the optimal design configuration.
Further research in this area can be carried out by setting different material properties such as the compressive strength of concrete or the yield strength of steel as the optimization objective. Furthermore, the arrangement of the steel reinforcement can be included in future studies as a design variable or optimization objective. One of the limitations of the current study is that a certain range of unit prices is assumed during the generation of the dataset which represents the quality of concrete. However, fluctuations in concrete unit prices have not been considered. Furthermore, it should be noted that the developed ensemble learning models are only applicable within variable ranges included in the training dataset. For variable values outside these ranges, detailed structural analysis and optimization techniques should be applied on a case-by-case basis.
Author Contributions
Methodology, G.B.; formal analysis (coding), C.C.; writing—original draft preparation, C.C. and G.B.; writing—review and editing, S.K. and Z.W.G.; visualization, C.C.; supervision, G.B., S.K. and Z.W.G.; funding acquisition, Z.W.G. All authors have read and agreed to the published version of the manuscript.
Funding
This work was supported by the National Research Foundation of Korea (NRF) grant funded by the Korean government (MSIT) (2020R1A2C1A01011131).
Institutional Review Board Statement
Not applicable.
Informed Consent Statement
Not applicable.
Data Availability Statement
The data presented in this study are available on request from the corresponding author.
Conflicts of Interest
The authors declare no conflict of interest.
Appendix A
Table A1. Metrics of Model Accuracy.
Table A1. Metrics of Model Accuracy.
Root mean square error (RMSE): RMSE = ∑ i = 1 n ( y i − y ~ i ) 2 n Coefficient of determination (R 2 ): R 2 = ( n ∑ i = 1 n y i y ~ i − ∑ i = 1 n y i ∑ i = 1 n y ~ i n ∑ i = 1 n y i 2 − ( ∑ i = 1 n y i ) 2 n ∑ i = 1 n y ~ i 2 − ( y ~ i ) 2 ) 2 Mean absolute error (MAE): MAE = ∑ i = 1 n | y i − y ~ i | n Pearson correlation coefficient: r xy = n ∑ i = 1 n x i y i − ∑ i = 1 n x i ∑ i = 1 n y i n ∑ i = 1 n x i 2 − ( ∑ i = 1 n x i ) 2 n ∑ i = 1 n y i 2 − ( ∑ i = 1 n y i ) 2
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Figure 1. Retaining wall dimensions.
Figure 2. Design variable ranges in the dataset.
Figure 3. Comparison of the predicted and optimized dimensions using XGBoost. ( a ) X1, ( b ) X2, ( c ) X3, ( d ) X4, ( e ) X5, ( f ) H.
Figure 4. Comparison of the predicted and optimized dimensions using Random Forest. ( a ) X1, ( b ) X2, ( c ) X3, ( d ) X4, ( e ) X5, ( f ) H.
Figure 6. Comparison of the predicted and optimized dimensions using CatBoost. ( a ) X1, ( b ) X2, ( c ) X3, ( d ) X4, ( e ) X5, ( f ) H.
Figure 7. Taylor diagrams for the design variables.
Figure 8. SHAP summary plot for X4.
Figure 9. Feature dependence plots for the geometric variables. ( a ) CatBoost dependence plot for X1, ( b ) CatBoost dependence plot for X2, ( c ) CatBoost dependence plot for X3, ( d ) CatBoost dependence plot for X5.
Table 1. Prediction accuracy of the machine learning models.
Algorithm Variable R 2 MAE RMSE Duration [s] XGBoost X1 0.977 0.0697 0.2988 16.49 X2 0.958 0.0573 0.1319 19.12 X3 0.562 0.0092 0.0759 16.89 X4 0.967 0.0197 0.0708 17.88 X5 0.988 0.0075 0.0192 17.62 H 0.998 0.0907 0.1351 14.98 Random Forest X1 0.997 0.0279 0.1091 65.02 X2 0.958 0.0378 0.1220 62.47 X3 0.559 0.0083 0.0762 94.74 X4 0.960 0.0162 0.0776 66.19 X5 0.989 0.0052 0.0188 61.61 H 0.997 0.0702 0.1525 51.24 LightGBM X1 0.998 0.0463 0.0989 5.86 X2 0.947 0.0719 0.1383 5.68 X3 0.566 0.0100 0.0756 6.27 X4 0.966 0.0208 0.0725 5.59 X5 0.989 0.0075 0.0186 7.36 H 0.997 0.1051 0.1517 6.28 CatBoost X1 0.998 0.0281 0.0860 85.31 X2 0.960 0.0505 0.1189 73.05 X3 0.642 0.0093 0.0687 74.85 X4 0.971 0.0167 0.0660 85.76 X5 0.991 0.0056 0.0170 90.40 H 0.999 0.0524 0.0890 75.43
Table 2. Average predictive model accuracy and performance.
Algorithm R 2 MAE RMSE Duration [s] XGBoost 0.9083 0.04235 0.12195 17.16 Random Forest 0.91 0.0276 0.0927 66.88 LightGBM 0.9105 0.0436 0.0926 6.17 CatBoost 0.92683 0.0271 0.07427 80.80
Bekdaş, Gebrail, Celal Cakiroglu, Sanghun Kim, and Zong Woo Geem. 2022. "Optimal Dimensioning of Retaining Walls Using Explainable Ensemble Learning Algorithms" Materials15, no. 14: 4993.
https://doi.org/10.3390/ma15144993
MDPI and ACS Style
Bekdaş, G.; Cakiroglu, C.; Kim, S.; Geem, Z.W. Optimal Dimensioning of Retaining Walls Using Explainable Ensemble Learning Algorithms. Materials 2022, 15, 4993.
https://doi.org/10.3390/ma15144993
AMA Style
Bekdaş G, Cakiroglu C, Kim S, Geem ZW. Optimal Dimensioning of Retaining Walls Using Explainable Ensemble Learning Algorithms. Materials. 2022; 15(14):4993.
https://doi.org/10.3390/ma15144993
Chicago/Turabian Style
Bekdaş, Gebrail, Celal Cakiroglu, Sanghun Kim, and Zong Woo Geem. 2022. "Optimal Dimensioning of Retaining Walls Using Explainable Ensemble Learning Algorithms" Materials15, no. 14: 4993.
https://doi.org/10.3390/ma15144993
| https://www.mdpi.com/1996-1944/15/14/4993/htm |
-Continued. | Download Table
Download Table | -Continued. from publication: Evolution of the mating season in the pitvipers of North America | In the majority of temperate zone snakes, the mating season is temporally dissociated from the time of fertilization. Similarly, in males, the mating season is often temporally dissociated from spermatogenesis. In temperate zone pitvipers of North America, estrus, the time... | Seasons, Estrus and Crotalus | ResearchGate, the professional network for scientists.
TABLE 3
-Continued.
Source publication
Evolution of the mating season in the pitvipers of North America
Full-text available
In the majority of temperate zone snakes, the mating season is temporally dissociated from the time of fertilization. Similarly, in males, the mating season is often temporally dissociated from spermatogenesis. In temperate zone pitvipers of North America, estrus, the time when females signal that they are receptive to males, occur's at some time d...
Rena De Paula Orofino
Ligia Pizzatto
Citations
... Introduction rent periods in congeneric species
(Aldridge and Duvall, 2002;
Pizzatto and Marques, 2006;Barros et al., 2012). Temperature and rainfall are the main abiotic factors influencing the reproductive cycles in snakes and, therefore, responsible for modulating the seasonality of cycles (Aldridge and Duvall, 2002;Lutterschmidt and Mason, 2009). ...
(Aldridge and Duvall, 2002;
(Aldridge and Duvall 2002)
68]
Full-text available
Mar 2022
Diversity
Rubén Alonso Carbajal Márquez
José Jesús Sigala-Rodríguez
Jorge Arturo Hidalgo-García
Juan José Ayala Rodríguez
José Rogelio Cedeño-Vázquez
The Tehuantepec Isthmus rattlesnake (Crotalus ehecatl) is a poorly known species endemic to Mexico. We describe its diet, morphological variation, life history traits and activity patterns based on data from field encounters, museum specimens, and published data. Its diet consists almost exclusively of mammals, with no detected ontogenetic shift or sexual differences in prey type, and with feeding happening mainly in the rainy season. As the first detailed study on the feeding ecology of C. ehecatl, it adds six new prey species and suggests a homogeneous diet among age classes and sexes, but not among seasons. Crotalus ehecatl does not present sexual dimorphism in snout-vent length, head length or total length, but males have significantly longer tails than females, possess fewer ventral scales, more subcaudal and anterior intersupraocular scales. Crotalus ehecatl showed a unimodal activity pattern with peak activity in the summer, with crepuscular and nocturnal activity during the warmer months, and diurnal activity during the cooler months. The timing of C. ehecatl reproductive events, is similar to other rattlesnakes from temperate and tropical zones. Additional studies on this and related species would help to understand how the ecology of Neotropical rattlesnakes differs from rattlesnakes of more temperate zones.
... larger than those of females, and moving up to 6.24 m/d (88.9%) more than females. We expected these differences, as males of C. ruber elsewhere [49] and those of other rattlesnake species (e.g., [89][90][91][92]
[93]
; but see [94]) exhibit greater levels of activity than females. Moreover, the activity range size increased with increasing SVL for male snakes, but not for female snakes. ...
Human–Wildlife Conflict at a Suburban–Wildlands Interface: Effects of Short- and Long-Distance Translocations on Red Diamond Rattlesnake (Crotalus ruber) Activity and Survival
Article
Full-text available
Feb 2022
Diversity
Aaron G. Corbit
William K. Hayes
The mitigation of human–rattlesnake conflicts often involves euthanizing or translocating the offending rattlesnake. Although translocation is generally considered more humane, especially by the general public, it may negatively impact the translocated individual and may not be effective if that individual returns to areas where the probability of human conflict is high. We used radiotelemetry to experimentally study the effects of short- (SDT) and long-distance translocation (LDT; beyond the typical home range or activity range) on adult Red Diamond Rattlesnakes (Crotalus ruber) near a residential development in Southern California. Though the results were mixed, some analyses suggested that higher numbers of SDTs were associated with larger activity areas and increased movement. For snakes undergoing LDT, the activity areas and mean daily movement distances were 1.8–4.6 times larger than those of non-LDT snakes in the year of translocation, but were similar in the following year. Cox regression models revealed that, for both LDT and non-LDT snakes, every 1 m increase in the distance moved resulted in a 1.2% decreased risk of moving back into a human-modified area and a 1.6% decreased risk of returning to the original site of conflict. We failed to detect an effect of either LDT or SDT on body mass change or survival. Our findings suggest that LDT of nuisance snakes may be a viable option for at least some rattlesnake populations or species, especially those in which individuals do not require communal overwintering sites.
... The diameter of the SSK showed a peak in winter and spring, but there was no total regression during the other seasons. Similar feature was also observed in other species of snakes (Fox 1977
, Aldridge & Duvall 2002
, Aldridge et al. 2009). The T. dorsatus from Brazilian south region also had an increased secretory activity of SSK in spring (Loebens et al. 2020). ...
Seasonal variations of male reproductive parameters of Tomodon dorsatus from Southeastern Brazil
Article
Full-text available
Jun 2021
PESQUISA VET BRASIL
Luciane Lily Abud
Bruno Cesar Schimming
The morphology of the male reproductive tract of Tomodon dorsatus was described in the austral seasons of the year considering macroscopic and microscopic variables. For this purpose, 56 specimens from the herpetological collection of the “Instituto Butantan” were used. Fragments of the testes, kidneys and ductus deferens were collected and submitted to histological routine. The peak of the testicular volume was observed in the summer and the epithelium of the seminiferous tubules had higher height in the summer (p=0.001). The testes were active throughout the year, however, the spermiogenesis peaked in the summer. There were spermatozoa in the lumen of the ductus deferens in all seasons of the year. Renal length was higher in autumn (p=0.027), and renal width did not show a significant increase (p=0.237). The diameter and epithelial height of the sexual segment of the kidney (SSK) showed hypertrophy in winter and spring, coinciding with the mating period. Based on findings of this study, we can suggest that, at the population level, the reproductive cycle of T. dorsatus can be considered seasonal semi-synchronous, due to the peak of spermiogenic activity in the hot season, and discontinuous at the individual level.
... Females were considered mature if they had vitellogenic follicles; oviductal eggs; enlarged, opaque and folded uterus; sperm in the oviduct after histological analysis; or UMC . Because females are more receptive to copulate during vitellogenesis
(Aldridge and Duvall, 2002;
Bassi et al., 2019), we estimated the mating season by the presence of vitellogenic females with sperm in the oviduct or with a copulatory plug in the pouch. ...
... Our finding of a previtellogenic female with copulatory plug in March and December suggests that some mating activity occurs outside the major autumn-winter mating season. However, since mating in crotalines is commonly synchronous with vitellogenesis
(Aldridge and Duvall, 2002;
Almeida-Santos & Salomão, 2002), the copulatory plug in previtellogenic females may be a remnant of previous copulation. Finally, the gravid female collected in March suggests the occurrence of sperm storage. ...
Reproduction in the bushmaster (Lachesis muta): Uterine muscular coiling and female sperm storage
Article
Dec 2020
ACTA ZOOL-STOCKHOLM
Eletra de Souza
Selma Maria Almeida-Santos
Prolonged sperm storage in the female reproductive tract is a widespread strategy among vertebrates. In reptiles, especially lizards and snakes, females have specialized structures to store sperm in their oviduct, which occur in the posterior infundibulum and the nonglandular uterus. Many viperids exhibit uterine muscular coiling (UMC) in the nonglandular uterus, and this modification has been proposed as an ancestral trait in this taxon to store sperm. However, UMC and oviductal sperm storage have not been reported in Lachesis. Here, we studied the reproductive tract of L. muta females using histological techniques and describe, for the first time, the occurrence of oviductal sperm storage and UMC in nonglandular uterus of this species. We also describe an increase in secretory activity in the oviduct throughout the reproductive cycle. Our results support the hypothesis that UMC is an ancestral character in Viperidae and suggest that female L. muta must store sperm in the oviduct to fertilize the oocytes. We also propose new hypotheses for reproductive strategies of L. muta in nature.
... Sex-based differences for home ranges and movement patterns were anticipated (Smith et al. 2009, Sutton et al. 2017, although the differences between males and female were less pronounced at the urban forest. Seasonal changes in activity in the spring and late summer were also expected, as it has been previously noted that southeastern Copperheads mate twice a year
(Aldridge and
Duvall 2002, Ernst andErnst 2011). Urban subjects may have smaller home ranges and core areas because of denser food availability (Wasko and Sasa 2012), predator release (Steen et al. 2014), human disturbance (Beale et al. 2016), or a combination of circumstances. ...
Cozy in the City: The Morphology and Spatial Ecology of Copperheads in an Urban Forest
Article
Full-text available
Oct 2020
Malle Carrasco-Harris
Judith A Cole
Steve Reichling
Anthropogenic environments alter behaviors in a wide variety of taxa. We examined the morphology and spatial ecology of Agkistrodon contortrix Linnaeus (Eastern Copperhead) within an urban forest and a rural forest in Tennessee. We captured snakes for morphological data and radio tracked 36 urban and 8 rural subjects to collect spatial data. We estimated home range size, core area, and movement parameters (total distance moved; daily, sampling, and monthly movement) using relocation data. Copperheads in the urban forest were smaller but did not differ in body condition compared to rural conspecifics. We found urban Copperheads had reduced home ranges, core areas, and movement parameters compared to rural subjects. Our study suggests urban snakes alter spatial behavior by decreasing overall movement.
https://eaglehill.us/URNAonline2/access-pages/035-Carrasco-Harris-accesspage.shtml
... The timing of testicular recrudescence (i.e., early spermatogenesis) appears largely conserved in crotalines, occurring in spring in virtually all species studied (Tsai and Tu, 2000;
Aldridge and Duvall, 2002;
Salomão and Almeida-Santos, 2002;Barros et al., 2014aBarros et al., , 2014bSilva et al., 2019b). However, males show one of two seasonal patterns of spermiogenesis/spermiation (i.e., peak of spermatogenesis). ...
... Winter-spring mating would depend on females being attractive and receptive to males. In these seasons, many female B. jararacussu are vitellogenic and thus potentially attractive to males
(Aldridge and Duvall, 2002;
Mathies et al., 2013). So far, there are only three records of mating in B. jararacussu, and all of them occurred in autumn (Almeida-Santos and Silva et al., 2013;this study). ...
Reproduction in the pitviper Bothrops jararacussu: large females increase their reproductive output while small males increase their potential to mate
Article
Jun 2020
ZOOLOGY
Karina M.P. Silva
Henrique B. Braz
Karina N. Kasperoviczus
Otavio A.V. Marques
Selma M. Almeida-Santos
Reproductive traits vary widely within and among snake species, and are influenced by a range of factors. However, additional studies are needed on several species, especially on tropical snake faunas, to fully understand the patterns of reproductive variation in snakes. Here, we characterized the reproductive biology of B. jararacussu from southeastern and southern Brazil. We combined macroscopic and microscopic examinations of the reproductive system of museum specimens with observations of free-ranging snakes to characterize size at sexual maturity, sexual size dimorphism, reproductive output, and male and female reproductive cycles. We compared our data with published literature and discuss the factors that may play a role in shaping the reproductive patterns in the species and the genus. Bothrops jararacussu shares several characteristics with its congeners such as autumn mating season, obligatory sperm storage in the female reproductive tract, seasonal timing of parturition (summer-autumn), female-biased SSD, maturity at larger body sizes in females, and a positive relationship between body size and litter size. These characteristics seem phylogenetically conserved in Bothrops. On the other hand, B. jararacussu exhibits some unique characteristics such as a high degree of SSD (one of the highest values recorded in snakes), a large female body size, and a large litter and offspring size, which are among the largest recorded in the genus. Moreover, larger females reproduce more frequently than smaller conspecifics. These characteristics may be collectively interpreted as the result of a strong selection for increased fecundity. Other peculiarities of the species include an asynchrony between spermiogenesis (summer-autumn) and the peak of SSK hypertrophy (autumn to spring) and a prolonged production of SSK granules. Because SSK hypertrophy and mating are androgen-dependent in snakes, the prolonged SSK hypertrophy suggests that male B. jararacussu may prolong their potential to mate (compared with its congeners), which may increase their reproductive success. Our results and previous literature collectively suggest that, in Bothrops, the evolution of SSD is driven by fecundity selection, variation in reproductive output is influenced by variation in female body size, and the timing of spermiogenesis is influenced by other factors in addition to temperature. We also suggest that male Bothrops have undergone multiple evolutionary shifts in the timing of spermiogenesis.
... In its subtropical range in Central Florida, S. miliarus populations display a highly seasonal reproductive pattern that is typical of more temperate populations, with a few notable exceptions: (1) The mating season begins in the late summer, but continues until February (May et al., 1996;Rowe et al., 2002: Lind et al., 2019 and (2) both males and females are surface active and forage throughout winter, after which, vitellogenic follicles large enough to be identified by palpation are evident from March until ovulation in late May or early June (i.e. consistent with a type I vitellogenic pattern; Aldridge, 1979;
Aldridge and Duvall, 2002)
. This population differs from other snake populations in which female steroids have been examined (e.g. ...
... Diagnosis of vitellogenesis by palpation is limited and may fail to diagnose initial vitellogenin production or small amounts of yolk deposition. However it is clear that the elevation of E2 in the fall is not associated with the recruitment of large secondary follicles as seen in many other North American pitvipers
(Aldridge and Duvall, 2002)
. Also of note, while E2 is elevated in individuals during spring vitellogenesis, no mating activity is observed in the spring months (Rowe et al., 2002;Lind et al., 2018). ...
The relationship between steroid hormones and seasonal reproductive events in free-living female Pygmy Rattlesnakes, Sistrurus miliarius
Article
Jan 2020
GEN COMP ENDOCR
Craig M. Lind
Ignacio T. Moore
Ben J. Vernasco
La'Toya V. Latney
Terence M. Farrell
Steroid hormones regulate reproductive investment and play a critical role in coordinating reproductive responses to both short and long-term environmental change. Laboratory studies typically examine the mechanistic relationships among steroids and reproductive processes under controlled conditions and may fail to identify any seasonal patterns in regulatory mechanisms exhibited by free-living organisms. In snakes, field studies describing the seasonal relationships among steroids and male reproduction are prevalent. However, comparatively less work has been conducted on free-living female snakes. To bridge this gap in knowledge, we described the seasonal patterns of estradiol (E2), corticosterone (cort), and plasma constituents (total protein, albumin, phosphorus, and glucose) in relation to the seasonal events of the reproductive cycle in free-living female pygmy rattlesnakes (Sistrurus miliarius). We predicted to observe elevated E2 and plasma constituents during the spring vitellogenenic season, and that E2 would also be elevated during the fall mating season. Additionally, we hypothesized that cort acts to mobilize resources to meet the energetic challenges experienced during reproduction. We, therefore, predicted that elevated cort would be associated with the vitellogenic season and summer pregnancy, and that cort would be positively associated with elevated E2 and plasma constituents. In S. miliarius, plasma estradiol was significantly elevated during both the fall mating and spring vitellogenic seasons. Elevated E2 was associated with significantly higher plasma total protein, albumin, and phosphorous in both seasons, but unrelated to plasma glucose. Corticosterone was not elevated in individuals with elevated E2. Additionally, cort was not related to plasma total protein, albumin, or phosphorus, but was positively related to plasma glucose. Corticosterone was elevated during late pregnancy compared to early pregnancy and postpartum, and also elevated in pregnant compared to non-reproductive females sampled in the field. Our results indicate that the mechanistic links between steroids and reproductive processes may be seasonally uncoupled and highlight the need for the continued study of the hormonal coordination of reproduction in free-living vertebrates with diverse life histories.
... Regarding the female body size at which sexual maturity is acquired, our hypothesis is not met. Reproduction represents a risk for female survival regardless of their offspring productivity
(Aldridge and Duvall 2002)
; hence, natural selection forces females to attain a minimum body length to reproduce, which implies a minimum clutch size that overcomes the risks of their first reproductive period (Seigel and Ford 1987). For this reason, we expected females from both populations to become sexually active at the same body length. ...
Reproduction ecology of the recently invasive snake Hemorrhois hippocrepis on the island of Ibiza
Knowing the causes of biological invasion success can be relevant to combat future invasive processes. The recent invasion of the horseshoe whip snake (Hemorrhois hippocrepis) on the island of Ibiza provides the opportunity to compare natural history traits between invasive and source populations, and to unravel what makes this snake a successful invader that is threatening the only endemic vertebrate of the island, Podarcis pityusensis. This study compares basic reproductive traits of mainland native and invasive populations of the snake. Our results revealed that invasive populations were characterized by female maturity at a smaller size, extended reproductive period, and much lower reproduction frequency compared to the native population. In contrast, some major reproductive traits –the abdominal fat body cycle, clutch size, hatchling body size and hatchling body condition, did not differ between the two populations. Some of these results must reflect the environmental differences in the recently invaded island with respect to the source area, and overall plasticity of reproductive traits. Plasticity is evolutionarily interesting, and may aid the successful growth of this species in their invasiveness of Mediterranean islands like Ibiza. The most significant finding is that this expression of phenotypic plasticity occurred rapidly in this invasive population, within a period of 14 years maximum. Our results on the reproduction ecology of the invasive population were not conclusive regarding the factors determining the invasiveness of the snake and pointed to alternative causes.
| https://www.researchgate.net/figure/Continued_tbl2_238446667 |
Graham v. Inlow, 90-45 - Arkansas - Case Law - VLEX 888670698
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Graham v. Inlow, 90-45
<table><tbody><tr><td> Court</td><td> Supreme Court of Arkansas</td></tr><tr><td> Writing for the Court</td><td> GLAZE</td></tr><tr><td> Citation</td><td> 302 Ark. 414,790 S.W.2d 428</td></tr><tr><td> Parties</td><td> Patricia GRAHAM, Appellant, v. Charles W. INLOW, Carol J. Inlow, and Freda Evelyn Inlow, Appellee.</td></tr><tr><td> Docket Number</td><td> No. 90-45,90-45</td></tr><tr><td> Decision Date</td><td> 04 June 1990</td></tr></tbody></table>
Page 428
790 S.W.2d 428
302 Ark. 414
Patricia GRAHAM, Appellant,
v.
Charles W. INLOW, Carol J. Inlow, and Freda Evelyn Inlow, Appellee.
No. 90-45.
Supreme Court of Arkansas.
June 4, 1990.
Page 429
[302 Ark. 415] Howard L. Slinkard, Rogers, for appellant.
Charles L. Harwell, Springdale, for appellee.
GLAZE, Justice.
This second appeal stems from our earlier reversal and remand of this partition suit case wherein we held valid a deed from Robert Inlow to his second wife, Freda, and [302 Ark. 416] his three children. See Graham v. Inlow,296 Ark. 165,753 S.W.2d 277(1988). Robert had two children, Charles and Carol, by his wife Freda, and he had another child, Patricia Graham, by his first wife. In remanding this case, the trial court was placed in the position of reconsidering Graham's request for partitioning the parties' one-fourth respective interest in the 287 acre farm. The chancellor found the property could not be partitioned in kind and ordered the sale of the farm.The chancellor
Page 430
further held that Graham was entitled to certain rental income and timber sale proceeds after her commencement of the suit as well as attorney fees and costs in connection with prosecuting this partition action. He also awarded Freda the sum of $70,000 for improvements she made on the disputed property. Graham appeals and the Inlows cross appeal from the awards made by the chancellor.
In the first point, the appellant argues that the chancellor erred in awarding reimbursement for improvements made on the property for two reasons: (1) Freda did not show that the improvements were made in good faith that she was the sole owner of the property as required by the Betterment Statute, Ark.Code Ann. § 18-60-213 (1987); (2) Freda failed to present any testimony to show the improvement's enhanced value to the land. Because we agree with appellant's second argument on this point, we reverse and remand.
The Betterment Statute, Ark.Code Ann. § 18-60-213(a), provides as follows:
If any person believing himself to be the owner, either in law or equity, under color of title has peaceably improved, or shall peaceably improve, any land which upon judicial investigation shall be decided to belong to another, the value of the improvement made as stated and the amount of all taxes which have been paid on the land by the person, and those under whom he claims, shall be paid by the successful party to the occupant, or the person under whom, or from whom, he entered and holds, before the court rendering judgment in the proceedings shall cause possession to be delivered to the successful party.
In awarding Freda $70,000 for reimbursement for improvements made by her, the chancellor held that the Betterment Statute [302 Ark. 417] does not apply to cotenants but that the underlying principles and theories are analogous to the relief under the common law.
We have held that the Betterment Statute applies to tenants in common. Wallis v. McGuire,234 Ark. 491,352 S.W.2d 940(1962). However, the chancellor was correct in that the statute does not apply to tenants in common in this type of action. Section 18-60-213 is found in the Code under the subchapter for ejectment and trespass, and applies to cotenants who are involved in such actions. In the present case, however, we are involved with a partition suit governed in the Code by the subchapter for partition and sale of land, specifically Ark.Code Ann. § 18-60-401 (1987).
It is well settled that a tenant in common has the right to make improvements on the land without the consent of his cotenants; and, although he has no lien on the land for the value of his improvements, he will be indemnified for them, in a proceeding in equity to partition the land between himself and cotenants, either by having the part upon which the improvements are located allotted to him or by having compensation for them, if thrown into the common mass. Bowers v. Rightsell,173 Ark. 788,294 S.W. 21(1927); see also Welch v. Burton,221 Ark. 173,252 S.W.2d 411(1952); Kelley v. Acker,216 Ark. 867,228 S.W.2d 49(1950). The improvements must be made in good faith and have benefit to the premises. Thompson, Real Property, § 5295 (1957). See generally 59A...
13 practice notes
Denton v. Lazenby, 68944 United States United States State Supreme Court of Kansas August 17, 1994 ...which the nonimproving cotenant did not desire or which do not comparably increase the value of the property. See Graham v. Inlow, 302 Ark. 414, 790 S.W.2d 428 (1990); In re Marriage of Berger, 140 Ariz. 156, 680 P.2d 1217 (1983); Capogreco v. Capogreco, 61 Ill.App.3d 512, 18 Ill.Dec. 815, ......
Trice v. Trice (In re Slaughter), CV-19-786 United States Supreme Court of Arkansas November 4, 2021 ...is a question of fact, and we will not reverse that determination absent a showing that it was clearly erroneous. Graham v. Inlow , 302 Ark. 414, 419, 790 S.W.2d 428, 431 (1990).In the present case, on the issue of notice, the circuit court ruled:The Petitioners and Third-Party Defendants w......
Trice v. Trice (In re Slaughter), CV-19-786 United States Supreme Court of Arkansas November 4, 2021 ...is a question of fact, and we will not reverse that determination 7 absent a showing that it was clearly erroneous. Graham v. Inlow, 302 Ark. 414, 419, 790 S.W.2d 428, 431 (1990). In the present case, on the issue of notice, the circuit court ruled: The Petitioners and Third-Party Defendant......
Mitchell v. Hammons, CA United States Court of Appeals of Arkansas June 20, 1990 ...adverse possession we begin with the familiar rule that the possession of one tenant in common is the possession of all. Graham v. Inlow, 302 Ark. 414, 790 S.W.2d 428 (1990); Ueltzen v. Roe, 242 Ark. 17, 411 S.W.2d 894 (1967); Franklin v. Hempstead County Hunting Club, 216 Ark. 927, 228 S.W......
13 cases
Denton v. Lazenby, 68944 United States United States State Supreme Court of Kansas August 17, 1994 ...which the nonimproving cotenant did not desire or which do not comparably increase the value of the property. See Graham v. Inlow, 302 Ark. 414, 790 S.W.2d 428 (1990); In re Marriage of Berger, 140 Ariz. 156, 680 P.2d 1217 (1983); Capogreco v. Capogreco, 61 Ill.App.3d 512, 18 Ill.Dec. 815, ......
Trice v. Trice (In re Slaughter), CV-19-786 United States Supreme Court of Arkansas November 4, 2021 ...is a question of fact, and we will not reverse that determination absent a showing that it was clearly erroneous. Graham v. Inlow , 302 Ark. 414, 419, 790 S.W.2d 428, 431 (1990).In the present case, on the issue of notice, the circuit court ruled:The Petitioners and Third-Party Defendants w......
Trice v. Trice (In re Slaughter), CV-19-786 United States Supreme Court of Arkansas November 4, 2021 ...is a question of fact, and we will not reverse that determination 7 absent a showing that it was clearly erroneous. Graham v. Inlow, 302 Ark. 414, 419, 790 S.W.2d 428, 431 (1990). In the present case, on the issue of notice, the circuit court ruled: The Petitioners and Third-Party Defendant......
Mitchell v. Hammons, CA United States Court of Appeals of Arkansas June 20, 1990 ...adverse possession we begin with the familiar rule that the possession of one tenant in common is the possession of all. Graham v. Inlow, 302 Ark. 414, 790 S.W.2d 428 (1990); Ueltzen v. Roe, 242 Ark. 17, 411 S.W.2d 894 (1967); Franklin v. Hempstead County Hunting Club, 216 Ark. 927, 228 S.W......
| https://case-law.vlex.com/vid/graham-v-inlow-no-888670698 |
Hisense Electric LCDC0036 Part15 Subpart B-LED LCD TV User Manual W9HLCDC0036 3
User manual instruction guide for Part15 Subpart B-LED LCD TV LCDC0036 Hisense Electric Co., Ltd.. Setup instructions, pairing guide, and how to reset.
Hisense Electric LCDC0036 Part15 Subpart B-LED LCD TV User Manual W9HLCDC0036 3
Hisense Electric Co., Ltd. Part15 Subpart B-LED LCD TV W9HLCDC0036 3
Contents
1. W9HLCDC0036_User Manual 1
2. W9HLCDC0036_User Manual 2
3. W9HLCDC0036_User Manual 3
W9HLCDC0036_User Manual 3
English
ES-G160207
Table of Contents
Connecting Devices to Your TV ..............................................................................3
Connecting an antenna, cable or satellite box ..................................................................................3
Connecting an Audio Visual (AV) device with a composite cable .....................................................3
Connecting an AV device with an HDMI cable ..................................................................................4
Connecting headphone .....................................................................................................................4
Connecting a USB device to the USB port ........................................................................................4
Connecting speakers or other audio receivers ..................................................................................5
Connecting to the Internet through a Wireless (WiFi) Device ............................................................5
Guided Setup ............................................................................................................6
Starting Guided Setup........................................................................................................................6
Connected TV Home Screen ...........................................................................................................11
Non-connected TV Home screen.....................................................................................................12
Benefits of connecting .......................................................................................... 13
Connecting brings out your TV’s full potential! ................................................................................13
What is streaming? ...........................................................................................................................13
But what if I didn’t connect my TV? ..................................................................................................14
Setting upAntenna TV ...........................................................................................15
Why do I have to set up the TV tuner? .............................................................................................15
How do I set up the TV tuner? ..........................................................................................................15
Using your TV .........................................................................................................18
TV status light ...................................................................................................................................18
TV panel buttons ..............................................................................................................................18
Remote control ................................................................................................................................. 19
Getting around .................................................................................................................................19
Watching broadcast TV channels .................................................................................................... 21
Switching TV inputs ..........................................................................................................................22
Playing content from USB storage devices .....................................................................................23
Playing content from local network media servers ..........................................................................23
Adjusting TV settings ............................................................................................24
Settings menu ..................................................................................................................................24
Options menu ...................................................................................................................................24
Advanced picture settings ............................................................................................................... 26
Table of Contents
Searching for movies and shows .........................................................................27
How do I search? .............................................................................................................................27
I found a show, now what? ...............................................................................................................27
Using the Roku Channel Store .............................................................................28
Customizing your TV .............................................................................................29
Rearrange tiles ................................................................................................................................. 29
Edit broadcast TV channel lineup .................................................................................................... 29
Rename inputs .................................................................................................................................30
Remove unwanted tiles .................................................................................................................... 30
Change themes ................................................................................................................................30
Change sound effects volume .........................................................................................................31
Configure power settings ................................................................................................................. 31
Configure parental controls..............................................................................................................32
More settings ..........................................................................................................36
Changing network settings ..............................................................................................................36
Changing caption settings ............................................................................................................... 36
Changing time settings ....................................................................................................................37
Scanning for broadcast TV channels again .....................................................................................37
Using the TV in a home theater ........................................................................................................38
Restarting the TV ..............................................................................................................................40
Resetting the TV ............................................................................................................................... 40
Getting system updates ................................................................................................................... 40
Other devices .........................................................................................................42
Getting and using the Roku mobile app ..........................................................................................42
Quick Problem-Solving Tips .................................................................................43
Connecting Devices toYour TV
You have several options for connecting your TV to different devices. The method in which you connect will be based upon the
type of cables you have and the available outputs on your device.
Connecting an antenna, cable or satellite box
To connect an antenna,cable set-top box or satellite receiver:
1. Connect one end of a coaxial cable (not included) to the RF OUTport on the antenna, cable or satellite box. If you are
using an antenna with twin-lead cable, you may need a 300-75 Ohm adapter (not provided) to connect it to the back of your
TV. Likewise, if you are using several antennas, you may need a combiner (not provided).
2.Connect the other end of the cable to the ANT/CABLEport on the side of the back panel.
3.Using your remote, press the [ ] button and select TV as the input source.
Connecting anAudio Visual (AV) device with a composite cable
To connect anAV device with a composite video cable (not provided):
1. Use the audio and video cables to connect the composite video/audio ports of the externalAV device to the AV IN ports of
the TV. (Video = yellow,Audio Left = white, andAudio Right = red).
2.Plug the connected devices into theAV connectors on the TV before switching it on.
3.Using your remote, press the [ ] button and select AV as the input source.
or AN TOUT
Cable Set top box
RF Out
EXTERNA LDEVICE
TV PORT
ANT/CABLE
(not included)
(not included)
AV OUT
Vi deo
White (L)White (L)
Yellow (Video)Yellow or Green (Video)
Red (R)Red (R)
Audio Cable
TV PORTS
VIDEO LR
AV IN
EXTERNA LDEVICES
DVD Player/Recorder
Vi deo
Camera Set-top box
Satellite Receiver
Satellite
antenna
cable
VCR
Connecting anAV device with an HDMI cable
This type of connection supports digital connections between HDMI-enabledAV devices such as a Personal Video Recorder
(PVR), DVD, Blu-Ray,AV receiver and digital devices. In addition, some devices (such as a PVR or DVD player) require an
HDMI signal to be set to Output in the settings of the device.
For instructions, please refer to the User Manual for the device.
To connect anAV device with an HDMI cable (not provided):
1.Use an HDMI cable to connect the HDMI output port of theAV device to the HDMIport on the TV.
2.Plug the connected devices into the HDMIport on the TV before switching it on.
3.Using your remote, press the [ ] button and select the corresponding HDMI input.
NOTES
• Because the HDMI connector provides video and audio signals, it is not necessary to connect an audio cable.
• We strongly recommend to use HDMI Cable with 2 cores as shown in the figure.
Connecting headphone
You can connect headphone (not provided) to the
AUDIO OUT port on your TV. While the headphone
is connected, the sound from the built-in speakers
will be disabled.
Connecting a USB device to the USB port
1. Connect the USB devices such as hard drives,
USB sticks and digital camerasfor browsing
photos, listening music and watching recorded
movies into the USBport.
2. Select the Roku Media Playertile from the Home
screen .
NOTES
• When connecting a hard disk or a USB hub, always connect the mainsadapter of the connected device to the power
supply.
• If a USB 1.1 or USB2.0 device requires more than 500mAor 5V, the USB device may not be supported. Exceeding the
max supported current may result in damage or data loss.
HDMI
HDMI
EXTERNA LDEVICES
DVD
Set-top Box
TV PORT
HDMI Cable
AUDIO OUT
TV PORT EXTERNA LDEVICE
Headphone
TV PORT EXTERNA LDEVICE
USB
DC 5V 0.5A(MAX)
Connecting Devices toYour TV
Connecting speakers or other audio receivers
To connect speakers or other audio receivers with an audio cable (not provided):
1. Use an audio cable to connect the digital audio in port of the audio receiver device to the DIGITAL AUDIOOUT port of the
TV.Another option is to use an RCAY-cable (1/8”-stereo mini to L/R phono) to connect analog sound system to the AUDIO
OUT port of the TV.
2.Plug the connected devices into the main socket before switching on the TV.
Connecting to the Internet through a Wireless (WiFi) Device
This section shows how to establish a wireless Internet connection for your TV.
Our built-in wireless LAN adapter supports the IEEE 802.11 b/g/n communication protocols and we recommend that you use
an IEEE 802.11n router. When you play a video over an IEEEE 802.11 b/g connection, the video may not play smoothly.
NOTES
• You must use the SHARP built-in Wireless LANAdapter to use a wireless network because the TV does not support an
external USB network adapter.
• To use a wireless network, your TV must be connected to a wireless IPsharer. If the wireless IP sharer supports Dynamic
Host Configuration Protocol (DHCP), your TV can use a DHCPor static IP address to connect to the wireless network.
• Select a channel for the wireless IP sharer that is not currently being used. If the channel set for the wireless IPsharer is
currently being used by another device nearby, this will result in interference and communication failure.
• If you apply a security system other than the systems listed below, it will not work with the TV.
• If Pure High-throughput (Greenfield) 802.11N mode is selected and the Encryption type is set to WEP, TKIP orTKIP-AES
(WPS2 Mixed) for yourAccess Point (AP), then the SHARPTV will not support a connection in compliance with these
Wi-Fi certification specifications.
• If your access point (AP) supports Wi-Fi Protected Setup (WPS), you can connect to the network via Push Button
Configuration (PBC) or PIN (Personal Identification Number). WPS will automatically configure the SSID.
EXTERNA LDEVICES
Powerless
Bass Speaker
Speaker
Digital Sound Bar
Audio Amplifier
DIGI TAL
AUDIO OUT
AUDIO OUT
TV PORTS
Audio Cable
White(L)
Red(R)
Audio Cable
WirelessAdapter
built-in the TV set LAN Cable
Wireless Wi-Fi device or
Wireless IP sharer The LAN Port on the Wall
Connecting Devices toYour TV
Guided Setup
With the preliminaries out of the way, it’s time to turn on your TV.As the TV starts for the first time, it leads you through Guided
Setup, which configures the TV before you start to use it.
During Guided Setup, you’ll:
• Answer a few questions
• Provide network connection information
• Get a software update
• Link the TV to your Roku account
• Connect devices such as a DVD player, game console, or cable box
NOTE
• Guided Setup only runs the first time you turn on your TV. If you need to run Guided Setup again, you’ll have to perform a
factory reset, as explained in Factory reset everything on page 40.
Starting Guided Setup
To start Guided Setup, press the red [POWER]button on the remote control to turn on your TV.
When you first turn on your TV, it will take a few seconds to get itself ready. You’ll notice the following things happening:
The status light blinks every time the TV is busy doing something; in this case it’s powering up and getting ready for you.
The Power-on screen appears and the status light blinks slowly for a few more seconds. ThePower-on screen displays a
TV logo while the TV starts up.
After a few seconds, the Guided Setup starts.
If the TV prompts you for a language, press the [DOWN]on the remote control to highlight your preferred language.
Setting up your TV
With the first Guided Setup screen on your TV, follow these steps to set up your TV:
1.Press the [OK]or [RIGHT]buttons on the remote control to go to the next screen:
2.Press [OK]to select Set up for home use. Home mode is the right choice for enjoying your TV.
NOTE
• ‘Store’mode configures the TV for retail display and is not recommended for any other use. In store mode, some features
of the TV are missing or limited.To switch from one mode to the other, you have to perform a factory reset as explained
in Factory reset everything on page 40, and then repeat Guided Setup.
After you select Set up for home use, the TV scans for the wireless networks within range and displays them in order, with
the strongest signals first. In addition to your own wireless signal, the TV might pick up signals from your neighbors.
3.Press [UP]or [DOWN]to highlight the name of your wireless network, and then press [OK]to select it.
NOTE
• Some wireless networks, such as those often found in dorm rooms, hotels, and other public places, may require you to
read and agree to terms, enter a code, or provide identifying information before letting you connect to the Internet. If the
Roku TV detects that you are connecting to such a network, it prompts you through the connection process using your
compatible smartphone or tablet to provide the needed information.
Other options:
Connect to the Internet later – If you’re unable to connect to the Internet, that’s OK.You can skip this step and use
the TV to watch broadcasts, play games, and watch DVDs. If you want to connect later, it’s easy. We’ll show you how in
Benefits of connecting on page 13 .
NOTE
• If you decide not to connect, Guided Setup skips ahead to setting up the devices that you’ve connected to your TV.
See Non-connected TV Home screen on page 12to get started using your non-connected TV.
Scan again / Scan again to see all networks – This option depends on the number of wireless networks within range:
• Scan again appears if the list already shows all available wireless networks within range. If you don’t see your wireless
network name in the list, you might need to adjust the location of your wireless router or the TV, turn on your router, or
make other changes. When everything is ready, select Scan againto see if your network name now appears in the list.
• Scan again to see all networks appears if theTV finds more than seven wireless networks, because the TV initially
displays only the strongest seven networks. If you don’t see your wireless network name in the list, this option displays
the complete list. If you still don’t see your network name, you might have your router configured to provide wireless
service as a “private network.”
NOTE
• Highlighting either of these options displays an informational panel with the unique media access control (MAC)
address of your Roku TV. You will need the MAC address if your wireless router is configured to use MAC address
filtering.
Private network – If your wireless network name is hidden, it won’t appear in the list. SelectPrivate network to display
an on-screen keyboard, and use it to enter your network name. Unless you changed the factory-set network name, you
can find the name (also called SSID) on a label on the router.
Guided Setup
4.If your network is password-protected, an on-screen keyboard appears. Use the keyboard to enter the network password.
5. After you submit your network password, the TV displays progress messages as it connects to your wireless network, your
local network, and the Internet.
6. Your TV needs to know the local time zone so that it can correctly displaytime informationabout the program you are
currently watching. If the TV is unable to automatically determinethe local time zone, it prompts you to choose your time
zone from a list. Use the [UP]and [DOWN]buttons to highlight your time zone, and then press [OK].
7.As soon as the TV is able to connect to the Internet, it downloads and installs its first software update, and then restarts.
TIP: Your TV automatically checks for updates periodically. These updates provide new features and improve your overall
experience with the TV.After an update, you might notice that some options have moved, and that there are new options or
features.
After the TV restarts, it displays the Activationscreen:
Guided Setup
8. Using a computer, tablet, or smartphone with an Internet connection, go to the web address displayed on the screen and
enter the code that appears on your screen.
You need a Rokuaccount to complete this step. Ifyou already
have a Rokuaccount, you’ll be asked to log in. If you don’t,
you’ll be asked to create one. You’ll have the option to create a
Roku PIN code that can be used to authorize any purchases or
payments.
After you log in or create your Roku account, theTVgets an
acknowledgment and adds yourpre-existing streaming channels,
if any, to your TV. This process is automatic and takes a few
moments—a little longer if you already have a lot of streaming
channels to add.
TIP: Streaming channels from all Roku devices associated
with your account are synchronized periodically, so all of your
Roku devices have the same streaming channels(subject to
compatibility with the device).
After it adds your selected streaming channels, the TV helps you set up the devices that you’re connecting to it, such as a
cable box, Blu-ray player, or game console:
9.Press [OK]or [RIGHT]to proceed:
Why do I need a RokuAccount?
You need a Roku account for several reasons.
• It links you, your TV, your other Roku devices, the
Roku web site, and a payment method.
• Fees associated with adding certain channels are
paid for by the payment method you have specified.
• Streaming content providers know that it’s OK to
send content you request to your TV.
• Roku can automatically send updates to your device.
Important: It doesn’t cost anything to use your TV,
and there are lots of free channels. If you choose to
add a streaming channel or other application with
associated fees (most have none), it’s paid for by
the payment method you have specified.
Guided Setup
10
10. Connect all the devices you plan to use to the TV, turn them all on, and then select Everything is plugged in and turned
on . TheTV now takes you step by step through each of its inputs and asks what kind of device you have connected. On
each input that has a connected and active device, you can see its picture and hear its sound.
11. Press [UP] or [DOWN]to highlight the label you want to associate with the input, and the press [OK]to move on to the
next input.
You’re done with Guided Setup.
NOTE
• Some Roku TVs, depending on where you live and other factors, show you an introductory videofilled with some great
hints and tips. If you’re not interested in viewing this video, press on theremote control to exit to the Roku TV Home
screen.
When you finish Guided Setup, and whenever you press [ ] on the remote control, the Home screen greets you.
From here, you can explore everything your TV has to offer. Press the arrow buttons to move around, and press [OK] to
select a highlighted item. We’ve designed theTV to encourage you to explore, and you can probably figure out most of the
capabilities and settings on your own. If you have any questions or difficulties, you can find answers and solutions in this guide.
If you find yourself a long way from the Homescreen, you can always get back right away by pressing one button: [ ] .
Tip:The appearance of the Homescreen varies depending on whether you decided to connect your TV to the Internet.
Guided Setup
11
Connected TV Home Screen
Here is a typical Homescreen from a TV that’s connected to the Internet and paired with a Roku account.
Personalize your Home screen
You can do a lot to personalize your Homescreen and make it just right for you and your family:
Add streaming channels by browsing the Roku Channel Store.
Remove a tile by highlighting it and pressing [ ] .
Reposition a tile by highlighting it and pressing [ ] .
Rename a TV input tile by highlighting it and pressing [ ] .
Change the screen theme to suit your mood.
Highlighted item -
press [OK]to select
Press [ ] for options
when available
Hint - Press [RIGHT]to
see another screen
Streaming channels
and applications
Home menu
TV inputs
Guided Setup
12
Non-connected TV Home screen
Here is a typical Homescreen from a TV that is not connected to the Internet.
Personalize your Home screen
You can do a lot to personalize your Homescreen and make it just right for you and your family:
Remove a tile by highlighting it and pressing [ ] .
Reposition a tile by highlighting it and pressing [ ] .
Rename a tile by highlighting it and pressing [ ] .
Add streaming channels by browsing the Roku Channel Store (after connecting the TV to the Internet to add the Streaming
Channels option to the menu).
Highlighted item -
press [OK]to select
Press [ ] for options
when available
Hint - Press [RIGHT]to
see another screen
Home menu
TV inputs
Benefits of connecting
13
Benefits of connecting
Connecting brings out your TV’s full potential!
Make any night a movie night
Your TV offers more than 300,000 movies and TV episodes to choose from, across major streaming movie channels like
Netflix,Amazon Instant Video, Hulu Plus, Redbox Instant, VUDU, and more.*
Get in the groove
Stream on-demand or live music from any of more than 85 music channels like Pandora, VEVO, Spotify, iHeartRadio, and
more.Access your entire MP3 collection instantly withAmazon Cloud Player or the Roku Media Player.
Explore loads of free trials
Your TV comes packed with special offers, often including free trials from popular streaming channels likeAmazon Instant
Video, Netflix, Redbox Instant, Spotify, and DailyBurn.
Rule the water cooler
Binge on the most buzzworthy shows on streaming channels like FOXNOW, HBO GO, Hulu Plus, and Netflix.* Live stream
your sports team with the biggest selection of streaming sports packages out there, including WATCH ESPN, MLB.TV, NBA
League Pass Broadband, NHLGameCenter, MLS LIVE, UFC, WWE, and more. International sports offerings on Dishworld
include Indian Premier League cricket and Brazilian pro soccer.
What is streaming?
Streaming is viewing or listening to video or audio content that is sent over the Internet, or located on a network-connected
media server or on a USB device plugged into the TV’s USB port.
With streaming, you can watch most programs on demand, when it’s convenient for you. When streaming, you can play,
pause, rewind, and fast forward whatever you are watching. You can also replay the last few seconds again, or turn on closed
captions.
Tip: Some content cannot be paused or skipped. For example, if you are viewing live programming or a program that is
supported by ads, you generally are not allowed to skip the ads.
Your TV lets you choose from over 3,000 streaming channels that offer a huge selection of entertainment:
• Over 300,000 movies and TV episodes
• Unlimited music, live and on-demand
• Tons of live and on-demand sports
• Commercial-free kids programming
• International language programming in 22 languages
• 24x7 news and in-depth news commentary
• Games
Most streaming channels are free. Some streaming channels likeAmazon Instant Video, Redbox Instant, and VUDU, let you
purchase or rent the latest movie releases or popular TV series. Some channels such as Netflix or Hulu Plus charge a monthly
subscription fee. Some channels are free if you subscribe to a companion service through your cable or satellite provider. For
example, HBO subscribers with participating TV providers can add the HBO Go channel and watch it for free.
If you have an existing subscription to a service like Netflix or Hulu Plus, or if you are anAmazon Prime member, you can just
sign in with your existing user name and password.
--------------------------------------------------------
* Subscriptions or other payments may be required to access content on certain channels. For example, Netflix requires a paid
subscription, which gives you access to movie and TV show titles in the Netflix streaming catalog. Some channels may not be
available to all households in every market or in all countries where Roku players or other products with the Roku platform are
sold.
14
To play streaming content that is available on the Internet, you add streaming channels to your Homescreen.To add a
streaming channel to your Homescreen, use the Streaming Channelsoption on the Homescreen menu to go to the Roku
Channel Store, and then select the streaming channel you want to play. The streaming channel is then added to your Home
screen, and you can watch it at any time.
For more information on using the Roku Channel Store, see Using the Roku Channel Store on page 28 .
NOTE
• Some channels may not be available to all households in every market or in all countries where Roku TVs are sold.
But what if I didn’t connect my TV?
What if you went through Guided Setup and chose Connect to the Internet later ? No worries. Your TV makes it easy to
connect whenever you want.As you move around the Homescreen, you’ll see several places where you can start the
connection process. For example:
Every now and then you’ll see a message appear on the panel to the right of the Homescreen offering a Connect Now
option. Simply highlight and select the Connect Nowoption to get started.
Use the Connect and activate nowoption in the Settingsmenu. From the Homemenu, select Settings, then Network ,
and then Connect and activate now.
If you want to start over from the beginning, use the Settingsmenu to do a Factory reset, and then go through Guided
Setup again. This time, choose your home network when prompted.
Regardless of how you connect, the process is the same. If you need details, see Step 3 of Setting up your TV on page 6.
Benefits of connecting
15
Setting upAntenna TV
Despite all of the entertainment possibilities of your TV, you may also want to watch broadcast TV. You watch broadcast TV in
much the same way you watch other entertainment choices. You select a tile—the Antenna TVtile—from the Homescreen.
The first time you select the Antenna TVtile, you have to set up theTV tuner. Setting up the TV tuner scans for active
channels and adds them to your channel list.
Why do I have to set up the TV tuner?
You might be asking, “Why is this step necessary?” Good question.
Not everyone needs to use the TV tuner. For example, you might have a set top box provided by a cable or satellite company
that receives all of your channels. Most of these set top boxes use an HDMI ® connection.
More and more people are watching only streaming TV and do not have aTV antenna or cable/satellite service. If you
don’t need the TV tuner, you can bypass setting it up and instead remove it from the Homescreen as explained in Remove
unwanted tiles on page 30 .
The TV scans the signals on its antenna input for channels with a good signal, and adds those to the channel list, skipping
dead channels and channels with a very weak signal.
The TV will, however, let you add channels with no signal if you have an older set top box, VCR, or game console that can only
output a signal on analog channel 3 or 4. These are the only channels that can be added regardless of whether they have a
good signal. Typically, you’ll only need one of these channels, but both are provided to make setup simpler. You can hide the
one you don’t want as explained in Edit broadcast TV channel lineup on page 29.
How do I set up the TV tuner?
Setting up the TV tuner is easy—yourTV does most of the work. You just have to answer a couple of questions.
1.Make sure your antenna or other device is connected to the TV’s ANT/CABLEinput.
2.On the Homescreen, select the Antenna TVtile.
3.Read the simple on-screen instructions and select Start finding channels.
16
4. If prompted, select your time zone. You’ll only need to do this if the TV can’t figure out your time zone from your Internet
connection.
5. When prompted, select whether to add analog channels 3 and 4 (to enable you to connect older set top boxes, VCRs, or
game consoles).
6.Wait while your TV scans for broadcast (antenna TV) stations…
Why does the
TV need my
time zone?
The TV needs to know
your time zone so that
it can correctly display
information about
the program you are
currently watching.
Setting upAntenna TV
17
… and then cable TV channels.
Tip: CableTV channels are channels from a cable TV provider that you can receive by connecting their cable directly to
your TV (unscrambled NTSC,ATSC, and QAM channels, if you’re interested in the details). In many cases, your cable
provider probably requires you to use their set-top box and connect it to a different input, and then use the set-top box to
tune your cable stations. In that case, you can skip scanning for cable channels .
7.When the channel scans finish, the TV shows the number of channels it added.
Scanning for channels can take several minutes.
NOTE
• You should plan to repeat the channel scan periodically to make sure you are receiving all of the latest channels.
Broadcasters add and remove channels, move channels to different parts of the spectrum, and change the power levels
of their channels periodically. You’ll also have to repeat the channel scan if you remove the Antenna TVtile from the
Home screen or perform a factory reset. To repeat the channel scan at any time, go to Settings> TV inputs> Antenna
TV > Scan again for channels.
Now, you’re ready to watch broadcast TV! While you’re watching, try the following:
Press [UP] or[DOWN] to change channels.
Press [LEFT] to display the channel list and then use[UP] and[DOWN] to select a channel to watch. Or press[REVERSE]
or [FORWARD] to jump a page at a time.
Press [OK] to display information about the current program.
Press [ ] to switch to the previously tuned channel.
Press [ ] to see options for picture and sound settings.
Remote control on page 19 has more information on using the remote control buttons while watching TV.
Setting upAntenna TV
18
Using your TV
This section provides information on using the day-to-day features of your TV.
TV status light
Your TV has a single status light on the front panel. It goes on and off and blinks in different ways depending on the status of
the TV, as shown in the following table:
TV conditionStatus indicatorMeaning
On (screen is active) OffScreen is communicating that TV is on.
Screensaver (screen is active) OffScreen is communicating that TV is on.
Off (no power) OffTV does not have power.
Off (standby)OnTV has power and is ready to use.
Starting up from off stateSlow pulsing blink until startup completesTV is doing something.
On (receiving update from USB)Slow pulsing blink until update completesTV is doing something.
Remote control command receivedDims on/off onceTV has received your command.
TV panel buttons
The controls on the TV enable you to perform simple functions, but are not a substitute for the remote control.
Your TV has seven buttons on theTV rear, if you need specific location, see Quick Start Guide.They perform the following
functions:
• Input
• Channel +
• Channel –
• Volume +
• Volume –
• Mute
• Power
19
Remote control
TV IR remote control
Getting around
You’ve already done a bit of navigating with the remote control when you completed the Guided Setup and when you set up
Antenna TV. This section explains how to use the remote control for everyday TV use.
POWER If the TV is in ‘Standby’mode, turns power on.
If the TV is on, putsTV in ‘Standby’ mode.
BACK The action depends on what you are doing with the TV:
• Menu : Goes back to previous menu/screen.
• Home screen tile : Moves highlight back to the Home menu option.
• Watching Antenna TV or a TV input : Returns to the screen from which the input was
selected.
• Playing streaming content : Stops playing stream and returns to the previous menu or
screen.
• Browsing streaming content : Goes to the previous level in the content tree.
HOME Immediately returns to the Home screen menu.
OPTIONS When the Options hint in the upper right corner of the screen is not dimmed, displays an
Options menu. The menu you see varies depending on what you are doing with theTV.
Also, in most cases, pressing [ ] while a video is playing displays an Options menu over
part of the screen where you can adjust various picture and sound settings.
Using your TV
20
UP Moves the highlight up one item.
DOWN Moves the highlight down one item.
LEFT Moves the highlight left, if possible (if a < hint appears).
When watching TV, displays your channel list.
When playing most streaming videos, skips backward in the video.
RIGHT Moves the highlight to the right, if possible (if a > hint appears).
When watching TV with the channel list displayed, dismisses the channel list.
When playing most streaming videos, skips forward in the video.
OK Selects the highlighted option.
When watching TV, this button displays information for the current TV program.
SCAN REVERSE When playing streaming video that supports this feature:
• First press scans backward at 1x speed.
• Second press scans backward at 2x speed.
• Third press scan backward at 3x speed.
• Subsequent presses cycle through 1x, 2x, and 3x reverse speed.
When playing streaming audio, jumps to the previous track/selection.
When any menu, tile, or channel in the channel list is highlighted, jumps up one page.
When using a virtual keyboard, jumps to the character at the top of the current column.
PLAY/ PAUSE When playing streaming content, alternately pauses and plays the content.
SCAN
FORWARD
When playing streaming video that supports this feature:
• First press scans forward at 1x speed.
• Second press scans forward at 2x speed.
• Third press scan forward at 3x speed.
• Subsequent presses cycle through 1x, 2x, and 3x forward speed.
When playing streaming audio, jumps to the next track/selection.
When any menu, tile, or channel in the channel list is highlighted, jumps down one page.
When using a virtual keyboard, jumps to the character at the bottom of the current column.
JUMP BACK When playing streaming video that supports this feature, jumps back 7 seconds with each
press and resumes playing. In some channels, if Closed captioningis set to Instant replay ,
captions are displayed during the duration of the jump back period only.
When watching broadcast TV, jumps to previous channel.
When using an on-screen keyboard, backspaces in the text you are entering.
VOLUME UP Turns volume up one setting with each press. Press and hold to turn volume up rapidly.A
volume indicator shows the volume level while you are adjusting the volume and for a few
seconds afterward.
NOTE
• If the TV is muted, pressing VOLUME UPunmutes the sound.
VOLUME DOWN Turns volume down one setting with each press. Press and hold to turn volume down rapidly.
Avolume indicator shows the volume level while you are adjusting the volume and for a few
seconds afterward.
NOTE
• If the TV is muted, pressing VOLUME DOWNdoes not unmute the sound.
Using your TV
21
MUTE Mutes the TV sound.Avolume indicator shows the current volume level and a mute icon
when you press this button and for a few seconds afterward. If Closed captioningis set to
On mute , captions are displayed while the TV is muted.
STREAMING
CHANNEL
SHORTCUT
Dedicated buttons show the logo of a featured streaming content provider. Pressing a button
turns on the TV, and if the TV is connected to the Internet, performs one of the first two
following actions:
• Displays the main page of the streaming channel if you have already added the channel to
your Homescreen.
• Displays the sign-up page for the streaming channel if you have not already added the
channel so that you can agree to any terms and fees for the service.
• If the TV is in ‘Standby’mode (off), turns theTV on.And, if it is connected to the Internet,
the TV performs one of the first two actions listed above.
NOTE
• For information about using a Universal Remote, refer to the Other devices on page 42.
Watching broadcast TV channels
To watch broadcast TV, select the Antenna TVtile in the Homescreen. Your TV remembers the last channel you watched and
starts with that channel playing.
Tip:You also can use the buttons on the TV panel to selectAntenna TV, as explained in TV panel buttons on page 18.
Changing channels
To change channels, you can do any of the following:
Press [UP] to change to the next higher channel.
Press [DOWN] to change to the next lower channel.
Press [LEFT] to display the channel list, and then press[UP] and[DOWN] to move the highlight through the list one
channel at a time. Or press [REVERSE SCAN]and [FORWARD SCAN] to move the highlight through the list one page
at a time. When you’ve highlighted the channel you want to watch, press [OK]. (If you decide you don’t want to change
channels, press [RIGHT]or [BACK]).
Press [ ] to jump to the previous channel. Press again to return to the channel you were watching before you pressed [] .
Viewing program information
To view information about the current program, press [OK]. The TV displays a banner at the bottom of the screen with as much
information as is available in the program data stream.
Program information, subject to availability, includes:
• Channel number
• Channel call sign
• Signal strength
Program information banner
Using your TV
22
• Program title
• Start time, end time, and graph of program length showing current position
• Content rating
• Video resolution (480i, 480p, 720p, 1080i, 1080p)
• Audio quality (Mono Dolby Digital, Stereo Dolby Digital, 5.1 Dolby Digital, Dolby Digital+)
• Audio features (SAP/MTS)
• Closed captioning (CC)
• Current time
• Program description. If the entire description does not fit, press [OK]to expand the size of the banner and see the entire
description.
Adjusting settings
Press [ ] to display the Options menu. Press [UP] and [DOWN] to highlight an option, and then press [LEFT] and [RIGHT]
to change the setting. Adjusting TV settings on page 24explains each of the settings in detail.
Switching TV inputs
Switch to a TV input to access the device connected to that input (for example, a Blu-ray player). Switching inputs is as simple
as highlighting the input’s tile in the Home screen, and pressing[OK] . The video signal on the input, if any, appears on the
screen.
Tip:You also can use the buttons on the TV panel to select a TV input, as explained in TV panel buttons on page 18.
Customizing your TV on page 29 explains how to rename and remove inputs.
Auto-detecting devices
Your TV automatically detects when you connect a new device to an HDMI input and turn on its power. The input is
automatically added to the Homescreen if it isn’t already present.
Adjusting audio/video settings
While watching video content on any input, press [ ] to display the Options menu. Press [UP] and [DOWN] to highlight an
option, and then press [LEFT]and [RIGHT]to change the setting. Adjusting TV settings on page 24explains each of the
settings in detail.
Using your TV
23
Playing content from USB storage devices
Your TV has a USB port that can be used to play personal music, video, and photo files from a USB flash drive or hard disk. If
your TV is connected to the Internet, your Homescreen has the Roku Media Playertile. If yourTV has not been connected to
the Internet, the Homescreen has the USB Media Playertile.
To use this feature, first make sure your media files are compatible with the Roku/USB Media Player.As of the publication date
of this guide, the following media file formats are supported:
• Video – MKV (H.264), MP4, MOV (H.264),TS (H.264)
• Music –AAC, MP3, WMA, WAV (PCM),AIFF, FLAC,AC3, and DTS*
• Photo – JPG, PNG, GIF
To see the latest list of supported formats, view Helpin the Media Player.
The Roku/USB Media Player displays supported file types only, and hides file types it knows it cannot play.
Playing content from local network media servers
If you have connected your TV to a network, it can play personal video, music, and photo files from a media server on
your local network. Media servers include personal computers running media server software such as Plex or Windows
Media Player, network file storage systems that have built-in media server software, and other devices that implement the
specifications of the Digital Living NetworkAlliance. Some servers do not fully implement the DLNAspecification but are UPNP
(Universal Plug and Play) compatible. The Roku Media Player will connect to them as well.
Some media servers can convert files into Roku compatible formats. DRM-protected content is not supported.
| https://usermanual.wiki/Hisense-Electric/LCDC0036.W9HLCDC0036-User-Manual-3/html |
Rasulpara Branch Post Office, Junagadh 40, Gujarat
Get Rasulpara post office address, pincode, phone number, Rasulpara speed post tracking, saving scheme and location map.
Rasulpara Post Office, Junagadh
Rasulpara Post Officeis located at Rasulpara, Junagadhof Gujarat state. It is a branch office (B.O.). A Post Office (PO) / Dak Ghar is a facility in charge of sorting, processing, and delivering mail to recipients. POs are usually regulated and funded by the Government of India (GOI). Pin code of Rasulpara POis 362140. This Postoffice falls under Junagadh postal division of the Gujarat postal circle. The related head P.O. for this branch office is Junagadh head post office and the related sub-post office (S.O.) for this branch office is Akolvadi post office.
Rasulpara dak ghar offers all the postal services like delivery of mails & parcels, money transfer, banking, insurance and retail services. It also provides other services including passport applications, P.O. Box distribution, and other delivery services in Rasulpara. The official website fo this PO is http://www.indiapost.gov.in.
Types of Post Offices
are basically classified into 3 types, namely – Head Post Office, Sub-Post Office including E.D. Sub-Office and Branch Postoffice. Rasulpara P.O. is a Branch Post Office. So far as the public is concerned, there is basically no difference in the character of the service rendered by Sub-Post Offices and Head-Post Offices except in regard to a few Post Office Savings Bank (SB) transactions. Certain Sub Post Offices do not undertake all types of postal business. Facilities are generally provided at Branch Post Offices for the main items of postal work like delivery and dispatch of mails, booking of registered articles and parcels accepting SB deposits and effecting SB withdrawals, and issue and payment of money orders, though in a restricted manner.
Post Office Type Head Post Office Sub-Post Offices including E.D. Sub-Offices Branch Post Office
Rasulpara Post Office & Its Pin Code
Branch Office Information
Rasulpara Post Office Services
Mail Services
Parcels
Retail Services
Premium Services
Speed Post
India Post Speed Post Tracking
Tracking System
India Post Tracking Number Formats
Express Parcel Post
Media Post
Greetings Post
Logistics Post
ePost Office
Financial Services
Savings Bank (SB) Account
Recurring Deposit (RD) Account
Monthly Income Scheme (MIS)
Monthly Public Provident Fund (PPF)
Time Deposit (TD)
Senior Citizen Saving Scheme (SCSS)
National Savings Certificate (NSC)
Kisan Vikas Patra (KVP)
Sukanya Samriddhi Accounts (SSA)
Post Office Timings
India Post Tracking
Rasulpara Post Office Recruitment
Location Map
Contact Details
About India Post
Rasulpara Post Office & Its Pin Code
Often Post Offices are named after the town / village / location they serve. The Rasulpara Post Office has the Postal Index Number or Pin Code 362140. A Pincode is a 6 digit post code of postal numbering system used by India Post. The first digit indicates one of the regions. The first 2 digits together indicate the sub region or one of the postal circles. The first 3 digits together indicate a sorting / revenue district. The last 3 digits refer to the delivery post office type.
P.O. Name Rasulpara PO Pincode 362 140
The first digit of 362140 Pin Code '3' represents the region, to which this Post Office of Rasulpara belongs to. The first two digits of the Pincode '36' represent the sub region, i.e, Gujarat. The first 3 digits '362' represent the post-office revenue district, i.e, Junagadh. The last 3 digits, i.e, '140' represent the Rasulpara Delivery Branch Office.
Branch Office Information
The Rasulpara Post Office is a branch office. The Delivery Status for this PO is that it has delivery facility. Postal division name for this Dak Ghar is Junagadh, which falls under Rajkot region. The circle name for this PO is Gujarat and it falls under Junagadh Taluka and Junagadh District. The state in which this Dakghar is situated or located is Gujarat. The related head postoffice is Junagadh post office and the related sub post office is Akolvadi post-office. The phone number of Rasulpara post office is unavailable at present.
PO Type Branch Office Delivery Status Delivery Postal Division Junagadh Postal Region Rajkot Postal Circle Gujarat Town / City / Tehsil / Taluka / Mandal Junagadh District Junagadh State Gujarat Related Sub PO Akolvadi Sub Office Related Head PO Junagadh Head Post Office
Rasulpara Post Office Services
Traditionally the primary function of Rasulpara post office was collection, processing, transmission and delivery of mails but as of today, a Post Office offers many other vital services in addition to its traditional services. The additional services provided by a Dak Ghar include – Mail Services, Financial Services, Retail Services and Premium Services.
Mail Services
Mail Services are the basic services provided by Rasulpara P.O. Mails and mail services include all or any postal articles whose contents are in the form of message which may include Letters, Postcards, Inland letter cards, packets or parcels, Ordinary mails etc.
Parcels
Mail Service also includes transmission and delivery of Parcels. A parcel can be anything ranging from a single written letter or anything addressed to an addressee. No parcel shall be by any chance be in a shape, way of packing or any other feature, such that it cannot be carried or transmitted by post or cause serious inconvenience or risk. Every parcel (including service parcels) that needs to be transmitted by post must be handed over at the window of the post office. Any parcel found in a letter box will be treated and charged as a registered parcel. Delivery services are provided by some selected delivery and branch post offices. This dakghar have the facility of delivery, thus the people of Rasulpara and nearby localities can avail all the types of mail services.
Retail Services
Post offices in India serve in various ways and Rasulpara Post Office offer most of the retail services. They offer the facility to accept or collect constomer bills like telephone or mobile bills, electricity bills for Government and private organizations through Retail Post. Some of the aditional agency services that Post offices offers through retail services are as follows - Telephone revenue collection, e-Ticketing for Road Transport Corporations and Airlines, Sale of UPSC forms, university applications, Sale of Passport application forms, Sale of Gold Coins, Forex Services, Sale of SIM and recharge coupons, Sale of India Telephone cards, e-Ticketing of Railway tickets etc. The postal customers of Rasulpara can pay their bills and avail other retail services from this Dak Ghar.
Premium Services
Most of the premium services can be availed by the Rasulpara peoples and nearby living people. The premium services provided by Rasulpara Post Office are - Speed Post, Business Post, Express Parcel Post, Media Post, Greeting Post, and Logistics Post.
Speed Post
Speed Post is a time bound service in express delivery of letters and parcels. The max weight up to which an article or parcel be sent is 35 kgs between any two specified stations in India. Speed Post delivers 'Value for money' to everyone and everywhere, delivering Speed Post upto 50 grams @ INR 35 across the country and local Speed Post upto 50 grams @ INR 15, excluding applicable Service Tax. Kindly check official website for updated Speed Post service charges.
India Post Speed Post Tracking
Speed Post offers a facility of on-line tracking and tracing that guarantees reliability, speed and customer friendly service. Using a 13 digit barcode that makes a Speed Post consignment unique and identifiable. A web-based technology (www.indiapost.gov.in/speednettracking.aspx) helps the Rasulpara customers track Speed Post consignments from booking to delivery.
Tracking System
Except Speed Post, India Post also allows people to track their order information for certain products like Parcels, Insured letters, Speed Post, Registered Post, Electronic Money Orders (EMO) and Electronic value payable parcel (EVPPs) etc. The tracking number is available on the receipt given at Rasulpara Post Office. Using the tracking number postal customers can find out the date and time of dispatch of an article at various locations. The time of booking and the time of delivery of article.
India Post Tracking Number Formats
Different types of postal service have different kinds of tracking number formats. The tracking number for Express Parcel is a 13 digit alphanumeric format. The format for Express Parcel is XX000000000XX. The tracking number for a Registered Mail is a 13 digit alphanumeric number and its format is RX123456789IN. But a Electronic Money Order (EMO) has a 18 digit tracking number and its format is 000000000000000000. For domestic Speed Post (EMS) there is a 13 digit alphanumeric tracking number with the format EE123456789IN.
Bharatiya Dak Ghar Seva Tracking Number Format Number of Digits Electronic Money Order (eMO) 000000000000000000 18 Express Parcel XX000000000XX 13 International EMS Artilces to be delivered in India EE123456789XX 13 Registered Mail RX123456789IN 13 Speed Post (EMS) Domestic EE123456789IN 13
Express Parcel Post
In Express Parcel Post, the Rasulpara postal customer gets time bound delivery of parcels. These parcels will be transmitted through air or any other fastest mean available at that time. Minimum chargeable weight for which Express Parcel consignments will be booked is 0.5 Kg. Maximum weight of Express Parcel consignments which shall be booked across the Post Office counter by a retail customer shall be 20 Kg and maximum weight that can be booked by corporate customer is 35 kgs.
Media Post
India Post offers a unique way or concept to help the Indian corporate organisations and the Government organizations reach potential customers through media post. Through media post people can advertise on postcards, letters, aerogramme, postal stationary etc. Customers get to see the logo or message of the respective corporate or government organizations. The Aerogramme even gives the organizations the opportunity to make their product have a global impact.
Greetings Post
Greeting Post is yet another innovative or unique step by India Post. It consists of a card with an envelope with pre-printed and pre attached postage stamp on the envelope. The stamp on the envelope is a replica of the design that appears upon the card but in miniature form. Thus there is no need affix postage stamps on the envelope implicitly saving your time of going to post offices and standing in the queue. All the rules and that are applicable for the postage dues will also be applicable to the Greeting Post.
Logistics Post
Logistics Post manages the entire transmission and distribution side of the parcels. It deals with collection of goods, storage of goods, carriage and distribution of the various parcels or goods, from order preparation to order fulfilment. And that too at the minimum possible price. Logistics Post services provides the Rasulpara postal customer with cost-effective and efficient distribution across the entire country.
ePost Office
The advent of internet made communication very rapid through emails. But, the internet has not yet reached most of the rural parts of India. To change this division between rural & urban life, and to get the benefit of internet technology to Rasulpara people's lives, Indian Postal Department has introduced e-post. e-post is a service in which personalized handwritten messages of customers are scanned and sent as email through internet. And at the destination address office, these messages are again printed, enveloped and delivered through postmen at the postal addresses. E-post centres are established in the Post Offices, covering a large geographical area including major cities and districts. These e-post centres are well equipped with internet connection, scanners, printers and other necessary hardware equipment. However, this e-post service doesn’t particularly need a e-post centre, but can this facility can be availed at any normal Post Office or you can visit www.epostoffice.gov.in to access postal services on your desktop, laptop or even on mobile. If a message is booked at Rasulpara post office, the post is scanned and sent to an e-post centre by e-mail and a mail received at e-post centre is printed and sent to nearby Post Office for dispatch.
A Rasulpara customer can also avail these services of an e-post, at his/ her home. All he/ she has do is to register as a user at www.epostoffice.gov.in website. After registration, a user can use e-post by scanning and sending messages, printing and receive messages. The message to be scanned must not be written in a paper not more A4. There is no limit for sending number of sheets of messages in e-post.
E-Post Office offers certain services like – Philately, Postal Life Insurance, Electronic Indian Postal Order, Information Services, Track & Trace and Complaints & Guidelines services.
Philately
Philately service deals with collection, sale and study of postage stamps. Philately includes lot of services Philately Information, Stamp issue Program, Stamps List and Buy Stamps service.
Postal Life Insurance (PLI)
A service offered by the Government to pay a given amount of money on the death of an individual to his prescribed nominee. The amount may also be paid to the person himself, in case he survives that maturity period. The two services offered under Postal Life Insurance are – Pay Premium service and PLI information.
Electronic Indian Postal Order
eIPO or Electronic Indian Postal Order is a facility to purchase an Indian Postal Order electronically by paying a fee on-line through e-Post Office. This service is launched by the Department of Posts, Ministry of Communications & IT, Government of India.
eIPO can now be used by Indian Citizens living in India for paying online fee, whoever seeks information under the RTI Act, 2005. eIPO offers 2 types of services – eIPO information and payment of online fees.
Information Services
This helps Rasulpara customers to get information regarding certain products like – Pin Code search, Speed post, Banking, Insurance, Business Post, Logistics Post, IMTS and many more other services.
Track & Trace
The track & trace service is very helpful as it aids in getting information of our valuables. Track & Trace service offers 5 different services – Pin Code search, EMO tracking, Speed Post tracking, WNX tracking and International mail service.
Complaints & Guidelines
Using e-post office service Rasulpara postal costumer can access services based on – complaint registration, complaint status and guidelines on complaints.
ePost Office Website www.epostoffice.gov.in
Financial Services
The customers of Rasulpara can enjoy the various savings schemes available in this post office that prove to be highly beneficial for the people living in Rasulpara area. The Financial service offered by PO includes Savings and Postal Life Insurance (PLI). There are various options available to save and invest with post-offices. The commonly used ones include - Savings account, Recurring Deposit, Monthly Income Scheme, Monthly Public Provident Fund, Time Deposit, Senior Citizen Saving Scheme, National Savings Certificate, Kisan Vikas Patra and Sukanya Samriddhi Yojana. Post Office also offers Insurance product through Postal Life Insurance (PLI) and Rural Postal Life Insurance (RPLI) schemes that offer low premium and high bonus.
Post Office Financial Services Kisan Vikas Patra (KVP) Monthly Income Scheme (MIS) Monthly Public Provident Fund (PPF) National Savings Certificate (NSC) Recurring Deposit (RD) Account Savings Bank (SB) Account Senior Citizen Saving Scheme (SCSS) Sukanya Samriddhi Accounts (SSA) Time Deposit (TD)
Savings Bank (SB) Account
A Savings bank account serves the need of regular deposits for its customers as well as withdrawals. Cheque facility is also avail by Rasulpara postal consumers.
Recurring Deposit (RD) Account
A post office offers a monthly investment option with handsome return at the time period with an option to extend the investment period. Insurance facility is also available with certain conditions.
Monthly Income Scheme (MIS)
MIS offers a fixed investment technique for five or more years with monthly interest payment to the account holder. There is also a facility of automatic crediting of interest to SB account of the Rasulpara postal customer.
Monthly Public Provident Fund (PPF)
This service offers intermittent deposits subject to a particular limit for a time period of 15 years with income tax exemptions, on the investment. It also offers loan and withdrawal facilities for the postal customers.
Time Deposit (TD)
Fixed deposit option for periods ranging from one, two, three to five years with facility to draw yearly interest offered at compounded rates. Automatic credit facility of interest to SB account.
Senior Citizen Saving Scheme (SCSS)
Offers fixed investment option for senior citizens for a period of five years, which can be extended, at a higher rate of interest that are paid in quarterly instalments.
National Savings Certificate (NSC)
NSC is offered with a fixed investment for 5 or 10 years on certificates of various denominations. Pledging facility available for availing loan from Banks.
Kisan Vikas Patra (KVP)
Kisan Vikas Patra is a saving certificate scheme in which the amount Invested doubles in 110 months (i.e. 9 years & 2 months). It is available in denominations of Rs 1,000, 5000, 10,000 and Rs 50,000. Minimum deposit is Rs 1000/- and there is no maximum limit. The KVP certificate can be purchased by any adult for himself or on the behalf of a minor. This certificate can also be transferred from one account holder to another and from one post office to another. This certificate can be en-cashed only after 2 and 1/2 years from the date of issue.
Sukanya Samriddhi Accounts (SSA)
Sukanya Samriddhi Account Yojana offers a small deposit investment for the girl children as an initiative under 'Beti Bachao Beti Padhao' campaign. This yojana is to facilitate girl children proper education and carefree marriage expenses. One of the main benefits of this scheme is that it is very affordable and offers one of the highest interest rates. Currently its interest rate is set as 8.6% per annum that is again compounded yearly. The minimum deposit allowed in a financial year is INR. 1000/- and Maximum is INR. 1,50,000/-. Subsequent deposits can be made in multiples of INR 100/-. Deposits can be made all at a time. No limit is set on number of deposits either for a month or a financial year. A legal Guardian can open an account in the name of a Girl Child. Account can be closed only after completion of 21 years of the respective child. The normal Premature closure allowed is after completion of 18 years only if that girl is getting married.
Post Office Timings
The official working hours of Post Offices vary from one another, but the general Post Office opening time starts from 08:00 AM or 09:00 AM or 10:00 AM and the closing time is 04:00 PM or 05:00 PM or 06:00 PM respectively. The working days are from Monday to Saturday, Sunday being a holiday. This doesn't include the public holidays or the extended working hours. You can verify the working hours of Rasulpara Branch Post Office from the official resources.
India Post Tracking
Online tracking of India Post allowed Rasulpara people to access their postal article tracking information and confirm the delivery of their postal article by using the tracking number assigned to them at the time of Booking. They can find the tracking number on the Postal acknowledgement handed over to them at the Rasulpara Branch Post Office counter at the time of postal article booking. Following items can track through the www.indiapost.gov.in/articleTracking.aspx official website.
Business Parcel
Business Parcel COD
Electronic Money Order (e-MO)
Electronic Value Payable Parcel (eVPP)
Express Parcel
Express Parcel COD
Insured Letter
Insured Parcel
Insured Value Payable Letter
Insured Value Payable Parcel
International EMS
Registered Letter
Registered Packets
Registered Parcel
Registered Periodicals
Speed Post
Value Payable Letter
Value Payable Parcel
The India Post tracking system is updated at regular intervals to give the Rasulpara postal customers with the most up to date information available about the location and status of their postal article. They'll be able to find out the following:
When their postal article was booked
When their postal article was dispatched at various locations during its Journey
When their postal article was received at various locations during its Journey
When their postal article was delivered, or
When a delivery intimation notice was issued to notify the recipient that the postal article is available for delivery
Rasulpara Post Office Recruitment
For latest Rasulpara post office recruitment kindly visit www.indiapost.gov.in/recruitment.aspx.
Location Map
Rasulpara Branch Post Office is located in Rasulpara, Junagadh.
Contact Details
All the queries or complaints regarding Bill Mail Service, Booking Packets, Business Post, Direct Post, Flat Rate Box, Indian Postal Orders, Inland Letters, Instant Money Orders, Insurance of Postal Articles, Insurance of Postal Parcels, Letters, Logistics Posts, MO Videsh, Money Orders, Parcels, Post Office Savings Bank, Postal Life Insurance, Postcards, Registration of Postal Articles, Registration of Postal Parcels, Rural Postal Life Insurance, Saving Certificates, Small Saving Schemes, Speed Post, Value Payable Post etc.services in Rasulpara Post Office, can be resolved at Rasulpara Branch Post Office. You can send letters to "Postmaster, Rasulpara Branch Post Office, Rasulpara, Junagadh, Gujarat, India, Pincode: 362 140". The official website of the Berhampur University Sub Office is http://www.indiapost.gov.in.
Rasulpara Branch Office
Address: Rasulpara Branch Post Office, Rasulpara, Junagadh , Gujarat , India
Pin Code: 362140
Website: www.indiapost.gov.in
About India Post
India Postis a government-operated postal system, which is part of the Ministry of Communications and Information Technology of the Government of India. It has the largest Postal Network in the Indiawith over 154882 Post Offices. There are around 139182 Post Offices in the rural India and 15700 Post Offices in urban India. The individual post office serves an area of 21.22 Sq. Km. and a population of 8221 people. The slogan of India Post is Dak Seva Jan Seva. There are 25464 departmental post offices and 129418 extra-departmental branch post offices in India.
Rasulpara Post Office Summary
Dak Ghar Name Rasulpara Branch Post Office Pincode 362140 Dakghar Type Branch Office Post Office Delivery Status Delivery Branch Office Postal Division Junagadh Postal Region Rajkot Postal Circle Gujarat Location Rasulpara District Junagadh State Gujarat Country India Related Sub Office Akolvadi Sub Office Related Head Office Junagadh Head Post Office Website www.indiapost.gov.in ePost-office Web Site Address www.epostoffice.gov.in Speed Post Tracking Website www.indiapost.gov.in/speednettracking.aspx Recruitment Web Site Address www.indiapost.gov.in/recruitment.aspx
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| https://www.postoffices.co.in/gujarat-gj/rasulpara-junagadh-40/ |
The 8 Best Tandem Kayaks of 2023
The best tandem kayaks should be efficient and comfortable. We researched top options to have for your next ride on the water.
Outdoors
The Best Tandem Kayaks for a Smooth Ride
TripSavvy / Chloe Jeong
If you’re looking to spend some time out on the water with a friend, family member, or significant other, a tandem kayak is a great option. Unlike most kayaks, tandems are built for two people, making the experience a much more communal one. They’re also a great choice if space is at a premium since you can buy one kayak for two people. Another reason to go with a tandem kayak is when a stronger paddler wants to go out with a weaker paddler, such as a beginner heading out with an expert or a child heading out with a parent.
But two-person kayaks come with a few compromises compared to the smaller, more maneuverable single-person boats. While sharing your kayak with another person can be a lot of fun, tandem models tend to be considerably longer and harder to control than standard kayaks. Kyle McKenzie, owner of Adventure Paddle Tours in Frisco, Colorado, and Naples, Florida, says, “With beginner kayakers not knowing their responsibilities, they tend to blame one another for the zig-zagging. It can be difficult for couples and siblings.”
However, tandem kayaks can be faster and more stable when the paddlers know what they’re doing, making it easier for two paddlers to go further than they would on their own. Plus, they turn what is often a solitary sport into something you can share with others.
Read on to learn more about the best tandem kayaks available.
The Rundown
Best Overall:
Ocean Kayak Malibu Two XL Tandem Kayak at Backcountry.com
Best Value:
Intex Explorer K2 Inflatable Kayak Set at Amazon
Best Inflatable:
Advanced Elements Island Voyage 2 at Walmart
Best Sit-on-Top:
Ocean Kayak Malibu Tandem Kayak at Amazon
Best for Lakes:
Brooklyn Kayak Company PK14 at Brooklynkayakcompany.com
Best for Fishing:
Feelfree Lure 11.5 V2 Fishing Kayak at Ecofishingshop.com
Best for Whitewater:
Aire Lynx II Inflatable Kayak at Backcountry.com
Best for Touring:
Aquaglide Deschutes 145 Kayak at Backcountry.com
Jump to Review
Table of contents
Our Picks
What to Look For
FAQ
Why Trust Tripsavvy
Best Overall
Ocean Kayak Malibu Two XL Tandem Kayak 2022
Ocean Kayak
What We Like
Good for beginners
Fast
Comfortable for tall people
Versatile
What We Don't Like
Seats are a little awkward
Ocean Kayak's Malibu 2XL kayak is our top pick because it's ready for almost any water condition and is suitable for beginners and intermediates alike. This 13-foot-4-inch kayak is a bit longer than others on our list and has good traction and stability on flat water, light tides, or river currents.
It's a value kayak that stays in the three-digit price range but still offers the quality expected from this respected kayak brand and a 5-year warranty to back the name. You also get the versatility of converting it for paddling solo, so you're not limited to times when you only have two paddlers. Simply remove one of the Comfort Plus seats and position the other one in the center of the boat. Since these seats are adjustable, this kayak can be used by anyone in the family, regardless of size. It weighs 68 pounds and can hold up to 475 pounds.
Price at time of publish:$1,050
Capacity:475 pounds |Dimensions:160 x 34 inches |Inflatable:No
Best Value
Intex Explorer K2 Inflatable Kayak Set
Courtesy of Amazon
What We Like
Adjustable backrest
Comfortable
Affordable
What We Don't Like
Intended for lakes only
This two-person inflatable is far from a performance kayak, but for those looking to get into the sport at a budget-friendly price, this simple tandem fits the bill. As an inflatable, it’s much easier to transport and store than a hard-hull kayak and pumps up quickly, making it more realistic for newbies.
The stiffness and performance are the limitations of this affordable option. Because it’s a lower-pressure inflatable and everything down to the seats is inflatable, the kayak lacks stiffness, which translates into stability, durability, and comfort issues. While the durability and performance of this entry-level tandem aren’t going up to the level of pricier options, it’s a great way to get into the sport on the cheap and find out if it’s for you.
Price at time of publish:$170
Capacity:400 pounds |Dimensions:120 x 36 inches |Inflatable:Yes
Best Inflatable
Advanced Elements Island Voyage 2
Courtesy of L.L. Bean
What We Like
Multiple seat options
Good stability
Removable deep tracking fin
What We Don't Like
A little snug
Fabric can be hard to clean
Many tandem kayaks are so long that they are difficult, if not impossible, to transport without a large truck or roof rack. Inflatables such as this one open up kayaking to those with smaller cars or those who want to take their kayak on a plane without using up all their storage space.
The Advanced Elements Voyage 2 is made of durable 600D polyester and measures 11 feet 2 inches in length so that paddlers won't be cramped. Multiple seat positions allow you to use it as a tandem or a solo kayak, and the boat's pontoon-style side tubes make for a stable kayak that's great for beginners. This kayak also features a rear drain plug for easy deflating. However, shoppers should note that you must buy the inflation air pump separately.
Price at time of publish:$550
Capacity:400 pounds |Dimensions:132 x 37 inches |Inflatable:Yes
Best Sit-on-Top
Ocean Kayak Malibu Tandem Kayak
Courtesy of Backcountry
What We Like
Comfy footbeds
Storage space
What We Don't Like
Not as fast
This sit-on-top kayak from OC Paddle features a rigid polyethylene frame that delivers efficient power transfer from your paddle strokes so you can paddle longer distances easily. It measures 12 feet in length and can comfortably hold two adults and one child. The two Comfort Plus seats are located in the bow and stern, and the middle seat has footbeds for added comfort. The molded frame features two gear straps for storing accessories, two handles, and a drain plug. Its maximum capacity is 375 pounds.
Price at time of publish:$830
Capacity:375-425 pounds |Dimensions:144 x 34 inches |Inflatable:No
Cruise Along Easily With the Best Recreational Kayaks
Best for Lakes
Brooklyn Kayak Company PK14
Courtesy of Brooklyn Kayak Co.
What We Like
Versatile
Easy to steer
Hand controlled runner
Fishing rod holders
What We Don't Like
Expensive
Could use more storage
Heavy
You can paddle long distances on the lake with Brooklyn Kayak Company's PK14 kayak. This sit-on-top kayak comes with two collapsible aluminum paddles and two pedal drives, giving kayakers the option to use either their hands or feet to maneuver the boat. It also features a hand-controlled rudder next to the rear seat, providing optimal steering and control. Unlike many cheaper kayaks, the PK14 has seats that have a rigid frame with padding so you can stay on the water longer without discomfort.
Details aren't forgotten here, either, with a cup holder, three fishing rod holders, a storage hatch, a recessed cargo area, and four carrying handles. There's even an attachment point for an optional trolling motor to turn this into a boat/kayak hybrid. This kayak measures 14 x 34 inches and can carry up to 670 pounds. It also comes with a 5-year limited warranty.
Capacity:670 pounds |Dimensions:168 x 34 inches |Inflatable:No
Best for Fishing
Feelfree Lure 11.5 V2 Fishing Kayak
Courtesy of Theyakshak
What We Like
Stable
Camouflaged
Comfortable
What We Don't Like
Expensive
Heavy
The Feelfree Lure II is built for fishing. Designed to hold all your gear, this kayak has rear storage space for storing a cooler, front and rear rod holders, and a sonar pod to mount a fish finder. It also comes in five different camouflage colorways for maximum concealment as you glide into fish-heavy waters.
This versatile kayak also offers multiple configuration options to give you more flexibility. The two Gravity seats are well-made and supportive to ensure you don't mind long days casting in the saddle. The seats are also removable, so you can convert this boat into a one-person kayak with more space to hold your gear and additional standing room. There's even an option to attach a motor or pedal behind the rear seat, converting this kayak into a serious fishing boat.
Price at time of publish:$1,699
Capacity:500 pounds |Dimensions:168 x 36 inches |Inflatable:No
Best for Whitewater
Aire Lynx II Inflatable Kayak
Courtesy of Aire
What We Like
Good maneuverability
Stable
Easy to transport
What We Don't Like
Expensive
Aire is among the most respected names in river running crafts, and this agile tandem whitewater steed lives up to its reputation. The Lynx II is designed to be used in whitewater conditions, but it can also convert to a larger solo kayak with plenty of room for storing your stuff on an overnight river trip.
The kayak is loaded with 17 cargo loops for securely lashing your stuff down when the water gets turbulent. It also has two grab handles on both sides underneath the boat that can be used to easily tip the boat back over if you capsize. The kayak's rockered bow and continuous curve shape make it ready to charge every rapid and eddy. This boat comes with a complete repair kit and a 10-year warranty.
Capacity:475 pounds |Dimensions:150 x 39 inches |Inflatable:Yes
Best for Touring
Aquaglide Deschutes 145 Kayak
Courtesy of Backcountry
View On Backcountry.com View On Dick's View On L.L.Bean
What We Like
Versatile
Ton of storage space
Packable
What We Don't Like
Pump not included
Expensive
The Aquaglide Navarro is ready for whatever the elements throw at it. Made from 600-denier hexcell ripstop polyester and having a hard bottom drop-stitched floor, it's durable enough that river rocks won't damage it, despite being inflatable. If you need to access the zippered cargo holds on the bow or stern or get out gear from dry sacks held in the bungee decklace rigging, there are holders on either side of the vessel to secure your paddles. And if you want to take your kayak on a trip, it can easily be deflated and stored in a duffle-style carry bag tossed in a car or checked as luggage on a flight.
There's also an optional zip-in closed deck cover for those looking for a bit of extra protection from waves.
Capacity:500 pounds |Dimensions:172 x 39 inches |Inflatable:Yes
What to Look for in a Tandem Kayak
Stability
The most frustrating thing for a beginner is a kayak they can’t keep upright. McKenzie says he buys lots of barely used fancy lightweight kayaks from people that realize their abilities aren’t up to the task. For beginners, a flat-bottomed kayak provides more stability when at rest and is a better choice for newbies. More advanced users will prize performance over flatwater stability—just be sure which level of kayaker you are before you buy. As McKenzie advises, “If you’re a beginner golfer, you wouldn’t use Tiger Woods’ golf clubs.”
Length
Longer kayaks often plane better than shorter ones, but this is an important dimension to consider in terms of storage and transport. Tandems can be longer than is convenient. Even if a 15-foot kayak performs excellently, it won’t be of much use to you if it’s too large to carry on your vehicle or to store in your garage. Check the specific dimensions listed by the manufacturer and then try to estimate if it will work with your size limitations for transporting and storing it.
Support
If you plan to spend extended time on your kayak, carefully evaluate the seating. Many kayak seats are flimsy and supported only by straps. Hard frame chairs offer better support when paired with a proper cushion.
Capacity
Kayak capacity is usually measured in weight; for a tandem kayak especially, it can be a good shorthand for how equipped a particular kayak is for true tandem use. If you and/or your kayaking partner are larger, it’s important to confirm that a particular kayak is up to keeping you both afloat.
Some smaller tandems are rated for up to 350 pounds. That means two 175-pound adults are pushing the limit of this kayak, which may be suitable for smaller folks or an adult and a child. On the other end of the spectrum, some larger kayaks can support up to 675 pounds meaning two large adults plus lots of gear could reasonably be carried. Make sure to check the weight limit before purchasing.
Frequently Asked Questions
What is appropriate clothes for kayaking?
Those kayaking in fair summer weather and relatively warm waters may want to wear swim attire and enjoy getting wet occasionally. But no matter what is worn, a personal floatation device is a safety must. For those paddling in cold waters (even on hot days), it's a good idea to dress for that water temperature and may want to consider a wetsuit.
Even when paddling in warm waters on warm days, it's a good idea to use the kayak's storage (or a dry bag) to bring along layer options since changes in weather and time of day can change conditions quickly.
Is it possible to paddle a tandem kayak solo?
Yes. Many tandem kayaks are set up to convert for single-paddler use. Kyle McKenzie, owner of Adventure Paddle Tours in Frisco, Colorado, and Naples, Florida, says many of his guides use tandem kayaks as singles for the stability and storage space. “Convertible tandem kayaks allow the kayaker to adjust the stern seat. You can push it usually a foot and a half up, which will evenly distribute weight,” says McKenzie.
Is it possible to steer a tandem kayak with both people paddling?
Paddling a tandem kayak is challenging because of the propensity to collide paddles. McKenzie says defining responsibilities can help avoid conflicts. "Kayakers in the front must let go and let the kayaker in the back do the steering. The back kayaker is supposed to follow the kayaker's pace in the front. It is definitely a team-building experience," he says.
What are the drawbacks of a tandem kayak?
The size can make it more challenging to transport to and from the water and make it more difficult to store when not in use. Additionally, a two-person kayak often has less overall space to carry gear than two individual boats would have, which can be an important consideration for those embarking on a longer paddling excursion. There are fewer options when shopping for tandem kayaks versus single kayaks as well, says McKenzie.
What’s the difference between sit-on-top and sit-inside kayaks?
Sit-inside kayaks feature a sunken cockpit that usually permits a spray skirt that can be attached to exclude water that cinches around the rider's waist. These are most useful in whitewater and ocean kayaking but can be used on any kind of water with or without the spray skirt. Sit-on-top kayaks are better for warmer water and are well suited for fishing.
Why Trust Tripsavvy
Justin Parkis a Breckenridge, Colorado-based writer and videographer who has rafted whitewater, kayaked rivers, paddle-boarded high alpine lakes, and has learned to respect both wind and cold water living in the Rockies. He and his camera gear have survived Class III rapids.
In compiling this list of best tandem kayaks, Park spoke withKyle McKenzie, owner ofAdventure Paddle Toursin Frisco, Colorado, and Naples, Florida.
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Medical & Psychological Genetics [Archive] - Eupedia Forum
[Archive] Discuss genetic engineering, genetic diseases, gene therapy, cloning, genes associated with psychological traits...
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Chinese, Americans Truly See Differently, Study Says
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Talking mice ? How human variant of speech gene changes a mouse's brain
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Male Ryukyu rat reproduces without a Y chromosome
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Environmental DNA modifications tied to obesity
City live helped humans evolve immunity to TB
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Serotonin transporter (SERT) gene linked to happiness, optimism and life satisfaction
MAOA-L : Warrior Gene or Justice Gene ?
Lower male voices linked to lower sperm quality
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can AIDS - SIDA be healed?
What Y-DNA haplogroups are associated eith the following deseases?
Possible link between mtDNA haplogroup and cardiovascular diseases
Network of 192 genes identified as underlying cause of autism
Prenatal nicotine exposure associated with dyslexia
Male Stress May Affect Offspring.
Are you in favour of some form of Eugenics?
The ethics of three-person IVF
How could I kill myself if I am too scared to jump off a bridge or a tall building?
Familial Mediterranean Fever in a Colonial American Family Cluster
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Assembling gods, one letter at a time.
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FiT-DNA
Is it true that ancient Greeks lived more than ...
KL gene variant found to increase IQ by six points
Scientists were able to create life
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People Choose Spouses With Similar DNA
Father's age at conception influences offspring's mutation rate
Your genes will tell you what you should eat.
Children With Autism Exposed to More Steroid Hormones in The Womb
what is a sticky gene
Delay aging with Oxytocin?
Delaying Aging Process For Better Health
Religion and Family Prevent Some Mental Illness
Americans Are Sad
Why Diversity Increases Selfishness
Twin Studies Prove Intelligence Mostly Genetic
Male facial attractiveness and masculinity may provide sex- and culture-independent c
MtDNA haplogroup I may improve light absorbtion and sleep & cut risk of schizophrenia
Turmeric compound boosts regeneration of brain stem cells
Ebola
Genetic Engineering, Selective Breeding, & Designer Babies.
Two Genes Linked To Violent Crime.
Do children with autism acquire the phonology of their peers? An examination of group
Cooperation Is What Makes Us Human
Mother's Soothing Presence Changes Gene Activity in Brains of Infants in Pain.
Can blood types influence the probability of autoimmune disorders?
Cancer Identified in 4500 year old skeleton in Siberia
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Have You Taken 23 and Me Test?
23andMe hair color results
U.K. Says YES To Three Person Babies.
Rolling tongue and Duchenne
How Losing Bitter Taste Genes Led to More Food Choices, Inc. Starches
Epigenetic Research Regarding Ants.
Narcissism vs Self esteem in Children
High Fat Diet Alters Behavior and Produces Brain Inflammation
Blood Test May Help Identify Those At Risk From Fragile X Related Disorders.
Mother`s Diet And Offspring.
Adolescent Drinking May Affect Adult Behaviour.
Did the imposition of the death penalty result in selection against violent behavior?
Gene Loss Creates Eating Disorder- Related Behaviour In Mice.
ADHIB and alcoholism-independent evolution in Europe and E.Asia
Why Do Mosquitoes Like Me Best?
Correlation of Light Eye Color and Alcohol Dependence
Possible Discovery Of Sixth DNA Base....
Grains, celiac, non-celiac gluten intolerance
DISC 1 gene correlated with mental iillness changes brain structure and connectivity
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Neolithic Europeans suffered from Leukemia
Enrichment of Genes for Neurodevelopmental Disorders in Founder Populations-Finland
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Relationship between IQ and "Success"
Detection and interpretation of shared genetic influences on 40 human traits
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health data 23andMe
Evolution of sex differences in the genetics of disease
Milk Wars: Goat, Sheep or Cow
Severe Maternal Inflammation Implicated in Autism
Genetic Variants Which Make People Early Risers
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New Paper on Consanguinity in the Middle East and its effects
Cloning a Neanderthal, for or against?
Heritability of ADHD among Swedes
Genome of Justinian's Plague
Redheads need more anesthesia to go under?
IN 20-to-40 years human reproduction won't be through sex
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First real gene therapy "cure"?
Does your Y chromosome haplogroup influence your personality?
Higher sex drive in rhesus negative women
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Genetic mutation found for cleft palate and associated heart disease
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Sleep is for forgetfullness
Rogue Genetic Engineers
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Hemochromatosis-its evolutionary cause
Chronic Fatigue Syndrome IS a real illness
People With ADHD Have Different Brains
First sickle cell anemia "cure"
help interpreting this promethease result?
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Genetics of Heart heart disease and long living
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Vegetarianism may be favored by modern European genes.
Neanderthal Immune System & Modern Europeans
Neanderthal Genes and the Modern Brain
"A genome-wide association study for extremely high intelligence"
A case of "mother's curse" among Quebec's pioneers
Assortative Mating in Admixed Latin American populations
Fathers pass on four times as many new genetic mutations as mothers
Stargardts Macular Dystrophy
How do ADHD people think? Read this for a realistic explanation
MENA countries and genetic variants for disease
Genetics of Personality Development
Genetic testing of embryos-Ethical considerations
Ebola survivors still immune to virus after 40 years
Finland To Sequence 10% (500,000) Of Its Population In 6 Years
Gene editing staves off deafness in mice
Weekly Fish Consumption Linked to Better Sleep and Higher IQ
DNA-Based Flu Shot
Researchers find clues to AIDS resistance in sooty mangabey genome
Hepatitis B in 16th century Europe and HBV evolution
Obesity linked to Mutations in ADCY3
Alcohol Damages DNA
Fast-Food Causes Epigenetic Reprogramming in the Immune System
Pathogen for Major Epidemic That Ravaged the Aztecs
Simply Breathing Can Spread the Flu, New Study Suggests
Gene Therapy is no longer a pipe dream
A Virus-Like Protein is Important for Cognition and Memory
Sensory sensitivity and autism
Why aren't you a lefty?
Gordon Gallup claims human and a chimpanzee were succesfully interbred 100 years ago
Scientific breakthrough: Chinese scientists clone 2 female monkeys
Do the East Asians smell better?
Increased stress on fathers leads to brain development changes in offspring
Genetic study suggests humans may be evolving in a way that prevents alcoholism
Omega fish oils don't improve children's reading skills or memory, study finds
Study: Pain's origins differ in males and females
Researchers Pinpoint Gene Responsible for Autism
Can't sleep? Could be down to genetics
How the sickle cell anemia mutation protected the world from malaria
Autism's social deficits are reversed by an anti-cancer drug
Alcohol dampens brain waves associated with decision-making but not motor control
Hep C compounds alcoholism's effect on brain volume
Early life experiences influence DNA in the adult brain
Does space really change your DNA?
Viruses can evolve in parallel in related species
Forecasts of genetic fate just got a lot more accurate
Scientists discover gene controlling genetic recombination rates
"All of Us": US Government seeking 1 million people for massive DNA & health study
Scientists find fear, courage switches in brain
The cerebellum and trial-and-error learning
Researchers take key step toward growing human organs in laboratory
Tac2 Controls a Distributed Brain State Induced by Chronic Social Isolation Stress
How human brains became so big
400 million year-old fish helps researchers understand HIV
The Neurology of Spiritual Experiences
Genetic risk for autism
'Gut instinct' may have been the GPS of human ancestors
Y dna showing in a woman
The evolution of juvenile susceptibility to infectious disease
"Unfair twist of nature"?
Single protein found to trigger most known genes associated with autism
Genes that regulate how much we dream
Genes are key to academic success
Tracing back the ancient origins of Cystic Fibrosis
Hepatitis E: World's first human case of rat disease found in Hong Kong
I1a1 and ancestors
DRD4-7R frequencies by location?
Researchers discover information about a gene that helps define us as humans
Miscommunication between patient and doctor can lead to misdiagnosis of genetic disea
Is "happiness" or a "sense of well being" genetically based?
The Genetic Architecture of Thinness
Nature vs. Nurture
Gender stereotyping doesn't affect math scores
Genomelink: Genetic Personality Trait Results
Advanced paternal age and early onset schizophrenia in offspring
What is romantic love from an evolutionary genetics perspective
Heretability of self-control is 60%
Superpowers through evolution
Double Cousin Marriage and Offspring: What are the genetic issues?
A genetic basis for insomnia
Gene therapy cures infants with "Bubble Boy" immune disease
The ape that understood the universe
Risk scores for schizophrenia and bipolar disorder predict creativity.
Gene editing fixes cystic fibrosis in mice
Ratio of diabetes to prevalence of obesity
Genome-wide differences in gene expression between male and female mammals
Gene for finding things cute
Immune System and Mental Health are connected
Post your Worrier Versus Warrior results from yourdnaportal.com
Dementia-Can you modify your risk?
Psychiatric disorders and myelin thinning genes
Genes and same sex behavior
Extreme Inbreeding in the UK Biobank
Chinese scientists attempt to cure HIV with CRISPR gene-editing
Cure for lupus through genetic engineering?
Local adaptation predicts type of psychiatric disorder?
Testosterone and Gender Differences in Athlethics
Man who had transplant finds out months later his DNA has changed to that of donor
Gene-Editing to Disrupt both Latent and Active Herpes Virus
Patterns in mate choice?
Does having more boys than girls run in families?
Native Americans show little selection at FADS locus
HTCC as a highly effective polymeric inhibitor of SARS-CoV-2
mtDNA up/downregulates autosomal genes related to cancer, methylation and immunity
Influence of poverty on epigenome
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4 wordpress_test_cookie Used to check if the user's browser supports cookies. Expiry : Session Type : HTTP tusSupport This cookie allows the user the upload files on the website. Expiry : Persistent Type : HTML searchData Pending Expiry : Persistent Type : HTML gmtoffset Pending Expiry : Session Type : HTTP npgshop.org.uk
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pay.shopify.com
shop.app
2 _pay_session [x2] The cookie is necessary for the secure checkout and payment function on the website. This function is provided by shopify.com. Expiry : Session Type : HTTP
smartframe.io
player.vimeo.com
2 __cf_bm [x2] This cookie is used to distinguish between humans and bots. This is beneficial for the website, in order to make valid reports on the use of their website. Expiry : 1 day Type : HTTP tentacle.solutions
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www.npg.org.uk
npgimages.com
2 PHPSESSID [x2] Preserves user session state across page requests. Expiry : 6 days Type : HTTP Preferences 7
Preference cookies enable a website to remember information that changes the way the website behaves or looks, like your preferred language or the region that you are in. Cookiebot
1 Learn more about this provider CookieConsentBulkSetting-# Enables cookie consent across multiple websites Expiry : Persistent Type : HTML Shopify
1 Learn more about this provider currency Saves the visitor's currency preferences. Expiry : 1 year Type : HTTP Spotify
1 Learn more about this provider loglevel Maintains settings and outputs when using the Developer Tools Console on current session. Expiry : Persistent Type : HTML Vimeo
2 Learn more about this provider player Saves the user's preferences when playing embedded videos from Vimeo. Expiry : 1 year Type : HTTP sync_active Contains data on visitor's video-content preferences - This allows the website to remember parameters such as preferred volume or video quality. The service is provided by Vimeo.com. Expiry : Persistent Type : HTML npgshop.org.uk
2 keep_alive Saves the user's current geographical location based on the user's IP address. Expiry : 1 day Type : HTTP localization Holds the users timezone. Expiry : 1 year Type : HTTP Statistics 41
Statistic cookies help website owners to understand how visitors interact with websites by collecting and reporting information anonymously. Google
20 Learn more about this provider __utmc Registers a timestamp with the exact time of when the user leaves the website. Used by Google Analytics to calculate the duration of a website visit. Expiry : Session Type : HTTP _ga_# [x3] Used by Google Analytics to collect data on the number of times a user has visited the website as well as dates for the first and most recent visit. Expiry : 400 days Type : HTTP __utm.gif Google Analytics Tracking Code that logs details about the visitor's browser and computer. Expiry : Session Type : Pixel collect Used to send data to Google Analytics about the visitor's device and behavior. Tracks the visitor across devices and marketing channels. Expiry : Session Type : Pixel _ga [x3] Registers a unique ID that is used to generate statistical data on how the visitor uses the website. Expiry : 400 days Type : HTTP _gid [x3] Registers a unique ID that is used to generate statistical data on how the visitor uses the website. Expiry : 1 day Type : HTTP __utma Collects data on the number of times a user has visited the website as well as dates for the first and most recent visit. Used by Google Analytics. Expiry : 399 days Type : HTTP __utmb Registers a timestamp with the exact time of when the user accessed the website. Used by Google Analytics to calculate the duration of a website visit. Expiry : 1 day Type : HTTP _gat Used by Google Analytics to throttle request rate Expiry : 1 day Type : HTTP __utmt Used to throttle the speed of requests to the server. Expiry : 1 day Type : HTTP __utmz Collects data on where the user came from, what search engine was used, what link was clicked and what search term was used. Used by Google Analytics. Expiry : 6 months Type : HTTP _dc_gtm_UA-# [x3] Used by Google Tag Manager to control the loading of a Google Analytics script tag. Expiry : 1 day Type : HTTP National Portrait Gallery
1 Learn more about this provider cdn-cgi/images/trace/jsch/js/transparent.gif Registers statistical data on users' behaviour on the website. Used for internal analytics by the website operator. Expiry : Session Type : Pixel Neustar
1 Learn more about this provider ab This cookie is used by the website’s operator in context with multi-variate testing. This is a tool used to combine or change content on the website. This allows the website to find the best variation/edition of the site. Expiry : 1 year Type : HTTP New Relic
2 Learn more about this provider events/1/# Used to monitor website performance for statistical purposes. Expiry : Session Type : Pixel jserrors/1/# Pending Expiry : Session Type : Pixel Oracle
1 Learn more about this provider _at.hist.# Used by the social sharing platform AddThis to store the user's usage history of the AddThis sharing widget Expiry : Persistent Type : HTML Quantcast
12 Learn more about this provider _dlt [x3] Sets a unique ID for the session. This allows the website to obtain data on visitor behaviour for statistical purposes. Expiry : 1 day Type : HTTP __qca [x3] Collects data on the user's visits to the website, such as the number of visits, average time spent on the website and what pages have been loaded with the purpose of generating reports for optimising the website content. Expiry : Persistent Type : HTML __qca [x3] Collects data on the user's visits to the website, such as the number of visits, average time spent on the website and what pages have been loaded with the purpose of generating reports for optimising the website content. Expiry : 1 year Type : HTTP qcSes [x3] Collects data on the user's visits to the website, such as the number of visits, average time spent on the website and what pages have been loaded with the purpose of generating reports for optimising the website content. Expiry : Session Type : HTML Vimeo
1 Learn more about this provider vuid Collects data on the user's visits to the website, such as which pages have been read. Expiry : 399 days Type : HTTP Weborama
1 Learn more about this provider wui Contains an visitor ID. This is used to identify the visitor upon re-entry to the website. Expiry : 1 year Type : HTTP
npgimages.com
embed.smartframe.io
2 SF_TR_SESSION [x2] Registers if the user has visited or interacted with pages containing pictures or galleries rooting from third-party services. Used to improve website content and make statistical reports for the website. Expiry : Persistent Type : HTML Marketing 141
Marketing cookies are used to track visitors across websites. The intention is to display ads that are relevant and engaging for the individual user and thereby more valuable for publishers and third party advertisers. Meta Platforms, Inc.
3 Learn more about this provider _fbp [x3] Used by Facebook to deliver a series of advertisement products such as real time bidding from third party advertisers. Expiry : 3 months Type : HTTP Adobe
2 Learn more about this provider demdex Via a unique ID that is used for semantic content analysis, the user's navigation on the website is registered and linked to offline data from surveys and similar registrations to display targeted ads. Expiry : 179 days Type : HTTP dpm Sets a unique ID for the visitor, that allows third party advertisers to target the visitor with relevant advertisement. This pairing service is provided by third party advertisement hubs, which facilitates real-time bidding for advertisers. Expiry : 179 days Type : HTTP Appnexus
1 Learn more about this provider uuid2 Registers a unique ID that identifies a returning user's device. The ID is used for targeted ads. Expiry : 3 months Type : HTTP Bluekai.com
2 Learn more about this provider bkpa Presents the user with relevant content and advertisement. The service is provided by third-party advertisement hubs, which facilitate real-time bidding for advertisers. Expiry : 6 months Type : HTTP bku Registers anonymised user data, such as IP address, geographical location, visited websites, and what ads the user has clicked, with the purpose of optimising ad display based on the user's movement on websites that use the same ad network. Expiry : 6 months Type : HTTP Bombora
1 Learn more about this provider csync.ashx Presents the user with relevant content and advertisement. The service is provided by third-party advertisement hubs, which facilitate real-time bidding for advertisers. Expiry : Session Type : Pixel Dataxu
2 Learn more about this provider wfivefivec Collects data on the user's visits to the website, such as what pages have been loaded. The registered data is used for targeted ads. Expiry : 13 months Type : HTTP matchaddthis Presents the user with relevant content and advertisement. The service is provided by third-party advertisement hubs, which facilitate real-time bidding for advertisers. Expiry : 29 days Type : HTTP Fifty
3 Learn more about this provider fifid Registers the visitor's preferences and navigation across multiple social media platforms. This is used to present the visitor with relevant advertisement. Expiry : 1 year Type : HTTP fpst Collects statistical data related to the user's website visits, such as the number of visits, average time spent on the website and what pages have been loaded. The purpose is to segment the website's users according to factors such as demographics and geographical location, in order to enable media and marketing agencies to structure and understand their target groups to enable customised online advertising. Expiry : 6 days Type : HTTP cs Collects data on the user across websites - This data is used to make advertisement more relevant. Expiry : 1 year Type : HTTP Getsitecontrol
3 Learn more about this provider _gu Collects information on user preferences and/or interaction with web-campaign content - This is used on CRM-campaign-platform used by website owners for promoting events or products. Expiry : 1 year Type : HTTP _gs Collects information on user preferences and/or interaction with web-campaign content - This is used on CRM-campaign-platform used by website owners for promoting events or products. Expiry : Session Type : HTTP _gw Collects information on user preferences and/or interaction with web-campaign content - This is used on CRM-campaign-platform used by website owners for promoting events or products. Expiry : 1 year Type : HTTP Google
11 Learn more about this provider ads/ga-audiences Used by Google AdWords to re-engage visitors that are likely to convert to customers based on the visitor's online behaviour across websites. Expiry : Session Type : Pixel IDE Used by Google DoubleClick to register and report the website user's actions after viewing or clicking one of the advertiser's ads with the purpose of measuring the efficacy of an ad and to present targeted ads to the user. Expiry : 1 year Type : HTTP pagead/landing [x2] Collects data on visitor behaviour from multiple websites, in order to present more relevant advertisement - This also allows the website to limit the number of times that they are shown the same advertisement. Expiry : Session Type : Pixel pagead/viewthroughconversion/641272912 Pending Expiry : Session Type : Pixel pagead/1p-conversion/# Collects data on visitor behaviour from multiple websites, in order to present more relevant advertisement - This also allows the website to limit the number of times that they are shown the same advertisement. Expiry : Session Type : Pixel pagead/1p-user-list/# Tracks if the user has shown interest in specific products or events across multiple websites and detects how the user navigates between sites. This is used for measurement of advertisement efforts and facilitates payment of referral-fees between websites. Expiry : Session Type : Pixel _gcl_au [x3] Used by Google AdSense for experimenting with advertisement efficiency across websites using their services. Expiry : 3 months Type : HTTP NID Registers a unique ID that identifies a returning user's device. The ID is used for targeted ads. Expiry : 6 months Type : HTTP HybridTheory
2 Learn more about this provider ck Collects data on user visits to the website, such as what pages have been accessed. The registered data is used to categorise the user's interest and demographic profiles in terms of resales for targeted marketing. Expiry : 1 year Type : HTTP oo Collects data on user visits to the website, such as what pages have been accessed. The registered data is used to categorise the user's interest and demographic profiles in terms of resales for targeted marketing. Expiry : 1 year Type : HTTP ID5
5 Learn more about this provider cf Sets a unique ID for the visitor, that allows third party advertisers to target the visitor with relevant advertisement. This pairing service is provided by third party advertisement hubs, which facilitates real-time bidding for advertisers. Expiry : 1 day Type : HTTP car Presents the user with relevant content and advertisement. The service is provided by third-party advertisement hubs, which facilitate real-time bidding for advertisers. Expiry : 1 day Type : HTTP callback Collects data on visitor behaviour from multiple websites, in order to present more relevant advertisement - This also allows the website to limit the number of times that they are shown the same advertisement. Expiry : 1 day Type : HTTP cip Presents the user with relevant content and advertisement. The service is provided by third-party advertisement hubs, which facilitate real-time bidding for advertisers. Expiry : 1 day Type : HTTP cnac Presents the user with relevant content and advertisement. The service is provided by third-party advertisement hubs, which facilitate real-time bidding for advertisers. Expiry : 1 day Type : HTTP Issuu
1 Learn more about this provider iutk Recognises the user's device and what Issuu documents have been read. Expiry : 179 days Type : HTTP LiveRamp
2 Learn more about this provider pxrc This cookie registers data on the visitor. The information is used to optimize advertisement relevance. Expiry : 2 months Type : HTTP rlas3 Collects visitor data related to the user's visits to the website, such as the number of visits, average time spent on the website and what pages have been loaded, with the purpose of displaying targeted ads. Expiry : 1 year Type : HTTP Lotame
3 Learn more about this provider _cc_cc Collects statistical data related to the user's website visits, such as the number of visits, average time spent on the website and what pages have been loaded. The purpose is to segment the website's users according to factors such as demographics and geographical location, in order to enable media and marketing agencies to structure and understand their target groups to enable customised online advertising. Expiry : Session Type : HTTP _cc_dc Collects statistical data related to the user's website visits, such as the number of visits, average time spent on the website and what pages have been loaded. The purpose is to segment the website's users according to factors such as demographics and geographical location, in order to enable media and marketing agencies to structure and understand their target groups to enable customised online advertising. Expiry : 269 days Type : HTTP _cc_id Collects statistical data related to the user's website visits, such as the number of visits, average time spent on the website and what pages have been loaded. The purpose is to segment the website's users according to factors such as demographics and geographical location, in order to enable media and marketing agencies to structure and understand their target groups to enable customised online advertising. Expiry : 269 days Type : HTTP Meta Platforms, Inc.
1 Learn more about this provider fr Used by Facebook to deliver a series of advertisement products such as real time bidding from third party advertisers. Expiry : 3 months Type : HTTP Microsoft
20 Learn more about this provider MR Used to track visitors on multiple websites, in order to present relevant advertisement based on the visitor's preferences. Expiry : 6 days Type : HTTP _uetvid [x3] Used to track visitors on multiple websites, in order to present relevant advertisement based on the visitor's preferences. Expiry : Persistent Type : HTML _uetsid_exp [x3] Contains the expiry-date for the cookie with corresponding name. Expiry : Persistent Type : HTML _uetsid [x3] Collects data on visitor behaviour from multiple websites, in order to present more relevant advertisement - This also allows the website to limit the number of times that they are shown the same advertisement. Expiry : 1 day Type : HTTP _uetsid [x3] Used to track visitors on multiple websites, in order to present relevant advertisement based on the visitor's preferences. Expiry : Persistent Type : HTML _uetvid [x3] Used to track visitors on multiple websites, in order to present relevant advertisement based on the visitor's preferences. Expiry : 1 year Type : HTTP _uetvid_exp [x3] Contains the expiry-date for the cookie with corresponding name. Expiry : Persistent Type : HTML MUID Used widely by Microsoft as a unique user ID. The cookie enables user tracking by synchronising the ID across many Microsoft domains. Expiry : 1 year Type : HTTP National Portrait Gallery
1 Learn more about this provider ___utmvc Collects information on user behaviour on multiple websites. This information is used in order to optimize the relevance of advertisement on the website. Expiry : 1 day Type : HTTP Neustar
1 Learn more about this provider adscores/r.pixel Presents the user with relevant content and advertisement. The service is provided by third-party advertisement hubs, which facilitate real-time bidding for advertisers. Expiry : Session Type : Pixel Oath
6 Learn more about this provider IDSYNC Used to identify the visitor across visits and devices. This allows the website to present the visitor with relevant advertisement - The service is provided by third party advertisement hubs, which facilitate real-time bidding for advertisers. Expiry : 1 year Type : HTTP A3 Collects information on user behaviour on multiple websites. This information is used in order to optimize the relevance of advertisement on the website. Expiry : 1 year Type : HTTP B Collects anonymous data related to the user's website visits, such as the number of visits, average time spent on the website and what pages have been loaded. The registered data is used to categorise the users' interest and demographical profiles with the purpose of customising the website content depending on the visitor. Expiry : 1 year Type : HTTP A1S Pending Expiry : Session Type : HTTP GUC Registers a unique ID that identifies the user's device during return visits. Used for conversion tracking and to measure the efficacy of online ads. Expiry : 1 year Type : HTTP A1 Pending Expiry : 1 year Type : HTTP OnAudience
1 Learn more about this provider done_redirects# Pending Expiry : 1 day Type : HTTP Oracle
14 Learn more about this provider __atuvs Ensures that the updated counter is displayed to the user if a page is shared with the social sharing service, AddThis. Expiry : 1 day Type : HTTP _at.cww Used by the social sharing platform AddThis Expiry : Persistent Type : HTML uvc Detects how often the social sharing service, AddThis, encounters the same user. Expiry : 13 months Type : HTTP vc Used by the social sharing platform AddThis Expiry : 1 year Type : HTTP di2 Pending Expiry : 1 year Type : HTTP xtc Registers the user's sharing of content via social media. Expiry : 13 months Type : HTTP loc Geolocation, which is used to help providers determine how users who share information with each other are geographically located (state level). Expiry : 13 months Type : HTTP at-rand Used by the social sharing platform AddThis Expiry : Persistent Type : HTML mus Sets an ID-string for the specific visitor. This is used to recognize the visitor upon re-entry. This allows the website to register the visitor’s behaviour and facilitate the social media sharing function provided by Addthis.com. Expiry : 1 year Type : HTTP na_id Used to recognize the visitor upon re-entry. This allows the website to register the visitor’s behaviour and facilitate the social sharing function provided by Addthis.com. Expiry : 1 year Type : HTTP ouid Sets an ID-string for the specific visitor. This is used to recognize the visitor upon re-entry. This allows the website to register the visitor’s behaviour and facilitate the social media sharing function provided by Addthis.com. Expiry : 1 year Type : HTTP bt2 Used by the social sharing platform AddThis to keep a record of parts of the site that has been visited in order to recommend other parts of the site Expiry : 255 days Type : HTTP um Registers the user's sharing of content via social media. Expiry : 1 year Type : HTTP __atuvc Updates the counter of a website's social sharing features. Expiry : 13 months Type : HTTP Quantcast
1 Learn more about this provider mc Collects data on the user's visits to the website, such as what pages have been loaded. The registered data is used for targeted ads. Expiry : 13 months Type : HTTP Retargetly
2 Learn more about this provider sync Collects data on user behaviour and interaction in order to optimize the website and make advertisement on the website more relevant. Expiry : Session Type : Pixel _rlid Registers user behaviour and navigation on the website, and any interaction with active campaigns. This is used for optimizing advertisement and for efficient retargeting. Expiry : 180 days Type : HTTP Sharethis
9 Learn more about this provider int/lotame Facilitates the sharing function on the website. The cookie also allows websites to track and target the user with advertisement based on the user's likes and shares. Expiry : Session Type : Pixel mediamath Presents the user with relevant content and advertisement. The service is provided by third-party advertisement hubs, which facilitate real-time bidding for advertisers. Expiry : Session Type : Pixel st_samesite Used by ShareThis to track visitor’s website navigation and preferences - This is used for internal statistics and marketing. Expiry : Session Type : HTTP adobe Enables the visitor to share content from the website onto social media platforms or websites. Expiry : Session Type : Pixel yahoo Pending Expiry : Session Type : Pixel __stidv Used by ShareThis to track visitor’s website navigation and preferences - This is used for internal statistics and marketing. Expiry : 1 year Type : HTTP __stid Used by ShareThis to track visitor’s website navigation and preferences - This is used for internal statistics and marketing. Expiry : 1 year Type : HTTP pxcelPage_default_c010 Enables the visitor to share content from the website onto social media platforms or websites. Expiry : 6 days Type : HTTP pxcelBcnLcy Facilitates the sharing function on the website. The cookie also allows websites to track and target the user with advertisement based on the user's likes and shares. Expiry : Session Type : HTTP Shopify
7 Learn more about this provider _shopify_sa_t Collects data on visitors' behaviour and interaction - This is used to make advertisement on the website more relevant. The cookie also allows the website to detect any referrals from other websites. Expiry : 1 day Type : HTTP _shopify_sa_p Collects data on visitors' behaviour and interaction - This is used to make advertisement on the website more relevant. The cookie also allows the website to detect any referrals from other websites. Expiry : 1 day Type : HTTP shopify_recently_viewed Contains data on the content of the shopping cart. This data is used for marketing purposes by promoting related products or for retargeting purposes. Expiry : 3 months Type : HTTP _shopify_s [x2] Collects data on user behaviour and interaction in order to optimize the website and make advertisement on the website more relevant. Expiry : 1 day Type : HTTP _s [x2] Collects data on user behaviour and interaction in order to optimize the website and make advertisement on the website more relevant. Expiry : 1 day Type : HTTP Sitescout.com
2 Learn more about this provider ssi Registers a unique ID that identifies a returning user's device. The ID is used for targeted ads. Expiry : 1 year Type : HTTP _ssuma Presents the user with relevant content and advertisement. The service is provided by third-party advertisement hubs, which facilitate real-time bidding for advertisers. Expiry : 29 days Type : HTTP Soundcloud
1 Learn more about this provider WIDGET::local::assignments Used by audio-platform SoundCloud to implement, measure and improve their embedded content/service on the website - The collection of data also includes visitors’ interaction with embedded content/service. This can be used for statistics or marketing purposes. Expiry : Persistent Type : HTML Sovrn
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Florrie Forde (née Florence Flanagan)
published by Ogden's
bromide cigarette card, published circa 1897-1907
NPG x193103
© National Portrait Gallery, London
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High-temperature charge-density studies of CeO/sub 2-x/ using x-ray and neutron diffraction techniques (Conference) | OSTI.GOV
The U.S. Department of Energy's Office of Scientific and Technical Information
Title: High-temperature charge-density studies of CeO/sub 2-x/ using x-ray and neutron diffraction techniques
Abstract
High-resolution Bragg scattering experiments have been used to study the structure of polycrystalline CeO/sub 2-x/. The in-situ experiments were carried out as a function of temperature (300 < T < 1500/sup 0/K). The composition was controlled by flowing gases (CO/CO/sub 2/ or Ar/O/sub 2/ mixtures) over the sample. Results of both x-ray and neutron scattering experiments are used to define the principle atomic defects responsible for nonstoichiometry in CeO/sub 2-x/. Large lattice relaxation effects are observed whose magnitudes increase with increasing defect concentration. Temperature-dependent studies of the stoichiometric state (x = 0), show that lattice anharmonic interactions are important. The symmetry of the lattice anharmonic interactions is the same as the static displacements observed in the nonstoichiometric state. Thus, we propose that lattice anharmonic interactions are the fundamental driving force for the complex strain interactions observed in the nonstoichiometric state. 44 refs., 5 figs.
Authors:
Faber, J Jr
Publication Date:
1987-07-01
Research Org.:
Argonne National Lab., IL (USA)
OSTI Identifier:
5848718
Report Number(s):
CONF-870843-4
ON: DE88002988
DOE Contract Number:
W-31109-ENG-38
Resource Type:
Conference
Resource Relation:
Conference: International conference on electronic structure in phase stability in advanced ceramics, Argonne, IL, USA, 17 Aug 1987; Other Information: Portions of this document are illegible in microfiche products
Country of Publication:
United States
Language:
English
Subject:
36 MATERIALS SCIENCE; CERIUM OXIDES; CRYSTAL DEFECTS; ANHARMONIC CRYSTALS; ATOMS; CHARGE DENSITY; CRYSTAL LATTICES; ELECTRONIC STRUCTURE; EQUATIONS; NEUTRON DIFFRACTION; POLYCRYSTALS; STRAINS; SYMMETRY; TEMPERATURE DEPENDENCE; CERIUM COMPOUNDS; CHALCOGENIDES; COHERENT SCATTERING; CRYSTAL STRUCTURE; CRYSTALS; DIFFRACTION; OXIDES; OXYGEN COMPOUNDS; RARE EARTH COMPOUNDS; SCATTERING; 360202* - Ceramics, Cermets, & Refractories- Structure & Phase Studies
The general problem is the study, by x-ray means, of thermal vibrations of the atoms in crystals and their interactions with other phenomena of interest in crystal physics. The first experimental studies deal with the temperature dependences of the motions in AgCl as revealed by their effect on the Bragg intensities. Extended consideration was given in the background of the problem as found in the theory of and the literature on thermal motions of atoms, or lattice vibrations, as related in x-ray measurements of Bragg intensities. A method for determining temperature factors (hence Debye- THETA 's) from temperature dependences of more » x-ray intensities is derived and experimentally illustrated. A second method is suggested. Effects on the data of such things as thermal diffuse scattering (TDS), temperature dependence of primary extinction, and defect concentration are considered in some detail. Possibilities for assessing or studying the same factors through their effects on the apparent Bragg peaks are noted. Equipment design and performance, design of experiments, experimental techniques, and characteristics of the specimen, etc. are discussed in detail, especially in concention with accuracy and reproducibility. Particular attention has been given to means for shaping the specimens without distorting them. A conceptual device referred to as the acceptance region model was developed and utilized to determine the requirements on and the factors affecting the x-ray beam geometries. Intensity data were collected for (hhh), (hhO), and (hOO) reflections of AgCl at 10-degree intervals at 90 to 300 deg K. Variations in diffraction peak breadths with temperatures were observed and are discussed. Reproducibility in the intensity vs. temperature measurements was of about 0.5 to 0.75%. The amplitudes of thermal motions of the silver and chlorine atoms were found to be similar, and in agreement with observations by others. This result is interpreted in mean that the acoustic (rather than optical) modes of lattice vibrations have dominant importance to x-ray observations of the present type in AgCl. An inflection in the semi-log plot of intensity vs. temperature was found in the case of the (111) reflection. The possibility that the inflection may indicate a temperature induced change in bond character will be investigated. The errors introduced by TDS and alpha -doublet separation (both of which are temperature dependent) in the measures of Bragg intensities vs. temperature were partially overcome by a technique involving extrapolation to sin theta = 0. Evidence for anisotropy in the thermal motions of the atoms in AgCl was not conclusive, and further effort will be expended definitely to support or to reject present indications of anisotropy. Existence of anisotropy would probably indicate anharmonic thermal vibrations. Approximate Debye- THETA 's have been determined from the intensity vs. temperature data which are in reasonable agreement with literature values obtained by other means. The general technique of extracting crystal-physics information from careful measurements of the temperature dependence of the Bragg intensities continues to show promise. (auth) « less
| https://www.osti.gov/biblio/5848718 |
Practice software start-up raises £100,000 | AccountingWEB
Senta, the latest entrant into the already crowded practice management software game, is planning to take on the industry’s giants w
iStock00063216911_Small
Practice software start-up raises £100,000
Senta, the latest entrant into the already crowded practice management software game, is planning to take on the industry’s giants with a crowdfunding war chest of £100,000-plus.
James Kilford’s start-up grew out of Webstart Bristol’s incubator programme based at The Engine Shed. It’s a busy space, filled with tech entrepreneurs beavering away at their tasks. With all the activity taking place around him, Kilford is soft spoken and calm.
The creation ofSenta“was just by chance, really”, he says. His concept of a cloud-based practice management system evolved through a sequence of chance conversations.
“I was working as a computer consultant. You get used to hearing people’s problems and then in your head trying to solve them,” Kilford says. “It was like that with Senta. I was talking to my accountant and he said, ‘I wish there was a system to help me with my practice, there’s some out there but they’re not very good’.”
After speaking to his accountant, Kilford heard a similar story from other practitioners. “I asked them ‘Are you using PM software? What are your big problems in practice?’ Most of them came back and said they weren’t even using practice management software,” he explains.
Realising this was an opportunity, Kilford quit his contract, turned new client work and started looking for some office space, which led him to the Engine Shed.
“Next thing I know, I’m down here talking to their panel and on their panel was an accountant, and he works as a partner for a really big local accounting firm. Everybody turned to him and asked ‘What do you think?’
“He said that he totally gets this and if I could solve all these problems, it would be great. So I joined the Engine Shed incubator program and Senta was born,” says Kilford.
OnSenta’s Seedrs page, Kilford presents it as “a cloud service to help accountants run their practice really smoothly”. The service charges £29 a month and targets three specific areas: Workflow scheduling (the main focus), customer relationship management (CRM) and document security. There’s no niche, according to Kilford, merely an attempted solution to a universal problem within practice.
Workflow scheduling is Senta’s biggest challenge. “An accountant might have to do 10,000-15,000 tasks in a year,” says Kilford. “They spend a lot of time managing their practice at a detriment to their professional and personal lives.”
The CRM and marketing tools are lightweight and functional. They are meant for accountants to do simple tasks like keeping track of customer relationships, things like emails, he says.
But practice management is not a new idea and Senta is a latecomer to the market. Senta’s competition includes industry giants Sage, IRIS and Keytime, along withmore recent arrivalsCapium and Nomisma.
Kilford accepts this challenge in a zen-like way.
“It’s difficult isn’t it?” he says, before giving his competition a gentle joust, “I realised that there was already a lot of competition out there, but they’re not doing something right because if they were everyone would be using it.”
At the moment, flexibility is Senta’s biggest strength, as its relatively small size and freshness allows the developer to “introduce changes and fixes just about every day”.
When a new user signs up to the service, Kilford writes to them personally, welcoming them: “Work with us, talk to us, tell us how it works or doesn’t work for you.” Being so open to suggestion and criticism can be tough, but Kilford’s philosophical about it, “When you can’t hear your customers grumbling anymore, then you’ve got a problem”.
The £100,000-plus Seedrs fighting fund comes at just the right time for the company. Senta’s next big step is to integrate with the most popular cloud accounting suites. The money will also go toward new features and, as the reality of modern software necessitates, marketing.
Financial necessities aside, crowdfunding also gels with Kilford’s business ideology. “If accountants want to buy a little slice of Senta, they can. Everyone can just get involved – ideologically it’s great.
“We’ve got our 190-odd investors from this round, 147 investors from the previous round, who are on side. And a disproportionately high number of them are accountants."
Kilford is very open about not being accountant. But he has been careful to surround himself with experienced practitioners. He has appointed an experienced accountant, Peter Chavis, as a non-executive CFO, and has an FD in place. It’s an unusual step for such a small company, but Kilford explains, “We wanted to have those disciplines in place and be able to call on their experience as we continue to grow.”
As well as his in-house financial experience, Kilford leans heavily on his accountant. Since he first started the relationship has moved from focusing on compliance to a closer arrangement centring on advisory services.
“Having an accountant who is willing to jump on the phone and jump on Skype to explain and talk about options is so important. It’s all about relationship.”
Kilford is hopeful about Senta’s future. The strong backing on Seedrs indicates to him that he’s on the right track. “You could do your own practice management for nothing. You can use spreadsheets and diaries and of course, there’s much more expensive practice management software out there,” he says. “We just wanted something straight forward and affordable.”
Alternative finance
| https://www.accountingweb.co.uk/tech/practice-software/practice-software-start-up-raises-ps100000 |
The Effects of 8 oz Fresh vs. Commercial Orange Juice on Blood Pressure In Normotensive Males Aged 18-59 - Full Text View - ClinicalTrials.gov
The Effects of 8 oz Fresh vs. Commercial Orange Juice on Blood Pressure In Normotensive Males Aged 18-59
The safety and scientific validity of this study is the responsibility of the study sponsor and investigators. Listing a study does not mean it has been evaluated by the U.S. Federal Government.
Read our disclaimer for details.
ClinicalTrials.gov Identifier: NCT03691194 Recruitment Status :
Completed First Posted : October 1, 2018 Last Update Posted : July 18, 2019
Sponsor:
Loma Linda University
Information provided by (Responsible Party):
Cory Gheen, Loma Linda University
Study Details
Study Description
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Brief Summary:
The purpose of this graduate student research study is to determine the effects of drinking eight ounces of fresh vs. commercial orange juice on blood pressure in males with normal blood pressure.
Condition or disease Intervention/treatment Phase Blood Pressure Dietary Supplement: fresh orange juice Dietary Supplement: concentrated orange juice Not Applicable
Detailed Description:
Visit 1
-
Beginning of the first four weeks:
Upon arrival, subjects will be given a consent form to sign. The student investigators will go over the layoutof the research study such as the procedures, and compliance with them. Then, subjects will be asked if they agree with drinking orange juice daily for two months. If they agree, they will be asked to relax for five minutes, and the student investigators will take their blood pressure reading three times using a blood pressure monitor. The subjects will complete the Perceived Stress Scale (PSS) survey before leaving. The subject will drink orange juice for 28 days.
•
Visits 2, 3, and 4:
Subjects will meet with the student investigators at a convenient location. Subjects will be asked to rest for five minutes. Student investigators will then take their blood pressure reading three times using a blood pressure monitor. The subjects will complete the PSS survey before leaving.
•
Between visit 2 and 3:
There is a washout period of approximately eight weeks. • During the first and second set of the 4
-week intervention phase, subjects will visit student investigators to retrieve orange juice samples every 3 or 4 days.
Study Design
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Layout table for study information Study Type : Interventional
(Clinical Trial) Actual Enrollment : 17 participants Allocation: Randomized Intervention Model: Crossover Assignment Masking: Single (Participant) Primary Purpose: Other Official Title: The Effects of 8 oz Fresh vs. Commercial Orange Juice on Blood Pressure In Normotensive Males Aged 18-59 Actual Study Start Date : October 1, 2018 Actual Primary Completion Date : June 1, 2019 Actual Study Completion Date : June 1, 2019
Arms and Interventions
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Arm Intervention/treatment Experimental: fresh orange juice Subject will take 8 ounces of fresh orange every day for 28 days. Dietary Supplement: fresh orange juice The fresh oranges will be bought from Sysco. They will be squeezed at the kitchen of School of Allied Health Professional with a juicer. They will either be squeezed the night before or on the same day. The juice will not be treated with additional preservatives or sugar. The brand of the juicer is Kitchen Aid. Eight ounces of fresh orange juice needs approximately two and half oranges. They will be put into 32 oz water bottles that were bought from Sysco, and then store them in the refrigerator. They will be given to the subjects every three or four days. Active Comparator: concentrated orange juice Subject will take 8 ounces of concentrated orange juice every day for 28 days. Dietary Supplement: concentrated orange juice The concentrated orange juice will be bought from Sysco then reconstituted. One part of concentrated orange juice needs four parts of water to reconstitute. Then, it will be measured and the reconstituted orange juice will be put into 32 oz water bottles that we bought from Sysco. They will be stored in the refrigerator. The subjects will need to get the reconstituted orange juice every three or four days.
Outcome Measures
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Primary Outcome Measures
:
blood pressure [ Time Frame: change from baseline to 4 weeks ]
Three readings will be taken each time and average them. If the subject's blood pressure is considered too high or low at any of the visits, they will be dropped from the study and we will suggest to them to see their primary physician.
Secondary Outcome Measures
:
Perceived Stress Scale (PSS) [ Time Frame: change from baseline to 4 weeks ]
The PSS was developed by Sheldon Cohen and his colleagues, and was published in 1983. The PSS is a widely used psychological instrument to measures the level of stress. It has been used in many studies related to stress. The survey takes approximately three minutes to complete. The score ranges from 0-40. A score of 0-13 is considered low stress, 14-26 is moderate stress, and 27-40 is high stress.
Eligibility Criteria
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Information from the National Library of Medicine
Choosing to participate in a study is an important personal decision. Talk with your doctor and family members or friends about deciding to join a study. To learn more about this study, you or your doctor may contact the study research staff using the contacts provided below. For general information, Learn About Clinical Studies.
Layout table for eligibility information Ages Eligible for Study: 18 Years to 59 Years (Adult) Sexes Eligible for Study: Male Accepts Healthy Volunteers: Yes
Criteria
Inclusion Criteria: Healthy 18-59 years old males, willing to keep the same lifestyle, not taking any medications or antioxidant supplements to control blood pressure, and do not drink any types of orange juice within 30 days.
Exclusion Criteria: Diabetic, smoke cigarettes, marijuana or electronic cigarettes, drink alcohol more than one a week, allergic to oranges, and diagnosed as hypotensive or hypertensive.
Contacts and Locations
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
To learn more about this study, you or your doctor may contact the study research staff using the contact information provided by the sponsor.
Please refer to this study by its ClinicalTrials.gov identifier (NCT number): NCT03691194
Locations
Layout table for location information United States, California Loma Linda Universtiy Loma Linda, California, United States, 92350
Loma Linda University
Investigators
Layout table for investigator information Principal Investigator: Cory Gheen, MS RD Loma Linda University
Layout table for additonal information Responsible Party: Cory Gheen, Assistant Professor, Loma Linda University ClinicalTrials.gov Identifier: NCT03691194 History of Changes Other Study ID Numbers: 5180291 First Posted: October 1, 2018 Key Record Dates Last Update Posted: July 18, 2019 Last Verified: July 2019 Layout table for additional information Studies a U.S. FDA-regulated Drug Product: No Studies a U.S. FDA-regulated Device Product: No
U.S. Department of Health and Human Services
| https://clinicaltrials.gov/ct2/show/NCT03691194 |
Identifying “Preperimetric” Glaucoma in Standard Automated Perimetry Visual Fields | IOVS | ARVO Journals
December 2014
Volume 55, Issue 12
Ryo Asaoka ; Aiko Iwase ; Kazunori Hirasawa ; Hiroshi Murata ; Makoto Araie
Author Affiliations & Notes
Ryo Asaoka
Department of Ophthalmology, The University of Tokyo Graduate School of Medicine, Tokyo, Japan
Aiko Iwase
Tajimi Iwase Eye Clinic, Tajimi, Japan
Kazunori Hirasawa
Department of Ophthalmology, The University of Tokyo Graduate School of Medicine, Tokyo, Japan Department of Ophthalmology, Graduate School of Medical Science, Kitasato University, Kanagawa, Japan
Hiroshi Murata
Department of Ophthalmology, The University of Tokyo Graduate School of Medicine, Tokyo, Japan
Makoto Araie
Kanto Central Hospital of the Mutual Aid Association of Public School Teachers, Tokyo, Japan
Correspondence: Ryo Asaoka, Department of Ophthalmology, The University of Tokyo Graduate School of Medicine, 7-3-1 Hongo, Bunkyo-ku, Tokyo, 113-8655 Japan; [email protected] .
Investigative Ophthalmology & Visual Science December 2014, Vol.55, 7814-7820. doi: https://doi.org/10.1167/iovs.14-15120
Abstract
Purpose.: To compare the visual fields (VFs) of preperimetric open angle glaucoma (OAG) patients (preperimetric glaucoma VFs, PPGVFs) with the VFs of healthy eyes, and to discriminate these two groups by using the Random Forests machine-learning method.
Methods.: All VFs before a first diagnosis of manifest glaucoma (Anderson-Patella's criteria) were classified as PPGVFs. Series of VFs were obtained with the Humphrey Field Analyzer 30-2 program from 171 PPGVFs from 53 eyes in 51 OAG or OAG suspect patients and 108 healthy eyes of 87 normal subjects. The area under the receiver operating characteristic curve (AROC) in discriminating between PPGVFs and healthy VFs was calculated by using the Random Forests method, with 52 total deviation (TD) values, mean deviation (MD), and pattern standard deviation (PSD) as predictors.
Results.: There was a significant difference in MD between healthy VFs and PPGVFs (−0.03 ± 1.11 and −0.91 ± 1.56 dB [mean ± standard deviation], respectively; P < 0.001, linear mixed model) and in PSD (1.56 ± 0.33 and 1.97 ± 0.43 dB, respectively; P < 0.001). A significant difference was observed in the TD values between healthy VFs and PPGVFs at 25 ( P < 0.001) of 52 test points (linear mixed model). The AROC obtained by using the Random Forests method was 79.0% (95% confidence interval, 73.5%–84.5%).
Conclusions.: Differences exist between healthy VFs and VFs of preperimetric glaucoma eyes, which go on to develop manifest glaucoma; these two groups of VFs could be well distinguished by using the Random Forests classifier.
Introduction
Prompt diagnosis of glaucoma is critical to reduce the risk of visual impairment, as glaucomatous visual field (VF) damage is irreparable. There is evidence that glaucomatous axonal loss precedes the development of VF defects. 1 In fact, it is now possible to detect early glaucomatous structural changes before the deterioration of patients' VFs becomes measurable, owing to the development of imaging devices, such as optical coherence tomography 2 – 8 and scanning laser polarimetry. 8 , 9 Furthermore, several studies have suggested that some forms of perimetry, such as frequency-doubling perimetry (FDT), 10 – 16 Humphrey Matrix 24-2 test, 17 short-wavelength automated perimetry (SWAP), 10 , 16 , 18 – 20 and Heidelberg edge perimetry 21 may detect glaucomatous VF changes earlier than conventional standard automated perimetry (SAP).
In clinical practice, we often encounter eyes with structural changes suggestive of glaucoma, but with apparently normal VF test results. The term “preperimetric glaucoma” (PPG) has been used to describe eyes with a glaucomatous optic disc and/or fundus appearance and an apparently normal VF. Several methods, such as abnormal result from the glaucoma hemifield test (GHT) or a significant pattern standard deviation (PSD) value, 16 are used to define glaucomatous VFs 4 – 11 , 16 , 17 but Anderson-Patella's criteria 22 remain one of the most frequently applied methods. 4 , 6 , 10 , 11 , 17 Briefly, the criteria are as follows: (1) a cluster of ≥3 points in the pattern deviation plot in a single hemifield (superior/inferior) with P < 0.05, one of which must have been P < 0.01, excluding the outermost test point of Humphrey Field Analyzer 30-2 program (HFA 30-2); (2) GHT result outside of normal limits; or (3) abnormal PSD with P < 0.05. Thus, the criteria are designed to be sensitive to focal VF deterioration as well as global VF changes, which is advantageous to detect early glaucomatous VF damage. 23 – 25 Preperimetric glaucoma VFs (PPGVFs) can be defined as VFs taken before diagnosis of manifest glaucoma by Anderson-Patella's criteria. 22
In this study, a machine-learning classifier known as the Random Forests method was applied to differentiate PPGVFs from healthy VFs. 26 , 27 In short, the Random Forests consists of many decision trees (each tree developed by bootstrapping of data and predictor variables) and outputs a classification based on all the decision trees. This algorithm has been used in many research fields, such as gene selection and cancer classification, 28 – 31 and it has been suggested that the Random Forests method is more useful than other machine-learning methods. 28 , 32 , 33 Furthermore, its potential for diagnosing glaucoma has been reported. 2 , 34 The merit of using this method is that it can cope with intercorrelation of multiple explanatory variables, 35 which makes it especially useful in analyzing VF test results where intercorrelation of VF sensitivities among test points is well known. Additionally, the Random Forests method interprets multiple explanatory variables in combination, deciphering important patterns, 36 which may be advantageous in trying to detect early glaucomatous VF changes that have not yet fulfilled Anderson-Patella's criteria. 22
Methods
Subjects
Preperimetric glaucoma VFs were retrospectively acquired from clinical records at the University of Tokyo Hospital (Tokyo, Japan). First, all open angle glaucoma (OAG) or OAG suspect patients who had VF measurements at least 15 times between April 1997 and April 2012 were identified. Open angle glaucoma was diagnosed when the following findings were present: (1) presence of typical glaucomatous changes in the optic nerve head (ONH), such as a rim notch with a rim width ≤ 0.1 disc diameters or a vertical cup-to-disc ratio of >0.7, and/or a retinal nerve fiber layer (RNFL) defect with its edge at the ONH margin greater than a major retinal vessel, diverging in an arcuate or wedge shape confirmed by a panel of glaucoma specialists (HM and RA) after inspection of stereo-fundus photographs; (2) presence of glaucomatous VF defects compatible with the glaucomatous ONH changes fulfilling Anderson-Patella's criteria 22 on two consecutive occasions; and (3) absence of other systemic or ocular disorders, including cataract except for clinically insignificant senile cataract, shallow peripheral anterior chamber that could affect the ONH and VF, and history of intraocular surgeries or refractive surgeries except for uneventful intraocular lens implantation. Patients aged 20 years or older and eyes with refractive error ≥ −6.0 D and <6.0 D, and also visual acuity equal to or better than 30/30 were included. As a result, VFs from 790 eyes of 589 OAG or OAG suspect patients were identified. After the first VF of each eye was excluded, 37 , 38 PPGVFs were identified as all VFs before the first VF meeting with at least one of Anderson-Patella's criteria (without a need to be confirmed in the consecutive VF test). 22 As a result, 171 PPGVFs from 53 eyes of 51 patients were used in the analysis.
Data from 108 normal eyes of 87 subjects were acquired at the University of Tokyo Hospital, the Tajimi Municipal Hospital (Gifu, Japan), and Tajimi Iwase Eye Clinic (Gifu, Japan) between April 1997 and October 2006. Inclusion criteria included no abnormal eye-related findings except for clinically insignificant senile cataract on biomicroscopy, gonioscopy, and funduscopy, and no history of ocular diseases, such as diabetic retinopathy or age-related macular degeneration; other inclusion criteria were age ≥ 20 years, spherical equivalent refractive error ≥ −6.0 D and <6.0 D, intraocular pressure ≤ 21 mm Hg by Goldmann applanation tonometry, having undergone HFA measurement at least one time, and normal VF test results that did not meet any of Anderson-Patella's criteria and no family history of glaucoma. 22 The study protocol was approved by the institutional review board of each institution and adhered to the tenets of the Declaration of Helsinki. Written informed consent was obtained from each subject.
Visual Field Measurements
All VFs were obtained by using the Humphrey Field Analyzer (HFA; Carl Zeiss Meditec, Dublin, CA, USA) with the 30-2 SITA Standard strategy (HFA 30-2) and the Goldmann size III target. Near refractive correction was used as necessary. Reliable VFs were defined as results with less than 20% fixation losses and less than 15% false-positive error, following the criteria used by the HFA software.
Statistical Analyses
The Random Forests method was used to classify VFs as PPGVFs or healthy VFs, by using the 52 TD values that correspond to the HFA 24-2 program test points, MD, and PSD as predictors; thus, TD values of the outermost 22 test points in the 30-2 test pattern were excluded. In the Random Forests method, 10,000 decision trees were grown to build an “ensemble classifier.” The leave-one-out cross-validation method was then performed and the area under the receiver operating characteristic curve (AROC) was calculated by changing the cutoff value for the probability of a VF being classified as a PPGVF (as indicated by the proportion of tree votes in the Random Forests classifier). 39 In leave-one-out cross-validation, one or both eyes of a single subject were used as validation data, and the remaining subjects were used as training data. This procedure was then repeated until each OAG patient and healthy subject in the original sample was used once as validation data. In other words, for each individual, only the data from all other subjects was used in the prediction.
All statistical analyses were carried out by using the statistical programming language R (version 2.15.1; The R Foundation for Statistical Computing, Vienna, Austria). The R package “randomForest” was used to generate the Random Forests classifier. The importance VF parameters used in the Random Forests method was determined by using the Random Forests “Variable Importance” (VIMP) measure; this was calculated by randomly permuting a variable at each decision tree and measuring whether the squared errors decreased. 26 The optimum cutoff point in the receiver operating characteristic curve was calculated by using Youden's method. 40 The difference between the two groups was investigated by using a linear mixed-effects model 41 when two or more measurement results in the same eye and same subject were included, with the R package “lme4”; this model inherently accounts for imbalances in the numbers of VFs per eye and of a subject.
Results
Demographic data of the subjects are given in the Table . The mean interval between patients' last PPGVF to the time of conversion to the first glaucomatous VF (i.e., Anderson-Patella's criteria 22 met on two consecutive occasions) averaged 315.8 ± 184.3 (standard deviation, SD) days. The average interval between consecutive PPGVFs (i.e., until Anderson-Patella's criteria were met at any occasion without the need of being repeated in the consecutive VF) was 271.1 ± 188.1 days. There were no intergroup differences in right eye/left eye, male/female ratios ( P = 0.78 and 0.35, respectively, χ 2 test), and in refractive error ( P = 0.21, unpaired t -test), except for age ( P = 0.008). The average number of PPGVFs per eye was 3.2 ± 2.0 (mean ± SD).
Table
Characteristics of the Study Participants
Table
Characteristics of the Study Participants
Normal Group Glaucoma Group P Value Sex, male/female 35/52 26/25 0.09 Eye, right/left 51/57 27/26 0.78 Age, mean ± SD, y 50 ± 16 55 ± 15 0.008 Refractive error, diopter, mean ± SD −0.15 ± 1.1 −0.55 ± 0.33 0.21
P value: comparison between glaucoma and normal groups (unpaired t -test for numerical data and χ 2 test for categorical data).
Figures 1 a and 1 b show the mean TD value at each location across all healthy VFs and all PPGVFs, respectively. A significant difference was observed in TD values between healthy VFs ( Fig. 1 a) and PPGVFs ( Fig. 1 b) at 25 of 52 test locations with a significance level of P < 0.001 (linear mixed model); none of the mean TD values in the healthy VFs were lower than −1.0 dB, whereas in the PPGVFs 22 of 52 test points were lower than this threshold. There was a significant intergroup difference in the MDs (−0.03 ± 1.11 and −0.91 ± 1.56 dB in healthy VFs and in PPGVFs, respectively; P < 0.001, linear mixed model) and PSDs (1.56 ± 0.33 and 1.97 ± 0.43 dB, respectively; P < 0.001; Figs. 2 a, 2 b). Only 2.8% (3 VFs) of the healthy VFs, as compared with 12.3% (21 VFs) of PPGVFs, had a PSD above +2.5 dB. Pattern standard deviation was above +2.0 dB in 10.2% (11 VFs) of the healthy VFs and 39.2% (67 VFs) of PPGVFs. None of the healthy VFs with a PSD above +2.0 dB had GHT results “outside normal limits”; moreover, the deterioration of VF thresholds appeared simply to be measurement noise. Glaucoma hemifield test results were “borderline” in 16.7% (18) of healthy VFs and in 8.2% (14) of PPGVFs. There was a “general reduction of sensitivity” in GHT result in two PPGVFs (1.1%). Two (1.9%) healthy VFs and 10 (5.8%) PPGVFs had a PSD with a P value between 0.05 and 0.10.
Figure 1
Mean and standard deviation of the total deviation values of healthy and preperimetric glaucoma visual fields (PPGVFs). The number in brackets below the mean value represents the standard deviation. ( a ) Normal eyes. ( b ) Preperimetric glaucoma eyes. *Significant difference between the healthy and PPGVFs with the significance level of P < 0.001 (written in red ; linear mixed-effects model). TD values in the 22 outermost test points (gray) were excluded from analysis.
Figure 1
Figure 2
Boxplots comparing mean deviation and pattern standard deviation values in healthy visual fields and preperimetric glaucoma visual fields (PPGVFs). ( a ) Mean deviation. ( b ) Pattern standard deviation. P values were calculated by using the linear mixed model.
Figure 2
Boxplots comparing mean deviation and pattern standard deviation values in healthy visual fields and preperimetric glaucoma visual fields (PPGVFs). ( a ) Mean deviation. ( b ) Pattern standard deviation. P values were calculated by using the linear mixed model.
As shown in Figure 3 , the AROC obtained by using the Random Forests method was 79.0% (confidence interval [CI], 73.5%–84.5%). Sensitivities at specificities of 80%, 90%, and 95% were 59.6%, 40.4%, and 25.1%, respectively. The optimum discrimination, using Youden's method, 40 was obtained when sensitivity was equal to 86.5% and specificity was equal to 62.0%; this corresponded to a voting rate of ≻53.8% in the Random Forests classifier. The 15 most important parameters (according to VIMP score) in the Random Forest system are depicted in Figure 4 .
Figure 3
Receiver operating characteristic curves obtained with the Random Forests method. The AROC with the Random Forests method was 79.0% (CI: 73.5%–84.5%). The optimal cut point was at a voting rate equal to 53.8% where the sensitivity was 86.5% and specificity was 62.0%, using Youden's method. 40
Figure 3
Receiver operating characteristic curves obtained with the Random Forests method. The AROC with the Random Forests method was 79.0% (CI: 73.5%–84.5%). The optimal cut point was at a voting rate equal to 53.8% where the sensitivity was 86.5% and specificity was 62.0%, using Youden's method. 40
Figure 4
The 15 most important parameters in the Random Forests diagnosing system. Left figure represents the VF test points numbers. The outermost test points were not used. The right figure shows the 15 most important visual field parameters, which were decided by calculating the total decrease in node impurities by permuting each variable in each tree and observing the decrease of the Gini index, followed by normalizing by the standard deviation of the difference.
The 15 most important parameters in the Random Forests diagnosing system. Left figure represents the VF test points numbers. The outermost test points were not used. The right figure shows the 15 most important visual field parameters, which were decided by calculating the total decrease in node impurities by permuting each variable in each tree and observing the decrease of the Gini index, followed by normalizing by the standard deviation of the difference.
Discussion
In the current study, series of VFs of OAG patients were examined and the properties of VFs before an eye's conversion to glaucomatous VF, following Anderson-Patella's criteria, 22 were investigated by using the Random Forests classifier. Significant deterioration of TD values was observed at 25 ( P < 0.001) of 52 test points in the PPGVFs; in addition, a significant difference in MD and PSD was also observed between PPGVFs and healthy VFs. Furthermore, a sizeable number of PPGVFs could be discriminated from healthy VFs by using the Random Forests machine-learning classifier.
Previous attempts have been made to discriminate PPG from healthy eyes by using various devices and special forms of perimetry, in a cross-sectional manner. Choi et al. 17 have used MD and PSD of the Humphrey Matrix 24-2 test and obtained an AROC of 61.9% and 76.7% for each index, respectively; in their study PPG was diagnosed by using a combination of red-free fundus photography, Stratus optical coherence tomography (OCT), and stereophotography. 17 Leeprechanon et al. 16 have used FDT and SWAP and reported AROCs of 62% (FDT MD), 67% (FDT PSD), 74% (SWAP MD), and 53% (SWAP MD), in which PPG was defined by abnormal findings with either OCT or Heidelberg retina tomograph (HRT). In a study by Hirashima et al., 11 FDT is used to discriminate PPG defined as abnormal on stereophotography, and AROCs of 76.2% (MD) and 78.0% (PSD) are reported.
In addition, similar efforts have been made with imaging devices; the reported AROCs are 79% to 94% with OCT 4 – 7 , 11 in which the diagnosis of PPG is made by using stereophotography 5 , 7 , 11 and/or red-free photography, 4 , 6 and 91% with SLP in which red-free photography, SLP, or OCT is used to diagnose PPG. 8 The 95% CI of the AROC obtained in the current study (73.5%–84.5%) overlaps with those reported by FDT or SWAP and some of those reported with imaging devices; however, it is not appropriate to directly compare AROCs because of considerable differences in the study designs. In the current study, PPGVFs were categorized as the VFs undertaken before conversion to a glaucomatous VF according to Anderson-Patella's criteria; PPGVFs were then discriminated from healthy normal VFs. On the other hand, PPG eyes, not PPGVFs, are distinguished from healthy normal eyes in the previous studies. In addition, the definition of PPG is not always the same across these studies, as detailed above. Moreover, the criteria for classifying glaucomatous VFs also vary. For instance, all conditions included in Anderson-Patella's criteria are used in the studies of Hirashima et al. 11 and Choi et al., 17 while an abnormal result with GHT or PSD is used in the study by Leeprechanon et al. 16 In the current study, an abnormal VF result was defined as meeting at least one of the three conditions included in Anderson-Patella's criteria. 22 There are only two studies that have analyzed the usefulness of OCT and HRT in diagnosing PPG with longitudinal series of VFs. 5 , 7 In these studies, patients suspected of having glaucoma, based on the appearance of the optic disc on stereophotography, have been followed up longer than 10 years (VF remained normal throughout the follow-up); it was investigated whether HRT and OCT can discriminate between PPG eyes with stereophotographic evidence of progressive glaucomatous change and those without stereophotographic evidence of progressive glaucomatous change. As a result, the largest AROC is obtained with OCT temporal superior RNFL thickness (88%), followed by OCT global RNFL thickness (86%) and HRT rim area (72%) 7 and average RNFL thickness (89%), followed by inferior hemisphere average RNFL thickness (87%) and inferior quadrant average RNFL thickness (85%). 5
The focus of the current study was to discriminate PPGVFs, defined as normal according to Anderson-Patella's criteria, from VFs taken in healthy eyes. The PPGVFs were all taken from preperimetric OAG eyes that later went on to develop manifest glaucoma. Importantly, this study is unique, since any extra functional and/or structural measurements were not included; instead only SAP VFs were included. The Random Forests method was able to discriminate between PPGVFs and VFs from healthy eyes at least as well as FDT or SWAP can discriminate PPG eyes from normal eyes. This suggests that many PPGVFs have a retinal sensitivity distribution different from that observed in healthy eyes.
Pattern deviation (PD), TD values, MD, and PSD are displayed in VF test results alongside their associated significance levels; these are calculated by comparing the observed results against a normative database. Consequently, the diagnosis of glaucoma, based only on SAP measurements' significance levels, is difficult in early glaucoma where there may be considerable overlap between the range of sensitivity values of normal eyes and early glaucomatous eyes. 42 This phenomenon may be especially apparent with SAP in which all types of ganglion cells are stimulated. 43
Anderson-Patella's criteria 22 adopt PD values, instead of TD results, to diagnose glaucoma, since it is believed that these values help to eliminate the effects of cataract on the measured retinal sensitivity. 44 Since eyes with cataract were excluded from both groups in the current study, using PD values in the Random Forests classifier instead of TD values is unlikely to offer any improvement; indeed, the use of PDs instead of TDs did not improve the AROC associated with the Random Forest method to discriminate PPGVFs and healthy VFs (AROC: 77.0% [CI: 70.9%–83.1%]).
We have shown that the Random Forests classifier can distinguish a considerable proportion of PPGVFs from healthy VFs (sensitivity was equal to 59.6%, 40.4%, and 25.1% at specificity of 80%, 90%, and 95%, respectively). This level of discrimination could possibly be increased if SAP testing procedures were modified. For example, the 30-2 test grid of the HFA has test points located in 6-degree intervals, which is not ideal for detecting 45 and evaluating 46 – 48 glaucomatous VF change because small, localized VF changes may be missed; instead, only less apparent deteriorated sensitivity is shown on VF, if these occur in between test points. Indeed, recent research has shown that adoption of a HFA 10-2 test program reveals glaucomatous VF defects in 16% of eyes whose HFA 24-2 test results are normal. 49
Interestingly, 12.3% of PPGVFs had a PSD value above +2.5 dB, whereas only 2.8% of the healthy VFs had a PSD above that value. There was a significant difference in the TD values in 25 ( P < 0.001) of 52 VF test points; however, the contribution of these test points to the discrimination was much less than that of PSD ( Fig. 4 ). This is probably because the VF area primarily affected in glaucoma varies among patients and no one test point can serve as a universal landmark of glaucomatous VF deterioration. However, TD values in the superior nasal step and arcuate area close to the blind spot showed relatively strong contributions to the discrimination ( Fig. 4 ), being compatible with the importance of Bjerrum and superior nasal step area as initial sites of glaucomatous damage. On the other hand, deterioration of PSD, representing un-uniformity of the damage at each test point, should be independent of the location of the initial VF deterioration. Thus, clinicians should be advised to treat patients carefully when PSD is above 2.5 dB, even if it is not deemed significant deterioration (i.e., P < 0.05). Agreeing with this result, the Ocular Hypertension Treatment Study has reported that PSD at baseline is the only VF parameter that significantly contributes to the future development of primary OAG. 50
All of the analyses in the current study were carried out by using existing statistical software, specifically the language “R” which is an open source statistical program. In the current study, the leave-one-out cross-validation with the Random Forests method was performed, in which the original data set was split into validating (one subject) and training (all of other subjects) data sets, being repeated for the number of subjects in the original data set so that all of the subjects were used as validating data once. This is equivalent to predicting the diagnosis of a new patient (validating data set) by using the Random Forests diagnosis system trained by using the previous training data set in clinics. Thus, a Random Forests clinical support tool could be built simply on a personal computer; clinicians would then be able to diagnose a new patient's VF with the sensitivity and specificity shown in Figure 3 .
In the current study, only normal VFs from healthy eyes were included (abnormal VFs from healthy eyes were excluded from analyses), as the purpose of this study was to compare normal VFs against PPGVFs; however, in clinical settings, a substantial number of abnormal VFs are observed owing to high variability, but also as a result of various disorders, such as systemic disorders. Thus, a limitation of the current study is that the results cannot be directly applied to discriminate between normal and nonglaucomatous abnormal VFs.
A limitation of the current study is that the average age of the PPG group was significantly greater than that of the healthy group. This may have an influence on the PSD value; however, any impact is likely to be minimal because it is already corrected for age; indeed, we did not observe a significant relationship between age and PSD in the current population ( P = 0.90, data not shown). A further limitation of the present study concerns the lack of external validation. Unfortunately, as far as we know, no previous studies have investigated PPGVFs longitudinally, but instead have collected PPGVFs in a cross-sectional manner with no confirmation that they convert to glaucomatous VFs. Thus, we have used leave-one-out cross-validation whereby, for each individual, only the data from other subjects were used in the model's prediction. Thus, there is no overlap between the “training” and “validation” data sets. Nonetheless, it would be desirable to carry out a further study to validate the current results by using an external, independent data set.
In conclusion, we showed that considerable differences exist between SAP VFs of “preperimetric” glaucoma patients and the VFs of healthy subjects. Furthermore, eyes with such preperimetric glaucoma VFs can be discriminated from normal eyes, by using the Random Forests method with an AROC, at least as well as those reported for FDT or SWAP. 11 , 16 , 17
Acknowledgments
Supported in part by Technology Agency (JST) CREST (RA and HM) and Grants 25861618 (HM) and 26462679 (RA) from the Ministry of Education, Culture, Sports, Science and Technology of Japan.
Disclosure: R. Asaoka , None; A. Iwase , None; K. Hirasawa , None; H. Murata , None; M. Araie , None
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Figure 1
Mean and standard deviation of the total deviation values of healthy and preperimetric glaucoma visual fields (PPGVFs). The number in brackets below the mean value represents the standard deviation. ( a ) Normal eyes. ( b ) Preperimetric glaucoma eyes. *Significant difference between the healthy and PPGVFs with the significance level of P < 0.001 (written in red ; linear mixed-effects model). TD values in the 22 outermost test points (gray) were excluded from analysis.
Figure 1
Mean and standard deviation of the total deviation values of healthy and preperimetric glaucoma visual fields (PPGVFs). The number in brackets below the mean value represents the standard deviation. ( a ) Normal eyes. ( b ) Preperimetric glaucoma eyes. *Significant difference between the healthy and PPGVFs with the significance level of P < 0.001 (written in red ; linear mixed-effects model). TD values in the 22 outermost test points (gray) were excluded from analysis.
Figure 2
Boxplots comparing mean deviation and pattern standard deviation values in healthy visual fields and preperimetric glaucoma visual fields (PPGVFs). ( a ) Mean deviation. ( b ) Pattern standard deviation. P values were calculated by using the linear mixed model.
Figure 2
Boxplots comparing mean deviation and pattern standard deviation values in healthy visual fields and preperimetric glaucoma visual fields (PPGVFs). ( a ) Mean deviation. ( b ) Pattern standard deviation. P values were calculated by using the linear mixed model.
Figure 3
Receiver operating characteristic curves obtained with the Random Forests method. The AROC with the Random Forests method was 79.0% (CI: 73.5%–84.5%). The optimal cut point was at a voting rate equal to 53.8% where the sensitivity was 86.5% and specificity was 62.0%, using Youden's method. 40
Figure 3
Receiver operating characteristic curves obtained with the Random Forests method. The AROC with the Random Forests method was 79.0% (CI: 73.5%–84.5%). The optimal cut point was at a voting rate equal to 53.8% where the sensitivity was 86.5% and specificity was 62.0%, using Youden's method. 40
Figure 4
The 15 most important parameters in the Random Forests diagnosing system. Left figure represents the VF test points numbers. The outermost test points were not used. The right figure shows the 15 most important visual field parameters, which were decided by calculating the total decrease in node impurities by permuting each variable in each tree and observing the decrease of the Gini index, followed by normalizing by the standard deviation of the difference.
Figure 4
The 15 most important parameters in the Random Forests diagnosing system. Left figure represents the VF test points numbers. The outermost test points were not used. The right figure shows the 15 most important visual field parameters, which were decided by calculating the total decrease in node impurities by permuting each variable in each tree and observing the decrease of the Gini index, followed by normalizing by the standard deviation of the difference.
Table
Characteristics of the Study Participants
Table
Characteristics of the Study Participants
Normal Group Glaucoma Group P Value Sex, male/female 35/52 26/25 0.09 Eye, right/left 51/57 27/26 0.78 Age, mean ± SD, y 50 ± 16 55 ± 15 0.008 Refractive error, diopter, mean ± SD −0.15 ± 1.1 −0.55 ± 0.33 0.21
P value: comparison between glaucoma and normal groups (unpaired t -test for numerical data and χ 2 test for categorical data).
| https://iovs.arvojournals.org/article.aspx?articleid=2212636 |
06/06/84 DENNIS SHERROD v. UNITED STATES | District of Columbia Court of Appeals | 06-06-1984 | www.anylaw.com
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06/06/84 DENNIS SHERROD v. UNITED STATES
ROGERS, Associate Judge: Appellant was convicted by a jury of murder in the first degree while armed (D.C. Code §§ 22-2401, -3202 (1981)) and assault with intent to kill (id. §§ 22-501, -3202). He seeks reversal of his convictions on the grounds that the prosecutor's conduct in examining witnesses and closing argument denied him a fair trial; the trial Judge erred in allowing inadmissible hearsay into evidence through a detective's testimony about two conversations with the surviving victim and through a witness' written statement to the police; the trial Judge's revocation of his bond during trial had a prejudicial and chilling effect on the fairness of his trial; and the trial court erred in refusing to allow defense counsel to read from the trial transcript during his closing argument. 1
We conclude after reviewing the record, Part I, that neither the prosecutor's conduct in examining witnesses nor his closing argument amounts to misconduct warranting reversal. Our Discussion of the prosecutor's closing argument, Part II, does indicate certain misconduct, but none so substantial as to require reversal; nor do we find, as appellant urges, that the cumulative effect of the prosecutor's conduct was plain error. With regard to the hearsay objections, Part III, we hold that the identification testimony was admissible under an exception to the hearsay rule, but the testimony recounting the victim's description of the assaults and the witness' police report were inadmissible prior consistent statements; their admission was not reversible error, however, in view of the witnesses' testimony, which was subject to cross-examination, and other circumstances indicating the reliability of the statements. We also find, Part IV, no prejudice to appellant as a result of the revocation of his bond at the close of the government's case. Upon review of the trial Judge's denial of defense counsel's request to read from the trial transcript during his closing argument to the jury, Part V, we decline to adopt a per se rule prohibiting such a practice, but find no prejudice to appellant and no abuse of discretion in this case. Accordingly, we affirm the judgments of conviction.
I.
The Government's Evidence
On October 14, 1981, Gary Primrose received a letter informing him that his job application as a maintenance worker at Howard University had been accepted. He wanted to celebrate and that evening went to see his old friend Donald Moon about having a drink. Moon, who had won the numbers lottery, suggested they buy some heroin, being occasional users, and offered to pay. The two men then proceeded in search of a seller. At 14th and U Streets, N.W., a friend of Moon's joined them and they eventually approached a man who was standing in front of a Wings & Things carry-out. Moon brought "two quarters" of heroin from him. After injecting the heroin at an "oil pad" and discovering that the drugs had very little effect, they decided to try to get their money back, and returned to 14th and U Streets. They found the man who had sold them the drugs where they had left him a half hour earlier; that man, standing in front of the carry-out, was Steve Gordon.
Gordon testified that earlier in the evening he had gone to 14th and U Streets and approached appellant, who was standing on the street, about "some work." Gordon had known appellant, nicknamed "Chico," for about a year as a result of prior drug transactions at 14th and U Streets. Appellant agreed to let Gordon sell some heroin, and told him to go to the corner of 13th and W Streets, where "someone would come and see ." Gordon did so, and after he waited approximately ten minutes, someone unknown to him walked by and dropped a package at his feet. The package contained five "quarter" bags of heroin. Gordon injected one of the bags, but found that the heroin had almost no effect on him.
When Primrose, Moon and his friend returned to 14th and U Streets, Moon told Gordon that the heroin was "no good" and they wanted their money back. Gordon said they would have to check with "the dude across the street." Primrose recognized "the dude" as "Chico," whom he had known in high school. Gordon crossed the street to speak to appellant and then relayed to the three men that appellant said they could get their money back if they went into the alley with him. Gordon warned them not to go into the alley, but they went anyway. As Primrose, Moon and his friend entered the alley, appellant beckoned to "one of his buddies" to follow him.
According to Primrose, after they went past a bend in the alley, appellant turned and punched Moon in the face, knocking him down and saying "Yes, you want me to straighten it up? I am straightening it up." Appellant and two or three of his friends continued to beat Moon, and shortly thereafter, someone hit Primrose in the face and knocked him down. Appellant also came over and started punching him and Primrose became aware that appellant was stabbing him. One or two minutes later, Gordon, who had waited across the street from the alley, saw Moon's friend run out of the alley; three of five minutes after that Moon emerged from the alley, bleeding from the stomach. At that point Gordon left the area. Primrose "hobbled" out of the alley shortly thereafter and collapsed beside Moon who as lying on the street. They were eventually taken to Washington Hospital Center where Moon died at 10:30 p.m. that night.
The same night, between 9:30 p.m. and 10:00 p.m., Primrose told Homicide Detective Kilcullen that four men had stabbed him and he knew one of them as "Chico." Primrose was in the critical shock-trauma unit of the hospital and the interview had to be cut short because he was groaning in pain; he had been stabbed four times, his eyes were swollen and rolling and intravenous tubes were attached to his body. Two days later, Detective Kilcullen interviewed Primrose again. He was still in intensive care but recovering, although the intravenous tubes were still attached to his body. Primrose identified appellant from an array of ten photographs. 2Appellant was arrested two days later in a vacant lot next to the Wings & Things carry-out on 14thStreet; a knife was recovered from his rear pants pocket.
The Deputy Medical Examiner, Dr. Kim, performed an autopsy on Moon's body and testified, as an expert in forensic pathology, that the cause of death was multiple stab wounds. He found ten stab wounds in Moon's body, eight of which were between 3/4 and 1 inch wide. In his opinion, all ten of Moon's stab wounds could have been caused by a knife with the same dimensions as the knife recovered from appellant. 3Dr. Kim also found a contusion on Moon's face but no indication of wounds which would have resulted from Moon trying to defend himself. Dr. Kim detected a small amount of morphine, alcohol and quinine in Moon's body, which indicated he had injected heroin, and found track marks on Moon's arm, from which Dr. Kim concluded Moon was a drug addict. 4
The Defense Evidence
Appellant's defense was a combination of innocent presence and misidentification. Two of his friends testified they saw appellant in the alley on the night of the murder, but denied he had been involved with the assaults on Moon and Primrose. Appellant's mother and father testified that appellant lived at home and had often left the knife, which was on him when he was arrested, on his bureau at home; his mother also testified she had not noticed any tears or blood stains on his clothing when she did his laundry for the week in which the murder occurred. Appellant testified that he was in the alley on the night of the murder playing craps but did not know much about the assaults other than that he was not involved.
Darian Patterson, a good friend of appellant's testified that he had accompanied appellant in his search for a crap game and was with appellant in the alley where the murder occurred. They had gone into the alley to gamble in a dice game with ten or fifteen other people. According to Patterson, after about an hour, and while appellant was intent upon the game, Patterson saw two men, Moon and "Penrose," approach the game. 5One of the players in the crap game stood up and confronted the newcomers. Cursing followed and one of the newcomers, Moon, punched the player in the face and knocked him down. When he fell, three of his friends, who had been gambling, pulled out knives (about five to six inches long) and began stabbing Moon and "Penrose." Then the player who had been knocked down got up and pulled out a gun. At that point, Patterson tapped appellant on the shoulder and they, and everyone else, ran out of the alley, leaving Moon and "Penrose" on the ground. The cross-examination recounted the details of the assaults and Patterson testified that Ligon, Poole, Williams and Witherspoon were also in the alley that night, but he could not remember who else was there. 6
Harold Ligon testified that he and appellant had gambled together for a couple of years. Ligon said he was already in the crap game on the night of the murder when appellant and Patterson had joined the game. Sometime later, according to Ligon, two other men approached the game and as they did, one of the players in the game stood up and punched the shorter newcomer, Primrose, and knocked him down. Primrose, cursing and stuttering, sat up and pulled out a gun. Three of the player's friends grabbed the taller newcomer, Moon, and pulled out knives. Ligon then left the alley. On cross-examination he described the details of the assaults, and changed his testimony about who else was in the alley, claiming he was confused. 7
Appellant testified he was 24 years old, lived with his parents and two sisters, had completed the eleventh grade and had been doing maintenance work for a man in the neighborhood in October of 1981. He knew Primrose from high school where they had played basketball; they were not close friends, but held no grudges. Since high school he had only seen Primrose every other month on 9th Street, 14th Street, and Georgia Avenue.
Regarding the night of the murder, appellant testified he was in the alley to play craps, but had not seen Moon or Primrose and did not see the assaults. He explained that when an argument had started, he was focusing on the crap game, having won over four hundred dollars. When he looked up he saw some people in the alley "wrestling," but he did not see anyone get hit. As everyone else began to run out of the alley, he picked up all of the game money and then ran out too. On cross-examination, he denied the truthfulness of Primrose's and Gordon's testimony and claimed the arresting officer was wrong about finding a knife in his back pocket, as he kept it in his waist. He also claimed he did not know Gordon.
II.
Appellant alleges a variety of errors regarding the conduct of the prosecutor in questioning witnesses, offering certain evidence, and closing and rebuttal arguments. He contends the prosecutor asked his witnesses leading questions, badgered appellant on cross-examination, and grossly misstated and distorted the evidence with the result that appellant was denied due process of law and a fair trial. Our review of the record indicates that only four allegations of error merit Discussion: the prosecutor's effort to elicit testimony about fear of appellant, the prosecutor's reference to two defense witnesses who did not testify, alleged inflammatory questioning, and the closing arguments. Other allegations of error relating to the scope of examination and leading questions are matters within the sound discretion of the trial court, and we find no abuse of discretion. We first address separate allegations of error, then the closing arguments and conclude with a Discussion of the impact of the prosecutor's conduct on appellant's right to a fair trial.
A.
Appellant has emphasized in his claims of error the prosecutor's injection into the trial of the government witnesses' fear of appellant. One example is illustrative. He contends that the prosecutor's attempt to elicit testimony from Gordon that he was afraid of appellant was improper. Before testifying, and out of the presence of the jury, Gordon had appeared with his attorney to request a ruling on whether he had waived his Fifth Amendment privilege against self incrimination by testifying before the grand jury; he intended to assert the privilege and refuse to testify in appellant's case. When the trial Judge ruled that he had waived the privilege, Gordon's attorney asked the trial Judge to order him to testify, in the presence of appellant, under penalty of contempt, which the trial court did. The prosecutor did not mention the incident during his direct examination of Gordon. However, on cross-examination defense counsel asked Gordon when he had contacted an attorney concerning his testimony and whether his attorney had come to court with him that day. No explanation of the reason Gordon had contacted a lawyer was given. On redirect examination the prosecutor asked Gordon several questions in an attempt to elicit that he had contacted a lawyer because he was afraid to testify against appellant and sought to avoid doing so. When defense counsel objected to the prosecutor's question of why Gordon had contacted a lawyer, the trial court ruled that defense counsel had brought up the subject and the prosector could probe the area. This was correct, Johnson v. United States, 298 A.2d 516, 518 (D.C. 1972), and thus the evidence was properly before the jury.
The government concedes, however, that certain questions by the prosecutor were gratuitous, although not plain error. In asking appellant whether Primrose had lied when he identified appellant as one of his assailants, the prosecutor referred to Primrose not "know whether he was going to live or die," and testifying in front of appellant while his friends were in the witness room. There was evidence before the jury that Primrose was in intensive care after the attack, but no evidence that he was, in fact, near death. The prosecutor's reference to appellant's friends in the waiting room implied that Primrose had identified Patterson and Ligon. We agree that the questions do not constitute plain error. While an objection might have been sustained, 8appellant did not object to them at trial and their allowance was not an abuse of discretion. Harling v. United States, 382 A.2d 845, 847 (D.C. 1978). Contrary to appellant's contentions, the questions were not without evidentiary basis. King v. United States, 125 U.S. App. D.C. 318, 329, 372 F.2d 383, 394 (1967) (error for prosecution to make assertions of fact to the jury, in form of question, without basis in evidence).
Appellant also argues that despite a sustained objection, the prosecutor's questions concerning appellant's failure to call two witnesses (Poole and Witherspoon) were improper and require that his conviction be reversed. It is improper, under some circumstances, for a prosecutor to ask a defendant what his missing witness' testimony would have been. See Thomas v. United States, 447 A.2d 52, 58 (D.C. 1982) (citing Graves v. United States, 150 U.S. 118, 37 L. Ed. 1021, 14 S. Ct. 40 (1893)). We find no error insofar as the prosecutor was entitled to ask appellant who was in the alley since the defense witnesses, Patterson and Ligon, had contradicted each other about whether or not Poole and Witherspoon were in the alley. But when the prosecutor asked what Poole's and Witherspoon's testimony would have been and why they were introduced at voir dire as defense witnesses (to which the defendant gave no answer), the trial Judge properly sustained the defense objection. In the absence of a prior ruling on missing witnesses by the trial court, it would be improper for the prosecutor to pursue questioning which would suggest to the jury that their testimony would be adverse to appellant. We are satisfied, however, that these questions did not contribute to the conviction. United States v. Free, 141 U.S. App. D.C. 198, 202-03, 437 F.2d 631, 635-36 (1970); see Reed v. United States, 403 A.2d 725, 730 n.7 (D.C. 1979); accord Parks v. United States, 451 A.2d 591, 614 (D.C. 1982), cert. denied, 461 U.S. 945, 103 S. Ct. 2123, 77 L. Ed. 2d 1303 (1983) (prosecutor's failure to seek court permission for "missing witness" argument not "grave misconduct" since argument "did not directly urge the jury to draw . . . an inference adverse to appellant.") (quoting Fletcher v. United States, 335 A.2d 248, 250 (D.C. 1975)). The number of questions was limited and once the objection was sustained the prosecutor moved on to ask appellant about who he remembered being in the alley.
We note that there was no objection by the defense to the prosecutor's question which indicated that appellant had heard everyone else testify before he took the witness stand. This court has indicated it is impermissible for the prosecutor to comment in closing argument on appellant's exercise of his Sixth Amendment right to confront witnesses. (Phillip) Dyson v. United States, 418 A.2d 127, 131 (D.C. 1980) and cases cited therein. Accomplishing the same result by cross-examination is no less objectionable, since the prosecutor thereby can also seek to have the jury draw impermissible inferences from appellant's exercise of his constitutional right to confront witnesses. See Fornah v. United States, 460 A.2d 556, 559-60 (D.C. 1983) (improper to ask defendant on cross-examination why he did not testify before grand jury). 9Such references should, therefore, be avoided in questioning. The prosecutor had been focusing on the physical evidence which was found in the alley after the murder and his questions were designed to point out that there was no evidence of a crap game; the objectionable part of the question was unnecessary to accomplish this legitimate purpose. Still we conclude that the question does not constitute plain error. It does not appear to have been prominent during the impeachment or intended, in this context, to do more than explore appellant's direct testimony about what had happened in the alley on the night of the murder. See Fornah, supra, 460 A.2d 560-61 (in closing argument, no plain error where intent by prosecutor was not to undercut constitutional rights but to suggest theory of case based on permissible inferences from evidence).
B.
In the event none of the several allegations of prosecutorial misconduct requires reversal, appellant contends reversal of his convictions is nonetheless required because the instances of improper conduct by the prosecutor amount to a "veil of prejudice" which deprived him of a fair trial and due process of law. We disagree.
The main thrust of appellant's "veil of prejudice" claim is directed at the prosecutor's closing and rebuttal arguments. Since appellant's trial counsel did not object to either, we may reverse only if the misconduct rises to the level of plain error. Watts v. United States, 362 A.2d 706, 708 (D.C. 1976) (en banc). The analysis which is required when a claim of prosecutorial misconduct during argument is raised for the first time on appeal has been stated by this court as follows:
We first evaluate for misconduct the asserted examples of improper comment. If we find that misconduct occurred, we then determine whether the erroneous statements rose to the level of "substantial prejudice." (Phillip) Dyson v. United States, 418 A.2d 127, 132 (D.C. 1980). As appellant failed to object at trial, we will reverse his conviction only if this substantial prejudice so clearly prejudiced his substantial rights as to jeopardize the very fairness and integrity of his trial. Watts v. United States, 362 A.2d 706, 709 (D.C. 1976) (en banc).
McCowan v. United States, 458 A.2d 1191, 1196-97 (D.C. 1983). In determining whether the prosecutorial misconduct was substantially prejudicial and thus infected the verdict, we must employ a balancing test:
The applicable test in this jurisdiction in determining whether prosecutorial misconduct infects a verdict is to balance, on the one hand, the gravity of the misconduct, its direct relationship to the issue of innocence or guilt, and the effect of specific corrective instructions by the trial court, if any, against the weight of the evidence of appellant's guilt.
Villacres v. United States, 357 A.2d 423, 428 (D.C. 1976); (Duane) Dyson v. United States, 450 A.2d 432, 437 (D.C. 1982).
The prosecutor began his closing argument by suggesting that appellant was on trial because he was careless in his dealings with Gordon and Primrose as evidenced by the fact they had testified against him at trial. The remainder of his argument was predominantly a restatement of the evidence and argument based on reasonable inferences therefrom, but at times, the prosecutor went beyond such inferences by referring to matters within his personal knowledge. The government has conceded as much during oral argument with respect to the prosecutor's comments about what it takes to survive at 14th and U Streets, but argues there was rhetoric on both sides in this hard fought case and nothing the prosecutor did was misconduct in view of the evidence before the jury.
We agree there was considerable evidence on which the prosecutor could base his inferences about appellant's activity at 14th and U Streets. Indeed, some of the argument about which appellant now complains was based on testimony elicited by defense counsel in an effort to rebut the government's strong identification evidence. 10Thus, except as discussed below, our review of the record indicates that appellant's contentions amount primarily to a complaint about emphasis, which is insufficient here to support a finding of prosecutorial misconduct. Accord Parks, supra, 451 A.2d at 612 & n.43; Viereck v. United States, 318 U.S. 236, 247-48, 87 L. Ed. 734, 63 S. Ct. 561 (1943).
The prosecutor did err in expressing his personal belief during closing argument about appellant's alleged state of mind during the offense and trial. He told the jury that appellant and his friends "thought they had left behind two dead men" and that when Gordon appeared to testify he "gave Mr. Sherrod here the surprise of his life. . . ." 11This court has admonished lawyers "to eschew personal opinions in the course of arguments to juries because this can divert jurors from their role." (Phillip) Dyson, supra, 418 A.2d at 130; McCowan, supra, 458 A.2d at 1198; Bates v. United States, 403 A.2d 1159, 1163 (D.C. 1979); Jenkins v. United States, 374 A.2d 581, 584 (N.D.), cert. denied, 434 U.S. 894, 54 L. Ed. 2d 182, 98 S. Ct. 274 (1977); Villacres, supra, 357 A.2d at 425-26; Hyman v. United States, 342 A.2d 43, 45 (D.C. 1975). The purpose of the rule that an attorney should not express his or her opinion on the ultimate issues in the case to the jury during closing argument is "to keep the focus on the evidence and to eliminate the need for opposing counsel to meet 'opinions' by urging his own contrary opinion." Harris v. United States, 131 U.S. App. D.C. 105, 107, 402 F.2d 656, 658 (1968) (emphasis in original). 12
The prosecutor's argument about the demeanor of two witnesses also contained expressions of personal opinion. While the prosecutor is entitled to comment on the witnesses' objective demeanor, he is not permitted to argue, in the absence of evidence in the record, about a witness' fear where to do so "exceeds the bounds of permissible comment by invading the province of the jury's responsibility to assess the demeanor of the witnesses." (Phillip) Dyson, supra, 418 A.2d at 130; McCowan, supra, 458 A.2d at 1198 & n.12. We do not dispute the government's contention that there was evidence on which reasonable inferences about Gordon's and Primrose's fears could be based, and in rebuttal, the prosecutor could properly respond to defense counsel's argument to the jury that the witnesses' subsequent dealings with appellant belied their fear of appellant. Medina v. United States, 315 A.2d 169 (D.C. 1974). That there was some objective evidence on which reasonable inferences about the witnesses' fears could be based does not change the rule that subjective demeanor evidence is for the jury to evaluate. (Phillip) Dyson, supra; McCowan, supra. What the jury sees in a witness' face or hears in a witness' voice is for the jury to determine, not counsel. Thus, it was improper for the prosecutor to tell the jury that it saw fear in the faces and voices of Gordon and Primrose. 13It was also improper for the prosecutor to comment that Primrose's difficulty in saying appellant's name, "Chico," was evidence of his fear; his speech difficulty is equally consistent, on the record before us, with the evidence that he stuttered, and the assessment of his difficulty was for the jury to determine. 14
As other claims of prosecutorial misconduct, appellant contends that the prosecutor's comments on the credibility of the two defense witnesses and on appellant's decision to testify last were improper. This court has held that it is error for the prosecutor to express an opinion about the veracity of a witness. (Phillip) Dyson, supra, 418 A.2d at 130; Powell v. United States, 455 A.2d 405, 408 (D.C. 1983). However, the comments challenged here were reasonable inferences from the summarized testimony of the two defense witnesses; their testimony was full of inconsistencies and the prosecutor was free to comment on them. United States v. Jones, 157 U.S. App. D.C. 158, 164-65, 482 F.2d 747, 753-54 (1973); Arnold v. United States, 467 A.2d 136, 137-38 (D.C. 1983). Conversely, as previously noted, a prosecutor's comment during closing argument on a defendant's decision to testify last has been construed by this court as an attempt to have the jury draw adverse inferences from the defendant's exercise of his constitutional right to confront witnesses and is thus impermissible. (Phillip) Dyson, supra, 418 A.2d at 131; Jenkins, supra, 347 A.2d at 584.
Appellant also contends that the prosecutor grossly misstated the evidence. As an example he cites the prosecutor's argument to the jury summarizing Dr. Kim's testimony. Contrary to one of the prosecutor's statements, Dr. Kim had not expressed his medical opinion about whether any one of the stab wounds would have been fatal; his testimony was that multiple stab wounds caused Moon's death and eight of the ten wounds were deep. Hence, the prosecutor's comment amounted to unsworn testimony, which is forbidden. However, immediately following the single stab comment the prosecutor reviewed Dr. Kim's testimony in detail. There was also evidence to support the inference regarding the vicious and gratuitous nature of the assaults. Thus, we view the objectionable comment, and others cited by appellant, as being of the type described by the Supreme Court in Donnelly v. DeChristoforo, 416 U.S. 637, 646-47, 94 S. Ct. 1868, 40 L. Ed. 2d 431 (1974), and find insufficient grounds upon which to conclude the prosecutor's action should be deemed a deliberate effort to mislead the jury. 15
During a part of the prosecutor's rebuttal argument, appellant contends the prosecutor engaged in a form of argument that this court has condemned. See McCowan, supra, 458 A.2d at 1199; Powell, supra, 455 A.2d at 410 and cases cited therein. He suggests the prosecutor's comments about the way in which appellant lived, appellant's position of authority on 14th Street, his "friends," and what appellant "counted on" were designed to inflame the jury and introduce irrelevant factors, unrelated to the evidence at trial, into the jury's deliberations. We agree that some of the prosecutor's comments could better have been left unsaid, Sellars v. United States, 401 A.2d 974, 977 (D.C. 1979), but find that a substantial portion of the rebuttal argument was in response to the defense counsel's closing, which invited the prosecutor to attack the defense characterizations of the evidence, the government's witnesses and appellant. 16See Christian v. United States, 394 A.2d 1, 33 n.86 (D.C. 1978), cert. denied, 442 U.S. 944, 99 S. Ct. 2889, 61 L. Ed. 2d 315 (1979); Watts v. United States, 449 A.2d 308, 313 (D.C. 1979); Medina, supra, 315 A.2d at 170-71; Arnold, supra, 467 A.2d at 138 ("the prosecutor's comments were more in the nature of argumentation than outright expressions of personal opinion"). Viewed in context, the prosecutor's references to appellant's activities were consistent with reasonable inferences from the evidence about what he was doing on the night of the murder and what he did at 14th and U Streets. Tuckson v. United States, 364 A.2d 138, 142 (D.C. 1976); see Jackson v. United States, 329 A.2d 782, 791 (D.C. 1974). The rebuttal argument was not lengthy, and was followed by the instructions to the jury that counsel's arguments were not evidence and that the jury was the sole Judge of credibility and the facts.
C.
Having reviewed appellant's claims of misconduct, we consider whether the instances of prosecutorial misconduct constitute plain error. In evaluating the relationship of the misconduct to the issue of innocence or guilt, we note that the prosecutor aggressively presented the government's evidence, extensively cross-examined the defense witnesses and forcefully argued to the jury that he had proved his case. His trial performance unquestionably attacked the picture of appellant which defense counsel presented through testimony and in his closing argument to the jury. (Phillip) Dyson, supra, 418 A.2d at 129 ("It is beyond dispute that the government may prosecute vigorously and zealously."). Aspects of the prosecutor's conduct, as we have noted, should be, and we trust will be, avoided in the future. But the instances in which the prosecutor acted improperly, while not condoned, do not, as appellant urges, separately constitute plain error or add up to an impermissible course of intentional misconduct throughout the trial. 17
Thus, for example, the prosecutor's comments which involved personal opinion related to how appellant was perceived by others and did not bear directly on appellant's credibility. 18His objectionable comment that appellant testified last arose in the context of highlighting the conflicting testimony of defense witnesses. In view of this court's previous admonition to the trial court not to countenance such comments on a defendant's presence (Jenkins, supra, 374 A.2d at 584), the absence of admonition by the trial court lends some credence to the notion that, in context, the comment was not viewed as prejudicial. See Reed, supra, 403 A.2d at 730-31 n.7. Nor did the prosecutor's misstatement of the medical testimony relate directly to the innocence or guilt of appellant.
The trial Judge twice instructed the jury that the arguments of counsel were not evidence. He told the jury that "in the heat of the argument may give you what they believe to be the evidence in the case," but the arguments are not evidence, they are only "the contentions of both sides." 19The trial Judge also explained the purpose of the closing arguments to the jury and repeated a second time that the arguments are not evidence. His instructions to the jury also included the standard instructions that the jury is to determine the facts, the weight, effect and value of the evidence as well as the credibility of witnesses, and that their recollection controls over references by either counsel to matters of evidence. The jury is presumed, unless the contrary appears, to follow the instructions, Smith, supra note 17, 315 A.2d at 167, and we find nothing in the record to suggest that the jury did not do so.
Finally, the weight of the evidence of appellant's guilt was very strong. Not only was there an eyewitness (Primrose) to the murder and assault, but the appellant was known to the eyewitness, thus weakening his defenses of innocent presence and misidentification. The testimony of a second witness (Gordon), who saw the events immediately before and after the assaults, provided strong corroboration of the eyewitness' testimony; this witness also knew appellant from prior associations and had spoken with him on the night of the murder. Appellant's witnesses did little to strengthen his defense; his two friends not only contradicted each other on key points, but confirmed parts of the government's evidence. Appellant's own testimony placed him at the scene of the assaults and he was arrested with a knife which was similar to the weapon which inflicted Moon's wounds.
Accordingly, we hold, after applying the balancing test enunciated in Villacres, that the challenged remarks were not so clearly prejudicial as to jeopardize the fairness and integrity of the trial. What appellant now terms "flagrant, egregious and intentional misconduct of the prosecutor" was either objected to by defense counsel and sustained by the trial Judge, or did not cause defense counsel to object at all. Parks, supra, 451 A.2d at 613 (failure to object "constitutes some evidence that appellants did not immediately perceive the challenged argument as prejudicial."). His allegation that the accumulation of incidents was "severely prejudicial" ignores the evidence which was before the jury as well as the active role of defense counsel and the rulings of the trial Judge. Moreover, this court has "held consistently that a determination of whether prosecutorial misconduct amounts to prejudicial error depends in good part on the relative strength of the government's case." (Duane) Dyson supra, 450 A.2d at 439 (citing Smith supra, 315 A.2d at 166); see also Reed supra, 403 A.2d at 731, and cases cited therein. We hold the errors here did not so affect the conduct of the trial as to deny appellant a fair trial, and do not rise to the level of plain error requiring reversal of his convictions.
III.
Appellant's second claim of error concerns hearsay evidence. He contends that the trial court committed reversible error by admitting into evidence Detective Kilcullen's testimony about two conversations with Primrose shortly after the killing, and by admitting the written statement which Gordon gave to the police shortly after the murder.
Detective Kilcullen testified that on the night of the assaults Primrose identified "Chico" as one of his assailants and provided a physical description. The detective also testified that during a second interview two days later Primrose identified appellant from a photo spread and then repeated Primrose's statements about the drug sale and the attacks in the alley. No objection was made to the testimony about the second interview. 20
The testimony about the first conversation was admissible as substantive evidence under an exception to the hearsay rule for prior description testimony, Morris v. United States, 398 A.2d 333, 338 (D.C. 1978). The testimony regarding the photo spread identification at the second interview was admissible under the hearsay exception for prior identification testimony. Rice v. United States, 437 A.2d 582 (D.C. 1981). However, the testimony recounting Primrose's description of the sale and the attacks was a prior consistent statement which was inadmissible under any exception to the hearsay rule.
It is well settled that prior consistent statements of a witness are inadmissible to support one's own unimpeached witness. Rease v. United States, 403 A.2d 322, 327 (D.C. 1979). Such statements are admissible "only in those 'exceptional situations' in which they can be of very clear help to the factfinder in determining whether the witness is truthful." Id. (quoting Coltrane v. United States, 135 U.S. App. D.C. 295, 304, 418 F.2d 1131, 1140 (1969)). Furthermore, if rehabilitation after impeachment is required, the evidence must be directed only at the particular impeachment involved. Rease, supra, 403 A.2d at 328. These statements are excluded because "mere repetition does not imply veracity." Coltrane, supra, 135 U.S. App. D.C. at 304, 418 F.2d at 1140.
The exceptions to this general prohibition are well defined. 21The government offers no justification which would render the testimony recounting Primrose's story admissible and we can find none. 22However, the declarant, Primrose, was available for cross-examination and had in fact been cross-examined, and the detective's testimony was brief and "substantially comported with the declarant's testimony at trial." Johnson v. United States, 434 A.2d 415, 420 (D.C. 1981). Accordingly, we hold that the error in admitting the detective's testimony concerning Primrose's prior consistent statements, was not plain error.
Gordon's statement to the police was also inadmissible hearsay. The prosecutor offered the statement for admission into evidence without any proffer of the justification for its admission, and the trial Judge admitted it without explanation over defense counsel's objection to its admission as hearsay. Gordon's statement to the police would have been admissible only under the exception which permits admission of a prior consistent statement if portions of the statement have been used during cross-examination to impeach the witness, and it also contains relevant information to meet the force of the impeachment. Coltrane, supra, 135 U.S. App. D.C. at 304, 418 F.2d at 1140; Sherer, supra note 21, 470 A.2d at 740 n.8.
During direct examination, the prosecutor asked Gordon whether he had seen appellant after his arrest, and about the substance of any conversations they had had. Gordon replied he had seen appellant by chance on the street and that appellant had asked if he had spoken to the police. On recross-examination, defense counsel attempted to impeach Gordon, in order to show that he was not afraid of appellant, by questioning when he had first mentioned this conversation to the police or the prosecutor; defense counsel referred to the fact the statement which Gordon had given to the police did not mention a subsequent meeting. To rehabilitate Gordon's testimony, the prosecutor asked whether he had spoken with appellant before he gave the statement to the police, and Gordon replied he had not. Therefore, the only relevance of the statement was the date on which it was given and no justification existed for the admission of the entire statement simply to show the date. 23
We hold that Gordon's statement to the police was inadmissible hearsay as to all except the date, and therefore, its admission was error. The error does not require reversal, however. Although the statement was potentially prejudicial because it reinforced Gordon's credibility, there "was ample indication of the truthfulness of testimony, apart from the out-of-court , to enable the jury reasonably to have found him a credible witness." Reed v. United States, 452 A.2d 1173, 1181 (D.C. 1982). His testimony about the drug sale was consistent with Primrose's testimony and partly corroborated by Moon's wounds and the presence of heroin in his system. It was contradicted by appellant's friends, but their credibility was substantially impeached by their conflicting testimony. We note, too, that defense counsel, who first brought Gordon's statement to the jury's attention, had an opportunity prior to trial to prepare to meet the force of the statement. The trial Judge instructed the jury on the limited purpose for which the prior consistent statement was admitted into evidence and under these circumstances we conclude that any prejudice to appellant was not so substantial as to require reversal of his convictions. Id.
IV.
Appellant's third claim of error involves the revocation of his bond during trial. He contends that he was prejudiced by the trial Judge's decision to revoke his bond at the close of the government's case and to detain him for the remainder of the trial. 24Appellant asserts the revocation had a chilling effect on his ability to testify free from fear and that his potential witnesses were placed in fear and led to believe the trial Judge was ill-disposed towards the defense. He also contends that the revocation had a prejudicial impact on the jurors, who could not have helped but notice the change in his status, and who likely attributed the court's actions to a belief on the part of the Judge in appellant's guilt. We find no error.
In Murphy v. Hunt, 455 U.S. 478, 71 L. Ed. 2d 353, 102 S. Ct. 1181 (1982), the Supreme Court held that a challenge to the constitutionality of pretrial detention is rendered moot after conviction of the underlying charges, and appellant, therefore, cannot challenge the trial Judge's authority to revoke his bond during trial. Appellant nonetheless contends that regardless of the authority of the trial Judge to take such action, the revocation constituted error because it prejudiced his right to a fair trial. Specifically, he alleges that on the first two days of trial the jurors had seen him outside of the courtroom and in the cafeteria and that his absence from those areas implied that he had been detained, which further implied that the trial Judge thought he was guilty as charged.
Essentially, appellant's contentions invite this court to engage in speculation that the jurors saw appellant outside of the courtroom and, assuming they had, that his subsequent absence was noticed by them with adverse consequences. Even if his absence was noticed, it is pure speculation to suppose that jurors would conclude he was not in the cafeteria because his bond had been revoked. 25Moreover, the trial Judge instructed the jury that it must not view his actions or comments as indicating either how he wanted the jury to determine the issues or facts, or his opinion or view of the facts. Our review of the record fails to uncover support for appellant's claim that he or his witnesses were hindered in their ability to testify, and we decline to speculate on the basis of appellant's unsupported assertions. Therefore, we find that appellant has not shown that prejudice resulted from his detention. Watts v. United States, 449 A.2d 308, 311 (D.C. 1982); Bostick v. United States, 400 F.2d 449, 452 (5th Cir.), cert. denied, 393 U.S. 1068, 21 L. Ed. 2d 712, 89 S. Ct. 725 (1969).
V.
Appellant's fourth claim of error relates to the use of trial transcripts during closing argument. He argues that the trial Judge's refusal to let defense counsel read from the trial transcripts of Primrose's and Gordon's testimony during his closing argument was extremely prejudicial because he could not otherwise overcome the prosecutor's alleged distortions of the evidence.
The trial Judge had initially agreed to let defense counsel read from the trial transcripts during his closing argument. When the prosecutor objected on the basis that this would highlight portions of the evidence in contravention of the rule that the juror's memory controls, the trial Judge ruled that defense counsel would be allowed only to refer to the transcript during his closing argument. In support of his position appellant relies on two cases which are inapplicable insofar as both concern the trial court's discretion to read portions of the transcript back to the jury upon the jury's request. United States v. McCoy, 517 F.2d 41, 44 (7th Cir. 1975); Stone v. United States, 506 F.2d 561 (8th Cir. 1974). Both courts concluded, however, that the issue was committed to the sound discretion of the trial court. 26
There is precedent for allowing counsel to read portions of the transcript during closing argument. United States v. Kuta, 518 F.2d 947, 954 (7th Cir.), cert. denied, 423 U.S. 1014, 46 L. Ed. 2d 385, 96 S. Ct. 446 (1975) ("no reason to establish per se rule penalizing accuracy"); Byrnes v. United States, 327 F.2d 825, 840 (9th Cir.) cert. denied, 377 U.S. 970, 12 L. Ed. 2d 739, 84 S. Ct. 1652 (1964) ("only safe way to be accurate" is to read trial transcription of witness' testimony). 27At least one court has held that the discretionary right of the trial court to read testimony can be delegated to counsel. Bing Fa Yuen v. State, 43 Md. App. 109, 403 A.2d 819, 826 (1979). We are aware of only one jurisdiction which has adopted a per se rule prohibiting counsel from reading from the record. People v. Hoggs, 17 Ill. App. 3d 67, 70, 307 N.E.2d 800, 802 (1974) (improper to read from a trial transcript during closing argument since jury "must pass upon the whole testimony free of the over-emphasis given any portion of it by verbatim repetition during the trial's waning moments.").
It seems to us that the better rule leaves the question of whether counsel may read from the transcript during closing argument to the sound discretion of the trial court. The use of transcripts is already permissible, subject to appropriate checks against distortion and unfairness to or embarrassment of a witness, during the presentation of evidence. Under Super. Ct. Crim. R. 15(e)(2), permitting use of a deposition to impeach a witness, the adverse party is allowed to require that all of the relevant portions of the deposition be introduced and also to introduce any other parts. Impeachment is, of course, also permitted by use of transcriptions from a first trial upon a retrial, Ibn-Tomas v. United States, 407 A.2d 626, 644-46 (D.C. 1979), and where a prior inconsistent statement is involved, a limiting instruction may be required. Brooks v. United States, 448 A.2d 253 259 (D.C. 1982); Lofty v. United States, 277 A.2d 99 (D.C. 1971); Johnson v. United States, 387 A.2d 1084 (D.C. 1978) (en banc). Insofar as there is concern that allowing counsel to read from a transcript will unduly emphasize selected portions of the evidence, we find persuasive the observation by the United States Court of Appeals for the Seventh Circuit, regarding the trial court's reading of portions of transcripts upon jury request: "The concern for undue emphasis is even less where the reading occurs in the context of closing arguments which review the entire evidence for the jury." Kuta, supra, 518 F.2d at 954. See supra note 27. Moreover, under the procedure we suggest below, the trial court can take appropriate steps to address that concern.
The interest at stake is the broad right of argument by counsel to the jury. Bing Fa Yuen, supra, 43 Md. App. 109, 403 A.2d at 826. Under our adversary system, counsel are already permitted to make closing arguments to the jury presenting their contentions about what the evidence shows with relatively few restrictions. Super. Ct. Crim. R. 29.1; Powell, supra, 455 A.2d at 408 (counsel are presumed to know the rules of the court and of their profession); Harling, supra, 382 A.2d at 847 (proper scope of closing argument subject to broad discretion of trial court). By arguing in the manner they think will best impress the jury of the merits of their case, counsel's contentions invariably highlight portions of the evidence. As long as they do so without misrepresentation or unfair or dilatory tactics, and opposing counsel has the opportunity to respond, we see no compelling reason to adopt a per se rule prohibiting counsel from reading a portion of the transcript during closing argument.
Accordingly, we think the better practice would be for counsel, prior to the commencement of closing arguments, to make a proffer to the trial court of what portions of the transcript he intends to read and for what purpose. By so doing, and allowing opposing counsel to be heard on the request, the trial court can exercise its discretion, placing any appropriate limitations on out-of-context readings of what purports to be an official record of what was said. The trial Judge can evaluate counsel's proffer and determine the likelihood of prejudice if the transcript is or is not read. See Bing Fa Yuen, supra, 43 Md. App. 109, 403 A.2d at 825-26 (trial court must be given proffer as to what portions of the transcript counsel intends to read and for what purpose, must actually exercise its discretion, and cannot automatically exclude the use of transcripts). Save in extreme circumstances, we see no reason for the trial court not to permit counsel to read portions of a transcript, especially when opposing counsel will have an opportunity, if desired, to read additional portions of the transcript to supply allegedly missing context. A trial Judge does not, however, necessarily abuse his discretion when he denies such a request.
On the record in the instant case, we find no abuse of discretion by the trial Judge. Defense counsel was permitted to refer to the trial transcripts as an aide to his memory in incorporating comments on the witnesses' testimony in his closing argument. He in fact referred to the witnesses' testimony in his closing argument and we find no evidence of prejudice to appellant.
Affirmed.
1. Appellant also argues that his sentence should be vacated and his case remanded with instructions to resentence him on the ground that the trial Judge erred in concluding that he had no discretion to sentence appellant to probation upon his conviction for first degree murder. This court considered and rejected that argument in Beale v. United States, 465 A.2d 796 (D.C. 1983). In discussing the District of Columbia's first degree murder statute, the court noted that Congress has consistently recognized that first degree murder must be punished by the harshest penalty allowed by law.
We conclude it would be impossible for this court in the face of such Congressional action to authorize a sentencing Judge who sentences a first degree murderer to life imprisonment then to suspend execution of this sentence and to place such defendant on probation. . . . e, nevertheless deem the Congress to have fixed the severity of the sentence for first degree murder in recognition of the uniqueness of the crime and we must treat such Congressional action as conclusive.
Beale, supra, 465 A.2d at 806. We note that appellant filed his main brief on May 23, 1983, before Beale was decided on June 20, 1983; the government relied on Beale in its brief and appellant did not attempt to distinguish it in his reply brief.
2. Prior to trial, Primrose identified appellant at a lineup and identified Gordon from a photograph as the man from whom Moon had bought heroin. Gordon also identified appellant from a lineup photograph.
3. Appellant's knife was 3 3/4" long, with a blade 3/4" wide. Dr. Kim testified that the size of Moon's wounds were consistent with the impact of a knife with a blade 3/4" wide, noting that such a knife could cause a wound deeper than 3 3/4" as well as wider than 3/4", in the process of pulling the blade out of the body. Five of Moon's wounds were exactly 3/4", three were approximately 1" wide.
4. Gordon and Primrose were cross-examined about their drug use in general and their intoxication on the night of the murder. They were also impeached by prior convictions, primrose for possession of implements of crime in 1979, and Gordon for grand larceny in 1982 (for which he was on parole when he testified in this case) and second degree burglary and attempted robbery in 1976.
5. Patterson testified one man was wearing a baseball cap and dark sunglasses, and both were about 5' 11". Ligon, another defense witness, testified that one of the two men who approached the game had on a cap and sunglasses; the other stuttered and was approximately 5' 5", 140 pounds. Primrose had testified that he had been wearing a hat that night, and a picture of his hat, which was found in the alley, was shown to the jury; it was not a baseball cap.
6. Patterson admitted, on direct and cross-examination, that he had previously been convicted for second degree burglary in 1982.
7. On direct examination he testified that Williams was in the alley, but on cross-examination he first stated that Poole and Witherspoon were in the alley, then changed his mind and finally said that he did not know who was in the alley that night other than appellant and Patterson. In rebuttal, the government offered a stipulation of the parties that Witherspoon was in jail on the evening of the murder.
On direct and cross-examination, Ligon admitted he had been convicted of armed robbery in 1981 in Maryland.
8. This court recently stated that cross-examination which recapitulates earlier testimony and culminates in the witness' response that he is truthful and the contrary witnesses are lying is inappropriate because "one witness may not express a view or an opinion on the ultimate credibility of another witness' testimony." Carter v. United States, 475 A.2d 1118, slip op. at 15-16 (D.C. March 26, 1984). The authorities relied on in Carter make it clear that a witness, whether expert or lay, may not state an opinion on another witness' credibility since the issue of credibility is for the trier of fact. See, e.g., Lilly, An Introduction to the Law of Evidence, § 29 at 89 (1978); Kenion v. United States, 302 A.2d 723, 724 (D.C. 1973) (credibility for trier of fact). However, since Carter speaks of a prospective prohibition against this manner of questioning, noting that the practice of recapitulation on cross-examination has been permitted by the trial court, our review here is for abuse of discretion and prejudice.
9. See also Grunewald v. United States, 353, U.S. 391, 421-22, 425 (1957) (use on cross-examination, over defense objection, of Fifth Amendment constitutional privilege to reflect on defendant's credibility held error); (Black, J. Concurring) ("I can think of no special circumstances that would justify use of a constitutional privilege to discredit or convict a person who asserts it.").
10. Through cross-examination of the police officers, the defense elicited evidence that a lot of illegal activity and numerous knives could be found at 14th and U Streets. In closing argument, defense counsel suggested this evidence bolstered appellant's defense of misidentification and lessened the probative value of his possession of a knife similar to the murder weapon.
11. Defense counsel told the jury in his closing argument that appellant was not surprised that Gordon had testified at trial since Gordon had testified against him at the grand jury. The prosecutor objected at the close of the defense counsel's argument, because of the reference to the grand jury testimony, but declined to ask for a mistrial.
12. The attorney's "personal belief has no real bearing on the issue; no witness would be permitted to so testify, even under oath, and subject to cross-examination, much less the lawyer without either." Harris, supra, 131 U.S. App. D.C. at 107, 402 F.2d at 658 (quoting H. Drinker, Legal Ethics 147 (1953)) (footnotes omitted). As Chief Justice Burger, then Circuit Judge, concluded in Harris,
The personal evaluations and opinions of trial counsel are at best boring irrelevancies and a distasteful cliche-type argument. At worst, they may be a vague form of unsworn and irrelevant testimony.
131 U.S. App. D.C. at 108, 402 F.2d at 659.
13. In Hyman, supra, 342 A.2d at 45, this court held improper the prosecutor's comment to the jury: "You saw [the witness'] demeanor on the stand yesterday. I think you can fairly conclude that he appeared almost irrational."
14. In (Phillip) Dyson, supra, 418 A.2d at 130 the prosecutor "characterized the witness' pause as an opportunity to fabricate." This court held the prosecutor had "exceeded the bounds of permissible comment. . . ."
15. Appellant also alleges error in the comments by the prosecutor describing Primrose as a man who lived a normal life ("except he sometimes takes heroin") "and didn't put on a fancy three-piece suit and try to be something that he isn't." Although these comments were unnecessary and irrelevant, we do not find them prejudicial in view of defense counsel's cross-examination of Primrose. See Villacres, supra, 357 A.2d at 426, n.2 (examples of "boring irrelevancies"). Appellant further contends that the prosecutor expressed his personal belief of appellant's guilt, but our review of the record indicates that the prosecutor emphasized the strength of the government's case and the weaknesses of the defense witnesses' testimony. See (Phillip) Dyson, supra, 418 A.2d at 132.
16. Defense counsel's argument questioned, for example, whether the government had disclosed all of the relevant evidence and compared the appellant, a man without a prior criminal record who occasionally gambled, with the government witnesses (Primrose and Gordon) who were heroin users with prior criminal records.
17. Appellate counsel stated at oral argument that unfounded assertions about a witness's fear of the accused can be extremely prejudicial and may be impossible to overcome in a trial before a jury. Such concerns should, nevertheless, first be addressed to the trial court. If done in a timely manner, corrective measures can be undertaken by the trial court. Harris, supra, 131 U.S. App. D.C. at 105-06, 402 F.2d at 656. This court has noted that:
It is peculiarly within the knowledge of the trial Judge whether remarks of counsel during the trial tend to prejudice the cause of a party. The courtroom atmosphere, prior remarks which have provoked the questioned statements, and other factors which cannot be appraised by a reviewing court may render remarks of counsel innocuous, although they may appear viciously prejudicial when removed from their setting.
Smith v. United States, 315 A.2d 163, 167 (D.C.), cert. denied, 419 U.S. 896, 95 S. Ct. 174, 42 L. Ed. 2d 139 (1974) (quoting United States v. Goodman, 110 F.2d 390, 394 (7th Cir. 1940)); Harling, supra, 382 A.2d at 847 (proper scope of closing arguments subject to broad discretion of the trial Judge). In the absence of objection at trial, appellate counsel face the difficult task of demonstrating that the error complained of is "so clearly prejudicial to substantial rights as to jeopardize the very fairness and integrity of the trial." Watts, supra.
18. Compare, for example, Villacres, supra, where the prosecutor supplied a confession by the accused to his mother when none was in evidence. Accord Parks, supra, 451 A.2d at 613.
19. The instruction was:
Now, the law is an advocacy and counsel, in making closing arguments, many times in the heat of the argument may give you what they believe to be the evidence in the case.
Now, you have just listened before lunch to the closing arguments of each counsel. Counsel in their closing arguments gave you what they thought to be the evidence. You are reminded that the arguments you have just heard, one, are not evidence, they are not evidence. Those arguments were intended and, as I said, even when counsel gives his opinion of what the evidence was, that's his opinion.
They are only given and intended to aid you in determining and deciding and understanding the evidence, that's all, and to give you the contentions of both sides.
20. Appellant asserts that the objection made to the description statements elicited at the first interview was a sufficient objection to the testimony about the statements from the second interview. We disagree. The statements from the second interview, and the basis for the evidentiary objection, were separate and distinct from the prior testimony and objection. Counsel did not object to those statements, and, therefore, the plain error standard applies. Watts, supra.
21. First, if a witness is impeached by a showing that the witness has reason to lie in court, then an out-of-court consistent statement can be introduced if the out-of-court statement was made at a time, or under circumstances, in which the witness had no reason to lie. Reed v. United States, 452 A.2d 1173, 1180 (D.C. 1982) (court erred in admitting prior consistent statement that did not antedate alleged motive to lie); Copes v. United States, 120 U.S. App. D.C. 234, 345 F.2d 723 (1964) (court did not err in admitting prior consistent statement made at a time when, although witness had same reason to lie as she did at trial, she believed herself to be dying). Second, if "the witness' testimony has been impeached by a portion of a statement which also contains relevant information that could be used to meet the force of the impeachment," such additional relevant information from the statement is admissible even though it constitutes a prior consistent statement. Rease v. United States, 403 A.2d 322, 328 n.7 (D.C. 1979) (per curiam) (citations omitted).
Sherer v. United States, 470 A.2d 732, 740 n.8 (D.C. 1983).
22. See United States v. Muscato, 534 F. Supp. 969 (E.D.N.Y. 1982) (Weinstein, C.J.) (discussing the definition of hearsay, under the federal rules of evidence, in terms of its function in the development of the government's case).
23. This is not a situation, as in Sherer, supra, in which defense counsel impeached the witness on the details contained in the prior statement, by pointing out discrepancies and then arguing that these differences, between the prior statement and the witness trial testimony, indicated that the witness' testimony was a fabrication. The prosecutor in Sherer was permitted on redirect to rehabilitate the witness by examining him more fully about the statement to show that the trial testimony was generally consistent with the prior statement and that the testimony, therefore, could be credited even though several of the details were incorrect. 470 A.2d at 740. In the instant case the issue raised by defense counsel related to when Gordon's statement was given, not to the details in the statement concerning what happened on October 14, 1981. Consequently, the recounting of those events in Gordon's statement was inadmissible hearsay.
24. Appellant was arrested and presented on October 18, 1981, when he was ordered released on the condition that he post a surety bond of $2,000. He did, and was released. Prior to trial, on July 29, 1982, the government filed a "Motion for Review of Conditions of Defendant's Release on an Expedited Basis" which appellant opposed, and the trial Judge took under advisement. At the beginning of appellant's trial, on September 2, 1982, the trial court heard argument on the motion at the government's request and continued the matter under advisement. When the prosecutor renewed his request for bond revocation at the end of the government's case-in-chief, the trial Judge ordered appellant detained over objection by defense counsel. Appellant did not appeal the revocation of his bond pursuant to D.C. Code § 23-1324 (1981).
25. The trial Judge permitted him to continue to wear civilian clothes during the trial.
26. This view is also followed in three other circuits: United States v. Pollak, 474 F.2d 828, 832 (2nd Cir. 1973); United States v. Chicarelli, 445 F.2d 1111, 1114-15 (3rd Cir. 1971); United States v. De Palma, 414 F.2d 394, 396 (9th Cir. 1969), cert. denied, 396 U.S. 1046, 90 S. Ct. 697, 24 L. Ed. 2d 690 (1970). Cf. Standards Relating to Trial by Jury (ABA Project on Minimum Standards of Criminal Justice) § 14-4.2(a) (2d Ed. 1982 Supplement, Vol. III) (ABA 1982) (whenever the jury's request is reasonable, the court shall have the requested parts of the testimony read to the jury).
27. See, e.g., Floen v. Sund, 255 Minn. 211, 218, 96 N.W.2d 563, 567 (1959) (in personal injury case, "a portion of physician's testimony read to jury to refresh their recollection"); Randall v. Steelman, 294 S.W.2d 588, 594 (Mo. App. 1956); Douglas v. Duvall, 5 Utah 2d 429, 431; 304 P.2d 373, 374-75 (1956) (in civil action for damages from false representation) (Wade, J. Concurring):
It would no more be undue emphasis for him to read an accurate statement of the testimony than it would for counsel to state his recollection thereof. True, such reading might be more impressive on the jury but only because they would be more impressed by an accurate statement of the testimony than they would be by a statement from memory of counsel's version of such testimony. To hold that such is a valid reason for denying the right to read from a transcript is to place a premium on inaccuracy and invite incorrect findings of fact.
Contra, People v. Willy, 301 Ill. 307, 328, 133 N.E. 859, 866 (1921); People v. Hoggs, 17 Ill. App. 3d 67, 70, 307 N.E.2d 800, 803 (1974) (only "paraphrased recapitulation of testimony" based on recollection from counsel's own notes is permissible).
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Changes in The First Responder Network (FirstNet) and Next-Generation Communications for Public Safety: Issues for Congress from July 28, 2016 to January 26, 2017 - EveryCRSReport.com
The First Responder Network (FirstNet) and Next-Generation Communications for Public Safety: Issues for Congress
Changes from July 28, 2016 to January 26, 2017
This page shows textual changes in the document between the two versions indicated in the dates above. Textual matter removed in the later version is indicated with
red strikethrough
and textual matter added in the later version is indicated with
blue
.
The First Responder Network (FirstNet) and Next-Generation Communications for Public Safety: Issues for Congress
(R42543)
Contents
Introduction
The Request for Proposal
and Latest Developments
FirstNet Network Strategy
Network Design
State Public Safety Radio Networks
State Participation: The Opt-Out Provision
State and Community Network Participation
Risks and Rewards
Advantages of FirstNet's Comprehensive Network Strategy
Other Advantages
Disadvantages of FirstNet's Comprehensive Network Strategy
NTIA Grant Programs
State and Local Implementation Grant Program
Network Construction Fund
GAO Study
OIG Report on FirstNet
Discussion of Other Provisions in the Spectrum Act to Improve Public Safety Communications
Spectrum Assignment
Public Safety Trust Fund
FirstNet: Limit on Expenditures
FirstNet: Fee Income and Other Revenue
Planning Authority
Statutory Obligations
Time Frame
Next Generation 9-1-1
Roaming and Priority Access Within the 700 MHz Band
Legislation in the 115 th Congress
Figures
Figure 1. Small Cell Neighborhood Micro Network
Summary
Congress included provisions in the Middle Class Tax Relief and Job Creation Act of 2012 ( P.L. 112-96) for planning, building, and managing a new, nationwide, broadband network for public safety communications, by creating the First Responder Network Authority (FirstNet). The act allocated 10 MHz of additional radio frequency spectrum to accommodate the new network and required that the Federal Communications Commission (FCC) assign a license to FirstNet, comprising the newly designated frequencies plus 10 MHz previously assigned to states by the FCC for public safety use. In addition, the act designated federal appropriations of over $7 billion for the network and other public safety needs. These funds are provided through new revenue from the auction of licenses to the commercial sector in other spectrum bands.
The establishment of FirstNet is an important step toward reaching what has been a national goal since September 11, 2001: the provision of interoperable communications for first responders. The immediate goal for FirstNet is to provide a broadband network nationwide to carry data, although it will provide an option for voice communications as well. The cost of constructing and maintaining a nationwide network is estimated by many experts to be in the tens of billions of dollars over the long term. The law anticipates that most of these costs will be covered by partnerships between FirstNet and the private sector in return for commercial access to FirstNet's spectrum.
In order to maintain control over the quality and nature of communications, many states are likely to continue to invest in and maintain their own Land Mobile Radio (LMR) networks that operate on narrowband frequencies under the jurisdiction of state and local public safety agencies. Information available to the public indicates that FirstNet intends to discourage states from building and operating their own networks within FirstNet, in part by limiting the amount of spectrum available for this purpose. FirstNet has taken the position that state autonomy in network design decisions and management will jeopardize FirstNet's ability to provide a network that meets its coverage and service goals.
P.L. 112-96
was signed into law on February 22, 2012, setting in motion the process of setting up FirstNet as an "independent authority within the National Telecommunications and Information Administration," as required by the act; laying out the parameters for partnerships and state, tribal, and federal participation; and meeting requirements either statutory or practical. After extensive consultation with stakeholders and potential partners in preparing proposals for partnering with FirstNet, the initial phases of organization culminated with the deadline for submitting proposals to build and operate the nationwide network, on May 31, 2016.
The successful bidder for the contract to build and operate FirstNet may be announced as early as November 2016.
Once the contract is awarded, as the network becomes operational, the potential level of public safety agency participation should be better understood, providing opportunities to evaluate the success of FirstNet in meeting the goals Congress set for it in 2012. Among the provisions of the act is a requirement that the Government Accountability Office, before the end of FY2022, recommend to Congress what actions should be taken in regard to the ending of FirstNet's authority, mandated for review by 2027.
Congress continues to exercise vigilance in
On November 21, 2016, one of the FirstNet bidders eliminated from consideration, Rivada Mercury, filed a lawsuit in the U.S. Court of Appeals of Federal Claims over what Rivada says is the illegal and wrongful exclusion of the consortium from the FirstNet procurement process. The lawsuit is expected to delay the contract award until March 1, 2017, at the earliest, although further delays are possible depending on the resolution of the lawsuit.
Once the contract is awarded, the contractor will have up to 180 days to deliver detailed deployment plans to each state and territory. Governors will then have 90 days to decide whether to opt in to FirstNet or to opt out and build their own Radio Access Network which must be interoperable with FirstNet. As FirstNet becomes operational, the potential level of public safety agency participation should be better understood, providing opportunities to evaluate the success of FirstNet in meeting the goals Congress set for it in 2012. The 115
th
Congress will likely continue monitoring the development and deployment of FirstNet through periodic hearings in both the House and Senate.
The First Responder Network (FirstNet) and Next-Generation Communications for Public Safety: Issues for Congress
Introduction
The First Responder Network Authority (FirstNet) is a federal agency that includes private sector and other non-federal representation on its board of directors. FirstNet was created by Congress with provisions in Title VI (Spectrum Act) of the Middle Class Tax Relief and Job Creation Act of 2012 ( P.L. 112-96) to ensure the deployment and operation of a nationwide, broadband network for public safety communications. It is established as an "independent authority" 1within the National Telecommunications and Information Administration (NTIA), part of the Department of Commerce.
In addition to establishing the structure and goals for FirstNet, Congress provided $7 billion for
cost
s
costs
related to planning and deploying the broadband network, and a $135 million grant program to assist states with plans to connect to FirstNet's broadband network.
2
These funds are provided from revenue realized through auctioning licenses for radio frequency spectrum, as designated in the act. The anticipated cost of building and operating a nationwide core broadband network—and the interoperable radio networks that connect to it—is significantly in excess of the amount appropriated. The act therefore provides for public-private partnerships with FirstNet or with states, and for fees (charged to states and other users) to ensure that FirstNet becomes self-sustaining. To attract private sector partners, FirstNet can offer access to its assets, including radio frequency spectrum capacity, in return for financial payment or other support. FirstNet holds a license for 20 MHz of broadband spectrum,
3
assigned by the Federal Communications Commission (FCC), as required by the act. The act allows states that meet specified requirements to lease spectrum from FirstNet and thereby negotiate their own partnerships that share spectrum in Radio Area Networks for their state or region. The act requires that FirstNet deploy its network using the fourth-generation wireless technologies of Long Term Evolution (LTE).
4
LTE is a powerful cellular technology with industry standards that are consistently being upgraded to expand its capabilities. LTE is also a platform for commercial carrier-expansion into fifth-generation (5G) wireless communications and the Internet of Things.
There are many challenges for public safety leaders and policymakers in establishing the framework for a nationwide network that meets state, local, tribal, and territorial needs for robust, interoperable emergency communications. Currently, for example, state emergency communications needs are typically met by separate networks using different technologies. Furthermore, each state has its own laws and procedures for building, managing, and funding communications infrastructure. Among the challenges facing FirstNet is establishing a governance model that accommodates current investments and future needs of its clients without compromising the coherence of a national network.
The Request for Proposal
and Latest Developments
FirstNet officials face enormous pressure to produce a functional network in a timely manner, reflecting widespread concerns that public safety communications will not be adequate for response and recovery if a catastrophic national emergency occurs. Among the timelines that the winning bidder 5must meet is geographical coverage for 95% of the country within six months of receiving the contract. This obligation suggests that participation of one of the four nationwide carriers (Verizon, AT&T, Sprint, T-Mobile) to carry FirstNet traffic will be essential, even if the carrier acts as a subcontractor and not a lead partner. Agreements with rural carriers may also be used to meet rural coverage goals. The winning contractor must guarantee priority access to public safety on the 20 MHz of spectrum capacity that FirstNet brings to the table. The requirements for buildout using FirstNet spectrum (referred to as Band 14) are 20% coverage of population within the first year of operation and 60% coverage within two years.
Also within six months, the winning contractor is expected to submit simultaneously to 56 states and territories, as required by the act, a plan for how FirstNet would be deployed within that state or territory (tribal areas are covered in state plans). FirstNet will make available $6.5 billion of its federal funding for the buildout. The bidder must indicate the cost of each state's buildout within the context of its cost model. States that successfully meet the criteria to build their own network within FirstNet will be eligible for a proportionate share of the $6.5 billion, 6provided in the form of a grant. The total cost to build out the network is estimated by most experts to be in excess of $30 billion over 10 years.
The successful bidder will sign a contract for 25 years, expiring in FY2042. Annual payments totaling at least $5.625 billion over the period of the contract are required as a guarantee that FirstNet will be financially self-sustaining.
Although the bid may be awarded as early as November 2016, 7the decision may be delayed if additional time is needed to evaluate the proposals.
On October 17, 2016, two of the bidders—Rivada Mercury and pdvWireless—were informed by the U.S. government that their proposals had been eliminated from consideration. This leaves AT&T as the one publically known bidder still in consideration.
7
On November 21, 2016, Rivada Mercury filed a lawsuit against the U.S. government in the U.S. Court of Appeals of Federal Claims over what Rivada says is the illegal and wrongful exclusion of the consortium from the FirstNet procurement process. 8The lawsuit is expected to delay the contract award until March 1, 2017, at the earliest, although further delays are possible depending on the resolution of the lawsuit. 9
FirstNet Network Strategy
Achievements since the FirstNet board first met officially in September 2012 include a number of Requests for Information (RFI), notably the September 2014
Request for Information for Comprehensive Network Solution(s).
8
10
This document proposed a comprehensive broadband network solution for FirstNet that would reach from core network management requirements to include local area networks in many communities, as well as some devices used to access the network.
9
11
A
Second Notice
,
issued by the Department of Commerce for comment on March 9, 2015,
10
12
provided FirstNet's perspective on the intent of Congress in enacting language that allows states to build their own
network
networks
. The discussion in the
Second Notice
also supplemented the
Public Notice on Statutory Interpretations
,
11
13
issued in September 2014. A number of important issues are raised in these formal statements of proposed interpretation, including possible definitions of "public safety" and "rural."
A third public notice
12
14
concerning the definition of "public safety" was released after a FirstNet board meeting on April 24, 2015.
13
15
Also on April 24, the proposed acquisition approach
14
16
and the draft Request for Proposal(s) (RFP)
15
17
were considered in a closed meeting. The draft RFP builds on proposals from previous notices and RFIs. The planning process for 2015-2016 centered on circulating the draft Request for Proposal(s) and a final RFP. FirstNet concluded that the contract or contracts would be awarded through the Federal Acquisition Regulation (FAR) process.
16
18
According to FirstNet, "key goals are to meet the needs of public safety and to provide extensive coverage so Federal subscribers and other public safety users can count on the network when they are on the job."
17
19
Network coverage includes deployable units, such as vehicles equipped to connect with the network, and local area networks operated by FirstNet. "Incident commanders and officials will have local control over the network so, for example, they can assign users and talk groups and determine who can access applications."
18
20
The underlying premise of the strategy is that the chosen network solutions will allow FirstNet to "control and operate" national and regional core network infrastructure, Radio Access Networks (RANs) in states that opt
-
in, as well as devices, applications, and other functions.
19
21
To achieve this level of coverage, FirstNet's "acquisition strategy centers on maximizing the network's value to public safety while meeting its financial sustainability obligations under the Act."
20
22
Network Design
Although many details have not been made public, the general architecture of FirstNet's broadband network has been presented at numerous public events and is available on the FirstNet website.
21
23
The network design shows what is referred to as a heterogeneous network, or HetNet. It depicts the Radio Access Network to include both macro and micro networks. In simple terms, high towers with base stations, known as eNodeB in LTE network design, are referred to by the wireless industry as a macro network; a variety of small cell
22
24
network designs are referred to as micro networks. The macro network is often described as providing coverage over distance and the micro network as providing capacity as well as extra coverage at the local level.
23
25
Figure 1. Small Cell Neighborhood Micro NetworkSource:4G Americas, Meeting the 10 0 0X Challenge: The Need for Spectrum, Technology and Policy Innovation,October 2013, Figure AI-1, p. 130, http://www.4gamericas.org/ documents/ 2013_4G%20Americas%20Meeting%20the%201000x%20Challenge%2010%204%2013_FINAL.pdf .Revised by CRS to include a small cell deployment for public safety operations.
The trend in the evolution of network coverage is depicted in Figure 1. In this configuration, the micro network has become the predominate provider of mobile communications coverage and capacity through contiguous small cell networks. The tower of the macro network (eNodeB) assures nationwide connectivity and provides additional coverage. Small cell networks are by and large autonomous, providing coverage for their area and connecting to other small cell networks or cellular towers when needed. These micro networks are local in nature but fully interoperable across wide geographic areas. For FirstNet, a network strategy that shifts the majority of routine, public safety mobile communications onto shared spectrum in small cell networks will free much of the 20 MHz spectrum license for secondary use by commercial carriers. Only in times of a major emergency would public safety users make heavy demands on the macro network and spectrum licensed to FirstNet.
In an LTE network, it is the eNodeB macro coverage infrastructure—not the micro network—that requires a significant spectrum assignment to operate efficiently. During the period 2011-2012, when the Spectrum Act was drafted and enacted, the Radio Area Network would have consisted primarily of high-site towers with base stations (eNodeB).
24
26
Since the Spectrum Act was passed, communications technologies have evolved in ways not fully anticipated at the time.
25
27
Congress, therefore, may have assumed that a state with a successful plan to opt out and create its own public-private partnership would be granted a statewide license for 20 MHz to operate a Radio Area Network using eNodeB towers and base stations. Micro networks, however, can operate within the 20 MHz assignment, essentially sharing the spectrum, but may require no more than 1.5 x 1.5 MHz for a basic LTE network. Therefore, if FirstNet decides that only micro network capacity will be made available for a state-operated Radio Area Network, then the state will have a sub-license for a relatively small amount of spectrum that may be difficult—perhaps impossible—to leverage in a public-private partnership.
State Public Safety Radio Networks
Since September 11, 2001, state and local agencies—aided by federal grant programs—have invested in improving the reliability and interoperability of mission critical voice communications over Land Mobile Radio (LMR) networks. The 2014 National Emergency Communications Plan
26
28
prepared by the Department of Homeland Security emphasizes the need to continue investment in these networks to provide communication for first responders until such time as FirstNet is deployed and capable of handling mission-critical voice communications over broadband.
27
29
These networks may also be essential for local and state backup service when access to FirstNet has been preempted by a large-scale emergency, or they may be an alternative to using FirstNet.
State Participation: The Opt-Out Provision
FirstNet is required to consult with regional, state, tribal, and local authorities regarding decisions such as those concerning the costs of the policies it formulates, as required in the law, including expenditures for the core network, placement of towers, coverage areas, security, and priority access for local users. Consultation will be through a state-selected coordinator as specified in the act.
28
30
Appointment of an individual or governmental body as the Single Point of Contact (SPOC) is required as a condition of state participation and eligibility to receive grants established by the act.
29
31
Every state has one or more agencies that plan for public safety, homeland security, and emergency communications. To be eligible for grants from the Department of Homeland Security, a state establishes a Statewide Interoperability Coordinator (SWIC) to administer its Statewide Communication Interoperability Plan (
SCIPs). 30
SCIP). 32
SCIPs are written to conform with federal guidelines and requirements, such as the National Emergency Communications Plan. States may decide to use the existing SWIC as the required single point-of-contact or may choose to appoint a separate coordinator. Each state and other participants have appointed a coordinator to work directly with FirstNet.
31
33
The coordinator (SPOC) is responsible for managing FirstNet activities in his or her state. Often this includes revising the existing SCIP to include broadband communications.
The governor of each state is to be notified by FirstNet when it has completed its requests for proposals regarding construction, operation, maintenance, and improvement of a nationwide network. The governor or his designee will receive the details of the proposed plans and notification of the amount of funding available to the state if it participates in the FirstNet program.
32
34
The act only identifies two options for a state: join FirstNet or build a statewide Radio Access Network subject to the provisions of the act. The act does not include specific provisions for a state that chooses to build its own Radio Access Network without opting out of FirstNet, although providing such an option may be within FirstNet's charter. A state might, for example, choose to build its own data management center or mobile access routers while also sharing FirstNet's infrastructure for regional and national coverage. The act also is silent on whether states may choose to opt out of the broadband network entirely, choosing neither to join FirstNet nor to build a broadband network on the frequencies assigned to FirstNet.
33
35
Some states may prefer to concentrate their resources on improving mission-critical voice networks and acquire broadband access from a commercial provider or through other means. FirstNet, through its partners, intends to provide service in all states, even if a state chooses not to be a customer or otherwise participate in the network.
34
36
The Spectrum Act specifies that a state that chooses to build its own Radio Access Network must submit an alternative plan for construction, operation, maintenance, and improvement of the Radio Access Network within the state. The state has 90 days to agree to participate or to notify FirstNet, the NTIA, and the FCC of its intent to deploy its own part of the Radio Access Network, and an additional 180 days to provide its plan to the FCC.
35
37
The state must demonstrate to the FCC, which the law requires to review the plan, that its planned Radio Access Network would comply with minimum technical requirements and be interoperable with FirstNet.
If a state's plan is approved it will be eligible to apply for a grant, administered by the NTIA, that will be funded from the Network Construction Fund created by the act. The amount available may be less than what would have been provided if the state had opted in to the FirstNet program, because the grant will be applied only toward building the Radio Access Network and may be subject to matching grant requirements. Approval of the grant is contingent on meeting additional requirements established by the NTIA, including sustainability, timeliness, cost-effectiveness, security, coverage, and services that are comparable to FirstNet.
36
38
The state would be required to pay a user fee for access to FirstNet's core network.
37
39
It would not be permitted to enter commercial markets or lease access to its network except through a public-private partnership. FirstNet has determined that any revenue to the state from a partnership must be used only for costs associated with its participation in FirstNet. If a state's plan meets FCC and NTIA requirements, then the NTIA may approve lease authority for FirstNet to grant a sub-license to a state, to operate on some portion of the FirstNet spectrum.
On July 19, 2016, the NTIA published notice of its proposal for evaluating State Alternative Plan Programs for states that wish to opt out of FirstNet.
38
40
If a state's plan has met the initial approval of the FCC, it must then demonstrate to the NTIA that it meets technical and financial requirements. To the general parameters provided in the Spectrum Act, the NTIA has added several specific criteria for states that parallel requirements for contractors, including:
The State Alternative Plan Proposal submission and the related request for a spectrum lease will be treated as a single request for a grant (even though the state may choose not to request a grant as described in the Spectrum Act) in accordance with provisions of the Federal Grants and Cooperative Agreement Act of 1977 ( P.L. 95-224 ).
The forthcoming Federal Funding Opportunity announcement will include additional details regarding the technical capabilities required of a state, in addition to those published in the July 19 notice.
States must submit their application to the NTIA within 60 days of FCC approval of the alternative plan.
State network plans must adhere to the same policies as those applied to FirstNet.
States will be required to provide information on how it will manage its Radio Access Network, including, for example, its staffing plan and budget documents.
States must disclose partnership agreements and address funding risks; NTIA may require surety bonds to ensure network construction is completed.
Deadlines for the state plan must match those presented in FirstNet's plan for the state.
A state plan that relies on new buildouts of the network ("greenfield") might not qualify as cost effective.
In evaluating the cost-effectiveness of a state's alternative plan, NTIA will include as a factor its assessment of the value of cross-border economies of scale that may be lost.
State and Community Network Participation
The following discussion focuses on key statements from FirstNet that seem to indicate the agency's current plans for state, tribal, territorial, and local participation in the network. FirstNet may later choose to alter its plans.
39
41
FirstNet's deployment strategy reportedly will
Include state-based eNodeB's in FirstNet's core services, thereby bringing the entire 20 MHz spectrum license under the full control of FirstNet and its federal contractors.
40
42
This decision, if implemented, represents a change in an earlier statement that proposes including the eNode B as part of the Radio Area Network.
41
43
Provide local area network capacity and connections as an extension of FirstNet, limiting state authority to providing fill-in capacity for some under-served areas.
42
44
Assign to FirstNet contractors the responsibility of identifying additional partners or subcontractors to act under the authority of the contractor; this might include, for example, negotiating an agreement with a local power company for access to its infrastructure.
43
45
Assign negotiations for access to existing state, local, or tribal infrastructure to contractors, to be pursued after the contract has been issued.
44
46
Extend coverage to rural areas where there is currently little or no commercial service through new, federally funded build-out to the commercial networks of partners chosen through the RFP process.
45
47
A major goal of this network design is to maximize the value of spectrum by capturing its full value, nationwide, in order to provide sufficient funding for rural coverage.
46
48
FirstNet therefore believes that allowing states to build their own RANs "potentially takes with it subscriber fees and/or excess network capacity fees that would have helped fund the FirstNet network in all other states."
47
49
Apparently not included in FirstNet's planning process is an analysis of the costs to be assumed by states as a consequence of its business plan. These costs include the continued operation and possible expansion of state and local LMR voice networks; the cost of integration of LMR and broadband infrastructure; the costs of forfeiting to FirstNet the potential economies of scale in network construction and operation; and the cost of lost opportunities for competition and innovation in wireless services at the state and local level. It remains to be seen what the winning contractor to deploy FirstNet will offer to states to offset costs that states are likely to bear in order to participate in FirstNet.
Risks and Rewards
FirstNet appears to be making decisions about the network design that are evolving as new information is gathered and analyzed. It claims that a federalized network is the "only solution"
48
50
that meets its goals of providing nationwide coverage, interoperability, and assured access. In the
Second Notice
it concludes that allowing populous states to opt out of FirstNet and build their own public safety broadband networks, monetizing the value of the 20 MHz of spectrum assigned for that purpose, will beggar their more rural neighbors who cannot so readily capture the value of excess capacity. This is a presumption of market failure that is not supported by information made public by FirstNet and is inconsistent with the many positive analyses of the economic value of small cell networks, community broadband, and the Internet of Things.
49
51
The value of economies of scale in building and operating wireless networks has long been recognized by telecommunications experts and policymakers. The FCC, for example, has modified its policies to make it easier for wireless companies to expand through mergers and acquisitions in order to benefit from scale economies.
50
52
These and related FCC decisions are based on, among other considerations, improving coverage through macro networks to customers for wireless services. When FirstNet refers to the importance of economies of scale, it is apparently referring to geographic coverage through macro networks.
51
53
The economics for small cell networks, however, enable profitability by providing economies of scope, with many different types of services to multiple customer segments in a small area. Economies are provided not through macro network coverage but by micro network capacity to accommodate many customers with different technology needs. Many wireless network experts believe that dense deployments of small cells in an area served by a single eNodeB tower will increase efficiency and reduce costs while increasing capacity to handle many different markets.
52
54
Although urbanized areas are seen by many as the primary market for expanding small cell services, the benefits may also be important in rural or remote areas. Experts suggest that, in addition to serving public safety, a rural small cell configuration could support, for example, transportation improvements, education, job search, agricultural and forestry management, new efficiencies in municipal government and services, and economic growth.
53
55
Economies of scale at the macro level may also be available in states with a low population density. A cost-effective network solution may be achieved by adjacent states combining their resources to provide coverage with eNodeBs and maximizing the utility of small cell networks at the local level. For state and local public safety agencies, maximizing the value of spectrum may be less important than achieving sufficient levels of scale and scope to meet their requirements.
FirstNet refers to the need to monetize the value of its spectrum holdings to expand coverage, based on the existing commercial footprint for LTE, not the footprint of statewide or local public safety networks. It does not estimate the value to states and communities of small cell networks and the wireless component of community broadband that may be transferred to FirstNet's commercial partners. FirstNet's plans appear to capture for its own use most of the value of spectrum used to provide both coverage and capacity. This value is unknown but potentially far greater than what FirstNet can lawfully
54
56
spend on improving its network or by reducing user fees. The excess value of the spectrum and access to local markets that FirstNet is using to barter for goods and services, therefore, will in most cases go to FirstNet's contractual partners, not to the states and communities intended by the act to be the primary beneficiaries of FirstNet's actions. Economists might describe this as a monopoly surplus.
Advantages of FirstNet's Comprehensive Network Strategy
Advantages of a federalized network, cited by FirstNet,
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include
Swift execution. Adding public safety access to existing commercial LTE infrastructure provides a turn-key solution for immediate access to a potentially large number of public safety agencies, federal agencies, and others;
Extension of LTE service to rural areas that currently have no commercial broadband service and might not have public safety communications coverage;
Streamlined access for federal partners. Instead of negotiating with each state or regional network, federal agencies need only negotiate with FirstNet to gain immediate access to the entire network;
National reach in times of emergency and assured access to federal incident commanders and officials;
Economies of Scale. FirstNet requires full control of many assets in order to maximize their value throughout the network; and
Sustainability. Development of small cell networks under FirstNet's control allows for most traffic to be off-loaded
on to
onto
local networks that require minimal spectrum, freeing spectrum for customers with a higher dollar-value for FirstNet.
Other Advantages
A number of advantages offered by FirstNet could be available in many other governance or business models. These include
Operation of core network (Evolved Packet Core) services such as enforcement of rules for interoperability and other policies and rules, operations, performance and security management, and subscriber databases;
Purchasing power. Negotiated discounts for equipment through buying cooperatives;
Research and development, standardization, and negotiations with standards bodies;
Widespread adoption of broadband technologies to improve, enhance, and extend the effectiveness of emergency responders; and
Development of best practices for cybersecurity and enforcement of network security procedures.
Disadvantages of FirstNet's Comprehensive Network Strategy
Some disadvantages of a federalized network might be
Loss of state autonomy. States have a consultative role but many decisions rest with FirstNet. States also lose control of spectrum assets, potentially limiting their ability to develop capabilities and services that are of value to them but not to FirstNet's customers for nationwide service;
Devaluation of state and federally funded investments in existing public safety communications networks. Although contractors may, after receiving a contract, negotiate with states and localities for access to their assets, the value and availability of those assets have not been openly stated in the FirstNet planning process;
Displacement of local competitors by the FirstNet contractor in local and state broadband development. Smaller communities may not be able to generate sufficient business for two or more broadband service providers. To achieve financially viable programs, they might be restricted to using the incumbent (FirstNet) provider;
Displacement of partners for broadband development. Desirable partners (such as a rural utility) may not be available for local projects because of contractual obligations to FirstNet;
Loss of market power for state public safety customers. If fees from state and local public safety agencies are a small part of FirstNet's revenue stream, states lose some of their bargaining power in negotiating for improved services or other requests; and
Increased risk through lack of diversified assets. Risks include operational risks such as a system
-
wide failure or cyberattack; financial risks such as monopoly pricing; competitive risks in some markets controlled by FirstNet contractors that may lead to reduced innovation; and the risk of poor management decisions with
systemwide
system-wide
impact.
State reactions in weighing risks and rewards of network participation may lead to another risk: limited participation, negating much of the intended value of FirstNet.
NTIA Grant Programs
The NTIA, in consultation with FirstNet, has responsibility for carrying out two grant programs: the State and Local Implementation Grant Program (SLIGP); and grants from the Network Construction Fund to states that are permitted to build their own Radio Access Networks.
State and Local Implementation Grant Program
The State and Local Implementation Fund was allocated $135 million
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from the Public Safety Trust Fund for grants to be made available to all 56 states and territories to develop a plan on how to use a nationwide public safety broadband network to meet their emergency communications needs. The distribution of available funds among the states is established by the NTIA, which administers the State and Local Implementation Grant Program in consultation with FirstNet. The program is conceived as a matching grant program. Federal grants from the fund are not to exceed 80% of the projected cost to the state; however, the NTIA may make the decision to waive the matching funds requirement.
The NTIA decided to plan for funding in two phases. Grants for both phases totaled over $116 million. Grants for the initial phase were awarded to 54 of the 56 eligible states and territories in FY2013. The state of Mississippi and the territory of the Northern Mariana Islands did not receive grants. The first phase of funding, totaling about $58 million, has helped states conduct outreach with public safety and state and local officials to determine their needs, gaps, and priorities for public safety wireless broadband and to prepare for formal consultations with FirstNet. Grants in the second phase may be used by states to collect data identifying and prioritizing where public safety broadband coverage is needed; identifying potential users and their capacity needs; detailing current providers and procurement mechanisms; and similar needs.
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Reportedly,
NTIA has recently decided no federal grant monies (SLIGP) can be used to explore any option other than "opt in". FirstNet itself recently asked for review of its interpretations of the Law ("second notice"), and those interpretations also tend to restrict the ability of states to explore options to build their own. It is clear NTIA does not want states doing coverage and financial modeling, even though such work would result in improved FirstNet plans for each state.
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The second phase of grants, also for $58 million, was announced in 2015. Awards went to states to collect data identifying and prioritizing where coverage is needed and identifying potential users and other information to facilitate network deployment.
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Network Construction Fund
The Spectrum Act requires that $7 billion, reduced by the amount needed to establish FirstNet, be available for a Network Construction Fund established in the Treasury to be used by FirstNet for costs associated with building the nationwide network and for grants to states that qualify to build their own networks.
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The amount to be made available for the fund has been set at $6.5 billion by FirstNet and the NTIA.
The act effectively creates three types of expenditures from the Network Construction Fund but does not specify how funds would be allocated for (1) expenditures by FirstNet on construction, maintenance, and related expenses to build the nationwide network required in the act; (2) by the NTIA to make payments to states that are participating in FirstNet; and (3) by the NTIA for grants to those states that qualify to build their own Radio Access Networks.
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GAO Study
The Spectrum Act requires that, before the end of FY2022, the Government Accountability Office (GAO) is to recommend to Congress what actions should be taken in regard to the ending of FirstNet's authority, mandated to occur in 2027. Additionally, at the request of the Senate Committee on Commerce, Science, and Transportation, GAO has prepared an evaluation of FirstNet's organization, including business decisions contained in the request for proposal; use of commercial, federal, state, local, and tribal infrastructure in deploying the network nationwide; and financial sustainability. GAO presented preliminary findings as testimony at a Commerce Committee hearing on March 11, 2015,
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and issued a final report on some of these issues on April 28, 2015.
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In testimony, GAO summarized the progress FirstNet has made in meeting its responsibilities but noted that it had not put in place a number of measures that GAO considers important. Notably, GAO found that FirstNet has not fully assessed the risks associated with its planning efforts (such as conflict of interest); has not established Standards of Conduct; and is not fully evaluating the information from five "early builder" projects.
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The full report expands on the information provided in testimony. The full report includes, for example, a timeline and other information regarding the development of FirstNet; more details about the "early builder" program; and some insight into FirstNet's planning process. Regarding the interaction of planning and the cost of building the network, GAO's comments include these observations:
"As part of its planning and market research, FirstNet has developed a cost estimate for its public safety network that met most of the best practices against which we evaluated it."
"FirstNet's cost estimate, including the assumptions it is based on, are not public because of the highly sensitive nature of the information it contains."
"We did not assess FirstNet's cost estimate against all the characteristics established in our Cost Estimating and Assessment Guide. Specifically, we did not assess whether FirstNet's estimate was 'credible' or 'accurate' because the estimate and its associated documentation were deemed business sensitive."
"We did not analyze the quantitative input and output of the cost model because the data included procurement sensitive information, and we would therefore be unable to report our findings in a public report."
"Therefore we cannot say if the estimate is in line with the credible and accurate characteristics of our Cost Estimating and Assessment Guide."
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OIG Report on FirstNet
Criticism by a member of the board of FirstNet, in April 2013—regarding a lack of transparency in information provided to the Board
,
and other issues—led to a review of practices by the Office of Inspector General (OIG.).
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The primary focus of the review had two main objectives, to determine whether the Department of Commerce (DOC)
had adequate processes in place to ensure that FirstNet Board members properly filed financial disclosures and identified potential conflicts of interest; and
used appropriate contracting processes and requirements.
The overall finding is that some monitoring procedures were inadequate, including, for example, a finding that "FirstNet contracting practices lacked transparent award competition, sufficient oversight of hiring, adequate monitoring, and procedures to prevent erroneous costs.... "
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In its review, the OIG looked at the roles of the NTIA, the DOC Office of General Counsel, and two agencies within DOC that were assigned direct responsibilities to assist FirstNet; the Bureau of
the
Census and NIST were asked to award and manage contracts with outside entities to provide assistance to FirstNet. The OIG did not specifically review activities of the NTIA Office of Public Safety Communications, created to assist FirstNet with administrative tasks, including staffing.
The OIG review determined that nearly $11 million had been inappropriately spent, much of it going for consulting work that did not meet contractual definitions of deliverables. The OIG referred to this consulting work as "work products" and questioned the expenditures. The DOC responded that it conducted relevant contracting activities in accordance with federal procurement laws and regulations and monitored performance, and that the contracts produced "first-rate feasibility research, technical analysis, strategic planning, and outreach services from highly specialized consultants, whose work product has laid the groundwork for executing FirstNet's mission."
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The OIG made recommendations to the Secretary, the General Counsel, the Chair of FirstNet, and the DOC's Senior Procurement Official regarding various procedures and responsibilities. A joint response from FirstNet, the NTIA, and the General Counsel concurred with the specific recommendations from the OIG, although not all the findings. In general, they defended their actions in the context of unique requirements and time constraints in setting up FirstNet.
The OIG review covered a limited range of issues linked to oversight procedures. Although it did not go into detail, the OIG noted "inconsistent administration"
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and several instances of significant time lags in the performance of DOC officials. For example, "6 months after the Board began regular meetings, senior NTIA and Office of General Counsel officials were still debating [the monitoring] of potential conflicts of interest."
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OIG found that most of the lapses occurred in the year after the FirstNet board held its first official meeting in September 2012. The review observed that "neither a business plan nor a network plan were completed or delivered to FirstNet during the 1-year performance period of the contracts.... "
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The OIG has established a team to audit and evaluate FirstNet activities. Additionally, it operates a fraud, waste, and abuse hotline for the Department of Commerce, which has received complaints regarding FirstNet. The OIG conducts follow-up on these complaints.
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Testimony at a Senate hearing on June 21, 2016,
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provided an update of OIG oversight of FirstNet activities. OIG reported ongoing improvements in implementing internal controls and risk assessment at FirstNet. Testimony highlighted several short- and long-term risks for FirstNet, such as the need for successfully managing the choice of contractor; setting competitive prices; and effective consultation with state and other authorities that are FirstNet's target customer base.
Discussion of Other Provisions in the Spectrum Act to Improve Public Safety Communications
Following is a discussion of other major provisions in the act that pertain to public safety communications, including provisions to improve the nation's 911 emergency call system.
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Among federal agencies designated by the act to provide consultation and support are the Federal Communications Commission (FCC), the National Telecommunications and Information Administration (NTIA), the National Institute of Standards and Technology (NIST), and the Office of Emergency Communications (OEC). The FCC manages commercial and non-federal spectrum use, including spectrum allocated to public safety. The NTIA manages federal spectrum resources and, along with NIST, is an agency within the Department of Commerce. OEC is part of the Office of Cybersecurity and Communications, Department of Homeland Security.
Spectrum Assignment
Radio frequency spectrum is an essential resource for wireless communications. The energy in electronic telecommunications transmissions converts electro-magnetic spectrum (airwaves) into signals to deliver voice, text, and images. These signal frequencies are allocated for specific purposes, such as television broadcasting or WiFi,
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and assigned to specific users through licenses. Allocating sufficient spectrum for wireless emergency communications has long been a concern for Congress. The Balanced Budget Act of 1997 (
P.L. 105-33
), for example, directed the FCC to allocate 24 MHz of spectrum in the 700 MHz band for public safety use.
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With the passage of the Spectrum Act, some existing public safety licenses in the 700 MHz band
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and an additional license for commercial use (known as the D Block)
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—together totaling 22 MHz—have been re-designated by Congress for a federal license for paired spectrum at 758-768 MHz and 788-798 MHz, plus guard bands at 768-769 MHz and 798-799 MHz to mitigate interference from adjacent channels. As required by the act, the initial, 10-year license to use these frequencies was assigned by the FCC to FirstNet. It is renewable for an additional 10 years, on condition that FirstNet has met its duties and obligations under the act.
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A total of 34 MHz of spectrum capacity will therefore be available for public safety networks within the 700 MHz band: the 22 MHz designated for broadband, and 12 MHz allocated for narrowband communications, primarily voice.
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Additionally, there are public safety networks on adjacent frequencies within the 800 MHz band. Time and technological advances may someday bring these spectrum assets together, but at present there are three distinct public safety network technologies in use or planned within the 700 MHz and 800 MHz bands. These are broadband communications at 700 MHz; interoperable narrowband communications at 700 MHz; and narrowband communications at 800 MHz. Some of the narrowband networks at 700 MHz and 800 MHz can share infrastructure and radios but older narrowband networks at 800 MHz are often not easily integrated with narrowband networks being built on 700 MHz frequencies.
The act also gives the FCC the authority to " ... allow the narrowband spectrum to be used in a flexible manner, including usage for public safety broadband communications ... " subject to technical and interference protection measures.
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States, therefore, might be able to convert some existing narrowband networks to broadband use in addition to service from FirstNet.
The act requires that public safety users return frequencies known as the T-Band.
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These are frequencies between 470 and 512 MHz allocated for television that have been made available for public safety use in 11 urban areas.
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Since the transition to digital television, radio transmissions on some of these frequency assignments have experienced interference and the public safety agencies that use them are considering moving to new networks at 700 MHz. Other areas have recently invested to upgrade networks built on the T-Band frequencies and are concerned about the loss of this communications capacity. The act requires that the FCC act by February 2021 to establish a relocation plan that would free up the T-Band for reassignment through competitive bidding. Proceeds from the auctions of T-Band frequencies are to be available for grants to cover relocation costs.
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There are no requirements in the law as to how the NTIA, the designated grants administrator, is to structure the grant program or determine eligible costs. The law also does not address technical complications that may arise because of adjacent commercial assignments not included in the rebanding.
Some of the earliest spectrum assignments for public safety are in channels below 512 MHz. Public safety and other license-holders in designated channels below 512 MHz are required to reband their holdings to conform to an FCC mandate to improve spectrum efficiency.
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This narrowbanding requirement, as it is called, requires that assigned channels be reduced from a width of 25
khz
kHz
to 12.5
khz
kHz
, thereby freeing up new spectrum capacity for public safety and other uses. The deadline to meet the narrowbanding requirement was January 1, 2013. To accommodate public safety license holders in the T-Band that now fall under requirements established in the act, the FCC has ruled to exempt them from the narrowbanding requirements.
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Public Safety Trust Fund
The law provides for transfers from a Public Safety Trust Fund, which is established in the Treasury by the act, to receive revenues from designated auctions of spectrum licenses.
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The designated amounts are to remain available through FY2022, after which any remaining funds are to revert to the Treasury, to be used for deficit reduction. Auction proceeds are to be distributed in the following order of priority:
To the NTIA, to reimburse the Treasury for funds advanced to cover the initial costs of establishing FirstNet: not to exceed $2 billion.
To the State and Local Implementation Fund for a grant program: $135 million.
To the Network Construction Fund for costs associated with building the nationwide network and for grants to states that qualify to build their own networks: $7 billion, reduced by the amount advanced to establish FirstNet.
To NIST for public safety research: $100 million.
To the Treasury for deficit reduction: $20.4 billion.
To the NTIA and the National Highway Traffic Safety Administration for a grant program to improve 911 services: $115 million.
To NIST for public safety research, phase two: $200 million.
To the Treasury for deficit reduction: any remaining amounts from designated auction revenues.
In compliance with the act, the FCC conducted two auctions in 2014-2015 (Auctions 96 and 97) that generated sufficient revenue to meet the funding requirements of the act summarized above.
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FirstNet: Limit on Expenditures
The act caps FirstNet's administrative expenses at $100 million in total over the first 10 years of operation. Costs attributed to oversight and audits are not included in the expense cap.
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FirstNet: Fee Income and Other Revenue
Congress gave FirstNet the authority to obtain grants, and to receive payment for the use of network capacity licensed to FirstNet and of network infrastructure "constructed, owned, or operated" by FirstNet.
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Specifically, FirstNet is authorized to collect network user fees from public safety and secondary users
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and to receive payments under leasing agreements in public-private partnerships.
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These partnerships may be formed between FirstNet and a secondary user for the purpose of constructing, managing, and operating the network. The agreements may allow access to the network on a secondary basis for services other than public safety.
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The act requires that these fees be sufficient each year to cover annual expenses of FirstNet to carry out required activities,
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with any remaining revenue going to network construction, operation, maintenance, and improvement.
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There is a prohibition on providing service directly to consumers; this does not impact the right to collect fees from a secondary user or enter into leasing agreements.
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Planning Authority
The Spectrum Act created FirstNet as an independent entity within the NTIA. FirstNet is required to plan for and establish an interoperable broadband network for public safety. The act requires that state and local agencies and tribal authorities have a consulting role in the development, deployment, and operation of the nationwide network. The act further provides an opportunity for states to plan and build their own Radio Access Networks within the framework of the nationwide broadband network.
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Unless renewed, this authority expires in 2027.
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When Congress creates an independent entity within the federal government, it may have the obligation to achieve a specific goal, usually within a specific time frame.
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As an independent entity, FirstNet—the First Responder Network Authority—has been given both goals and time frames. It has been instructed by Congress to exercise all powers specifically granted by the act and "such incidental powers as shall be necessary"
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to create a nationwide broadband network for public safety. The law requires FirstNet to become a self-funding entity, independent of government subsidies.
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FirstNet is to take "all actions necessary to ensure the building, deployment, and operation" of the network in consultation with federal, state, tribal, and local public safety entities, the Director of NIST, the FCC, and the public safety advisory committee.
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FirstNet appears therefore to be an autonomous organization, with broad powers to carry out its mandate, within the requirements established by the law. It has, for example, sole power to select the program's manager and its agents, consultants, and other experts subject to the requirement that they be chosen "in a fair, transparent, and objective manner."
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However, FirstNet, except for certain exemptions provided in the act, must follow federal agency requirements, notably in hiring and procurement, slowing down the process for establishing FirstNet as a going concern.
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FirstNet is headed by a board of 15 members of which 12 are appointed by the Secretary of Commerce according to criteria established by the act, which are intended to provide both representation from key stakeholders and expertise. The other three members of the board are designees of the Secretary of the Department of Homeland Security, the Attorney General of the United States, and the Director of the Office of Management and Budget. The Secretary of Commerce is required to appoint a chairman of the board for an initial term of two years.
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As part of its management of the network, FirstNet is required, at a minimum
To establish network policies, including development of detailed requests for proposals to build the network, and operational matters such as terms of service and billing practices.
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To consult with states on network-related expenditures, as part of the preparation of policies and requests for proposals.
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To enter into agreements to use existing communications infrastructure, including commercial and federal infrastructure, "to the maximum extent economically desirable."
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To ensure the construction, maintenance, operation, and improvement of the broadband network, taking into account new and evolving technologies.
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To enter into agreements with commercial networks to allow public safety roaming on their networks.
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To represent the interests of the network's users before standards-setting boards, in consultation with NIST, the FCC, and its own Public Safety Advisory Committee.
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FirstNet is required to create a public safety advisory committee to assist in carrying out its mandate.
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There are no requirements in the statute as to the composition of the committee. By-laws adopted at the organizing meeting of the FirstNet Board of Directors on September 25, 2012, created a Public Safety Advisory Committee.
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It was further agreed that the members of the committee would be chosen from the Advisory Committee to SAFECOM, within the Department of Homeland Security, in consultation with the Secretary of Homeland Security. The organizations chosen to be represented on the committee were announced on February 20, 2013.
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State and local government interests are represented through a subcommittee of PSAC.
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Statutory Obligations
Examples of statutory obligations for Congress and the Administration in the direction of FirstNet include the following.
Membership on FirstNet
b
oard
. The members of the FirstNet board are to be chosen by the Secretary of Commerce, within the parameters established in the act. The Department of Homeland Security, the Attorney General, and the Office of Management and Budget each have one member on the board in permanence. The Secretary of Commerce is required to appoint a chairman of the board for an initial term of two years.
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Grant
p
rograms
for planning
. The NTIA is to establish and administer the State and Local Implementation Fund. Grant provisions are to be decided in consultation with FirstNet,
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but not necessarily in accordance with decisions made by the FirstNet board and executive management.
Grant programs for state networks
. The NTIA is to administer grants from the Network Construction Fund to states that qualify to build their own Radio Access Networks and choose to apply for a grant.
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Funding
for FirstNet and participating states
through the Network Construction Fund.
The NTIA is to determine the funding level available to each state for the buildout of the nationwide broadband network, if the state chooses to participate in FirstNet.
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Spectrum
leases for state networks.
The NTIA sets the terms and is responsible for enforcing the requirement that states qualifying to build their Radio Access Networks must sublease spectrum through FirstNet, the assigned license-holder.
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License
r
eview.
The FCC is required to review the initial 10-year license assigned to FirstNet and consider its renewal based on performance criteria.
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123
Performance
r
eview
. The Government Accountability Office (GAO), within 10 years, is to prepare a report providing recommendations on "what action Congress should take" regarding the mandated termination of authority of FirstNet in 2027.
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Fee schedule
. The NTIA is to review and approve the annual schedule of fees charged to public safety agencies and other users for access to FirstNet's resources.
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125
Annual audit
. The Secretary of Commerce is to contract for an annual audit of FirstNet's finances and activities. The reports are to be submitted to Congress, the President, and FirstNet.
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Report to Congress
. FirstNet is required to submit annual reports to Congress on its "operations, activities, financial conditions, and accomplishments."
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The designated appropriate congressional committees are, in the Senate, the Committee on Commerce, Science, and Transportation; in the House, the Committee on Energy and Commerce.
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Time Frame
The requirements of the Spectrum Act must be substantially met and the viability of the project demonstrated no later than the end of FY2022, if not sooner. The State and Local Implementation Fund and the Network Construction Fund expire in 2022, with any balances reverting to the Treasury. By 2022, GAO must have assessed the performance of FirstNet and provided a report to Congress; and the FCC must decide whether or not to renew the licenses for the public safety broadband network. Within this 10-year time frame, there are few deadlines beyond requirements for the initial establishment of the planning and implementation framework.
Many of the important steps for building the network have no required deadline. Some milestones, such as rural coverage, are mandated in the act, but the deadlines are not specified. There are, for example, no deadlines in provisions that require FirstNet to
Develop requests for proposals that include a requirement for timetables.
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Consult with states on establishing state and local planning processes.
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Complete the request for proposal process that is to be given to each state governor regarding the request for proposal and its details, and the funding level for each state as determined by the NTIA.
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Mandated deadlines for states include
Within 90 days of receipt of notice from FirstNet, the governor shall choose either to participate in deployment of FirstNet or to conduct its own Radio Access Network deployment within the state.
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Within 180 days of giving notice to opt out of FirstNet, the governor shall complete requests for proposals for a state network.
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133
No deadline is established in the statute for the FCC to approve or disapprove state proposals for their own portion of the nationwide broadband network.
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There are also no specified deadlines for a state to apply to the NTIA for a grant to construct the Radio Access Network and to lease spectrum capacity from FirstNet, if FCC approval is received for a state network.
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135
However, one condition of eligibility for a grant to a state to build its own Radio Access Network is that the state's plan must demonstrate "the ability to complete the project within specified comparable deadlines.... "
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Next Generation 9-1-1
Today's 911 system is built on an infrastructure of analog technology that does not support many of the features that most Americans expect to be part of an emergency response. Efforts to splice newer, digital technologies onto this aging infrastructure have created points of failure where a call can be dropped or misdirected, sometimes with tragic consequences. Callers to 911, however, generally assume that the newer technologies they are using to place a call are matched by the same level of technology at the 911 call centers, known as Public Safety Answering Points (PSAPs). However, this is not always the case. To modernize the system to provide the quality of service that approaches the expectations of its users will require that the PSAPs and state, local, and possibly federal emergency communications authorities invest in new technologies. As envisioned by most stakeholders, these new technologies—collectively referred to as Next Generation 911 or NG9-1-1—should incorporate Internet Protocol standards. An IP-enabled emergency communications network that supports 911 will facilitate interoperability and system resilience; improve connections between 911 call centers; provide more robust capacity; and offer flexibility in receiving and managing calls. The same network can also serve wireless broadband communications for public safety and other emergency personnel, as well as other purposes.
Recognizing the importance of providing effective 911 services, Congress has previously passed three major bills supporting improvements in the handling of 911 emergency calls. The Wireless Communications and Public Safety Act of 1999 ( P.L. 106-81) established 911 as the number to call for emergencies and gave the Federal Communications Commission (FCC) authority to regulate many aspects of the service. The most recent of these laws, the NET 911 Improvement Act of 2008 ( P.L. 110-283), required the preparation of a National Plan for migrating to an IP-enabled emergency network. Responsibility for the plan was assigned to the E-911 Implementation Coordination Office (ICO), created to meet requirements of an earlier law, the ENHANCE 911 Act of 2004 ( P.L. 108-494). Authorization for the ICO terminated on September 30, 2009. ICO was jointly administered by the National Telecommunications and Information Administration and the National Highway Traffic Safety Administration.
Spectrum Act provisions re-establish the federal 9-1-1 Implementation Coordination Office (ICO) to advance planning for next-generation systems and to administer a grant program.
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ICO is to provide matching grants to eligible state or local governments or tribal organizations for the implementation, operation, and migration of various types of 911 and IP-enabled emergency services, and for public safety personnel training.
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States that have diverted fees collected for 911 services are not eligible for grants under the program.
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139
Provisions in the act regarding 911 programs include
GAO is required to study how states assess fees on 911 services and how those fees are used.
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140
The General Services Administration is required to prepare a report on 911 capabilities of multi-line telephone systems in federal facilities and the FCC is to seek comment on the feasibility of improving 911 identification for calls placed through multi-line telephone systems.
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141
The FCC is to assess the legal and regulatory environment for development of NG9-1-1 and barriers to that development, including state regulatory roadblocks.
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142
The FCC is also to (1) initiate a proceeding to create a specialized Do-Not-Call registry for public safety answering points, and (2)
to
establish penalties and fines for autodialing (robocalls) and related violations.
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143
ICO, in consultation with NHTSA and DHS
,
is to report on costs for requirements and specifications of NG9-1-1 services, including an analysis of costs, and assessments and analyses of technical uses.
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144
Immunity and liability protections are provided—to the extent consistent with specified provisions of the Wireless Communications and Public Safety Act of 1999—for various users and providers of Next Generation 911 and related services, including for the release of subscriber information.
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The act also requires FirstNet to promote integration of the nationwide public safety broadband network with PSAPs.
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Roaming and Priority Access Within the 700 MHz Band
In its
National Broadband Plan
, the FCC indicated that it wanted to make commercial networks in the 700 MHz band available for public safety use and requested that Congress confirm the FCC's authority to act.
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The Spectrum Act provides the FCC with statutory authority to establish rules in the public interest to improve the ability of public safety networks to roam on commercial space and to gain priority access.
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FirstNet is empowered by the act to enter into agreements with commercial providers that would allow public safety network users to roam on partnering networks.
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The act does not state whether roaming agreements may be negotiated by states that opt out and receive spectrum leases from the NTIA to operate their own Radio Access networks. Agreements might also cover rules for priority access in times of high demand for network capacity. Priority access can take several forms, such as "ruthless pre-emption," in which non-public-safety transmissions are immediately terminated to make way for emergency communications, or negotiated priority agreements that might, for example, place public safety users at the head of the line for network access as capacity becomes available. The act stipulates that the FCC's authority may not require roaming or priority access unless (1) the public safety and commercial networks are technically compatible; (2) the commercial network is reasonably compensated; and (3) access does not preempt or otherwise terminate or degrade existing traffic on the commercial network.
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Within these limits, the FCC appears to have some leeway to use its regulatory authority to support public safety in negotiations with partners. The FCC cannot, under the act, mandate ruthless pre-emption, although the act does not preclude contractual negotiations that would allow it.
The act's provisions for roaming and priority access do not require a commercial vendor to make additional investments to insure technical compatibility, and the act's language might be interpreted as precluding an FCC mandate to that effect. Full-spectrum roaming is considered by many to provide advantages for public safety and also for the public at large. For example, it makes more network capacity available for shared emergency communications of all types, not just for first responders. Many believe that full-spectrum access supports competitiveness among wireless carriers—in particular assisting small wireless carriers serving rural areas to offer new broadband services—by providing access to all customers within the band.
Legislation in the 115
th
Congress
Legislation in the 115 thCongress addressing public safety communications issues includes the following.
H.R. 588(Pallone).Securing Access to Networks in Disasters Act. Directs the FCC to conduct a study on network resiliency during times of emergency. Requires the FCC to submit within three years a study on the public safety benefits and technical feasibility and cost of (1) making telecommunications service provider-owned WiFi access points, and other communications technologies operating on unlicensed spectrum, available to the general public for access to 9-1-1 services, without requiring any login credentials during times of emergency when mobile service is unavailable; (2) the provision by non-telecommunications service provider-owned WiFi access points of public access to 9-1-1 services during times of emergency when mobile service is unavailable; and (3) other alternative means of providing the public with access to 9-1-1 services during times of emergency when mobile service is unavailable. Also amends the Stafford Act to include all communications providers as essential service providers during federally declared emergencies. Introduced January 17, 2017; passed by House (voice vote) on January 23, 2017.
S. 102(Cantwell).Securing Access to Networks in Disasters Act of 2017. Directs the FCC to conduct a study on alternative access to 9-1-1 services during times of emergency. Requires the FCC to submit within three years a study on the public safety benefits and technical feasibility and cost of (1) making telecommunications service provider-owned WiFi access points, and other telecommunications service provider-owned communications technologies operating on unlicensed spectrum, available to the general public for access to 9–1–1 services without requiring any login credentials during times of emergency when mobile service is unavailable; (2) the provision by non-telecommunications service provider-owned WiFi access points of public access to 9-1-1 services during times of emergency when mobile service is unavailable; and (3) other alternative means of providing the public with access to 9-1-1 services during times of emergency when mobile service is unavailable. Directs GAO to conduct a study on how executive departments can better ensure essential communications services remain operational during times of emergency; any legislative matters Congress could consider to help promote the resiliency of essential communications services; and whether a nationwide directory of points of contact among providers of essential communications services is needed to facilitate the rapid restoration of such services damaged during times of emergency. Also amends the Stafford Act to expand list of essential service providers during federally declared emergencies to include all communications providers. Introduced January 11, 2017; ordered to be reported with an amendment in the nature of a substitute favorably by the Committee on Commerce, Science, and Transportation on January 24, 2017.
H.R. 582(Gohmert).Kari's Law Act of 2017. Amends the Communications Act of 1934 to require multi-line telephone systems to have a configuration that permits users to directly initiate a call to 9-1-1 without dialing any additional digit, code, prefix, or post-fix. Introduced January 17, 2017; passed by House (408-0) on January 23, 2017.
S. 123(Klobuchar).Kari's Law Act of 2017. Amends the Communications Act of 1934 to require multi-line telephone systems to have a default configuration that permits users to directly initiate a call to 9-1-1 without dialing any additional digit, code, prefix, or post-fix. Ordered to be reported favorably by the Committee on Commerce, Science, and Transportation on January 24, 2017.
Author Contact Information
[author name scrubbed], Specialist in Science and Technology
Author Contact Information
[author name scrubbed], Specialist in Telecommunications
Policy
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[email address scrubbed]
, [phone number scrubbed])
Acknowledgments
This report was originally written by [author name scrubbed], Specialist in Telecommunications Policy.
Footnotes
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1 . P.L. 112-96, Section 6204 (a). 2 . P.L. 112-96, Section 6202 (b) (2) (B). 3 .The spectrum license issued to FirstNet is for two 10 MHz channels of paired spectrum at 758-768 MHz and 788-798 MHz, plus guard bands at 768-769 MHz and 798-799 MHz to mitigate interference from adjacent channels. For purposes of allocation and assignment, spectrum is segmented into bands of radio frequencies measured in cycles per second, or hertz. Standard abbreviations for measuring frequencies include kHz—kilohertz or thousands of hertz; MHz—megahertz, or millions of hertz; and GHz—gigahertz, or billions of hertz. The designation can refer to an entire band, such as the 700 MHz band, or to specific frequencies within a band. 4 . P.L. 112-96, Section 6203 (c) (2). 5 .To the extent that public information is available, it appears that most if not all of the bidders are consortia of companies assembled to meet the diverse needs of the public safety network. The FirstNet RFP requires bidders to make proposals that address 16 core objectives such as cybersecurity, network reliability, and pricing. 6 .In FirstNet's Special Notice, the "Proposed Pricing Methodology, Level of Government Funding" proposes that "potential offerors may be required to propose how much of the $6.5 billion in Government funding that FirstNet will make available is needed to deploy, operate and maintain the NPSBN, based on their proposed solution given the level of value available as described in (2) below. Potential offerors would be required to propose the timing of when the funding is required to achieve the initial operating capability milestones that are detailed in the draft RFP documents." 7 . http://www.commerce.senate.gov/public/index.cfm?p=Hearings&ContentRecord_id=25dedd7c-815b-4b3d-a420-4f4324d01041&Statement_id=ec8d2396-ecd6-4787-bcc6-6c0152203066&ContentType_id=14f995b9-dfa5-407a-9d35-56cc7152a7ed&Group_id=b06c39af-e033-4cba-9221-de668ca1978a&MonthDisplay=3&YearDisplay=2015.Hearing, Senate Committee on Commerce, Science, and Transportation, "FirstNet Oversight: An Update of the Status of the Public Safety Broadband Network," June 21, 2016, testimony of Michael Poth, Chief Executive Officer, FirstNet, June 21, 2016, https://www.commerce.senate.gov/public/_cache/files/52af162c-90dd-42bb-bc1f-31b8f2d4693b/7C9C152E53812C3B20625C527735C423.mr.-poth-testimony.pdf. 8 Donny Jackson, Urgent Communications , "AT&T Is Apparent Selection to Build FirstNet, as Rivada Mercury Files Protest over Elimination from Bid," December 2, 2016, available at http://urgentcomm.com/public-safety-broadbandfirstnet/att-apparent-selection-build-firstnet-rivada-mercury-files-protest-o . 8 .National Public Safety Telecommunications Council, "Rivada Mercury Sues Over 'Wrongful Exclusion' from FirstNet Exclusion," December 4, 2017, available at https://blog.npstc.org/2016/12/04/rivada-mercury-sues-over-wrongful-exclusion-from-firstnet-procurement/. 9 .Donny Jackson, Urgent Communications, "Uncertain Delays Create Timing Issues for States, Public Safety in Preparation for FirstNet," January 10, 2017, available at http://urgentcomm.com/blog/uncertain-delays-create-timing-issues-states-public-safety-preparation-firstnet.FirstNet, Request for Information for Comprehensive Network S olution(s) ,September 17, 2014, http://www.firstnet.gov/sites/default/files/Request%20for%20Information%20for%20Comprehensive%20Network%20Solutions.pdf. 9 11 .Congressional Research Service was informed of the outline for FirstNet's comprehensive network strategy in discussion with NTIA officials between July and September 2012. 10 12 .FirstNet, Second Notice, March 9, 2015, at http://www.firstnet.gov/sites/default/files/FirstNet_Second_Public_Notice_0.pdfplus; also published in Federal Register, Vol. 80, No. 49, Friday, March 13, 2015, 1336-13351 (Docket Number 150306226-5226-01); comments due by April 28, 2015. 11 13 .FirstNet, Public Notice on Statutory Interpretations, September 17, 2014, at http://www.firstnet.gov/sites/default/files/firstnet-public-notice-middle-class-tax-relief-job-creation-act-of-2012.pdf. 12 14 .FirstNet, "Further Proposed Interpretations of Parts of the Middle Class Tax Relief and Job Creation Act of 2012," at http://www.firstnet.gov/sites/default/files/firstnet-third-notice-final-prepublication-version.pdf. 13 15 .FirstNet, Special Board Meeting Agenda, http://www.firstnet.gov/sites/default/files/FirstNet-April-24-2015-Meeting-Agenda.pdf . 14 16 ."FirstNet's Proposed Acquisition Approach," April 24, 2015, at http://www.firstnet.gov/sites/default/files/firstnet-special-notice-and-draft-rfp-documents_0.pdf. 15 17 .FirstNet, Special Noticeand supporting documents for draft RFP, Federal Business Opportunities, Solicitation Number D15PS00295, at https://www.fbo.gov/index?s=opportunity&mode=form&tab=core&id=55fa4d3227d5ac0173e4613e04368c86. 16 18 .As a federal agency, FirstNet is required to follow federal procurement processes but the act does not mandate the use of FAR. Some legal experts might argue that the contracts to be negotiated through the RFP process are not subject to FAR. For more information on FAR, see CRS Report R42826, The Federal Acquisition Regulation (FAR): Answers to Frequently Asked Questions, by [author name scrubbed], [author name scrubbed], and [author name scrubbed]. 17 19 .Fact Sheet, "FirstNet and Federal Departments and Agencies," October 2014 at http://www.firstnet.gov/sites/default/files/federal-information-fact-sheet-1.pdf. 18 20 .Ibid. 19 21 .Ibid. 20 22 .FirstNet, Request for Information for Comprehensive Network S olution(s) ,September 17, 2014, http://www.firstnet.gov/sites/default/files/Request%20for%20Information%20for%20Comprehensive%20Network%20Solutions.pdf. 21 23 ."FirstNet LTE Overview," at http://www.firstnet.gov/sites/default/files/LTE%20Overview-.pdf. The version referenced in this report is dated March 2, 2015. 22 24 .Small cells are low-powered radio access nodes that are used to boost capacity and manage network interference and connectivity. The types of small cells include Femtocells, typically used in a home; Picocells, that may serve a business; Metrocells, for urban areas; and Microcells, the largest in terms of geographic coverage, used primarily in rural areas. The term small cells is used by the Small Cell Forum as an umbrella term for operator-controlled, low-power radio access nodes using licensed or unlicensed spectrum. 23 25 .A more detailed discussion of the evolution of wireless network concepts appears in CRS Report R43595, Mobile Technology and Spectrum Policy: Innovation and Competition, by [author name scrubbed]. 24 26 . P.L. 112-96, Section 6202 (b) states that the network consists of "(1) a core network that—(A) consists of national and regional data centers, and other elements that may be distributed geographically, all of which shall be based on commercial standards; and (B) provides the connectivity between—(i) the radio access network; and (ii) the public Internet and the public switched network, or both; and (2) a radio access network that—(A) consists of all cell site equipment, antennas, and backhaul equipment, based on commercial standards, that are required to enable wireless communications, with devices using the public safety broadband spectrum; and (B) shall be developed, constructed, managed, maintained, and operated taking into account the State, local, and tribal planning and implementation grant program, under section 6302 (a)." 25 27 .In 2012, small cell deployments now commonly used by the industry to expand their LTE networks were considered experimental, for example comments in President's Council of Advisors on Science and Technology (PCAST), Reali z ing the Full Potential of Government-Held Spectrum to Spur Economic Growth, July 20, 2012, at https://www.whitehouse.gov/sites/default/files/microsites/ostp/pcast_spectrum_report_final_july_20_2012.pdf.FirstNet, Second Notice, at http://www.firstnet.gov/sites/default/files/FirstNet_Second_Public_Notice_0.pdfplus. 26 28 .Last published, March 10, 2016, https://www.dhs.gov/national-emergency-communications-plan. 27 29 .Department of Homeland Security, National Emergency Communications Plan, November 12, 2014, p .7: "… the primary means to achieve mission critical voice communications." At http://www.dhs.gov/sites/default/files/publications/2014%20National%20Emergency%20Communications%20Plan_October%2029%202014.pdf . 28 30 . P.L. 112-96, Section 6206 (c) (2) (B). 29 31 . P.L. 112-96, Section 6302 (d). 30 32 .See "Statewide Interoperability Coordinators," at http://www.dhs.gov/files/programs/gc_1286986920144.shtm. 31 33 .Hearing, House Committee on Energy and Commerce, Subcommittee on Communications and Technology, "Oversight of FirstNet and the Advancement of Public Safety Wireless Communications," testimony of Samuel Ginn, Chairman, FirstNet, November 21, 2013. List of state contacts at http://www.firstnet.gov/sites/default/files/spoc-list-directory-20150113.pdf. 32 34 . P.L. 112-96, Section 6302 (e) (1). 33 35 .A discussion of courses a state might choose appears in a blog post on medium com: Bill Schrier, "FirstNet: More Choices than Just Opt-In/out," February 7, 2015, https://medium.com/@BillSchrier/firstnet-more-choices-than-just-opt-in-out-cb47b306b62c. 34 36 .FirstNet, Second Notice, at http://www.firstnet.gov/sites/default/files/FirstNet_Second_Public_Notice_0.pdfplus. 35 37 . P.L. 112-96, Section 6302 (e) (2) and (3). 36 38 . P.L. 112-96, Section 6302 (e) (3) (D). 37 39 . P.L. 112-96, Section 6302 (f). 38 40 . Federal Register, Vol. 81, No. 138, July 19, 2016 46907 et seq., "State Alternative Plan Program (SAPP) and the First Responder Network Authority Nationwide Public Safety Broadband Network," https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-17034.pdf. 39 41 .The discussion is based on currently available information as of the publication date of this report. 40 42 .CRS meeting with FirstNet officials, February 13, 2015. 41 43 .FirstNet, Public Notice on Statutory Interpretations, at http://www.firstnet.gov/sites/default/files/firstnet-public-notice-middle-class-tax-relief-job-creation-act-of-2012.pdf. The Special Notice, "Terms of Reference," reiterates the proposed definition but does not provide a conclusive description of RAN. 42 44 .CRS meeting with FirstNet officials, February 13, 2015. 43 45 .Ibid. 44 46 .Hearing, Senate Committee on Commerce, Science, and Transportation, "Three Years Later: Are We Any Closer to a Nationwide Public Safety Network," March 11, 2015: oral testimony of Ms. Susan Swenson, Chairwoman, FirstNet. Ms. Swenson further explained that FirstNet had found it difficult to negotiate for access to state and local infrastructure as part of its pilot with the Los Angeles Regional Interoperable Communications System (LA-RICS). See also FirstNet, "Early Builder's Blog, February12, 2015, at http://www.firstnet.gov/newsroom/blog/early-builders-blog-la-rics. 45 47 .Ibid. 46 48 ."We believe as a general matter that Congress did not intend for a few, high density states to be able to withhold material funding for all the other States under the Act." Second Notice, op.cit. 47 49 .FirstNet, Second Notice, at http://www.firstnet.gov/sites/default/files/FirstNet_Second_Public_Notice_0.pdfplus. 48 50 .This phrase has reportedly been used in many discussions between FirstNet staff and Members of Congress or their staff. It was also used in the February 13, 2015 CRS meeting with FirstNet officials. 49 51 .Examples of sources that discuss potential value or wireless broadband for rural, suburban, and urban areas include Small Cell Forum case studies, including rural and remote areas ( http://scf.io/en/documents/047_Extending_rural_and_remote_coverage_using_small_cells.php); NTIA , Broadband USA: An Introduction to E ffective P ublic -P rivate P artnerships for B roadband I nvestments( http://scf.io/en/documents/047_Extending_rural_and_remote_coverage_using_small_cells.php);and testimony at Senate and House hearings on the Internet of Things (Senate, Committee on Commerce, Science, and Transportation, February 11, 2015; House, Committee on Energy and Commerce, March 24, 2015). 50 52 .FCC News, "FCC Announces Wireless Spectrum Cap to Sunset Effective January 1, 2003," November 8, 2001. Report and Order FCC-01-328. See Docket No. 01-14, Notice of Proposed Rulemaking, released January 23, 2001, at http://hraunfoss.fcc.gov/edocs_public/attachmatch/FCC-01-28A1.pdf. 51 53 .FirstNet, "Stakeholder Quarterly Webinar," April 2, 2015, presentation on FirstNet Second Noticeby Eli Veenendaal, Attorney-Advisor, at http://www.firstnet.gov/sites/default/files/Stakeholder_Qtrly_Webinar_20150402.pdf. 52 54 .See, for example, Qualcomm, "1000x: More Small Cells; Hyper-Dense Small Cell Deployments," June 2014. For presentation slides, see http://www.slideshare.net/qualcommwirelessevolution/web-bringing-1000x-closer-to-reality-hyper-dense-small-cells-wirelessnetworks-052014. 53 55 .See, for example, Computerworld, "Verizon Boosts Role in Farm Services and Smart Cities," by Matt Hamblen, May 1, 2015, at http://www.computerworld.com/article/2917932/internet-of-things/verizon-boosts-role-in-smart-cities-and-farms-services.html. 54 56 .The act requires FirstNet to reinvest in the network any excess receipts from the fees it is authorized to collect, P.L. 112-96, Section 6207 (b). 55 57 .These advantages were, for example, highlighted in presentations at FirstNet's "Stakeholder Quarterly Webinar," April 2, 2015 ( http://www.firstnet.gov/sites/default/files/Stakeholder_Qtrly_Webinar_20150402.pdf) as well as in other documents. 56 58 . P.L. 112-96, Section 6413. 57 59 .NTIA Press Release, "NTIA Announces Second Phase of Funding for State and Local Implementation Grant Program," March 23, 2015, http://www.ntia.doc.gov/press-release/2015/ntia-announces-second-phase-funding-state-and-local-implementation-grant-program. 58 60 .Bill Schrier, the Chief Seattle Geek Blog, "Live Long and Prosper: Impressions from the SPOCs Meeting," April 19, 2015, at https://schrier.wordpress.com/2015/04/19/live-long-and-prosper-impressions-from-the-spocs-meeting/. 59 61 .NTIA Press Release, NTIA Announces Second Phase of Funding for State and Local Implementation Grant Program," March 23, 2015, https://www.ntia.doc.gov/press-release/2015/ntia-announces-second-phase-funding-state-and-local-implementation-grant-program. 60 62 . P.L. 112-96, Section 6413. 61 63 . P.L. 112-96, Section 6206 (e). 62 64 .Hearing, Senate Committee on Commerce, Science, and Transportation, "Three Years Later: Are We Any Closer to a Nationwide Public Safety Network," March 11, 2015: Testimony of Mark L. Goldstein, Director, Physical Infrastructure Issues, GAO at http://www.commerce.senate.gov/public/?a=Files.Serve&File_id=782a6761-b54b-4e6b-918d-6bd28b287f34. 63 65 .GAO, Public-Safety Broadband Network: FirstNet Should Strengthen Internal Controls and Evaluate Lessons Learned, GAO-15-407, April 2015, at http://www.gao.gov/assets/670/669861.pdf. 64 66 .The early builder projects refer to four recipients of BTOP (Broadband Technology Opportunities Program) grants from the NTIA that also qualified for temporary sub-leases of the spectrum license held by FirstNet as well as Harris County, TX, which qualified for a license but did not receive a BTOP grant. These programs are intended to provide valuable lessons for FirstNet as it prepares to deploy nationwide. The four early builders with BTOP grants were Los Angeles County, CA (LA-RICS); Adams County, CO; New Jersey; and New Mexico. LA-RICS later withdrew. Three recipients with BTOP grants that did not qualify as early builders are Charlotte, NC; San Francisco, CA; and Mississippi. More information regarding the early builders is on the FirstNet website. Information on BTOP grant programs appears in CRS Report R41775, Background and Issues for Congressional Oversight of ARRA Broadband Awards, by [author name scrubbed]. 65 67 .GAO, Public-Safety Broadband Network: FirstNet Should Strengthen Internal Controls and Evaluate Lessons Learned, GAO-15-407, April 2015, p. 32, at http://www.gao.gov/assets/670/669861.pdf. 66 68 .OIG, First Responder Network Authority: FirstNet Must Strengthen Management of Financial Disclosures and Monitoring of Contracts, Final Report No. OIG-15-013-A, December 5, 2014, at http://www.oig.doc.gov/OIGPublications/OIG-15-013-A.pdf. 67 69 .Ibid., cover memorandum. 68 70 .Ibid., p. 36. 69 71 .Ibid., p. 5. 70 72 .Ibid., p. 6. 71 73 .Ibid., p. 12. 72 74 .Hearing, Senate Committee on Commerce, Science, and Transportation, "Three Years Later: Are We Any Closer to a Nationwide Public Safety Network," March 11, 2015: testimony of The Honorable Todd J. Zinser, Inspector General, U.S. Department of Commerce, http://www.commerce.senate.gov/public/index.cfm?p=Hearings&ContentRecord_id=25dedd7c-815b-4b3d-a420-4f4324d01041&Statement_id=ec8d2396-ecd6-4787-bcc6-6c0152203066&ContentType_id=14f995b9-dfa5-407a-9d35-56cc7152a7ed&Group_id=b06c39af-e033-4cba-9221-de668ca1978a&MonthDisplay=3&YearDisplay=2015. 73 75 .Hearing, Senate Committee on Commerce, Science, and Transportation, "FirstNet Oversight: An Update of the Status of the Public Safety Broadband Network," June 21, 2016, Testimony of Andrew Katsaros, Principal Assistant Inspector General for Audit and Evaluation, Department of Commerce, Office of Inspector General, https://www.commerce.senate.gov/public/_cache/files/efc4c1fd-6dff-4ca4-a79d-b2b4d470ee71/9013D88B9BB87AF29D2F242012682DC2.mr.-katsaros-testimony.pdf. 74 76 .The information in this and following sections has appeared in earlier versions of this report. 75 77 .WiFi, for wireless fidelity, operates on unlicensed frequencies that are not assigned to a specific owner but instead are available to support any device approved by the FCC. 76 78 .47 U.S.C. §309 (j) (14). 77 79 .763-768 MHz, 793-798 MHz, 768-769 MHz and 798-799 MHz. 78 80 .758-763 MHz and 788-793 MHz; P.L. 112-96, Section 6001, (2). 79 81 . P.L. 112-96, Section 6201. 80 82 .769-775 MHz and 799-805 MHz. 81 83 . P.L. 112-96, Section 6102. 82 84 . P.L. 112-96, Section 6103. 83 85 .Metropolitan areas: Boston, MA; Chicago, IL; Dallas/Fort Worth, TX; Houston, TX; Los Angeles, CA; Miami, FL; New York, NY/Newark NJ; Philadelphia, PA; Pittsburgh, PA; San Francisco/Oakland, CA; and Washington, DC. 84 86 .The National Public Safety Telecommunications Council (NPSTC) prepared a report that provided an overview of T-Band assignments, some of the problems created by the act's requirements, and possible alternative solutions. NPSTC, T-Band Report, March 15, 2013; link to PDF at http://www.npstc.org/, "NPSTC Releases T Band Report." 85 87 .Details at http://transition.fcc.gov/pshs/public-safety-spectrum/narrowbanding.html. 86 88 .FCC, "Waiver of Narrowbanding Deadlines for T-Band (470-512 MHz) Licenses," Docket No. WT 99-87, released April 26, 2012. 87 89 . P.L. 112-96, Section 6413. 88 90 .For additional information on the auctions, see CRS Report R44433, Framing Spectrum Policy: Legislative Initiatives, by [author name scrubbed]. 89 91 . P.L. 112-96, Section 6207 (b). 90 92 . P.L. 112-96, Section 6206 (b) (4). 91 93 . P.L. 112-96, Section 6208 (a) (1). 92 94 . P.L. 112-96, Section 6208 (a) (2). 93 95 . P.L. 112-96, Section 6208 (a) (2) (B). 94 96 . P.L. 112-96, Section 6208 (b). 95 97 . P.L. 112-96, Section 6208 (d). 96 98 . P.L. 112-96, Section 6212. 97 99 .Current information on FirstNet's activities, including network design and state planning, is available at http://www.firstnet.gov. 98 100 . P.L. 112-96, Section 6206 (f). 99 101 .For examples, see CRS Report RS22230, Congressional or Federal Charters: Overview and Enduring Issues, by [author name scrubbed]. 100 102 . P.L. 112-96, Section 6206 (a) (1). 101 103 . P.L. 112-96, Section 6208. 102 104 . P.L. 112-96, Section 6206 (b) (1). 103 105 . P.L. 112-96, Section 6205 (b) (1). 104 106 .Hearing, House Committee on Energy and Commerce, Subcommittee on Communications and Technology, "Oversight of FirstNet and the Advancement of Public Safety Wireless Communications," testimony of Samuel Ginn, Chairman, FirstNet, November 21, 2013. 105 107 . P.L. 112-96, Section 6204. 106 108 . P.L. 112-96, Section 6206 (c) (1). 107 109 . P.L. 112-96, Section 6206 (c) (2). 108 110 . P.L. 112-96, Section 6206 (c) (3). 109 111 . P.L. 112-96, Section 6206 (c) (4). 110 112 . P.L. 112-96, Section 6206 (c) (5). 111 113 . P.L. 112-96, Section 6206 (c) (7). 112 114 . P.L. 112-96, Section 6205 (a). 113 115 .Board Resolution 1, By-Laws, http://www.ntia.doc.gov/files/ntia/publications/firstnet_resolution_no._1_on_bylaws_adopted_9.25.12.pdf. 114 116 .NTIA, "FirstNet Names members of Public Safety Advisory Committee," February 20, 2013, http://www.ntia.doc.gov/press-release/2013/firstnet-names-members-public-safety-advisory-committee. 115 117 .Information on current activities of and participation in PSAC are available in the PSAC Fact Sheet, http://www.firstnet.gov/sites/default/files/PSAC%20Fact%20Sheet_050316_1.pdf. 116 118 . P.L. 112-96, Section 6204. 117 119 . P.L. 112-96, Section 6302 (a). 118 120 . P.L. 112-96, Section 6302 (e) (3) (C) (iii) (I). 119 121 . P.L. 112-96, Section 6302 (e) (1) (C). 120 122 . P.L. 112-96, Section 6302 (e) (3) (C) (iii) (II). 121 123 . P.L. 112-96, Section 6201 (b). 122 124 . P.L. 112-96, Section 6206 (g). 123 125 . P.L. 112-96, Section 6208 (c). 124 126 . P.L. 112-96, Section 6209. 125 127 . P.L. 112-96, Section 6210. 126 128 . P.L. 112-96, Section 6001 (3). 127 129 . P.L. 112-96, Section 6206, (c) (1). 128 130 . P.L. 112-96, Section 6206, (c) (2). 129 131 . P.L. 112-96, Section 6302 (e) (1). 130 132 . P.L. 112-96, Section 6302, (e) (2). 131 133 . P.L. 112-96, Section 6302, (e) (3) (B). 132 134 . P.L. 112-96, Section 6302 (e) (3) (C) (i). 133 135 . P.L. 112-96, Section 6302, (e) (3) (C) (iii). 134 136 . P.L. 112-96, Section 6302, (e) (3) (D) (i) (III). 135 137 . P.L. 112-96, Section 6503, "Section 158 "(a). 136 138 . P.L. 112-96, Section 6503, "Section 158 "(b). 137 139 . P.L. 112-96, Section 6503, "Section 158 "(c). 138 140 . P.L. 112-96, Section 6505. 139 141 . P.L. 112-96, Section 6504. 140 142 . P.L. 112-96, Section 6509. 141 143 . P.L. 112-96, Section 6507. 142 144 . P.L. 112-96, Section 6508. 143 145 . P.L. 112-96, Section 6506. 144 146 . P.L. 112-96, Section 6206 (b) (2) (C). 145 147 .FCC, Connecting America: The National Broadband Plan, http://www.broadband.gov/download-plan/. 146 148 . P.L. 112-96, Section 6211. 147 149 . P.L. 112-95, Section 6206 (c) (5). 148 150 . P.L. 112-96, Section 6211.
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(PDF) Synthesis of a Highly Efficient BiOCI Single-Crystal Nanodisk Photocatalyst with Exposing {001} Facets
PDF | BiOCl is known as a highly efficient photocatalyst for degradation of pollutants. However, effective methods for fabricating BiOCl nanomaterials... | Find, read and cite all the research you need on ResearchGate
Synthesis of a Highly Efficient BiOCI Single-Crystal Nanodisk Photocatalyst with Exposing {001} Facets
May 2014
ACS Applied Materials & Interfaces6(10)
DOI: 10.1021/am5010392
Authors:
<here is a image d554ff720d5de00a-5f13fb8f9f4a6a85>
Xing Zhang
Anhui University
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
Xin-Bo Wang
Xin-Bo Wang
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
Li-Wei Wang
Li-Wei Wang
<here is a image 463dad77f66b51b4-b602e328f059e231>
Wei-Kang Wang
East China Normal University
Abstract and Figures
BiOCl is known as a highly efficient photocatalyst for degradation of pollutants. However, effective methods for fabricating BiOCl nanomaterials with well-defined facets are still lacking. In this work, a facile synthetic method was developed for the fabrication of BiOCl nanodisks with exposed {001} facets. The central feature of this approach was the use of water as the hydrolysis agent and ethylene glycol as the crystal growth inhibitor agent to tune the growth of BiOCl nanomaterial. With this approach, the size and shape of BiOCl nanostructures could be effectively tuned through adjusting the volume ratio of ethylene glycol/H2O. In addition, the mechanism of the crystal growth in this fabrication process was elucidated. The as-prepared BiOCl nanodisks with exposed {001} facets exhibited an excellent photocatalytic activity towards Rhodamine B degradation under both ultraviolet and visible light irradiations. These findings shed light on the deep understanding of formation mechanisms of BiOCl nanodisks and provide an efficient and facile method for the synthesis of high active photocatalyst.
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(a) XRD patterns of the BiOCl-N001 and BiOCl-Y001 nanodisks; (b) SEM image; (c) TEM image of the BiOCl-Y001 nanodisks; (d) TEM image of single BiOCl-Y001 nanodisk surface; (e) HRTEM image of the BiOCl-Y001 nanodisks surface and insert is the corresponding SAED; (f) the crystal structure of BiOCl of (001) orient; (g) TEM image of BiOCl nanodisk lateral; (h) HRTEM image of single BiOCl nanodisk lateral and insert is the corresponding SAED; and (i) the crystal structure of BiOCl of (100) orient. …
<here is a image 7d41c9f8444736e6-71d788fe6eb7a3f6>
XPS spectra of (a) survey spectrum; (b) Bi 4f; (c) O 1s; and (d) Cl 2p for BiOCl-Y001 nanodisks. …
<here is a image 3b7e46a9c31672ae-7a466d1d0cf4fef1>
Growth of the BiOCl nanocrystal at different reaction steps: (a) the initial of white suspension; (b) 160 °C for 1 h. …
<here is a image 7ef3191d6490cfac-9bd66fe5314a8d74>
UV−vis diffuse reflectance spectra of BiOCl-Y001 and BiOCl-N001 nanodisks. …
<here is a image fe090f26882e512b-4fa48020ae76e889>
+1
Nitrogen adsorption−desorption isotherm plot and corresponding pore-size distribution (insert) of the as-prepared BiOCl-Y001 and BiOCl-N001nanodisks. …
Figures - uploaded by
Xing Zhang
Synthesis of a Highly E ffi cient BiOCl Single-Crystal Nanodisk
Photocatalyst with Exposing {001} Facets
Xing Zhang,
† , ‡
Xin-Bo Wang,
†
Li-Wei Wang,
†
Wei-Kang Wang,
†
Lu − Lu Long,
†
Wen-Wei Li,
†
and Han-Qing Yu *
, † , ‡
†
Department of Chemistry, University of Science and Technology of China, Hefei, Anhui, China
‡
Collaborative Innovation Center of Suzhou Nano Science and Technology, University of Science and Technology of China, Hefei,
Anhui, China
*
S Supporting Information
ABSTRACT: BiOCl is known as a highly e ffi cient photo-
catalyst for degradation of pollutants. However, e ffective
methods for fabricating BiOCl nanomaterials with well-de fined
facets are still lacking. In this work, a facile synthetic method
was developed for the fabrication of BiOCl nanodisks with
exposed {001} facets. The central feature of this approach was
the use of water as the hydrolysis agent and ethylene glycol as
the crystal growth inhibitor agent to tune the growth of BiOCl
nanomaterial. With this approach, the size and shape of BiOCl
nanostructures could be e ff ectively tuned through adjusting the volume ratio of ethylene glycol/H 2 O. In addition,the mechanism
of the crystal growth in this fabrication process was elucidated. The as-prepared BiOCl nanodisks with exposed {001} facets
exhibited an excellent photocatalytic activity towards Rhodamine B degradation under both ultraviolet and visible light
irradiations. These fi ndings shed light on the deep understanding of formation mechanisms of BiOCl nanodisks and provide an
e ffi cient and facile method for the synthesis of high active photocatalyst.
KEYWORDS: BiOCl, degradation, facets, nanodisk, photocatalysis, visible light
■ INTRODUCTION
Layered materials, such as graphene,
1
are promising materials
for sensing,
2
catalysis,
3
manufacturing device,
4,5
solid-state
lubricant,
6
and energy storage applications.
7
These materials
possess two-dimensional (2D) crystals structure, high speci fic
surface areas, and large fraction of uncoordinated surface atoms
relative to the corresponding bulks. In parallel with the
development of graphene-like materials, a complex ternary
layer compound, BiOCl, has also been extensively investigated
for one decade.
8 − 12
Recently, a facet-controlled fabrication of
single-crystalline BiOCl semiconductors with well-de fi ned
morphology is attracting great interests.
12 −17
It was found
that the photocatalytic activity of these materials depended
sensitively on the exposed surfaces with distinct crystal facets. A
comparison among the photocatalytic activities of the BiOCl
single-crystalline nanosheets withdi ff erent exposed facets
shows that the nanosheets with exposed {001} facets exhibited
a higher activity for direct semiconductor photoexcitation
degradation of pollutants under UV irradiation, but their
counterpart with exposed {010} facets possessed a superior
activity for indirect dye photosensitization degradation of
pollutants under visible light irradiation.
12
In addition, it was
demonstrated that ultrathin BiOCl nanosheets of {001} facets
with an atomic-scale thickness for the increased surface vacancy
associate possessed an enhanced adsorption capability and
enabled e ff ective separation of the electron-hole pairs.
16
Density functional theory calculations on the photocatalytic
properties of BiOCl nanosheets with {001}, {110}, and {010}
facets con fi rm that X-terminated (X = F, Cl, Br, and I) bulk-like
{001} facets with clear boundary of [Bi 2 O 2 ] and halogen slabs
had a high thermodynamic stability and e ffi cient separation of
photo-induced e −
− h +pairs.
18,19
However, since Bi 3+ ions are liable to hydrolysis in water
solution, the synthesis of BiOCl nanostructure is usually
conducted in solvent system, such as ethylene glycol (EG),
diethylene glycol, triethylene glycol,
20 −22
or in acid-assisted
water system (e.g., citric acid and hydrochloric acid).
23 −27
In
these systems, three dimensional microspheres are usually
obtained. For these microsphere morphologies, contaminants
adsorbed on their surface reduce their catalytic activity. Thus,
synthetic methods of highly active BiOCl catalysts are greatly
needed. As aforementioned, 2D BiOCl nanomaterial with
{001} facets has a high catalytic activity and layer-structured
BiOCl could be readily grown into 2D nanostructure because
of the inherent crystal growth tendency in water system.
However, controlling of the hydrolysis of Bi 3+ ions in water
systems and obtaining uniform, well dispersed and high-purity
2D BiOCl are the main problem to be resolved. Therefore,
Received: February 19, 2014
Accepted: April 30, 2014
Published: May 5, 2014
Research Article
www.acsami.org
© 2014 American Chemical Society 7766 dx.doi.org/10.1021/am5010392 | ACS Appl. Mater. Interfaces 2014, 6, 7766 −7772
e ff ective methods for controlled synthesis of 2D BiOCl
nanomaterials with {001} facets are highly desired.
In this work, in order to resolve the Bi 3+ hydrolysis problem
in water system and synthesize uniform and high-purity 2D
BiOCl nanodisks with exposed {001} facets, we proposed a
new facile approach through combining organic solvent and
water, elucidated their formation mechanism in terms of crystal
growth tendency, and demonstrated their high photocatalytic
activity for pollutant degradation.
■ EXPERIMENTAL SECTION
Preparation of the 2D BiOCl-Y001 Nanodisks. All chemicals
used in this work were of analytical grade and purchased from
Shanghai Chemical Reagent Co., China.
In a typical procedure of the nanodisks preparation, 0.972 g
Bi(NO 3 ) 3 · 5H 2 O (2 mmol) was added into 15 mL EG. Under vigorous
stirring and sonication for 10 min, the mixture was dispersed to form a
homogeneous solution. In parallel, 0.541 g FeCl 3 · 6H 2 O (2 mmol) was
added into 15 mL distilled water under vigorous stirring for 5 min to
form a homogeneous solution. Then, the above two solutions were
mixed, and a white suspension was formed immediately. The white
suspension was transferred into a 50 mL autoclave with a Te fl on linear,
which was heated at 160 ° C for 12 h, and then naturally cooled to
ambient temperature. The resulting solid powders were collected
through centrifugation and washed with distilled water and absolute
alcohol for several times to remove residual ions. The fi nal products
were then dried at 70 ° C for 6 h prior to characterization.
Physicochemical Characterization of the Samples. The X-ray
powder di ff raction (XRD) patterns of the samples were obtained on a
Philips X ’ Pert PRO SUPER di ff ractometer equipped with graphite
monochromatized Cu K α radiation ( λ = 1.541874 Å). The scanning
electron microscopy (SEM) images of the samples were taken with an
X-650 scanning electron micro analyzer and a JSM-6700F field
emission SEM (JEOL Co., Japan). The transmission electron
microscopy (TEM) images of the samples were recorded on a TEM
(H-7650, Hitachi Co., Japan), using an electron kinetic energy of 100
kV. The high-resolution transmission electron microscopy (HRTEM)
images and selected area electron di ff raction (SAED) patterns were
taken on an HRTEM (2010, JEOL Co., Japan) at an acceleration
voltage of 200 kV. The chemical compositions and the valence states
of constituent elements were analyzed by X-ray photoelectron
spectroscopy (XPS) (ESCALAB250, Thermo Fisher Inc., U.S.A.).
The di ff use re fl ectance spectra (DRS) were measured using a UV/Vis
spectrophotometer (Solid 3700, Shimadzu Co., Japan). The surface
area was measured by the Brunauer − Emmett− Teller (BET) method
with a Builder 4200 instrument (Tristar II 3020M, Micromeritics Co.,
U.S.A.).
Photocatalytic Measurements. The photocatalytic activity of the
BiOCl nanodisks for the degradation of Rhodamine B (RhB) was
evaluated using a UV light ( λ = 254 nm) or 350 W Xe arc lamp with a
420 nm cuto fffi lter as the light source at ambient temperature. Before
the tests, 0.02 g of BiOCl nanodisks as a photocatalyst was added into
30 mL aqueous solution containing 20 mg L − 1 RhB, and stirred in dark
for 30 min to ensure su ffi cient adsorption/desorption equilibrium.
Then, under light irradiation and continuously magnetic stirring,
samples were collected at given time intervals and the RhB
concentration was measured with a UV − vis spectrometer (U-3310,
Hitachi Co., Japan).
■ RESULTS AND DISCUSSION
Morphology and Microstructure of the BiOCl Nano-
disks. Figure 1a shows the XRD patterns of the prepared
BiOCl samples. The main di ff raction peaks were identical to
those of the tetragonal phase BiOCl (JCPDS card no. 06-
0249). The (001) peak was much higher than the standard
card, implying that the exposed surfaces of sample consisted of
Figure 1. (a) XRD patterns of the BiOCl-N001 and BiOCl-Y001 nanodisks; (b) SEM image; (c) TEM imageof the BiOCl-Y001 nanodisks; (d)
TEM image of single BiOCl-Y001 nanodisk surface; (e) HRTEM image of the BiOCl-Y001 nanodisks surface and insert is the corresponding SAED;
(f) the crystal structure of BiOCl of (001) orient; (g) TEM image of BiOCl nanodisk lateral; (h) HRTEM image of single BiOCl nanodisk lateral
and insert is the corresponding SAED; and (i) the crystal structure of BiOCl of (100) orient.
ACS Applied Materials & Interfaces Research Article
dx.doi.org/10.1021/am5010392 | ACS Appl. Mater. Interfaces 2014, 6, 7766 − 7772 7767
{001} facets (denote as BiOCl-Y001). The SEM images
(Figure 1b) reveals that the sample possessed large-scale disk-
like structures with diameter of 100 − 300 nm and thicknesses of
15 − 30 nm. The TEM images (Figure 1c) further con fi rms such
a disk-like structure. The HRTEM image (Figure 1e), which
was taken from the edge of the single nanodisk in Figure 1d,
reveals a highly crystalline and clear lattice fringes projected
along the [001] axis. The continuous lattice fringes with an
interplanar lattice spacing of 0.27 nm and an angle of 90 °
matched well with the (110) atomic planes of the tetragonal
BiOCl. The corresponding SAED pattern (insert in Figure 1e)
indicates a single-crystalline nature of the BiOCl-Y001
nanodisk. The angle labelled in the SAED pattern was 45 °,
which is in agreement with the theoretical calculation of the
angle between the (110) and (200) planes. The set of
di ff raction spots can be indexed as the [001] zone axis of
tetragonal BiOCl.
Figure 1f shows the BiOCl [001] projection crystal structure.
The HRTEM image (Figure 1h), which was taken from the tip
of the single nanodisk in Figure 1g, also reveals a high
crystallinity of the sample. The continuous lattice fringes with
an interplanar lattice spacing of ∼ 0.34 nm matched well with
the (101) atomic planes of the tetragonal BiOCl. The
corresponding SAED pattern (insert in Figure 1h) also
con fi rms the presence of single-crystalline BiOCl nanodisk.
The angle labelled in the SAED pattern was 27 ° , which is in
agreement with the theoretical calculation of the angle between
the (101) and (200) planes. The set of di ff raction spots could
be indexed as the [010] zone axis of tetragonal BiOCl. Figure 1i
shows the BiOCl [100] projection crystal structure.
XPS analysis was performed to explore the surface
compositions and chemical states of the as-prepared BiOCl-
Y001 nanodisks. From the full scan spectrum shown in Figure
2a, the peaks of Bi, O, Cl, and C elements could be identi fied.
The XPS spectra were corrected for specimen charging by
referencing the C 1s peak at 284.60 eV. The Bi 4f XPS
spectrum (Figure 2b) shows two main peaks with binding
energies at 157.4 and 162.8 eV, corresponding to Bi 4f 7/2 and Bi
4f 5/2 of Bi 3+ , respectively. The O 1s core level spectrum (Figure
2c) could be fi tted well with the peak at 528.3 eV, which
belongs to O 2 − from a bismuth − oxygen bond in BiOCl. The Cl
2p XPS spectrum shows two major peaks with binding energies
at 196.2 and 197.8 eV, corresponding to Cl 2p 3/2 and Cl 2p 1/2
of Cl ‑ , respectively (Figure 2d).
21,26
All the above results
demonstrate that the formed nanostructures were composed of
BiOCl.
Formation Mechanism of BiOCl Nanodisks and Key
Factors Involved. In order to elucidate the formation
mechanism of BiOCl nanodisks, the growth process was
studied by analyzing the XRD patterns and SEM images of the
products at various reaction stages. As shown in Figure 1a and
Supporting Information (SI) Figure S1, the (001) di ffraction
peak was enhanced over time, indicating that the BiOCl was
formed under ambient temperature. Figure 3a illustrates the
SEM image of the sample at the initial reaction stage, from
which only a plate-like BiOCl nanocrystal was observed. The
plate-like BiOCl nanocrystals were irregular and agminated
with a size of 100 − 200 nm. Figure 3b shows that BiOCl
nanocrystals with disk-like structure and good dispersion were
formed (denoted as BiOCl-N001) after 1-h reaction, and the
size of the BiOCl-N001 nanodisks was ∼ 200 − 300 nm. The
gradual increase in BiOCl size was an Ostwald ripening process.
After 3-h reaction, the morphology of the BiOCl nanocrystals
was still disk-like (SI Figure S2). These results imply that the
BiOCl structure was inter-grown with [Bi 2 O 2 ] slabs interleaved
by double slabs of Cl atoms. This could be used to explain why
the oxyhalide compounds could easily form2D laminar
structure.
Our results are di ff erent from the reports using organic
solvent method only, with which three-dimensional micro-
spheres were usually obtained.
20
Such a di ff erence might be
attributed to the only existence of EG solvent in their study,
which acted as a crystal growth inhibitor. As a consequence, the
lamellar crystals easily generated curvature and were developed
into fl ower-like morphology.
10,28,29
On the other hand, with the
dose of water in our study, the crystal growth inhibitory e ffect
of EG became diminished, so that the growth of the
microstructure was turned into 2D laminar structure with
well dispersion, rather than three-dimensional microspheres.
To validate the above assumption, comparative experiments
were carried out and the resulting morphologies were observed
by SEM. Without the dose of water, the product was almost
entirely composed of a large quantity of uniform BiOCl
microspheres with an average diameter of ∼ 1 μ m (Figure 4a).
The microspheres had fl owerlike shapes, which were organized
from numerous thin nanoplates with a thickness of ∼ 24 nm in
an interwoven arrangement. However, when the volume ratio
of EG/H 2 O was decreased to 28:2, microplates (Figure 4b)
with a diameter of ∼ 1 μ m were formed, which were self-
assembled by nanoplates with a thickness of ∼ 20 nm (insert in
Figure 2. XPS spectra of (a) survey spectrum; (b) Bi 4f; (c) O 1s; and
(d) Cl 2p for BiOCl-Y001 nanodisks.
Figure 3. Growth of the BiOCl nanocrystal at di ff erent reaction steps:
(a) the initial of white suspension; (b) 160 ° C for 1 h.
ACS Applied Materials & Interfaces Research Article
dx.doi.org/10.1021/am5010392 | ACS Appl. Mater. Interfaces 2014, 6, 7766 − 7772 7768
Figure 4b). With a further decrease in volume ratio of EG/H 2O
to 20:10, the products were almost all nanoplates with a size of
∼ 100 nm and a thickness of ∼ 20 nm (SI Figure S3). When the
volume ratio of EG/H 2 O was decreased to 0:30, the sample
exhibited large-scale plate-like structures with a diameter of
200 − 5000 nm (SI Figure S4). These results demonstrate that
the morphologies of BiOCl could be e ff ectively tuned by
adjusting the volume ratio of EG/H 2 O.
Additional experiments were conducted in order to examine
whether the metal ions also played an important role in
controlling the size and shape growth of BiOCl nanomaterials.
The corresponding products were examined by XRD and SEM,
as shown in Figure 5 and SI Figure S5. All the products were
obtained under the same conditions as detailed above. When 3
mmol CoCl 2 , NiCl 2 , and ZnCl 2 were used to replace the FeCl 3,
with the other constant conditions, the size of the synthesized
2D square nanoplates was about 500 nm (Figure 5a − c). When
3 mmol SnCl 2 was used instead, the dominant products were
2D microplates with a size of 1 − 15 μ m (Figure 5d). The
corresponding XRD patterns in SI Figure S5 indicate that all
the 2D BiOCl nanostructures were (001) planes orient. These
results show that the species of metal ions also contributed to
the tuning of the BiOCl size and shape but did not a ff ect the
2D plate-like structure.
The formation mechanism of the BiOCl-Y001 nanodisks is
illustrated in Scheme 1a: (1) rapid nucleation at the initial
stage; (2) nucleation growth into the plate-like BiOCl
nanocrystals; and (3) Ostwald ripening growth of the plate-
like BiOCl nanocrystal into the 2D BiOCl nanodisks. The size
and shape of BiOCl could be tuned through adjusting the
volume ratio of EG/H 2 O and changing the metal chlorides, as
illustrated in Scheme 1b.
Furthermore, application of this approach to the synthesis of
other Bi-based oxyhalides was also demonstrated. In the
presence of 6 mmol KBr or KI, 2D square-like BiOBr and BiOI
with a diameter in micrometer scale were formed (Figure 6a,
b). This result shows that the mixed-solvent system used in this
study was e ff ective for the synthesis of 2D Bi-based oxyhalides
nanostructures. Therefore, an e ffi cient and facile approach for
the synthesis of 2D bismuth oxyhalide nanomatrials with
exposed {001} facets was established.
Optical Absorption Properties and BET Surface Areas
of the BiOCl Nanodisks. The photocatalytic activity of a
semiconductor is closely related to its energy band structure
feature. Figure 7 shows the UV − vis di ff use re fl ectance spectra
of the BiOCl-Y001 and BiOCl-N001 nanodisks. It is known
that the optical absorption of a crystalline indirect semi-
conductor near the band edge follows the formula ( α h ν ) 1/2 =
B ( h ν − E g ), where α , h ν , E g , and B are the absorption
coe ffi cient, photon energy, b and gap and a constant,
respectively.
21
The absorption edges of the BiOCl-Y001 and
BiOCl-N001 nanodisks are 399 and 377 nm and the estimated
band gap energies of the as-obtained were about 3.11 and 3.29
eV from the absorption onsets, respectively. The results
indicate that the BiOCl-Y001 had a narrower band gap,
which might be attributed to its morphology, size, and speci fic
structure.
The BET speci fi c surface area of the synthesized BiOCl
nanodisks was evaluated using the nitrogen adsorption-
Figure 4. SEM images of the BiOCl prepared at 160 ° C for 12 h in
di ff erent volume ratios of EG/H 2 O: (a) 30:0; (b) 28:2.
Figure 5. SEM images of the BiOCl samples grown from the metal
chloride solutions: (a) CoCl 2 ; (b) NiCl 2; (c) ZnCl 2; (d) SnCl 2.
Scheme 1. Tuning Size and Shape of BiOCl
Figure 6. SEM images of the samples: (a) BiOBr; (b) BiOI.
ACS Applied Materials & Interfaces Research Article
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desorption method. The nitrogen adsorption-desorption
isotherms of the BiOCl-Y001 and BiOCl-N001nanodisk are
illustrated in Figure 8, whereas the corresponding pore-size
distributions are shown in the insets of Figure 8. The BET
surface areas of the BiOCl-Y001 and BiOCl-N001nanodisks
calculated from the results of N 2 adsorption were 7.6 and 8.0
m 2 /g, respectively. The BiOCl-Y001 nanodisks had a smaller
surface area than the BiOCl-N001 nanodisks.
Photocatalytic Activity of the BiOCl Nanodisks. To
explore the photocatalytic capacity of the BiOCl nanodisks and
identify the relationship between the exposed crystallographic
facets and the photocatalytic activity, utilization of both the
prepared BiOCl-Y001 and BiOCl-N001 nanodisks for the
photocatalytic degradation of RhB as the target pollutant was
tested.
The RhB evolution of UV − vis spectra over time with the
BiOCl-Y001 nanodisks is illustrated in Figure 9a. The intensity
of absorption peak at 552 nm decreased drastically over time,
and completely disappeared after 120 min. To explore the
photocatalytic activity of the nanodisks with {001} facets, a
direct photolysis of RhB by the BiOCl-N001 nanodisks was
tested under identical conditions. Figure 9b displays the
temporal evolution of the spectra in the photodegradation of
RhB under UV light irradiation, whereas Figure 9c shows the
variation in RhB concentrations (C/C 0 )withdi ff erent
photocatalysts over time. It was observed that the RhB
concentration remained unchanged over time in the absence
of catalysts, while the photocatalytic degradation e ffi ciency after
120 min was only 60% for the BiOCl-N001 nanodisks,
indicating that the BiOCl-Y001 nanodisks exhibited a higher
photocatalytic activity compared to the BiOCl-N001 nanodisks.
The photocatalytic degradation of dyes on semiconductors
can be achieved through direct semiconductor photoexcitation
or indirect dye photosensitization. These two photocatalytic
pathways respond di ff erently to light with di ff erent wave-
lengths. To fi nd out the photocatalytic pathway here, the RhB
degradation performance by both the BiOCl-Y001 and BiOCl-
N001 nanodisks under visible light irradiation was also
investigated. As shown in Figure 9d and e, the photocatalytic
reactivity of the BiOCl-Y001 nanodisks was much higher than
that of the BiOCl-N001 nanodisks under visible light
irradiation.
To evaluate the {001} facets stability of BiOCl-Y001
nanodisks after degradation of RhB under UV light and visible
light irradiations, cycle experiments of the photocatalyst were
conducted. The photocatalyst samples after the cycle experi-
ments were disk-like structure (SI Figure S6a and d). The
HRTEM images in SI Figure S6b and e display a highly
crystalline and clear lattice fringes projected along the [001]
axis. The continuous lattice fringes with an interplanar lattice
spacing of 0.27 nm and an angle of 90 ° matched the (110)
atomic planes of the tetragonal BiOCl well. The corresponding
SAED patterns in SI Figure S6c and f indicate that the single-
crystalline nature of the BiOCl-Y001 nanodisk was maintained
after the recycle experiments. The angle labelled in the SAED
pattern is 45 ° , which is in agreement with the theoretical
calculation of the angle between the (110) and (200) planes.
All these results show that there was no obvious change in the
tetragonal phase of the BiOCl-Y001 nanodisks after photo-
catalytic degradation of RhB under UV and visible light
irradiations.
Figure 7. UV − vis di ff use re fl ectance spectra of BiOCl-Y001 and
BiOCl-N001 nanodisks.
Figure 8. Nitrogen adsorption − desorption isotherm plot and
corresponding pore-size distribution (insert) of the as-prepared
BiOCl-Y001 and BiOCl-N001nanodisks.
Figure 9. (a, b) Photodecomposition of RhB with the BiOCl samples
under UV irradiation; (d, e) photodecomposition of RhB with the
BiOCl samples under visible light irradiation; (c, f) comparison of
photodecomposition of RhB vs time by the BiOCl-Y001 nanodisks and
the BiOCl-N001 nanodisks under UV and visible light irradiation.
ACS Applied Materials & Interfaces Research Article
dx.doi.org/10.1021/am5010392 | ACS Appl. Mater. Interfaces 2014, 6, 7766 − 7772 7770
On the basis of the above results, both direct semiconductor
photoexcitation and indirect dye photosensitization were
catalyzed by the BiOCl-Y001 nanodisks. Interestingly, although
the BiOCl-Y001 nanodisks had a smaller speci fi c surface area
(7.6 m 2 /g) less than the BiOCl-N001 nanodisks (8.0 m 2/g),
their overall activity for RhB photodegradation was higher than
that of the latter, suggesting that the overall photocatalytic
activity of the BiOCl nanodisks is more directly related to their
surface structure rather than the speci fi c surface area.
30
The
self-induced internal electric fi elds of the 2D nanostructure
could induce more e ffi cient photoinduced charge separation
and transfer along the [001] direction in the BiOCl-Y001
nanodisks than the BiOCl-N001 nanodisks.
12,31,32
The BiOCl-
Y001 nanodisks could prevent the recombination of photo-
generated electron − hole pairs to increase the photocatalytic
degradation of RhB. Therefore, a synergistic e ff ect between the
surface properties and suitable internal electric fi elds might be
responsible for the higher photoreactivity of the BiOCl-Y001
nanodisks for both direct photoexcitation under ultraviolet light
and indirect dye photosensitization degradation of RhB under
visible light irradiation.
■ CONCLUSIONS
In this work, BiOCl nanodisks with exposed (001) were
synthesized by using a new facile approach with a mixture of
solvent EG and water. A variation of the EG/water volume
ratio or the type of metal ions could be used to tune the shapes
of BiOCl nanostructure. The formation of the BiOCl-Y001
nanodisks was a three-step process: the rapid nucleation at the
initial stage and later growth into plate-like nanocrystals,
followed by the Ostwald ripening growth of the plate-like
BiOCl nanocrystals into the 2D BiOCl nanostructures. The
prepared BiOCl-Y001 nanodisks exhibited a higher photo-
catalytic activity than the BiOCl-N001 nanodisks for both
direct photoexcitation under ultraviolet light and indirect dye
photosensitization degradation of RhB under visible light
irradiation. These fi ndings shed light on the BiOCl growth
process and also might provide an e ffi cient method for
synthesizing other highly e ffi cient nano-sized photocatalysts.
■ ASSOCIATED CONTENT
*
S Supporting Information
XRD patterns of the BiOCl samples; SEM image of the BiOCl
samples prepared at the volume EG/H 2 O ratios of 20:10 and
0:30; TEM image of the BiOCl samples which were obtained
after being heated at 160 ° C for 3 h. HRTEM images of BiOCl-
Y001 nanodisks after the recycle experiments under UV light
and visible light irradiations. This material is available free of
charge via the Internet at http://pubs.acs.org/.
■ AUTHOR INFORMATION
Corresponding Author
* Fax: +86-551-63601592. E-mail: [email protected].
Notes
The authors declare no competing fi nancial interest.
■ ACKNOWLEDGMENTS
This work is supported by the National Basic Research
Program of China (2011CB933700) and the Program for
Changjiang Scholars and Innovative Research Team in
University of the Ministry of Education of China and the
Open Project of State Key Laboratory of Urban Water
Resource and Environment (No. QA201402).
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ACS Applied Materials & Interfaces Research Article
dx.doi.org/10.1021/am5010392 | ACS Appl. Mater. Interfaces 2014, 6, 7766 − 7772 7772
... No impurities peaks were observed, suggesting that the as-synthesized products are phase-pure BiOCl, which is consistent with X-ray photoelectron (XPS) survey spectrum analysis (Fig. S2a), and particularly, the absence of the N1s signal ruled out the presence of any PVP residues on the surfaces of BiOCl-SP (Fig. S2b). Interestingly, relatively intense [001] peaks reflect a preferred orientation of BiOCl-SP along [001] direction, and overall wider peaks point to the restricted crystalline size [13,
35]
. Detailed examination revealed that the peak belonging to the (001) plane shifted to a lower 2 value, whereas the peak corresponding to the (002), (101), (003), and (104) plane shifted to a higher 2 value (Fig. S3), collaboratively indicating the reorganizations of stacked assembly in BiOCl. ...
... Further, we effort to purpose a pits-induced photocatalytic mechanism over BiOCl-SP. Notably, the basic plane facets (001) in BiOCl photocatalysts, typically tend to receive electrons because of their relatively higher work function, as demonstrated by our density functional theory calculations (DFT and Fig. S34) [20,
35,
46,47]. Herein, the pits are induced on the (001) facets of BiOCl-SP, because of which multiple underlying lateral facets get exposed, which may create shorter diffusion pathways and thus channelize the photoexcited electrons and holes to reach faster at (001) surfaces. ...
The Synergy of Active Sites Induced by Surface Pits in Biocl Nanoplates for Efficient Co2 Photoreduction
<here is a image a68cec94f46a37d9-05c959fad62d9bd9> Malik Zeeshan Shahid
Rashid Mehmood
Song Zheng
Zhengquan Li
... In recent years, chemical methods based photocatalysis and advanced photocatalysis have become appropriate methods with great capability including environmental production, complete degradation of pollutants and no secondary pollution occur for the removal of organic pollutants Prasad et al., 2020). In this regard, metal oxide, metal sulphide and metal nanoparticles are the good choice of candidate for the removal of organic pollutants (Bhuvaneswari et al., 2021;Lu et al., 2018;
Zhang et al., 2014)
. Especially, metal oxides such as ZnO and TiO 2 are the most important semiconductor materials for the removal of organic pollutants due to their wide band gap (3.2 eV). ...
<here is a image 4b4894070f74e7a7-de0a964e7cf50ec5> Paramsivam Shanmugam
<here is a image f45756665582003b-1ebf97094414ff52> Siwaporn Meejoo Smith
<here is a image 7a8f998f2731a9d2-1d598179419ab84b> Supakorn Boonyuen
<here is a image b2fb6db90a8bd262-84f801f89a4acc65> Apanee Luengnaruemitchai
In this study, versatile boron-doped graphitic carbon nitride (gCN) incorporated mesoporous SBA-15 (BGS) composite materials were prepared by thermal polycondensation method using boric acid & melamine as a B-gCN source material and SBA-15 as mesoporous support. The prepared BGS composites are utilized sustainably using solar light as the energy source for the continuous flow of photodegradation of tetracycline (TC) antibiotics. This work highlights that the photocatalysts preparation was carried out with an eco-friendly strategy, solvent-free and without additional reagents. To alter the amount of boron quantity (0.124 g, 0.248 g, and 0.49 g) have to prepare three different composites using a similar procedure, the obtained composites viz., BGS-1, BGS-2 and BGS-3, respectively. The physicochemical property of the prepared composites was investigated by X-ray diffractometry, Fourier-transform infrared spectroscopy, Raman, Diffraction reflectance spectra, Photoluminescence, Brunauer-Emmett-Teller and transmission electron microscopy (TEM). The results shows that 0.24 g boron loaded BGS composites degrade TC up to 93.74%, which is much higher than the rest of the catalyst. The addition of mesoporous SBA-15 incresed the specific surface area of the g-CN, and heteroatom of boron increased the interplanar stracking distance of g-CN, enlarged the optical absorption range, reducing the energy bandgap and enhanced the photocatalytic activity of TC. Additionally, the stability and recycling efficiency of the representative photocatalysts viz., BGS-2 was observed to be good even at the fifth cycle. The photocatalytic process using the BGS composites demonstrated to be capable candidate for the removal of tetracycline biowaste from aquesous media.
| https://www.researchgate.net/publication/262074549_Synthesis_of_a_Highly_Efficient_BiOCI_Single-Crystal_Nanodisk_Photocatalyst_with_Exposing_001_Facets |
FIS-RGSO: Dynamic Fuzzy Inference System Based Reverse Glowworm Swarm Optimization of energy and coverage in green mobile wireless sensor networks | Request PDF
Request PDF | FIS-RGSO: Dynamic Fuzzy Inference System Based Reverse Glowworm Swarm Optimization of energy and coverage in green mobile wireless sensor networks | In mobile wireless sensor networks, energy consumption and area coverage are two well-known optimization problems. An efficient and restricted... | Find, read and cite all the research you need on ResearchGate
FIS-RGSO: Dynamic Fuzzy Inference System Based Reverse Glowworm Swarm Optimization of energy and coverage in green mobile wireless sensor networks
Computer Communications 163(10):12-34
DOI: 10.1016/j.comcom.2020.09.002
Abstract
In mobile wireless sensor networks, energy consumption and area coverage are two well-known optimization problems. An efficient and restricted sensor movement is essential so that redundant area coverage, as well as consumed energy, can be reduced to mitigate these two issues in mobile wireless sensor networks. To make equilibrium between energy consumption and the total area coverage by the sensor nodes is a difficult task. In this context, optimized path planning for sensor movement is crucial to reach the target. The article presents a Dynamic Fuzzy Inference System Based Reverse Glowworm Swarm Optimization (FIS-RGSO) of energy and coverage in smart green mobile wireless sensor networks. The objective of this article is to achieve minimum energy consumption by the sensors through their optimum movements so that sensors can cover maximum area and increase their lifetime. The proposed approach improves the sustainability and performance of green sensor networks in terms of a lifetime and energy-efficiency by implementing restricted and organized sensor movements based on the decision taken by the Fuzzy Inference System, which leads to minimum energy consumption and less distance traversing. The simulation results reveal that our proposed model reduces the consumed energy in a range of 5%–45% as compared with the existing method in reverse glowworm swarm optimization (RGSO) algorithm. The total distance covered by the sensors is also minimized by almost 7%–62% as compared with the existing one. The proposed method has experimented extensively and the result shows it performs better than the existing one in terms of the total number of live sensors that exist after execution. Therefore, the proposed methodology is realized as an energy-efficient model in wireless sensor networks that proliferate network lifetime.
... In 2020, Chowdhury and De
26
had developed a new model called "dynamic fuzzy inference system based reverse glowworm swarm optimization (FIS-RGSO)" in smart green Mobile Wireless sensor Networks (MWSNs) by considering the coverage and energy constraints. The major aim of this developed model was to attain minimal energy consumption through the sensors based on the optimal movement of sensors to maximize the lifetime and area of networks. ...
... The sensing area of the sensors is greatly utilized. In FIS-RGSO,
26
the lifetime of the sensor depends on the energy consumed while the sensor moves when an obstacle is sensed. FLC-based FODPSO 27 is highly reliable and accurate in its performance. ...
... In I-AREOR, 25 sensor movements are minimized, and thus, overlapping of sensors is avoided. In FIS-RGSO,
26
the progress in the three-dimensional workspace is not discussed. FLC-based FODPSO 27 requires additional Wind Energy Conversion Systems (WECS) systems to adjust the duty cycle of the power converter and maximize the energy of the system. ...
A novel hybrid meta‐heuristic concept for green communication in IoT networks: An intelligent clustering model
Article
Full-text available
Apr 2022
INT J COMMUN SYST
Md Mobin Akhtar
Danish Ahamad
Alameen Abdalrahman
Ahmad Saleh Shatat
Nowadays, there is an emerging need for applications based on the Internet of Things (IoT). The sensor nodes present in the IoT network produce data constantly, which directly influences the durability of the network. Therefore, two major challenges while designing IoT systems are network lifetime and energy consumption. Although the ability of IoT applications is huge, there are several limitations such as energy optimization, heterogeneity of devices storage, load balancing, privacy, and security that have to be addressed. These constraints have to be optimized for improving the efficiency of the networks. Hence, the main intention of this paper is to develop the intelligent‐based cluster head selection model for accomplishing green communication in IoT. The two famous algorithms like spotted hyena optimization (SHO) and sun flower optimization (SFO) are integrated to form sun flower‐spotted hyena optimization (SF‐SHO) by utilizing the hybrid meta‐heuristic concept for the optimal cluster head selection. The most significant parameters in IoT networks like delay, distance, energy, temperature, and load are considered for deriving a multi‐objective function to offer optimal clustering. The cluster head of the model is optimally tuned based on the hybrid SF‐SHO, to solve the multi‐objective problem, thus showing the enhanced green communication performance. The proposed model is analyzed and evaluated over different approaches in terms of energy‐specific factors, and the attained results confirm the efficiency of the developed method.
... e typical representative of this strategy is the Dynamic Virtual Force-Based Algorithm (VFE) proposed by Luo and Cai for data aggregation, which can adapt to different scene changes [4,5]. e energy-saving self-deployment scheme proposed by Han et al. utilizes the attractive force generated by the centroid of the local Voronoi polygon of the sensor and the repulsive force often used in the selfdeployment scheme using the potential field [6,
7]
. ese networks using virtual power ideas have significant improvements in latency and packet loss due to dynamic changes in sensor or node locations. ...
... Deterministic methods include both conventional methods and planning methods. is type of approach uses statically deployed sensors to achieve full coverage. is method can also improve the sensing efficiency of coverage with a smaller number of sensors
[7]
. However, the deterministic strategy of WSN placement (peer-to-peer) can be used for small-scale deployments [10]. ...
... Besides, the deployment method only focuses on the coverage performance of the event and does not consider the connectivity of the network. Ghowdhury and De proposed an energy-efficient self-deployment scheme that takes advantage of the attractiveness of the centroid of the sensor's local VORONOI polygon and the repulsive force often used in self-deployment scenarios using the potential field
[7]
. In contrast to existing self-deployment solutions, we also provide the design and implementation of a simulator for analyzing the performance of the proposed method. ...
Event-Sensitive Network: A Construction Algorithm of Agricultural Sensor Network Driven by Environmental Change
Jan 2021
MATH PROBL ENG
Shipu Xu
Yong Liu
Wenwen Hu
Chang Liu
In a wireless sensor network, the sensor nodes transmit the acquired information to the server through the data transmission link. On the serverside, the data are processed, fused, and expressed to serve the user. Sensor deployment is a key factor related to the stability and security of wireless networks. This article uses environmental changes to drive related technologies to deploy wireless sensors. In this article, environmental change-driven means that through certain deployment cost model assumptions and problem descriptions, network deployment is artificially divided into two stages: initial deployment and redeployment. In the deployment phase, by referring to the idea of virtual force, a new sensor deployment algorithm is proposed in the redeployment phase, which can well solve the stability- and security-related issues encountered in agricultural wireless sensor networks. In this algorithm, the moving distance of the mobile receiver and the average coverage of the network are calculated based on the virtual force, the direction, and the number of adjacent clusters. Finally, the algorithm model was simulated in MATLAB, and the feasibility of the algorithm was verified by analyzing the event coverage and the moving distance of nodes. The final simulation results show that the algorithm proposed in this paper can achieve better performance than existing algorithms in terms of average coverage and moving distance.
... The algorithm is energy efficient and outperforms the existing evolutionary methods like improving particle swarm optimization (IPSO) includes a quicker convergence. "Reverse glowworm swarm optimization"
(Chowdhury and De 2020)
proposes green sensor network to improve the performance and energy efficiency. Fuzzy inference system is utilized to reduce the energy consumption and distance traversing. ...
ICACECS 2022 Book Proceedings LNNS Volume 612 22-03-2023
Brahmananda Reddy Annapu Reddy
Srujan kotagiri Raju
This book includes original, peer-reviewed research articles from International Conference on Advances in Computer Engineering and Communication Systems (ICACECS 2022), held in VNR Vignana Jyoythi Institute of Engineering and Technology (VNR VJIET), Hyderabad, Telangana, India, during August 11–12, 2022. The book focuses on “Smart Innovations in Mezzanine Technologies, Data Analytics, Networks and Communication Systems” enlargements and reviews on the advanced topics in artificial intelligence, machine learning, data mining and big data computing, knowledge engineering, semantic Web, cloud computing, Internet of Things, cybersecurity, communication systems, and distributed computing and smart systems.
... The algorithm's efficacy was evaluated in a real-world irrigated agriculture scenario. Chowdhury et al.
[17]
came up with FIS-RGSO, a reverse firefly swarm optimization-based dynamic fuzzy inference system. Fuzzy inference system decision-making enables restricted and structured sensor movement, which increases the network's sustainability, and in regard to lifetime and uniformity, the effects are excellent. ...
VKECE-3D: Energy-Efficient Coverage Enhancement in Three-Dimensional Heterogeneous Wireless Sensor Networks Based on 3D-Voronoi and K-Means Algorithm
Article
Full-text available
Jan 2023
SENSORS-BASEL
Pingzhang Gou
Baoyong Guo
Miao Guo
Shun Mao
During these years, the 3D node coverage of heterogeneous wireless sensor networks that are closer to the actual application environment has become a strong focus of research. However, the direct application of traditional two-dimensional planar coverage methods to three-dimensional space suffers from high application complexity, a low coverage rate, and a short life cycle. Most methods ignore the network life cycle when considering coverage. The network coverage and life cycle determine the quality of service (QoS) in heterogeneous wireless sensor networks. Thus, energy-efficient coverage enhancement is a significantly pivotal and challenging task. To solve the above task, an energy-efficient coverage enhancement method, VKECE-3D, based on 3D-Voronoi partitioning and the K-means algorithm is proposed. The quantity of active nodes is kept to a minimum while guaranteeing coverage. Firstly, based on node deployment at random, the nodes are deployed twice using a highly destructive polynomial mutation strategy to improve the uniformity of the nodes. Secondly, the optimal perceptual radius is calculated using the K-means algorithm and 3D-Voronoi partitioning to enhance the network coverage quality. Finally, a multi-hop communication and polling working mechanism are proposed to lower the nodes’ energy consumption and lengthen the network’s lifetime. Its simulation findings demonstrate that compared to other energy-efficient coverage enhancement solutions, VKECE-3D improves network coverage and greatly lengthens the network’s lifetime.
... "Fuzzy Inference System-based Reverse Glowworm Swarm Optimization (FIS-RGSO)"
[35]
is a suggested method for reducing WSN energy usage by identifying the most efficient path to the destination. FIS-sensors RGSOs are designed to move as efficiently as possible to use the least energy potential while also extending their lifespan. ...
Erudite Fish Swarm Optimization Based Routing Protocol to Maximize Wireless Sensor Network Lifetime
Article
Jun 2022
A. Balasubramanian
P. Ponmuthuramalingam
... Deepa et al. [10] proposed to use levy flight to enhance WOA for guaranteeing the network coverage. Other intelligent optimization algorithms, including the bee algorithm [11,12], the weed algorithm [13], the wolf pack algorithm [14], the glowworm swarm optimization [15,
16]
, the social spider optimization (SSO) algorithm [17], the multi-objective immune co-evolutionary algorithm (MOICEA) [18], the simulated annealing (SA) [19], the ant colony optimization (ACO) [20], ...
Coverage Optimization of Wireless Sensor Networks Using Combinations of PSO and Chaos Optimization
Article
Full-text available
Mar 2022
Qiang Zhao
Changwei Li
Dong Zhu
Chunli Xie
The coverage rate is the most crucial index in wireless sensor networks (WSNs) design; it involves making the sensors with a reasonable distribution, which closely relates to the quality of service (QoS) and survival period of the entire network. This article proposes to use particle swarm optimization (PSO) and chaos optimization in conjunction for the coverage optimization. All sensor locations are encoded together as a particle position. PSO was used first to make sensors move close to their optimal positions; furthermore, a variable domain chaos optimization algorithm (VDCOA) was employed to reach a higher coverage rate, along with improved evenness and average moving distance. Six versions of VDCOA, taking circle, logistic, Gaussian, Chebyshev, sinusoidal and cubic maps, respectively, were investigated. The simulation experiment tested three cases: square, rectangular and circular regions using nine algorithms: six versions of PSO plus VDCOA, PSO and other two PSO variants. All six versions showed better performance than PSO and CPSO, with coverage all exceeding 90% for the first two cases. Moreover, one version, PSO plus circle map (PSO-Circle), increased the coverage rate by 3.17%, 2.41% and 12.94% compared with PSO in three cases, respectively, and outperformed the other eight algorithms.
... The solution involves the partial use of heuristic initialization, the new fitness function, the modified virtual force algorithm, the inclusion of a uniform deceleration to the estimation of inertia weight and the addition of the impact of the subpopulation' head individuals. The study in
[69]
proposed a Dynamic Reverse Glowworm Swarm Optimization (FIS-RGSO) based Dynamic Fuzzy Inference Method of energy and coverage in smart green mobile WSNs with the goal of achieving minimal energy utilization by the nodes through their optimal motions so that nodes can cover greater area and increase their lifespan. The proposed solution boosts the lifespan and energy-efficiency, and the performance of green WSN is enhanced by taking better and coordinated node movements based on the Fuzzy Inference method, resulting in minimum power consumption and less distance traversal. ...
Coverage, Deployment and Localization Challenges in Wireless Sensor Networks Based on Artificial Intelligence Techniques: A Review
Article
Full-text available
Jan 2022
Walid Osamy
Ahmed M. Khedr
Ahmed Salim
Ahmed Elsawy
The growing importance and widespread adoption of Wireless Sensor Network (WSN) technologies have helped the enhancement of smart environments in various fields such as manufacturing, smart city, transport, health and the Internet of Things, by providing pervasive real-time applications. In this paper, we analyze the existing research trends of Coverage, Deployment and Localization challenges in WSN concerning Artificial Intelligence (AI) methods for WSN enhancement. We present a comprehensive discussion on the recent studies that utilized various AI methods to meet specific objectives of WSN, from 2010 to 2021. This would guide the reader towards an understanding of up-to-date applications of AI methods with respect to different WSN challenges. Then, we provide a general evaluation and comparison of different AI methods used in WSNs, which will be a guide for for research community in identifying the most adapted methods and the benefits of using various AI methods for solving the Coverage, Deployment and Localization challenges related to WSNs. Finally, we conclude the paper by stating the open research issues and new directions for future research.
... The authors of
[36]
propose a new optimization algorithm, able to manage nodes mobility with the main aim of reducing the total energy consumption, while maintaining the optimal coverage of the considered area. Their idea is based both on Fuzzy Logic (a Fuzzy Inference System governs sensor movements) and Swarm Intelligence and it is able to achieve the minimum energy consumption while optimizing sensors movements, in order to cover the maximum achievable area. ...
Advanced Resources Reservation in Mobile Cellular Networks: Static vs. Dynamic Approaches under Vehicular Mobility Model
Article
Full-text available
Sep 2021
Peppino Fazio
Mauro Tropea
Many studies in literature have shown that the bandwidth of an ongoing flow can dynamically change during multimedia sessions and an efficient bandwidth allocation scheme must be employed. This paper focuses its attention on the management of predictive services in Wireless Infrastructure Dynamic Networks. In particular, two classes of service are considered: NSIS-Mobility Independent Predictive and NSIS-Mobility Dependent Predictive, where NSIS is the Next Steps in Signaling protocol, employed for resources reservation in Integrated Services architectures. A general prediction technique is proposed, based both on the analysis of time spent into a cell by mobile nodes and on the probabilities of hand-in and hand-out events of mobile nodes from wireless cells. User mobility needs to be firstly analyzed and a novel realistic mobility model has been considered, differently from some existing works in which synthetic mobility is generated. The analysis of user mobility is mandatory when the reduction of passive resource reservations for NSIS-MIP users is desired, with a good enhancement in system utilization. Moreover, predictive reservation and admission control schemes have been integrated. The performance of the 2D wireless system is evaluated in terms of average system utilization, system outage probability, number of admitted flows and reservation prediction errors. We provided to carry out an extensive simulation campaign, in order to assess the goodness of the proposed idea: we verified that good results (in terms of perceived utility, bandwidth and admitted flows) can be obtained, outperforming also some existing works.
DEEC-Based Meta-heuristic Unequal Clustering Scheme for Energy Sustenance of Heterogeneous Nodes in WSN
Chapter
Mar 2023
Swapna M P
G. Satyavathy
Wireless sensor network (WSN) is becoming denser and more heterogeneous each and every day, with the overwhelming impact of technologies like IoT. Managing the energy and maintaining the lifetime longevity of the heterogeneous WSN is a challenging task. Unequal clustering is one of the imperative solutions for maintaining energy efficiently, ideal for minimizing hotspot problem in WSN. Heterogeneity of nodes in WSN needs apposite attention to avoid energy depletion of low energy nodes. This paper proposes the novel algorithm, clustering of heterogeneous nodes with bat algorithm (CHNBA) that integrates the uniform energy dissemination protocol, distributed energy efficiency clustering (DEEC) with unequal clustering. The location of cluster head (CH) is optimized using the bio-inspired improved bat algorithm. DEEC has high ability to assure heterogeneity performance and clustering stability, while optimized unequal clustering ensures energy efficiency resulting in prolonged network lifetime. The effectiveness of the algorithm was experimented using MATLAB simulations. The results proved that the protocol, CHNBA, is effective for the energy sustenance of a network. It outperforms the existing clustering protocols in energy efficiency, network lifetime, throughput, packet delivery ratio and stability.KeywordsHeterogeneous WSNUnequal clusteringCompetition radiusResidual energyCluster headStability
RGSO-UAV: Reverse Glowworm Swarm Optimization inspired UAV path-planning in a 3D dynamic environment
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Debashis De
Three-dimensional path planning for UAVs is a very complex, NP-hard optimization problem. It is an effort to resolve the best feasible trajectory between the source and the destination while prohibiting collision in a dynamic environment. Many researchers have proposed different deterministic and non-deterministic solutions to the path-planning problem. However, it is still open to new promising methods to acquire better quality solutions with minimum time complexity. This article presents a novel methodology inspired by the Reverse Glowworm Swarm Optimization (RGSO) algorithm to resolve this problem for the UAV without colliding with any dynamic and static obstructions appearing in its path. A tuned path is generated after the initial one to optimize further and smoothen the trajectory. The proposed method has been extensively experimented with, and the outcomes show it outperforms the other algorithm in a three-dimensional dynamic environment in a path-planning strategy. The result shows that our proposed scheme reduces the value of the cost function by approximately 49% - 107% less than other existing approaches, and the execution time of this mechanism reduces by 2% - 61% compared with other existing methods. Thus, the proposed technique RGSO-UAV is an optimal and energy-efficient path-planning model in flying ad-hoc networks that enhance UAV's lifetime.
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Deepak Kumar Jain
Alberto Tarable
Anand Nayyar
| https://www.researchgate.net/publication/346783812_FIS-RGSO_Dynamic_Fuzzy_Inference_System_Based_Reverse_Glowworm_Swarm_Optimization_of_energy_and_coverage_in_green_mobile_wireless_sensor_networks |
Water | Free Full-Text | An Overview of Hybrid Water Supply Systems in the Context of Urban Water Management: Challenges and Opportunities
This paper presents a critical review of the physical impacts of decentralized water supply systems on existing centralized water infrastructures. This paper highlights the combination of centralized and decentralized systems, which is referred to as hybrid water supply systems. The system is hypothesized to generate more sustainable and resilient urban water systems. The basic concept is to use decentralized water supply options such as rainwater tanks, storm water harvesting and localized wastewater treatment and reuse in combination with centralized systems. Currently the impact of hybrid water supply technologies on the operational performance of the downstream infrastructure and existing treatment processes is yet to be known. The paper identifies a number of significant research gaps related to interactions between centralized and decentralized urban water services. It indicates that an improved understanding of the interaction between these systems is expected to provide a better integration of hybrid systems by improved sewerage and drainage design, as well as facilitate operation and maintenance planning. The paper also highlights the need for a framework to better understand the interaction between different components of hybrid water supply systems.
An Overview of Hybrid Water Supply Systems in the Context of Urban Water Management: Challenges and Opportunities
by Mukta Sapkota 1,* , Meenakshi Arora 1,† , Hector Malano 1,† , Magnus Moglia 2,† , Ashok Sharma 3,† , Biju George 4,† and Francis Pamminger 5,†
1
Department of Infrastructure Engineering, Melbourne School of Engineering, University of Melbourne, VIC 3010, Australia
2
Commonwealth Scientific and Industrial Research Organization (CSIRO) Land and Water, Highett, VIC 3190, Australia
3
Institute of Sustainability and Innovation, Victoria University, Melbourne, VIC 3030, Australia
4
International Centre for Agricultural Research in the Dry Areas, P.O. Box 2416, Cairo, Egypt
5
Yarra Valley Water, Mitcham, VIC 3132, Australia
Author to whom correspondence should be addressed.
Water 2015 , 7 (1), 153-174; https://doi.org/10.3390/w7010153
Received: 12 November 2014 / Accepted: 23 December 2014 / Published: 29 December 2014
Versions Notes
Abstract
:
Keywords:
hybrid water supply systems
wastewater
stormwater
water infrastructures
Graphical Abstract
1. Introduction
Provision of centralized water, wastewater and stormwater services for urban areas has been common practice for over 100 years [ 1 , 2 ]. While such facilities have been in use since the mid-1800s for water and waste water services, it has become increasingly clear in recent years that alternative technical solutions can improve the efficiency and infrastructure functions in urban water management, especially in water scarce areas [ 3 , 4 ]. In the context of changing societal expectations, urban water managers are confronted with increasingly complex and multi-faceted challenges, in particular when the existing and available resources reach the limits of sustainable exploitation [ 5 ]. Furthermore, the urban water sector is required to meet increasing demand from growing populations, changing climate, resource availability and at time, some level of community desire for protecting and improving stressed ecosystems [ 6 , 7 , 8 ].
Infrastructure investment and replacement is a gradual process and changing the whole infrastructure is neither economically nor environmentally sustainable [ 9 ]. With a legacy of centralized infrastructure solutions in combination with growing investment in decentralized infrastructure solutions, the result is a hybridization process where mix of centralized and decentralized systems co-exists. However, there is limited practical or scholarly understanding of how to enable such transition of traditional urban water systems towards hybrid systems [ 10 ]. These technologies introduce interactions between the various components of the water cycle such as potable water, wastewater and stormwater [ 11 ]. This paper highlights the need for additional research to understand the impacts of hybrid water supply systems in water quality and quantity, in particular, the interaction of these systems with the local environment at a strategic level. Though hybrid technologies may offer benefits in terms of accommodating growing water needs and thus decreasing peak demand from centralized water supply system [ 4 , 12 ], they may have implications on the operational performance of the downstream infrastructure and existing treatment processes. Therefore, combinations of water supply systems should not be decided upon only on the basis of the availability and demand for water [ 4 ]. Hence, this review paper discusses the gaps in understanding of the likely impacts of each of these decentralized technologies on wastewater and stormwater quantity and quality when combined with existing centralized systems.
At the beginning, this paper provides challenges of existing centralized and decentralized water supply systems. Then, the paper illustrates the potential impacts of decentralized water supply systems on centralized systems. Later, it introduces hybrid systems as a solution to present water supply problems along with opportunities and challenges of such systems. Finally, it highlights the need of a methodology to assess hybrid systems.
2. Present Water Supply Systems Challenges
2.1. Centralized Water Supply Systems
In general, centralized water services have ensured adequate water supply, sanitation and drainage services to its inhabitants in cities [ 13 , 14 ]. However, demographic changes including the ageing population, socio-economic factors, climate change, biodiversity, energy use, water supply and consumption, as well as ageing water and wastewater infrastructures has put increasing pressure on these urban water systems [ 1 , 15 ]. Marlow et al. [ 16 ] has also raised similar concerns on centralized urban water systems, which are maladapted to these challenges. In addition, the typical centralized system can limit the potential to adapt water supply systems to local opportunities and needs [ 1 ]. As a result, in some circumstances these water infrastructures are considered to be unsuitable to address future challenges [ 17 , 18 , 19 ]. In the face of future uncertainties and threats, there is a need for water systems to provide ecologically sustainable services [ 20 ]. In many cases, the conventional approach to the water service provision does not comply with the more recent aspirations of ecologically sustainable development [ 21 ]. Decentralized water infrastructure is an alternative to the traditional centralized systems for implementing sustainable water infrastructure in urban setting [ 22 ]. Sharma et al . [ 23 ] has defined decentralized system as the system provided for water, wastewater and stormwater services at the property, cluster and development scale that utilizes alternative water resources, including rainwater, wastewater and stormwater, based on a ‘fit for purpose’ concept. Moreover, the combination of decentralized water supply systems with the centralized system can contribute to the provision of sustainable water supply [ 22 ]. The following section provides a detail description of decentralized water system to better understand the scope of a combined water supply system and identify the research gaps in this area.
2.2. Decentralized Water Supply Systems
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et al
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reducing the cost of infrastructure for long distance transport and treatment of stormwater, potable water and sewage, along with unnecessary treatment to potable standards of water used for purposes other than drinking and bathing;
more efficient use of resource;
improving service security;
reducing water systems’ failure risk;
strengthening local economies;
regenerating and protecting the natural environment;
fortifying community well being.
Decentralized systems also reduce reliance on traditional water sources and provide long-term ecological sustainability [ 29 , 30 ].
Although decentralized systems show significant promise, there are numerous unknowns and uncertainties that need to be addressed [ 31 ]. These systems are relatively new compared to centralized systems with limited understanding of ongoing management requirements and operation under dispersed accountabilities. The lack of knowledge around the long term performance of decentralized systems relate to issues such as long term reliability, operation and maintenance costs, interaction with centralized systems, appropriate costing, and adequate governance and guidelines [ 1 , 32 ]. These knowledge gaps impede mainstream acceptance of decentralized systems. Although these technologies are considered to offer benefits in terms of reducing overall potable water use and decreasing peak demand [ 33 , 34 ], they could have implications on the operational performance of the downstream infrastructures and treatment processes. For instance, as water saving through recycling is encouraged by adopting grey water reuse, dual piping systems and sewer mining, the volume of wastewater may decrease, but this could lead to an increasing in the concentration of key contaminants [ 24 ]. Increased concentration of contaminants in wastewater has been known to cause sewer problems, such as sewer blockage, odor and corrosion [ 35 ]. Therefore, whilst the investment in decentralized water system technologies can be warranted for developments in growth areas of cities, assessing the impacts of decentralized systems on the existing developments remains challenging due to the lack of understanding of the interaction between decentralized and centralized systems [ 35 , 36 ]. Further adoption of the decentralized systems has thus far been limited to demonstration projects [ 37 ]. Therefore the main objective of this paper is to examine the existing states of knowledge of these interactions and identifying the critical knowledge gaps.
2.3. Urban Water Cycle
Figure 1 below shows the urban water cycle’s main components, pathways and alternative supply options in the urban water system. There are two main subsystems within the urban water cycle: the rainfall-stormwater discharge and supply-wastewater system. These two systems are inter-dependent, interacting to a varying degree depending on the location, season and utilization of wastewater and storm water as a supply source for water applications. There is interconnectedness among water supply, wastewater and storm water along with a broad range of non-conventional water supply technologies such as rainwater tanks, stormwater harvesting, and wastewater reuse within the system. Changes in one component of the water cycle can have impacts on the other components.
Hence, addition of different alternative water service infrastructure can bring changes in the overall urban water system, which has been discussed in the following section.
Figure 1. Urban water cycle’s main components, pathways and novel technologies (Green colored boxes indicate decentralized components of water cycle).
Figure 1. Urban water cycle’s main components, pathways and novel technologies (Green colored boxes indicate decentralized components of water cycle).
3. Effects of Alternative Water-Service Infrastructure on Centralized Water System
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However, such approaches are relatively new compared to traditional centralized approaches due to limited information available on their planning, design, implementation, reliability and robustness. Hence, to enable hybrid water supply systems as a viable option, it is necessary to understand their performance and impacts. In the next section, we provide a brief background of various alternative water service infrastructures that helps to better understand and analyze the effects of decentralized infrastructures on centralized water systems.
3.1. Water Reclamation and Reuse
Reclaimed water can be defined as the treatment of wastewater for subsequent use as a water supply [ 7 ]. Common uses are both landscape and agricultural irrigation [ 40 , 41 ]. Other reuse options include industrial reuse such as cooling water, process water, and boiler feed water [ 42 ]. In some regions, reclaimed water is used for groundwater recharge to replenish depleted aquifers and to prevent salt water intrusion [ 7 ]. It can also be used for non-potable uses such as toilet flushing, air conditioning and fire flow [ 43 ]. Due to the difficulty of developing new freshwater resources, water reclamation and reuse are important additional water resources. This is a very reliable alternative water resources because of its supply reliability and lower pollution level of reclaimed water [ 44 ]. It can provide fit-for-purpose water supply under local control and avoid or delay construction of new large-scale water supply infrastructure. Additionally, it reduces the quantity of treated wastewater discharged to surface waters [ 45 ]. It is considered as one of the main options to remedy water shortage caused by increasing water demand, climate change and population growth [ 46 ]. Wastewater reuse can provide relatively constant supply because its source is the used potable water, which remains relatively constant throughout the year [ 47 ]. Moreover, recycled supply can significantly reduce the peak demand on potable water supply infrastructure [ 48 ].
Wastewater recycling may be beneficial if the solids are also removed and disposed via the solid waste system [ 49 ]. Solid deposition in sewer system had been known to have adverse effects on the hydraulic performance of the system and also on the environment [ 50 ]. It can alter the hydraulic radius of the pipe changing the self-cleansing velocity requirement for the pipe [ 51 ]. Hence, if only the water is intercepted and the residuals are discharged back to the sewerage networks, there will be a potential for frequent sewer blockage [ 35 ]. Further, if recycling of such water is for household non-potable use, then a potential drawback is the cost of establishing second system of household plumbing with safeguard against cross-connection [ 52 ].
3.2. Grey Water Recycling and Reuse
Greywater is defined as wastewater generated from all domestic sources except the toilet [ 53 , 54 ]. Almost 50%–80% household wastewater is greywater [ 55 ]. Grey water can have many uses depending upon the quality of greywater and treatment it has received. Two common uses for greywater are toilet flushing and lawn irrigation. Untreated greywater can be used for subsurface irrigation [ 56 ]. Grey water reuse can help to reduce reliance on traditional water sources that are under stress and it can also significantly reduce wastewater discharge [ 57 , 58 ]. Because the amount of greywater produced in a household and the amount of water used for toilet flushing in a household are nearly the same, grey water systems have the potential of more or less replacing the household water demand for toilet flushing thus potentially reducing potable water usage by up to 30% [ 59 , 60 , 61 ].
Water recycling can help achieve control of sewer flooding. It reduces the quantity of wastewater that is produced, and thus the capacity of the sewer network to cope with heavy rainfall events will be increased in case of combined sewers [ 62 ]. Bertrand et al. [ 63 ] mentioned that greywater recycling has the capacity to significantly reduce sewer flooding for storm events of up to five years return period. Also, it is less vulnerable to climate variations compared to the traditional sources of water [ 64 , 65 ]. Radcliffe [ 66 ] states that it may reduce the environmental impacts of treated sewage that would be otherwise discharged to the environment. Moreover, this local water recycling reduces the need for further expansion of the main water infrastructure as the population density increases [ 67 ].
However, the implementation of greywater recycling involves a reduction in the volume of wastewater discharged and an increase in concentration of pollutants [ 53 , 68 ]. This reduction in wastewater volume increases the potential for septicity, odors, contaminant impacts and corrosion in the assets [ 24 ]. Similarly, greywater irrigation (domestic garden irrigation with household wastewater) can cause dry weather pollution (drainage effluent from greywater irrigation) of receiving waters [ 49 ]. In such situations, water reuse can aggravate the environmental problems.
3.3. Rainwater Harvesting
Rainwater harvesting is the collection and use of rainwater for domestic purposes. This supplements municipal drinking water supply and is believed to minimize stress on stormwater infrastructure [ 7 , 69 , 70 , 71 , 72 ]. It can potentially save a significant amount of domestic water demand [ 60 , 73 , 74 ]. An Australian study showed a savings of 12.3% to 25.1% in potable water use when harvested rainwater was used for toilet flushing and garden irrigation [ 56 ]. Moreover, this rainwater is a relatively high quality water source that can be directly used for non-potable uses, or with filtration and disinfection for potable uses [ 75 , 76 ]. The use of tanks to harvest and store rainwater also has the potential to restore some aspects of pre-development flow regimes in receiving water [ 77 ]. The use of rainwater harvesting is also beneficial to sewers and improves wastewater treatment in the case of combined sewer networks [ 35 , 63 , 70 ]. An additional benefit of the use of rainwater tanks to supplement the existing water supply is to reduce localized urban flooding, improve stormwater quality (as these pollutants will remain in the tank) and minimize influx of stormwater into the sewer system [ 78 , 79 ]. Study from Zhang et al . [ 56 ] shows residential use of rainwater can decrease the stormwater runoff by 23.4% to 48.1%. According to Gardels et al . [ 80 ] rainwater runoff contains a nutrient such as nitrogen, so capturing rainwater reduces nitrogen loadings in receiving water bodies. Further, this nitrogen loading in the rainwater, if used for landscape irrigation, can also reduce the amount of fertilizer needed for the landscape [ 80 ].
But, wastewater from rainwater harvesting has higher level of metal content (lead and iron) [ 81 ], which may react with dissolved sulfide to form metal sulfide precipitates and can cause corrosion in the pipes [ 35 ]. Also, there is difficulty in managing rainwater tanks as currently there is no mechanism in place to make sure that the household rainwater collection systems are maintained and in a good condition [ 82 ].
3.4. Stormwater Harvesting
Stormwater is the runoff from pervious and impervious areas collected via the drainage system [ 83 ]. Stormwater is considered fit to cater for non-potable water demands and is emerging as a viable option to augment increasingly stressed urban water supply systems [ 84 , 85 ]. The other merit is that it slows stormwater flow, thereby reducing peak flows in waterways [ 86 ]. Hence, they have the dual purpose to provide water supply as well as reduce urban flooding [ 87 ].
However, excessive harvesting of urban stormwater runoff could be detrimental to stream health if critical aspects of the flow regime were changed away from, rather than toward, their pre-urban condition [ 88 ] and most of the environmental flow problems arise from this practice [ 89 ]. Hering et al. [ 90 ] also urges that more research is needed in stormwater harvesting mainly to assess the water quality implications of this practice.
Having discussed various decentralized water supply systems, it has been identified that combining such systems with centralized system may potentially resolve many existing challenges in the urban water system such as meeting rising needs of water and offering a wide range of flexibility in implementation.
4. Hybrid Water Supply Systems
Following the literature review, the definition of hybrid systems provided by Daigger and Crawford [ 12 ] has been adapted to develop a generalized definition of hybrid water supply systems. Hybrid water supply systems can be defined as systems provided for water services through a centralized water supply system in combination with decentralized water supply options such as rainwater tanks, storm water harvesting, and water reuse.
Internationally, hybrid water systems have been referred in different ways such as semi-centralized supply and treatment [ 38 , 39 , 91 , 92 ], distributed water supply system [ 29 , 81 , 93 , 94 ], semi-decentralized systems [ 95 ] and hybrid system [ 12 , 96 ]. These systems can be considered as part of a sustainable urban water management strategy whereby there is adoption of alternative water supply and wastewater management approaches while the predominant model of service remaining the centralized water supply system [ 5 , 16 ]. These types of hybrid water supply systems can be also compared with “The Soft Path of Water” [ 97 ] approach, which not only uses centralized infrastructure but also takes advantages of the potential for decentralized facilities to meet the water related needs. These innovations in water management help to reduce the volume of water imported to cities, and decrease the volumes of wastewater and storm water discharged into the environment [ 78 ]. On the other hand, such transition of traditional urban water system to hybrid water supply systems have significant effects on central networks [ 13 ], particularly the sewage network and storm water drains. The use of decentralized water supply options changes both the wastewater and stormwater flow regimes and contaminants’ composition [ 36 , 93 , 98 ]. Thus it can be argued that while these hybrid water supply systems seem to be promising, there are some inherent challenges such as public acceptance, particularly for new technologies and unfamiliar practices (e.g., greywater recycling), unknown impacts, understanding the interaction between centralized and decentralized services and diverse infrastructure management. The following sections shed light on inertia in water infrastructure, and various prospects and challenges of hybrid water supply systems.
4.1. Inertia in Water Infrastructure and Hybrid Water Supply Systems
As shown in Figure 2 , there are two contrasting approaches to urban water management, a conventional paradigm based on traditional centralized approaches (common in practice); and an emerging paradigm around decentralized infrastructures [ 99 ]. Currently, there is a debate between fully centralized or decentralized approach to urban water service provision. The traditional, centralized water servicing system provides clean drinking water, sanitation and protection from urban flooding [ 100 ]. These systems are cost effective and reliable [ 5 , 100 ]. In contrast, decentralized system is based on principle of ecological sustainability and can manage water cycle by protecting the natural environment. There are diverse supply sources in decentralized system, which makes the system more flexible. Hybrid water systems combine the merits of both the centralized and decentralized systems. Furthermore, achieving a paradigm shift in water management may be a hard task due to the inertia that accompanies existing technological regimes [ 101 ]. Sunk investments and well-established socio-technical regime creates the path dependencies that favor the prevalence of the existing centralized model [ 102 ]. In addition to this, there are other factors such as institutional barriers, public health issues, peak demand (for example fire fighting demand) and supply safety that impedes the adoption of decentralized system. Other impediments to decentralized water system can be found in various literature sources [ 102 , 103 , 104 , 105 ]. Hybrid Systems can provide a balance between them and act as a transition towards more sustainable urban water systems.
Figure 2. Inertia in water infrastructure system.
Figure 2. Inertia in water infrastructure system.
4.2. Advantages of Hybrid Water Supply Systems
Hybrid water supply systems are innovative approaches to respond to water scarcity caused by population growth and uncertainties in climate change. They can enhance the water security through local source diversification [ 16 ]. Such diversification of water sources using alternative local water sources reduces the amount of water abstracted from waterways, groundwater or dams and hence improves water security [ 20 , 106 ]. They can build adaptive capacity by increasing the diversity and flexibility of water supply systems [ 29 ]. According to Weber et al . [ 39 ], planning and construction time of such systems is shorter compared to centralized system. At the same time, they are more flexible as it is easier to adapt the design to local conditions. Similarly, in a case study carried out in Qingdao, China [ 38 ], it is shown that the integrated semi-centralized approach offers flexible solutions to cope with the new demands wherever certain thresholds of population density are exceeded. These are not only effective in the cities like Qingdao where population growth is high but also would be in cities of East Germany where population is shrinking [ 107 ]. Research shows that these types of systems have lower entry costs and are more flexible to adapt to demographic changes [ 108 ]. In this context, semi-centralized supply and treatment systems can open a wide scope of possibilities in resource management, especially by reducing fresh water demand of new urban areas. Further, it can reduce social, economic and environmental vulnerability to climate change by creating distributed water systems through infrastructure design choices at a range of scales from household to regional level. This ensures greater flexibility. In addition, the, planning and operation of decentralized systems being of a smaller scale, entail a lower level of implementation and operational risks [ 38 ]. Additionally, water infrastructure systems consisting of semi-centralized systems would be more resilient because a failure in these systems would only affect a small part of the urban area [ 107 ]. In addition to this, there are large savings potential in daily potable water demands through intra-urban water reuse [ 92 ]. Similarly, integrated systems can achieve energy reductions by onsite treatment of different wastewater flows as such treatment of sewage sludge and waste can reduce the greenhouse gas (GHG) emissions such as those arising from the sanitary landfills [ 38 ]. At the same time, sludge and waste fractions can be utilized for energy production and nutrient recovery [ 109 ]. Daigger and Crawford [ 12 ] and Daigger [ 7 ] have also demonstrated the capability of hybrid water systems to reduce potable water use and energy consumption and increase the potential for nutrient recovery on large urban areas.
Hybrid systems can also help defer augmentation of existing infrastructure. For example, traditional water and wastewater pipe network design is driven to a large extent by the need to cater for peak demands. Mitigation of these peaks can be achieved through the use of decentralized solutions [ 34 , 48 , 110 , 111 , 112 ]. For example, Willis et al. , shows a huge reduction on diurnal peak of potable water demand with the use of recycled water supply for irrigation and toilet uses [ 48 ]. Speers and Mitchell [ 113 ] have also demonstrated that mitigation of these peaks can produce substantial cost reductions.
Distributed used-water reclamation and reuse systems offer significant advantages including being close both to the source of wastewater generation and to potential water reuse [ 26 ]. This approach not only reduces the size of the non-potable water-distribution system but also reduces the required size of the used water conveyance system downstream of the diversion point, which can allow significant savings in the system in terms of cost and energy [ 96 ]. Biggs et al . [ 29 ] also illustrated the similar benefits from hybrid water systems using cases from Australia, Europe and the United States. The study assesses these cases based on their ability to reduce costs and resource uses improve service security and protect natural environment.
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4.3. Challenges of Hybrid Water Supply Systems
Despite having promising prospects, it can’t be ignored the fact that hybrid water supply systems are not free of challenges. Among these challenges, are extensive collection and distribution systems required for used-water reclamation and reuse particularly in the case of centralized, non-potable systems that need separate distribution for potable and non-potable water? The need for dual water-distribution systems presents a significant cost barrier, especially in existing urban areas, as well as a substantial increase in energy to convey both water supplies [ 96 ]. Furthermore, as a water source, the treatment of wastewater involves energy use that may be greater than surface water [ 115 ]. Further, there are challenges related to retrofitting, which is associated with limited land and high cost [ 114 ]. Another challenge in transforming the model of service provision from centralized to hybrid water supply systems is the investment cycles for infrastructure. This often occurs over timescales that are too short (e.g., five years) for decentralized water supply options while central infrastructure has a life span of decades [ 116 ]. In addition, significant gaps remain in terms of quantifying the benefits of recycled water scheme and thus it makes difficult to set the price of such water [ 117 ].
The implementation of decentralized water systems, particularly for non-potable use could increase the complexity of urban water systems, with water collection, storage and distribution occurring over multiple scales (household, neighborhood and city scales) [ 55 ]. The extensive implementation of hybrid water systems could increase self-similarity in urban systems, adding replication of functions in water circulation to the replication of form seen in a dendritic structure of sewerage and drainage networks [ 118 ]. Such water collection and circulation at multiple scales could lead to greater complexity and new patterns of order emerging out of the critical state of water infrastructure.
119
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Cook et al . [ 81 ] demonstrate the impact of source management practices (SMPs) on the quality and load of wastewater. Marleni et al . [ 35 ] argue the need of further research to assess the potential impact that might arise from the implementation of alternative water sources such as grey water recycling, rainwater harvesting and wastewater recycling on sewage infrastructures. It is not yet clear whether these types of systems will affect water quality either adversely or favorably [ 121 ]. This echoes the finding from the analysis by Moglia [ 122 ] that shows the risks of decentralized water systems are yet to be understood. Makropoulos and Butler [ 93 ] have identified some of the main research needs in the area of hybrid water supply systems, especially in relation to the effects of the changing quantity and quality of wastewater and storm water on the existing infrastructure and the interactions between distributed water, energy and waste infrastructures. Speers and Mitchell [ 113 ] have also recognized that urban water systems are very complex and inter-related. Furthermore, they mention that changes to any part of system can have both downstream and upstream impacts that affect costs, performance, and future opportunities. The use of hybrid systems increases the complexity in our urban water system by adding more challenges. There will be differing water qualities and changing end use patterns and greater complexity, all resulting in new and increased risk to manage [ 123 ]. This leads to dynamic changes across multiple temporal and spatial scales that are often not intuitive even to experts [ 16 ]. Management of such complex system may need a high degree of monitoring with real time direct feedback for operations and water quality purposes, as well as monitoring of assets including pipes and water treatment systems [ 123 ]. This kind of monitoring can be very costly. Moreover, public acceptance of such systems is challenging. There is a significant research gap in the knowledge base of social drivers specific to the acceptance of these systems and the factors contributing to its widespread use [ 124 ].
Thus there is a large knowledge gap on operational performance, cost and energy usage of hybrid water supply system. For instance, there is a wide divergence in informed opinion on the levels of energy consumption for rainwater tanks and use of their water in household situations. Also, the level of externalities involved in wastewater discharge to aquatic ecosystems is often difficult to value, particularly for nitrogen discharge, and information is required to develop valid evaluation criteria.
4.4. The Need for Framework for Assessment of Hybrid Water Supply Systems
After discussing the advantages and disadvantages of hybrid water systems, this leads to the question “can a mixture of decentralized and centralized system combine the advantage of both systems?” To answer this question, we need a robust methodology to assess the performance of hybrid systems. Traditionally, integrated assessment studies have presented an either/or approach, assessing one technology against another for a number of alternative systems and exclude options for partial contributions from multiple alternatives [ 99 ]. For example, Cook et al . [ 81 ] analyzed seven alternatives and Abrishamchi et al . [ 125 ] analyzed eight systems; but these methodologies exclude options of combined system and their benefits. Further, none of these methodologies evaluates the impacts of hybrid systems in terms of interaction between centralized and decentralized infrastructures. Also, though some of the frameworks evaluate the environmental impacts of hybrid systems [ 30 ], but do not evaluate the impacts from the implementation of hybrid systems on the quantity and quality of wastewater and stormwater in the existing centralized systems. Hence there is a need of comprehensive methodology for assessing the full range of technological alternatives available. The closest to a methodology for assessing the hybrid water system to date is presented in the paper by Sapkota et al . [ 4 ]. However this is a basic theoretical methodology that requires further empirical study to validate it.
5. Discussion
This review highlights a range of decentralized water supply systems each with their specific advantages, issues and challenges. It also highlights that an adequate understanding of decentralized water supply systems and their interaction with central water infrastructures is necessary to bring significant environmental benefits and to enable deferring augmentation costs of large potable water supply, sewage and drainage systems. In areas with full use of existing centralized water supply system decentralized techniques such as rain water harvesting or recycled water supply can help to meet the additional water demand. The aim is to supply water services without changing the capacity of centralized system and subsequently reducing the cost of larger centralized water infrastructures.
Thus, it is necessary to evaluate how the existing system integrates with alternative water supply options and what might happen over time. Though we can say it makes sense to utilize decentralized systems along with centralized services, difficulties increase when issues such as regulatory, political, cost shifting, management and responsibilities arise. These issues may also give rise to larger costs and such risks need to be addressed before proceeding with their implementation.
6. Conclusions
Conflicts of Interest
The authors declare no conflict of interest.
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© 2014 by the authors; licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/4.0/).
MDPI and ACS Style
Sapkota, M.; Arora, M.; Malano, H.; Moglia, M.; Sharma, A.; George, B.; Pamminger, F. An Overview of Hybrid Water Supply Systems in the Context of Urban Water Management: Challenges and Opportunities. Water 2015, 7, 153-174.
https://doi.org/10.3390/w7010153
AMA Style
Sapkota M, Arora M, Malano H, Moglia M, Sharma A, George B, Pamminger F. An Overview of Hybrid Water Supply Systems in the Context of Urban Water Management: Challenges and Opportunities. Water. 2015; 7(1):153-174.
https://doi.org/10.3390/w7010153
Chicago/Turabian Style
Sapkota, Mukta, Meenakshi Arora, Hector Malano, Magnus Moglia, Ashok Sharma, Biju George, and Francis Pamminger. 2015. "An Overview of Hybrid Water Supply Systems in the Context of Urban Water Management: Challenges and Opportunities" Water7, no. 1: 153-174.
https://doi.org/10.3390/w7010153
| https://www.mdpi.com/2073-4441/7/1/153#B119-water-07-00153 |
Subtotal or partial unilateral arytenoidectomy for treatment of arytenoid chondritis in five calves in: Journal of the American Veterinary Medical Association Volume 235 Issue 4 ()
Abstract Case Description—5 calves were evaluated for abnormal respiratory noise associated with variable degrees of respiratory distress. Clinical Findings—Tachypnea and inspiratory dyspnea were detected at initial evaluation in all calves. Endoscopic evaluation of the upper respiratory tract revealed enlarged and immobile arytenoids. Radiographic (n = 3) and computed tomographic (1) evaluation of the laryngeal area revealed images that were indicative of a large soft tissue mass at the level of the arytenoids obstructing the rima glottis. A presumptive diagnosis of arytenoid chondritis was made. Treatment and Outcome—A tracheostomy tube was placed in all calves. Medical treatment (with antimicrobials and anti-inflammatory drugs) was attempted in 4 calves after initial evaluation. Unilateral arytenoidectomy via a laryngotomy was performed under general anesthesia in all calves. Dysphagia and coughing were the most frequent postoperative complications. Three calves survived at least 6 months after the procedure. One calf died of a perforated abomasal ulcer 3 months after the surgery. Another calf died suddenly 1 month after the surgery of an undetermined cause. Clinical Relevance—Unilateral arytenoidectomy was a viable surgical treatment for arytenoid chondritis in calves. Further research in a larger number of affected cattle is needed to determine the advantages or disadvantages of this procedure over other surgical techniques.
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Vet Surg
Subtotal or partial unilateral arytenoidectomy for treatment of arytenoid chondritis in five calves
Sylvain Nichols
Sylvain Nichols Department of Clinical Sciences, College of Veterinary Medicine, The Ohio State University, Columbus, OH 43210. Search for other papers by Sylvain Nichols in Current site Google Scholar PubMed Close
DVM, MS, DACVS
and
David E. Anderson
David E. Anderson Department of Clinical Sciences, College of Veterinary Medicine, Kansas State University, Manhattan, KS 66506. Search for other papers by David E. Anderson in Current site Google Scholar PubMed Close
DVM, MS, DACVS
DOI:
https://doi.org/10.2460/javma.235.4.420
Volume/Issue:
Volume 235: Issue 4
Online Publication Date:
15 Aug 2009
Abstract
Case Description—5 calves were evaluated for abnormal respiratory noise associated with variable degrees of respiratory distress.
Clinical Findings—Tachypnea and inspiratory dyspnea were detected at initial evaluation in all calves. Endoscopic evaluation of the upper respiratory tract revealed enlarged and immobile arytenoids. Radiographic (n = 3) and computed tomographic (1) evaluation of the laryngeal area revealed images that were indicative of a large soft tissue mass at the level of the arytenoids obstructing the rima glottis. A presumptive diagnosis of arytenoid chondritis was made.
Treatment and Outcome—A tracheostomy tube was placed in all calves. Medical treatment (with antimicrobials and anti-inflammatory drugs) was attempted in 4 calves after initial evaluation. Unilateral arytenoidectomy via a laryngotomy was performed under general anesthesia in all calves. Dysphagia and coughing were the most frequent postoperative complications. Three calves survived at least 6 months after the procedure. One calf died of a perforated abomasal ulcer 3 months after the surgery. Another calf died suddenly 1 month after the surgery of an undetermined cause.
Clinical Relevance—Unilateral arytenoidectomy was a viable surgical treatment for arytenoid chondritis in calves. Further research in a larger number of affected cattle is needed to determine the advantages or disadvantages of this procedure over other surgical techniques.
Abstract
Case Description—5 calves were evaluated for abnormal respiratory noise associated with variable degrees of respiratory distress.
Clinical Findings—Tachypnea and inspiratory dyspnea were detected at initial evaluation in all calves. Endoscopic evaluation of the upper respiratory tract revealed enlarged and immobile arytenoids. Radiographic (n = 3) and computed tomographic (1) evaluation of the laryngeal area revealed images that were indicative of a large soft tissue mass at the level of the arytenoids obstructing the rima glottis. A presumptive diagnosis of arytenoid chondritis was made.
Treatment and Outcome—A tracheostomy tube was placed in all calves. Medical treatment (with antimicrobials and anti-inflammatory drugs) was attempted in 4 calves after initial evaluation. Unilateral arytenoidectomy via a laryngotomy was performed under general anesthesia in all calves. Dysphagia and coughing were the most frequent postoperative complications. Three calves survived at least 6 months after the procedure. One calf died of a perforated abomasal ulcer 3 months after the surgery. Another calf died suddenly 1 month after the surgery of an undetermined cause.
Clinical Relevance—Unilateral arytenoidectomy was a viable surgical treatment for arytenoid chondritis in calves. Further research in a larger number of affected cattle is needed to determine the advantages or disadvantages of this procedure over other surgical techniques.
Contributor Notes
Dr. Nichols' present address is Faculté de Médecine Vétérinaire, University of Montréal, St-Hyacinthe, QC J2S 2M2, Canada.
Address correspondence to Dr. Nichols.
Journal of the American Veterinary Medical Association
ISSN:
0003-1488
Publication Date:
15 Aug 2009
Headings
Abstract
Discussion
References
References
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Belknap
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,
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.
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.
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| https://avmajournals.avma.org/abstract/journals/javma/235/4/javma.235.4.420.xml |
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Applied Sciences | Free Full-Text | Resonance Fatigue Behaviour of Concretes with Recycled Cement and Aggregate
The huge increase in production of construction and demolition waste (CDW) worldwide is leading to the valorisation of as recycled aggregates. One of the most promising alternatives is its use as a recycled aggregate in the manufacture of structural concrete, which motivates the study of the dynamic behaviour of these materials in order to ensure their suitability for use in elements subjected to dynamic loads. This work evaluated the resonant compressive fatigue behaviour of structural concretes with 25% or 50% recycled mixed aggregates, either individually or in combination with 25% recycled cement of clay-based materials both from CDW. All mixes were subjected to compressive fatigue tests using the accelerated Locati method. Regarding the fatigue limit, the results showed that for all mixes, it was between 30% and 45% of the compressive strength. In addition, a correlation was also found between the resonance frequency of the test and the deformation suffered by the specimen. This correlation enabled the estimation of the fatigue limit through a more stable parameter than the strain measured by strain gauges, namely, the resonance frequency. In addition, it was found that the resonance frequency of the test changed as the specimen damage increased. This observation enabled the estimation of the fatigue limit through a more stable parameter than the strain measured by strain gauges, namely, the resonance frequency.
Resonance Fatigue Behaviour of Concretes with Recycled Cement and Aggregate
by Blas Cantero 1 , Jose Sainz-Aja 2 , Adrian Yoris 2 , César Medina 1 and Carlos Thomas 2,*
1
2
LADICIM (Laboratory of Materials Science and Engineering), University of Cantabria, E.T.S. de Ingenieros de Caminos, Canales y Puertos, Av/Los Castros, 39005 Santander, Spain
*
Author to whom correspondence should be addressed.
Appl. Sci. 2021 , 11 (11), 5045; https://doi.org/10.3390/app11115045
Received: 5 May 2021 / Revised: 26 May 2021 / Accepted: 27 May 2021 / Published: 29 May 2021
Abstract
:
The huge increase in production of construction and demolition waste (CDW) worldwide is leading to the valorisation of as recycled aggregates. One of the most promising alternatives is its use as a recycled aggregate in the manufacture of structural concrete, which motivates the study of the dynamic behaviour of these materials in order to ensure their suitability for use in elements subjected to dynamic loads. This work evaluated the resonant compressive fatigue behaviour of structural concretes with 25% or 50% recycled mixed aggregates, either individually or in combination with 25% recycled cement of clay-based materials both from CDW. All mixes were subjected to compressive fatigue tests using the accelerated Locati method. Regarding the fatigue limit, the results showed that for all mixes, it was between 30% and 45% of the compressive strength. In addition, a correlation was also found between the resonance frequency of the test and the deformation suffered by the specimen. This correlation enabled the estimation of the fatigue limit through a more stable parameter than the strain measured by strain gauges, namely, the resonance frequency. In addition, it was found that the resonance frequency of the test changed as the specimen damage increased. This observation enabled the estimation of the fatigue limit through a more stable parameter than the strain measured by strain gauges, namely, the resonance frequency.
Keywords:
recycled concrete
;
resonant fatigue
;
Locati method
;
Concrete is the most widely used and versatile material in construction [
1
]. In 2019 ~27 Gt of concrete was consumed worldwide [
2
], requiring the production of ~19 Gt of natural aggregates (NA) and ~4.1 Gt of Portland cement [
3
]. With current urban growth expectations, it is estimated that these quantities could increase by as much as 25% by 2030 [
4
]. Meanwhile, this rapid development is leading to a huge increase in construction and demolition waste (CDW) generated during the construction, remodelling and demolition of buildings and infrastructure, currently representing the world’s major waste stream.
Consequently, the construction industry must change its current linear “produce-use-dispose” growth model to a more circular growth commitment by adopting actions that ensure sustainable development for concrete without compromising the needs of future generations.
In this context, many countries are promoting policies that include the circular economy model with the aim of prolonging the useful life of structures, reducing the consumption of natural resources and valorizing the waste generated [ 5 ]. To this end, the valorisation of CDW as recycled aggregates (RA) in the design of new concretes is an attractive technique that can bring great economic and environmental benefits, given the possibility of obtaining recycled concretes with good mechanical performance [ 6 , 7 , 8 ] and durability [ 9 , 10 , 11 , 12 ]. In this line, there are other works that attempt to assess CDW as RA together with new recycled supplementary cementitious material (SCM) (ground granulated blast fume [ 13 , 14 ], ceramics recycled [ 15 , 16 ], concrete recycled [ 17 , 18 ] and biomass waste [ 19 , 20 ]) as a partial substitute for cement, providing a double benefit by reducing the consumption of NA and cement, and achieving promising results in the improvement in mechanical and durability performance of concretes made only with CDW.
At present, the fatigue process involving recycled concrete is as yet an inadequately investigated topic [ 21 ]. A deeper understanding of this structural behaviour is essential to promote the reincorporation of these new raw materials into the production cycles in the concrete industry.
Fatigue in concrete can be defined as a process of mechanical degradation leading to failure. Due to cyclic loads, crack initiation and propagation within the specimen occur until final failure. However, during the application of the variable loads, a modification of the mechanical parameters of the concrete occurs, progressively varying the structural responses of an element [
22
]. This behaviour is of great importance in the design of structural elements, such as bridges, airport pavements, roads, marine structures, wind generators, foundations of industrial equipment, etc. Compared to permanent loads, these elements are subjected to a higher number of cyclic loads due to variable loads (transient loads, wind, etc.), and these cyclic loads produce a major reduction in mechanical properties, shortening the service life of this type of structure.
Some researchers have focused their efforts on increasing knowledge about the compressive fatigue behaviour of this new generation of recycled concretes. In this area, Xiao et al. [
23
] studied the fatigue behaviour of concretes with 100% recycled coarse aggregates (RCA) (>95% waste concrete). For this purpose, they tested cylindrical specimens in cyclic uniaxial compression tests with a constant minimum fatigue load stress and a frequency of 10 Hz. These authors observed that concretes with 100% RCA showed fatigue behaviour in three different stages: (i) cyclic creep stage, (ii) creep coupling stage and (iii) fatigue stage, similar to the behaviour pattern of conventional concrete with NA [
24
]. Thomas et al. [
25
,
26
] carried out an extensive experimental programme (24 mixes) to study fatigue behaviour of concretes made with RCA (20%, 50% and 100%) and different effective water-cement (w/c)
eff
ratios (from 0.45 to 0.65). In their results, these authors reported that, for same (w/c)
eff
, RCA concretes showed a greater reduction in fatigue life than NA concretes. However, concretes with up to 20% RCA and (w/c)
eff
showed fatigue behaviour similar to that of NA concrete.
In general, the reduced fatigue life of RCA concretes can be attributed to: (i) greater numbers of micro-cracks in the RCA produced in the crushing process of concrete waste, which are more easily interconnected as a result of cyclic loading [
27
] and (ii) larger interfacial transition zones between the cement paste and the RCA, which act as additional weak bonds under cyclic loading [
28
]. Sainz-Aja et al. [
29
] observed through microstructural analysis with computer microtomography of RCA concretes subjected to compressive fatigue loading that cracks are mostly generated at the aggregate interfacial transition zone (ITZ) and the edges of the flakier aggregates, propagating through the weaker planes until concrete collapse occurs.
Breccolotti et al. [
21
] researched the experimental results of Xiao et al. [
23
] and Thomas et al. [
26
] in order to improve the understanding of the fatigue behaviour of concretes made with RCA. These authors were able to develop a predictive algorithm to estimate the fatigue behaviour of RCA concrete, knowing the compressive strength, the percentage of NA substitution by RCA and the type of concrete mix, obtaining good agreement between the experimental results and the theoretical prediction. Furthermore, these authors verified that the concretes with RCA complied with the fatigue life predictions calculated according to the Model Code 2010 [
30
].
Recently, Sainz-Aja et al. [ 31 ] combined the accelerated Locati fatigue method with 2 × 10 5 cycles per step with resonant fatigue, minimising the time and cost of fatigue testing. These authors observed more conservative results in the fatigue behaviour of concretes tested at moderate frequency (10 Hz) than in the case of those tested at high frequency (≈90 Hz), this effect being greater in concretes manufactured with RCA. Moreover, they observed an increase in temperature with increasing frequency, which could reduce the fatigue life of the concrete by increasing creep damage.
From all the research carried out to date, great advances have been made in the knowledge of the fatigue behaviour of concrete with RCA. However, this type of recycled aggregate, in Spain only represents between 30% and 40% of CDW [ 32 ]. The remainder is represented by mixed recycled aggregates (MRA), the result of jointly crushing used concrete, masonry materials (brick, roof and ceramic tile) and some minor components, including plaster, wood, plastic and glass. MRA are more heterogeneous than RCA, which makes it more difficult to reincorporate them into the concrete production chain. Nevertheless, new scientific contributions are emerging every day that encourage further research in this field, motivated by the possibility of producing concretes with MRA with acceptable mechanical [ 6 , 32 , 33 , 34 ] and durability [ 10 , 35 , 36 , 37 ] results. Furthermore, according to the latest report of the European Commission [ 38 ], MRA are the biggest problem within CDW due to their accumulation in recycling plants.
The recent review by Tang et al. [ 39 ] shows that the partial substitution of up to 30% by weight of recycled clay waste from CDW as SCM in the manufacture of concrete can improve, if the fineness of the waste is adequate, the properties of new concretes incorporating these new SCMs in the cement with respect to conventional concrete, as well as being an effective solution to mitigate the pollutant emissions associated with cement production, with a reduction of up to 8.1% of cement produced [ 40 ].
With this objective, the innovation of this research is to analyse the individual and joint effects of the incorporation of mixed recycled finely ground clay-based waste as SCM to cement (RPW-CDW) and the coarse fraction of mixed recycled aggregates in the study of resonant fatigue behaviour from structural concretes. It purposes to enhance the scientific and technical understanding of the combined use of such waste and contribute to its valorisation. In this context, there are still no research studies on this behaviour with these recycled materials. For this purpose, an experimental programme was designed to carry out resonant fatigue tests using the Locati method with 1 × 10
5
cycles per step. This technique allowed evaluating the fatigue limit of concretes made with MRA and concretes made with 25% RPW-CDW and (25–50%) MRA, finding that the resonance frequency decreases as the damage in the specimen increases. This observation allows estimating the fatigue limit through a more stable parameter than the strain measured by strain gauges, namely the resonance frequency.
Finally, the results of this research will contribute to a better understanding of the resonant fatigue behaviour of this new generation of concretes with MRA and recycled cement from the integral recovery of CDW.
2. Materials and Methods
2.1. Materials
2.1.1. Binders
The concretes were manufactured with two types of cement: (i) 100% Ordinary Portland cement (OPC), class 42.5 R according to EN 197-1 [ 41 ], without additions, supplied by Lafarge Holcim Cement, Toledo, Spain, and (ii) a recycled cement (OPC-25CDW) composed of 75% OPC and 25% recycled ceramic-based waste (bricks, tiles, blocks, etc.) from the crushing and grinding of CDW waste (RWP-CDW). Table 1 shows the chemical composition of RWP-CDW and the resulting OPC-25CDW. This cement is registered by patent Nº ES2512065 [ 42 ] and can be classified as CEM II/B or CEM IV/A of strength class 42.5 MPa according to EN 197-1 [ 41 ]. Similarly, a water-based modified polycarboxylate superplasticiser (SP) admixture with a density of 1.1 g/cm 3 and a solids’ content of 20% from BRYTEN NF furnished by FUCHS Lubricantes was used.
2.1.2. Aggregates
The crushed greywacke natural aggregate used comprised three particle sizes: 0 mm to 6 mm (NA-S), 6 mm to 12 mm (NA-M) and 12 mm to 22 (NA-C). The recycled aggregate used, which was supplied by a CDW processing plant located in the Spanish region of Extremadura, had two particle size fractions: 6 mm to 12 mm (MRA-M) and 12 mm to 22 mm (MRA-C). The composition analysis of recycled aggregates (
Table 2
), conducted as specified in standard EN 933-11 [
43
], revealed that the main components were concrete and mortar (47.0–44.0 wt%), ceramic (7.2–10.9 wt%) and natural stone (44.8–43.8 wt%), with others (glass and metals) (<0.5 wt%) as minor constituents. On the grounds of these data and the criteria set out in Spain’s structural concrete code [
44
] with its <95 wt% Rcu (Rcu = Rc + Ru) content and >5 wt% Rb content, MRA-M and MRA-G qualified for classification as a mixed recycled aggregate.
The particle size distribution and the physical and mechanical properties of all the aggregates used to prepare the concrete mixed are listed in Figure 1 and Table 3 , respectively. Due primarily to their higher porosity, the recycled aggregates had a lower density than the natural materials in all particle sizes. The saturated surface dry density was found to lie in the 2.42 Mg/m 3 to 2.45 Mg/m 3 range. These aggregates also absorbed more water than the NA, a consequence of the adhered mortar and masonry particles present in the new materials, which exhibited absorption percentages within the range of 4.0 to 10% observed by other authors [ 7 , 17 , 32 ] for this type of recycled aggregates. As the adhered mortar tended to smooth its sharpest angles, RA had a lower flakiness index than NA. The recycled materials had a higher Los Angeles coefficient than the NA, likewise due to the adhered mortar and the presence of masonry. Here also, the values ranged within the 20 to 40% reported in the literature for recycled aggregate [ 16 , 33 , 45 ]. Finally, these recycled aggregates complied with the requirements set out in the European standard EN 12620 [ 46 ] for use as recycled aggregate in concrete.
2.2. Experimental Procedure
Table 4 shows the 6 mixes used: a reference concrete (OPC + NA), a concrete with OPC-25CDW and NA, two concretes with OPC with 25% and 50% MRA each and two concretes with OPC-25CDW with 25% and 50% MRA replacement each.
Cylindrical specimens of 100 mm diameter and 200 mm height were manufactured according to EN 12390-1 [ 50 ] for the resonant fatigue tests. These specimens were demoulded after 24 h and cured at 95 ± 5% relative humidity and a constant 20 ± 2 °C until 180 days of curing. Uniaxial compressive strength according to EN 12390-3 [ 51 ] and modulus of elasticity according to EN 12390-13 [ 52 ] were also determined.
2.2.1. Resonant Fatigue Test
Resonant fatigue is a technique that allows fatigue testing at the resonant frequency of the system. This resonant frequency depends on the stiffness of the system, and, in the case of concrete, the stiffness is highly dependent on both the load values between which it is being calculated and the degree of cracking of the specimens.
The concrete’s compressive resonant fatigue behaviour was studied using the Locati method, which enabled the estimation of the fatigue limit using a single specimen. For this purpose, the minimum stress value (σ
0
), corresponding to the lower limit, was fixed, and the upper limit of the maximum stress range (σ
j
) was varied in steps, where
j
represents the different steps. Six loading steps with 1 × 10
5
cycles each were established, and a sinusoidal wave was applied at resonance by means of load control.
The specimens were instrumented with two 60 mm strain gauges to measure the strains. These were placed diametrically opposite to the central axis of the specimen and centred in height, and bonded with two-component epoxy resin. The strains recorded in both gauges were averaged for the calculations.
The test programme for the determination of the resonant fatigue limits is shown in detail in Table 5 . Based on the uniaxial compressive strengths ( f cd,180 ) of the set of specimens, the minimum stress, σ min , was defined as 2.5 MPa and the maximum initial stress, σ max , as 12.5 MPa, and an increase, Δ, in the maximum stresses of 5.0 MPa was considered in each successive step.
The fatigue limit was established from Equation (1), which was determined by correlating tests on different types of concrete by applying the Locati and Staircase methods [
53
].
L
F
=
0.8
∗
L
(1)
where
L F
is the fatigue limit (MPa) and Δ
σ L
is the stress range of the Locati test rupture step (MPa).
In addition, the influence coefficient ( IC ) was defined as the ratio of the fatigue limit to the compressive strength in percent.
The resonance frequency tests were carried out with the Zwick/Roell Amsler 400 HFP 5100 Vibrophores ( Figure 2 ), which have a maximum load capacity of 400 kN, maximum mean load of ±300 kN, maximum force amplitude of ±200 kN, and a test frequency range between 35 Hz and 300 Hz.
2.2.2. Post-Processing Experimental Results
During the fatigue tests, a data acquisition system was programmed to periodically record blocks of 0.03 seconds’ duration of the force applied by the resonance machine and the strain recorded by each of the two strain gauges attached to the specimens. In this work, post-processing tasks were carried out to facilitate the interpretation of the results obtained. Specifically, a one degree Fourier regression [
54
,
55
,
56
] was performed to enable the fitting of the data to a harmonic function (2) [
56
]:
y
(
t
)
=
a
0
+
a
1
∗
c
o
s
(
w
∗
t
)
+
b
1
∗
s
i
n
(
w
∗
t
)
(2)
where
a
0
,
a
1
and
b
1
are regression parameters and
w
is the angular frequency. This equation can be transformed into a typical sinusoidal Equation (3) by using the following relationships (4) [
56
]:
y
(
t
)
=
y
0
+
A
∗
sin
(
w
∗
t
+
φ
0
)
(3)
y
0
=
a
0
;
A
=
a
1
2
+
b
1
2
;
φ
0
=
π
2
−
a
r
c
t
a
n
1
a
1
)
(4)
where
y
0
is the vertical offset,
A
is the amplitude and
φ
0
is the phase shift of the sinusoidal wave. Moreover, the angular frequency and the testing frequency are related by the following Equation (5) [
56
]:
w
=
2
∗
f
∗
φ
0
(5)
Figure 3 shows an example comparing the results acquired by raw data (discrete points) and the regression obtained (continuous function).
2.2.3. Mix Design
Batching for all the concrete mixes is given in Table 6 . All mixes, irrespective of the MRA and/or NA content, were designed with the British mix approach [ 57 ], using the following starting conditions: (i) concrete compressive strength at 28 days, in 150 mm diameter and 300 mm height specimens, f ck = 30 MPa; (ii) cement strength class, 42.5 R; (iii) effective w/c ratio: 0.45; and (iv) aggregate with a maximum size of 20 mm. The natural moisture content of all aggregates at the time of manufacture of the mixes and the water absorption were also considered. The concretes were prepared in the laboratory as follows: coarse and fine aggregates were mixed for 30 s, then cement was added and mixed for 60 s to homogenise the mixture. The additive was dissolved in 10% of the total water content and mixed with the solids for 45 s. With the mixer running, 70% of the total volume of water was added and mixed for 120 s, after which the remaining 20% of the water was added and mixed for 240 s. The mixer was then switched off, the fresh properties were determined and the mixture was poured into the respective moulds, according to the European standard (EN 12390-1) [ 50 ]. Figure 4 shows the modulus of elasticity of the different mixes [ 16 ].
3. Results and Discussion
3.1. Fatigue Limit
Table 7 shows the values obtained from the Locati resonant fatigue tests for all mixes. In addition, to complement this parameter, the values of f cd,180 ( Table 6 ) and IC were added, which enabled the evaluation of the effect of fatigue on each type of concrete.
In all cases, fatigue reduced the strength of the specimens to between 30 and 45% of the
f cd,180
. Regarding the effect of the presence of both MRA and OPC-25CDW on the
IC
, there seemed to be no clear effect. This can be explained mainly by the high dispersion associated with fatigue failure, as this parameter is highly influenced by local phenomena. Furthermore, analysing the strength properties of concrete [
15
], neither the presence of MRA nor OPC-25CDW produced a significant change in the strength of the material. The little influence of MRA and OPC-25CDW on the
IC
is because, as pointed out by Lantsoght et al. [
58
], the fatigue strength of a recycled concrete does not depend only on the presence of RA, but also depends to a large extent on water/cement ratio, cement content, concrete type, rest periods, curing conditions and age during loading, and in this case, it was concrete with a high cement content per cubic metre and with high-quality MRA [
16
]. Furthermore, because the method used for the determination of the fatigue limit was based on a test that applies load steps, the resolution of this method will be similar to the size of the steps used. Therefore, if the differences between mixtures were smaller than the step size, they will be masked by the resolution of the test.
3.2. Strain Evolution Test
Figure 5 and Figure 6 show the evolution of the strain amplitude of the two series of six mixes analysed during the accelerated fatigue test. Figure 4 shows the results corresponding to the OPC mix, and Figure 5 shows the results corresponding to the OPC-25CDW mix.
It can be observed that the presence of MRA increased the strain amplitude recorded for both OPC and OPC-25CDW concretes. This increase in the strain of the concrete with MRA could also be observed in the static tests if we compared the elastic modulus of the different mixes. These results are in agreement with those observed by other authors who have performed fatigue tests on RA concrete analysing the strain evolution [ 23 , 24 , 25 , 26 , 29 , 31 ]. On the other hand, the influence of the type of cement on the strain of the specimens during the fatigue tests was much lower; this effect is also in agreement with the static values obtained in the elastic modulus tests [ 16 ]. From Figure 4 and Figure 5 , it can also be seen that the presence of MRA resulted in less homogeneous results, which is in agreement with other research [ 17 , 59 ].
In view of the results, which showed both equivalent compressive strength and fatigue strength for both conventional and recycled concretes, it could be considered to use these concretes for the main applications that are susceptible to fatigue damage, such as the railway superstructure, sleepers, or tracks, bridges both for railroad and for road traffic, offshore structures subjected to wind and sea waves and/or wind power tower. Nevertheless, it should be noted that lower modulus results were obtained, which should be taken into account, especially in applications where the concrete is prestressed.
3.3. Frequency Evolution
Figure 7
shows an example of the evolution of the resonant frequency of the set during the fatigue test as a function of the number of cycles. The fatigue testing machine used is characterised by always testing at the resonance frequency of the test machine and specimen assembly, which depends mainly on the stiffness of the assembly; the stiffer it is, the higher the resonance frequency. As shown in this figure, the resonance frequency was not constant throughout the test, which implied that the specimen underwent a series of changes in its mechanical properties during the test. First, it can be seen that when each time a step change occurred, there was also an increase in the resonance frequency. This is because a step-change implies an increase in the stress range applied to the specimen, which generally results in a higher stiffness. Second, it can be seen that, after the first few cycles, there was a reduction in the resonance frequency, corresponding to a stabilisation phase. In the fourth step, this effect was not seen because it is a phenomenon of short duration, which only affects a few cycles, and the data acquisition did not record any of them. However, it is a phenomenon observed by other authors [
29
,
31
]. In the first step, it can be seen that, once this first phase was overcome, the resonance frequency remained constant, which means that the specimen was in a stationary state, i.e., the specimen was suffering little damage, and, therefore, it could withstand a large number of cycles without breaking. It was only in the last step that the resonance frequency decreased. This drop in frequency was the consequence of an increase in the specimen deformation, which can be explained by the growth of micro-cracks in the concrete specimen that will lead to specimen failure [
60
]. For this reason, observing that the resonance frequency decreased (after the initial stabilisation phase) is considered as an indicator of being close to failure of the specimen and that the endurance of the material has been exceeded. Finally, this methodology may be a new way to measure the fatigue limit through resonance frequency monitoring.
Figure 8 and Figure 9 show an example of the comparison between the test frequencies obtained for each type of concrete as a function of the percentage of NA replaced by MRA for each type of cement.
Figure 7
shows the results for the OPC concretes. It can be seen that the behavioural phases described above were satisfied. As the percentage of replacement increased, the resonance frequency decreased, decreasing the stiffness of the specimen, which was in agreement with the results obtained from the elastic modulus tests and with the strain values previously shown.
Figure 8
shows the results of the mixes with OPC-25CDW. As in the case of
Figure 7
, the phases described above can be seen. In these mixes, it was also observed that in those concretes with MRA, the resonance frequencies were lower than in the case of concretes without MRA. Likewise, these values agreed with the results obtained in the elastic modulus and strain tests.
3.4. Correlation between Strain and Frequency during a Resonance Fatigue Test
In the two previous sections, the evolution of the strain amplitude and the resonance frequency was shown, and it was commented that there is a relationship between the two parameters. Figure 10 shows an example of a comparison between the two parameters for the same test.
Figure 10
show that both parameters suffer abrupt changes at the beginning of each step. In phases where one parameter remained constant, the other also remained constant, although the frequency values seemed to be more stable than the strain values. In phases where changes occurred within the same step, i.e., where the loads remained constant, the effect of the deterioration of the specimens was the inverse for each of these parameters, the frequency decreased and strain increased. At step changes, both parameters underwent punctual increases, while within each step, the change undergone by each parameter was the inverse; this was due to the modifications of the applied stress values. As the applied load amplitude increased, the specimen strained more, and the ratio between force and strain (stiffness) also increased at each step. However, within the same step, as the displacement amplitude increased, the stiffness decreased.
To analyse the ratio between load and strain, Figure 11 shows an example of the evolution of a parameter correlated with stiffness, namely the elastic modulus, during a fatigue test.
Figure 11 shows how, contrary to strain amplitude or resonance frequency, the elastic modulus was a parameter that had a continuous behaviour, if we do not take into account the stabilisation period at the beginning of a step. Moreover, it is a parameter that always decreased [ 23 , 24 , 25 , 61 ]. This is because as the specimen is damaged, the micro-cracks present in the concrete grow, which results in a lower elastic modulus.
3.5. Morphological Analysis of Fractures
Figure 12 shows examples of the failure surfaces of the six types of concretes evaluated in this work. On the left the series of mixes with OPC. On the right, the series of mixes with OPC-25CDW.
Comparing the failure surfaces of those concretes with different degrees of replacement of NA by MRA, different failure mechanisms were observed, similar to those observed by other authors who also performed fatigue tests on concrete [ 26 , 61 ]. In Figure 12 , the following patterns were observed on the fracture surfaces of specimens incorporating NA: paste planes were seen, which before fatigue were in contact with aggregates; cracks were seen at the edges of some aggregates; pieces of aggregate were seen protruding above the fracture surface.
Figure 13 b shows a detail of the fracture surface of a specimen with MRA. In this figure, the following patterns can be seen: (i) in the case of aggregates from structural concrete, it can be seen that the fracture surface had generated a plane through the aggregate and (ii) in the case of an aggregate of ceramic origin, it can be seen that this aggregate had been pulverized.
Several authors have concluded that the cracking of the specimens occurs because the cracks propagate through the weaker planes [
62
,
63
,
64
,
65
]. Based on the previously mentioned observations, it is possible to ensure that in those concretes with 0% replacement, and the cracks occur through the paste–aggregate interface (ITZ), i.e., the weakest zone of the specimens is the paste–aggregate interface. It can also be seen that the presence of MRA, especially in those of ceramic origin, can cause the rupture not to occur through the ITZ, because the aggregates have lower mechanical properties so that cracks can advance through them.
On the fracture surface of the fatigue-tested specimens, no different fracture mechanisms were observed in relation to the use of different binders, OPC-25CDW or OPC. It can be observed that the paste had a different colour. It should be noted that, based on the colour of the paste of the concrete with OPC-25CDW, it was possible to estimate that the specimen was “very dry”, which is in agreement with what was observed once the test was completed, where the specimens were at a high temperature. This temperature increase has also been detected in other resonant fatigue studies on concrete [ 29 ].
4. Conclusions
The main conclusions derived from this research are:
In the mixtures studied, the resonant fatigue limit was between 30 and 45% of the compressive strength.
The fatigue results had a large scatter, and no direct influence on the resonant compressive fatigue limit was observed due to the presence of mix recycled aggregate.
The presence of mixed recycled aggregates in the concretes increased the strain recorded during the resonance compressive fatigue tests. The presence of recycled cement did not affect the strain values.
The resonance frequencies were lower in the concretes with MRA because the stiffness of the system provided by the presence of MRA increased the strain suffered by the specimen.
For all cases, it was observed that during resonance fatigue tests with constant load cycles, as the strain increased, the resonance frequency decreased.
In the compressive resonance fatigue tests, the unmixed MRA specimens exhibited fracture planes across the paste–aggregate interface. While the specimens with MRA showed cracks through the recycled concrete aggregates and pulverisation of the ceramic fractions.
The strength of all the concretes was similar. The presence of mixed recycled aggregates had a greater effect on the dynamic response (increased strain and decreased resonance frequency) than the presence of recycled cement, which did not show any influence on the dynamic response.
The characterisation in resonant fatigue allowed a reduction in test durations and the comparison of the fatigue life of different types of recycled concrete, even with recycled cement. However, the dispersion obtained in the results suggests that the more heterogeneous concretes are more sensitive to resonant fatigue. For this reason, for recycled concretes, the method does not seem directly comparable with the classical methods of static characterisation.
Author Contributions
A.Y. and B.C. performed the experiments; J.S.-A., A.Y. and B.C. analysed the data and wrote the paper; C.T. and C.M. supervised the research work and revised the paper. All the authors contributed to the experiment design and analysed and discussed the findings. All authors have read and agreed to the published version of the manuscript.
Funding
This research was funded by the Spanish Ministry of Science and Innovation within the framework of the project BIA 2013-48876-C3-2-R.
Institutional Review Board Statement
Not applicable.
Informed Consent Statement
Not applicable.
Data Availability Statement
Data sharing not applicable.
Acknowledgments
The first author benefited from the Ministry of Education, Culture and Sport’s pre-doctoral grant FPU16/02693. The authors would like to acknowledge the “Augusto Gonzalez Linares” postdoctoral grant program of the University of Cantabria for support.
Conflicts of Interest
The authors have no conflict of interest that may have influenced the research described in this paper.
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Figure 1. Aggregate particle size distribution. Note: NA-S: natural sand (0/6 mm); NA-M: natural medium gravel (6/12 mm); NA-C: natural coarse gravel (12/22 mm).
Figure 1. Aggregate particle size distribution. Note: NA-S: natural sand (0/6 mm); NA-M: natural medium gravel (6/12 mm); NA-C: natural coarse gravel (12/22 mm).
Figure 2. Zwick Amsler 400 HFP 5100 Vibrophore equipment. Schematic diagram of equipment and test specimen.
Figure 2. Zwick Amsler 400 HFP 5100 Vibrophore equipment. Schematic diagram of equipment and test specimen.
Figure 3. Example of the correlation between the recorded data and fitting values.
Figure 3. Example of the correlation between the recorded data and fitting values.
Figure 4. Modulus of elasticity of the different mixes.
Figure 4. Modulus of elasticity of the different mixes.
Figure 5. Strain amplitude evolution during a Locati test on the OPC mixes.
Figure 5. Strain amplitude evolution during a Locati test on the OPC mixes.
Figure 6. Strain amplitude evolution during a Locati test on the OPC-25CDW mixes.
Figure 6. Strain amplitude evolution during a Locati test on the OPC-25CDW mixes.
Figure 7. Resonance fatigue frequency evolution during a Locati test.
Figure 7. Resonance fatigue frequency evolution during a Locati test.
Figure 8. Resonance fatigue frequency evolution during a Locati test for OPC mixes.
Figure 8. Resonance fatigue frequency evolution during a Locati test for OPC mixes.
Figure 9. Resonance fatigue frequency evolution during a Locati test for OPC-25CDW mixes.
Figure 9. Resonance fatigue frequency evolution during a Locati test for OPC-25CDW mixes.
Figure 10. Comparison of the strain amplitude and the resonance frequency during a Locati fatigue test.
Figure 10. Comparison of the strain amplitude and the resonance frequency during a Locati fatigue test.
Figure 11. Modulus of elasticity evolution during a Locati test.
Figure 11. Modulus of elasticity evolution during a Locati test.
Figure 12. Fracture surface of samples broken during fatigue tests.
Figure 12. Fracture surface of samples broken during fatigue tests.
Figure 13. Fracture surface detail of samples broken during fatigue tests: HP sample ( a ) and HR-50 sample ( b ).
Figure 13. Fracture surface detail of samples broken during fatigue tests: HP sample ( a ) and HR-50 sample ( b ).
Table 1. Chemical composition of RWP-CDW and OPC-25CDW XRF analysis.
Table 1. Chemical composition of RWP-CDW and OPC-25CDW XRF analysis.
Material Chemical Composition (%wt.) LOI SiO 2 Al 2 O 3 Fe 2 O 3 CaO MgO SO 3 Na 2 O K 2 O TiO 2 P 2 O 5 Cl- SiO 2 (1) OPC 20.00 6.03 2.57 60.00 1.75 3.90 0.56 1.49 0.15 0.15 0.02 - 3.26 RWP-CDW 59.63 18.51 5.92 4.78 3.08 0.42 0.70 3.58 - - - 35.10 2.15 OPC-25CDW 31.30 8.26 3.24 48.99 2.86 2.43 0.51 1.58 0.35 0.19 0.04 - 2.66
Note: (1) Reactive.
Table 2. Composition of recycled aggregates.
Table 2. Composition of recycled aggregates.
Composition (wt%) MRA-M MRA-G Ceramic 7.2 10.9 Concrete and mortar 47.0 44.0 Natural stone 44.8 43.8 Bituminous 0.6 0.9 Others 0.4 0.4
Note: MRA-M: mixed medium recycled aggregate (6/12 mm); MRA-G: mixed gravel recycled aggregate (4/22 mm).
Table 3. Physical properties of aggregates.
Table 3. Physical properties of aggregates.
Property Aggregates NA-S NA-M NA-C MRA-M MRA-G EN 12620 Dry density (g/cm 3 ) [ 47 ] 2.73 2.71 2.72 2.28 2.32 - SSD (1) density (g/cm 3 ) [ 47 ] 2.76 2.74 2.74 2.42 2.45 - Water absorption 24 h (%wt.) [ 47 ] 1.18 0.88 0.78 6.28 5.27 ≤5 (≤7) (3) Open Porosity (vol%) [ 47 ] 3.2 2.4 1.9 14.3 12.2 Los Angeles coefficient (%wt.) [ 48 ] - 16 18 32 36 <50 (2) Flakiness index (%wt.) [ 49 ] - 21 25 10 10 <35
Note: (1) SSD: Saturated Surface Dry. (2) Concretes with a compressive strength of less than 30 MPa. (3) Mixture of recycled aggregate and natural aggregate.
Table 4. Identification of manufactured concrete.
Table 4. Identification of manufactured concrete.
Table 5. Fatigue test parameters by the Locati method.
Table 5. Fatigue test parameters by the Locati method.
Step j Cycle N σ min -σ 0 [MPa] σ max -σ j [MPa] Δ [MPa] σ med [MPa] Amplitude [MPa] 1 0–1 × 10 5 2.5 12.5 5.0 7.5 5.0 2 1 × 10 5 –2 × 10 5 2.5 17.5 5.0 10.0 7.5 3 2 × 10 5 –3 × 10 5 2.5 22.5 5.0 12.5 10.0 4 3 × 10 5 –4 × 10 5 2.5 27.5 5.0 15.0 12.5 5 4 × 10 5 –5 × 10 5 2.5 32.5 5.0 17.5 15.0 6 5 × 10 5 –6 × 10 5 2.5 37.5 5.0 20.0 17.5
Table 6. Concrete mix proportions.
Table 6. Concrete mix proportions.
Material [kg/m 3 ] Type HP HR-25 HR-50 HP-R HRR-25 HRR-50 NA-S 732.36 720.79 705.38 732.36 720.79 705.38 NA-M 382.96 282.69 184.43 382.96 282.69 184.43 NA-G 766.69 565.94 369.22 766.69 565.94 369.22 MRA-M - 90.75 177.62 - 90.75 177.62 MRA-G - 182.80 357.77 - 182.80 357.77 OPC 400 400 400 - - - OPC-25CDW - - - 400 400 400 W 193.03 202.08 210.63 193.03 202.08 210.63 SP 6.20 6.20 6.20 6.20 6.20 6.20 (w/c) effective 0.48 0.50 0.53 0.48 0.50 0.53 Physical and mechanical properties ρ (kg/m 3 ) 2340 2310 2290 2350 2310 2240 f cd,180 (MPa) 53.5 47.0 48.8 50.2 47.5 47.5
Note: ρ , hardened density and f cm , compressive strength.
Table 7. Fatigue limit obtained from Locati Method.
Table 7. Fatigue limit obtained from Locati Method.
Material f cd,180 [MPa] Δ σ L [MPa] L F [MPa] IC [%] HP 53.5 27.5 22.0 41.12 HR25 47.0 18.4 14.8 31.49 HR50 48.8 27.5 22.0 45.08 HRR 50.2 25.3 20.3 40.44 HRR25 47.5 27.5 22.0 46.32 HRR50 47.5 20.6 16.5 34.74
Note: f cd,180 : uniaxial compressive strength at 180 days; Δ σ L : stress range of the Locati test rupture step; L F : fatigue limit; IC : Influence coefficient ( L f /f cd,180 100).
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Cantero, B.; Sainz-Aja, J.; Yoris, A.; Medina, C.; Thomas, C. Resonance Fatigue Behaviour of Concretes with Recycled Cement and Aggregate. Appl. Sci. 2021, 11, 5045.
https://doi.org/10.3390/app11115045
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Cantero B, Sainz-Aja J, Yoris A, Medina C, Thomas C. Resonance Fatigue Behaviour of Concretes with Recycled Cement and Aggregate. Applied Sciences. 2021; 11(11):5045.
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Cantero, Blas, Jose Sainz-Aja, Adrian Yoris, César Medina, and Carlos Thomas. 2021. "Resonance Fatigue Behaviour of Concretes with Recycled Cement and Aggregate" Applied Sciences11, no. 11: 5045.
https://doi.org/10.3390/app11115045
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Cantero, B.; Sainz-Aja, J.; Yoris, A.; Medina, C.; Thomas, C. Resonance Fatigue Behaviour of Concretes with Recycled Cement and Aggregate. Appl. Sci. 2021, 11, 5045.
https://doi.org/10.3390/app11115045
AMA Style
Cantero B, Sainz-Aja J, Yoris A, Medina C, Thomas C. Resonance Fatigue Behaviour of Concretes with Recycled Cement and Aggregate. Applied Sciences. 2021; 11(11):5045.
https://doi.org/10.3390/app11115045
Chicago/Turabian Style
Cantero, Blas, Jose Sainz-Aja, Adrian Yoris, César Medina, and Carlos Thomas. 2021. "Resonance Fatigue Behaviour of Concretes with Recycled Cement and Aggregate" Applied Sciences11, no. 11: 5045.
https://doi.org/10.3390/app11115045
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ABSTRACTS: January 2005 - technology.matthey.com
ABSTRACTS: January 2005
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Platinum Metals Rev., 2005, 49 , (1), 54 doi:
10.1595/147106705X25651
ABSTRACTS: January 2005
of current literature on the platinum metals and their alloys
MIX
PROPERTIES
Determination of Diffusion Coefficient of Hydrogen in Metals and Their Elastic Modulus by Generalised Impedance
P. ZOLTOWSKIand B. LEGAWIEC, J. Electroanal. Chem., 2004,572, (2), 205-210
LINKdoi:10.1016/j.jelechem.2003.05.001http://dx.doi.org/10.1016/j.jelechem.2003.05.001
Transport of H in elastic metals has been analysed in terms of an impedance-like non-linear transfer function (TF). The equilibrium in a membrane was perturbed by application of a sinusoidal signal of concentrations of H, of large amplitude, to a surface. The fundamental harmonics of periodically reproducible flux at this surface is considered as the response. The TF is defined as the ratio of the signal to the response. The TF was used in determining the diffusion coefficient of H in α-phase Pd-H and Pd 81Pt 19-H, and their bulk elastic moduli.
Gas Loading of Deuterium in Palladium at Low Temperature
F. SCARAMUZZI, J. Alloys Compd., 2004,385, (1-2), 19-27
LINKdoi:10.1016/j.jallcom.2004.04.136http://dx.doi.org/10.1016/j.jallcom.2004.04.136
An experimental technique that can be used to measure the absorption of H or D gas in a thin Pd sample (1) at low temperature is described. For D, the results consisted of measurements of the equilibrium loading ratio, X, as a function of pressure, on (1) 3.6 μm thick at 150 K. Values of X≤ 1 were measured at pressures of < 1 bar. The electrical resistance of (1) was measured as function of temperature and X.
Effect of Hydrogen on the Electrical Resistance of Melt-Spun Mg 90 Pd 10 Amorphous Alloy
S. NAKANO, S. YAMAURA, S. UCHINASHI, H. KIMURAand A. INOUE, Sens. Actuators B: Chem., 2005,104, (1), 75-79
LINKdoi:10.1016/j.snb.2004.04.101http://dx.doi.org/10.1016/j.snb.2004.04.101
The electrical resistance of the title alloy (1) increased after electrochemical H charging and decreased after H discharging in 6 N KOH solution. The electrical resistance of (1) immersed in H-dissolved H 2O increased with immersion time and the increase was dependent on the H concentration in the H 2O. (1) may find use as a H sensor in H 2O.
CHEMICAL COMPOUNDS
A High-Pressure and High-Temperature Synthesis of Platinum Carbide
S. ONO, T. KIKEGAWAand Y. OHISHI, Solid State Commun., 2005,133, (1), 55-59
LINKdoi:10.1016/j.ssc.2004.09.048http://dx.doi.org/10.1016/j.ssc.2004.09.048
Pt carbide (1) was synthesised using high pressure and high temperature in a laser-heated diamond anvil cell. (1) has a rock-salt type structure, with space group Fm3mand cubic symmetry. (1) remains stable to ≤ 120 GPa. After decompression, the new high-pressure phase was recoverable at ambient pressure.
Cyclometalated Tridentate C-N-N Ligands with an Amine or Amido Donor in Platinum(II) and Palladium(II) Complexes and a Novel Potassium Alkoxide Aggregate
D. SONGand R. H. MORRIS, Organometallics, 2004,23, (19), 4406-4413
LINKdoi:10.1021/om0496232http://dx.doi.org/10.1021/om0496232
2-Phenyl-6-(2-aminoisopropyl)pyridine (papH 2) was used to prepare Pt(papH)Cl (1) and Pd(papH)Cl. In both complexes the κ 3N,N,C tridentate papH formed two five-membered rings with the metal, one of which was created by cyclometallation of the orthoC of the phenyl group. (1) reacted with KOBu to give [Pt(pap)] 2(KCl)(KO tBu) 8(2). The novel structure of (2) involves two Pt(pap) moieties being attached to the K 9O 8Cl "core" of the K alkoxide aggregate.
Purine-Based Carbenes at Rhodium and Iridium
J. SCHÜTZand W. A. HERRMANN, J. Organomet. Chem., 2004,689, (19), 2995-2999
LINKdoi:10.1016/j.jorganchem.2004.06.037http://dx.doi.org/10.1016/j.jorganchem.2004.06.037
Purine-based carbenes were attached to Rh and Ir through the in situdeprotonation of the respective azolium salts. Trimethyloxonium tetrafluoroborate was reacted with caffeine to give 1,3,7,9-tetramethylxanthinium tetrafluoroborate. The salt and 7,9-dimethylhypoxanthinium iodide were used as a consecutive precursor to form Rh (I) and Ir (I) carbenes, [M(L)(L Carbene) 2]I and M(L)(L Carbene)(I) (where M = Rh, Ir; L Carbene= 1,3,7,9-tetramethylxanthine-8-ylidene, 7,9-tetramethylhypoxanthine-8-ylidene; L = η 4-1,5-COD, CO).
On the Silicides EuIr 2 Si 2 and Lu 5 Si 3
U. CH. RODEWALD, B. HEYING, D. JOHRENDTand R. PÖTTGEN, Z. Naturforsch., 2004,59b, (9), 969-974
EuIr 2Si 2(1) was synthesised from the elements in a sealed Ta tube in a H 2O-cooled sample chamber of an induction furnace. Lu 5Si 3was obtained by arc-melting of the elements. The Ir and Si atoms in (1) build up a 3D [Ir 2Si 2] network with Ir-Si and Si-Si interactions. The Eu atoms fill cages within the network.
High-Pressure Synthesis of Metallic Perovskite Ruthenate CaCu 3 Ga 2 Ru 2 O 12
S.-H. BYEON, S.-S. LEE, J. B. PARISE, P. M. WOODWARDand N. H. HUR, Chem. Mater., 2004,16, (19), 3697-3701
LINKdoi:10.1021/cm049265thttp://dx.doi.org/10.1021/cm049265t
CaCu 3Ga 2Ru 2O 12(1) was synthesised at 12.5 GPa and 1200ºC and recovered to room pressure and temperature conditions. In (1) the Ga and Ru cations in the perovskite-like structure are disordered over the octahedral sites. Magnetic susceptibility (at 5-300 K in an applied magnetic field of 5 kG) and electrical resistivity (at 10-400 K) measurements showed that (1) is a Pauli-paramagnetic conductor. (1) shows metallic conductivity in a perovskite-type oxide that contains the Ru(V) oxidation state.
ELECTROCHEMISTRY
Electrochemical Quartz Crystal Nanobalance to Detect Solvent Displacement by pH-Induced Conformational Changes of Proteins at Pt
N. P. COSMANand S. G. ROSCOE, Anal. Chem., 2004,76, (19), 5945-5952
LINKdoi:10.1021/ac049517+http://dx.doi.org/10.1021/ac049517+
The adsorption behaviour of the proteins holo- and apo-α-lactalbumin at a Pt electrode (1) was studied in electrolyte solutions of pH < 2, 7.4 and 11 at 298 K. Electrochemical quartz crystal nanobalance frequency measurements gave a measure of nanogram changes on (1) due to solvent displacement by the adsorbed protein. Simultaneous CV charge transfer measurements gave protein surface concentration.
Solvent Effects on Charge Transport through Solid Deposits of [Os(4,4 ' -diphenyl-2,2 ' -dipyridyl) 2 Cl 2 ]
R. J. FORSTER, J. IQBAL, J. HJELMand T. E. KEYES, Analyst, 2004,129, (12), 1186-1192
LINKdoi:10.1039/b414814bhttp://dx.doi.org/10.1039/b414814b
Mechanically attached, solid-state films (1) of the title complex were formed on Au macro- and microelectrodes. The voltammetric response of (1) associated with the Os 2+/3+redox reaction is similar of that observed for an ideal reversible, solution phase redox couple when the contacting electrolyte contains 40% v/v of MeCN. Preferential solvation of the redox centres by MeCN allows the incorporation of charge compensating counterions.
PHOTOCONVERSION
Triplet Exciton Diffusion and Delayed Interfacial Charge Separation in a TiO 2 /PdTPPC Bilayer: Monte Carlo Simulations
J. E. KROEZE, T. J. SAVENIJE, L. P. CANDEIAS, J. M. WARMANand L. D. A. SIEBBELES, Sol. Energy Mater. Sol. Cells, 2005,85, (2), 189-203
LINKdoi:10.1016/j.solmat.2004.04.015http://dx.doi.org/10.1016/j.solmat.2004.04.015
Nanosecond photoexcitation of a bilayer of anatase TiO 2coated with Pd tetrakis(4-carboxyphenyl)porphyrin (1) causes a delayed after-pulse growth in the conductivity over many µs. The slow diffusion of (1) triplet excitons was followed by electron injection into the TiO 2conduction band. Monte Carlo calculations of the exciton diffusion and exciton-exciton annihilation describe the experimentally observed temporal form and intensity dependence.
Amphiphilic Polypyridyl Ruthenium Complexes with Substituted 2,2 ' -Dipyridylamine Ligands for Nanocrystalline Dye-Sensitized Solar Cells
P. WANG, R. HUMPHRY-BAKER, J. E. MOSER, S. M. ZAKEERUDDINand M. GRÄTZEL, Chem. Mater., 2004,16, (17), 3246-3251
LINKdoi:10.1021/cm049871ohttp://dx.doi.org/10.1021/cm049871o
Ru(dcbpy)(L)(NCS) 2dye (dcbpy = 4,4 '-dicarboxylic acid-2,2 '-bipyridine; L = N, N-di(2-pyridyl)-dodecylamine or N, N-di(2-pyridyl)-tetradecylamine) can be used as solar cell sensitisers. Efficiencies of 8.2% at the 100 mW cm -2irradiance of air mass 1.5 solar light and ≥ 8.7% at lower light intensities were achieved.
APPARATUS AND TECHNIQUE
Ethanol Gas Sensing Properties of Nano-Crystalline Cadmium Stannate Thick Films Doped with Pt
Y.-L. LIU, Y. XING, H.-F. YANG, Z.-M. LIU, Y. YANG, G.-L. SHENand R.-Q. YU, Anal. Chim. Acta, 2004,527, (1), 21-26
LINK:doi:10.1016/j.aca.2004.06.055http://dx.doi.org/10.1016/j.aca.2004.06.055
Pt (0.1-2 at.%) was incorporated into nanocrystalline CdSnO 3(1) by the impregnation technique. Conductance responses of thick films of (1) were measured after exposure to EtOH, CO, CH 4, C 4H 10, gasoline and LPG at different operating temperatures. Sensors doped with Pt had good sensitivity and selectivity to EtOH vapour. The optimum sensitivity was obtained when (1) was doped with 1.5 at.% Pt.
All-Optical Hydrogen-Sensing Materials Based on Tailored Palladium Alloy Thin Films
Z. ZHAO, Y. SEVRYUGINA, M. A. CARPENTER, D. WELCHand H. XIA, Anal. Chem., 2004,76, (21), 6321-6326
LINKdoi:10.1021/ac0494883http://dx.doi.org/10.1021/ac0494883
The phase-dependent H time response characteristics of 20 nm thick Pd-Au (Ag) films (1) were investigated via optical reflectance measurements. They displayed a strong dependence on the α, mixed α/β and β Pd-hydride phases formed in (1). The response time peaks in the α → β phase transition region were 1625 s at 0.4% H 2for Pd 0.94Ag 0.06and 405 s at 1% H 2for Pd 0.94Au 0.06. The addition of Au (up to 40%) shifted and then inhibited the α → β phase transition region. Pd 0.6Au 0.4was above the critical isotherm threshold for undergoing a phase transition and had response time < 50 s.
HETEROGENEOUS CATALYSIS
Parallel IR Spectroscopic Characterization of CO Chemisorption on Pt Loaded Zeolites
P. KUBANEK, H.-W. SCHMIDT, B. SPLIETHOFFand F. SCHÜTH, Microporous Mesoporous Mater., 2005,77, (1), 89-96
LINKdoi:10.1016/j.micromeso.2004.08.016http://dx.doi.org/10.1016/j.micromeso.2004.08.016
Parallel characterisation of Pt-containing zeolites ZSM-5 and Y was achieved using FTIR spectroscopy in transmission mode combined with a focal plane array detector. The Pt species in the zeolite were investigated using the chemisorption of CO. The 8-fold degree of parallelisation lowered the total time required for data collection.
Conversion of Halon 1211 (CBrClF 2 ) over Supported Pd Catalysts
H. YU, E. M. KENNEDY, MD. A. UDDIN, A. A. ADESINAand B. Z. DLUGOGORSKI, Catal. Today, 2004,97, (2-3), 205-215
LINKdoi:10.1016/j.cattod.2004.03.069http://dx.doi.org/10.1016/j.cattod.2004.03.069
The conversion of halon 1211 was investigated over γ-Al 2O 3and 0.5% Pd supported on Al 2O 3, fluorinated Al 2O 3, AlF 3, and Al 2O 3pretreated with CH 4and CHClF 2, at 443-523 K. The Pd was transformed to Pd carbide in the CH 4treated Pd/Al 2O 3, but not in the CHClF 2treated Pd/Al 2O 3(Al 2O 3was partially fluorinated). In the absence of H 2, the conversion of halon 1211 over Al 2O 3and Pd/Al 2O 3gave a similar product profile and the reactions follow a heterogeneous halogen exchange reaction pathway.
Heck Reaction Catalyzed by Nanosized Palladium on Chitosan in Ionic Liquids
V. CALÒ, A. NACCI, A. MONOPOLI, A. FORNARO, L. SABBATINI, N. CIOFFIand N. DITARANTO, Organometallics, 2004,23, (22), 5154-5158
LINKdoi:10.1021/om049586ehttp://dx.doi.org/10.1021/om049586e
Pd nanoparticles/chitosan (1) was very effective for the Heck reaction of aryl bromides and activated aryl chlorides in tetrabutylammonium bromide with tetrabutylammonium acetate as base. Conversion of bromobenzene or p-nitrochlorobenzene into cinnamates took only 15 min. The Pd colloids are stabilised by the solvent. Any PdH is readily neutralised by the base. (1) can be recycled.
One-Pot Synthesis of Recyclable Palladium Catalysts for Hydrogenations and Carbon-Carbon Coupling Reactions
N. KIM, M. S. KWON, C. M. PARKand J. PARK, Tetrahedron Lett., 2004,45, (38), 7057-7059
LINKdoi:10.1016/j.tetlet.2004.07.126http://dx.doi.org/10.1016/j.tetlet.2004.07.126
Pd nanoparticles (1) were prepared from Pd(PPh 3) 4in tetra(ethylene glycol) and Si(OMe) 4(or Ti(O iPr) 4). (1) were then encapsulated in SiO 2(or TiO 2) matrix by treatment with H 2O. SiO 2(or TiO 2)/TEG/Pd showed high catalytic activity in alkene and alkyne hydrogenations and in Suzuki-Miyaura, Sonogashira, Heck-Mizoroki and Stille reactions.
Surface Study of Rhodium Nanoparticles Supported on Alumina
A. MAROTO-VALIENTE, I. RODRÍGUEZ-RAMOSand A. GUERRERO-RUIZ, Catal. Today, 2004,93-95, 567-574
LINKdoi:10.1016/j.cattod.2004.06.005http://dx.doi.org/10.1016/j.cattod.2004.06.005
Rh nanoparticles (1 and 3 wt.%)/Al 2O 3were studied by H 2and CO adsorption microcalorimetry and by IR spectroscopy of the chemisorbed CO. The n-butane hydrogenolysis reaction test was employed to examine surface sites. The energetic distribution of surface sites depended slightly on the metal loading and can be modified by the pretreatment conditions. Partially reduced Rh atoms stabilised by Cl ions remaining from the precursor were found. The increased density on Rh (1 1 1) planes on 3 wt.% Rh/Al 2O 3treated with H 2O enhanced both activity for the hydrogenolysis and selectivity towards ethane.
HOMOGENEOUS CATALYSIS
Palladium-Catalyzed Addition of Mono- and Dicarbonyl Compounds to Conjugated Dienes
A. LEITNER, J. LARSEN, C. STEFFENSand J. F. HARTWIG, J. Org. Chem., 2004,69, (22), 7552-7557
LINKdoi:10.1021/jo0490999http://dx.doi.org/10.1021/jo0490999
An intermolecular addition of the α-C-H bond of monocarbonyl and 1,3-dicarbonyl compounds to dienes was achieved in high yields using a catalyst generated in situfrom CpPd(allyl) (1) and 1,3-bis(dicyclohexylphosphino)propane. The common additions of cyanoesters, malonitrile and α-sulfonyl esters readily took place; unusual additions of ketones, lactones, esters and nitriles were also possible. The first enantioselective version of this reaction was achieved using (1) and a Josiphos ligand with ≤ 81% ee.
General and Efficient Methodology for the Suzuki-Miyaura Reaction in Technical Grade 2-Propanol
O. NAVARRO, Y. OONISHI, R. A. KELLY, E. D. STEVENS, O. BRIELand S. P. NOLAN, J. Organomet. Chem., 2004,689, (23), 3722-3727
LINKdoi:10.1016/j.jorganchem.2004.04.001http://dx.doi.org/10.1016/j.jorganchem.2004.04.001
Pd N-heterocyclic carbenes or phosphines were investigated in the Suzuki-Miyaura reaction using technical grade 2-propanol (1) as solvent and K t-butoxide as base. The cross-coupling of electron-rich aryl chlorides with sterically hindered aryl boronic acids gave di- and tri- ortho-substituted biaryls in short times. (1) did not require pre-drying or purification.
Palladium-Catalyzed Intramolecular α-Arylation of Aliphatic Ketone, Formyl, and Nitro Groups
H. MURATAKE, M. NATSUMEand H. NAKAI, Tetrahedron, 2004,60, (51), 11783-11803
LINKdoi:10.1016/j.tet.2004.09.112http://dx.doi.org/10.1016/j.tet.2004.09.112
PdCl 2(Ph 3P) 2-Cs 2CO 3was used for the intramolecular arylation of substrates bearing a ketone, formyl or nitro terminating group to give carbocyclics. Arylation of the ketones gave benzene-annulated bridged or spirocycloalkanone derivatives, depending on the type of cyclisation precursors. Arylation in formyl compounds occurred in the α-position or at the carbonyl C depending on the type of cyclisation precursors and on the solvent. An α-arylated secondary nitro group was partially transformed to ketone, whereas a tertiary nitro group was partially eliminated to afford a styrene-type olefin.
Successful Development and Scale-up of a Palladium-Catalysed Amination Process in the Manufacture of ZM549865
G. E. ROBINSON, O. R. CUNNINGHAM, M. DEKHANE, J. C. McMANUS, A. O'KEARNEY-McMULLAN, A. M. MIRAJKAR, V. MISHRA, A. K. NORTON, B. VENUGOPALANand E. G. WILLIAMS, Org. Process Res. Dev., 2004,8, (6), 925-930
LINKdoi:10.1021/op0499369http://dx.doi.org/10.1021/op0499369
Pd-catalysed amination and ester hydrolysis has been used to synthesise a key intermediate in the manufacture of ZM549865 (a 5-HT receptor antagonist). Pd dibenzylideneacetone was employed for the amination of ethyl 8-bromo-6-fluoro-4-oxo-4 H-2-chromenecarboxylate. Amination at 125ºC instead of 80ºC and optimising the reaction conditions increased the overall yield from 44% to ~ 70% and reduced the reaction time from days to hours.
A Convenient Synthesis of High-Loaded Palladium(II) ROMP Polymers
D. C. BRADDOCK, D. CHADWICKand E. LINDNER-LÓPEZ, Tetrahedron Lett., 2004,45, (49), 9021-9024
LINKdoi:10.1016/j.tetlet.2004.10.056http://dx.doi.org/10.1016/j.tetlet.2004.10.056
A method for the immobilisation of two O, O'-chelate Pd(II) complexes via ROMP has been established. The monomer bis[1-(5-norbornen-2-yl)butan-1,3-dionato]palladium(II) (1) was readily prepared from 5-acetoacetyl-2-norbornene and Na 2PdCl 4. (1) underwent ROMP under mild conditions to give a highly-loaded Pd(II)-containing polymer (Pd, 23 wt.%).
Rhodium(II)-Catalyzed Aziridination of Allyl-Substituted Sulfonamides and Carbamates
A. PADWA, A. C. FLICK, C. A. LEVERETTand T. STENGEL, J. Org. Chem., 2004,69, (19), 6377-6386
LINKdoi:10.1021/jo048990khttp://dx.doi.org/10.1021/jo048990k
Unsaturated sulfonamides underwent intramolecular aziridination in the presence of PhI(OAc) 2, MgO and Rh 2(OAc) 4to give bicyclic aziridines in excellent yield. The resulting azabicyclic sulfonamides with the addition of p-TsOH in MeOH underwent exclusive opening of the aziridine ring at the most substituted position giving six- and seven-membered ring products in high yield.
Iridium-Catalyzed Hydroboration of Alkenes with Pinacolborane
Y. YAMAMOTO, R. FUJIKAWA, T. UMEMOTOand N. MIYAURA, Tetrahedron, 2004,60, (47), 10695-10700
LINKdoi:10.1016/j.tet.2004.09.014http://dx.doi.org/10.1016/j.tet.2004.09.014
Ir(I) phosphine complexes (1) are excellent catalysts for room temperature hydroboration of terminal and internal alkenes possessing an aliphatic or aromatic substituent on the vinylic C with pinacolborane. [Ir(cod)Cl] 2/2dppm was the best catalyst system for hydroboration of aliphatic terminal and internal alkenes at room temperature; addition of the B atom to the terminal C of 1-alkenes was achieved with > 99% selectivity. For vinylarenes such as styrene, [Ir(cod)Cl] 2/2dppe gave the best yields. (1) exhibited higher levels of catalyst activity and selectivity than the corresponding Rh complexes.
FUEL CELLS
Preparation and Characterization of Carbon Supported Pt and PtRu Alloy Catalysts Reduced by Alcohol for Polymer Electrolyte Fuel Cell
T. KIM, M. TAKAHASHI, M. NAGAIand K. KOBAYASHI, Electrochim. Acta, 2004,50, (2-3), 813-817
LINKdoi:10.1016/j.electacta.2004.01.124http://dx.doi.org/10.1016/j.electacta.2004.01.124
Highly dispersed fine Pt and PtRu alloy particles on C support were prepared by a simple alcohol-reduction method using polyvinylpyrrolidone as a stabiliser. Highly uniform nanoparticles were obtained. The structure and morphology of the catalysts could be readily controlled. The catalysts showed promising activity in O reduction and MeOH oxidation.
Methanol Electro-Oxidation and Direct Methanol Fuel Cell Using Pt/Rh and Pt/Ru/Rh Alloy Catalysts
J.-H. CHOI, K.-W. PARK, I.-S. PARK, W.-H. NAMand Y.-E. SUNG, Electrochim. Acta, 2004,50, (2-3), 783-786
LINKdoi:10.1016/j.electacta.2004.01.109http://dx.doi.org/10.1016/j.electacta.2004.01.109
The title catalysts (1) for application in DMFCs were prepared by a borohydride reduction method combined with freeze drying. (1) had specific surface areas of ~ 65-75 m 2g -1. XRD patterns established that (1) were well alloyed and the average size of (1) was confirmed by TEM. (1) of composition Pt/Rh (2:1) and Pt/Ru/Rh (5:4:1) had better catalytic activities for MeOH electrooxidation than Pt or Pt/Ru (1:1), respectively.
Performance of Methanol Oxidation Catalysts with Varying Pt:Ru Ratio as a Function of Temperature
A. J. DICKINSON, L. P. L. CARRETTE, J. A. COLLINS, K. A. FRIEDRICHand U. STIMMING, J. Appl. Electrochem., 2004,34, (10), 975-980
LINK doi:10.1023/B:JACH.0000042668.61391.a4http://dx.doi.org/10.1023/B:JACH.0000042668.61391.a4
At 25ºC, a Pt-rich 3:2 Pt:Ru atomic ratio DMFC-type catalyst was more active for MeOH oxidation than a 1:1 catalyst. Only the Pt is active towards MeOH dehydrogenation, as this process requires high thermal activation on Ru sites. At 65ºC, the 1:1 catalyst gave much higher currents across the entire polarisation range. At 45ºC, the 3:2 catalyst is better at lower current values, while the 1:1 catalyst is superior at higher current densities.
MEDICAL USES
Synthesis and DNA-Binding Properties of Binuclear Platinum Complexes with Two trans -[Pt(NH 3 ) 2 Cl] + Units Bridged by 4,4 ' -Dipyridyl Sulfide or Selenide
G. ZHAO, X. HU, P. YUand H. LIN, Transition Met. Chem., 2004, 29, (6), 607-612
LINKdoi:10.1007/s11243-004-1278-1http://dx.doi.org/10.1007/s11243-004-1278-1
{ trans-[Pt(NH 3) 2Cl] 2(dpsu)}(NO 3) 2(1) and { trans-[Pt(NH 3) 2Cl] 2(dpse)}(NO 3) 2(dpsu = 4,4 '-dipyridyl sulfide; dpse = 4,4 '-dipyridyl selenide) were prepared for use as potential antitumour agents. Compared with [ cis-Pt(NH 3) 2Cl(4-methylpyridine)]NO 3, (1) exhibits an almost two-fold stronger DNA-binding ability. (1) may bind bifunctionally to DNA.
Synthesis, Characterization, and Cytotoxicities of Palladium(II) and Platinum(II) Complexes Containing Fluorinated Pyridinecarboxaldimines
S. J. SCALES, H. ZHANG, P. A. CHAPMAN, C. P. McRORY, E. J. DERRAH, C. M. VOGELS, M. T. SALEH, A. DECKENand S. A. WESTCOTT, Polyhedron, 2004,23, (13), 2169-2176
LINKdoi:10.1016/j.poly.2004.06.013http://dx.doi.org/10.1016/j.poly.2004.06.013
The condensation of 2-pyridinecarboxaldehyde with primary amines containing F groups gave the corresponding pyridinecarboxaldimine ligands (N-N '). Addition of these ligands to [MCl 2(coe)] 2(M = Pt, Pd; coe = cis-cyclooctene) gave cis-MCl 2(N-N ') (1) in moderate to high yields. Cytotoxicities of (1) were investigated against OV2008 (human ovarian carcinoma) and the analogous cisplatin-resistant C13.
The Potential Use of Rhodium N-Heterocyclic Carbene Complexes as Radiopharmaceuticals: The Transfer of a Carbene from Ag(I) to RhCl 3 ·3H 2 O
C. A. QUEZADA, J. C. GARRISON, M. J. PANZNER, C. A. TESSIERand W. J. YOUNGS, Organometallics, 2004,23, (21), 4846-4848
LINKdoi:10.1021/om049697dhttp://dx.doi.org/10.1021/om049697d
The first reported N-heterocyclic carbene transfer from Ag(I) to RhCl 3·3H 2O was used to prepare two new Rh N-heterocyclic carbenes (1). The syntheses were carried out in DMSO at 100ºC for 1 h. The very high stability of (1) indicates that 105Rh complexes of bisimidazole ligands with targeting substituents such as peptides may be used for radiation therapy.
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ABSTRACTS: April 2005 - technology.matthey.com
ABSTRACTS: April 2005
Journal Archive
Platinum Metals Rev., 2005, 49 , (2), 102 doi:
10.1595/147106705X46496
ABSTRACTS: April 2005
of current literature on the platinum metals and their alloys
CHEMICAL COMPOUNDS
Dimeric Palladium Complexes with Bridging Aryl Groups: When Are They Stable?
A. C. ALBÉNIZ, P. ESPINET, O. LÓPEZ-CIMAS and B. MARTÍN-RUIZ, Chem. Eur. J., 2005,11, (1), 242–252
LINKdoi:10.1002/chem.200400612http://dx.doi.org/10.1002/chem.200400612
[Pd 2(μ-R) 2(η 3-allyl) 2] (R = haloaryl, mesityl) were prepared. The haloaryl complexes exchange between their cisand transisomers (relative to the orientation of the two allyl groups in the dimer) by solvent-assisted associative bridge splitting. Stable aryl bridges are favoured by ancillary ligands of small size and lacking electron lone pairs, and aryl ligands reluctant to be involved in homo and hetero C–C coupling.
Synthesis, Structure and Electrochemical Properties of Tris-picolinate Complexes of Rhodium and Iridium
S. BASU, S.-M. PENG, G.-H. LEE and S. BHATTACHARYA, Polyhedron, 2005,24, (1), 157–163
LINKdoi:10.1016/j.poly.2004.10.015http://dx.doi.org/10.1016/j.poly.2004.10.015
The pic ligands of [M(pic) 3] (1) (M = Rh, Ir; Hpic = picolinic acid) are coordinated as bidentate N,O-donors. A water of crystallisation molecule is H bonded to the carboxylate fragments of two adjacent (1) and acts a bridge between the individual (1). (1) are diamagnetic and show intense MLCT transitions in the visible region. CV on (1) shows a M(III)–M(IV) oxidation and a ligand-centred reductive response.
Iridium(I) and Rhodium(I) Cationic Complexes with Triphosphinocalix[6]arene Ligands: Dynamic Motion with Size-Selective Molecular Encapsulation
Y. OBORA, Y. K. LIU, L. H. JIANG, K. TAKENAKA, M. TOKUNAGA and Y. TSUJI, Organometallics, 2005,24, (1), 4–6
LINKdoi:10.1021/om049227jhttp://dx.doi.org/10.1021/om049227j
The title complexes (1) exhibited dynamic behaviour with size-selective molecular encapsulation. Variable-temperature 31P{ 1H} NMR measurements were carried out in the presence of various molecules (1). (1) were divided into three groups, depending on the maximum projection area of the solvent-accessible surface, A: < 45 Å 2, 45–68 Å 2, and > 68 Å 2. Molecules with Aof 45–68 Å 2just fit in the cavity and slow the dynamic behaviour.
Synthesis and Derivatization of Iridium(I) and Iridium(III) Pentamethyl[60]fullerene Complexes
Y. MATSUO, A. IWASHITA and E. NAKAMURA, Organometallics, 2005,24, (1), 89–95
LINKdoi:10.1021/om049333lhttp://dx.doi.org/10.1021/om049333l
Ir(η 5-C 60Me 5)(CO) 2(1) was obtained from the reaction of K(C 60Me 5) with [IrCl(CO) 2] 2in MeCN/THF. Oxidation of the Ir atom of (1) by I 2gave an Ir(III) complex, Ir(η 5-C 60Me 5)I 2(CO) (2). The iodo and carbonyl ligands of (2) can be readily replaced by alkyl, alkynyl, phosphine, and isonitrile ligands. (2) may be used as catalysts for organic synthesis.
ELECTROCHEMISTRY
Electrochemical Investigations of Platinum Phenylethynyl Complexes
L. KONDRACHOVA, K. E. PARIS, P. C. SANCHEZ, A. M. VEGA, R. PYATI and C. D. RITHNER, J. Electroanal. Chem., 2005,576, (2), 287–294
LINKdoi:10.1016/j.jelechem.2004.11.003http://dx.doi.org/10.1016/j.jelechem.2004.11.003
Pt phenylethynyl complexes exhibited irreversible oxidations in benzene/MeCN near +1.2 V vs. Ag|AgCl. However, trans-bis(tri- n-butylphosphine) bis(phenylethynyl)platinum(II) underwent reduction in THF at –2.786 V. Photophysical measurements established that as the phenylethynyl chain length increases, the absorbance wavelength increases. The emission wavelength shows a weak but similar trend.
Controlled Growth of a Single Palladium Nanowire between Microfabricated Electrodes
M. A. BANGAR, K. RAMANATHAN, M. YUN, C. LEE, C. HANGARTER and N. V. MYUNG, Chem. Mater., 2004,16, (24), 4955–4959
LINKdoi:10.1021/cm048931nhttp://dx.doi.org/10.1021/cm048931n
Dimensionally controlled growth of a single Pd nanowire (1) between premicrofabricated Au electrodes was achieved using an electrochemical method. (1) of 100 nm, 500 nm, and 1 μm wide and 2.5 μm long channels (length-to-diameter ratio ~ 2.5–25) were grown. Current of –100 nA was used.
PHOTOCONVERSION
A Luminescent Pt(II) Complex with a Terpyridine-Like Ligand Involving a Six-Membered Chelate Ring
Y.-Z. HU, M. H. WILSON, R. ZONG, C. BONNEFOUS, D. R. McMILLIN and R. P. THUMMEL, Dalton Trans., 2005, (2), 354–358
LINKdoi:10.1039/b415021jhttp://dx.doi.org/10.1039/b415021j
[Pt(1)Cl] +(2) ((1) = 2-(8 '-quinolinyl)-1,10-phenanthroline) was prepared. The six-membered chelate ring in (2) gives relief to the angle strain as well as some non-planarity in bound (1). In CH 2Cl 2(2) exhibited higher energy charge-transfer absorption, but slightly lower energy emission than [Pt(3)Cl] +((3) = 2-(2 '-pyridyl)-1,10-phenanthroline).
Electrochemical and Luminescent Properties of New Mononuclear Ruthenium(II) and Binuclear Iridium(III)-Ruthenium(II) Terpyridine Complexes
N. YOSHIKAWA, T. MATSUMURA-INOUE, N. KANEHISA, Y. KAI, H. TAKASHIMA and K. TSUKAHARA, Anal. Sci., 2004,20, (12), 1639–1644
LINKdoi:10.2116/analsci.20.1639http://dx.doi.org/10.2116/analsci.20.1639
The title complexes include [Ru II 2Cl 2(dpp)(terpy) 2] 2+(1) and [Ir IIIRu IICl 2(dpp)(terpy) 2] 3+(2) (dpp = 2,3-bis(2-pyridyl)pyrazine). The absorption spectra of (1) and (2) exhibit ligand-centred bands in the UV region and MLCT bands in the visible region. The HOMO is based on Ru, and the LUMO is dpp-based.
Design of Novel Efficient Sensitizing Dye for Nanocrystalline TiO 2 Solar Cell; Tripyridine-thiolato (4,4 ' ,4 '' -tricarboxy-2,2 ' :6 ' ,2 '' -terpyridine) ruthenium(II)
F. AIGA and T. TADA, Sol. Energy Mater. Sol. Cells, 2005,85, (3), 437–446
LINKdoi:10.1016/j.solmat.2004.04.020http://dx.doi.org/10.1016/j.solmat.2004.04.020
The title Ru complex (1) was designed based on the DFT MO calculations with PBE0 functional. (1) is a modification of the Ru black dye (2), with the NCS ligands of (2) being replaced by C 5H 4NS ligands. (1) has a higher electron transfer rate from redox systems to oxidised dyes and higher absorption efficiency to the solar spectrum.
A Highly Efficient Redox Chromophore for Simultaneous Application in a Photoelectrochemical Dye Sensitized Solar Cell and Electrochromic Devices
A. F. NOGUEIRA, S. H. TOMA, M. VIDOTTI, A. L. B. FORMIGA, S. I. CÓRDOBA DE TORRESI and H. E. TOMA, New J. Chem., 2005,29, (2), 320–324
LINKdoi:10.1039/b411122bhttp://dx.doi.org/10.1039/b411122b
Na 6[{Ru II(dicarboxybipyridine) 2Cl} 2(BPEB)] (1) (BPEB = trans-1,4-bis[2-(4-pyridyl)ethenyl]benzene) exhibits an electrochromic effect when reduced. The carboxylate groups of the bipyridine allow strong attachment to the surface of TiO 2. This contributes to an efficient and reversible electron transfer from the oxide to the chromophoric ligand, colouring the oxide film blue. (1) also has a high photon-to-electron conversion efficiency when applied as a photoanode in a dye sensitised solar cell.
ELECTRODEPOSITION AND SURFACE COATINGS
Characterizations of Pd–Ag Membrane Prepared by Sequential Electroless Deposition
W.-H. LIN and H.-F. CHANG, Surf. Coat. Technol., 2005,194, (1), 157–166
LINKdoi:10.1016/j.surfcoat.2004.07.089http://dx.doi.org/10.1016/j.surfcoat.2004.07.089
Sequential electroless plating on porous stainless steel was used to prepare Pd-Ag membranes. AFM established that lower skin layer roughness and lower deposition rate were related. EDS confirmed the Pd-Ag deposit over and inside of the porous substrate to be homogeneous.
Preparation of Palladium and Silver Alloy Membrane on a Porous α-Alumina Tube via a Simultaneous Electroless Plating
D. A. PACHECO TANAKA, M. A. LLOSA TANCO, S. NIWA, Y. WAKUI, F. MIZUKAMI, T. NAMBA and T. M. SUZUKI, J. Membrane Sci., 2005,247, (1–2), 21–27
LINKdoi:10.1016/j.memsci.2004.06.002http://dx.doi.org/10.1016/j.memsci.2004.06.002
For the title process, seeding of Pd nanoparticles (1) on an α-Al 2O 3tube allowed codeposition of Pd and Ag. (1) were distributed by dip-coating with Pd acetate or [Pd(acac) 2] in organic solvents followed by reduction with alkaline hydrazine solution. After simultaneous deposition, alloying of Pd and Ag was carried out at 500ºC for 4 h in H 2.
Morphological Evolution of the Self-Assembled IrO 2 One-Dimensional Nanocrystals
R.-S. CHEN, H.-M. CHANG, Y.-S. HUANG, D.-S. TSAI and K.-C. CHIU, Nanotechnology, 2005,16, (1), 93–97
LINKdoi:10.1088/0957-4484/16/1/019http://dx.doi.org/10.1088/0957-4484/16/1/019
The morphological evolution of IrO 21D nanocrystals (1) via MOCVD has been observed. (1) result from a decrease in the degree of interface instability. (1) occur from triangular/wedged nanorods via incomplete/scrolled nanotubes to square nanotubes and square nanorods. The polycrystalline films composed of continuous 3D grains belong to the most stable form as compared to the 1D nanocrystals.
Thermophysical Properties and Deposition of B2 Structure Based Al–Ni–Ru–M Alloys
I. VJUNITSKY, P. P. BANDYOPADHYAY, St. SIEGMANN, M. DVORAK, E. SCHÖNFELD, T. KAISER, W. STEURER and V. SHKLOVER, Surf. Coat. Technol., 2005,192, (2–3), 131–138
LINKdoi:10.1016/j.surfcoat.2004.09.028http://dx.doi.org/10.1016/j.surfcoat.2004.09.028
The normal value range for the thermal conductivity of the title alloys is 10–20 W m –1K –1at room temperature, but can be reduced to ~ 3.5 W m –1K –1by modifying the alloy composition. A fused and subsequently pulverised Al-Ni-Ru alloy was deposited on a Ni-based superalloy (modified CMSX-4) using vacuum and atmospheric plasma spraying. The coatings had favourable coating–substrate adhesion. A segregated intermetallic phase was detected at the Al 50Ni 40Ru 10/modified CMSX-4 interface.
APPARATUS AND TECHNIQUE
Fabrication and Characterisation of Ultra-Thin Tungsten–Carbon (W/C) and Platinum–Carbon (Pt/C) Multilayers for X-Ray Mirrors
B. K. GAN, B. A. LATELLA and R. W. CHEARY, Appl. Surf. Sci., 2005,239, (2), 237–245
LINKdoi:10.1016/j.apsusc.2004.05.269http://dx.doi.org/10.1016/j.apsusc.2004.05.269
Ultra-thin Pt/C and W/C multilayer films (1) were fabricated using DC magnetron sputtering. The bilayer period and the total number of layers were varied to ascertain the X-ray reflectance response. XPS established that a distinct intermixing layer develops in (1). (1) are mechanically reliable and have excellent adhesion. Hardness and Young's modulus improved with increasing number of layers. (1) have potential as mirrors for high energy X-ray applications.
Morphological Study of Supported Thin Pd and Pd–25Ag Membranes upon Hydrogen Permeation
Y. ZHANG, M. KOMAKI and C. NISHIMURA, J. Membrane Sci., 2005,246, (2), 173–180
LINKdoi:10.1016/j.memsci.2004.09.002http://dx.doi.org/10.1016/j.memsci.2004.09.002
H 2permeation of Pd and Pd-25Ag membranes supported by V-15Ni was investigated at 423–673 K. The Pd-25Ag membrane was more resistant to H-induced cracking and grain growth. H permeation of the Pd-25Ag/V-15Ni membrane (1) was carried out at 573 and 673 K for 200 h. At 573 K, small amounts of oxide formed on the Pd-Ag surface. Whisker and fissure-oxide morphologies were dominant on the exit and entrance side of (1), respectively, along with severe metallic interdiffusion, at 673 K.
HETEROGENEOUS CATALYSIS
Preparation and Characterisation of Pt Containing NbMCM-41 Mesoporous Molecular Sieves Addressed to Catalytic NO Reduction by Hydrocarbons
I. SOBCZAK, M. ZIOLEK and M. NOWACKA, Microporous Mesoporous Mater., 2005,78, (2–3), 103–116
LINKdoi:10.1016/j.micromeso.2004.10.001http://dx.doi.org/10.1016/j.micromeso.2004.10.001
The title catalysts were prepared via impregnation of NbMCM-41 with Pt(NH 3) 4(NO 3) 2or H 2PtCl 6(1 wt.% of Pt). Smaller size Pt clusters were obtained with H 2PtCl 6. A FTIR study with NO + O 2+ C 3H 6indicated that Pt/NbMCM-41 has potential for the SCR process. The NbO –species enhance the oxidative activity in NO → NO 2, whereas the Pt species is responsible for hydrocarbon activation. NbMCM-41 acts as storage for the nitrate/nitrite species.
Flame-Made Pd/La 2 O 3 /Al 2 O 3 Nanoparticles: Thermal Stability and Catalytic Behavior in Methane Combustion
R. STROBEL, S. E. PRATSINIS and A. BAIKER, J. Mater. Chem., 2005,15, (5), 605–610
LINKdoi:10.1039/b413198chttp://dx.doi.org/10.1039/b413198c
Flame spray pyrolysis was used to prepare Pd nanoparticles (< 5 nm) supported on La-stabilised Al 2O 3(1) with specific surface areas of 50–180 m 2g –1. (1) was tested for the catalytic combustion of CH 4. (1) exhibited excellent thermal stability in terms of specific surface area up to 1200ºC and retarded γ- to α-Al 2O 3transformation. (1) was tested as-prepared and after sintering at 1000ºC (Pd particles, 50–150 nm). All the materials exhibited similar catalytic performance after an initial conditioning cycle if the temperature was cycled several times (200–1000ºC).
Effect of the Promoter and Support on the Catalytic Activity of Pd–CeO 2 -Supported Catalysts for CH 4 Combustion
G. PECCHI, P. REYES, R. ZAMORA, T. LÓPEZ and R. GÓMEZ, J. Chem. Technol. Biotechnol., 2005,80, (3), 268–272
LINK:doi:10.1002/jctb.1120http://dx.doi.org/10.1002/jctb.1120
Pd-CeO 2-supported catalysts, prepared by the sol-gel technique, were used for the catalytic combustion of CH 4. The addition of CeO 2to Al 2O 3gave a highly dispersed catalyst when compared with their ZrO 2counterparts. However, the catalytic activity of the Pd-CeO 2-ZrO 2series is higher, due to the Pd having a larger particle size.
The Oxidation of Water by Cerium(IV) Catalysed by Nanoparticulate RuO 2 on Mesoporous Silica
N. C. KING, C. DICKINSON, W. ZHOU and D. W. BRUCE, Dalton Trans., 2005, (6), 1027–1032
LINKdoi:10.1039/b415288chttp://dx.doi.org/10.1039/b415288c
Mesoporous silicates were prepared by templating on the hexagonal mesophase of bis(2,2 '-bipyridine)(4,4 '-dinonadecyl-2,2 '-bipyridine)ruthenium(II) dichloride using liquid-crystal templating. On calcination, the surfactant template was removed, except for the central Ru ion that was oxidised to RuO 2nanoparticles (1) within the pores. (1) were active in catalysing the oxidation of H 2O by acidic Ce IV.
HOMOGENEOUS CATALYSIS
Pd Nanoparticle Aging and Its Implications in the Suzuki Cross-Coupling Reaction
J. HU and Y. LIU, Langmuir, 2005,21, (6), 2121–2123
LINKdoi:10.1021/la0471902http://dx.doi.org/10.1021/la0471902
The Pd nanoparticles (1) recovered from the N, N-dihexylcarbodiimide–Pd nanoparticle composite catalysts used in Suzuki cross-couplings, were found to transform from spherical-shape to larger needle-shaped crystals. (1) aggregated into nanosized blackberry-like assemblies (100–200 nm) as a result of Ostwald ripening. In a second type of ripening, atomic rearrangement occurred and (1) transformed into needle-shaped nanocrystals. These observations will be important for the future design and optimisation of durable nanoparticle catalysts.
Pd(II)-Biquinoline Catalyzed Aerobic Oxidation of Alcohols in Water
B. P. BUFFIN, J. P. CLARKSON, N. L. BELITZ and A. KUNDU, J. Mol. Catal. A: Chem., 2005,225, (1), 111–116
LINKdoi:10.1016/j.molcata.2004.08.035http://dx.doi.org/10.1016/j.molcata.2004.08.035
Pd(OAc) 2stabilised by 2,2 '-biquinoline-4,4 '-dicarboxylic acid was used in the aerobic oxidation of primary and secondary alcohols. H 2O was used as the reaction solvent, with air as the oxidant. Aliphatic primary alcohols were fully oxidised to carboxylic acid products. Secondary alcohols gave the corresponding ketones. The catalyst can be recycled.
New Carbazole–Oxadiazole Dyads for Electroluminescent Devices: Influence of Acceptor Substituents on Luminescent and Thermal Properties
K. R. J. THOMAS, J. T. LIN, Y.-T. TAO and C.-H. CHUEN, Chem. Mater., 2004,16, (25), 5437–5444
LINKdoi:10.1021/cm048794uhttp://dx.doi.org/10.1021/cm048794u
Oxadiazole-incorporated carbazoylylamines (1) were synthesised using Pd catalysed C–N coupling reactions with Pd(dba) 2/P( t-Bu) 3catalyst and t-BuONa base. The reactions were best carried out in toluene at 80ºC. Yields of (1) ranged from 75–95%. (1) were purified by reprecipitating twice from CH 2Cl 2/MeOH before application in the electroluminescent devices, such as OLEDs.
Hydroformylation of 1-Hexene in Ionic Liquids Catalyzed by Highly Active Rhodium-Phosphine Complexes
H. ZHENG, M. LI, H. CHEN, R. LI and X. LI, Chin. J. Catal., 2005,26, (1), 4–6
The hydroformylation of 1-hexene catalysed by HRh(CO)(TPPTS) 3complexes (1) (TPPTS = triphenylphosphine- m-trisulfonic acid trisodium salt) was carried out in 1-butyl-3-methylimidazolium tetrafluoroborate ([bmim]BF 4). The activity and selectivity of (1) in [bmim]BF 4were higher than those in other ionic liquids. The TOF of 1-hexene and selectivity for aldehyde were 1508 h –1and 92%, respectively, under optimum conditions. The high activity of (1) is due to its higher solubility in [bmim]BF 4and to the absence of halide ions.
Mononuclear Ruthenium Catalysts for the Direct Propargylation of Heterocycles with Propargyl Alcohols
E. BUSTELO and P. H. DIXNEUF, Adv. Synth. Catal., 2005,347, (2–3), 393–397
LINKdoi:10.1002/adsc.200404219http://dx.doi.org/10.1002/adsc.200404219
While [( p-cymene)RuCl(PR 3)][OTf] (PR 3) (PR 3= PCy 3, PPh 3) catalyse the propargylation of furan or 2-methylfuran by the alkynol HCºCCH(OH)Ph in moderate yield, [( p-cymene)RuCl(CO)(PR 3)][OTf] are more active. The stoichiometric reaction of [( p-cymene)RuCl(PR 3)][B(Ar F) 4] (Ar F= 3,5-(CF 3) 2C 6H 3) and the alkynol resulted in the in situformation, viaallenylidene and hydroxycarbene intermediates, of [( p-cymene)RuCl(CO)(PR 3)]B(Ar F) 4].
An Efficient Catalytic Asymmetric Route to 1-Aryl-2-imidazol-1-yl-ethanols
I. C. LENNON and J. A. RAMSDEN, Org. Process Res. Dev., 2005,9, (1), 110–112
LINKdoi:10.1021/op049838nhttp://dx.doi.org/10.1021/op049838n
Catalytic asymmetric transfer hydrogenation of 1-aryl-2-imidazol-1-yl-ethanones with formic acid using [( R, R)-TsDPEN]Ru(Cymene)Cl gave homochiral 1-aryl-2-imidazol-1-yl-ethanols. The hydrogenation was carried out under mild conditions at a molar substrate-to-catalyst ratio of 1000–2000. Bisphosphino Ru diamine complexes were found to be ineffective.
FUEL CELLS
High-Temperature Polymer Electrolytes for PEM Fuel Cells: Study of the Oxygen Reduction Reaction (ORR) at a Pt–Polymer Electrolyte Interface
Z. LIU, J. S. WAINRIGHT and R. F. SAVINELL, Chem. Eng. Sci., 2004,59, (22–23), 4833–4838
LINKdoi:10.1016/j.ces.2004.09.024http://dx.doi.org/10.1016/j.ces.2004.09.024
A micro-band electrode cell was used to investigate the ORR for a Pt/polybenzimidazole–phosphoric acid system. The obtained Tafel plots were linear over four orders of magnitudes of kinetic current density. Both the kinetic parameters and the mass transport data were comparable to those of a Pt/phosphoric acid system.
Effects of Preparation Conditions on Performance of Carbon-Supported Nanosize Pt-Co Catalysts for Methanol Electro-Oxidation under Acidic Conditions
J. ZENG and J. Y. LEE, J. Power Sources, 2005,140, (2), 268–273
LINKdoi:10.1016/j.jpowsour.2004.08.022http://dx.doi.org/10.1016/j.jpowsour.2004.08.022
Pt/C and Pt-Co/C were prepared by NaBH 4reduction of metal precursors. Citric acid was used as the complexing agent. The largest Pt-Co particles (12 nm) were formed in alkaline solution and the smallest particles (3.7 nm) in unbuffered solution. XPS showed that Pt is in the metallic state, whereas most of the Co is oxidised. The performance of the Pt-Co/C catalysts in MeOH electrooxidation under acidic conditions showed improvements over the Pt/C catalyst in both activity and CO-tolerance due to the Co addition.
Catalytic Activity of Pt–Ru Alloys Synthesized by a Microemulsion Method in Direct Methanol Fuel Cells
L. XIONG and A. MANTHIRAM, Solid State Ionics, 2005, 176, (3–4), 385–392
LINKdoi:10.1016/j.ssi.2004.08.005http://dx.doi.org/10.1016/j.ssi.2004.08.005
A microemulsion method was used to prepare nanostructured Pt-Ru/C catalysts (1) with different particle sizes. The electrochemical performances of (1) were evaluated in half cells with a mixture of 1 M H 2SO 4and 1 M MeOH and in single cell DMFCs. (1) prepared with a water to surfactant molar ratio ( W) of 10 exhibited the maximum mass activity with the least charge transfer resistance at an optimum particle size of ~ 5.3 nm. The mass activity decreases and the charge transfer resistance increases as the value of Wdecreases or increases from 10.
The Behavior of Palladium Catalysts in Direct Formic Acid Fuel Cells
Y. ZHU, Z. KHAN and R. I. MASEL, J. Power Sources, 2005,139, (1–2), 15–20
LINKdoi:10.1016/j.jpowsour.2004.06.054http://dx.doi.org/10.1016/j.jpowsour.2004.06.054
Pd-based anode catalysts were used in DFAFCs. Power densities of 255 to 230 mW cm –2were achieved at relatively high voltages of 0.40 to 0.50 V in formic acid (3.0 to 15.0 M) at 20ºC. A MEA with a Pd catalyst gave some decay in fuel cell performance over several hours. However, the performance can be completely recovered by applying a positive potential at the anode.
ELECTRICAL AND ELECTRONIC ENGINEERING
On the Perpendicular Anisotropy of Co/Pd Multilayers
J. I. HONG, S. SANKAR, A. E. BERKOWITZ and W. F. EGELHOFF, J. Magn. Magn. Mater., 2005,285, (3), 359–366
LINKdoi:10.1016/j.jmmm.2004.07.054http://dx.doi.org/10.1016/j.jmmm.2004.07.054
Co/Pd multilayers were deposited both at room temperature when thermally activated interfacial intermixing augmented the intentional alloying, and at 77 K. Stressed interfacial alloying is the dominant mechanism. Low temperature measurements indicated the presence of polarised Pd. The hard-axis magnetisation was modelled with a distribution of local perpendicular anisotropies which reflect local composition variations.
Synthesis and Characterization of CaRuO 3 and SrRuO 3 for Resistor Paste Application
K. GURUNATHAN, N. VYAWAHARE and D. P. AMALNERKAR, J. Mater. Sci.: Mater. Electron., 2005,16, (1), 47–53
LINKdoi:10.1007/s10854-005-4958-5http://dx.doi.org/10.1007/s10854-005-4958-5
Ca and Sr ruthenates (1) were prepared by air heating admixtures of the respective carbonates of Ca/Sr and RuO 2at 500, 800 and 900ºC for 15 h. The solid-state reactions occurred at 700–800ºC. These powders still contained carbonate and hence were heated again at 900ºC for 15 h to eliminate the carbonate. The average particle size of (1) is ~ 200–400 nm. The resistor paste was formulated using (1) prepared at 800 or 900ºC and heat treated at 900ºC.
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Healthcare Fraud Analytics Market by Solution Type (Descriptive, Predictive, Prescriptive), Application (Insurance Claim, Payment Integrity), Delivery (On-premise, Cloud), End User (Government, Employers, Payers), COVID-19 Impac - Global Forecast to 2026
Healthcare Fraud Analytics Market by Solution Type (Descriptive, Predictive, Prescriptive), Application (Insurance Claim, Payment Integrity), Delivery (On-premise, Cloud), End User (Government, Employers, Payers), COVID-19 Impac - Market research report and industry analysis - 30218548
Healthcare Fraud Analytics Market by Solution Type (Descriptive, Predictive, Prescriptive), Application (Insurance Claim, Payment Integrity), Delivery (On-premise, Cloud), End User (Government, Employers, Payers), COVID-19 Impac - Global Forecast to 2026
Best Price Guarantee Price from $4,950 Length 173 Pages Publisher MarketsandMarkets Published Date October, 2021 SKU MKMK16805245
Table of Contents
Description
Healthcare Fraud Analytics Market by Solution Type (Descriptive, Predictive, Prescriptive), Application (Insurance Claim, Payment Integrity), Delivery (On-premise, Cloud), End User (Government, Employers, Payers), COVID-19 Impac - Global Forecast to 2026The global healthcare fraud analytics market is projected to reach USD 5.0 billion by 2026 from USD 1.5 billion in 2021, at a CAGR of 26.7% during the forecast period. Market growth can be attributed to a large number of fraudulent activities in healthcare, increasing number of patients seeking health insurance, high returns on investment, and the rising number of pharmacy claims-related frauds. However, the dearth of skilled personnel is expected to restrain the growth of this market.The on-demand segment is expected to grow at the highest CAGR during the forecast periodOn the basis of delivery model, the healthcare fraud analytics market is segmented into on-premise and on-demand models. The on-demand models include the cloud-based and web-based models. The on-demand segment is projected to register the highest CAGR during the forecast period. Factors such as on-demand self-serving analytics, the lack of up-front capital investments for hardware, extreme capacity flexibility, and a pay-as-you-go pricing model are driving the demand for on-demand fraud detection solutions.The prepayment review model segment is projected to witness the highest growth during the forecast periodOn the basis of application, the healthcare fraud analytics market is segmented into insurance claims review, pharmacy billing misuse, payment integrity, and other applications. The insurance claims review segment is further divided into postpayment and prepayment review, with the latter expected to register the highest growth during the forecast period. This is mainly because the use of prepayment review protocols and analytics can help organizations proactively prevent fraud prior to payment, allowing rapid action to be taken. As a result, prepayment review solutions are expected to garner greater attention in the coming years.North America accounted for the largest share of the healthcare fraud analytics marketThe healthcare fraud analytics market is segmented into five major regions, namely, North America, Europe, Asia, Pacific, Latin America, and the Middle East & Africa. North America accounted for the largest share of this market in 2020 majorly due to the high penetration of health insurance in the region, high number of healthcare fraud cases, favorable government initiatives to combat healthcare fraud, and wider product and service availability in this region. Moreover, a majority of leading players in the healthcare fraud analytics market have their headquarters in North AmericaBreak of primary participants was as mentioned below:By Company Type – Tier 1–45%, Tier 2–18%, and Tier 3–37%By Designation – C-level–35%, Director-level–50%, Others–15%By Region – North America–60%, Europe–22%, Asia–13%, Latin America- 3%, Middle East and Africa–2%Key players in the Healthcare Fraud Analytics marketMajor players in this market include IBM Corporation (US), Optum, Inc. (US), Cotiviti, Inc. (US), Change Healthcare (US), Fair Isaac Corporation (US), SAS Institute Inc. (US), EXLService Holdings, Inc. (US), Wipro Limited (India), Conduent, Incorporated (US), CGI Inc. (Canada), HCL Technologies Limited (India), Qlarant, Inc. (US), DXC Technology (US), Northrop Grumman Corporation (US), LexisNexis (US), Healthcare Fraud Shield (US), Sharecare, Inc. (US), FraudLens, Inc. (US), HMS Holding Corp. (US), Codoxo (US), H20.ai (US), Pondera Solutions, Inc. (US), FRISS (The Netherlands), Multiplan (US), FraudScope (US), and OSP Labs (US).Research Coverage:The report analyzes the healthcare fraud analytics market and aims at estimating the market size and future growth potential of this market based on various segments such as solution type, application, delivery model, end user, and region. The report also includes a product portfolio matrix of various healthcare fraud analytic solutions available in the market. The report also provides a competitive analysis of the key players in this market, along with their company profiles, product & service offerings, and key market strategies.Reasons to Buy the ReportThe report will enrich established firms as well as new entrants/smaller firms to gauge the pulse of the market, which in turn would help them, garner a more significant share of the market. Firms purchasing the report could use one or any combination of the below-mentioned strategies to strengthen their position in the market.This report provides insights into the following pointers:Market Penetration: Comprehensive information on product portfolios offered by the top players in the global healthcare fraud analytics market. The report analyzes this market by solution type, application, delivery model, and end userSolution Enhancement/Innovation: Detailed insights on upcoming trends and solution launches in the global healthcare fraud analytics marketMarket Development: Comprehensive information on the lucrative emerging markets by products and services, and end userMarket Diversification: Exhaustive information about new solutions or service enhancements, growing geographies, recent developments, and investments in the global healthcare fraud analytics marketCompetitive Assessment: In-depth assessment of market shares, growth strategies, solution offerings, competitive leadership mapping, and capabilities of leading players in the global healthcare fraud analytics market.
INTRODUCTION
OBJECTIVES OF THE STUDY
MARKET DEFINITION & SCOPE
INCLUSIONS & EXCLUSIONS OF THE STUDY
MARKET SEGMENTATION
YEARS CONSIDERED FOR THE STUDY
CURRENCY
Table EXCHANGE RATES UTILIZED FOR CONVERSION TO USD
LIMITATIONS
STAKEHOLDERS
RESEARCH METHODOLOGY
SECONDARY SOURCES
PRIMARY SOURCES
Table LIST OF STAKEHOLDERS INTERVIEWED FOR THE STUDY
MARKET SIZE ESTIMATION
MARKET BREAKDOWN AND DATA TRIANGULATION
ASSUMPTIONS FOR THE STUDY
EXECUTIVE SUMMARY
PREMIUM INSIGHTS
HEALTHCARE FRAUD ANALYTICS MARKET OVERVIEW
ASIA: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE AND COUNTRY
HEALTHCARE FRAUD ANALYTICS MARKET: GEOGRAPHIC GROWTH OPPORTUNITIES
HEALTHCARE FRAUD ANALYTICS MARKET: REGIONAL MIX
HEALTHCARE FRAUD ANALYTICS MARKET: DEVELOPING VS. DEVELOPED REGIONS
MARKET OVERVIEW
INTRODUCTION
MARKET DYNAMICS
DRIVERS
RESTRAINTS
OPPORTUNITIES
CHALLENGES
INDUSTRY INSIGHTS
INDUSTRY TRENDS
MERGERS AND ACQUISITIONS: THE MOST ADOPTED STRATEGY
TECHNOLOGICAL ADVANCEMENTS
Table COMPANIES OFFERING INNOVATIVE FRAUD ANALYTICS SOLUTIONS
NEW USE CASE: OPIOID EPIDEMIC CRISIS
END-USER TRENDS: ADOPTION OF HEALTHCARE FRAUD ANALYTICS SOLUTIONS BY PHARMACY BENEFIT MANAGERS
HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE
INTRODUCTION
Table HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
DESCRIPTIVE ANALYTICS
DESCRIPTIVE ANALYTICS SEGMENT ACCOUNTED FOR THE LARGEST MARKET SHARE
Table DESCRIPTIVE ANALYTICS SOLUTIONS FOR HEALTHCARE FRAUD DETECTION
Table DESCRIPTIVE ANALYTICS MARKET, BY REGION, 2019–2026 (USD MILLION)
Table DESCRIPTIVE ANALYTICS MARKET, BY COUNTRY, 2019–2026 (USD MILLION)
PREDICTIVE ANALYTICS
PREDICTIVE ANALYTICS HELPS IN SIMULATING FUTURE EVENTS AND TRENDS THAT CAN ENABLE PAYERS TO PREDICT PREVENTABLE EVENTS
Table PREDICTIVE ANALYTICS SOLUTIONS FOR HEALTHCARE FRAUD DETECTION
Table PREDICTIVE ANALYTICS MARKET, BY REGION, 2019–2026 (USD MILLION)
Table PREDICTIVE ANALYTICS MARKET, BY COUNTRY, 2019–2026 (USD MILLION)
PRESCRIPTIVE ANALYTICS
PRESCRIPTIVE MODELS OFFER ADDITIONAL ADVANTAGES RELATING TO THE INVESTIGATION OF SUSPICIOUS BEHAVIOR TO GENERATE COMPREHENSIVE INSIGHTS
Table PRESCRIPTIVE ANALYTICS SOLUTIONS FOR HEALTHCARE FRAUD DETECTION
Table PRESCRIPTIVE ANALYTICS MARKET, BY REGION, 2019–2026 (USD MILLION)
HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL
INTRODUCTION
Table HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
ON-PREMISE DELIVERY MODELS
ON-PREMISE MODELS ACCOUNT FOR THE LARGEST SHARE OF THE MARKET
Table KEY VENDORS OFFERING ON-PREMISE SOLUTIONS IN THE MARKET
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR ON-PREMISE DELIVERY MODEL, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR ON-PREMISE DELIVERY MODEL, BY COUNTRY, 2019–2026 (USD MILLION)
ON-DEMAND DELIVERY MODELS
CLOUD-BASED DELIVERY MODELS OFFER ORGANIZATIONS INCREASED SCALABILITY AND SPEED
Table KEY VENDORS PROVIDING ON-DEMAND SOLUTIONS
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR ON-DEMAND DELIVERY MODEL, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR ON-DEMAND DELIVERY MODEL, BY COUNTRY, 2019–2026 (USD MILLION)
HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION
INTRODUCTION
Table HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
INSURANCE CLAIMS REVIEW
Table DEPLOYMENT OF PREPAYMENT VS. POSTPAYMENT ANALYTICS SYSTEMS
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY COUNTRY, 2019–2026 (USD MILLION)
POSTPAYMENT REVIEW
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR POSTPAYMENT CLAIMS REVIEW, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR POSTPAYMENT CLAIMS REVIEW, BY COUNTRY, 2019–2026 (USD MILLION)
PREPAYMENT REVIEW
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR PREPAYMENT CLAIMS REVIEW, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR PREPAYMENT CLAIMS REVIEW, BY COUNTRY, 2019–2026 (USD MILLION)
PHARMACY BILLING MISUSE
FRAUD, WASTE, AND ABUSE CASES IN PHARMACY AND PRESCRIPTION DRUG AREAS TO DRIVE THE DEMAND FOR ANALYTICS
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR PHARMACY BILLING MISUSE APPLICATION, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR PHARMACY BILLING MISUSE APPLICATION, BY COUNTRY, 2019–2026 (USD MILLION)
PAYMENT INTEGRITY
CHANGES IN REGULATORY GUIDELINES HAVE AIDED THE ADOPTION OF PAYMENT INTEGRITY SOFTWARE
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR PAYMENT INTEGRITY APPLICATION, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR PAYMENT INTEGRITY APPLICATION, BY COUNTRY, 2019–2026 (USD MILLION)
OTHER APPLICATIONS
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR OTHER APPLICATION, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR OTHER APPLICATIONS, BY COUNTRY, 2019–2026 (USD MILLION)
HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER
INTRODUCTION
Table HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
PUBLIC & GOVERNMENT AGENCIES
PUBLIC & GOVERNMENT AGENCIES DOMINATE THE HEALTHCARE FRAUD ANALYTICS MARKET
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR PUBLIC & GOVERNMENT AGENCIES, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR PUBLIC & GOVERNMENT AGENCIES, BY COUNTRY, 2019–2026 (USD MILLION)
PRIVATE INSURANCE PAYERS
PRIVATE INSURANCE PAYERS ARE FOCUSED ON DEPLOYING ANALYTICS TO COMBAT INCREASING MONETARY LOSSES
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR PRIVATE INSURANCE PAYERS, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR PRIVATE INSURANCE PAYERS, BY COUNTRY, 2019–2026 (USD MILLION)
THIRD-PARTY SERVICE PROVIDERS
ADOPTION OF FRAUD ANALYTICS SOLUTIONS BY PUBLIC INSURERS PUTS PRIVATE BODIES AT RISK, DRIVING ATTENTION TOWARD OUTSOURCING
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR THIRD-PARTY SERVICE PROVIDERS, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR THIRD-PARTY SERVICE PROVIDERS, BY COUNTRY, 2019–2026 (USD MILLION)
EMPLOYERS
EMPLOYERS ARE CONSIDERING FRAUD ANALYTICS SOLUTIONS AS A STEP TOWARD BETTER COST MANAGEMENT
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR EMPLOYERS, BY REGION, 2019–2026 (USD MILLION)
Table HEALTHCARE FRAUD ANALYTICS MARKET FOR EMPLOYERS, BY COUNTRY, 2019–2026 (USD MILLION)
HEALTHCARE FRAUD ANALYTICS MARKET, BY REGION
INTRODUCTION
Table HEALTHCARE FRAUD ANALYTICS MARKET, BY REGION, 2019–2026 (USD MILLION)
NORTH AMERICA
Table NORTH AMERICA: HEALTHCARE FRAUD ANALYTICS MARKET, BY COUNTRY, 2019–2026 (USD MILLION)
Table NORTH AMERICA: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table NORTH AMERICA: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table NORTH AMERICA: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table NORTH AMERICA: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table NORTH AMERICA: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
US
Table US: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table US: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table US: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table US: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table US: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
CANADA
Table CANADA: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table CANADA: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table CANADA: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table CANADA: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table CANADA: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
EUROPE
Table LIST OF SOME OF THE EHFCN MEMBER ORGANIZATIONS ACROSS EUROPE
Table EUROPE: HEALTHCARE FRAUD ANALYTICS MARKET, BY COUNTRY, 2019–2026 (USD MILLION)
Table EUROPE: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table EUROPE: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table EUROPE: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table EUROPE: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table EUROPE: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
GERMANY
Table GERMANY: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table GERMANY: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table GERMANY: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table GERMANY: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table GERMANY: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
UK
Table UK: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table UK: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table UK: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table UK: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table UK: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
FRANCE
Table FRANCE: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table FRANCE: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table FRANCE: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table FRANCE: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table FRANCE: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
ITALY
Table ITALY: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
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Table ITALY: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table ITALY: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table ITALY: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
SPAIN
Table SPAIN: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table SPAIN: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
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Table SPAIN: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
REST OF EUROPE
Table ROE: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table ROE: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table ROE: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table ROE: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table ROE: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
ASIA
Table ASIA: HEALTHCARE FRAUD ANALYTICS MARKET, BY COUNTRY, 2019–2026 (USD MILLION)
Table ASIA: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table ASIA: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table ASIA: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table ASIA: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table ASIA: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
JAPAN
Table JAPAN: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table JAPAN: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table JAPAN: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table JAPAN: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table JAPAN: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
CHINA
Table CHINA: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table CHINA: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
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Table CHINA: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table CHINA: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
ROA
Table ROA: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table ROA: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table ROA: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table ROA: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table ROA: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
PACIFIC
GROWING NEED FOR INSURANCE COVERAGES AND MEDICAL CLAIMS TO DRIVE MARKET GROWTH
Table PACIFIC: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table PACIFIC: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table PACIFIC: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table PACIFIC: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table PACIFIC: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
LATIN AMERICA
INCREASING PENETRATION OF HEALTH INSURANCE TO DRIVE VOLUME OF CLAIMS PROCESSING IN LATIN AMERICAN COUNTRIES
Table LATIN AMERICA: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table LATIN AMERICA: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table LATIN AMERICA: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table LATIN AMERICA: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table LATIN AMERICA: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
MIDDLE EAST & AFRICA
HEALTHCARE FRAUD IS ONE OF THE LEADING CRIMES IN SOUTH AFRICA
Table MEA: HEALTHCARE FRAUD ANALYTICS MARKET, BY DELIVERY MODEL, 2019–2026 (USD MILLION)
Table MEA: HEALTHCARE FRAUD ANALYTICS MARKET, BY SOLUTION TYPE, 2019–2026 (USD MILLION)
Table MEA: HEALTHCARE FRAUD ANALYTICS MARKET, BY APPLICATION, 2019–2026 (USD MILLION)
Table MEA: HEALTHCARE FRAUD ANALYTICS MARKET FOR INSURANCE CLAIMS REVIEW, BY TYPE, 2019–2026 (USD MILLION)
Table MEA: HEALTHCARE FRAUD ANALYTICS MARKET, BY END USER, 2019–2026 (USD MILLION)
COMPETITIVE LANDSCAPE
INTRODUCTION
COMPETITIVE SITUATION AND TRENDS
DEALS
Table DEALS, 2018-2021
COMPETITIVE LEADERSHIP MAPPING
STARS
EMERGING LEADERS
PERVASIVE PLAYERS
PARTICIPANTS
COMPANY PROFILES
KEY PLAYERS
IBM CORPORATION
Table IBM CORPORATION: BUSINESS OVERVIEW
OPTUM, INC. (A PART OF UNITEDHEALTH GROUP)
30218549 Single User License: $4,950 Multi User License (5 Users): $6,650 One corporate entity – unlimited locations: $8,150 Global Site License: $10,000
| https://www.marketresearch.com/MarketsandMarkets-v3719/Healthcare-Fraud-Analytics-Solution-Type-30218548/ |
British Art Show 8 | Article index | Articles | British Art Studies
An online, open-access and peer-reviewed academic journal for research on all aspects of British art, architecture and visual culture.
Articles
British Art Show 8
Cover CollaborationbyRoger Malbert
Installation view, British Art Show 8, Leeds Art Gallery, 9 October 2015 - 10 January 2016
British Art Studies Editorial Group
Roger Malbert
Introduction by
British Art Studies Editorial Group
DOI
DOI
The “cover” of the first issue of
British Art Studies
plays with the conventions of the traditional cover of a journal or magazine. A cover traditionally has various functions: to illustrate or give a glimpse into the contents; to protect the pages sandwiched in between; and, occasionally, to conceal rather than advertise what is inside. The digital format of
British Art Studies
has allowed us to rethink what a cover is and what it can do. We have created more than simply a landing page for presenting text and practical information and made a feature worth visiting in its own right. The cover images selected for issue one do not illustrate any of the articles, but generate a stand-alone feature. For the first issue, we have collaborated with
British Art Show 8
Art Historians conference in 2015
contemporary art in Britain between 1945 and 1960
. This collaboration with British Art Show 8 extends this conversation to consider the implications of exhibiting the contemporary under the rubric of “British art”, intersecting with the topic of our Conversation Piece, “There’s no such thing as British art”.
by
Roger Malbert, Head, Hayward Touring
A History of the British Art Show
The idea of an exhibition of contemporary British art, touring at five-yearly intervals to different regional cities, was first proposed to the Exhibitions Committee of the Arts Council of Great Britain (ACGB) by the legendary Director of Sheffield City Art Galleries, Frank Constantine, in the late 1970s. The Hayward Gallery, which was run by the ACGB, had initiated a series of influential—and often controversial—Annuals in 1977, focusing on aspects of contemporary art. The British Art Show was intended to offer regional museums and galleries an exhibition of equivalent scale and significance, a survey of current practice selected by guest curators and travelling each time to four different cities. Implicit in the idea from the start was a wish to redress the balance between the capital and the peripheries.
As the national funding body, the ACGB was always at pains to demonstrate its regional credentials and even-handedness. It was important that the British Art Show curators were seen to be visiting studios in every part of the country over an exhaustive two-year period of research—even though, as Joanna Drew, then Director of Art, remarked in 1984, they might ultimately come up with a list they could have arrived at sitting around a table in the Arts Council’s offices in Piccadilly in a single afternoon. From the second edition on, London and Glasgow predominated, as they do today. The exhibition has at times been bitterly criticized for its bias in favour of the metropolis and, in the eighties and nineties, a particular art college—Goldsmiths. In retrospect, however, the curators’ choices seem on the whole to have been vindicated: there are relatively few major artists working in this country who have not appeared in one or another edition of the British Art Show. The formula of two or three well-informed guest curators basing their selection on empirical research, focusing exclusively on current activity, with no chance to roam back in time to make historical connections (which many curators are keen to do, as the Tate’s comparatively short-lived Triennial illustrates), has become the show’s signature.
An interval of five years is long enough for a new generation to emerge from art colleges and for new tendencies in practice to become apparent. The ostensibly parochial notion of a show confined to British art is mitigated by a loose definition of the criteria, and the fact that over the past thirty years London, the largest city in Europe by far (population 8.63 million, compared to its nearest rival Berlin’s 3.5 million) has been a magnet for artists from across the world. This, combined with the complex legacy of Britain’s imperial history, means that simple ideas of national identity are problematized almost out of existence. What can one say then, about the characteristics of “British art” as they have been revealed by the British Art Show over the past thirty-five years?
DOI
DOI
Reviewing the eight editions of the British Art Show at a glance, certain obvious features stand out. They can be seen to reflect changes in culture, patterns of production, and the growth of new technologies as well as demographic and social shifts. The first edition in 1979 seems comparatively homogenous; the names of the 112 artists included are overwhelmingly English, and only 12 were women. This was a wide-ranging, if partial, painting and sculpture survey show. It includes such major figures as Lucian Freud, Bridget Riley, Richard Long, Michael Andrews, Terry Frost, David Hockney, John Hoyland, Michael Sandle, Euan Uglow, and Sean Scully.
As the British Art Show has, over time, registered developments in contemporary art, it has also reflected changes in curatorial practice, moving away from the idea of a neutral survey to a more conceptually considered and “shaped” exhibition: from an over-crowded group show towards a more calculatedly composed, minimalist presentation. The third incarnation in 1990 took a turn away from the cross-generational survey, to focus exclusively on artists under the age of thirty-five. This was a quieter exhibition, with some outstanding contributions from Mona Hatoum, Cornelia Parker, Rachel Whiteread, Gary Hume, Julian Opie, and Callum Innes. As a record of a moment, it affirmed the hegemony of Goldsmiths and consequently provoked an indignant reaction from Julian Spalding. The then Director of Glasgow Museums, where the exhibition opened, publicly denounced it as “not a British art show” (since it was unapologetically partial), and proceeded to organize his own counter-exhibition, The Great British Art Show, with a line-up of figurative painters, including Beryl Cook. Opening a new Gallery of Modern Art in Glasgow, Spalding began to acquire this type of work of popular appeal and resolutely refused to countenance collecting work by emerging Glaswegian artists such as (the now internationally renowned) Douglas Gordon. The conflict epitomized a fundamental divide in Scottish art at that time between those who could be categorized as the provincial populists, and the savvy conceptualists who were performing with confidence on the international stage, and whose work has been acquired and promoted by the Gallery of Modern Art since Spalding’s departure.
The British Art Show reached a watershed in 1995, when the exhibition broke away from the confines of a single venue to spread across numerous galleries and exhibition spaces in each city. The standards of presentation (particularly of video and film projections) reached new heights in order to satisfy the requirements of a highly professional and ambitious generation of twenty-five artists, including Steve McQueen, Sam Taylor-Wood, Tacita Dean, Damien Hirst, Chris Ofili, Douglas Gordon, Jane and Louise Wilson, and Mark Wallinger. This was the YBA moment. Plenty has been written about this generation of artists and their influence persists. They have international reputations, are represented by high-powered galleries, collected by museums across the world, and several now live abroad.
DOI Figure 15.Photo: Roger Wooldridge, Installation view: British Art Show 7: In the Days of the Comet, Hayward Gallery, London, 2011
Subsequent iterations of the British Art Show have expanded to include many more artists (54 for BAS 5 in 2000 and 50 in BAS 6 in 2005, 22 of whom were women), with a good proportion of each continuing with successful careers. Phyllida Barlow, Martin Creed, Liam Gillick, Michael Landy, Sarah Lucas, Mike Nelson, Grayson Perry, David Shrigley, Wolfgang Tillmans were all in BAS 5; Tomma Abts, Zarina Bhimji, Marcus Coates, Roger Hiorns, Mark Leckey, Goshka Macuga, Zineb Sedira, and Mark Titchner were all in BAS 6—whose co-curator, Alex Farquharson, incidentally, later became the Director of Nottingham Contemporary and has recently been appointed Director of Tate Britain. The challenge he faces there is relevant to the question under consideration here: what, if anything, defines British art? The wise response would probably follow Wittgenstein’s dictum, that the meaning of a term lies in its use, rather than in some essential definition. All of the many thousands of artists living in London, Glasgow, and—increasingly as the capital prices the property-less out of the picture—across the country, would qualify for inclusion, whatever their country of origin.
British Art Show 8
British Art Show 8
1
Artists:
Åbäke
,
Lawrence Abu Hamdan
,
Caroline Achaintre
,
John Akomfrah and Trevor Mathison
,
Aaron Angell
,
Pablo Bronstein
,
Adam Broomberg and Oliver Chanarin
,
Andrea Büttner
,
Alexandre da Cunha
,
Nicolas Deshayes
,
Benedict Drew
,
Simon Fujiwara
,
Martino Gamper
,
Ryan Gander
,
Melanie Gilligan
,
Anthea Hamilton
,
Will Holder
,
Alan Kane
,
Mikhail Karikis
,
Linder
,
Rachel Maclean
,
Ahmet Öğüt (with Liam Gillick, Susan Hiller and Goshka Macuga)
,
Yuri Pattison
,
Ciara Phillips
,
Charlotte Prodger
,
Laure Prouvost
,
Magali Reus
,
James Richards
,
Eileen Simpson and Ben White
,
Daniel Sinsel
,
Cally Spooner
,
Patrick Staff
,
Imogen Stidworthy
,
Hayley Tompkins
,
Jessica Warboys
,
Stuart Whipps
,
Bedwyr Williams
,
Jesse Wine
,
Lynette Yiadom-Boakye
.
Figure 16.
Adam Broomberg & Oliver Chanarin, Trace fiber from Freud's couch under crossed polars with Quartz wedge compensator (#2) , 2015,
Digital image courtesy of the Artists and Lisson Gallery, London
Figure 17.
Linder, Diagrams of Love: Marriage of Eyes (detail), 2015,
Digital image courtesy of Linder Sterling / Dovecot Tapestry Studio, 2015. Photo credit, Michael Wolchover. Courtesy the artist, Stuart Shave/Modern Art and Dovecot Studios Ltd. (website)
Figure 18.
Bedwyr Williams, Century Egg (video still), 2015, Commissioned by the University of Cambridge North West Cambridge Development through the Habitation Artist in Residency Programme managed by Contemporary Art Society and InSite Arts
Digital image courtesy of the artist and Limoncello Gallery
DOI
Figure 19.
Mikhail Karikis, Children of Unquiet (video still), 2013-2014,
Digital image courtesy of Mikhail Karikis, 2015
DOI
Figure 20.
Patrick Staff, The Foundation (video still), 2015, Commissioned by Chisenhale Gallery, London; Spike Island, Bristol; Institute of Modern Art, Brisbane; and Contemporary Art Gallery, Vancouver. Co-produced by Chisenhale Gallery, London and Spike Island, Bristol
About the author
Roger Malbert is Head of Hayward Touring at the Southbank Centre. He studied philosophy, then illustration at the School of Art in Cambridge. He had previously worked Kettle's Yard, Cambridge, as a sessional assistant, then full-time Assistant Curator to Paul Clough.
Footnotes
Anna Colin and Lydia Lee, "About the exhibition",http://britishartshow8.com/page/about-exhibition-1599
1
Imprint
Author
Roger Malbert
Date
30 November 2015
Category
Cover Collaboration
Review status
Peer Reviewed (Editorial Group)
Licence
CC BY-NC International 4.0
Downloads
PDF format
Article DOI
https://doi.org/10.17658/issn.2058-5462/issue-01/rmalbert
Cite as
Roger Malbert, "British Art Show 8", British Art Studies, Issue 1, https://doi.org/10.17658/issn.2058-5462/issue-01/rmalbert
PreviousAbstraction’s Ecologies: Post-Industrialization, Waste and the Commodity Form in Prunella Clough’s Paintings of the 1980s and 1990s
| https://www.britishartstudies.ac.uk/index/article-index/cover-collaboration/issue-6/alcester-crozier/page/13 |
The Herko Dialogues: Kyle Bukhari and Yve Laris… | Movement Research
One of the world’s leading laboratories for the investigation of dance and movement-based forms.
The Herko Dialogues: Kyle Bukhari and Yve Laris Cohen in Conversation
On October 27, 1964, Fred Herko, dancer, choreographer and founding member of Judson Dance Theater, leapt to his death from a fourth story window in the West Village, while listening to Mozart’s Requiem. Or perhaps it was another piece of music. And maybe it wasn’t the fourth floor. Beyond the fact of his suicide, and the presumption that is was staged and performed for an unwitting friend, there is much ambiguity around the circumstances of Herko’s death. And, for that matter, his life and works. Herko’s aesthetic entanglements were many—Judson, Andy Warhol, Jill Johnston and more. His dances have been described as campy, romantic, queer, lazy, incandescent, excessive and potentially leading his career nowhere. Or, maybe he knew exactly what he was doing.
In the ensuing five decades since his death, many in his Judson cohort have met with praise and, what is more, a secured place in dance history. Herko continues to flicker on the periphery, appearing in photographs or films, alone or with other eventual giants of Judson and Warhol’s Factory. Herko’s elusive status offers unexpected lines of thinking, radicalizing traditional ideas secured within historical narratives. Herko’s presence has embroidered the works of a handful of writers and historians, notably, the late performance scholar José Muñoz in his chapter devoted to Herko, entitled “A Jeté Out the Window,” housed within his text Cruising Utopia: The Then and There of Queer Futurity. Muñoz engages Herko—and his suicide—as a choreographic figure whose movements respond to the contours of queer time, denaturalizing both the theatrical and the quotidian and inviting a kind of utopian performativity into the world. Walking the reader through a profound rumination on the limits of finitude, performance, queerness, utopia, labor and time, Muñoz, points out that this dancer’s final gesture of flight indicates apertures through which we might reflect on escapes from capitalist and historic oppression.
On October 25, 2014, almost exactly fifty years after Herko’s death, NYU's department of Performance Studies, in tandem with the Tisch Institute for Creative Research, sponsored a one-day symposium called Fred Herko: A Crash Course . Taking as its premise the fact that no one is an expert on Herko, scholars and art historians presented their biographical research and thought experiments around Herko’s life, suicide and legacy. Critical Correspondence invited eight relative strangers: choreographers, performers, and scholars to attend the symposium and then pair off to reflect on how that day’s discussions about Fred Herko, José Muñoz, Judson and the 1960s coincide with their own artistic and intellectual practices, bodies, and politics today. The meanings of Fred Herko’s life, work and death, and whether such meanings can be consistently deployed, is a central question of THE HERKO DIALOGUES.
Yve Laris Cohen: One of the reasons it was difficult to prepare for this conversation is—well, did I tell you I’m co-teaching a course at NYU with Barbara Browning on Judson? It’s in the Department of Performance Studies where José Muñoz taught. I’m also participating in this Danspace Platform organized around the three poles of dance in the 60’s as described by Edwin Denby—one of them being Judson—and so Judson has been heavily in the brain this fall. Herko in particular has been on my mind as we focus on José’s legacy. I feel very saturated in this material. It’s been a different kind of encounter than just attending the symposium. What about you?
Kyle Bukhari: It sounds like you are deeply contextualized within the material surrounding Herko. My knowledge of Judson comes particularly through my research on Yvonne Rainer, and looking at some of her works within a philosophical context. My recent research has focused on Rainer’s Hand Movie[1967] and Richard Serra’s Hand Catching Lead[1968] looking at them as examples of intermediality encompassing dance, sculpture, and film. That’s what I was doing in London this year which is pretty ironic since I went to there to work on Michael Clark’s work but ended up writing on downtown New York postmoderns—that’s how things happen I guess. I’ve also done work on Rainer’s We Shall Run[1963] so that’s more where I’m tying Fred Herko in—to this early Judson work. For me, this symposium was fleshing out an obscured, darkened area, and shining some light, like a flashlight, across it, briefly illuminating the silhouette of Herko.
YLC: I feel like we still don’t have the flesh after that symposium.
KB: Yes absolutely, it’s quite elusive still.
YLC: Or not even bone.
KB: That’s true. That’s this absence, or rather a sort of absence/presence—trying to make something out of very little in many ways, an act of critical recovery—but on the other hand, he was there; it was substantial. He created work in some of the first concerts at Judson. You probably know more about this than I do..
YLC: But you know, even with Sally Banes’s detailed descriptions and her very clinical, deliberate, seemingly matter-of-fact summaries—although her own biases come through—Herko still somewhat slips away from these plodding accounts. But, paired with José’s [Muñoz] take on Herko’s dances, they give me some sense of his work. The symposium didn’t really consider his cultural production as much as his death—although that can also count as production. In many ways I’m more interested in his death and how people take him up rather than being faithful to the person, Fred Herko, and his life. Of course, Gerard Forde would take major issue with that.
KB: The precision, the empirical, verifiable fact. Gerard was really fighting for that. So, we had these different speakers, each approaching the symposium from different angles, not necessarily focusing on Herko’s work but circumnavigating it.
YLC: Danielle Goldman spoke on the “elegant lines of Fred Herko.” But it was very much building on José’s work.
KB: I liked this idea of Goldman’s that lines have history and weight. So this is building on José’s work? I’ve read his essay A jeté out the window, but I’m not familiar otherwise with José’s work. Have you gone through it a bit?
YLC: Yeah. You know, I thought this conversation would carry us toward José because, for me, José makes Fred Herko important. And not so much in the sense that Freddy Herko was written out of history and we need to rewrite him back in—that’s more Forde’s project. For José, Herko becomes this figure that is in support of José’s broader project. Barbara made this point in class.
KB: He plays a certain role within José’s larger project—or he fits neatly into it?
YLC: Well yeah, it’s not about rounding out a picture of Freddy or “fleshing out” or connecting the dots. It’s more about using ephemera, the bits that we know about, his traces—José doesn't corral all the dots but picks up a few in service of his work on queer futurity. And that, to me, is more interesting than trying to holistically examine Fred Herko's oeuvre. Herko is now more important to queer theory than he is to dance scholarship.
KB: Foucault has this great essay called The Lives of Infamous Menand this project has made me think of it, although Herko’s work, I mean, he’s more than infamous in that there is quite a bit of documentation. Foucault wrote about looking through the archives at the Bibliothèque Nationale—internment records from the 1800s—and discovering a few lines about somebody’s imprisonment and then drawing a whole history out of that. I’ve got a quote here: “The resonance that [one] experiences when he encounters these lowly lives reduced to ashes in a few sentences that struck them down.” And then Foucault talks about using these few lines to think about the institutions and the forces at work that surround this individual prisoner. He has this idea of the beam of light that illuminates—I see it like shining a flashlight into the past—exposing this larger scenario, but at the same time he calls attention to the whole investigative production behind the act of bringing someone from the past to life. There’s this creative aspect that is perhaps disconnected from the verifiable, empirical facts that Gerard is rightly concerned with, but which also has its place. They’re sort of two different projects right?
YLC: Of course.
KB: There’s this historical, empirical perspective, and then there’s this more theoretical kind of practice. Each with different purposes and functions. So I was just fascinated thinking about that, how the symposium and this reexamination are kind of making the tension between these approaches visible. Also to think about what we are doing within a larger framework in accessing the archive. Derrida’s “Archive Fever” is quite on point here which I think you may have read.
YLC: Yes.
KB: He does this really cool genealogy tracing the etymology of the word ‘archive’. He traces it back to the Greek word archeon, which means house, and how it was the house of the archons, the superior magistrates of the society at the time. They possessed the right to make the laws and it was in their house where the official documents were kept. And this is how Derrida sets up thinking about the archive and its power. So I was thinking about how we’re also dealing with the Judson archive. The power of it, and how it shapes the platform from which order is given in subsequent inquiry, discourse and production.. This is the idea that Derrida proposes.
YLC: And so with Judson we have an incomplete archive displaced from its house. Coincidentally, the titles of the four pieces I’ve made for Movement Research at Judson include either the word “house” or “home.” With that I was thinking about how we narrate our origin story as downtown dance people. “Home” necessitates a return. Or escape. Movement Research’s Monday series [at Judson Church] has far outlasted Judson Dance Theater, and I wonder how the accrual of Monday performances in the church, since 1991, is recasting the historic Judson Dance Theater. Something Herko illuminates is the asymmetrical treatment of the Judson artists in this moment where that era in dance is being “rediscovered” and rigorously historicized for the first time, and how the active curation of living artists plays a huge role in this reformulation of the 60’s Judson archive. The way the artists are curated now in 2014 affects how we digest their 60’s work and construct the broader Judson story. Yvonne Rainer is making new work at the same time as she’s having a zillion retrospectives. And Steve Paxton—the same thing. And Simone Forti—
KB: —in New York, in London.
YLC: Everywhere! And who else? Trisha Brown, certainly. And in the meantime, Fred Herko can only be given a one-day symposium that talks around him, and his works can’t be remounted, especially given the nature of his ultimate work. I almost said “final work,” but I don’t want to betray José’s idea about the choreographing of a suicide being a queer utopian gesture because it reaches beyond the finality of that moment—that, bracketed as a performance, Herko’s suicide negates the finitude of death through what José calls “radical negativity.” Still, Herko’s inability to be curated is exciting to me as far as the ends of reproduction. Queer non-reproduction is one thing, but then there’s refusal—which is also a queer strategy, and maybe Herko’s meta-strategy within Judson. Even now, his dances are refusing to be revived. So you know, José talks about ornament, ornamentation, and flamboyance, and excess, and those being part of Herko’s queer aesthetic that was in opposition to, or resisting, or other-than the prototypical postmodern dance model of you know, “pared-down”—
KB: —the everyday, the minimalist—
YLC: Sure. So, José presents Freddy’s work against this supposed Judson aesthetic monolith. Like queerness, for José, Freddy’s work is “something else.” I think there’s something else happening in Freddy’s work than “something else.” One reason has to do with the assumption of this so-called minimalist monolith. I don’t think that’s what Herko’s aesthetic, with its particular modes of excess, was refusing. Freddy also wasn’t alone in deploying camp: David Gordon, for one, took that tack. Freddy’s suicide does make me go back and read his “ornamented” dance pieces differently, though. That might not be fair. But as an artist, I do think there’s something to the idea of honoring a fellow artist’s full practice. And in this case it likely encompasses his suicide, so we have to talk about it, right?
KB: Absolutely.
YLC: But to what extent do we have to honor him, actually? In discussing him.
KB: Good question. For me the question right now in thinking about his suicide is does his suicide eclipse his oeuvre? The Italian Filmmaker, Pier Paolo Pasolini, said that death is the final editor—it makes us retrospectively reevaluate a person’s life—it attains this kind of crispness in death and I think this is definitely in effect in Herko’s case. My question still, though, is, does his death overshadow his body of work? Or, in some ways, because there is so little documentation of it—I keep thinking about Yvonne Rainer, you know, she’s got so little video documentation of her work from that period.
YLC: Well—
KB: —she told me once after a performance at Dia:Beacon that all the works from that period were lost. But perhaps you’ve seen some things that I haven’t seen!
YLC: But then does the saturation of documentation of Trio A, now in its many 21st-century manifestations, overpower the 1960s lack of documentation? We forget that there was no documentation then, you know?
KB: Yes, good point.
YLC: And certainly the Judson performances are chronicled in Jill Johnston’s writing, and others’—
KB: —of course, and Deborah Jowitt—but I am thinking about what Carrie Lambert-Beatty writes in Being Watched, about how our perceptions are informed by the photographic archive, and that we have to consider the double mediation from the work to the film, and back to live work again.
YLC: I’m curious about how Yvonne’s Hand Movieties in for you, especially given that it was post-Judson Dance Theater.
KB: Well Hand Movieis definitely well after Herko’s death—but there is an interesting connection between them. I was looking through the symposium program and Rainer and Herko shared concerts where it was just the two of them—I think in 1964. I’ve also been thinking about her so-called No Manifesto, which she of course later refuted—but. there are a few lines that stood out to me when considering Herko’s case: “No to transformations and make believe. No to the glamour transcendency of the star image. No to trash imagery. No to camp. No to eccentricity.” I’m rethinking to whom or to what she was responding, if Herko’s work might be somehow causal to the aesthetic stance she took. Herko was certainly not the only person that was working like this, but still considering his proximity to her, it is striking.
YLC: I’m so glad you brought that up. This is a question I actually want to ask Yvonne. It occurred to me as I was in class with my students and Barbara: the No Manifesto and Yvonne’s work in general are so often read as refusing previous dance traditions, as rejecting ballet, rejecting—
KB: —Cunningham.
YLC: Cunningham, but also Graham and other modern forms, but I guess most recently Cunningham. Although, Judson artists certainly took up Cunningham’s project in some ways, mostly via the Dunns [Judith and Robert], of course. But after looking at all the semester’s material I thought, Oh, is Yvonne actually talking about her contemporaries? Is the No Manifesto actually a side-eye toward other Judson artists, including Herko? Maybe especially Herko? I mean, what’s so funny about “no to trash imagery” is that the most striking, beautiful footage of Herko is him watering those trash cans in Elaine Summers’ film.
KB: Totally!
YLC: And so Herko lets us read the No Manifesto in a more nuanced way, and we can remember Yvonne wasn’t isolated within the Judson era. And that friction amongst your peers is a necessary part of art production.
KB: It sounds like, if anything, it makes those early Judson concerts sound even richer and not yet solidified into this conception of Judson postmodernism, but rather as a much more complicated and pluralistic aesthetic idea. The term post-modern is a contested idea. Susan Manning has really criticized Sally Bane’s use of the term, you know, whether you do it with a dash or not, and that postmodernism in dance does not line up with postmodernism in visual art.
YLC: Yes. Dance being out of time with the trajectory of visual art movements, and those being out of time with the progression of capitalism; modernism and modernity being misaligned, and now late modernity and postmodernism being misaligned. So what do you do with Herko, a figure who is out of space and time with dance, which is itself, as a discipline, out of space and time with art, which is struggling in late capitalism.
KB: Well that’s interesting how you just said that dance is a discipline outof space and time. The materials of dance are space and time, in a way. So is it made of space and time? Or how did you mean that? I’m curious.
YLC: In the way that José talks about Ernst Bloch’s formation of temporality, building on Marx. And I’m going to butcher this—
KB: —you’re not an Ernst Bloch scholar?
YLC: Ha, no.
KB: The surplus value produced by workers estranged from their labor and its transformation into the aesthetic right?
YLC: Right. But Bloch also talks about how people in different subject positions don’t just experience time differently in a perceptual way—they are literally in their own time, falling in or out of dominant time. Bloch draws those fault lines mostly around class and age. José brings in race, gender, sexuality, disability. He talks about “straight time” and the bodies that fall out of or slip away from that. It’s racialized bodies, it’s queer and trans bodies, it’s disabled bodies. Straight time isn’t just the heterosexual subject’s time; it’s the stand-in for this normative stricture that governs our lives within late capitalism.
KB: It’s the hegemonic time.
YLC: Yes. And he talks about a slowing or delay. And while queerness has been thought through as arrested development, José does something much more complex. It’s not just this slowing or delay, it’s something else where. He brings in space. Queer time has been worked on for a while now, but trans temporality has just begun to be theorized. José mentions transpeople but only in this laundry list of bodies that don’t fit into straight time. Transness is folded into queerness, but isn’t specifically articulated. In my own work I’ve been thinking through how time gets curvaceous. How it gets distorted. It’s not just a slowing, or being somewhere else in space-time, but there’s this bubbling, ballooning, that happens through suspension. Or the ballooning creates the suspension. That’s the image that helps me. It's not stretched laterally like taffy. Especially because now the slowing of time has all these new-age associations: Slow Food, appropriated versions of meditation and yoga, “slow down” in Papyrus typeface. You can get a clear idea of the marketing image. Slowing down is not so useful for me.
KB: Time is kind of commoditized.
YLC: Totally. Paradoxically, it's become about slowing down in order to more effectively and efficiently consume. Slowing time is super hip within visual art performance discourse right now. And aside from my aversion to the fashion of it, it’s not feeling like it has much political potential anymore. What do you think?
KB: About slow time? About slowing down? About just the temporal in general?
YLC: Any of it. How does it fit into your work?
KB: I mean, I’m interested in the spatio-temporal in terms of aesthetic materials. I’m very interested in the materiality of time and space and how one can crystallize that in a work. It’s really incredible when it functions and you’re able to perceive that—how a work can make one aware of time and space in a way that is not normally possible. The poetics of it I guess.
YLC: That’s interesting that you say crystallize because already that implies a kind of physical compression—doing something material tospace and time.
KB: Yes, I think it is. I saw this great piece by Anne Teresa de Keersmaeker/Rosas, called Vortex Temporum. In the piece, she has the dancers and musicians all playing musical instruments together as they slowly circulate around the stage—even the piano is moving. The musical group is called Ictus — fabulous musicians. And the whole thing was circling. At a certain point, the direction reverses and goes the other way. I had a moment there when I really started to understand what this activity was doing to time and space; I was seeing how this aesthetic production was kind of like [makes a screeching noise]. Through the arts, how one can tweak time and space and show that it is a malleable material in a way.
YLC: And one question I have, just in my own work and thinking, is, how can dance’s space-time distortion transcend its role as an experience that an artist is delivering for an audience member, within the parameters of the performance? And I'm not talking about expanding or changing those parameters, although that's one way to do it. So, the audience has this cool experience of time for an evening and then everyone goes home and everything’s as it was before. How can our work actually restructure the way we live? “We," including both artist and audience. I don’t know if art can or should necessarily do that, but it’s a helpful proposition for me.
KB: Well you’re pointing to the way that the arts are displaced from everyday life. They’re separate. In the visual arts, they’re in a highly commoditized realm, right? You know, sort of luxury goods, luxury market. Dance, not so. It still has resisted to some extent.
YLC: Well, it depends who you’re talking about.
KB: I guess the New York City Ballet.
YLC: Judson has currency. Is currency.
KB: It’s very complicated and really interesting to think about how experimental performance art—I mean, yeah—at some point resists commodification, and on the other hand, it is brought to the museum to increase foot traffic, to increase visitors, it’s got a real draw. It’s a real draw also for the object-based arts; it really enlivens them in many ways.
YLC: One frustration I have with the way performance is often curated in a visual art context is how it’s just brought in to enhance your experience of the saleable works. Performance is called upon in “activating the space,” or, “activating the objects,” or, what did you say, “enhancing”?
KB: Enlivening.
YLC: Enlivening! Yes. This idea that performance provides an ultra-sensorial experience that awakens us to consume better. I told my students last week in class—and this is all hearsay because I wasn’t even at this talk—but there was this performance symposium at MoMA few years ago where Judith Butler and Shannon Jackson were delivering the keynote. I guess, in response to a question about the role of performance now, Judith Butler talked about the “de-deadening of the senses.” David Velasco found that interesting and wrote me about it, but I misread his text as saying the “ deadeningof the senses.” I was so excited because that sounded like an antidote to all of this yoga talk around being “totally present” and awake and alive in “in the moment”. Coming back to José: he’s talking about the “here and now” is a normative constraint—he actually calls it a “prison house.” He says we need to be thinking, feeling, a "then and there”. There’s a built-in rejection of this impetus to “be present.” Dance pedagogy pressures us to be “in our bodies.” This has a built-in temporality wrapped up in the present, so it really means, “be in your body in the here and now.” Coming from my perspective as a trans person and my investment in disability studies and crip theory, I find this directive to be incredibly oppressive. It can only really address certain dominant subject positions. But anyway, with my misread of “de-deadening of the senses,” I was thinking, Oh! Judith Butler is talking about a retreat from being the best-sensing organism possible. Here I thought she was valuing degeneration or sensory shutdown. Or getting deader.
KB: It’s really interesting how you sketched that out—how you think about the body and these unrealistic and counterintuitive expectations for our senses—and how we force ourselves into the temporal embodiment of these individualized, atomic, separated bodies. One way that I’ve come to understand the body is how it is constituted by the social, how our conceptions of the body are socially and historically constructed. The historicity of the body—this is how Dominic Johnson frames Herko’s suicide in Modern Death.And bringing this back to Herko—I don’t know if you had any thoughts on this—but this idea of Herko as a balletic presence within Judson.
YLC: That is exactly what I wanted to talk about!
KB: And what about that? That is a very strong position he was taking amidst the everyday aesthetics of his Judson colleagues.
KB: The film that we saw at the symposium where he was dancing with Jill Johnston— Jill and Freddy Dancing[1963, Andy Warhol].. He is doing tours en l ’air, and chassésto a perfect fifth position. He’s not at all trying notto do that. He is totally embracing his ready-made ballet dance vocabulary. I’m thinking of the Raindeers, Yvonne Rainer’s current company, and Emily—
YLC: —Emily Coates.
KB: Emily Coates brings in the use of this ready-made ballet genre to Yvonne’s more recent work. In a way, he was also embodying that.
YLC: And it didn’t feel completely parodic. At least in the glimpses we have in Jill and Freddy Dancing, his ballet dancing feels pretty sincere. There’s a wink, definitely, but we can detect a kind of love for the form. I could be projecting. Another thing: in José’s essay, when he quotes Steve Paxton, or "Bill Paxton"—
KB: Which I still don’t fully understand
YLC: I really love that typo, so much.
KB: Is it a typo?
YLC: It’s an oversight that I think is great. So, Paxton says about Herko’s work, “You would get some ballet movement, none of it with very high energy.” This is what interests me most in Herko’s dances. Low-energy ballet. It’s a really exciting proposition, as a kind of resistance. Deflation. Evacuation. Maybe even disembodiment. These can be queer strategies too. They’re certainly trans survival strategies. I’m more compelled by this formal choice of Herko’s than the camp and ornamentation and flamboyance that José foregrounds.
KB: This makes me think of the complete reduction and decomposition of the balletic form in [William] Forsythe’s Decreation[2003] as the kind of end to this trajectory launched by Herko — he appears to have been absolutely contemporary in that way. But I didn’t mean to interrupt you. What does Paxton say after that? Because I’m also thinking about Paxton—and different queer strategies taken up by Herko vis à vis Paxton. Does he mention camp?
YLC: In the first sentence of the quote, “It seemed very campy and self-conscious, which wasn’t at all my interest.” My last point about the low-energy ballet is just about Freddy Herko being pre-queer or proto-queer, before the onset of the gay liberation movement. José talks about this at the end of his essay, which is so gorgeous and devastating and—just drops off. That last page gives me chills. His final sentence: “Would being gay have made his utopian and vexed queerness any easier or more painful?” The fact that Herko’s not-yet-gay makes him queerer and more contemporary, in the way that queerness is other than mainstream gay political strategy. And “not-yet” is endemic to queerness anyhow, says José.
KB: Also, this proto-queerness that you mention, this ballet dancer descending from the more elite uptown to a more decrepit downtown, this low energy ballet—Herko’s got this one piece Once or Twice a Week I Put on Sneakers to Go Uptown [1962]that highlights this interesting uptown/downtown tension, and I think there was a lot at stake for him in the transgresssive movement from uptown to downtown.
YLC: Right. I’m just thinking of how we organize uptown and downtown dance today and how there’s this kind of nebulous category that was encapsulated by Dance New Amsterdam [a dance studio formerly operating in lower Manhattan], rest in peace. DNA was a hub for this dance sensibility that’s not quite uptown or downtown, and I wonder if Freddy would have been engaged with that.
KB: That’s a good question. I’m just reflecting on this film with Jill Johnston and Herko and wondering if predates a kind of disdain for ballet as an elite uptown form. It seems like it was no problem that Freddy was arabesqueing about or chasséing in fifth position. It’s almost as if everything was allowed and novel in a way. I wonder if these kinds of positions between uptown and downtown dance were just forming then.
YLC: Yeah. Doesn’t that film feel like it could have been shot at an AUNTS evening today?
KB: Absolutely.
YLC: On a rooftop in Bushwick.
KB: What do you think about the camp aspect?
YLC: First, I think it’s maybe a misnomer. Too often, the work of queer artists is pigeon-holed in the domain of camp, even if it’s not their intention. I’m thinking of Susan Sontag’s essay.
KB: Yes —her Notes on Camp—these are a dense proposition. I pulled one quote which I thought worked for us, which is: “camp, any sensibility which can’t be crammed into the mold of a system, something that can’t be hardened into an idea”. Sontag seems to be saying that camp resists reification; it’s a very protean thing, very shape-changing in a way. And when I think about the force of the minimalist aesthetic, it seems to really have taken a kind of priority at Judson and then I think about—
YLC: —could we pause for a moment on “minimalist”? One thing that gets to me is the way it isn’t correctly transposed.
KB: From object arts to performance arts?
YLC: Yeah.
YLC: Yeah. Well just that capital “M” Minimalism within visual art is a discrete art movement with discipline-specific characteristics. The word “minimalism” doesn’t easily move from that context to dance and mean similar things. It can’t map onto dance as a neat transposition.
KB: This is something that I’m interesting in within aesthetics—how the same concepts and ideas play out in different media.
YLC: Using this same word across disciplines ignores the specificity of the different disciplines’ toolboxes. Many so-called Minimalist sculptors have rejected that word, which art historians applied retroactively. Within music, Phillip Glass says, “I’m not a minimalist composer. I make repeating structures.” And yet, every fourth New Sounds broadcast announces, “Today’s show features minimalist piano works.” Which is essentially Phillip Glass and friends. It’s now accepted as both a form and genre. When I think of the genres that Judson Dance Theater initiated, there are all these ways of working now that have been dislodged from their parent decade. “Task-based” is something that is no longer specific to the 60s—it’s a way of working that anyone can take up now. Working with tasks is just one of many things you can choose from as a dancemaker today, and if you decide to do something task-based it doesn’t mean you’re necessarily quoting Judson. Anyhow, I think we should uncouple “minimalist” and “postmodern” in dance, don’t you think? They’re often said in one breath without any interrogation
KB: I think so yes—minimalism is one among many aesthetic propositions within dance postmodernism that in effect let everything in and allowed it to be seen as dance.
YLC: Well, pastiche!
KB: Pastiche, right. From what I understand the pastiche comes in later as second stage postmodernism. And the first stage of postmodernism within dance history seems to have tended towards the minimal, the body as material, task-based operations and working with objects.
YLC: Fantastic Gardens[film by Elaine Summers, 1964] involves pastiche, though.
KB: That’s true. Stunning film!
YLC: Just one last thought. Coming back to the Derridian trace and how we interpret Herko’s traces; how it’s obviously impossible to read José’s work on Herko without acknowledging José’s death and this essay being one of his traces—albeit a very robust trace—how that makes me think through Herko differently, how I read this essay differently when José was alive than when I read it now—and how their deaths are kind of paired. What that means, I don’t know. I’m still figuring it out.
KB: Well it’s quite recent also. I did not know José.
YLC: He was on my thesis committee when I graduated from Columbia. I had asked him to be on it during a performance and choreographed that proposal. But you know, I was obviously not nearly as close to him as were a lot of NYU students and his colleagues in the Performance Studies department. It’s a heavy thing to be teaching there now and feel the grief of that department; it’s palpable. His absence is really felt right now. It’s weird to read about utopia with this—sadness. And I think that people are misreading his work because of it too. There’s a kind of romanticizing of José’s utopianism that’s happening: a misreading of it as optimism, which is different than utopian thinking. Utopian thinking is politically strategic instead of again, this new-age, “everything will be just fine,” self-help modality, which breeds complicity.
KB: So, optimism as a kind of denial whereas a utopian vision is more politically strategic in that you’re voicing this alternative future.
YLC: And he talks about the difference between optimism and hope. As we celebrate José’s life and work, we have to hold on to his own sadness too, and not flatten the complexities of his writing. His own ambivalence is an important part of his work—his book isn’t just a manifesto. And—I think I’m going to end on that.
KB: There’s this tragic rhythm from Herko’s death to José’s death and the fact that we’re looking at them both now is quite remarkable.
Fred Herko: A Crash Course
was co-presented by the department of Performance Studies (NYU), the Tisch Institute for Creative Research, Women & Performance: a journal of feminist theory and the Goethe-Institut New York, with associated programming provided by New York Performing Artists Collective.
Filed under:
Conversations
Keywords: Fred Herko, Judson Dance Theater, Kyle Bukhari, queer performance, The Herko Dialogues, Yve Laris Cohen
| https://movementresearch.org/publications/critical-correspondence/the-herko-dialogues-kyle-bukhari-and-yve-laris-cohen-in-conversation |
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Here is the list of the hotels near Réotier. Book your hotel near Réotier today, Saturday 24 June
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To help you find available hotels, you can follow these links to check the list of hotels in nearby towns of Réotier :
- hotels near Mont-Dauphin : town located at 2.29 km
- hotels near Saint-Clément-sur-Durance : town located at 2.73 km
- hotels near Eygliers : town located at 3.16 km
- hotels near Saint-Crépin : town located at 4.18 km
- hotels near Risoul : town located at 4.26 km
- hotels near Guillestre : town located at 4.55 km
- hotels near Champcella : town located at 6.14 km
- hotels near Châteauroux-les-Alpes : town located at 8.56 km
- hotels near La Roche-de-Rame : town located at 8.78 km
- hotels near Vars : town located at 9.96 km
- hotels near Freissinières : town located at 10.35 km
To help you choose your destination as well as the place of the hotel here is:
- pictures of Réotier : photo Réotier
- the map of Réotier : map Réotier
- the road map of Réotier : road map Réotier
Below here is the list the 50 closest hotels of Réotier, sortable according your criteria. You will find the position of these accommodations on the
Reotier hotels map .
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L'Auberge d'Eygliers
Hotel Eygliers
L'Auberge d'Eygliers is located in Eygliers, part of the Queyras Regional Nature Park, and on the edge of the Ecrins Regional Nature Park. The Montdauphin Fortress, a UNESCO world heritage site, is just a 5-minute drive from the property. This hotel is equipped for guests with a hearing or visual impairment. The rooms are soundproofed and offer free WiFi access. The private bathrooms come with a shower. A continental breakfast is served each morning, and a gourmet breakfast is also possible upon reservation. The meals are prepared by the chef Marcel with fresh and local produce. Guests can also enjoy homemade organic cocktails in the hotel’s bar. At L'Auberge d'Eygliers you will find an ayurvedic massage service. Other facilities offered include meeting facilities. The property provides free private parking, a motorbike garage and ski storage. It is a 25-minute drive from Risoul Ski Station. Montdauphin - Guillestre Train Station is 300 metres away.
Price : from 58.50 € to 94.00 €
Hotel Réotier :
Address : Quartier de la gare 05600 Eygliers
Distance on map, Hotel - Réotier : 1.78 kilometers
Number of room : 11
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Hôtel Lacour
Hotel Eygliers
At the foot of Montdauphin Fort, Hôtel Lacour is located only 50 metres from Montdauphin-Guillestre Train Station. Vars Ski Station is a 35-minute drive away and Risoul Ski Station is a 20-minute drive away. Each room features free Wi-Fi access, a TV with cable channels and the majority have a private bathroom. The brasserie-style restaurant is open each lunch and evening and offers traditional cuisine with a large choice of wines. The Hotel Lacour offers a garden, meeting room and free private parking on site. Hiking is possible in the area and ski shuttles depart from the hotel to take guests to the ski stations.
Prices : from 63.00 € to 105.00 €
Hotel Réotier :
Location : Rn 94 Mont-Dauphin Gare 05600 Eygliers
Route on map, Hotel - Réotier : 1.79 kilometer
Number of rooms : 46
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Holiday Home & Spa - Le Rendez Vous de Vauban
Guest accommodation Mont-Dauphin
Located in Mont-Dauphin, Le Rendez Vous de Vauban is 6 km from Risoul. It offers a hot tub, a steam bath and self-catering cottages with free Wi-Fi access. A fitness room is also available. Each cottage at Le Rendez Vous de Vauban offers a washing machine, a seating are and a bathroom with a shower or a spa bath. They provide views of the Massif des Écrins. A kitchen with a fridge, an oven and a stove is included in each cottage. There is also a coffee machine, kitchenware and a microwave. Guests can go hiking, skiing and horse riding in the area and free public parking is available on site.
Guest accommodation Réotier :
Address : Place de l'Arsenal 05600 Mont-Dauphin
Distance on map between hotel and center of Réotier : 2.29 km
Room in hotel : 2
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Gite-Auberge Le Glacier Bleu
Guest accommodation Mont-Dauphin
Offering a children's playground and ski storage space, Gite-Auberge Le Glacier Bleu is set in the walled city of Mont-Dauphin in the Provence-Alpes-Côte d'Azur Region, 38 km from Sestriere. Guests can enjoy the on-site restaurant. Every room has a private bathroom fitted with a shower. Gite-Auberge Le Glacier Bleu features free WiFi . You will find a gift shop at the property. The area is popular for skiing and horse riding. The guest house also offers bike hire. Bardonecchia is 46 km from Gite-Auberge Le Glacier Bleu, while Pra-Loup is 33 km away.
Price : from 72.00 € to 84.00 €
Guest accommodation Réotier :
Location : Rue Catinat 05600 Mont-Dauphin
Distance between hotel and center of Réotier : 2.31 kms
Rooms in hotel : 1
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Auberge de L'Echauguette
Hotel Mont-Dauphin
The Auberge de l'Echaugette is located in the heart of the Vauban citadel in the Hautes Alpes region. The inn offers free Wi-Fi access and a traditional restaurant offering regional cuisine. Each guest room has its own theme and all rooms are comfortable and soundproofed. The Auberge de l'Echaugette is set in wooded mountains that extend to the borders of the Guil and Durance valleys, close to many ski stations including Vars, Serre Chevalier and Puy St. Vincent. In the summer, there are many sporting activities nearby, such as waterskiing, whitewater rafting, rock climbing, aviation, cycling and hiking.
Prices : from 70.00 € to 185.00 €
Hotel Réotier :
Address : Catinat 05600 Mont-Dauphin
Distance on map, Hotel - Réotier : 2.31 kilometers
Number of room : 13
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Le Pavillon des Officiers
Guest accommodation Mont-Dauphin
Located in Mont-Dauphin, Le Pavillon des Officiers offers self-catering accommodation. Guests have use of a shared garden and a patio with mountain views. All apartments include a dining area and a TV. There is a fully-equipped kitchen with a microwave, a stovetop and a refrigerator. The private bathroom comes with a shower. Activities in the surrounding area include cycling and hiking. The property is located between the Ecrins National Park and the Queyras Natural Regional Park. Le Pavillon des Officiers is situated 17 km from Risoul Ski School and 21 km from Vars Ski School. Grenoble Airport is 190 km from the property.
Guest accommodation Réotier :
Location : Place Forte Vauban 05600 Mont-Dauphin
Route on map, Hotel - Réotier : 2.33 kilometer
Number of rooms : 17
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La Bourrassee
Bed and Breakfast Saint-Clément sur Durance
Situated in Saint-Clément sur Durance, La Bourrassee features accommodation with a balcony and free WiFi. The accommodation is 25 km from Vars. The bed and breakfast includes a kitchen with a dishwasher and an oven, as well as a coffee machine. A continental breakfast is served every morning at the property. The bed and breakfast offers a barbecue. Skiing and horse riding can be enjoyed nearby. Briançon is 39 km from La Bourrassee.
Bed and Breakfast Réotier :
Address : Hameau les Clots 05600 Saint-Clément sur Durance
Distance on map between hotel and center of Réotier : 2.77 km
Room in hotel : 3
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La Source Chambres d'hôtes et gîtes
Bed and Breakfast Risoul
Set in a renovated farmhouse with a small garden, this guest house offers views of Mont Dauphin and the Ecrins Mountains. Risoul ski resort is 12 km away and a continental breakfast is prepared daily. A mountain or garden view and antique furniture are offered in the guest rooms and free Wi-Fi access is provided. The kitchen includes an oven, microwave and a fridge-freezer. Breakfast is available for guests staying in the guest rooms. Mont Dauphin Train Station is 5 km from this guest house and you can travel to Lake Serre-Ponçon, 15 km away. In winter, there is a free shuttle service to take you to Risoul ski resort, 25 minutes away.
Prices : from 85.00 € to 145.00 €
Bed and Breakfast Réotier :
Location : Quartier Chauvet 05600 Risoul
Distance between hotel and center of Réotier : 3.03 kms
Rooms in hotel : 4
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Gîtes La Source
Apartment Chauvet
Featuring free WiFi and mountain views, Gîtes La Source offers accommodation set in a renovated farmhouse in Chauvet. Sestriere is 39 km away. Free private parking is available on site. All units have a seating area. Some units include a terrace and/or balcony. There is also a kitchen, fitted with a dishwasher, microwave and fridge. Each holiday home features a private bathroom. Bardonecchia is 48 km from Gîtes La Source.
Apartment Réotier :
Address : HAMEAU DE CHAUVET 05600 Chauvet
Distance on map, Hotel - Réotier : 3.04 kilometers
Number of room : 1
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Camping Saint James
Guest accommodation Guillestre
Camping Saint James offers self-catering accommodation set in a wood just a 1 km from Queyras Natural Regional Park and 18 km from Serre Ponçon lake. It features a playground area for children and free, private parking on site. All mobile homes and chalets have a garden and a private terrace. Each has a living area with an equipped kitchenette including a coffee machine, a stove and a microwave or an oven. There is also a private bathroom with a bath or shower. WiFi access is available in all rooms at an extra cost. In summer, an area reserved for ball games is provided, and entertainment staff are on site. Hiking trips can be organised, amongst other activities such as canyoning, rafting and rock-climbing. You will find a supermarket and restaurant just 1 km away, and Guillestre Train Station is 3 km away.
Price : from 90.00 € to 93.00 €
Guest accommodation Réotier :
Location : D902a route des campings 05600 Guillestre
Route on map, Hotel - Réotier : 3.36 kilometer
Number of rooms : 10
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La Rochette
Guest accommodation Guillestre
Situated in Guillestre, La Rochette provides accommodation with free WiFi and seating area. The units provide views of the mountain and come with a washing machine, a fully equipped kitchenette, and a shared bathroom with free toiletries and a hair dryer. An oven and microwave are also available, as well as a coffee machine. A continental breakfast is served each morning at the property. The campsite offers a terrace. Guests can relax in the garden at the property. Sestriere is 38 km from La Rochette.
Guest accommodation Réotier :
Address : route des campings 05600 Guillestre
Distance on map between hotel and center of Réotier : 3.68 km
Room in hotel : 7
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Apartment Villaret
Apartment Risoul
Apartment Villaret is set in Risoul, 3.2 km from Tk Orée du Bois. Risoul 1850 Ski School is 3.3 km away. The accommodation features a TV. There is also a kitchen, equipped with a dishwasher. Every unit is fitted with a private bathroom with a bath and free toiletries. TS Mélezets is 3.4 km from Apartment Villaret, while TK Melezet 1 is 3.4 km from the property.
Apartment Réotier :
Location : VILLARET I Appartement N°116 05600 Risoul
Distance between hotel and center of Réotier : 3.82 kms
Rooms in hotel : 3
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Apartment Villaret
Apartment Risoul
Apartment Villaret is an apartment situated in Risoul, 3.2 km from Tk Orée du Bois. The unit is 3.3 km from Risoul 1850 Ski School. The kitchen is fitted with an oven. A TV is featured. There is a private bathroom with a bath. TS Mélezets is 3.4 km from Apartment Villaret, while TK Melezet 1 is 3.4 km away.
Apartment Réotier :
Address : VILLARET II Apparetement n°31 05600 Risoul
Distance on map, Hotel - Réotier : 3.82 kilometers
Number of room : 1
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Apartment Villaret
Apartment Risoul
Set in Risoul, Apartment Villaret is 3.2 km from Tk Orée du Bois. Risoul 1850 Ski School is 3.3 km from the property. The accommodation is fitted with a TV. There is also a kitchen, fitted with an oven. Every unit features a private bathroom with a bath. TS Mélezets is 3.4 km from Apartment Villaret, while TK Melezet 1 is 3.4 km away.
Apartment Réotier :
Location : VILLARET II 05600 Risoul
Route on map, Hotel - Réotier : 3.82 kilometer
Number of rooms : 2
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Apartment Villaret
Apartment Risoul
Apartment Villaret is situated in Risoul, 3.2 km from Tk Orée du Bois. Risoul 1850 Ski School is 3.3 km from the property. The accommodation is fitted with a TV. All units feature a kitchen equipped with a microwave and fridge. There is a private bathroom with a bath in every unit. TS Mélezets is 3.4 km from Apartment Villaret.
Apartment Réotier :
Address : VILLARET I 05600 Risoul
Distance on map between hotel and center of Réotier : 3.82 km
Room in hotel : 3
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Apartment Villaret
Apartment Risoul
Set 3.2 km from Tk Orée du Bois and 3.3 km from Risoul 1850 Ski School, Apartment Villaret offers accommodation in Risoul. The apartment is 3.4 km from TS Mélezets. The kitchen comes with an oven and a microwave. A TV is provided. There is a private bathroom with a bath. TK Melezet 1 is 3.4 km from Apartment Villaret, while TS Cézier is 3.4 km away.
Apartment Réotier :
Location : VILLARET II RISOUL1850 05600 Risoul
Distance between hotel and center of Réotier : 3.82 kms
Rooms in hotel : 1
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La Bonne Auberge
Hotel Risoul
Overlooking the Ecrins mountain range, La Bonne Auberge is located in the Queyras Valley, 15 minutes from the Risoul ski station. It offers a seasonal outdoor swimming pool and spacious rooms with private bathrooms. La Bonne Auberge has its own restaurant, which serves regional cuisine made from fresh local produce. Meals can be enjoyed on the outdoor terrace. During winter a free shuttle service is available 200 metres from the property and can take you to the ski slopes. Additional facilities include a playground, a library, a games room with pool table and free-use bicycles. In the surrounding area of La Bonne Auberge, guests can enjoy canyoning, rafting, mountain biking and hiking.
Prices : from 65.00 € to 100.00 €
Hotel Réotier :
Address : La Rua 05600 Risoul
Distance on map, Hotel - Réotier : 4.00 kilometers
Number of room : 25
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L'Horizon
Apartment Risoul
L'Horizon is located in Risoul, 9 km from Cretes, 9 km from TS Mélezet, as well as 9 km from TK Melezet 1. The apartment is 9 km from TS Césier. Situated on the ground floor, this apartment is fitted with with 1 bedroom, a well-equipped kitchen, a living room, and a flat-screen TV. Clos Fournier is 9 km from L'Horizon.
Rate : from 80.00 €
Apartment Réotier :
Location : appartement n°1 résidence l'Horizon Gaudissard Bas 05600 Risoul
Route on map, Hotel - Réotier : 4.02 kilometer
Number of rooms : 1
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Alpineaccomodation
Apartment Guillestre
Featuring free WiFi throughout the property, Alpineaccomodation is located in Guillestre, 35 km from Briançon, and offers mountain views. Free private parking is available on site. The accommodation features a seating area. Some units include a balcony and/or patio. There is also a kitchen, equipped with a dishwasher, oven and fridge. A stovetop and coffee machine are also featured. Each unit is fitted with a private bathroom with a shower. A selection of activities are offered in the area, such as cycling, skiing, horse riding, climbing and mountaineering. Vars is 15 km away, while Les Orres is 32 km from the property. Serre Chevalier is 49 km from the property.
Apartment Réotier :
Address : rue auguste chastan 16 05600 Guillestre
Distance on map between hotel and center of Réotier : 4.06 km
Room in hotel : 4
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Apartment Le serre de chanteloube
Apartment Saint-Crépin
Apartment Le serre de chanteloube is set in Saint-Crépin and offers barbecue facilities. The property has garden views and is 24 km from Vars. This apartment comes with a kitchen, a seating area, and a satellite TV. Briançon is 28 km from the apartment, while Risoul is 11 km from the property.
Prices : from 324.88 €
Apartment Réotier :
Location : Le serre de chanteloube 05600 Saint-Crépin
Distance between hotel and center of Réotier : 4.06 kms
Rooms in hotel : 1
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B&B et Apartments Moulin du Martinet
Bed and Breakfast Guillestre
Situated in Guillestre, B&B et Apartments Moulin du Martinet offers accommodation with free WiFi and flat-screen TV, as well as a garden. Each unit comes with a microwave, toaster, a coffee machine, as well as a fridge and kettle. There is also a kitchen in some of the units equipped with a dishwasher. A continental breakfast is served daily at the property. The bed and breakfast offers a terrace. A a ski pass sales point is available on site and skiing can be enjoyed within close proximity of B&B et Apartments Moulin du Martinet. Vars is 15 km from the accommodation, while Briançon is 34 km away.
Rate : from 70.00 € to 80.00 €
Bed and Breakfast Réotier :
Address : 2 Chemin du moulin blanc 05600 Guillestre
Distance on map, Hotel - Réotier : 4.07 kilometers
Number of room : 3
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Apartment Florins
Apartment Risoul
Located in Risoul, Apartment Florins is 3.1 km from Tk Orée du Bois. Risoul 1850 Ski School is 3.2 km away. The accommodation is fitted with a TV. There is also a kitchen, equipped with a dishwasher. There is a private bathroom with free toiletries in every unit. TS Cézier is 3.3 km from Apartment Florins, while TS Mélezets is 3.4 km from the property.
Apartment Réotier :
Location : FLORINS I 05600 Risoul
Route on map, Hotel - Réotier : 4.09 kilometer
Number of rooms : 3
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Apartment Clématites
Apartment Risoul
Apartment Clématites offers accommodation in Risoul. Tk Orée du Bois is 3.1 km away. The accommodation comes with a TV. There is also a kitchen, equipped with a dishwasher. There is a private bathroom with a bath in every unit. Risoul 1850 Ski School is 3.2 km from Apartment Clématites, while TS Cézier is 3.3 km from the property.
Apartment Réotier :
Address : CLEMATITES C 05600 Risoul
Distance on map between hotel and center of Réotier : 4.09 km
Room in hotel : 2
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Apartment Florins
Apartment Risoul
Apartment Florins offers accommodation in Risoul, 3.1 km from Tk Orée du Bois. The unit is 3.2 km from Risoul 1850 Ski School. The kitchen has an oven. A TV is featured. There is a private bathroom with a bath. TS Cézier is 3.3 km from Apartment Florins, while TS Mélezets is 3.4 km from the property.
Apartment Réotier :
Location : FLORINS II Appartement N° 45 05600 Risoul
Distance between hotel and center of Réotier : 4.09 kms
Rooms in hotel : 1
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Apartment Florins
Apartment Risoul
Apartment Florins is an apartment set in Risoul, 3.1 km from Tk Orée du Bois. The unit is 3.2 km from Risoul 1850 Ski School. The unit is fitted with a kitchen. TS Cézier is 3.3 km from Apartment Florins, while TS Mélezets is 3.4 km from the property.
Apartment Réotier :
Address : FLORINS II Appartement N°12 05600 Risoul
Distance on map, Hotel - Réotier : 4.09 kilometers
Number of room : 1
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Apartment Florins
Apartment Risoul
Apartment Florins is an apartment located in Risoul, 3.1 km from Tk Orée du Bois. Guests benefit from balcony. The kitchen is fitted with a dishwasher and an oven and there is a private bathroom. A TV is provided. Risoul 1850 Ski School is 3.2 km from Apartment Florins, while TS Cézier is 3.3 km from the property.
Apartment Réotier :
Location : FLORINS II Appartement N°53 05600 Risoul
Route on map, Hotel - Réotier : 4.09 kilometer
Number of rooms : 1
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Apartment Florins
Apartment Risoul
Set 3.1 km from Tk Orée du Bois and 3.2 km from Risoul 1850 Ski School, Apartment Florins features accommodation in Risoul. All units are equipped with a TV and a fully equipped kitchen with a dishwasher. TS Cézier is 3.3 km from the apartment. The nearest airport is Barcelonnette - Saint-Pons Airport, 29 km from the property.
Apartment Réotier :
Address : FLORINS I 05600 Risoul
Distance on map between hotel and center of Réotier : 4.09 km
Room in hotel : 3
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Apartment Route du Villard
Apartment Saint-Crépin
Offering free WiFi and garden views, Apartment Route du Villard is an accommodation set in Saint-Crépin. Guests staying at this apartment have access to a fully equipped kitchen. The apartment includes 1 bedroom and a living room with a TV and a DVD player. The apartment offers a barbecue. Vars is 24 km from Apartment Route du Villard.
Price : from 362.87 €
Apartment Réotier :
Location : Route du Villard 05600 Saint-Crépin
Distance between hotel and center of Réotier : 4.09 kms
Rooms in hotel : 1
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Chalet La Rua
Guest accommodation Risoul
Chalet La Rua is situated in the Risoul Village district of Risoul, 12 km from Cretes, 12 km from TS Mélezet and 12 km from TK Melezet 1. The TS Clos du Vallon is within 12 km of the chalet. This chalet is equipped with 3 bedrooms, a living room and a fully equipped kitchen. A TV and DVD player are featured. The chalet offers a barbecue. TS Césier is 12 km from Chalet La Rua, while Clos Fournier is 12 km away.
Prices : from 605.22 €
Guest accommodation Réotier :
Address : 5 La Rua 05600 Risoul
Distance on map, Hotel - Réotier : 4.11 kilometers
Number of room : 1
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Apartment Cimbro
Apartment Risoul
Set in Risoul, Apartment Cimbro is 2.8 km from Tk Orée du Bois. Risoul 1850 Ski School is 2.9 km from the property. All units feature a TV. There is also a kitchen, fitted with a dishwasher. Each unit is fitted with a private bathroom with free toiletries. TS Cézier is 3 km from Apartment Cimbro.
Apartment Réotier :
Location : CIMBRO II 05600 Risoul
Route on map, Hotel - Réotier : 4.14 kilometer
Number of rooms : 3
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Apartment Soldanelles
Apartment Risoul
Set in Risoul, this apartment is 2.8 km from Tk Orée du Bois. Guests benefit from balcony. The unit is equipped with a kitchen. A TV is featured. There is a private bathroom with a bath. Risoul 1850 Ski School is 2.9 km from Apartment Soldanelles, while TS Cézier is 3 km away.
Apartment Réotier :
Address : SOLDANELLES Appartement N°43 05600 Risoul
Distance on map between hotel and center of Réotier : 4.14 km
Room in hotel : 1
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Apartment Clarines
Apartment Risoul
Apartment Clarines offers accommodation in Risoul. The apartment is 2.8 km from Tk Orée du Bois. The kitchen comes with a microwave and there is a private bathroom. A TV is available. Risoul 1850 Ski School is 2.9 km from Apartment Clarines, while TS Cézier is 3 km from the property.
Apartment Réotier :
Location : CLARINES B2 Appartement 335 05600 Risoul
Distance between hotel and center of Réotier : 4.14 kms
Rooms in hotel : 1
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Apartment Diamant
Apartment Risoul
Located 2.8 km from Tk Orée du Bois, Apartment Diamant offers accommodation in Risoul. The apartment is 2.9 km from Risoul 1850 Ski School. The kitchen is fitted with a dishwasher and a microwave and there is a private bathroom. A TV is provided. TS Cézier is 3 km from Apartment Diamant, while TS Mélezets is 3.1 km away.
Apartment Réotier :
Address : DIAMANT C Appartement 71 05600 Risoul
Distance on map, Hotel - Réotier : 4.14 kilometers
Number of room : 1
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Apartment Pégase
Apartment Risoul
Apartment Pégase is set in Risoul, 2.8 km from Tk Orée du Bois. Risoul 1850 Ski School is 2.9 km away. All units feature a TV. All units have a kitchen fitted with a dishwasher and oven. Every unit is fitted with a private bathroom with free toiletries. TS Cézier is 3 km from Apartment Pégase, while TS Mélezets is 3.1 km from the property.
Apartment Réotier :
Location : PEGASE 60 05600 Risoul
Route on map, Hotel - Réotier : 4.14 kilometer
Number of rooms : 2
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Apartment Cimbro 1
Apartment Risoul
Set within 2.8 km of Tk Orée du Bois and 2.9 km of Risoul 1850 Ski School in Risoul, Apartment Cimbro 1 offers accommodation with a kitchen. Fitted with a balcony, the units feature a TV and a private bathroom with bath. TS Cézier is 3 km from the apartment, while TS Mélezets is 3.1 km from the property. The nearest airport is Barcelonnette - Saint-Pons Airport, 29 km from the property.
Apartment Réotier :
Address : CIMBRO II 05600 Risoul
Distance on map between hotel and center of Réotier : 4.14 km
Room in hotel : 2
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Apartment Chamois 1
Apartment Risoul
Set 2.8 km from Tk Orée du Bois and 2.9 km from Risoul 1850 Ski School, Apartment Chamois 1 features accommodation situated in Risoul. Guests staying at this apartment have access to a balcony. The apartment boasts a TV, a well-equipped kitchen with an oven and a microwave, and a bathroom with a bath. TS Cézier is 3 km from Apartment Chamois 1. The nearest airport is Barcelonnette - Saint-Pons Airport, 29 km from the property.
Apartment Réotier :
Location : CHAMOIS 05600 Risoul
Distance between hotel and center of Réotier : 4.14 kms
Rooms in hotel : 1
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Apartment Clarines
Apartment Risoul
Apartment Clarines offers accommodation in Risoul, 2.8 km from Tk Orée du Bois and 2.9 km from Risoul 1850 Ski School. The unit is 3 km from TS Cézier. A dishwasher, an oven and a microwave can be found in the kitchen. A TV is provided. There is a private bathroom with a bath. TS Mélezets is 3.1 km from Apartment Clarines, while TK Melezet 1 is 3.1 km away.
Apartment Réotier :
Address : CLARINES B2 05600 Risoul
Distance on map, Hotel - Réotier : 4.14 kilometers
Number of room : 1
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Apartment Diamant
Apartment Risoul
Located 2.8 km from Tk Orée du Bois and 2.9 km from Risoul 1850 Ski School, Apartment Diamant offers accommodation in Risoul. The unit is 3 km from TS Cézier. The kitchen features an oven and there is a private bathroom. A TV is offered. TS Mélezets is 3.1 km from Apartment Diamant, while TK Melezet 1 is 3.1 km from the property.
Apartment Réotier :
Location : DIAMANT C Appartement 73 05600 Risoul
Route on map, Hotel - Réotier : 4.14 kilometer
Number of rooms : 1
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Apartment Edelweiss
Apartment Risoul
Located 2.8 km from Tk Orée du Bois, Apartment Edelweiss offers accommodation in Risoul. The unit is 2.9 km from Risoul 1850 Ski School. The kitchen has an oven. A TV is available. There is a private bathroom with a bath. TS Cézier is 3 km from Apartment Edelweiss, while TS Mélezets is 3.1 km from the property.
Apartment Réotier :
Address : EDELWEISS B Centre station 05600 Risoul
Distance on map between hotel and center of Réotier : 4.14 km
Room in hotel : 1
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Hotel Restaurant Les Barnieres
Hotel Guillestre
Located 500 metres from the centre of Guillestre, Hotel Restaurant Les Barnieres offers an outdoor swimming pool, a tennis court, a tennis table and a terrace with panoramic mountain views. It also features a bar and an on-site restaurant. All of the rooms at Hotel Restaurant Les Barnieres have wooden furniture, mountain views and a flat-screen TV. Each room also includes a private bathroom with a bath. A buffet breakfast with hot drinks, jams, ham and cereals is served daily in the communal lounge. The hotel’s restaurant offers traditional dishes from the region for lunch and dinner. Free Wi-Fi is provided in public areas, at Hotel Restaurant Les Barnieres. Free private parking is possible on site and the Lake Serre-Ponçon is 18 km from the hotel. Several activities are available in summer, such as rafting, climbing, horse riding and hiking, and Vars Ski Resort is 15 km away.
Hotel Réotier :
Location : Les Barnieres 05600 Guillestre
Distance between hotel and center of Réotier : 4.14 kms
Rooms in hotel : 32
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Apartment Altair
Apartment Risoul
Situated in Risoul, Apartment Altair is 2.8 km from Tk Orée du Bois. Risoul 1850 Ski School is 2.9 km from the property. The accommodation features a TV. There is also a kitchen, equipped with a dishwasher. Every unit is fitted with a private bathroom with free toiletries. TS Cézier is 3 km from Apartment Altair, while TS Mélezets is 3.1 km away.
Apartment Réotier :
Address : ALTAIR 05600 Risoul
Distance on map, Hotel - Réotier : 4.14 kilometers
Number of room : 2
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Apartment Cristal
Apartment Risoul
Apartment Réotier :
Location : CRISTAL A 05600 Risoul
Route on map, Hotel - Réotier : 4.14 kilometer
Number of rooms : 2
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Apartment Christiana
Apartment Risoul
Apartment Christiana offers accommodation in Risoul, 2.8 km from Tk Orée du Bois. The unit is 2.9 km from Risoul 1850 Ski School. The kitchen is fitted with a dishwasher and a microwave and there is a private bathroom. A TV is provided. TS Cézier is 3 km from Apartment Christiana, while TS Mélezets is 3.1 km away.
Apartment Réotier :
Address : CHRISTIANIA C 05600 Risoul
Distance on map between hotel and center of Réotier : 4.14 km
Room in hotel : 1
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Apartment Airelles
Apartment Risoul
Situated in Risoul, Apartment Airelles is 2.8 km from Tk Orée du Bois. Risoul 1850 Ski School is 2.9 km from the property. The accommodation comes with a TV. There is also a kitchen, equipped with a dishwasher and microwave. Every unit has a private bathroom with a bath and free toiletries. TS Cézier is 3 km from Apartment Airelles, while TS Mélezets is 3.1 km away.
Apartment Réotier :
Location : AIRELLES A Centre station 05600 Risoul
Distance between hotel and center of Réotier : 4.14 kms
Rooms in hotel : 3
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Apartment Chabrières
Apartment Risoul
Set in Risoul, Apartment Chabrières is 2.8 km from Tk Orée du Bois. Risoul 1850 Ski School is 2.9 km from the property. All units have a TV. All units include a kitchen equipped with a dishwasher and oven. There is a private bathroom with free toiletries in each unit. TS Cézier is 3 km from Apartment Chabrières.
Apartment Réotier :
Address : CHABRIERES II Appartement N° 66 05600 Risoul
Distance on map, Hotel - Réotier : 4.14 kilometers
Number of room : 2
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Apartment Clématites
Apartment Risoul
Set in Risoul, this apartment is 2.8 km from Tk Orée du Bois. The apartment is 2.9 km from Risoul 1850 Ski School. The kitchen is fitted with an oven. A TV is featured. There is a private bathroom with a bath. TS Cézier is 3 km from Apartment Clématites, while TS Mélezets is 3.1 km away.
Apartment Réotier :
Location : CLEMATITES A Appartement 34 05600 Risoul
Route on map, Hotel - Réotier : 4.14 kilometer
Number of rooms : 1
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Apartment Chabrières 3
Apartment Risoul
Located in Risoul in the Provence-Alpes-Côte d'Azur region, Apartment Chabrières 3 is an apartment featuring a balcony. The accommodation is 2.8 km from the Tk Orée du Bois. The apartment has a TV. The kitchen is equipped with an oven and a microwave and there is a bathroom. Risoul 1850 Ski School is 2.9 km from the apartment, while TS Cézier is 3 km from the property. The nearest airport is Barcelonnette - Saint-Pons Airport, 29 km from Apartment Chabrières 3.
Apartment Réotier :
Address : CHABRIERES I 05600 Risoul
Distance on map between hotel and center of Réotier : 4.14 km
Room in hotel : 1
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Apartment Edelweiss
Apartment Risoul
Situated in Risoul, Apartment Edelweiss is 2.8 km from Tk Orée du Bois. Risoul 1850 Ski School is 2.9 km away. All units feature a TV. There is also a kitchen, equipped with a dishwasher and microwave. There is a private bathroom with a bath and free toiletries in each unit. TS Cézier is 3 km from Apartment Edelweiss, while TS Mélezets is 3.1 km from the property.
Apartment Réotier :
Location : EDELWEISS B Appartement N° 35 05600 Risoul
Distance between hotel and center of Réotier : 4.14 kms
Rooms in hotel : 3
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Apartment Cristal
Apartment Risoul
Apartment Cristal is an apartment set in Risoul, 2.8 km from Tk Orée du Bois. Guests benefit from balcony. The unit is fitted with a kitchen. A TV is available. There is a private bathroom with a bath. Risoul 1850 Ski School is 2.9 km from Apartment Cristal, while TS Cézier is 3 km away.
Apartment Réotier :
Address : CRISTAL B 05600 Risoul
Distance on map, Hotel - Réotier : 4.14 kilometers
Number of room : 1
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Apartment Soldanelles
Apartment Risoul
Apartment Soldanelles is an apartment set in Risoul, 2.8 km from Tk Orée du Bois. The unit is 2.9 km from Risoul 1850 Ski School. An oven and a fridge can be found in the kitchen and there is a private bathroom. A TV is featured. TS Cézier is 3 km from Apartment Soldanelles, while TS Mélezets is 3.1 km away.
Apartment Réotier :
Location : SOLDANELLES Appartement N°36 05600 Risoul
Route on map, Hotel - Réotier : 4.14 kilometer
Number of rooms : 1
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Vaccines | Free Full-Text | Public Perceptions of Harms and Benefit of COVID-19 Immunity Certificate: A Cross-Sectional Study in the Italian Setting
A cross-sectional survey between 29 January 2022 and 3 February 2022 was conducted to understand the public rationale for accepting or rejecting the use of COVID-19 immunity certificates and to identify the psychosocial factors that mostly predict the positive/negative individuals& rsquo; perceptions of this measure. One thousand twenty-two Italian adults were recruited by a professional panel provider by employing a stratified sampling strategy controlled for gender, age, geographical area of residence, size of the urban centre of residence, employment, and wage. Eight Welch& rsquo;s ANOVAs were then carried out to compare the perception of benefits and the perception of harms among different population groups. Multiple linear regression was carried out to measure the explained variance of benefits perception and harms perception by age, trust in institutions, and concern for health emergencies. The results shows that age, trust in institution, and concern for the COVID-19 emergency explain more variance of perceived benefits than of perceived harms of COVID-19 immunity certificates but the opposite regarding political orientation which explains perceived harms better than perceived benefits. The need for policy improvements is pressing because a large share of the world& rsquo;s population remains unvaccinated. Moreover, our results can serve as vital information for similar health crises that may occur in the future. In addition, our results are expected to offer useful insights into public feelings around the use of digital health information tools.
Public Perceptions of Harms and Benefit of COVID-19 Immunity Certificate: A Cross-Sectional Study in the Italian Setting
Lorenzo Palamenghi 2,3,5 ,
Marta Acampora 2,3 and
Guendalina Graffigna 2,3,5
1
Faculty of Psychology, Università Cattolica del Sacro Cuore, L.go Gemelli 1, 20123 Milan, Italy
2
Department of Psychology, Università Cattolica del Sacro Cuore, L.go Gemelli 1, 20123 Milan, Italy
3
EngageMinds HUB—Consumer, Food & Health Engagement Research Center, Università Cattolica del Sacro Cuore, 20123 Milan, Italy
4
EngageMinds HUB—Consumer, Food & Health Engagement Research Center, 26100 Cremona, Italy
5
Faculty of Agriculture, Food and Environmental Sciences, Università Cattolica del Sacro Cuore, Via Bissolati, 74, 26100 Cremona, Italy
*
Author to whom correspondence should be addressed.
Vaccines 2022 , 10 (9), 1501; https://doi.org/10.3390/vaccines10091501
Received: 20 July 2022 / Revised: 29 August 2022 / Accepted: 6 September 2022 / Published: 8 September 2022
(This article belongs to the Special Issue Vaccination Hesitancy: Attitudes and Associated Factors )
Versions Notes
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Abstract
A cross-sectional survey between 29 January 2022 and 3 February 2022 was conducted to understand the public rationale for accepting or rejecting the use of COVID-19 immunity certificates and to identify the psychosocial factors that mostly predict the positive/negative individuals’ perceptions of this measure. One thousand twenty-two Italian adults were recruited by a professional panel provider by employing a stratified sampling strategy controlled for gender, age, geographical area of residence, size of the urban centre of residence, employment, and wage. Eight Welch’s ANOVAs were then carried out to compare the perception of benefits and the perception of harms among different population groups. Multiple linear regression was carried out to measure the explained variance of benefits perception and harms perception by age, trust in institutions, and concern for health emergencies. The results shows that age, trust in institution, and concern for the COVID-19 emergency explain more variance of perceived benefits than of perceived harms of COVID-19 immunity certificates but the opposite regarding political orientation which explains perceived harms better than perceived benefits. The need for policy improvements is pressing because a large share of the world’s population remains unvaccinated. Moreover, our results can serve as vital information for similar health crises that may occur in the future. In addition, our results are expected to offer useful insights into public feelings around the use of digital health information tools.
Keywords:
health certificate
;
immunity passports
;
immunity certification
;
public responses
;
health policy
;
consumer psychology
1. Introduction
The global COVID-19 pandemic hit the world in early 2020. This led to worldwide restrictions on social life and freedom of traveling, while also damaging the global economy. In response to the widespread impact of the COVID-19 pandemic, countries across the world have proposed and implemented health certification policies (the so-called COVID-19 immunity certificates) that allow waivers on several restrictions (e.g., ability to travel, ability to access social venues, etc.) based on individuals’ infection/vaccination status or potential immunity. The purpose of such certifications was twofold: to restrict the access to social venues and high-risk situations (such as going to a restaurant or boarding an airplane) only to those individuals with a likely immunity to the virus and to promote the vaccination as well by giving an incentive to immunized persons. Most discussions around immunity- or infection-based documentation policies have focused on scientific plausibility, economic benefit, and challenges relating to ethics and equity. As COVID-19 vaccines are rolled out, attention has turned to confirmation of immunity and how documentation such as immunity passports can be implemented. However, the socio-cultural variability interacting with the implementation of COVID-19-related policies may hinder a one-size-fits-all approach [ 1 ]. Social science literature on policy implementation, discussing how health policies and guidelines unfold and are carried out in practice, highlights that this is not a straightforward undertaking that happens the same way everywhere for everyone [ 2 , 3 ]. Indeed, a relevant consideration for governments in deciding how to intervene to change people’s behavior is the attitude of the public towards such interventions and the extent to which any interventions are likely to be deemed as acceptable. This matters not only because levels of acceptability may critically affect the effectiveness of the health policy measure but also because accountable governments need to be aware of public attitudes if they want to act in a way that takes into consideration the population’s doubts and feelings. Indeed, the public following or adhering to health policies or guidelines does not imply an automatic process of acceptance; on the contrary, according to other studies in this field, people’s adoption of public health measures is intertwined with individuals’ characteristics—such as socio-demographics [ 4 , 5 , 6 , 7 , 8 , 9 , 10 , 11 ], COVID-19-related health status [ 6 , 8 ], attitudes towards vaccination [ 12 ], political orientation [ 4 , 6 , 13 ], health risk perception [ 7 ], and trust in institutions [ 8 , 14 ]—and attitudes towards such mandates in terms of potential perceived benefits or harms that they may provide them.
Previous studies on the public perception of COVID-19 immunity certifications [ 4 , 9 , 14 , 15 , 16 ] showed that reasons in favor of this measure were related to some individual and collective perceived benefits they could provide (i.e., infection reduction, vulnerable people’s health protection, safer access to public venues, public health safeguarding, and economy protection) [ 4 , 8 , 13 , 15 , 16 ]. On the other hand, research also showed some perceived harms and concerns related to this measure (i.e., privacy and freedom violation and inequality increase) [ 4 , 9 , 15 , 16 ].
Based on these premises, this study aimed at investigating the citizens’ reasons for accepting or rejecting the use of COVID-19 immunity certificates and at identifying the psychosocial factors that most predict the positive/negative individuals’ perceptions of this measure.
2. Materials and Methods
2.1. Sample and Procedure
One thousand twenty-two Italian adults aged between 20 and 72 years old were recruited by a professional panel provider (Norstat Italia srl) by employing a stratified sampling strategy controlled for gender, age, geographical area of residence, size of the urban centre of the residence, employment, and wage. After providing their informed consent, the participants were asked to fill out an online survey (using a CAWI methodology); this study is part of a broader project (“Italian Citizens’ Food Habits Monitoring from a Consumer Psychology Perspective) aimed at monitoring Italian citizens’ habits. The study was designed as a cross-sectional survey, and data were collected between 29 January 2022 and 3 February 2022. At the time of data collection, in Italy, it was mandatory to show COVID-19 immunity certificates to join almost all social activities, including going to work, going to a bar or a restaurant, traveling by public transportation, and many others.
2.2. Measures
The participants were asked questions regarding:
Socio-demographic questions such as gender, age, monthly family wage, and level of education. Education was recorded in 3 categories (1 = middle school or lower, 2 = secondary school, and 3 = degree or more);
One question about whether they have ever contracted COVID-19 or not (proved by test);
One question regarding their political orientation on a scale from 1 (far left-wing) to 10 (far right-wing) plus the option “I don’t take a position, I don’t care”. Answers were then recoded it into 4 categories (“left-wing”, “right-wing”, “center”, and no “political orientation”);
One question assessing their level of trust in institutions on a 5-step Likert-type scale, where higher numbers corresponded to higher levels of trust;
A question assessing their level of concern about the health emergency by asking them to indicate how concerned they are about the emergency from COVID-19 on a scale of 1 to 10;
One question assessing their level of confidence about the effectiveness of vaccines in preventing infectious diseases;
Eleven questions regarding their opinions on the COVID-19 immunity certificate policy measure, which stressed both potential benefits (7 items) and harms of this certification (4 items). Opinions were assessed on a 5-step Likert-type scale, where higher numbers corresponded to higher levels of agreement. Items were assigned to benefits or to harms according to whether they investigate the limitations or the advantages in a similar way to Lewandowsky [ 8 ].
The whole survey administered to participants is reported in Appendix A .
2.3. Analyses
One index of perceived benefits and one index of perceived harms of COVID-19 immunity certificates was made by calculating the mean of the answers to the relative items.
Then, Cronbach’s Alpha was calculated to test the internal consistency of the two indices, and we considered a good value if >0.60 [ 17 ].
Univariate outlier detection was then carried out with the MAD function [ 18 , 19 ], checking the z-scores, and displaying the data with boxplots (available in the Appendix B ).
After testing the assumptions of normality with the Shapiro–Wilk test and the QQ-plot and the homoscedasticity with Levene’s Test, eight Welch’s ANOVAs [
20
] were then carried out to compare the perception of benefits and the perception of harms amongst males and females, those who had COVID-19 and those who had not, three groups with different education levels, and four groups with different political orientation. Then, Games–Howell post-hoc tests were run where relevant. The Eta-Squared index (η
2
) was calculated for each of the Welch’s ANOVAs to measure the effect size, considering values as recommended by Cohen [
21
].
Finally, two multiple linear regressions with the entering method were carried out to measure the explained variance of benefits perception and harms perception by the age, the trust in the institution, the concern for health emergencies, and the confidence level in effectiveness of vaccines to prevent infective disease. Residuals vs. fitted and residuals vs. leverage plots were made for diagnostic analysis and can be viewed in the Appendix C .
All the analyses were carried out using R in the R Studio environment; the script can be found in the attached material. Some minor variables required recodification and labelling with SPSS software (IBM SPSS Statistics 27.0.1.0, Armonk, New York, NY USA).
3. Results
3.1. Descriptive Statistics
Overall, the sample included 1022 Italian citizens (50.7% female) aged between 18 and 70 years old (mean 46.9 with a standard deviation of 13.8). Table 1 shows the socio-demographic characteristics of the whole sample.
Table 1. Sample characteristics.
Cronbach’s α for the seven items related to the potential benefits of COVID-19 immunity certificates was 0.956, while for the four items related to the potential harms of COVID-19 immunity certificates was 0.902; items and their descriptive statistics are displayed in
Table 2
. No outliers were detected with z-scores; a few were found by displaying the data with boxplots—available in
Appendix B
—in the case of the variable “confidence level in vaccine efficacy”, and also a few in the case of the variable “concern for the COVID-19 emergency” were found using the MAD function [
18
,
19
]. Since none of these outliers were consistent in more than one of these three methods, we decided to not remove any of them.
Table 2. Survey items assessing perceived harms and benefits of the immunity certification implementation.
3.2. Difference between Groups
All diagnostic plots show no issues with the regression models, so we have proceeded to the results’ production and interpretation.
Independence of the observations was guaranteed by the panel provider, while the homoscedasticity was violated just in two cases out of eight, i.e., benefits perception of COVID-19 immunity certificates on political groups and harms perception of COVID-19 immunity certificates on gender, and for this reason, Welch’s test was chosen instead of the standard ANOVA test. On the other hand, the Shapiro–Wilk test and the QQ-plots show that normality was violated in each of the eight cases; nevertheless, we considered this violation as not a serious threat to the reliability of our results because of ANOVA’s robustness to the violation of this assumption [
22
,
23
,
24
] and in light of a comparison showing no difference in the significance of the p-value with its nonparametric counterpart, i.e., the Kruskal–Wallis test, which, however, would have caused us to suffer a loss of the ability to interpret the results (results of this test can be found in the
Appendix B
).
Welch’s ANOVAs show a significant main effect of the political orientation both on benefits perceptions with a small effect size [F
(3, 493)
=14.47;
p
< 0.001; η
2
= 0.04] and on harms perceptions with a medium effect size [F
(3, 497)
= 26.94;
p
< 0.001; η
2
= 0.07]. In particular, post hoc comparisons show that the harms perception of COVID-19 immunity certificates is significantly lower (
p
< 0.001) for left-oriented people (M = 2.12, SD = 1.18) and higher (
p
< 0.001) for right-oriented people (M = 3.17, SD = 1.26); vice versa, the benefits perception of COVID-19 immunity certificates is higher (
p
< 0.001) for left-wing people (M = 3.79, SD = 1.05) and lower for right-wing people (M = 3.19, SD = 1.23).
In addition, Welch’s ANOVAs show a significant main effect of having contracted COVID-19 both on benefits perceptions with a small effect size [F
(1, 341.66)
= 29.42;
p
< 0.001; η
2
= 0.28] and on harms perceptions [F
(1, 351)
= 30.23;
p
< 0.001, η
2
= 0.27]. The results show a statistically significant difference with
p
< 0.05, with higher benefits perceptions of COVID-19 immunity certificates for those who have contracted COVID-19 (M = 3.52, SD = 1.17) and lower for those who have not contracted it (M = 3.03, SD = 1.17); on the other hand, concerning the harms perception of COVID-19 immunity certificates, the results show a statistically significant difference with
p
< 0.05, with a lower rate for those who have contracted COVID-19 (M = 2.59, SD = 1.28) and higher for those who have not contracted it (M = 3.11, SD = 1.21).
Finally, results show no significant effects of the education on benefits perceptions (
p
= 0.081) nor harms perceptions (
p
= 0.166) and no significant effects of the gender on benefits perceptions (
p
= 0.361) nor harms perceptions (
p
= 0.296).
3.3. Multiple Linear Regression Models
The multiple linear regression with age, trust in institution, concern for the sanitary emergency, and confidence level for efficiency of vaccines to prevent infective disease as independent variables and perceived benefits as the dependent variable returned a significative model that explains benefits perceptions [F
(4, 1017)
= 313.00,
p
< 0.001] with an
R 2
of 0.552. All the independent variables had a significative effect on the dependent variable (
p
< 0.001) and predicted that a benefits perception of the COVID-19 immunity certificate was equal to 2.74 + 0.55 (confidence level in vaccine efficiency to prevent infective disease) 0.37 (trust in institution) + 0.12 (age) + 0.10 (concern for the COVID-19 emergency).
Then, the multiple linear regression with age, trust in institution, concern for the sanitary emergency, and confidence level for efficiency of vaccines to prevent infective disease as independent variables and perceived harms as the dependent variable returned a significative model that explains harms perceptions, but with a lower amount of variance explained [F
(4, 1017)
= 97.23,
p
< 0.001] with an
R
2
of 0.277. Neither trust in institution (
p
= 0.25) nor concern for the COVID-19 emergency (
p
= 0.06) have a significant effect on the dependent variable harms perception, while age and confidence level for efficiency of vaccines to prevent infective disease do have a significant effect (
p
< 0.001). The predicted harms perception of the COVID-19 immunity certificate was equal to 2.88–0.61 (confidence level for efficiency of vaccines to prevent infective disease) and 0.16 (age).
4. Discussion
In this study, we indicate details that could be useful to develop better communication strategies to engage people to better accept restrictive measures for the sake of a common good. Those details, hence, can be considered to envision specific targets to propose-tailored communications that are more relevant and therefore more effective [ 25 ].
In fact, considering perceived benefits separately from perceived harms has shown how there are variables that influence one more than the other. Firstly, results show that considering the multiple linear regression model with age, confidence level for efficiency of vaccines to prevent infective disease, trust in institution, and concern for the COVID-19 emergency, the latter two significatively explain the variance in the perceived benefits while not in the perceived harms of COVID-19 immunity certificates, but the opposite regarding political orientation, which explains perceived harms better than perceived benefits.
However, these results show that an initial classification of targets by their demographic variables such as gender or education is not too effective in skimming for perceptions of harms and benefits. In fact, neither gender nor education turn out to have a significant effect in perceptions of benefits or harms. This result is apparently in contrast with previous studies [ 9 , 10 , 26 ], but while those studies investigated opinions regarding a hypothetical immunity certificate, in our study, such a system was already valid at the time of the survey.
However, the results show age as a significant sociodemographic explanatory variable for benefits perceptions, which increases with age. This is consistent with previous studies that show a better acceptance for older people [ 5 , 10 ] and could be a relevant result to set up more communication strategies specific for younger people, for example, using infographic messages [ 27 ].
Then, it might be expected that having had the disease—and having experienced firsthand the risk and the discomfort—should increase the perceived benefits and reduce the perceived potential harms of the COVID-19 immunity certificate that, in fact, is a measure to solve the emergency, but looking at the results, it is clear that those who have contracted COVID-19 perceive more of the harms and less of the benefits compared to those who have not. Indeed, this result is in line with a previous study and could be due to the fear of being isolated for a period of time because of this certification system, especially from those who are most likely to be temporarily immune [
28
]; in any case, it could be worthwhile to better investigate the reason for this with further studies.
Instead, it seems more intuitive that perceived benefits increase as concern about the health emergency increases, but interestingly, it is not as effective at influencing perceptions of harms. This, since the percentage of the population concerned changes over time depending on events [ 29 ], may imply that during the most worrisome periods it is easier to introduce restrictive measures.
Regarding political orientation, it turns out that right-wing people perceive more of the harms and less of the benefits of the green pass compared to left-wing people. In another study, it was found that more conservatives scientists would accept the introduction of an immunity passport better [ 4 ]; this difference could be addressed to the special kind of population and the fact that people of right-wing orientation could not be the same [ 30 ]. Although predictable, trust in institutions turns out to be a good predictor of the perceived benefits of the green pass and, therefore, of a restrictive measure for the common good, which is why it may be important to monitor an index of trust toward institutions, such as with a social media analysis [ 14 ], and improve this condition [ 31 ] to increase acceptance of policies for the good of the community [ 8 , 32 ]. However, it is interesting that the perceived harms of such a measure are not addressed, so it might be interesting to investigate the profile of those who perceive more harms than benefits in more depth. Finally, the results of the model clearly show the role of the confidence level for efficiency of vaccines to prevent infectious disease; this, in addition to finding confirmation with very recent studies also in the Italian context [ 33 ], brings to attention the importance of continuing in the effort to reduce vaccine hesitancy by listening to their doubt and by creating space for dialogues with the citizens that can provoke their engagement with the health and social system. The need for policy improvements is pressing because a large share of the world’s population remains unvaccinated, and recent scientific evidence showed a waning of the immune response over time. Moreover, even beyond the current pandemic, our results can serve as vital information for similar health crises that may occur in the future. In addition, our results are expected to offer useful insights into public feelings around the use of digital health information tools.
5. Limitations
This study has some limitations that should be considered. The data presented in this study are self-reported and are partly dependent on the participants’ honesty and recall ability; thus, they might be prone to recall, declaration, or desirability biases. Secondly, the sample was limited to the Italian context, and therefore, the collected responses might not be generalizable to other countries. Future research should consider the results of this study with different populations.
Author Contributions
Conceptualization: S.B., M.P. and L.P.; data curation: M.P. and L.P.; formal analysis: M.P.; methodology: G.G., S.B., L.P., M.A. and M.P.; project administration: G.G.; supervision: S.B.; writing—original draft: M.P., M.A., L.P. and S.B.; writing—review and editing: G.G., S.B., L.P., M.A. and M.P. All authors have read and agreed to the published version of the manuscript.
Funding
This study was conducted within the CRAFT project, funded by Fondazione Cariplo and Regione Lombardia. The authors declare that the funders had no role in the study design, in interpretation of the results, or in the decision to publish the results.
Institutional Review Board Statement
This study has been performed in accordance with the Declaration of Helsinki and has been approved by an independent ethics commission of the Department of Psychology of Università Cattolica del Sacro Cuore in Milan (CERPS).
Informed Consent Statement
Informed consent was obtained from all subjects involved in the study.
Data Availability Statement
The dataset used for the analysis in this paper is available by emailing the corresponding author ( [email protected] ). The R-script can be found in the attached materials.
Acknowledgments
The authors wish to thank the study participants for their contribution to the research.
Conflicts of Interest
The authors declare no conflict of interest.
Appendix A
Table A1. Survey administered to the study participants.
Table A1. Survey administered to the study participants.
Variable Name Answer Scale/Categories Item Description Gender Male Female To begin, we ask you some information about you—Gender Politic Centre left Centre Centre Right No Politic Orientation Given your political views, where would you be? Education Middle school or lower Secondary education Degree or more To begin, we ask you some information about you—Level of education Contraction of the COVID-19 Disease Yes No Have you contracted COVID-19 (confirmed diagnosis by molecular or antigenic)? Age Birth year in number To begin, we ask you some information about you—How old are you? Trust in Istitution 5-step Likert-type scale With reference to the emergency situation from COVID-19 that we are experiencing, answer the following questions by indicating how much you agree with the following statements—I have full confidence in the institutions. Concern about COVID-19 5-step Likert-type scale How concerned would you say you are about the COVID-19 emergency? Confidence Level on Vaccine Efficacy to Prevent Infective Disease 5-step Likert-type scale I am confident in the effectiveness of vaccines in preventing infectious diseases. Benefits Perception 1 5-step Likert-type scale I think Green Pass is an effective measure to reduce contagions. Benefits Perception 2 5-step Likert-type scale I think Green Pass is important to protect the health of the most. Benefits Perception 3 5-step Likert-type scale Since Green Pass has existed, I feel safer going to public places. Benefits Perception 4 5-step Likert-type scale I think Green Pass is important to protect public health. Benefits Perception 5 5-step Likert-type scale I think it is right to prevent those who do not have the Green Pass from entering workplaces. Benefits Perception 6 5-step Likert-type scale I think the Green Pass is important to protect the economy. Benefits Perception 7 5-step Likert-type scale I think it is right to prevent access to recreational and social gathering places such as restaurants, nightclubs, and stadiums for those who do not have the Green Pass. Harms Perception 1 5-step Likert-type scale The green pass is a violation of privacy. Harms Perception 2 5-step Likert-type scale I think the green pass is a way for the government to control citizens. Harms Perception 3 5-steps Likert-type scale The green pass greatly infringes on personal freedom. Harms Perception 4 5-steps Likert-type scale I think the green pass only increases inequality.
Appendix B
Boxplots of age, concern about the COVID-19 emergency, trust in institutions, confidence level of vaccine efficiency to prevent infective disease, benefits perceptions of COVID-19 immunity certificates, and harms perceptions of COVID-19 immunity certificates.
Appendix C
Diagnostic plots of the benefits perception multiple linear regression model.
Diagnostic plots of the harms perception multiple linear regression model.
Scatter plots of each simple linear regressions of the variables included in the model on benefits perception.
Scatter plots of each simple linear regressions of the variables included in the model on benefits perception.
References
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Nurgalieva, L.; Ryan, S.; Balaskas, A.; Lindqvist, J.; Doherty, G. Public Views on Digital COVID-19 Certificates: A Mixed Methods User Study. In Proceedings of the CHI Conference on Human Factors in Computing Systems, New Orleans, LA, USA, USA 29 April–5 May 2022; pp. 1–28. [ Google Scholar ] [ CrossRef ]
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Graffigna, G.; Palamenghi, L.; Savarese, M.; Castellini, G.; Barello, S. Effects of the COVID-19 Emergency and National Lockdown on Italian Citizens’ Economic Concerns, Government Trust, and Health Engagement: Evidence From a Two-Wave Panel Study. Milbank Q. 2021 , 99 , 369–392. [ Google Scholar ] [ CrossRef ]
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Caserotti, M.; Gavaruzzi, T.; Girardi, P.; Sellaro, R.; Rubaltelli, E.; Tasso, A.; Lotto, L. People’s Perspectives about COVID-19 Vaccination Certificate: Findings from a Representative Italian Sample. Vaccine 2022 , in press. [ Google Scholar ] [ CrossRef ]
Table 1. Sample characteristics.
% n Gender Male 49.3% 504 Female 50.7% 518 Employment Entrepreneur/freelancer 12.4% 127 Manager/official 3.8% 39 Employee/military/teacher 22.1% 226 Worker/shop assistant/apprentice 18.1% 181 Householder 15.0% 153 Student 5.3% 54 Retired 7.9% 81 Unoccupied 15.4% 157 Other 0.3% 4 Education Middle school or lower 17.4% 178 Secondary education 56.1% 574 Degree or more 26.4% 270 Geographical Area Northwest 26.3% 269 Northeast 18.6% 190 Center 19.7% 201 South 35.4% 362 Living center’s size Up to 10.000 32.1% 328 Between 10.001 and 100.000 44.0% 450 Between 100.001 and 500.000 10.9% 111 Above 500.001 13% 133
Table 2. Survey items assessing perceived harms and benefits of the immunity certification implementation.
Item Mean S.D. Asymmetry Skewness Benefits Perception (α = 0.952) 3.42 1.18 −0.72 −0.45 I think COVID−19 immunity certificate is an effective measure to reduce infections 3.28 1.35 −0.45 −0.96 I think COVID-19 immunity certificate is important to protect the health of the most fragile people 3.59 1.32 −0.70 −0.59 Since the existence of the COVID-19 immunity certificate I feel safer going to public places. 3.19 1.25 −0.39 −0.74 I think COVID-19 immunity certificate is important to protect public health. 3.52 1.31 −0.65 −0.62 I think it’s fair to prevent people who don’t have COVID-19 immunity certificate from entering workplaces. 3.46 1.40 −0.57 −0.92 I think COVID-19 immunity certificate is important to protect the economy. 3.27 1.31 −0.37 −0.88 I think it is fair to prevent access to recreational and social gathering places such as restaurants, nightclubs, and stadiums to those who do not have COVID-19 immunity certificate 3.61 1.35 −0.74 −0.61 Item Mean S.D. Asymmetry Skewness Harms Perception (α = 0.902) 2.70 1.28 −0.27 −1.06 I think it is fair to prevent access to recreational and social gathering places such as restaurants, Nightclubs, and stadiums to those who do not have COVID-19 immunity certificate 2.54 1.47 0.42 −1.22 COVID-19 immunity certificate is a violation of citizens’ privacy 2.72 1.42 0.20 −1.24 I think the COVID-19 immunity certificate is a way for the government to control the citizens 2.67 1.49 0.30 −1.30 COVID-19 immunity certificate strongly violates personal freedom 2.87 1.45 0.09 −1.31
MDPI and ACS Style
Barello, S.; Paleologo, M.; Palamenghi, L.; Acampora, M.; Graffigna, G. Public Perceptions of Harms and Benefit of COVID-19 Immunity Certificate: A Cross-Sectional Study in the Italian Setting. Vaccines 2022, 10, 1501.
https://doi.org/10.3390/vaccines10091501
Barello S, Paleologo M, Palamenghi L, Acampora M, Graffigna G. Public Perceptions of Harms and Benefit of COVID-19 Immunity Certificate: A Cross-Sectional Study in the Italian Setting. Vaccines. 2022; 10(9):1501.
https://doi.org/10.3390/vaccines10091501
Barello, Serena, Michele Paleologo, Lorenzo Palamenghi, Marta Acampora, and Guendalina Graffigna. 2022. "Public Perceptions of Harms and Benefit of COVID-19 Immunity Certificate: A Cross-Sectional Study in the Italian Setting" Vaccines10, no. 9: 1501.
https://doi.org/10.3390/vaccines10091501
| https://www.mdpi.com/2076-393X/10/9/1501/html |
South Africa - Creative Commons
South Africa
Revision as of 21:42, 11 March 2012 by Tittbit ( talk | contribs ) ( → Community )
AFFILIATE TEAM ROADMAP
Date submitted
: 26 January 2011
Timespan of this roadmap
: January 2011 to December 2011
Team information
Jurisdiction
: South Africa Complete list of all members of the Affiliate Team, their roles, and field(s) of expertise
Public leads
:
Dave Duarte
[marketing] and Max Kaizen [research and evangelism]
Legal lead
: Dr Tobias Schonwetter [copyright specialist]
Technical lead
:
Paul Scott
[founder Chismba, open source lms]
Date of latest MOU in jurisdiction
25 May 2009 (University of Cape Town, Prof Julian Kinderlerer) 25 May 2009 (legal affiliate Tobias Schonwetter) 24 June 2008 (public affiliate David Duarte)
Self-Identified Region(s)
, i.e. Europe, Africa, Asia-Pacific, Latin America, North America, Arab world: Southern Africa Why do you identify yourself as being part of the listed region(s)? That's where we are!
Vision
Why is Creative Commons important for the jurisdiction?
Emerging creatives need free and shareable resources to build on. Exposure of Southern African creativity to other markets through open licensing. South African political leaders are suspicious of internet freedom, so this needs to be protected, and the cause for internet freedoms needs to be embedded.
What do you think makes a successful jurisdiction project?
Broad awareness and use of CC among individuals, businesses, private and public institutions. Public dialogue around internet freedoms, including CC. Partnership with related organisations and non-profits Use of CC in OER in universities and schools. Self-sustaining, active community of volunteers and supporters.
How do you see the jurisdiction project contributing to the CC Affiliate Network?
Localized licenses in an important emerging economy Add an African perspective to CC related discussions. To help kick-start CC projects in other African countries. Introducing more African works into the CC pool.
Community
Describe the communities that are currently active in the project.
Universities, software programmers, media geeks, musicians, authors, publishers, marketers
How will you continue to engage with these communities?
We will increase our engagement through: Conference talks, website, Twitter, Legal advice,
email
.
Describe the communities (existing or new) that you plan to focus on during the timeframe covered by this roadmap?
Universities + OER community, Artists
How do you plan to engage with these communities?
Twitter, CC SA website, Other Websites and social networks, Conference talks, Workshops.
Priority Goals
What are the three most important focus areas on which the Affiliate Team will work during this time period? Please consider community building and adoption goals among your priorities.
1. Focus-area:
License 3.0
Why is it important? License contains important improvements on v.2.5
Which communities will benefit? All users of CC
2. Focus-area:
Website Update
This includes things like: a collection of case-studies or organisations using CC in South Africa (wiki); Monthly news (at the minimum); Acknowledge all CC SA volunteers and organizational supporters; Put more information about Creative Commons Licensing (including videos) - linking; Links and feeds to and from our other social media profiles
Why is it important? This is most people's first stop in getting more information about Creative Commons South Africa. It's the virtual home of the community.
Which communities will benefit ? All CC South Africa stakeholders.
3. Focus-area:
Open Education Resources Localized Statement
Why is it important? Many university players have not yet understood that CC is an important part in making OER work. It's a hot topic, which is an opportunity to align ourselves with a relevant and important cause.
Which communities will benefit? Universities and Schools.
4.
Getting organizational support
, where other companies will offer to provide resources for us, such as printing & Public Relations services. A list of companies who are prepared to volunteer their services in kind so we know who to call on if necessary.
5. Join the discussions around the new "IPR from Publicly Financed Research and Development Act" (BAYH - DOLE - like legislation) in South Africa through the website, conference talks, Debates, Petitions & Twitter.
Project Outputs
Detail tangible project outputs (e.g., events, papers, blog posts, video/films, etc.) for each focus area including an expected date of completion. See also Timeline.
The outputs we plan to complete are as follows:
Focus-area: 3.0 licences for South Africa
Project Output: 3.0 licences for South Africa
Expected start date: already started - Expected date of completion: June 2011
Team Member(s) Responsible: Tobias Schonwetter
How will this output help achieve your goals? Having the most up to date licences is crucial for project success and also shows the commitment of the team.
Focus-area
Project Output: Website update
Expected start date: 26 January 2011 - Expected date of completion: 31 March 2011 and ongoing thereafter
Team Member(s) Responsible: Max Kaizen, with support by all team members, especially Paul Scott
How will this output help achieve your goals? see above
Focus-area
Project Output: localised OER statement
Expected start date: already started - Expected date of completion: 28 February 2011
Team Member(s) Responsible: Dave Duarte
How will this output help achieve your goals? It adds our voice to the discussion in this field and will clarify the close link between OERs and CC
Focus-area: Twitter CC licences for South Africa
Project Output: easy-to-grab licenses for South African Twiiter users
Expected start date: already started - Expected date of completion: 26 Jan 2011
Team Member(s) Responsible: Paul Scott
How will this output help achieve your goals? Awareness of CC and particularly to help answer the localised jurisdiction of CC. Followers to CC South Africa’s tweetstream develops the community and exposes them to news and resources from the team.
Metrics
Please consider using trackable statistics (such as web traffic or number of license adoptions) when applicable, but only if meaningful.
How will you measure and evaluate your impact on focus-area 1? N/A
How will you measure and evaluate your impact on focus-area 2? N/A
How will you measure and evaluate your impact on focus-area 3? N/A
Resources Required
People
What human resources or expertise must the team seek out or add to your existing resources, if any, in order to achieve your priority goals?
In 2010, we identified the need to add a "technical lead" to the team and Paul Scott has joined the team to fill this gap (no MoU signed yet). The public lead position is currently being transition to a new lead with the current lead remaining actively involved still. The legal lead has a loose network of supporters to assist with the licence update.
How will you involve these people?
They are already involved, we have monthly meetings and supporters will be acknowledged on the website.
Technology
What technology resources must the team seek out or add to your existing resources, if any, in order to achieve your priority goals?
How will you obtain these technology resources?
Materials
What material resources must the team seek out or add to your existing resources, if any, in order to achieve your priority goals?
It would be fantastic if CC international could supply us with merchandise and other marketing materials free of charge!!!
How will you obtain these material resources?
Just send it by post ;-)
Other
What other resources must the team seek out or add to all the other resources, if any, in order to achieve your priority goals? How will you obtain these other resources?
Sustainability and Scalability
How will you ensure your goals will be completed if unforeseen circumstances interrupt the project, such as changes in the leadership of the project or outputs taking longer to complete than anticipated?
Regular meetings and open discussions among team members; through community discourse and accountability
How will you communicate the project's on-going progress and setbacks within the jurisdiction and the CC Affiliate Network? (e.g. email list updates, meetings, press releases)
: emails, website, social media platforms, meetings
How will you document the project so that others may replicate or learn from your efforts?
Creative Commons wiki and our website (and through all of the above communication tools for that matter)
Collaboration
Please have a look at other roadmaps.
How could the jurisdiction's plans help drive or support other jurisdictions' activities?
CC South Africa considers itself a pioneer project for CC licensing in Africa and therefore strives to support interested individuals and organisations on the African continent to also initiate CC licensing projects. Such support will include participation in/ administration of CC Africa mailing list, active offering of advice in relation to porting CC licences. The the extent possible, f2f meetings and workshops.
What are other jurisdictions doing that might support or contribute to the project?
Some countries, such as the Australian CC project's site, have more advanced website offerings from which we can learn. CC Brazil appears to have succeeded in building strong cultural relevance that we would like to a emulate.
Would you be interested in mentoring new jurisdiction teams?
Yes, see above.
Conversely, would you be interested in having a mentor from a more experienced jurisdiction team?
Yes, see above.
Regional
Suggest three possible projects on which you can collaborate with other teams on a regional level. If you are not yet involved with the regional network, please contact the regional spokesperson (if any) or notify CC HQ to put you in touch with others.
Adoption of CC licences in other African (exchanging experiences etc and guidelines of how to approach this issue).
Since there are no other teams yet in our region (Southern Africa), no opportunity for collaboration exists. However, we will look at collaboration opportunities with country project in other African countries, such as Egypt, Kenya and Nigeria, as they arise.
How do you plan to contribute to these projects?
Sharing of information and on an ad hoc basis.
Translation
In what language(s) will you promote CC in the jurisdiction and why?
At this point in time, it is only feasible to promote CC licences in English. Yet, we aim at translating the Commons Deed into several of our official language if volunteers for this can be found. At least 2 such translations of the Commons Deed already exist.
In which of these languages are licenses already available? CC0?
English. We haven't dealt with the CC0 "licence" yet.
Into which of the remaining languages do you intend to translate the licenses? CC0?
see above.
How will you involve the local language(s) community?
Once we have updated our licences to v3.0, we will get in touch with non-profit translation organisations such as www.translate.org.za and ask for their support on this matter. In addition, we will on our website encourage volunteers to help out.
License Archives
License draft .
English explanation of substantive legal changes .
See the project website .
Subscribe to the discussion .
Subscribe to the weekly mailing list .
More about the UCT Intellectual Property Law Research Unit
The UCT Intellectual Property Law Research Unit is housed at the
Department of Private Law
at the University of Cape Town Law School.
Acknowledgments
Creative Commons South Africa was founded by Heather Ford (public lead), and Andrew Rens (legal lead) and based at
the LINK Centre
. More details and a retrospective on CC South Africa by
Andrew Rens on his blog
. The LINK Centre is the leading research and training body in the field of information and communications technology (ICT) policy, regulation and management in Southern Africa.
Retrieved from " https://wiki.creativecommons.org/index.php?title=South_Africa&oldid=55747 "
Categories
:
CC Affiliate Locale
Affiliate Active
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(PDF) Long-term expression of full-length human dystrophin in transgenic mdx mice expressing internally deleted human dystrophins
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Long-term expression of full-length human dystrophin in transgenic mdx mice expressing internally deleted human dystrophins
DOI: 10.1038/sj.gt.3302242
Abstract and Figures
One of the possible therapies for Duchenne muscular dystrophy (DMD) is the introduction of a functional copy of the dystrophin gene into the patient. For this approach to be effective, therapeutic levels and long-term expression of the protein need to be achieved. However, immune responses to the newly expressed dystrophin have been predicted, particularly in DMD patients who express no dystrophin or only very truncated versions. In a previous study, we demonstrated a strong humoral and cytotoxic immune response to human dystrophin in the mdx mouse. However, the mdx mouse was tolerant to murine dystrophin, possibly due to the endogenous expression of dystrophin in revertant fibres or the other nonmuscle dystrophin isoforms. In the present study, we delivered human and murine dystrophin plasmids by electrotransfer after hyaluronidase pretreatment to increase gene transfer efficiencies. Tolerance to murine dystrophin was still seen with this improved gene delivery. Tolerance to exogenous recombinant full-length human dystrophin was seen in mdx transgenic lines expressing internally deleted versions of human dystrophin. These results suggest that the presence of revertant fibres may prevent the development of serious immune responses in patients undergoing dystrophin gene therapy.
Dystrophin expression in mdx transgenic lines. (a) Left panel shows Western blot analysis of dystrophin expression and the right-hand panel shows immunostaining of muscle from the microdystrophin transgenic with human dystrophin-specific monoclonal Dy10/12B2 showing perinuclear and sarcolemmal localization of the transgene product. Scale bar=50 m. (b) Muscle histology and dystrophin staining of TA muscles from C57/Bl10 (wildtype, WT) mice, mdx and the microdystrophin transgenic line. H&E shows the variable sized central nucleated fibres as a sign of regeneration in the mdx and microdystrophin transgenic muscle and peripheral nuclei in the C57/Bl10. The dystrophin staining with antibody DysC3750 at a 1:2000 dilution shows the presence of dystrophin at the sarcolemma of the muscle fibres in the C57/Bl10 mouse, in revertant fibres in the mdx mouse but no sarcolemmal staining in the microdystrophin transgenic line. Scale bar=0.1 mm. …
Dystrophin expression in mdx transgenic lines. (a) Left panel shows Western blot analysis of dystrophin expression and the right-hand panel shows immunostaining of muscle from the microdystrophin transgenic with human dystrophin-specific monoclonal Dy10/12B2 showing perinuclear and sarcolemmal localization of the transgene …
Graph showing the maximum number of revertant fibres detected in transverse sections of mdx TA muscle subjected to different variants of the hyaluronidase plus electrotransfer procedure. Each bar represents the mean 7 s.e.m. Stippled white bar shows saline preinjection, n 1⁄4 9; stippled grey bar shows saline preinjection þ saline electrotransfer, n 1⁄4 4; stippled black bar shows saline preinjection þ CMV0 electrotransfer, n 1⁄4 5; white bar shows hyaluronidase preinjection, n 1⁄4 9; grey bar shows hyaluronidase preinjection þ saline electrotransfer, n 1⁄4 4; and the black bar shows hyaluronidase preinjection þ CMV0 electrotransfer, n 1⁄4 5. There are no significant differences between any of the groups. …
TA muscles of mdx mice 1 week (black bars) and 8 weeks (grey bars) after injection of (a) Full-length murine dystrophin plasmid and (b) Full-length human dystrophin plasmid. Each bar represents the mean of six mices.e.m.; there is no significant difference between 1 and 8 weeks in the murine dystrophin-injected muscles, but there is a significant decrease in the number of human dystrophin-positive fibres between 1 and 8 weeks. (c and d) show Western blots of muscle lysates from C. mdx (no dystrophin) and C57Bl10 muscle (murine dystrophin) or D. mdx and AD17 (overexpressing human dystrophin), probed with pooled serum from the mice shown in (a) and (b), respectively. 6C5 is the control antidystrophin monoclonal antibody Dy8/6C5. There is a strong humoral response to human dystrophin and a very weak response to murine dystrophin. Blots were simultaneously probed with a monoclonal antibody recognizing metavinculin and vinculin as a loading control. …
RESEARCH ARTICLE
Long-term expression of full-length human dystrophin
in transgenic mdx mice expressing internally deleted
human dystrophins
A Ferrer
1
, H Foster
1,3
, KE W ells
1
, G Dickson
2
and DJ W ells
1
1
Gene T argeting Unit, Department of Neuromuscular Diseases, Division of Neuroscience and Psychological Medicine, Imperial College
London, Charing Cross Hospital, London, UK; and
2
Center for Biomedical Sciences, School of Biological Sciences, Royal Holloway ,
University of London, Surr ey , UK
One of the possible therapies for Duchenne muscular dystrophy
(DMD) is the introduction of a functional copy of the dystrophin
gene into the patient. For this approach to be effecti ve,
therapeutic levels and long-term expressi on of t he protein need
to be achieved. However, immune responses to the newly
expressed dystrophi n have been predicted, particularly in DMD
patients who express no dystrophin or only very truncated
versions. In a previous study, w e demonstrated a strong
humoral and cytotoxic immune response to human dystrophin
in the mdx mouse. However, the mdx mouse was tolerant to
murine dystrophin, possibly due to the endogenous expressi on
of d ystrophin in revertant fibres or the other nonmuscle
dystrophin isoforms. In the present study, we delivered human
and murine dystrophin plasmids by electrotransfer after
hyaluronidase pretreatment to increase gene transfer efficien-
cies. Tolerance to murine dystrophin was still seen with this
improved gene delivery. Tolerance to exogenous recombinant
full-length human dystrophin was seen in mdx transgenic lines
expressing internally deleted versions of human dystrophin.
These results suggest that the presence of revertant fibres may
prevent the development of serious immune responses in
patients undergoing dystrophin gene therapy.
Gene Ther apy (2004) 11, 8 84 –8 93 . do i: 10.1038/sj.gt.3302242
Published online 26 February 2004
Keywords: dystrophin; mdx; transgenic; tolerance
Introduction
Duchenne muscular dystrophy (DMD) is an X-linked
recessive genetic disorder affecting 1:3500 male births.
1
It
is characterized by a progr essive loss of muscle mass and
replacement of myofibres with connective and adipose
tissue. The severe myopathy observed in DMD patients
is due to the complete absence or substantial reduction
of dystrophin at the sarcolemma of the muscle fibres.
This is caused by mutations in the dystrophin gene that
alter the open-reading frame of dystrophin.
2
The 427 kDa
skeletal form of dystrophin has 3685 amino-acid residues
and cont ains sever al doma ins: the amin o-te rminu s
doma in that binds cy tosk elet al acti n filam ents , a la rge
rod -sha ped do main formed by 24 repeat se quen ces th at
ar e pred icted to adopt a triple helical co nfor mati on with
four hinges and a carbox yl-t ermi nus domain that binds a
who le comp lex of dy str ophi n-as so ciated protei ns at th e
sarcol emma .
3
By bindi ng to b -d ystr og lyca n at the
memb rane , dystr ophin acts as a phys ical link be tw een
the cytoske leto n an d the extracel lula r ma trix . An alleli c
form of this di seas e, Beck er musc ular dyst rop hy (BMD) , is
asso ciat ed wit h an inter nall y dele ted dystr op hin mo lecu le
due to muta tion s that mainta in the r eadi ng frame.
2
This
mild er form of dystr ophy is char acte rize d by a later onset
and a slower prog r essi on of muscl e de gene rati on.
An animal model for DMD is the mdx mouse whose
mutation in exon 23 in the murine dystrophin gene
results in a premature stop codon
4
and so the full-length
427 kDa muscle isoform of dystrophin is not produced.
However , the other isoforms produced from different
promoters 3
0
of the point mutation are unaf fected (Figure
1). Despite the lack of dystrophin in the mdx muscle,
some fibres show dystrophin staining at the sarcolemma.
The number of these so-called revertant fibres is low ,
normally present at ar ound 1% of total fibres,
5
although
their number increases with the age of the mice.
6
There are many strategies for the induction of de novo
dystrophin expression as a therapeutic approach for the
treatment of DMD. These include systemic drug deliv-
ery ,
7
gene modification at DNA and RNA levels,
8–1 1
cell
transplantation
12–14
and gene delivery with a wide range
of both viral
15–17
and nonviral
18–20
delivery systems.
However , therapeutic levels, together with a stable long-
term presence of dystrophin at the sarco lemma of the
muscle fibres, are essential. One major factor that could
jeopardize the long-term persistence of dystr ophin is an
immune response directed against the genetically mod-
ified fibre. It has been suggested that the introduction
of the complete dystrophin would act as a neoantigen,
Received 30 August 2003; accepted 10 January 2004; published
online 26 February 2004
Correspondence: DJ Wells, Gene T argeting Unit, Department of
Neuromuscular Diseases, Division of Neur oscience and Psychological
Medicine, Imperial College London, Charing Cross Hospital, St Dunstan’ s
Road, London W6 8RP , UK
3
Current addr ess: Center for Biomedical Sciences, School of Biological
Sciences, Royal Holloway, University of London, Surrey TW20 0EX, UK
Gene Therapy (2004) 11 , 884–893
&
2004 Nature Publishing Group All rights reser ved 0969-7128/04
$
25.00
www .nature.com/gt
as the DMD patient’s immune system would not have
seen some, or all, of the epitopes present in the full-
length protein.
21
Immune responses to dystrophin have been reported
in early myoblast transfer experiments, where only
transient expression of dystrophin was achieved.
22
The
delivery of dystrophin with viral vectors to animal
models has also shown short-term expression of
dystrophin in muscle fibres,
23
unless an immunosup-
pressive regime was used.
24
In most cases, it was not
clear if the immune response was directed to the
transgene itself or if this immune response was enhanced
due to the vector system used, that is, cellular compo-
nents or viral coat proteins. W e and others have
demonstrated that following the direct intramuscular
injection of naked plasmid DNA expressing dystrophin
in the mdx mouse, an immune response leads to a loss
of fibr es transfected with human dystrophin by 8 weeks
postinjection,
18,19
but no immune r esponse to murine
dystrophin was detectable by 12 weeks.
18
However , the
overall numbers of dystrophin-positive fibr es obtained
by direct intramuscular injection of plasmid DNA
was very low and so there was a formal possibility
that the expression of gr eater amounts of antigen could
break the tolerance observed in this experiment. In the
current study , plasmid DNA encoding full-length mur-
ine or human dystrophin driven by the CMV promoter
was electroporated into the tibialis anterior (T A) muscles
of mdx mice 2 h after treatment with hyaluronidase,
as this procedure has been shown to achieve high
transfection efficiencies in muscle.
20,25
W e also investi-
gated whether revertant fibres and/or expression of
different dystrophin isoforms contribute to the tole-
rance to murine dystrophin. The role of the other smaller
isoforms of dystrophin in inducing tolerance was
examined in mdx3cv mice, a strain of the mdx mouse
with a mutation in exon 65 and that does not produce
any of the dystrophin isoforms.
26
T o investigate as to
how much of the human dystrophin molecule is
required to provide tolerance to de novo expres sion of
full-length human dystrophin, we examined immune
responses to electrotransfer of a human dystrophin
construct into mdx transgenic lines expressing a range
of internally deleted recombinant human dystrophin
molecules.
Results
Analysis of the microdystrophin transgenic mdx line
The microdystrophin transgenic line expresses a human
microdystrophin with deletion of exons 13–48 (Figure 1)
compared to the deletion of exons 17–48 in the
previously published minidystrophin transgenic line
(AB2).
27
W estern blot analysis of skeletal muscle RIP A
buffer preparations from this microdystrophin trans-
genic mdx line, control C57Bl10 and minidystrophin mice
indicate equivalent total dystrophin expression levels
in the minidystrophin and microdystrophin transgenic
lines (Figure 2a, left panel). Staining with the human
specific antibody Dy10/12B2 confirms the species of
dystrophin expres sed in the micr odystrophin line (Fig-
ure 2a, right panel). In addition to the sarcolemmal-
associated stain, there was a degree of perinuclear stain,
suggesting that the recombinant dystrophin was not
being efficiently translocated to the membrane. The
microdystrophin transgenic line has a moderate dys-
trophic phenotype with regions in which myofibres
show centrally placed myonuclei on haematoxylin and
eosin staining, indicating previous rounds of muscle
degeneration and regeneration (Figure 2b). The micro-
dystrophin line shows a level of dystrophin expression at
the sarcolemma similar to that seen in the minidystro-
phin line when using rabbit polyclonal DysC3750 over a
range of dilutions.
20,28
As shown in Figure 2b, at a
dilution of 1:2000, the endogenous signal in the C57/Bl10
wild-type mouse tissue and in revertant fibres in the
mdx is still clearly visible, but staining of the trans-
gene product is not detectable in the transgenic line
(Figure 2b).
Does the hyalur onidase and electrotransfer procedure
increase the number of revert ant fibres?
In our analysis of the number of dystrophin-positive
fibres following gene transfer in the injected leg, we
subtract the number of revertant fibres in the control
uninjected leg. T o investigate whether the plasmid
electrotransfer procedure per se increases the number of
revertant fibres in the injected leg, 13- to 14-week-old
mdx mice were subjected to the following treatments:
preinjection of saline ( n ¼ 9) or preinjection of saline
followed by electrotransfer of either saline ( n ¼ 4) or
CMV0 plasmid ( n ¼ 5), preinjection of hyaluronidase
( n ¼ 9) or preinjection of hyaluronidase followed by
electrotransfer of either saline ( n ¼ 4) or CMV0 plasmid
( n ¼ 5). The r evertant fibre counts show that there were
no significant differences between any of the groups;
however , the trend shows a decrease in the number of
revertant fibres in the electroporated legs compared to
the nonelectroporated ones (Figure 3).
Electrotransfer of human and murine full-length
dystrophin constructs into mdx and mdx3cv mice
Immune r esponses to the expression of dystrophin were
assessed after hyaluro nidase pretr eatment and electro-
transfer of plasmid DNAs encoding full-length human
or murine dystrophin. Mdx mice (1 1 week old) were
injected in the right T A with either human (CDF) or
Figure 1 Diagrammatic representation of full-length dystrophin and the
internally deleted versions present in the mdx transgenic lines. The
diagram shows the four main domains: actin-binding domain (ABD), four
hinges (H1–4), 24 spectrin-like repeats, cysteine-rich (CR) and carboxy-
terminus domain (CT).
, indicates the start of the sequence overlap
present in the indicated dystr ophin isoforms expr essed from internal
promoters; * , indicates the site of the point mutation in the mdx mouse; #,
indicates the site of the point mutation in the mdx3cv mouse.
Long-term expression of full-length human dystrophin in mdx mice
A Ferrer et al
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Gene Therapy
murine (CMVmoDys) dystrophin-encoding plasmids.
The control left T A was injected with the noncoding
plasmid CMV0. Mice were killed 1 or 8 weeks
postplasmid injection and T A sections were stained for
dystrophin expression using DysC3750 at 1:2000. At 1
week postinjection, mice injected with either construct
showed similar numbers of dystrophin-positive fibres
(Figure 4a and b). However , by 8 weeks postinjection, the
number of human dystrophin-positive fibres had
dropped significantly ( P o 0.001, Figure 4b), consistent
with our previously reported data for intramuscular
injection of plasmid DNA,
18
whereas no differ ence was
found in the number of murine dystr ophin-expressing
fibres between both time points (Figure 4a). At 8 weeks
postinjection of murine dystrophin, there was a non-
significant increa se in CD8 þ infiltrate in the treated mdx
muscle (51.6 7 49.4 additional CD8 þ cells per mm
2
)
above that of the untreated muscle and a similar pattern
was seen 8 weeks postinjection of the human dystrophin
construct (40.3 7 23.4 additional CD8 þ cells per mm
2
).
Despite the higher number of fibres transfected with
murine dystrophin after the combined hyalur onidase
and electrotransfer procedure compared with multiple
direct injection,
18
only a very low level of antibodies
against murine dystrophin was detected by W estern blot
analysis when the murine dystrophin construct was
Figure 2 Dystrophin expression in mdx transgenic lines. (a) Left panel
shows Western blot analysis of dystrophin expression and the right-hand
panel shows immunostaining of muscle from the microdystrophin
transgenic with human dystro phin-specific monoclonal Dy10/12B2
showing perinuclear and sarcolemmal localization of the transgene
product. Scale bar ¼ 50 m m. (b) Muscle histology and dystr ophin staining
of T A muscles from C57/Bl10 (wildtype, WT) mice, mdx and the
microdystr ophin transgenic line. H&E shows the variable sized central
nucleated fibr es as a sign of regeneration in the mdx and microdystr ophin
transgenic muscle and peripheral nuclei in the C57/Bl10. The dystrophin
staining with antibody DysC3750 at a 1:2000 dilution shows the presence
of dystrop hin at the sarcolemma of the muscle fibres in the C57/Bl10
mouse, in revertant fibres in the mdx mouse but no sarcolemmal staining
in the microdystro phin transgenic line. Scale bar ¼ 0.1 mm.
Figure 3 Graph showing the maximum number of revertant fibres detected
in transverse sections of mdx T A muscle subjected to different variants
of the hyaluronidase plus electrotransfer procedure. Each bar represents
stippled grey bar shows saline pr einjection þ saline electrotransfer , n ¼ 4;
stippled black bar shows saline preinjection þ CMV0 electrotransfer , n ¼ 5;
white bar shows hyaluronidase preinjection, n ¼ 9; grey bar shows
hyaluronidase pr einjection þ saline electrotransfer , n ¼ 4; and the black
bar shows hyalur onidase preinjection þ CMV0 electrotransfer , n ¼ 5.
There are no significant differences between any of the groups.
Figure 4 (a and b) show the maximum number of dystrophin-positive
fibres, after subtraction of revertants, in transverse sections of T A muscles
of mdx mice 1 week (black bars) and 8 weeks (grey bars) after injection of
(a) Full-length murine dystrophin plasmid and (b) Full-length human
dystrophin plasmid. Each bar represents the mean of six mice 7 s.e.m.;
there is no significant difference between 1 and 8 weeks in the murine
dystrophin-injected muscles, but there is a significant decrease in the
number of human dystrophin-positive fibres between 1 and 8 weeks. (c and
d) show Western blots of muscle lysates from C. mdx (no dystrophin) and
C57Bl10 muscle (murine dystrophin) or D. mdx and AD17 (over-
expressing human dystrophin), pr obed with pooled serum from the mice
shown in (a) and (b), respectively. 6C5 is the control antidystrophin
monoclonal antibody Dy8/6C5. There is a strong humoral response to
human dystrophin and a very weak response to murine dystrophin. Blots
were simultaneously probed with a monoclonal antibody recognizing
metavinculin and vinculin as a loading control.
A Ferrer et al
886
Gene Therapy
injected into mdx mice (Figure 4c). However , a marked
antibody response to dystrophin was found in the sera
from mdx mice injected with human dystrophin plasmid
CDF (Figure 4d). This response is dystr ophin specific as
these antibodies bind to dystrophin in the human
dystrophin positive AD17 lysate, but not to the mdx
lysate.
W e also examined the number of murine dystrophin-
positive fibres after electrotransfer of CMVmoDys into
the T A muscles of 9-week-old mdx3cv mice. In this and
consecutive experiments, the left leg was left untreated.
As previously seen in the mdx mice, there was no
significant difference in the number of murine dystro-
phin-positive fibres present in the muscle of mdx3cv mice
at 1 and 8 weeks postinjection (Figure 5). The muscles
from the mdx3cv mice presented a very small increase in
CD8 þ infiltrate compared to the uninjected leg (3.8 7 2.9
additional CD8 þ cells per mm
2
evidence of clustering specific to murine dystrophin-
transfected fibres. No antibody response to murine
dystrophin was detected in the treat ed mice (data not
shown).
Direct injection of human full- length dystrophin into
transgenic mdx mice expressing human recombinant
mini-dystrophin
The transgenic line AB2 expres ses human minidystro-
phin, with deletions of exons 17–48 that encode part of
the rod domain. Minidystrophin transgenics and mdx
littermates (6 to 11 weeks old) received one dose of
human full-length plasmid (PTG1 1025) in muscles
treated previously with BaCl
2
to induce muscle regen-
eration and so enhance plasmid gene transfer . At 8 weeks
after the injection of the full-length human plasmid, there
were dystrophin-positive fibres present in the transgenic
muscles, whereas there was a significantly lower number
of dystrophin-transfected fibres in the mdx nontransgenic
littermates ( P ¼ 0.048, Figure 6) . The level of CD8 þ
infiltrate in the treated legs of the transgenic (123.4 7 39.8
2
) and mdx littermates
(124.7 7 44.4 additional CD8 þ cells per mm
2
) was not
significantly different, but both were significantly higher
than the levels in the contralateral untreated muscles
( P ¼ 0.001).
W estern blot analysis against human dystrophin
protein extracts demonstrated no antidystrophin anti-
bodies in the serum from transgenic mice, but mdx
littermates exhibited a clear antibody response to
dystrophin very similar to that shown in Figure 4d (data
not shown).
Electrotransfer of human full-lengt h dystrophin
constructs into transgenic mdx mice expressing
human recombinant microdystrophin
Human full-length plasmid CDF was electroporated into
the left T A of a group of 14–19-week-old microdystro-
phin transgenic mice and mdx littermates leaving the
right leg uninjected. At 8 weeks after injection, a
significantly higher number of dystrophin-positive fibres
were present in the injected muscles of the microdystro-
phin transgenics compared to the number of positive
fibres observed in the mdx nontransgenic littermates
( P ¼ 0.001, Figure 7a).
The experiment was repeated in 18- to 19-week-old
microdystrophin transgenic mice and mdx littermates.
An average of over 200 dystrophin-positive fibres was
present in the T A muscles of microdystrophin transgenic
mice 8 weeks postinjection, with dramatically fewer
dystrophin-positive fibres observed in nontransgenic
mdx littermates ( P ¼ 0.001, Figure 7b).
All muscles from the microdystrophin transgenic mice
showed a very low degree of CD8 þ infiltrate, whereas
mdx mice showed a slightly higher degree of CD8 þ
cells. In experiment 1, this difference was significant
Figure 5 Graph showing the maximum number of dystrophin-positive
fibres, after subtraction of revertants, in transverse sections of T A muscles
of mdx3cv mice 1 week (black bars) and 8 weeks (grey bars) after the
injection of full-length murine dystr ophin plasmid. Each bar repr esents the
mean of six mice 7 s.e.m. There is no significant difference between the
number of dystrophin-positive fibres at 1 and 8 weeks.
Figure 6 Graph showing the maximum number of dystrophin-positive
fibres, after the subtraction of revertant fibres, in transverse sections of T A
muscles of minidystrophin transgenic mice and their nontransgenic mdx
littermates 8 weeks after the injection of full-length human dystro phin
plasmid. Each bar repres ents the mean of seven mice 7 s.e.m. There are
significantly more dystrophin-positive fibres in the minidystrophin
transgenics compared to mdx littermates.
Long-term expression of full-length human dystrophin in mdx mice
A Ferrer et al
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Gene Therapy
( P ¼ 0.002, 0.5 7 0.4 additional CD8 þ cells per mm
2
in
the transgenics compar ed to 78.5 7 60.2 additional CD8 þ
cells per mm
2
in the mdx littermates), but in experiment
2, there was no difference (2.5 7 2.9 additional CD8 þ
cells per mm
2
in the transgenics compared to 1.9 7 2.3
additional CD8 þ cells per mm
2
in the mdx littermates).
A faint antidystrophin antibody response was detected
in the serum from the microdystrophin transgenics in the
first experiment (data not shown), but no response was
noted in the transgenics in the second experiment (Figure
7c). In contrast, a very str ong antibody titre was present
in the serum from mdx littermates (Figure 7c).
Discussion
A number of treatments aimed at correcting the
dystrophic phenotype have been developed. One pro-
mising approach is the introduction of a functional copy
of the dystrophin gene that expresses the protein at
therapeutic levels. T ransgenic mice expressing human
27
or murine
29
dystrophin cDNAs have shown that expres-
sion of the transgene at levels equivalent to 20–30% of
endogenous dystrophin at the sarcolemma can correct
the myopathic phenotype.
Although the expression of a Becker-like minidystro-
phin gene can restore the normal phenotype in trans-
genic mdx muscle, ideally gene therapy for DMD should
involve the delivery of the full-length DNA. For
example, nNOS localization to the sarcolemma requires
elements of the rod domain that are missing in the
recombinant minidystrophin.
30,31
Plasmid DNA is able to
accommodate the 14 kb full-length cDNA and has been
used to deliver the dystrophin gene into the muscles of
mdx mice,
18,32,33
although with a low efficiency . Recently ,
the use of electroporation to introduce plasmids into
muscle has increased gene transfer efficiency ,
25
including
delivery of full-length dystrophin into the skeletal
muscle of mdx mice.
20,34,35
For viral-based delivery ,
adenoviral vectors have been engineered with deletion
of all viral sequences, except for those required for
packaging of the virus. These so-called ‘gutted’ adeno-
viruses have a high cloning capacity and are able to
16
and mouse
16,17
full-length dystrophin into the mdx muscle achieving
very high levels of transfection and improved muscle
function.
W e have previously shown that there is destruction of
the muscle fibre s expressing human full-length in the
mdx mouse but not in the immunodeficient mdx /nude
mouse.
18
Dystrophin is a structural protein present in the
inner part of the muscle sarco lemma, so it is unlikely that
circulating antibodies could bind to dystrophin and
destroy an otherwise intact muscle fibre. A cytotoxic
T -cell response is a more likely mechanism as the
destruction of muscle fibres seen in the mdx mouse was
not seen in the T -cell-deficient mdx /nude mouse. Indeed,
previous studies noted clusters of CD8 þ cells surround-
ing dystrophin-positive fibres in the treated mdx muscles
together with an IgG
18
and a weak
positive dystrophin-specific T -cell ELISPOT in vitro
assay .
19
In contrast, when murine full-length dystr ophin
driven by a muscle-specific promoter was injected into
mdx mice, muscle fibres expressing dystr ophin persisted
for at least 12 weeks and no antibody or CD8 þ T -cell
response was noted.
18
In the present study , we delivered both human and
murine full-length dystrophin cDNAs under the contro l
of a CMV promoter . The CMV promoter allows the
expression of the dystrophin transgene in many cell
types,
36
including pro fessional antigen-presenting cells
(APCs). While the mechanism of crosspriming seems to
be the most likely after intramuscular DNA injection,
37
it
transfected and antigen expression in these APC primes
MHC class I and II responses. W e also increased the
dose of antigen delivered to the mdx mouse by using the
electrotransfer and hyaluronidase pretreatment protocol,
Figure 7 Graphs showing the maximum number of dystrophin-positive
fibres, after the subtraction of revertants, in transverse sections of T A
muscles of micro dystrophin mdx transgenic mice and their nontransgenic
mdx littermates 8 weeks after injection of full-length human dystrophin
plasmid. (a) and (b) represent two separate experiments. Each bar
represents the mean 7 s.e.m. Experiment 1: transgenic n ¼ 10, mdx
n ¼ 13. Experiment 2: transgenic n ¼ 5, mdx n ¼ 5. In both experiments,
there are significantly more dystrophin-positive fibres in the transgenics
compared to mdx littermates. (c) shows a repr esentative Western blot from
experiment 2, serum from mdx littermates treated with human dystrophin
plasmid exhibit a dystrophin-specific antibody response, whereas serum
from similarly treated microdystrop hin transgenic mice show no such
response. 6C5 is the contro l antidystrophin monoclonal antibody Dy8/6C5.
Blots were simultaneously probed with a monoclonal antibody recognizing
metavinculin and vinculin as a loading control.
Long-term expression of full-length human dystrophin in mdx mice
A Ferrer et al
which is able to achieve higher transfection efficiencies in
muscle with a single dose of plasmid DNA
20,25
than
previously obtained with three doses of naked plasmid
DNA directly injected into the muscle.
18
Using the antibody DysC3750 that recognizes both
human and murine dystrophin, we assessed the max-
imum number of dystrophin-transfected fibr es present in
the T A muscles from mdx mice electroporated with the
human and murine plasmids. Control experiments
showed that there was no increase in the number of
revertant fibr es due to the electrotransfer protocol. Thus
we could analyse the number of transfected fibres by
subtracting the number of revertant fibres in the
uninjected leg from the number of dystrophin-positive
fibres in the injected leg. As previously observed, a
strong immune response was triggered against human
full-length dystrophin in the mdx mouse. Despite the
high number of transfected fibres present in the muscle 1
week postelectrotransfer , most fibres wer e eliminated by
CD8 þ infiltrate observed at this later time point.
However , despite the higher level of murine dystro-
phin-transfected fibres achieved with electroporation
and the possible expression of dystrophin in professional
APC, the mdx mouse was again shown to be tolerant to
reco mbinant full- length mu rine dys trophi n. In addition to
the presence of similar numbers of transfected fibres at
both 1 and 8 weeks, there was no evidence of immune
rejection as shown by the lack of specific antibodies to
murine dystrophin or the presence of a specific CD8 þ T
cells infiltrate in the vicinity of murine dystrophin fibres.
However , one mouse did have very few transfected
fibres at the 8 week time point and there was a small
cluster of CD8 þ T cells surrounding a group of
dystrophin-expressing fibres, suggesting that tolerance
was broken in this individual animal. This individual
was probably responsible for the low-level antibody
response seen in the pooled sera from this experiment
(Figure 4c).
Other groups have reported immune r esponses to
murine dystrophin. A decrease in the number of
dystrophin-positive fibres 6 weeks after coisogenic
surrounding dystrophin-positive fibres were noted,
together with a CTL response in vitro against C57Bl10
and murine full-length dystrophin transgenic mdx
myoblasts.
38
Myoblast transplantation may involve the
presentation of other unfamiliar proteins apart from
dystrophin as a result of strain divergence and culture
conditions that could contribute to the rejection. How-
ever , rejection was avoided by intravenous administra-
tion of dystrophin MHCI-specific immunogenic peptides
2 weeks prior to transplantation. Recently , Gilchrist et al
39
have shown a decrease in murine dystrophin expression
levels 8 weeks after adenovirus delivery of murine full-
length dystr ophin, together with the presence of anti-
bodies against murine dystrophin and a CD4 þ and
CD8 þ T -cell infiltrate in the treated tissue. It is difficult
to correlate the dystrophin expression levels reported
with the number of dystrophin-positive fibres obtained
in our study , but it is possible that tolerance was broken
due to the greater antigen load achieved with adenovirus
the adenoviral vehicle may have acted as an adjuvant,
enhancing the immune r esponse to the transgene.
W e believe that the tolerance we observe to murine
dystrophin is due to the pres ence of revertant fibres and
other dystrophin isoforms in the absence of the endo-
genous full-length protein. The expression of dystrophin
epitopes developmentally would have ensured that
immunoreactive T cells were deleted in the thymus.
Each cluster of revertant fibres appears to undergo a
specific exon-skipping event and so each cluster ex-
presses a diff erent internally deleted dystrophin at their
sarcolemma.
6
The mutation in the mdx mice is in exon 23
so it does not affect the production of dystrophin
isoforms apart from the 427 kDa full-length protein. It
is possible that the smaller isoforms give rise to tolerance
to the epitopes present in the second half of the rod
domain and the carboxyl-terminus, whereas revertant
fibres are the only source of the amino-terminus and the
first half of the rod domain epitopes of dystrophin.
The mdx3cv mouse displays revertant fibres although
26
However , the
promoters for all the dystrophin isoforms ar e present
upstream of the site of mutation and so the mdx3cv is
not capable of producing any of the smaller dystrophin
isoforms, unlike the mdx mouse. After injection with
murine full-length dystr ophin plasmid, these mice are
also tolerant to the recombinant murine dystrophin as
there is no significant decrease in the number of
dystrophin-transfected fibres from 1 to 8 weeks.
Since the presence of revertant fibres in the mdx
provides tolerance to murine dystrophin following gene
transfer , we would predict that for many DMD patients
the presence of revertant fibres would similarly prevent
the elimination of transfected fibres. In a study per-
formed by V oit et al ,
40
up to 30% of DMD patients had
some dystrophin expression as detected by W estern blots
and immunohistochemistry . Other groups have also
reported the incidence of revertant fibres in 35–70% of
DMD patients.
41–43
However , the range of dystrophin epitopes expressed
in patient revertant fibres is dependent on the nature and
position of the mutation in the dystrophin gene. In order
to investigate which regions of the dystrophin molecule
are required to provide tolerance to de novo expression of
full-length dystrophin, we have investigated the transfer
of full-length human dystrophin plasmid into mdx
transgenic lines expressing internally deleted recombi-
nant dystrophins. These transgenic lines are similar to
BMD patients or DMD patients in whom there are lar ge
numbers of revertant fibres with exon-skipping events,
resulting in the expression of less than 55% of the
dystrophin molecule.
T olerance was seen in most mice when full-length
dystrophin was injected into the human minidystrophin
transgenic mice (AB2). This was interesting, as these
mice had only 55% of the coding region. However , two
mice in this study showed isolated clusters of CD8 þ
cells around dystrophin-positive fibres and one of them
also had very few transfected fibres, which may be a sign
of incomplete tolerance. It is important to note that this
experiment involved the induction of muscle regenera-
tion by injection of a myotoxic agent in order to increase
the efficiency of plasmid delivery by direct injection.
Thus the mode of treatment and gene delivery may have
contributed to the breakage of tolerance compared to the
results observed in the micro-dystrophin experiments.
Unfortunately it was not possible to perform the
Long-term expression of full-length human dystrophin in mdx mice
A Ferrer et al
889
Gene Therapy
electrotransfer experiments with the minidystrophin
line. At the 8 week time point, a high number of intact
dystrophin-transfected fibres wer e pres ent in the muscles
from the microdystrophin transgenic line that expresses
only 50% of coding region, whereas nearly all transfected
fibres had been eliminated in the mdx littermates (Figure
7a and b). Thus we conclude that the transgenic mice
were tolerant to the full-length protein.
Using an HLA class I humanized mouse model, an
HLA-A*0201-restricted immunodominant epitope fro m
human dystrophin has been identified. This epitope
present in the spectrin-like r epeat 9 of dystrophin is able
to elicit CD8 þ CTL responses following intramuscular
injection of full-length human dystrophin plasmid.
44
The
HLA-A*0201 allele used is expressed in 50% of Cauca-
sian human population. Further studies using other HLA
alleles will be of great interest in determining the extent
of human dystr ophin immune respon ses in the DMD
population. W e await publication of the results from the
AFM and T ransgene Phase I clinical trial for BMD and
DMD.
45
Preliminary reports suggest the absence of
adverse side effects including a lack of antidystrophin
immune responses.
In the mdx mice, at least 5% of the revertant fibres
analysed express almost the full-length molecule.
6
A
subset of DMD patients pres ent with point mutations
(28%) or small deletions (8%),
46
and it is possible that
the vast majority of epitopes of the full-length protein
will be present in at least some muscle fibres. However , a
substantial number of DMD patients (64%) have large
genomic deletions and thus any revertant fibre will not
express a full range of the epitopes. The location of the
mutation in these patients is also of importance, as it will
affect the expression of the other isoforms of dystrophin.
W e have shown that the expression of a very truncated
human dystrophin in transgenic mdx mice prevents the
cytotoxic elimination of human full-length dystrophin-
transfected fibres, and this suggests that in many cases
the presence of revertant fibr es and other isoforms of
dystrophin is likely to confer tolerance and prevent
serious immune responses in patients undergoing
dystrophin gene therapy .
Materials and methods
Dystrophin plasm ids
Plasmids were grown in Escherichia coli XL1-Blue cells
(Stratagene, La Jolla, USA) and purified using the
Endofree plasmid kit from Qiagen (Crawley , UK). LPS
contamination levels in all plasmid prepa rations were
less than 0.05 EU per m g of DNA as assessed using
Pyrogent 500 turbimetric assay (BioWhittaker , W oking-
ham, UK). T wo human dystrophin plasmids utilizing the
strong constitutive CMVIE promoter plus intron were
used both expressing full-length human dystrophin
(CDF and PTG1 1025). CDF (15.6 kb) contains the full-
length human dystrophin cDNA and the alternative
full-length human dystrophin plasmid; PTG1 1025
(18.8 kb) was kindly supplied by Serge Braun (T rans-
gene, Strasbourg, France).
18,19
CDF was used in all the
human dystrophin gene transfer studies, except for the
experiment with the AB2 transgenic line where
PTG1 1025 was used. The murine dystrophin plasmid,
CMVmoDys (16.8 kb), contains the full-length murine
dystrophin in the same plasmid backbone as CDF except
that the SV40 intron associated with the polyadenylation
signal sequences was deleted. The murine full-length
cDNA was subcloned from CV AA, which was kindly
supplied by Jeff Chamberlain.
29
The noncoding plasmid
CMV0 was created by the digestion of CMV lacZ
(Clontech, BD Biosciences, Oxford, UK) with Not I and
Transgenic mou se lines
Tw o mdx transgenic lines in which recombinant human
dystrophin was driven by the human muscle a -skeletal
actin (HSA) pro moter were used in this study . T ransgenic
line AB2 ( D 17–48) expresses human minidystrophin with
the deletion of exons 17–48. It expresses 20% of
endogenous levels of dystrophin at the sarcolemma
and these mice show correction of the myopathic
phenotype.
27
The microdystrophin transgenic line ( D 13–
48) has a further deletion of three exons in the rod
domain. The microdystrophin construct was compiled
from PCR-generated fragments in the laboratory of
Professor George Dickson and subcloned into the same
vector backbone with the HSA promoter as the pre-
viously generated transgenic lines.
27
The new transgenic
line was generated by standard microinjection proce-
dures using C57Bl10 X CBA/CA embryos and transgenic
mice crossed onto the mdx background for several
27
Intramuscular injection of plasmid DNA
All experiments were carried out with a mix of male and
female 6- to 19-week-old mice. Mice were kept in
minimal disease facilities with food and water ad libitum .
Prior to intramuscular injection, mice were anaesthetized
with a mixture of fentanyl/fluanisone and midazolam
(Hypnorm, Janssen Animal Health, High W ycombe, UK
and Hypnovel, Roche, W elwyn Garden City , UK,
respectively).
In the minidystrophin (AB2) experiment, direct injec-
tion of DNA was carried out in artificially regenerated
muscle. At 5 days prior to DNA injection, both T A
muscles were treated with 25 m l of an aqueous solution of
1.2% BaCl
2
, a myotoxic agent that induces necrosis and
subsequent regeneration of the muscle fibres.
48,49
After 5
days, one T A received a single dose of 50 m g of PTG1 1025
plasmid DNA in 25 m l normal saline, injected percuta-
in a proximal to distal direction.
In the other experiments, mice under fentanyl/
fluanisone and midazolam anaesthesia were injected
with 10 U (25 m l at 0.4 U/ m l) of bovine testes hyaluroni-
dase (Sigma, Pool, UK) 2 h prior to DNA injection and
electrotransfer . Mice were anaesthetized by inhalation of
isofluorane, the DNA injected and an electrical field of
175 V/cm was applied in 10 20-ms squar e wave pulses at
1 Hz using a BTX ECM830 electroporator (VWR Inter-
national, Lutterworth, UK) as described in McMahon
et al .
25
The left T A received a single dose of 50 m g
of dystrophin plasmid DNA in 25 m l normal saline,
injected percutaneously using a 27-gauge needle in a
proximal to distal direction. The contralateral T A was
either left uninjected or injected with the same quantity
of CMV0 and served as a control for dystrophin-positive
revertant fibres.
Long-term expression of full-length human dystrophin in mdx mice
A Ferrer et al
890
Gene Therapy
Collection of samples
Depending on the experiment, samples were colleted at
either 1 or 8 weeks after injection of DNA. Under
terminal anaesthesia with 0.1 ml pentobarbitol (Euthe-
sate, National V et Supplies, Stoke on T rent, UK), mice
were subjected to car diac puncture, after which animals
were killed by cervical dislocation. The blood was left for
a few hours at 4 1 C for the blood clot to retract and it was
spun twice at 9000 g for 5 min. For each animal, both T A
were excised post-mortem and mounted on cork blocks
with a cryoembedding compound (Cryo-M-Bed, Bright,
UK). The block was rapidly frozen in isopentane cooled
in liquid nitrogen and stored at 70 1 C. Serial sections
of 10 m m thickness were cut at 10–12 evenly spaced
levels through the block and lifted onto APES-coated
glass slides.
Dystrophin immunos tains
Slides were air-dried, the endogenous biotin blocked
using an avidin/biotin blocking system (V ector Labora-
tories, Peterborough, UK) and nonspecific binding
blocked for 30 min with a 3% solution of dried nonfat
milk (Marvel) in PBS/0.05%T ween-20 (PBST). In an
initial screen of the microdystrophin transgenic line,
sections were stained with either a human dystrophin-
specific monoclonal Dy10/12B2 at 1:10 (kindly supplied
by Louise Nicholson) or dystrophin rabbit polyclonal
DysC3750 at 1:500.
20
For the detection of r evertant fibres
or transfected dystrophin-positive fibres above the
endogenous transgene expression levels, DysC3750 was
titred down to a dilution of 1:2000, a level at which this
antibody shows no dystrophin detection in the mini-
dystrophin line.
28
Primary antibodies were diluted in
PBST plus 1% FCS. Bound antibody was detected with
an appropriate biotinylated species specific secondary
antibody (Dako, Ely , UK) at 1:500 in PBST , followed by
a 30 min incubation with horseradish peroxidase-
conjugated streptavidin/biotin complex (ABC-HRP , V ec-
tor Laboratories, Peterborough, UK). The enzymatic
reaction was visualized by nickel-enhanced diaminoben-
zidine solution and slides were dehydrated, cleared
with xylene and mounted in DPX (VWR International,
Lutterworth, UK).
All microscopical analysis was carried out on a Leica
DML light microscope and images were r ecorded using
an Image Pro-plus package (Datacell, Maidenhead, UK)
and a 3CCD colour camera (JVC). Sections from different
levels of each muscle were examined and the highest
count of dystr ophin-positive fibres was r ecorded both in
the control and injected leg and the maximum number of
dystrophin-positive revertant fibres in the control leg
was subtracted from the total number of dystrophin-
positive fibres in the injected leg.
Immunohistochemical detection of CD8 þ cells
Slides were fixed in acetone for 10 min and nonspecific
biotin binding blocked as described above. Sections were
incubated with primary antibody rat anti-mouse CD8
(clone no. YTS 169.4, Serotec, Oxford, UK) at 1:500 at
room temperature for 1 h. Sections were incubated for an
hour with secondary biotinylated rabbit anti-rat antibody
(Dako, Ely , UK) at 1:500 in PBST , followed by a 30 min
incubation with horseradish peroxidase-conjugated
streptavidin/biotin complex (ABC-HRP , Dako, Ely , UK)
and the reaction visualized as described above.
For quantitation of CD8 þ cells in each sample, the
total number of CD8 þ cells was assessed fro m three
randomly selected fields from the cross-sectional area
showing the highest degree of infiltrate. The three
microscopic fields at a magnification of 100 were
captured to a computer using a JVC Ky-F55B 3-CCD
camera. The pixel area of dark br own DAB precipitate
above a fixed colour threshold was analysed using the
SigmaScan Pro version 5.0.0 image analysis software
(SPSS, Birmingham, UK). A linear regression curve of the
number of manually counted CD8 þ cells versus the pixel
area they occupy in the microscopic field was obtained
for each experiment ( r
2
¼ 0.81–0.95). For each sample, the
average number of CD8 þ cells per random field was
extrapolated from the standard curve and expressed as
the number of CD8 þ cells per mm
2
. The results are
presented as the increa sed number of CD8 þ cells in the
treated muscle compared to the untreated muscle, thus
demonstrating possible specific increases above the
Western blot analysis of humoral immune response
Skeletal muscle fro m C57BL10, mdx, minidystrophin,
microdystrophin and AD17 (a transgenic mouse line that
overexpresses full-length human dystrophin)
27
was
ground to a powder in liquid nitrogen and resuspended
in T ris-buffered saline with 1% NP40, 0.5%. sodium
deoxycholate, 0.1% SDS and protease inhibitors (RIP A
buffer
29
). After a 5 min centrifugation at 13 000 rpm in a
bench centrifuge to pellet myofilaments, the super-
natants were solubilized in 10% SDS sample buffer and
fractionated on a 6% polyacrylamide gel as described
previously .
27,28
Proteins wer e transferred to PVDF mem-
brane and equality of protein transfer confirmed by
staining the membrane with a 0.1% solution of amido
black. For the analysis of humoral immune respon ses,
strips of membrane from blots containing pair ed tracks
were prepared. Methanol prewetted membranes were
incubated with a 5% solution of dried milk (Marvel) in
TBS containing 0.05% of T ween-20 (TBST) prior to
incubation with either control dystrophin monoclonal
antibody Dy8/6C5 (a kind gift fr om Louise Nicholson,
Newcastle, UK) at 1/100 dilution in TBST or 1/20
dilution of mouse serum in 2% Marvel in TBST . All
strips wer e simultaneously probed with a monoclonal
antibody against vinculin at 1/400 dilution in TBST
(V9131, Sigma, Poole, UK). This was chosen as the
loading control as vinculin occupies a subsarcolemmal
position similar to dystrophin. Secondary antibody goat
anti-mouse IgG conjugated to HRP (Biorad, Hertford-
shire, UK) was used at a dilution of 1:10 000. Antibodies
were detected by enhanced chemiluminescence (ECL;
Amersham Biosciences, Chalfont St Giles, UK). The
blots were exposed to blue sensitive X-ray film (GRI,
Braintree, UK) and developed using an Automatic
X-Ray Film (Processor X-ograph Imaging Systems,
Malmesbury , UK).
Statistical analysis
W ith normally distributed data, statistical analysis was
followed by multiple paired comparisons as appropriate.
Long-term expression of full-length human dystrophin in mdx mice
A Ferrer et al
891
Gene Therapy
For nonparametric data, statistical analysis was con-
ducted by Mann–Whitney rank-sum test or ANOV A on
ranks, followed by multiple paired comparisons as
appropriate. Groups were considered statistically sig-
| https://www.researchgate.net/publication/7362772_Long-term_expression_of_full-length_human_dystrophin_in_transgenic_mdx_mice_expressing_internally_deleted_human_dystrophins |
Intelligent Resource Allocation in Joint Radar-Communication With Graph Neural Networks | Request PDF
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Intelligent Resource Allocation in Joint Radar-Communication With Graph Neural Networks
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Paul Varkey
Djordje Tujkovic
Supporting high mobility in millimeter wave (mmWave) systems enables a wide range of important applications such as vehicular communications and wireless virtual/augmented reality. Realizing this in practice, though, requires overcoming several challenges. First, the use of narrow beams and the sensitivity of mmWave signals to blockage greatly impact the coverage and reliability of highly-mobile links. Second, highly-mobile users in dense mmWave deployments need to frequently hand-off between base stations (BSs), which is associated with critical control and latency overhead. Further, identifying the optimal beamforming vectors in large antenna array mmWave systems requires considerable training overhead, which significantly affects the efficiency of these mobile systems. In this paper, a novel integrated machine learning and coordinated beamforming solution is developed to overcome these challenges and enable highly-mobile mmWave applications. In the proposed solution, a number of distributed yet coordinating BSs simultaneously serve a mobile user. This user ideally needs to transmit only one uplink training pilot sequence that will be jointly received at the coordinating BSs using omni or quasi-omni beam patterns. These received signals draw a defining signature not only for the user location, but also for its interaction with the surrounding environment. The developed solution then leverages a deep learning model that learns how to use these signatures to predict the beamforming vectors at the BSs. This renders a comprehensive solution that supports highly-mobile mmWave applications with reliable coverage, low latency, and negligible training overhead. Extensive simulation results, based on accurate ray-tracing, show that the proposed deep-learning coordinated beamforming strategy approaches the achievable rate of the genie-aided solution that knows the optimal beamforming vectors with no training overhead. Compared to traditional beamforming solutions, the results show that the proposed deep learning based strategy attains higher rates, especially in high-mobility large-array regimes.
Toward Intelligent Vehicular Networks: A Machine Learning Framework
Article
Full-text available
Apr 2018
Le Liang
Hao Ye
Geoffrey Li
As wireless networks evolve towards high mobility and providing better support for connected vehicles, a number of new challenges arise due to the resulting high dynamics in vehicular environments and thus motive rethinking of traditional wireless design methodologies. Future intelligent vehicles, which are at the heart of high mobility networks, are increasingly equipped with multiple advanced onboard sensors and keep generating large volumes of data. Machine learning, as an effective approach to artificial intelligence, can provide a rich set of tools to exploit such data for the benefit of the networks. In this article, we first identify the distinctive characteristics of high mobility vehicular networks and motivate the use of machine learning to address the resulting challenges. After a brief introduction of the major concepts of machine learning, we discuss its applications to learn the dynamics of vehicular networks and make informed decisions to optimize network performance. In particular, we discuss in greater detail the application of reinforcement learning in managing network resources as an alternative to the prevalent optimization approach. Finally, some open issues worth further investigation are highlighted.
Scheduling Algorithms for Minimizing Age of Information in Wireless Broadcast Networks with Random Arrivals
Article
Full-text available
Dec 2017
IEEE T MOBILE COMPUT
yu-Pin Hsu
Lingjie Duan
Eytan Modiano
Age of information is a newly proposed metric that captures packet delay to end-users from an application layer perspective. The age measures the amount of time that elapsed since the latest information was generated at a source. In this context, we study an age minimisation problem over a broadcast network to keep many users updated on timely information, where only one user can be served at a time. We formulate a Markov decision process (MDP) to find dynamic scheduling algorithms, with the purpose of minimizing the long-run average age. We show that an optimal scheduling algorithm for the MDP is a simple stationary switch-type. However, the optimal scheduling algorithm is not easy to implement due to the MDP's infinite state-space. Using a sequence of finite-state approximate MDPs, we successfully develop both optimal off-line and on-line scheduling algorithms. We validate the algorithms via numerical studies, and surprisingly show that the performance of no-buffer networks is very close to that of networks with buffers.
Next Generation Radar Sensors in Automotive Sensor Fusion Systems
Conference Paper
Full-text available
Oct 2017
Josef Steinbaeck
Christian Steger
Gerald Holweg
Norbert Druml
During the last decades, radar sensors have become an established component in assisted driving systems. Light detection and ranging (LIDAR) sensors are commonly perceived as the key technology to enable fully autonomous driving, but are still expensive. Recent advances in radar technology, enable modern radar sensors to sense the environment in higher detail, thus adding significant value to the environment perception quality of a sensor fusion system. Due to their performance, reliability, and cost-efficiency, modern radar sensors will be a crucial element in future autonomous vehicles. In this paper we give an overview of the current state-of-the-art of automotive radar sensors and their potential in future vehicles and data fusion systems. We want to show that modern radar sensors add significant value to automotive environment perception in order to enable fully automated driving. Additionally , challenges arising with the integration of new radar sensors and remaining issues are discussed.
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Real-time Sampling Rate Adaptation based on Continuous Risk Level Evaluation in Wireless Body Sensor Networks
Conference Paper
Full-text available
Oct 2017
Carol Habib
Abdallah Makhoul
Rony Darazi
Raphaël Couturier
Wireless Body Sensor Networks (WBSNs) are a low-cost solution allowing remote patient monitoring and continuous health assessment, thus reducing healthcare expenditure. In such networks, sensor nodes periodically collect vital signs and send them to the coordinator for fusion. However, sensor nodes have limited energy and processing resources and transmission is the most power-hungry task. In this paper, we target data reduction and energy consumption. We propose to locally adapt, in real-time, the sampling rate of a sensor node according to the variations in the vital sign being monitored and its risk. We propose to dynamically evaluate, in real-time, the risk of any vital sign given the information about the severity level of the patient's health condition and the severity level of the vital sign itself. We have tested our proposed approach on real health datasets in order to evaluate it. The results show that the percentage of detected critical events and the mean-square error (MSE) are both acceptable. In addition, the percentage of data reduction is around 50% implying a reduction of the energy consumption. Adjusting the risk of a vital sign, over time, ensures the adaptation of the sampling rate according to the overall health condition of the patient as well as the severity level of the collected measurements.
Learning to Communicate with Deep Multi-Agent Reinforcement Learning
Article
Full-text available
May 2016
Jakob Foerster
Yannis Assael
Nando de Freitas
Shimon Whiteson
We consider the problem of multiple agents sensing and acting in environments with the goal of maximising their shared utility. In these environments, agents must learn communication protocols in order to share information that is needed to solve the tasks. By embracing deep neural networks, we are able to demonstrate end-to-end learning of protocols in complex environments inspired by communication riddles and multi-agent computer vision problems with partial observability. We propose two approaches for learning in these domains: Reinforced Inter-Agent Learning (RIAL) and Differentiable Inter-Agent Learning (DIAL). The former uses deep Q-learning, while the latter exploits the fact that, during learning, agents can propagate error derivatives through (noisy) communication channels. Hence, this approach uses centralised learning but decentralised execution. Our experiments introduce new environments for studying the learning of communication protocols and present a set of engineering innovations that are essential for success in these domains.
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Asynchronous Methods for Deep Reinforcement Learning
Article
Full-text available
Feb 2016
Volodymyr Mnih
Adrià Puigdomènech Badia
Mehdi Mirza
Koray Kavukcuoglu
We propose a conceptually simple and lightweight framework for deep reinforcement learning that uses asynchronous gradient descent for optimization of deep neural network controllers. We present asynchronous variants of four standard reinforcement learning algorithms and show that parallel actor-learners have a stabilizing effect on training allowing all four methods to successfully train neural network controllers. The best performing method, an asynchronous variant of actor-critic, surpasses the current state-of-the-art on the Atari domain while training for half the time on a single multi-core CPU instead of a GPU. Furthermore, we show that asynchronous actor-critic succeeds on a wide variety of continuous motor control problems as well as on a new task involving finding rewards in random 3D mazes using a visual input.
Making Bertha See Even More: Radar Contribution
Article
Full-text available
Jan 2015
Juergen Dickmann
Nils Appenrodt
Jens Klappstein
Carsten Brenk
For decades, radar has been applied extensively in warfare, earth observation, rain detection, and industrial applications. All those areas are characterized by requirements such as high quality of service, reliability, robustness in harsh environment and short update time for environmental perception, and even imaging tasks. In the vehicle safety and driver assistance field, radars have found widespread application globally in nearly all vehicle brands. With the market introduction of the 2014 Mercedes-Benz S-Class vehicle equipped with six radar sensors covering the vehicles environment 360° in the near (up to 40 m) and far range (up to 200 m), autonomous driving has become a reality even in low-speed highway scenarios. A large azimuth field of view, multimodality and a high update rate have been the key innovations on the radar side. One major step toward autonomous driving was made in August 2013. A Mercedes-Benz research S-Class vehicle—referred to at Mercedes as Bertha—drove completely autonomously for about 100 km from Mannheim to Pforzheim, Germany. It followed the well-known historic Bertha Benz Memorial Route. This was done on the basis of one stereo vision system, comprising several long and short range radar sensors. These radars have been modified in Doppler resolution and dramatically improved in their perception capabilities. The new algorithms consider that urban scenarios are characterized by significantly shorter reaction and observation times, shorter mean free distances, a 360° interaction zone, and a large variety of object types to be considered. This paper describes the main challenges that Daimler radar researchers faced and their solutions to make Bertha see.
A Survey on Platoon-Based Vehicular Cyber-Physical Systems
Article
Full-text available
Mar 2015
Dongyao(Tony) Jia
Kejie Lu
Jianping Wang
Xuemin Sherman Shen
Vehicles on the road with some common interests can cooperatively form a platoon-based driving pattern, in which a vehicle follows another one and maintains a small and nearly constant distance to the preceding vehicle. It has been proved that, compared to driving individually, such a platoon-based driving pattern can significantly improve the road capacity and energy efficiency. Moreover, with the emerging vehicular adhoc network (VANET), the performance of platoon in terms of road capacity, safety and energy efficiency, etc., can be further improved. On the other hand, the physical dynamics of vehicles inside the platoon can also affect the performance of VANET. Such a complex system can be considered as a platoon-based vehicular cyber-physical system (VCPS), which has attracted significant attention recently. In this paper, we present a comprehensive survey on platoon-based VCPS. We first review the related work of platoon-based VCPS. We then introduce two elementary techniques involved in platoon-based VCPS: the vehicular networking architecture and standards, and traffic dynamics, respectively. We further discuss the fundamental issues in platoon-based VCPS, including vehicle platooning/clustering, cooperative adaptive cruise control (CACC), platoon-based vehicular communications, etc., and all of which are characterized by the tight coupled relationship between traffic dynamics and VANET behaviors. Since system verification is critical to VCPS development, we also give an overview of VCPS simulation tools. Finally, we share our view on some open issues that may lead to new research directions.
Millimeter Wave Mobile Communications for 5G Cellular: It Will Work!
Article
Full-text available
Jan 2013
Shu Sun
Rimma Mayzus
Felix Gutierrez
T.S. Rappaport
The global bandwidth shortage facing wireless carriers has motivated the exploration of the underutilized millimeter wave (mm-wave) frequency spectrum for future broadband cellular communication networks. There is, however, little knowledge about cellular mm-wave propagation in densely populated indoor and outdoor environments. Obtaining this information is vital for the design and operation of future fifth generation cellular networks that use the mm-wave spectrum. In this paper, we present the motivation for new mm-wave cellular systems, methodology, and hardware for measurements and offer a variety of measurement results that show 28 and 38 GHz frequencies can be used when employing steerable directional antennas at base stations and mobile devices.
Real-time status: How often should one update?
Article
Full-text available
Mar 2012
Roy Yates
Sanjit Kaul
Marco Gruteser
Increasingly ubiquitous communication networks and connectivity via portable devices have engendered a host of applications in which sources, for example people and environmental sensors, send updates of their status to interested recipients. These applications desire status updates at the recipients to be as timely as possible; however, this is typically constrained by limited network resources. In this paper, we employ a time-average age metric for the performance evaluation of status update systems. We derive general methods for calculating the age metric that can be applied to a broad class of service systems. We apply these methods to queue-theoretic system abstractions consisting of a source, a service facility and monitors, with the model of the service facility (physical constraints) a given. The queue discipline of first-come-first-served (FCFS) is explored. We show the existence of an optimal rate at which a source must generate its information to keep its status as timely as possible at all its monitors. This rate differs from those that maximize utilization (throughput) or minimize status packet delivery delay. While our abstractions are simpler than their real-world counterparts, the insights obtained, we believe, are a useful starting point in understanding and designing systems that support real time status updates.
Minimizing age of information in vehicular networks
Conference Paper
Full-text available
Jun 2011
Sanjit Kaul
Marco Gruteser
Vinuth Rai
John B. Kenney
Emerging applications rely on wireless broadcast to disseminate time-critical information. For example, vehicular networks may exchange vehicle position and velocity information to enable safety applications. The number of nodes in one-hop communication range in such networks can be very large, leading to congestion and undesirable levels of packet collisions. Earlier work has examined such broadcasting protocols primarily from a MAC perspective and focused on selective aspects such as packet error rate. In this work, we propose a more comprehensive metric, the average system information age, which captures the requirement of such applications to maintain current state information from all other nearby nodes. We show that information age is minimized at an optimal operating point that lies between the extremes of maximum throughput and minimum delay. Further, while age can be minimized by saturating the MAC and setting the CW size to its throughput-optimal value, the same cannot be achieved without changes in existing hardware. Also, via simulations we show that simple contention window size adaptations like increasing or decreasing the window size are unsuitable for reducing age. This motivates our design of an application-layer broadcast rate adaptation algorithm. It uses local decisions at nodes in the network to adapt their messaging rate to keep the system age to a minimum. Our simulations and experiments with 300 ORBIT nodes show that the algorithm effectively adapts the messaging rates and minimizes the system age.
Stable-Baselines3: Reliable Reinforcement Learning Implementations
Article
Jan 2021
J MACH LEARN RES
Antonin Raffin
Ashley Hill
Adam Gleave
Noah Dormann
Stable-Baselines3 provides open-source implementations of deep reinforcement learning (RL) algorithms in Python. The implementations have been benchmarked against reference codebases, and automated unit tests cover 95% of the code. The algorithms follow a consistent interface and are accompanied by extensive documentation, making it simple to train and compare different RL algorithms. Our documentation, examples, and source-code are available at https://github.com/DLR-RM/stable-baselines3.
Learning to Schedule Joint Radar-Communication With Deep Multi-Agent Reinforcement Learning
Article
Nov 2021
IEEE T VEH TECHNOL
Tao Dusit Niyato
Joash Lee
Yong Liang Guan
Dong In Kim
Radar detection and communication are two of several sub-tasks essential for the operation of next-generation autonomous vehicles (AVs). The former is required for sensing and perception, more frequently so under various unfavorable environmental conditions such as heavy precipitation; the latter is needed to transmit time-critical data. Forthcoming proliferation of faster 5G networks utilizing mmWave is likely to lead to interference with automotive radar sensors, which has led to a body of research on the development of Joint Radar Communication (JRC) systems and solutions. This paper considers the problem of time-sharing for JRC, with the additional simultaneous objective of minimizing the average age of information (AoI) transmitted by a JRC-equipped AV. We first formulate the problem as a Markov Decision Process (MDP). We then propose a more general multi-agent system, with an appropriate medium access control protocol (MAC), which is formulated as a partially observed Markov game (POMG). To solve the POMG, we propose a multi-agent extension of the Proximal Policy Optimization (PPO) algorithm, along with algorithmic features to enhance learning from raw observations. Simulations are run with a range of environmental parameters to mimic variations in real-world operation. The results show that the chosen deep reinforcement learning methods allow the agents to obtain good results with minimal a priori knowledge about the environment.
Learning to Schedule Joint Radar-Communication Requests for Optimal Information Freshness
Conference Paper
Jul 2021
Joash Lee
Yong Liang Guan
Dusit Niyato
Dong In Kim
Adaptive Scheduling for Joint CommRadar: Optimizing Tradeoff Among Data Throughput, Queueing Delay, and Detection Opportunities
Conference Paper
Apr 2021
Honghao Ju
Yan Long
Xuming Fang
Rong He
Kalman Filtering With Adaptive Step Size Using a Covariance-Based Criterion
Article
Mar 2021
IEEE T INSTRUM MEAS
Barak Or
Ben-Zion Bobrovsky
Itzik Klein
In Kalman filtering, a trade-off exists when selecting the filter step size. Generally, a smaller step size improves the estimation accuracy, yet with the cost of a high computational load. To mitigate this trade-off influence on performance, a criterion that acts as a guideline for a reasonable choice of the step size is proposed. This criterion is based on the predictor-corrector error covariance matrices of the discrete Kalman filter. In addition, this criterion is elaborated to an adaptive algorithm, for the case of the time-varying measurement noise covariance. Two simulation examples and a field experiment using a quadcopter are presented and analyzed to show the benefits of the proposed approach.
Queue-Aware Dynamic Resource Allocation for the Joint Communication-Radar System
Article
Dec 2020
IEEE T VEH TECHNOL
Heng Yang
Zhiqing Wei
Zhiyong Feng
Ping Zhang
The joint communication-radar system (JCRS) is promising in the future wireless network which can provide great advantages, such as structure simplification, interference mitigation and less resource occupation, compared with the traditional separate deployment of communication and radar systems. However, with the large number of users accessing the network both for communication and radar purposes, massive user data packets may arrive at the base station equipped with the JCRS in a short period of time, which can easily cause the backlog of user data packets and affect network stability. To solve this problem, we introduce orthogonal frequency division multiple access (OFDMA) technique into the JCRS to support communication function for massive users. Then, we design a queue scheduling model of user data packets to perceive the status of current queue backlog and schedule the queue dynamically. Different from the existing works, we formulate a transmit power minimization problem, while taking network stability and radar detection performance into account. Since the problem is a non-convex problem, we transform it into the upper-bound minimization of drift-plus-function by using the Lyapunov optimization technique. Further, the successive convex approximation method and parameter transformation method are exploited to convert this problem into a convex problem. Finally, we derive an optimal closed-form power allocation expression by using the Lagrangian dual decomposition method and propose a dynamic subcarrier and power allocation algorithm. Simulation results show that the proposed algorithm can achieve an
$[{\rm {O}}(1/\eta),{\rm {O}}(\eta)]$
power-backlog tradeoff and demonstrate the efficacy of the proposed algorithm in reducing transmit power while significantly enhancing network stability.
Joint Bi-Static Radar and Communications Designs for Intelligent Transportation
Article
Aug 2020
IEEE T VEH TECHNOL
Ning Cao
Yunfei Chen
Xueyun Gu
Wei Feng
The cooperation of radar and communications becomes important in vehicular environments due to the demand for radar-assisted communications or communications-assisted radar. In this paper, the tradeoff between bi-static radar and communications in a joint radar-communications setting is studied. We propose three schemes by using time division, superposition or their mixture. For each scheme, three optimization problems are formulated to maximize either the probability of detection for radar subject to a minimum communications rate, the communications rate subject to a minimum probability of detection for radar, or a combined measure of tradeoff. Specifically, given a fixed amount of total time or power for both communications and radar, the optimal power allocation and/or time allocation between radar and communications are derived. Numerical results show that the superposition scheme outperforms the time division scheme and the mixture scheme with considerable performance gains. They also show that the surveillance channel in radar and the communications channel are more important than the direct channel in radar.
iRDRC: An Intelligent Real-Time Dual-Functional Radar-Communication System for Automotive Vehicles
Article
Aug 2020
Nguyen Quang Hieu
Dusit Niyato
Hoang Dinh Thai
Cong Luong Nguyen
This letter introduces an intelligent Real-time Dual-functional Radar-Communication (iRDRC) system for autonomous vehicles (AVs). This system enables an AV to perform both radar and data communications functions to maximize bandwidth utilization as well as significantly enhance safety. In particular, the data communications function allows the AV to transmit data, e.g., of current traffic, to edge computing systems and the radar function is used to enhance the reliability and reduce the collision risks of the AV, e.g., under bad weather conditions. The problem of the iRDRC is to decide when to use the communication mode or the radar mode to maximize the data throughput while minimizing the miss detection probability of unexpected events given the uncertainty of surrounding environment. To solve the problem, we develop a deep reinforcement learning algorithm that allows the AV to quickly obtain the optimal policy without requiring any prior information about the environment. Simulation results show that the proposed scheme outperforms baseline schemes in terms of data throughput, miss detection probability, and convergence rate.
Transparent Glass Antenna for 28 GHz and its Signal Reception Characteristics in Urban Environment
Conference Paper
Mar 2020
Minoru Inomata
Toshiki Sayama
Takeshi Motegi
Kiyoshi Nobuoka
Joint Radar-Communication Strategies for Autonomous Vehicles: Combining Two Key Automotive Technologies
Article
Jul 2020
Dingyou Ma
Nir Shlezinger
Tianyao Huang
Yonina Eldar
Self-driving cars constantly assess their environment to choose routes, comply with traffic regulations, and avoid hazards. To that aim, such vehicles are equipped with wireless communications transceivers as well as multiple sensors, including automotive radars. The fact that autonomous vehicles implement both radar and communications motivates designing these functionalities in a joint manner. Such dualfunction radar-communications (DFRC) designs are the focus of a large body of recent work. These approaches can lead to substantial gains in size, cost, power consumption, robustness, and performance, especially when both radar and communications operate in the same range, which is the case in vehicular applications.
Multi-Agent Game Abstraction via Graph Attention Neural Network
Article
Apr 2020
Lucas Liu
Weixun Wang
Yujing Hu
Yang Gao
In large-scale multi-agent systems, the large number of agents and complex game relationship cause great difficulty for policy learning. Therefore, simplifying the learning process is an important research issue. In many multi-agent systems, the interactions between agents often happen locally, which means that agents neither need to coordinate with all other agents nor need to coordinate with others all the time. Traditional methods attempt to use pre-defined rules to capture the interaction relationship between agents. However, the methods cannot be directly used in a large-scale environment due to the difficulty of transforming the complex interactions between agents into rules. In this paper, we model the relationship between agents by a complete graph and propose a novel game abstraction mechanism based on two-stage attention network (G2ANet), which can indicate whether there is an interaction between two agents and the importance of the interaction. We integrate this detection mechanism into graph neural network-based multi-agent reinforcement learning for conducting game abstraction and propose two novel learning algorithms GA-Comm and GA-AC. We conduct experiments in Traffic Junction and Predator-Prey. The results indicate that the proposed methods can simplify the learning process and meanwhile get better asymptotic performance compared with state-of-the-art algorithms.
Space-Domain Index Modulation for MmWave Cloud Radio Access Networks
Article
Mar 2020
IEEE T VEH TECHNOL
Sheng Luo
Ping Yang
Yueling Che
Kaishun Wu
In this paper, we investigate the uplink transmission strategy of a cloud radio access network (C-RAN) based millimeter-wave (mmWave) communication system and propose to use a space-domain index modulation (SDIM) scheme to improve the system reliability. The key idea of the proposed SDIM scheme is to enable the user (UE) to use different beam directions to carry part of information. We first introduce the SDIM scheme into C-RAN based mmWave communication system and model the signal design as an optimization problem. Then, two detection methods, namely the centralized detection and distributed detection, are proposed to demodulate the received signal. Moreover, we propose a power allocation algorithm to minimize the system symbol error rate (SER). Following this, by ignoring the side lobe of the UE, the condition which ensures the superiority performance of mmWave SDIM against the conventional communication scheme is derived. Finally, we model the position of the remote radio heads (RHHs) of the network as a homogeneous Poisson point process (PPP) and derive the probability that the proposed SDIM scheme outperforms the conventional communication scheme to evaluate its performance. Analytical and numerical results show that the proposed SDIM scheme can effectively enhance the system reliability.
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Deep-Learning-Based Wireless Resource Allocation With Application to Vehicular Networks
Article
Dec 2019
P IEEE
Guanding Yu
Le Liang
Hao Ye
Geoffrey Li
It has been a long-held belief that judicious resource allocation is critical to mitigating interference, improving network efficiency, and ultimately optimizing wireless communication performance. The traditional wisdom is to explicitly formulate resource allocation as an optimization problem and then exploit mathematical programming to solve the problem to a certain level of optimality. Nonetheless, as wireless networks become increasingly diverse and complex, for example, in the high-mobility vehicular networks, the current design methodologies face significant challenges and thus call for rethinking of the traditional design philosophy. Meanwhile, deep learning, with many success stories in various disciplines, represents a promising alternative due to its remarkable power to leverage data for problem solving. In this article, we discuss the key motivations and roadblocks of using deep learning for wireless resource allocation with application to vehicular networks. We review major recent studies that mobilize the deep-learning philosophy in wireless resource allocation and achieve impressive results. We first discuss deep-learning-assisted optimization for resource allocation. We then highlight the deep reinforcement learning approach to address resource allocation problems that are difficult to handle in the traditional optimization framework. We also identify some research directions that deserve further investigation.
Optimizing Information Freshness in Wireless Networks Under General Interference Constraints
Article
Dec 2019
IEEE ACM T NETWORK
Rajat Talak
Sertac Karaman
Eytan Modiano
Age of information (AoI) is a recently proposed metric for measuring information freshness. AoI measures the time that elapsed since the last received update was generated. We consider the problem of minimizing average and peak AoI in a wireless networks, consisting of a set of source-destination links, under general interference constraints. When fresh information is always available for transmission, we show that a stationary scheduling policy is peak age optimal. We also prove that this policy achieves average age that is within a factor of two of the optimal average age. In the case where fresh information is not always available, and packet/information generation rate has to be controlled along with scheduling links for transmission, we prove an important separation principle: the optimal scheduling policy can be designed assuming fresh information, and independently, the packet generation rate control can be done by ignoring interference. Peak and average AoI for discrete time G/Ber/1 queue is analyzed for the first time, which may be of independent interest.
Interference in Automotive Radar Systems: Characteristics, Mitigation Techniques, and Current and Future Research
Article
Sep 2019
Stephen Alland
Wayne E. Stark
Murtaza Ali
Manju Hegde
This article examines the problem of interference in automotive radar. Different types of automotive radar as well as mechanisms and characteristics of interference and the effects of interference on radar system performance are described. The interference-to-noise ratio (INR) at the output of a detector is a measure of the susceptibility of a radar to interference. The INR is derived from different types of interfering and victim radars and depends on the location of both as well as parameters such as transmit power, antenna gain, and bandwidth. In addition, for victim radar with beamscanning, INR depends on the location of the target the victim radar is attempting to detect. Analysis is presented to show the effects of various interference scenarios on the INR. A review of the current state of the art in interference mitigation techniques previously deployed as well as areas of research currently being addressed is then provided. Finally, important future research directions are suggested.
Deep Reinforcement Learning for Mobile 5G and Beyond: Fundamentals, Applications, and Challenges
Article
Jun 2019
IEEE Veh Tech Mag
Zehui Xiong
Yang Zhang
Dusit Niyato
Li-Chun Wang
Applications of Deep Reinforcement Learning in Communications and Networking: A Survey
Article
May 2019
Cong Luong Nguyen
Hoang Dinh Thai
Shimin Gong
Dong In Kim
This paper presents a comprehensive literature review on applications of deep reinforcement learning in communications and networking. Modern networks, e.g., Internet of Things (IoT) and Unmanned Aerial Vehicle (UAV) networks, become more decentralized and autonomous. In such networks, network entities need to make decisions locally to maximize the network performance under uncertainty of network environment. Reinforcement learning has been efficiently used to enable the network entities to obtain the optimal policy including, e.g., decisions or actions, given their states when the state and action spaces are small. However, in complex and large-scale networks, the state and action spaces are usually large, and the reinforcement learning may not be able to find the optimal policy in reasonable time. Therefore, deep reinforcement learning, a combination of reinforcement learning with deep learning, has been developed to overcome the shortcomings. In this survey, we first give a tutorial of deep reinforcement learning from fundamental concepts to advanced models. Then, we review deep reinforcement learning approaches proposed to address emerging issues in communications and networking. The issues include dynamic network access, data rate control, wireless caching, data offloading, network security, and connectivity preservation which are all important to next generation networks such as 5G and beyond. Furthermore, we present applications of deep reinforcement learning for traffic routing, resource sharing, and data collection. Finally, we highlight important challenges, open issues, and future research directions of applying deep reinforcement learning.
Federated Learning for Ultra-Reliable Low-Latency V2V Communications
Conference Paper
Dec 2018
Sumudu Samarakoon
Mehdi Bennis
Walid Saad
mérouane Debbah
Deep Reinforcement Learning for Resource Allocation in V2V Communications
Article
Feb 2019
IEEE T VEH TECHNOL
Ye Geoffrey Li
Biing-Hwang Juang
Hao Ye
In this paper, we develop a novel decentralized resource allocation mechanism for vehicle-to-vehicle (V2V) communications based on deep reinforcement learning, which can be applied to both unicast and broadcast scenarios. According to the decentralized resource allocation mechanism, an autonomous “agent”, a V2V link or a vehicle, makes its decisions to find the optimal sub-band and power level for transmission without requiring or having to wait for global information. Since the proposed method is decentralized, it incurs only limited transmission overhead. From the simulation results, each agent can effectively learn to satisfy the stringent latency constraints on V2V links while minimizing the interference to vehicle-to-infrastructure communications.
Design and Experimental Validation of a Cooperative Driving Control Architecture for the Grand Cooperative Driving Challenge 2016
Article
Mar 2018
IEEE T INTELL TRANSP
Robert Hult
Feyyaz Emre Sancar
Mehdi Jalalmaab
Stefania Santini
In this paper, we present the cooperative driving system developed by the Chalmers car team for the grand cooperative driving challenge 2016. This paper gives an overview of the system architecture and describes in detail the communication, signal processing, and decision-making sub-systems. Experimental results demonstrate the system's performance and operation according to the rules and requirements of the competition.
Vehicle headway modeling and its inferences in macroscopic/microscopic traffic flow theory: A survey
Article
Mar 2017
TRANSPORT RES C-EMER
Li Li
Xiqun (Michael) Chen
Autonomous driving at Ulm University: A modular, robust, and sensor-independent fusion approach
Conference Paper
Jun 2015
Felix Kunz
Dominik Nuss
Jurgen Wiest
The project “Autonomous Driving” at Ulm University aims at advancing highly-automated driving with close-to-market sensors while ensuring easy exchangeability of the particular components. In this contribution, the experimental vehicle that was realized during the project is presented along with its software modules. To achieve the mentioned goals, a sophisticated fusion approach for robust environment perception is essential. Apart from the necessary motion planning algorithms, this paper thus focuses on the sensor-independent fusion scheme. It allows for an efficient sensor replacement and realizes redundancy by using probabilistic and generic interfaces. Redundancy is ensured by utilizing multiple sensors of different types in crucial modules like grid mapping, localization and tracking. Furthermore, the combination of the module outputs to a consistent environment model is achieved by employing their probabilistic representation. The performance of the vehicle is discussed using the experience from numerous autonomous driving tests on public roads.
Optimizing age-of-information in a multi-class queueing system
On the Feasibility of Distributed Sampling Rate Adaptation in Heterogeneous and Collaborative Wireless Sensor Networks
Semi-Supervised Classification with Graph Convolutional Networks
We present a scalable approach for semi-supervised learning on graph-structured data that is based on an efficient variant of convolutional neural networks which operate directly on graphs. We motivate the choice of our convolutional architecture via a localized first-order approximation of spectral graph convolutions. Our model scales linearly in the number of graph edges and learns hidden layer representations that encode both local graph structure and features of nodes. In a number of experiments on citation networks and on a knowledge graph dataset we demonstrate that our approach outperforms related methods by a significant margin.
Directional Radio Propagation Path Loss Models for Millimeter-Wave Wireless Networks in the 28, 60, and 73 GHz Bands
Fifth-generation (5G) cellular systems are likely to operate in the centimeter-wave (3-30 GHz) and millimeter-wave (30-300 GHz) frequency bands, where a vast amount of underutilized bandwidth exists world-wide. To assist in the research and development of these emerging wireless systems, a myriad of measurement studies have been conducted to characterize path loss in urban environments at these frequencies. The standard theoretical free space (FS) and Stanford University Interim (SUI) empirical path loss models were recently modified to fit path loss models obtained from measurements performed at 28 GHz and 38 GHz, using simple correction factors. In this paper, we provide similar correction factors for models at 60 GHz and 73 GHz. By imparting slope correction factors on the FS and SUI path loss models to closely match the close-in (CI) free space reference distance path loss models, millimeter-wave path loss can be accurately estimated (with popular models) for 5G cellular planning at 60 GHz and 73 GHz. Additionally, new millimeter-wave beam combining path loss models are provided at 28 GHz and 73 GHz by considering the simultaneous combination of signals from multiple antenna pointing directions between the transmitter and receiver that result in the strongest received power. Such directional channel models are important for future adaptive array systems at millimeter-wave frequencies.
Learning Multiagent Communication with Backpropagation
Many tasks in AI require the collaboration of multiple agents. Typically, the communication protocol between agents is manually specified and not altered during training. In this paper we explore a simple neural model, called CommNN, that uses continuous communication for fully cooperative tasks. The model consists of multiple agents and the communication between them is learned alongside their policy. We apply this model to a diverse set of tasks, demonstrating the ability of the agents to learn to communicate amongst themselves, yielding improved performance over non-communicative agents and baselines. In some cases, it is possible to interpret the language devised by the agents, revealing simple but effective strategies for solving the task at hand.
Millimeter Wave Vehicular Communication to Support Massive Automotive Sensing
As driving becomes more automated, vehicles are being equipped with more sensors generating even higher data rates. Radars (RAdio Detection and Ranging) are used for object detection, visual cameras as virtual mirrors, and LIDARs (Light Detection and Ranging) for generating high resolution depth associated range maps, all to enhance the safety and efficiency of driving. Connected vehicles can use wireless communication to exchange sensor data, allowing them to enlarge their sensing range and improve automated driving functions. Unfortunately, conventional technologies, such as dedicated short-range communication (DSRC) and 4G cellular communication, do not support the gigabit-per-second data rates that would be required for raw sensor data exchange between vehicles. This paper makes the case that millimeter wave (mmWave) communication is the only viable approach for high bandwidth connected vehicles. The motivations and challenges associated with using mmWave for vehicle-to-vehicle and vehicle-to-infrastructure applications are highlighted. A solution to one key challenge - the overhead of mmWave beam training - is proposed. The critical feature of this solution is to leverage information derived from the sensors or DSRC as side information for the mmWave communication link configuration. Examples and simulation results show that the beam alignment overhead can be reduced by using position information obtained from DSRC.
Making Bertha Drive—An Autonomous Journey on a Historic Route
125 years after Bertha Benz completed the first overland journey in automotive history, the Mercedes Benz S-Class S 500 INTELLIGENT DRIVE followed the same route from Mannheim to Pforzheim, Germany, in fully autonomous manner. The autonomous vehicle was equipped with close-to-production sensor hardware and relied solely on vision and radar sensors in combination with accurate digital maps to obtain a comprehensive understanding of complex traffic situations. The historic Bertha Benz Memorial Route is particularly challenging for autonomous driving. The course taken by the autonomous vehicle had a length of 103 km and covered rural roads, 23 small villages and major cities (e.g. downtown Mannheim and Heidelberg). The route posed a large variety of difficult traffic scenarios including intersections with and without traffic lights, roundabouts, and narrow passages with oncoming traffic. This paper gives an overview of the autonomous vehicle and presents details on vision and radar-based perception, digital road maps and video-based self-localization, as well as motion planning in complex urban scenarios.
38 GHz and 60 GHz angle-dependent propagation for cellular & peer-to-peer wireless communications
T.S. Rappaport
As the cost of massively broadband® semiconductors continue to be driven down at millimeter wave (mm-wave) frequencies, there is great potential to use LMDS spectrum (in the 28-38 GHz bands) and the 60 GHz band for cellular/mobile and peer-to-peer wireless networks. This work presents urban cellular and peer-to-peer RF wideband channel measurements using a broadband sliding correlator channel sounder and steerable antennas at carrier frequencies of 38 GHz and 60 GHz, and presents measurements showing the propagation time delay spread and path loss as a function of separation distance and antenna pointing angles for many types of real-world environments. The data presented here show that at 38 GHz, unobstructed Line of Site (LOS) channels obey free space propagation path loss while non-LOS (NLOS) channels have large multipath delay spreads and can exploit many different pointing angles to provide propagation links. At 60 GHz, there is notably more path loss, smaller delay spreads, and fewer unique antenna angles for creating a link. For both 38 GHz and 60 GHz, we demonstrate empirical relationships between the RMS delay spread and antenna pointing angles, and observe that excess path loss (above free space) has an inverse relationship with transmitter-to-receiver separation distance.
Intelligent Transportation Systems
IEEE Veh Tech Mag
The increasing need for mobility has brought about significant changes in transportation infrastructures. Inefficiencies cause enormous losses of time, decrease in the level of safety for both vehicles and pedestrians, high pollution, degradation of quality of life, and huge waste of nonrenewable fossil energy.The scope of this article is to introduce novel functionality for providing knowledge to vehicles, thus jointly managing traffic and safety. This will be achieved through the design of the proposed functionality, which, at a high level, will comprise (1) sensor networks formed by vehicles of a certain vicinity that exchange traffic-related information, (2) cognitive management functionality placed inside the vehicles for inferring knowledge and experience, and (3) cognitive management functionality in the overall transportation infrastructure. The goal of the aforementioned three main components shall be to issue directives to the drivers and the overall transportation infrastructure valuable in context handling.
Digital communication systems
| https://www.researchgate.net/publication/365115402_Intelligent_Resource_Allocation_in_Joint_Radar-Communication_With_Graph_Neural_Networks |
Binding Mode Characterization and Early in Vivo Evaluation of Fragment-Like Thiols as Inhibitors of the Virulence Factor LasB from Pseudomonas aeruginosa | Request PDF
Request PDF | Binding Mode Characterization and Early in Vivo Evaluation of Fragment-Like Thiols as Inhibitors of the Virulence Factor LasB from Pseudomonas aeruginosa | The increasing emergence of antibiotic resistance necessitates the development of anti-infectives with novel modes of action. Targeting bacterial... | Find, read and cite all the research you need on ResearchGate
Binding Mode Characterization and Early in Vivo Evaluation of Fragment-Like Thiols as Inhibitors of the Virulence Factor LasB from Pseudomonas aeruginosa
ACS Infectious Diseases 4(6)
DOI: 10.1021/acsinfecdis.8b00010
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Abstract
The increasing emergence of antibiotic resistance necessitates the development of anti-infectives with novel modes of action. Targeting bacterial virulence is considered a promising approach to develop novel antibiotics with reduced selection pressure. The extracellular collagenase elastase (LasB) plays a pivotal role in the infection process of Pseudomonas aeruginosa and therefore represents an attractive anti-virulence target. Mercaptoacetamide-based thiols have been reported to inhibit LasB as well as collagenases from clostridia and bacillus species. The present work provides an insight into the Structure-Activity-Relationship (SAR) of these fragment-like LasB inhibitors, demonstrating an inverse activity profile compared to similar inhibitors of clostridial collagenase H (ColH). An X-ray co-crystal structure is presented, revealing distinct binding of two compounds to the active site of LasB, which unexpectedly maintains an open conformation. We further demonstrate in vivo efficacy in a Galleria mellonella infection model and high selectivity of the LasB inhibitors toward human matrix-metalloproteinases (MMPs).
... The inhibition of the P. aeruginosa quorum sensing was also reported with promising effects on biofilm development, virulence factor secretion and host colonization [26]. Among the P. aeruginosa virulence factors, Elastase B (LasB) is considered to be one of the most important [27,28]; its inhibition by small molecules improves the survival rate in mice and Galleria mellonella larvae [29]
[30]
[31][32]. ...
... As described in Figure 6, our group reported two new families of thiol inhibitors, which are articulated around N-aryl mercaptoacetamide (compounds 11-13) and N-aryl mercaptosuccinimide cores (compound 14). The N-aryl mercaptoacetamide family was discovered through a functional screening based on the FRET-based in vitro assay, which was previously reported by Nishino et al. [41], with a focused protease-inhibitor library
[30]
. This scaffold has also been reported by Janda et al. from in silico and in vitro studies [42]. ...
... In order to target both S1 and S2 subsites, we attempted to merge both molecules 11a and 11b through the use of N-aryl and N-aliphatic analogs. Unfortunately, this modulation did not allow us to improve the activity of 11 as these new derivatives display IC 50 values in the two-digit micromolar range
[30]
. However, interestingly, the introduction of the benzyl moiety in the α-position of the amide led to a slight increase in activity (compound 12, IC 50 = 2.7 µM), and strikingly, improved it 13-fold when the 3,4-dichloro group was replaced by a 4-methyl motif (compound 13, IC 50 = 0.5 µM) [31]. ...
The Structures and Binding Modes of Small-Molecule Inhibitors of Pseudomonas aeruginosa Elastase LasB
Elastase B (LasB) is a zinc metalloprotease and a crucial virulence factor of Pseudomonas aeruginosa. As the need for new strategies to fight antimicrobial resistance (AMR) constantly rises, this protein has become a key target in the development of novel antivirulence agents. The extensive knowledge of the structure of its active site, containing two subpockets and a zinc atom, led to various structure-based medicinal chemistry programs and the optimization of several chemical classes of inhibitors. This review provides a brief reminder of the structure of the active site and a summary of the disclosed P. aeruginosa LasB inhibitors. We specifically focused on the analysis of their binding modes with a detailed representation of them, hence giving an overview of the strategies aiming at targeting LasB by small molecules.
... [100] Thiol-containing derivatives were also shown to be successful in terms of selectivity over several MMPs.
[101]
For hydroxamatebased inhibitors selectivity, however, remains an issue. [112,113] 3. Ta rgeting of Clostridial Collagenases ...
... [99,100] The discovery of the non-peptidic inhibitor compound 5 remains noteworthy as it demonstrated an in vivo effect in a Galleria mellonella infection model.
[101]
Substrateinspired merging and fragment-growing strategies applied on this structure yielded compound 6 demonstrating a 12-fold increase in potency while maintaining the selectivity and in vivo activity, demonstrating the potential for this new scaffold. [102] Nevertheless, nonpeptidic inhibitors continue to demonstrate low micromolar activities, whereas peptide-based compounds are active in the sub-micromolar range. ...
... [107][108][109] More than 20 different MMPs are present in humans, each classified based on their function and the depth of their S1' binding pocket. [107,110] On the other hand, dysfunction of these enzymes causes various diseases such as cancer, [68] N-aryl mercaptoacetamide 5,
[101]
α-benzyl N-aryl mercaptoacetamide 6, [102] phosphoramidon 7, [103,104] and a virtual screening hit compound 8. [105] ...
Targeting Extracellular Bacterial Proteases for the Development of Novel Antivirulence Agents
As resistance to clinically available antibiotics persistently increases, applying new strategies to target pathogenic bacteria are paramount to design effective drugs. Bacterial proteases play vital roles in cell viability and stress response, contributing to the pathogenicity of the resistant bacteria. Targeting these extracellular enzymes by antivirulence therapy is a prominent strategy in combating multi-drug resistant bacteria. By preventing the colonization and infiltration of the host, this method can lower selection pressure and reduce resistance development significantly. Here, we review the role of bacterial proteases, the rise of antivirulence therapy and we report on the development of novel antivirulence agents targeting two key virulence factors: elastase B (LasB) from Pseudomonas aeruginosa and collagenase H (ColH) from Clostridium histolyticum.
... 1: IC 50 (LasB) = 6.6 ± 0.3 µM).
25
For those compounds, lipophilic (multi-)substitution on the aryl ring was highly favored over hydrophilic para-substitution (compd. 1 four times more active than compd. 2: IC 50 (LasB) = 24 ± 1 µM). ...
... 30,31 This finding revealed that the modulation of the α-position might lead to inhibitors capable to occupy the lipophilic S1' binding pocket of LasB with their side chain and may therefore improve the inhibitory efficiency.
25,
26,30,31 To further explore the effects of other substituents in the α-position, we herein describe the design, synthesis, and biological evaluation of 35 novel α-alkylated mercaptoacetamides 6-40. ...
... For the α-unsubstituted mercaptoacetamides, we have demonstrated that nonpolar substituents on the aryl ring, in particular halogens, are more favorable for LasB inhibition than hydrophilic substituents.
25
However, in the case of α-benzylated derivatives, both polar and nonpolar groups were found to be beneficial for the activity. 30,31 Based on this, we decided to modify both the αside chain with a total of nine different alkyl substituents and the aryl moiety and to investigate the resultant LasB inhibitory activity. ...
N-Aryl-2-iso-butylmercaptoacetamides: the discovery of highly potent and selective inhibitors of Pseudomonas aeruginosa virulence factor LasB and Clostridium histolyticum virulence factor ColH
Preprint
Full-text available
Antimicrobial resistance is currently one of the serious global public health threats. Unlike the conventional antimicrobial drugs, antivirulence agents disarm rather than kill bacterial pathogens and therefore represent an alternative option to skirt the problem of resistance. Pseudomonas aeruginosa elastase (LasB) and Clostridium histolyticum collagenase (ColH) are extracellular bacterial proteases which play a critical role in the establishment and progression of the respective bacterial infection. In this study, we report the modulation of the α-position of the previously reported N aryl mercaptoacetamide class leading to a new type of highly potent LasB and ColH inhibitors (N aryl 2-iso-butylmercaptoacetamides). In addition to their non-toxicity and high selectivity over several human off-targets, selected derivatives may be considered unprecedented dual inhibitors of both LasB and ColH. Among the prepared derivatives, compound 37 showed the most promising properties: it had a favorable safety profile, maintained the viability and integrity of both skin- and lung-cells treated with P. aeruginosa supernatant, demonstrated in vivo efficacy in Galleria mellonella larvae, and revealed a good volume of distribution and moderate in vivo clearance in mice. Taking together, these results demonstrate that compound 37 is a promising candidate for antivirulence drug development.
... An example of such approach include selection of metal chelators in a fragment screening campaign against gelatinase (Wang et al., 2002). Commercial fragment libraries dedicated for matrix metalloprotease (MMPs) such as Chelator Fragment Libraries (CFL 1.1), comprising a range of metal chelating moieties (Agrawal et al., 2008) and protease inhibitorenriched library (Baell and Holloway, 2010), have been deliberately chosen to target a matrix metalloproteinase, LasB (Garner et al., 2012;
Kany et al., 2018a)
. Another example of target-focussed libraries are halogen-enriched fragment libraries (HEFLibs), comprising chemical probes that identify halogen bonds as the main feature of binding mode, and originally constructed to find chemical moieties that stabilise p53 mutants (Heidrich et al., 2019). ...
... With the aim of expanding the chemical space of PaLasB inhibitors, a functional screening based on FRET-based in vitro assay (Nishino and Powers, 1980) was performed against PaLasB using 330 fragments (Maybridge Fragment Library) and a protease inhibitor-enriched library (Baell and Holloway, 2010) comprising of 1,192 low molecular weight compounds
(Kany et al., 2018a)
. This study led to the development of a thiobenzamide (N-(3,4dichlorophenyl)-2-sulfanylacetamide) 15, LasB inhibitor with thiol warhead, with an IC 50 of 6.6 μM ( Figure 4A). ...
... This was selective with regard to human MMPs. The X-ray structure of PaLasB-15 complex revealed that binding of 15 to LasB does not necessarily lead to closure of the binding site
(Kany et al., 2018a)
, unlike that described for thermolysin-like proteases (Adekoya et al., 2015), enzymes with high structural similarity to LasB. Moreover, two molecules of 15 were observed in the structure ( Figure 4B) and the binding of the second molecule was supposed to be supported by the binding of the first molecule. ...
Using Structure-guided Fragment-Based Drug Discovery to Target Pseudomonas aeruginosa Infections in Cystic Fibrosis
Article
Full-text available
Mar 2022
Sheikh Mohammed Arif
Andres Floto
Tom L Blundell
Cystic fibrosis (CF) is progressive genetic disease that predisposes lungs and other organs to multiple long-lasting microbial infections. Pseudomonas aeruginosa is the most prevalent and deadly pathogen among these microbes. Lung function of CF patients worsens following chronic infections with P. aeruginosa and is associated with increased mortality and morbidity. Emergence of multidrug-resistant, extensively drug-resistant and pandrug-resistant strains of P. aeruginosa due to intrinsic and adaptive antibiotic resistance mechanisms has failed the current anti-pseudomonal antibiotics. Hence new antibacterials are urgently needed to treat P. aeruginosa infections. Structure-guided fragment-based drug discovery (FBDD) is a powerful approach in the field of drug development that has succeeded in delivering six FDA approved drugs over the past 20 years targeting a variety of biological molecules. However, FBDD has not been widely used in the development of anti-pseudomonal molecules. In this review, we first give a brief overview of our structure-guided FBDD pipeline and then give a detailed account of FBDD campaigns to combat P. aeruginosa infections by developing small molecules having either bactericidal or anti-virulence properties. We conclude with a brief overview of the FBDD efforts in our lab at the University of Cambridge towards targeting P. aeruginosa infections.
... Interestingly, these compounds are potent inhibitors of P. aeruginosa LasB and collagenases from Clostridium and Bacillus species.
39,
40 Regarding LasB, in addition to the elucidation of the binding mode of our hit compound (1, Scheme 1), we demonstrated the in vivo efficacy of the same derivative in a Galleria mellonella larvae infection model. Moreover, compound 1 shows no cytotoxic effects on HepG2, HEK293 and A549 cells (see ESI, † Table S1) and its thiocarbamate prodrug 1a (see Scheme 1) remarkably displays high selectivity over several human matrix metalloproteases (MMPs). ...
... Moreover, compound 1 shows no cytotoxic effects on HepG2, HEK293 and A549 cells (see ESI, † Table S1) and its thiocarbamate prodrug 1a (see Scheme 1) remarkably displays high selectivity over several human matrix metalloproteases (MMPs).
39
It has been demonstrated that several thiol-containing drugs such as captopril (an angiotensin converting enzyme (ACE) inhibitor which is used for the treatment of hypertension), thiorphan (the active metabolite of racecadotril used for the treatment of diarrhoea), and tiopronin (which is used in patients with cystinuria, Fig. 2), display promising in vitro inhibitory activities toward different MBLs. 41 The shown three inhibitors all consist of the same core structure, that is, a 2-substituted (2-mercaptoacetyl)-or (2-mercatopropanoyl) glycine. ...
... Interestingly, our LasB inhibitor showed a strong inhibitory effect with a sub-micromolar IC 50 value (IC 50 = 0.86 ± 0.06 μM).
39
Based on the encouraging inhibitory activity of compound 1 against IMP-7, this study aimed to further investigate the inhibitory profile of the N-aryl mercaptoacetamide class against various MBLs. Aside from that, another goal was to explore the potential of using this class as multi-target inhibitors tackling both virulence and bacterial resistance. ...
N-Aryl mercaptoacetamides as potential multi-target inhibitors of metallo-β-lactamases (MBLs) and the virulence factor LasB from Pseudomonas aeruginosa
Full-text available
Samir Yahiaoui
Katrin Voos
Increasing antimicrobial resistance is evolving to be one of the major threats to public health. To reduce the selection pressure and thus to avoid a fast development of resistance, novel approaches aim to target bacterial virulence instead of growth. Another strategy is to restore the activity of antibiotics already in clinical use. This can be achieved by the inhibition of resistance factors such as metallo-β-lactamases (MBLs). Since MBLs can cleave almost all β-lactam antibiotics, including the "last resort" carbapenems, their inhibition is of utmost importance. Here, we report on the synthesis and in vitro evaluation of N-aryl mercaptoacetamides as inhibitors of both clinically relevant MBLs and the virulence factor LasB from Pseudomonas aeruginosa. All tested N-aryl mercaptoacetamides showed low micromolar to submicromolar activities on the tested enzymes IMP-7, NDM-1 and VIM-1. The two most promising compounds were further examined in NDM-1 expressing Klebsiella pneumoniae isolates, where they restored the full activity of imipenem. Together with their LasB-inhibitory activity in the micromolar range, this class of compounds can now serve as a starting point for a multi-target inhibitor approach against both bacterial resistance and virulence, which is unprecedented in antibacterial drug discovery.
... In our previous work, we discovered N-aryl mercaptoacetamide inhibitors with low micromolar and nanomolar affinities toward LasB and ColH, respectively.
29,
30 To constrain the flexibility and freeze the active conformation of our previously published thiols, we designed a novel succinimide class ( Figure 2). The succinimide core has been reported for inhibitors of various enzyme targets, such as serine proteases, 31 human leukocyte elastase, cathepsin G and proteinase 3, 32 tumor necrosis factor, and phosphodiesterase. ...
... We designed the initial succinimide core based on our previously published N-aryl mercaptoacetamide inhibitors.
29,
30 To expand the structure− activity relationships (SARs) further and provide more detailed information on the aromatic moiety's influence on the activity, we designed a series of compounds bearing polar, lipophilic, electron-withdrawing or -donating functional groups. In order to prevent disulfide formation, we protected the free thiol group in the form of thioacetate. ...
... In our previous work, we have shown that there is a structural similarity between the inhibitors of LasB and ColH.
29,
30 It was therefore of interest to investigate the activity of all new compounds against ColH and to compare the SAR with that observed for LasB. Figure 3 represents the inhibition of the peptidase domain of ColH (ColH-PD) in the presence of 1 μM of the selected compounds. Previously, we reported that polar substituents in para-position have the most beneficial effect on the activity of N-aryl mercaptoacetamides. ...
N-Aryl-3-mercaptosuccinimides as Antivirulence Agents Targeting Pseudomonas aeruginosa Elastase and Clostridium Collagenases
Article
Full-text available
Anna K. H. Hirsch
Samir Yahiaoui
In light of the global antimicrobial-resistance crisis, there is an urgent need for novel bacterial targets and antibiotics with novel modes of action. It has been shown that Pseudomonas aeruginosa elastase (LasB) and Clostridium histolyticum (Hathewaya histolytica) collagenase (ColH) play a significant role in the infection process and thereby represent promising antivirulence targets. Here, we report novel N-aryl-3-mercaptosuccinimide inhibitors that target both LasB and ColH, displaying potent activities in vitro and high selectivity for the bacterial over human metalloproteases. Additionally, the inhibitors demonstrate no signs of cytotoxicity against selected human cell lines and in a zebrafish embryo toxicity model. Furthermore, the most active ColH inhibitor shows a significant reduction of collagen degradation in an ex vivo pig skin model.
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Show abstract
... 28−32 A class of N-aryl mercaptoacetamides turned out to be particularly attractive because these thiols display high selectivity against a range of human matrix metalloproteinases (MMPs).
32,
33 Thiol-containing compounds are in clinical use for the treatment of various diseases. 34−36 However, a disadvantage of this class compared to other zincchelating inhibitors is the possible oxidation to the respective disulfides, resulting in inactivation of the compounds. ...
... By introduction of these relatively small zinc chelating groups, drastic changes in the size of the thiol function of 1 were avoided to allow the inhibitor backbone to preserve the previously observed binding mode.
32
Carboxylic acid derivatives 3, 4, and 6 were obtained either by reacting aniline 2 with succinic/maleic anhydride or via hydrolysis of methylester intermediate 5. Similarly, 7 was synthesized by reacting 5 with hydroxylamine (Schemes 1A and B). As an isosteric modification we further synthesized the alcohol derivative of 1, compound 8, using glycolic acid in a neat reaction (Scheme 1C). ...
... 45 Intriguingly, thiol 1 has recently been discovered by us to keep the active site cleft in an open conformation due to the unexpected binding of two molecules to the primed binding site (Supplementary Figure S1).
32
In contrast, only one molecule of the hydroxamate binds to the protease, which undergoes the characteristic hinge-bending. Unlike the zinc-chelating thiol, the hydroxamate directly interacts with the edge strand via a hydrogen bond with the main chain oxygen of Ala113. ...
Tackling Pseudomonas aeruginosa Virulence by a Hydroxamic Acid-Based LasB Inhibitor
Asfandyar Sikandar
In search of novel antibiotics to combat the challenging spread of resistant pathogens, bacterial proteases represent promising targets for pathoblocker development. A common motif for protease inhibitors is the hydroxamic acid function, yet this group has often been related to unspecific inhibition of various metalloproteases. In this work, the inhibition of LasB, a harmful zinc metalloprotease secreted by Pseudomonas aeruginosa, through a hydroxamate derivative is described. The present inhibitor was developed based on a recently reported, highly selective thiol scaffold. Using X-ray crystallography, the lack of inhibition of a range of human matrix-metalloproteases could be attributed to a distinct binding mode sparing the S1´ pocket. The inhibitor was shown to restore the effect of the antimicrobial peptide LL 37, to reduce the formation of P. aeruginosa biofilm and, for the first time for a LasB inhibitor, the release of extracellular DNA. Hence, it is capable of disrupting several important bacterial resistance mechanisms. These results highlight the potential of protease inhibitors to fight bacterial infections and point out the possibility to achieve selective inhibition even with a strong zinc anchor.
... The inhibitory activity of the final compounds against LasB was determined as previously reported (Table 1).
43
The electron-withdrawing nitro substituent in the paraposition in compound 11 proved to be less beneficial for the activity compared to the methyl group in compound 3. A slight improvement in potency was achieved through the methoxy group in compound 12. ...
... IC 50 values for all nine derivatives against LasB were determined as reported previously (Table 2).
43
Replacement of the N-aryl ring with a thiazolyl group in compound 18 maintained the potency in the range of compound 5. Interestingly, with a relatively small substituent, methyl thiophenyl 3-carboxylate in compound 19, we observed an almost fivefold drop in IC 50 value, presumably caused by unfavorable interactions due to the highly hydrophobic nature of the binding pocket. ...
Structure-Based Design of α-Substituted Mercaptoacetamides as Inhibitors of the Virulence Factor LasB from Pseudomonas aeruginosa
Isabell Walter
Alaa Alhayek
Antivirulence therapy has become a widely applicable method for fighting infections caused by multidrug-resistant bacteria. Among the many virulence factors produced by the Gram-negative bacterium Pseudomonas aeruginosa, elastase (LasB) stands out as an important target as it plays a pivotal role in the invasion of the host tissue and evasion of the immune response. In this work, we explored the recently reported LasB inhibitor class of α-benzyl-N-aryl mercaptoacetamides by exploiting the crystal structure of one of the compounds. Our exploration yielded inhibitors that maintained inhibitory activity, selectivity, and increased hydrophilicity. These inhibitors were found to reduce the pathogenicity of the bacteria and to maintain the integrity of lung and skin cells in the diseased state. Furthermore, two most promising compounds increased the survival rate of Galleria mellonella larvae treated with P. aeruginosa culture supernatant.
... To support these tasks, theoretical studies oriented to characterize inhibitor interactions with the LasB crystal enzyme [16] could help with the development of new specific drugs to avoid antibiotic resistance in P. aeruginosa. Despite the widespread use of computational methods for drug design, there are a few studies related to the LasB inhibitors [17][18]
[19]
. Fortunately, LasB-ligand complexes have been reported by X-ray crystallography [19]. Notwithstanding of several biological evaluations of sets of LasB inhibitors [13][14][15]17,18,20,21], a quantitative structure-activity relationship (QSAR) to predict and correlate the efficiency of the molecules reported is not present in the literature; neither is a deep description of the LasB binding site. ...
... Despite the widespread use of computational methods for drug design, there are a few studies related to the LasB inhibitors [17][18][19]. Fortunately, LasB-ligand complexes have been reported by X-ray crystallography
[19]
. Notwithstanding of several biological evaluations of sets of LasB inhibitors [13][14][15]17,18,20,21], a quantitative structure-activity relationship (QSAR) to predict and correlate the efficiency of the molecules reported is not present in the literature; neither is a deep description of the LasB binding site. ...
Structural Requirements of N-alpha-Mercaptoacetyl Dipeptide (NAMdP) Inhibitors of Pseudomonas Aeruginosa Virulence Factor LasB: 3D-QSAR, Molecular Docking, and Interaction Fingerprint Studies
Full-text available
Dec 2019
INT J MOL SCI
José Luis Velázquez Libera
Juliana Andrea Murillo López
Alexander F. de la Torre
Julio Caballero
The zinc metallopeptidase Pseudomonas elastase (LasB) is a virulence factor of Pseudomonas aeruginosa (P. aeruginosa), a pathogenic bacterium that can cause nosocomial infections. The present study relates the structural analysis of 118 N-alpha-mercaptoacetyl dipeptides (NAMdPs) as LasB inhibitors. Field-based 3D-QSAR and molecular docking methods were employed to describe the essential interactions between NAMdPs and LasB binding sites, and the chemical features that determine their differential activities. We report a predictive 3D-QSAR model that was developed according to the internal and external validation tests. The best model, including steric, electrostatic, hydrogen bond donor, hydrogen bond acceptor, and hydrophobic fields, was found to depict a three-dimensional map with the local positive and negative effects of these chemotypes on the LasB inhibitory activities. Furthermore, molecular docking experiments yielded bioactive conformations of NAMdPs inside the LasB binding site. The series of NAMdPs adopted a similar orientation with respect to phosphoramidon within the LasB binding site (crystallographic reference), where the backbone atoms of NAMdPs are hydrogen-bonded to the LasB residues N112, A113, and R198, similarly to phosphoramidon. Our study also included a deep description of the residues involved in the protein-ligand interaction patterns for the whole set of NAMdPs, through the use of interaction fingerprints (IFPs).
... µM for 64 and an IC50 = 1.16 ± 0.07 µM for 63, ensuring the future development of novel anti-infective compounds. Finally, the in vitro efficacy towards Galleria mellonella infection models was investigated, and the results suggested that the prodrug 63 did not sufficiently release the active thiol 64
[90]
. ...
Bacterial Zinc Metalloenzyme Inhibitors: Recent Advances and Future Perspectives
Article
Full-text available
May 2023
MOLECULES
Riccardo Di Di Leo
Doretta Cuffaro
Armando Rossello
Elisa Nuti
Human deaths caused by Gram-negative bacteria keep rising due to the multidrug resistance (MDR) phenomenon. Therefore, it is a priority to develop novel antibiotics with different mechanisms of action. Several bacterial zinc metalloenzymes are becoming attractive targets since they do not show any similarities with the human endogenous zinc-metalloproteinases. In the last decades, there has been an increasing interest from both industry and academia in developing new inhibitors against those enzymes involved in lipid A biosynthesis, and bacteria nutrition and sporulation, e.g., UDP-[3-O-(R)-3-hydroxymyristoyl]-N-acetylglucosamine deacetylase (LpxC), thermolysin (TLN), and pseudolysin (PLN). Nevertheless, targeting these bacterial enzymes is harder than expected and the lack of good clinical candidates suggests that more effort is needed. This review gives an overview of bacterial zinc metalloenzyme inhibitors that have been synthesized so far, highlighting the structural features essential for inhibitory activity and the structure–activity relationships. Our discussion may stimulate and help further studies on bacterial zinc metalloenzyme inhibitors as possible novel antibacterial drugs.
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... The toxicity of selected compounds towards three cell lines was determined as described previously.
28
Table S1. ...
Design and synthesis of inhibitors of ColH and LasB
Thesis
Jan 2022
Cansu Kaya
... The peptide sequence H 2 N-Ala-Gly-Leu-Ala-COOH is an established substrate for the bacterial endopeptidase LasB, which specifically cuts between Gly and Leu.
57,
61 This peptide motif can thus be exploited as a cleavable linker between the carbohydrate lectin probe and the antibiotic drug, which are conjugated to the N-and C-termini, respectively. This capping of the peptide protects it from unspecific cleavage by other host-derived exopeptidases, resulting in sufficient metabolic stability. ...
Lectin-Targeted Prodrugs Activated by Pseudomonas aeruginosa for Self-Destructive Antibiotic Release
Article
Full-text available
Oct 2022
Joscha Meiers
Katharina Rox
Alexander Titz
Chronic Pseudomonas aeruginosa infections are characterized by biofilm formation, a major virulence factor of P. aeruginosa and cause of extensive drug resistance. Fluoroquinolones are effective antibiotics but are linked to severe side effects. The two extracellular P. aeruginosa-specific lectins LecA and LecB are key structural biofilm components and can be exploited for targeted drug delivery. In this work, several fluoroquinolones were conjugated to lectin probes by cleavable peptide linkers to yield lectin-targeted prodrugs. Mechanistically, these conjugates therefore remain non-toxic in the systemic distribution and will be activated to kill only once they have accumulated at the infection site. The synthesized prodrugs proved stable in the presence of host blood plasma and liver metabolism but rapidly released the antibiotic cargo in the presence of P. aeruginosa in a self-destructive manner in vitro. Furthermore, the prodrugs showed good absorption, distribution, metabolism, and elimination (ADME) properties and reduced toxicity in vitro, thus establishing the first lectin-targeted antibiotic prodrugs against P. aeruginosa.
... As a major virulence factor of P. aeruginosa, it cleaves host tissue components such as elastin or collagen, disrupts cell-to-cell junctions, and causes tissue damages. The mercaptoacetamidebased compounds, phendione and its iron complexes, were proven to be effective LasB inhibitors that prolonged survival of P. aeruginosa-infected G. mellonella larvae
(Kany et al., 2018;
Galdino et al., 2019;Kaya et al., 2022). Alginate, produced by P. aeruginosa strains isolated from cystic fibrosis (CF) patients with chronic pulmonary infections, plays an important role in the pathology of CF disease by contributing to bacterial adhesion and biofilm formation (May et al., 1991;Boyd and Chakrabarty, 1995;Franklin et al., 2011). ...
Virulence Factors of Pseudomonas Aeruginosa and Antivirulence Strategies to Combat Its Drug Resistance
Article
Full-text available
Jul 2022
Chongbing Liao
Xin Huang
Qingxia Wang
Wuyuan Lu
Pseudomonas aeruginosa is an opportunistic pathogen causing nosocomial infections in severely ill and immunocompromised patients. Ubiquitously disseminated in the environment, especially in hospitals, it has become a major threat to human health due to the constant emergence of drug-resistant strains. Multiple resistance mechanisms are exploited by P. aeruginosa, which usually result in chronic infections difficult to eradicate. Diverse virulence factors responsible for bacterial adhesion and colonization, host immune suppression, and immune escape, play important roles in the pathogenic process of P. aeruginosa. As such, antivirulence treatment that aims at reducing virulence while sparing the bacterium for its eventual elimination by the immune system, or combination therapies, has significant advantages over traditional antibiotic therapy, as the former imposes minimal selective pressure on P. aeruginosa, thus less likely to induce drug resistance. In this review, we will discuss the virulence factors of P. aeruginosa, their pathogenic roles, and recent advances in antivirulence drug discovery for the treatment of P. aeruginosa infections.
... The initial portion of this lecture described their successful identification and characterization of a mercaptoacetamide containing a hit fragment.
58
Inspired by the natural substrate, a subsequent fragment merging, elaboration, and growing strategy resulted in a small molecule candidate with substantially improved activity, compared to the fragment hit, coupled to in vivo activity in a Galleria mellonella larvae model of infection. 59 David Hilko (Griffith University), delivered a lecture describing the incorporation of an improved synthesis of ethynyl-2′-deoxyuridines (EdU) and its application as a chemical probe for the fluorescent labeling of DNA. ...
ICBS 2021: Looking Toward the Next Decade of Chemical Biology
Article
Mar 2022
ACS CHEM BIOL
Clinton G. L. Veale
Arindam Talukdar
Boris Vauzeilles
Hosted virtually by Emory University, through its cochairs Haian Fu (Emory University), Sally-Ann Poulsen (Griffith University), Huw Davies (Emory University), and Alanna Schepartz (UC Berkeley), the International Chemical Biology Society (ICBS) held its 10th Annual Conference from November 10th to 13th 2021. Building on the progress from previous meetings, (1−7) the theme of this year’s event “Looking Towards the Next Decade of Chemical Biology” blended a diverse array of established and early career speakers working under the cross-disciplinary umbrella of chemical biology. In what was a tightly packed schedule, ICBS 2021 consisted of 14 focused sessions and two trainee presentation sessions, in which a total of 69 “podium” presentations were given. In addition, attendees enjoyed six invited keynote lectures and the ICBS Global Lectureship Award. The scientific lecture schedule was complimented by forums discussing the early career chemical biology space, and the next decade of chemical biology, respectively, in addition to two networking and professional development sessions, live poster sessions, and the ICBS business meeting.
... Moreover, bacterial collagenases have been explored as promising targets for inhibiting bacterial invasion without affecting viability of the bacteria [10]
[11]
[12][13]. Whereas the above calls for collagenase inhibition, many applications may benefit from optimized collagenase variants that harbor higher activity and stability. ...
Screening Collagenase Activity in Bacterial Lysate for Directed Enzyme Applications
Collagenases are essential enzymes capable of digesting triple-helical collagen under physiological conditions. These enzymes play a key role in diverse physiological and pathophysiological processes. Collagenases are used for diverse biotechnological applications, and it is thus of major interest to identify new enzyme variants with improved characteristics such as expression yield, stability, or activity. The engineering of new enzyme variants often relies on either rational protein design or directed enzyme evolution. The latter includes screening of a large randomized or semirational genetic library, both of which require an assay that enables the identification of improved variants. Moreover, the assay should be tailored for microplates to allow the screening of hundreds or thousands of clones. Herein, we repurposed the previously reported fluorogenic assay using 3,4-dihydroxyphenylacetic acid for the quantitation of collagen, and applied it in the detection of bacterial collagenase activity in bacterial lysates. This enabled the screening of hundreds of E. coli colonies expressing an error-prone library of collagenase G from C. histolyticum, in 96-well deep-well plates, by measuring activity directly in lysates with collagen. As a proof-of-concept, a single variant exhibiting higher activity than the starting-point enzyme was expressed, purified, and characterized biochemically and computationally. This showed the feasibility of this method to support medium-high throughput screening based on direct evaluation of collagenase activity.
... Using a combination of in silico docking and in vitro testing, Zhu et al. identified a mercaptoacetamidebased thiol scaffold to develop a compound that effectively limited LasB-dependent virulence in C. elegans without impacting other matrix metalloproteases (19). Another group, using a solely in vitro screening approach, assayed ;1.5K small molecules and identified a single mercaptoacetamide-based thiol that inhibited LasB activity and rescued Galleria mellonella from P. aeruginosa pathogenesis
(95)
. A careful analysis demonstrated that the compound interacted with the zinc-based active site of the metalloprotease, which is likely to be the mechanism for all mercaptoacetamide-based LasB inhibitors. ...
High-Throughput Approaches for the Identification of Pseudomonas aeruginosa Antivirulents
Article
Full-text available
Antimicrobial resistance is a serious medical threat, particularly given the decreasing rate of discovery of new treatments. Although attempts to find new treatments continue, it has become clear that merely discovering new antimicrobials, even if they are new classes, will be insufficient. It is essential that new strategies be aggressively pursued. Toward that end, the search for treatments that can mitigate bacterial virulence and tilt the balance of host-pathogen interactions in favor of the host has become increasingly popular. In this review, we will discuss recent progress in this field, with a special focus on synthetic small molecule antivirulents that have been identified from high-throughput screens and on treatments that are effective against the opportunistic human pathogen Pseudomonas aeruginosa .
... This bacterial species has many virulence factors as a strategy for survival in the host (Feng et al., 2016). The nosocomial and toxicogenic P. aeruginosa is a highly adaptable opportunistic bacteria that prevalent in patients with immuno-compromised cystic fibrosis causing invasive infections
(Kany et al., 2018)
; it is responsible of 10% of total infections in the hospitals (Fazeli et al., 2012). In burned patients P. aeruginosa is the causative agents of invasive infections, it is known as a resistant bacteria to a wide range of antimicrobial agents and the host immune system due to their ability in forming biofilms, causing difficulties in medical treatments (Alhazmi,2015). ...
Antibacterial and Anti virulence factors of Purified Dextran from Lactobacillus gasseri against Pseudomonas aeruginosa
The objective of the current study is to purify and characterize dextran from Lactobacillus gasseri and to detect its anti-virulence factors against hemolysin, pyocyanin, and biofilm formation of clinical Pseudomonas aeruginosa isolated from wounds and burns. Purification and characterization of dextran were carried out by a Thin Layer Chromatography (TLC) and a Fourier Trans Infrared Spectroscopy (FTIR). Purified dextran obtained was white, granular, and easily soluble in water. TLC results showed that the purified dextran was composed of glucose only; while FTIR showed that dextran polysaccharide contained both (1-6) ∝-D glucan and (1-3) ∝-glucan. Antibacterial effect of purified dextran was determined against P.aeruginosa isolates using Minimum Inhibitory Concentration (MIC) with concentrations ranging between 0.39 to 200 mg/ml; the MIC was 50 mg/ ml for all isolates. On the other hand, the effect of dextran on the virulence factors of P.aeruginosa was evaluated. Dextran inhibited hemolysin production of P.aeruginosa and the highest inhibition recorded was 29.03%. Pyocyanin production by P.aeruginosa clinical isolates was inhibited by dextran and the concentration was recorded between 2.28-2.35 μg/ml compared with 3.31-3.39 μg/ml for control. The effect of purified dextran on biofilm formation was studied at different incubation periods (24, 48 and 72 h), the highest biofilm inhibition was observed after 72 h was 71.42 %, while the lowest inhibition after 24 h was 37.66% compared to control, which recorded 0% in the absence of dextran. In conclusion, the purified and characterized dextran from local L. gasseri had an inhibitory effect on the growth and virulence factors of clinical P. aeruginosa isolated from wounds and burns.
... Our lab has identified several compounds that inhibit pyoverdine function and rescue C. elegans hosts during P. aeruginosa pathogenesis [43]. Inhibitors of the type III secretion system, elastase LasB, and quorum-sensing have also been identified and validated using these model pathosystems [52][53][54]
[55]
. ...
An In Vitro Cell Culture Model for Pyoverdine-Mediated Virulence
Pseudomonas aeruginosa is a multidrug-resistant, opportunistic pathogen that utilizes a wide-range of virulence factors to cause acute, life-threatening infections in immunocompromised patients, especially those in intensive care units. It also causes debilitating chronic infections that shorten lives and worsen the quality of life for cystic fibrosis patients. One of the key virulence factors in P. aeruginosa is the siderophore pyoverdine, which provides the pathogen with iron during infection, regulates the production of secreted toxins, and disrupts host iron and mitochondrial homeostasis. These roles have been characterized in model organisms such as Caenorhabditis elegans and mice. However, an intermediary system, using cell culture to investigate the activity of this siderophore has been absent. In this report, we describe such a system, using murine macrophages treated with pyoverdine. We demonstrate that pyoverdine-rich filtrates from P. aeruginosa exhibit substantial cytotoxicity, and that the inhibition of pyoverdine production (genetic or chemical) is sufficient to mitigate virulence. Furthermore, consistent with previous observations made in C. elegans, pyoverdine translocates into cells and disrupts host mitochondrial homeostasis. Most importantly, we observe a strong correlation between pyoverdine production and virulence in P. aeruginosa clinical isolates, confirming pyoverdine’s value as a promising target for therapeutic intervention. This in vitro cell culture model will allow rapid validation of pyoverdine antivirulents in a simple but physiologically relevant manner.
... P. aeruginosa rhlR gene, as a regulator member of the rhl system (second QS system), controls coding a set of virulence genes, including those involved in the secretion of pyocyanin and rhamnolipid [14]. The lasB regulates the transcription of metalloprotease elastase [15], resulting in suppression of the immune system and degradation of elastin and collagen
[16]
. Finally, P. aeruginosa toxA increases the secretion of exotoxin A, the most toxic extra cellular secretion and one of the major virulence factors of P. aeruginosa [17,18]. ...
Real-time polymerase chain reaction assays for rapid detection and virulence evaluation of the environmental Pseudomonas aeruginosa isolates
Rapid and species-specific detection, and virulence evaluation of opportunistic pathogens such as Pseudomonas aeruginosa, are issues that increasingly has attracted the attention of public health authorities. A set of primers and hydrolysis probe was designed based on one of the P. aeruginosa housekeeping genes, gyrB, and its specificity and sensitivity was evaluated by TaqMan qPCR methods. The end point PCR and SYBR Green qPCR were used as control methods. Furthermore, multiplex RT-qPCRs were developed for gyrB as reference and four virulence genes, including lasB, lasR, rhlR and toxA. Totally, 40 environmental samples, two clinical isolates from CF patients, two standard strains of P. aeruginosa, and 15 non-target reference strains were used to test the sensitivity and specificity of qPCR assays. In silico and in vitro cross-species testing confirmed the high specificity and low cross-species amplification of the designed gyrB418F/gyrB490R/gyrB444P. The sensitivity of both TaqMan and SYBR Green qPCRs was 100% for all target P. aeruginosa, and the detected count of bacteria was below ten genomic equivalents. The lowest M value obtained from gene-stability measurement was 0.19 that confirmed the suitability of gyrB as the reference gene for RT-qPCR. The developed qPCRs have enough detection power for identification of P. aeruginosa in environmental samples including clean and recreational water, treated and untreated sewage and soil. The short amplicon length of our designed primers and probes, alongside with a low M value, make it as a proper methodology for RT-qPCR in virulence genes expression assessment.
View
... The X-ray crystallography analyzes revealed that this compound did not block the access of the substrate to the catalytic pocket. However, the mercaptoacetamide derivative compound avoided the closure of the active site, preventing the proteolytic action
[118]
. ...
Anti-Virulence Strategy against the Multidrug-Resistant Bacterial Pathogen Pseudomonas aeruginosa: Pseudolysin (Elastase B) as a Potential Druggable Target
Pseudomonas aeruginosa is a non-fermentative, gram-negative bacterium that is one of the most common pathogens responsible for hospital-acquired infections worldwide. The management of the infections caused by P. aeruginosa represents a huge challenge in healthcare settings due to the increased emergence of resistant isolates, some of them resistant to all the currently available antimicrobials, which results in elevated morbimortality rates. Consequently, the development of new therapeutic strategies against multidrug-resistant P. aeruginosa is urgent and needful. P. aeruginosa is well-recognized for its extreme genetic versatility and its ability to produce a lush variety of virulence factors. In this context, pseudolysin (or elastase B) outstands as a pivotal virulence attribute during the infectious process, playing multifunctional roles in different aspects of the pathogen-host interaction. This protein is a 33-kDa neutral zinc-dependent metallopeptidase that is the most abundant peptidase found in pseudomonal secretions, which contributes to the invasiveness of P. aeruginosa due to its ability to cleave several extracellular matrix proteins and to disrupt the basolateral intercellular junctions present in the host tissues. Moreover, pseudolysin makes P. aeruginosa able to overcome host defenses by the hydrolysis of many immunologically relevant molecules, including antibodies and complement components. The attenuation of this striking peptidase therefore emerges as an alternative and promising anti-virulence strategy to combat antibiotic-refractory infections caused by P. aeruginosa. The anti-virulence approach aims to disarm the P. aeruginosa infective arsenal by inhibiting the expression/activity of bacterial virulence factors in order to reduce the invasiveness of P. aeruginosa, avoiding the emergence of resistance since the proliferation is not affected. This review summarizes the most relevant features of pseudolysin and highlights this enzyme as a promising target for the development of new anti-virulence compounds.
... Pseudomonas aeruginosa
188
Kany ...
Development of Pathoblockers by Targeting Secreted Bacterial Proteases
Andreas M. Kany
View
... IMPI is more specific and more potent than other PE-inhibitors [28] such as those based on hydroxamate, [37] metal-chelating dipeptides, [38][39][40] or small molecules. [40] Kany et al.
[41]
analyzed the structure-activity relationship of several PE-inhibitors in detail. ...
The therapeutic potential of the insect metalloproteinase inhibitor against infections caused by Pseudomonas aeruginosa
Objectives
The objective of this study was to investigate the therapeutic potential of the insect metalloproteinase inhibitor (IMPI) from Galleria mellonella, the only known specific inhibitor of M4 metalloproteinases.
Methods
The fusion protein IMPI‐GST (glutathione‐S‐transferase) was produced by fermentation in Escherichia coli and was tested for its ability to inhibit the proteolytic activity of the M4 metalloproteinases thermolysin and Pseudomonas elastase (PE), the latter a key virulence factor of the wound‐associated and antibiotic‐resistant pathogen Pseudomonas aeruginosa. We also tested the ability of IMPI to inhibit the secretome (Sec) of a P. aeruginosa strain obtained from a wound.
Key findings
We found that IMPI‐GST inhibited thermolysin and PE in vitro and increased the viability of human keratinocytes exposed to Sec by inhibiting detachment caused by changes in cytoskeletal morphology. IMPI‐GST also improved the cell migration rate in an in vitro wound assay and reduced the severity of necrosis caused by Sec in an ex vivo porcine wound model.
Conclusions
The inhibition of virulence factors is a novel therapeutic approach against antibiotic resistant bacteria. Our results indicate that IMPI is a promising drug candidate for the treatment of P. aeruginosa infections.
Synthesis, biological evaluation, and molecular docking studies of aldotetronic acid-based LpxC inhibitors
In order to develop novel inhibitors of the bacterial deacetylase LpxC bearing a substituent to target the UDP binding site of the enzyme, a series of aldotetronic acid-based hydroxamic acids was accessed in chiral pool syntheses starting from 4,6-O-benzylidene-d-glucose and l-arabinitol. The synthesized hydroxamic acids were tested for LpxC inhibitory activity in vitro, revealing benzyl ether 17a ((2S,3S)-4-(benzyloxy)-N,3-dihydroxy-2-[(4-{[4-(morpholinomethyl)phenyl]ethynyl}benzyl)oxy]butanamide) as the most potent LpxC inhibitor. This compound was additionally tested for antibacterial activity against a panel of clinically relevant Gram-negative bacteria, bacterial uptake, and susceptibility to efflux pumps. Molecular docking studies were performed to rationalize the observed structure-activity relationships.
N -Aryl Mercaptopropionamides as Broad-Spectrum Inhibitors of Metallo-β-Lactamases
Drug-resistant pathogens pose a global challenge to public health as they cause diseases that are extremely difficult to cure. Metallo-β-lactamases (MBLs) are a diverse set of zinc-containing enzymes that catalyze the hydrolysis of β-lactam drugs, including carbapenems, which are considered as the last resort to fight severe infections. To restore the activity of current β-lactam antibiotics and to offer an orthogonal strategy to the discovery of new antibiotics, we have identified a series of polar N-aryl mercaptopropionamide derivatives as potent inhibitors of several class B1 MBLs. We have identified a hit structure with high selectivity restoring the effect of imipenem and reducing minimum inhibitory concentration (MIC) values up to 256-fold in resistant isolates from Escherichia coli. Furthermore, the combination of imipenem with our inhibitor showed in vivo efficacy in a Galleria mellonella model, increasing the survival rate of infected larvae by up to 31%.
Inhibition of Collagenase Q1 of Bacillus cereus as a Novel Antivirulence Strategy for the Treatment of Skin‐Wound Infections
Despite the progress in surgical techniques and antibiotic prophylaxis, opportunistic wound infections with Bacillus cereus remain a public health problem. Secreted toxins are one of the main factors contributing to B. cereus pathogenicity. A promising strategy to treat such infections is to target these toxins and not the bacteria. Although the exoenzymes produced by B. cereus are thoroughly investigated, little is known about the role of B. cereus collagenases in wound infections.
In this report, the collagenolytic activity of secreted collagenases (Col) is characterized in the B. cereus culture supernatant (csn) and its isolated recombinantly produced ColQ1 is characterized. The data reveals that ColQ1 causes damage on dermal collagen (COL). This results in gaps in the tissue, which might facilitate the spread of bacteria. The importance of B. cereus collagenases is also demonstrated in disease promotion using two inhibitors. Compound 2 shows high efficacy in peptidolytic, gelatinolytic, and COL degradation assays. It also preserves the fibrillar COLs in skin tissue challenged with ColQ1, as well as the viability of skin cells treated with B. cereus csn. A Galleria mellonella model highlights the significance of collagenase inhibition in vivo.
Substrate‐Inspired Fragment Merging and Growing Affords Efficacious LasB Inhibitors
Extracellular virulence factors have emerged as attractive targets in the current antimicrobial resistance crisis. The Gram-negative pathogen Pseudomonas aeruginosa secretes the virulence factor elastase B (LasB), which plays an important role in the infection process. Here, we report a sub-micromolar, non-peptidic, fragment-like inhibitor of LasB discovered by careful visual inspection of structural data. Inspired by the natural LasB substrate, the original fragment was successfully merged and grown. The optimized inhibitor is accessible via simple chemistry and retained selectivity with a substantial improvement in activity, which can be rationalized by the crystal structure of LasB in complex with the inhibitor. We also demonstrate an improved in viv o efficacy of the optimized hit in Galleria mellonella larvae, highlighting the significance of this class of compounds as promising drug candidates.
Substrate‐inspired fragment merging and growing affords efficacious LasB inhibitors
Extracellular virulence factors have emerged as attractive targets in the current antimicrobial resistance crisis. The Gram‐negative pathogen Pseudomonas aeruginosa secretes the virulence factor elastase B (LasB), which plays an important role in the infection process. Here, we report a sub‐micromolar, non‐peptidic, fragment‐like inhibitor of LasB discovered by careful visual inspection of structural data. Inspired by the natural LasB substrate, the original fragment was successfully merged and grown. The optimized inhibitor is accessible via simple chemistry and retained selectivity with a substantial improvement in activity, which can be rationalized by the crystal structure of LasB in complex with the inhibitor. We also demonstrate an improved in viv o efficacy of the optimized hit in Galleria mellonella larvae, highlighting the significance of this class of compounds as promising drug candidates.
Pseudomonas aeruginosa elastase (LasB) as a therapeutic target
The Pseudomonas aeruginosa LasB elastase (elastase B, pseudolysin) is the predominant protease in the P. aeruginosa secretome. It has been shown to hydrolyse a vast array of host and pathogen proteins, degrading some, activating others, and causing damage to tissues, disrupting host immune responses, and promoting inflammation. It is a virulence factor in P. aeruginosa lung infections and has been proposed as an attractive target for the development of a novel antivirulence therapy. In this review, we summarise the activities and biological roles of LasB and focus on efforts to identify and develop specific LasB inhibitor drugs as adjuncts in the treatment of P. aeruginosa infections.
Phosphonate as Stable Zinc‐binding Group for Inhibitors of Clostridial Collagenase H (ColH) as Pathoblocker Agents
Microbial infections are a significant threat to public health and resistances are on the rise, so new antibiotics with novel modes of action are urgently needed. The extracellular zinc metalloprotease collagenase H (ColH) from Clostridium histolyticum is a virulence factor that catalyzes tissue damage, leading to improved host invasion and colonisation. Besides the major role of ColH in pathogenicity, its extracellular localisation makes it a highly attractive target for the development of new antivirulence agents. Previously, we had found that a highly selective and potent thiol prodrug (with a hydrolytically cleavable thiocarbamate unit) provided efficient ColH inhibition. We now report the synthesis and biological evaluation of a range of zinc‐binding group (ZBG) variants of this thiol‐derived inhibitor, with the mercapto unit being replaced by other zinc ligands. Among these, an analogue with a phosphonate motif as ZBG showed promising activity against ColH, an improved selectivity profile, and significantly higher stability than the thiol reference compound, thus making it an attractive candidate for future drug development.
Special Issue (A & I)April 2019
Pseudomonas aeruginosa is an opportunistic pathogen and is a common cause of nosocomial infection, which causes a widerangeof infection, Two hundred and seventy eight samples were collected from different hospitals and private clinics in Waist province during the period from 15th September 2017 to the15th December 2017.Seventy one isolates were identification as Pseudomonas aeruginosa by culture characterized, biochemical tests, API20E .Sixty seven isolates were detected as Peudomonas aeruginosa by molecular methods of 16SrRNA gene.The polymerase chain reaction technique was used for screening, the(9) virulence genes (opr L, opr I, tox A, lasB,phzS ,exoS, phzM, phzH and nan1), the result showed that 67(100%) isolates were PCR positive for oprL and oprI. The determined of toxA gene that PCR positive for 56(83.6%). Another gene lasB were 65(97%) PCR positive. phzS gene were 61(91%) PCR positive. The result of PCR showed that 50(74.6%) isolates were PCR positive for exoS gene. The phzM gene in sixty seven isolates of Pseudomonas aeruginosa give PCR positive result in 36(53.7%).Results of phzH gene in Pseudomonas aeruginosa 32(47.8%).The nan1 gene detected in 67 isolates of Pseudomonas aeruginosa and percentage of PCR positive were 48(71.6%).In conclusion ,in studied the samples, still wounds are the common sites for Pseudomonas aeruginosa followed by ear and urine. 16SrRNA based PCR assay is highly accurate and reliable for identification of Pseudomonas aeruginosa.
| https://www.researchgate.net/publication/323438432_Binding_Mode_Characterization_and_Early_in_Vivo_Evaluation_of_Fragment-Like_Thiols_as_Inhibitors_of_the_Virulence_Factor_LasB_from_Pseudomonas_aeruginosa |
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(PDF) A spectral approach to numerical simulations of the ADM equations
PDF | We present a numerical study of the Einstein equations, according to the Arnowitt-Deser-Misner (ADM) formalism, in order to simulate the dynamics... | Find, read and cite all the research you need on ResearchGate
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A spectral approach to numerical simulations of the ADM equations
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Abstract
We present a numerical study of the Einstein equations, according to the Arnowitt-Deser-Misner (ADM) formalism, in order to simulate the dynamics of gravitational fields. We took in consideration the original $3+1$ decomposition of the ADM equations, in vacuum conditions, in simplified geometries. The numerical code is based on spectral methods, making use of filtering (de-aliasing) techniques. The algorithm has been stabilized via an adaptive time-refinement, based on a procedure that checks self-consistently the regularity of the solutions. The accuracy of our numerical model has been validated through a series of standard tests. Finally, we present also a new kind of initial data that can be used for testing numerical codes.
arXiv:1909.03055v1 [gr-qc] 6 Sep 2019
Noname manuscript No.
(will be inserted by the editor)
A spectral approach to numerical simulations of the
ADM equations
C. Meringolo 1 · S. Servidio 1 · P. V eltri 1
Received: date / Accepted: date
Sommario W e present a numerical study of the Einstein equations, accor-
ding to the Arnowitt-Deser-Misner (ADM) formalism, in order to simulate
the dynamics of gravitational fields. We took in consider ation the original
3 + 1 decomposition of the ADM equations, in vacuum conditions, in simpli-
fied geometries. The numerical code is based on sp ectral methods, making use
of filtering (de-aliasing) techniques. The algo rithm has been stabilized via an
adaptive time-refinement, based on a procedur e that checks self-consistently
the regularity of the solutions. The accuracy of our n umerica l model has been
validated through a series of standard tests. Finally , we present also a new
kind of initial data that can b e used for testing numerical co des.
Keywords Numerical relativity · ADM · numerical simulations
1 Introduction
In last years, many different numerical evolution schemes for Einstein equa-
tions have been developed and proposed, in order to address stability and ac-
curacy problems that have interested the numerical relativity comm unity for
decades. Some of these approaches have been tested on different spacetimes,
and conclusions have been drawn based o n these tests. However, differences
in results originate from many sources, including not only formulations of the
equations, but also gauges, b oundary conditions, numerical methods and so
on [1 – 17]. In this pap er we present a 2 + 1 formalism of the standard ADM
C. Meringolo
E-mail: [email protected]
1 Dipartimento di Fisica, Univ ersità della Calabria, I-87036 Cosenza, Italy
Te l.:+39 0984 49 6138
Fa x: +39 0984 49 4401
2 C. Meringolo 1 et al.
decomposition [18], in vacuum condition, in order to solve Einstein equations.
Our numerical code is based up on a spectral appro ach and periodic b ounda-
ry conditions. The la st ones are characteristic of homogeneous and localized
regions of the space- time. W e use two different anti-aliasing filters in order to
minimize the aliasing instability due to nonlinear terms, and we show how a
’smoothed’ filter leads to a more stable simulation than a truncated ’Heaviside’
filter. W e further stabilize the co de checking the right v alue of the time-step
dt of integration via an adaptive time-refinement, based on a pro cedure that
checks self-consisten tly the regularity of the solutions, called RS C condition .
W e find a new solution of initial data that satisfies the constraint equations,
and leads to s tanding waves of the metric tensor. These wav es a re sinusoidal for
small amplitude of the perturbation, and b ecome even more asymmetrical as
the amplitude increases. The accur acy of our numerical model has been valida-
ted through a series of standard tests, like gauge wave tests and robust stability
tests, as suggested by Alcubierre, Dumbser, Rezzolla et al. [19 – 22,24]. The co-
de successfully passed various numerical tests, showing accuracy , stability and
robustness.
2 F ormulation
Throughout this paper, Latin indices are spatial indices and r un from 1 to 3,
whereas Greek indices are spacetime indices and run from 0 to 3 . The basic
equation is the vacuum Einstein equation:
G µν = 0 . (1)
T o solve Eq. (1) we start from the standard 3 + 1 for mulation of general
relativity of Arnowitt, Deser, and Misner [25, 26], and write the line element
as:
ds 2 = − α 2 dt 2 + γ ij dx i + β i dt dx j + β j dt ,
where α , β k and γ ij are the lapse function, the shift vector and the spa-
tial metric, respectively [25, 26]. Using the 3+1 formalism, the Einstein equa-
tion is split into the constraint equations and the ev olution equations. The
Hamiltonian and momentum constraints are:
R + K 2 − K ij K ij = 0 , (2a)
D i K ij − γ ij K = 0 , (2b)
where K ij , K , R and D i are the extrinsic curvature, the trace part of K ij ,
the scalar curvature of a 3D hypersurface and the covarian t derivative with
respect of γ ij , r espectively. The set of equations (2) represent the initial data
problem, discussed in detail in Ref. [23,36, 37]. The evolution equations for the
spatial metric and the extrinsic curvature are, respectively, written as:
( ∂ t − L β ) γ ij = − 2 αK ij , (3a)
A spectral approac h to numerical simu lations of the ADM equations 3
( ∂ t − L β ) K ij = α R ij − 2 K ik K k
j + K K ij − D i D j α. (3b)
In what follows we will restrict to the case of zero shift ( β k = 0 ). The ADM
evolution equations then reduce to:
∂ t γ ij = − 2 αK ij , (4a)
∂ t K ij = α R ij − 2 K ik K k
j + K K ij − D i D j α. (4b)
Finally , we need evolution equation for the lapse α , i.e., we need to choose
a slicing condition. In the Bona-Massó (BM) formalism [27–30] the following
slicing condition is used:
∂ t α = − α 2 f ( α ) K, (5)
with f ( α ) > 0 but otherwise arbitrary [31–34].
2.1 A 2+1 ADM formulation
In this paper, we will study a simplified, reduced geometry. In particular, we
now introduce a 2 + 1 decomposition, in vacuum conditions and zero shift.
F or example, one can assume that at t = 0 the 3-dimensiona l metric and the
extrinsic curvature are of the type:
γ ij =
γ xx γ xy 0
γ yx γ yy 0
0 0 1
, K ij =
K xx K xy 0
K yx K yy 0
0 0 0
, (6)
with the extra-condition that nothing dep ends of z :
∂ z γ ij = ∂ z K ij = 0 . (7)
It is clear that these initial conditions imply that all the z − components of the
spatial Ricci tensor R ij are zero:
R zj = 0 , ∀ j. (8)
This hold at t = 0 but conditions (6), (7) and (8) guarantee that the terms
of the type R zj do not mix with the R xx , R xy and R yy ter ms during the time
evolution. This happens for both the Ricci tenso r and for all the other dynamic
variables.
Then it is possible rewrite the evolution equations for 2 D quantities for-
mally in the same way of (3), except that indices run over two possible values,
that is ( i, j ) = x, y . T his proves that a 2 + 1 subcase is totally c onsistent with
the full 3 + 1 case.
4 C. Meringolo 1 et al.
3 Numerical technique
3.1 Spectral method
All of our numerical computations are carried out using pseudospectral me-
thods [35]. A br ief outline of our metho d is as follows: given a system of partial
differential equations
∂ t u ( x , t ) = f [ u ( x , t ) , ∂ i u ( x , t )] ,
where u is a collection of dynamical fields (i.e. γ ij , K ij , α ), the solution u ( x , t )
is expressed as a time-dependent, trunca ted linear combination u N ( x , t ) of
spatial basis functions φ k ( x ) , k ∈ Z :
u ( x , t ) ≃ u N ( x , t ) =
n / 2
X
k = − n / 2 e u k ( t ) φ k ( x ) . (9)
Associated with the bas is functions is a set of N co llocation points x i . Gi-
ven spectral coefficients e u k ( t ) , the function values at the collocation points
u N ( x i , t ) are computed using Eq. (9). Conversely, t he spectral c oefficients are
obtained by the inverse transform:
e u k ( t ) =
n/ 2
X
i = − n/ 2
w i u N ( x i , t ) φ k ( x i ) ,
where w i are weights specific to the choice of basis functions and collocation
points. Thus it is straightforward to transform between the sp ectral co efficients
e u k ( t ) and the function v alues at the collocation points u N ( x i ) .
Because the tests discussed here ar e periodic in all s patial dimensions, we
use Fo urier basis functions φ k ( x ) = e i k · x . Eq. (9) then becomes:
u N ( x , t ) =
n / 2
X
k = − n / 2 e u k ( t ) e i k · x .
Note that in a periodic domain, it is easy to show that the above series is simply
truncated to n = N/ 2 . Note also that the reality conditions gives e u k = e u ∗
− k .
T o solve the differential equations, we ev aluate spatial derivatives analytically
using the known deriv atives of the basis functions:
∂ i u N ( x , t ) =
n / 2
X
k = − n / 2 e u k ( t ) ∂ i e i k · x .
F or smooth solutions, the spec tral approximation Eq. (9) converges exponen-
tially (error ∼ e − λN for some λ > 0 which depends on the solution). This is
much faster than the polynomial convergence ( error ∼ 1 /N p ) obtained using
p th-order finite-differencing [38].
A spectral approac h to numerical simu lations of the ADM equations 5
3.1.1 The aliasing phenomenon and the anti-aliasing filters
Let consider now the simplest poss ible nonlinearity , i.e. the product of two
functions f ( x ) and g ( x ) in a one-dimensional problem, defined by their trun-
cated Fourier series with N modes:
f N ( x ) =
m
X
p = − m e
f p e ipx , g N ( x ) =
m
X
q = − m e g q e iqx , (10)
where e
f p and e g q are the complex related Fourier coefficients.
The product of two functions in the physical space, defined of a finite,
periodic g rid, where therefore m = N/ 2 , becomes a convolution product in
F ourier space, namely
f ( x ) g ( x ) = m
X
p = − m e
f p e ipx m
X
q = − m e g q e iqx =
m
X
m
X
q = − m e
f p e g q e i ( p + q ) x . (11)
It can be clearly seen that the product (11) contains high order harmonics re-
spect to the tr uncated Fourier series of singles functions (10), which cannot be
represented on the initial grid. They will contribute to the well-know aliasing
error [39], since the F ourier transform of this pro duct gives:
e
Q k = Z f ( x ) g ( x ) e − ikx dx = ··· = X
p + q = k e
f p e
f q , (12)
where we have defined a single sum over some selected couplings, namely
P p + q = k { ... } ≡ P p P q { ... } δ p + q,k . Now suppose that both f and g have all the
harmonics, from − N/ 2 to N / 2 . One can immediately see how products like
Eq. (12) proliferates energy into k > N/ 2 , causing the aliasing error and hence
numerical instabilities. In order to eliminate instabilities due to aliasing in the
quadratic nonlinear terms, it is then us eful to define a k ∗ in such a wa y that
all coefficients with p, q, ... > k ∗ are ze ro. F or a quadratic nonlinearity of the
type in Eq.s (11)–(12), it has been demo nstrated that is sufficient to filter out
modes with k > k ∗ = 2 N/ 3 , instead of k ∗ = N/ 2 . This fully eliminates the
aliasing instability (see e.g. [40]).
In summary , the technique is very simple: on the final product it is enough
to set e
Q k = 0 for k > 2 N / 3 . In the case of the Einstein field equations, it is
important to consider the very high nonlinea rity of the system. Let’s take for
example Eq. (3b), where one has products o f the type:
∂ t K xx ∼ .... + 1
4 αγ y x ( ∂ y γ xx ) γ yy ( ∂ x γ y y ) + ...
The above quantity has a nonlinearity of order 5 , which corresponds to a
terrible convolution in the F ourier space. Following the abov e decomposition,
indeed, for a generic quintic product, in 2D, one has to c onsider generally
Q ( x ) = f 1 ( x ) f 2 ( x ) f 3 ( x ) f 4 ( x ) f 5 ( x ) .
6 C. Meringolo 1 et al.
T aking the F ourier transforms, and applying the space-integral, one gets:
e
Q k = X
p + q + l + h + n = k e
f 1 ( p ) e
f 2 ( q ) e
f 3 ( l ) e
f 4 ( h ) e
f 5 ( n ) .
It is easy to envision a process in which the above products produce immedia-
tely high-order harmonics and therefore a prono unced aliasing instability.
Because of the ab ove discussion, in this pap er, different values of k ∗ have
been chosen, depending on the difficulty of the sim ula tion and on the initial
conditions type. Generally, by filtering high F ourier modes, the price to pay
is the loss of effective resolution (information). How ever, by suppressing this
high- k ’s activity , the co des become more stable and a ccurate since the convo-
lution in the quintic products does not push energy outside from the allowed
k –space.
W e will adopt Fast F ourier Transforms (FFT) [41] to compute spatial de-
rivatives. F or any product (and in general for any variable), we filter out the
highest harmonics using two types of filter Φ k ∗ ( k ) . We will have then:
f N ( x ) =
N/ 2
X
k = − N/ 2 e
f k e ikx Φ k ∗ ( k ) .
A first truncated ’Heaviside’ filter is defined a s:
Φ k ∗ ( k ) = 1 if | k | ≤ k ∗ , (13a)
Φ k ∗ ( k ) = 0 if | k | > k ∗ , (13b)
and a second smoothed filter is given by:
Φ k ∗ ( k ) = e − a | ξ a | , (14)
where ξ = | k |
k ∗ and a = 30 .
(grid-size), k ∗ = N/ 3 (typical quadratic nonlinearities), N / 4 and so on.
3.2 Runge-Kutta method
F or our numerical tests we use a second-order Runge-K utta (RK) metho d [42].
Consider a function y ( t ) , with t ∈ [0 , + ∞ ) and F ( t, y ) a generic function in
the Cauchy problem:
∂ t y ( t ) = F ( t, y ( t )) , y ( t 0 ) = y 0 . (15)
Assuming the function y n know at the discrete time interval n , the idea is to
write the function y n +1 at time n + 1 as linear combination of the form:
y n +1 = y n + aK 1 ( t n , y n ) + bK 2 ( t n , y n ) + O ( ∆t 3 ) (16)
A spectral approac h to numerical simu lations of the ADM equations 7
where
K 1 = ∆t F ( t n , y n ) , K 2 = ∆t F ( t n + ϑ∆t, y n + ϕK 1 ) ,
∆t is the time-step of integration and a, b, ϑ, ϕ are parameters. Using a Ta ylor
expansion, it is easy to get:
K 2 ≃ ∆t F ( t n , y n ) + ϑ∆t ∂ t F t n ,y n
+ ϕK 1 ∂ y F t n ,y n + O ( ∆t 3 ) .
In Eq. (16) one obtains:
y n + ∆t F ( t n , y n ) + 1
2 ∆t 2 ∂ t F t n
+ 1
2 ∆t 2 ∂y F y n
= y n + a∆tF ( t n , y n )+
+ bϕK 1 ∆t ∂ y F y n
.
In order to o btain a second-order scheme, it must be a + b = 1 , bϑ = 1 / 2 and
bϕ = 1 / 2 , while the parameter ϑ is free. Finally, with these substitutions, one
has:
y n +1 = y n + 1 − 1
2 ϑ ∆t F ( t n , y n ) + 1
2 ϑ ∆t F ( t n + ϑ∆t, y n + ∆t F ( t n , y n )) .
Choosing ϑ = 1 / 2 one obtains the second-order Runge-Kutta scheme:
y n +1 = y n + ∆t F t n + ∆t
2 , y n + F ( t n , y n ) ∆t
2 .
3.3 Running Stability Check (RSC)
In numerical metho ds, the Courant-Friedric hs-Lewy (CFL) condition is a ne-
cessary convergence condition for the solution of certain partial differential
equations problems [43], in particular for explicit time integration schemes.
Suppose to describ e the motion of a wave traveling through a discrete spatial
grid with speed v . O ne has to choose a length interv al ∆x of spatial grid and a
time step integration ∆t , but these two quantities are not really independent:
in order to obtain “go od results”, the CFL condition impo ses that it must
be ∆t = f ( ∆x ) . Schematically, the condition says that if a generic wave is
moving across a discrete s patial grid, then the time step must b e less than
step and “space step” a re tight related, and in particular the “space step” (i.e.
the grid point separation) fix an upper limit for the time step: if the second
one is reduced, the first one must also decrease. For a simple one-dimensional
propagating fluctuation, the CFL condition is given by ∆t < C ∆x
v , where C is
called Courant num ber, and in general is chosen to be 1 / 2 , in order to b etter
satisfy the condition. A general criterion for determination of the time-step
integration dt is necessary in order to maximize the efficiency o f the code and
avoid instabilities, especially in the unknown case of the ADM equations. F or
8 C. Meringolo 1 et al.
this purpose, we will elaborate the CFL idea, in a more general sense. For any
ADM dynamic variable, let say A ij , there is an evolution equation
∂A ij
∂t ≃ ∆A ij
∆t , (17)
from Eq. (17) one can estimate the time step relative to the dynamical varia-
bles A ij as T ( A ij ) d
= A ij
∂ t A ij , and one obtains resp ectively for the metric, the
extrinsic curvature and the lapse
T ( γ ij ) d
= − γ ij
,
T ( K ij ) d
= K ij
α R ij − 2 K ik K k
j + K K ij − D i D j α ,
T ( α ) d
= − α
α 2 f ( α ) K .
It is evident that variables that have a large time-deriv ative (they are fluc-
tuating fast), have a small related T (less stable). Analog ously , small time
derivatives (or very large functions) lead to high T (more stable region). Fur-
thermore, from our preliminary tests, it turns out that a small T anticipate the
typical code-crashing. The technique hence consist of an interesting monitoring
during the evolution of the code, together with the violation of the AMD con-
straints. Note also that the ab ove technique it might provide a general guess
for the choice of the in tegr ation time step in the second-order Runge-Kutta
technique. F r om the ab ove reasoning, since there are several control times T ,
one can choose the time step constrained to the following general expression:
∆t < C min {T j } (19)
where C is the Coura nt num ber and index j run over all the ADM dynamic
variables. This method is called Running Stability Check (RSC), since it com-
putes continuously in time the minimum time step, controlling all the possible
merical simulation, even in a self-adjusting fashion. Essentially, whenever the
characteristic times T becomes to o small, the code reduces its time step of
the second order Runge-Kutta. This metho d is called adaptive time refine-
ment and leads to an improvement of stability , as will be shown in the next
testbeds.
4 Standard numerical testb eds
In this Section we will perform new direct numerical simulations of the gravi-
tational dynamics. We will explore all the standard numerical testbeds, sugge-
sted by Alcubierre, Dumbser, Rezzolla et al. [19 – 23], in order to validate our
code. For each test, we will check accuracy by inspecting the conserved quan-
tities of the ADM formalism, applying the running stability check and v arying
A spectral approac h to numerical simu lations of the ADM equations 9
the anti-aliasing filters. An adaptive Runge-Kutta metho d will b e employed in
order to further ensure numerical stability. Aft er these fundamental tests, we
show a new possible initial condition that leads to standing nonlinear waves.
4.1 Robust stability test
The robust stability testbed efficiently reveals exponentially growing modes
which otherwise might be masked beneath a strong initial signal for a con-
siderable evolution time. It is based up on small random p erturbations of
Minkowski space. As suggested by Alcubierre et al. in Ref. [19], the starting
configuration is a flat Minkowski metric
ds 2 = − dt 2 + dx 2 + dy 2 .
tions, distributed over every variable ( γ ij , K ij , α ). The idea is that if a code
cannot stably evolve a random noise then it wil l be unable to evolve a real
initial data. In this test, the initial metric has b een initialized as
γ ij = η ij + ε ij , (20 )
where ε ij is the random p erturbation (small random numbers gener ated via
classical algorithms [42]). The a mplitude of the p erturbation is small enough
so that the evolution remains in the linear regime, unless instabilities arise.
This corresp onds to the following choice:
ε ∈ − 10 − 10 , +10 − 10 .
In all robust stability test the harmonic gauge was used [i.e., f ( α ) = 1 in the
slicing equation (5)].
W e chose a spatial domain x, y ∈ [0 , 1] , a spatial grid N x × N y = 64 2 , dx =
dy = 2 − 6 and a dt = 2 · 10 − 3 . Since the initial data violate the constraints, any
instability can be expected to lead to an exp onential growth of constraints.
In order to stabilize the code, the anti-aliasing filt er, described by Eq.s (13)
and (14), can be used here to show whether it can improve the stability of the
code.
The test runs for a time of t = 10 (corresp onding to 10 crossing times) or
until the code crashes, and the performance has been monitored by looking
at the evolution of the ADM constrain ts in time, i.e. by outputting the L 2
norm of the Hamiltonian constra int and the momentum constraints once per
crossing. W e define this measure as:
u
u
t R Ω ε 2 dΩ p | γ |
R Ω dΩ p | γ | , (21)
where ε denotes the local error of each of the ADM quantities, i.e., Hamiltonian
H and momentum constraints M i , while dΩ p | γ | is the volume element.
10 C. Meringolo 1 et al.
10 -8
10 -6
10 -4
10 -2
10 0
||Hamiltonian|| 2
Filter = N/5
1 100 200 300 400 500
||Hamiltonian|| 2
Crossing time
’Heaviside’ filter
Smoothed filter
Figura 1 Left: Hamiltonian constraint vs time for Mi nkowski flat space with random noise
as perturbation, respectively unfiltered, with k ∗ = N/ 2 , k ∗ = N/ 3 and k ∗ = N/ 5 ’Heaviside’
anti-aliasing filter. These runs have been summarized in T able 1 as RUN 1 , RUN 2 , RUN 3
and RUN 4 . Right: L 2 error s of Hamiltonian constraint for the same test using a k ∗ = N/ 5
for both anti-aliasing filters described by Eq.s (13) and (14), and dt = 5 · 10 − 4 . Note that
the smoothed filter better stabilize the co de. The evolution is carried out for t = 500 , and
these runs are reported in T able 1, as RUN 5 and RUN 6 .
As discussed in Section 3.1.1, since the ADM equations are strongly non-
linear, the k ∗ = 2 N/ 3 filter is not enough and then different filter was te-
sted. The left panel of Fig. 1 rep orts the evolution of the L 2 norm of the
Hamiltonian constraint, for the different filters (respectively unfiltered, with
k ∗ = N/ 2 , k ∗ = N/ 3 and k ∗ = N / 5 filter) using the ’Heaviside’ filter described
by Eq. (13). These runs have been summarized in T able 1 as RUN 1 , RUN 2 ,
RUN 3 and RUN 4 . It is obvious that the anti-aliasing filter improves noticeably
the stability and the accuracy of the code.
In order to show the improv ement of the smoothed filter and the robustness
of the code, a last test with a k ∗ = N/ 5 using both filters describe d by Eq.s (13)
and (14) and a time step of dt = 5 · 10 − 4 has been performed, for 500 cros sing
times. The L 2 norms of the Hamiltonian constraint are shown in the right panel
of Fig 1. The test shows that the Hamiltonian remain essentially constant after
a long time of simulation using the ’Heaviside’ filter, while slightly decrease
using the smoo thed filter, emphasizing the go odness of our approach. These
runs are rep orted in Table 1, as RUN 5 and RUN 6 .
4.2 Gauge wave test
The gauge-wave is a class ical numerical recipe that tests how a code handles
gauge dynamics. As suggested again by Ref. [19], the metric is giv en by:
ds 2 = − H ( x, t ) dt 2 + H ( x, t ) dx 2 + dy 2 , (22)
where H ( x, t ) d
= 1 − A sin 2 π ( x − t ) describes a sinusoidal gauge wave of
amplitude A , propagating along the x -axis. Since derivatives are zero in the y
direction, the problem is essentially one-dimensional. The metric (22) implies
A spectral approac h to numerical simu lations of the ADM equations 11
10 -4
10 -2
10 0
10 2
10 4
10 6
10 8
0 1 2 3 4 5 6 7 8
RSC conditions
Crossing time
τ (K xx )
τ ( γ xx )
τ ( α )
dt
10 -4
10 -2
10 0
10 2
10 4
10 6
10 8
1 100 200 300 400 500
RSC conditions
Crossing time
τ (K xx )
τ ( γ xx )
τ ( α )
dt
Figura 2 Small amplitude gauge wave test. Left: RSC conditions without adaptive time
refinement: the code crashes at t ≃ 8 . Right: RSC conditions with adaptive time refinement
and C = 1 / 4 : the code remain stable until t = 500 . For the symmetry of the problem, only
T ( K xx ) , T ( γ xx ) , T ( α ) have been reported. The full black line represents the time step of
the simulation. These runs are reported in T able 1 as RUN 7 and RUN 8 .
β i = 0 , and K xx = − ∂ t γ xx
2 α . F or the metric γ ij and the extrinsic curvature
K ij one obtains respectively:
γ ij = 1 − A sin [2 π ( x − t )] 0
0 1 , K ij =
− Aπ cos [2 π ( x − t )]
p 1 − A sin [2 π ( x − t )] 0
0 0
and one can easily demonstrates that these satisfy the initial data constraints
in Eq. (2).
This gauge-wave test was performed twice: once with a small amplitude A
in order to take the system in a linear regime and a second test with a very
large amplitude A , as suggested by Dumbser et al. [20]. F or the first run, a
small amplitude A = 10 − 2 and a k ∗ = N/ 3 ’Heaviside’ filter is used. We chose
a spatial domain x, y ∈ [0 , 1] , a spatial grid N x × N y = 64 2 , dx = dy = 2 − 6 ,
a dt = 5 · 10 − 3 and the harmonic slicing ( f ( α ) = 1 ). However, in order to
check the RS C conditions (see Section 3.3) the test was performed twice: first
one with a stationary time step, and a second one with an a daptive time
refinement. These runs are summarized in Table 1 as RUN 7 and RUN 8 .
Fig. 2 (left) shows the time evolution of the RSC conditions in time. Note
that for the symmetry of the pr oblem, only T ( K xx ) , T ( γ xx ) , T ( α ) have been
reported. The full black line represents the time step of the simulation. One
can see that when one RSC co ndition becomes smaller than the time step,
instabilities arises and the co de crashes. In the second test, it has been used
an adaptive time refinement with C = 1 / 4 , and the run is carried out until
500 crossing times. The code is much more stable thanks to the fact that the
time step remain ever below the RSC co nditions, as shown in Fig. 2 (right).
Even if a code remains stable for long time, the test is meaningless without
a good comparison between the numerical experiment an the analytic solution
(if there is any). In Fig. 3 ( left) we compare the wa ve-form of γ xx , at t = 500 ,
with the exact solution. Here we use dt = 10 − 3 . In Fig. 3 (right) we report
12 C. Meringolo 1 et al.
0.99
0.995
1
1.005
1.01
0 0.2 0.4 0.6 0.8 1
x
Numerical γ xx
Exact solution
0 ⋅ 10 0
2 ⋅ 10 -5
4 ⋅ 10 -5
6 ⋅ 10 -5
8 ⋅ 10 -5
1 ⋅ 10 -4
1 ⋅ 10 -4
0 0.2 0.4 0.6 0.8 1
x
Error in γ xx (t=500)
Figura 3 Left: Comparison of the wave form of γ xx with the exact solution, for a small
amplitude perturbation A − 2 , at t = 500 . Right: Difference between n umerical γ xx and exact
result at t = 500 . This test is reported in Table 1 as RUN 9 .
-15
-10
-5
0
5
10
15
20
25
0 0.2 0.4 0.6 0.8 1
x
K (t = 1.2)
Exact solution
-15
-10
-5
0
5
10
15
20
25
0 0.2 0.4 0.6 0.8 1
x
K (t = 1.2)
Exact solution
Figura 4 Gauge-wave test case with amplitude A=0.9. Comparison of the wav e form of
trace of the extrinsic curvature K in nonlinear regime without filter (left) and with k ∗ = N/ 3
smoothed filter (right) with the exact solution at t = 1 . 2 . The anti-aliasing filter leads to an
improved wa ve form of K . These runs are summarized in T able 1 as RUN 10 and RUN 11 .
the numerical error, in order to show the good consistency of the code, even if
a k ∗ = N/ 3 ’Heaviside’ filter is used. One can see that the error is two order
of magnitude less than the amplitude of the wa ve. This test is reported in
T able 1 as RUN 9 .
Regarding the high per turbation amplitude, we have chosen at first A =
0 . 9 , with a square spatial grid of n = 128 points and dt = 10 − 3 . The other
parameters are the same as used in the small amplitude case, including the
slicing gauge. Again we have performed two experiments: first without an ti-
aliasing filter and second with k ∗ = N/ 3 smoothed filter defined in Eq. (14).
A comparison between the nonlinear wa veforms of the trace of the extrinsic
curvature K in both cases has been plotted in Fig. 3. As it can be seem there
is a go od improvement with the anti-aliasing filter. O ne can observe, indeed,
an excellent agreement between the exact and the numerical solutions. In the
unfiltered case, instead, numerical instabilities aris e, as reported in the left
panel of figure 3. These runs are reported in Table 1 as RUN 10 and RUN 11 ,
respectively.
A second test in nonlinear regime ha s been perfor med, this time with a
A spectral approac h to numerical simu lations of the ADM equations 13
||x-momentum|| 2
Crossing time
’Heaviside’ filter
Smoothed filter
-50
-30
-10
10
30
50
0 0.2 0.4 0.6 0.8 1
x
K (t = 10)
Exact solution
Figura 5 Left: Evolution of x − momentum constrain t for the gauge wa ve test with high
amplitude A = 0 . 96 using different filters described by Eq.s (13,14); with the ’Heaviside’
filter the x − momentum constraint gro ws up and the code crashes, while with the smoothed
filter the ADM constraint slightly decrease and the code stabilizes. The evolution has been
carried out for t = 10 crossing times. These runs are reported in T able 1 as RUN 12 and
RUN 13 . Right: Comparison of the wave form of the trace of the extrinsic curv ature K with
exact result and A = 0 . 96 at t=10 using the smoothed filter. Note the good agreement
despite the very high v alue of A .
larger perturbation A = 0 . 96 . Now a goo d choice for the filter has found to
be k ∗ = N/ 2 . 5 . In order to test the different anti-aliasing filters we p erformed
the second one using the smoothed filter defined in Eq. (14).
The time evolution of the x − momentum constraint for both tests is rep or-
ted in Fig. 5 (left), showing that the smo othed filter stabilize the co de, while
the ’Heaviside’ filter leads to a gro wing of the ADM constraints and the code
crashes. These runs are r eported in Table 1 as RUN 12 and RUN 13 . In Fig. 5
(right) we report the waveform of K at time t = 10 , which is in excellent
agreement with the exact solution. It is important to emphasize that, with
this amplitude, even if the system is in a very nonlinear regime, is still stable,
thanks to the smoothed anti-aliasing filter.
4.3 A new possible initial condition: the standing waves
Here we propose a new initial da ta that satisfies Eq.s (2). Supp ose an initial
Minkowski flat space, which means zero curvature and where Ricci tensor
vanishes ( R = 0 ). The constraint equations reduce to
K xx K yy − ( K x y ) 2 = 0 , (23a)
D y K xy − D x K yy = 0 , (23b)
D x K xy − D y K xx = 0 . (23c)
The above represent the Hamiltonian and the tw o momentum constraints,
respectively. Note that the Hamiltonian constraint (23a) requires that the
14 C. Meringolo 1 et al.
10 -19
10 -16
10 -7
10 -4
10 -1
0 20 40 60 80 100
L2 errors
Crossing time
Hamiltonian
Momentum x
10 -19
10 -16
10 -13
10 -10
0 20 40 60 80 100
L2 errors
Crossing time
Hamiltonian
Momentum x
Figura 6 Temporal evolution of the L 2 norm of Hamiltonian and x − momentum co nstraint
for standing waves test. Left: without filter anti-aliasing: the Hamiltonian constraint remains
constant, the x − momentum constrain t grows up while the y − momentum is zero. Ri ght: with
k ∗ = N/ 3 smoothed filter: the Hamiltonian constraint remains essentially unchanged while
the x − momentum constrain t is constant. The evolution is carried out for t = 100 crossing
determinant of K ij v anishes. The initial per turbation can be chosen only for
the extrinsic curvature K ij , with an unperturb ed metric tensor γ ij . With this
choice, one has:
γ ij = η ij , K ij = Asin (2 πx ) 0
0 0 , (24)
which satisfies the set of constr aints in Eq. (23). But unlike the previo us gauge
waves, this condition does not lead to a wave propagating in space but to
standing waves of the metric. In Fig. 7 w e rep ort the time evolution of the
metric, for se veral tests.
F or the first test, a small amplitude A = 10 − 1 and no anti-aliasing filter
has been used, while the run is ca rried out until 100 crossing times. The others
parameters used are: a spatial domain x, y ∈ [0 , 1] , a spatial grid N x × N y =
64 2 , dx = dy = 2 − 6 , a dt = 10 − 3 and the ha rmonic slicing ( f ( α ) = 1 ).
W e have carried out a second test with same parameters as before, except
a k ∗ = N/ 3 smoothed filter ha s been used. It is evident that the filter impr oves
the stability . These r uns are reported in Table 1 as RUN 14 and RUN 15 . Fig. 6
shows that the Hamiltonian constraint remain constant in b oth cases, but the
x − momentum constraint (for the symmetry of the problem the y − momentum
is zero) grows without filter and remains constant with the k ∗ = N/ 3 filter.
In order to see nonlinear effects, a s econd high amplitude test has b een
performed, with A = 8 , a spa tial grid with n = 128 p oints and a k ∗ = N/ 3
filter. All the other parameters have been chose as in the previous test. The
metric tensor starts to b ounce, and is asy mmetric since it cannot b ecome
negative on one side. Fig. 7 (left) shows a section of γ xx for a sma ll amplitude
A = 0 . 1 , while in Fig. 7 (right) amplitude of A = 1 , 5 , 8 ar e performed.
Again, this test was performed twice: a first test using the standard trun-
cated filter described by eq. (13) and a second one in order to emphasize the
A spectral approac h to numerical simu lations of the ADM equations 15
0.98
0.985
0.99
0.995
1
1.005
1.01
1.015
1.02
0 0.2 0.4 0.6 0.8 1
x
A = 0.1
0
2
4
10
12
0 0.2 0.4 0.6 0.8 1
x
A = 1
A = 5
A = 8
| https://www.researchgate.net/publication/335712973_A_spectral_approach_to_numerical_simulations_of_the_ADM_equations |
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BG 2.47: Chapter 2, Verse 47 – Bhagavad Gita, The Song of God – Swami Mukundananda
BG 2.47: You have a right to perform your prescribed duties, but you are not entitled to the fruits of your actions. … Commentary: This is an extremely popular verse of the Bhagavad Gita, so much so that even most school children in India are familiar with it. It offers …
Bhagavad Gita: Chapter 2, Verse 47
karmaṇy-evādhikāras te mā phaleṣhu kadāchana
mā karma-phala-hetur bhūr mā te saṅgo ’stvakarmaṇi
karmaṇi— in prescribed duties;eva— only;adhikāraḥ— right;te— your;mā— not;phaleṣhu— in the fruits;kadāchana— at any time;mā— never;karma-phala— results of the activities;hetuḥ— cause;bhūḥ— be;mā— not;te— your;saṅgaḥ— attachment;astu— must be;akarmaṇi— in inaction
karmany-evadhikaras te ma phaleshu kadachana
ma karma-phala-hetur bhur ma te sango ’stvakarmani
Translation
BG 2.47:You have a right to perform your prescribed duties, but you are not entitled to the fruits of your actions. Never consider yourself to be the cause of the results of your activities, nor be attached to inaction.
Commentary
This is an extremely popular verse of the Bhagavad Gita, so much so that even most school children in India are familiar with it. It offers deep insight into the proper spirit of work and is often quoted whenever the topic of karm yogis discussed. The verse gives four instructions regarding the science of work: 1) Do your duty, but do not concern yourself with the results. 2) The fruits of your actions are not for your enjoyment. 3) Even while working, give up the pride of doership. 4) Do not be attached to inaction.
Do your duty, but do not concern yourself with the results.We have the right to do our duty, but the results are not dependent only upon our efforts. A number of factors come into play in determining the results—our efforts, destiny (our past karmas), the will of God, the efforts of others, the cumulative karmas of the people involved, the place and situation (a matter of luck), etc. Now if we become anxious for results, we will experience anxiety whenever they are not according to our expectations. So Shree Krishna advises Arjun to give up concern for the results and instead focus solely on doing a good job. The fact is that when we are unconcerned about the results, we are able to focus entirely on our efforts, and the result is even better than before.
A humorous acronym for this is NATO or Not Attached to Outcome. Consider its application to a simple everyday activity such as playing golf. When people play golf, they are engrossed in the fruits—whether their score is under par, over par, etc. Now if they could merely focus on playing the shots to the best of their ability, they would find it the most enjoyable game of golf they have ever played. Additionally, with their complete focus on the shot being played, their game would be raised to a higher level.
The fruits of your actions are not for your enjoyment.To perform actions is an integral part of human nature. Having come into this world, we all have various duties determined by our family situation, social position, occupation, etc. While performing these actions, we must remember that we are not the enjoyers of the results—the results are meant for the pleasure of God. The individual soul is a tiny part of God (verse 15.7), and hence our inherent nature is to serve him through all our actions.
dāsa bhūtamidaṁ tasya jagatsthāvara jangamam
śhrīmannārāyaṇa swāmī jagatāṁprabhurīśhwaraḥ(Padma Puran)[v40]
“God is the Master of the entire creation; all moving and non-moving beings are his servants.” Material consciousness is characterized by the following manner of thoughts, “I am the proprietor of all that I possess. It is all meant for my enjoyment. I have the right to enhance my possessions and maximize my enjoyment.” The reverse of this is Spiritual consciousness, which is characterized by thoughts such as, “God is the owner and enjoyer of this entire world. I am merely his selfless servant. I must use all that I have in the service of God.” Accordingly, Shree Krishna instructs Arjun not to think of himself as the enjoyer of the fruits of his actions.
Even while working, give up the pride of doership.Shree Krishna wants Arjun to give up kartritwābhimān, or the ego of being the doer. He instructs Arjun never to chase after preconceived motives attached to his actions nor consider himself as the cause of the results of his actions. However, when we perform actions, then why should we not consider ourselves as the doers of those actions? The reason is that our senses, mind, and intellect are inert; God energizes them with his power and puts them at our disposal. As a result, only with the help of the power we receive from him, are we able to work. For example, the tongs in the kitchen are inactive by themselves, but they get energized by someone’s hand, and then they perform even difficult tasks, such as lifting burning coal, etc. Now if we say that the tongs are the doers of actions, it will be inaccurate. If the hand did not energize them, what would they be able to do? They would merely lie inert on the table. Similarly, if God did not supply our body-mind-soul mechanism with the power to perform actions, we could have done nothing. Thus, we must give up the ego of doing, remembering that God is the only source of the power by which we perform all our actions.
All the above thoughts are very nicely summarized in the following popular Sanskrit verse:
yatkṛitaṁ yatkariṣhyāmi tatsarvaṁ na mayā kṛitam
tvayā kṛitaṁ tu phalabhuk tvameva madhusūdana[v41]
“Whatever I have achieved and whatever I wish to achieve, I am not the doer of these. O Madhusudan, you are the real doer, and you alone are the enjoyer of their results.”
Do not be attached to inaction.Although the nature of the living being is to work, often situations arise where work seems burdensome and confusing. In such cases, instead of running away from it, we must understand and implement the proper science of work, as explained by Shree Krishna to Arjun. However, it is highly inappropriate if we consider work as laborious and burdensome, and resort to inaction. Becoming attached to inaction is never the solution and is clearly condemned by Shree Krishna.
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IJMS | Free Full-Text | Mechanisms and Treatment of Light-Induced Retinal Degeneration-Associated Inflammation: Insights from Biochemical Profiling of the Aqueous Humor
Ocular inflammation contributes to the pathogenesis of blind-causing retinal degenerative diseases, such as age-related macular degeneration (AMD) or photic maculopathy. Here, we report on inflammatory mechanisms that are associated with retinal degeneration induced by bright visible light, which were revealed while using a rabbit model. Histologically and electrophysiologically noticeable degeneration of the retina is preceded and accompanied by oxidative stress and inflammation, as evidenced by granulocyte infiltration and edema in this tissue, as well as the upregulation of total protein, pro-inflammatory cytokines, and oxidative stress markers in aqueous humor (AH). Consistently, quantitative lipidomic studies of AH elucidated increase in the concentration of arachidonic (AA) and docosahexaenoic (DHA) acids and lyso-platelet activating factor (lyso-PAF), together with pronounced oxidative and inflammatory alterations in content of lipid mediators oxylipins. These alterations include long-term elevation of prostaglandins, which are synthesized from AA via cyclooxygenase-dependent pathways, as well as a short burst of linoleic acid derivatives that can be produced by both enzymatic and non-enzymatic free radical-dependent mechanisms. The upregulation of all oxylipins is inhibited by the premedication of the eyes while using mitochondria-targeted antioxidant SkQ1, whereas the accumulation of prostaglandins and lyso-PAF can be specifically suppressed by topical treatment with cyclooxygenase inhibitor Nepafenac. Interestingly, the most prominent antioxidant and anti-inflammatory benefits and overall retinal protective effects are achieved by simultaneous administrating of both drugs indicating their synergistic action. Taken together, these findings provide a rationale for using a combination of mitochondria-targeted antioxidant and cyclooxygenase inhibitor for the treatment of inflammatory components of retinal degenerative diseases.
Background:
Mechanisms and Treatment of Light-Induced Retinal Degeneration-Associated Inflammation: Insights from Biochemical Profiling of the Aqueous Humor
by
Dmitry V. Chistyakov 1,* ,
Viktoriia E. Baksheeva 1 ,
Veronika V. Tiulina 1,2 ,
Sergei V. Goriainov 3 ,
Nadezhda V. Azbukina 4 ,
Olga S. Gancharova 1,4 ,
Eugene A. Arifulin 1 ,
Sergey V. Komarov 2 ,
Viktor V. Chistyakov 3 ,
Natalia K. Tikhomirova 1 ,
Andrey A. Zamyatnin, Jr. 1,5 ,
Pavel P. Philippov 1 ,
Ivan I. Senin 1 ,
Marina G. Sergeeva 1 and
Evgeni Yu. Zernii 1,5,*
1
Belozersky Institute of Physico-Chemical Biology, Lomonosov Moscow State University, 119992 Moscow, Russia
2
Skryabin Moscow State Academy of Veterinary Medicine and Biotechnology, 109472 Moscow, Russia
3
SREC PFUR Peoples’ Friendship University of Russia (RUDN University), 117198 Moscow Russia
4
Faculty of Bioengineering and Bioinformatics, Moscow Lomonosov State University, 119234 Moscow, Russia
5
Institute of Molecular Medicine, Sechenov First Moscow State Medical University, 119991 Moscow, Russia
*
Authors to whom correspondence should be addressed.
Int. J. Mol. Sci. 2020 , 21 (3), 704; https://doi.org/10.3390/ijms21030704
Received: 4 January 2020 / Accepted: 17 January 2020 / Published: 21 January 2020
(This article belongs to the Special Issue Retinal Degeneration: From Pathophysiology to Therapeutic Approaches )
Abstract
:
Ocular inflammation contributes to the pathogenesis of blind-causing retinal degenerative diseases, such as age-related macular degeneration (AMD) or photic maculopathy. Here, we report on inflammatory mechanisms that are associated with retinal degeneration induced by bright visible light, which were revealed while using a rabbit model. Histologically and electrophysiologically noticeable degeneration of the retina is preceded and accompanied by oxidative stress and inflammation, as evidenced by granulocyte infiltration and edema in this tissue, as well as the upregulation of total protein, pro-inflammatory cytokines, and oxidative stress markers in aqueous humor (AH). Consistently, quantitative lipidomic studies of AH elucidated increase in the concentration of arachidonic (AA) and docosahexaenoic (DHA) acids and lyso-platelet activating factor (lyso-PAF), together with pronounced oxidative and inflammatory alterations in content of lipid mediators oxylipins. These alterations include long-term elevation of prostaglandins, which are synthesized from AA via cyclooxygenase-dependent pathways, as well as a short burst of linoleic acid derivatives that can be produced by both enzymatic and non-enzymatic free radical-dependent mechanisms. The upregulation of all oxylipins is inhibited by the premedication of the eyes while using mitochondria-targeted antioxidant SkQ1, whereas the accumulation of prostaglandins and lyso-PAF can be specifically suppressed by topical treatment with cyclooxygenase inhibitor Nepafenac. Interestingly, the most prominent antioxidant and anti-inflammatory benefits and overall retinal protective effects are achieved by simultaneous administrating of both drugs indicating their synergistic action. Taken together, these findings provide a rationale for using a combination of mitochondria-targeted antioxidant and cyclooxygenase inhibitor for the treatment of inflammatory components of retinal degenerative diseases.
Keywords:
ocular inflammation
;
light-induced retinal damage
;
age-related macular degeneration
;
oxidative stress
;
polyunsaturated fatty acids
;
oxylipins
;
mitochondria-targeted antioxidant
;
SkQ1
;
non-steroidal anti-inflammatory drugs
;
Nepafenac
Graphical Abstract
1. Introduction
Inflammation is implicated in the etiology and progression of a number of blind-causing retinal degenerative diseases. Normally, the retina represents an immune-privileged zone that is separated by the inner and outer blood-retinal barriers that formed by retinal pigment epithelium (RPE) cells and microvascular endothelial cells, respectively [ 1 , 2 ]. However, retinal degenerative conditions associated with environmental, age-related, vascular, metabolic, and/or genetic factors may deteriorate these barriers and, thereby, contribute to the propagation of intraocular inflammation affecting the retina [ 1 ]. Oxidative stress plays a critical role in triggering retinal degeneration and intraocular inflammation. Photoreceptor and RPE cells generate high levels of reactive oxygen species (ROS) due to constant exposure to light and the presence of multiple photosensitizer molecules. In addition, extremely high oxygen consumption and metabolic rates characterize the retina, which underlie its high susceptibility to mitochondrial oxidative stress [ 1 , 3 ].
Oxidative stress and inflammation contribute to the development of age-related macular degeneration (AMD), diabetic retinopathy, retinopathy of prematurity, and retinitis pigmentosa [ 1 , 4 ]. For instance, pathological extracellular deposits (the so-called drusen) that are found in the retina of AMD patients contain byproducts of active inflammation and complement activation, together with products of lipid peroxidation [ 5 , 6 ]. Intraocular inflammation and macular edema can also be of iatrogenic origin, representing a complication of intraocular surgery and laser procedures. Without treatment, these complications can promote generalized breakdown of the blood-retinal barrier and irreversible retinal damage [ 7 ]. Light-induced retinal degeneration (LIRD) is a major driving force of photic maculopathy (light maculopathy, light-induced retinopathy), another common condition that shares many features with the above-mentioned ocular diseases [ 8 ]. Being conveniently simulated in animals, LIRD models are commonly employed for studies of pathogenesis and trailing of therapeutic approaches with respect to these diseases [ 9 ]. Spontaneous photochemical damage to the retina can be induced, for instance, by intensive light exposure from ophthalmological illuminators [ 10 , 11 , 12 ]. As an aggravating factor, excessive light illumination of the retina contributes to AMD and other retinal degenerative disorders by inducing the apoptosis of photoreceptors and other pathological hallmarks [ 8 , 13 ]. LIRD also resembles retinal degenerative diseases in terms of the pathogenetic roles of oxidative stress and inflammation. Prolonged illumination of the retina with visible light induces photochemical reactions in photoreceptors and RPE cells, yielding an accumulation of ROS and the oxidation of lipids and proteins [ 3 , 14 , 15 ] characteristic to AMD and other degenerative retinopathies [ 8 , 16 ]. Furthermore, LIRD might induce breakage of the blood-retinal barrier thereby promoting leukocyte infiltration and macular edema [ 14 , 17 ], and these signs are also can be found in AMD patients [ 18 , 19 ].
The exact mechanisms underlying induction and resolution of inflammation associated with degenerative retinal diseases remain mostly unspecified. The development of inflammation in AMD, diabetic retinopathy, retinitis pigmentosa, retinopathy of prematurity, and glaucoma seems to be regulated by interleukin-1 (IL-1) family members, as well as tumor necrosis factor alpha (TNF-α) and its counterpart interleukin-10 (IL-10) [ 20 , 21 , 22 ]. Consistently, the expression levels of interleukin-1 beta (IL-1β) and TNF-α were found to be altered in animal models of LIRD [ 23 , 24 ]. There are evidences that polyunsaturated fatty acids (PUFAs)-derived lipid mediators, such as oxylipins and resolvins, control the inflammatory component of retinal degenerative diseases. For instance, arachidonic acid (AA)-derived oxylipins, prostaglandins (PGs), were shown to participate in the pathogenesis of AMD and diabetic retinopathy [ 25 ]. Generally, the biosynthesis of oxylipins occurs via enzymatic pathways that involve cyclooxygenases (COX), lipoxygenases (LOX), or cytochrome P450 monooxygenases (CYP), and prostaglandins are generated in a COX-dependent pathway [ 26 ]. Consistently, nonsteroidal anti-inflammatory drugs (NSAIDs) that represent COX inhibitors were suggested for the treatment of AMD, diabetic retinopathy, and macular edema [ 27 ]. The increased expression levels of retinal COX-2 was also observed in LIRD, pointing on similar mechanisms of triggering inflammation [ 23 , 24 ]. Notably, certain oxylipins are synthesized via the non-enzymatic pathway due to the oxidation of PUFAs by free radicals. The highest content of PUFAs, particularly DHA and AA, characterize the retina and, therefore, it is extremely vulnerable to lipid peroxidation yielding corresponding specific oxylipins [ 16 , 28 ]. For instance, LIRD is associated with a pronounced elevation in the retinal concentration of oxylipin 8-iso-prostaglandin F2 alpha (8-iso-PGF 2α ), representing a product of free radical oxidation of AA independent of COX pathways [ 29 , 30 ]. In this case, the retina was also found to contain high amounts of hydroxyoctadecadienoic acids (HODEs), linoleic acid (LA)-derived oxylipins, which can be biosynthesized by enzymatic and non-enzymatic pathways [ 29 ]. Thus, oxylipins can be regarded as appropriate biomarkers that respond to both retinal inflammation and oxidative stress.
Intraocular inflammation and oxidative stress associated with retinal degenerative diseases can be conveniently monitored by analyzing aqueous humor (AH) that is responsible for the nutrition of avascular structures of the eye. It is produced by active secretion from the non-pigmented epithelium of the ciliary body and can freely diffuse into the posterior cavity to wet the retina [ 31 , 32 ]. Similarly to the retina, AH is separated by the blood-AH barrier and, under normal conditions, it exhibits antioxidant properties and suppresses both innate and adaptive immunity [ 33 , 34 ]. However, oxidative and inflammatory processes that are associated with retinal degenerative diseases can manifest as an elevated concentration of the respective markers in AH. Indeed, alterations in malondialdehyde concentration and total antioxidant activity were found in AH of patients with glaucoma and exfoliation syndrome, as well as in animals with intraocular inflammation [ 35 , 36 , 37 , 38 ]. Furthermore, the increased levels of pro-inflammatory cytokines characterize AH of patients with AMD, diabetic retinopathy, macular edema, and glaucoma [ 39 , 40 , 41 , 42 ]. Meanwhile, alterations in oxylipin content of AH that are associated with LIRD and other retinal degenerative diseases remain mostly uninvestigated.
Previously, we have developed a rabbit model of LIRD reproducing many aspects of AMD and other retinal degenerative diseases, such as apoptosis of photoreceptors and migration of RPE cells, as well as the breakdown of the blood-retinal barrier, leukocyte infiltration, edema, and other signs of intraocular inflammation [
3
,
14
,
43
]. These effects were accompanied by oxidative stress, which was efficiently prevented by premedication while using mitochondria-targeted antioxidant SkQ1 [
3
]. In the present study, we employed this model of LIRD to get insight into oxidative and inflammatory processes contributing to retinal degeneration diseases, such as AMD. To this end, we performed pathomorphological and electrophysiological characterization of degenerative processes in the light-exposed retina and described the histological signs of the accompanying inflammation. We next examined changes in the content of inflammatory and oxidative stress markers in AH of the illuminated animals at different stages of LIRD. Moreover, while using the quantitative metabolomic (Ultra Performance Liquid Chromatography—Tandem Mass Spectrometry, UPLC-MS/MS) technique, we identified, for the first time, alterations in the AH patterns of different lipid mediators, such as phospholipid derivatives, polyunsaturated fatty acids (PUFAs), and oxylipins, which are associated with development of LIRD. The obtained data provide a rationale for using a combination of antioxidant and non-steroidal anti-inflammatory (NSAID) drugs for the prevention and treatment of oxidative stress and inflammation that are associated with LIRD. Consistently, we demonstrated that premedication of the eyes with mitochondria-targeted antioxidant SkQ1 with their subsequent treatment while using topical NSAID Nepafenac results in suppression of lipidomic signs of oxidative stress and inflammation and the overall improvement of the state and functionality of the illuminated retina. Therefore, the latter two-component approach was suggested to be of high potential in complex treatment of AMD and other retinal degenerative diseases.
2. Results
2.1. Clinical, Electrophysiological and Morphological Characteristics of the Rabbit Model of LIRD
In the first step, we monitored the clinical state of the rabbit eyes in the course of LIRD focusing on possible signs of the associated inflammation. To this end, the animals of the model group (see
Section 4.3
.) were subjected to slit lamp and indirect funduscopic examinations performed prior to the light exposure, immediately after the illumination, as well as on the 1, 3, and 7 day of the subsequent period. We observed an optically clean vitreous body and a moderately vascular retina at all of the time points. The blood vessels extended medially and laterally to the optic disk, and the vessels of the choroid were wide and straight. No signs of vitreous body clouding, exudate, thinning of the vessels, swelling of the optic nerve, hemorrhage, or retinal detachment were detected both prior and after the illumination. Thus, the eyes of the animals that were exposed to bright light exhibited no macroscopic signs of retinal inflammation or edema.
We next examined whether the bright light illumination induced general changes in the functional activity of the retina by electroretinographic (ERG) study conducted prior to the illumination and on the seventh day after the exposure. The retinograms were recorded under scotopic conditions by adapting animals to the dark and subsequent registration of ERG response to a flash (
Figure 1
). It was found that irradiation leads to a noticeable decrease in electrophysiological activity of the retina with similar alterations in both a- and b-waves (a decrease in amplitude and a slight increase in latency), reflecting the decrease in total responses of both photoreceptors and non-photoreceptor (predominantly bipolar) neurons of the retina.
We performed histological analysis of the posterior segment of the affected eyes to assess pathomorphological alterations underlying the revealed functional abnormalities of the illuminated retina. No differences were found between the state of the retina obtained immediately after the light exposure or on the next day and the retina of the intact animals (
Figure 2
A–C). However, three days after the illumination the multiple signs of the retinal damage were observed (
Figure 2
D). Generally, they included swelling and destruction of the outer segments of photoreceptors (Ph) and the cell death of photoreceptors and inner nuclear layer (INL) neurons (manifested as the formation of apoptotic bodies and their phagocytosis by macrophage-like cells), which results in a decrease in the thickness of these layers and the total thickness of the retina (up to subtotal or total retinal atrophy in some locations). There were also areas of retinal detachment with the formation of a space containing apoptotic bodies and photoreceptors fragments, some of which were phagocytized by activated RPE cells that migrated to these areas. Seven days after illumination, the acute phases of cell deaths were completed and the retina exhibited compensatory and regenerative processes (
Figure 2
E–H) manifested as an increase in retinal eosinophilia due to the activation and hypertrophy of Mueller glia. Importantly, the sites of damage (three day) and regeneration (seven day) were located focally over the retina, which is associated with its heterogeneous photosensitivity. Such character of the destruction might explain the absence of its macroscopic signs in the fundoscopic examination. Nevertheless, a general consequence of the irradiation can be defined as a decrease in the amount of cells over the entire retina, especially in the outer nuclear layer (ONL). Interestingly, the development of LIRD was associated with a histologically manifested inflammatory process. In particular, the areas of retinal atrophy and the RPE layer were in some places that were infiltrated by granulocytes and the choroid was characterized by increased cellularity and possessed enhanced fibroblast reproduction. In addition, the retina occasionally contained cysts and canals that were filled with edematous fluid. The inflammation seems to have a chronic character, as its signs maintained, even on the seventh day after the illumination.
We concluded that our model of LIRD involves not only loss of photoreceptors and other neurons and, consequently, the suppression of the retinal activity, but also the development of local inflammation and, thereby, can be employed for investigation of inflammatory mechanisms that are associated with retinal degenerative diseases.
2.2. Biochemical Manifestations of LIRD-Associated Inflammation in the Aqueous Humor
Intraocular inflammation is known to manifest in AH by increased concentration of proteins, oxidative stress markers, and inflammatory molecules (see Introduction). As such, we assessed the biochemical alterations in AH, which are associated with the development of LIRD in experimental animals. AH collection and analysis were performed prior to the light exposure and during the next seven days. All of the samples exhibited an acute elevation of the total protein concentration (
Figure 3
). The protein concentration reached more than four-fold excess during the illumination and returned to the baseline control value within the next 24 h. This phenomenon was accompanied by elevation of concentration of TNF-α, the pro-inflammatory cytokine most commonly found in AH (
Figure 3
). Yet, in contrast to the total protein, the concentration of TNF-α was maintained at a high level until the seventh day, which indicated the development of chronic inflammation in accordance with our histological observations (see
Figure 2
).
Interestingly, all of these effects were accompanied by alterations in the redox state of AH. Thus, we detected an increase in the AH concentration of malondialdehyde, representing a product of lipid peroxidation. The highest level of this compound was detected on the first day after illumination, whereas, on the seventh day, its concentration normalized (
Figure 3
). The opposite dynamics was expectedly peculiar to the total antioxidant activity of AH (
Figure 3
). Finally, we observed a moderate decrease in AH concentration of common antioxidant enzymes, superoxide dismutase, and glutathione peroxidase, during the illumination. Within the next days, both of the enzymes demonstrated uptrend, although glutathione peroxidase exhibited a statistically significant decrease on the seventh day (
Figure 3
).
These data, taken together, indicate that LIRD is preceded and accompanied by oxidative stress and inflammatory reactions, the signs of which manifest in AH.
2.3. Lipidomic Signs of LIRD-Associated Inflammation in the Aqueous Humor
The mechanisms of the revealed LIRD-associated oxidative stress and inflammation can be determined by analyzing the patterns of lipid mediators, such as PUFAs and their oxidized derivatives, oxylipins. Therefore, we performed quantitative mass-spectrometry studies of the lipids extracted from AH samples, which were obtained immediately before and immediately after illumination of the animals, as well as on the 1, 3 and 7 day post-exposure. UPLC-MS/MS analysis identified a total of 17 lipid compounds (
Figure 4
), including three PUFAs (AA, docosahexaenoic acids (DHA), and eicosapentaenoic acid (EPA)), two phospholipid derivatives ((Z)-N-(2-Hydroxyethyl) octadec-9-enamide (oleoylethanolamine, OEA), 1-O-hexadecyl-sn-glyceryl-3-phosphorylcholine (lyso-Platelet-Activating Factor, lyso-PAF)), and twelve oxylipins. The latter compounds included four AA derivatives (prostaglandin E2 (PGE
2
), prostaglandin D2 (PGD
2
), prostaglandin F
2a
(PGF
2α
), and leukotriene B4 (LTB
4
)), and eight linoleic acid (LA) derivatives (9-/13-hydroxyoctadecadienoic acids (9-HODE/13-HODE), 9-/13-oxo-octadecadienoic acids (9-KODE/13-KODE), 9,10-/12,13-epoxyoctadecamonoenoic acids (9,10-EpOME/12,13-EpOME), and 9,10-/12,13- dihydroxyoctadecamonoenoic acids (9,10-DiHOME/12,13-DiHOME)). In our LIRD model, we revealed a short-term increase in the AH content of AA and DH and a decline in levels of EPA during the illumination (indicated in
Figure 4
as gray boxes). In addition, we detected a more prolonged increase in the concentration of Lyso-PAF. These short-term responses (except for EPA) mostly resolved within the next 1–3 days. Remarkably, there were obvious trends in the dynamics of oxylipins content during the development of LIRD. The most pronounced changes were found in prostaglandins PGE
2
, PGD
2
, and PGF
2α
demonstrating a long-term increase, which, in the case of PGF
2α
, did not resolve, even at the seventh day post-illumination. By contrast, almost all of the LA derivatives exhibited a short burst during the light exposure and their concentration tended to recover in one day. Notably, whereas prostaglandins are biosynthesized mostly via COX-dependent pathway, the detected LA derivatives can be generated not only by enzymatic (LOX-dependent and CYP-dependent), but also by non-enzymatic mechanisms that involve ROS (the respective indications are given in
Figure 4
). Thus, one can expect that LIRD-associated inflammation can be responsive to a treatment while using COX inhibitors (such as NSAIDs) and antioxidants.
2.4. Functional and Morphological State of the Retina in the Course of Combined Antioxidant/Anti-Inflammatory Treatment of LIRD-Associated Inflammation
We next analyzed the functional and morphological state of the retina in four groups of experimental animals with the induced model of LIRD to confirm our conclusions regarding mechanisms of LIRD-associated inflammation and to find new routes for its prevention and treatment (See
Section 4.3
.). The animals of the first group were subjected to the illumination without any subsequent treatment. In the second group, the animals were premedicated prior to the illumination with mitochondria-targeted antioxidant SkQ1, according to the method that was developed in our previous study [
3
]. The animals of the third group were treated for seven days after the illumination with Nepafenac, representing topical NSAID that is commonly used for the treatment of ocular inflammation [
44
]. Finally, the rabbits of the fourth group received combined therapy involving the administration of both the antioxidant and the NSAID.
ERG studies revealed that premedication with SkQ1 efficiently preserved normal electrophysiological activity of the retina in light-exposed animals ( Figure 5 A). Indeed, the amplitudes of both a-wave and b-wave of the retinogram corresponded to that of the healthy retina ( Figure 5 B). The treatment of animals with Nepafenac on the background of premedication with SkQ1 did not give a noticeable additive effect in ERG (data not shown), apparently due to almost the complete protection of the retinal neurons by SkQ1.
According to histological study, on the seventh day after irradiation, the retina of the animals that were premedicated with SkQ1 contains much less prominent areas of atrophy, activation of Müller glia and remodeling processes ( Figure 6 B) than non-premedicated retina ( Figure 6 A). However, the signs of pre-existed inflammation were still occasionally observed in these animals ( Figure 6 B, orange arrow). By contrast, no such signs were found in rabbits, which were additionally treated with Nepafenac ( Figure 6 D). Interestingly, the retina of the animals that solely received Nepafenac treatment was characterized by loci of the decreased thickness of the ONL, although inflammatory infiltration and edema were completely absent in this case ( Figure 6 C). Taken together, these data demonstrate that both SkQ1 and Nepafenac produce therapeutic effects in LIRD, and these effects are synergistic.
2.5. Biochemical and Lipidomic Alterations in the Aqueous Humor in the Course of Combined Antioxidant/Anti-Inflammatory Treatment of LIRD-Associated Inflammation
Biochemical analysis of AH samples that were collected from the rabbits of same groups (see previous section) revealed that all of the variants of the therapy did not have any reliable acute (short-term) effects, such as increase in total protein concentration, but demonstrated a delayed benefit in respect to recovery of almost all of its parameters (
Figure 7
). Particularly, in the presence of premedication/treatment, we observed the suppression of malondialdehyde (peak on one day) and the increase in total antioxidant activity (peak on seven day), as well as pronounced elevation of superoxide dismutase and glutathione peroxidase activities (peak on three day). An exception was TNF-α, which exhibited a slight increase during Nepafenac treatment, although it was statistically insignificant. Notably, in all cases, the most prominent effects were observed in the case of the combined treatment, which indicated synergistic mechanisms of action of SkQ1 and Nepafenac towards LIRD-associated inflammation.
However, most of the information regarding these mechanisms was obtained through analysis of lipidomic alterations in AH of the animals from the abovementioned groups (
Figure 8
). Nepafenac expectedly downregulated all of the COX-generated oxylipins (prostaglandins), starting from the very begin of the treatment (the first day after illumination). In the same time, premedication with SkQ1 produced comparable suppressive effects on these oxylipins, although the combined therapy was somewhat more effective. By contrast, AH concentration of LA-derived oxylipins was only affected by the antioxidant premedication and the suppressive effect of the combined therapy was seemingly solely provided by SkQ1. Interestingly, neither of the secreted PUFAs were affected by any kind of treatment. At the same time, Nepafenac potently downregulated lyso-PAF and this effect seems to be specific to this NSAID, as it cannot be substituted by SkQ1.
Taken together, our data confirm that LIRD is preceded and accompanied by oxidative stress, as well as inflammation mainly governed by COX-dependent pathways and consistently sensitive to NSAID Nepafenac. Both mechanisms can be suppressed by SkQ1 exhibiting not only antioxidant, but also anti-inflammatory effects and, therefore, strongly protecting the structure and electrophysiological activity of the retina. Meanwhile, Nepafenac possesses specific anti-inflammatory effects and, therefore, complements SkQ1 protection, as evidenced by histological data. These findings provide a rationale for the inclusion of a combination of both drugs in the therapy of LIRD-associated inflammation.
3. Discussion
Growing evidence indicates that inflammation contributes to the pathogenesis of a number of blind-causing retinal degenerative diseases, such as AMD or photic maculopathy [ 45 ]. The aim of the present study was to identify inflammatory mechanisms that are associated with retinal degeneration and, based on these data, suggest possible routes for its prevention and treatment. We used a rabbit model of LIRD that was previously developed in our laboratory to reach this aim [ 3 , 14 , 15 ]. Indeed, there are a number of important similarities in ocular morphology and biochemistry between human and rabbit eyes, which make rabbits attractive species for modeling ocular diseases [ 9 ]. The animal models of LIRD are generally acknowledged for AMD studies as they share many common features with the human disease (discussed in [ 3 ]). Consistently, we previously demonstrated that exposure of the eyes of experimental animals (rats and rabbits) to different doses of bright visible light leads to the development of retinal degenerative processes, including the apoptosis of photoreceptors and other retinal neurons, as well as vacuolization of RPE cells, their phagocytic activity, and migration into the neural retina, representing common hallmarks of AMD [ 3 , 14 , 15 , 43 ]. In the present study, we used a rabbit model of LIRD that was induced by intense short-term illumination (30,000 lx for 3 h) [ 3 , 15 ]. We complemented its histological characterization with electrophysiological (ERG) data in order to more accurately describe the pathological process. It was found that light irradiation of the rabbit eye indeed suppresses the functionality of the retina by affecting both a- and b-waves of ERG. These data reflect a decrease in total responses of both photoreceptors and non-photoreceptor (predominantly bipolar) neurons of the retina, which is in good agreement with our pathomorphological findings.
Interestingly, in previous LIRD studies, we have observed that focal signs of inflammation including disturbance in the blood-retinal barrier and inflammatory infiltration accompany the development of the degenerative changes in the retina. Indeed, retinal edema was found to already emerge at the early stages of LIRD, gradually expanding in the course of the disease and becoming complemented by granulocytic infiltration [ 14 , 43 ]. All of these signs were occasionally found in the model used in the current work, indicating that intraocular inflammation is a sustainable complication of LIRD. Importantly, similar inflammatory processes were observed in AMD [ 45 ]. Thus, along with biochemical signs, such as the presence of inflammatory components in drusen, both early and atrophic forms of AMD can exhibit acute inflammation symptoms, including increased infiltration of inflammatory cells in the retina [ 18 , 46 ]. In turn, wet AMD is associated with the breakdown of the blood-retinal barrier, which promotes neovascularization and blood leakage from the abnormal vessels causing edema and detachment of the pigment epithelium and the retina [ 19 , 45 , 47 , 48 ]. In our LIRD model, we observed all of these signs, although they emerged focally, were of low severity and, therefore, did not manifest in the funduscopic examination. It should be added that, despite the absence of drusen in our model, it is characterized by extensive oxidative stress in the retina and RPE [ 3 ], which is known to play a crucial role in drusen formation and AMD (see Introduction section). Overall, the rabbit model of LIRD that is employed in this study reproduces different routs of AMD pathogenesis, including those that are related to oxidative stress and inflammation and, may, therefore, be used for trialing of the appropriate therapies.
As it was stated above, analyzing the content of the appropriate markers in AH can be used to monitor the inflammatory reactions in the retina and the neighboring tissues. Although AH sampling is an invasive procedure, it is still accomplishable in humans in contrast to any of the tissue analyses, thereby supporting the diagnostic value of AH. The increased levels of pro-inflammatory cytokines in AH were previously found, not only in patients with pronounced intraocular inflammation (such as posterior uveitis), but also in individuals with AMD, diabetic retinopathy, macular edema, or glaucoma [ 39 , 40 , 41 , 42 ]. In the current study, we have demonstrated that the development of LIRD is accompanied by a chronic increase in the AH content of pro-inflammatory cytokine TNF-α. The latter was shown to accumulate in light-exposed rabbit retina [ 23 ] and, may, therefore, be secreted to AH. Furthermore, the levels of this cytokine were demonstrated to be elevated in AH of patients with dry or treated wet forms of AMD and diabetic retinopathy, but not glaucoma [ 41 , 42 , 49 ]. Thus, this cytokine can be considered as a specific AH marker of the inflammation, being associated with LIRD and similar retinal degenerative conditions. It should be added that anti TNF-α drugs were recently approved for the treatment of ocular inflammation [ 50 ].
Total protein concentration in AH is another well-known parameter characterizing intraocular inflammation. Inflammatory processes lead to the disruption of the blood-ocular barrier and enter of plasma proteins in the eye tissues, including AH. In the models of pronounced intraocular inflammation, such as endotoxin-induced uveitis, the total protein concentration in AH rapidly increases 15–30-fold and only resolves in seven days [ 36 , 37 ]. In our study, we observed only ~4-fold increase of this parameter and its recovery within 24 h, which confirms a moderate character of LIRD-associated inflammation.
The crucial factor of LIRD is oxidative stress that is induced by multiple photochemical reactions occurring in the illuminated retina [ 16 ]. The rabbit model of LIRD, which was used in this study, was previously characterized in terms of the redox status of the retina. Oxidative stress was shown to manifest as a short-term increase in the retinal content of malondialdehyde and hydrogen peroxide [ 3 ]. In the current work, we expectedly monitored an increase in malondialdehyde in AH, which might reflect its accumulation in the illuminated degenerating retina. Consistently, the enhanced level of malondialdehyde in AH was demonstrated to accompany ocular inflammation [ 37 ]. Somewhat different trends were observed regarding total antioxidant activity, which moderately decreased in AH, in contrast to dramatic elevation in the illuminated retina [ 3 ]. Yet, this discrepancy might be explained by the fact that absolute antioxidant activity of AH is very high (it is highly enriched in ascorbate and other antioxidant molecules [ 51 ]) and, therefore, it is less affected by oxidative stress in neighboring tissues. Finally, we detected a decrease in AH activity of common antioxidant enzymes, superoxide dismutase, and glutathione peroxidase, which is characteristic for LIRD and endotoxin-induced ocular inflammation [ 23 , 37 ]. In the aggregate, all of these data confirm that oxidative stress is a hallmark of LIRD and the accompanying inflammatory responses occur on the background of oxidative processes, the signs of which can be detected in AH.
Along with pro-inflammatory cytokine and biochemical markers of oxidative stress, while using a high-resolution quantitative lipidomic technique, we managed to reveal alterations in the AH patterns of lipid mediators, such as phospholipid derivatives, PUFAs, and oxylipins. The first principle effect that was identified in this study was a short-term increase in the concentration of AA and DHA, long-term decrease in levels of EPA, and long-term elevation of concentration of lyso-PAF and prostaglandins. These alterations are coherent with the upregulation of TNF-α and seem to reflect the mechanism of LIRD-associated inflammation. EPA generally possesses anti-inflammatory activity; it is present in AH at relatively low concentrations [ 52 ] and, therefore, expectedly decreases in response to LIRD-associated inflammation. DHA and its metabolites normally also exhibit anti-inflammatory activity, but this PUFA is present the retina in extremely high amounts and it plays specific roles in the structure and function of this tissue. In particular, DHA is released during oxidative stress to be converted into neuroprotective compounds, such as neuroprotectin D1 [ 53 ]. Thus, the increase in the AH concentration of DHA seems to represent the response of the retina to light-induced oxidative stress and degeneration, rather than inflammatory reaction. By contrast, AA has well-known pro-inflammatory properties and it has been implicated in triggering intraocular inflammation. Thus, it becomes released in response to the action of platelet-activating factor (PAF), which induces the generation of prostaglandins (both by upregulating AA and activating COX enzymes [ 54 ]), thereby promoting vascular permeability and macular edema [ 55 ]. Interestingly, intraocular inflammation can be induced not only by PAF, but also by its precursor/metabolite lyso-PAF taken in a similar dose [ 56 ]. Consistently, in our model, LIRD is associated with prolonged upregulation of lyso-PAF. Furthermore, PAF can be produced from lyso-PAF (by Lyso-PAF:acetyl-coenzyme A acetyltransferase) or from lysophosphatidyl choline (lyso-PC; biosynthesized by phospolipase A2), the concentration of which also increases in AH during ocular inflammation [ 57 ]. Given all of these data, it is not surprising that, in our model, LIRD is associated with prolonged growth in AH concentration of prostaglandins, among which PGF 2α remained elevated, even at the seventh day post-exposure. Indeed, LIRD is known to be accompanied by an increase in expression levels of COX-2 in the retina [ 23 , 24 ]. A similar growth of AH concentration of prostaglandins was observed in rabbit models of endotoxin-induced uveitis, BSA-induced uveitis, paracentesis, laser irradiation, etc. [ 58 , 59 , 60 , 61 ], which indicated that the above-described inflammatory mechanism is common for intraocular inflammation of different origins.
According to our data, the signs of LIRD-associated inflammation can be effectively suppressed by the treatment of the eyes with ocular NSAID Nepafenac. This drug represents a precursor of Amfenac, which inhibits the activity of COX enzymes and thereby downregulates the synthesis of prostaglandins in the eye. Nepafenac is metabolized into amfenac in the ciliary body, choroid, and retina, and it is suggested for the treatment of inflammatory component of AMD and other retinal degenerative diseases [
44
,
62
]. The administration of Nepafenac in the rabbit eye was shown to reduce prostaglandin concentration in AH [
63
], which is in good agreement with our findings. Remarkably, in our LIRD model, Nepafenac also strongly reduced the AH level of lyso-PAF and significantly upregulated EPA. We can conclude that the effect of Nepafenac can be derived from regulating these mediators in addition to inhibiting the synthesis of prostaglandins, given the crucial role of lyso-PAF in promoting intraocular inflammation (see above), as well as anti-inflammatory activity of EPA. These novel findings add more insights to the general mechanism of the pharmaceutical activity of Nepafenac.
The second principle effect that is identified in our lipidomic study is LIRD-associated short burst in AH content of linoleic acid derivatives HODE/KODE and EpOME/DiHOME, which resolves as fast as during 24 h after the illumination. These oxylipins possess both pro-inflammatory and anti-inflammatory activities and can be synthesized from LA via LOX- and CYP-dependent pathways, respectively [ 26 ]. Yet, in contrast to prostaglandins, they can also be produced by non-enzymatic mechanisms via the oxidation of PUFAs by free radicals [ 64 ]. While considering the fast dynamic changes in oxidative stress markers in the light-illuminated retina [ 3 ] and AH (this study), we suppose that the detected increase in LA derivatives mainly reflects LIRD-associated oxidative stress. Indeed, the retina is characterized by the highest content of PUFAs in addition to the highest metabolic rate and oxygen consumption among the human tissues and, therefore, it is extremely vulnerable to lipid peroxidation yielding corresponding oxylipins [ 16 , 28 ]. Furthermore, the accumulation of total LA-derivative HODEs in the retina was previously shown to accompany LIRD [ 29 ], which can underlie their secretion in AH. Notably, all of the effects of LIRD on AH concentration of LA-derived oxylipins are similarly inhibited by premedication of the rabbit eyes with mitochondria-targeted antioxidant SkQ1, whereas Nepafenac treatment was expectedly unfunctional in this respect. Indeed, SkQ1 was recently demonstrated to efficiently suppress LIRD by preventing light-induced oxidative stress, including lipid peroxidation [ 3 ]. It should be added that the inhibition of EpOME/DiHOME synthesis/release by SkQ1 is an important additional activity of the latter with respect to general protection of mitochondria, since these oxylipins are known to cause mitochondrial dysfunction [ 26 ].
Interestingly, along with suppressing LA-derived oxylipins, premedication with SkQ1 potently inhibits the growth of prostaglandins and produces an ant-inflammatory effect by upregulating EPA. There are data indicating that inflammation, being associated with retinal degeneration diseases, might be promoted by oxidative stress [
65
]. Thus, LIRD and associated inflammatory reactions can be suppressed by different antioxidants, such as resveratrol, celastrol, edaravone, etc. [
65
,
66
,
67
]. Yet, the mechanisms that underlie these relationships are yet to be fully understood. It should be emphasized that, in contrast to Nepafenac, SkQ1 does not restore normal AH level of lyso-PAF, which plays a central role in triggering LIRD-associated inflammation. In addition, it displays no effect on the antioxidant enzymes in AH. In our model of LIRD, the most prominent antioxidant and anti-inflammatory benefits were achieved by simultaneously administrating both SkQ1 and Nepafenac. Thus, the prominent neuroprotective activity of SkQ1 was supported by specific anti-inflammatory effects of Nepafenac. These findings the provide rationale for using such combined therapy with respect to LIRD, as well as AMD and other retinal degenerative diseases.
4. Materials and Methods
4.1. Materials
The Institute of Mitoengineering of Moscow State University (Moscow, Russia) provided SkQ1 (10-(60-plastoquinonyl)-decyltriphenylphosphonium). Nepafenac (Nevanac), Alcaine and Betadine Ophthalmic were from Alcone (New York, NY, USA). Tiletamine and zolazepam were from Virbac (Carros, France). Xylazine hydrochloride was from Nita-Farm (Saratov Oblast, Russia). Phosphate buffer saline (PBS) was from Thermo Fisher Scientific (Waltham, MA, USA). Trolox (6-hydroxy-2, 5, 7, 8-tetramethylchroman-2-carboxylic acid) was from Sigma–Aldrich (St. Louis, MO, USA). TNF-α assay kit was from Cloud-Clone Corp. (Katy, TX, USA). Reagents for histological examination were from Biovitrum (Moscow, Russia). Malondialdehyde and bicinchoninic acid assay kits were from Sigma-Aldrich (USA). Glutathione peroxidase and superoxide dismutase assay kits were from Randox (Crumlin, UK). Oasis® PRIME HLB cartridge (60 mg, 3cc, cat.no. 186008056) were obtained from Waters (Eschborn, Germany). Other reagents and supplies were from Sigma–Aldrich, Amresco (St. Louis, MO, USA), and Serva (Heidelberg, Germany). All of the buffers were prepared while using ultrapure deionized water.
4.2. Animals and Ethics Statement
The study involved 83 pigmented male rabbits six months old (2.3 to 3 kg) that were purchased from a certified farm (Krolinfo, Moscow, Russia). The animals were housed in individual cages at a 12 h light-dark cycle at a temperature of 22–25 °C and humidity of 55–60% with free access to maintenance rabbit food and water. The health status of the animals was monitored daily and no adverse events were observed. All of the experiments were performed under general anesthesia induced with intramuscular injection of 1:2 mixture of 50 mg/mL tiletamine/zolazepam and 20 mg/mL xylazine hydrochloride. Prior to AH collection, the animals were additionally instilled with topical anesthetic Alcaine. For the histological analysis of the posterior segment of the eye, the animals were humanely euthanized by an overdose of the anesthetic. The enucleating of the eyeballs was performed postmortem. After the other experiments, the animals were rehabilitated for three days and returned to the farm. The treatment of the animals was performed according to the 8th edition “Guide for the Care and Use of Laboratory Animals” of the National Research Council and “Statement for the Use of Animals in Ophthalmic and Visual Research” of The Association for Research in Vision and Ophthalmology (ARVO). The Belozersky Institute of Physico-chemical Biology Animal Care and Use Committee approved the protocol (Protocol number 1/2016).
4.3. Experimental Model
The experiments were performed while using a single-blind method. Before the experiments, the rabbits were housed as described above for one week for acclimatization. The animals were divided into six groups, including absolute control (seven animals), model (12 animals), and four experimental groups (groups 1–4, 16 animals in each group). The absolute control group contained intact animals, kept during the experiment under the normal conditions described above. The animals of the model and experimental groups were exposed to bright visible light (30,000 lx, 3 h, 0.15 W/cm
2
) under general anesthesia, exactly as described in our previous study [
3
]. Eight hours before the illumination the all animals (including the absolute control group) were kept on a diet with only free access to water. Immediately after the illumination, or after 1, 3, or 7 days post exposure (during these time periods the animals were housed under normal conditions described above), the animals of the model group were subjected to clinical and ERG examination (ERG was performed prior to illumination and on the seventh day), and then sacrificed for histological analysis. The animals of the experimental groups were left without treatment (group 1), or premedicated with SkQ1 prior to illumination (group 2), or treated with Nepafenac for seven days after the illumination (group 3) or premedicated with SkQ1 and treated with Nepafenac for seven days after the illumination (group 4). Premedication with SkQ1 included six subsequent conjunctival instillations (one instillation per 10 min.) of 50 μL of 7.5 μM SkQ1 in each eye, as described in [
3
]. Treatment with Nepafenac included conjunctival instillations of 50 μL of Nevanac in each eye three times a day. Immediately after the illumination or 1, 3, or 7 days post exposure the animals of the experimental groups were subjected to clinical examination and ERG, as well as a procedure of AH collection, as described below. Three animals from each experimental group were euthanized and posterior segments of their eyes were subjected to histological analysis.
4.4. Clinical and Electrophysiological Examination
Clinical examination was performed while using a slit lamp (Heine, Herrsching am Ammersee, Germany) and a fundus camera (Kowa Genesis-D, Tokyo, Japan). The possible changes in the cornea, lens, vitreous, retina, and optic nerve were evaluated.
The standard scotopic ERG was recorded using visual electrophysiology system RETIport ERG (An-vision, Germany). Prior to the examination, the animals were dark-adapted for 1 h. The recordings were performed under conditions of general anesthesia (see
Section 4.2
.), topical anesthesia (Alcaine), and mydriasis (1% tropicamide). The active gold wire Koijman electrode was placed (via a contact lens) to the central cornea, whereas the needle ground and negative electrodes were subcutaneously positioned in the tissue 0.5 cm from the lateral angle of the eye and in the forehead tissue, respectively. Scotopic recordings were made while using white LED flashes (7000 K) at light intensity of 3 cd·s/m
2
with frequency of 0.3 Hz. The interferences were removed, the data were processed while using the software provided with the ERG system and visualized using SigmaPlot 11 (Systat Software, San Jose, CA, USA). The ERG analysis was made on amplitude of the a-wave and b-wave.
4.5. Histology
Freshly enucleated whole rabbit eyes were fixed in 4% buffered formaldehyde (pH 7.4) for histological analysis and pathomorphological assessment. After the fixation, the anterior segment and vitreous were removed, and the posterior eye chambers containing retina, retinal pigment epithelium, choroid, and sclera were isolated. The preparations of posterior eye chamber were subjected to routine histological processing, including immersing specimens in a series of ethyl alcohol solutions. Properly the oriented preparations were embedded in paraffin, and 4 µm-thick midsagittal sections were obtained from each paraffin block. The sections were mounted on slides, deparaffinized, rehydrated, stained with Carazzi’s hematoxylin and eosin Y, and examined while using LEICA DM 4000B (Leica, Wetzlar, Germany) microscope. The microphotographs were obtained while using Leica DFC400 digital camera (Leica, Wetzlar, Germany). Processing of the microphotographs was performed using the AxioVision 8.0 (Carl Zeiss, Oberkochen, Germany) and Adobe Photoshop CS6 Extended (Adobe Systems, San Jose, CA, USA) software.
4.6. Aqueous Humor Collection
AH was collected under general anesthesia (see Section 2.2 .). Prior to the procedure, the eyes were instilled with topical anesthetic Alcaine and irrigated with antiseptic Betadine Ophthalmic. 100–150 µL of AH was collected while using 30G needle and insulin syringe and aliquoted in sterile plastic tubes. For UPLC-MS/MS analysis, 50 µL of AH were mixed with 1 µL of 0.05% butylated hydroxytoluene. All of the samples were stored at −70 °C until biochemical or lipidomic examination.
4.7. Total Protein Concentration Measurement
Protein concentration in the AH samples was measured while using bicinchoninic acid assay. Colorimetric reaction was monitored with Synergy H4 Hybrid plate reader (Biotek, Winooski, VT, USA). The calibration curve was constructed using 0.025–2 mg/mL bovine serum albumin solutions in PBS.
4.8. Lipid Peroxidation Analysis
Measuring malondialdehyde content in AH samples by standardized thiobarbituric acid assay, while using commercially available reagent kit, was utilized to assess the level of lipid peroxidation. Colorimetric reaction was monitored with Ultrospec 1000 spectrophotometer (Pharmacia, Uppsala, Sweden).
4.9. Total Antioxidant Activity Analysis
The total antioxidant activity in AH was analyzed via hemoglobin/H 2 O 2 /luminol system, as described in our previous works [ 68 , 69 , 70 ]. Briefly, the AH samples were diluted 200-fold with PBS and added to the reaction mixture, containing 0.01 mm luminol and 0.5 mm hemoglobin. The reaction was then induced by the addition of H 2 O 2 to the final concentration of 6 μm. After brief vortexing, the samples were placed in Glomax-Multi Detection System luminometer (Promega, Madison, WI, USA) and chemiluminescence was monitored every one second for 10 min. The calibration was performed while using 1–8 μm standard solutions of Trolox and the results were presented in the Trolox equivalent.
4.10. Antioxidant Enzyme Activity Analysis
Superoxide dismutase and glutathione peroxidase activity in AH samples was measured by standardized tests while using commercially available kits. The acquired data were normalized to the total amount of protein in AH. All of the reactions were spectrophotometrically monitored using Synergy H4 Hybrid Reader (Biotek, Winooski, VT, USA).
4.11. TNF-α Concentration Measurement
The cytokine content in the samples of AH was assessed by ELISA, while using commercially available kit. Synergy H4 Hybrid Reader was utilized to measure the intensity of colorimetric reaction.
4.12. Lipid Extraction
The AH specimens were diluted with ice-cold anhydrous methanol, mixed with 2 ng of deuterated internal standard solutions, and centrifuged (12,000× g , 3 min.), mixed with 6 mL of 0.1% acetic acid and loaded onto solid-phase lipid extraction (Oasis ® PRIME HLB cartridge (60 mg, 3cc)). The cartridge was washed with 2 mL of wash solution (15% methanol, 0.1% formic acid), and the lipids were sequentially eluted with 500 μL of anhydrous methanol and 500 μL of acetonitrile. The resulting samples were mixed, concentrated under gentle stream of nitrogen, and stored at −70 °C until UPLC-MS/MS analysis.
4.13. UPLC-MS/MS Analysis
For the identification of lipid mediators, the respective lipid extracts were analyzed while using 8040 series UPLC-MS/MS mass spectrometer (Shimadzu, Kyoto, Japan) in multiple-reaction monitoring mode at a unit mass resolution for both the precursor and product ions, as described previously [
71
]. Comprehensive analysis of lipid metabolites was performed by using a composition of internal standards (tetranor-PGEM-d6 (cat.no. 314840), 6-keto PGF1α-d4 (cat.no. 315210), TXB2-d4 (cat.no. 319030), PGF2α-d4 (cat.no. 316010), PGE2-d4 (cat.no. 314010), PGD2-d4 (cat.no. 312010), Leukotriene (LT) C4-d5 (cat.no. 10006198), LTB4-d4 (cat.no. 320110), 5(S)-HETE-d8 (cat.no. 334230), 12(S)-HETE-d8 (cat.no. 334570), 15(S)-HETE-d8 (cat.no. 334720), PAF C16-d4 (cat.no. 10010229), Oleoyl Ethanolamide-d4 (cat.no. 9000552), PGA2-d4 (cat.no. 310210) (Cayman Chemical, Ann Arbor, MI, USA), and a commercial software method package for lipid mediators (Lipid Mediator Version 2 software package Shimadzu, Kyoto, Japan), according to the manufacturer’s instructions.
4.14. Statistical Analysis
The data were analyzed by the mean standard deviation (SD) method, while using SigmaPlot 11 for calculation and visualization. The Mann–Whitney U test was applied for an estimation of statistical significance.
5. Conclusions
In this study, we ascertained the mechanisms of intraocular inflammation associated with LIRD in the rabbit model. Histologically, LIRD manifested as apoptosis of photoreceptors and other retinal neurons, as well as the vacuolization of RPE cells, their phagocytic activity, and migration into the neural retina. Pathomorphological changes were accompanied by the suppressed functionality of the retina, as evidenced by a decrease in ERG responses of both photoreceptors and non-photoreceptor neurons of the retina. All of these alterations were preceded and accompanied by oxidative stress and inflammation, as evidenced by granulocyte infiltration and edema in this tissue as well as the upregulation of total protein, pro-inflammatory cytokine, and oxidative stress markers (increased lipid peroxidation and decreased antioxidant activity) in AH. Quantitative lipidomic studies of AH elucidated neuroprotective (increased DHA) and inflammatory responses, including an increase in pro-inflammatory mediators AA and lyso-PAF, decrease in anti-inflammatory mediator EPA, and pronounced oxidative and inflammatory changes in the content of lipid mediators oxylipins. These changes include long-term elevation prostaglandins, which are synthesized from AA via COX-dependent pathways, as well as short bursts of LA derivatives that can be produced by both enzymatic and non-enzymatic free radical-dependent mechanisms. Premedication of the eyes using mitochondria-targeted antioxidant SkQ1 inhibited the upregulation of all oxylipins, whereas the accumulation of prostaglandins and lyso-PAF was specifically suppressed by topical treatment with COX inhibitor Nepafenac. Importantly, the most prominent antioxidant and anti-inflammatory benefits and overall retinal protective effects were achieved by the simultaneous administration of both drugs, indicating their synergistic action. Taken together, these novel findings add more insights to the mechanisms of antioxidant and anti-inflammatory action of Nepafenac and SkQ1, and they provide a rationale for their combined use in complex therapy of light maculopathy, AMD, and other retinal degenerative diseases.
Author Contributions
Conceptualization, D.V.C., P.P.P., I.I.S, M.G.S. and E.Y.Z.; Formal analysis, D.V.C., V.E.B. and I.I.S.; Funding acquisition, E.Y.Z.; Investigation, D.V.C., V.E.B., V.V.T., S.V.G., N.V.A., O.S.G., E.A.A., S.V.K. and I.I.S; Methodology, D.V.C., V.V.C., N.K.T. and I.I.S.; Project administration, E.Y.Z.; Resources, N.K.T., A.A.Z.J.; Supervision, A.A.Z.J., P.P.P., E.Y.Z.; Validation, D.V.C., M.G.S., and E.Y.Z.; Visualization, D.V.C., V.E.B., N.V.A., and O.S.G.; Writing-Original draft, E.Y.Z.; Writing-Review and editing, D.V.C., P.P.P. and E.Y.Z. All authors have read and agreed to the published version of the manuscript.
Funding
This research was funded by the RUSSIAN SCIENCE FOUNDATION, grant number 16-15-00255.
Acknowledgments
The authors acknowledge the Preclinical Clinical Study Centre, “RUDN University Program 5-100”, for their service with UPLC-MS/MS analysis.
Conflicts of Interest
The authors declare no conflict of interest. The funders had no role in the design of the study; in the collection, analyses, or interpretation of data; in the writing of the manuscript, or in the decision to publish the results.
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Figure 1. Alterations in electrophysiological activity of the rabbit retina under conditions of light-induced retinal degeneration (LIRD). The animals were illuminated with intense visible light (30,000 lx) for 3 h. ( A ) Representative scotopic electroretinograms recorded before (normal) and 7 days after the illumination. Recordings were made using white flashes at light intensity of 3 cd·s/m 2 . ( B ) Amplitudes of a- and b-waves of scotopic electroretinograms recorded before (normal) and seven days after the illumination. * p < 0.05 as compared with the respective parameters of the intact retina.
Figure 1. Alterations in electrophysiological activity of the rabbit retina under conditions of light-induced retinal degeneration (LIRD). The animals were illuminated with intense visible light (30,000 lx) for 3 h. ( A ) Representative scotopic electroretinograms recorded before (normal) and 7 days after the illumination. Recordings were made using white flashes at light intensity of 3 cd·s/m 2 . ( B ) Amplitudes of a- and b-waves of scotopic electroretinograms recorded before (normal) and seven days after the illumination. * p < 0.05 as compared with the respective parameters of the intact retina.
Figure 2.
Histopathological findings in rabbit retina after the illumination with intense visible light (30,000 lx, 3 h). (
A
–
C
): before (
A
), immediately after (
B
) and one day after (
C
) the illumination retina demonstrates intact morphology. (
D
): acute signs of the retinal damage three days after the illumination. The signs include the presence of pycnotic nuclei and apoptotic bodies of photoreceptors (red arrows), retinal detachment from retinal pigment epithelium (RPE) (asterisks), activation of RPE cells (yellow arrows) and phagocytosis of apoptotic bodies by RPE cells (white arrows). (
E
–
H
): delayed signs of the retinal damage seven days after illumination. The signs include thinning of outer nuclear layer (ONL) and inner nuclear layer (INL) (
E
) and gliosis (
E
, green arrow), total loss of photoreceptors (
F
, black arrowhead), glial scar formation, and newly formed canals filled with edematous fluid (
F
, red arrowhead), Muller glia activation and hypertrophy and eosinophilic areas (
G
, green arrows), areas of ONL thinning (
H
, black arrows) and inflammatory cells between photoreceptor layer and RPE (
H
, orange arrows). Representative cross-sections of ocular fundus staining with hematoxylin and eosin; magnification 200×. Scale bar 20 μm. Retinal detachment at B and E is of artificial origin. Abbreviations: BV, blood vessel; GCL, ganglion cell layer; INL, inner nuclear retinal layer; MR, medullary ray; ONL, outer nuclear retinal layer; Ph, photoreceptor layer; RPE, retinal pigment epithelium; Sc, sclera.
Figure 2. Histopathological findings in rabbit retina after the illumination with intense visible light (30,000 lx, 3 h). ( A – C ): before ( A ), immediately after ( B ) and one day after ( C ) the illumination retina demonstrates intact morphology. ( D ): acute signs of the retinal damage three days after the illumination. The signs include the presence of pycnotic nuclei and apoptotic bodies of photoreceptors (red arrows), retinal detachment from retinal pigment epithelium (RPE) (asterisks), activation of RPE cells (yellow arrows) and phagocytosis of apoptotic bodies by RPE cells (white arrows). ( E – H ): delayed signs of the retinal damage seven days after illumination. The signs include thinning of outer nuclear layer (ONL) and inner nuclear layer (INL) ( E ) and gliosis ( E , green arrow), total loss of photoreceptors ( F , black arrowhead), glial scar formation, and newly formed canals filled with edematous fluid ( F , red arrowhead), Muller glia activation and hypertrophy and eosinophilic areas ( G , green arrows), areas of ONL thinning ( H , black arrows) and inflammatory cells between photoreceptor layer and RPE ( H , orange arrows). Representative cross-sections of ocular fundus staining with hematoxylin and eosin; magnification 200×. Scale bar 20 μm. Retinal detachment at B and E is of artificial origin. Abbreviations: BV, blood vessel; GCL, ganglion cell layer; INL, inner nuclear retinal layer; MR, medullary ray; ONL, outer nuclear retinal layer; Ph, photoreceptor layer; RPE, retinal pigment epithelium; Sc, sclera.
Figure 3. Alterations in biochemical properties of rabbit aqueous humor (AH) under conditions of LIRD. The animals were illuminated with intense visible light (30,000 lx) for 3 h (the course of the illumination is shown as gray box). AH samples were collected before (norm) and immediately after (3 h) the illumination as well as on 1, 3, and 7 day post-exposure. The samples were analyzed for total protein, tumor necrosis factor alpha (TNF-α), and malondialdehyde content as well as total antioxidant activity (in Trolox equivalent) and activity of glutathione peroxidase and superoxide dismutase using the respective assays. * p < 0.05 as compared to parameters of AH of the intact (control) animals.
Figure 4.
Alterations in patterns of lipid mediators in rabbit AH under conditions of LIRD. The animals were illuminated with intense visible light (30,000 lx) for 3 h (the course of the illumination is shown as gray box). AH samples were collected before (norm) and immediately after (3 h) the illumination as well as on 1, 3, and 7 day post-exposure. The concentrations of the lipid mediators (phospholipid derivatives, PUFAs and oxylipins) in aqueous AH were measured using quantitative UPLC-MS/MS analysis. *
p
> 0.05 as compared to the parameters of AH of the intact (control) animals. The identified oxylipins are divided into subgroups according to their origin and biosynthetic pathways, involving cyclooxygenases (COX), lipoxygenases (LOX), cytochrome P450 monooxygenases (CYP), or reactive oxygen species (ROS) (non-enzymatic pathway).
Figure 4. Alterations in patterns of lipid mediators in rabbit AH under conditions of LIRD. The animals were illuminated with intense visible light (30,000 lx) for 3 h (the course of the illumination is shown as gray box). AH samples were collected before (norm) and immediately after (3 h) the illumination as well as on 1, 3, and 7 day post-exposure. The concentrations of the lipid mediators (phospholipid derivatives, PUFAs and oxylipins) in aqueous AH were measured using quantitative UPLC-MS/MS analysis. * p > 0.05 as compared to the parameters of AH of the intact (control) animals. The identified oxylipins are divided into subgroups according to their origin and biosynthetic pathways, involving cyclooxygenases (COX), lipoxygenases (LOX), cytochrome P450 monooxygenases (CYP), or reactive oxygen species (ROS) (non-enzymatic pathway).
Figure 5. Electrophysiological activity of the rabbit retina under conditions of LIRD with (blue) or without (pink) premedication using SkQ1. The animals were illuminated with intense visible light (30,000 lx) for 3 h. ( A ) Representative scotopic electroretinograms recorded before (black) and 7 days after the illumination. Recordings were made using white flashes at light intensity of 3 cd·s/m 2 . ( B ) Amplitudes of a- and b-waves of scotopic electroretinograms recorded before (normal) and 7 days after the illumination. * p < 0.05 as compared with the respective parameters of the intact retina.
Figure 5. Electrophysiological activity of the rabbit retina under conditions of LIRD with (blue) or without (pink) premedication using SkQ1. The animals were illuminated with intense visible light (30,000 lx) for 3 h. ( A ) Representative scotopic electroretinograms recorded before (black) and 7 days after the illumination. Recordings were made using white flashes at light intensity of 3 cd·s/m 2 . ( B ) Amplitudes of a- and b-waves of scotopic electroretinograms recorded before (normal) and 7 days after the illumination. * p < 0.05 as compared with the respective parameters of the intact retina.
Figure 6.
Histopathological findings in rabbit retina seven days after the illumination with intense visible light (30,000 lx, 3 h) without treatment (
A
), after premedication with SkQ1 (
B
), after treatment with Nepafenac (
C
), and after premedication/treatment using the combination of the both drugs (
D
). (
A
): The retina demonstrates severe signs of damage including thinning of ONL and INL and total loss of photoreceptors (black arrows), gliosis, glial scar formation and formation of canals filled with edematous fluid (orange arrows) as well as Muller glia activation and hypertrophy (eosinophilic areas, green arrows). (
B
): The retina exhibits much less prominent damage (thinning of ONL and INL–black arrow, glial activation–green arrow), but signs of pre-existent inflammation are present (debris in semi-canal, orange arrow). (
C
): The retina shows thinning of ONL (black arrow) without signs of inflammation. (
D
): No signs of the retinal damage and/or inflammation. Representative cross-sections of retina, staining with hematoxylin and eosin; magnification 200× (400× on inset). Scale bar 20 μm. Abbreviations: GCL, ganglion cell layer; INL, inner nuclear retinal layer; ONL, outer nuclear retinal layer; Ph, photoreceptor layer.
Figure 6. Histopathological findings in rabbit retina seven days after the illumination with intense visible light (30,000 lx, 3 h) without treatment ( A ), after premedication with SkQ1 ( B ), after treatment with Nepafenac ( C ), and after premedication/treatment using the combination of the both drugs ( D ). ( A ): The retina demonstrates severe signs of damage including thinning of ONL and INL and total loss of photoreceptors (black arrows), gliosis, glial scar formation and formation of canals filled with edematous fluid (orange arrows) as well as Muller glia activation and hypertrophy (eosinophilic areas, green arrows). ( B ): The retina exhibits much less prominent damage (thinning of ONL and INL–black arrow, glial activation–green arrow), but signs of pre-existent inflammation are present (debris in semi-canal, orange arrow). ( C ): The retina shows thinning of ONL (black arrow) without signs of inflammation. ( D ): No signs of the retinal damage and/or inflammation. Representative cross-sections of retina, staining with hematoxylin and eosin; magnification 200× (400× on inset). Scale bar 20 μm. Abbreviations: GCL, ganglion cell layer; INL, inner nuclear retinal layer; ONL, outer nuclear retinal layer; Ph, photoreceptor layer.
Figure 7.
Alterations in biochemical properties of rabbit AH under conditions of LIRD without treatment (black), in the course of treatment with Nepafenac (red), after premedication with SkQ1 (blue), and in the course of the therapy using the combination of the both drugs (green). The animals were illuminated with intense visible light (30,000 lx) for 3 h (the course of the illumination is shown as a gray box). The AH samples were collected before (norm) and immediately after (3 h) the illumination as well as on 1, 3, and 7 day post-exposure. The samples were analyzed for TNF-α and malondialdehyde content as well as total antioxidant activity (in Trolox equivalent) and activity of glutathione peroxidase and superoxide dismutase using the respective assays. *
p
> 0.05 as compared to the parameters of AH of the untreated illuminated animals.
Figure 7. Alterations in biochemical properties of rabbit AH under conditions of LIRD without treatment (black), in the course of treatment with Nepafenac (red), after premedication with SkQ1 (blue), and in the course of the therapy using the combination of the both drugs (green). The animals were illuminated with intense visible light (30,000 lx) for 3 h (the course of the illumination is shown as a gray box). The AH samples were collected before (norm) and immediately after (3 h) the illumination as well as on 1, 3, and 7 day post-exposure. The samples were analyzed for TNF-α and malondialdehyde content as well as total antioxidant activity (in Trolox equivalent) and activity of glutathione peroxidase and superoxide dismutase using the respective assays. * p > 0.05 as compared to the parameters of AH of the untreated illuminated animals.
Figure 8.
Alterations in patterns of lipid mediators in rabbit AH under conditions of LIRD without treatment (black), in the course of treatment with Nepafenac (red), after premedication with SkQ1 (blue), and in the course of the therapy using the combination of the both drugs (green). The animals were illuminated with intense visible light (30,000 lx) for 3 h (the course of the illumination is shown as gray box). The AH samples were colected before (norm) and immediately after (3 h) the illumination as well as on 1, 3, and 7 day post-exposure. The concentrations of the lipid mediators (phospholipid derivatives, PUFAs and oxylipins) in AH were measured using quantitative UPLC-MS/MS analysis. *
p
> 0.05 as compared to the parameters of AH of the untreated illuminated animals. The identified oxylipins are divided into subgroups according to their origin and biosynthetic pathways, involving COX, LOX, CYP, or ROS (non-enzymatic pathway).
Figure 8. Alterations in patterns of lipid mediators in rabbit AH under conditions of LIRD without treatment (black), in the course of treatment with Nepafenac (red), after premedication with SkQ1 (blue), and in the course of the therapy using the combination of the both drugs (green). The animals were illuminated with intense visible light (30,000 lx) for 3 h (the course of the illumination is shown as gray box). The AH samples were colected before (norm) and immediately after (3 h) the illumination as well as on 1, 3, and 7 day post-exposure. The concentrations of the lipid mediators (phospholipid derivatives, PUFAs and oxylipins) in AH were measured using quantitative UPLC-MS/MS analysis. * p > 0.05 as compared to the parameters of AH of the untreated illuminated animals. The identified oxylipins are divided into subgroups according to their origin and biosynthetic pathways, involving COX, LOX, CYP, or ROS (non-enzymatic pathway).
© 2020 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license ( http://creativecommons.org/licenses/by/4.0/ ).
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(PDF) Chronic contained abdominal aortic aneurysm rupture causing vertebral erosion
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Chronic contained abdominal aortic aneurysm rupture causing vertebral erosion
Asian Cardiovascular & Thoracic Annals 27(1):021849231877323
DOI: 10.1177/0218492318773237
Authors:
Doan Quoc Hung
Hanoi Medical University
Abstract and Figures
Erosion of vertebral bodies by an abdominal aortic aneurysm is extremely rare. Chronic contained rupture can cause difficulties in diagnosis because there are many clinical presentations: back pain, sciatic pain, or an expansive abdominal mass. Computed tomography is the gold-standard diagnostic tool. We report the case of a 49-year-old man who suffered from back pain because of a chronic ruptured aortic aneurysm.
Computed tomography showing chronic contained rupture of an abdominal aortic aneurysm with erosion into the L3 vertebral body. …
The ruptured aneurysm of the abdominal aortic posterior wall with erosion into the L3 vertebral body. …
Figures - uploaded by
Tran-Thuy Nguyen
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Case Study
Chronic contained abdominal
aortic aneurysm rupture causing
vertebral erosion
T ran-Thuy Nguyen
1
, Ngoc-Thanh Le
1
and Quoc-Hung Doan
2
Abstract
Erosion of vertebral bodies by an abdominal aortic aneur ysm is extremely rare. Chronic contained rupture can cause
difficulties in diagnosis because there are many clinical presentations: back pain, sciatic pain, or an expansive abdominal
mass. Computed tomography is the gold-standard diagnostic tool. W e report the case of a 49-year -old man who suffered
from back pain because of a chronic ruptured aortic aneurysm.
Keywor ds
Aortic aneurysm, abdominal, Aortic rupture, Blood vessel prosthesis implantation, Low back pain, Lumbar vertebrae,
Spinal diseases
Introduction
Erosion of vertebral bodies resulting from chronic con-
tained rupture of an abdominal aortic aneurysm (AAA)
is extremely rare.
1
The preoperative diagnosis can be
difficult because of the variety of clinical presentations
such as back pain, sciatic pain, or a pulsatile abdominal
mass. In this regard, computed tomography is the best
way to diagnose and define the disease. Surgical treat-
ment is the best way to prevent complications.
Case report
A 49-year-old man with hypertension and dyslipidemia
presented with a 2-month history of low back pain. He
h a db e e no p e r a t e do nf o rar i g h tu r e t e r a ls t o n e2 2y e a r s
earlier and diagnosed with grade IV chronic kidney dis-
ease 8 years earlier. On examination, he had a pulsatile
abdominal mass of 4 cm around the umbilicus, and blood
pressure of 150/90 mm Hg. Laboratory tests pre-dialysis
showed red blood cells 2.8 10
6
/ m L, urea 44 mmol L
1
,
and creatine 1825 mmol L
1
. Post-dialysis results were
red blood cells 3.32 10
6
/ m L, urea 12 mmol L
1
, and cre-
atine 710 mmol L
1
. Computed tomography revealed an
AAA of 64 40 mm in diameter. The AAA had caused
erosion of up to 30% of the anterior walls of the L3 and
L4 vertebrae (Figure 1). At vascular surgery, a ruptured
AAA (diameter 5 cm) was found to have caused erosion
of the posterior wall of the L3 vertebral body. Replacing
the infrarenal aorta with a size 16 Uni-Graft and use of
an aortic clamp for 35 min were indicated. A biopsy of the
involved vertebral body and retroperitoneal hematoma
showed no infection or malignancy (Figure 2). At s pinal
surgery, we found that the L2–L4 vertebrae wer e almost
completely eroded. Four staples were place d in the L2–L4
vertebrae and 4 screws were fixed to the left anter ior
bodies. A 17 45-mm titanium mesh cage was used to
fill in the pelvic bone to reconstruct the L3 vertebra
(Figure 3). Postoperatively, the patient remained stable
and was rehabilitated for walking after 7 days. He was
discharged after 15 days. Follow-up over 24 months
showed that he was relieved of his low back pain an d
able to walk independently again. Subsequently, hemodi-
alysis was performed 3 times per week.
Asian Cardiovascular & Thoracic Annals
2019, Vol. 27(1) 33–35
ß The Author(s) 2018
Article reuse guidelines:
sagepub.com/journals-permissions
DOI: 10.1177/0218492318773237
journals.sagepub.com/home/aan
1
Department of Cardiovascular and Thoracic Surgery, Cardiovascular
Center, E Hospital, Hanoi, Vietnam
2
Department of Cardiovascular and Thoracic Surgery, Viet Duc Hospital,
Hanoi Medical University, Hanoi, Vietnam
Corresponding authors:
Quoc Hung Doan, Hanoi Medical University, No 1 T on That T ung,
DongDa, Hanoi, Vietnam.
Email: [email protected]
T ran-Thuy Nguyen, Department of Cardiovascular and Thoracic Surgery,
Cardiovascular Center , E Hospital, 8789 Tran Cung, Cau Giay , Hanoi,
Vietnam.
Email: [email protected]
Figure 1. Computed tomography showing chronic contained rupture of an abdominal aortic aneurysm with erosion into the L3
vertebral body.
Figure 2. The ruptured aneurysm of the abdominal aortic posterior wall with erosion into the L3 vertebral body.
34 Asian Cardiovascular & Thoracic Annals 27(1)
Discussion
Chronic contained AAA rupture is an extremely rare
condition. Since the initial description of 7 cases in 1961
by Szilagyi and colleagues,
1
less than 100 similar cases
have been documented worldwide.
1–3
Diagnosis of
chronic contained AAA rupture is difficult even in hos-
pitalized patients. Booth and Galland
4
reported that
the clinical features of contained AAA rupture are
vague with back pain in 64% of cases, abdominal
pain in 20%, groin pain in 14%, femoral neuropathy
in 8%, sepsis in 10%, and asymptomatic in 8%. Our
patient did not initially come to our department; he was
examined for low back pain in the orthopedic depart-
ment first. Characteristic findings are the presence of an
AAA, pain, a patient whose condition is stable and
whose hematocrit is normal, computed tomography
showing a retroperitoneal hematoma, and pathological
confirmation of an organized hematoma.
3
Our patient
had hypertension and anemia due to grade IV chronic
kidney disease. Hypertension is a risk factor for chronic
contained AAA rupture, but according to Booth and
Galland,
4
only 22% of patients are hypertensive.
Computed tomography may be associated with prob-
lems in the differential diagnosis with vertebral lysis due
to another mechanism such as trauma, cancer, inflam-
matory disease, or syphilis.
5
Our patient manifested
vertebral erosions secondary to a primary AAA.
These erosions developed as the result of a passive pro-
cess. We did not identify any clinical signs or labora-
tory results suggesting Behc ¸ et’s disease or infection with
Mycobacterium tuberculosi s. In addition, we did not
observe any specific or nonspecific signs of malignancy
or infection in biopsies.
Chronic contained AAA rupture warrants semi-
emergency surgery. Open surgery is currently the rec-
ommended treatment.
5
The technical feasibility of
endovascular treatment for ruptured AAA has now
been demonstrated, and this seems to be an interesting
therapeutic alternative.
6
In cases of severe vertebral
destruction, osteosynthesis of the vertebral bodies
may also be necessary.
7
Declaration of conflicting interests
The author(s) declared no potential conflicts of interest with
respect to the research, authorship, and/or publication of this
article.
Funding
The author(s) received no financial support for the research,
authorship, and/or publication of this article.
ORCID iD
Tran-Thuy Nguyen http://orcid.org/0000-0001-7129-0525
References
1. Li Y, Li L, Zhang D, Wang X, Sun W and Wang H.
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2. Szilagyi DE, Smith RF, Macksood AJ and Whitcomb JG.
Expanding and ruptured abdominal aortic aneurysms.
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3. Saiki M, Urata Y, Katoh I and Hamasaki T. Chronic
contained rupture of an abdominal aortic aneurysm with
vertebral erosion: report of a case. Ann Thorac Cardiovasc
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4. Booth MI and Galland RB. Chronic contained rupture of
an abdominal aortic aneurysm: a case report and review of
the literature. EJVES Etra 2002; 3: 33–35. Available at:
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b6a7217fad528e. Accessed April 03, 2018.
5. Nya F, Atmani N, Seghrouchni A, Aithoussa M and
Boulahya A. Vertebral erosion after chronic rupture of
an infrarenal abdominal aortic aneurysm: about one
case. J Cardiovasc Dis Diagn 2017; 5: 2. Available at:
https://www.omicsonline.org/open-access/vertebral-ero-
sion-after-chronic-rupture-of-an-infrarenal-abdominalaor-
tic-aneurysm-about-one-case-2329-9517-1000262.php?
aid ¼ 86652. Accessed April 03, 2018.
6. Seelig MH, Berchtold C, Jakob P and Scho
¨ nleben K.
Contained rupture of an infrarenal abdominal aortic
aneurysm treated by endoluminal repair. Eur J Vasc
Endovasc Surg 2000; 19: 202–204.
7. Aydogan M, Karatoprak O, Mirzanli C, Ozturk C, Tezer
M and Hamzaoglu A. Severe erosion of lumbar vertebral
body because of a chronic ruptured abdominal aortic
aneurysm. Spine J 2008; 8: 394–396.
Figure 3. Fixation of the L2 and L4 vertebral bodies with
screws and placement of a titanium mesh cage in the L3 vertebral
body.
Nguyen et al. 35
... A CCR-AAA is a well-known, extremely rare subtype of AAA that was first reported by Szilagyi et al. in 1961 [1-3]. It is characterized by low blood loss and stable hemodynamics, which are due to hemostasis by tissue peripheral to the retroperitoneum when the aortic aneurysm ruptures [4,
5]
. ...
... The diagnostic criteria for CCR-AAA consist of the following: (1) known AAA; (2) previous pain symptoms; (3) stable condition and normal hematocrit; (4) a CT scan showing a retroperitoneal hematoma; and (5) pathological confirmation of an organized hematoma [1,2]. Although back pain is common, cases of CCR-AAA present with a wide variety of clinical findings, including cases which are asymptomatic [4]
[5]
[6]. The diagnosis of CCR-AAA thus poses a dilemma. ...
... A ruptured abdominal aortic aneurysm is typically treated with open repair, although endovascular aneurysm repair has also recently been reported to be effective [11]. On the other hand, CCR-AAA has been treated in all reports with vascular prosthesis implantation or bypass surgery [1,2,[4]
[5]
[6]. As in the present case, endovascular aneurysm repair is difficult to perform in cases with arterial occlusion. Open surgery for diagnosis and treatment is considered suitable for cases in which the possibility of a tumor or infection cannot be ruled out before surgery. ...
Chronic contained rupture of abdominal aortic aneurism complicated with aortic occlusion: a case report
Article
Full-text available
Dec 2019
Azuma Tabayashi
Takeshi Kamada
Akihiko Abiko
Hajime Kin
Background:
Chronic contained rupture is a subtype of an abdominal aortic aneurysm rupture. Its diagnosis is sometimes difficult due to lack of typical symptoms. We would like to report the challenge of diagnosing chronic contained rupture of abdominal aortic aneurysm with a retroperitoneal tumor.
Case presentation:
A 60-year-old man reported perceived lower abdominal pain 7 months earlier that spontaneously remitted. A contrast-enhanced computed tomography (CT) indicated an abdominal aortic aneurysm and a mass lesion surrounding the abdominal aorta and iliac arteries. Fluorine-18-fluorodeoxyglucose positron emission tomography (FDG-PET) showed an increased accumulation of FDG in the margin of the lesion, indicating a retroperitoneal tumor. A CT-guided biopsy revealed only retroperitoneal fibrous tissue with chronic inflammation. We were thus unable to reach a definitive diagnosis. At 1 month after the initial examination, intermittent claudication was newly observed. A follow-up contrast-enhanced CT scan revealed abdominal aortic occlusion. Mass resection and bypass surgery were performed for diagnosis and treatment. Intraoperative and pathological findings led to the diagnosis of chronic contained rupture of an abdominal aortic aneurysm. The patient was discharged 19 days after surgery.
Conclusion:
The mass peripheral to the abdominal aorta should be considered the possibility not only of tumor but also of chronic contained rupture of an abdominal aortic aneurysm.
... In the future, we expect to further enrich the variability of the training data by improving the physical models or collecting more patient data to incorporate the marginal situations. Specifically, we generate a large amount of data by varying three parameters in the computational G&R simulations, which may not be enough to capture all the different features in actual AAA evolution, e.g., intraluminal thrombus [50,52,53], other morphological parameters [54,55], and influence of surrounding tissues [56,
57]
. Hence, more parameters and more complex models will be carefully selected in the future to provide better simulation-based training data. ...
A Deep Learning Approach to Predict Abdominal Aortic Aneurysm Expansion Using Longitudinal Data
Article
Full-text available
Jan 2020
Zhenxiang Jiang
Huan Do
Jongeun Choi
Seungik Baek
An abdominal aortic aneurysm (AAA) is a gradual enlargement of the aorta that can cause a life-threatening event when a rupture occurs. Aneurysmal geometry has been proved to be a critical factor in determining when to surgically treat AAAs, but, it is challenging to predict the patient-specific evolution of an AAA with biomechanical or statistical models. The recent success of deep learning in biomedical engineering shows promise for predictive medicine. However, a deep learning model requires a large dataset, which limits its application to the prediction of the patient-specific AAA expansion. In order to cope with the limited medical follow-up dataset of AAAs, a novel technique combining a physical computational model with a deep learning model is introduced to predict the evolution of AAAs. First, a vascular Growth and Remodeling (G&R) computational model, which is able to capture the variations of actual patient AAA geometries, is employed to generate a limited in silico dataset. Second, the Probabilistic Collocation Method (PCM) is employed to reproduce a large in silico dataset by approximating the G&R simulation outputs. A Deep Belief Network (DBN) is then trained to provide fast predictions of patient-specific AAA expansion, using both in silico data and patients' follow-up data. Follow-up Computer Tomography (CT) scan images from 20 patients are employed to demonstrate the effectiveness and the feasibility of the proposed model. The test results show that the DBN is able to predict the enlargements of AAAs with an average relative error of 3.1%, which outperforms the classical mixed-effect model by 65%.
... It is represented as the discontinuity of the calcified aortic wall, a clearly limited mass of soft tissue density vaguely restricted from other adjacent structures (spine, psoas muscle) [5,6]. There are no signs of contrast extravasation within the mass described, which clearly differentiates it from true AAA rupture [7,8,
9]
. Diagnosis of chronic AAA rupture is very important and unnecessary due to erosion of vertebral bodies and to find out the causes of them. ...
Vertebral erosion due to chronic rupture of aneurismatic abdominal aorta
Article
Full-text available
Jan 2019
Nikola Colic
Dusan Saponjski
Milica Stojadinovic
Dragan Mašulović
Introduction. Extremely rarely, the evolution of abdominal aortic aneurysm (AAA) includes the phase when extravasations of the blood from a ruptured aneurysm is contained by the surrounding tissue, referred to as chronic (contained) rupture of the AAA. Our aim was to call attention to this life-threatening condition, which is always challenging for diagnosis. Case outline. A 58-year-old man reported to the Emergency Center for significant abdominal pain. Ultrasound examination showed an infrarenal aneurysm of the abdominal aorta. A computed tomography scan of the thorax, abdomen, and pelvis with iodine contrast in arterial phase was performed. A free gas collection was observed between the liver and the anterior abdominal wall that is traced to a ruptured inflamed diverticulum on the transversal colon. Immediately distal to the branching sites of the renal arteries, the abdominal aorta extended forward and aneurismatically expanded. Posterior left, along the psoas muscle, a rupture of the aortic wall was seen, with an organized hematoma that accompanied the muscle. Between the hematoma and the aortic aneurysm, erosions of the anterior and lateral part of the vertebral bodies L2 and L3 were discovered. The patient underwent endovascular AAA repair (EVAR) and recovered well. Conclusion. Multidetector computed tomography angiography is a reliable, non-invasive, and necessary examination for localization and evaluation of the size of the AAA form, its chronic rupture, and complications such as vertebral body erosion.
Chronic abdominal aortic rupture mimicking femoral neuropathy
Article
Full-text available
Jul 2022
Pietro Modugno
Fadia Salman
Veronica Picone
Massimo Massetti
Chronic-contained rupture of an aortic aneurysm is a rare subset of ruptured aneurysms. The presentation is unusual, and the diagnosis is frequently delayed. Here, we describe a case of contained rupture of abdominal aortic aneurysm that presented with signs and symptoms of femoral neuropathy. Clinical and radiological findings were initially misinterpreted. The correct diagnosis was formulated belatedly, causing a progressively increased risk of fatal events. Surgical aortic repair was performed and the postoperative course was uneventful. In conclusion, in the presence of a retroperitoneal mass, a diagnosis of chronic-contained rupture of an abdominal aortic aneurysm should be considered.
View
Show abstract
A Rare Case of Contained Chronic Rupture of Abdominal Aortic Aneurysm Associated With Vertebral Erosion: Pre- and Post-operative Findings on Computed Tomography and a Narrative Review
Article
Jun 2022
Vasc Endovasc Surg
Marco Parillo
Federica Vaccarino
Bruno Beomonte Zobel
Carlo Cosimo Quattrocchi
Contained chronic rupture of aortic aneurysm (CCR-AA) is a rare condition that can be associated with vertebral body erosion (VBE) and is often a diagnostic challenge; in fact, CCR-AAs are in general hemodynamically stable and the patients tend to present with a non-specific low-back pain syndrome secondary to vertebral involvement. Furthermore, the differential diagnosis of a retroperitoneal mass can be difficult on medical imaging. We discuss the case of a 79-years-old man, heavy smoker without history of cardiovascular diseases, admitted to the emergency department with signs of left lower limb ischemia. The patient was hemodynamically stable and the medical examination revealed a pulsatile abdominal mass. Doppler ultrasound showed the presence of aneurysmal dilatation of infra-renal abdominal aorta and chronic femoropopliteal occlusion on the left side. The subsequent computed tomography angiography (CTA) demonstrated a voluminous retroperitoneal mass continuous with the infra-renal aorta, which infiltrated the psoas muscles and caused vertebral bodies erosion of the anterior wall in L2, L3 and L4 suspected for CCR-AA or mycotic aortic aneurysm. Furthermore, the examination confirmed the occlusion of the peripheral arterial circulation of the left lower limb. The patient underwent a successful open replacement of the infra-renal abdominal aorta through aorto-aortic prosthetic graft insertion; the visualization during the surgical procedure of a posterior vessel wall opening in continuity with the eroded vertebral bodies associated with negative microbiological culture of the thrombotic material sample, led to the definitive diagnosis of CCR-AA. The post-operative CTA showed successful open vascular treatment. A bypass surgery of the left lower limb was then performed with positioning saphenous graft between femoral common artery and posterior tibial artery. The patient was finally discharged in good clinical conditions.
Vertebral Body Erosion by a Chronic Contained Rupture of Thoracoabdominal Aortic Aneurysm: Systematic Review and Spine Surgical Recommendations
Article
Nov 2021
Alessandro Pesce
Daniele Armocida
Gianpaolo Petrella
Angelo Pompucci
Background
Vertebral body erosion (VBE) is commonly caused by neoplastic, inflammatory or infectious diseases: it can be rarely associated with aortic wall disorders, such as contained rupture of aortic aneurysm (CCR-AA). CCR-AA is a rare event consisting of less than 5% of all reported cases. This condition is easily undiagnosed, differential diagnosis may be challenging, and there is no consensus or recommendation that dictates guidance on management of spinal surgical treatment.
Material And Methods
We performed a systematic review of literature of all cases of VBE secondary to CCR-AA to identify clinical, radiological, and surgical outcome characteristics with the aim of providing a basis for future research studies.
Results
The search returned a total of 80 patients. All reported cases have a history of hypertension. In almost all cases the AA size reported was very high (mean diameter of 7.056 cm). The treatment of this condition involves various reported treatment strategies: a totally conservative approach, treatment of the aortic aneurysm through a minimally invasive endovascular procedure, or through open surgery and combined approach. Despite the wide variability in therapeutic strategy, the rate of good outcomes was 80%, relatively high.
Conclusions
‘‘Back pain’’ and pain along the vertebral column are such frequent complaints that unusual etiologies or serious and life threatening complications may be overlooked. In addition to the common traumatic and degenerative causes of back pain, AA must also be considered. A combined approach between vascular and spine surgery could be achieved without any increased risk.
The Association of Spondylitis and Aortic Aneurysm Disease
Article
May 2021
ANN VASC SURG
Nikolaos Patelis
Petroula Nana
Konstantinos Spanos
George Kouvelos
Objectives:
The aim of this study is to assess any relation between spondylitis and aortic aneurysmal disease by reviewing the current literature.
Methods:
A systematic search was undertaken using MEDLINE, EMBASE and CENTRAL databases till May 2019, for articles reporting on patients suffering from spondylitis and aortic aneurysm.
Results:
The most involved aortic segment was infrarenal aorta (56.9%). The lumbar vertebrae were more frequently affected (79.7%). Commonest symptoms were back pain (79.1%), fever (33.7%) and lower limb pain (29.1%). 55.8% of cases were diagnosed using computed tomography. The pathology was attributed to infectious causes in 25.1% of cases. 53.4% of patients were treated only for the aneurysm, 27.9% for both pathologies, while two patients solely for the vertebral disease. Endovascular aneurysm repair was chosen in 12.8% of cases. The 30-day mortality was 8.1% (7/86); mostly from vascular complications.
Conclusions:
A synchronous spondylitis and aortic aneurysm may share common etiopathology, when an infectious or inflammatory cause is presented. The lumbar vertebrae are more frequently affected. Low quality data do not allow safe conclusion to suggest the best treatment option.
Chronic Contained Rupture of an Abdominal Aortic Aneurysm: a Case Report and Review of the Literature
Article
Feb 2002
M I Booth
R B Galland
Contained rupture of an infrarenal abdominal aortic aneurysm treated by endoluminal repair
Mar 2000
EUR J VASC ENDOVASC
Matthias H. Seelig
Christoph Berchtold
| https://www.researchgate.net/publication/324911775_Chronic_contained_abdominal_aortic_aneurysm_rupture_causing_vertebral_erosion |
Materials | Free Full-Text | A Model Procedure for Catalytic Conversion of Waste Cotton into Useful Chemicals
Cotton is grown in about 90 countries and accounts for 24% of the fibers used in the global production of textiles. In 2018/2019, 25.8 Mt of cotton were produced around the world. Since this natural product consists mainly of cellulose, it can be used as a raw material in the so-called “sugar economy”. This paper discusses a model procedure for thermally assisted acidic hydrolysis of cotton into glucose and subsequent oxidation of the glucose into calcium gluconate over Pd-Au/SiO2 catalyst. In the first step, H2SO4 was used as a catalyst for hydrolysis. The cotton hydrolysates were neutralized using CaCO3 and applied as a substrate in the second step, where glucose was oxidized over Pd-Au/SiO2 prepared by ultrasound assisted co-impregnation. With the appropriate Au/Pd molar ratio, small crystallites of palladium and gold were created which were active and selective towards the formation of gluconate ions. This approach to the transformation of glucose represents as a viable alternative to biological processes using fungal and bacterial species, which are sensitive to the presence of inhibitors such as furfurals and levulinic acid in hydrolysates.
A Model Procedure for Catalytic Conversion of Waste Cotton into Useful Chemicals
Justyna Malinowska 1 ,
Andrei Stanishevsky 2 ,
Courtney J. Severino 2 ,
Riley Yager 2 ,
Malgorzata Cieslak 3 and
Izabela A. Witonska 1,*
1
Institute of General and Ecological Chemistry, Lodz University of Technology, 116 Zeromskiego Street, 90-924 Lodz, Poland
2
Department of Physics, University of Alabama at Birmingham, 1300 University Blvd., Birmingham, AL 35294, USA
3
ŁUKASIEWICZ Research Network—Textile Institute, Department of Textile Chemical Technologies, 118 Gdanska Street, 90-520 Lodz, Poland
*
Author to whom correspondence should be addressed.
Materials 2021 , 14 (8), 1981; https://doi.org/10.3390/ma14081981
Received: 7 March 2021 / Revised: 30 March 2021 / Accepted: 12 April 2021 / Published: 15 April 2021
(This article belongs to the Special Issue Green Synthesis and Transformation in Material Science )
Abstract
Cotton is grown in about 90 countries and accounts for 24% of the fibers used in the global production of textiles. In 2018/2019, 25.8 Mt of cotton were produced around the world. Since this natural product consists mainly of cellulose, it can be used as a raw material in the so-called “sugar economy”. This paper discusses a model procedure for thermally assisted acidic hydrolysis of cotton into glucose and subsequent oxidation of the glucose into calcium gluconate over Pd-Au/SiO
2
catalyst. In the first step, H
2
SO
4
was used as a catalyst for hydrolysis. The cotton hydrolysates were neutralized using CaCO
3
and applied as a substrate in the second step, where glucose was oxidized over Pd-Au/SiO
2
prepared by ultrasound assisted co-impregnation. With the appropriate Au/Pd molar ratio, small crystallites of palladium and gold were created which were active and selective towards the formation of gluconate ions. This approach to the transformation of glucose represents as a viable alternative to biological processes using fungal and bacterial species, which are sensitive to the presence of inhibitors such as furfurals and levulinic acid in hydrolysates.
Keywords:
cotton waste utilization
;
acidic hydrolysis
;
Pd-Au/SiO 2 catalyst
Graphical Abstract
1. Introduction
The global demand for textiles is growing steadily, and looks set to continue rising [ 1 , 2 , 3 ]. In 2013, the global production of textile materials was around 85.5 Mt, and by 2025 it is estimated to increase to 130 Mt [ 4 ]. Textiles are used in a vast range of products, including clothing, bed linen, towels, and utility fabrics, which quickly become worn-out or fall out of fashion, ending up in landfills. As much as 63% of the textile fibers currently sold are derived from petrochemicals [ 5 ] and only 37% from natural fibers—mainly cotton (24%) [ 6 ], wool or linen. As well as direct and reactive dyes, pigments, components of printing pastes, polyacrylic coatings, and polyurethane coatings, many chemical modifiers are used to impart cotton textiles with special functions [ 7 , 8 ]. These chemicals include hydrophobic, oleophobic, and antistatic finishing agents, flame retardants, and UV radiation absorbers. Many such chemicals prevent the natural biodegradation of textiles, in part since they inhibit the growth of microorganisms (fungi, bacteria, etc.) [ 9 ]. Therefore, textiles constitute a significant group of wastes, which are difficult to biodegrade in the natural environment. Many low-quality cotton products are unsuitable for material recycling and reuse.
A possible solution is to convert cotton textiles by chemical-biological methods into useful energy products, such as biogas or into simple sugars, such as glucose. Via chemical or biological transformations, these products can then be made into valuable chemicals such as gluconic acid [ 10 , 11 , 12 , 13 ] or into other products such as hydrogen, vanillin or monolayer-patched graphene [ 14 , 15 , 16 , 17 ]. The catalytic transformation of glucose into gluconic acid over heterogeneous catalysts is of great interest to the industry [ 18 , 19 , 20 , 21 , 22 , 23 ]. Despite considerable economic and environmental interest in the development of methods for processing waste textiles for use as fermentation media or chemical substrates, there has been little discussion of this topic in the literature [ 24 , 25 , 26 , 27 ]. Preliminary studies show that even fabrics based on natural fibers (cotton, wool) only but subjected to a chemical treatment are not easily biodegradable in the natural environment, due to the presence of fermentation inhibitors such as furfurals and levulinic acid [ 28 ]. Therefore, catalytic transformation seems a better solution than biological methods to the problem of textile waste.
Figure 1
shows a process for treating cotton waste, including textiles with synthetic additives (polyester and polyamide). It is based on acid hydrolysis of cellulose and further biological or catalytic transformation of the glucose into useful chemical products. Only some of the products that can be obtained from glucose are indicated in the diagram. A very important product for ensuring a waste-free process is activated carbon, which can be made from the solid residues after hydrolysis of cotton waste. The activated carbon may be used in the process itself to purify the hydrolysate from fermentation inhibitors or sold as a commercial product. Research efforts at Lodz University of Technology to torrefy the solid residue of cotton fibers after hydrolysis have shown that activated carbon with a high specific surface area (>500 m
2
/g) can be produced, which is capable of adsorbing the non-sugar components of hydrolysates. Lactic bacteria and yeast were successfully multiplied on hydrolysates purified on a bed of activated carbon produced from cotton waste. This research is ongoing and will be the subject of forthcoming publications.
Figure 1. Scheme of cotton waste management, including acid hydrolysis and further chemical and biological processes to convert glucose into useful chemical products.
In this paper, a model procedure for thermally assisted acidic hydrolysis of cotton materials is presented and discussed. Hydrolysates obtained from raw cotton yarn were used as the substrate for the catalytic transformation of glucose into gluconic acid over Pd-Au/SiO
2
catalysts. Bimetallic palladium–gold systems were prepared at Lodz University of Technology and used initially for the hydrogenation of furfural [
29
]. When it was observed that the bimetallic systems effectively catalyzed hydrogen transfer reactions, they were used for the oxidation of glucose, which occurs according to the oxidative dehydrogenation mechanism.
2. Materials and Methods
2.1. Catalyst Preparation
The PdCl
2
solution (POCH S.A., Gliwice, Poland, pure for analysis) acidified to about pH 5 (HCl
aq
, 35–38%, pure for analysis) (CHEMPUR, Piekary Slaskie, Poland) was used to prepare a 5% Pd/SiO
2
catalyst by wetness impregnation of SiO
2
(Sigma-Aldrich Chemie GmbH, Taufkirchen, Germany, 291 m
2
/g). The preparation was left in an ultrasonic bath with a frequency of 45 kHz for 24 h. The water was evaporated by heating to 60 °C under a vacuum. The catalyst was air dried at 110 °C for 6 h then reduced for 2 h at 300 °C under an H
2
atmosphere (Air Products, Warsaw, Poland, Premium Plus, 99.999%, 20 cm
3
·min
−1
). A linear temperature increase of 20 °C·min
−1
was set for all stages of thermal processing. The same procedure was applied to prepare a 5% Au/SiO
2
(wt%) monometallic catalyst from an AuCl
3
solution (POCH S.A., Gliwice, Poland, 0.21 wt% Au).
Pd-Au/SiO
2
catalysts containing 5 wt% Pd and 0.2–10 wt% Au were prepared by co-impregnation of a SiO
2
carrier with solutions of AuCl
3
(POCH, pure, 0.21% Au) and PdCl
2
(POCH, anhydrous, pure for analysis), according to the same procedure. All systems were subjected to ICP-AES (IRIS AP, Thermo Jarrel Ash, Waltham, MA, USA), XRD (PANalytical, Malvern, UK), ToF-SIMS (ToF-SIMS IV, ION-TOF GmbH, Münster, Germany), SEM-EDS (SEM S-4700, Hitachi, Tokyo, Japan; EDS, Thermo-Noran Inc., Madison, WI, USA), and XPS (VersaProbe 5000, PHI, Chanhassen, MN, USA) analysis to determine their compositions and identify metal interactions which could affect their catalytic properties in the glucose oxidation process.
2.2. Catalyst Measurements
A glucose solution (GLU, POCH S.A. Gliwice, Poland, pure for analysis; C
0 GLU
= 1.00 mol·dm
−3
; V
GLU
= 0.25·dm
3
) was oxidized in a 0.4 dm
3
thermostated reactor (Parr Company, Moline, IL, USA) equipped with an O
2
supply system (Air Products, Pure N 5.2 UP, 99.9992%), a stirrer, a pH electrode (Mettler-Toledo Sp. z o.o., Warsaw, Poland), and a burette containing NaOH (POCh Gliwice, Poland, pure p.a.; C
NaOH
0.50 mol·dm
−3
). The reaction was performed at pH 9, 60 °C. In each reaction run 1 g of catalyst was used. While the mixture was being stirred at 1300 rpm, O
2
was bubbled through at 0.9 dm
3
·min
−1
. Samples of the reaction medium were taken periodically for analysis. The samples were filtered and analyzed using a LaChrom liquid chromatograph (Marck-Hitachi, Tokyo, Japan) coupled to a UV–Vis detector (Marck-Hitachi, Tokyo, Japan), with an analytical wavelength of 200 nm. The reaction products were separated on a 150 × 3.3 mm ID amino-propylo-silicone column. A water solution of acetonitrile (70% ACN, 30% phosphate buffer pH 5.5) was used as a mobile phase.
A Gilson’s prepELS II detector (Gilson Company, Inc. Lewis Center, OH, USA) was used as an additional analyzer in the HPLC system (Marck-Hitachi, Tokyo, Japan). The temperature of the spray chamber was 15 °C. The temperature of the drift tube was 85 °C. With these parameters, the retention times of all the considered compounds were: t
fructose
= 0.988 min; t
glucose
= 1.425 min; t
gluconic acid
= 8.230 min; t
2-keto-gluconic acid
= 13.743 min; t
guluronic acid
= 15.260 min; t
glucaric acid
= 17.250 min, and it was possible to identify and determine the amounts of these compounds.
Catalytic results were expressed as the conversion degree (X, %) and selectivity (S, %), defined as:
X (%) = (1 − (C GLU /C 0 GLU )) × 100%
S (%) = (C PROD /(C 0 GLU − C GLU )) × 100%
where C
0 GLU
is the molar concentration of glucose at the beginning of the oxidation process, C
GLU
is the molar concentration of glucose over time, and C
PROD
is the molar concentration of the product (fructose, gluconic acid, 2-keto-gluconic acid, guluronic acid, glucaric acid) over time.
2.3. Synthesis of Glucose from Cotton Yarn
A water solution of glucose was obtained by acidic hydrolysis (H
2
SO
4
, analytical grade, 95%, Stanlab, Lublin, Poland) of cotton yarn Z689 × 2 S 542 (linear density 58.73 ± 0.641 tex, fiber length 15–32 mm, specific strength 18.44 ± 1.089 cN/tex). Cotton yarn hydrolysis was performed in a pressure reactor (Parr Instrument Company Series Mini 4552) with a volume of 7.5 dm
3
at a temperature of 120–160 °C. The start of the hydrolysis process was considered to be the moment when the reaction mixture reached the desired temperature. In each run, 100 g of comminuted cotton yarn (length > 0.5 cm) and 2.0 dm
3
of a solution of H
2
SO
4
(concentration 0.5–10%) were used. After 1–4 h, the reaction mixture was cooled in the reactor to room temperature and made alkaline by adding CaCO
3
(analytical grade, POCh, Gliwice, Poland) to pH 7.5. The mixture was then filtered through a bed of activated carbon and the glucose concentration was measured by high performance liquid chromatography (HPLC) using a SYKAM HPLC system with a S1125 HPLC Pump System, S 5300 autosampler, S 4115 column thermostat, and S 3585 RI detector (Sykam GmbH, Eresing, Germany). The sugars were separated on a SETREX IEX-H
+
column (300 × 8.0 mm ID) at 80 °C, using 0.008 mol·dm
−3
H
2
SO
4
+ 2%(v/v%) ACN (flow 0.8 cm
3
min
−1
) as a mobile phase. The quantitative analysis of glucose was performed based on the calibration curve for the range of glucose concentrations at 0–10 g dm
−3
(the curve in the analyzed range was linear y = 0.19733 x, R
2
= 0.9998803).
2.4. Analytical Techniques Used for Measurements of Bimetallic Pd-Au/SiO 2 Catalysts
A PANalytical X’Pert Pro MPD diffractometer (PANalytical, Malvern, UK) equipped with a PANalytical X’Celerator detector (PANalytical) was used to acquire X-ray diffraction patterns. The operating parameters for the Cu X-ray tube source were 40 kV voltage and 30 mA current. The XRD patterns were recorded from 20 to 90° 2θ with a 0.0167° step value and a 20 s dwell time. The crystalline phase analysis was performed using the ICDD PDF−2 (version 2004) database.
The temperature programmed reduction (TPR) was performed using a flow apparatus [ 30 ]. Prior to the analysis, 0.1 g samples of the oxidized catalyst were flushed with argon at room temperature for 0.5 h. The TPR measurements were then performed at 25–500 °C with a linear temperature increase of 20 °C·min −1 under 5 vol% of H 2 in Ar at a flow rate of 30 cm 3 ·min −1 .
The secondary ion mass spectra of the bimetallic catalyst samples (formed into tablets) were recorded using a secondary ion mass spectrometer (ToF-SIMS IV, ION-TOF GmbH, Münster, Germany) coupled to a ToF-SIMS IV time of flight detector (ToF-SIMS IV, ION-TOF GmbH, Münster, Germany, liquid metal
69
Ga
+
ion gun). An area on the sample surface 100 × 100 µm
2
in size was irradiated with 25 keV pulses of
69
Ga
+
ions at a 10 kHz repetition rate. The average ion current was 2.5 pA. As a result of the short analysis time (50 s), the ion dose was below the static limit of 1 × 10
13
ions/cm
2
. High resolution images were recorded using either the extreme crossover mode or the burst alignment mode. The ToF-SIMS spectra of the catalyst samples were recorded with a primary ion pulse width of 650 ns, a high mass resolution (m/Δm), and 29 mass units (m.s.) normally greater than 8000.
A scanning electron microscope (SEM S-4700, Hitachi, Tokyo, Japan) equipped with an energy dispersive spectrometer (EDS, Thermo-Noran Inc., Madison, WI, USA) was used for the SEM analysis of the catalysts. Samples were embedded in conductive carbon pads and the excess loose powder was removed. To reduce electric charging, the samples were sputter coated with carbon (Cressington 208 HR system). Images were acquired in a back-scattered electron (BSE) mode. An accelerating voltage of 25 kV was used. For the purposes of comparison, the same samples were analyzed using an FEI Quanta 650 SEM (FEI Company, Hillsboro, OR, USA) equipped with a Bruker Energy Dispersive Spectroscopy (EDS) system (Bruker Corporation, Billerica, MA, USA). A 15 kV accelerating voltage, 3.5 µA electron beam current, and 10 mm working distance were used. The compositions of each sample were measured at least three times at different locations approximately 0.25 mm
2
in size.
Samples were prepared by pressing the catalytic powders into high-purity carbon filled conductive tabs (PELCO Tabs™). An X-ray photoelectron spectroscope (XPS, PHI VersaProbe 5000, PHI, Chanhassen, MN, USA) was used to analyze the chemical bonding on the surface of the Pd-Au/SiO
2
catalysts. A focused monochromatic Al K-α source (E = 1486.6 eV; 100 µm spot diameter) was used to record survey and high-resolution spectra. Induced electric charge compensation was measured using a cold cathode electron flood gun and a low-energy Ar
+
ion-beam source. To avoid ion-induced surface damage, ion sputtering was not used. The recorded XPS spectra were fitted using a Multipak software package. The spectra were compared both to the NIST database (NIST Standard Reference Database 20, version 3.5) and to previously published data [
29
].
2.5. Studies of Catalyst Stability in the Reaction Mixture
Gold and palladium losses from the catalysts in the reaction mixture were determined by analyzing the filtered solution by inductively coupled plasma-atomic emission spectroscopy (ICP-AES), using an IRIS AP optical emission spectrometer (IRIS AP, Thermo Jarrel Ash, Waltham, MA, USA) with horizontal observation of the plasma. A MLS–1200 Mega Microwave Digestion System (Mile-stone) was used for complete digestion of the samples prior to the ICP-AES analysis.
3. Results
In the previous research, we examined the catalytic properties of monometallic Pd/SiO
2
catalysts (0.5–10% by weight of Pd). It was observed that the amount of gluconic acid produced in the reaction increased with the percentage content of palladium. The highest selectivity was shown by the samples containing 5–10 wt% Pd/SiO
2
. These catalysts had practically the same selectivity. Therefore, adding more than 5 wt% of palladium into catalytic systems appears to be of no advantage from either an economic or practical point of view. Commercial catalysts recommended by manufacturers for use in liquid phase oxidation processes (e.g., Degussa catalyst) also contain about 5 wt% active metal, which means that the catalytic properties of the catalysts obtained in this study are comparable with commercial catalysts.
Figure 2
shows the dependence of conversion and selectivity towards gluconic ions on the time of glucose oxidation over palladium-gold (Pd-Au) catalysts on silica. A 1 mol·dm
−3
solution of pure commercial glucose in water was used as a substrate. Monometallic catalysts (5% Pd/SiO
2
and 5% Au/SiO
2
) showed rather poor activity. In general, the addition of gold to the 5% Pd/SiO
2
systems caused an increase in the conversion degree of glucose. The addition of only a small amount of gold to the palladium catalysts (0.2–1 wt%) had a significant effect on the activity of the catalyst. However, in the case of 5% Pd-2% Au/SiO
2
and 5% Pd-5% Au/SiO
2
compared to monometallic catalysts, the increase in activity was lower than that in the bimetallic systems with lower amounts of gold. Therefore, amounts of gold higher than 1 wt% are counterproductive in Pd-Au/SiO
2
catalysts.
Figure 2. ( A ) Conversion degree of glucose X [%]; ( B ) selectivity to gluconate ions S GLC [%] of different catalysts: 5% Pd/SiO 2 ( ); 5% Au/SiO 2 ( ); 5% Pd-0.2% Au/SiO 2 ( ); 5% Pd-0.5% Au/SiO 2 ( ); 5% Pd-1% Au/SiO 2 ( ); 5% Pd-2% Au/SiO 2 ( ); 5% Pd-5% Au/SiO 2 ( ), and 1% Pt-4% Pd-5% Bi/C (Degussa) (×) as a function of time. Reaction conditions: T = 60 °C, m cat = 1g, C 0 = 1 mol·dm −3 , pH = 9, V O 2 = 1 dm 3 ·min −1 .
All the studied bimetallic catalysts were characterized by high selectivity towards gluconic ions. In all cases, the selectivity of the Pd-Au/SiO
2
systems was comparable or even higher than in the case of the commercial Degussa catalyst (1% Pt-4% Pd-5% Bi/C).
To understand the role of the Pd-Au/SiO 2 systems in the oxidation of glucose into gluconic acid in aqueous phase, the catalysts were analyzed using scanning electron microscopy (SEM), time-of-flight secondary ion mass spectroscopy (ToF-SIMS), X-ray diffraction (XRD), energy-dispersive x-ray spectroscopy (SEM-EDS), x-ray photoelectron spectroscopy (XPS), and temperature programmed reduction (TPR). Detailed results of these physicochemical tests are given in [ 29 ].
The XRD patterns show the maxima assigned to the metallic Pd phase (
Figure 3
). The introduction of gold into the monometallic system was associated with the appearance of additional maxima on the diffraction patterns. The positions of the maxima shifted towards smaller values of the angle 2θ. The positions of the maxima in the diffractogram of the 5% Pd-5% Au/SiO
2
catalyst are close to the maxima corresponding to the gold phase. These results indicate the possible formation of solid solutions. In the case of the Pd-Au/SiO
2
systems activated in a hydrogen atmosphere at 300 °C, confirmation of the formation of solid solutions is given by the linear relationship between the interplanar distances as a function of the alloy composition, according to Vegard’s rule. No additional diffraction maxima were found in the diffraction patterns of the bimetallic systems, but only the maxima for the metallic Pd and Au phases. This indicates a lack of strong interactions between these metals, which would be manifested by the formation of intermetallic compounds. The results of the XRD tests were confirmed by XPS and TRR tests [
29
].
Figure 3. X-ray diffraction patterns for Pd-Au/SiO 2 catalysts: (1) 5% Pd/SiO 2 ; (2) 5% Pd-0.2% Au/SiO 2 ; (3) 5% Pd-0.5% Au/SiO 2 ; (4) 5% Pd-1% Au/SiO 2 ; (5) 5% Pd-2% Au/SiO 2 ; (6) 5% Pd-5% Au/SiO 2 ; (7) 5% Au/SiO 2 and the linear relationship of interplanar distances in the composition function of these systems (Vegard’s rule). The bimetallic catalysts were activated in a hydrogen atmosphere for 2 h at 300 °C. Adapted from ref. [ 29 ].
The addition of a larger amount of gold (>2 wt%) led to an increase in the intensity of the sharper diffraction peaks attributed to gold metal, which is evidence of the existence of larger Au crystallites on the surface of the bimetallic catalysts. Using the Scherrer equation, the average sizes of the palladium and gold crystallites were estimated. The results shown in
Table 1
reveal that the palladium dispersion was greater in the case of bimetallic systems than for the monometallic 5% Pd/SiO
2
catalyst. Better Pd dispersion in the bimetallic systems may explain their higher activity and selectivity for gluconic acid. Moreover, the smallest Au crystallites formed on the 5% Pd-1% Au/SiO
2
catalyst. It is well known that the catalytic properties of gold strongly depend on the size of the gold particles [
31
]. Data in the literature show that monometallic gold carrier systems are catalytically active in the process of glucose oxidation when the Au particle size is less than 10 nm [
32
]. In the case of the 5% Pd-1% Au/SiO
2
catalyst, the estimated Au particle size was 8 nm. This catalyst also showed good catalytic properties for the oxidation of glucose to gluconic acid. Therefore, it cannot be ruled out that gold contributed to the increase in catalytic activity.
Table 1. Size of palladium and gold crystallites calculated based on XRD measurements in Pd-Au/SiO 2 bimetallic catalysts, relative to activity, selectivity, and productivity. Reaction conditions: T = 60 °C, m cat = 1g, C 0 = 1 mol·dm −3 , pH = 9, V O2 = 1 dm 3 ·min −1 .
Images obtained by ToF-SIMS of the Pd-Au/SiO
2
catalysts showed a nonhomogeneous distribution of Au on the silica surface [
29
]. The bimetallic catalysts tended to form Au-enriched regions, which increased in size as more gold was introduced into the system. The distribution of the Pd fraction was better in the case of the bimetallic systems than in that of the monometallic catalyst 5% Pd/SiO
2
. Moreover, the calculated relative intensities of the Au
3
/Pd peaks revealed that the number of surface gold atoms was highest in the case of the 5% Pd-1% Au/SiO
2
system, which also showed the highest activity in the glucose oxidation reaction. This result also indicates good dispersion of Pd. On the other hand, the comparable intensities of the Pd peaks obtained for the bimetallic Pd-Au catalysts suggest that these systems had similar numbers of surface palladium atoms (
Table 2
). It can be concluded that in the case of all the tested Pd-Au/SiO
2
catalysts the Pd atoms were similarly distributed on the support surfaces. These results of ToF-SIMS tests are in good agreement with those obtained with the XRD technique.
Table 2. Intensity of the positive ion peaks 106 Pd and negative ions Au 3 obtained using the secondary ion mass spectrometry (ToF-SIMS) for bimetallic catalysts Pd-Au/SiO 2 reduced in H 2 at 300 °C. Reprinted from ref. [ 29 ].
Figure 4
shows the dependence of the relative intensities of Au
3
/Pd as a function of the Au/Pd atomic ratio in bimetallic catalysts. As can be seen, the largest number of Au atoms was measured on the catalyst surface of the 5% Pd-1% Au/SiO
2
system. This catalyst also showed the highest rate of gluconic acid formation. Thus, it can be assumed that the presence of both metals on the support may be responsible for the activity of the bimetallic system. Confirmation of good gold dispersion on the 5% Pd-1% Au/SiO
2
bimetallic system was also provided by previously conducted microscopic examinations (SEM-EDX) and CO chemisorption measurements [
29
].
Figure 4. Gluconic ions productivity and relative intensity of Au 3 /Pd ions as a function of the atomic ratio of Au/Pd in bimetallic Pd-Au/SiO 2 catalysts. Productivity was estimated after 2 h runs over bimetallic catalysts with various compositions of the active phase. Reaction conditions: T = 60 °C, m cat = 1g, C 0 = 1 mol·dm −3 , pH = 9, V O2 = 1 dm 3 ·min −1 .
Gluconate ions are good chelates for metal ions. Therefore, we studied the degree of leaching of Pd and Au ions from the catalysts during the glucose oxidation process. The results of inductively coupled plasma-atomic emission spectroscopy (ICP-AES) test performed on real solutions after glucose oxidation processes are presented in
Table 3
. In the case of the Pd-Au/SiO
2
catalysts, leaching of Pd only was observed. The amount of Pd lost was comparable for all bimetallic catalysts. Gold was not detected in the reaction mixture when the process was conducted over bimetallic Pd-Au/SiO
2
catalysts. However, in the case of monometallic 5% Au/SiO
2
catalysts the presence of a trace amount of gold was confirmed by ICP-AES measurements.
Table 3. ICP-AES analysis of the reaction mixture after catalytic tests. Reaction conditions: T = 60 °C, m cat = 1 g, C 0 = 1 mol·dm −3 , pH = 9, V O2 = 1 dm 3 ·min −1 .
The application of catalysts in technological processes is economically feasible and justifiable only when they show long-term stability. For this reason, the stability of the 5% Pd-1% Au/SiO
2
catalyst, which provided the best gluconic acid productivity during the reaction of glucose oxidation in liquid phase, was investigated (
Table 4
). The stability of the catalyst was estimated based on activity changes during 10 measurement cycles lasting 2 h each. The process of oxidation was conducted for a steady amount of catalyst (m
cat
= 1 g), which was not removed from the reaction mixture in the subsequent cycles. After each measurement cycle, the reaction mixture was decanted and examined by HPLC and ICP-AES. A fresh charge of glucose solution (V = 0.25 dm
3
, C
0
= 1 mol·dm
−3
) was then introduced into the reactor. The bimetallic 5% Pd-1% Au/SiO
2
system was characterized by high stability in the reaction. After 10 reaction cycles, the activity and selectivity of this catalyst were practically the same as their original values. Additionally, ICP-AES measurements of the reaction mixture executed after each cycle proved the good stability of the bimetallic systems under the reaction conditions. Only a trace amount of palladium was detected in the reaction mixture after each cycle (
Table 3
). This high stability of the 5% Pd-1% Au/SiO
2
system in the oxidation of glucose is an advantage for industrial applications.
Table 4. ICP-AES analysis of reaction mixture after stability tests of the 5% Pd-1% Au/SiO 2 catalyst. Reaction conditions: T = 60 °C, m cat = 1g, C 0 = 1 mol·dm -3 , pH = 9, V O2 = 1 dm 3 ·min −1 .
Cotton fibers consist almost entirely of cellulose (94–100%) and cotton hydrolysis therefore leads to glucose as a main product. Acidic hydrolysis of the cotton yarn was performed in a pressure reactor. Prior to HPLC analysis, samples of the hydrolysates were neutralized with milk of lime to pH 7.5, filtered through a bed of activated carbon (ERCARBON GE, 100 g), and deposited on a vacuum filter. Based on the data collected in
Table 5
, it can be seen that an increase in the hydrolysis temperature from 80 to 160 °C, together with an increase in the process time from 1 to 4 h, favors the depolymerization of cellulose and the formation of larger amounts of glucose. However, analysis of the mass spectra using GC-MS techniques revealed the presence of (4.970) furfural and (8.558) 2-furanocarboxaldehyde, 5-methyl- in the sample of the hydrolysate obtained at 120 °C. Increasing the temperature up to 160 °C led to the creation of products in addition to furfural and 2-furanocarboxaldehyde, 5-methyl-: (7.885) 2(5H)-furanone, 5-methyl- and (12.438) levulinic acid. On the other hand, raising the concentration of sulfuric acid (VI), which catalyzes the hydrolysis of polysaccharides, to more than 5% did not cause further increases in the concentration of sugar in the hydrolysates. The SEM images of the solid residue after hydrolysis of the cotton fibers clearly show that the most significant change in the morphology of the fibers occurred when the process was carried out at a high temperature (160 °C). The highest concentration of glucose was also noted in this sample (0.02 mol/dm
3
). For this reason, the hydrolyzate obtained by the reaction of 100 g of cotton fiber with 2 dm
3
of 2% H
2
SO
4
at a temperature of 160 °C for 2 h was selected for further catalytic tests.
Table 5. Acidic hydrolysis of cotton fiber. In each process, 100 g of comminuted cotton yarn (>0.5 cm long) and 2 dm 3 of the solution of H 2 SO 4 (concentration 2–10%) were used. The process was carried out between 1 and 4 h in a temperature range of 80–160 °C.
The degree of crystallinity of cellulose was analyzed for cotton fibers and for the solid cotton residues after hydrolysis. A simplified method (Segal peak height method) was used to estimate the crystallinity of cellulose. The results tended to overestimate the degree of crystallinity, although the relative changes in the values for crystallinity enabled a comparative analysis of the results, which are summarized in Table 5 . Increases in the degree of crystallinity of cellulose indicate more effective depolymerization of amorphous cellulose in the samples.
The hydrolysate obtained from the reaction of 100 g of cotton fiber with 2 dm 3 of 2% H 2 SO 4 at 160 °C for 2 h was used as a substrate in catalytic tests. The results of glucose oxidation are presented in Table 6 . Catalytic reactions were performed over 5% Pd-1% Au/SiO 2 catalyst with three concentrations of glucose (the hydrolysate was concentrated two and four times by evaporating the solvent at 60 °C). The catalyst was used in amounts corresponding to the catalyst loading in glucose solutions of 1 mol·dm −3 ( Table 1 , m cat = 1 g, C 0 GLU = 1 mol·dm −3 , V GLU = 0.25 dm 3 ).
Table 6. Conversion degree of glucose and selectivity to gluconate ions in the reaction of glucose from hydrolysates of cotton in the presence of 5% Pd-1% Au/SiO 2 catalyst. Reaction conditions: T = 60 °C, pH = 9, t = 2 h, V O2 = 1 dm 3 ·min −1 , V GLU = 0.25 dm 3 .
The results confirmed the possibility of chemically processing cotton waste into sodium gluconate.
4. Discussion
The addition of a second metal (Bi, Tl, Sn, Pb, Ag) to supported palladium systems is a recognized way of modifying their catalytic properties, especially selectivity, for the oxidation of aldoses (glucose, lactose) to aldonic acids (gluconic acid, lactobionic acid) [ 19 , 20 , 21 , 22 , 23 ]. However, the principles behind such modifications are still a matter of discussion in the literature [ 19 , 20 , 21 , 22 , 23 ]. Some authors have tried to define the mechanism by which gold acts as a metallic promoter of palladium-based supported catalysts [ 33 , 34 , 35 , 36 ]. Enache et al. [ 33 ] suggested that Au acts as an electronic promoter for Pd in the oxidation of primary alcohols to aldehydes, so the electronic effect is dominant. On the other hand, Roudgar et al. [ 34 ] argued that geometric effects were more important than electronic effects, when they used Pd-Au film to promote the synthesis of vinyl acetate. In turn, Baddeley et al. [ 35 ] and Gleich et al. [ 36 ] suggested that the formation of surface ensembles of Pd x Au y plays an essential role in improving reactivity.
Previous studies have indicated that glucose oxidation is sensitive to the structure of the bi-metallic catalyst [ 18 , 19 , 20 , 21 , 22 , 23 ]. For this reason, the ratio of Pd atoms to Au atoms in the Pd-Au/SiO 2 bimetallic catalyst can significantly impact its catalytic properties. Among the studied catalysts with Au/Pd atomic ratios in the range of 0.0–0.55 [ 29 ], the system with an Au/Pd atomic ratio of about 0.1 (determined for the 5% Pd-1% Au/SiO2 catalyst) showed the best activity and the highest selectivity to gluconic acid. On the basis of XRD, ToF-SIMS, and previous SEM-EDS and XPS [ 29 ] studies, it was concluded that in this system these metals had the highest dispersion on the support and were also in direct contact, which explains the high selectivity of this catalyst. The addition of gold to Pd/SiO 2 catalysts led to the stabilization of small Pd particles, and to the formation a Pd-Au alloy (the composition of which strongly depended on the Au/Pd atomic ratio). Despite the fact that gluconic acid has been shown to strongly adsorb on the surface of palladium, the bimetallic 5% Pd–1% Au/SiO 2 catalyst was stable under the reaction conditions. Even after 10 reaction cycles, we observed high activity and selectivity towards gluconic acid. Thus, the addition of gold can prevent Pd poisoning, as well as improve the activity, selectivity, and stability of supported palladium systems.
The research presented in this publication is a part of a larger project, which includes the development of a procedure for temperature-assisted acid hydrolysis of cotton waste and further conversion of the obtained sugars into chemical and biotechnological products. In future work, we will present a concept for acidic hydrolysis of cotton waste to sugars, which can be converted via biological processes into fuels, especially biogas rich in hydrogen. Other studies in the literature have demonstrated that cotton waste can be used for the production of ethanol, but most often the first stage is enzymatic hydrolysis of the raw material [ 37 , 38 , 39 ]. This type of hydrolysis may be effective, but it is expensive due to the high cost of enzymes. For this reason, attempts have been made to employ the cheaper method of acidic hydrolysis. Various hydrolysis strategies are available, but some of the most widely used involve treatment with either concentrated or diluted acids. Diluted acids require high temperatures [ 40 , 41 , 42 , 43 ]. Since methods for acid hydrolysis of textile waste have not been implemented commercially and the results published in the literature most often concern only acidic hydrolysis of pure cellulose, rather than cotton or textile wastes, it is necessary to perform basic laboratory tests to establish the conditions for acidic hydrolysis of well-defined textile samples and the compositions of the hydrolysates. The biological investigations currently underway will enable a precise characterization of the fermentation inhibitors present in the fabric hydrolysates. This will enable the composition and finishing of fabrics to be correlated to the composition of the hydrolysates. A model will then be elaborated for treating textile waste so it can be used as a medium in biogas installations.
5. Conclusions
The transformation of organic waste into valuable chemical substances has attracted much interest, due to its great practical and commercial potential. One such transformation is the oxidation of sugars to sugar acids. Currently, the process of glucose oxidation is carried out biotechnologically with the use of
Aspargilus Niger
and
Gluconobacter suboxydans
. However, it is difficult to separate the product and remove the resulting wastewater. In order to reduce production costs, minimize the amount of waste, and simplify the technologies used, the whole process could be carried out using heterogeneous catalytic systems with the highest possible selectivities. The catalysts should be easily separable from the product, nontoxic, and resistant to deactivation. Monometallic systems have been tested in which the active phase is Pt, Pd or Au. Supported gold catalysts have the best properties, however, the preparation of systems with a high dispersion of gold requires the use of special preparative techniques. Such catalysts, despite their satisfactory activity and selectivity, are still characterized by insufficient stability during the glucose oxidation process. Similarly, the industrial application of supported polymetallic catalysts, e.g., Pd-Bi, Pd-Tl, Pd-Pb, is limited by the elution of metallic components into the reaction solution and thus their low stability.
In this publication, Pd-Au/SiO
2
catalysts with different metal loadings were tested for the selective oxidation of glucose. The introduction of gold into the 5% Pd/SiO
2
system led to an improvement in its catalytic properties, especially its selectivity towards gluconic acid. The activity of the bimetallic catalysts strongly depended on the metal ratio. The highest activity and selectivity towards gluconic acid was obtained for the systems in which the Au/Pd atomic ratio was in the range of 0.05–0.15. We also investigated the long-term stability of the 5% Pd-1% Au/SiO
2
catalyst. The examined catalyst was successfully used in 10 runs with no observable decrease in activity. The 5% Pd-1% Au/SiO
2
catalyst showed very high selectivity in each of the 10 runs. The stability data for the Pd-Au/SiO
2
catalysts presented in this publication are promising, but in order for these catalysts to be used in industrial applications they require even longer stability tests.
The studied Pd-Au/SiO
2
bimetallic catalysts were also found to be active in the oxidation of glucose produced from cotton waste under the conditions of pressure and temperature-assisted acidic hydrolysis. Gluconic acid was the only reaction product observed in the hydrolysates. Such gluconate-containing products made of cotton waste could be used in surface cleaning fluids or after purification, as intermediates in the cosmetics industry.
Analysis of XRD, ToF-SIMS, SEM-EDS, and TPR data suggested several possible ways in which Au may influence catalytic performance. The addition of gold caused a significant increase in Pd dispersion compared to the monometallic 5% Pd/SiO2 system. At the same time, it seems to have led to the stabilization of small palladium crystallites. The bimetallic Pd-Au/SiO
2
systems, in which the dispersion of both metallic components was the highest, were characterized by high activity and selectivity towards gluconic acid. The XRD study revealed changes in the crystalline structure of the gold in the bimetallic catalysts, caused by the incorporation of palladium atoms into the crystalline structure of gold. The composition of the formed solid solution depended on the Au/Pd ratio in the bimetallic systems. Analysis of the surfaces of the bimetallic Pd-Au/SiO
2
catalysts using ToF-SIMS and SEM-EDS techniques, revealed the presence of regions in which both palladium and gold atoms were present. The modification of the electronic and geometric properties of Pd nanocrystals due to their alloying with gold may be an alternative explanation for the better activity and selectivity towards gluconic acid of the Pd-Au/SiO
2
catalysts.
To the best knowledge of the authors, who have been following the literature on the catalytic oxidation of aldoses to aldonic acids since the 1990s, there have been no reports of such a process being used commercially, including for the transformation of cotton waste into valuable chemicals. This appears a promising research avenue, with potential industrial applications.
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Figure 1. Scheme of cotton waste management, including acid hydrolysis and further chemical and biological processes to convert glucose into useful chemical products.
Figure 2. ( A ) Conversion degree of glucose X [%]; ( B ) selectivity to gluconate ions S GLC [%] of different catalysts: 5% Pd/SiO 2 ( ); 5% Au/SiO 2 ( ); 5% Pd-0.2% Au/SiO 2 ( ); 5% Pd-0.5% Au/SiO 2 ( ); 5% Pd-1% Au/SiO 2 ( ); 5% Pd-2% Au/SiO 2 ( ); 5% Pd-5% Au/SiO 2 ( ), and 1% Pt-4% Pd-5% Bi/C (Degussa) (×) as a function of time. Reaction conditions: T = 60 °C, m cat = 1g, C 0 = 1 mol·dm −3 , pH = 9, V O 2 = 1 dm 3 ·min −1 .
Figure 3. X-ray diffraction patterns for Pd-Au/SiO 2 catalysts: (1) 5% Pd/SiO 2 ; (2) 5% Pd-0.2% Au/SiO 2 ; (3) 5% Pd-0.5% Au/SiO 2 ; (4) 5% Pd-1% Au/SiO 2 ; (5) 5% Pd-2% Au/SiO 2 ; (6) 5% Pd-5% Au/SiO 2 ; (7) 5% Au/SiO 2 and the linear relationship of interplanar distances in the composition function of these systems (Vegard’s rule). The bimetallic catalysts were activated in a hydrogen atmosphere for 2 h at 300 °C. Adapted from ref. [ 29 ].
Figure 4. Gluconic ions productivity and relative intensity of Au 3 /Pd ions as a function of the atomic ratio of Au/Pd in bimetallic Pd-Au/SiO 2 catalysts. Productivity was estimated after 2 h runs over bimetallic catalysts with various compositions of the active phase. Reaction conditions: T = 60 °C, m cat = 1g, C 0 = 1 mol·dm −3 , pH = 9, V O2 = 1 dm 3 ·min −1 .
Table 1. Size of palladium and gold crystallites calculated based on XRD measurements in Pd-Au/SiO 2 bimetallic catalysts, relative to activity, selectivity, and productivity. Reaction conditions: T = 60 °C, m cat = 1g, C 0 = 1 mol·dm −3 , pH = 9, V O2 = 1 dm 3 ·min −1 .
Catalysts X * [%] S * [%] Productivity of Gluconic Ions Au/Pd [at/at] Crystallite Size [nm] *** - - [mol·h −1 ·g Pd −1 ] Au Pd 5% Pd/SiO2 21 51 1.17 0 - 21.3 5% Pd-0.2% Au/SiO2 100 90 4.94 0.02 b.d.l. 5.7 5% Pd-0.5% Au/SiO2 100 90 11.72 0.05 15.1 7.7 5% Pd-1% Au/SiO2 100 99 ** 13.57 0.11 8.4 8.2 5% Pd-2% Au/SiO2 49 95 ** 5.39 0.22 24.4 5.6 5% Pd-5% Au/SiO2 42 99 ** 4.79 0.54 41.3 5.8 5%Au/SiO2 22 70 - - 43.4 -
* After 2 h of glucose oxidation. ** Gluconic acid was the only product detected by HPLC with Gilson’s prepELS II. *** Crystallite size calculated on the basis of XRD measurements. b.d.l.: Below the detection limit.
Table 2. Intensity of the positive ion peaks 106 Pd and negative ions Au 3 obtained using the secondary ion mass spectrometry (ToF-SIMS) for bimetallic catalysts Pd-Au/SiO 2 reduced in H 2 at 300 °C. Reprinted from ref. [ 29 ].
Catalyst Peak Intensity Pd *·10 6 Peak Intensity Au 3 **·10 6 Relative Intensity Au 3 **/Pd * 5% Pd-0.2% Au/SiO 2 1648 42 0.025 5% Pd-0.5% Au/SiO 2 1727 38 0.022 5% Pd-1% Au/SiO 2 1961 128 0.065 5% Pd-2% Au/SiO 2 1984 71 0.035 5% Pd-5% Au/SiO 2 2062 44 0.021
* 106 Pd + ion counts/total number of positive ion counts. ** Au 3 - ion counts/total number of negative ion counts.
Table 3. ICP-AES analysis of the reaction mixture after catalytic tests. Reaction conditions: T = 60 °C, m cat = 1 g, C 0 = 1 mol·dm −3 , pH = 9, V O2 = 1 dm 3 ·min −1 .
Catalyst Pretreatment Steps Reaction Medium Pd [ppm] (247.6 nm) Au [ppm] (242.8 nm) 5% Pd/SiO 2 H 2 , 2 h, 300 °C Glucose 0.1148 - - H 2 , 2 h, 300 °C H 2 O b.d.l. - 5% Pd-0.5% Au/SiO 2 H 2 , 2 h, 300 °C Glucose 0.1056 b.d.l. H 2 , 2 h, 300 °C H 2 O b.d.l. b.d.l. 5% Pd-1% Au/SiO 2 H 2 , 2 h, 300 °C Glucose 0.0816 b.d.l. 5% Pd-5% Au/SiO 2 H 2 , 2 h, 300 °C Glucose 0.0798 b.d.l. 5%Au/SiO 2 H 2 , 2 h, 300 °C Glucose - 0.0257
b.d.l.: Below the detection limit.
Table 4. ICP-AES analysis of reaction mixture after stability tests of the 5% Pd-1% Au/SiO 2 catalyst. Reaction conditions: T = 60 °C, m cat = 1g, C 0 = 1 mol·dm -3 , pH = 9, V O2 = 1 dm 3 ·min −1 .
Number of Cycle 1 2 3 4 5 6 7 8 9 10 X [%] 100 96 97 90 92 99 96 94 99 94 S [%] 99 * 99 * 99 * 99 * 97 * 96 * 98 * 97 * 96 * 98 * Pd [ppm] 247.6 nm 0.082 0.145 0.050 0.134 0.049 0.052 0.071 0.102 0.052 0.069 Au [ppm] 242.8 nm b.d.l. b.d.l. b.d.l. b.d.l. b.d.l. b.d.l. b.d.l. b.d.l. b.d.l. b.d.l.
b.d.l.: Below the detection limit. * Gluconic acid was the only product detected by HPLC with Gilson’s prepELS II detector.
Table 5. Acidic hydrolysis of cotton fiber. In each process, 100 g of comminuted cotton yarn (>0.5 cm long) and 2 dm 3 of the solution of H 2 SO 4 (concentration 2–10%) were used. The process was carried out between 1 and 4 h in a temperature range of 80–160 °C.
No Time [h] C H 2 SO 4 [%] Temp. [ o C] Dry Mass of Solid Residue [g] C Glucose HPLC [mol/dm 3 ] Cellulose Crystallinity of the Solid Residue [%] Product of Cotton Hydrolysis GC-MS Analysis (R.Time) SEM Images (×500 Magnification) of the Fibers after Hydrolysis 1 2 0 120 92.2 0 91 - 2 1 2 120 86.9 0.008 89 - 3 2 2 120 81.4 0.010 95 (4.970) Furfural (8.558) 2-Furanocarboxaldehyde, 5-methyl- 4 4 2 120 82.8 0.015 99 - 5 2 2 80 91.5 0 90 - 6 2 2 160 42.9 0.020 99 (4.943) Furfural (7.885) 2(5H)-Furanone, 5-methyl- (8.520) 2-Furanocarboxaldehyde, 5-methyl- (12.438) Levulinic acid 7 2 5 120 81.9 0.018 99 - 8 2 10 120 84.7 0.018 99 -
Table 6. Conversion degree of glucose and selectivity to gluconate ions in the reaction of glucose from hydrolysates of cotton in the presence of 5% Pd-1% Au/SiO 2 catalyst. Reaction conditions: T = 60 °C, pH = 9, t = 2 h, V O2 = 1 dm 3 ·min −1 , V GLU = 0.25 dm 3 .
Sample C 0 GLU [mol·dm −3 ] m cat [g] X [%] S GLC [%] 1 0.02 0.02 100 100 2 0.04 0.04 100 100 3 0.08 0.08 100 100
MDPI and ACS Style
Binczarski, M.J.; Malinowska, J.; Stanishevsky, A.; Severino, C.J.; Yager, R.; Cieslak, M.; Witonska, I.A. A Model Procedure for Catalytic Conversion of Waste Cotton into Useful Chemicals. Materials 2021, 14, 1981.
https://doi.org/10.3390/ma14081981
AMA Style
Binczarski MJ, Malinowska J, Stanishevsky A, Severino CJ, Yager R, Cieslak M, Witonska IA. A Model Procedure for Catalytic Conversion of Waste Cotton into Useful Chemicals. Materials. 2021; 14(8):1981.
https://doi.org/10.3390/ma14081981
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Binczarski, Michal J., Justyna Malinowska, Andrei Stanishevsky, Courtney J. Severino, Riley Yager, Malgorzata Cieslak, and Izabela A. Witonska. 2021. "A Model Procedure for Catalytic Conversion of Waste Cotton into Useful Chemicals" Materials14, no. 8: 1981.
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Remote Sensing | Free Full-Text | A Robust Photogrammetric Processing Method of Low-Altitude UAV Images
Low-altitude Unmanned Aerial Vehicles (UAV) images which include distortion, illumination variance, and large rotation angles are facing multiple challenges of image orientation and image processing. In this paper, a robust and convenient photogrammetric approach is proposed for processing low-altitude UAV images, involving a strip management method to automatically build a standardized regional aerial triangle (AT) network, a parallel inner orientation algorithm, a ground control points (GCPs) predicting method, and an improved Scale Invariant Feature Transform (SIFT) method to produce large number of evenly distributed reliable tie points for bundle adjustment (BA). A multi-view matching approach is improved to produce Digital Surface Models (DSM) and Digital Orthophoto Maps (DOM) for 3D visualization. Experimental results show that the proposed approach is robust and feasible for photogrammetric processing of low-altitude UAV images and 3D visualization of products.
A Robust Photogrammetric Processing Method of Low-Altitude UAV Images
by Mingyao Ai 1,2 , Qingwu Hu 1,* , Jiayuan Li 1 , Ming Wang 1 , Hui Yuan 1 and Shaohua Wang 3
1
2
State Key Laboratory of Information Engineering, Surveying, Mapping and Remote Sensing, Wuhan University, Wuhan 430079, China
3
International School of Software, Wuhan University, Wuhan 430079, China
*
Author to whom correspondence should be addressed.
Remote Sens. 2015 , 7 (3), 2302-2333; https://doi.org/10.3390/rs70302302
Received: 21 July 2014 / Revised: 8 February 2015 / Accepted: 15 February 2015 / Published: 26 February 2015
Abstract
:
Low-altitude Unmanned Aerial Vehicles (UAV) images which include distortion, illumination variance, and large rotation angles are facing multiple challenges of image orientation and image processing. In this paper, a robust and convenient photogrammetric approach is proposed for processing low-altitude UAV images, involving a strip management method to automatically build a standardized regional aerial triangle (AT) network, a parallel inner orientation algorithm, a ground control points (GCPs) predicting method, and an improved Scale Invariant Feature Transform (SIFT) method to produce large number of evenly distributed reliable tie points for bundle adjustment (BA). A multi-view matching approach is improved to produce Digital Surface Models (DSM) and Digital Orthophoto Maps (DOM) for 3D visualization. Experimental results show that the proposed approach is robust and feasible for photogrammetric processing of low-altitude UAV images and 3D visualization of products.
Keywords:
strip auto-arrangement
;
BAoSIFT
;
dense match
;
;
unmanned aerial vehicles (UAV)
Graphical Abstract
1. Introduction
Low-altitude high-resolution images have great potential in many applications such as large scale mapping, true orthophoto generation, archaeology, 3D city modeling, and especially emergency response [
1
,
2
]. Low-altitude UAV has several advantages: flexibility, low cost, simplicity of operation, and ease of maintenance. Moreover, low-altitude UAV images provide a good alternative to satellite remote sensing and traditional aerial photogrammetry for high-resolution imagery. The typical large rotation angles of UAV images leads to no strictly predefined relationship between adjacent images, which is beyond the capability of traditional photogrammetric software [
1
,
2
]. Light low-altitude UAV usually embeds common single-lens reflex (SLR) digital cameras as sensors while lens distortions are simultaneously imported.
The key to success of applying the remote sensing images acquired by low-altitude UAV is aerial triangulation (AT). Light small-sized UAVs are not reliable enough so that the actual flight path cannot be always as straight as that of traditional aerial photogrammetry (strip deformation ≤3% demanded by China National Standard: GB/T 6962-2005). As a result, there are usually large overlap variations and large rotation angles between adjacent images [
2
]. Moreover, the image frame is so small that there are many more images than in traditional photogrammetry. These factors pose the following challenges for automatic AT: (1) The identification of ground control points (GCPs) is time-consuming because of the large number of images and the irregular overlap; (2) Because of the large rotation angles, differences in scale and overlap are apparent, and the success rate of image correlation is decreased, which has a strong impact on automatic extraction and distribution of tie points, even possibly leading to the failure of AT.
2. Related Research
Automated AT in traditional aerial photogrammetry is relatively mature, and a large number of commercial software packages are available in the market, for instance, Z/I Imaging’s MATCH-AT and VirtuoZo [ 3 ]. However, these software packages with standard AT procedures are imperfectly suited for orientation of images with irregular overlap acquired by UAVs. In recent years, some procedures for the automated extraction of a consistent and redundant sets of tie points from markerless close-range or UAV images have been developed for photogrammetric applications [ 2 , 4 , 5 ]. Some commercial packages have also appeared on the market (e.g., PhotoModeler Scanner, Eos Inc; PostFlight Suite, Pix4D). Some free web-based approaches (e.g., Photosynth, 123DCatch, etc. ) and open-source solutions (VisualSFM [ 6 ], Apero [ 7 ] and Bundler [ 8 ], etc. ) are also available, although generally not reliable and accurate enough in case of large and complex image blocks with variable baselines and image scale [ 9 ]. The accuracy of Global Positioning System/Inertial Navigation System (GPS/INS), usually referred to as the Position and Orientation System (POS), on the light UAV cannot be used for direct geo-referencing to satisfy the high metric quality in the surveying applications. Thus, the orientation phase can rely on an image-based approach [ 2 ].
The geometry of the topological relations between UAV images is complex; therefore, it is difficult for traditional aerial photogrammetry software (such as VirtuoZo v3.6) to generate stable tie points. To reduce the time required for image-pair matching and to decrease the number of wrong matching relationships, a variety of ideas have been proposed by different researchers. Barazzetti
et al.
matched ordered images with every three images composing a set and obtained tie points which are visible in more than three images, but linear accumulated error exists in this method [
10
]. Two ideas are proposed in another paper by Barazzetti: to obtain a visibility map between images by fast processing of thumbnail images, and to estimate image overlap using GPS/INS and Digital Terrain Model (DTM) or Digital Surface Model (DSM) [
11
]. Haala [
12
] used a method similar to the idea of obtaining a visibility map that the connection relations were obtained by processing a set of images using the open-source Bundler [
8
] software. The method used in this paper is similar to the second idea of estimating image overlap with GPS/INS and DTM data to generate the connection map.
As for the computer vision research tasks without no accuracy requirements, distortion correction of images is not an essential step. As is known to all, the widely used “Structure from Motion (SfM)” approach put much focus on the automatic process of a large number of images, typically the match, orientation and 3D reconstruction [ 13 , 14 , 15 , 16 , 17 ]. When using photogrammetry to obtain accurate geographical information, measurable images without distortion are essential, and orientation matters for GCPs. In commercial aerial photogrammetry software, GCPs are generally recognized manually. Some software (such as LPS, Inpho, and VirtuoZo) calculates exterior orientation elements (EO) using more than three GCPs according to the collinearity equation and then calculates their positions in images by projection. There are not enough GCPs in one UAV image whose frame is small, while one control point may appear in several images. Hence, a proposed method of predicting GCPs in an image frame in this paper could improve the identification step.
In most situations, the automatic AT for low-altitude UAV images is similar to that for close-range images. The Scale Invariant Feature Transform (SIFT) [ 18 , 19 ] is widely adopted to obtain scale-invariant feature points and coarse matching points in close-range images and UAV images [ 1 , 2 , 10 ]. Then, the RANdom SAmple Consensus (RANSAC) [ 20 ] algorithm with the epipolar constraint or relative orientation method can be used to remove erroneous match points. With these correct match points as initial values, other feature extraction methods like those proposed by Förstner [ 21 ] and Harris [ 22 ] can be used to obtain precise match points. Furthermore, the match points can be optimized by the least-squares matching method. Finally, EOs of the UAV images are calculated using an adjustment. This is a typical method that was presented by Zhang [ 1 ]. Other similar methods include PreSync [ 4 , 23 ] which uses directly the points matched by the Kolor Autopono software and then obtains the EO by combining initial exterior orientation parameters and reference images after several iterations; ATiPE [ 10 , 17 ], which extracts “Features from Accelerated Segment Test” (FAST) [ 24 ] interest points after using the SIFT features to carry out least-squares matching of multiple images to obtain more tie points and to improve AT accuracy.
These approaches aforementioned try to improve the AT by raising the accuracy and redundancy of the tie point. Towards the same target, an improved SIFT feature extraction method and matching strategy for AT processing of UAV images is proposed in this paper. In this method, evenly distributed tie points are obtained automatically and output to the commercial block adjustment program PATB [
25
] for adjustment, thus eliminating the feature-point (including corner-point) extraction and matching operation following the SIFT matching step in other methods and improving efficiency. In addition, to create regional geometric networks to meet the requirements of aerial photogrammetric processing for images acquired by low-altitude weakly controlled UAV, a strip management method using UAV flight-control data to calculate connections between image pairs is proposed. To deal with distortion rectification and inner orientation of small-format non-metric UAV images of a size 10 times smaller than traditional aerial images, a parallel inner orientation-processing algorithm based on lookup tables is presented in this paper. A GCP estimation method using SIFT matching results is proposed to reduce the large workload of GCP identification in UAV images. Experiments confirm that the methods proposed in this paper are simple, convenient, and easy to implement.
The structure of this article is as follows: the proposed methodology for AT of UAV images, the low-altitude UAV system, and the experimental datasets are introduced in the following section. Next, the workflow is introduced in detail in
Section 4
, including the strip management method, the inner orientation method, the improved SIFT matching algorithm, the bundle adjustment (BA) calculation, and the generation and 3D visualization of Digital Elevation Model (DEM) and Digital Orthophoto Maps (DOM).
Section 5
describes the experimental results of AT and the product. Conclusions and topics for further research are given in
Section 6
.
3. General Strategy and Data Acquisition
3.1. Strategy
When UAV is used in disaster emergencies and other emergency-response situations, it is absolutely necessary for the images to be processed immediately, and therefore a stable, easy, and efficient orientation method is of vital importance in AT. The first step in this paper is to estimate the overlapping connections of adjacent images using flight-control data. Second, a parallel algorithm based on mapping lookup tables accelerates the speed of inner orientation. An improved SIFT extracting and matching algorithm can obtain tie points from a large number of image pairs. The matching result is also used to estimate the image locations of GCPs in the GCP identification. After the matched tie points and GCPs have been transferred to the PATB software [
25
] for BA, the EOs of the images can be obtained. DEM and DOM can be generated with a high-density point cloud obtained by the dense point matching algorithm. According to the World Wind data organization model, 3D visualization can be implemented by overlaying of DEM and DOM.
Figure 1
shows the research workflow of this paper, and the numbering indicates the section where the procedure is described.
Figure 1. Workflow proposed in this paper.
Figure 1. Workflow proposed in this paper.
3.2. Experimental Dataset 1: Yangqiaodian
The UAV remote sensing platform used in the experiments of dataset 1 is composed of a fixed-wing aircraft, an image sensor, a programmable flight-management system with micro-POS for navigation and ground monitoring system. The UAV can fly along the scheduled trajectory taking images at locations scheduled by the programmable flight-management system that can provide the approximate position and attitude of the UAV at each exposure. As the POS is usually not precise enough as the light fixed-wing UAV is easy to be influenced by the wind, the footprints of UAV images are not the same as scheduled. The length of the vehicle is approximately 2 m, the wingspan is 2.5 m, the payload is 4 kg, and the flight speed is about 100 km/h. The remote imaging sensor on the UAV is a Canon 450D SLR camera with a fixed focal length of 24.314 mm which has been calibrated by the UAV provider. The image format is 2848 × 4272 pixels (each pixel is approximately 5.2 μm on the sensor), and the ground resolution is approximately 10 cm when the flight altitudes range from 575 to 605 m.
After confirming the acquisition requirement for aerial photogrammetry data, we should make the flight plan according to the tasks to be performed and the actual terrain before the UAV flights are carried out on in field. For these experiments, images were acquired by the UAV in a hilly area named Yangqiaodian in central China.
In May 2010, 854 images were acquired by the UAV system covering a hilly area in central China where the ground elevation varies from 25 to 60 m. These images belong to 17 flight strips in east-west direction. The longest flight route is approximately 4.8 km, the shortest flight route is approximately 3.4 km, the flight span is about 3.4 km, and the area is approximately 12.88 square kilometers. As shown in
Figure 2
, small sharp triangles represent the image center, and the orientation of the triangles represents the flight direction. There are 45 GCPs in the experiment, and the numbers represent the identifiers of GCPs. The 33 points indicated by equilateral triangles are used as control points, while the remaining 12 points marked by circles are check points for the bundle adjustment experiments.
Figure 2
shows these flight strips are not in straight lines, they compose curved lines. The flight-control data indicates that (1) the average image rotation angle in this area is 9.93°, the largest image rotation angle is 49.22°; (2) the average flight-path deviation, defined as the distance from the center of footprint to the line composed of two neighbor centers in the same flight strip, is 16.61 m, while the largest distance is 74 m; (3) the overlap of images is somewhat irregular because the maximum forward overlap is 93%, while the minimum is 67%; (4) the maximum side overlap is 75% and the minimum is 40%.
Figure 3
illustrates five typical images outlined in
Figure 2
.
Figure 4 shows the layout of the control points. On the ground, a white circle area approximately 1 m in diameter is brushed with lime and the coordinates of the center is surveyed by the GPS Real Time Kinematic (RTK) method before the flight. The precision of the GCPs is 0.02 m, and they are identified by their centers during the post-processing.
3.3. Experimental Dataset 2: PDS
This image dataset was acquired by another fixed-wing aircraft. The remote imaging sensor is a camera of SWDC-5 [ 26 ] with a fixed focal length of 82 mm which has been calibrated by the provider. The image format is 5362 × 7244 pixels (each pixel is approximately 6.8 μm on the sensor), and the ground resolution is approximately 5 cm when the flight altitudes range from 585 to 615 m.
Figure 2. Schematic drawing of Yangqiaodian.
Figure 2. Schematic drawing of Yangqiaodian.
Figure 3. Typical images of Yangqiaodian.
Figure 3. Typical images of Yangqiaodian.
In May 2011, 165 images were acquired which were covering an urban area named PDS in central China where the ground elevation varies from 80–130 m. These images belong to seven flight strips in east-west direction. Eighty images are chosen for our experiment, namely the images in red rectangle in the following
Figure 5
. The average of flight route is approximately 2.3 km; the flight span is about 1.5 km. There are 85 GCPs in the experimental area and their planimetric and height accuracy are approximate 0.01 m. The 14 out of 85 points indicated by red circles are used as check points for the bundle adjustment experiments.
Figure 5
shows the overlap of images is somewhat irregular because of the wind during the flight. The average of forward overlap is 63% and the maximum forward overlap is 75%, while the minimum is 31%. The average of side overlap is 40% and the maximum side overlap is 50% and the minimum is 31%.
Figure 6
displays several typical images of PDS dataset.
Figure 4. Layout of control points in Yangqiaodian and image positions of Ground Control Points.
Figure 4. Layout of control points in Yangqiaodian and image positions of Ground Control Points.
Based on the layout principle of GCP in photogrammetry [
27
], there should be one GCP every three baselines along the flight direction and two GCPs every two baselines perpendicular to the flight direction. However, the numbers of total GCPs located in our study areas are different from the expected ones according to the aforementioned standard. This is primarily due to the actual landscape in our study areas which is highly different from the ideal situation. The recognizable obstacles including rivers, lakes, buildings, and hills make it difficult to have the distribution of GCP as the expected design with the exact calculated number. Similar situation exists in the experiments of Zhang’s paper [
1
]. Since such limitation cannot be avoided, we set our GCPs in the study areas according to the standard as likely as possible. Although there are slightly less GCPs in the study area of Yangqiaodian but more GCPs in the area of PDS, the overall accuracy is still acceptable and does not show significant influence on the experiments.
4. Photogrammetric Processing of UAV Images
4.1. Strip Management
The weak control of our UAV platform results in irregular forward and sideways overlap, and the complex connections between the images influences matching efficiency and AT accuracy. In this research, the topological connection map of the UAV images is generated using position and attitude data obtained by the weak control system including GPS/INS unit on the low-altitude UAV platform.
The images taken when the UAV is landing or turning around can be deleted according to the yaw angle (κ), and the result of this automated operation has been shown in Figure 2 and Figure 6 .
The deflection angle β of an image’s center point decides whether the image belongs to a flight strip as β must be less than a given threshold determined in accordance with the low-altitude UAV digital aerial technical specifications.
Figure 5. The footprints of images in the experimental area of PDS.
Figure 5. The footprints of images in the experimental area of PDS.
Figure 6. Typical images of PDS dataset.
Figure 6. Typical images of PDS dataset.
The UAV flight control data records the camera position (
Xs, Ys, Zs
), pitch angle φ, roll angle ω, and yaw angle κ at each shooting moment, which can be regarded as rough EOs of each image. Then, the field of view (FOV) of each image is calculated in geodetic coordinates via the collinear equation, as shown in Equation (1):
X
=
X
S
+
(
Z
−
Z
S
)
a
1
x
+
a
2
y
−
a
3
f
c
1
x
+
c
2
y
−
c
3
f
Y
=
Y
S
+
(
Z
−
Z
S
)
b
1
x
+
b
2
y
−
b
3
f
c
1
x
+
c
2
y
−
c
3
f
(1)
where
f
is the focal length (mm);
Z
is the average elevation of the area, which can be entered by the user or replaced by the average elevation of all the GCPs;
Xs
,
Ys
,
Zs
is the camera projection center under geodetic coordinates;
a i
,
b i
,
c i
(
i
= 1, 2, 3) are nine elements from the rotation matrix calculated from each image’s φ, ω, and κ; (
x
,
y
) are the image coordinates of the pixels (mm); and (
X
,
Y
) are the corresponding geodetic coordinates. According to Equation (1), FOV of each image can be determined, and then the overlap between the images in the same strip and across strips can be calculated.
In this paper, the visualization of the connection map is partly displayed in Figure 7 . A connection line between two images indicates that there is overlap between them. If there is no line between any pair of images, matching operation of this pair is skipped, which can effectively reduce the number of match operations and the matching error.
Figure 7. Connections of image pairs.
4.2. Geometric Correction
In this research, the coordinate transformation of corresponding image points before and after correction can be fitted with an appropriate polynomial as in Equation (2):
Δ
x
=
(
x
−
x
0
)
(
k
1
r
2
+
k
2
r
4
p
1
[
r
2
p
2
y
)
Δ
y
=
(
y
−
y
0
)
(
k
1
r
2
+
k
2
r
4
)
)
(
y
−
y
(2)
where ∆
x
,∆
y
are the correction values of an image point;
x
,
y
are the coordinates in the image coordinate system,
x
0,
y
0 is the principal point, and
,
k
1
and
k
2
1
and
P
2
are tangential distortion coefficient, α and β are two scalars in the two image axes. In this paper, (∆
x
, ∆
y
)
[ i ][ j ]
is the correction value for the image pixel (
i
,
j
).
For a non-metric camera, when the focal length is fixed, the lens distortion is a component of system error; it has the same effect on each UAV image. The lookup table-based distortion correction algorithm proposed in this paper corrects one image at a time with the same distortion parameters. The first UAV image is corrected by using the proposed distortion model, and all the correction value (∆
x
, ∆
y
)
[ i ][ j ]
for all the image pixels are calculated and stored in a two-dimensional lookup table
Array
[ W ][ H ]
, whose size is the same as the image. Then, the rest of the UAV images are corrected using the two-dimensional lookup table without calculating the correction values pixel by pixel. This lookup table accelerates image-distortion correction and avoids a mass of duplicate calculations.
To enhance efficiency, the OpenMP (Open Multi-Processing) [ 28 ] parallel processing technology is introduced in the accelerated distortion-correction algorithm. In OpenMP , many CPUs can work together to correct distortion, and one CPU deals with one image at a time.
A computer with a dual-core 2.80 GHz CPU and 2.00 GB memory is used to perform the experiment. Thirty images from the Yangqiaodian area are chosen for distortion removal with a direct distortion correction without any improvement, the lookup table-based distortion correction algorithm, and the parallel lookup table-based interior orientation method proposed in this paper. Table 1 shows the time required by these three methods.
Table 1. Time required by the three methods.
Table 1. Time required by the three methods. Method First Image (s) Remaining Images (s) All (s) Direct distortion correction 10.4 10.4 314.0 Lookup table-based distortion correction algorithm 10.4 6.0 182.7 Parallel lookup table-based interior orientation method 5.8 3.4 104.4
As shown in Table 1 , the time required by the lookup table-based distortion correction algorithm is reduced by 42.3% compared to the direct one. The efficiency of the parallel lookup table-based interior orientation method is enhanced more than threefold compared to the direct algorithm because it makes full use of the advantages of multi-core computing and of the lookup table algorithm. The method presented here achieves a great difference in UAV image processing by improving image-distortion correction efficiency linearly.
In this research, feature extraction, image matching, BA, mapping, and other follow-up operations are performed on the corrected images.
4.3. Image Matching Strategy
The image tie points should be evenly distributed for BA, strictly should be distributed in the region centered at the von Gruber locations [
29
]. In practice, this is not achieved when the UAV image match points are obtained by the original SIFT matching algorithm. The SIFT algorithm includes three steps: extracting the feature points, matching the feature points to obtain the initial matching correspondences, and removing the error correspondences with geometric constraints. In this research, the first and third steps of the algorithm are improved to obtain distributed correspondences. One image pair at a time is selected according to the image connections obtained in
Section 4.1
. The initial match results indicate whether there is overlap between the small-size blocks in the image pair distributed as von Gruber locations. The SIFT feature points are extracted using a block-adaptive multi-threaded accelerated strategy. Only SIFT feature points in the overlapping image blocks are then used to search correspondences. At last, the geometric constraint is optimizing the results. This matching strategy, called Bundle Adjustment Oriented SIFT (BAoSIFT), is illustrated in
Figure 8
. The multi-view verification strategy that will shortly be described is used to obtain multi-overlap tie points for BA. The image transformation obtained by image matching can also be used to predict GCP positions and to improve the efficiency of GCP identification in the images.
Figure 8. BAoSIFT matching workflow.
Figure 8. BAoSIFT matching workflow.
BAoSIFT Feature Extracting:
The adaptive feature number threshold (
T
) for each block in one image can be the weighted average of the numbers of features in all blocks, as the number of feature points in each block should be relevant to the content or texture of the block, which is estimated by its information entropy in this paper. This hypothesis results from the von Gruber points [
29
] and the fact that the UAV image size is so small that the covered landscape varies little. Therefore, each von Gruber region should retain tie points and these points should be evenly distributed, which results in evenly distributed points in each image. The rule governing the number of SIFT feature points and the parameters of the original SIFT feature-extraction algorithm are the foundation of this algorithm. The steps of BAoSIFT feature extraction may be described as follows:
(1)
Configure the default parameters of the SIFT feature-extraction algorithm or obtain the parameters from the users, including the number of blocks in the images, which is generally the number of cell rows and columns in one image. In our experiment, the images were divided into five rows and three columns with a total 15 cells shown in the top right corner of Figure 8 , and an image block was 800 × 800 pixels in the center of the image cell; as such, there are 15 blocks in one image; This division is based on demand of the von Gruber locations in the traditional aerial photogrammetry;
(2)
Calculate the sizes of the blocks and their positions in the image according to the image size and parameters;
(3)
Extract SIFT features from the blocks; calculate the weighted average of the numbers of features in the blocks as
T
with the Equation (3):
T
=
∑
ib
=
1
n
H
i
b
×
N
i
b
n
H
=
−
∑
i
=
0
L
−
1
P
i
log
2
P
i
(3)
where
n
is the number of blocks in one image;
N ib
is the number of features in block
ib
;
H ib
is the image information entropy of block
ib
, calculated by the second formula;
P i
is the probability of gray level
i
(
i
= 0,1,…,255) in the block
ib
;
L
equals 256 in our experiment;
(4)
If the number of features in one block is less than T , then go to step (5), otherwise extraction of this block is finished, go to step (7);
(5)
Modify the parameters of the SIFT feature-extraction algorithm in accordance with the current number of points, then go to step (6).
(6)
Redo the extraction on the image block with the new parameters, and continue to step (7) whether the number of features is less than T or not;
(7)
Finish extracting for the image.
In this improved feature extraction algorithm, feature extraction for each image block is not performed more than twice. Before and after the average is calculated, these blocks in one image are processed in parallel using the multi-threaded technique.
Block matching strategy:
The block matching strategy of coarse-to-fine is adopted to match the feature points extracted by the BAoSIFT feature extraction algorithm. This strategy is showed in
Figure 6
. At first, the coarse matching operates the resampled images of the size less than 1000 × 1000 pixels. SIFT Features are extracted and matched from the resampled images to obtain the pixels mapping parameters to judge the overlap of blocks on the original image pair. Second, unlike the strategy to match the features in the whole image presented in the paper of Huo [
30
], we just extract features from the blocks distributed as von Gruber regions in the original corrected image with the BAoSIFT Feature Extracting method and search initial match correspondences between the overlapped block pair. Then, RANSAC and geometric constraints, homography geometry in our BA experiment, are combined to eliminate false match correspondences in the overlapped block pair. These operations of BAoSIFT feature extracting and correspondences matching are repeated on the block until all the overlapped blocks in one image pair have been processed. Finally, a simple geometric constraint, actually the 3σ rule by counting the parallaxes of the correspondences in the BA experiment, is used to perform overall optimization and to remove false match points in non-overlapping blocks obtained due to repeating textures.
Simple multi-view verification:
To each correspondence, the same ID is assigned, and this ID is also assigned to other points in other images which meet the matching requirements with either of this pair of correspondences. The actual procedure may be complex;
Figure 9
shows a simple case of five images, Photo 1 to Photo 5. The links in
Figure 9
indicate the correct corresponding points after matching constraint validation. Then IDs are assigned to these correspondence pairs, like the numbers in the figure. The ID 2 points appear in two images, ID 5 and ID 6 points are four overlapping tie points, and the others are three overlapping tie points. Although this method is simple, it is very practical in our experiment. The overlap of each correspondence, which is the number of each ground point’s visibility in the images, is counted simultaneously. After all matched points are assigned ID, low overlap points are deleted. In our experiment, points with less than three-lap along the flight direction are not exported for BA. We adopt this operation based on the fact that points with two-lap along the flight direction, like point with ID 2, are only used for the relative orientation, while high overlap tie points can be used for continuous relative orientation, and the points with two-lap across the flight can be used for connecting adjacent flight strips. This fact makes the geometric network of BA more stable.
Figure 9. Simple multi-view matching algorithm.
Figure 9. Simple multi-view matching algorithm.
After the tie-point connection procedure above, a large number of precise image tie points can be obtained for BA.
4.4. Ground Control Point Prediction
The Ground Control Point Prediction can be expressed by Equation (4):
X
2
Y
2
1
]
=
M
[
X
1
Y
1
1
]
(4)
where
M
is the transformation. It is a 3 × 3 matrix, and it is invertible.
If the transformation is precise, the calculation can be continuous. The
M
matrices between every two overlapping images can be calculated using the image-matching result, and then the corresponding points in other images can be predicted.
To deal with UAV images with POS data, the loss of some GCPs in certain images can be reduced thanks to the combination of POS data and matching results, in this way, the efficiency can be improved. The visibility of GCPs in an image can be estimated with POS data using the method described in
Section 4.1
. Moreover, the transformation obtained by the matching results also contributes to the estimate and can map to the GCP positions in other images. As
Figure 10
shows, once the GCP labeled “111” in the image “1008.tif” (the middle one in the top row in the figure) has been identified, then its corresponding points in other images (in the same flight strip, 1007.tif, 1009.tif, 1010.tif; in the above adjacent flight strip, 2009.tif, 2010.tif) around the current image can be predicted automatically according to the POS data and the transformation. The lower right corner of each image is the enlarged picture. This enlarged picture shows that the predictions in the current and adjacent flight strips are both relatively accurate. Then, the point is manually moved to the center of the white circle, and the identification is finished. This prediction contributes to the efficiency of identification.
Figure 10. Rapid control-point prediction based on POS data and SIFT matching.
Figure 10. Rapid control-point prediction based on POS data and SIFT matching.
The GCP prediction method proposed in this paper does not require more than four control points which are necessary if the back-intersection is used to predict the GCP. This offers an alternative to reduce the workload of identifying GCPs.
4.5. Bundle Adjustment
To perform bundle adjustment, the GCPs and their identical image positions, and the matching tie points in the images obtained by the algorithms as described in Section 4.3 and Section 4.4 are organized in the PATB input file format. Then, the PATB takes on the task of bundle adjustment. As the images are corrected for distortion, there is no need to use the self-calibrating bundle adjustment. The PATB software provides the EOs of each image and the tie points’ geodetic coordinates.
4.6. Dense Matching and Generation of Digital Surface Models (DSM) and Digital Orthophoto Maps (DOM)
DSM can be generated by dense image matching or by human–computer interaction. The points obtained by human interaction are sparse and need further manual editing to generate accurate DSM. The PMVS (Patch-based Multi-view Stereo Software) [
31
] was improved to perform dense matching in this research. As PMVS on a single computer cannot handle many images at one time, the images are grouped, and each group of images is used with PMVS to generate a dense point cloud and then merge these point clouds into a point cloud of the entire survey area. The first step of PMVS is to generate seed points by matching Harris and Difference-of-Gaussian (DOG) features. This time-consuming step is omitted, and the match points obtained as described in
Section 4.3
are used as seed points after initialized, followed by extensions and filters as the second and third step of PMVS to acquire the dense point cloud. The dense point cloud is interpolated to generate the DEM. The procedures are shown in
Figure 11
. Then, orthophotos are obtained by orthorectification with the DEM and the corrected images, and all the orthophotos mosaic to form a single DOM.
Figure 11. Procedure for dense matching.
Figure 11. Procedure for dense matching.
4.7. Three-Dimensional Visualization
The last task is to show the DEM and DOM, both are 0.1 m high-resolution. There are several free softwares for 3D visualization of DEM and DOM, such as World Wind, Virtual Terrain Project and osgEarth. We adopt the World Wind which is an open-source software package developed by the United States National Aeronautics and Space Administration (NASA). World Wind can manage multi-source geospatial data, their distribution, and their three-dimensional visualization [
32
] and solves the vital problems of seamless integration, management, and highly efficient display of multi-source geospatial data (DOM, DEM, KML) and other third-party data.
This paper achieves three-dimensional visualization by adapting the DEM and DOM to the World Wind data model. The images and elevation data that World Wind supports are organized as a pyramidal model, and therefore we develop a data-processing tool to cut DEM and DOM into slices and blocks and transform these tiles to the file format of World Wind’s data model.
5. Results and Discussion
Low-altitude UAV images and GCPs were used as sources for experiments on the proposed approaches to photogrammetric processing. The operation of selecting gross error points through human–computer interaction during AT is not included in the experiment. Instead, matching operation for tie points are directly input for bundle adjustment to obtain EOs. The matching algorithm is discussed, the precision of AT (squared error), the 3D coordinates of matched tie points and dense point cloud, DEM, and DOM are also displayed in this section.
5.1. Image Matching
5.1.1. Efficiency and Distribution of Features
Given the same size of the input images, the performance of feature extraction is mainly determined by the block size, and this relation can be measured quantitatively. In this experiment, we choose the first typical image in
Figure 3
as the put image to compare the performance and number of features extracted by the original SIFT, BAoSIFT, and BAoSIFT MT, short for BAoSIFT accelerated by multi-thread, as shown in
Table 2
. As the original SIFT has the problem of large memory requirement and computational complexity, we extract features in blocks of the input image in the experiment. At the same time, we get different numbers from different block sizes without considering the impact of edge, because the edge leads to the problem that more blocks and more pixels are ignored to extract features on the edges of blocks. The experiment shows the best compromise is achieved when the block size is 512 × 512, considering the time and number of features. We also find that this comparison of BAoSIFT and BAoSIFT MT demonstrates the advantages of parallel multi-thread in improving the efficiency, despite the same numbers of their features. Moreover, the improved BAoSIFT algorithm really increases the number of features. The comparison in
Figure 12
shows the advantage of the BAoSIFT in the spatial distribution of the extracted points over the original SIFT algorithm.
Table 2. Comparison of SIFT to BAoSIFT.
Table 2. Comparison of SIFT to BAoSIFT. BlockSize SIFT BAoSIFT BAoSIFT MT Time (ms) Number of Features Time (ms) Number of Features Time (ms) 64 × 64 5007 9925 8018 12,749 2340 128 × 128 5054 12,203 8053 15,037 2424 256 × 256 5504 13,594 8081 16,606 2605 512 × 512 5679 14,209 8346 16,951 2659 1024 × 1024 5959 14,628 8736 17,635 2715
Figure 12. Features are extracted from the first typical image of Figure 3 . ( a ) The features extracted by the original SIFT in the center of the experimental image; ( b ) the features extracted by BAoSIFT; both block sizes are 512 × 512.
Figure 12. Features are extracted from the first typical image of Figure 3 . ( a ) The features extracted by the original SIFT in the center of the experimental image; ( b ) the features extracted by BAoSIFT; both block sizes are 512 × 512.
5.1.2. Feature Matching
The matching method proposed in this paper could obtain more than 1000 stable image-matching points per image pair. Table 3 and Figure 13 show matching results for the same stereo image pair using different matching strategies. In Figure 11 , the crosses represent matching points. Figure 11 a represents the result achieved by SIFT feature extraction and then by removing the error correspondences with the combination of RANSAC and homography constraints. The number of matching point pairs is 631; Figure 11 b represents the results of the improved method presented in this paper. The images are divided into five rows and three columns, and an 800 × 800 pixels block in the center of each cell is considered as an image block to extract BAoSIFT features. All the features of the small overlapped block pairs in the image pair are matched using RANSAC and homography constraints, and finally a simple optimization of 3σ rule is performed by counting the parallaxes of the correspondences overall. This optimization deletes the correspondences with the high parallax out of range defined by three times of the standard deviation. The number of matches is 1381; Figure 11 c is almost the same as Figure 11 b, but does not use the small images to estimate the overlaps. The number of matches is 3845; Figure 11 d is mostly identical to Figure 11 c, the only difference is the optimization with constraint of epipolar geometry, and the number of matches is 3371; After manual checking, the correspondences found by Figure 11 a,b,d are all determined to be correct, while error exists in Figure 11 c. There are obviously errors scattered in the left part of the left image and in the right part of the right image; in addition, error correspondences exist in other places. The homography constraint is a kind of plane constraint, which means that ground objects corresponding to identical points in the image pairs should lie in the same plane. Figure 13 a shows this phenomenon that there are only matched features in the low right part of the pair. The method combining RANSAC and homography constraints tries to robustly find the plane, and tries to contain the most points. However, this plane constraint limits the distribution of the matched features. While the result of epipolar geometry covers the overlapped region of the image pair, there exist errors, as shown in Figure 13 c. So, the proposed method combines their virtues. Each overlapped block pair finds the plane that contains the most points. The block-matching strategy essentially obtains matching points belonging to different planes, and therefore the number of matching points is increased. Meanwhile, the partition of transforming one image to several blocks is based on the von Gruber locations. And the result is that points are distributed more evenly to cover the image with the help of epipolar constraint, which has been proved in Figure 13 b–d. The step of resampled image matching for obtaining the pixels mapping parameters is beneficial to judge the overlap of blocks on original image pair. This judgment reduces the time of processing non-overlapped blocks.
Figure 13. Matching result for UAV images: ( a ) remove error correspondences with the combination of RANSAC and homography constraints; ( b ) the improved method presented in this paper; ( c ) does not use the small images to estimate the overlaps; ( d ) optimization with constraint of epipolar geometry to remove the error correspondences based on the results in ( c ).
Figure 13. Matching result for UAV images: ( a ) remove error correspondences with the combination of RANSAC and homography constraints; ( b ) the improved method presented in this paper; ( c ) does not use the small images to estimate the overlaps; ( d ) optimization with constraint of epipolar geometry to remove the error correspondences based on the results in ( c ).
Table 3
shows the time taken for different strategies. The matching efficiency of the method used in (a) is the highest, but the matching points are unevenly distributed; The time required for (b) is three times that for (a); This time is mainly used to search for matching points, but the matching points are distributed relatively evenly according to the von Gruber points; The efficiencies of (c) and (d) are almost the same, and the matching points are evenly distributed in the overlap area of the stereo pairs, but the time required is far more than for (b); Method (b) therefore represents a good compromise between efficiency and distribution of matching points.
Table 3. Efficiency of different strategy of blockwise match.
Table 3. Efficiency of different strategy of blockwise match. Method a b c d Number of Correspondences 631 1381 3845 3371 Time(ms) 2558 8074 72,649 73,415
Actually, as the overlap of UAV images is irregular, one image can overlap several images (more than four images). If method (b) described above is only used, one image still shares tie points with other images. Therefore, the tie points finally lying in one image still cover the full image. As shown in
Figure 14
, the image pair is the same one shown in
Figure 13
.
Figure 14
also shows the difference of quantity and distribution between the matching results obtained by using method (a) and (b); Most correspondences of method (b) concentrate in the image. These tie points are vital for AT because they ensure, not only that enough redundant observations are obtained, but also that all the images are connected. This method gets all the correspondences for BA in our experiment.
Figure 14. Final results of image matching obtained by using method ( a ) and ( b ).
Figure 14. Final results of image matching obtained by using method ( a ) and ( b ).
5.2. Bundle Adjustment
To evaluate fully the accuracy of the workflow proposed in this paper for low-altitude images, BA experiments with GCPs are performed with the two datasets Yangqiaodian and PDS, respectively. The free software VisualSFM [
6
] is adopted to compare the precision of AT. Coming from the Computer Vision community, VisualSFM is not a photogrammetric software application and does not use control points as constraints in the bundle but only for a
posteriori
rigid Helmert transformation (scale and geo-referencing). However, VisualSFM has been adopted for UAV and close range image orientation.
5.2.1. Yangqiaodian
Two methods are adopted to generate the tie points—the original SIFT and BAoSIFT—namely the Method (a) and (b) in Figure 13 . During the procedure of both methods, features are extracted by using parallel multi-thread with the block size of 512 × 512. During the matching procedure of BAoSIFT, images are divided into five rows and three columns (15 cells), and 800 × 800 pixel block in the center of each image cell is processed. Of the 1,337,667 tie points with the overlap, more than two are finally obtained, while the original SIFT obtains 896,495 tie points without two-lap points being discarded. After identifying the GCPs and BA by PATB, the AT results were as displayed in Table 4 . The SIFT and BAoSIFT approaches use the same GCPs, check points and the setup of BA. The root-mean-square values (RMS) of GCPs and check points of results of the BAoSIFT is better than those of SIFT. On the whole, Table 4 shows advantages of BAoSIFT over SIFT in the RMSs of GCPs and check points. The RMSs of GCPs and check points in Table 4 demonstrate the rationality of the successful result, compared to the original SIFT method. In order to compare the results of AT, the geometrical corrected images and the GCPs are fed to the free software VisualSFM, which uses SIFT for feature extracting and matching as well. After exhaustive pair-matching ( n × ( n − 1)/2, n is the number of images) and BA, the free software VisualSFM obtains the oriented results and 3D points corresponding to these tie points. In particular, the tie points with at least three-lap are required for BA of VisualSFM. It is worth noting that the statistical results from VisualSFM are processed by space intersection with multi-image due to the lack of statistical reports in object space provided by the software. At the same time, the software PATB prompts that it cannot process the input image points delivered by VisualSFM when we use these matched tie points. Table 4 shows the lower precision obtained by VisualSFM than that of SIFT and BAoSIFT.
Table 4. Precision of AT in the Yangqiaodian area.
Table 4. Precision of AT in the Yangqiaodian area. Method Control Points (m) Check Points (m) Evaluation Max (ΔX) Max (ΔY) Max (ΔZ) RMS (X) RMS (Y) RMS (Z) Max (ΔX) Max (ΔY) Max (ΔZ) RMS (X) RMS (Y) RMS (Z) SIFT ( a) 1.51 0.61 0.97 0.3 2 0.2 4 0.5 4 0.57 0.37 0.83 0.2 3 0.2 2 0.5 1 BAoSIFT ( b) 0.42 0.38 0.74 0. 17 0. 17 0. 38 0.32 0.26 0.55 0. 16 0. 17 0. 36 VisualSFM 1.21 0.98 1.33 0.65 0.56 0.82 1.42 1.01 1.46 0.78 0.68 0.91
It is well known that the result of AT is affected by many factors, such as the accuracy and distribution of GCPs, the number and distribution of tie points, overlaps between images, the base-to-height ratio. In this study, the only difference is the matching method, which results in different overlap, numbers and distribution of tie points. Therefore, we add the numbers of tie points in all the images as follows. As the size of image is 2848 × 4272, we divide the image into 178 × 267 grids with the size of 16 × 16 pixels (16 is their greatest common divisor). Then, we count the number of tie points within each grid. The statistical results are shown in Figure 15 , which shows the number of tie points of each grid. The present block edges (blue grid lines) demonstrated in Figure 15 have no tie points attributed to the implementation of Feature Extracting algorithm designed for the block size 512 × 512. It is worth noting that the original SIFT method is also based on the same block-multi-thread strategy with BAoSIFT to avoid the different processings. Except for the aforementioned edges in Figure 15 a,b, the tie points resulted from the BAoSIFT method present a higher level of coverage compared with those by the original SIFT method shown in Figure 15 c. This can be confirmed by the positive results obtained based on the reduction of BAoSIFT and SIFT in Figure 15 c. Even when we increase the point size of Figure 15 a by 1.5 times, the result in Figure 15 d still indicates the same conclusion as Figure 15 c. Figure 15 proves the advantages of the BAoSIFT method in characterizing the overlap, number and distribution of the tie points over the SIFT method. This is also the reason that BAoSIFT gains higher precision of BA compared with the SIFT method.
The error distribution of GCPs and check points will show the rationality once more.
Figure 16
shows the GCPs’ error distribution of the result of SIFT and BAoSIFT. Lines at each point represent altitude error, the orientation of the lines represents the orientation of the plane error (atan(d
y
/d
x
)), and the circles represent the values of the plane error. The GCPs with relatively large errors are mostly distributed on the edge of the area, shown in both results of
Figure 16
. The upper left and the bottom parts in both of the two figures have large features. This similarity of distribution of error shows the two methods’ rationality.
Figure 15. The comparison of BAoSIFT and SIFT methods in generating tie points in the study area of Yangqiaodian. ( a ) SIFT; ( b ) BAoSIFT; ( c ) BAoSIFT-SIFT; ( d ) BAoSIFT-1.5 × SIFT.
Figure 15. The comparison of BAoSIFT and SIFT methods in generating tie points in the study area of Yangqiaodian. ( a ) SIFT; ( b ) BAoSIFT; ( c ) BAoSIFT-SIFT; ( d ) BAoSIFT-1.5 × SIFT.
The PATB software obtains 3D coordinates for the ground points corresponding to the tie points, as shown in Figure 17 . This figure shows the distribution of the ground points corresponding to the matched image features acquired by BAoSIFT. This figure also shows these points cover the experimental area, and there are no large gaps except for water regions.
Figure 16. Error distribution of GCPs and check points in Yangqiaodian. ( a ) SIFT; ( b ) BAoSIFT.
Figure 16. Error distribution of GCPs and check points in Yangqiaodian. ( a ) SIFT; ( b ) BAoSIFT.
Figure 17. 3D point cloud for the Yangqiaodian area.
Figure 17. 3D point cloud for the Yangqiaodian area.
5.2.2. PDS
To further demonstrate the BAoSIFT algorithm, three methods are adopted to generate the tie points, the original SIFT, BAoSIFT, namely the Method (a) and (b) in
Figure 13
of the manuscript, and VisualSFM. The matching procedure of BAoSIFT includes the same operations as those in the experimental dataset of Yangqiaodian: images are divided into five rows and three columns (15 cells), and an 800 × 800 pixel block in the center of each image cell is processed. In total, 16,244 tie points with the overlap of more than 2 are finally obtained by BAoSIFT, while 100,482 tie points are acquired by the original SIFT method. After identifying the GCPs and BA by PATB, the AT results are revealed in
Table 5
. The SIFT and BAoSIFT approaches use the same GCPs, check points and the configurations of BA. VisualSFM shares the same GCPs and check points with the other two. The root-mean-square values (RMS) of GCPs and check points of results of the BAoSIFT are better than those of SIFT and VisualSFM. VisualSFM obtained the lowest precision. We also use PATB to bundle-adjust the tie points generated by VisualSFM with the same GCPs, check points and the configurations of BA as the SIFT and BAoSIFT approaches do.
Table 5
shows the exhaustive pair-matching of VisualSFM, (
n
× (
n
− 1)/2, n is the number of images) achieves better precision than the original SIFT in our manuscript, but worse precision than BAoSIFT. The difference between the three approaches also results from the different overlap, numbers and distribution of tie points.
Table 5. Precision of AT in the PDS area.
Table 5. Precision of AT in the PDS area. Method Control Points (m) Check Points (m) Max Std Max Std X Y Z X Y Z X Y Z X Y Z SIFT 0.140 0.114 0.657 0.035 0.032 0.189 0.142 0.052 0.437 0.048 0.025 0.167 BAoSIFT 0.135 0.070 0.192 0.021 0.019 0.042 0.132 0.046 0.231 0.039 0.019 0.070 VisualSFM 0.530 0.640 0.810 0.180 0.240 0.430 0.470 0.610 0.980 0.160 0.190 0.520 VisualSFM-PATB 0.149 0.056 0.842 0.025 0.024 0.140 0.139 0.055 0.589 0.038 0.027 0.159
In this experimental dataset, we also compare the distribution and overlap of tie points using the same method that we divide the images into grids with the size of 16 × 16 pixels. Then, we summarize the numbers of tie points within the same grid. The statistical results are displayed in Figure 18 , which demonstrates that BAoSIFT obtains many more tie points than SIFT at von Gruber locations. This is the key difference of the two methods, which leads to the different results from BA.
Figure 18. The comparison of BAoSIFT and SIFT methods in generating tie points in the study area of PDS. ( a ) SIFT; ( b ) BAoSIFT; ( c ) BAoSIFT–SIFT.
Figure 18. The comparison of BAoSIFT and SIFT methods in generating tie points in the study area of PDS. ( a ) SIFT; ( b ) BAoSIFT; ( c ) BAoSIFT–SIFT.
Figure 19 shows the GCPs’ error distribution of the results from SIFT and BAoSIFT. The error distribution of the two approaches share some features that most of the GCPs and check points have little error, and the plane error of two points in the center is relatively large.
Figure 19. Error distribution of GCPs and check points in PDS. ( a ) SIFT; ( b ) BAoSIFT.
Figure 19. Error distribution of GCPs and check points in PDS. ( a ) SIFT; ( b ) BAoSIFT.
5.3. 3D Visualization of Digital Elevation Model (DEM) and Digital Orthophoto Maps (DOM)
With the help of improvements to the NASA World Wind open-source software, a three-dimensional display could finally be realized, as the 3D scene of Yangqiaodian area shown in Figure 21 . All the corrected images are grouped to calculate the dense point cloud, and then these point clouds are merged into one point cloud for generating the DSM. The whole DEM dataset of the area is obtained by filtering the DSM. All of these corrected images are orthorectified into DOM. The DEM and DOM of the area are overlapped to form the visual 3D scene, shown in Figure 21 .
Figure 20. From dense point cloud to orthophoto: ( a ) Colorful dense point cloud generated by PMVS; ( b ) Orthophoto generated based on dense point cloud and corrected image.
Figure 20. From dense point cloud to orthophoto: ( a ) Colorful dense point cloud generated by PMVS; ( b ) Orthophoto generated based on dense point cloud and corrected image.
6. Conclusions
Experimental results show that the method proposed in this paper is effective and feasible for UAV images. With the proposed methods, localization and orientation of UAV images could be achieved with low cost. It can be concluded that the proposed methods have great potential in surveying and mapping and emergency disaster response.
The automated strip arrangement described in the paper is able to process rough flight data and to calculate the FOV of images. Thus, overlaps and connections can be obtained, which save the matching time for stereo image pairs with large rotation angles and irregular overlaps and reduce the matching error effectively. Based on the consistency of the distortion of each image, correction could be carried out by means of the lookup-table technique. Furthermore, the efficiency of distortion correction can be improved significantly by OpenMP. Large quantities of evenly distributed matching points could be found from UAV image pairs with the BAoSIFT. With the GCP prediction method proposed in this paper, the identification workload can be reduced significantly. The results of the BAoSIFT matching algorithm and the GCP coordinates are output directly to PABT to carry out the AT calculations, which implement automatic AT processing for the large-rotation, small-format images acquired by low-altitude UAVs. DSM and DOM can be obtained after orientation to provide 3D visualization on World Wind.
Figure 21. 3D visualization of Yangqiaodian with the help of improved World Wind.
Figure 21. 3D visualization of Yangqiaodian with the help of improved World Wind.
Although multithread technology has been used in this research to improve the efficiency of SIFT feature extraction, the computing time of SIFT is huge, and the efficiency of SIFT feature extraction still needs to be improved. Improving the extraction and the matching algorithm combined with other features will be a focus of future research. The integration of rough flight data into the aerial bundle adjustment to make full use of flight data and improve efficiency is also an important future research topic. The rule of affect for the distribution of tie points on the BA is yet to be determined by researchers.
Acknowledgments
The authors would like to express their gratitude to the editors and the reviewers for their constructive and helpful comments for substantial improvement of this paper. This work is supported by National Basic Research Program of China (973 Program, No. 2012CB725300), and National Natural Science Foundation of China (No. 41271452 and No. 41271431).
Author Contributions
Mingyao Ai wrote the main program and most of the paper; Qingwu Hu conceived the study and designed the experiments; Jiayuan Li studied the improved PMVS; Ming Wang was responsible for the part of Geometric Correction; Hui Yuan participated in auto-management of aerial strips; Shaohua Wang contributed to manuscript preparation.
Conflicts of Interest
The authors declare no conflict of interest.
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Applied Sciences | Free Full-Text | Seismic Upgrading of Existing Reinforced Concrete Buildings Using Friction Pendulum Devices: A Probabilistic Evaluation
In many countries around the world a huge number of existing reinforced concrete (RC) structures have been realized without account for seismic detailing, even if they are located in areas subjected to high seismicity. In this context, several passive seismic protection techniques have been developed and applied to retrofit these structures such as, for an example, seismic isolation. The aim of this work is to characterize in probabilistic terms the seismic performance of a framed RC building retrofitted by means of sliding friction pendulum (FPS) devices. Specifically, the response of an existing RC building located in a high seismicity area in Italy is investigated. After the description of the main available information about the structure, a non-linear numerical model has been defined by means of fiber-elements approach. Then, non-linear dynamic analyses considering multiple recorded ground motions with the three accelerometric components have been carried out to assess the seismic response of the building with and without the retrofitting intervention composed of FPS isolators. Finally, the results are processed to achieve a probabilistic assessment of the seismic performance of the retrofitting intervention.
Seismic Upgrading of Existing Reinforced Concrete Buildings Using Friction Pendulum Devices: A Probabilistic Evaluation
Diego Gino ,
Costanza Anerdi ,
Paolo Castaldo * ,
Mario Ferrara ,
Gabriele Bertagnoli and
Luca Giordano
*
Author to whom correspondence should be addressed.
Appl. Sci. 2020 , 10 (24), 8980; https://doi.org/10.3390/app10248980
Received: 27 November 2020 / Revised: 13 December 2020 / Accepted: 14 December 2020 / Published: 16 December 2020
(This article belongs to the Special Issue Structural Reliability of RC Frame Buildings )
Abstract
In many countries around the world a huge number of existing reinforced concrete (RC) structures have been realized without account for seismic detailing, even if they are located in areas subjected to high seismicity. In this context, several passive seismic protection techniques have been developed and applied to retrofit these structures such as, for an example, seismic isolation. The aim of this work is to characterize in probabilistic terms the seismic performance of a framed RC building retrofitted by means of sliding friction pendulum (FPS) devices. Specifically, the response of an existing RC building located in a high seismicity area in Italy is investigated. After the description of the main available information about the structure, a non-linear numerical model has been defined by means of fiber-elements approach. Then, non-linear dynamic analyses considering multiple recorded ground motions with the three accelerometric components have been carried out to assess the seismic response of the building with and without the retrofitting intervention composed of FPS isolators. Finally, the results are processed to achieve a probabilistic assessment of the seismic performance of the retrofitting intervention.
Keywords:
seismic isolation
;
existing building
;
probabilistic analysis
;
non-linear dynamic analysis
;
reinforced concrete
1. Introduction
Nowadays, in many countries such as Italy, the assessment of existing structures and infrastructures [ 1 ] is a relevant issue and particular care should be pointed out to areas with a high seismic hazard. In fact, during the 60s and 70s many of today’s existing reinforced concrete (RC) buildings were built without any seismic criterion or with poor detailing in comparison to the current codes [ 2 ]. In fact, most of the existing constructions, in particular RC buildings, have been designed to withstand mainly gravity loads. In this context, the seismic assessment is very important to define the best retrofitting solution in order to upgrade the performance level of existing structures in line with modern codes and safety requirements [ 3 ] within the performance-based seismic design [ 4 , 5 ].
In order to improve the response to seismic actions of existing RC buildings, over the years, the isolation system with friction pendulum (FP) devices have turned out to be one of the most efficient solutions [ 6 ]. Contextually, in the literature and in practice alternative strategies and philosophies aimed to improve the seismic response of buildings, in general, are proposed and discussed [ 7 , 8 , 9 , 10 ]. With particular reference to RC-framed buildings, the main advantages of the use of FPS devices relate to the achievement of a value of the isolation period which does not depend from the mass of the superstructure, to the post-event self-recentering response and to the energy dissipation capacity [ 11 , 12 ]. In the literature, several studies have been devoted to the proper modelling of the FP bearing response investigating also the influence of main parameters able to describe their behaviour [ 13 ].
The evaluation of structural reliability of structural systems equipped with base isolation solution has been widely investigated [ 14 ] also considering random seismic excitations [ 15 ]. Similarly, referring both to 3D RC structures and to equivalent models, deterministic [ 16 ] and seismic reliability [ 17 , 18 , 19 ] analyses have been carried out. Specifically, in [ 17 , 18 , 19 ] the seismic reliability-based design (SRBD) approach has been proposed as a strategy to define some important design parameters for base-isolated systems.
The aim of this work is to investigate the influence of the retrofitting intervention composed of single-concave friction pendulum devices on the seismic response on an existing reinforced concrete building located in central Italy, which is widely recognized as an area characterized by a very high seismicity. After the characterization of the geometrical features and material properties according to the “knowledge levels” approach [
2
], a non-linear numerical model of the structure has been defined using a fiber-approach. Then non-linear dynamic analyses have been carried out considering multiple recorded ground motions with the three accelerometric components, scaled to the design seismic intensity [
2
], to assess the seismic response of the building with and without the retrofitting intervention composed of the FP isolators.
The results from the non-linear dynamic analysis have been useful to evaluate the effectiveness of the retrofitting technique in probabilistic terms adopting a log-normal probabilistic model for the output variables expressed as both the interstory drift index and horizontal relative displacement of the FP devices. Finally, the probabilities of exceedance of the different values of the output variables are evaluated.
2. Behavior of Single-Concave Friction Pendulum Bearings
Friction pendulum (FP) devices have been widely adopted to retrofit existing buildings in areas characterized by a high seismicity [ 1 , 16 , 17 ]. Specifically, the FP devices are able to realize a disconnection between the superstructure and the foundations of the building and to absorb the major part of the displacement demand with reference to seismic response of the global structural system. Moreover, the FP devices allow a significant level of energy dissipation by means of a frictional mechanism which develops on the concave sliding surfaces [ 12 , 18 , 19 , 20 ].
With particular reference to single-concave FP bearings, these are devices able to support vertical actions and transfer horizontal actions by means of an articulated slider which slides on a concave surface having curvature radius
R
and radius in plan
r
[
17
]. One of the main advantages associated to the use of single-concave FP bearings is that the fundamental period of the base-isolated structural system
T is
depends only on the radius of curvature of the concave sliding surface
R
, according to the following expression:
T i s = 2 π R / g
(1)
where
g
is the gravity acceleration.
In line with the assumption of small angles between the vertical and the normal direction of the concave sliding surface of the single-concave FP devices, the bearing restoring force
f b
(
t
) expressed as a function of time
t
applies [
12
]:
f b ( t ) = W R u b ( t ) + μ d ( t ) W sgn ( d u b ( t ) d t )
(2)
where
W
=
Mg
denotes the total vertical load on the bearing,
M
is the mass on the bearing;
u b
(
t
) denotes the horizontal projection of the displacement of the pivot point of the slider with respect to the ground;
μ d
(
t
) represents the sliding dynamic friction coefficient;
sgn
(
du b
(
t
)/
dt
) denotes the sign function of the sliding velocity
du b
(
t
)/
dt
. The response of the FP device can be reproduced by means of a non-linear hysteretic model according to [
21
] and in line with
Figure 1
. The hysteretic model representing the FP behavior can be characterized by the following three parameters: the characteristic strength
Q d
=
μ d W
; the post-elastic stiffness denoted as
K
2
=
W
/
R
; the elastic stiffness
K
1
that can be set as 51 times larger than the post-elastic stiffness
K
2
according to [
21
].
Figure 1. Non-linear hysteretic response of the single-concave friction pendulum device.
On the basis of the experimental investigations of [
22
,
23
], the non-linear dependence of the dynamic friction coefficient
μ d
(
t
) on the sliding velocity
du b
(
t
)/
dt
can be expressed using the following expression:
μ d ( t ) = μ f a s t − ( μ f a s t − μ s l o w ) exp ( − α | d u b ( t ) d t | )
(3)
where
μ fast
and
μ slow
are the friction coefficient at high and nearly-zero sliding velocity
du b
(
t
)/
dt
, respectively;
α
is a constant that regulates the rate of change of the friction coefficient
μ d
(
t
) with velocity in the transition from its maximum and minimum values. The model so far described is adopted in order to reproduce the response of the single-concave FP bearings when used to retrofit the existing RC building herein investigated. Representative values for the dynamic friction coefficient may be found in the technical reports from manufacturers (e.g., [
24
]).
3. Description of the Case Study: An Existing RC Building
The case study considered for the present investigation relates to an existing framed reinforced concrete building located in central Italy in a high seismicity region (i.e., Peak Ground Acceleration—PGA higher than 0.25 g with a probability of exceedance of 10% in 50 years). According to Figure 2 , the building consists of an RC framed structure built in the 60s which is founded on inverted RC beams and have a plan dimension of 12.2 m in the transverse direction (Y) and 59.8 m in the longitudinal direction (X).
Figure 2. Scheme with main dimensions of the building in plant and identification of the main RC frames in X (X1, X2) and Y (Y1, Y2, Y3) directions. Dimensions reported in [cm].
The maximum height, at the roof level, is about 16 m from the foundation level. The structure is composed of a basement, a ground-floor, two further floors and a roof floor. The ground-floor (i.e., story 1) of the structure is surrounded by a soil embankment that significantly limits its movements in X and Y horizontal directions. As in the 60s Italian design code was not conceived for seismic design, the RC building were designed without proper conception to withstand seismic actions and without the related detailing.
The geometrical characteristics of the main RC frames that compose the structure are described in
Figure 3
a–e with reference to the X and Y directions. Several typologies of beams and columns are present as also showed in
Figure 4
. The details of the main longitudinal and shear reinforcements for the different members typologies are listed in
Table 1
. The concrete cover is about 3 cm. The floors are realized with the typical Italian lightened “latero-concrete” solution with RC joist having height of 16 cm and base of 10 cm located with 50 cm of spacing with a top reinforced concrete slab of 4 cm. This structural system is able to provide a rigid floor behavior allowing a hyperstatic redistribution of horizontal actions (e.g., seismic action) between the different frames.
Figure 3. Cross sections of beams and columns pertaining to the main RC frames in X and Y directions. Dimensions reported in [cm]. ( a )Frames X1. ( b ) Frame Y1. ( c ) Frame X2. ( d ) Frame Y2. ( e ) Frame Y3.
Figure 4. Identification and location of the different beams and columns typologies according to Table 1 . ( a ) Stories 1-4. ( b ) Story 5 (Roof).
Table 1. Details of the reinforcements for the different structural members.
The mechanical characterization of the material properties, adopted in the numerical model, has been performed through appropriate destructive and “in situ” non-destructive tests. According to the prescriptions of the Italian code for structural design and assessment [ 2 ], the achieved knowledge level (KL) is the KL3, which leads to the adoption of a confidence factor C F = 1 . For instance, the material properties will be adopted with their mean values as a result of the statistical analysis of the data deriving from the tests.
The mean value of concrete compressive strength has been deduced from the crushing tests of cores drilled in different locations and structural members of the structure and its value turns out to be equal to
f cm
= 25.2 MPa. On some specimens, strain measurements have been carried out in order to estimate the mean value of secant modulus of elasticity that is equal to
E cm
= 22,000 MPa. In addition, the characterization of the mechanical properties of steel used for reinforcement bars (FeB38k) has been performed using the data available from tensile tests on samples taken from different structural members. The following mean value for yield strength has been obtained:
f ym
= 374 MPa.
The geometry of the structure with the related reinforcement arrangement and material properties has been adopted to define an appropriate non-linear numerical models using the software code SAP2000 [ 25 ].
4. Numerical Simulation of Seismic Response of the RC Building with and without Retrofitting Using Single-Concave FPS
In the present section the results from numerical non-linear dynamic analyses of the RC structure under investigation are described together with the modelling hypotheses [ 26 , 27 ] adopted to define the non-linear numerical (NLN) model and the assumptions to select the seismic inputs. In particular, SAP2000 [ 25 ] software platform has been used to realize the appropriate NLN models of the fixed-base (FB) and base-isolated (BI) structure and to perform non-linear dynamic analyses that are useful to evaluate in probabilistic terms the performance of the retrofitting intervention.
4.1. Definition of the Non-Linear Numerical Models for Fixed-Base/Base-Isolated RC Structure
The numerical model of the RC structure has been realized according to the geometric features described in the previous section. In particular, the columns have been assumed as fully restrained by the stiff inverted beams at the foundation level and the behavior of rigid floors has been accounted for by means of in-plane diaphragm constrains [
25
]. The interaction in the non-linear dynamic simulations between the structure of the ground-floor and the surrounding soil embankment has been accounted for by means of appropriate restraints to limit the horizontal displacements in X and Y directions. In this way, the seismic response only of the ground-floor of the structure (i.e., story 1 of
Figure 3
) is restrained due to the presence of the surrounding soil embankment as will be achieved in the following.
The cross-sections of the structural members (i.e., beams and columns) have been realized according to the fiber approach [ 25 ], as also developed in [ 28 ]. In particular, the mechanical properties of the fibers in each cross-section have been defined differentiating between concrete cover, core and longitudinal reinforcements. The concrete behavior in both cover and core fibers has been reproduced by means of Mander et al. [ 29 ] constitutive relationships accounting for non-linear response in compression and elastic with linear softening response in tension. The properties of concrete cover fibers (i.e., tensile strength, ultimate deformation in compression) have been derived from both the mean value of cylinder compressive strength f cm and Young’s modulus E cm according to [ 30 ]. The response of concrete core fibers has been defined evaluating the enhanced properties due to the confinement effects of the stirrups evaluated adopting the model of [ 31 ]. The properties of the reinforcement have been defined by means of an elastic-plastic law with a limited ultimate strain to reproduce both tensile ad compressive response. The yielding strength has been set equal to the mean value f ym estimated from the tests with a Young’s modulus assumed equal to 200,000 MPa and an ultimate strain set to 7.5%.
The mechanical non-linearities have been included in the numerical model adopting a distributed plasticity approach (the so-called “Fiber Hinge”) implemented in the software platform SAP2000 [
25
]. The fiber-plastic hinges so far defined are able to account for the interaction between axial load and bending moments in X and Y directions. The moment-curvature law of the fiber-hinge law is determined on the basis of the fiber cross-section properties previously introduced. The mechanical non-linearity is developed in each fiber of the cross-section, but is not extended to the whole element [
32
], but are included in a portion of the RC member with a predefined length (i.e., plastic hinge length). In particular, the plastic hinge length
L p
is evaluated according to a well-validated formulation by Priestley et al. [
33
] formulation:
L p = 0.08 ⋅ l + 0.022 ⋅ f y m ⋅ d ’
(4)
where
l
is the length of the member,
f ym
is the mean yield strength of steel reinforcement from tests and
d’
is the diameter of the smallest longitudinal reinforcing bar adopted within the cross-section. The geometric non-linearity (i.e., P-Δ effect) has been accounted for within the numerical simulations with the evaluation of the equilibrium equations with reference to the deformed structural configuration.
The fundamental vibration period of the fixed-base structures is 0.80 s from the eigenvalue analysis without considering any stiffness reduction in the RC beams and RC columns. This assumption is aimed not to underestimate the effects in terms of both accelerations and seismic forces to the structure.
The retrofitting using the single-concave friction pendulum (FP) has been simulated introducing a disconnection between superstructure and substructure at the top of the columns of the groundfloor. In practice, the intervention may be realized by means of the removal of the load on the columns through the use of hydraulic jacks that react on a pair of clamps fixed to each column to transfer the load by friction. Then, a portion of the column is cut at the isolation level where the friction-pendulum device should be located. This procedure, which is apparently very laborious, is not significantly demanding in practice and it is not invasive. In addition, the columns of the substructure at the isolation level may be connected through beams to improve the safety and robustness [ 3 ]. The single-concave friction pendulum (FP) isolators have been modeled using the non-linear link “Friction Pendulum” implemented in SAP2000 [ 25 ]. The latter permits one to consider compressive behavior along the vertical direction only, whereas, is able to couple the frictional properties in the X, Y directions in plan. The model reproduces the shear behavior in line with [ 34 ] and is adapted for seismic isolator bearings [ 35 ] according to the bi-linear relationships described by [ 21 ]. The parameters that have been considered to design the retrofitting intervention ware: the radius of curvature R , the stiffness values K 1 and K 2 , and the friction coefficient μ d along the two horizontal degrees of freedom (DOFs). Regarding the vertical DOF of the isolators, a linear behavior only in compression is adopted. The choice of the radius of curvature is related the isolation period of the structure [Equation (1)]. As also introduced in Section 2 , the hysteretic behavior of FPS is represented by two stiffness values: the post-elastic one K 2 that has been calculated according to the axial load on the device and the elastic stiffness K 1 that has been assumed according to [ 21 ]. The software platform SAP 2000 [ 25 ] implements Equation (3) [ 22 ] for the variation of sliding friction coefficient μ d as a function of the sliding velocity and time. An indicative value for the sliding friction coefficient has been evaluated considering an empiric relation [ 22 ] between μ d and the ratio N Sd / N Ed , where N Sd is the axial load acting on the FP device in the seismic combination of actions [ 2 , 36 ] and N Ed represents the maximum axial load for the adopted bearing device as provided by the producer. The parameters herein assumed to reproduce the FP isolator behavior are the following: R = 1.5 m, μ slow = 1%, μ fats = 3%, α = 30 s/m. In this way, the isolated period is equal to 2.66 s. The stiffness of the devices has been calculated according to the vertical load acting on the isolators. The properties of the FP devices have been determined depending on the level of the axial load on the isolator within the code seismic combination [ 2 ]. In detail, the main seismic component along the X direction combined with the lower seismic component along the Y direction and vice versa have been considered. In addition, both the main and the lower components have been assumed characterized by an eccentricity in line with [ 2 ]. The worst results have been achieved considering the eccentricity in the seismic actions. In Table 2 and in Figure 5 the main properties of the FP devices and their planimetric location are reported. The NLN numerical models of the FB and BI structure are reported in Figure 6 .
Figure 5. Location of the adopted FP devices in plan.
Figure 6. Non-linear numerical models for FB ( a ) and BI ( b ) structure using SAP 2000 [ 25 ].
Table 2. Types of FP devices and related characteristics.
4.2. Evaluation of the Seismic Demand and Non-Linear Dynamic Analyses
The evaluation of the seismic demand in terms of elastic pseudo-acceleration S a is performed considering the elastic design response spectrum related to 50 years reference period associated to nearly-collapse limit state according to [ 2 ] with reference to the seismic hazard site. The elastic response spectra have been defined adopting two different damping ratios as shown in Figure 7 , in particular: ξ = 5% for the fixed-base (FB) NLN model and ξ = 2% as suggested by [ 17 ] for the base-isolated (BI) NLN model [ 17 ]. In general, the value of ξ = 5% is widely accepted for the dynamic analysis of FB RC structures [ 17 ]. With reference to the BI structure, the value of ξ is lower than the one related to the FB structure as the superstructure moves on the isolation level similarly to a rigid body. For instance, most of the energy in the BI structure is dissipated by hysteretic damping which is provided by the isolator devices. A value of ξ = 2% for BI RC structures is recognized according to common practice and literature references [ 3 , 17 ].
Figure 7. Elastic design response spectra according to nearly-collapse limit state [ 2 ] with two different damping ratios.
The seismic inputs adopted to perform the non-linear dynamic analyses are represented by 21 recorded accelerograms [ 17 ] (each of them includes 3 accelerometric recordings in the respective directions) selected from European Strong Motion Database (ESM) [ 37 ] ( Table 3 ) and then scaled in all directions. The selection has been carried out with the aim to define a set composed of ground motions with different characteristics to represent both a record-to-record variability and event-to-event variability, as commented in [ 3 , 17 ]. The scaling factor has been defined in X direction with respect to the Intensity Measure ( IM ) related the elastic response spectrum in correspondence of the fundamental period of vibration T 1 associated to 1st eigenmode for both FB and BI structures. This is in order to ensure the compatibility of the selected ground motion inputs with elastic design response spectra defined by the design code [ 2 ] for nearly-collapse limit state. Note that the scaling factor has been defined along the direction (i.e., X direction) able to cause the worst effects. The scaled response spectra associated to the 21 recorded accelerograms are reported in Figure 8 with reference to both the FB and BI structures.
Figure 8. Scaled acceleration spectra for FB ( a , b ) and BI ( c , d ) structure of the 21 real ground motion records in X direction ( a , c ); Y direction ( b , d ).
Table 3. Selected ground motion records from European Strong Motion Database [ 37 ]: D denotes the epicentral distance of the event in and M the related magnitude.
The non-linear dynamic analyses have been performed adopting the direct integration of the motion equations [
38
,
39
] which regulate the dynamic behavior of the structure with its non-linearities:
[ M ] { d 2 u ( t ) d t 2 } + [ C ] { d u ( t ) d t } + [ K ] { u ( t ) } = { F ( t ) }
(5)
in which {
d
2
u
(
t
)/
dt
2
}
, {
du
(
t
)/
dt}
, {
u
(
t
)
}
are respectively the acceleration, velocity and displacement vector, having considered a multi-degree freedom (MDOF) system. While,
[M], [C], [K]
are the mass, proportional Rayleigh damping and stiffness matrix evaluated according to [
3
,
17
]. Finally, {
F
(
t
)
}
is the vector of external forces.
In Figure 9 the hysteretic loops of one of the FP bearing subjected to the scaled motion of the earthquake EQ5 is depicted showing how different phenomena occur during the non-linear hysteretic response of the FPS device. In detail, it is possible to observe the influence of the velocity-dependent behavior of the FPS device because when the displacement is peak the sliding friction coefficient gradually decreases from μ fast to μ slow . In addition, the floating shape of the curves is due to the vertical component of each ground motion.
Figure 9. Hysteresis loops of the FP bearing under the motion of the EQ5 after scaling process.
The force in the hysteresis loops f b has been evaluated according to Equation (3). The effectiveness of the seismic isolation retrofitting can be appreciated by the comparison between the base shear V b from the FB numerical model to the one of the BI numerical model ( Figure 10 ). Note that the base shear assessment for the FB numerical model derives from the restoring forces, whereas for the BI numerical model derives from the inertia forces.
Figure 10. Base shear comparison along the two directions: FB model ( a ), BI model ( b ).
The maximum values of the base shear are concentrated in the time interval in which there are the peak values of the accelerations. The dominant values of the base shear for both models are recognised in the transverse direction Y, namely
V b,y
, due to the higher stiffness of the structure. The results highlight that the retrofitting intervention may avoid brittle shear failures with reference to frames characterized by high stiffness if compared to the others. Furthermore,
Figure 10
a highlights a small residual plastic deformation of the column of the FB model along Y direction. The shear verifications of each structural member has been performed according to [
30
] in order to confirm that shear failure does not occur during the non-linear dynamic analyses for the BI structure.
Starting from these values, the results of the time history analyses in terms of average interstory displacements
d r
have been determined for each floor of the structure and for both X and Y directions. By this way, the interstory drift index
I D I
have been calculated as:
I D I = d r / h
(6)
where
h
is the interstory height.
In Figure 11 the IDI s are plotted as a function of the elevation of the building for both the FB and BI models along both X and Y directions. In transverse Y direction the IDI s are smaller than in longitudinal X one because of the differences of the stiffness of the frames in Y and X directions.
Figure 11. Comparison between the IDIs.
The interstory drifts associated to both the ground-floor of the FB structure and to the sub-structure of the BI structure are zero because of the restraints which simulate the ground-structure interaction due to the presence of the soil embankment around the structure as explained in Section 4.1 . In fact, the seismic response of the story 1 ( Figure 3 ) is restrained due to the presence of the surrounding soil embankment and to the diaphragm constrains.
It can be recognized the drift reduction from FB model to BI model, due to the effectiveness of FP isolators adopted for the retrofitting intervention.
5. Probabilistic Interpretation of the Results
The results from the non-linear dynamic analyses in terms of interstory drift index
IDI
and horizontal relative displacement for the FP devices
d FPS
have been useful to perform the probabilistic evaluation of the performance of both FB structure and BI structure. The mentioned above parameters have been probabilistically modeled using a lognormal distribution [
17
], whose statistical parameters (mean value
μ
and standard deviation
σ
) are estimated from the numerical results of non-linear dynamic analyses through the maximum likelihood method [
40
,
41
]. The hypothesis of lognormal probabilistic model has been validated trough Chi-square statistical test with level of significance 5%. The monovariate probability density functions (PDFs) have been computed according to:
f ( I D I ) = 1 I D I σ ln ( I D I ) 2 π exp [ − 1 2 ( ln ( I D I ) − μ ln ( I D I ) σ ln ( I D I ) ) 2 ]
(7)
f ( d F P S ) = 1 d F P S σ ln ( d F P S ) 2 π exp [ − 1 2 ( ln ( d F P S ) − μ ln ( d F P S ) σ ln ( d F P S ) ) 2 ]
(8)
The probability of exceedance
P f
of a given limit state (
LS
) has been calculated as follows:
P f = P ( I D I > I D I L S ) = 1 − P ( I D I ≤ I D I L S )
(9)
where the probability
P
(
IDI≤IDI LS
) can be directly estimated by the lognormal cumulative density functions (CDFs).
Figure 12 a,b report the monovariate lognormal distributions (PDFs) associated to the IDIs of the different stories with reference to both the FB and BI structure, while Figure 13 a,b report the related CDFs with the indication of a generic limit state threshold for evaluation of the associated probability of exceedance P f .
Figure 12. Lognormal monovariate PDFs for the IDIs in X and Y direction: FB model ( a ), BI model ( b ).
Figure 13. Lognormal monovariate CDFs for the IDIs in X and Y direction: FB model ( a ), BI model ( b ).
Concerning the BI structure, Figure 14 a,b illustrate the monovariate lognormal distributions (PDFs) and the cumulative density functions (CDFs) related to the d FPS in both the X and Y directions. It can be recognized that the retrofitting intervention is able to reduce the probability of exceedance of pre-determined limit state threshold. Because the structure turns out to be stiffer in the Y direction, both IDIs and d FPS in that direction are significantly smaller if compared to the values in the X direction.
Figure 14. Lognormal monovariate PDFs and CDFs for horizontal relative displacement of FP device in X and Y direction with reference to the isolation level. ( a ) PDFs. ( b ) CDFs.
Adopting the probabilistic distributions so far described, it is possible to estimate the probability of exceedance
P f
for different values of IDIs and
d FPS
. The results in terms of probability of exceedance
P f
are reported in
Figure 15
a–c with reference to the different stories for the FB and BI structure and for the isolation level. The retrofitting intervention allows to reduce significantly the demand in terms of interstory drift leading to probability of exceedance
P f
lower than 1 order of magnitude with respect to the FB structure for specific values of the IDIs. This aspect is fundamental for the safety [
42
] of the structural systems.
Figure 15. Exceeding monovariate probabilities (logarithmic scale): FB model ( a ); BI model ( b ); Isolation level for BI model ( c ).
The descending trend of the exceeding probabilities plotted in Figure 15 is perfectly in line with the results described in [ 3 , 17 ]. In fact, higher values of the limit state thresholds are associated to lower and lower values of P f in relation to both superstructure and isolation level. The analysis puts in evidence the importance to assess the seismic performance in probabilistic terms for each story and along the both directions for the both models (i.e., FB structure and BI structure). In fact, the results highlight the structural weakness along the X direction and higher values of the exceeding probabilities for lower floors due to also the vertical components of the records. These exceeding probabilities are strongly reduced in the configuration retrofitted through FPS showing a strong plastic reduction of the structural members [ 18 ]. As for the isolation level, the results demonstrate that also for the FPS devices the responses along the two orthogonal directions are different. Specifically, along the Y direction the seismic demand is higher due to more effective behavior of the seismic device able to reduce the seismic demand to the superstructure. In addition, the results confirm the effectiveness of the beams connecting the columns at the substructure ( Section 4.1 ) able to improve the safety and robustness of the system as proposed in [ 3 ].
6. Conclusions
The present investigation aimed to evaluate the influence of the seismic retrofitting of an existing RC building using single-concave friction pendulum devices in probabilistic terms. First of all, an existing RC building has been characterized from a geometrical point of view and the related material properties have been assessed by means of the results from destructive and non-destructive tests. Then, non-linear numerical models of the structure have been defined using fiber cross-sections approach for the fixed base (FB) structure and the base isolated (BI) system including proper modelling of the response of the FP bearings under seismic actions. Non-linear dynamic analyses have been carried out accounting 21 recorded seismic events with the three components. The records have been scaled to the value of the pseudo-acceleration of the design elastic spectrum for nearly-collapse limit state associated to 50 years reference life in correspondence of the fundamental periods of both the FB and BI structures. The results of the non-linear dynamic analyses highlight the effectiveness of the retrofitting intervention in the reduction of the value of the base shear. In particular, as in existing RC buildings the amount of shear reinforcements is almost lower than minimum values required by current design codes, the latter results can avoid the occurrence of brittle shear failure in columns pertaining to stiffer RC frames. Next, the probabilistic interpretation of the results in terms of interstory drift index and displacement at the level of the isolation devices has been carried out adopting a lognormal probabilistic model. The probabilities of exceedance associated to different values of the mentioned above parameters have been evaluated highlighting a reduction of more than 1 order of magnitude between the FB structure and the structure retrofitted by means of single-concave FP devices. This aspect is fundamental for the safety of the structure.
Author Contributions
Conceptualization, P.C.; Data curation, D.G., C.A., M.F. and G.B.; Formal analysis, D.G., C.A., M.F., G.B. and L.G.; Investigation, D.G., C.A., M.F. and P.C.; Methodology, D.G., P.C., G.B. and L.G.; Project administration, P.C.; Supervision, P.C. and L.G.; Validation, L.G.; Visualization, C.A., G.B. and L.G.; Writing—original draft, D.G. and P.C. All authors have read and agreed to the published version of the manuscript.
Funding
This research received no external funding.
Acknowledgments
This work is a part of the collaborative activity developed by the authors within the framework of the Line 6—WP 2—Task 2.1—ReLUIS 2017.
Conflicts of Interest
The authors declare no conflict of interest.
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Figure 1. Non-linear hysteretic response of the single-concave friction pendulum device.
Figure 2. Scheme with main dimensions of the building in plant and identification of the main RC frames in X (X1, X2) and Y (Y1, Y2, Y3) directions. Dimensions reported in [cm].
Figure 3. Cross sections of beams and columns pertaining to the main RC frames in X and Y directions. Dimensions reported in [cm]. ( a )Frames X1. ( b ) Frame Y1. ( c ) Frame X2. ( d ) Frame Y2. ( e ) Frame Y3.
Figure 4. Identification and location of the different beams and columns typologies according to Table 1 . ( a ) Stories 1-4. ( b ) Story 5 (Roof).
Figure 5. Location of the adopted FP devices in plan.
Figure 6. Non-linear numerical models for FB ( a ) and BI ( b ) structure using SAP 2000 [ 25 ].
Figure 7. Elastic design response spectra according to nearly-collapse limit state [ 2 ] with two different damping ratios.
Figure 8. Scaled acceleration spectra for FB ( a , b ) and BI ( c , d ) structure of the 21 real ground motion records in X direction ( a , c ); Y direction ( b , d ).
Figure 9. Hysteresis loops of the FP bearing under the motion of the EQ5 after scaling process.
Figure 10. Base shear comparison along the two directions: FB model ( a ), BI model ( b ).
Figure 11. Comparison between the IDIs.
Figure 12. Lognormal monovariate PDFs for the IDIs in X and Y direction: FB model ( a ), BI model ( b ).
Figure 13. Lognormal monovariate CDFs for the IDIs in X and Y direction: FB model ( a ), BI model ( b ).
Figure 14. Lognormal monovariate PDFs and CDFs for horizontal relative displacement of FP device in X and Y direction with reference to the isolation level. ( a ) PDFs. ( b ) CDFs.
Figure 15. Exceeding monovariate probabilities (logarithmic scale): FB model ( a ); BI model ( b ); Isolation level for BI model ( c ).
Table 1. Details of the reinforcements for the different structural members.
Structural Member Longitudinal Reinforcement Shear Reinforcement Longitudinal Reinforcement Shear Reinforcement Story 1 2 Column type 1 2𝜙20 + 5𝜙16/2𝜙20 + 5𝜙16 𝜙6/8 mm (2 leg stirrups) 2𝜙20 + 5𝜙16/2𝜙20 + 5𝜙16 𝜙6/8 mm (2 leg stirrups) Column type 2 Column type 3 2𝜙20 + 5𝜙14/2𝜙20 + 5𝜙14 𝜙6/12 mm (2 leg stirrups) 2𝜙20 + 5𝜙14/2𝜙20 + 5𝜙14 𝜙6/12 mm (2 leg stirrups) Beam type 1 Midspan: Top 2𝜙14 Bottom 5𝜙16 𝜙6/19 mm (2 leg stirrups) Midspan: Top 2𝜙14 Bottom 5𝜙16 𝜙6/19 mm (2 legs stirrups) Support: Top 2𝜙14 + 5𝜙20 Bottom 2𝜙16 𝜙6/10 mm (2 leg stirrups) Support: Top 2𝜙14 + 5𝜙20 Bottom 2𝜙16 𝜙6/10 mm (2 leg stirrups) Beam type 2 Midspan Top 2𝜙12 Bottom 5𝜙14 𝜙6/19 mm (2 leg stirrups) Midspan Top 2𝜙12 Bottom 5𝜙14 𝜙6/19 mm (2 leg stirrups) Support Top 2𝜙14 + 5𝜙20 Bottom 3𝜙16 𝜙6/10 mm (2 leg stirrups) Support Top 2𝜙14 + 5𝜙20 Bottom 3𝜙16 𝜙6/10 mm (2 leg stirrups) Beam type 3 Top 2𝜙10 + 2𝜙12 Bottom 2𝜙10 + 2𝜙12 𝜙6/30 mm (2 leg stirrups) Top 4𝜙10 Bottom 2𝜙10 + 2𝜙12 𝜙6/30 mm (2 leg stirrups) Beam type 4 Top 4𝜙10 Bottom 4𝜙10 𝜙6/30 mm (2 leg stirrups) Top 4𝜙10 Bottom 4𝜙10 𝜙6/30 mm (2 leg stirrups) Beam type 5 Top 4𝜙14 Bottom 4𝜙14 𝜙6/10 mm (2 leg stirrups) Top 4𝜙14 Bottom 4𝜙14 𝜙6/10 mm (2 leg stirrups) Story 3 4 Column type 1 2𝜙20 + 5𝜙14/2𝜙20 + 5𝜙14 𝜙6/10 mm (2 leg stirrups) 2𝜙20 + 5𝜙14/2𝜙20 + 5𝜙14 𝜙6/12 mm (2 leg stirrups) Column type 2 Column type 3 𝜙6/12 mm (2 leg stirrups) Beam type 1 Midspan: Top 2𝜙14 Bottom 5𝜙16 𝜙6/19 mm (2 leg stirrups) Midspan: Top 2𝜙14 Bottom 5𝜙16 𝜙6/19 mm (2 leg stirrups) Support: Top 2𝜙14 + 5𝜙20 Bottom 2𝜙16 𝜙6/10 mm (2 legs stirrups) Support: Top 2𝜙14 + 5𝜙20 Bottom 2𝜙16 𝜙6/10 mm (2 legs stirrups) Beam type 2 Midspan Top 2𝜙12 Bottom 5𝜙14 𝜙6/19 mm (2 legs stirrups) Midspan Top 2𝜙12 Bottom 5𝜙14 𝜙6/19 mm (2 legs stirrups) Support Top 2𝜙14 + 5𝜙20 Bottom 3𝜙16 𝜙6/10 mm (2 legs stirrups) Support Top 2𝜙14 + 5𝜙20 Bottom 3𝜙16 𝜙6/10 mm (2 legs stirrups) Beam type 3 Top 3𝜙10 Bottom 2𝜙10 + 1𝜙12 𝜙6/30 mm (2 legs stirrups) Top 4𝜙10 + 2𝜙12 Bottom 2𝜙10 𝜙6/30 mm (2 legs stirrups) Beam type 4 Top 4𝜙10 Bottom 4𝜙10 𝜙6/30 mm (2 legs stirrups) Top 4𝜙10 Bottom 4𝜙10 𝜙6/30 mm (2 legs stirrups) Beam type 5 Top 4𝜙14 Bottom 4𝜙14 𝜙6/10 mm (2 legs stirrups) Top 4𝜙10 + 1𝜙12 Bottom 2𝜙10 + 1𝜙12 𝜙6/10 mm (2 legs stirrups) Story 5 ( Roof ) Beam type 6 Top 2𝜙16 + 5𝜙20 Bottom 3𝜙16 + 2𝜙14 𝜙6/10 mm (2 legs stirrups) Beam type 7 Top 4𝜙10 Bottom 2𝜙12 + 2𝜙10 𝜙6/10 mm (2 legs stirrups)
Table 2. Types of FP devices and related characteristics.
FPS Type 1 Type 2 Type 3 Type 4 Type 5 Type 6 Type 7 Type 8 Type 9 R [m] 1.5 1.5 1.5 1.5 1.5 1.5 1.5 1.5 1.5 K 2 [kN/m] 355 442 471 293 413 400 431 335 382 K 1 [kN/m] 18,080 22,517 23,996 14,957 21,038 20,381 21,958 17,093 19,460
Table 3. Selected ground motion records from European Strong Motion Database [ 37 ]: D denotes the epicentral distance of the event in and M the related magnitude.
Earthquake Event Date M [-] Fault Mechanism D [km] EQ1—Bingol 05/01/2003 6.3 Strike-slip 11.79 EQ2—Christchurch 06/13/2011 6 Reverse 5.1 EQ3—Darfield 09/03/2010 7.1 Strike-slip 13.31 EQ4—E Off Izu Peninsula 05/03/1998 5.5 Reverse 9.5 EQ5—EMILIA_Pianura_Padana 05/29/2012 6 Reverse 4.73 EQ6—Friuli 4th shock 09/15/1976 5.9 Reverse 16.83 EQ7—Hector Mine 10/16/1999 7.1 Strike-slip 28.61 EQ8—Honshu 08/10/1996 5.9 Reverse 13.89 EQ9—Hyogo-Ken Nanbu 01/16/1995 6.9 Strike-slip 16.6 EQ10—Landers 06/28/1992 7.3 Strike-slip 13.08 EQ11—L’Aquila mainshock 04/06/2009 6.3 Normal 5.65 EQ12—Loma Prieta 10/18/1989 6.9 Oblique 27.59 EQ13—Mid Niigata Prefecture 10/23/2004 6.6 Reverse 16.42 EQ14—Mt. Fuji Region 03/15/2011 5.9 Strike-slip 12.8 EQ15—N. Miyagi Prefecture 07/25/2003 6.1 Reverse 9.93 EQ16—Northridge 01/17/1994 6.7 Reverse 20.19 EQ17—Off Noto Peninsula 03/25/2007 6.7 Reverse 6.64 EQ18—Olfus 05/29/2008 6.3 Strike-slip 8.25 EQ19—South Iceland 06/17/2000 6.5 Strike-slip 5.25 EQ20—Southern Iwate Prefecture 06/13/2008 6.9 Reverse 23.08 EQ21—W. Tottori Prefecture 10/06/2000 6.6 Strike-slip 11.78
Gino, Diego, Costanza Anerdi, Paolo Castaldo, Mario Ferrara, Gabriele Bertagnoli, and Luca Giordano. 2020. "Seismic Upgrading of Existing Reinforced Concrete Buildings Using Friction Pendulum Devices: A Probabilistic Evaluation" Applied Sciences10, no. 24: 8980.
https://doi.org/10.3390/app10248980
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Sustainability | Free Full-Text | Efficient Recovery of V, W, and Regeneration of TiO2 Photocatalysts from Waste-SCR Catalysts
Discarded Waste-SCR (selective catalytic reduction) catalysts not only harm the natural environment, but also hinder the recovery of valuable metals such as V, W, and Ti, thus resulting in a waste of resources. Therefore, it has become imperative to dispose of Waste-SCR catalysts in large amounts. This study aims to develop a complete, eco-friendly, and economical process of dealing with Waste-SCR catalysts. In this process, the recovery of V and W from Waste-SCR catalysts was achieved in several steps. In addition, the leaching conditions of the acid-base process were optimized, while the structure and composition of the leaching residual were studied in depth. Sodium titanates generated by alkali leaching were then applied for regeneration of the TiO2 photocatalyst. It is worth noting that Fe-doped TiO2 photocatalysts were also prepared, while the required iron source was obtained through acid leaching. Regenerated photocatalyst achieved an excellent performance in the photocatalytic degradation of dye pollutants, which is attributable to small particle size and low forbidden band width. This contributes a new idea to the recycling of solid waste, and the economical treatment of wastewater.
Efficient Recovery of V, W, and Regeneration of TiO 2 Photocatalysts from Waste-SCR Catalysts
by Ken Cheng 1 , Yi Yu 1 , Bolun Mei 1 , Yang Li 2,* and Li Xu 1,*
School of Chemical Engineering, Zhengzhou University, Zhengzhou 450000, China
Jiangsu Longking—Cotech Environmental Protection Technology Co., Ltd., Yancheng 224000, China
Sustainability 2022 , 14 (16), 10284; https://doi.org/10.3390/su141610284
Received: 27 July 2022 / Revised: 10 August 2022 / Accepted: 12 August 2022 / Published: 18 August 2022
Abstract
:
Discarded Waste-SCR (selective catalytic reduction) catalysts not only harm the natural environment, but also hinder the recovery of valuable metals such as V, W, and Ti, thus resulting in a waste of resources. Therefore, it has become imperative to dispose of Waste-SCR catalysts in large amounts. This study aims to develop a complete, eco-friendly, and economical process of dealing with Waste-SCR catalysts. In this process, the recovery of V and W from Waste-SCR catalysts was achieved in several steps. In addition, the leaching conditions of the acid-base process were optimized, while the structure and composition of the leaching residual were studied in depth. Sodium titanates generated by alkali leaching were then applied for regeneration of the TiO
2
photocatalyst. It is worth noting that Fe-doped TiO
2
photocatalysts were also prepared, while the required iron source was obtained through acid leaching. Regenerated photocatalyst achieved an excellent performance in the photocatalytic degradation of dye pollutants, which is attributable to small particle size and low forbidden band width. This contributes a new idea to the recycling of solid waste, and the economical treatment of wastewater.
Keywords:
Waste-SCR catalysts
;
hydrometallurgical recovery
;
catalysts regeneration
;
TiO 2 photocatalysts
1. Introduction
1
], at most. In many cases, Waste-SCR catalysts are discarded even when there is no effective means to dispose of them. The discarded solid waste not only occupies a large amount of land resource, but it also hinders valuable metals such as V, W, and Ti contained in the catalysts from being effectively recycled, thus resulting in the waste of resources [
2
]. In recent years, study has been conducted on the recovery of Waste-SCR catalysts. In general, the recovery of Waste-SCR catalysts can be achieved through a dry process or wet process. The dry recovery process is usually reliant on the molten salt reaction of a substance with strong alkalinity (such as NaOH, Na
2
CO
3
), the Waste-SCR catalyst converting vanadium and tungsten into soluble vanadate and tungstate, and TiO
2
generating insoluble titanate, thereby realizing the separation of V, W, and Ti [
3
,
4
]. Nevertheless, TiO
2
recovered using this method tends to show mixed crystals of anatase and rutile, thus resulting in low purity. In addition, the roasting temperature is high in the dry process, and energy loss is substantial. Consequently, it is difficult to recycle for commercial purposes, TiO
2
obtained through the dry process.
The wet process relies on acid or alkali to leach the spent SCR catalyst, adjust the physical and chemical conditions of the solution, separate the different components, and further recycle and process them into the desired products. To date, there have been some studies conducted on the leaching of Waste-SCR with acid [
5
,
6
]. In particular, organic acids derived from green sources have attracted extensive attention due to their less severe secondary pollution, and higher leaching efficiency, than inorganic acids. However, acid metallurgy also shows a significant disadvantage in that the valuable metal, W, cannot be effectively leached. Therefore, wet alkaline leaching has gradually drawn the attention of people. By means of high-temperature pressurization, the leaching efficiency of V and W can exceed 90% [
7
]. Nevertheless, alkaline metallurgy also has its own weaknesses. The leached vanadium and tungsten are mainly recovered by using a stepwise precipitation method. Since they are both transition metals with similar properties, behaviors, and orientations in solution, the range of pH value required to precipitate V and W is also similar, which significantly increases the difficulty of V and W separation [
8
]. In short, it is imperative to develop an effective solution to the eco-friendly recycling of valuable metals from Waste-SCR catalysts.
In addition to the recovery of valuable metals, it is also worth paying attention to the reutilization of the TiO 2 carrier, with a content of up to 80–90% in the spent SCR catalyst. TiO 2 has attracted extensive attention as a photocatalyst because of its excellent photoelectric properties, stable chemical properties, low cost, and non-toxicity [ 9 , 10 , 11 , 12 ]. However, there remain some constraints on the practical applications of TiO 2 photocatalysts. Since they are mainly produced from expensive chemical reagents, such as TiCl 4 [ 13 ], TiOSO 4 [ 14 , 15 ], and Ti(OC 4 H 9 ) 4 (TBOT) [ 16 , 17 ], the production cost is fairly high. In addition, the low-efficiency utilization of solar energy results from their wide band gap (3.2 eV for anatase and 3.0 eV for rutile). In view of the above problems, the TiO 2 derived from spent SCR catalysts was applied in this study as a secondary raw material for photocatalysts.
Herein, both V and W were efficiently leached in steps through the acid-base wet process, with sustainable TiO
2
photocatalyst produced. Notably, Fe-doped photocatalyst was also obtained by doping the FeC
2
O
4
precipitated in the acid leaching process into TiO
2
for improved solar energy utilization and reduced band gap, which has been demonstrated as effective in improving photocatalyst efficiency. The optimal process conditions of phased leaching for V, W, and Ti were determined, and the leaching residues were analyzed in depth. Finally, the physical and chemical properties and photocatalytic performance of regenerated photocatalysts were examined.
2. Materials and Methods
The experimental raw materials (Waste-SCR catalysts) were obtained from a thermal power plant in Jiangsu, China. To ensure the consistency of this experiment, the Waste-SCR used in the experiment was collected from the same batch. The equipment used in the experimental process mainly includes a constant temperature oil bath and high-pressure reactor. Oxalic acid leaching was carried out in a constant temperature oil bath, and NaOH leaching was performed in a high-pressure reactor. The elemental composition of the samples was analyzed by using Axios X-ray fluorescence spectrometer (XRF, panalytical company of the Netherlands, Almelo, The Netherlands), and optima 5300dv inductively coupled plasma atomic emission spectrometer (ICP-AES, Pekin Elmer company of the United States, Waltham, MA, USA). The phase structure was analyzed by using empyrean X-ray diffractometer (XRD, panalytical company of the Netherlands). Fei Talos f200s (TEM, Thermofisher, Waltham, MA, USA) was applied to conduct surface morphology analysis. To carry out the analysis of pore structure, an autosorb−1 automatic physicochemical adsorption instrument was employed (BET, quantachrome company of the United States, Boynton Beach, FL, USA). The diffuse reflectance spectra were recorded by using an ultraviolet−visible (UV−vis) spectrophotometer (DRS, PE lambda 750, Waltham, MA, USA). Fourier transform infrared spectroscopy was applied to analyze the functional groups on the surface of the sample. (FT-IR, Bruker TENSOR II, Rheinstetten, Germany).
The experimental steps were as follows: First, the Waste-SCR catalysts (denoted as Waste-SCR) were pulverized and ground. Subsequently, Waste-SCR was added into the oxalic acid solution that had reached the preset temperature. After the reaction was complete, the suspension was naturally cooled to room temperature. The acid leaching solution was collected by filtration and then analyzed by ICP. The filter residue, denoted as Residue-A, was washed and dried for 12 h. The NaOH solution and oxalic acid residues were poured into a high-pressure reactor, mixed well, and sealed. After the heating program was set, stirring was performed when the preset temperature was reached. After the reaction, the reactor was cooled down to room temperature. The alkali leaching solution was collected by filtration and then analyzed by ICP. The filter residue, denoted as Residue-B, was washed and dried for 12 h. The leaching efficiency was calculated through the following equation:
x
=
n
V
C
×
10
−
6
m
w
(1)
where,
x
represents the leaching rate of the element;
n
denotes the dilution ratio of the sample; V indicates the volume of the leaching filtrate; C refers to the concentration of each element tested by ICP-AES;
m
stands for the mass of the raw material sample added; and
w
denotes the mass percentage of each element in the raw material.
The oxalic acid leaching solution was exposed to sufficient sunlight, and the FeC
2
O
4
precipitate was collected after one night. Of course, incident daylight was variable and intermittent. When required, the solutions were agitated by using a stirrer motor and paddle, or a hotplate stirrer and magnetic follower, before being thermostatted in a water bath. H
2
SO
4
aqueous solution was treated as the pickling agents for Residue-B. After pickling, the precipitate was centrifuged and washed until becoming neutral. After drying, it was denoted as a sample precursor. The sample precursor was divided into two parts, with one directly calcined in a muffle furnace at 400 °C, and the other thoroughly ground for at least 1 h, after mixing with the FeC
2
O
4
precipitate and then calcined.
The photocatalytic abilities of the regenerated TiO
2
products were evaluated by measuring the degradation of Rhodamine B (RhB) aqueous solutions at 25 °C. A 350 W xenon lamp (BBZM-II, Langxi Bobei Lighting Electric Factory, Xuancheng, China) was used as the source of lighting. The specific experimental procedures are detailed as follows: Firstly, 0.05 g of photocatalysts were dissolved into 100 mL of dye solutions. Secondly, the solutions were continuously stirred for 30 min in the dark to reach adsorption equilibrium. Thirdly, the solutions were exposed to sunlight. Fourthly, the 4 mL of suspensions were collected by using a 5 mL pipetting gun at intervals. Fifthly, the suspensions were centrifuged at 4000 rpm for 15 min and filtered through a 0.22 μm filter. Finally, the supernatants were analyzed using a UV-Vis spectrophotometer (UV-2401PC, Zhejiang Huacong Instrument Co., Ltd., Hangzhou, China) to evaluate the photodegradability of the samples. The photocatalytic degradation rate was calculated through the following formula:
η
=
A
0
−
A
A
0
×
100
%
(2)
where
A
0
represents the initial absorbance of the degraded product;
A
represents the absorbance of the degraded product at the end of catalysis;
η
represents the degradation rate of the degraded product at the end of catalysis.
3. Results
3.1. Characterization of Waste-SCR
The results of XRF analysis for Waste-SCR are shown in Table 1 . The Waste-SCR is mainly composed of the carrier TiO 2 and the active agent WO 3 , accounting for 85.49% and 4.38%, respectively. The active component V 2 O 5 accounts for 0.65%. In addition, there are small amounts of various impurity elements such as Fe, Al, Si, etc. The XRD pattern of Waste-SCR is shown in Figure 1 , from which it can be seen that the diffraction peaks of Waste-SCR are completely consistent with the diffraction peaks of anatase TiO 2 . At the same time, there are no diffraction peaks observed for V 2 O 5 , WO 3, and other impurities, which may be due to the fact that the content of components other than TiO 2 being less than 5%, and are widely distributed on the surface of the TiO 2 support.
3.2. Mechanism and Optimization of Leaching Process
3.2.1. Leaching Process Mechanism
In the Waste-SCR catalyst, element V exists in the form of V
2
O
5
. Due to the strong reducibility and high coordination ability of oxalic acid, V can be involved in redox and dissolution coordination reactions with oxalic acid [
6
,
18
]. As shown in Equation (3), stable VO(C
2
O
4
)
2
2−
complexes are generated. However, the valence state of W and Ti elements remains unchanged in the reducing acid solution. The leaching process is confined to dissolving WO
3
and TiO
2
. A small amount of dissolved WO
3
and TiO
2
exist in acidic solutions as WO
2
2+
and TiO
2+
, respectively. In the oxalic acid system, WO
2
2+
and TiO
2+
tend to be combined with the complexing agent oxalate, thus forming complexes such as WO
2
(C
2
O
4
)
2
2−
and TiO(C
2
O
4
)
2
2−
. Equations (4) and (5) show the dissolution reaction of W and Ti.
V 2 O 5 + 5H 2 C 2 O 4 = 2H 2 VO(C 2 O 4 ) 2 + 3H 2 O + 2CO 2
(3)
WO 3 + 2H 2 C 2 O 4 = H 2 WO 2 (C 2 O 4 ) 2 + H 2 O
(4)
TiO 2 + 2H 2 C 2 O 4 = H 2 TiO(C 2 O 4 ) 2 + H 2 O
(5)
In the alkaline leaching process, WO3 reacts in strong alkaline solution to form soluble tungstate [
19
]. TiO
2
does not form soluble matter in the alkaline solution system, which reacts with NaOH to form insoluble Na
2
TiO
3
[
20
]. The reaction formula of W, Ti, and NaOH can be expressed as Equations (6) and (7).
2NaOH + TiO 2 = Na 2 TiO 3 + H 2 O
(6)
2NaOH + WO 3 = Na 2 WO 4 + H 2 O
(7)
Figure 2
shows a thermodynamic analysis of Equations (1), (4) and (5). According to
Figure 2
a, all the values of standard Gibbs free energy are negative, suggesting a greater spontaneous trend for the leaching of vanadium in oxalic acid solution, and the leaching of tungsten and titanium in NaOH solution. In addition, Equation (4) shows a larger absolute value of Gibbs free energy change than Equation (5), indicating that WO
3
is more likely to react with NaOH than TiO
2
. As shown in
Figure 2
b, the enthalpy changes for the three leaching reactions are all negative, implying that they are all exothermic. Consequently, it is thermodynamically feasible to recover V by means of leaching with oxalic acid, and recover W and Ti by means of leaching with NaOH.
3.2.2. Optimization of the Leaching Process
Figure 3
a shows the effect produced by oxalic acid concentration on Residue-A under the following conditions: a reaction time of 3 h; a reaction temperature of 60 °C; and a H
2
C
2
O
4
-Waste-SCR ratio of 10 mL/g. When H
2
C
2
O
4
concentration increased from 0.5 mol/L to 1.0 mol/L, the leaching rate rose from 61.8% to 69.3% for V, and from 4.3% to 10.4% for W. When the oxalic acid concentration exceeded 1.0 mol/L, the leaching rate of V barely changed, while that of W continued increasing slowly with the rise of oxalic acid concentration. The leaching rate of Ti was consistently below 0.5%. In order to facilitate subsequent operations and recover high-purity V, we needed to control the leaching rate of W, while ensuring the efficient leaching of V. Therefore, the optimal H
2
C
2
O
4
concentration was set to 1 mol/L. According to the XRD patterns in
Figure 3
b, Residue-A shows only the diffraction peak of anatase TiO
2
at different H
2
C
2
O
4
concentrations.
Figure 3
c shows the effect caused by reaction temperature on Residue-A under the following conditions: an oxalic acid concentration of 1.0 mol/L; a reaction time of 3 h; and a H
2
C
2
O
4
-Waste-SCR ratio of 10 mL/g. The leaching rate of V increased rapidly with temperature rise, from 69.3% at 60 °C to 86.8% at 100 °C. By comparison, the leaching rate of W and Ti reached their maximum at 100 °C, which is 16.0% and 0.89%, respectively. This is because the ion diffusion rate between oxalic acid and the spent catalyst increases with temperature rise, which accelerates the dissolution of the waste catalyst. Nevertheless, when the leaching temperature reached above 100 °C, the reaction solution was close to boiling. Consequently, oxalic acid volatilized in large amounts and thermal decomposition occurred [
21
]. Thus, 100 °C was chosen as the optimal reaction temperature. As can be seen from the XRD patterns in
Figure 3
d, only anatase TiO
2
was detected at different temperatures, which evidences that the leaching of oxalic acid made no difference to the phase structure of the sample within the selected concentration and temperature ranges.
Figure 4
a shows the effect of NaOH concentration on Residue-B under the following conditions: a reaction time of 3 h; a reaction temperature of 150 °C; and a NaOH -Residue-A ratio of 10 mL/g. When NaOH concentration reached 2 mol/L, the leaching of W was merely 52.6%. With the increase of alkali concentration, leaching rate increased rapidly for W. When alkali concentration reached 8 mol/L, the W leaching rate was 98.6%, which is close to 100%. At this time, the W leaching rate hardly changed, given a continued increase of alkali concentration; therefore, the optimal concentration of NaOH was set to 8 mol/L.
Figure 4
b shows the XRD patterns of slag B under different NaOH concentrations. From this figure, it can be clearly seen that the diffraction peak of anatase TiO
2
is gradually weakened with the rise of concentration. Residue-B is in amorphous state at a higher concentration than 8 mol/L, which indicates that the transformation of TiO
2
into amorphous titanate is almost complete.
Figure 4
c shows the effect of reaction temperature on Residue-B under the following conditions: a NaOH concentration of 8.0 mol/L; a reaction time of 3 h; and a NaOH -Residue-A ratio of 10 mL/g. As reaction temperature rose, the leaching rate of W increased rapidly. At 90 °C, the leaching rate of W reached merely 60.0%. When the temperature further increased to 150 °C, the leaching rate of W reached 99.6%. As the temperature continued its upward trend, the leaching rate of W increased, thus adding to unnecessary energy consumption and equipment burden; therefore, the optimal leaching temperature was set to 150 °C.
Figure 4
d shows the XRD patterns of Residue-B at different reaction temperatures. With the increase of reaction temperature, the diffraction peak of anatase TiO
2
in Residue-B was gradually weakened, indicating a gradual decrease in the content of anatase TiO
2
crystals in slags. When the temperature reached above 150 °C, the characteristic peak of TiO
2
diffraction vanished, and amorphous titanate was generated.
3.2.3. Composition and Structure Analysis of Residues
To better understand the leaching process, the residues were also analyzed before and after leaching.
Table 2
shows the chemical composition of Residue-A and Residue-B. It can be seen from this table that the TiO
2
content is 89.42% and 88.28% for Residue-A and Residue-B, respectively, both of which are slightly higher compared to Waste-SCR. The content of V
2
O
5
and Fe
2
O
3
fell below 0.11% after leaching with oxalic acid, which suggests that oxalic acid exerted a significant leaching effect on both V and Fe. In addition, the content of WO
3
was merely 0.10%, and the molding aids (Al
2
O
3
, SiO
2
, CaO) were effectively removed after the leaching of sodium hydroxide, indicating that the residue was completely purified.
Figure 5 shows the FT-IR spectra of different leached residues. The bands observed in the range of 796−438 cm −1 are assigned to Ti−O and Ti−O−Ti groups [ 22 ]. The absorption band at 887 cm −1 can be observed in Reside-B, which is attributed to the vibration of Ti-O-Na [ 23 ]. It is shown that NaOH reacts with the main phase TiO 2 , which destroys the Ti-O-Ti bond. In addition, the bands observed at 2923, 2852, 2347, and 1633 cm −1 can be attributed to the strong interaction between -OH groups and Ti 4+ [ 24 ]. The absorption peaks at 1122 cm −1 and 1063 cm −1 are attributed to the characteristic peaks of SO 4 2− and the stretching vibration peaks of ν(S-O), formed by the interaction of SO 4 2− species and TiO 2 surface, respectively [ 25 ]. After leaching with oxalic acid, the characteristic peaks of SO 4 2- disappeared, implying that oxalic acid is effective in removing the sulfate that blocked the pores, rather than the SO 4 2− species acting on the surface of TiO 2 . However, after leaching with sodium hydroxide, the ν(S-O) stretching vibration peak vanished, indicating that the surface structure of TiO 2 was affected by NaOH, and the surface structure was reorganized. Consequently, SO 4 2− was completely removed.
Figure 6
a shows the N
2
adsorption-desorption isotherms of the slags. According to the classification of IUPAC, all slags exhibited type IV adsorption isotherms, indicating that the slags were mesopores [
26
]. The N
2
adsorption-desorption isotherms of Waste-SCR and H
2
C
2
O
4
residue were basically identical, with a narrow hysteresis loop shown by both. However, after alkali leaching, the hysteresis loop of the slags was elongated. NaOH residues manifested the H3 hysteresis loop of a typical flake granular material.
Figure 6
b shows the BJH pore size distribution of the slags. According to this figure, the pore size of Waste-SCR and H
2
C
2
O
4
residue is concentrated in the range of 5–46 nm, which falls within the typical mesoporous range. The pore size of NaOH residue is concentrated in the range of 3–5 nm, which falls within the range of small mesopores. The pore structure parameters of different residues are listed in
Table 3
.
These results demonstrate that the acid leaching process will not undermine the original pore structure, and only removes part of the particles that block the pore. In contrast, in the strong alkali system, the Ti-O-Ti bonds in anatase TiO 2 collapse, and these broken Ti-O bonds can be attacked by Na + [ 27 ]. As a result, Ti-O-Na bonds are formed and the pore structure of the slag is altered. In addition, impurities in the pores are released and fully exposed to the strong alkaline system for dissolution; therefore, the residues are effectively purified. Ultimately, amorphous sodium titanate is generated.
3.3. Characterization and Activity Test of Regenerated Photocatalysts
3.3.1. Acquisition of Regenerated Photocatalyst Dopants
A photochemical decomposition method was employed to obtain Fe dopants. In the process of H
2
C
2
O
4
leaching, it is known through calculation that the leaching rate of impurity Fe
2
O
3
is comparable to that of V
2
O
5
, reaching up to 85.3%, as shown in
Table 2
. Fe
2
O
3
undergoes redox reaction in oxalic acid solution, thus forming the complex Fe(C
2
O
4
)
2
2−
existent in the solution [
28
]. Equation (8) shows the redox reaction of Fe with oxalic acid. However, the stability constant of the Fe(C
2
O
4
)
2
2−
complex is only 10
4.52
, and the stability in solution is low [
29
]. FeC
2
O
4
can be slowly precipitated from oxalic acid leaching solution after exposure to sunlight for a long time.
Figure 7
shows the XRD pattern of precipitation of oxalic acid leaching solution after standing. The main components of precipitation are determined as FeC
2
O
4
·2H
2
O and CaC
2
O
4
·H
2
O. After digestion of the precipitate, the content of FeC
2
O
4
·2H
2
O was measured by ICP to be 71.04%. We then further purified treated as-obtained Na
2
TiO
3
with dilute sulfuric acid, to obtain Re-TiO
2
precursor. Finally, after ferrous oxalate doping and calcination, the regenerated TiO
2
samples could be applied in environmental pollutant.
Fe 2 O 3 + 5H 2 C 2 O 4 = 2H 2 Fe(C 2 O 4 ) 2 + 3H 2 O + 2CO 2
(8)
3.3.2. Characterization of Regenerated Photocatalysts
Table 4 shows the chemical composition of regenerated photocatalysts. The percentage of TiO 2 contained in Sample-A and Sample-B is 98.16% and 97.38%, respectively, which means that the samples obtained in our work meet the requirements for commercial purposes. In addition, the main impurity in Sample-B is Fe 2 O 3 , with the content of other impurities being less than 0.5%.
The morphology and structure of Waste-SCR and Sample-B were characterized by TEM, as shown in Figure 8 . They are comprised of nano spherical particles. The crystal size of the Waste-SCR varies from 20 to 40 nm. By contrast, the crystal size of Sample-B ranges only from 6 to 12 nm. A smaller particle size is conducive to the generation of photogenerated carriers and the adsorption of reactants on the surface, thereby improving the photocatalytic performance. In addition, XPS analysis was also conducted to explore the chemical oxidation of regenerated photocatalysts. As shown in Figure 9 , there are two intense peaks observable for the Ti2p core at the binding energies of 464.4 eV and 458.7 eV in Sample-A and Sample-B, which is attributable to the peaks of 2p1/2 and 2p3/2, respectively, for TiO 2 [ 30 ]. In the O (1s) spectrum, the peaks of Sample-A at 530.0 and 531.8 eV are attributable to the lattice oxygen and the hydroxyl groups [ 31 ], respectively. Compared with Sample-A, the lattice oxygen of Sample-B shifts by 0.25 eV towards higher electron binding energies. This phenomenon is probably attributed to the formation of Ti-O-Fe bonds in the crystal lattice [ 32 ]. In Sample-B, Fe 2p XPS peaks appear at 709.7 and 723.0 eV, which is ascribed to the binding energies of Fe 2p3/2 and Fe 2p1/2, respectively. It is indicated that the dopant of Fe is in the chemical state of Fe 3+ in the sample [ 33 ].
The optical properties of the regenerated catalysts were characterized by UV-VIS absorption spectroscopy. As shown in
Figure 10
a, Sample-A exhibits an increased absorbance in the broad UV−vis region, compared to the pure P25. After doping with iron, the regenerated catalyst exhibited a further red shift, which can be attributed to the Fe
3+
doping that led to a more efficient transfer and separation of photogenerated electrons and holes. According to the Tauc Plot method, band gap energy can be estimated from the plot of (Ahν)1/2 versus photo energy (hν), as shown in
Figure 10
b. The band gap value of P25 is 2.82 eV. Relative to P25, the band gap value of Sample-A is 2.59 eV, which suggests a narrow band gap. After doping with iron, the band gap of the regenerated catalyst was further reduced to 2.43 eV, which is attributed to the bond formed between Fe-O-Ti and excited photon energies reduction. This resulted in low band gap energy [
30
].
3.3.3. Evaluation of Photocatalytic Activities
Photocatalytic efficiency of the regenerated photocatalysts and P25-TiO
2
for degrading dyes (RhB) was evaluated through the simulation of sun-light irradiation, as shown in
Figure 11
. P25-TiO
2
, Sample-A and Sample-B photodegraded 73.2%, 82.3%, and 94.7% of 10 mg/L RhB, respectively, under stimulated sun-light for 40 min. When RhB concentration increased to 20 mg/L, more than 84.2% of dye was photodegraded in the presence of Sample-B for 60 min, in comparison with 65.4% and 72.9% of the dye degraded by P25-TiO
2
and Sample-A for 60 min, respectively. On this basis, the apparent rate constant (κ
app
) for the photocatalytic oxidation of RhB with different products was evaluated using a pseudo-first-order model, which is expressed as follows:
ln(C 0 /C t ) = κ app t
(9)
where, κ
app
represents the apparent rate constant; C
t
denotes the solution-phase concentration of dyes; C
0
refers to the initial concentration at t = 0; and t stands for the reaction time. The values of apparent rate constant κ
app
are also listed in
Figure 11
.
As shown in the table as an inset of Figure 11 , the slope of Sample-B (0.0725 min −1 ) is 2.14 and 1.64, respectively, times that of P25-TiO 2 and Sample-A for the photodegradation of 10 mg/L RhB. Meanwhile, the slope of Sample-B at a dye concentration of 20 mg/l reached a level that is 1.72 and 1.45 times higher, compared to P25-TiO 2 and Sample-A, respectively. According to photodegradation results, the samples doped with Fe produced a better photocatalytic performance.
The mechanism of enhanced photocatalytic activity can be summarized as: a small amount of Fe
3+
can inhibit the recombination of photoexcited electrons and holes, and acts as a temporary photo-generated electron or hole-trapping site [
34
]. The reaction steps of regenerated samples can be expressed as follows [
35
]:
TiO 2 + hν → h + + e −
Fe 3+ + e − → Fe 2+
Fe 3+ + h + → Fe 4+
Fe 2+ + O 2 → Fe 3+ + O 2 •−
Fe 4+ + OH − → •OH + Fe 3+
Firstly, an electron−hole pair is created in regenerated TiO
2
products under sun-light irradiation. Subsequently, part of the Fe
3+
ions can capture photogenerated electrons to form Fe
2+
ions, and another part of the Fe
3+
ions can also react with holes to form Fe
4+
ions. Fe
4+
and Fe
2+
are relatively unstable compared to Fe
3+
with half-filled d orbitals (d5). Consequently, there is a tendency that Fe
2+
and Fe
4+
react with adsorbed O
2
and surface hydroxyl groups (−OH), respectively, to form highly reactive species O
2
•−
and •OH, and regenerate Fe
3+
. After several repeated O
2
•−
and •OH attacks, dye degrades to produce CO
3.4. Flow Sheet Establishment
Based on the experiments, a flow sheet was established, as shown in Figure 12 . With regards to the oxalic acid leaching step, 86.8 % of the vanadium leaching efficiency was obtained with a H 2 C 2 O 4 addition of 1 mol/L, at a leaching temperature of 100 °C. Meanwhile, 85.3% of iron impurity was also leached. Subsequently, the iron impurity was successfully precipitated as a value-added product of FeC 2 O 4 ·2H 2 O, with a content of 71.04%. With regards to the NaOH leaching step, 98.6 % of the tungsten leaching efficiency was obtained with a NaOH addition of 8 mol/L, at a leaching temperature of 150°C. Residue-B was washed with dilute H 2 SO 4 to obtain a regenerated photocatalyst precursor. Alternatively, the precursor was directly calcined to obtain Sample-A with 98.16% TiO 2 , or it was mixed with FeC 2 O 4 and calcined to obtain Sample-B, with 97.38% TiO 2 and 0.64% Fe 2 O 3 . Finally, the regenerated TiO 2 samples could be directly used for efficient degradation of dyes under sunlight.
4. Conclusions
In this paper, a clean, eco-friendly, and novel method was proposed to recycle V and W, and prepare TiO 2 photocatalysts regenerated from Waste-SCR catalysts. With regards to the acid-alkaline leaching process, the optimum conditions of oxalic acid leaching were finalized as 100°C and 1.0 mol/L, which led to the leaching rate of 86.8% for V. The optimum conditions were 150°C and 8.0 mol/L for sodium hydroxide leaching, with the leaching rate of W reaching 98.6% under these conditions. Oxalic acid leaching made no difference to the phase structure of the residue. After alkali leaching, anatase TiO 2 undergoes structural reorganization and transforms into amorphous titanates with a high specific surface area. In addition, sulfate impurities bound to the surface of TiO 2 and molding aids were effectively removed, which led to effective purification. The content of the regenerated TiO 2 product was higher than 97.3%, and thus met commercial requirements. The FeC 2 O 4 precipitated during the acid leaching process was doped into the regenerated TiO 2 product as an iron source, thereby improving the photocatalytic performance. Regenerated TiO 2 photocatalysts exhibited a higher photocatalytic efficiency than P25-TiO 2 to oxidize RhB under simulated solar irradiation. This experimental process contributes a complete, eco-friendly, and economical method to the recycling of Waste-SCR catalysts.
Author Contributions
Methodology, K.C. and L.X.; validation, K.C., Y.L. and L.X.; formal analysis, B.M. and Y.Y.; data curation, K.C.; writing—original draft preparation, K.C.; writing—review and editing, Y.Y.; visualization, B.M.; supervision, Y.L. and L.X. All authors have read and agreed to the published version of the manuscript.
Funding
This research received no external funding.
Data Availability Statement
The data used to support the findings of this study are available from the corresponding author upon request.
Conflicts of Interest
The authors declare no conflict of interest.
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Figure 1. XRD spectra of Waste-SCR catalysts.
Figure 1. XRD spectra of Waste-SCR catalysts.
Figure 2. Thermodynamic calculations during oxalic acid leaching and alkali leaching. ( a ) Relationship between Gibbs free energy ΔG and temperature; ( b ) Relationship between enthalpy change ΔH and temperature.
Figure 2. Thermodynamic calculations during oxalic acid leaching and alkali leaching. ( a ) Relationship between Gibbs free energy ΔG and temperature; ( b ) Relationship between enthalpy change ΔH and temperature.
Figure 3. ( a ) Effect of H 2 C 2 O 4 concentration on the V, W, and Ti leaching efficiencies. ( b ) XRD patterns of Residue-A at different H 2 C 2 O 4 concentration. ( c ) Effect of reaction temperature on the V, W, and Ti leaching efficiencies. ( d ) XRD patterns of Residue-A at different reaction temperatures.
Figure 3. ( a ) Effect of H 2 C 2 O 4 concentration on the V, W, and Ti leaching efficiencies. ( b ) XRD patterns of Residue-A at different H 2 C 2 O 4 concentration. ( c ) Effect of reaction temperature on the V, W, and Ti leaching efficiencies. ( d ) XRD patterns of Residue-A at different reaction temperatures.
Figure 4. ( a ) Effect of NaOH concentration on the W leaching efficiencies. ( b ) XRD patterns of Residue-B at different NaOH concentrations. ( c ) Effect of reaction temperature on the W leaching efficiencies. ( d ) XRD patterns of Residue-B at different reaction temperatures.
Figure 4. ( a ) Effect of NaOH concentration on the W leaching efficiencies. ( b ) XRD patterns of Residue-B at different NaOH concentrations. ( c ) Effect of reaction temperature on the W leaching efficiencies. ( d ) XRD patterns of Residue-B at different reaction temperatures.
Figure 5. FT-IR results for Waste-SCR, Residue-A, and Residue-B.
Figure 5. FT-IR results for Waste-SCR, Residue-A, and Residue-B.
Figure 6. BET results for Waste-SCR, Residue-A, and Residue-B: ( a ) N 2 adsorption-desorption isotherms; and ( b ) BJH pore size distribution.
Figure 7. XRD spectra of precipitates from H 2 C 2 O 4 leachate after standing.
Figure 7. XRD spectra of precipitates from H 2 C 2 O 4 leachate after standing.
Figure 8. ( a ) TEM image of Waste-SCR at 100 nm. ( b ) TEM image of Waste-SCR at 50 nm. ( c ) TEM image of Sample-B at 100 nm. ( d ) TEM image of Sample-B at 50 nm.
Figure 8. ( a ) TEM image of Waste-SCR at 100 nm. ( b ) TEM image of Waste-SCR at 50 nm. ( c ) TEM image of Sample-B at 100 nm. ( d ) TEM image of Sample-B at 50 nm.
Figure 9. XPS spectra of Sample-A and Sample-B for Ti 2p, O 1s, and Fe 2p peaks.
Figure 9. XPS spectra of Sample-A and Sample-B for Ti 2p, O 1s, and Fe 2p peaks.
Figure 10. ( a ) The UV-vis DRS spectra of P25-TiO 2 and Sample-A and Sample-B; ( b ) band gap energy spectra of P25-TiO 2 and Sample-A and Sample-B.
Figure 10. ( a ) The UV-vis DRS spectra of P25-TiO 2 and Sample-A and Sample-B; ( b ) band gap energy spectra of P25-TiO 2 and Sample-A and Sample-B.
Figure 11. Photodegradation of: ( a ) 10 mg/L RhB; and ( c ) 20 mg/L RhB under sun-light irradiation. Photocatalytic reaction kinetics of: ( b ) 10 mg/L RhB; and ( d ) 20 mg/L RhB as a function of reaction time.
Figure 11. Photodegradation of: ( a ) 10 mg/L RhB; and ( c ) 20 mg/L RhB under sun-light irradiation. Photocatalytic reaction kinetics of: ( b ) 10 mg/L RhB; and ( d ) 20 mg/L RhB as a function of reaction time.
Figure 12. Flow sheet for recovery of V and W, and regeneration of TiO 2 photocatalyst.
Figure 12. Flow sheet for recovery of V and W, and regeneration of TiO 2 photocatalyst.
Table 1. Chemical compositions (wt %) of Waste-SCR.
Table 1. Chemical compositions (wt %) of Waste-SCR.
TiO 2 WO 3 V 2 O 5 SiO 2 Al 2 O 3 Fe 2 O 3 CaO SO 3 Others 85.49 4.38 0.65 3.36 1.21 0.69 2.18 1.71 0.33
Table 2. Chemical compositions (wt %) of Residue-A and Residue-B.
Table 2. Chemical compositions (wt %) of Residue-A and Residue-B.
Residue TiO 2 Na 2 O CaO SiO 2 Al 2 O 3 WO 3 V 2 O 5 Fe 2 O 3 Others Residue-A 89.42 0.03 2.01 3.16 0.89 3.57 0.08 0.11 0.73 Residue-B 88.28 8.67 1.88 0.53 0.22 0.10 0.07 0.08 0.17
Table 3. Pore structure parameters for Waste-SCR, Residue-A, and Residue-B.
Table 3. Pore structure parameters for Waste-SCR, Residue-A, and Residue-B.
Sample Specific Surface Area (m 2 /g) Total Pore Volume (cm 3 /g) Average Pore Diameter (nm) Waste SCR 52.0 0.28 21.3 Residue-A 62.4 0.30 19.0 Residue-B 193.6 0.50 10.4
Table 4. Chemical compositions (wt %) of Sample-A and Sample-B.
Table 4. Chemical compositions (wt %) of Sample-A and Sample-B.
TiO 2 Fe 2 O 3 SO 3 Na 2 O CaO Al 2 O 3 V 2 O 5 SiO 2 Others Sample-A 98.16 0.05 0.49 0.48 0.14 0.11 0.08 0.34 0.15 Sample-B 97.38 0.64 0.47 0.46 0.37 0.12 0.07 0.31 0.18
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Global scale emission and distribution of sea-spray aerosol: Sea-salt and organic enrichment | Request PDF
Request PDF | Global scale emission and distribution of sea-spray aerosol: Sea-salt and organic enrichment | The chemical composition of marine aerosols as a function of their size is an important parameter for the evaluation of their impact on the global... | Find, read and cite all the research you need on ResearchGate
Global scale emission and distribution of sea-spray aerosol: Sea-salt and organic enrichment
DOI: 10.1016/j.atmosenv.2009.11.013
Abstract
The chemical composition of marine aerosols as a function of their size is an important parameter for the evaluation of their impact on the global climate system. In this work we model fine particle organic matter emitted by sea spray processes and its influence on the aerosol chemical properties at the global scale using the off-line global Chemistry-Transport Model TM5. TM5 is coupled to a microphysical aerosol dynamics model providing size resolved information on particle masses and numbers. The mass of the emitted sea spray particles is partitioned between water insoluble organic matter (WIOM) and sea salt components in the accumulation mode using a function that relates the emitted organic fraction to the surface ocean chlorophyll-a concentrations. The global emission in the sub-micron size range of organic matter by sea spray process is 8.2 Tg yr−1, compared to 24 Tg fine yr−1 sea-salt emissions. When the marine sources are included, the concentrations of modelled primary particulate organic matter (POM) increase mainly over the oceans. The model predictions of WIOM and sea salt are evaluated against measurements carried out at Mace Head (Northern Hemisphere) and Amsterdam Island (Southern Hemisphere), showing that in clean marine conditions WIOM marine emissions contribute significantly to POM values.
... Still, the obtained results are controversial. On one side, some field studies in the North Atlantic
(Vignati et al., 2010)
based on chlorophyll a (Chl a) concentration (a proxy of phytoplankton biomass or productivity) estimations, have postulated a direct coupling between phytoplankton biomass and the production of organic-rich marine primary aerosols (; Vignati et al., 2010). However, by analyzing other biological components combined with atmospheric dynamics, Rinaldi et al. (2013) showed a systematic delay between time series of oceanic Chl a and OM concentrations in atmospheric marine aerosols. ...
... Still, the obtained results are controversial. On one side, some field studies in the North Atlantic (Vignati et al., 2010) based on chlorophyll a (Chl a) concentration (a proxy of phytoplankton biomass or productivity) estimations, have postulated a direct coupling between phytoplankton biomass and the production of organic-rich marine primary aerosols (;
Vignati et al., 2010)
. However, by analyzing other biological components combined with atmospheric dynamics, Rinaldi et al. (2013) showed a systematic delay between time series of oceanic Chl a and OM concentrations in atmospheric marine aerosols. ...
Sea Ice Microbiota in the Antarctic Peninsula Modulates Cloud-Relevant Sea Spray Aerosol Production
Sea spray aerosol (SSA) formation plays a major role in the climate system. The Antarctic Peninsula (AP) is affected by the greatest warming occurring in the Southern Ocean; changes in cryospheric and biological processes are being observed. Whilst there is some evidence that organic material produced by ice algae and/or phytoplankton in the high Arctic contributes to SSA, less is known about Antarctic Sea ice (sympagic) regions. To gain insight into the influence of Antarctic Sea ice biology and biogeochemistry on atmospheric aerosol, we report simultaneous water-air measurements made by means of in situ aerosol chamber experiments. For the first time, we present a methodology showing that the controlled plunging jet aerosol chamber settings do not cause major cell disruption on the studied sea ice ecosystems. Larger sea ice phytoplankton cells (>20 µm; mainly diatoms) tend to sediment at the bottom of the chamber (during the 24h experiment) and likely have a minor role on SSA production. When comparing four chamber experiments - we find that the two producing more SSA are the ones with highest abundance of nanophytoplankton cells (<20 µm; mainly nanoflagellates) as well as viruses. Our marine biogeochemical data show two broad groups of dissolved organic carbon: one rich in carbohydrates and proteic material and one rich in humic-like substances; the latter enhancing SSA production. This work provides unique insights into sea ice productivity that modulates SSA production, with potentially significant climate impacts. Further studies of these types are advised in order to see how microbiology impacts the biogeochemical cycling of elements and how aerosols are formed and processed in cold regions.
... Sea spray aerosol (SSA) is an important component of the aerosol population in the marine environment, and given that 70 % of the Earth's surface is covered by oceans, it contributes significantly to the global aerosol budget
(Vignati et al., 2010)
. In addition, sea spray aerosol plays an important role in climate, with both direct (Bates et al., 2006;Mulcahy et al., 2008;Vaishya et al., 2011;Rap et al., 2013) and indirect radiative effects (O'Dowd et al., 1999;Andreae and Rosenfeld, 2008). ...
... The present SSSF does not include organic matter which is a very important part of the sea spray aerosol, in particular for the smallest particles , which can act as cloud condensation nuclei. Therefore, we suggest to use the OSSA-SSSF to obtain the total sea spray aerosol fluxes and to derive the organic fraction by using the parameterization developed by Rinaldi et al. (2013) in a way it was used before in several other studies
Vignati et al., 2010;
Gantt et al., 2011). There is also evidence that micro-organisms affect the viscosity of sea water (Seuront et al., 2010) so that biological activity may be taken into account via the viscosity, like the effect of temperature and salinity; however, further studies and parameterizations are required on this topic in order to separate the different effects and relate the viscosity to observables like chlorophyll-a concentrations. ...
Understanding constraints on private irrigation adoption decisions under uncertainty in data constrained settings: A novel empirical approach tested on Ecuadorian Cocoa cultivations
Article
Francesco Cavazza
Cristian Jordan Diaz
In rural areas of LatinAmerican Countries, irrigation requirements for perennial crops, like cocoa are expected to increase. This paper develops a novel holistic approach to model private investment decisions in irrigation adoption by small and mid-sized cocoa farmers that face competing sources of uncertainty. In agricultural studies data collection through surveys often leads to issues of missing information on key measured variables. Our approach deals simultaneously with the issue of endogeneity of considering diverse risk sources and with the missing values in key covariates. The study considers multiple levels of irrigation adoption in a context where traditional and modern irrigation systems might coexist. The main contributions of this paper are both its methodological approach and its empirical application filling a knowledge gap on irrigation adoption.
... Several studies have also found that measured organic matter in SSA correlates more strongly with ocean [Chl a] than with other satellite-retrieved ocean chemistry variables, such as particulate organic carbon, dissolved organic carbon, and colored dissolved and detrital organic matter (O'Dowd et al., 2004;Sciare et al., 2009;Gantt et al., 2011;Rinaldi et al., 2013). O'Dowd et al. (2008) proposed a MOA emission parameterization, which was further modified by and
Vignati et al. (2010)
. In this parameterization, the fraction of emitted organic matter in SSA has a linear relationship with ocean [Chl a] and is not dependent on surface wind speed. ...
... Gantt et al. (2011) took a step fur-ther, and developed an emission parameterization in which the organic matter fraction is an empirical function of ocean [Chl a], 10 m wind speed, and aerosol size. Both parameterizations from Gantt et al. (2011) and
Vignati et al. (2010)
were found to capture the magnitude of MOA concentrations compared to observations, but the parameterization from had a better representation of seasonal variability of MOA concentrations at Amsterdam Island and Mace Head, Ireland . Rinaldi et al. (2013) also developed a MOA emission parameterization that depends on surface wind speed and [Chl a], and by assuming an 8-10 d time lag between upwind ocean [Chl a] and enhanced production of MOA, the correlation between enriched MOA and [Chl a] was improved. ...
Effects of marine organic aerosols as sources of immersion-mode ice-nucleating particles on high-latitude mixed-phase clouds
Susannah M. Burrows
Mixed-phase clouds are frequently observed in high-latitude regions and have important impacts on the surface energy budget
and regional climate. Marine organic aerosol (MOA), a natural source of
aerosol emitted over ∼ 70 % of Earth's surface, may
significantly modify the properties and radiative forcing of mixed-phase
clouds. However, the relative importance of MOA as a source of ice-nucleating particles (INPs) in comparison to mineral dust, and MOA's effects
as cloud condensation nuclei (CCN) and INPs on mixed-phase clouds are still
open questions. In this study, we implement MOA as a new aerosol species
into the Community Atmosphere Model version 6 (CAM6), the atmosphere
component of the Community Earth System Model version 2 (CESM2), and allow
the treatment of aerosol–cloud interactions of MOA via droplet activation
and ice nucleation. CAM6 reproduces observed seasonal cycles of marine
organic matter at Mace Head and Amsterdam Island when the MOA fraction of
sea spray aerosol in the model is assumed to depend on sea spray biology
but fails when this fraction is assumed to be constant. Model results
indicate that marine INPs dominate primary ice nucleation below 400 hPa over
the Southern Ocean and Arctic boundary layer, while dust INPs are more
abundant elsewhere. By acting as CCN, MOA exerts a shortwave cloud forcing
change of −2.78 W m−2 over the Southern Ocean in the austral summer.
By acting as INPs, MOA enhances the longwave cloud forcing by 0.35 W m−2 over the Southern Ocean in the austral winter. The annual global
mean net cloud forcing changes due to CCN and INPs of MOA are −0.35 and
0.016 W m−2, respectively. These findings highlight the vital
importance for Earth system models to consider MOA as an important
aerosol species for the interactions of biogeochemistry, hydrological cycle,
and climate change.
... Ocean-atmosphere interactions play a key role in the climate system, from local to global scale. The ocean, 70% of the Earth surface, is the major source of aerosol particles in the atmosphere, in terms of mass
(Vignati et al., 2010)
. In particular, marine aerosol is considered one of the most significant contributors to the atmospheric particle burden over remote oceanic locations O'Dowd et al., 2008). ...
... In details, Rinaldi et al. (2013) reported that an 8-day time-lagged correlation exists between satellite retrieved CHL concentration and organic enrichment in the SSA measured at MHD, analyzing a data set of marine aerosol samples collected from 2002 to 2009. Said paper improved previous works by Langmann et al. (2008) and
Vignati et al. (2010)
was the first one to introduce the spatio-temporal correlation approach for investigating the relationship between marine aerosol properties and biological activity. O'Dowd et al. (2015) illustrated a clear dependency of the organic fraction of SSA on biological activity with a 24-day time lag by using high-resolution aerosol chemical composition measurements from 2009 to 2011. ...
Linking Marine Biological Activity to Aerosol Chemical Composition and Cloud‐Relevant Properties Over the North Atlantic Ocean
The ways in which marine biological activity affects climate, by modifying aerosol properties, are not completely understood, causing high uncertainties in climate predictions. In this work, in‐situ measurements of aerosol chemical composition, particle number size distribution, cloud condensation nuclei (CCN) and ice nucleating particle (INP) number concentrations are combined with high‐resolution sea surface chlorophyll‐a concentration (CHL) and back‐trajectory data to elucidate the relationship between oceanic biological activity and marine aerosol. The measurements were performed during an intensive field campaign conducted in late summer (August‐September) 2015 at the Mace Head Research Station (MHD). At the short time scale (1‐2 months) of the experiment, we observed a clear dependency of the main aerosol physico‐chemical and cloud‐relevant properties on the patterns of biological activity, in specific oceanic regions with a delayed response of about 1‐3 weeks. The oceanic region comprised between 47°−57° N and 14°−30° W was identified as the main source of biogenic aerosols during the campaign, with hints of some minor influence of waters up to the Greenland coast. These spatial and temporal relationships demonstrate that the marine biota influences aerosol properties under a variety of features up to the most cloud‐relevant properties. Such dependency of aerosol properties with oceanic biological activity was previously reported over the North Atlantic Ocean only for multi‐year datasets, where the correlation may be enhanced by coincident seasonalities. A better knowledge of these short time‐scale interactions may lead to a significant improvement in understanding the ocean‐atmosphere‐cloud system, with important impacts on climate science.
... Primary emissions can contain organic material as coated bubbles burst at the ocean's surface, in part derived from the organic-rich microlayer at the ocean surface (Bigg and Leck, 2008;Lion and Leckie, 1981). Marine organic aerosol particle mass is highly dependent on biological productivity in the surface ocean (O'Dowd et al., 2008;Sciare et al., 2009), and some meso-scale and global atmospheric models use Chl-a to predict sea spray organic fractions (Langmann et al., 2008;
Vignati et al., 2010)
; however, the impact of seawater organic content on CCN number concentration differs in the literature. Estimates indicate the increase of sea spray mass due to organic enrichment accounts for < 50% increase in CCN abundance (Burrows et al. 2018). ...
Sea2Cloud: From Biogenic Emission Fluxes to Cloud Properties in the Southwest Pacific
The goal of the Sea2Cloud project is to study the interplay between surface ocean biogeochemical and physical properties, fluxes to the atmosphere and ultimately their impact on cloud formation under minimal direct anthropogenic influence. Here we present an interdisciplinary approach, combining atmospheric physics and chemistry with marine biogeochemistry, during a voyage between 41 and 47°S in March 2020. In parallel to ambient measurements of atmospheric composition and seawater biogeochemical properties, we describe semi-controlled experiments to characterize nascent sea spray properties and nucleation from gas-phase biogenic emissions. The experimental framework for studying the impact of the predicted evolution of ozone concentration in the Southern Hemisphere is also detailed. After describing the experimental strategy, we present the oceanic and meteorological context including provisional results on atmospheric thermodynamics, composition, and flux measurements. In situ measurements and flux studies were carried out on different biological communities by sampling surface seawater from subantarctic, subtropical and frontal water masses. Air-Sea-Tanks (ASIT) were used to quantify biogenic emissions of trace gases under realistic environmental conditions, with nucleation observed in association with biogenic seawater emissions. Sea spray continuously generated produced sea spray fluxes of 34% of organic matter by mass, of which 4% particles had fluorescent properties, and which size distribution ressembled the one found in clean sectors of the Southern Ocean. The goal of Sea2Cloud is to generate realistic parameterizations of emission flux dependences of trace gases and nucleation precursors, sea spray, cloud condensation nuclei and ice nuclei using seawater biogeochemistry, for implementation in regional atmospheric models.
... Liquid fragmentation leading to the formation of droplets aerosols occurs in many natural and technological processes, including diverse phenomena as raindrops splashing on the ground leading to soil erosion or dispersal of spores and micro-organisms, production of sea spray aerosols (SSA), optimizing fuel injection, controlling ink-jet printing quality and enhancing pesticide spray yields in agricultural fields (Bergeron, Bonn, Martin, & Vovelle, 2000;Josserand & Thoroddsen, 2016;Rein, 1993;Yarin, 2006). Understanding therefore the formation of aerosols and their transport is crucial for instance to better account for their role in the earth radiation balance
(Vignati et al., 2010)
, the dissemination of pesticides in agricultural fields (Bergeron et al., 2000), the airborne contamination in the form of radionuclides in nuclear facilities (Motzkus, Gensdarmes, & Géhin, 2011) and the spreading of diseases in the air as recently highlighted by the COVID-19 pandemic (Balachandar, Zaleski, Soldati, Ahmadi, & Bourouiba, 2020;Wilson, Corbett, & Tovey, 2020). Generally, droplets aerosol consist of a suspension of liquid particles in the air with a negligible settling velocity, corresponding to droplet diameter typically below 100 μm (Renoux & Boulaud, 1998). ...
Aerosol generation by liquid jet impingement onto a solid surface
... In recent years, field measurements for the chemical components, sources and formation of marine aerosols have been widely studied in different oceanic areas (Fu et al., 2011;Kang et al., 2019;Kang et al., 2017;Kawamura et al., 2017). Marine aerosols could be contributed by both marine sources
(Vignati et al., 2010)
and terrestrial sources such as soil dust, biomass burning, fossil fuel combustion and industrial emissions (Fu et al., 2013b;Geng et al., 2019;Han et al., 2006), resulting in complex composition of aerosol particles over sea areas. Moreover, continental outflow may undergo longrange transport to the open ocean area, promoting secondary processes of organic aerosols (Fu et al., 2013a;Lyu et al., 2020;Shang et al., 2017;Yang et al., 2020). ...
Chemical characterization of marine aerosols from two cruises over the South China Sea: Importance of biomass burning and secondary formation
SCI TOTAL ENVIRON
Total suspended particle (TSP) samples were collected during June-July 2015 in the northern South China Sea (NSCS) and August-September 2016 in the western South China Sea (WSCS). Water-soluble ions (WSIs), organic carbon (OC), elemental carbon (EC), and organic compounds were measured. The average concentrations of WSIs, OC, EC and organic compounds were 19.4 ± 10.9 μg m-3, 2.48 ± 1.54 μgC m-3, 0.31 ± 0.25 μgC m-3 and 789 ± 217 ng m-3 in the NSCS, and were 10.2 ± 4.71 μg m-3, 1.76 ± 1.82 μgC m-3, 0.43 ± 0.32 μgC m-3 and 781 ± 342 ng m-3 in the WSCS. In both cruises, sea salt ions (Na+ and Cl-) and secondary inorganic ions (SO42-, NO3-, and NH4+) were the main species of WSIs, accounting for 54.0 % and 43.6 % in the NSCS, and for 35.0 % and 54.0 % in the WSCS. The secondary products (dicarboxylic acids and aromatic acids) (NSCS: 73.3 %; WSCS: 73.9 %) and saccharides (NSCS: 19.0 %; WSCS: 18.0 %) accounted large fractions of organic compounds in aerosol particles over the SCS. These results suggest sea salt emissions and secondary formation are the main sources of the aerosols over the SCS in summer. The positive correlations between the biomass burning tracers (nssK+ and levoglucosan) and OC as well as organic compounds indicated that biomass burning from nearby continents was also an important source of organic aerosols over SCS. Based on back-trajectory analysis and satellite fire spots, Indochina Peninsula and China were proposed as the main continental source areas of non-sea salt WSIs and organic compounds. Our results highlight the significant contribution of continental outflow especially biomass burning and photochemical secondary oxidation to the organic compositions of aerosol particles over the SCS in summertime.
... Some studies have shown that the submicron SSA could transport to site far away from coastal environments with mass concentrations ranging from 1 to 20 μg m − 3 (Bondy et al., 2017). Additionally, SSA is also an important source of bioaerosols (Verdugo et al., 2004;Gantt et al., 2009;Hawkins and Russell, 2010;
Vignati et al., 2010;
Gantt and Meskhidze, 2013;Bertram et al., 2018;Schiffer et al., 2018). Some biological species, such as exotoxins, endotoxins, and cell fragments emitted from phytoplankton and bacteria, can damage and disintegrate tissue cells in different mammals, resulting in acute inflammatory and anaphylactic reactions (Cheng et al., 2005;Lang-Yona et al., 2014;Medina-Perez et al., 2021;Van Acker et al., 2021). ...
A review of atmospheric aging of sea spray aerosols: Potential factors affecting chloride depletion
ATMOS ENVIRON
Bojiang Su
Tao Wang
Xinhui Bi
Sea spray aerosol (SSA) is the largest natural source of aerosols in the troposphere, and has profound potential significance for climate change, visibility, and human health. It has been shown that the aging process of SSA in the atmosphere by various chemical transformations can result in chloride depletion, releasing HCl, Cl2, ClNO2, etc. These active chlorine species can significantly affect the atmospheric oxidizing capacity in the troposphere and stratosphere. Compared with the fresh SSA, the aged SSA exhibits distinctly different behaviors in hygroscopicity, optical properties, and cloud condensation nuclei (CCN)/ice nuclei (IN) activity. The literature over the past three decades has dramatically broadened the knowledge of the chloride depletion and improved our understanding of the interconnection between the ocean, atmosphere, and SSA. This paper provides a critical review and synthesis of field observations and laboratory studies on chloride depletion of SSA. More specifically, we summarize recent discoveries in the various types of heterogeneous reactions that lead to chloride depletion, the experimental methodology, mechanism and potential influencing factors. General conclusions are drawn that the acidic species, particle size, types and mixing state, and environmental factors have a significant impact on chloride depletion of SSA. Particularly, the difference in mixing state between individual SSA plays a crucial role in chloride depletion but is still ambiguous. Finally, we conclude with a summary on the results and inadequacy of current laboratory and field studies on chlorine depletion of SSA and some future research perspectives.
... DMS, isoprene, amines, and carbohydrates (e.g. Dall'Osto et al. 2017;Zeppenfeld et al. 2021) that would participate, through aerosolization, in the formation of cloud condensation nuclei
(Vignati et al. 2010;
Carslaw et al. 2013;Zeppenfeld et al. 2021). Likewise, viruses, from the microlayer, could be detectable and "active" in aerosol particles having the ability to travel through the atmosphere to form clouds (Adams et al. 2021). ...
Abundance and activity of sympagic viruses near the Western Antarctic Peninsula
POLAR BIOL
Dolors Vaqué
The Western Antarctic Peninsula (WAP) has experienced significant changes in seawater temperature over the past 50 years. This warming affects seawater and sea ice microbial cycling of organic matter, where viral features could play a crucial role in sympagic sea ice melting environments. However, there is a lack of information about the sea ice viral abundances and processes (e.g. lysis rates and carbon release from microorganisms). To gain knowledge of sea ice viral, microbial, and chemical characteristics, we collected four different sea ice samples and their surrounding surface seawater during the Austral summer of 2019 north of the WAP. In each sample, we assessed viral and microbial abundances and environmental parameters. In the sea ice, we also measured viral-driven mortality rates on prokaryotes and protists and the consequent release of organic carbon. The viral and microorganism abundances in the sea ice were higher (4.5 ± 1.9 × 10⁶ viruses mL⁻¹; 1.5 ± 0.7 × 10⁶ prokaryotes mL⁻¹, 9.4 ± 5.0 × 10² protists mL⁻¹) than in the surrounding surface seawater (1.7 × 10⁶ viruses mL⁻¹, 0.4 × 10⁶ prokaryotes mL⁻¹, 7.1 × 10² protists mL⁻¹). Furthermore, viral lytic production on prokaryotes (4.5 ± 0.8 × 10⁵ mL⁻¹day⁻¹) and protists (1.9 ± 1.0 × 10⁴ mL⁻¹ day⁻¹) in sympagic environments had a higher viral impact on carbon release by protist (1.5 ± 1.1 µg C L⁻¹ day⁻¹) than by prokaryotes (0.3 ± 0.1 µg C L⁻¹ day⁻¹). Our results suggest that, after sea ice melting, viral abundances and activities may influence the functioning of the microbial food web by increasing the release of dissolved organic matter, affecting biogeochemical cycles and microbial communities in the underlying surface waters.
... 7]. Under certain conditions, organic matter has been shown to comprise a substantial fraction of the total particle mass, especially for those particles with diameters less than 1 mm, and, on a global scale, upwards of 8 Tg y À1 of primary submicrometer organic aerosol is estimated to originate as SSA 18,
19
which can be compared to global emission estimates of 34-144 Tg y À1 of total primary organic aerosol. 20 Indeed, it is well established that the organic mass fraction of SSA and aerosol diameter are inversely proportional [e.g. ...
Probing the impact of a phytoplankton bloom on the chemistry of nascent sea spray aerosol using high-resolution mass spectrometry
Sea spray aerosol is the largest natural source of aerosol to Earth’s atmosphere with significant impacts on climate. Despite this, estimates of the impact of sea spray aerosol on Earth’s radiation budget are highly uncertain due to an overall lack of understanding of the physical and chemical factors controlling its composition. Critically, results from studies probing the importance of oceanic biological activity on the amount and type of organic matter present in nascent sea spray aerosol have been ambiguous. Some field studies have shown a relationship between the organic fraction of sea spray aerosol and oceanic primary productivity while others have reported no such relationships. Given this, we have probed the composition of seawater and nascent sea spray aerosol during a phytoplankton bloom in the North Atlantic using a novel liquid chromatography–mass spectrometry method. We observed that the composition of dissolved organic matter present in seawater changed as the phytoplankton bloom progressed over an 18 day period. Further, we observed changes to both the chemical composition of the organic matter present in seawater and the chemical composition of the organic matter present in the sea spray aerosol despite the organic matter mass fraction of the aerosol remaining unchanged. More specifically, we observed that the nascent sea spray aerosol became progressively more enriched in surface-active organic substances as the bloom progressed and that the sea spray aerosol had a distinct organic matter composition compared to the seawater. Thus, our work provides additional insight into the biological dependence of nascent sea spray aerosol composition.
... Regional and global atmospheric models have long represented sea salt aerosol (i.e., the inorganic components of sea spray), but have only recently begun to include parameterizations of the organic components of sea spray that are associated with sea spray aerosol's ice-nucleation activity, for example,
Vignati et al. (2010)
, Long et al. (2011), Gantt et al. (2011. Most recently, modeling studies have applied existing marine organic aerosol INP parameterizations (McCluskey, Hill, Sultana, et al., 2018;Wilson et al., 2015) to modeled sea spray aerosol (McCluskey, Ovadnevaite, et al., 2018) and evaluated their impact on simulated clouds as CCN and INPs (Burrows, Easter et al., 2022Huang et al., 2018;X. ...
Ice‐Nucleating Particles That Impact Clouds and Climate: Observational and Modeling Research Needs
Susannah M. Burrows
Atmospheric ice‐nucleating particles (INPs) play a critical role in cloud freezing processes, with important implications for precipitation formation and cloud radiative properties, and thus for weather and climate. Additionally, INP emissions respond to changes in the Earth System and climate, for example, desertification, agricultural practices, and fires, and therefore may introduce climate feedbacks that are still poorly understood. As knowledge of the nature and origins of INPs has advanced, regional and global weather, climate, and Earth system models have increasingly begun to link cloud ice processes to model‐simulated aerosol abundance and types. While these recent advances are exciting, coupling cloud processes to simulated aerosol also makes cloud physics simulations increasingly susceptible to uncertainties in simulation of INPs, which are still poorly constrained by observations. Advancing the predictability of INP abundance with reasonable spatiotemporal resolution will require an increased focus on research that bridges the measurement and modeling communities. This review summarizes the current state of knowledge and identifies critical knowledge gaps from both observational and modeling perspectives. In particular, we emphasize needs in two key areas: (a) observational closure between aerosol and INP quantities and (b) skillful simulation of INPs within existing weather and climate models. We discuss the state of knowledge on various INP particle types and briefly discuss the challenges faced in understanding the cloud impacts of INPs with present‐day models. Finally, we identify priority research directions for both observations and models to improve understanding of INPs and their interactions with the Earth System.
... Sea salt aerosols are the main type of aerosol particles in the global coastal zone [30]. Vignati et al. estimated the total global emissions of sea salt aerosols to be about 24 Tg fine yr −1
[31]
. Dust aerosols are soil particles suspended in the atmosphere in deserts or areas with erodible dry soils and strong wind [32,33]. ...
Global and Regional Variations and Main Drivers of Aerosol Loadings over Land during 1980–2018
Aerosol particles originated from anthropogenic emissions, volcanic eruptions, biomass burning, and fossil combustion emissions, and their radiative effect is one of the most uncertain factors in climate change. Meanwhile, aerosol particles in fine particle size could also cause irreversible effects on the human respiratory system. This study attempted to analyse the spatial and temporal variations of global aerosol optical depth (AOD, 550 nm) during 1980–2018 using MERRA-2 aerosol reanalysis products and to investigate the effects of natural/anthropogenic emissions of different types of aerosols on AOD values. The results show that the global annual mean AOD values kept high levels with significant fluctuations during 1980–1995 and showed a consistent decreasing and less volatile trend after 1995. Spatially, the AOD values are relatively higher in the Northern Hemisphere than in the Southern Hemisphere, especially in North Africa (0.329), Northern India (0.235), and Eastern China (0.347), because of the intensive natural/anthropogenic aerosol emissions there. The sulphate-based aerosols emitted by biomass burning and anthropogenic emissions are the main types of aerosols worldwide, especially in densely populated and industrialized regions such as East Asia and Europe. Dust aerosols are also the main aerosol type in desert areas. For example, the AOD and AODP values for the Sahara Desert are 0.3178 and 75.32%, respectively. Both black carbon aerosols (BC) and organic carbon aerosols (OC) are primary or secondary from carbon emissions of fossil fuels, biomass burning, and open burning. Thus, the regions with high BC and OC aerosol loadings are mainly located in densely populated or vegetated areas such as East Asia, South Asia, and Central Africa. Sea salt aerosols are mainly found in coastline areas along the warm current pathway. This study could help relevant researchers in the fields of atmospheric science, environmental protection, air pollution, and ecological environment to understand the global spatial–temporal variations and main driving factors of aerosol loadings.
... Detected O'Dowd et al., 2004O'Dowd et al., , 2008Yoon et al., 2007;Fuentes et al., 2010;
Vignati et al., 2010;
Rinaldi et al., 2013;Long et al., 2014;Quinn et al., 2014 an important role in both regional and global biogeochemical cycling (Suttle, 2007;Mojica and Brussaard, 2014). Due to their high abundance and small size (20-200 nm diameter; Fuhrman, 1999), viruses are probably an important component of primary marine aerosol. ...
Ocean Aerobiology
Article
Full-text available
Ocean aerobiology is defined here as the study of biological particles of marine origin, including living organisms, present in the atmosphere and their role in ecological, biogeochemical, and climate processes. Hundreds of trillions of microorganisms are exchanged between ocean and atmosphere daily. Within a few days, tropospheric transport potentially disperses microorganisms over continents and between oceans. There is a need to better identify and quantify marine aerobiota, characterize the time spans and distances of marine microorganisms’ atmospheric transport, and determine whether microorganisms acclimate to atmospheric conditions and remain viable, or even grow. Exploring the atmosphere as a microbial habitat is fundamental for understanding the consequences of dispersal and will expand our knowledge of biodiversity, biogeography, and ecosystem connectivity across different marine environments. Marine organic matter is chemically transformed in the atmosphere, including remineralization back to CO 2 . The magnitude of these transformations is insignificant in the context of the annual marine carbon cycle, but may be a significant sink for marine recalcitrant organic matter over long (∼10 ⁴ years) timescales. In addition, organic matter in sea spray aerosol plays a significant role in the Earth’s radiative budget by scattering solar radiation, and indirectly by affecting cloud properties. Marine organic matter is generally a poor source of cloud condensation nuclei (CCN), but a significant source of ice nucleating particles (INPs), affecting the formation of mixed-phase and ice clouds. This review will show that marine biogenic aerosol plays an impactful, but poorly constrained, role in marine ecosystems, biogeochemical processes, and the Earth’s climate system. Further work is needed to characterize the connectivity and feedbacks between the atmosphere and ocean ecosystems in order to integrate this complexity into Earth System models, facilitating future climate and biogeochemical predictions.
... In this formulation, the ocean whitecap coverage fraction, W , is related to U 10 as W = 3.84 × 10 −6 × U 3.41 10 (Monahan and Muircheartaigh, 1980). This size-resolved flux is approximated by two lognormal distributions with number median dry radius values of 0.09 and 0.794 µm and geometric standard deviation of the accumulation and coarse modes of M7, respectively
(Vignati et al., 2010a)
. The weights of the distributions are determined by requiring that the mapping conserves the integrated number fluxes of particles with dry radius values in the ranges of 0.05-0.5 and 0.5-5 µm. ...
EC-Earth3-AerChem: A global climate model with interactive aerosols and atmospheric chemistry participating in CMIP6
This paper documents the global climate model EC-Earth3-AerChem,
one of the members of the EC-Earth3 family of models participating in the
Coupled Model Intercomparison Project Phase 6 (CMIP6). EC-Earth3-AerChem has
interactive aerosols and atmospheric chemistry and contributes to the
Aerosols and Chemistry Model Intercomparison Project (AerChemMIP). In this
paper, we give an overview of the model, describe in detail how it
differs from the other EC-Earth3 configurations, and outline the new features compared with the previously documented version of the model (EC-Earth
2.4). We explain how the model was tuned and spun up under preindustrial
conditions and characterize the model's general performance on the basis of
a selection of coupled simulations conducted for CMIP6. The net energy
imbalance at the top of the atmosphere in the preindustrial control
simulation is on average −0.09 W m−2 with a standard deviation due to
interannual variability of 0.25 W m−2, showing no significant drift.
The global surface air temperature in the simulation is on average 14.08 ∘C with an interannual standard deviation of 0.17 ∘C, exhibiting a small drift of 0.015 ± 0.005 ∘C per century.
The model's effective equilibrium climate sensitivity is estimated at 3.9 ∘C, and its transient climate response is estimated at 2.1 ∘C. The
CMIP6 historical simulation displays spurious interdecadal variability in
Northern Hemisphere temperatures, resulting in a large spread across
ensemble members and a tendency to underestimate observed annual surface
temperature anomalies from the early 20th century onwards. The observed
warming of the Southern Hemisphere is well reproduced by the model. Compared
with the ECMWF (European Centre for Medium-Range Weather
Forecasts) Reanalysis version 5 (ERA5), the surface air temperature climatology for 1995–2014 has an
average bias of −0.86 ± 0.05 ∘C with a standard deviation
across ensemble members of 0.35 ∘C in the Northern Hemisphere and
1.29 ± 0.02 ∘C with a corresponding standard deviation of
0.05 ∘C in the Southern Hemisphere. The Southern Hemisphere warm
bias is largely caused by errors in shortwave cloud radiative effects over
the Southern Ocean, a deficiency of many climate models. Changes in the
emissions of near-term climate forcers (NTCFs) have significant effects on
the global climate from the second half of the 20th century onwards. For the
SSP3-7.0 Shared Socioeconomic Pathway, the model gives a global warming at
the end of the 21st century (2091–2100) of 4.9 ∘C above the
preindustrial mean. A 0.5 ∘C stronger warming is obtained for
the AerChemMIP scenario with reduced emissions of NTCFs. With concurrent
reductions of future methane concentrations, the warming is projected to be
reduced by 0.5 ∘C.
... In addition, dried sludge debris can be carried by the wind. Similarly, MPs and NPs can be carried in onshore winds in sea salt aerosols
(Vignati et al., 2010)
, potentially exposing marine workers or individuals residing in coastal regions (Wright and Kelly, 2017); however, the major sources of airborne microscopic particulates, whether at sea or on land, are generally considered to be terrestrial (K. . Airborne MP/NP particulates have been detected widely, with associated risk of inhalation exposure; sources include indoor and outdoor dust, tyres and synthetic fibres from textiles (Dris et al., 2017;Prata, 2018). ...
The State of the Art on the Potential Human Health Impacts of Microplastics and Nanoplastics
... The selected parameters are representative for the groups identified by PCA(Fig. coastal areas(Myriokefalitakis et al., 2016;
Vignati et al., 2010)
. ...
Trends of nutrients and metals in precipitation in northern Germany: the role of emissions and meteorology
We analyzed the precipitation chemistry for a maritime region in northern Germany (Schleswig–Holstein) from 1997 to 2017 in order to reveal temporal and spatial patterns and to evaluate the role of meteorological factors relative to emission reductions in Germany and Europe. Therefore, we applied several statistical methods such as time series decomposition, principal component, and redundancy analysis. We extracted two main groups: (i) a marine group (Cl, Na, Mg) that was related to natural processes like sea spray input and (ii) an anthropogenic group (Pb, Cd, As, Zn, and nitrogen species) with a terrestrial subgroup (Fe, Al, Mn), which were both related to emissions. These groups were valid for the spatial, seasonal, and annual trend data. Other elements, like Ca, K, total P, and sulfate, were influenced by natural and anthropogenic processes. The seasonal variation of ammonium deposition was caused primarily by ammonia emissions and ancillary by precipitation. Most heavy metals as well as sulfate, nitrate, and ammonium showed decreasing trends in concentrations and deposition fluxes. Only Hg did not show any trend. The decreasing depositions of sulfate and total nitrogen were correlated to emission reductions in Germany. The deposition of most heavy metals was influenced by emission reductions on European scale and meteorological factors such as wind speed and humidity. Hg did not show any correlation with the emission time series in Europe. Instead, it was correlated to the NAO index and wind, implying that global emissions and transport pathways determine the temporal development of Hg depositions. Overall, the study reveals that emission reductions positively influence regional depositions for most investigated substances. The regional spatial patterns of depositions were also influenced by local meteorological factors.
View
... Oceanic P emissions associated with sea spray are computed online here based on a sea-salt emission flux parameterization of
Vignati et al. (2010)
, accounting for fine and coarse modes, with number mode dry radii of 0.09 and 0.794 µm, and lognormal standard deviations of 1.59 and 2.00 for accumulation and coarse particles, respectively. Sea-spray emissions are driven by the model's meteorology, and for the year 2008, the model calculates a total of about 8284 Tg yr −1 of sea-salt emissions (of which 41 Tg yr −1 are in the fine mode). ...
Myriokefalitakis bg-13-6519-2016
Article
Full-text available
Stelios Myriokefalitakis
M. Kanakidou
... This is in good agreement but slightly below the global PMOA emission rate of 6.3 Tg yr −1 found in Gantt et al. (2012), who use the same emission parameterisation but apply an additional global scaling factor of 6 in Eq. (3). The value is also within the range of emission rates calculated using different emission parameterisations in the same model (Gantt et al., 2012) and in numerous other modelling studies which span a range of 2-70 Tg yr −1 (see Gantt and Meskhidze, 2013, for a review) but with many studies showing values in the region of 10 Tg yr −1 Lapina et al., 2011;
Vignati et al., 2010)
. Scaling the PMOA emissions by a factor of 6 in Gantt et al. (2012) was found to lead to improved agreement of surface mass concentrations at Mace Head (53.33 • N,9.90 • W) and Amsterdam Is- land (37.80 • S, 77.57 ...
Description and evaluation of aerosol in UKESM1 and HadGEM3-GC3.1 CMIP6 historical simulations
Article
Full-text available
Dec 2020
GMD
Jane Mulcahy
Colin E. Johnson
Colin Jones
Andrew Yool
We document and evaluate the aerosol schemes as implemented in the physical and Earth system models, the Global Coupled 3.1 configuration of the Hadley Centre Global Environment Model version 3 (HadGEM3-GC3.1)
and the United Kingdom Earth System Model (UKESM1), which are contributing to the sixth Coupled Model Intercomparison Project (CMIP6).
The simulation of aerosols in the present-day period of the historical ensemble of these models is evaluated
against a range of observations.
Updates to the aerosol microphysics scheme are documented as well as differences in the
aerosol representation between the physical and Earth system configurations.
The additional Earth system interactions included in UKESM1 lead to differences in the emissions of
natural aerosol sources such as dimethyl sulfide, mineral dust and organic aerosol and subsequent evolution
of these species in the model.
UKESM1 also includes a stratospheric–tropospheric chemistry scheme which is fully coupled to the aerosol scheme,
while GC3.1 employs a simplified aerosol chemistry mechanism driven by prescribed monthly climatologies of
the relevant oxidants.
Overall, the simulated speciated aerosol mass concentrations compare reasonably well with observations.
Both models capture the negative trend in sulfate aerosol concentrations over Europe and the eastern United
States of America (US)
although the models tend to underestimate sulfate concentrations in both regions.
Interactive emissions of biogenic volatile organic compounds in UKESM1 lead
to an improved agreement of organic aerosol over the US.
Simulated dust burdens are similar in both models despite a 2-fold difference in dust emissions.
Aerosol optical depth is biased low in dust source and outflow regions but performs well in
other regions compared to a number of satellite and ground-based retrievals of aerosol optical depth.
Simulated aerosol number concentrations are generally within a factor of 2 of the observations, with
both models tending to overestimate number concentrations over remote ocean regions, apart from
at high latitudes, and underestimate over Northern Hemisphere continents.
Finally, a new primary marine organic aerosol source is implemented in UKESM1 for the first time.
The impact of this new aerosol source is evaluated. Over the pristine Southern Ocean, it is found to improve the seasonal
cycle of organic aerosol mass and cloud droplet number concentrations relative to GC3.1
although underestimations in cloud droplet number concentrations remain.
This paper provides a useful characterisation of the aerosol climatology in both models
and will facilitate understanding in the numerous aerosol–climate interaction studies that will
be conducted as part of CMIP6 and beyond.
... Sea spray is the largest aerosol source on Earth by mass, with total global emissions estimated to be 1-3 × 10 16 g yr −1 (Erickson and Duce, 1988;
Vignati et al., 2010)
. Despite these large emissions, the impact of seawater biogeochemistry on SSA composition and INP activity remains uncertain. ...
A link between the ice nucleation activity and the biogeochemistry of seawater
Article
Full-text available
Dec 2020
ATMOS CHEM PHYS
Martin J. Wolf
Megan Goodell
Eric Dong
Daniel J. Cziczo
Emissions of ice-nucleating particles (INPs) from sea spray can impact climate and precipitation by changing cloud formation, precipitation, and albedo. However, the relationship between seawater biogeochemistry and the ice nucleation activity of sea spray aerosols remains unclarified. Here, we demonstrate a link between the biological productivity in seawater and the ice nucleation activity of sea spray aerosol under conditions relevant to cirrus and mixed-phase cloud formation. We show for the first time that aerosol particles generated from both subsurface and microlayer seawater from the highly productive eastern tropical North Pacific Ocean are effective INPs in the deposition and immersion freezing modes. Seawater particles of composition similar to subsurface waters of highly productive regions may therefore be an unrealized source of effective INPs. In contrast, the subsurface water from the less productive Florida Straits produced less effective immersion mode INPs and ineffective depositional mode INPs. These results indicate that the regional biogeochemistry of seawater can strongly affect the ice nucleation activity of sea spray aerosol.
... Since sub-micron SSAs have a longer life time in the atmosphere, they can show a considerable aerosol effects for a longer time compared to the super-micron SSAs.
4,
5 During bubble bursting, organic, inorganic, and biological materials dissolved in bulk sea water can be transferred into SSA. 2,6 Film and jet drops formation can control the size selective enrichment of surface active organic compounds in SSAs. ...
Phase State and Water Uptake Study of Individual Sea Spray Aerosol Particles Using Atomic Force Microscopy
Article
Jul 2020
Chathuri Kaluarachchi
Hansol D Lee
Alexei V Tivanski
Phase State and Water Uptake Study of Individual Sea Spray Aerosol Particles Using Atomic Force Microscopy - Chathuri Kaluarachchi, Hansol Lee, Alexei Tivanski
... Marine aerosols are one of the most important sources of atmospheric natural aerosol particles at the global level (Spracklen et al., 2008;
Vignati et al., 2010)
. They directly and indirectly alter the energy Science of the Total Environment 745 (2020) 140773 budget by absorbing and scattering solar radiation and acting as cloud condensation nuclei (CCN) (Quinn et al., 2017;O'Dowd and Leeuw, 2007). ...
Effect of sea ice retreat on marine aerosol emissions in the Southern Ocean, Antarctica
Article
Jul 2020
SCI TOTAL ENVIRON
Jinpei Yan
Jinyoung Jung
Qi Lin
Shuhui Zhao
... Its location, straddling the transition between the Ferrel and polar atmospheric circulation cells, gives rise to a relentless eastward procession of cyclonic low-pressure systems, which particularly develop in the southern Indian Ocean and to the south of Australia (Simmonds et al., 2003). Their associated high wind speeds and wave heights promote the generation of SSA, which contributes a major fraction of the global aerosol mass loading
(Vignati et al., 2010)
. ...
Marine productivity and synoptic meteorology drive summer-time variability in Southern Ocean aerosols
Article
Full-text available
Jul 2020
ATMOS CHEM PHYS
Joel Alroe
Luke T. Cravigan
Branka Miljevic
Zoran Ristovski
Cloud–radiation interactions over the Southern Ocean are not well
constrained in climate models, in part due to uncertainties in the sources,
concentrations, and cloud-forming potential of aerosol in this region. To date, most studies in this region have reported measurements from fixed
terrestrial stations or a limited set of instrumentation and often present findings as broad seasonal or latitudinal trends. Here, we present an
extensive set of aerosol and meteorological observations obtained during an
austral summer cruise across the full width of the Southern Ocean south of
Australia. Three episodes of continental-influenced air masses were
identified, including an apparent transition between the Ferrel atmospheric
cell and the polar cell at approximately 64∘ S, and accompanied
by the highest median cloud condensation nuclei (CCN) concentrations, at
252 cm−3. During the other two episodes, synoptic-scale weather
patterns diverted air masses across distances greater than 1000 km from the
Australian and Antarctic coastlines, respectively, indicating that a large
proportion of the Southern Ocean may be periodically influenced by
continental air masses. In all three cases, a highly cloud-active
accumulation mode dominated the size distribution, with up to 93 % of the
total number concentration activating as CCN. Frequent cyclonic weather
conditions were observed at high latitudes and the associated strong wind
speeds led to predictions of high concentrations of sea spray aerosol.
However, these modelled concentrations were not achieved due to increased
aerosol scavenging rates from precipitation and convective transport into
the free troposphere, which decoupled the air mass from the sea spray flux
at the ocean surface. CCN concentrations were more strongly impacted by high
concentrations of large-diameter Aitken mode aerosol in air masses which
passed over regions of elevated marine biological productivity, potentially
contributing up to 56 % of the cloud condensation nuclei concentration.
Weather systems were vital for aerosol growth in biologically influenced air
masses and in their absence ultrafine aerosol diameters were less than
30 nm. These results demonstrate that air mass meteorological history must
be considered when modelling sea spray concentrations and highlight the
potential importance of sub-grid-scale variability when modelling atmospheric conditions in the remote Southern Ocean.
... Sea spray is the largest aerosol source on Earth by mass, with total global emissions estimated to be 1 -3 × 10 16 g yr- , 1988;
Vignati et al., 2010)
. Despite these large emissions, the impact of seawater biogeochemistry on SSA composition and INP activity remains uncertain. ...
A Link between the Ice Nucleation Activity of Sea Spray Aerosol and the Biogeochemistry of Seawater
Preprint
Full-text available
Jun 2020
Martin J. Wolf
Megan Goodell
Eric Dong
Daniel J. Cziczo
Emissions of ice nucleating particles from sea spray can impact climate and precipitation by changing cloud formation, precipitation, and albedo. However, the relationship between seawater biogeochemistry and the ice nucleation activity of sea spray aerosols remains unclarified. Here, we demonstrate a link between the biological productivity in seawater and the ice nucleation activity of sea spray aerosol under conditions relevant to cirrus and mixed-phase cloud formation. We show for the first time that aerosol generated from both subsurface and microlayer seawater from the highly productive Eastern Tropical North Pacific Ocean are effective ice nucleating particles in the deposition and immersion freezing modes. Jet droplets aerosolized from the subsurface waters of highly productive regions may therefore be an unrealized source of effective INPs. In contrast, the subsurface water from the less productive Florida Straits produced less effective immersion mode INPs and ineffective depositional mode INPs. These results indicate that the regional biogeochemistry of seawater can strongly affect the ice nucleation activity of sea spray aerosol.
... Sea spray is a major component of our atmospheric aerosol; both directly, as sea salt particles, and indirectly, as it accumulates and carries both organic and inorganic material across the ocean atmosphere boundary. Sea spray emissions have been shown to contribute significantly to particulate organic matter in the atmosphere but the amount of that contribution remains uncertain, with estimates ranging from 7.5-76 Tg year À1
(Vignati et al. 2010;
Tsigaridis et al. 2013). Organic matter that concentrates at the air-sea boundary layer is in the direct vicinity of breaking waves and rising bubbles. ...
Philippe Le Sager
Shuting Yang
This paper documents the global climate model EC-Earth3-AerChem, one of the members of the EC-Earth3 family of models participating in the Coupled Model Intercomparison Project phase 6 (CMIP6). EC-Earth3-AerChem has interactive aerosols and atmospheric chemistry and contributes to the Aerosols and Chemistry Model Intercomparison Project (AerChemMIP). In this paper, we give an overview of the model and describe in detail how it differs from the other EC-Earth3 configurations, and what the new features are compared to the previously documented version of the model (EC-Earth 2.4). We explain how the model was tuned and spun up under pre-industrial conditions and characterize the model's general performance on the basis of a selection of coupled simulations conducted for CMIP6. The mean energy imbalance at the top of the atmosphere in the pre-industrial control simulation is −0.10 ± 0.25 W m−2 and shows no significant drift. The corresponding mean global surface air temperature is 14.05 ± 0.16 °C, with a small drift of −0.075 ± 0.009 °C per century. The model's effective equilibrium climate sensitivity is estimated at 3.9 °C and its transient climate response at 2.1 °C. The CMIP6 historical simulation displays spurious interdecadal variability in Northern Hemisphere temperatures, resulting in a large spread among ensemble members and a tendency to underestimate observed annual surface temperature anomalies from the early 20th century onwards. The observed warming of the Southern Hemisphere is well reproduced by the model. Compared to the ERA5 reanalysis of the European Centre for Medium-Range Weather Forecasts, the ensemble mean surface air temperature climatology for 1995–2014 has an average bias of −0.86 ± 0.35 °C in the Northern Hemisphere and 1.29 ± 0.05 °C in the Southern Hemisphere. The Southern Hemisphere warm bias is largely caused by errors in shortwave cloud radiative effects over the Southern Ocean, a deficiency of many climate models. Changes in the emissions of near-term climate forcers (NTCFs) have significant climate effects from the 20th century onwards. For the SSP3-7.0 shared socio-economic pathway, the model gives a global warming at the end of the 21st century (2091–2100) of 4.9 °C above the pre-industrial mean. A 0.5 °C stronger warming is obtained for the AerChemMIP scenario with reduced emissions of NTCFs. With concurrent reductions of future methane concentrations, the warming is projected to be reduced by 0.5 °C.
Seasonal characteristics of emission, distribution and radiative effect of marine organic aerosols over the western Pacific Ocean: an analysis combining observations with regional modeling
Preprint
Full-text available
Oct 2020
Jiawei Li
Zhiwei Han
Pingqing Fu
Xiaohong Yao
Organic aerosols from marine sources over the western Pacific Ocean of East Asia were investigated by using an online-coupled regional chemistry-climate model RIEMS-Chem for the entire year 2014. Model evaluation against a wide variety of observations from research cruises and in-situ measurements demonstrated a good skill of the model in simulating temporal variation and spatial distribution of particulate matter with aerodynamic diameter less than 2.5 μm and 10 μm (PM2.5 and PM10), black carbon (BC), organic carbon (OC), and aerosol optical depth (AOD) in marine atmosphere. The inclusion of marine organic aerosols apparently improved model performance on OC aerosol concentration, reducing the normalized mean biases from −19 % to −13 % (KEXUE-1 cruise) and −21 % to −3 % (Huaniao Island) over the marginal seas of east China, and from 33 % to 5 % (Dongfanghong II cruise) and from −13 % to 3 % (Chichijima Island) over remote oceans of the western Pacific. It was found that marine primary organic aerosol (MPOA) accounted for majority of marine organic aerosol (MOA) mass in the western Pacific. High MPOA emission mainly occurred over the marginal seas of China and remote oceans of the western Pacific northeast of Japan. The seasonality of MPOA emission is determined by the combined effect of Chlorophyll-a (Chl-a) concentration and sea salt emission flux, exhibiting the maximum in autumn and the minimum in summer in terms of domain average over the western Pacific. The annual mean MPOA emission rate was estimated to be 0.16×10−2 μg m−2 s−1, yielding an annual MPOA emission of 0.78 Tg yr−1 over the western Pacific, which potentially accounted for approximately 8~12 % of global annual MPOA emission. The regional and annual mean near surface MOA concentration was estimated to be 0.27 μg m−3 over the western Pacific, with the maximum in spring and the minimum in winter, resulting from the combined effect of MPOA emission, dry and wet depositions. Marine secondary organic aerosol (MSOA) produced by marine biogenic VOCs (isoprene and monoterpene) was approximately 1~2 orders of magnitude lower than MPOA. The simulated annual and regional mean MSOA was 2.2 ng m−3, with the maximum daily mean value up to 28 ng m−3 over the western Pacific in summer. MSOA had a distinct summer maximum and winter minimum in the western Pacific, generally consistent with the seasonality of marine isoprene emission flux. In terms of annual mean, 26 % of the total organic aerosol concentration was contributed by MOA over the western Pacific, with an increasing importance of MOA from the marginal seas of China (13 %) to remote oceans of the western Pacific (42 %). MOA induced a minor direct radiative effect (DRE), with a domain and annual mean of −0.21 W m−2 at the top of the atmosphere (TOA) under all-sky condition over the western Pacific, whereas the mean indirect radiative effect (IRE) due to MOA at TOA (IREMOA) was estimated to be −4.2 W m−2. MSOA contributed approximately 6 % of the annual and regional mean IREMOA over the western Pacific, with the maximum seasonal mean contribution up to 14 % in summer, which meant MPOA dominated the IREMOA. It was noteworthy that the IREMOA accounted for approximately 32 % of that due to all aerosols over the western Pacific of East Asia, indicating an important role of MOA in perturbing cloud properties and shortwave radiation in this region.
Enrichment of calcium in sea spray aerosol in the Arctic summer atmosphere
Article
Dec 2020
MAR CHEM
Pami Mukherjee
John R Reinfelder
Yuan Gao
Significant calcium enrichment relative to seawater was observed in bulk and size-segregated aerosols in the marine atmospheric boundary layer over the Arctic Ocean in summer. The calcium enrichment factor generally increased with decreasing particle size (aerodynamic diameter) in the fine mode (particle size <1.8 μm), especially within the particle size ranges of 1.8 μm to 0.56 μm and 0.18 μm to 0.1 μm. Potassium was slightly enriched and showed a similar trend of enrichment in fine mode particles. No positive enrichment was observed for magnesium. Calcium bound to certain organic compounds and possibly calcareous debris from marine organisms may have contributed to the calcium enrichment in aerosols. Model results predict that observed calcium enrichments would increase hygroscopic growth in both coarse (10 μm and 5.6 μm) and fine (0.56 μm and 1 μm) aerosol particles. Possible alteration of this model result due to interactions with anions notwithstanding, increases in hygroscopic growth would be particularly important in the Arctic summer when sea-salts constitute the major fraction of aerosol dry mass. This study provides unique insights into ocean-atmosphere chemical interactions in the high-latitude Arctic Ocean.
Aerosol in Global Atmosphere
Chapter
Colin O'Dowd
Does Marine Surface Tension Have Global Biogeography? Addition for the OCEANFILMS Package
Preprint
Full-text available
Scott Elliott
Susannah M. Burrows
P. Cameron-Smith
Oliver William Wingenter
We apply principles of Gibbs phase plane chemistry to and across the entire ocean-atmospheric interface. Surface tension increments support a two dimensional, tangential pressure well known to determine rates of bulk gas, bubble, salt, spray and momentum transfer plus both sensible and latent heat fluxes. Hence it is worth asking whether tension mapping follows from current understanding of two dimensional composition. A history is provided dating back centuries and demonstrating that detrital organic macromolecules are central; subtle surfactant functional variation creates a microforcing field which dissipates turbulent energy at the sub-meter scale. Since we have just distributed major biopolymeric classes emitted as primary organic aerosol, further climate links can be established by considering full planar thermochemistry. Organic microlayer behaviors are reviewed with attention to confined, analog phase transitions among two dimensional “solid, liquid, (and) gaseous” states serving as elasticity indicators. We also discuss surfactant properties of general marine dissolved organic carbon, demonstrating that only proteins and lipids are capable of occupying significant local micro-area. The literature often suggests albumin and stearic acid as best proxies, and so we distribute their concentrations through multilevel global ecodynamic simulations. Consensus distributions are obtained in order to control adsorptive equilibria. Working from conservation of planar free energy, a parametric equation of state is devised relating excess coverage to the surface pressure-modulus. Constant settings for the proxy pair are drawn from laboratory study, and they successfully reproduce frequencies for surfactant solid-to-gas occurrence in ambient compression experiments. Functionally resolved organic measurements are rare and so we group them into super-ecological province tables showing that our bulk concentration estimates are reasonable. Outputs are then fed into a coverage-tension-elasticity code. Resulting contours traverse the critical range for piston velocity, bubble-spray and damping effects on either a regional or seasonal basis. There is also a possibility for widespread microlayer crystallization in polar seas. The concepts are a direct extension of our organic aerosol work, and the two approaches could be inserted into Earth System Models in tandem. Uncertainties in the logic are enumerated and include kinetic and thermochemical factors at multiple scales. But the problems are reducible through molecular modeling coupled to renewed laboratory and field study. Connections to marine colloids-gels, microlayer iron chelation, and linings of the ice channel network are discussed additionally.
The UNAM-Droplet Freezing Assay: An Evaluation of the Ice Nucleating Capacity of the Sea-Surface Microlayer and Surface Mixed Layer in Tropical and Subpolar Waters
Article
Full-text available
Jan 2022
ATMOSFERA
Luis A. Ladino
Javier Juárez
Zyanya Itandehui Ramírez Díaz
María Fernanda Córdoba
Ice nucleating particles (INPs) in the atmosphere are necessary to generate ice crystals in mixed-phase clouds, a crucial component for precipitation development. The sources and composition of INPs are varied: from mineral dust derived from continental erosion to bioaerosols resulting from bubble bursting at the ocean surface. The performance of a home-built droplet freezing assay (DFA) device for quantifying the ice nucleating abilities of water samples via immersion freezing has been validated against both published results and analyses of samples from sea surface microlayer (SML) and bulk surface water (BSW) from the Gulf of Mexico (GoM) and Saanich Inlet, off Vancouver Island (VI), Canada. Even in the absence of phytoplankton blooms, all the samples contained INPs at moderate concentrations, ranging from 6.0x10^1 to 1.1x10^5 L-1 water. The freezing temperatures (i.e., T50, the temperature at which 50% of the droplets freeze) of the samples decreased in order of VI SML > GoM BSW > GoM SML, indicating that the higher latitude coastal waters have a greater potential to initiate cloud formation and precipitation.
Chemical characterization of PM2.5 and PM2.5–10 samples collected in urban site in Mediterranean coast of Turkey
Article
Aug 2020
APR
Ahmet Mustafa Tepe
Güray Doğan
Cities located on Eastern Mediterranean is exposed to both local and distant anthropogenic and natural sources. In this study, to determine the effect of these sources on Particulate Matter (PM) concentrations in a coastal city, particulate matter with diameters less than 2.5 μm (PM2.5) and with diameters between 2.5 and 10 μm (PM2.5−10) were collected once in a two-day period for 24 h between July 2014 and July 2015 in downtown Antalya which is located on the Mediterranean coast of Turkey. Antalya is one of the fast growing city of Turkey with a population of 2.3 million. Samples were analyzed using an energy-dispersive X-ray fluorescence for 15 elements (Na, Mg, Al, Si, S, K, Ca, Ti, V, Mn, Fe, Cu, Zn, As, Pb). Statistical parameters were calculated for all measured elements in fine (PM2.5) and coarse (PM2.5−10) fraction. Crustal and marine elements, such as Ti, Ca, Al and Na were abundant in the course fraction. Only S was found in higher concentration in the fine fraction. Monthly variation of Crustal Enrichment Factor ( EFC) results of Si showed that the area was under influence of non-local crustal dust especially during spring and late summer. EFC also indicated that during winter season, fine fraction K was due to local wood combustion. Source regions of S was determined using Potential Source Contribution Function (PSCF) and compared with previous studies conducted at a rural site of Antalya approximately twenty years ago. Most of the source regions affecting S concentrations at the Eastern Mediterranean region were found out to be same: western Anatolia, Marmara region, the Aegean Sea coasts of Greece and some parts of Bulgaria and Romania. However, due to decrease in SO2 emissions over the northeast coast of Black Sea and between Caspian Sea and Ukraine, the region was not turned up to be a source region.
Sea Spray and Gas Transfer
Chapter
Apr 2020
Allison Staniec
Penny Vlahos
Edward C. Monahan
In this Chapter we investigate the natural complement of bubble plumes (air entrained in water), sea spray (water entrained in air). As air is entrained in the surface ocean under breaking waves, sea spray is generated from the bubble plumes and the breaking waves themselves. In the same way as bubble plumes, the size distribution and volume flux of sea spray is related to wind speed. The work involving sea spray has been modest relative to its counterpart though significant strides have been made. The momentum and heat flux transfer associated with spray droplets has been reasonably characterized, though the role of sea spray in gas exchange has not. We introduce the Andreas Gas Exchange Sea Spray model (AGES) as an effort to advance our knowledge of sea spray-mediated exchange and present a case study of the role sea spray may serve in gas exchange of the North and South Atlantic Ocean.
Field Observations of Secondary Organic Aerosols
Chapter
Apr 2020
Hajime Akimoto
Jun Hirokawa
In secondary organic aerosol, various kinds of oxygenated compounds are contained. This chapter summarizes our knowledge on global budget of atmospheric aerosols and methodology of characterizing chemical species measured in ambient aerosols. It presents an analysis method of positive matrix factorization based on the measurement by the aerosol mass spectrometer followed by the analysis of the ratios of mass number peak intensity, and elemental ratios. The chapter describes the characteristics of aerosols in the clean marine air little affected by anthropogenic and terrestrial influence. It discusses organic aerosols formation in the forest air focusing on tropical forests in Amazonia and boreal forest in Finland. The chapter introduces studies clarifying the characteristics of aerosols in urban air using the analytical methods.
Description and evaluation of aerosol in UKESM1 and HadGEM3-GC3.1 CMIP6 historical simulations
Preprint
Full-text available
Mar 2020
Jane Mulcahy
Colin E. Johnson
Colin Jones
Andrew Yool
Abstract. We document and evaluate the aerosol schemes as implemented in the physical and Earth system models, HadGEM3-GC3.1 (GC3.1) and UKESM1, which are contributing to the 6th Coupled Model Intercomparison Project (CMIP6). The simulation of aerosols in the present-day period of the historical ensemble of these models is evaluated against a range of observations. Updates to the aerosol microphysics scheme are documented as well as differences in the aerosol representation between the physical and Earth system configurations. The additional Earth-system interactions included in UKESM1 leads to differences in the emissions of natural aerosol sources such as dimethyl sulfide, mineral dust and organic aerosol and subsequent evolution of these species in the model. UKESM1 also includes a stratospheric-tropospheric chemistry scheme which is fully coupled to the aerosol scheme, while GC3.1 employs a simplified aerosol chemistry mechanism driven by prescribed monthly climatologies of the relevant oxidants. Overall, the simulated speciated aerosol mass concentrations compare reasonably well with observations. Both models capture the negative trend in sulfate aerosol concentrations over Europe and the eastern United States of America (US) although the models tend to underestimate the sulfate concentrations in both regions. Interactive emissions of biogenic volatile organic compounds in UKESM1 lead to an improved agreement of organic aerosol over the US. Simulated dust burdens are similar in both models despite a 2-fold difference in dust emissions. Aerosol optical depth is biased low in dust source and outflow regions but performs well in other regions compared to a number of satellite and ground-based retrievals of aerosol optical depth. Simulated aerosol number concentrations are generally within a factor of 2 of the observations with both models tending to overestimate number concentrations over remote ocean regions, apart from at high latitudes, and underestimate over Northern Hemisphere continents. Finally, UKESM1 includes for the first time a representation of a primary marine organic aerosol source. The impact of this new aerosol source is evaluated. Over the pristine Southern Ocean, it is found to improve the seasonal cycle of organic aerosol mass and cloud droplet number concentrations relative to GC3.1 although underestimations in cloud droplet number concentrations remain. This paper provides a useful characterization of the aerosol climatology in both models facilitating the understanding of the numerous aerosol-climate interaction studies that will be conducted as part of CMIP6 and beyond.
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| https://www.researchgate.net/publication/248344160_Global_scale_emission_and_distribution_of_sea-spray_aerosol_Sea-salt_and_organic_enrichment |
Who Invented Bathtubs, Toilets, Showers, and Fountains?
Plumbing has always been about sanitation, a concept that goes as far back as ancient times.
The History of Plumbing
Elizabeth Weintraub
Plumbing comes from the Latin word for lead, which is plumbum. Plumbing by definition is a utility that we use in our buildings consisting of the pipes and fixtures for the distribution of water or gas and for the disposal of sewage. The word sewer comes from the French word essouier, meaning "to drain."
But how did plumbing systems come together? Surely it didn't happen at once, right? Of course not. Let's go over the main fixtures of modern-day plumbing systems. These include toilets, bathtubs and showers and water fountains.
Let There Be Water Fountains
The modern drinking fountain was invented and then manufactured in the early 1900s by two men and the respective company each man founded.Halsey Willard Taylorand the Halsey Taylor Company along with Luther Haws and the Haws Sanitary Drinking Faucet Co were the two companies that changed how water was served in public places.
Taylor's interest in developing a fountain for drinking water began when his father died of typhoid fever caused by contaminated public drinking water. His father's death was traumatic and motivated him to invent a water fountain to provide safer drinking water.
Meanwhile, Haws was a part-time plumber, sheet metal contractor and the sanitary inspector for the city of Berkeley in California. While inspecting a public school, Haws saw children drinking water out of a common tin cup that was tied to the faucet. Because of this, he feared that there was a health hazard in the making because of the way the public was sharing their water supply.
Haws invented the first faucet designed for drinking. He used spare plumbing parts, such as taking the ball from a brass bedstead and a self-closing rabbit ear valve. The Berkeley school department installed the first model drinking faucets.
Toilets Were Seats Meant for Kings
A toilet is a plumbing fixture used for defecation and urination. Modern toilets consist of a bowl fitted with a hinged seat that's connected to a waste pipe where waste is flushed. Toilets are also called privy, latrine, water closet, or lavatory. Contrary to urban legend,Sir Thomas Crapperdid not invent the toilet. Here's a brief timeline of toilets:
King Minos of Crete had the first flushing water closet recorded in history and that was over 2,800 years ago.
A toilet was discovered in the tomb of a Chinese king of the Western Han Dynasty that dates back to somewhere between 206 BC to 24 AD.
The ancient Romans had a system of sewers. They built simple outhouses or latrines directly over the running waters of the sewers that poured into the Tiber River.
Chamber pots were used during the middle ages. A chamber pot is a special metal or ceramic bowl that you used and then tossed the contents out (often out the window).
In 1596, a flush toilet was invented and built for Queen Elizabeth I by her godson, Sir John Harrington.
The first patent for the flushing toilet was issued to Alexander Cummings in 1775.
During the 1800s, people would come to realize that poor sanitary conditions caused diseases. Thus having toilets and sewer systems that could control human waste became a priority to lawmakers, medical experts, inventors as well as the general public.
In 1829, the Tremont Hotel of Boston became the first hotel to have indoor plumbing with eight water closets built by Isaiah Rogers. Until 1840, indoor plumbing could be found only in the homes of the rich and the better hotels.
Beginning in 1910, toilet designs started moving away from the elevated water tank system and more toward a modern toilet with a closed tank and bowl setup.
Toilet Paper and Brushes
The first packaged toilet paper was invented in 1857 by an American named Joseph Gayetty. It was called Gayetty's Medicated Paper. In 1880, the British Perforated Paper Company created a paper product to be used for wiping after using the toilet that came in boxes of small pre-cut squares. In 1879, the Scott Paper Company began selling the first toilet paper on a roll, though roll toilet paper did not become common until 1907. In 1942, St. Andrew's Paper Mill in Great Britain introduced the first two-ply toilet paper.
In the 1930s, the Addis Brush Company created the first artificialChristmasbrush trees, using the same machinery for making their toilet brushes. In general, the type of material used to make a brush and its design was dictated by its intended use. The hair of animals such as horses, oxen, squirrels, and badgers was used in household and toilet-brushes. Various types of plant fibers have also been used, such as the piassava obtained from a Brazilian palm and palmyra bassine derived from the palmyra palm of Africa and Sri Lanka.Brush bristles were joined to handles and backs of wood, plastic or metal. Many household and toilet-brushes were produced by inserting tufts of fibers into holes drilled in brush backs.
One of the earliest and most elaborate of showers was the English Regency Shower developed around 1810.
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EWG's Food Scores | Giant Eagle Onion Pre Sliced Bagels, Onion
Check out the food score for Giant Eagle Onion Pre Sliced Bagels, Onion from EWG's Food Scores! EWG's Food Scores rates more than 80,000 foods in a simple, searchable online format to empower you to shop smarter and eat healthier.
Giant Eagle Onion Pre Sliced Bagels, Onion
Lower scores accompany better foods.
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EWG Overall Score Breakdown
The product score is based on weighted scores for nutrition, ingredient and processing concerns. Generally, nutrition counts most, ingredient concerns next and degree of processing least. The weighted scores are added together to determine the final score.Read more about scores here.
EWG Overall Score Breakdown
EWG scored on three factors: nutrition, ingredient concerns, and the degree of processing.Read the full scoring methodology.
Lower concern
N
I
P
Lower concern
N Nutrition Concern
I Ingredient Concern
P Processing Concern
Nutrition Concern Details
Considers calories, saturated fat, trans fat, sugar, sodium, protein, fiber and fruit, vegetable and nut content to differentiate between healthful and less healthful foods. For more information on nutrition concerns,read our full methodology.
Contains 25% of the Institute of Medicine's daily sodium (salt) recommendations based on adequate intake [read more]
Per gram, high in protein [read more]
This product contains added sugar ingredients: Sugars [read more]
The nutrition factors used for scoring Giant Eagle Onion Pre Sliced Bagels, Onion
Positive factors
Fruit, vegetable, bean or nut content
Protein content
Fiber content
Omega-3 fatty acids
Negative factors
Calorie density
Sugar/low-calorie sweetener content
Sodium content
Saturated fat content
Trans fat content
Ingredient Concern Details
Considers food additives, pesticides, hormones, antibiotics and contaminants like mercury and BPA, which can affect human health and the environment. For more information on ingredient concerns,read methodology.
This product is not certified organic [read more]
No ingredient concerns identified for this product [read more]
This product has 2 ingredients with concerns:
Enzyme This additive is of lower concern in food. Learn why.
RIBOFLAVIN This additive is of lower concern in food. Learn why.
Processing Concern Details
Estimates how much the food has been processed. Considers many factors, chief among them, modification of individual ingredients from whole foods and number of artificial ingredients. For more information on processing concerns,read our full methodology.
Product has been classified as having moderate processing concerns
Products with moderate and high processing concerns generally have more artificial ingredients, more ingredients that have been significantly modified from whole foods, and more ingredients overall.
EWG's Top Findings
This product is not certified organic [read more]
This product is not certified organic
Products bearing the USDA certified organic seal must contain at least 95 percent organic ingredient, and must be produced without the use of synthetic pesticides and fertilizers and free of genetically engineered ingredients.
No ingredient concerns identified for this product [read more]
No ingredient concerns identified for this product
EWG has not identified any ingredient concerns for this product.
Contains food additives of lower concern
Contains 25% of the Institute of Medicine's daily sodium (salt) recommendations based on adequate intake [read more]
Contains 25% of the Institute of Medicine's dai...
This product contains a high percentage of the Institute of Medicine's recommended adequate intake for sodium of 1500 mg a day (IOM 2005). This value is much lower than what the FDA requires be listed on food labels -- 2400 mg.
Americans average 3,400 mg of sodium a day. Most of this sodium comes from processed foods where sodium is added to mask the lack of freshness by enhancing the flavor, texture or palatability and extending shelf-life (IOM 2010). Many of these uses are for the manufacturers benefit and not the consumer's health as excess sodium intake is linked to high blood pressure, heart disease, stroke and kidney disease (IOM 2010).
Per gram, high in protein [read more]
Per gram, high in protein
Protein is a source of amino acids that are required for the proper growth, maintenance and repair of tissues. It also provides the building blocks for important enzymes and hormones. Protein provides calories and if eaten in excess will be stored as fat. Protein is found in high amounts in beans, nuts, eggs, seafood and meat. Protein is essential to health, but eating too much also carries an environmental and health cost. Learn more: http://www.ewg.org/meateatersguide/
This product contains added sugar ingredients: Sugars [read more]
This product contains added sugar ingredients: ...
Eating too much of any type of sugar can lead to tooth decay. Added sugars like high fructose corn syrup, honey, sugar and dextrose are more concerning than natural sugars like raisins because they can lead to obesity by adding calories without being accompanied by important nutrients like potassium, vitamin C or fiber. Americans average 22 teaspoons of added sugar a day (NCI 2010; USDA and DHHS 2010). The World Health Organization recommends no more than 6 to 12 teaspoons of added sugar a day for adults, children should eat even less (WHO 2002; WHO 2014).
Product has been classified as having moderate processing concerns
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Ingredient List
From the Package
ENRICHED WHEAT FLOUR (WHEAT FLOUR, MALTED BARLEY FLOUR, NIACIN, REDUCED IRON, THIAMIN MONONITRATE, RIBOFLAVIN, FOLIC ACID), WATER, SUGAR, DEHYDRATED ONIONS, YEAST, SALT, VITAL WHEAT GLUTEN, CALCIUM PROPIONATE (PRESERVATIVE), ENZYMES, GUAR GUM, MONOGLYCERIDES, SESAME FLOUR. CONTAINS: WHEAT, SESAME.
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Other Information
This product contains the following ingredient(s) that may be genetically engineered or derived from GE crops: Sugars [read more]
This product contains the following ingredient(...
Scientists have not determined whether GE food poses risks to human health. Still, consumers have many good reasons to avoid eating genetically engineered ingredients, including limited safety studies, the development of "superweeds" and increased pesticide use. For more information on the topic visit: http://www.ewg.org/research/shoppers-guide-to-avoiding-ge-food
Note: The presence or absence of genetically engineered ingredients or ingredients derived from GE crops does not affect a product's overall score.
Contains ingredients derived from wheat - these are considered major food allergens according to the FDA [read more]
Contains ingredients derived from wheat - these...
While over 160 food ingredients may cause allergic reactions current Food and Drug Administration (FDA) regulations stipulate that 8 major food allergens must be labeled on products. These allergens include; milk, eggs, fish, crustacean shellfish, tree nuts, peanuts, wheat and soybeans.
Note: The presence of potential allergens does not affect the overall product score.
Nutrition Facts
6.0 servings per containerServing Size1 bagel 47.5 g 95.0 g (1x) 142.5 g 190.0 g (2x) 285.0 g (3x) 380.0 g (4x) Amount Per 95 g Calories 260 % Daily Value (based on a 2,000 calorie diet and adult bodyweight) Update the values for someone: -age- 1-3 years 4-8 years 9-13 years 14-18 years 19-30 years 31-50 years 51-70 years over 70 years -gender/life stage- male female pregnant female lactating female goQUICK FACTS: 1.0 1.0 % Total Fat 1 g 19.0 19.0 % Total Carbs 51 g % Protein 9 gAVOID TOO MUCH: 0.0 0.0 % Saturated Fat 0 g Trans Fat 0.0g 0.0 0.0 % Cholesterol 0 mg 17.0 17.0 % Sodium 380 mg Added Sugar Ingredients: SugarsNUTRIENTS: 7.0 7.0 % Dietary Fiber 2 g Vitamin D (no value on present label) 4.0 4.0 % Calcium 20.0 20.0 % Iron 0.0 0.0 % Potassium 10 mg† Institute of Medicine. 2010. "Dietary Reference Intakes Tables and Application." Accessed April 8, 2014:link
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Long intergenic non-protein coding RNA 00858 functions as a competing endogenous RNA for miR-422a to facilitate the cell growth in non-small cell lung cancer | Aging
The expression of long non-coding RNAs (lncRNAs) is dysregulated in non-small cell lung cancer (NSCLC). However, the functions and contributions of lncRNAs remain largely unknown. Here, we identified a critical role of long intergenic non-protein coding RNA 00858 (LINC00858) in NSCLC. Ectopic expression of LINC00858 in NSCLC cells promoted cell proliferation and induced cell migration and invasion. Moreover, LINC00858 functioned as a competitive endogenous RNA (ceRNA), effectively becoming sponge for miR-422a and thereby modulating the expression of kallikrein-related peptidase 4 (KLK4). In NSCLC patients, high expression of LINC00858 closely correlated with tumor progression. Thus, targeting the ceRNA network involving LINC00858 may be used as a treatment strategy against NSCLC.
Research Paper Volume 9, Issue 2 pp 475—486
Long intergenic non-protein coding RNA 00858 functions as a competing endogenous RNA for miR-422a to facilitate the cell growth in non-small cell lung cancer
Shao-Ping Zhu 1 , , Jun-Yu Wang 2 , , Xian-Guo Wang 1 , , Jin-Ping Zhao 1 , ,
1 Department of Cardiothoracic Surgery, ZhongNan Hospital of Wuhan University, 430071 Wuhan, P. R. China 2 Department of Oncology, Hubei Provincial Hospital of Integrated Chinese and Western Medicine, 430015 Wuhan, P. R. China
* Equal contribution
Received: November 27, 2016 Accepted: January 31, 2017 Published: February 6, 2017
https://doi.org/10.18632/aging.101171
The expression of long non-coding RNAs (lncRNAs) is dysregulated in non-small cell lung cancer (NSCLC). However, the functions and contributions of lncRNAs remain largely unknown. Here, we identified a critical role of long intergenic non-protein coding RNA 00858 (LINC00858) in NSCLC. Ectopic expression of LINC00858 in NSCLC cells promoted cell proliferation and induced cell migration and invasion. Moreover, LINC00858 functioned as a competitive endogenous RNA (ceRNA), effectively becoming sponge for miR-422a and thereby modulating the expression of kallikrein-related peptidase 4 (KLK4). In NSCLC patients, high expression of LINC00858 closely correlated with tumor progression. Thus, targeting the ceRNA network involving LINC00858 may be used as a treatment strategy against NSCLC.
introduction
Non-small cell lung cancer (NSCLC), accounting for 83% of total lung cancer, is a leading cause of all cancer deaths around the world [1]. Main risk factors for NSCLC are cigarette smoke and air pollution [2,3], and the 5-year survival rate for NSCLC patients is lower than 21%, in spite of great efforts to improve treatment options for patients with NSCLC [1]. Increasing evidence reveals that the tumorigenesis and progression for NSCLC are a complicated process referring multiple epigenetic and genetic alterations [4–6]. Hence, upgrades in our knowledge of the molecular alterations (including genetic, epigenetic, protein expression levels) and understanding their functional significance would provide crucial roles on diagnosis, treatment, and prevention for NSCLC.
Long non-coding RNAs (lncRNAs) are a class of non-coding RNAs of more than 200 nucleotides (nt), which are involved in tumor cell proliferation, migration, invasion, apoptosis, angiogenesis, and drug resistance [7–10]. Multiple studies have indicated that lncRNAs, including UCA1 [9], ANRIL [8], XIST [11] and NEAT1 [7] are related to NSCLC tumorigenesis. Nevertheless, the detail biological mechanisms and clinical significance of lncRNAs in the oncogenesis and progression of NSCLC still remains largely unknown.
Long intergenic non-protein coding RNA 00858 (LINC00857, LOC170425, NR_038220), is a kind of lncRNA whose length is 2685 nucleotides and locates in 10q23.1 (http://www.ncbi.nlm.nih.gov/nuccore/NR_038220.1). Recently, Xu and his colleagues has reported that LINC00858 is highly expressed in lung adenocarcinoma (5.23-fold than normal lung tissues) [12], while until now, the relevance between LINC00858 expression and NSCLC tumorigenesis has not been elaborated yet. Hence, the roles and potential biological mechanisms of LINC00858 on NSCLC still remain to be expounded.
Herein, we are committed to explore the potential molecular mechanism of LINC00858 on NSCLC tumorigenesis. We discovered LINC00858 harbors one conserved miR-422a cognate site as the results of overlap for miRDB (http://mirdb.org/cgi-bin/custom.cgi) and PITA software (http://132.77.150.113/cgi-bin/software.pl?dir=mir07&page=mir07_prediction&id=92e74fcfe41795d7f5b5afd3e80009f7), and then we suggested that LINC00858 would act as a competing endogenous RNA (ceRNA) for miR-422a (MIMAT0001339). Bioinformatics analysis using three database, including microRNA.org, TargetScan, and PicTar, revealed that kallikrein-related peptidase 4 (KLK4), a known oncogene, was an underlying target of miR-422a. Collectively, we validated LINC00858 might be a crucial pro-proliferative regulator to facilitate NSCLC progression by regulation of miR-422a- KLK4 pathway.
Results
LINC00858 is up-regulated in NSCLC and its high level implies a poor prognosis
To examine if LINC00858 was over-expressed in NSCLC, we first tested LINC00858 expression in human NSCLC tissues and their counterparts by qRT-PCR method. Results revealed that LINC00858 levels were remarkably higher in 119 NSCLC tissues than that of in their counterparts ( P<0.05) (Fig. 1A-B). Then, we explored LINC00858 expression in NSCLC cell lines, and discovered that LINC00858 was higher expressed in NSCLC cell lines, containing A549, SK-MES-1, H1299, SK-LU-1, H460, H520, 95D, H1975, H157, and SPC-A-1 cell lines, than that of in normal lung epithelial cells, 16HBE (Fig. 1C). LINC00858 are higher expressed in A549 and SPC-A-1 cells among the ten NSCLC cell lines, hence, we selected A549 and SPC-A-1 cells to conduct the forthcoming experiments.
Figure 1. Relative LINC00858 expression in NSCLC tissues and cell lines, and its clinical significance. (A-B)Relative expression of LINC00858 expression in NSCLC tissues (n = 119) and in paired adjacent normal tissues (n = 119). LINC00858 expression was examined by qPCR and normalized to GAPDH expression (shown as 2 -ΔCT). (C)Relative expression of LINC00858 expression in NSCLC cell lines and normal lung epidermal cell. * P< 0.05. Means ± SEM are shown. Statistical analysis was conducted using student t-test.
LINC00858 facilitates tumor NSCLC cell growth in vitro
Having known LINC00858 is high expressed in NSCLC. We then explore its pro-proliferative features and effects on NSCLC. Firstly, we established NSCLC cell lines (A549 and SPC-A-1) with stable over-expressed or knockdown (Using RNAi) for LINC00858. And then, trypan blue staining, CCK8 and colony formation assay were conducted to examine the role of LINC00858 on NSCLC cell growth, and our results revealed knockdown of LINC00858 contributed to a reduction in the cell growth of A549 and SPC-A-1 cells than that of in their blank counterparts (Fig. 2A-E). However, over-expressed LINC00858 facilitated cell growth of A549 and SPC-A-1 cells (Fig. 2A-E), which clearly demonstrated that LINC00858 significantly promoted cell growth in NSCLC cells.
Figure 2. LINC00858 promotes tumor NSCLC cell growth in vitro. (A)Relative LINC00858 expression after transfection with sh-LINC00858 or pcDNA3.1-CT-GFP-LIN00858. (B)Statistical analysis of trypan blue staining. (C-D)CCK8 assays of A549 and SPC-A-1 cells after transfection. (E)Shown are representative photomicrographs of colony formation assay after transfection for fourteen days. Assays were performed in triplicate. * P< 0.05. Means ± SEM are shown. Statistical analysis was conducted using student t-test.
LINC00858 acts as a ceRNA for miR-422a in NSCLC
Recent studies reported lncRNAs could function as molecular sponges or ceRNAs to regulating the biological functions of miRNA. To choose miRNAs interacted with LINC00858, we analyzed the overlap from results of miRDB (http://mirdb.org/cgi-bin/custom.cgi) and PITA software (http://132.77.150.113/cgi-bin/software.pl?dir=mir07&page=mir07_prediction&id=92e74fcfe41795d7f5b5afd3e80009f7) to predict potential miRNAs (results were shown inTable S1andTable S2). In miRDB, miRNAs with target score≥50 were selected, and in PITA, miRNAs with target score target score ΔΔG≤-10 kcal/mol were selected, then intersection was conducted in the selected miRNAs in miRDB and PITA, and miR-422a was gotten as the candidate miRNA (Table S1andTable S2). To further verify whether miR-422a was enrichment in LINC00858, we performed a pull-down assay using a biotin-labeled specific LINC00858 probe. And a biotin- labeled NC probe was used as a negative control. qRT-PCR was conducted after precipitate. Results revealed that miR-422a was much richer in precipitate of LINC00858 probe than that of in NC probe (Fig. 3C). These results reveal that miR-422a directly bind to LINC00858 at the recognitive sites. Additionally, we also performed trypan blue staining to explore the interaction between miR-422a and LINC00858 on NSCLC cell growth, and results revealed miR-422a repressed cell growth both in A549 and SPC-A-1 cells, while when co-transfected miR-422a and pcDNA3.1-CT-GFP-LINC00858, the growth-inhibitory role of miR-422a was reversed, while the growth expedited role of LINC00858 was also hampered (Fig. 3D). These data demonstrated that LINC00858 facilitated cell growth through functioning as a ceRNA for miR-422a in NSCLC cell lines.
Figure 3. LINC00858 is a direct target of miR-422a. (A)Screen of the candidate miRNAs that target LINC00858 predicted by miRDB and PITA. (B)Sequence alignment of miR-422a with the putative binding sites within the wild-type regions of LINC00858. (C)Detection of miR-422a using qRT-PCR in the sample pulled down by biotinylated LINC00858probe. (D)Up-regulated miR-422a in A549 and SPC-A-1 cells, which stably over-expressed LINC00858, largely reversed the favorable effects of LINC00858 on cell proliferation. Assays were performed in triplicate. * P< 0.05. Means ± SEM are shown. Statistical analysis was conducted using student t-test.
LINC00858’s pro-proliferative roles are partially via spongeing miR-422a, and then activating KLK4
Having confirmed LINC00858 could inversely regulate miR-422a’s inhibitory role on cell growth in NSCLC, we then explore its functional effects. MiRNAs play crucial role on tumor progression [13–20]. To explore the role of miR-422a on NSCLC, we screen miRanda, Targetscan, and PicTar to select underlying predicted targets for miR-422a. We seek out top 100 potential targets (Table S3), and among them, we selected a well-known oncogene, kallikrein-related peptidase 4 (KLK4), which was up-regulated in numerous malignancies, as a potential target (Fig. 4A). Then, we conducted luciferase reporter assays to identify if KLK4 expression was really affected by miR-422a, and results demonstrated that transfection with miR-422a significantly up-regulated the miR-422a expression in A549 and SPC-A-1 cells(Fig. 4B), and miR-422a inhibited luciferase activity in both A549 cells and SPC-A-1 cells that transfected with a wide type (WT) KLK4 3’-UTR reporter plasmid, but no significant inhibition was observed in that of transfected with a mutant (MUT) KLK4 3’-UTR reporter plasmid (Fig. 4C). Moreover, miR-422a decreased the protein expression but had no influence on the mRNA expression for KLK4 in A549 and SPC-A-1 cells (Fig. 4D-E). We then explored the mechanism of miR-422a on NSCLC cell growth. Results of Trypan blue staining revealed miR-422a treatment repressed cell growth and pcDNA3.1-CT-GFP-KLK4 (with a full 3’-UTR mRNA for KLK4) treatment increased cell growth in A549 and SPC-A-1 cells (Fig. 4F). Nevertheless, when treated A549 and SPC-A-1 cells with miR-422a plus pcDNA3.1-CT-GFP-KLK4, the advantageous role of KLK4 on cell growth was repressed by miR-422a, and the growth-inhibitory role of effect of miR-422a was reversed by KLK4 over-expression (Fig. 4F). These data revealed that miR-422a repressed cell growth by directly targeting 3’-UTR of KLK4 mRNA. Additionally, pcDNA3.1-CT-GFP-LINC00858 treatment reversed the growth inhibitory effect of sh-KLK4 in A549 and SPC-A-1 cells (Fig. 4F), which demonstrated that LINC00858 facilitated cell growth partially through up regulation of KLK4. Furthermore, we next explored the role of LINC00858 and miR-422a on the protein expression of KLK4. Results demonstrated that both miR-422a and sh-KLK4 treatment suppressed protein expression of KLK4, while both pcDNA3.1-CT-GFP-LINC00858 and pcDNA3.1-CT-GFP-KLK4 treatment markedly enhanced protein expression of KLK4 in A549 and SPC-A-1 cells (Fig. 4G), separately. Nevertheless, when treated A549 and SPC-A-1 cells with pcDNA3.1-CT-GFP-LINC00858 plus sh-KLK4, the beneficial role of LINC00858 on protein expression of KLK4 was repressed by knockdown of KLK4, and the negative effect of sh-KLK4 was attenuated by over-expression of LINC00858 (Fig. 4G). Additionally, our results also demonstrated the mRNA of KLK4 expression had no significant correction with the expression of miR-422a in NSCLC samples (r 2=0.0171, P=0.1559), and miR-422a did not affect the mRNA of KLK4 in NSCLC cell lines. While over-expressed miR-422a markedly suppressed the protein expression of KLK4, which demonstrated that miR-422a regulated the KLK4 at post-transcription level (Fig. 5). Our data identify that miR-422a directly targets 3’-UTR of KLK4 mRNA, and reveal that LINC00858’s pro-proliferative effects are large in part by negative regulating miR-422a, and then activation of KLK4.
Figure 5. The relationship between KLK4 mRNA expression and miR-422a expression in non-small cell lung cancer.
Discussion
Increasing evidence has revealed lncRNAs might play a crucial role in tumorigenesis, and contributes to a diverse of biological functions in human cancers [8–10]. Up to date, the effects of a handle of lncRNAs in NSCLC tumorigenesis and progression are needed fully elucidated. Recent studies suggest that several lncRNAs are dysregulated in multiple cancers, including NSCLC [21–25]. One of these is nuclear-enriched abundant transcript 1 (NEAT1), which is a highly conserved nuclear lncRNA and a predictive marker for metastasis in lung cancer [22]. In the current study, we discovered that the lncRNA LINC00858 was up-regulated in NSCLC, and exerted a pro-proliferative role. We also discovered that miR-422a is the target of LINC00858. LINC00858 exerted its pro-proliferative role on NSCLC in large part due to its effect to act as a ceRNA for miR-422a, and subsequently activating the KLK4 signaling pathway. Hence, these findings indicate that LINC00858 may function as an oncogene in the modulation of NSCLC progression.
To our knowledge, our present work is the first one to direct investigate of the association between LINC00858 expression and NSCLC. In this study, we discovered LINC00858 was markedly higher expressed in NSCLC tissues than that of in their counterparts. Additionally, over-expressing LINC00858 markedly facilitated NSCLC cell growth in vitro, while silencing LINC00858 suppressed it. Collectively, our data imply that LINC00858 may function as an oncogene and be favorable to NSCLC tumorigenesis and progression.
Despite LINC00858 has been implied to function as an oncogene, the potential mechanisms by which LINC00858-induced gene expression involved in oncogenesis still remains to be further expounded. Herein, we are committed to excavate a potential biological molecular mechanism of LINC00858 on NSCLC progression. Increasing evidence confirmed that lncRNAs are key regulators in numerous processes in cells via functioning as ceRNAs to control microRNAs [26]. A handle of lncRNAs have been assessed, such as GAS5 [27,28], NEAT1 [22], XIST [29], and CCAT1 [30]. Herein, we explored the role of LINC00858 in NSCLC and found that LINC00858 acted as ceRNA to bind with miR-422a and accommodate its function. It has been reported that miR-422a acted as a potential tumor suppressor was an independent prognostic factor in colorectal cancer [31], and promoted loco-regional recurrence by targeting NT5E/CD73 in head and neck squamous cell carcinoma [32], but its role and potential mechanism on NSCLC needed to be warranted. Herein, we found that miR-422a inhibited growth in NSCLC cell lines, and biotin-avidin pull-down assay revealed LINC00858 could pull down miR-422a. Furthermore, our data also demonstrated that miR-422a could inverse the advantageous effects of LINC00858 on cell growth in NSCLC, suggesting LINC00858 exerted an pro-proliferative role on NSCLC progression in large part via repressing miR-422a.
Having revealed the critical effect of miR-422a on repressing NSCLC progression, we searched for the potential mechanisms participated in its function. MiR-422a could regulate multiple targeted genes. It has been reported that miR-422a targeted NT5E/CD73 and promoted loco-regional recurrence in head and neck squamous cell carcinoma [32]. But among all of the predicted target genes for miR-422a, we discovered KLK4 functioned as a critical effector of miR-422a. KLK4 is key regulator on the proliferation of several tumor cell lines [33–35], and is associated with higher risk of NSCLC as determined by univariate analysis and confirmed by multivariate analysis [36]. We confirmed that over-expressed KLK4 promoted cell proliferation in NSCLC cell lines, while silencing KLK4 expression suppressed it. Moreover, we predicted KLK4 as a direct target of miR-422a at its 3’-UTR mRNA by bioinformatics, which was confirmed by luciferase reporter assays. Our results also demonstrated that miR-422a regulated the KLK4 at post-transcription level. Additionally, our data also revealed miR-422a acted as a tumor suppressor on NSCLC by directly targeting KLK4. Furthermore, our data also revealed that LINC00858’s pro-proliferative roles are partially via sponging miR-422a, and then activating KLK4.
To our knowledge, we first proved that LINC00858 exerts its pro-proliferative effect in part through sponging miR-422a and then up-regulating and activating of KLK4. Our present study supplied an unequivocal evidence for crucial pro-proliferative effects of LINC00858 in NSCLC, and endorsed the conception that LINC00858 might be an alternative pro-proliferative factor for NSCLC. Taken together, our data provide the evidence that targeting LINC00858-miR-422a-KLK4 axis might be an alternative therapeutic strategy, which will help furnish an essential implication for treatment and diagnosis of NSCLC.
Materials and Methods
Ethical statement
For the analyzed tissue specimens, all patients gave informed consent to use excess pathological specimens for research purposes. The protocols employed in this Subjects Committee. The use of human tissues was approved by the institutional review board of the Wuhan University and conformed to the Helsinki Declaration and to the local legislation. Patients offering samples for the study signed informed consent forms.
Tissue collection
119 cases of NSCLC tumor tissue samples were obtained from patients who were diagnosed with primary NSCLC at ZhongNan Hospital of Wuhan University (Wuhan, China) from 2009-2014. The use of tissues for this study has been approved by the ethics committee of ZhongNan Hospital of Wuhan University. Before using these clinical materials for research purposes, all the patients signed the informed consent. None of these patients received any pre-operative chemotherapy or radiotherapy.
Cell lines and plasmids
Ten NSCLC cell lines (A549, SK-MES-1, H1299, 95D, H460, H520, H1975, H157, SK-LU-1, and SPC-A-1) and the 16HBE cell lines were purchased from the Institute of Biochemistry and Cell Biology of the Chinese Academy of Sciences (Shanghai, China). Cells were cultured in RPMI 1640 (Gibco, Grand Island, NY, USA) medium supplemented with 10% fetal bovine serum (10% FBS), 100 U/ml penicillin, and 100 mg/ml streptomycin (Gibco) in humidified air at 37°C with 5% CO2. Plasmid pcDNA3.1-CT-GFP-KLK4 (NM_004917, with full length of 3’-UTR) and pcDNA3.1-CT-GFP-LINC00858 were prepared by ourselves. RNAi sequence: KLK4: sh-1: CACCGCTGCAGCCAAATCATAAACGCGAACGTTTATGATTTGGCTGCAGC; sh-2: CACCGGTCTGCAGTAAGCTCTATGACGAATCATAGAGCTTACTGCAGACC. LINC00858: sh-1: CACCGGACTTCATGGTTCAGCATCACGAATGATGCTGAACCATGAAGTCC; sh-2: CACCGCAGCAGCCAGATGAGAAATTCGAAAATTTCTCATCTGGCTGCTGC.
Cell transfection and stable cell lines
Cells were transfected with DNA plasmids using transfast transfection reagent LipofectamineR 2000 (Invitrogen) according to manufacturer's instructions [37]. For screening stable cell lines, forty-eight hours after transfection, cells were plated in the selective medium containing G418 (1000–2000 μg/ml, Invitrogen, Ltd., U.K) for the next 4 weeks or so, and the selective media were replaced every 3 days.
Western blot analysis
Western blot was performed using the protocol described previously [38–40]. Briefly, the logarithmically growing cells were washed twice with ice-cold phosphate-buffered saline (PBS, Hyclone) and lysed in a RIPA lysis buffer. Cells lysates were centrifuged at 12,000 g for 20 minutes at 4°C after sonication on ice, and the supernatant were separated. After being boiled for 5–10 minutes in the presence of 2-mercaptoethanol, samples containing cells proteins were separated on a 10% sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE) and transferred onto a nitrocellulose membranes. Then blocked in 10% dry milk-TBST (20 mM Tris-HCl [PH 7.6], 127 mM NaCl, 0.1% Tween 20) for 1 h at 37°C. Following three washes in Tris-HCl pH 7.5 with 0.1% Tween 20, the blots were incubated with 0.2 μg/ml of antibody (appropriate dilution) overnight at 4°C. Following three washes, membranes were then incubated with secondary antibody for 60 min at 37°C or 4°C overnight in TBST. Signals were visualized by ECL. The following primary antibodies were used: rabbit anti-KLK4 (Santa Cruz, USA), rabbit anti-GAPDH (Santa Cruz, USA).
qRT-PCR
RNA isolation and qRT-PCR was performed as described previously [41,42]. GADPH and U6 were used as endogenous controls. In addition, melting curves were used to evaluate non-specific amplification. The relative expression level was calculated using the 2 -ΔΔCtmethod. The primer sequences used in this study are as follows: human KLK4: sense: 5'- CCGCACACTGTTTCCAGAAC-3', antisense: 5'- GTTAGCGAGCAAGGGTCTGT-3', product length is 140; human LINC00858: sense: 5'- CCCAGCTCCTTACACACGTT-3', antisense: 5'- TTCAGAGGCCTGCATCACTG-3'; human GAPDH: sense: 5'-CTCTGCTCCTCCTGTTCGAC-3', antisense: 5'-ACCAAATCCGTTGACTCCGA -3'. The formula and its derivations were obtained from the ABI Prism 7300 sequence detection system user guide. Statistical analysis was performed on the fold change.
Colony formation assay
Luciferase Reporter Assays
Luciferase reporter assays was conducted as described previously [4].
CCK8 Assay
Cell growth was measured using the cell proliferation reagent WST-8 (Roche Biochemicals, Mannheim, Germany). After plating cells in 96-well microtiter plates (Corning Costar, Corning, NY) at 1.0× 10 3/well, 10 μL of CCK8 was added to each well at the time of harvest, according to the manufacturer’s instructions. One hour after adding CCK8, cellular viability was determined by measuring the absorbance of the converted dye at 450 nm.
Trypan blue staining
Cell viability was assessed using the trypan blue (Lonza, Basel, Switzerland) exclusion method. The A549 and SPC-A-1 cells were seeded in 24-well culture plates at a density of 3 × 10 5cells per well, and the cells were then transfected with Vector, miR-422a, pcDNA3.1-CT-GFP-KLK4, miR-422a plus pcDNA3.1-CT-GFP-KLK4, pcDNA3.1-CT-GFP-LINC00858, sh-LINC00858, or pcDNA3.1-CT-GFP-LINC00858 plus sh-LINC00858. Each cell suspension was mixed with an equal volume of 0.4% trypan blue solution, and the living cells were quantified using a hemocytometer. The cells were also counted using a microscope. The data are representative of three independent experiments performed on different days.
RNA pull-down assays
LINC00858 transcripts were transcribed using T7 RNA polymerase (Ambio life) in vitro, then by using the RNeasy Plus Mini Kit (Qiagen) and treated with DNase I (Qiagen). Purified RNAs were biotin-labeled with the Biotin RNA Labeling Mix (Ambio life). Positive control, negative control and Biotinylated RNAs were mixed and incubated with A549 and SPC-A-1 cell lysates. Then, magnetic beads were added to each binding reaction, and incubated at room temperature. Finally, the beads were washed, and the eluted proteins were detected by western blot analysis.
Statistical analysis
Statistical analyses were carried out using SPSS 23.0 statistical analysis software (SPSS Inc., Chicago, IL, USA). Two independent sample t-test or One-Way Analysis of Variance (ANOVA) was performed using SPSS 20.0 software to assess significant differences in measured variables among groups. All data are presented as mean ± standard error of mean (SEM) for three independent experiments. A Pvalue < 0.05 was considered statistically significant.
Supplementary Materials
Supplementary Table 1
Supplementary Table 2
Supplementary Table 3
Conflicts of Interest
The authors declare no conflict of interest.
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Corresponding Author
Shao-Ping [email protected]
Keywords
long intergenic non-protein coding RNA 00858 (LINC00858) hsa-miRNA-422a (miR-422a) kallikrein-related peptidase 4 (KLK4) non-small cell lung cancer (NSCLC) tumorigenesis
Table of Contents
Abstract
introduction
Results
Discussion
| https://www.aging-us.com/article/101171/text |
AIM25 collection description
Iran: The Making of US Policy, 1977- 1980, is a themed microfiche collection which presents an integrated record of US foreign policy relating to Iran...
Microform: Iran: The Making of US Policy, 1977-1980
Identity Statement
Reference code(s) : GB 0099 KCLMA MFF 11 Held at : Liddell Hart Centre for Military Archives, King's College London Click here to find out how to view this collection at http://www.kingscollections.org/catalogues/lhcma › Full title : Microform: Iran: The Making of US Policy, 1977-1980 Date(s) : 1943-1980, 1990 Level of description : Collection (fonds) Extent : 565 microfiche Name of creator(s) : The National Security Archive, from sources at US national security agencies, principal of which were
Context
Administrative/Biographical history:
The microfiche collection focuses on US foreign policy towards Iran and events in Iran, 20 Jan 1977-29 Jan 1980. This period coincides with the beginning of the relationship between Mohammad Reza Pahlavi, Shah of Iran, and the US administration under President James Earl 'Jimmy' Carter, Jr, through to the failure of American policy efforts towards the revolutionary Iranian government, which became symbolised by the seizing of the US Embassy in Teheran, Iran, in which 66 Americans were taken hostage by followers of Shiite cleric Ayatollah Ruhollah Khomeini, 4 Nov 1979. As a result of the embassy seizure, President Carter asked Cyrus Roberts Vance, US Secretary of State, to co-ordinate a secret inter-agency appraisal of US involvement in Iran since 1945. The resulting report, known as the 'White Paper', and its 12,000 pages of supporting documentation, provided the White House with an overview of US relations with an allied Iran, 1945-1978. The microfiche collection ends 29 Jan 1980, the date on which the 'White Paper' was transmitted to Zbigniew Brzezinski, US National Security Adviser, by the US State Department's Policy Planning Staff.This document collection originated from investigations done by newspaper reporter Scott Armstrong for his five-part series entitled 'The Fall of the Shah of Iran', published in the Washington Post, 25-30 Oct 1980. This newspaper series first revealed the existence of the so-called 'White Paper'. With the revelation of its existence, then researchers filed Freedom of Information Act (FOIA) requests for the 'White Paper' itself and for the background documents used in its preparation. In addition, the Iranians who seized the US Embassy in Teheran captured material therein including official foreign policy memoranda and cables relating to declining relations between the US and Iran. These documents were subsequently published in Teheran, where they became known collectively as 'The Documents From the Den of Espionage', smuggled into the US, and eventually brought to the attention of Armstrong. Armstrong's subsequent five-part series of articles in the Washington Post entitled 'Iran Documents Give Rare Glimpse of a CIA Enterprise', beginning 31 Jan 1982, revealed to the public for the first time the nature of US foreign policy making in Iran 1977-1980. Documents in this microfiche collection are also from US government sources, including the Central Intelligence Agency (CIA). Finally, the US State Department's 'White Paper' and 700 supporting documents detailing US foreign policy decision making is included as are reports originating from the US Department of Defense, the US Department of Justice, the US Arms Control and Disarmament Agency, and the US Army, Navy, and Air Force
Content
Scope and content/abstract:
Iran: The Making of US Policy, 1977- 1980, is a themed microfiche collection which presents an integrated record of US foreign policy relating to Iran, 20 Jan 1977-29 Jan 1980. Included are memoranda, cabled messages, US embassy and consulate messages, Department of State reports, Central Intelligence Agency reports, US National Security Council reports and studies, and academic historical and political studies of the Middle East generally and Iran specifically, 21 Jan 1943-30 Apr 1980. Although the focus of this document set is on the 1977-1980 period, nearly one-third of the documents listed in the catalogue relate to the period prior to 1977. These are materials that were used in the preparation of the major internal inter-agency review of US-Iranian relations, the US Department of State 'White Paper'. The collection covers the beginning of the popular protests and mass demonstrations that resulted in the Iranian revolution of Feb 1979, which overthrew the pro-American monarchy of Mohammad Reza Pahlavi, Shah of Iran, and established the Islamic Republic of Iran. The collection also covers efforts by the US and the Iranian Provisional Government under Prime Minister Mehdi Bazargan to normalise relations between Iran and the US, which were frustrated by challenges from Islamic organisations including the Revolutionary Council. The collection records in detail the US reaction to the Iranian Constitutional Assembly, which pitted secular against religious forces during the drafting of the new constitution and which led to the formal establishment of a theocracy and the loss of Iran as a US strategic ally, Feb-Jun 1979. Documents include US Department of State report detailing the stability of Iran under the Shah and the effectiveness of SAVAK, the Iranian domestic and foreign intelligence agency, as a law enforcement agency, 28 Jan 1977; US Embassy, Teheran, Annual Policy and Resource Assessment report identifying US interests in Iran as stable, 4 Apr 1977; briefing paper for Cyrus Roberts Vance, US Secretary of State, for his first visit with the Shah, 30 Apr 1977; Central Intelligence Agency (CIA) report affirming the stability of the Iranian political regime, Aug 1977; US Department of State cables relating to the police suppression of anti-Shah demonstrations at Qom, the religious centre of Iran's Shiite community, and the resulting series of mass demonstrations against the Shah, Jan-Dec 1978; US Department of State inspection memorandum describing US relations with Iran as excellent, 4 May 1978; US Department of State memoranda concerning meeting of 13 May 1978, at which chief Iranian military and security personnel devised plans to deal with the rise of anti- government demonstrations, 23 May 1978; cable from William H Sullivan, US Ambassador to Iran, relating to the increasing dissent in Iran and the Shah's fears of the religious opposition to his monarchy presented by Ayatollah Ruhollah Khomeini, 1 Jun 1978; US Department of State airgram relating to meeting held between the Shah and Nasser Moghaddam, Director of SAVAK, in which the Shah ordered that all future demonstrations be broken up by force, 22 Jul 1978; US Department of State cable concerning the Iranian armed forces being put on alert in all major towns in Iran following a series of anti-government bombings, 14 Aug 1978; reports from the US Embassy, Teheran, relating to the 'Black Friday' massacre of anti-government protesters in Jelah Square, Teheran, 8 Sep 1978; US Department of State cable relating to riots in Teheran resulting in the destruction of Western businesses and the occupation of the British Embassy, Teheran, 5 Nov 1978; Central Intelligence Agency (CIA) report relating to the wave of anti-government protests in Iran during the spring of 1978, 5 Nov 1978; US Department of State cable from Ambassador Sullivan to the White House urging the US government to consider that the Shah may have to abdicate in favour of a coalition government, 9 Nov 1978; Central Intelligence Agency (CIA) profile of Khomeini describing him as the central figure in the anti-Shah movement and his proposed regime as xenophobic and hostile towards Western interests in the region, 20 Nov 1978; US Embassy reports to Washington, DC, relating to the Shah's departure from Iran, Jan 1979; US Department of State cables relating to the return of Khomeini to Iran from Paris, France, and his subsequent demands for the resignation of the Iranian Provisional Government, Feb 1979; US Embassy reports relating to the establishment of the Islamic Revolutionary Council under the leadership of Khomeini, Feb 1979; US Department of State cables relating to the deteriorating civil situation in Iran and growing anti-US sentiments, culminating in the seizure of the US Embassy, Teheran, and 66 of its employees, Feb-Nov 1979.
Access & Use
Language/scripts of material:English
System of arrangement:
The collection is arranged in chronological order
Conditions governing access:
Open, subject to signature of reader's undertaking form
Conditions governing reproduction:
Finding aids:
Summary guide entry on-line at http://www.kcl.ac.uk/lhcma/top.htm, and published detailed catalogue available in hard copy in the Centre's reading room, Iran: The Making of US Policy, 1977-1980 (Chadwyck-Healey and The National Security Archive, Alexandria, VA, 1990)
Archival Information
Archival history:
Immediate source of acquisition:
The National Security Archive, Washington, DC, USA
Allied Materials
Publication note:
Description Notes
Archivist's note:
Rules or conventions:
Date(s) of descriptions:Date of compilation: Aug 1999
| https://aim25.com/cgi-bin/vcdf/detail?coll_id=2666&inst_id=21&nv1=browse&nv2=repos |
(PDF) Adaptation across the Lifespan: Towards a Processual Evolutionary Explanation of Human Development
PDF | This paper argues that the project of a lifespan perspective in developmental psychology has not yet been systematically pursued. Overall, the... | Find, read and cite all the research you need on ResearchGate
Adaptation across the Lifespan: Towards a Processual Evolutionary Explanation of Human Development
April 2023
Integrative Psychological and Behavioral Science
DOI: 10.1007/s12124-023-09767-y
CC BY 4.0
Authors:
Universität Hildesheim
Abstract
This paper argues that the project of a lifespan perspective in developmental psychology has not yet been systematically pursued. Overall, the number of age-specific papers far outweighs the number of lifespan approaches, and even approaches that focus on the lifespan as a whole are often restricted to adulthood. Further, there is a lack of approaches that examine cross-lifespan relationships. However, the lifespan perspective has brought with it a "processual turn" that suggests an examination of developmental regulatory processes that are either operative across the lifespan or develop across the lifespan. Accommodative adjustment of goals and evaluations in response to obstacles, loss, and threat is discussed as an example of such a process. Not only is it prototypical of efficacy and change of developmental regulation across the lifespan, but at the same time it makes clear that stability (e.g., of the self)—as a possible outcome of accommodation—is not an alternative to, but a variant of development. Explaining how accommodative adaptation changes, in turn, requires a broader perspective. For this purpose, an evolutionary approach to developmental psychology is proposed that not only views human development as a product of phylogenesis, but also applies the central concepts of the theory of evolution (adaptation and history) directly to ontogeny. The challenges, conditions, and limitations of such a theoretical application of adaptation to human development are discussed.
Vol.:(0123456789)
Integrative Psychological and Behavioral Science
https://doi.org/10.1007/s12124-023-09767-y
1 3
REGULAR ARTICLE
Adaptation acrosstheLifespan: T owards aProcessual
Evolutionary Explanation ofHuman Development
WernerGreve 1
Accepted: 31 March 2023
© The Author(s) 2023
Abstract
This paper argues that the project of a lifespan perspective in de velopmental psy -
chology has not yet been sys tematically pursued. Overall, the number of age-spe -
cific papers far outweighs the number of lifespan appr oaches, and even approaches
that focus on the lifespan as a whole are often restricted to adulthood. Further, there
is a lack of approaches that examine cross-lif espan relationships. Howe ver, the
lifespan perspective has brought with it a "processual turn" that suggests an e xami -
nation of developmental regulatory processes that are either operative across the
lifespan or dev elop across the lifespan. Accommodative adjustment of goals and
evaluations in response to obstacles, loss, and threat is discussed as an example of
such a process. Not only is it pro totypical of efficacy and change of developmental
regulation across the lifespan, but at the same time it makes clear that stability (e.g.,
of the self)—as a possible outcome of accommodation—is not an alternative to, but
a variant of development. Explaining how accommodativ e adaptation changes, in
turn, requires a broader perspective. For this purpose, an evolutionary approach to
developmental psychology is proposed that not onl y views human dev elopment as a
product of phylogenesis, but also applies the central concepts of the theory ofevo -
lution (adaptation and history) directly to ontogeny . The challenges, conditions, and
limitations of such a theoretical application of adaptation to human development
are discussed.
Keywords Adaptation· Lifespan de velopment· Evolutionary developmental
psychology· Accommodative de velopmental regulation· Flexibility of goal
adjustment· Theoretical interpretation & theory formulation
The time of grand theories in psychology, and especially in de velopmental psy -
chology, is o ver, one might f ear. Currently , an overarching theory of human
* Werner Greve
[email protected]
1 Institute forPsychology , University ofHildesheim, Univ ersitaetsplatz 1, 31141Hildesheim,
Germany
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1 3
development is not under discussion, especially no t a theory that would explain
why we dev elop: why at all, and why as we do. The last major paradigmatic
attempt—the plea for the lifespan approac h in developmental psychology—dates
back more than three decades (Baltes, 1987 ). Actually , the expansion of the period
of human change under consideration beyond c hildhood and adolescence was not
fundamentally new even then; rather , it tied in with perspectives that had already
been addressed several times at mid-century , for example by Char lotte Bühler, Erik
H. Erikson, and Robert Havighurst (see, e.g., Lerner, 2018 ). But Baltes’ claims that
development is not characterized by a specific direction, nor that can it be c harac -
terized as progress because gains and losses are discernible at all times, and that no
life stage has any privileged importance for de velopment, clearly went be yond the
previous approaches.
In fact, the lifespan approach is no t a revision of older theories focused on
childhood and adolescence forced by empirical data (it had not escaped Freud or
Piaget that people do change bey ond adolescence), but a conceptual proposal to
use the term “development” differently (i.e., more encompassing) than the classi -
cal understanding suggested (Freud and Piaget would no t have called the changes
during adulthood and especially older age “development”). The lif e span perspec -
tive of developmental psyc hology is, in a word, not a theory. Definitions, ho wever ,
unlike theories, cannot be proven wrong. Whether the proposed use of the term
‘development’ (including also c hanges in adulthood) is fruitful and useful remains
to be seen.
The Lifespan Perspective onHuman Developmen t – AProject still
Pending
For although the lifespan perspective has been generall y approvingly received,
and has inspired programmatic handbook contributions (prototypically: Baltes
et al., 2006 ) and editions (e.g., Brandtstädter & Lindenberger, 2007 ; Fing er -
man etal., 2011 ; Lerner, 2010 ; Staudinger & Lindenberger, 2003 ), it is perhaps
not unfair to sum up that these dedicated pleas hav e not succeeded in ensuring
that developmental psychology actuall y focuses on the entire life span. In fact,
approving references to this perspectiv e (in the introductory paragraphs of books
or articles) are often not much more than general statements: the vast major -
ity of works in developmental psy chology either deal with phenomena that are
limited to individual life stages (e.g., first languag e acquisition or learning to
walk) or with a specific developmental segment of a phenomenon that in princi -
ple also occurs in other developmental stages (e.g., emotion regulation in child -
hood). Review s (e.g., Lansford, 2018 , on well-being) or textbooks (e.g., Boyd &
Bee, 2019 ) ar guing in favor of a lif espan perspective just add sections or chap -
ters on adulthood and old age, extending the time span for dev elopment, but do
not integrate them. Relatively f ew investig ations attempt to look at specific phe -
nomena across the lifespan (for a summary , see also Moersdorf etal., 2022 ), for
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example, decision-making (Lindow & Lang, 2021 ), or theory of mind (Bernstein
etal., 2011 ), or to examine methodological difficulties of this perspective (e.g.,
with respect to personality inventories: Brandt etal., 2020 ): not rarely, studies
and paper still focus largel y on adulthood (e.g., Heckhausen & Schulz, 1995 ;
Heckhausen etal., 2010 , 2019 , on control) and thus do not investigate the entire
lifespan.
The fact that a serious lifespan perspective has rarel y been pursued is proba -
bly not so much because fundamental objections to the lifespan perspectiv e (e.g.,
Bischof, 2008 ) are widely shared. Several methodological problems of the lifes -
pan perspective (Moersdorf et al., 2022 ) ar e also unlikely to be insurmountable
obstacles; in particular, problems of (ensuring) measurement equivalence across
ages are not a problem specific to this perspective, but are also serious within
shorter time periods in which considerable qualitative development occurs (cog -
nitive development in c hildhood offers many examples of this; Bjorklund & Cau -
sey, 2018 ; Care y, 2009 ).
Howev er, some conceptual problems of the lifespan approach ha ve also not
been sufficiently clarified (Moersdorf et al., 2022 ), which also affect the point
discussed here. Perhaps the most far-reac hing is the point raised at the outset that
the lifespan approach is not a theory: it does not explain de velopment to extend
the time span considered (even if naming systematic chang es across the lifespan
as”development” were consensual). Rather , even studies that are explicitl y com -
mitted to this approach add changes that occur after adolescence, if systematic
enough, to the sequence of phases in the earlier stages of life (chang es in cog -
nitive abilities in older and high adulthood are a prototypical exam ple; Baltes,
Lindenberger & Staudinger, 2006 ; Baltes e t al., 1999 ). Howe ver, at first glance
these approaches hardly go bey ond the (generalized) description of trajectories
across life spans. Postulating a seq uence of qualitatively distinguishable stages
(across the life course) cannot explain de velopment (Siegler, 1996 ). How ever, the
processes that control and regulate—and thus explain—development are rarel y
named (Piaget is a notable exception: e.g., Chapman, 1988 ). In f act, phase-ori -
ented approaches are not really sufficient ev en from a descriptive perspective: it
has become increasingly evident that not only o vertly culture-dependent phenom -
ena such as morality or identity, but also phenomena that seem to be e volutionar -
ily basal such as attachment are highly conte xt-dependent (Keller etal., 2017 ).
It is therefore not surprising that the detailed study of individual objects and phe-
nomena is more attractive, for instance the careful in vestigation of the timing, scope,
and course of the ability of “theory of mind” (e.g., Bernstein et al., 2011 ; Derksen
etal., 2018 ; Rakoczy , 2017 ; Rakoczy & Schmidt, 2013 ; Wellman etal., 2001 ), the
physiological and neurological basis of changes in mental functions in old age (e.g.,
Lövdén etal., 2010 ), or the exact (micro-)course of emotional regulation processes
(e.g., Blume et al., 2022 ). Notably, this research is certainly theory-driven, and it
has often yielded not only empirical and theoretical insights, but also methodologi-
cal advances (e.g., Neubauer etal., 2022 ). But its goal is typically a differentiated
clarification of the respective focused phenomenon, rarely its placement in relation
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1 3
to other phenomena, and even more rarely a placement in a g eneral picture of human
development (Tomasello, 2019 , is a no table exception).
The Processual Turn: Developmen tal Regulation asaUnifying
Perspective onDevelopment
The lifespan approach comprises (although not entails) the assumption that the
course of human development across the lif espan is not determined by a fixed or
innate (e.g., genetical) program or blueprint. Human development is characterized
by a high degree of plasticity (Baltes, 1987 ; Lövdén etal., 2010 ), it does not simpl y
run along fixed steps, but its course depends on developmental conditions. In par -
ticular, modern lifespan approaches share the view that individual self-regulation
of development becomes increasingly rele vant from adolescence onw ard (Baltes,
1997 ; Brandtstädter, 2006 ; Brandtstädter & Lerner, 1999 ; Lerner & Busch-Ross -
nagel, 1981 ). Beyond universal trajectories and socio-cultural influences (V alsiner,
2000 ), the individual pursuit of developmental goals seem to play an essential shap -
ing role: adult development is activ ely and intentionally shaped by the dev eloping
individual (Brandtstädter, 2006 ; Lerner & Busch-Rossnagel, 1981 ; Featherman &
Lerner, 1985 ). In terms of universal descriptions of life courses, this complicates at
first glance the quest for a unified theory of human development in adulthood (and
thus across the life span): Life courses are c haracterized by a high degree of indi -
viduality (as Charlotte Bühler, 1933 , had emphasized almost a century ago).
Howev er, individuality does certainly not preclude a general, universal theory
of human behavior and development (V alsiner , 2017 ). Actually , the actional expla-
nation of human development marks the beginning of a change of the theoretical
perspective. If “action” and the concepts implicit in it such as “goal”, “intention”,
or “control”, do regulate human development (at least in adulthood) (Brandtstäd-
ter, 2006 ; Brandtstädter & Lerner, 1999 ), then this is a unified and cross-contextual
construct relevant for the explanation of (individual) de velopmental trajectories.
Accordingly , several lifespan appr oaches examined the role of goal and control for
developmental trajectories (Brandtstädter, 1992 ; Freund etal., 2019 ; Freund & Rie-
diger, 2006 Heckhausen etal., 2010 , 2019 ).
Ye t, certainly individuals cannot be “producers” but at best “co-producers” of
their development: not only e xternal constraints but in particular internal precondi-
tions for action shape development no less than goals, intentions or decisions and
goal-directed (development-related) action. Internal conditions or components of
actions, howev er, cannot certainly not be explained in an action-theoretical f ormat
(Brandtstädter, 2006 ). Further more, the increase of problems and losses that par-
ticularly characterize late adulthood and old age in particular directed the attention
to adaptation and compensation processes. Therefore, the role of compensatory and
palliative regulatory processes has been a second important focus for dev elopmental
theories at the end of the twentieth century, perhaps even the more important one
(Baltes, 1997 ; Baltes & Baltes, 1990 ; Brandtstädter, 2006 ; Brandtstädter & Greve,
1994 ; Brandtstädter & Renner, 1990 ; Brandtstädter & Rothermund, 2002 ; Freund,
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2008 ; Freund & Baltes, 2000 ; Freund et al., 1999 ; Heckhausen et al., 2010 , 2019 ;
Staudinger & Lindenberger, 2003 ). The in vestigation of possible responses to chal-
lenges, blockages and losses in late adulthood and old age links the consideration of
lifespan dev elopmental trajectories to the (micro) processes of coping with current
challenges: critical life ev ents and current stresses as well as developmental tasks.
One will hardly be able to contradict Popper’ s ( 1994 ) famous formulation “all lif e is
problem solving” in this general form. Slightly e xaggerated, one could subsequently
say that it is the function of development to enable us to sol ve new problems. Since
development itself consists of a sequence of c hallenges (problems, crises, tasks),
problem solving is obviously constitutiv e for human dev elopment. Since individual
development cannot be regulated independently of these micro-pr ocesses (precisely
because it consists of them), conceptual links and equivalences between micro-pro-
cesses and cross-cutting developmental trajectories are necessary prerequisites for
any integrative perspective (Aldwin, 2007 ).
The argument by Baltes et al. ( 2006 ) to distinguish several theoretical lev els
(from macro- to micro-processes) asks for an integrative perspectiv e that clarifies
the inter-level-relationships. One of the difficulties of such integration is that while
some responses to challenges and problems can be reconstructed in an intentional
format (e.g., as “strategic responses”; e.g., compensatory efforts or systematic
recruitment of social support)—by no means all of them. In particular, changing and
adjusting goals in content or weight (letting go or dev aluing and revaluing blocked
goals, compensatory upweighting of alternative goals, etc.; Brandtstädter & Renner,
1990 ; Brandtstädter & Rothermund, 2002 ; Heckhausen etal., 2010 , 2019 ; Wrosch
etal., 2003a , b ) typically does not occur intentionall y and rarely in a controlled man-
ner (Brandtstädter, 2006 ). The theoretical approaches mentioned discuss this con-
ceptual tension between a personal (actional) response and a subpersonal (proces-
sual) regulation (Rothermund etal., 2020 ; Wentura, 2005 ) q uite differently (Boerner
& Jopp, 2007 ; Haase etal., 2013 ). However, f or the purpose of the following con-
siderations, such differences between these approaches (Kappes & Gre ve, subm.) are
less significant than several common points.
To begin with, all of these theories of developmental regulation in adulthood
and later life share a processual perspectiv e: The focus is alwa ys on developmental
regulatory processes (how are challenges and crises resolved?), no t on identifying
specific developmental phases or trajectories (who can, shows, or loses what and
when?). Actually , this processual perspective is perhaps the more enduring yield of
the lifespan perspective: Not so muc h a temporal expansion of the life stages and
themes considered as primarily this “processual turn” in developmental psychology
might become the most consequential aspect of the lifespan approach. This proces-
sual turn may not have been the main intention of these theories at first, and inte-
grative potential of the process perspective has been too little exploited, but it does
change the view of human ontogenesis.
For the purpose of the present argument, two aspects are particularly important.
First, the view of regulative processes on human de velopment opens the perspective
to explain not only (continuous or discontinuous) chang es, but also stability with
reference to one and the same process—depending on the respective realized condi-
tions and the level considered. Second, this opens the view of possible integration
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1 3
of developmental processes in childhood and adolescence that not just e xplain the
basic conditions for later stages but rather provide necessary and constitutiv e com-
ponents of adult regulatory processes. This might be a more promising way to an
integrative lifespan perspective on human de velopment.
Stability: AVariant, nottheOpposite ofDe velopment
A number of studies have sho wn that the individual preparedness to adjust goals
(flexibility of goal adjustment; Brandtstädter & Renner, 1990 ) is a predictor f or the
stability of the self and well-being (Brandtstädter & Greve, 1994 ; Brandtstädter
etal., 1993 ) and a buffer against a versive circumstances and experiences (e.g., Grev e
etal., 2001 ; Greve & Enzmann, 2003 ; Grev e etal., 2017 ; Rühs etal., 2017 ; Thom-
sen etal., 2015 ), and, thus, can explain unexpected patterns of findings of “lacking”
changes (“well-being paradox”; S taudinger, 2000 ). The development of the self o ver
the life span and especially the processes maintaining identity and continuity of the
adult self (e.g., Brandtstädter & Greve, 1994 ; Grev e & Wentura, 2003 , 2010 ; Marek
etal., 2022 ) can illustrate this thesis in a particular way, making clear ho w the pro-
cessual view on development can e xplain different states (dynamically changing as
well as appearing stable). Certainly, stability can arise in several w ays. For exam-
ple, stability and predictability are useful for social cooperation, and might therefore
be intentionally pursued. Accordingly , the phenomenon of “cumulative stability”
(Roberts & Caspi, 2003 ; Roberts & DelVecc hio, 2000 ; Roberts et al., 2008 ) may
be an expression of how our pursuit of stability is increasingly effectiv ely realized
in adulthood (Greve, 2005 ). But this shifts rather than answers the question: How
can the stability of the self (and hence of personal goals) be explained, how does
it come about, how do we maintain it—when so much seems to chang e in us and
around us? How do we succeed in beha ving and experiencing relative stability in
changing environments and as lif e-long changing beings? For this, the reference to
defensive mechanisms (o verview: Leary & Tangne y, 2012 ) is obviously not enough,
because defensive mechanisms ha ve costs: they f ail to recognize realities that might
sometimes be important to take note of. We need to kno w ourselves, especially our
limits and weaknesses, perhaps not as precisely as possible, but as precisely as nec-
essary, if our plans and actions are not to continually f ail. Even compromising pro-
cesses (e.g., “self-immunization”; Greve & W entura, 2003 , 2010 ) are insufficient
because the experience of stability is then bought at the price of partial ignorance
and decreasing social connectivity. W e should register relev ant physical changes
in order to be able to react to them strategically (selective, optimizing, compensat-
ing: Freund et al., 1999 ). So we also need self-stabilization processes that accept
realities, even unpleasant ones. This is precisely where the accommodativ e mode
(Brandtstädter & Greve, 1994 ) comes in: The crucial point here is that accommodat-
ing (relative) importance does not imply denying chang e, but merely changing its
meaning or value.
Hence, one of the major achievements of the processual vie w on human devel-
opment is the insight that stability (at a certain level) can be considered a special
case of development, not as the opposite; the apparent tension between c hange and
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Integrative Psychological and Behavioral Science
stability can be resolved if attention is paid to which le vel and boundary conditions
are in view in each case (V alsiner, 2000 ). At the same time, this allow s for the inte-
gration of phenomena such as resilience, which only at first glance signal an alter -
native to development (under s tressful conditions), but are actually the name for a
(stable) developmental course under certain constellations of conditions (Greve &
Staudinger, 2006 ; Leipold & Grev e, 2009 ).
This perspective on stability as a developmental phenomenon (outcome) is the
condition for the possibility of seriously applying the lifespan perspectiv e to human
development, because it ov ercomes (one can say: circumv ents) the objection that
adulthood is characterized by a high stability, that ev en tends to increase with age
(Roberts & Caspi, 2003 ; Roberts & DelVecc hio, 2000 ; Roberts etal., 2008 ). If sta-
bility were the opposite of development, then there would be no de velopment in
adulthood, and, thus, a lifespan perspective would be meaningless until v ery old age.
If, howev er, stability (on a particular level) is seen as produced by processes on other
(i.e.: lower) lev els, if stability occurs through change (“allostasis”; Sterling & Ey er,
1988 ; see also V alsiner, 2000 ), stability becomes an explanandum of developmental
theories. At the same time, this view avoids conceptual problems of e xplanations (of
behavior or changes) that ref er to stable attributes (traits, competencies, dispositions,
etc.; Greve & Kappes, 2017 ).
Produced Producer: Regulative Pr ocesses asResult ofandCondition
forDevelopment
So far, the processual view lea ves open the question of how de velopmental regula-
tive processes develop: Ho w and when they emerge and chang e, and why (Greve &
Kappes, 2023 ). A number of studies has shown that individuals vary considerably
with respect to their preparedness and ability to accommodate their goals or val-
ues (Brandtstädter, 2006 ; Brandtstädter & Rothermund, 2002 ; Haase et al., 2013 ;
Heckhausen etal., 2010 , 2019 ; Kappes & Gre ve, subm.). The fact that there are indi-
vidual differences in the availability of these regulatory and adaptive processes indi-
cates that they are dependent on developmental conditions and processes. Although
this question remains unresolved f or the time being, it is first important to note that
accommodative and other adaptive processes are visible across the lif espan, not only
across adulthood (Brandtstädter & Greve, 1994 ; Brandtstädter et al., 1993 ; Heck-
hausen etal., 2010 , Heckhausen etal., 2019 ), but also in childhood and adolescence
(Lessing etal., 2019 ; Thomsen & Greve, 2013 ; overview: Grev e & Kappes, 2023 ).
In this respect, accommodative processes are a plausible candidate for the assump-
tion that developmental regulatory processes indeed regulate development across
the lifespan.
Moreover, the e xample of accommodative dev elopmental regulation can well
illustrate how such a process can be both a product and a producer of de velop-
ment. In this context, it is helpful to note the distinction between “ontogene tic” and
“deferred” adaptations (Bjorklund, 1997 , 2021 ; see next section). It is worthwhile
to distinguish between immediate functional forms of coping and regulation, on the
one hand, and the developmental processes to be undergone necessarily in childhood
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1 3
and adolescence to build (the components of) adaptive forms of coping and regula-
tion in adulthood, on the other. The examination of immediate (sync hronous) age-
related and prospective (diachronous) dev elopmental functionality of the presence
and change of a concrete capability will typically onl y allow an adequate explana-
tion of the development of a capability such as accommodativ e developmental regu-
lation when considered together.
Admittedly , the question of which processes regulate the development of the
developmental regulatory process under consideration is theoretically complex,
because the recognizable danger of a regr essus ad infinitum can only be av oided if it
were possible to identify a process (of the second order) that in turn does not require
a further regulatory (third order) process for its explanation. It is a central concern
of this contribution to sketch such a second-order (at the same time also first-order)
process: adaptation. This, howev er, requires a second approach.
Adaptation – AnEvolutionary Perspective onExplanation
ofDevelopmental Dynamics
The second starting point is the insight that, in order to answer the question of why
we develop at all (not all or ganisms do: bacteria, for example, do not), and wh y
we develop as w e do, an evolutionary perspective is necessary . Like all other phe-
nomena invol ving humans (and all other living organisms), the fact of development
itself, even more so the structural course of development are products of e volution.
Especially human ontogenesis, which on the one hand enters the phase of reproduc-
tion extraordinarily late and on the other hand has a very extraordinarily long post-
reproductive phase, seems to be in particular need of explanation from an ev olution-
ary point of view.
Evolutionary Psychology – T he Developmental Gap ofEvolutionary Theory
Reiterated
Howev er, an evolutionary perspective on psy chology has been a long time coming:
It was not until more than a decade after Wilson’ s seminal theses on “sociobiology”
( 1975 ) that the first work on evolutionary psyc hology attracted serious attention (an
important step was the edition by Barkow e tal., 1992 ). Meanwhile, there are studies
on numerous areas of psychology (e.g., prosocial beha vior: Nowak, 2006 ; antiso-
cial behavior: Buss, 2005 ; Daly & Wilson, 1988 ; languag e: Pinker, 1994 ; intelli-
gence: Geary, 2005 ; famil y: Salmon & Shackelf ord, 2007 ; personality Buss & Greil-
ing, 1999 ), and a number of textbooks and editions have appeared (Badcock, 2000 ;
Barrett etal., 2002 ; Buss, 2016 , 2019 ; Crawford & Krebs, 1998 ; Dunbar & Barrett,
2009 ; Gaulin & McBurney, 2004 ; Laland & Bro wn, 2002 ; Palmer & Palmer, 2002 ;
Plotkin, 2004 ; Workman & Reader , 2004 ). And there is much to suggest that this
evolutionary perspective ma y actually be of help to psychology as a science (Zagaria
etal., 2020 ).
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Ye t, in some respects the reception of an evolutionary perspective in psychology
repeats the history of evolutionary theory in biology (Mayr, 1982 ): a dev elopmental
perspective received late and only mar ginal attention. Despite a few earlier precur -
sors (Bonner, 1958 ; Gould, 1977 ), only ev olutionary developmental biology (nick -
named "Evo-Devo"; Carroll, 2005 ) by the end of the twentie th century has made
strong arguments that for ev olutionary dynamics to be effective, not only reliable
ontogeny , but precisely dynamic and adaptive individual dev elopment is at any rate
useful, perhaps necessary (e.g., Arthur, 2011 ; Hall, 1999 ; West-Eberhard, 2003 ).
Likewise, the developmental perspectiv e in psychology has rarely been considered
from an evolutionary theoretical perspective (despite earl y pioneers: J.M. Bald-
win, 1902 ). Notable exceptions include in particular the seminal work of Bjorklund
( 1997 , 2003 , 2007 , 2016 , 2021 ; Björklund & Green, 1992 ; Bjorklund & Pellegrini,
2002 ; Geary & Björklund, 2000 ), among other contributions (e.g., Burgess & Mac-
Donald, 2005 ; Konner, 2010 : for review : Bjorklund et al., 2016 ). The perspective
of evolutionary developmental psyc hology has earned the merit not only of point-
ing out the fact in the first place that human development, like other human attrib-
utes and processes, must be the product of evolution, but also of making con vinc-
ingly clear how this insight can be used empirically to better understand human
development.
Nevertheless, an evolutionary perspective on human de velopment has remained
a specialized field. Although some developmental psychology te xtbooks have also
now incorporated this perspective (Greve & Bjorklund, 2018 ; b y no means all of
them – especially when the life span perspective is f ollowed), and ev olutionary psy-
chology handbooks also have a c hapter on development (Buss, 2016 , 2019 ), neither
developmental psychology te xtbooks have systematicall y linked the evolutionary
perspective to other aspects (of development or human beha vior) nor evolution-
ary psychological textbooks refer sys tematically to a developmental point of view
(beyond adding it as one important aspect among others).
Evolutionary Developmental Psychology: Is aLif espan Perspective Compatible?
In particular, the lifespan perspective of dev elopmental psychology has very rarely
been linked to an evolutionary perspective (Gre ve & Bjorklund, 2009 ; see also
Bogin, 1997 ; Bogin & Smith, 1996 ). Rather, work on evolutionary dev elopmental
psychology has focused almost e xclusively on the first decade of lif e (Bjorklund,
2021 ; Bjorklund & Ellis, 2014 ). Although evolutionary theory formulated the ques-
tion of an explanation of postreproductive old ag e early on (e.g., Austad, 1997 ;
Carey & Judge, 2001 ), and anthropology has discussed, for e xample, the role of
grandparents in reproduction in a number of studies (Hawkes, 2004 ; V oland etal.,
2005 ), the viewpoint of age has hardly been discussed from an ev olutionary perspec-
tive in developmental psyc hology (Greve & Bjorklund, 2009 ). In fact, at leas t at first
glance, the life span perspective does not seem to fit with an ev olutionary perspec-
tive: already the phenomenon of aging itself, but even more so a sy stematic structure
of aging, can hardly be explained, it seems, f or a life stage in which reproduction
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1 3
has already taken place: “The benefits resulting from evolutionary selection evince a
negative age correlation” (Baltes, 1997 , p. 367).
There are, howev er, god reasons for the compatibility of an ev olutionary perspec-
tive with a lifespan perspective (Gr eve & Bjorklund, 2009 ), in particular also for
a compatibility with stabilizing processes in general and accommodative processes
in particular (Greve & Thomsen, 2016 ; Greve e t al., 2014 ). If the functionality of
older and old members of a community is to use the accumulated and integrated
experiences of a (long) life to improv e the survival and reproductive prospects of
the younger members of the group (Diamond, 2001 ; Mergler & Goldstein, 1983 )),
then this requires not only communicative skills and transgenerational inter ac-
tions (Kessler & Staudinger, 2007 ; V oland etal., 2005 ), also not only the ability to
memorize (Mergler & Goldstein, 1983 ) and remember especially older experiences
(Rubin et al., 1986 ), but also the ability to integrate single or regular experiences
into a cognitive network that allo ws to give advice also for new, at best structurally
comparable cases and constellations. Wisdom (defined as a well-balanced coordina-
tion of emotions, motivation, and thought, with good judgement and the ability to
offer advice in difficult and uncertain matters of life; Staudinger & Dörner, 2006 )
should prove an important resource of the elderly (e.g., Baltes & Staudinger , 2000 ;
Staudinger, 1999 ). Wisdom, and its usage for younger generations, in turn, appar-
ently presupposes stability of numerous mental functions—from cognitive capaci-
ties to integrative functions of self and personality (such as processes of self-esteem
maintenance). It is for this function that the processes of stabilization mentioned
above are relev ant, presumably necessary, especially in late adulthood and old age
(Greve & Bjorklund, 2009 ).
Adaptation: From Phylogen y toOntogeny
Howev er, even the extension of the e volutionary perspective to the whole life span
(in particular, as mentioned above, the older age) does not use the theoretical poten-
tial of the evolutionary theory sufficiently . The special point of evolutionary theory
is its abstraction. The process of adaptation (channeled through history, whic h docu-
ments and reflects the contingent factual course of the preceding phylog enesis) is the
conceptual core of the theory (Gould, 2002 ; Maynard Smith, 1958 ). Note that this
theoretical core is not dependent on concrete (physiological or biochemical) realiza-
tion: Remarkably , Darwin’s conception of ho w heredity works was entirel y wrong,
and remarkably , the concrete mechanism of organic heredity is entirely indiffer -
ent to the soundness of his theory. Y et the systematic application of the theoretical
core of evolutionary theory – adaptation and history (Greve & Kappes, 2017 ) – to
human ontogeny is still pending (f or exceptions, see Lickliter & Hone ycutt, 2003 ;
Siegler, 1996 ). This concerns in particular the central concept of adaptation (“selec-
tive retention of fitness-enhancing variants”; Campbell, 1960 , 1969 )—and thus the
concepts of selection, retention, fitness, and variation entailed by it.
Why is adaptation more than a prototypical example f or an application of evolu-
tionary concepts on human development? The main idea of this plea is that adapta-
tion is a process that is also self-explanatory—at least that does not in turn require
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Integrative Psychological and Behavioral Science
another process to explain it, thus av oiding infinite regress. One important line of
reasoning leading to this argument is the consideration that adaptability, which v ar-
ies between species, is itself a product of ev olutionary and thus adaptive processes
(e.g., Lasker, 1969 ; Moran, 2008 ; W agner, 2005 ; W agner & Altenberg, 1996 ). The
analogous application of this idea to human development leads to an explanation of
individual differences in adaptability – and thus back to individual differences with
respect to adaptive regulatory processes (e.g., accommodation).
Accordingly , if individual adaptivity (both ontogenetical and micro-processual)
is a core of (human) development, if adaptivity has dev eloped throughout our phy-
logeny (i.e. ev olution), and if both levels (“dimensions”) of dev elopment (phylogeny
and ontogeny) proceed according to the very same principles (selective retention of
fitness-enhancing variants), then individual development could be view ed as adapta-
tion to “tasks” or “problems” or “crises”, and the ontogenetical development of indi-
vidual adaptivity should follow these (adaptive) principles as well. A ccording to this
idea, adaptation would be, at the same time, process and product of development (on
phylogenetical, ontog enetical and microprocessual layers).
One implication of this perspective is the assumption that development, like
evolution, is stimulized or ev en forced by problems. If adaptivity is a de velopmen-
tal result of a variety of reactions to challenges, then individual adaptivity should
benefit from a variety (heterogeneity) of challeng es (problems, tasks, crises). There
is some first evidence that heterogeneous lif e circumstances actually support (at
least predict) individual adaptivity (here: individual preparedness and capability of
goalaccommodation). For instance, Greve and Thomsen ( 2013 ; Thomsen & Greve,
2013 ) found in two studies that heterog eneous leisure activities in childhood predict
flexibility of goal adjustment in adolescence, and Greve e tal. ( 2021 ) found that mul-
tilingualism in childhood predicts flexibility of goal adjustment in adulthood.
Adaptation: Theoretical Challenges
The recursive ("self-explanatory") potential of the concept of adaptation addressed
above is demonstrated b y the fact that adaptation could (help) explain how differ-
ences in adaptivity arise. In a study of a group of genetically identical mice (Freund
etal., 2013 ) raised in a large and heterog eneous cage environment, it was sho wn that
initially random behavioral v ariations between individual mice self-sustained into
differential behavioral dispositions that led to increasingly distinct differences in
how they used the (potentially) heterog eneous cage environment. The differences in
explorativeness (and thus heterogeneity of de velopmental stimulation) in turn then
led to measurable developmental differences (in this study , brain structures). The
unsystematic variation, which is at the beginning of the explanation, then leads to
different manifest dev elopmental trajectories via the different effects that the varying
behavior has on the behaving individual. It is precisel y this process that the concept
of adaptation describes.
Thus, the central concern of the theoretical application of evolution in general
and adaptation in particular is to investigate to what extent the dynamics (selection),
consistency (retention), and individuality (variation) of human development can be
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Integrative Psychological and Behavioral Science
1 3
described in a theoretically integrative wa y with the help of these concepts (among
some others). To this end, several theoretical pr oblems need to be discussed, includ-
ing (i) the more precise conceptualization of adaptation (selection, variation, reten-
tion, fitness), (ii) the question of what other evolutionary concepts can or must be
considered for a theoretical perspective on human de velopment, and (iii) the ques-
tion of the unit of (evolutionary)selection.
(i) Evolutionary theory has admittedly struggled with the centrality of the con -
cept of adaptation since the seminal critique of Gould and Lewontin ( 1978 ).
Actually , there are several competing conceptualizations (e.g., Andrew s etal.,
2003 ; Buller, 2005 ; Buss etal., 1998 ; Orzack & Sober , 2001 ; Reeve & Sher -
man, 1993 ; Rose & Lauder, 1996 ; W illiams, 1966 ), in particular with respect
to the question of whether everything we can observe at a giv en point in time
in terms of distinctive (at least widespread) attributes is an adaptation (func -
tional with respect to the given circumstances: Fisher, 1930 ; Ree ve & Sher -
man, 1993 ), or the result of an adaptation (functional with respect to former
circumstances: Sterelny & Griffiths, 1999 ), or both (Grafen, 1982 ; Williams,
1966 ).
Of course, numerous approaches have considered human behavior as adapta -
tion (e.g., Cronk etal., 2000 ). What needs to be clarified, therefore, is a viable
notion of adaptation that can also be connectable in psychology: there are
countless examples of a merely metaphorical use of the notion of adaptation,
especially in psychology . Adaptation is now ubiquit ous in numerous areas of
psychology , not just in various strands of evolutionary psychology (Bar kow
etal., 1992 ; Bjorklund & Ellis, 2005; Buss e tal., 1998 ), but in numerous other
fields, such as emotion regulation (Lazarus, 1991 ), coping theories (Taylor ,
1983 ; V aillant, 1977 ; Wrosch etal., 2003a , b ), personality approaches (Buss
& Greiling, 1999 ), rationality theories (Gigerenzer, 2000 ), cognitive processes
(Anderson, 1991 ), and, of course, human development (e.g., Baltes, 1997 ;
Greve etal., 2005 ; Piaget, 1978 , 1980 ). If we are to ov ercome a mere meta -
phorical (loose) usage of the concept of adaptation, we are badly in need of
of conceptual clarification.
(ii) Certainly, evolution must no t be reduced to adaptation (this is a central tenet
of the discussion from Gould & Lewontin ’s, 1978 , plea on ward). If adaptation
is an important, but not an exclusive concept of an ev olutionary perspective,
the extent to which other ev olutionary processes (such as drift; Brandon, 2006 ;
Futuyama, 1998 ) can be applied to human development must be examined.
Although this task is still to be solved, its necessity will probably pro ve to be
a theoretical advantage: the burden of explaining human dev elopment would
have become too hea vy for just one concept (adaptation).
(iii) Psychology—and dev elopmental psychology in particular—focuses on indi -
viduals. But if evolution (according to widely held vie ws; e.g., Futuyma, 1998 ;
Gould, 2002 ; Maynard Smith, 1958 ; Ma yr, 2001 ) focuses on populations – can
evolution (and adaptation) be applied in a more than metaphorical sense to
ontogeny of persons? Bey ond a serious recognition of the “unit of selection”
problem (e.g., Gould & Lloyd, 1999 ), any affirmative answer mak es an impor -
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1 3
Integrative Psychological and Behavioral Science
tant assumption that needs to be discussed in more detail: The thesis that the
relevant unit of dev elopment (whether ontogenetic or phylogene tic) is devel -
opmental systems. Remarkably , although this approach was first f ormulated
in evolutionary theory (Griffith & Gray, 2004 ; Oyama, 1985 ), it w as taken up
very early (and quite independently of an e volutionary perspective) in devel -
opmental psychology (Ford & Lerner, 1992 ; Thelen & Smith, 1994 ). It is still
not central there either (many textbooks do not deal with the topic or only in
passing), but it has been discussed in more detail in theoretical volumes for
some time (Overton & Molenaar, 2015 ). If this approach can be de fended, that
is, if there is evolution (dev elopment) at multiple levels (Jablonka & Lamb,
2005 ; Sober & Wilson, 1998 ), then the idea that the same (not just similar)
processes are operative at all lev els is no longer implausible.
If humans are developmental systems (and parts of dev elopmental systems,
and consist of developmental systems), and if their dev elopment could be recon-
structed—and thus: explained—in evolutionary terms, then it must be taken into
account that systems do not only change linear ly, but typicall y dynamically and in a
complex wa y. Although the concept of dynamic systems (Feldman, 2019 ) w as taken
up early in developmental psy chology (Thelen & Smith, 1994 ), it has so far only
been taken up in relatively specialized (methodological) discussions (e.g., Boker &
Weng er, 2008 ; see Overton & Molenaar, 2015 ); although it is hardly doubted on
the merits, it has so far only been possible to apply it empirically , to developmen-
tal topics in narrowly defined fields (e.g., Lenzing etal., 2023 ). Here, t he crucial
challenge of the coming years will be to make suc h methodological (mathematical)
approaches empirically useful in developmental psy chology. The comple x systems
approach, which takes another significant step f orward here (Mitchell, 2009 ), is even
less frequently discussed—although it is recognizably w orthy of attention. It is the
plan of this chapter to contour the opportunities and challenges inherent in such an
extension. It will be particularly fruitful not only , but especially, if it w ere viable to
describe human ontogenesis in evolutionary terms, i.e., self-regulated.
Conclusion
The resulting view on human development w ould then not only be a serious life span
approach, but at the same time a biological approach, which w ould not be confined
to a specific physical realization (i.e., would not ha ve to presuppose certain assump-
tions about, for example, g enetic or neurological processes). It is precisely the theo-
retical application of the adaptation concept that allows for a s tructural and proces-
sual understanding of development that is at the same time universal and not onl y
takes individuality into account but also explains it. This view might be called “indi-
vidual evolution”. Among the theoretical challenges of suc h an approach will be the
defense of a non-reductionist psychology that takes biological pr ocesses seriously
without reducing psychology to physiology . Central in this context is the thesis that
the special potential of the theory of evolution lies in the abstract theory, not (only)
in the precise physiological description of the way humans are f actually realized (the
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Integrative Psychological and Behavioral Science
1 3
theory of evolution has gained in plausibility since 1859, although Darwin’ s idea of
how heredity is realized in humans and other animals was entirel y incorrect).
In order to apply the concept of adaptation to human ontogeny in this theoretical
and abstract manner (and not just use it metaphorically as an illustration), the ques-
tion must be answered how inf ormation transfer (which in phylogene tic evolution in
the sense of inheritance is one of the conditions of adaptation and thus evolution)
can be thought of intraindividually, especiall y in a way that simultaneously ensures
both variation and retention. Since the mid-twentieth century, ev olutionary theory
has very largely settled on the idea that in ev olutionary dynamics this transgenera-
tional transfer of information (including a sufficiently small but at the same time
sufficiently large amount of unsystematic variation) is realized via genes encoded in
DNA that is retained and used in the cells of all living organisms. The application of
the adaptation concept to other (i.e., individual) developmental dynamics implies a
comparably functional realization of horizontal (learning) and vertical (inheritance)
information transfer .
It is perhaps the most difficult challenge for the en visioned application of adap-
tation to human ontogeny that such a concept of transf er of information must be
defended against the numerous and serious criticisms that several approaches to
applying evolutionary theory to non-biological entities (especially culture: Boyd &
Richerson, 2005 ; Distin, 2011 ) have been subjected to. Prototypical of this discus-
sion is the ambitious concept of “memes” (originally proposed by Dawkins, 1976 ;
see Aunger, 2000 ; Blac kmore, 1999 ; Distin, 2005 ), which (although the term has
endured) has so far failed to pro ve scientifically fruitful. To prepare a future solu-
tion, it will be certainly necessary to apply some aspects of modern information the-
ory (for a smart introduction: Gleick, 2011 ) to psychological content.
The quest for such an integrativ e application and perspective, howev er, might
be worth the effort. The promise of this application of adaptation to human devel-
opment could be (1) an integration of productive theories of human development
(e.g., Piaget, Erikson, Havighurst, Bow lby , Marcia), (2) an integration of vari-
ous approaches from a lifespan perspectiv e (Baltes, 1997 ; Baltes & Baltes, 1990 ;
Brandtstädter, 2006 ; Brandtstädter & Rothermund, 2002 ; Heckhausen et al., 2010 ,
2019 ; Ford & Lerner, 1992 ; Thelen & Smith, 1994 , to name a few), (3) a conceptual
framework f or current issues (e.g., resilience; Greve & Staudinger, 2006 ; Leipold
& Greve, 2009 ), (4) an integration of both micro-processes and macro-processes of
change (Coping, Learning) into one concept of development, (5) the final extinction
of intellectual zombies (e.g., a fruitless „nature-nurture “ dichotomy), and (6) the
adoption of a conceptual evolutionary psychology perspectiv e without using non-
plausible assumptions of evolutionary psychology (suc h as the „massive modularity
hypothesis “; Buller, 2005 ).
An evolutionary perspective on human dev elopment might pave the wa y not only
to understand why we dev elop in the first place, and not only to better understand
the current and postponed functionality of different developmental steps, but also to
be able to explain how dev elopment happens, how it is controlled. W e do need the-
ory in (developmental) psychology (“No science can be ‘empirical’ only”; V alsiner,
2000 , p. 2). That is why it is worth looking for an abstract and integrative theory of
development.
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1 3
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Acknowledgements The arguments outlined in this paper have been discussed over decades with many
colleagues and friends. For innumerable insights, objections, suggestions, hints and ideas I am particu-
larly indebted to David Bjorklund, Alex andra Freund, Cathleen Kappes, Ulman Lindenberger, Bernhard
Leipold, Claudia Mähler, Klaus Rothermund, Farina Rühs, Petra Sandhagen, Ursula Stauding er, Tamara
Thomsen and Dirk Wentura, among sev eral others. The gratitude that I owe to my mentors Jochen
Brandtstädter and Günter Krampen can never be repaid – I shall remember and honor their inspiration
and the attitude of scientific seriousness they taught me across my lifespan.
Author contributions W .G. wrote the entire text of this manuscript.
Funding Open Access funding enabled and organized by Projekt DEAL.
Declarations
Competing interests The authors declare no competing interests.
Open Access This article is licensed under a Creative Commons Attribution 4.0 International License,
which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as
you give appropriate credit to the original author(s) and the source, provide a link to the Creative Com-
mons licence, and indicate if changes were made. The images or other third party material in this article
are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the
material. If material is not included in the article’s Creative Commons licence and your intended use is
not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission
directly from the copyright holder. To vie w a copy of this licence, visit http:// creat iveco mmons. org/ licen
ses/ by/4. 0/ .
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... Of course, the examples are very superficially presented; yet what they mean to convey, is that a sociocultural developmental view, supported by an open dynamic approach enables us, via concepts such as rupture, transition and dynamic patterns, to account for variations in adaptivity and sense-making, and for the emergence of newness in people's personal engagements.
Greve (2023)
proposes a diagnostic of the current fragmentation of developmental psychology, and a cure, to recur to evolutionary psychology. With many others, I tend to concur with the diagnostic; but I believe that the response overlooks alternative attempts to overcome the crises. ...
Integrative Perspectives on Human Development: Dynamic and Semiotic
INTEGR PSYCHOL BEHAV
Tania Zittoun
Werner Greve argues for an abstract and integrative theory of development; to progress toward such a theory, he suggests that evolutionary psychology can provide concepts for a processual approach to adaptation. To complement this perspective, I propose to start where the author finishes: the need to further qualify change, and to account for information. Considering ruptures and sense-making as cornerstones of a developmental approach, I recall that open dynamic approaches offer a meta-theoretical frame for an integrative developmental psychology, and that cultural approaches already and always account for meaning-making to start with. Assuming these two givens, a variety of integrative propositions account for stability and change; I present an historical example, the work of Gordon Allport, and a current one, our work as sociocultural psychologists, to show how the theoretical and heuristic interest of this proposition.
| https://www.researchgate.net/publication/370261966_Adaptation_across_the_Lifespan_Towards_a_Processual_Evolutionary_Explanation_of_Human_Development |
DOMINGO PADUA v. VICENTE ERICTA
GR No. L-38570, (1988-05-24)
Show opinions
DIVISION
[ GR No. L-38570, May 24, 1988 ]
DOMINGO PADUA v. VICENTE ERICTA +
DECISION
244 Phil. 479
FIRST DIVISION
[ G.R. No. L-38570, May 24, 1988 ]
DOMINGO PADUA,PETITIONER, VS. HON. VICENTE ERICTA, ETC., RUNDIO ABJAETO, AND ANTONIO G. RAMOS, RESPONDENTS. D E C I S I O N
NARVASA, J.:
Courts should not brook undue delays in the ventilation and determination of causes. It should be their constant effort to assure that litigations are prosecuted and resolved with dispatch. Postponements of trials and hearings should not be allowed except on
meritorious grounds; and the grant or refusal thereof rests entirely in the sound discretion of the Judge. It goes without saying, however, that discretion must be reasonably and wisely exercised, in the light of the attendant circumstances. Some reasonable deferment of the
proceedings may be allowed or tolerated to the end that cases may be adjudged only after full and free presentation of evidence by .all the parties, specially where the deferment would cause no substantial prejudice to any part. The desideratum of a speedy disposition of cases
should not, if at all possible, result in the precipitate loss of a party s right to present evidence and either in plaintiff's being non-suited or the defendant's being pronounced liable under an ex parte judgment.
"*** (T)rial courts have *** the duty to dispose of controversies after trial on the merits whenever possible. It is deemed an abuse of discretion for them, on their own motion, "to enter a dismissal which is not warranted by the circumstances of the case'
(Municipality of
Dingras v. Bonoan,
85 Phil. 458-59 [1950]). While it is true that the dismissal of an action on grounds specified under Section 3, Rule 17 of the Revised Rules of Court is addressed to their discretion (
Flores v. Phil. Alien Property Administrator,
107 Phil. 778 [I960];
Montelibano v. Benares.
103 Phil. 110 [1958];
Adorable v. Bonifacio,
105 Phil. 1269 [1959];
Inter-Island Gas Service, Inc. v. De la Gerna,
L-17631, October 19, 1966, 18 SCRA 390), such discretion must be exercised soundly with a view to
the circumstances surrounding each particular case (
Vernus-Sanciangco v. Sanciangco,
L-12619, April 28, 1962, 4 SCRA 1209). If facts obtain that serve as mitigating circumstances for the delay, the same should be considered and dismissal denied or set aside (
Rudd v.
Rogerson,
15 ALR 2d 672;
Cervi v. Greenwood.
147 Colo 190, 362 P. 2d 1050 [1961]), especially where the suit appears to be meritorious and the plaintiff was not culpably negligent and no injury results to defendant (27 C.J.S. 235-36; 15! ALR 3rd680)." (
Abinales vs.
Court of First Instance of Zamboanga City,
Br. I, 70 SCRA 590, 595).
"It is true that the allowance or denial of petitions for postponement and the setting aside of orders previously issued, rest principally upon the sound discretion of the judge to whom they are addressed, but a ways predicated on the consideration that more than the mere
convenience of the courts or of the parties of the case, the ends of justice and fairness would be served thereby (
Camara Vda. de Zubiri v. Zubiri, et al.,
L-16745, December 17, 1966). When no substantial rights are affected and the intention to delay is not manifest, the
corresponding motion to transfer the hearing having been filed accordingly, it is sound judicial discretion to allow them (
Rexwell Corp. v. Canlas,
L-16746, December 30, 1961)." (
Panganiban vs. Vda. de Sta. Maria,
22 SCRA 708, 712).
In the civil action at bar, the Trial Court rejected the plaintiff's plea for cancellation of one of three (3) hearing dates, the very first such plea made by that party, upon a ground not entirely unmeritorious in the premises, and under such circumstances as would not be
productive of any appreciable delay in the proceedings or any substantial prejudice to the defendants, and summarily dismissed the complaint. Such a dismissal was unwarranted and relief therefrom must be accorded.
The action that was thus summarily dismissed had been brought by Domingo Padua (petitioner herein) in the Court of First Instance at Quezon City.
[1]
In that action Padua sought to recover damages for the injuries suffered by his eight-year old daughter,
Luzviminda, caused by her being hit by a truck driven by Rundio Abjaeto and owned by Antonio G. Ramos (private respondents herein). Padua was litigating
in forma pauperis.
Trial of the case having been set in due course, Padua commenced presentation of his evidence on December 6, 1973. He gave testimony on direct examination in the course of which reference was made to numerous documents, marked Exhibits B, B-l to B-109.
[2]
At the close of his examination, and on motion of defendants' counsel, the previously scheduled hearing of December 12,1973 was cancelled, and Padua's cross-examination was reset on December 17, 1973.
[3]
However, the hearing of December 17, 1973 was also
cancelled, again at the instance of defendants' counsel, who pleaded sickness as ground therefor; and trial was once more slated to "take place on March 6, March 7 and 13, 1974, all at 9:00 o'clock in the morning."
[4]
After defendants' attorney had twice sought and obtained cancellation of trial settings, as above narrated, it was plaintiff Padua's counsel who next moved for cancellation of a hearing date. In a motion dated and filed on March 1, 1974,
[5]
copy of which
was personally served on defendants' lawyer,
[6]
Padua's counsel alleged that he had
"another hearing on March 6, 1974 in Tarlac Court of First Instance entitled: Salud Dupitas vs. Mariano Abella, Civil Case No. 4904 which is of 1966 stint, and said court
in Tarlac is anxious to terminate said case once and for all," and that the cancellation would "at any rate *** leave plaintiff and defendants two (2) hearing dates on March 7and 13, 1974;" and on these premises, he asked "that the hearing on March 6, 1974 *** be ordered
cancelled."
No opposition was filed by the defendants to the motion, whether on the ground that the motion had not been properly set for hearing, the clerk having merely been requested to "submit the *** motion upon receipt *** for the consideration of the Court,"
[7]
or some other ground. Apart from filing this motion on March 1, 1974, plaintiff's counsel took the additional step of sending his client's wife to the Court on the day of the trial, March 6, 1974, to verbally reiterate his application for cancellation of the
hearing on that day. This, Mrs. Padua did. The respondent Judge however denied the application and dismissed the case.
His Honor's Order, dictated on that day, March 6, 1974, reads as follows:
[8]
"When this case was called for hearing today, neither plaintiff nor counsel appeared. The plaintiff's wife, however, appeared in Court and informed the Court that the plaintiffs counsel had to attend to a very important case in the provinces.
"The hearing for today was fixed by the plaintiff himself in open court after consulting his calendar and hence the Court will not grant the postponement on the ground that the plaintiff's counsel had a very important case in the provinces. Neither did the plaintiff himself
appear.
"In view hereof, let this case be dismissed.
Padua moved for reconsideration,
[9]
but this was denied.
[10]
Hence, this petition.
The Trial Court unaccountably ignored the fact that defendants' counsel had twice applied for and been granted postponements of the trial; that plaintiff's counsel had filed a written motion for postponement five (5) days prior to the hearing sought to be transferred, and this
was the very first such motion filed by him; that although the motion for postponement could have been objected to, no opposition was presented by defendants, which was not surprising considering that their counsel had himself already obtained two (2) postponements; that the
ground for cancellation was not entirely without merit: the counsel had a case in the Tarlac Court scheduled on the same day, March 6, 1974, which had been pending since 1964 and which the Tarlac Court understandably was anxious to terminate; that the Padua motion for
postponement sought cancellation of only one (1) of three settings, leaving the case to proceed on the two (2) subsequent hearing dates; and the motion had been verbally reiterated by plaintiff's wife on the day of the hearing sought to be cancelled. Under the circumstances, and
in the light of the precedents set out in the opening paragraphs of this opinion, the respondent Judge's action was unreasonable, capricious and oppressive, and should be as it is hereby annulled.
WHEREFORE,
the writ of
certiorari
is granted and the Order of the Court
a quo
dated March 6, 1974, dismissing the petitioner's complaint, and the Order dated March 13, 1974 denying petitioner's motion for reconsideration, are hereby ANNULLED AND SET ASIDE;
Civil Case No. Q-17563 is hereby REINSTATED and the Regional Trial Court which has replaced Branch XVIII of the Court of First Instance in which the action was pending at the time of dismissal, is DIRECTED to continue with the trial of the petitioner's action and decide the same
on the merits in due course.
SO ORDERED.
Cruz, Gancayco, Griño-Aquino,
and
Medialdea, JJ.,
concur.
[1]
Docketed as Civil Case No. Q-1 7563, and assigned to Branch XVII then presided over by Hon. Judge Vicente Ericta.
[2]
Rollo,
p. 15.
[3]
Par. 8. petition.
[4]
Par. 9. petition.
[5]
Annex F. petition.
[6]
Rollo. p. 17.
[7]
This was. of course, a violation of Sections 4 and 5. Rule 1 5 of the Rules of Court.
[8]
Par. 11, petition.
[9]
Rollo,
pp. 18-19.
[10]
Id.,
p. 20.
tags
| https://lawyerly.ph/juris/view/cd5fb |
Meibomian Gland Dysfunction: Recent Progress Worldwide and in Japan | IOVS | ARVO Journals
Meibomian Gland Dysfunction: Recent Progress Worldwide and in Japan
Shiro Amano
Author Affiliations & Notes
Shiro Amano
Inouye Eye Hospital, Tokyo, Japan
Correspondence: Shiro Amano, Inouye Eye Hospital, 4-3 Kandasurugadai, Chiyoda-ku, Tokyo 101-0062, Japan; [email protected] .
Investigative Ophthalmology & Visual Science November 2018, Vol.59, DES87-DES93. doi: https://doi.org/10.1167/iovs.17-23553
Abstract
In this review, the importance of Japanese research on meibomian gland dysfunction (MGD) is discussed from the perspective of global academic and clinical research on this topic. Many Japanese physicians and researchers have contributed to recent worldwide progress in various fields of MGD research, including pathophysiology, epidemiology, diagnosis, and therapy. In Japan, recent studies in the field of pathophysiology have provided direct evidence for the hypothesis that lipid composition and reactive oxygen species play a crucial role in the development and worsening of MGD. In the field of diagnosis, slit-lamp examination, in vivo confocal microscopy, and meibography have been widely used in studies from Japan. On the basis of the results of these studies, the MGD working group in Japan has proposed new diagnostic criteria for obstructive MGD. According to these criteria, obstructive MGD is considered present when ocular symptoms, anatomic abnormalities, and meibomian gland obstruction are present. In the field of therapy, devices and drugs newly developed in Japan have been shown to enhance the efficacy of lid hygiene and warm compression. Moreover, diquafosol and vitamin D3 have been shown to be effective for MGD. In conclusion, standardization of the diagnosis and treatment of MGD is necessary to enable all patients with MGD to receive appropriate treatment, and specific diagnostic criteria with cutoff values for each parameter are necessary to standardize the diagnosis of MGD.
The term meibomian gland dysfunction (MGD) was coined by Korb and Henriquez in 1980, 1 although investigators were already studying, and continue to study, MGD. In 2011, the International Workshop on MGD compiled a comprehensive overview of various aspects of MGD, including the definition, classification, prevalence, risk factors, structure of meibomian gland lipids, diagnosis, and treatment. The International Workshop on MGD defined MGD as follows: “A chronic, diffuse abnormality of the meibomian glands, commonly characterized by terminal duct obstruction and/or qualitative/quantitative changes in the glandular secretion. It may result in alteration of the tear film, symptoms of eye irritation, clinically apparent inflammation, and ocular surface disease.” 2
Moving away from this definition of MGD, the present review article describes recent progress and future directions in MGD research.
Many Japanese researchers have contributed to recent progress in various fields of MGD research, including pathophysiology, epidemiology, diagnosis, and therapy. There is no large disagreement between researchers in Japan and those in other countries with regard to the pathophysiology, epidemiology, diagnosis, and therapy of MGD. Rather, the studies conducted by Japanese physicians and researchers have contributed to the core of knowledge concerning MGD.
Pathophysiology
A recent important finding in the field of MGD-related pathophysiology was the role of ectodysplasin A from the meibomian glands in the regulation of the corneal epithelial barrier function. Sanming Li's 3 group showed that ectodysplasin A is highly expressed in meibomian glands and is detected in human tears. They also showed that ectodysplasin A promotes corneal epithelial cell proliferation through regulation of the epithelial growth factor receptor signaling pathway, thereby playing an essential role in the maintenance of corneal epithelial homeostasis.
Arita et al. 4 examined the relationship between the composition of free fatty acids (FFAs) in meibum and clinical parameters in patients with MGD and healthy controls and found that unsaturated FFAs tend to be more abundant in colored meibum. In another study, they reported that the relative amount of linoleic acid in meibum is associated with the severity of telangiectasia and plugging of gland orifices in patients with MGD. 5 In an animal study, Miyake et al. 6 reported that MGD developed in hairless mice fed a special diet with limited lipid content. In this mouse model, findings characteristic to MGD, such as plugging of the meibomian gland orifices, telangiectasia, and toothpaste-like meibum, were observed ( Fig. ). Histopathologically, hyperkeratinization of the ductal epithelium in the meibomian gland was observed. Loss of acini and atrophy of the glands were also observed. These findings were similar to those in patients with MGD. In addition, in this model, azithromycin treatment decreased the number of plugged orifices. It was suggested that the deficiency of n-6 polyunsaturated fatty acids, particularly linoleic acid, plays an important role in the development of MGD. These recent studies provided direct evidence for the hypothesis that alterations in the lipid composition play a crucial role in the development and worsening of MGD. However, the factors affecting the composition of lipids in meibum remain unknown. One strong candidate factor is oxidative stress. Ibrahim et al. 7 investigated alterations in the meibomian glands in Cu, Zu-superoxide dismutase-1 knockout mice and found an accumulation of large lipid droplets and increased terminal deoxynucleotidyl transferase dUTP nick-end labeling and oxidative stress marker staining in the meibomian gland acinar epithelium, suggesting a pivotal role of reactive oxygen species in the pathogenesis of MGD.
Figure
The eyelids of mice fed a normal diet ( A , B ) and a special diet with limited lipid content (the HR-AD diet) ( C , D , E ) for 11 weeks, from 5 to 16 weeks of age. Rounding ( C ), plugging and telangiectasia ( D , arrowheads ), and toothpaste-like meibum ( E , arrowheads ) can be seen. This figure was extracted from Miyake H, Oda T, Katsuta O, Seno M, Nakamura M. Meibomian gland dysfunction model in hairless mice fed a special diet with limited lipid content. Invest Ophthalmol Vis Sci . 2016;57:3268–3275, with permission from the Association for Research in Vision and Ophthalmology.
Figure
The eyelids of mice fed a normal diet ( A , B ) and a special diet with limited lipid content (the HR-AD diet) ( C , D , E ) for 11 weeks, from 5 to 16 weeks of age. Rounding ( C ), plugging and telangiectasia ( D , arrowheads ), and toothpaste-like meibum ( E , arrowheads ) can be seen. This figure was extracted from Miyake H, Oda T, Katsuta O, Seno M, Nakamura M. Meibomian gland dysfunction model in hairless mice fed a special diet with limited lipid content. Invest Ophthalmol Vis Sci . 2016;57:3268–3275, with permission from the Association for Research in Vision and Ophthalmology.
Diagnosis
The diagnosis subcommittee of the International Workshop on MGD recommended the following tests for the diagnosis of MGD-related disease in the general clinical setting: symptom questionnaire, blink rate, tear meniscus height, tear osmolality (if available), tear breakup time, fluorescein staining, Schirmer test, slit-lamp findings (lid changes, meibum expressibility/quality), and meibography. 8 These tests enable physicians to differentiate dry eye from normal eyes and MGD-related evaporative dry eye from aqueous-deficient dry eye. In that report, however, specific diagnostic criteria for MGD were not proposed, which would be necessary to standardize the diagnosis.
LipiView
More recently, the LipiView interferometer (TearScience, Inc., Morrisville, NC, USA) was introduced as a new tool for MGD diagnosis. LipiView provides values for the tear film lipid layer thickness (LLT). Finis et al. 9 reported that the sensitivity and specificity for MGD diagnosis were 65.8% and 63.4%, respectively, when the LLT cutoff value was ≤75 nm, and 47.9% and 90.2%, respectively, when the LLT cutoff value was ≤60 nm. These values were not high enough for clinical use, but they could be enhanced when the LLT value was combined with other parameters such as symptom scores, lid margin abnormality score, and meibography score. Jung et al. 10 investigated the factors related to LLT and found that age, female sex, hypersecretory MGD, and lid margin inflammation are associated with increased LLT.
Slit-Lamp Examination
Findings around the meibomian gland orifices, such as plugging, telangiectasia, and lid margin irregularity, are crucial for the diagnosis of MGD. However, interrater disagreement on the grading of these findings may exist. Arita et al. 11 developed new grading scales for MGD signs that were based on many photos of lids in patients with MGD and healthy controls. Vascularity, plugging of gland orifices, and partial glands were assessed on a scale from 0 to 3, and lid margin irregularity, lid margin thickening, and gland dropout were assessed on a scale from 0 to 2. A validation test was performed in another set of patients with MGD to evaluate the efficacy of the proposed grading scales, and the new grading scales showed appropriate inter- and intrarater reliabilities for grading MGD. This suggested the suitability of the grading scales for the standardization of slit-lamp findings in MGD patients.
In Vivo Confocal Microscopy
The usefulness of both microscopic (in vivo confocal microscopy) and macroscopic (meibography) methods for MGD diagnosis has been reported in Japan. The details of research using in vivo confocal microscopy in Japan are described in another article in this issue. Briefly, Ibrahim et al. 12 measured four confocal microscopic parameters in patients with MGD and healthy controls: meibomian gland acinar longest diameter, meibomian gland acinar shortest diameter, inflammatory cell density, and meibomian gland acinar unit density. These parameters showed a strong and significant correlation with tear function, ocular surface vital staining, meibomian gland expressibility, and meibomian gland dropout grades. All parameters showed high sensitivity and specificity for MGD diagnosis, suggesting the potential of in vivo confocal microscopy. Moreover, Matsumoto et al. 13 used in vivo confocal microscopy to evaluate the anti-inflammatory treatment response in patients with MGD. Inflammatory cell density was significantly reduced, suggesting that inflammatory cell density is a new parameter for evaluation of the treatment response. Ibrahim et al. 14 also used in vivo confocal microscopy to evaluate meibomian gland alterations in patients with atopic keratoconjunctivitis, and the averages of the four parameters were significantly worse for patients with atopic keratoconjunctivitis than for patients with obstructive MGD and normal controls. This result shows that changes in meibomian glands are more severe in patients with atopic keratoconjunctivitis than in patients with obstructive MGD.
Meibography
In addition to the microscopic method (confocal microscopy), a macroscopic method known as noncontact infrared meibography has been developed in Japan for the observation of changes in the meibomian glands. The details of studies performed using noncontact infrared meibography in Japan are described in another article in this issue. Briefly, meibography can be used to obtain information about the morphologic characteristics of meibomian glands. Although meibography was developed three decades ago, it is not widely used because of patient discomfort and a long examination time. In contrast, the newly developed meibography technique is a noncontact and less time-consuming method that uses an infrared filter and infrared charge-coupled device video camera. Using noncontact meibography, Arita et al. revealed meibomian gland loss associated with aging, 15 contact lens wear, 16 and long-term topical antiglaucoma medications. 17 , 18
Diagnostic Criteria
Diagnostic criteria are essential for MGD detection. Thus far, various groups worldwide have used different diagnostic criteria, which makes comparisons of MGD studies difficult. Arita et al. 19 compared the scores for clinical findings, including ocular symptoms, lid margin abnormalities, meibography findings, meibum, superficial punctate keratopathy, and tear film production, between patients with obstructive MGD and normal controls to propose diagnostic criteria for obstructive MGD. The area under the receiver operating characteristic curves indicated that the ocular symptom score had the highest diagnostic power, followed by the lid margin abnormality score, meiboscore, and tear breakup time. On the basis of these findings and other results, the Japanese working group on MGD proposed diagnostic criteria for obstructive MGD ( Table ). 4 , 20 , 21 According to these diagnostic criteria, obstructive MGD is considered present when ocular symptoms, anatomic abnormalities, and obstruction of meibomian glands are present.
Table
Diagnostic Criteria for Obstructive Meibomian Gland Dysfunction Proposed by the Japanese MGD Working Group
Table
Diagnostic Criteria for Obstructive Meibomian Gland Dysfunction Proposed by the Japanese MGD Working Group
Prevalence
The prevalence of MGD ranges from 3.6% to 68.0%. 22 – 28 The prevalence of MGD is higher in Asians (46.2%–68.0%) 24 – 28 than in Caucasians (3.6%–30.5%). 22 , 23 However, these studies used different diagnostic parameters, namely, telangiectasia and plugging, 22 – 27 gland dropout, 28 and meibum expressibility. 28 Therefore, the prevalence of MGD in these studies cannot be compared directly. Amano and Inoue 29 investigated the prevalence of MGD in Japanese patients using the same diagnostic criteria used in a previous population-based study conducted in Spain. 23 MGD was diagnosed when one or more of the following signs were present in at least one eye: viscous or waxy white secretion upon digital expression, presence of two or more lid margin telangiectases, and plugging of two or more gland orifices. The estimated prevalence of symptomatic and total (symptomatic + asymptomatic) MGD was 11.2% and 74.5%, respectively, in Japanese patients and 8.6% and 30.5%, respectively, in Spanish patients; this suggested that the prevalence of MGD is higher in Asians than in Caucasians.
Using the diagnostic criteria proposed by the Japanese working group on MGD, Amano and Inoue 21 estimated the prevalence of MGD in the Japanese population. The study included 510 participants. The prevalence of symptomatic MGD and total (symptomatic + asymptomatic) MGD was 18.0% and 47.5%, respectively. The prevalence of total MGD increased significantly with increasing patient age ( P < 0.0001). Slit-lamp findings (lid margin abnormalities, shift of the mucocutaneous junction, telangiectasia, and plugging) were more frequent, the tear film breakup time was shorter, and the meiboscore was higher in the total MGD group than in participants without MGD.
Therapy
The management and treatment subcommittee of the International Workshop on MGD proposed a treatment algorithm in which treatment is added depending on the severity of MGD. 30 The sequence of treatment addition is eyelid hygiene, eyelid warming and massage, artificial lubricants, topical azithromycin, topical emollient lubricant, oral tetracycline derivatives, lubricant ointment, and anti-inflammatory therapy.
Lid Hygiene and Warm Compression
Eyelid warming and massage have been the basic treatments for MGD. Recently, a thermopulsation treatment system (Lipiflow, TearScience, Inc.) was introduced as an automated alternative for eyelid warming and massage. In three randomized clinical trials, 31 – 33 a single application of Lipiflow improved meibomian gland secretion, the tear breakup time, and ocular symptoms up to 1 or 3 months after treatment, and the results were better than or at least similar to those achieved with the daily application of conventional warm compression methods. In nonrandomized comparative studies 34 , 35 and noncomparative studies, 36 , 37 Lipiflow improved meibomian gland secretion, the tear breakup time, and ocular symptoms for 3 to 12 months. Yeo et al. 38 showed that the tear evaporation rate was significantly decreased from baseline up to 3 months after a single application of Lipiflow in patients with MGD. The decrease in the tear evaporation rate is larger after Lipiflow application than after twice-daily lid warming with a hot towel. These results suggest that Lipiflow is a useful treatment for MGD that does not depend on patient compliance.
Kobayashi et al. 39 evaluated the effects of a newly developed eye-cleansing formulation for MGD. The product contains components that are anti-inflammatory and moisturizing and promote hair growth. In patients with MGD, significant improvements were observed in parameters such as subjective symptoms and meibum secretion. Kaido et al. 40 investigated the efficacy of eyelid margin cleansing with ofloxacin ointment in patients with obstructive MGD and found that slit-lamp parameters and fluorescein staining scores significantly decreased, while the tear breakup time significantly increased, after the treatment. In addition, the symptoms alleviated after treatment in most cases. These results suggested that cleansing with ofloxacin ointment is effective for patients with obstructive MGD. In another study, Arita et al. 41 evaluated the effect of commercially available eyelid warming devices on ocular temperatures, tear film function, and meibomian glands in normal subjects and patients with MGD. Two nonwet and three wet devices were compared. A single treatment session with each of the five warming devices used alone improved the ocular symptoms score, the tear breakup time, and ocular temperatures. In the repeated warming session, Azuki no Chikara, a nonwet warming device, induced a stable improvement in the tear breakup time and increased the conjunctival temperature. It also improved the meibum grade. These results suggest that repeated eyelid warming with a nonwet device improves tear film and meibomian gland function in patients with MGD. Lid hygiene and warm compression have been the treatments of choice for MGD. The devices and drugs newly developed in Japan may enhance the efficacy of lid hygiene and warm compression in patients with MGD.
Intense Pulsed Light (IPL)
Another new therapeutic modality is IPL therapy. IPL therapy has been an effective treatment for a range of dermatologic diseases, and it results in the alleviation of telangiectasia and facial erythema. 42 Therefore, IPL therapy has been evaluated as a treatment for MGD. Craig et al. 42 evaluated the effects of IPL therapy for MGD in a prospective, double-masked, placebo-controlled, paired-eye study and found that the lipid layer grade, tear breakup time, and symptom score improved from baseline up to day 45. Yin et al. 43 compared the results of IPL therapy and eyelid hygiene and found that IPL therapy and eyelid hygiene were equally effective in improving symptoms and meibomian gland function. Jiang et al. 44 evaluated the efficacy of IPL therapy in a prospective noncomparative study and found that IPL improved symptoms, the tear breakup time, and the meibomian gland secretion quality and expressibility. In two prospective, noncomparative studies, 45 , 46 serial IPL therapy sessions combined with meibomian gland expression improved symptoms and signs, including the meibomian gland secretion quality and expressibility. Proposed mechanisms by which IPL improves MGD signs and symptoms include heat transfer, thrombosis of the vasculature around the meibomian glands, and reduced inflammatory cytokines in tears. 42 , 47 However, the mechanism needs to be elucidated in future studies.
Anti-Inflammatory Treatment
Anti-inflammatory treatment is important for MGD. Zhang et al. 48 used 1% azithromycin eye drops for 4 weeks in 16 patients with MGD and examined changes in the expression of proinflammatory and anti-inflammatory mediators in the eyelid margin and conjunctiva. The expression of proinflammatory mediators (interleukin [IL]-1β, IL-8, and matrix metalloproteinase 9) and transforming growth factor beta-1 (TGF-β1) was higher and lower, respectively, in patients with MGD than in healthy individuals. The expression of proinflammatory mediators decreased during treatment, although the levels returned to pretreatment values at 4 weeks after azithromycin withdrawal. Expression of TGF-β1 increased during treatment and remained at levels similar to those in healthy controls after drug withdrawal. These results suggest that the topical application of azithromycin is likely to reduce the inflammation in the eyelid and ocular surface of patients with MGD by changing the expression of pro- and anti-inflammatory mediators. Perry et al. 49 investigated the efficacy of topical cyclosporine A 0.05% (tCsA) for the treatment of MGD in a prospective study. Thirty-three patients with symptomatic MGD were randomized to receive either tCsA or placebo twice daily for 3 months. At the 3-month visit, several objective parameters, including the number of lid margin vascular injections, tarsal telangiectasis, and fluorescein staining scores, showed a significant improvement in the tCsA group, but not in the placebo group. The most significant finding was the greater decrease in the number of meibomian gland inclusions in the tCsA group than in the placebo group. These results suggest that topical CsA may be helpful in the treatment of MGD.
Diquafosol
Topical diquafosol solution has been used to treat dry eye because it increases fluid secretion from conjunctival epithelial cells and mucin secretion from conjunctival goblet cells via the P2Y 2 receptor. 50 Because P2Y 2 receptor expression is observed in sebaceous cells and ductal cells in the meibomian gland, 51 , 52 diquafosol is expected to have some effects on meibomian glands.
Arita et al. 53 used 3% diquafosol ophthalmic solution in patients with obstructive MGD for more than 4 months. Ocular symptoms, lid margin abnormalities, the superficial punctate keratopathy score, and the meibum grade were decreased, while the tear breakup time, tear film meniscus area, and meibomian gland area were increased. These results suggest that topical diquafosol therapy is effective for patients with obstructive MGD. In addition, Amano and Inoue 54 administered topical 3% diquafosol ophthalmic solution for 3 months in patients with MGD. The number of telangiectases and plugged gland orifices significantly decreased after 1 month of treatment, while the meibum score and meiboscore significantly decreased at 3 months. The increase in the tear LLT at 20 minutes after diquafosol administration became statistically significant at 3 months. Altogether, diquafosol ophthalmic solution has the potential to improve signs and symptoms in patients with MGD.
As described in Amano and Inoue's article, 54 a recent study by Kam et al. 55 reported that UTP, a P2Y 2 receptor agonist, had no effect on immortalized human meibomian gland epithelial cells. In contrast, Wen et al. found that P2Y 2 receptor agonists enhance lipid production in primary cultured rabbit meibocytes (Wen Q, et al. IOVS 2002;43:ARVO E-Abstract 3146). UTP easily degrades in aqueous solutions, which necessitates its use immediately after dissolution in water. 56 , 57 In contrast, diquafosol is stable when dissolved in water. 56 , 57 Because Kam et al. 55 did not mention whether UTP solutions were immediately used, it is not known for certain whether their results are applicable to the actions of diquafosol on meibomian gland acinar cells. Either way, our results suggest that topical diquafosol is beneficial to meibomian glands.
Vitamin D3
Another promising drug for MGD is vitamin D3. Because hyperkeratinization is a major cause of obstructive MGD, maxacalcitol (a noncalcemic analogue of the active form of vitamin D3), which is effective for psoriasis and ichthyosis, is expected to be effective in patients with MGD. 58 Arita et al. 58 applied maxacalcitol ointment to the lid margins of patients with obstructive MGD for 2 months and observed a significant improvement in clinical parameters (scores for plugging of meibomian gland orifices and lid margin vascularity, the tear breakup time, the meibum grade, and the meibomian gland area). An analogue of vitamin D3 was found to improve the condition of patients with obstructive MGD.
Association of MGD With Other Diseases and Conditions
A few recent studies from Japan have described the association of MGD with other diseases or conditions. Arita et al. 59 examined tear film and meibomian gland parameters in patients with or without MGD and aqueous-deficient dry eye. Interestingly, meibomian gland losses had a positive correlation with tear secretion values only in patients with MGD. Therefore, the authors thought that the loss of meibomian glands is compensated for by an increase in tear secretion. As the authors discussed in the article, however, the mechanisms for this compensation need to be clarified in future studies.
Matsumoto et al. 60 examined changes in the ocular surface and meibomian glands of 10 patients receiving an anticancer drug combination of tegafur, gimeracil, and oteracil potassium (S-1; Tahiho Pharmaceutical, Tokyo, Japan). Occluded orifices of meibomian glands and marked loss of meibomian glands on meibography were observed. In vivo confocal microscopy showed glandular atrophy and periglandular inflammation. The tegafur concentration in tears was high during the period of drug intake. These results suggest that S-1 damages the meibomian glands, with the most likely mechanism being the toxicity of the drug in tears.
Ban et al. 61 examined the lipid layer of the tear film in patients with chronic graft versus host disease (GVHD) after hematopoietic stem cell transplantation (HST) using tear film lipid layer interferometry (DR-1; Kowa, Tokyo, Japan). The DR-1 score for severity was higher in patients with dry eye and GVHD after HST than in patients without dry eye. Moreover, the DR-1 score for severity was positively correlated with the dry eye severity. These results suggest that MGD is one of the mechanisms for dry eye due to GVHD.
Future Directions
To enable all patients with MGD to receive appropriate treatment, standardization of the diagnosis and treatment is necessary. To standardize the diagnosis of MGD, specific diagnostic criteria with cutoff values for each parameter are necessary. With the application of emerging novel technologies, new useful tools for MGD have been developed, such as noncontact meibography, in vivo confocal microscopy, and LipiView. Although these diagnostic devices are useful for visualizing subclinical changes related to MGD, they are expensive and not available in all clinics. Parameters that can be measured with devices available in most clinics should be used. Considering these requirements, the Japanese working group for MGD proposed a novel list of diagnostic criteria for obstructive MGD ( Table ). The validity of these new diagnostic criteria should be evaluated in future studies.
The International Workshop on MGD proposed a treatment algorithm in which treatment is added depending on the severity of MGD. The sequence of treatment addition is eyelid hygiene, eyelid warming and massage, artificial lubricants, topical azithromycin, topical emollient lubricant, oral tetracycline derivatives, lubricant ointment, and anti-inflammatory therapy. However, the efficacy of this treatment algorithm is yet to be evaluated. In addition to these treatments, new therapeutic modalities such as LipiView and IPL have emerged. However, more clinical evidence is necessary for these new therapies to become a standard in the treatment of MGD.
Acknowledgments
Funding of the publication fee and administration was provided by the Dry Eye Society, Tokyo, Japan. The Dry Eye Society had no role in the contents or writing of the manuscript.
Disclosure: S. Amano , Alcon (R), AMO (R), Otsuka (R), Pfizer (R), Santen (F, R), Senju (R)
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Figure
The eyelids of mice fed a normal diet ( A , B ) and a special diet with limited lipid content (the HR-AD diet) ( C , D , E ) for 11 weeks, from 5 to 16 weeks of age. Rounding ( C ), plugging and telangiectasia ( D , arrowheads ), and toothpaste-like meibum ( E , arrowheads ) can be seen. This figure was extracted from Miyake H, Oda T, Katsuta O, Seno M, Nakamura M. Meibomian gland dysfunction model in hairless mice fed a special diet with limited lipid content. Invest Ophthalmol Vis Sci . 2016;57:3268–3275, with permission from the Association for Research in Vision and Ophthalmology.
Figure
The eyelids of mice fed a normal diet ( A , B ) and a special diet with limited lipid content (the HR-AD diet) ( C , D , E ) for 11 weeks, from 5 to 16 weeks of age. Rounding ( C ), plugging and telangiectasia ( D , arrowheads ), and toothpaste-like meibum ( E , arrowheads ) can be seen. This figure was extracted from Miyake H, Oda T, Katsuta O, Seno M, Nakamura M. Meibomian gland dysfunction model in hairless mice fed a special diet with limited lipid content. Invest Ophthalmol Vis Sci . 2016;57:3268–3275, with permission from the Association for Research in Vision and Ophthalmology.
Table
Diagnostic Criteria for Obstructive Meibomian Gland Dysfunction Proposed by the Japanese MGD Working Group
Table
Diagnostic Criteria for Obstructive Meibomian Gland Dysfunction Proposed by the Japanese MGD Working Group
| https://iovs.arvojournals.org/article.aspx?articleid=2717217&resultClick=1 |
SAE MOBILUS
Development of a Fuel Injected Two-Stroke Gasoline Engine
Technical Paper
880170
ISSN: 0148-7191 , e-ISSN: 2688-3627
DOI: https://doi.org/10.4271/880170
Published February 01, 1988 by SAE International View list of content related to the publisher(s) in United States
Sector:
Automotive Content related to Automotive
Event: SAE International Congress and Exposition Technical Paper presented at SAE International Congress and Exposition
Language: English
Abstract
AVL's development of a semi-direct injected two-stroke engine employed a carburetted 250cc production motorcycle engine as a baseline. Special emphasis vas placed on the investigation of fuel jet and scavenge flow interactions. To evaluate the scavenge flow pattern, a steady flow test procedure was developed and applied. The results of scavenging system optimization were confirmed by subsequent engine tests which showed significant gains in power output.
Completion of the first phase of the research program resulted in the development of a semi-direct injection system using currently available automotive low pressure manifold injection system components. Compared to the original carburetted engine, significant improvanents were demonstrated, including a 30% reduction of fuel consumption, a reduction of up to 60% in hydrocarbon emissions and up to 70% in carbon monoxide emission, averaged over the engine's speed and load range. Engine BMEP and power characteristics were maintained and improved. In addition, the critical idle operating conditions were improved significantly by stabilizing the combustion whith minimized cyclic variations.
The results of thermodynamic cycle analyses, based both on engine test measurements and on calculations, are presented.
Finally, the paper compares the semi-direct and direct injection systems and presents an outlook based on some of the results of the current phase of AVL's low emission two-stroke engine research program.
Authors
Diethard Plohberger Works by Diethard Plohberger - AVL—List GmbH. Graz. Austria Content by authors affiliated with AVL—List GmbH. Graz. Austria
Leo A. Mikulic Works by Leo A. Mikulic - AVL—List GmbH. Graz. Austria Content by authors affiliated with AVL—List GmbH. Graz. Austria
Klaus Landfahrer Works by Klaus Landfahrer - AVL—List GmbH. Graz. Austria Content by authors affiliated with AVL—List GmbH. Graz. Austria
Topic
Carbon monoxide Content related to Carbon monoxide
Hydrocarbons Content related to Hydrocarbons
Fuel consumption Content related to Fuel consumption
Two stroke engines Content related to Two stroke engines
Combustion and combustion processes Content related to Combustion and combustion processes
Plohberger, D., Mikulic, L., and Landfahrer, K., "Development of a Fuel Injected Two-Stroke Gasoline Engine," SAE Technical Paper 880170, 1988, https://doi.org/10.4271/880170 .
Also In
SAE Transactions Journal of Engines Number: V97-6 ; Published: 1989-09-01
References
Oschatz, W. “Kraftstoffaufbereitung durch die Einspritzdüse” Deutsche Kraftfahrtforschung, Heft 57 VDI Verlag Berlin 1941
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Rothrock, A. M. Spencer R. C. “Effect of Moderate Air flow on Fuel Sprays after Injection Cut Off” Report National Committee for Aeronautics No. 483 1933
Bianchi, L. “Bombenversuche über Gemischbildung und Verbrennung bei Benzineinspritzung” Deutsche Kraftfahrtforschung, Zwischenbericht Nr. 94 1941
Kühl, H. “Grundlagen der Gemischregelung beim Einspritz-Ottomotor mit Durchspülung” Deutsche Luftfahrtforschung, Forschungsbericht Nr. 1546 1942
Augustin, U. “Die Einspritzung von Leichtkraftstoffen in Flugmotoren” ATZ 47 1944 3/4 30
Brook, K. Nicolls “Some Aspects of Petrol-Injections” Equipment Developments 1947/48
Campbell, J. F. “Fuel Injection as Applied to Aircraft Engines” SAE Journal 36 1935 77
Dollinger “Untersuchungen an einem Zweitaktmotor mit Kraftstoffeinspritzung” Deutsche Kraftfahrtforschung, Zwischenbericht Nr. 9
Schmidt, U. Froede W. “Zweitaktmotoren mit Benzineinspritzung” Deutsche Kraftfahrtforschung, Zwischenbericht Nr. 68 1938
Morghen, K. “Die Energieumsetzung im Zweitakt-Otto-motor mit Umkehrspülung bei Benzineinspritzung” Deutsche Luftfahrtforschung, Forschungsbericht Nr. 1688 1942
Morghen, K. “Die Energieumsetzung im Zweitakt-Otto-motor bei Benzineinspritzung” ZWB Forschungsbericht Nr. 1740 1942
Froede, W. “Sonderfragen der Benzineinspritzung” Deutsche Kraftfahrtforschung, Zwischenbericht Nr. 363 1940
Scherenberg, H. “Rückblick über 25 Jahre Benzin-Einspritzung in Deutschland” MTZ 16 9 September 1955
Voit, W. Stoll, H. “Benzineinspritzung am Fahrzeug-Ottomotor” MEZ 13 9 September 1952
Froede, W. “Benzineinspritzung für kleine Zylinder von Ottomotoren” MIZ 57 8 August 1955
“Zweitakteinspritzung bei Gutbrod und Goliath” MTZ 13 10 Oktober 1952
Groth, K. “Das Betriebsverhalten des schnellaufenden Zwei taktottonetors mit Einspritzung und seine Ent-wicklungsmöglichkeiten” Deutsche Kraftfahrtforschung und Straβenverkehrstechnik 1959
Kuentscher, V. “Ladungsschichtung und Hagerkonzept-Verbrennung ira Zweitakt-Ottomotor mit elektronisch gesteuerter Druckstoβeinspritzung” Wissenschaftliche Beiträge der IH Zwickau 10 1984
Nuti, R. “Direct Fuel Injection: An Opportunity for Two-Stroke SI Engines in Road Vehicle use” SAE Paper 860170 1986
Vieilledent, E. “Low Pressure Fuel Injection System for Two-Stroke Engines” SAE Paper 780767 1987
Douglas, R. Blair, G.P. “Fuel Injection of a Two-Stroke Cycle Spark Ignition Engine” SAE Paper 820952 1982
Grasas-Alsina, C. et al. “Low Pressure discontinous Gasoline Injection in Two-Stroke Engines” SAE Paper 860168 1986
Bizjan, F. Pavletic, R. “The Nozzle Location and the Shape of Its Surroundings in the Cylinder of Small Two-Stroke Engine'” SAE Paper 860169 1986
List, H. Niedermayer, E. “Versuche an der Zweitakt-dieselmaschine” Forschung auf den Gebiete des In-genieurwesens Band 8 Berlin 1937
Niedermayer, E. “Zusammenhänge zwischen Ladungswechsel und Leistung beim Zweitaktmotor” MIZ 1941
Niedermayer, E. “Untersuchung des Spülvorganges an Zweitaktdieselraaschinen” Forschung auf dem Gebiete des Ingenieurwesens (VDI) 1936
Hold, P. “Untersuchungen von Spülsystemen an der zündenden Zweitaktmaschine” MIZ 1940
Blair, G.P. Kenny, R.G. “Further Developments in Scavenging Analysis for Two-Cycle Engines” SAE Paper 800038 1980
Nuti, H. Martorano, L. “Short-Circuit Ratio Evaluation in the Scavenging of Two-Stroke SI Engines” SAE Paper 850177 1985
Endres, W. Danner, M. “Spülluft, Verbrennungsgase und Mischzone im Zylinder des Zweitaktmotors” MTZ 1959
Ohigashi, S. “Spüulvorgang bei Zweitaktmotoren mit um-kehrspülung” HTZ 1959
Sanborn, D.S. Blair, G.P. et al. “Experimental Assessment of Scavenging Efficiency of Two-Stroke Cycle Engines” SAE Paper 800975 1980
Sanborn, D.S. Roeder, W.M. “Single Cycle Simulation Simplifies Scavenging Study” SAE Paper 850175 1985
Sweeney, Kenny Swann, Blair “Single Cycle Gas Testing Method for Two-Stroke Engine Scavenging” SAE Paper 850178 1985
Jante, A. “Scavenging and Other Problems of Two-Stroke Cycle Spark-Ignition Engines” SAE Paper 680468 1968
Blair, G.P. “Studying Scavenge Flow in a Two-stroke Cycle Engine” SAE Paper 750752 1975
Jaros, K. “Eine neue Methode zur Bemessung und Bewertung der Spülvorgänge bei Zweitaktmotoren” Kraftfahrzeugtechnik Heft 6 Berlin 1986
Blair, G.P. Ashe M.C. “The Unsteady Gas Exchange Characteristics of a Two-Cycle Engine” SAE-Paper 760644 1976
Munoz, H. et al. “Two-Stroke Engines-Models for Charge Renovation” SAE-Paper 850084 1985
Becker, K. et al. “Umweltproblere bei motorisierten Zweirädem” Kontakt und Studium Band 119 Expert Verlag BRD 1984
Product Code Document Title File Type Download 880170 Development of a Fuel Injected Two-Stroke Gasoline Engine Download File Type Download
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Congresswoman Calls for Examination of Military Pretrial Confinement — ProPublica
The Army also said its pretrial confinement rules are “currently under revision” in a statement to Military Times, which is partnering with ProPublica and The Texas Tribune to report on military justice.
Rep. Veronica Escobar, D-Texas, has called for hearings over the military’s pretrial confinement system. Credit: Jason Garza for The Texas Tribune
Military
Congresswoman Calls for Examination of Military Pretrial Confinement
The Army also said its pretrial confinement rules are “currently under revision” in a statement to Military Times, which is partnering with ProPublica and The Texas Tribune to report on military justice.
A Texas representative whose district includes one of the nation’s largest Army posts is calling for hearings to examine the military’s pretrial confinement system, which gives commanders the discretion to detain service members facing criminal charges ahead of trial.
“Pretrial confinement had not been on my radar, so it was really eye-opening,” Escobar said of the investigation, which highlighted the case of Christian Alvarado, a private first class who avoided detention for months despite facing sexual assault accusations from multiple women. Alvarado, who has since been convicted of sexually assaulting two of those women, was a soldier at Fort Bliss. Escobar’s district includes the post.
Escobar, who is vice chair of theHouse Subcommittee on Military Personnel, said that during the congressional hearings she would like to explore ways to ensure all cases across the military are held to the same standard. She also said she reached out to the new commanding general of Fort Bliss to ask more about Alvarado’s case. Fort Bliss officials have declined to discuss with the news organizations why Alvarado was not initially put in pretrial confinement, saying they would not comment on internal deliberations.
The congresswoman has discussed the issue withRep. Jackie Speier, D-Calif., who chairs the subcommittee. Speier shares Escobar’s concerns and believes pretrial confinement should be “part of the broader work of military justice reform,” her office said. A staffer in Speier’s office said the chair looks forward to learning more from military officials about pretrial confinement at a planned subcommitteehearing on Wednesdaythat will focus on the implementation of military justice reforms.
Army spokesperson Matt Leonard told Military Times that the rules governing pretrial confinement are “currently under revision.” He declined to provide details, referring questions to the Department of Defense. A DOD spokesperson said the military doesn’t have any “updates to announce at this time.”
News of the proposed revisions comes after publication of the ProPublica-Tribune investigation and ofan article by Military Times that detailed another casein which a soldier was not placed in pretrial confinement despite multiple domestic violence allegations. The news organizations are partnering to cover aspects of the military justice system.
Under the current rules that are outlined in the Manual for Courts-Martial, commanders must determine if there’s good reason to believe a service member committed a crime and weigh whether the person is likely to flee before trial or engage in serious criminal misconduct. They must also first consider if less stringent restrictions are enough to keep service members out of trouble. Unlike in the civilian justice system, there is no bail in the military.
Rachel E. VanLandingham, a former Air Force judge advocate, said commanders should not control pretrial confinement because they are not trained as military attorneys. Commanders can override the advice of legal advisers in many situations.
“Because these commanders are F-16 pilots, these commanders are infantry officers, this is not their full-time job,” said VanLandingham, now a professor at Southwestern Law School in Los Angeles.
Congress last year overhauled much of the military justice system, stripping commanders of the power to decide whether or not to prosecute some felony-level crimes, including sexual assault. Amid pushback from military leaders, lawmakers allowed commanders to retain numerous powers, including the ability to place a service member in pretrial confinement.
Escobar had hoped to see broader reforms that would have removed commanders’ prosecutorial authority over all serious crimes, including robbery, assault and distribution of controlled substances. She said that taking away commanders’ control of pretrial confinement is “a possibility we absolutely should consider.”
Despite facing sexual assault accusations from three women in 2020, Alvarado was not placed in pretrial confinement, according to the news organizations’ investigation. While being interviewed by an Army investigator about the first two allegations, Alvarado admitted that he continued to have sex with one of the women after she passed out. A month later, he sexually assaulted a third woman, which he admitted in text messages to the woman.
But Alvarado’s commanders did not place him in pretrial confinement until more women accused him of assault. A military judge later found him guilty of sexually assaulting two women and strangling one of those two women. He was sentenced to 18 years in a military prison and a dishonorable discharge. Alvarado’s case is currently under appeal. His appeals attorneys did not respond to a request for comment.
“That was shocking to me,” Escobar said. “When you have clear evidence of someone who is a repeat offender, that in and of itself, to me, merits pretrial confinement, and one of the things I do want to know about is why didn’t it happen?”
| https://www.propublica.org/article/congresswoman-calls-for-examination-of-military-pretrial-confinement |
B831 Standard Test Method for Shear Testing of Thin Aluminum Alloy Products
Significance and Use 5.1 The intent of this test method is to provide a means of measuring the ultimate shear strength of thin aluminum alloy wrought and cast products. It is recognized that the loading conditions developed by this test method, and by mos
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5.1The intent of this test method is to provide a means of measuring the ultimate shear strength of thin aluminum alloy wrought and cast products. It is recognized that the loading conditions developed by this test method, and by most others, are not ideal in that they do not strictly satisfy the definitions of pure shear. However, rarely do pure shear conditions exist in structures.
Note 1: Results from this test method are not interchangeable with results from Test Methods B565 and B769 . Shear strengths obtained by this test method have been shown to differ from values determined with other methods. 3
Scope
1.1This test method covers single shear testing of thin wrought and cast aluminum alloy products to determine shear ultimate strengths. It is intended for products that are too thin to be tested according to Test Method B769.
1.2The values stated in inch-pound units are to be regarded as standard. The values given in parentheses are mathematical conversions to SI units that are provided for information only and are not considered standard.
1.3 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standard to establish appropriate safety, health, and environmental practices and determine the applicability of regulatory limitations prior to use.
1.4 This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
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Dryopteris pentheri (Krasser) C.Chr.
wfo-0001111582
Dryopteris pentheri
(Krasser) C.Chr.
Index Filic. 284. 1905
This name is reported byDryopteridaceaeas an accepted name
in the genusDryopteris(familyDryopteridaceae).The record derives from Tropicoswhich
reports it as an accepted
name
(record26605654)
Dryopteris pentheri
(Krasser) C.Chr.
Index Filic. 284. 1905
Description
Synonyms
Bibliography
Cite taxon page as 'WFO (2023): Dryopteris pentheri (Krasser) C.Chr. Published on the Internet;http://www.worldfloraonline.org/taxon/wfo-0001111582.
Accessed on: 21 Jun 2023'
Diagnostic Description
Dryopteris pentheri is distinguished from the similar D. inaequalis and D. lewalleana, by the cylindrical glands and 2-celled hairs occurring on the frond axes and veins. The glands, stomata and spores are also larger than those of both D. inaequalis and D. lewalleana, this as a result of it being a tetraploid rather than a diploid (as the other two species). Dryopteris pentheri also occupies exposed habitats more frequently than D. inaequalis and D. lewalleana.
Provided by: [B]. e-Flora of South Africa
Source: [
5
].
Morphology
Terrestrial or epilithic. Rhizome prostrate. Fronds erect to arching, 2- or 3-pinnate, conspicuously basiscopically developed, lamina ovate to ovate-triangular, up to 780 mm long, glabrous or with few hairs along costules adaxially, abaxial surface with sparse unicellular glands, 2-celled hairs and scales mostly along costules and veins; pinnules lanceolate to oblong-acuminate. Sporangia in circular sori with reniform indusium.
Provided by: [B]. e-Flora of South Africa
Source: [
3
].
Plants terrestrial or epilithic. Rhizome decumbent, sparsely branched, to 300 mm long, to 20 mm in diameter, set with roots, closely spaced stipe bases, and scales, scales chartaceous, stramineous to ferrugineous, adnate, linear, oblong or narrowly ovate, base truncate, margins irregularly set with long, twisted, pluricellular filiform outgrowths, apex filiform, twisted, to 37 mm long, to 6 mm wide. Fronds caespitose, erect to arching, to 1.8 mm long; stipe firm, proximally castaneous, brown to stramineous higher up, proximally adaxially flattened, shallowly sulcate higher up, to 485 mm long, to 10 mm in diameter, proximally densely scaled, scales higher up fugaceous, chartaceous, stramineous to ferrugineous, larger adnate, smaller sessile or short-stalked, narrowly lanceolate to filiform, cordate to cuneate, margins irregularly set with long, twisted, pluricellular filiform outgrowths and often also with scattered glands, apex filiform, to 40 mm long, to 7 mm wide; lamina anadromous, catadromous towards the apex, herbaceous to firmly herbaceous, ovate to ovate-triangular, 2- or 3-pinnate, to 780 mm long, with up to 16 petiolated pinna pairs; rachis stramineous, adaxially shallowly sulcate, becoming narrowly winged towards the apex, initially moderately scaled, scales fugaceous, adnate or short-stalked, narrowly lanceolate to linear, cuneate, margins irregularly set with long, filiform outgrowths, often also with scattered glands, apex filiform, twisted, to 7 mm long, to 2 mm wide; pinnae petiolate, petiole to 18 mm (rarely to 38 mm) long, basal pinna pair inequilaterally ovate to narrowly ovate, narrowly lanceolate to oblong-acuminate towards the lamina apex, to 2-pinnate, basal pair the longest, usually basiscopically developed, to 315 mm long, to 185 mm wide, opposite to alternate, basally widely spaced, often somewhat imbricate higher up, with up to 9 petiolated pinnule pairs; pinna-rachis adaxially shallowly sulcate, sulcus confluent with that of the rachis, pronounced abaxially, narrowly winged distally, abaxially moderately to sparsely set with scales and hairs, scales and hairs chartaceous to membranous, stramineous to ferrugineous, adnate or short-stalked, narrowly to broadly cuneate, margins irregularly set with long pluricellular, filiform outgrowths, apex filiform, twisted, to 5 mm long, to 1.6 mm wide, hairs are of three types: 1) unicellular oblong glands, 2) bicellular hairs with straight or oblique transverse walls, and, 3) pluricellular simple or branched, usually isocytic hairs; pinnules petiolate, petiole to 3 mm long, equilaterally to inequilaterally lanceolate to oblong-acuminate, basiscopically decurrent, 1-pinnate to lobed, acroscopic pinnule on the basal pinnae to 90 mm long, to 35 mm wide, basiscopic pinnule on the basal pinnae to 112 mm long, to 42 mm wide, widely spaced or imbricate; costa adaxially shallowly sulcate, pronounced abaxially, narrowly winged, wing continuous with that of the pinna-rachis, variously set with scales, isocytic and 2-celled hairs; segments widely spaced to imbricate, ovate to oblong-obtuse, basiscopically decurrent, to 22 mm long, to 9 mm wide, lobed, lobes serrate, adaxially glabrous or with a few pluricellular usually isocytic hairs along the costule, abaxially sparsely set with unicellular oblong glands (60-)137(-260) µm long, 2-celled hairs, and isocytic and/or moniliform hairs, those near the segment base often with a glandular cell near the base, and filiform scales, scales short-stalked, stalk often with one or more glandular cells, hairs and scales usually occur along the costule and veins. Venation anadromous, becoming catadromous towards the lamina and pinna apex, pinnately branched in the segments, vein branches pinnately branched, forked or simple near the apex, evident, ending in the teeth near the margin, endings slightly enlarged and often conspicuous adaxially. Stomata of the anomocytic and polocytic types, (34-)53(-72) µm long. Sori circular, medial on the predominantly anadromous vein branches, discrete, to 1.8 mm in diameter at maturity, mainly uniseriate; sporangium stalk simple, or with one or more glandular cells, but usually with a long uniseriate hair, capsule with (11-)13(-20) indurated annulus cells, epistomium (3-)6(-8)-celled, hypostomium (3-)6(-8)-celled. Indusium firmly herbaceous, persistent, pale brown, reniform, entire or repand, to 1.8 mm in diameter. Spores ellipsoidal, monolete, perispore folded into tubercules or reticulate ridges, finely rugose to ruminate, (38-)45.08(-60) x (27-)31.32(-40) µm.
Provided by: [B]. e-Flora of South Africa
Source: [
4
].
Plants terrestrial or epilithic. Rhizome short-decumbent, sparsely and irregularly branched, to 20 mm in diameter, set with roots, closely spaced stipe bases and scales, the scales stramineous to ferrugineous, chartaceous, broadly attached, linear, oblong or narrowly ovate, to 37 x 6 mm, truncate, the margins irregularly set with long, twisted, pluricellular filiform outgrowths, the scale apex filiform, twisted. Fronds cµspitose, erect to arching, to 1.8 m long; stipes proximally castaneous, brown to stramineous higher up, proximally adaxially flattened, shallowly sulcate higher up, to 485 mm long, to 10 mm in diameter, proximally densely scaled, the scales higher up fugaceous, stramineous to ferrugineous, chartaceous, the larger scales to 40 x 7 mm, broadly attached, the smaller scales sessile or short-stalked, narrowly lanceolate to filiform, cordate to cuneate, the margins irregularly set with long, twisted, pluricellular filiform outgrowths and often also with scattered glands, the scale apex filiform; laminµ anadromous, catadromous towards the apex, herbaceous to firmly herbaceous, 2-pinnate to 3-pinnate, ovate to ovate-triangular, to 780 mm long, to 460 mm wide, with up to 16 petiolated pinna pairs; rachises stramineous, adaxially shallowly sulcate, becoming narrowly winged towards the apex, initially moderately scaled, the scales fugaceous, broadly attached or short-stalked, narrowly lanceolate to linear, to 7 x 2 mm, cuneate, the margins irregularly set with long, filiform outgrowths, often also with scattered glands, the scale apex filiform, twisted; pinnµ petiolate, the petiole to 18 mm (rarely to 38 mm) long, the basal pinna pair inµquilaterally ovate to narrowly ovate, narrowly lanceolate to oblong- acuminate towards the lamina apex, to 315 mm long, to 185 mm wide, to 2-pinnate, the basal pair the longest, mostly basiscopically developed, subopposite to alternate, basally widely spaced, often somewhat imbricate higher up, with up to 9 petiolated pinnule pairs; pinna-rachises adaxially shallowly sulcate, the sulcus confluent with that of the rachis, pronounced abaxially, narrowly winged distally, abaxially moderately to sparsely set with scales and hairs, the scales and hairs stramineous to ferrugineous, chartaceous to membranous, broadly attached or short-stalked, to 5 x 1.6 mm, narrowly to broadly cuneate, the margins irregularly set with long pluricellular, filiform outgrowths, the scale apex filiform, twisted, the hairs are of three types, 1) unicellular cylindrical glands, 2) bicellular hairs with straight or oblique transverse walls, and 3) pluricellular simple or branched, mostly isocytic hairs often bearing a single gland near the base; pinnules petiolate, the petiole to 3 mm long, the pinnules symmetric to inµquilaterally lanceolate to oblong-acuminate, basiscopically decurrent, 1-pinnate to lobed, the acroscopic pinnule on the basal pinnµ to 90 mm long, to 35 mm wide, basiscopic pinnule on the basal pinnµ to 112 mm long, to 42 mm wide, widely spaced or imbricate; costµ adaxially shallowly sulcate, pronounced abaxially, narrowly winged, the wing continuous with that of the pinna-rachis, variously set with scales, isocytic hairs and 2-celled hairs; segments widely spaced to imbricate, ovate to oblong- obtuse, to 22 mm long, to 9 mm wide, basiscopically decurrent, lobed; lobes serrate, adaxially glabrous, with oblong glands along and between the veins, or with a few pluricellular mostly isocytic hairs along the costules, abaxially sparsely set with cylindrical glands (60-)137(-260) µm long, 2-celled hairs, and isocytic and/or moniliform hairs, those near the segment base often with a gland near the base, and filiform scales, the scales short-stalked, the stalk often with one or more glandular cells, hairs and scales mostly occurring along the costules and veins. Venation anadromous, becoming catadromous towards the lamina and pinna apex, pinnately branched in the segments, the vein branches pinnately branched, forked or simple near the apex, evident, ending in the teeth near the margin, the endings slightly enlarged and often conspicuous adaxially. Stomata of the anomo- and polocytic types, guard cells (34-)53(-72) µm long. Sori circular, to 1.8 mm in diameter at maturity, medial on the predominantly anadromous vein branches, discrete, essentially uniseriate in the segments; sporangia stalk simple, or with one or more glandular cells, but mostly with a long multicellular, uniseriate hair, the capsule with (11-)13(-20) indurated annulus cells, epistomium (3-)6(-8)-celled, hypostomium (3-)6(-8)-celled. Indusia persistent, pale brown, firmly herbaceous, reniform, to 1.8 mm in diameter, the margins entire, repand, or erose, (rarely glandular along margin), often strongly revolute. Spores ellipsoidal, monolete, perispore folded into tubercules or reticulate ridges, finely rugose to ruminate, (38-)45(-60) x (27-)31(-40) µm.
Provided by: [B]. e-Flora of South Africa
Source: [
5
].
Rhizomatous perennial. Fronds erect to arching, to 1.8 m long, stipe proximally densely scaled, lamina ovate to ovate-triangular, 2- or 3-pinnate, with up to 16 petiolated pinna pairs, basal pinna pair ovate to narrowly ovate, generally not reduced, segments herbaceous, ovate to oblong-obtuse, lobed, glabrous above, or glandular along and between veins, or with a few hairs along costule, below sparsely glandular with 2-celled and multicellular hairs. Sori to 1.8 mm diam.; indusium entire, repand, or erose.
Provided by: [B]. e-Flora of South Africa
Source: [
6
].
Ecology
Terrestrial margin of forest; 6, 000 to 10, 000 ft. alt.
Provided by: [C]. Plants Of the World Online Portal - FWTA
Source: [
1
].
Habitat
Mesic Grassland. Moist rocky areas, streambanks, forests and forest margins.
Provided by: [B]. e-Flora of South Africa
Source: [
3
].
Terrestrial, in light shade along forest margins, in scrub and at boulder bases in open grassveld. Not edaphically bound.
Provided by: [B]. e-Flora of South Africa
Source: [
4
].
The species occurs from near sea-level in the southern Cape to 2425 m in Lesotho. Although predominantly confined to moist forests, at higher elevations it occurs in open habitats. In these habitats, however, plants are mostly confined to boulder bases and rock crevices on ridges and along mountain streams. Dryopteris pentheri also inhabits disturbed sites, such as road cuts and old pine plantations.
Provided by: [B]. e-Flora of South Africa
Source: [
5
].
Mostly in deeply shaded forests and forest margins, 100-250 m.
Provided by: [B]. e-Flora of South Africa
Source: [
6
].
Distribution
The species is widespread in sub-Saharan Africa.
Provided by: [B]. e-Flora of South Africa
Source: [
4
].
Dryopteris pentheri is widespread in the eastern and western mountainous regions of sub-Saharan Africa, occurring in Bioko, Burundi, Cameroon, the Democratic Republic of the Congo, Ethiopia, Guinea, Guinea-Bissau, Kenya, Lesotho, Liberia, Madagascar, Malawi, Mozambique, Nigeria, Reunion, Rwanda, São Tomé, Sierra Leone, South Africa, Sudan, Swaziland, Tanzania, Uganda, Zambia and Zimbabwe.
Provided by: [B]. e-Flora of South Africa
Source: [
5
].
Cape Peninsula to Tsitsikamma and E and W Africa and Madagascar.
Provided by: [B]. e-Flora of South Africa
Source: [
6
].
Synonyms
Nephrodium pentheri Krasser
Provided by:
[D].Polypodiaceae
Bibliography
1Aspidiaceae, A. H. G. Alston. Flora of West Tropical Africa. Ferns and Fern-Allies Supplement. 1959
2Ind. Fil. 284 (1905).
3Klopper, RR. 2017. Pteridophyta. In: E Retief & NL Meyer (eds), Plants of the Free State: Inventory and identification guide. Strelitzia 38: 114 - 143. South African National Biodiversity Institute, Pretoria.
4Roux, JP. 2003. Swaziland ferns and fern allies.
5Roux, JP. 2012. A revision of the fern genus Dryopteris (Dryopteridaceae) in sub-Saharan Africa. Phytotaxa 70(1): 1 - 118.
6Roux, JP. 2012. Pteridophytes. 31 - 47. South African National Biodiversity Institute, Pretoria.
Provided by:
Data
<table><tbody><tr><th> Habitat</th><td></td><td></td></tr><tr><th> Life Form</th><td></td><td></td></tr><tr><th> IUCN Red List Status</th><td></td><td></td></tr></tbody></table>
| http://www.worldfloraonline.org/taxon/wfo-0001111582 |
Genetic effects of radio-frequency, atmospheric-pressure glow discharges with helium | Applied Physics Letters | AIP Publishing
Due to low gas temperatures and high densities of active species, atmospheric-pressure glow discharges (APGDs) would have potential applications in the fields o
Genetic effects of radio-frequency, atmospheric-pressure glow discharges with helium
Guo Li
;
Guo Li
1
Department of Engineering Physics,
Tsinghua University
, Beijing 100084,
People’s Republic of China
He-Ping Li
;
He-Ping Li a)
1
Department of Engineering Physics,
, Beijing 100084,
Li-Yan Wang
;
Sen Wang
Tsinghua University
, Beijing 100084,
Hong-Xin Zhao
Wen-Ting Sun
Xin-Hui Xing
Cheng-Yu Bao
Department of Engineering Physics,
Tsinghua University
, Beijing 100084,
People’s Republic of China
Author & Article Information
Authors to whom correspondence should be addressed. Electronic addresses: [email protected] and [email protected].
Present address: Department of Mechanical and Aerospace Engineering, Princeton University, D115 E-Quad, Olden Street, Princeton, NJ 08544, USA.
Appl. Phys. Lett. 92, 221504 (2008)
https://doi.org/10.1063/1.2938692
Article history
Received:
January 22 2008
Accepted:
May 12 2008
Due to low gas temperatures and high densities of active species, atmospheric-pressure glow discharges (APGDs) would have potential applications in the fields of plasma-based sterilization, gene mutation, etc. In this letter, the genetic effects of helium radio-frequency APGD plasmas with the plasmid DNA and oligonucleotide as the treated biomaterials are presented. The experimental results show that it is the chemically active species, instead of heat, ultraviolet radiation, intense electric field, and/or charged particles, that break the double chains of the plasmid DNA. The genetic effects depend on the plasma operating parameters, e.g., power input, helium flow rate, processing distance, time, etc.
Topics
Ultraviolet light
,
Biomaterials
,
Chemical elements
,
Electrophoresis
Atmospheric-pressure glow discharges (APGDs) driven by the radio-frequency (rf) power supply with water-cooled, bare-metallic electrodes, which is the so-called rf APGDs hereafter in this study, show their bright prospects in actual applications compared with low-pressure plasmas with lower capital costs, flexible operations, etc., due to the removal of the complicated and expensive vacuum systems. With the plasma-based sterilization/disinfection, decontamination of biological warfare agents,
1
blood coagulation and living tissue sterilization,
2
etc., as the research background, many papers concerning the biological effects of the APGDs have been published.
1–6
In previously published papers, most of the studies focused on the killing effects of the glow discharges on the cells of the micro-organisms due to the possible inactivation factors, e.g., heat, charged particles, ultraviolet (UV) radiation, chemically active species, intense electric field, or the synergistic actions of the preceding factors.
3–7
However, due to various designed configurations of the plasma generators, different operation conditions, etc., employed by different authors to treat distinct micro-organisms existing in diverse environments, the importance of the foregoing factors may be very different. Thus, it is necessary to investigate the plasma inactivation mechanisms using a certain type of plasma source, including the intracellular changes (e.g., protein denaturalization, inactivation of enzyme, damage to the DNA and chromosome, etc.), the destruction to the cell membrane and/or wall, and the change of the existing environment of the organisms (e.g., the variation of the
pH pH
values), for promoting the potential applications of the rf APGDs in the biomedical fields.
In this letter, the genetic effects of rf APGDs acting on a loopful recombinant plasmid (pP-GFP), which is a covalently closed circle DNA (CCC DNA), are presented at the molecular level, which is important for promoting the actual applications of rf APGD plasmas in the fields of plasma sterilization, gene mutation, etc. The possible factors which may lead to the genetic effects of the rf APGDs under different operation conditions are discussed. The action mechanisms are verified using the matrix-assisted laser desorption ionization time of flight mass spectrometry (MALDI-TOF) technique with oligonucleotide as the treated material.
The schematic diagrams used for studying the characteristics of the cold plasma jet and for the treatment of the biomaterials (e.g., plasmid DNA or oligonucleotide in this study) are illustrated in Figs.
1(a) and 1(b)
, respectively. The detailed descriptions on the experimental setup can be referenced to the previous papers.
8,9
In this study, a K-type thermocouple with accuracy of
1 K 1 K
is used to measure the temperature of the plasma jet. A probe with biased voltages varying from
− 1 to 1 kV − 1 to 1 kV
is employed to estimate the concentrations of the charged particles in the plasma jet region. Because the surrounding air engulfed into the plasma jet region will lead to the changes of the concentrations of the active species since the discharge operates in atmosphere, in this paper, a transparent, cylinderlike plastic cap is placed close to the torch nozzle exit in order to reduce the back diffusion effect of air
8
by preventing the entrainment of the surrounding air into the plasma jet region. The small vessels containing the plasmid pP-GFP or oligonucleotide are placed on a horizontal platform, which is fixed on a vertical slider. The stand-off distance between the torch nozzle exit and the vessel,
L L
, can be adjusted by sliding the platform up/down, as illustrated in Fig.
1(b)
.
FIG. 1.
View large Download slide
Schematic diagram of the experimental setup. (a) Generation and measurement systems of the rf APGD plasma jet. (b) Experimental setup for treating the biomaterials.
FIG. 1.
Schematic diagram of the experimental setup. (a) Generation and measurement systems of the rf APGD plasma jet. (b) Experimental setup for treating the biomaterials.
The variation of the measured voltage with the rf power input
( P in ) ( P in )
at the helium flow rate
Q He = 15 slpm Q He = 15 slpm
(standard liters per minute) is shown in Fig.
2
. It shows that the gas ignition occurs at point A with a breakdown voltage
V b = 170 ± 4 V V b = 170 ± 4 V
and the corresponding averaged rf power input
P in = 3 W P in = 3 W
. Then, the uniform,
α α
-mode discharge, which is sustained by volumetric ionization processes,
10
sustains with the increase of the power input. Finally, with the further increase of the discharge current, a
γ γ
-mode discharge, mainly resulting from the ionization by secondary electrons from electrodes,
10
appears at point B with
V d = 255 ± 1 V V d = 255 ± 1 V
and
P in = 169 W P in = 169 W
. In this study, in order to obtain the uniform, low-temperature glow discharge plasmas which are suitable for the treatment of the biomaterials, the rf power input varies in the range of
10 – 120 W 10 – 120 W
. The corresponding gas temperatures
( 24 – 64 ° C ) ( 24 – 64 ° C )
on the axis of the plasma jet at
2.0 mm 2.0 mm
downstream of the torch nozzle exit with
Q He = 25 slpm Q He = 25 slpm
are also shown in Fig.
2
as indicated with the shaded area.
FIG. 2.
Voltage- P in P inand temperature- P in P incharacteristics of the helium rf APGD plasmas.
FIG. 2.
In this study,
0.75 μ l 0.75 μ l
plasmid pP-GFP and
3.0 μ l 3.0 μ l
distilled water are injected into a bowl-like, decontaminated plastic vessel.
9
After the DNA is treated by the helium plasma jet, as well as by the hot air or the UV radiation for comparison, it is analyzed on 1.0% agarose gel electrophoresis in
1 × TAE 1 × TAE
(Tris-Acetate-EDTA) buffer at
80 V 80 V
for
40 min 40 min
. The agarose gel electrophoresis images of the pP-GFP exposed to the plasma jet under different operation conditions are shown in Fig.
3
, where the “marker” indicates the bp numbers of the DNA fragments, while the “control” represents the untreated plasmid. Normally, the slowest (i.e., the band with the biggest bp number), middle, and fastest (i.e., the band with the smallest bp number) bands represent the double-stranded DNA fragments, the nicked plasmid DNA, and the CCC DNA, respectively. Moreover, since different colors (i.e., changing from dark to gray until disappearance) of the bands in Fig.
3
indicate the relative concentrations of different types of DNA fragments (i.e., the darker a band is, the higher relative concentration of the corresponding DNA fragment would be), most of the DNA in the sample are in the form of CCC DNA because the upper two bands are less dark than that of the fastest band in the lane of the control. The experimental results in Fig.
3
show the following. (1) The rf APGD plasma jet has obvious genetic effects on the plasmid DNA in a short time of
30 s 30 s
by breaking the chains of the DNA. Compared with the control, the band of the double-stranded DNA in lane 3 disappears, while the band of the nicked plasmid DAN becomes darker significantly. Moreover, with the increase of the action time
( t ) ( t )
, from lane 3 to 7, the color of all the bands becomes light increasingly, which means that more and more DNA chains are broken, and finally in lane 7, almost no bands can be seen indicating that most of the DNA chains have been broken into pieces in
10 min 10 min
. (2) As indicated in lanes 8–13, with other parameters (e.g.,
P in P in
,
L L
, and
t t
) being unchanged, the genetic effects of the plasma jet on the plasmid DNA become more significant with increasing the helium flow rate, probably due to the increase of fluxes of the chemically active species. (3) With the increase of the rf power input, the genetic effects of the plasma jet become more significant by keeping other parameters being unchanged, as shown in lane 14–21. (4) The agarose gel electrophoresis images in lanes 22–26 show that the genetic effects of the plasma jet become weaker with the increase of the departure distance between the torch nozzle exit and the treated samples
( L ) ( L )
by keeping other parameters being unchanged.
FIG. 3.
Agarose gel electrophoresis images of the pP-GFP. Lane 1 and 30: marker. Lane 2 and 29: control. Lane 3–7: plasma treatment for 0.5, 1, 3, 5, and 10 min 10 min , respectively, with Q He = 15 slpm Q He = 15 slpm , P in = 100 W P in = 100 W , L = 2.0 mm L = 2.0 mm . Lane 8–13: plasma treatment for 1.5 min 1.5 minwith P in = 120 W P in = 120 W , L = 3.0 mm L = 3.0 mm , and Q He = 5 Q He = 5 , 10, 15, 20, 25, and 30 slpm 30 slpm , respectively. Lane 14–21: plasma treatment for 2 min 2 minwith Q He = 25 slpm Q He = 25 slpm , L = 2.0 mm L = 2.0 mm , and P in = 10 P in = 10 , 20, 30, 40, 60, 80, 100, and 120 W 120 W , respectively. Lane 22–26: plasma treatment for 1.5 min 1.5 minwith Q He = 15 slpm Q He = 15 slpm , P in = 120 W P in = 120 W , and L = 2.0 L = 2.0 , 4.0, 6.0, 8.0, and 10.0 mm 10.0 mm , respectively. Lane 27: hot air treatment for 10 min 10 minwith the temperature of 80 ° C 80 ° C ; Lane 28: plasma treatment through a quartz glass plate for 1.5 min 1.5 minwith Q He = 15 slpm Q He = 15 slpm , P in = 120 W P in = 120 W , and L = 4.0 mm L = 4.0 mm . The dashed box indicates the DNA bands studied in this paper.
FIG. 3.
Agarose gel electrophoresis images of the pP-GFP. Lane 1 and 30: marker. Lane 2 and 29: control. Lane 3–7: plasma treatment for 0.5, 1, 3, 5, and 10 min 10 min , respectively, with Q He = 15 slpm Q He = 15 slpm , P in = 100 W P in = 100 W , L = 2.0 mm L = 2.0 mm . Lane 8–13: plasma treatment for 1.5 min 1.5 minwith P in = 120 W P in = 120 W , L = 3.0 mm L = 3.0 mm , and Q He = 5 Q He = 5 , 10, 15, 20, 25, and 30 slpm 30 slpm , respectively. Lane 14–21: plasma treatment for 2 min 2 minwith Q He = 25 slpm Q He = 25 slpm , L = 2.0 mm L = 2.0 mm , and P in = 10 P in = 10 , 20, 30, 40, 60, 80, 100, and 120 W 120 W , respectively. Lane 22–26: plasma treatment for 1.5 min 1.5 minwith Q He = 15 slpm Q He = 15 slpm , P in = 120 W P in = 120 W , and L = 2.0 L = 2.0 , 4.0, 6.0, 8.0, and 10.0 mm 10.0 mm , respectively. Lane 27: hot air treatment for 10 min 10 minwith the temperature of 80 ° C 80 ° C ; Lane 28: plasma treatment through a quartz glass plate for 1.5 min 1.5 minwith Q He = 15 slpm Q He = 15 slpm , P in = 120 W P in = 120 W , and L = 4.0 mm L = 4.0 mm . The dashed box indicates the DNA bands studied in this paper.
In this study, the plasmid pP-GFP is also treated by the hot air with the temperature of
80 ° C 80 ° C
for
10 min 10 min
, as shown in lane 27 of Fig.
3
. By comparing the images of lane 27 and the control, it can be concluded that heat has no contributions to the breaking processes of the DNA chains because of the low temperatures of the plasma jet employed in this paper. In addition, since the plasmid pP-GFP is located in the plasma jet, instead of the discharge region, no intense electric field exists, and the electric probe measurements show that the concentration of the charged particles in the plasma jet region is about
10 8 cm − 3 10 8 cm − 3
, which is relatively low. The similar result was also reported by Schütze
et al.
11
Thus, the intense electric field and the charged particles also have no contributions to the breaking processes of the DNA chains.
Based on the preceding discussions, the most possible factors resulting in the breaks of the plasmid DNA chains are the chemically active species and UV radiation. The emission spectrum of the plasma jet for the case of
P in = 110 W P in = 110 W
and
Q He = 15 Q He = 15
slpm is shown in Fig.
4
. It shows that the intensity of the UV radiation with wavelengths in the
200 – 280 nm 200 – 280 nm
range, which has the optimum effects of destroying the DNA,
12
is too low to be detected compared to the intensities of the spectrum of the active species; while the intensities of the helium lines, oxygen atom lines,
N 2 N 2
lines, hydroxyl (OH) molecular band (
A ∑ + 2 A ∑ + 2
,
υ = 0 → X 2 Π υ = 0 → X 2 Π
,
υ ′ = 0 υ ′ = 0
,
306 – 310 nm 306 – 310 nm
) are strong.
13
In addition, by placing a UV-transparent glass upon the samples, the obtained agarose gel electrophoresis image of the plasmid pP-GFP, as shown in lane 28 of Fig.
3
, clearly shows that the UV radiation has little effect on the break of the plasmid DNA chains for the helium rf APGDs. This conclusion is very different from that presented by Trompeter
et al.
,
14
in which it was concluded that UV radiation played a dominant role in the germ reduction experiments for an argon dielectric barrier discharge because argon is not chemically active.
FIG. 4.
Emission spectrum of the helium rf APGD plasma jet with P in = 110 W P in = 110 W , Q He = 15 slpm Q He = 15 slpm .
FIG. 4.
Emission spectrum of the helium rf APGD plasma jet with P in = 110 W P in = 110 W , Q He = 15 slpm Q He = 15 slpm .
For the further validation of the foregoing conclusions, the oligonucleotide with the approximate molecular weight of 3632 is treated by the plasma jet for
3 min 3 min
with
Q He = 15 slpm Q He = 15 slpm
,
P in = 120 W P in = 120 W
, and
L = 2.0 mm L = 2.0 mm
. The partial MALDI-TOF mass spectrum of the treated oligonucleotide, also compared with the untreated one, is shown in Fig.
5
, which shows that the helium rf APGD plasma jet can indeed break the oligonucleotide chains into small fragments. The deeper studies concerning the genetic effects of the rf APGDs under different operation parameters of the discharges, different geometrical sizes of the plasma generators, etc., are necessary in the future work.
FIG. 5.
Partial MALDI-TOF mass spectra for the untreated (a) and treated (b) oligonucleotide by the helium rf APGD plasma jet for 3 min 3 minwith P in = 120 W P in = 120 W , Q He = 15 slpm Q He = 15 slpm , L = 2.0 mm L = 2.0 mm .
FIG. 5.
Partial MALDI-TOF mass spectra for the untreated (a) and treated (b) oligonucleotide by the helium rf APGD plasma jet for 3 min 3 minwith P in = 120 W P in = 120 W , Q He = 15 slpm Q He = 15 slpm , L = 2.0 mm L = 2.0 mm .
This work was supported by the Natural Science Foundation of Beijing (3083021), the National Key Technology R&D Program (2006EP805), the projects sponsored by Beijing Municipal Sciences & Technology Commission (Z07000200540705).
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(PDF) Associations of maternal iron deficiency with malaria infection in a cohort of pregnant Papua New Guinean women
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Associations of maternal iron deficiency with malaria infection in a cohort of pregnant Papua New Guinean women
May 2022
Malaria Journal 21(1)
DOI: 10.1186/s12936-022-04177-8
License
CC BY 4.0
Authors:
Abstract and Figures
Abstract Background Iron deficiency (ID) is common in malaria-endemic settings. Intermittent preventative treatment of malaria in pregnancy (IPTp) and iron supplementation are core components of antenatal care in endemic regions to prevent adverse pregnancy outcomes. ID has been associated with reduced risk of malaria infection, and correspondingly, iron supplementation with increased risk of malaria infection, in some studies. Methods A secondary analysis was conducted amongst 1888 pregnant women enrolled in a malaria prevention trial in Papua New Guinea. Maternal ID was defined as inflammation-corrected plasma ferritin levels
Participant flow chart. CRP, C-reactive protein; AGP, α-1-acid glycoprotein, LM, light microscopy, qPCR, polymerase chain reaction …
Figures - available from: Malaria Journal
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Unger etal. Malaria Journal (2022) 21:153
https://doi.org/10.1186/s12936-022-04177-8
RESEARCH
Associations ofmaternal iron deciency
withmalaria infection inacohort ofpregnant
Papua New Guinean w omen
Holger W. Unger 1,2,3 , Andie Bleicher 4 , Maria Ome‑Kaius 5 , Elizabeth H. Aitken 6,7 and Stephen J. Rogerson 4,6*
Abstract
Background: Iron deficiency (ID) is common in malaria‑ endemic settings. Intermittent preventative treatment of
malaria in pregnancy (IPTp) and iron supplementation are core components of antenatal car e in endemic regions to
prevent adverse pregnancy outcomes. ID has been associated with reduced risk of malaria infection, and correspond‑
ingly, iron supplementation with increased risk of malaria infection, in some studies.
Methods: A secondar y analysis was conducted amongst 1888 pregnant women enrolled in a malaria prevention trial
in Papua New Guinea. Maternal ID was defined as inflammation‑corrected plasma ferritin levels < 15 μg/L at antenatal
enrolment. Malaria burden ( Plasmodium falciparum , Plasmodium vivax ) was determined by light microscopy , polymer‑
ase chain reaction, and placental histology. Multiple logistic and linear regression analyses explor ed the relationship of
ID or ferritin levels with indicators of malaria infection. Models were fitted with interaction terms to assess for modifi‑
cation of iron‑malaria relationships by gravidity or treatment arm.
Results: Two‑thirds (n = 1226) and 13.7% (n = 258) of women had ID and peripheral parasitaemia, respectively , at
antenatal enrolment (median gestational age: 22 weeks), and 18.7% (120/1,356) had evidence of malaria infection on
placental histology. Overall, ID was associated with reduced odds of peripheral parasitaemia at enrolment (adjusted
odds ratio [aOR] 0.50; 95% confidence interval [95% CI] 0.38, 0.66, P < 0.001); peripheral parasitaemia at delivery (aOR 0.68,
95% CI 0.46, 1.00; P = 0.050); and past placental infection (aOR 0.35, 95% CI 0.24, 0.50; P < 0.001). Corresponding incr eases
in the odds of infection were observed with two‑fold increases in ferritin levels. Ther e was effect modification of iron‑
malaria relationships by gravidity. At delivery, ID was associated with r educed odds of peripheral parasitaemia amongst
primigravid (AOR 0.44, 95% CI 0.25, 0.76; P = 0.003), but not multigravid w omen (AOR 1.12, 95% CI 0.61, 2.05; P = 0.720). A
two‑fold increase in ferritin associated with increased odds of placental blood infection (1.44, 95% CI 1.06, 1.96; P = 0.019)
and active placental infection on histology amongst primigravid women only (1.24, 95% CI 1.00, 1.54; P = 0.052).
Conclusions: Low maternal ferritin at first antenatal visit was associated with a lower risk of malaria infection during
pregnancy, most notably in primigravid women. The mechanisms by which maternal iron stores influence susceptibility
to infection with Plasmodium species require further investigation.
Trial registr ation
Keywords: Iron deficiency, Iron supplementation, Plasmodium falciparum , Plasmodium vivax , Risk
Background
Malaria in pregnancy continues to be a major global
health issue. e principal malaria spec ies infecting preg -
nant women are Plasmodium falc iparum and Pla smo -
dium viva x . In 2018, approximately 11 million women
P . falciparum ) in moderate to high transmission areas in
sub-Saharan Africa alone [ 1 ]. A much greater number of
pregnancies are at risk of infection when areas of lower
transmission are considered, including malaria-endemic
settings in the Americas and the Asia–Pacific region,
where P . v ivax is often endemic [ 2 ]. Malaria is a principal
cause of maternal anaemia and maternal death, causes
preterm birth and fetal growth restriction, and increases
the risk of fetal loss (miscarriage, stillbirth) and neonatal
death [ 3 ]. In sub-Saharan Africa, at least one in five cases
of low birth weight (birthweight < 2,500 g) are attribut -
able to MIP [ 1 ], and low birth weight infants may be at
risk of long-term health sequelae, base d on studies from
elsewhere [ 4 ].
A hallmark of P . falciparum infection in pregnanc y is
placental sequestration. Infected ery throcytes bind to
chondroitin sulphate A present on the surface of the syn -
cytiotrophoblast lining the placental intervillous sp ace,
thereby avoiding splenic clearance. is process is medi -
ated by the parasite antigen V AR2CSA [ 5 ]. If untreated,
placental malaria triggers a cascade of inflammator y
processes that leads to impairments in placental devel -
of moderate to high transmission intensity, women with
placental infections are frequently asymptomatic and
aparasitaemic, and the risk of placental malaria falls
with increasing gravidity [ 5 ]. At least half of placental
infections are missed by current point-of-care tests [ 6 ].
Monthly intermittent preventative treatment in preg -
nancy (IPTp) with sulfadoxine-pyrimethamine (SP) is
currently recommended in malaria-endemic regions of
sub-Saharan Africa to treat occult placental infections
and provide protection from new infections [ 7 ].
Iron deficiency (ID) in pregnancy is common in
malaria-endemic settings. ID is indep endently associated
with maternal anaemia, fetal growth restriction and low
birth weight [ 8 ]. e Wor ld Health Organization (WHO)
recommends routine iron supplementation during preg -
nancy in populations with a prevalence of anaemia ≥ 40%,
on the proviso that iron supplementation is combined
with adequate malaria prevention measures in endemic
areas [ 9 ]. is advice is based on concerns over repor ts
of increased risk of malaria infec tion in supplemented
women and children [ 10 – 14 ]. Correspondingly, ID has
been associated w ith reduced risk of malaria infection in
cant heterogeneity between studies exists, with a number
of studies reporting no association of estimates of mater -
nal iron stores or iron supplementation with malaria in
pregnancy [ 13 , 19 , 20 ]. Iron supplementation in preg -
nancy was not asso ciated with increased risk of malaria
infection, including placental infection, in two rand -
omized trials in Kenya and Tanzania conducted amongst
women concurrently using bed nets and SP-IPTp [ 21 , 22 ].
In Papua New Guinea (PNG), ID in pregnanc y is com -
mon in malaria-endemic areas [ 23 , 24 ]: nearly two-thirds
of women are iron deficient. Daily iron supplementa -
tion in combination with monthly IPT p with SP during
pregnancy is national policy. Iron supplementation stud -
ies conducted in PNG in the 1980s first highlighted the
potential existence of iron-malaria interactions [ 10 , 11 ].
e aim of the present analysis was to determine the
relationship of maternal iron deficiency at first antena -
tal visit with malaria infection ( P. falciparum and/or P.
vivax ) during pregnanc y, and to assess whether these
associations are modified by gravidity and malari a pre -
vention strategy, in a large cohort of pregnant Papua New
A total of 2793 women were randomized to monthly
IPT p with SP plus azithromycin (AZ) or a single course
of SP plus chloroquine (CQ) at antenatal enrolment in
the PNG-IPTp trial (NCT01136850). e details of the
trial are described in detail else where [ 25 ]. Drawing on
routinely collected samples and data from the PNG-IPTp
trial a secondary analysis to a ssess relationships between
ID and ferritin levels at antenatal enrolment with malaria
infection in pregnancy was conducte d. e analysis con -
sidered women who had a singleton live birth (no detect-
able congenital anomaly), and for whom data on ferritin
levels and peripheral malaria infection at enrolment, and
malaria infection at delivery by light microscopy (LM)
and quantitative real-time polymerase chain reaction
(qPCR) was complete.
Study area andpopulation
Women in t he PNG-IPTp trial were recruited at clin-
ics, health centres, and hospitals loc ated in Madang
and Sumkar districts of Madang Province on the North
Coast of PNG from 2009–2013, as previou sly described
[ 25 ]. e study area is characterized by perennial trans -
mission of moderate intensity of both P . falciparum and
P . viva x [ 26 ]. Maternal ID and anaemia are common [ 24 ,
27 ]. P. f alciparum was the predominant malaria species
detected in pregnant women during the study period
[ 28 ]. Women wer e screened when attending for their
first antenatal visit and enrolled in the parent trial when
all inclusion criteria were met and written informed
consent was provided. Key inclusion criteria included
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Page 3 of 11
Unger etal. Malaria Journal (2022) 21:153
an estimated gestational age < 27 week s at first antena-
tal visit; singleton pregnanc y; no prior administration
of IPT p; and absence of chronic medical conditions in
the mother [ 25 ]. e clinical trial and secondary analy -
ses relating to maternal malaria infection and anaemia,
including the present study, wer e approved by the PNG
Institute of Medical Research (PNGIMR) Institutional
Review Board (0815), the PN G Medical Research Advi -
sory Council (08.01), and the Melbourne Health Human
Research Ethics Committee (2008.162).
Clinical assessments andsample collection
Key demographic and clinical characteristics were deter-
mined at enrolment and collected alongside venous
blood samples for malariometrics , haemoglobin (Hb)
measurements (HemoCue Ltd, Angelholm, Sweden,
accuracy 1g/L), and measurement of ferritin and inflam -
matory markers [ 24 ]. Women were pr ovided with insec-
ticide-treated bed nets and randomi zed 1:1 to monthly
IPT p with SP (1500/75 mg) plus AZ (1 g twice daily for
2 days) or a single course of SP plus chloroquine (450
to 600 mg, daily for 3 days) at their first antenatal visit.
Iron-folate supplementation (one tablet of ferrous sul -
phate 270mg [87.4 mg elemental iron] plus 400 μg folic
acid) was offered routinely and women were advised to
take one tablet daily. W omen who under went Hb test -
ing that identified a Hb ≤ 90 g/L were recommended to
take two iron-folate tablets and in addition were provided
with albendazole, and treatment response was assess ed
a month later . Iron-folate supplementation during preg -
nancy was not monitored. Women diagnosed with anae-
mia after enrolment were retained in the parent trial, and
there was no difference in the prevalence of anaemia at
delivery between trial ar ms [ 25 ]. Clinical data and blood
samples were also collected when practical at subsequent
scheduled and unscheduled antenatal visits . At deliv -
ery, when women were able to deliver at a participating
health centre or hospital, peripheral and placental blood
samples and placental biopsies were taken and Hb was
measured again [ 29 ]. Ferritin was measured at enrolment
only. Placental blood was collected by incision in the
maternal surface of the placenta and aspiration of blood
welling from the incision.
Laboratory analyses
Peripheral and placental blood samples were screened
for P . falciparum and P. vivax infection by light micros -
copy and polymerase chain reaction (using a duplex
qPCR that identified each species) [ 28 ]. Histolog i -
cal analysis of placental biopsies was performe d in
accordance with established methodology [ 30 , 31 ]
and reported as active infection (presence of para sites
[acute infection] ± pigment in monocytes and/or fibrin
[chronic infection]), past infection (pigment only), and
no infection.
Maternal iron stores were estimated using ferritin
concentrations measured in enrolment plasma by an
enzyme-linked immunosorbent assay (ELISA) de vel -
oped by our group [ 32 ]. Ferritin is an iron storage pro-
tein which is expressed in response to intracellular iron
concentrations [ 33 ]. Plasma ferritin reflects overall stor -
age iron, can be easily measured, and correlates with
reference methods for the diagnosis of ID such as bone
marrow aspiration. However, ferritin is an acute phase
reactant and plasma levels increase during s ystemic
inflammation. T o facilit ate adjustments of ferritin for
concurrent inflammation, as recommended by the WHO
[ 34 ], concentrations of C-reactive protein (CRP) and α-1-
acid glycoprotein (AGP) were measured by ELISA using
Human Quantikine ELISA kits (R&D Systems, Minne -
apolis, MN, USA).
Denitions
ID was defined as a plasma ferr itin level < 15μg/L at ante-
natal enrolment [ 35 ]. ID and ferritin (transformed to log
base 2 [i.e. log 2 ] ferritin for ease of interpretation) were
used as exposure measures . Ferritin levels were corrected
for inflammation using the ‘internal regression correc -
tion’ method devised by Namaste etal. [ 36 ], and adjusted
for CRP , AGP , and concurrent malaria parasitaemia [ 21 ].
Additional correction for malaria parasitaemia (infection
present or absent according to LM and/or qPCR at the
time of ferritin measurement) was considered necessar y
as, contrary to findings by Namaste et al., foregoing this
would have led to substantial misclassification of iron
deficient women as iron replete (i.e. ≥ 15 μg/L) in our
cohort: 48.1% of women were classified as ID u sing the
standard correction (CRP and AGP), compared to 64.9%
when correcting for CRP , AGP and para sitaemia). Inter -
nal reference values, i.e. threshold values above which
ferritin adjustments are assumed to be required, were
0.2 mg/L and 87 mg/L for C RP and AGP , respectively.
Regression coefficients are reported in Additional file 1 .
Outcome measures included peripheral malaria infec -
tion ( P . falciparum or P. vivax ) by light microscopy and/
or qPCR at enrolment or delivery; placental bloo d infec -
tion by light microscopy and/or qPCR; and active or past
infection on placental histology [ 29 ].
Statistical analyses
Associations of ID or ferritin (log 2 ) at enrolment with
indicators of malaria infection at enrolment and delivery
were assessed using multiple logistic or linear regre ssion,
as appropriate.
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Page 4 of 11
Unger etal. Malaria Journal (2022) 21:153
Multiple regression adjusted a priori for previously
identified predictors of malaria infection in the cohort,
including primigravidity, rural residence, maternal age,
and trial treatment arm [ 24 , 25 , 29 ]. Models also included
gestational age at ferritin measurement as a covariate, to
account for physiological depletion of iron stores with
advancing gestation. Presence of modification of the
association between ID and malar ia infection by gravidity
(primigravid versus multigravid) was assesse d by fitting
models with interaction terms between ID and gravidity,
or between ID and treatment arm. Presence of modifica -
tion of the association between ID and malari a infection
by enrolment Hb ≤ 90 g/L, a trigger for enhanced iron-
folate supplementation, was also assessed for women
with complete data. P-values for effect modification were
derived from likelihood ratio tests comparing models
with and without the interaction terms. A P-value < 0.05
was considered statistically significant. Statistical analy -
ses were performed using Stata version 16.0 (StataCorp,
College Station, TX, USA).
Results
e analysis included a total of 1,888 women (Fig. 1 ).
e median gestational age at enrolment was 22 ges -
tational weeks (interquartile range [IQR] 19, 24 gesta-
tional weeks). Nearly half of the women (n = 931) were
primigravid, and the median maternal age was 24 years
(IQR 20–28 years) (Table 1 ). Approximately two-thirds
of women resided in rural areas (n = 1239), and 77% of
women reported using a bed net at enrolment. A total
of 945 women (50.1%) were randomized to SPAZ, and
943 (49.9%) women were randomized to SPCQ. e
mean haemoglobin concentration at enrolment was
97g/L (standard deviation [SD] 15g/L), and 527 of 1,812
women (29.1%) had an enrolment Hb ≤ 90g/L . A total of
1,226 women (64.9%) were classified as ID at antenatal
enrolment. e median (IQR) ferritin concentration at
first antenatal visit was 10.2μg/L (IQR 5.7–20.4μg/L).
Malaria burden
A total of 258 women (13.7%) were parasitaemic at ante-
natal enrolment. Amongst participants with parasitae-
mia, 73.6% (n = 190) had P . falciparum mono-infections,
4.7% (n = 12) had mixed P . falciparum / P . v ivax infections,
20.2% (n = 52) had P . vivax infections , with the remain -
der having Plasmodium ovale or Plasmodium malariae
infections (n = 4). Half of these infe ctions were submicro -
scopic (n = 134) (Table 2 ).
At delivery, 6.4% of women (n = 120) had malaria para -
sites detected in peripheral blood: among st them 59.2%
(n = 71) had P. f alciparum mono-infections, 2.5% (n = 3)
had mixed P . falciparum / P. vivax infections, and 38.3%
(n = 46) had P . vivax mono-infections . About half of
these infections (n = 61) were submicroscopic. Placen -
tal blood parasitaemia wa s detected in 5.0% (n = 63) of
women with complete data (n = 1253) for these analyses:
87.3% (55/63) of infections were caused by P . falciparum
(Ta ble 2 ). Placental histology data wa s available for 1,356
study participants. Evidence of infection was detec ted in
254 (18.7%) of women: amongst them, 40.6% (103/254)
had active placental malaria, and 59.4% (151/254) had
evidence of past infection (Table 2 ). One fifth of women
(21.4%, 369/1723) had a Hb ≤ 90g/L at delivery .
Associations ofmaternal iron stores andmalaria infection
duringpregnancy
Associations between malar ia infection during pregnancy
and maternal ID at first antenatal visit are presented in
T able 3 . ID at antenatal enrolment was associated with
reduced odds of concurrent peripheral malaria para si -
taemia (adjusted odds ratio [aOR] 0.50; 95% confidence
interval [95% CI] 0.38, 0.66, P < 0.001) (T able 3 ). Specifi -
cally, women with ID had reduced odds of P . falciparum
infection (aOR 0.35, 95% CI 0.26, 0.49; P < 0.001) but not
P . viva x infection at enrolment (aOR 1.76, 95% CI 0.91,
3.41; P = 0.093) (Ta ble 2 ). W omen w ith ID had more
markedly reduced odds of microscopic (aOR 0.30, 95%
CI 0.21, 0.46; P < 0.001) than submicroscopic infection
(aOR 0.74, 95% CI 0.51, 1.07; P = 0.11) (T able 2 ). For a
two-fold increase in ferritin, there was a 37% increase in
the odds of peripheral parasitaemia at first antenatal visit
(aOR 1.37; 95% CI 1.23, 1.53, P < 0.001) (T able 3 ).
At delivery, when peripheral parasitaemia was less
common and proportionally included more P . v ivax
infections, iron-deficient women had reduced odds of
peripheral blood infection (aOR 0.68, 95% C I 0.46, 1.00;
P = 0.050). Women with ID had reduced odds of periph -
eral P. fa lciparum infection (aOR 0.77, 95% CI 0.47, 1.27;
P = 0.31) and peripheral P . vivax infe ction (aOR 0.55, 95%
CI 0.30, 1.02, P = 0.058) (T able 2 ). Women with ID had
reduced odds of peripheral submicroscopic (aOR 0.48,
95% CI 0.28, 0.82; P = 0.008) but not microscopic infec -
tion (aOR 0.97, 95% CI 0.55, 1.70; P = 0.91) ( T able 2 ). A
two-fold increase in ferritin associated w ith increased
odds of peripheral parasitaemia at deliver y (aOR 1.22,
95% CI 1.10, 1.49, P = 0.001; Table 3 ).
e majority of placental blood infections were
caused by P . falciparum (T able 2 ). W omen with ID
had reduced odds of placental blood infections (aOR
0.66, 95% 0.39, 1.44; P = 0.14); and a correspond -
ing increase in odds of placental infection asso ciated
with a two-fold increase in ferritin (aOR 1.22, 95% CI
1.00, 1.49; P = 0.054) (T able 3 ). Amongst women w ith
histology data, ID at first antenatal visit was ass oci -
ated with reduced odds of past placental infection at
delivery (aOR 0.35, 95% CI 0.24, 0.50; P < 0.001) but
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Page 5 of 11
Unger etal. Malaria Journal (2022) 21:153
not with active placental infection (aOR 0.91; 95% CI
0.58, 1.43; P = 0.68) (Table 3 ). ese findings were
reciprocated in analyses that assessed the relationship
between ferritin levels and malari a infection at deliv -
ery, with two-fold increases in ferritin levels associ at -
ing with increased odds of pa st infection detected at
delivery but not active infection on placental histology
(Ta ble 3 ). However, analyses of associations between ID
and active placental infections that assessed subsets of
active infection, e.g. acute infection (para sites, no pig -
ment in monocytes or fibrin) or chronic infection (par -
asites, pigment in monoc ytes and/or fibrin), indicated
reduced odds of chronic placental infection amongst
iron-deficient women (T able 2 ).
Sensitivity analyses were conducted to assess ass ocia -
tions between ID and malaria after (a) adjusting ferr i -
tin levels for CRP and AGP , but not concurrent malaria
infection; and (b) excluding women with malaria
Fig. 1 Participant flow chart. CRP, C‑reactive protein; A GP , α‑1‑acid glycoprotein, LM, light microscopy, qPCR, polymerase chain reaction
Content courtesy of Springer Nature, terms of use apply. Rights reserved.
Page 6 of 11
Unger etal. Malaria Journal (2022) 21:153
parasitaemia at enrolment. e findings were very simi -
lar to those presented above (Additional file 1 : Tables
S1, 2).
Impact ofgravidity ortreatment arm ontherelationship
betweenantenatal ID andmalaria infection atbirth
Associations of ID or ferritin levels with malar ia infec -
tion at delivery were modified by gravidity (Additional
file 1 : Tables S3). ID was associated with reduced odds
of peripheral parasitaemia at birth amongst primi -
gravid (peripheral parasitaemia: AOR 0.44, 95% C I
0.25, 0.76; P = 0.003) but not multigra vid women
(peripheral parasitaemia: AOR 1.12, 95% CI 0.61,
2.05; P = 0.72) (Additional file 1 : T ables S3). This find -
ing was corroborated by a reciprocal increas e in the
odds of peripheral infection asso ciated with a two-fold
increase in ferritin amongst primigravid (aOR 1.51,
95% CI 1.23, 1.84; P < 0.001), but not among st multi -
gravid women (aOR 1.04, 95% CI 0.83, 1.29); P = 0.76).
Likewise, assoc iations of ferritin levels with placental
blood infection and acute infection on histolog y dif -
fered by gravidity status. A two-fold increase in ferri -
tin associated with increase d odds of placental blood
infection (aOR 1.44, 95% CI 1.06, 1.96, P = 0.019)
and acute placental infection (aOR 1.24, 95% CI 1.00,
1.54; 0.052) amongst primigravid women only, with
corresponding trends observed when I D was used to
describe maternal iron stores (Additional file 1 : Tables
S3). There was no evidence of effect modification of
iron-malaria associations by malaria prevention reg i -
men (Additional file 1 : Tables S4) or enrolment Hb
of ≤ 90 g/L , a trigger for enhanced iron-folate supple -
mentation (Additional file 1 : T ables S5).
Discussion
e present study was conducted in a P . falciparum
and P . viva x co-endemic setting of moderate transmis -
sion intensity. P eripheral blood malaria infection wa s
detected in approximately 15% of women at their first
antenatal visit and 6% at birth, and 19% of women had
evidence of malaria infection on placental histology.
e predominant malaria species infecting preg nant
women was P . falciparum (80% of peripheral infections
before study interventions and 60% at delivery, i.e. after
drug allocation). ID, defined as an inflammation and
infection-corrected ferritin level < 15 μg/L at first ante -
natal visit, was asso ciated with reduced odds of periph -
eral infection at enrolment; reduced odds of peripheral
and placental blood infection at birth; and reduced
risk of past infection on placental histology. At ante -
natal enrolment, when the highest burden of periph -
eral infection was detected, ID w as associated with a
substantially reduced odds of P. fa lciparum , but not P.
vivax infection, and a more pronounced decrea se in
microscopic than in submicroscopic infections. By con -
trast, ID was asso ciated with reduced odds of periph -
eral P . v ivax infection and submicroscopic infection at
delivery. Associations between indicators of maternal
iron stores and malaria infection at delivery were modi -
fied by gravidity. Amongst primigravid women only,
there were increased odds of malaria infection (p eriph -
eral and placental blood infection, active infection on
Table 1 Association of malaria infection at first antenatal visit with maternal socio‑demographic charac teristics, Madang, Papua New
Guinea, 2009–2013
Mean [standard deviation]; or median (interquartile range); or N (%). Malaria infection at rst antenatal visit was dened as presence of Plasmodium spp. detected by
light microscopy and/or qPCR of peripheral blood
a Data available for 1812 women (245 women with malaria infection)
Characteristic All women (n = 1888) Malaria infection (n = 258) No malaria
infection
(n = 1630)
Gestational age (weeks) 22 (19, 24) 21 (18, 24) 22 (20, 24)
Maternal age (years) 24 (20, 28) 23 (20, 27) 24 (20, 28)
Residence
Rural 1239 (65.6) 204 (79.1) 1035 (63.5)
Urban/peri‑urban 649 (34.4) 54 (20.9) 595 (36.5)
Gravidity
Primigravid 931 (49.3) 139 (53.9) 792 (48.6)
Multigravid 957 (50.7) 119 (46.1) 838 (51.4)
Bed net use
Yes 1453 (77.0) 199 (77.1) 1254 (76.9)
No 435 (23.0) 59 (22.9) 376 (23.1)
Haemoglobin (g/L) a 97 (15) 92 (16) 98 (14)
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Page 7 of 11
Unger etal. Malaria Journal (2022) 21:153
histology) associated with a two-fold increa se in fer -
ritin, and reduced odds of peripheral infection a ssoci -
ated with ID. Collectively, these data provide further
evidence in support of previously rep orted associations
of indicators of maternal iron stores and the occurrence
of peripheral and placental malaria infection during
pregnancy [ 13 , 16 – 18 , 37 , 38 ]. e data further suggest
that associations may differ by parasite species, and are
more pronounced when peripheral infections detect -
able by microscopy were considered.
How does an iron-replete state (or supplementation)
increase the risk of malaria infection? Suppressed er yth -
ropoiesis in women with ID anaemia was asso ciated with
reduced growth rates of P . falciparum parasites in vitro,
whilst their growth was enhanced in response to iron
supplementation and consequential elevated erythro -
poiesis [ 39 , 40 ]. D epleted antenatal iron stores were
Table 2 Malaria infection at first antenatal visit and at birth, by presence or absence of iron deficiency (plasma ferritin), Madang, Papua
New Guinea, 2009–2013
N (%). Analyses adjusted for gravidity, maternal age, malaria chemoprev ention regimen, rural location, and gestational age at ferritin measurement. Ferritin levels
were adjusted for concurrent inammation and peripheral Plasmodium parasitaemia using the BRINDA (Biomarkers Reecting Inammation and Nutritional
Determinants of Anemia) approach [ 36 ]
aOR: adjusted odds ratio; CI: condence interval; P: Plasmodium
a Mixed P . falciparum / P. viv ax infections were included in regressions models as P . falciparum infections
b Includes 55 P. falciparum inf ections, 1 mixed P . falciparum / P. viv ax infection, and 7 P. viv ax infections
All women Iron-decient
(ferritin < 15μg/L) I ron-replete
(ferritin ≥ 15μg/L) aOR (95% CI) P value
First antenatal visit
Parasite detection n = 1888 n = 1226 n = 662
Microscopic 124 (6.6) 47 (3.8) 77 (11.6) 0.30 (0.21, 0.46) < 0.001
Submicroscopic 134 (7.1) 76 (6.2) 58 (8.8) 0.74 (0.51, 1.07) 0.11
No infection 1630 (86.3) 1103 (90.0) 527 (79.6) Reference
Plasmodium species
P . falciparum 190 (10.1) 76 (6.2) 114 (17.2) 0.35 (0.26, 0.49) < 0.001
P . falciparum / P. vivax a 12 (0.6) 6 (0.5) 6 (0.9)
P . vivax 52 (2.8) 39 (3.2) 13 (2.0) 1.76 (0.91, 3.41) 0.093
P . malariae/ovale 4 (0.2) 2 (0.2) 2 (0.3) –
No infection 1630 (86.3) 1103 (90.0) 527 (79.6) Reference
Delivery
Peripheral infection n = 1888 n = 1226 n = 662
Parasite detection
Microscopic 59 (3.1) 36 (2.9) 23 (3.5) 0.97 (0.55, 1.70) 0.91
Submicroscopic 61 (3.2) 30 (2.5) 31 (4.7) 0.48 (0.28, 0.82) 0.008
No infection 1768 (93.6) 1160 (94.6) 608 (91.8) Reference
Plasmodium species
P . falciparum 71 (3.8) 40 (3.3) 31 (4.7) 0.77 (0.47, 1.27) 0.31
P . falciparum / P. vivax a 3 (0.2) 3 (0.2) 0 (0.0) –
P . vivax 46 (2.4) 23 (1.9) 23 (3.5) 0.55 (0.30, 1.02) 0.058
No infection 1768 (93.6) 1160 (94.6) 608 (91.8) Reference
Placental infection (blood) n = 1253 n = 817 n = 436
Parasite detection b
Microscopic 40 (3.2) 24 (2.9) 16 (3.7) 1.00 (0.51, 1.99) 0.99
Submicroscopic 23 (1.8) 8 (1.0) 15 (3.4) 0.33 (0.13, 0.83) 0.018
No infection 1190 (95.0) 785 (96.1) 405 (92.9) Reference
Placental infection (histology) n = 1356 n = 893 n = 463
Acute 53 (3.9) 40 (4.5) 13 (2.8) 1.62 (0.83, 3.16) 0.16
Chronic 50 (3.7) 26 (2.9) 24 (5.2) 0.54 (0.30, 0.99) 0.047
Past 151 (11.1) 72 (8.1) 79 (17.1) 0.35 (0.24, 0.51) < 0.001
No infection 1102 (81.3) 755 (84.6) 347 (75.0) Reference
Content courtesy of Springer Nature, terms of use apply. Rights reserved.
Page 8 of 11
Unger etal. Malaria Journal (2022) 21:153
associated with reduced odds of P. vivax infection at
delivery but not at enrolment. ID decreases pro duction
of reticulocytes , which P . viva x preferentially infects, so a
protective effect might be envisaged. In addition to ery th -
ropoiesis-mediated impacts of ID on para site growth,
other mechanisms may be of relevance to iron-malaria
interactions. ough ID may decrease susceptibility to
disease it is worth acknowledging that it may also have
a negative effect of the development of immunity. ID at
the time of vaccination in young children is associated
with decreased antibody to diphtheria , pertussis, and
pneumococcal vaccines [ 41 ], and serum iron is positively
associated with measles antibo dy titres in vaccinated
individuals [ 42 ]. Experiments in animal models and
in vitro suggest that ID cause s defective B-cell prolif -
eration and differentiation [ 42 ]. is is corroborated by
recent reports of reduced levels of P. falciparum -specific
antibodies in iron-deficient African children [ 43 ]. ID may
thus affect the development and functionality of antibody
features that can protect from malaria infection [ 44 ].
e size and the directionality of effects obser ved in
our study were consistent with previous studies that
assessed assoc iations between ferritin and P . falcipa -
rum infection in pregnant women [ 13 ]. ID may hamper
the development of immunity to pregnancy-associated
malaria that translates into lower prevalence of placen -
tal infection and associated adverse bir th outcomes in
high transmission settings. In addition, ID may exert a
protective effect in primigravid women by slowing para -
site growth. In the present study, gravidity-dependent
differences in associations of ID with malaria infection
during pregnancy were obser ved. ID was associated
with reduced odds of peripheral parasit aemia at delivery
amongst primigravid women, and a two-fold increase in
ferritin associated with malaria infe ction in primigravid
but not multigravid women. Similar observations were
made in earlier research from T anzania. Iron-deficient
primi- and secundigravidae had a lower prevalence of
placental blood P . falciparum infection by light micros -
copy compared to their iron-replete counterparts.
Amongst multigravidae, malaria prevalence did not dif -
fer significantly between iron-deficient and iron-replete
women [ 16 ]. ese data suggest that the development
of gravidity-dependent protective immunity to placen -
tal infection [ 45 ] may modify the relationship between
maternal ID and malaria protection. Malaria prevention
approaches may also alter the association of ID and iron
supplementation with malaria infection risk in pregnant
women [ 20 , 46 ]. In the present study, two mark edly dif -
ferent malaria prevention approaches (a single dose
of SPCQ at antenatal enrolment versus monthly IPT p
with SPAZ) were used alongside insecticide treated bed
nets,. However, there was no apparent effect modifica -
tion of iron-malaria relationships by treatment arm. is
suggests that in PNG both treatment regimens did not
substantially alter malaria risk related to maternal iron
stores.
A 2014 meta-analysis exclusively reported iron-malaria
interactions when CRP-corrected ferritin levels, but not
other markers, were used to determine maternal iron
stores [ 13 ]. It may be that the effect of malaria-associ -
ated inflammation is not fully captured by CRP and AGP
[ 47 ], which could confound the observed iron-malaria
relationships. Whilst previous research, conducted in
non-pregnant individuals, indicated a limite d role of
further correcting ferritin levels by concurrent malaria
Table 3 Association of maternal iron status (ferritin) with malaria
infection at antenatal enrolment and at delivery, Madang, Papua
New Guinea, 2009–2013
Analyses adjusted for gravidity, maternal age, malaria chemoprev ention
regimen, rural location, and gestational age at ferritin measurement. Ferritin
levels were adjusted for concurrent inammation and peripheral malaria
parasitaemia using the BRINDA (Biomarkers Reecting Inammation and
Nutritional Determinants of Anemia) approach [ 36 ]
aOR: adjusted odds ratio; CI: condence interval
a Include 1,886, 1,886, 1,253 and 1,356 women with malaria infection data
( Plasmodium falciparum , P . vivax ) from peripheral blood at enrolment, peripheral
blood at delivery, placental blood, and placental histology collected at delivery,
respectively
Factor aOR (95% CI) P value
Enrolment
Peripheral infection a
Iron deficiency
Ferritin < 15 μg/L 0.50 (0.38, 0.66) < 0.001
Ferritin ≥ 15 μg/L Reference
Log 2 (ferritin) 1.37 (1.23, 1.53) < 0.001
Delivery
Peripheral infection a
Iron deficiency
Ferritin < 15 μg/L 0.68 (0.46, 1.00) 0.050
Ferritin ≥ 15 μg/L Reference
Log 2 (ferritin) 1.27 (1.10, 1.48) 0.001
Placental infection (blood) a
Iron deficiency
Ferritin < 15 μg/L 0.66 (0.39, 1.14) 0.14
Ferritin ≥ 15 μg/L Reference
Log 2 (ferritin) 1.22 (1.00, 1.49) 0.054
Placental infection (histology) a
Iron deficiency
Active infection 0.91 (0.58, 1.43) 0.68
Past infection 0.35 (0.24, 0.50) < 0.001
No infection Reference
Log 2 (ferritin)
Active infection 1.04 (0.88, 1.22) 0.64
Past infection 1.65 (1.42, 1.91) < 0.001
No infection Reference
Content courtesy of Springer Nature, terms of use apply. Rights reserved.
Page 9 of 11
Unger etal. Malaria Journal (2022) 21:153
parasitaemia [ 36 ], foregoing correction of ferritin for
both inflammation (CRP , AGP) and concurrent per iph -
eral parasitaemia would have resulted in misclassification
of 25% of women as iron replete in the present cohort,
which prompted a primary analysis using ferritin levels
corrected for both inflammation and malaria infection.
However, associations between maternal ID or ferritin
levels with malaria infection were highly comparable in
analyses using ferritin levels corrected for C RP and AGP
only (Additional file 1 : T ables S1), and analyses using fer -
ritin corrected for CRP , AGP and concurrent peripheral
parasitaemia (Table 3 ). is suggest s that correcting for
presence of peripheral parasitaemia present at ferritin
measurement has a limited role in confounding asso -
ciations of ID and subsequent malaria infection during
pregnancy, but may help with estimating true burden
of ID in pregnancy. Mwangi et al. performed a similar
analysis in Kenya, and showed that adjusting for CRP ,
AGP and parasitaemia gave a better fit for their model
to predict ID [ 21 ]. Whether placental infections without
detectable blood stream infection [ 48 ] affect fer ritin lev -
els is unknown, as is whether such occult infections are
associated with increases in ferr itin levels that are not
captured by adjustment for CRP or AGP . More recent
reports of associ ations between other markers of iron
stores (transferrin saturation, soluble transferrin recep -
tor [sTFR]/log 10 ferritin ratios) and malaria in pregnant
women and children [ 37 , 49 ] support the notion of a true
biological effect. is is f urther consolidated by prospec -
tive studies reporting increased ri sk of malaria infection
in pregnant women and children receiving iron supple -
ments in absence of concurrent anti-malarial chemopre-
vention [ 12 , 46 ]. Howe ver , trials have demonstrated that
iron supplementation in pregnancy is safe when IPTp- SP
and bed nets are used concurrently [ 20 , 22 ].
e strengths of the present research include compre -
hensive assessments of infection status in a large cohort
of pregnant women at risk of both P . falciparum and P.
vivax infection; adjustments of ferritin le vels for con -
current inflammation and peripheral parasitaemia; and
adjustments for potential confounders including mater -
nal residence, a marker of infection exposure risk. Weak-
nesses include that the provision and uptake of iron
supplementation was unmonitored and may have differed
between iron deficient and iron replete women. Further -
more, residual confounding of ferritin-malaria interac-
tions by the presence of subpatent placental infections at
the time of ferritin measurement could not be ruled out.
Conclusions
ere are substantial associations between mark -
ers of antenatal iron status and malaria infection dur -
ing pregnancy. Whilst residual confounding due to
misclassification of ID and unmeasured predictors of
malaria infection cannot be rule d out, maternal iron
status may influence malaria risk by altering parasite
growth potential and maternal immune responses to
malarial infection, including placental malaria. Pro -
spective studies that assess the temporal relationships
between pre-pregnanc y and early pregnancy iron stores
and iron supplementation during pregnancy with
malaria incidence and the development of anti-malar -
ial immunity could consolidate our understanding of
iron-malaria relationships in pregnancy, alongside eval -
uations of the impact of placental infection on mark -
ers of maternal iron status. Broader validation of the
approach to adjust ferritin levels for both inflammation
and Plasmodium infection ag ainst reference methods
to diagnose ID, such as bone marrow iron stores, are
desirable in the future.
Abbreviations
AGP: α‑1‑Acid glycoprotein; CI: Confidence interval; CRP: C‑reactive protein;
Hb: Haemoglobin; ID: Iron deficiency; IPTp: Intermittent preventive treatment
in pregnancy; IQR: Interquartile range; OR: Odds ratio; PNG: Papua New
Guinea; PCR: Polymerase chain reaction; SD: Standard deviation.
Supplementary Information
The online version contains supplementary material available at https:// doi.
org/ 10. 1186/ s12936‑ 022‑ 04177‑8 .
Additional le1: TableS1. Association of maternal ferritin levels at
antenatal enrolment with malaria infection at antenatal enrolment and
at delivery, Madang, Papua New Guinea, 2009–2013. Ferritin levels were
adjusted for concurrent inflammation (C‑reactive protein and α‑1‑acid
glycoprotein). TableS2. Association of f erritin levels at antenatal enrol‑
ment with malaria infection at delivery in women without peripheral
Plasmodium parasitaemia at antenatal enrolment, Madang, Papua New
Guinea, 2009–2013. Ferritin levels were adjusted for concurrent inflamma‑
tion (C‑reactive protein and α‑1‑acid glycoprotein). T ableS3. Associations
between maternal iron status (ferritin) at first antenatal visit and malaria
infection at delivery, stratified by gravidity, Madang Province, P apua New
Guinea, 2009–2013. TableS4. Associations between maternal iron status
(ferritin) at first antenatal visit and malaria infection at delivery, stratified
by malaria prevention regimen, Madang Province, P apua New Guinea,
2009–2013. TableS5. Associations between maternal iron status (ferritin)
at first antenatal visit and malaria infection at delivery, stratified by hae‑
moglobin status at antenatal enrolment, Madang Province, Papua New
Guinea, 2009–2013.
Acknowledgements
We thank the participating women and their families; the PNG IMR clinical,
administrative, logistics, and laboratory staff; staff at all participating health
centres; Dr Valentina Laurita Longo; and Dr . Regina Wangnapi.
Author contributions
SJR, HWU, and EA conceived and designed the study. MOK, HWU, and SJR
supervised enrolment and follow‑up of patients. EA, AB, and SJR supervised
and conducted laboratory procedures. HWU, AB, MOK, EA and SJR verified,
analysed, and interpreted the data. HWU drafted the original version of the
manuscript. All authors participated in the writing of the manuscript. All
authors read and approved the final manuscript.
Content courtesy of Springer Nature, terms of use apply. Rights reserved.
Page 10 of 11
Unger etal. Malaria Journal (2022) 21:153
Funding
The present study was funded by a research grant from the British Maternal
and Fetal Medicine Society (BMFMS) to HWU. The parent trial was supported
by the Malaria in Pregnancy Consortium (funded by the Bill & Melinda Gates
Foundation, 46099), and the Pregvax Consortium (European Union’ s Seventh
Framework Programme FP7‑2007‑HEAL TH, PREGVAX 201588, and the Spanish
Government EUROSALUD 208 Programme). This work was also supported
by the National Health and Medical Research Council of Australia (Australian
Centre of Research Excellence in Malaria Elimination ‑ACREME) grant 1134989.
Funding sources did not have any involvement in the study desig n; collection,
analysis, and interpretation of data; and compilation and submission of this
report.
Availability of data and materials
Data are available from the WW ARN data repository ( http:// www. wwarn. org/
worki ng‑ toget her/ shari ng‑ data/ acces sing‑ data ) for researchers who meet the
criteria for access to confidential data and from the corresponding author on
reasonable request.
Declarations
Ethics and approvals and consent to participate
The study was approved by the PNG Institute of Medical Research (PNGIMR)
Institutional Review Board (0815), the PNG Medical Research Advisory Council
(08.01), and the Melbourne Health Human Research Ethics Committee
(2008.162). The study was conducted in accordance with Good Clinical Prac‑
tice guidelines (ICH GCP E6). All women provided written informed consent.
Consent for publication
Not applicable.
Competing interests
The authors declare that they have no competing interests.
Author details
1 Department of Obstetrics and Gynaecology, Royal Darwin Hospital, Darwin,
NT, Australia. 2 Menzies School of Health Research, Charles Darwin University,
Darwin, NT, Australia. 3 Department of Clinical Sciences, Liverpool School
of Tropical Medicine, Liv erpool, UK. 4 Depar tment of Medicine (RMH), Peter
Doherty Institute for Infection and Immunity, The University of Melbourne,
Melbourne, VIC, Australia. 5 Papua New Guinea Institute of Medical Research,
Goroka, Papua New Guinea. 6 Department of Infectious Diseases, Peter
Doherty Institute for Infection and Immunity, The University of Melbourne,
Melbourne, VIC, Australia. 7 Department of Microbiology and Immunology,
Peter Doherty Institute for Infection and Immunity, The University of Mel‑
bourne, Melbourne, VIC, Australia.
Received: 9 December 2021 Accepted: 7 May 2022
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Publisher’ s Note
... In addition to the dietary resources, one needs to be aware of the geographical regions before providing iron. For example, health professionals may need to treat malaria in areas with endemic malaria while providing iron therapy to women
[67]
. Similarly, iron may also be affected by worm infestation. ...
Role of iron in the reduction of anemia among women of reproductive age in low-middle income countries: insights from systematic review and meta-analysis
Article
Full-text available
BMC Wom Health
Aziz Savera
| https://www.researchgate.net/publication/360881253_Associations_of_maternal_iron_deficiency_with_malaria_infection_in_a_cohort_of_pregnant_Papua_New_Guinean_women |
Portrait of an Unknown Lady: Technical Analysis of an Early Tudor Miniature | Article index | Articles | British Art Studies
An online, open-access and peer-reviewed academic journal for research on all aspects of British art, architecture and visual culture.
ArticlebyPolly Saltmarsh
Lucas Horenbout, Portrait of an Unknown Lady (detail), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).
Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
Abstract
Portrait of an Unknown Lady
Introduction
This intriguing portrait of an unknown woman forms part of the collection of early miniatures at the Yale Center for British Art (YCBA) (
Fig. 1
DOI Figure 1.Lucas Horenbout, Portrait of an Unknown Lady, circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
1
His father Gerard was a celebrated painter in Flanders and worked for Margaret of Austria before coming to England. In October 1528, Gerard was employed by Henry VIII at the Tudor court where he received a regular monthly wage as “painter” until 1531.
2
Gerard’s daughter Susanna is also present and, in some accounts, it is claimed that Henry VIII actively sought her into his employ and that she may have been the first of the Horenbout family to come to England.
3
Levina Teerlinc was the daughter of Simon Bening, the most celebrated illuminator working in Flanders at the height of Flemish manuscript patronage and production at the turn of the sixteenth century.
4
Teerlinc arrived in Britain in around 1545 with her husband George and their life at court can be traced through the accounts of the New Year’s gift lists. Teerlinc is referred to in the lists as both a “
paintrix
5
6
It also highlights the fact that payments were sometimes made to the husband of a woman at court rather than directly to her, making the references to commissions or work undertaken harder to trace.
Portrait of an Unknown Lady
was purchased by Paul Mellon as a pair with the
Portrait of a Man
, sold by Sotheby’s London, on 1 June 1970 from the collection of Miss Dorothy Hutton (
Fig. 2
Portrait of a Man
is now unquestioningly given to Holbein. Recent research has established that the sitter is likely to be Sir George Carew based on the resemblance to a drawing by Holbein and firmly situates the work within his oeuvre. Strong attributed the miniature of an
Unknown Lady
7
DOI Figure 2.Hans Holbein the Younger, Portrait of a Man, probably Sir George Carew, circa 1540, watercolour on vellum, 6.7 × 5.7 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.58).Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
This paper starts with the object as its point of departure to explore these questions. By examining the materials and techniques used in creating this portrait, it can be compared to other early miniatures and placed into context ahead of a discussion of its possible attribution and the identification of the sitter. The examination of early miniatures inevitably requires revisiting the well-trodden ground of the development of the portrait miniature from the established illumination workshops across Europe to its place as a prized art form at the Tudor court. However, in this context it is crucial to understand the limnings produced by the artists working within both these areas.
The Development of the Portrait Miniature in England
8
Illustrated devotional books were items of great expense in European courts and the Burgundian and Hapsburg dynasties were avid patrons of the art form. By the mid-1400s, Flanders had become the epicentre of production.
9
Single leaf illuminations were also available, to be pasted into volumes at a later date or hung as devotional texts and images on interior walls. Durer’s purchase of an image of Christ from Susanna Horenbout is an example of this format.
Illuminators were also employed to illustrate important documents and this tradition was used in court papers produced in England as outlined in Auerbach’s research on the plea rolls. The earliest portraits appear in the plea rolls of the King’s Bench. The initial P of
Placita
(pleas) forms a circular format to frame a royal portrait. The earliest known example is the roll of Easter 1460 and depicts Henry VI.
10
Commissioned by judges or officials at court, the quality of the limning and artistic merit varies across these works, but it is an important stage in the development of the portrait miniature in England.
The earliest known example of an independent miniature produced in England is the
Portrait of Princess Mary
attributed to Lucas Horenbout in the collection of the National Portrait Gallery, London.
11
12
also attributed to Lucas Horenbout, is an interesting early portrait miniature of royalty outside the immediate family of Henry VIII, copied from an existing portrait in the Royal Collection.
13
An important series of six miniatures depict Henry VIII and are attributed to Lucas Horenbout, dating between 1525 and 1530. They repeat the same format but show the king with differing facial hair and attire; it is assumed a pattern was used to create the versions.
14
A link between these portraits and those found on court documents can be found on the letters patent of Henry VIII for Thomas Forster in Latin 1524, 28 April.
15
16
17
Other examples of small books with images pasted in the front and back exist and suggest an additional usage for single leaf illuminations, especially considering other rectangular miniatures such as the
Katherine of Aragon with a Marmoset
in the Buccleuch Collection.
Technical Examination of Portrait of an Unknown Lady
DOI
DOI
The miniature is painted in watercolour on vellum, which has been mounted onto a piece of laid paper at an early stage in its history, although this is not part of the original construction.
18
Looking at the back of the work, the reversed image of the sitter is clearly visible through the paper. At the top, water staining is evident which is also visible on the front of the painting (
Fig. 3
Infra-red photography revealed some surprising elements in the creation of the miniature.
19
Drawing lines were detected which have been made using a carbon-based material and show evidence of a change in the dimensions of the sitter’s face at an early stage (
Fig. 4
DOI Figure 4.Lucas Horenbout, Portrait of an Unknown Lady (infra-red photograph), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
Fig. 5
).
In 1573, the anonymous treatise
The Arte of Limming
was published by Richard Totill of London. The work proved surprisingly popular and six editions were printed between 1573 and 1605.
20
Unlike later treatises on limning, the work does not focus on portrait miniatures but is concerned with the decorative forms of limning based on the tradition of manuscript illumination and used for a variety of books and documents. The instructions for drawing are as follows:
The order of drawing or tracing
. First thou shalte with a pencell of blacke lead, or with a cole made sharpe at the poynte trace all thy letters, and sett thy vinetts of flowers, and then thy imagery if you wilt make any. And then shalt thou with a small pen drawe al you hast postred
21
Marking out the design for an illuminated manuscript involved drawing the outlines before colour was laid in, typically using inks applied with a brush or quill. A lovely example of this working method can be seen in
Self Portrait of Simon Bening
(
Fig. 6
).
22
On the easel in front of the artist is a sketch on parchment of the Virgin and Child; a small shell contains blue pigment, the colour of the Virgin’s robes, suggesting Bening is just about to start applying colour to his initial drawing. The quote from the 1573 treatise suggests drawing with charcoal or by using a brush (then called a “pencil”) to apply black lead.
23
Starting a miniature with an outline in black differs from the later technique described by Hilliard and that which is observed on the majority of portrait miniatures. This could suggest a link between the technical methods of the maker of
Portrait of an
Unknown Lady
with earlier practices of manuscript illumination.
The pigments used in the YCBA miniature were examined using XRF spectroscopy—a method which detects elements within the paint layer and helps to determine the pigments used in its manufacture.
24
The pigments found in this portrait are typical of those routinely used in the manufacture of miniatures in the 1500s. The flesh contains two whites, lead white, and a chalk-based white, mixed with small quantities of vermilion and earth pigments (
Fig. 7
DOI Figure 7.Lucas Horenbout, Portrait of an Unknown Lady (results of XRF analysis), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
Examination of a miniature through a microscope is one of the most helpful tools in understanding an artist’s particular style and their method of applying the paint. Previous discussions around the attribution of this miniature have commented negatively on the “thin and transparent” painting technique used in the features, which has been seen as an indication of poor-quality handling.
25
The artist has laid in a carnation layer of pale pink containing very fine pigment particles. An x-ray of the painting confirms the uses of the two white pigments, utilised to achieve different effects (
Fig. 8
). Lead white was used for the whites of the eyes and as highlights around the features, which show as dense white areas in x-ray. A chalk-based white has been used in the carnation; x-rays penetrate through calcium carbonate, producing darker areas in the x-ray image. Around the eyes are distinctive, short, calligraphic strokes, rendered on a miniature scale (
Figs 9
and
10
Fig. 11
).
Figure 8.
Lucas Horenbout, Portrait of an Unknown Lady (X-radiograph), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).
Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
Figure 9.
Lucas Horenbout, Portrait of an Unknown Lady (photomicrograph detail), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).
Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
Figure 10.
Lucas Horenbout, Portrait of an Unknown Lady (detail), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).
Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
DOI
Figure 11.
Lucas Horenbout, Portrait of an Unknown Lady (photomicrograph detail), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).
Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
One of the most beautiful elements of the miniature is the depiction of the jewel with cowslips and acorns, set on the front of the sitter’s dress (
Fig. 12
Figs 13
and
14
).
Figure 12.
Lucas Horenbout, Portrait of an Unknown Lady (detail), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).
Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
Figure 13.
Lucas Horenbout, Portrait of an Unknown Lady (detail), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).
Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
Figure 14.
Lucas Horenbout, Portrait of an Unknown Lady (detail), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).
Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
Attribution of the Miniature
26
Despite the lack of a body of work that can be attributed to her, in the literature on miniatures, Teerlinc’s abilities are often referred to in a negative way. Miniatures are attributed to her on the grounds that the handling is weak and that the arms are too thin. To quote from Strong’s entry for Teerlinc in the
Oxford Dictionary of National Biography,
“Their most characteristic feature is a head attached to a too small, spindly body. Their technique is awkward, thin and often cursory”.
27
Inscription
The work of Roy Strong and Jim Murrell in the 1980s was instrumental in grouping together a series of miniatures that could be attributed to Lucas Horenbout. Their approach involved close examination of the miniatures through a microscope and comparison of the techniques employed across the group.
28
The inscriptions are distinct and suggest that these miniatures can be grouped together, although the lettering does vary in handling. Six of the miniatures share a distinctive A, which has a heavy serif topping the letter.
Katherine of Aragon
29
shows two types of A, all with the heavy serif and one with two downward sloping diagonal lines forming the cross of the A, which is also seen on the Yale miniature (
Fig. 15
DOI Figure 15.Lucas Horenbout, Portrait of an Unknown Lady (detail), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
The Horenbout Family
Gerard Horenbout lived and worked in Ghent and was accepted as a master of the painter’s guild in 1487.
30
valet de chambre
to Margaret of Austria, regent of the Netherlands and appears regularly in her documented accounts from 1516–1522.
31
Karel van Mander gives a detailed description of two pictures by Gerard Horenbout in his 1604 book of artist’s biographies.
32
The works are undoubtedly larger paintings in oil and Campbell and Foister’s research into the documentary evidence on Gerard Horenbout show he is consistently described as a painter rather than an illuminator. However, in his diary, Durer specifically refers to him as “
maister Gerhart, illuminist
”
.
In Lodovico Guicciardini’s 1567 account of the history and arts of the Low Countries, written twenty years after Gerard Horenbout’s death, the artist is described as excellent in the art of illumination.
33
It seems that Gerard Horenbout, like many artists at this time, was actively engaged in a variety of work.
34
For example, as court painter, Holbein carried out numerous projects including painting large cloths to serve as decorative hangings for the meeting of Henry VIII and François I at Greenwich in 1527.
35
In France, François and Jean Clouet developed the portrait miniature format and were also painting portraits in oil. Recent research into Hilliard’s period in France has finally made a conclusive link to two works in oil, which confirms the long-held theory that he painted in this medium as well as limning.
36
That Gerard Horenbout was an artist skilled in the tradition of illuminated manuscripts is confirmed by the only firmly documented works attributed to him: sixteen full-page illuminations created for the
Hours of Bona Sforza
, commissioned while he was in the employ of Margaret of Austria. The volume is now in the collection of the British Library.
37
Hours of Bona Sforza
paintings, an example of the Horenbout family members working together on a project.
38
There are no known records of Gerard Horenbout’s activities after 1522 and the next time he appears in documents is October 1528, working for Henry VIII.
39
Frustratingly, the accounts do not help to define the period Gerard Horenbout is employed at the English court as some records are lost and it is plausible that he had arrived in England at an earlier date. Nor do the records help determine what role Gerard Horenbout had as “painter” to Henry VIII and whether he was actively producing works of art himself or managing some form of workshop.
Gerard Horenbout’s son Lucas is the only Horenbout to whom miniatures are attributed in national collections within the UK. Once again, as Foister has pointed out, the court documents record Lucas Horenbout’s profession as a painter rather than an illuminator or “lymner of books”. Guicciardini states that Lucas is “
grandissimo pittore & singulare nell’arte dell’alluminare
”; the wording used here would imply Lucas was both a painter and an illuminator.
40
Van Mander records that a “Meister Lucas” taught Holbein the art of illumination and it is now confidently accepted that this refers to Lucas Horenbout.
41
Canones Horoptri
by Nikolaus Kratzer, produced in 1528 and presented to the king as a New Year’s gift, was written by the scribe Peter Meghen and the manuscript decorated with ornate capitals painted by Holbein.
42
It is tempting to assume that Lucas Horenbout’s training of Holbein was as part of the production of this manuscript.
Even more problematic to pin down in terms of artistic output is Lucas Horenbout’s sister Susanna. Durer’s reference to her in 1521 and acquisition of an example of her work are undeniably high praise for her artistic talents. Like her father and brother, her name occurs in various accounts of artists of merit. Guicciardini declares she excelled in all painting—miniatures and illuminations.
43
In Vasari’s
Lives of the Artists
, Susanna Horenbout is mentioned as one of the Flemish female artists who made a name at the court of Henry VIII.
44
It has been suggested before that the Horenbouts may have formed a similar workshop to that which Gerard Horenbout was running in Ghent. It is possible that the different hands evident in the series of miniatures of Henry VIII may be Susanna working alongside Lucas Horenbout. The payments and gifts that Susanna is recorded as receiving at court relate to her services as a gentlewoman, and while no surviving document to date shows her active as a limner, it cannot be ruled out that she is producing these intimate portraits, possibly of the ladies at court, within the circles she was mixing in. The fact that she is recorded after her death as having had a successful and celebrated career as an artist at Henry’s court must mean she was active as an artist during her time in England.
Comparison of Portrait of an Unknown Lady with Other Works Attributed to Horenbout
Figs 16
,
17
,
18
,
19
,
20
,
21
,
22
, and
23
).
Figure 16.
Lucas Horenbout, Portrait of Henry VIII, circa 1525, watercolour on vellum, 5.3 × 4.8 cm. Fitzwilliam Museum, Cambridge (PD.19-1949).
Digital image courtesy of Fitzwilliam Museum, Cambridge (All rights reserved).
Figure 17.
Lucas Horenbout, Henry VIII, circa 1526–1527, watercolour on vellum, 4 × 5.2 cm. Royal Collection (RCIN 420010).
Digital image courtesy of Royal Collection Trust and Her Majesty Queen Elizabeth II 2020 (All rights reserved).
Figure 18.
Lucas Horenbout, Henry VIII (photomicrograph detail), circa 1526–1527, watercolour on vellum, 4.7 × 6.2 cm. Royal Collection (RCIN 420640).
Digital image courtesy of Royal Collection Trust and Her Majesty Queen Elizabeth II 2020 (All rights reserved).
Figure 19.
Lucas Horenbout, Henry Fitzroy, Duke of Richmond and Somerset, circa 1533–1534, watercolour on vellum, 4.4 × 5.9 cm. Royal Collection (RCIN 420019).
Digital image courtesy of Royal Collection Trust and Her Majesty Queen Elizabeth II 2020 (All rights reserved).
Figure 20.
Lucas Horenbout, Queen Mary I, circa 1525, watercolour on vellum, 3.5 cm diameter. National Portrait Gallery, London (NPG 6453).
Digital image courtesy of National Portrait Gallery, London (All rights reserved).
Figure 21.
Lucas Horenbout, Katherine of Aragon, circa 1525, watercolour on vellum, 3.8 cm diameter. National Portrait Gallery, London (NPG 4682).
Digital image courtesy of National Portrait Gallery, London (All rights reserved).
Figure 22.
Lucas Horenbout, Katherine of Aragon, circa 1525–1526, watercolour on vellum, 3.9 cm diameter. On long-term loan to the National Portrait Gallery, London (NPG L244).
Digital image courtesy of National Portrait Gallery, London (All rights reserved).
Figure 23.
Lucas Horenbout, Henry VIII, circa 1526–1527, watercolour on vellum, 4.7 × 6.2 cm. Royal Collection (RCIN 420010).
Digital image courtesy of Royal Collection Trust and Her Majesty Queen Elizabeth II 2020 (All rights reserved).
A common element in all of the miniatures is the modelling of the features in pink and grey strokes applied over a pink carnation layer. This method of handling was found to be consistent in all the works attributed to Horenbout which Murrell examined.
45
Fig. 23
).
Fig. 13
) to the free, linear strokes seen on the bearded version of Henry in the Royal Collection (
Fig. 18
).
46
The handling of the lips on the Yale miniature falls somewhere between these two methods (
Figs 24
,
25
, and
26
).
Figure 24.
Lucas Horenbout, Henry VIII (photomicrograph detail), circa 1526–1527, watercolour on vellum, 4.7 × 6.2 cm. Royal Collection (RCIN 420010).
Digital image courtesy of Royal Collection Trust and Her Majesty Queen Elizabeth II 2020 (All rights reserved).
Figure 25.
Lucas Horenbout, Henry VIII (photomicrograph detail), circa 1526–1527, watercolour on vellum, 4.7 × 6.2 cm. Royal Collection (RCIN 420640).
Digital image courtesy of Royal Collection Trust and Her Majesty Queen Elizabeth II 2020 (All rights reserved).
Figure 26.
Lucas Horenbout, Henry Fitzroy, Duke of Richmond and Somerset (photomicrograph detail), circa 1533–1534, watercolour on vellum, 4.4 × 5.9 cm. Royal Collection (RCIN 420019).
Digital image courtesy of Royal Collection Trust and Her Majesty Queen Elizabeth II 2020 (All rights reserved).
DOIThe handling of the highlight in the eye is another feature uniting this group of portraits and appears to be unique to these miniatures (Figs 27and28). Rather than a dot, or series of dots, the light is rendered as a horizontal line created by applying a single brushstroke of thick-bodied lead white paint on top of the iris and stopping at the outline of the pupil. Also worth noting is the use of blue pigment particles mixed into the white of the eye in the bearded version of Henry VIII in the Royal Collection. This is a device typically seen in oil paintings of this period, but is not commonly found in miniatures.
Figure 27.
Lucas Horenbout, Katherine of Aragon (photomicrograph detail), circa 1525–1526, watercolour on vellum, 3.9 cm diameter. on long-term loan to the National Portrait Gallery, London (NPG L244).
Digital image courtesy of National Portrait Gallery, London (All rights reserved).
DOI
Figure 28.
Lucas Horenbout, Henry VIII (photomicrograph detail), circa 1526–1527, watercolour on vellum, 4.7 × 6.2 cm. Royal Collection (RCIN 420640).
Digital image courtesy of Royal Collection Trust and Her Majesty Queen Elizabeth II 2020 (All rights reserved).
Fig. 29
). These indicate that the lines were applied from bottom to top while both Royal Collection versions appear to be painted top to bottom. In the bearded version of Henry VIII, the lines have been applied twice. The fine blackwork pattern was then applied as the final detail.
When viewing the photomicrographs and determining themes that connect these works, there is a sense that although they are striving for the same aesthetic, the handling differs across the group. This may suggest that we have different artists at work and again the possibility that we are seeing the hands of Gerard, Lucas, and Susanna Horenbout employed in making versions of this portrait, following a workshop pattern.
Identity of the Unknown Lady
47
48
The dress is very similar in both portraits as is the close cropping so that only part of the huge cuffs is visible, with the space between the arms and chest emphasised and the arms held slightly away from the body.
The early portrait miniature was the prerogative of the inner royal circle, when the Horenbouts were active at court. Combined with the evidence of the dress in the Yale miniature, we can be certain that the lady depicted is of royal status. In recent years, the sitter in the Yale miniature has been identified as Lady Jane Grey.
49
Figure 30.
Lucas Horenbout, Portrait of an Unknown Lady (photomicrograph detail), circa 1533–1534, watercolour on vellum, 7 × 6.4 cm. Yale Center for British Art, Paul Mellon Collection (B1974.2.59).
Digital image courtesy of Yale Center for British Art, Paul Mellon Collection (Public Domain).
DOI
Figure 31.
Hans Holbein the Younger, Princess Mary, later Queen, circa 1536, black and coloured chalks, and pen and ink on pale pink prepared paper, 38.6 × 29.1 cm. Royal Collection (RCIN 912220).
Digital image courtesy of Royal Collection Trust and Her Majesty Queen Elizabeth II 2020 (All rights reserved).
Figure 32.
Master John, Queen Mary I, 1544, oil on panel, 71.1 × 50.8 cm. National Portrait Gallery, London (NPG 428).
Digital image courtesy of National Portrait Gallery, London (All rights reserved).
Given that the sitter’s age is stated on the miniature as being eighteen, this would date the work to 1533–1534, if it depicts Princess Mary. This was a difficult period for Mary. Her parents had recently divorced and her father had married Anne Boleyn. Mary’s mother, Katherine of Aragon, was banished from court and as part of the campaign to make her renounce her royal claim, mother and daughter were banned from seeing each other. Owing to a cruel act of control by Henry, which forbade Mary from attending her mother’s sick bed, Katherine died in 1536, having not seen her only child for several years.
The First Act of Succession was passed in 1534, declaring Mary illegitimate. Although Henry VIII was free to name his successor, the document stated that issue of Anne Boleyn would be given precedence. Interestingly, the portrait miniature of Henry Fitzroy, Henry’s acknowledged but illegitimate son, was also painted around this date. Despite this turmoil, Henry VIII remained fond of his daughter and she was well provided for by the king with a generous clothing allowance at this time. For the reasons stated above, Mary was not present at court and was resident at various country houses during this problematic period. There is no record of Henry visiting her while Anne Boleyn held the title of queen. Would there have been a desire for a portrait of Mary to show the princess now as a young woman, either for her banished mother or for her father, neither of whom had seen her for several years? If such a portrait had been commissioned at this time, it seems plausible that a female artist would have been a more suitable candidate to travel to the princess’s household. As Teerlinc would later be sent to Princess Elizabeth to draw her portrait, is it feasible that Susanna Horenbout was given the task to capture Mary’s likeness?
Conclusion
In conclusion, detailed examination and technical analysis undertaken on the Yale miniature
Portrait of
an Unknown Lady
Acknowledgements
I would like to thank Edward Town, for his collaboration on this project and for his unwavering support and help with the research. The technical examinations of other miniatures was possible due to the generosity of collections making works accessible: Henrietta Ward at the Fitzwilliam Museum, and Vanessa Remington and colleagues at the Royal Collection including Karen Lawson in the Picture Library. At YCBA, my thanks to Jessica David, Theresa Fairbanks-Harris, and Charlotte Padden. I am also grateful to colleagues at the NPG including Charlotte Bolland, Richard Hallas, and Catharine McLeod.
Polly Saltmarsh is an easel paintings conservator based in Cambridge. She divides her time between running her studio and working at the National Portrait Gallery, London. With an MA(Hons) in Art History from the University of Glasgow, Polly completed a Postgraduate Diploma in Easel Painting Conservation at the Courtauld Institute, graduating in 2007. In 2008, Polly joined the Making Art in Tudor Britain team at the National Portrait Gallery, researching the materials and techniques of the Tudor and Jacobean paintings in the collection. In 2015, she was invited as a visiting scholar to the Yale Center for British Art to undertake technical research on the collection of early miniatures. She has previously co-published papers focusing on workshop production, in particular patterns and replication.
Footnotes
Susan Foister, “Horenbout (Hornebolt), Lucas ( d. 1544)”, Oxford Dictionary of National Biography(Oxford: Oxford University Press, 2004), doi:10.1093/ref:odnb/13798.
1
Lorne Campbell and Susan Foister, “Gerard, Lucas and Susanna Horenbout”, The Burlington Magazine128, no. 1003 (1986), 720.
2
Lodovico Guicciardini states this in his Descrittone di tutti i Paesi( Description of the Low Countries), see Foister, “Horenbout (Hornebolt), Susanna (d in or before 1554)”, Oxford Dictionary of National Biography, Oxford University Press, 2004.
3
It is now firmly believed that Simon Bening and Gerard Horenbout worked together on the Grimani Breveiary (Biblioteca Marciana, Venice), for example, see Joris C. Heyder, “Kopie und Kennerschaft über eine künstlerische Praxis und ihre Bedeutung für die Erforschung der flämischen Buchmalerei”, Kunstgeschichte:Open Peer Reviewed Journal (2013),https://pub.uni-bielefeld.de/record/2907481.
4
Roy Strong, The English Renaissance Miniature(London: Thames and Hudson, 1983), 55.
5
Erna Auerbach, Tudor Artists: A Study of Painters in the Royal Service and of Portraiture on Illuminated Documents from the Accession of Henry VIII to the Death of Elizabeth I(London: The Athlone Press, 1954), 75–76.
6
Roy Strong, Artists of the Tudor Court: The Portrait Miniature Rediscovered, 1520–1620(London: Victoria and Albert Museum, 1983), 52–53; and Strong, The English Renaissance Miniature, 58.
7
Janet Backhouse, “Illuminated Manuscripts and the Early Development of the Portrait Miniature”, in Daniel Williams (ed.), Early Tudor England: Proceedings of the 1987 Harlaxton Symposium(Woodbridge: Boydell, 1989), 2–3.
8
Thomas Kren and Scot McKendrick (eds), Illuminating the Renaissance: The Triumph of Flemish Manuscript Painting in Europe(Los Angeles, CA: J. Paul Getty Trust, 2003), 3.
9
Auerbach, Tudor Artists, 1.
10
NPG 6453.
11
V&A P.22-1942.
12
RCIN 403439.
13
Patterns were an important tool in an artist’s workshop, used to create multiple versions of a portrait or pose. The patterns were either a reference sketch or tracing from a finished work, which were kept in the studio for future use, see Sophie Plender and Polly Saltmarsh, “Copies and Versions: Discussing Holbein’s Legacy in England: Technical Examination of Copies of Holbein Portraits at the National Portrait Gallery”, in Erma Hermens (ed.), European Paintings 15th–18th Century: Copying Emulating and Replicating(London: Archetype, 2014); and Sophie Plender and Polly Saltmarsh, “Calling Authenticity into Question: Investigating the Production of Versions and Copies in Tudor Portraiture”, in Rebecca Gordon, Erma Hermens, and Frances Lennard (eds), Authenticity and Replication: The “Real Thing” in Art and Conservation(London: Archetype, 2014). Exactly how a pattern would be utilised by an artist creating miniatures is currently unclear.
14
MSL/1999.6, on long-term loan to the V&A.
15
PD.19-1949.
16
Backhouse, “Illuminated Manuscripts and the Early Development of the Portrait Miniature”, 16.
17
Watercolour was not a term used in the sixteenth century but is used today in relation to pigments bound in a water-based medium such as gum arabic or egg white. Bodycolour and gouache are also used to describe this medium, although this implies an opaque paint layer rather than a mixture of translucent and opaque applications.
18
A retrofitted Nikon 810 camera with Coastal Optical 60mm, macro 1:4, apochromatic lens which captures in the near IR range.
19
Katherine Coombs, “A Kind of Gentle Painting: Limning in 16th-Century England”, in Kim Sloan (ed.), European Visions: American Voices(London: British Museum, 2009), 80.
20
Anon., A Very Proper Treatise, wherein is briefly sett forthe the arte of Limming(London: Richard Totill, 1573), 1.
21
P159-1910 Victoria and Albert Museum.
22
It is unclear exactly what material the author of The Arte of Limmingis referring to when he mentions black lead, especially applied with a brush as instructed. It was a term for graphite but this was not commonly used as a drawing material until after 1580, although traces of graphite can be found in chalks, see Rachel Billinge, “The Materials of Underdrawing”, in David Bomford (ed.), Art in the Making: Underdrawing in Renaissance Paintings(London: National Gallery, 2002), 34; and Jim Murrell, “Graphic Descriptions: Side-Lights from Manuscript Sources on English Drawing Materials”, V&A Conservation Journal3 (April 1992), 14.
23
A Bruker Artax 800 x-ray fluorescence spectrometer was used to perform non-destructive elemental analysis. The spectrometer was equipped with a rhodium anode x-ray tube fitted with polycapillary optics that result in a beam diameter of approximately 75–100 μm at the sample surface. Spectra were acquired for 120 seconds live time using 45 kV accelerating potential, 400 μA current, and without any excitation beam filters. Helium was used to displace air from the x-ray beam path between the source and the sample and between the detector and the sample during analysis. The analysis was carried out by Jens Stenger, conservation scientist at Yale University’s Institute for the Preservation of Cultural Heritage.
24
Strong, Artist’s of the Tudor Court, 52.
25
For recent discussion on the oeuvre of Teerlinc, see Katherine Coombs and Alan Derbyshire, “Nicholas Hilliard’s Workshop Practice Reconsidered”, in Tarnya Cooper, Aviva Burnstock, Maurice Howard, and Edward Town (eds), Painting in Britain 1500–1630: Production, Influences and Patronage(London: The British Academy, 2015), 242–243.
26
Roy Strong, “Teerlinc, Levina (d. 1576)”, Oxford Dictionary of National Biography(Oxford: Oxford University Press, 2004).
27
Strong discusses the Horenbout miniatures in both Artists at the Tudor Courtand lists the known works in The English Renaissance Miniature, 189. Murrell discusses the materials and techniques observed on this group of miniatures in The Way Howe to Lymne: Tudor Miniatures Observed(London: Victoria and Albert Museum, 1983) .
28
NPG 4682.
29
For a full discussion on the known documentary evidence of Gerard Horenbout’s work in Ghent, see the following publications: Susan Foister, “Horenbout (Hornebolt), Gerard ( d. 1540/1)”, Oxford Dictionary of National Biography(Oxford: Oxford University Press, 2004); and Campbell and Foister, “Gerard, Lucas and Susanna Horenbout”, 720.
30
Foister, “Horenbout (Hornebolt), Gerard ( d. 1540/1)”.
31
Carel van Mander, Dutch and Flemish Painters, translation from Schilderboeck(1604) and Introduction by Constant van der Wall (New York: McFarlane, Warde, and McFarlane, 1936).
32
Lodovico Guicciardini, Descrittione di Lodovico Guicciardini patritio fiorentino di tutti i Paesi Bassi altrimenti detti Germania inferiore(Antwerp: Guglielmo Silvio, 1567).
33
Claims have been made for a painted output by Lucas and Gerard Horenbout, including Strong’s suggestion that Lucas is the Cast Shadow Master; see Strong, The English Renaissance Miniature, 42–44. Gerard Horenbout is increasingly believed to be the artist Master of James IV, who is credited with producing works in both oil and illuminations. Most tantalising of all is the assertion by Georges Hulin de Loo that the Poortakker Triptych in Ghent, is by Gerard Horenbout; the work is apparently signed “Gerarde”. See Kren and McKendrick, Illuminating the Renaissance, 375–431; for a discussion of the output of Simon Bening and Gerard David and workshop production, see also Maryan W. Ainsworth, “‘Diverse Patterns Pertaining to the Crafts of Painters or Illuminators’: Gerard David and the Bening Workshop”, Master Drawings41, no. 3, Early Netherlandish Drawings(April 2003): 240–265.
34
Susan Foister and Tim Batchelor, Holbein in England, exhibition catalogue, Tate Britain, 26 September 2006–7 January 2007 (London: Tate Publishing, 2006), 164.
35
Sarah Bayliss, Juliet Carey, and Edward Town, “Nicholas Hilliard’s Portraits of Elizabeth I and Sir Amias Paulet”, The Burlington Magazine160, no. 1386 (2018): 716–726.
36
MS Add. 34294. See Mark L. Evans, The Sforza Hours(London: The British Library, 1992), 28.
37
Kren and McKendrick, Illuminating the Renaissance, 431.
38
Campbell and Foister, “Gerard, Lucas and Susanna Horenbout”, 720.
39
Guicciardini, Descrittione di Lodovico Guicciardini patritio fiorentino di tutti i Paesi Bassi altrimenti detti Germania inferiore.
40
Van Mander, Dutch and Flemish Painters.
41
MS. Bodl. 504. See Foister and Batchelor, Holbein in England, 164.
42
Guicciardini, Descrittione di Lodovico Guicciardini patritio fiorentino di tutti i Paesi Bassi altrimenti detti Germania inferiore.
43
Giorgio Vasari, Lives of the Most Eminent Painters, Sculptors and Architects, translated by Gaston du. C. de Vere (London: Philip Lee Warner, 1912–1915).
44
Murrell, The Way How to Lymne, 9.
45
It is interesting to note that pronounced, full red lips are also a distinct feature of the pages attributed to Gerard Horenbout in the Sforza Hours.
46
My thanks to Aileen Ribeiro for her thoughts on the sitter’s dress and dating.
47
RCIN 912252.
48
David Starkey and Bendor Grosvenor, Lost Faces: Identity and Discovery in Tudor Royal Portraiture(London: Philip Mould, 2007), 79–84.
49
Bibliography
Ainsworth, Maryan W. (2003) “‘Diverse Patterns Pertaining to the Crafts of Painters or Illuminators’: Gerard David and the Bening Workshop”. Master Drawings41, no. 3, Early Netherlandish Drawings(April): 240–265.
Anon. (1573) A Very Proper Treatise, wherein is briefly sett for the the arte of Limming. London: Richard Totill.
Auerbach, Erna (1954) Tudor Artists: A Study of Painters in the Royal Service an of Portraiture on Illuminated Documents from the Accession of Henry VIII to the Death of Elizabeth I.London: The Athlone Press.
Backhouse, Janet (1989) “Illuminated Manuscripts and the Early Development of the Portrait Miniature”. In Daniel Williams (ed.), Early Tudor England: Proceedings of the 1987 Harlaxton Symposium. Woodbridge: Boydell, 1–18.
Bayliss, Sarah Carey, Juliet, and Town, Edward (2018) “Hilliard’s Portraits of Elizabeth I and Sir Amis Paulet”. The Burlington Magazine160, no. 1386: 716–726.
Billinge, Rachel (2002) “The Materials of Underdrawing”. In David Bomford (ed.), Art in the Making: Underdrawing in Renaissance Paintings. London: National Gallery.
Campbell, Lorne and Foister, Susan (1986) “Gerard, Lucas and Susanna Horenbout”. The Burlington Magazine128, no. 1003: 716–727.
Coombs, Katherine (2009) “A Kind of Gentle Painting: Limning in 16th-Century England”. In Kim Sloan (ed.), European Visions: American Voices. London: British Museum.
Coombs, Katherine and Derbyshire, Alan (2015) “Nicholas Hilliard’s Workshop Practice Reconsidered”. In Tarnya Cooper, Aviva Burnstock, Maurice Howard, and Edward Town (eds), Painting in Britain 1500–1630: Production, Influences and Patronage. London: The British Academy.
Evans, Mark L. (1992) The Sforza Hours. London: The British Library.
Foister, Susan (2004) “Horenbout (Hornebolt), Lucas ( d. 1544)”. Oxford Dictionary of National Biography. doi:10.1093/ref:odnb/13798.
Foister, Susan and Batchelor, Tim (2006) Holbein in England. London: Tate Publishing.
Guicciardini, Lodovico (1567) Descrittione di Lodovico Guicciardini patritio fiorentino di tutti i Paesi Bassi altrimenti detti Germania inferiore. Antwerp: Guglielmo Silvio.
Heyder, Joris C. (2013) “Kopie und Kennerschaft über eine künstlerische Praxis und ihre Bedeutung für die Erforschung der flämischen Buchmalerei” . Kunstgeschichte.Open Peer Reviewed Journal.https://pub.uni-bielefeld.de/record/2907481.
Kren, Thomas and McKendrick, Scot (eds) (2003) Illuminating the Renaissance: The Triumph of Flemish Manuscript Painting in Europe.Los Angeles, CA: J. Paul Getty Trust.
MacLeod, Catharine et al. (eds) (2019) Elizabethan Treasures: Miniatures by Hilliard and Oliver. London: National Portrait Gallery.
Mander, Carel van (1936) Dutch and Flemish Painters, translation from Schilderboeck(1604) and Introduction by Constant van der Wall. New York: McFarlane, Warde, and McFarlane.
Murrell, Jim (1983) The Way How to Lymne: Tudor Miniatures Observed. London: Victoria and Albert Museum.
Murrell, Jim (1992) “Graphic Descriptions: Side-Lights from Manuscript Sources on English Drawing Materials”. V&A Conservation Journal3 (April).http://www.vam.ac.uk/content/journals/conservation-journal/issue-03/graphic-descriptions-side-lights-from-manuscript-sources-on-english-drawing-materials/.
Plender, Sophie and Saltmarsh, Polly (2014) “Copies and Versions: Discussing Holbein’s Legacy in England: Technical Examination of Copies of Holbein Portraits at the National Portrait Gallery”. In Erma Hermens (ed.), European Paintings 15th–18th Century: Copying Emulating and Replicating. London: Archetype.
Plender, Sophie and Saltmarsh, Polly (2014) “Calling Authenticity into Question: Investigating the Production of Versions and Copies in Tudor Portraiture”. In Rebecca Gordon, Erma Hermens, and Frances Lennard (eds), Authenticity and Replication: The “Real Thing” in Art and Conservation. London: Archetype.
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Author
Polly Saltmarsh
Date
30 September 2020
Category
Article
Review status
Peer Reviewed (Double Blind)
Licence
CC BY-NC International 4.0
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Article DOI
https://doi.org/10.17658/issn.2058-5462/issue-17/psaltmarsh
Cite as
Polly Saltmarsh, " Portrait of an Unknown Lady : Technical Analysis of an Early Tudor Miniature", British Art Studies, Issue 17, https://doi.org/10.17658/issn.2058-5462/issue-17/psaltmarsh
Next A Very Proper Treatise: Specialist Knowledge for a Non-Specialist Public
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[ GR No. L-14887, Jan 31, 1961 ]
AVELINO NATIVIDAD v. CA +
DECISION
110 Phil. 992
[ G.R. No. L-14887, January 31, 1961 ]
AVELINO NATIVIDAD, PETITIONER, VS. COURT OF APPEALS, ET AL., RESPONDENTS. D E C I S I O N
BENGZON, J.:
Avelino Natividad and Fermin Villanueva were charged with theft of electric current, in the Manila court of first instance. They were convicted. On appeal, the Court of Appeals affirmed the conviction of the first, but acquitted Villanueva.
Hence this petition for review, which is mainly based on the proposition that as both accused had been prosecuted for having conspired to steal electric current, the exoneration of one should entail the acquittal of the other.
"The electric current consumption registered by exhibit A from August 9 to August 20, 1951 when it was removed, was 6980; and that as shown by the substitute meter, from the latter date up to September 8, was 1660, or a total of 8,640 KWH the value of which P478.00 * *
*."
"When he was investigated by the Manila Police, Natividad denied having tampered with the electric meter in question; but on November 9, 1951, he appeared before Attorney C. S. Van Hoven of complainant's legal department, who took Natividad's affidavit which was signed and
sworn to before Attorney Pastor S. del Rosario of the same department on February 26, 1952 (Exh. G) * * * wherein he admitted that for the consideration of P150.00 which his co-appellant Villanueva promised to pay him and his companions, he (Natividad) agreed to tamper with
exhibit A in order to reduce Villanueva's electric bill, and that on July 10, 1951, instead of actually reading the meter he merely recorded 130 as the reading, which is very much lower than the previous reading of 202 * * *."
"The evidence is clear and convincing that he has not recorded the true and correct reading of Villanueva's meter but instead made a false reading to reduce the amount to be paid by Villanueva to Meralco for his current, and in addition he (Natividad) also personally tampered
with the meter."
It will be observed that the gist of the crime was that in accordance with a previous understanding with consumer Villanueva, this appellant Natividad
[1]
meter-reader of the Meralco misread the electric meter so as to decrease the amount which such
consumer had to pay, and paid, to the owner of the electric current, the Meralco.
According to the appellate court, Natividad knowingly "under-read" the electric meter in Villanueva's premises and falsely reported the readings during the period from June 9 to July 10, 1951, and from July 10 to August 9, 1951, thereby enabling Villanueva to appropriate, for
nothing, about 11,830 electric kilowatt hours valued at P594.00. Meralco was thus
pro tanto
deprived of its property through the connivance of this employee. As to such connivance and deprivation there can be no doubt, because the petitioner himself so confessed in an
affidavit.
The resulting situation does not materially differ from the case of U. S.
vs
. Carlos, 21 Phil. 553, wherein the consumer of electric current having managed to evade payment of part of his accounts by using the so-called "jumper" to deflect the current from the house
electric meter, was held by this Court to be guilty of theft.
Contrary to petitioner's contention, the acquittal of Villanueva did not necessarily mean that no electric current had been taken away gratis. There was a factual finding of such larceny by the Court of Appeals, which we are not at liberty to disturb. Anyway, the acquittal
rested on the lack of proof that Villanueva
had tampered
with the electric meter to conceal the crime. The offense was already committed when Villanueva paid his bills (reduced) for July and August.
[2]
And herein petitioner admitted such bills and
payment accorded with his "under-reading."
If it be argued that, without such tampering, the theft could not have been "consummated" because sooner or later, the true consumption will be discovered and the consumer will be made to pay accordingly, the answer is, there are other ways of concealing the swindle or of
evading payment of the unreported fluid consumption.
We must, therefore, affirm the conviction; and as there is no question raised concerning the penalty,
[3]
the judgment of the appellate court is hereby affirmed, with costs.
Paras, C. J., Padilla, Bautista Angelo, Labrador, Concepcion, Reyes, J. B. L., Barrera
, and
Paredes, JJ
., concur.
[1]
He was paid money for it.
[2]
Cf. U.S.
vs
. Tambunting, 41 Phil. 364.
[3]
6 years and 1 day to 9 years and 4 months of prision mayor, plus indemnity of P594.00
tags
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limma powers differential expression analyses for RNA-sequencing and microarray studies
Ritchie ME, Phipson B, Wu D, Hu Y, Law CW, Shi W, Smyth GK. limma powers differential expression analyses for RNA-sequencing and microarray studies. Nucleic Acids Res. 2015 Apr 20;43(7):e47. doi: 10.1093/nar/gkv007. Epub 2015 Jan 20.
limma powers differential expression analyses for RNA-sequencing and microarray studies
Matthew E Ritchie, Belinda Phipson, Di Wu, Yifang Hu, Charity W Law, Wei Shi, Gordon K Smyth, Matthew E Ritchie, Belinda Phipson, Di Wu, Yifang Hu, Charity W Law, Wei Shi, Gordon K Smyth
Abstract
limma is an R/Bioconductor software package that provides an integrated solution for analysing data from gene expression experiments. It contains rich features for handling complex experimental designs and for information borrowing to overcome the problem of small sample sizes. Over the past decade, limma has been a popular choice for gene discovery through differential expression analyses of microarray and high-throughput PCR data. The package contains particularly strong facilities for reading, normalizing and exploring such data. Recently, the capabilities of limma have been significantly expanded in two important directions. First, the package can now perform both differential expression and differential splicing analyses of RNA sequencing (RNA-seq) data. All the downstream analysis tools previously restricted to microarray data are now available for RNA-seq as well. These capabilities allow users to analyse both RNA-seq and microarray data with very similar pipelines. Second, the package is now able to go past the traditional gene-wise expression analyses in a variety of ways, analysing expression profiles in terms of co-regulated sets of genes or in terms of higher-order expression signatures. This provides enhanced possibilities for biological interpretation of gene expression differences. This article reviews the philosophy and design of the limma package, summarizing both new and historical features, with an emphasis on recent enhancements and features that have not been previously described.
© The Author(s) 2015. Published by Oxford University Press on behalf of Nucleic Acids Research.
Figures
<here is a image b24fd08e649aae79-80b1cb941d3e2ee3>
Figure 1.
Schematic of the major components that are central to any limmaanalysis. For each gene g, we have a vector of gene expression values ( y g) and a design matrix Xthat relates these values to some coefficients of interest (β g). The limmapackage includes statistical methods that (i) facilitate information borrowing using empirical Bayes methods to obtain posterior variance estimators (), (ii) incorporate observation weights ( w gjwhere jrefers to sample) to allow for variations in data quality, (iii) allow variance modelling to accommodate technical or biological heterogeneity that may be present and (iv) pre-processing methods such as variance stabilization to reduce noise. These methods all help improve inference at both the gene and gene set level in small experiments.
<here is a image 53cdcd17a911404f-d67de8f625aa4a94>
Figure 2.
The limmaworkflow. The diagram shows the main steps in a gene expression analysis, along with individual functions that might be used and the corresponding classes used to store data or results. Online documentation pages are available both for each individual function and for each major step.
<here is a image 6a3ecc07fb935c8e-d7d7da8ee75cd0be>
Figure 3.
Example diagnostic plots produced by limma. ( A) Plot of variability versus count size for RNA-seq data, generated by voom with plot=TRUE. This plot shows that technical variability decreases with count size. Total variability asymptotes to biological variability as count sizes increases. ( B) Mean-difference plot produced by the plotMA function for a two-colour microarray. The plot highlights negative (NC), constant (DR) and differentially expressed (D03, D10, U03, U10) spike-in controls. Regular probes are non-highlighted. ( C) Multidimensional scaling (MDS) plot of a set of 30 microarrays, generated by plotMDS. All arrays are biologically identical and the plot reveals strong batch effects. Distances represent leading log2-fold changes between samples.
<here is a image 1e857d635c62f705-6d1d3b0ec8fb1b06>
Figure 4.
Example plots displaying results from DE and gene set analyses. ( A) Volcano plot showing fold changes and posterior odds of DE for a particular comparison (RUNX1 over-expression versus wild-type in this case), generated by volcanoplot. Probes with P< 0.00001 are highlighted in red. ( B) Venn diagram showing overlap in the number of DE genes for three comparisons from the same study as (A), generated by the vennDiagram function. ( C) Gene set enrichment plot produced by barcodeplot. The central bar orders differentially expressed genes by significance from up to down upon Pax5 restoration in an RNA-seq experiment (7). The vertical bars mark genes that are induced (red) or repressed (blue) upon the transition from large cycling pre-B cells to small resting pre-B cells during normal B cell development according to the published literature (47). The plot shows a strong positive concordance between Pax5 restoration and the large to small cell transition. The roast function can be used to assign statistical significance to this correlation.
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Ashburner M., Ball C.A., Blake J.A., Botstein D., Butler H., Cherry J.M., Davis A.P., Dolinski K., Dwight S.S., Eppig J.T., et al. Gene Ontology: tool for the unification of biology. Nat. Genet. 2000;25:25–29.
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Mootha V.K., Lindgren C.M., Eriksson K.F., Subramanian A., Sihag S., Lehar J., Puigserver P., Carlsson E., Ridderstrale M., Laurila E., et al. PGC-1alpha-responsive genes involved in oxidative phosphorylation are coordinately downregulated in human diabetes. Nat. Genet. 2003;34:267–273.
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Source:PubMed
| https://ichgcp.net/clinical-trials-registry/publications/94732-limma-powers-differential-expression-analyses-for-rna-sequencing-and-microarray-studies |
Gittings v. Jeffords, 22348. - Missouri - Case Law - VLEX 893675837
0: [object Object]. 1: [object Object]. 2: [object Object]. 3: [object Object]. 4: [object Object]. 5: [object Object]
Missouri
Gittings v. Jeffords, 22348.
Court United States State Supreme Court of Missouri Writing for the Court Elder Citation 292 Mo. 678,239 S.W. 84 Parties GITTINGS
v.
JEFFORDS et al. Docket Number No. 22348.,22348. Decision Date 14 March 1922
239 S.W. 84
292 Mo. 678
GITTINGS v. JEFFORDS et al.
No. 22348.
Supreme Court of Missouri, Division No. 1.
March 14, 1922.
[239 S.W. 85]
Appeal from Circuit Court, Clay County; Ralph Hughes, Judge.
Action to contest will by Paul Thomas Gittings against Tracy L. Jeffords and others. From judgment establishing the will, plaintiff appeals.Affirmed.
Harris L. Moore, of Excelsior Springs, for appellant.
Craven & Bates, of Excelsior Springs, and Claude Coppinger, of Liberty, for respondents.
ELDER, J.
This as action to contest the validity of the will of Mary O. Dallas, who died in Washington, D. C., on May 5, 1918. Plaintiff is the half-brother of deceased. Defendant Tracy L. Jeffords is executor of the will of deceased and principal beneficiary thereunder. The remaining defendants are a half-brother, a half-sister, three nieces, a nephew and a cousin of the deceased. The grounds of contest were mental incapacity, fraud and undue influence. Upon the trial the issue of mental incapacity was abandoned. The verdict of the jury established the instrument in controversy as the last will of the deceased. From a judgment so holding plaintiff has appealed.
Mary O. Dallas, the testatrix, was a widow who had been twice married. She at one time resided at Excelsior Springs, Missouri, but for several years before her death had lived in the City of Washington, D. C. Defendant Jeffords is a practicing attorney of Washington. According to his testimony he became acquainted with Mrs. Dallas in 1911 or 1912 through meeting her at a boarding house where they both roomed. In December, 1913, Mrs. Dallas rented an apartment and Mr. Jeffords then began taking his evening meal with her, for which he paid her a dollar a day. Later one of Mrs. Dallas' nieces came to room and board with her and defendant Jeffords aided the niece in securing a position. His relations with Mrs. Dallas were always friendly and occasionally he would spend the evening at her home. During the lifetime of her, second husband she had lived in an aristocratic neighborhood and had had plenty of money. After his death she became somewhat financially embarrassed having an income of but about $136.00 a year. She, however, owned some real estate in Excelsior Springs, worth from $6,000 to $7,000, which she was continually endeavoring to sell. Being in need of ready money she applied to defendant Jeffords who from time to time loaned her various sums which by January, 1915, amounted to $1,000 in the aggregate. About that time a settlement was effected and Mrs. Dallas gave Mr. Jeffords a deed to one of the lots in Excelsior Springs, the same being valued at $2,000, but encumbered by a mortgage for $1,000. Mrs. Dallas, however, continued to pay the taxes on the property and the interest on the mortgage. Mr. Jeffords testified that it was immaterial to him whether the conveyance was considered an outright deed or a mortgage.He said:
"If I get my thousand dollars back and interest, I am willing to give back the property to anybody who pays the thousand dollars and interest, and to whom I ought to give it up. All I want is my money and the interest."
About the time of the above-mentioned settlement Mrs. Dallas came to defendant Jeffords' office and handed him a written memorandum, in her own handwriting, of a will she requested him to put in legal form. Pursuant to such request Mr. Jeffords drew a will, conforming to the memorandum, dated January 25, 1915, under which he was bequeathed the sum of $1,000 and made a residuary trustee as to all property not otherwise disposed of. He testified that he had had no previous conversation with Mrs. Dallas as to the terms of the said will and that he did not directly or indirectly offer any suggestions with respect thereto. This will was introduced in evidence but we do not deem it necessary to reproduce it.
After the delivery to dependant of the deed to the lot in Excelsior Springs, given in settlement of the $1,000 then owing by Mrs. Dallas, defendant Jeffords continued to advance her a certain sum of money each month, payments being made by checks, which were introduced in evidence. The several amounts so advanced aggregated the
239 S.W. 86
sum of $2,131.83. With respect to such advancements Mr. Jeffords testified:
"After that date and after that settlement I continued to advance money to her from month to month. She had a calculation of about how much she would need and asked me to advance it each month."
Part of the moneys so advanced was used in the payment of taxes, street improvements, and interest on mortgages affecting the Excelsior Springs property. The checks submitted in evidence usually ranged from $31 to $33 in odd amounts, such as $31.20, $32.62, $33.33, etc. Mr. Jeffords' explanation of this variation was that Mrs. Dallas did not wish a Mr. Hood, who was secretary and treasurer of the trust company where she did her banking business, and who was a cousin of her husband, to know that she was receiving the exact amount of her necessary expenses as he would have known if she had for instance deposited a check for $33.00 one day and drew a check for exactly the same amount the next day. One of the checks offered in evidence bearing date of November 6, 1915, was for $502.02, and, according to the testimony of defendant Jeffords, was given for the payment of special taxes against the Excelsior Springs property. Counsel for plaintiff endeavored to show that it was given as a consideration for the deed to the lot which Mrs. Dallas had executed in favor of Jeffords, but this the latter denied.
Defendant Jeffords testified that In February, 1918, Mrs. Dallas came to his office and handed him a memorandum in her own handwriting for another will (being the will in suit), which she requested that he put in proper form. This memorandum was as follows:
"To my cousin Irene Anna Babb MacDonald all my household effects.
"To the eldest daughter of my half-brother, Paul Thomas Gittings, all my jewelry.
"To my dear friend and attorney Tracy L. Jeffords all my money in bank and all my real estate to pay him back the money he has loaned me in the past and what he may loan me in the future with 10 per cent.interest. If there be any money left after he is paid in full to be divided between my cousin I. A. B. MacDonald and my nieces who may be alive at that time. My Liberty Bonds are to pay my funeral expenses.
"16 Feby 1918. Mary O. Dallas."
"Q. Now, did you make any suggestions there? Were there any suggestions made there relative to that rough draft? A. I made one suggestion. Her rough draft contains the language ten per cent. interest, and I suggested that she change it to legal interest and she said she wished that change made, and it was made.
"Q. Now, with that draft, what did you do? A. I prepared or dictated, or had prepared, or caused to be prepared, the will which is in evidence here, a copy of which is in evidence here and which has been probated in Washington."
The final draft of the will in suit, as submitted in evidence, omitting the attesting clause of witnesses, is as follows:
"I, Mary O. Dallas, of Washington, D. C., do now make this my last will as follows:
"I hereby revoke all wills by me heretofore made.
"I give all my household effects to my cousin Irene Anna Babb MacDonald, and all my jewelry to the eldest daughter of my half-brother Paul Thomas Gittings.
"It is my wish that my Liberty Bonds be used to pay my funeral expenses.
"All the rest, residue, and remainder of all my money, property and estate including all hereafter acquired, I give, devise, and bequeath in fee simple, absolutely and forever to my friend and attorney Tracy L. Jeffords to pay him back money he has loaned and advanced to me in the past and may loan me hereafter, together with legal interest on same, and to that end I hereby direct that all my property and estate be sold and turned into money as soon after my death as my executor shall in his discretion determine, and he is hereby directed and empowered to make such sale and to convey said real estate by good and sufficient deed to any purchaser.
"And after paying back all said money so loaned to me and all interest on it, if there be any left, I give it to my cousin Irene Anna Babb MacDonald and all my nieces then living to be divided among them equally, share and share alike.
"I make, constitute and appoint Tracy L. Jeffords executor of this will and my estate.
"In testimony whereof I have hereunto signed my name and affixed my seal at Washington, D. C., February 18, 1918.
"Mary O. Dallas."
Further testifying defendant Jeffords stated:
"Q. Now, you say she brought in a memorandum for you to draw the will by?A. Yes, sir.
"Q. As introduced in evidence. What, if anything, had you said to her about that memorandum prior to the drawing of the will? A. I had never said anything to her about any particular memorandum. She had talked about a will.
"Q. What, if anything, did you say to her about how she should draw the will?A. Not a word.
"Q. Did you discuss with her how she should distribute her property?A. I did not.
"Q. Do you think that when she drew the will in 1918, February 18th, from your acquaintance with her, whether Mrs. Dallas comprehended and was of sufficient mind to comprehend who her relatives were at that time?A. She had sufficient mind. She had as much mind as she ever had when I knew her.
"Q. Well, at that time. February 18th, from your acquaintance with her and from what you knew of her, would you say her mind was sound or unsound?A. It was sound as anybody's mind.* * *
"Q. Do you remember what personal property she had at the time of her death?A. She had a little furniture, enough to furnish a small apartment, and she had $200 in Liberty Bonds, and one hundred eighty some dollars in the
239 S.W. 87
bank, and some jewelry and a few dollars in the house, I presume.
"Q. About $10? A. About $10. A record has been made and the...
| https://case-law.vlex.com/vid/gittings-v-jeffords-no-893675837 |
MGnify API: archiving, analysis and integration of metagenomics data. EMBL-EBI
MGnify is a freely available hub for the analysis and exploration of metagenomic, metatranscriptomic, amplicon and assembly data.
Submit, analyse, discover and compare microbiome data
Access all the data within MGnify using our JSON:API
specification API.
Browse the API endpoints interactively here, or using your own scripts.
We also have online examples in Python and R, in our MGnify Juptyer Lab.
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GET / metagenomics / api / v1 / samples / DRS024683 / studies ? ordering =- last_update
HTTP 200 OK
Allow: GET, HEAD, OPTIONS
Content-Type: application/json
Vary: Accept
{
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"bioproject" : "PRJDB4107" ,
"is-private" : false ,
"secondary-accession" : "DRP003041" ,
"centre-name" : "KYUSHU" ,
"public-release-date" : null ,
"study-abstract" : "We collected saliva from Japanese adults aged over 40 years inhabiting Hisayama town, Fukuoka, Japan in a health examination performed as a part of the follow-up survey of the Hisayama cohort study on 2007. The V1-V2 region of 16S amplicon sequence of human salivary microbiome were analyzed using Ion PGM. The project goal is to identify core and pan salivary microbiome in Japanese adults and to clarify the relationship with host''s health and health-related conditions." ,
"study-name" : "Population-based study on salivary microbiome of Japanese adults" ,
"data-origination" : "HARVESTED" ,
"last-update" : "2018-04-26T09:01:59"
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"id" : "root:Host-associated:Human:Digestive system:Oral:Saliva" ,
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Analysis of carotenoids in fruit of different apricot accessions reveals large variability and highlights apricot as a rich source of phytoene and phytofluene
Download Citation | Analysis of carotenoids in fruit of different apricot accessions reveals large variability and highlights apricot as a rich source of phytoene and phytofluene | Introduction : Carotenoids are tetraterpene pigments which have a major impact on fruit color and nutritional value. Very little is known about... | Find, read and cite all the research you need on ResearchGate
Analysis of carotenoids in fruit of different apricot accessions reveals large variability and highlights apricot as a rich source of phytoene and phytofluene
Abstract
Introduction : Carotenoids are tetraterpene pigments which have a major impact on fruit color and nutritional value. Very little is known about the carotenoids' profile and the extent of its variation within different apricot (Prunus armeniaca) accessions. Materials and methods : We analyzed carotenoid content and composition, as well as color criteria, of fruit from 113 different apricot accessions from the Newe Ya'ar germplasm collection in Israel. Results and discussion : Apricot fruit contains a unique profile of carotenoids consisting mainly of β-carotene, phytoene and phytofluene, and small amounts of other intermediates of the biosynthesis pathway, including cis-lyco-pene. The different accessions show great variability in total carotenoid content (5-95 μg g⁻¹ fresh weight) as well as in carotenoid composition. The percentage of β-carotene, phytoene and phytofluene varies between 2 to 67%, 6 to 59% and 12 to 44% respectively. Conclusion : Our findings highlight apricot as one of the richest natural sources of the colorless carotenoids phytoene and phytofluene, whose health benefits were recently noted. The distinctive carotenoid profile alongside the high diversity in fruit carotenoid composition and content among apricot varieties can assist future breeding programs and may help in understanding the factors contributing to color and nutritional traits of apricot fruit.
... The fruits are rich for five different phenolic compounds (chlorogenic acid, syringic acid, quercetin 3-rutinoside, catechin, and epicatechin) [18]. The apricot is known to be a rich source of carotenoids, especially β-carotene, which represents 50% of the total carotenoids in the fruit [19,
20]
. Sucrose was the predominant sugar in the apricot fruits at harvest. ...
... In Spain, Ruiz et al. [19] reported a total carotenoid content between 1.5 and 16.5 mg/100 g among diverse apricot cultivars. In Israel, Shemesh et al.
[20]
reported it between 0.5 and 9.5 mg/100 g among apricot cultivars. In Turkey, Gecer et al. [10] reported total carotenoid content between 1.1 and 12.5 mg/100 g in wild apricots. ...
Evaluation of Nutritional Content in Wild Apricot Fruits for Sustainable Apricot Production
Apricot (Prunus armeniaca L.) trees are common from Asia to North America and have been used for delicious and nutritious fruits for centuries. Wild apricot trees show great environment plasticity and are free of pest and disease traits, both of which are important for sustainable apricot production. However, wild apricots are more common in Asia and North African countries. Wild apricot trees and fruits show great variability due to seed propagation characteristics. Seeds of wild apricots are used as rootstocks for apricot cultivars, in particular in main apricot producer countries such as Turkey, Uzbekistan, and Iran. Fruits of wild apricots are also an important food in wild apricot growing countries and add value as a sustainable nutrition source. In the present study, a total of 14 wild apricots widely grown in inner Anatolia were characterized by morphological (fruit weight, flesh/seed ratio, fruit firmness, and color index), nutritional (individual sugars and organic acids) and nutraceutical (total phenolic, total flavonoids, total carotenoid, and antioxidant activity) features. The obtained results showed that wild apricot genotypes differed from each other for most of the morphological, nutritional, and nutraceutical characteristics. The genotypes were found pest- and disease-free and had fruit weight, flesh/seed ratio, and fruit firmness of between 18.24 and 27.54 g; 8.96 and 12.44; and 4.05 and 6.03 kg/cm2, respectively. Citric acid was the dominant organic acid for fruits of all wild apricot genotypes, and ranged from 923 to 1224 mg/100 g. Sucrose was the highest soluble sugar in fruits for all wild apricots, and ranged from between 6.80 and 8.33 g/100 g. Moreover, the level of nutraceutical parameters also varied among genotypes and high amounts of total phenol and antioxidant activity were obtained in fruit extracts of IA8 genotype as 81.4 mg gallic acid equivalent per 100 g and 2.44 μmoL trolox equivalent per g, respectively. Different wild apricot genotypes are rich in certain nutritional and nutraceutical compounds, with significant variations in their levels being observed. The aim of the study was to evaluate fruits of wild apricot genotypes in terms of their total phenolics, antioxidants, and other bioactive compounds for use in future breeding programs and sustainable food and pharma industries.
... Milosevic et al. (2010) reported that apricot genotypes had different fruit flesh and skin color and they found yellow, orange, deep orange flesh color and yellow, light orange, orange and deep orange skin color among 14 apricot genotypes in Serbia.
Shemesh et al. (2017)
used 113 apricot accessions for morphological and biochemical analysis in Israel and they reported that fruit from different accessions exhibited a wide range of external and flesh color values. ...
... The cv. Aprikoz had 5.9 mg/100 g total carotenoid (Table 4). Ruiz et al. (2005) reported total carotenoid content between 1.5 and 16.5 mg/100 g among thirty-seven apricot cultivars in Spain and
Shemesh et al. (2017)
found total carotenoid content between 0.5 and 9.5 mg/100 g among one hundred-thirteen apricot cultivars in Israel. These studies are in harmony with our results. ...
Physicochemical characteristics of wild and cultivated apricots (Prunus armeniaca L.) from Aras valley in Turkey
GENET RESOUR CROP EV
Mustafa Kenan Geçer
Tuncay Kan
Muttalip Gundogdu
Halil ibrahim Sağbaş
In east Anatolia region in Turkey, there are special microclimates, which famous for its fruit production. One of the most important microclimates in the region is Aras valley. The major fruit in the valley is apricot, which grown both cultivated and wild forms. This study aimed to assess some important fruit morphological and biochemical characteristics of 26 wild apricots and cv. Aprikoz grown in Kagizman district in Aras valley. Harvest date, tree growth habit, fruit weight, fruit shape, fruit firmness, fruit color, flesh/seed ratio, aroma, kernel taste, soluble solid content, titratable acidity, maturity index, vitamin C, total phenolic, total carotenoid and antioxidant capacity were determined. The wild grown apricots exhibited a wide variation on most of the fruit morphological and biochemical characteristics. Harvest date, fruit shape, fruit weight, fruit firmness and fruit color were the most distinct morphological characteristics of wild grown apricots. Harvest dates and fruit weight were found between 02 July (KA18) and 06 August (KA13); 16.28 g (KA6) and 33.14 g (KA2) among wild grown apricots, respectively. The main cultivar cv. Aprikoz harvested at 04 July and had 38.67 g fruit weight. The wild apricots had flesh/seed ratio between 8.41 (KA21) and 12.25 (KA10) while cv. Aprikoz had 11.69 flesh/seed ratio. Total antioxidant capacity, total carotenoid and total phenolic content were the highest in most of wild apricot fruits than cv. Aprikoz. Our results showed that there is potential for promoting wild apricot fruit from specific geographical regions because they contained elevated concentrations of antioxidant polyphenolic compounds.
... The total ascorbic acid content in plums was reported to be 454 mg/100 g FW [23]. An evaluation of the carotenoid content in apricots showed that three main carotenoids were present, namely β-carotene (2% to 67% of the total carotenoid content), phytoene (6-59%), and phytofluene (12-45%)
[50]
Research-Gap-Spotting in Plum-Apricot Hybrids-Bioactive Compounds, Antioxidant Activities, and Health Beneficial Properties
Svetla Pandova
Pavlina Doykina
Plum-apricot hybrids are successful backcrosses of plums and apricots resulting in plum-cots, pluots, and apriums. A topic search on plums, apricots, and plumcots shows that extensive information exists on the agro-morphology, genotyping, bioactive substances, and nutritive value of the genus Prunus, and plums and apricots, in particular. However, when search results for plum-apricot hybrids were evaluated for the period 2010-2023, only a few papers focused partially on the topic of their metabolomics. A database search (Scopus, PubMed, and Google Scholar) exposed that less than 10 articles/year appeared in Scopus on the topic of plum-apricot hybrids, 618 papers were found on Google Scholar (2010-2023), and only 2 results were found in PubMed for the same period using the same keywords. This shows the grand research opportunity and the need for providing a thorough chemical characterization of the existing plum-apricot hybrids. This review aims at schematizing the available information about plum-apricot hybrids (with reference to their parents), identifying the gaps about their bioactive compounds, antioxidant activities, and health beneficial properties, as well as pointing to future perspectives in terms of fruit hybrid characterization.
... From the max-min, the water content and vacuum degree were the most obvious factors affecting the formation of 5-HMF, while the vacuum drying temperature and vacuum degree were the most obvious factors affecting the A420 value [52]. A high value of a* indicated that the color of the tomato powder was reddish, and high values of L* and b* indicated that the color of the tomato powder was yellowish (Table A4)
[53]
. Generally speaking, tomato powder with a significantly higher A420 had a lower a* value. ...
Study on the Drying Technology of Tomato Pulp with Phytoene, Phytofluene and Lycopene Retention as Inspection Indexes
Full-text available
Oct 2022
Liying Li
Cheng Yang
Jian Zhang
Lianfu Zhang
The objective was to design a feasible drying method to increase the retention rates of phytoene (PT), phytofluene (PTF) and lycopene (LYC) in tomato powder. The method was to compare the effects of vacuum freeze-drying (FD), vacuum drying (VD) and hot-air drying (HAD) technologies on tomato pulp rich in PT, PTF and LYC. When dried by HAD, the retention rates of PT, PTF and LYC decreased significantly (p < 0.05) only when the water content decreased from 30% to 3.5%. When dried by VD, the temperatures had no significant effect on the retention rates, and only alkaline conditions (pH = 9), Fe3+ and Al3+ could significantly reduce the retention rates (p < 0.05). Therefore, a combined drying process (CDP) was designed: before the water content decreased to 50%, HD (60 °C) technology was used; then, the paste was dried via VD (80 °C, 0.08 MPa) technology till the water content reached 5 ± 2%; loading weight was 40 g (thinkness 5.70 mm) for each batch. Compared with VD alone, the CDP technology improved the retention rates of PT and LYC by 12% and 36%, respectively, while PTF decreased by only 6%.
... Ruiz et al. [65] found total carotenoid content between 1.5 and 16.5 mg/100 g among a large number of apricot cultivars in Spain. Shemesh et al.
[66]
found total carotenoid content between 0.5 and 9.5 mg/100 g among 113 apricot cultivars in Israel. These studies are in harmony with our results. ...
Assessment of Morphological Traits, Nutritional and Nutraceutical Composition in Fruits of 18 Apricot cv. Sekerpare Clones
Full-text available
Oct 2021
Neva Karatas
Sezai Ercisli
Mehmet Ramazan Bozhuyuk
Apricot (Prunus armeniaca L.) is one of the most important members of Prunus and its trees bears delicious and nutritious fruits during summer months in the temperate zones in the world. Apricot cultivars are propagated asexually which consists of clones. Information on inter-clonal variations in apricot cultivars can assist us in the selection of better clones from commercial cultivars. We aimed to determine morphological traits (fruit weight, seed weight, kernel weight, flesh/seed ratio, shape index, fruit firmness, color index), nutritional (sugars and organic acids) and nutraceutical (total phenolic, total flavonoids, total carotenoid and antioxidant activity) composition of 18 clones of Sekerpare apricot cultivar grown together in Kagizman district in eastern Turkey. Results showed significant differences among clones concerning most of the morphological traits, nutritional and nutraceutical compositions. Fruit weight, flesh/seed ratio and fruit firmness of clones were in range of 23.14–27.11 g, 11.21–13.14 and 3.88–5.11 kg/cm2, respectively. Fruit shape index was slightly similar among all clones which was between 0.95 and 1.03. Citric acid and sucrose were found to be the predominant organic acid and sugar among clones which varied from 728 to 915 mg/100 g and 7.11 to 9.94 g/100 g, respectively. The clone ‘KS2’ exhibited the highest level of total phenol (67.1 mg gallic acid equivalent per 100 g) and antioxidant activity (2.16 μmol trolox equivalent per g). The study confirmed the diversity among Sekerpare clones and effectiveness of combining morphological, nutritional and nutraceutical analyses in assessment of Şekerpare clones and its use for future pre-breeding programs.
... It is noteworthy, that in "wild type" M82 tomato [78] and apricot (var. Pazza)
[92]
, pro-lycopene was detected in addition to phytoene, phytofluene, and ζ-carotene. In varieties or tissues that accumulate ζ-carotene, neurosporene and/or pro-lycopene it seems likely that a perturbation/regulation in the activity of Z-ISO, ZDS or CRTISO would enable these cis-carotenes to accumulate. ...
A cis -carotene derived apocarotenoid regulates etioplast and chloroplast development
Preprint
Full-text available
Jan 2019
Christopher I Cazzonelli
Xin Hou
Yağız Alagöz
Barry J Pogson
Carotenoids are core plastid components, yet a regulatory function during plastid biogenesis remains enigmatic. A unique carotenoid biosynthesis mutant, carotenoid chloroplast regulation 2 ( ccr2 ), that has no prolamellar body (PLB) and normal PROTOCHLOROPHYLLIDE OXIDOREDUCTASE (POR) levels, was used to demonstrate a regulatory function for carotenoids under varied dark-light regimes. A forward genetics approach revealed how an epistatic interaction between a (-carotene isomerase mutant ( ziso-155 ) and ccr2 blocked the biosynthesis of specific cis -carotenes and restored PLB formation in etioplasts. We attributed this to a novel apocarotenoid signal, as chemical inhibition of carotenoid cleavage dioxygenase activity restored PLB formation in ccr2 etioplasts during skotomorphogenesis. The apocarotenoid acted in parallel to the transcriptional repressor of photomorphogenesis, DEETIOLATED1 (DET1), to post-transcriptionally regulate PROTOCHLOROPHYLLIDE OXIDOREDUCTASE (POR), PHYTOCHROME INTERACTING FACTOR3 (PIF3) and ELONGATED HYPOCOTYL5 (HY5) protein levels. The apocarotenoid signal and det1 complemented each other to restore POR levels and PLB formation, thereby controlling plastid development.
One-sentence summary
Carotenoids are not just required as core components for plastid biogenesis, they can be cleaved into an apocarotenoid signal that regulates etioplast and chloroplast development during extended periods of darkness.
... It is noteworthy, that in "wild type" M82 tomato [78] and apricot (var. Pazza)
[92]
, pro-lycopene was detected in addition to phytoene, phytofluene, and ζ-carotene. In varieties or tissues that accumulate ζcarotene, neurosporene and/or pro-lycopene it seems likely that a perturbation/regulation in the activity of Z-ISO, ZDS or CRTISO would enable these cis-carotenes to accumulate. ...
cis -carotene biosynthesis, evolution and regulation in plants: The emergence of novel signaling metabolites
Article
Jul 2018
Yağız Alagöz
Pranjali Nayak
Namraj Dhami
Christopher I Cazzonelli
Carotenoids are isoprenoid pigments synthesised by plants, algae, photosynthetic bacteria as well as some non-photosynthetic bacteria, fungi and insects. Abundant carotenoids found in nature are synthesised via a linear route from phytoene to lycopene after which the pathway bifurcates into cyclised α- and β-carotenes. Plants evolved additional steps to generate a diversity of cis-carotene intermediates, which can accumulate in fruits or tissues exposed to an extended period of darkness. Enzymatic or oxidative cleavage, light-mediated photoisomerization and histone modifications can affect cis-carotene accumulation. cis-carotene accumulation has been linked to the production of signaling metabolites that feedback and forward to regulate nuclear gene expression. When cis-carotenes accumulate, plastid biogenesis and operational control can become impaired. Carotenoid derived metabolites and phytohormones such as abscisic acid and strigolactones can fine-tune cellular homeostasis. There is a hunt to identify a novel cis-carotene derived apocarotenoid signal and to elucidate the molecular mechanism by which it facilitates communication between the plastid and nucleus. In this review, we describe the biosynthesis and evolution of cis-carotenes and their links to regulatory switches, as well as highlight how cis-carotene derived apocarotenoid signals might control organelle communication, physiological and developmental processes in response to environmental change.
Sustainable Fruit Growing: From Orchard to Table
Book
Full-text available
Jan 2022
Boris Duralija
The book focused on different fruit species and aspects that can promote more sustainable fruit growing in the future. The book “Sustainable Fruit Growing:
From Orchard to Table” contains the following 11 commentary and research papers by
45 scientists from Australia, Bosnia and Herzegovina, Croatia, Czech Republic, Germany,
Italy, Montenegro, Pakistan, Poland, Turkey and the United States:
1. Sustainable Fruit Growing: From Orchard to Table-Editorial Comentary
2. Innovative Strategies for the Use of Reflective Foils for Fruit Colouration to Reduce
Plastic Use in Orchards
3. Detecting Apples in the Wild: Potential for Harvest Quantity Estimation
4. Interpreting Environmental Impacts Resulting from Fruit Cultivation in a Business
Innovation Perspective
5. Chilling and Heat Accumulation of Fruit and Nut Trees and Flower Bud Vulnerability
to Early Spring Low Temperatures in New Mexico: Meteorological Approach
6. Polyphenol-Based Microencapsulated Extracts as Novel Green Insecticides for Sustainable Management of Polyphagous Brown Marmorated Stink Bug (Halyomorpha
halys Stål, 1855)
7. Evaluation of the Characteristics of the Native Wild Himalayan Fig (Ficus palmata
Forsk.) from Pakistan as a Potential Species for Sustainable Fruit Production
8. Main Agro-Morphological and Biochemical Berry Characteristics of Wild-Grown Sea
Buckthorn (Hippophae rhamnoides L. ssp. caucasica Rousi) Genotypes in Turkey
9. Sustainable Cornelian Cherry Production in Montenegro: Importance of Local Genetic
Resources
10. Assessment of Morphological Traits, Nutritional and Nutraceutical Composition in
Fruits of 18 Apricot cv. Sekerpare Clones
11. Determination of Selected Beneficial Substances in Peach Fruits
Biochemical and Molecular Factors Governing Peel-Color Development in 'Ora' and 'Shani' Mandarins
Article
Apr 2019
Livnat Goldenberg
Matat Zohar
Lina Kirshinbaum
Tal Isaacson
To identify factors governing peel-color development in mandarins, we examined carotenoid content and composition and the expression of carotenoid-related genes during four stages of ripening (i.e., green, breaker, yellow and orange) in two varieties: ‘Ora’, which has orange fruit, and ‘Shani’, which has orange-reddish fruit. The two varieties had different carotenoid compositions and ‘Shani’ had a significantly higher level of total carotenoid pigments. ‘Shani’ was rich in the deep orange β-cryptoxanthin and the orange-reddish β-citraurin; whereas ‘Ora’ was rich in the orange violaxanthin. RNA-Seq analysis revealed significantly greater expression of the carotenoid-biosynthesis genes PSY, βLCY, βCHX and CCD4b, as well as MEP-pathway genes and several ethylene-biosynthesis and -signaling genes in ‘Shani’ fruit. In contrast, the expression levels of genes involved in the synthesis of α-branch carotenoids (i.e., εLCY and εCHX) and ZEP, which is involved in the formation of violaxanthin, were significantly higher in the ‘Ora’ fruit.
Lycopene and Its Antioxidant Role in the Prevention of Cardiovascular Diseases – A Critical Review
Feb 2015
Lars Müller
Catherine Caris-Veyrat
Gordon M Lowe
Volker Böhm
The present review is based mainly on papers published between 2000 and 2011 and gives information about the properties of the carotenoid lycopene in chemical and biological systems and its possible role in preventing cardiovascular diseases (CVD). The main aim of this report is to highlight its role as an antioxidant, also reported are bioactive properties that may influence the development of foam cells and protection against endothelial cell damage. The paper will also examine recent observations that lycopene may improve blood flow and reduce inflammatory responses. Lycopene possesses antioxidant properties in vitro, and some epidemiological studies have reported protective effects against the progression of CVD. The oxidation of human low density lipoproteins (LDL) is a fundamental mechanism in the initiation of atherosclerosis. A beneficial role of lycopene as antioxidant in the prevention of CVD is suggested but the data are still controversial. Lycopene is believed to be the most potent carotenoid antioxidant in vitro. Tissue culture experiments and animal studies support potential cardioprotective effects for lycopene and other carotenoids in the blood. Most studies showed beneficial effects of lycopene to individuals who are antioxidant-deficient like elderly patients, or humans exposed to higher levels of oxidative stress like smokers, diabetics, hemodialysis patients and acute myocardial infarction patients. By defining the right population and combining antioxidant potentials of lycopene with vitamins and other bioactive plant compounds, the beneficial role of lycopene in CVD can be clarified in future studies.
Inactivation of a Gene Encoding Carotenoid Cleavage Dioxygenase (CCD4) Leads to Carotenoid-Based Yellow Coloration of Fruit Flesh and Leaf Midvein in Peach
Feb 2014
Juanjuan Ma
Jing Li
Jianbo Zhao
Yuepeng Han
Yellow fruit flesh color, resulting from the accumulation of carotenoids, is one of the most important commercial traits of peach. Yellow flesh is controlled by a single locus (Y), with white flesh dominant over yellow flesh. In this study, the Y locus was narrowed to a 2.6-cM interval flanked by two markers, SSRy and W2691. SSRy, which is located on the first exon of a gene encoding carotenoid cleavage dioxygenase (CCD4), was cosegregated with the Y locus in two peach F1 populations. RNA-Seq and qRT-PCR analysis revealed transcript level of CCD4 was consistent with carotenoid degradation in peach fruits. All these results suggest that CCD4 is responsible for white and yellow coloration of peach fruit flesh. In fruits of white-fleshed peach, carotenoids are synthesized but subsequently degraded into colorless compounds, leading to the formation of white color. CCD4 is likely to utilize β-carotene as the substrate in peach. Interestingly, CCD4 also controls white and yellow coloration of leaf midveins of peach. Moreover, LCYE was highly expressed in peach leaves, whereas its transcript was not detectable in fruits. This suggests the difference of carotenoid biosynthesis between peach fruits and leaves. Our study not only shows for the first time the pleiotropic effects of CCD4 gene in peach but also provides a morphological marker for easy selection of new peach cultivars with desirable white or yellow flesh colors.
| https://www.researchgate.net/publication/319468504_Analysis_of_carotenoids_in_fruit_of_different_apricot_accessions_reveals_large_variability_and_highlights_apricot_as_a_rich_source_of_phytoene_and_phytofluene |
Cells | Free Full-Text | Inhibition of Anti-Apoptotic Bcl-2 Proteins in Preclinical and Clinical Studies: Current Overview in Cancer
The dynamic interplay between pro-death and pro-survival Bcl-2 family proteins is responsible for a cell’s fate. Due to the recognized relevance of this family in cancer progression and response to therapy, different efforts have made in recent years in order to develop small molecules able to target anti-apoptotic proteins such as Bcl-2, Bcl-xL and Mcl-1. The limitations of the first Bcl-2 family targeted drugs, regarding on-target and off-target toxicities, have been overcome with the development of venetoclax (ABT-199), the first BH3 mimetic inhibitor approved by the FDA. The purpose of this review is to discuss the state-of-the-art in the development of drugs targeting Bcl-2 anti-apoptotic proteins and to highlight the potential of their application as single agents or in combination for improving anti-cancer therapy, focusing in particular on solid tumors.
Inhibition of Anti-Apoptotic Bcl-2 Proteins in Preclinical and Clinical Studies: Current Overview in Cancer
by Simona D’Aguanno * and Donatella Del Bufalo
Preclinical Models and New Therapeutic Agents Unit, IRCCS Regina Elena National Cancer Institute, 00144 Rome, Italy
Author to whom correspondence should be addressed.
Cells 2020 , 9 (5), 1287; https://doi.org/10.3390/cells9051287
Received: 28 April 2020 / Revised: 18 May 2020 / Accepted: 19 May 2020 / Published: 21 May 2020
(This article belongs to the Special Issue Regulation of Apoptosis by the Bcl-2 Family of Proteins )
The dynamic interplay between pro-death and pro-survival Bcl-2 family proteins is responsible for a cell’s fate. Due to the recognized relevance of this family in cancer progression and response to therapy, different efforts have made in recent years in order to develop small molecules able to target anti-apoptotic proteins such as Bcl-2, Bcl-xL and Mcl-1. The limitations of the first Bcl-2 family targeted drugs, regarding on-target and off-target toxicities, have been overcome with the development of venetoclax (ABT-199), the first BH3 mimetic inhibitor approved by the FDA. The purpose of this review is to discuss the state-of-the-art in the development of drugs targeting Bcl-2 anti-apoptotic proteins and to highlight the potential of their application as single agents or in combination for improving anti-cancer therapy, focusing in particular on solid tumors.
Keywords:
cancer
;
Bcl-2
;
inhibitors
Graphical Abstract
1. Introduction
Apoptosis is a deeply studied form of programmed cell death that triggers cells to suicide through proteolysis of some key cellular components, which renders cells prone to be recognized by phagocytes [ 1 ] The two mechanisms of apoptotic induction are the “death receptor” or “extrinsic” pathway activated by exogenous death-inducing ligands, and the “mitochondrial” or “intrinsic” pathway induced by stress conditions [ 1 ]. The intrinsic apoptotic pathway is mediated and regulated by the balance of pro- and anti-apoptotic members of the B cell lymphoma-2 (Bcl-2) family of proteins, and results in alteration of mitochondrial outer membrane permeabilization (MOMP), release of cytochrome c from the mitochondria into cytosol, assembly of the APAF-1 containing apoptosome and activation of the caspase cascade through caspase-9 [ 2 , 3 ]. Bcl-2 family members, characterized by the presence of short conserved sequence regions (Bcl-2 homology [BH] motifs), are classified into three subgroups: the anti-apoptotic/pro-survival proteins, including Bcl-2, Bcl-xL, Mcl-1, Bcl-w, Bcl-B, and A1/Bfl-1; the pro-apoptotic BH3-only proteins, such as Bim, Bid, Bad, Noxa, Puma, and Bmf; and the multidomain pro-apoptotic proteins, such as Bax and Bak [ 4 ]. The pro-survival protein subgroup is characterized by the existence of the N-terminal BH4 domain [ 5 ]. The BH4 domain of Bcl-2 and Bcl-xL is able to bind other proteins that do not belong to Bcl-2 protein family, allowing them to play a role beyond their classical role in inhibiting apoptosis, in other important cellular functions such as proliferation, autophagy, differentiation, DNA repair, tumor progression, and angiogenesis [ 6 ]. The anti-apoptotic Bcl-2 family proteins exert their pro-survival function by binding and inhibiting the pro-apoptotic proteins, the sensors of cellular stress (the BH3-only proteins) and the effectors of apoptosis (Bax and Bak) [ 7 ]. From a biochemical point of view the interaction between pro- and anti-apoptotic proteins takes place via the binding of the hydrophobic face of the amphipathic BH3 α-helix from the pro-apoptotic protein into a hydrophobic pocket in the anti-apoptotic protein formed by the BH1, BH2 and BH3 domains [ 8 ].
Anti-apoptotic proteins Bcl-2 ( Figure 1 ), Bcl-xL ( Figure 2 ) and Mcl-1 ( Figure 3 ) are expressed in a wide range of tumor histotypes, with different extent regarding mRNA and protein levels, by The Human Protein Atlas database ( https://www.proteinatlas.org/ ).
A deregulated expression of several Bcl-2 family members has been observed in cancers from different origin [ 9 ]. Moreover, several studies, including ours, have found that high levels of anti-apoptotic proteins contribute not only to modulation of apoptosis and response to chemotherapy, but also to tumor initiation and progression [ 6 , 10 ].
Since the discovery of Bcl-2, the founding member of the family, many papers have been published regarding the role that Bcl-2 anti-apoptotic members play in cancer and in drug resistance, as well as on their use for cancer therapy. In this regard, a comprehensive representation of the published papers on PubMed ( https://pubmed.ncbi.nlm.nih.gov/ ) since Bcl-2 discovery is reported in Figure 4 .
Due to their multiple functions in cancer, Bcl-2 family proteins have become interesting targets for anti-cancer drugs.
The purpose of this review is to discuss the role of the main Bcl-2 anti-apoptotic proteins in solid cancer, to outline how Bcl-2 family regulation is positioned within the context of cancer treatment and to discuss the potential of Bcl-2 family inhibitors for cancer therapy with the aim of improving patient survival. Given the high volume of information about the relevance of Bcl-2 inhibitors in hematologic malignancies, including acute myeloid leukemia (AML), mature B-Cell malignancies and lymphoid malignancies [ 11 , 12 , 13 ], this article will focus mainly on Bcl-2 inhibitor application in solid tumors.
2. Relevance of Bcl-2 Anti-Apoptotic Family Proteins in Cancer
2.1. Bcl-2
The tumorigenic effect of Bcl-2 was first described in subsets of non-Hodgkin’s lymphoma (NHL), such as AML, where it has been found to be associated with chemoresistance and unfavorable outcomes [ 14 , 15 , 16 ]. Evidence that Bcl-2 may have also oncogenic potential in carcinoma was first provided in prostate cancer, where high expression of the protein was found in androgen-independent tumors [ 17 ]. In subsequent studies, increased Bcl-2 expression has been reported in many different solid tumor histotypes, including ovarian [ 18 ], breast [ 19 ] and lung [ 20 ] carcinoma, and melanoma [ 21 , 22 ]. Increased levels of Bcl-2 expression have been also associated with resistance to different drugs including 5-fluorouracil in gastric cancer [ 23 ] cisplatin in ovarian cancer [ 24 ] and doxorubicin in osteosarcoma and chondrosarcoma [ 25 , 26 ]. In the last years, our group demonstrated that, in addition to its important role in the regulation of apoptosis and chemoresistance [ 27 ], Bcl-2 modulates in vitro and in vivo tumor migration, invasion, autophagy and angiogenesis [ 28 , 29 , 30 , 31 , 32 , 33 ], promotes a cancer stem-like cell phenotype [ 34 ], regulates the expression of microRNA and the activity of several transcription factors and their specific target genes [ 35 , 36 , 37 ], controls an interleukin-1β-driven axis of macrophage diversion that establishes tumor microenvironmental conditions favoring melanoma development [ 38 ] and is involved in mitochondrial mRNA homeostasis [ 39 ]. We and other authors demonstrated several non-canonical functions of Bcl-2, as well as other anti-apoptotic proteins, in an apoptosis-independent manner [ 40 ]. Bcl-2 expression in cancer patient samples is also associated with cancer progression, including liver metastatization in colorectal cancer [ 41 , 42 ], lymphovascular invasion of breast cancer [ 43 , 44 ] and gastric cancer staging [ 45 ]. Moreover, Bcl-2 upregulation is particularly evident during the progression from pre-invasive lesions to invasive carcinoma in lung cancer samples [ 46 ].
2.2. Bcl-xL (BCL2-like 1 Gene, BCL2L1)
Two isoforms of Bcl-X cDNA, Bcl-xL and Bcl-xS, with opposite functions in terms of apoptosis regulation, have been identified. Bcl-xL is an anti-apoptotic protein sharing similar structural domains with Bcl-2, while Bcl-xS, lacking the region with the highest homology to Bcl-2, promotes apoptosis [ 47 ]. Different mechanisms are responsible for the alternative splicing, including cellular stress, DNA damage, protein synthesis stalling and protein kinase C inhibition [ 48 ]. We and others previously reported the link of Bcl-xL protein expression not only with drug resistance in different tumor histotypes [ 27 ] , but also with tumor-associated properties, including angiogenesis and cancer cell stemness [ 34 , 49 , 50 , 51 , 52 ]. Recently, it has been demonstrated that Bcl-xL, interacting with Voltage-dependent anion-selective channel 1 through its BH4 domain, favors cell migration by promoting reactive oxygen species in breast cancer models [ 53 ]. In tumor patient samples, Bcl-xL upregulation has been reported to correlate with invasion and metastasis in retinoblastoma [ 54 ], melanoma [ 55 ], breast [ 56 ], colon [ 57 ], tongue [ 58 ] and hepatocellular [ 59 ] carcinoma.
2.3. Mcl-1 (Myeloid Leukemia Sequence 1)
3. Anti-Apoptotic Bcl-2 Family Protein Inhibitors
3.1. Antisense Oligonucleotides
The first strategy followed in the attempt to inhibit the function of anti-apoptotic Bcl-2 family proteins was to design antisense oligonucleotides directed against the mRNA of the protein of interest. The dual Bcl-2/Bcl-xL and the specific Bcl-xL antisense oligonucleotides were tested by us and other groups in in vitro and in vivo preclinical models [ 49 , 73 , 74 , 75 ]. Oblimersen (genasense, G3139), the specific antisense oligonucleotide drug directed against Bcl-2, was the first compound to reach clinical study. After the failure of oblimersen as a single agent, its efficacy in combination with other drugs was evaluated in several Phase I–III clinical trials in patients with advanced solid malignancies, but they were discontinued [ 76 , 77 , 78 , 79 ]. A list of completed clinical trials with oblimersen is reported in Supplementary Table S1 .
3.2. BH3 Mimetics
In the past decades, different efforts have been made in order to understand the network of protein-protein interactions involved in the regulation of apoptosis mediated by Bcl-2 family members. The understanding of the interaction among Bcl-2 family members has been the foundation of drug discovery approaches, based on innovative medicinal chemistry and structure-based drug design, with the aim of generating small-molecule inhibitors of anti-apoptotic Bcl-2 family proteins, which mimic the function of the BH3-only proteins to kill cancer cells [
80
]. The BH3 mimetics class of inhibitors is mainly represented by molecules with low level of specificity and high affinity for different anti-apoptotic Bcl-2 proteins, although in recent years specific Bcl-2 protein inhibitors have been developed. A schematic list of BH3 mimetics is reported in
Figure 5
.
Despite significant efforts, ten BH3-mimetic drugs (obatoclax, AT-101, ABT-263 (navitoclax), APG-1252, AZD0466, venetoclax, S55746, AMG-176, AZD5991 and S64315/MIK665) have reached clinic with only the Bcl-2 inhibitor venetoclax currently approved by FDA [ 81 , 82 ].
3.2.1. Rationale for the Use of BH3 Mimetics (Priming and Protein Addiction)
Cancer cell dependency on specific anti-apoptotic Bcl-2 proteins could be explained by multiple factors, including tissue of origin, impact of the oncogenic lesions that drove tumorigenesis, and/or factors produced by the tumor stroma [
82
]. Anti-apoptotic proteins are often expressed at high levels in cancer cells, forming high numbers of complexes with their pro-apoptotic counterparts, a condition described by the concept of “priming” [
8
]. Primed cancer cells are more sensitive to BH3 mimetics (and other anti-cancer agents) compared with their “normal” counterparts [
8
]. The relative expression levels between anti-apoptotic Bcl-2 family members and pro-apoptotic BH3 only proteins were found to correlate with sensitivity to BH3-mimetic drugs [
83
].
The “protein addiction” phenomenon, the dependence of response to drugs in tumor cells on the expression level of members of an anti-apoptotic family, is mostly linked to a single pro-survival protein in leukemia and lymphoma, while in solid tumors it is often associated with multiple anti-apoptotic protein levels [ 82 , 84 ]. Dependencies of tumor cells on anti-apoptotic Bcl-2 family members can be experimentally determined by the so-called “dynamic BH3 profiling”, where BH3 peptides specific for individual BH3-only proteins are applied to permeabilized cells and allowed to interact with other BH3-containing proteins on the surface of the mitochondria, generating MOMP, after allowing Bax or Bak oligomerization [ 8 ]. Other experimental approaches could be the use of inducible CRISPR/Cas9 platform [ 85 ] or culturing malignant cells from the patient with different BH3-mimetic drugs [ 86 ].
3.2.2. Multitarget BH3 Mimetics
The first generation of BH3 mimetics had limited selectivity for a specific anti-apoptotic Bcl-2 protein and most of them were also found to promote cell death independently of Bax/Bak proteins. The pan BH3 inhibitor obatoclax (GX15-070), showing affinity for Bcl-2, Bcl-xL, Mcl-1, Bcl-w, A1/Bfl-1 [ 87 ] and the R-(-) enantiomer of gossypol acetic acid, AT-101, able to bind to Bcl-2, Bcl-xL and Mcl-1 [ 88 ], was were evaluated in Phase I/II clinical trials in hematological malignancies and in solid tumors, including small-cell lung cancer (SCLC) and metastatic melanoma in the case of obatoclax (listed in Supplementary Table S2 ) and lung cancer, prostate cancer, squamous cell carcinoma of the head and neck and brain and central nervous system tumors in the case of AT-101 (listed in Supplementary Table S3 ). Due to significant toxicities associated with off-target effects, further development of both obatoclax and AT-101 was halted [ 89 , 90 ].
Preclinical studies demonstrated that sabutoclax (BI-97C1), an apogossypol derivative and pan-active Bcl-2 protein family antagonist (inhibiting Bcl-2, Bcl-xL, Mcl-1 and A1/Bfl-1), overcame drug resistance, eliminated cancer stem cells in breast cancer [ 91 ] and synergized with minocycline, a synthetic tetracycline, in a pancreatic cancer model [ 92 ] and with docetaxel in a model of prostate cancer [ 93 ].
ABT-737 was one of the pioneer BH3 mimetics [ 94 ]. It is a small-molecule inhibitor of Bcl-2, Bcl-xL and Bcl-w resulting from the combination of nuclear magnetic resonance-based screening, parallel synthesis and structure-based design. The mechanism of action was demonstrated in chronic lymphocytic leukemia (CLL) cells [ 95 ], but its efficacy and synergistic cytotoxicity with chemotherapeutics and radiation was also reported for solid tumors including SCLC [ 94 ]. In preclinical models of lung cancer, ABT-737 in combination with the inhibition of Notch by the use of GSI, a γ-secretase inhibitor, showed a synergistic antitumor effect in vitro and significantly suppressed tumor proliferation compared to the single drug treatment in vivo [ 96 ]. Studies conducted in melanoma models demonstrated the ability of ABT-737 to empower the efficacy of several therapeutic strategies including immunotoxins [ 97 ] and BRAF or MEK inhibitor in BRAF-mutated cells [ 98 ].
Being not orally bioavailable, ABT-737 development has been limited, and navitoclax, its orally bioavailable analog, has been developed. Navitoclax showed efficacy in vivo in xenograft models of leukemia and lymphoma [
99
] and in vitro in the treatment of SCLC cells [
100
]. Combination of navitoclax with PI3K inhibition suppressed tumor growth in both an established SCLC xenograft model and in an established circulating tumor cell-derived explant model generated from a blood sample obtained at presentation from a chemorefractory SCLC patient [
101
]. The efficacy of navitoclax has been reported for treatment of BRAFV600E positive in vivo melanoma models in combination with copper chelators, able to sequester copper required for MEK1 and MEK2 activity through a direct copper-MEK1/2 interaction [
102
].
Navitoclax effectiveness was limited by dose-dependent Bcl-xL-mediated thrombocytopenia [
103
]. In order to reduce the toxicity of navitoclax, new technology has been employed, converting navitoclax into DT2216, a Bcl-xL proteolysis-targeting chimera (PROTAC) that targets Bcl-xL to the Von Hippel-Lindau (VHL) E3 ligase for degradation. Since VHL is little expressed in platelets, the toxicity in these cells is reduced, while the therapeutic potential of DT2216 remains similar to those of the original molecule when evaluated in several xenograft tumors as a single agent or in combination with other chemotherapeutic agents [
104
].
Given the relevant role of proteins of the Bcl-2 family in regulating clonal selection and survival of lymphocytes, and their frequent overexpression in lymphomas, navitoclax progressed to clinical evaluation, firstly as single agent Phase I/II trial in patients with this malignancy [ 105 ]. Regarding its efficacy in solid tumors, navitoclax was shown to synergize with several chemotherapeutics such as doxorubicin [ 106 ] and paclitaxel [ 107 ] in triple-negative breast cancer models, with PARP inhibitor in high-grade serous ovarian cancer [ 108 ] and with TORC1/2 inhibitor in colorectal cancer [ 109 ].
At present, navitoclax is under clinical evaluation in combination with ruxolitinib, a JAK inhibitor, in myeloproliferative neoplasm (NCT04041050), myelofibrosis (NCT03222609) and lymphoid cancers (NCT00788684). Clinical trials are also ongoing using navitoclax in combination with osimertinib, an epidermal growth factor receptor tyrosine kinase inhibitor, in NSCLC (NCT02520778); sorafenib, a kinase inhibitor, in relapsed or refractory (R/R) solid tumors (NCT02143401); trametinib, a MEK inhibitor, in advanced or metastatic solid tumors (NCT02079740); and dabrafenib (a BRAF inhibitor)/trametinib in BRAF mutant melanoma (NCT01989585). Active clinical trials with BH3 mimetics are reported in
Table 1
.
3.2.3. Dual BH3 Inhibitors: Bcl-2/Bcl-xL, Bcl-2/Mcl-1, Bcl-xL/Mcl-1
Starting from the arylsulfonamide scaffold of ABT-737/ABT-263, several dual Bcl-2/Bcl-xL inhibitors have been generated. BM-1197, in SCLC models, has been demonstrated to have potent in vitro proliferation inhibitory effect and to achieve in vivo complete and long-term tumor regression in xenograft models, associated with reversible platelet reduction at highly efficacious doses [
110
]. BM-1197 efficacy was also tested in human colorectal cancer, where it increased the fraction of cells in the sub-G1 phase of the cell cycle, induced apoptotic death and increased the cellular inter nucleosomal DNA fragmentation [
111
]. Furthermore, in malignant lymphoma cells BM-1197 induced cell death through the intrinsic apoptotic pathway [
112
].
S44563 was found to enhance in vitro and in vivo radiosensitivity of SCLC cells [ 113 ] and to increase the efficacy of fotemustine, a nitrosourea alkylating agent, in uveal melanoma patient-derived xenografts [ 114 ].
APG-1252 (BM-1252), a recently developed drug with high binding affinity to Bcl-2 and Bcl-xL, has been reported to induce mitochondria-dependent apoptosis in leukemia cells in vitro, to achieve complete and persistent tumor regression in multiple tumor xenograft models including ALL, SCLC and colon and breast carcinoma, and shows strong synergy with some chemotherapeutic agents [
115
,
116
]. Phase I trials with APG-1252 alone or in combinatorial therapy are currently ongoing for the treatment of patients with lung carcinoma or other solid tumors (NCT03080311, NCT04210037). Moreover, AZD0466, a dual Bcl-2/Bcl-xL inhibitor is under clinical evaluation in hematologic malignancies and advanced solid tumors (NCT04214093). Clinical trials with BH3 mimetics are reported in
Table 1
.
Single agent antitumor activity of S1, the BH3-mimetic dual inhibitor of Bcl-2 and Mcl-1, and its derivative B4, has been also reported in cancer models with different origin [ 117 ].
Starting from the natural compound meiogynin A, molecules specifically targeting Bcl-2/Mcl-1 [ 118 ] or Bcl-xL/Mcl-1 [ 119 ] have been synthesized and in vitro tested, nevertheless with limited application until now. Moreover, two PROTACs compounds have been recently developed for the selective degradation of Mcl-1/Bcl-2 [ 120 ].
The combination of BH3 mimetics targeting different anti-apoptotic proteins such as Bcl-2 and Mcl-1 or Bcl-xL and Mcl-1, has been reported to shown significant benefit for the treatment of melanoma [ 121 ].
3.2.4. Bcl-2 Specific Inhibition
The turning point in the research for Bcl-2 inhibitors was reached with the development of venetoclax, a potent and selective BH3 mimetic for Bcl-2 protein, which was able to circumvent the thrombocytopenia observed with navitoclax [ 122 ]. The first FDA approval for venetoclax in first-line treatment of patients with the R/R CLL and carrying the 17p deletion came in 2016 [ 123 ]. Subsequently, in June 2018, the clinical practice of venetoclax was introduced by the FDA for patient with CLL or small lymphocytic lymphoma, regardless of 17p deletion. After the first excellent findings, venetoclax was tested in combination, with satisfactory results, in different hematological malignancies [ 11 , 12 , 13 , 124 ]. In November 2018, the FDA approved the use of venetoclax in combination with hypomethylating drugs azacitidine, decitabine or low-dose cytarabine for the treatment of newly-diagnosed AML in adults who are aged 75 years or older, or who have comorbidities that preclude use of intensive chemotherapy. In January 2019, the impressive results of the Murano Phase III trial [ 125 ] prompted the European Commission to approve the combination of venetoclax/rituximab for patients with R/R CLL, previously treated without success. Other combination therapies have been evaluated in clinical trials in hematological tumors. In CLL, venetoclax was evaluated in combination with obinutuzumab, an anti-CD20 monoclonal antibody, in Phase Ib [ 126 ], or with ibrutinib, an inhibitor of Bruton’s tyrosine kinase, in Phase II [ 127 , 128 ]. Venetoclax showed activity in a Phase I trial in multiple myeloma (MM) patients carrying t(11;14) with multiple prior lines of therapy as single agent [ 128 ] and in combination with bortezomib, a proteasome inhibitor, and dexamethasone in a Phase Ib study [ 129 ]. In a small cohort of patients affected by R/R AML and treated with venetoclax as single agents, subjects with isocitrate dehydrogenase (IDH) 1/2 mutations were found to have better response in respect to patients carrying the wild type gene [ 130 , 131 ]. Venetoclax in combination with navitoclax and chemotherapy is under evaluation in subjects with R/R ALL or R/R LL (NCT03181126). Mechanisms of resistance to venetoclax have been identified in G101V-mutated Bcl-2 proteins in CLL patients [ 132 ], thus emphasizing the need to persevere in research of Bcl-2 inhibitors.
In 2019, the first clinical study evaluating the efficacy of venetoclax in solid tumors demonstrated that the combination of venetoclax with tamoxifen showed a tolerable safety profile and activity in estrogen-receptor and Bcl-2-positive metastatic breast cancer [ 133 ].
Several trials are ongoing to evaluate the potential of the combination therapy of venetoclax in advanced solid tumors, in particular in combination with ABBV-181, an anti-PD1 monoclonal antibody (NCT03000257), with ABBV-621, a second-generation TRAIL-receptor agonist (NCT03082209), and with idasanutlin, a small molecule designed to bind to murine double minute 2 (MDM2), for pediatric and young adult patients with neuroblastoma or other malignancies (NCT04029688).
Other BH3 mimetics targeting Bcl-2 such as S55746 [ 134 ] and its prodrug S65487 are under evaluation in clinical trials for the treatment of CLL, NHL and MM patients (NCT03755154). Active clinical trials with specific BH3 mimetics are reported in Table 1 .
Several preclinical studies also investigated the efficacy of venetoclax in combination therapy for solid tumors. Studies conducted in melanoma models demonstrated the ability of venetoclax to empower the efficacy of mitochondrial matrix chaperone inhibitor [
135
]. Studies performed in estrogen-positive breast cancer cell lines, patient-derived organoid and patient-derived xenograft models evidenced the efficacy of venetoclx in combination with both fulvestrant/palbociclib and anti-PD1 therapy [
136
], while results on merkel cell carcinoma indicated the combination of venetoclax with DNA damage induction as a possible novel therapeutic strategy for this skin cancer [
137
].
Resistance to venetoclax in NHL cell lines has been reported to be overcome by Mcl-1 selective inhibitor A-1208746 or Bcl-xL selective inhibitor A-1155463 in combination with venetoclax [ 138 ].
Venetoclax and navitoclax synergized with doxorubicin or dinaciclib, an inhibitor of cyclin-dependent kinases, providing effective therapeutic strategies in SCLC [ 84 ].
3.2.5. Bcl-xL Specific Inhibition
Experimental evidence indicates that overexpression of Bcl-xL could be associated with resistance to venetoclax and chemotherapic agents [ 138 , 139 , 140 ]. This consideration prompted the development of specific Bcl-xL inhibitors. WEHI-539 was the first molecule to specifically target Bcl-xL [ 141 ]. It was found to enhance apoptosis in combination with doxorubicin in osteosarcoma cells expressing high level of Bcl-xL protein [ 142 ]. However, the observed in vivo toxicity limited its applicability in clinical trials [ 141 ]. Structure-based design optimization of WEHI-539 led to the development and characterization at preclinical level of other selective inhibitors of Bcl-xL, such as A-1155463, showing in vivo antitumor activity in a xenograft model of SCLC, and A-1331852 increasing the sensitivity of rhabdomyosarcoma cells to several conventional chemotherapeutic agents without apparent toxicity [ 139 , 143 , 144 ]. To date, no specific Bcl-xL inhibitor has passed to clinical evaluation.
3.2.6. Mcl-1 Specific Inhibition
In recent years an increasing interest in developing a Mcl-1-specific inhibitor is arising, especially for hematological tumors. Rationale and progress in targeting Mcl-1 in hematologic malignancies have been recently reviewed [ 145 ].
UMI-77 was the first designed molecule with selected affinity for Mcl-1 [ 146 ], showing in vivo tumor growth inhibition in models of pancreatic cancer. Subsequent developed molecules were A-1210477, showing cell killing activity as single agents and in combination with navitoclax in leukemia cells [ 147 ], and inducing apoptosis in breast cancer [ 148 ], as well as compounds 4 and 5, showing apoptosis activity in primary MM and AML patient-derived cells [ 149 ].
S63845 showed high level of apoptotic induction in a wide range of hematopoietic malignancies, breast and NSCLC cell lines and with an acceptable safety margin as a single agent in in vivo experiments in several cancer models [ 86 ]. Several preclinical studies suggested the promising application of Mcl-1 inhibitors in combinatorial therapy: combinations of S63845 and AMG-176 (and the related compound AM8621) with inhibitors of fibroblast growth factor receptor (FGFR), MEK or BRAF showed to efficiently reduce in vitro cell proliferation and in vivo tumor growth of NSCLC [ 86 , 150 ], lung squamous cell carcinoma [ 151 ] and glioblastoma [ 152 ] models, while combinations of S63845 with chemotherapy or HER2-targeted therapies demonstrated to efficiently inhibit the growth of triple-, as well as HER-2-positive breast cancer [ 86 , 153 ]. The efficacy of combination of S63845 with selective inhibitors, such as ABT-199 or A-1331852, has been also reported in preclinical cervical cancer models [ 154 ] and pediatric solid tumors [ 155 ], while S63845 in combination with inhibitors of the bromodomain and extra-terminal proteins showed efficacy in metastatic melanoma [ 156 ].
The first Mcl-1 inhibitor to progress in Phase I trial was AMG-176, evaluated in R/R MM and R/R AML (NCT02675452). Unfortunately, some clinical trials using Mcl-1 inhibitors, such as AMG-397, have been suspended for cardiac toxicity (NCT03465540). This toxicity can be due to the relevant role of Mcl-1 in cardiac homeostasis in adult murine models, loss of Mcl-1 causing alterations in cardiomyocytes and lethal cardiomyopathy [ 157 , 158 ].
AZD5991 and S64315/MIK665 at present are under evaluation in clinical trials as a single agent, Phase I, or in combination with venetoclax, Phase II, in R/R hematologic malignancies (NCT03218683, NCT02979366, NCT02992483, NCT03672695). Clinical trials for evaluation of Mcl-1 BH3-specific inhibitors are reported in Table 1 .
Recently, VU661013, a new Mcl-1-specific inhibitor, has been reported to rescue venetoclax resistance in AML [ 159 ] and inhibit cell survival in estrogen receptor-positive breast cancer when used in combination with navitoclax [ 160 ].
An alternative strategy to the use of specific Mcl-1 inhibitors is to target Mcl-1 indirectly. Since Mcl-1 expression is regulated by the transcriptional activator Cyclin-dependent kinase 9 (CDK9), the use of specific CDK9 inhibitors is a promising approach for the treatment of tumors expressing high levels of Mcl-1 protein [
161
]. The highly selective CDK9 inhibitor, AZD4573, induced apoptosis and subsequent cell death in hematologic cancer models in vitro and favored tumor regression in tumor xenografts in vivo, through the indirect inhibition of Mcl-1 [
161
]. AZD4573 is currently under evaluation in a Phase I clinical trial for patients with hematologic malignancies (NCT03263637).
3.3. BH3 Peptides
In addition to molecules resembling the BH3 domain, the use of BH3 peptides has also been evaluated as a possible strategy to inhibit Bcl-2 anti-apoptotic members. Biochemical studies based on computational mutagenesis and docking approaches led to the development of BINDI proteins, formed by a BH3-like central helix with two flanking regions which form additional interactions that are specific for the different anti-apoptotic Bcl-2 proteins. This strategy resulted in proteins able to bind anti-apoptotic Bcl-2 proteins with increased affinity and specificity, and demonstrated that the designed inhibitors were able to induce apoptosis in cancer cells in vitro by engaging the BH3-binding grooves of specific pro-survival proteins [
162
].
A very recent and elegant paper explored the possibility of de novo designing switchable protein systems to modulate binding among proteins, and demonstrated the possibility to modulate the binding of Bcl-2 to Bim, thus opening the prospective of using this system to regulate the function of Bcl-2 family members [ 163 ].
A series of BH3 sensitizer peptides that bind Bcl-xL with sub-nanomolar affinity and selectivity up to 1000-fold over each of the competing pro-survival proteins, have been tested in vitro in a panel of cancer cell lines, showing reduced proliferation in cells expressing high level of Bcl-xL protein [ 164 ].
3.4. Molecules Promoting Protein Conformational Change
Another interesting approach to inhibit Bcl-2 functions is to target the BH4 domain. The BH4 domain of Bcl-2 binds to the inositol 1,4,5-trisphosphate receptor (IP3R), preventing Ca2+ signals that mediate cell death. In many cancers the high level of Bcl-2 expression inhibits IP3R-mediated Ca2+ elevation, thus preventing apoptosis [ 165 ]. Moreover, the BH4 domain has been also reported to be involved in the so-called “non-canonical” Bcl-2-mediated functions, not including anti-apoptotic and pro-survival functions [ 6 ]. Thus, BH4 has become an interesting target for drug development [ 166 ]. Structural studies were employed to identify BDA-366, an allosteric Bcl-2 inhibitor able to bind the BH4 domain, inducing a conformational change in the protein responsible for the exposure of the BH3 domain, which converts Bcl-2 in a pro-apoptotic protein [ 167 ]. BDA-366 was found to inhibit both lung cancer [ 167 ] and myeloma growth in vitro and in vivo [ 168 ].
The Zhang group identified the Q221R222N223 motif, QRN, as a hidden conformational switch controlling ubiquitination of Mcl-1, and demonstrated the ability of compound 5, a dual-function Mcl-1 inhibitor, to favor Mcl-1 ubiquitination by promoting helical conformation of QRN, thus inducing both apoptosis and Mcl-1 degradation [ 169 ].
A new approach for disarming Mcl-1 in cancer identified an allosteric mechanism able to disrupt the binding activity of Mcl-1 to BH3 domain of pro-apoptotic proteins: allosteric Mcl-1 inhibitors specifically target Cysteine 286, inducing conformational changes and allosteric inhibition of BH3 domain interaction with Mcl-1 [ 170 ], or bind to Lysine 234 allowing specific increase in binding to Mcl-1 over other Bcl-2 family members [ 171 ].
3.5. Bcl-2 Quadruplex Selective Approach
Preclinical evidence also supports the Bcl-2 G-quadruplex (G4)-selective approach to treat cancer and to circumvent the limitations of Bcl-2 protein-based therapeutics [ 172 ]. In the proximity of the P1 promoter (5′), three G4 and one i-motif have been reported to regulate Bcl-2 transcription [ 173 ]. Furthermore, the Bcl-2 5′ untranslated region containing an RNA G4-forming motif has been found to modulate Bcl-2 protein expression [ 174 ]. The in-depth characterization of these structures provided information for designing small molecules targeting G4 and regulating the expression of Bcl-2. The desirable molecules should show high affinity to Bcl-2 G4 and low affinity to duplex or other G4. Although a high number of G4, mainly identified by computational methods or structure-based drug design, show good binding affinity to the Bcl-2 quadruplex, they could not achieve good drug candidature for their failure to discriminate different G4, such as telomeric and other oncogenic G4. At present only a few compounds targeting G4 structures have been successfully evaluated in cellular and in vivo models. Quindoline, perylene and coronenen derivatives have been reported to downregulate Bcl-2 transcription and promoter activity and to induce apoptosis in cancer models but with a promiscuous mechanism of action affecting also other biological targets, such as telomeric and other oncogenic G4 [ 175 , 176 ]. Some organometallic complexes have been found to be more selective to Bcl-2 than to telomeric quadruplex, to have poor affinity for duplex DNA and to exhibit in vitro and in vivo antitumoral activity against cancer models from different histotypes [ 177 ]. Very recently, drug-like imidazo [2,1-i] purine derivatives have been identified by a bioinspired design and have been reported to show antitumoral activity through their effect on Bcl-2/c-myc gene promoter G4 [ 178 ]. Furthermore, furopyridazinone-based molecules have been found to target the Bcl-2 gene promoter G4 with good selectivity and induce cytotoxic effect in T-lymphoblastoid cells [ 179 ]. Ligands able to target and stabilize G4 structures both in the Bcl-2 gene and in its RNA transcript have been also reported [ 180 ]. Due to the promiscuity to other molecular targets, to the poor bioavailability and to the conformational rigidity, the clinical pharmacology of G4-stabilizing molecules is still at the beginning.
4. Vaccination Using Anti-Apoptotic Protein-Derived Peptides
The induction of active immunity against tumor-associated antigens may be a promising approach to prevent cancer relapse, and thus there is a need to identify tumor-associated antigens for the development of cancer vaccination. In this context, spontaneous T cell responses against anti-apoptotic protein-derived peptides in patients suffering from cancers of different origin have been reported [
181
]. In particular, in vitro T cell responses against a peptide derived from Bcl-xL was observed in cancer patients but not in healthy controls, and the subpopulation of T cells specific for the Bcl-xL peptide was cytotoxic against HLA-matched cancer cells of different histotypes [
181
]. Two murine tumor-associated epitopes derived from mouse Bcl-xL have been reported to induce CD8+ T cell production of interferon-γ in mice, providing a preclinical model for cancer vaccination [
182
]. These preclinical studies supported the passage to Phase I trial evaluation of therapeutic vaccination with peptides from Bcl-2, Bcl-xL and Mcl-1 in patients with relapse MM (NCT01272466). In this study, vaccines were given in combination to treatment with bortezomib [
183
]. This vaccination was well tolerated and the signs of toxicity were all attributed to bortezomib. Moreover, the safety, toxicity and immunological effect of vaccine Bcl-xl_42-CAF09b, composed of Bcl-xl_42, a peptide fragment of the full protein and the adjuvant CAF09b, able to improve the activation of the immune system, are under evaluation in patients with hormone-sensitive prostate cancer and lymph node metastases in a Phase I trial (NCT03412786).
5. Pro-Apoptotic Bcl-2 Family Protein Activations
Several structural studies have helped the understanding of determinant for regulation and activation of pro-apoptotic proteins [ 184 , 185 ]. These findings have been used to design peptides specifically targeting and activating the pro-apoptotic function of Bax, Bak and Bim, in order to promote cell death [ 186 ].
The use of a hydrocarbon-stapled Bim BH3 peptide (Bim SAHBA) was shown to overcome both Bcl-2 and Mcl-1 apoptotic resistance in B-cell lymphoma cell lines [ 187 ].
In another study, the potent BH3 α-helical domain of Bim has been incorporated into peptide amphiphile nanostructures to facilitate cellular uptake, showing specificity of binding to Bcl-2 anti-apoptotic proteins and inducing cell death in mouse embryonic fibroblasts [ 188 ].
Computational methods have been applied in order to design BH3 peptides derived from Puma and Bmf showing high binding affinity for A1/Bfl-1 [ 189 ].
Free energy binding studies of complexes formed by Bak and BH3 peptides have been employed to find the main residues responsible for inhibition of activation of Bak, which are useful in designing novel small molecule mimics of BH3 able to promote the mitochondrial pore formation mediated by Bak [ 190 ].
Although Bcl-2 is a recognized anti-apoptotic protein, in some conditions Bcl-2 associates with the orphan nuclear hormone receptors Nur77 and Nor-1, converting Bcl-2 into a pro-apoptotic molecule [ 191 ]. NuBCP-9, a Nur77-derived peptide, induces a conformational change, exposing the Bcl-2 BH3 domain, finally inhibiting tumor growth in vitro and in vivo [ 192 ].
6. Conclusions
The involvement of apoptosis has been long studied for its response to conventional chemotherapy, but its relevance is also clear in response to more innovative treatment strategies. The family of Bcl-2 proteins has long been known to play a pivotal role in the regulation of apoptosis. In the last decades, a huge amount of evidence has demonstrated that cancers from different origin, especially hematological malignancies, strictly depend on anti-apoptotic members for proliferation, survival and response to therapy. In this view, intense studies have been performed in order to identify Bcl-2 inhibitors to be used for cancer therapy, and cell death discoveries have been translated into the identification of novel therapies using Bcl-2 family inhibitors. Starting from the clinical use of antisense oligonucleotides directed against Bcl-2, and passing through BH3 mimetics that showed severe on-target toxicity, recent FDA approval of the BH3 mimetic venetoclax corroborated the clinical relevance of using Bcl-2 anti-apoptotic members as therapeutic targets, not only for hematologic malignancies but also for breast carcinoma. Numerous clinical trials are ongoing to evaluate the activity on solid tumors of specific or dual inhibitors as single agents or in combination therapy. We hope positive results can offer a way for these therapeutic strategies to be used for treatment of a large amount of solid malignancies.
A huge volume of preclinical studies have accumulated evidence in support of the role played by anti-apoptotic proteins in the progression of solid tumors. Thus, the use of Bcl-2 protein-targeting drugs as single agents or in combination with current standard-of-care therapies could represent a concrete opportunity to overcome therapy-resistant/recurrent solid tumors and to increase the disease-free survival of cancer patients. Further studies are required to confirm the clinical potential of Bcl-2 inhibitors as single and combinatorial agents for the therapy of chemotherapy-sensitive and resistant cancer. It is likely that a number of malignant diseases other than hematologic ones in the near future will be successfully targeted with anti-apoptotic Bcl-2 family members after careful patient selection, to improve treatment responses and patient survival.
Supplementary Materials
The following are available online at https://www.mdpi.com/2073-4409/9/5/1287/s1 , Table S1: List of completed clinical trials for the evaluation of oblimersen; Table S2: List of completed clinical trials for the evaluation of obatoclax; Table S3: List of completed clinical trials for the evaluation of AT-101.
Author Contributions
S.D. writing—Original draft preparation; D.D.B. writing—Review and editing. All authors have read and agreed to the published version of the manuscript.
Funding
The manuscript is supported by Grants from Italian Association for Cancer Research (DDB, IG 18560).
Acknowledgments
We thank Pierre Drap, CNRS, L.I.S. umr 7020, Aix-Marseille University, for technical support in Figure 2 . This work is dedicated to our splendid colleague Marianna Desideri, who passed away, for having dedicated her scientific life with passion and tenacity to the study of the role of Bcl-2 protein in cancer.
Conflicts of Interest
The authors declare no conflict of interest.
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Figure 1. Expression of Bcl-2 in cancer. Bar charts showing the expression in different tumor histotypes of Bcl-2 mRNA, reported as fragments per kilobase of exon model per million reads mapped (FPKM), and protein, detected by immunohistochemistry and reported as percentages of positive patient samples. Data are from The Human Protein Atlas database ( https://www.proteinatlas.org/ ).
Figure 1. Expression of Bcl-2 in cancer. Bar charts showing the expression in different tumor histotypes of Bcl-2 mRNA, reported as fragments per kilobase of exon model per million reads mapped (FPKM), and protein, detected by immunohistochemistry and reported as percentages of positive patient samples. Data are from The Human Protein Atlas database ( https://www.proteinatlas.org/ ).
Figure 2. Expression of Bcl-xL in cancer. Bar charts showing the expression in different tumor histotypes of Bcl-xL mRNA, reported as fragments per kilobase of exon model per million reads mapped (FPKM), and protein, detected by immunohistochemistry and reported as percentages of positive patient samples. Data are from The Human Protein Atlas database ( https://www.proteinatlas.org/ ).
Figure 2. Expression of Bcl-xL in cancer. Bar charts showing the expression in different tumor histotypes of Bcl-xL mRNA, reported as fragments per kilobase of exon model per million reads mapped (FPKM), and protein, detected by immunohistochemistry and reported as percentages of positive patient samples. Data are from The Human Protein Atlas database ( https://www.proteinatlas.org/ ).
Figure 3. Expression of Mcl-1 in cancer. Bar charts showing the expression in different tumor histotypes of Mcl-1 mRNA, reported as fragments per kilobase of exon model per million reads mapped (FPKM), and protein, detected by immunohistochemistry and reported as percentages of positive patient samples. Data are from The Human Protein Atlas database ( https://www.proteinatlas.org/ ).
Figure 3. Expression of Mcl-1 in cancer. Bar charts showing the expression in different tumor histotypes of Mcl-1 mRNA, reported as fragments per kilobase of exon model per million reads mapped (FPKM), and protein, detected by immunohistochemistry and reported as percentages of positive patient samples. Data are from The Human Protein Atlas database ( https://www.proteinatlas.org/ ).
Figure 4. Bubble chart showing the number of published papers in the last 30 years regarding Bcl-2, Bcl-xL, Mcl-1, Bcl-w, Bcl-B and A1/Bfl-1 anti-apoptotic proteins associated with apoptosis, cancer, therapy or resistance.
Figure 4. Bubble chart showing the number of published papers in the last 30 years regarding Bcl-2, Bcl-xL, Mcl-1, Bcl-w, Bcl-B and A1/Bfl-1 anti-apoptotic proteins associated with apoptosis, cancer, therapy or resistance.
Figure 5. Schematic representation of BH3 mimetics. For each BH3 mimetic the corresponding Bcl-2 anti-apoptotic protein targets are indicated by lines categorizing BH3 mimetics according to their specificity (multitargets, dual or specific inhibitors). * Sabutoclax is not reported to inhibit Bcl-w.
Table 1. Active clinical trials with BH3 mimetics (update 7 April 2020).
Table 1. Active clinical trials with BH3 mimetics (update 7 April 2020).
Inhibitor Specificity Clinical Trial Identifier Tumor Histotype Phase Combination with Navitoclax Bcl-2/Bcl-xL/ Bcl-w NCT04041050 myelo- proliferative neoplasm I Ruxolitinib or single agent NCT03222609 myelofibrosis II Ruxolitinib or single agent NCT00788684 lymphoid cancers I Ruxolitinib NCT02520778 advanced or metastatic non-small lung cancer I Osimertinib NCT02143401 relapsed or refractory solid tumors I Sorafenib NCT02079740 advanced or metastatic solid tumors I/II Trametinib NCT01989585 BRAF mutant melanoma I/II Dabrafenib/ Trametinib APG-1252 Bcl-2/Bcl-xL NCT03080311 small cell lung cancer or other solid tumors I single agent NCT04210037 relapsed/ refractory small cell lung cancer I/II Paclitaxel AZD0466 Bcl-2/Bcl-xL NCT04214093 hematologic or solid tumors I single agent Venetoclax Bcl-2 NCT03000257 advanced solid tumors I ABBV-181 NCT03082209 previously treated solid tumors and hematologic malignancies I ABBV-621 NCT03181126 relapsed/ refractory acute lymphoblastic leukemia and relapsed/ refractory lymphoblastic lymphoma I Navitoclax NCT04029688 relapsed/refractory acute leukemias or solid tumors I/II Idasanutlin S65487 Bcl-2 NCT03755154 acute myeloid leukemia, non-Hodgkin lymphoma or multiple myeloma I single agent AMG-176 Mcl-1 NCT02675452 relapsed or refractory multiple myeloma and subjects with relapsed or refractory acute myeloid leukemia I single agent AZD5991 Mcl-1 NCT03218683 relapsed or refractory hematologic malignancies II Venetoclax S64315/ MIK665 Mcl-1 NCT02979366 acute myeloid leukemia or myelodysplastic syndrome I single agent NCT02992483 refractory or relapsed lymphoma or multiple myeloma I single agent NCT03672695 acute myeloid leukemia I Venetoclax
| https://www.mdpi.com/2073-4409/9/5/1287/html |
Acute calcium pyrophosphate deposition arthropathy | Request PDF
Request PDF | Acute calcium pyrophosphate deposition arthropathy | Acute calcium pyrophosphate deposition (CPPD) arthropathy, also called pseudogout, is common, and becomes more prevalent as patients age. The... | Find, read and cite all the research you need on ResearchGate
Article
Acute calcium pyrophosphate deposition arthropathy
June 2016
JAAPA: official journal of the American Academy of Physician Assistants29(6):1-3
DOI: 10.1097/01.JAA.0000483101.96888.5c
Authors:
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
Thomas Rosen
Thomas Rosen
This person is not on ResearchGate, or hasn't claimed this research yet.
<here is a image d54ebd79faedcbb1-6cf86d359f403e7d>
Janet Furman
Rush University Medical Center
Abstract
Acute calcium pyrophosphate deposition (CPPD) arthropathy, also called pseudogout, is common, and becomes more prevalent as patients age. The presenting symptoms are similar to both gout and septic arthritis but may be treated differently. This article describes a typical patient presentation and management from an emergency medicine and orthopedic surgery standpoint.
<here is a image 175d1bd4b7439d95-754927124da715c1>
... 1,8 Common signs include erythema, warmth, and swelling of the affected joint, with a clinical presentation similar to gout or septic arthritis.
9
Patients often present with fevers, chills, and constitutional symptoms lasting weeks to months. 1 The knee (hyaline cartilage and menisci) is by far the most common site, followed by the wrist (triangular fibrocartilage) and pelvis (symphysis pubis). 5 In many patients chondrocalcinosis is asymptomatic and an incidental finding on X-ray examination, but others present with an acute inflammatory arthritis (pseudogout) or a chronic inflammatory arthropathy superimposed on a background of osteoarthritis, especially at the knee, associated with joint damage and functional limitation. ...
Rare case of pseudogout in the scapular region
Article
Full-text available
Apr 2019
Zenina Reuben Andrews
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Mohanapriya Thyagarajan
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Balaji Singh - Krishna
Calcium pyrophosphate dihydrate crystal deposition disease (CPPD) also referred to as pseudogout is an inflammatory arthritis produced by the deposition of calcium pyrophosphate crystals in the synovium and periarticular soft tissues. This report documents a case of a 41 year old female who presented with a painful swelling in the back. MRI revealed a complex swelling with lobulation of size 7.4×7.4×7 cm in the posterolateral aspect of chest wall just superficial to the ribcage. A surgical excision biopsy of the swelling was done and patient improved symptomatically. Serum uric acid levels were measured and found to be within limits.
... 26 Patients with pseudogout often present with fevers, chills, and constitutional symptoms lasting weeks to months, and the clinical presentation can be similar to gout or septic arthritis.
23,
25 The disease typically affects larger joints with cardinal signs of inflammation including warmth, tenderness, erythema, and swelling. 5 However, the spine can also be affected. ...
Pseudogout of the cervical and thoracic spine mimicking infection after lumbar fusion: Case report
Article
May 2017
J NEUROSURG-SPINE
Kelly J. Bridges
Carli Bullis
Ajay Wanchu
Khoi D. Than
Pseudogout is a form of acute calcium pyrophosphate deposition (CPPD) disease that typically afflicts the elderly. CPPD commonly involves larger joints, such as the knees, wrists, shoulders, and hips, and has been known to involve the spine.
The authors report the case of a 66-year-old woman with a recent history of lumbar laminectomy and fusion who presented 5 weeks postprocedure with a clinical and radiographic picture consistent with multilevel skip lesions involving the cervical and thoracic spine, thoracic discitis, and epidural abscess. Serial blood cultures and repeat biopsy samples were sterile. Subsequent wrist and ankle erythema, pain, and swelling led to synovial fluid analysis, and pseudogout was diagnosed. She was treated with an interleukin-1 inhibitor with immediate symptom relief.
To the authors’ knowledge, this is only the second report of spinal pseudogout presenting with a clinical and radiographic picture consistent with discitis and epidural abscess. This report is the first to report skip lesions of pseudogout occurring throughout the spine that are uniquely remote from a recent lumbar surgery.
Treatment and management of pseudogout: Insights for the clinician
Article
Full-text available
Apr 2012
Ther Adv Musculoskelet Dis
Pseudogout and the associated calcium pyrophosphate dihydrate (CPPD)- crystal-related arthropathies are common conditions that present particular management problems in clinical practice as they often affect older patients with multiple medical comorbidities. The epidemiology, metabolic and endocrine disease associations, and routine investigations used in the diagnostic workup are briefly reviewed. Current treatment approaches that are mainly directed at relieving the symptoms of joint inflammation are outlined. Unlike gout, there are no agents available that have been shown to decrease crystal load in CPPD-related joint disease. Recent novel insights into the pathogenesis of crystal-induced joint inflammation and subsequent joint degeneration are also discussed. The potential of colchicine as a prophylactic agent in managing recurrent attacks and the likely mechanisms of its effects on the NACHT, LRR and PYD domains-containing protein 3 (NALP-3) inflammasome of the innate immune system are highlighted. The use of agents that directly target the inflammasome, in particular drugs which inhibit the interleukin 1 pathway, in the treatment of severe, refractory pseudogout is also discussed. Finally, there is particular emphasis on the likely pathogenic role of CPPD crystal deposition in degenerative joint disease and the use of targeted anticrystal therapies as potential disease-modifying drugs.
Imaging of Calcium Pyrophosphate Deposition Disease
Article
Mar 2015
Curr Rheumatol Rep
Calcium pyrophosphate deposition disease (CPPD) is a common and clinically heterogeneous form of arthritis caused by the deposition of calcium pyrophosphate (CPP) crystals in articular tissues. The diagnosis of CPPD is supported by the presence of radiographic chondrocalcinosis; yet, conventional radiography detects only about 40 % of clinically important CPPD. Here, we critically review the recent literature on imaging in CPPD. New studies inform our use of conventional radiographic screening methodologies for CPPD and provide additional evidence for the utility of diagnostic ultrasound. Recent work also highlights the polyarticular nature of CPPD, its association with tissue damage, and the high prevalence of tendon involvement. While dual energy CT and diffraction-enhanced synchrotron imaging remain research tools, they present potential avenues for improved visualization of CPP deposits. Advances in imaging in CPPD will increase diagnostic accuracy and eventually result in better management of this common form of arthritis.
Calcium pyrophosphate deposition
Article
Apr 2014
BRIT J HOSP MED
Epidemiology of Calcium Pyrophosphate Crystal Arthritis and Basic Calcium Phosphate Crystal Arthropathy
Article
May 2014
| https://www.researchgate.net/publication/303552822_Acute_calcium_pyrophosphate_deposition_arthropathy |
Coatings | Free Full-Text | Study of Tribotechnical Properties of Multilayer Nanostructured Coatings and Contact Processes during Milling of Titanium Alloys
The paper presents the results of theoretical and experimental research on tribotechnical characteristics: tool wear on the back surface, tool durability period, critical length of the cutting path before blunting, adhesion component of the friction coefficient, contact processes, temperature, and force dependences for the application of innovative nanostructured multilayer composite coatings on a tool for milling of titanium alloys. The proposed thermodynamic model of cutting tool wear allows us to determine the ways by which cutting tool wear intensity decreases and the conditions of increase in cutting tool wear resistance with wear-resistant coatings. A substantial increase in wear resistance of end mills when processing titanium alloys with the use of innovative multilayer nanostructured coatings is established, in particular an improvement of an average of 1.5& ndash;2 times. These positive results are related to a significant decrease in temperature& ndash;force loading in the cutting zone, a decrease in the friction coefficient (adhesion component), and the phenomenon of adaptation (self-organization) of friction surfaces during cutting by tools with wear-resistant coatings, contributing to the formation of films of various compounds with shielding, protective, and lubricating properties.
Study of Tribotechnical Properties of Multilayer Nanostructured Coatings and Contact Processes during Milling of Titanium Alloys
by
Mars Sharifullovich Migranov * ,
Semen Romanovich Shehtman ,
Nadezhda Aleksandrovna Sukhova ,
Artem Petrovich Mitrofanov ,
Andrey Sergeevich Gusev ,
Arthur Marsovich Migranov and
Denis Sergeyevich Repin
Department of High-Efficiency Processing Technology, Institute of Production Technology and Engineering, Moscow State Technological University STANKIN, 127055 Moscow, Russia
Author to whom correspondence should be addressed.
Coatings 2023 , 13 (1), 171; https://doi.org/10.3390/coatings13010171
Received: 28 December 2022 / Revised: 9 January 2023 / Accepted: 10 January 2023 / Published: 12 January 2023
(This article belongs to the Special Issue Technologies of Coatings and Surface Hardening for Tool Industry II )
The paper presents the results of theoretical and experimental research on tribotechnical characteristics: tool wear on the back surface, tool durability period, critical length of the cutting path before blunting, adhesion component of the friction coefficient, contact processes, temperature, and force dependences for the application of innovative nanostructured multilayer composite coatings on a tool for milling of titanium alloys. The proposed thermodynamic model of cutting tool wear allows us to determine the ways by which cutting tool wear intensity decreases and the conditions of increase in cutting tool wear resistance with wear-resistant coatings. A substantial increase in wear resistance of end mills when processing titanium alloys with the use of innovative multilayer nanostructured coatings is established, in particular an improvement of an average of 1.5–2 times. These positive results are related to a significant decrease in temperature–force loading in the cutting zone, a decrease in the friction coefficient (adhesion component), and the phenomenon of adaptation (self-organization) of friction surfaces during cutting by tools with wear-resistant coatings, contributing to the formation of films of various compounds with shielding, protective, and lubricating properties.
Keywords:
counter milling
;
nanostructured composite multilayer coatings
;
titanium alloys
;
wear resistance
;
tool durability period
;
cutting path length
;
adhesion component of friction coefficient
;
temperature
;
cutting forces
1. Introduction
The rapid growth of modern machine-building production places increased demands on machining. High-productivity mechatronic systems require increasing the reliability and serviceability of cutting tools by, first, using various methods to improve the cutting properties of tools (hardening technologies and the use of coolant and wear-resistant coatings and their combinations); second, developing modern methods to evaluate the tribotechnical properties of cutting tools; and, third, making scientifically justified choices of cutting modes, taking into account the characteristics of contact processes (temperature and force of cutting).
Regarding the problem of improving the serviceability of cutting tools and technological reliability of multitool and multitransition machining on machine tools with control systems, the issues of wear, fracture, strength, and stress–strain state of cutting tools and the study of thermal and contact phenomena are topics of the fundamental research of many scientists [ 1 , 2 , 3 , 4 , 5 ]. The results of these works allowed the study of the physical mechanisms of cutting tool wear in a wide range of changing elements of the cutting regime and solutions for optimization and control problems of the cutting process and played a major role in the formation of modern concepts in the theory of material cutting.
At the same time, the use of mechatronic systems equipped with high-speed numerical control (NC) and adaptive control (AdC) [ 6 , 7 , 8 ] machines solves extremely important problems of increasing machining productivity and automation of individual and small-scale production widespread in modern mechanical engineering, but metal-cutting equipment of turning and milling groups has a considerable cost, which has led to high requirements for the scientific validity of cutting modes.
In the manufacture of parts of heavily loaded high-temperature tribocouplings, more and more are made of innovative materials: with unique physical and mechanical properties and, therefore, with low machinability by cutting; in terms of their geometric shape, they mainly represent large-sized complex shaped bodies: bodies, disks, shafts, rotors, flanges, etc. Their work takes place in harsh conditions of simultaneous and long exposure to high temperatures and specific force loads, with high requirements in terms of both accuracy and quality of surface processing. The small dimensional tolerances are due not only to the requirements of interchangeability of the mating surfaces but also to the specific conditions of “high accuracy”, due to which even free dimensions must have small tolerances. The machining of the parts listed above constitutes a significant share of milling operations. The technological problems encountered in the production of each of the above varieties of parts are somewhat different. For example, end milling of a long-sized workpiece with a relatively small thickness is characterized by the large suppleness of the part, so special devices must be developed to create constant stiffness across the entire blade. When machining hollow shafts and rotors made of titanium alloys, it can be difficult to mill slotted and toothed parts due to their long length. However, there is also a general problem of machining such parts associated with the low wear resistance of metal-cutting tools [ 7 , 8 , 9 , 10 , 11 , 12 , 13 ].
Nanostructured coatings are one of the typical small-sized objects, which are intensively studied due to the interest in identifying the features of the nanocrystalline state, characterized usually by sizes less than 100 nm [ 14 , 15 , 16 ]. As was already noted, metal-cutting tools, in most cases and for a few reasons, work in conditions of intermittent cutting and are exposed to alternating thermomechanical influence, leading to their rather intensive destruction in the form of chipping and active cracking. Changes in thermal–physical, physical–mechanical, and crystallochemical characteristics influence tool serviceability. It is known [ 17 , 18 ] that the modification of cutting tool properties by applying multifunctional nanostructured coatings on its working surfaces is one of the most effective ways to improve its reliability. The currently available equipment and technological processes allow the synthesis of multilayer coatings with multicomponent composite architecture, with a nanoscale thickness of nanolayers on modern and highly efficient facilities by various methods, including PVD with magnetic arc filtration, magnetron, and multifunctional high-energy, to modify the surfaces of metal-cutting tools. At the same time, many studies [ 18 , 19 , 20 ] have established unique properties that are unique only to modern multifunctional nanostructured coatings. Nano-objects are interesting, on the one hand, as metal-like compounds and, on the other hand, as typical brittle phases, not to mention the numerous applications of materials based on embedding phases. In this regard, data on the structure and properties of these compounds in the nanocrystalline state appear to be important for both theoretical materials science and applications. The specific properties of nanostructured coatings are largely due to the peculiarities of their structure: the high-volume fraction of interfaces, the strong binding energy of adjacent phases, the absence of dislocations within nanocrystallites, the implementation of deformation by grain boundary slip, the presence of intergranular amorphous interlayers, and the change in the mutual solubility of components in the embedding phases. All these features allow the achievement of record values of physical, chemical, mechanical, and tribological properties of the material during the transition to the nanostructured state [ 17 , 18 ].
According to research [ 21 , 22 ], control of the technological process of the formation of nanostructured coatings allows the reception of compositions with variable properties depending on the percentage ratio of components. The hardness, friction coefficient, surface roughness, and coating color change. All this makes it possible to optimize the coating properties for a specific task. Applications include cutting, shaping, stamping, and other tools. For example, for TiZrN, high hardness, thermodynamic stability, and the strength of connection are caused by the high similarity of structures and the close sizes of atoms providing the presence of significant areas of mutual solubility of atoms Ti and alloying component Zr in corresponding nitrides. The maximum microhardness of coating TiZrN of 32.2 GPa is observed at the content of 6%–10% Zr, which exceeds the value of Hµ for coating TiN of 22%. The covering (Ti-Zr)CN on the basis of carbonitrides Ti and Zr, the microhardness of which corresponds to 64 GPa, is relative. In research [ 13 , 14 , 15 ], the extreme character of change in the intensity of wear of the cutting tool depending on the structure of the nanostructured coating is established. During the processing of workpieces from steels 12 × 18H10T, the minimum intensity of wear was observed at plates from alloy BK6 with TiZrN coating at a content of 8%–16% Zr. It is established that the minimum wear rate of the plates with carbonitride coating (Ti-Zr)CN corresponds to the same content of the alloying component as that of the plates with nitride-based coating. The minimum wear is observed at the content of acetylene of 25%–35% and 20%–25% when processing workpieces made of 12X18H10T steel. Studies of the machining process and the thermal and stress state of the cutting tool wedge have established that the coatings TiZrN and (Ti-Zr)CN increase the number of cycles before all longitudinal cracks escape to the back surface compared to the cutting tool with conventional coating by five times, and for nanostructured coatings TiZrN and (Ti-Zr)CN, by 8 and 6.25 times, respectively [ 13 ]. Thus, it can be concluded that nanostructured coatings allow an increase in the serviceability of cutting tools due to management of the parameters of coating structure, directionally controlled, which can significantly change coating properties; provide high crack resistance, strength properties, and a high level of compressive residual stresses restraining processes of the formation and development of cracks; and provide a low level of contact and thermal loads, minimizing processes of coating destruction.
Proceeding from the above statements, the purpose of this work is to increase the efficiency of milling of titanium alloys by investigating tribotechnical properties and developing modern innovative wear-resistant coatings based on thermodynamic analysis of contact processes.
The set goal of the work is achieved by describing the thermodynamic model of cutting tool wear, considering the influence of temperature, force parameters, and contact processes during blade cutting by cutting tools with nanostructured multilayer wear-resistant coatings; developing experimental research methods (wear resistance, temperature and force, adhesion, metal science, and others) and conducting them; and analyzing the obtained results.
2. Theoretical and Experimental Background
Metal cutting, by its physical nature, is a complex process [
12
,
13
,
14
,
15
]; high pressures (up to 2000 MPa and more), high strain rates (up to 10
6
s
−1
), increased temperature (up to 1200–1500 K), etc., occur on the contact surfaces of the cutting tool with the machined material. This creates favorable conditions for the development of adhesion, mutual diffusion, oxidation, and hydrogen saturation of surfaces, changes in their structural and phase composition, and generation of electromotive force (EMF). These phenomena have a significant impact on the state and properties of the contact surfaces of the tool and the machined material.
One of the main sources of heat and factors of the formation of near-surface layers during cutting is friction. Since it occurs at high temperatures under conditions of contact juvenility and with the presence of plastic deformations, the adhesion (molecular) component dominates in the adhesion processes [ 16 , 17 , 18 ]. The relative sliding of the contact surfaces of the tool and the workpiece is accompanied by a continuous process of adhesion spot formation and shearing. The tool surface is under the action of shear stresses, causing the material particles to shear away from the surface in places. Usually, such shearing is much greater on the softer material’s side, but studies using [ 19 , 20 , 21 , 22 ] electron microscopy show that there is always some transfer of particles from the harder material (tooling) to the softer material (machinable) at the same time.
At the present time, when describing contact processes and the wear of a cutting tool, a complex power representation proposed in the works of Professors Y.G. Kabaldin, A.D. Makarov, V.N. Poduraev, S.S. Silin, N.V. Talantov, and other scientists is used [ 1 , 2 , 3 , 4 , 5 , 6 , 7 ].
To describe the contact processes, friction, and wear of cutting tools with wear-resistant coatings, a dynamic process such as cutting is considered from the position of nonequilibrium thermodynamics, taking into account and specifying the components of energy balance of the process of interaction of the machining material and surfaces of the cutting tool.
It is known [
10
,
20
] that the first law of thermodynamics for friction and wear processes can be written down by the equation:
Wf = Q + ΔU
(1)
where Wf is the work of friction forces; Q is the amount of heat released under friction; and ΔU is the change in the internal energy of the friction contact zone.
The change in internal energy can be represented as
ΔU = ΔW mν + ΔW ph + ΔW Δd + ΔW Δf
(2)
where ΔW
mν
is energy spent on the separation of the wear particle, ΔW
ph
is energy spent on structural phase transformations, ΔW
Δd
is energy spent on plastic deformation, ΔW
Δf
is energy spent on the formation of rubbing surfaces, etc.
Since, at present, there are no analytical dependences by which all components of expression (2) can be estimated, let us assume, at first approximation, that during friction, there will be dissipation of a part of internal energy at the expense of
-
Plastic deformation of a single microuneven (microcutting) as a result of shear by the average diameter of the contact spot;
-
The form modification of the surface layer of the wear material as a result of the formation of a wear fragment.
Using the principles of nonequilibrium thermodynamics, an irreversible dynamic process such as wear can be most effectively described by means of dissipative functions (DF),
Ψ
¯
i
which are the rate of change ΔW
i
/dτ of energy spent on a process (for example, plastic deformation of the machined material), related to a unit of actual contact area A
r
.
Ψ
¯
i
=
dW
i
d
τ
⋅
1
A
r
(3)
According to the laws of nonequilibrium thermodynamics, to ensure the irreversibility of a process, it is necessary to have a generalized thermodynamic flux and force, i.e., supported by gradients of the state values of the thermodynamic system, preventing the inverse process and taken with the opposite sign. The DF of such a process is equal to the product of the generalized flux and force
Ψ
¯
i
=
J
i
(
−
Δ
F
i
)
(4)
where
J
i
is generalized flux and
Δ
F
i
is generalized force.
In the first approximation, the change in internal energy of the frictional thermodynamic system ΔU can be represented as the sum of energy spent on dispersion (wear) of the tool and energy of elastoplastic deformation of the processed material. Unfortunately, it is currently impossible to make a more precise quantitative assessment of the energies expended on structural phase transformations, etc., but an analysis of literature data allows us to qualitatively combine these moments and simplify and account for the other components. In this case, the DF balance equation can be represented as
Ψ
¯
T
=
Ψ
¯
d
+
Ψ
¯
s
(5)
where is the DF of the friction process, ψ
d
is the DF of the shear plastic deformation process of the machined material by the mean diameter of the contact spot, and ψ
s
is the DF of dispersion and shape change of the surface layer of the wearable tool material.
Using the methods of the theory of adaptation (self-organization) of nonequilibrium systems, physical kinetics, and force laws of the theory of strength and plasticity, the mechanochemistry of metals, thermal physics and cutting mechanics, and the components of the balance equation for the working conditions of tools with wear-resistant coatings are considered and specified.
Based on the analysis of contact processes, the friction process DF is presented as a change in the specific work of external forces, referred to as the unit of contact area of the tool with chips and workpieces, considering the influence of the shape and radius of the cutting edge and the current value of cutting force:
¯
P
z
(
τ
)
⋅
f
where
P
τ
)
is the current value of cutting force;
V
i
is the current value of cutting speed;
l
1
and c are the contact lengths of the cutter with the chip and with the workpiece, respectively, on the front and back surfaces; b is the width of the cut layer; and
f
is the friction factor.
The plastic deformation of the processed material is determined by the current θ(τ) and initial θ
0
values of the cutting temperature, the degree of plastic deformation ∆γ, the short-term yield strength
σ
T
.
д
.
and the shear modulus
G
д
of the processed material, and the resonant frequency of self-oscillations in the contact zone f
r
:
Ψ
¯
d
=
10
−
4
θ
(
τ
)
⋅
Δ
γ
⋅
[
f
r
⋅
.
д
.
G
д
⋅
θ
)
exp
1
n
(7)
The DF of the form change of the tool material is determined based on the analysis of the form stability of the cutting edge, the model of damage accumulation in the contact layers of the tool, and the probabilistic nature of the wear particle separation set out in the works of Professor T.N. Loladze, as well as the specification of the wear scheme:
Ψ
¯
s
=
J
h
⋅
V
⋅
(
HV
t
HV
m
)
α
⋅
J
h
is wear intensity, V is cutting speed, HV
t
/HV
m
is the ratio of microhardness of the tool and machined materials in the conditional plane of shear [
4
], α is the index, taking into account the influence of cutting temperature on microhardness, erf (P (τ)) is the probability of wear particle separation,
p
r
is normal specific load in the contact zone, E is the modulus of elasticity of the machined material, σ
T
is the short-term yield strength of the tool material, and
μ
is Poisson’s coefficient.
From the solution of the system of Equations (6)–(8) concerning the cutting tool wear rate, the expression is obtained:
J
h
=
p
τ
)
⋅
V
⋅
f
/
(
l
1
+
c
)
⋅
b
−
0.186
θ
(
τ
)
J
θ
V
⋅
(
HV
t
HV
m
)
α
erfP
1
+
μ
)
E
σ
T
2
]
where
J
d
J
θ
are dimensionless criteria, respectively, considering physical and mechanical properties of the machined material and the character of cutting temperature change.
From Equation (9), it follows that the main ways of reducing the intensity of blade cutting tool wear are
-
Reducing the temperature and cutting force.
-
Reducing the friction coefficient f (adhesive component) of the frictional contact with the machined material (due to the formation of secondary structures and phases on the working surfaces as products of adaptation (self-organization) of the tribosystem).
-
HV
m
and the workpiece
HV
t
(by reducing the dependence of the physical and mechanical properties of the contact surfaces on the temperature in the working zone, considering the phenomena of adaptation (self-organization) during friction) [
12
,
13
,
23
,
24
,
25
].
At the present time, the above can be achieved by developing, implementing, and researching innovative multilayer composite coatings on the cutting tool for blade cutting processing, which have not only unique strength properties but also the ability to adapt to external influences with subsequent improvement of operational properties.
It is known that the temperature and cutting forces can have a two-fold influence on the intensity of cutting tool wear: on the one hand, increasing temperature reduces the direct effect of the force factor, and on the other hand, increasing temperature leads to the formation of secondary structures and phases on frictional contact with a corresponding change in physical and mechanical properties. Consequently, when creating tool materials and wear-resistant coatings with a friction adaptation effect, it is necessary to consider the specified region of cutting modes and the cutting temperature interval corresponding to this region [ 26 , 27 , 28 , 29 , 30 , 31 ].
3. Materials and Methods
Experimental research during milling was carried out on certified equipment to ensure the reliability of the obtained test results, specifically on vertical milling machines of normal accuracy and rigidity “VM 127M” (Votkinskiy Machine Building Plant, Votkinsk, Russia) and “Knuth WF 4.1” (KNUTH, Wasbek, Germany) (
Figure 1
).
Figure 1
of vertical milling machine “VM 127M” shows the complexity of the equipment for measuring and recording the components of forces and cutting temperature, from left to right: dynamometer amplifier; PC with software “KISTLER” (version 2825A-03-2); PC for recording cutting temperature with TEMS converter for the temperature; millivoltmeter on the machine table; and three-component dynamometer “KISTLER” with a workpiece mounted on it.
To investigate wear laws of cutting tools at face milling with carbide end mills (diameter d = 12 mm; number of teeth z = 4; with geometry of cutting part of helix angle ω = 30°; forward angle γ = 10°; and back angle α = 4°) of H10F grade with various coatings, titanium alloys—Ti64 and Ti811—were used as a machined material. Chemical composition, physical and mechanical properties, and heat treatment of the alloys under study are presented in Table 1 and Table 2 .
The study of the machinability of titanium alloys in full-scale tests was carried out as applied to the conditions of semifinishing and finishing machining: at n = 2000 rpm; S = 200 mm/min; a e = 5 mm; and a p = 1.5 mm. In this case, as shown by preliminary experiments and analysis of literature data [ 32 , 33 , 34 , 35 , 36 ], in the conditions of finishing and semifinishing cutting, the determining element of tool wear is the wear chamfer on the rear surface of the cutting wedge. Analysis of the rear surface wear profile showed that the average wear of the rear surface along the main cutting edge is characterized by the smallest variability of the wear measurement results. This parameter at constant values of the front and rear angles of the cutting wedge reflects the dimensional wear resistance of the whole tool. Based on the above, the average width of the rear surface wear chamfer (excluding notches) was used as the investigated tool wear parameter. In the process of milling to ensure the identity of the results and to exclude errors of measurement, the width h r of tool wear chamfer on the back surface was measured using the reading microscope MIR-2M with nozzle MOB-I5 accurate to 0.002 mm at the workplace, and when it reached h r = 0.3–0.4 mm, for additional control and photofixation of the wear pattern, a universal motorized stereo microscope with the possibility of telecommunication “Carl Zeiss Stereo Discovery V12” (ZEISS Microscopy, Oberkochen, Germany) with a visualization system based on the video camera “Zeiss Axiocam 503 Color” (ZEISS Microscopy, Oberkochen, Germany) was used ( Figure 2 ). In this case, the wear of the cutter was measured at certain number of passes, and the cutting path length was set to obtain a picture of all stages of the wear curve (section of the running-in, normal, and catastrophic wear).
The wear resistance of a cutting tool is characterized by the period of its durability T and is defined as [
3
,
4
]:
T
=
l
/
S
m
(10)
where T is the durability period (min), l is the cutting path length (m), S
m
is the minute feed rate (m/min), h
rl
is the relative linear, and h
sw
is the surface wear:
rl
=
h
r
.
f
−
h
r
.
in
l
f
−
l
in
or
h
sw
=
(
.
f
−
h
r
.
in
)
⋅
100
(
l
f
−
l
in
)
⋅
S
.
(11)
The criterion for the blunting of cutting tools was taken to be
r
cr
= 0.3 mm.
The schematic diagram of temperature and force studies during milling is shown in Figure 3 .
To obtain information about the average contact temperature during cutting with sufficiently high accuracy, we used the simple and reliable natural thermocouple method. The part (2) and cutter (3) were isolated from each other by an insulator (1) to exclude errors from the so-called “parasitic” thermo-EMF. Measurement of thermo-EMF was carried out in intervals of 10–15 s after the beginning of cutting. The mercury current collector (5), digital voltmeter “Endim” (8), and PC (9) were used for registration and recording of the thermo-EMF value [ 10 ].
Currently, for research purposes, a set of equipment “Kistler” ( Figure 3 ) is used to measure the components of the cutting force, which provides a high degree of accuracy. The main element of the measuring system is a three-component dynamometer by “Kistler” in the form of a bed for fixing the workpiece from the machined material, model 9253B23 (Kistler Group, Winterthur, Switzerland), the appearance of which is shown in Figure 4 .
The connection diagram of the main elements of the dynamometer is shown in Figure 5 .
The resulting force acting on the dynamometer is proportional to the algebraic sum of the corresponding components of the individual forces, which are formed because of the parallel arrangement, as shown in Figure 6 . Thus, the dynamometer is a multicomponent force sensor, independent of the point of its application.
To amplify and convert the signal, we used an 8-channel amplifier and converter type 5070A01110 from “Kistler” (Kistler group, Schweiz), the appearance of which is shown in Figure 7 .
Kistler “DynoWare” software (version 2825A-03-2) is used for data collection and analysis. The “DynoWare” software is versatile, easy to use, and compatible with dynamometers or single- and multicomponent force transducers. “DynoWare” provides continuous visualization of the measured curves during signal analysis and has all necessary mathematical and graphical functions. In addition to the simple configuration of the most important measurement tools, “DynoWare” supports the documentation of measurement processes and the storage of configuration and measurement data.
Easy operation, setup, and monitoring of “Kistler” measuring instruments via RS-232C or IEEE 488 interfaces; powerful graphic capabilities; useful functions for evaluation and calculations; simultaneous data logging from up to eight measuring channels; and recording and evaluation of any physical quantities are possible.
It is known that adhesion wear is most prevalent in machining, and at the same time, to reduce the time to determine the effective coating composition and application modes, as well as reduce the cost of both the tool and cathode material, several adhesion tests were carried out. To estimate the tribotechnical parameters (τ nn , p rn , and τ nn /p rn ), an experimental method [ 25 ] was used. This method is based on the physical model ( Figure 8 ) and the developed setup ( Figure 9 ) [ 12 , 26 ], which in the first approximation reflects real friction and wear conditions at local contact. According to this model, a spherical indentor (1) made of tool material H10F with different coatings (simulating a single rough spot of rubbing solids), squeezed by two plane-parallel samples (2) made of titanium alloys Ti64 and Ti811 (with high accuracy and cleanness of contact surfaces), rotates under the load N around its own axis. The force F ex expended on the indentor rotation and applied to the tether (3) placed in the disk slot (4) is mainly related to the shear strength τ nn of the adhesion bonds. The other end of the cable is connected to the elastic elements (9, 10) and the recording device by means of the wire (11) on which the drive forces for the rotation of the indentor (1) are recorded. Ensuring the temperature regime in the contact zone of the indentor with the samples of the processed material in a wide range of variation (0–1300 °C) uses the electrical contact method, and a high voltage is supplied from the power-controlled transformer to the terminals (5) isolated from the housing.
At the same time, tribotechnical characteristics such as adhesive bond shear strength (τ nn ), normal contact stresses (p rn ), and adhesion component of the friction coefficient (f a ) were determined. Examples of samples for adhesion studies are shown in Figure 10 .
The surface morphology and microstructure of the coatings were studied by transmission electron microscopy on JEOL JEM-201 OE (Akishima, Japan) with an accelerating voltage of 200 kV. At the same time, the coatings were deposited on the cemented carbide bottom layer with a thickness of 2.5 to 3 μm for observations. Samples were prepared using the FIB ion beam focusing method on the JEOL-JFIM-2100 system and were thinned to 0.1 μm using Ga ions with an accelerating voltage from a Ga ion source of 30 kV and a current of 2.0 mA. The chemical composition of the secondary structures appearing on the cutter surface during cutting was investigated by the SIMS method. The ion etching rate was on the order of 0.2 monolayers per minute, and the analysis was performed in static mode. The atomic structure of the films formed on the tool surface during cutting was investigated using EELFS and an ESCALAB MK 2 (VG) electron spectrometer. The friction surface was investigated in areas free from adhesion of the workpiece material. A high magnification ratio (2000×) was used. The primary electron energy was Ep = 1000 eV. A fine spectral energy loss pattern was recorded close to the elastically scattering electron line in the 250 eV range. The analysis conditions were chosen to provide the best energy resolution with a good signal intensity ratio [ 37 , 38 , 39 , 40 , 41 ].
Nanostructured composite multilayer coatings for adhesion tests on the tool material indentor and wear-resistant coatings for end mills were applied on three different units: “Platit π311” in the laboratory “Coating Technology and Heat Treatment” with (CrAlSi)N, (CrAlSi)N + DLC (diamond-like carbon), (TiAlSi)N, (CrAlSi)N + epilama, (CrAlSi)N + DLC + epilama, and (TiAlSi)N + epilama; modernized NNV-6 6-I1 at the laboratory “Innovative Materials and Coatings” with IDTI RAS-(TiCrAl)N, (ZrCrAl)N, (ZrMoAl)N, and (ZrMoHfCrAl)N; and “Platit π411” at Technopark “Vityaz” with TiB
2
, nACo
3
, nACRo, nACRo+TiB
2
, nACo
3
+TiB
2
, TiB2+epilama, nACo3+epilama, nACRo + epilama, nACo
3
+ TiB
2
+epilama, and nACRo+TiB
2
+epilama, with a coating thickness no more than 10 microns. The grain size of these coatings was in the range of 3 to 5 nanometers. The microhardness for the nACo
3
coating was 45 GPa and for the nACRo coating was 42 GPa, with room temperature friction coefficients of 0.35 and 0.45, respectively. At the same time, nACo3–(TiAlSi)N + TiN or AlSiTiN(up) + TiAlSiN + TiN and nACRo–TiAlN or AlCrN is embedded in the amorphous matrix SiN.
4. Experimental Results and Discussion
The analysis of the works of researchers allows us to conclude that the solution to the problem of increasing the wear resistance of cutting tools with different coatings is developing in different directions. At the same time, there is practically no data on the results of experimental research with the indication of cutting modes and specific relationships between “tool-machined material”, application modes, and percentage content of wear-resistant coating elements, as well as their operational characteristics (adhesion coefficient, service life, critical cutting path length, and wear on the rear surface of the cutting tool); this does not allow a comparative analysis of the results obtained in this case. In the works [ 36 , 37 , 38 , 39 , 40 , 41 ], in search of solutions to the problem, we followed a way of modeling the alloying components (Ti, Cr, Al, and Si) in the composition of nanocomposite coatings (nc-TiAlN/a-SiN, nc-AlCrN/a-SiN, and nc-AlTiCrN/a-SiN), and the increase in the tool service life by 10%–15% on average does not allow substantiation of the improvement of tribotechnical characteristics of wear-resistant coatings, with regard for possible measurement errors.
At the same time, it is known [ 36 , 42 , 43 , 44 , 45 , 46 , 47 , 48 ] that most modern nanostructured multilayer composite coatings used on the cutting tool for blade cutting, under certain contact processes and temperature and force conditions, can improve their tribotechnical characteristics. In particular,
-
The nanocomposite coating based on aluminum nitride and titanium nACo3 is a high-tech solid coating applied by physical vacuum deposition and consisting of nanoparticles in a binding amorphous matrix. The uniqueness of the coating lies in the successful combination of physically mutually exclusive parameters: while increasing the hardness, its elasticity increases at the same time;
-
The nanocomposite coating based on chrome and aluminum carbonitrides nACRo has very high hardness at elevated cutting temperatures;
-
Titanium diboride TiB
2
nanocomposite coating is a synthetic, particularly hard, heat-resistant, refractory, and wear-resistant material. These coatings are advantageous due to their high hardness and resilience as well as good abrasion resistance.
-
Diamond-like coating (DLC) is a diamond-like carbon material with a tough and friction-reducing coating on top of other conventional wear-resistant coatings in most cases.
The results of experimental studies of the wear resistance of cutting tools with different coatings during milling ( Figure 11 , Figure 12 , Figure 13 , Figure 14 , Figure 15 and Figure 16 ) of titanium alloys are presented in the form of graphs of the dependence of tool wear on the rear surface (h r , mm) ( Figure 11 and Figure 14 ) on the critical length of cutting path (l, m) ( Figure 13 and Figure 16 ) and also graphs of the dependence of the durability period on the coating applied to the cutting tool ( Figure 12 and Figure 15 ). The best indices of cutting tool wear resistance (wear on the back surface, critical cutting path length, and tool durability period) were measured as follows:
-
Milling of titanium alloy Ti64 was ensured when using wear-resistant coatings: improvement by 2.4 times with “nACRo+TiB 2 ” coating, by 2.2 times with “nACo3+TiB2”, and by 2 times with “nACRo” coating compared to milling without coating;
-
Milling of titanium alloy Ti811 was provided with wear-resistant coating: improvement by 4 times with “nACRo” coating and improvement by 2 times with “nACRo+TiB 2 ” coating in comparison with milling without coating.
According to the results of experimental studies, the best indicators of cutting tool wear resistance with different coatings were found as follows:
-
Milling of titanium alloy Ti64 was provided when using wear-resistant coatings: improvement by 18% with “nACRo + TiB2” coating and by 17% with “nACRo + TiB2 + epilama” coating in comparison with “nACo3” coating;
-
Milling of titanium alloy Ti811 was ensured when using wear-resistant coatings: improvement by 1.8 times with “nACRo” coating and by 1.5 times with “nACo3 + TiB2 + epilama” coating in comparison with “nACo3” coating.
According to the results of field experiments during milling of titanium Ti64 by milling cutters with different durations of titanium diboride application, it was found that
-
For milling of Ti64 titanium alloy, an increase in TiB 2 coating time of more than 30 min does not contribute to the increase in wear resistance of the milling cutter.
The results of the temperature experiments are shown in Figure 17 and Figure 18 .
According to the results of temperature studies, it was found that
-
The lowest cutting temperature value is provided when using “nACRo + TiB 2 ” coating when milling Ti64 and Ti811 titanium alloys, and they are lower by 9% and 12%, respectively, relative to uncoated machining;
-
Milling of Ti64 titanium alloy is less heat-intensive compared to Ti811.
The results of the performed force experiments are shown in Figure 19 and Figure 20 .
According to the results of the conducted force tests, it was found that
-
The lowest value of cutting force is provided when using “nACRo3 + TiB2” coating for both titanium alloy Ti64 and alloy Ti811 with 1.5–2 times less force in comparison with milling without coating;
-
Milling of titanium alloy Ti64 has less force loading in comparison with Ti811 by 1.5–2 times.
The results of adhesion studies are shown in Figure 21 and Figure 22 .
Analysis of experimental data has shown that, with increasing contact temperature, the adhesion component of the friction coefficient increases monotonically for all the coatings under study at temperatures corresponding to optimal cutting speeds (according to wear intensity), and the smallest value corresponds to the most favorable composition and technology of their applications. It was found that
-
The most effective coatings in terms of contact processes on a single contact spot and adhesion coefficient are the coatings applied on “Platit π411”: nACo 3 , nACRo, and nACRo + TiB 2 ;
-
The lowest coefficient of adhesion interaction between the tool material and the machined material in the whole investigated temperature range is provided by coating nACRo + TiB 2 on titanium alloys Ti64 and Ti811, which confirms the best coating adhesion with the substrate and allows using them for high-speed milling.
To explain the mechanism of increasing tribotechnical characteristics of multilayer nanostructured coatings, a series of material science studies of the wells of samples of machined and spherical surfaces of tool materials was carried out ( Figure 23 , Figure 24 and Figure 25 ).
The surface morphology and microstructure of the coatings were investigated by transmission electron microscopy on a JEOL JEM-201 OE unit with an accelerating voltage of 200 kV. At the same time, the coatings were deposited on the cemented carbide bottom layer with a thickness of 2.5 to 3 μm for observations. Samples were prepared using the FIB ion beam focusing method on the JEOL-JFIM-2100 system and were thinned to 0.1 μm using Ga ions with an accelerating voltage of 30 kV and a current of 2.0 mA from a Ga ion source. The chemical composition of the secondary structures appearing on the cutter surface during cutting was investigated by the SIMS method. The ion etching rate was on the order of 0.2 monolayers per minute, and the analysis was performed in static mode. The atomic structure of the films formed on the tool surface during cutting was investigated using EELFS and an ESCALAB MK 2 (VG) electron spectrometer. The friction surface was investigated in areas free from adhesion of the workpiece material. A high magnification ratio (2000×) was used. The primary electron energy was E p = 1000 eV. A fine spectral energy loss pattern was recorded close to the elastically scattering electron line in the 250 eV range. The conditions for the analysis were chosen to provide the best energy resolution with a good signal intensity ratio [ 18 , 48 , 49 , 50 , 51 ].
Intensive tribo-oxidation of the cutting tool surface occurs during high-speed machining.
Figure 24
shows Auger electron spectra for tools with nACRo wear-resistant coating. The oxidation of the contact surfaces is obvious, as evidenced by the presence of large amounts of oxygen in both spectra. The intense ionic peaks correspond to the adhesion zones of the part material. The Ti line is significantly stretched (
Figure 24
b) in this zone; this is the result of the oxidation process. An increased amount of aluminum oxide is observed in the spectrum of the filtered coatings, which is shown as a shift in the aluminum line to a lower energy zone (60 eV). At the same time, the intensity of the metallic Al LMM line level around 68 eV decreases.
Figure 24
a,b show a series of spectra of positive secondary ions for both 3 min of cutting and after 20 min of coating cutting, and
Figure 24
c,d show spectra of negative secondary ions for both coatings. In both positive secondary spectra, the TiO line intensity is high, and this is due to intense tribo-oxidation, which forms rutile-like films. However, some aluminum oxide is formed only on the surface of the coatings after 20 min, and this effect can be observed on the spectrum of negative secondary ions (
Figure 24
c). The formation of aluminum oxide films on the cutter surface significantly changes the heat fluxes and heat dissipation into the chip. This is confirmed by images of chip cross-sections after scanning on an electron microscope, and three different zones can be seen in the chip cross-sections.
The atomic structure of the films appearing on the wear zone surface during tribo-oxidation of the nACRo coating was compared with the oxide layer obtained during oxidation of the binary TiAl alloy under equilibrium conditions. Figure 26 shows the Fourier transforms because of mathematical consideration of the fine structure of electron spectra close to the line of elastically scattering electrons. The positions of the peaks on the Fourier transforms correspond to the interatomic distances for the closest coordination spheres. The decoding of the data was based on the analysis of known crystal characteristics of oxides formed on the surface. The positions of the main peaks of the Fourier transforms correspond to the interatomic distances associated with the Al 2 O 3 and TiO 2 lattices ( Figure 25 ) [ 51 , 52 , 53 , 54 ].
In general, the results of metallurgical studies state that the use of such coatings contributes to the reduction in friction forces and cutting tool wear due to the formation of titanium and aluminum oxides. Studies of protective film formation at low and moderate cutting speeds show that there is only one type of protective film formed on the surface because of self-organization phenomena [ 17 , 28 , 29 , 30 ]. These films have an amorphous-like structure with high ductility and improved lubricity. More complex phenomena occur during high-speed processing. These are, first, the low-intensity peaks that are found at far atomic distances in the Fourier transforms shown in Figure 25 . From this figure, it can be assumed that the films that form during tribo-oxidation under high-speed processing conditions are amorphous-like. These films of aluminum oxide contribute to the reduction in wear because, due to the low thermal conductivity, they prevent the intensive removal of heat generated during cutting into the body of the cutting tool [ 55 , 56 , 57 , 58 , 59 ].
Figure 26 shows the results of the micro-X-ray spectral analysis of the worn surfaces of the cutting tools with nanostructured coatings. Worn and oxidized areas of the cutter surface revealed aluminum and titanium oxides formed during milling with nACRo nanostructured coatings.
5. Conclusions
The thermodynamic model of cutting tool wear is proposed, allowing us to determine ways to reduce the intensity of cutting tool wear and the dissipative function of the tool material shape change during tool wear, and the conditions for improving the wear resistance of the cutting tool using the phenomenon of adaptation (self-organization) under friction are formulated.
Experimental studies on the wear resistance of cutting tools with different coatings have shown that, during milling of titanium alloys, a significant increase in wear resistance is provided when using innovative multilayer nanostructured coatings, with an improvement on average of 1.5–2 times.
These positive results are associated with a complex set of phenomena occurring in the contact processes:
Firstly, there is a significant decrease in temperature–force loading in the cutting zone by an average of 15%–25% both in terms of cutting temperature and cutting force components, and this phenomenon, according to numerous studies, can be explained by the formation of secondary structures on the friction surfaces in the form of aluminum and titanium oxides, which have heat-reflecting (shielding) and lubricating properties;
Secondly, it is because of the above reduction in the friction coefficient (adhesive component) in a wide range of temperature changes from 5500 C to 9500 C by 13%–17%.
3.
Important in the analysis are the results of metallurgical research, as the obtained data allow one to assert that, in contact processes, there is a phenomenon of adaptation (self-organization) of friction surfaces at cutting by a tool with wear-resistant coatings, promoting the formation of films of various compounds with shielding, protective, and lubricating properties, in particular Al 2 O 3 , TiO 2 , etc. These films have an amorphous-like structure with high plasticity and improved lubricity. This is confirmed by spectroscopic studies and above all by the low-intensity peaks found at long atomic distances on Fourier transforms.
Author Contributions
Conceptualization, M.S.M.; Methodology, S.R.S. and A.M.M.; Software, A.S.G.; Formal analysis, N.A.S.; Writing—review & editing, A.P.M.; Visualization, D.S.R. All authors have read and agreed to the published version of the manuscript.
Funding
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Figure 1. Vertical milling machine VM 127M.
Figure 1. Vertical milling machine VM 127M.
Figure 2. Working area with motorized stereo microscope “Carl Zeiss Stereo Discovery V12”.
Figure 2. Working area with motorized stereo microscope “Carl Zeiss Stereo Discovery V12”.
Figure 3. Schematic diagram of measuring temperature and cutting force components by natural thermocouple method. 1—insulation; 2—workpiece; 3—insulated cutter; 4—chuck; 5—mercury current collector; 6—dynamometer “Kistler”; 7—connecting wire; 8—amplifier–converter; 9—computer for registration of thermal emfs; 10—computer for registration of cutting force components; and 11—connecting bus.
Figure 3. Schematic diagram of measuring temperature and cutting force components by natural thermocouple method. 1—insulation; 2—workpiece; 3—insulated cutter; 4—chuck; 5—mercury current collector; 6—dynamometer “Kistler”; 7—connecting wire; 8—amplifier–converter; 9—computer for registration of thermal emfs; 10—computer for registration of cutting force components; and 11—connecting bus.
Figure 4. External view of the 9253B23 dynamometer.
Figure 4. External view of the 9253B23 dynamometer.
Figure 5. Wiring diagram.
Figure 5. Wiring diagram.
Figure 6. Structure of a three-component dynamometer. (a, b is the distance from the machining point to the center of the sensor; 1–4 is force sensors; M is moment of force).
Figure 6. Structure of a three-component dynamometer. (a, b is the distance from the machining point to the center of the sensor; 1–4 is force sensors; M is moment of force).
Figure 7. Exterior view of the amplifier and converter type 5070A01110.
Figure 7. Exterior view of the amplifier and converter type 5070A01110.
Figure 8. Model of frictional contact. 1—Spherocylindrical indenters of the tool material, 2—cylindrical samples of the same machined material, 3—traction cable, 4—disk with a slot for cable 3 and for mounting 1, and 5—electrical wiring.
Figure 8. Model of frictional contact. 1—Spherocylindrical indenters of the tool material, 2—cylindrical samples of the same machined material, 3—traction cable, 4—disk with a slot for cable 3 and for mounting 1, and 5—electrical wiring.
Figure 9. Installation for adhesion testing. 1—Spherocylindrical indenters of the tool material, 2—cylindrical samples of the same machined material, 3—traction cable, 4—disk with a slot for cable 3 and for mounting 1, 5—electrical wiring, 6—the device for loading, 7—rack-and-gear mechanism, 8—bracket for mounting the elastic element 9 and strain gauge movement 10, and 11—wiring to register movement, N—applied force.
Figure 9. Installation for adhesion testing. 1—Spherocylindrical indenters of the tool material, 2—cylindrical samples of the same machined material, 3—traction cable, 4—disk with a slot for cable 3 and for mounting 1, 5—electrical wiring, 6—the device for loading, 7—rack-and-gear mechanism, 8—bracket for mounting the elastic element 9 and strain gauge movement 10, and 11—wiring to register movement, N—applied force.
Figure 10. Samples of machined (flat cylindrical heels) and tool materials (finger cylinders with spherical tips on both sides) with different wear-resistant coatings applied.
Figure 10. Samples of machined (flat cylindrical heels) and tool materials (finger cylinders with spherical tips on both sides) with different wear-resistant coatings applied.
Figure 11. Effect of the cutting path length (l, m) on the value of wear on the rear surface (h r , mm) during milling of titanium alloy Ti64 by carbide cutters of grade H10F with different coatings (n = 2000 rpm, S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 11. Effect of the cutting path length (l, m) on the value of wear on the rear surface (h r , mm) during milling of titanium alloy Ti64 by carbide cutters of grade H10F with different coatings (n = 2000 rpm, S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 12. Durability period when milling titanium alloy Ti64 with tungsten carbide cutters of grade H10F with different coatings.
Figure 12. Durability period when milling titanium alloy Ti64 with tungsten carbide cutters of grade H10F with different coatings.
Figure 13. Critical path length when milling titanium alloy Ti64 with H10F carbide cutters with different coatings.
Figure 13. Critical path length when milling titanium alloy Ti64 with H10F carbide cutters with different coatings.
Figure 14. Effect of the cutting path length (l, m) on the value of wear on the rear surface (h z , mm) during milling of titanium alloy Ti 811 by carbide cutters of grade H10F with different coatings (n = 2000 rpm, S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 14. Effect of the cutting path length (l, m) on the value of wear on the rear surface (h z , mm) during milling of titanium alloy Ti 811 by carbide cutters of grade H10F with different coatings (n = 2000 rpm, S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 15. Durability period when milling titanium alloy Ti811 with tungsten carbide cutters of grade H10F with different coatings.
Figure 15. Durability period when milling titanium alloy Ti811 with tungsten carbide cutters of grade H10F with different coatings.
Figure 16. Critical path length when milling titanium alloy Ti811 with H10F carbide cutters with different coatings.
Figure 16. Critical path length when milling titanium alloy Ti811 with H10F carbide cutters with different coatings.
Figure 17. Cutting temperature (thermal emf) when milling titanium alloy Ti64 at different spindle speeds (n = 2000 rpm; S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 17. Cutting temperature (thermal emf) when milling titanium alloy Ti64 at different spindle speeds (n = 2000 rpm; S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 18. Cutting temperature when milling titanium alloy Ti811 at different spindle speeds (n = 2000 rpm; S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 18. Cutting temperature when milling titanium alloy Ti811 at different spindle speeds (n = 2000 rpm; S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 19. Total component of cutting force when milling titanium alloy Ti64 at different spindle speeds (S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 19. Total component of cutting force when milling titanium alloy Ti64 at different spindle speeds (S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 20. Total component of cutting force when milling titanium alloy Ti811 at different spindle speeds (S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 20. Total component of cutting force when milling titanium alloy Ti811 at different spindle speeds (S min = 200 mm/min, a e = 5 mm, a p = 1.5 mm).
Figure 21. Temperature dependence of frictional characteristics of plastic contact “Ti64-H10F with coatings”.
Figure 21. Temperature dependence of frictional characteristics of plastic contact “Ti64-H10F with coatings”.
Figure 22. Temperature dependence of frictional characteristics of plastic contact “Ti811-H10F with coatings”.
Figure 22. Temperature dependence of frictional characteristics of plastic contact “Ti811-H10F with coatings”.
Figure 23. Auger electron spectra of surfaces of worn nACRo-coated inserts: ( a )—at the running-in stage after 3 min from the beginning of cutting; ( b )—at the steady-state stage after 20 min from the beginning of cutting.
Figure 23. Auger electron spectra of surfaces of worn nACRo-coated inserts: ( a )—at the running-in stage after 3 min from the beginning of cutting; ( b )—at the steady-state stage after 20 min from the beginning of cutting.
Figure 24. Spectra of positive ( a , b ) and negative ( c , d ) secondary ions of the surface of worn nACRo-coated plates: ( a , d )—after 3 min of cutting; ( b , c )—after 20 min of cutting.
Figure 24. Spectra of positive ( a , b ) and negative ( c , d ) secondary ions of the surface of worn nACRo-coated plates: ( a , d )—after 3 min of cutting; ( b , c )—after 20 min of cutting.
Figure 25. Fourier transforms on the EELFS close to the elastic scattering electrons for films formed on the surface: ( a )—nACRo-coated cutting tool; ( b )—binary TiAl alloy after isothermal oxidation in air.
Figure 25. Fourier transforms on the EELFS close to the elastic scattering electrons for films formed on the surface: ( a )—nACRo-coated cutting tool; ( b )—binary TiAl alloy after isothermal oxidation in air.
Figure 26. Results of the micro-X-ray spectral analysis.
Figure 26. Results of the micro-X-ray spectral analysis.
Table 1. Chemical composition of the materials to be machined.
Table 1. Chemical composition of the materials to be machined.
Main Components, % by Weight Alloy Ti Al V Mo Others Ti64 Basis 5.5–6.75 3.5–4.5 - - Ti811 Basis 7.5–8.5 0.75–1.25 0.75–1.25 -
Table 2. Physical and mechanical properties of machined materials.
Table 2. Physical and mechanical properties of machined materials.
Parameters Alloys Ti64 Ti811 σ, MPa 910 1141–1175 δ, % 7 7.2–9 ψ, % 15 14–16 KCU, J/m 2 2.5 0.19–0.24 KCT, J/m 2 7.85 2.5–4.1 σ 100 /σ T 300 °C 793 - 400 °C 725 - 500 °C 509/705 - 600 °C 372/676 690/725 σ −1 , MPa 284 - t (N = 2 × 10 7 ) °C 550 - σ −1 H , MPa 147 - t (N = 2 × 10 7 , K t = 3.35) °C 550 - σ 0 , MPa 539 - t (N = 2 × 10 4 ) °C 550 - σ −1 H , MPa 284 - t (N = 2 × 10 4 , K t = 3.35) 550 - K 1C , MPa·m 1/2 59–68.7 -
AMA Style
Migranov MS, Shehtman SR, Sukhova NA, Mitrofanov AP, Gusev AS, Migranov AM, Repin DS. Study of Tribotechnical Properties of Multilayer Nanostructured Coatings and Contact Processes during Milling of Titanium Alloys. Coatings. 2023; 13(1):171.
https://doi.org/10.3390/coatings13010171
Chicago/Turabian Style
Migranov, Mars Sharifullovich, Semen Romanovich Shehtman, Nadezhda Aleksandrovna Sukhova, Artem Petrovich Mitrofanov, Andrey Sergeevich Gusev, Arthur Marsovich Migranov, and Denis Sergeyevich Repin. 2023. "Study of Tribotechnical Properties of Multilayer Nanostructured Coatings and Contact Processes during Milling of Titanium Alloys" Coatings13, no. 1: 171.
https://doi.org/10.3390/coatings13010171
Article Metrics
MDPI and ACS Style
Migranov, M.S.; Shehtman, S.R.; Sukhova, N.A.; Mitrofanov, A.P.; Gusev, A.S.; Migranov, A.M.; Repin, D.S. Study of Tribotechnical Properties of Multilayer Nanostructured Coatings and Contact Processes during Milling of Titanium Alloys. Coatings 2023, 13, 171.
https://doi.org/10.3390/coatings13010171
AMA Style
Migranov MS, Shehtman SR, Sukhova NA, Mitrofanov AP, Gusev AS, Migranov AM, Repin DS. Study of Tribotechnical Properties of Multilayer Nanostructured Coatings and Contact Processes during Milling of Titanium Alloys. Coatings. 2023; 13(1):171.
https://doi.org/10.3390/coatings13010171
Chicago/Turabian Style
| https://www.mdpi.com/2079-6412/13/1/171 |
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T R O U B L E D C O M P A N Y R E P O R T E R
A S I A P A C I F I C
Wednesday, April 28, 2004, Vol. 7, No. 83
Headlines
A U S T R A L I A
NATIONAL AUSTRALIA: Brokers Call for Sell Out
NATIONAL AUSTRALIA: Director Demands Access to Documents
C H I N A & H O N G K O N G
DISI LIMITED: Schedules Winding up Hearing for June 9
DRAGON KING: Faces Winding up Hearing
FAR EAST: Unveils Appointment of Liquidators
FORTUNA INTERNATIONAL: Widens 2003 Net Loss to HK$36.6M
GREATER CHINA: Unveils Liquidity, Financial Resources
HAINAN TRAVEL: Schedules Winding up Hearing May 12
HENTIFF LIMITED: Court Sets Hearing Date
HUALING HOLDINGS: Narrows 2003 Net Loss to HK$76.97M
WELL HOPE: Creditors Meeting Set May 5
I N D O N E S I A
BANK TABUNGAN: Pefindo Assigns Bonds Ratings
* Prudential Life to Appeal Indonesian Court Decision
J A P A N
GENERAS CORPORATION: Files for Court Protection
ISHIKAWAJIMA-HARIMA: R&I Downgrades Rating to BBB+
MITSUBISHI MOTORS: Rolf Eckrodt Steps Down as President
MITSUBISHI MOTORS: Unveils March 2004 Production Sales Results
MITSUBISHI MOTORS: S&P Comments on DaimlerChrysler Decision
NIKKO CORDIAL: Swings to Profit in 2003
NIKKO CORDIAL: Unit Gets Administrative Action
K O R E A
HYNIX SEMICONDUCTOR: Faces Setback in China Plant Plan
JINRO INDUSTRIES: Taihan Electric Buys Firm for US$244M
M A L A Y S I A
ANSON PERDANA: Adjourns Winding up Petition June 18
ANTAH HOLDINGS: Issues Default Status Update
BOUSTEAD HOLDINGS: Lists New Ordinary Shares
KILANG PAPAN: Unveils Investigative Audit Results
OILCORP BERHAD: Posts Changes in Director's Shareholding
OCEAN CAPITAL: Announces Registrar's Change of Address
OSK HOLDINGS: Enters Alliance With Equitable Investment
OSK HOLDINGS: Announces Listing of New Shares
TECHNO ASIA: Slapped with Public Reprimand
P H I L I P P I N E S
ABS-CBN BROADCASTING: To Raise US$120M to Refinance Debts
BAYAN TELECOMMUNICATIONS: Court Orders Creditors' Equal Care
FIRST PHILIPPINE: Sets Annual Stockholders Meeting
NATIONAL STEEL: SEC Dragging RTC's Sale Approval
PHILIPPINE AIRLINES: Takes Extra Care After Strike Threats
PHILIPPINE LONG: Issues Notice of Annual Stockholders Meeting
PHILIPPINE LONG: Bags Overall Best Managed Company Award
S I N G A P O R E
CYCAD PTE: Schedules Winding up Hearing
FASTHUB PTE: Issues Winding up Order Notice
HUA KOK: Posts Changes in Audit Committee
LIVONIA INVESTMENTS: Creditors Must Submit Claims by May 21
MURRANNE PTE: Issues Debt Claim Notice to Creditors
PERTAMA DEVELOPMENT: Issues Winding Up Order Notice
- - - - - - - -
=================
A U S T R A L I A
=================
NATIONAL AUSTRALIA: Brokers Call for Sell Out
---------------------------------------------
National Australia Bank's continuous boardroom battle has urged
brokers to recommend clients' sell their shares. "An ongoing
downward earnings revision cycle continues to plague NAB. We
feel this is not over, we believe the potential for further bad
news remains." Citigroup Smith Barney said, quoted by The
Australian newspaper.
ABN Amro has downgraded net profit forecasts for 2004 by 9.1
percent, but it has assumed earnings will be worse than
expectations because of NAB's poor profit guidance, however it
expects NAB to include writedowns in its general provisions in
one hit rather than gradually.
NATIONAL AUSTRALIA: Director Demands Access to Documents
--------------------------------------------------------
National Australia Bank director Catherine Walter was unable to
get a copy of a draft report by PricewaterhouseCoopers (PwC) of
the bank's foreign exchange trading scandal, Dow Jones reports.
Ms. Walter claims she was prevented access to a copy of the
document she to which she previously claimed key changes were
made when a copy was circulated to some member of the bank's
board.
"A draft copy may throw some light on the extent and nature of
changes made to the final report. It would provide some
indication as to whether the final report was as independent as
shareholders were led to believe," Ms. Walter argued.
"I have sought from National a copy of the draft PwC report
which was considered by the Principal Board Risk Committee
members on February 23-24," Ms. Walter added.
"The National apparently did not keep a copy in its PBRC record
and PwC are not willing to make a copy available to their
client, the National. But not getting access to the report,
shareholders will be left to draw inferences about the fact it
has been withheld," she said.
Ms. Walter called on NAB's board to take all steps to make the
necessary documents relevant to the investigation available.
==============================
C H I N A & H O N G K O N G
DISI LIMITED: Schedules Winding up Hearing for June 9
-----------------------------------------------------
Notice is hereby given that a petition for the winding up of
Disi Limited by the High Court of Hong Kong was on the 30 March
2004 presented to the said Court by Bank of China (Hong Kong)
Limited, whose registered office is situated at 14th Floor, Bank
of China Tower, No. 1 Garden Road, Central, Hong Kong. The said
petition will be heard before the Court at 9:30 a.m. on the 9
June 2004. Any creditor or contributory of the said company
desirous to support or oppose the making of an order on the said
petition may appear at the time of hearing by himself or his
counsel for that purpose. A copy of the petition will be
furnished to any creditor or contributory of the said company
requiring the same by the undersigned on payment of the
regulated charge for the same.
Messrs. Wat & Co.
Solicitors for the Petitioner,
12th Floor, Chuang's Tower
30&32 Connaught Road Central
Hong Kong
Note: Any person who intends to appear at the hearing of the
said petition must serve on or send by post to the above named,
notice in writing of his intention so to do. The notice must
state the name and address of the person, or if a firm or his or
their Solicitor (if any) and must be served or if posted, must
be sent by post in sufficient time to reach the above named not
later than six o'clock in the afternoon of the 8 June 2004.
DRAGON KING: Faces Winding up Hearing
-------------------------------------
Notice is hereby given that a petition for the winding up of
Dragon King Limited by the High Court of Hong Kong was on the 13
April 2004 presented to the said Court by GE Capital (Hong Kong)
Limited whose registered office is situated at 8th Floor, Devon
House, 979 King's Road, Quarry Bay, Hong Kong. The said petition
will be heard before the Court at 9:30 a.m. on the 23 June 2004.
Any creditor or contributory of the said company desirous to
support or oppose the making of an order on the said petition
may appear at the time of hearing by himself or his counsel for
that purpose. A copy of the petition will be furnished to any
creditor or contributory of the said company requiring the same
by the undersigned on payment of the regulated charge for the
same.
Messrs. Li, Wong & Lam
Solicitors for the Petitioner,
Unit 2602, 26th Floor, Tower One
89 Queensway
Hong Kong
Note: Any person who intends to appear at the hearing of the
said petition must serve on or send by post to the above named,
notice in writing of his intention so to do. The notice must
state the name and address of the person, or if a firm or his or
their Solicitor (if any) and must be served or if posted, must
be sent by post in sufficient time to reach the above named not
later than six o'clock in the afternoon of the 22 June 2004.
FAR EAST: Unveils Appointment of Liquidators
--------------------------------------------
Far East Gateway Limited (In Compulsory Liquidation) has
appointed several liquidators, disclosing that:
The Company's Registered Office: 8/F., Pico Tower, 66 Gloucester
Road, Wanchai, Hong Kong
Joint and Several Liquidators': Mr. Ng Kwok Wai and Mr. David
Nip of Messrs Professional Management Consultants Limited
Liquidators' Address: Room 701, 7th Floor, Union Park Centre,
771 Nathan Road, Mongkok, Kowloon
Members of a Committee of Inspection:
(i) China Netcom Corporation Limited
(ii) Far East Gateway International Limited
(iii) Hady Hartanto
(iv) Sri Tjintawati Hartanto
(v) China Netcom (Hong Kong) Operations Limited
This Quamnet announcement is dated 14 April 2004.
FORTUNA INTERNATIONAL: Widens 2003 Net Loss to HK$36.6M
-------------------------------------------------------
Fortuna International Holdings Limited booked a net loss of
HK$36.693 million for 2003, versus a net loss of HK$27.953
million a year earlier, according to Infocast News on Tuesday.
The Loss per share was $0.009. No final dividend was declared.
GREATER CHINA: Unveils Liquidity, Financial Resources
-----------------------------------------------------
In September 2003, Greater China Holdings Limited placed
27,598,000 shares at HK$0.221 per share and the net proceeds
reached approximately HK$6,000,000.
In a disclosure to the Stock Exchange of Hong Kong Limited, the
transaction took place in October 2003 and the net proceeds were
applied towards the repayment of the margin loans incurred by
the Group in the course of investment in securities.
In December 2003, the Company further placed 33,100,000 shares
at HK$0.231 per share and the net proceeds was approximately of
HK$7,600,000. Completion was taken place in January 2004 and the
net proceeds were applied as the general working capital of the
Group.
The Group has a current ratio of approximately 0.42 as at 31
December 2003 (as at 31 December 2002: 1.75) and the gearing
ratio was 1.40 as at 31 December 2003 (as at 31 December 2002:
0.85). The calculation of gearing ratio was based on the total
borrowing of HK$142,453,000 (31 December 2002: HK$172,979,000)
and the net assets of HK$101,648,000 as at 31 December 2003 (31
December 2002: HK$203,340,000).
There were no significant capital commitments as at 31 December
2003, which would require a substantial use of the Group's
present cash resources or external funding.
The Group does not anticipate any material foreign exchange
exposure since its cash, borrowings, revenue and expenses are
denominated in Hong Kong dollars.
CHARGED ON ASSETS
As at 31 December 2003, all the Group's investment properties
and the issued shares of China Faith Limited, a wholly owned
subsidiary of the Company are pledged and the rental income in
respect of the investment properties under operating leases are
assigned to a bank against a bank loan of HK$138,300,000 (as at
31 December 2002: HK$147,400,000) granted to the Group.
Other investments of HK$14,695,000 (31 December 2002:
HK$101,431,000) are pledged against margin and other loan
facilities granted to the Group.
HAINAN TRAVEL: Schedules Winding up Hearing May 12
--------------------------------------------------
Notice is hereby given that a petition for the winding up of
Hainan (H.K.) Travel Agency Limited by the High Court of Hong
Kong was on the 12 March 2004 presented to the said Court by Hon
Yin of 3/F., 177 Fa Yuen Street, Mongkok, Kowloon, Hong Kong.
The said petition will be heard before the Court at 9:30 a.m. on
the 12 May 2004. Any creditor or contributory of the said
company desirous to support or oppose the making of an order on
the said petition may appear at the time of hearing by himself
or his counsel for that purpose. A copy of the petition will be
furnished to any creditor or contributory of the said company
requiring the same by the undersigned on payment of the
regulated charge for the same.
Ms. Ada Chau Ming Wai
For Director of Legal Aid
34th Floor, Hopewell Centre
183 Queen's Road East, Wanchai
Hong Kong
Note: Any person who intends to appear at the hearing of the
said petition must serve on or send by post to the above named,
notice in writing of his intention so to do. The Notice must
state the name and address of the person, or if a firm or his or
their Solicitor (if any) and must be served or if posted, must
be sent by post in sufficient time to reach the above named not
later than six o'clock in the afternoon of the 11 May 2004.
HENTIFF LIMITED: Court Sets Hearing Date
----------------------------------------
Notice is hereby given that a petition for the winding up of
Hentiff Limited by the High Court of Hong Kong was on the 29
March 2004 presented to the said Court by Tsang Tak Fu of Room
232, Lee Hang House, Shun Lee Estate, Kowloon, Hong Kong. The
said petition will be heard before the Court at 9:30 a.m. on the
9 June 2004. Any creditor or contributory of the said company
desirous to support or oppose the making of an order on the said
petition may appear at the time of hearing by himself or his
counsel for that purpose. A copy of the petition will be
furnished to any creditor or contributory of the said company
requiring the same by the undersigned on payment of the
regulated charge for the same.
Ms. Ada Chau Ming Wai
For Director of Legal Aid
34th Floor, Hopewell Centre
183 Queen's Road East, Wanchai
Hong Kong
Note: Any person who intends to appear at the hearing of the
said petition must serve on or send by post to the above named,
notice in writing of his intention so to do. The Notice must
state the name and address of the person, or if a firm or his or
their Solicitor (if any) and must be served or if posted, must
be sent by post in sufficient time to reach the above named not
later than six o'clock in the afternoon of the 8 June 2004.
HUALING HOLDINGS: Narrows 2003 Net Loss to HK$76.97M
----------------------------------------------------
Hualing Holdings reported a net loss of HK$76.97 million for the
year ended December 31, versus a net loss of HK$250 million a
year earlier, according to the South China Morning Post.
The refrigerator and air-conditioner maker had introduced cost-
control measures, sparked by a drop in the price of household
electrical appliances and a rise in the cost of raw materials,
such as steel and cooper. Overall management and sales costs
fell about 6 percent and 2 percent respectively compared with
2002. The loss per share was 5.6 HK cents. No dividend was
declared.
WELL HOPE: Creditors Meeting Set May 5
Notice is hereby given that a meeting of the creditors of Well
Hope Industrial Limited will be held at Room 1101, 11/F., Shiu
Lam Building, 23 Luard Road, Wan Chai, Hong Kong on 5 May 2004
at 2:30 in the afternoon.
Creditors may vote either in person or by proxy. Forms of proxy
to be used at the meeting must be lodged at Room 1101, 11/F,
Shiu Lam Building, 23 Luard Road, Wan Chai, Hong Kong not later
than 4 p.m. on the day before the meeting or adjourned meeting
at which they are to be used.
By Order of the Board of
Well Hope Industrial Limited
Yeung Chun Sau
Director
This Quamnet announcement is dated 23 April 2004.
=================
I N D O N E S I A
=================
BANK TABUNGAN: Pefindo Assigns Bonds Ratings
--------------------------------------------
Pefindo Credit Rating Indonesia assigned a "idBBB+" rating for
PT Bank Tabungan Negara (BTNG)'s proposed Bonds X of IDR750
billion and "idBBB" for its Subordinated Bond I of IDR250
billion. At the same time, Pefindo upgraded its ratings for BTNG
and Bonds IX/2003 of IDR750 billion to "idBBB+".
The ratings reflect BTNG's strong presence in housing ownership
loan market (KPR), especially in low to middle income classes,
well-managed asset quality, and improving capitalization.
Nevertheless, although improving, BTNG still bears relatively
high cost of fund due to its unfavorable funding structure,
which eventually leads to less favorable profitability ratios
compared to that of peers.
In addition, BTNG still faces significant maturity mismatch due
to its focus on long-term house loans, whereas most of funding
are still in the form of deposits that have short maturity.
Established under the name of Postpaarbank in 1897, the bank's
name was several times changed before it is known as Bank
Tabungan Negara in 1963 up until now.
In 1974, BTNG was appointed as the housing loan financing
institution for low to medium income classes in order to support
the government's housing development program. BTNG has tapped
bond market since 1989 by issuing its five-year Bond I of IDR50
billion. Since then, BTNG has regularly issued bonds to finance
its loan expansion and reduce its maturity mismatch. Similar to
other banks, BTNG had suffered huge losses and negative equity
following the economic crisis in 1997.
As a result, in 2000, the bank was recapitalized with an
injection of IDR13.8 trillion recap bonds, which subsequently
made the bank's CAR sharply increase to 8.7% from minus 288.1%.
Following the recapitalization program and more conservative
lending, BTNG has gradually improved its performance in the past
three years.
As of December 2003, BTNG booked total assets of IDR26.8
trillion, which placed it as the 8th largest bank in the
country. The bank's operation is supported with 44 branches, 59
sub-branches, 88 cash offices and 171 fully owned ATMs in
addition to more than 4,000 units of ATM HIMBARA. As to date,
the Government of Indonesia (GOI) still holds 100% ownership of
BTNG.
* Prudential Life to Appeal Indonesian Court Decision
-----------------------------------------------------
In a company press release PT Prudential Life Assurance
disclosed that it recently terminated a consultancy contract for
agency sales force management, following legal advice. As a
result, the consultant has made a claim against PT Prudential
Life Assurance for approximately US$40 million and has filed a
bankruptcy petition in the Jakarta Bankruptcy Court. The Company
considers, on the basis of its legal advice, that the bankruptcy
petition is ill conceived.
Jakarta's Bankruptcy Court returned its verdict Friday. It held
that the Company owes the consultant approximately US$ 400,000
and as a result, has put the Company into bankruptcy. PT
Prudential Life Assurance is very surprised that the Court has
decided to accept the petition filed against it. PT Prudential
Life Assurance plans to vigorously appeal the Jakarta Bankruptcy
Court's decision.
While the appeal process is underway, Prudential' s operations
in Indonesia intend to continue business as usual. All
Prudential policies remain completely unaffected and our total
commitment to our customers and our employees continues
undiminished.
PT Prudential Life Assurance is financially very strong. Its
Risk Based Capital (RBC) ratio of 255% (as at December 31, 2003)
compares very favorably with the 100% requirement dictated by
the Ministry of Finance.
ENQUIRIES TO:
Media Investors/ Analysts
Geraldine Davies: 0207 548 3911
Steve Colton: 020 7548 3721
Rebecca Burrows: 020 7548 3537
Clare Staley: 020 7548 3719
Marina Lee-Steere: 020 7548 3511
=========
J A P A N
=========
GENERAS CORPORATION: Files for Court Protection
-----------------------------------------------
Generas Corporation has filed with the Tokyo District Court for
protection from creditors under the fast-track corporate
rehabilitation law, according to Kyodo News. The real estate
developer has total liabilities of 23.3 billion yen.
The Company's principle activity is to operate real estate. The
Company is also involved in the hotel/tourism business. Real
estate operations including construction and sales of
condominiums and apartments and rental and leasing of apartments
and buildings accounted for 77 percent of 2001 revenues; hotel
operations, 20 percent and others, 3 percent.
ADDRESS:
Web site:
http://www.chisan-tokan.co.jp/
7-8 Shibuya 1-Chome
Shibuya-Ku 150-0002, Tokyo 150-0002
Japan
BOARD OF DIRECTORS:
President - Takeshi Watanabe
Senior Managing Director - Masayuki Kato
Managing Director - Yoshihiro Gondo
Managing Director - Kenji Fukuchi
ISHIKAWAJIMA-HARIMA: R&I Downgrades Rating to BBB+
--------------------------------------------------
Rating and Investment Information, Inc. (R&I) has removed the
following ratings of Ishikawajima-Harima Heavy Industries Co.,
Ltd. from the Rating Monitor scheme and has downgraded them as
follows:
Senior Long-term Credit Rating; Long-term Bonds (9 Series)
Preliminary Rating for the Shelf Registration scheme
R&I RATING: BBB+; (Downgraded from A-; Removed from the Rating
Monitor scheme) Domestic Commercial Paper Programme
R&I RATING: a-2; (Downgraded from a-1; Removed from the Rating
Monitor scheme)
RATIONALE:
Ishikawajima-Harima Heavy Industries (IHI) has recorded a
consolidated net loss of 39 billion yen for the fiscal year
ended March 2004. This is a result of profit deterioration in
some projects, primarily in the energy and plant operations and
the shipbuilding and offshore operations, and changes to
accounting basis for recording accrued loss on sales contracts.
In view of the downward revision of business results on March
15, R&I placed the Senior Long-term Credit Rating and other
ratings for IHI on its Rating Monitor scheme with a view to
downgrading the company's ratings on March 16 and have been
conducting a review.
R&I had concerns about the expansion in business risk
accompanying IHI's active involvement in overseas business and
engineering. This substantial loss means that heightened
business risk has become a reality due to the effect of sharp
rises in raw material prices and the appreciation in the yen. In
addition, optimistic estimates of cost and technical difficulty,
mainly for overseas business, have led to significant cost
increases. Equity capital has also declined significantly, and
R&I consider that IHI's financial resilience to risk is lower
than in the past. R&I has downgraded the company's Senior Long-
term Credit Rating to BBB+, and the rating for its Commercial
Paper program to a-2 and has removed it from the Rating Monitor
scheme.
However, there are some cases that long-term large-scale
projects incur a large additional cost and a company suffers
losses only when the construction is nearing its end. While the
risk for these projects is not apparent now, it certainly cannot
be said that problems will definitely not arise in the future.
From this perspective, R&I believes although IHI has accumulated
reserves, it will not be able to cover all risks. There is a
possibility that the company's rating will be reviewed when
additional loses arise. In the near future, R&I intends to make
additional careful study of the changes in business risk due to
the strengthening of overseas business and engineering, the
latent risk in ordered projects and the effectiveness of whole
company risk management.
MITSUBISHI MOTORS: Rolf Eckrodt Steps Down as President
-------------------------------------------------------
Mitsubishi Motors Corporation (MMC) announced that Rolf Eckrodt
resigned his post as CEO and President effective as of April 26,
2004.
In a Company press release, MMC will appoint a new President,
Representative Director, soon. Until this appointment, Keiichiro
Hashimoto, board member and Chief Financial Officer, will
oversee ongoing business as interim acting President.
Eckrodt joined MMC in January 2001 as Chief Operating Officer in
charge of MMCs passenger car operations. On June 25, 2002,
Eckrodt was elected president and CEO of MMC, a position he held
until Monday.
During his tenure Eckrodt oversaw the successful implementation
of various restructuring measures and far-reaching business
reforms, the spin-off of the company's truck and bus operations
as well as a significant improvement of the operational business
in all regions except North America.
Commenting on the timing for his resignation, Eckrodt pointed to
the decision of the Supervisory Board of DaimlerChrysler neither
to participate in a capital increase nor to grant further
financial support to Mitsubishi Motors Corporation, which was
announced last Thursday.
"I strongly welcome the quick decision of Mitsubishi Heavy
Industries, Mitsubishi Corporation and Bank of Tokyo-Mitsubishi
not only to offer financial support but also to actively work
with Mitsubishi Motors Corporation on a new mid-term business
plan as announced last Friday. Based on my sense of
responsibility, I therefore decided to make way for the new team
around future chairman Okazaki," Eckrodt said. The business
revitalization team headed by Mr. Okazaki will work out this
plan within the next month based on various essential steps that
have already been analyzed and evaluated by MMC so far," Eckrodt
added.
Eckrodt also voiced his wish that MMC and especially its many
motivated and excellent employees will continue the numerous
positive processes initiated. "I hope that the support from the
shareholders side will ensure a prosperous and successful future
not only of MMC, but in the same degree also to our domestic and
international business partners, and of course most importantly
to our customers," he said.
Eckrodt will also retire from a 38-year full-time career in the
automotive business, which he started at Daimler-Benz (today
DaimlerChrysler) in 1966. At the request of Mitsubishi group
companies, Eckrodt will remain available to provide support for
MMC.
ROLF ECKRODT
Date & Place of Birth: June 25, 1942 / Gronau (Westphalia),
Germany
Education: 1966 Diploma in Mechanical Engineering
University of Bochum / Germany
PROFESSIONAL EXPERIENCE
06/2002 President and Chief Executive Officer, Mitsubishi Motors
Corporation
01/2001 Executive Vice President and Chief Operating Officer
Mitsubishi Motors Corporation
12/1998 President and Chief Executive Officer
Adtranz - DaimlerChrysler Rail Systems GmbH
08/1996 Executive Vice President and Deputy Chief Executive
Officer
Adtranz - ABB Daimler-Benz Transportation GmbH and
Chairman of the Board of Management
Adtranz - ABB Daimler-Benz Transportation (Deutschland) GmbH
05/1992 President Mercedes Benz do Brasil, S.A.
Commercial Vehicles, Trucks and Buses
01/1990 Director worldwide Sales and Marketing
Passenger Cars Mercedes-Benz AG
09/1987 Director Planning and Production
Passenger Cars and Components Daimler-Benz AG
04/1986 Executive Assistant to the Head of the Mercedes-Benz
Passenger Car Division
02/1983 Vice President Axle Production Passenger Cars
Daimler-Benz AG
1981 Project Leader Production Components Passenger Cars
Daimler-Benz AG
1968 Manager Passenger Cars
Daimler-Benz AG
04/1966 Quality Assurance Passenger Cars
Daimler-Benz AG
ADDITIONAL ASSIGNMENTS
04/1999 Honorary Consul of Brazil in Potsdam/Germany
1999 - 2000 Chairman of UNIFE (Union of European Railway
Industries)
1993 - 1996 Honorary Degree as Consulate of the Federal Republic
of Germany in Brazil
1993 - 1996 Vice President German/Brazil Chamber of Commerce Sao
Paulo, Brazil
MITSUBISHI MOTORS: Unveils March 2004 Production Sales Results
Mitsubishi Motors Corporation (MMC) on Monday announced the
production, domestic sales, and export results for March 2004
and the fiscal year ended 31 March 2004.
In a Company press release, global production in March totaled
147,438 units, a decrease of 7.1 percent compared to March last
year.
Output in Japan increased 4.5 percent to 78,655 units on the
back of added production of minicars such as the Minicab van and
truck.
Offshore production slipped 17.6 percent to 68,783 units.
Production in Asia declined 11.8 percent to 46,895 units, North
American output decreased 41.3 percent to 10,831 units, and
European production was off 9.7 percent at 5,786 units.
March sales in Japan decreased 3.5 percent on year to 59,779
units. Of this, registrations, which exclude 660cc minicars,
declined 17.8 percent to 21,243 while minicars grew 6.7 percent
to 38,536 units. MMCs share of the domestic market in March was
7.2 percent, down from 7.5 percent in March last year.
Exports from Japan declined 12.7 percent on year to 34,175
units. By region, exports to Asia jumped 51 percent to 6,122
units, exports to North America decreased 66.6 percent to 5,183
and European-bound shipments increased 13.3 percent to 11,167
units.
FISCAL 2003 RESULTS
Total worldwide production in fiscal 2003 declined 9.4 percent
on year to 1,537,469 units.
Japanese output inched down 1.9 percent to 751,843 units. Of
this, passenger car production dropped 6 percent to 638,919
units while commercial car output increased 30.1 percent to
112,924 units.
Offshore production for the year came to 785,626 units, a 15.5
percent decline compared to fiscal 2002. Production in Asia
declined 11.5 percent to 501,337 units, North American output
decreased 25.4 percent to 156,859 units, and European production
was off 14.3 percent at 75,276 units.
Domestic sales returned to growth for the first time in eight
years in fiscal 2003. MMC saw sales in Japan rise 1.1 percent on
year to 358,253 units. Registrations gained 1.5 percent to
units. MMCs share of the overall domestic market, which includes
trucks and buses, was 6.1 percent, up from 6 percent in fiscal
2002. For the passenger car only market, MMCs share rose from
6.6 percent to 6.8 percent despite a 2 percent drop in overall
demand.
The Company also saw sales return to growth in Europe after four
years of continuous decline, selling 213,700 units across Europe
for a 7 percent gain on year. Sales in Asia increased to 680,200
units for the year, representing a new record high in this
important growth region. In particular, sales in China surged
65.8 percent to 151,000 units.
Exports from Japan declined 12 percent to 376,103 units. As a
result of the spin-off of MMCs truck and bus operations in
January 2003, regional year-on-year comparisons are not
available for the fiscal 2003 period due to a change in the
system used by the company to tally exports.
by DaimlerChrysler AG not to participate in a capital increase
planned by Mitsubishi Motors Corporation and to cease further
financial support for the carmaker has no direct effect on the
group's credit rating.
Although this decision limits the uncertainty about potential
future cash contributions from DaimlerChrysler into MMC, it also
brings into question a key component of Chrysler's turnaround
strategy to improve its cost structure by sharing platforms and
procurement activities with MMC. It is not clear to us that MMC
will--under all potential scenarios--meet its contractual
requirements.
In view of these uncertainties, Standard & Poor's views this
development as slightly negative. Had the company chosen to
increase its involvement in MMC, however, the consequences might
have been even more disadvantageous. Nevertheless, Standard &
Poor's will closely monitor existing cooperations between MMC
and DaimlerChrysler operations. We also consider it likely that
there will be an impairment of the value of DaimlerChrysler's
stake in MMC (book value about EUR960 million at Dec. 31, 2003).
The strong operating and financial performance of group
divisions, including the Mercedes Car Group, Services, and
Commercial Vehicles, which is expected to continue in 2004,
provides sufficient leeway in the rating to sustain this
development.
2003 for the first time in three years, buoyed by stock market
rally, according to Kyodo News. In its consolidated earnings
report for the year to March 31, the Company posted a group net
profit of 38.70 billion yen, a reversal from a loss of 21.61
billion yen a year earlier.
For a copy of the Company's consolidated financial summary for
the year ended 31 March 2004, go to
http://bankrupt.com/misc/tcrap_nikkocordial0428.pdf
NIKKO CORDIAL: Unit Gets Administrative Action
consolidated subsidiaries of Nikko Cordial Corporation, received
an administrative action from Japan's Financial Services Agency
(FSA). The FSA determined that NCTB violated certain
requirements in its trust business. The regulatory authorities
also identified shortcomings in compliance and internal control
functions.
In a Company press release, in accordance with an order from the
FSA, NCTB will be suspended from accepting new customers for its
custody and clearing services from April 30, 2004.
The suspension does not apply to any existing custody business
or to custody services related to debt liquidation. NCTB's other
non-custodial businesses also remain unaffected.
After November 1, 2004, NCTB can request that the FSA review the
suspension order pending progress made on the business
improvement plans.
Nikko Cordial Corporation will give NCTB a great effort to
backup.
K O R E A
HYNIX SEMICONDUCTOR: Faces Setback in China Plant Plan
Hynix Semiconductor Inc.'s plan to set up a chip-manufacturing
factory in China faced a major setback Monday as creditors
disapproved its financing plan and expressed concern over who
would manage the plant, according to the Korea Times.
Hynix had planned to secure an annual production capacity of
20,000 units of 200mm wafers and 17,000-20,000 units of 300mm
wafers from late next year in the China plant. The estimated
factory plant could cost US$1.5 billion.
The chipmaker was nearly bankrupt two years ago when a glut in
the global semiconductor market forced consolidation and a shift
to flash memory chips.
JINRO INDUSTRIES: Taihan Electric Buys Firm for US$244M
-------------------------------------------------------
Taihan Electric Wire Co. recently bought a quarter interest in
Jinro Industries Co.'s debt for 280 billion won (US$244
million), in an effort to acquire the financially weak cable
maker, Yonhap News reports.
Goldman Sachs controls about a third of Jinro's 2.9 trillion won
debts and had been pushing for a sale of the distiller, which
has been under court receivership since last May, through an
auction, TCR-AP reported recently.
Jinro currently controls 55 percent of the domestic soju market
in South Korea and reported 643.3 billion won in revenue in
2003.
===============
M A L A Y S I A
===============
ANSON PERDANA: Adjourns Winding up Petition June 18
---------------------------------------------------
Anson Perdana Berhad (Anson) announced that the hearing on 23
April 2004 in respect of the winding-up petition served on the
Company by Jethsuch Sdn Bhd has been adjourned to 18 June 2004.
This Bursa Malaysia Securities Berhad announcement is dated 26
April 2004.
ANTAH HOLDINGS: Issues Default Status Update
--------------------------------------------
Antah Holdings Berhad announced that further to the Company's
announcement on 25 March 2004, there are no further developments
in respect of the default in payments of the various credit
facilities to the financial institutions and non-financial
institutions.
Antah is currently in the process of discussion and negotiations
with the lenders and creditors for the adoption of a proposed
debt-restructuring scheme.
This Bursa Malaysia Securities Berhad announcement is dated 26
April 2004.
BOUSTEAD HOLDINGS: Lists New Ordinary Shares
--------------------------------------------
Boustead Holdings Berhad (BSTEAD) would like to announce that
its additional 671,000 new ordinary shares of RM0.50 each issued
pursuant to the BSTEAD-Employees' Share Option Scheme, will be
will be granted listing and quotation with effect from 9 a.m.,
Wednesday, 28 April 2004.
This Bursa Malaysia Securities Berhad announcement is dated 26
April 2004.
KILANG PAPAN: Unveils Investigative Audit Results
-------------------------------------------------
Kilang Papan Seribu Daya Berhad (KPSD) is a PN4 Company
currently listed on the Second Board of Bursa Malaysia. A
restructuring scheme was subsequently formulated and approved in
accordance to the Pengurusan Danaharta Nasional Berhad Act,
1998.
The Securities Commission in granting their approval to the
restructuring scheme of KPSD (which includes the transfer of
listing status to West Coast Forest Industries Berhad) imposed
that KPSD appoint an experienced independent audit firm to carry
out an investigative audit on the past losses incurred by the
KPSD group. The Company is required to take the necessary steps
to recover the losses incurred by the KPSD group. Furthermore
based on the findings of the investigative audit, KPSD is
required to make reports to the relevant authorities if it is
established that there have been breaches of law, regulations,
guidelines and/or KPSD's memorandum and articles of association
that are related to the board of Directors of KPSD and/or any
other parties that have caused the said losses of the KPSD
group.
In compliance with the Securities Commission's requirement, the
Company appointed Messrs Anuarul Azizan Chew & Co (AAC) on 26
February 2002 to carry out an investigative audit. On 31 October
2003, two copies of the investigative audit reports issued by
AAC were submitted to the Securities Commission in accordance
with their requirements.
This announcement is made in accordance with the requirements of
the Securities Commission following their approval of the
restructuring scheme of KPSD dated 28 December 2002.
For a copy of the summary of transactions investigated by AAC,
go to
http://bankrupt.com/misc/tcrap_kilanpapan0428.doc
This Bursa Malaysia Securities Berhad announcement is dated 27
April 2004.
OILCORP BERHAD: Posts Changes in Director's Shareholding
--------------------------------------------------------
Oilcorp Berhad Director Mohamed Hazali Bin Dato' Seri Abu Hassan
has the intention to deal in the shares of the Company, which is
currently in the closed period pending announcement of its
results for the first quarter ended 31 December 2004. His
current shareholdings are as follows:
Name of Director: MOHAMED HAZALI BIN DATO' SERI ABU HASSAN
Direct Indirect
No. of Shares % of the Company's issued
and paid-up share capital
2,592,100 1.71
Direct Indirect
No. of Shares % of the Company's issued
and paid-up share capital
3,994,800 2.64
This Bursa Malaysia Securities Berhad announcement is dated 26
April 2004.
OCEAN CAPITAL: Announces Registrar's Change of Address
------------------------------------------------------
Ocean Capital Berhad announced on the Bursa Malaysia Securities
Berhad on 26 April that the company's share registrar Signet
Share Registration Services Sdn Bhd has moved from its old
address at the 11th Floor, Tower Block, Kompleks Antarabangsa,
Jalan Sultan Ismail 50250 Kuala Lumpur on 26 April 2004.
Signet Share is now located at Level 26, Menara Multi Purpose,
Capital Square, No. 8, Jalan Munshi Abdullah, 50100
Kuala Lumpur.
They may be contacted at telephone number 03-27212222 or
facsimile number 03-2721530 / 03-27212531.
This Bursa Malaysia Securities Berhad announcement is dated 26
April 2004.
OSK HOLDINGS: Enters Alliance With Equitable Investment
-------------------------------------------------------
The Board of Directors of OSK Holdings Berhad wishes to announce
the Company has entered into a Shareholders Agreement with
Equitable Investment Co. (Hong Kong) Ltd (EIC). In view thereof,
a 50:50 joint venture company, OSK Wealth Planners Sdn Bhd
(Company No. 650122-A) (OSKWP) was formed 22 April 2004 to carry
on the business of integrated financial planning to high net
worth clientele as governed in the Shareholders Agreement dated
26 April 2004.
The initial authorized share capital of OSKWP is RM100,000,
divided into 100,000 Ordinary Shares of RM1.00 and presently its
paid-up share capital is made up to 2 Ordinary Shares of RM1.00
each.
PARTIES TO THE JOINT VENTURE
OSK Holding Berhad is a company incorporated in Malaysia on 1
November 1990 and listed on the Main Board of Bursa Malaysia
Securities Berhad (formerly known as Malaysia Securities
Exchange Berhad) (BMSB). The present paid-up share capital of
OSK is RM619,127,961, comprising 619,127,961 ordinary shares of
RM1.00 each.
EIC is a company incorporated in British Virgin Islands on 1
October 1990. The principal activity of EIC is an investment
company.
DETAILS OF THE JOINT VENTURE
The Shareholders Agreement between the Company and EIC is not
subject to the approval of the shareholders of OSK or any other
authority.
FINANCIAL EFFECT OF THE JOINT VENTURE
There is no effect on the issued and paid-up share capital of
OSK. The joint venture is not expected to have any material
effect on the earning and net tangible assets of OSK Group for
the financial year ending 31 December 2004.
DIRECTORS' AND MAJOR SHAREHOLDERS' INTEREST
None of the existing Directors and/or Major Shareholders of OSK
and persons connected to them have any interest, whether direct
or indirect in the Shareholders Agreement.
DIRECTORS' RECOMMENDATION
The Directors of OSK are of the opinion that the joint venture
between the Company and EIC is in the best of the Group.
This Bursa Malaysia Securities Berhad announcement is dated 26
April 2004.
OSK HOLDINGS: Announces Listing of New Shares
---------------------------------------------
OSK Holdings Berhad (OSK) would like to announce that the
Company's additional 12,000 new ordinary shares of RM1.00 each
issued pursuant to the OSK-Executive Share Option Scheme will be
will be granted listing and quotation with effect from 9 a.m.,
Wednesday, 28 April 2004.
This Bursa Malaysia Securities Berhad announcement is dated 26
April 2004.
TECHNO ASIA: Slapped with Public Reprimand
Huat Berhad had assumed the listing status in place of TECASIA.
Paragraph 9.16(1)(a) of the LR states that the contents of a
press or other public announcement is as important as its
failing to take into account some significant items in the
Company's fourth quarterly report for the financial year ended
31 December 2002 (FYE 31 December 2002) which was announced to
Bursa Malaysia Securities Berhad on 28 February 2003. These
items were only adjusted in the audited accounts for the FYE 31
a variation between the un-audited profit after taxation and
minority interest of RM10.2 million and the audited profit after
taxation and minority interest of RM71.5 million for the FYE 31
December 2002.
The public reprimand was imposed pursuant to paragraph 16.17 of
the LR after taking into consideration all relevant factors,
including the fact that TECASIA has previously breached the
listing requirements of Bursa Malaysia Securities Berhad and
after consultation with the Securities Commission.
PREVIOUS PUBLIC REPRIMAND
(a) On 21 May 1998, TECASIA was publicly reprimanded for breach
of Section 57 of the Main Board Listing Requirements (MBLR) for
failing to furnish the preliminary financial statement for the
financial year ended 31 December 1997 within the timeframe
stipulated.
(b) On 16 October 1998, TECASIA was publicly reprimanded for
breach of Section 60 of the MBLR for failing to furnish the
Annual Report for the financial year ended 31 December 1997
within the timeframe stipulated.
(c) On 24 February 2001, TECASIA was publicly reprimanded for
breach of Sections 34 and 341(1) of the MBLR. TECASIA had failed
to make an immediate announcement pursuant to Section 34 of the
Westmont Mount Austin Sdn Bhd (WMA), a wholly owned subsidiary
company of the Company. The Company had also breached Section
341 of the MBLR in respect of the announcement on the
appointment of receiver and manager on WMA dated 5 January 2000
as the contents of the said announcement contradicted with its
subsequent announcement dated 12 January 2000.
(d) On 6 October 2001, TECASIA was publicly reprimanded and
fined RM25,500 for breach of Section 60(b) of the MBLR for
failing to furnish the annual audited accounts for the financial
year ended 31 December 2000 within the timeframe stipulated.
This Bursa Malaysia Securities Berhad announcement is dated 26
April 2004.
Exchange that it is in the process of negotiating with a
syndicate of private banks to raise US$120 million to refinance
the Company's existing debts and to fund further investments in
cable television operations.
certain equipment and other assets and will be guaranteed the
certain of the company's subsidiaries.
It has been the Company's practice to inform the exchange of any
developments in line with this planned fund raising activity
that will have a significant impact on the operations and
financial performance of the company.
This information is being submitted in compliance with the rules
of the Securities and Exchange Commission and the Philippine
Stock Exchange.
Pasig court to treat both secured and unsecured creditors
equally until the company has completed its financial
rehabilitation, according to the BusinessWorld online.
The order, which came out on April 19, states that secured and
unsecured creditors should be placed in equal footing during
debt repayment. Nobody should be paid ahead of the other
without insolvency or liquidation proceedings.
"The court rules that pari passu is applicable and it applies to
all creditors of BayanTel, whether secured or unsecured, in the
rehabilitation proceedings at bar," the court said.
the mortgage if the credit has already matured and is not paid.
A preference is an exception to the general rule. Hence, the law
on preference of credits is strictly construed," it added.
BayanTel's secured creditors include the Philippine National
Bank, Development Bank of the Philippines, Land Bank of the
Philippines, United Coconut Planters Bank, and Asian Finance &
Investment Corp., which the telecommunications company owes $277
million their assets placed as collateral.
Unsecured bondholders are Avenue Asia Investments, L.P., Avenue
Asia International Ltd., Avenue Asia Special Situations Fund II,
L.P., Avenue Asia Capital Partners, L.P., and Van Eck Global
Opportunity Masterfund Ltd., BayanTel owes this group $200
million dollars.
But both creditors as well as BayanTel oppose the pari passu
ruling for it allegedly violates the non-impairment of contract
clause in the constitution. But the Pasig court's defense is
that the privilege of BayanTel to prioritise the secured
creditors is just suspended so the company does not impair its
contractual obligations with banks.
"Rehabilitation is not liquidation but to rescue the distressed
corporation and continue its operations. If one creditor is
preferred to the others, the rationale behind the rehabilitation
to effect a feasible and viable rehabilitation cannot be
achieved," the court said.
It also said "equality of treatment" of BayanTel creditors would
stay until the termination of the company's rehabilitation.
First Philippine Holdings Corp. submits to the Philippine Stock
Exchange a notice on the Annual Stockholders Meeting to be held
on May 17, 2004, Monday at 3:00 p.m. at the Meralco Theater,
Lopez Building, Ortigas Avenue, Pasig City. These matters will
be discussed.
(1) Call to Order
(2) Proof of Required Notice
(3) Determination of Quorum
(4) Approval of the Minutes of the June 9, 2003 Stockholders
Meeting
(5) Reports of the Chairman and the President
(6) Approval of the December 31, 2003 Reports and the Audited
Financial Statements.
(7) Ratification of the Acts of the Board, of the Executive
Committee and of Management.
(8) Delegation of Authority to the Board relating to the
amendment of the By-Laws incorporating the procedures for the
nomination and election of independent directors.
(9) Election of Directors
(10) Appointment of External Auditors
(11) Other Matters
(12) Adjournment
For the purpose of the meeting, only stockholders of record as
of April 16, 2004 are entitled to attend and to vote in the said
meeting.
Should you be unable to attend the meeting in person, you may
want to execute a proxy in favor of a representative. The
company encloses a proxy form for your convenience. For
validation, proxies must be received by the undersigned through
our Stock Transfer Agent, Securities Transfers Services Inc. 4th
Floor, Benpres Building, Exchange Road cor. Meralco Avenue,
Pasig City on or before May 10, 2004
NATIONAL STEEL: SEC Dragging RTC's Sale Approval
National Steel Corporation's (NSC) sale to the Indian firm
Global Infrastructure Holdings Inc. (GIHL) may not push through
for the Securities and Exchange Commission (SEC) is holding back
its approval of the deal amid a legal issue, according to The
Manila Times.
The agreement between NSC and GIHL is supposed to be completed
by Wednesday, April 28, but SEC has not given their approval for
the deal yet, SEC chair Lilia R. Bautista said.
Ms. Bautista said she was still waiting for the Quezon City
Regional Trial Court to issue a temporary restraining order
(TRO), as recently requested by a landowner against the SEC and
the SEC-appointed liquidator for NSC, Danilo Concepcion.
According to a report by TCR-Asia Pacific recently, a land
dispute that resulted to a filing of a temporary restraining
order of the lots owner against NSC has derailed the sale of the
steel company to GIHL.
PHILIPPINE AIRLINES: Takes Extra Care After Strike Threats
----------------------------------------------------------
Bangkok police announced on Monday that Philippine Airlines
(PAL) was threatened by a group saying it would strike at the
airline's offices. The campaign is believed linked to U.S.-led
operations in Iraq, according to AFX-Asia.
The reported threat was issued in Thailand by a group which has
targeted Asian embassies, flights and tourist spots. However,
PAL's flight operations are normal and the carrier is
cooperating with authorities in Thailand and Philippines, PAL
spokesman Rolando Estabillo said in a statement.
"Philippine Airlines is taking all necessary precautions vis-a-
vis this threat. PAL is closely coordinating with Thai and
Philippine authorities to ascertain the veracity of the threat
and deal with it accordingly," Mr. Estabillo said.
The Philippines government has rejected calls to bring home a
small military and police contingent serving with the US-led
occupation forces in Iraq, though it has restricted them to camp
and suspended plans to send reinforcements, AFX-Asia reports.
PHILIPPINE LONG: Issues Notice of Annual Stockholders Meeting
-------------------------------------------------------------
Philippine Long Distance Telephone Company (PLDT) furnished the
Philippine Stock Exchange a copy of its Definitive Information
Statement in connection with its Annual Stockholders' Meeting,
which will be held on June 8, 2004 at 4:00 p.m. at the Grand
Ballroom, Dusit Hotel Nikko, Ayala Center, Makati City.
As previously announced, "(t)he Board of Directors has fixed
April 9, 2004 as the record date for the determination of
stockholders entitled to notice of, and to vote at, said Annual
Meeting."
Attached is a copy of the Notice of Annual Meeting of
Stockholders.
A copy of TEL's Definitive Information Statement shall be made
available for reference at the PSE Centre and PSE Plaza
libraries. The same shall likewise be made available for
downloading at the PSE website: www.pse.com.ph (under Listed
Companies).
PHILIPPINE LONG: Bags Overall Best Managed Company Award
--------------------------------------------------------
In a company press release Philippine Long Distance Telephone
Co. disclosed that:
After commemorating its 75th year as the telecommunications
giant, PLDT has another reason to celebrate. Asia Money, one of
the most influential and trusted financial magazines in Asia,
has recently recognized PLDT as the Philippines Overall Best
Managed Company. PLDT was chosen by over 200 investors from 180
institutions worldwide in the 12th annual survey conducted by
Asia Money. It has also garnered first in the following
categories:
- Best Corporate Strategy
- Best Financial Management
- Best Investor Relations
- Best Focus on Shareholder Value
- Best Operational Efficiency
- Most Improved in Corporate Governance
=================
S I N G A P O R E
=================
CYCAD PTE: Schedules Winding up Hearing
---------------------------------------
Notice is hereby given that a petition for the winding up of
Cycad (Singapore) Pte Ltd by the High Court was on the 14 April
2004 presented by Yeung Hi Hung. The said petition will be heard
before the Court sitting at the High Court in Singapore at 10
o'clock in the forenoon on the 7 May 2004. Any creditor or
contributory of the said Company desiring to support or oppose
the making of an order on the said Petition may appear at the
time of hearing by himself or his Counsel for that purpose and a
copy of the Petition will be furnished to any creditor or
contributory of the said Company requiring the same by the
undersigned on payment of the regulated charge for the same.
The Petitioner's address is Blk 155, Hougang Street 11 #02-184,
Singapore 530155.
The Petitioner's Solicitors are Messrs A.Ang, Seah & Hoe of 141
Market Street, #06-01 International Factors Building, Singapore
048944.
Messrs A.ANG, SEAH & HOE
Solicitors for the Petitioner.
Note: Any person who intends to appear at the hearing of the
said Petition must serve on or send by post to the above named
Messrs A. Ang, Seah & Hoe of 141 Market Street, #06-01
International Factors Building, Singapore 048944, notice in
writing of his intention so to do. The notice must state the
name and address of the person, or, if a firm, the name and
address of the firm, and must be signed by the person or firm,
or his or their Solicitors (if any) and must be served, or if
posted must be sent by post in sufficient time to reach the
above-named not later than twelve o'clock noon on the 6th day of
May 2004 (the day before the day appointed for the hearing of
the Petition).
FASTHUB PTE: Issues Winding up Order Notice
-------------------------------------------
Fasthub Pte Ltd issued a notice of winding up order made on the
16 April 2004.
Name and address of Liquidator: The Official Receiver
45 Maxwell Road #05-11/#06-11 The URA Centre (East Wing)
Singapore 069118.
Messrs Wong Partnership
Solicitors for the Petitioner.
This Singapore Government Gazette announcement is dated 26 April
2004.
HUA KOK: Post Changes in Audit Committee
The Board of Directors of Hua Kok International Ltd wishes to
announce the resignations of Messrs Damien Seah Yang Hwee and
Fong Nien Song as Directors of the Company with effect from 20
April 2004.
With Messrs Seah and Fong's resignation as Directors, they
ceased to be members of the Audit Committee.
Their replacements will be announced in due course.
Submitted by Phua Puay Heng, Group Financial Controller on
26/04/2004 to the SGX.
LIVONIA INVESTMENTS: Creditors Must Submit Claims by May 21
-----------------------------------------------------------
Notice is hereby given that the creditors of Livonia Investments
Pte Ltd., whose debts or claims have not already been admitted,
are required on or before 21 May 2004 to submit particulars of
their debts or claims and any security held by them to the
liquidator at its address a formal Proof of Debt in accordance
with Form 77 containing their respective debts or claims.
In default of complying with this notice they will be excluded
from the benefit of any distribution made before their debts or
claims are proved or their priority is established and from
objecting to the distribution.
Lim Say Wan
Liquidator.
C/- 6 Shenton Way
#32-00 DBS Building Tower Two
Singapore 068809.
This Singapore Government Gazette announcement is dated 23 April
2004.
MURRANNE PTE: Issues Debt Claim Notice to Creditors
Notice is hereby given that the creditors of Murranne (Holdings)
Pte Ltd (In Members' Voluntary Liquidation), whose debts or
claims have not already been admitted, are required on or before
21 May 2004 to submit the particulars of their debts or claims
and any security held by them to the liquidator at its address a
formal proof of debt in accordance with Form 77 containing their
respective debts or claims.
In default of complying with this notice they will be excluded
from the benefit of any distribution made before their debts or
claims are proved or their priority is established and from
objecting to the distribution.
Lim Say Wan
Liquidator.
C/- 6 Shenton Way
#32-00 DBS Building Tower Two
Singapore 068809.
This Singapore Government Gazette announcement is dated 23 April
2004.
PERTAMA DEVELOPMENT: Issues Winding Up Order Notice
Pertama Development Pte Ltd. issued a notice of winding up order
made on the 16 April 2004.
Name and Address of Liquidator: The Official Receiver
Insolvency & Public Trustee's Office
The URA Centre (East Wing)
45 Maxwell Road #06-11
Singapore 069118.
Leong Kwok Yan
Solicitor for the Petitioner.
Note:
(a) All creditors of the company should file their proof of debt
with the liquidator who will be administering all affairs of the
company.
(b) All debts due to the company should be forwarded to the
liquidator.
This Singapore Government Gazette announcement is dated 23 April
2004.
*********
S U B S C R I P T I O N I N F O R M A T I O N
Troubled Company Reporter -- Asia Pacific is a daily newsletter
co-published by Bankruptcy Creditors' Service, Inc., Trenton, NJ
USA, and Beard Group, Inc., Frederick, Maryland USA. Lyndsey
Resnick, Ma. Cristina Pernites-Lao, Faith Marie Bacatan,
Editors.
*** End of Transmission ***
| http://bankrupt.com/TCRAP_Public/040428.mbx |
Citation Nr: 1534091
Decision Date: 08/10/15 Archive Date: 08/20/15
DOCKET NO. 00-09 843 ) DATE
)
)
On appeal from the
Department of Veterans Affairs Regional Office in Buffalo, New York
THE ISSUES
1. Entitlement to service connection for a skin disability of the hands.
2. Entitlement to service connection for kidney cancer, to include as due to herbicide exposure.
3. Entitlement to an initial rating in excess of 10 percent for a left knee disability.
4. Entitlement to an initial rating in excess of 10 percent for a right knee disability.
5. Entitlement to an initial compensable rating for fasciculations of the face.
6. Entitlement to an initial compensable rating for fasciculations of the neck.
7. Entitlement to a total disability rating based upon individual unemployability as a result of service-connected disabilities (TDIU).
REPRESENTATION
Appellant represented by: Disabled American Veterans
WITNESS AT HEARING ON APPEAL
Veteran
ATTORNEY FOR THE BOARD
M. Mills, Associate Counsel
INTRODUCTION
The Veteran served on active duty from October 1966 to September 1970 and from December 1990 to September 1991.
These matters come to the Board of Veterans' Appeals (Board) on appeal from rating decisions dated in February 2004 and August 2010 by the Department of Veterans Affairs (VA) Regional Office (RO) in Buffalo, New York.
The Veteran provided testimony at a May 2015 hearing before the undersigned Veterans Law Judge. A transcript of the hearing is of record.
The issues of entitlement to service connection for non-Hodgkin's lymphoma, arterial fibulation or flutter, and bone cancer have been raised by the record in March 2014 and May 2015 statements, but have not been adjudicated by the Agency of Original Jurisdiction (AOJ). Therefore, the Board does not have jurisdiction over those issues, and they are referred to the AOJ for appropriate action. 38 C.F.R. ง 19.9(b) (2014).
The issue of entitlement to service connection for kidney cancer is REMANDED to the AOJ.
FINDINGS OF FACT
1. During a May 2015 hearing, the Veteran requested a withdrawal of the appeal of the claim for service connection for a TDIU.
2. The competent medical evidence of records shows that it is at least as likely as not that a skin disability of the hands, diagnosed as orf, is related to active service.
3. The Veteran's left knee disability is manifested by painful motion and limitation of flexion to at most 100 degrees.
4. The Veteran's right knee disability is manifested by painful motion and limitation of flexion to at most 130 degrees.
5. From June 26, 2009, the Veteran's fasciculations of the face were manifested by no more than moderate disability.
6. From June 26, 2009, the Veteran's fasciculations of the neck were manifested by no more than moderate disability.
CONCLUSIONS OF LAW
1. The criteria for withdrawal of an appeal by the Veteran of the claim for a TDIU are met. 38 U.S.C.A. ง 7105 (West 2014); 38 C.F.R. ง 20.204 (2014).
2. Resolving all reasonable doubt in favor of the Veteran, the criteria for service connection for a skin disability of the hands are met. 38 U.S.C.A. งง 1110, 1131, 5107 (West 2014); 38 C.F.R. งง 3.102, 3.159, 3.303 (2014).
3. The criteria for a disability rating in excess of 10 percent for a left knee disability are not met. 38 U.S.C.A. ง 1155, 5107 (West 2014); 38 C.F.R. งง 3.159, 4.1, 4.7, 4.10, 4.40, 4.45, 4.59, 4.71a, Diagnostic Code 5260 (2014).
4. The criteria for a disability rating in excess of 10 percent for a right knee disability are not met. 38 U.S.C.A. ง 1155, 5107 (West 2014); 38 C.F.R. งง 3.159, 4.1, 4.7, 4.10, 4.40, 4.45, 4.59, 4.71a, Diagnostic Code 5260 (2014).
5. Resolving all reasonable doubt in favor of the Veteran, from June 26, 2009, but not earlier, the criteria for a 10 percent rating for fasciculations of the face have been met. 38 U.S.C.A. งง 1155, 5107 (West 2014); 38 C.F.R. งง 3.102, 3.159, 4.1, 4.3, 4.20, 4.27, 4.124a, Diagnostic Code 8103 (2014).
6. Resolving all reasonable doubt in favor of the Veteran, from June 26, 2009, but not earlier, the criteria for a 10 percent rating for fasciculations of the neck, have been met. 38 U.S.C.A. งง 1155, 5107 (West 2014); 38 C.F.R. งง 3.102, 3.159, 4.1, 4.3, 4.20, 4.27, 4.124a, Diagnostic Code 8103 (2014).
REASONS AND BASES FOR FINDINGS AND CONCLUSIONS
Withdrawal
The Board may dismiss any appeal which fails to allege specific error of fact or law in the determination being appealed. 38 U.S.C.A. ง 7105 (West 2014). A substantive appeal may be withdrawn on the record during a hearing, and at any time before the Board promulgates a decision. 38 C.F.R. งง 20.202, 20.204 (2014). Withdrawal may be made by the Veteran or the authorized representative. 38 C.F.R. ง 20.204 (2014).
On the record during a March 2015 hearing, the Veteran requested withdrawal of the appeal of the claim for TDIU. Therefore, there remain no allegations of errors of fact or law for appellate consideration with respect to this claim. Thus, the Board does not have jurisdiction to review the appeal as to that claim, and it must be dismissed.
Duties to Notify and Assist
Upon receipt of a substantially complete application, VA must notify the claimant and any representative of any information, medical evidence, or lay evidence not previously provided to VA that is necessary to substantiate the claim. The notice must: (1) inform the claimant about the information and evidence not of record that is necessary to substantiate the claim; (2) inform the claimant about the information and evidence that VA will seek to provide; and (3) inform the claimant about the information and evidence the claimant is expected to provide. 38 U.S.C.A. งง 5103, 5103A, 5107 (West 2014); 38 C.F.R. ง 3.159 (2014); Pelegrini v. Principi, 18 Vet. App. 112 (2004). If VA does not provide adequate notice of any of element necessary to substantiate the claim, or there is any deficiency in the timing of the notice, the burden is on the claimant to show that prejudice resulted from any notice error. Shinseki v. Sanders, 129 S.Ct. 1696 (2009).
The Board finds that any defect with regard to the timing or content of the notice to the appellant is harmless because of the thorough and informative notices provided throughout the adjudication and because the appellant had a meaningful opportunity to participate effectively in the processing of the claim with an adjudication of the claim by the RO subsequent to receipt of the required notice. The record does not show prejudice to the appellant, and the Board finds that any defect in the timing or content of the notices has not affected the fairness of the adjudication. Mayfield v. Nicholson, 19 Vet. App. 103 (2005); Dingess v. Nicholson, 19 Vet. App. 473 (2006). Specifically, the Veteran was notified in letters dated July 2003, March 2006, April 2009, February 2010, and August 2010.
The Veteran has neither alleged nor demonstrated any prejudice with regard to the content or timing of the notice provided. Shinseki v. Sanders, 129 S. Ct. 1696 (2009) (burden of showing an error is harmful or prejudicial falls on party attacking agency decision); Mayfield v. Nicholson, 444 F.3d 1328 (Fed. Cir. 2006). The Board considers it significant that the subsequent statements made by the Veteran and representative suggest actual knowledge of the elements necessary to substantiate the claim. Dalton v. Nicholson, 21 Vet. App. 23 (2007) (actual knowledge is established by statements or actions by claimant or representative that demonstrate awareness of what is necessary to substantiate claim).
Thus, VA has satisfied the duty to notify the appellant and had satisfied that duty prior to the adjudication in the September 2013 supplemental statement of the case. Overton v. Nicholson, 20 Vet. App. 427 (2006) (Veteran afforded a meaningful opportunity to participate effectively in adjudication of claim, and therefore notice error was harmless).
The Board also finds that the duty to assist requirements have been fulfilled. All relevant, identified, and available evidence has been obtained, and VA has notified the appellant of any evidence that could not be obtained. The appellant has not referred to any additional, unobtained, relevant, available evidence. VA has obtained an examination with respect to the claims. Thus, the Board finds that VA has satisfied the duty to assist. No further notice or assistance to the Veteran is required to fulfill VA's duty to assist in development. Smith v. Gober, 14 Vet. App. 227 (2000); Dela Cruz v. Principi, 15 Vet. App. 143 (2001); Quartuccio v. Principi, 16 Vet. App. 183 (2002).
Service Connection
Service connection may be granted for a disability resulting from disease or injury incurred in or aggravated by active service. 38 U.S.C.A. งง 1110, 1131 (West 2014). To establish service connection for a disability, a Veteran must show: (1) the existence of a present disability; (2) in-service incurrence or aggravation of a disease or injury; and (3) a causal relationship between the present disability and the disease or injury incurred or aggravated during service. Shedden v. Principi, 381 F.3d 1163 (Fed. Cir. 2004). The absence of any one element will result in denial of service connection. Coburn v. Nicholson, 19 Vet. App. 427 (2006).
When a claimant seeks benefits and the evidence for and against the claim is in relative equipoise, the claimant prevails. 38 U.S.C.A. ง 5107 (West 2014); 38 C.F.R. ง 3.102 (2014); Gilbert v. Derwinski, 1 Vet. App. 49 (1990). The preponderance of the evidence must be against a claim for the claim to be denied. Alemany v. Brown, 9 Vet. App. 518 (1996).
Skin Disability of the Hands
The Veteran contends that during service in Southwest Asia that he lived in an area that had been formerly used for raising sheep by sheep herders. He contends the conditions were unsanitary and that he was exposed to sheep feces and open sewers. He submitted three buddy statements in support of those contentions.
In an October 2003 statement, R.M. noted the unsanitary conditions at locations such as Griffin Base from around January 1991 to May 1991. R.M. stated that he and the Veteran lived in facilities where sheep were herded and fed before slaughtering. R.M. contended that they had to live in tents during the compound clean-up.
In an October 2003 statement, J. E. indicated that Griffin Base was a former fattening station for sheep before they were sent to market, and that across from the base was a facility for mixing barley into sheep food. J.E. stated that the conditions were very unsanitary, and that the Veteran served in the locations from around January 1991 to June 1991.
In a September 2004 statement, R.D. noted that during service with the Veteran in Saudi Arabia from around January 1991 to September 1991, that they lived at various locations where sheep and goats were kept. They lived, worked, ate, and slept in those locations, which included Griffin Base and Khobar Towers. The areas were filthy and required extensive cleaning.
The Veteran also submitted copies of a personal journal kept during this service, in which he commented about the unsanitary living conditions. He also submitted photographs of Kuwait and Saudi Arabia showing camels and presumably the inside of a compound.
The Board finds the Veteran's reports of in-service exposure to sheep and animal byproducts to be competent and consistent with his service record and the lay statements of record. Moreover, the Board finds the lay evidence submitted to show exposure to sheep as credible for the purposes of this decision.
In a June 2000 pathology report, T.N., Helm, M.D, a private physician with certification in dermatopathology, shows the Veteran sought treatment for nodules on his fingers. The specimens were excised and examined. Dr. Helm determined the biopsy was consistent with the differential diagnoses of orf and milkers' nodule. However because of the full thickness necrosis, a diagnosis of orf was rendered.
In a July 2000 letter, Dr. Wirth, a private dermatologist, stated orf is a viral inoculation of the skin usually obtained from sheep. Dr. Wirth indicated the Veteran had no previous exposure to livestock prior to his visit to the Middle East, which was likely causal for his development of orf.
In a September 2000 letter, C. Brass, M.D., a private infectious disease physician, indicated that the Veteran had histologic evidence of orf.
On VA examination in October 2003, the examiner opined that the Veteran had dyshidrotic eczema. The examined opined that the diagnosis of orf would be unlikely because usually with orf, a patient gets a lesion once and then develops an immune response to it. The examiner noted that while the Veteran had indirect contact with sheep, there was no direct contact. The examiner also opined that the skin lesions did not resemble orf as shown in textbooks. The examiner further noted that orf would have developed earlier than it did in the Veteran, and that there was no documentation of a rash in service. Finally, the examiner found that dyshidrosis was a more plausible diagnosis.
A November 2003 VA treatment record shows the Veteran sought treatment for urticaria, or hives. The assessment was idiopathic urticaria, the only association was orf, and pox virus chronic and recurring since first Gulf War. The record noted orf was diagnosed at VA multiple times.
In a March 2005 letter, Dr. Wirth stated that the Veteran's diagnosis of orf was based on clinical and histologic findings. Dr. Wirth noted that the possibly of antibodies forming was possible, but stated he could not comment on a diagnosis of dyshidrotic eczema as he only saw the Veteran for the hand nodules.
In a July 2007 letter, Dr. Wirth stated it was at least likely as not that the Veteran's skin condition developed in the Middle East.
On review of the record, including literature submitted by the Veteran, orf is an infection caused by a member of the parapoxvirus genus of the poxvirus family. It is endemic in Africa, the Middle East, the Indian subcontinent, and much of Asia. It is rarely seen in North America. It is a disease widespread in sheep and goats, and can be transmitted to humans through contact with infected animals, carcasses, or contaminated nonliving material such as fences, barn doors, feeding troughs, or shears. Orf normally affects the hands, fingers, or forearms.
Resolving all reasonable doubt in favor of the Veteran, the Board finds that service connection is warranted for a skin disability of the hands, diagnosed as orf based on the favorable private medical opinions of record. The Board has given consideration to both the positive and negative evidence of record and finds that the overall evidence to be at least in relative equipoise on whether the Veteran has a skin disability of the hands that is at least as likely as not due to service. While the October 2003 VA opinion is unfavorable to the claim, the focus of the opinion was largely limited to determining whether the Veteran had a diagnosis of orf. Private examiners specializing in infectious disease and dermatopathology have diagnosed orf based on pathology reports. Furthermore, there are several opinions of record, which the Board finds to be credible and persuasive regarding the etiology of the Veteran's skin disability of the hands.
When, after careful consideration of all procurable and assembled data, a reasonable doubt arises regarding service origin, the degree of disability, or any other point, the reasonable doubt will be resolved in favor of the claimant. 38 C.F.R. ง 3.102 (2014). Therefore, resolving all reasonable doubt in favor of the appellant, the Board finds that service connection is warranted for a skin disability of the hands, diagnosed as orf. 38 U.S.C.A. ง 5107(b) (West 2014); Gilbert v. Derwinski, 1 Vet. App. 49 (1990).
Increased Ratings
Disability ratings are based upon the average impairment of earning capacity as determined by a schedule for rating disabilities. 38 U.S.C.A. ง 1155 (West 2014); 38 C.F.R. Part 4 (2014). Separate rating codes identify the various disabilities. 38 C.F.R. Part 4 (2014).
The determination of whether an increased rating is warranted is based on review of the entire evidence of record and the application of all pertinent regulations. Schafrath v. Derwinski, 1 Vet. App. 589 (1991). Where there is a question as to which of two ratings shall be applied, the higher rating will be assigned if the disability picture more nearly approximates the criteria for that rating. Otherwise, the lower rating will be assigned. 38 C.F.R. ง 4.7 (2014).
The Board will consider entitlement to staged ratings to compensate for times since filing the claim when the disability may have been more severe than at other times during the course of the claim on appeal. Fenderson v. West, 12 Vet. App. 119 (1999); Hart v. Mansfield, 21 Vet. App. 505 (2007).
When there is an approximate balance of positive and negative evidence regarding any issue material to the determination of a matter, VA shall resolve reasonable doubt in favor of the claimant. 38 U.S.C.A. ง 5107 (West 2014); Gilbert v. Derwinski, 1 Vet. App. 49 (1990).
Right Knee and Left Knee Disabilities
An August 2010 rating decision granted service connection for right and left knee disabilities effective March 13, 2009, under Diagnostic Code 5003-5260. Hyphenated diagnostic codes are used when a rating under one diagnostic code requires the use of an additional diagnostic code to identify the basis for the rating assigned; the additional code is shown after the hyphen. 38 C.F.R. ง 4.27 (2014).
Under Diagnostic Code 5003, a rating of 10 percent is provided for degenerative arthritis of a major joint or group of minor joints that is established by x-ray findings with pain and noncompensable limitation of motion. A rating under Diagnostic Code 5003 cannot be combined with a rating based on limitation of motion. A 20 percent rating is warranted with incapacitating episodes. 38 C.F.R. ง 4.71a, Diagnostic Code 5003 (2014).
Under Diagnostic Code 5260, limitation of flexion of the knee to 60 degrees warrants a 0 percent rating. Limitation of flexion to 45 degrees warrants a 10 percent rating. Limitation of flexion to 30 degrees warrants a 20 percent rating. Limitation of flexion to 15 degrees warrants a 30 percent rating. 38 C.F.R. ง 4.71a, Diagnostic Code 5260 (2014).
The Schedule provides that the normal range of motion of the knee is 0 degrees of extension to 140 degrees of flexion. 38 C.F.R. ง 4.71, Plate II (2014).
Separate ratings can be assigned for the same knee joint for limitation of extension, limitation of flexion, and recurrent subluxation or lateral instability. However, to assign a separate compensable rating, the criteria for a compensable rating must be met under both sets of criteria. VAOPGCPREC 9-98 (1998), 63 Fed. Reg. 56704 (1998); VAOGCPREC 23-97 (1997), 62 Fed. Reg. 63604 (1997).
Other diagnostic codes relating to the knee are Diagnostic Code 5256 (ankylosis), Diagnostic Code 5257 (recurrent subluxation or lateral instability), Diagnostic Codes 5258 and 5259 (symptomatic dislocation and/or removal of semilunar cartilage), Diagnostic Code 5261 (limitation of extension), Diagnostic Code 5262 (impairment of tibia and fibula) and Diagnostic Code 5263 (genu recurvatum). 38 C.F.R. ง 4.71a (2014).
In rating disabilities of the musculoskeletal system, additional rating factors include functional loss due to pain supported by adequate pathology and evidenced by the visible behavior of the claimant undertaking the motion. 38 C.F.R. ง 4.40 (2014). Inquiry must also be made as to weakened movement, excess fatigability, incoordination, and reduction of normal excursion of movements, including pain on movement. 38 C.F.R. ง 4.45 (2014). The intent of the schedule is to recognize painful motion with joint or periarticular pathology as productive of disability. It is the intention to recognize actually painful, unstable, or malaligned joints, due to healed injury, as entitled to at least the minimum compensable rating for the joint. 38 C.F.R. ง 4.59 (2014). When assigning a disability rating, it is necessary to consider functional loss due to flare-ups, fatigability, incoordination, and pain on motion. DeLuca v. Brown, 8 Vet. App. 202 (1995).
A March 2009 VA treatment record noted abnormal gliding of the left knee patella with standing squat and in supine knee extension to knee flexion. Laxity was noted with testing of the medial structure of the knee. The Veteran reported increase in buckling of the knee resulting in falls.
On VA examination in July 2009, the Veteran reported daily flare-ups of pain aggravated by bending, stooping, squatting, kneeling, climbing stairs, or moving heavy objects. He reported use of a cane primarily for the left knee. There was walking with a pronounced antalgic gait. Physical evaluation revealed that the left knee was slightly tender upon deep palpation of the anterior aspect. Flexion was 0 to 100 degrees with slight pain at 90 degrees and extension with no pain. Repetitive motion testing reduced flexion to 90 degrees due to pain and lack of endurance. The left knee was stable in terms of normal function of the medial and lateral collateral ligaments and the anterior and posterior cruciate ligaments. The right knee was normal on inspection and palpation. There was no effusion. Flexion was to 130 degrees with no pain. Extension was to 0 degrees with no pain. Repetitive motion testing revealed no changes in range of motion. The examiner noted the right knee was completely stable. There was x-ray evidence of degenerative joint disease of both knees.
A June 2010 VA treatment record notes the Veteran reports falling a lot due to the left knee. He also reported the top part slid down the end.
On VA examination in October 2010, the Veteran reported constant pain in the left knee with buckling all the time. He reported use of a cane to prevent buckling. He denied any locking. He reported lack of endurance after walking and needing to rest. There was no effusion of the knee. There was no history of swelling, heat, or redness associated with the knee. He reported use of a brace when it bothered him during a flare-up. He reported bi-weekly flare-ups with pain at a 10 out of 10 lasting for two to three hours. The Veteran denied any incapacitating episodes. Functional assessment revealed he could walk 60 feet and stand 5 to 10 minutes. He denied any knee prosthesis. Left knee range of motioned testing revealed flexion to 120 degrees with pain at 110 degrees and extension to 5 degrees. Repetitive motion testing revealed no change in range of motion or increase pain or worsening of fatigue or lack of endurance. For the right knee, the Veteran reported pain at a constant 8 out of 10. He denied buckling. There was no locking, heat, redness, tenderness, or drainage. He denied any flare-ups of the right knee. Physical examination revealed right knee flexion to 140 degrees and extension to 0 degrees, with no pain. Repetitive range of motion testing revealed no change in range of motion or increased pain or worsening of fatigue or lack of endurance. There was no motion for the medial and lateral stress and anterior and posterior stress stability tests. McMurray test was negative.
A December 2010 internal medicine examination, part of the Veteran's Social Security Administration records, noted knee flexion to 120 degrees bilaterally. There were no evidence subluxations, contractures, or ankylosis. There was mild thickening of both knees. The joints were stable and nontender. There was no redness, heat, swelling, or effusion. The examiner noted mild limitation in kneeling and climbing due to knee pain.
During the May 2015 hearing, the Veteran reported additional functional loss with flare-ups of pain for the knees. He reported stiffening, locking, and popping. He reported use of a cane and braces for the knees. He indicated that the left knee was worse than the right knee and reported 15 to 20 falls during the previous year. In regard to falls, the Veteran indicated that he moved the furniture in his home to catch himself to prevent falls.
The Board finds that the Veteran is not entitled to a rating in excess of 10 percent for the either knee disability based on limitation of motion. There is no evidence of record indicating that he had limitation of flexion to 30 degrees or less to warrant a higher 20 percent rating, even considering the range of motion after repetitive testing and any additional loss of function due to pain or other factors. In fact, while the Veteran reported pain on motion, his left knee flexion was limited to at worst 90 degrees after repetitive motion testing. The Board finds that the knee disabilities are consistent with the assigned 10 percent rating. The Board reaches the same conclusion even when considering functional loss due to pain. 38 C.F.R. งง 4.40, 4.45, 4.59 (2014); DeLuca v. Brown, 8 Vet. App. 202 (1995). The Board finds that the 10 percent ratings adequately compensates the Veteran for any pain, tenderness, weakness, and incoordination associated with the service-connected knee disabilities, and none of the findings have been shown to be so disabling as to, effectively, result in ankylosis as required for a higher rating under Diagnostic Code 5256. 38 C.F.R. ง 4.71a (2014). While the VA examiners noted pain on range of motion, the maximum ranges of motion were not reduced on repetitive motion testing and are the most persuasive measure of remaining functional capacity of the knees. Moreover, the Veteran is not entitled to a higher evaluation under Diagnostic Code 5003.
The Board also notes that at no time was extension of either knee limited to 10 degrees to warrant a separate compensable rating, even when considering any additional loss of motion due to pain and other factors. 38 C.F.R. ง 4.71a, Diagnostic Code5261 (2014). The examinations have never shown limitation of extension to 10 degrees. Furthermore, because the 10 percent ratings assigned are based on limitation of motion, they cannot be combined with ratings based on arthritis of a major joint. In addition, incapacitating episodes are not shown. 38 C.F.R. ง 4.71a, Diagnostic Codes 5003, 5010 (2014).
The evidence also did not show instability such that any separate compensable rating could be assigned under Diagnostic Code 5257. 38 C.F.R. ง 4.71a (2014). Although the Veteran reported use of a cane and buckling in the left knee and laxity was noted in the March 2009 VA treatment record, objective stability tests on VA examination in July 2009 and October 2010 were normal. There were no medical or lay reports of subluxation or dislocation. Furthermore, the Veteran's left knee complaints of stiffening, popping, and buckling are considered in the 10 percent rating for limitation of motion. Therefore, the Board finds that a separate rating under Diagnostic Code 5258 for either knee is not warranted. 38 C.F.R. ง 4.71a (2014). The preponderance of the evidence is against a finding that slight recurrent lateral instability or subluxation is present.
Consideration has been given to assigning a separate rating for the right knee or the left knee, under Diagnostic Code 5259. However, the Board notes that there is no evidence that the Veteran has or had cartilage removed from either knee. Therefore, a separate rating under Diagnostic Code 5259 is not warranted for either knee. 38 C.F.R. ง 4.71a (2014).
The evidence does not show that any separate compensable rating could be assigned for limitation of extension as extension was to 0 degrees on the VA examinations for the right knee and to at worst, 5 degrees for the left knee on VA examination in October 2010. Limitation of extension to 10 degrees that would warrant a compensable rating is not shown for either knee. 38 C.F.R. ง 4.71a, Diagnostic Code 5261 (2014).
There is no evidence of tibia or fibula impairment to warrant a separate compensable rating under Diagnostic Code 5262. 38 C.F.R. ง 4.71a, Diagnostic Codes 5262 (2014).
Consideration has been given to assigning a separate rating for the right knee or left knee, under Diagnostic Code 5263. However, the Board notes that there is no objective evidence of genu recurvatum in either knee. Therefore, a separate rating under Diagnostic Code 5263 is not warranted for either knee. 38 C.F.R. ง 4.71a (2014).
Consideration has been given to assigning staged ratings. However, at no time during the period in question has the disability warranted higher schedular ratings than those assigned. Fenderson v. West, 12 Vet. App. 119 (1999); Hart v. Mansfield, 21 Vet. App. 505 (2007).
The Board has also considered whether this case should be referred to the Director of the VA Compensation and Pension Service for consideration of the assignment of an extra-schedular rating. 38 C.F.R. ง 3.321(b)(1) (2014).
The first step is to determine whether the evidence before VA presents such an exceptional disability picture that the available schedular ratings for that service-connected disability are inadequate. Thun v. Peake, 22 Vet. App. 111 (2008). Therefore, initially, there must be a comparison between the level of severity and the symptomatology of the claimant's disability with the established criteria provided in the rating schedule for the disability. In this case, the rating criteria for the musculoskeletal system reasonably describe the Veteran's disability level and symptomatology, and provide for consideration of greater disability and symptoms than currently shown by the evidence. The evidence does not show anything unusual or exceptional that would make the schedular criteria inadequate in this case.
In the case at hand, the record shows that the manifestations of the Veteran's knee disabilities are contemplated by the schedular criteria. There is no indication that the average industrial impairment from the knee disabilities is in excess of that contemplated by the assigned rating. A higher rating is available for more severe levels of impairment, but the Veteran does not meet the criteria for the higher rating based on the demonstrated range of motion. The evidence also does not show marked interference with employment or frequent hospitalization. Therefore, the Board finds that referral for extra-schedular consideration is not warranted.
Accordingly, the Board finds that the criteria for initial 10 percent ratings for the right and left knee disabilities were met from March 13, 2009, and the preponderance of the evidence is against the assignment of any higher rating. 38 U.S.C.A. ง 5107(b) (West 2014); Gilbert v. Derwinski, 1 Vet. App. 49 (1990).
Fasciculations of the Face and Neck
An August 2010 rating decision granted service connection for benign fasciculations of the neck and face with a 0 percent rating effective June 26, 2009, under Diagnostic Codes 5325-8103. 38 C.F.R. ง 4.27 (2014).
Under Diagnostic Code 5325 (muscle injury, facial muscles), functional impairment is rated as seventh (facial) cranial nerve neuropathy (Diagnostic Code 8207), disfiguring scar (Diagnostic Code 7800), etc. Minimum, if interfering to any extent with mastication is 10 percent.
Under Diagnostic Code 8103 (tic, convulsive), mild disability warrants a 0 percent rating, moderate disability warrants a 10 percent rating, and a severe disability warrants a 30 percent rating. A note indicates rating depending upon frequency, severity, and muscle groups involved.
Under Diagnostic Code 8207 (paralysis of seventh (facial) cranial nerve), incomplete, moderate paralysis warrants a 10 percent rating, incomplete, severe paralysis warrants a 20 percent rating, and complete paralysis warrants a 30 percent rating. A note indicates these ratings are dependent upon relative loss of innervation of facial muscles. 38 C.F.R. ง 4.124a, Diagnostic Code 8207, Note.
A September 2011 VA EMG revealed an abnormal study. There was electrophysiologic evidence of mild ulnar neuropathy at the left elbow. In addition, the presence of frequent fasciculation potentials in the absence of ongoing denervation or chronic reinnervation suggests a benign fasciculation syndrome.
In a September 2009 letter, C.M. Deakin, M.D. indicated that during an August 2009 evaluation, the Veteran reported intermittent muscle fasciculations that impaired his ability to function and led to chronic insomnia, depression, and anxiety. Later that month, the Veteran reported diminished fasciculations due to medication.
On VA examination in May 2010, the Veteran reported persistent fasciculations in the neck and face that were worse at rest and night resulting in difficulty sleeping. Physical examination of the facial and neck muscles revealed fasciculations. Muscles showed normal power, tone, and bulk. There was no atrophy or deformity noted. Pupils were equal and reactive to light and accommodation. Extraocular movements were intact. Facial sensation was intact in all three distributions in the trigeminal nerve. Cranial reflexes were normal bilaterally, and muscles on mastication were intact. Muscles for facial expression were intact and symmetric. Cranial nerve 9 showed normal reflexes. The examiner diagnosed benign fasciculations involving the face and neck.
In a September 2012 statement, N. Silvestri, M.D. indicated that the muscle twitching the Veteran experienced in his face and neck was due to the same condition causing it in his arms and legs, benign fasciculation syndrome.
In the May 2015 Board hearing, the Veteran reported daily fasciculations of the face and neck lasting from 20 minutes to 10 hours. He indicated that it was more active during eating and sleeping affecting the entire neck and face. He stated that the jaw area was most affected.
Resolving all reasonable doubt in favor of the Veteran, the Board finds separate 10 percent ratings are warranted for the fasciculations of the face and neck, effective June 26, 2009, the date of service connection. The Veteran has consistently reported fasciculations during the appeal of varying degree. A private examiner noted in September 2009 that the Veteran initially reported intermittent fasciculations that diminished due to medication. Then, on VA examination in May 2010, the Veteran reported persistent fasciculations worse at rest and during the nighttime. During the May 2015 Board hearing, the Veteran reported daily fasciculations lasting varying lengths of time. When considering the frequency, severity, and location of the fasciculations of the face and neck, the Board finds the fasciculations of the face and neck are no more than a moderate disability which is consistent with a 10 percent rating under Diagnostic Code 8103 (tic, convulsive).
The Board finds that the Veteran is not entitled to a rating in excess of 10 percent for the fasciculations of the face and neck. Given the absence of constant fasciculations of the face and neck, the Veteran's disabilities cannot be better characterized as severe disability to warrant a higher rating under Diagnostic Code 8103.
The Board has considered other relevant diagnostic codes. There is no evidence of interference with mastication to warrant a 10 percent rating under Diagnostic Code 5325. There is no evidence of paralysis of the seventh cranial nerve to warrant a higher rating based on loss of innervation of facial muscles under Diagnostic Code 8207.
Consideration has been given to assigning staged ratings. However, at no time during the period in question has the disability warranted higher schedular ratings than those assigned. Fenderson v. West, 12 Vet. App. 119 (1999); Hart v. Mansfield, 21 Vet. App. 505 (2007).
The Board has also considered whether this case should be referred to the Director of the VA Compensation and Pension Service for consideration of the assignment of an extra-schedular rating for all the time periods under consideration. 38 C.F.R. ง 3.321(b)(1) (2014).
The first step is to determine whether the evidence before VA presents such an exceptional disability picture that the available schedular ratings for that service-connected disability are inadequate. Thun v. Peake, 22 Vet. App. 111 (2008). Therefore, initially, there must be a comparison between the level of severity and the symptomatology of the claimant's disability with the established criteria provided in the rating schedule for the disability. In this case, the rating criteria for the fasciculations of the face and neck reasonably describe the Veteran's disability level and symptomatology, and provide for consideration of greater disability and symptoms than currently shown by the evidence. The assigned rating considers the severity, frequency, and location of the Veteran's disability. The evidence does not show anything unusual or exceptional that would make the schedular criteria inadequate in this case. The evidence does not show marked interference with employment or frequent hospitalization. Moreover, a higher rating is available for more severe levels of impairment, but the Veteran does not meet the criteria for the higher rating based on reported symptomatology.
Accordingly, the Board finds that a 10 percent rating, but not higher, is warranted for fasciculations of the face and neck as of June 26, 2009. However, the preponderance of the evidence is against the assignment of a rating higher than 10 percent for fasciculations of the face and neck. 38 U.S.C.A. ง 5107(b); Gilbert v, Derwinksi, 1 Vet. App. 49 (1990).
ORDER
Service connection for a skin disability of the hands is granted.
An initial rating in excess of 10 percent for a left knee disability is denied.
An initial rating in excess of 10 percent for a right knee disability is denied.
A 10 percent rating, but not higher, from June 26, 2009, for fasciculations of the face, is granted.
A 10 percent rating, but not higher, from June 26, 2009, for fasciculations of the neck, is granted.
The appeal of entitlement to TDIU is dismissed.
REMAND
A September 2014 rating decision denied service connection for kidney cancer. In September 2014, the Veteran submitted a notice of disagreement with that decision. A review of the record shows that the Veteran has not been issued a statement of the case in response to that notice of disagreement. Therefore, the appropriate Board action is to remand that issue for issuance of a statement of the case. Manlincon v. West, 12 Vet. App. 238 (1999).
Accordingly, the case is REMANDED for the following action:
Issue a statement of the case which addresses the issue of entitlement to service connection for kidney cancer, to include as due to herbicide exposure. Inform the Veteran of his appeal rights and that he must file a timely substantive appeal if he desires appellate review. If the Veteran perfects an appeal, return the case to the Board.
The Veteran has the right to submit additional evidence and argument on the matter the Board has remanded. Kutscherousky v. West, 12 Vet. App. 369 (1999).
This claim must be afforded expeditious treatment. The law requires that all claims that are remanded by the Board or the United States Court of Appeals for Veterans Claims for additional development or other appropriate action must be handled in an expeditious manner. 38 U.S.C.A. งง 5109B, 7112 (West 2014).
______________________________________________
Harvey P. Roberts
Veterans Law Judge, Board of Veterans' Appeals
Department of Veterans Affairs | https://www.va.gov/vetapp15/Files4/1534091.txt |
IJERPH | Free Full-Text | ZanzaMapp: A Scalable Citizen Science Tool to Monitor Perception of Mosquito Abundance and Nuisance in Italy and Beyond
Mosquitoes represent a considerable nuisance and are actual/potential vectors of human diseases in Europe. Costly and labour-intensive entomological monitoring is needed to correct planning of interventions aimed at reducing nuisance and the risk of pathogen transmission. The widespread availability of mobile phones and of massive Internet connections opens the way to the contribution of citizen in complementing entomological monitoring. ZanzaMapp is the first mobile & ldquo;mosquito& rdquo; application for smartphones specifically designed to assess citizens& rsquo; perception of mosquito abundance and nuisance in Italy. Differently from other applications targeting mosquitoes, ZanzaMapp prioritizes the number of records over their scientific authentication by requesting users to answer four simple questions on perceived mosquito presence/abundance/nuisance and geo-localizing the records. The paper analyses 36,867 ZanzaMapp records sent by 13,669 devices from 2016 to 2018 and discusses the results with reference to either citizens& rsquo; exploitation and appreciation of the app and to the consistency of the results obtained with the known biology of main mosquito species in Italy. In addition, we provide a first small-scale validation of ZanzaMapp data as predictors of Aedes albopictus biting females and examples of spatial analyses and maps which could be exploited by public institutions and administrations involved in mosquito and mosquito-borne pathogen monitoring and control.
ZanzaMapp: A Scalable Citizen Science Tool to Monitor Perception of Mosquito Abundance and Nuisance in Italy and Beyond
by
Beniamino Caputo 1,† ,
Mattia Manica 1,2,† ,
Federico Filipponi 3 ,
Marta Blangiardo 4 ,
Pietro Cobre 1 ,
Luca Delucchi 2 ,
Carlo Maria De Marco 1 ,
Luca Iesu 5 ,
Paola Morano 6 ,
Valeria Petrella 5 ,
Marco Salvemini 5 ,
Cesare Bianchi 6 and
Alessandra della Torre 1,*
1
Department of Public Health & Infectious Diseases, Laboratory affiliated to Istituto Pasteur Italia—Fondazione Cenci Bolognetti, Sapienza University of Rome, 00185 Rome, Italy
2
Department of Biodiversity and Molecular Ecology, Research and Innovation Centre, Fondazione Edmund Mach, 38010 San Michele all’Adige, Italy
3
Institute for Environmental Protection and Research (ISPRA), via Vitaliano Brancati 48, 00144 Roma, Italy
4
MRC Centre for Environment and Health, Department of Epidemiology and Biostatistics, School of Public Health, Faculty of Medicine, Imperial College London, London W2 1PG, UK
5
Department of Biology, University of Naples Federico II, 80126 Naples, Italy
6
GH s.r.l., via Petralia Sottana, 11, 00132 Rome, Italy
*
Author to whom correspondence should be addressed.
Int. J. Environ. Res. Public Health 2020 , 17 (21), 7872; https://doi.org/10.3390/ijerph17217872
(This article belongs to the Special Issue Ecology, Epidemiology, Surveillance, and Control of Vectors and Vector-Borne Pathogens in Temperate Regions )
Abstract
Mosquitoes represent a considerable nuisance and are actual/potential vectors of human diseases in Europe. Costly and labour-intensive entomological monitoring is needed to correct planning of interventions aimed at reducing nuisance and the risk of pathogen transmission. The widespread availability of mobile phones and of massive Internet connections opens the way to the contribution of citizen in complementing entomological monitoring. ZanzaMapp is the first mobile “mosquito” application for smartphones specifically designed to assess citizens’ perception of mosquito abundance and nuisance in Italy. Differently from other applications targeting mosquitoes, ZanzaMapp prioritizes the number of records over their scientific authentication by requesting users to answer four simple questions on perceived mosquito presence/abundance/nuisance and geo-localizing the records. The paper analyses 36,867 ZanzaMapp records sent by 13,669 devices from 2016 to 2018 and discusses the results with reference to either citizens’ exploitation and appreciation of the app and to the consistency of the results obtained with the known biology of main mosquito species in Italy. In addition, we provide a first small-scale validation of ZanzaMapp data as predictors of
Aedes albopictus
biting females and examples of spatial analyses and maps which could be exploited by public institutions and administrations involved in mosquito and mosquito-borne pathogen monitoring and control.
Keywords:
citizen science
;
mosquito
;
nuisance
;
biting activity
;
tiger mosquito
;
Aedes albopictus
1. Introduction
Mosquitoes are among the deadliest animals worldwide due to their capacity to transmit pathogens (e.g., malaria parasites and arboviruses, such as yellow fever, dengue and Zika) affecting hundreds of million people and causing more than 700,000 deaths/year, primarily in tropical regions. As vaccines for most mosquito-borne diseases are not yet available, the prevention of this huge burden to human health largely focuses on tackling the mosquito vectors, primarily through large-scale insecticide-based interventions at country/regional level, with very high costs on a global scale.
In temperate regions, however, mosquitoes are mostly perceived as a nuisance, in spite of the fact that mosquito-borne viruses, such as the West Nile virus, are endemic in several European and North American Countries. Moreover, the colonization of these regions by invasive species (typically belonging to the genus
Aedes
), ongoing since the eighties, has led to several cases of autochthonous transmission of exotic arboviruses such as dengue in Europe and USA [
1
,
2
], Zika in the USA [
3
], and to two chikungunya outbreaks with hundred human infections in Italy [
4
]. Differently from mosquito control interventions aimed at preventing disease transmission in tropical areas, interventions for nuisance (and risk of pathogen transmission) reduction purposes in temperate regions are rarely organized at country/regional level and largely implemented by private pest control companies appointed either by municipalities to treat public areas or by citizen to treat private ones.
In both cases, the foundations for the planning of appropriate control plans lie on a good knowledge of the mosquito species behavior, spatial distribution and temporal dynamics, as well as on a constant assessment of the field-efficacy of the implemented control measures [ 5 , 6 , 7 ]. Indeed, large-scale implementation of surveillance and monitoring activities is very challenging and costly, posing serious constraints to both the optimization of control plans and to the assessment of the risk and dynamics of pathogen transmission [ 8 ], particularly in temperate regions where public health threats and available resources are limited. The extensive availability of mobile phones and of Internet connections opens the way to the contribution of the citizenry in solving/minimizing this problem [ 9 ]. Indeed, in recent years, citizen science data have been reliably exploited for wildlife surveys by successfully linking citizens to academics and produced very relevant outputs [ 10 ]. In Europe, citizen science projects exploiting data from mobile phone applications have been proposed to complement mosquito surveillance in several countries [ 11 ]. In the Netherlands, Muggenradar has been used as an effective method to clarify the distribution of the biotypes of the night biting urban mosquito— Culex pipiens —thanks to the physical collection (by citizen) and identification (by scientists) of specimens from all over the country [ 12 ]. In Germany, Mückenatlas has allowed detection of changes in the country mosquito fauna, again based on samples collected from the citizens and mailed to specialists [ 13 ]. In Spain, Mosquito Alert has provided a comprehensive picture of the ongoing invasion of the country by the Asian tiger mosquito ( Aedes albopictus ) [ 9 ]; it also provided the first record of a second invasive species, Aedes japonicus [ 14 ], and revealed a clear pattern of passive dispersal by cars [ 15 ], thanks to photos sent by citizens to a specialist entomology team.
ZanzaMapp (manufacturer, city, country) is the first mobile “mosquito” application for smartphones specifically designed to contribute to the assessment of the perception of mosquito abundance and nuisance in Italy. Differently from the other applications mentioned above, ZanzaMapp prioritizes the number of records to their authentication. For this reason, ZanzaMapp 1.1.1 (GH s.r.l., Rome Italy) was designed to require the least possible effort and to offer the smoothest experience to users, who were not asked to send mosquito photos or samples, but only to fill an easy and quick questionnaire. We envisaged that an app with these characteristics could provide valuable data on mosquito spatial and temporal dynamics both on a large-scale (e.g., to build information-based models on the risk of arbovirus transmission) and on a local-scale (e.g., to identify spatio-temporal hot-spots of mosquito abundance on which to focus control interventions or to assess the effectiveness of the interventions), as well as a significant contribution to the education of citizens on mosquito prevention and control. Indeed, both ZanzaMapp and the associated website provide easy access to scientifically validated information on basic mosquito morphology and bionomics, on the pathogens they transmit, and on control methods and personal protection measures. The present paper analyses ZanzaMapp data obtained from 2016 to 2018 and discusses the results with reference to the exploitation and appreciation of the app by citizens, and to the data consistency with the known biology of the main mosquito species in Italy. In addition, we present the results of a first field validation of ZanzaMapp data as predictors of
Ae. albopictus
biting females and provide examples of large- and local-scale spatial representations of perceived mosquito abundance highlighting the potential of ZanzaMapp to contribute to the correct planning of control interventions. Finally, the paper discusses the added value of complementing conventional entomological surveillance/monitoring schemes with citizen science data collected by smart-phone apps.
2. Materials and Methods
2.1. ZanzaMapp Design and Release
ZanzaMapp is the result of a collaborative effort between the Medical Entomology group of the Department of Public Health and Infectious Diseases in SAPIENZA University and GH s.r.l., a start-up of SAPIENZA University. The app was implemented as a HTML Single Page Application, so it runs both in a normal browser, as a web app, and wrapped in a native app (both Android (GH s.r.l., Rome, Italy) and iOS (GH s.r.l., Rome, Italy)) with Cordova. It is freely available in the Android and iOS app stores (currently available in version 1.1.2, which also includes the possibility to upload photographical records) and on the project’s website [
16
].
The present work focuses on data collected by ZanzaMapp 1.1.1 (workflow shown in
Figure S1
). Users are requested to fill in a brief questionnaire consisting in 4 multiple choice questions (Q): Q1—number of observed mosquitoes (possible answers: 0, 1–3, 3–30, >30); Q2—the time of the observation (possible answers: within an hour from the record; previous night; morning; afternoon); Q3—the location of the observation (possible answers: indoor vs. outdoor); Q4—observation associated to biting activity (possible answers: no, low, high). Questions 1 and 2 are compulsory (1,2) and are followed by the geo-location of the record. Questions 3 and 4 are optional, in order to minimize the effort requested to the user and likely maximize the number of records. Both the native app and the web app use the geolocation capabilities of the users’ devices to show the location on a map of the device at the moment the record is sent, and a pin is displayed by default in this location. Users are allowed to move the pin to a different location, if needed, as the record could refer to observations in the 24 h before it is sent (see Q2). Anonymized data are collected in a server, and a map including all the reports sent by all users in the previous week (completed with a heat map to show the areas of greater mosquito’s abundance) is made available to all users in the native-app and the web-app.
Both native-app and web-app included sections/folders with (i) in-depth educational materials on mosquito species’ cycle, ecology, and public health relevance and (ii) recent news on mosquitoes and mosquito-borne diseases in Italy and beyond.
The ZanzaMapp release on 4 May 2016 was followed by various advertising initiatives, particularly in weeks 18–19 when it was advertised by interviews in national TV news (RAI, Canale 5, SKY) and radio programmes and in national newspapers. In 2017, following the Chikungunya outbreak in the Lazio region, ZanzaMapp was promoted through a national television scientific dissemination programme (GEO RAI3, week 38) and in national and regional (Lazio) TV newscasts (week 41) and newspapers. In September 2016, ZanzaMapp was promoted in the island of Procida (Naples, Italy) within the framework of field site validation (see Pilot field validation below). In addition, in spring and autumn 2016 and 2017, ZanzaMapp was promoted through dedicated seminaries among students of Parasitology and Zoology at the Faculties of Medicine and of Biological Science of the La Sapienza and Tor Vergata Universities in Rome. No promotion was carried in 2018. Except for the advertisement during the pilot study in Procida and for the mentioning of ZanzaMapp in a local TV interview by the Mayor of Bari at the XXIX Congress of the Italian Society of Parasitology in June 2016, no public administration promoted ZanzaMapp use during the study period.
2.2. Descriptive and Statistical Analyses
Descriptive statistics were computed to characterize app usage and user engagement based on ZanzaMapp records provided by citizen scientists across Italy from May 2016 to the end of 2018. In order to optimise the dataset to be analysed, a data cleaning procedure was applied, which removed records with default coordinates (when no GPS service is available the app opens the map at a default location) and records with coordinates outside Italy.
We collected data on following environmental variables at each record location: (i) elevation (Source: available from ISPRA SINAnet [
17
]); (ii) imperviousness in a 150 m buffer, corresponding to a percentage of the substitution of the original (semi-) natural land cover or water surface with an artificial, often impervious cover(computed from Imperviousness dataset available from ISPRA SINAnet [
17
]); (iii) distance from the coastline (computed from coastline available from the Italian National Geoportal, [
18
]); (iv) distance from inland waters (computed from inland water bodies and river network available from the Italian National Geoportal, [
18
]). For each environmental variable we obtained a distribution of values and calculated the frequency distribution in each reported mosquito abundance category (0, 1–3, 3–30 and >30 mosquitoes.
The relationship between the number of records and human population density was assessed by linear regression. The number of records and the total population within each Italian province were log-transformed (base10) and used as dependent and independent variables, respectively.
A Generalized Additive Model (GAM) with Binomial distribution was applied to analyse the seasonal dynamics of mosquitoes as monitored by users. The following environmental variables were considered: (i) mean daily temperature, obtained from the gap-free daily MODIS Land Surface Temperature maps, a dataset created by Fondazione E. Mach using the Metz et al. 2014 [
19
] procedure applied to MODIS LST version 6, with a final resolution of 250 m; the temperature value corresponds to the pixel value at the coordinates of the records. (ii) Human population data obtained from the GSH-POP raster dataset with a spatial resolution of 9 arcsec; in this case, too, the selected valued is the value of the pixel identified by the coordinates of the records. All the data were managed with the GRASS GIS software [
20
].
The GAM was applied to a subset of data, considering only records flagged as being made in the last hour and during 2017 and 2018, to assess mosquito daily activity only and to avoid the confounding effect of the advertising campaign in the first weeks after the release of ZanzaMapp in June 2016. The records for each location i, day j and hour h (y
ijh
) were categorized as high abundance (>3) or low abundance (≤3) and then modelled as a Bernoulli variable (Y). The logit transformed probability was regressed against year, period (summer, April to October; winter, December to March) and population density with a linear term, while for mean daily temperature (LST), and the interaction between hour of the day and period we considered thin plate splines.
y ijh ~ Bernoulli (p ijh ),
(1)
Logit (p ijh ) = year j + period j + population i + f (LST ij ) + f (hours h × period j ),
(2)
E (Y) = p,
(3)
Var (Y) = p (1 − p)
(4)
The GAM was trained on a subset of the considered data (80%), and the model performance was evaluated on the excluded data (test set).
2.3. Management and Spatial Representation Tool
An analytical tool coded in R language was developed in order to allow the simple and automatic processing of spatialized ZanzaMapp records (or of other spatialized mosquito data), analyse the report dataset, create map layouts and export results. The tool was bundled in the R package “CSmosquitoSp” (available at [
21
]) that makes it possible to combine spatialized mosquito data with spatialized information (presently available for the Italian territory only) corresponding to polygons representing administrative boundaries at different levels (i.e., provinces, municipalities, sub-municipalities, spatial grids) and incorporating information about human population, or alternatively, representing other custom polygon layers. Qualitative information about mosquito abundance, reported by citizen scientists in discrete numeric classes (0, 1–3, 3–30, >30 mosquito), is transformed into a numeric scale representing the median value for each class (0, 2, 17, 34 mosquito). The converted reports can be aggregated for a specified time interval over each spatial polygon using basic statistical methods (i.e., average), and positive records are computed as the percentage of records with a number of observed mosquitos >0. The perceived mosquito abundance is computed as fraction abundance (ranging from 0 to 1) for each polygon, by averaging the numeric transformed reports in a specific time interval. “Fraction abundance” is a fractional value, scaled in the range 0–1, of mosquito abundance. A value of “0” represents a spatial polygon where all records in a specific time interval reported a ZanzaMapp abundance of “0” (None) mosquitoes. A value of “1” represents a spatial polygon where all records in a specific time interval reported a ZanzaMapp abundance of “>30” mosquitoes. The fractional value is computed after converting the class records to class median values and averaging all the records inside each spatial polygon for a specific time interval. When scaling in the range 0–1, the divisor corresponds to the highest-class median value (i.e., 34). The following associated information related to uncertainties can be also computed: (i) reliability, expressed as the coefficient of variation calculated from the reports; (ii) sampling effort, representing the ratio between number of reports and human population. Optionally, the analysis can take into account the time of observation, in order to estimate the perceived abundance during daytime and night-time, i.e., associated to diurnal (e.g.,
Ae. albopictus
in urban areas) and nocturnal (e.g.,
Cx pipiens
in urban areas) species. Aggregating reports within administrative polygons to calculate the perceived mosquito abundance makes it possible to analyse the spatial and temporal distribution, combine them with the quantitative information about the human population, and support the integration with HLC estimates.
CSmosquitoSp has been employed to create some examples of possible maps obtainable from the ZanzaMapp records (see Conclusion Section). To this aim, qualitative information about mosquito abundance, reported by citizen scientists in discrete numeric classes, is represented as perceived mosquito fraction abundance.
2.4. Pilot Field Validation
ZanzaMapp data were compared with the results of conventional entomological monitoring carried out in September 2016 in Procida island, a small (3.7 km
2
), highly touristic Mediterranean island in the gulf of Naples (Italy). The island is largely urbanized and densely inhabited (2833 inhabitants/km
2
—ISTAT 31/12/2018); this population density approximately doubles during the summer months, because of tourism. The typical architecture is characterised by family houses with their own ornamental and vegetable gardens, with plenty of opportunities for
Ae. albopictus
larval development (e.g., buckets filled with rainwater for plant watering).
An intensive entomological field monitoring was carried out daily from 9 to 15 September, except for 14 September, due to adverse weather conditions, for a total of 6 days of collections. Human Landing Collections (HLCs) were carried out during the hours of highest
Ae. albopictus
activity (9:30–12:30; 14:30–19:30) in 164 randomly selected sampling spots by two teams of two trained people (all co-authors of the present paper). All experiments were performed in accordance with WHO guidelines and Italian regulations. The project was approved by the Municipality of Procida with municipal resolution n°52 of 7 July 2016. Considering the absence of arboviruses spreading in the study area and the methods utilized, no additional permits were required. In each sampling spot, HLC were carried out simultaneously for 5 min by the two collectors located at a 50-meter distance from each other. Collected mosquitoes were stored in silica gel for subsequent morphological identification.
The use of ZanzaMapp was promoted among the citizens and tourists in Procida in the weeks before and during the entomological monitoring by an advertising campaign in the municipality website and in local newspapers, as well as by hundreds of flyers disseminated in public places (bars, restaurants, shops).
The ZanzaMapp records from 2 September to 16 September 2017 were transformed into a numeric scale from 0 to 3 corresponding to 0, 1–3, 3–30 and >30 mosquito reported, respectively. The transformed ZanzaMapp records were then aggregated over spatio-temporal windows (see below) and compared to HLC data. The spatio-temporal windows were centred on each HLC. Different time-windows were considered in order to find the best balance between choosing a too large, and likely inaccurate, window or a too small one, which would likely imply the need to eventually discard a considerable number of HLC data and ZanzaMapp records. In order to explore how the choice of spatio-temporal windows could affect the relationship between observed HLC values and ZanzaMapp records, we considered for each HLC: (i) 11 spatial (circular) buffers of increasing radius (50 m step increases, from 50 to 500 m) centred on the HLC spot; (ii) 6 time windows starting from 6 days before the HLC and ending the day after sampling completion (as users may enter in the app a record referring to the previous night). For all transformed records falling inside a spatio-temporal window, we computed a spatially weighted mean of aggregated ZanzaMapp records (WM), with the weight (w) computed as a linear function of the radius of the buffer (centred in a HLC spot):
w
= −(1/radius) × distance + 1. Following this transformation, the WM values range from 0 (users record zero abundance) to 1 (very high abundance). HLC data not associated to any ZanzaMapp record within any specific spatio-temporal windows were discarded, implying that the sample database size depends on the choice of the spatio-temporal window considered. Thus, information criteria approaches could not be used to compare models.
Regression models were created for each spatio-temporal window to investigate the relationship between the predictive performance of aggregated ZanzaMapp records and HLC data. The model was fitted using the Integrated Nested Laplace Approximation approach (INLA) in a Bayesian framework, whose flexibility and computational efficacy allow to extend the model in the future, if needed. The response variable was HLC count observations (y
ij
) at location i and day j and modelled as a Poisson (Y).
yij ~ Poisson (λ ij )
(5)
log(λ ij ) = WM i + D i + hour ij + OP ij + ε j + ξ i
(6)
E (Y) = λ
(7)
Var (Y) = λ
(8)
Covariates were WM, % of wood (classified from aerial images available from the Italian National Geoportal [
18
]) at buffer 20 m radius centred on the HLC spot, distance (D) from coastline (m) (computed from coastline available from the Italian National Geoportal [
18
]), hour of HLC, and a qualitative variable differentiating the technicians (OP). Moreover, the model considered a random effect (ε) for the collection day with Half-Cauchy priors and a spatial field (ξ) modelled using Stochastic Partial Differential Equation (SPDE) with Matérn correlation. For each model, the following data were computed: (i) sample size, (ii) median number of records inside tested spatio-temporal windows, (iii) mean values and credible intervals of all parameter, (iv) Root mean squared error between predicted and observed HLC values in the test set.
3. Results
3.1. Citizen Interest and Commitment
The numbers and temporal distributions of the 13,669 individual devices which downloaded ZanzaMapp and provided at least one record (10,669, 2206, and 794 in 2016, 2017, and 2018, respectively; hereafter referred to as new users) reflect the intensity of the advertisement efforts, with main peaks associated to major advertising events on national TV and radio programmes (blue bars in
Figure 1
a). In the first week after the release of ZanzaMapp (week 18) and the three TV interviews (week 19, 2016), 4194 new users were recruited. Afterwards, the numbers declined to ~100/week at the end of August and were negligible during the overwintering season (i.e., after October 2016 until the end of May 2017). In late spring/summer 2017 (in the absence of a specific promotion of ZanzaMapp in the media), new users were <100/week until mid of September, when their rapidly increased up to 811 in the second week of October. This is likely to be associated to the Chikungunya virus outbreak, which caused almost 500 infected cases in Lazio in September–October 2017 [
4
] and which was largely covered by the media, creating serious concern in the population: This created the opportunity to promote again ZanzaMapp in TV and newspaper interviews. In 2018, when no advertisement was carried out, new users were <50/week. Of the overall users, 55 recruited in 2016 and 167 recruited in 2017 were still active in 2018.
Figure 1.
ZanzaMapp records from 2016 to 2018. (
a
) weekly distribution of mosquito abundance categories (0, 1–3, 3–30, >30, multicolour bars) and new users (blue bars). Range of y-axis varies between panels referring to different years in order to help interpretation; (
b
) spatial distribution.
A total of 36,867 records were obtained for the Italian territory from May 2016 (first record sent 4 May 2016 09:09:50 utc) to end of 2018 (last record sent 31 December 2018 22:10:32 utc). Of these, 1968 were discarded due to default coordinates, resulting in 34,899 records considered for subsequent analyses (hereafter referred as records). As in the case of new users, the weekly distribution of records in the 3 years is highly uneven, reflecting again the intensity of the advertising campaign, but also mosquito seasonality, and indicating that users were more motivated to use the app when their perception of mosquito abundance (and nuisance) was higher (multicolour bars in
Figure 1
a). The highest number of records (~5500) was obtained in the first week following ZanzaMapp release. Afterwards, records were >1000/week until end of July, >500/week until mid-September and decreased down to <50/week until the end of 2016. In 2017, records increased to ~150/week in the summer months until the second half of September, when they increased to 1366/week in late September/early October. From November 2017 to March 2018 (when at least the majority of
Ae. albopictus
is overwintering) records were <50/week (with no records in January and February 2017), and they increased to 200/week in second half of August.
Of the 13,669 users, 64.6% submitted 1 record only, 15.2% of them 2 records, 16.7% 3–10 records, and 3.5% >10 records. In the case of recurrent users (i.e., users that submitted >1 record), the median and mean number of days between records was ~3 and 12 days (with highly skewed intervals between records, i.e., 25%, 50%, and 75% quantile of intervals between successive records <17 h, ~3 and 8.1 days, respectively, with 95% of intervals shorter than 43 days). This pattern is consistent with the temporal dynamics of records shown in Figure 1 a.
With reference to the time of the observations, 9.2%, 21.8%, 22.9%, and 46.2% of the records were obtained in the morning, in the afternoon, in the night, or in the last hour, respectively, with patterns changing among years, whose biological significance is not straightforward to interpret ( Figure S2 ).
The geographic distribution of the records was nationwide (
Figure 1
b), with a median and mean distance between records of ~1.5 km and 27.6 km, respectively (25%, 50%, and 75% quantile distance between records of 43 m, 1.5 km and 11.4 km, respectively, with 95% of intervals <120 km). A linear association is observed between ZanzaMapp records and population densities at log10 scale (where a 10-fold increase in population density correspond in a 19.7 increase in the number of records;
Figure S3
), confirming the expectation that the highest number of records would come from highly populated areas. The majority of records are from the Lazio Region (19.6%, 45.2%, and 34.2% in 2016 (total = 25,578), 2017 (total = 6187) and 2018 (total = 3134), respectively), reflecting the location of most of the people involved in the studies, Rome, and, in 2017, the increased interest in the app elicited by the chikungunya outbreak in the region [
4
].
Overall, results suggest a high success of ZanzaMapp in attracting potential users (as shown by the high numbers of new users following major TV promotion events) and a limited one in eliciting long-lasting commitment. The latter one, however, was not to be expected, as ZanzaMapp 1.1.1 did not provide the users with any feedback, incentive and/or notification (e.g., a connection with public health administrations, which could guarantee mosquito control interventions in areas with high numbers of high abundance records). These are known to be the key factors to ensure a long-lasting use of citizen science-based app/projects over time [
22
,
23
]. Interestingly, however, the not negligible number of citizens sending >10 records (472) and the fact that they were scattered across Italy (and not concentrated in Rome, where the authors of the paper encouraged colleagues, students and acquaintances to use the app) suggest an interest from a potentially high number of citizen in contributing to mosquito monitoring efforts.
The above data refer to records associated with the two compulsory questions in ZanzaMapp (i.e., the number of mosquitoes observed and the time of the observation) which precede the record geo-localization on the map and the possibility for users to consult the map and see their own records as well as records from other users. The commitment of users was further assessed by looking at the proportions of records including feedback on the two optional questions, i.e., 77.5% (26,363/34,899) of records including feedback on the location of the observation (52% indoors vs. 48% outdoors) and 60.4% (12,889/21,329, following inclusion of this question in the app on 15-06-2016) including feedback on mosquito biting activity (no bites vs few bites vs several bites). This suggests that the majority of users felt engaged in completing the questionnaire but raises the question whether it would have been better to make the two questions compulsory before the geo-localization and the saving of the records. Indeed, this depends on the relevance of the questions (which in this case were aimed at differentiating between diurnal and nocturnal mosquito species and at assessing the nuisance level, respectively), and on the significance of the feedback obtained (see below).
3.2. Mosquito Abundance Records and Biological Significance
The analysis of the records of mosquito abundance obtained depicts scenarios that are overall consistent with the known biology and population dynamics of
Ae. albopictus
and
Cx pipiens
(i.e., the most widespread species in Italy, particularly in urban areas from where most records were obtained), although some critical elements/biases are noticeable.
The results of the spatial analysis for the whole set of data ( Figure S4 ) show that (i) the no mosquito category is more frequent than the other categories at higher elevations, reflecting the less permissive eco-climatic situation beyond 500 m [ 24 , 25 ]; (ii) the high abundance categories are more frequent in areas without full artificial surface cover, in agreement with recognised hot-spots in small green areas within a highly urbanized environment in Italy [ 6 , 26 ]; (iii) the high abundance categories are more frequent in areas closer to the coastline; notably, although no entomological data are available to confirm this results, it is noteworthy that all outbreaks of chikungunya in Italy started in coastal sites [ 4 ]; (iv) lack of clear distribution patterns related to distance from inland water bodies.
The results of the temporal analysis show first of all a clear seasonal pattern (with values >75% from week 20 to 43) in the proportion of the different categories of mosquito abundance recorded (0, 1–3, 3–30 and >30 mosquitoes) (
Figure 2
). The patterns of the two highest abundance categories (>30? mosquitoes) closely reflect expectations based on known mosquito seasonality in Italy, while the pattern of the low abundance categories (1–3 mosquitoes) show high frequencies also in the winter months (with peaks >50% in November 2017–March 2018). The latter results are consistent with previous reports of overwintering adults of the two most widespread urban species,
Ae. albopictus
and
Cx pipiens
, in Italy [
27
,
28
]. However, it should be noted that a bias towards positive records is to be expected, as citizens are more motivated to send a record when they see a mosquito or are bitten by it. This general bias is likely to be stronger in the winter months, when users can completely forget about ZanzaMapp unless they unexpectedly see a mosquito and are more motivated to send a record by the unexpected encounter, than in warmer months when mosquito presence is the rule.
Figure 2.
Seasonal distribution of proportion of ZanzaMapp mosquito abundance categories. Dark blue = zero mosquito/week (m/w); light blue = 1–3 m/w; green = 3–30 m/w; yellow = >30 m/w; Gap between week 51 of 2016 and week 8 of 2017 is due to lack of records.
Second, the GAM implemented to test the relationship between records of low (≤3) and high (>3) perceived mosquito abundance in 2017 and 2018 and human population density, temperature and hour of the day revealed interesting features ( Table 1 ). The probability of recording a high mosquito abundance followed a similar dynamic in 2017 and 2018, increasing with temperatures up to 29 °C and decreasing at higher temperatures ( Figure 3 ). This is consistent with the biology and seasonal dynamics of the main mosquito species in Italy [ 29 , 30 ]. In the summer period, high abundance records are higher in the morning (between 9:00 and 11:00) and in the afternoon-evening (between 17:00 and 22:00) consistent with the biting patterns of Ae. albopictus [ 31 ] and Cx pipiens [ 32 ]. This relationship is not observed during the 2017–2018 winter period (November-March). Interestingly, the probability of recording high mosquito abundance negatively correlates to human population density, consistently with the fact that, at a given absolute density of mosquito, the mosquito/host rate decreases at higher human density. This draws attention to a (largely neglected) bias in the estimates of human-mosquito contact (and consequent risk of arbovirus transmission) based on estimates of mosquito abundance obtained by entomological monitoring only and highlights the possible value of the citizen science approaches to correct this bias.
Figure 3.
Thin plate splines (y-axis: smoothers) from GAM testing the relationship between ZanzaMapp records of low (≤3) and high (>3) mosquito abundance and human population density, temperature, and hour of the day in 2017 and 2018. LST = land surface temperature. Solid lines represent the mean fitted values, dashed lines represent the 95% confidence intervals.
Table 1. Result of Generalized Additive Model (GAM) testing the relationship between ZanzaMapp records of low (≤3) and high (>3) mosquito abundance and human population density, temperature, and hour of the day in 2017 and 2018. Human population density was standardized (mean = 376.282, standard deviation = 375.856).
Notably, the testing of GAM performance to evaluate model accuracy in predicting high-mosquito abundance based on available data (human population density, temperature, and hour of the day) confirms that the model underestimates user’s records of high mosquito abundance. Specifically, in the train test, the model correctly classified the occurrence of mosquito resulting in a good (i.e., 70.1%) match between fitted and observed values (fitted values classified positive when >0.5). However, the model produced a 25% of false negative predictions (fitted value <0.5 but observed positive record). The same pattern was observed in the test set with the GAM correctly predicting 69.5% of observations (95% CI 67.4–71.8) but showing a 26.2% of false negatives. In other words, the model underestimates high-mosquito abundance, as reported by ZanzaMapp users. This is relevant particularly with reference to the potential use of model estimates to infer mosquito abundance.
Third, the relationship between the proportion of ZanzaMapp records of no, low, high biting activity and records of no, (0), low (1–3), high (3–30) very high (>30) mosquito abundance shows a strong consistency between a prevalence of no-bites records and records of lack of mosquitoes and between a prevalence of high biting activity and records of very high mosquito abundance ( Figure 4 ). This strengthens the quality of the reports and the significance of the possibility of exploiting them to assess mosquito abundance and mosquito/human contacts.
Figure 4. Proportion of ZanzaMapp records of no, low, high biting activity within the 4 mosquito abundance categories (0, 1–3, 3–30, >30).
Finally, we compared the population dynamics of the mosquito records reported from outdoors in the morning/afternoon (likely mostly associated to
Ae. albopictus
) versus those reported from indoors in the night hours (likely mostly associated to
Cx pipiens
). The results (not shown) are not consistent with the expectation to see different dynamics reflecting the earlier start of the reproductive season for
Cx pipiens
compared to
Ae. albopictus
. This suggests that, in the current form, ZanzaMapp does not discriminate between an exophilic/diurnal and endophilic/nocturnal species, possibly due to the low number of night hour-records.
3.3. Pilot Field Test Validation in Procida Island.
Human Landing Catches (HLCs) and ZanzaMapp promotion were implemented in September 2016 in the island of Procida ( Figure 5 A). Overall, 191 ZanzaMapp records from 75 users from the island were obtained. Of these, 15.7% were recorded during night hours and were discarded from the subsequent analyses, as they likely referred to nocturnal mosquito species (e.g., Cx pipiens ) rather than to Ae. albopictus , which was the only species collected during the diurnal HLCs carried out in the same week, yielding a total of 764 females and 52 males.
Figure 5. Procida Island (Gulf of Naples, Italy). ( A ) Location of ZanzaMapp records (red circles) and Human Landing Collections (HLC; black squares) in September 2016. ( B ) Aedes albopictus abundance estimate based on ZanzaMapp records. Black lines represent roads.
In order to be able to validate the results obtained by ZanzaMapp as a method to estimate
Ae. albopictus
abundance/nuisance, we first explored how the choice of different spatio-temporal windows could affect the relationship between the observed HLC values and the ZanzaMapp records. The results showed a positive relationship between the weighted mean and HLC for some spatio-temporal windows. Shortest (i.e., 1 day or 50 m) and longest (i.e., >3 days or >150 m) spatial/temporal windows provided lower or not significant correlations (
Figure S5
). This pattern is probably due to the scarcity of data (in the shortest spatio-temporal windows), as well as to possible heterogeneities in mosquito distribution or to the inclusion of records which were temporally or spatially unrelated to the HLC observations (given the wider spatio-temporal windows). These findings suggest that the most appropriate way to obtain valuable information regarding mosquito abundance from ZanzaMapp records is to consider records sent within 100 m and in the 2–3 days preceding the HLCs.
Figure 5
B shows the estimated abundance of
Ae. albopictus
adults in Procida island based on a 100 m-3 days spatio-temporal window.
4. Discussion
A few citizen-science projects have been developed over the last years to complement and/or replace laborious and expensive entomological monitoring and ultimately contribute to prevent the risk of mosquito borne diseases [
9
]. In particular, two of the most successful ones, MosquitoAlert in Spain and Mückenatlas in Germany [
13
], focus on monitoring the spread of invasive
Ae. albopictus
—which is still in a process of expansion in these Countries—and to identify other possible invasive
Aedes
species. ZanzaMapp was developed in Italy—where
Ae. albopictus
and
Cx pipiens
are the most common species in urban areas—with the alternative/complementary goal to monitor citizen’s perception of mosquito abundance and nuisance. This means that while MosquitoAlert and Mückenatlas goals are to obtain validated records of the invasive species (by photos and biological samples, respectively), the objective of ZanzaMapp is to obtain as many reports of mosquito presence/nuisance as possible. This was pursued by asking citizens to fill in a very simple and fast questionnaire which was expected to increase the number of records but did not allow validated species identification. Therefore, for their inherent nature, ZanzaMapp data are affected by several biases, such as differences in individual perception, mistakes in the recording procedures, misidentification of other insects as mosquitoes, limits in differentiating between day- and night-biting species. Nevertheless, the results highlight a consistency between the patterns obtained by the analysis of ZanzaMapp records and the known spatio-temporal dynamics of the main mosquito in Italy. Given that the highest number of records is shown to come from highly populated areas, it is reasonable to assume that the results obtained mostly refer to
Ae. albopictus
and
Cx pipiens
, although this may not be the case in some areas. Moreover, the results from the pilot experiments conducted in Procida island show that a relationship exists between ZanzaMapp records and the number of host-seeking
Ae. albopictus
. Further studies are needed to confirm this on a wider geographical scale.
While the high numbers of downloads and records obtained with a very limited advertising effort support the potential for a widespread use of ZanzaMapp, the results showed that most users did not felt engaged in an actual monitoring activity over time. This was not unexpected, given that ZanzaMapp 1.1.1 did not provide any feedback, nor rewards to users. A possible relevant feedback could be represented by maps of mosquito abundance/nuisance produced on the basis of ZanzaMapp records and made available in real-time to citizen and administrations. Figure 6 shows, an example, four maps based on ZanzaMapp data collected in Italy (a), Lazio Region (b), and Rome urban area (c–d). Although very rough and subject to several potential biases (as highlighted above), the former two maps (a,b) highlight the potential value of a citizen science-based approach to produce an overview of mosquito perceived abundance on a large-geographical scale, which is impossible to obtain with entomological monitoring approaches. On the other hand, the smaller-scale maps (c,d) clearly show the potential of the exploitation of citizen records by local public administrations in order to focus control interventions on areas where mosquito nuisance is more acutely perceived. Figure 7 shows two maps (a,b) based on ZanzaMapp data collected in the Lazio region during two consecutive weeks in October 2017, in the middle of the chikungunya outbreak which caused over 400 hundred human infections in Lazio, especially in the city of Anzio [ 4 , 33 ]. Interestingly, the number of records considerably increased from a to b, possibly due to increased concern of the population for the outbreak and to actual increases in nuisance expected in mid-October in the region [ 6 ]. Although anecdotic, it is interesting to note that the maps reflect a high variability in mosquito abundance among Municipalities and that the Municipality of Anzio (i.e., the core of chikungunya outbreak [ 34 ]) is highlighted as highly infested. Figure 7 c shows the temporal profile of the percentage of positive records (≥1 mosquito) reported in the province of Rome in 2016–2018, which could support the optimization of the scheduling of mosquito control interventions.
Figure 6.
Scales of perceived mosquito abundance based on ZanzaMapp records (May 2016–December 2018) for Italy (
a
), Lazio region (
b
), administrative units in Rome urban area (
c
), and 1 km-spatial grid in Rome urban area (
d
). Inner squares represent maps of sampling effort, i.e., the ratio between number of ZanzaMapp records and human population.
Figure 7.
Scales of perceived mosquito abundance based on ZanzaMapp records aggregated for the Lazio region for the weeks 1 October 2017–7 October 2017 (
a
) and 8 October 2017–14 October 2017 (
b
). Inner squares represent maps of sampling effort, i.e., the ratio between number of ZanzaMapp records and human population. (
c
). Temporal profile of the percentage of positive records (≥1 mosquito) reported in the province of Rome in May 2016–December 2018. The grey area from January 2017–April 2017 refers to interpolated data, due to lack of ZanzaMapp records.
We believe that a large community participation could be gathered in the future, should ZanzaMapp (or a similar app) be endorsed and properly advertised by public administrations (e.g., Municipalities). A higher number of records will indeed make it possible to produce real-time maps similar to those shown in
Figure 7
, but with higher spatial resolution, which could complement the entomological data (if any) and eventually be used to identify hot-spot areas on which to target mosquito control interventions, thus improving their effectiveness with modest added costs. Indeed, economical and operational constraints in entomological monitoring make an information-based and spatially targeted control of mosquitoes such as
Ae. albopictus
in public urban areas very rarely feasible, despite the distribution of the species being known as uneven [
6
]. A more focused and cost-effective mosquito control would indeed represent an incentive for citizen, who would feel directly involved in the monitoring process and in improving the intervention’ effectiveness. Of course, other incentives (such as a direct feedback on mosquito control activities by public administrations via the app itself) could be planned to increase ZanzaMapp usage. A very positive side-effect of the involvement of civil society in the effort to monitor and eventually better control mosquitoes through mobile phone apps is also the potential for massive education and awareness, which can lead to new models of open government and innovation [
35
]. Indeed, educational material and news in the mosquito field are available both on the ZanzaMapp.it website and in the app. Continuous updates of these sections represent an important instrument to increase user’s affection for the app and promote its use.
5. Conclusions
In conclusion, the results obtained with very limited budget by the joint efforts of GH private company and a group of researchers (mostly with no permanent position in the Italian academy, nor in the public sector) confirm the high potential for scaling-up innovative citizen science-based approaches as tools for improved mosquito control. Although we did not carry out an analysis of the costs associated with the running of ZanzaMapp and data analysis vs those associated to classical entomological monitoring, it is important to note that costs, in the case of ZanzaMapp, will be very low and mostly associated to non-recurring investments in technology, to community engagement, and to data analysis. In the case of Mosquito Alert (which also required specialized entomologists for mosquito identification), these costs were estimated to be 7.6-fold lower than standard entomological monitoring [
9
]. Synergies between scientists, public health institutions, and public administrations in Italy are now needed to promote the scaling-up of the approach as a complementary tool to entomological monitoring or as the only one in case of lack of resources for the latter.
Beyond the national scale, as highlighted by Bartumeus et al. [
36
] “the challenge is to exploit the inherently scalable nature of Internet networked citizen science to offer an open global toolkit that can aid in the fight against mosquito at the global scale”. This would imply the generation of data and method standards across different projects, as well as the development of a modular project where code and data can be easily shared and reused in other countries, thus facilitating structural interoperability and shared global knowledge. ZanzaMapp could thus evolve as a module focused on the perception of mosquito abundance/nuisance of this global toolkit, as already discussed and agreed during the 2017 workshop sponsored by UN Environment and organized by the Wilson International Center for Scholars’ Science and Technology Innovation Program (STIP), and the European Citizen Science Association (ECSA) in the frame of which the Global Mosquito Alert Consortium was launched, with the participation of representatives of the most successful mosquito pilot projects exploiting apps [
11
]. This meeting marked the start of the Global Mosquito Alert initiative aiming at contributing to the global surveillance of mosquito species by pooling different “modules” with different goals, ranging from the provision of records of spatial distribution of mosquito species and breeding sites based on image validation by expert entomologists to real-time information on mosquito nuisance/abundance by citizens in a single app.
Supplementary Materials
The following materials are available online at https://www.mdpi.com/1660-4601/17/21/7872/s1 . Figure S1: Workflow of ZanzaMapp. Figure S2 percentage of ZanzaMapp’s mosquito-recorded values along the year. Figure S3: Relationship between population density and number of ZanzaMapp records. Figure S4: Violin plots of environmental variables for each reported mosquito abundance category. Figure S5: Relationship between HLC and ZanzaMapp records within different spatio-temporal windows.
Author Contributions
Conceptualization, C.B., B.C., and A.d.T.; methodology, B.C., A.d.T., M.B., and M.M.; software, C.B., P.M. and F.F.; validation, B.C., M.M., P.C., C.M.D.M., L.I., V.P., and M.S.; formal analysis, B.C., M.M., L.D., F.F., M.B., and A.d.T.; investigation, B.C., V.P., L.S., P.M., P.C., C.M.D.M., and M.M.; data curation, P.C, B.C., V.P., and M.S.; writing—original draft preparation, B.C., M.M., C.B., F.F., and A.d.T.; writing—review and editing, M.B., L.D., and M.S.; visualization, M.M. and F.F.; supervision, A.d.T., C.B., B.C., and M.S. All authors have read and agreed to the published version of the manuscript.
Funding
The work was partially supported by Progetti Medi Ateneo 2017 of Sapienza University.
Acknowledgments
We are grateful to Italian citizens as well as students and faculty members of Sapienza and Tor Vergata University in Rome for contributing their records to ZanzaMapp. We thank the Municipality of Procida for assisting the team during the experimental work in 2016. The work was done within the framework of AIM-COST Action (CA17108).
Conflicts of Interest
The authors declare no conflict of interest.
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Figure 1. ZanzaMapp records from 2016 to 2018. ( a ) weekly distribution of mosquito abundance categories (0, 1–3, 3–30, >30, multicolour bars) and new users (blue bars). Range of y-axis varies between panels referring to different years in order to help interpretation; ( b ) spatial distribution.
Figure 2. Seasonal distribution of proportion of ZanzaMapp mosquito abundance categories. Dark blue = zero mosquito/week (m/w); light blue = 1–3 m/w; green = 3–30 m/w; yellow = >30 m/w; Gap between week 51 of 2016 and week 8 of 2017 is due to lack of records.
Figure 3. Thin plate splines (y-axis: smoothers) from GAM testing the relationship between ZanzaMapp records of low (≤3) and high (>3) mosquito abundance and human population density, temperature, and hour of the day in 2017 and 2018. LST = land surface temperature. Solid lines represent the mean fitted values, dashed lines represent the 95% confidence intervals.
Figure 4. Proportion of ZanzaMapp records of no, low, high biting activity within the 4 mosquito abundance categories (0, 1–3, 3–30, >30).
Figure 6. Scales of perceived mosquito abundance based on ZanzaMapp records (May 2016–December 2018) for Italy ( a ), Lazio region ( b ), administrative units in Rome urban area ( c ), and 1 km-spatial grid in Rome urban area ( d ). Inner squares represent maps of sampling effort, i.e., the ratio between number of ZanzaMapp records and human population.
Figure 7. Scales of perceived mosquito abundance based on ZanzaMapp records aggregated for the Lazio region for the weeks 1 October 2017–7 October 2017 ( a ) and 8 October 2017–14 October 2017 ( b ). Inner squares represent maps of sampling effort, i.e., the ratio between number of ZanzaMapp records and human population. ( c ). Temporal profile of the percentage of positive records (≥1 mosquito) reported in the province of Rome in May 2016–December 2018. The grey area from January 2017–April 2017 refers to interpolated data, due to lack of ZanzaMapp records.
Table 1. Result of Generalized Additive Model (GAM) testing the relationship between ZanzaMapp records of low (≤3) and high (>3) mosquito abundance and human population density, temperature, and hour of the day in 2017 and 2018. Human population density was standardized (mean = 376.282, standard deviation = 375.856).
Parameter Estimate Std. Error Z-Value Pr (>|z|) Intercept −0.839 0.065 −12.895 <0.001 Year (2018) −0.016 0.090 −0.177 0.860 Period (Winter) −0.816 0.232 −3.516 <0.001 Population −0.197 0.040 −4.890 <0.001
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Full text of Commercial and Financial Chronicle :
December 18, 1920, Vol. 111, No. 2895
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MORGAN,
GRENFELL&CO., LONDON
MORGAN,
Letters
CO., PARIS
&
HARJES
.V
•
Securities bought and
Letters for
Wallet Fre-i»« &
Paris,
- - •*~and
" 2 "
iVlndi.'d Places In Mexico. ■ .
^
the world.
on
Ag'-nfe for the Bank of
Travelers, available in all
Commercial and Travellers
■ *♦
"
Commercial Credits.
parts of
NEW YORK
Letters of Credit
«?-».
&
sold on Commission.
Cable Transfers,
circular
of
National
Vendome
14 Place
Foreign Exchange,
' r"
on
Provincial <8c Union B-'nk
England, Ltd., Lor.
Tne
18 Broad St
BOSTON
Telegraphic
of Credit^
Exchange.
Broad Street
No. 22 Old
Securities.
Oro.r* executed for all Investment
j
115 Devonshire St
Australasia.
TRAVELERS' LETTERS OF
CREDIT
BARING
BROTHERS & CO, LTD.
LONDON
August Beliront & Co.
BROWN BROTHERS & CO.
43
Bostoi*
NEW YORK
phujudelphu
EXCHANGE PLAl.£, NEW
Members New York Stock
Agents and Correspondents
SONS, Baltimore
ALEX. BROWN &
YORK
Exchange.
of the
ROTHSCHILD,
Messrs.
London, Paris and Vienna
CREDIT
ISSUE LETTERS OF
Securities
Investment
for Travelers
Available in all parts
Foreign Exchange
Accounts
Deposit
of the world.
Draw bills of Exchange and make
Transfers.
purchase and sale of
Execute orders for the
Commercial Credits
Telegraphic
Bonds and Stocks.
Travelers' Credits
N2 54 Wall Street
NEW YORK
& CO.
BBOWN, SHIPLEY
& Co.
J. & W. Seligman
Equipment Bonds
LONDON
Taller
1. Suffern
FREEMAN & CO.
James G. Wallace
Grenvllle Kane
34
Pine
Street
NEW YORK
TAILERi©
10 Pine Street,
York
New
Members
Stock
Bedimd&da
Exchange
New York
33 Pine St.
-
•
•
Investment Securities
Lawrence Turnure
New York
Pittsburgh
Union Arcade Bldg.
& Co.
Investment Securities
64-66 Wall Street,
New York
bought and sold on com¬
credits, available through¬
Investment securities
Winslow, Lanier & Ca
59 CEDAR
NEW
STREET
Travelers'
mission.
Mexico,
Central America and Spain. , Make collections
In and issue drafts and cable transfers on above
out the
United States, Cuba, Puerto Rico,
Bankers:
London
&
Allowed
Subject
on
Bought
Deposits,
and
Draft,
to
Interest
Securities
Sold
Bank,
Midland
Paris
Received
flew York and
Pittsburgh
Stock Exchanges
countries.
YORK
BANKERS.
liteposits
Members
London Joint City &
Limited.
Bankers: Heine & Co.
r
HEIDELBACH, ICKELHEIMER & CO.
on
37 William Street.
Commission.
foreign Exchange, Letters of
Credit
MEMBERS
N.
Y.
Execute orders for
STOCK
EXCHANGE.
purchase and sale of
HUTH
& CO.
New', York
30 Pine Street
Stocks and Bonds.
Foreign Exchange Bought and
Bonds for*
Investment
Issue
Sold.
Commercial and Travelers' Credits
^available in all Darts of the world.
Foreign Bondi &
Investment'Secnrlties',
Commercial Credits, Deposit
Aooounti",
Foreign Exoh&nge.
CorrespondenU of
BERTRON, GRISCOM & CO. IRC.
Kemi, Taylor &> Co.
iPitb&hurfili.
TfeuTVorh*
NEW YORK
John Munroe & Co.
BOSTON
London ]
INVESTMENT [SECURITIES
40 Wall Street 1 5
tf»W YORK
FRED? HUTH & CO.,
Land Title Buildfta f
PHILADELPHIA
BOISSEVAIN & CO.
52
BROADWAY, NEW YORK
ALDRED & CO.
40
Wall Street
Members of the New York Stock Exchange
Letters
of Credit for
Commercial Credits.
Travelers
Foreign Exchange
Cable Transfers.
INVESTMENT SECURITIES
COMMERCIAL DEPARTMENT
FOREIGN EXCHANGE
MESSRS. PIERSON &
MUNROE &
CO.. Paris
CO.
New York
Fiscal Agents for
Public Utility and H ydro-ElectrW
Companies
Amsterdam, Holland.
DEC.
181920.]
THE
CHRONICLE
in
lnbe*tatctrt anil ^Financial J&eu&ei
Goldman, Sachs & Co.
Lee, Higginson & Co.
60 Wall Street
NEW
60
14
BOSTON
Montgomery Street
421 Chestnut Street
SAN FRANCISCO
New York
PHILADELPHIA
411 Olive Street
\
INVESTMENT SECURITIES
24 Marietta Street
ST. LOUIS
ATLANTA, GA.
Title Insurance Building
LOS ANGELES, CAL.
Chicago
Members of New York and
Stock Exchanges
Higginson & Co.
80, Lombard St.
Commercial
London, E. C.
Securities
bought and
Paper
sold
MEMBERS
Chicago
*
■
NEW
&
available
Travelers'
in
all
parts
YORK STOCK
EXCHANGE
v
commission
on
Foreign Exchange
Commercial
& Hagek
Congress Street
CHICAGO
Investment Bankers
Boston
Millett, Roe
YORK
187 So. La Salle Street
Letters
of the
52 WILLIAM ST.
of
NEW YORK*
Credit
world
Hornblower & Weeks
42
BROADWAY, NEW YORK
RAILWAY
Investment Securities
EQUIPMENT BONDS
Bonds|
Preferred
'MEMBERS
NEW YORK,
BOSTON AND
CHICAGO STOCK
Direct
EXCHANGES
EVANS, STILLMAN
60
Boston
Exchange
BROADWAY
NEW
YORK
Industrial
Paper
Bonds
Public
may
our
well
be
Preferred
Utility
Stocks
U. S. Government Bonds
Securities
Certificates
Counselman & Co.
Acceptances
Investment Securities
26
Investment Bankers
particular problems in financing your
by
&
Equipment Trust
Bank and Trade
business
Robinson & Co.
Underwriters & Distributors
1888
Commercial
112
overcome
W.
ADAMS
Exchange Place
'•»
ST., CHICAGO
expert service.
Conservative
Investment Securities
Bond & Goodwin
N«w York
Minneapolis
New Yorfr
Members New York Stock
Exchange
Our facilities are at your disposal
Boston
Avenue and 43rd St.
Correspondent Offices in 50 Cities•
Portlanc
Providence
Established
Offices National City Bank Buildlnf
Uptown Office: Fifth
Chicago
Detroit
Your
Acceptances
A CO.
Mam
Members New York Stock
wires to all principal markets
t
Stocks
Underwritten
&
Distributed
Chicago
San Francisco
Investment Securities
Seattle
Yielding 6%
to
8%
Portland, Ore.
Federal Securities
Frazier
Corporation
Col
38 South Dearborn Street
CHICAGO
Broad
&
Sansom
Peabocty
IIoHgliielnig &Co.
Streets
EST. 1865
PHILADELPHIA
Baltimore
New York
Washington
INC. 1918
10 So. La Salle St.
Underwriters
Chicago
Distributors
Pittsburgh
Lebanon
Wilkes Barre
Howe, Snow,
SECURITIES SALES CO
Corrigan & Berries
Investment
Glore, Ward & Co.
INVESTMENT SECURITIES
*
GRAND
H.
Bankers
RAPIDS,
B.
MICH.
F. BACH MAN
H.
Collins,
Southern
& CO.
President
Securities
•
64 PEACHTREE,
Established
UV SO.
ATLANTA
1866
LA SALLE ST.
NEW YORK
NEW
CHICAGO
INVESTMENT
BANKERS
JACKSON VILLB
CHARLOTTE
ORLEANS
BIRMINGHAM
MEMPHIS
Members N. Y. and Phila. Stock Exchanges
1425 Walnut
61
St.,
PHILADELPHIA
H.
T.
HOLTZ &
Broadway
NEW
YORK
RAILROAD AND FOREIGN
CO.
INVESTMENT
BONDS
GOVERNMENT BONDS
HARPER
&
INVESTMENT
FOR INVESTMENT
TURNER
BANKERS
1
STOCK EXCHANGE BUILDING
WALNUT STREET ABOVE BRQAO
39 SOUTH LA SALLE STREET
PHILADELPHIA
CHICAGO
Members Philadelphia Stock Exchange
/
Colgate, Parker & Co.
49 Wall
Street,
New York
A
[VOL. 111.
CHRONICLE
THE
IV
Jftnannai
jftiumctal
FINANCE
WE
ESTABROOK & CO.
Members New York and
Stock Exchanges
Light Enter¬
and
Power
Electric
established
prises with records of
Boston
Jftnsnti* I
COMPANY
&,
CHASE
earnings.
INVESTMENT SECURITIES
BOSTON
15 State Street#
-
24 Broad Street,
BONDS
WE OFFER
NEW YORK
Bankers
and
Dealers
Investment
Light Securities
Proven Power and
Correspondence
BOSTON
19JCONGRESS ST.,
Solicited
SPRINGFIELD
PROVIDENCE
ELECTRIC BOND & SHARE CO.
(Paid-Up Capital and Surplus $24,000,000)
Richardson# Hill & Co.
BROADWAY.
NEW YORK
MUNICIPAL AND RAILROAD
NEW
& Company
Exchange Place
YORK
BONDS
investment Securities
For Conservative Investment
SO Congress
Arthur Lipper
Now Street and
1870
Established
71
AND
SECURITIES BOUGHT
SOLD ON
St.
COMMISSION
BOSTON
R. L. Day &
Co,
Branch
Members
Boston Stock Exchange
MsaUbe-s^New York Stock Exchange
Chicago Stock Exchange
Congress St., Boston
Offices
N. Y. Stock Exchange
Waldorf-Astoria Hotel,IV. Y
N. Y. Cotton Exohange
35
11 East 44th St..
N. Y.
N.Y Coffee A Sugar Exch. Saratoga Springs,
New York
Correspondents
REMICK, HODGES & CO.
Atlantic City. N
Philadelphia Stock Exoh.
Chicago Board of
Trade
N. Y.
J.
N. J.
W#st End,
Long Beach,
N. Y.
k 3mt
1797
Founded
PARKINSON & BURR
We
Specialize in
Seasoned
Members of the New York and
Boston Stock Exchanges
Investments
53 State Street
7 Wall Street
30
Municipal Bonds
BOSTON
NEW YORK
Pine Street
Government and
WjNiamP. (ompton Co.
New York
INVESTMENT BONDS
14 Wall Street,
BONDS
New York
Cincinnati
St. Louis
New Orleans
Chicago
Baker, Ayling & Young
W. F. Ladd & Co,
RAILROAD BONDS
INDUSTRIAL BONDS
BOSTON
PUBLIC UTILITY
PHILADELPHIA
PAUL
Investment
BONDS
H. WATSON
INVESTMENT SECURITIES
55 William
Securities
H. Mountague
St., N. Y.
Telephone: John 1832
Vickers
BONDS
49 Wall St.
Tsl. Han. ««?•
New York
GUARANTEED STOCKS
FOUNDED 1852
Investment
Securities
Foreign
Letters of
/Credit
Exohange
Travelers' Checks
ESTABLISHED 1865
Correspondents
Thomas C. Perkins
eAxc/Ws ]*Clo^e>u£Co
5 Nassau
St., N. Y.
MEMBERS NEW YORK STOCK
Deal
Constructive Banking
Throughout ths World,
Krnnifi {NarfioU 8c Kulwc
(embers New York
Equitable Building
Stock Exchange
15 State Street
in
Boston, Mass.
Underlying Railroad Bonds
36 Pearl Street
Hartford, Conn.
and
Tax-exempt Guaranteed &
Preferred
Stocks4
^Railroad & Telegraph Co.
Specialist
Inc.
eighteen
Watkins & Co.
in the Financing
of established and pros¬
years
perous
L HOWARD GEORGE & CO.,
for
Entire
Industrials.
stock issues
7 Wall Street
NEW YORK
-
*
underwritten end distributed
Investment Securities
Investment Bankers
81 Stato Street
BOSTON, MASS.
w
Now York
EXCHANGE
1
DEC.
181920.]
THE
CHRONICLE
v
Canadian
Canadian
Government
and
Municipal
Bonds
BANK OF MONTREAL THE CANADIAN BANK
Established
CAPITAL PAID UP
These
bonds offer exceptional oppor¬
tunity for sound investment.
Ifjpurohased J^now
they
will
yield
from
7% to 7yz%
22,000,000
UNDIVIDED PROFITS
TOTAL ASSETS
-
Head
request.
Incorporated
■■■■■'
YORK
Breaches
Genera) Manager, Sir John Alrd.
Assistant General Manager, H.
New
Paris,
F. B.
C. L.
C.
Bank
of
Montreal,
(France).
York, Chicago,
Spokane,
San Francisco—British American
Bank (owned and controlled by the Bank of
Banking and Exchange business
description transacted with Canada.
LONDON
British
Guiana
and
West
Street.
ST8W
B.
BRITAIN:
The Bank of Scotland,
<2o
&
GREAT
of
The Bank of England,
Africa—The Colonial
Bank
(in which an
interest is owned by the Bank of Montreal).
Jl'&'Jlmcs
OFFICE—2 Lombard
BANKERS IN
Indies,
[Agents
Travelers' Cheques and Letters of Credit Issns#
available in all parts of the world.
Montreal).
West
}
made at all points.
Agencies:
In the United States—Mew
FRANCIS,
FOSTER,
Buy andVSeli Sterling and Continental
Exchange and
Cable Trasf era.
Collections
London, England, and at Mexico City.
In
V. F. Joo»
York'Office, 16 Exchange Plac*
J|. STEPHENSON,]
Manager.
and
$15,000,WS
.$15,000,081
President, sir Edmund Walter, C.V.O., LL.D., D.O.I
Office—MONTREAL
Throughout Canada and Newfoundland.
At
Toronto, London, Eng., Winnipeg:, Montreal
UP*CAPITAL
RESERVE
MEREDITH, Bart., President.
General
NEW
1,251,850
PAID
560,150,812
-
Sir Frederick Williams-Taylor
Wood, Gundy & Go.
14 WALL STREET,
-
HEAD WOFFICE, TORONTO
SIR CHARLES GORDON, G.B.E., Vlce-Pres.
United States funds
on
OF COMMERCE
122,000.000
.
REST
SIR VINCENT
Principal and interest payable In
Full^Particulars C-20
100 Years
over
Lloyd's Bank, Limited.
Getabteied M9
-Membcwloeonto Stock
GxduMgs
,
,
THE BANK OF NOVA SCOTIA
(B<an<a.di<£Ln
^
<*o\«rwrttfnt, Municipal & Corporation
Securities
United Financial Corporation
Limited
(Incorporated 1832)
PAID-UP
RESERVE
TOTAL
OVER
Head Office, Halifax. N. S.
Montreal
Victoria "BuC.
$9,700,661
18,000,000
280,000,001
FUND
ASSETS
Z4-VtOAdwayf -Tkiofatie
Toronto
CAPITAL
INVESTMENT BANKERS
Chicago
Montreal
London
Toronto
General Manager's Office, Toronto, Ont.
330 branches throughout Canada, Newfoundland!
Cuba. Jamaica. Porto Rico, Dominican Republte'
and is Boston, Chicago and New York.
Commeffclal and Travelers' Credits Issued, available in all
on Canada or West Indian
negotiated or collected by aw
parte of the world. Bills
points favorably
branches
in the
United ^States.
Correspondents
invited.
Affiliated with
Canadian
Government, Provin¬
Municipal and Corporation
cial,
Guaranty Trust Co. of New York.
New
York
Agency,
London, England, Branch,
55 Old Broad St., E. C. 2.
Bonds
Bought—Sold—Quoted
Members
IT
Montreal
Stock
Canadian
in
St.
John
in Great Britain
Exchange
I.
&ank
Midland
of Scotland.
THE
Montreal *
CANADIAN
GOVERNMENT,
CANADIAN
INVESTMENT
Royal
Co.
Daly &
A.
Issues
Bond
Street,
London Joint City &
Bank, Ltd.
Correspondents
GREENSHIELDS & CO.
Dealers
Wall Street*
52
H. F. Patterson, Agent.
MUNICIPAL
ROYAL BANK OF CANADA
Established
1869
AND CORPORATION BONDS
.._$19,000,000
Reserve Funds
19,000,000
Total Assets...... ...590,000,000
Capital Paid Up
SECURITIES
...
Offerings
on
Bank of Toronto
Request
Correspondence
Invited
Building
ONT.
TORONTO,
Head Office..
SIR
McDonagh, Somers & Co.
Dominion Bank
Building
The Dominion
TORONTO, CANADA
HEAD
Paid Up
RURNEfT.
u
PORTEOUS
& C9
St.
STOCK
BOND
AND
TORONTO
OFFICE,
Capital
Total
assets
_
Sir Edmund Osier,
*6,009,000
7,739,000
143,000,000
Clarence A. Bogert,
Genera! Manager,
President
U
Street
John
Bank
Reserve Fund & Undivided Profits
MeabmHontraESto^Ixdange
17
New York Agency, 51 Broadway
C. 8. Howard. Agent
Montreal
BROKERS
M. S. WHEELWRIGHT & CO.
HERBERT
E
London Branch, 73 Cornhill
S. L. Jones, Manager
CANADIAN
AND
FOREIGN
BOUGHT
L.
C.
Montreal
8.
HOLT, President
Vlce-Pres. & Man. Directs
NEILL. General Manager
PEASE,
E.
700 Branches throughout CANADA and NEW*
FOUNDLAND,
In
CUBA.
P6RTO
RICO
DOMINICAN
REPUBLIC,
HAITI,
COSTA
RICA. COLOMBIA and VENEZUELA, BRIT¬
ISH and FRENCH WEST INDIES. BRITISH
HONDURAS and
BRITISH
GUIANA.
ARGENTINE—Buenos Aires.
BRAZIL—Rio de Janeiro. Santos. Sao Paula
URUGUAY—Montevideo.
SP^IN—Barcelona, Plaza de Cataluna.
LONDON OFFICE—Prtnces Street, B. O
NFW YORK AGENCY—68 William St.
e*. T. Walker, J. A. Beataon, E. B
Mclnet
nrd J. D. Leavftt. Agents.
fitENCH AUXILIARY: The Royal Bank
Canada
(France),
PARIS, 28
Rue de
Quatre-Septembre.
EXCHANGE
AND SOLD
Limited
TRAVELERS'
Canadian Investment Securities
AND
LETTERS
COMMERCIAL
OF
CREDIT
HERDMAN & COMPANY
Members
Transportation Building
MONTREAL
|
132 St. Peter St.,
63 Sparks St.,
QUEBEC
Montreal Stock Exchange
Bankers &
OTTAWA
Dominion
Broken
Express Building
MONTREAL
R. C. Matthews & Co.
CANADIAN BONDS
CANADIAN
SECURITIES
CANADIAN
tfoussERWmr'GMPArar
INVESTMENT
TORONTO
C. P. R. Bid*.
BONDS
BANKERS
CANADA
TORONTO
Specialists in
GEO,
B.
INVESTMENTS
72 Trinity Place
NEW YORK. N. Y.
FOR SALE—Timber, Coal, Iron,
other properties
Confidential
Negotiations
Settlements and
l/nitad States
Ranch and
Investigations
Grand Trunk, Grand
Trunk Pacific,
Canadian
EDWARDS
and
Northern
Canada
Canadian
Pacific Securities
AO Canadian
Issues Dealt in.
i^milius
Lewis Building,
New York
Established
Mawtreal
Direct Wires
Tarant-
Jarvis & Co.
INVESTMENT
TRUAX, HIGGINS CO.
Purchases of Property,
West Indies
Northern
JARVIS
BLDC.
BANKERS
1891
TORONTO, CAW*
[VOL. 111.
CHRONICLE
THE
VI
foreign
Australia and
Zealand
New
LONDON
;
BANK LIMITED
LIMITED
BANK OF
NEW SOUTH WALES
v-.f
(ESTABLISHED 1817.)
Liability'of Proprietors-- S3,838,908
QSZBrA**t* Assets 81st March,
RUSSELL FRENCH,
General Manager*
JOHN
Sir
1380
384,083,000
$ OT,m,tii
ISSUED CAPITAL
Deposits (June 30 1920).-367,667,821
.
87,800,000
ToPaid-up Capital 82,800,0001
teeervb Fund. £2.830,000/gather
_
.
'leserve
Liability
or
_
_
£7,000,008
HEAD OFFICE
EVERY DESCRIPTION OF BANKING
BUSINESS TRANSACTED
dVER
1.460 OFFICES IN ENGLAND & WALES
Incorporated 1880
.
£14,210,88*
—
...£296,059,188
DEPOSITS
Address: The Foreign
OVERSEAS BRANCH:
WE"
:
£20,000,615
—.
RESERVE FUND
8, Threadneedle Street, London, E. C. X.
MthoriMd and Issued—
throughout
towns
AUTHORIZED CAPITAL
...»
19, THREADNEEDLE
STREET, E.C* 2
Established 1837
banking
all
in
Capital...—£88,096,868
Paid-up Capital...—— 10,840,111
Reserve Fund
10,840,111
London Office
Sapttal—
1,499 branches in England and Waist
and over
the world.
of Australian Banking Business.
Ureal and other Produce Credits arranged.
THE BNION BANK OF AUSTRALIA Limited
Ltd.
54, Lombard St., London, E. C., Eng«
Esq.,
Agents
description
mORGE STREET
Usts»
Bank,
HEAD OFFICE:
K.B.E.,
HeadOffiea
Western
South
8c
McKENNA
Joint Managing Directoru
Subscribed
SYDNEY
been amalgamated the
has
Provincial
8. B. Murray, Esq..
F. Hyde,
E. W. WooUey, Esq.
881 BRANCHES and AGENCIES In the
Australian States, New Zealand, FIJI. Papua
(New Guinea), and London, The Banktransacts
tvsrr
which
with
Chairman:
The Bight Hon. R.
'ic!»7<!OO2
SSLS? rSEd*1
"'loser ts
BARCLAYS BANK
JOINT Gin & MIDLAND
68 ft 86, Old Broad Street, London, E. C.
Manager,
268, Fenchurch Street,
1
London, B. C.. Ksilts*
^
£S,180,0M
Proprietors--.-£5,000,000
A Reserves. £10,180,000
89 M
$38W SOUTH WALES. 19 in QUEENSLAND,
Btt SOUTH AUSTRALIA. 21 In WESTERN
AUSTRALIA. 8 in TASMANIA and 44 in NEW
Zealand.
Total leaved Capital
OFFICES
ATLANTIC
'Aqultania,"
'Mauretanla"
"Imperator,"
V&e Bonk bat 43 Branches in VICTORIA.
Banca Italiana Di Sconto
Affiliated Bankk
BELFAST
BANKING
LIMITED
COMPANY,
with which
Over 110 Offices In Ireland
THE CLYDESDALE BANK,
Manager—W. J. Essaaae.
Assistant Manager—W. A. Lalng
and the
LIMITED
Secieta
Over 150 Offices in Scotland
' :
#
■
LIMITED
Capital and Surplus
Incorporated in New South
fatd-up Capital
819,960,860
Undivided Profits
Valet.
Branches in:
.£2,000,000
....
$8,100,808
....
India
Straits Settlements
—
2,040,000
China
Java
feeerre Liability of Proprietors—..
2,000,000
Japan
Panama
Philippine Islands
Santo Domings
San Francisco
Swerve Fund..—
—
£6,040,000
London
Drafts payable en demand, and Letters ef
Otedtt are Issued by the London Branch on the
Central Management and Head Office:
ROME'
.
Special Letters of Credit Branch In Rem*
(formerly Sebaati & BeaM), 20 Piazza di Spagxta.
Foreign Branches: FRANCE: Paris, 2 Rue Is
Peletier angle BeuJd. das. Itaheas; BRAZIL: See
Paulo and Santos; NEW YORK; Italian Discount
& Trust Co., 899 Broadway.
Offices at Genoa,
Mflan, Naples, Palermo.
Turin,
Trieste,
Veaiee,
Florence,
Bologna.
Catania, Leghorn, and over 100 Branches in tbs
London Clearing Agents: Barclay's Bank. Ltd.,
108 Fauchurch Street, E. O.
EVERY
Mead Office. Branches and Agencies ef the Bank
Bills on Australasia
or collected.
Remittances cabled,
Now
Sydney,
South
KIND
Birchln
Lombard
Lane.
OF
Wales
ROBERT BRUNNER
Street,
The Mercantile Bask of Info Ltd.
E. O.
Htoi
Banker and Broker
Office
15 Gracechurch Street,
Bases Espasoi del Rio defLa Plata
78
Capital t Raines
A
a
rue
de la Lol
Reserve Liability of Shareholders.—...
Cable Address: Rennurb.
Reserve Fund and Undivided Profits
Branches
New
Bank, Limited
Burma, Ceylon,
£785,794
Straits Settle
York
Agency.
R.
A. Edlundh, 64 Wan Street
NATIONAL BANK OF INDIA limited
Bankers to the Government in British East
Africa and Uganda.
Head Office: 36, Blshepegate, London, E. C,
Branches in India, Burma, Ceylon,
Kenyr
Colony and at Aden and Zanzibar.
39'CORNHILL,
Telegraphic Address, Udteco: London.
Incorporated by Royal Charter.
Offers every banking facility for transaction
with Greece, where it has been established for
80 years, and
has Branches throughout the
Capital Authorized St Subscribed 310,MO,000
Country.
Reserve Fund——
Also at Alexandria,
Cairo, Ac., in Egypt
Head Office: Basildon House,
Moorgate Street.
LONDON. £. C. S.
India,
The Union Discount Co.
of London, Limited
Ionian
in
meats, Federated Malay States, China, and Mauritius,
total l«,2l5,70=£iyJM72
Spanish and
European banking business conducted*
.£1,569,999
£759,999
£75#,iff
.
St., E* C. 3
classes of Argentine,
London
Capital Authorized and Subscribed.
Cental Paid Up....
BRUSSELS, Belgium
HEAD OFFICE, BUENOS AIRES
London Office, 7 Fonchurch
BUSINESS
BANKING
TRANSACTED.
Established 1879
London Office:
18;
Provincials
Kingdom.
Lyons
asgetiated
Office,
Credlto
Fund
Si Australia and elsewhere.
dead
di
Lire 815,600,001
"
41,090,009
Deposit and Current Accounts
(May 31, 1919)——— "2,696,909,008
Commercial Banking Company htirnational Banking Corporation
60 WALL STREET. NEW YORK CITY.
of Sydney
Ettablished 1884.
Italiana
Capital Fully Paid Up
Reeerve
THE
incorporated the
are
Sectota Banearia Italiana
lead Office: 71 CORNHILL, LONDON, E.C.
Capital Paid Up——
5,000,000
...
5,000,000
85=£l STERLING.
NOTICE
IS
HEREBY
,
RATES
OF
INTEREST
GIVEN
allowed
that
for
Subscribed Capital —£3,000,600
Paid-up Capital
—£1,509,068 i
Reserve Fund———£3,999,608 1
The Bank conducts every description of banking
and exchange business.
the
money
Clermont & Co.
deposit are as follows:
on
At Call, 5 Per Cent.
BANK OF BRITISH WEST
AFRICAJ.TD
Authorized
Capital
310,080,006
Subscribed Capital....—.— 7,289,009
Capital (Paid Up)
2,900,090
Surplus and Undivided Profits
1,295,569
Branches throughout Egypt, Morocco,
West Africa and the Canary Islands.
——
At
3
to
7
Days'
BANKERS
Notice, 5)4 Per Cent.
The
Company discounts approved bank and
acceptances, receives money on de¬
posit at rates advertised from time to time, and
grants loans on approved negotiable securities.
mercantile
CHRISTOPHER R.
-
Xlverpool Office, 25 Water Street
APPLEBY, Agent. 100 Beaver St., New York
The
National
Discount
LONDON, E. C.
Cable Address—Natdis London.
Capital
......
Paid-up Capital.—
8% Convertible Gold Notes
English Scottish and Australian Bank, Ltd.
Address: 5 Gracechurch St., E. C.
Head Office: London, E. C. 8.
Subscribed Capital
35 CORNHILL
Subscribed
Cable Address: "Glerment"
Authorized Capital
Reserve Fund
Company, Limited
Aetna Petroleum Corporation
Central America
NUGENT, Manager.
Bead Office, J 7 & 18 Leaden hall St., London, E. C
Manchester Office, 106-108 Portland Street
B.
GUATEMALA,
..321,166,025
.........
Reserve Fund.....—...
4,233,325
2,500,000
•
£3,000,606
—685,060
1,078,875
8
0
0
0
I
Paid-up Capital
—
—
639,437 10 9
Further Liability of Proprietors.
639.437 18 0
Remittances made by Telegraphic Transfer,
Bills Negotiated or forwarded fer Collection.
Banking and Exchange business of every ds
•CTipa°n
(85=£1 STERLING.)
Circular
on
Request
NOTICE Is hereby given that the RATES OF
-INTEREST allowed few money on Deposit
as
are
5% per annum at call,
Jones & Thurmond
18 Broad St.
New York, N.Y.
Phone: Broad 7412
Hong Kong & Shanghai
BANKING CORPORATION
follows:
6H % at 7 and 14 days notice.
Approved Bank & Mercantile Bills discounted.
Money received on deposit at rates advertised
from time to time; ana fo i fixed periods upon
specially agreed terms.
Loan granted on ap¬
proved negotiable securitJe
PHILIP
HAROLD
WADE
Manager
Paid up Capital (Hongkong Currency).. .H815,000,000
Reserve Fund
in Silver (Honkgong Curr.) JEJ23,000,000
Reserve Fund In
Gold Sterling—........
£1,600,000
GRANT DRAFTS, ISSUE LETTERS OF CREDIT.
NEGOTIATE OR COLLECT BILLS PAYABLE III
CHINA, JAPAN, PHILIPPINES, 8TRAITS SET¬
TLEMENTS, INDIA.
j.
a.
JEFFREY. Agent,
36 Wall St., New York
Dec.
181920.]
VII
CHRONICLE
THE
^foreign
Jfotrtgtr
Jforelgtt
London, E. C.
Banque Nationale de Credit
FISCAL AGENTS FOR
*
Capital
500,000,000
frs.
frs.2,400,000,000
Capital, fully paid
£3,000,000
£1,663,270
4
LIT.
In
Branches
Rhenish Provinces
the
GENERAL BANKING BUSINESS
THE
NATIONAL PROVINCIAL AND
UNION BANK OF EN6LAND
Limited
($5==£1.)
Office, Milan, Italy
London Office,
Old
1
ESCRIBED CAPITAL
165 Broadway
Broad Street,
ID-UP CAPITAL
E. C. 2
RYE PUND
Constantinople
80 branches in
UNION
Italy, at all the prim
cipal points in the Kingdom
AFFILIATED
INSTITUTIONS
COMMERCIALE
Marseille
and
ITALIANA
De
(France)
-
with
Bucareat and
branches
BANQUE
FRANCAISE
L'AMERIQUE
Sao
Paulo,
BANCA
and
DELLA
de
&
ITALIENNE
SUD— Paris,
DU
Rio
Janeiro
SVIZZERA
and
Aires,
ITALIANO—Lima
SOCIETA
ITALIANA
CIALE—Vienna,
BANCO
FRANCES
and
Every Description of Banking Business
branches
CREDITO
Trieste
England
Wales
ROTTERDAMSCHR
ITALIANA—Lugano
and
DI
$3#.1®«.20U
BANHVEREENIGINO
branches
branches
BANCO
Winterthur, Basle, Geneva,
Lausanne, &o,
POUR
Buenos
•
ZURICH
,
St. Gall,
UNGARO-ITALIANA—Budapest
-
210®.671,®
88®,034.1
Offices in
num.rou*
and
.
BANCA COMMERCIALE ITALIANA E ROMENA—
BANCA
•
-
15, Bisiopsgate, Loudon, England,
ITALIANA E BULGARA
branches
-
Head Office:
Banques Suisse*
branches
BANCA COMMERCIALE
—Sophia and
WILLIAM ST.,
_LIT.4,371,970,562
Head
Paris,
KING
7
156,000,000
New York Agency,
BANCA
AGENCY
LONDON, E. C., 4, ENGLAND.
400,000,000
..LIT,
SURPLUS
AND
6
300 Branches in France
SPERLING & CO., INC.,
CAPITAL
Fund
LONDON
PARIS
DEPOSITS
Law
Egyptian
Head Office:
NBW YORK AGENTS
COMMERCIAL ITALIANA
under
Established
June, 1898, with the exclusive right to
Issue Notes payable at sight to bearer.
Reserve
Hydro-Electric Companies
BANCA
Office—Cairo.
Head
90,000,000
Deposits
and
frs.
Surplus
Public Utility
BROADWAY.
EGYPT
of
Basildon House, Moorgate St.
128
BANK
NATIONAL
SPERLING & CO.
DE CHILE—Santiago,
The
Foreign Exchange, Documentary Credit*.
branches
Amsterdam
Rotterdam
COMMER¬
Hague
Valpar¬
aiso.
BANCO'FRANCES E ITALIANO DE COLOMBIA—
Bogota.
CAPITAL
UP
PAID
Fr..70,000,000
"
RESERVES
15,000,000
CAPITAL AND
RESERVE
F.105,099,000
FUND
COLLECTIONS
STJUOUI BANK OF SOOTH AFRICA, Ltd
HEAD OFFICE.
Avtberized
SWITZERLAND
LONDON. E. C.
$31,26®,00®
Paid-up Capital &. Reserve Pund. $18,812,f®®
Government, State and
H.
88
and
Agencies
STOCKS AND
SHARES
BONDS
throughout
for
investment
THE COMMERCIAL BANK OF SCOTLAND, LIS
MACINTYRE, A*ent
Wall St..
Established 1810
New York
Apply to
_Aleo representing The Bank of New South
Wales with
OF
PURCHASE AND SALE
Municipal
$166,126,411
Resources
Over 840 Branches
Africa.
Bents
W.
CREDIT
FOREIGN EXCHANGE
J50,W0,0M
Capital
Subscribed Capital
Tata!
LETTERS OF
Head
SWISS BANK CORPORATION
of SOUTH AFRICA, Ltd.
over
———•—-
£5 paid..£1,356,666
of £1 each fully pald..£ 506,666
250.000 "A" shares of £20 each
600.000 "B' shares
Deposits—.£36,671.1*3
MAGNUS IRVINE, B««.
London Office—62 Lombard Street, E. O.
Glasgow Office—113 Buchanan Street.
Drafts, Circular Notes and Letters of Credit Issued
»«4 every description of British, Colonial and Foreign
PanMifig and Exchange business transacted.
New York Agent®—American Exchange Nat. Bank
£1,600,000
Reserve
GENEVA
ZURICH
Branches all
..£5,566,666
Paid up—
$1,758,666
BASLE
The NATIONAL BANK
Office—EDINBURGH
Capital (Subscribed)
branches throughout Australasia.
Switzerland and in London
Over 500 Branches In Africa
ALEX. ROBB. Gen. Mgr
...
Total Assets exceed
-
$430,000,000
Arnold
Gilissen&jCo
Lincoln Menny Oppenheimer
Damrak
80-81
Often to American banks and bankers its superior
AMSTERDAM
facilities for the extension of trade and com¬
merce
Cable Address
between this country and Africa.
:
THE
ROTTERDAM
New York Agency
R.
-
-
HAGUE
10 Wall St.
Established
E. SAUNDERS, Agent.
FOREIGN
up
Funds
Reserve
frs. 100,000,000
frs.
30,000,000
Bank of Scotland KONIG
Royal
£2,000,000
£39,114,127
Deposits
-
St. Andrew Square,
London Office
Glasgow Office
-
Odftomentary Business,
Letter® of
-
-
Every
Description
of
Travellers'
Letters of Credit
OP
KONIG BROTHERS,
Throughout Scotland.
British, Colonial and
Foreign Banking Business Transacted.
Credit
Commercial and
Exchange Square
Agent: Thomas Lillie.
BUSINESS.
CO.
3 Bishopsgate, E.C.2
...
172 Branches
BANKING
Wright.
Manager: Wm. Wallace.
Geneva, Glarls, Kreuzlingen, Lugano,
Foreign Exchange
&
NEW YORK
Edinburgh
Cashier and General Manager: A. K.
Lucerne, Neuchatel, St. Gall.
160 Pearl Street,
£1,082,276
Head Office
Br*neh©« at Basle, Berne, Frauenfeld,
BROTHERS
Incorporated by Royal Charter, 1727.
Rest and Undivided Profits
OFFICE
Zurich, Switzerland
GENERAL
FOREIGN EXCHANGE
1856
Paid-up Capital
HEAD
INVESTMENT SECURITIES
EXCHANGE
SUISSE
Established
Capital paid
FRANKFORT-o-M., GERMANY
Cable Address "Openhym"
1871
BANKERS AND STOCKRBOKERS
CREDIT
BANKERS
Achilles-Amsterdam
Correspondence Invited.
LONDON
and
NEDERLANDSCh'E
HlNDEL-MAATSCHAPPl
ROTTERDAM
THE
nil
[VOL. 111.
CHRONICLE
Putters anti Profeete Gutstitst fitta §otb
CHICAGO
CHICAGO
ST. LOUIS
Greenebaum Sons
A. G. Edwards & Sons
."
V
■
.
"'v.
■.
'■'.'
,
''
■'■. ■...:•;.
■'
,
;,
■
;\'
lildenSJilden
Banlr andTrust Company
INCOHPOHATZD
Investment
Southeast Corner La Salle and Madison Sts.
Bonds
Members
410 Olive St.,
La Salla Street
108 So.
CHICAGO
$2,000,000
Capital and Surplus,
Stock Exchange
Louis
St.
BANKING
GENERAL
New York Stock Exchange
6% CHICAGO FIRST MORTGAGE BONDS
ST. LOUIS
Suitable for
Estates,
Trustees and
Individuals
Write for Bond Circular C 26..
Oldeet Banking House In Chicago.
MUNICIPAL
INVESTMENT BONDS
BONDS
MUNICIPAL
111
First. Mortgage
BONDS
CORPORATION
Monroe St.
W.
CHICAGO
Corporation Bonds
INDUSTRIAL
& STITT
SCOTT
A State Bank
Short Term
Industrial
PREFERRED STOCKS
Note
Issues
Hyney, Emerson & Co.
3» South
Lorenzo L Anderson & Company
SIS N. 8th
A. O.
Slaughter & Co.
St., St. Leuie
Members
■unlcipal and Corporation Bonds
TIMBER
Chicago Stock Exchange
Chicago Board of Trade
based always upon
110 WEST
Ohlcage Beard ef Trade
St. Leuia Merchants Exchange
St. Leuls Gotten Exchange
St. Louis Stock Exchange
MONROE STREET
Charles W. Moore
39 South
New Yerk
Philadelphia
5^%
COMPANY
&
1937-1941-1944
Population
SALLE STREET
5.30
The Provident
CHICAGO
Members St. Louis Stock Exchange
Savings
Bank & Trust Co.
Bond
TAYLOR, EWART & CO.
CO.
Department
O.
CINCINNATI,
INVESTMENT BANKERS
105 South La Salle Street
Investment Securities
CHANNER & SAWYER
CHICAGO
INVESTMENT
Iff OLIVE ST.
300,000
District
Yield
Price
SHAPKER, WALLER & CO.
184 SOUTH LA
ST. LOUIS
STIX &
DistrictTOhio
Bonds
Interest June and Dec. 1—New York
Formerly
Member* St. Louis Stock Exchange
Broadway
Miami Conservancy
Due
SHAPKER
Stock Exchange
$75,000.00
St. Leuls
BONDS
Corporation
HARK C. STEINBERG & CO.
m N.
CINCINNATI
Salle Street
La
Municipal and
LOUIS SERVICE
York
so. Michigan Av„ Chicago
Chicago
ST. LOUIS, MISSOURI
Membert New
332
INVESTMENT SECURITIES
INVESTMENT BONDS
ST.
underlying assetc
Powell, Garard & Co.
SMITH, MOORE & CO.
OLIVE ST.,
expert verification
CHICAGO, ILL.
William H. Burg
BONDS
New York Stock Exchange
-
New York Stack Exchange
New Yerk Gotten Bxafeamge
■anodes Smith
CHICAGO
La Salle St.
ST. LOUIS
SECURITIES
Municipal Railroad and Public
Union
Utility Bonds
Trust
Bldg.,
CINCINNATI, OHIO
SPRINGFIELD, ILL.
John Burnham
Hatheny, Dixon, Cole & Co.
High Grade Investment Se¬
curities,
Ridcely-Farmers Bank Bldg.,
SPRINGFIELD.
Convertible
Note
DEALERS
Issues, Bonds, Bank Shares,
Unlisted Securities.
ILLINOIS.
41
WE WILL BUY
South La
IN
INVESTMENT SECURITIES
Salle St.
IRWIN, BALLMANN&CO.
CHICAGO
Springfield (Illinois) Pleasure Drive*
way
Ohio Securities—Municipal Bonds
New York Stocks and Bonds
Co.
828-330-332 Walnut Str
& Park District 4s
CINCINNATI, OHIO
F. WM. KRAFT, Lawyer
BUFFALO
Specializing In Examination & Preparation ef
Slocnm, Eckardt & Company
County, Municipal and Corporation
Bonds, Warrants and Securities and
FR I EDLANDE,R
EDGAR
DEALER IN
Proceedings Authorizing Same.
Rooms 617-520, 111 W. Monroe St.,
Harris Trust Building
INVESTMENTS
Cincinnati Securities
OHIO
CINCINNATI
CHICAGO, ILLINOIS
420 Ellicott
Square
TOLEDO
BUFFALO, N. Y.
FEDDE
&
PASLEY TUCKER,ROBISON &CO.
JOHN T. STEELE
Successors
Certifieb
BUFFALO, N. Y.
public accountant!!
55
Liberty St.,
New York
SPECIALISTS IN
GEORGE W.
LESSER
STOCKS AND BONDS
Public
Accountant
Investigations,
Estate Accounting,
Income Tax Returns
BUFFALO
N. V
1878.
TOLEDO, OHIO
MYER, JR
352NASSAUIST., NEW |YORK
A Udits
kot Square
Sons
Toledo and Ohio Securities
Gardner Building,
Certified
$
A
Municipal, Railroad and Corporation Bads
.
Buffalo and Western New York Securities
T.
to
Robison Jr.
Bankers—Established
Government, Mnnlclpa
and Corporation Bonds
IRVING
David
Telephone Rector 5441
Graves, Blanchet & Thornburgh
MUNICIPAL BONPS
GARDNER BUILDING
TOLEDO.
OHIO
Dec. 18
1920.]
THE
IX
CHRONICLE
JBanfeem anb JBrofeenf ©utsfte J?eto Sort
MICHIGAN
MICHIGAN
iSobbn, gtoan & Cbtoarba Co.
Mansbers of Detroit Stoek Exchange
PITTSBURGH
GORDON
&
COMPANY
Members Detroit Stock Exchange
INVESTMENT BANKERS
Members Pittsburgh Stock Exchange
Charles A. Parcel Is & Co.
Carried
Union Bank Building.
In All Markets.
Inquiries Solicited
Stocks
Conservative Margins
on
INVESTMENT SECURITIES
PITTSBURGH,SPA.
Phone Court 3264-5
810 Congress
DETROIT, MICH.
Bldg.,
PENOBSCOT BUILDING, DETROIT, MICH.
LYON, SINGER & CO.
A. J. Hood
INVESTMENT BANKERS
& Company
(Established 20 Years)
CmBMonv..lth Bldg.,
Members
Detroit Stock
Exchange
Richard Brand Company
PITTSBURGH
MICHIGAN SECURITIES
Securities of Pittsburgh District
BOUGHT—SOLD—QUOTED
Pennsylvania Municipal Bonds
Specializing
Specialize in Michigan Stocks and Bonda
PENOBSCOT. BUILDING
DETROIT
Detroit
Securities
We invite your inquiries
1721-3 Dime Bank
Bldg., Detroit
Geo. W. Eberhardt & Co.
OLIVER BUILDING,
PITTSBURGH
Stocks, Bonds, Grain
GORDON, FORTIER & CO.
WHITTLESEY, McLEAN & CQ.
and Provisions
Investment
Members New York Stock Exchange
Chicago
Board
of
Suits
Trade
1613,
Dims Bank Building
Active Members of Detroit Stock Exchange
Telephone Cadillac 5050
^
A.
MASTEN
E.
Municipal Bonds Corporation Bonds
Preferred Stocks
Members Pittsburgh Stock Exchange
Members
Securities
& CO.
MICHIGAN
DETROIT
DETROIT
2054-56-58 Penobscot Bldg.,
Established 1891
>
[New York Stock Exchange
Boston
Members
Stock
PROVIDENCE
Exchange
Pittsburgh Stock Exchange
Chicago Stock Exchange
Chicago Board of Trade
New York Cotton Exchange
323 Fourth Ave.,
FENTON, DAVIS & BOYLE
BODELL & CO.
Pittsburgh, Pa.
Branch Office:
Investment
Bankers
STREET
10 WEYBOSSET
Wheeling, W. Va.
Chicago
Grand Rapids
Detroit
PROVIDENCE
.
INVESTMENT
Company
NEWARK,
CO.
MUNICIPAL BONDS
I
•T GRISWOLD ST.
CONSERVATIVE
DETROIT
INVESTMENT SECURITIES
PITTSBURGH, PA.
List upon request
CITY
KANSAS
N.J[^
&
HIGBIE
KEANE,
BONDS
UNION ARCADE BUILDING
190-395
Boston
New York
Carson Dick &
KAY & CO.
Inc.,
F. M. CHADBOURNE & CO.
STREET & COMPANY
INVESTMENT BANKERS
INSURANCE BUILDING
FIREMEN'S
NEWARK, N. J.
P«nob>cot
Municipal & Corporate Bonds
Local
Kansas
TEXAS
Securities
DETROIT, MICH.
Bid,.
Members Detroit Stock
Exchange
Missouri
City
J. E.JARRATT& COMPANY
GEORGE M. WEST & COMPANY
INDIANAPOLIS
Investment
Fletcher American Company
Bankers
Established
Municipal Bonds
I
INVESTMENT BANKERS
INDIANAPOLIS
San
Capital
Write
as
or
Antonio, Texas,
offerings
DETROIT, MICH
UNION TRUST BLDG.
$1,500,000
for bids or
Indianapolis
*
«
1893
Members Detroit Stock Exchange
on any
Indiana Security.
Statistical Information Furnished.
DUNN & CARR
Investment Securities
W. A. HAMLIN & CO.
Members Detroit Stock Exchange
Union
BREED, ELLIOTT & HARRISON
Nat.
HOUSTON.
.
TEXAS
•
Motor Stocks, Public
INDIANAPOLIS
1010
naslanBti
Detroit
Chicago
Milwaukee
.
Bank Bldg.
Utilities & Oils
DETROIT, MICH.
Penobscot Bldg.,
MACON
Investment Securities
Municipal Bonds
Indiana Corporation
Securities
V. M. DAVIS & COMPANY
Bonds
Southern Municipal
Joel Stockard & Co.,
Inc.,
INVESTMENT BANKERS
AND
NEWTON TODD
Local Securities and
Kadiana Corporation
Guaranteed Stocks
GEORGIA
4ACON
Bonds and Stocks
Municipal, Government &
Corporation Bonds
Members Detroit StockJExchange
Penobscot Bldg.
■
DETROIT
•
Cherry 2609
INDIANAPOLIS
«1S Lemcke Bldg.
NORFOLK, VA
LOUISVILLE
JOHNSTON & COMPANY
MOTTU & CO.
HARRIS, SMALL & LAWSOR
Established 1892
INVESTMENT
INVESTMENT SECURITIES
60
*
Paoif Jeues Bldg.
LOUISVILLE, KY.
SECURITIES
NEW YORK
NORFOLK, VA.
INVESTMENTS
Broadway
.
44 CONGRESS
ST.. W.
DETROIT
CHRONICLE
THE
X
[VOL. 111.
Ranker* anb Jfrofctra &ut*ibt &eto gorfe
DENVER
PACIFIC COAST
PACIFIC COAST
Howard Throckmorton
Pacific Coast Securities
CALIFORNIA SECURITIES
Boettcher, Porter
BONDS
Government
&
of MUNICIPALITIES AND
Company
Bonds Municipal
CORPORATIONS
Corporation
INVESTMENT BANKERS
having substantial assete
San Francisco
and
earning power,
Alaska Commercial Building
DENVER
Quotations and
Furnished
Information
on
Pacific Coast Securities
Established
LOS
1853
SUTRO &
SAN
ANGELES
PASADENA
FRANCISCO
WESTERN SECURITIES
CO.
Sugar Stocks
INVESTMENT BROKERS
San Francisco
6fi Montgomery St.
Specialty
a
Members
San Francisco Stock
GREGG, WHITEHEAD & CO.
and Bond Exchange
Bla&kenbora-Hanter-DiiliB
F. M. BROWN & CO.
DEALERS IN
Investment
PORTLAND,
BONDS
CORPORATION
Dr\\lF\Q MORRIS
AND DISTRICT
BROTHERS, Inc.
UVJlHUD
THE PREMIER MUNICIPAL BOND HOUSS
FRANCISCO, CALIFORNIA
CAPITAL
ONE MILLION DOLLARS
and
Government
LOS ANGELES
California Securities
ORE.
MUNICIPAL
818-815 First National Bank Building
MunlclpalJjBonde
FRANCISCO
SAN
Established
PASADENA
SAN
over a
Quarter Century
DIEGO
Morris
Building
PORTLAND, OREGON
•
No. 8, Central Building
Aronson and
Bankers
DENVER
Company
|
Municipal and Corporation
SAN
COLORADO
WILLIAM R. STAATS CO.
SEATTLE,iWASH.
.
Company
Lot Angeles,
We specialize in California
Municipal & Corporation
California
HALL & COMPANY
BONDS
INVESTMENT BONDS
CLEVELAND
DRAKE, Rl LEY & THOMAS
The Gondiing-Jones Company
Looal and Paelflo Coast Securities
Van Nuys Building
PORTLAND. OREQOS
LEWIS BUILDING
LOS ANGELES
STOCKS-BONDS-NOTES
MINNEAPOLIS
Private Wirea^Coagt to Coast
BANGOR BUILDING,
CLEVELAND
CorrwpoudcntsILogan and Bryan
m
A. H. Woollacott & Co.
OTIS & COMPANY
Stocks, Bonds, Grain, Cotton
Stevens&-@o.
'
828-268 I. W. Hellman
Investment Bankers
LOS
ESTABLISHED
Building
U)10
Kiinxcipal railroad
ANGELES
Members of New York, Cleveland,
Chicago,
Detroit and Columbus Stock Exchanges.
CORPORATION BONDS
New York Cotton Exchange.
Chicago Board of Trade.
COMMERCIAX PAPER-/
Detroit
Cincinnati
Columbus
Toledo
Denver
Colorado Springs
AUGUSTA
Akron
Young, town
Stocks
Bonds
Acceptances
California Securities
LOS ANGELES
CALIFORNIA
JOHN W. DICKEY
Augusta, Ga.
SHORT TERM NOTES
RITTER COMMERCIAL TRUST
Unincorporated
S£LEVELAND
§90 Euclid Ave.
BUFFALO
Niagara Life Bldg.
A. E. LEWIS
Southern Securities
& CO.
Municipal, Public Utility, Railroad and
Corporation
Established
1886.
BONDS of the PACIFIC COAST
Security Bldg.
Los Angeles, Cal.
WM. E: BUSH & CO.
THE
KLIPFEL - WASHBURN - BERKLEY CO. R. H. MOULTON & COMPANY
INVESTMENT SECURITIES
Snd Floor National
CALIFORNIA MUNICIPALS
Title Insurance Building,
City Bldg.
CLEVELAND, O.
Dayton
Warren
LOS ANGELES
American NatT Bank Bldg.,
Augusta, Ga.
SOUTHERN SECURITIES
COTTON MILL STOCKS
San Francisco
Bucyrus
SPARTANBURG.
MAX I. KOSHLAND
Listed
-
Unlisted
-
Inactive
Stocks & Bonds
Pacific Coast Securities
A. M. LAW &
Member
Bldg.
CO., Inc.
Exchange
Stocks and Bonds
Mills Building
SAN FRANCISCO
ALBERT FOYER
S, C.
DEALERS IN
San Francisco Stock and Bond
Leader News
5T.PAUL
MINNEAPOLIS
TORRANCE, MARSHALL & CO.
CLEVELAND
Boston*
Southern Textiles
a
CLEVELAND, O.
Specialty
SPARTANBURG, S. C.
Hunter Glover &
Company
CHAPMAN DE WOLFE CO.
MONTGOMERY
851-863
SAN
Investment
Bonds
and Stocks
Short Term Notes
CLEVELAND
Montgomery Street,
FRANCISCO,
CALIF.
Stocks and Bonds
Information and
Quotations
on
B.
W.
all Pacifle
Coast Securities
Members Baa Francisco Stock & Bond Exchange
SOUTHERN
Strassburger
INVESTMENT SECURITIES
Mentgamerv, Ala
Dec.
181920.]
THE
CHRONICLE
XI
Panfcert anfc JBtofeers ©uttfte iieto
ALABAMA
PHILADELPHIA
PHILADELPHIA
marx & company
Parsly Bros. &. Co.
BANKERS
BLAJSTKJEItS
MEMBER8
BIRMINGHAM,
.
.
.
Graham. Parsons & Co.
4S9 CHESTNUT ST.
Southern Municipal and
PINE
NEW
ST.
YORK
Investment Securities
Investment
Corporation Bonds
II
PHILADELPHIA
PHILADELPHIA STOCK EXCHANGE
ALA.
Securities
Deal in
CHATTANOOGA
and
Purchase
Issues of
1421 CHESTNUT STREET
MUNICIPAL
PHILADELPHIA
lewis burke & co.
BONDS.
BONDS, NOTES AND PREFERRED STOCSl
of
LOCAL AND SOUTHERN
RAILROADS,
THAYER, BAKER & CO.
SECURITIES
INDUSTRIAL
.
Ibbmi
Building
UTILITIES
AND
CORPORATIONS
of
ESTABLISHED VALUE
CHATTANOOGA
Cable Address "Graco," Philadelphia
BOSTON
New
investments
England
Industrial Securities
Commercial Trust
Yielding G%% to 8%
Bldg.,
Boles &Westwood
PHILADELPHIA
Members Philadelphia Stock Exchange
j. murray walker
Established
Devonshire Street
NEW
1865
Boston
ORLEANS
Investment
410 Chestnut St.
Philadelphia
Securities
Members New
York and Philadelphia
Stock Exchanges
We will buy and sell the
following
equipments :
Six Per Cent
LiMl Tito
BMBnj,
-
PUIUBELPHU
■
Chesapeake & Ohio 6 Hs-~ -1927-30
Southern
Municipals
Canadian Pacific 6s
Telephone Loauit 4721
1926-30
Canadian Northern 6s..
1926-30
Michigan Central 6s_
1926-30
MILWAUKEE
Short Time Notes
Commercial Paper
EDGAR.
East
RICKER
Water
and
&.
Masen
CO.
em.0lark§€o.
Streets
MILWAUKEE, WIS.
Preferred Stocks
BANKERS
Specializing
Acceptances
WISCONSIN CORPORATION ISSUES
321
Chestnut
St.,
Philadelphia
Established 1837
Financing of Milwaukee
Hibernia
Securities
Company
(Incorporated)
HibeTnia Bank
-
Stock
Exchanges
Investment Securities
Building
Bought and Sold.
AA.£Cowrae.Cgi
New Orleans
New York Office
Members New York and Philadelphia
and Wisconsin Industries.
44 Pine St.
First Wisconsin
ierabers Philadelphia Stock
Company
Exchange
INVESTMENT BANKERS
Investment Securities
Land Title Building
PHILADELPHIA
MILWAUKEE
WISCONSIN
New York Telephone
Canal 4841
BALTIMORE
Pennsylvania Tax Free
R. Lancaster Williams & Co., Inc.
INVESTMENT SECURITIES
PAUL & CO.
Second Ward Securities Co.
tembers Philadelphia Stock Exchange
Saaond Ward Savings Bank Bldg.
Equitable Building.
BALTIMORE
Bonds
1421
MILWAUKEE
Chestnut Street
PHILADELPHIA
MARYLAND
108
So.
La Salle St.
CHICAGO
Scott & S
, and it was said that "the
about
next
and ex¬
off the attackers after a strenuous
drove
was
determined effort was
the police, but Sergeant Beatty,
morning not a window was left whole in the
barracks, while the walls were
filled with bullets.
Sergeant Beatty, in repelling the attack, was
to have been severely burned about the arms."
Cloyne, in County Cork, and at various
less serious disorders occurred.
The Rev. Michael
said
At
other points,
O'Flanagan, acting President of
Fein, requested Premier Lloyd George for
the Sinn
time, "in which to consult with Eamonn de Valera
Griffith respecting the endeavors now
and Arthur
being made to bring about a truce in Ireland." It
was said that "Father O'Flanagan made this request
which Mr.
proposal look¬
stroyed by fire." The property loss was
tween $10,000,000
and $15,000,000 in the early ing to a truce, said the British Government did not
lag behind any section of the Irish people in the
advices and was not changed in later dispatches.
largely de¬
placed at be¬
ground and that other portions were
In
Press account it was said that
the Associated
conflagration followed an ambush of the mili¬
"the
tary at Billon's Cross,
Saturday night, in which four
killed and many wounded." Accord¬
ing to an early official report, the Cork City Hall,
the Carnegie Library, the Corn Market and eighteen
other buildings in that section were destroyed. Pri¬
vate residences in various parts of the city were
persons were
gram
In another cable¬
destroyed also.
said to have been
direct from Cork to the New York "Times" the
was made that "all the buildings were
statement
Mayor of Cork telegraphed the Lord
Lord
The
Cork
unable
was
The London correspondent of the
begged for help."
New York "Tribune" declared
that in "all the long
crimes, reprisals and counter attacks in
of
series
fire brigade in
with the outbreak and
to cope
Ireland, there is no parallel for to-day's disaster, the
He added that "to-day came the
Lloyd
burning of Cork."
It
crisis.
was
Lloyd George, responding to the first
Ireland should enjoy the blessings
that
desire
of
and prosperity, and was prepared to offer fa¬
cilities for a complete discussion of the whole situa¬
peace
tion."
Wednesday that de
London received a rumor on
Valera
likely to arrive in that city in a few
was
find no difficulty
days, and that "probably he will
landing."
about
In official circles it was stated
»
tendency to discredit the report
that "there was a
Harry Boland, de Valera's secretary, -
altogether.
was
quoted in New York Thursday as saying that'
"in hiding in this country," but
the Irish leader was
substantial, occupying large areas."
Mayor of Dublin "stating that the
reply to a letter from the Premier, in
in
the first development since
George made his announcement of a dual Irish pol¬
"might consider returning to Great
ed safe conduct
Muriel
to have said,
McSwiney was reported
don't know where he
not left this
Britain if grant¬
Mrs.
by Premier Lloyd George."
is, but I
am
quite
sure
In a London cablegram yes¬
country."
said to have been
terday morning attention was
technically
called in official circles to the fact that
Valera
de
against the law and is
"offended
has
liable to be arrested in this
In
the
country" [England]
of Commons Wednesday
House
"I
he has
.
evening,
Law, spokesman for the Government,
icy of coercion and reconciliation." He said also that
Andrew Bonar
"in the
announced that the "Black and Tans" had been or-
opinion of
many
in London to-night it is a body
blow to those who have had
the statement
of that
hopes of
In still another
in Ireland."
an
early
made that "the devastated
was
city embraced five acres."
area
There were re¬
ports also that pillage and incendiarism were in¬
dulged in,
even
by
men
likewise made that
was
in uniform.
The assertion
"eye-witnesses of the burn¬
ing of Cork graphically relate how
scarfs removed loot from the
men
masked with
flame-enveloped shops."
Naturally this horrible affair in Cork
came up
early discussion in the House of Commons.
it
was
There
were
taken
were
hand
early
as
on
Rev.
In
a
was
Michael
O'Flanagan had been
cablegram from London Thursday evening it
units from Cork has been
tary
fires in that
up
its conclusions."
same
Lloyd George of peace plans drawn
by the Labor party.
that
Other advices
evening told of the presenta¬
"the
It
Cork
was
fire
said to have been re¬
started by the
Announcement
asserted
under complete
auxiliary police—the Black and Tans."
military and that it
was
All of the trouble in Ireland this week
was
not
fierce fight took place between
police for the possession of Cam-
lough, South Armagh, police barracks.
In
the
prepared to meet attacks elsewhere in Ireland.
the origin of the
city Saturday night and Sunday has not
indignantly denied by Sir Hamar
as a
completed, but the mili¬
investigating
commission
tion to Premier
Cork,
to the
made public.
reported that "withdrawal of 'Black and Tan'
military forces representing the
Sinn Feiners and
to-morrow"
day the text of Premier Lloyd George's reply
by
was
Common
It was stated also that earlier in the
was
Tuesday that Cork
of
House
in the
[Thursday].
from London the
control of the Government
confined to
taken up
yet made public
This
made
In fact,
amended by the House of Lords, would be
as
Monday night.
as
Greenwood, Secretary for Ireland.
was
for
Bill,
imputations in the House that the fires
started
Crown.
in
and that "the Irish Home Rule
peace 'dered out of Cork,
cablegram from Cork
According
a
•
was
cablegram from Dublin yesterday morning
assertion
was
made
have been resumed in
[Thursday]
on
that
good authority.
certain the lines
on
"peace negotiations
Ireland, it is learned to-night
which the
It is difficult to as¬
intermediaries are
operating owing to the reticence of all engaged, but
Dec.
it
181920.]
THE
CHRONICLE
is
understood that high church
dignitaries, in¬
cluding Archbishop Clune of Perth, Western Aus¬
tralia, and the Bishop of Killaloe, Mgr. Fogarty, are
prominent among those continuing their efforts to
bring about
settlement."
a
3359
the
delegates expressed their belief to-night [Thurs¬
day] in the possible abandonment of the conference
of experts
some
unless the Germans
constructive ideas
payment of reparations.
tinue to-morrow
There has been less furore in
New York
London, Paris and
the concessions for immense tracts
over
of land in Russia which
Washington B. Yanderlip
has claimed that he secured from the Soviet Govern¬
ment
of
about
a
that
country.
week
He arrived in New York
and has proceeded to Los An¬
ago
geles, without going to Washington,
nounced he intended to do.
to the national
the
capitol
resumption
it
as
The purpose
was an¬
of his trip
said to have been to urge
was
of trade
relations
United States and Soviet Russia at
between
the
to newspaper
representatives in
London, except that he modified certain of his earlier
assertions somewhat.
"Guardian" sent
information
It
seems
that the Manchester
cablegram to M. Tchitcherin for
a
regarding the
concession
which
Yanderlip claims that he had secured.
referred to Leonid
was
trade envoy
of Mr.
Mr.
The paper
Krassin, Russian Bolshevist
in London.
Tchitcherin,
The latter, speaking for
said to have "confirmed the claims
was
Yanderlip in connection with vast Russian
concessions," but to have "emphasized that it
was a
good business proposal for the Russian Soviet, since,
according to the terms of the concessions, in what¬
benefits
ever
the
It
Soviet
are
gained by the American syndicate
Government
will
gain
comparatively."
pointed out that while in London Mr. Vander-
was
lip said he had made "a definite, unqualifed under¬
standing for the exact conduct of his business in his
own
which would be along the lines of Ameri¬
way,
business, and the
can
same
as now
necessity of taking up
reparations solution immediately." It was add¬
ed that at the
Premier
House of
Commons
still
were
Lloyd
George
enjoyed by the
announced
in
the
Tuesday that negotiations
on
pending with Krassin and that he had
hopes "of concluding
a
trade agreement between
Great Britain and Russia."
It became
known, how¬
ever,
that "meanwhile Krassin has amended the Rus-
sian
proposal and that it will be submitted to the
■
*
.
*
President of the British Board of Trade."
don
most of the afternoon in
go
emphasized the deadening effect upon German
industry of the demoralized exchange situation, but
did not give the constructive ideas the members of
the conference
It
was
proposed by Krassin
said to have been rumored
Thursday afternoon that the negotiations
likely to be broken off.
were
The
British
second
Brussels
its sessions in that
that
the
German
city
financial
on
conference
Wednesday.
delegates,
among
It
small
gain in income
chequer balance
whom
began
are
said
Dr.
Walter
Simons, the Foreign Minister, and Sigmund
Bergmann, Under-Secretary for Finance, were ex¬
pected to bring "a personnel equalling the combined
staffs
of
Allies."
the
A
dispatch from
stated that "the United States
but Roland W.
Boyden, who
was
was
repaid,
arrived
attend,
the unofficial repre¬
coming to the present conference."
dispatch stated that the German delegation
It numbered 27. The
Wednesday evening.
Expendi¬
a
week
Of this total,
ago.
revenues
contributed
£14,791,000, against £16,806,000, savings certificates
£850,000, against £620,000, and advances £7,850,000, against £55,150,000.
Sundries yielded £369,Last
000.
£130,000.
of
week
total
the
Treasury bills
£62,072,000, which
812,000
week
from
source
was
sold to the amount
were
compares
earlier.
this
with sales of £93,-
Repayments
were
only
£50,961,000; hence the volume of bills outstanding
was again augmented, this time to
£1,137,604,000,
a
against
as
Sales of
£1,126,729,000 in the preceding week.
Treasury bonds
were
also smaller, namely
£815,000, against £2,050,000 last week.
advances
floating debt
which compares
In the
to
Temporary
£260,264,000,
as
£268,414,000 the week previous.
pared with
total
lowered
were
com¬
The
aggregates £1,397,868,000,
now
with £1,395,143,000 the week before.
corresponding week of 1919 the floating debt
amounted
stand at
to
£1,341,805,000.
£2,555,000,
as
Exchequer balances
contrasted with £2,365,000
week.
Official discount rates at leading European centres
continue to be
quoted at 5% in Berlin, Vienna and
Switzerland; 5Yi% in Belgium; 6% in Paris, Rome
and
Madrid; 7% in London, Sweden and Norway,
In London the private bank
4^% in Holland.
is firmer and
advanced to 6
last week.
sixty and ninety-day bills have
11-16@6%%,
Money
on
changed from 4%%.' So far
ascertain,
open
no
as
against 6J/£@6^%
call in London has not been
as we
have been able to
reports have been received by cable of
market discounts at other centres.
Brussels
invited to
September last, has forwarded notice
Associated Press correspondent
expanded £190,000.
were
£86,747,000, in comparison with £168,570,000
were
The
Bank
of
increase in gold
showed
A later
a
that the Ex¬
so
£86,557,000 (against £169,555,000 for
4).
Receipts from all sources
was
conference in
not
outgo,
over
national
11 indicated
the week ended Dec.
note circulation
was
of
statement
£15,307,000, against £65,336,000, while the total outflow, including Treasury
bills, advances, Exchequer bonds and other items
sentative of the United States at the first financial
that he
was
for the week
tures
rate
was
Treasury
financing for the week ending Dec.
and
The
hope to hear later."
as¬
to the very heart of the guarantees demanded by
in London
pros¬
He
last
Great Britain."
depicting the gloomy
pects of his country's financial and economic future.
The Lon¬
correspondent of the New York "Herald"
serted that "the amendments
opening session on Thursday, "Rudolph
Havenstein, President of the Reichsbank, occupied
International Harvester Co. in its branch in Rus¬
sia."
con¬
[Friday], with the expectation that
early date.
an
Yanderlip gave out several
interviews, but his statements did not differ greatly
made
plan for the
a
The conference will
the Germans will realize the
the
While in New York Mr.
from those
speedily advanced
respecting
said that "some of
a
England
announces
another large
stocks, viz., £934,011, although
was
as
expanded £825,000, total reserve
gain of only £109,000/
Further reductions,
shown in deposits, so that the propor¬
tion of reserve to liabilities was again advanced to
however,
9.65%,
were
as
against 9.34%
ratio stood at
13^%.
a
week
ago.
Last year the
In public deposits there was a
;
THE
2360
of
contraction
deposits
Other
£3,023,000.
brought down £413,000, while Government
declined
in loans
were
securities
(£27,000)
Threadneedle Street's gold
recorded.
was
increase
small
A
£3,585,000.
£126,811,522, as against £91,-
holdings aggregate
[Vol. 111.
CHRONICLE
498,847 in 1919 and £78,604,711 a year earlier. Note
circulation is £131,233,000.
Last year the total
5,778,651,000 marks.
Note circulation showed
no less than 400,236,000 marks.
Notes
fell
increase of
an
of other banks declined 129,000
reduced 2,515,000
were
marks, investments
rrprks and other liabilities
Irf advances there was an in¬
9,713,000 marks.
Other securities showed
313,512,000 marks.
of
crease
of
contraction
a
marks.
266,296,000
The
Bank
Reserves reports its gold holdings as 1,091,567,000, which
stand at £14,024,000, which compares with £19,- compares with 1,090,300,000 marks a year ago and
Note circulation has
649,227 in 1919 and £28,091,311 the year before 2,307,380,000 marks in 1918.
reached the huge total of 64,284,400,000 marks.
A
that, while loans amount to £72,208,000, in compari¬
was
£90,299,620 and in 1918 £68,963,400.
son
with £76,860,193 last year
and £93,217,685 in
year
change in the Bank of
There has been no
1918.
1918
it stood at 32,460,360,000 marks and in
ago
19,175,460,000 marks.
England's official discount rate, which continues at
week
they
Last
£764,810,000 and £723,770,000 a
were
We append a tabular statement of com¬
year ago.
Saturday's return of the New York Clearing
Last
London
the
£670,589,000.
totaled
week
the
for
through
Clearings
unchanged.
7%
banks
institutions
House
loan item
parisons of the different items of the Bank of Eng¬
land return.
This
down to
COMPARATIVE STATEMENT.
1917.
V 1918.
1919.
:
1916.
Dec. 20.
Dec. 16.
Dec. 17.
Dec. 18.
Dec. 19.
£
£
£
£
90,299,620
68,963,400
45,037,670
£
39,224400
21,538,293
28,868,255
36,926,245
53,580,815
..
131,233,000
Circulation.
19,401,000
Public deposits
Other deposits..... 126,070,000
125,311,507 143,884,583 129,127,809 109,007,255
42,187,508
Governm't securities 77,123,000
68,188,552
69,255,515
57,820,020
Other securities....
72,206,000
76,800,193
93,217,685
95,113,836 104,680,907
Reserve notes & coin
14,024,000
19,649,227
28,091,311
30,984,826
Coin and bullion.._ 126,811,522
91,498,847
78,604,711
57.572,496
33,573,700
54,347,800
9.65%
13*6%
16.30%
18.70%
20.50%
7%
6%
5%
Proportion of reserve
to
liabilities-—
Bank rate.
5%
/\
6%
;
;
there
of $43,668,000 to $4,012,916,000.
Government deposits which
Reserves of member banks with the
Bank
in
gold item, the increase this week being 982,000
francs.
brought
up
total
Bank's
The
gold holdings
5,577,925,292 francs last year
francs
the
are
thus
comparing with
and with 5,473,452,260
to 5,499,044,825 francs,
before; of the foregoing amounts
year
francs
1,948,367,056
abroad in
held
were
1920,
1,978,278,416 francs in 1919 and 2,037,108,484 francs
augmented
by 32,228,000 francs.
On the other hand, silver
decreased 1,121,000 francs, bills discounted were
reduced 81,975,000 francs, Treasury deposits fell
in 1918.
off
During the week advances
francs
42,806,000
and
diminished by 325,863,000
were
deposits were
Note circulation
general
francs.
registered the large expansion of 410,879,000 francs,
bringing the total outstanding
francs.
This
at this time last year
in 1918.
of war,
On
with
contrasts
to 38,330,955,370
up
July 30 1914, just prior to the outbreak
the amount
was
only 6,683,184,785 francs.
Comparisons of the various items in this week's
return with
the statement of last week and
sponding dates in 1919 and 1918
FRANCE'S
BANK OF
are as
counted
(not
COMPARATIVE
Changes
Dec. 16 1920.
In France
Inc.
Dec. J8.1919.
Drc. 19 1918.
Francs.
Francs.
Francs.
Francs.
3,550,677,769
3,599,646,876
reserve
trust
augmented $100,000 to $9,360,000.
was
fell
plus there
total
of
was
a
a
This
week earlier.
decline in
Federal
loss of $10,733,130, bringing the
to
$11,247,910, against
reserves
excess
$21,981,040
the
banks
member
Reserve
institution
chiefly due to
was
reserves
and
the
with
increase
the
in
The above figures for surplus are on the
basis of reserves above the legal requirements of
deposits.
13% and do not include cash amounting to $97,370,held
000
by these banks
on
Saturday last. The
better, in that
from 37.8% to 39.1%.
Federal Reserve Bank showing was
the ratio of cash
Total
cash
holdings
reserves rose
increased
was
reserve
outstanding
notes
down
came
from
reduced
were
$12,148,000 and
$9,800,000. Bill
$1,054,020,000 to
$1,012,600,000.
Seven per cent may
vailing rate for call
be said to have been the pre¬
money
this week. During the
6% quotation
last hour of business several days a
was
bulk
reported, but it
of the loans
generally assumed that the
made at the higher figure.
that they
said
Borrowers
was
were
experienced
no
difficulty
getting whatever amount of money they needed,
and it was even stated from day to day that the
in
1,978,278,416
2,037,108,484
supply
was
well in excess of the demand. The time
nearly nominal as before;
loan market continued as
3,436,343,775
<1,948,367,056
982,000
No change
Abroad
kept in other
companies
Aggregate
$5,419,000 to $542,844,000.
As to sur¬
The
depositories by State banks and
Status as of
for Week.
Gold Holdings—
STATEMENT.
while reserves in own
companies increased
reserve),
as
$115,000 to $9,267,000.
corre¬
follows:
Cash
vaults, however, gained $721,000 to $97,370,000
vaults of State banks and trust
37,378,431,650 francs
and with 29,271,224,475 francs
Federal Reserve
$5,634,000 to $524,217,000.
cut
were
reserves
its
In net time deposits
only $8,408,000.
decline of $11,213,000 to $250,636,000.
was a
gains in
The Bank of France continues to report
The
exclusive of
is
were
1920.
expected.
as
namely $619,000, but net demand deposits showed the
large expansion
BANK OF ENGLAND'S
about
was
again reduced, though only slightly,
was
no
changes in quotations were reported. The finan¬
are still disinclined, apparently, to
cial institutions
Total
..Inc.
982,000
Bills discounted—.Dec.
Advances
Note
5,499,044,825
5,577,925,292
1,121,000
Dec.
Silver
264,468,495
272,160,113
5,473,452,260
318,501,391
81,975,000
3,255,843,298
1,194,308,246
971,916,166
32,228,000
....Inc.
2,208,937,000
1,410,370,858
1,217,202,109
410,879,000 38,330,955,370 37,378,431,650 29,271,224,475
circulation..Inc.
42,806,000
110,075,000
82,179,497
General deposits—Dec. 325,863,000
3,542,464,894
3,182,251,112
2,451,676,996
in
41,378,275
Treasury deposits.Dec.
of funds for the longer
market was not disturbed
the least by the preparations for the payment,
Dec. 15, of the fourth installment of income and
put
out
periods.
on
excess
In its statement,
issued
as
of Dec. 7, the Imperial
Bank of Germany shows that
was
increased
4,000 marks.
marks.
There
529,000
total coin and bullion
marks,
while gold declined
Treasury notes expanded 162,335,000
was
another sensational cut in bills
discounted, viz., 5,595,564,000 marks, while deposits
a
large amount
The local
profits
money
taxes.
It
was
amount due in this revenue
estimated that the
district totaled approxi¬
According to unofficial esti¬
and $40,000,000 was
the due date. As pointed out in
mately $100,000,000.
mates,
not
between $30,000,000
paid in
on
previous weeks, and as is well known
in the financial
and dividend
district, there will be heavy interest
Dec.
181920.]
disbursements
THE
Jan.
on
of the omission of
1
thereabouts.
or
CHRONICLE
DISCOUNT
Because
almost
no
declared.
IN
The railroads have
of.
care
called
cash
extra
new
of maturities in
debentures
it may be
as
disposed of within
during the week.
time
short
a
With continued slackening in the
business of the country and further liquidation, the
position
monetary
likely
seems
still
become
to
easier.
Dealing with specific rates for
call have covered
a
loans
money,
on
of 6@7% for both mixed
range
Discounted
within
FEDERAL
RESERVE
17
BANKS
1920.
maturing
days
(including
15-day col¬ Bankers'
secured by—
accep¬
banks'
lateral
notes)
!
Treasury
Liberty
certifi¬
cates
Boston
tances
paper
bonds
wise
and
secured
member
and
banks
for
notes
5A
maturing maturing
within
91 to 180
90 days
6
days
7
7
6
Cleveland
...
6
7
5X
5A
6
5H
5H
6
6
6
6
6
7
7
6
7
7
0
7
v
6
'
t6
te
to
.......
55*
6
h:
5H
Chicago
te
6
St. Louis..
♦5H
5H
5H
6
6
6
6X
Minneapolis
5A
Kansas City
Dallas
San
>
7
t6
0
\
5H
6
6
t6
tfl
Francisco
and
unsecured
t6
...
Richmond
live-stock
Victory
of
New York......
Atlanta
tural
accep¬
disc'ted
Other¬
edness
Philadelphia
Agricul¬
Trade
tances
Federal Reserve
Bank of—
bills
90
member
large volume
Two large issues of Standard Oil
were
THE
indebt¬
rather
a
much assistance
as
willing to grants
OF
EFFECT DECEMBER
being
are
likely that the Government will be
for
upon
dividends
January, which will have to be taken
It is
RATES
considerable number of dividends
a
on industrial
stocks, the total amount of money re¬
quired for the payment of dividends will not be as
large as it otherwise would have been, particularly
as
3361
5K
5A
6
6
6
6
6
0
•
*
5H% on paper secured by 5 J* % certificates, and 5% on paper secured by 4?* %
5% certificates.
i
j;
t Discount rate corresponds with Interest rate borne by certificates pledged aa
collateral with minimum of 5% in the case of
Philadelphia, Atlanta, Kansas City
and Dallas and
5A% in the case of Cleveland.-Richmond, Chicago and San Franclsco.
V ''".V
'
/'-■'.
?
Note.—Rates shown
for
St.
Louis,
Kansas City and
Dallas are normal
and
.
rates, applying to discounts not In
of basic lines fixed
excess
for
each member bank
by the Federal Reserve Bank.
Rates on discounts in excess of the basic line are
subject toa H% progressive increase for each 25% by which the amount of accom¬
modation extended exceeds the basic line.
*
,
collateral and all-industrial loans alike, as compared
with
flat rate of
a
Tuesday rates
7%
week
a
Monday and
ago.
still fixed at 7%, this being the
were
high, the low and the ruling figure for all trans¬
actions
on
both
days.
On Wednesday
slightly
a
eas¬
ier tone
the
developed and the call rate fell to 6%, though
high was still 7% and renewals were negotiated
at that
with
figure.
Thursday's
7% still the renewal basis.
shade firmer
a
range
remained at 6@7%
The call market
put through at 7%, this having been both the
imum and minimum figure.
what
was
in
easier
being.
not
were
available and brokers
In
max¬
some¬
look for
conditions, at least for the time
for fixed maturities the market
money
quiet and practically
reported.
now
no
important trades
Opening quotations
were
firm
nearly
up
were
and
un¬
impetus of
10
an
was so
exaggeration to
at
was
a
brisk inquiry rates
a
cents, to 3 53for
Monday trading
say
ruled
at
last
week.
In keeping with this,
has
important of these
banks entered the market
liberal scale in
end
as
buyers of exchange
preparation for the forthcoming
settlements.
that
Coupled with this
exports have shown
a
and
ninety days
7% for four, five and six months,
as
against
on a
year-*
the fact
was
declining tendency of
late, with the result that supplies of commercial
Covering of shorts also played
tions declined to 7@7J^% for sixty and
re¬
Christmas, in addition to which London
offerings
slight easing and quota¬
Probably
ening of the demand lately noted incidental to
mittances for
a
lethargy that
the sudden broad¬
was
disbursements there
a
the levels
however,
prevailed recently in foreign exchange.
changed, though with the completion of the Dec. 15
was
or
Subsequently,
number of factors tended to break the
the most
On
the market much of the time
close to 3 44}^,
very
ran
demand.
light that it would hardly be
complete standstill.
prevailing
surprising in view of the huge Decem¬
Later, however, more liberal
monetary
and under the
was
demands.
15
offerings
was
were
inactivity in
early dealings, sterling exchange turned strong
rates
light supply during the first half of the week
which
ber
Funds
brief interval of dulness and
a
was
Friday and all the business
on
After
the
prices.
about
lighter than for
were
quite
some
time.
part in advancing
a
Later in the week realizing sales brought
slight recession, but this proved of short
a
7J^@7J^% and 7J^@7^%, respectively, last week.
duration and the close
All-industrial money is
for the week.
being dealt in at about % of
1% higher than the rates just given.
Mercantile
has ruled firm but quiet with
paper
sixty and ninety days' endorsed bills receivable and
six months'
of
names
choice character still quoted
at
News that
a
of
carrying
on
bank
non-member
bills.
Both
local
and
town institutions have been in the market
Loans
on
demand
against
continue to be quoted at
are
as
bankers'
6%.
as
out-
of
buyers.
acceptances
Detailed quotations
follows:
—-Spot Delivery-—
Delivery
Eligible bills of member banks...
Sixty
Thirty
within
Days.
Days,,
Days.
30 Days,
6!4@6H
6H@6
...0H@0>*
Eligible bills of non-member banks
Ineligible bills
*
6A®6%
*
Market stagnant;
exercised
a
decidedly stimulating effect, and
a
good deal to do with the improve¬
market sentiment, although it is
by financiers generally that
ditions very
little immediate relief
from this source,
*
*
every transaction
conceded
under the best
even
can
con¬
be expected
since the inauguration of
an
enter¬
prise of such magnitude is of itself likely to be
a
In the opinion of certain prominent
lengthy task.
bankers, the formation of the
still leaves much to be
arranging exchange
new
Foreign Financing
long step in the right direction,
a
or
accomplished in the
way
of
American credit for satisfac¬
6H@6
6%@6H
*
rates ordinarily absut 1% higher as compared with the rates
eligible bills, but in present circumstances
can
Law
Corporation, though
Ninety
on
business of $1,000,000,000 had
a
ment in
active, at previous/levels for eligible member and
a pro¬
powers
actually been organized to operate under the Edge
iness.
fairly
pretty nearly the best
foreign trade corporation with
undoubtedly had
Banks' and bankers' acceptances have been
at
posed capital of $100,000,000 and potential
7%@8°7o and names not so well known at 8%.
Country banks continue to furnish most of the bus■
was
subject to whatever
be done with it.
European collateral, also the popularizing of
tory
the
Without widespread
Corporation's debentures.
public support, it is pointed out, the venture cannot
possibly
meet
with
success.
The view
generally
taken, however, is that when in full working order
There have been
no
Reserve bank rates.
of rates
now
changes this week in Federal
The following is the schedule
in effect for the various classes of paper
at the different Reserve banks:
it is almost certain to stimulate foreign
do away
with
culties in
tions.
a very
financing and carrying
The
business and
large proportion of existing diffi¬
movement
to
on
revive
exchange opera¬
the War Finance
Corporation is not taken very seriously in banking
circules, and is indeed opposed by many bankers
ground that banks organized under the Edge
and facilities for
the
on
[Vol. 111.
CHRONICLE
THE
2362
considerable
and
quantities
of
changed
exchange
hands, particularly during the latter part of the week.
Currency values for a time continued to show irregu¬
larity and actual price levels shared only to a minor
of export demands, and that it will be extent in the gains noted in sterling until Thursday,
Law have all the necessary power
taking
care
best for all concerned for the Government to
maintain
when substantial advances were recorded.
French
policy. In any event, it is under¬ francs, after receding more than 4 points in the initial
stood that whatever Congressional action is taken it transactions, rallied to 6.11% for checks, or nearly
need in no way interfere with the establishment of 25 points above last week's close. Exchange on Rome,
Edge Law corporations, since proposals for Govern¬ which ran off 5% centimes to 3.42 at one time, turned
Antwerp
ment aid are purely for relief of a temporary nature strong and moved up to 3.58 for sight bills.
its "hands-off"
and, would be applied only to a situation of immediate
francs moved in
sympathy with French exchange, ad¬
vancing to 6.45, against 6.20 a week earlier.
urgency.
Quota¬
committee
tions in
French, Belgian and Italian currencies,
acting for the Governors of the New York Stock
noted in
our
Exchange to consider the advisability of open trading
per
in
the dollar, as
Announcement of the appointment
in
a
the floor of the Exchange
only casual attention. Bankers are
foreign exchange
came
of
for
on
likely, however; to watch closely the proceedings of
the second Brussels Conference, which opened on
Wednesday for the
of discussing German
purpose
as
last week's issue, are now given in cents
unit, instead of the number of lire
or francs to
German marks opened firm,
formerly.
reacted several
points, then rallied towards the close,
touching 1.41%,
advance of about 10 points for
an
Austrian kronen, however, ruled heavy
the week.
throughout, touching
low
as
00.20%,
as
a
drop of
On Friday,
reparation and other important financial matters.
after pronounced firmness early in the day, there was
Referring to quotations in greater detail, sterling
exchange on Saturday of last week was easier and a recession, and losses of several points were sus¬
demand declined fractionally to 3 44%@3 45, cable tained, though the undertone at the close was heavy.
An influence of the week with regard to Reichstransfers
to
3 45%@ 3 45%
and sixty days to
9
3
38@3 39%; trading
was
trifle lower, ranged
bills
3
which
rates,
within
narrow
limits, with demand
44%@3 45, cable transfers at 3 45%@
3
at
Monday's market
were again a
quiet.
was
and
affair
dull
a
45% and sixty days
Good
3 37%@3 38%.
at
buying characterized Tuesday's dealings, as a result
which
of
3
day
On Wednes¬
37%@3 39% for sixty days.
2%c.
up
developed,
strength
increased
moved
3
3 44%@
to
46% for demand, 3 45%@3 47% for cable trans¬
fers and 3
3
sharply,
rallied
quotations
47%@3 49%
cable
for
that
so
3 46%@3 48%
to
for
transfers
rates
demand,
3 39%@
and
41% for sixty days; liberal buying for Christmas
remittances
and
bursements
by the banks
the
for
were
mainly responsible
The undertone
improvement.
was
strong
Thursday and good buying coupled with light
on
offerings induced
to 3
also
further advance in demand bills
sixty days 3 40% @3 44%; covering of shorts
figured in the rise.
firm and still
for
a
48@3 51%; in cable transfers to 3 48%@3 52,
and in
3
preparations for the year-end dis¬
On Friday the market ruled
higher with the
range
3 50% @3 53%
demand, 3 51%@3 54% for cable transfers and
43%@3 46% for sixty days.
were
3
3 52
for
Closing quotations
44% for sixty days, 3 51% for demand and
finished
cable
at
3
transfers.
50%,
sixty
Commercial
days at
sight
3 42%,
bills
ninety
points from last Friday's closing price.
marks
was
intended
ment
of
ment
ceived
the
$1,500,000
San
at
National
Australian gold has
Francisco
City Bank of
understood to be part
of
previously arranged for.
of
amount
this
a
been
week for account
New
York.
This
re¬
notes and securities
this is done,
$4,250,000 is expected
on
another
at
on
the Kroonland.
It is also learned
between Germany
and other foreign governments for the purpose of
changing the present clearing arrangement whereby
Germany is compelled to pay her monthly debt
negotiations
made
and
London, consigned to the Bank of England, from
was
Continental exchanges also
shown both in point of
improvement
activity and strength,
progress
enormous
payments
lately, Germany is petitioning Great Britain
France
for
a
different
method
of
settlement;
Greek exchange was
in somewhat better demand and rallied more than
40
points, to 7.25 for checks.
however
are
still
Affairs in Greece
extremely unsettled and the im¬
provement is regarded as only a natural result
recent sensational declines.
Government is
ances
of the
Reports that the Greek
contemplating withdrawing its bal¬
in this country
It is
could not be confirmed.
believed that this action would have much in¬
in
solving
Reliable estimates
present
financial
difficulties.
place these balances at approxi¬
mately $10,000,000 in New York and around $20,balances
as a
whole.
In withdrawing
here, it is expected that Greece will
purchase sterling in this market and convert it into
drachmas in London.
under way for a
Negotiations
are
said to be
loan in this market to the Greek
Government.
The official London check rate
58.05,
which
New York
compares
sight bills
6.04% cents
fers at
the
in
but thus far without results.
at
the^Bank of Esthonia.
In
are
Because of the
balances in cash.
It is reported that
shipment of $500,000 gold has been received
re¬
large amount of German
property in Rumania returned.
that
its
perator shortly and $1,800,000 on the Olympic; also
$1,650,000
diplomatic relations will likely be
sumed and in consequence a
is
the S. S. Im-
the
It is understood that if
war.
000,000 in the country
Gold from London to the
for
deposited in Germany by Ruma¬
nian banks before the
of
consignment of $5,000,000
notes
currency
from
200,000,000 gold francs and 200,000,000 Rumanian
fluence
Cotton
A ship¬
all
in
Minister at Bucharest that it is ready to return
at 3 42 and
seven-day grain bills at 3 49%.
calling
Berlin states that
Germany has notified Rumania through the Swiss
not
grain for payment closed at 3 50%.
which have
recently that the German Govern¬
dispatch
A
stamping.
days at 3 40, documents for payment (sixty days)
and
the official denial of reports
been in circulation
per
on
on
Paris closed at
with 58.20 last week.
In
the French centre finished
franc, against 5.86%;cable trans¬
6.05%, against 5.87%;
commercial sight at
6.01%, against 5.83%; and commercial sixty days at
5.95%, against 5.77% last week.- Antwerp
francs
Dec.
181920.]
CHRONICLE
THE
3363
closed at 6.39 for checks and 6.40 for cable transfers
gained $5,202,000 net in cash
as a
as
rency movements for the week
ending Dec. 17. Their
compared with 6.20 and 6.21
quotations for Berlin marks
1.3334 and 1.3434
week
Closing
ago.
000, while the shipments have reached $3,192,000,
Last week the close was
as
Austrian kronen finished the week
•
the following table:
per
00.2034 for checks and 00.2134 for cable remittan¬
against 00.29J4 and 00.3034 a week ago. Italian
i:
Week ending December 17.
Into
with
change
finished
Czecho-Slovakia
on
againat 1.14J4;
on
Ex¬
3.5034 and 3.5134 the week previous.
Poland at
against 2.25
to
the
7.35 and 7.45
were
Last week the close
foi*
cable transfers
7.10 and 7.15.
was
considerably
was
extensive,
some
the
still
were
The trend
while
doing in neutra
currency,
upward, and while changes were not
gains
Guilders led in
noted.
were
advancing several points,
upward movement,
Copenhagen and Stockholm remittances ruled
Spanish pesetas finished at
strong and higher.
on
effect
was
Dec.
of
taken
by the Fed¬
over
6, it is no longer possible
Government
Bank of New York
serve
$6,202,000
was
operations
on
The Federal Re¬
creditor at the Clear¬
ing House each day in amount
follows: Monday,
as
$91,157,321; Tuesday, $53,264,862; Wednesday, $68,973,753; Thursday, $114,069,240; Friday, $155,294,-
but in the main
comparatively light in volume.
exchange, especially Danish
transactions
more
the
to Banks.
$3,192,000 Gain
Clearing House institutions.
529.
There has been
Sub-Treasury
show
Gain or Loss
Banks.
$8,394,000
eral Reserve Bank
1.34
17J4> against 17, and on Finland at 2.30,
a week earlier.
Final quotations for
Greek checks
As the
■
1.17
at
against
Bucharest at 1.13,
on
Banks' interior movement
Out oj
Banks.
ces,
exchange closed at 3.46 cents per lira for bankers
sight bills and 3.47 for cable transfers, in comparison
result of the cur¬
receipts from the interior have aggregated $8,394,-
1.3134 f°r checks anc
were
1.3834 f°r cable transfers.
at
a
a
These
heavy credits reflect the huge mass of
checks which
from all
to the New York Reserve
come
the Federal Reserve
These
as
System's
collection scheme.
par
large credit balances, however, show nothing
to the results of the Reserve Bank's
with the
sent
Clearing House institutions.
only
side of the account,
one
the Reserve Bank itself
upon
Bank,
parts of the country, in the operation of
slight net advance, but Swiss francs ruled fractionally
to the bank
under last week's levels.
are
as
operations
They repre¬
checks drawn
presented directly
House.
in the
Swedish
Owing to conditions ruling
markets, it is reported the
money
Financial Council of Sweden has recently instructed
all
the
announces
amount of
Spanish
^Treasury
issue
of
large
a
bills, estimated at about
December
transfers
cable
30.45;
at
at
31.40,
30.39, and commercial sixty days at 30.85, against
Swiss francs finished at 15.14 for
which
sight bills and 15.15 for cable transfers,
Copenhagen checks closed at 15.10 and cable transfers
at
15.15,
against
14.60
and
Checks
14.70.
19.20 and
against
while checks
19.30,
on
Norway closed at 14.82 and cable transfers at 14.92,
against 14.55 and 14.65,
on
Friday of
a
week
ago.
Spanish pesetas closed at 13.10 for checks and 13.12
for
cable
Last
transfers.
week
the
close
was
at
12.83 and 12.85.
As
to
France
£
£
126,811,522
...
126,811,522
142,027,112
a..
Germany
Netherl'ds
64,578,250
10,944,000
98,201,000
32,192,000
53,012,000
10,660,000
Switz'land
21,655,000
Italy
Denmark
another setback
declined
this
and the
week
to
check rate
34.25
and
on
cable
Argentina
transfers
34.3734> with the close at 34.3734 and 34.50, against
35.5734 and 35.50 last week.
For Brazil the rate
has fallen to 14.50 for checks and
14.62J4 lor cable
transfers, in comparison with 15.87J4 and 16.00 the
week before.
Chilian exchange was firmer, advanc¬
ing to 14.08, against 14.04, while Peru is now quoted
at 4.22
as
compared with 4.16 last week.
Far Eastern
56@56J4>
_
__
Total week
586,521,884
Prev. week 585,525,693
a
Gold
exchange is
against
as
follows: Hong Kong,
54@54}^; Shanghai,
against 70H@70%;
74@74J4,
Yokohama, 50%@50%, (un¬
45J4@46, against 45J4@46;
changed);
Manila,
Singapore,
40J4@41,
(unchanged); Bombay, 26@
2634* (unchanged); and Calcutta, 2634@26J4Clearing House banks, in their
operations with interior banking institutions, have
15,682,000
"145*666
12,789,000
8,115,000
£
91,498,847
96,851,000
32,200,000
52,680,000
10",880*666
154,865,875
1,052,550 55,533,200
2,374,000 13,575,000
25,090.000 121,941,000
3,006,000
35,206.000
627,000
53,307,000
11,707,000
22,652,000
10,656,000
1,051,000
20.225,000
2,427,000
16,664,000
11,787,000
8,147,000
"190,000
47,299,500 633,821,384 550,376,372
47,282,050 632,807,743 549.920,201
16,664,000
11,977,000
8,147,000
46,697,550 597,073,922
46,980,100 596,900,301
holdings of the Bank of France this year are exclusive of £77,934,682
":M
held abroad.
FEDERAL
V"v:
AS
AUTHORITY
STATE
AND
TO
RAILROADS.
.
On Dec. 11
an
railroads from
injunction restraining a number of
increasing their intra-State passen¬
rates as ordered by the Inter-State Commerce
ger
Commission
was
continued in effect by Judge Has-
brouck of the State
the Court of
Supreme Court, and on the 13th
Appeals upheld the Public Service Com¬
by deciding that the New York Central must
return to the two-cent rate within the
vided in the
State,
as pro¬
original charter; this' obligation, ac¬
cording to the Court, was suspended for a time, and
has been
drews:
"The
automatically restored.
'
■■
Said Judge An¬
V/'
obligation of the defendant to carry passen¬
for two cents a mile has not been destroyed; it
was temporarily superseded.
It was always sub¬
ject to this possibility under the war power, if it
>ecame necessary.
But when the suspension comes,
it revives with all its original force.
The suspension
gers
does cease,
in the language of the statute, when the
changed by State authority. The
■;hree-cent rate is
authority over intra-State
ice Commission."
The road exists and
ier,
rates is the Public Serv¬
operates under a State char¬
which contains and makes a contract as to rates;
moreover,
The New York
23,399,000 121,600,000
3,018,000 35,210,000
1,694,000 54,706,000
1,115,000 11,775,000
4,681,000 26,336,000
Total.
91,498,847
10",560,000 152,587,112 143,985,875
318,500 54,896,750 54,480,650
2,369,000
3,313,000 11,201,000
15,682,000
12,644,000
8,115,000
_
mission
American exchange there has been
South
1919.
£
on
Sweden finished at 19.84 and cable remittances at
19.94,
18
15.48 last week.
with 15.47 and
compares
December
1920.
£
England
Norway
bankers'
Clearing
Silver.
Spain
against 30.55; commercial sight bills at 31.20, against
30.02 last week.
the
Gold.
Sweden
against
31.34,
closed
Amsterdam
on
16
Silver.
Nat. Bel.
bills
sight
1 through
Total.
Gold.
Aus-Hun._
400,000,000 pesetas, the bills to bear 5% interest.
Bankers'
go
or
A recent
approaching
never
following table indicates the amount of bullion
principal European banks:
in the
goods that are not of
dispatch from Mad¬
importations of
necessitous character.
rid
discount drafts
banks to refuse to
Swedish
finance
The
and
the law of 1907 which established
ic Service Commission gave
trol of
rates
the Pub¬
that body absolute con¬
and substantially
all else.
It there-
fore
and
at
appears
once
good morals to say
law, good sense,
that when the major power
good
has taken off its inter¬
of the central Government
automatically re¬
fering hand the charter powers
A close analogy
sume.
The "law" of
world.
[Vol. 111.
CHRONICLE
THE
3364
is supplied by the natural
gravity is paramount and con¬
stantly operative, but such major force as resides in
even a weak human arm can overcome and tempo¬
It may or may not be the best and
it is not the best.
ultimate; there are internal stresses already vis¬
the
ible, and more conceivable;
time alone can decide,
and the wisest among us can
seemingly accomplished
has
which
hardly consider
our
anything more than a promising experiment
form as
wonderful re¬
If we turn back to 1787,
lofty note struck by the Founders in the
sults
yet is still on trial.
even
the
rarily suspend it; yet it is not repealed, and auto¬
single sentence which introduces their marvelously
dis¬
far-seeing charter does not clearly show that they
aimed to do more than construct a sound and en¬
matically resumes regular working when the
turbing interference is withdrawn. As a legal propo¬
impreg¬
of the not very abun¬
sition, Judge Andrews's conclusion seems
nable, and it appears to be one
dant instances in which an appellate tribunal gives
strictly according! to the law without per¬
decision
the
And yet, strictly
goodlaw though this be, it is not the entire case pre¬
mitting itself to be influenced by considering
probable consequences to follow.
sented
This encounter between the State and the
central
must of course pass on to the final tribunal.
There is a like case, still unsettled, concerning the
New York anti-landlord statutes, for the Appellate
power
Division of the Supreme
lice
Said Judge Jenks, "whatever the con¬
powers."
tract
give
Court has added another
sustaining the legislature in using its "po¬
decision
rights of the relator or its tenant, they must
way
Understanding it thus, what then—what shall be
while the experiment
done
The whole is
pak
to the public welfare ... a statute enact¬
police power (the law of
ed in the exercise of the
overruling necessity, as it was once termed) is para¬
mount, and cannot be affected by previous contracts
Yet this State has
between individuals."
is less than the whole—the axioms of mathe¬
us that.
If a difference arises, which
matics tell
indisput¬
for
tuting the whole) must govern the parts; no seces¬
sion
by
rebellion
or
part
any
To
day, in the Federal Circuit Court, where Judge
remarked that
a
constitution is not
a
code
or a
stat¬
actual "case" presented,
the
to
nearer
come
United
States, which shall be made in pursuance
thereof, and all treaties made or which shall be made
every
Hough (with Judges Mayer and Hand concurring)
the result is
paragraph 2 of Article VI of the Federal Charter
declares that "this Constitution, and the laws of the
ter
in still another sustaining decision, on Thurs¬
persistent, self-dictated course
happen in our human imperfection)
tracts," which is one of the things the Federal char¬
upon
or
be permitted, and if the central au¬
liable to be ruin of the entire structure.
the
This was touched
can
thority allows such a course (as, indeed, does often
under the
"no State shall" do.
number of the
Our own bodies offer us a helpful analogy,
there the whole (the intelligence and will consti¬
parts?
ably passed a "law impairing the obligation of con¬
says
is working itself out?
equal to the sum of the parts, and a
shall control—the whole or any or a
involved.
and
during modus vivendi for a new nation on a new
continent.
authority of the United States, shall be
law of the land, and the judges in
supreme
State shall he hound thereby, anything in the
constitution
or
laws
of
State to the contrary not-
any
It would be well to examine this
withstanding."
carefully, phrase by phrase, that we may note its
force.
It
was
agreed to by this State, in convention
ute, "and is not to be interpreted with the strictness
with the
of
Apparently, this action constituted and completed a
a
private contract; to this doctrine we owe the
rulings that
even
the contract clause of the Consti¬
tution does not override the power
establish
the
regulations reasonably
health, comfort,
or
of the State to
necessary
to secure
general welfare of the com¬
Long ago, Seward declared the conflict between
The
contract.
objector
may
cite the tenth amend¬
ment, that "the powers not delegated to the United
States
the
by the Constitution, nor reserved by it to
States,
to the
or
munity."
others, and was ratified on July 26 1788.
and
are
reserved to the States respectively,
He is entitled to the rejoinder,
people."
perhaps declaration and rejoinder are about
slavery and freedom "irrepressible"; it proved so,
equal in reasonable weight, inasmuch as no arguing
for it continued until a final issue settled the ques¬
in the
tion of dominance between
a
and declared that because
Lincoln
the two.
house divided
a
self cannot stand he did not
which
to) be a matter of good morals
rather
removed
rangements, and he
and
was
above
or
usual
willing to
To
territory.
attacked
was
seemed
from
against it¬
expect that this country
could continue half-slave and half-free
Lincoln, the Union
saw
save
in
1861
something
human
ar¬
it without
mere
final
court of strict
settlement.
logic is likely to produce
That
must
As the "Chronicle"
nature of
has
already pointed out, the
subject must largely determine its treat¬
a
ment, and transportation is in its nature a continu¬
ing
process
between widely-separated points, that
being according to the area and peopling of the
country.
Our intra-State carrying, of either or both
determining the fate of the institution of slavery;
merchandise and passengers,
it
ial ;
was
not until
later, when he recognized the mili¬
in
any
tary necessity, that he brought himself to proclaim
the latter must
the
we can
manage
nation, to
to enable
persons
ture is
a
a
piece of military policy.
Yet if
to partly remove ourselves, in imagi¬
point in
space
and time distant enough
dispassionate judgment, most thoughtful
will probably
tnerely
an
agree
that
our
political struc¬
instrument of exped
iency; there
must be some form of external Government
men
become able and
ready to
govern
according to the laws of God) and the form
have is the
(until
themselves
we now
latest, and it is open to argument whether
ics
preponderate and control, so far as
nature of the
seems
case
incontrovertible
and
about
politics
is concerned.
It therefore
that, on grounds of econom¬
(and in this matter the two seem
convertible
govern.
is comparatively triv¬
difference between intra- and inter-State,
emancipation
as a
be reached other¬
wise.
terms)
inter-State traffic must
In this present issue, the higher rates are
in collision with certain lower rates
State laws and contracts,
by and under
and it is undeniable, as a
legal proposition, that the roads are "State" cor¬
porations and
owe
at least a degree of submission to
the State which created them.
Dec. 18
1920.]
Now there
are
only two grounds
CHRONICLE
which the
upon
and action of the Inter-State Commerce Com¬
power
mission in
and
THE
apparently
it is not
increases
ordering certain rate
called in question.
are,
pleasant to pay
can
be,
One is that
for transporta¬
more money
tion service.
Not much argument seems
this, for the
same
indisposition to
needed upon
pay more
than
one must was
working, and working disastrously for
everybody, all through the long course of "regulat¬
ing" which weakened the roads and brought them
towards the final seizure.
pay more on
do so,
freight,
People do not "want" to
anything, but consent to
or on
because of the
of the thing and the
reason
good results expected, in many situations of daily
living;
have consented, in the
we
taking back and restoring
railway properties.
wise and
So is it not, therefore, both
short-sighted, not to
say
issue raised
lower
It is
present rates?
behalf of the
on
necessity for
a
ture
growth that
tion
instruments, and it would surely be
and restore
we save
un¬
our
fu¬
transporta¬
our
bad policy
a
antagonize the Inter-State Commerce Commission
that it has abandoned its old attitude of hos¬
now
tility to them.
The
V
-
of
other
the
two
it
a
Stand upon
a
duplication of that law and commission is
posed.
suppress unfair methods in
the role
au¬
this broadly, and enforce
cate, overlap and conflict with the Trade Commis¬
sion, naturally leading to disputes of jurisdiction.
If anything useful can be
accomplished by an at¬
tempted statutory pursuit of alleged unfairness in
trade, the Trade Commission has already accom¬
plished it,
if
better directed,
or,
good has
no
come
from
setting
doing the
same
vented
that which
tended
(and probably needed)
State and intra-State
than
a
material
tions at once,
here
pen
an
they
object
irresistible force
an
body, it
dissension.
may
comes
be better left
If
Leave unsettled the
and
waive
can
its
nitely abandoning it.
safely,
dently.
against
as a
have
im¬
an
puzzle and
problem of
can
own
In the middle
will walk
you
very pru¬
We have the gravest of financial, industrial
defer them
deal with
we
cannot
all, for they refuse to be put by.
the
waiver when
most
imperative, and in
a
possible, not crossing bridges
Let
us
spirit of
until
we
to them.
proposing nothing less and better than
Governmental
ownership
TEE
PACKING
BUSINESS—
NEW MONSTROSITY PROPOSED.
The coal mines of the
supervision and
country
regulation
are
would
cused of
epithets
number of
a
This later attack
same
tend
the meat business
on
It happens that
great market is back to
sold at
tors
quoted
are now
coal,
taking
as
harsh
ness."^;-/,;.
yy;
The unfair
left
In Senate Bill
The
the "Federal Livestock Commis¬
.v'
objections
•,
are so many
/■
,
and serious that it is
not easy
to choose the order of citing them.
bill is of
greater length and detail than the Federal
Trade Commission law of six years ago,
and
may
The
an
ob¬
go on,
as
I,
be, shall advocate
case, my op¬
■
.
v'.'; V:., 5
practices forbidden to the packers
them,
a
be
or
sure
how
time; nobody
they
soon
cohtrol whose orders cannot be known
for
are
the
even
can
may
be
Every packer is placed in advance under
changed.
overseers
beforehand,
themselves will not know what
they will command or how often they will shift.
packers
are
forbidden to
engage
in
the effect of
The
so.
any manner
foodstuffs except livestock products, when
any
so
engaging
operators
fair in any
may
be to lessen competi¬
are
overseers say
forbidden not only to be
respect but to "charge
rate in commerce."
any
un¬
unreasonable
Observe that this
goes
step beyond the Trade Commission Law and
con¬
or
to regulate prices, since if the prohibition
have
Livestock Commission," the meas¬
But
Two Sena¬
declaring for intervention
of the Commission from time to
foresee
ing business and the country are threatened with
sion Act."
fury.
wholly undefined, and hence subject to opinion
3944, brought forward from last February, the pack¬
a
figures, hogs having
position to Government intrusion into private busi¬
decide what
as
which has been
that pork in that
the coal mines," and the other saying he
over
is to be enforced the
to be cited
us
willing "to modify somewhat, in this
what would be
bill "to create
news
pre-war
the remedy
as
fers power
ure
extortion and
saying that "if the matter is to
one
for one,
is
from
Chicago dispatch of
this does not count with the blind
to
comes
$9, against $10 30 in August of 1916.
possibly bad yet naturally improving conditions to
a
prove
a
only last Tuesday, repeating
a
worse.
success
coming for several weeks, told
price
utterly unendurable movement to go from
ac¬
of which, if
any one
shut-eyed and unreasoning fury which will
monopoly.
is
unspeakably
"the Big Five," and
as
crimes,
proved, would have justified the severest penalties.
straight towards "nationalization," and with what
an
the remedy for alleged
tion, etc., in other words, whenever the
threatened with
which
as
evils, and its violent abuse of the packers, whom it
in
A
The Trade Commission has
itself
remember its
The
REGULATING
capable
particularly and persistently upon
packing industry, and "Chronicle" readers will
the
without defi¬
proverb in Latin, and
says a
sover¬
concede present
claim
governing problems to deal with, and
come
we
to be agreement and not
eignty in the States, for that
and
agree—any
in two direc¬
better return to the position already taken:
may
most
to
agree
can move
without breaking in two.
that the open way seems
cases
Inter-
example of the old puzzle of what will hap-
when
movable
we
to prevent.
in¬
authority cannot operate si¬
multaneously—unless
more
was
or
not be regarded, however, as
may
piece of work.
have it that size and
than
worse
not needed to do
are
work.
same
Perhaps this
the
accomplish it;
may
body only evil could
one
another, and certainly two
up
pieces of machinery
of
from
come
barrier to
far
or
present proposal would dupli¬
literally, and it would raise at State boundaries
commerce
com¬
approval, either by its actions
The
successes.
competition has acted
fussy busybody and has not
the
the "commerce" clause of the Constitution
a
of the
mended itself to
its
pro¬
That ostensible undertaking to uncover and
belabored with
"
grounds is that State
thority must be paramount and must control, with¬
in the State.
jection which ought to be sufficient of itself is that
inconsistent, also,
to take sides with any
to
matter of
very
ravished and depleted
our
3365
one
one more
are
must be allowed to
"unreasonable."
So here we
price-regulating scheme in respect to
great line of necessaries.
Possibly
It is
On
prices
overseers
worse
is the proposed licensing scheme.
"voluntary," if
one
wishes to perpetrate a jest.
application, the overseers "may" issue to any¬
body
ness
a
certificate of registration for doing the busi¬
conducting or operating stockyards or
"of
slaughtering livestock, or processing, preserving, or
THE
2366
perishable foodstuffs/"
with provisos set forth at length and in much detail.
The applicant must satisfy the overseers (inter alia)
storing livestock products or
to the location and
as
other points of the grounds
and facilities he proposes,
including his own finan¬
he must
abide by the
provisions of this section and the rules, regulations,
credit, standing, and resources, and
cial
in advance "to comply with and
agree
and orders made
hereunder."
to do and submit to
vance
He must agree in ad¬
whatever may be handed
time, and one thing required
out to him from time to
by this Section 25 is that he must "furnish the serv¬
ices and facilities of his business on fair and reason¬
able
persons
This
unjust discrimination to
and without
terms
applying for such services and facilities."
(or may be read to mean) that he must
means
allow his
facilities,
on
indirectly interested in the business of any packer
"reasonable" terms to be passed upon
This section, calling itself
one for "voluntary registration," means that who¬
ever "voluntarily" comes under it will be bound from
crown to heel, and whoever declines this voluntary
by the official overseers.
surrender—what sort of time will he be
It is
rule in selection for office, nobody
the too common
who knows
anything of the subject is eligible, but
is to be turned over to outsiders.
that the business
Are
to move further towards the nth
ready
we
of Governmental interference, when all pri¬
power
vate business shall
be left nominally with its owners
capital (if pliant and optimistic
who furnish the
enough) but shall be controlled by non-interested
and
non-competent overseers from the outside, poli¬
appointed by other politicians?
ticians
nightmare?
No—propositions such as this are an anachronism
and
intolerable; they would turn back the hands of
which are beginning slowly to
the clock of progress
To be condemned and silenced, the
again.
move
proposals need only to be noticed enough to be un¬
derstood.
REDUCING THE UNITED STATES PUBLIC
dinarily advanced attempt to lay the hand of Gov¬
are
Whoever will dis¬
and think calmly can see
miss hatreds
Will pros¬
perity and low costs of living come out of any such
DEBT.
How is the Government ever
objections to this extraor¬
private business.
vocation, or employ¬
Translated, this means that, according to
ment."
hardly necessary to take space for a more
ernment upon
that meat
especially perishable, and are therefore
capable of being so handled as to permit with¬
least
be a commissioner, but he shall not
may
likely to
getting on with the offended overseers?
extended statement of the
foods
operator"
or
"engage in any other business,
competitors to share his plant and other
have in
[Vol. 111.
CHRONICLE
holding and other methods of extortion; that they
indebtedness
of
billions
If the
task?
pay
off the
during
the
substantial start been made on the
Has any
war?
going to
accumulated
Treasury Department is constantly
borrowing money by selling certificates of indebted¬
how
ness,
there be any present reduction in
can
the Government debt?
require combinations .of capital, a very great scale
Light is thrown on these questions by the detailed
operation, and the employment of every device
figures given in the annual report of the Secretary
of
for
utilizing by-products and cutting out wastes, the
single matter of refrigeration and refrigerator cars
being
one
(but only one) example. In the whole list
nothing which, by its
of consumable articles there is
nature, is so difficult to bring under any prac¬
own
tices of vicious
monopoly and so lends itself to (in¬
of the
Treasury, which has just been published.
the first
of Government
issues
old
called the
the
of
the
and
loans
In
place, it should be remembered that the
bonds, the four Liberty
Victory notes,
"funded,"
or more or
Government,
now
constitute what is
less permanent debt
amounting to about 20
In addition there is the
"floating
deed, virtually forces) the rule of very large trans¬
billion dollars.
actions at
Moreover, add¬
debt," represented by Treasury certificates of in¬
ing certain other products and commodities further
debtedness, which in August last amounted to nearly
a
very
utilizes the
small profit ratio.
packing machinery and its methods
of
three billion
inducing the lowest costs and the least wastes, and
duced to
thereby tends to the lowest prices on all lines of
reduced
One of the worst
foods.
yet most persistent notions
in the whole anti-trust crusade is that
nation of
capital and effort
upon one
a
large combi¬
line of indus¬
tificates
to the exact
more
ing necessarily in
features of
of what is
If
a
contrary, and there is noth¬
common
between the obnoxious
trust and the existence and
indiscriminately cursed
as
workings
"big business."
bigness ip badness, why not indict the sun?
we may recall
that, a year ago, to placate the
Here
It appears
ous
of funded
has
of
Secretary of the Treasury, until the expiration
one
entry of
ing.
to
divest
themselves
of
The decree also
interests in
all
so-called
"unrelated
required them to sell their
stockyard railroads and terminals and
in market newspapers;
the retail meat
to dissociate themselves from
year
after the termination of the war, to buy
annually
up
to 5% of the amount outstand¬
Under this authorization, the Treasury has
bought and canceled bonds to the amount of $1,764,896,150.
These purchases included about
billion each of the
and about
business, to abandon their branch
Then it
one-half
Second, Third and Fourth Loans,
one-quarter billion of the Victory notes.
seems
that
Congress provided that repay¬
houses, and take sundry steps in diminution and
ments
withdrawal.
made to them should be
It should be further said that if the meat business
The Second Liberty
Act, with subsequent amendments, authorize
to
lines."
nibbling at the great mountain
debt, and that quite an appreciable effect
already been produced.
Bond
the
from the Secretary's report that vari¬
mice have been
bonds
decree requiring them, within two years,
These Treasury cer¬
practically represent borrowings against
stantly resorted to by municipalities.
hostility to them (if possible) the packers consented
a
by about $200,000,000.
anticipated tax payments—a practice which is con¬
try aims and tends to increase prices; it aims and
tends
dollars, but which has since been re¬
$2,475,000,000, and shortly will be further
by foreign Governments on account of loans
retirement
of
applied to the purchase and
Liberty bonds,
and that there has
be and is brought under overseers, there is no
fixed line of stopping; everything (including agri¬
been
culture and the
by the Government from the Federal Reserve banks
may
terms of No.
press) might be dragged in.
By the
3914, anybody who is not "directly
or
$119,109,050
Reserve Act
as
so
paid and applied.
The Federal
provides that the net earnings derived
franchise tax shall be used either to
supplement
Dec. 181920.1
f
the
gold
THE
J
■
CHRONICLE
held against outstanding United
applied to the reduction of the out¬
standing bonded indebtedness.
The Government
States
reserve
notes,
received
3367
ered faces
or
softly. Perhaps, over the river glide iceships, ghostly in the gathering dark, Perhaps,
clad
the ground is white with its
mantle of
that account for the
year 1919 an amount
sufficient to purchase
from the South.
erty loan bonds.
mas
on
$2,922,450 of the second Lib¬
This amount will be
many
multiplied for the
or
year
1920.
as
"for patriotic
the Secretary puts it, present
bonds to the Government.
These
gifts have not been
numerous or
large, but they have been sufficient to
$12,850 bonds. Occasional bonds are put up
retire
as
security and forfeited.
$3,550.
These have amounted to
section of the Second
a
Liberty Bond Act,
4%% Liberty bonds and 4%% Victory notes
are
receivable by the Government at
par in payment of
estate or inheritance taxes.
Some
thrifty executors
have taken
fords
advantage of the discount which this af¬
the
on
amount of
tax, and have paid in bonds to the
$9,781,750.
a
Victory Loan Act permanently appropriates
sinking fund, effective from July 1 1920, of 2y2%
aggregate amount of bonds and notes
standing
out¬
July 1 1920, less the amount of obliga¬
tions of
foreign Governments held by the United
States on that date.
In 4y2 months this
appro¬
priation has redeemed bonds to the amount of $15,-
040,250.
the
on
The aggregate of these items, representing
total retirement
Nov. 15
and
that
a
cancellation of bonds
1920, is $1,911,766,050.
of the amount of bonds
now
to
This is nearly 10%
oustanding, and shows
substantial start has been made in get¬
ting rid of the war indebtedness.
very
Eve!
'
Care is absolved.
The chimes in the
of
good-will.
does
not
What,
now, are all the
the
or
Whether
full, there is
always, at this waning of the
year, a
gestion, of haste, of anxiety.
Usually stock is to be
taken.
fort
Books
to be
are
to be balanced.
are
feeling of
con¬
Fag ends of ef¬
smoothed out and finished.
And in
the mind
constantly, though as yet covertly, are re¬
volving the plans for the coming year. Nervous ten¬
sion increases.
perative tone.
for
Office orders often take
well
won.
of
energy
ranted
it
'.T-.
.
toiling efforts of the
huge struggle called competition—for once
forget—and, forgetting self, live in others.
can
of
holly waits, to where the yule log glows, even
though it be in the imagination, to where some little
token awaits of that divine
that makes
us
all of kin.
standpoint, it
once.
As
along, there
own
the
The very poor are not forgotten.
appears.
rich find
a
there
day called
into the soul
comes
a
how,
trying to
day that precedes
ful face to the
quiet stars,
wears
lehem.
And
exclaim, "I
comes
but
a
glad it is nearly over—glad
year!"
a
Counters
winter's day.
are
Desks close with
left in piled confusion.
a
From
mounting serried tiers of windows in tall tem¬
ples of trade, lights flash out.
denly, there is clamor and call.
snow
a
in the air,
In the streets, sud¬
Perhaps, there is
eddying lightly, touching the fev¬
evergreen
home to stony
dering
expression.
the
goes
Down in the
happy thought has erected the "Tree of
Light"—an
transplanted from mountain
city, to glow and gleam in tender
won¬
and shed its bounty into little hands.
eyes
Up and down the crowded streets there
horns and
confetti.
are blowing
jangling bells, and the colored showers of
But
know, oh cynic, if
one
there
can
be
at this time of the
year,
don
only conceals
a
that this hilarity and aban¬
sentiment that was not there of
yesterday—that has its far
love
ers
that much
seem
or
that little which
not fond.
stir in
not
in One whose
source
surpassed all other love—the sharing with oth¬
from honest
comes
work in the fields of life where all
are
free, though
Strange |would it be, did there
countless
reflective
minds,
from
this
the thought that life prosaic, life economic,
source
and stimulus in those
Perhaps, in the
more serene
we
love.
quiet of the Christmas
Day, when families reunite under the parental roof,
gather in gentle converse around the
when friends
generous
table of the feast, thoughts of the meaning
is
seen
were
pressure for
the
madness
others
not
deeper hold though the words
are
not
The Gift, emblem of unselfish generosity,
to be "nothing without the Giver."
This
constant
the
then—oh, the miracle of it all—there falls
twilight of
bang.
once
am
the
1
then, perchance, out into the street
Life must have its
Beth¬
over
.
spoken.
comes
was
•'
of life take
buyer, from those responsible and those who
And
the
heavily
to the star that out¬
even
shines all the others—the star that
tired bodies, flagging minds and
not, almost involuntarily, even in the midst of
subdued
the
everybody
Some¬
endeavor, this slavery to the material, triumphs and
justified, by a spiritual exultation that lifts thank¬
has its
serve
compassion and charity
is
an
unwar¬
remem¬
mysteriously
know not how, this long, arduous industrial
we
scene,
To the "retail trade," however,
access of buying—albeit harried
And
that soothes and softens and makes whole.
sometimes,
expectations scarcely acknowledged, there
this
in¬
And the
glow of sweet satisfaction in
brances not born alone of riches.
From old and young, from seller
are
sagging spirits.
are
seems
quality of friendship
For this is the blessed
Out of the welling kindness
heart, unknown though be the source, the Gift
of the
they
a
year,
business, the triumphs and failures
Homeward wend the
millions, to where the wreath
interruption.
brings its
and
on
...
comes
It will not be denied that
with the distractions of
at
a cause
that the goal may be
Into the midst of this there
from the material
im¬
an
Employer and employee turn
currents
Christmas.
on
Lack of concentration is held
reprimand.
creased
message
heart, broken the spirit, that
the gentle gladness of this hour.
catch
the burdens of
one
steeples ring their mellow
Square
CHRISTMASTIDE.
the commercial stream flows scant
Joyous lips
Hard the
toiler.
The business year rushes to its close.
yet,
time of remembrance.
I
The
of the
or
green, a balm steals up
It matters not.
For it is Christ¬
repeat the old refrain, "Merry,
Merry Christmas!"
of
.
Under
purity;
lingering touches of
The streets fill.
-Jy:
From time to time various
persons,
other
reasons,"
times
amid
accumulation,
of
marionettes,
in
treasured
that
holy
for
fortune,
were
of
there
holies,
purified and sacred temple of the hidden heart.
Power would be but the
who
gain it could not
good of humanity.
enginery of ruin, if those
in its wise exercise the
see
Wars
are never
waged
over the
solemn
self-abnegation of those who, striving for
personal gain, succor the loved ones of home.
The
vast and
ever-increasing complex of commerce, un¬
devotion, where those who
ravels into the fine line of
conscious of helping others. We
our diversity, we are co-operative in
help themselves are
all united in
are
[Vol. 111.
CHRONICLE
THE
2368
world, and culminates
lateral effect in the business
specific drives upon the Congress to enact
in
now
the world in legislation in aid of farmers, who by alliances are
attempting to influence price by refusing to sell.
our private endeavors.
Only when man would con¬
Here, with no necessity of war behind it, is a plea
quer by will rather than by work does he despoil
for special and emergency legislation, which creates
the vineyard given into his keeping.
another emergency.
Christmas Day passes.
The wheels of toil and
We are bound to consider this demand for relief
trade turn again with ponderous roar. The personal
competition, we are at peace with
our
task claims once more its
due.
But few there must
for
thanksgiving and cheer.
And greater than all is
that quiet lingering of the absolving sacrament of
forgetting self in remembering others.
For the
toiler feels again, even with lighter heart and re¬
newed courage, the falling of that shadow that lifts
so slowly—the shadow of the world at war.
And
the lesson grows plain, the lesson of concession and
conciliation, the lesson of increased and increasing
toil and effort, that there may be more for all be¬
great city who have not some cause
be in the
there is more for each.
cause
Not in planning ideal¬
conceptions of artificial rule,
playing for points of power by organisms
organization, lies the hope of peace and plenty,
in consecration to work, that all have more of
ism, not in stupendous
in
not
and
but
tified
POSITION
OF THE FARMER.
Is it jus¬
within the national life?
by any emergency
Having extended aid formerly, under the belief that
it would stabilize conditions, though that was mistak¬
en
repudiated in feeling, does the Gov¬
and was soon
anything to the farmer because of its
ernment owe
former
Let us see, as to the cure. Mani¬
legislation ?
festly, confining ourselves to
of marketing
son
of
does
wheat
(and it
not do so in
The temporary effect, of no
sense.
price
duration, could only be to advance the
known
consumption.
somewhat for home
If this is but¬
prohibitory tariff on importation, the
similar, and the reaction just as disastrous,
unless the
as a
hoarding of
not advance price
will
not) then the fixing of price will
ultimate
the
the present time (sea¬
wheat), if in the face of the fact
large world crop and open seas,
a
American
effect is
EMERGENCY LEGISLATION—THE
by a worse condition?
Will it be followed
tressed by a
rest.
Will it cure the evil?
several standpoints.
from
price and prohibition are to be continued
policy, in which case foreign trade is pro¬
fixed
right way is portionally blasted—the evil remains.
Artificial relief from the returning power of the
merely to nullify it by doing another.
It is
laws of supply and demand will produce a worse
proper to repeal a bad law; but not in the doing of
condition than at present obtains.
All the laws of
it to enact another.
Generally, it is conceded that,
all the Congresses on the North American Continent
while some of the war legislation was justified by
cannot prevent England and Europe from buying
necessity, part might have been avoided, other parts
It is proper
to undo a wrong; but the
not
,
wheat in Australia or the
Execution is
becomes more important price.
might have been more wisely framed.
another
question, yet now
armistice.
the
with
of Con¬
The present session
of re¬
be said,
is confronted with the admitted duty
gress
pealing emergency war legislation.
introducing politics in a
without
It may
controversial way,
that it has been commanded to do so
by the people.
temporary laws affected certain classes
That these
citizens, is no warrant whatever that such classes
of
should
now
of that the enactment of other emergency
in
their
in lieu
ask for their continuation, or
statutes
Emergency legislation, while con¬
place.
trary to the principle of stable and equable laws
a
whole
this
for
people, has, whatever the time of enactment,
fault—it
grave
necessarily
creates
another
Let
us
particularize with farmers and the wheat
It is true this legislation expired by limita¬
crop.
tion, but the effect is the same as it would be under
a
repeal.
Let
put in evidence first some of the
us
facts in the case,
eager
namely, that farmers were at first
for the Government fixing of price, were on
the whole
The legitimate price to the American farmer
by the price of his surplus in
for his wheat is made
pleased and satisfied with two dollars and
plus walls back as a depressing factor on
ment
can
certainty in price by legislation than he
a
by hoarding.
—time which
ernment to
1919.
was
refused, the relation of Gov¬
price ceasing entirely with the crop of
This left wheat
precisely where it
was
before,
governed by a world-market price, but under new
conditions.
ers,
These conditions
are now
upon
the farm¬
cannot be escaped, and have resulted in a price
in local markets
ranging
as
low
as a
dollar and a
quarter a bushel, causing an estimated loss to farm¬
ers,
by former figures on this year's entire grain
off than he would have been to
at the
As to the
start.
ful effect
proposal for Government
This form of relief is particularly
practice.
special emergency legislation, creat¬
as
ing another
emergency,
tries affected
and unjust to other indus¬
by the aftermath of war.
All this is unfortunate—for the farmer.
look at conditions at
must
And it may as
not
to
on
the
us,
and that "all the king's
king's men cannot set Humpty
Yet a flood of bills are being
Congress—nine-tenths of which are
again!"
up
in
allow
emergency
But we
large and as a whole.
well be said of the evils of war that
they have fallen
introduced
doubt¬
policy, and it is scarcely feasible in
as
pernicious
resumption in the natural way, but
artifices for curing one ill though it cre¬
ate another.
Immigration comes to the fore with tremendous
It is said that we are in danger of being over¬
voice.
whelmed
ures
are
millions
of two billions and a half dollars.' This is not
easily borne, is a heavy burden, has tremendous col¬
cannot
accept the inevitable
loans, it is not defensible in principle, it is of
at this
crop,
If he fails in the end he is worse
idle investment.
Dumpty
guaranty of two dollars and fifty cents
In either case only time can tell
profit in waste, interest, and
consumes
manded
a
So that the farmer can no more
price-fixing.
predicate
horses and all
bushel, which
the home-
consumption price in spite of attempts at Govern¬
twenty cents, but later grew dissatisfied and de¬
per
him, the sur¬
That being denied
the world markets.
actual
emergency.
Argentine at its seaboard
by
a
muddy flood from everywhere. Fig¬
twenty-five
adduced to show that fifteen to
are
seeking ways to get here.
dispassionately.
all
come
at
Let us look
First, twenty-five millions
once,
and
the
process
must
DEC.
181920.]
stretch
over
resources
and
a
THE
period of
even
such
as
to mere
honest, useful labor
possible citizens of good character to start with
that will tie themselves to the
to
Second,
years.
flood of
a
CHRONICLE
our
prove
institutions and
our
soil, that will be loyal
form of
factor to accelerate
a
ment and
our
our
Government, may
internal develop¬
foreign trade, and cannot exhaust
our
vast and
undeveloped wealth and opportunities that
given thus more fully to the world would advance
its civilization.
There
questions of adaptation,
are
distribution, assimilation.
We do not discuss them
Are
we
ideals of
farmer's
fear
justified, in view of
liberty, in putting
interest,
under
professions and
our
the bars?
up
Take the
have just considered.
we
proper
called flood of
Need he
sifting and distribution
so-
a
cheap labor, to meet falling world-
prices for his future crops?
expression, "the world is
Again, there
fire."
on
Can
was
an
in large
men
bodies, whose homes and prospects have been burned
be blamed for seeking
up,
ment that the fears of the
banking interests are not
valid, and that from the point of view of sound pub¬
lic
policy, the Dominion Treasury has nothing to
lose in the restoration of free
This is borne out in
world,
peaceful parts of the
more
abundant opportunities for themselves
more
and their children?
And
still, again, is it to be
trading conditions
part by certain facts which have
only come to light with the disbanding of the "sta¬
bilizing committee" of the Bond Dealers' Associa¬
tion.
It appears
that this Committee, finding itself
badly overloaded with offerings of Victory bonds
beyond the absorptive capacity of the Canadian mar¬
ket, entered into an arrangement with the Minister
of
now.
3369
Finance, by which
passed
eventually
the
Committee
to the Dominion Government 100 million
on
dollars in unsalable Victories.
ernment in turn
The Dominion Gov¬
sought relief from its
new perplexi¬
by apportioning $30,000,000 of the undigested
ties
bonds
sort of
as a
sinking fund against the main is¬
arranging to absorb the balance gradually.
sue,
latter
procedure, however,
give
may
way
The
to a more
welcome
alternative, whereby in the event of higher
quotations for Victories, the Minister of Fi¬
market
nance
feed out
may
of the securities.
some
As to the
pected that other free republics and vast undevel¬
probable effect of any introduction of
cheap securities into the Canadian market at the
oped territories will have
present time, the bond dealers assert that
ex¬
appeal to European
no
Canadian Government
emigration?
Our
thought is that another
lation will
only create
more
deeper in the mire.
us
era
There is
certain bank failures in
one
of frenzied legis¬
unrest and may drive
some
section.
not discount them at their worth when
realize that
tastic
we
we
come
to
particularly under the fan¬
occur
protection of the Non-Partisan League? Loans
to cotton
also
they
disquiet in
But must
planters, because of inactive markets, are
Yet cotton is peculiarly a world-
contract with bondholders
interest and
If
one
Minister of
ation
which
a
will
actually aid cotton
rise and
loan, which will only aid in holding for
will do nothing toward
actually moving
Tax-revision is im¬
perative.
forms
taxes
But almost extinct
(extinct in the
nothing.
needs
not go
us
new
of
conditions) will avail little
device, only just and equable laws.
from bad to
by hurried, ill-con¬
worse
probability
seems every
the purchase of foreign-owned
.v'/"
[By Henry A.
The French have
"It may
es:
DOMINION
EMBARGO
ON
THE
PUR¬
no mean
write
banks
entirely the embargo
over
on
proposal to
remove
the importation and sale of
foreign-held Canadian securities.
million dollars of such securities
More than 350
are
said to be held
will
the Canadian Bankers' Association
and
a
highly inviting invest¬
to be created by the offer of
The
de¬
movement, the
can
be
no
as
required by
common
peace
an
com¬
ambitious at¬
form to be "understanded of
which
he
a
he is
to be
a
tre¬
well-being.
"furnishing the back¬
asserts
has
never
been
To
done;
is
men
perform this task he has sought
long list of individuals, some of them to
recognized
•The
prove
human
this, "any binding culture of
inconceivable."
the aid of
to
urgently necessary educational reforma¬
without
and
"friends."
endeavoring to persuade the Dominion Govern¬
a
contribution
an
create
run
universal
The book is
author believes
be
securities, at attractive prices, would
on savings accounts, the bond dealers
a
people," it will manifestly
British-owned
a
modern
Historical scholars
tempt to supply such ideas ; if this can be accom¬
plished, especially in
tion,"
argument of the banks is confined to
incident in
historical ideas.
mon
re¬
country at the present time.
sure
attractive theory
an
itself to the
prosperity possible for the world without
the
opportunity
popular
reading.
the conviction that there
bone of
a
a
should not
history of the universe,*
attempt so to deal with it is regarded
gards as highly inimical to the financial welfare of
apprehension that
romances
interesting and suggestive, and
prove
as an
mendous
grave
sure
expect it to add to their knowledge, but it
ing of
While the
why
reason
simplicity and unity.
surely
the
Kingdom alone, and the sudden dump¬
large volume of these would create a situa¬
tion which
no
of existence which lends
in the United
any
presumably
especially if he has adopted
be told
proportions has arisen
the
of H. G. Wells will be
pen
fresh and readable
a
to books and speech¬
as
Starting with the idea that man's history must
organized bond dealers of Canada and
chartered
Stimson, D.D.]
saying
requirement.
therefore well worth
Ottawa, Canada, Dec. 17 1920.
between the
is
There
a
writer of novels and fanciful
SECURITIES.
controversy of
I
be true, but it must be interesting."
Anything from the
to meet this
mand for
legislation.
CHASE OF FOREIGN-OWNED CANADIAN
are
on
delay.
will not
THE
ment
market stabilizer.
a
EFFORT.*
indirect
To meet squarely a four-billion tax bill
no ruse or
sidered
the
of
business
HISTORY A-LA-MODE—H. G. WELLS'S
a
cotton into its natural market.
A
Finance, there
embargo
in
growers
market than the doubtful expedient of
Government
Let
no
proposed.
reaching
or
longer of
it has
Canadian securities will be lifted without much fur¬
ther
crop staple.
Is there not more hope in the practical
helpfulness of the proposed hundred-million corpor¬
a
par,
judge by the recent statements of the
may
that the
any
to regular payment
as
redemption at
assuming the role
the
as
fully intends to maintain its
The
as
scholars,
the
rest
mainly
as
book, however, in its tone, arrange-
Outline of History;
tvro vols.; by H. G. Wells.
Macmlillan Oo.
of Jesus Christ or the
writing is definitely his own, and is to he
ment and
It is evident that its literary quality is
judged.
so
[Vol. 111.
THE CHRONICLE
2370
this is to augur
field of
assured, and that the book will be readable.
religion He established than
poorly the hope of the world as the
Divine Redemption and the arena of the
a
find Kingdom of God.
It is useless to follow the assumed line of devel¬
of
opment of Christianity in an adoption of the terms
chapters dealing with exceedingly comprehensive
and interpretations of various heathen rites for the
separate subjects and periods, as they must be to
Turning to the two handsome volumes we
they consist of nine books, each made up
that
universal existence,
cover
earth to
a
from the making of the
stage not yet disclosed, when "the strug¬
gle for the unification of the world" is
first
The
constructing of its own teaching, especially as in¬
probable.
books, covering the prehistoric
three
and the dawn of human history, are, of course,
ages
debatable, but give interesting general surveys. In
connection with the succeeding three books, on the
preceding the Christian era, they will attract
times
readers
is
who
want
a
comprehensive tale covering
Beginnings," a realm in which new material
"The
constantly coming to light, and judgments have
to be
the
new era
with the story of early
Christianity.
Here, while recognizing the Gospels
authentic
history, the attempt is made to treat
as
Jesus Christ as a man of "lean
and strenuous per¬
sonality," who has been much wronged by a mis¬
taken
reverence,
of his
and
and as to whom "our concern is
theological and spiritual significance
not with the
life, but with its effects upon the political
every-day life of man."
convenient to drop the early
Mr. Wells finds it
narratives of the Gos¬
earlier Jewish
history, and declares it "a matter of fact" that all
that body of "theological assertion" which consti¬
pels and all the setting of Jesus in
tutes
Christianity has in the Gospels little support.
This he undertakes to
confirm by referring to the
Sabbath, and the
worship of the Virgin Mary. One wonders if he has
any conception of what religion to-day is as related
to Jesus Christ, or if he has read a single authorita¬
late
disputes over the Trinity, the
This would be helpful
requires the oneness of
Christianity with the world religions, and the solv¬
ing of the various world problems by
It is true that he finds
small hearts."
"this Galilean too much
But he offsets this by
declar¬
bold and ready
But the most frivolous reader will
believe that the cross of Christ, which
assumptions.
find it hard to
2,000 years is still the most vital visible force
after
world, and the proclamation of "the blood of
in the
Christ"
as
atoning sacrifice, are derived from
an
Mithras," when even this is admitted
"the cult of
some
forgotten mysteries."
surprising that, taking this view of the
It is not
Personality with whose coming the world
author should take little
our
swings
light and the new age begins,
about from darkness to
cognizance of the forces
affecting human history.
The
religious and spiritual conceptions beginning
with
other than material
S1}. Paul, interpreted especially by St. Augustine
and John Calvin, he does not recognize.
He gives
small space
to Paul, almost none to St. Augustine,
and does not mention
that
diverse
and
recent
as
much of
Calvin, though historians as
as
and Froude declare
Renan
derived, and continued, they still shape
so
Art and literature also have
thinking.
our
place in this scheme of history; the great names
no
lines
in those
do not appear.
It is curious that
though hq does not mention Shakespeare, Milton or
Dante, Goethe or Schiller, Kant or Lessing, he gives
to Karl Marx, who he says is "being justified
pages
by events."
When Mr. Wells takes up
ments of
theology.
our
an
ecclesiastical history or of Christian
tive volume of
for
to
to be "centred upon
frequently revised.
Book VI opens
by the Apostle Paul.
outline of history that
fluenced
the great national move¬
history, like the story of the Greeks, the
rise and fall of Rome,
of Islam, the great Mongol
Empire, and later, the age of the Great Powers, he
is
at home.
more
Here he has themes for which he
prevent a primitive
is better fitted, or where his limitations are not so
being also a Nazarine, and nothing to
His vivid imagination and an easy
prevent a personal disciple of Jesus from accepting conspicuous.
and simple style make the tale attractive, though it
all the recorded teachings of Buddha."
And this,
has a certain pretentiousness and air of final au¬
forsooth, serves to establish the place of Jesus, and
thority, which is, perhaps, inevitable where a clearof Christianity as simply another world-religion in
cut theme is to be maintained, but which will be
the line of the many that men have devised to satisfy
troublesome to readers of history who value more
their needs, and as an incident in the development
ing that there was "nothing to
Buddhist from
of the universal movement and the
bring
peace
the
Its outline of the
identity of Christianity with them
important historical aspect of these
most
This may be true if one ignores
of the life
great religions."
both the claims and the main features
and character of Jesus,
and if one
strips Chris¬
tianity both of its essential doctrines and its
relation with Him as the Son of God.
hardly to write history, even in
this is
The confusion of
vital
But to do
"outline."
thought appears when our author
quotes Dean Inge: "St. Paul understood what most
Christians never realize, that the Gospel of Christ
is not
a
religion, but religion itself in its most uni¬
versal and
deepest significance"; and then says, "It
variant we must look; it is their
accumulations and excrescences, their
of language and phrase that cause the
is not to any new
defects, their
differences
rivalry," between the religions of men and
tianity.
careful statement.
to the world!
"This essential
is
ideas that are to
To see no further into
Chris¬
the life and claims
nineteenth century,
the power to
in
great material changes of the
in the railway, the steamship,
handle metals in the mass, the advance
chemistry, and in medicine, leading to the fertili¬
zation of the soil and the
and all the varied
a
setting
as
and form
The
tional
of
we
are
a
one
now
are
put in such
available in the progress of hu¬
a
fresh phase of history,
stirring picture.
closing chapters
deal with
"The Interna¬
Of these it must be said that as yet
all too much under the influence of the
war as
it has been furnished
story
by the daily pa¬
to be prepared to accept any "true account"
it; and
good
electricity,
Catastrophe of 1914," and "The Next Stage
of the
of
preservation of human life,
they constitute
History."
pers,
of
to lead to a clear understanding of the
as
physical forces
manity,
uses
as
as any
to. the future one guess is perhaps as
other^ It is still an open field for any¬
who will "set up
for
a
prophet,"
even
though
Dec.
181920.]
THE
CHRONICLE
such
a one
may perchance escape the "gratuitous
obloquy" which, according to George Eliot, awaits
was
the
With
who
man
attempts it.
Mr. Wells is better
prepared to face the risk than
because he has the comfortable certainty
being widely read and, if one may believe current
report, is already well rewarded.
actually smaller than in 1916-17, when net ar¬
were
216,498, and makes a poor comparison
rivals
the
The
immigration and emigration statistics of the
United States for the fiscal year
unavailable,
the
1919-20, heretofore
announced in the annual report of
are
Commissioner-General
of
week, and they quite naturally
heavier influx of the
recent year,
times.
The close of the
a
ward, and that is
have
to
as
served
indicate
much
a
foreign born than in
any very
although decidedly less than in pre-war
expected to mark
abroad
this
Immigration
in November 1918 was
war
turn in the flow of aliens hither-
now a proven
fact, but restrictions
departures, and here
to
to entrants,
as
keep down the arrivals to
a
total
very
readily assimilated.
ever,
it is to be noted that of ordinary labor the in¬
At the
time, how¬
same
ward flow' has been under rather than
over
the pro¬
portion desired and that the number coming in to
go
into domestic service has been woefully below
level calculated
measurably to relieve
of the
one
a
ur¬
The usual
not
are
much the
be
can
der from
from
Mexico
and
the northern
over
the Dominion of
the southern bor¬
Canada, and,
boundary
these
as
largely agriculturalists, the needs for help
in
the
Southwest
mitigated.
and
Northwest
on
farms
somewhat
were
iest in several years,
already noted, the heav¬
but against this there
was an
emigration of comparatively large aggregate.
sequently, in striking
find that the net
balance between the two, we
a
gain in foreign-born population for
the twelve months
was
less than
compared with all
back to and
200,000,
years
including 1908-09.
or a meagre
prior to 1914-15
The time does not
to have arrived when the United
seem
Con¬
States, if de¬
velopment is to continue unhampered, should bar
the
out
desirable
immigrant.
everything should be done to
of any
On
the
encourage
contrary,
the entrance
and all of those whose efforts would be of
assistance.
And
yet it is actually proposed, as we
pointed out last week, to
pass a
law practically pro¬
hibiting immigration into the country for
Would not that be
more.
alien
The
arrivals
at
a
the
a year or
serious mistake?
various
ports
United States for the twelve months ended June 30
1920
were
the
heaviest of any year
We
the
years
(141,132
previous
year,
than
and 95,889
211,853 two
preceding,
1,403,681 in 1913-14 and totals of
in the four fiscal years
with
latest
this
a
over a
prior thereto.
in
the
no
however,
the
volume
million
Coincident
much
of
departures
Thus the net increase in foreign-
population of 193,514 in 1919-20, while
immigrants
be said that of the arrivals
can
the
number crossed the border from Canada than
in
by
sea
direct.
aliens among
came
As to the distribution of arriving
the various States, it is sufficient to
that Texas, California and Michigan appeared
say
to have
chiefly benefited.
On the other hand, Penn¬
sylvania, Ohio and Illinois
affected
most
were
unfavorably
by the heavy efflux of laborers.
As regards
occupations of the immigrant aliens who came
the
during the
of all
siderable
children)
over
above the percentage
were
times, though,
deficiency
occupation
no
comprised
The arrivals of skilled labor
classes, however,
of pre-war
those with
year,
and
women
two-fifths of the total.
in
already stated,
as
ordinary
labor,
a con¬
including
servants, is to be noted.
Particular
attention
is
called, in the
Commis¬
sioner-General's report, to the work of his
depart¬
ment in the matter of
deportation of
anarchists,
communists
and
other undesirables.
greater activity than
before
ever
along these lines in the late
Act of Oct. 16 1918
then
having made
witnessed
was
the
year,
Stating that
passage
more
of the
drastic the
existing law, particular attention is directed
to the arrests in November and
December, 1919, and
deportation of 249 undesirables to Russia on the
the
"Buford"
refused
on
December 211919.
entrance
into
the
In
all, the number
country in 1919-20
11,795, of which close to one-half, 5,297
d
for the purpose of financing American exports.
Great Britain is even now
demonstrating in wonderful fashion the soundness of her economic system;
while France, Italy and Belgium, among our recent associates in the war,
For
practical
purposes,
presenting, before the world, noble efforts to "come back."
There are
enterprises abroad well able to offer security for our loans,
care to extend them.
Great Britain has shown the soundness of its
are
businesses and
if
in purchasing American goods.
the Edge Act.
in
700,000.
been made to the similarities in
Reference has
and
of
its operations should
already stated,
as
careful way.
bringing the corporation into existence at an early date would be
principles
its plan and scope of operation.
on
large,
small and
beneficial, yet
It may
important that
necessity be
a
it must not make unsafe
position abroad.
It is
of
considered
large corporation would have every
number of small
a
of
most
concerning the capital of the proposed corporation. While
more
must
ficient
$1,700,000,-
report
Edge corporations can
$100,000,000
corporation with
expert talent.
large organizations.
It would
now
times their capital and surplus.
many
law, because it is felt that such
the
banks
Reserve
$2,700,000,000 in discounts.
and
possible advantage over
attract
One word
The Federal Reserve System made possible a great exten¬
financing.
sion of
2379
CHRONICLE
THE
181920.]
we
system lately by its steady progress in restoring
economic
in
tion.
Its exports so
pared
with
through
to
its exports and
France has made amazing progress in reconstruc¬
far this year have been two-thirds of imports, as com¬
balancing its trade.
a
in 1919;
less than one-third
and this has come about not
fall in foreign purchases, but because the sales of French
have more than doubled.
products
outside world
the
Taking the broadest possible view of the opportunity that is before us,
as American bankers and
business men, our duty seems now to be plain.
It is,
if I may be permitted to put it as I see it, to set up the machinery
enable us to meet the situation that now exists, and shape that
will
that
situation
finance
to
our
We are
advantage.
our
presented with the opportunity to
stable and permanent basis,
trade with the outside world on a
this great corporation which we have in
provide for the most careful
thorough credit investigation and the strongest commercial safeguards
the interest of American capital.
By means of this corporation we could
through the instrumentality of
view.
By means of this corporation we could
and
in
supply the materials to keep
factories and mills running, in the interest of
By means of this corporation our loans would be pro¬
tected, and we would lend in each individual instance only as we felt as¬
sured of the security of each particular loan.
foreign customers.
The action taken
item
at the meeting is dealt with in another
in to-day's issue
of our paper.
European private individuals and
Government undertook
this task
there would undoubtedly be objection on
ground that taxes were being increased" for the entire country, or that
loans were being floated primarily to promote the interests of
the
Government
particular classes.
demands that even if the Government is moved
this work to meet the present emergency, it should abandon
Every question of policy
undertake
to
it
just as soon as private
financial machinery is brought into existence and.
ready to operate.
For just in proportion as we lean weakly upon the
Government shall we cease to be independent and self-reliant.
The more
is
seek to have the Government
we
do for us, the less shall we becom able to
and business men, we should resist
in every emergency.
The more
the Government extends aid to business, the more it must inject a larger
interference in business.
The President-elect has said that what we need
is more business in Government and less Government in business.
It de¬
do for ourselves.
'
the
habit
As American bankers
calling
of
for Government aid
pends upon our actions as bankers and business men,
the action of legislators, to bring this about.
There
are
many
no
less than upon
angles to the problems that we are here to discuss which
briefly in these present remarks, which I
detail before the day is over. In all our
siderations, however, we must not lose sight of this overshadowing
which is seriously affecting American prosperity to-day: much as the
only been touched on
hope
be discussed in greater
con¬
have
may
fact
peo¬
ple in Europe, South America, Asia and Australia desire to trade with us,
the existing premium on the American dollar is such that no one abroad
can
prudently borrow and agree to pay on short time.
Hence, our export
is languishing.
There are many instances where American business
have actually ceased to carry on business with foreign customers be¬
trade
men
cause
of
the
disturbed exchanges; they cannot convert their accumulated
into American dollars without suffering a severe loss.
this corporation were to come into existence it could safely loan
foreign funds
If
dollars, which
in turn could be placed at
el the American
open up
again the flow of our
the disposal of the foreign debtor
business concern with which to pay the latter and thus
goods where they have now ceased to flow.
OF
FORMATION
AMERICAN
PRODUCTS
EXPORT
CORPORATION TO BUY AND SELL
AND IMPORT
COTTON.
-
According to the Atlanta "Constitution" of
American Products Export
capital of $10,000,000, was
Dec. 7 the
and Import Corporation, with a
incorporated
on
Dec. 1 in Col¬
started cotton exportation
to Germany.
The new organization, it is stated, is intended
to supplement the functioning of the Federal International
Banking Corporation.
Regarding the new organization the
umbia, S. C., and immediately
"Constitution" of Dec. 7 said:
$10,000,000
The
finance
corporation,
Texas, available
export
corporation, together with the $6,000,000
cotton belt, extending from Virginia to
gives the
1,250,000 bales of low grade staple within the next six
to Atlanta experts, who estimate that the $16,000,000
about ten times
abroad
months, according
capital will afford
capitalization of $16,000,000, or sufficient to sell
that amount of credit facilities, or
$160,000,000.
International Banking corporation, formed
had its hands tied so far as actually buying,
selling and exporting cotton is concerned, leading financiers of the Southern
States went to work with a will, and formed and incorporated the American
Products & Export & Import Corporation, incorporated under the laws of
South Carolina for $10,000,000, and with nearly $2,000,000 already sub¬
scribed.
Already the export corporation is shipping cotton to the central
Realizing
solely
powers,
The
that the Federal
to finance exports,
with future possibilities virtually unlimited.
and the finance organizations are separate
export
in every way,
but working for the same
organizations
object—the handling of the south's
The export firm is working parallel to the financial
organization, providing an immense, solvent export company, to actually
handle sales abroad, while the finances are to be provided by the sister
staple product, cotton.
corporation.
3380
CHRONICLE
THE
Berry H. Collins. President of the Securities Sales Company of Atlanta,
is In chaise of handling stock distribution in this section for the American
Products Export and Import Corporation.
He explained last night that
while the Federal International provides banking facilities only,
being for¬
Through the medium of the Federal International Banking corporation
European buyers will be enabled to buy American products on better terms
than
heretofore;
that
organization actually buys and sells the cotton, the two organizations form¬
upon
ing
in
a
complete outlet, from the farmer who raises the cotton to the ultimate
cotton
Is not needed, the South itself handling cotton from
anyway,
planting it to collecting for its sales abroad, executing the Intricate trans¬
action from start to finish, Mr. Collins
The
American
Products
Indorsed and has
the
Federal
Export
Reserve Board,
of the Atlanta Federal
ernor
Governor
explained.
and
of South
Carolina
Washington,
G.
P.
has
B.
Wellborn, Gov¬
Richard I. Manning, former
President
of
the
Corporation;
is very weak because of the low rate of foreign exchange.
other Southern financiers and business men.
exchange rates, the natural result will be
The formation of the corporation was the outcome of a meeting in Wash¬
At that time Mr.
Harding could not promise the Southern bankers adequate financial help,
the
Stock
Southern
cotton
industry.
Mr.
Manning
undertook
the
eagerly subscribed by farmers, merchants and business
was
South Carolina.
Originally the capital
amount almost had been raised without
task.
men
of
$2,000,000, but when this
was set at
South
going outside of South Carolina, the
extended this week to North Carolina.
was
The campaign
Georgia is next in line.
is not taken by banks, but rather by farmers and merchants.
Stock
The capital
stock of $10,000,000 is divided into 1,000.000 shares at $10 par value each.
The
corporation
already is
accomplished fact and
an
going
a
concern.
It is
market
seas
for
the
every
South's
increasing quantities, reopening the over¬
other large centres of industry.
The Federal International
the
Banking Corporation does not hold cotton
primary consideration, but desires to
product for
commodities
produced in this section.
cover
all
Cotton, being the foremost
of
as
the
crop
the South, however, will receive the corporation's full support and
of
help,
but will not be allowed to obliterate Interest in other commodities.
What Is feared is
congestion of stocks through the inability of European
a
buyers to continue purchases under the rules of the existing credit system
of short-time payments.
With mills and factories closing
down in every
part of the United States, the condition confronting American merchants
at the
present moment is of a most perplexing nature.
means
for elimination
of the difficulties is essential,
Non-consumption
by
and consequently
markets
foreign
unnatural reduction
an
Some immediate
according to the
pro¬
accumulation
means
of prices,
would produce irreparable stagnation, particularly to
turn,
which,
in
in
Southern in¬
dustry.
The stimulating effect upon every
staple.
the
The small exporter, the private banker or the indi¬
case.
vidual in any allied business is invited to subscribe and become a supporter
of the system which is being successfully used in Chicago, New York and
America,
shipments will be made in
Nathan Adams of
primarily desired by the organizers to avoid the impression that
link between the
shipments of cotton to Germany already have been made, and hereafter
bank of Houston,
organization welcomes merely the support of the large financial interests.
moters.
Initial
longer
large scale.
on a
National
Commercial
Texas
With the granting of its charter Dec. 1 the company formed the connecting
Southern producer and the European consumer.
are no
betterment in
a
Dallas and Henry Hart of the City National bank of San Antonio.
promoters saw their way clear to capitalize for $10,000,000, which was done.
The sale of stock is progressing with whirlwind results.
pending
congestion of products which
Among the organizers of the Federal International Banking corporation
J. P. Caldwell of the Fort Worth National bank, J. A. Pondrom of the
and he himself suggested the formation of a great export corporation, by and
for
it ruin
a
are
Such Is not the
ington of Southern bankers, Oct. 7 with Mr. Harding.
The danger to
producers lies in the fact that if foreign customers
permitted to make their purchases in America,
Hollins
Randolph, General Counsel of the Federal Reserve Bank of Atlanta, and
numerous
of the Interests of American producers depends
the security and strength of their foreign buyers, which, at this time
American
been
Harding, Governor of
D. C.; M.
Reserve Bank;
and
Corporations
The promoters of the corporation contend
the first protection
will probably carry with
Import
the active support of W.
that is, on longer time credits than has been usual for
American producers to grant.
bidden to sell and buy commodities by Its charter, the American products
,buyer In Germany. Thus northern and eastern money, which isn't interested
[Vol. 111.
The improvement of the
foreign exchange condition
to offer the
seems
southern business, upon the whole industrial fabric of the South will soon be
only escape for the American producer, and it is to attain that end that the
felt in
Federal International Banking Corporation is being brought into existence.
big and permanent
a
way,
Mr. Collins said last night.
Connections
have been established with European buyers, credits have been arranged,
and already cotton has been shipped by the new corporation.
Mr. Collins
said:
"The South
business in what it has set about to do—to establish
efforts and on its own initiative, the market facilities that
have been needed so long, which heretofore the South has depended upon
northern and eastern capital to provide.
It means prosperity to Southern
industry, and through it to every man, woman and child in the south.
through its
Mr.
Collins explained
that financial depression in the South has been
directly due to the inability of the Southern farmer to finance the proper
and orderly distribution of his crops especially cotton.
In the past, he
pointed out, the South has depended
consuming
were
foreign capital mainly to finance
upon
But in the recent crisis the South had
exports.
every
no
help.
Other sections
dollar of their surplus in the development and
struction of their industries and
recon¬
Despite these conditions, Mr.
resources.
Collins said that never before has the South been fundamentally sounder or
richer.
He explained that the American Products Export and Import Corporation
conceived solely by the financial and patriotic brains of the South to
be financed and controlled by
Southern business
and farmers.
men
corporation, he explained in detail, will purchase and sell
and also handle on a commission basis.
to be
Germany.
Mills and labor there
they cannot buy cotton, due until
its
idle, it
was
pointed out, because
to prohibitive exchange rates and
With $16,000,000 capital,
command ten
can
Mr. Collins pointed out that the South
times that much credit
completely the industrial cotton crisis.
Mr.
or
a
a
conservative
estimate of 12% net earnings on capitalization, and the stock is distributed
on
a
Maddox, President of the Atlanta National
Bank, of Atlanta, Ga., who issued the call for the prelim¬
inary meeting
rock-bound profit-sharing plan.
Nov. 6, had the following to
on
inary meeting
on
the Atlanta
to
at
Nov. 6, had the following
according
say
to say
(according
"Constitution")—regarding that meeting—
luncheon tendered
a
bankers in Atlanta
to
the Federal Reserve Bank of Atlanta
on
by officials of
Nov. 9:
The committee appointed at the recent meeting of the Southern delegates
to the American Bankers' Association convention at
coasider the
organization of
a
foreign banking
Act met in New Orleans last Saturday.
Washington to further
under the Edge
company
The committee invited representa
tlve bankers from the cotton growing states to further discuss the plan
come to some
This
definite conclusion
meeting
was
one
as to
and
the
banks
felt
relieve the present
It
found
was
sell.
States
responsibility in taking
some
ever
attended.
a common
cause,
definite action to
depressed condition in the cotton market.
that
with
an
estimated
crop
of 12,000,000 bales and a
of 3,000,000, we would have, approximately 15,000,000
carry-over
to
their
It
bales
thought that the consumption of cotton in the United
was
would
and
what should be done.
of the most enthusiastic I have
They all realized that in cotton the Southern bankers had
not
be
bales to exported.
as
$160,000,000, solving
Collins made
F.
Robert
own account
The greatest market is expected
are
now
on
The
credit facilities.
poor
whole
producers will be enabled to throw off their production.
means
own
None of the so-called "blue-sky" laws of any state can be invoked.
"Even if the War Finance Corporation should be revived it would be
powerless to help without the functioning of such a corporation as the Ameri¬
can Products Export and
Import firm.
We are in this matter with our
eyes open to the tremendous possibilities at last within our grasp."
was
Longer time credits, It is believed, will enable European buyers to purchase
more of our goods and result in stimulating all markets.
By such means
American
over
As
our
6,000,000,
leaving, therefore,
about 9,000,000
exports last year were only 6,500,000 bales, it
deemed necessary to increase these exports in order not to have a large
was
carry-over into next
year's crop.
It
was
also found that there
was a very
large number of bales in the carry-over, estimated at 1,500,000 of low grade
cotton for which there
After
a
was
but little demand in this country.
full discussion of the entire demoralized condition of
very
our
Southern products which include cotton, rice, tobacco, cotton seed
products,
ORGANIZATION
OF
FEDERAL
INTERNATIONAL
BANKING COMPANY TO FINANCE COTTON EXPORTS
An
over
subscription
$6,000,000
stock
the
of
announced
was
Federal
Dec.
on
International
Company, plans for the organization of which
under way at a
Orleans
on
10 to the
Banking
were
brought
meeting of Southern bankers held
6.
The
books
of
the
company,which is
intended to lend financial aid in the exportation of cotton'and
other Southern products, were closed on Dec. 10, the State
being
reported
as
follows
in
the
Atlanta
Georgia
$1,500,000
Louisiana
800,000
$6,350,000
issued last week,
by R. S. Hecht, of New Or¬
leans, Chairman of the Campaign Committee, for
of the Committee
Orleans
bringing
the
on
a
meeting
Permanent organization to be held in
yesterday
(Dec.
organization
"Post" of the 11th inst. in
into
an
17)
to
complete
operation.
article
The
regarding the
plans for
Houston
company
financial institution that will be brought into being for the
express
of extending longer credits to foreign purchasers of the commodities
produced In this section of the United States who
treme low rate of
now
suffer from the
ex¬
exchange.
Headquarters of the Federal International Banking corporation will be
Orleans, though branches and agencies will probably be established
in the larger cities of the eleventh Federal Reserve district.
when
the
South
were not
of the great
prior to
exports, a large part of
actively in the market at this time, largely
depression in their currencies and the difficulty they
found in financing their
to
purchases on the customary cash 60 or 90 day basis.
Many sections of central Europe are anxious to buy our cotton, but wish
buy under present conditions on a 9 or 12-months' credit.
There seems
to be no
was
to
existing machinery in this country to extend these credits, but it
believed that
purpose
bank under the Edge Act, which was passed for
a
of facilitating just this kind of business,
was
the
the practicable thing
organize.
subscriptions to the capital stock of the proposed company—to
serve
as
name'a list
directors and take immediate steps to pro¬
the charter from the Federal Reserve Board, which, under the law,
have the direct supervision of the operations of the company.
will
'4
This committee made its report Saturday night, and it was unanimously
adopted.
It
The report provided for a campaign to
was
Orleans, owing to the fact that it was the largest city in
the South—the
largest port in the South,
geographically in relation
It
was
be immediately organized
subscriptions to close Dec. 10.
unanimously decided to have the headquarters of the banking
company at New
to
and the most centrally located
the cotton-producing
States.
decided that the bank should begin business when there shall have
been subscribed to the
capital stock the amount
of $6,000,000, represented
by 60,000 shares of $100 per value each.
It
total
It
said in part:
at New
on account
grade,
in all of the Southern
States, and the
Total
was
arrived
war consumed one-third of our cotton
low
were
cure
500,000
Tennessee
purpose
European
which
of bankers who would
550,000
Mississippi
A call
time had
The difficulty seemed to be that Germany and Austria, which
the
1,500,000
Alabama
a
the
should cooperate in a movement looking to the creating a demand for these
1,500,000
Texas....
It is
decided that
A committee was appointed to carefully draw resolutions expressing the
opinion of the bankers present, and to fix a definite time for closing the
"Constitution" of December 11:
New
was
articles.
at New
Nov.
subscriptions,
lumber, etc., it
was
also decided that subscriptions
$6,000,000
was
was
4
should not be binding unless the
subscribed.
found that the capital and surplus and
undivided profits of the
banks in the
cotton-growing States south of Virginia
000, and it
was
decided to request the banks to
and surplus to the
proposed bank.
It was, of course, impossible to estimate
how much would be subscribed
by the banks
lieved that
a
amounted to $472,000,-
subscribe 3% of their capital
in the South, but it
was
be¬
subscription between $10,000,000 and $15,000,000 would be
received.
Under the amendment to the Federal Reserve Act,
permitted to subscribe
/
as
much
as
5%
National banks
are
of their capital and surplus to an
DEC. 18
1920.]
THE
organization of this character,
State banks
and
a
total of 10%
CHRONICLE
to such corporations.
also allowed to subscribe to the stock in such enterprises.
are
The movement for the formation of the
company had its
inception at the annual convention of the American Bankers'
Association,
noted in these columns Oct. 23, page
as was
1615, and Nov. 6,
revive the activities of the War Finance
Corporation, and that said corpora¬
tion be at once rehabilitated with the view
of assisting in the financing of
the exportation of
agricultural and other products to foreign markets.
Section 2. That it is the opinion of
Congress that the Federal Reserve
Board should take such action as
may be necessary to permit the member
banks of the Federal Reserve
system to grant liberal extensions! of credit to
the farmers of the
country upon the security of the
agricultural products
1807.
page
2381
now
held by them by
permitting the rediscounting of such notes of extension
at
reasonable rate of interest.
a
EFFORTS OF A TLANTA COMMERCIAL EXCHANGE TO
BANKERS1
SECURE PROPER STORING OF COTTON.
A letter to the banks in
canvass
Georgia asking that they make
of their customers and
urge
Commercial Exchange of Atlanta, Ga., with the hope that
it will result in farmers who have been
neglecting to store
placing it under shelter
or
in
a
warehouse and
avoid the heavy loss from weather damage incident to its
being left out in the open for any extended length of time.
The following is the letter which has been addressed to the
banks by the Secretary of the Exchange, J. Hope Tigner.
Atlanta,
Ga.,
Interest of the State in regard to weather damaged cot¬
ton.
All the cotton merchants of Atlanta have notified their road
receive any weather damaged cotton,
weather
damage until
the
as
men not to
it is impossible to estimate the
bale reaches its
final
destination
the
at
mill
where the total damage claimed by the mill is rebilled back to the cotton
merchant making the shipment, who must suffer the loss.
Weather damage can easily be avoided by the farmer placing his cotton
under
dry shelter up off the wet ground, or
a
more
safely protecting It from
weather, fire and robbery by placing every bale in
There
warehouse.
the ground, absolutely unprotected, while the careless owner
on
promises every day to
move
say relative to the views of bankers
posal to revive the War Finance Corporation:
cotton
showing
as
are
declining to handle
any
weather damage.
favorable attention from Congress, are not
regarded with any degree of
satisfaction by bankers here.
Supporters of the scheme are
occasionally
to be uncovered in the financial
district, but inquiry has established that,
by and large, the better-informed banking opinion is opposed to it.
The basis of the opposition is that at a time when the
process of liquidation
taken
canvass of their customers
normal
a
an
footing is following perfectly natural lines, the
organization designed to present an artificial obstacle to
this inevitable movement
have only harmful effects.
can
.
The injection into the present situation of the War Finance
likened to the
of
use
pulmotor in
a
changed but merely deferred.
Corporation
is
where the ultimate result is not
a case
In other words, it is felt that such aid
as
the
War Finance Corporation could render
would'only be temporary and that the
attempt to check adjustment to
a permanent basis in the particular quarters
where this aid might be applied would react
adversely upon the progress of
the deflation movement, viewed in its
entirety.
scheme's advocates, bankers see
tide over
a
no
Even upon the part of the
conviction that the plan can do more than
temporarily difficult situation.
Admitting this possibility, they
raise the question whether relief of this character, which
assuages but does
remedy, is worth while, especially as it would Involve the reappearance
of Government interference in a
surely private financial situation.
t"*
Criticize Farmers.
Bankers here
inclined to be critical of the farmers of the country for
are
demanding the restoration of this Government
They hold that the
agency.
experience of the farmer is similar to that which all classes of producers and
The officials of the banks of the State are requested to make a personal
their cotton,
the pro¬
Prospects for the revival of the War Finance Corporation agitation for
it under shelter, until weeks and months pass,
the cotton merchants
on
which has been persistent,
particularly upon the part of the farming com¬
munity, for some time past, and which now seems likely to command
then the damage has been done and he will very probably find no market
for his cotton at all,
WAR
not
thousands of bales of cotton lying out in the winter weather
are
to-day, flat
a
REVIVE
In its issue of Dec. 8 the "Journal of Commerce" had the
resuscitation of
We wish to call your attention to the very serious situation confronting
you and the cotton
TO
following to
and of return to
1920.
15
Dec.
To the Bank Addressed—
PROPOSAL
FINANCE CORPORATION.
them to properly house
and protect their cotton has been sent out
by the Atlanta
their cotton
VIEWS ON
a
immediately and
urge
thereby saving them further loss
The cotton merchants and the supply
them to house and protect
that
the farmer
should
"take his
medicine."
Now that
class has made this demand, however, the feeling is that
their crop.
on
distributors in this country are going through in greater or less degree and
merchants will appreciate your
personal interest in the matter.
the
agricultural
its political
power
will influence Congress to act accordingly, with only the veto of the Presi¬
dent standing in the way of the Corporation's revival.
If the War Finance Corporation becomes a functioning organization
RESOLUTION FOR REVIVAL OF WAR
again
it is expected that it will be flooded with demands for assistance from all
FINANCE
sides, without respect to the justification of the requests.
CORPORATION PASSED BY SENATE.
left to themselves, would work out to
The Gronna resolution, directing the revival of the War
Finance Corporation, was passed by the Senate on Dec. 13.
The resolution, which was introduced with the opening of
a
Situations which,'*
satisfactory adjustment, will, it is be¬
lieved, be brought to the War Finance Corporation for solution.
themselves, it
was
The banks
asserted yesterday, might find it to their advantage to
endeavor to transfer to the Corporation part of the frozen credits which are
now
hampering them,
though recognizing the fallacy of the entire
even
procedure.
.
Congress last week by Senator Gronna, Chairman of the
Senate Committee
tion 1 'be at
on
Agriculture, directs that the Corpora¬
rehabilitated with
once
a
view to
EDMUND PL ATT OF FEDERAL RESERVE BOARD AP¬
assisting in the
PROVES
financing of the exportation of agricultural and other prod¬
ucts to foreign markets," and it expresses it as the opinion
of
Congress "that the Federal Reserve Bank should take
such
action
banks
.
as
.
may
to
.
the farmers."
The
be
to permit
necessary
grant
liberal
the member
extensions
of
credit
to
preamble recites that "there exists in the
agricultural sections
of the country unprecedented and
paralleled distress
account of the inability of the farmers
to
dispose of the
on
corn,
other commodities
un¬
wheat, cotton, wool, live stock and
in marketable condition at .prices
now
that will pay the cost of distribution."
The resolution
it
was
was
amended in several particulars before
finally approved
by the
originally worded, it contained
a
Senate
on
Dec.
13.
As
mandatory provision direct¬
USE OF RESERVE
BANK
EARNINGS
TO-
AID LIVE STOCK INDUSTRY.
Announcement
was
made
Dec. 11 of the
on
approval by-
Edmund Piatt, Vice-Governor of the Federal Reserve
of
a
bill introduced
of North
Board,
by Representative Young (Republican)
Dakota, authorizing the
use
of $100,000,000
earn¬
ings of the Federal Reserve Banks to rediscount notes based
live stock
on
quoted
was
The New York "Commercial" of
security.
Dee. 13 printed a
Washington dispatch in which Mr. Piatt
saying:
as
T?his bill provides for relief to the cattle raisers and the live stock indus¬
try in general and is, In my judgment, a practical, workable measure.
It
permits the Secretary of the Treasury to deposit in the Federal Land Banks
in each of the years
1921 and 1922 $50,000,000 of the profits of the Federal
Reserve system to be used to rediscount the notes
held in banks based
on
livestock security, and these notes may be for terms as long as two years.
It is obvious that the Federal
Reserve banks cannot rediscount notes of
ing the Federal Reserve Board to permit the granting of
such long terms, as
liberal extensions by member banks of credit to farmers "at
by the member banks being the money of depositors and subject mostly
the lowest
to
possible rate of interest."
Norris, the mandatory provision
of
was
On motion of Senator
stricken out and instead
requiring the lowest rates of interest, "a fair and
able" rate
reason¬
was
proposed and this
was
accepted by the Senate.
The following
is the resolution
as
finally adopted by the
their
resources
must be kept liquid, the money loaned
payment on demand.
The bill appears to me to be
ing
sound from
and from the
standpoint
a
standpoint
public standpoint, from a bank¬
of
the
Joint resolution directing the War Finance Corporation to take certain
action for the relief of the present depression in the agricultural sections
which many of them are overloaded, will aid the farmers
in other ways, for
it will set free credit which will strengthen their reserves and
Furthermore, the
the purpose.
made
of the country and for other purposes.
It also safe¬
agricultural districts by this method of taking care of the cattle paper, with
to extend further accommodation on the security
Senate:
farmers.
Incidentally, the relief afforded to many banks in
guards the Treasury.
sum
The bill
of
money
appears to
enable them
of other farm produce.
made available is enough to accomplish
me to
be in accord with the suggestion
by Governor Harding of the Federal Reserve Board in a recent hearing.
Whereas, There exists in the agricultural sections of the country unprece¬
dented and unparalleled distress on account of the inability of the farmers
to
dispose of the corn, wheat, cotton, wool, live stock and other commodities
now
in marketable condition at
prices that will
pay
the cost of production;
and *
/■-
Whereas,
to
The
people
of Europe
are
in
dire
need of
the agricultural
Whereas, Under an Act of Congress there was established the War Finance
in May,
were
1920, by an order of the Secretary of the Treasury;
suspended
and,
Whereas, The banks of the country are unable to extend credit to the
n a
products may be held until they
fair and reasonable market;
can
be sold
therefore be it
Resolved, By the Senate and House of Representatives of the United
States of America in Congress
assembled, that the Secretary of the Treasury
and^the members of the War.Finance Corporation are hereby directed to
Board
in
AND
GOVERNOR
surplus, when, it is contended, "the Fed¬
eral Reserve banks should be sending out
purposes
all
adopted at
a
the
surplus
meeting
on
money
they
by several hundred cotton farmers.
resolution
and
"for
his
criticism
higher prices."
for crop-handling
can
spare,"
were
Dec. 6, at Fayetteville, N. O., held
the Federal Reserve Board was
cotton for
HARDING.
calling upon the banks of the country to
send in their cash
Oct. 31 1920, on the basis of daily Treasury
statements, was reduced to $24,062,609,672 96, of which about $2,337,000,000 consisted of loan and tax certificates unmatured.
On Sept. 30
1920 the gross debt had been $24,087,356,128 65, of which about $2,347,000,000 were loan and tax certificates unmatured.
On Nov. 30 1920, after
the issue of $232,000,000 of Treasury Certificates on Nov. 15 and the re¬
tirement on the same date of about $100,000,000 of maturing certificates,
the gross debt, on the basis of daily Treasury statements, amounted to
$24,175,156,244 14, of which about $2,475,000,000 represented floating
debt (loan and tax certificates unmatured).
These temporary increases in
both gross debt and floating debt will, it is expected, be more than over¬
come by Dec. 31 1920, in consequence of the December operations, and both
gross debt and floating debt should on Dec. 31 be reduced below the
amounts outstanding on Sept. 30.
The Government's further progress in
retiring the gross debt and the floating debt will depend, of course, upon
the relation between current receipts and current expenditures during the
coming calendar year, but there is good reason to hope that, unless new
burdens are imposed by legislation, there should be important further re¬
ductions in the last two quarters of the current fiscal year, provided always
that tax receipts are maintained at a sufficiently high level, salvage opera¬
tions vigorously pressed, and the strictest economy practiced in Government
expenditure.
The three months which have passed since the last quarterly
tax payment period have been marked by a still further distribution of
Treasury Certificates among investors and a further reduction of holdings
of Treasury Certificates by the banks.
The reporting member banks of
the Federal Reserve System (about 823 member banks in leading cities,
which are believed to control about 40% of the commercial bank deposits
of the country and to have subscribed in the first instance for perhaps
75% of the Treasury Certificates of Indebtedness now outstanding) held
on
Nov. 26 1920 only about $313,000,000 of Treasury Certificates, as
compared with reported holdings on Aug. 27 1920 of about $430,000,000,
Certificates which matured on Sept.
and
Nov.
on
1919 of about $816,000,000.
28
On Dec. 2 1920 the
reported that there were pledged with Federal
Reserve banks
use
Treasury Certificates as convenient
following:
it Includes the
federal
only about $214,000,000 of Treasury Certificates to secure loans and dis¬
counts, notwithstanding the preferential rates still maintained in many of
the Federal Reserve Districts and the probability that borrowing banks
would
Besides Messrs. Lamont and Davis,
of whom 22 are women.
Reserve banks
of the Treasury Houston; Governor Harding, of the Federal
Reserve Board; former President Taft, Cardinal Gibbons, Charles W. Eliot,
Frank
A.
Vanderlip, Cleveland H. Dodge, James A. Farrell, Paul 8.
Secretary
Senator Hitchcock of Nebraska, Senator
Harrison, Mortimer L. Schiff, John D. Rocke¬
feller, Jr., James A. Stillman, Dean Shailer Mathews of the University of
Chicago, Dr. Jeremiah W. Jenks, Charles H. Sabin, Frank I. Cobb, Adolph
S. Ochs, George M. Cohan, George Horace Lorimer, Samuel Gompers, Dr.
Livingston Farrand, E. N. Hurley, Julius Rosenwald, Festus J. Wade,
Charles Nagel, John R. Mott, Dr. William Mayo, Myron T. Herrick, Louis
W. Hill, Robert Dollar, John H. Rosseter, David Starr Jordan, Raymond
B. Fosdick, Bishop Thomas S. Gailor, Mrs. Carrie Chapman Catt, Mrs.
Medill McCormick wife of the Senator from Illinois, Mrs. George Wharton
Pepper, Mrs. Blanche Bates Creel, Mrs. August Belmont, Mrs. Cary T,
Grayson, Mrs. Joseph Cudahy, Mrs. Otto H. Kahn, Miss M. C. Thomas
president of Byrn Mawr College, and Mrs. Margaret Anglin Hull.
C.
Vance
Reinsch,
McCormick,
of Kansas, Fairfax
Capper
Lamont had the
Mr.
shall
"We
liminary telegram to
the members of the committee, and
all the machinery of a so-called
to set in motion
like
profits taxes.
The certificates now offered are also ac¬
ceptable in payment of Federal income and profits taxes payable at their
option to call them
for redemption before maturity.
With these features, the attractive rates
of interest, and absolute security of principal and interest these certificates
are extremely desirable investments arid should prove particularly attractive
to taxpayers having taxes to pay in the calendar year 1921, as well as to
persons having idle funds awaiting investment.
In these circumstances,
the Treasury believes that banking institutions generally should feel free to
enter subscriptions for the two issues now offered with the confident ex¬
pectation of prompt resale for investment, and urges them, as in the past,
respective maturities, and the United States reserves no
subscribe liberally
the widest
'drive,' and without put¬
committee. I want to
of this committee are
in sympathy with the present effort, under Herbert Hoover's
relieve the starving children of Europe.
Many of us are identi¬
ting too much of a burden upon the members of the
make especially clear the fact that all the members
deeply
very
direction, to
Hoover's committee, so that every effort
with
fied
Mr.
one
work
have
for
America
will be made to
supplement that of the other.
The feeling in
the Chinese people, the admiration for their industry, their
of
mercy
honesty, and for their
ment is so strong
distress will be
efforts to work out stable and progressive govern¬
that I am sure that the response to
their present terrible
adequate."
collateral to secure loans for
Certificates fo the two series now offered are exempt,
calculating
obtain
have pointed out
President's
REPRESENTATIVE
Certificates outstanding, from all State and local taxes (ex¬
cept estate and inheritance taxes) and from the normal Federal income tax
and the corporation income tax and are admissible assets for the purpose
to
for the certificates apd devote their best efforts to
possible distribution among investors.
Cordially yours,
D.
F.
TO
A
ON
GOVERNMENTS
AGRICULTURAL INTERESTS.
statement showing the present
country and the necessity
House on
Dec.
presented to the
tee, in order to show the
Finance Commit¬
futility of postponing the payment
quarte^y^doffiF'tfo. payments due Dec. 15.
of the
"to
reach the ear of those who are
We want every man
Mr.
principal object of his address
McCumber stated that the
asking favors of
He added:
and every corporation who must be called upon to
alone upon their own discomforts but also the
for taxes to look not
country's dire need.
We want the soldier, who is asking
on a bonus bill, to exercise patience and forbearance
action
APPEAL IN BEHALF OF FA¬
of North
10 by Representative McCumber,
Acting Chairman of the Senate
Dakota,
was
financial status of the
for immediate cash to meet the
needs of the Government was
pressing
the Government."
HotTSTOBr, Secretary.
McCUMBER
FINANCES—TAX POSTPONEMENT AND AID
remit
PRESIDENT WILSON'S
we
I have already despatched a pre¬
this matter.
possibility of securing from the country an adequate response to the
appeal for the Chinese famine sufferers without undertaking
the
other Treasury
of
organization that
outline shortly the simple
to
be able
mind for handling
in
have
following to say on the 10th inst.
of the committee:
regarding the plans
commercial purposes.
The Treasury
numbers 130,
committee apponted by the President
The
of the operations incident to tike
Ii consequence
ury
[VOL. 111.
CHRONICLE
THE
2386
for immediate
and to under¬
financial difficulties that confront Congress. And we want
appropriation committees to cut to the bone and to keep appropriations
down to the limit of the bare necessity of Government.
This is no time
even
to dream of new Governmental projects which will call for Treasury
stand the grave
our
MINE-STRICKEN
I
CHINA—T.
W. LAMONT
TO
DIRECT WORK.
'
disbursements.
appeal to the American people to "respond as
An
can" to the call for relief in
they
behalf of the famine-stricken
peoples of China was made in a
statement issued by Presi¬
The President stated at the same
dent Wilson on Dec. 9.
time that "in order to be
assured of the orderly collection
of such donations, large or
small, as may be offered, I have
invited
nation-wide committee to lend their aid to
a
Thomas W. Lamont,
matter."
made chairman of the
been
the President's statement
committee.
The following is
in the matter:
alarming in its proportions, to-day
A famine,
this
of J. P. Morgan & Co., has
holds in its grip several
The crop failure is complete, and the present
distress which is great, is likely, before winter has run its course, to become
appalling
In fact our diplomatic and consular agencies in China inform me
that the loss resulting from death in distressing form may run into millions
of souls.
It is certain that the local Governments and established agencies
of relief are unable to cope with the magnitude of the disaster which faces
important provinces in China.
them.
Under the circumstances,
Once
an
more
relief to be effective should be granted quickly.
generous response with which
call of their brother nations in distress.
prompt and
The
•f
of China I
case
our
show that
they have invariably met the
opportunity is offered to the American people to
regard
as
especially worthy of the earnest attention
Chinese people look to us for
friendship. Our churches, through their religious
their schools and colleges, and our philanthropic
have rendered China an incalculable benefit, which her people
To an unusual degree the
citizens.
counsel and for effective
and medical missionaries,
foundations
recognize with gratitude and devotion to the United States.
Therefore not
only in the name of humanity but in that of the friendliness which we
feel for a great people in distress, I venture to ask that our citizens shall,
even though the task of giving is not to-day a light one, respond as they
can to this distant
but appealing cry for help.
In order to be assured of the orderly collection of such donations, large or
small,
names
nated
be offered, I have
may
as
are
committee,
invited a nation-wide committee, whose
their aid to this matter. I have desig¬
New York City to act as chairman of this
and Norman Davis, Under Secretary of State, to act as treas¬
attached hereto, to lend
Thomas
W. Lamont of
urer.
I realize that
those for the underfed children of East¬
afflicted peoples of the Near East, and to the needs of
the demand upon the bounty of the nation.
however, that all these pleas will be answered in generous
this call, added to
ern
Europe and the
our
own
I
am
country, makes heavy
confident,
•pirit.
efforts to re¬
proposal to ask
Representative McCumber referred to the
vive the War Finance Corporation and the
the latter "in some way to
of Europe so we
can
finance the bankrupt countries
export our wheat to them"; he
his state
one
(North Dakota)
exception, in
a
been crop failures,
of twenty-three banks, all, with
and he said that so far as the
would seem that "the first,
real, the sensible thing to be done,
pipe, stop the importations and
is to close the intake
give the American farmer
exclusively the American market so
the market at
had
agricul¬
section of the country where there
tural situation is concerned, it
the
like¬
reference to the closing in
wise included in his remarks a
long as he can supply
We take from the "Congres¬
living prices."
sional Record" his remarks, as
follows:
delegations who have been impor¬
tuning members of the Finance Committee for a meeting to consider the
postponement of the December 15 installment of taxes, and also to devise
a method of reducing those taxes.
I had expected to ask permission at the
close of the routine morning business, to present some figures upon this
proposition, so that those, interested in the question could for themselves
judge whether or not it would be possible for the Congress to grant them
the relief they sought.
Inasmuch as there are only four days to elapse be¬
tween now and the 15th, and we do not seem to be approaching the end of
the morning business, I am going to ask the unanimous consent of the Senate
to present, at this time, some of the figures showing the present financial
status of the country, and the necessity for immediate cash to meet im¬
President, there are quite a few
Mr.
mediate needs.
Committee on Fi¬
individually have been worked over¬
time in receiving delegations who, in presenting their urgent appeals for
remedial action by the Congress, are reflecting the deplorable condition
While there has been no meeting
nance,
that
and no action by the
the members of that committee
is
general throughout the country.
are two features of the general
situation
|
where the demand is for
important, is our agricul¬
tural collapse; the second, the heavy inventory losses due to rapidly falling
prices, for which relief is sought by (a) postponing the December 15 in¬
stallment of the tax on 1919 profits and income, and (b) by allowing the
inventory losses of 1920 to be offset against the profits of 1919, and to that
extent, reducing the amount of the December 1920 installment.
While no
one ean
speak for the final action of the committee, or of the Senate or
There
immediate
relief.
The first of
these, and most
DEC. 18
1920.]
2387
CHRONICLE
THE
House, on these proposals, it is eminently proper, and, to my mind, most
urgent that the taxpayers directly interested and the country at large be
of
informed at the earliest
fore of about 2%
war-savings certificates mature January 1 1923,
loan and tax certificates mature within the year.
possible moment of the present financial situation
the country, to the end that
the probability or
of
to
especially true
ment
of
taxes,
I wish,
which
December
falls due
therefore, to present
of the National
meet
able
they may exercise their own judgment as
possibility of securing the relief demanded.
This is
demand for the postponement of the last install¬
It is
that
whole is not
a
;
>mount of cash in Treasury Dec. 6 1920.
this
$160,018,235
Dec. 15 tax installment, estimated
fiscal
not wish to take
Treasury, its immediate obligations, and its cash assets to
them:
Now, with
650,000,000
Total
Outstanding certificates maturing Dec. 15 1920
$700,000,000
Maturing Jan. 3-15 1921
300,000.000
Maturing Dec. 15 1920
near and far, staring us in the
striving to find some way by which we can relieve the agricul¬
We hope for some kind of relief through a revival of the
are
140,000,000
ask
this
War
countries of
ness
Total
.$1,140,000,000
low
Thus, Mr. President, if every dollar of the December 15 installment is
paid in full and the last cent in the Treasury, including the comparatively
small
amount
that
will
and which will be far
governmental
be
there
expenses,
from
secured
still be
would
left by
the
that
even
milked
deficit
Secretary
the
of
Treasury
$250,000,000.
the
on
places
January 15 past-due
safe basis
a
'
$579,981,765.
But
even
three
must add this
we
this gigantic deficit,
added
to this whatever
sum
and
January next.
day of
$2,000,000,000, and
I ask to have
leaves
He
on
June 30
with
us
1921
of
Gronna:
money
60.193,375
all,
what
expenditures:
$4,851,298,931
it would
Mr.
-$7,914,742,515
Excess of estimated expenditures over estimated receipts...
Mr.
$2,114,984,140 00
1921.................$1,755,037,119 67
250,000,000 00
Estimated gross deficiency June 30 1921——
$2,005,037,119 67
year
1922:
Fiscal Year 1922.
Estimated deficit In general fund June 30 1921 (as
above)...
$1,755,037,119 67
Estimated receipts:
Ordinary
$4,859,530,000
i—
Public debt...
—
exclusive
of
—
ployees,
count
of
-$4,919,730,000
and
of
;
em¬
expenditures
a very
same
banks furnish
to
me
in
reliable credit.
that
so
far
j
the agricultural situation is con¬
as
the
he ian supply that market at living prices.
Would not that result in depriving the people of Europe
so
long
as
If Europe can sell
products?
universally trade with a country where the balance of
to
in our favor and against that country unless that country
balance of trade somewhere else.
a
now
is to take care of our own people if we can.
-"'.v.
.
we
are
thereby relieve the depression, when the depression is growing contin¬
Mr. McCumber had inserted in the
"Record,"
as part
of
ac¬
additional
his
remarks, certain tables, as follows, covering points
cussed by
compensation
ditures
Dec. 15 tax installment,
con¬
struction in Navy..
—$160,018,235
1920-———
Amount of cash In Treasury Dec. 6
account of new
dis¬
him:
in Postal Service, and of expen¬
on
these
ually by enormous imports into the United States.
expendi¬
Government
can
seeking to export this wheat to Germany and Austria and
to finance those countries in some way so that they can buy our exports
tures on account increased com¬
pensation
depression, how
Senator considered that matter?
McCumber:
Oh, Mr. President, there is no question but what we
is always
Now,
expenditures:
Ordinary,
come
Has the
bushels.
60,200,000
Total...
Estimated
That must
But our first and impending
They can not sell
their products.
We are seeking through a Governmental board to provide
means by
which we can export these products to foreign countries, when,
as a matter of fact, the same products are coming into this country in un¬
precedented quantities.
Why, I call the attention of the Senator from Minneapolis to the fact
that during the month of October alone about 10,000,000 bushels of wheat,
including flour, crossed the Canadian line for Minneapolis. - During the
month of November I |am informed that that will run at least to 12,000,000
duty
1921
give the figures for the fiscal
of the general plan to get money
purchasing power to purchase our
get
can
Estimated amount necessary for balance in general fund June 30
to
seem
cannot continue
trade
now
now
agricultural sections.
nothing in this country, how can they be in a position to buy our products
freely?
Estimated deficit in general fund June 30
these
foreign people to buy these farm products?
For, after
have, and what these country banks must
is not
Nelson:
the
of
3,063,443,584
—
speaking
in
!
the Federal Reserve System.
Reserve banks.
the agricultural
to a
American market
———
State banks.
pipe, stop the importations, and give the American fanner exclusively
»
in year, but not including Pitt-
.
are
them belong to
cerned, the first, the real, the sensible thing to be done is to close the intake
$2,509,-
Total
of
am
is money and th|e credit that is not backed by cash somewhere
So
Act certificates)
that if they were to
these farmers must
the background
$5,799,758,375
outstanding maturing with¬
I wish
over
the
550,500 certificates of indebted¬
man
so;
present conditions should continue, it
Now, if these banks cannot supply associate banks with money sufficient
$359,947,020 33
have,
ness
Federal
these
they
No;
I
situation
the
finance
to
to tide
(including
safely do
can
President
None
Gronna:
McCumber:
$5.739,565,000
debt
Agriculture
I
McCumber:
Mr.
from
Ordinary
on
'■ L ■'U
yield to my colleague.
hope my colleague will not get the impression that the
banks closed had been extended credit from the Federal Reserve Board,
Mr.
Estimated receipts:
Public
they
as
I
Mr.
On page 273 and following is a summarized estimate of receipts and expenditures
Estimated
The testimony of Mr. Harding, Governor
whole banking system.
Mr.
McCumber:
Gronna;
23
for the fiscal year 1921, as follows:
Total
further
because that is not the true condition.
FINANCIAL STATEMENT,
Public debt
secure no
Board, taken before the Committee
far
as
our
Mr.
4From report of Secretory of the Treasury for the year ended June 30 1920.]
Ordinary
can
the whole is to the effect that the reserve banks have ex¬
on
Mr.
years:
Balance in Treasury June 30 1920
section of the
a
Many other banks would have been closed
further extend those credits and the
1922 of nearly $1,500,000,000.
printed the report for these two fiscal
they themselves
until
banks.
get the money?
we
Forestry,
JIT.
June 30
on
can
might endanger
difficulties.
deficit
a
in
the banks of this section have had to extend
years
reserve
tended their credit
our vision along a vista in¬
half calendar years, from the 1st
two and a
or
I think,
exception,
one
years
former
the Federal Reserve
of
Jfhe Secretary, in his annual report, directs
years,
the
over
Where
is
Bringing the total deficit immediately confronting us to $1,229,981,765.
Mr. President, this is the situation, and it is the deficit that meets our
cluding two fiscal
with
all,
were
four years.
or
except for assessments upon stockholders.
to make good deficits growing out of Governmental operation,of
railroads, estimated by the President in his annual message at $650,000,000.
our
President, in my State 23 banks closed during the past three weeks.
credits from the
necessary
But it is not the end of
tank
But of
live
banks
credits
which requires immediate liquidation, does
There must be
busi¬
our
now
During each of those
sum,
■/:v
not disclose the full truth.
immediate gaze.
are
These
r-',
;v,v:
on
we were
country where there have been crop failures, whole or nearly | whole, for
the minimum of safety cash of
•
Therefore, to keep the Treasury
If
"and not statesmen"—we would fol¬
say
would at least close the intake to
we
"
v/: f.v'y.
i
considering the financial situation.
What the farmer needs
on until he can get a half living price for his crop.
What
the country bank needs is money to loan this farmer.
assumption that the Treasury is
as
finance the bankrupt
to
way
some
hereafter.
We
making his calculations and estimates
In
in
export our wheat to them.
struggling to empty the tank through the spigot.
were
is money to
which brings the deficit or amount which must be raised in some manner
to
we
Mr.
based
is
dry—is left bankrupt.
Corporation
so we can
business instinct and
our
that
general
obligations of $329,981,765.
But
Finance
Europe
men—possibly I ought not to
while
general internal revenue sources
than offset by the amount paid out for
more
sum.
both
deficits,
activities of the War Finance Corporation.
While wheat and wool are
pouring into this country in unprecedented volume, driving down the prices
of the American product to half the cost of
producing it, we are about to
immediate liabilities:
our
these great
tural situation.
$810,018,235
to
now
we
gloomy view of our industrial prospects, but if 1921 as
the last two months of 1920
a
most decided improvement over
a
will not be one-half of that
revenue
face
Turning
worthy of note that the Secretary bases his estimate of the deficit
on June 30 1922, on the assumption that our revenue for
year will be $4,859,530,000, or nearly $5,000,000,000.
I do
which will exist
15.
most general statement of the conditions
a
$7,500,000,000 of
23 of the Secretary's report. /
page
to the
as
and $2,847,000,000 of
Within a period there¬
ending May, 1923, there will become due and pay¬
Government war obligations.
I call attention to
years,
estimated---
650,000.000
-
——————
3,897,419.227
Public debt
Total
465,854.865
—-
——
—
Outstanding certificates maturing Dec. 15
Total.....
Maturing Jan. 3-15 1921
4,363,274,092
Excess of estimated receipts over estimated expenditures
Estimated deficit in the general fund June 30 1922
565,455,908 00
——$1,198,581,211 67
Maturing Dec. 15 1920———
Total
—
$810,018,235
1920--——.$700,000,000
300,000,000
———
140,000.000
s
-————$1,140,000,000
—
Estimated amount necessary for balance In the general fund June 30
1922....
250,000,000 00
Deficit (with empty Treasury)
Estimated gross deficiency June 30 1922
$329,981,765
250,000,000
-
Minimum Treasury safety balance...——...
——
$1,448,581,211 67
$579,981,765
,
Now, Mr. President, the estimated receipts and disbursements for the year
ending June 3 1922 do not include deficits which must be taken care of
during the coming year.
000,000.
will be
as
nearly double that amount,
October 31
On
cate
As nearly
The President estimated for the railroads $650,I can learn, this deficit, when all claims are in,
1920 there
were
or
about $1,126,000,000.
still outstanding and
unpaid tax certifi¬
obligations of the Government due from December 15 1920 to March
If we carry the tax certificates to September
15
1921, of $506,527,500.
15
1921, the total will be $1,782,040,000.
cates which become
432,950.
I
call
If we include the loan certifi¬
due within the year, this total will amount to $2,629,-
attention to
page
22
of
the report
of
the
Secretary of
the Treasury.
Here is an
About
important feature which we ought to take into consideration.
$4,250,000,00p of Victory notes mature May 20 1923, $800,000,000
Railway-operation deficit
Total
In
deficit
addition
—
—
—
we
take
the
———
following from the
650,000,000
$1,229,981,765
"Record,"
covering some of the further discussions in the matter:
Mr. Simmons: The Senator in his very clear and comprehensive financial
statement informs the Senate and the country that on the 80th day of
the coming next June we will be confronted with a deficit of something over
$2,000,000,000, as I understood him, and that on the 80th day of June,
1922, we will be confronted with a larger deficit.
I want to Inquire of
the Senator, who is the acting Chairman of the Finance Committee, and
who, I understand, has Informally conferred with his colleagues in the ma¬
jority, if he has himself individually or in conjunction with his associates
;
of the operations incident U the
la consequence
retirement of the Treas¬
IS 1920, and the
quarterly payment of income and profits taxes on Sept. 15, the gross
Certificates which matured on Sept. IS, and Oct
ury
31 1920, on the basis of daily Treasury
$24,062,509,672 96, of which about $2,337,000,000 consisted of loan and tax certificates unmatured.
On Sept. 30
1920 the gross debt had been $24,087,356,128 65, of which about $2,347,000,000 were loan and tax certificates unmatured.
On Nov. 30 1920, after
the issue of $232,000,000 of Treasury Certificates on Nov. 15 and the re¬
tirement on the same date of about $100,000,000 of maturing certificates,
the gross debt, on the basis of daily Treasury statements, amounted to
$24,175,156,244 14, of which about $2,475,000,000 represented floating
debt (loan and tax certificates unmatured).
These temporary increases in
both gross debt and floating debt will, it is expected, be more than over¬
come by Dec. 31 1920, in consequence of the December operations, and both
gross debt and floating debt should on Dec. 31 be reduced below the
amounts outstanding on Sept. 30.
The Government's further progress in
retiring the gross debt and the floating debt will depend, of course, upon
the relation between current receipts and current expenditures during the
Government
the
debt of
statements,
Oct.
on
reduced
was
to
coming calendar year, but there is good reason to
burdens
are
imposed by legislation,
ductions in the last two quarters of
hope that, unless new
there should be important further re¬
the current fiscal year, provided always
maintained at a sufficiently high level, salvage opera¬
tions vigorously pressed, and the strictest economy practiced in Government
expenditure.
The three months which have passed since the last quarterly
tax payment period have been marked by a still further distribution of
Treasury Certificates among investors and a further reduction of holdings
of Treasury Certificates by the banks.
The reporting member banks of
the Federal Reserve System (about 823 member banks in leading cities,
which are believed to control about 40% of the commercial bank deposits
that tax
the
of
75%
receipts
are
subscribed in the first instance for perhaps
Certificates of Indebtedness now outstanding) held
only about $313,000,000 of Treasury Certificates, as
country and to have
of the Treasury
Nov.
on
26
1920
compared with reported holdings on Aug. 27 1920 of about $430,000,000,
and on Nov. 28 1919 of about $816,000,000.
On Dec. 2 1920 the Federal
Reserve banks
reported that there were pledged with Federal Reserve banks
only about $214,000,000 of Treasury Certificates to secure loans and dis¬
counts, notwithstanding the preferential rates still maintained in many of
the Federal Reserve Districts and the probability that borrowing banks
would
use
Treasury Certificates as convenient collateral to secure
[VOL. 111.
CHRONICLE
THE
2386
committee apponted by the President
The
numbers 130,
Besides Messrs. Lamont and Davis,
of whom 22 are women.
it includes the following:
Houston; Governor Harding, of the Federal
Cardinal Gibbons, Charles W. Eliot,
H. Dodge, James A. Farrell, Paul S.
Reinscb, Vance C. McCormick, Senator Hitchcock of Nebraska, Senator
Capper of Kansas, Fairfax Harrison, Mortimer L. Schiff, John D. Rocke¬
feller, Jr., James A. Stillman, Dean Shailer Mathews of the University of
Chicago, Dr. Jeremiah W. Jenks, Charles H. Sabin, Frank I. Cobb, Adolph
S. Ochs, George M. Cohan, George Horace Lorimer, Samuel Gompers, Dr.
Livingston Farrand, E. N. Hurley, Julius Rosenwald, Festus J. Wade,
Charles Nagel, John R. Mott, Dr. William Mayo, Myron T. Herrick, Louis
W. Hill, Robert Dollar, John H. Rosseter, David Starr Jordan, Raymond
B. Fosdick, Bishop Thomas S. Gailor, Mrs. Carrie Chapman Catt, Mrs.
Medill McCormick wife of the Senator from Illinois, Mrs. George Wharton
of the Treasury
Secretary
former President Taft,
Reserve Board;
Frank
Vanderlip,
A.
Mrs. August Belmont, Mrs. Cary T.
Mrs. Otto H. Kahn, Miss M. C. Thomas
of Byrn Mawr College, and Mrs. Margaret Anglin Hull.
Blanche Bates Creel,
Mrs.
Pepper,
Mrs. Joseph Cudahy,
Grayson,
president
Lamont
Mr.
Cleveland
had the following to
say on
the 10th inst.
regarding the plans of the committee:
outline
be able to
shall
"We
shortly the simple organization that we
I have already despatched a pre¬
mind for handling this matter.
in
have
members of the committee, and have pointed out
possibility of securing from the country an adequate response to the
President's appeal for the Chinese famine sufferers without undertaking
to set in motion all the machinery of a so-called 'drive,' and without put¬
liminary telegram to the
the
committee. I want to
of this committee are
in sympathy with the present effort, under Herbert Hoover's
relieve the starving children of Europe. Many of us are identi¬
ting too much of a burden upon the members of the
make especially clear the fact that all the members
deeply
very
direction, to
that every effort will be made to
the other.
The feeling in
the Chinese people, the admiration for their industry, their
Hoover's committee,
with
Mr.
one
fied
work
have
for
America
of
honesty, and for their efforts to
ment is
so
supplement that of
mercy
work out stable and progressive govern¬
the response to their present terrible
strong that I am sure that
so
distress will be
adequate."
loans for
commercial purposes.
Certificates fo the two series now offered are exempt, like
The Treasury
other Treasury
cept estate and inheritance taxes) and from the normal Federal income tax
the corporation income tax and are admissible assets for the purpose
offered are also ac¬
ceptable in payment of Federal income and profits taxes payable at their
respective maturities, and the United States reserves no option to call them
for redemption before maturity.
With these features, the attractive rates
of interest, and absolute security of principal and interest these certificates
are extremely desirable investments add should prove particularly attractive
to taxpayers having taxes to pay in the calendar year 1921, as well as to
persons having idle funds awaiting investment.
In these circumstances,
the Treasury believes that banking institutions generally should feel free to
enter subscriptions for the two issues now offered with the confident ex¬
pectation of prompt resale for investment, and urges them, as in the past,
to subscribe liberally for the certificates add devote their best efforts to
obtain the widest possible distribution among investors.
calculating
profits
taxes.
The certificates
TO
now
A
statement
D.
F.
Houstojt, Secretary.
GOVERNMENTS
AGRICULTURAL INTERESTS.
showing the present financial status of the /
country and the necessity
House
for immediate cash to meet the
needs of the Government
pressing
Dec.
on
10 by Representative
quarterly income tax payments due Dec.
the
reach the
"to
ear
We want every man
Commit¬
15.
Mr.
principal object of his address
McCumber stated that the
was
presented to the
McCumber, of North
of postponing the payment
tee, in order to show the futility
of
was
Acting Chairman of the Senate Finance
Dakota,
of those who are asking favors
of
He added:
the Government."
Cordially yours,
ON
FINANCES—TAX POSTPONEMENT AND AID
and
of
McCUMBER
REPRESENTATIVE
Certificates outstanding, from all State and local taxes (ex¬
and every corporation who must be called upon to
upon their own discomforts but also the
remit for taxes to look not alone
country's
PRESIDENT WILSON'S
APPEAL IN BEHALF OF FA¬
a
CHINA—T.
W. LAMONT
TO
DIRECT WORK.
on
bonus bill, to
the grave
stand
our
MINE-STRICKEN
We want the soldier, who is asking for immediate
exercise patience and forbearance and to under¬
dire need.
action
financial difficulties that confront Congress.
And we want
appropriation committees to cut to the bone and to keep appropriations
to the limit of the bare necessity of Government.
This is no time
down
even
to dream of new Governmental
projects which will call
for Treasury
disbursements.
appeal to the American people to "respond as they
An
can" to the call for relief in behalf of the
famine-stricken
peoples of China was made in a statement issued by
dent Wilson on Dec. 9.
The President stated at the same
time that "in order to be assured
of such donations,
invited
a
matter."
nation-wide committee to lend their
aid to this
J. P. Morgan & Co., has
Thomas W. Lamont, of
of the committee.
the President's statement in the
The following is
important provinces in China. The crop failure is complete, and the
distress which is great, is likely, before winter has run its course, to
several
present
become
In fact our diplomatic and consular agencies in China inform me
that the loss resulting from death in distressing form may run into millions
of souls.
It is certain that the local Governments and established agencies
appalling
of relief are unable to cope
with the magnitude of the [disaster which faces
them.
Under the circumstances, relief to
Once more
an
be effective should be granted quickly.
The
•f
case
our
that
they have invariably met the
opportunity is offered to the American people to show
prompt and generous response with which
call of their brother nations in distress.
of China I regard as
citizens.
To
an
especially worthy of the earnest attention
unusual degree the Chinese people look to us for
Our churches, through their religious
their schools and colleges, and our philanthropic
counsel and for effective friendship.
medical missionaries,
and
foundations have rendered
China an incalculable benefit, which her people
the United States. Therefore not
but in that of the friendliness which we
people in distress, I venture to ask that our citizens shall,
even though the task of giving is not to-day a light one, respond as they
can to this distant but appealing cry for help.
In order to be assured of the orderly collection of such donations, large or
small, as may be offered, I have invited a nation-wide committee, whose
names are attached hereto, to lend their aid to this matter.
I have desig¬
nated Thomas W. Lamont of New York City to act as chairman of this
committee, and Norman Davis, Under Secretary of State, to act as treas¬
recognise with gratitude and devotion to
in the name of humanity
only
feel for a great
urer.
I realize that
this call, added to those for
Europe and the
our
own
I am
the underfed children of East¬
afflicted peoples of the Near East, and to the needs of
the demand upon the bounty of the nation.
confident, however, that all these pleas will be answered in generous
ern
country, makes heavy
spirit
Representative McCumber referred to the
the latter "in some way to
finance the bankrupt countries
export our wheat to them"; he
of Europe so we can
wise included in his remarks a reference
(North Dakota)
his state
one
exception, in
a
efforts to re¬
Corporation and the proposal to ask
vive the War Finance
been crop failures, and he
like¬
to the closing in
of twenty-three banks, all, with
section of the country where there
had
said that so far as the agricul¬
tural situation is concerned, it
matter:
its proportions, to-day holds in its grip
famine, alarming in
A
of the orderly collection
large or small, as may be offered, I have
made chairman
been
Presi¬
would seem that "the first,
intake
American farmer
exclusively the American market so long as he can supply
the market at living prices."
We take from the "Congres¬
thing to be done, is to close the
the real, the sensible
pipe, stop the importations and give the
Record" his remarks, as
sional
follows:
delegations who have been impor¬
tuning members of the Finance Committee for a meeting to consider the
postponement of the December 15 installment of taxes, and also to devise
a method of reducing those taxes.
I had expected to ask permission at the
close of the routine morning business, to present some figures upon this
proposition, so that those, interested in the question could for themselves
judge whether or not it would be possible for the Congress to grant them
the relief they sought.
Inasmuch as there are only four days to elapse be¬
tween now and the 15th, and we do not seem to be approaching the end of
the morning business, I am going to ask the unanimous consent of the Senate
to present, at this time, some of the figures showing the present financial
status of the country, and the necessity for immediate cash to meet im¬
Mr.
President, there are quite a few
mediate needs.
by the Committee on Fi¬
individually have been worked over¬
time in receiving delegations who, in presenting their urgent appeals for
remedial action by the Congress, are reflecting the
deplorable condition
While there has been
nance,
that
no
meeting and no action
the members of that committee
is
There
general throughout the country.
are
immediate
two
relief.
features
of the
The first
general situation where the demand is for
and most important, is our agricul¬
of these,
rapidly falling
the December 15 in¬
(b) by allowing the
inventory losses of 1920 to be offset against the profits of 1919, and to that
extent, reducing the amount of the December 1920 installment.
While no
one fan speak for the final action of the committee,
or of the Senate or
tural collapse;
the second, the heavy
inventory losses due to
prices, for which relief is sought by (a) postponing
stallment of the tax on 1919 profits and income, and
Dec.
House,
181920.]
these proposals, it is eminently proper, and, to my mind, most
the taxpayers directly interested and the country at large be
on
urgent that
informed
the earliest
at
of
the country,
to
the
ment
I
of
which
demand for the postponement of the
due
falls
therefore, to present
December
■
>■ mount of cash in Treasury Dec. 6 1920.
installment, estimated
t
_■
war-savings certificates mature January 1
loan and
v
;
$7,500,000,000
23
It is
$810,018,235
to
that
Outstanding certificates maturing Dec. 15 1920
$700,000,000
Maturing Jan. 3-15 1921
300,000.t)00
Maturing Dec. 15 1920.......
140,000,000
...$1,140,000,000
...........
Thus,
Mr.
President,
if every
December 15 installment is
dollar of the
paid in full and the last cent in the Treasury, including the comparatively
small
that
amount
and which will
governmental
be
will
be far
secured
than
more
there
expenses,
from
offset
general internal
revenue
left by
January 15 past-due
obligations of $329,981,765.
But
the
that
even
milked
dry—is
Secretary
deficit
left
the
of
is
based
Treasury
the
on
In
assumption that the Treasury is
calculations and estimates
the minimum of safety cash of
making his
places
as
Therefore,
to
to keep the
Treasury
brings the deficit
or
on
safe basis
a
must add this sum,
we
amount which must be raised in
some
manner
$579,981,765.
But
even
this gigantic
disclose
not
requires" immediate
deficit, which
the full truth.
There
be
must
added
to
liquidation, does
this whatever
sum
is
to make good deficits growing out of Governmental operation.of
necessary
railroads, estimated by the President in his annual message at $650,000,000.
Bringing the total deficit immediately confronting us to $1,229,981,765.
Mr. President, this is the situation, and it is the deficit that meets our
immediate gaze.
But it is not the end of
cluding two fiscal
of January
day
years,
or
two and
He leaves
next.
us
half
a
difficulties.
our
^he Secretary, in his annual report, directs
of
with
I
deficit
a
on
June 80
1921
of
273 and following is
On page
a
this
low
We
are
three
Where
can
3,063,443,584
and
Forestry,
further
$1,755,037,119 67
Estimated amount necessary for balance in general fund June 30
250.000.000 00
1922:
Fiscal Year 1922.
Estimated deficit in general fund June 30 1921 (as above)
....$1,755,037,119 67
Estimated receipts:
count
of
Mr.
section of the
secure
can
far
no
further
Many other banks would have been closed
The testimony of Mr. Harding, Governor
Board, taken before the Committee
they
as
safely do
can
on
Agriculture
banks have ex¬
reserve
that if they were to
should continue, it
so;
^
>
yield to
23
hope
colleague.
my
my
McCumber:
the
finance
to
I
State banks.
are
them
of
belong to the Federal Reserve
speaking
am
in
situation
Federal
these
they
No;
None
Gronna:
McCumber:
these
System.
of the general plan to get money
now
That must
agricultural sections.
Now, if these banks cannot supply associate banks with money
what
to
buy these
foreign people to
a
For, after
farm products?
what these country banks
have, and
these farmers must
background is not
very
a
to
seem
Nelson:
the
reliable credit.
that
me
long
W
14,888.640
991.413,840
4s, U. S. Loan of 1925
2s
U. 8. 1-year Certs, of Indebtedness
259.375,000
73,138.400
ward.
Total
276,525,200
Dec. 18
The
1920.]
THE
following shows the amount of national bank notes
legal-tender deposits Nov. 1 and
afloat and the amount of
Dec. 1 and their increase
decrease
or
during the month of
November.
+
Nat onal Bank Notes—Total
Afloat—
Amount afloat Nov. 1 1920..
Net amount Issued
during November
...
Amount of bank notes afloat Nov. 1 1920
Legal-Tender Notes—
Amount
CHRONICLE
$732,549,629
1,461,168
Auction
Sales.—Among other securities, the following,
usually dealt in at the Stock Exchange, were recently sold
at auction in New
York, Boston and Philadelphia:
By Messrs. Adrian H. Muller & Sons, New York:
not
Shares.
62 Metropolitan Surety_
1 Social Reform Club
V.v:
deposit tc redeem national bank
notes Nov. 1 1920...—
$27,410,317
STOCK OF MONEY IN THE COUNTRY—The follow¬
ing table shows the general stock of money in the country,
as
well
the
as
circulation
holdings by the Treasury and the amount in
given:
-Stock of Money Dec. 11620
in U.S.
.
Gold coin (including bullion
in
Dec. 1 1919.
$
$
k* ■■■■■*
■<■{■•
1
>
Treasury)...........2,761,338,519 430,386,732
Gold certificates
L.
Standard silver dollars.....
Circulation—
Money in
aHeld in Treas. Dec. 1 1920.
$
979,881,024
351.563,056
269,857,494
b879,529,142
415,692,081
15,857,417
97,095,305
82,416.283
155,289,410
157.6^2,692
262,917,134
1,615,362
Subsidiary sliver
Treasury notes of 1890....
United States notes
Federal Reserve notes
266,609,065
3,691,831
....
346,681,016
c3,663,592,795
239,569,800
Federal Reserve Bank notes
National Bank notes......
327,488,796
6,962,414
339,718,602
18,203,857 3,319,415,118 2.839,814,899
4,094,172
235,475,628
205,470,544
13,130,555
720,880,242
677,814,786
734,010.797
1....8,281,659,486 492.327,078 6,363,498,999 5,929,874,791
This statement of money held in the
treasury as assets of the Government does
not include deposits of
public money in Federal Reserve banks and in national banks
and special depositaries to the credit
of the Treasurer of the United States amount¬
a
ing to $183,017,285 20.
b Includes
Mines
Note.—On Dec.
Federal
1
notes
$898,841 309 gdld coin and bullion. $201,018,280
geld certificates and $325,973,820 Federal Reserve notes, a total of $1,425,833,409,
on Dec.
1
1920.
,
>
lot
Banks.—The following information regarding
national banks is from the office of the
Comptroller of the
Currency, Treasury Department:
i
Capital.
$50,000
President,
James H. Parker; Cashier, F. O. Wikoff.
Original organizations:
.' The Randall National
Bank, Randall, Kans
President, C. A. Crawford; Cashier, R. H. Parsons.
The Woodbridge National Bank,
Woodbridge, N. J...-.
President, John F, Ryan; Cashier, Thomas B. Murray.
Total
_
50,000
$125^000
.
APPLICATIONS FOR CHARTER.
#
Conversions of State banks and trust companies:
The Commercial National Bank & Trust Co. of
Laurel, Miss..$100,000
Conversion of The Commercial Bank & Trust
Co., Laurel, Miss.,
Correspondent, T. W. Yates, Laurel. Miss.
The First National Bank of Seaside, Ore
Conversion of The First State Bank of Seaside, Ore.
Correspondent: The First State Bank of Seaside, Ore.
...
50,000
Painted Post National Bank, Painted Post, N. Y_.
Correspondent: Charles Tibbetts, Hamilton and
25,000
Chemung
fits., Painted Post, N. Y.
The First National Bank of Fort
Lauderdale, Fla
Correspondent: Maxwell Baxter, Fort Lauderdale,
The Farmers National Bank of
Arlington, Texas
Correspondent: J. E. Voss, Arlington, Texas.
The First National Bank of
Falmouth, Ky
100,000
Fla.
50,000
60,000
Correspondent: Geo. W. Berger, Falmouth, Ky.
..$385,000
CAPITAL STOCK INCREASED.
i.
*•
'■
'•1
••r-
•
$150,000
$300,000
VOLUNTARY
LIQUIDATION.
Carthage, Mo
Capital $100,000
Liquidating Agent, W. E. Carter,
Consolidated with Bank of Carthage, Carthage, Mo.
The Carthage National
Bank,
To take effect Dec. 4 1920.
Carthage, Mo.
per share paid in liquid'n. $3
200 Mirror Films, Inc., pref...lot $20
1,100 Iona Gold Mining, Inc., lot $10
100 Plymouth
Oil
7%
pref.;
50 Plymouth Oil......lot $130
4,000 Loma Prieta Mines
lot $31
50 Sijur Motor Appliance, 2d
preferred..........
lot
19,500 The Petrogas Corp
lot
34H Stlllwell Building, Inc..lot
12,500 Rexollne Petroleum
lot
2,500 Rainbow Oil & Gas
..lot
25 Price-Campbell Cotton Pick¬
er Corp., pref.; 50 PriceCampbell
C.
P.
$6
& Co., Inc., pref.;
Waldes & Co., Inc.,
$100
C. Dlsbrow Co., Inc.,
pref.; 150 D. C. Dlsbrow
Co., Inc., com
lot $100
50 Southern A Atlantic Teleg..$15
100 Sixth Avenue RR
._$10H
$50-$51
35 Federal Utilities, com_...$3-$3^
15 Broadway & 7th Av. RR..S20
1920.
1919.
Canada—
Montreal.
Dec.
1918.
1917.
136.972 ,026 167,028,108
108,930 ,543 110,131,036
Winnipeg
106,626 ,003
20,209 ,320
..
Vancouver
_
Ottawa
...
_
Quebec...
12,570 ,145
7.439 ,815
—18.0 139.320,268
—1.1
75,477,598
53,681,685
63,081,116
+ 69.0
76,186,826
61.825,124
15,598,088
12,454,386
+ 29.6
11.978,265
12.323,401
5,850,473
+ 0.9
—8.0
4,094.883
6.857,302
+ 6.4
4,965,870
9.550.301
+ 8.3
8,020,597
3,288 ,059
Calgary
+ 22.0
5.480.300
7,289 ,368
10,339 .849
...
6,099,587
5,044 ,717
Halifax
Hamilton
—9.7
2,393,637
5,646.541
76,727,405
9.685.169
3,955,929
1,985,000
4,808,166
London
3,745 ,759
3,642.214
4,347.859
—13.8
3,249,222
Victoria
8,466,209
1,958,513
2,222.243
3.046 .755
2 444.075
+ 24.6
2,801.797
2.169.225
6.463 ,420
4.600,000
+40.6
3,972,023
3',344 214
5,336 .541
4,500,000
+ 18.6
4 683.403
3.776.384
1 042 .958
John...]..
Edmonton
__
Regina
....
Brandon
+
1,058.664
—1.5
Letbbridge
1.047 ,457
749.185
+ 39.8
816,181
884,821
Saskatoon
2,656 ,470
2,497,027
+ 6.4
2.425,149
1,998,091
Jaw
..
906,802
764,750
2,601 ,395
2.028,068
+ 28.3
2,554.387
1.506.170
1,662 ,992
2,102,640
1,000.312
—20.9
1.117,928
929,601
690.443
1 244 ,664
New Westminster
935 ,239
529,508
+ 76.8
728 ,916
589,256
+ 23.6
502,205
529.132
399.441
Medicine Hat
Peterborough
1,052 ,771
+ 19.8
949,614
608,262
Sherbrooke
1,175 .954
878,6*7
1,018.442
+ 15.4
798.199
Kitchener
1,441 .651
+ 2.4
756,404
3.550 ,337
1,407,646
2,200,000
540,895
684,597
+ 65.9
1.155.865
613,,729
580,553
+ 4.7
366,594
Brantford
......
.
William..
.....
....
Windsor...
Albert
Moncton
Total
Canada
897,,017 Not fncl. in
457,056.853 432,454,320
+ 24.4
Ferry
120 United Nat. Utilities, pref.,
with 60 shares common
bonus
300 Smith
lot $60
Motor
&
Truck
Corp.,
temporary ctfs.lot $25
Huneke
Co.
1,028,158
of
America
lot $10
712-5 Industrial Technics Corp lot $5
400 Splcer Mfg., common
$1
125 Splcer Mfg., pref
....$40
6,000 Wawa Company...
%
Toronto
St.
Grand
.$15-120
40 Martini
Inc. or
lot $100
100 Rock Island Co., pref
300 BlographCompany
106 Villa Park
Assn.
of
lot $2
$4
...
Great
Neck
lot
34 Elmhurst South Realty
$26
lot $6
25 Bronx Exposition, Inc., pref lot $5
250 Bronx Exposition, Inc., com lot $6
75 Sound Heights Corp
.lot $10
25,262 Amer. Silver Corp
555 Nina Mines pf.,
Mines common
lot $100
1,118 Nina
lot $100
10 Theatre Parisien, Inc
lot $2
91 Wilhurst Oil, Inc., com....lot $1
50 Wilhurst Oil, Inc., 1st pf.-lot $3
13 Reorg. Finance Corp
lot $1
500 Atlan. Coast Fish., 1st pf_.$2.10
250 Gum Cove Oil & Ref__
$1
1,298 Aime Dupont Studios, Inc.lot $35
250 W. W. Boyer Co., com
.$50
400 Federal Bakery, com
$10
50 Gallaudet
Aircraft
Corp.,
com
..lot $14
.
691.149
total.
+ 5.7 368,922,392 250.141,516
cum.
40 Gallaudet
Aircraft
Corp.,
preferred
lot $10
300 U. S. Chicle Refg., com...lot $40
75 Sound Heights Corp
lot $10
100 Amer. Auto Accessories...lot $13
20,000 Crews McFarlan Mg., Ltd.lot $10
592 R. L. Rose Co., pref
$1
500 Building Oper. Co., com..lot $15
80 Houser Royalty Synd
$5
pref
50 Savold Tire Corp...
lot $6
200 Caloris Mfg
.lot $6
lot $7
154 Renova Fire Brick
15 Cohansey Glass Mfg
lot $14
48 % Alaska Securities Corp
lot $4
900 Smith Motor Truck, com..lot $8
50 Anglo-Amer. Comm'l Corp.,
preferred.
v
lot $12
25 Trac. Service Corp., pref..-lot $1
25 Tractor Service Corp., com.lot $1
150 H. B. Claflin & Co., com...lot $5
900 Realty Trust Co., pref
210 Wasson Piston Ring
$10
lot $10
10 Nat'l Thrift Bond Corp. 4%
$10
preferred..
546 N. Y. A Nor. Shore Trac..lot $50
25 Coast & Lakes Contracting
$105
lot
Oil
...lot $25
1,000 Simpson,
lot $100
Crawford
1st pref., 59%
ation
.
1,000 Simpson,
2d pref
500 Simpson,
Corp.,
>
paid in liquid-
,
-lot $23
Crawford
Corp.,
Crawford
Corp.,
..lot $23
...lot $23
common.
preferred assented
A
Bowie
1,000 Snows Fountain Holding Corp. $1
100 Montana Farming Corp.,pf.$20
584 Nat. Tire & Rubber, com.. $1
St.
2,000
pref.;
$10
171,000 Crews McFarlan Mining-lot $65
80 Le Zacualpar-Htdalgo Rubb.lot $1
276 New England Fuel Oil, com.$13
1,625 Chalmers Motor Corp. ass'd $1
166 2-3 Chalmers Motor Corp.,
common
Week ending December 9,
Oil.
common
50 West Va. Trac. A Eleo. 7%
common
lot
RR
20
50 Mitchell Motor Car of N. Y.,
Inc
....lot $41
....lot $6
lot $17
50 Federal Utilities, pref
pref.;
InterOcean Submarine com....lot $50
600 Mays Oil; 100 Bowie Co.
$31
8 Units Producers Develop..lot $17
2,000 Amer. Record. Laborator's lot $ 19
21 42d
Clearings at—
glneerlng,
1,000 Dayton Coal, Iron & Ry.,
common
.lot $10
10 Inter-Ocean Submarine En-
$50
20 Christopher & 10th St. RR.$10
Canadian Bank Clearings.—The clearings for the week
ending Dec. 9 at Canadian cities, in comparison with the
same week in 1918,showan increase intbe
aggregate of 5.7%.
Securities
Corp. com.;
$1,120 90 Continuous Tran¬
$25
common, V. T. C____._lot $50
100 Acme Harvesting M., com.lot $3
975 Hughes Petroleum
...lot $50
100 Internat. Fur Exchange, pf. $5
50
...
sit Secur. Corp. note
Corp.,
120 Green Motors, Inc
200 Cornella-AJo Copper
lot $10
Speed A Traction
Continuous Tran¬
sit
$20
50 D.
Ami. of
Cap.when
JtictcdSBo: Increased
*
The Waltham National Bank,
Waltham, Mass..
75 Security Bank of N. Y., $10
50 Waldes
Total.......
'•
lot $45
pref., and
scrip
com.; 134
lot $100
5,864 Granville Mining, Ltd
pref
Original organizations:
Prince
$47 87
61 Multiple
$100
5 Ptolemy Corporation
lot $100
30,000 Triumph Gold Mining...lot $100
480 Tiffin Products, Inc
lot $150
+
25,000
*
Fort
4 San Luis Ry.,
$83 34 scrip; 14 San Luis
Southern
Ry.
com.,
and
3,000 Burknett Van Cleave Oil...50c.
1,000 Northern Texas Oil..
20c.
1,000 Mayfair Oil
10c.
150 New Haven Hotel.
National
CHARTERS ISSUED.
Conversions of State Banks and Trust
Companies:
The First National Bank of
Maroa, 111
(Succeeds The Citizens Bank If Maroa, 111.)
$3
r
common
250
com.;
Estates
6% s. f.
bonds, 1927; $390 Costilla
Estates
6% ser. B scrip;
$415 45 Costilla Estates 7%
ser. A scrip.
$100 lot
12 San Luis Construe., com.;
10 Theatre Parisien, Inc.,N.Y.Iot $5
53 Black Hawk Petrol., pref..
lot $85
Costilla Estates, pref.; $1,500
Costilla
Corp
$1
Co., Inc., pref.lot $5
Co., Inc., com.lot $5
12 SIbici
Corporation
lot $5
2,000 Wlnnemucca Mtn. Mining.lot $5
10,500 Cerro Gordo Mines
lot $110
Clarborne-Annapolis Ferry.25c.
lot $5
239 Costilla Estates,
llo.
267Black Hawk Petrol.,
1920 Federal Reserve banks and Federal Reserve agents held
Reserve
against $1,235,493,365
Moose
Co. pref
75 General Bond & Share
100 Protection
300
lot $210
1,000 Eastland Co. Royalty Synd.lot $7
3,500 Florida Plantations, pref.,
with 2,190 shs. com
$40
100 Connecticut Silica
:
Devel.;
Creek
ber Corp., com
common
lot $250
50 Denny-Renton Clay&Coal lot$100
2,000 Candelaria
Exten.
20 The Esta Co., pref.; 16 The
Esta Co., com
lot $5
10 Bestol Co. com.; 73 Bestol
405 Potts-Meeker Realty..
$25
50 The British-Am Oil, com..lot $50
$403,542,320 39 Federal Reserve Gold Settlement Fund deposited with
Treasurer of United States.
;+: ;
c Includes own Federal
Reserve notes held by Federal Reserve banks,
d Revised figures.
St.
•
100 Protection
Total
against
$1
1,000 Knick.-Wyoming Oil, pref.;
1,000 Knick-Wyoming Oil
1,702.266
Per share.
Butte
Chatham
Mines,
Inc., com.; 2 Chatham Creek
Mines, Inc., pref.; 1,500 Co¬
manche Co. Oil; 5 Tex-LaHoma Oil Corp., pref.; 10
Tex-LarHoma
Oil
Corp.,
com.; 4,000 Louisiana Cal.
Mg.; 100 The Republic Rub¬
$1
1,000 West Va. Consol. Oil
lot $30
50 Am.Forelgn Trade Corp.,pf.$15
250 Am .For. Trade Corp., com. $1
500 Welte Mlgnon Corp.
7%,pf.$46
119 Interboro Rapid
Transit...$43
241.951,420
Silver certificates..
3
$1
juato
lot $100
110 Ranger Royalties,
Ino., pf. $1
500 Magdalena Oil Corp.......25c.
Slocks.
2,000 No.
1 Automobile Co-op. Assoc.lot
$1 +
1,400 King Edw. Sliver Mines..lot $40 '
21 Waxement Co., Inc
lot
$5
1 Valsement
Co., Inc
lot
$1
50 Deep Well Water Co
lot $10
7,400 Quebec Devel., Ltd., of Can.$40
2,000 The United Mines of Guana¬
the dates
on
Shares.
$5
lot
*
"
.
on
lot
10 Water Wks. Construction .lot
10 Mehler Restaurant
lot
.
Amount
Per share.
Clay Mfg., pref .$57.50
400 Shawmut Clay
Mfg., com. $2.50
31 Oriental Bank..
lot $10
..$734,010,797
..
Stocks.
683 Shawmut
on
deposit to redeem national bank notes Nov. 11920....
$27,817,444
Net amount of bank notes retired
in November......................
'
407,127
3397
lot $5
One-tenth Interest In Cayuna Ex¬
ploration Co. Synd.,
par value
$7,500
Bonds.
M.
lot $500
Per cent.
-
$10,000
Carmen-Guanajuato
1st Is, coupons from
Gold
1911.$100 lot
$15,000 Guanajuato Consol. Mg. A
Mill.
7% deben. for their
conver¬
sion into stock; deposit receipt_$150 lot
$17,500 Bering River Coal 1st 10year
6s
$1,000 lot
$50,000 Cent. N. Y. Southern RR.
Corp. 1st A coll. trust bonds and
stock accompanying same deposit
receipt for subscrlp. receipt; 215
Cent. N. Y. Southern RR.
Corp.
pref. v. t. c. deposit receipt..$3,000 lot
$15,000 Laurel Coal Mg. 1st 6e,1946$50
$1,000 Int. Garden Club 5s, 1945.$50 lot
$6,000 West Caddo Oil Synd. 6%
note, 1922; May 1920 coupon on
.
with 60 shs. stock as bonus...$200 lot
Chicago Utilities 1st 5s,
1942, Oct. 1915 Coupon on...$150 lot
$24,000
$10,000 Union Dye A Chem. Corp.
5s, adj. mtge. 1923, Dec. 1918
coupon on; 52 Union Dye & Chem
Corp., v. t. c. and $8 75 scrlp__$30 lot
$15,992 Sound Heights Corp. 6%
notes
_$15 lot
$5,200 Metropolitan By-Products
3d 6s, Series A to I....
$75 lot
$17,500 Mexican Govt. 3% internal
silver bonds
10 K
$18,618 Sound Heights Corp. notes$l 5 lot
$5,000 National Co. (N. J.) frist lien
7s, 1925
90
$9,000 Metropol. By-Products Co.
pref., note, 6%, ccrtif. of dep..$10 lot
$47,000 Repub. of Panama 5s, 1944.$77
$50,000 County of Hudson, N. J.,
4% park bonds, 1959
$81
$4,000 United Pub. Utll. 1st lien 6s,
1943....
J 50
$15,000 Savold N. E. participating
33% paid, leaving balance of 67%
amounting to $10,050
$50 lot
$32,000 Raritan Refining Corp. 7%
participating 10-yr. gold bonds..$20
$6,000 Allegheny Valley Water first
5s, 1936
$40 lot
$11,000 Virginia Southwest. Coal A
Tinber first 5s, 1945
$15 lot
$1,000
Sunnlngdale Country Club
1967...
$21 lot
income 5s,
$700 Orange Lawn Tennis Club of
N. J. 2d 6s
$17 lot
$2,000 Orange Lawn Tennis Club of
N. J.
10-year 6s deb. notes
$38 lot
$5,000 Savannah A Atlanta Ry. 1st
1935
*10
$23,800 N. Y. A North Shore Trac.
Co. 1st 5s, 1954
$550 lot
6s,
$25,000 Coast A Lakes Contracting
Corp. 2-year 6% notes
$100 lot
marks German Govt. 5s,
dated 1915; Jan. '21 coupon on.$600 lot
50,000
[Vol. 111.
CHRONICLE
THE
2398
Bonds.
Per cent'
Per cent. 112 shs. Mass. Elec. Cos. pref. ctf.
Mass. St. Ry. ref. 5s,
dep. representing com. stock only
1948
25% flat
of reorganization
3 shs. East. Maes. St. Ry. ref. 6s,%
$7% $3.55 East Mass. St. Ry. Co. adj.
adj. stock
stock scrip*
lot
$34 Eastern Mass. St. Ry. ref. 5s,
6 shs. East. Mase. St. Ry. adj. stock $510
adj. stock scrip...—.
—,
83 she.East.Mass.St.Ry.opt.warr't.
lot
$5,000 Nor. Mass. St. Ry. pf. 5s,'43
$180 $11.04 East. Maes. St. Ry. optional
150 shs. Texas Gas A Elec., com...
warrant scrip
lot
200 shs. Texas Gas A Elec., pref...
$33.50 East. Mass. St. Ry. ref. 5s,
100 shs. Mase. Cons. Ry., pref
.
1948, Series B
10,000 rubles Russian War Loan
$1.08 East Mass. St. Ry. ref. 5s,
5%s, 1916
—.—$5 per M
1948, Series B scrip
Bonds.
By Messrs. Barnes
% per sh.
Stocks.
Shares.
& Lofland, Philadelphia:
Bonds.
Trust ($90 paid). 150
Bank of Camden.240
10 Nat. State Bank of Camden.214
150 Tlndel-M orris Co
%
42 Empire Title A Trust, $50 ea. 24
1 Insur. Co. State of Penna— 80
17% United Firemen's Insur.,
25 Norristown
7 First Nat.
10
Cemetery, $50
4 Chelten Hills
$36
each..
Cemetery, $2
lot
Phlla. A East on Elec. By.,
common
lot
Phlla. A Easton Elec. Ry
61 Mount Vernon
each
192
108
$1
$4
lot $17
preferred
Per cent.
City Tramway 1st
28
fl.OOO United Iron Works, Inc.,
s. f. 7b. 1936
—
21
13.000 St. Louis A San Fran. RR.
5% notes
lot $5
$10,000 Alaska Cons. Copper of
Ariz, and the Alaska Corp. of
Dela. 1st A coil. tr. 6s, 1927, with
1,000 shares common stock
lot $60
$4,000 RiversideTrac. 1st 5s, 1960 - 43
$5,000 Am. Public Util. 6s, 1936— 42
$3,000 Qulncy Gas, Elec. A Heat.
1st cons. 5s, 1936
45
$5,000 Dallas Cons. Trac. Ry.
1st cons. 6s
lot $32
$4,000 The Country Club of Harrlsburg, second incomes
lot $200
$10,000 Georgia Light, Power A
17,000 Denver
ref. 5s, 1933
11
10
$10 each
102 Philadelphia Life, $10 each..
6 Scranton Life Ins., $10 each.
$1,550 Eastern
Series B,
190
150
9
6
20
2
10
12
4
37
27
100
2
120
200
Hardart Automat of
pref
Horn A Hardart Automat of
100 Horn A
4
Illinois,
50
1
5%
18 Philadelphia Bourse, pref— 20%
10 Phlla. A Gulf Steamship—.lot $1
20 Thatcher Spinning
—100 %
7 Buck Hill Falls Co
100
100 Geo. B. Newton Coal, 1st pref .31%
425 Geo. B. Newton Coal, com..
%
20 Pa. A West Virginia Coal..-lot $10
1 Unit. Picture Theatres of Am.
5
1,200 Petroleum Corp. of Amer..lot $83
4 1-16 Western Land Assoc'n— 96
200 Pa. Ky. Oil A Gas. Refining.
%
100 Tenn. Agrlcul. Chem., pref..
%
25 Tenn. Agrlcul. Chem., com..
A
6,667 Weldon Gold A Cop. Mining. 10c.
25 Bond Sandstone Briok
lot $10
200 Standard Gas A Electric—lot $145
170 Edward G. Budd Mfg., pf.80%-82
12 The Autocar Co
96
60 UnionTrao. of Ind., 1st pref.
1
Illinois, common
4 Philadelphia Bourse,
com...
20 Falls Motor,
70
A Power
common (tr. ctfs.)
1%
50 Becker Milling Mach., pref. 45
66 Becker Milling Mach., com.
7%
$6,250 Staked Plains Trust, Ltd
A
(Liquidation Certificate)
(15% paid In llquld'n).lot $500
300 National Tool A Machine._
1
3 Columbian Nat. Life Insur. 115
200
400
160
20
200
$2,000 Pitts. Term. Warehouse
Transfer 1st 5s, 1936
gen.
$4,000 Chic. 111. &
6s, 1947
$3,000 H ouston Belt A
6s, 1937.
1st 6s,
3%
%
80%
1%
Deposit of Md—105
420 Woodburn Oil
1 Fidelity &
6 Standard Gas A
3%
Elec., com..
$400
$500
26,000 Pacific Tungsten,
St.
Incline
46
Ry.
2
84
60
500
lot $310
Vienna 5* lot $475
Republic of France,
gium 5s
200 000 Kronen City of
-
Third War Loan, 4s
—$42 per M.
Telegraph.
1
New Hampshire Elec., pref—
2% 70,000 rubles Russian Government
Internal 5%8, 1926_.$9%-$10 per M.
Grlscom Hall Association..lot
$5
Vulcan Motor Device.
-lot $4 100,000 rubles Russian rentes 4
per cent (1894).
lot $50
West Texas Sulphur
..lot $10
Nat. Underground Elec
lot $2
By Messrs. R. L. Day
& Co., Boston:
$ per sh.
Steam Cotton
195
240 U. S. Worsted, com., $10 ea_134
50 Boston Revere Bch. A Lynn. 42
300 Worcester Cons. St. Ry., 1st
pref., $80 each
10
200 Mass. Elec. Cos., pref. ctf.
dep. representing all sec. in
I
Shares.
Stocks.
Shares.
6 Naumkeag
3%~3%
Mass. Elec. Cos., pref. ctf.
dep. representing com. stk.
only in reorganization
1.15
Boston Athenaeum, $300 par.561
Hood Rubber, pref
93%
reorganization
167
1
63
300 Doane Tow Boat Co., $10 ea.
50 Becker Milling Mach., com.13 Kapo Mfg.
4
7a
10
Co
each 26%
500 Amer. Invest. Sec., $10 each.
1.13
63 Mass. Real Estate
35
6 Boston Belting pref., $50
75
1,000 Blockhouse Mining, Ltd., $10
each
.$10 lot
36 General Gas <fc Elec., con v. pf.
10 Dallas Electric, com
50 Quincy Mkt. C.
44 Rights Fall
2%
1
S. & W.,pf.76&dlv
River E.Lt—50c.-51c.
10
50 Kapo Mfg., v. t. c
111
10
1
20
20
100
40
150
25
55
f
lot
Hopkins A Allen Arms, pref.. 1 $5
Hopkins & Allen Arms, com./
lot
Lincoln A Parker Film, pref. 1 $10
Lincoln A Parker Film, com. f
lot
Nat. Society of Music, pref.. 1$1
Nat. Society of Music, com../
lot
Penn. Gasoline, pref., $10 ea.
1%
Roslyn Holding Co
$10 lot
Springfield Silver Black Fox,
preferred
$10 lot
Co., pref
Mot.Truck,temp.ctf_$10 lot
50 Stanwood Rubber, com
2
1,800 Shamrock Mining, trust ctf.$10 lot
100 Smith
tr.ctf. Class 3l$10
tr.ctf. Class4/
lot
100 Nat'l Tool A Mach. Corp...
1
10 U.S.Mach.Gun
1 U.S.Mach.Gun
Equitable Insur .$1 % lot
Assn., $1000
each..
650 flat
55 Carbon Steel, common
35
25 Becker Milling Mach., pref.. 45
42 New Eng.
27 Boylston Mkt.
85 Merrimac Chemical, $50 each
(ex-div.)
% per sh.
Slocks.
8 Clawfoot Co., comm
8 Clawfoot
80
10
50 Gorton Pew Fisheries, pref.. 50
40 Electric Bond A Share, pref—
16 Kalbfleisch Corp., com
pref—1$16
German Pub. Society, com../
lot
Rights Fall River Elec. Light. 51c.
250 German Pub. Society,
100
12
Mill.
50 Becker
with
pref.,
Mach.,
^
50 Somerset Hotel Trust..
50 Bay State Fishing, com
3 Gillette Safety Razor
$40 lot
52 flat
7
130
P.
50 Haverhill Gas Light, ex-div.. 51%
50
Bonds.
Per cent.
each.
3
$6,000 State of Jalisco, Mex., 6s,
8,000 Combination Divide Mining,
1928, coup. July 1914 and subse¬
preferred
$50 lot
8 Sirell & Simpson Biscuit, pref. 20
quent on.
$190 per M
434 Plymouth Rubber, com
$250 lot $3,000 Russian 6%s, 1919, ctf. dep. 13
$7,000 Eastern Mass. St. Ry. Ref.
150 MollieGibson M.&M., pref. 1 $10
20 Montpelier & Barre Lt. &
Co.,
pref
100 The Royalty Synd., $10
5s, 1948, Ser. B, coupon July 1
Molliepibson M. A M., com.} lot
1920 on
25% flat
Mining Co..J
$5,000 Boston & Maine RR. 4%s,
Hotel Trust
10
1929
62
50 The Pope Mfg., com
$1 lot
100 Smith Motor Truck Corp
$10 lot 500 shs. Fla. Soft Phosphate A Lime'
trustees certif. for common
}$10
10 No. Boston Ltg. Prop., pref. 70%
$5,000 Fla. Soft Phosphate A Lime
lot
100 American Motor Corp., com.
150
600 Carpenter-Cole
51 Oglethorpe
100 American Motor Corp.,
pref.}$10
lot
—J
A Dev..$5 lot
300 Big Drum Mining...
$5 lot
100 Bingham Copper Boy Min__$1 lot
10 Berkshire Magneto
$5 lot
2,000 Bingham Coalition Mines..$10 lot
25 Bay State Film, pref
$25 lot
5 Units Cushing Devel
$5 lot
5 Contin'l Mines,Corp.,Ser .A—$1 lot
100 Conn. Brass A Mfg. Corp..$25 lot
100 Chemical Copper, pref
1$15
200 Chemical Copper, com
/ lot
25 Amer. Motor Corp., pref.
ctf. full paid stock
300 Bisbee Copper Min.
int.
$5,200
1st 6s, 1929
75
$6,000 Cons. G., E. L A P. 4%s, '35 70
$5,000 Canon Reliance Coal 1st 7s,
Mar; 1 1929
...30 flat
$5,000 Nor. Ohio Trac. A Light 1st
cons. 4s, 1933
50%
$2,000 United Fuel A Gas 1st 6s, '36 82
$3,000 Utah Pow. A Lt. 1st 5s, 1944 75%
$10,000 Detroit Edison conv. 7s, '30 92%
$2,000 Worcester Gas Lt. 5%s,1939 83%
$2,000 Joplin & Pitts. Ry. 5s, 1930. 55
$500 Continental Mines Corp. deb,
$15,000 Boston Wharf 4s, 1941
Neb.
5
Commonwealth Power of
1st 6e, 1944 (Sept. 1920
coupons
20
on)
$4,000 Bay State St. Ry.
6% notes
(cert, of deposit)
$10,000 East. Mass. St. Ry. 5s,
7%-9%
'48. 25
Imperial Russian Govt. 36%s, 1919
1,170,000 franca N. Y. N. H. A H.
RR. 15-yr. 4% European loan,
$3,000
year
13
lot $51,000
5-year
lot $20,000
Deposit of
Bay State St. Ry. notes.-.lot $25,000
$10,000 Cucharas Land A Water
Corp. 20-yr. 1st 6s, 1935
50%
1922
$200,000 Rhode Island Co.
5% notes, 1921—
$240,090 40 Cert, of
been paid.
The dividends
announced this week are:
Per
Cent.
Name of Company.
Albany A Susquehanna
Books Closed.
When
Days Inclusive.
Payable
Canada
Southern——————
$10 lot
*1%
Jan.
♦Holders of rec. Jan.
Feb.
Holders of rec. Jan.
Dec.
Holders of rec. Dec.
23
Jan.
Feb.
Jan.
Dec. 18
to
♦Holders of rec. Jan.
16
*3%
Feb.
Holders of rec. Jan.
15
$5 '
$1 .25 Jan.
1%
18
Jan.
Feb.
Jan.
to
4
26
*$2
Jan.
♦Holders of rec. Dec. 31
*1%
Feb.
♦Holders of rec. Jan.
3
♦$2 .50 Feb.
Central
♦Holders of rec. Jan.
21
—
4
Jan.
1
Jan.
1%
Holders of rec. Dec. 15a
Jan.
*6
Rensselaer A Saratoga
Troy Union RR
Jan.
♦Holders of rec. Dec.
Francisco—
ctfs.(qu.)
Corp., pref. (qu.) —
K. C. Ft. S. A Mem., pf. tr.
Western Pacific RR.
Street and Electric
Railways.
pref. (quar.)'.
Dec. 25
3
Jan.
Jan.
1 ♦Holders of
1%
Jan.
3
(quar.)
Cleveland Ry., pref. (quar.)
♦1%
Eastern Texas Elec.
rec.
Dec. 20
Holders of rec. Dec.
16
Dec.
29
Dec. 30 ♦Dec.
23
to
1%
Jan.
1
Holders of rec. Dec.
15a
2
Jan.
3
Holders of rec. Dec.
20a
3
Jan.
3
Holders of rec. Dec. 20a
1%
—_
Co., com. (quar.)
Preferred
16
Holders of rec. Dec.
1%
—
2
22
Holders of rec. Dec.
*1%
Chicago City Ry.
31
Jan.
to
Bangor Ry. A Elec., pref. (quar.)
Carolina Power A Light, pref. (quar.)
Asheville Power A Light,
Jan.
1
Holders of rec. Dec.
—
;
pref. (quar.)
15
Ridge Ave. Pass. Ry., Phila. (quar.)
pref. (quar.)
Wash. Bait A Annap. El. RR., com.(qu.)
Pcwer A Light,
Holders of rec. Dec. 31a
2
Holders of rec. Dec.
10a
Jan.
1
Holders of rec. Dec.
15
Jan.
Holders of rec. Dec.
15
*$3
Bonus
8
Jan.
1
(quar.)
Ottawa Traction
Jan.
1%
1
Monongahela Val. Tr., pref. (quar.)
Northern Ohio Trac. A Lt., pref. (quar.)
Jan.
1 ♦Holders of
1%
Jan.
1
Jen.
37%c
•1%
(quarJ)
West Penn Tr. & W. P., prff. (quar.)
Yadkin River Power, pref. (quar.)
York Railways, preferred
1%
15
Holders of rec. Dec.
16
I
1
Ho Id err of rec. Dec.
18a
Feb.
1%
62 %c
rec.
15
Jan.
3
Jan.
31
Banks.
Holders of rec. Dec.
18«
Holders of rec. Jan.
Feb.
1%
Dec.
3
Jan.?
(quar.).--
Preferred
21
17
Holders of rec. Jan.
16
Holders of rec. Dec.
Hold
rs
of
rec.
2la
Jan.
16
3
Chase National
Holders of rec. Dec.
16
Jan.
Holders of rec. Dec.
27a
$2
(quar.)
Chase Securities Corp
Holders of rec. Dec.
Jan.
4
Extra
Jan.
3
Battery Park National
Jan.
Holders of rec. Dec. 27a
Colonial
♦Holders of rec. Dec.
8
Jan.
♦Holders of rec. Dec.
20
*3
Jan.
♦Holders of rec. Dec. 20
4
Dec.
*3
Coal & Ircn National (quar.).
*3
(quar.)
Extra
Columbia
2
Extra
Fifth Avenue
(quar.)
First Securities Co.
Drc.
Jan.
5
Jan.
10
(quar.)
Jan.
5
Extra
Greenwich
Jan.
*6
First National (quar.)
Jan.
3
T
Hanover National (quar.)
Jan.
1
(quar.)
Extra
Jan.
*8
Jan.
Holders of rec. Dec. 21a
Holders of rec. Dec. 21a
♦Holders of rec. Dec.
Holders of rec. Dec.
Mechanics' <!fc Metals Nat.
18
31a
3 Holders of rec. Dec. 31a
Holders of rec. Dec.
31a
Holders of rec. Dec.
20a
Holders of rec. Dec. 20a
♦Holders of rec. Dec.
18
Holders of rec. Dec. 23a
6
Jan.
*5
Jan.
♦Holders of r
*2%
(quar.)
(quar.)
Manhattan Co.. Bank of the
c.
Dec.
15
12
Mutual
National City
New Netherland
National
(quar.)
(quar.)
Jan.
to
Jan.
12
Jan.
Holders of rec. Dec.
24
Jan.
Holders of rec. Dec. 24
Jan.
Holders of rec. Dec. 24
Holders of rec. Dec. 24
1
Extra
National City Company
to
4
(quar.)
25
'Dec. 25
5
(quar.)
Extra
♦Dec.
Jan.
10
Extra
Jan.
*10
Metropolitan (quar.)
Public
3a
Holders of rec. Dec. 24
3
♦Holders of rec. Jan.
Jan.
*2
(quar.)..,
(quar.)
Pittsburgh A Lake Erie.
Utal
8
Jan.
$1.25
Northern Pacific
Illinois Traction,
3
reo. Jan.
♦Holders of
*1%
Mahoning Coal RR., common
Preferred
Louis-San
20
to
1%
Louisville & Nashville
St.
3
Jan.
Dec. 21
-
(quar.)——.
Kanawha & Michigan (quar.)
Little Schuylkill Nav„ RR. A Coal
Northern
♦Holders of rec. Jen.
Feb.
Dec.
2
15a
Holders of rec. Jan.
Mar.
*1%
25a
Dec.
"Holders of rec. Dec. 27
Jan.
*3
River Tunnel
Great Northern
Michigan Central
New York Central RR.
Dec. 20a
rec.
Holders of rec
2
preferred
Chicago Burlington A Quincy (quar.).—
Clev. Cin. Chic. A St. L., pref. (quar.)„
Detroit
Holders of
8
1
*3%
Atlantic Coast Line RR., common
Baltimore A Ohio,
Jan.
2
•-
(quar.)
Ashland Coal <fc Iron Ry.
—
7b, 1923
$4,000
St.
changed the method of
We have
West Penn Power, pref.
12 shs. com. stock as
bonus
lot
Per cent.
Bonds.
$33,000 Ports. Klttery A York
Ry. 1st 6s, ctf. of deposit
Railroads (Steam).
$13 perM.
of Berlin 4s. $ 13 per M.
50,000 marks City of Cologne 4s $12 per M
5,000 marks Kingdom of Bel¬
1 Pacific A Atlantic
80
$1 each,
lot $7,500
old stk.75c,
1%
DIVIDENDS—Change in Method of
City of Hamburg
60,000 marks City
10,000 francs
preferred...2 Boston Arena, com.,
6 Walker Potash
have not yet
85
marks
25
36
Power
1
100
No. Sprlngf. Water 1st 5s, '28 5
1
Springfield Water cons. 5s, '26 56
Sprlngf. Cons. Wat. 1st 5s, '58 36
85,000
4Mb
30
784
60
72%
A
$10,000 Colo. Wyo. A Eastern
gen. inc. 6s, 1944
$500 Buck Hill Falls Co. 1st 6s
$900
30
Reporting Same.
presenting our dividend
record.
We now group the dividends in two separate tables.
First we bring'together all the dividends announced the
current week.
Then we follow with a second table, in which
we
show the diviends previously announced, but which
of Venan¬
$1,000 Wilkinsburg A East Pittab.
St. Ry. 1st 5s, 1929
$19,389 Commonwealth Power Ry.
& Light 6% div. scrip
A
6,000 So. Am. Gold A Platinum.—
45 Congoleum Co., pref
80
-
1935
Plane 1st 5s,
Heat
1
1934
Seventeenth
$1,000
65
Terminal 1st
$6,000 Citizens' Traction
go 1st 5s, 1942
$5,000Logan
Co. Lt.
5
pref
West. RR. gen.
200
20 Gorton-Pew
76
75
5s, 1943
500
43 Rights
585 Petroleum
S3
34%-35%
All Sugar Products, $10 each
2
Logan Johnson, Ltd., com.,
$50 each
10
Carbon Steel, common
35
Exceptional Pictures, pref.l lot
Exceptional Pictures, com./$300
American Felt, pref
70
Saxon Motor Car Corp.,
Hawaiian
183 Am.
2,500 The
Gas
Allentown Bethlehem
$5,000
-
100 Wash. A Va. Ry.,
1940
$ per sh.
145 N. Bedf. Gas A Ed. Lt. Co. 144
3%
of deposit
55
76
$25,000 Hotel Adelphla 1st 5s, 1922 96
$5,000 Nat. Conduit A Cable 1st
6s, 1927
51
Line RR. 1st 5s,
41
Tenn. Ry.. Lt. A Pow., pref.
2%
Tenn. Ry., Lt. A Pow., com.
%
Standard Fuel., dom
lot $8
Frankf. A Southw. Pass. Ry.200%
Wash. A Va. Ry., com.(ctf.)_
2%
Wis., pref
cert,
$3,000 Amer. Gas deben. 6s, ser. A
$2,000 Macon Terminal 1st 5s, 1956
Pipe A Construction
Securities, pref
——
65%
pref
Mach'y..
Sheboygan Falls,
30
Brazil Companies
lot $60
Fall River El. Lt—.40c.
Fisheries, pref. 45
10 Commonw. Gas A Elec., pf. 62%
2,187 Aeolian Weber Piano A
Pianola, com. vot. ctfs.. 12%
1,558 Aeolian Weber Piano A
Pianola, pref
65
60 North. Conn. Securities
30
20 Ilium. A Pow. Securities, pf. 65
4 Ilium.&Pow.Securities, com. 10
30 Petroleum Heat A Power,
pref. (tr. ctfs.)..
lot $500
60 Amer.
310% The Laguna Co.,
600 Standard Concrete
20
Ry.
lot $25
RR.
10
$3,500 Delmar Water 1st 6s, 1933— 51
$300 Wildwood-Dela. Bay Shore
310
100 John B. Stetson, com
200
$2,000 Blanchard Ave. St.
(Flndlay, O.) 1st 6s
$10,000 Atlantic City A Shore
1st coll. tr. 5s, 1945
Trust
355
Stetson, pref.......125
5 Northwestern
35 John B.
$ per sh.
Worsted, com., $10 ea.1%-2
U. S. Worsted, 1st pref
54
Nyanza Mills
..104
East. Mass. St. Ry, 1st pf. 1
lot
East. Mass. St. Ry., com.)$l,180
E. M. St. Ry., opt. war't.J
Hudson A Manhattan RR.
common (V. T. C.)
lot 50c.
Mass.
Elec.
Co's., pref.
Stocks.
605 U. S.
National Bank...240
Ry. 1st 5s, 1941
56
Lincoln Furniture, pref
150
$1,000 West Phlla. Pass. Ry. 2d
Hallahan A Sons, Inc
65
5s, 1926
82
Girard Na tonal Bank
390
$29,000 Jamaica Estates 6s, 1920,
Philadelphia Na lonal Bank.316
and 60 shares stock
lot $100
Corn Exch. National Bank..380
Land Ti le A Trust
486% $2,000 Cin. Find. A Ft. Wayne
RR. 5% ctf. of deposit
lot $12
Pennsyl. Co. for Insur., &C.490
Real Estate Trust, pref
100% $3,000 Cleve. Elyria A Western
RR. 1st 5s, 1920
10
Fidelity Trust
.——413
$25,000 Ohio Syndicate
lot $22 %
West End Trust
j
150
Commercial Trust
275 % $1,000 Colorado Mid. Ry. 4s, 1947 lot $5
35 Sou bwark
Boston:
Wise, Hobbs & Arnold,Stocks.
Shares.
By Messrs.
Shares.
<quar.)_
Jan.
*2
•Tan.
*2
Jan.
Holders of rec. Dec. 24
Dec.
Holders of rec. Dec.
4
♦Pnldfr* of rec. Dec.
31
24
Dec.
181920.]
THE
CHRONICLE
Per
Name of
Banks
When
Boole Closed.
Cent.
Company.
Payable.
Dave Inclusive.
3399
Per
Name of
(Concluded)
When
Books Closed.
Cent.
Company.
Payable,
Days Inclusive.
Miscellaneous (Concluded)
Holt, Renfrew A Co., Ltd., prei. (quar.)
Home Bleach A Dye
Works, pref. (qu.).
1K
IK
Jan.
Holders of rec. Dec.
2 *
Howe Sound Co.
5c.
Jan.
Holders of
Jan.
2
$2
Jan.
Holders of rec. Dec. 23a
Jan.
2
Independent Pneumatic Tool (quar.)
Special
;
Holders of reo. Dec.
23a
Jan.
3
Indiana Pipe Line..
$2
Feb.
15
Holders of rec. Jan.
24
Internet. Agric.
Park, National (quar.)
IK
1K
/2
Jan.
15
Holders of rec. Dec. 31a
♦6
3
Jan.
♦3
Extra
3 ♦
Jan.
3
Seaboard National (quar.)
Standard
Tan.
♦6
Extra
♦1K
State...
6
Dec.
20
28
Dec.
16
to
Jan.
2
(quar.)
(quar.)
6
Extra
Jan.
3
Holders of rec. Dec.
20
4
Dec. 31
Holders of reo. Dec.
20
2
Dec. 31
Holders of
Dec.
20
4
Dec. 31
Hold<rs cf rec. Dec.
21
4
Jan.
Holders of rec. Dec.
21
Fidelity International (quar.)..
2K
Dec. 31
Dec. 23
Jan.
19
Fulton
5
Jan.
3
Holders of rec. Dec.
20
2
Jan.
3
Holders of rec. Dec. 20
4
Dec. 31
New York (quar.)
8
Jan.
Peoples, Brooklyn (quar.)
4
Dec. 31
Equitable (quar.)
...
Extra
Extra
Metropolitan (quar.)
10
rec.
to
Holders of rec. Dec.
Dec.
3
19
to
Holders of
rec.
17
Jan.
3
Dec.
30
Fire Insurance.
Continental Insurance
$2.50 Jan.
5
Holders of
Dec.
27
Fidelity-Phenix Fire Insuranoe.
15
Jan.
5
Holders of reo. Dec.
27
reo.
Miscellaneous.
Abltlbi Power A Paper, Ltd., pref. (qu.)_
Advance Candy Mfg., pref. (quar.)
Amer. Brake Shoe & Fdy., com. (qu.)._
Preferred (quar.)
Amer. Fruit Growers, Inc., pref. (quar.)
Amer. Gas A
Electric,
common
(quar.)..
Common (payable in oommon stock)
Preferred (quar.)
__
American-Hawaiian Steamship
American Lace Manufacturing (quar.)..
Am. La France Fire Eng. Inc., com. (qu.)
Preferred (quar.)
...
Amer. Power & Light, pref. (quar.)
Amor. Seeding Mach., com. A pf. (qu.)
American Type Founders, common (qu.)
Preferred (quar.)
....,
...
Anglo-American Oil
Jan.
3
Holders of
rec.
2
Jan.
rec.
2 K
f2.
IK
$2
2
Holders of
Holders of
rec.
Dec. 21a
Dec. 31
Holders of
rec.
Dec. 21a
Jan.
3
Holders of
rec.
Dec. 22a
Jan.
2
Holders of
rec.
Dec.
Jan.
2
Holders of
rec.
Dec. 17
Feb.
1
Holders of
rec.
Jan.
Jan.
IK
IK
1
Dec. 31
$1
3
Holders of rec. Dec.
Dec.
Dec. 31
16
to
Dec.
Jan.
15
17
15a
1
2K
Feb.
15
Holders of
reo.
Feb.
1
IK
Jan.
3
Holders of
rec.
Deo.
20
IK
Jan.
3
Holders of rec. Deo.
IK
18
Holders of reo. Dec. 31a
Jan.
15
♦1
Jan.
15
Jan.
10
*1K
(t»
Jan.
15
Jan.
10
Austin, Nichols A Co., pref. (quar.)
Avery Company, preferred (quar.)
Babcock A Wilcox Co. (quar.)
15
Jan.
1
Holders of rec. Dec.
22a
IK
Jan.
1
Holders of rec. Dec.
Feb.
1
•Holders of rec. Jan.
Dec. 22
Jan.
to
15
1
Holders of
rec.
Dec. 20a
Jan.
3
Holders of
rec.
Dec.
IK
Barnhart Bros. A Spindler—
First and second preferred (quar.)—
1
Jan.
2K
Baltimore Electric, preferred
Baltimore Tube, preferred (quar.)
Jan.
2
Jan.
1
Holders of
rec.
Dec. 20a
•IK
1
15a
(quar.)...
(quar.)
Feb.
1
20c. Jan.
1
Holders of rec. Dec. 20
20c. Jan.
Beacon Chocolate, first pref.
1
Holders of rec. Dec. 20
Jan.
26
Beatrice Creamery, common (quar.)
Preferred (quar.)
Billings A Spencer Co. (quar.)..
4
Jan.
3
Dec.
21
to
Jan.
2
IK
Jan.
3
Dec.
21
to
Jan.
2
5
Jan.
1
Holders, of
Boston
2K
Dec. 31
Holders of rec. Dec. 13a
IK
Jan.
3
Holders of
"Wharf
Brandram-Henderson, Ltd., pref. (qu.).
Brier Hill Steel, common
Preferred (quar.)
rec.
rec.
Dec. 18a
Dec.
la
60c. Jan.
(quar.)
Brunswick-Ba'ke-Collender, pref. (qu.)
Burt (F. N.) Co., Ltd., common (quar.).
Preferred (quar.)
California Electric Generating, pref.(qu.)
Canada Bread Ltd., pref. (quar.)
Canadian Car A Foundry, preferred
Canadian-Conn. Co.'s Mills, pref. (qu.)
1
Dec. 21
to
Jan.
2
IK
IK
Jan.
1
Deo.
to
Jan.
2
Jan.
1
Holders of
rec.
Dec. 20
w2K
Jan.
3
Holders of
rec.
Dec.
15a
Holders of
rec.
Dec.
15a
21
K
IK
Jan.
3
Jan.
3
Holders of rec. Dec.
IK
Jan.
2
Dec.
tol
x22K
18
to
18a
Jan.
1
Dec. 31
Holders of rec. Dec.
24
23a
Massachusetts Gas Cos., pref. (quar.)..
Mathieson Alkali Works, pref.
(quar.)..
Maverick Mills, pref. (quar.)
;
Mays Food Products, Inc., pref. (quar.)
McCrory Stores, pref. (ouar.)
Merchants Dispatch Transporta. (qu.).
Merck A Co., pref.(quar.)
...
Preferred
*1
Jan.
15 ♦Holders of rec. Dec.
31
♦75c. Jan.
15 ♦Holders of rec. Dec. 31
City Investing, pref. (quar.)
Cleveland Worsted Mills (quar.)...
Coca-Cola Co., preferred.
Holders of
rec.
Dec.
15a
Jan.
1
20c. Jan.
Columbia Sugar (quar.)
Extra
1
Dec.
21
to
Dec. 31
10c. Jan.
1
Dec. 21
to
Deo.
31
Dec.
30
Hclders of
rec.
Dec.
15a
Jan.
1
Holders of
rec.
Dec.
15a
*3K
....
.50c
Consumers' Gas, Toronto (quar.)
2K
Preferred
Shipbuilding,
(quar.)
Nov. 16
15a
15
Dec.
24
Dec.
26
Jan.
15 ♦Holders of rec. Dec. 31
Holders of rec. Dec. 18a
3
Detroit Edison (quar.)
Etd.. nref.
30c.
♦2
IK
Tan.
*IK
3K
Feb.
1
Jan.
15
Dominion Steel Corp., Ltd., pref. (qu.).
IK
Feb.
1
Donner
4
Dec. 31
Dominion Owners,
(quar.)..
Dominion Coal. pref. (quar.)
Dominion Linens, preferred
Steel, Inc., 1st pref
Douglas (W. L.) Shoe
Duluth Edison Eleo. Co., pref. (quar.)..
Duquesne Light, pref. (quar.)
Eagle A Blue Bell Mining
Extra (from reserve for depletion)
Emery A Beers Co., Inc., preferred
.....
...
Dec.
24
♦Holders of
to
rec.
Jan..12
Holders of rec. Dec. 31
Jan.
16
to
Feb.
1
Holders of rec. Dec. 20
3 K
Jan.
1
IK
Jan.
3
Holders of rec. Dec. 15
Holders of rec. Dec. 22
IK
Feb.
1
Holders of
10c
Dec. 23
15c. Dec. 23
rec.
Jan.
Holders of rec. Dec.
17a
Holders of
Dec.
17a
Jan.
1
15a
Dec.
Empire Steel A Iron, pref
Fairbanks, Mcrse A Co., com. (quar.).
Famous Plavers-Lasky Corp., pf. (qu.).
3
Jan.
5
Dec.
15
Holders of
rec.
Dec.
3
Jan.
1
Holder* of
rec.
Dec. 20
$1.25
2
Jan.
3
Feb.
1
16
rec.
2
Second preferred (quar.)
to
Holders of
rec. Dec.
Holders of rec. Jan.
10c.
*IK
Flint Mills
Feb.-
♦Holders of
rec.
Jan.
•IK
FiPk Rubber,
Dec. 31 ♦Holders of rec. Dec.
Deo. 25
Jan.
1
to
Jan.
Dec. 15 ♦Holders of
rec.
Dec.
*S2
Alpaca (quar.)..
Federal Motor Truck
1
(monthly)
1st pref. (quar.)
♦4
(quar.)
Jan.
1
3 ♦Holders of rec. Dec.
Dec. 25
to
Jan.
15a
14
20
1
21
la
15
♦Holders of rec. Dec.
15
♦Holders of rec. Dec.
Jan.
15
♦Holders of reo. Deo. 20
Jan.
Holders of reo. Deo. 22
Holders of reo. Deo. 23
Holders of rec. Dec. 24
Holders of rec. Dec.
2K
Jan.
Holders of rec. Dec.
Jan.
Holders of
rec.
♦Holders of
Jan.
♦Holders of rec. Dec.
31
Jan.
Holders of rec. Dec.
22
Jan.
Holders of rec. Deo. 27
♦Hrlders of rec. Dec.
15
Jan.
Holders of reo. Deo.
20
♦1K
*1K
Jan.
♦Holders of rec. Dec.
15
♦Holderp of rec. Dec
15
IK
Dec.
23
Jan.
10
$1.25
Jan.
Holders of reo. Deo. 18
Holders of
Dec.
17
2
Jan.
Holders of rec. Dec.
17
Holders of rec. Dec.
15a
Second preferred
(ouar.)
—
Screw,
27
27
Jan.
♦Holders of
rec. Deo.
18
Jan.
♦Holders of rec. Dec.
18
♦1
*$1
;.
Sullivan Machinery (quar.)
Symington (T. H.) Co., com.
♦$1
30 ♦Holders of
rec.
TToldurS Of
Tan.
Dec. 20
Jan.
♦Holders of rec. Dec. 20
Jan.
•Holders of
Jan.
♦Holders of rec. Jan.
rec.
15a
Jan.
Holders of rec. Dec.
15a
*3
(quar.)
Holders of rec. Dec.
Jan.
4
Tidewater Oil (quar.
TorHngton Co., common (quar.).
Preferred
$1.25
Dec.
Tan.
♦Holders of rec. Dec. 20
31
1
rec. Dec.
11a
Ho'ders of rec. Dec.
21a
Held
rt
of
Holders of rec. Dec.
10a
Holders of rec. Dec.
87 Kc Dec. 24
24
Trayior Engineering A Mfg.—
Common and
2
Trumbull Steel, com. (quar.).
Common
Preferred
(extra)
...
(quar.)
-
(quar.).....
Tuckett Tobacco, common
Preferred
(quar.)..
Underwood Computing Mach., pf.(qu.)_
United Cigar Stores, common
United Profit Sharing!
...
Extra
—
(qu.).
United Shoe Machinery, common
Preferred
U. S.
(quar:)
Jan.
♦50c.
preferred (quar.)
Jan.
♦Holders of rbc. Deo.
20
♦Holders of rec. Dec.
20
1
Tan.
Holders of rec. Dec.
31
IK
IK
IK
Jan.
Holders of rec. Dec.
31
Jan.
Holders of rec. Dec.
Jan.
Holders of rec. Dec. 31a
Holders of rec. Dec.
lKc. Tan.
lKc
♦Holders of rec. Dec. 20
♦Holders of rec. Dec.
Tan.
Holders of rec. Jan.
pref. (quar.)..
Universal Leaf Tobacco, pref. (quar.)...
Utilities Securities Corp., pref. (quar.)
Vanadium Corn, of Amer. (quar.)
Jan.
Holders of rec. Dec. 31a
2
Jan.
Holders of rec. Dec. 22a
IK
Holders of rec. Dec.
Dec.
TTo'df-n of
31
27
Holders of rec. Dec.
20
Holders of rec. Dec.
20
3
Dec.
Jan.
Jan.
2
Holders of
rec.
2
Dec. 20a
Jan.
2
Holders of rec.
Ward (Edgar T.) Sons Co., com.
Preferred (quar.)
Dec. 20a
Waring Hat Mfg., pref. (quar.)
*2
2
Jan.
1
Warren Bros., 1st
Dec. 31
♦1K
IK
Jan.
3
Deci. 16
pref. (quar.)
Second preferred (quar.)...
Welsbaeh Co., preferred
*1K
IK
Holders of rec. Dec.
Dec. 16
to
Jan.
Dec.
31
Jan.
1
Holders of
Western Union Telegraph
♦1K
Jan.
15 ♦Holders of
Jan.
1
IK
Tan.
Preferred
(quar.)
...
Preferred
(quar.)
Hall Lamp
Hanes (P. H.) Knitting Co.—
P* Preferred
(quar.)
Harris Bros. A
Co., cref. (quar.)
$2.50
IK
♦50c.
IK
•IK
3
17
Jan.
1
Feb.
1
Jan.
1
Holders of rec. Dec. 20
12
to
Jan. 30
Holders of rec. Dec. 22a
1
Dec. 28
2
Heath (D. C.) Co., pref. (quar.)...
IK
Jan.
1.5c
Jan.
Dec. 24 ♦Holders of rec. Dec.
Hartford Automobile Parts, pref. (qu.).
(quar.)
to
rec. Dec. 24a
Holders of rec. Dec. 24a
Dec. 28
♦Jan.
Hendee Mfg.. pref. (quar.)
to
Dec. 31
Holders of
Hillcrest Collieries, com. (quar.)...
Preferred
(one'*.)
Jan.
3
Jan.
15
rec. Dec.
la
Holders of rec. Dec. 20
Holders of rec. Dec. 30a
1
Hecla Mining
Jan.
15
Holders of
rec.
Dec.
30a
IK
Jan.
15
Holders of
rec.
Dec.
30a
IK
IK
(qu.)..
(quar.)
Kootenay Power A T,t., pref. (qu.)
Tan.
Jan.
Jan.
Jan.
DeC.
15
Jan.
♦Holders of reo. Dec.
24
Jan.
•Holders of rec. Dec.
*Holdnr<| of TOO.
Tan.
♦$1.75 Jan.
Westinghouse Air Brake (quar.)
Wheeling Steel A Iron, pref. B
Will A Baumer Candle
IK
IK
3K
....
West
$1
♦3
Virginia Tron Coal A Coke
9
(quar.)
28
1
2
Jan.
3
Jan.
IK
Jan.
2K
(quar.)
(quar.)..
Jan.
Dec.
22
to
Dec. 30
Dec.
23
to
Jan.
1
1
Dec.
22
to
Jan.
1
/50
IK
...
Youngstown Sheet A Tube, com. (quar.)
(ouar.)
Dec. 20
2
Co., pref.
(quar.)
Wilson A Co., Inc., pref.
Preferred
rec.
Holders of rec. Dec.
♦$2.50 Jan.
Young (J. S.) Co., common (quar.)
Common (payable in com. stock)
Preferred
Holders of rec.
24
Dec. 20
31 ♦Holders of reo. Dec. 31
-
Jan.
♦$1.50 Jan.
*1K
Jan.
Holders of reo. Dec.
18a
Holders of reo.
Williams Tool Corp.—
Preferred
17a
Dec.
♦Holders of rec. Dec.
Jan.
Great Lakes Transit, com. (quar.)..
3
Tan.
IK
IK
2
20
$1
Distributing Corp
U. S. Industrial Alcohol,
IK
IK
14a
18a
23a
Holders of rec. Dec. 23a
Jan.
♦50c. Jan.
*37 K
...
♦Holders of rec. Dec. 20
*12Kc Jan.
Jan.
*1K
Holders of
Gray A Dudley Co. (quar.)
Great Lakes Towing, common (quar.)..
1
Jan.
1
to
Dec. 20
50c.
2
(quar.)—
(quar.)
Tecumseh Mills
Dec.
Dec. 30 ♦Brifiors of rec. Dec.
IK
(quar.)
(quar.)
Extra-
Dec.
♦5
com.(quar.)
Jan.
Goodyear TireARub. of Can, pf.
Goodwins, Ltd., pref. (quar.)
Goulds Mfg., common (quar.)
Prfferred
(quar.)
21
2
IK
Jan.
2
31
*2 K
—
Preferred
Preferred
Jan.
♦3
......
Standard
rec.
*2K
pref.(qu.)
Standard Safe Deposit (quar.)..
Extra
to
Dec. 31
17a
Dec. 21
2
IK
Dec.
18
Jan.
3K
rec.
18
21
♦Holders of rec. Dec.
rec.
24
Dec.
Jan.
Garvin Machine, preferred
(qu.)
Dec. 22
Holders of rec. Dec.
•IK
Dec.
rec.
Dec. 21
Crow's Nest. Pass Coal (quar.)
Jan.
15
62
♦Holders of
Jan.
Jan.
Stover Mfg. A Engine
rec.
Dec, 15
Jan.
19
rec.
rec.
Holders of rec. Dec.
Jan.
Jan.
rec.
Holders of
♦Holders of rec. Dec.
IK
IK
to
Holders of
Holders of rec. Dec. 31a
2 K
2
Holders of
Jan.
Securities Company
10 ♦Jan.
♦Holders of
17
♦Holders of reo. Deo. 24
Jan.
Simpson Creek Coal, pref. (quar.)
Soden (G. A.) A Co., let pref. (quar.)..
Jan.
1
17
Dec.
IK
...
Safety Car Heat. A Ltg. (quar.)
Sheridan-Wyoming Coal
*1K
1
Dec.
to
♦25c. Jan.
S'eel A Tube Co., pref.
Farr
(qu.)__
(quar.)
19
31
to
1
2
Jan.
Dec.
1
Jan.
♦3
Prairie Pipe Line (quar.)
to
Jan.
31
Jan.
Jan.
♦3
Price Bros, (quar.)
2
Jan.
♦Holders of rec. Dec.
Jan.
25c. Jan.
(quar,).
Extra
10 ♦Jan.
IK
Jan.
15a
Holders of reo. Deo. 31a
IK
com.
(quar.)
Jan.
2
Deo. 31
♦3
Prairie Oil A Gas
*2
Dayton Rubber Mfg., pref. (quar.)
Detroit Creamery (quar.)
to
Jan.
2K
25c. Jan.
.......
Port Arthur
Southwestern Cities Elec. Co.,
Crucible 8teel, com. (quar.)
15
Tan.
Creamery Package Mfg., com. (quar.).
Preferred (quar.).
.
31 ♦Holders of rec. Dec. 23
Jan.
3
Dec. 31
Dec.
Jan.
*1K
Jan.
IK
Holders of rec. Deo.
Deo. 25
31
♦Holders of rec. Dec. 21
Jan.
Panhandle Prod. A Ref., pref. (quar.).. »$2
Penn Central Light A Power, pref. (qu.)
800.
1
Dec. 20
Jan.
♦1
Pacific-Burt Co., Ltd., com
Preferred
(quar.)
1
rec.
Jan.
♦1K
Feb.
Holders of reo. Dec. 27
Holders of rec. Dec. 20a
IK
♦1K
$T
♦75c. Jan,
Owens Bottle Co., com. (quar.)
Preferred
(quar.)
Feb.
3 ♦Holders of
15 ♦Holders of rec. Dec. 31
Dec.
31
Republic Motor Truck, pref. (quar.)
Rogers (Wm. A.), Ltd., pref. (quar.)
Dec. 31
17a
Jan.
rec.
25
21
Jan.
17
15 ♦Holders of
Dec, 31
Dec.
IK
Holders of rec. Dec.
Jan.
Dec.
Dec.
IK
Dec. 20a
Hclders of rec. Dec.
Jan.
Holders of rec. Dec." 20a
*2
Jan.
1
Extra
Cleveland-Akron Bag (quar.)—
Cleveland Automobile, pref. (quar.)
Dec. 31
rec.
2
(quar.)
3
15
rec.
♦Holders of rec. Dec. 23
2
Ottawa Car Mfg.
Bonus
3
15
27
20
Holders of
Jan.
Jan.
2
Dec.
Holders of
Jan.
IK
rec.
Holders of rec. Dec. 20a
12
Jan.
Jan.
Holders of
31
Holders of rec. Dec. 22
Jan.
Jan.
2
Dec.
Deo. 31
♦Holders of reo. Deo.
*$1.50 Jan.
Jan.
IK
Jan.
IK
*2 K
to
Jan.
Reo Motor Car
rec.
Dec. 21
3
IK
15a
rec.
Jan.
Dec. 24a
12
Dec.
Holders of
rec.
Holders of rec. Dec. 31
Dec.
Holders of
Holders of
rec.
Holders of
Dec. 31
Holders of rec. Dec. 22
2
.
Holders of
Dec. 31
Jan.
Jan.
Common and preferred (monthly)
Holders of rec. Dec. 24a
Dec. 31
IK
3
Reelcraft Pictures Corp., pref. A
Cities Service-
Dec. 31
IK
3
Ogilvie Flour Mills (quar.).
Old Colony Woolen Mills, pref. (quar.).
Oriental Navigation, 1st A 2d pf. (qu.)_.
15a
to
$2
Dec. 20a
Hold' rs of rec. Dec.
15
Holders of rec. Dec. 24a
rec.
2
10
31
♦Holders of rec. Dec. 31
Dec. 31
rec.
K
Transportation (annual).
reo. Dec.
♦Holders of
J
i
$1
Holders of
flK
Gas
.
23
15 ♦Holders of rec. Dec.
IK
Cincinnati Gas A Electric (quar.)..
Cincinnati
Jan
Deo.
15 ♦Holders of
Jan.
rec.
Jan.
15
Dec. 23
Dec.
2
...
Holderp •**! rec.
Dec.
2
Central Teresa Sugar, common
Preferred (quar.)
Jan
rec.
♦3
1
Central Coal A Coke, com. (extra)..
Preferred (extra)
*2K
*1K
H«dders of
♦3
........
Jan.
15
Deo. 31
lan.
Northwestern Yeast (quar.)
Extra
2
*1
Deo. 31
to
Holders of reo. Jan.
*1K
Canadian Locomotive,
^Preferred (quar.)
;
to
22
Feb.
Northwestern Electric, pref. (quar.)
Northwestern Power, pref..
Pond Creek Coal (quar.).
Extra
............
Extra
22
Dec.
25c
Phelps Dodge Corporation (quar.)
15
Dec.
Jan.
25c
Extra
Dec. 31a
Dec. 23 Holders of rec. Dec.
Dec. 23 ♦Holders of rec. Deo.
Holders of rec. Dec. 20a
Jan.
*8
Nipissing Mines (quar.)
Dec.
♦2
Dec.
IK
2K
National Fireproofing, pref
National Fuel Gas (quar.)
New York Oil
rec.
20a
20
18
Holders of rec. Dec. 23
♦50c
Monatignol Rubber Works, pref. (qu.).
Montgomery, Ward A Co., pref. (quar.)
Narragansett Elec. Ltg. (quar.)
rec.
Dec.
Holders of rec. Deo.
*2K
(quar.)....'
Holders of rec. Dec. 31a
rec.
Holders of rec. Dec.
Jan.
I?
♦2
,
Holders of
Holders of rec. Dec. 20
Holders of rec. Dec. 20
Jan.
$1.25 Dec; 31
(quar.)
Midwest Oil, common
Holders of
Holders, of
Holders of rec. Dec. 2Holders of rec. Dec. 31a
2
Maryland Coal
1
1
Holders of rec. Dec.
3
IK
15
1
♦Holders of rec. Dec. 31
Dec. 23
Jan.
IK
30
Jan.
Jan.
Jan.
2
Jan.
Jan.
2
♦Holders of rec. Dec. 31
50o.
Jan.
IK
14
2
Jan.
2
Jan.
Jan.
*1K
2K
.....
IK
(quar.)
to
IK
2
•;
19
Holders of rec. Dec. 24
IK
2
common
Dec.
$3
Canadian Explosives, Ltd., com. (quar.)
Preferred (quar.)
Castle Kid Co., Inc., pref. (quar.)
Cement Securities (quar.)
Jan.
$1.50 Jan.
12 K c. Jan.
Extra
*•
Dec. 24a
Holders of rec. Dec. 24a
Holders of rec .-Jan.
IK
Mac Andrews A Forbes, com. (quar.)...
Preferred
(quar.)
Magor Corporation, com. (quar.)
Common (extra)
Preferred (quar.)
Manning, Maxwell A Moore (quar.)
18a
rec.
24a
Dec. 31
Jan.
*2
Extra
Merrimac Chemical
Jan.
2
Holders of
Dec. 24a
Feb.
f 13K
Kansas Gas A
15
Jan.
rec.
rec.
2
...
Eight per cent pref. (quar.)...
Kaminlstiquia Power, Ltd
Elec., pref. (quar.)
Kerr Lake Mines, Ltd. (quar.)
Kidde (Walter) A Co., Inc., pref
Kolb Bakery, pref. (quar.)....
Laurentide Co. (quar.)
Lawyers Mortgage (quar.)
Library Bureau, common (quar.)
Preferred
(quar.)
Loew's Incorporated (quar.)
Loew's Tbeaties Co. (quar.)
Holders of
3
Island Creek Coal, com. A pf. (quar.)...
Johnston (R. F.) Paint, 7% pref. (quar.)
Dec. 20
*1K
IK
Astoria Mahogany, Inc., pref. (quar.)..
Ault A Wiborg Co., preferred (quar.)
Preferred
IK
Common (payable in com. stock).
Internet. Mercantile Marine, pref.
Inter-Coast Steamship (quar.)
Dec.
Jan.
$2
Chem., pref. (quar.)
International Harvester, com. (quar.)..
Trust Companies.
Brooklyn
Columbia
(quar.)..
20
Dec.
Holders of rec. Dec. 27
Jan.
1
1 ♦Holders of rec. Dec. 20
♦Holders of rec. Dec. 20
1
3400
Below
and
not
THE
we
CHRONICLE
[Vol.111.
give the dividends announced in previous weeks
paid.
yet
This list
does
not
Miscellaneous
announced this week.
Cent.
When
Books Chout.
Cent.
Payable.
Days Inclusive.
3X
3X
Dec. 29
Holders of
rec.
Nsv.30
Atlantic Gulf A W
Feb.
18
Holders of
rec.
Jaw.
Jan.
2
Holders of
rec.
Dec.
2X
Feb.
1
Holders of
rec.
Dec. 31a
Associated Oil
Preferred
Albany A Susquehanna.—
Atchison Topeka <fe Santa Fe, pre!
Beech Creek (quar.)
Boston A
2x
Buffalo & Susquehanna, corn, (quar.)
Common (extra)
Preferred
15a
3
Holders of
rec.
Dec.
Dec. 31
Holders of
rec.
Nov. 30a
50c. Jan,
Albany (quar.)
20
30
15a
IX
Dec.
3
Dec. .30
Dec. 16
to
Jan.
2
2
Dec.
Dec.
to
Jan.
2
Dec.
la
—
——...—
Canadian Pacific, oommon (quar.)—
Chesapeake <& Ohio
30
Dec.
16
to
16
2H
Deo. 31
Holders of
ree.
2
Chicago Indianapolis A Louisville, pref,
Chicago A Northwestern, oommon
2
Jan.
Dec. 31
Holders of
rec.
Dec.
3o
2
Preferred
Chicago Rock laid. A Pac., 0% pref.—„
Seven per cent preferred
Dec. 30
Holders of
rec.
2X
3X
....
Jan.
16
Holders of
rec.
Dec.
15a
Jan.
16
Holders of
rec.
Dec.
16a
Dec. 22a
3
Dec. 31
Dec.
11
to
Jan
3X
Dec. 31
Dec.
11
to
2
Jan.
2
3
Dec. 23
Holders of
rec.
Dec.
2a
3X
Dec. 23
Holders of
rec.
Dec.
2a
Colorado & Southern, first preferred..
Second preferred......
...——
2
Dec.
Dec. 19
to
Jan.
2
4
Dec. 31
Dec.
to
Jan.
2
Delaware <fc Hudson Co. (quar.)
Detroit A Mackinac, pref erred......
2X
Dec.
20
Holders of
rec.
Nov. 27a
2X
Jan.
3
Holders of
rec.
Dec.
15a
2
Dec.
31
Holders of
rec.
Dec.
10a
Cin. N. O. A Texas Pacific, common...
Common
(extra).......
_
Hocking Valley
Illinois Central, leased lines
•
31
19
Mobile & Birmingham, preferred
Morris & Essex..
2
Dec.
16
to
Jan.
2
rec.
Dec. 31a
Jan.
3
IX
Cotta, preferred..,
(in pref. stock).
Baldwin Locomotive Works, com. A pref.
Barrett Co., common (quar.)
Jan.
25
Holders of
Feb.
1
Holders of
rec.
Dec. 20
Holders of
Holders of
rec.
Dec.
10
rec.
Dec.
15fl
4
r4X
3X
2
Preferred
d\40
Dec. 31
Jan.
Dec. 30a
Jan.
3
Holders of
Holders of
rec.
Dec.
15a
Jan.
15
Holders of
rec.
Dec
30a
1
Dec.d3l
rec.
Dec.
4a
Holders of
rec.
Dec.
15a
IX
Dec .<131
Holders of
rec.
Dec.
15a
2
Jan.
15
IX
Jan.
3
Holders of rec. Dec. 31a
Holders of rec. Dec. 15a
Holders of rec. Dec. 15a
$1
(quar.).
com
(quar.)
Bell Telephone of Canada (quar.).,
Bethlehem Steel, com. A Com. B (quar.)
Seven per cent preferred
IX
Jan.
Eight per cent preferred (quar.)..
(quar.).
Boott Mills, common (quar.),—,.
2
Jan.
3
IX
Jan.
3
Nov. 21
IX
Jan.
3
Holders of
rec.
Nov. 20a
rtucyrus Co., preferred (quar.
Pref. (extras (acct. accum. divs.),
IX
hX
Jan.
2
Holders of
rec.
Dec. 20
Jan.
2
Jan.
(quar.).
Booth Mills, common
Pref.
(extra) (acct.
accum.
3
Holders of
rec.
to
Dec. 15a
Jan.
2
Holders of
rec.
2
Holders of
rec.
Dec. 20
2
Dec. 31
Holders of
rec.
Dec.
IX
Jan.
1
Holders of
rec.
Dec. 20a
$1
Dec. 20
Holders of
rec.
Dec.
10a
Holders of
rec.
Dec.
15
h3
diva.)
Buffalo General Electric (quar.)
California Petroleum .Corp., pref.
...
(quar.)
Calumet A Arizona Mining (quar.)..,..
Canada S. 8. Lines, pref. (quar.)...—.
IX
Jan.
2
IX
Jan.
10
IX
Canadian Car & Fdy., pref. (quar.).....
Canadian Consol. Rubber, pref. (quar.).
Dec.
31
Dec. 20
15
Holders of rec. Dec, 2,7
Holders of rec. Dec. 22a
Can. Crocker-Wheeler, com. A pf. (qu.).
IX
Dec. 31
Dec.
Holders of
rec.
Dec. 20a
Canadian General Elec..
2
Jan.
1
Holders of
rec.
Dec.
Holders of
rec.
Dec.
11a
IX
Jan.
1
Holders of
rec.
Dec. 20a
3
Holders of
rec.
Dec.
11a
Canadian Woollens, common (quar.)...
Preferred (quar.)
IX
Jan.
1
Holders of
rec.
Dec. 20a
rec.
II .25 Jan.
2
12
to
Jan.
4
Jan.
1
Dec.
2
Holders of
Dec.
9a
$2.50 Jan.
3
Holders of ree. Dec.
Holders of rec. Dec.
15a
Jan.
1X
2
2
to
Jan.
rec.
2
13a
15*
Dec.
18
Holders of
4
Jan.
10
Dec. 28
to
Jan.
10
15*
Jan.
3
Holders of
rec.
Dec.
10a
15*
Jan.
Nov. 30o
rec.
com.
(quar.)..
Carbo-Hydrogen of Amer., pref. (quar.)
Case (J. I.) Threshing Machine—
Preferred
(quar.)..
Case (J.I.) Plow Wks., 1st A 2d
Celluloid Co. (quar.).
Dec.
la
Holders of rec. Dec.
13a
Jan.
3
Dec.
17
to
Holders of
Dec. 31
Dtc.
31
Jan.
15 ♦Holders of rec. Dec.
Jan.
15 ♦Holders of
IX
Jan.
rec.
Dec.
17a
31
rec.
Dec. 31
4
Holders of
rec.
Dec.
10a
Central
rec.
Dec. 10
.11.50 Jan.
3
Holders of
rec.
Dec.
15a
Holders of
rec.
Dec.
10
Holders of
rec.
Jan.
18a
Central States Elec. Corp., pref. (quar.).
Certaln-teed Products Corp., com. (qu.)
Dec. 31
Feb.
$1
Jan.
1
Holders of
rec.
Dec. 16a
50c. Jan.
13
Holders of
rec.
Dec.
23a
First and second preferred (quar.)
Chandler Motor Car (quar.)
Jan.
IX
$2.50 Jan.
1
Holders of
rec.
Dec.
Dec. 20a
$1
Jan.
IX
3
Holders of rec. Nov. 80a
Dec. 30
Holders of
Jan.
3
Holders of rec. Dec.
Jan.
10
Nov. 30a
rec.
Dec. 21
to
la
31
Dec.
Leather, preferred (quar.).....
IX
3
Holders of
rec.
Dec.
Jan.
3
Holders of
rec.
Dec.
17
3
Holders of
rec.
Dec. 30
Holders of
rec.
Dec.
14a
Holders of
rec.
Dec.
14a
1
♦Holders of
rec.
Dec. 23
Dec. 31
Holders of
rec.
Dec. 30a
Dec. 16a
*1X
Common and preferred (monthly)
Jan.
1
Holders of rec. Dec.
15
Dec.
30
Common (payable In common stock).
Preferred B (monthly).
17
X
El Paso Electric Co., preferred
3
20a
City Invascng, common
Clafllns, Inc. (quar.)..
Jan.
10
Holders of rec. Dec.
$4.50 Jan.
1
Holders of rec. Dec.
la
15*
Dec.
31
Holders of rec. Dec.
18a
3
Jan.
...
Frankford A Southwark Pass, (quar.).i.
Manila El. RR. A Ltg. (quar.)
Second & Third 8ts.Paas.Ry.,Phlla.(qu.)
Springfield Ry. & Light, pref. (quar.)..
Twin City R. T., Minneapolis, common-
1
Holders of
Dec.
rec.
la
15*
Jan.
1
Holders of rec. Dec.
15a
3
Jan.
3
Holders of
Dec.
14a
15*
Jan.
3
Holders of rec. Dec.
14a
$4.75 Jan.
1
Holders of
rec.
Dec.
15a
$1.50 Jan.
1
Holders of
rec.
Dec.
10a
Preferred
(quar.)
Union Passenger Ry.,
Philadelphia
Union Traction, Philadelphia....
United Light A Rya., pref. (quar.).
15*
Va. Ry
<fe Power, pref. (pay. In pref stk.)
West End St. Ry., Boston,
preferred
West Philadelphia Passenger Ry
TO
$2
$5
rec.
Jan.
2
Holders of
rec.
Dec.
15a
Jan.
20
Holders of
rec.
Dec.
31 a
Jan.
3
Dec. 21
Jan.
1
Holders of rec. Dec.
Jan.
to
3
15a
Banks.
America, Bank of (guar.)
3
Jail.
3
Holders of rec. Dec.
Chatham <fe Phenlx National (quar.)
Commerce, National Bank of (quar.)...
4
Jan.
3
Dec.
3
Jan.
3
Holders of rec. Dec.
3
Jan.
3
Holders of
Jan.
d3
Extra
.........
Cuba, Bank of, In New York—.
Mechanics, Brooklyn (quar.)
6
18
18
Jan.
to
2
Jan.
1
Holders of
rec.
fix
Jan.
1
Holders of
rec.
X
Jan.
1
Holders of
rec.
Dec.
15a
39c. Jan.
1
Holders of
rec.
Dec.
15
Dec.
9
Dec.
Jan.
11
Jan.
3
9
to
Jan.
11
Dec.
31
Dec. 22
to
Jan.
1
Dec. 31
Dec. 21
to
Jan.
11
Dec.
Dec. 21
to
Jan.
11
Dec.
31
31
Dec. 22
Dec.
31
Holders of rec. Dee.
15*
Jan.
Lawyers Title & Trust (quar.)
Extra
Holders of
rec.
to
Dec.
Dec.
15a
Dec. 16
to
Jan.
3
to
Jan.
3
1
Jan.
3
Dec. 16
Jan.
3
Holders of
25
State"....
17
30
3
3
Manufacturers, Brooklyn (quar.)
Jan.
3
Holders of rec. Dec.
rec.
Doc. d20
I8ai
Miscellaneous.
Advance-Rumely Co.,
pref. (quar.)..__
15*
Company, preferred (quar.)
15*
Aeolian, Weber Piano A Pianola,pf.(qu.)
15*
Air Reduction
(quar.)__...
$1
Allls-Chalmers Mfg., com. (quar.).....
1
Preferred
(quar.)..
15*
Amalgamated Oil (quar.)
♦$1 .50
Amer. Agrlc.
Chemical, com. (quar.)
02
Preferred (quar.)
15*
Aeolian
....
Bank Note, pref. (quar.)
75c
Amer. Beet Sugar,
pref. (quar.)
Amer. Bosch Magneto
Corp.
15*
3
Dec.
16
to
Jan.
2
Dec,
20
Deo,
31
Holders of
Dec.
31
Holders of rec. Dec.
Jan.
15
Holders of
rec.
Feb.
15
Holders of
rec. Jan,
rec.
Doc.
Jan.
15
Jan.
15 ♦Holders of rec. Dec.
Jan.
15
Jan.
15
Jan.
3
Holders of
rec
Dec. 31
20
31
24a
Holders of rec. Dec. 24a
Holders of roc. Dec.
31
2Ca
Holders of roc. Dec. 20a
Dec.
15a
.......
Holders of
rec.
$2.50 Jan.
(quar.)
3
Holders of
rec.
Dec.
15a
Jan.
3
Holders of
rec.
Dec.
16a
15a
15*
Dec.
11 a
"
(guar.)...
(quar.).II.I...I"
Amer. Exchange Secur.
Corp. CI. A (qu.)
....
American Hide A Leather,
pref. (quar.).
American Linseed, pref.
3
Jan.
1
Holders of rec. Dec.
15*
Jan.
1
Holders of
15*
(quar.).......
American Express
(quar.)
Jan.
Jan
3
Holders of
rec.
Dec.
18
15*
Jan.
3
Holders of
rec.
Dec.
15a
18a
2
$2
(auar.)
......III.
pref. fquar.j
American Radiator, oommon
(quar.)
Jan.
1
Holders of
rec.
Dec.
3
Holders of
reo.
Nov. 30a
15*
15*
15*
15*
Jan.
Jan.
3
Holders of
rec.
Dec.
11a
3
.Holders of
rec. Dec.
15a
Dec.
31
Holders of
rec.
Dec.
13o
Dec.
31
Holders of
rec.
Dec.
13a
3
$1
Amer. Rolling Mill, oom. (in com.
stock)
American Rolling Mill, common
15a
Jan.
Jan.
15*
(quar.)........
rec. Dec.
Dec.
31
5
Feb.
1
Holders of rec. Dec.
10
Consolidated Cigar Corp.. com. (quar.).
Consol. G. E. L, &P„ Bait.,com.(qu.)
Continental Can, Inc., common (quar.).
$1.75
Preferred
(quar.)
Common (special)
Preferred (quar.)
Preferred
(quar.)
Draper Corporation (quar.)..
Drayton Mills, preferred
(quar.)
American Thermos BottleExtra (payable In Class B shares)
American Thread, preferred
American Tobacco, pref. (quar.).
American Wholesale Corp., pref. (quar.)
com.
Preferred
(quar.)
American Woolen, com. (quar.)..
Preferred
(quar.)
(qu.).
15*
Fan.
1
Dec. 22
Jan.
2
Jan.
3
Holders of
rec.
Dec.
la
35*
Mar. xl
Holders of
rec.
Feb. x 15a
2
Jan.
Holders of
rec.
Dec.
112
16
20a
10a
15a
Jan.
to
Jan.
2
Jan.
10a
rec.
2
Feb.
1
Holders of
Feb.
1
Holders of
Jan.
1
Dec.
Jan.
1
Holders of
rec.
Nov. 30a
Jan.
1
Holders of
rec.
Nov. 30a
Jan.
1
Holders of
rec.
Nov. 30a
1
Dec. 21
16
rec.
rec.
to
Jan.
20a
Jan.
20a
Jan.
1
3
Holders of rec. Dec.
15a
1
Holders of
rec.
Dec*
11a
Jan
1
Holders of
rec.
Dec.
11a
com.
$1.25
(quar.)
IX
...
Erie Lighting, pref. (quar.)
Fairbanks Co., pref.
(quar.)
Famous Players-Lasky Corp.,
Dec.
31
Dec. 31
Deo.
20a
rec.
Dec.
24
rec.
oi
Dec.
15a
reo.
2
Holders of
Jan.
1
Holders of
rec.
Dec. 20a
$2
Jan.
3
Holders ol
rec.
Dec.
Jan.
3
Holders of rec. Dec. 20
IX
IX
Jan.
rec
Dec.
15
15a
10c
Jan.
1
Holders of
rec.
Dec. 20
$1.50
Jan.
5
Holders of
rec.
Dec.
Ian
1
*1X
'
Jan
1
Holders of
rec.
Nov. 30a
Dec.
2
31
10a
X
Jan.
1
Holders of rec. Dec.
15
TX
Jan.
1
Holders of rec. Dec.
15
$1 .50 Jan.
1
Holders of
__
General American Tank
Car, com
Second preferred (quar.)
General Chemical, preferred
rec.
Dec.
15 a
IX
Jan.
1
Holders of rec. Dec.
15a
IX
Jan.
3
Holders of rec. Dec.
17a
IX
Jan.
3
Holders of rec. Dec.
24c
2
Jan.
15
Dec.
Dec.
19
e2
Jan.
15
Dec.
9
to
Dec.
19
Dec.
31
Dec.
16
to
Jan.
2
(quar.).
General Cigar. Inc.. deb. pref.
(quar.)..
General Electric (quar.)
Extra (payable In stock)
General Optical, common
$2
,
General Railway Signal, com.
(quar.)...
9
to
IX
Jan.
1
Holders of rec. Dec. 20
IX
Jan.
1
Holders of rec. Dec. 20
m
*IX
Jan.
1 dDec.
Jan.
1
Preferred
(quar.)
Oodcbaux Sucar, pref
(quar.)
Gold A Stock
Telegraph (quar.)..
Goodrich (B. F.) Co., common
(quar.)
Preferred (quar.)
Grasselli Chemical, com.
$1 50 Feb.lSr
20
to
Jan.
•Holders of rec. Dec.
Holders of
rec.
1
31
Feb.
4x
(quar)
Great State Petroleum of Texas
Great Western
com.
(quar.)
Holders of rec. Dec.
2la
Holders of rec. Dec.
15a
Dec. 31
Holders of rec. Dec.
Dec. 31
Holders of rec. Dec.
15a
3
.
Dec. 31
IX
(quar.)
8ugar,
to
♦3 X
Special
Common (extra)
Preferred (quar.)
to
21
2
com.(qu )
Gaffney Manufacturing
15a
15
to
19
Ian.
Holders of rec. Dec.
Holders of rec. Dec.
15
19
Dec.
Jan.
10a
Jan.
Dec.
Holders of
3
.
Holders of rec. Deo.
Holders of rec. Dec.
Jan.
25
50c. Jan.
(qu.).
Endlcott Johnson Co
Preferred
(quar.)..
Preferred
15*
15*
1
Jan.
Holders of
15a
1
Jan.
Holders of
Dec.
1
1
Jan.
1
rec.
Jan.
2
3
Common (extra)
Jan.
Jan.
rec.
Jan.
10a
15*
4
to
Jan.
Dec.
3
Dec.
19
4
rec.
15*
Holders of
Dec.
2
Holders of
Nov. 30
1
1
4
15a
Dec. 21a
1
Jan.
rec.
Holders
Holders of
to
Jan.
Jan.
Holders of
1
1
1 •Nov. 16
Holders of rec. Dec.
15
Jan.
3
2t
3
Jan.
IX
Jan.
Jan.
Jan.
Eteenlohr (Otto) A Bros., pref.
(quar.)..
Elder Manufacturing, pref.
(quar.)
Electric Light A Power Co of Abington
A Rockland
Elec. Storaee Batt.. com. A
pref.
*125*c Jan.
Jan.
15*
to
Dec.
1 aDec.
3*
21
rec.
Jan.
Jan.
Dee.
Holders of
IX
Holders of
15*
1
IX
15
2
15
Ian.
15
^referred
(guar)
Edmund & Jones Corp., com.
(quar.)
Preferred (quar......
75c. Jan.
15a
Dec.
2X
Holders of
15a
rec.
2X
(quar.)
Holders of
Dec.
Holders of
IX
Common (extra).
3
Jan.
1
Dec. 31
IX
3
Hol lers of
15
Jan.
to
8
Powd.,com.(qu)
(quar.)
Jan.
Holders of rec. Dee.
Dec.
IX
Eastern Rolling Mill, pref.
(annual).
Eastman Kodak, common
Jan.
1
rec.
IX
15*
31
Holders of
IX
2
Dec.
Dec. 22
Holders of rec. Dec.
1
IX
(quar.)..
Gas A Electrie Secur., com.
(monthly)
Common (payable in common stock)
Dec. 31
1
1
IX
Galena-Signal Oil, preferred (quar.).
Jan.
Jan.
Jan.
2X
du Poht de Nern. & Co., deb. stk.
(qu.).
m Pont (E. I.) de Nem.
14
30a
Dec.* 24
IX
(qu.)
Dec.
Dec.
rec.
Jan.
3
(Jam°8 H.) A Co., com.
First preferred (quar.)
3
rec.
Holders of rec. Dec. 24
*3X
Dunham
Jan.
10a
Holders of
3
IX
...
31
10a
3
IX
Dominion Iron A Steel, pref. (quar.)
Dominion Steel Corp. com. (quar.)..
Dominion Textile, common
(quar.)....
Preferred
10
Jan.
Jan.
IX
(quar.)
Second preferred
Dec. 20 •Holders o/ rec. Dec.
15a
IX
Dominion Glass, oommon (quar.)
Preferred
Jan.
1
31
Dec.
24
15a
14
Dec.
20
Dec.
31a
Dec.
rec.
10
Dec.
rec.
Dec.
3
rec.
Dec.
rec.
Holders of
Dec.
15 ♦Holders of ree. Dec.
22
rec.
Holders of
1
Dec.
15 ♦Holders of rec. Dec.
Dec.
Holders of
3
rec.
Farrell (Wra.) A Son. pref.
(quar.)
22
Dec. 20
Jan.
Jan.
rec.
Federal Oil, preferred
(quar.)...
Firestone Tire & Rubber, com. (quar.)..
to
10a
10a
rec.
Jan.
(quar.)
Amer. Sugar Refg., oom. A
pref. (quar.)
American Sumatra Tobacco, preferred..
American Telephone A Telegraph
Dec.
Holders of
15
rec.
15a
rec.
Holders of
15a
to
Dec.
Holders of
Holders of
31
Dec. 22
rec.
1
Jan.
15*
Holders of
1
Jan.
$4
3
15
♦15*
15*
15*
$1
15a
Jan.
Jan.
♦15*
American Stores, common
(quar.)
First and second preferred
Dec.
IX
Jan.
31
IIIIIIIII
Dec. 20
rec.
X
15 ♦Holders of rec. Dec.
Amer. Steel Foundries, com.
(quar.) II11
Common (payable In common
stock)
Preferred
(quar.)
Dec. 20a
rec.
2
Dec.
to
rec.
Holders of
Extra
Deo.
Dec.
Holders of
Dictograph Products Corp., pref. (qu.).
2
Dixon (Joseph) Crucible (stk. dlv.).._. ♦el 50
Dodge Manufacturing, com. (quar.)...
IX
Holders of rec.
to
3a
Holders of
IX
♦25c. Jan.
II
Jan.
1
4
.....
(quar.).I
rec.
Dec. 31
2
31
Smelters' Securities, pref. A (qu.)
Preferred B (quar.)
Amer. Snuff, com.
(quar.)I——Ill-
Jan.
Holders of
Holders of rec. Dec. 15a
Holders of rec. Dec. 20a
75c. Dec. 31
Dayton Power & Light, common
Preferred
(quar.).....
15 ♦Holders of rec. Dec.
Seven per cent preferred
(quar.)
1
Dellcn Tire A Rubber, pref. (quar.)
Detroit & Cleveland Nav. (quar.)
♦50c. Jan.
Amer.
3
IX
(quar.)
(quar.).
Common (extra)..
15
Jan.
Jan.
IX
...
Crowell A Thurlow SS. (quar.)
Crucible Steel, pref. (quar.).
Cuba Cane Sugar Corp., pref. (quar.)...
Holders of
reo.
Jan.
2
IX
.
10a
24a
Dec.
Jan.
Dec.
Jan.
Nov. 10a
18
5
$1
rec.
18
5
10a
Computlng-Tabulating-Recording (qu.).
Holders of rec. Dec.
Holders of rec. Dec.
rec.
Dec.
25*
1
Holders of
Holders of
I
Jan.
(quar.)
Holders of
Holders of rec. Dec.d26
.......
Italian discount <fe Trust
IX
Preferred
3
Trust Companies.
Guaranty (quar.)
Hudson (quar.).
Holders of rec. Dec.
Holders of rec. Dec.
10a
1
Jan.
Dec. 24
Holders of rec. Dec.
31
Holders of
1
Jan.
IX
Jan.
3
20
Dec. 22
1
25c. Jan.
(0)
IX
3
5
Extra
rec.
10
2
5
Yorkville (quar.)
Deo. 20a
Davis Mills
Jan.
to
rec.
17a
Jan.
3
Holders of
1
3
3
i
2
Jan.
3
Extra
Union Exchange National
Jan.
1
2
rec.
Cluett, Peabody & Co., Inc., pref. (qu.)
ColumbiaGraphophone Mfg., com. (qu.)
Common (payable In common stock)..
Dec.
Cuban-Ameiican Sugar, com. (quar.)...
Preferred
(quar.)
2
.........
♦6
Holders of rec.
Jan.
IX
...
15a
Dec. 20
5
Clifton Manufacturing
Dec.
17a
Dec.
rec.
Jan.
Cities Service—
Cities Service, Bankers' shares (mthly.).
Holders of rec. Nov. 30a
10
16a
Dec. 30
2
Jan.
Holders of
IX
Chicago Telephone (quar.)..
15a
15*
3
3X
Cbesebrough Mfg., common (quar.)
Preferred
(quar.)
Chicago Mill ALumber, pref. (quar.)...
Holders of rec. Dec.
GlassMach.,
Holders of
J
*1X
3
(quar.)
Dec. 31
IX
—
Jan.
com.
15
Jan.
2
1
Preferred
Dec. 31
*1X
Duluth-Superlor Tract., pref. (quar.)...
American Can, pref.
(quar.)
Amer, Car <fc Fdy., com.
to
IX
pf.(qu.)
$3
Extra....
North Side, Brooklyn
21
IX
Central Coal A Coke, com. (quar.)
Preferred (quar.)
Brazilian Tr„ L. & Pow., prof. (guar.)..
Continental Pass. Ry., Philadelphia....
Amer. Window
Jan.
Dec.
Southern Ry., preferred
2X
Union Pacific, common (quar.)
25*
United N. J. RR <fc Canal Cos. (quar.).
2X
Street and Electric Railways.
Boston Elevated, common (quar.)
I137H
Preferred
35*
Preferred
to
3
Second preferred (quar.)
Southern Pacific Co. (quar.)
Six per cent preferred
10a
16
2
12 12 A Jan.
littsb. McKee«p. A Yougbloghony
Reading Company, common (quar.)
(quar.)
Amer. Public
Service,
Dec.
Dec. 10a
Dec.
3
Plttsb. Ft. Wayne A Chic., com. (quar.)
Preferred
(quar.)
Locomotive,
3
Jan.
...
American
Jan.
Dec. 27
rec.
Jan.
Norfolk <fe Western, common (quar.)..
Northern Securities
American Cigar, pref.
rec.
IX
New York A Harlem, com. and pref
New York Lackawanna A West. (quar.).
Preferred (quar.)
American Chicle, pref.
Holders of
1
2
Lehigh Valley, com. (quar.)...
Preferred
(quar.
I Amer.
31
87>*c Jan.
Joliet & Chicago (quar.)
United
Dec.
5
...
I. 88. Lines, com
Auto Sales Corp., pref
Preferred
Holders of
Holders of
rec.
Dec. 31
IX
IX
(quar.)
(quar.)
Beaver Board Cos.,
Jan.
10c
Atlantic Terra
4X
Armour A Co., pref. (quar.)
Armour Leather, pref. (quar.)
Railroads (Steam).
Alabama Great Southern, ordinary—
Days Inclusive.
20C
3J*
Arkansas Natural Gas. com. (quar.)
Common (extra)
Per
Books Closed.
Payable
(Continued)
Apsley Rubber, preferred
Jfame 0/Company.
When
Per
Name of Company.
include dividends
Jan.
31
Holders of reo. Dec.
31
Jan.
3
Holders of rec. Dec.
15a
Jan.
3
Holders of
rec.
Dec.
15a
Jan.
3
Holders of
rec.
Dec.
15a
IX
IX
X
Jan.
IX
10
IX
lx
15a
Dec. 18
1920.]
CHRONICLE
THE
Per
Name of
When
Books Closed.
Cent.
Company,
Payable.
Days Inclusive.
Per
Tap A Dye, common (quar.).
(quar.) (No. 1).......
1
Holders of rec. Dec.
16
2
Jan.
1
1
Holders of rec. Dec.
15
Six per oent pref. (quar.)..
IX
Jan.
1
Holders of reo. Deo.
16
3
Holders of
rec.
Dec.
18a
5X% pref. (quar.)
IX
Jan.
1
Holders of
reo.
Deo.
15
3
Deo.
31a
rec.
Dec. 20
Quaker Oats, common (quar.)
Common and Class B Common (quar.)
Jan.
1
Holders of
37Xc Jan.
1
IX
1X
Jan.
20
Holders of
31
Holders of rec. Dec. 20a
$1
Dec.
rec.
Jan.
Jan.
3
Holders of rec. Dec.
Holders of rec. Dec.
15a
Jan.
3
Holders of rec. Dec.
13a
4
Jan.
3
Holders of rec. Dec.
13a
1X
Jan.
3
Holders of rec. Dec.
13a
IX
Jan.
3
Holders of rec. Dec. 20a
16
to
Dec.
Dec.
24
2
Dec.
24
Dec.
16
to
Jan.
3
Dec. 25
tc
Jan.
Jan.
3
Dec. 25
to
Jan.
to
Jan.
3
Dec. 25
Jan.
2
Holders of rec. Dec.
1
Holders of rec. Dec.
Dec.
31
Holders of rec. Dec.
10a
IX
Dec.
31
Holders of rec. Dec.
10a
First
2
Illinois Pipe Line
Imperial Oil, Ltd.—
Jan.
1
Holders of rec. Dec.
15a
Cum.
Dec. 31
10
Dec.
1
to
(3
,481,0
90,828,0 137,442,0
87.943,0 243,990,0 3,316,749,0
916,0
646,0
Items and other de¬
ductions from gross deposits..
5%
424,658,0 132,622,0
231,802,0 1,086,238,0 212,733,0 261,957,0 129.082,0 156,144,0 539,118,0 139,472,0
2,551,0
1,586,0
1,421,0
4,211,0
681,0
625,0
2,345,0
891,0
premises
Uncollected
78,622,0
1,554,0
231,0
17,658,0
53,408,0
43.513,0
43,496,0
666,505,0
11,387,0
8,332,0
'
48,635,0
126,827,0
56,372,0
63,433,0
58,196,0
27,749,0
1,072,0
936,0
2,665,0
1,546,0
1,300,0
938,0
1,140,0
787,0
451,0
377.0
83,354,0
38,859,0
476,0
949,0
623,0
544,0
916,0
586,0
665,0
207,0
1,023,0
498,0
231,0
306,0
916,0
567,0
22,663,0
against
Federal Reserve bank notes..
All other resources
Total resources..
489,516,0 1,819.523,0 434,162,0 605,778,0 281,170,0 271,933,0 937,177,0 261,296,0 166,476,0 268,267,0 183,293,0 464,447,0 6,233,038,0
LIABILITIES.
7,718,0
12,351,0
Capital paid In
Surplus
Government deposits
1,137,0
Due to members, reserve account 115,328,0
Deferred availability Items
—
Oth. deposits, lncl. for. Govt. cred.
Total gross deposits
F. R. notes in actual circulation.
37,443,0
521,0
154,429,0
289,134,0
26,185,0
8,493,0 10,352,0
51,308.0
13,069,0
13,712,0
8,981,0
1,482,0
1,709,0
683.805,0 109,089,0 147.637,0
86,177,0 46,298,0 52,484,0
409,0
15,001,0
1,279,0
5,285,0
4,023,0
13,901,0
8,067,0
7,050,0
1.312,0
23,917,0
2,150,0
59,428,0
43,598.0
240,0
4,364,0
5,884,0
1,880,0
3,398,0
5,178,0
47,674,0 239.815,0 "64,075,0
21,427,0 58,561,0 36,347,0
226,0
1,700,0
669,0
44,723,0
19,663,0
1,702,0
793,964,0 158,148,0 202,239,0 105,416,0 70,639.0 301,778,0 102,971,0
863,560,0 276,146,0 349,311,0 147,500,0 171,693.0 541,967,0 134,279,0
4,460,0
8,395,0
2,478,0
4,091,0
6,904,0
99,174,0
46,707,0
465,0
11,662,0
164,745,0
28,394,0
1,599,0
2,759,0
49,176,0 120.316,0 1,758,967.0
516,934,0
32,823,0 35,406,0
242,0
3,476,0
24,511,0
65,874,0 127,551,0
81,404,0 108,856,0
83,840,0 161,957,0 2,328,806,0
81,181,0 266,811,0 3,311,842,0
1,205,0
283,0
77,901,0
4,152,0
V. R. bank notes in circulation—
Net liability
AU other liabilities
Total liabilities
19,430,0
36,040,0
6,454,0
48,466,0
22,506,0
5,800,0
22,675,0
11,574,0
7,489,0
3,328,0
14,580.0
3.948,0
7,327,0
10,290,0
2,702,0
6,823,0
113,948,0
489,516,0 1,819,523,0 484,162,0 605,778,0 281,170.0 271.933,0 937,177,0 261,296,0 166,476,0 268,267,0 183,293,0 464,447,0
61,233,038
37,967,0
10,106,0
17,647,0
3,692,0
7,628,0
2,994,0
14,400,0
4,605,0
214,523,0
Dec.
Two dphers (00) omitted.
Boston.
$
Cleveland. Richmond
Phlla.
New York.
LIABILITIES (Concluded.)—
Batlo ef total reserves to net de¬
$
:;y
Atlanta.
Chicago.
$
$
$
$
$
2405
CHRONICLE
THE
181920.]
Dallas.
$
/;
$
San Fran.
Total.
$
5!/. Louis. Minneap. Kan.City.
$
$
$
*
posit and F. R. note liabilities
endors
as
47.1
40.4
9,831,0
35,912,0
784,0
576,0
56.7
56.1
39.1
51.8
combined, per cent
Memoranda—Contingent liability
44.5
45.6
41.4
41.1
40.1
15,166,0
40.8
28,265,0
29,808,0
432,0
768,0
416,0
40.8
er on:
Discounted paper rediscounted
with other F. R. banks
6,400,0
125,382,0
Bankers' acceptances sold to other
7,923,0
7,923.0
F. R. banks without endors't..
Contingent liab.
on bills purch.
foreign correspondents
(а)Includes bills discounted for
1,168,0
other F. R. banks, via
(б) Includes bankers' acceptances
17,796,0
bought fr
for
1,280,0
om
Collateral security for Federal Reserve notes
Gold and gold certificates
Gold redemption fund
-
-
outstanding:
Cleve.
$
$
Richm'd Atlanta
%
Board
172,247
13,880
required
'Excess amount held
—
Liabilities—
amounts returned for destruction
17,620
121,320
640,839 155,898
10,290
6,130
83,509 114,770
7,560
13,052
1,176
"3",283
11,200
36,360
75,127
449,355 108,015
13,443
35,653
58,081
15,453
Total.
$
t
4,292
36,031
"~8, 340
183,144
Net amount of Federal Reserve notes received from
419,272 1,166,294 325,582 397,612 180,232 239,267
237,200 130,494 162,174 51,938 62,507
133,385
979,893 170,836 215,833 114,139 139,845
186,127
Comptroller of the Currency
Collateral received from
Federal Reserve
(Gold
--
bank:\Eligible
paper
Total
...
40,526
S
303",776
3,677,562
606,244
15,280
86,115
267,426
5,331
116,821
5,230 i~7~, 474
826,316
15,234 85,158
60,320 201,144 2,466,999
431,605
15,344 19,470
-
„
93,799 120,900 101,395 303,776 4,283,806
25,795 102,632 1,210,563
25,428
39,643
73,534 115,653
75,664 220,614 2,898,604
305,632 1,002,794 287,902 365,712 154,083 176,532
6,583
4,839
16,401
11,756
139,234
16,498
Federal Reserve notes held by banks.
640,839 155,898
21,619
98,872
83,509 114,770
5,914
86,115 303,776 3,677,562
365,720
4,934
36,965
863,560 276.146 349,311 147,500 171,693
541,967 134,279
81,404 108,856
81,181 266,811 3,311,842
289.134
Federal Reserve notes In actual circulation.
Member Banks of the Federal Reserve
ITEMS OP REPORTING MEMBER BANKS IN FEDERAL RESERVB
OTHER REPORTING BANKS AS AT CLOSE OP BUSINESS DECEMBER 3 1920.
cates and of 24 millions in other loans and investments, are shown
liquidation of all classes of loans accompanied by large reductions
and other demand deposits, and a continued increase In
shows
an
13.3% of the banks' total loans and investments.
For the New York
City banks an increase of accommodation at the local Reserve Bank from
803 to 865 millions is shown, resulting In an Increase of the ratio of accom¬
modation from 14.5 to 15.7%.
v
Government deposits show a reduction of 70 millions, other demand
deposits (net) declined by 55 millions, while time deposits increased by
11 millions.
The New York City banks report decreases for all classes of
deposits as follows: Government deposits, 29 millions; other demand
deposits, 43 millions, and time deposits, 5 millions.
'
In keeping with the increase in accommodation at the Federal Reserve
banks, reserve balances of the reporting institutions went up 45 millions,
the New York banks showing an increase in this item of 30 millions.
Gash
in vault shows a^total reduction of 12 millions, nearly half of it in New
York City.
to
823 member banks in leading cities.
Holdings of Liberty bonds and Victory notes show but nominal changes
those of Treasury certificates declined by 37 millions, the Dec. 3
low record for the year.
Loans
supported by Government war securities declined by 5 millions, loans sup¬
ported by corporate securiites—also by 5 millions, while other loans and
investments, composed largely of commercial loans and discounts, show
a reduction for the week of 56 millions.
As a consequence, total loans and
Investments of reporting institutions were 102 millions less than the week
before.
For the member banks in New York City increases of 3 millions
in U. S. bonds and Victory notes of 2 millions in loans secured, by Govern¬
ment obligations and of 11 millions in loans supported by corporate securi¬
ties, as against reductions of 25 millions in the holdings of Treasury certifi¬
while
holdings of 276 millions constituting a
member banks In each Federal Reserve District at close
Cleveland. Richm'd.
Phila.
New York
of all reporting banks at the Federal Reserve banks
Increase for the week from 2,174 to 2,210 millions, or from 13.0
Accommodation
borrowings from the Federal Reserve banks are indicated In the Federal
Reserve Board's consolidated weekly statement of condition on Dec. 3 of
Boston.
reducing
the total loans and Investments of these banks by 33 millions.
Government
Federal Reserve District.
Definitions of the different items
liabilities of the Member Banks.
14 1917, published in the "Chronicle" Dec. 29 1917, page 2523.
STATEMENT SHOWING* PRINCIPAL RESOURCE AND LIABILITY
BANK AND BRANCH CITIES AND ALL
2,105
System.—Following is the weekly statement issued by the Federal Reserve
Board giving the principal items of the resources and
in the statement were given in the statement of Deo.
Data for all reporting
762,159 173,518
191,484
47,883
485,008 121,458
738,784 2,383,387 626,912 775,619 346,309 441,619 1,438,651 342,859 192,761 276,196 202,854 627,022 8,392,973
Fideral Reserve notes outstanding.._
♦
$
742,900 2,371,640 680,580 703,520 398,060 412,840 1,259,900 392,800 188,120 264,580 196,160 549,440 8,160,540
94,321 143,680
94,765 245,664 3,876,734
497,741 219,282
323,628 1,205,346 354,998 305,908 217,828 173,573
Federal Reserve notes received from Comptroller, gross
Further
7,923,0
6,917,0
738,784 2,383,387 626,912 775,619 346,309 441,619 1,438,651 342,859 192,761 276,196 202,854 627,022 8,392,973
Total
In
,
Dallas. San Fr.
K.City.
$
i>:«
$
22,775
3,500
3,207
16", 105 19,399 ~~2~, 938
15,000 114,389 120,000 49,000 55,800
765,594 157,408 203,538 102,145 114,025
12,295 11,994 25,820
13,428
214,299
105,000
Minn.
St.L.
Chicago.
%
209,608
12,592
5,600
22,785
-
Gold settlement fund—Federal Reserve
"■ l;'
•
163,500 37,680 31,900 26,149 62,735
113,640
305,632 1,002,794 287,902 365,712 154,083 176,532
Federal Reserve notes outstanding
Lisa
Phila.
$
%
«
AGENTS* ACCOUNTS AT CLOSE OF BUSINESS DEC. 10 1920.
Boston. New York
hand
Eligible paper:/Amount
•
FEDERAL RESERVE
(In Thousands of Dollars).
on
125,382,0
.
,
STATEMENT OF
16,201.0
736,0
88,920,0
1,006,0
Federal Reserve Agent at—
Resources—
752,0
1,004,0
other F. R. banks:
Without their endorsement
Federal Reserve notes
1,312,0
18,666,0
6,073,0
Three ciphers (000) omitted.
of business December 3 1920.
Dallas.
St. Louis. Minneap. Kan. City
Chicago.
Atlanta.
San Fran.
93
80
46
108
35
38
83
51
Total.
68
48
114
$12,610
$46,729
$11,347
$42,464
$29,008
$16,222
$7,571
$32,648
$269,101
30,460
61,873
33,916
53,691
13,810
9,942
22,650
63,145
613.933
85,999
9,637
20,158
6,775
36,454
2,723
1,020
$14,751
23,206
5,388
$19,573
252,879
$14,630
27,986
3,949
$21,548
20,375
5,866
3,174
15,136
196,279
14,975
127,310
15,452
13,882
7,175
6,771
47,176
3,652
1.683
6,828
5,431
25,810
276,145
53,826
512,917
66,896
138,377
76.874
53,336
158.869
36,407
20,216
50,173
50,828
136,739
1,355,458
427,243
47,037
193,980 1,283,742
10.318
34,091
900,878
202,294
328,906
111,460
799,918 3,991,070
Number of reporting banks
59
572,847
977,886
387,776
916,242 1,514,220
67,211
99,715
605,104
557.449 2.439,458
178,695
28,246
20.580
37.279
17,970
675,626
939,869
39,360
389,371
332,729
108,317
229
1,832
79,243
—
U. 8. bonds to secure circulation
Other U. S. bonds, incl. Liberty bonds..
U. 8. Victory notes
U. 8. certificates of indebtedness
...
e
Total U. 8. securities...
Including bills re¬
L fans and investments,
discounted with Federal Reserve Bank:
| Loans
sec. by
U. S. war obligations.
Loans sec. by
stocks and bonds
All other loans and Investments
69,051
74,205
30,886
Total loans and investments, including
1,094,761 6,214,972
635,798
78,398
27,011
125,817
775,521 4,836,695
444,210
158,630
rediscounts with F. R. banks
Riserve balances
with F. R. Bank
Cash In vault
Net demand deposits—
Time deposits
35,099
100,359
32,034
16,461
30,199
61,943
439,652
128,045
411,284 1,740,578
28,994
384,362
34,514
292,733
506,752
580,848
363,924
666,124
41,376
18,519
45,629
9,345
8,243
13,963
303,560
192,796
70,695
394,868
99,645
215,975
131,165
698
280
218
157
1,115
17,503
22,747
5,911
20,171
17,741
29,640
623,018
315
2,455
8,795
60,158
2,685
8,394
2,162
5,657
253,911
72.055
25.959
79,463
1,330,455
13,113
65,689
240,275 1,301.712
643,865
150.539
1,346
7.604
1,151
2,479
394
29.568
283,427
46,977
24,090
30,841
32,662
1,105
Secured by U. 8. war
Bank:
obligations——
10,662
17,004
71,718
255,651
36
All other.
Bills rediscounted with F. R. Bank:
obligations
"
All other
2.
18,018
131,154
37,370
7,925
77,137
Secured by U. 8. war
1
200
4,085
39,817
Government deposits
Bills payable with F. R.
1
519,855
28,460
42.280
Data of reporting member banks in
Federal Reserve Bank and branch
All F.
City of Chicago.
New York City.
R.JSank Cities.
Thru ciphers (000) omitted.
Dec. 3.
Nov. 26
Dec.
3.
Nov. 26.
Dec. 3.
287
Nov. 26
«
Dec.'6.
Nov. 26.
287
208
208
Dec.
3.
Nov. 26
Dec. 3 '20. Nov. 26 '20 Dec. 5
'19
329
823
824
796
$100,380 $101,010
$269,101
$269,707
$269,425
613.933
614,453
631,374
256,465
328
72
51
51
$37,862
$1,439
$1,439
$96,335
$96,335
$72,386
$72,362
219,653
Other U. 8. bonds, incl. Lib. bonds.
627,852 10,837,478
528,665 2.822,479
Total.
AllOther Refort. Bks.
72
U. 8. bonds to secure circulatiop
58,017
cities and all other reporting banks.
F. R. Branch Cities
537,862
Number of reporting banks
355,900 1,321,183 16,630,185
79,952 1,332,081
23,443
376,887
25,811
11,066
25
774
57,902
148,036 3,050,082
38,510
256,244 1.002,317 11,323,767
79,000
218,358
17,687
17,707
340.752
342,696
151,555
151,050
121,626
120,707
76,401
74,806
12,110
12,039
108,945
106,994
53,746
52,930
196.279
194.081
137,221
16,165
18,059
173,366
204.495
62,927
66,011
33,588
39,852
34,157
112,368
42,673
276,145
313,179
862,017
446,284
468,247
47,401
49,244
719,398
750,520
340,614
342,353
295,446
298,547
1,355,458
1,391,420
2,019,281
obligat'ns.
399,572 397,678
bonds.. 1,134,2911,123,224
investments__:3,515,362 3,539,739
69,244
Loans sec. by stocks and
327,911
334,531
.037,274
900.878
905,677
95,357
97,353
137,248
134.668
671,076
409,373 3,050,082 3,054,789
408,996
489,664
492,187
7,251,324 2,258,499 2,262,258 1,858,996 1,866,544 11,323,767 11,380,126
3,204,845
,021,271
670,853
2,148.899
7,206,272
2,155,752
All other loans and
(J. 8. Victory notes
U. 8. certificates of Indebtedness...
Total U. 8. securities
Loans and investments, incl. bills re
discounted with F. R. Bank:
69,927
Loans sec. by U. S. war
Total loans and investments,
incl.j5 ,495,509 5,528,888
redlscounts with F. R. Bank...
Reserve balance with F. R.
Cash In vault
128,464
116,409
37,716
,356,109 4,399.615
905,160
310,181
300,899
110,402
*
Net demand deposits
305,116
Time deposits
deposits.
Government
,466,510
561,804
591.941
Bank...
Bills payable with
7,270
36.526
1,016
248,621
.
265,205
22,687
16,630,185 16,732,012 16,178,518
,490,293 10,745,422 10.828,672 3,225,9683,231,523 2,658,795 2,671,817
1,206,946 1,406,193
152,939 1.332,081
154,660
192,937
199,406
941,070
127,106
978,015
395,987
388,105
375,887
87,158
85,920
72,479
73,962j
226,985
217,488
39,109
10,837,478110,892,122 11,203.994
909,917 7,565.313 7,621,141 1,719,534 1,707.165 1,552,631 1,563,816
611.790
610,199 2,822,479 2,811,123 2,270.678
910.516
916,077
298,592 1,294,612 1,290,408
415,063
17.503
87,799
6,196
1,192
15,120
3,157
13.154
66,483
5,382
F. R. Bank:
Secured by U. 8. war
25.382
396.243
418,494
All other
Bank:
obligations.
All other
151,590
86,240
89,686
623,018
659,770
1,109
1.010
960
2,455
2,069
4,942
208,649
918,156
29,494
31,980
13,880
13,511
253.911
254.140
320,170
183.195
210,537
986,400
178,940
177,368
165,115
162,523
1,330,455
1,258,047
419,428
7.9
12.0
12.2
12.5
12.6
10.9
11.0
11.9
12.1
19.1
128.353
129,322
9,357
9,694
487,805
Secured by U. 8. war
980,186
140,535
1,445
obligations.
Bills rediscounted with F. R.
1,348,277
9,606,115
408,739
170.670
14.7
15.0
7.9
Rati* »f U. 8. war securities and war
paper
to
total
loans and invest¬
rediscounts with
ments, Including
Federal
a
Reserve Bank, per cent..
Exclusive of rediscounts with
Federal Reserve banks.
THE
2406
CHRONICLE
Wall
Railroad
and
Street,
Friday Night,
Miscellaneous
pec. 17 1920.
Stocks.—The
week's
Monday when the transactions totaled nearly 1,400,000
included such
and
shares
well
known
issues
as
American
Locomotive, Am. Sugar Refining, Baldwin Locomotive,
Beth. Steel, U. S. Steel, Republic Iron & Slteel, Cruc. Steel
and
few of the oil and motor stocks.
It is
interesting to
note, however, that the railway list was scarcely touched by
this movement—St. Paul and Mo. Pac. only being repre¬
a
Railroad
Bonds.—No sales of State
reported at the Board this week.
The market for railway and industrial bonds has
again
been unusually active and operations at the
Exchange have
included a large number of issues.
It has behaved itself
somewhat better than last week, however, in that not all
the
bonds
different
exceptions
traded in have declined.
Among the
Reading and Atchison 4s, Bait. & Ohio 43^s,
are
St. Louis & S. F. Series A and
all of which
these few
a
some
of the
lower level.
United
Bonds.—Sales of
States
Government bonds
the Board include only the various
The following sales have occurred this week of shares not
represented in our detailed list on the pages which follow:
Daily Record of Liberty Loan Prices. Dec. 11 Dec. 13 Dec.
First
Sales j
STOCKS.
for
Range since Jan. 1,
Lowest.
Total sales in
Range for Week..
High est.
Highest.
$ per share,
j
$ per share $ per share.
87
Allegheny & Western 100
500
Dec 15
Dec
87
200
87
Dec 15
43% Dec 14
87
American Bank Note. 50
44
Dec 13
39
Feb
48%
Am Brake Sh&F.no par
300
47% Dec 16
48
Dec 15
44
Dec
60
American Radiator...25
1,000
66% Dec 16
81% Dec 17
67% Dec 14
94
Dec 11
66%
81%
Dec
73
Nov
American Snuff
Am Wholesale
Ann
100
700
pref_-100
100
20
90
Dec 14
90
Dec 14
89%
100
25
Dec 14
25
Dec 14
20
May
2
2% Dec 151
Dec 151020 Dec III 950
Aug
Arbor pref.
Assets Realization
10
Atlantic Refilling
100
Preferred
Atlas Tack
100
Corp..no
par
Auftln.Nlcbols&Conopar
Preferred
2% Dec 17
1,900
90 950
400 102 % Dec 13 103 % Dec 11 102%
500 17% Dec 15 18
Dec 11
17%
2,300
10% Dec 17
12
Dec 11
10%
64% Dec 14
66% Dec 13
100
200
Sales
50
1,400
Preferred
60
200
Barnet Leather...no par
Barnsdall class A
25
700
800
300
36
Auto
Class
B...........25
Barrett Co (The)....100
Dec 115%
Aug 95
34
6%
Dec 1570
Dec 114
82
June
Dec 14
23% Dec 16
Dec
93
Jan
Dec 15
36
Dec 11
33
Nov
Dec 16
36
Dec 16
35
June
Mar
Dec
82
Dec 100
Brunswick Terminal. 100
Buffalo Roch& Pitts. 100
1,800
3% Dec 13
4% Dec 13
3%
Dec
8%
Jan
Mar
65
Dec 14
65
Dec 11
50
Calumet & Arizona... 10
Canada Southern
100
1,300
42
Dec 16
43
Dec 15
42
600
Mprref.. 100
300
Jan 240
Nov
40
Doc 16 40% Dec 16
38
80% Dec 16 81
Dec 17
80%
1,600185
Dec 13 192% Dec 16 175
.200
100
500
Cluott, Peabody & Co 100
Preferred
100
1,500
Computing-Tab-Rec. 100
Davison Chemical
no
par
De Beers Cons M.no par
Eastman Kodak
100
Elk Horn Coal pref...50
Chem Cons ctfs dep..
Gen Chem pref...100
69
Jan
62
Jan
Feb
17
Oct
45%
Dec 106
Jan
100
85
Dec 16
85
Dec 16
85
Dec 104
Jan
600
34% Dec 14
25% Dec 16
35
Dec 13
34%
Dec
56
Dec 13
25%
Dec
40
Sept
Dec 11
15
15
Dec 14
17
Dec
Dec 16 510
Dec 535
Aug
Dec 16
35
Dec 16 z.32%
Dec
45
Mar
5%
97%
32%
71
Dec 13
Dec
29
Dec 16
6% Dec 17
98% Dec 13
Dec 14
43
Dec 14
78
3,000
100117
Dec 14 117
5%
Dec 15
97%
32%
Dec 15
71
Dec-
95
Dec 16
50
4
Dec 14
Dec
Mar
Dec 134%
Dec 100
Nov 100
Nov
Dec
Dec
16
95
4%
95
Dec 15
50
Dec
13
45
1.9% Dec 13
20
Dec 13
19
Dec
100
15% Dec 15
15% Dec 15
15
'Nov
20
500
78
Dec 14
82
Dec 13
78
Dec
88
100
00
Dec 14
60
Dec
14
57
200
70
Dec 13
70
Dec 13
70
Preferred
..100
Manhattan Shirt
Marlln-Rock
Martin
v
Oct
71
33%
Nov 60%
(Nov 118
Dec
Jan
Jan
Nov
Dec
Jan
Sept
Aug
Feb
Dec
Jan
200
73
Dec 11
73
Dec 11
73
Nov
91
Apr
700
40
Dec 13
40% Dec 11
40
Dec
95
Apr
97% Dec 13
97% Dec 13
100
93
Sept 102%
July 155%
Sept 100
700 131
Dec 11 131
Dec 11
129%
200
95
Dec 15
95
Dec 15
93%
500
200
10
Dec 17
11
Dec 11
10
Dec
45
52% Dec 15
53
Dec 16
49%
Nov
80%
Feb
Apr
Jan
Mar
Apr
25
300
16
Dec 13
17% Dec 16
16
Nov
33%
Jan
t c.no par
700
12
Dec 13
16
12
Dec
63
Feb
12%
Dec
30%
Jan
18
Dec
33
Parry
no
par
Mathieson Alkali
1,700
12% Dec 16
50
300
100
1,600
preferred
100
Ctfs dep stpd asstd.
800
4
800
3% Dec 11
Maxwell
Dec
78
3
95
Jan
Mar
Dec 192
Doe 14 117
500 117% Dec 13 1225* Dec 17 117%
100 84% Dec 17 84% Dec 17
84%
100 88
Dec 14
88
88
Dec 14
3% Dec 14
Feb 108%
Dec 43
200
Loose-Wiles 1st pref. 100
MalPson (HR)AConopar
Motor
First
18
Dec
13
2% Dec 15
Dec
14
Second pref erred.. 100
200
Ctfs dep stpd asstd.
MStP&SSM leased 100
600
100
55
Mulllns Body.
no par
Nashv Chatt & St L. 100
Nat Anil & Chem.no par
National Biscuit....
300
20% Dec 13
100] 1,000
Preferred
100
Norfolk Southern ...100
Norfolk & West pref. 100
Ohio Body A Blow no par
OtDSteelpref
100
Pacific
Mall SS___
Pacific Oil wi
5
Dec 16
5
Nov
38
Dec
3%
Dec
3% Dec 14
2%
Dec
%
Dec
^0%
Feb
60
Dec
51
1
55
Dec
2%
4
3% Dec 13
Dec 16
Dec 1
16
13% Dec 11
18% Dec 11
2% Dec 13
H Dec 15
45% Dec 14
Dec
13
Dec 16
Dec
16
21% Dec 13
105
Dec
20%
14 100
45% Dec 14
99 % Dec 13 103
50
Dec 14
63%
8
Aug 111%
44
Feb
97
Dec 125
86%
610 106% Dec 14 108
Dec 14 103% July 116
200 13
Dec 13
10
13% Dec 17
Feb 29
200 66
Dec 11 66
Dec 11
64
May 72
1,000 10
Dec 13
10
Dec 15
10
Dec 29%
100 76
Dec 14 76
Dec 14
76
Dec
82
800 15% Dec 16 15%. Dec 13
15% Dec 38%
7,000
Parish A Bingham no par
Penney (J C) pref...100
3
100 105
100
3,200
July
Apr
Jan
Nov
Jan
Dec
Jan
Jan
Jan
Jan
Mar
Jan
June
Nov
Jan
37% Dec 14
12% Dec 17
38 % Dec 17
37%
Dec
39%
Dec
14% Dec 11
12%
Dec
47%
Jan
86
98
86
Dec 14
86
Apr
400
10
Dec 13
10% Dec 14
9
June
700
30
Dec 13
30% Dec 11
30
Dec
68
Mar
100
100
70
Dec 14
70
Dec 14
70
Dec
Mar
Rand Mines Ltd.no par
Reis (Robt) A Co.no par
92%
1,800
21% Dec 13
20
Nov
29
June
First
preferred
100
100
21
Dec 16
200
7
Dec 14
1,400
65
Dec 16
8
Dec
Dec
14
no par
1,700
19% Dec 15
Tex Pacific Land Tr. 100
100 210
Third
900
Avenue Ry___100
Tidewater Oil
100
Rights..
Twin CRT pref
7,700
100
United Cig Stores pf.100
United Drug
Un
Dyewood
WeberAHeilbroner
White Oil
Wilson A Co pref
100
100
13
10 189
100
Dec
11
7
Dec
23
65
Dec
84
Dec
14
Dec
13 210
14% Dec 15
Dec 15 189
19%
9%
Dec 15
190
Dec 11
14% Dec 15
10
77% Dec 16
771% Dec 16
77%
99%
10
700 99% Dec 14 100
Dec 16 98
1,200 x94
100 z48
Dec
15 z48
no par
1,000
24,500
7% Dec 15
14% Dec 17
100
100
79% Dec 15
no par
30
13 210
Dec 14
18%
66% Dec 14
Sears, Roebuck, pref. 100
450 100% Dec 16 102% Dec 13 100%
Seneca Copper...no par 4,200 16% Dec 17
17% Dec 11
14%
Shattuck Arizona
10 1,700
5% Dec 14
5
5% Dec 14
Southern Pacific rights.. 106,290 22% Dec 13
23% Dec 17
20%
So Porto Rico Sugar. 100
500 70
Dec 17 96% Dec 13
70
Standard Milling
100
200 104
Dec 17 105
Dec 15 104
Submarine Boat_.no par 9,400
8% Dec 17
9% Dec 11
8%
Temtor C A FPcl A
Dec 14
Dec
11 z94
Dec
15 z48
8% Dec 13
17% Dec 15
79% Dec 15
7%
14%
79%
Dec 119%
Oct
23%
May
Apr
Apr
Apr
Mar
Nov
Nov
12%
Jan
Dec
24%
Dec
Dec310
Apr
Dec;160
Apr
Dec
14
Oct
Dec;
47
Apr
Dec|420
Aug
22%
May 229
Apr
Oct
Mar
Dec
16
For transactions on
bonds of
(Fourth 4%s)
169
■■'mm
New York,
Dec
80
June
Dec 111%
Jan
Dec 148
Jan
275
94.00
94.00
94.00
94.00
94.00
94.00
94.00
94.00
'
*•
.«*«»«»
m
mm m
94.00
9
10
85.30
85.40
85.12
85.24
85A2
85.06
85.10
84.94
85.12
85.02
85.20
84.94
85.20
85.00
-
mm.
mm
mm
m
m
85.18
1
85.10
27
12
11
85.44
85.34
85.30
85.40
85.60
85.20
Low
85.10
85.12
85.08
85.16
85.10
84.90
85.20
30
67
85.20
85.36
85.14
85.00
1,912
2,651
2,995
1,768
4,268
3,671
88.00
88.50
88.90
88.04
87.84
87.72
87.78
87.76
87.42
87.88
87.90
87.78
87.50
1,972
2,709
85.96
85.96
85.92
85.70
84.84
85.62
85.64
85.26
85.90
85.78
87.90
87.88
Close
88.00
87.98
1,134
1,539
2,919
High
85.96
85.98
Low
85.82
85.64
j
;
85.32
mm
High
Low
1933-38
85.20
88.08
Close
"«•
85.12
1,880
( Close
Total sales In $1,000 units.
85.94
1,988
5,324
6,387
3,871
1,833
6,538
95.42
95.36
95.88
95.20
95.10
95.04
95.30
95.10 > 95.10
95.00
95.00
94.98
95.34
95.20
95.12
95.00
95.02
1,125
1,549
1,601
2,130
1,965
1,452
95.42
95.30
95.20
95.12
95.08
95.02
95.30
95.10
95.10
94.98
94.98
Close
95.32
95.14
95.16
95.00
95.00
95.00
1,163
1,270
1,605
3,502
1,906
2,204
_
j
Total sales In $1,000 units.
m.mm
mm
85.98
85.82
85.50
95.00
94.92
Foreign Exchange.—The market for sterling exchange
and strong, with substantial advances in
price levels.
Continental exchange for the most part
followed the lead of sterling, though the improvement was
less pronounced.
has ruled active
To-day's
(Friday's)
actual
for
rates
sterling
3 43 %@
Paris Bankers' Francs—
High for the week (in cents per franc)
Low for the week (in cents per franc)
Germany Bankers' Marks—
High for the week.
6.02%
.5.71%
....
Low for the week.
.
....
___
6.11 %
6.12
5.79%
5.80
1.41%
1.30%
1.42%
1.31%
Amsterdam Bankers' Guilders—
High for the week..______
31.20
Low for the week
29 15-16
31.65
30%
31.75
30%
Domestic Exchange.—Chicago, par.
St. Louis, 15@25c. per $1,000
discount.
Boston, par.
San Francisco,
par.
Montreal, $186.25 per
$1,000
premium.
Outside
Cincinnati,
par.
Market.—Heavy liquidation at the beginning of
the week forced prices down and new low levels were reached
some instances.
A better tone developed subsequently
but prices did not materially improve.
Oil stocks were the
in
principal features.
Carib Syndicate sank from 9 to 7% and
sold finally at 7%.
Gilliland Oil Com. lost a point to 17.
Guffey-Gillespie Oil Com. after early loss from 26% to 25H
recovered to 26]% and closed
to-day at 26.
Internat.
Petroleum sold down from 16 to 15 and up to 16%, the final
figure to-day being 16%.
Maracaibo Oil at first receded
from 14 to 12%, but recovered to 13342.
Merritt Oil lost a
point to 11 and ended the week at 11^.
Ryan Cons'd
declined from 13 to 11 and sold finally ar 1124Salt Creek
Producers dropped from 28% to 26 and closed to-day at 26 %.
Industrials were without feature and business was small.
Mercer Motor sold off from 5% to 1 and closed to-day at 13^.
Wm. Farrell & Son Com. lost five points to 11, the final
transaction
the Com.
being at 12.
Willys Corp. issues were weak,
losing a point to 9 while 1st pref. dropped from
25>2 to 19.
The New Standard Oil (Calif.) 7% bonds were
traded in for the first time down 100 % to 99% and lat 99 %
Mar
finally.
Nov
first time in
11
were
days) 3 41% @3 44%.
Cotton for payment 3 49% @3 52% and grain for
payment 3 49 % @3 52 %.
To-day's (Friday's) actual rates for Paris bankers' francs were 5.95@
6.02% for long and [email protected]% for short.
German bankers' marks are
not yet quoted for long and short bills.
Amsterdam bankers' guilders
were [email protected] for
long and 31.20(2)31.55 for short.
Exchange at Paris on London, 58.05 francs; week's range, 58.05 francs
high and 59.40 francs low.
*
The range for foreign exchange for the week follows: v
v
Cables.
Sterling, Actual—
Sixty Days.
Cheques.
High for the week
3 46%
3 54%
3 53%
Low for the week..
i
3 37%
3 45%
3 44%
Dec! 57%
Dec! 25%
Decl 98%
exchange
3 46% for sixty days, 3 50% @3 53% for cheques and 3 51% @3 4% for
cables.
Commercial on banks sight 3 49% @3 52%, sixty days 8 41 %(§>
3 44%, ninety days 3 39% @3 42% and documents for payment (sixty
Dec
Oct
Jan
Boston, Philadelphia and Baltimore exchanges
page 2402.
.
mm mm
mmm'rn
mm
mm mm
Victory Liberty Loan
High
4%% notes of 1922-23
j Low
(Victory 4 %s)
( Close
Total sales In $1,000 unlts.
3%% notes of 1922-23
High
Low
(Victory 3 %s)
Dec
TRANSACTIONS AT THE NEW YORK STOCK EXCHANGE,
DAILY, WEEKLY AND YEARLY.
see
4%%
Jan
100
no
Preferred
394
July
par
Peoria A Eastern
Phillips Jones
124
36% May
Dec 17 515%
35
par
K C Ft S & M pref..100
Kayser (Julius) A Co 100
Kelly Springf 6% pf.100
Kelsey Wheel Inc...100
Kresge (S S) pref.... 100
Liggett & Myers cl B. 100
77
-
j
Jan
28
Indian Refining
10
Internat Nickel pref. 100
Hydraulic Steel..no
160
m'm
1
(Third 4%s)
Dec
May
General Cigar pref... 100
General Electric rights.. 37,668
Havana ElRy&Lt._ 100
70
Homestake Mining.. 100
600
85.80
86.30
6
4% % bonds of 1928
Mar
42
Dec 101
6
36 510
41
Dec
Aug
40
100
86.12
High
Total sales in $1,000 unitsFourth Liberty Loan
Dec
Dec 13
1,200
100 1,000
100 60,300
Preferred...
100
General Chemical... 100
Dec 13
65
9% Dec 15
49
~
Dec 14
Emerson-Brantlng... 100
Fisher Body pref
General Asphalt
40
Jan
8% Dec 13
45% Dec 16
1,300
5,700
86.12
'
Total sales in $1,000 unitsThird Liberty Loan
118% May
1,000
Chicago & Alton
85.70
86.08
Close
j
43% May
39
100
86.12
86.28
Low
23
Dec 14
86". 10
86.20
86.00
86.28
-
4% bonds of 1927-42
(Second 4 s)
36
Dec 13 100
1
High
Converted 4%% bonds of i
1927-42 (Second 4%s)
Dec 13
86.02
86.00
Total sales in $1,000 units.
39
mmmm
86.20
Close
Jan
82
no par
4%s)
Jan
Dec 14
Certain-Teed Prod
Second
19%
Dec 13 100
mm
— m
86.12
Total sales In $1,000 unlts.
30%
Dec 13
mm
5
Second Liberty Loan
Dec
39
^
'
Dec
82
■
85.26
Lew
9%
100 100
■.
86.02
mm
mmmm
High
64%
2%
100
1,336
-
86,28
(First
Dec 13
100
89.96
1,662
86.28
4% %
1932-47
Dec 13
50%
89.82
89.90
Low
3
23
89.84
90.10
2,861
r
High
10
100104% Dec 13 108% Dec 11 102
Central RR of N J
Converted
bonds of
May
100
Case Thresh
Second
Feb
Dec
mm
Close
Total sales in $1,000 units..'mm
Mar
24
V 89.90
'
bonds of
Dec 14
2% Dec 14
10
100
Preferred
Low
17
90.00
Close
Sept
Apr
Nov
86.02
16 Dec.
90.14
1,711
1932-47 (First 4%s)
Apr
22%
89.90
90.08
1,413
!
Jan
100
Preferred
4% %
89.90
90.02
439
mmmm
15 Dec.
90.40
90.02
High
.
Converted
14 Dec.
90.10
90.00
mmmrnrn*
of
Total sales in $1,000 units.
Apr
Nov 154% June
Nov 111%
Jan
Brown Shoe Inc
bonds
Dec
Dec
Dec
4%
1932-47 (First 4s)
July
90.08
Low
81,000 units
'
Converted
$ per share.
90.16
at
Liberty Loan issues.
Close
(First 3%s)
Lowest.
Par. Shares
High
Liberty Loan
3%% bonus of 1932-47...
j——
Week.
industrial issues
fractionally higher than last week.
With
exceptions the tendency of prices has been towards
are
sented.
Week ending Dec. 17.
bonds
have been
record again shows a long list of active stocks which have
made new low record prices for the year.
This occurred
on
and
State
%<x\xhzxs7 (Sai^ette.
[Vol. 111.
Standard
Oil of N. Y. 7s also appeared for the
to-day's market and eased off from 100to 100.
N. Y. N. H. & Hart. 4s were down some 15 points to 50
at the
beginning of the week but recovered late to 62 and
closed to-day at 60.
A complete record of "curb" market transactions for the
week will be found
on
page
2416.
New York Stock
OCCUPYING THREE PAGES
during the week of stocks usually inactive, see preceding page.
For record of sales
PJ£K
Sates
HIOH AND LOW SALS PRICK—PER SHARE, NOT PER CENT.
Dec.
Monday
11
Dec.
9 per share
$ per share
80%
813g
7834
75
74%
534
75
6
6i4
78%
85
85
83
84
33%
34%
31
33%
48
48
45
48
9%
10
9%
6%
6%
112% 113%
57%
59
734
734
5
10
6%
6%
111% 112%
5534
57%
80% "81%
74%
74%
81%
74%
584
5%
84% 85
30% 33
4634 48
9% 10%
6%
6%
111% 113
55% 57%
6%
6%
5
7%
18
18
17
18
17
28
29%
4634
25%
25%
38
27%
41%
69
70%
42
70%
71%
108% 108%
107% 107%
75%
74%
74%
534
5%
5%
5%
9%
10
9%
6%
6%
112% 113%
6%
7
112%
6%
46%
9%
56%
38%
68%
5
107
107
7%
17
27
40%
268%
♦102
85
86
85
32
32%
47%
32
47
112
10
6%
112% 112%
2,400 Atlantic Coast Line RR
7%
17%
26%
42%
71%
108
17
39
40%
67%
102% 102%
51,200
23,600
800
"46"
215
218
1
1
1%
1%
3%
%
134
1%
2
3%
%
1%
%
1%
13%
12
12%
11%
13
12%
13%
12%
18%
19
17%
19
18%
19%
13%
18%
13%
%
%
1%
12%
71%
13
12%
13%
74%
13%
77
13%
74
72
74%
73%
74%
72%
25%
26%
25
25%
25%
25%
25%
26%
26
11
0
23
21%
84%
21%
84%
3%
86
3%
8%
19
45
45%
84%
14
14
26
26%
48%
49
100
100%
48
49%
11%
33s
8%
85%
3%
3%
9
9%
9%
18
3%
5
18%
38
39%
3%
*4%
5%
5%
70
71%
3%
10
.18%
43%
9%
21%
21%
84%
3%
10%
83%
3%
18%
19
43%
43%
10
13
18%
73%
26%
9%
72%
26
9,
9%
21%
84%
21%
82%
21%
84
3%
3%
4
10
10
18
18%
43%
44%
12
18%
*42%
*10%
18%
46
14
*11%
24
*19%
25
•22%
18%
16%
4334
11%
45
40%
13%
11
11%
12
24%
48%
25
23%
23%
24
52%
50
55%
53%
53%
53
54%
99
99%
99
99%
99%
99%
98
99%
49%
43
45%
47
49
47%
48%
46%
11
10%
11
10%
10%
11
68%
4%
11%
Dec
18%
Dec
91% Nov 5
75%
41% Marl9
17% Oct 4
31%
Iron
17
18%
16%
36%
39
37%
5
5
58
58
70
68%
4%
par
3%
"68%
70%
69"
69
53%
*51
64
*50
65
*60
67
♦57
65
*58
65
*58
62
*58
32
3034
73
,
85%
53%
56
55%
57%
1834
"23"
36
6%
17
17
93%
97
95%
74%
78
40%
77
40
76%
40%
39%
40%
75%
39%
40
39%
40
15
16
17%
16
17%
16%
16%
16%
55%
55%
55%
40
40
40
37
55%
37%
31%
30
32
30
37%
30%
16%
55%
37%
28
30%
30
.
15%
30%
•
31%
55%
31
Feb 13
Junel8
8%
65%
Oct
900 New Orl Tex A Mex v t C..100
Do
Do
Nat
54
4,400
,54%
56%
56
58%
6,700
24
21%
24%
~23%
36%
33
22%
35%
24""
32
35%
36%
36%
35%
36
35
6
6%
6%
6%
11%
11%
"ii%
11%
21
17%
17
17%
38
38%
18
36%
18%
57%
17%
57%
17%
36%
36%
36
40
9%
19%
7%
7%
20%
7%
64%
9%
9%
20
64%
65
64%
65
*9%
10
9%
10
20
64
10
20%
20%
7%
22%
20
15
13%
13%
*13%
10
10
10%
10
15%
16%
27
28
24
25%
"24%
69
68%
69
9%
68%
9
9
27%
68%
9%
15
16%
15%
16%
33
33
32
26%
15%
15%
49%
26%
49%
49%
30
15%
14
49%
•26
15%
49%
27%
24%
1
1
1%
48
55%
26%
15%
26%
15%
49
45
46
27
26
27
1
1
"27%
26%
28
1
1
%
1
1%
1%
1
1
%
1%
46%
47%
1%
1%
47%
47
48%
86%
85
87
"54"
29%
56%
29
30
71
28%
71
71
55%
79%
45%
57%
55%
50
75
59%
57
58
255%
57
r~~7h *7%
122
7%
7
24%
22%
79%
78
78%
122% 126% 2121% 123%
108% 108% 2106% 106%
17%
16%
16%
17%
*60%
7%
122
115
8
7
7%
*70
-
25
79
80
*115
83
*79
23
24%
22%
273
7%
115
7%
7%
120
6%
"7"
115
43%
41%
43%
42%
40%
40%
39
40%
39
39
39%
40%
35%
39%
36
38%
39
40
*50
'
•9
*9
9%
54%
53%
9%
53%
37%
38%
36%
9%
9%
54%
53
53%
8~1%
*99% 105
*101
*
z79%
9%
9
"79%
Bid and asked prices; no
82"
*99% 101
9
8%
80
38%
*70
75
—
56%
*77
49
m
70
55%
46%
75
55%
22%
23%
75%
56%
23%
73
—
9
82
*100
"7%
75
12
% 1221?
107
16%
82%
101
8%
sales on this day.
9
"7"
*111
116
41%
6%
36%
40
39
6%
56
107%
17%
9%
36"
81%
100% 101%
I Ex-rights,
9
38%
39%
9%
51%
9%
53
8%
6%
37%
9%
52%
*81
"81"
"7%
120
.
37%
90
*80
84"
70
79%
6%
7%
43%
53
"
120% 122
107% 107%
17%
17%
120
7%
42%
9%
30
67
8%
44%
55%
"29%
30"
71
49
83
47%
56
*70
*79
47
3,000
7,300
Feb
55
Dec
37
Dec 16
21%
Febll
16% Nov
*
67%
66% Aug 10
39% Dec
12% Jan
Mar
Febll
103
Nov 3
32% Mar 9
61
Octl6
33
33% Mar 9
65%
33% Dec
Feb 13
33%
23%
Janl4
48%
Octl6
Oct 4
Oct 2
11
Febll
40
Sept27
10% Dec
64%
15%
6
July
July
88%
Feb 13
12
Dec
91%
20%
52%
27%
29%
Nov
18
Febl4
Feb13
17
Octll
47
Mar22
27% June23
43
Oct22
Feb13
61% May24
110
7% Augl2
Aug 9
7
May20
19% Dec 14
Decl3
8%
Feb 13
129% Nov 4
54%
Dec
Dec
Jan
Dec
119% Aug
63
Jan 3
15
13
Oct25
Oct 4
34%
23%
Oct 5
Oct 8
20% Dec
Oct23
15% Sept30
40
Feb 5
20%
Dec
32%
OctlS
Sept27
78
Nov 9
July30
Dec
6%
69%
15%
Feb 13
11
Dec
23
50
13
Jan
20
Oct22
Oct 4
Oct 4
118% Nov 4
33% Oct 5
66% Oct 5
1
14
Dec
10%
20%
1
10
73% Dec
49%
11%
20% May24
......100
pref
25% Dec
27%
7%
7%
14
9%
Dec
Jan
Jan
Dec
Dec
Apr
16
Dec
17
Feb
52%
Feb
9
June23
16
Oct
May 20
28
Oct 5
17
Jan
100
200 Wisconsin Central.,
Industrial & Miscellaneous
25
MaylS
48
Oct 2
25
Dec
-100
100
Do
pref
100
AJax Rubber Inc
...
50
Alaska Gold Mines
10
Alaska Juneau Gold Mln'g. 10
25
Apr 1
29% Apr
1,200 Adams
2,200
1,6.50
4,000
5,400
13,200
15,400
Express
Advance Rumely
Allied Cbem A Dye
no par
100
100
100
Amer Agricultural Cbem..100
Do
pref
100
American Beet Sugar
100
Do
pref
100
Amer Bosch Magneto..No par
American Can
...100
Do
pref
100
American Car A Foundry.. 100
Do
pref
6,400 Allis-Chalmers Mfg
Do
pref
800
11,900
600
10,400
100
7.800
18,800
3,000
18,500
900
pref
100
8,500 American Cotton Oil...... 100
Do
100
pref
—
100
5,000 Amer Druggists Synd cate. 10
Do
100
100
Do
pref
100
10,100
100
1,300 American Ice
Do
pref
100
3i",6o6 Amer International Corp.-100
10
1,300 Am La France FE
100
3,900 American Linseed
700 American Express
3,900 American Hide A Leather.
100
American Locomotive
100
Do
pref
100
American Safety Rasor— 25
Do
82
14,400
100% 100%
400
8%
10.200
8%
Decl3
15
81%
81
Do
600
15%
16
100
Western Pacific..
8,300 Wheeling A Lake Erie Ry.100
Do
pref......
...100
1,100
900
"29"
75%
64
26%
1%
49%
64
15%
1
-
17%
35
28
75%
16%
*30
15%
*43%
47
17%
17
*26
50
114
17
15%
80
80
9%
26
50
22%
69
15%
*75
122% 124
26%
69
9%
17%
26
51
24%
79%
80%
124% 125%
26
69%
15%
80
56%
27~"
9%
—
♦70
60%
24%
1,900
15,500
15%
36
56%
80
10
*33
55%
•79%
50%
80%
13%
14%
«.
17
50
15,300
16,200
17
«
1,600
2,200
20
26%
69%
17%
1,200
44,100
4,500
10
"
■
100
..100
100
Twin City Rapid Transit.. 100
Union Pacific..j
100
Do
pref...
100
United Railways Invest... 100
Do
pref....
100
Wabash
100
Do
pref A
100
Do
pref B
100
Western Maryland (n«tc)._ 100
Do
2d pref
100
49,300 Southern Railway
Do
pref..
3,600
18,200 Texas A Pacific
19%
13%
26%
25%
1%
29%
*71%
58
82%
8
20
•»
"9% "9%
44%
86%
1
71
9%
1%
45
28%
*13
10%
32
26%
9%
114% 115%
65
64%
9%
8%
*19% 20%
7%
7%
14%
10%
7%
7%
7%
27
15%
20%
20%
19%
7%
19%
19%
69
9
Dec
97%
26
"83%
Dec
75
20%
17%
♦9
Apr
24
57
15
53%
39
98
18%
44
56
20%
17
8%
Feb27
Oct 4
39% Oct 2
84% Sept26
96%
20%
56%
"l3"
•115
68
58
14%
1034
17%
8
t c
99%
21%
15%
Nov
Deo
57
115
40
Feb19
97%
41
Oct 15
32
20%
117
70
Dec 13
57
115
41% May 4
15
21%
*35%
66% Dec
23% Sept
60% Deo
50
98%
116
OctlS
Dec
19%
112
Octl9
73%
77
67
113% 115%
63%
64%
65
95
95%
17%
z36%
Febl3
Aprl3
50
Oct 7
7
17%
23%
95% Nov 5
57
18
11%
84% Nov 5
44
98%
20%
6%
Feb 13
105% Nov20
56%
20%
32
7,500
4
Oct29
64%
66% Junel2
94%,
19%
|
17
9%
15%
32,400
2,500
Jan
37% May24
Do
pref
.......-.100
5,850
100
2,600 Seaboard Air Line..
Do
pref..
100
1,000
11%
100
98% '42,800 Southern Pacific Co
6%
;
14%
•108
v
Feb
8%
84% Junel6
35%
6%
pref
4%
22% Nov
37% Dec
4% Dec
28% Apr
37% Sept23
27% Oct 4
100
100
100
Reading
50
Do
1st pref
50
Do
2d pref
60
St Louis-San Fran tr ctfs.. 100
Preferred A trust ctfs...100
St Louis Southwestern
100
Do
Dec
6
100
18,500 Pittsburgh A West Va._
Do
pref..
300
59%
10
60
700
4%
Jan
Dec
90
.100
100
100
9,800 Pere Marquette v t c..—>100
Do
500
prior pref v t 0
100
56%
2134
1
16,800 Norfolk A Western...
64,200 Northern Pacific
39,514 Pennsylvania
54%
21
46%
97,000 NYNHA Hartford
7,600 N Y Ontario A Western
55
23%
10
1
preferred.
Second preferred
71%
83% 123,000
2~4~"
100
100
First
82
20%
pref trust ctfs
..100
33,500 New York Central
2,300 N Y Chicago A St Louis... 100
53
19%
64
27
pref....
Dec
19%
70
Oct 4
53
25%
9
37%
6
Febll
82%
31
Nov
95
36
53
21%
90%
.100
Rys of Mex 2d pref.. 100
81%
30
Febl3
Feb28
53%
24%
104% Aug
21
Feb21
85%
20
Jan 5
Oct22
Oct 6
Oct 4
112%
65%
Febl9
Missouri Kansas A Texas. 100
Deo
40% Dec
18
51
30
10
49%
pref....
Feb
Dec
Nov
40
56% Nov 3
38% July 2
9
Febl3
63
7
13
Dec
13
11
82
18%
24%
40
3% Mar
10
31%
54%
28
Febl3
Febll
85% Dec
Decl3
84%
18%
5212
Dec
Dec 14
73
20
May 19
30
Dec
52
71%
27%
Oct 2
Oct 4
Oct22
Nov 4
Oct 4
Oct 4
Opt 4
3%
80%
77
17%
8%
Jan
Sept
3
73
*73
6%
Decll
13% May 5
16
Dec
7
16%
83%
77
97%
Aug 4
40
13% Dec
........100
52
*73
Feb 13
3
80% June23
51%
"§0%
28
64
15%
'
17%
11634
9%
77%
27%
22%
39
7%
96%
76%
97
77%
17
95
20
115
20%
16%
97%
16%
57%
19%
21%
58
19%
3984
18
16%
60%
20%
98% 100%
2034
57%
15%
96%
17%
98
78%
17%
17
17
73
83%
16%
80%
100
66
16%
16%
17%
17
16%
16%
35%
8%
5% Apr
Oct 6
Decl6
39% May24
94
Aug 9
68
•60
24
50
39,300 Lehigh Valley
100
3,100 Louisville A Nashville
3,643 Manhattan Ry guar......100
100
4,597 Mlnneap A St L (new)
100
300 Minn St P A S S Marie
7,300
5
58%
68
68
40
100
...100
19,400
52%
55%
100
100
100
17%
58
58
Jan
7
100
37%
5
4%
4%
57%
39%
properties-No par
17
60
16%
Ore
36
17%
38%
55
1534
65% Junel2
25
Decl3
37,800 Missouri Pacific trust ctfs.100
68
40%
100
9,000 Illinois Central
10,500 Interboro Cons Corp..No
Do
pref
6,800
11,400 Kansas City Southern
Do
pref..
2,700
2,700
38
73%
17%May20
12% Feb 9
21%
11",000
•52
17%
....100
100
1,000 Gulf Mob <fe Nor tr ctfs—100
500
Do
Pref
100
3%
*60
9734
79*4
40%
1st pref
2d pref
Do
21,900
4%
54%
171
% Nov22
12%
4%
68
75%
172% Mar
3% Apr
6% Feb
2% Deo
Oct 2
3
♦58
9534
260% Septl5
9
Jan 3
Oct 2
4%
18
17%
91% Dec
21% Sept20
30% Oct 2
22% Sept20
3%
38%
15%
16%
93%
Feb
2
Oct
108
Feb 13
3
68
18%
45
9%
4
*60
17
Dec
Decl4
100
5
53
Dec
48
46
Feb24
3%
68
19
54
Oct2l
Oct 8
36%
Dec
8
3
16%
55%
Sept
12%
4%
36
69"
Feb
63
Dec
88
16%
3%
18
53%
32
Dec 9
4%
68
54
57
% Nov23
MaylO
pref
Do
37%
*67%
54
98%
47
10%
♦60
52%
Oct 4
Mar30
Sept28
5%
3%
5%
50
.
1684
5
Dec
55% Aug
3
3
4%
Jan
68
100
100
1,000 Lake Erie A Western
Do
pref.. .....
800
68%
"3%
3
22%
Octl9
35
100
38,800 Great Northern pref
14
98
42%
11%
8
Oct 5
Oct 4
100
25,200 Erie
Do
16,200
—
53%
10%
100
Dec
pref
Do
13,700
4,000
14
*13
10%
1634
59
59
9%
21%
84%
9%
71
11%
1%
12%
18%
26%
Q
3%
8%
18%
Augll
83% June29
165
FeblO
100
2,100 Denver <fe Rio Grande
1
1%
13%
19
13%
74
86
July 6
100
2d pref
Do
20
♦8%
46
1st pref
Do
Deo
34%
100 Dulutb 9 S A Atlantic
19%
*21
Febll
..
%
1%
1234
13
20
300 Delaware Lack & Western.
220% 220% *215
218
215
V,
1%
Dec
Dec
3% Dec
7% Jan
Mar
100
1,600 Colorado A Southern
3,200 Delaware A Hudson
95%
94
116
Deel7
26%
97
June28
98
61%
pref
Do
95
Nov
100
pref...
Do
100
9634
85
62
Do
46"
95%
Dec
91% MarlO
120
Jan 6
Dec 17
95
100 Chic St P M & Omaha
27
65%
72%
26%
25
48%
Decl3
Decl7
26
25
21
Decl3
38
Nov29
26
64
33% Oct
44% Nov
65
Oct 5
Decl3
25%
June26
300
64
17
89
62
*34%
3
Febl3
36
61%
64%
44
7
58
70
64%
44
98%
51% Deo
100
100
*62
58
Dec
8ept27
17% Sept27
14% Oct
15
4% Jan 10
300 Clev Cln Chic A St Louis.. 100
36
5734
Dec
5
70% Nov 5
Do
pref trust rects
Chicago Great Western
100
Do pref........100
Chicago Milw & St Paul... 100
Do pref
....100
Chicago <fc Northwestern..100
Do pref—100
Chic Rock Isl A Pac
190
7% preferred
100
6% preferred
100
Feb 11
36
55%
10
126% Dec
54
42
58%
Marl5
84%
71%
4,600
58
Octl5
17
Mar
13% Marl5
134
Jan 3
41
57
72
60%
6
87% Deo
28% Dec
38% Dec
5% Septl4
110
May20
Febl3
56%
70%
68%
58%
Highest
80% Dec
76% fDec
3
54
40% June28
9% Aug31
Febl3
8,200
26%
67%
97%
x82% Junel8
27% Feb 13
64
49,400
66%
25%
67%
25%
64
Jan
12% 6ept27
104% Oct 5
49% Oct 15
23%
25%
23%
98%
82
Febl3
6,500
46,700
65%
1919
\
9 per share s
90% Nov 5
Apr 21
Feb 17
4,400
Lowest
S per share
May20
5
4
65%
25%
6
9734
72
47
24%
2334
26
$ per share |
76
Feb 11,
100
2,400
8
17%
27%
26%
734
17%
27%
39%
41%
67% 68%
102% 103
24% 25%
66
6734
57
57%
68
27
.100
17,500 Chesapeake «fc Ohio
5"
*7%
Year
Highest
700 Chic A East Illinois trust rects
27
27
Par
54,950 Baltimore A Ohio
100
3,500
Do Pref
.-..100
6,500 Brooklyn Rapid Transit... 100
2,700
Certificates of deposit..
27,500 Canadian Pacific
100
56%
55%
"5"
"5
"5"
26
60
Railroads.
40,100 Atch Topeka A Santa Fe_.100
3,500
Do
pref
100
3,600 Atlanta Birm & Atlantic.,100
85%
32%
47%
47%
57%
56%
57%
6%
5%
7%
17%
28%
6
7%
17%
28
41
71%
7%
7%
74%
5%
5
7%
7%
75
6
85
33%
47%
10%
5%
84%
32%
Lowest
Shares
$ per share
79
80
$ per share
79%
80%
SMARM
Range for Presume
On basis of 100-share lots
Week
17
Dec.
PER
SMAtttS
Range since Jan. 1.
YORK STOCK
EXCHANGE
the
Friday
Thursday
Dec. 16
8 per share
S per share
80
75
*5%
Wednesday
Dec. 15
Tuesday
Dec. 14
13
8TOCKS
-
NEW
for
Saturday
2407
Exchange—Stock Record, Daily, Weekly and Yearly
'■■■
"
| Lees than 100 abaree.
pref.
• Bx-d«*.
and rights
4
Febll
42%
14
Dec 2
46% Mar29
45
Decl7
72
24%
Decl3
88*4 Jan 5
2% Mar24
1
Aug
9
Augll
44% Decl4
85
Dec 15
1
28
69
51
92% Nov 9
Jan
Jan
95
Jan28
87
Sept
96%
Janl6
x92
Dec
103%
Aprl6
62
Jan
Oct28
Decl6
3
5
84%
Jan
2
84% May
61%
Jan
3
42%
3
Jan
Apr 9
Feb 4
16%
Decl7
54%
61
Aug26
86
9
95
Feb 6
6%
36%
Dec 17
Decl7
AuglO
Jan
Jan
93
116%
Dec
81%
128%
147%
35%
30
Jan 3
6
Dec
101
53
Jan
1% Dec
1% Jan
53%
118% Nov 19
37
Jan
66
62% Septl7
105% July 7
7
Jan
66%
92
55% Dec 17
22% Nov20
*73
Mar31
21
Aug 9
Novl9
7tf% Decl6
38% Decl7
75
3
Janl2
7% Mar
15%
175
30%
122
Jan
3
Mar26
298
84%
113
Jan
Feb
Dec
Feb
JaD
39%
Jan
88
Jan
Jan 14
10% Nov
Mar 31
76% Sept
Jan
3
Jan
3
63% MarlO
13%
Jan
71%
Jan
37% Aug
Feb13
68
Jan 2
54%
Jan
Deel3
120%
Jan 3
62%
Feb
Novl6
14%
Jan22
Apr 7
Jan27
"44%
Mar
85
Mar
58
Jan
100
Jan
9
51
Nov20
80
Aug 3
*79% Decl3
96% June 1
8% Deel6
• E* dividend
95
99%
109%
107
Apr 8
Mar 9
17% JunelC
• Full paid
New York Stock Record—Continued—Page 2
2408
for record of sales during the week of stocks
usually inactive,
preceding page.
see
TER
LOW
AND
SALE PRICE—PER
SHARE,
NOT PER
Saturday
Monday
Tuesday
Wednesday
Dec. 13
Dec. 14
Dec. 15
Dec. 16
$ per share
% per share
$ per share
% per
% per share
9%
9%
•70%
share
9%
9%
8%
8%
69%
42%
84%
40
69%
42%
84%
81%
82%
81%
82
83
32
32%
31
32
30%
32
x28
83
83
69
69
39
41%
.
i
"83%
84
88
100%
100
100
70%
68
69%
85
79
81
98%
97%
98
70
*80%
98
110% 112
87%
88%
107% 110
64%
61%
114
114
88%
88%
110% 110%
66%
162%
107% 110%
66%
62%
93
34%
6%
6%
92%
33%
6%
6%
20%
52
52
42
10
10%
20%
20
..mrnm'm
mm'
"
mm
"9%
88%
85
85%
54
*98
18%
mm
m
53
m
101% 101%
100
4
Decl3
100%
14,500
Nov20
50
80
81%
85
87
"80%
115
88
63%
90
34
6%
31
37%
9
14
4
50
800
7
8
2,600
53%
87
89%
95%
*98
103
95
*85
52
51
80
81%
81%
4%
10%
8%
83%
5
4%
9
4%
10%
10%
8%
14
9%
81%
4%
10%
8%
13%
61%
23%
68
5
10%
9%
14
13%
14
61%
61
62
21
26%
62%
23%
25%
67%
68
67%
7%
68
13
63
•
7%
-
-
.
.
.
.
"37%
38"
6%
36%
6%
37%
36
36%
36%
37%
*88
91
88
89
87
87%
87
87%
26%
25%
26
25%
27
27
74%
72%
73%
72%
74%
67
63
63
63
8%
8%
18%
8%
18%
65%
8%
25%
73%
62%
18%
20%
18%
20%
55
20
21
20%
28
28%
26
26
18%
20%
25%
55%
55%
53%
10%
54%
53%
11
11%
63%
■
mmmm
m
»
-
«.
11
10
63%
63%
26%
10%
63%
.
8%
18%
20%
27%
54%
10%
63
*53
55
*53%
56
*53
55
*74
76
*73
75
*73
75
79
78
79%
6%
6%
'mm
....
60
77%
6%
18%
77%
6%
19%
6%
60
mm
60
78%
61%
18%
60
*98
5%
6
5%
64
5%
65%
63%
98%
99
98
29%
86%
30
89%
85
85%
28%
81%
84%
20%
21%
66%
28%
5%
65
66%
98%
29%
*96
19
60%
100
*72
77%
5%
20%
'mm
29%
27%
28%
82
79%
83
116,600
82
82
83
800
20
17%
19
20%
18%
66%
66%
*64%
65
54
61%
26%
26%
10%
15%
27%
60%
26%
64%
26%
26%
26%
27
10%
10
10
10%
10%
16
15%
15%
52%
15
15
119
119%
118% 119
49
14%
61%
61%
66%
13%
60%
61%
71
70%
61%
70%
60
71%
61%
71%
60
71%
69%
70%
39
40
38
39%
35%
37
33%
♦77
78%
76%
77
75
75
*18
20
18
18
*18
11
11
20%
66%
14
19*
20%
18%
18%
18%
18%
20"
"19"
32%
14%
32%
54%
14%
77%
9%
14%
15
79%
82
,10%
9%
10
6%
6%
95
94%
101
.......
48%
50%
29%
29
71
4%
3%
9%
84
45%
11%
48%
*29
1
95%
100
9%
6%
30
*10
46%
95%
101
10
6%
30%
18
46%
96%
101
18
6
30%
30
30
47%
49%
71%
22%
31%
21%
22%
71%
21%
31%
31
...
.
—
-
9
.
.
5
....
4%
3%
9
5
49%
71
71
21%
22%
30%
4%
31%
4
....
9
5
....
.....
20%
30%
4%
3%
8%
16%
16%
9%
16%
16%
16%
16
35%
37%
35
36%
16%
36%
16%
38
38
35%
*84
90
89
84
84
80
82
17%
7%
16%
17%
16%
17%
8
7
17%
17%
5%
6%
*84
17
*75
12%
48%
48%
49
71
'
30%
5
4%
3%
3%
8%
16%
36%
51%
51
50%
51%
49%
41%
40
41
41
41%
41
16
16%
16%
16%
17%
17%
16%
17%
59
100
9734 June22
Continental Candy Corp No par
Products Refining. .100
Corn
Do
pref
Cosden & Co..
No par
Sugar
Dome Mines, Ltd
Elk Horn Coal Corp
10
50
Endlcott-Johnson
Do
50
pref
100
Famous Players Lasky No par
Do
preferred (8%)
100
Federal Mining & Smelting 100
Nov20
80
89%
50%
Aug25
56
69
75
Nov
July
July
Nov
July
Oct
Oct
Oct
75%
95%
54
x78
93% Mar22
20% Jan 5
7834
5%
98
Apr26
Apr 9
30%
65%
10234
Jan22
100%
46%
Oct
113%
29%
50%
43%
91% Dec
Do
15
51%
8434
45
Jan
Aug
Aug
Dec
Apr
Dec
June
86% July
106% July
23
Oct
Feb
37% Nov
10334 June
Oct
110
June
261
Oct
Jan
105
July
Jan
55
Dec
87%
Dec
69% Mar
nl50
3
10%
Jan
2
23%
Dec
16% May
43
July
Decl7
28
Jan
Decl4
147
Jan
6
80
Decl3
104
Jan
3
101%
Aug
107%
Novl7
95
Jan
5
83
Dec
123
9
""'Dec
25
Dec
71T Novl7
June
150
Dec
Dec
July
91%
Dec 17
80
Nov20
134% Mar20
51 Decl 7
Oct
Jan «410
Jan
25
38%
Jan
23% July
48% July
°ct
1731
25
Cigar, Inc
Debenture
Feb
91
20%
7
Apr 14
Jan21
Aprl7
100
IOI4
Decl6
48
Jan
39% Nov
55
13%
Decl4
36%
Jan 5
31%
Dec
64% July
Jan
5
15
Dec
3834 July
49
JunelO
54
Nov20
77% July23
75% Jan 3
47
Jan
95% July
100
pref
—100
General Electric
100
General Motors Corp pref. 100
Do
temporary ctfs No par
Do
Novl2 n605
914 Mayl9
13
Apr29
Aps 7
..No par
pref
Fisher Body Corp
Fisk Rubber
Do
433s
9
Aprl5
16% Mar30
4434 Mayl4
1% DeclO
7914 May25
118
Dec 9
64*2 Novl8
1278 Novl9
19%
9434
172
893?
42
3
5
90
Dec
101
Jan
2
144%
Feb
176
Aug
Oct
Jan
3
82
Jan
95
June
82%
Feb
94%
Apr
56%
Jan
93%
Mar26
Decl4
85%
Jan
6934
Dec 15
94
Apr20
100
Goodrich Co (B F)
Do
Oct
Jan
60»
3334
Decl 6
85%
Jan
5
Deb stock (6%)... 100
Deb stock (7%)...100
6
Aug
109%
Oct
Apr
Dec
80
Jan
5
47%
46%
Dec
533, Nov
3
32%
Dec
47% July
49%
Feb
40
Feb
89% Oct
71% July
14*5 Decl3
30_ Novl9
20% Augl 7
16,724
2,100
Sugar...No
States Steel tr ctrs__ 100
Haskel & Barker Car.. .No par
Hendee Manufacturing
100
Houston Oil of Texas
J 00
Hupp Motor Car Corp
10
Indiahoma
Refining
Inspiration Cons Copper.
Internat Agrlcul Corp
5
_
Do
pref
Inter Harvester
Do
20
100
100
(new)
100
pref (new)
100
Int Mercantile Marine
Do
pref
100
...100
Internat Motor Truck.No par
Do
1st pref
-..100
Do
39,596
7,300
700
600
16
1,600
35%
6,900
8%
48%
40%
7%
50
1,500
600
33,400
15,200
13,500
40%
3,300
16%
2d pref
100
International Nickel (The). 25
International Paper
100
Do
stamped pref
Invincible Oil Corp
Iron Products Corp
Island Oil &
100
50
84%
Jan
102
8
54" Novl9
78% July 8
14%
Decl3
46%
70%
Dec 17
9%
Decl3
61%
10
Decl 4
27
45
Dec
8
88%
Novl9
88
100 ' Novl9
11%
Aprl9
116% Sept20
23% Apr 9
55? Augll
2934 Decl7
934
142%
Apr 6
Apr 8
Aprl4
Apr! 5
Aprl3
110%
115
Jan24
111
"42"% "Feb
"78%
10%
Jan
48
Jan
July
37% July
91
July
Jan
149% July
Dec
120
June
21%
Jan
67% July
92%
Feb
128% May
Apr 9
2634 Jan 7
9134 Marl 8
20% Dec
33% June
30%
Jan
82
Nov
62
Jan
80
July
Jan27
34
Dec
65
Nov
7% July 9
Jan 9
15
Dec
48
Mar
Decl7
5134
Jan
3
Novl8
111%
Jan
5
*
44
281'
170
Apr 7
Nov! 8
84
Jan19
5734 Novl7
71
68
Dec
9
No par
30% Decl6
Dec
DeclO
Do
pref
s
Jones Bros Tea,
8
51%
Jan 3
21%
45%
JanlO
38%
Dec
91
Mar
100
15
Nov30
30
Jan
5
24%
Dec
44
July
Kelly-Springfield Tire..25
Temporary 8% preferred 100
34
Decl 7
152%
Jan
5
68
Jan
164
Nov
80
Decl5
105
Jan21
101% Dec
Kennecott
16%
Decl 6
33%
Apr 7
27% Nov
534
Dec 13
48%
Jan
5
38% Dec
July
126% July
4678 Nov20
9134
Jan
5
62%
107% Nov
35
Aug 7
57%
Dec
DeclS
38%
Oct25
Jan 6
33
16
21
Jan
207
JanlO
195
Dec
109%
Jan31
107
Jan
36
Apr 12
100
Inc
Copper
No par
Keystone Tire & Rubber.. 10
Lackawanna Steel
100
Laclede Gas (St Louis)
100
1,350
*95
101
*95
101
700
Liggett & Myers Tobacco..100
Do
pref
100
10,000
79%
♦1
47% Julyl5
3
Lee Rubber & Tire
16%
Feb16
Decl6
4
2,000
16%
Nov26
70
2034
10
v t c__
130
{ Less than 100 shares.
45
Dec 14
100
Transp
§130
16%
12*8
Jewel Tea, Inc...
130
16%
1778 Nov 17
100
Can, Inc
130
16%
Decl5
9
par
8%
15%
41%
17%
DeclO
7378 July28
z6%
Jan
32% Feb
37% Nov
3434 Feb
39% Feb
Jan 5
Jan 14
Aug27
Jan
34
.
Bid and asked prices; no sales on this day.
Decl7
Nov20
74
65%
9234
Jan
1,600
7%
50%
41
63
52
Jan 2
Jan 3
67
38%
3,100
7
52%
-..100
40%
44%
4934
5"
17%
16%
Decl7
Dec
Decl3
3%
"
81
41%
Decl4
163?
17l2 Dec 17
17,200
81
52
10
Dec 6
MaylQ
21%
41%
11
22%
.
16%
7%
16%
102
-
16%
413?
135
*131
140
130% 130% *130
100
100
100
101% 101% *95
17
17
16%
16%
16% 17
-
85
6%
48%
131
71
22
.
16%
5%
48%
7%
12%
22
"
141% Nov
Apr
■
12%
....
50
Nov
68
25
58
48%
25%
90
Apr 8
Jan 3
Jan 3
100
72
*55
20
6712 July
Mar29
Gray & Davis, Inc
Greene Cananea Copper
25,500
*68
116% July
114
July
Jan
Jan
5,700
49%
58
Feb
Dec
Oct
31
3
700
72
56%
104%
3
10,600
30
5
Jan 5
Jan 3
Jan
11%
*55
16%
•
96%
*67
Dec 9
5%
1934 Junel8
Jan
101%
59
86% Sept
55%
1,500
4,700
74
Jan
10234
50
32
64%
DeclO
3,100
*54
87%
57%
Jan 6
Decl5
20,200
*68
54% May
Jan
Jan
18
11%
*30
Dec
48%
20%
74
30io
58
19%
3
100
11,200
2,600
73
Jan 6
Jan28
100
76%
9%
6%
30%
38
16%
15
*68
25
No par
100
pref
70%
49
12%
48%
Do
pref
Consolidated Cigar
78%
9%
48%
13%
..No par
*14%
49%
12%
48%
Coca Cola
100
Columbia Gas & Electric..100
Columbia Graphophone No par
14%
47%
12%
No par
Gulf
50
12%
100
Colorado Fuel & Iron
Guantanamo
11%
48%
Jan
37% July
16434
1,400
95%
85%
46
Feb
111%
2,800
1,600
101
28%
Octl5
No par
7214 Novl9
Chicago Pneumatic Tool.. 100
60
Nov27
Chile Copper
25 V 714 NOV30
C'hino Copper
5
176s Dec 3
2,900
12%
Aug 5
16%
Jan
14
11%
12
60
Act
3934 July
108%
61%
55%
12%
Janl2
Apr
17
Jan
1043?
.100
pref..
32%
11%
29%
166
Feb
16
6i2 Dec 9
35% Decl 6
8514 Decl7
Do
14
*46
6
75%
54%
29%
10%
9
Jan
Nov20
pref
100
Case (J I) Plow WkS—A7© par
30%
30% 30%
10%
10%
46%
46%
95% 96%
100% 100%
Jan
63
100
Do
54%
9%
111?
26
pref
Granby Cons M S & P
600
100
6
129
1538 Nov20
Petroleum
33
6%
Dec 13
414 Nov20
10i8 Sept24
8I2 Decl 3
California
17%
*50
31%
4%
•
5
*101
"is"
vi 1
^11
12%
13%
Dec
100
Butte & Superior Mining.. 10
Caddo Central OH & Ref__ 100
California Packing
No par
18%
14%
73
12%
47%
-
3%
9%
131
1,900
60
71%
22%
.
79
6%
*1 A
1
J.
800
76%
18%
18%
*56
13%
49%
...
82%
10%
*75
*58
■
74
22%
29%
15
46
95%
12%
14%
30%
10%
100
11%
60
49%
96
101
13%
51%
15
10
'
800
15,675
19%
84%
46%
118% 119%
75
15%
115
t c_.5
General
74
82%
Apr 7
v
...
1,100
74
14%
80
100
Butte Copper & Zinc
Butterlck
2,450
74
31%
Burns Bros
54
33%
14
May
86
34%
32
July
Aug
92
51
5,900
11,900
36%
14
30
14,515
2%
13% 125,200
60%
6,600
71
6,800
34%
15,600
31
11
10%
14%
13
15
30
750
70%
55%
45%
900
60
31%
13
200
71
14
46%
5
82
60%
30%
54%
9%
6%
1,400
13%
16
6%
30%
13%
.
70%
33%
32%
14%
79%
'5,400
*11,500
60
56%
15%
13%
3,500
68%
30
102
Dec
85%
67
56
Dec
41
Decl7
69%
13%
18%
14%
30%
*67
■
20
85%
Ocl23
54
119% 120%
119% 120%
*67
72%
13% 14
70
Apr
65
25
25%
50
54%
82
14
9634
*81
54
82
70
Oct 4
Sept24
Freeport Texas Co
No par
Gaston W & W, Inc
No par
Gen Amer Tank Car ..No par
49
54%
82V
25
54
10%
54%
July
Sept
116
Dec
10
10%
14%
82
Jan
11
101%
100
10%
15%
2%
51
1
10734 July
12
Oct
108
Do
pref..
Cuban-American
7,200
84%
*50
9
Jan
12,300
"3,300
"83%
54%
5
Jan
Jan
Dec
*52%
85%
52
Jan
15
2%
55%
593s
25%
81% 82%
118% 119%
66% 66%
12%
13%
114
DeclS
55%
90
Decl7
7
54
96% May 6
Jan 3
1714
28
52
May
2% May
Oct
45
100
*25
55%
119
Jan
Sept
278%
72%
56
Feb
1%
26
Apr 9
Dec 16
72
82%
110
32%
Cuba Cane Sugar
72%
82
105% Nov 5
1%
Jan 5
26I4 Dec 1
78'% DeclG
72%
54%
Nov22
J2 Aug20
214 Novl7
4834 Decl7
82
72
54
100
No par
Crucible Steel of America__100
Do
pref-...
100
20,800
71
86
July
Oct
72%
55
145
Oct
48
57
Jan
109% July
85% ^2,200
55
11178 June
103
Jan
52%
*56
Dec
Oct29
102
85
*82
100
130
Jan
51%
2%
Jan 5
Nov20
107
45%
71%
14
Oct
102%
102
Decl3
85%
2%
76% May
156%
98
49%
15
"Oct
192%
100
85
5
94% DeclO
7
Jan
15%
47%
25
Apr 9
99
53%
§82
10%
148%
Jan
60
72
par
Dec 13
1034 Sept
85%
2
Jan
85
46
53
2
Jan
Jan 5
75
Apr 14
85
14
Feb
64
64%
Augl2
DeclO
Aprl6
*48
2
92
20%
x5 3
14%
51%
15%
176%
80% May
105%
84%
2
2
7
Decl7
99U Nov26
Jan
Mar
DeclO
50
14
15%
Aug
Feb
7
Nov2Q
51%
84%
1%
15
Dec
82
58%
3
5
87%
10%
65%
61
Jan
62%
67,300
52
10%
13%
10%
14%
1%
17%
Jan17
7534
83
800
*19
52%
Jan
74%
Dec 15
31,400
100
21
10%
11
*57
*94
19%
54
67%
Decl5
48
Do
5~,400
July
July
Decl7
Continental
82
5%
65%
5%
64%
65
Brooklyn Edison, Inc
..100
Brooklyn Union Gas......100
"
27%
78%
I
29
Jan
18
3,900
62
110
Jan
21%
39
2,700
18%
62
*98
*5
10%
*58
m
84%
25%
85%
10%
50%
m
86%
85%
29%
m
61%
30
85
13
■m
10"
81%
90
94%
'
29
26%
---.
'
*82
*85
'
.
61
*98
4,500
30
"26%
30%
m
62
100
"Y, 700
5%
84%
84%
7
46%
5%
'
Jan
Dec 14
49%
pref
Consolidated Gas (NY)
100
Cons Inter-State Call Mg__10
Consolidated Textile..No par
79"
77%
5%
18%
78%
'
Feb
27%
Dec 13
Do
81
89%
*11
&300
*54
84%
28
6%
moo
57
63
57
75"
29
*5
10
63%
70
*55"
*72
98
*26
*15
34,150
55
6%
*87
*20%
10
11
10%
*
98
16
1%
2,700
98
15%
71
5,300
54%
10%
98
100
10%
73%
24,700
26%
5%
10
73%
20%
Jan
94%
3
100
9
26%
54%
45%
Jan
6is
No par
1,100
20%
2
Jan29
8% pref. 100
10,800
65%
10%
16%
53%
87%
20%
26%
54%
79%
cum conv
Booth Fisheries
75
49,900
12,400
Jan
Decl7
Feb24
63
18%
165%
105%
61%
3212
102%
63
8%
169% Dec
11034 June
69
Oct
Decl7
DeclS
z90
102%
63
18%
Jan
Aug 3
Cerro de Pasco Cop.
Chandler Motor Car
9%
Oct
106
Novl9
14,230
18%
20%
26%
54%
314%
Dec
51
26
8%
18%
Feb
93%
77% July
100
Central Leather.
9%
18%
20%
191%
7
June29
90
600
63
£
Jan
9734
.100
17,800
1,700
75
Jan
283
210
common. .100
8%
.
64%
■
Do
B
86%
.
25%
11
Corp
Class
pref...
35%
.
86%
120% June
May
54% Nov
..20
No
85%
25%
73%
m
6018
108% May
100
73%
mm'-
5%
28
52%
8%
35%
1,500
64%
66%
64
68
5%
66
87
68
68%
26%
9%
54
24%
5%
67
52
62
23%
65%
28%
15%
52%
84%
51%
13%
61
5%
20
16%
13%
62
24
25%
73%
55%
4%
10%
8%
8%
12%
36%
27%
4,100
4,800
1,200
6,500
4,700
3,900
12,700
81
4%
10%
68%
18%
10%
500
85
81
4%
35%
84%
*5%
18%
60%
*98
85%
84%
10%
16%
81%
10%
9%
75
53%
6%
mm
63
*72
79%
83
68
'
mm mm
95
800
21%
8%
3,500
Aug 9
100
Dec
40
pref
Do
T,706
3%
8514 May20
102
73
Aug
90% Dec
95
10634 Mar22
105
Aprl2
100% Marl8
Jan 9
2,300
102%
Decl3
Aug
Oct
May
Jan 9
No par
Do
3%
119
Apr 6
Steel
44,000
96%
148%
Jan
66%
Bethlehem
52
Jan
59%
Motors
50%
Dec
113%
Dec 9
Bethlehem
m
*100
3%
*83
61%
8%
18%
m
91
111%
Dec 17
Batopilas Mining
52
80%
mm
103
3
3%
52
....
Janl9
Aprl4
Jan26
2512
100
104
3,400
93%
35i8
400
*99
%
*%
2%
2%
50%
48%
52% I 51
"
8934 July
109% July
47
July
100
preferred
Atlantic Fruit
Do
Dec
50
100
5,700
104
mm
2d
94
25
pref
Anaconda Copper Mining.
Associated Dry Goods
Do
1st preferred
Do
61% Dec
33% May
11
1
109
51
mm mm
2%
*85
10%
Do
3
Jan13
Mar22
142%
11834
92% May22
HMI4 Aug 9
100
3
,100
109"
mm
......
21
♦64
Amer Woolen of Mass
100
Barrett Co Chem Ccns ctfs.—
Do
pref ctfs dep.
94%
108
%
2%
50%
61%
53
*51%
.•
87%
*98
%
3
*51%
54
54%
94%
B..100
Jan 5
Mar30
Jan
Highest
Decl7
Decl7
66% Novl9
79
-.100
Class
100
26,900 Atl Gulf & W ISS Line
106% 108
Do
pref
100
1,600
*54% 57
86% 87% 130,200 Baldwin Locomotive Wks.100
108
53%
85%
108
104
%
2%
1
53
'
114
3
8
7%
106
55%
3,800
18io
100
(new)
Lowest
I per share $ per share
26
Dec
47% Oct
79% Dec
94% June
DeclS
8312
99*4
—100
Do
pref
-.100
Amer Writing Paper pref—100
Amer Zinc Lead & Smelt— 25
400
18
18%
x 80
100
pref
Amer Tobacco.--——
500
65,200
40
61%
25%
73%
'mi
mm
50
53
8%
13%
mmm'
35%
40
21%
mmm m
Do
Amer Telephone & Teleg--100
pref
40
18%
95
4%
WON**
Amer Sumatra Tobacco
common
51
*108
95
36%
26
100
Do
2,400
3,200
No par
pref
Do
*38
61%
mmm
Do
4,300
73,200
,700
81%
-—-
4,485
36%
"m
mmrnm
mm
35%
19%
21
*
5,800
-
American Sugar Refining. -100
600
*50
101% 103
3%
3%
100%
10%
14%
7,100
14,850
50
80
9%
82
39
86
5
10%
69
-■
■mm mm
7%
7%
107% 110%
100%
51
m
3%
82%
4%
10%
68
*80
pref-—-----100
Fdry tern ctfs.33 1-3
Pref temp ctfs
3,200
97% 98%
98
97%
111% 114% 112% 112%
87%
87%
87%
87%
♦108
111
107% 109
60%
61% 63%
62%
92
90% 90% *89
33
33
32% 33
6%
6%
6%
.6%
53
*85
34,550
86%
99% 100
83
Do
Am Steel
600
mmrnm
83%
*80
86
95
....
99% 100
68% 70
39
89%
*88
52%
-
-V'
4,700
29%
19%
49%
mm
9%
*%
2%
3
mm
"51
95
3%
'■
_
53%
52%
*90
83%
28%
37
105% 110
1
♦%
2%
*50
83%
29%
112
94%
108% 110
106% 108
104
102% 102% *100
1
72
31
105% 110%
53%
54%
54
54
2%
83
Decl4
6%
m/mmm
8
9%
104% 107%
*%
Decl6
39
34
'
51%
■
2%
68
Amer Smelting & Refining. 100
*90
38
35%
18%
"
106% 109%
54
53%
89%
91%
Am Smelt Secur pref ser A. 100
33,000
70%
*62%
mm mm
38
51
42
500
40%
*
27%
37%
18%
38%
68%
39%
82%
82%
87%
6%
30%
68%
98%
113
34
Dec 17
68
82%
110
92%
34%
6%
26
....
"38%
93
34
—
34%
8%
Year 1919
% per share
40%
89
SHARE
Range for Previous
Highest
share
68
100%
69%
82%
97%
82%
98
97%
110% 114
87%
87%
par
& Comm Corp .No
per
39%
83 %
29%
83%
86%
70
68%
Am 8blp
19,700
8%
$
30
100
*78%
8%
Par
70
40%
x80
85%
100
89
8%
8%
Lowest
Indus. & Miscell. (Con.)
Shares
$ per share
PER
EXCHANGE
Week
17
SHAKE
Range since Jan. 1.
On basis of 100-share lots
41%
*68%
-
10034
86
100
1
9%
8%
73
43
Friday
Dec
STOCKS
NEW YORK STOCK
the
CENT.
Thursday
Dec. 11
Sales
for
HIGH
Loew's Incorporated
% Ex-rights.
a
No par
No par
Ex-div. and rights.
778 Sept29
127% Nov26
99
16%
June21
Decl 3
»Par value $100.
0 Old stock,
x
Jan
110%
Oct
43
83
40
Jan
Oct
250% Aug
115
Ex-dlvldend.
July
2409
New York Stock Record—Concluded—Page 3
week of stocks usually Inactive, see third page following.
For record of sales during the
PER SHARE
Sales
Saturday
Monday
f Per share
Dec.
13
% per share
Dec. 15
14
the
10
10%
10%
10%
10%
9%
10%
30
29%
*27%
*27% 30
*27% 30
103% 103% *103% 105% *103% 105% *103%
V:—
*128
132
129% 130% *128
101
101
100% 100%
101% 101% *98%
68
58
•57% 62
57% 57%
♦57
57
*57
57
57%
5934
66
70
70
70
70% 71%
♦70
65
69
70%
67% *65
74%
♦95%
*95% C*93%
*95% 98
16738 163
162% 170% 159% 163% 161
10%
*25
30
*25
131
127
127
102
99
200
200
99
2d
15%
12%
15
12
11%
31%
31%
50
51%
95
95
11%
30%
53
*50
"67"
"66*
66%
1,300
Manati Sugar
*65
70
*65
70
1,200
96%
*93%
68"
186,700
162% 166% #160% 163
168%
pref
Mexican Petroleum
*93
15%
15%
11%
12%
49%
49%
9,000
42,400
38,780
15%
15%
15%
12%
31%
11%
,v
12%
30%
49
1,500
30%
3078
30%
49%
93%
14%
28%
49%
49
30%
#49%
*92%
14%
28%
50
1434
14%
15
28%
28
48
4534
48
48%
28%
49%
84%
85
85
84
84
27%
28%
29%
293/
29
29%
*28
30
70%
2%
70%
*67
2%
71
200
3
5,300
15%
14%
14%
28%
28%
28%
48%
49%
87
87
46%
#84%
♦27%
30
*67
72
96
*95
96
93%
14%
28%
49%
48
900
48%
1,100
1
3%
48%
'"3% "3%
3%
3% &3vx;
3
47
49%
48
48
91
91
*88
68
68
68% 69%
102%
101% 101% *101
834
8%
8%
8%
82
82%
82% 82%
18
18
18
18%
3%
48
95
47
95
*88
*66
71
*66
*88
'
mm-m
50%
50%
51%
34
35%
33%
33%
31%
32%
12%
12%
12
12
12
12
3%
3%
41
4
•
25
3%
79%
76%
79%
76%
72%
71
74
70%
7%
734
3884
38%
8%
39%
37%
34%
29%
35
35
34
29%
29%
28%
20%
19%
20%
#73%
14%
34%
30
29%
19%
36
33%
28%
14%
46%
46%
14%
12%
1478
47%
47%
47%
38
38
38
88
85%
12%
13
13
80%
80
81
95
95
32
32%
82%
83
80%
10214
*98
102%
"11%
60%
63%
90
19
17%
18%
18%
63%
12%
49%
59%
13
52%
12%
334
3%
13%
18%
^61%
12%
384
15
*12
4
3%
14
15%
93
39%
40
36%
24%
23%
900
54%
16,500
1,400
72
70%
72
68%
70
69%
70%
7,100
61%
83
59%
61%
58%
*88%
93
83
87
20%
20
20
18
88%
18%
59%
8778
60,500
92
56%
55%
57%
54%
56%
57%
12
12%
12
12
11%
3%
3%
3%
3%
13%
14%
13%
3%
3
95%
94
39
23%
24%
3
13li.
3
3
92%
39%
95%
39%
24%
38%
24
24%
23%
51
12%
'
•78
13%
43
51%
85
80
13%
81
13%
42%
13
13%
13
42%
7%
41%
40%
36
39%
8
9%
8
49
50%
49
51%
*80s
83%
*80
8%
7
41%
39%
37%
9%
52
83%
8%
7
84
32
31%
32
31
31%
52
53%
52
54%
11%
12%
*11
12%
57
18
16%
65
•'
_
65%
'
m
■
—-'mm
■
'■mm.'--
"40%
40%
38%
39%
65%
62%
6434
100
31
'mm
39%
39%
80%
78%
79%
''
"79%
105% 106%
106% 106%
50%
9%
39%
50%
9%
92
87
88
8%
*52
85%
87
87
*52
58
82%
85%
2934
*91
58
*51
84
37%
71
*11
42
52%
13
37%
*66
20%
30%
Decl4
108%
23%
16
Jan
7734 Nov20
98
Jan 7
93
Dec
51%
72% Sept28
45
Feb
Sept24
68
Jan28
80
Dec
Decl7
124
Marl9
110
Nov
120
Apr 19
61
63%
93%
38%
61%
39
3
*92%
38
39
63%
65
80
39%
31
95
100
84%
997»
100
63
100%
33%
34%
32
41
41
40
48%
Aug 9
Dec 16
82%
Dec 9
80
78%
79%
%
61%
105% 106%
51
50%
9%
9%
36% 38%
30% 31%
106% 106%
50%
50%
8%
37%
30%
*91
9
40%
31
96
96
pref
Superior Oil
6,200
96
7%
8%
10
Times Sq Auto Supply.No par
Tobacco Products Corp..-100
Do
100
100
pref...
-No par
Transcontinental OH
36,200
37%
C tr ctfs.No par
(The)
25
Texas Pacific Coal A OH
35% 116,700
8%
2,400
50
8,600
1,400
Transue A Williams St.No par
Union Bag A Paper Corp..
300
Union
21,800
100
No par
OH
No par
United Fruit
100
United Retail Stores...No par
U S Cast I Pipe A Fdy
100
United Alloy Steel
6,600
1,100
Do
100
100
pref
U 8 Express
18%
18,100
U S Food Products Corp..
64%
93%
39%
19,200
U S Industrial
62%
32,200
32
2,200
106% 106
#48% 49
9%
30%
38%
31%
92%
93
8,300
7%
Do
1st pref
U S Smelting Ref A
Do
.
M
pref
United States Steel Corp. .100
Do
pref
....100
10
23,600
3,300
Utah
44,700
Vanadium Corp
11,110
400
100
No par
Virginia-Carolina Chem... 100
Do
800
9,300
Copper
Utah Securities v t c
100
pref.
100
Virginia Iron CAC_.
V
No par
Vivaudou
lOO
56
51%
55
52
52
83
83%
837*
90%
83%
82
83%
2,800
Western Union Telegraph.
91%
91
3,000
Westlnghouse
*51
100
100
100
100
50
—50
United States Rubber
700
79% 244,100
Alcohol
pref...
100
U S Realty A ImprovementlOO
Do
200
1,635
6%
pa
100
Superior 8teel Corp'n
8,800
37%
nc
.
Texas Company
31
9
100
100
Tenn Copp A
99% 100
"78%
pref non-voting
Wells Fargo
Express
93
93
89%
41%
40%
41
40%
41%
41
41%
4078
41%
41
92%
41%
16,200
Westlnghouse Elec A Mfg—50
34%
35%
34
34%
34
35%
34%
35%
34
34%
34%
34%
13,500
White
22
■V
95%
22
6%
5-%
5%
5%
5%
34,590
31%
5,700
38
3,900
100
32%
37%
37%
31
534
6
534
5%
5%
30%
32
32
33
38
37%
37%
107
107
1071*
108%
40
43
39%
41%
37%
6
31%
31
32%
37
5%
38%
,
-|
37%
32
38
31
37%
106U IO6I9
.
Wlckwlre Spencer
"43%
44%
*75
80
*55
60
I
*75
80
*75
80
*75
58
58
*56
58
*56
•Bid and asked prices; no
39
40%
39
39%
79
75
75
75
76
Do
58
55
56
57
57
pref (new).
pref A
100
100
tc„lOO
100
oref B
100
Woolworth (F W)
4,100
Worthlngton P A M v
300
400
5
25
100
WllsonACo.Inc.v t c—No par
1,000
Do
1
Do
pref
5
41%
46t*
AprlS
85
Dec
Feb
Mar
Mar25
Apr 8
86%
Jan
39%
Dec 17
126%
Jan
9
Dec 10
Feb20
92
Jan
34%
Apr 8
Jan31
Septl3
Apr 8
Mar31
Jan 2
July 7
JulylS
45%
76
95%
Jan 3
72%
Jan 7
Dec
11%
41
Dec
20%
60
13%
c57%
53%
13
48% Nov20
80%
51% Mar26
101%
7
Decl6
40% Aug 6
24
Dec 1
8
91% June24
Dec 16
106
7
Decl3
36% Decl3
62
Decl3
20% Dec 14
30% Dec 15
38%
66%
6
Apr20
16%
DeclS
Decl7
97%
84%
Jan
Dec
Dec
Jan
3
87%
Jan
75
Jan
63
Jan
6
961*
Jan
5
6
22478
Dec
Jan
Jan
51
Jan
9%
*184
38
176
Febll
Dec 16
10% Novl8
3978 Novl7
82"
Aprl4
127
Oct23
Jan
3
84% Dec
37% Jan
157
Feb
80%
Aug
25%
Jan 3
14
Jan
55%
Apr 7
Apr 6
42%
16%
Jan
Feb
37%
78%
Jan
5
116%
Jan
8
#97%
?Aug 6
3578 Nov20
58% Novl8
99% Decl7
29% Dec 10
39% Det'30
78U Decl3
103%
Jan
6
96%
Dec
Jan
69%
143%
Apr 8
17%
Jan
5
73
Jan
116%
Janl3
109
Jan
109
Jan
104% Junel5
*48% Decl7
115%
63%
90
Jan
Jan
76
3
66
43%
Apr
Jan
45
Jan
5
88%
Feb
Jan28
111%
Dec
47% Mar27
3
65%
Feb
7
Aug25
14
Oct23
Deol4
97
AprlO
8%
54%
Dec
35'4
80%
Aprl4
51
112% Jan 7
120% 8eptl7
110
Jan
54
Mar
29%
Decl4
91
Decll
76
Febl3
678 Decl7
46% Nov20
31%
Dec
19
Novl9
5%
9
80%
21
Jan
June
92%
Oct23
51% Nov
55%
82
Sept
8
94%
Jan
Jan
3
401*
Jan
69% Mar29
32% Sept20
45
Jan
23%
Jan
Jan
Jan
7
32
Jan
3
26
Dec
7
93
Jan
5
87%
37
DeclO
82%
Jan 5
05%
3
Julyl9
110%
June
Feb
Jan
Dec
100
103
Dec
7
Mar31
76
119
40% Junt
98i4 May
Aprl4
95
75
Decl6
93%
55
Decl6
76
120
Feb
Jan 6
112%
Dec
1171* July
50
Feb
117
Janl3
88
Jan
98i*
Oci
Jan
Dec 16
104% July
136% May
Jan27
145
39
* Less than 100 shares,
X Ex-rights,
a Ex-dlv. and rights
# Bx-div. a Reduced
present title July 1 1920 range In cl. prices from July I only; range for Ohio Cities Gas Jsn. 1 to
sales on this day.
Name changed from Ohio Cities Gas to
41%
Steel
Willys-Overland (The)
Do
40%
50
Motor
74
Jan
Jan26
118%
25
80% Julyl3
41
Dec
Jan28
113% Mar25
89% Novl9
40% Nov20
95%
:=
Feb
Decll
Novl3|
Dec 14
26
100
91
Jan
6% Mar
168%
94%
Air Brake—50
93
.94
79
Dec
12%
"63%
82%
IQ0%junel7
Jan
44% Sept
84
Aug
90%
48%
AuglO 1850
1600
Jan
71%
100
Aprl4
243
Decl3
.
100
Do
400
400
86%
8%
#8
32%
A Trading...£2
10,200
40%
79
86%
55
23%
100
19%
m'm W
Sinclair Cons Oil Corp.No par
Sloss-Sheffield Steel A Iron 100
92,700
21
Janl3
Decl7
Decl7
7%
70
21%
Dec 17
Decl3
Do
46
25%
83%
55%
123%
177*
Dec 17
3
Studebaker Corp (The)...100
7%
93% July 7
Decl3
12%
100
Aug
Dec
Jan 3
49%
11%
100
Standard Oil of N J
Mar
68
Janl3
Jan 2
MaylO
Aprl2
Junel8
Apr 6
100
preferred
Feb
19
Jan 3
124%
2%
Shell Transp
104
Jan 6
106%
16%
Apr
Feb
94
Decl7
Dec 9
87
Feb
Mar
"68%
63% Nov19
100
100
Feb
12%
100
22%
Feb26
34%
No par
_
66,900
7
93
t clOO
Stromberg-Carburet.. .No par
*6%
18%
65%
92% May 3
10
Nov18
27% Dec 13
..100
v
3,500
7
18%
pref
85% Mar
#69
*42% July 7
106% Aprl2
107
Nov 3
Decl4
89%
36%
600
93
80%
100
Stewart Warn Sp Corp.No par
42%
64%
k
Jan24
Jan 5
Aprl2
1041* Feb 2
91%
.27%
113%
40% Novl9
*30
Novl9
Steel A Tube of Am pref...l00
42%
94
9934
50
25
400
42
20
*6%
84
NJ...100
Company..
100
42%
84
Feb 13
Jan
Nov22
Sears, Roebuck A Co
36,300
66%
33
13
8
93
2,500
v
44% July 2
54
Replogle Steel.
12,300
198% 200
51%
52%
12
11%
65%
-»
Dec
10
Republic Iron A Steel
Do
pref..
5,000
7%
100%
80
932
30%
*6%
18%
"8%
85%
7%
7
44%
....
8%
8%
8%
35%
34
98
*80
*41%
105% 106
49% 50%
9
9%
40%
30
*90
3238
91
9%
39%
40%
32%
50%
9%
51
51
12%
39%
64%
•
"78%
54%
52%
49%
50%
80%
21
20%
30%
30%
196% 198%
32
30%
197% 199
*11
8%
7
42%
34%
8%
19
31
32%
37%
*66
20%
20%
80%
7%
36%
-
v
66
62%
31
7%
7%
'•■mm 'mm
39%
64%
30
49%
.
7%
43
6%
6%
1634
6434
634
12%
43%
*40
44%
*6%
20ti
56%
^
195% 200
193% 195
6%
83
70
31%
*6%
18%
51%
38%
21%
38%
7234
*41
50%
*80
68
20%
12
9%
38
21%
44
34%
8%
7%
20%
*42
37%
9
65
21%
12
34%
36%
62
19584 199%
54% 56%
42%
65
3634
72%
21%
72%
7%
44%
36-%
39%
*38
7
7%
42%
8%
43%
Jan
59
88%
101%
25
Jan 3
Jan 8
Jan 8
100
100
Remington Typewriter
500
7%
44
*8%
*79
13%
7%
37%
8%
81
4234
42%
50%
81
7%
42
7%
42%
•80
81
13%
1234
43
7%
85
12%
85
Jan
82%
Ray Consolidated Copper.. 10
Do
Jan
Dec 13
t
19,600
39%
23% 101,800
50
1,100
30,700
50%
48%
48%
49% 49%
4934
87%
*79%
87%
*82% 85
*81% 87% *81% 87% *81%
604
615
605
610
620
§601
622
6615
§601
§602
5610
§600
103% 103%
102% 103%
102% 10334
103% 103%
102% 103
103% 103%
*79
81
79
79
*79
81
79%
79%
79
80% 80%
79
27
26%
26%
26%
26%
26%
26% 27l4
2634 27
27% 27%
28
27
28
28
25
27
29%
30
27%
27%
29
31
42%
40%
39%
42
40% 42%
40% 42%
39%
40%
43
40%
•82%
Dec
19%
Saxon Motor Car Corp-No par
38%
23%
*47%
Jan
92%
Apr
4,400
3
67
Aprl4
Dec
Savage Arms Corp
92%
Aprl4
30
5,300
3
116%
32
4,200
12
22
27%
3%
82,400
3,100
58%
Dec
58% Dec
June22
Oct25
13%
1,800
—
89%
3%
93%
39%
24%
Do
Jan 5
61%
JanlO
7%
Republic Motor Truck .No par
Royal Dutch Co (N Y shares).
St Joseph Lead
10
San Cecilia Sugar v t c.No par
'mm J
3%
14%
900
■
46
Feb 13
65% Novl9
PublicServ Corp of
200
11%
33
Janl3
7134
Dec
Mar
100
Pure Oil (The)
*28
70%
Apr 8
1,100 Railway Steel Spring
#11%
Jan 2
45
pref
19,600
11%
78
Nov
Aug! 8
Dec 10
81
32
46
Nov20
32-%
11%
34%
Jan 2
77
81
*28
Jan 5
65
12
32
100
4178
10
32%
mm'
128"
100
31%
'
63
3
97
Do
5% Mar
28% Sept20
Aprl4
157
42%
Pressed Steel Car
200
Jan
Decl5
Punta Alegre Sugar..
91%
37%
39%
24%
50%
4,000
54
55
101%
51
3
99
13%
■
Apr 6
9%
Nov17
May20
37
pref.............. 100
80
•i'wi-'
46
5
584 Mar 8
Aug 9
30% AuglO
28% Decl3
pref
13%
87
Jan
Aprl7
111%
36%
Pierce OH Corporation.
Do
Oct25
77%
22%
No par
Pullman
12%
61%
44% Mar
47
Jan
No par
79%
70
3%
2%
3
98
Do
Feb
Feb
19%
Jan 3
Augl9
12% Dec 14
41% May20
100
Pittsburgh Coal of Pa
500
Do
pref
5,700 Pond Creek Coal..
57%
57%
60
1434
91%
27
1,200
*8934
70%
5
Jan 3
45%
t c No par
11,000
12
90
v
13,900
31%
Jan
48%
61
100
Penn-Seaboard St'l
46
100
117%
13% NovlO
3,600
99% 101
'
13% Nov
3% Novl9
23
60
41
83
5
Decl4
107
Jan
93
Jan
May20
100
7
17%
NovlS
17%
ClassB
49
11%
95
Do
46
31%
64%
9,100
m''
-
94
54%
11%
71
69,200
70
101
32%
83
78
Jan
110
40% Nov20
Pacific Teleph A Teleg_._.100
Pan-Am Pet A Trans
60
49%
32%
30
63%
Sept
Pacific Gas & Electric
70 *
io"i%
11%
71
27%
69%
1,900
49
28
30
mm
13%
81%
94
'•
n%
11%
30
*90
80
28
11%
Jan
182
Pacific Development
101
32%
82%
1103
1,400
-
*85
89
13
54
31%
84
7%
*85
85%
13%
79
33
13%
47%
57%
13%
83%
84
Jan 3
25
56%
80
;
Aprl2
Steel—.........No par
80%
12%
100% 10134
48% 49%
93%
Owens Bottle...
79%
79
50%
Otis
12,400
11,900
5,100
12%
80
5,100
3,300
10%
81%
49
14%
74%
10%
56%
10034 101
89%
102%
Jan 2
Novll
No par
10%
56%
„
45%
Dec
Feb
NovlO
Mining
75
77%
71%
7%
'
.
8%
66% Novl8
Orpheum Circuit. Inc
Otis Elevator
10%
57
*55
Ontario Silver
75
56%
51%
''■mm
400
11
57%
61%
1,100
3,400
73%
56%
85%
102
24,700
Pierce-Arrow M Car
80
Apr 7
88
100
Phillips Petroleum
79
13
100
12,100
78%
Jan
Dec
Decl4
100
19.6 )0
78
70
103
45
preferred
19%
74%
10'%
50%
32%
Do
29%
74
101
New York Dock
28%
19%
10
*55"
1,700
2,000
812
Jan 3
Janl3
100 #100% May21
8
Novl8
6
pref
Nevada Consol Copper
New York Air Brake
18,700
80
102%
100
29%
19%
73
m
Do
9
100
pref
National Lead
19%
11%
m
Do
Dec
Novll
2%
Nat Conduit <fc Cable-No par
Nat Enam'g & Stamp'g
100
4,000
74
•
66
11,600
10%
10%
27%
100
pref
7%
19%
....
Nov
Do
Decl5
100
National Cloak & Suit
34
72
*85
Jan
Sept
87
36%
11%
78%
86
45
33%
75
88
Oct 26
90% Nov 1
otfs dep
35
11%
•85%
12%
80%
59
84
preferred
34
73
60
45% Nov20
Do
38
20%
*58
Nat Anil & Chem Cons otfs
76%
20
78%
29%
75%
#69%
7%
30%
20%
30%
Nov
Marl9
47%
14%
45%
13%
47%
48
38
7%
100
Mar25
40
Decl4
4034
34
Jan 6
40
3%
47
35%
100%
Oct
Feb
Decl5
Oklahoma Prod <fe Ref of Am.5
70%
7%
Decl6
Docl7
75%
38
93%
Dec 17
*36%
7%
36%
100
Pref
10%
37%
77%
8
Nov
30
47
38
54
par
47
7%
Jan 7
100
37%
37%
34%
69%
Nunnally Co (The)....No
37%
7284
Decl7
North American Co
47
72%
49
Nova Scotia Steel A Coal.. 100
16%
70
100
1,166
16%
80%
40%
4,100
15
14%
Nov
32
Jan 6
1,300
47%
21
Jan 6
11%
3%
3%
Dec
71%
50
15
74%
Jan 6
99
52%
30
14%
78%
26
10%
3%
47
4634
Decl3
Jan
10
Aug 5
30t« Nov20
10
60
50
14
4634
37%
75%
15
5
Aug
60
Jan 8
30
46%
'
105
13
14%
'
Marl3
32%
48%
m — mm
Jan
51
14%
46%
14%
4712
14%
Jan
162%
88
June
130
Jan 3
31
*11%
3%
50
14%
104
48
*49
14%
Janl2
222
#63
Decl6
100
4
4
4
*4
4
4%
24%
24%
25%
#25%
25%
24%
125
*123
125
123
*123
123
2534
125
124
107
Aug 9
Dee
14%
2,500
42
Oct29
148
Jan
63
28
200
'
Decl4
50%
52%
#3%
4
4
4
126
126
#51
3%
3%
25%
25%
25%
128
mm
♦41
42
42
50%
v";''«.
'"
25%
•126
*40
42
42
46
*39
3%
"mm'''-'
68%
13
3%
88
68"
67%
69%
68%
*68%
102%
*100
102% *100
100% *100
102% *100
8%
83J
8%
884
8%
8%
8%
8%
82
82
81%
81%
81%
81% 82
82%
20
20
20
20
18%
17%
19% 19%
72
Apr
107
Mont Wd&Co Ills Corp.No par
National Acme
60
1,350
48
47%
49
88
95
35%
50%
35%
*12
3%
*47
48%
68%
43%
50%
41
•
Feb
Decl3
100
pref
Do
11,200
84%
48%
84%
5,900
147%
100
Montana Power
700
93%
14%
28%
93%
14%
*28
Feb
Jan 2
65
100
Miami Copper
Middle States Oil Corp
Mid vale Steel <fc Ordnance
900
71
98
15
94
66
100
_
Do
«•
Jan 19
9512
May Department Storm. .100
*93%
25%
40%
Dec
Jan 3
110% Jan 8
69% Jan 7
64% Mar22
151% Aprl4
137% Aprl9
561* Novll
100
98
31
*28%
Decl7
Jan 3
70
Aug25
57
70
15%
11%
11%
98
70
30%
15%
15%
15%
11%
__100
28
AuglO
pref
Do
31
125
Highest
115%
183%
Aug2
6
,._100
Do
pre!
Mackay Companies
Do
038 Nov20
29% Nov18
100
400
300
9 per share
102
Lorlllard (P)
300
$ per share
1919
Lowest
-.100
preferred
800
57
67
Do
Highest
g psr share
Indus. 8c Mlscell. (Con.) Par
Loft Incorporated..
No par
Loose-Wilea Biscuit tr otfs.100
11,500
30
103% 103%
125% 127%
*98% 102
Year
Lowest
Shares
$ per share
10
10%
105% *103% 105%
•*
-
10
10%
30
rnmmm
----
$ per share
$ per share
% per share
Week
17
Dec.
16
Dec.
Mange for Previono
EXCHANGE
Friday
Thursday
Wednesday
Tuesday
Dec.
11
Dec.
NEW YORK STOCK
PER SHARE
Range sines Jan. 1
On basis of lOOntAnrs lots
STOCKS
for
HIGH AND LOW SALE PRICES—PEE SHARE, NOT PER CENT.
60
Jan
81
dm
6
Oef
n Par 1100.
July31. 87: May 20. 50 TA Jan 8.
to basis of 825 par
3410
New York Stock Exchange—BOND
Record, Friday, Weekly and Yearly
1 1909 if,ie Exchange method, of quoting bonds was changed and prices are now—-"and interest"—except for income and defaulted bonds.
Jan.
'
Dec.
S.
Bid
Government.
Since
Last Sale
17
Ask Low
BONDS
Range
Range or
Friday
EXCHANGE
Week ending Deo. 17
II.
Week's
Price
BONDS
nr. Y. STOCK
Jan
No. \Low
High
Week ending Dec.
J
D
89.96 Sale 189.82
90.16 94171 89.10110.40
J
3«% of 1932 1947
Conv 4% of 1932 1947
Conv 4tf % of 1932 1947
2d conv 4M% of 1932 1947-..
D
80.02
J
D
85.50 86 70 86 02
85,80 Sale 85-26
6
83.00 93.48
10-yr temp secur 6s June.1929
--
84.00 94.00
Chatt Dlv pur money g 4s 1951
Mac A Nor Dlv 1st g 5s..1946
J
J
J
D
94.00 Sale
94.00
94.00
20
86.00 101.10
M
N
85.00 Sale
84-94
85.42
143
81.40 92.90
M
N
85.00 Sale
84-90
85.60 17265
8L10 92.86
Mid Ga A Atl Dlv 5s
M
S
87.50 Sale
87.42
88,90 12153
85.80 95.00
O
85.50 Sale
84.84
85.98 30941
82.00 93.00
fourth Liberty Loan—
95.00 Sale
94.84
95.88 9822
95.00 Sale
9492
95.42,11650 94.64 99.40
<11930
100%
*104
105
..—.—1925
.—.1925
10578 104
Pan Canal 10-30-yr 2s
98%
*1936
Pan Canal 10-30-yr 2s reg—1938
99
90
Panama Canal 3s g—
79%
1981 Q M
89
871
Registered
..—..1961 Q M
89
100
Philippine Islands 4fl
1914r'34 Q
81%
F
coupon.—
....
Foreign Government.
Argentine Internal 6s of 1909— M
Belgium 26-yr ext a f 754 s g.1945
1-year 6% notes—.-Jan 1921
6-year 6% notes.....Jan 1925
Berne (City of) • f 8s
1945
Bordeaux (City of) 15-yr 68.1934
Chinese (Hukuang Ry) 5s of 1911
Chrlatlanla (City) s f 8s
1945
Copenhagen 25-yr s f 554s..1944
105
100%
104
106%
Mar'19
M
N
J
D t
79%
80%
Mar'20
Feb '15
69%
2
137
29
49
87%
98
94
95%
59,
94
99%
92%
Sale
8
76%
1954 J
70%
80%
92%
77
1921 A
Switzerland (Govt of) s f 8s 1940 J
Tokyo City 6s loan of 1912
M
102
72%
Dec'20
61
74%
39
99
77
99
86%
90
92%
98
98%
84|
89%
126
100%
739
99
867„
97%
99% 102%
Guar Tr Co ctfs ofdepIIIII
Purch money 1st coa 15s. 1942
Chic A Ind CRy 1st 5s...1936
.
85
Dec'20
...J
85
95%
Chicago Great West 1st 4a__1959
75%
75%
341
69
82
Chlo Ind A Loulsv—Ref 08.1947
74%
75%
664!
67%
82
70
77
Refunding gold 5s
1947
Refunding 4s Series C....1947
56%
204
52%
71
79%
32
79
92%
79
93%
79
76
Jan'20
79
Sale
79
79%
13
J X 41
Sale
40
41%
130
33
Sale
30%
34%
58'
93%
1271
47%
92%
101%
138
102%
45
46
"j
M
N
97% Sale
F
A
83% Sale
F
O
88% Sale
F
A
A
O
94% sale
95% Sale
98
449
83%
97%
82%
88%
94%
95%
893
89
648
95
265
53
95%
Ind A Loulsv 1st gu 48—1956
29%
50
20
39%
88% 95%
100% 104%
45
92% 99
81% 90%
83
95%
89% 95%
94
Chlo Ind A Sou 50-yr 4a....1956
L ® 4 East
1st 4 H 8--1969
Ch M A St P gen g 4s ser A_el989
Registered
Gen'l gold 3Hs Ser B
General 4^s Series C
Gen Aref Ser A 4Hs
Gen ref conv Ser B 5s
01
99
el989
el989
a2014
a2014
Convertible 4Hs
Permanent 4s
25-year debenture
1932
1925
4s..I~~1934
Chic A L Sup Dlv g 5s
Chic A Mo Riv Dlv 5s
1921
1920
1921
C M A Puget Sd 1st gu 4s. 1949
City Securities.
N Y City—454s Corp stock. 1960
454s Corporate stook
1904
4 54 s Corporate stock
1966
454s Corporate stock July 1907
454s Corporate stock
1905
454s Corporate stock
1903
4% Corporate stock
1959
4% Corporate stock.....1958
4% Corporate Btock.
1957
4% Corporate stock reg..1950
4548
Fargo A Sou
85%
PI
85%
US
A
--
J
86%
80%
91
94%
O
--
D
90%
91
M
S
M
N
81%
M
N
81
PI
N
80%
M N
Sale
83%
Dec'20
84
84
90
57
24
82
40
81
81
2
82% Oct *20
91
90%
90% Sale
95
N
8
81%
87% Dec '20
93% Dec '20
93% Dec '20
90%
91%
81%
83%
81
N
Canal Improvement
4548-1904 J
Canal Improvement
87
82
N
1901 M
Canal Imrpovement 4s__.196l J
Canal Improvement 4s...1902 J
Canal Improvement 4s... 1900 J
87%
20
Sale
1957 M
N Y State—4s
85
80
454% Corporate stock...1957 PI
354% Corporate Btook...1954 M
90%
71%
2-3s..l991|J
5e deferred Brown Bros
ctfs... I -
82% 89
89% 100%
89% 100%
Dec'20
91%
assum g 6a_.
1924
Mllw A Nor 1st ext4Hs_.1934
Cons extended 4)<S—.1934
Wis A Minn Dlv g 5s
1921
Chic A N'west Ex 4s._. 1886-*26
Registered
1886-1920
General gold 3Hs
1987
Registered
...©1987
General 4s
1937
Stamped 4s
General 5s stamped
Sinking fund 6s
Registered
J
D
J
J
J
A
F
J
J
J
J
J
J
J
J
J
J
J
J
O
A
D
D
J
J
J
J
J
J
J
J
D
D
J
F
F
M
Q
M
M
M
A
A
J
A
A
N
F
N
N
N
O
O
O
O
O
O
N
N
D
8
O
J
—1987
1987
1879^1929
1879-1929
Aug'20
71%
81
Sinking fund 5s
1879-1929 A
Dec'20
90
90
89
89
Registered
Debenture 5s.
1879-1929 A
Sept'20
91
June'20
91
91
93
J
July'20
Nov'20
93
97
101
108
101
99
Mar'20
99
S
101" mi |102
May'20
100
....
1101
95
8
64%::::«71%
74% 75%' 75%
July'20
Oct
95
'20'
Registered
99
107%
95
71%
71%
50
75%
1921
1921
Sinking fund deb 5s
70%
11933
Registered
1933
10-year secured 7s g..
1930
Des Plalnes Val 1st gu 4Ms *47
Frem Elk AMo V 1st 0S..1933
Man G BAN wist
A
A
M
M
J
M
A
3H8.1941 J
JSlT A ™l8t Bu 3^8—1941 J
? West 1st
MHLS
a
*1990 Q
J
52
Sale
52
52
47%
Atchison Topeka A Santa Fe—
Gen g 4s
......1995 A
O
—..1995 A
74% Sale
O
Registered
Adjustment gold 4s
*1995
Nov
*1995
Stamped
Conv gold 4s
Conv 4s Issue of
1910—
East Okla Dlv lBt
Nov
73
75
74
Dec '20
68
69%
"14'
69
82%
67%
79
62
73%
68%
69%
43
62
74%
D
66% Sale
64%
67%
31
60
70%
D
80%
82
65
77%
91
83%
83%
82
89%
64%
71
J
06%
Trans Con Short L 1st 4S.1958 J
Oal-Arlz 1st A ref 4 54 s"A 1902 PI
66%
J
73% Sale
73%
76%
S
77
77
77
S
87
5 Fe Pres A Ph 1st
g 5s... 1942 M
Atl Coast L 1st
gold 4s
*1952 M
S
S
10-year secured 7s
1930 PI N
Gen unified 454s
D
1904 J
Ala Mid 1st
gu gold 5s...1928 M N
Bruns A W 1st gu
J
gold 4s. 1938 J
Charles A Sav 1st gold 78.1930 J
J
LAN coll gold 48
01952 M N
Sav F A W 1st
O
gold 6s
1934 A
1st gold 6s
1934 A
O
Bait A Ohio prior
J
354 s..
1925 J
1st 50-year gold 4s
*1925 Q
*1948 A
Registered
10-yr conv 454s
*1948 Q
1933
J
O
Refund A gen 5s Series A .1995 J
771- sale
101
Sale
71% Sale
90
go's
87% Nov'20
76%
77%
101
102
71%
91%
1'
■
5)
6
"52
19
72%
4
91»-
5
79% Oct '20
75%
107
67
77%
68%
82
82
15
87%
69%
80
95% 103%
68
78%
90% 92%
78
79%
129% Aug'15
67%
70
08% 60%
100% 104% 100% Nov'20
91
99%
Oct '20
79% Sale
79%
80%
79%
79 h
64% Sale
81
64
Apr'20
65%
65
60%
"73"
98% 101%
::d
91
91
78
85
81
81
J
64
65%
237
5714
88%
89%
187
81%
92%
112
Jan'12
N
"74% "77 "
81
Oot *20
61% Sale
60
75
75
Ohio River RR 1st g 5s__. 1930 J
General gold 5s
1937 A
Pitts Clev A Tol 1st g 6s..1922 A
J
Sale
85
D
82%
O
83
O
Tol A Cin dlv 1st ref 4a A. 1959 J
J
Buffalo R A P gen g 58
1937 M 8
Oonsol 4548
1957 PI N
88
Roch A Pitts 1st gold 68-1921
Oonsol 1st g 6s
1922
Canada Sou
cons gu
A 5s... 1962
s
f 7S..1940
oh *■ Ohio l«t JWV-vf A*
A
O
J
F
J
A
J
J
A
D
JW J
•No price
Friday: latest bid and
103
76
46
81
"
84
52
Sale
89
93
80
Spr A Col Dlv 1st g 4s
79
W W Va! Dlv 1st
g 4S
OI St L A C 1st g 4s
85
85
91%
90% Mar'20
91
91%
90%
90%
52%
92% Nov'20
4484
88%
58%
51%
80
92«4
73%
Jan'20
70%
73%
73%
85
79
Apr'20
85
85
99% Nov'20
99%
99
99
"83%
83
83
1
100
109,
83%
99% Sale
99%
D
73
74% Nov'20
74%
Jan
83%
9984100%
97% 10C
Nov'20!
O
a Due
84
83
94
95%
74% May* 19
90
May'18
97% Juae'17
Sept'20,
76%
85
Dec'20,
79
84
90
100%
"83"
97%
100%
84%
87%
88
90
90
93
90%
71
70% Sale
80% Sale
82
05
71%
65%
72%
69%
72%
68%
193 i
3231
70%
71%
79%
82 1
63% July'20|
82% May'19
78% Dec" 19
70
89%
57%
68%
61%
58%
75
72
44%
41
49%
35
69
June'19
70%
70%
Nov'20
88% Sept'10
45
Feb'15
43
Sale
95
82%
79
~6Q% "77%
72
113
65
43%
84
78%
69%
72%
Mar'17
86
*63
98%
"79" ~86%
78% June'20
Sale
99%
90%
97%
Jan*IS
Dec'20
"72%
d
34
"70"% "71%
29%
40
98
Feb'20
90
70
70%
04
98
73
77%
91
99% 100
09%
75%
4 Due April. «Due May.
79
Sale
79
80%
73
84
907! Oct
"77" Sale"
92
83%
78
34
Nov'20.
67
" "82%
41
41
93%
20%
34%
33% Dec '20.
19%
90%
92-%
93% Nov'20
.
87%
72%
72%
76
75%
.
68
80
84
-
50
84
85%
60
50
.
50
52
64%
85%
M N
J
J
J
D
J
D
50*4 Sale
93%
...
79
*79
J
M
1940 M
1940 J
J
J
N
S
J
F|
J
J
O
J
...1990
Apr
Cleve Short L 1st gu 4Xs._.1961 A
Colorado A Sou 1st g 4s
1929 F
Refund A Ext 4Xs
1935 M
Ft W A Den C 1st g 6s...1921 J
Conn A Pas Rlvs 1st g 4s__.1943 A
Cuba RR 1st 50-year Be g—1952
O
J
O
A
N
D
O
J
.
50
.
51
94
50
.
__
Mar'20;-
63
Dec'20,
97
80%
68
May'19,.
73
68%
91
79
94
Dec '20
68
72%
68%
72%
65% Sale
73%
68
~62% "73"
73%i
60
82
72
73%
5934
66%
92%
Feb'16,
~53% ~617«
57% Sale
57%
74% Sale
58% Sale
74%
76%
57
59
67%
52%
80
66
65%
64%
66
)
76
65
68%
79%
L
76
83
65%
65% Sale
73% Sale
60
Sale
97%
92
99% Sale
62%
64
58
73%
58%
67%
94%
99%
93%
94%
97h
93%
99%
"I
70
97%
93% Feb '20.
99
64
64
Sept'19
Nov'20.
.
76%
76%
97%
80
85%
85%
83
>
60%
97%
102
91
.
76%
76%
97% Nov'20
89%
81
73
Sale
94
Sale
76%
64%
~9~0~"
78
~
llL
79%
87
74%
70
94
84%
Apr*20
Apr'10
94% Nov'20
99
96
99
83%
Mar'19
91%
.
89%
*
99
94%
9°t2
94%
.
101
88
98
103
.
Feb'20j.
Dec'20.
,
98
" Sale"
99
.
90%
99% 104
90% Nov'20.
102
J2
81
70%
74%
99%
88%
88%
55
81
.
93%
94%
97%
77%
.
109%
"99 " IIII
75%
8i%
65Jb
Apr'19
99
96
" "80*
59%
July'20
73
J
94
.
85%
70%
65% Sale
102%
101% Oct'10
101% 102% 101% Dec '20
02
Nov'20.
59% 68
68%
99% Dec *20
»9%
76%
90%
.
"
161% 101%
.
62
62
98%
95%
1
...
99%
99%
....
91%
97%
98%
74
99% Apr'20
Sept'10
90% 100
98% 98% Dec'20
Sale
74
•74
88
86
69
Sale
68%
70
88
75
|
6534
63
87%
79
65
'
71
312
60%
95
~81 "
58
98
55
-
90
87
Sale
1 !
73
56
88
75% Sale
104
79
78
,
82
^
79%
101%
Sale
82
75%
65
21
Dec'20
67
90%
87%
65
,69%
May'18|
69%
"73"% IIII
ms.
85%
Nov'16!
100% 101% 101%
55% Sale
73%
71
Sf!"
Nov'20!
Nov'20;
74
118
67
77%
88
76%
71
70
Feb'19
82
64
62% 62
100
100% 100% Dec '20
79% Sept*20j
79% 86
80
Dec'20
81% 83
♦81
-
J
64%
Apr'20
62
100
23
35
—
Nov'20
G334
97%
♦81" IIII
I. J!~9~6~% 100%
|
Nov'20
71
98
103
64
52%
May'17
Mar'17
81
j
Jan'20,
65%
81
68
74
75%
88
Oct
87%
72
10
8
80
"79
90
88
*20|
89
75
69%
71
74
61
66
61%
Dec'20
56%
68
71% Dec *20
60%
75
74% Jan '19
84
Nov* 16
76
80
62
Nov'20
70
73
73%
"80% IIII
98
....
54
55
Nov'20
69"
82
82% Sept'19
Nov'20
88"
98
Nov'20
98
"|f"
98
74
F
Cin S A CI oons 1st g 5s...1928 J
C C C A I gen cons g 08—1934 J
Ind B A W 1st pref 48
1940 A
OInd A W 1st pref 5s...<11938 Q
Peoria A East 1st cons 4s. 1940 A
.
Mar* 17
79
88
1939 J
Dec'20
Nov'20
May'20
85% Oct '20
97% Feb'13
32
64% Sale
*1936 Q
Income 4s
*19'
I
76
30%
~64% Sale"
*1930 Q
Registered
l||
86% Sale
8
..1929
ClnWAMDlv 1st g4s—1991
St L Dlv 1st coll tr
g 4s
1990
69%
Mar'20
91%
D
asked
51%
67%
88
Aug'19
99% Mar'18
94
All A West 1st g 48
gu
1998
Clear A Mah 1st gug 58-1943
*60""
63
80
~91% Sale"
C Find A Ft W lat gu 4s
g 1923
Day A Mich 1st cons 4^s 1931
Clev Cin Ch A St L gen 4s__1993
1931 J
65
S
Consol 50-year 4s
ClnH AD2dgold4Hs
1993 J
N
O
88
84
80%
J
O
J
D
Q M
1952 J
J
1937 J
J
General 5s Series B
Ref A lrapt 6s Series A
Cairo Dlv 1st gold 4ri
7512
70%
J
Chic T H A So East 1st 5s..1900
Chic A Wast Ind gen g 6s._el932
20-year deb 4Hs
57%
J
8
A
8
J
8
J
O
C R I F A N W 1st gu U
1921 A
O
Ch Okla A G cons 5s
1952 M N
Keok A Des Moines 1st 5s 1923 A
O
StPaulAKCShLlst4Hs'41 F A
ChlcStPMAOcons0s
1930-1
D
Cons 6s reduced to 3Hs_. 1930 J
D
Debenture 5a
1930 PI
8
North Wisconsin 1st 0s... 1930 J
J
Superior Short L 1st 5s g.el930 M 8
60
35481925 M
Cent Ohio 1st o g
4548—1930 M
CI Lor A W con 1st
g 58-1933 A
J
74%
279
J
1988
Refunding gold 4s
1934 A
RI Ark A Louis l8t4Hs_.1934 w
Burl C R A N lsr v se
1934 A
60
PLE A W VaSyBref4s..1941 M
Southw Dlv 1st gold 3548.1925 J
1922 J
Registered
1988 J
57%
65%
88% Sale
p—gen 4s
167|
63
Sale
L
Feb'20
65% Sale
D
1929 J
Sale
60%
_
Pitts Juno 1st gold 6s
P June AM Dlv
1st g
58
I960 J
g 4S...1928 M
Temporary 10-yr 0s
Ext A Imp s f gold 5s
1929
Ashland Dlv 1st g 60—1925
1955 J
Rocky Mtn Dlv lat 4s... 1905 J
Registered
572
69% Sale
69% Sale
80% sale
83% 84%
66% 71
Canadian North deb
W
F
"
Mich Dlv ist gold 6s...1924 j
Mil Spar A N W 1st gu 4s. 1947 W
St L Peo A N W 1st
gu 5s 1948 J
g 0s_..1921
Rallroad,
Ann Arbor 1st g 4s
71%
—
F A
J
J
M S
J
J
J
J
J
<*
J
J
J
89
J
J
93
100%
89% 100%
88
100%
80
90%
79% 91
80% 90
J
4548-1965 J
Highway Improv 1454s._1903lM
Highway Improv t 454s__ 1965 SI
Virginia funded debt
95%
95%
—
90
J
75%
98% Dec'20,
97% Dec *20
81
J
A O
M N
el989 Q
Chic A P W 1st g 6s
of 95to£
State and
J
Stamped
84%
92% Sale
102
Sale
85
83%
45
1st consol gold 6s........ 1930
General consol 1st 5s
1937
U S Mtg A Tr Co ctfs of dep
75%
UKofGt Brit A Ireland—
are prices on the basis
87%
84%
937ft
86%
99%
55%
44
70
73
95%
89
Sale
J
Chic A E 111 ref A imp 4s glll955
U 8 Mtg A Tr Co eta of dep...
86
76%
603;
12
90%
*J t~56 "
S
bee Great North
Nebraska Extension 4s_
1927
113
89%
86%
Sale
O
78%
70
'""5
62
73
99%
84
High
92
Joint bonds
H N
Registered
H1927 * N.
General 4s
...........1958 "*
81
[Lets
High
92
82%
80%
98%
97%
35
50
Since
Jan. 1
99
J
A
J
J
99
84
N
J
Chic B A Q—Denver Dlv 48.1922 F
Illinois Dlv 3^8
1949 J
Illinois Dlv 4s...
..1949 J
1950
39%
75%
75%
D
Rails.ay 1st lien 3Xs
92
62
78%
75
Range
or
Last Sale
85
82
76%
"7l"%
39,
A
N
68
96% 101
98% 100
82
N
8
O
63'
A X
J X
1925 J
1946 J
34'
73% Sale
Sale
Craig Valley 1st g 5s
Potts Creek Br 1st 4s
73
71%
95
70%
100
J
1940 J
Sale
84
D
D
J
J
J
J
79%
"61% "62"
I
Registered
1992
20-year convertible 4H8..1930
30-year conv secured 6s—1946
Big Sandy 1st 4s
1944 J
41
70%
77
98% Sale
87% Sale
1939
1992
39%
Sale
89% Sale
80% Sale
1939
Registered..
92
Sale
76%
99
1st consol gold 5s
General gold 4Xs
82% Sale
D
78%
78% Sale
40
N Y A Long Br gen g 4s..1941
ChesaAOfund Almpt58—1929
con g 4s...1989 J
2d consol gold 4s
1989 J
Greenbrier Ry 1st gu g 4s. 1940 M
Warm Springs V 1st g 6s__1941 M
OhlcA
Alton RR ref g 3s—1949 A
97%
72
do
do
"German stamp".
Sterling loan 4s
1931 j"
Lyons (City of) 15-yr 6s
1934 M
Marseilles (City of) 15-yr 6s 1934 M
Mexico—Exter loan £ 5s of 1899 Q
New
A1987
R A A Dlv 1st
99%
90%
69%
A
...1926
5-year 554% notes
1921
20-year gold bond 654s.. 1937
10-year conv 554s..
1929
5-year conv 554s
pl922
Zurich (City of) sf 8s
1945
89%
87%
99%
87%
94'% Sale
Italy (Kingdom of),Ser A 654s'25 F
Japanese Govt—£ loan 4%s.l925 F
fj hese
Registered
92
89%
—
J
J
J
J
J
PI N
J
J
Q
J
J
J
M S
J
J
M N
PI N
M S
8
F A
A O
Coal River Ry 1st gu 4s..1945
July'18
Apr '20
94
N
do
do
...1931
2-yr 554s gold notes Aug 1921
10-year 554 s
1929
French Republic 25-yr ext 8s 1945 M
Gold debt 4s of 1904
Paris (City of) 5-year 6s
100% 101
July'20
Dec '20
96V
69%
M
Dominican Rep Cone Adm s f 5s 68
Dominion of Canada g 5s.. .1921
Second series 454s..
June'20
96% Sale
S
D
Kxter dt of 5a 1914 ser A..49 F
External loan 454 s
1949
do
101%
99% Sale
90% Sale
J
Cuba—External debt 6s of 1904. M
do
94.70 99.40
100
100% Nov*20|
2s oonsol coupon
4s registered
4s
1947
Mobile Dlv 1st g 5s
1946
Cent RR A B of Ga coll g 5s.1937
Cent of N J gen gold 5s
1987
Am Dock A Imp gu 5s... 1921
A
of 1933 1938
Liberty Loan—
Notes of 1922 1923
Notes of 1922 1923
2s oonsol registered
41930
4\i%
Victory
4H %
354 %
F A
M N
Range
17
Ask Low
Bid
Central of Ga 1st gold 5a__.j>1945
Coneo gold 5s
1945
86.30 1199
Second Llbcry Loan—
4% of 1927 1942
Conv 4>£% of 1927 1942
Third Liberty Loan—
4%% of 1928
Friday
Dec.
17
High
PI ret Liberty Loan
Week's
Price
N. Y. STOCK EXCHANGE
1
Nov'20
74
74
88
"55"".
47" "67"
"57"
27% Dec '20
13
27
82
83%
84
76%
77%
76%
77%
17
74
70
71%
37
66%
Sale
71
93%
92
"60 " ~63~%
07
92%
Due Jons. I Due Jtdy. tDot Am. (Dm Oet.
16
Dec'20
93
Nov'20
yDue Not. iDn Dee.
73
1
91%
55
89
85%
I®
»8
"63 ~ "73"
s Option
saU
New York BOND
BONDS
N.
Y.
Price
STOCK EXCHANGE
Week
ending Dec.
Del Lack &
Western—
6s
99i2 lOOM
90%
1923
89i2
*93
....
675s
99i2
75
1935
8314 Sale
10314 104
10-year secured 7s
__1930
Alb A Susq conv 3Ms
1946
Renss A Saratoga 1st 7s__1921
Den & R Gr— 1st
70i8
100
Improvement gold 5s
1st A refunding 5b.___
8314
8334
103i2
70i2
104
100
1928
1955
61l8
63
65i2
66I2
68
68
43
43U Sale
Trust Co certifs of deposit..
Rio Gr June 1st gu 5s
Rio Gr Sou 1st gold 4s
1940
40
__1940
*12
Rio Gr West 1st gold 4s_.1939
61
Mtge & coll trust 4s A
1949
Det & Mack—1st lien g 4s__1995
Gold 4s.
199o
Registered
73
8712
21
63
4912
2
39
Oct'20
405s
Chic A Erie 1st gold 5s.
1982
Cleve & Mahon Vail g 5s. 1938
Erie A Jersey 1st s f 6s.>.1955
77
Sale
76i2
10678
IIII "84""
35
Dec'20
365s
36i2
42l2
v 77
Jan'17
103
85
57
56
lOOM
"51" Sale"
73
51
78
81
29
30
95
34
5334
27
66V 85
Grand Trunk of Can deb 7s 1940
Great Nor C B & Q coll 4s. .1921
1961
Sale
88%
Dec'20
8934
91
8oi4
...
1st guar gold 5s.
.1937
Will & S F 1st gold 5S..1938 J
Mar'20
7634
82
99>2
97
Feb'20
97
99
...1951 J
Registered.......
1951 J
Extended 1st gold 3M8--.1951 A
Registered....
83
79%
83%
70
6234 June'20
84
f
15
70
1952 IV!
Purchased lines 3Ms...__l952 J
L N O & Texas gold 4s
1953 m
1953 m
15-year secured 5MS-.---1934
80
68
70
73
f
Sale
68%
n
65is
J
67
n
h
*
73
34
70
661'
68
Sale
66
68
60i2
8778 Sale
87%
62%
"40
Dec'20
.1
73
77
J
51
58
58
"2
J
63
63
63
10
Omaha Dlv 1st gold 3s.
fi
1951 F
St Louis Div A Term g 3s_1951 J
1951
Western Lines 1st g 4s... 1951
Registered..—...
Bellev & Car 1st 6s_
98
102
58
J
60
6212
66
J
J
65
F
fi
67
58%
62i2
J
......1951 J
Springf Div 1st g 3 Ms
fi
72l2
75
93%
83
60
6034
69
Dec'20
52
"
62
Joint 1st ref 5s Series A. 1963 T
7814
Memph Div 1st g 4s.__ 1951 J
Registered..
1951 J
6512
81
"
72
St Louis Sou 1st gu g 4s._1931 M
Int A Great Nor 1st g ext 7s. 1922 M
89
James Frank A Clear 1st 4s. 1959 J
88
Kansas City Sou 1st gold 3s. 1950 A
19
90
70%
69%
84%
69%
89
74
104
5278 Sale
52%
Apr 1950 J
70i2 Sale
69%
71
Kansas City Term 1st 4s...1960 J
Lake Erie A West 1st g 5s._1937 J
6914 Sale
69
6934
78
79
80
80
65
72
Nov'20
90
65
82%
78
49%
59
Aug'19
8278
8734
74
12
89
Dec'20
^Registered
"""Ref A impt 5s.
1950
78
A
...1941 J
North Ohio 1st guar g 5S..1945 A
Leh Val N Y 1st gu g 4Ms—1940 J
Registered
1940 J
2d gold 5s
*
No
89U
J
price Friday; latest bid and aoVcd this
78
o
53
55
1
82%
50
23
26%
45
39
Dec'20
28
53
58
57
Dec'20
45
60
55
Oct'20
55
55
60%
42
Dec'20
33%
67
48%
60
72%
62%
Oct'20
20
623g
30
51
Dec'16
37
Oct'20
...
N
S
12
79%
87%
79%
3
87%
38
82%
84
51% Sale
82
84
49%
52%
58
"52 "
80
71
85
85
102
69% Sale"
69
6634 Sale
66
80%
....
87
90
91%
893g
51
60
59%
"72"
"70" "79%
73
Aug'20
85
July'14
70
---!
..5
48
76%
87
80
95%
"66" "76 "
Oct'17
67
"52
63%
"72"%
80
"2
91
87
102%
Sept'20
97%
75%
74
Nov'20
75
72
Dec'20
68
80%
77
84
9734
17%
30
.
Jasper Branch 1st
J
O
4Ms. 1957 J
....
77
71%
92
97
92
Sale
99
1977 J
J
j
90
1
92
110% Mar* 17
23% Dec'20
J
NO A N'Elst ref A imp
conv
D
6s... 1923 A
g
IIII "25%
95%
64%
80
25
34%
Dec'20
25
40%
24%
O
13
3 4%
31
22
Dec'20
15
24
17
17
72
73
72
80
J
59
Sale
58%
60%
67
1925 J
D
90
90
9084
96
1935 A
O
56
91%
Sale
"i
56%
20
41%
64
N
90% Sale
86
9334
4MsA '52
73
..
deb 6s. 1935 M
..
S
101.
54
Sale
87%
100%
65%
A
66% Sale
O
73
Sale""
70%
Dec'20
56
90%
102
6684
.73
297
100% 103%
72»4
79
63
58.
69% 82%
147
New York Cent A Hud River—
...1997 J
J
66% Sale
65
67
93
1997 J
J
65
Sale
65
65
10,
1934 M
N
77
Sale
75%
77
....1934 M
Mortgage 3Ms..
Registered
N
Debenture gold 4s
Registered
66% June'20
.1942 J
J
"70* "
3Ms.—-1998 F
A
58%
..1998 F
A
57
Registered.
Mich Cent coll gold
3MS..1998 F
A
..1998 F
Battle Cr A Stur 1st gu 3s. 1989 J
59
7234
59%
D
Registered.
4s. .1936 J
J
1936 J
Registered
72
Beech Cr Ext 1st g
87%
Cart A Ad 1st gu g 4s
1981 J
Gouv A Oswe 1st gu g 5s__1942 J
guar
_
KaAAGR 1st *ni
Due June,
1936 J
gold 5s
h Dae July,
.•
1936 J
3Ms_ftl951 A
e
a
5s.. 1038 J
dm Sens.
D
J
57%
70%
67%
69
.."l
74
13
58%
41
821?
66%
76%
65
76%
55
66
52% May'20
52%
60
54
66
58
' 58
58
81
59
Aug'20
Feb'20
81
81
49%
82%
73
73
49
12
95% Nov'16
104
May'16
J
J
O
O
58
49
81
J
78
2d
60
73
61%
56%
59%
Sale
A
Registered.....
84
i
96%
97% Sale
83%
74%
D
76%
ft Due Feb.
Oct'20
79%
81
84
June'19
73
89
....
522
74%
Oct'18
68
59
"73 " Sale*
8
A
62%
'79"
29"% ~40" "
79%
81
87% Sale
J
J
68
St L A Cairo guar g 4s..l931 J
Nashv Chatt A St L 1st 5s. 1928 J
63%
Sent'19
Due Jan.
....
24
Dec'20
Nov'20
76%
72
67
23%
37
86%
51%
Beech Creek 1st gu g
Oct'09
136
36% Nov'20
26%
Nov'20
Lake Shore coll g
74%
93
68%
60%
60%
48%
25
80
30-year deb 4s
Dec'20
Oct'20
35%
30%
Nov'20
35
Ref A imp 4Mb "A",.....2013 A
88
46%
46%
17
26%
Consol 4s Series A.......1998 F
Aug'19
74
28% Nov'20
90
19-year coll tr 7s._______ 1930 M
Oct'20
74
27%
33%
64% Nov'20
N Y Cent RR
93
77%
23%
25
64
N O Tex A Mexico 1st 6s
Nov'17
75
11
33%
90
65
84
*52% "6~3%
56%
3334
137
32%
33
....
58%
Dec"*0
54%
33%
34
68%
Non-cum income 5s A
69% Sept'20
75
19.50 J
92%
Dec'16
61%
53
Mar'J 9
65
85
J
711927 J
Nat of Mex prior lien 4Mb.. 1926 j
1st consol 4s.
_.__.__1951 A
Nov'10
65% July'18
81%
80%
Dec'20
S
1st ext gold 6s
61%
88%
"ofij in:
85
89%
..1938 Q
Montgomery Div 1st g 5s. 1947 M
New Orleans Term 1st 4s._. 1953 J
88
1951 J
O
Guaranteed general 4s
June'16
73
....
Unified A ref gold 4s._.1929 A
Registered
1929 J
Nat Rys of Mex pr lien
80
54
117% May'10
88
1951 J
Ind 111 A Iowa 1st g 4s
68%
79% May'19
92
Chic St L & N O gold 5s__ 1951 J
3Ms
69
74
80% Nov'16
Carb A Shaw 1st gold 4s. .1932 IV!
Gold
781 ■»
68
58% Sept'20
Oct'20
1951 F
Registered
Oct,'20
65
...
1923 J
59.%
63
"32
91
A
J
.
91
82%
88%
62
....
O
General gold 4s.
Dec'20
67
S
A
.
88
43
"~6
N
St L Ir M A S gen con g 5s 1931 J
Riv A G Div 1st g 48
1933 J
Verdi V I A W 1st g 5s...1926 M
Mob A Ohio new gold 6s.
1927 IVI
50%
75
4 8«4
82%
St Louis Div 5s......... 1927 F
74%
62
"32 *65 "
74
1938 F
40
77%
N
.
D
3Ms—
62 84
July*09
J
Gold
72
62%
1950 J
Litchfield Dlv 1st gold 3s. 1951 J
Louisv Dlv A Term g 3 Ms 1953 J
Middle Dlv reg 5s
...1921 F
Cairo Bridge gold 4s
__
"
63%
Nov'15
95% Sept'12
C
S
Gen con stamp gug5s_. 1931
C
Registered
_______1952 A
1st refunding 4s._._
1955 m
....
78
Dec'20
56
25
50
D
2d extended gold 5s
Nov'20
49%
79%
....
S
D
Cent Br U P 1st g 4s.....1948 M
Sept'17
~70" Safe'
.1
1938 M
75%
34%
90% Nov'20
85
85
52
N
Pac R of Mo 1st ext g 4s__1938 J
Oct'18
Nov'20
"69 " II It
J
1951 IV!
Collateral trust gold 4s
92
C
1951 A
sterling
83
83'8
83%*.-.
1945 M
65%
42
2
82
60%
42
Sher Sh A So 1st gu g 5S..1942 J
Texas A Okla 1st gu g 5s__1943 M
Missouri Pacific (reorg Co)—
42%
5
55
68%
35%
70%
52
O
69
8178
?,
71
48%
36%
Mo K A E 1st gu g 5s
M K A Okla 1st guar 5S..1942 IV!
M K A T of T 1st gu g 5s. 1942 M
69
J
74%
51
7734
73% June'18
J
J
Sale
A
5934
69
Dec'20
N
68
7312
41%
Dall A Waco 1st gu g 5S..1940 M
Kan City A Pac 1st g 4s_
58%
IIII
97%
41
36
..
A
....
95
91
Dec'20
31
A
*66%
99
95
Sept'20
40%
70%
....
O
A
*6812
J
Gen sinking fund 4Mb....1936 J
Missouri Pac 40-year 4s
3d 7s extended at 4%
85
Mar'20
91
43%
refunding 5s Ser A_. 1965 F
17
July'20
43%
1st A refunding 5s Ser C..1926 F
General 4s.........
1975 1V!
Dec'20
Nov'10
99
95
....
70%
...
2004 M
Trust Co certfs of deposit
1990^
1942! A
85%
Mar'10
41
30%
1st A refunding 5s Ser Ba_1923 F
J
70
46
32%
1st A
fi
61
55% Sale
13
711?
65
95
73
71
85%
93%
76%
96
85%
64%
90% Nov'20
67%
43%
86%
..1944 M
"ext".. 1916
91
"98~ "98~
68
89
Mo Kan A Tex—1st gold 4s. 1990 J
2d gold 4s
171990 F
Trust Co ctfs of deposit....
notes
"88"
Oct'20
98
46
....
M S S M A A 1st g 4s int
gu '26 J
1st ext gold 5s..'.
1st A refunding 4s
Dec'20
97% May'16
...
99%
92%
67%
41%
«77
91%
71i4 Sale
88
95
Sale
..
1941 iv
M
7
68
69%
39%
M
55
85" "94"
70
9% Nov'20
C
1951
96% 106%
101
70
58
68%
Feb'05
70
91%
8
82
12
65%
40
74
70
72
41% Sale
13614 May'06
90is
OlM 90
93
9118 Apr'20
1955 F
.
*82" "83"
Dec'20
8912
3
46
4s int gu '38 J
f 4b
_
7634
....
80
68%
..
83%
78
1948 A
Houston Belt A Term 1st 58.1937 J
Illinois Central 1st gold 4s..1951 J
"76%
7812
"89"
D
76
88l»
80
92%
1934
1938
5% secured
98
Feb
.1999 J
92
Sept'19
101
7984
*94
Trust Co certfs of deposit...
St Louis Div 1st ref g 4s. .2001 A
99
83%
74%
Debenture ctfs "B"..._.
Feb
Gulf A S 11st ref A t g 5a..61952 J
J
Hocking Val 1st cons g 4M8.1999 J
J
Col A H V 1st ext g 4s
Col A Tol 1st ext 4s
99
83
1937
Green Bay & W deb ctfs "A
96% 105%
120% May'16
8034 Dec'20
80
100
Registered
81%
June'16
10234
Sept'20
Mont C 1st gu g 6s___„__1937
1st gold 38
8512
88
873s
....1933
1st gold 3M8--—
70
99
*101
~7o""
_
78
Dec'20
Pacific ext guar 4s £...1940
E Minn Nor Dlv 1st
g 4s. .1948* A
Minn Union 1st g 6s
.1922 J
_
96l4
82i2
Registered.......... 1937
_
9678
89
96
Mont ext 1st gold 4s.-.1937
Registered.
lo"o~%
9212
10114 10234 10234
1933
1933
Registered.
99%
56!
83
Reduced to gold 4Ms. 1933
;
105
527,'
95'2
7834
7712
104" "
63%
Mississippi Central 1st 5s... 1949 J
96is
lOOM
83
"s"o"%
4s._'._ _1933
"64"
9412
9978
9578
"77%
1961
Dec'19
51%
95
100% Sale
95*8 Sale
*■
Registered-___________ Jil921
Dec'20
76
Galv Hous A Hend 1st 5s...1933
101%
Aug'20
75
92
s
54
76
1
77
refunding gold 4s.__1949
con g
45%
60%
3
...
99
1st A
1st Chic Term
75%
96% 100%
84
89
Ref A ext 50-yr 5s Ser A..1962
Des M A Ft D 1st gu 4s__1935 J
Iowa Central 1st gold 5S..1938 J
1st cons 5s
75%
66%
104
...
75%
60
M St P A S S M
90
100
84
98%
78
73V 80
100
95% Nov'19
95
48
Dec'20
105
66%
90"
Refunding gold 4s.....1951
99
81%
68% Sale
78
67
9l"
85
Dec'20
7034
79
55
67
84%
84""
83%
Stamped guaranteed..... 1977
Midland Term—1st s f g 5s. 1925
Minn St Louis 1st 7s.
1927
Pacific Ext 1st g 6s......1921
Aug'10
64
r59v*63
72
91
*81%
72
99% 103
Dec'20
993s
52
64%
June'12
92
5184
88%
66%
.
1st consol gold 5s
37
Feb'20
99%
79%
62
60
"l
99%
71%
50-yr 5s...1963
Jan'17
7634
7712
100% 100
A1952
cons gu
104%
70
1987
Lex A East 1st 50-yr 5s gu 1965
LAN AM AM 1st g 4Mb 1945
L A N-South M joint 4s__1952
Registered
75
91%
99%
87% 100
62%
6
8638 Sept'20
99%
73%
La A Jef Bdge Co gu
g 4s.. .1945
Manila RR—-Sou lines 4s...1936
Nov'19
95
" II—
104
88
....
83%
Kentucky Central gold 4s
80
87
99%
5184 Sale
86
Nov'11
77
92
N Fla A S 1st gu
g 5s.
1937
N A C Bdge gen gu
4Mb.. 1945
~
87
Mex Internat 1st cons g 4s. .1977
Nov'20
*40
1930
Pensac A Atl 1st gu g 6S..1921
SAN Ala cons gu g 5S...1936
91
Dec'20
108
Sull Co Branch 1st g 5s__1930
Florida E Coast 1st 4Ms.__1959
86
99%
92%
81% Sept'19
89
104% Sale
1930
36
*70%
78%
87
68%
99%
Gen
Sept'20
Fort St U D Co 1st g 4MS-.1941
Ft Worth A Rio Gr 1st g 4s. 1928
1931
79
51
90
....
37934 Sale
80%
65
99% Nov'20
90
40
67
92%
78%
56
"89"" "97"
1st gold 6s__,1923
Registered..
50
-
Sept'20
2312
1942
Registered
38
30i8
IIII
Atl Knox A Nor 1st g 5s__1946
Hender Bdge 1st s f g 6S..1931
58i2
Dec'19
65
*87" "89"
90% June'19
67%
92%
1940
N O A M 1st gold 6s_.
2d gold 6s
60
Jan'18
72
55
Ev
Registered
47
68
86
45
Nov'20
92
.....1940
__
67
Jan'll
~64%
Paducah A Mem Div 4s__1946
St Louis Div 1st gold 6S..1921
2d gold 3s
1980
Atl Knoxv A Cin Div 4s__1955
Dec'06
60
....
51
73%
87
IIII "88%
10-year secured 7S.......1930
L Cin A Lex gold
4Mb
1931
;
,
7934
47
4612
Feb'20
It" "77"
Wilk A East 1st gu g 5s. .1942
& Ind 1st cons gu g 6s. .1926
Evansv A T H 1st cons 6s__1921
921-
61%
95
1937
Registered
Jan'18
91
5s.
Collateral trust gold 5s.
67%
155
5s
Unified gold 4s
IO8I2 Sept'19
Dock A Impt 1st ext 5s__1943
1st consol g 6s_.____
91
"77l2 "79" "
58i2
118
8378
83l2 Nov'20
f 6s._1957
Registered
Gold
86
8378
St Paul M A Man
9312
June'16
72i2
35
1st A ref 4 Ms Series A
80
9278
96
....
IIII *65"
Nor Sh B 1st con g gu 5s.ol932
Louisiana A Ark 1st g 5s
1927
Louisville A Nashv gen 6S..1930
93
Sale
p m deb
69
76
Dec'20
9434 Nov'15
98% Aug'19
51*8
50
4l5g
Mt Vernon
56
92
Sale
gold 5s
48
"63" "63" "
91%
Sale
general
68l2
80
36
1st
58
Dec'16
Nov'20
42
Terminal 1st gold 5s...1943
Mid of N J 1st ext 5s._._1940
1932
74
4s Series D..1953
.1940
72%
91
91%
Oct'06
65% Nov'20
68%
Gen
gold 5s
79
64%
Oct'20
60
Sale
General
77
May'20
72%
J91%
99%
67
36
t:
75
98%
Sale
99%
55
79
....
67
50-year conv 4s Ser A.. 1953
do
Series B
1953
N Y Susq A W 1st ref 5s.. 1937
2d gold 4M8.____
1937
73
~92~
refunding gold 4s...1949
73
N Y & Green L gu g 5s... 1946
80
1938
Registered........
1949
N Y B A M B 1st con
g 58.1935
N Y A R B 1st gold 53.__ 1927
92
...
.A1931
_....
4s..........
Guar
"
80
88
84%
15
5812
6s. .1922
73
Oct'20
"15""
93l2
40% Sale
s
Jan'20
Dec'20
84
1928
cur gu
"83% "87"
gold 5s__ftl931
74
Oct'20
Long Dock consol g 6s.>.1935
87%
1945
cons
59%
Jan'20
"72"" "75 "
Coal A RR 1st
73
90"
98%
"77 " IIII
65
Dec'20
1996
Genesee River 1st
~ 103"
91%
Dec'20
91% Sept'20
93
June'20
__
92
Oct'13
Dec'20
80
...
conv
22
Dec'20
65
99
1st consol gen lien g 4s. 1996
98%
97%
92%
105
Ferry gold 4Mb.........1922
Gold
Mar'12
72%
92
Registered
1996
Penn coll trust gold 4s__1951
Sale"
73%
64
8818 Nov'20
...
50
98%
9234
.
j
.1933
1st consol gold 4s.
General gold 4s
56
88
1996
95
60
10512 Mar'08 —H
78
Nov'20
1920
Registered
8912
66
9312
Yt EA W 1st gfd7s__ 1920
Erie 1st cons g 4s prior
83
92% Nov'20
93
113
Unified gold 4s.......... 1949
84V 96
N
69
1937
76
85%
80
38
60
5
Debenture gold 5s.......1934
Dec'20
82
....
1937
4th ext gold 5s....
5tb ext gold 4s
44
Registered
Long Isld 1st
High
16
77%
20-year
49i2
~75~% "76""
93
9978 10514
65
7212
15 100
100U
78
5834 68
11
6278 7278
1
63
7412
8
Low
No
68%
77%
89
1st int reduced to 4s.____1933
Leh A N Y 1st guar g 4s
1945
2|
High
66
75
49
NY & Erie 1st ext g 4s_._1947
3rd ext gold 4Ms
1923
.
20
■i
133
63
Elgin Joliet A East 1st g 5a__1911 IV!
Erie 1st cods' 1 geld 7s
1920
■
8612
Registered
Ask Low
68%
77% Sale
68
54
6058
....
Dul Sou Shore & Atl g 5s.-.1937
'
96%
67
Since
Jan. 1
39
Sale
63
Det RIv Tun Ter Tun 4M8.1961
■
9434
Range or
Last Sale
70is
15
47M
.
Dul Missabe & Nor gen 5s. .1941
Dul & Iron Range 1st 5s
1937
N
94
Range
Week's
Friday
Dec. 17
17
701s July'20
6ii4 Apr'11
46
"72"" IT—
1939
Guaranteed
100
Sale
Dec.
Registered
1941
Leh Val RR 10-yr coll 6s__nl928
Leh Val Coal Co 1st gu g 5s. 1933
90
103i2
70i2
72
65i2 Sale
68
Sale
63
4s_1936
1936
cons g
Consol gold 4Ms.___
76
ending
'
Dec'20
75% Sale
Price
STOCK EXCHANGE
Week
Bid
Feb'08
957s
....
Y.
Lehigh Val (Pa) cons g 4s..2003 IW
General cons 4Mb
2003 M
Leh V Term Ry 1st gu g 5s. .1941
a
72i2
39.
10218
1922
5s
conv
.
High
63
2411
2
BONDS
N.
Since
9878 lOOM
9212 9734
Nov'20
_____1943
1st & ref 4s
4
9212 May'20
91
Range
Jan. 1
No. Low
High
6734
Dec'20
9578
Delaware A Hudson—
1st lien equip g 4mb..
30-year
Ask Low
6734 Sale
Term A Improv 4s
1923
Warren 1st ref gu g 3M8—2000
i*
Range or
Last Sale
Bid
Morris A Essex 1st gu 3Ms2000
N Y Lack A W 1st 6s
1921
Construction
IS
Week's
Friday
Dec. 17
17
Record—Continued—Page
55%
73
66
June'20
75
83%
# Due
Oct.
$
OptJonfsaie.
New York BOND Record—Continued—Page 3
Since
Jan. I
Low
4HRRK {Con)—
09
06
Non-conv deben 4a
1955 J
Non-conv deben 4a...... 1956 M
Oonv debenture 3Ha—..1956
1945 J
1945 J
60 V
03VI 252
56V
43V
48V 1037
39V
Dsc'20
95~"
98
71V
71V
52
60
General gold 6a
53
60V
St L A S F RR cona g
92V
1
82
70V
45
44
N
40
Sale
40
39
40
40
60
Sale
A
1
M
mm
m
1
1
—
m
'65
54'2
J
S
55V
Sale
35
61
74
74V
51V
77
76
101
....
100
....
73 V Sale
102
74
"74V Sale'
i02V Safe*
76
Sale
III! "73"
74
84V
81
89
Nov'20
68V Sale
08
74V Sale
97V Sale
72V Sale
74
D
J
77V
76
J
J
76 V
37V
106
81V
10-year Secured 7a
AlJeg Val
1942
8
78 V
87V
103V
78V
80 V
A
77
85
83
98V
98V
59V
Sept'20!
75
89
81V
81V
83
75V
88V
83
78V
88V
73
82
104 V
101
78V
09V
Aug'20
D
66V
O
77V
80
79V
guar 4s ctfa Ser E. 1952 M
Gin Leb A Nor gu 4s g__.1942 M
N
73V
75V
77
CI A Mar lat gu g 4Ha... 1935 M
CI A P gen gu 4Hs Ser A.1942 J
Series B
1942 A
N
A
O
60
Jan'20
73V
--
80
86V
86V
Feb'20
-
84V
Dec'20
—
104
96V
86
Western Dlv lat g 5a
60
81
General gold
90V
88V
Feb'17
75
...
...
J
J
69V
1940 J
J
J
69 V
..
J
74V
...
S
N
87V
III
1933
1942
P O O A St L gu 4Ha A..1940
1942
1942
Series D 4s guar
1945
Serlea E 3Hs guar gold.1949
Series F guar 4a gold...1953
Serlea G 4a guar
1957
4H8.1903
1970
Ml M*«l
761a
80V
II
Sept'20
80
80
93
|| Union Pacific
Mar'10
85V
88V Sept'17
85 V
85 V
84
»5V
84V
84
85
84V
84
80V
74V
80 V
80 V
84V
80
a
...
...
82
—
86
Sale
oua/au
Ulster A Del 1st
lat refunding
cona g
g
5a
4a
lat g 4a
86V
88V
II
1947
20-year conv 4a
1927
lat A refunding 4a
02008
10-year perm secured 6a._1928
Ore RR A Nav con g 4a.-1946
Ore Short Line lat g 6a—1922
lat conaol g 5a
1948
90
79V
90
80
82V
78
80
Guar refund 4a
72V May'20
72V
84
Utah A Nor gold 5a
82V
82V
82V
82V Nov'20
76V June'20
73V
82V
76
88 V
80
74V
86
82
S l>ue Fab.
1947
Registered
74V
Apr'20
1928
1952
» Da.-Mao.
lat extended 4s
-L.1929
1920
1933
Vandalla
cona g 4a Ser A
l955,.,
Conaola 4s Series B
1957|M
Vera Crna A Plat gu 4H8..1934 J
iDu.Jalp.
«8mAo..
D ie Oct.
90
Nov'20
Nov'20
Nov'20;-;—!
61V
70V
88
21
67
2
89V Dec '20
85V
90
53
97
'20,
'2Qj
55V
69V
98V
91V
84V
86V
"98"
60
63V
86V
91
97
53
100
96
97V
80V
90V
Feb
~8V\ "91
*20|
60
60
"88V "95
104V Dec '10!
87
Nov'20
"84V "90
82
63V
8912
79
Dec'20
85
55
SOU June'20
70
80V
80V
70
Oot '20
70
70
83
Sept'20!
79
83
80
Dec '20
80
62V
87V
74V
81
86
75V
85
35
85
82
80V
66
70
63
92V
90
Aug'19
66
---
80V
67
79V
102V June'll| —
88V Dec '20 .:
82
82
69
60 V
46V
Nov'20
05
81V
897a
90
2
Nov'20
Dec
86
74V
81V
89V
80 V|
Dec
7634
55
S
87V Nov'20'
81
76
76V Sale
35
"65V ~70V
70
67
July'20
78V
35
Nov'20
70
70
100V Nov'04
"90V IIII
83V
"93~U
75V
80V
65
82
02V
73
90V
Dec'20
83
75V
Nov'20,
65V
65V
68
64V
65121
Dec'20
89
84
50
36
80V
49V
81V Oct *20
30
15
19
15
Nov'20
15
15
63
65
Nov'20
64V
88
77V Sale
77V
77V
77V
85V
52
52
74V
85V
77
79
64
"38"
3H8.1925JJ
84V
84V
Oct '20
80
J
J
62V
71*8
65V Dec '20
81V Mar'10|
67
65
;
80V May'20
1917|F
Apr'20
79V May'19
70V Apr'20!
86V Oct '20
87V Nov'19
J
1927
1917
50-year gold 4a
1950, *
Coll trust 4a g Ser A
Trust co ctfa of deposit
1 --Tor Ham A Buff 1st g 4a__*1940 J
80
...
1990
A
54
50
90
1935 J
2d 20-year 5a
Tol P A W lat gold 4a
Tol St L A W pr lien g
Dec'12
69 V
69
5s__1935
1935 A
5a
Kan A M 1st gu g 4a
84V
Feb'12
70
A
1931
5s
W Mln W A N W 1st gu 5sl930 F
J
Tol A Ohio Cent 1st
80
84V
85
1953
4s
67""
82V
F
84V
i
160
18
65
65
g
71V
73V
80
1924
cy gu 4a
g
Dec'15
N
5a..2003
J
90
85V
St L M Bridge Ter gu g 5a. 1930 A
D
Texas A Pac 1st gold 5a
2000 J
2nd gold Income 5s
02000 Mar
J
La Dlv B L lat
96V May'18i
...
..
1920 M
1936 M
73V
77
90
75V
....
1926 M
gu
Dec'20j--
J
1945
Spokane Internet lat 9 5a
1955 J
Term Asan of St L lat g 4Ha 1939 A
1st cona gold 5a
1894-1944 F
J
Gen refund s f
Nov'19
Nov'20
97
W O A W lat
97V
69V
77
96V
93V
1st cona 50-year 58,-1958 A
98V
71
J
Va A So'w'n lat gu
84V
93V
95V
73V
52
General 5s
105
95V
68
4714
Series F 5s
86V
92V
98V
70!
o
Serlea E 5a
78V
93V
83V
97V Oct *20
69V Mar'20
73V
1946
Virginia Mid Ser D 4-5a._1921
75
82
66V
N
Rich A Dan deb 5a stmpd. 1927
Rich A Meek lat g 5a
1948 M
M
103V 108
02
70V
05
90
86V
S35V Sale
87V
1956
1938
Ga Pac Ry 1st g 0a
1922
Knoxv A Ohio 1st g 08—1925
Mob A Blr prior Hen g 5s. 1945
83
66 '8
Sale
Mortgage gold 4a
83
A
62
67
E Tenn reorg Hen g 6a
Oct* 19
—
66
59
J
62V
85
Ga Midland lat 3s
83
69
81
59/
S
79*4
69
80
J
J
08
78
J
Cona lat gold 6a
82
75
85
o
4a
83
73 V
Sale
81
1948
2d
Dec'10
Feb'20
D
J
D
96
80 V
July'19
67V
Atl A Yad 1st g guar 4a..1949
E T Va A Ga Dlv g 5a
1930
-
72V
85
A 5a ..1943
cons
96
60
64V
77
Dec'20
93
D
83
J
80 tg
69V
63
.1951
....
67V
Dec '20
78V
D
O
St Loula dlv lat g 4a
J
57V Sale
Sale
58
09
68
S
s
87
70
97 V
o
85V
90
81V
J
1958
Ser A
86
80V Aug '20
83i2
84V
84V Oct '20
50V
59
57V
59
85
Nov'20
83V Sale
76V
65
J
!
gen 4s
Sale
69
J
Nov'20;
1930 A
N
Registered..
"7414 Sale
J
69 V Sale
J
J
Develop A
100V
98V
O
1994
1994
Mar
93V
937i
85
4H31944
90
1908 J
O
1950
5a
cona g
Mob A Ohio coll tr g 4a
1938
Mem Dlv lat g 4 H 3-53—1996
Feb'19
81V
J
91
82V
l3t 39-year 5a Ser B....1944
Atl A Danv lat g 4a
1948
June'20
~92~V ~93'
1943
1955
97V
91V
87V Sale
91V
Ala Gt 8ou lat
96
08
gold 5a
J
N
Atl ACharl A L lat A
97
70
95V
Southern—1st
102V
85
95V
91V
77
82V
00 V
87
95V
99 V
95'2
88V
98V
97 V
97V
83
69
Nov'20
93
83
98V
49V
85V
82V
93»4
82V
94
Sau Fran TermI 1st 4a..
74
78V
~69~"
84V
81V
85
J
Jau'20
77
84V
Aug'20
O
81
Nov'19
Nov'18
N
80 Pac RR lat ref 4a
94V 105V
'20;«! 72
82V
74V
1921
gold 4a Int guar
J
Oct '20
64
97
60V
Oct '20
84
85V
Tex A N O con
70
85
95
97
82V
"84 ~ Safe"
84V
J
82
104V
70
54
"
J
J
70
74
Waco A N W dlv lat g 6a *30
A AN W lat gu g 5a
1941
100V 103
67V
80
—
'
70V
73V 81V
93V 117
65V 78
Sept'10;
82V
O
74
440;
99V; 377
72%! 213
74
74V
69 V
69 V
,100
Oct '18
84V
1921
99 V 100
100
70V
N
Louisiana West 1st 08
83
93V
J
N
No of Cal guar g 5s
1938
Ore A Cal lat guar g 5a...1927
So Pac of Cal—Gu g 5a
1937
55
•
73
70V
N
62
82
D,
61V
70V Oct '20
75V
84 V
60
53V
76V Sale
70 V
92
69V
97
N
80 Pac Coast lat gu 4s g..l937
76
53V
"80"
92
87V
72V
Dec
Sale
General 5a
84V
Dec'20
77V Sale
87V Sale
103V Sale
I.M b.1
74V
M
63
71V
76
87V
70 V
**!«■
Dec'20
O
64V
100
104
88V Sale
General 5s Series A
51
Dec'19
75V
98V
81V Sale
cons guar
86
82V Oct '20
89
Oct '20
79V
A
57
70
101V
A
Series T
Dec '15
A
48
74V
Dec'20
74V Sale
54
N
Serlea O guar
A
D
5912
Mar'20
96V
N
Series B guar
69
98
73V 74V
69V Sale j
Gen
101V
76
1960 F
1985 J
Series O 4s
F
S
D
51
51V
70
75V
77 V
67
90
D
M
Hous E A W T lat g 59.-.1933 IVI
M
lat guar 58 red
1933
H A T C lat g 5a Int gu_..1937
Oct '20
74V
4 Ha
Genera! 4 Ha
4Ha
D
J
2d exten 5a guar..
1931
Gila V G A N lat gu g 53..1924 M
Oct '20
72V
49
Nov'20
Through St L 1st gu 4a. 1954
Nov'10
81V
Series B
34V
Dec'20
122
45
38
62
90
92
Mort guar gold 3Ha_.51929 J
Dec'19
101V 109V 101V
M
1949
Registered
01V
69V Nov'20
67
Oct '20
50
30
64
60V
61
64
78
20-year conv 5a....
..1934
Cent Pac lat ref gu g 4a._1949 F
00 V
59
64V
55
493g
May'20
74V
86V
J
Feb'14
02 V
N
Tol W V A O gu 4Ha A..1931
Registered...........51949
...01929
Dec'13
Sale
----
70
82 V— 101
1943
20-year conv 4a__
Nov'20
88 V
Ml
Ohio Connect 1st gu 4a... 1943
Pitta Y A Ash 1st cons 5a .1927
60
Sept'17
45
99V
1943 Wl
1st gu g 4Ha_1941|
64V
44
37
70
"41V
D
3Ha B..1940
69
64l2
J
J
N
Paoflo Coast Co 1st g 5a...1940 J
Paduoah A Ilia lat a f 4H8._1955 J
....1950
62 V
July'14
Aug'13
83
64V
86V
71V
64
...
Gold 4a (Cent Pac coll)-.fcl949
O
M
ex
87V
Sale
G H A 8 A M A P 1st 5a.1931
"36
J
Wash Cent lat gold 4a
1948 Q
Nor'Pac Term Co lat g 0a.. 1933 J
Oregon-Wash 1st A ref 4a... 1981 J
lr R A T
1st land grant ext g 5a.. 1930
106V May'15
mm
-
98
Erie A Pitts gu g
Series C__
56
50
Conaol gold 5a
81V
Southern Pacific Co—
68V Dec '20 —
64V Nov'20,-57V Nov'20,
87
64
55V
64
'
r
O
89
F
39V Sale
64
Fla Cent A Pen lat ext 6s. 1923
....
F
194S M
67V
Dec'20
98V Jan '13
59V
60
66V
60V
50V
50V
32V
3o V
33V
40
60V
90
100
Oct'19
A
3Ha—1942
49
...
g 4a—1949
49
J
| 40-year
61
60 V
Caro Cent 1st con
July'18
F
Guar 3Ha trust ctfa C...1942 J
Guar 3Hs trust ctfsD...1944 J
Guar 15-2.5-year gold 4a.. 1931 A
60V
58V
59V
Sale
59V Sale
67V
50V Sale
1950
00
Q
Guar 3 Ha coll trust reg A. 1937 M
Guar 3 Ha coll trust BerB. 1941 F
00
39V
48V
58V Sale
Ga A Ala Ry 1st con 5a..ol945
Q
...1921 J
66
£5
39V
40
Dec'20
63
55
56
44
67
92V 100
56V
70
Sale
48V
40V
41
Dec'20!—
94
55
34V Sale
52V
46
92V
67
61V
81V
64V
Adjustment 5a.....
.01949
Refunding 4a.........
1959
AtlA Blrm 30-yr lat g 4s.cl933
40
45V
60
85
Sale
40
40
Sept'20
70
102
66
Ga Car A No 1st gu g 5a..l929
Seaboard A Roan 1st 5s.. 1926
J
M
62V Sale
1950
Jao'12
Registered certificates.. 1923 Q
it Paul A Duluth lat 6a..1931 Q
Int reduced to
Seaboard Air Line g 4a
79
Oct* 17
A
Series C 3 Ha
Series D 3Hs
"97V
50
it P A N P gen gold 6a...1923 F
Registered
94V
05V
91V
111 1 1 1
111
94
50
40
Northern Paclflo prlof lien rail¬
way A land grant g 4a
1997 Q
Registered
...1997 Q
D R RR A B'ge lat gu 4a g 1936 F
Pennsylv Co gu lat g 4 Ha.'. 1921 J
"94 " Safe
Gray'a Pt Ter lat gu g 5a. 1947
S A A A Paaa lat gu g 4a
1943
99V Feb'19
97 V June'20
75 V
76V
38
"47"
—
-
69
95V
82
May'17
lat terminal A unifying £■. 1952
40
4a..1989 M
.1948
90
70
J
1929 M
.1968 J
07
73
O
77V
91V
81
x
66V
64
46
64V
62V
44
86V
Oct '20
04V
Nov'20
41
84
90
52
HO
,
86V
K C A M R A B 1st gu 5a.1929
Jan'09
40
75V
96
86V Sale
95V
Sale
40
S
43
93V
"n" "88"
Oot '20
57V
Sale
96
St L S W lat g 4a bond ctfa..1989
2d g 4a Income bond ctfa_pl989
Conaol gold 4a
...
1932
8
A
J
Oct
.1931
43—1996
Gold 4a stamped
Pocah C A C Joint 4a.. .1941 J
O O A T lat guar gold 6a..1922 J
gen guar g 4a...
51960
Income Serlea A 6s
71
95V June'20
67 V
70
\
1
t
40
93V
72
60V Sale
St Loula A San Fran gen 6a. 1931
93V
82
Oct '20
130 V
71V
IIII ~64"
K C Ft S A M cons g 08.1928
K C Ft S A M Ry ref g 48.1936
1 t I l_
76
A
4s.....1932 M
4Ha.. .1938 M
Oonaol
71
Nov'16
90 V
J
1990 A
Dlv'l 1st lien A gen g 4a. 1944 J
10-25-year conv 4a
1932 J
g 4a.. 1923
02V Sale
4714 Sale
84
Southw Dlv lat g 5a—1947
....
95V
Registered
Pennsylvania RR lat
Oonaol gold 4a
Oonaol gold 4s
Cum adjust Ser A 0s..—51955
Dec '20
87V
58
93V Apr'20
97V Dec 'L7
78
79V
84V
67
Improvement A ext g 0a._1934
New River lat gold 6a
1932 A
1st consol gold 4a
71V
60V
71V
84V!
Nov'10
68V Sale
1931 M
General Hen gold 3s
a2047
Registered
a2047
Ref A Imp 4H* aer A....2047
it Paul-Duluth DIv g 4s..1990
70V
84V
92V Nov'20
"99"
F
gu g
Sale
84V Sale
82
1955 J
Solo V A N E lat
1950
Prior lien Ser C 6a__._.—1928
101
92V
Norfolk Sou 1st A ref A 5a..1901 F
Norfolk A Sou lat gold 5a..1941 M
10-25-year conv
10-year conv 0a
Prior lien Ser B 5s—
103
W A Con Eaat 1st 4H9—1943 J
Y O A W ref lat g 4a
gl992 M
Registered $5,000 only__0l992 M
conv
94
Nov'20
Aug'20
60V Nov'20
Providence Term lat 4a.. .1956 IVI
10-20-year
92V
40
80V
75V
66
St Loula A San Fran (reorg Co)—
60
Prov A Springfield 1st 5a. 1922 J
4a..1990
1950
97
98
:
63V
Providence Secur deb 4s.. 1957 M
oona g
Prior Hen Ser A 4a
91V
80V
92
89
St Joe A Grand Isl 1st g 4s_.1947
69V
May'15
85
J
NYW'cheaAB 1st Ser 14Ha *40 J
Boston Terminal lat 4a...1939 A
N A W Ry lat
09V
Nov'17
113
.
orf A West gen gold 6a
64
1997
1997
Registered
36V
34
84V
76 V—79
Sale
Jersey Central coll g 4a—.1951
Atlantic City guar 4a g_..1951
J
W Y Prov A Boston 4a.__1942 A
General 4a....
81V
81V
71V Oct '20
72
65
Houaatonlc Ry cons g 5a.. 1937 M N
Naugatuck RR lat 4a
1954 Ml N
5a
Reading Co gen gold 4s
67V
94
IIII "00
Harlem R-Pt Ches lat 4s.l954
cons
72V
72
J
B A N Y Air Line lat 4s..1955
Cent New Eng 1st gu 4a..1961
Hartford St Ry lat 4a....1930 M
Conao! 4a
63V
79*8
80V Sale
66
Sale
1950
1st Series B 4s
09V
F
Non-conv deben 4a....1955
Non-conv deben 4a
1956
New England
Nov'20
77
79V
-
71V Nov'20
{
-
Philippine Ry 1st 30-yr s f 4a 1937
Pitts Sh A L E 1st g 6s
1940
1st consol gold 6s..1943
81
51921
Pere Marquette 1st Ser A 68.1950
2d gold 4Hs
Feb'10
97
Conv debenture 0s......1948!*
Cons
,800
9-16
Feb
1 15-16 Apr
k
Nov
4
46c
k
k
4 3-16
Blosscm.r
4k
8,560
2k
2k
2,500
100
10c
Butler.r
4
3—16
1
17c
1
5c
Kewanus.r
1
2c
k
1.320
~35~X
27c
4Kc
5Kc
13c
Jan
Sept
lc
2c
17,600
Kc
July
15c
Jan
Aug
Oct
15c
Jan
8c
Oct
10c
8c
7c
8Kc
39,400
4c
4Kc
4c
4Kc
30,000
4c
1
k
Mining.r.j.l
1-16
17
16k
17k
2,100
16 k
Dec
39
Apr
Jan
Copper.r._
6c
8c
24.900
6c
Dec
82c
20c
7c
5Kc
20c
2,000
17c
Dec
65c
5Kc
5Kc
3k
1,100
3k
400
New Jersey Zinc.r
Nipls8ing Mines
Ophir Silver Mines.r
5
7k
7k
6,700
1
7-16
k
7-16
3,200
Prince Consol
2
5-16
k
5-16
3,300
135
135
70
137
7
5c
5c
5c
1-16
1-16
20,100
35 K
25 K
100
35 K
Dec
66 K
Apr
1
k
k
k
3,400
1
Aug
3K
Jan
Silver King Divlde.r
1
7K
Nov
Jan
South Am Gold a Plat.r 10
Pick Cons'd.
r
1
Jan
3,000
Jan
Silver
97c
3-16
1-16
19
May
3-16
1
12,100
k
3,000
1
8K
Nov
k
1
7K
k
k
3-16
Roper Group Mining
Bt Croix Silver
7k
7-16 Feb
Aug
July
Rex Consolidated Mln
9,300
Feb
4c
Ray Verde Copper
IK
3-16 Sept
4k
100
Jan
lSg
Oct
Feb
Dec
17,350
Jan
IK
6
20
2k
..1
100
Mar
Nov
7
Knox Divlde.r
1
Jan
4KcMar
65c
15-16 Jan
Lone
Star.r
Oct
15,050
Jan
Nov
K
KcJuly
12c
17c
15c
Jan
78
Sept
Jan
25c
78
K
2k
2,000
Dec
15,000
Mar
16
23,000
49
155
K
Mar
2c
300
72K
5-16
Oct
8k
25c
50
70
%
k
8,200
49
72 k
Jan
3,700
30,800
Jan
32
2k
9-16
2c
Jumbo Extension
Arcadian
650
1 15-16 Jan
19c
Honduras Amer Synd.r (t)
Howe Sound Co
1
New
Sept
July
Nov
24c"
1
Mar
59
k
19c
36,250
10
150
0?8
62c
3,800
Jan
Oct
Jan
June
26 K
Ma*
10
Dec
Aug
Mar
44c
i
6
17,100
Jan
12c
ik
30c
1 7-16 1 9-16
k
McKinley Darragh Sav_.l
4,700
8
ik
1 1-16
4KcJune
10c
June
Motherlode
Nov
64c
550
11c
May
1,000
21,700
55,500
June
Dec
7c
3k
23c
7
Aug
13c
19c
45
IK
Jan
23c
Dec
22
Aug
42o
Feb
Nov
10K
92c
Oct
15o
Marsh Mining
15,500
Mar
15c
15c
Jan
10K
2K
26 K
30c
18,550
15,500
Dec
5
117
50,500
18c
Dec
Magma Copper
1,000
Jan
42c
lc
Apr
6
7c
5c
MacNamara
Sept
4c
16,200
18,300
Jan
3K
Juna
25,850
4K
30
ik
37c
Jan
k
6c
Louisiana Ccnsol
1,500
2k
38c
Jan
49a
2Ke
Jan
29
k
......
Mar
880
lc
3
Dec
ik
4o
June
5c
IK June
IK May
Dec
27c
10
2c
2Kc Aug
3-16 May
2Kc Dec
2c
Mar
IK
Dec
62c
15-16 Juna
5c
13
K
64c
1 3-16 Mar
Oct
May
k
1
Zone Divide, r
Heel a Mining
Iron
3k
Dec
k June
10c
Devel.r
Harmlll Divide.r
Jim
5Kc
ik
28Kc
1
Dec
1,500
100
Dec
June
6c
3k
2Kc
9
10
Nov
2,996
2K
Jan
13
36
1
1
1
3K
10K
2k
5K
Dec
"3c"
k
500
1
5—16
...
8K
145 K
145
Mar
Sliver
Eureka Croesus Mln.r
Eureka Holly .r
Dec
32 K
IK
3K
7K June
Emma
K
17K
IK
30
Roy de France Toilet ProdS
Jan
50
47
June
11K
23 K
1
Oct
July
k
,
100
10
1,360
11
73
Indian PackCorp r (no par)
1
8,900
9k
11
15 K
9
27.100
18K
Heyden Chem_r__(no par)
5,600
2,800
ik
72
Dec
7-16
Mining Stock*—
73"
Dec
Jan
10 k
Firestone Tire a r, pf.100
Gardner Motor Co. (no par)
iiK
Jan
Jan
Mar
♦2k
Dec
21
ik
ik
Dec
Dec
1,000
Apr
4
Nov
17
UK
13k
k
19
21
85
Dec
Dec
6,600
Dec
4K
7k
k
k
1
July
11K
Nov
Aug
80
k
7K
21
Jan
Dec
13 K
Goodyear tar
Dec
Nov
1,100
5
Oct
2k
73 k
k
4,800
Goldwyn Pictures r(no par)
50,400
14k Mar
7k
jan
10
k
17
36
K
Dec
Jan
Feb
7,500
19
Gen Asphalt, com.r...100
10,100
6k
Mar
Mar
1
13K
575
1
10 k
k
9
19
16K
37 K
50
22,500
Dec
ik
3
k
1
10
(t)
Farrell(Wm)ASon com r(t)
16 K
35,200
7k
Empire Tube a Steel
Dee
7k
81
"*7k
9k
4Kr May
5k
Aug
ik Aug
Jan
Jan
26
5
Woodburn Oil
60
14
Preferred ,r
7k
26
Nov
Jan
10
Vulcan Oil.r.
1
r
100
7k
1
us Oil Corp
Victoria Oil.r
1
.
*
1,400
4k
5
Tex-Ken Oil Corp.r
Texon Oil a Land _r
United Tex Petrol.r
15
1
15
_r
1,700
10k
10
Jan
50
28 k
5
Skelly Oil.r
Jan
July
26
9k
slmms Petroleum r(ijo par)
Sinclair Con Oil pref.r. 100
Jan
IK
k
13
4k
10
9-16 June
5,800
1
k
11
6
Settled Prod.r
4
91
K
k
K
UK
26 k
2
45
1,200
K
11-16
5
Cons'd.r
Apr
29
ik
Jan
Jan
Rickard Texas Co.r
Sapulpa Refining.r
Savoy Oil
Dec
(t)
Feb
Nov
Mar
Nov
Candy.r
Dec
Mar
5
6
United Profit Sharing..25c
United Retail Stores
k
2k
12 k
5,600
100
7
ik
144
60
Dec
Jan
UK
7k
6,600
2k
11
7
'•"Ik
1.78
4,100
755
15 k
10
10
3
Dec
Nov
Nov
100
k
13 k
Marland Refining, r
5
Merritt Oil Corp.r
..10
Mexican Eagle Oil.r—,
k
14
10
Nov
35
11
Triangle Film Corp v t c.15
Union Carbide a Carb.r(t)
United Motors.r..(no par)
1.81
1
(no par)
k
1,000
Manhattan Oil.r..(no par)
Maracalbo Oil Explor.r(t)
3
Dec
23,900
16,200
3,500
105
Dec
Nov
Jan
Jan
ik
1,050
1,500
(t)
Todd Ship Corp, new.r.(f)
ik
7-16
16k
k
1
r new—no
150
Nov
3
Mar
1,140
3,050
Tobacco Prod Exp.r
6k Aug
1
May
36,000
IK
Sweets Co of Amer.r..100
Swift International _r
15
Oct
25 k
6K
Singer Mfg.r
2
3,000
12
Motor Car.r
20
26k
1
Reo
4
25k
6
Mfg.r
6
Guffey-Gilleeple Oil.r.. (t)
Shares.
Jan
July
Clashing Petr Corp
«
Dec
Jan
Range since Jan. 1.
7k
ik
7k
ik
86 k
76
11
Preferred _r
ik
ik
66
10
Pyrene
Apr
72
Crude Chemical, com.r
Davles (wm) Co, Inc.r.(t)
Profit Sh c a r s.r
Apr
13
ik May
1,000
Perfection t a r.r
90
Dec
4k
45
com.r
Nov
6
7,600
44
Preferred.r
65
2,600
44
Lima Locom
100
500
5k
for
Jan
14,300
5k
6
2k
Cleveland Auto Co
_r
45
Jab
6k
65k
Tradlng.r
Inter Petrol
15-16
Dec
4k
5,500
Lehigh Coal Sales;
6k
Nov
4k
31K
1
12c
Grenada Oil Corp cl a.r 10
31
Preferred.r
19c
Nov
31k
•
'
167,000
1,550
7k
13c
86
Cities Serv Bankers shs r(t)
Kay County Gas.r
Dec
May
79 k July
59 k.July
300
%
_
75
480
2
200
__
com r 100
Griffith (d w) Inc cl a_(t)
Hercules Paper.r. (no par)
dec
Dec
2k
Jan
Mar
68
10
we
355
Jan
320
Glenrock Oil.r
3K June
29 K
Aug
40
Sept
Eastern
Aug
■
4.319
Dec
43
East Coast Fish Prod com
350
Nov
400
Preferred
300
388
564
71k
68
320
86
45
Continental Motors.r
230
315
303
330
98
43
Conley Tin Foll.r
| Sept
Dec
Preferred .r.100
(t)
(t)
372
79
1,600
25
Nov
95k May
35
Chicago Nipple Mfgcl a 10
240
Federal Oil
34
Chalmers Motor
10
Esmeralda Oil a Gas
100
Car Ltg a Power.r
s Jan
245
Oct
31
com.r
278
Jan
28
£1
Carbon Steel
Aug
May
6K
9
07 k
Brlt-AmerTob ord bear -£1
65
195
Nov
27
..100
Preferred ,r
Aug
273
10
245
5
28
100
Co com.r
44
45
90
2,100
40
37
Amer Writ Paper com. 100
Borden
420
198
17K
6
Amalgam Leather com.(f)
Am Chicle com.r__(no par)
Amer Hawaiian s s.r—10
47
288
5K
38
Packers, r.. (no par)
Aluminum Mfrs
45
280
198
286"
92
1
9K
Air Reductlon.r..(no par)
Allied
2 Feb
gMar
Jan
6
Week.
.
High.
K
Jan
143
63
Elk Basin Petrol.r
Sales
.
100
Dec
Apr
Duquesne Oil.r
Industrial & Miscell.
Acme
Dec
Dec
90
32,000
Week's Range
Low.
83
30
Dec
Engineers Petrol Co_r__
Nov
Jaa
45
90
105
400
31
18k
84
Apr
1,000
Jan
Mar
K
k
Mexico Oil Corp
Midwest Refining.r
Price.
17k
85
Nov
180,000
Friday
Stocks—
2,740
Jan
100
Dec
Dec
7k
Jan
v'i v:V-V
of Prices
Dec
K
27,200
Jan
.
Last
10
20,100
Hudson Oil.r
Sale.
19
1,000
K
30
give a .ecord of
the transactions in the outside security market from Dec. 11
to Dec. 17, both inclusive.
It covers the week ending Friday
Week ending Dec. 17.
1,255
k
June
New York "Curb" Market.—Below
afternoon.
Jan
7k
80
Dec
71k
1k
100 %
2
Jaa
26 K
k
Denny Oil.r
Apr
Jan
5H
Dec
t'ik
g'arlb
110
4K
Dec
6
...
Cosden a Co, com.r
May
Nov
9
Oil.r..i
Jan
Jan
105
Natl Properties 4~6s__1946
Penn rr 10-year 7s.. 1930
Boston-Wyoming
Jan
109
1
2K
17 k
10
Carib Syndicate.r
90 k
102 k
3,000
26,000
2,500
90
90
Atlantic Gulf Oil Corp. 100
71
65
53
Dec
11
Dec
49 k
Dec
Oct
l
Other Oil Stock*
Allied Oil.r
1
Arkansas Natural Gas.r. 10
4s. 1945
Lake Superior
Dec
Dec
Standard Oil (Calif).r. 100
Standard Oil (Ind) new..25
Standard Oil of n y.r.100
64
2,000
54
Jan
Dec
25
50
11,000
1,000
64
Jan
82
65k
Inter-State Rys coll 4s. 1943
Elec a Peop tr ctfs
Jan
Jan
6
4,400
7,900
83
Prairie Pipe Line.r.... 100
South Penn Oil.r
100
Oct
2,000
4m
64
Ohio Oil.r
15,000
70
65k
84 k
101k 102
Chic Great West 4s... 1959
Jan
Jan
79
84 k
1945
Bklyn Rapid Tran 78.1921
Jan
92.88
29,000
70
Bell Telep of Pa 7s
94.60
93.10
80
k
Jan
4
20
25 k
80
£1
99.34
96,500
65 k
Atlantic Fruit 7s
19
19
3K
Nov
550
ik
2k
10
9
Feb
Sept
K
Subsidiaries
OMay
70
79
1
2,500
65
Former Standard oh
Anglo-Amer oil.r
Buckeye Pipe Line.r.._50
Eureka Pipe Line.r
100
Galena Sig Oil com.r..100
79
95.00 95.42
Jan
90.40 Apr
91.78 Apr
82.30 May
94.70 May
85.16 86.10 196,000
small
do
86.
100.00
1,200
High.
Nov
27
1
ik
2k
Second preferred_r__ 100
World Film 2d pref.r._
Low.
1,925
K
ik
k
k
10
6
Jan
8k
37
89.80 90.10 $16,650
85.90 85.90
1,500
u 8 Steamship
50 k
108k
Range since Jan. 1.
Shares
ik
1H
20,069
1st Lib Loan 4s. 1932 47
4kb1932-47
2d Lib Loan 4kb 1927-42
3d Lib Loan 4^8... 1928
4th Lib l'n 4ks.1933-38
Victory 4kb
1922-23
Allegheny Vail gen 4s. 1942
29 k
1
23
163
2d Lib Loan 4s..19 7 42
1st Lib Loan
High.
Feb
Aug
*
for
Week.
Low.
29
36
47
Price.
29 k
Bonds—
u s Lib Loan 3ks-1932
(Concluded) Par
of Prices.
V 8 Distributing com.r.50
30
31
Stock*
Week's Range
1
13,050
1,890
IK
Tonopah Mining
Union
Last
Sale.
Range since Jan. 1.
Last
Sale.
Salts
Friday
Sales
Friday
Stock*
[Vol. 111.
CHRONICLE
THE
3416
ik
1
ik
7,800
3,500
4
6komay
2k
4k
135'
Nov
Dec
Dec
7
k May
k Aug
15-16
4c
Dec
Dec
300
12 k
ik
Nov
Apr
Jan
Feb
1 3-16 Jan
ik
12c
Oct
Jan
1-16 Mar
k
Jan
Nov
ik
Sept
k
lc
2,000
lc
4c
6c
16,600
2c
3k
4k
3,300
Jan
4KcMar
lc
""5c
Jan
3k
Oct
14c
Jan
Jan
80c
Mar
Dec
8k
Jan
Dec. 18
Sales
Friday
Last
Week's Ranee
ef Prices.
Low.
High.
New York City Realty and Surety
Range since Jan. 1.
for
Sale.
Mining (Conduced)—Par
Week.
Price.
3417
CHRONICLE
THE
1920.]
All prices dollars per
High.
Low.
Shares.
l
3-16
2c
lc
Sutherland Dlvlde.r—
1
Tonopah Belmont Dev...1
Tonopah Dlvlde.r
]
Dec
7c
Jan
HcJune
12,800
2c
1 7-16
1 5-16
IX
1,982
IX
1 1-16
IX
19,750
1 5-16 17-16
2,760
Tonopah Extension
1
Tonopah Mining.r
l
IX
1X
IX
7c
Jan
2 7-16
2 5-16
2H
11,670
X
4Xc
X
2,000
United Mines of Mexico
U S Continental MlnSa.r.l
Victory Dlvlde.r
__iOc
4c
4Hc
3X
Jan
Aug
4X
Jan
2 15-16
1 5-16 June
July
3X
Dec
Dec
AX
X
6,000
4c
4c
lie
10c
lc
lc
lc
7,000
10c
6e
5Hc
7c
23,500
l
lc
lc
2c
16,700
lc
IX
IX
*
5
Allied Pack
X
7,545
dehOs r'39
8c
95 X
91
IX
Mar
Oct
12o
Jan
50X
Sept
98 X
Jan
95
Nov
90 H
Nov
96 X
93
Nov
21,000
91
Nov
"93 H
93X
94X
89,000
92 X
Aug
97 H
Jan
1924
92 H
91X
93
60,000
96 X
Jan
89 X
89 X
91
214,000
91X
89 X
Dec
Anaconda Cop Min 7s_r'29
6% notes Ser A ...1929
Dec
9ex*
Oct
80
82 X
0% notes.
Anglo-Amer Oil 7Ha r.'29
Armour A Co7% notes r'30
99
X
31,000
94 X
93X
95 X
105,000
95
Bergen (City of) Norw8s, '45
Beth Steel Eq 7s.r
1935
98X
95
~94X
"100 X
101
93 X
Dec
98
Oct
94
Dec
98
Nov
94 X
10,000
90,000
95X
Nov
26,000
86
62,000
99 X
Sept
99 X 475,000
99
92
86
Canadian Nat Rys 7s. 1933
I Can Northern Ry 7s. 1933
Columbia Graph Mfg 8s '25
Aug
98
Jan
Mar
88
94 X
Brazilian L & Tr 6s
98 X
Dec
80
67,000
"99 X
5,000
89
100 X
100
99
89
94
Oct
Dec
91
Dec
Nov
Dec
102 x
100 X
Nov
Dec
99 X
Aug
Dec
100
Cons Gas of N Y 8s_._1921
98 X
97H 100
890,000
97 X
Dec
Cons Textile deb 7s —1923
Denmark (Klngd of)8s.l945
93 X
92
94
46,000
92
Dec
\7%
97.
97 X 140,000
97
Dec
10,000
100
Nov
100 X
Oct
Oct
90X
Oct
Dec
85*
Nov
97 X June
Oct
101
Diamond Match 7Hs.r '35
Duquesne Light 6s... 1949
100
87
87
5,000
Empire Gas A Fuel 6s.r_'24
83
83
5,000
41
72,000
40
Nov
62
June
50
15,000
50
Nov
77
July
59
59
10,000
59-
Dec
59
Dec
93 X
93 X
22,000
93
80
86
94
94H
~07
66
70
89
89
91
19,000
86
86
SQ
26,000
French Govt 4s_r
:;v4i'-v
:MS0^
41
French Govt 5s.r_
French Govt 6s.r
Galena-Signal Oil 7s.r.l930
Goodrich (BP) Co 7s. 1926
83 X
Heinz (H J) Co 7s_r__1930
Interboro R T 7s.r._.1921
Kennecott Copper 7sr. 1930
Laclede Gas Light 7s.r
Lorlllard (P) 8s
Lukens Steel 8s.r
85X
83
3X
Nov
X
99
Dec
Apr
80 f
95
Nov
Aug
76
Jan
89
Dec
86
Dec
98 X
94 X
Nov
Dec
100 X
Dec
Dec
170,000
Dec
56 X
15,000
Dec
94
108,000
lUU'j
UCi
Dec
98X
Aut
1,000
2,000
100 h 100 x
100h
_
100 X
100 X
95 X
Jan
1940
99 X
Morris A Co 7Hs.r_.1930
Nat Cloak A Suit 8s_r 1930
95 X
96
2,000
99 X
100
40,000
95
Sept
1
0
Of
National Leather 8s.r
99 H
99 X
99 X
55,000
99 X
Nov
100
D"c
N Y N H A Hart 4s.r 1922
60
50
62
83,000
50
Dec
84
Oct
Norway. Klngd of, 8s r '40
Ohio Cities Gas 7s.r..l921
99 X
99 X
99 X 120,000
99 X
Dec
1924
92
92
92
90
92 X
92
Dec
92
Nov
10,000
13,<*)0
92
93 X
Sept
June
90
Dec
96X June
wiX
Dec
94X
9X
Dec
38
Pan Amer Petrol A Tr 7s'20
Russian Govt 5Hs_r_1921
9X
X
18,000
380,000
10
..
97
•'.:
Sept
400
420
•82
84
Cbesebrough Mfg new...100
190
100
100
50 ♦27
Cumberland Pipe Line
100 ♦125
Eureka Pipe Line Co
85
100
44
Galena Signal OH com...100
29
Preferred
new
Continental OH
Chic St Louis a n o 5s
7-50
Chicago a n w 4h8-
92
96
Chicago ria Pac 4ha, 5s..
7.00 0.35
7.75 6.76
153
158
Colorado a Southern 5s
8 00
7.00
8.00
7 50
6.76
7.00
6.35
163
90
Solar Refining..
38
Louisville a NashvHle 5s
7 00
6.35
480
200
6 -87
7.50
6.25
195
Michigan Central 5s, 6s
Minn St p a s 8 m 4xe
350
375
100
Missouri Kansas a Texas 6s.
8.25
7.25
235
240
Missouri Pacific 5s.
8.00
7.00
Southwest Pa Pipe Lines. 100
58
62
7.50
6.76
310
315
7.15
6.50
Standard OH
(California) .100
70
Norfolk a Western 4ha
6.90
0.25
600
Northern Pacific 7s
7.12
6.40
Standard Oil (Kentucky) 100
425
450
Pacific Fruit Express 7s
6.87
6.40
Standard OH
(Nebraska) .100
410
430
6.87
0.35
Standard OH of New Jer.100
600
610
103
104
6.87
6.89
6.35
100
Pennsylvania rr 4 h a
Equipment 4s
Plttsb a Lake Erie 6X
Standard OH of New Y'k.100
335
345
Reading Co 4hs
6.90
6.37
Standard Oil (Ohio)
100
405
420
St Louis Iron Mt a Sou 5a.
8.00
7.00
Preferred
100
102
105
St Louis a San Francisco 5s
8.00
7.6«
Swan A Finch
100
45
60
Seaboard Air Line 5s
8.00
Union Tank Car Co
100
100
100
104
94
97
100
280
290
10
♦30
35
..
Preferred
Preferred
Washington OH
86
Dec-
91X
92 X
17,000
91X
Dec
wStandard Oil (Calif) 7sr'31
wStand Oil of N Y 7s.r.'25
Bwedlsh Gov 6s June 15 '39
iod"
99 X 100 X 319,000
99 X
Dec
6.80
035
Virginian Ry 6s
7.60 6.75
Public Utilities
Oct
Tobacco
Par
Bid
Ask.
Jan
v85
90
Dec
American Cigar common. 100
Preferred
10<
80
83
160
Araer Machine A Fdry__100
Jan
American Tobaooo scrip
96
*1114
12
8,000
97X
Nov
7X
Nov
Brit Amer Tobac, bearer.£1
*1138
m
85,000
79 X
Dec
Jan
Conley FoU (new)...no par
*11
13
99 X May
101X
Oct
95X Dec
99 X
Apr
Helme (Geo W) Co, 00m .100
150
160
100
89
93
97 X
79 X
SOX
97%
97 X
97 X
280,000
16,000
97X June
37,000
93
Aug
July
95 X
96
20,000
OCX
95 X
97
98 X
80.000
96 X
Preferred
8
*73s
German Government and
Imperial Tob of G B A Ire
Johnson Tin Foil A Met. lOf
95
110
MacAndrews A Forbes.. 10(
Dec
100
110
100
78
84
Porto Rioan-Amer Tob.. 100
90
100
Preferred
Marks
16 H 150,000
16 X
Aug
12H 157,000
12
Dec
Oct
27
12
28
June
4Hs.r
13
13
75,000
13
Dec
29 H
June
4s.r
12
13
7,000
12
Dec
29 X
June
12
12
5,000
12
Dec
27
June
4Hs.r
Frankfort 48—...........
80
90
25
*80
87
25
100
*30
33
97
100
87
92
150
160
Scrip
Reynolds (R J) Tobacco.
B common stock
Preferred
Tobacco Prod Corp
scrip
31
*June
Dec
31
June
Weyman-Bruton Go, 00m 100
Preferred
-100
12
13
10,000
12
Dec
June
Young (J 8) Co
13
13
2,000
13
Sent
27 x
28 X
14X
85,000
9X
.....
Nov
14
10,000
9X
14X
14X
German Govt 4s.r
9X
June
Rubber
value.
92
142
85
90
Stocks
the Stock
84
Firestone Tire A Rub,com. 10
100
7% preferred
100
Gen'l Tire A Rub, 00m...100
% Dollars per 1,000 lire, flat,
as
prospect.
J Listed
where additional transactions will be found,
o New stock,
issued,
z Ex-dividend,
y Ex-rights,
z Ex-stock dividend.
par
1 Listed
88
135
10(
—100
Preferred
a
on
6% preferred...
82
__
75
300
400
100
80
I 90
Goodyear Tire A R, com. 100
k Correction.
26
27
Preferred
New York City Banks and Trust Companies
All
price* dollars
share.
per
Bid
Atk
Banks
Bid
Ask
Trust Co's
America •
190
200
Industrial*...
190
205
New York
Amer
240
250
Irving Nat of
Exeb_.
Atlantic
215
Battery Park.
170
Bowery*
450
mmmm
180
|
ny
Liberty
...100
100
Mohawk Rubber
Banks—N Y
I
5312
Preferred
Miller Rubber
Bid
Ask
90
100
55
'7434
20
Portage Rubber, com
Preferred
221?
208
215
Bankers Trust
327
333
330
340
Central Union
325
335
50
r
Cent
195
202
Columbia
296
305
Am Cot OH 6s
1924..MAS2
88i2
150
ieo
Meoh a Met.
302
310
Commercial..
140
150
Amer Tel A Tel 6s 1924.FAA
Boro*.
105
125
Mutual*
490
Empire
300
9u2
9278
145
165
Nat American
150
Equitable Tr.
280
290
Park*
145
nat city
304
New
309
Farm l a Tr.
330
840
Butch a Drov
32
30
Neth*„
160
170
Fidelity Inter.
200
210
195
205
;New York Co
135
145
Fulton
260
270
Chase
320
330
New
460
480
Guaranty Tr.
295
305
Chat a Pken.
245
255
Pacific »
160
Hudson
165
165
Chelsea Exoh*
125
145
Park
430
440
Law Tit a Tr
110
120
Anglo Amer OH 7 Xs '25 AAO
Arm'rACo7sJuly 15*30 JAJ 15
Chemical
535
545
Public
225
255
Lincoln
Trust
156
165
Beth St 7s July 15
245
Republic*
Bryant
Coal a Iron..
165
235
Colonial*—
350
Columbia*...
150
Commerce-
210
Oomm'i
York
mm
mm
110
210
..mmm-
Common¬
210
wealth*
7s
1929
Series B
JAJ
'22.JAJ 15
Mercantile Tr
280
306
7% notes July 15 *23 JAJ15
Seaboard
•
600
625
Metropolitan.
240
250
21
33
Cities Service Co com...10<
251
254
64
65
Preferred ..........„.1cx
Colorado Power com
450
460
Mutual (West¬
210
225
State*...
200
Tradesmen's*
200
220
Union Exch—
170
chester)
■
m
105
125
n y Life Ins.
mm mm
a
mmm
Trust
n y Trust...
176
490
510
690
615
Continental..
130
United States*
155
165
Title Gu a Tr
285
295
Corn Exch*..
318
328
Wash h'ts*__
350
425
u s Mtg a Tr
390
400
Cosmop'tan*.
110
120
YorkvUle*
375
425
United
810
Cuba (Bk of).
140
160
East River—.
170
•
mmm
9912100
09 '2 100
79i2 80?4
89'4 89^
9834 99i2
94'2 95
97
9734
Brooklyn
States
Brooklyn
Brooklyn Tr.
830
94
!
1923-MAN15
86
Lehigh Pow Sec 6s 1927.FA A
LlggettAMyersTob6s'21 JAD
Penn Co 4Ha 1921...JAD15
Pub Ser Corp N J 7s '22.MAS
8
48
75
80
11
13
58.
62*
74h
75»4
6
10
20
30
44
78
74
70
75
66
70
77
78i2
141?
17
64
68
6
8
18
Tennessee Ry l a p com.
Preferred
preferred
Western Power Corp
98
1u2
33
6(
5(
*101?
10<
10<
lOf
10(
10(
h\
*30
l
uj!1
18
50
3
| 22
, 52
17'2!
181$
59
10(
Preferred
8712
94
10'
Preferred
21
86
10'
com..10'
...
Preferred
61
Industrial
and Miscellaneous—Pe
r
shar e
165
100
161
American Chicle com.no par
27
.100
62
64
100
133
136
Typefounders com. 100
38
41
American
Brass
Preferred
American Hardware
Amer
2784
100
w) Co, new
Preferred
83
85
90
93
68
70
Celluloid
94
95
94i2
83
•22
127
•50
60
83
du Pont (e i) de Nemours
93
80
1
50
Preferred
88
15
5
44
10'
Standard Gas a el (Del).
buss (e
Laclede Gas 7s Jan 1929 FAA
Nov
84
10'
South Calif Edison
1st
33
79
Light—.10'
Republic Ry a Light
Preferred
12
32
...
93
92
6s
"9"
...
9434
MAN
Goodrich (B F) Co 7s '25 AAO
Hocking Valley 6s 1924MAS
Interboro R T 7s 1921 MAS
K C Term Ry 4Ha 1921.JAJ
Federal Sug Rfg 6s 1924
82
Preferred
10'
Com'w'th Pow Ry a Lt—10*
Preferred.
10'
Elec Bond a Share pref—10<
Federal Light a Traction 10'
Preferred
10'
Great West Pow 5s 1946. ja.'
Mississippi Riv Pow com. 10'
Preferred
10'
First Mtge 6s 1951—-ja.
Northern Ohio Elec Corp. (t
Preferred
10'
North'n States Pow com. 10'
Preferred
10'
North Texas Elec Co 00m 10'
Preferred
10'
Pacific Gas a Elec 1st pref 10(
Puget Sd Pow a
Preferred
11
»10
10'
99^100
Canadian Pac 6s 1924.MAS2
Second
23d Ward*...
—
Ex*.
mmrn-rn
MAN
MAN
7% notes 1922
7% notes 1923
AnacondaCop Mln 6s'29.JAJ
92
10
18
30
9314
Bronx Nat-..
6% notes 1922
A AO
Am Tob 7% notes 1921MAN
50
62
n
10'
89i2
Broadway Cen
Gent Meroan.
45
United Lt a Rya com
Bronx
Manhattan *.
a Lt com...10'
...10'
Public UtUltles com 10<
Preferred
70
60
-100
Preferred
Short Term Securities—Pe
78
Carolina Pow a Light com 10<
50
Swlnehart Tire A R,oom_100
American
Preferred
Amer
100
100
94
76
com
Preferred
"99"
British Amer Tobac ord__£l
36
92
Trac
Amer Power
Dec
Dec
99
*34
10'
10'
Preferred
Amer Lt a
*97
5(
5<
Amer Gas a Elec com...
Sh are.
Stocks—Per
Oct
97
97H
6.75
7-60 8.75
Union Pacific 7s
97 X
79 X
6.40
7.50
144
Dec
97X
6.85
Equipment 7s
Southern Railway 4Hb..—
0.40
100
Dec
93 X
6.95
4ha.
350
25 *90
100 325
...50 *142
<
1921
Dresden
Southern Pacific Co
6.75
77'4
Switzerland Govt SHs.1929
7 12
8.00 7.12
Equipment 4 ha
7-50
£0
100
20,000
38,000
6.40
Toledo a Ohio Central 4s..
Other Oil Stocks
99
94
...
Equipment 5s
93
16H
7.00
*68
34,000
12X
7.75
580
$25 par value stock
82,000
78 X
7.10 6.40
Standard OH (Kansas).-.100
240,000
100 X
..
n y Ontario a West 4Hb.—
99X
Badische Anil Soda 4Hs—
Berlin 4s.r
New York Cent 4ha. 5s
Equipment 7s
New stock
94 X
77 X
...
Mobile a Ohio 4x, 5s
Standard OH (Indiana)-.100
X
UjOX
100 X
7.37 6.50
Equipment 5s a 7s
97
....100
South Penn OH
88 X
99
96
6.75
Southern Pipe Line Co.. 100
93
Municipal Bond*
(Dollars per 1,000 Marls)
7 37 6.60
*35
460
100
..100
Prairie Pipe Line
88 X
Apr
7.00 6.35
6.75 6.40
...
25
94
98 X
7.00
Kanawha a Michigan 4ha..
July
98
—
Equipment 4hs
Equipment 7s
95
287
5s
100
Prairie OH A Gas
BinclairConOll7Hsr._. '25
Bolvay A Cie 8s.r.... 1927
Southern Ry 6% notes 1922
When
46
93
.100
Penn Mex Fuel Co
Imperial OH
w
6.75
6.50
8.50 7.50
97
158
Magnolia Petroleum
Midwest Refining..
Unlisted,
7.50
25 *283
Oct
r
7.50
95
135
New York Transit Co...100
Oct
f No
6 50
8.50
25
Oct
this week,
7.10
-
*23
98 X
lots,
6.40
Equipment 6s..Chicago a Alton 4x9, 5s —
Chicago a Eastern iu 5Hb—
Cblc Ind a Loulsv 4ha
National Transit Co...12.50
99 X
•Odd
Chesapeake a Ohio 0hs~6.75
111
Hocking Valley 4Hs, 5s
Illinois Central 5s
64
Exchange
100
Erie 4X,
Nov
Hamburg 4 Ha.r
Leipziv 4'Xs.r
97
108
16*4
Nov
Cologne
6.87
*1612
Dec
Bremen
7.50
International Petrol,(no Par)
Ohio OH Co
6.40
7.00
Central of Georgia 4hs
85
Northern Pipe Line Co.
6.37
205
*83
""X
"97X
6.35
«
100
50
93
x
6.35
6.95
6.90
Canadian Pacific 4hs a 6s7.37
100
new
Indiana Pipe Line Co
93
Va-Caro Chem 7Hs.r.l932
Western Elec conv 7s.r.*25
6.75
6.95
Preferred
Illinois Pipe Line...
66,000
Dec
7 60
Equipment 4s
Equipment 6s
7.75
/.
100 X
c^.l Basis.
Buff Rooh a Pittsburgh 4xs
100
47,000
91
160
Baltimore a Ohio 4hb._——
Preferred old.
94 X
77X
85
150
Carol Cllnchfleld a Ohio 5s..
Crescent Pipe Line Co
97X
Aug
rr. Equipments—Per
18
Co
100
Buckeye Pipe Line Co... 50
Borne Scrymser
Vacuum OH
Nov
■'
Ask.
105
46
H
s
♦1712
102
X
1925
75
"and Interest" except where marked *'f.'
100
Preferred
93
99 H 100
160
a
1000
97
100
150
West a Bron*
950
40 X
Texas Co 7% notes, r. 1923
Union Tank Car eq 78.1930
u 8 Casualty.
us Title Guar
120
Bid.
Par
94 X
6s. r
192
110
Per shar
Anglo American Oil new. £1
Atlantic Refining....
100
97 X
100
186
Title
y
Mortgage..
Standard Oil Stocks
45
100
n
Quotations for Sundry Securities
Bears,Roebuck A Co 7s r'21
7% ser notes.r.Oct 15 '22
7% ser notes.r-Oct 15 '23
Swift A Co 7s.r
Surety..
Nat
All bond prices are
Seaboard Air Line 6s
99 X
106
Assoc
Realty
Title a m g
Feb
92
1926
7s_r
98 X
97 X
92
1923
7«.r.
Oct
Oct
1,000
92
97X
94
5,000
92
7s.r
t>t
3,000
98
95
1922
10 .h
2,000
98
95
7s.r
85
Apr
5,000
95
Aluminum Mfrs 7s.r
Amer Light & Tr 6s.r.l925
Amer Tel 4 Tel 6a.r—1922
53
65
75
Jan
20o
(Dec
X
225,000
51X
51X
196
67
Preferred
Jan
$
conv
190
City Investing
■
1,200
Bonds—
100
Mtge
2 7-16 Jan
lc
May
5Xo Dec
Yukon Gold Co.r.*.
Ask
(Brooklyn).
Lawyers Mtge
70
Apr
29o
July
Dec
White Caps Exten
White Caps Mining
Wilbert Mining
H
Bid
80
80
65
Jan
Nov
6
15-16
Ask
115
75
70
Amer Surety.
Bond A M G.
Jan
Aug
X
West End Consol'd
l
Rid
108
Alliance R'lty
Jan
2X
1
y
21,400
AXc
H 5c
Aug
I 3-16
1
2,200
Mining..1
United Eastern
1 7-16
Jan
X
Nov
X
lo
11,870
2c
;
lc
IHc
4,400
3-16
3-16
1
Bond..
Ask
Bid
Standard Silver-Lead
Success Mining
Companies.
share.
6412
65'2
97u
9834
82
100
80
82
.100
140
150
..100
Preferred
Company
161
165
100
76
78
100
1
100
4
6
1st g 5s June 1 1922. .jad
Intercontinen Rubb com. 100
f45
56
International Salt
561?
/68
a Co, 00m
Debenture stock
Havana Tobacco Co.
9734
98
100
Borden Company com
Preferred
7
hi
9
Coney Island*
140
155
480
600
Fifth
150
165
First
205
215
Hamilton
260
270
First.
920
940
Green point—
160
180
630
660
Reyn (R J) Tob 6s '22.FAA
Sloes Sbeff 8 A I 6s '29-FAA
Garfield
220
230
Homestead*..
80
100
Kings County
Manufacturers
195
203
Southern Ry 6s 1922...MAS
92
9234
International Sliver pref. 100
♦85
Gotham—...
190
205
Mechanics'*—
85
92
People's
275
290
Swift A Co 6s 1921...FAA15
97i2
98
Lehigh Valley Coal Sales.
74
250
Montauk*
85
95
93
931?
60
100
Royal Baking Pow com.. 100
*70
Greenwich *..
Phelps Dodge Corp
160
175
105
110
100
x78
80
Singer Manufacturing—100
Singer Mfg Ltd
£1
147
151
Fifth Avenue*
910
930
«
.*
««
Hanover
795
810
Nassau
225
Barrlman
3-50
360
North Side*..
195
205
Imp a Trad..
505
515
People's
RJdgewood—
150
7% notes Oct 15 '25 AAOI5
100
•
Banks marked with
«h!s week.
(•)
I New stock.
Texas Co 7s 1923
rnrnmrn
|
200
State banks,
t Sale at auction or at Stock Exchange
« Ex-dividend,
s Ex-rights.
are
MAS
-£>614 "9634
85
97i2
87
98
U S Rubber 7X* 1930—FAA
97
80
82
West Elec conv 7s 1925. A AO
98
9834
Preferred
9734
Utah Sec Corp 6s '22.MAS 15
1st gold 5s
•
6 Basis.
Per share.
/Flat
price.
■
Nominal.
Ex-dlvldend.
aao
*284
mmmm
71*1
90
3u
accrued dividend
« New stock.
» Ex-rights.
v Ex-50% stk. dlv.
4 Purchaser also pays
»
1951
100
2418
[ttucstwcut aiul ItaxXrcrail
RAILROAD GROSS EARNINGS
The
earnings of various ST GAM roads from whioh regular weekly or monthly returns
.ran be obtained.
The first two columns of figures give the gross earnings for the latest week or month, and the last two
columns the earnings for the period from Jan. 1 to and including the latest week or month.
The returns of the electric railways
%te brought together separately on a subsequent page.
I
following table shows the
gross
Latest Gross Earnings.
ROADS.
Week
or
Month.
Latest Gross Earnings.
Jan. 1 to Latest Date.
Current
Previous
Current
Prevoius
Year.
Year.
Year.
Year.
Alabama. & Vicksb
.
—
October
332,685
247,273
2,869,816
2,287,577
-
October
328.564
277,564 4,153,364 3,906,677
6,395,511 5,539,216 59,866,284 51,815,734
25015394 18917768 187589266 151527692
239,443 1,814,512
281,168
1,658,242
671,776
482,540 5,450,151 4,204,215
13,559
10,499
100,120
85,255
Belt By of Chicago. October
556,647
389,627 3,739,607 3,111,865
Bessemer Sc L Erie.. October
2,156,030 1,244,327 12,660,178 11,226,250
39,232
163,777 1,333,766 1,010,966
Bingham & Garfield October
63,098
47,672
520,878
480,310
Birmingham South- October
Boston Sc Maine..-. October
8,713,545 7,224,195 71,722.728 59,675,321
130,539
98,363
969,659
854,158
Brooklyn E D Term October
Buff Roch & Pittsb. 1st wk Dec
465,483
312,847 21,576,515 14,128,433
October
Buffalo A Susq
335,927
245,034 2,515,210
1,941,829
Canadian Nat Rys. 1st wk Dec 2,678,306 2,050,134 101563465 87,174,673
Canadian Pacific... 1st wk Dec 5,215,000 3.797,000 190108000 153865000
Can Pac Lines in Me October
220,570
176,490 2,312,338 2,189,933
Caro Clinch & Ohio. October
789,394
571,717 6,124,904 5,168,798
Central of Georgia.
October
2,246,462 1,952,520 21,135,712 17,690.512
Central RR of N J_.(October
5,650,965 4,077,471 41,836,692 36,973,106
Cent New England. October
900,117
765,560 6,025,184 5,617,335
Central Vermont...'October
559,887 5,913,471
725,475
4,827,338
Charleston Sc. W Car October
300,328
296,008 2,869,512 2.507.730
10075590 6,771,577 73,044,113 60,445,039
Ches & Ohio Lines.. October
3,112,400 2,429,236 24,675,201 21,120,093
Chicago Sc Alton... October
18919313 16281562 151668275 128485759
ChlC Burl Sc Quincy. Octoberl
3,198,029 2,583,423 24,893,896 20,942,490
Chicago Sc East 111.. October
2,426,957 2,246,305 19,799,260 18,354,865
Chicago Great West October
Chic Ind & Louisv.. October
1,643,681 1,295,341 13,150,147 10,274,609
387,193
358,786 2,852,242 3,056,317
Chicago Junction.. October
Chic Milw Sc St Paul October
17499(474 14798636 138776613 125060892
17739415 14252588 136952506 116365240
Chic Sc North West- October
Chic Peoria & St L. October
286,947
231,919 2,273,328 1,453,415
13199480 11372558 112620286 91,777,948
Chic RI & Pacific.. October
Chic R I & Gulf.. October
683,752
572,534 5,482,458 4.042,612
Chic St P M & Om. October
3,184,708 2,818,819 26,282,971 22,682,130
Chic Terre H & S E. October
716,932
532,395 4,847,536 3,600,532
Cine Ind & Western October
417,486
307.126 3,699,177 2,563,301
656.670
Colo & Southern... 1st wk Dec
497,865 28,951,661 23,800,353
>
Ft W & Den City October
1,330,621 1,059,220 10,542,919 9,089,144
Trin Sc Brazos Val October
303.671
146,812 1,690,147 1,105,615
Wichita Valley... October
172,192
159,748 1,420,013
910,952
Colo & Wyoming—. October
876.724
57,282
107,619
837,889
116,710
97,687
814,618
845,860
Copper Range..... October
Cuba Railroad
September 1,194,589 11094,970 9.257.083 8,388,647
140.629
Camaguey & Nuev September
143.127 2.326.084 2,072,289
Delaware Sc Hudson October
4,219,250 3,354,154 35,734,658 28;997,866
Del Lack & Western October
8,836,825 6,401,622 64,840,464 59,376,607
Deny Sc Rio Grande October
4,055,959 3,477,549 32,090,329 27,020,629
Denver & Salt Lake October
349,649
292,153 2,371,081
2.396.731
Detroit & Mackinac October
247,274
196.524
1,723,348
1,380,352
Detroit Tol Sc Iront. October
598,053
430,830 4,230,907 3,149,024
Det & Tol Shore L.
October
214,027
225,198 1,589,484 2,044,421
Dul Sc Iron Range.. October
1,414,918
603,653 10,065,045 7,397,771
Dul Missabe Sc Nor. October
2,819,900 2,229,239 17,813,621 18,698,783
Dul Sou Shore & Atl 1st wk Dee
113,988
67,845 5,457,376 4,425,921
Duluth Winn Sc Pac October
269,609
176,270 2,033,012 1,588,630
East St Louis Conn. October
157,832
109,587 1,202,569 1,009,936
2,809,343 1,151,891 20,279,448 16,128,294
Elgin Joliet Sc East. October
El Paso Sc Sou West October
1,399,749 1,168,006 11,949,886 10,460,981
Erie Railroad
October
11579587 8,751,988 87,664,561 76,050,004
Chicago Sc Erie.. October
1,499,825
954,229 10,490,954 8.620.445
N J Sc N Y RR... October
133,253
102,969
937,212
1,102,335
Florida East Coast. October
1,078,116
812,119 10,959,368 8,260,140
Fonda Johns Sc Glov October
123,049
102,589 1,192,659 1,042,374
Ft Smith Sc Western October
252,573
209,552 1,600,972
1,340.391
Galveston Wharf... October
256,604
726,766
101,989 1,484,109
Georgia Railroad... October
662,870
723,781
5,535,072
5,177,735
Georgia Sc Florida.. October
162,905
91,636 1,251,063
818,535
Grand Trunk Syst— 4th wkNov 3,086,777 2,352.615
Atl Sc St Lawrence October
333.339
213,091
2",485"580 2.538" 128
OhDetCanGTJct October
213,034 1,535,038 1,761,178
148,794
Det G H Sc Milw. October
440,541
518,560 4,004,149 3,677,046
Grand Trk West October
1,727,088 1,275,346 14,368203 11,491,544
Great North System October
13261977 11790299 102049090 89.025,304
Green Bay & West. October
132,208
135,403 1,050,083 1,007,439
Gulf Mobile & Nor. October
461,075
306,827 3,276,222 2,298,000
Gulf Sc Ship Island. October
223.412
326,073
2,525,124 2,021,332
Hocking Valley.... October
2,131,704 1,418,374 13,702.047 10.001,359
Illinois Central.... October
14671029 10774863 118706595 89,670,631
Illinois Terminal
October
115,079
788,160
90,033
887,432
Internat Sc Grt Nor. October
2,442,224 1,364,461 15,757,190 11,742,020
Kan City Mex & Or October
148,593
1,137,714
178,849
1,378,071
K C Mex & O of Tex October
221,944
145,091
972,009
1,558,628
Kansas City South. October
2,126,779 1,463,259 16,190,922 12,360,549
Texark Sc Ft Sm. October
255,349
163,624
1,762,657
1,234,948
Kansas City Term.
October
165,345
146,045 1,327,192
1,156,457
Kan Okla & Gulf... October
313,894
211.767 2,168,011
1,232,474
Lake Sup Sc Ishpem. October
204,543
97,442 1,520,067
920,784
Lake Term Ry
150,373
93,372
1,141,834
930,184
October
Lehigh & Hud River October
364,533
309,462 2,460,422 2,256,903
Lehigh & New Eng. October
566,422
449,423 3.796,112 3,219,201
Lehigh Valley
8,486,513 6,210,026 60,202,479 53,379,837
October
Los Ang Sc Salt Lake October
1,930,409 1,577,112 16,871,749 14,080,585
Louisiana & Arkan. October
401,291
178,348 3,464,236
1,712,103
Louisiana Ry & Nav October
459,170
328,597 3,506,563 2,911,687
Louisville Sc Nashv. October
11592764 10450909 103636597 89,043,902
Louisv Hend Sc St L October
300,356
280,294 2,598,201
2,445,883
Maine Central..... October
2.239,932 1,594,679 17,220,614 14,447,154
Midland Valley.... October
511,965
391.768 4,061,555
3,269,221
Mineral Range.
1st wk Dec
9,913
12,539
640,792
708,999
Minneap & St Louis 1st wk Dec
404.234
227,914 15,940,033 12,511,061
Minn St P Sc S S M. October
5,382,988 4,483,018 39,357,891 35,162,854
126,984
Mississippi Central. October
103,975
904,147
843,511
Atlantic City
Atlantic Coast LineBaltimore Sc Ohio..
B & O Ch Term..
October
October
October
Bangor Sc. Aroostook October
Bellefonte Central.. October
_ .—
.
.
...
_
AGGREGATE OT GROSS
Current
4th
1st
2d
3d
Weekly Summaries.
Sept
week
week Oct
week Oct
week Oct
4th week Oct
1st week Nov
2d
week
3d
week
4th week
1st week
♦
We
Nov
Nov
Nov
Dec
no
Year.
/
(13 roads)
(13 roads)
(15 roads)
(18 roads)
(20 roads)
(20 roads)
(19 roads)
(20 roads)
(19 roads)
(16 roads)
-
Previous
Year.
$
*
$
.
Increase
19,550,180
17,548,585
18,221,855
19,594,760
27,081,898
19,138,392
18.754,798
18,862.044
24,998,832
15,925,478
13.253.628
13,670,975
14,822,387
21.930.629
14,230,219
14,264,410
14,919,321
19,207.734
15.876.023
12,573.390
Year.
Year.
Missouri Kan Sc Tex October
3,970,639 3,235,979 32,951,581
2.725,980 2,429,787 20.020.665
220,006
162,936 1,708,545
Missouri Pacific.... October
11715985 9,398,504 95,660,483
October
368,731
3,460,398
Monongahela
545,893
272,967
198,814 2,603,617
Monongahela Conn. October
Montour
October
224,391
165,111
1,308,530
Nashv Chat Sc St L. October
2,307,002 1,858.640 20.415,596
Nevada Northern.
October
78,867
158,679 1,430,475
8,946
6,285
381.650
Nevada-Cal-Oregon 1st wk Dec
19.435 11,469,560
Newburgh & Sou Sh October
211,148
New Orl Great Nor. October
266.218
191,846 2,233,281
N O Texas & Mex.. October
332,247
229,789 2,401,380
Beaum S L& W„ October
1,818.769
234,092
134,376
St L Brownsv &M October
746,439
537,216 6.287,055
Octooer
New York Central.
38219521 29205871 302245348
Ind Harbor Beit- October
1,126,767
644,338
7,480,658
Lake Erie A West October
1,134,863
995,284 9.612,857
9,106,911 7,819,647 72,691,226
Michigan Central October
ClevGC&St L— October
8.989.923 7,468,981 73,440,786
October
Cincinnati North
447,097
268,544 3,044,449
Pitts Sc Lake Erie October
4,655,112 2,286,073 27,630.835
Tol Sc Ohio Cent. October
1,544,746 1,018,873 10,591,491
Kanawha & Mich October
577,427
477,400 4,325,116
N Y Chic & St Louis October
2,492,529 1,957,582 22,979,249
Mo K AT Ry of Tex September
„
....
_
.
.
N YNH & Hartf— October
N Y Ont Sc West
October
22418216 18602495 173106957 147795463
Pennsylv RR & Co. October
Bait Ches & Atl— October
Cine Leb Sc Nor.
October
Grand Rap & Ind October
_
Long Island..—. October
Mary Del Sc Va_. October
N Y Phila & Norf October
Tol Peor & West. October
W Jersey Sc Seasb October
Pitts C C & St L_ October
Peoria & Pekin Un. October
Pere Marquette
Perkiomen
October
October
Phila Beth & N E„ October
Phila & Reading.
October
„
Pittsb Sc Shawmut— October
Pitts Shaw Sc North October
Pittsb & West Va_. October
Port Reading
October
October
Rich Fred & Potom. October
Quincy Om & K C—
October
„
St Jos Sc Grand Isl'd October
St Louis-Sah Fran
October
Ft W & Rio Gran October
St L-S F of Texas October
St Louis Southwest. October
StL&S W of Tex October
Total system1st wk Dec
St Louis Transfer.. October
San Ant Sc AranPass October
San Ant Uvalde & G October
Seaboard Air Line.. October
South Buffalo
October
Southern Pacific. I October
Atlantic SSL nes October
_
Arizona
Eastern. October
Galv Harris & S A October
Hous Sc Tex Cent. October
Hous E & W Tex. October
Louisiana West'n. October
Morg La Sc Texas October
Texas Sc New Orl. October
Southern Railway__ 1st wk Dec
Ala Great South. October
Cin N O & Tex P. October
Georgia Sou & Fla
Mobile & OhioNew Orl Sc Nor E.
North'n Alabama
October
1st wk Dec
October
October
October
South Ry in Miss,
Spokane Internat.. October
Spok PortI Sc Seattle October
Staten Island R T__ October
Tenn Ala & Georgia 1st wk Dec
Tennessee Central-. October
TermRRAssn of StL October
St L Mer Bdge I
October
Texas & Pacific,... 1st wk Dec
Toledo St L Sc West. October
Ulster Sc Delaware.
October
.
_
Union Pacific
system
Oregon Short Line October
4,529,174
3,145,810
1,286,361
212,550
439,671
October
2,058,217
October
6,282,610
1st wk Dec
460,168
October
1,744,342
October
242,083
October '
2,032,726
230,737
September
October
2,042,009
Ore-Wash RR&N October
Union RR (Penn)„ October
Utah
October
Vicks Shrev & Pa
October
__
Railroad.
Wabash RR.....—
Western MarylandWestern Pacific..
Western Ry of Ala.
Wheel & Lake Erie.
_
Wichita Falls&NW
Yazoo & Miss Talley
+3,624,702 10.25
30.02
+4,550,880 33.28
+4,772,379 28.05
+5.151.569 23.48
+4,908,173 34.49
31.49
+3.942,723 26.43
+5,791,098 30.15
+3.302,633 26.27
+4,490,388
3.951,560
2,825,629
683,211
138,113
325,254
1,363,915
5.185,113
1293,810
1,780,853
213,812
1,324,427
252,745
2,315,003
37,197.148
27,676,513
8,790,473
1,612,594
3,704,544
14,555.288
48,556,405
18,650,724
13,399.769
2,325,270
14,491,915
1,977.831
23,834,664
Current
%
*
Monthly Summaries.
Mileage.
+4,019.303
19,665.068
October
Northwestern Pac_. October
Oahu Ry & Land Co September
Pacific Coast——— October
Virginian
8,111,224
64,737,873
60,561,108
2,425,489
23,594,509
7.869,533
3,681,965
October
Northern Pacific
October
Minn Sc Internat. October
Total
330.111
1,067.249
1,914,440
1,660,897
1.103,000
4,506,214
258216642
5,447.281
1,145,641
893,950 10,589,315 9.285,770
490,830
360,072
3,741,635 3.230,886
5,353,564
699,721
666,483
6,544,356
9,336,496 7.459,599 69,019,932 63,482.642
12032973 10703040 91,649.489 83.240,512
109,465
883,061
83,190 1,060,376
802,853
673,861
5,463,239
6,722,210
225,656
1,292,336
114,603
1,620,369
553,404
628,089
60603 431 47112824 456155 874 412147998
167,010
1,360,231
143,724 1,388,746
144,976
141,699
951,778
1,044,027
981,489
812,170 7,881,007 6,834,117
2,325,876 1,854,252 21,805,205 20,902,802
128,533
1,146,273
122,034
1,115.849
741,306
735,792 6,693,888 6,834,622
200,374
1,372,806
169,326
1,677,039
1,349,427
900,029 11,985,623 10,397.484
11636306 8,930,380 87,111.428 77,920,045
158,263
151,131
1,298,562
1,018,199
4,332,742 3,539,290 33,888,564 28,966,321
121,430
913,020
99,137
1.026.709
138,581
689,183
76,336 1,116,762
10583897 7,277,754 74,869,827 61,042,066
209,723
994,737
132,435 1,443.597
180,948
973,211
138,999 1.284.765
291,663
1.145.167
139,347
2,010,264
207,774
194,895
1,541,283 2,097,422
141,137
915,994
103,438 1,114,423
914,261
969,543 9,201,084 10,429,724
607,246
445,546 4,087.634 3.974,858
425,231
280,368 2,849,594 2,451,135
9,412,726 7,662,183 76,911,535 64,363,484
205,907
185,795 1,605,552 1,321,553
187,914
138,792 1,443,928
1,265,353
2,033,979 1,236,245 17,494,977 10,876,734
995,426
663,972 7,590,818 5,457,185
618,354
499,543 30,305,873 20,457,929
133,595
925,180
116,191
1,145,222
813.368
437,229 4,852,855 3,649,245
135,606
909,946
71,283 1,281.385
4,334,067 3,657.284 40,428,691 33,950,086
195,784
830,821
52,820
1,280,551
20860067 1756^996 166400434 139322831
1,094,742
8,520,726
694,766 5.303.766
370,704
362,119 3,369,652 3,077,953
2.974.924 1,917,813 21,252,092 17.540,860
1,373,543 1,023,432 9,620.229 7,584,751
336,012
1,943,634
219,268 2,453,495
508,203
408,315 4,378,567 3,390,485
59,389
767,957 8.475.710 6,333,768
985,986
751,761
8,104,727 6,046.996
3,855,366 3,543,149 159505174 13^821825
1,035,860
939,701 9,482,184 8,489.661
1,879,814 1,382.590 17,211,269 13,295,154
486,889
389,804 4,404,868 3,567,683
365,994
324,631 17,347,580 14,442,890
618,062
530,322 6,390,299 5,311,828
145,030
960.795
118,375 1,250.122
190.797
201,752
1,518,662
1,458,681
140,388
137,041
948,300
1,280,584
927,553
724,015 7,594,078 6,124,342
219,129
182,775 1,984,577
1,897,671
2,104
133,190
4,310
169,888
291,882
219,271
2,099.194
2,449,480
511,368
414,507 3,894,986 3,247,076
507,994
367,391 3,522,204 2,554,056
898,835
821,761 38,567,704 33,420,452
1,118.618
827,617 9,404,873 6,650,029
153,019
140,953 1,249,172 1.032,760
14743231 11825305 108233295 92,571,714
N Y Susa Sc West- Octo jer
Norfolk Southern- October
„
1,135,514
16,284,729
1.264,313
12407604 10346762 103107731 87,075444
Norfolk & Western- October
Rutland
28,328,571
18 117,970
1,308,023
76.882,429
2,989,540
1,515,524
31,619,028
237604,752
6,523.312
1,003,430
2,733,079
9.992.168
39.912,316
t12655377
11,140,097
2,095,349
10,843,043
1,593,145
20,315,648
EARNINGS—Weekly and Monthly.
$
longer include Mexican roads in any of our totals,
Previous
Year.
Mo & North Arkan. October
or
Decrease.
"
Current
$
Arbor:
1st wk Dec
122,662
113,757 4,870,984 4,164,041
20612086 18025518 176553299 144822598
Atch Topeka & S Pe October
Gulf Colo & 8 Fe. October
2,968.629 2,349,412 21,927.617 17,226,312
Panhandle S Fe_. October
914,358
701,129
7,624,251
5,121.281
Atlanta Birm Sc Atl. October
527,620
455,211 4,816,548 4,156,670
Atlanta Sc. West Ft. October
243,216
254,615 2,523,843
2,256,464
—
to Latest Date.
Previous
Year.
$
Ann
Jan. 1
Current
Week or
Month.
ROADS.
Curr.Yr.
February
232,210
231,017
212,770
220,918
211,040
208,598
218,918
199.418
224,922
229,935
-231,304
.213,434
April
.221,725
May
-213.206
June
-213.525
July
.220,459
August
-199.957
September. -226,955
October
231,439
March
...
Year.
494,706,125
421.180,870
408.582,467
387,680,982
387,330.487
430.931,483
392,927,365
348,749,787
347,090,277
372,828,115
348.701,414
369.225,761
Increase
or
Decrease.
%
Prev.Yr.
.2132,511
January
Previous
Year.
t Comparison with 1917 figures, not 1919.
+101778760 25.90
+72,431,089 20.77
+61,492,190 17.72
+12,852.867 3.45
+38.629.073 11.08
+61.705,722
16.99
407*351.544 401.376.485 +65.925.059 16-43
441,423,158 367,865,628 +73,557,530 19.98
594.192,321 480,408,546 +113783775 23.68
633,852,568 503,281,630 +130570938 25.94,
DEC. 18
1920.]
THE
34191
CHRONICLE
Latest Gross Earnings by Weeks.—In the table which
follows
separately the earnings for the first week
of December.
The table covers
for the 10 months aggregating $6,484,736, will be found is
last week's "Chronicle"—V. Ill, p. 2327.
American Lead Pencil
Co.—Capital Increase.—
The company has filed notice with the Secretary of State at Albany, N.
an increase in capital from $2,200,000 to $3,208,000.—V. 100 p. 644
Y. of
American
Safety Razor Corp .—British Subsidiary.—
A London
cable says that the British-American Safety Razor Co., Ltd.,
capital of £400,000, is issuing an additional £200,000 of stock.
It
has acquired from an American corporation selling rights of the Ever-Ready ,
Gem and Star razors for the United Kingdom, Europe, Africa. India and
Australia, paying £165,000 in shares of stock of the corporation for the
good-will, trade-marks and patents.
Compare V. Ill, p. 1945.
with
a
American Stores Co.,
Philadelphia.—Sales.—
1920.
Four weeks to Nov. 27
Eleven months
$7,699,944
94,193,908
1919.
$6,386,526
68,900,232
Increase.
$1,313,526
25,293,676
—V. Ill, p. 2231, 2044.
American Tobacco
Co.—Dissolution Decree, Etc.—
The Federal Trade Commission has recommended to the Department of
Justice that because the dissolution decree in the tobacco trust case Is be¬
lieved to have been violated
be modified.
by the larger tobacco companies, the decree
principally recommends: (1) That the provisions of thp
declaring the use of common agencies by the various
companies named as defendants in the original proceedings relating the
use of common agencies in the purchases of leaf tobacco, which expired by
limitation Nov. 1915, be revived and made permanent; and
(2) That the provision relating to the defendant companies doing busi¬
ness under any other than their own corporate name or that of a subsidiary
corporation controlled by them be made specific, so as to include the pur¬
chase of leaf tobacco through agencies not disclosed to the trade.
(See
also "Jour, of Comm." Dec. 16, p. 2.)—V. Ill, p. 1854.
The Commission
decree
dissolution
American Woolen Co .—Stock Syndicate Closed.—
announced on Dec. 13 that the syndicate (consisting
It was formally
Chase Securities Corp., Hayden, Stone &
which underwrote the $20,OCX),000 stock
of
Co. and Brown Bros. & Co.),
offered for subscription to the
last July has been closed.
reported that notices sent to participants in the underwriting,
termination of the syndicate, indicated that allotments to
subscribers amount to about 97.3% of their subscriptions.
If correct, this
means that practically the entire issue of $20,000,000 was left in the hjinds
stockholders
It
was
announcing the
•f the underwriters.
offered to the stockholders at par.
The underwriters, it is
stated, received 5% commission for underwriting the success of the under¬
taking which means that the stock now left in their hands, cost them $95
a share as against the present quotation of about 62%.—V. Ill, p. 1952.
The stock was
Anglo-American Oil Co.—Petroleum Concession.—
according to Washington official advices, has obtained from
Government a 50-year petroleum concession for the entire
eastern half of the Province of Harrar, Abyssinia, including provisions for a
five-year period for prospecting.
The terms include a substantial royalty
to the Abyssinian Government in the event of production of petroleum.—
The company,
the Abyssinian
V. Ill, p.
387.
.
official statement issued on or about Dec. 10 says:
"Lower prices for live stock which have resulted from declines
stuffs and from excessive receipts of stock in all markets have had
Influence on the wholesale selling price of all meats, resulting in a
prices which are below the prices that obtained April 1 1917, and
the prices that ruled in 1914 in many instances.
"Fresh beef carcasses were offered to the retail trade at prices
in feedmarked
level of
also below
that aver¬
low as in 1914. Light
pork cuts, sold for 21
eents as compared with the pre-war price of 22 to 23 cents.
Lard was
offered at 6 cents a pound under the price April 1 1917, which was 20 cents.
The average price of sweet pickled and cured pork products was 17 cents
aged between 14 and 15 cents a pound, pricesalmost as
pork loins, the price of which is the index of all fresh
this morning, that being 3 cents under the
"The market value of hides, 14% cents in
price of April 1917.
the aggregate of the ten grades,
dropped 6 cents a pound from the normal price that existed in 1917,
and is at this time 1 cent a pound lower than the price that obtained in 1912.
Subnormal values of by-products from cattle, of which bides is typical, have
had a tendency to hold up the price of fresh beef carcasses, and had the
market for the by-products held reasonably stiff, the beef meat prices would
have effected further declines by this time."
[The permanent notes of the $60,000,000 7% Convertible gold notes
dated July 15 1920, are now ready in exchange for temporary interim cer¬
tificates at the Continental & Commercial Trust & Savings Bank, Chicago,
•r the Chase National Bank, N. Y. City.]—-V. Ill, p. 2327. 2231.
has
Associated Oil Co .—Tenders—Regular Dividend.—
of San Francisco, trustee, will until noon Jan. i5
receive bids for the sale to it of First Eef. Mtge. 5% gold bonds of
1910, at not exceeding par and int., to an amount sufficient to exhaust
$913,900, now in the sinking fund.
The regular quarterly dividend of 1%% has been declared on the out¬
standing capital stock, par 8100, payable Jan. 26 1921 to holders of record
The Union Trust Co.
1921
Dec. 31 1920.—V. Ill, p. 2327.
Atlantic City
The company was
City Gas Co.
Atlantic Coast Co.. Boston.—No Dividend.—
directors decided to omit the quarterly dividend usually due in
The
January on the outstanding $3,000,COO capital stock, par $100.
dividends of 2% % have been paid tip to and incl. Oct. 1920.
A
interest is owned by the Crowell & Thurlow SS. Co.—Y. 110, p.
Quarterly
controlling
2195.
Refineries, Ltd.—Bond Issue Reported.—
reports a trust mortgage from the company to
the Eastern Trust Co., Ltd., on the property of the company to secure
an Issue of bonds to the amount of $3,000,000 under registration date of
A
commercial
agency
Compare V. Ill, p. 2231, 2327.
Dec. 6.
Chemical Co.,
Atlas
Butterick Company.—Enormous
Applies in Greater or Less Degree to
the
In
gone
Co.,
Toledo.—Merger, &c.—
Ardmore,
Pa.—Capital—Sales.—
which $4,200,000 was
date the stockholders
before Aug. 16 to $800,000 ad¬
authorized capital stock is $10,000,000, of
Issued and outstanding on July 27 1920.
On that
were
given the right to subscribe on
stock at par ($100).
or
ditional
before Sent. 20 and
additional issue was
paid for by subscribers, making a total paid-in capital as of that date of
$4,839,600.
The balance of the offering has been duly subscribed and it is
expected, will be paid in by Dec. 20, the date for the final payment, bringing
the total outstanding up to $5,000,000.
Cash dividends of 10% have been
paid for several years and for the first six months of 1920 5% was paid
(2% % Q.), and it is expected the same rate will be continued.
During the first six months of 1920 net factory sales amounted to
$5,800,000, compared with $4,100,000 for corresponding period of 1919,
an increase of over 40%.
The new money derived from the sale of this
$800,000 stock will be used for the handling of increasing business, including
the manufacture of a new heavy duty model, for which a large demand
exists.—V. Ill, p. 1371. 1280.
Autosales Corporation.
New York*—Earnings
—
Profit, after taxes, for the nine months ending Sept. 30 1920 is reported
$126.636.—V. Ill, p. 2231. 1474.
William Black formerly Vice-President, has been elected President,
succeeding Charles F. Huhlein who becomes Chairman.—V. 110, p. 2490.
"Barrett Company.—Dividend Dates Changed.—
of
the Preferred stock up to and incl. Dec. 31 1920 to
a quarterly dividend on
holders of record Dec. 15
1920 of $1 46 per share, payable Jan. 3 1921.
The quarterly dates upon
which the dividends of the Pref. stock shall be paid in the future shall be
changed from Jan.
15, April 15, July 15 and Oct. 15 to Jan. 1, April 1,
Ill, p. 2142, 1371.
July 1 and Oct. 1.—V.
Bell
Telephone of Pennsylvania.—Bonds Approved
The stockholders have
—
approved the plan creating a 1st & Ref.Mtge.of
$150,000,000 under which will be issued the $25,000,000 7% 25-year bonds
recently offered and sold.
Compare V. Ill, p. 1372, 1474.
Black & Decker Mfg.
Co., Baltimore.—Stock.—
Company has recently increased its capitalization to
000,000 of which is 8% Pref. cum. stock.
The first lot
$2,000,000, $1,of $250,000 was
the benefit of employees and was oversubscribed.
For this
second block for $250,000 was opened up, both of which lots have
been fully subscribed, $368,500 of the new Pref. stock being taken by
issued
for
reason a
employees, and the balance of the $500,000 being taken by outsiders.
It is understood that in the near future an adidtional block of $150,000 will
be put out in order to take care of a number of friends of the Company
located throughout Baltimore County who were unable to secure stock of
price of coated paper ha
1914 to approximately fifteen cents in 1920.
annual cost of $1,200,000
for 1,200 tons of super.
typical of all other paper costs; even the Manila wrappers
of the Butterick Company the
case
from five cents a pound in
and super from three to nine cehts—involving an
for 4,000 tons of coated paper and $2,160,000
These increases are
up 200%.
As for the second
are
fundamental, labor, the Butterick Company's printing
payroll alone in 1916 was $1,200 a week—today it is $3,600 a week.
The
union system of shop practice, established during the war, necessitates
i n the case of the two-color presses a man to each press in place of one man to
two presses; which under the new wage scale results in an increase of 233%.
in the case of the men who handle the
to $32 a week; and the men who bale
$26.50. As to the third fundamental,
transportation, the postal rates have gone up 280%, freight rates 100%,
and express rates 60%.
As a concrete example the increased postage for
roll paper on the sidewalk, from $14
the printing house waste, from $10 to
$78,000 a year.
advertiser some idea of where his advertising
the "Delineator" alone amounts to
These figures give the
ncreased about 200%, while
foes. And when we considerthe increase in
that the cost
dollar
of making the agate line has
price to the advertiser is only
publisher is up against a situation
50%, it becomes evident that every
which he cannot long afford to maintain.
[From report by "Business Digest Service" 241 W. 37th St., N. Y.;
based on an article of 2,600 words in "Printers Ink" V. 113, No. 4, p. 3.]—
V. Ill, p. 1281.
Calumet & Arizona Mining Co.—Copper Output
Decrease.) 1920—11 Mos.—1919.
3,236,000
4,466,000
1,230,000 37,566,000
41,948,000
1920—Nov.—1919.
—V.
(in Lbs.)
Decrease.
4,392,000
Ill, p. 1952, 1474.
Cambria Fuel Co.—Bonds Called.—
($56,000) Purchase Money Mtge. 6%
Fifty-six
15-year gold bonds of
and int. at the Bank¬
City.—V. 109, p. 2266.
1910 have been called for payment Jan. 1 1921 at par
ers' Trust Co., 16 Wall St.. N. Y.
&
Car
Canadian
Foundry
Co.,
Ltd.—To
Liquidate
Dividend Arrears Amounting to 22%%—An. Report.
Pref.
The directors
on
liquidate the 22%% dividend ar¬
of 6% negotiable
The distribution will be made Dec. 31 to hold¬
14 decided to
Dec.
the Cumulative Preferred stdck through the issue
rears on
scrip maturing In 7 years.
ers of record Dec. 24.
Statement by Pres. W. W. Butler on Dec. 13 to
"Montreal Gazette.**
company's affairs have gradually adjusted themselves to its regu¬
peace-time production of railway cars and the various specialties in
connection therewith, and although the earnings for 1920 have been some¬
what disappointing because of the interruption to continuous work caused
by the difficulties in obtaining necessary materials, the full 7% dividend
upon the Preference stock has been earned and paid.
"The improved position of the material market and better labor condi¬
tions are now exerting a favorable influence on the operations of the com¬
pany; the unfilled orders at this date amount to approximately $20,000,000,
and railway requirements are such that a reasonable amount of additional
business is anticipated.
The directors have, therefore, reached the con¬
clusion that the time is opportune for some action to be taken with regard
to the Preference share dividend now in arrears, and they have been advised
that if such arrears be distributed before the end of the year shareholders
will benefit by this distribution of surplus without liability under the
income tax
law."
See under annual reports
above.—V. Ill,
Canadian Woollens,
p.
2328, 695.
Ltd.—Common Dividend No. 2.
has been declared on the outstanding $1,$100, payable Jan. 1 1921 to holders of record
dividend of 1%%
A second
par
Carib
The
paid in Oct. last.—
Syndicate, Ltd.—New Pass Discovered.—
announces that a new pass, through the mountains of
company
Colombia, has been discovered by explorers for the company, which
possible the laying of a pipe line to rich petroleum lands in the
See N. Y. "Times" of Dec. 8, p. 25.—V. Ill, p. 1755.
makes
Andes.
Coke Co.—Extra Dividend.—
Central Coal &
and % of 1 % have been declared on the Common
respectively, in addition to the regular quarterly divi¬
dends of 1 % % on the Common and 1 % % on the Preferred, all payable
Jan. 15 1921 to holders of record Dec. 31 1920.
In July last an extra divi¬
dend of 1 % was paid on the Common stock.
Capitalization: Authorized and outstanding, $5,125,000 Common and
$1,875,000 Preferred stock, par $100.—V. Ill, p. 192.
and Preferred stocks,
Central Hudson Gas & Electric
Co.—Capital Increase.
The company has filed notice at Albany of an increase in its capital from
$2,600,000 to $3,500,000.
We are officially informed that "this increase in
stock is made for the
purpose
of providing for future
conversions of out¬
standing debenture bonds."
.
$2,600,000 in connection with
the sale of $750,000 convertible 7% debentures, due Jan. 1 1929, and the
present increase, it is understood, marks the sale of additional convertible
The stock
was
increased in March 1919 to
debentures.—V. 108, p. 2125.
Cerro
de
Pasco
Copper
Corp.—Bonds Offered.—Esti¬
for 1920.—The bankers named below are of¬
fering at 100 and int., to yield 8%, $8,000,000 10-Year
Gonv. Sinking Fund 8% gold bonds.
(See adv. pages.)
Bankers Making Offering.—J. P. Morgan & Co., First National Bank.
National City Co., Bankers Trust Co., Chas. D. Barney & Co., Wm. Amated Results
(B. F.) Avery & Sons, Inc.—New President, &c.—
The directors have authorized the payment
Increase in Costs That
All Publishers.—
Extra dividends of 1 %
Payment was to be made either in full or 50% on or
balance Dec. 20.
Up to Oct. 31 1920 $639,600 of this
as
capital
$7,000,000.—V. Ill, p. 1854.
750,000 Common stock,
Chemical Co. have been merged
under the above name with a capital of $2,000,000.
The plants of both
companies furnish artificial gas to the Overland plants.—V. 105, p. 292.
Autocar
Increase.—
filed notice Dec. 6 at Columbus, Ohio, increasing its
Dec. 20 1920.
An initial dividend of like amount was
V. Ill, p. 1186.
The Atlas Chemical Co. and the Empire
The
reports it is likely that the whole merger
Buckeye Steel Castings Co.—Capital
The company
from $4,500,000 to
Canadian
Atlantic Sugar
Steel Corp.—Outlook for Merger Uncertain.
British Empire
According to the Canadian press
plan will be recast and that there will be considerable alteration in the finan¬
cial arrangements, and also of the figures at which certain of the companies
shall be included in the merger.
It is also stated that the Canada Steamship Lines and a few of the other
smaller concerns will be withdrawn from the merger and that itfwill be com¬
posed finally of Dominion Steel, Nova Scotia Steel and Halifax shipyards.
—V. Ill, p. 2231.
lar
holding company will vote Dec. 28 on dissolu¬
incorporated in 1910 in Delaware to take over the
and other properties, but none others were ever
added.
The company has $5,000,000 Common stock authorized and out¬
standing and $1,000,000 Pref. auth., of which $900,000 outstanding.
No dlvs. have been paid since 1914.
It intends to distribute the stock of
Atlantic City Gas Co. (99% owned) among its stockholders.—V. 99, p. 896
*
Boston Rubber Shoe Co.—Obituary.—
President, died Dec. 9.—V. 88, p. 161.
Col. Harry E. Converse,
"The
Company.—To Be Dissolved.—
The stockholders of this
tion.
Atlantic
$900,000
Equally startling are the increases
An
»
issued.
[Stock outstanding: Common
$25.]—V. Ill, p. 2045,1281, 1086.
the first and second lots
Pref. $600,000, par
for tne same work.
Chicago.—Fall in Wholesale Prices.—
Armour & Co.,
[Vol. 111.
CHRONICLE
THE
2426
Read & Co. and Spencer
Trask & Co.
Dated Jan. 1 1921, due Jan.
1 1931.
Int. payable J. & J. in New York*
$1,000 (c*&r*).
Red. by operation of sinking fund on any int*
date after 60 days' notice at 105% and int.
Convertible until and inch
Jan. 1 1931, or, if called for red. after 60 days' notice, then until and incl.
the redemption date, into stock at rate of 30 shares of stock for each $1,000
of bonds, equivalent to a price of $33 1-3 per share of stock.
Columbia
Trust Co., New York, trustee.
,
„
>
A semi-annual sinking fund is provided of 20% of net earnings before
int. charges and depletion, but not less than $840,000 p. a., to purchase
bonds in market at not exceeding 105% and int., or to their redemption
Denom.
If subsequent mortgage be placed on the real property now
if any pledge be made of any of the stocks or securities of the
at that price.
owned,
or
Cerro de Pasco Ry. or of the Sociedad Minera Backus
this issue Is to be secured by a prior lien thereto.
Data from Letter
of
Pres.
L. T.
Company.—Incorp. in New York Oct. 26 1915
and
other
properties
in
y
Johnson del Peru,
Haggin, New York, Dec. 14 1920.
and owns copper mines
Peru.
Authorized capital 1,000.000 shares (no
shares outstanding.
These bonds constitute
the entire capital stock of Cerro de Pasco Ry.
par value), of which 898,230
he only funded debt.
Owns
Dec.
181920.]
Purpose.—Proceeds
THE
CHRONICLE
will be used to reimburse
corporation for expenditures
on the
construction of the new smelter at
Oroya (estimated cost $10,000,000)
and to provide funds
for its completion, part of the cost of
the smelter being
met from current
earnings.
It is expected that this smelter will be in oper¬
ation early in 1922.
x
Production of Smelter Prior
mno^ni'r Organization
•—r--
Coast Valleys Gas & Electric Co.—Bonds
Approved.—
The California RR. Commission has
authorized the company to issue
$375,000 1st mtge. bonds at not less than 80 and
$220,000 10-year 8%
notes at not less than 94.
The moneys obtained
through the sale of the
notes are to be used to pay the cost of plant
extensions.—V. Ill, p. 1854.
to
in 1915.
—-
Since Organization
in 1915—
and Since Organization in 1915.
Copper, Lbs.
Silver, Ozs.
Gold, Ozs.
340,000,000 19,802,000.00 154,200.000
Coca-Cola Co.—New Director—Dividend.—
69,657,067
71,243,548
70,516,400
57,028,288
4,209,659.62
29,891.677
5,556,735.33
30,068.924
5,051,900.04
28,210.902
ioon7—
5,325,320.93
28,361.217
1920 (partly
estimated)
52,334,308
5.959,084.70
22.092.722
x
Excluding production of Sociedad MineraBackus
y Johnson del Peru,
y Net Income Available
for Int., Federal Taxes, Deprec. & Depletion, Cat. Yrs.
•o V8PM
1917.
1918.
1919.
$3,614,217
$12,726,311
$8,866,428
$5,777,417
Earnings for 1920, partly estimated, should be not less than
$4,000,000,
as
compared with $1,440,000 interest and minimum
sinking fund require¬
ments on
-
-----
Ill, p. 2142, 1755.
Commonwealth
these bonds,
Does not include undistributed
profits of subordinate companies, which
annually for years 1916-1919,
inmdends.—Since its organization has maintained
regular dividends of
$4
annual report for
1919 in V.
divs.
of $1
75 in
1917 and $1
in
1918.
and
int.; thereafter at par and int.
York' trustoo'
i*-.v
v.
v..' ■
lnn1^
See
110, p. 1847.—V. Ill, p. 2046.
was
Passaic and Warren in
public and private use,
own
modern
Union, Morris and Somerset
Counties.
«
Earnings.—Net earnings for the past 5 years have averaged well
sinking fund gold bonds deposited with the trustee.—V. 94,
p.
over
5%
1510.
Computing-Tabulating Recording Co.—Tenders.—
The Guaranty Trust Co. of N. Y., trustee, will, until 10
a. m., Dec. 29,
6% 30-year sinking fund gold bonds of 1911,
int., to an amount sufficient to exhaust $100,000.—
receive bids for the sale to it of
atnot exceeding 105 and
V. 110, p.2294.
Conley Tin Foil Corp.—Dividend Omitted.—
Co.,
The directors have omitted the declaration of the dividend due Jan.
An initial dividend of 50 cents per share was
paid in July
next.
last;
amount
was
also
paid Oct. 1 last.—V. 110,
Consolidated Textile
p.
a
1
like
2490.
Corp.—Listing.—
The New York Stock Exchange has authorized the
listing of 70,620
additional shares of Capital stock (no par value) on official notice of is¬
suance
upon con version of its 3-year
7% sinking fund convertible debenture
due April 1 1923 (V. 110, p. 1529) and 535,274 shares on official
notice of issuance making the total applied for946,894 (auth.
1,000,000).
The purpose of the additional issue of 535,244 shares is to
provide funds to
acquire (through an existing holding company, B. B, & R. Knight Corp. of
notes
Chicago Pneumatic Tool Co.—Earnings.—
r Sept. 30 '20.
$392,515
June30'20.
$379,994
Mar. 31'20.
9 Months.
$253,304
$1,025,813
Net earnings, after taxes and
charges, but before dividends.
V. Ill, p. 1952.
a
Del.) all the outstanding common stock (100,000 shares) no par value of
1375) and for other purposes
matter.—Compare V. Ill, p. 2046, 2232.
B. B. & R. Knight, Inc., of Mass. (V. Ill, p.
in connection with the
Compare
Consolidated
man
President B. E. Sunny writing to the
"Chronicle" Dec. 9 1920, says:
"There will be no new
financing in connection with the purchase of the
Central Union properties in Illinois
by the Chicago Telephone Co.
The
[$15,500,000] 5% notes delivered to the Central Union will
probably be
turned over to the American
Telephone & Telegraph Co. to satisfy its
debt or a portion thereof.
"The Chicago Telephone Co. has
upwards to $20,000,000 First Mortgage
Bonds outstanding which mature Dec. 1
1923, at the same time these 5%
and
Wm.
—The committee named below in circular of Dec.
1 says:
The company was organized in 1904 with
$4,000,000 (Common) stock,
mainly to speculate in real estate.
Messrs. Flake &
Dowllng became the
chief executives, but Mr. Flake died in
1905.
Dividends were paid on the Common stock until
May 15 1907, but since
then only 2% in 1918 with a further
5% recently declared (payable Dec. 20
1920), while this committee was being formed.
Operations to date have
netted heavy losses
notwithstanding two periods of great prosperity.
The City Investing Building, 165
Broadway, was opened May 1 1907.
The land, building and contiguous
property cost over $11,000,000; $5,000,GOO of this was borrowed on first mortgage on 165
Broadway, $1,250,000
Broadway and contiguous
property were sold for $10,000,000, netting a loss of
nearly $800,000.
The annual report of April 30 1920 shows an
operating profit of over
$686,000.
But against this was charged about
$796,000 losses accruing
on the books
during that year, leaving a net loss of $109,000.
According
to our best Information the
aggregate losses in various operations have been
over
$2,000,000, recouped in part by some fortunate
speculations, but
largely from the surplus income of 165 Broadway.
In our opinion the time has now arrived for
liquidation.
The book value
of the assets is substantially as follows:
j Cash & marketable
3,460,000!Total......
$600,000
--$5,850,000
securs_
The above mortgages provide for liberal amortization
payments.
Prac¬
tically all of the real estate is subject to mortgages, and all but
$55,000 of
the mortgages owned are subject to
prior mortgages.
With care we think the Pref. stock can
speedily be paid in full (unless
the quick assets are previously tied up), and the Common
stock paid off,
we hope,
at over $100 per share.
The present nominal market
prices of
thestock on small sales are about 75 for the Preferred and
60 for the Common.
The undersigned already represent a large
proportion of both
classes
of stock.
If we secure the support of a
majority of the stock, directors
will be elected to carry out an economical
liquidation, payments on account
to be made from time to time.
[Signed by committee, Francis K. Pendleton, Chairman, ex-Justice Su¬
Court; Henry S. Thompson, Vice-Pres. Globe & Rutgers Fire Insur¬
Co.; William C. Cox, Vice-Pres. Guaranty Trust Co.; Lorenzo M.
Picabia, William R. Stewart, Pres. Rhinelander Real Estate
Co., and
Frederick J. Middlebrook, with Louis M. Ogden,
Secretary, 25 Broad St.,
New York City.]
[President Robert E. Dowling, the largest stockholder, opposes liquida¬
tion, claiming that "the assets are worth $1,000,000 more than the
amount
of indebtedness"; that no properties have been bought since
last winter;
that in the last seven years no money has been lost by speculation in
prop¬
erty; that next year $500,000 wi'l be coming in from mortgages by reduction
and that he expects considerably more than par for his Common
stock.
("Wall Street Journal" Dec. 15.)
The Pref. divs. have been regularly
paid, the usual 1 % % being advertised for Jan. 3.j—Y. 109, p. 2359.
*• "* "*r-*
I
<
•
a
i
•
V-:-' ■.
,
j
Earnings.—Earnings of the subsidiaries, year ending June 30 1920:
Gross, $690,878; net, after taxes, $220,207; total interest charges, $81,341;
annual interest on $250,000 8% notes, $20,000; balance,
surplus, $118,866.
Security.—Secured by deposit of $370,000 underlying mortgage bonds as
follows: $220,000 Kansas Electric Utilities Co. 1st 5s, 1925, and
$150,000
Miami Valley Electric Co. 1st & Ref. 6s, 1945.
Consolidation' Coal
Co.—New Offices.—
The company, it is reported, leased the 18th floor of the 25-story office
now being constructed
by the Munson Steamship Line at Wall
and Pearl Sts.. N. Y. City.—V. Ill, p. 2046; V. 110 p. 1293,
building
1191, 1180.
Cosden &
on
second mortgage, and to clean
up construction bills, the company in 19081909 issued for cash at par $1,000,000 of Pref. stock.
This last was taken
by the stockholders.
In February 1920 165
Co .—Notes
Ross &
Callable at 105 and int. on 30 days' notice.
Commercial Trust & Savings Bank, Chicago, trustee.
Organization.—Incorp. Nov. 26 1915 in Delaware.
Owns and controls,
through stock ownership, Kansas Electric Utilities Co., Union City Electric
Co., Miami Valley Electric Co. and United Lighting Co., serving exclusively
electric light and power to 20 cities and adjacent
territory in Kansas, Indiana
Ohio and Pennsylvania.
Purpose.—Proceeds are to be used to pay the cost of extensions and bett/CnriOTi t'8 *:'•'
City Investing Co., N. Y.—-Committee Seeks Liquidation.
L.
Continental &
"If the market is favorable in
1921, the Chicago Co. may do some fi¬
not been very seriously discussed thus
far."
Co.
Current Assets—
Cash
(of Del.).- Current Assets, &c.—
Oct.21'20.
Current. Liabil.— Oct.31'20. June 30'20.
Jwnt.30'20.
payable,
$1,678,139
4,513,355
Material & supp-. 2,855,365
2,887,090
Notes & acc'te ree. 3,870,318
4,017,281
Notes
U.S. Lib. bonds--
Int., accr. taxes &
$2,531,051
Inventory
,
-
4,474,197
24,156
22,950
Total
Results
for
$599,620 $2,022,852
2,505,747
2,748,349
Acceptances dlse'd
Total
41,974
Fed.taxes
-
Ten Months ending Oct.
705,000
-----
Dividends
$13,755,087113.118.815
—
—
Accounts payable
res. for
21,735
940,619
800.360
-.$4,330,562 $6,055,694
31
1920:
Net Income, after deducting operating expenses, interest, &c_.$12,627,587
Reserve for Federal taxes
602,880
Balance, surplus, applicable to dividends
$12,024,707
See earnings by months in V. Ill, p. 2233, and compare V. Ill,
p. 1288.
reported as saying that "the company's entire gasolene out¬
put has been sold to the Standard Oil Co. of Indiana up to March 1921, and
that the refinery is running at capacity and is experiencing no
difficulty in
obtaining crude."—V. Ill, p. 2233.
An official is
Crane Company,
Chicago.—200% Stock Dividend.—
A 200% stock dividend has been declared on the $13,530,500 Common
stock, par $25.
This distribution will increase the outstanding Common
stock to $27,061,000.
The company, it is reported, will also distribute $2,200,000 cash
among
its employees.—V. 110, p. 2196.
preme
Creamery Package Mfg. Co.—Dividend Increased.—
ance
Co.
Dated Oct. 1 1920. due Oct. 1 1925.
Int. A. & O. in Chicago and New
York without deduction of normal Federal income tax up to
2%.
Denom.
nancing, but the matter has
—Compare V. Ill, p. 2232.
(cost) _$1,790,000
&
$1,000, $500 and $100 (c*).
notes mature.
.....
Utilities
Offered.—CounselCo., Inc., Chicago, are
offering at 98 and int., to yield about 8%%, $250,000
5-Year 8% Coll. Trust Gold Notes.
A circular shows:
Chicago Telephone Co.—Issues $15,500,000 5% Notes
for Central Union Properties—Possible Financing in 1921.—
real est.
"
twice the entire interest charges.,
;
k
.1
Security.—Each $1,000 note is secured by $1,300 1st & Ref. Mtge.
V. 110, p. 2079.
Equities In
Mortgages
$2,395,000.
ships of Chatham,
Chicago, are offering at 100, to net 6%, $320,000 6% 1st
Mtge. Chicago Real Estate Gold bonds, secured
by land
and building
occupied by The Channell Chemical Co.
The
bonds are a direct personal
obligation of the owner of the
property, Chas. A. Channell, President of the company.—
Quarters ending
Net earnings.
over
The Commonwealth Electric Co. furnishes current from its
The
a
New
*«
Sower plant, for domestic, commercial and New Providence and the Town¬
ghting in the City of Summit, Borough of public uses, including all street
company has severed all connection with the O-Cedar Mills
Co., and
on the bonds of this
comoany has been amply protected.
Purpose.—To provide funds to enable
company to take care of its rapidly
expanding business, both at home and abroad.
Trust
.y...■
come.
Its guaranty
&
Co.,
•
notes
supply
enable it to cater to the
English demand and, in fact, supply from this
point all British possessions.
The company has acquired the Aladdin
dye
soap.
Bank
■.v
trust
is drawn from wells in the Canoe Brook and
Baltusrol Valleys, where the
company owns reservations aggregating 1,145 acres,
enbracing undeveloped
sources of supply to take care of the
increasing demand for many years to
months ending July 31 1920 were
$269,875,
dividend requirement of $6 per share on the Class
giving effect to present financing.
Estimated earn¬
ings, before taxes, during fiscal year about
$600,000.
Sales to Sept. 1
have been
$2,375,000; estimated sales for full year, $5,000,000.
Company.—Manufactures the "O-Cedar" polish, used in decorative
cleansing polish for furniture, floors, woodwork, &c.
This polish is sold
over.
The company is now
doing in England a business of $1,000,000 per annum, and plans to establish a
factory in London which will
Sons
Trust
t■
miles of water mains, 11,000 water
meters, 1,100 hydrants, 1,200 acres of
land, office buildings in Summit and West Orange,
power houses, pumping
machinery, and 40 or more driven and artesian wells.
The water
Earnings for the 7
Offered.—Greenbaum
&
.*
The Commonwealth Water Co. furnishes
water for
orover the entire annual
A
shares, without
Bonds
,i..
including fire service in the City of Summit, the Towns of Irvington and
West Orange, the Borough of New
Providence, and Townships of South
Orange, Millburn and part of Springfield.
It owns approximately 175
(40,000 shares) and Class
B"
shares)—both having voting powers—with no
bonds, mortgages
or preferred
stock outstanding (it
being the intention to retire the present
Preferred stock).
The Class "A" Common stock shall have
preference
oyer the
B
shares, both as to assets and dividends, and shall
participate
equally with the "B" stock in the further
profits of the company after $6
per share has been paid on both classes.
;
Earnings.—Total net earnings for the 9 years
1911-1919, incl., were 260%
or the
outstanding capital stock, or average net earnings of more than
40%
per annum.
•• y-.
(incl.
(6%) stock $190,000; 2nd Pref. (7%) stock,
$300,000; Common stock, $500,000.
Properties.—The company owns all outstanding bonds and stock (except
directors' shares) of Commonwealth Water Co. and
Commonwealth Electric
Co. which companies serve without
competition a population of about
60,000 and 25,000 respectively.
The value of the properties in 1920, as
approved b> the New Jersey P. U. Commissioners for rate
making purposes,
of Common stock Class 'A"
(ou.UUu
Farmers' Loan
Capitalization.—Mortgage bonds, $969,000; collateral
this issue), $400,000; 1st Pref.
Channell Chemical Co. of
Illinois, Chicago.—Stock Of¬
fered,—P. A. Brewer & Co.,
Chicago, are offering at $62 50
per share, to yield on regular divs. over
9^%, 40,000 shares
of Class A Common
stock of no par value.
A circular shows:
Capitalization.—Upon the completion of the present financing capital
/on
&
Notes— Dated Dec. 1 1920.
Due Dec. 1 1935.
Denom. $1,000 (c).
Int. payable J. & D. in New York.
Company agrees to pay the U. S.
normal income tax up to
2%.
Red. on any int. date on or before Dec. 1
1926, at 110 and int., and between Dec. 1 1926, and Dec. 1
1932, at 105
r2 ^Jen*ged approximately $1,000,000
extra
Water
Light Co. of N. J.—Note
Offering.—F. M. Ckadbourne & Co. of Newark, N. J., are
offering at 953^ and int. netting about 7lA% $200,000
15-year Collateral Trust 7% Gold Notes of 1920.
y
and paid
V.
Charles Hayden of Hayden, Stone & Co. has
been elected a director.
regular semi-annual dividend of
3K% has been declared on the
$10,000,000 Preferred stock, payable Jan. 1.—V.
The
_____
per share
2427
A quarterly dividend of 2% has been declared on the outstanding $3,000,000 Common stock, par $100, payable Jan. 10 1921 to holders of record
Jan. 1 1920.
Quarterly dividends of 1 % % were paid during 1920, Including
an extra dividend of
5% paid in January.—V. 110, p. 363.
Crompton & Knowles Loom Works.—Obituary.—
President Lucius J.
V. 110, p.
*
Knowles died In
2079.
London, England,
on
Nov. 26.—
.
<
:
Crucible Steel Co. of America.—New Director.—
John H. Fulton of the National City Bank of N. Y.. has been elected a
j
director.—V. Ill, p. 2329, 2233.
Dec. 31
Dodge Bros.,
President Horace
Detroit.—Obituary.—
value) of
The
.
Compare
The
East Bay
Water Co.—Voting
Trust Ends.
Branch,
Mining
Eagle & Blue Bell
Set receipt, upon payment and in lieu thereof will be issued a non-negotiale the aforesaid which this dividend and such further dividends, ir any,
out of the small sum reserved for unadjusted claims, &c., will be paid
promptly by check.
Digest of Circular from
Co.—Dividends.—
has been declared out of earnings, to¬
gether with a dividend of 15 cents per share out of reserve for depletion,
as a
"return of capital" payable Dec. 23 to holders of record Dec. 17.
In April last, a dividend of 10 cents per share was paid; compared with
dividends of 5 cents each paid in March and Sept. 1919.
This makes a
total of $1.75 per share paid in dividends since Feb. 11913.—V. 110, p. 1645.
A dividend of
10 cents per share
Edison Elec. Ilium. Co., Brooklyn.—Final
See Brooklyn Edison Co. in last week's "Chronicle."—V.
Distribution.
83, p. 215.
Electrical Development Co. of Ontario, Ltd.—
See Toronto Ry. under "Railroads" above.—V. 104, p. 955.
Elizabethtown (N. J.) Gas Light Co.—Rate Increase.—
P. U. Commission has revised its order of May 12 1920,
of the company from 90c. to $1 15, and issued an order
permitting the company to charge $1 40 per 1,000 cu. ft. for gas.
When
the company was granted the $1 15 rate, after applying for a charge of
$1 50, it appealed to the Supreme Court.
Justice 8wayze held that the
rate was Insufficient, which led to a reconsideration of the case, with the
The New Jersey
Empire District
to
of the first
Approved.—
Preferred
Pound.—
on Dec.
15.—
Rubber Co.—Earnings.—
showing: Sales,
of $9,396,912,
current liabilities,
losses, $8,-
Body Corp.—Take
Over Ohio Corporation.—
exchange one share
Ohio Co. Common
share of the latter
Common.
The former also agrees in connection with the purchase of the
latter through this exchange, which directors of both companies have
approved to issue dividend charges of Fisher Body Ohio Co. Preferred and
to pay off the accumulation of back dividends on that issue [amounting to
$8 a share for 1920] within 18 months. 1 ("Boston News Bureau.").
The Fisher Body Corp. (controlled by the General Motors Corp.) has a
controlling interest in the Fisher Body Ohio Co.'s 100,000 authorized and
issued shares of Common stock of Jdo par value (Compare V. 109, p. 1612.)—
Body Corp. of New
York has offered to
of its Common stock for every 5 shares of Fisher Body
stock and to pay in addition $2.50 per share upon every
V. Ill, p. 2143.
Ohio Co.—Probable
Fisher Body
See Fisher Body Corp.
Acquisition.—
above.—V. Ill, p. 1756.
Chicopee Falls, Mass.—Omission of
of Both Pref. Dividends—Status—
Outlook.—President H. T. Dunn in circular of Dec. 13 says:
Dividends.—The general situation due to trade and credit conditions
throughout the entire country is such that the directors feel it advisable
to conserve the cash resources and in consequence voted to omit the quar¬
terly dividend of 76 cents a share on the Common stock which would have
Fisk Rubber Co.,
Common Dividend—Payment
during
payable Jan. 1, notwithstanding it had been more than earned
the year.
The regular dividend of \%% on the 2d Pref. stock payable
Dec. 15 to stockholders of record Dec. 1, and the dividend of 1 % % on the
First Pref. stock payable Feb. 1 to stockholders of record Jan. 21 will be
paid.
No comment is necessary as to the trying situation all industry has found
Itself in during the last few months, for it is apparent to all, but our faith
been
in the future of our country, our company
and the direct industry
continues
*
to be
unbounded.
Sales—Status.—Our sales for 1920
as
compared with $43,600,000 for
jPflities8 thoroughly
will run approximately
1919.
stock now held.
letter to the stockholders states that when
selling of motor cars stopped as though over night the company took im¬
mediate steps to stop incoming materials but before this could be accom¬
plished, inventory increased in excess of $500,000.
Based upon spring and early summer demand the inventory could have
been quickly liquidated, but with the almost complete stoppage of sales, no
such liquidation is possible.
As a result the company now faces the neces¬
sity of financing a big and valuable inventory, until the resumption of buy¬
ing which will rapidly provide funds for all requirements.
Interests identified with company early in 1920 acquired control of H. J.
D. A. Shaw in a
President
Cleveland, manufacturer of automobile engines.
The
60,000 of the 100,000 shares outstanding, according
Walker Co.,
chase covered
pur¬
to a
Hopkins, V.-Pres. of the Grant Co.
H. J. Walker,
Norman Walker and W. C. Dunn, officers and directors of the H. J.
Walker Co., are succeeded by D. A. Shaw, Ben. S. Hopkins and George
Salzman, as Pres., V.-Pres. and Treas., respectively.
Mr. Salzman also
will serve as Gen. Mgr. of the H. J. Walker Co., of which F. W. Treadway
is Sec.
These officials with A. R. Fraser of the Guardian Savings & Trust
Co., Cleveland, compose the board of directors.—V. 109, p. 1613.
statement by Ben. F.
The annual report for year ended Oct. 31 is quoted as
$114,980,969, against $91,078,514 in year 1918-19; profits
against $9,306,978.
Current assets Oct. 31, $73,732,503;
$32,684,568.
Provision out of year's earnings for inventory
151,749.—Y. Ill, p. 2233.
Fisher
of
stock and $2 of Common
392.
The Fisher
liens for the expenses
Grant Motor Car Corp.—New Note Issue.—
The company is offering to stockholders an issue of short-term notes
bearing 8% int. and maturing on or before Nov. 1 1921.
The notes are
being offered at 95, on a basis of $20 a share for each share of
106, p. 1342.
Firestone Tire &
the small profit
order, there resulted
reserved $37,443 against
thereof to be distrib¬
Court costs, &c.,
balance of $1,234,035,
less H of 1%
the committee.—V. 111. p. 497.
plant and securities and
realized from operating the property under court
total of $1,304,382, from which the Court has
claims filed but not finally adjudicated, any balance
uted to the bondholders.
There was also allowed for
the sum of $32,904.
After these deductions there is a
which is now to be distributed as a dividend in liquidation,
Relations has granted the company
Federal Sugar Refining Co.—Sugar at 8c. a
The company quoted refined sugar at 8 cents a pound
V. Ill, p.
liens.
sale of the property,
From the
and our failure to purchase
of reorganization dated July 26
competitive bidding, the liquidating
35% to 41%, or $410 per $1,000 of
rendered inoperative the plan
As a result, however, of our
value was raised from an estimated
1920.
right to issue at 88 $1,725,000 1st Lien & Gen.
Nov. 1 1939.
The bonds will be issued to redeem obligations now
ing and unpaid, of which a large part have been due
On July 26 1917 the Court granted the company permission to
bentures amounting to $491,000, and on Oct. 27 1917 approved
additional debentures, and another issue of $842,000 on May
These represented short-time borrowings at ordinary rates
("Topeka Capital.")—V.
free for deposit.
chiefly by the cash made
approximately 70% of the bonds
the property
the
Mtge. 8% gold bonds, due
outstand¬
since 1917.
issue De¬
$368,000
11 1920.
of interest.
The company showed the Court that it had been able to find a market for
only $106,000 of these obligations.
About the time of the last bond issue, permission was also granted to
Issue $2,000,000 of short-time notes.
The Court's order provides that this
issue shall be withdrawn.
Company is controlled by Cities Service Co.
of Industrial
The Kansas Court
Nov. 30.
At the foreclosure sale our bid was limited
available by the bondholders and stockholders,
See V. Ill, p. 993.
allowed.
Electric Co.—Bonds
Bondholders' Committee, William J. Casey,
Chairman,
bondholders deposited their bonds, aggregating $1,574,830 of
first liens, out of a total of $3,070,038.
As there were many bonds held In
Germany and by trustees, the bonds actually deposited with us amounted
About 500
First Mortgage
Sale.—
in increasing the rate
result that the $1 40 rate was
Calvert and Redwood streets,
to pay to the holders of the fol¬
allowed thereon in the fore¬
closure proceedings in the U. S. District Court for the Dist. of Md., viz.:
(a) $410 for each $1,000 1st Mtge. 4% bond of 1901, with coupon due March
1 1920 and all subsequent coupons attached; (6) $414 02 for each $1,000
6% Coupon Funding bond of 1914, with coupons due March 1 1920 and all
subsequent coupons attached; (c) for unfunded coupons of earlier matur¬
ity than March 1 1920 upon said 1st Mtge. bonds, at the same rate as upon
the 1st Mtge. bonds, with allowance of interest to March 1 1920.
The securities named must be surrendered for cancellation in order to
certificates may on Jan. 1 1921 exchange same for shares
stock at the Mercantile Trust Co.'s Savings Union
cor¬
ner Grant Ave. and O'Farrell St., San Francisco.
The new certificates will
be ready for delivery on Jan. 25 1920.—V. Ill, p. 1953.
Holders of trust
Mercantile Trust & Deposit Co.,
gives notice that it is prepared
named securities the dividend
Baltimore,
lowing
In 1919.—V. Ill, p.
of capital
circular, &c., V. Ill, p. 2329.
Gottlieb-Bauernschmidt-Straus BreWing Co., Balti¬
more.—Payment of Dividend Allowed in Foreclosure.—
with $489,555
$725,544 in 1920, compared
Rubber Co—Monthly Sales.—
against expected sales of $250,000,-
circular cited last week shows, as
following:
,
_
Sales Aggregating $204,856,159 for 12
donths Ended Oct. 31 1920.
Mar. 1920—$21,589,341 July 1920._$17,000,138
Nov. 1919—$11,921,330
April 1920— 17,690,389 Aug. 1920— 18.872,791
Dec. 1919— 16,318,189
Jan. 1920— 19,208,951 May 1920._ 20,468,593 Sept. 1920— 13,659,718
June 1920— 19,470,597 Oct. 1920— 11,132,878
Feb. 1920— 17.523.244
•
and loss surplus,
2142.
17.
j
000, the
—Earnings.—
Dominion Glass Co., Ltd.1920.
1919.
Sep*. 30 Yrs.—
1920.
1919.
Pref. div. (7%)..$182,000 $182,000
Profits
$757,988 $631,724
Com. div. (4%).. 170,000
170,000
Bond Interest.
i20,000 120,000 Balance, surplus.$235,989 $109,724
Sinking fund
•_ 50.000
50,000
Total profit
1665.
Goodyear Tire &
Sub. Co. Stk
Dominion Foundries & Steel, Ltd.—Offers
The stockholders were recently offered the right to subscribe to $800,000
7% Cumulative Pref. stock of the Adirondack Steel Foundries Corp. at
par ($100), with a bonus of 3 shares of Common stock (no par
the subsidiary company for each share of Pref.
The terms are 10% with
subscriptions and the balance within 30 days.
The time within which
subscriptions were to be received was originally fixed for Dec. 10 but has
been extended to Jan. 5 1921
.
The Dominion Foundries built the Adirondack Steel plant and owns all
its issued stock less a small amount sold. Production was started in August.
The Adirondack corporation owns 29 acres of land and a large modern
steel casting plant under construction and in partial operation, located at
Watervliet, N. Y.—V. 108, p. 2244.
will be made to holders of record Dec.
This distribution
1920.
Ill, p.
—V.
/
10,—V. Ill, p. 77.
E. Dodge, died Dec.
[Vol. 111.
CHRONICLE
THE
2428
$42,000,000 net
The financial position of the com-
sound, with quick assets in the ratio of 2 to 1 to its liar
while larger than during normal times are composed in
standard salable sizes; 87 % of all tires consumed are
4 in. and under, and this percentage prevails in our stock.
The company intends to mark down its stock of cotton fabrics, rubber and
other materials at the end of the year to sound values and will be able to
effect such readjustment out of 1920 earnings and without drawing on the
Our inventories
the finished stock of
Western Power Co.
Great
of Calif.—Bonds
Offered.—
Cyrus Peirce & Co. and Bonbright
& Co. are offering at 100 and int. yielding from 10.75% to
8.35% according to date called by lot, $1,500,000 (Second
Series) Gen. Mtge. Conv. 8% Gold Bonds.
Auth. and
issued, $5,000,000.
Dated Aug. 1 1920. Due Aug. 1 1930.
E. H. Rollins & Sons,
A circular shows:
|
Sinking Fund.—Beginning Aug. 1 1922, company will pay an annual
sum to retire bonds by lot at 105 and Int., sufficient, when paid annually to
and including 1930, to retire the entire issue.
This sum will amount to
$583,333 and int. on Aug. 1 1922, if $5,000,000 bonds are outstanding.
Collateral Security.—To be later secured by the pledge of an equal par
value of new Series "B" 7% bonds when issued under company's 1st & Ref.
shall have been
of Gen. M. Conv. 8%
equally with the $6.000,000 Series "A" 6% 1st & Ref. M. bonds now outstanding.
No addi¬
tional bonds may be issued under the 1st & Ref. M. until there shall have
been pledged Series "B" 7% bonds to the full par value of the Gen. M.
M. dated March 1
1919, and after
$3,500,000 of said bonds
pledged as security for the first series of $3,500,000
bonds. (V. Ill, p. 899).
The Series "B" 7s will rank
Conv. 8%
bonds outstanding.
price of par and interest
Fund at 105 and interest.
1926
1927 1928 1929 1930
8.89% 8.71% 8.58% 8.48% 8.41% 8.35%
Capitalization as of Nov. X 1920.
Yield which these Bonds
will Return at the purchase
if Drawn for the Sinking
1925
1923
1924
10.75% 9.67% 9.18%
1922
Called
Yield
Common
$27,500,000
3,865,684
stock
Cum. (incl. $1,992,700recently underwritten)__
Debentures, 1925
General Mortgage Conv. 8% Gold bonds [in two series of $3,500,000 and $1,500,000.
Both series will ultimately have same
security, but the Second Series will not be additionally secured
by the pledge of Series "B" 7% bonds, or be convertible into
them, until after Series "B" bonds shall have been pledged for
Pref. stock, 7%
6%
the security and
conversion of the First
8% bonds]
Series of $3,500,000
—_
4,177,600
$5,000,000
6% bonds, Series "A," due Mar. 1
1949 [$5,000,000 new Series "B" 7% bonds ranking equally
with these will when issued be pledged as security for and into
which the Gen. M. Conv. 8% bonds are to be convertible]
6,000,000
Underlying Divisional Mortgage 5% bonds
-——
First Mortgage 5% bonds, 1946 (closed mortgage)
Purpose.—To reimburse the treasury for expenditures already made on
the company's distributing system, and to provide funds for
betterments to the company's system during the next 12 months.
First & Refunding Mortgage
3,287,200
20,519,000
additions and
based
1921.(est.)
Gross
excl. of int. during constr. $5,154,258
$5,745,888 $6,750,000
Operating exp., taxes, rentals, &c
2,268,148
2,886,691 3,000,000
Net earnings
$2,886,110 $2,859,197 $3,750,000
Annual int. requirement on all outstanding mtge.
bonds of the Co., including this issue.
—
1-951,080
1,951,080
Annual int. requirement on all outst. debentures—
250,656
250,656
Surplus over Interest charges
$657,461 $1,548,264
This surplus is shown without benefit from proceeds of recent financing
General American Tank Car Corp.—Dividends.—
and exclusive of $464,230 interest during construction ordinarily included
A semi-annual dividend of $1 50 has been declared on the outstanding
in earnings.
Compare full description of bonds of first series with com¬
Common stock, no par value, payable Jan. 1 to holders of record Dec. 15.
previously accumulated surplus.
Outlook—The prospects for spring business are very encouraging, our
orders to date comparing most favorably with the same period a year ago.
We believe that the motor industry will have a revival by spring but we are
not dependent on that source for our principal outlet, as less than 25% of
our total sales are sold to manufacturers for original equipment, more than
75% being distributed for resale to the ultimate consumer by over 40,000
dealers supplied from our own wholesale branches.
The regular report for year 1920 will be rendered as usual early next year.
—V. 110, p. 2074.
Common
dividend record: $1 50
incl.; May last, 50 cents per
quarterly from Apr. 1919 to Apr. 1920
share, and July last 50
Co.—Dividend Date Changed.—
the date of payment of the regular
1>£% on the Preferred stock, from Jan. 3 1921 to
General Chemical
The directors on
Dec. 13 changed
quarterly dividend of
cents.—V. Ill, p. 1954.
Earnings (Reclassified)
with Estimate for
on
12 Months Ended Oct.
31—
Year Ending Oct. 31 1921
present rates.
1919.
1920.
earn.,
plete description of property,
Guantanamo Sugar
James
and O. G.
George R.
Gage, Second
Co.—New
899.
„
Officers—Annual Report.
elected President to succeed the late William
Bunker has been elected First Vice-President
Vice-President & Gen. Mgr.
H. Post has been
Moore Carson.
&c., in V. Ill, p.
Dec.
181920.]
THE
CHRONICLE
munder "Financial Reports" and "Reports and Docu¬
in last week s
"Chronicle"—See V. Ill, p. 2322, 2330, 2335.
ments
Gulf States Steel
Co.—Earnings.—
earnings for November after
.
the usual deductions for
taxes,
deprecia-
w?«?^oarwKun^SJL!10 *50,655, and for the eleven months ending Nov. 30
p?2143.
compares with $110,603 in Nov. 1919.—V. 111.
Hadfield-Penfield Steel Co. (formerly American
Clay
Machinery Co.).—Bonds Offered.—Central Trust Co. of
5r22~ u.pklcag°> are offering at 100 and int.
51,000,000 8% Coll. Trust Gold Bonds:
to
yield 8%
JSSa1 ^.
Maturing $250,000 each Sept. 1 1922 and 1923
and $500,000
Sept. 1 1924.
Denom. $100, $500 and $1,000.
(c*).
Int.
payable M. & S. at Central
Trust Co. of Illinois, Trustee, without deduc¬
tion for Normal
Federal Income tax at 101 and int.
Data from Letter of
President R. C. Penfield, Nov. 29 1920.
Business .—The business record of
company, through one of its constitu¬
ent corporations, extends
as far back as
1860.
The present corporation is
a
consolidation, in 1906, of two long established
companies, pioneers in
the manufacture of
clay working machinery in the United States.
Business
has steadily increased
since consolidation, until now it is
generally regarded
as the most
prominent manufacturer in its
line, producing substantially
50% of the clay working machinery manufactured In
this country and dis¬
tributing its product throughout the United
States, Canada, West Indies,
8outh America
bo
and the Orient.
In addition the
company has gradually
that at present its
developed
a
number of other lines
We
can only
repeat our previous denial of collusion with
any competitor
regarding prices.
No one connected with the
company having the slightest
authority regarding prices has ever had
any understanding with any com¬
petitor concerning prices.
We
contend the Commission has
acted without warrant or justification
in seeking to
revive the Government's suit.
That subject was not men¬
tioned In the Senate resolution
calling for this report and its discussion and
recommendation in the report
appear mere volunteer criticism of imp°rtant department of Government
by a minor bureau.
This report presents no
new fact on this
subject except its distinct find¬
ing that the company's
percentage of trade in lines which the Commission
accuses it of
dominating continues steadily to decrease.
As record shows and as
we have
previously stated, the Federal Court's
definite period in which to make certain changes
period has not expired and there is no intimation that
faithfully carrying out the terms of the decree.
decree gave this
company a
In its business.
That
the company is not
2% Stock Dividend—Buys Plant Site
at New Orleans.—
A 2 % stock dividend
has been declared on the Common stock
($90,000,000
outstanding, par $100), payable Jan. 25 1921.
The
regular quar. div. of
14%,
yas also declared on the Common
to holders of record
Dec. 24 1920.
A
stock, payable Jan. 15 1921 both
12)4% stock distribution was made
September last, increasing the
outstanding Common stock from $80,000,-
in
000 to $90,000,000.
•
The company has
purchased a site for the erection of a twine factory and
export warehouse at New Orleans,
La., at a price stated to be about $3,000,000.
The site contains 26 acres with
600 ft. river frontage.
The com¬
pany has also arranged with the Dock Board
for the erection of docks to
cost about $250,000.
Pres. Harold F. McCormick
says:
"It is not possible at this time to
state exactly when construction will
begin or how extensive the first units
product comprises: clay working machinery, cement
working machinery, Diesel engines, gasoline
locomotives, marine equipment,
general and special
machinery including crane and brick handling apparatus,
spare parts and extras for above,
gray iron and steel castings, projectiles.
English Co. Acquires 40%
p.
amount of .work for the U.S.
Government and in connection with this work
into close touch with the
management of Hadfields Ltd., of England*
The English corporation
being desirous of establishing a permanent Ameri¬
can
on
Interest.—During the
war company
did
a
large
of the
plant will be.
However, it is our desire to utilize this very for¬
tunately situated property as soon and as
fully as possible."—V. Ill,
1756.
International Mercantile Marine
Co.—Pref. Dividend.
came
connection, an agreement was entered into
whereby Hadfields Ltd.
acquired a 40% int. in the American
Clay Machinery Co. (V. 110, p. 2569),
giving in return to the American
company practically an exclusive license to
use its patents and
processes in the United States, and
arranging for direct
co-operation in the installation and
working of such processes.
Changes Name.—To indicate its control of the Hadfield
process in this
country and for the further reason that the American
Clay Machinery Co.
had so broadened its
manufacturing lines as to make its name somewhat
misleading, It was thought best to change the name to above title.
This
was effected in
April 1920 (V. 110, p. 2571).
Purpose.—By reason of the depreciation in sterling exchange at the
time Hadfields Ltd. acquired its
interest in company, deferred payment
was arranged, the
English company giving in lieu of cash, its 2H,
3H and
4)4
bearing
year interest
In view of the
notes.
>
rapid increase in the company's business in all departments
and the magnitude of its present
contracts,—a single contract with the U.S.
Navy Department alone involving
over
$3,000,000—the management has
felt it advisable to increase its
working capital immediately through antici¬
pation of the payment of the Hadfields notes.
The proceeds of the bond issue are to
be used for the
following
purposes:
(1) To retire an underlying bond issue of $300,000.
together with two small
mortgages upon recently acquired property,
(2) To red uce bills and accounts
payable.
(3) To increase working capital.
«
Security.—Secured by deposit with trustee, of
$1,166,7005% notes issued
by Hadfields Ltd., payable in U. S.
currency in New York, dated Jan. 2
1920 and maturing $250,000,
July 1 1922; $250,000, July 1 1923 and
$667,700, July 1 1924.
Income Account Year ending Dec. 311919 and
6 months ending June 30 1920.
1919.
Net sales
$1,290,682
653,799
$376,167
36,071
$401,091
11,875
$412,238
profit
$412,965
Net profit from sales...........
Other income, lees adjustments
Net profit before interest
1920(6 mos)
$2,879,706
718,339
.........
Gross factory
....
Net earnings before interest are at the rate of
over 5 times maximum
interest charges for 1919 and for the first 6
months of 1920 were likewise
in excess of 5 times total annual interest
charges.
Capitalization after this Financing—
7% Cumulative preferred stock
Authorized.
...
Common stock (no par value)
8% Collateral notes (this issue)
Issued.
$20,000,000
100,000 sh.
$793,000
1,000,000
Plants.—Permanent manufacturing plants are located at
Bucyrus and
Ohio, combined floor space, 275,900 sq. ft.
The plants
of the company's subsidiary organized In connection
with its war work
and located at Kensington, 111., and South Plant
Bucyrus and Mansfield,
a floor area of 335,400 sq. ft.
These latter plants, however, will
have
the
to
Government upon the liquidation of the
company's claim.
Officers.—Pres/, R. C. Penfield; V.-Pres. & Treas., L. W.
Penfield;
Sec. & Res. Mgr., R. O. Perrott;
Vice-Pres., J. P. Penfield; Asst. Sec.,
E. A. Baker; Sales Mgr.. C. B. Sharer.—V.
No extra disbursement
on
declared.—V. Ill, p. 2047.
was
account of arrears,
which amount to 42 %,
International Motor Truck Corp.—Sales.—
Sales of "Mack" trucks in Nov.
showed an increase, it is stated, of 43%
Oct. last; for the 3 months
period ending Nov. 30, sales showed an
increase of 18% over 1919.—V.
over
Ill,
p.
1857.
Interstate Window Glass
Co.—Merger.—
Incorp. in West Virginia (on or about Oct. 23
1920], representing a
glass plants in Pa., W. Va., Ohio and Okla.
The
soon after Jan.
1.' This merger is said to
covering the use of patents against several
independent concerns won by the American Window Glass Co.
American
merger of from 12 to 15
merger will become effective
be the outcome of
litigation
Window Glass Co. machines are to be used on a
royalty basis by the new
company, and production will be largely increased.
The companies merged include
Pennsylvania Window Glass Co., Kane
(Pa.) Glass Co., plants of Consolidated Window Glass Co. at Hazelhurst
Jewett, Pa.; Empire Glass Co., Shinglehouse, Pa.; Smethport (Pa.)
Glass Co., Gamp Glass
Co., Huntington, W. Va.; Crescent Glass Co.,
Weston, W. Va.; Tuna Glass Co. ana West Fork Glass
Co., Clarksburg,
W. Va.; Columbus Glass
Co., Lancaster, O.; Okmulgee (Okla.) Window
and Mt.
Glass
Co.
Officers.—H. J. Walter, Bradford, Pa., Pres.; T. W,
Camp, Smethport,
V.-Pres.; W. S. Calderwood, Kane, Pa., V.-Pres.; F, D.
Gallup,
Smethport, Pa., Sec. & Treas.
Directors.—H. J. Walter, Bradford, Pa.; T. W.
Camp, George W.
Mitchell, Smethport, Pa.; T. F. Koblegard, Weston, W. va.; Henry Mo
Sweeney, Atlantic City, N. J.; Charles Wandless, Lancaster, O.; Charles
L. Surh, Oil City, Pa.; A. H.
Gacney, R. A. Hill and W. S. Calderwood.
Kane, Pa.
("Manufacturers' Record," Dec. 2.)
Compare annual report
of American Window Glass Co. in V.
Ill, p. 1748.
Pa.,
Island Creek Coal Co.—Dividend Increased.—
A quarterly dividend of $1 50
per share has been declared on the out¬
standing Common stock, payable Jan. 1 1921 to holders of record Dec. 24
1920.
Dividend record:
On Common Stock—
*12. '13-'14. '15-'16. '17. '18. '19. '20. Jan. '21.
$4
$8 p. a. $8 p. a. $9
$9 $4.50 $4
$1 50
Regular
Extras
—V.
$3
...
Ill,
p.
$3 p. a.
$2
__
—
$2
...
2144, 1284.
Jones Bros.
Tea
Co.—Dividends.—
While customarily the directors meet for dividend action
on the third
Thursday of December, it was learned
on
the Common
stock
to-day that the
but an adjourned meeting instead will take
place on Jan. 10.
It was said semi-officially to-day that It was quite
likely
that no Common stock dividend will be declared in
view of the general
business situation.
The quarterly dividend of 1M
% on the Preferred stock
will be paid on Dec. 31 to holders of record Dec.
22. i "Financial America"
Dec. 17.—V. Ill, p. 2144.
meeting
110, p. 2571.
was not held this year,
Kaministiquia Power Co., Ltd.—13^% Stock Dividend.
Hamilton, Harris & Co., Indianapolis.—Merger.—
A
It is stated that the directors have decided to
increase the capital stock
from $500,000 to $4,000,000 (to consist of
$2,000,000 Pref. and
$2,000,000
Common),
16 declared the usual semi-annual dividend of
3%
1921 to holders of record Jan. 14
stock, payable Feb. 1
1921.
100,000 sh.
1,000,000
Willoughby,
revert
The directors on Dec.
the Preferred
1314% stock dividend has been declared
on the capital,
payable in
Dec. 23 to holders of record Dec. 17.
This distribution
the outstanding capital stock to
approximately $2,500,000.
Common stock
will
increase
and to merge the following Indiana tobacco concerns:
—v. 106, p. 194.
Vigo
vJ
Tobacco Co. of Terre Haute and Vincennes; O. H.
Dailey & Co. of Kokomo, *
and the Dailey Cigar Co. of South Bend.
L. O. Hamilton and E. W. Har¬
&
ris of Hamilton, Harris & Co., it is
The holders of the $500,000 1st Mtge. 7s dated
stated, are large stockholders in all of
July 1 1920 will vote
the companies involved in merger and are directors of each.
Dec. 29 on authorizing the company to issue
$1,000,000 additional bonds
under a new mortgage and to exchange the present issue of
$500,000 bonds
Hartford Automotive Parts
for a like amount of new bonds bringing the total amount of bonds to
be
The company has filed a certificate of an increase in
issued under the new mortgage up to
$1,500,000.—See V. Ill, p. 697.
capital stock by
Kaministiqua Pulp
Paper Co., Ltd.—Bonds.—
Co.—Capital Increase.—
$500,000 (par $50) making total capital $2,000,000.—V. Ill, p. 593.
Hazel-Atlas Glass
(George E.) Keith Co.,
Co., Wheeling, W. Va.—Stock Div.—
President George E. Keith died
A 20%
stock dividend was payable yesterday, Dec. 17, increasing the
outstanding capital stock, par $100, from $7,992,300 to
$9,590,760.
The company also has outstanding $850,000
6% gold bonds, dated
June 1913.—V. 110, p. 365.
Hillcrest
Collieries, Ltd.—Bonus of 1% in Cash.—
A bonus of 1 % has been declared on the
outstanding $1,000,000 Common
stock, par $100, in addition to the regular quarterly dividend of
1)4%,
both payable Jan. 15.—V. 107, p. 1290.
Holt
Manufacturing Co., Stockton, Calif.—Obituary.—
President Benjamin Holt died
Dec.
6.—V. 110, p.
2492.
Houston
(Tex.) Lighting & Power Co. 1905.—Bonds
Offered.—Halsey,Stuart & Co.,New York are offering at 82
and int. yielding 7^% $500,000 1st Mtge. 5%
Sinking Fund
Gold Bonds of 1911.
Due April 1 1931.
A circular shows:
Capitalization—
Authorized.
First Mtge. 5% Sinking Fund Gold bonds
Outstanding.
$5,000,000
$2,403,000
Capital stock
2,000,000
2,000,000
Purpose.—Proceeds will be used to reimburse the company for expendi¬
-
enlargement and extension of property.
Earnings—Years Ended—
Dec. 31 '18. Dec. 31 *19. Oct. 31 '20.
$1,024,866
$1,301,612
$1,530,575
347,684
410,935
636,523
Annual int. on $2,403,000 1st M. 5%
requires
120,1553
Valuation.—Based on appraisal of independent engineers in 1914 (pre-war
prices) plus additions ana improvements to Oct. 31 1920, the replacement
value of physical property exceeds $5,000,000.
Compare V. 107, p. 2192.
—
International Harvester Co —No Justification for
Urg¬
the Reopening of the Government's Anti-Trust Suit.—
Chairman Harold F. McCormick, commenting on the action
ing
of the Federal Trade Commission in
urging that the Govern¬
ment's anti-trust suit against the company be reopened
that competitive conditions can be restored, said:
so
Dec. 9.—V. 109, p.
1796.
Keystone Tire & Rubber Co.—No Dividend—Earnings.
The directors have decided to omit the
quarterly dividned usually
Jan.
paid
1 in order to conserve cash resources and make it
possible for the
company to take advantage of present low prices of crude rubber and cotton
fabric.
Dividends of 3% have been paid
quarterly from Jan. 1917 to
Oct. 1920, incl.
Stock dividends of 15% each, were paid in Dec. 1918 and
in May and Sept. 1919.
Statement of Income for Six Months Ended June 30 1920
(Latest Furnished)
Gross
profit on sales, $482,591; other income, $10,878; total.*
$493,469
Selling, administration and general operating expenses
232,162
Interest, losses, etc
60,053
Dividends 3% quar
(6%) 182,303
Balance surplus..
$18,951
The Balance Sheet, June 30 1920, shows
(a) current assets, $4,951,632,
incl. chiefly cash, $141,264; accounts and bills
receivable, $4,108,249;
merchandise inventory, $694,711;
(&) current liabilities $1,256,394; (c)
capital stock outstanding (no bonds) Pref., $100 Common $3,039,195;
total, $3,039,295; P. & L. Surplus, $1,233,592 —V. 110, p. 365.
King Motor Car Co., Detroit.—Sale.—
tures incurred in the
Gross earnings (incl. other income)—
Net after maintenance & taxes
Campello, Mass.—Obituary.—
on
Circuit Judge Marschner in the Wayne County (Mich.) Court on Dec. 13
granted a petition of the Union Trust Co., receiver, to Charles A. to sell the
usiness, machinery and assets of the company for permission Finnegan
of
Buffalo, N. Y., for $500,000—V. Ill, p. 1666.
King Philip Mills, Fall River, Mass.—Div. Decreased.—
A quarterly dividend of
2% has been declared on the outstanding $2,250,000 Capital stock, par $100, payable Jan. 3 1921 to holders of record Dec.
20 1920.
In October last, a quarterly dividend of 3% was paid, compared
with 10 % in July last and
5% in March last.
A 50 % stock distribution was
made in Sept. last, increasing the outstanding stock from $1,500,000 to
$2,250,000: this compares with a dividend of 50% paid in Liberty bonds in
March last.—V. Ill, p. 1284, 1188.
(S. S.) Kresge Company.—November Sales.-—
i920—Nov.—i9i9.
$4,651,861
$4,020,456
—V. 111. P. 2048, 1570.
Increase. I
1920—11
Mos.—1919.
$531,4051$43,421,836
Increase
$36,0o6,309 $7,382,527
<
Co.—25% Stock Dividend.—
Libbey-Owens Sheet Glass
Dec. 8 declared a dividend of $6 25 (25%) on each
share of outstanding Common stock, payable in Common stock, at par, on
Dec. 31 1920 to stockholders of record Dec. 21.—V. Ill, p. 2321.
-
The directors
on
Liggett's International,
Chairman Louis K.
You will recall
Its actual sales
figures.
S37.000.000.
months were in excess of $20,500,000. and with its largest
volume months, Oct., Nov. and Dec., yet to come.
I feel I am very con¬
servative in stating that the volume of sales will exceed $41,000,000.
In our original estimated figures It was expected that the company would
earn approximately 14% for its Common stock.
I am of the opinion that
this will be exceeded, and this after providing for an increase in English
taxes not contemplated at the time of our original estimate."
for its first six
Compare United Drug
Co. below.—V. Ill, p. 1088, 901.
Incorporated.—Earnings—Dividend.—
Loews,
first
Total admissions to theatres
the 12 weeks ending Nov. 21 1920, or the
Earnings statement for
the current fiscal year, shows:
quarter of
operated, 17,564,149; gross box office receipts, $5,349,784: Loew's share of
net profits after estimated Federal taxes amounted to $670,209, including
estimated net profits of the Metro Pictures Corp. for four weeks.
President Marcus Loew says in substance: "The peculiarly strong posi¬
tion occupied by this business is reflected in the fact that during the past
few months, in the face of drastic reductions in most lines of business, the
operations of the various enterprises of your corporation have shown a
healthy increase over corresponding periods of previous years.
Past
experiences have shown that even in periods of severe financial and indus¬
trial depression low-priced amusement enterprises such as ours have con¬
tinued to do business profitably when most other businesses were at a
standstill.
There is every indication that the ensuing year will be one of
continued and Increasing prosperity for Loew's Inc."
The directors have declared the regular quarterly dividend of 50c. per
share on the outstanding stock, payable Feb. 1 1921 to holders of record
Jan. 15 1921.—V. Ill, p. 1756.
(Canada),. Ltd.—Consolidation.—
Loew's
proposes immediately to acquire the real and
following Loew enterprises in Canada, namely,
Ltd.,
Montreal; Loew's Metropolitan
(Montreal) Theatres, Ltd.; Montreal;
Loew's Ottawa Theatres. Ltd., Ottawa and Loew's Windsor Tneatres.
Ltd., Windsor.
This consolidation it is said will include all the Loew
above corporation
The
personal property of the
Marcus Loew's Theatres,
,
(par $10) will be common
on
a
and will be exchanged for the existing common
basis of earnings.
Co.—Capital Increase.—
Lone Star Gas
The stockholders have
ratified the proposition to increase
$10.000.000 to $11,000,000 anci to issue
stock to stockholders at par.
The new stock is
from
capital stock
the additional .$1,000,000
to be paid for by Jan. 20,
subscribe expires Dec. 18.
Directors ore given the power to dispose of new stock not subscribed
the stockholders as they may see fit.—V. 11}, p. 2234.
'
'
and the right to
McCrory Stores
for by
Increase. I
1920—11 Mos.—1919.
$102,083 $12,086,556 $10,033,331
1920—Nov.—1919.
$1,223,767
$1,121,684
1955.
Increase.
stock
Com,
and of 1% % on the Pref. stocks, all payable Dec. 31 to holders of record
Dec. 24.
An extra dividend of $2 per share has been paid on the Commofl
1918.
The stockholders will vote Dec. 21 on increasing the stock
to 54,000 shares, without par value.—Will, p. 1188.
stock in each quarter since Jan.
from 7,500
Preliminary Statement for Fiscal
Operating profits
Year ended Oct. 31 1920.
$3,778,060
42,871
Add—Interest on current accounts..
'
Deduct—Taxes
$3,820,932
$566,800
;
7% dividend on Preferred
Reserve for depreciation
....
245,000
stock (10%)
1,000,000
shares
Dividends paid on Common
586.000
the year...
at Oct. 31 1920.
$1,423,131
$2,939,611
Balance carried to surplus for
Balance in surplus account as
-
Colonos of the company, were
$5,019,867, against current liabilities, $1,227,984.—V. 110, p. 2486, 2492.
The current assets, including advances to
Manning, Maxwell & Moore, Inc.—Extra
Dividend.—
been declared on the capital stock, along
dividend of 1 J4%. both payable Dec. 31 to
A like amount was paid extra in March last,
An extra dividend of 1 34 % has
the
regular quarterly
holders of record Dec. 31.
compared with J4 of 1% In Feb. 1913 and 134% each in
1916, June 1918 and March 1919.—V. 110, p. 2662.
Manufacturers' Light & Heat
a
Dec. 1915, June
been declared on the outstanding
Capital stock, par $100, in addition to a dividend of 2%,
Jan. 3 1921 to holders of record Dec. 20—V. 108, p. 385.
$2,000,000
both payable
Metropolitan Edison Co., Reading, Pa —Bond
Offering.
—Iialsey Stuart & Co., New York, &e., are offering at 95.82
and int. yielding 8K% $1,000,000 Ref. & Improv. 8% 15-
Gold bonds, Series A.
A circular shows:
Due Nov. 1 1935.
Dated Nov. 1 1920.
Int. payable M. & N. 1
in New
York without deduction for Federal income taxes now or hereafter deducti¬
ble at the source not in excess of 2%.
Denom. $1,000. $500 and $100
lied, all
c* & r*).
in
or
1921 and
part on any int. date, upon 30 days' notice, at 10734
^ of 1% less per year during each year thereafter.
Tax refund in Mass. and Penn.
Free of Penn. State tax.
Company.—Organized in Penn. as a consolidation. Furnishes electric light
and power service in Reading and Lebanon, Pa., and 64 other communities,
and supplies practically all of the current used by the Reading Transit
& Light Co.
At present time, about 70% of the gross earnings is derived
from sale of electrical energy for power purposes.
Population (est.) 500,000.
Security.—Secured by a direct mortgage lien on all of the physical propertv
now
owned or hereafter acquired.
Upon retirement or the 1st & Ref.
bonds, due Aug. 1 1922 these bonds will be secured by a first lien on part of
the property, and by a lien subject only to $2,614,500 of underlying bonds on
the remainder.
Valuation.—The replacement value of the property as of Oct. 31 1920
amounts to $11,198,238.
The inclusion of investment in securities of
affiliated companies gives an aggregate figure of $14,937,144, as compared
with the total bonded debt outstanding with the public of $8,564,500. -
Capitalization after this financing—
Common stock
Preferred stock 7% cumulative
Metropolitan Electric Co. 1st 5s, due
gage.
Authorized. Outst .with public.
$3,000,000
5,000,000
$3,000,000
2,500,000
1,000,000
4,950,000
1939
Closed
2,614,500
Issuance of additional bonds restricted by the provisions of the mort¬
(b) $5,200,000 1st & Ref. bonds will have been issued upon comple¬
Ref. & Improv. 8% bonds (this issue) __
First & Ref. 5% Gold bonds, due 1922
(a)
,
,
Association owns
approximately 66% of the
107, p. 1388.
Missouri
Utilities Co., Mexico,
Mo.—Bonds Offered.—
Chicago (111,) Trust Co. are offering at par and int. $250,000
1st Mtge. 8% Series "A" Gold Bonds.
Circular shows:
Dated Nov. 1 1920.
Due Nov. 1 1935.
Interest M. & N. in Chicago.
Optional at 105 after May 1 1922.
Denom. $1,000, $500 and $100. Chi¬
cago Trust Co., Chicago, and Jacob J.
Frey, V.-Pres.Central National
Bank, St. Louis, trustees.
Company agrees to pay the Federal normal
2%.
income tax up to
j
...
heating and
and power
earnings
Company owns and operates the electric lighting, power, gas,
water-works system in Mexico, Mo., and the electric lighting
business in 11 additional towns within a radius of 25 miles.
Net
three times interest
charges on all outstanding
Mohawk Mining
1920—Nov.—1919.
760,567
1,033,322
Ill, p. 2048, 1666.
bonds.
Co.—Production {in Lbs.).—
Decrease. I
1920—11 Mos.—1919.
272,755(9,190,460
11,837,488
Decrease.
2,647,028
Montreal Light, Heat & Power
Harris Forbes & Co. are
Mtge. & Coll. Trust
ill,p. 2144.
V.
Co.—Bonds Offered.—
$150,000 1st
at 105.—
offering at 81 and int. a block of
434s of 1902.
Due Jan. 1 1932 but callable
1
Vernon-Woodberry Mills, Baltimore—New Notes.
Trust & Deposit Co., Baltimore, Md., has purchased $1,Debenture notes dated Jan. 1921 and due Jan. 1 1922.
Data from Letter of President Howard Baetjer, dated Dec. 8 1920Purpose.—The proceeds will be used to retire $1,000,000 6% notes
Mt.
The Mercantile
maturing Jan. 1 1921.
Security.—No mortgage debt may be placed upon the property during
which together with the outstanding $500,000 6%
due Jan. 1 1922 are secured on all of the property conservatively
valued at $12,000,000, or 8 times the amount of the total outstanding notes.
Quick Assets.—Upon completion of this financing, company will have an
excess of current assets
(cash, merchandise, goods in process, accounts
receivable, &c.) over current liabilities, after setting aside Federal taxes,
as well as proper reserves to cover losses arising from the decrease in the
price of cotton and from cancellations, of more than $5,000,000, or over 3
times the amount of the outstanding notes.
Company has a cash balance
of over $1,000,000 at this time.
Earnings.—Net earnings for the past 5 years, 1916 to 1920, will average
in excess of $900,000.
Int. on the outstanding notes, incl. this issue,
amounts to only $90,000 p. a.
Manufacturing Plants.—Company is one of the largest manufacturers
of cotton duck and similar fabrics in the world.
Property includes three
groups of mills, situated in Baltimore, Columbia, S. C., and Tallassee, Ala,
[Holders of the notes due Jan. 1 1921 were offered the opportunity up to
Dec. 15 to exchange their notes for the new issue at 9834 and int. yielding
about 7.85%J—V. Ill, p. 195.
the life of these notes,
notes
Nashville (Tenn.) Gas & Heating Co.—Rate Increase.—
Commission has authorized the company to increase
this being an in¬
The! Tennessee P. U.
subsidiary, has declared a 50% stock
Ill, p. 2048.
An extra dividend of 3% has
and int.
paid; none since.
The Salt Creek Producers
was
stock —V.
Co.Subsidiary Co. De¬
Maryland Coal Co. of W. Va .—Extra Dividend.—
year
of 234%
holders of
50% Stock Dividend.—
The Natural Gas Co. of W. Va., a
dividend.—V.
Oil Co.—Common Dividend No. 2.—
2% has been declared on the Common stock, along with a
the Preferred stock, both payable Jan. 10 1921 to
record Dec. 31 1920.
In Jan. 1914. an initial dividend of 2%
Midwest
A dividend of
dividend
000,000 one-year 6%
Manati Sugar Co.—Earnings.—
clares
Miami Copper Co.—Decision.—
U. S. District Court of Appeals, Philadelphia, has
an opinion affirming the decision of the District Court of Delaware
refusing to issue an additional injunction against the company to restrain
it from all variations of the flotation process in treatment of its ore.
After the U.S. Supreme Court decided the three patents owned by Miner¬
als Separation Co., Ltd., covering use of the froth flotation process in the
concentration of ores were valid and have been infringed by Miami Copper
Co., the Delaware Court Issued an injunction against further use of these
processes by Miami, and ordered an accounting of damages to be taken
before a master of chancery.
In the course of this accounting it developed
that Miami was using, according to testimony, eleven variations of appara¬
tus, and processes in flotation of its ores.
•
Contending that these were equivalents to the processes which Miami
had been enjoined from using, Minerals Separation applied for further
injunction against Miami.
The present decision refers to this supple nental
application.
("Wall Street Journal").—V. Ill, p. 2331.
Judge Woolley in the
filed
Dividend to Inc. Stock.
$2 per share has been declared on the Common
quarterly dividends of $1 per share on the
In addition to the usual
with
!
Mexican Eagle Oil Co.—New Stock.—
Joseph Walker & Sons, 61 Broadway, N. Y,, yesterday reported the
receipt of a cablegram from London stating that the company had officially
announced its intention to offer shareholders the right to subscribe for one
new share as to every two shares held by .them,
respectively.—V. Ill, p.
1955.
;
v:fcvy
■,:: /.
—V.
Magor Car Corporation.—Extra
An extra dividend of
__x$2,815,189
rentals and taxes.
855,557
Annual int. on total mortgage debt inci. this issue, requires
458,225
x Does not include any income of Pennsylvania Utilities Co.
system,
practically the entire common stock of which is owned.
Increase in Earnings.—Since 1914, gross earnings of the company have
increased 236%, and net earnings 109%.
For the 12 months ended Oct. 31
1920, gross earnings of Pennsylvania Utilities System amounted to $2,139,238 and net earnings to $524,009.~V. Ill, p. 2234, 1857.
Net after oper. expenses,
over
$2,053,225
Ended Oct. 31 1920.
earnings (including other income)
Gross
Corporation.—November Sales.—
—V. Ill, p. 2048,
further
bonds may be issued except upon pledge under said mortgage.
Purpose.—Proceeds will be used to retire bond secured notes, due Dec.
15 1920, to reimburse the treasury for expenditures made and for other
1st & Ref.
Ltd., Toronto; Loew's Montreal Theatres,
enterprises in Canada execpt one in Hamilton.
The new corporation is to guarantee the $600,000 Marcus Loew's Thea¬
tres, Ltd., 1st Mtge. 6% serial gold bonds dated July 15 1919 and will also
create an new issue of $600,000 8% secured notes.
The consolidated company, it is stated, will have an authorized capital of
$20,000,000 of which $5,000,000 will be 8% pref. and will be issued to
replace the present outstanding 7% issues.
The balance $15,000,000
shares
collateral
tion of present financing, of which $250,000 will be deposited as
under the mortgage securing the Ref. & Improv. bonds, and no
corporate purposes.
,
Earnings for 12 months
Ltd., Inc.—Sales.—
Liggett says in substance:
"The company is running true to its estimated
that its first year's volume was estimated at
[Vol. 111.
CHRONICLE
THE
2430
(a)
(b)
its rates for gas to $1.90 gross or $1.80 net per $1,000 cu. f.t,
crease from the present rate of $1.20 gross and $1.10 net.
Three estimates of the value of the property made by experts were;
(1) Historical cost lass depreciation, $2,508,665.
(2) Cost to reproduce new,
depreciation based upon average prices for 1915-16-17-18-1919, $3,569,990.
(3) Cost to reproduce new less depreciation based upon present
prices, $4,655,380.
The Commission ordered that the investment upon
which a fair return shall be allowed to the company shall be $2,650,000 as
less
of
April 1 1920.—V. 109, p. 277.
Nashville
(Tenn.) Industrial
Corporation.—Purchase
of Old Hickory Powder Plant from U. S. Government—Industrial
Development Proposed.—This corporation, composed of busi¬
ness men of Nashville, Tenn., have purchased from the U. S.
Government the "Old Hickory" Powder Plant at Jackson
the navi¬
described
XXIII of "Chronicle" for Aug. 14.
ville, Tenn., located 12 miles east of Nashville on
gable Cumberland River.
This plant was fully
on
adv. pages
XXII and
An authorized statement
just issued says in substance:
The purchasers plan to develop this immense war undertaking into a
large manufacturing centre, having available immense housing and manu¬
facturing buildings and facilities.
,
.
. ^ „
The village had a population of 35,000 when the plant was closed in
and is
now
completely equipped with
all necessary public utilities,
banks, club houses, &c., and offers many attractive inducements
industries or those desiring a change in their location.
|
1918
schools,
to new
manufacturing undertaking during the
war, costing over $87,000,000.
It occupies 5.100 acres of land, has a water
filtration system capable of supplying a city the size of Boston, one of the
largest steam power plants in the world, a double track railroad connecting
with trunk lines, 35 miles of industrial track connecting manufacturing
buildings, an immense refrigeration system, complete water works, sewer¬
age system, fire departments, concrete and macadam roads.
A great
quantity of surplus material in the manufaturing area will be dismantled
This
was
the largest Government
and sold.
The officers are:
_
President, H. G. Hill; V.-Pres.,
W. R. Tate; Director of Sales,
Paul M. Davis; Sec.,
Nashville, Tenn.
„
„
_
G." E. Bennie; Treas.,
B. P. Morse. Office,
Dec.
181920.]
THE
CHRONICLE
[Compare
reiK)rt of E. I. da Pont de Nemours &
Co. in V. 108, p. 1072;
106, p. 931.]—Y. Ill
.p 1956.
V.
National Fireproofing Co.—" Christmas"
Dividend.—
v
dividend of 1% has been declared
^J:J'?P0'522 deferred
tj/Pt
on
stock, par $100, payable Dec. 31
dividends at the rate of 4% p. a.
V60/ 2,3*- Quarterly
■
Ksafl
rp?A, ^14.
wWoiT
the outstandto holders of
were paid
a
bill in
Salt Creek
equity in the Federal
Ill,
p.
2332.
An issue of £300,000
Offering.—
8% 5-year notes were recently offered in London
Denom. £10, £50, £100 and £500.
Red. at £115 on or before Sept.
1925.
Capital issued and outstanding £1,500,000
par £1.
No de¬
bentures or debenture stock.
..••
v:;,'
The company was incorp. in England Dec.
31 1909 and through its
Mexican subsidiairies operated
successfully the Santa Gertrudis Mine in the
Pachuca District of Mexico,
having treated 2,572,602 short tons of ore
at 98.
30
containing
184,647 ozs. gold and 34,259,517 ozs. silver resulting in an
operating profit of £1,995,940.
For the year ended June 30 1920, net
operating profit after depreciation amounted to £361,600, 1919
£274,552,
1918 ■£213,407. -V..In 1919 was instrumental with
others in forming the Mexican Corp.,
Ltd., and subscribed for £250,000 shares out of a total issued
capital or
£1,000,000.
The Mexican Corp., Ltd., has secured
through the medium
of a local Mexican
company (the Mexican Corp., S. A.) an interest in two
important mining properties in Mexico, viz., the Fresnillo Co. in the State
of Zacatecas, and the Teziutlan
Copper Co. in the State of Puebla.
F. W.
Baker, Chairman 341 Salisbury House, London
Wall, E. C 2.
(Full
details in the London "Statist" of Nov. 13,
1920.)
'
^
-.
both old companies.
disposing of the New York company's petition fixed
as the fair value of its
property on June 30 1919.
Upon that
basis the board found that the
earnings of the company for 1919 yielded a
return of more than
8%.—V. Ill, p. 1571.
Nipissing Mines Co., Ltd,—Extra Dividend.—Cash,&c.—
declared on the stock in addition to
botn payable Jan. 20 1921 to holders
July 1919, and in Jan. and Oct. 1920
Sears, Roebuck & Co.—February Dividend Assured.—
Vice-Pres. A. H. Loeb says: "Feb. div. is as much assured as
any div.
be in the sense that, barring unforeseen
contingencies, it will be paid.
Nobody can foresee the future far ahead but we know enough about our
figures to know this div. can be paid and to believe it should be, therefore
can
Lr
Showing Total Cash,&c., $4,6,42.854.
Cash In bank, incl., Canadian & XT.
S. war bonds
Bullion and ore in transit and at
it will
be paid in regular order unless
something calamitous happens.
"Business is about as poor as ever (Dec. business running
30% to 35%
a year ago) and we have had
scarcelj enough time yet to feel the
benefits from cold weather, but we are hopeful still. —V. Ill,
p. 2236.
$3^323^584 $Sy38
smleter,&c.
1,319.270
1,623,000
Hugh Park. Mgr., says:"During Nov.
company mined ore of an estimated
value of $190,219 (as
compared with $184,578 produced in
Oct.—Ed.)
and shipped bullion and residue
from Nipissing and cuscoms ore
of
mated net value of $232,526.
an
less than
Sheffield Iron Corp., N. Y.
esti¬
The silver value of the month's
production
was estimated at
69c. per oz. compared with 82c. in
Oct."—V. Ill, p. 1477,
1285.
";\/V;..>v^
■
Producers Association, Inc.—Dividends.—
Ill, p. 2322.
same rates that were approved in the case of
New York Telephone Co.
r
The Commission
disapproved the application of the Delaware & Atlantic
company to consolidate its property with the
property of the New York
company (the latter company owning or
controlling the stock of the former)
by the creation of a new
company, which would take over the properties of
Financial Statement
district, will be located at
Jersey City office will be discontinued.—
Santa Gertrudis Co.,
Ltd., London.—Note
£°mpany A? ma!le effective the
the
extra dividends of
5% each were paid.
City> kut
Santa Cecilia Sugar
Corp.—Dividends Omitted.—
a temporary receiver be appointed.—V. Ill,
An extra dividend of
5% has been
the regular
quarterly dividend of 5%,
of record Dec. 31 1920.
In Jan. and
£621,347
The regular quarterly dividends of
25 cents per share on the outstanding
105,000 shares of Common stock, no
par value, and 1 %% on the Pref.
stock, usually
paid Feb. 2, will be omitted on that date.
Owing to the
unsettled conditions of the
sugar industry in Cuba and elsewhere, and to
the uncertainties of the financial situation
generally," the directors believe
that all dividends should be
withheld until "the conditions referred to shall
have righted themselves."—V.
New Jersey P. U. Commission
has approved a schedule of
telephone
charges put Into effect in Jan. and
May 1919, by the Postmaster General
in so far as
they apply to the New Jersey district of the
company.
At the
&ame time, the Commission
dismissed a petition of the Delaware & Atlantic
telegraph & Telephone Co. for various rate
increases, but authorized the
$34,700,000
•
See Midwest Oil Co.
above.—V.
New York Telephone Co
.—Rates—Consolidation Denied.
The
•oT^omraission,in
lll°r St395*'
V
Co.—Receivership Sought.
attorney has filed
Decrease.
£32,622,138
company announces the removal of Its general offices to the new
plants
located at Dixwell and Putnam
Avenues, New Haven, Conn.
The execu¬
Increase.
stou' asking that
1956
P
an
1377.
1920—11 Mos.—1919.
£139,5841 £32,000,791
tive offices and sales
office for the northeastern
$1,522,000
New Idria Quicksilver
Mining
p.
Safety Car Heating & Lighting Co.—General Offices.—
The
Cordelia Copper Co.—Production
(in Pounds).—
Percy A. Guthire
Decrease.1
€2,740,250
£2,879,834
Ill, p. 2049, 1571.
Pr°P®rty of the company located at
Rochester, Nev., has been sold
?
-Anglo—California Trust Co., trustee, to satisfy the bonded debt to
aficenzie °f,?an Francisco. This is one of the properties that was to
gf.juto tne consolidation recently formed and known as the Rochester
cr
Corp., the latter owning about 1,000,000 shares of
Nenzel Crown
Point
stock.—(San Francisco "News Bureau.")
1920—11 Mos.—1919.
$30,000.—Compare V. Ill,
—V.
Nenzel Crown Point
Mining Co. —Foreclosure Sale.—
$1,566,0001$38,130,000 $36,608,000
cost nearer
Mines, Ltd.- -Valuations of Transvaal GoldJOutput.—
1920—Nov.—1919.
.
n
$2,670.000
£4.236,000
ill, p.1956,1477.
doubtedly
Rand
depend entirely upon the results of the future
operations of
the
company."—V. Ill, p. 1088.
—V.
RR. in statement "Why the RR's are not
large buyers of
equipment" published in "Iron Age" of Dec.
16, p. 1628 j The 7,700 cars
o^nt£n y tae company on Dec. 31 1919 cost it an average sum of about
$17,500 each (the book value however
allowing for depreciation reserve
being about $9,500) but at the
present time these cars new would un¬
for
®tock from Jan. 1910 to Jan. 1915, incl.; none since.
* Keasbey sajs:
"The year 1920 has proved to be one of the
eerupany's history and the stockholders should participate in it.
nif
° n°t be construed as meaning a resumption of dividends,
Decrease. |
2431
Vice-Pres., Penn.
y'Yr'H-Vv'cV
Northwestern Power Co,—Dividends Resumed.—
:
City.—Receivership.—
Judge Knox on Dec. 17 appointed Roger S. Wood and James L. Weeks
receivers for this company, with offices at 71
Broadway, on the petition of
Harbison-Walker Refractories Co.—V. 110, p. 2392.
;
,
dividend of 3% has been declared on the
outstanding
$3,600,000 Preferred stock, par $100,
payable Jan. 1 1921 to holders of
record Dec. 20 1920.
A dividend of lj^% was
paid on the Preferred in
July 1916; Jan. 1917, 4H%;andin July 1917 a semi-annual
dividend of 3%
was paid; none since.—V.
107, p. 408.
^
Sheridan-Wyoming Coal Co., Inc.—Dividend No. 2.—
The second dividend of $ i .25 per share has been declared on the Common
stock, no par value, payable Jan. 10.
An initial dividend of like amount
was paid in Oct. last.
All of the stock of the company is owned by the
United States Distributing Corp.—V. Ill,
p. 1190, 1089.
Northwestern Yeast Co.—Usual Extra Dividend.—
Southern Counties Gas Co. of Calif.—"-Bonds Offered.—
Gervin & Miller, San Francisco, are offering $400,000
10-year
Collateral Trust 8% Gold bonds.
Autli. $1,000,000.
O-Cedar
The bonds are convertible into long term 1st Mtge. 5H% bonds at par
for 85 for the first 5 years, and par for 90 for the last 5
years, giving a yield
for the 1st Mtge.
5H% bonds, under the convertible privilege, of from
6.90 to 7.60.
'
An extra dividend of
3% was payable on the stock Dec. 15 to holders of
record Dec. 12, along with the
regular quarterly dividend of 3%.
An extra
dividend of 3% has been paid
quarterly since Sept, 1914.—V. Ill, p. 1189.
Co.
_
Mills
Co.—Connection
Severed—Guaranty
on
with Channell
Bonds Amply Protected.—
See Channell Chemical Co. above.—V.
Chemical
Ill, p. 994; V. 110, p. 2082.
—
For the year ending Oct. 31 1920 bond interest,
plus the int. require¬
ments of th'ff present issue, is $332,363 while net earnings were $626,896.
The Toronto Stock Exchange has authorized
the listing of the
company's
securities as follows: Common stock,
$2,000,000; Preferred stock, $750,000,
bonds $600,000.—V .111,
The new $400,000 8% bonds are secured by deposit with the trustee of
$525,000 1st Mtge. 5H% bonds, which, in turn, are secured by ail absolute
1st Mtge. on all the property of the company.—V. Ill, p. 2145.
:
Ontario Steel Products
Co., Ltd.—Listed at Toronto
P.J799.
,
__
Pacific
Development Corp.—Rights to Additional Stock.—
The Stockholders of record Dec. 20 are
given the right to subscribe on or
before Jan. 10 1921 at $25 per share to 64,388 shares of
capital stock (no
par value) to the extent of one new share for each four
shares held.
Com¬
pare V. Ill, p. 2144, 2331.
Pacific Portland Cement Co.—Extra
Dividend.
Extra dividends totaling 3%
p. a. were
ncl.—V. 108, p. 84.
monthly dividend of
paid from 1917 to 1919
Paragon Refining Co.—Earnings—New Director.—-
Net
profits, after taxes and other expenses, for the fiscal
year ending
Oct. 31 1920 were $1,515,963;
gross profits were $12,108,627.
h P. J. Hurley, Vice-President of the Gilliland Oil
Co., has been elected
a director.—V. Ill,
p. 1285.
(J. C.) Penney Co.—November Sales.—
1920—Nov.—1919.
$4,975,546
$3,23^,313
Ill, p. 2049,
—V.
Increase. I
1920—11 Mos.—1919.
Philadelphia
Increase.
$1,742,2331$37,718,645 $25,479,776 $12,238,869
1667^.
Ga3
&
Electric
Co.—
It appears that in May last the company arranged to
issue $800,000
7% Cumulative Pref. Capital stock, part of a total authorized
issue of
$25,000,000 (none of which had theretofore been issued) and to turn
the
same over to the American Gas Co.
(owners of all the
outstanding capital
stock) in exchange for this company's $800,000 outstanding 6%
Cumulative
Pref. stock.—V. 110, p. 83.
'
of 23^%.—
t
"""Pond
Creek Coal Co.—Extra Dividend
^
■
An extra dividend of 2lA % has been declared on the
outstanding $2,129,par $10, in addition to the regular
quarterly dividend of
2H%, both payable Jan. 1 1921 to holders of record Dec. 24 1920.
Divi¬
dend record: Initial quarterly dividend of 50 cents
per share (5%) paid in
Julv 1917, which rate was maintained to and including Oct.
1918; 3%% in
Jan. 1919; April 1919 to Oct. 1920, inclusive, 2Yx% quar.—V.
Ill, p. 2145.
200 Capital stock,
"""Prairie Oil
& Gas Co.—Extra Dividend.—
An extra dividend of $3 per share has been declared
capital stock
on
$18,000,000
an
$5 In April last, $7 in Jan. last; in Jan. and Oct. 1919; extras of $5 each and
1
April and July 1919 $2 each.—V.
Producers
Results for
&
Refiners
Ill,
p.
1190.
Corp.—Earnings, &cJ—
1920 without
Taking into Account Depreciation and Depletion.
Gross Inc.
Expenses.
Net Income.
$629,555
$196,335
$433,220
October 1919
408,790
205,968
202,822
Net income in 1920 by months; June, $407,030; July, $412,469;
August,
$419,389; Sept., $430,285; October, $433,220-—V. Ill, p. 2145..
October
1920——*
,
—
Pullman
Company.—New Cars.—
"The Pullman Company is building 500 Pullman cars this
year, none
having been built during the period of Federal control." [Geo. D, Dixon,
Standard Gas Co., Atlantic Highlands, N. J.—Comm.
no Power over Rates when
Company is in Receivership.—
has
Vice-Chancellor Backes of New Jersey, sitting in Newark on Dec. 8,
asserted that the Chancery's prerogatives in case of a receivership supersede
the jurisdiction of the P. U. Commission.
He directed the receiver of the
company to ignore the Commission's order suspending increased rates until
March 1 and put them into effect at once.
He also directed the Board to
rescind its order interfering with the receiver's schedule.—V. 108, p. 282.
Standard
Oil
named
Co.
below
and int. $25,000,000
Bankers
(Calif.).—Debentures
this
week
Offered.—The
offered and sold
100
at
10-year 7% Gold Debs, (seeadv. pages);
Making Offering.—Wm. A. Read & Co., New York; The Anglo
& London Paris National Bank of San Francisco, Continental and Com¬
mercial Trust & Savings Bank, Chicago; Blair & Co., Inc., and
Equitable
Trust Co., New York.
.
„
.
Dated Jan. 1 1921.
Due Jan. 1 1931.
Int. payable F. & A. in New York
and San Francisco.
Denom. $1,000.
Red. as a whole on any int. date on
30 days' notice at 105 and int., if redeemed on or prior to Aug. 1 1921, and
thereafter at M of 1% less for each half year, or part thereof, elapsed after
Aug. 1 1921.
Equitable Trust Co., New York and Anglo-California Trust
Co., San Francisco, Trustees.
,
Data From Letter of President of Company to the Bankers
Company.—Is producing from its
own
wells in
the United
States over
100,000 bbls a day, and as such is the largest producer of crude oil in this
country and is one of the largest lefiners and distributors of petroleum and
its products in the world.
the
(par $100), along with the regular quarterly dividend of $3
Ser share, both payable Jan. 31 1921 compared with $3 extra 21 July last,
ct. last
extra of $5 was paid,
to holders of record Dec. in 1920. In
In
Ninety-three ($93,000) First Mtge. 6% 20-year sinking fund gold bonds
at par and int at the
of 1907 have been called for payment Jan. 1 1921
Girard Trust Co., Phila., trustee.—V. Ill, p. 800.
bankers
,
Suburban
Go.—Preferred Stock Increased—
Spanish-American Iron Co.—Bonds Called.—
An extra dividend of 1% was
paid Dec. 5 last on the outstanding $6,000,000 capital stock, par $100, In addition to the
regular
H of 1%.
Southern Power
The company has filed a certificate in New Jersey increasing the author¬
ized Preferred stock from $6,000,000 to $10,000,000, par $100.
There is
outstanding $4,000,000 of an authorized issue of $5,000,000 Common stock,
par $100, and also $6,000,000 Preferred stock.—V. Ill, p. 1957.
Security.—Will be direct obligation of company which has issued no mort¬
During the life of these debentures company
having priority over this issue.
Market Equity.—Company has outstanding $99,373,310 common stock*
at present quotations representing a market equity of about $320,000,000.
Sinking Fund.—A nually, $500,000 commencing Jan. 1 1922, for the
purchase of these debentures at not over 100 and int. and If not so purchas¬
able during the year, to revert to the general funds.
Maintenance of Quick Assess.—Company must at all times maintain quick
assets equal to 150% of the outstanding debentures.
•
Property Valuation.—The depreciated replacement value of the company s
assets, including its properties in Calif., Ore., Wash., Alaska, Nev-, Ariz.,
Colo., and the Hawaiian Islands, and excluding its assets in the Philippines
and Central and South America, according to an appraisement now being
completed by Ford, Bacon & Davis, will exceed $400,000,000.
Earnings.—For 1919 net income after Federal taxes, etc., was equal to
about 18 times int. requirements on this issue and for the past 5 years
average net income equal to over 10 times int. on these debentures.
Earngage and has no funded debt.
must not issue any .obligations
,
,
ings for the 10 months ending Oct. 31 1920, are In excess of the earnings
for entire year 1919. (Compare V. 110. p. 1080.)
Dividend Record.—Company has paid regular cash dividends of not less
since 1912. This year cash divs. of 14% have been paid.
% was paid, incl. 2H % in U. 8. Liberty bonds.
In addition,
declared from time to time.
Purpose.—Proceeds will be used to provide funds tor its 1921 program of
extensions and improvements, incl. additions to its marine equipment,
enlargements of its refineries and acquisitions of oil producing properties;
also to increase working capital.
[See Annual Report for Calendar year
1919 In Y. 110, p. 1080.]—V. Ill, p. 1758.
10%
than
p. a.
In 1919, 13H
laree stock dividends have been
Standard Oil Co. of Indiana.—New Director.—
V
director succeeding Seth C. Drake.
Jackson was also elected Fifth Vice-President in charge of sales;—
Allan Jackson has been elected a
Mr.
V. Ill, p.
2332, 2236.
Dated Jan. 2 1921, due
Offered.—
Read & Co.,
Equitable Trust Co., Blair & Co. and Wm. A.
thi 8 week offered and sold at
100 and int.,
7% Serial Gold Debentures.
$30,000,000
$4,000,000 each Jan. 2 1925 to 1930, inclusive,
$6,000,000 Jan. 2 1931.
Denom. $1,000, $500 and $100 (c*).
Red.
all of part on any Int. date on and after Jan. 2 1925 at 105 and int., if less
than the entire issue should be called for redemption, the longest outstand¬
ing maturities to be called first.
Int. payable J. & J. at office of Equitable
Trust Co., N. Y., trustee, or Blair & Co., Inc., without deduction for
Federal Income tax not exceeding 2%.
and
Letter of President H. C.
Folger, Dec. 15 1920.
Security.—The direct obligations of company and will constitute its sole
The indenture provides that company will not create any
mortgage on (except purchase money obligations) or pledge of its properties
unless the debentures shall be equally secured.
Earnings.—Net earnings for 1920 before Federal taxes are estimated at
$60,000,000.
Net earnings before taxes for the four years ended Dec. 31
1919 averaged 20 times the annual Interest on these debentures, and for
1919 were nearly 28 times such annual interest (for 1919 see V. 110, p. 2083).
Equity.—Has outstanding $75,000,000 capital stock on which dividends
of 16% p. a. are being paid.
At present quotations stock represents an
equity of about $250,000,000.
Current Developments.—Is engaged in adding to its refinery capacity,
marine equipment, &c., the earning capacity of which expenditures, and of
the proceeds of this issue, will be reflected in future operation.
Capital
requirements have been supplied almost entirely from earnings.
In the
fire years ended Dec. 31 1919 about $115,000,000 from surplus earnings
have been reinvested in the business.
funded debt.
Comparative Balance Sheet.
[1919 Inserted by Editor.]
June 30 '20.
Dec. 31 '19.
$
Dec. 31 '19.
June 30 '20.
$
Liabilities—
Assets—
75,000,000
75,000,000
162,916,406 142,583,873
Capital stock...
Real est., plants,
J
Surplus
vessels, Ac... 99,224,294
85,969,617
13,204,575
114,722,993
U. S. Lib. bonds 19,664,272
3,554,551
Res've for insur.,
98,232,303
bad debts, Ac.
33,781,937
Res've for Fed'l
78,054,182
Current llabil's.
Deferred assets.
Inv. of mdse
Cash
A
78,987,493
325,803,628 299,592,590
Total
—V.
taxes
current
assets
Standard Parts Co.,
Sufficient progress has been
so
9,301,533
Total
15,165,067
70,305,114
(est.)
7,863,493
58,980,157
325,803,628 299,592,590
Cleveland.—Amend Plan.—
made in the reorganization financing, it is
effort will make the
that one more determined, co-operative
An extension of time to Dec. 17 has been granted by the
Court in order that stockholders may make up the difference that still
exists in the amount of money they have been asked to raise.
Investment dealers, brokers and many of the banks have expressed a
willingness to work together to push the deal to successful completion in
order that the large plant may be saved.
The stockholders have been ad¬
vised that up to Dec. 7 the amount subscribed by them aggregated $1,830,000.
The sum they are required to subscribe is $2,000,000.
With that
done, the investment dealers and brokers through an amended program
hope to arrange for sufficient funds to lift the company from receivers' hands.
An amendment to the plan provides for the increasing of the amount of
prior lien stock from $3,000,000 to $4,200,000, while the amount of Class A
Preferred was reduced from $6,500,000 to $5,300,000, making the total
$9,500,000.
(By Guy T. Rockwell in Cleveland "Plain Dealer.")
Com¬
pare V. Ill, p. 1758, 1957.
plan operative.
Screw Co.—Dividend Reduced.—
dividend of 5% has been declared on the outstanding $3,500,000 Common stock, par $100, payable Jan. 1 1921 to holders of record
Dec. 18 1920.
Quarterly dividends of 6% were paid from July 1917 to
Oct. 1920 incl.
A special cash dividend of 20% and a 40% stock dividend
Standard
A quarterly
were
last.—V. Ill,
also paid in October
Suncrest Lumber
p.
1089, 996.
Co., Sunburst, N. C.—Tenders.—
The Union Trust Co., 7 So. Dearborn St., Chicago, will, until Feb. 2
1921, receive bids for the sale to it of Series "Bll" Second Mtge. 6% gold
sonds of 1918, to an amount sufficient to exhaust $10,557, now in the
sinking fund.
Sunday Creek Coal Co. of Ohio.—
Chairman, has purchased all
Pres.
This is the result of
negotiations which have been going on for some time.
A year ago Mr.
Winder brought suit for a settlement of certain stock and an accounting,
but was defeated in the courts.
Mr. Winder resigned as President July 18
and Harry B. Arnold was elected in his place.
The present board is composed of J. S. Jones, C. C. Cook, George K.
Smith and Harry B. Arnold.
At the same time announcement was made
that Mr. Jones has disposed of his interest in the F. C. Stedman Co., of
Athens, a store concern, which has been taken over by Mr. Winder.
"Coal
Trade Journal."—V. 108, p.
Swan & Finch Co.,
1724.
New York.—Pref. Stock Offered.—
The Common stockholders of record Nov. 10 are offered
the right to sub¬
scribe at par ($25) to 18,062 shares of new 8% Cumulative Pref. stock on
the basis of one share of pref. for each share of common stock of $100 par
value held.
On or before Dec. 24 warrants will be mailed to stockholders
subscriptions are payable in New York funds at the Columbia Trust
Co., 60 Broadway, N. Y. City, on or before March 1 1921.
The authorized amount of pref. stock is $1,000,000 and the
authorized
outstanding.
Compare
common
V.
stock $4,000,000, of which $1,806,200 is
Ill, p.
1748,
1849,
1957, 2050.
.
Fruit Products Co.—Company's Divi¬
Deferred—Official Statement.—The directors on Dec. 14
announced that the quarterly dividend payment of $1 per
share on Class "A" and Class "B" stock had been deferred.
Temtor Corn &
dends
The statement issued by the board says in substance:
Earnings.—The earnings for the ten months ended Oct. 31 1920, after
charging off all expenses incidental to organization and setting aside $50,000
for Federal Income tax payable in 1921 and $47,394 for losses
in inventory,
$1,701,604
surplus as of Jan. 1 1920, made a surplus as
of Oct. 31, before deducting dividends, of $1,810,400.
Dividends paid
during the year on Best-Clymer Preferred and both classes of Temtor
stock amount to $816,825, leaving a [profit and loss] surplus as of Oct. 31
amount
by any material declines, and the company was particularly for¬
cleaned out of sugar when the drop occurred in that com¬
Stocks on hand at the Granite City plant when it was taken over
in Oct. 1920 were accepted at their market value as of that time, a time when
prices were at a low ebb.
Higher Freight Rates Affect Competitors.—Freight rate Increases have put
competitors from 10 cents to 15 cents a case out of line in the large terri¬
tory tributary to St. Louis and statistics show that this is the largest con¬
suming territory in the United States.
[Signed M. G. Clymer, President.]
—V. 110, p. 1297, 1194.
affected
tunate in being
modity.
Teziutlan Copper
Co.—Santa Gertrudis, Co, Acquires Int.
to___
This amount, added to the
$993,575
Dividends.—Although the earnings of the company would justify the
declaration of the usual dividend, the board believes in view of existing
unsettled conditions in this country that it is best that the resources should
be conserved and that, therefore, the quarterly dividend should be deferred
on the Class "A" and Class "B" stock.
The regular dividend of 1H % has been declared on Best-Clymer Preferred
payable on Dec. 31 to stockholders of record on Dec. 28.
Operations.—The Davis St. plant is running full capacity, with plenty
of orders ahead.
It will take until February to clean them up and pros¬
pects for new business are getting brighter every day.
The Granite City
plant is running 50% capacity but prospects are good that it will be running
of
full time within the next few weeks.
Ltd., above.
Tiffany & Co. (Jewelers).—History, dec.—
Latest recorded sale of
stock of Tiffany & Co., which has recently in¬
par value to 12,000
autcion for $6,500 a
creased its capitalization from 2,400 shares of $1,000
shares of no par value, was in 1912, when block sold at
share.
It has always beenl very closely held.
Charles Lewis Tiffany, founder, came to New York in 1837, and with
John B. Young, borrowed capital of $1,000, established a stationery and
fancy goods store at 259 Broadway; gradually the jewelry business became
important; in 1847 manufacture of gold jewelry was begun.
A year later,
the price of diamonds dropped 50%.
Tiffany sent word to his partner,
then in Paris, to buy all the diamonds he could.
Young bought, and the
firm made a fortune.
In 1851 the firm name was changed to Tiffany & Co.
and branch established in Paris.
In 1868 the firm was incorporated and
two years later moved to Union Square.
In 1870 a branch was opened in
London and a watch factory in Geneva.
Present location at Fifth Ave. and
37th St., N. Y., has been occupied since 1905.
Profits have been large and dividends conservative.
Dividends in recent
years have been paid as follows: 1914, 35%; 1915, 25%; since then, 50%
each year.
Earnings have been much larger than dividends.
For the
fiscal year 1920 they were reported as $2,311,273, or practically 100%.
("Boston News Bureau.")—V. Ill, p. 2333.
Toronto Electric
See Toronto Railway
Light Co., Ltd.—Proposed Sale.—
108, p. 2336.
under "Railroads" above.—-v,
Toronto & Niagara Power Co.—Proposed Sale.—
under "Railroads" above.—V. 95, p. 301.
See Toronto Ry.
Toronto Power Co., Ltd.—Sale of Properties.—
"Railroads" above and compare V. Ill, p.
See Toronto under
Trumbull Steel Co., Warren,
An extra dividend of H of 1%
2333.
O.—Extra Dividend.—
has been declared on the
Common stock,
1
Sar $25,1921addition to the regular Dec. 20 1920. Extra2%, both payable
in to holders of record quarterly dividend of dividends of 1%
an.
was
paid in Jan.. April and July last and also in
paid in Jan. 1919.
It is reported unofficially
Ill, p. 1573.
April 1919, while 2M%
that H of 1% was paid
in October last.—V.
Union
Ba& & Paper Corp.—Dividends for
1921.—
authorized the creation of a fund of $1,200,000 for
of payment of dividends in 1921 at rate of $8 per share on
$15,000,000 capital stock outstanding.
The company's business outlook,
the officials believe, warrants the setting aside of this amount in order to
continue the present dividends on the shares.—Y. Ill, p. 2237.
The directors have
the purpose
United Drug
Co.—Sale of $7,500,000 Six
Months9 Notes
Notes—Status—Balance Sheet.—
The company has sold to Kidder, Peabody & Co., F. S.
Moseley & Co. and Chase Securities Corp. $7,500,000
6 Months' notes, payable in New York, discounted at 8 %.
-—Convertible Into
6- Year
15 1920, maturing June 15 1921.
Convertible at any tune
1921 Into 8% notes dated Dec. 15 1920, maturing June 151926
Dated Dec.
up to June 1
and bearing
int. from June 1921.
Notice of such conversion must be given,
however, by the bolder of any note on or before June 1 1921.
Coupon
notes, $1,000, interchangeable into registered notes.
Int. payable J. & D.
Sinking Fund.—Sinking fund of 7% of the amount of notes issued will
be set aside beginning Dec. 15 1921 to retire notes by purchase in the open
market up to 105 and int.
Thereafter each year, on Dec. 15 until the
maturity of the notes, such sum as has been expended in the purchase of
these notes in the previous year shall
each year there shall be available 7%
be added to the sinking fund, so that
of the amount of notes issued for the
purchase of these notes at the above price and interest.
Safeguards.—Company will covenant through an indenture with American
Trust Co., Boston (a) that no mortgage shall be put on any of the property
except after acquired property during the life of these notas. without In¬
cluding these notes; (ft) that it will maintain at least 125% of quick assets
in proportion to its floating debt, accounts payable, and debenture notes
and (c) in case quick assets fall below this figure the company will stop
payment of the dividends on the Common stock until this ratio is restored.
Data from Letter of Pres. Louis K. Liggett, Boston, Dec. 10.
Business.—The company's business is unparalleled and unique.
In its
laboratories and factories in Boston, New Haven, St. Louis and
modern
places it produces drugs, pharmaceuticals, toilet preparations, rubber
goods, hospital supplies, and a variety of other merchandise required by
drug stores.
These products are protected by trade-marks and distributed
chiefly through its 8,000 stockholder agents, called Rexall stores, situated
in nearly every place in the United States of over 1,000 population, and also
through 222 Liggett's drug stores, of which all the capital stock is owned.
Boots Company.—Operates a large manufacturing establishment and 632
retail stores in England; was bought by Liggett's International, Ltd., Inc.,
and is doing a very profitable business exceeding $40,000,000 p. a., and
other
The company announces that J. S. Jones,
of the interests of John H. Winder, former
and
other concerns in the same
were
8,280,574
Ill, p. 995.
believed,
affected more than any o
ther product which the
handles, but the directors believe Temtor is better off than any
line, some of which are shut down.
Inventories.—Raw stocks are inventoried at a figure which will not be
Syrup.—Syrup has been
company
See Santa Gertrudis Co.,
Standard Oil Co. of New York.—Debentures
Data from
[Vol. 111.
CHRONICLE
THE
has turned out
a
most fortunate
1
purchase.
New Plants.—During the past year we have built in St. Louis a new
manufacturing plant equalling our present plant in Boston, a new rubber
plant at New Haven, and a new fruit syrup plant in Boston.
These were all
demanded by the increased growth of the business, and will all, through the
more economical handling of the business, furnish additional profits.
Purpose.—These notes are issued to take care of notes payable caused by
the growth of our business; proceeds, together with natural liquidation
during the next 6 months, should substantially accomplish that result.
1917.
1918.
1919. 1920 (Dec.est.)
:__$40,716,290 $51,028,336 $58,338,834 $70,000,000
3,156,007
4,579.922
5,275,004
Figures for 1920 do not include the volume of business or the profits of
Liggett's International, Ltd., Inc. (see that co. above).
Said company,
whose entire voting stock Is owned by the United Drug Co., operates not
only the Boots Co. in England, but a profitable manufacturing and retail
Earns. Cal.
Years—
Sales
__
Earns, (before Fed. tax.)
business in Canada
as
well.
Business for 1920 to date has shown an increase in excess of 30%; during
the so-called dull months of Sept., Oct. and Nov. it has continued at this rate
[1919 Inserted by Editor.]
Balance Sheet Sept. 30.
1920.
1920.
1919.
$
Assess—
$
5,470,378
Impts. A leaseb'ds 2,483,385
Fum., mach., Ac. 7,646,612
Real est. Abldgs..
Liabilities—
2,742,539
1,585,832
5,554,321
788,300
2,009,900
companies
6,378,014
Pat., tr.mks., Ac.21,877,365
2,278,357
Common
Accounts
stock
7,677,192
Notes receivable..
payable
4,694,838
Notes
4,019,741
Stock of allied cos.
411,043
Total
—V.
Ill, p.
78,460,508 57,181,803
1378.
Total
United Profit Sharing Corp.,
A semi-annual dividend of
14,095,780
595,000
436,300
2,635,184
115,770
5,511,117
78,460,508 57,181,803
N. Y.—Extra Dividend.—
of 5% have been declared on
25 cents), both payable Jan. 15 1921 to
In June last an extra of 5% was paid.
5% and an extra
the outstanding capital stock (par
holders of record Dec. 23 1920.
2,522,762
29,411,900 27,990,500
payable. 7,637,609
3,003,264
stock
716,200
155,048 Deprec'nreserve.. 2,987,371
Bad debts reserve125,149
Liberty bonds
66,078
606,850
687,846
Inventories at cost 22,187,312 12,489,668 Other reserves
5,265,453
Adv. A defd items 1,984,773
941,217 Surplus
Accts. receivable..
%
472,906
11,889,100
Second pref.
1,471,671
22,920,078
1919.
First pref. stock..16,221,900
do
subscrip
Holdings In outside
Cash
$
523,000
Real estate mtgea.
Dec.
181920.]
compared with 15% extra in Dec. 1919 and 5% in June 1919 and Dec. 1918.
—VT 111, p. 1958, 1573.
U.
R.
S.
company has opened 14 stores in N. Y. City, one in
Philadelphia and one in Newark, and is doing in these 16 stores an annual
business of over $3,000,000.
The company states that other stores will be
open this week in these cities.
[The United Retail Stores Candy Co., Ltd., was incorp. in Canada under
Companies Act, in Nov. 1920, with a nominal capital of $1,000 (par
$100.1—V. Ill, p. 800. 700.
2.—
A dividend of $1 per share has been declared on the outstanding $5,000,000
Common stock, par $50, payable Jan. 15 1921 to holders of record Jan. 3
1921.
See
An initial dividend of like amount was
paid in October last.
Sheridan-Wyoming Coal Co. above.—V. Ill,
U. S. Food Products Corp.—No
The directors
1190, 1090.
p.
dividend of
%
usually paid Jan. 15.
United States Realty & Improvement
Income Account for November and Seven Months
1920—Nov.—1919.
Gross profit
Net
$662,657
$448,815
49,708
_____
Net
income
$221,511
$113,679
49,708
$399,107
earnings
Debenture bond interest-
$63,971
No dividends have been paid since Feb.
Co.—Earnings.—
ending November 30.
1920—7 Mos.—1919.
$2,338,553
$1,458,963
$1,451,422
$789,043
347,958
347,958
$1,103,464
$441,085
Capital stock is $16,162,-
1915.
800.—V. 110, p. 2656.
United States Trucking
assume
his duties
been made. The
strengthened by
ratio of approxi¬
this program.
At the present time quick assets are in the
mately two to one of liabilities.
Authoritative
Statement
"New
from
Tribune,"
York
Dec.
11.
Liabilities.—Current liabilities
on Nov. 30, including bank loans, accounts.payable, trade acceptances and obligations to note brokers, stood at
approximately $26,750,000.
This marked a reduction of about $18,000,000
as shown by the balance sheet of
April 30 last.
4
An arrangement has been made with banks holding the company's obli¬
gations by which at least part of these debts will be liquidated in an orderly
way
When conditions are more favorable it is believed that the remaining
bank loans will be refunded by some sort of security.
Assets.—Total assets of the Willys-Overland Co. on Nov. 30, exclusive of
good-will, patents and deferred charges, amounted to $125,000,000.
Cur¬
rent assets on that date were close to twice the amount of current liabilities,
compared with a 1.3 to 1 ratio on April 30.
Of our current assets approxi¬
mately $4,500,000 consists of cash.Business.—Our business has fallen off along with other automobile com¬
panies, but figures at hand show the volume of business don
by our re¬
tailers last month was about 65% of normal.
Including cars sold by deal¬
ers and those exported, the number of our cars moved last month was
about 5,000.
The personal affairs of John N. Willys are in no way involved in the
obligations of the Willys-Overland Co.
Mr. Willys has made it a policy
for several years never to give his personal indorsement to a note of his
company, and his stock market operations, at no time important, would
if liquidated at the present time show a balance in his favor.
See V.
Ill, p. 2334.
Corp*.—New Chairman.—
The Governor says:
Jan. 3 1921.
on
establishment of the utmost manufacturing and mer¬
To that end several changes in executive personnel have
financial position of the company has been considerably
Winnisimmet Shipyards
Governor Alfred E. Smith has been elected Chairman of the Board, and
will
and
chandising efficiency.
.
Dividend.—
Dec. 16 decided to omit the quarterly
See V. Ill, p. 2333.
on
Until the period of readjustment in the motor industry now in progress
has been completed and abnormal credit conditions relieved the company
will pursue a conservative manufacturing programl ooking toward reduction
of inventories
Candy Stores, Inc.—Stores in Operation.—
l-r»JlfJn5e,*£?,y ^ last»
United States Distributing Corp.—Dividend No.
3433
CHRONICLE
THE
trucking corporation brought out and merged the business and
equipment of 28 of the largest trucking firms existing in Greater New York.
a result, it has more than 2,000 employees, 2,500 horses, 2,000 trucks,
300 motors, immense equipment for stevedoring work, the hauling of struc¬
tural steel and building materials, and other special facilities fitting it to
handle everything from needles to locomotives.
"My association with the Trucking Corporation involves a personal
association also with the controlling interests of the United States Dis¬
tributing Corp., which also owns the Sheridan-Wyoming Coal Co., Inc.,
one of the largest coal mining companies in the West, and the Tongue
River Trading Co., which does a substantial merchandising business in the
same territory."
*
On the directorate of the Distributing Corporation are: George F. Getz,
its President, and Frank S. Peabody, two prominent Chicago business men,
as well as Harvey
D. Gibson, President of the Liberty National Bank,
Grayson M. P. Murphy, Vice-President of the Guaranty Trust Co.: E. V.R.
Thayer, President of the Chase National Bank; and H. E. Ward, President
of the Irving National Bank.
Capitalization: Authorized and outstanding, 20,000 shares of Pref. stock,
par $100, and 80,000 shares of Common stock, no par value.
See the United States Distributing Corp. and also the Sheridan-Wyoming
Coal Co. above.—V. Ill, p. 1090.
"The
Co., Inc., Chelsea, Mass.—
E. K. Arnold and W. R. Green, receivers, have been given permission
by the U. S. District Court to issue $50,000 receivers' certificates at not
more than 7%.—V. Ill, p. 2237.
As
Utah-Idaho
Sugar Co —Dividend Omitted.—
regular quarterly dividend usually paid Dec. 31 will be omitted on
The company has been paying quarterly dividends of 2% from
March 1920 to Sept. 1920; this compares with a quarterly of 3% paid in
Dec. 1919 and 1^% each paid in June and Sept. 1919.—V. Ill, p. 80.
The
that date.
Wolverine
195,379
—V. Ill,
were paid in
April, July and October last, making total dividends paid
during 1920 $4 50 per share.
President J. Leonard Replogle, Dec. 15, said in substance: "While
earnings were in excess of the previous dividend requirements and cash
position as strong, it was deemed advisable in view of the general condition
of business to conserve the cash resources of the company so as to permit
continued heavy shipments of ore from Peru, which will put the company
In a particularly strong position to meet future normal demands."—V. Ill,
p. 500, 80.
!
permission to issue $2,000,000 5-year 7H% gold notes to be redeemable at
prices ranging from 103 after the second year to 101 after the fourth year.—
V. Ill, p.1958.
i
In
a large majority of creditors have agreed to the extension
indebtedness, as requested by the committee.
Sullivan, Secretary of the Committee, has been elected Treas¬
urer of the company, succeeding Isaac S.
Smyth, who remains as VicePresident.
See plan in V. Ill, p. 2146.
Yukon Gold Co.—Tin
The shareholders voted Dec. 9 to increase: (a)
the 50,000 shares of stock
value each to 250,000 shares of no par value, of which each
will receive two new shares, ho par value, for each share
held; (6) to authorize the issuance of 50,000 shares ratably at
an early date to the then shareholders on favorable terms, to provide for the
cost of new extensions recently made and new machinery recently purchased,
and also to provide- additional working capital.
The remaining 100,000
common shares will only be issued when it may become necessary or advis¬
able in the company's interests.
The shareholders also approved the
moving of the head office from Montreal to Three Rivers, Que.—Y. Ill, p.
par
present shareholder
of $100 par
1861.
•
■;
White Eagle Oil &
quarter ending—
Earnings before taxes,
—V. Ill, p. 1090.
Oil
Refining Co.—Earnings-
deprec'n and depletion..
Account for
Harris Forbes & Co., discussing the application of the Water Power
to the fact
call attention
Sept.30'20.
$6,793,815
Net earnings
.$1,355,069
Total misc. income (net)102,997
--
been filed with the new
all the
June30'20.
$4,082,523
$1,220,721
51,685
donths.
projects acted upon in all their history by the three Government
"Development
unavailable
opening
his
up
Mar.31'20.
QMonths.
$2,182,628 $13,058,966
$90,840 $2,666,631
20,727
175,409
$1,272,406
$111,567
$2,842,040
86,367
43,905
281,603
profit (inv. at cost) $1,306,735
$1,186,039
$67,662
$2,560,437
net
-
Net
Add—Excess of market value over cost
storage on
of inventories of oil in
tremendous scale of hydro-electric powers heretofore
practicable through
Important and
most
the
—
$3,521,168
eliminated.
The company's subsidiary, the Crown Oil Co., with refineries at Pasa¬
dena Cal., and in Texas, has contracted to delivery during the year 1921
approximately 8,100,000 gallons of lubricating oil to the Standard Oil Co.
of Indiana.
About 99% of the stock of the Crown Oil Co. is owned by the
White Oil Corporation.—V. Ill, p. 1759.
Inter-company sales not
attractive field,"
very
Power" just issued by the firm for distribution to
Statement Dated Dec. 15 1920.
Notwithstanding that the Preferred dividend has been earned for the full
year by a very wide margin, the directors consider it to the ultimate ad¬
vantage of the company to conserve cash resources until normal conditions
again prevail In the industrial and financial world.
Act,
thus
says
a
booklet "Water
investors.
In an analysis
potential maximum
horse-power availably less than one-sixth, or 9,823,420, have been
actually developed to date.
booklet describes
The
the methods of utilizing water power In hydro¬
development and
opportunities for the conservation of the
the
made possible through it, especially in the
country's natural resources,
saving of coal and labor.
The point is made that the utilization of the
approximately 50,000,000 available and undeveloped water horse-power in
this
per
would be equivalent to saving about 275,000,000 tons of coai
country
annum—half our present consumption—and would release a whole
of
army
men
and one-third of the freight cars now used In transporting
that amount of
coal,
"■/<
—Lane, Piper & Jaffray, Inc., of
that
beginning
Dec.
Minneapolis and St. Paul, announce
investment securities
15 it will conduct a general
associated with the company: Glenn
&
following
men
will be
W.#Traer Jr., formerly of A. B. Leach
White, Grubbs & Co., and
Co.; Norman Nelson, formerly member of
—Miller &
formerly of A. B. Leach & Co.
issued
an
Interesting list
comparative statistical data.
of investment suggestions
They say:
liquidation of the security market,
prices,
120 Broadway,
Co., members New York Stock Exchange,
together with
"We believe that the thorough
accompanied by drastic declines in
continue for
offers an opportunity to investors that should not
long."
—Charles Wesley, formerly Vice-President of
Inc., has severed his connections
Hollister, White & Co.;
with that firm and will continue In the
general investment business at the same address, 92 Cedar St., N. Y.,
Inc.
Mr. Wesley will retain
the entire former
—The
organization.
Columbia Trust Co.
has been appointed transfer agent by the
Associated Bankers Corp. of an issue of 50,000 shares of
and
a
like amount of Common, and also has been
Preferred stock
appointed trustee by the
Trepok Realty Co., Inc., of an issue of $600,000 Adjustment
Mortgage
6% gold bonds.
,
—William
N.
1
Wyant and Wiley W.
Glass announce that they have
(Dec. 15) formed a co-partnership to deal in investment
Willys-Overland Co.—Preferred Dividend Omitted—Status.
omitted the declaration of the
regular quarterly dividend of 1%% on the $14,044,800 7%
cum. Preferred stock, owing to the uncertainties in connec¬
tion with the automobile trade.
—The directors on Dec. 15
Official
of the
passage
under the name of Charles Wesley & Co.,
960,731
Sept. 30 1920.
Total
a
on a
made
is
to investors wider opportunities for the investment of funds In
of available resources it is shown that of the 59,360,000
have
.$1,458,067
&c_
151,332
Total
applications for pemits for water power,
that
Federal Power Commission, an amount greater than
Departments involved.
very
Int. charge, discount,
—
Act,
projects involving from 2,000,000 to 3,000,000 horse-power have already
Announcement is made at the same time that the
Oct. 31 1920. July 311920.
$632,000
$555,977
Quarters and Nine
Quarters ending—
Sales.a
NOTICES
CURRENT
—HARRIS,FORBES & CO. ON WATER POWER DEVELOPMENT
business, in addition to that of commercial paper and bankers' acceptances.
Corp.—Earnings—Important Contract.—
Income
a special report in which he states
purchased tin properties in the Malay States, and
properties in the new Mayo district, Yukon Territory, Can.
On the Malay tin project, the company has expended to Nov. 1 approxi¬
mately $1,200,000.
On the Mayo silver-lead claims, approximately $150,000.
Further expenditures on the Malay tin project between now and
June 30 will amount to approximately $700,000, and further expenditures
on the Mayo silver-lead and other projects between Nov. 1 and Aug. 1 will
approximate $800,000, all of which will be met by the present resources of
Yukon Gold Co. and the Yukon-Alaska Trust combined.—Y.llO.p. 1543
George F. Piper,
White
Properties, &c.—
President William Loeb Jr. has issued
that the company has
also silver-lead
electric
Wayagamack Pulp & Paper Co., Ltd.—Recapitalization.
Decrease.
1,413,176
4,355,468
the company's
water
Co.—Capital Increased.—
It is reported that a company with this name has filed a certificate
New Jersey to increase its capital from $7,000,000 to $30,000,000.
/
1920—11 Mos.—1919.
2,942,292
Albert J.
.
Washington Gas Light Co.—Note Application.—
The company has applied to the Wash. (D. O.) P. U. Commission for
132,591
Young, Smyth, Field & Co., Phila.—Plan Approved.—
A dividend of $1 per share has been declared on the stock, payable Jan. 15
Three quarterly dividends of $1.50 per share
of $100
p.
America, Inc.—Dividend Decreased.
Vanadium Corp. of
Decrease.1
327,970
2050, 1669.
It is stated that
on
to holders of record Dec. 31.
Wateree Electric
Copper Mining Co.—Production {in Pounds).
1920—Nov .-1-1919.
firm
name
—S.
of .Wyant & Co.,
P. Julien Ravenel, In charge of the
Bond Department of Samuel
Goldschmidt, has just returned after being absent for
which time he was identified with the
—"The
securities under the
with offices at 108 So. La Salle St., Chicago.
History and Business, Capitalization,
Record of Mac Andrews & Forbes
several years, during
Federal Reserve Bank.
Earnings and Dividend
Co." is described in a
circular issued by
Stone, Prosser & Doty, 52 William Street, New York.
—West & Co., members New York and Philadelphia Stock Exchanges
have
prepared a special analytical circular on
Pennsylvania RR. Co#
2434
THE
CHRONICLE
textile
(fivpimzvcwl
ginues.
glue
Veto York, Friday Night,
the country.
is
quiet for
the
Retail trade is better
of the Christmas
too
high and the people are economizing.
factories
early in January.
Christmas
time,
Prices
was a year ago.
closing down,
already
are
it
are
Many mills and
not
to
until
reopen
It is customary to take holidays around
but this year the holidays are unusually
long.
That is one of the significant signs of the times.
Wage reductions continue in various branches of business.
They
most noticeable in the textile business, but they
spread to other branches, and it is understood that
are
have
they will shortly reach the iron and steel
of
favorable
the
in
factors
the
situation
industry.
is
that
One
of
costs
production have been
reduced throughout the country.
It
takes less capital to do business than it did a year ago, or
six months ago.
In fact, within two months capital
requirements have been notably reduced.
It costs less for
even
labor and
fibres,
The great
materials, like cotton, wool,
raw
well
as
decline in prices, of
tary situation.
Probably it
undoubtedly
was
other
a
strain
continue to increase.
has eased the
course,
came
too soon,
none
mone¬
for there
the credit resources of
on
nation like the United States.
even
a
It is significant that failures
During the last week they have been
past.
There has been a complete re¬
the largest for years
versal of conditions in this respect.
ing the
silk and
pig iron and fuel, both soft coal and coke.
as
and after failures
For
a
long period dur¬
far below those of pre¬
But for the past week they have reached the
war
vious years.
ran
unpleasantly suggestive total of 414, against 837 last week,
125 for this week last year, 139 in 1918, 200 in 1917, and
285 in 1916.
Textile trades in New England contemplate a
cut in wages
of 22%%, and it is believed that in
this reduction has
unions
trade
a
in
some cases
There is talk among
section
of the country of contesting
textile councils in New Hampshire
that
and
cut,
wage
already been made.
two
have
already given notice that if it is made they will strike.
But the time is not propitious for strikes, for trade is dull
and
unemployment
is
spreading
throughout
country.
Manufactures throughout the country are dull.
are
noticably quiet.
Collections
Iron and
slower.
are
And
further decline in the stock
welcome,
at
time
one
market certainly has been
if it has not been of the violent sort that
even
so
conspicuous
a
feature.
The commercial
munity is gratified to notice, however, that
in
financial
the
for
rates
world
dropped to 6%.
the main
of
At
money.
as
has
been
passed
with
time,
one
a
indeed,
call
com¬
no
rise
loan
in
rates
Merchants regard the money situation in
more
favorable, despite the fact that
a
default
$25,000,000 to $30,000,000 in the final payment of
some
income taxes is said to have taken place here.
The trades
which were hardest
hit, according to these figures, were the
silk, textile, garment, grocery and automobile lines.
There
is talk in
Congress of granting 60 days'
in the matter of
grace to
delinquents
wool.
raw
Talk of
an
turned out to be somewhat larger than
The
condition of winter wrheat just planted
average
has
for 10
years
doing
increase in tariff rates and equali¬
zation of exchange rates have had some effect.
crop
The cost of
past.
some
The wheat
was
recently.
expected.
for
the
week
not
are
was
an¬
time
since
it
Rock, Ark., have
At Chicago representatives
in the
steel, packing and other
plants, have voted to accept wage reductions of 15% for
skilled and 10% for unskilled labor.
The American Sugar
Co.
will
reduce
of
wages
bread
10%.
labor
common
bakers
reduced
Boston
and Chicago newspapers and one
one
and
two
cents
a
New
York
loaf.
Some
New York maga¬
zine have cut prices.
Four Ohio Valley plants of the Wheel¬
ing Steel Corporation have cut wages from 46c. to 38c. per
all
for
hour
laborers.
One
of
the
largest manufacturing
wholesale clothing establishments in Toronto has
and
sus¬
pended, it is stated, owing to the recent big decline in wool
woolen
goods.
Three Bridgeport plants, employing
5,500 workers, have closed until after Jan. 1, viz.: The Rem¬
and
ington Arms-Union Metallic Cartridge Co., the
machine
sewing
manufacturers
(until
Jan.
Singer Co.,
15)
and
the
Bassick
Co., metal workers.
Los Angeles dispatch states that
A
one of the largest
manufacturing establishments in the city, making trousers,
overalls and wholesale furnishings, was ousted from the
Merchants & Manufacturers Association Dec. 16 for violat¬
ing the avowed open-shop policy of the city.
York
open-shop clothing fight both
and
large
so
a
In the New
sides claim
contracting firm in Philadelphia advertised
25 men,
gains.
A
Dec. 16 for
on
crowd responded that police had to
be summoned to maintain order.
Applicants for work
were
asked to call at 7:30 a.m., but they began to gather at 4 a.m.
Prices of fresh eggs,
owing to unusually
this time of the year,
warm
dropped 5 to 8 cents
a
weather for
dozen in New
Dec. 16, representing a decrease of about
York
on
from
prices quoted
a
week
15 cents
Refined sugar is down to
ago.
7.90c.; hogs at Buffalo, to $9 75, the lowest since November,
1916.
Soft coal fell in Pittsburgh on Dec. 16 from $8 to $5 50
per
Twenty-five hundred employees of the American
ton.
Sugar Refining Co.
of
House
in Brooklyn have been laid off.
passed the Immigration
The
Bill,
Representatives
ban of one year on the entrance of foreign¬
which places a
Unemployment is increasing in Oklahoma, according
to the State Commissioner of Labor, and it affects practi¬
industries there.
all
cally
nounced
A
from
dispatch
in Chicago
is increasing.
much
under
10,000.000 bushels, and the total thus far is 75,000,000 bush¬
els larger than up to this time last year.
It is gratifying to
in
Co.
an¬
prices of its products.
Okla., announces that
Okla., has been closed.
Muskogee,
First National Bank of Morris,
torium of 60 to 90 days,
Boiler
Kewanee
The
of from 10 to 20%
cuts
Farmers there wanted
but it was refused.
a
the
Six
mora¬
Unemployment
During November there were 159
registered applicants for every 100 places open.
A leading
thread mill at Warwick, R. I., has announced its first wage
cut
in
Steam
The Naumkeag
Co., of Salem, Mass., has posted a notice of
And the Arizona Cop¬
reductions in all departments.
wage
per
amounting to 32%%.
forty years,
Cotton
Co. has made
cut of $1 a day in the wages of the
a
higher-priced miners, and it, is understood other copper com¬
panies will make similar reductions in existing wage scales.
At the auction sale of woolen goods here prices were 601
to 75% lower than the last sales in January.
In St. Louis
applied for every 45 positions, whereas a year
25 applicants for every 300 places.
At Providence, R. I., the
Jenckes Spinning Co., said to be the) largest producer of
tire fabrics in the world, has suspended work in most de¬
ago
there
is
Here
a
were
only
complete somersault.
mony
Eggs are 15 cents per dozen cheaper
Refined sugar is down below 8 cents.
And
exports
workers
partments until Jan. 3.
Cotton is lower.
There is a
big export business in wheat, and cash wheat has been at a
high premium over futures, owing to a keen demand from
The
from 6 to 10%.
negro
kinds of foods
coffee is gradually declining.
Europe.
300,000
Five mills in Little
is close to the
been declining.
than
of
300 persons
income tax payments.
On the other hand, there was rather more business
in
founded in 1837.
reduced wages
closed in that State of late.
un¬
was
eventful week
an
and New York,
ers.
the
When men wait for a job from 4 o'clock in the morning, as
they have been doing latterly in Philadelphia, it means that
the worker is seeking the job nowadays.
>
steel
New England
The United Textile Workers of America
ting goods plant at Plainville, for the first
was
over
as certain that it is
as
any means as
all
usual at the approach
as
holidays, but it is quite
not
large by
part
in
13.
declare labor will resist the threatened wage reduction.
A
textile company at New Britain, Conn., will close its knit¬
Dec. 17 1920.
most
workers
nounced Dec.
~OMMERC™LEPYTOME
Wholesale business
[VOL. 111.
from
It is grim testi¬
different shape
nothing of two years
And so it goes.
to the fact that business is in very
what it was
a
to say
year ago,
ago.
In Brazil
financial
the Department of
situation
Commerce reports state the
with serious failures
is growing worse,
occurring at Sao Paulo and Pernambuco and
minor failures
serious failures feared at Rio de Janeiro.
Madrid cables that German manufacturers are sending to
occurring
Spain
and
such
woolen goods at vastly
Spanish factories that
likely to be adopted for home protection.
large
of
quantities
notice, too, that sterling exchange is the highest for three
months past.
Taking the country as a whole, business is
quiet, but with declining costs of production American
cheaper prices than those charged by
trade is
Continent, 18c.; South American, 18Mc.; Brazil in kegs,
19Ha.
Futures declined in response to a fall in hog prices,
dulness of the cash trade, depression in Wall Street and
drawing nearer to a normal basis.
A sharp fall in
prices would give this movement notable impetus.
retail
Bread in New York City will be reduced
loaf and 2 cents
on
a cent per 14-oz.
prices being respec¬
The National Biscuit Co. has re¬
the 20-oz.
tively 10 and 15 cents.
duced
prices
on
its
loaf,
new
in
some
products
cases
20%.
The
Loose-Wiles Biscuit Co. has reduced prices from 2 to 5 cents
A big hardware company in Southington, Conn.,
has laid off a number of hands, owing to business conditions.
a
pound.
The
help.
Noiseless
Typewriter Co.
has discharged 25%
of
its
To-morrow woolen mills of the Niantic, Conn., Manu¬
facturing Co. at Flanders, and the Bathgate Mill at Water-
ford, Conn., will close for an indefinite period.
Shoe fac¬
tory workers at Marlsboro,
wage
reduction of 10%.
Mass., have voted a voluntary
Two cotton mills in St. John, N.B.,
have announced that they will start on a
stead
of 5%
duction
of
days because
about
22%%,
four-day week in¬
of lessened trade.
A wage re¬
affecting approximately 100,000
measures
are
LARD lower;
prime Western, [email protected].; refined to
the
throughout the country and finally liquidation.
On the
declines
packers, however, have been buying.^To-day
prices advanced but they end lower for the week.
DAILY
CLOSING
PRICES
Sat.
January delivery—cts_13.92
May delivery
13.97
OF
LARD
Mem.
13.77
13.60
FUTURES
Tues.
13.65
13.70
Wed.
13 §0
13.37
IN
CHICAGO.
Thurs.
13-17
13.45
Fri.
13 42
13-65
PORK quiet and lower; mess $29@$30; family $40@$45.
short clear $33@$38.
January closed at $22 80, a rise of
30c. for the week.
Beef quiet;
mess $10@$20;
packet
$21 @$23;
family $27@$28; extra India mess
No. 1 canned roast beef $3 25; No. 2 $8 25.
$46@$48;
Cut meats
dull and lower; pickled hams 10 to 20 lbs. 17@18^0.;
pickled bellies 10 to 12 lbs. 24@25e.
Butter, creamery
extras
55@55%c.
Cheese,
gathered extras 76c.
flats
20@28e.
Eggs,
fresh
Dec.
THE
181920.]
CHRONICLE
COFFEE oil the spot declined; No. 7 Rio 6^@6%c.;
.No. 4 Santos 9H@10c.; fair to good Cueuta 11]4@11%g.
Futures declined here with falling cost and freight prices at
Rio and in sympathy with declines at times in stocks and
cotton.
Liquidation was occasionally somewhat peremp¬
tory.
The buying was mostly by the shorts and trade in¬
terests.
Rio has a stock of 535,000 bags against 454,000 a
year ago, and Santos 2,996,000 against 4,674,000 at this time
in 1919.
The quantity in sight for the United States is
1,598,414 against 1,386,043 last year.
There is evidently
no lack of coffee.
And the demand is sluggish.
There is
some quiet
speculative buying on declines, however.
To-day
prices advanced but they end lower than a week ago.
A
Coffee Exchange membership was sold at $5,250, a decline
of $250.
Closing prices were as follows:
December.. 6 2206 25|M*y
7.1907.201July
7.5107.52
March.
..
..
I
6.82(5 6.851
September...7.7407.75
SUGAR
lower; centrifugal 96 degrees test, Cuban and
Porto Rican 4.63c.
Refined declined; granulated 7.90c. to
8.50c.
Futures have declined in eompany with spot raw
and refined.
Some 250,000 tons remain in Cuba and must
come on the market some time.
It overshadows the situa¬
only
that
grinding may be slow to start this year partly owing to
recent heavy rains, partial dismantlement of some of the
centrals, low prices, &c.
The crop is generally estimated
at around 3,500,000 tons.
Mills of the South Porto Rico
Sugar Co., according to advices from San Juan have com¬
menced the 1921 grinding season, being the first on the Island
of Porto Rico to begin work.
Despatches from Washington
state that the Ways and Means Committee of the Housd
has appointed Jan. 18 and 19 1921 as dates scheduled to hold
hearings in regard to the sugar schedule.
Lamborn & Co.
have advices from London stating that consumption in
tion.
It is true that Cuban advices say that there are
6 Cuban Centrals grinding against 32 a year ago and
November was 91,000 tons compared
during October.
The International
Institute at Rome, Italy, says that the sugar beet crops
of Prussia, Belgium, Spain, Finland, Italy, Netherlands,
Sweden, Switzerland, Canada and the United States have
Great Britain during
with
80,000
tons
is 36% more
Fabricants de
Sucre 58 factories are now working in France, whereas 34
were in operation in 1919.
Production in refined to October
31 was 61,683 tons compared with 20,583 in 1919.
The
estimated production in refined value is 244,260 tons.
Production in Germany during Sept. totaled 308,122 tons
with consumption of 66,505 tons.
Stocks at the end of
Sept. were 22,262 tons.
Licht's latest estimates of the
European beet crops point to a yield of 3,770,000 tons, i. e.
in Germany 1,200,000 otns,
Czecho Slovakia 725,000,
France 300,000 tons.
Russia and Ukraine are estimated
at 50,000 tons.
Today prices declined slightly and end a
amounted in 1920 to 22,200,000 tons, which
than in 1919.
According to the Journal des
Beet root is 7.90c. for
shade lower for the week.
Eastern
territory and 7.80c. for Chicago and the West.
December.. 4 20">4 30IFebruary ...4.2804.3O|M»y
January_..._4.1904.29lMarcb..
4.3904.40! July
...4.5404.55
4.6704.70
Inquiries of late have been more
numerous, but there has been very little actual buying.
On
the other hand, offerings have been heavier.
DecemberJanuary carloads 84@86c.; less than carloads 86@87e.; five
barrels or less 93@95c.
Ceylon, barrels 13 @13 He.; Cochin
llH@12c.
Olive $2 75@$2 90.
Cod, domestic, 75@76c.
Newfoundland 80 @82c.
Spirits of turpentine, 78c.
Com¬
mon to good strained rosin $8 75.
OILS.—Linseed quiet.
.
PETROLEUM steady; refined in
barrels 24.50 @25.50c.;
bulk 13.50@ 14.50c.; cases [email protected].
Gasoline steady;
steel barrels 33c.; wood barrels 41c.; gas machine 50c.
The
"Oil City Derrick" report says last week's field reports were
fairly favorable, although there were no startling develop¬
ments.
Reports from Kansas state that activities in the
Mid-Continent have decreased noticeably, and it is expected
December operations will show a marked decrease from
preceding months.
Supplies are plentiful, and producers
show no anxiety to resume operations for the present.
North Texas produced a few new wells of gusher size.
Oklahoma brought in several at about 1,000 barrels each.
Extensions and new pools were reported from Texas, Okla¬
homa, North Louisiana and Wyoming.
North Louisiana
reported a producer in the Woodbine sand, Pine Island dis¬
trict, at a depth of 2,875 feet, flowing at 1,000 barrels.
that
the
O a bell
Somerset,
and
32
*3 83
$6 10 Indiana
4 25 Princeton..
4 46 Illinois
Pennsylvania.
Corning
Plymouth
deg.
above.....
4 50 Kansas
Sc
2 60
Wooater
4 05 Oorsiqana. light
3 73 Corslcana, heavy3 63 Electra.
South
Lima
aji.J,,**
RUBBER
w
qiiiet
$3 00
3 25
2 76
......
Henrietta
Okla¬
homa
Ragland
North Lima
Strawn
3 77 Thrall
3 77 Healdton
3 48 Moran
3 00
3 50 Caddo. La., light.
3 00 Caddo, crude
1 75
De
3 00
Soto
3 25
2 50
3 40
3 50
and lower; smoked ribbed sheets 16
17c.; first latex crepe 17He. brown crepe, thin, clean, 15c.
Para, up-river, 19 Me.
Banks are not eager to make loans
for the present, and this fact caused much anxiety among
holders, whose obligations are nearing maturity.
OCEAN FREIGHTS have
remained quiet.
Grain rates
reported steady; coal rates weak. Most of the business
coal and lumber, with the demand for coal
rapidly dwindling. Large quantities of American coal are,
it is said, freely offered to French buyers at $14 per ton
cost and freight.
Coal carriers at Southern ports can be
had, it is intimated, at low rates.
Export coal business is - in
a chaotic state, partly from British competition, following
are
.s
in grain, flour,
2435
the
settlement of the troubles in the Welsh region.
Big
cancellations have hit American coal trade hard.
There
was at one time too much
speculation.
.Charters included coal from Atlantic range to Antwerp
or
Rotterdam, $5;
if French Atlantic port, $5 50
December; 25,000 quarters grain from Atlan¬
Kingdom, Antwerp or Rotterdam, 8s. 6d. Jan. 15-31;
steamers 64,000 quarters grain from a Gulf port to Mediterranean, not
of west Italy, lis. 6d. Dec. and Jan. loadings.
tic range to United
two
east
TOBACCO
has
remained
generally
dull.
in
Buyers
these times of flux and declining prices for most commodities
hold aloof or buy only when they have to and then in small
quantities.
They believe prices must eventually give way,
they have much of late or note.
In general prices
are called more or less weak or nominal.
Supplies however, of
whether
the
more
desirable kinds
are
declared to be rather small here.
Some too, think trade will brighten after the turn of the year.
Meanwhile supplies elsewhere are evidently burdensome.
Offerings in Kentucky recently were not freely taken; some
55% had to be withdrawn even with the average price at
Owpnsboro, Ky., 7 23 per pound
There are loud com¬
plaints there over the fact that prices are the lowest in five
In fact a despatch from Ownesboro, of Dec. 12 said:
years.
"The
Green River Tobacco
Growers'
Association
was
or¬
meeting of about 1,200 farmers of
the Green River Tobacco district which includes Daviess,
McLean, Hancock, Breekenridge and Ohio Counties, Ky.
The Association will endeavor to pool the tobacco crop, and
work for higher prices.
Under the proposed marketing
plan the pooled tobacco would be offered for sale at a certain
price.
If not bought at this price, it would be stored until
ganized here Saturday at
there
was
a
better
a
market.
Local
interests have offered
financial aid to the growers
in the move, according to or¬
ganizers of the Association. Meantime managers of the
warehouses announced that they will continue to receive
and sell tobacco."
/
COPPER
quiet and slightly lower; electrolytic 13H@14o.
Sentiment is mixed and there is very little interest manifested
by the trade, which is due largely to the recent break in
London.
Large sellers contend, however, that conditions
are sound and emphatically deny having done any business
below 14c.
They believe that with a stronger tendency in
the British market the domestic demand
will increase.
Tin
early in the week declined to 32 He. on the continued weak¬
ness of prices in London.
But later it was announced that
the Malay Government had fixed the minimum price of
Singapore tin at £243, and this lifted the price at New York
to 33H@34c.
Lead, like other metals, declined in sym¬
Spot New York was quoted at 4%@
pathy with London.
5c.
Zinc declined with other metals on the break in London.
Trade is very
Spot St. Louis was quoted at 5.65o.
quiet.
PIG IRON has remained dull and more or less depressed;
The output in England of iron
Some American furnaces have
as
well as steel is falling.
reduced prices, it is said,
nearly to the level of re-sale quotations.
Some, it is inti¬
mated, have named quotations close to production costs.
Production of both iron and steel is falling.
New business
is exceedingly small.
In the Mahoning Valley production
said to be on the basis of only about 50% of capacity.
is
Production is steadily falling,
is said that French steel is selling
and German in the case at least of
billets.
It is declared that French billets have sold at
£12 10s., whereas British cost of production is at least £18.
Wages, it^seems, are to be cut in the Young
stown, Ohio,
district, possibly 20%.
Cutting prices in the Birmingham
district elicits no response from buyers.
Prices are weak
but nobody seems to want to buy.
Of course dulness is apt
to exist at this time of the year.
It is said, too, that while
independent corporations have reduced output a big concern
has increased its working capacity to 90%.
But this is ex¬
ceptional.
In average prices it is stated there has been a
fall this week from $54 24 to $53 57.
New business and
STEEL is duller than
ever.
here and in England.
It
below the price of British
are very small.
WOOL has sold rather more
specifications
freely in this country at lower
Last week nearly 4,000,000 lbs., it is asserted, were
sold at Boston.
The next U. S. Government wool auction
will be on Dec. 30, with offerings of 3,400,000 lbs., including
3,000,000 similar to the low wools offered recently and 400,00Q lbs. of three-eighths and high quarter-blood grades, the
latter including chiefly second clips and fleece South Amer¬
ican combings and carding wools, which will be used more or
less as a test of the market for these better grades.
Include^
in the sale will be 330,000 lbs. of pulled, 50,000 lbs. of gray
and black domestic, 1,309,000 lbs. of South American comb¬
ing, 1,065,000 lbs. of South American carding and 646,000
lbs. of scoured wools.
Samples of these wools will be
prices.
sl},own at the army base on Dec. 27.
Cables from South
America on Dec. 13 reported superior second clip wools 1H
cents per lb. higher.
At London Dec. 13 the auctions of the
Government's Colonial wool were resumed, with offerings
down to 7,400 bales.
But only 1,500 bales were sold.
The
best Sydney greasv merino realized 28d.; Queensland 27Hd.;
West Australi a 23 Hd J and Tasmania 29d.
Victorian greasy
comeback was 2Id.; crossbred 20d.
New Zealand greasy
crossbred ranged from 15 to 19 Hd.
In London on Dec. 14 offerings were of 8,600 bales and
•
barely 2,500 bales were sold.
But competition was more
Prices did not improve, but a rather larger percent¬
active.
of the offerings was sold than heretofore.
Greasy comb¬
ing merinos sold the most readily.
The best Sydney realized
23Hd.
Queensland 21d. and Tasmanian 28 Hd. Victorian,
age
Zealand
New
and
Australian
West
mainly
were
[Vol. 111.
CHRONICLE
THE
2436
good quality this week. But at London the sales
will be concluded to-day.
River Plate cables report that
market firm at advances early in the week.
It is intimated
that rather large orders for quarter and three-eights combing
wools for one of the larger worsted mills outside New England
to be of
having been cabled to Buenos Ayres during the past week
in addition to fair quantities of spot wools.
At London the wool sale on the 15th inst. 8,000 bales
offered met with little demand, about 75% of the quantity
the week ending this evening reach a total1
The exports for
greasy
crossbred, for which there was no demand, except for the
best New Zealand at a range of 14 ^d. to24M<L Boston wired
that advices from the auction in Melbourne, Australia,
indicated a declining tendency on the 13th inst. and buyers
showed less interest.
The offerings at Geelong are reported
121,935 bales, of which 40,166 were to Great Britain,
to France and 81,769 to other destinations.
Below
of
week and since Aug. 1 1920:
the exports for the
are
Week ending Dec. 17
From Aug. 1 1920 to Dec. 17 1920.
1920.
Exported to-
Exported to—
Exports
Great
Great
from—
Other.
Houston
76,968
3,300
22,807
Total.
54,161
Britain. France.
Galveston- _
Texas City.
3,300
454,969
8,980
2,709
44,111
127,259
..
Other.
195,243
Total.
528,180 1,178,392
6,373
18,062
62,023
233,393
650
Arthur
Port
France.
Britain.
650
San Antonio
"¥,244
El Paso...-
177
<
PortNogalez
Jacksonville
have been well maintained on the
best wools.
Cables from
the sale in Brisbane indicate lower prices or about 10% under
800
11,682
84*482
196,909
give
The selection was a very indifferent
of the French combing type are
understood to have cost about 65c. to 67c., clean-landed basis.
950
341,784
3,925
6,957
Mobile
The best Sydney greasy. merino sold at
34d., Queensland at 24d., West Australian at 21 lAd., Vic¬
torian and New Zealand, chiefly greasy crossbred, only a
few lots sold, the best at 20 lAd. and 20d., respectively.
Tasmanian greasy comeback sold at 37 Ad.
It is reported
that no sales have been scheduled in Australia next month
apart from the sales in Tasmania, which are usually of wools
very suitable to the United States.
At London on Dec. 16
9,892 bales were offered.
The trading was quiet and with¬
out feature.
There were frequent withdrawals of crossbreds.
Cables from Geelong on Dec. 16 showed easier prices; the
best combing dropped 5 to 10%, with Americans the largest
buyers, the selection being good.
At the Brisbane sale
prices also fell on that day, with heavy withdrawals. Later
cables from the auction at Geelong state that prices there
177
950
195,983
39",880
105",921
15~855 33",214
"17",359
New Orleans
8,244
New York.
being withdrawn.
Sydney prices.
last
701
a
7,427
Brunswick
Charleston
701
35*206
77,221
__
7,427
"2", 800
27",661
1,378
6,126
1,378
400
New York..
400
•"V,065
2,272
37,736
119
349
Boston
Baltimore..
37,700
10,075
28,119
4,000
4,000
Norfolk
5,399
37,700
2,599
.
Wilmington.
1,246
Los
559
10,647
2,697
2,697
Angeles
Francis
100
100
"lb",647
Seattle
1,100
1,100
5,877
5,877
Tacoma
1,475
1,475
4,600
4,600
Total
1919. 124.550
33,205
Total
1918.
24,104
#
831,789
329,504
993,305 2,154,598
79,310 237,065 1,323,543
938,296
48,811 116,301
255,890
933.033 2.511,466
536.055 P742,654
81,769 121,935
40,166
_
Total
43,386
218.303
In addition to above exports, our telegrams to-night also
us the following amounts of cotton on shipboard, not
cleared, at the ports named.
We add similar figurea for
'
On
Shipboard, Not Cleared for—
!
Ger¬
Other
Coast¬
Britain. France.
many.
Cont't.
wise.
Great
Leaving
Total.
Stock.
253,838
71
92,168
66,152
19.200
"Y.000
Dec. 17 at—
1,000
COTTON
Galveston
Friday Night, Dec. 17 1920.
THE MOVEMENT OF THE CROP, as
indicated by
New
our
For the
telegrams from the South to-night, is given below.
this evening the total receipts have reached
189,642 bales, against 210,301 bales last week and 231,762
bales the previous week, making the total receipts since
Aug.201920 3,110,707 bales, against 3,392,954 bales for the
same period of 1919, showing a decrease since Aug. 20 1920
of 282,047 bales.
week ending
44,230
16,444
8,000
Orleans.^
Savannah
Tues.
Wed.
16,350
25,043
11,915
Total.
Fri.
s.
11,874
1,226
84.547
"8,317
7,218
11,778
935
588
7,218
63,747
4,826
78
7,316
Galveston
78
"1,206 "2,008
1,433
10,058
12,049
City
1,226
Houston
Port Arthur, &c.
New Orleans
"9,245
9,896
12,368
960
353
684
"MOO "l~,218
Mobile
2,793
150
150
457
285
380
251
147
922
288
209
560
627
1,486
1,929
738
1,393
2,304
2,680
8,482
12,143
1,306
"6", 721
Mobile
Norfolk
New
Jacksonville
Savannah
Brunswick
Charleston
147
Wilmington
711
Norfolk
1,653
1,283
■
1,535
York
New
'""152
Boston
"""575
6
425
50
Baltimore
""""69
21,964
441
61
380
Totals this week.
32,005
28,343
43,552
25,459
38,319 189,642
total
The following shows the week's total receipts, the
since Aug.
last year:
47
1,535
1,277
1,026
1,026
Philadelphia
#
47
:
N'port News, &c-
with
1 1920 and the stocks to-night, compared
18,486
14,708
8,000
19,036
25,593
1,200
Total
Total
*
11.830
a2,884
500
500
82.595
.
20,677
20,240
1919.- 163,864
77.924
1918..
Estimated,
a
2,000
200
3,000
1920.
800
2,000
200
Other ports
Total
"2",223
3,500
4,000
York
42.146
43,694 51,513
9,616 131,047
33.325
in
cotton
at times has been
68,035
22,051
62,211
5.071 203,550 1.202.523
6.503 331,270 1,237,601
16,900 170,295 1,221,588
future
for
higher, with
a
delivery
has
been
of
It is true that Liverpool
better demand.
been calling for the lower grades there,
creased.
4,500
1,700
7,000
402,738
138,832
245,030
9.788
2,484 for Japan.
moderate volume at lower prices.
The Continent has bought
India has
and sales have in¬
futures there.
Private
dispatches have said that the tone in Liverpool was better,
that the
Pensacola
6,916
9,336
2,000
Charleston
Speculation
Thu
Man.
Sat.
Receipts at—
Texas
5,678
4,024
559
Philadelphia
San
41,310
3,287
2,429
better wools
The
one.
Savannah
offerings
ing" cotton to
ter
were
some
small, and that the trade was "call¬
reported yarns quiet
was
something
print cloths
new.
was
On the 16th instant Manches¬
extent.
but
The word "steady"
steady.
At the same time a better demand for
reported here.
Spot markets in the Caro-
latterly been
Mill stocks
of raw cotton in some parts of the country have become re¬
duced after a prolonged period of inactivity in the actual
staple.
At times, too, the price at Alexandria, Egypt, has
advanced quite sharply on the January delivery.
Liverpool
and Japanese interests have bought here, especially the lat¬
Georgia,
linas,
firmer.
The
ter at times
Texas
and
Oklahoma
have
basis, it was said, was hardening.
on
a
noticable scale.
So have trade interests.
They have been buying January in some cases and transStock.
1919.
1920.
Dec.
This
17.
Since Aug
Week.
Galveston
Texas City
Houston
Port Arthur, &c-„
New Orleans
Mobile
1 1920.
84,547 1,533,242
13,509
1,226
233,393
7,218
14,940
63,747
678,751
4,826
42,923
This
Week.
Since Aug
1 1919.
74,489 1,112,109
152,474
20,099
23,319
""73
45,846
3,648
Pensacola
78
"l",0i3
"696
10,058
336,067
8,624
37,874
46,834
118,737
55,220
2,000
8,241
3,975
11,552
969
79
Jacksonville
Savannah
150
Brunswick
Charleston
2,304
2,680
8,482
Wilmington
Norfolk
47
N'port News, &c_
New York
1,535
1,277
1,026
Boston
Baltimore-
-
441
Philadelphia
19,463
514,717
164,918
11,170
7,961
754,672
92,800
167,911
88,342
193.114
1,556
11,765
time
1920.
1919.
346,006
2,575
322,961
90,038
468",890
465*303
19,982
21,618
"
"2". 137
7*092
158,032
2,249
40,711
72,535
355,905
19,500
64,212
45,883
95,429
246.030
6,434
291
23,751
62", 129
16.070
18,138
3,389
245
9,820
12,016
1,070
56,142
10,701
3,369
3,877
5,133
11,427
837
6.154
189,642 3,110,907 228,361 13,392.954 1,406,073 1,568,871
Totals
In order that comparison may
we
be made with other years,
give below the totals at leading ports for six seasons:
Receipts at—
1920.
1919.
1917.
1918.
Galveston
84,547
74,489
TexasCity,&c.
8,444
63.747
20,172
51,857
5,067
49,001
7,962
34,255
30.221
"6", 889
5.761
595
10.222
2.680
Norfolk
8,482
11,552
3,351
10.435
47
79
78
Brunswick
Charleston
N'port N., &c.
60,237
12,600
31,090
3,707
13,758
487
44,310
902
1,766
1,000
3.500
2,741
1,382
11,115
1915.
90,100
9,825
53,777
3,344
19,631
3,000
5,396
2,509
15,621
287
4,357
All others
Total this wk_
Since Aug.
4,826
10.058
150
2,304
1916.
214
Wilmington..
45,846
3,648
55,220
2,000
8,241
3,975
OrleansMobile
Savannah
New
3,139
2,462
11.521
"8",513
8,488
189,642
228,361
171,357
122,999
148,643
211,978
1_ 3,110.907 3,392,954 2,529,152 3,302,575 4,475,451 3,857,774
January at one
There is
said to be quite a large short interest in January, largely
for Liverpool account, though the short interest is not by
any means limited to that market.
It will be recalled that
January showed very striking strength a year ago. In fact,
the strenuous experience of the short interest in January
and March, May and July is still fresh in the remembrance
of the trade, as outstanding features of the season of 191920.
As the case now stands, there is said to be under 8,000
bales of certificated cotton here.
Quite a little of the cotton
sent to New York recently, it appears, has been rejected.
And concededly the present cerificated stock is a slender
basis for a big short interest.
And the evidence seems to
multiply that the South is determined to cut the next acre¬
age very sharply.'
The decrease talked of is 33 1/3%.
Some would not be surprised if such a decrease should be
fering their hedges to March and
Receipts to
increased
its
May.
premium over other months.
approximated unless there is a very
sharp improvement in
cost of production, in one way or another,
should be considerably reduced.
The idea is that cotton
the price or the
farmers, like farmers in every other part of the country,
spent money with a free hand in the flush times, as did the
working population all over the country, and that they are
now hard hit by the big drop in prices.
Therefore it is
believed to be easily possible that there may be a big reduc¬
tion in acreage,
unless, as already intimated, something in¬
change his mind.
Meanwhile
tervenes to make the farmer
^
getting into better shape. The price of cotton
has fallen since July nearly 65%, wages are to be cut 22^%,
and soft coal has recently been declining.
In a word, the
the mills
overhead
are
charges of the
duced and may be
mills have been considerably re¬
another at no
cut further in one way or
,
Dec.
very distant
have been
day.
All of which
means
market
for
He has been out of the
unavoidable inference from this, according to very many, is
that before long the mills have got to buy to increase their
But
to
on
while
a
sentiment
in
the preponderance
quarters has been
some
few
a
are
Range
Range
more
hopeful,
Closing
Range
Range
Range
Range
until Jan. 3 1921, or Jan.
5.
Things are so bad that in
in
40 years have cut wages, even reducing them 33%%.
No
one pretends that there is any real activity,
either in the
spot markets or at the South.
Many business men found
it impossible to pay their final installment of the income
The trades that were hardest hit were
tax.
silks, textiles,
There has been a
owing to the bad times, 30
days be allowed to delinquents.
Meanwhile thousands face
the Government penalty, regretting that they did not pay
last March when money was relatively plentiful.
All this
is a sign of the times.
It certainly does not indicate a
gratifying state of business, to put it mildly.
But there
are those who think that the turn in the long lane has been
reached.
They look for no spectacular rise, but they do
look for a gradual improvement in the price, based on the
economic law that the price of a commodity cannot remain
garment, "grocery and automobile lines.
below the cost of production.
And the last
crop did cost the South, it is estimated, something like 30
cents per pound.
Of course the cost varied according to
the section of the belt, but the rough average it is believed
of 30 cents is sufficiently accurate for practical purposes in
Range
3.35 on
2.80 on
Middling ftir
Strict good middling——■
Good middling
....2.20
1.13
Strict low middling..
2.30
Low middling
—————4.68
♦Strict good ordinary———6.43
♦Good ordinary.
......8.00
Strict good mid, "yellow" tinged.0.39
Good middling "yellow" tinged..1.03
Strict, middling "yellow" tinged..2.08
Strict middling.—
— ..
—
on
on
off
off
off
off
otf
off
off
♦Strict low mid. "yellow" tinged.5.53
♦Low middling
15.10
—
15.50
—
15.50
—
15.77
15.62
15.40
—
—
15.40-.70 15.00i.ll
15.40-.44
15.70
15.25
16.05
—
15.45
—
15.55
—
15.64
—
—
15.45
14.95-.00
—
14.95-.70
15.45-.75 15.08 i.20
15.98-.20 15.28-.95 15.08-.65 15.48-.85 15.5516.10
15.30-.33 15.60
—
15.58
16.10
15.30
—
15.60
—
15.58
15.43
_.
—
15.35
—
15.43
—
15.70
—
—
15.45-.47
15.64-
...
..
15.64
—
15.50
—
15.80
—
15.76
16.10
—
15.67
—
—
15.82
—
15.60
—
15.35-.80
Range...
16.10-.20 15.35-.93 15.10-.60 15.50-.80 15.60-.79 15.50-.72 15.10i.20
Closing
16.05-. 10 15.30
_.
I 16c.
—
15.60
—
15.57
—
15.72
—
15.50
—
/15c.
THE VISIBLE SUPPLY OF COTTON to-night, as made
by cable and telegraph, is as follows.
Foreign stocks, as
as the afloat, are this week's returns, and consequently
up
well
all
brought down to Thursday evening.
the complete figures for to-night
(Friday), we add the item of exports from the United States,
including in it the exports of Friday only.
foreign figures
But
are
the
make
to
total
1918.
1917.
937,000
829,000
305,000
430,000
3,000
93,000
11,000
153,000
16,000
75,000
21,000
26,000
993,000
396,000
477,000
180,000
7,000
38,000
31,000
67,000
153,000
3,000
76,000
45,000
434,000
256.000
101,000
250,000
1,467,000 1,249,000
497,000
14,000
355,000
727,000
1920.
December 17—
Stock afc
Liverpool
.bales..
Stock at London
Stock at Manchester
Stock at Ghent.
1,033,000
14.000
Stock at Bremen
Stock at Havre
170,000
17,000
1919.
112,000
Total Great Britain
Stock at Rotterdam, &c
Stock at Barcelona..
Stock at Genoa
•
1,000
64,000
30,000
21,000
12,000
Stock at Trieste
Total Continental stocks......
Total European stocks
India cotton afloat for Europe
43,006
84,000
37,000
,
691,857
256,000
Europe
651,933
55,000
48,000
96,000
Egypt, Brazil, &c., afloat for Eur.
63,000
239,000
320,000
361,000
Stock in Alexandria, Egypt
183,000
521,000
*445,000
*570,000
Stock in Bombay, India.i.......
886,000
Stock in U. S. ports
1,406,073 1,568,871 1,391,883 1,282,097
Stock in U. S. interior towns
1,640,145 1,347,767 1,390,823 1,259,429
5,949
4,570
15,995
U. S. exports to-day.
—
16,831
Amer. cotton afloat for
..6,356,982 5,772.490 4,633,655 4.427.096
Total visible supply..
Of the above, totals of American
and other descriptions
American—
U. S.
•
off
81,000
364,000
651,933
to-day
16,831
........—
199,000
691,859
42,000
*85,000
355,000
256,000
1.282.097
15,995
4,570
5,949
201,0r0
128,000
145,000
3,000
12,000
70,000
43,000
11,000
71,000
57,000
84,000
16,000
33,000
*16,000
14,000
21,000
6,000
*34,000
37,000
Continental stock..
India afloat for Europe
63,000
Total East India, &c
Total American
—
55,000
48,0^0
183,000
886,000
Egypt*, Brazil, &c., afloat
Stock in Alexandria, Egypt
Stock in Bombay, India
quotation for middling upland cotton in the
York market each day for the past week has been:
I
285,000
20,000
*216,000
375,000
Manchester stock
future contracts.
follows
as
177,000
4,721,982 4,533,490 3,447,655 3,323,096
Total American
East Indian, Brazil, &c.—
London stock
"yellow" stained.3.25 off
♦Strict mid. "yellow" stained...4.40 off
♦Middling "yellow" stained
5.80 off
♦Good middling "blue" stained..4.05 off
♦Strict middling "blue" stained..5.35 off
♦Middling "blue" stained6.60 off
♦These ten grades are not deliverable
628,000
82,000
..1,610,145 1,347,767 1,390,823 1,259,429
Liverpool stock
"yellow" tinged..7.80 off
562,000
1,406,073 1,568,871 1,391,883
port stocks
U. S. interior stocks
U. S. exports
are
.
Liverpool stock......
bales..
Manchester stock..............
Continental stock
American afloat for Europe
Good middling
upon
—
—
15.90-.11 15.15-.85 15.00-.58 15.37-;.80 15.4916.01-.04 15.22-.23 15.57-.58 15.51-.52 15.60-
..
Closing..
3.58 of
♦Middling "yellow" tinged
—
October—
:'-V
Dec. .23:
15.90
Range...
following averages of the differences between grades,
as figures from the Dec. 16 quotations
of the ten markets,
designated by the Secretary of Agriculture, are the differences
from middling established for deliveries in the New York
on
15.40
15.37-.38
...
dosing
The
market
15.65
15.40
September—
since last Friday.
of 25 points
decline
15.40
15.35-.65 14.82/.95
...
Closing
Middling on the spot closed at 16c., a
lower for the week.
—
15.77
...
Range
To-day prices declined and ended
point.
discussing this
15.00
August—
suggestion in Congress that,
permanently
'5.40
—
15.80-.85 15.00-.04 15.40-.45 15.40-.44 15.61-
_.
Closing.,
1918,
Rhode Island mills for the first time
thread mills,
15.45
July—
11,302,375 in 1917.
The mills are working only two or three days a week.
now
15.33
15.74-.95 15.00-.69 14.82-.45 15.15-.70 15.40-
_.
...
Closing
and
the
—
June—
posed to anything of the sort.
The Government crop esti¬
the 13th instant and proved to be 12,-
Some are closing even
15.83
..
Closing
May—
mate was issued on
It is difficult to sell their product.
_
Closing
for SQme time to
987,000 bales, against 11,420,763 last year, 12,048,532 in
15.30
April—
Board
serve
—
March—
Moreover, it is believed that both the Federal Re¬
and the Bank of England are distinctly op¬
kind.
Week.
Dec. 17.
15.62-.88 14.95-.65 14.77-.38 15.10-.62 15.38-.83 15.43-.80 14.77/.88
15.82-.84 14.95-.02 J5.37-.38 15.37-.38 15.72-.75 15.43-.48
...
..
of opinion is still either bearish or more
or
Friday,
Dec. 16,
Range...
opinion would not tolerate anything of the
Public
14.95
15.65
..
Closing
February—
looking askance at the short side,
speculation in commodities just now,
Dec. 15.
15.40-.65 14.S0-.55 14.66-.30 15.05-.55 15.23-.55 15.35-60 14.66-.65
...
Closing
at this time.
come.
Dec. 14.
January—
skeptical as to the possibility of a permanent rise
Certainly nobody looks for old-fashioned bull
less
Tuesday, Wed'day, Thursd'y,
Dec. 13.
December—
things moving at a swifter pace towards a
set
Monday,
Dec. 11.
country
the
throughout
jog not only to retail but to wholesale
normal, healthy and prosperous times.
the other hand there is no disguising the fact that
and that not
or
textiles,
including
sharply, it will give
return
And if retailers cut the price of
cotton.
raw
merchandise,
trade and
Saturday,
Owing to the
curtailment of output, November receipts of raw cotton in
New England were the smallest for many years past.
The
purchases of
highest, lowest and closing prices at
week have been as follows:
New York for the past
good while, and in many cases his stock of
a
material must be considerably reduced.
raw
FUTURES.—The
that mill expenses
sharply curtailed, and that the spinner is in a
better position to buy raw cotton.
3437
CHRONICLE
THE
181920.]
239,000
521,000
361,000
*570,000
96,000
320,000
*445,000
1,635,000 1,239,000 1,186,000 1,104,000
4,721,982 4,533,490 3,447,655 3,323,096
The official
New
to Dec.
Dec. 11
Sat.
uplands
Middling
Mon.
Tues.
:
NEW YORK
—
16.25
15.50
15.80
15.80
16.00
Liverpool..
York
Egypt, good sake!, Liverpool
Peruvian, rough good, LiverpoolBroach, fine, Liverpool——
Tinnevelly, good, Liverpool
Middling uplands. New
16.00
QUOTATIONS FOR 32 YEARS.
*
quotations for middling upland at New York on
Dec. 17 for each of the past 32 years have been as follows:
The
1020
16.00
39.25
29.75
30.30
18.35
11.95
7.30
12.90
-c.
1919
1918
1917
1916.
1915
1914
1913
1912.C
1911
1910
1909
1908
1907.
1906.
1905
13.10
9.45
15.15
15.10
9.10
11.90
10.55
12.20
8.05
12.70
1902....... 8.70
1901
8.50
1904.c_
—
1903
1896.C
8.56
—
of
1891
7.94
1898.
5.81
1890
9.38
1897
5.88
1889
10.25
each day during the
indicated in the following statement.
For the convenience of the reader we also add columns which
The total sales of cotton on the spot
over
'
on
glance how the market for spot and futures closed
d^-ys.
a
same
39.50d.
37.00d.
10-15d.
ll.OOd.
23.85d.
24.10d.
18.79d.
18.04d.
bales.)
1917.
QUOTATIONS FOR MIDDLING COTTON AT OTHER
MARKETS.—Below are the closing quotations of middling
cotton at Southern and other principal cotton markets for
each day of the week:
'
■
.
week at New York are
show at
17.00d.
22.3ld.
31.10c.
33.15d.
32.00d.
23.15d.
21.53d.
1920 show an increase over last week
gain of 584,492 bales over 1919, an excess
of 144,874
8.00
10.00
MARKET AND SALES AT NEW YORK.
20.40d.
31.00c.
bales, a
1,723,327 bales over 1918 and a gain of 1,929,886 bales
5.75
1892
...
30.79d.
The above figures for
1893
1894
26.12d.
39.25c.
51.00d.
10.58d.
16.00c.
Estimated.
10.00
7.69
1900
1899
27.00d.
Continental imports for past week have been 133,000
7.19
1895
6,356,982 5,772,490 4,633.655 4,427.096
Total visible supply
Middling uplands,
Fri.
Wed. Thurs.
17—
Closing Quotations for Middling Cotton on—
Week ending
Dec. 17.
Saturday. Monday.
Galveston
15.75
14.75
14.75
15.78
Tuesday. Wed'day. Thursd'y,
.15.25
15.25
15.78
15.78
15.25
14.75
14.75
Friday.
15.25
15.25
14.'/ 5
Market
Closed.
14.75
14.75
14.75
15.75
15.75
15.75
Saturday
_
—
Quiet, unchanged.
Quiet. 75 pts. dec.
Quiet, 30 pts. adv.
Monday
Tuesday
Wednesday. Quiet, unchanged.
Quiet, 20 pts. adv.
Thursday
Quiet, unchanged.
Friday
—
Total
Market
Closed.
15.78
15.00
14.50
14.50
14.50
15.00
15,00
15.50
15.50
IS.7 5
15.50
16.05
16.05
16.25
15.13
15.00
16.25
_
Savannah
Spot.
Contr't.' Total.
Firm
Easy
Steady
Steady
Steady
Easy
Charleston
New Orleans.
Mobile
SALES.
Futures
14.75
14.75
15.78
15.78
Norfolk.
Spot
Baltimore—
200
200
"566
"500
500
500
15.00
15.00
15.00
....
14.10
13.30,
....
14.75
14.25
15.50
15.00
Houston
1,200
167.50
Dallas
Rock
Fort Worth.—
Little
1,200
—
Philadelphia
Augusta
Memphis
15.38
13.50
14/75
15.00
15.00
13.70
14.25
15.00
13.75
15.78
15.78
15.00
15.00
13.80
14.25
15.00
13.75
15.00
15.75
15.00
15.00
14.10
13.90
14.50
14.25
15.00
15.00
14.10
13.85
INTERIOR TOWNS the movement.—that is,
AT THE
1, the shipments for
the same items for the
corresponding period of the previous year—is set out in
the receipts for the week since Aug.
the week and the stocks to-night, and
detail below:
The following statement we have also received by tele¬
graph, showing the height of the rivers at the points named
at 8 a. m. of the dates given:
Nashville
Dec.
17.
Season.
Week.
Stocks
Dec.
Week.
Shreveport.
Vicksburg
Ala., Eufaula..
311
7,130
Montgomery
Selma
619
43,292
292
f',234
107
3,620
32,100
1,974
57,529
2,388
22,120
33.168
2,298
345
Ark., Helena ..
Little Rock..
1,848
?5,086
925
15,644
1,304
24,339
734
7,460
9,151
9,181
4,535
60,485
9,680
122,734
5,761
51.974
Pine Bluff—
9.399
108,936
100,429
9,841
65,980
Ga., Albany...
130
9,829
17
6,476
64,581
5,300
98,208
4,800
8,046
14,368
152,039
12,719
369,854
15,354 207,030
82
27,469
478
......
16,169
82,582
21.475
3,867
68,843
10,08f
224,159
3,919 31,391
5,463 154,144
Columbus...
1,070
Macon
1,204
15,171
26,352
19,563
60,135
6,465
78,182
5.384
Athens
Atlanta
—
Augusta
....
1,346
2.710
Itome.......
■
-
-
-
22,330
.
100
—
-
9,064
i*
19,000
3,154
45,539
39,863
-
100
122
16,924
525
31,259
1.139
701
18,608
8,260
58,398
4.328
7,048
1,200
157,125
8.487
1,150
3,660
39,461
55,405
1.200
13,317
4,518
3,500
92,164
927
27,500
50,254
17,137
54.560
Greenwood..
2,334
300
86,438
Meridian
1,041
71,344
16,824
85,928
64,259
2,167
1,200
3,458
2,900
438
12,160
800
26,691
800
13,500
800
16,038
400
7,534
648
23,658
181
952
8,462
20,220
203,713
200
12,496
697
13,626
49
757
19,618
15,743
4,668
1,036
30,149
266
1,000
121
273
52
29,855
334,722
26,270
7,975
12,054
9,697
14,441
7,491
11,607
100
224
La., Shreveport
Mlsfl.,Columbufl
Clarksdsle
Natchez
518
4,078
..
....
Vicksburg—
1,142
------
3,143
Yazoo City..
1,161
Mo., St. Louis.
N.C.,Gr'nsboro
25,626
Raleigh.....
182
5,441
2,443
Okla., Altus
3,463
27,126
1,981
15,984
Chickasha
2,188
24,169
1,669
10,756
700
16,300
500
7,434
2,476
30,542
1,766
2,247
1,090
8,397
12,254
3,812
300
10,722
572
21,203 369,870
38,846
1,126
Hugo
Oklahoma
Greenwood..
607
25,059
11,228
Tenn., Memphis
2?,219
25,168
385,950
S. C., Greenville
Nashville
_
...
415
.
858
-
-
-
13,145
507.423
-
-
-
-
-
4,397
-
-
4,63 J
247
-
802
31.178
572
-
-
-
2,521
32,687
43,755
3,090
18.663
Honey Grove
1,200
18,800
1,000
9,990
1,569
22,016
859
3.408
San
651
31,824
317
3,407
3,615
1,200
6,326
53,763
5,015
20,451
2,000
Antonio
Fort Worth *_.
69,273 235,181
83,318
29,469
1,200
2,320
25,700
2,500
24.500
3,324
11,107
*
Georgia
Florida
Alabama
Mississippi..
Louisiana...
Cincinnati.
creased
during the week 53,422 bales and are to-night 292,378
than at the same time last year. The receipts at
towns have been 3,920 bales less than the same week
bales
all
more
1,530,000
1,400,000
18,000
660,000
885,000
380,000
(Census).
Steady
Steady
4,200,000
1,160,000
310,000
85,000
1,300,000
*150,000
110,000
15,000
U.S.....6,213,262,000 12,987,000
11,420,763
California
Arizona
All other
35.7
15.3
17.0
358
15.0
153
14.2
924.826
1,028,580
492,030
42.0
34.8
37.5
350
13.2
13.3
35.0
13.0
3,473,446
985,459
327,916
63,089
852,259
49,437
1,016,129
56,107
59,849
4,947
40,690,000
622,180,000
*71,580,000
52,635,000
7,172,000
35.0
352
14.5
47,562
310,044
64,031
Oklahoma...
15 0
145
2,090,793
884,473
1919.
1920.
22,364
760,096
1,281,270
960,886
297,681
3,098,967
148,335,000
Missouri
The above totals show that the interior market have in¬
(Census).
22,523
830,293
1,426,146
1,659,529
15.922
713,236
2,012,220,000
555,176,000
Arkansas
Tennessee
Last year's figures are fcr
Steady
Steady
5-yr. Avge. Price per lb.
1914-18.
Dec. 1.
1919.
9,069,000
400,764,000
730,728,000
669,340,000
8,687,000
315,414,000
423,384,000
181,678,000
Texas
«6 l«40145 227.4083.896.949 216.9521S477R7
Total, 41 towns 223f4S8 3.6S4.027 170,
17.
—
Lbs. Gross Weight
1920.
19,000
840.000
1920.
So. Carolina-
16,766
Steady
Steady
Steady
Bales of 500
No. Carolina
73,218 1,085,948
Steady
Lint.
Virginia.
2,000
DAY.
Steady
Pounds
7,598
28,029
HOLI¬
—
The Crop Reporting Board of the Bureau of Crop Estimates of the United
States Department of Agriculture estimates, from the reports of the corre¬
spondents and agents of the Bureau, that the total production of cotton in
the United States for the season 1920-21 will amount to 6,213,262,000 lbs.
(not including linters), equivalent to 12,987,000 bales of 500 lbs. gross
weight (478.3 lbs. lint and 21.7 lbs. bagging and ties estimated per 500 lbs.
gross weight bale).
The estimated production for 1920, with compari¬
sons, by States, follows:
2,160
20,800
14.55
14.30-40
14.60-.61 14.84-.87 14.58-.61
14.70-.81 15.04-.07 14.80 —
14.96-.98 15.16-.18 14.92-.93
15-02-.08 15.21 — 14.96-.00
14.85 — 15.04-.05 14.85 —
14.23-.32
14.45-.48
—
Friday,
16. Dec.
AGRICULTURAL DEPARTMENT'S COTTON CROP
issued by the Agri¬
cultural Department on Dec. 13, is as follows:
70
70
908
14.20
—
14.69-.70
14.77-.80
15.00
15. Dec.
ESTIMATE.—The report on cotton,
1,296
4,175
12,900
14.10
Steady
Spot
Options......
5,545
75
63,821 328,852
4,813 21,731
....
State—
9,137
82,440 1,580,406
55,419
3,403
October
17.8
41.9
Tone—
3,857
27,004
800
Houston
—
1,338
1,006
1,000
Paris
May
July
552
-
Dallas..
..
—
March
33.8
12.5
14.4
14. Dec.
13. Dec.
11. Dec.
14.76-.78
14.96-.98
15.16-.20
15.35-.3 7
15.45-.47
15.36 —
1C.110
700
Olarksville
January
35,362 269,073
653
-
-
357
19,424
64,748
■
-
-
20,262
-
2,773
86,952
Brenbam
1,354
28,663
14,035
----
1,273
------
36,500
------
-
2,529
~2, 667
170
Tex., Abilene..
1,000
6,588
48,317
December—
31.3
. .
15.4
Tuesday, Wed'day, Thursd'y,
Saturday, Monday,
Dec.
12.0
week have been as follows:
the past
markets for
1919.
Feet.
13.4
the New Orleans cotton
quotations for leading contracts in
4,634
Dec. 19
y:v
CONTRACT MARKET.—The closing
NEW ORLEANS
19.
63
53
..
Receipts.
Stocks
Week.
Season.
Week.
Ship¬
ments.
Ship¬
ments.
Receipts.
Towns.
19 1919.
17 1920.
Feet.
4.8
of gauge.
of gauge.
of gauge.
of gauge.
Above zer oof gauge.
Above zero
....Above zero
Above zero
Above zero
Memphis
Movement to Dec.
17 1920.
Dec.
*
New Orleans
Movement to Dec.
[VOL. 111.
CHRONICLE
THE
2438
33.5
36.4
13.5
340
10.5
300
300
352
43.0
51.0
14.0
35 6
24,792
12,423,917
last year.
*
MOVEMENT
OVERLAND
SINCE AUG. 1.—We
overland movement for
THE
FOR
WEEK AND
give below a statement showing the
the week and since Aug. 1, as made
from telegraphic reports Friday night.
up
the week and since
The results for
Aug. 1 in the last two years are as follows:
-
-1919-
1920
Since
Since
December 17—
Week.
Shipped—
Aug.
Week.
Aug. 1.
028,663
0341,541
17,489
-16,343
155
8,254
2,896
41,843
1.
Via Louisville
847
2.,842
6200,788
93,321
6,453
23,414
Via Virginia points..'..
Via other routes, &c
2,816
8,947
43,467
90,829
2,315
15,445
71,996
148,675
46,083
458,272
66,963
828,652
Y., Boston, &c___ 4,279
6,501
44,031
7,761
a71,295
2,766
7,231
11,574
123,087
12,440
222, Q65
Leaving total net overland*
..34,509
335,185
54,523
*
cli
"
--.
.
Including movement by rail to Canada,
a Revised.
6 21,404 bales added as revision since Aug. 1.
606,587
...25,168
Via St. Louis
5,463
Via Mounds, &c
Via Rock Island
Total gross overland
Included in "All other "
The total production in 1919 was 11,420,763 bales (500 lbs. gross), in 1918,
12,040,532 bales; in 1917, 11,302,375 bales; in 1916, 11,449,930 oales; jn
1915, 11,191,820 bales; in 1914, 16,134,930 bales, and in 1913, 14,156,486
Including
some
in Mexico,
grown
a
bales.
The average weight per running bale is estimated at 506.9 lbs. gross,
compared with 504.2 lbs. in 1919 (as reported by the Bureau of the Census),
505.6 lbs. in 1918, 502.4 lbs. in 1917 and 506.2 lbs., the average for the
preceding five years.
Reports of the Bureau of Crop Estimates do not include linters, which are
a product obtained at mills from the seed.
The production of linters is
about 8 3% as much as the lint production, average 1914-18.
COTTON CONSUMPTION AND OVERLAND MOVE¬
DEC.
MENT TO
crop
1.—Below
we
present
a
synopsis of the
movement for the month of November
and the four
months ended Nov. 30 for three years:
Deduct Shipments
Overland
to N.
794
Between interior towns
Inland, &c., from South
Total to be deducted
88,428'
34,850
98,787
2,443
The
foregoing shows the week's net overland movement
bales for the week last
year, and that for the season to date the aggregate net
overland exhibits a decrease from a year ago of 271,402 bales.
has been 34,509 bales, against 54,523
-1919-
-1920In
Since
Since
Sight and Spinners'
Takings.
Week.
Total marketed...
Interior stocks in excess
Came into sight during week
Total in sight Dec. 17
_
_
Aug. 1.
335,185
50,000
1,302,000
228,361
54,523
73,000
3,392,954
606,587
1,375,000
274,151
53,422
Southern consumption to Dec. 17a
Week.
3,110,907
34,509
Net overland to Dec. 17
Aug. 1.
189,642
Receipts at ports to Dec. 17
4,748,092
780,204
355,884
10,456
.327,573
5,920,261
5,528,296
Week—
Bales.
326,328
286,627
292,182
1916—Dec. 22
1,270,452
1918—Dec.
1917—Dec.
21
1916—Dec. 22
TELEGRAPH.—Reports to
us by telegraph this evening from the South indicate that
while rain has fallen in most localities during the week, the
^precipitation has been light as a rule.
Thermometer
Rain. Rainfall,
Abilene, Texas
dry
1 day
0.04 in.
dry
Dallas
Corpus Christi
1 day
0.06 in.
Palestine
1 day
0.08 in.
0.01 in.
dry
0.20 in.
San
Del
1 day
Antonio
Rio
Galveston
...
2 day
New Orleans, La
3 days
4.72 in.
Shreveport
Vicksburg
Selma, Ala
Mobile, Ala
Savannah, Ga
Charlotte, N. C_
1 day
0.06 in.
3 days
3 days
3.50 in.
3.79 in.
2 days
2 days
0.27 in.
0.47 in.
high
high
high
high
high
high
high
76
74
low 30
mean
53
low 38
mean
56
76
low 36
mean
56
82
62
low 42
mean
78
low 36
mean
56
84
low 34
mean
59
__
low 28
high 70
high
high 71
__
high
high
high
high
high
71
66
69
71
64
on
Nov. 30
Northern spinners' takings to Dec. 1
Southern consumption to Dec. 1
Overland
to
Canada
for
4
months
mean
__
low 40
mean
55
low
mean
58
low 38
mean
mean
55
low 30
mean
48
2,086,801
353,971
1,349,374
1,423,057
785,759
1,411,000
47,903
73,111
1,395",253
1,970,803
4,706,930 4,864,565 4,711,077
7,352,987 6,891,557
12,217,552 11,602,634
1,741",5l0
balance of season
Average gross weight of bales
Average net weight of bales
603.323
519.50
494.50
-
513.32
488.32
506.05
481.05
WORLD'S SUPPLY AND TAKINGS OF COTTON.—
comprehensive statement indicates
glance the world's supply of cotton for the week and
since Aug. 1 for the last two seasons, from all sources from
which statistics are obtainable; also the takings, or amounts
at
a
of sight, for the like
Cotton
Week
period.
Season.
Week.
Visible supply Dec. 10
Visible supply Aug. 1
American in sight to Dec. 17
Bombay receipts to Dec. 16
Other India
1919.
1920.
Takings.
and
ship'ts to Dec. 16__
Alexandria receipts to Dec. 15-Other supply to Dec. 15*
Season.
Week.
6,212,108
4",792",018
4,956",257
327,573
&40,000
62,000
640,000
65,000
Season.
5,705,526
5,528,296
351,000
105,000
292,000
96,000
366", 340
72,000
11,000
38,000
3,000
5,920,261
613,000
135,000
489.000
83,000
6,626,681 11,328,553 6,195,866 12,032,279
Total supply
Deduct—
6,356,982
Visible supply Dec. 17
Total takings to Dec. 17_a
Of which American
Of which other
269,699
179,699
90,000
6,356,982 5,772,490
5,772,490
423,376
363,376
6,359,789
4,586,789
1,673,000
4,971,571
3,791,571
1,180,000
60,000
55
low 38
307,790
713,628
274,930
573,276
(in¬
Amount of crop in sight Nov. 30
Came in sight
Total crop
1918.
359,158
656,822
240,084
471,575
1,227,990
2,733,080
985,706
2,054,747
1,505,139
966,303
1,169,000
cluded in net overland)
Burnt North and South in 4 months
Came in sight during November
Bales.
5,514,220
6,735,900
8,181,373
20..
WEATHER REPORTS BY
Brownsville
Exports in November
Exports in 4 months
gone out
years:
Since Aug. 1—
...
The following brief but
366,340
sight in previous
1918—Dec. 20
1917—Dec. 21
Net overland for 4 months..
Port receipts in November
Port receipts for 4 months
Port stocks
1919.
177,902
363,929
136,993
260,510
1,059,512
2,631,420
719,601
1,731,805
1,374,227
560,973
1,165,000
51,168
Gross overland for 4 months
Net overland for November
5,374,541
545,720
North, spinn's'takings to Dec. 17. 33,647
678,404
92,578
a These figures are consumption; takings not available.
Movement into
1920.
bales.
Gross overland for November
low 44
mean
low 39
mean
55
low 33
mean
48
56
estimated consumption by Southern mills,
1,302,000 bales in 1920 and 1,375,000 bales in 1919—takings not being
available—and the aggregate amounts taken by Northern and foreign
spinners, 3,669,571 bales in 1920 and 4,884,789 bales in 1919, of which
2,489,571 bales and 3,211,789 bales American,
b Estimated.
a
This
embraces
the
total
Dec. 18
BO
MBAY
the
MOVEMENT.—The receipts of
Bombay for the week ending Nov. 25 and for
from Aug. 1 for three years have been as follows:
season
at
1918.
1919.
1920.
Week.
Since
Since
Since
at—
Week.
Aug. 1.
Week.
Aug. 1,
New
as
York, as furnished by Lambert & Burrows, Inc.,
follows, quotations being in cents per pound:
Liverpool, ,[email protected].
Manchester, [email protected].
Antwerp, 85c.
Ghent, via Antwerp, 85c.
Nop. 25.
Receipts
COTTON FREIGHTS.—Current rates for cotton from
COTTON
India cotton
Havre,
Aug. 1.
37 000
64,00(
299.OCX)
415.00C
For the Week.
356.000
41.000
Since August
Great
Conti¬
JapanA
Britain.
nent.
China.
Great
Britain.
Total.
Conti¬
nent.
&
Japan
Trieste, 1.50c. asked.
Flume, 1.50c. asked.
Bremen,
Total.
China.
Reval.
Christlania, 1.50c. asked.
■
_
,
Nov. 26.
,
Sales,
33,000
33,000
13,000
183,000
93,000
289.000
16~000
56,000
74,000
17,000
144,000
431,000
592,000
54,000
54,000
108,000
1,000
2,000
3,000
6.000
54,000
38,000
6.00C
5,000
14,000
12,000
42,000
53,000
98,000
107,000
1,000
35,000
36,000
19,000
237,000
131,000
387,000
22.000
61,000
88,000
29,000
186,000
484,000
699,000
54,000
"i'ooo
1919.
54,000
108,000
1918
•Other India*
1920
*
"3~,6oo
1919
1918—
^fl¬
"
5",000
ung—
1918—
No
Libau.
Riga.
18,000
American
14.000
—
Actual
export
Forwarded
Total
5,000
53,000
874,000
507,000
96,000
87,000
263,000
200,000
stock
Of which American
Total imports for the week
Of which American
Amount afloat
Of which American
Dec. 3.
Dec. 10.
23.000
15,000
5.000
53,000
888,000
516,000
81,000
62,000
293,000
244,000
Dec. 17.
16,000
14,000
7,000
53,000
904,000
533,000
78,000
59,000
307,000
240,000
17,000
11.000
8,000
47,000
937,000
562,000
87,000
64,000
The tone of the
Total all—
*
Danzig.
.
Sales of the we^k
Bombay—
1920
1.50c.
Hamburg.
Shanghai, 1.25c.
Bombay, 2.25c. asked.
1.25c.
1.50c. asked.
Gothenburg,
Lisbon, 1.50c. asked.
Oporto, 1.50c. asked.
Barcelona, direct, 1.50c.
Japan, 1.25c.
,50c.
are
Vladivostok, i.zoc.
LIVERPOOL.- By cable from Liverpool we have the fol¬
lowing statement of the week's sales, stocks, &c., at that port:
1.
Exports
from,—
Stockholm, 1.50c. asked
Rotterdam, 1.00c. ashed.
Genoa,
Bombay
3439
CHRONICLE
THE
1920.]
figures
for
Liverpool market for spots and futures
day of the past week and the daily closing prices of
each
spot cotton have been
follows:
as
1918.
OF
Spot.
COTTON.—The following are the receipts and shipments for
Market,
ALEXANDRIA
the week
RECEIPTS
SHIPMENTS
AND
ending Nov. 12 and for the corresponding week
previous years:
of the two
Saturday.
12 15
Mod rat
-
P. M.
1918.
1919.
1920.
C
10.21
10.41
10.67
10.58
4,000
6,000
4,000
Market,
Week. Aug.
Liverpool
To Manchester, &c
To Continent and India.
To America
1.
Week. Aug.
78,113
39,864
30,589
11,792
6,755
6,460
1,060
25,430
3,000 135,849
19,932
4,500 63,793
900
41,041
31,313
8,283 20,500 74,844
5",332
1.
Easy at
x-7-
4
P.
The
5,332
28,900 315,527
84,958
14,275 160,358
MANCHESTER
MARKET.—Our
Dec.
Dec.
12M
17.
ings, Common
Mid.
to Finest.
32s Cop
Upl's
Twist.
Mon.
d.
a.
s.
d.
Mid.
to Finest.
Upl's
Twist.
d.
d.
d.
d.
s.
d.
s.
22
32
@
38
27
6
@30 0
15.73 45
@
49 H 27
9
29
10@32
@32
9
12H
12M
8
Wed.
Tues.
1234
4
1234
at
7@16 pts.
decline.
are
given
Thurs.
12 M
4
p. m.p, m. p. m. p. m. p. m. p. m. p. m. p. m
d
d.
d.
d.
d.
d.
Fri.
12 34
4
p. m. p. m. p. m. p. m.
d.
d.
4
d.
d.
d.
11.25 10.52 10.46 10.40 10.66 10.83 10.92 10.98 10.83 10.82
11.2, 10.58 10.5
...
February
10.48 10.73 10.90 11.01 1L08 10 93 10.96
11.33 10.63 10.60 10.53 10.79 10.95 11.01 11.14 10 99 11.02
..
HOLI¬
11.37 10.68 10.65 10.58 10.87 11.02 11.13 11.21 11.08 11.10
DAY.
March
April
May
11.36 10.70 10.68 10.62 10.91 11.05 11.16 11.24 11.12 11.13
11.35 10.71 10.72 10.65 10.95 11.10 11.21 11.27 11.18 11.17
June
11.32 10.70 10.72 10.67 10.96 11.10 11.21 11.28 11.20 11.18
—
July
11.30 10.69 10.72 10.69 10.97 11.11 11.22 11.29 11.23 11.20
August
11.22 10.63 10.67 10.63 10.91 11.04 11.16 11.24 11.18 11.15
11.13 10.58 10.63 10.59 10.84 10.98 11.09 11.17 11.11 11.10
-
11.04 11.53 10.58 10.54 10.79 10.93 11.03 11.12 11.06 11 05
...
in.0b 10.50 10.55 10.51 in. 7fi 10.90 11.00 11.09 11.03 11.02
_
MEMPHIS COTTON EXCHANGE CROP ESTIMATE.
—The
d.
Quiet
15@20
pts. adv.
adv.
Cot'n
814, lbs. Shirt¬
ings, Common
32s Cop
Steady at
39@45
pts.
December..
November
Cot'n
Steady at
January
October
1919.
8H lbs. Shirt¬
adv.
at
11
to
September
1920.
pt.
advance.
prices of futures at Liverpool for each day
d.
received by
to-night from Manchester states that the market is
weak for both yarns and cloths.
The demand for both
yarn and cloth is poor.
We give prices for to-day below and
leave those for previous weeks of this and last year for
oomparison:
report
1
2@9 pts.
below:
211,993 cantars and the foreign shipments 5,332 bales.
cable
12
pts. dec. tc
dec.
Dts.
Quiet
Quiet at
7@13
adv.
pts.
dec.
Steady,
47@81
M.
Sat.
Total exports.
Note.—A cantar is 99 lbs.
Egyptian bales weigh about 750 lbs.
This statement shows that the receipts for the week ending Nov. 24 were
pt".
pta. dec.
29@36
1@10
dvC.
Dt8,
Quiet at
Quiet at
11@15
[
opened
Since
Since
Week. Aug. 1.
Since
d.
Quiet.
3,000
Quet at
Market
242,099
2,252,217
300,000
2,709,013
211,993
1,508,165
Exports {bales)—
•Oct.
Mere
demand.
DAY.
Futures.
week
Since Aug. 1
To
Friday.
6,000
HOLI¬
| Nov. 24,
J
Quiet.
Thursday.
11.00
Sales.....
Receipts (cantars)—
This
Dull.
■
Wednesday.
demand.
Mid.Upl'ds
Alexandria, Egypt,
Tuesday.
Monday.
d.
22.68
32>*
@
40 H 26
6
@29 6
16.55 45
@
60
27
5
35
@
40
26 6
@29 6
15.55 46
@
52
30 0
@34
6
25.50
@35
0
24.93
10^ 24.25
Nov.
12
32
@
37
26
@29 0
14.56 48 H
@
52
30
6
19
29
@
35
25 0
@27 6
12.41 47 H
@
54 H 30
6
@35
6
2814
@
33H 24 0
@26 6
11.23
48H
@
55 K 30
6
@35 6
25
@
30
22
6
@24 6
10.46 49 X
@
57
31
0
@30
0
24
@
29
21
6
@23 6
11.42 50 H
@
59
34
0.
@38
0
24
@
29
21
0
@23 0
10.58 52
@
61H 35 0
@39
0
26.1
the
Memphis Cotton
not
nearest estimate to general average, 12,420,000.
highest estimate, 13,675,000;
25.9o
17
of
12,458,273;
11,000,000;
linters
25.47
10
members
lowest estimate,
24.58
3
the
of
to the actual growth of cotton crop of 1920-21,
included:
General average of 122 estimates,
as
23 75
26
estimate
Exchange
6
BREADSTUFFS
Dec.
SHIPPING NEWS.—As shown
previous, page, the
-exports of cotton from the United States the past week have
reached 121,935 bales.
The shipments in detail as made
up from mail and telegraphic returns, are as follows:
on
a
•'
NEW YORK—To Hamburg—Dec. 15—Mongolia, 213.
To Piraeus—Dec. 14—River Orontes, 1,125
To
—
Bales.
213
1,125
Japan—Dec. 13—Ceylon Maru, 40.
40
•GALVESTON—To Liverpool—Dec. 11—Bassam, 9,893
—I
9,893
To Manchester—Dec. 11—Asuncion de Larrinaga, 12,914
12,914
To Bremen—Dec. 11—Isolde, 2,354--.Dec. 15—-Cardiganshire,
13,093: Holmburg, 5,140
20,587
To Hamburg—Dec. 11—Isolde, 150...150
-
_
—
—
To
Antwerp—Dec. 10—Skipton Castle, 1,650---Dec. 15—
Peekskill, 1,325.
To Ghent—Dec, 10—Skipton Castle, 4,108—.Dec. 15—Peekskill, 765
—
-
To Barcelona—Dec.
&—Mar Caspio,
9,181
11—Gonzaga, 5,970
1.5—Cardiganshire, 1,235
-
—
To Rotterdam—Dec.
—
"TEXAS CITY—To Mexico—Nov.
3,300
NEW ORLEANS—To Liverpool—Dec. 15—New Columbia, 12.260
To Manchester—Dec. 10—WestErrai, 5,099
To
Gothenburg—Dec. 10—Bogstad, 615
To Malmo—Dec. 10—Bogstad, 200
To Mexico—Dec. 15—Lake Dancey, 1,272—
To Cuba—Dec. 15—Morganza, 42
To Japan—Dec.
4,873
Dec. 10—Clark
Mills, 9,190._
To Genoa—Dec.
2,975
15—Kentucky, 13,726
18,371
5,970
1,235
3,300
12,260
5,099
615
200
1,272
_
42
13,726
4,000
—
WILMINGTON—To Bremen—Dec. 15—Mar Tirreno, 4,000
BALTIMORE—To Hamburg—Dec. 3—Wauconda, 200
To Barcelona—Nov. 30—West Lashaway, 200.
SAN FRANCISCO—To China—Dec. 11—Venezuela, 100—
SEATTLE—To Japan—Dec. 10—KashimaMaru, 1,100
TACOMA—To Japan—Dec. 11—Manila Maru, 1,475
—
—
—
200
200
100
1,100
1,475
121,935
The particulars of the foregoing shipments for the week,
arranged in
our
Great
Britain,
New
usual form,
Germany.
York
as
1,125
200
9,083
____
13,726
4,000
400
100
1.100
„„
1,100
1,475
1,475
40,166 25,150
18,571
9,898
7,095
16,441
4,614
121,935
been
dull
as
Some advance
ever.
impression in the flour trade.
in wheat
The fluctuations
eiratic, and often so violent that buyers are
They seem skeptical as to the stability of
wheat prices.
And most other commodities are declining.
Why, it is asked, should flour be exempt?
On the other
hand, trade has been quiet so long that it suggests that
stocks throughout the country have become reduced.
More¬
over, should the general business situation in this country
brighten, it would, no doubt, be the signal for better times
in the flour trade, especially if it should turn out that
America has been overexporting wheat as 3ome believe she
has.
Later in the week rising wheat prices gave flour for the
time a steadier tone, but buyers held off and on the 15th
inst. came a drop in wheat of 5 to 6 cent3.
It was the old
story.
To-day's advance in wheat had a tendency to steady
flour prices, but trade remained for the most part quiet.
Minneapolis wired Dec. 13: "Flour millers have made an¬
other sharp cut in products, registering new low levels.
All
grades of wheat flour are off 80c. a barrel to $8 70."
Wheat advanced 10 cents and" then reacted 5e. by the
in wheat
are
so
still hesitant.
Large export buying put up prices.
And the
passed the bill reviving the War Finance Corpora¬
This had a noticeable effect.
The value of the
15th inst.
Senate has
tion.
country's various crops including wheat and other grain is
$5,000,000,000 less than last year, i. e., from $14,087,995,000 last year to $9,148,419,000 this year.
With wheat
down far below what it was and retail prices still up and the
cost
of
living therefore high the fanner demands relief of
To further his market in foreign parts would of
help greatly.
American exports are of course far
sort.
course
Total.
1,378
76,968
3,300
33,214
100
Tacoma
Total
3,300
1,314
200
Francisco
^Seattle
40
5,970
815
made little
some
Europe- Jap. A Mex.
Spain. North. South. China. & Cuba.
213
Baltimore
follows:
-Oth.
Galveston.__-22,807 20,737 18,371
Texas City...
New Orleans. 17,359
Wilmington..
4,000
San
are
Friday Night, Dec. 18 1920.
has
Flour
ahead of those of
a
year ago.
Some
even
take the ground
country has already over-exported »and will feel
the fact later on.
But parts of Europe are said to be starving
and what is to be done?* On the 13th instant and 14th
that
this
stated at 1,250,000 bushels
Germany, Spain, Portugal,
and Italy.
Belgium bought 120,000 bushels of Manitoba.
Severe storms at the West interfered with ordinary trading
instant the sales for export were
It was taken by Belgium,
in all.
THE
2440
CHRONICLE
The rally in stocks on the 14th instant
wheat and on the loth
money fell to 6%.
Stress is laid on the strong statistical
position.
An increase of 5,304,000 bushels in the visible
supply had little or no effect.
The gains were largely at
Buffalo and were believed to include large quantities of
Canadian wheat in transit for Europe.. The reports from the
West to the effect that progress has been made in the organi¬
zation of the export corporation with a capital of $100,000,000 and a potential credit of $1,000,000,000 had a good
effect.
There were reports of further heavy rains in Aus¬
tralia and London reported that Danish mills are overstocked
with native wheat, which is rapidly deteriorating under
humid weather conditions.
Meanwhile the visible supply
early in the week.
had
a
more
less bracing effect on
or
in the United States
after
increase of
5,000,000
bushels is still only 48,411,000 bushels against 84,684,000
a
even
an
The U.S. Government report of Dec. 14 stated the winter
at 580,513,000 bushels,
crop
for five
against
as
an
average
1914 to 1918 of 563,498,000 bushels.
The spring wheat crop is 209,365,OCX) bushels, against an
average
for five years of 258,748,000 bushels.
Total,
789,878,000 bushels, against 934,265,000 bushels in 1919.
This is an increase this year over the earlier estimates of
39,230,000 bushels.
It means an addition to the exportable
surplus of nearly 40,000,000 bushels.
This caused selling
and
years
from
decline of 6 to 7 cents at the time.
a
supply is 32,474,000 bushels, against
year ago.
The cash demand, more¬
Country offerings, too, have latterly
been on a fair scale.
Speculation is not brisk.
What
there is is largely monopolized by wheat and to some extent
by corn.
The speculative public is paying no great atten¬
tion to oats.
To-day prices were higher, but end irregular
for the week; i. e., December up a trifle and May lower.
14,846,000 bushels a
over, has been small.
DAILY
CLOSING
PRICES
Broomhall cabled
from
Liverpool: "It must be admitted that the economic
position in Europe is bad, but there are encouraging signs
of improvement in the situation unless the Bolshevik wave
stops production.
The European living standard, especially
as regards bread, at the present time is distinctly below that
of pre-war days.
In consequence wheat requirements are
naturally reduced, owing to the large use of substitutes, and
this fact should tend to keep down the price of wheat, while
on the other hand, the world's supply of other grains is too
abundant for dearness.
The British Government is seriously
bent on decontrolling millers in the United Kingdom in
February.
In addition, the Government also wishes to
disband the Wheat Commission at the earliest possible date.
Officials are now conferring with traders to arrive at a
No. 2 white.
—
64
.
operandum."
Reports from Argentine indicate the 1921 grain crop will
exceed that of 1920 and 1919, but the amount available for
export will be reduced on account of small carryover.
To¬
day's Government report put the condition of winter wheat
just planted at 87.9% against 85.2% last year, 98.6% in
1918 and 79.3% in 1917; acreage sown 40,605,000 against
41,757,000 last year, 50,489,000 two years ago and 42,301,000
in 1917-18.
The ten-year average condition for December is
88.4%, so that the present condition is .5 of 1% under it,
or, to all intents and purposes, equal to
that average.
Trading in May wheat began on the 15th inst. in Chicago.
Export sales of late have been large.
To-day prices advanced
6c. and end 6@,10c. higher for the week.
CLOSING
PRICES
OF
WHEAT
Sat.
No. 2 red
DAILY
PRICES
OF
______
191%
Tues.
170%
164%
168%
161%
159
__
/
....
cts.
Thurs.
191
Fri.
DAILY
CLOSING
PRICES
Wed.
165if 164%
158%
152%
158
152%
RYE
62
62
62
IN CHICAGO.
Wed. Thurs.
Fri.
45%
47%
The
FUTURES
Mon.
following
45
46
47
48%
157
143
Oats—
No. 2 red
No. 1
No. 1
No. 2 white
52 02
Nominal
spring
62
62
No. 3 white
Corn—
No. 2 yellow
10 98%
No. 2
61
...
BarleyFeeding
Malting
Rye—
1 77
89(3
...
....
95
99(2 108
FLOUR.
$9 25
$8 75®
Spring patents.
Winter straights, soft
8 25®
Hard winter straights
8 75®
Clear
9 00
9 25
7 25®
8 50®
Rye flour
7 75
9 25
Barley goods—Portage barley:
No. 1
$6 75
Nos. 2,3 and 4 pearl
7 00
Nos. 2-0 and 3-0...
6 75®
Nos. 4-0 and 5-0—
Oats
Corn goods, 100 lbs.:
Yellow meal
2 25@:
2 40©:
Corn flour..
50
6 90
7 00
goods—Carload
spot delivery......
6180
60
The statement of the movement of breadstuffs to market
indicated below
prepared by us from figures collected by
Exchange.
The receipts at Western
lake and river ports for the week ending last Saturday and
since Aug. 1 for each of the last three years have been:
are
the New York Produce
Flour.
Receipts at-
Corn.
Wheat.
889,000
.
Oats.
224,000
1,099,000
379,000
605,000
102,000
100,000
201,000
204,000
157.000
274,000
33,000
291,000
37,000
1,640,000
Milwaukee-..
Rye.
Barley.
bush. 32 lbs. bush ASlbs. bvsh.5Qlbs.
992,000
1,792,000
181,000
-----
Duluth
164%
158%
increasing
152%
137%
GRAIN.
Wheat—
Detroit. _...v
the slowness of the cash business and indica¬
CHICAGO.
Thurs.
Fri.
152%
138%
155%
143%
closing quotations:
are
Toledo
was
IN
Wed.
Tues.
...cts.154% 154
140
142
May delivery..
170
crop movement soon, notably from
of Illinois.
The visible supply decreased
last week 158,000 bushels against an increase in the same week
and
OF
Sat.
December delivery..
Minneapolis.
CHICAGO.
Thurs.
Fri.
rainy.
That fact indeed counted for
more at that time than
anything else, as delaying marketing.
Some 50,000 bushels were taken for export early in the week.
The trouble on the other hand has been the
depression in
Iowa
47%
50%
62
62
Rye advanced partly in response to the rise in wheat.
Besides exporters bought and the cash position was firm.
On the 14th inst. the Government crop estimate was 69,318,000 bushels, or 8,500,000 less than the preliminary estimate.
Nevertheless prices dropped on that day 23^ to 5 cents, in
sympathy with other grain.
Cash premiums here, however
remained firm at that time, braced by export sales of about
150,000 bushels.
The barley crop is put at 202,024,000
bushels.
The Government report to-day puts the condition
of rye at 90.5% against 89.8% last year, 89% in 1918,
84.1% in 1917 and 91.2% as the ten-year average, so that
the present condition is only 1.7th of 1% under that average.
An unofficial estimate of the rye crop based on the present
condition is 68,000,000 bushels, against 69,318,000 last
season, 88,909,000 two years ago, and 91,041,000 in 1917-18.
To-day prices rose and end 4 to 5c. higher for the week.
Chicago
202
IN
advanced though acting rather cool towards
the rise in wheat.
Still cash interests at the West did buy.
So did December shorts.
Besides, the weather at the West
Wall Street,
tions of an
Fri.
Thurs.
62
Tues.
46%
49%
YORK.
Wed.
64
Mon.
46%
49%
bbls.imbs. bush. 60 lbs. bush. 56 lbs
corn
early in the week
64
Sat.
December delivery
May delivery
295,000
99,000
258,000
58,000
63,000
42,000
69,000
48,000
839,000
112,000
'
St.
Louis.
334,000
468,000
43,000
92,000
19,000
326,000
188,000
29,000
30,000
1,317,000
114,000
58,000
412,000
Peoria
Indian
NEW
DAILY CLOSING PRICES OF OATS FUTURES
YORK.
Wed.
199%
FUTURES
Mon.
cts.165
delivery
May delivery
Tues.
194%
WHEAT
Sat.
December delivery
March
NEW
Mon.
__cts.l89
_
CLOSING
IN
IN
Mon. .Tues.
64
64
64
modus
DAILY
OATS
OF
Sat.
No. 1 white
over
year ago.
wheat
visible
The
cents.
[VOL. 111.
125,000
123,000
62,000
49,000
...
Kansas City..
Omaha
19,000
686,000
120,000
8,511,000
3,085,000
2.839,000
Indianapolis..
Total wk.
'20
Same wk.
'19
Same
'18
325,000
424,000
428,000
1,263,000
636,000
5,787,000
4,795,000
2,762,000
573,000
399,000
13,053,000
5,711,000
7,146,000
2,250,000
1,618,000
5,116,000 173,183,000
wk.
61,286,000
Since Aug. 1—
1920
1919
9,097.000 253,118,000
1918
parts
...
Total
^
6,935,000 291 ,964,000
92,915,000 20,678,000 15,220,000
63,470,000 98,748,000 35,214,000 14,593,000
88,891,000 149,145,000 32,107,000 19,229,000
receipts of flour and grain at the seaboard ports for
the week ended Dec. 11
1920 follow:
last year of 272,000 bushels.
But the total is still 4,439,000
1,903,000 last year.
If there is to be a
bushels, against
larger crop movement with trade slow, it looks as though
prices may have to decline.
The Government report puts
the crop at 3,232,367,000 bushels.
This is a high record
yield, and'on the 14th inst., when the estimate appeared,
prices fell 3 to 33^ cents.
New cash corn on that day was
2 to 5 cents lower at
Chicago and in some cases old corn fell
8
The cash trade has dwindled to almost nothing
cents._
for the time
being.
To-day prices advanced and ended 1
higher for the week on December and
lower for May.
DAILY
_
CLOSING PRICES
---cts.
DAILY CLOSING PRICES
Mon.
98%
101%
OF CORN
Sat.
_
December delivery
cts.
May delivery
NEW YORK.
Tues.
Wed. Thurs.
68%
71%
Oats fluctuated within very
102
Tues.
97%
Thurs.
70%
71%
68%
67%
72%
69%
68
narrow
98%
Fri.
69%
71%
downward of
rise in wheat and corn and also because of
supply of 629,000 bushels, although
the decrease was 1,001,000 bushels.
There seems
year ago
be at least
a
a
fair-sized short interest.
fell off 424,000 bushels and is
Chicago's stock
now 11,411,000 bushels.
The
estimate on the 14th inst. by the Government was 1,524,055,000 bushels, or nearly 80,000,000 bushels larger
than the preliminary estimate.
It caused a drop of 2 to 2^
crop
New
Oats.
Barley.
Bushels.
Bushels.
York...
Philadelphia
Baltimore
.
_■...
56,000
3,437.000
54,000
974,000
9,000
865,000
34,000
62,000
532,000
42,000
166", 000
219,000
74,000
29,000
^Rye.
Bushels.
266,000
130,000
186,000
4.000
4,000
69*666
764,000
37,000
23", 000
1,114.000
125,000
392,000
7,618.000
143,000
Since Jan. 1 '19 13,027,000 246,176,000
19,736,000
904,000
450,000
26,840,000 10,995,000 49,811.000
150,000
3,111,000
803,000
Since Jan.1 '19 15,341,000 216.474.000 100,778,000
69,866,000 57,403,000 29,446,000
Newport News
New Orleans
a
Galveston....
Montreal
Total
wk.
'20
Ur
on
XWtVAJlj/jO
U»J
UOli
1UU1UUO
88*666
is'ooo
262*666
fc»x &IU
590,000
832,000
435,000
303,000
vXAA
through bills of lading.
The exports from
ending Dec. 11
are
the several seaboard ports for the week
shown in the annexed statement:
New York
Boston...
Wheat.
Corn.
Flour.
Oats.
Rye.
Barley.
Bushels.
Exports from—
partly in mild
decrease in the visible
to
Corn.
Bushels.
limits, paying little
the sharp movements upward or
Some advance occurred at one time,
sympathy with
a
a
Wed.
72%
regard to
wheat.
97%
Fri.
FUTURES IN CHICAGO.
Mon.
Wheat.
Bushels.
Week 1920...
OF CORN IN
Sat.
.
No. 2 yellow
.
Flour.
Barrels.
Receipts at—
Bushels.
Barrels.
Bushtls.
Bushels
Bushels
2,917,644
Peas.
Bushels
921,827 339,553
134,763 128,578
45,000
80.000
2,079,000
52*666
738,000
60,000
32,000
4,000
1,641.000
47,000
Galveston
52*666
4,000
New Orleans
43",000
8,000
1,907,000
Philadelphia
Baltimore
Newport News
Montreal
Total
215,000
week
Week 1919
163,000 183,000
36",000
25.000
110,000
10,000
66,000
149,000
91,000
427,827*833,553
9,581,644 2,977,763 259,378
18.000 512,896
4,1594,860
894,378 181.959-251.125
*5*628
Dec.
181920.]
The destination of these exports for
July 1 1920 is
CHRONICLE
THE
the week and since
many retailers
below:
as
2441
who have kept their prices up in order to
advantage of the holiday trade will be forced to cut
take
prices materially early in 1921, and that manufacturers in
Corn.
Wheat.
Flour.
turn will find it necessary to
keep prices low in view of
diminished buying power all over.
There have been many
Exports for Week
and Since
Week
•
July 1 to—
Dec.
Since
Week
Since
July 1
Dec. 11.
July 1
Dec. 11.
1919.
1926.
1920.
1920.
,
.
11
1920.
Week
>
Since
July
1
buyers in the markets this week, evidently ready to pick
odd lots when offered at low prices.
As they are buying
1920.
up
Barrels.
Kingdom. 77.905
Continent
140,894
13,579
259,378
7,102.684
So. & Cent. Amer.
15,000
West Indies
12,000
Brit.No.Am.Cols.
Other countries
Total
229,000
1,730,558
2,367,669
177,691
116,072
41,270
666,399
29,769
12,342
2,494,760
"a'ooo
3,000
39", 999
3,279",355
9,581,644 182,520,492
Total 1919....... 512,896
10,804,268
Bushels.
Bushels.
757,788
62,364,185
8,554,857 114,379,192
1,826,349
3,321,357
633,757
452,807
2,000
866,414
...
Bushels.
Bushels.
Barrels.
United
4,694,860
4,848,007
1,301,320
297,763
91,253.769
18,000
The world's
shipment of wheat and corn for the week
ending Dec. 11 1920 and since July 1 1920 and 1919 are
shown in the following:
generally for immediate shipment only, it is quite evident
that stocks in many places have been well cleaned up. The
auction of overcoatings shows that buyers expect low
prices,
and
that they can get them, some goods being secured at
prices fully 60% below the season's opening prices.
The
auction
of
difficult
1920.
1919.
Week
Dec.
Since
11.
July
Since
Since
11.
July 1.
July 1.
Bushels.
Bushels.
Bushels.
Week
Since
Dec.
July 1.
Bushels.
Bushels.
North Amer.
7,606,000 218,767,000 170,585,000
753,000
5,773,000
166,000
"635", 000
224",000
76,545,000
13,286,000
8%, mostly the latter.
1,424,000
India
Oth. countr's
280,000
Total
visible
58,909",000
l","75~0",666
the
COTTON
market
4,127.000
99,186,000
61,412,000
supply of grain, comprising the stocks in
at principal points of accumulation
seaboard ports Dec. 11 1920 was as follows:
granary
and
at lake
United States—
bush.
New York....
Boston..
Rye.
bush,
Oats.
bush.
bush.
6,017,000
....
-312,000
1,261,000
1,087,000
307,000
1,000
20,000
Barley.
bush.
259,000
...
470,000
2,265,000
40,000
276,000
29,000
10.000
Baltimore........
2,973,000
576,000
462.000
766,000
287,000
.
4,000
.......
New Orleans
4,621,000
Galveston.
127,000
3,753,000
4.907,000
_____
Buffalo
4,000
......
354,000
159,000
......
......
2,756.000
......
26,000
......
482,000
3',560.000
Toledo..
911,000
Detroit.
._....
52,000
19,000
.
31,000
...........
Chicago.......
1,497,000
afloat
121.000
565,000
Minneapolis
91.000
......
Kansas City
.....
80,000
132,000
2,506,000
11,000
St. Louis.._L.
167,000
85,000.
Indianapolis
151,000
On Lakes
______
481.000
1,001,000
Omaha
202,000
4,442,000
...
On Canal and River
Total Dec. 11
Total Dec.
1920....48,411.000
4 1920....43,107,000
13
Total Dec.
14 1918...111,255,000
1919
84,684,000
......
380,000
......
.......
993,000
101,000
117,000
2,260,000
151,000
82,000
7,380,000
872,000
1,503,000
62,000
17,000
79,000
1,359,000,
411,000
1,000
448,000
1,169,000
1,000
103,000
257,000
150,000
_.....
110.000
Total Dec.
2,000
44,000
7.963,000
317,000
Peoria
13,COO
251,000
742,000
....
916,000
4,439,000 32,474,000
3,877,000
4,597,000 33,103,000
4,320,000
1,903,000 14,846,000 17,249,000
2,477.000 28,732,000 12,659,000
14,000
......
32,000
3,800,000
3.501,000
3,018,000
6,983,000
Buffalo; total, 35S.000, against 1,050,000 bushels in 1919; barley, New York, 29,000;
Duluth. 1,000; total, 30,009 bushels, against 279,000 bushels in 1919.
Canadian—r
J
237,000
96,000
Ft. William <ft Pt. Arthur. 10,954,000
Other Canadian
Total Dec. 11
......
4,690,000
525,000
1,000
3,563,000
2,735,000
55,000
968,000
404,000
1920
15,881,000
96,000
6,823,000
1,000
1,427,000
4 1920
18,828,000
140,000
6,411,000
1,000
1,271,000
Total Dec. 13 1919.... 16,159,000
Total Dec. 14 1918....24,071.000
...1..
4.520,000
44,000
3,800,000
3,000
434,000
4,439,000 32,474,000
3,877,000
1,000
3,800,000
1,427,000
Summary—
*
American
Canadian
48,411,000
.....15,881,000
—
Total Dec. 11
1920
96,000
6,823,000
64,292,000
4,535,000 39,297,000
5,227,000
61,935,000
Total Dec. 13 1919...100,843,000
4,737,000 39,514,000
4,772,000
Total Dec.
4 1920
Total Dec. 14
1918...135,326,000
burden¬
are
some
3.878,000
4,321,000
1,903,000 19,366,000 17,293,000
2,668.000 32,532,000 12,662,000
4,152,000
7,417,000
rather
a
improvement,
slow
both
as
At the outset the tone
trading
quiet,
was
as
to
was
inquiry
demand was
said to be
of better
firmer feeling developed, especially among
Various large consumers were displaying
in
print
cloths,
sheetings,
and
other
un¬
bleached cottons, and seemed more disposed to negotiate if
reasonably
sure
that prices would be stable.
There were
large sales, but it was clear that stocks in many cases
no
ascribed
in
some
The firmer attitude of mills was
had made
quarters to claims that they
fairly large sales at
some
were
Inquiry for finished goods also
broadening tendency and the movement is evi¬
a
dently gaining steadily.
less
a
recent low prices, and hence
disposed to accept further business on such levels.
Gray goods sold in small lots early in the week for Decem¬
delivery, and later fair sales were made to
printers and others for deliveries running into March.
were
At
38^-inch, 64x60s were freely offered at 8c., but
not wanted above 7%c.
Second-hands then sold Dec.-
Jan.
goods at 7%c., but later asked 7%&
the
start
Spot Southern
goods later sold at 8c., with Eastern mills asking 9c.
were
for
generally ^c. to y2 c. lower.
Rids
Bids of 5%c. were made
generally
fu¬
tures at 91,£c.
Sheetings have been moderately active, job¬
bers being fairly steady buyers on a basis of 10c. for 4-yard
56x60s; o^c. for 32-inch 6.25s; and 12V2c. for 40-inch 48
squares.
There was limited inquiry for organdies, the 68x
56, 11 yards, being held at 11c.
There was little interest in
combed lawns, sateens, twills, or dr
ills, most of the business
going to second-hands.
A one-cent reduction in percale
prices, 12y2c. being named for 4-4 64x60s, led to little busi¬
27-inch, 64x60s for Dec.,
with
6c.
or
more
Spot sales of 68x72s were made at 91/4c. and
Sellers
ness.
think
that
future
orders
should
come
for¬
price is still too
high.
The continued delay in naming gingham prices is
hampering printers who would like to have it fixed so that
they may name final prices for spring.
ward
1.134,000
211,000
Total Dec.
interest
more
asked.
......
Note.—Bonded grain not Included above: Oats, 16,000 bushels New York, 342,000
Montreal
a
first-hand sellers.
......
..
173.000
......
147,000
Duluth
......
1,720,000 11,411,000
175,000
Milwaukee...
Later the
ber and January
365,000
"
afloat
no means
GOODS.—After
showed
although
steady,
prospect.
......
Philadelphia............
Newport News
by
small way created the belief that .larger business was
a
in
showed
Corn.
are
On the other hand,
Reports of slow collections
had been greatly reduced.
GRAIN STOCKS.
Wheat,
lots
seemed to be broadening somewhat and fairly steady buying
character and
1,812,000
8,030,000 272,198,000 301,141,000
The
91,914,000
"864",000
3,961",000
many
all industries.
generally
in
52,199,000
184,000
__
38,491,000
16,000
Argentina.
Australia
be
to
Commercial paper rates continue unchanged at 7%
start,
Russia.
Danube.....
to
other way.
any
volume of business and prices.
Bushels.
said
be liquidated and
are
1919.
1920.
1.
in
move
DOMESTIC
;
There
goods that have
stocks of the finer quality goods are
and
-'Corn,
to
heard in
Exports.
general.
more
undesirable
some.
Wheat.
sale policy to dispose of surplus goods is evidently
becoming
on
this basis, but many buyers say the
WOOLEN
GOODS.—Inactivity
has
continued
as
the
principal feature in the market for woolen goods.
There
has been a small demand to cover immediate requirements
of tricotines,
wise
there
Poiret twills, and plaid skirtings, but other¬
been no animation.
Business is seriously
has
checked by the further curtailment in the cutting trade as
result of the bad labor conditions.
Realizing that the
a
naming of lower prices would have no effect as a trade
stimulant under such abnormal conditions, mill agents have
THE DRY GOODS TRADE.
New
As usual at this
kets has
season
slow
been
shown no
show
York, Friday Night, Dec. 17 1920.
business in
rule
mar¬
the
present instance the customary pre-inventory quietude
the
week.
by the great uncertainty regarding the future.
Within the past month or more a great deal has been heard
to what is to happen
"after the turn of the year."
To
the disinterested observer there certainly seems to be suf¬
as
ficient
on
possibilities in the future to justify extreme caution
all sides.
Many arguments have been heard
prices should go still
recent sharp declines.
as
to why
lower or should advance after the
In support of the latter it is pointed
out that many
buyers have been holding aloof until "after
the turn of the
year," and that when they do start to buy
a
shortage of goods will become manifest owing to
the recent material curtailment of production.
It is argued
marked
refrained from buying
for so long that stocks in many cases have been reduced
to dangerously low levels, suggesting that when the demand
does appear it will be sufficient to absorb everything of¬
fered, and a good deal more besides.
On the other hand, it
is pointed out that the loss in buying power in the agricul¬
tural districts, owing to the sharp drop in the value of farm
that
jobbers and distributers have
products, will become much more extensive, spreading all
over the industrial centres as a result of the prospective ma¬
terial
reductions in
wages.
Hence it is
contended
that
disposition to press sales. As a consequence, prices
material change; at least, among first-hand sellers,
although lower prices have doubtless been
accepted by sec¬
ond-half holders anxious to liquidate.
was
augmented
a
during
primary textile
In
as
no
FOREIGN DRY GOODS.—Buyers of burlap have
ued decidedly
contin¬
indifferent, owing to present large accumula¬
for Decem¬
below
spot quotations.
These factors naturally encourage the be¬
lief that prices are destined to fall to still lower levels, al¬
though it is asserted that they are already below the cost
of production.
A slight interest has developed in goods for
shipment during the first half of the new year, but buyers
show no disposition to pay more than the prices quoted for
December, whereas shippers ask a slight premium.
Light
weights on spot are quoted at 4.70 to 4.90 cents, and heavies
tions, further arrivals, and the fact that prices
ber
shipment from Calcutta are nearly a quarter-cent
5.70 to
at
are
5.75 cents.
for heavies.
markets
practically dead-locked condition of linen
still in force.
Although prices have already
The
is
December shipments from Calcutta
quoted at 4.50 cents for lights and 5.50 cents
dropped
sharply, buyers still have no faith that the bottom has been
reached and generally refuse to anticipate future require¬
ments.
Hence it has been possible only to move goods from
stock, and these only when offered at a sacrifice.
In spite
of the efforts to fix minimum prices abroad, there are con¬
stant
of good flax at lower prices, more being
price-cutting among growers on the Continent.
offerings
heard of
.
THE
2442
[Vol. 111.
CHRONICLE
and Sir Adam Beck
tiwX
(Eat#
j^tate
way
~~
proposition
was
will sell certain of its properties to the Ontario HydroThe total
334.
the purchasers will be approximately $32,810,040,
this can be deducted a sinking fund of $75,040
to
cost
Va.—Commission Form of Government
Voted.-—On Dee. 7 the people of Charlottesville voted in
favor of a commission form of government.
The majority
Charlottesville,
for the
given the approval of the Ontariothe Toronto Rail¬
Electrie Commission and the City of Toronto.
ITEMS.
NEWS
are
Government and the Toronto ratepayers,
but from
existing in the railway's accounts, leaving a net purchase
price of $32,735,000.
T&£ Hydro Commission's share of the
total price will amount to $25,838,745, divided as follows:
Commission to be delivered to the Toronto Railway
aggregating $2,988,528:
$2,375,000 6% 20-year debentures, dated Dec. 1 1920, secured by a first
mortgage on Toronto & York Radial Ry. property outside the City
Debentures of Hydro
Pa.™Voters Ratify Annexation Plan.
—By a vote of nearly two to one the voters of Chartiers
Township on Dee. 14 declared for annexation to the City of
Pittsburgh.
The vote was 815 for annexation to 439
against.
The annexation of Chartiers Township will in¬
crease
the population of Pittsburgh by 5,634, add about
20 square miles of territory and raise the property value
approximately $5,116,000.
Goldsboro, N. C.—Slate Supreme Court Holds That Sale of
Bonds Below Par is Legal.—It is stated that the sale below
par of $150,000 worth of bonds by the town of Goldsboro
was validated by the State Supreme Court on Dec. 1 in an
opinion which held the Act of the 1920 special session of the
Legislature which authorized the sale below par as con¬
Chartiers Township,
The
stitutional.
Raleigh "News and Observer" says:
in the case of Pennington vs. Town of
Allen wrote the opinion of the court
Chief Justice Walter Clark and Associate Justice George Brown filed
but the same question was involved
Associate Justice W. R.
Tarboro.
while
dissenting opinions.
The
case
of Kornegay vs. Goldsboro was an action to
restrain the sale of
bonds of the city of Goldsboro at less than par.
The special session of the
General Assembly in 1920 passed an Act authorizing the sale of these bonds
at less than par within four months after the ratification of the Act.
In
accordance thereto, the bonds were sold to the Wayne National Bank at
96, with accrued interest.
Associate Justice Allen answered the objection of the plaintiff in
.
detail.
The plaintiff first set up that the special Act of the 1920 legislature was in
conflict with Article 8, Section 1, of the Constitution of the State, regulating
the chartering of corporations by special Act.
To this, the majority of the
answered
court
that
the
Section
of
the
Constitution
in
particular had
clearly to "private business corporations and does not refer to
quasi public corporations acting as Governmental agencies."
That the Act was also In conflict with Article 8, Section 4, the court
reference
public
or
denied, with the opinion that if the position of the plaintiffs that the legis¬
lature has no power except to pass general laws, the enactment of all special
laws relating to municipalities can be maintained, the General Assembly
has
no
amend its charter or to confer other
That the Act confers special privileges on one community which
power
powers.
are not
to incorporate a city,
conferred
on
another and is therefore unconstitutional, the court
the very section of the Consti7, which is quoted as authority, concludes with
exception, "but in consideration of pubhc service."
"Surely," says the court, "if this principle avails the railway and the
electric company it wall be applied in behalf of the municipal corporation an
agency of the State, created for the benefits of the public."
The plaintiffs further contended that the General Assembly in the
adoption of the municipal finance act which requires that all municipal
holds is just as untenable for the reason that
»
tution,
Article
1.
Section
this
bonds be sold at not less than par, acted with constitutional authority, and
the Wayne County Act is in conflict with the general law and should be
But the court sweeps this contention to the winds when it points
set aside.
out that such
position if it could be maintained, would withdraw from
subsequent legislatures the right to repeal or amend legislation.
The usury law which the plaintiffs held up proved no more substantial a
hindrance, for the court maintains that the sale of bonds has been dealt
with as a sale of chattels.
Likewise, the contention that the special Act
is not general in its application and that it permits the municipal corpora¬
tions of Wayne County to sell bonds at less than par when the same privilege
is not granted other localities, is not sufficient to invalidate the bond sale,
Associate Justice Allen holds.
In the court's opinion "all that is required by
the Constitution is that the Act shall apply equally to all persons within the
a
territorial limits described in the Act."
The final contention that the bonds were advertised in the News and
Observer which does not come under the classification of financial papers
as required
by the amendment to the Municipal Finance Act of the special
session, the court dismisses with this comment: "But it is admitted that this
paper in addition to publishing general news also regularly publishes news
relating to financial matters and also publishes from time to time notices of
proposed sale of municipal bonds of municipalities of North Carolina
which is sufficient compliance with the statute.
"The statute of 1920," the court's opinion concludes,
meet
.
for rake-off
by powerful combinations of capital which will be formed to
depress the price of such bonds and it is in violation of our usury law and will
inevitably force the repeal of that statue which for so long a time has been a
protection to our people: for who will lend money to a farmer, merchant,
or
any other legitimate business at 6% if such towns as Goldsboro a»*e
allowed to sell 6% tax-free bonds at from 4 to 6% below par, which privileges
will be extended to other cities by special Act and we may see the sale price
of municipal bonds brought down to a far lower figure still."
»
Characterizing the interpretation of the legislative Act as "extremely
unfortunate" Associate Justice Brown adds in his dissenting opinion that
this legislation "at one blow strikes down one of the most valuable amend¬
ments
efforts
ever
made to
of the
our
General
Constitution.
The decision
is disastrous to the
Assembly to maintain the credit of the cities and
to^s of^e^S^tgJby forbidding the sale of securities below par."
Xdaho.^—Amendment to Constitution Extending the
Debt Limitation.—The voters of Idaho
an
on
Nov. 2
State
approved
Consti¬
amendment to Section 2 of Article 8 of the State
tution.
The amendment extends the debt limitation
so
as
to
permit the State to control and promote the development
of the unused water power within, the State.
We print
Sec. 2 of Art. 8 below, giving the new matter in italics:
or
Section 2, of Article 8:
The credit of the State shall not, in any manner, be given, or loaned to,
in aid of any individual, association, municipality or corporation; nor
shall the State directly or indirectly become a stockholder in any associa¬
tion or corporation.
Provided, That the State itself may control and promote
the development of the unused water power within this State.
Highway Bonds Voted.—At the election Nov. 2 an issue
$2,000,000 bonds was voted for the purpose of construct¬
The vote on this question was 40,720
ing State highways.
for to 30,901 against.
of
Public
Ownership
of
Toronto
Railway
Properties
Planned.—Approximately $10,000,000
Municipal Bonds
Involved.—If plans completed by Sir William MacKenzie
f
the debts against the properties, aggregating
$22,850,217:
$4,335,000 5% First Mtge. bonds of the Electrical Development Co. of
Ontario, dated Mar. 1 1903, now outstanding.
$13,558,917 4M% 30-year debenture stock of Toronto Power Co., now
outstanding.
$4,103,200 5% mortgage bonds of the Toronto Power Co. maturing
July 1 1924.
$840,000 6 % 3-year promissory notes of Toronto Electric Light Co.
$13,100 outstanding shares of Electrical Development Co. of Ontario.
,
m
The City of Toronto as
Ry.
its share will deliver to the Toronto
$6,97i,295 of its 6% 20-year bonds dated Dec. 1 1920.
Further details concerning the
an
transaction will be found
Dept." of this
item in the "Railroad and Industrial
issue.
South
Dakota.—Proposed Amendment to Constitution
Defeated—The voters of South Dakota on Nov. 2 defeated
the proposed amendment to Sec. 4 of Art. 13 of the State
Constitution which would have empowered a school,district
to exceed the 5% debt limitation. (V. Ill, p. 1772.)
Washington (State of).—Result of Referendum on Sol¬
Bonds.—The voters of Washington
on Nov. 2 approved the Soldiers' Bonus Measure by a vote
of 224,356 for to 88,128 against.
The Act authorizes the
issuance of State bonds to the amount of $11,000,000 (V. 110,
diers' Bonus and Highway
1771).
p.
bonds
was
against.
The proposition to issue $30,000,000 highway
defeated by a vote of 117,425 for to 191,783
v'^-
;
Legality of Soldiers' Bonus.—It is stated that a
friendly suit has been started in the State Supreme Court to
test the legality of the Soldiers' Bonus Act.
A special dis¬
patch from Olympia to the "Oregonian," dated Nov. 30, says:
Suit to Test
"To test the legality of the Soldiers' Bonus Act adopted by referendum
general election Nov. 2, Attorney-General
Thompson to-day filed in the Supreme Court petition, or a writ of mandate
to compel State Auditor C. W. Cluasen to issue a warrant for the payment
of $1,000 from the School Fund for a bond of like denomination issued by
the State Board of Finance as administrator of the provisions of the bonus
of the voters of the State at the
Frank C. Owings
The board, as
bonds which it
was proposed to issue, and then in its capacity as custodian of the permanent
State funds, the board adopted a resolution to purchase from itself this
$1,000 bond as an investment for that amount of the State Permanent School
Fund, and ordered the State Auditor to issue a warrant for that amount.
"A third resolution was thereupon adopted accepting the offer to purchase
a $1,000 bond, the board, acting in its dual capacity, thus closing the formal
transactions necessary to bring the constitutional test of the Bonus Act.
The case, which is friendly, will be
bill.
argued Dec. 17.
retained to represent Clausen in the test case.
administrator of the bonds, offered for sale one of the $1,000
has been
The State Auditor refused to issue the warrant, and
was
then filed direct in the
Supreme Court.
petition for mandamus
Under the Act, these bonds to
the
6%
at less than par."
be issued to raise the bonus money are made legal investment for
Permanent School, Higher Education and Accident funds, will draw
interest, and cannot be sold at discount or
BOND CALLS AND REDEMPTIONS.
Cascade
__
"has been framed to
pressing emergency and is of limited duration and as we find no
Constitutional objection to its enactment, it must be sustained."
In his dissenting opinion, Chief Justice Walter Clark says:
"Not only is this special legislation authorizing the city of Goldsboro to
sell its bonds below par in violation of the
.
.
Constitution which
requires equal rights to all and special privileges to none, it is in violation of
the amendment passed for the express purpose of requiring uniform legisla¬
tion as to all municipalities, and in violation of the general Acts passed
in pursuance thereof by the Legislature of 1917, but it is a serious discrim¬
ination against other towns and cities which are required to sell their bonds
at not lass than par and tends to depress the price of all municipal bonds in
the State with great loss to the tax payers and giving unlimited opportunity
a
Dec. I 1920, guaranteed by the
Province of Toronto.
The Commission to assume
in
of Kornegay vs. Goldsboro
Tbe issue came before the court in the case
of Toronto.
$613,528 6% 20-year debentures, dated
—On
Jan. 1
CountyjfP. O. Great Falls), Mont.—Bond Call.
1 1921 $192,000 4% court-house bonds dated
1901 will be called for payment.
John E. Moran is
Jan.
County Clerk.
Dominican
(Republic
of).—Bond Call.—Arthur H.
Mayo, Lieutenant Commander (SC), U. S. N. Officer Ad¬
ministering the Affairs of the Secretaria de Estado de Ha¬
cienda y Commercio for the Military Government has issued
the following notice inviting tender of bonds:
In accordance with Executive Order 272 sealed
proposals will be received
by the Secretaria de Estado de Hacienda y Commercio until 10 a. m. of Feb
1, Mar. 1, and April 1 1921, for the purchase for retirement of bonds of the
Dominican Republic dated Jan. 1 1918, due 1938, without regard to series,
to an amount estimated at $320,000 on each of the above dates, a total for
three dates of $960,000
All proposals shall be submitted in triplicate and
specify the number of the bonds offered, the series, the par value and
authorized
containing
proposals shall appear the words "Proposals opening of" (fill in date).
Said proposals will be opened in public in the office of the undersigned on
Feb. 1, Mar. 1, and April 1 1921, unless such dates fall upon a Sunday or
legal holiday, in which case the bids will be opened on the following day.
shall
the price at which offered and shall be signed by an official duly
to act for the bidders.
Upon the outside of the sealed envelopes
Salt Lake City, Salt Lake
Lake City
County, Utah.—Bond Call.—
refunding bonds dated Jan. 1
1901, totaling $500,000, bearing 4% interest and maturing
Jan. 1 1921, is payable at the office of R. M. Young, City
The issue of Salt
Treasurer.
All holders and others interested in the bonds of this issue
are
given this advice that no delay may be experienced in
by erroneously forwarding them to New
redemption.
their redemption
York for
BOND
PROPOSALS
this week have been
as
AND
NEGOTIATIONS
follows:
SCHOOL DISTRICT (P. O. Ada), Hardin County, Ohio.—
OFFERING.—Proposals for $15,000 6% refunding bonds will be re¬
Dec. 22 by A. E. Warren, Clerk of Board of Education.
Denom. $500.
Date Jan. 1 1921Prin. and semi-ann. int. payable at
the office of the Clerk of Board of Ed.
Due Jan. 1 1926.
Cert, check for
ADA
BOND
ceived until 7 p. m.
$200 required.
„
ALACHUA COUNTY SPECIAL ROAD AND BRIDGE DISTRICT
NO. 1, Fla.—BOND SALE.—The $310,000 5H % gold bonds, which were
offered on Feb. 10—V. 110, p. 783—but then failed to receive a satisfactory
•
Dec.
181920.]
THE
CHRONICLE
bid, have been purchased by the Kauffman-Smith-Emert & Co., of St.
Louis.
Denom. $1,000.
Date Jan. 1 1920.
Prin. and semi-ann. int.
(J. & J.) payable at the U. S. Mtge. & Trust Co., N. Y.
Due yearly on
Jan. 1 as follows: $4,000, 1925;
$5,000, 1926; $6,000, 1927; $7,000, 1928
and 1929, $8,000,
1930; $9,000, 1931 to 1933, incl.; $10,000, 1934 and
1935; $11,000, 1936 and 1937; $12,000, 1938 and 1939; $13,000, 1940 and
1941;
§14,000, 1942; $15,000, 1943; $16,000, 1944; $17,000, 1945 and
1946; $18,000, 1947 and 1948; $19,000, 1949 and $20,000, 1950.
Financial Statement.
Estimated actual value of taxable
propertv
Assessed valuation of taxable
property, 1920
Total bonded indebtedness, this issue
■
_
_
___
$20,000,000
5,224,227
only.
Population, estimated, 26,000.
310,000
ALBANY, Albany County, N. Y.—BOND OFFERING.—Elmer D.
Gunn, City Comptroller, will receive bids until 11 a. m. Dec. 23 for
any
of the following
5% tax-free registered bonds:
$300,000 school
construction
bonds.
Denom.
$1,000.
Due
$15,000
yearly on Jan. 1 from 1922 to 1941, incl.
60,000 city hall impt. bonds.
Denom.
$1,000.
Due $3,000 yearly
on Jan. 1 from 1922 to
1941, incl.
19,500 public bath impt. bonds.
Denom. $1,300.
Due $1,300 yearly
on Jan. 1 from 1922 to
1936, incl.
16,200 public impt. bonds.
Denom. $1,620.
Due $1,620 yearly on
Jan. 1 from 1922 to 1931, incl.
12,000 garage site purchase bonds.
Denom. $1,000.
Due $1,000 yearly
on Jan.
1 from 1922 to 1933, incl.
-
Date Jan. 1 1921.
Prin.
payable at the City Treasurer's office; semiint. J. & J. payable by mailed checks.
Cert, check for 2% of amount
of bonds bid for, payable to Wm. J.
Brennan, City Treasurer, required.
Bonds to oe delivered on Jan.
5, or as soon thereafter as possible.
The three last-described issues will be
purchased by the Comptroller for
the sinking funds.
ann.
ALPHORETTA
SCHOOL DISTRICT (P. O. Alphoretta), Milton
issue of 6)^% school bonds amounting
$18,500 has been purchased by the Robinson-Humphrey Co. of Atlanta.
Denom. $1,000.
Date Nov. 1 1920.
Prin. and semi-ann. int. payable
in New York.
Due yearly on Nov. 1 as follows: $500 1931 and $1,000 1932
incl.
and $1,000 on
April 1 and Oct. 1 in 1930, 1931 and 1932.
check for $200, payable to H. A.
Barth, City Treasurer, required.
to
the
1949
incl.
Blount
Tenn.—BOND OFFERING.—Bids (sealed
B. Smith, City Recorder, for $25,000
6% coupon bonds until 7.30 p. m. Dec. 28.
Denom. $1,000.
Date Jan. 1 1921.
Prin. and semi-ann. int. payable in
gold, payable at the Bankers Trust Co., N. Y.
Due Jan. 1 1941.
Any
successful bidder may, at the option of the
city, be required to furnish a
certified check payable to the City of Alcoa in a sum
equal to 2% of the
amount of bonds bid for.
Bonds are registerable as to principal only.
The Bankers Trust Co. of N. Y., will
certify as to the genuineness of the
signatures of the city officials.
The prospective bidders will be furnished
without charge the approving opinion of Gordon &
Smith, attorneys of
or
County,
sewer
BARTHOLOMEW COUNTY (P. O. Columbus), Ind.—BOND SALE.
—The $35,000 4Vz% T. N. Stewart et al Rockcreek and Ilawcreek
Twp.
road bonds offered on Oct. 30 (V. Ill, p.
1585) have been purchased by
the contractor.
Due $1,750 each six months from May 15 1922 to Nov. 15
1931
incl.
BELLVILLE INDEPENDENT SCHOOL DISTRICT (P. O.
Bellville),
Austin County, Tex.—BONDS REGISTERED.—The State
Comptroller
on Dec. 6 registered $12,000
5% 5-40 year bonds.
BELTRAMI COUNTY (P. O. Bemidji), Minn.—PRICE PAID.—'The
Northern National Bank of Duluth, representing Field, Richards &
Co., of
N. Y., paid par on Dec. 8 for the $250,000
6% tax-free coupon road bonds
(V. Ill, p. 2347) which are described as follows: Denom. $1,000.
Date
Dec. 1 1920.
Prin. and semi-ann. int. (J. & D.) payable at the
Equitable
Trust Co., N. Y.
Due Dec. 1 1930.
Financial
Real valuation of taxable property
Assessed valuation
(1920)
Utah—CORRECTION.—We are advised
Mtge. Co. of Salt Lake City did not purchase an
from this city on March 20.
The item in V. 110,
p. 1553, stating
that the said bonds were sold to
mentioned company, was
evidently incorrect.
BONDS.—The $50,000 water and the $9,000 light
6% 5-20 year serial bonds, which were sold on
March 20 to the Palmer
Bond & Mortgage Co. of Salt
Lake City—V. 110, p. 1553—answer the
following description:
Denom. $1,000.
Date May 1 1920.
Int. M. & N.
CENTER SCHOOL TOWNSHIP
(P. O. Indianapolis), Marion Coun"
t5r» 1 nd.—BOND SALE.—The $95,000
6% school bonds offered on Dec. 13
.....$30,000,000
12,000,000
To^al bonded debt (including this issue)
Sinking
_.
funds.
_____
2,747,310
300,000
519,500
_____
Due $9,500 yearly on Dec. 15 from 1921 to 1930, incl.
the bidders:
Merchants Nat'l Bank..$96,117.80
Fletcher Savings & Trust
F. Wild &
Co., Indian. 96,027.00
Co.,
Indianapolis
$95,226.53
Meyer-Kiser Bk, Ind
95,810 25 Peoples State Bank
95,210.00
CHANDLER
SCHOOL
DISTRICTS
which
were
voted
on
tion:
BERKELEY HIGH SCHOOL DISTRICT, Alameda
County, Calif.—
AWARDED IN PART—Of the $492,000
5% school bonds,
offered without success on Aug. 9—V. Ill, p. 911—$218,000 have
been
disposed of, it is reported.
BONDS
OF BONDS
Nov. 6—V. Ill, p. 2064
DRAINAGE
DISTRICT
NO.
1,
Forsyth
semi-annually.
Due in 20 years.
COEUR
D'ALENE,
Kootenai
Dec.
County,
SALE.—On
Ida.—BOND
13 the $9,000 municipal bonds—V.
Ill, p. 2347—were awarded at
for 6s as follows:
$4,500 bonds to the First Exchange National Bank, Coeur D'Alene.
4,500 bonds to the American Trust Co., Coeur D'Alene.
par
COHN CENTRAL CONSOL. RECLAMATION
DISTRICT, No. 761
Kings County, Calif.—BOND SALE.—This district awarded $118,000
6% bonds to E. H. Rollins & Sons.
The bonds mature from 1926 to 1930.
COLEMAN COUNTY (P. O.
Coleman), Tex.—BONDS REGISTERED.
—A
$400,000 5H% serial bond issue
Comptroller.
registered
was
on
Dec. 6 with the
State
CONTINENTAL. Putnam
Paul R. Mootz, Village Clerk,
$2,000 6%
coupon
County,
OFFERING.—
Ohio.—BOND
will receive bids until 10 a.
refunding bonds.
Denom.
m. Jan. 2 for
Date Jan. 1 1921.
$500.
Prin. and semi-ann. int. payable at the Continental Bank of Continental.
Due $500 yearly on Jan. 1 from 1925 to 1928, incl.
Cert, check on a
solvent bank in Putnam County, for
5% of amount of bonds bid for, re¬
quired.
CRANSTON (P. O. Providence), Providence County, R. I.—NOTE
SALE.—After receiving no bids, the city negotiated a private sale of the
$382,000 refunding and $50,000 fire-station notes offered on Dec. 14 (V.
Ill, p. 2348).
Date Dec.. 15 1920.
Due June 15 1921.
CROOKSTON, Polk County, Minn.—BOND SALE.—The bid of
par, which was submitted by M. R. Hussey and John McDonnel, both of
Crookston, jointly, on Dec. 14 for the purpose of obtaining $2,658 25 6%
6% coupon sewer bonds—V. Ill, p. 2248—was accepted.
•
DAKOTA COUNTY
(P. O. Hastings), Minn.—BOND OFFERING.—
Downs, County Auditor, will receive sealed bids until Dec. 20 for
road bonds.—V. Ill, p. 2348Date Dec. 1 1920.
$250,000 5%%
Due Dec. 1 1925.
DAVIESS COUNTY (P. O. Washington), ind.—BOND OFFERING.—
Vance, County Treasurer, will receive bids until 2 p. m. Jan. 4
$35,132 80 4Chas. A. Traylor et al, Harrison Twp. road impt.
for
bonds.
Due $1,756 64 each six months from May 15 1922 to
ncl,
and
Milton
to
W.
$1,600
Shirley, Com¬
COUNTY
(P. O. Nashville), Tenn.—BOND OFFERING
—Sealed bids will be received until 9
a.
Jan.
m
—
DISTRICT
SCHOOL
(P. O. Big Stone Gap),
Wise County, V a.—BOND OFFERING.—J. W,
Kelly, Chairman Board of
Education, will receive sealed bids until Jan. 1 for an issue of $35,000 school
bonds.
BISMARCK SCHOOL DISTRICT NO. 1
(P. O. Bismarck), Burleigh
County, No. Dak.—BOND SALE.—The State of
North Dakota during
purchased $75,000 4% bldg bonds at par.
Date April 1 1920.
Due April 1 1940.
Bonds are not optional, but can be paid up any time
August
after 2 years at par.
tax-free county memorial bonds of 1919.
1920.
Prin. and semi-ann
in New York at holder's
Denom.
int. payable at the County
option.
Due yearly on Jan. 1 as follows:
1922 to 1926 incl., $8,000 1927 to 1931
1950 incl
company
Cert, check
on
a
national
as
bank
or
upon
any
bank
of said
or
trust
Bonds
by the U. S. Mtge. & Trust Co., N. Y. and legality
Y.,
whose favorable opinion
All bids must
blank forms which will be furnished by the above official or said
trust company.
Jan.
1946 to
principal in New York City will be prepared and certified
to the genuineness
be upon
$4,000
incl., $12,000 1932 to 1938. incl.,
in Tennessee, for 2% of the face value of bonds, required.
as to
1
Trustee's office or
trust
The bonds will be delivered in Nashville,
company
or
in New York, at purchaser's option,
at the office
on
or
about
17 1920.
The official notice of this bond offering will be found among the advertise¬
ments elsewhere in this
DAYTONA,
Department.
Volusia County,
Fla.—BID
REJECTED.—The
only
bid, which was on G14% basis and submitted on Dec. 8 by W. L. Slayton
& Co., of Toledo for the purpose of obtaining $450,000 5% bonds—V.111,
p. 2248—was rejected.
DICKINSON COMMON SCHOOL DISTRICT (P. O.
Binghampton),
Broome County, N. Y.—BOND SALE.-r-The $100,000 6%
1-20 year
serial school bldg. offered on Dec. 15—V. Ill, p. 2248—were awarded to
Sherwood & Merrifield of New York, at 100.15, a basis of about 5.98%.
DEARBORN COUNTY (P. O. Lawrenceburg), Ind.—BOND OFFER¬
ING.—Proposals for $15,600 5% Wm. Grelle et al Caesar Creek Twp.
impt. bonds will be received until 10 a. m. Dec. 22 by Gabeh L. Baker,
County Treasurer.
Denom. $390.
Date Oct. 4 1920.
Int. M & N.
Due $780 each six months from May 15 1922 to Nov. 15 1931, incl.
road
BURLINGTON,
Alamance
County,
No.
Caro.—FINANCIAL
STATEMENT.—In connection with the offering on Dec. 20 of the
$47,000
6% water street impt. and sidewalk impt. 6% bonds, details of which
p.
2347—we
are now
in receipt of the following financial
statement.
Assessed valuation
Hickman,
Date Jan.
$1,000.
$16,000 1939 and 1940; $20,000 1941 to 1945, incl., and $24,000
i;
BRUNSWICK,
Glynn County, Ga.—BOND OFFERING.—Sealed
proposals will be received by J. Hunter Hopkins, Mayer, for $62,000 5%
coupon refunding bonds until 3 p. m. Dec. 27.
Denom. $1,000.
Date
Jan. 1 1921.
Prin. and semi-ann. int. (J. & J.) payable at the office of the
City Treasurer.
Due Jan. 1 1951.
appeared in V. Ill,
10 by Litton
County Judge and Chairman of the Finance Committee, for $396,000 5%
will be furnished the purchaser or purchasers without charge.
BIG CREEK DRAINAGE DISTRICT, Tenn.—BOND SALE
It is
reported that a $250,000 20-year bond issue was recently purchased
by
Caldwell & Co., of Nashville at par and interest.
GAP
Nov. 15 1931,
.-.V.:.
approved, by Caldwell and Masslich of N.
taxable property,
1920
$10,228,787
Bonds
outstanding
Floating debt
Bonds offered for sale Dec. 20 1.920
No other indebtedness except temporary loans to be discharged by
_
proceeds of said sale of bonds.
Uncollected special assessments pledged to the payment of
street bonds of larger amount—
Sinking fund....
The City's Water System produced revenue in the last fiscal
year over and above the maintenance and operation^ amount¬
to...
614,000
12,200
47,000
72,630
75,576
3,506
Indebtedness of Burlington School District
None
There is no other municipality or political subdivision whose limits are
BUCYRUS, Crawford, Ohio.—BOND OFFERING.—Proposals will
12 m. Dec. 27 by Carl Young, City Auditor, for $16,551.60 6% coupon judgment bonds.
Denom. 1 for $551.60 and 32 for $500.
Date June 1 1920.
Prin. and semi-ann. int. (A. <fe O.) payable at the City
Treasurer's office.
Due $551.60 April 1 1922; $500 on April 1 and Oct. 1
be received until
1912; $500 on April 1 and $1,000
on
Oct. 1 in the
years
DECATUR, De Kalb County, Ga .— BOND SALE.—The $100,000
high school and $50,000 5% water works extension bonds, which were voted
June 30—V. Ill, p. 215-^-have been sold to J. H. Ililsman & Co., of
Atlanta.
on
DELAWARE TOWNSHIP (P. O.
Sherwood), Defiance County*
Ohio.—BOND OFFERING— E. II. Mohley, Township Clerk, will receive
proposals for $44,500 6% road impt. bonds until 12 m. Dec. 20.
Date
Dec. 31 1920.
Prin. and semi-ann. int. payable at the Sherwood Savings
Bank Co. of Sherwood.
Due yearly on Sept. 1 as follows: $1,600, 1921;
$2,900, 1922; $4,500 in 1923, 1925, 1927 & 1929; and $5,500 in 1924, 1926.
1928 &
1924 to 1929,
Cert, check for $500,
payable
Purchaser to pay accrued interest.
1930.
required.
practically coterminous with those of the City of Burlington.
Population, 1920 census, 5,952.
in
of bonds
following descrip-
CHICAGO SANITARY DISTRICT
(P. O. Chicago), Cook County,
111.—PRICE PAID.—The Harris Trust & Savings Bank of
Chicago paid
par for $730,000 and 97.69 for $1,000,000 when it
bought the issue of 5%
coupon (with privilege of registration) bonds described in V. Ill,
p. 2248.
registerable
.
1932, incl.
J. B, Durham, Commissioner, J.
missioner, S. H. Allen, Commissioner.
ing
Maricopa
issues
two
Denom. $1,000.
50,000 Grammar School District No. 80 bonds.
Denom. $500.
INT. rate 6%, payable
1924
STCNE
Chandler),
—The
-bear the
$170,000 High School District bonds.
Counties, Ga.—BOND OFFERING—-The undersigned Commissioners of
this district will receive bids at the Bank of
Gumming, Gumming, until 12 m.
Dec. 20 for $16,064 6% bonds.
Denoms. 1 for $1,664 and 9 for $1,600.
Date July 1 1920.
Due yearly on Jan 1 as follows: $1,664, 1923 and
BIG
O.
(P.
County, Ariz.—DESCRIPTION
DAVIDSON
BERKELEY GRAMMAR SCHOOL DISTRICT, Alameda
County,
Calif.—BONDS AWARDED IN PART.—Ot the $429,000 5% school bonds
which were offered unsuccessfully on Aug. 9—V. Ill,
p. 911—$203,000
have been sold, it is stated.
CREEK
were
J.
Population (1920 Census), 27,510.
BIG
following
Oliver M.
Judicial ditch bds (Sec.by liens against property
benefitted)
Net debt
$14,000 park bonds
Oate Dec. 15 1920.
The
3,566,810
Deductions—
•
-—v.. ill
p. 2156—were awarded to the Merchants National Bank of
Indianapolis for $96,117.80 (101.071) and interest a basis of about 5 62%.
the
(estimated).'.
pay
^EDAR CITY, Iron County,
,,
R. W.
Statement.
to
that the Palmer Bond &
Pittsburgh.
ASBURY PARK, Monmouth County, N. J.—NOTE SALE.—Of the
issue of $325,000 1-year impt. notes offered on Dec. 14—V.
Ill, p. 2247—
$100,000 were sold to the Asbury Park Trust Co. of Asbury Park at
par
for 6s.
Cert,
Bonds
date of award, at the
accured interest and furnish
.Paid for within 10 days from
office.
s
Purchaser
necessary printed bonds.
lsSm£
unsealed) will be received by A.
funding and $125,000
Treasurer
CAPE GIRARDEAU SCHOOL
DISTRICT (P. O. Cape Girardeau),
Cape Giradeau
County, Mo.—BONDS VOTED.—On Dec. 1 the $54,000
high school bonds—V. 110, p. 2063—carried
by 755 to 141.
to
ALCOA,
delivered anci
"e
City
County, Ga.—BOND SALE.—An
to
2443
to the Township Treasurer,
DICKINSON SCHOOL DISTRICT NO. 1 (P. O. Dickinson), Stark
County, No. Dak.—BOND SALE.—An issue of $80,000 4% school bldg.
was sold during September to the State of North Dakota at par.
Date April 1 1920.
Due April 1 1940.
Bonds are not subject to call but
can be paid up any time after 2 years at par.
bonds
DU PAGE COUNTY SCHOOL DISTRICT NO. 33 (P. O.
West Chi¬
cago), 111.—BOND SALE.—The First Trust & Savings Bank of Chicago
awarded at 106.035, a basis of about 5.35%, the $50,000 6% school-site
and building bonds, offered on Oct. 28 (V. Ill, P- 1678).
Date April 1
1920.
Due $10,000 on April 1 in 1925 and 1930, and $15,000 on Oct. 1 in
1935 and 1940.
was
THE
2444
PALESTINE, Columbiana County, Ohio.—
SALE.—
reported that J, C. Devine & Co. of Alliance, have been awarded
$10,000 5% 5 1-3 year (aver.) street impt. bonds at par.
Int. F. & A.
EAST
It is
EASTON,
Northampton County,
bonds, dated Dec. 1 1890, and maturing
exchange them for bonds of the above issue.
Dec. 1 1920, may
INDEPENDENT CONSOLIDATED SCHOOL,
DISTRICT
NO. 1 (P. O. Egan), Moody County, So. Dak.—BOND OFFERING.—
Sealed bids will be received by A. L. Dfckerson, Secretary Board of Educa¬
tion, on Jan. 5 at 2 p. m. at the First National Bank of Egan, for $150,000
20-year school bldg. purchase bonds at not exceeding 7% interest.
Date
Jan. 1 1921;
Prin. and semi-ann. int. payable at some central banking
point at the option of purchaser.
Cert, check on some recognized bank
of good standing for 5% of the amount of bonds bid for, payable to the
said school district, required.
Purchaser to furnish his own bond blanks
and attorney's opinion.
Bids will be received for the whole or any part
of said bonds but in multiples of $100 only.
EGAN
EL CENTRO,, Imperial County, Calif.—BOND SALE.—The $15,000
6% municipal impt. bonds, offered on June 23—V. 110, p. 2587—have been
sold to the City National Bank of Long Beach at par and interest.
Date
$49,473,146
332,500
—*
Population, estimated, 23,000.
HARRISON COUNTY (P. O.
Corydon), Ind.—BOND OFFERING.—
County Treasurer, will receive bids until 2 p. m. Dec. 27
4)4% Charles McCutcheon Blue River Twp. road bonds.
De¬
$200Date Dec. 10 1920., Int. M. & N.
Due $200 each six months
May 15 1922 to Nov. 15 1936 incl.
William Taylor,
for $6,000
nom.
from
HARRISON COUNTY (P. O. Marshall), Tox.—BIDS'REJECTED.—
received on Dec. 13 for the $828,000 5% road bonds—V. Ill, p.
rejected, it is stated.
The bids ranged from 84.50 to as low
The bids
2065—were
82.
as
HARRIS TOWNSHIP, Franklin
County, No. Caro .—BOND OFFER¬
5 at the office of W. H.
ING.—Bids will be received until 11 a. m. Jan.
Yarborough, attorney, Louisburg, No. Caro., for
bonds.
Denom. $1,000.
Date Nov. 1 1920.
(M. & N.) payable at
$500 required.
$50,000 6% 30-year. road
Prin. and semi-ann. int.
the National Park Bank, N.
Y.
Certified check for
HENDERSON COUNTY LEVEE DISTRICT NO. 2,
REGISTERED.—An issue of $45,000 6% serial bonds was
the State Comptroller on Dec. 6.
Tex.—BONDS
registered with
HIGHLANDS, Macon County, No. Cmo.—BOND OFFERING—
3 bids will be received by Chas. E. Hefner, Town Clerk and
$35,000 6% school bonds, it is reported.
Until Jan.
Due $375 yearly on July 2 from 1921 to I960 incl.
July 2 1920.
Financial Statement.
->■!
Assessed valuation, 1919—
Total debt, including this issue
Pa.—BOND OFFERING.—M. B*
Hulsizer, City Treasurer, is offering for sale an issue of $100,000 4)4%
30-year coupon sewer bonds.
Denom. $100 to $500.
Date July 1 1920.
Due July 1 1950.
A footnote on the official advertisement states that the holders of City
of Easton 4%
[VOL. 111.
CHRONICLE
Treasurer, for
ELYRIA, Lorain County, Ohio.—BOND OFFERING.—V?. F. GuthCity Auditor, will receive bids until 12 m. Jan. 4 for $150,000 6%
works bonds.
Denom. $1,000.
Date Sept. 1 1920.
Prin. and
semi-ann. int. (M. & S.) payable at the U. S. Mtge. & Trust Co. of New
York.
Due $10,000 yearly on Sept. 1 from 1931 to 1945, incl.
Cert
check for 2% of amount of bonds bid for, payable to the City Treasurer,
required.
1
man,
water
NO. 16
P. O. Pensacola), Fla.—BOND SALE.—A. T. Bell & Co., F. C. Hoehler
Co. and Tucker,
liobison & Co., were awarded the $500,000 6% 1714
year (aver.) school bonds, dated Jan. 1 1921—V. Ill, p. 2156—on Dec, 11
at 98.33 and interest a basis of about 6.16%.
ESCAMBIA COUNTY SPECIAL TAX SCHOOL DISTRICT
2
Snohomish
EVERETT,
County,
Wash.—BOND
OFFERING.—
Until 10 30 a. m. Dec. 27 bids for the purchase of the $100,000 municipal
market bonds at not exceeding 6% interest, recently voted—V. Ill, p.
2248—will be received by Louis Lesn, City Clerk.
FAYETTEVILLE, Cumberland County, No. Caro.—BOND SALE.—
Spitzer & Co., of Toledo offering $94,030 (100.03) and
following 6% bonds—Y. Ill, p. i960:
$80,000 street bonds.
Due yearly on Dec. 1 as follows: $6,000 1922 to
1931, incl., and 84,000 1932 to 1936, incl.
14,000 funding bonds.
Due yearly on Dec. 1 as follows: $1,000 1922 to
On Nov. 24 Sidney
interest were awarded the
_
Date
1927 incl., and $2,000 1928 to 1931 incl.
Dec.
FERN
1
1920.
SCHOOL
Imperial
County,
Calif.—NO BIDS
bonds—
Dec. 6.
FOLLETT INDEPENDENT SCHOOL DISTRICT (P. O. Follett),
Lipscomb County, Tex.—BOND SALE.—This district sold $25,000 5%
bonds to the State of Texas at par and interest,
COUNTY
(P. O. Hattiesburg),
Miss .—DESCRIPTION
6% tax-free road and bridge bonds, recently
awarded to Pope, Potter & Kauffman and Stix & Co., both of St. Louis..
—V.
Ill, p.
1586—bear the following description.
Denom.
$1,000
Date Oct. 1 1920.
Prin. and semi-ann. int. payable at St. Louis.
Due
yearly on Oct. 1 as follows: $2,000 1921 to 1925. incl., $4,000 1926 to 1935.
incl., and $5,000 1936 to 1945, incl.
The above bankers are now offering the said bonds to investors at price
to yield 5.70% to 6%.
FORREST
The
Franklin County, Ohio.—BOND SALE.—The Mer¬
of Billiards has purchased at par the $3,000 6%
offered on Oct. 4—V. Ill, p. 1199.
Date Aug. 1
Due $500 yearly on Aug. 1 from 1922 to 1927, incl.
HILLIARDS,
chants & Farmers Bank
deficiency funding bonds
1920.
HOCKING COUNTY (P. O. Logan), Ohio .—BOND OFFERING.—
Clerk of Board of County Comm'rs, will receive bids until
30 for the following 6% Inter-County Highway impt. bonds:
$73,600 Highway No. 155 Sec. "K" bonds.
Date Dec. 1 1920. Due
A. M. Ellinger,
2 p. m. Dec.
$7^360 yearly on Mar. 1 from 1922 to
1930, incl,, and 7,360 Sept. 1
80,000 Highway No. 363 Sec. "N" bonds.
Date Sept. 1 1920. Due
I
$8,000 yearly on Sept. 1 from 1921 to 1930, incl.
...
88,000 Highway No. 355 Sec. "P.-l" bonds.
Date Sept. 1 1920. Due
$8,800 yearly on Sept. 1 from 1921 to 1930, incl.
_
42,500 Highway No. 360 Sec. "G.-l" bonds.
Date Sept. 1 1920. Due
$4,250 yearly on Sept. 1 from 1921 to 1930, incl.
'
Denom. to suit purchaser.
Prin. and semi-ann. int. (M. & S.) payable
at the County Treasury, where delivery to purchaser is to be made as soon
as possible.
Cert, checks for 10% of amount of bonds bid for, payable to
County Treasurer, required.
Purchaser to pay accrued interest.
CONSOLIDATED SCHOOL DISTRICT NO
42 (P O.
Hoople), Walsh and Pembina Counties, No. Da*c.—BOND SALE.—
An issue of $2
STOCK
BOARD
OF
KANSAS CITY
THE
EXCHANGE
CHICAGO
EXCHANGE
No. 25
TRADE
A
SOUTHERN
RAILWAY COMPANY.
Broad St., New York, Dec.
21, 1920.
quarterly dividend of ONE (1) PER CENT
this day been declared upon the Preferred
Stock of this Company from surplus earnings of
the current fiscal year, payable January 15, 1921,
to stockholders of record at 3:00 o'clock P. M.,
December 31, 1920.
Checks in payment thereof will be mailed to
stockholders at the addresses last furnished the
has
Stocks, Bonds, Cotton, Grain, Provisions
Transfer Agent.
,
ATLANTIC
74 BROADWAY
No.
13 South Street, Baltimore, Maryland, and
upon proper receipt therefor being endorsed upon
each bond.
H. L. BORDEN, Vice-President.
National Bank
New York
governments now offer investment
opportunities, of varied maturities, to
return
CO.
Safe Deposit
9800
PI ^HE external bonds of many foreign
A
RAILROAD
presentation of such bonds at office of
and Trust Company of Baltimore,
upon
'
LINE
Interest of five per centum for fiscal year
ending December 31st, 1920, will be paid upon
the Income Bonds, dated December 12th, 1887,
of Brunswick and Western Railroad Company,
TELEPHONE
RECTOR
NEW YORK
G. C. HAND, Secretary.
COAST
New
high yields.
York, Dec. 21, 1920.
The Board of Directors has
this
day declared a quar¬
dividend of Three
Dollars ($3.00) per share
on the capital stock of this
bank, payable January 3,
1921, to stockholders of
terly
W. A. Harriman & Co.
INCORPORATED
record at the close of busi¬
New York: 25 Broad Street
ness
December
1920.
24,
PHILIP F.
Boston: 60 Federal Street
GRAY,
Cashier.
Syracuse: Onondaga Bank Bldg.
BATTERY
PARK
NATIONAL
BANK OF NEW YORK
Sterling, Francs and Marks
Edward E. Hall & Co.
ARE WORTH
Considerably More ThanExchange Rates
Insurance Brokers
80 MAIDEN
paymen t.
hold notes, book account
or
other receivable payable in
foreign currency communicate
with us immediately.
You
will
be
able
arrangement with
claim is suitable*
you
to
make
us
if
It
will
NEW YORK
LANE
Tel. 4276 John
your
and
Bonds,
Automobile,
policies properly
Liability
written?
Advice given on policy contracts, fire
protection and loss adjustments.
Prompt
coverage
procured
American Gas and
preferred
Electric Company
stock dividend
New York. December 13, 1920.
The regular quarterly dividend of one and one(1H%) on the Issued and outstand¬
ing PREFERRED Capital Stock of American
Gas & Electric Company has been declared for
the quarter ending January 31, 1921, payable
February 1, 1921, to stockholders of record on
the books or the Company at the close of business
January 15,1921.
FRANK B. BALL. Treasurer.
half per cent
H. MERRY, Cashier.
THE SEABOARD NATIONAL BANK
THE
CITY
The
Board
OF
NEW
YORK.
New York, December 16, 1920.
of
Directors
has
declared
the
regular quarterly dividend of three (3) per cent,
payable on January 3, 1921, to stockholders
of record on December 24, 1920.
C. H. MARFIELD,
Cashier.
HANOVER NATIONAL BANK
of the City of New York.
New York, December 17, 1920.
The Board of Directors have this day declared
a dividend of EIGHT PER CENT,
payable on
and after January 3rd, 1921.
The transfer books
will remain closed from December 18th, 1920,
Bttrfbestw
THEISECUR1TIES COMPANY,
Washington, D. C.
A.
THE
cost
DISTRICT NATIONAL BANK BUILDING,
the close of business December
wherever
desired.
an
Foreign Claims Adjustment Syndicate
at
1920.
Fire,
your
nothing to find out.
of record
OF
Are
Holdup
If you
1921, to Stockhold¬
ers
16th,
If owed you on obligations con¬
tracted prior to July, 1919. This
irrespective of date of
December 16, 1920.
The Board of Directors has this day declared
semi-annual dividend of 3% on the Capital
Stock of the Bank and an extra dividend of 3%,
both payable January 3rd,
a
(Established 1866)
24 Broad Street.
New York, December 14th, 1920.
The Board of Directors of THE SECURITIES
COMPANY have this day declared a semi-annual
dividend of two and one-half per cent on the
capital stock of the company, payable January
15th, 1921, to the Stockholders or record at the
close of business on December 31st, 1920.
E. G. WOODLING, Secretary.
THE WESTERN UNION TELEGRAPH CO.
December 14, 1920.
DIVIDEND NO. 207.
A quarterly dividend of ONE AND THREEQUARTERS PER CENT has been declared
upon the Capital Stock of this Company, payable
at the office of the Treasurer on and
15th day of January, 1921,
record at the close of business
after the
until that date.
IMPORTERS & TRADERS NATIONAL
BANK OF NEW YORK.
New York, Dec. 21, 1920.
A dividend of Twelve Per Cent has to-day been
declared by this bank, payable on the 3d day of
January next to stockholders of record at the
close of business December 21st, 1920.
C. F. REGAN, Cashier.
THE
INDIANA & ILLINOIS
COAL CORPORATION.
New York, December 15th, 1920.
The Board of Directors of Indiana <fc Illinois
Corporation has this day declared a dividend
of three and one-half per cent (3H %) on the Pre¬
ferred Stock of the Corporation, for the six months
Coal
to shareholders of period
on the 20th day of
December, 1920.
The Transfer Books will remain open.
G. K. HUNTINGTON, Treasurer.
'
E. CABLE, JR.. Cashier.
_
WM.
ending
December
31st,
1920,
payable
January 15th, 1921, to stockholders of record at
the close of business on January 8th, 1921.
Div¬
idend check will be mailed.
THEODORE C. KELLER. Treasurer,
Due. 25
1920.]
THE
CHRONICLE
jffitancia!
A
5]^% Federal Income Tax Exempt Bond At 100
and Interest
$108,000
Robeson
County, N. C.
Road
Bonds
Principal and interest payable in New York, N. Y.
Coupon bonds of $1,000 denomination
FINANCIAL STATEMENT
Assessed Valuation 1920.
_____$71,385,618
Total Bonded Debt
Rate
Bonded
of
Debt
830,000
less
than
114%
of
Assessed
Population, 1920
Robeson
County,
Valuation
54,674
the 100 counties in North Carolina, ranks
land values, population and assessed valuation.
area,
THIS
ABLE
ISSUE
among
IS PAYABLE
FROM AN UNLIMITED
PROPERTY WITHIN THE
~
TAX UPON ALL TAX¬
COUNTY.
Legal opinion of Messrs. Storey,
'
high in
very
Thorndyke, Palmer & Dodge
"
MATURING
January 1, 1930, 1935 and 1940
R. M. GRANT & CO.
31
Nassau Street,
Boston
While
we
do
not
be
to
correct.
©toftieirtia
NOTICE OF
SKbtoenti*
WESTINGHOUSE
DIVIDEND.
Electric Co.
1632 McCormick
payable Jan. 3 1921 to stock¬
holders of record Dec. 21
Chicago,
A
Bldg.,
COMMON Stock of this
Illinois.
ter
ending December
January 31, 1921.
1920,
At
Stone & Webster, Inc., General Manager
Puget Sound Power & Light Co.
meeting of the Board of Directors
of the Kansas & Gulf Company, held
December 15, 1920, a quarterly divi¬
dend of 3% was declared on its out¬
standing capital stock, payable Janu¬
a
15, 1921, to stockholders of record
31, 1920.
Transfer books
will close December 31, 1920, and re¬
open January 17, 1921.
i
Both
Dividends
A
December
$0.75
quarterly dividend is
payable Jan. 15, 1921, to Stock¬
holders of record Dec. 28, 1920.
Stone & Webster, Inc.,
H.
Boston,
&
CO.,
Mass.
The quarterly dividend of 2% upon the com¬
mon stock of Winnsboro Mills has been declared
payable January 3, 1921, at the office of the
Company, to all holders of record at the close of
business
December
24,
1920.
233
GREENE
January
3,
1921,
quarterly dividend of fifty cents per share on
outstanding capital stock, payable Febru¬
1st, 1921, to stockholders or record at the
close
of
business
January
5th,
1921.
Stock
ary
Henry C. Everett, Jr., Treasurer.
December
of
Directors
P.
DIVIDEND
of
16,
1920
the
NO.
per
cent
(l%%)
Cumulative
pany,
First
and a
dividend of
WARREN
Y.
and three-quarters
one
Per
Centum
of this
Com¬
and one-quarter
per cent (IM%) on the Five Per Centum Cumuative Second Preferred Stock of this Company,
payable December 31,
1920, to stockholders of
record December 16, 1920
H. B. CLEVELAND,
business
of
on
Treasurer.
Board
of
Directors
Corporation
of the
has this
International
declared
day
quarterly dividend of one and one-quarter
(1>2%) per cent on the Preferred Stock of the
Corporation, payable January 15, 1921, to stock¬
holders of record at the close of business Decem¬
ber
31,
The
1920.
transfer
books will not
be
closed
JOHN
J.
WATSON, Jr., Treasurer.
BRAUN Jr.,
Treasurer.
Treasurer.
the
three-quarters
cent
Second Preferred Stock of this
Company have been declared for the quarter
ending December 31st, 1920, payable on Janu¬
ary 3rd, 1921, to Stockholders of record at the
close
on
Fuel
and
Company
The
regular
quarterly
dividend
17, 1920.
of one and
three -quarters per cent (1H%) on the Preferred
Stock of this Company has been declared pay¬
able December 31st,
1920, to stockholders of
record December 16th, 1920
J. A. McKENNA, Secretary.
December
HARRISBURG
16,
1920.
AND
LIGHT
POWER COMPANY.
BROTHERS COMPANY.
PREFERRED DIVIDEND NO. 75.
Dividends of one and one-half
per cent on
First Preferred Stock and one ana
per
Gas
December
Pittsburgh, Pa., Nov. 17, 1920.
G. J.
one
on the
Seven
Preferred stock
close
the
Checks will be mailed.
H. PEPPER,
Houston, Texas.
~
N.
The
Houston
quarterly dividend of
ONE AND THREE-FOURTHS PER CENT
(1ZA %) on the 7% Cumulative Preferred Capital
Stock, has this day been declared, payable Feb¬
ruary 1st,
1921, to stockholders of record Jan¬
uary 1st, 1921.
Cheques will be mailed.
Light and
Railroad Company
Elmira,
at
a
24
A
Elmira Water,
has declared a dividend of
record
Agricultural
SANDS, Treasurer.
DUQUESNE LIGHT CO.
at
of business December 24, 1920.
WINNSBORO MILLS,
Board
of
December 31, 1920.
Managers,
the office of the
Transfer Agents, the New England Trust Co.,
Boston, Mass., to all holders of record at the close
The
Preferred
Common
the
Agricultural
Corporation.
a
Boston, Mass.
The quarterly dividend of 1 % % upon the pre¬
ferred stock of Winnsboro Mills has been declared
payable
holders
quarterly
the
on
on
New York, December 16, 1920.
Broadway, New York, December 15, 1920
C.
CO.,
&
share
19
transfer books do not close.
LOCKWOOD,
share
International
The Board of Directors of the United Verde
Extension Mining Company has this day declared
Office of
paid
dividend of $i.50 per
Stock and
$2.00 per
Stock; also an EXTRA
dividend of $2.00 per share on the Common
Stock, will be paid January 15, 1921, to Stock¬
regular
VERDE EXTENSION
the
WINNSBORO MILLS,
Henry C. Everett, Jr., Treasurer.
quar¬
be
26th St. and 11th Ave., N. Y. O.,
Dec. 21
1920.
A
MINING COMPANY
NO
wil
OTIS ELEVATOR COMPANY
Managers,
DIVIDEND
1920,
are
R.
UNITED
GREENE
MOURER,
President.
Office of
LOCKWOOD,
L.
General Manager
Company for the
31,
payable to Stockholders
of record as of December 31, 1920.
H. F. BAETZ, Treasurer.
New York, December 23, 1920.
ary
Preferred Dividend No. 28
ELECTRIC
& MANUFACTURING COMPANY.
Quarterly Dividend of 2% ($1.00 per share)
on
the PREFERRED Stock of this Company
will be paid January 15, 1921.
f/M
A Dividend of 2% ($1.00 per share) on the
KANSAS & GULF COMPANY
Preferred Dividend No. 29
A $3.00 semi-annual dividend
is
Chicago
guarantee the above statements, we believe them
©ftubenb*
Columbus
New York
St. Louis
the
of business
on
December 24, 1920.
JOHN DEARBORN.
Vice-President & Treasurer.
Harrisburg,
Pa.
The Board of Directors has declared a regular
quarterly dividend of one and one-half per cent
(1H%) on the Preferred Stock of this Company,
payable December 31st, 1920, to stockholders of
record December 16, 1920.
H. W. STONE, Treasurer.
,
For other dividends see
page
2548.
f
ftmmUft
THE CANADIAN BANK
OF COMMERCE
Statement of the result of the business of the Bank
for the year
ending 30th November, 1920
Balanc* at Credit of Profit and Loss Account
brought forward from last
Net Profits for the year ending 30th November,
$1,427,735 40
year
3,306,243 97
after providing for all bad and doubtful debts......
$4,733,979 37
|
This has been appropriated as follows:
Dividends Nos. 132, 133, 134 and 135, at twelve per cent per annum
Bonus of one per cent, payable 1st December
Dominion and Provincial
Written
off
Transferred
Bank
to
Government taxes and tax
Premises..
on
$1,800,000 00
150,000 00
bank-note circulation..:
—..
350,000 00
—
500,000 00
...
150,000 00
1,783,979 37
Fund
Pension
Balance carried forward
*
-
.
$4,733,979 37
GENERAL STATEMENT
30th
NOVEMBER,
1920
LIABILITIES
To the Public—
\
Notes of the Bank in circulation....
$30,716,914 68
Deposits not bearing interest
Deposits bearing interest, including interest accrued to date
$108,813,028 52
285,065,493 05
.
393,878,521 57
792,301 53
—
Balances due
to
other Banks in Canada
Balances due to Banks and
Banking Correspondents elsewhere than in Canada.
10,640,517 53
1,139,853 90
11,204,555 81
Bills
Payable
Acceptances under Letters of Credit
$448,372,665 02
To the Shareholders—
Dividends
3,980 12
Unpaid
Dividend No. 130 and bonus, payable 1st December
Capital Paid up
■..
600,000 00
$15,000,000 00
_
Rest Account
15,000,000 00
Balance of Profits
as
per
Profit and Loss Account
1,783,979 37
31,783,979 37
■
'-V. '
$480,760,624^51
.
ASSETS
Gold and Silver Coin Current
on
hand
$15,992,107 21
...
Gold deposited in Central Gold Reserves
Dominion Notes
6,500,000 00
$22,492,107 21
on
hand..
$35,388,710 25
...
Dominion Notes deposited in Central Gold Reserves
10,000,000 00
45,388,710 25
$67,880,817 46
„
Notes
of other Banks
Cheques
on
$2,482,865 00
other Banks
25,846,697 22
Balances due by other Banks in Canada
Balances due by Banks and Banking Correspondents elsewhere than in Canada..
100 00
11,290,555 29
'
39,620,217 51
Dominion and Provincial Government Securities, not exceeding market value
13,101,656 80
British, Foreign and Colonial Public Securities and Canadian Municipal Securities, not exceeding
market value
|
20,737,620 72
...
Railway and other Bonds, Debentures and Stocks, not exceeding market value
Call and Short Loans (not exceeding 30 days) in Canada on Bonds, Debentures and Stocks
Call and Short Loans (not exceeding 30 days) elsewhere than in Canada
Deposit with the Minister of Finance for the
purposes
6,059,204 45
21,434,844 02
34,274,934 06
908,245 56
of the Circulation Fund
$204,017,440 58
Other Current Loans and Discounts in Canada (less rebate of
interest)
*___
Other Current Loans and Discounts elsewhere than in Canada
(less rebate of interest)
Liabilities of Customers under Letters of Credit, as per contra
231,114,772 74
....
26,863,226 72
11,204,555 81
147,916 91
...
...
Overdue Debts (estimated loss provided for)
Real Estate other than Bank Premises..
Mortgages
on
Real Estate sold by the Bank
514,901 50
....
190,501 63
...
Bank Premises at cost, less amounts written off
Other Assets not included in the
6,617,095 06
90,213 56
foregoing
$480,760,624 51
B.
E.
WALKER
JOHN
AIRD
President
Report of the Auditors
:
/
^
General Manager
to the Shareholders of The Canadian Bank of
Commerce
In accordance with the
provisions of sub-sections 19 and 20 of section 56 of the Bank Act, 1913, we report as follows:
We have audited the above Balance Sheet and compared it with the books and vouchers at Head Office and with
the certified returns from the branches.
quired, and
the
powers
of the opinion
of the Bank.
are
We have obtained
all the information
that the transactions of the Bank which have
and
come
that we have re¬
notice have been within
explanations
under
our
We hare checked the cash, and verified the securities representing the investments of the Bank, at its chief office
and principal branches at a date other than that of the verification at the chief office on the
30th November, 1920, and
found that they were in agreemeut with the entries in the books of the Bank
relating thereto.
a true and correct view of thestateof the
explanations given to us, and as shown by the
In our opinion the Balance Sheet is properly drawn up so as to exhibit
affairs of the Bank according to the best of our information and the
books of the Bank.
T.
HARRY
WEBB,
.
_
C. A.
.
_
_
1
i
Auditors,
JAMES
,
MARWICK,
C. A.
of Marwick, Mitchell & Co
.
Due.
251920.]
THE
TTOl
CHRONICLE
Jftiraittial
New Issue
$10,000,000
Pacific Gas & Electric
Company
First and Refunding Mortgage Gold Bonds
Twenty-Year 7% Series "A"
Dated December 1, 1920
Due December 1, 1940
Interest payable June 1 and December 1 in New York or San Francisco without deduction of the Normal Federal
Income Tax of 2%.
Coupon Bonds in denominations of $500 and $1,000 each, registerable
and interchangeable
Redeemable at the
with fully registered
Bonds in denominations
option of the Company
110 and accrued interest
on or
on any
of $1,000,
to principal only,
interest payment date upon sixty days' prior notice at
before December 1, 1930. and at 105 and accrued interest thereafter.
NATIONAL CITY BANK OF NEW YORK
THE
MERCANTILE
as
$5,000 and $10,000 each.
TRUST
COMPANY
OF
\_
FRANCISCO/Trustees
SAN
Application has been made to the Superintendent of Banks to certify these
Bonds
as
legal investment for savings banks in California.
and Electric Company is
recognized as one of the largest public
service corporations in the United States.
Its
properties extend into thirty-six counties in Cali¬
fornia and serve an estimated population of
1,850,000, including the cities of San Francisco,
Pacific
Coast, which the Company controls
through ownership of the Mt. Shasta Power
Corporation.
This project has an ultimate
capacity of more than 420,000 horsepower, of
which 126,500 is now in process of development.
Hp HE Pacific Gas
-*■
These Bonds, in the opinion of counsel, will
a direct first mortgage on the entire
Oakland and Sacramento.
For
more
of the
constitute
than forty years the electric business
properties of the Mt. Shasta Power Corporation,
a direct mortgage on the entire properties of
the Pacific Gas and Electric Company subject
to prior lien of underlying mortgages.
and
its predecessors has been in
continuous and successful operation and now
contributes more than 60% of the gross earnings,
which for the year endea November 30, 1920,
were over $34,500,000; the gas business has been
continuously and successfully conducted for more
than sixty-five years.
The
Company
or
Net
earnings in each of the past four years have
than double all interest charges.
For
the year ended November 30,1920, net earnings,
which only partially reflect increased gas and
electric rates, were more than 1.95 times annual
interest charges including this new $10,000,000
7% issue.
been
twenty-four hydro¬
plants
having an aggregate capacity of 428,000 horse¬
power, and twenty gas manufacturing plants with
a total daily capacity of 71,600,000 cubic feet.
Company
operates
electric stations and four steam turbine
The mortgage, in addition to providing strong
sinking and maintenance funds, also provides
that additional first and refunding mortgage
bonds may only be issued under conservative
The
be
proceeds from the present financing will
largely devoted to the development of one of
promising hydro-electric projects on the
restrictions.
the most
We
recommend
these
Bonds
Price 99 and accrued interest,
Bonds
are
offered if,
as
for
investment
yielding about 7.10%
and when issued and received by us, subject to all necessary legal proceedings as to
and
Circular
authorization
approval.
giving details of this issue will be sent upon request.
E. H. Rollins & Sons
more
The National City
Company
The above information is derived from official sources or those which we
regard
as
reliable.
We do not guarantee but believe it to be correct.
;v
XXIV
THE
CHRONICLE
[Vol. 111.
JSatrfe Statements
The! Royal Bank of Canada
Fifty-first Annual Statement
NOVEMBER 30,
1920
LIABILITIES
Capital Paid Up.—--
-
Reserve Fund
:
.
...—
Undivided Profits
Dividend No. 133, payable December 1, 1920
Bonus of 2%, payable December 15, 1920
Notes in Circulation—
Deposits
_
_
.....
—
.
—
————
£
....
Due to other Banks
Due to Dominion Government
.......
...
Bills payable
(Acceptances by London Branch)
Acceptances under Letters of Credit
$20,134,010.00
20,134,010.00
558,035.57
585,979.48
402,680.20
41,672,973.74
455,017,387.02
14,965,810.47
19,972,801.38
3,997.678.28
17,228,647.29
$594,670,013.43
ASSETS
Cash
on
Hand and in Banks—......
$147,509,386.19
23,500,000.00
,,
...
Deposit in the Central Gold Reserves
Government and Municipal Securities
Railway and Other Bonds, Debentures and Stocks..
j.
34,208,299.70
16,117,459.49
12,899,573.85
44,962,994.23
Call Loans in Canada
Call Loans elsewhere than in Canada
$279,197,713.46^
Loans and Discounts
Liabilities of Customers under Letters of Credit
Bank Premises
as
..$286,842,000.84
17,228,647.29
9,498,425.46
966,349.43
860,000.00
per contra.
Real Estate other than Bank Premises
Deposit with Dominion Government for Security of Note Circulation.
Other Assets not included in the
foregoing
76,876.95
$594,670,013.43
PROFIT AND LOSS ACCOUNT
Balance of Profit and Loss Account, 29th
November, 1919
$1,096,418.74
Profits for the year, after
deducting charges of management and all
other expenses, accrued interest on
deposits, full provision for all
bad and doubtful debts and rebate of interest on
unmatured bills
4,253,649.24
$5,350,067.98
APPROPRIATED AS FOLLOWS:
Dividends Nos. 130 131,132 and 133 at 12 per cent, per
Bonus of 2 per cent, to Shareholders
Transf<rred to Officers' Pension Fund
annum
,
....
......
...
Written off Bank Premises Account.
War Tax on Bank Note Circulation
Transferred to Reserve Fund
$2,153,159.11
402,680.20
100,000.00
400,000.00
180,295.47
1,567,005.00
....
M
Balance of Profit and Loss carried forward.
546,928.20
$5,350,067.98
RESERVE FUND
Balance at Credit, 29th
November, 1919
Premium on New Capital Stock
$17,000,000.00
1,567,005,00
1,567,005.00
Transferred from Profit and Loss Account..
Balance at Credit, 30th
H.
S.
November, 1920
HOLT,H
$20,134,010.00
EDSON
President.
Montreal, 18th December, 1920.
L.
PEASE,
Managing Director.
C.
E.
NEILL,
General Manager.
AUDITORS' CERTIFICATE
We Report to the Shareholders of the
Royal Bank of Canada:
That in our opinion the transactions of the Bank w hich have
the Bank.
_
That
come
under
our
notice have been within the powers of
have checked the cash and verified the
securities of the Bank at the Chief Office at 30th November,
1920,
well as at another time, as
required by Section 56 of the Bank Act and that we
found they agreed with the entries in the
books mregard thereto.
We also during the year checked
the cash and verified the securities at the
principal branches.
That the above Balance Sheet has been
compared by us with the books at the Chief Office and with the certified
returns from the Branches and in our
opinion is properly drawn up so as to exhibit a
true and correct view of the state of
the Bank s affairs
according to the best of our information and the
explanation given to us and as shown by the books of the
Bank.
we
as
That
we
have obtained all the information and
explanations reouired by us.
JAMES MARWIOK,
C.A.,
S.
x
,
F.
T.
Agency; Corner William
Walker,
I
MITCHELL, C.A.,
of Mar wick, Mitchell and Co.
JAMES G. ROSS, C.A., of P. S. Ross & Sons,
Montreal, Canada, I8th December, 1920.
New York
ROGER
'
^
J.
A.
Beatson,
E.
B.
& Cedar Streets
Mclnerney,
Agents
Auditors,
Dec.
m
CHRONICLE
THE
251920.]
jffnanrial
NEW£ISSUE
$4,000,000
General Asphalt
8% Ten Year Sinking Fund
Dated
December
1,
Convertible Gold Bonds
Due
1920
1931
December 1,
December
Redeemable at v
Principal and interest payable at the office of Bankers Trust Co., New York City.
Interest payable June 1 and
Coupon bonds in $1,000 and $100 denominations, with privilege of registration of principal.
the option of the Company on any interest date on 30 days' published notice in amounts of $500,000
or multiples thereof, at 105 on or before December 1, 1926; at 104 on or before December 1,
1927; at 103 on or before December 1, 1928; at 102 on or before December 1, 1929,
and at 101 thereafter prior to maturity, with accrued interest in each case;
callable for Sinking Fund purposes at the same dates and prices.
,
Bankers Trust Company,
The bonds
Company,
are
The Company agrees
resident in
60 days
New York, Trustee
time after January 1, 1923, into common stock of tl
the option of the Company or for Sinking Fund purposes, coi
date.
convertible at the option of the holder at any
for par.
If bonds are called, either at
be made up to and including redemption
par
version may
-
to pay the
normal Federal Income Tax not to exceed 2% per annum, and to reimburse holde^
assessed in that State, and paid by them, upon request to the Trustee witl
'\- ■
Pennsylvania for the four mills tax
after payment.
From his letter to us dated
December 17, Mr. Arthur W. Sewall,
President of the Company, summarizes as
Asphalt Company, through its subsidiary companies,
asphalt and oil, and the manufacture of a wide range of
The General
BUSINESS:
and sale of
fied production gives it a dependable earning power
industries which are already established and capable
follows:
is engaged in the products
their products. Its diveri
throughout the year and has developed alli<
of great future growth.
includes valuable rights to deposits o asphalt in Trinidad and Venezuela
in the State of Utah; also a well equipped railroad of 68 miles, own<
and operated in connection with the Utah property.
The refineries and manufacturing plan|
are being expanded to care for the increasingly diversified character of the Company's busines
The oil interests, including association with the Royal Dutch-Shell Group in the ownership
petroleum rights on 312,500 acres of land in Venezuela, are considered a valuable asset.
The property
PROPERTY:
under United States patents
BOND
issue of bonds is a direct obligation of the Company, which itself has
No mortgage, by either the Company or its controlled subsidiaries, upon the
respective real estate, plants or physical properties will be created while any of this issue is or
standing, but property may be acquired subject to existing mortgage or purchase money moi
gage not to exceed 75% of fair value of property acquired.
It is intended to apply the
of this issue to the payment of notes payable, to provide working capital and toward the acquis!
tion and retirement of $599,945 New Trinidad Lake Asphalt 6% Debentures, which constitul
the only mortgage indebtedness of any of the subsidiary companies.
The only other funded
of the Company is $1,415,000 unsecured 6% Debentures, due April 1st, 1925.
This $4,000,000
ISSUE:
mortgage debt.
proeeej
def
Consolidated net assets, after completion of this financing, are in excess of $37,000,000,
approximately six times the amount of outstanding obligations, including this issue.
ASSETS:
ending December 31, 1919, average
For five years
EARNINGS:
interest
the Company
exclusive
which sinl
earnings available to meet
sinking fund charges, were 23^ times the amount which will be required to pay
total fixed charges for interest and sinking fund upon completion of this financing,
the sinking fund on the outstanding 6% debentures of General Asphalt Company
fund is 10% of annual net earnings.
Convertible at option of
CONVERTIBILITY:
par
holder after January 1, 1923, into common
stock of the
Companj
par.
of $50CM
December 1, 19^
the premium decreasing 1% annually to 101 in 1930 prior to maturity, with accrued interest
each
$50,000 semi-annual cumulative sinking fund payment, on April 15 and October
of each year, to purchase bonds at less than redemption price, or if not then available, for pi
REDEMPTION:
or
AND
SINKING
for
FUND:
Any or all bonds callable on 30 days' notice on any interest date, in amounts
multiples thereof (except for Sinking Fund purposes) at 105 on or before
case.
ment of bonds
date at current
on
not less than 20 days'
notice at next succeeding
outstanding preferred and common stocks of
including this issue of bonds, is over $13,500,000 as
The market value of the
EQUITY:
by lot
redemption price.
to be called
follow the funded debt,
PRICE, 98V2 and interest,
the Company whij
of December 16.
yielding about 8.20%
DREXEL & CO.
Chestnut and Fifth Streets
PHILADELPHIA
The
information and statistics contained in the above advertisement
from sources that we deem
reliable, and while not guaranteed are
/
mter<
have been obtained
accepted by us as correct.
[Vol. 111.
CHRONICLE
THE
XXVI
jftoantfal
$10,000,000
Kansas City Power and
Light Company
First and Refunding Mortgage Twenty-Year 8%
Dated
December
1,
•
i.v;
.
Gold Bonds, Series A
Due December 1, 1940
1920
•
..
'
•;
-.7,-v.;;-!;1'
"v." •;;...
..
•'
,
Principal and Interest payable in New York or Chicago.
Interest payable semi-annually June 1 and December 1.
Coupon bonds in interchangeable denominations of $1,000. $500 and $100, registerable as to principal, and fully
registered bonds in denominations of $1,000, $5,000, $10,000 and $25,000.
Coupon and registered bonds are
interchangeable.
Redeemable in whole or in part on any interest date on sixty days' notice on or before De¬
cember 1, 1925, at 107K and accrued interest; thereafter and on or before December 1, 1930. at 105 and accrued
interest; thereafter and on or before December 1, 1935, at 102M and accrued interest, and thereafter until maturity
at
Interest
AND
1
payable without deduction of normal Federal Income Tax
deductible
CONTINENTAL
,
and accrued interest.
101
COMMERCIAL
the
at
TRUST
not
source,
AND
SAVINGS
in
of 2%
excess
CHICAGO, CORPORATE TRUSTEE.
BANK,
The issuance of these Bonds has been authorized by
Missouri
Commission of
and
the
Kansas
Court
of
the Public Service
Industrial
Relations
For detailed
President
information regarding these Bonds, attention is directed to a letter of Mr. Joseph F. Porter,
of the Company, copies of which will be furnished upon request, from which the following is summarized:
The Kansas City Power and Light Company
serves
with electric light and
the City of
portion of Kan-
power
Kansas
City, Missouri, and a
City, Kansas, the total population served
being approximately 450,000.
sas
months ended October 31,
were $5,762,844.48 and net
earnings
before
depreciation
$1,975,885.68.
The annual interest requirements on the total
the
For
1920,
gross
mortgage
twelve
earnings
indebtedness
outstanding
in
the
hands of the public,
These Bonds will be secured by a
direct first
the recently completed North-
mortgage lien on
Power Plant,
east
certain substations, trans
mission and distribution
lines, and other
•
prop-
including this issue and
bonds held alive in sink ng fund, amount to
$1,068,038, of which interest $600,000 is attributable to construction expenditures from
which the Company has not yet received full
the aggregate value of these properties
being approximately $10,500,000.
On the re¬
maining property of the Company these Bonds
will be secured by a direct mortgage lien, sub-
benefits,
ject only to underlying First and Second Mort-
months ending December 31, 1920, are estimated at $2,150,000, or over twice the annual
erty;
outstanding, and Will share to
the extent of 60% in the first lien on such property through pledge of $4,617,000 par value of
Kansas City Light & Power Company First
Mortgage Bonds.
gage
Bonds
now
The total value of the Company's properties,
as
recognized by the Public Service Commission
of Missouri for rate
making
purposes,
is in
ex-
of
$22,400,000.
There will be $14,755,500
(including underlying issues) presently
outstanding in the hands of the public.
cess
bonds
Based
upon
results for the first ten months,
net earnings before depreciation for the twelve
interest
requirements
shown
above.
new plant, the above estimate of net
earnings for the year 1920 would be increased
from its
to approximately $2 750,000.
It is expected
that in 1921 practically all current will be
generated at the new power plant,
The
franchise
The Company's new Northeast Power Plant is
one
of the most modern and efficient steam
generating stations in the country and is so
designed that its present installed capacity of
60,000 k. w. may be increased to an ultimate ca¬
pacity of 240,000 k. w.
The
factory.
situation
is
eminently satis-
Company's electric
are,
•
The
Trust
Deed
will
-l
provide for an annual
Maintenance and Depreciation Fund amounting to 12^% if gross earnings, as outlined in
the President's letter.
power
light
and
franchises, both in Missouri and Kansas,
with minor exceptions, perpetual.
heating franchise runs until 1935.
Kansas City, Missouri, has had
a
Steam-
remarkable
growth during the past forty years and is still
rapidly increasing in size and importance.
It
is second among the country's live-stock markets and packing centres, and the third largest
grain market.
Price 100 and Interest,
When, as and if issued and received
for delivery on or about January 3.
During
this period the Company will have produced,
at its new Northeast Power Plant, only about
60% of its power requirements.
Had the Com¬
pany secured its entire output during the year
Yielding 8%
by us and subject to approval of counsel.
It is expected that Bonds in temporary form will be ready
Legal details pertaining to this issue will be passed upon by Messrs. Rushmore, Bisbee & Stern, of
Messrs. Mayer, Meyer, Austrian and Piatt, of Chicago.
New York and by
Continental and Commercial Trust and Savings Bank
Chicago
Guaranty Company of New York
Halsey, Stuart & Co., Inc.
1
We do not guarantee
the statements and figures contained herein, but they
Chicago-New York
are
taken from
sources
which
we
believe to be reliable.
Dec.
the
251920.]
xxvn
chronicle
Jffnancfal
$30,000,000
STANDARD OIL COMPANY OF NEW YORK
7% Serial Gold Debentures
To be
dated
January 2,
Interest payable January 2 and July 2
1921
Total
authorized issue $30,000,000, due in seven annual serial installments, as follows:
$4,000,000 due January 2, 1928
4,000,000
"
"
2, 1929
4,000,000
"
"
2, 1930
$6,000,000 due January 2, 1931
$4,000,000 due January 2, 1925
4,000,000
"
"
2, 1926
4,000,000
"
"
2, 1927
Coupon
Debentures
in
$100 with privilege of
denominations
of $1,000, $500 and
registration as to principal
1925, at 105 and accrued interest; if
redemption, the longest outstanding maturities are to be called first.
Redeemable in whole or in part on any interest date on and after January 2,
less than the entire issue should be called for
Interest payable at the office of The Equitable Trust Company of New York or Blair & Co., Inc., without deduction for any
Income Tax not exceeding 2% in any year which the Company or the Trustee may be required to pay thereon or
retain therefrom under any present or future law of the United States of America.
THE
Mr. H. C.
Federal
EQUITABLE TRUST COMPANY OF NEW YORK, TRUSTEE
Folger, President of the Company, writes under date of December 15, 1920, as follows:
These Debentures will be the direct obligation of the Standard Oil Company ofj-New
"SECURITY:
York and will constitute its sole funded debt.
NET EARNINGS of the
Company
compare as
■■■■•'/ ;
follows:
Before Federal Taxes
Year
After Federal Taxes
$37,401,764
$36,638,495
1917
39,376,043
1918
44,157,080
30,000,672
28,642,387
43,165,109
1916
1919
Net earnings
.
.
.
.
.
.
......
58,330,176
for 1920 before Federal taxes are estimated at $60,000,000.
before taxes for the four years ended December 31, 1919, averaged 20 times the
the new Debentures and for 1919 were nearly 28 times such annual interest.
Net earnings
interest
on
annual
The balance sheet as of June 30th, 1920, shows total net assets of $246,196,981 and net
quick assets of $133,768,112. Adding the proceeds of the new Debentures, the total net assets
exceed nine times these Debentures and the net quick assets alone on this basis exceed five times
ASSETS
:
these Debentures.
nothing for good will and does not reflect the very substantial increase
Company's physical and other properties accruing over a period of years.
The balance sheet includes
in the value of the
The Company has outstanding $75,000,000 capital stock on which dividends of 16% per
being paid.
At present quotations this stock represents an equity of about $250,000,000
ranking junior to these $30,000,000 Debentures.
EQUITY :
annum are
These Debentures are to be issued under an indenture
Equitable Trust Company of New York, as Trustee, providing, in substance, among other
things, that the Company will not create any mortgage oh or pledge of its properties unless these
Debentures shall share equally and ratably in the lien of such mortgage or pledge, but this shall not
apply to purchase money mortgages or pledges of personal property to secure temporary loans in the
usual course of business, and shall not restrict the acquisition of additional property subject to lien
RESTRICTIONS AGAINST MORTGAGE :
with The
or
mortgage.
CURRENT DEVELOPMENTS :
The Company is engaged in adding to its refinery
capacity, marine
equipment, etc., the earning capacity of which expenditures, and of the proceeds of this issue, will
be reflected in the future operation of the Company.
Its capital requirements have been supplied
almost entirely from earnings.
In the five years ended December 31st, 1919, approximately $115,000,000 from surplus earnings have been reinvested in the business".
legal proceedings in connection with the issue, are being passed upon by Messrs. Hsrnblswer,
Garrison and Messrs. Murray, Prentice & Howland, New York.
The
Pending receipt by us of Temporary Debentures, interim receipts may be delivered.
of counsel,
"when, as and if issued and received
Circular
Price
Co.
Blair
100
All offerings are subject to approval
by us".
Request
and accrued interest
The Equitable Trust Co.
OIF NEW YORK
incorporated
Wm.
The statements
on
Miller <k
A.
Read <& Co.
presented above while not guaranteed, have been obtained from sources
All the above Debentures
which we believe to be reliable.
having been sold, this advertisement appears as a matter
of record only.
CHRONICLE
THE
jTfnandal
BUY RESULTS
By Buying the Chicago Tribune
line of
sell goods: make
NOW is the time for advertisers to buy results.
Make every
dollar
to beat
every
expended build sales.
stitutional" and
nated to
copy
"Prestige," "in¬
"general" publicity must be subordi¬
direct action
advertising if 1921
1920 records.
business is
Circulation must be
cold-blooded
basis
times.
ready to have
bought
on
of
price and quick results.
The
Chicago Tribune welcomes the test of these strenuous
It is
in the balance
against
advertiser weigh it
every
other available medium for
any
creating sales.
More
and
advertisers
more
apportioning
are
large blocks of their national appropriations for
commanding campaigns in The Chicago Tribune,
because:
1.
:
The
market
dominated
by
-
.
The
Chicago
Tribune (Illinois, Indiana, Iowa, Michigan and
Wisconsin)
with
twice
the
population
Dominion of Canada is able to
production of
but the
any
consume
very
the
of
the entire
largest
manu¬
facturers.
2.
Prosperity of this market is indicated by the
enormous
and by
crops
a
decrease in business
failures
notwithstanding the contrary
throughout the rest of the country.
3.
Overwhelming
and
800,000
trend
Circulation—450,000
Sunday—reaching
best
Daily
buying
classes in the five States.
4.
Economy—of advertising appropriations be¬
cause
of low cost of space per
and of
line
per
thousand—
merchandising appropriation because of
a
compact territory plus Chicago Tribune Mer¬
chandising Service.
\
The
and
Advertising Managers' Council of the Motor
Accessory Manufacturers' Association re¬
cently
discussed
Turn Our
mediums
the
question
4'How
Can
We
Prestige Advertising Into Cash."
were
considered
but
the-
answer
All
was
NEWSPAPERS.
The
Chicago Tribune
paper,
but it is
a
is
only
not
a
great sectional medium
unique sales-building
powers
in
a
market
news¬
with
that
constitutes one-fifth of the United States.
0fye (Mjxcaqcr Qaxbxxxxe
$jTHE
WORLD'S
Tribune Bldg., Chicago.
CREATEST
NEWSDAPFP
512 Fifth Ave., New York.
Haas Bldg.. Los Angeles.
Inside FRASER
| https://fraser.stlouisfed.org/title/commercial-financial-chronicle-1339/december-18-1920-552831/fulltext |
Coaching for physicians | The College of Family Physicians of Canada
Coaching for physicians
Building more resilient doctors
With the unprecedented rate of change in health care, it has become even more difficult for family physicians to balance their practices and personal lives Studies are beginning to show high levels of “burnout” among family physicians Lee et al found that 69.2% of family doctors participating in their study were moderately or highly stressed and discovered a correlation between stress and burnout and a desire to leave practice.1Given the human resource implications, attention is increasingly being paid to the importance of physician resilience. In the May issue of Canadian Family Physician,the study by Jensen et al identified 4 elements associated with successful adaptation: attitudes and perspectives, balance and prioritization, practice management, and supportive relations.2The authors argued that resilience is not only a product of inherent personality traits, but can also be improved by way of learned behaviour. This raises the following question: How can an already harried physician move toward more adaptive behaviour? Good intentions alone will not pave the way.
Over the past decade or more, business and finance executives have employed life or business coaches to improve their clarity of purpose, focus, creativity, productivity, and work-life balance, among other goals. Physicians and executives have much in common: they strive for excellence in their respective fields, experience time constraints, bear heavy workloads, and perform under scrutiny (from patients or clients, colleagues, and authorities). Add to this the fact that family physicians feel undervalued and unsupported in the current health care climate and it is no wonder that they often feel tense, tired, indecisive, apathetic and even, at times, trapped. Most of these doctors do not suffer from formal psychiatric diagnoses and do not require psychiatric or psychological support. Nevertheless, it can be difficult for them to objectively reflect on their lives and summon adequate discipline and motivation to make and maintain critical changes. This is where life coaching can be helpful.
What, how, and why?
Life coaching is a nondirective process that draws upon techniques from positive psychology and both cognitive-behavioural and solution-focused therapies to help people thrive personally and professionally, by increasing their self-awareness, building on their strengths, and applying their insights creatively so they can move forward. Unlike counseling, it is for people free of meaningful psychopathology and is concerned with growth rather than healing. Carol Kauffman, PhD, Assistant Clinical Professor and Director of the Coaching and Positive Psychology Initiative at Harvard Medical School, strongly states the following:
Positive psychology theory and research will provide the scientific legs upon which the field of coaching can firmly stand …. There are psychometrically robust measures to assess strengths and empirically testable positive interventions that have been found to increase happiness, productivity and life satisfaction.3
For example, in one study, Seligman et al confirmed that 3 of 5 purported happiness interventions resulted in sustained improvement on measures of happiness and depressive symptoms.4
Another study showed that third-year medical students with positively primed emotions arrived at an accurate diagnosis more efficiently and with greater curiosity and less disorganization than control subjects.5Fredrickson and Losada concluded that “positivity can transform individuals for the better, making them healthier, more socially integrated, knowledgeable, effective and resilient[emphasis added].”6
A life coach will partner with a physician-client to take a critical look at his or her life and practice, thereby identifying counterproductive attitudes and behaviour as well as existing personal strengths that might offset them. These insights are then applied to develop a more adaptive perspective, a wider behavioural repertoire, efficient practice- management strategies, tighter personal boundaries, and improved interpersonal skills, while respecting the individual doctor’s needs and priorities. Life coaching can give family doctors a rare opportunity to establish parameters for evaluating their own success, which can be difficult to recognize when treating chronic illnesses with little time to reflect. The coach will encourage the clients and hold them accountable if they procrastinate or become distracted. Simply put, the coach is a catalyst for change.
We encourage readers to share some of their practice experience: the neat little tricks that solve difficult clinical situations.Praxisarticles can be submitted on-line athttp://mc.manuscriptcentral.com/cfpor through the CFPwebsitewww.cfp.caunder “Authors.”
Competing interests
Dr Askinis a practising life coach.
Copyright© the College of Family Physicians of Canada
References
LeeFJStewartMBrownJBStress, burnout and strategies for reducing them. What’s the situation among Canadian family physicians?Can Fam Physician200854234-5.e15
JensenPMTrollope-KumarKWatersHEversonJBuilding physician resilienceCan Fam Physician2008547229
KauffmanCStoberDGrantAPositive psychology: the science at the heart of coachingThe evidence based coaching handbookHoboken, NJJohn Wiley & Sons, Inc; 200621954
SeligmanMSteenTAParkNPetersonCPositive psychology process: empirical validation of interventionsAm Psychol200560541021
IsenAMRosenzweigASYoungMJThe influence of positive affect on clinical problem solvingMed Decis Making19911132217
FredricksonBLLosadaMFPositive affect and the complex dynamics of human flourishingAm Psychol200560767886
| https://www.cfp.ca/node/19733.full.print |
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Oligocene and Neogene strata at Wharekuri Creek, Waitaki Valley, North Otago record a transgressive-regressive marine sequence, lacustrine and braided river deposits. Marine strata include three calcareous, glauconitic, fossiliferous marine units: Wharekuri Greensand (Lower Whaingaroan); Kokoamu Greensand/Kekenodon Beds (Upper WhaingaroanDuntroonian); and Otekaike Limestone (Duntroonian-?Waitakian). The Kokoamu Greensand is separated from Wharekuri Greensand by a bored surface, Fordyce and Watson (1998) interpreted this as the mid-Oligocene unconformity, which Fulthorpe et al. (1996) correlated with a global eustatic sea level fall. The Wharekuri Creek marine rocks contain members of the stratigraphically important pectinid bivalve lineage Janupecten-Lentipecten. Here,Janupecten show progressive reduction in sculpture leading to evolution of smooth-shelled Lentipecten. The evolution to smooth valves indicates enhanced level-swimming ability. Deposition of the coarsening upward Southburn Sand {Early? Miocene), following the Otekaike Limestone, represents a transition to a near shore environment. The Waitangi Coal Measures (Middle?-Late? Miocene), which may overlie the Southburn Sand unconformably, are tentatively placed within the Manuherikia Group of Central Otago, because they also represent a deltaiclacustrine succession of peat, laminated muds, clays, and sands. Following accumulation of the coal measures at Wharekuri Creek, the Kurow Gravels were deposited as longitudinal bars in a braided river system. The name Kurow Group is not used here, because the name Kurow Gravels takes priority. Late Cenozoic faulting, presumably associated with development of the Southern Alps, has deformed the sedimentary sequence at Wharekuri Creek. The Kokoamu Greensand is juxtaposed against the Southburn Sand by the Waitangi Fault and the Southburn Sand is faulted against the Waitangi Coal Measures. The Wharekuri Fault has uplifted semi-schist basement of the Haast Schist Group against the Waitangi Coal Measures and the Kurow Gravels. Gravels and angular debris from the St Marys Range cover much of the area so that it is not possible to see crosscutting relationships which may indicate the sequence of faulting.
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POLYGON ((169.143283041481027 -44.712047221325612,169.327674683346572 -44.767404350983362,169.373324006967522 -44.799233214520761,169.378154611456353 -44.842259234582386,169.335911839561476 -44.87485054542735,169.27143624267211 -44.931710037041356,169.249102280689442 -44.950270040056132,169.252492738990071 -45.052559060038853,169.427389308816146 -45.246208700507431,169.593183901017284 -45.088252298371934,169.809356793282632 -44.852158055533671,169.874927373418956 -44.809909460353751,170.148136716390155 -45.091826788547969,170.281961131052043 -45.120839118817152,170.283064439896748 -45.159925533539116,170.016169236147164 -45.202303128612925,169.81162941007284 -45.407387102030029,169.29977823356711 -45.499584570300733,169.07645936324846 -45.184216898774281,169.15435284452451 -45.047777015580564,169.289344957411231 -44.872187400108061,169.343107001901672 -44.827240672983216,169.321535135494116 -44.7665252963657,169.143283041481027 -44.712047221325612))
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<text > Douglas </text >
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<text > PhD </text >
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<elementText elementTextId =" 32197 " > ... </elementText >
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<element elementId =" 54 " >
<name > Advisers </name >
<description > Who supervised/advised this student </description >
<elementTextContainer >
<elementText elementTextId =" 32199 " >
<text > Landis, C.A. </text >
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<element elementId =" 55 " >
<name > Abstract </name >
<description > The Abstract for this thesis </description >
<elementTextContainer >
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<text >
Dunstan Formation lignite bearing strata within the 1,000m thick Miocene Manuherikia Group of Central Otago represent an important coal resource. Three principal coalfields, Blackstone, Roxburgh and Nevis are identified. Detailed stratigraphic and sedimentologic data from outcrop and over 120 boreholes were assessed to evaluate Central Otago coalfield stratigraphy and the paleoenvironmental controls governing peat deposition on a broad alluvial plain surrounding a large freshwater basin (Lake Manuherikia).
Six complexly interrelated Dunstan Formation members are identified; each member represents a distinctive depositional system that is subdivided into sequences comprising genetically related lithofacies recognized by an abbreviated mnemonic code. Depositional systems recognized are: 1. Braided river deposits of the St Bathans Member occurring at the base of the group, infilling valleys entrenched in the weathered schist and greywacke basement. They incorporate deposits of major channels and a diverse range of shallow minor channels dominated by bar and dune bedforms. 2. Fine grained alluvial plain deposits of the Fiddlers Member and Middle Old Woman Submember. The former represents an extensive long-lived fluvial plain traversed by meandering channels dispersing sediment into muddy flood-basins and Lake Manuherikia. Locally, muddy and peat-forming swamps replaced abandoned splay filled flood-basins. 3. Anastomosed fluvial deposits of the Lower Old Woman· Submember. Stabilized river channels were bordered by long-lived muddy flood-basins and peat-forming swamps, producing thick laterally discontinuous deposits of lignite, gravelly sand and mud. 4. Carbonaceous rich delta plain deposits representing Blackstone and Teviot Members developed at major points of sediment entry into Lake Manuherikia. Complexly interdigitating fine grained facies representing short-lived peat swamps, well drained swamps, interdistributary bays, levee and distributary channels accumulated on the lower delta plain, contrasting with the long-lived peat-forming backswamp environment that dominated the upper delta plain- lower alluvial plain landscape. 5. Marginal lacustrine deposits of the Kawarau Member represent a stagnant swampy shoreline interdigitating with interdistributary bays (Cromwell Submember) and a current agitated terrigenous lake margin (Ewing Submember) of beaches, mudflats, backbarrier lagoons and bays. Ostracods, algae (including oncolites), fish and bird remains are dispersed within shoreline facies. An enlarging Lake Manuherikia progressively onlapped older lake margin and alluvial plain strata, depositing a thick (700m) pile of sandy and muddy (including richly kerogeneous) sediments (Bannockburn Formation), blanketing an area in excess of 5,600 km2.
Extraordinary thick coal beds of the 33 - 90 m thick Johnstone and McPherson Seams {Blackstone and Teviot Members) accumulated in long-lived backswamps of upper delta plain-lower alluvial plain environments. Thin (< Sm thick) laterally discontinuous coal beds with numerous splits occurring in the upper portions of these seams accumulated in short-lived lower delta plain swamps, adjacent to a network of interdistributary bays and distributary channels. Fluvial plain peats primarily accumulated in swamps that enveloped infilled flood-basins of the broad low gradient Fiddlers alluvial plain, or they accumulated (like the deposits of the 24m thick Ben Nevis Seam) in long-lived swamps on the Old Woman alluvial plain, adjacent to stable anastomosed channels. In fluvial settings, coal quality, seam configuration, frequency and thickness of partings was primarily influenced by channel overbank and splay sedimentation. Almost total abandonment of Old Woman flood-plain alluviation and a sustained high water table were conducive to the development of the laterally extensive 22m thick Homestead Seam of the Upper Old Woman Submember. At the lake margin, peat-forming swamps interdigitating with interdistributary bays produced the numerous thin {< 5m thick) , laterally discontinuous coal beds constituting the Kawarau Seam. Cyclic repetition of these coal beds was governed by fluctuating lake levels.
The study emphasizes the significance of detailed observations and analyses of coal-bearing strata, demonstrating the potential role of paleoenvironmental modeling in coal exploration and mining activities.
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The department where the student is studying primarily.
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<elementText elementTextId =" 32201 " >
<text > Geology </text >
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<name > Named locality </name >
<description > Named locality describing the field area location. </description >
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<text > Otago </text >
</elementText >
<elementText elementTextId =" 32203 " >
<text > Central </text >
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<elementText elementTextId =" 32203 " > ... </elementText >
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<element elementId =" 60 " >
<name > Thesis description </name >
<description > Number of pages, maps, CDs, etc. </description >
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<elementText elementTextId =" 32208 " >
<text >
x, 368 p. : ill. (some folded, some col.), maps ; 30 cm.
</text >
</elementText >
</elementTextContainer >
</element >
</elementContainer >
</itemType >
<itemType itemTypeId =" 18 " > ... </itemType >
<elementSetContainer >
<elementSet elementSetId =" 1 " >
<name > Dublin Core </name >
<description >
The Dublin Core metadata element set is common to all Omeka records, including items, files, and collections. For more information see, http://dublincore.org/documents/dces/.
</description >
<elementContainer >
<element elementId =" 43 " >
<name > Identifier </name >
<description >
An unambiguous reference to the resource within a given context
</description >
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<elementText elementTextId =" 32192 " >
<text > 1986Douglas </text >
</elementText >
<element elementId =" 43 " > ... </element >
<name > Creator </name >
An entity primarily responsible for making the resource
<elementTextContainer >
<elementText elementTextId =" 32195 " >
<text > Douglas, B. J. (Barry James), 1947- </text >
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<name > Date </name >
A point or period of time associated with an event in the lifecycle of the resource
<elementTextContainer >
<elementText elementTextId =" 32196 " >
<text > 1986 </text >
</elementTextContainer >
</element >
<element elementId =" 50 " >
<name > Title </name >
<description > A name given to the resource </description >
<elementTextContainer >
<elementText elementTextId =" 32198 " >
<text >
Lignite resources of Central Otago. Manuherikia group of Central Otago, New Zealand : stratigraphy, depositional systems, lignite resource assessment and exploration models
</text >
</elementText >
</elementTextContainer >
</element >
<element elementId =" 49 " >
<name > Subject </name >
<description > The topic of the resource </description >
<elementTextContainer >
<elementText elementTextId =" 32204 " >
<text > Cenozoic </text >
</elementText >
<elementText elementTextId =" 32204 " > ... </elementText >
<elementText elementTextId =" 32205 " >
<text > Coal geology </text >
</elementText >
<elementText elementTextId =" 32205 " > ... </elementText >
<elementText elementTextId =" 32206 " >
<text > Lithostratigraphy </text >
</elementText >
<elementText elementTextId =" 32206 " > ... </elementText >
<elementText elementTextId =" 32207 " >
<text > Sedimentology </text >
</elementText >
<elementText elementTextId =" 32207 " > ... </elementText >
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<elementTextContainer > ... </elementTextContainer >
</element >
<element elementId =" 49 " > ... </element >
</elementContainer >
<elementContainer > ... </elementContainer >
</elementSet >
<elementSet elementSetId =" 1 " > ... </elementSet >
</elementSetContainer >
<elementSetContainer > ... </elementSetContainer >
<tagContainer >
<tag tagId =" 433 " >
<name > deltoid sedimentation </name >
</tag >
<tag tagId =" 433 " > ... </tag >
<tag tagId =" 432 " >
<name > fluvial sedimentation </name >
</tag >
<tag tagId =" 432 " > ... </tag >
<tag tagId =" 434 " >
<name > lacustrine sedimentation </name >
</tag >
<tag tagId =" 434 " > ... </tag >
<tag tagId =" 431 " >
<name > lignite </name >
</tag >
<tag tagId =" 431 " > ... </tag >
<tag tagId =" 430 " >
<name > Manuherikia Group </name >
</tag >
<tag tagId =" 430 " > ... </tag >
</tagContainer >
<tagContainer > ... </tagContainer >
</item >
</itemContainer >
| http://theses.otagogeology.org.nz/items/browse?output=omeka-xml&sort_dir=d&sort_field=Dublin+Core%2CCreator&tags=Manuherikia+Group |
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(PDF) Geomorphic Assessment of the Lower White River: Valley Landform Delineation, Reach Typing, and Geomorphic Condition Assessment.
PDF | The first comprehensive Geomorphic Assessment of the Lower White River, Utah and Colorado, including valley landform delineation, river reach... | Find, read and cite all the research you need on ResearchGate
Technical Report
Geomorphic Assessment of the Lower White River: Valley Landform Delineation, Reach Typing, and Geomorphic Condition Assessment.
February 2019
DOI: 10.13140/RG.2.2.28838.57924/1
Affiliation: Utah State University
Authors:
<here is a image 48756c123e7ca6e2-3eee13be077f9397>
Gary R O'Brien
Utah State University
<here is a image ff0b81e4b5e35be0-c96ff48ab318a7c5>
Geoff Stevens
Utah State University
<here is a image 3e007f68deb23896-76a69df1a2620adc>
William Wallace Macfarlane
Utah State University
<here is a image df8eb1ffceacda01-cc22c2815897ab38>
Joseph M. Wheaton
Utah State University
Abstract and Figures
The first comprehensive Geomorphic Assessment of the Lower White River, Utah and Colorado, including valley landform delineation, river reach typing, geomorphic condition, 80-year channel change record, results of riparian condition assessment (R-CAT), and case study scenarios of endangered fish and invasive vegetation removal.
<here is a image d7531ebcef779714-89bbe84ace66263d>
Summary of main geomorphic findings for the lower White River from Kenney Reservoir to confluence with Green River. From top: channel confinement and constriction; channel sinuosity, geomorphic condition and reach types. Grey background indicates interval of BLM managed land highlighted in our BLM study reaches. …
<here is a image aa507c9616a8ce81-40f96fa3cf77bafd>
Shows layers produced from the confining margin analysis. (A) Refined valley bottom polygon overlying original VBET output valley bottom, showing explicit confinement margins by precise mapping of fans, terraces, and valley margins; (B) Valley bottom polygon overlain by valley landforms, mapped by Tier 2 geomorphic attributes; (C) planform and channel midline mapped as bankfull width. Images are Google Utah imagery 2015. …
<here is a image 6fb109b8e1cb077c-567d974df5cb8dc5>
The lower White River shown over a portion of the Lower White watershed. Map shows valley setting, depicted as channel and valley confinement resolved as laterally unconfined, partly confined, and confined valleys. …
<here is a image ac1bd9cfd3290d6a-4936de90a944a2f0>
Schematic showing the extent and types of potential confining margins in the lower White River in Utah. Valley landforms are shown as polygons and valley margin geomorphic units are shown as a polylines. Both are delineated as Tier 2 geomorphic units …
<here is a image ef67627908e5eeb2-4b346d1db56c98af>
+2
alley edge confining margin data per reach types, for the Utah portion of White River. …
Figures - uploaded by
Gary R O'Brien
GEOMORPHIC ASSESSMENT
OF THE
LOWER WHITE RIVER
Valley Landform Delineation, Reach Typing and
Geomorphic Condition Assessment
Lower White River, Utah. Photo credit, Jerrad Goodell
Prepared by:
Gary O'Brien , Geoff Stevens, Wally Macfarlane, and Joe Wheaton
Department of Watershed Sciences,5210 Old Main Hill, Logan, UT 84322 - 5210
White River Geomorphic Assessment
Prepared for:
Bureau of Land ManagementUtah State Office 440 W 200 S #500, Salt Lake City, UT 84101
Dec ember2018
Recommended Citation:
O’Brien G ., Stevens G ., Macfarlane W., and Wheaton, J.Geomorphic Assessment of LowerWhite River : Valley Landform
Delineation, Reach Typing and Geomorphic Condition Assessment. Prepared for Bureau of Land Management . Utah State
University Ecogeomorphology & Topographic Analysis Lab.Logan, UT. 99 Pages.
White River Geomorphic Assessment
3 of 99
CONTENTS
List of Figures ................................................................................................................................................................5
Executive Summary .......................................................................................................................................................7
Definitions ................................................................................................................................................................ 10
Project Background and Purpose ................................................................................................................................ 11
Regional background ................................................................................................................................................... 11
Geographic setting ................................................................................................................................................... 11
Geology and Geomorphic setting ........................................................................................................................ 14
Land use .............................................................................................................................................................. 17
Methods ....................................................................................................................................................................... 21
Study areas ............................................................................................................................................................. 21
River classification and geomorphiccondition ......................................................................................................... 23
Reach Type Classification ................................................................................................................................... 23
Valley Setting and Channel Confinement ............................................................................................................ 24
Geomorphic Condition ......................................................................................................................................... 26
Model inputs and tools ............................................................................................................................................. 28
Mapping the Valley Margin .................................................................................................................................. 29
Mapping Valley Margin Geomorphic Un its.......................................................................................................... 30
Application of model improvementsin BLM study areas ......................................................................................... 34
Riparian Condition Assessment Toolbox (R - CAT) ................................................................................................... 35
Channel change methods ........................................................................................................................................ 39
Methods for Analyzing Stream Channel Change through Time Using Georeferenced Imagery ......................... 39
Results – Assessment of geomorphic stream and valley attributes ............................................................................. 40
Reach types –characteristics of river form and function ......................................................................................... 41
Valley setting of lower White River ...................................................................................................................... 41
Reach type distribution ........................................................................................................................................ 42
Reach type descriptions ...................................................................................................................................... 44
Geomorphic Condition ............................................................................................................................................. 51
Explanations of geomorphic condition ................................................................................................................. 55
Results of mapping the valley margin ...................................................................................................................... 56
Map of the valley margin and confining margin geomorphic units ....................................................................... 57
Refined valley bottom .......................................................................................................................................... 59
Bureau land management study reach A (BLM - A) .................................................................................................. 60
Confining margin geomorphic units ..................................................................................................................... 61
Bureau land management study reach B (BLM - B) .................................................................................................. 64
Partly confined valley, low sinuosity planform - controlled gravel bed ................................................................... 84
Partly confined valley, moderate sinuosity, planform -controlled discontinuous floodplain ................................... 85
Unconfined valley, low - sinuosity gravel bed ........................................................................................................ 87
Unconfined valley, meandering gravel bed ......................................................................................................... 88
Appendix B: Methods for Analyzing Stream Channel Change through Time Using Georeferenced Imagery ......... 90
White River Geomorphic Assessment
5 of 99
LIST OF FIGURES
Figure 1 –Summary of main geomorphic findings for the lower White River from Kenney Reservoir to confluence with
Green River. From top: channel confinement and constriction; channel sinuosity, geomorphic condition and reach
types. Grey background indicates interval of BLM managed land highlighted in our BLM study reaches. ....................9
Figure 2 –US EPA Level 4 Ecoregions for the Lower White River watershed. ........................................................... 13
Figure 3 –Temperature and precipitation data for period of record 1894 -2016, for Rangely, CO. Mean annual
precipitation in Rangely, CO is 10.0 in. At Bonanza near theUtah border it is 8.8 in., and at the mouth near Ouray,UT,
is 6.4 in. Western Regional Climate Center (2013). Cooperative Climatological Data Summaries. Retrieved from:
https://wrcc.dri.edu/summary/Climsmut.html ......................................................................................................... 14
Figure 4 – Geology of the Lower White River watershed in Utah and Colorado, showing rocks and surficial deposits of
the Uinta Basin and eastward uplands. ........................................................................................................................ 15
Figure 5 – Stratigraphic section for Uinta Basin sedimentary sequence. Note that the rocks depicted here are the
majority of thoseunderlying the White River from Kenney Reservoir to the Green River Confluence, although older
strata are important in the context ofthe Lower White River watershedand are shown on Figure 4 (Modifiedfrom
Hintze and Kowallis, 2009; Sprinkle,2007, 2009) ........................................................................................................ 16
Figure 6 – Location and extent of Natural Buttes natural gas field comprising surface and subsurface rocks of the
Eocene Uinta and Green River Formations (modified from Wood and Chinsey, 2015). .............................................. 18
Figure 7 –Combined peak flows and average annual flows for the White River, near Watson, Utah. ........................ 20
Figure 8 –Daily discharge for White River near Watson, Utah for period 10 -2017 to 10 -2018. Aerial photography used
to complete this geomorphic assessment was taken on July 21, 2015, at a discharge of ~1780 cfs. .......................... 21
Figure 9 –Areas of focus in this study: (1) the entire Lower White River watershed; (2) from Kenney Reservoir to the
mouth; (3) from Utah border to the mouth; (4) study reaches within BLMowned land. ............................................... 22
Figure 10 –Procedural tree for reach types delineated in the White River watershed (note: this is not a dichotomous
key; each top category simply includes the features below it or not). .......................................................................... 24
Figure 11 –Schematic of valley settings identified in this report (alsosee Table 1). ................................................... 25
Figure 12 –Confinement depicted for a confined and unconfined valley settings (fromO'Brien and Wheaton (2015).
The diagram on the left has little or no adjustment potential, whereas the diagram on the right possesses very high
lateral and even vertical adjustment potential. Arrows indicate the vertical and lateral adjustment possible for each
valley setting. ............................................................................................................................................................... 27
Figure 13 –Shows layers produced from the confining margin analysis. (A) Refined valley bottom polygon overlying
original VBET output valley bottom, showing explicit confinement margins by precise mapping of fans, terraces, and
valley margins; (B) Valley bottom polygon overlain by valleylandforms, mapped by tier 2 geomorphic attributes; (C)
planform and channel midline mappedas bankfull width. Images are Google Utah imagery 2015 . ............................ 33
Figure 14 –Conceptual diagram of the Valley Bottom Extraction Tool (V -BET) workflow showing the input data required
and the seven processing steps. .................................................................................................................................. 36
Figure 15 –A conceptual diagram of the riparian vegetationdeparture index showing how mid points of the drainage
network (1) are used to generate Thiessen polygons (2) andhow these polygons are buffered by the resolution of the
vegetation data to ensure that vegetation data is completely contained within the valley bottom in headwater reaches
(3) . Riparian vegetation departure is calculated using the ratio of existing area of native riparian vegetation (4) to historic
area of native riparian vegetation (5) and the output is a segmented drainage network containing riparian departure
from historic condition scores (6). ................................................................................................................................ 37
Figure 16 –Conceptual diagram of riparian condition assessment (RCA) tool showing how midpoints of a drainage
n etwork (A) are used to generate Thiessen polygons (B). Riparian vegetation departureindex outputs (C) are combined
with land -use intensity (D) and floodplain accessibilityoutputs (E) within a Fuzzy Inference System (F)to produce a
segmented drainage network containing riparian condition assessment scores (G). .................................................. 38
Figure 17 – Example of results of channel change analysis for White River on BLMowned land, between 1936 and
2016. This image shows bankfull width polygons digitized for both datasets, as well as channel offset due to lateral
stream adjustment. ....................................................................................................................................................... 40
White River Geomorphic Assessment
6 of 99
Figure 18 – The lower WhiteRiver shown over a portionof the Lower White watershed. Map shows valley setting,
depicted as channel and valley confinement resolved as laterally unconfined, partly confined,and confined valleys. 42
Figure 19 –LowerWhite River shown resolved as reach types from Taylor Draw Dam (Kenney Reservoir) to c onfluence
with the Green River. ................................................................................................................................................... 44
Figure 20 –Unconfined valley, meandering gravel bed reach type. Scroll bars and cutoff meander loops are indicated
on the photograph. Arrows show the direction of meander scrolling or adjustment, leading to successivescroll bars.
..................................................................................................................................................................................... 45
Figure 21 –Unconfined valley, low sinuosity gravel bed reach type. ........................................................................... 45
Figure 22 –Partly confined valley, anabranching reach type. ...................................................................................... 46
Figure 23 –Partly confined valley, meandering planform discontinuous floodplain reach type. .................................. 47
Figure 24 –Partlyconfined valley, moderate sinuosity,planform -controlled discontinuous floodplain reach type.
Examples of discontinuo us floodplains are outlined in red. .......................................................................................... 47
Figure 25 –Partly confined valley, lowsinuosity, margin -controlled discontinuous floodplain reach type. .................. 48
Figure 26 –Partly confined valley, low - sinuosity, fan - controlled discontinuous floodplain reach type. ....................... 49
Figure 27 –Partly confined valley, lowsinuosity planform -controlled gravel bed. ....................................................... 49
Figure 28 –Confined valley, margin - controlled gravel bed. ......................................................................................... 50
Figure 29 –Confined valley, entrenched bedrock canyon. .......................................................................................... 50
Figure 30 –Lower White River belowKenney Reservoir resolved as geomorphic condition. ..................................... 54
Figure 31 – Explanation of geomorphic condition for variants of the partly confined valley, low sinuosity margin -
controlled gravel bed reach type. ................................................................................................................................. 56
Figure 32 –Schematic showing the extent and types of potential confining margins in the lower White River in Utah.
Valley landforms are shownas polygons and valley margin geomorphic units are shown as a polylines. Both are
delineated as Tier 2 geomorphic units (see Table 3). .................................................................................................. 58
Figure 33 –Comparison ofvalley bottom polygons producedfor this study. The VBET output is shown in red, whereas
the refined confining margin is shown in light green. ................................................................................................... 60
Figure 34 –Confinement classification and confining features shown for BLM - A. ....................................................... 61
Figure 35 –Valley edge confining margin data per reach types, for the Utah portion of White River. ......................... 63
Figure 36 –Valley edge confining margin data per reach types, for the BLM study reach B. ...................................... 65
Figure 37 –Riparian Vegetation Departure outputs for the Lower White River watershed. ......................................... 67
Figure 3 8 –Riparian Vegetation Conversion Type (RVCT) outputs for the Lower White River watershed. ................. 68
Figure 39 –Riparian Condition Assessment outputs for Lower White Riverwatershed. ............................................. 69
Figure 40 –Average bankfull channel area reduction from 1936 to 2016 for BLM managed land along the White River
in Utah and Colorado. .................................................................................................................................................. 71
Figure 41 – Tamarisk and Russian olive removal sites shown in context with corresponding reach types. ................. 73
Figure 42 – Distribution of spawning habitat and pit tag detected native fish species in the White River, 2013 - 2015.
Reproduced from Budy, 2014, unpublished data, and Fiorelli and Breen (2015). ........................................................ 74
Figure 43 – Explanation of geomorphic condition for variants of the Confined valley, margin - controlledgravel bed reach
type. ............................................................................................................................................................................. 81
Figure 44 –Explanation of geomorphic condition for variants ofthe partly confined valley, low sinuosity margin -
controlled gravel bed reach type. ................................................................................................................................. 82
Figure 45 – Explanation of geomorphic condition of partly confined valley, fan - controlled discontinuous floodplain reach
type. ............................................................................................................................................................................. 84
Figure 46 – Explanation of geomorphic condition of partly confined valley, planform -controlled gravel bed reach type.
..................................................................................................................................................................................... 85
Figure 47 –Explanation of geomorphic condition of partly confined valley, moderate sinuosity, planform - controlled
discontinuous floodplain. .............................................................................................................................................. 86
Figure 48 – Explanation of geomorphic condition of unconfined valley, low sinuosity gravel bed. ............................... 88
Figure 49 – Explanation of geomorphic condition of unconfined valley, meandering gravel bed reach type. .............. 89
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EXECUTIVE SUMMARY
• This report, contracted by the Bureau of Land Management (BLM), provides an assessment of geomorphic
attributes and geomorphic condition for the lower White RiverbelowKenneyReservoir to the Green River
confluence and presents a framework formodeling the geomorphic units of the valley that form confining
margins of the river.
• The Lower White River watershed (7000 km 2 ) resides within the northernmost region of the Colorado
Plateau P hysiographicP rovince . The riverdescends through and intersects three EPA Level IV Ecoregions
consisting of arid and semiarid desert plateau country,and includesthe oil and natural gas -rich Uinta Basin.
• We identified nine riverreach types between Kenney Reservoir and the confluence with Green River, based
on valley setting (extent of channel confinement), floodplain areal extent,channel planform and sinuosity,
and the nature of the channel bed material. We identified and mapped two reach types inconfined valley
settings (15 km), five reach types in partly -confined settings(103 km), and two reach typesin laterally
unconf ined valley settings (63 km) ( Figure1).
• T he lower White River is in good geomorphic condition despite considerable human impact adjacent to and
in some cases in th e floodplain or in the channel. Impacts are mostly from municipal, agricultural and
economic (oil and gas extraction infrastructure) development .There are 5 good (91 km), 7 moderate (61
km) and 4 poor (23 km)geomorphic condition variants of the nine reach typesalong the river .Yet within 53
km of BLM - owned land we studied, only 2 km were assessed in moderate or poor condition.
• Calculation of channel confinement and modeling of the valley bottom forthe lower White River were
derived from GIS-based tools(Confinement Tooland Valley Bottom Extraction T ool (VBET) , respectively) .
Additionally, we mappedvalley geomorphic units and valley landformsalong 322 km of the valley margin
along both banks.The mapping was done manually bya trained geomorphologist usinghigh - resolution air
photos from 2017. Together, the valleygeomorphic units and valley landforms comprise the potential
confining margin of the river channel (the margin of potential channel contact). This new, combined dataset
represents a refined valley bottom useful for analyzing controls on channel morphology and floodplain
extent.
• We analyzed channel change for the lower White Riverbetween 193 6and 2017 within BLM - owned tracts in
Utah. Results of the active channel shows that capacity for late ral adjustment , an important stream
characteristic measuring geomorphic and habitat diversity, is high in the lower White River. However,
channel widths have narrowed in the last 8 1 yearswith the onset of successful colonization by invasive
species.
• Reach type, geomorphic condition, confinement, sinuosity and valley geomorphic unitand landform
analyses were completed forthe lower WhiteR iver between KenneyReservoir and theconfluence with
Green River, and in greater detail for53 km of BLM -managed public land tracts .All of these analyses were
interpreted, delineated and calculated entirely by manual techniques. Five of nine reach types were found
within the BLM -managed public landtracts, dominated by partly confined valley settings. Potential and
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active confining margins are dominated by bedrock , colluvium -mantled hillslope, and alluvial fans. This is
similar to proportions found on thelower river between KenneyReservoir and the confluence withGreen
River ( Figure1).
• Case study: T amariskand Russian olive treatment areascorrelate with reach types in BLM managed areas
that have higher adjustment potential, and therefore may respond favorably to removal efforts.
• Across the Lower White River watershed, the RVD tool revealed roughly81% of the perennial drainage
network showed significant to large departures from historic condition indicating that riparian vegetation
along the vast majority of watershed’s drainage network have been significantly altered since Euro -
American settlement. These departure patterns are distinct with much lowerdeparture scores on the
mainstem compared to the tributaries.
• The RVCT output for Lower White River watershed identified conversion to grass/shrub (27%) was themost
common conversion followed by conversion to invasive species (19%) where tamarisk and Ru ssian olive
invasion is common . The ‘negligible departure’ balance (35% of all perennial riparian areas) were ev enly
distributed throughout the mainstemand the tributaries of the watershed’s drainage network.
• Across the Lower White Riverwatershed, the RCA tool showed that roughly72 % of unconfined valley
bottoms were in moderate to very poorriparian condition .Floodplains ofthe mainstem where agricultural
uses are commonwere frequently in moderate to poor condition ( Figure37 . ). In contrast, i ntactand good
condition were common in publicly -owned floodplain ecosystems along the mainstem White River where
transportation infrastructure and intensive land use s are notcommon . M oderate to poorcondition
floodplains occurred throughout the perennial tributaries, often corresponding to rural land use common
along these river corridors.
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Figure 1 – S ummaryof main geomorphic findings f or thelower White River from KenneyReservoir to confluence with
Green River. From top: channel confinementand constriction ; channel sinuosity, geomorphic condition and reach
types. Grey background indicates intervalof BLM managed land highlighted in ourBLM study reaches .
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DEFINITIONS
Terms relating to geoprocessing and geomorphology used throughout this report and are defined in Table 1. These
terms mostly relate to adiscussion of the valley, channel and floodplain that are important in this geomorphic
assessment of the lower White River.
Table 1 . Definitions of geomorphic terms used in this study . See Figure 11 for a graphical overview of these terms
(modified in part from Table 1, Fryirset al. (2016) ).
Term
Definition
Valley confinement
The position of the channel on the valley floor and the degree to which the active channel is in
contact with potential confining margins on either bank. In this study, we defined this as
confined , partly - confined, and laterally unconfined.
Channel marg in
The channel margin is the edge of the active channel (in many systems this corresponds with a
bankfull margin). The channel margin is the boundary between where regular fluvial flows take
place and other areas (e.g. floodplains where less frequent fluvial flows take place; terraces,
where historic fluvial flows took place; hillslopes where fluvial flows do not take place).
Confining margin
Any section of channel margin (either side) that abuts against a valley margin or valley bottom
margin (for natural settings) and/or anthropogenic margins (for human -impacted settings). The
confining margin is not defined by what provides the confinement (e.g. levee vs. bedrock valley
wall), but instead by what the channel is currently abutting against.
Valley bott om
The valley bottom comprises the channel and the contemporary (active) floodplain.
Valley margin
The valley margin is defined at the transition between the valley floor and bedrock hillslopes.
This includes not just bedrock outcrops, but also regolith and soils derived from non - alluvial
sources. The valley margin comprises the valley bottom and the inactive floodplains (i.e.
terraces) and fans (both alluvial and colluvial) (see Figure 11 ).
Valley floor landforms
Or “Valley landforms”
Landforms that are part of the valley perimeter (excluding the floodplain), that, along with the
valley margin, form the potential confining margin. In this study, they are fans and te rraces.
Valley bottom margin
The valley bottom margin separates the valley bottom landforms(e.g., floodplain geomorphic
units) from other valley landforms (e.g. fans and terraces) and/or upland and hillslope
landforms. Confined, partly confined and laterally unconfined valley settings are defined by the
extent of the valley bottom margin .
Potential confining
margin
Any margin or border of the valley or valley landform where the channel could potentially be
confined against either bank (see Figure 11 ).
Constriction
Length of channel that is in contact withconfining margins along both banksin proportion to a
given stream length.
Channel sinuosity
The ratio of channel length to straight line distance of the channel, a measure of channel
curvature.
Valley sinuosity
The ratio of valley length to straight line distance of the valley, a measure of valley curvature in
contrast to the channel flowing wit hin it.
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PROJECT BACKGROUND AND PURPO SE
The main purpose of this study is to reportand discuss findings of a geomorphic assessment of t he lower White River,
from Taylor Draw Dam ( Kenney Reservoir) to the confluence with the Green River.The report is divided intotwo parts.
In part one, we describe an overview of the landscape and its building blocks followed by a classification of the various
channel types and their relative conditions. The initial step of thegeomorphic assessment wasto determine ri ver
character (form) and behavior(function). We analyze valley and channel confinement, channel sinuosity and planform,
bed material, and in - channel (where visible) and out - of-channel geomorphic units .We do this for the entire lower White
River below thereservoir, and for two focused study reaches entirely spanning BLM land in Utah. We also provide a
study of channel change over the period of 193 6-present, where shifts inchannel position and width are detected and
mapped. Finally, we examinedriparian c onditionthroughout the entire Lower White River watershedas an indication
of overall geomorphic and habitat condition.
In part two, we explore the geomorphology of the White River with the objective of providing a better set of tools for
managers to understand the foundation of riparian and aquatichabitats within and adjacent tothe channel. To
accomplish this, we discuss and present model inputs that build on existing GIS tools used to model the valley bottom
and channel confinement. We present new precise mapping of the valley margin that significantlyrefines theextent of
the valley bottom and partitions the valley edgeinto component geomorphic units and landforms that occupy the valley
bottom . The geomorphic units and landforms maps are presente d in a simple tiered topology organizingthe landforms
into fans and terraces ,and the valley edges into hillslope types —colluvium, talus, and bedrock.The new precise
mapping and classifications accomplish three objectives: (1) provide s the basis for better understanding controls on
channel behavior and habitat formation; (2) provides a basis for exploring potential new sediment sources to the
channel and their effects onhabitat; and ( 3 ) set sthe stage to build an automated GIStool tha t will map valley
geomorphic units, and differentiate valley confinement from valleybottom confinement.
To explore these new innovations, w efocus on the geomorphic setting of thelower White River within two BLMstudy
areas , discuss potentialsediment sources from the valley margins and how these nascent models might inform habitat
quality and characteristics . We explore the hypothesis that modeling the wholevalley and a precisely delineated stream
course together with our refined inputs will lead to a better depiction of geomorphic attributes in BLM managed portions
of the river, and potentially, the ability to use these geomorphic attributes to actively interpre t native fish habitat
elements throughout other reaches of the lower White River. This study was not funded to include field work , so
the assessment was built entirely usingaerial photography and the use of GIS toolsto create digital depictions of the
valley, valley bottom and stream course. We list the geomorphicattributes present in the lower White River individually
and collectively, and highlight someinstances where attributes may indicateimproved or degraded habitat.
REGIONAL BACKGROUND
GEOGRAPHIC SETTING
The White River is a west -flowing tributary of the GreenRiver origina tingin the Flat Tops Wildernesshigh plateaus of
west Central Colorado. The L ower White River watershed (7000 km 2 ) resides within the northernmost region of the
Colorado Plateau Physiographic Province .The rivers’ extent covered here lies at or below 5300’ asl, the elevation of
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Kenney Reservoir and Rangely, Colorado. The average watershed elevation is 6880 ft. asl. This region descends
through and intersects three EPA Level IV Ecoregionsconsisting of ar id and semiarid desert plateau country ( Figure
2). T he Shale Deserts and sedimentary basins under lie the White River from Kenny Reservoir to the Colorado - Utah
border. This region is characterized byTertiary claystone, siltstone, mudstone and shale, forming broad alluvial valleys,
with rolling hills, plains, basins, badlands and plateaus . This arid landscape is sparsely vegetated by brush and
shrublands (i.e., sage, blackbrush and saltbrush) denuded by arroyos, and provide s asource of sedimentto the river
through rampant erosion of soft rocks . T he S emiarid Canyonlandslie adjacent to and underlie portions of the river in
both states. These are thehigh relief, disse cted plateau region consisting of benches and mesas, steep hillslopes, cliffs
and alluvial fans underlain by Tertiary and Cretaceous siltstone and sandstones. It is covered by pinyon - juniper
woodlands (mean annual precipitation 8 - 10 in ; Figure 3),Gamble Oak woodlands, and sage steppes. Surrounding the
lower White River from the Utah border to the Green River, is the Uinta Basin F loor , an arid synclinal (saucer - shaped)
basin containing streams andterraces, floodplains, rollinghills, mesas and benches.It is underlain by fine - grained
rocks of the Eocene Uinta formation, and is coveredubiquitously by alluvial, eolian (wind -deposited), and coarse
outwash deposits ( Figure4). The sparsely vegetated regionis mostly covered by sagebrush and saltbrush , arid soils
and low annual precipitation(around 6.4 in. mean annual precipitation) and receives abundant runoff f rom mountain
streams (Woods et al., 2001) .
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Figure 2 – US EPA Level 4 Ecoregions for the Lower White River w atershed .
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Figure 3– Temperature and precipitation data for period of record 1894 -2016, for Rangely , CO . Mean annual
precipitation in Rangely, CO is 10.0 in. At Bonanza near the Utah border it is 8.8 in., and at the mouth nearOuray, UT ,
is 6.4 in. Western Regional ClimateCenter (2013). Cooperative Climatological Data Summaries. Retrievedfrom:
https://wrcc.dri.edu/summary/Climsmut.html
Geology and Geomorphic setting
Origin and History
The Lower White River watershed spans an area of eastern Utah and western Colorado that is characterized by
structural deformation composedof a series of upwarps and downwarpsactivated during the late Cenozoic Laramide
Orogeny about 66 - 40 million years ago. To the east in Colorado, the landscape is underlain mostly by Cretaceous
and older rocksuplifted against the basin - fillstratigraphy of mostly Tertiary and younger age ( Figure 4 ). To the west
in Utah, t he asymmetricUinta basin was formed in response to sediments eroded from the Uinta uplift (the present -
day Uinta Mountains) into anadjoining topographic depression (The Uinta uplift -Uinta Basin “couplet”). It developed
during early Tertiary time and contains up to 10,000 feet of lower Tertiary fluviatile and lacustrine deposits. During
Eocene time (~50 - 30 million years ago ), largeregional lakes deposited thick sequences offine sediments and
freshwater limestones. The younger lacustrine deposits became the Green River Formation, whose paleo landscape
became one of the world’s only majornon -marine oil and gas sources (Carroll and Bohacs, 2001) .The thick
sequences of fine sediments deposited in the basin have been subsequently uplifted and eroded, revealing badland
topography (Hintze and Kowallis, 2009) .
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Figure 4 –Geology of the Lower White River watershedin Utah and Colorado, showing rocks and surficial deposits of
the Uinta Basin and eastward uplands.
Lower White River transect through bedrock landscape
The Utah portion of the White River canyon flows throughand intersects the Eocene Uinta formation, composed of
fine- to very fine - grained sandstone and siltstone,minor conglomerate, shale, tuffaceousinterbeds ,mudstone and
claystone. This is the bedrock exposed at river level and forming the overlyingcliffs, badlands, hillslopes and
adjacent landscapes viewed from the river through BLM land(Sprinkle, 2007) .These fine - grained units areunderlain
downstream of the UT-CO border by the Parachute Creek Member of the Eocene Green River formation, a
moderately resistant, organic - rich marlstone, siltstone, sandstone, and oolitic limestone . The Green River Formation
is a source of oil shale deposits, crude oil,and natural gas reserves(Dean and Anders, 1991; Sprinkle, 2009) . The
dominantly fine -grained surficial geologic units imply that there is littleheterogeneity in this landscape with respect to
sediment load to the White River (Figure 5). L ocal beds crop out as resistant cliff - forming exposures, but most
bedrock exposures are sloping landscape expressions that resemble gentle hills and colluvial slopes, and can be
distinguished as bedrock by theirprimary bedding that is often tilted . More resistant beds are the sourceof coarse
colluvium and talus on hillslop es, and coarse material in fans and landslide deposits.
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Figure 5– Stratigraphic section for Uinta Basinsedimentary sequence .Note that the rocks depicted here are the
majority of those underlying the White River from Kenney Reservoir to the Green River Confluence, although older
strata are important inthe context ofthe Lower White River watershedand are shown on Figure 4(Modified from
Hintze and Kowallis, 2009; Sprinkle,2007, 2009) .
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L and use
Oil and Natural Gas resources and impacts
The Uinta Basin is an asymmetric, structural trough. Oil and gas reserves are ubiquitous throughout the regionand
accumulated in response to structuralcontrol of the basin to sedimentation. The configuration of the basin is
controlled by pre -T ertiary structural trends(formation of anticline fossil fueltraps, for example) .Oil and gas
accumulations are situated in response to these structural trends and their effect on Tertiary sedimentation(Osmond,
1992) . F luvial - lacustrine oil and gas reservoirs permeating the Eocene Green River Formation also contains coal
beds and, oil shale beds, and tar sandbeds(Cashion, 1967; Dean and Anders, 1991) .Much of the oil and gas
developed during lake - phase sedimentary dynamics during the Eocene .Surrounding the White River in the
subsurface is the large Natural Buttes, Bonanza and Kennedy Wash natural gas fields, and north of the river, crude
oil is recovered from the Gypsum Hills, Wonsits Valley, and White River oilfields (Wood and Chidsey, 2015) ( Figure
6) . The reservoirs are in Tertiary and Cretaceous rocks(Hintze and Kowallis, 2009) .The Natural Buttes natural gas
field has over 400 wells spread across a continuous area of ~1000 km 2 . Roads and drilling are the greatest
environmental impacts, and the infrastructure reaches the river at many access points.
Shale oil development
Oil shale exists in the beds of the Green River Formation. Attempts have been made to mine and refine shale oil from
deposits close to the White River, with plans to place a reservoir mid - channel to facilitate operations. Oil shale
developments require large quantities of water for their operationsthat are either pumped as ground water or diverted
from the stream (Boyle et al., 1984) .There are plans to reopen oil shale refinery activities in the vicinity of the previously
closed White River Mine (landleased by BLM)(Aho, 2015) .
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Figure 6– Location and extent of Natural Buttes n atural gas f ieldcomprising surface and subsurface rocks of the
Eocene Uinta and Green River Formations (modified from Wood and Chinsey, 2015) .
Agriculture and urbanization
The White River basin is less than 1% developed (Ries Iii et al., 2017) (National land cover dataset ,
https://www.mrlc.gov/2018/ ). Valley bottom floodplain farming and grazing was a natural draw for settlers who first
inhabited the openWhite River valley near Rangely, CO., because soils are fertile, fine, and well sorted; water is
plentiful, and the landscape is accessible and flat. Farming operations extend 25 kmdownstream of Kenney
Reservoir . Downstream of this, the alluvial valley becomes narrow , lacks roads, and bedrock walls restrict
accessibility. Valley bottom floodplainfarming is also the primary local economic resource upstream of the reservoir
for more than 100 km, in the vicinities of White River City and Meeker, CO., where adjacent landscapes are rugged
and not suitable for large scale agriculture.
I mpacts to the natural riparian environment and stream ecology of the lowerWhite River include water quality
changes from application and subsequent runoff of fertilizers and sewage (point - source pollution) (Lentsch et al.,
2000) , and water temperature changescaused byriparian cover removal .F loodplain development, soil compaction
and channel course stabilization (prevention of channel adjustment) ,stream diversion for floodplain irrigation and out -
of - channel mining, industrial and urbanization operations(Aho, 2015)(Boyle et al., 1984)pose most of the
challenges to maintaining a healthy riverscapeand suitable habitat for threatened and endangered species offish
(e.g., Haines et al., 2004) ,andaccount for deviations from good geomorphic condition cited in this repor t.
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H yd rology and flood control in the lower White River Watershed
The White River basin covers 12,969 km 2and includes the Lower White ( 7064 km 2 ); UpperWhite (3534 km 2 )and
Piceance - Yellow Creek (2371km 2 ) watersheds. It generates annual average flows of around 680 cfs(cubic feet per
second) ( USGS gauge 09306395, near Utah -Colorado border ). Annual flows of 660 - 690 cfs have been remarkably
consistent over the last 100years or so of record ( Figure 7). The a verage annual flow atmouth of White River is 836
cfs, so it picks up a few hundred cfs on average from downstream tributaries . Peak discharge averages 3800 cfs but
has declined from p re -dam average of ~4200 cfs to about 3000 cfs annually since Taylor Dam was installed and n ow
provides flood control . Yet dam controlled flows do not dampen the natural hydrograph significantly and shows a typical
pattern of low flow in the winter, a climbing limb in the spring,and peak runoff in the summer ( Figure 8). Pre -and post -
dam hydrographs are not significantly different (cf. Grams et al., 2013). The average2 -year flood is 4200 cfs (Ries Iii
et al., 2017) .Haines et al. (2004) recommended a continuation of base flows to support native fish species, whereas
Schmidt and Orchard (2002) determined that flows of 1400 cfs were required to maintainthe channel configuration ,
and flows ranging 150 -600 cfs were required to maintain habitat (e.g., riffle s and pools;in this case, for Colorado Pike
Minnow ). These parameters fall wellwithin the historic average flows of the river shownin Figure 7 and in recent,
contemporary flows ( Figure 8) . Figure 8also shows the year (201 5) foraerial imagery used in this study;it was taken
June 21, 2015, so interpretations of channel type and condition were based on flows of ~ 1780 cfs.
The White Riv er is dam - controlledbyTaylor Draw Dam(Kenney Reservoir) , located above Rangely, CO. It operates
under guidelines of a Federal Energy Regulatory Commission permit requiring “run of the river” management,
meaning that under the guidelines, waterleaving the reservoir must equal the amount of water entering the reservoir,
with minor alterations allowed forhydroelectric power generation(Rio Blanco Water Conservancy District; Haines et
al., 2004)Thus, the hydrographs have not been significantly altered. Behind the dam, Kenn e y Reservoir provides
water for recreation, flood control, and irrigation water for agriculture andmining operations , includingfor shale oil
(Aho, 2015) . Reservoircapacity is declining quickly through rapid siltation (i.e., from 13800to 8000 acre feet of
storage since 1983, about 315 acre feet per year). Flow over the dam is not regulatedper se, but a 2 -megawatt
generator comes on line during peak flows of the sea son . (City of Rangely, Co ;
https://www.colorado.gov/pacific/townofrangely/taylor -draw - dam-Kenney -reservoir ). Plans are currently being
promoted to build a new 90,000 ac. ftreservoir in Wolf Creek near Meeker, CO., upstream of Kenney Reservoir. This
new impoundment project would not be built on the White Riverbut would pump and maintain all its water fromthe
White, creating uncertain effectson currentfisheries (Conservancy ), and possiblybe allocated for oil -gas and oil
shale operations.
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Figure 7 –Combined peak flows and average annual flows for the White River, near Watson , Utah.
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Figure 8 – Daily discharge for White River near Watson, Utah for period 10 -2017 to 10 - 2018.Aerial photography used
to complete this geomorphic assessment was taken on July 21, 2015, at a discharge of ~1780 cfs.
METHODS
STUDY AREAS
We used four spatialextents for analys is in this study ,chosen asminimum areas to encompass each area of interest
( Figure 9). T he first is the entire White Riverwatershed, used to assess the riparian condition. The 2 nd extent includes
the l ower White River fromKenney Reservoir to the confluence . A 3 rd extent includes the Utahportion to map valley
geomorphic units ,and a 4th extentwas definedfor the study reaches within BLM managedland along the ri ver. For
the latter extent, w e chose two adjoining sections of river for the purpose of studying geomorphic attributes and
parameters in much greater detail than was done for the lower river,and explicitly for analyzing theseshorter reaches
in the context of their valley margin and valley bottom margin geomorphic units.The upstream study area, BLM - A, is
33 km long, and the downstream study area, BLM -B is 20 km long.
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Figure 9 – A reas of focus in this study: (1) the entire Lower White River watershed ; (2) fromKenney Reservoir to the
mouth; ( 3) from Utah border to the mouth; ( 4 ) study reaches within BLM owned land .
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RIVER CLASSIFICATION AND GEOMORPHIC CONDITIO N
Reach Type Classification
C ategorizing streams by theirgeomorphic attributes allows practitioners to understand and predict the form and
function of streams across the diversity of landscapes within a single catchment . For this study , we use da reach type
classification developed by Brierley and Fryirs (2005)that incorporates the valley setting(valley andchannel
confinement) , floodplain extent, planform characteristics and where possible, bed m aterial ( Figure10 ). Reach types
were determined for the lower White River downstream ofTaylor Draw Dam to the confluence of the Green River. The
method relies on the interpreta tions and documentationof a trained geomorphologist who visually determines
diagnostic geomorphic features using remote sensing techniques to delineate reachtypes (and verification by field
work — see final section Recommended Future Work ) . In this study, we placed added emphasis on geomorphic
indicators that are measured directly from air photos and rendered in GIS,and turned focus to only themains tem White
River, and morespecifically, downstream of theUtah border.For more information and background onhow this
technique was appliedelsewhere, the reader is referred to(Bennett et al., 2018; O'Brien and Wheaton, 2015; O’Brien
et al., 2017) .
The basis for geomorphic river classification is the systematic categorization of physical attributes of a river flowing in
its channel, the valley through which it flows, and the geomorphic features that comprise its floodplain and channel
(Buffington and Montgomery, 2013) .Through a spectrum of bedrock and alluvial variants, thesecharacteristics reflect
a balance of sediment supply andchannel transport capacity. A river’s character (or form) is its unique rive r
morphology, including valley, floodplain and instream geomorphic features. R iver behavior (or function) is the tendency
and capacity for adjustment within its valley settingand floodplain, tied to boundary conditions set by flow and sediment
fluxes typi cal for that stream. River behavior drives the assembly of geomorphic units present within its channel by
form and process associations. Alongthe lowerWhite River, we identifiednine distinct reach types incorporating the
attributes shown inFigure 10 .
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Figure 10 – Procedural tree for reach types delineated in the White River watershed(note: this is not a dichotomous
key; each top category simplyincludes the features below it or not).
Valley Setting and Channel Confinement
T he valley setting comprises the valley walls, valley landforms, floodplain (if present), and the channel. Potential
confining margins are definedby the valley marginor valley bottom margin. Channel confinement is a measure of the
ability of a channel to adjust laterally across its floodplain and between valley walls(Fryirs et al., 2016) .In this study,
c onfinement is measured asthe percentage of channel along a predetermined interval (500 meters) that is in physical
contact with a confining margin (also see Table1 and Figure 11 for more information) .
The calculation of forms of confinement outlined inFryirs et al. (2016) (valley confinement and valley bottom
confinement in this study ) take the formof :
Equation 1 = @
× 100
where is confinement (between 0 and 100%),
is the sum total centerline length of channel over the
distance that the channel margin along either bank abuts a confining margin (@ CM ), and is the total centerline
length of a channel segment under consideration. It is important to note that the measure of @ does not
double - count where the channel is confined along both banks and overlaps, which is a measure of constriction ; see
Fryir s et al. (2016). Also note that we usethe term segment as a nounto describe the portion of the network polyline
being analyzed, and not as a proxy for a river reach defined by geomorphiccharacteristics (Fausch etal., 2002) ( Figure
11 ) . Confinement is a dimensionless quantity, but its value is sensitive to the river reach length ( ) over which it is
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calculated. The input quantities @
and are straightforward to measure manually off maps or
imagery of sufficient resolutionand detail(as was done in this study) , or in the field for a single riv er reach .
Confining margins are the borders of the valley itself, or themargin along valley bottom landforms that are not part of
the valley walls, but impose a potential confining margin (i.e., potential contact with the valley or valley landforms ) for
the channel . These intra -valley landforms are predominantly alluvial fans, andriver terraces in the White River
watershed. Valley setting is the entry point for defining reach types, which in turn lead to understanding riparian
domains and aquatic habitat .Throughout the report we refer to the following breaks to distinguish between
confinements, which in turn are used to define river reach types ( Figure 11 ):
• Laterally unconfined channels are free toadjust across the floodplain. In low gradient, alluvial valleys of the
White River, the channel planformvaries between meandering (sinuosity 1.3 o r greater) and low sinuosity.
Unconfined channels have contact with a confining margin10% or less along their length (Figure 18 and
Figure 19 ).
• P artly confined “planform- controlled” is a channel planform that is mostly free to wander or adjust laterally,
but is imposed by confining a margin along 10 - 50% of its length ( Figure 22and Figure 23 ).
• P artly confined, “margin- controlled” is a channel pattern whereconfinement is sustained along 50 -85% of its
length, and tends to sweep alternately and smoothlybetween opposite banks (Figure 25 ).
• Confined along 85 - 100% of its length,either on one bank, ora combination ofboth banks. In the White
River, confined reaches are often insustained contact with sweeping turns of the bedrock walls (see next
section for discussion of reach types and their conditions) (Figure 28and Figure 29 ).
• Constricted, confined explicitlyby both banks along some interval ( Figure 33 ).
For most of its length, the lower White River channel confinement ranges from laterally confined to partly confined
( Figure 1 and Figure 18 ).
Figure 11 – Schematic of valley settings identified in this report (alsosee Table 1).
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Geomorphic Condition
Background and need for geomorphic condition assessment
Individual reach types display channel/floodplain morphology resulting from hydrologic and sediment regimes driven
by overarching catchment controls (e.g., Lane, 1955) . When fed by reasonably constant fluxes, they build and adjust
to recognizable forms. However, waves ofdisturbance (either natural or anthropogenic) can affect the geomorphic
condition of individual reaches or even entirewatersheds. Condition is measured (or recognized) bycomparison with
and departure from, a “standard” or idealized reach type (either existing in the watershed or extrapolated) that
represents the hydrologic, sedimentologic, and geologic/geomorphic conditions typical of that reach type (for example,
a meandering river in a low -gradient, unconfined valley, versus a high gradient, confinedriver with stepped, coarse
bed forms)(Fryirs, 2015). We measured geomorphiccondition in the lowerWhite River mostly with respect to (a)
human development, and (b) consideration of “geoindicators”, which arethe attributes of every reach type that can be
affected by disturbance and provide indication of that disturbance (Table 2 andFigure 12 ).
River adjustment potential
Geomorphic condition alsodepends to a large extent on a river’s capacity for adjustment , which isessentially a river’s
ability to incur modifications of the floodplain, channel, and bed material characteristics controlled by the valley through
which the river flows, the bedrock lithology and channel slope, and the sediment - discharge balance in the watershed.
The adjustment potential of astream is a gauge of its sensitivity to local and system -widedisturbances in the watershed.
For exampl e, Figure12 shows a cartoon of two conceptual valley settings found in the White River. The confined valley
reach type ( atleft) has very low capacity for adjustment and is considered resistant to disturbance. The moderately
sinuous gravel bed reach type (schematic at right) has significant adjustment potential and is sensitive/susceptible to
direct and indirect disturbancesto its channel and floodplain. Such a valley invites settlement and development s uch
as farming or industry owing to buildingspace, level surface s,fertile soil, and easy access to water. The confinedvalley
river is able to incise or aggrade its bed, but its channel is laterally restricted by intervening bedrock, leaving only the
arr angement of coarse bed material as a mode of adjustment. Reach types of laterally unconfined and partly -confined
valley settings, on the otherhand, have moderate tohigh adjustment potential because their broad, fine - grained
floodplains promote dynamically shifting meandering planforms.
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Figure 12 – Confinement depicted for a confined and unconfined valley settings (fromO'Brien and Wheaton (20 15) .
The diagram on theleft has little or no adjustment potential, whereas the diagram on the right possesses very high
lateral and even vertical adjustmentpotential . Arrows indicate the vertical and lateral adjustment possible for each
valley setting .
Procedure for assessing geomorphic condition
The following steps outline how geomorphic condition was documented for the lower White River.Table 2 li sts the
crite ria used to evaluate and identify condition variants for each reach type.
1. Con duct the reach type assessment — understand and tabulate thecapacityfor adjustment and relevant
geoindicators applicable to each ;
2. Sort and group instances of each reach type in the study area s;find the optimal condition standard and
identify other condition variants ;
3. Identify and tabulate the appropriate geoindicators for each reach type, based on criteria in Table 2 ;
4. Look for deviations from the standard bestcondition reach and identify the affected geoindicators ;
5. Build tables that explain the geomorphic condition of each reach type and their variants; identify problem
areas and those which are functioning normally.
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Table 2.Criteria used to evaluate geo - indicators in this study .
Geo- indicator
Used in White River
Evaluation key
Channel/Floodplain Attributes
SizeYes
Consistent width throughout measured
and observed reaches
Shape
No – need ground data
Cross section
Bank
Yes
Consistent with reach types
Floodplain connectivity Yes
Active proximity to channel,
presence/absence of incision
Floodplain types (none, occasional FP
pockets, discontinuous, continuous) Yes
H ealthy riparian condition, morphology
consistent with adjusting floodplain
Instream vegetation structure
Yes, where o bserved
Presence/absence
Instream wood recruitment
Yes, where observed
Presence/absence
Channel Planform
Valley Bottom Confinement - GNAT
Confinement Tool
Ran tool for whole river confinement and
BLM study reach B
Output matches a cross check , usually
light editing required
Braiding index/Number of channels Yes
Active anabranching consistent with
valley morphology and forcing
mechanisms.
Planform sinuosity
Manually measured in GIS for BLM study
reaches
Consistent per reach type
Valley sinuosity
Yes, measured for Utah reach
Reported average ratio 1.5
Sinuosity of channels
Yes, for BLM study reaches
Consistent per confinement
V alley confining margin (fans/terraces)Yes, mapped for Utah portion
Visual reconnaissance mapping using
high -resolution air photos and GIS
Lateral stability
No, but is consistent with reach types
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