J01 0010  1    #1. INTRODUCTION#
J01 0010  3    IT HAS recently become practical to use the radio emission
J01 0020  3    of the moon and planets as a new source of information
J01 0030  1    about these bodies and their atmospheres. The results
J01 0030  9    of present observations of the thermal radio emission
J01 0040  6    of the moon are consistent with the very low thermal
J01 0050  5    conductivity of the surface layer which was derived
J01 0060  1    from the variation in the infrared emission during
J01 0060  9    eclipses (e&g&, Garstung, 1958). When sufficiently
J01 0070  5    accurate and complete measurements are available, it
J01 0080  4    will be possible to set limits on the thermal and electrical
J01 0090  3    characteristics of the surface and subsurface materials
J01 0100  1    of the moon.
J01 0100  4       Observations of the radio emission of a planet which
J01 0110  2    has an extensive atmosphere will probe the atmosphere
J01 0110 10    to a greater extent than those using shorter wave lengths
J01 0120  8    and should in some cases give otherwise unobtainable
J01 0130  4    information about the characteristics of the solid
J01 0140  4    surface. Radio observations of Venus and Jupiter have
J01 0150  1    already supplied unexpected experimental data on the
J01 0150  8    physical conditions of these planets. The observed
J01 0160  6    intensity of the radio emission of Venus is much higher
J01 0170  5    than the expected thermal intensity, although the spectrum
J01 0180  2    indicated by measurements at wave lengths near 3 ~cm
J01 0180 11    and 1o ~cm is like that of a black body at about 6oo`
J01 0190 13    ~K. This result suggests a very high temperature at
J01 0210  7    the solid surface of the planet, although there is
J01 0220  4    the possibility that the observed radiation may be
J01 0240  1    a combination of both thermal and non-thermal components
J01 0240 10    and that the observed spectrum is that of a black body
J01 0250  9    merely by coincidence. For the case of Jupiter, the
J01 0260  6    radio emission spectrum is definitely not like the
J01 0270  2    spectrum of a black-body radiator, and it seems very
J01 0270 12    likely that the radiation reaching the earth is a combination
J01 0280  9    of thermal radiation from the atmosphere and non-thermal
J01 0290  7    components.
J01 0290  8       Of the remaining planets, only Mars and Saturn have
J01 0300  7    been observed as radio sources, and not very much information
J01 0310  6    is available. Mars has been observed twice at about
J01 0320  4    3-~cm wave length, and the intensity of the observed
J01 0330  1    radiation is in reasonable agreement with the thermal
J01 0330  9    radiation which might be predicted on the basis of
J01 0340  8    the known temperature of Mars. The low intensity of
J01 0350  5    the radiation from Saturn has limited observations,
J01 0360  1    but again the measured radiation seems to be consistent
J01 0360 10    with a thermal origin. No attempts to measure the radio
J01 0370  8    emission of the remaining planets have been reported,
J01 0380  5    and, because of their distances, small diameters, or
J01 0390  3    low temperatures, the thermal radiation at radio wave
J01 0390 11    lengths reaching the earth from these sources is expected
J01 0400  9    to be of very low intensity. In spite of this, the
J01 0410  8    very large radio reflectors and improved amplifying
J01 0420  3    techniques which are now becoming available should
J01 0430  1    make it possible to observe the radio emission of most
J01 0430 11    of the planets in a few years.
J01 0440  5       The study of the radio emission of the moon and
J01 0450  2    planets began with the detection of the thermal radiation
J01 0450 11    of the moon at 1.25-~cm wave length by Dicke and Beringer
J01 0460 10    (1946). This was followed by a comprehensive series
J01 0470  6    of observations of the 1.25-~cm emission of the moon
J01 0490  5    over three lunar cycles by Piddington and Minnett (1949).
J01 0500  2    They deduced from their measurements that the radio
J01 0500 10    emission from the whole disk of the moon varied during
J01 0510 10    a lunation in a roughly sinusoidal fashion; that the
J01 0520  5    amplitude of the variation was considerably less than
J01 0530  3    the amplitude of the variation in the infrared emission
J01 0540  1    as measured by Pettit and Nicholson (1930) and Pettit
J01 0540 10    (1935); and that the maximum of the radio emission
J01 0550  9    came about 3-1/2 days after Full Moon, which is again
J01 0570  5    in contrast to the infrared emission, which reaches
J01 0580  1    its maximum at Full Moon. Piddington and Minnett explained
J01 0590  1    their observations by pointing out that rocklike materials
J01 0590  9    which are likely to make up the surface of the moon
J01 0600  9    would be partially transparent to radio waves, although
J01 0610  5    opaque to infrared radiation. The infrared emission
J01 0620  2    could then be assumed to originate at the surface of
J01 0620 12    the moon, while the radio emission originates at some
J01 0630  8    depth beneath the surface, where the temperature variation
J01 0640  5    due to solar radiation is reduced in amplitude and
J01 0650  4    shifted in phase. Since the absorption of radio waves
J01 0660  1    in rocklike material varies with wave length, it should
J01 0660 10    be possible to sample the temperature variation at
J01 0670  7    different depths beneath the surface and possibly detect
J01 0680  4    changes in the structure or composition of the lunar
J01 0690  2    surface material.
J01 0690  4       The radio emission of a planet was first detected
J01 0700  3    in 1955, when Burke and Franklin (1955) identified
J01 0700 11    the origin of interference-like radio noise on their
J01 0710  9    records at about 15 meters wave length as emission
J01 0720  6    from Jupiter. This sporadic type of planetary radiation
J01 0730  3    is discussed by Burke (chap& 13) and Gallet (chap&
J01 0740  1    14). Steady radiation which was presumably of thermal
J01 0740  9    origin was observed from Venus at 3.15 and 9.4 ~cm,
J01 0750  9    and from Mars and Jupiter at 3.15 ~cm in 1956 (Mayer,
J01 0760  7    McCullough, and Sloanaker, 1958a, b, c), and from Saturn
J01 0770  6    at 3.75 ~cm in 1957 (Drake and Ewen, 1958). In the
J01 0780  4    relatively short time since these early observations,
J01 0800  1    Venus has been observed at additional wave lengths
J01 0800  9    in the range from 0.8 to 10.2 ~cm, and Jupiter has
J01 0810  8    been observed over the wave-length range from 3.03
J01 0820  4    to 68 ~cm.
J01 0820  7       The observable characteristics of planetary radio
J01 0830  3    radiation are the intensity, the polarization, and
J01 0830 10    the direction of arrival of the waves. The maximum
J01 0840  9    angular diameter of any planetary disk as observed
J01 0850  6    from the earth is about 1 minute of arc. This is much
J01 0860  4    smaller than the highest resolution of even the very
J01 0870  1    large reflectors now under construction, and consequently
J01 0870  8    the radio emission of different regions of the disk
J01 0880  7    cannot be resolved. It should be possible, however,
J01 0890  4    to put useful limits on the diameters of the radio
J01 0900  1    sources by observing with large reflectors or with
J01 0900  9    interferometers. Measurements of polarization are presently
J01 0910  6    limited by apparatus sensitivity and will remain difficult
J01 0920  5    because of the low intensity of the planetary radiation
J01 0930  3    at the earth. There have been few measurements specifically
J01 0940  1    for the determination of the polarization of planetary
J01 0940  9    radiation. The measurements made with the ~NRL 50-foot
J01 0950  9    reflector, which is altitude-azimuth-mounted, would
J01 0960  7    have shown a systematic change with local hour angle
J01 0970  5    in the measured intensities of Venus and Jupiter if
J01 0980  2    a substantial part of the radiation had been linearly
J01 0980 11    polarized. Recent interferometer measurements (Radhakrishnan
J01 0990  5    and Roberts, 1960) have shown the 960-~Mc emission
J01 1000  8    of Jupiter to be partially polarized and to originate
J01 1020  4    in a region of larger diameter than the visible disk.
J01 1030  2    Other than this very significant result, most of the
J01 1030 11    information now available about the radio emission
J01 1040  7    of the planets is restricted to the intensity of the
J01 1050  6    radiation.
J01 1050  7       The concept of apparent black-body temperature is
J01 1060  5    used to describe the radiation received from the moon
J01 1070  3    and the planets. The received radiation is compared
J01 1070 11    with the radiation from a hypothetical black body which
J01 1080  8    subtends the same solid angle as the visible disk of
J01 1090  7    the planet. The apparent black-body disk temperature
J01 1100  3    is the temperature which must be assumed for the black
J01 1110  2    body in order that the intensity of its radiation should
J01 1110 12    equal that of the observed radiation. The use of this
J01 1120  9    concept does not specify the origin of the radiation,
J01 1130  6    and only if the planet really radiates as a black body,
J01 1140  5    will the apparent black-body temperature correspond
J01 1150  1    to the physical temperature of the emitting material.
J01 1150  9       The radio radiation of the sun which is reflected
J01 1160  8    from the moon and planets should be negligible compared
J01 1170  4    with their thermal emission at centimeter wave lengths,
J01 1180  3    except possibly at times of exceptional outbursts of
J01 1180 11    solar radio noise. The quiescent level of centimeter
J01 1190  8    wave-length solar radiation would increase the average
J01 1200  5    disk brightness temperature by less than 1` ~K. At
J01 1210  5    meter wave lengths and increase of the order of 10`
J01 1220  2    ~K in the average disk temperatures of the nearer planets
J01 1220 12    would be expected. Therefore, neglecting the extreme
J01 1240  7    outbursts, reflected solar radiation is not expected
J01 1250  6    to cause sizable errors in the measurements of planetary
J01 1260  3    radiation in the centimeter- and decimeter-wave-length
J01 1270  1    range.
J01 1270  2    #2. THE MOON#
J01 1270  5    _2.1 OBSERVATIONS_
J01 1270  7       Radio observations of the moon have been made over
J01 1280  8    the range of wave lengths from 4.3 ~mm to 75 ~cm, and
J01 1290  5    the results are summarized in Table 1. Observations
J01 1300  1    have also been made at 1.5 ~mm using optical techniques
J01 1300 11    (Sinton, 1955, 1956,; see also chap& 11). Not all the
J01 1310 10    observers have used the same procedures or made the
J01 1320  7    same assumptions about the lunar brightness distribution
J01 1330  2    when reducing the data, and this, together with differences
J01 1340  2    in the methods of calibrating the antennae and receivers,
J01 1350  1    must account for much of the disagreement in the measured
J01 1350 11    radio brightness temperatures.
J01 1360  2       In the observations at 4.3 ~mm (Coates, 1959a),
J01 1370  2    the diameter of the antenna beam, 6'.7, was small enough
J01 1380  1    to allow resolution of some of the larger features
J01 1380 10    of the lunar surface, and contour diagrams have been
J01 1390  6    made of the lunar brightness distribution at three
J01 1400  3    lunar phases. These observations indicate that the
J01 1400 10    lunar maria heat up more rapidly and also cool off
J01 1410 10    more rapidly than do the mountainous regions. Mare
J01 1420  5    Imbrium seems to be an exception and remains cooler
J01 1430  3    than the regions which surround it. These contour diagrams
J01 1440  1    also suggest a rather rapid falloff in the radio brightness
J01 1440 11    with latitude.
J01 1450  2       Very recently, observations have been made at 8-~mm
J01 1460  1    wave length with a reflector 22 meters in diameter
J01 1460 10    with a resultant beam width of only about 2' (Amenitskii,
J01 1470  8    Noskova, and Salomonovich, 1960). The constant-temperature
J01 1480  5    contours are much smoother than those observed at 4.3
J01 1490  4    ~mm by Coates (1959a), and apparently the emission
J01 1500  1    at 8 ~mm is not nearly so sensitive to differences
J01 1500 11    in surface features. Such high-resolution observations
J01 1510  6    as these are needed at several wave lengths in order
J01 1520  5    that the radio emission of the moon can be properly
J01 1540  1    interpreted.
J01 1540  2       The observations of Mayer, McCullough, and Sloanaker
J01 1550  3    at 3.15 ~cm and of Sloanaker at 10.3 ~cm have not previously
J01 1560  1    been published and will be briefly described. Measurements
J01 1570  1    at 3.15 ~cm were obtained on 11 days spread over the
J01 1570 12    interval May 3 to June 19, 1956, using the 50-foot
J01 1580  9    reflector at the U& S& Naval Research Laboratory in
J01 1590  4    Washington. The half-intensity diameter of the antenna
J01 1600  4    beam was about 9', and the angle subtended by the moon
J01 1610  1    included the entire main beam and part of the first
J01 1610 11    side lobes. The antenna patterns and the power gain
J01 1620  7    at the peak of the beam were both measured (Mayer,
J01 1630  3    McCullough, and Sloanaker, 1958b), so that the absolute
J01 1650  2    power sensitivity of the antenna beam over the solid
J01 1650 11    angle of the moon was known. The ratio of the measured
J01 1660 11    antenna temperature change during a drift scan across
J01 1670  7    the moon to the average brightness temperature of the
J01 1680  3    moon over the antenna beam (assuming that the brightness
J01 1690  1    temperature of the sky is negligible) was found, by
J01 1690 10    graphical integration of the antenna directivity diagram,
J01 1710  6    to be 0.85. The measured brightness temperature is
J01 1720  4    a good approximation to the brightness temperature
J01 1730  1    at the center of the lunar disk because of the narrow
J01 1730 12    antenna beam and because the temperature distribution
J01 1740  7    over the central portion of the moon's disk is nearly
J01 1750  7    uniform. The result of the observations is (in ` ~K)
J01 1760  5    **f where the phase angle, |qt, is measured in degrees
J01 1770  3    from new moon and the probable errors include absolute
J01 1780  1    as well as relative errors. This result is plotted
J01 1780 10    along with the 8.6-~mm observations of Gibson (1958)
J01 1790  5    in figure 1, a. The variation in the 3-~cm emission
J01 1810  6    of the moon during a lunation is very much less than
J01 1820  3    the variation in the 8.6-~mm emission, as would be
J01 1820 13    expected from the explanation of Piddington and Minnett
J01 1830  8    (1949). In the discussion which follows, the time average
J01 1840  6    of the radio emission will be referred to as the constant
J01 1850  6    component, and the superimposed periodic variation
J01 1860  2    will be called the variable component.
J01 1860  8       The 10.3-~cm observation of Sloanaker was made on
J01 1870  7    May 20, 1958, using the 84-foot reflector at the Maryland
J01 1880  7    Point Observatory of the U& S& Naval Research Laboratory.
J01 1890  5    The age of the moon was about 2 days. The half-intensity
J01 1900  5    diameter of the main lobe of the antenna was about
J01 1910  2    18'.5, and the brightness temperature was reduced by
J01 1910 10    assuming a Gaussian shape for the antenna beam and
J01 1920  9    a uniformly bright disk for the moon.
J02 0010  1    #ABSTRACT#
J02 0010  2    Experiments were made on an electric arc applying a
J02 0010 11    porous graphite anode cooled by a transpiring gas (Argon).
J02 0020  9    Thus, the energy transferred from the arc to the anode
J02 0030  9    was partly fed back into the arc. It was shown that
J02 0040  7    by proper anode design the net energy loss of the arc
J02 0050  4    to the anode could be reduced to approximately 15%
J02 0050 13    of the total arc energy A detailed energy balance of
J02 0060  9    the anode was established. The anode ablation could
J02 0080  5    be reduced to a negligible amount. The dependence of
J02 0090  2    the arc voltage upon the mass flow velocity of the
J02 0090 12    transpirating gas was investigated for various arc
J02 0100  7    lengths and currents between 100 ~Amp and 200 ~Amp.
J02 0110  6    Qualitative observations were made and high-speed motion
J02 0120  4    pictures were taken to study flow phenomena in the
J02 0130  1    arc at various mass flow velocities.
J02 0130  7    #INTRODUCTION#
J02 0130  8    The high heat fluxes existing at the electrode surfaces
J02 0140  7    of electric arcs necessitate extensive cooling to prevent
J02 0150  5    electrode ablation. The cooling requirements are particularly
J02 0160  3    severe at the anode. In free burning electric arcs,
J02 0170  2    for instance, approximately 90% of the total arc power
J02 0170 11    is transferred to the anode giving rise to local heat
J02 0180  9    fluxes in excess of **f as measured by the authors-
J02 0190  7    the exact value depending on the arc atmosphere. In
J02 0200  3    plasma generators as currently commercially available
J02 0210  1    for industrial use or as high temperature research
J02 0210  9    tools often more than 50% of the total energy input
J02 0220  7    is being transferred to the co0ling medium of the anode.
J02 0230  5       The higher heat transfer rates at the anode compared
J02 0240  2    with those at the cathode can be explained by the physical
J02 0250  1    phenomena occurring in free burning arcs. In plasma
J02 0250  9    generators the superimposed forced convection may modify
J02 0260  6    the picture somewhat. The heat transfer to the anode
J02 0270  5    is due to the following effects: 1. Heat of condensation
J02 0280  3    (work function) plus kinetic energy of the electrons
J02 0280 11    impinging on the anode. This energy transfer depends
J02 0290  8    on the current, the temperature in the arc column,
J02 0300  6    the anode material, and the conditions in the anode
J02 0310  4    sheath. 2. Heat transfer by molecular conduction as
J02 0310 12    well as by radiation from the arc column.
J02 0320  8       The heat transfer to the anode in free burning arcs
J02 0330  7    is enhanced by a hot gas jet flowing from the cathode
J02 0350  3    towards the anode with velocities up **f. This phenomenon
J02 0360  1    has been experimentally investigated in detail by Maecker
J02 0360  9    (Ref& 1). The pressure gradient producing the jet is
J02 0370  9    due to the nature of the magnetic field in the arc
J02 0380  6    (rapid decrease of current density from cathode to
J02 0390  2    the anode). Hence, the flow conditions at the anode
J02 0390 11    of free burning arcs resemble those near a stagnation
J02 0400  8    point.
J02 0400  9       it is apparent from the above and from experimental
J02 0410  7    evidence that the cooling requirements for the anode
J02 0420  4    of free burning arcs are large compared with those
J02 0440  2    for the cathode. The gas flow through a plasma generator
J02 0440 12    will modify these conditions; however, the anode is
J02 0450  7    still the part receiving the largest heat flux. An
J02 0460  6    attempt to improve the life of the anodes or the efficiency
J02 0470  4    of the plasma generators must, therefore, aim at a
J02 0480  2    reduction of the anode loss. The following possibilities
J02 0480 10    exist for achieving this: 1. The use of high voltages
J02 0490  9    and low currents by proper design to reduce electron
J02 0500  5    heat transfer to the anode for a given power output.
J02 0510  3    2. Continuous motion of the arc contact area at the
J02 0510 13    anode by flow or magnetic forces. 3. Feed back of the
J02 0530 11    energy transferred to the anode by applying gas transpiration
J02 0540  8    through the anode.
J02 0550  1       The third method was, to our knowledge, successfully
J02 0550  9    applied for the first time by C& Sheer and co-workers
J02 0560  9    (Ref& 2). The purpose of the present study is to study
J02 0570  7    the thermal conditions and to establish an energy balance
J02 0580  4    for a transpiration cooled anode as well as the effect
J02 0590  1    of blowing on the arc voltage. Gas injection through
J02 0590 10    a porous anode (transpiration cooling) not only feeds
J02 0600  6    back the energy transferred to the anode by the above
J02 0610  7    mentioned processes, but also modifies the conditions
J02 0620  1    in the arc itself. A detailed study of this latter
J02 0620 11    phenomenon was not attempted in this paper. Argon was
J02 0630  9    used as a blowing gas to exclude any effects of dissociation
J02 0640  6    or chemical reaction. The anode material was porous
J02 0650  4    graphite. Sintered porous metals should be usable in
J02 0660  2    principle. However, technical difficulties arise by
J02 0660  8    melting at local hot spots. The experimental arrangement
J02 0670  6    as described below is based on the geometry of free
J02 0680  6    burning arcs. Thus, direct comparisons can be drawn
J02 0690  3    with free burning arcs which have been studied in detail
J02 0690 13    during the past years and decades by numerous investigators
J02 0700  9    (Ref& 3).
J02 0710  1    #EXPERIMENTAL APPARATUS#
J02 0710  3    Figures 1 to 3 show photographic and schematic views
J02 0720  2    of the test stand and of two different models of the
J02 0720 13    anode holder. The cathode consisted of a 1/4'' diameter
J02 0730  9    thoriated tungsten rod attached to a water cooled copper
J02 0740  8    tube. This tube could be adjusted in its axial direction
J02 0750  6    by an electric drive to establish the required electrode
J02 0760  3    spacing. The anode in figure 2 was mounted by means
J02 0770  1    of the anode holder which was attached to a steel plug
J02 0770 12    and disk. The transpiring gas ejected from the anode
J02 0780  7    formed a jet directed axially towards the cathode below.
J02 0790  5    Inflow of air from the surrounding atmosphere was prevented
J02 0800  3    by the two disks shown in figure 2. Argon was also
J02 0810  1    blown at low velocities (mass flow rate **f) through
J02 0810 10    a tube coaxial with the cathode as an additional precaution
J02 0830  7    against contamination of the arc by air. The anode
J02 0840  6    consisted of a 1/2 inch diameter porous graphite plug,
J02 0850  2    1/4 inch long. The graphite was National Carbon ~NC
J02 0860  1    60, which has a porosity of 50% and an average pore
J02 0860 12    size of 30 This small pore size was required to ensure
J02 0870  8    uniformity of the flow leaving the anode. The anode
J02 0880  5    plug (Figure 2) was inserted into a carbon anode holder.
J02 0890  3    A shielded thermocouple was used to measure the upstream
J02 0900  1    temperature of the transpiring gas. It was exposed
J02 0900  9    to a high velocity gas jet. A plug and a tube with
J02 0910  9    holes in its cylindrical walls divided the chamber
J02 0920  3    above the porous plug into two parts. This arrangement
J02 0930  1    had the purpose to prevent heated gas to reach the
J02 0930 11    thermocouple by natural convection. Two pyrometers
J02 0940  5    shown in figure 1 and 2 (Pyrometer Instrument Co& Model
J02 0950  4    95) served for simultaneous measurement of the anode
J02 0960  3    surface temperature and the temperature distribution
J02 0960  9    along the anode holder. Three thermocouples were placed
J02 0970  8    at different locations in the aluminum disk surrounding
J02 0980  6    the anode holder to determine its temperature.
J02 0990  2       Another anode holder used in the experiments is
J02 0990 10    shown in figure 3. In this design the anode holder
J02 1000 10    is water cooled and the heat losses by conduction from
J02 1010  7    the anode were determined by measuring the temperature
J02 1020  3    rise of the coolant. To reduce heat transfer from the
J02 1030  2    hot has to this anode holder outside the regime of
J02 1030 12    the arc, a carbon shield was attached tothe surface
J02 1040  6    providing an air gap of 1/16 inch between the plate
J02 1050  5    and the surface of the anode holder. In addition, the
J02 1060  2    inner surface of the carbon shield was covered with
J02 1060 11    aluminum foil to reduce radiation. Temperatures of
J02 1070  6    the shield and of the surface of the water-cooled anode
J02 1080  6    holder were measured by thermocouples to account for
J02 1090  2    heat received by the coolant but not originating from
J02 1090 11    the anode plug.
J02 1100  2       The argon flow from commercial bottles was regulated
J02 1110  1    by a pressure regulator and measured with a gas flow
J02 1110 11    rator. The power source was a commercial D& C& rectifier.
J02 1120  8    At 100 ~Amp the 360 cycle ripple was less than 0.5
J02 1130  8    ~V (peak to peak) with a resistive load. The current
J02 1140  4    was regulated by means of a variable resistor and measured
J02 1150  2    with a 50 ~mV shunt and millivoltmeter. The arc voltage
J02 1160  1    was measured with a voltmeter whose terminals were
J02 1160  9    connected to the anode and cathode holders. Because
J02 1170  5    of the falling characteristic of the rectifier, no
J02 1180  3    ballast resistor was required for stability of operation.
J02 1190  1    A high frequency starter was used to start the arc.
J02 1190 11    #EXPERIMENTAL PROCEDURE AND ERROR ANALYSIS#
J02 1210  1    _1. TRANSPIRATION COOLED ANODE WITH CARBON ANODE HOLDER_
J02 1210  4       The anode holder shown in figure 2 was designed
J02 1230  1    with two goals in mind. The heat losses of the holder
J02 1230 12    were to be reduced as far as possible and they should
J02 1240  8    be such that an accurate heat balance can be made.
J02 1250  5    In order to reduce the number of variable parameters,
J02 1260  1    all experiments were made with a constant arc length
J02 1260 10    of 0.5'' and a current of 100 ~Amp. The argon flow
J02 1270 10    through the porous anode was varied systematically
J02 1280  4    between **f. and **f. The lower limit was determined
J02 1290  3    by the fact that for smaller flow rates the arc started
J02 1300  1    to strike to the anode holder instead of to the porous
J02 1300 12    graphite plug and that it became highly unstable. The
J02 1310  8    upper limit was determined by the difficulty of measuring
J02 1320  5    the characteristic anode surface temperature (see below)
J02 1330  3    since only a small region of the anode was struck by
J02 1330 14    the arc. This region which had a higher temperature
J02 1340  9    than the rest of the anode surface changed size and
J02 1350  6    location continuously.
J02 1350  8       For each mass flow rate the arc voltage was measured.
J02 1360  9    To measure the surface temperature of the anode plug,
J02 1370  6    the surface was scanned with a pyrometer. As it turned
J02 1380  4    out, a very hot region occurred on the plug. Its temperature
J02 1390  1    was denoted by **f. The size of this hot region was
J02 1390 12    estimated by eye. The rest of the surface had a temperature
J02 1400 11    which decreased towards the outer diameter of the plug.
J02 1410  7    The mean temperature of this region was approximated
J02 1420  3    by the temperature measured halfways between the edge
J02 1430  2    of the hot spot and the rim of the plug. It was denoted
J02 1430 15    by **f. The mean temperature of the surface was then
J02 1440  9    computed according to the following relation: **f where
J02 1450  6    ~x is the fraction of the plug area covered by the
J02 1470  4    hot spot. Assuming thermal equilibrium between the
J02 1480  1    anode surface and the transpiring argon, the gas enthalpy
J02 1480 10    rise through the anode was calculated according to
J02 1490  7    the relation **f whereby the specific heat of argon
J02 1500  4    was taken as **f. This calculation results in an enthalpy
J02 1510  2    rise which is somewhat high because it assumes a mass
J02 1510 12    flow equally distributed over the plug cross section
J02 1520  7    whereas in reality the mass velocity is expected to
J02 1530  5    be smaller in the regions of higher temperatures.
J02 1540  1       The upstream gas temperature measured with the thermocouple
J02 1550  1    shown in figure 2 was **f. The **f values are listed
J02 1550 12    in Table 1 together with the measured surface temperatures
J02 1570  6    and arc voltages. Simultaneously with the anode surface
J02 1580  5    temperature and voltage measurements pyrometer readings
J02 1590  2    were taken along the cylindrical surface of the carbon
J02 1590 11    anode holder as indicated on figure 2. Some of these
J02 1600 10    temperatures are plotted in figure 4. They showed no
J02 1610  7    marked dependence on the flow rate within the accuracy
J02 1620  4    of these measurements. Thus, the dotted line shown
J02 1630  1    in figure 4 was taken as typical for the temperature
J02 1630 11    distribution for all blowing rates.
J02 1640  4       The thermocouples in the aluminum disk shown in
J02 1650  2    figure 2 indicated an equilibrium temperature of the
J02 1650 10    surface of **f. This temperature was taken as environmental
J02 1660  8    temperature to which the anode holder was exposed as
J02 1670  7    far as radiation is concerned. It is sufficiently small
J02 1680  4    compared with the surface temperature of the anode
J02 1690  1    holder, to make the energy flux radiated from the environment
J02 1690 11    toward the anode holder negligible within the accuracy
J02 1700  8    of the present measurements. The reflection of radiation
J02 1710  5    originating from the anode holder and reflected back
J02 1720  4    to it by the surrounding metal surfaces should also
J02 1730  1    be small because of the specular characteristic of
J02 1730  9    the metal surfaces and of the specific geometry. The
J02 1740  7    total heat loss through the anode holder included also
J02 1750  4    the heat conducted through the base of the cylindrical
J02 1760  1    piece into the adjacent metal parts. It was calculated
J02 1760 10    from the temperature gradient **f at **f inch as **f.
J02 1770  9    The total heat flux from the porous plug into the plug
J02 1780  7    holder is thereby **f The temperature distribution
J02 1790  2    of figure 4 gives **f for all blowing rates, assuming
J02 1790 12    **f. The temperature dependent value of ~|e was taken
J02 1800  9    from Ref& 7. The radiation loss from the anode surface
J02 1810  9    was computed according to **f where **f is the mean
J02 1820  7    of the fourth powers of the temperatures **f and **f
J02 1830  3    calculated analogously to equation (1).
J03 0010  1       A band viscometer is shown in Figure 2. It consists
J03 0010 11    of two blocks with flat surfaces held apart by shims.
J03 0020  8    There is a small well in the top in which the fluid
J03 0030  7    or paste to be tested is placed. A tape of cellulose
J03 0040  3    acetate is pulled between the blocks and the tape pulls
J03 0040 13    the fluid or paste with it between the parallel faces
J03 0050 10    of the blocks. In normal use weights are hung on the
J03 0070  8    end of the tape and allowed to pull the tape and the
J03 0080  5    material to be tested between the blocks. After it
J03 0090  1    has reached terminal velocity, the time for the tape
J03 0090 10    to travel a known distance is recorded. By the use
J03 0100  7    of various weights, data for a force-rate of shear
J03 0110  3    graph can be obtained. The instrument used for this
J03 0120  1    work was a slight modification of that previously described.
J03 0120 10       In this test a **f tape was pulled between the blocks
J03 0130 11    with a motor and pulley at a rate of **f with a clearance
J03 0140 10    of 0.002'' on each side of the tape. This gives a rate
J03 0150  7    of shear of **f. This, however, can only be considered
J03 0160  1    approximate, as the diameter of the pulley was increased
J03 0160 10    by the build-up of tape and the tape was occasionally
J03 0170 10    removed from the pulley during the runs. The face of
J03 0180  7    one block contained a hole 1/16'' in diameter which
J03 0181  4    led to a manometer for the measurement of the normal
J03 0190  8    pressure.
J03 0190  9       Although there were only four fluids tested, it
J03 0200  8    was apparent that there were two distinct types. Two
J03 0210  5    of the fluids showed a high-positive normal pressure
J03 0220  1    when undergoing shear, and two showed small negative
J03 0220  9    pressures which were negligible in comparison with
J03 0230  7    the amount of the positive pressures generated by the
J03 0240  4    other two.
J03 0240  6       Figure 3 shows the data on a silicone fluid, labeled
J03 0250  5    12,500 ~cps which gave a high positive normal pressure.
J03 0260  2    Although the tape was run for over 1 hr&, a steady
J03 0270  1    state was not reached, and it was concluded that the
J03 0270 11    reason for this was that the back pressure of the manometer
J03 0280  8    was built up from the material fed from between the
J03 0290  5    blocks and this was available at a very slow rate.
J03 0300  2    A system had to be used which did not depend upon the
J03 0300 14    feeding of the fluid into the manometer if measurements
J03 0310  8    of the normal pressure were to be made in a reasonable
J03 0320  8    time. A back pressure was then introduced, and the
J03 0330  3    rise or fall of the material in the manometer indicated
J03 0340  1    which was greater, the normal pressure in the block
J03 0340 10    or the back pressure. By this method it was determined
J03 0350  7    that the normal pressure exerted by a sample of polybutene
J03 0360  6    (molecular weight reported to be 770) was over half
J03 0370  3    an atmosphere. The actual pressure was not determined
J03 0370 11    because the pressure was beyond the upper limit of
J03 0380  9    the apparatus on hand.
J03 0390  1       The two fluids which gave the small negative pressures
J03 0390 10    were polybutenes with molecular weights which were
J03 0400  6    stated to be 520 and 300. These are fluids which one
J03 0410  6    would expect to be less viscoelastic or more Newtonian
J03 0420  2    because of their lower molecular weight. The maximum
J03 0420 10    suction was 3.25'' of test fluid measured from the
J03 0430  9    top of the block, and steady states were apparently
J03 0440  6    reached with these fluids. It is presumed that this
J03 0450  3    negative head was associated with some geometric factor
J03 0460  1    of the assembly, since different readings were obtained
J03 0460  9    with the same fluid and the only apparent difference
J03 0470  7    was the assembly and disassembly of the apparatus.
J03 0480  4    This negative pressure is not explained by the velocity
J03 0490  2    head **f since this is not sufficient to explain the
J03 0490 12    readings by several magnitudes.
J03 0500  4       These experiments can be considered exploratory
J03 0510  2    only. However, they do demonstrate the presence of
J03 0510 10    large normal pressures in the presence of flat shear
J03 0520  9    fields which were forecast by the theory in the first
J03 0530  7    part of the paper. They also give information which
J03 0540  2    will aid in the design of a more satisfactory instrument
J03 0550  1    for the measurement of the normal pressures. Such an
J03 0550 10    instrument would be useful for the characterization
J03 0560  6    of many commercial materials as well as theoretical
J03 0570  3    studies. The elasticity as a parameter of fluids which
J03 0580  1    is not subject to simple measurement at present, and
J03 0580 10    it is a parameter which is probably varying in an unknown
J03 0590  8    manner with many commercial materials. Such an instrument
J03 0600  5    is expected to be especially useful if it could be
J03 0610  5    used to measure the elasticity of heavy pastes such
J03 0610 14    as printing inks, paints, adhesives, molten plastics,
J03 0620  7    and bread dough, for the elasticity is related to those
J03 0630  7    various properties termed "length", "shortness", "spinnability",
J03 0650  3    etc&, which are usually judged by subjective methods
J03 0660  4    at present.
J03 0660  6       The actual change **f caused by a shear field is
J03 0670  7    calculated by multiplying the pressure differential
J03 0680  1    times the volume, just as it is for any gravitational
J03 0680 11    or osmotic pressure head. If the volume is the molal
J03 0690  9    volume, then **f is obtained on a molal basis which
J03 0700  6    is the customary terminology of the chemists.
J03 0710  1       Although the **f calculation is obvious by analogy
J03 0710  9    with that for gravitational field and osmotic pressure,
J03 0720  7    it is interesting to confirm it by a method which can
J03 0730  7    be generalized to include related effects. Consider
J03 0740  2    a shear field with a height of ~H and a cross-sectional
J03 0750  1    area of ~A opposed by a manometer with a height of
J03 0750 12    ~h (referred to the same base as ~H) and a cross-sectional
J03 0760 12    area of ~a. If **f is the change per unit volume in
J03 0770 12    Gibbs function caused by the shear field at constant
J03 0780  8    ~P and ~T, and ~|r is the density of the fluid, then
J03 0790  8    the total potential energy of the system above the
J03 0800  5    reference height is **f. **f is the work necessary
J03 0810  1    to fill the manometer column from the reference height
J03 0810 10    to ~h. The total volume of the system above the reference
J03 0820 10    height is **f, and ~h can be eliminated to obtain an
J03 0830  8    equation for the total potential energy of the system
J03 0840  5    in terms of ~H. The minimum total potential energy
J03 0850  2    is found by taking the derivative with respect to ~H
J03 0860  1    and equating to zero. This gives **f, which is the
J03 0860 11    pressure. This is interesting for it combines both
J03 0870  7    the thermodynamic concept of a minimum Gibbs function
J03 0880  3    for equilibrium and minimum mechanical potential energy
J03 0890  2    for equilibrium. This method can be extended to include
J03 0890 11    the concentration differences caused by shear fields.
J03 0900  7    The relation between osmotic pressure and the Gibbs
J03 0910  6    function may also be developed in an analogous way.
J03 0920  3       In the above development we have applied the thermodynamics
J03 0930  1    of equilibrium (referred to by some as thermostatics)
J03 0930  9    to the steady state. This can be justified thermodynamically
J03 0940  9    in this case, and this will be done in a separate paper
J03 0950 10    which is being prepared. This has an interesting analogy
J03 0960  6    with the assumption stated by Philippoff that "the
J03 0970  3    deformational mechanics of elastic solids can be applied
J03 0980  2    to flowing solutions". There is one exception to the
J03 0980 11    above statement as has been pointed out, and that is
J03 0990 10    that fluids can relax by flowing into fields of lower
J03 1000  7    rates of shear, so the statement should be modified
J03 1010  3    by stating that the mechanics are similar. If the mechanics
J03 1020  1    are similar, we can also infer that the thermodynamics
J03 1020 10    will also be similar.
J03 1030  3       The concept of the strain energy as a Gibbs function
J03 1040  1    difference **f and exerting a force normal to the shearing
J03 1040 11    face is compatible with the information obtained from
J03 1050  7    optical birefringence studies of fluids undergoing
J03 1060  4    shear. Essentially these birefringence studies show
J03 1070  2    that at low rates of shear a tension is present at
J03 1070 13    45` to the direction of shear, and as the rate of shear
J03 1080 11    increases, the direction of the maximum tension moves
J03 1090  6    asymptotically toward the direction of shear. According
J03 1100  4    to Philippoff, the recoverable shear ~s is given by
J03 1110  3    **f where ~|c is the angle of extinction. From this
J03 1110 13    and the force of deformation it should be possible
J03 1120  9    to calculate the elastic energy of deformation which
J03 1130  5    should be equal to the **f calculated from the pressure
J03 1140  3    normal to the shearing face.
J03 1140  8       There is another means which should show the direction
J03 1150  7    and relative value of the stresses in viscoelastic
J03 1160  3    fluids that is not mentioned as such in the literature,
J03 1170  1    and that is the shape of the suspended drops of low
J03 1170 12    viscosity fluids in shear fields. These droplets are
J03 1180  7    distorted by the normal forces just as a balloon would
J03 1190  6    be pulled or pressed out of shape in one's hands. These
J03 1200  3    droplets appear to be ellipsoids, and it is mathematically
J03 1210  1    convenient to assume that they are. If they are not
J03 1210 11    ellipsoids, the conclusions will be a reasonable approximation.
J03 1220  8    The direction of the tension of minimum pressure is,
J03 1230  7    of course, given by the direction of the major axis
J03 1240  5    of the ellipsoids. Mason and Taylor both show that
J03 1250  1    the major axis of the ellipsoids is at 45` at low rates
J03 1250 13    of shear and that it approaches the direction of shear
J03 1260  8    with increased rates of shear. (Some suspensions break
J03 1270  4    up before they are near to the direction of shear,
J03 1280  3    and some become asymptotic to it without breakup.)
J03 1280 11    This is, of course, a similar type of behavior to that
J03 1290 10    indicated by birefringence studies. The relative forces
J03 1300  5    can be calculated from the various radii of curvature
J03 1310  4    if we assume: (A) The surface tension is uniform on
J03 1320  2    the surface of the drop. (B) That because of the low
J03 1320 13    viscosity of the fluid, the internal pressure is the
J03 1330  9    same in all directions. (C) The kinetic effects are
J03 1340  6    negligible. (D) Since the shape of the drop conforms
J03 1350  6    to the force field, it does not appreciably affect
J03 1360  2    the distribution of forces in the fluid.
J03 1360  9       These are reasonable assumptions with low viscosity
J03 1370  5    fluids suspended in high viscosity fluids which are
J03 1380  4    subjected to low rates of shear. Just as the pressure
J03 1390  1    exerted by surface tension in a spherical drop is **f
J03 1390 11    and the pressure exerted by surface tension on a cylindrical
J03 1400  8    shape is **f, the pressure exerted by any curved surface
J03 1410  7    is **f, where ~|g is the interfacial tension and **f
J03 1420  4    and **f are the two radii of curvature. This formula
J03 1430  2    is given by Rumscheidt and Mason. If ~a is the major
J03 1440  1    axis of an ellipsoid and ~b and ~c are the other two
J03 1440 13    axes, the radius of curvature in the ~ab plane at the
J03 1450 11    end of the axis is **f, and the difference in pressure
J03 1460  8    along the ~a and ~b axes is **f.
J03 1470  4       There are no data published in the literature on
J03 1480  1    the shape of low viscosity drops to confirm the above
J03 1480 11    formulas. However, there are photographs of suspended
J03 1490  6    drops of cyclohexanol phthalate (viscosity 155 poises)
J03 1500  4    suspended in corn syrup of 71 poises in a paper by
J03 1510  2    Mason and Bartok. This viscosity of the material in
J03 1510 11    the drops is, of course, not negligible. Measurements
J03 1520  7    on the photograph in this paper give **f at the maximum
J03 1530  7    rate of shear of **f. If it is assumed that the formula
J03 1540  4    given by Lodge of **f, cosec 2~|c applies, the pressure
J03 1550  2    difference along the major axes can be calculated from
J03 1550 11    the angle of inclination of the major axis, and from
J03 1560  9    this the interfacial tension can be calculated. Its
J03 1570  5    value was **f from the above data. This appears to
J03 1580  3    be high, as would be expected from the appreciable
J03 1580 12    viscosity of the material in the drops.
J03 1590  7       It is appropriate to call attention to certain thermodynamic
J03 1600  4    properties of an ideal gas that are analogous to rubber-like
J03 1610  4    deformation. The internal energy of an ideal gas depends
J03 1620  3    on temperature only and is independent of pressure
J03 1620 11    or volume. In other words, if an ideal gas is compressed
J03 1630 10    and kept at constant temperature, the work done in
J03 1640  6    compressing it is completely converted into heat and
J03 1650  4    transferred to the surrounding heat sink. This means
J03 1650 12    that work equals ~q which in turn equals **f.
J03 1660  9       There is a well-known relationship between probability
J03 1670  6    and entropy which states that **f, where ~\q is the
J03 1680  6    probability that state (i&e&, volume for an ideal gas)
J03 1690  5    could be reached by chance alone. this is known as
J03 1700  1    conformational entropy. This conformational entropy
J03 1700  6    is, in this case, equal to the usual entropy, for there
J03 1710  8    are no other changes or other energies involved. Note
J03 1720  4    that though the ideal gas itself contains no additional
J03 1730  2    energy, the compressed gas does exert an increased
J03 1730 10    pressure. The energy for any isothermal work done by
J03 1740  9    the perfect gas must come as thermal energy from its
J03 1750  6    surroundings.
J04 0010  1    ##
J04 0010  2    A proton magnetic resonance study of polycrystalline
J04 0010  9    **f as a function of magnetic field and temperature
J04 0020  7    is presented. **f is paramagnetic, and electron paramagnetic
J04 0030  4    dipole as well as nuclear dipole effects lead to line
J04 0040  4    broadening. The lines are asymmetric and over the range
J04 0050  2    of field **f gauss and temperature **f the asymmetry
J04 0050 11    increases with increasing **f and decreasing T. An
J04 0060  7    isotropic resonance shift of **f to lower applied fields
J04 0070  7    indicates a weak isotropic hyperfine contact interaction.
J04 0080  3    The general theory of resonance shifts is used to derive
J04 0090  2    a general expression for the second moment **f of a
J04 0090 12    polycrystalline paramagnetic sample and is specialized
J04 0100  6    to **f. The theory predicts a linear dependence of
J04 0110  5    **f on **f, where |j is the experimentally determined
J04 0120  2    Curie-Weiss constant. The experimental second moment
J04 0130  1    **f conforms to the relation **f in agreement with
J04 0130 10    theory. Hence, the electron paramagnetic effects (slope)
J04 0140  5    can be separated from the nuclear effects (intercept).
J04 0150  3    The paramagnetic dipole effects provide some information
J04 0160  2    on the particle shapes. The nuclear dipole effects
J04 0160 10    provide some information on the motions of the hydrogen
J04 0170  9    nuclei, but the symmetry of the **f bond in **f remains
J04 0180  8    in doubt.
J04 0180 10    #INTRODUCTION#
J04 0180 11    THE magnetic moment of an unpaired electron associated
J04 0200  8    nearby may have a tremendous influence on the magnetic
J04 0210  6    resonance properties of nuclei. It is important to
J04 0220  4    consider and experimentally verify this influence since
J04 0230  1    quantitative nuclear resonance is becoming increasingly
J04 0230  7    used in investigations of structure. **f appeared to
J04 0240  6    be well suited for the study of these matters, since
J04 0250  5    it is a normal paramagnet, with three unpaired electrons
J04 0260  2    on the chromium, its crystal structure is very simple,
J04 0270  1    and the unknown position of the hydrogen in the strong
J04 0270 11    **f bond provides structural interest.
J04 0280  3       We first discuss the **f bond in **f. We then outline
J04 0300  3    the theory of the interaction of paramagnetic dipoles
J04 0310  1    with nuclei and show that the theory is in excellent
J04 0310 11    agreement with experiment. Indeed it is possible to
J04 0320  6    separate electron paramagnetic from nuclear effects.
J04 0330  3    The information provided by the electron paramagnetic
J04 0340  1    effects is then discussed, and finally the nuclear
J04 0340  9    effects are interpreted in terms of various motional-modified
J04 0350  7    models of the **f bond in **f.
J04 0360  3    #**F BOND IN **F#
J04 0360  7    Theoretical studies of the hydrogen bond generally
J04 0370  2    agree that the **f bond will be linear in the absence
J04 0370 13    of peculiarities of packing in the solid. Moreover,
J04 0380  8    it will be asymmetric until a certain critical **f
J04 0390  6    distance is reached, below which it will become symmetric.
J04 0400  3    There is ample evidence from many sources that the
J04 0410  1    **f bond in **f is symmetric. The **f distance in **f
J04 0410 12    is 2.26 ~A. There is evidence, though less convincing
J04 0420  7    than for **f, that the **f bond in nickel dimethylglyoxime
J04 0430  5    is symmetric. Here the **f distance is 2.44 ~A. A number
J04 0440  6    of semiempirical estimates by various workers lead
J04 0450  2    to the conclusion that the **f bond becomes symmetric
J04 0450 11    when the **f bond length is about 2.4 to 2.5 ~A, but
J04 0460 11    aside from the possible example of nickel dimethylglyoxime
J04 0480  5    there have been no convincing reports of symmetric
J04 0490  3    **f bonds. Douglass has studied the crystal structure
J04 0500  1    of **f by x-ray diffraction. He finds the structure
J04 0500 11    contains an **f bond with the **f distance of **f.
J04 0510  8    There is, then, the possibility that this **f bond
J04 0520  4    is symmetric, although Douglass was unable to determine
J04 0530  1    its symmetry from his x-ray data.
J04 0530  8       Douglass found **f to be trigonal, Laue symmetry
J04 0540  4    **f, with **f, **f. X-ray and experimental density
J04 0550  2    showed one formula unit in the unit cell, corresponding
J04 0550 11    to a paramagnetic ion density of **f. The x-ray data
J04 0560  9    did not permit Douglass to determine uniquely the space
J04 0570  6    group, but a negative test for piezoelectricity led
J04 0580  2    him to assume a center of symmetry. Under this assumption
J04 0590  1    the space group must be **f and the following are the
J04 0590 12    positions of the atoms in the unit cell. **f. This
J04 0600 10    space group requires the hydrogen bond to be symmetric.
J04 0610  5    Douglass found powder intensity calculations and measurements
J04 0620  3    to agree best for **f. These data lead to a structure
J04 0630  1    in which sheets of ~Cr atoms lie between two sheets
J04 0630 11    of ~O atoms. The ~O atoms in each sheet are close packed
J04 0640 11    and each ~Cr atom is surrounded by a distorted octahedron
J04 0650  8    of ~O atoms. The **f layers are stacked normal to the
J04 0660  7    [111] axis with the lower oxygens of one layer directly
J04 0670  5    above the upper oxygens of the neighboring lower layer,
J04 0680  2    in such a manner that the repeat is every three layers.
J04 0680 13    The separate layers are joined together by hydrogen
J04 0690  8    bonds. A drawing of the structure is to be found in
J04 0700  7    reference 6.
J04 0700  9       The gross details of the structure appear reasonable.
J04 0710  6    The structure appears to be unique among ~ROOH compounds,
J04 0720  4    but is the same as that assumed by **f. The bond angles
J04 0730  5    and distances are all within the expected limits and
J04 0740  2    the volume per oxygen is about normal. However, the
J04 0740 11    possible absence of a center of symmetry not only moves
J04 0750  9    the hydrogen atom off **f, but also allows the oxygen
J04 0760  6    atoms to become nonequivalent, with **f at **f and
J04 0770  3    **f at **f (space group **f), where **f represents
J04 0770 12    the oxygens on one side of the **f layers and **f those
J04 0780 11    on the other side. However, any oxygen nonequivalence
J04 0790  4    would shorten either the already extremely short **f
J04 0800  3    interlayer distance of 2.55 ~A or the non-hydrogen-bonded
J04 0810  1    **f interlayer interactions which are already quite
J04 0810  8    short at 2.58 ~A. Hence it is difficult to conceive
J04 0820  8    of a packing of the atoms in this material in which
J04 0830  5    the oxygen atoms are far from geometrical equivalence.
J04 0840  1    The only effect of lack of a center would then be to
J04 0840 13    release the hydrogen atoms to occupy general, rather
J04 0850  8    than special, positions along the [111] axis.
J04 0860  5       If the **f bond is linear then there are three reasonable
J04 0870  4    positions for the hydrogen atoms: (1) The hydrogen
J04 0880  1    atoms are centered and hence all lie on a sheet midway
J04 0880 12    between the oxygen sheets; (2) all hydrogen atoms lie
J04 0890  8    on a sheet, but the sheet is closer to one oxygen sheet
J04 0900  7    than to the other; (3) hydrogen atoms are asymmetrically
J04 0910  3    placed, either randomly or in an ordered way, so that
J04 0920  2    some hydrogen atoms are closer to the upper oxygen
J04 0920 11    atoms while others are closer to the lower oxygen atoms.
J04 0930  8    Position (2) appears to us to be unlikely in view of
J04 0940  7    the absence of a piezoelectric effect and on general
J04 0950  2    chemical structural grounds. A randomization of "ups"
J04 0950  9    and "downs" is more likely than ordered "ups" and "downs"
J04 0960 10    in position (3) since the hydrogen atoms are well separated
J04 0970 10    and so the position of one could hardly affect the
J04 0980  8    position of another, and also since ordered "up" and
J04 0990  5    "down" implies a larger unit cell, for which no evidence
J04 1000  4    exists. Therefore, the only unknown structural feature
J04 1010  1    would appear to be whether the hydrogen atoms are located
J04 1010 11    symmetrically (1) or asymmetrically (3).
J04 1020  5    #EXPERIMENTAL PROCEDURES#
J04 1030  1    _SAMPLES_
J04 1030  1       Douglass prepared his sample of **f by thermal decomposition
J04 1030 10    of aqueous chromic acid at 300-325`~C. Dr& Douglass
J04 1040  9    was kind enough to lend us about 5 grams of his material.
J04 1050 10    This material proved to be unsatisfactory, since we
J04 1060  6    could not obtain reproducible results on various portions
J04 1070  3    of the sample. Subsequently, we learned from Douglass
J04 1080  1    that his sample contained a few percent **f impurity.
J04 1080 10    Since **f is ferromagnetic, we felt that any results
J04 1090  8    obtained from the magnetically contaminated **f would
J04 1100  4    be suspect.
J04 1100  6       Plane suggested another preparation of **f which
J04 1110  5    we used here. 500 ~ml of 1~M aqueous **f with 1 ~g
J04 1120  4    **f added are heated in a bomb at 170`~C for 48 hours.
J04 1130  1    A very fine, gray solid (about 15 ~g) is formed, water-washed
J04 1140  1    by centrifugation, and dried at 110`~C.
J04 1140  7       Differential thermal analysis showed a very small
J04 1150  6    endothermic reaction at 340`~C and a large endothermic
J04 1160  4    reaction at 470`~C. This latter reaction is in accord
J04 1170  3    with the reported decomposition of **f. Thermogravimetric
J04 1170 10    analysis showed a weight loss of 1.8% centered at 337`~C
J04 1180 10    and another weight loss of 10.8% at 463`~C. The expected
J04 1200  9    weight loss for **f going to **f and **f is 10.6%.
J04 1210  9    Mass spectrometric analysis of gases evolved upon heating
J04 1220  5    to 410`~C indicated nitrogen oxides and water vapor.
J04 1230  4    The small reaction occurring at 337`~C is probably
J04 1240  1    caused by decomposition of occluded nitrates, and perhaps
J04 1240  9    by a small amount of some hydrous material other than
J04 1250  8    **f. All subsequent measurements were made on material
J04 1260  5    which had been heated to 375`~C for one hour. Emission
J04 1270  4    spectra indicated **f calcium and all other impurities
J04 1280  1    much lower. Chromium analysis gave 58.8% ~Cr as compared
J04 1300  1    with 61.2% theory. However, **f adsorbs water from
J04 1300  9    the atmosphere and this may account for the low chromium
J04 1310  8    analysis and high total weight loss.
J04 1320  2       The x-ray diffraction pattern of the material, taken
J04 1320 11    with ~CuK|a radiation, indicated the presence of no
J04 1330  8    extra lines and was in good agreement with the pattern
J04 1340  8    of Douglass. Magnetic analyses by R& G& Meisenheimer
J04 1350  5    of this laboratory indicated no ferromagnetic impurities.
J04 1360  2    **f was found to be paramagnetic with three unpaired
J04 1370  1    electron per chromium atom and a molecular susceptibility
J04 1370  9    of **f, where **f. For exactly three unpaired electrons
J04 1380  8    the coefficient would be 3.10. An infrared spectrum,
J04 1390  6    obtained by H& A& Benesi and R& G& Snyder of this laboratory,
J04 1400  7    showed bands in the positions found by Jones.
J04 1410  4       Electron microscopic examination of the **f sample
J04 1420  2    showed it to be composed of nearly isotropic particles
J04 1420 11    about 0.3|m in diameter. The particles appeared rough
J04 1430  7    and undoubtedly the single-crystal domains are smaller
J04 1440  4    than this. The x-ray data are consistent with particle
J04 1450  3    sizes of 1000 ~A or greater. We found no obvious effects
J04 1460  2    due to preferred orientation of the crystallites in
J04 1460 10    this sample nor would we expect to on the basis of
J04 1470 10    the shape found from electron microscopic examination.
J04 1480  3    #NUCLEAR MAGNETIC RESONANCE (~NMR) MEASUREMENTS#
J04 1500  1    The magnetic resonance absorption was detected by employing
J04 1510  1    a Varian model **f broad line spectrometer and the
J04 1510 10    associated 12-inch electromagnet system. One measurement
J04 1520  5    at 40 ~Mc/sec was obtained with the Varian model **f
J04 1530  6    unit. A bridged-T type of bridge was used in the 10-16
J04 1540  6    ~Mc/sec range. The ~rf power level was maintained small
J04 1550  2    enough at all times to prevent obvious line shape distortions
J04 1560  1    by saturation effects. A modulation frequency of 40
J04 1560  9    ~cps with an amplitude as small as possible, commensurate
J04 1570  7    with reasonably good signal-to-noise quality, was used.
J04 1580  4    Background spectra were obtained in all cases. The
J04 1590  4    spectrometer was adjusted to minimize the amount of
J04 1590 12    dispersion mode mixed in with the absorption signal.
J04 1600  8       A single value of the thermal relaxation time **f
J04 1610  7    at room temperature was measured by the progressive
J04 1620  4    saturation method. The value of **f estimated at 470
J04 1630  2    gauss was **f microseconds. A single measurement of
J04 1630 10    the spin-spin relaxation time **f was obtained at 10
J04 1640  8    ~Mc/sec by pulse methods. This measurement was obtained
J04 1650  5    by W& Blumberg of the University of California, Berkeley,
J04 1660  3    by observing the breadth of the free induction decay
J04 1670  2    signal. The value derived was 16 microseconds.
J04 1670  9       Field shifts were derived from the mean value of
J04 1680  9    the resonance line, defined as the field about which
J04 1690  6    the first moment is zero.
J04 1690 11       Second moments of the spectra were computed by numerical
J04 1700  8    integration. Corrections were applied for modulation
J04 1710  5    broadening, apparatus background, and field shift.
J04 1720  3       Spectra were obtained over the temperature range
J04 1730  1    of 77-294`K. For the low-temperature measurements the
J04 1730 10    sample was cooled by a cold nitrogen gas flow method
J04 1750  8    similar to that of Andrew and Eades. The temperature
J04 1760  4    was maintained to within about **f for the period of
J04 1770  3    time required to make the measurement (usually about
J04 1770 11    one hour). One sample, which had been exposed to the
J04 1780  9    atmosphere after evacuation at 375`~C, showed the presence
J04 1790  6    of adsorbed water (about 0.3 ~wt %) as evidenced by
J04 1800  6    a weak resonance line which was very narrow at room
J04 1810  3    temperature and which disappeared, due to broadening,
J04 1810 10    at low temperature. The data reported here are either
J04 1820  8    from spectra from which the adsorbed water resonance
J04 1830  5    could easily be eliminated or from spectra of samples
J04 1840  3    evacuated and sealed off at 375`~C which contain no
J04 1850  1    adsorbed water.
J04 1850  3       The measured powder density of the **f used here
J04 1860  2    was about **f, approximately one-third that of the
J04 1860 11    crystal density (**f). Such a density corresponds to
J04 1870  7    a paramagnetic ion density of about **f.
J04 1880  3       Spectra were obtained from a powdered sample having
J04 1900  1    the shape of a right circular cylinder with a height-to-diameter
J04 1900 13    ratio of 4:1. The top of the sample was nearly flat
J04 1910 11    and the bottom hemispherical. Spectra were also obtained
J04 1920  5    from a sample in a spherical container which was made
J04 1930  4    by blowing a bubble on the end of a capillary glass
J04 1940  1    tube. The bubble was filled to the top and special
J04 1940 11    precautions were taken to prevent any sample from remaining
J04 1950  8    in the capillary. Spectra were also obtained from a
J04 1960  6    third sample of **f which had been diluted to three
J04 1970  3    times its original volume with powdered, anhydrous
J04 1970 10    alundum (**f). This sample was contained in a cylindrical
J04 1980  9    container similar to that described above.
J05 0010  1    Polyphosphates gave renewed life to soap products at
J05 0010  9    a time when surfactants were a threat though expensive,
J05 0020  6    and these same polyphosphates spelled the decline of
J05 0030  5    soap usage when the synergism between polyphosphates
J05 0040  1    and synthetic detergent actives was recognized and
J05 0040  8    exploited.
J05 0050  1       The market today for detergent builders is quite
J05 0050  9    diverse. The best known field of application for builders
J05 0060  7    is in heavy-duty, spray-dried detergent formulations
J05 0070  3    for household use. These widely advertised products,
J05 0080  2    which are used primarily for washing clothes, are based
J05 0080 11    on high-sudsing, synthetic organic actives (sodium
J05 0090  5    alkylbenzenesulfonates) and contain up to 50% by weight
J05 0100  8    of sodium tripolyphosphate or a mixture of sodium
J05 0110  3    tripolyphosphate
J05 0110  4    and tetrasodium pyrophosphate. In the household market,
J05 0120  3    there are also low-sudsing detergent formulations based
J05 0130  2    on nonionic actives with about the same amount of phosphate
J05 0130 12    builder; light-duty synthetic detergents with much
J05 0140  7    less builder; and the dwindling built-soap powders
J05 0150  5    as well as soap flakes and granules, none of which
J05 0160  3    are now nationally advertised. A well-publicized entrant
J05 0170  1    which has achieved success only recently is the built
J05 0170 10    liquid detergent, with which the major problem today
J05 0180  7    is incorporation of builder and active into a small
J05 0190  5    volume using a sufficiently high builder/active ratio.
J05 0200  2       Hard-surface cleaning in household application is
J05 0210  1    represented by two classes of alkaline products: (1)
J05 0210  9    the formulations made expressly for machine dishwashers,
J05 0220  6    and (2) the general-purpose cleaners used for walls
J05 0230  5    and woodwork. The better quality products in both of
J05 0240  3    these lines contain phosphate builders. In addition,
J05 0240 10    many of the hard-surface cleaners used for walls and
J05 0250  9    woodwork had their genesis in trisodium orthophosphate,
J05 0260  4    which is still the major ingredient of a number of
J05 0270  4    such products. Many scouring powders now also contain
J05 0270 12    phosphates. These hard-surface cleaners are discussed
J05 0280  7    in Chapter 28.
J05 0290  1    #THE CLEANING PROCESS#
J05 0290  3    Cleaning or detergent action is entirely a matter of
J05 0300  4    surfaces. Wet cleaning involves an aqueous medium,
J05 0300 11    a solid substrate, soil to be removed, and the detergent
J05 0310  9    or surface-active material. An oversimplified differentiation
J05 0320  5    between soft- and hard-surface cleaning lies in the
J05 0330  5    magnitude and kind of surface involved. One gram of
J05 0340  3    cotton has been found to have a specific surface area
J05 0340 13    of **f. In contrast, a metal coupon **f in size would
J05 0350 10    have a magnitude from 100,000 to a million less. Even
J05 0360  7    here there is room for some variation, for metal surfaces
J05 0370  4    vary in smoothness, absorptive capacity, and chemical
J05 0380  1    reactivity. Spring used a Brush surface-analyzer in
J05 0380  9    a metal-cleaning study and showed considerable differences
J05 0390  6    in soil removal, depending upon surface roughness.
J05 0400  4    There are considerable differences between the requirements
J05 0410  3    for textile and hard-surface cleaning. Exclusive of
J05 0420  2    esthetic values, such as high- or low-foam level, perfume
J05 0420 13    content, etc&, the requirements for the organic active
J05 0430  8    used in washing textiles are high. No matter how they
J05 0440  7    are formulated, a large number of organic actives are
J05 0450  3    simply not suitable for this application, since they
J05 0460  1    do not give adequate soil removal. This is best demonstrated
J05 0460 11    by practical washing tests in which cloth articles
J05 0470  7    are repeatedly washed with the same detergent formulation.
J05 0480  5    A good formulation will keep the clothes clean and
J05 0490  3    white after many washings; whereas, with a poor formulation,
J05 0500  1    the clothes exhibit a build-up of "tattle-tale grey"
J05 0500 11    and dirty spots- sometimes with bad results even after
J05 0510  7    the first wash. Since practical washing procedures
J05 0520  4    are both lengthy and expensive, a number of laboratory
J05 0530  3    tests have been developed for the numerical evaluation
J05 0540  1    of detergents. Harris has indicated that two devices,
J05 0540  9    the Launder-Ometer and Terg-O-Tometer are most widely
J05 0550  8    used for rapid detergent testing, and he has listed
J05 0560  6    the commercially available standard soiled fabrics.
J05 0570  2    Also given are several laboratory wash procedures in
J05 0570 10    general use. The soiled fabrics used for rapid testing
J05 0580  9    of detergent formulations are made in such a way that
J05 0590  8    only part of the soil is removed by even the best detergent
J05 0600  5    formulation in a single wash. In this way, numerical
J05 0610  2    values for the relative efficacy of various detergent
J05 0610 10    formulations can be obtained by measuring the reflectance
J05 0620  8    (whiteness) of the cloth swatches before and after
J05 0630  6    washing. Soil redeposition is evaluated by washing
J05 0640  3    clean swatches with the dirty ones. As is the case
J05 0640 13    with the surface-active agent, the requirements for
J05 0650  8    builders to be used in detergent compositions for washing
J05 0660  5    textiles are also high. Large numbers of potential
J05 0670  3    builders have been investigated, but none have been
J05 0680  1    found to be as effective as the polyphosphates over
J05 0680 10    the relatively wide range of conditions met in practice.
J05 0690  7       The problems of hard-surface cleaning are not nearly
J05 0700  5    as complex. In hard-surface cleaning, the inorganic
J05 0710  2    salts are more important than the organic active. Indeed,
J05 0720  1    when the proper inorganic constituents are employed,
J05 0720  8    practically any wetting or surface-active agent will
J05 0730  7    do a reasonably good job when present in sufficient
J05 0740  3    amount in a hard-surface cleaning formulation. Hydroxides,
J05 0750  1    orthophosphates, borates, carbonates, and silicates
J05 0750  6    are important inorganic ingredients of hard-surface
J05 0760  6    cleaners. In addition, the polyphosphates are also
J05 0770  4    used, probably acting more as peptizing agents than
J05 0780  2    anything else. The importance of the inorganic constituents
J05 0780 10    in hard-surface cleaning has been emphasized in a number
J05 0790 10    of papers.
J05 0790 12    #PHYSICAL CHEMISTRY OF WASHING#
J05 0800  4    Although there is no question but that the process
J05 0810  5    of washing fabrics involves a number of phenomena which
J05 0820  2    are related together in an extremely complicated way
J05 0820 10    and that these phenomena and their interrelations are
J05 0830  7    not well understood at the present, this section attempts
J05 0840  5    to present briefly an up-to-date picture of the physical
J05 0850  4    chemistry of washing either fabrics or hard surfaces.
J05 0860  1    The purpose of washing is, obviously, to remove soils
J05 0860 10    which are arbitrarily classed in the four major categories
J05 0870  7    given below:
J05 0880  1    _1._
J05 0880  1       Dirt, which is here defined as particulate material
J05 0880  9    which is usually inorganic and is very often extremely
J05 0890  7    finely divided so as to exhibit colloidal properties.
J05 0900  3    _2._
J05 0900  4       Greasy soils, which are typified by hydrocarbons
J05 0910  2    and fats (esters of glycerol with long-chain organic
J05 0910 11    acids).
J05 0920  1    _3._
J05 0920  2       Stains, which include the wide variety of nonparticulate
J05 0930  1    materials which give color even when present in very
J05 0930 10    low concentration on the soiled object.
J05 0940  5    _4._
J05 0940  6       Miscellaneous soils, which primarily include sticky
J05 0950  3    substances and colorless liquids which evaporate to
J05 0950 10    leave a residue.
J05 0960  3       The dirt on the soiled objects is mechanically held
J05 0970  2    by surface irregularities to some extent. However,
J05 0970  9    a major factor in binding dirt is the attraction between
J05 0980  8    surfaces that goes under the name of van der Waal's
J05 0990  7    forces. This is a theoretically complicated dipole
J05 1000  2    interaction which causes any extremely small uncharged
J05 1000  9    particle to agglomerate with other small uncharged
J05 1010  7    particles, or to stick to an uncharged surface. Obviously,
J05 1020  6    if colloidal particles bear charges of opposite sign
J05 1030  4    or, if one kind is charged and the other kind is not,
J05 1040  2    the attraction will be intensified and the tendency
J05 1040 10    to agglomerate will be greatly reinforced. Likewise,
J05 1050  6    a charged particle will tend to stick to an uncharged
J05 1060  6    surface and vice versa, and a charged particle will
J05 1070  2    be very strongly attracted to a surface exhibiting
J05 1070 10    an opposite charge. In addition, dirt particles can
J05 1080  7    be held onto a soiled surface by sticky substances
J05 1090  4    or by the surface tension of liquids, including liquid
J05 1100  2    greases.
J05 1100  3       Greases, stains, and miscellaneous soils are usually
J05 1110  3    sorbed onto the soiled surface. In most cases, these
J05 1110 12    soils are taken up as liquids through capillary action.
J05 1120  9    In an essentially static system, an oil cannot be replaced
J05 1130  8    by water on a surface unless the interfacial tensions
J05 1140  4    of the water phase are reduced by a surface-active
J05 1150  1    agent.
J05 1150  2       The washing process whereby soils are removed consists
J05 1160  1    basically of applying mechanical action to loosen the
J05 1160  9    dirt particles and dried matter in the presence of
J05 1170  8    water which helps to float off the debris and acts,
J05 1180  5    to some extent, as a dissolving and solvating agent.
J05 1190  2    Greasy soils are hardly removed by washing in plain
J05 1190 11    water; and natural waters, in addition, often contain
J05 1200  7    impurities such as calcium salts which can react with
J05 1210  6    soils to make them more difficult to remove. Therefore,
J05 1220  2    detergents are used. The detergent active is that substance
J05 1230  1    which primarily acts to remove greasy soils. The other
J05 1230 10    constituents in a built detergent assist in this and
J05 1240  9    in the removal of dirty stains and the hydrophilic
J05 1250  4    sticky or dried soils.
J05 1250  8       As is well known, detergent actives belong to the
J05 1260  6    chemical class consisting of moderately high molecular
J05 1270  3    weight and highly polar molecules which exhibit the
J05 1280  1    property of forming micelles in solution. Physicochemical
J05 1280  8    investigations of anionic surfactants, including the
J05 1290  6    soaps, have shown that there is little polymerization
J05 1300  4    or agglomeration of the chain anions below a certain
J05 1310  3    region of concentration called the critical micelle
J05 1310 10    concentration. (1) Below the critical micelle concentration,
J05 1320  7    monomers and some dimers are present. (2) In the critical
J05 1330  8    micelle region, there is a rapid agglomeration or polymerization
J05 1340  6    to give the micelles, which have a degree of polymerization
J05 1350  5    averaging around 60-80. (3) For anionics, these micelles
J05 1360  3    appear to be roughly spherical assemblages in which
J05 1370  1    the hydrocarbon tails come together so that the polar
J05 1370 10    groups (the ionized ends) face outward towards the
J05 1380  6    aqueous continuous phase. Obviously hydrophobic (oleophilic)
J05 1390  2    substances such as greases, oils, or particles having
J05 1400  1    a greasy or oily surface are more at home in the center
J05 1400 13    of a micelle than in the aqueous phase. Micelles can
J05 1410  8    imbibe and hold a considerable amount of oleophilic
J05 1420  4    substances so that the micelle volume may be increased
J05 1430  2    as much as approximately two-fold. Although the matter
J05 1430 11    has not been unequivocally demonstrated, the available
J05 1440  7    data show that micelles in themselves do not contribute
J05 1450  6    significantly to the detergency process.
J05 1460  1       Related to micelle formation is the technologically
J05 1460  8    important ability of detergent actives to congregate
J05 1470  7    at oil-water interfaces in such a manner that the polar
J05 1480  8    (or ionized) end of the molecule is directed towards
J05 1490  2    the aqueous phase and the hydrocarbon chain towards
J05 1490 10    the oily phase. In the cleaning process, sorbed greasy
J05 1500  9    soils become coated in this manner with an oriented
J05 1510  7    film of surfactant. Then during washing, the greasy
J05 1520  3    soil rolls back at the edges so that emulsified droplets
J05 1530  1    can disengage themselves from the sorbed oil mass,
J05 1530  9    with the aid of mechanical action, and enter the aqueous
J05 1540  7    phase. Obviously, a substance which is permanently
J05 1550  4    or temporarily sorbed on the surface in place of the
J05 1560  2    soil will tend to accelerate this process and effectively
J05 1560 11    push off the greasy soil.
J05 1570  4       Substances other than detergent actives also tend
J05 1580  2    to be strongly sorbed from aqueous media onto surfaces
J05 1580 11    of other contiguous condensed phases. This is particularly
J05 1590  7    true of highly charged ions, especially those ions
J05 1600  5    which fall into the class of polyelectrolytes. Whereas
J05 1610  2    the usual organic surface-active agent is strongly
J05 1620  1    sorbed at oil-water interfaces, the highly charged
J05 1620  9    ions are most strongly sorbed at interfaces between
J05 1630  5    water and insoluble materials exhibiting an ionic structure
J05 1640  4    (see Table 26-2 on p& 1678). Thus, for aqueous media,
J05 1650  2    we can think of the idealized organic active as an
J05 1650 12    oleophilic or hydrophobic surface-active agent, and
J05 1660  7    of an idealized builder as a oleophobic or hydrophilic
J05 1670  5    surface-active agent.
J05 1670  8       From the equilibrium sorption data which are available,
J05 1680  6    it seems logical to expect that polyphosphate ions
J05 1690  4    would be strongly sorbed on the surface of the dirt
J05 1700  3    (especially clay soils) so as to give it a greatly
J05 1700 13    increased negative charge. The charged particles then
J05 1710  7    repel each other and are also repelled from the charged
J05 1720  6    surface, which almost invariably bears a negative charge
J05 1730  4    under washing conditions. The negatively charged dirt
J05 1740  1    particles then leave the surface and go into the aqueous
J05 1740 11    phase. This hypothesis is evolved in analogy to the
J05 1750  8    demonstrated action of organic actives in detergency.
J05 1760  4    It does not consider the kinetic effects of the phosphate
J05 1770  4    builders on sorption-desorption phenomena which will
J05 1780  1    be discussed later (see pp& 1746-1748).
J05 1780  8       The crude picture of the detergency process thus
J05 1790  5    far developed can be represented as: **f The influence
J05 1800  3    of mechanical action on the particles of free soil
J05 1800 12    may be compared to that of kinetic energy on a molecular
J05 1810 11    scale. Freed soil must be dispersed and protected against
J05 1820  7    flocculation. Cleaned cloth must be protected against
J05 1830  5    the redeposition of dispersed soil. It is evident that
J05 1840  3    the requirements imposed by these effects upon any
J05 1840 11    one detergent constituent acting alone are severe.
J05 1850  7       Upon consideration of the variety of soils and fabrics
J05 1860  8    normally encountered in the washing process, it is
J05 1870  4    little wonder that the use of a number of detergent
J05 1880  1    constituents having "synergistic" properties has gained
J05 1880  7    widespread acceptance. In the over-all process, it
J05 1890  8    is difficult to assign a "pure" role to each constituent
J05 1900  6    of a built-detergent formulation; and, indeed, there
J05 1910  4    is no more reason to separate the interrelated roles
J05 1920  1    of the active, builder, antiredeposition agent, etc&
J05 1920  8    than there is to assign individual actions to each
J05 1930  8    of the numerous isomers making up a given commercial
J05 1940  5    organic active.
J06 0010  1    ##
J06 0010  2    The thermal exchange of chlorine between **f and liquid
J06 0010 11    **f is readily measurable at temperatures in the range
J06 0020  8    of 180` and above. The photochemical exchange occurs
J06 0030  4    with a quantum yield of the order of unity in the liquid
J06 0040  5    phase at 65` using light absorbed only by the **f.
J06 0050  1    In the gas phase, with **f of **f and **f of **f, quantum
J06 0050 14    yields of the order of **f have been observed at 85`.
J06 0060  9    Despite extensive attempts to obtain highly pure reagents,
J06 0070  6    serious difficulty was experienced in obtaining reproducible
J06 0080  3    rates of reaction. It appears possible to set a lower
J06 0090  3    limit of about **f for the activation energy of the
J06 0090 13    abstraction of a chlorine atom from a carbon tetrachloride
J06 0100  9    molecule by a chlorine atom to form **f radical. The
J06 0110  7    rate of the gas phase exchange reaction appears to
J06 0120  3    be proportional to the first power of the absorbed
J06 0120 12    light intensity indicating that the radical intermediates
J06 0130  7    are removed at the walls or by reaction with an impurity
J06 0140  9    rather than by bimolecular radical combination reactions.
J06 0150  4    #INTRODUCTION#
J06 0150  5    Because of the simplicity of the molecules, isotopic
J06 0160  5    exchange reactions between elemental halogens and the
J06 0170  4    corresponding carbon tetrahalides would appear to offer
J06 0180  1    particularly fruitful possibilities for obtaining unambiguous
J06 0180  7    basic kinetic data. It would appear that it should
J06 0190  9    be possible to determine unique mechanisms for the
J06 0200  5    thermal and photochemical reactions in both the liquid
J06 0210  3    and gas phases and to determine values for activation
J06 0210 12    energies of some of the intermediate reactions of atoms
J06 0220  9    and free radicals, as well as information on the heat
J06 0230  8    of dissociation of the carbon-halogen bond. The reaction
J06 0240  4    of chlorine with carbon tetrachloride seemed particularly
J06 0250  2    suited for such studies. It should be possible to prepare
J06 0260  1    very pure chlorine by oxidation of inorganic chlorides
J06 0260  9    on a vacuum system followed by multiple distillation
J06 0270  6    of the liquid. It should be possible to free carbon
J06 0280  5    tetrachloride of any interfering substances by the
J06 0290  2    usual purification methods followed by prechlorination
J06 0290  8    prior to addition of radioactive chlorine. Furthermore,
J06 0300  6    the exchange would not be expected to be sensitive
J06 0310  6    to trace amounts of impurities because it would not
J06 0320  3    be apt to be a chain reaction since the activation
J06 0320 13    energy for abstraction of chlorine by a chlorine atom
J06 0330  8    would be expected to be too high; also it would be
J06 0340  7    expected that **f would compete very effectively with
J06 0350  2    any impurities as a scavenger for **f radicals. Contrary
J06 0360  1    to these expectations we have found it impossible to
J06 0360 10    obtain the degree of reproducibility one would wish,
J06 0370  6    even with extensive efforts to prepare especially pure
J06 0380  3    reagents. We are reporting these investigations here
J06 0390  2    briefly because of their relevancy to problems of the
J06 0390 11    study of apparently simple exchange reactions of chlorine
J06 0400  6    and because the results furnish some information on
J06 0410  5    the activation energy for abstraction of chlorine atoms
J06 0420  3    from carbon tetrachloride.
J06 0420  6    #EXPERIMENTAL#
J06 0430  1    _REAGENTS._
J06 0430  3       - Matheson highest purity tank chlorine was passed
J06 0430 10    through a tube of resublimed **f into an evacuated
J06 0440  8    Pyrex system where it was condensed with liquid air.
J06 0450  4    It was then distilled at least three times from a trap
J06 0460  4    at -78` to a liquid air trap with only a small middle
J06 0460 17    fraction being retained in each distillation. The purified
J06 0470  8    product was stored at -78` in a tube equipped with
J06 0480 10    a break seal.
J06 0480 13       Of several methods employed for tagging chlorine
J06 0490  6    with radiochlorine, the exchange of inactive chlorine
J06 0500  4    with tagged aluminum chloride at room temperature was
J06 0510  2    found to be the most satisfactory. To prepare the latter,
J06 0520  1    silver chloride was precipitated from a solution containing
J06 0520  9    **f obtained from the Oak Ridge National Laboratory.
J06 0530  7    The silver chloride was fused under vacuum in the presence
J06 0540  7    of aluminum chips with the resultant product of **f
J06 0550  4    which was sublimed into a flask on the vacuum line.
J06 0560  1    Previously purified chlorine was subsequently admitted
J06 0560  7    and the exchange was allowed to take place. The radiochlorine
J06 0570  8    was stored at -78` in a tube equipped with a break
J06 0580  8    seal.
J06 0580  9       Liter quantities of Mallinckrodt, low sulfur, reagent
J06 0590  4    grade carbon tetrachloride were saturated with **f
J06 0600  3    and **f and illuminated for about 50 hours with a 1000
J06 0600 14    watt tungsten lamp at a distance of a few inches. The
J06 0610 11    mixture was then extracted with alkali and with water
J06 0620  6    following which the carbon tetrachloride was distilled
J06 0630  3    on a Vigreux column, a 25% center cut being retained
J06 0640  1    which was then degassed under vacuum in the presence
J06 0640 10    of **f. Purified inactive chlorine was then added from
J06 0650  7    one of the tubes described above and the mixture frozen
J06 0660  6    out and sealed off in a flask equipped with a break
J06 0670  3    seal. This chlorine-carbon tetrachloride solution was
J06 0670 10    illuminated for a day following which the flask was
J06 0680  9    resealed onto a vacuum system and the excess chlorine
J06 0690  6    distilled off. The required amount of carbon tetrachloride
J06 0700  3    was distilled into a series of reaction cells on a
J06 0710  2    manifold on a vacuum line. The desired amounts of inactive
J06 0710 12    chlorine and radioactive chlorine were likewise condensed
J06 0720  7    in these cells on the vacuum line following which they
J06 0730  7    were frozen down and the manifold as a whole was sealed
J06 0740  6    off. The contents of the manifold for liquid phase
J06 0750  1    experiments were then mixed by shaking, redistributed
J06 0750  8    to the reaction tubes, frozen down, and each tube was
J06 0760  8    then sealed off. The reactants for the gas phase experiments
J06 0770  6    were first frozen out in a side-arm attached to the
J06 0780  4    manifold and then allowed to distil slowly into the
J06 0780 13    manifold of pre-cooled reaction cells before sealing
J06 0790  8    off. This method in general solved the problem of obtaining
J06 0800  8    fairly equal concentrations of reactants in each of
J06 0810  6    the six cells from a set.
J06 0820  1    _REACTION CONDITIONS AND ANALYSIS._
J06 0820  3       - The samples for liquid phase thermal reaction
J06 0830  1    studies were prepared in Pyrex capillary tubing 2.5
J06 0830  9    mm& i&d& and about 15 cm& long. In a few experiments
J06 0840  9    the tubes were made from standard 6 mm& i&d& Pyrex
J06 0850  6    tubing of 1 mm& wall thickness. Both types of tube
J06 0860  4    withstood the pressure of approximately 20 atmospheres
J06 0870  1    exerted by the carbon tetrachloride at 220`. The photochemical
J06 0870 10    reaction cells consisted of 10 mm& i&d& Pyrex tubing,
J06 0880  9    5.5 cm& long, diffraction effects being minimized by
J06 0890  7    the fact that the light passed through only liquid-glass
J06 0900  5    interfaces and not gas-glass interfaces. These cells
J06 0910  3    were used rather than square Pyrex tubing because of
J06 0920  2    the tendency of the latter to shatter when thawing
J06 0920 11    frozen carbon tetrachloride. The round cells were reproducibly
J06 0930  7    positioned in the light beam which entered the thermostated
J06 0940  7    mineral oil-bath through a window. Two types of light
J06 0950  5    source were used, a thousand watt projection lamp and
J06 0960  3    an ~AH6 high pressure mercury arc. The light was filtered
J06 0970  1    by the soft glass window of the thermostat thus ensuring
J06 0970 11    that only light absorbed by the chlorine and not by
J06 0980 10    the carbon tetrachloride could enter the reaction cell.
J06 0990  6    Relative incident light intensities were measured with
J06 1000  4    a thermopile potentiometer system. Changes of intensity
J06 1010  1    on the cell were achieved by use of a wire screen and
J06 1010 13    by varying the distance of the light source from the
J06 1020  9    cell.
J06 1020 10       Following reaction the cells were scratched with
J06 1030  6    a file and opened under a 20% aqueous sodium iodide
J06 1040  3    solution. Carrier **f was added and the aqueous and
J06 1050  1    organic phases were separated (cells containing gaseous
J06 1050  8    reactants were immersed in liquid air before opening
J06 1060  7    under sodium iodide). After titration of the liberated
J06 1070  5    **f with **f, aliquots of the aqueous and of the organic
J06 1080  1    phase were counted in a solution-type Geiger tube.
J06 1080 10    In the liquid phase runs the amount of carbon tetrachloride
J06 1090  8    in each reaction tube was determined by weighing the
J06 1100  5    tube before opening and weighing the fragments after
J06 1110  2    emptying. The fraction of exchange was determined as
J06 1110 10    the ratio of the counts/minute observed in the carbon
J06 1120  9    tetrachloride to the counts/minute calculated for the
J06 1130  5    carbon tetrachloride fractions for equilibrium distribution
J06 1140  3    of the activity between the chlorine and carbon tetrachloride,
J06 1150  2    empirically determined correction being made for the
J06 1160  1    difference in counting efficiency of **f in **f and
J06 1160 10    **f.
J06 1160 11    #RESULTS#
J06 1160 12    _THE THERMAL REACTION._
J06 1170  3       - In studying the liquid phase thermal reaction,
J06 1180  2    some 70 tubes from 12 different manifold fillings were
J06 1180 11    prepared and analyzed. Experiments were done at 180,
J06 1190  8    200, 210, 220`. Following observation of the fact that
J06 1200  6    the reaction rates of supposedly identical reaction
J06 1210  3    mixtures prepared on the same filling manifold and
J06 1220  1    exposed under identical conditions often differed by
J06 1220  8    several hundred per cent&, a systematic series of experiments
J06 1230  7    was undertaken to see whether the difficulty could
J06 1240  4    be ascribed to the method of preparing the chlorine,
J06 1250  1    to the effects of oxygen or moisture or to the effect
J06 1250 12    of surface to volume ratio in the reaction tubes. In
J06 1260  9    addition to the method described in the section above,
J06 1270  6    chlorine and radiochlorine were prepared by the electrolysis
J06 1280  4    of a **f eutectic on the vacuum line, and by exchange
J06 1290  1    of **f with molten **f. Calcium hydride was substituted
J06 1290 10    for **f as a drying agent for carbon tetrachloride.
J06 1300  8    No correlation between these variables and the irreproducibility
J06 1310  6    of the results was found.
J06 1320  1       The reaction rates observed at 200` ranged from
J06 1320  9    **f of the chlorine exchanged per hour to 0.7 exchanged
J06 1330  7    per hour. In most cases the chlorine concentration
J06 1340  2    was about **f. Sets of reaction tubes containing 0.2
J06 1340 11    of an atmosphere of added oxygen in one case and added
J06 1350 11    moisture in another, both gave reaction rates in the
J06 1360  7    range of 0.1 to 0.4 of the chlorine exchanged per hour.
J06 1370  4    No detectable reaction was found at room temperature
J06 1380  1    for reaction mixtures allowed to stand up to 5 hours.
J06 1390  1    _THE LIQUID PHASE PHOTOCHEMICAL REACTION._
J06 1390  6       - The liquid phase photochemical exchange between
J06 1400  3    chlorine and carbon tetrachloride was more reproducible
J06 1410  1    than the thermal exchange, although still erratic.
J06 1410  8    The improvement was most noticeable in the greater
J06 1420  7    consistency among reaction cells prepared as a group
J06 1430  5    on the same manifold. Rather large differences were
J06 1440  1    still found between reaction cells from different manifold
J06 1440  9    fillings. Some 80 reaction tubes from 13 manifold fillings
J06 1450  9    were illuminated in the temperature range from 40 to
J06 1460  7    85` in a further endeavor to determine the cause of
J06 1470  4    the irreproducibility and to obtain information on
J06 1480  1    the activation energy and the effect of light intensity.
J06 1480 10    In all cases there was readily measurable exchange
J06 1490  6    after as little as one hour of illumination. By comparing
J06 1500  4    reaction cells sealed from the same manifold temperature
J06 1510  2    dependency corresponding to activation energies ranging
J06 1520  1    from 11 to 18 **f was observed while dependence on
J06 1520 11    the first power of the light intensity seemed to be
J06 1530  7    indicated in most cases.
J06 1530 11       It was possible to make estimates of the quantum
J06 1540  9    yield by observing the extent of reduction of a uranyl
J06 1550  6    oxalate actinometer solution illuminated for a known
J06 1560  4    time in a typical reaction cell and making appropriate
J06 1560 13    conversions based on the differences in the absorption
J06 1570  8    spectra of uranyl oxalate and of chlorine, and considering
J06 1580  7    the spectral distribution of the light source. These
J06 1590  5    estimates indicated that the quantum yield for the
J06 1600  3    exchange of chlorine with liquid carbon tetrachloride
J06 1600 10    at 65` is of the order of magnitude of unity.
J06 1610  9       When typical reaction cells to which 0.3 of an atmosphere
J06 1620  8    of oxygen had been added were illuminated, chlorine
J06 1630  2    and phosgene were produced. Exchange was also observed
J06 1640  1    in these cells, which had chlorine present at **f.
J06 1650  1    _THE PHOTOCHEMICAL EXCHANGE IN THE GAS PHASE._
J06 1650  6       - Although there was some variation in results which
J06 1660  4    must be attributed either to trace impurities or to
J06 1670  2    variation in wall effects, the photochemical exchange
J06 1670  9    in the gas phase was sufficiently reproducible so that
J06 1680  6    it seemed meaningful to compare the reaction rates
J06 1690  4    in different series of reaction tubes for the purpose
J06 1700  1    of obtaining information on the effect of chlorine
J06 1700  9    concentration and of carbon tetrachloride concentration
J06 1710  6    on the reaction rate. Data on such comparisons together
J06 1720  5    with data on the effect of light intensity are given
J06 1730  3    in Table /1.,
J06 1730  6       In series /1, the relative light intensity was varied
J06 1740  4    by varying the distance of the lamp from the reaction
J06 1750  2    cell over the range from 14.7 to 29.2 cm&. The last
J06 1750 13    column shows the rate of exchange that would have been
J06 1760 10    oserved at a relative intensity of 4 (14.7 cm& distance)
J06 1770  7    calculated on the assumptions that the incident light
J06 1780  4    intensity is inversely proportional to the square of
J06 1790  2    the distance of the lamp from the cell and that the
J06 1790 13    rate is directly proportional to the incident light
J06 1800  6    intensity. Direct proportionality of the rate to the
J06 1810  6    incident intensity has also been assumed in obtaining
J06 1820  1    the value in the last column for the fourth sample
J06 1820 11    of series /2, where the light intensity was reduced
J06 1830  7    by use of a screen.
J07 0010  1    The Poynting-Robertson effect (Robertson, 1937; Wyatt
J07 0010  8    and Whipple, 1950), which is a retardation of the orbital
J07 0020  9    motion of particles by the relativistic aberration
J07 0030  5    of the repulsive force of the impinging solar radiation,
J07 0040  3    causes the dust to spiral into the sun in times much
J07 0050  1    shorter than the age of the Earth. The radial velocity
J07 0050 11    varies inversely as the particle size- a 1000-~|m-diameter
J07 0060  9    particle near the orbit of Mars would reach the sun
J07 0070  8    in about 60 million years. Whipple (1955) extends the
J07 0080  4    effects to include the solar-corpuscular-radiation
J07 0090  1    pressure, which increases both the minimum particle
J07 0090  8    size and the drag. Further, the corpuscular radiation,
J07 0100  5    i&e&, the solar-wind protons, must sputter away the
J07 0110  5    surface atoms of the dust and cause a slow diminution
J07 0120  2    in size, with a resultant increase in both the Poynting-Robertson
J07 0130  1    effect and the ratio of the repulsive force to the
J07 0130 11    gravitational force.
J07 0140  2       The Poynting-Robertson effect causes the semi-major
J07 0150  1    axis of orbits to diminish more rapidly than the semi-minor
J07 0150 12    axis, with a consequent tendency toward circular orbits
J07 0160  8    as the particles move toward the sun. Also, planetary
J07 0170  6    gravitational attraction increases the dust concentration
J07 0180  4    near the plane of the ecliptic as the sun is approached.
J07 0190  2    At one astronomical unit from the sun (the Earth's
J07 0190 11    distance) the dust orbits are probably nearly circular.
J07 0200  8    If such is the case, the particles within a distance
J07 0210  6    of about **f ~km of the Earth will have, relative to
J07 0220  4    the Earth, a kinetic energy less than their potential
J07 0230  1    energy and they will be captured into orbits about
J07 0230 10    the Earth. De Jager (1955) has calculated the times
J07 0240  7    required for these particles to reach the atmosphere
J07 0250  5    under the influence of the Poynting-Robertson effect,
J07 0260  2    which in this case causes the orbits to become more
J07 0260 12    and more eccentric without changing the semi-major
J07 0270  6    axis. This effect can give rise to a blanket of micrometeorites
J07 0280  5    around the Earth.
J07 0280  8       Since there is a continual loss of micrometeoritic
J07 0290  6    material in space because of the radiation effects,
J07 0300  3    there must be a continual replenishment: otherwise,
J07 0310  1    micrometeorites would have disappeared from interplanetary
J07 0310  7    space. There are several possible sources. According
J07 0320  6    to Whipple (1955), cometary debris is sufficient to
J07 0330  5    replenish the material spiraling into the sun, maintaining
J07 0340  3    a fairly steady state. Asteroidal collisions are also
J07 0350  1    thought to contribute material. It is also possible
J07 0350  9    that some of the dust in the vicinity of the Earth
J07 0360  9    originated from meteoritic impacts upon the moon.
J07 0370  4    #5.3 DIRECT MEASUREMENTS OF MICROMETEORITE FLUX#
J07 0380  1    One cannot make a very satisfactory guess about the
J07 0380 10    micrometeorite flux in space. Even in the neighborhood
J07 0390  8    of the Earth, where information has been obtained both
J07 0400  5    directly and indirectly, the derived flux values vary
J07 0410  3    by at least four orders of magnitude. This large discrepancy
J07 0420  1    demonstrates the inadequacies of the experimental methods
J07 0420  8    and the lack of understanding of the various phenomena
J07 0430  8    involved. Beyond a few million kilometers from the
J07 0440  6    Earth, but still in the region of the Earth's orbit,
J07 0450  3    a prediction of the flux of dust is even more unreliable.
J07 0460  1    At greater distances from the sun, the situation is
J07 0460 10    still less certain.
J07 0470  2       There are several sources of evidence on the micrometeorite
J07 0480  1    environment. Direct information has been obtained from
J07 0480  8    rockets and satellites equipped with impact sensors.
J07 0490  7    In addition, the size distribution obtained from visual
J07 0500  5    and radar observations of meteors may be extrapolated
J07 0510  3    to the micrometeorite domain. From the brightness of
J07 0520  1    the ~F component of the solar corona and the brightness
J07 0520 11    of the zodiacal light, an estimate of the particle
J07 0530  7    sizes, concentrations, and spatial distribution can
J07 0540  3    be derived for regions of space near the ecliptic plane.
J07 0550  2    Another important source of evidence only recently
J07 0550  9    receiving much attention is the analysis of atmospheric
J07 0560  8    dust for a meteoritic component. The cores of deep-sea
J07 0570  7    sediments and content of collectors in remote regions
J07 0580  4    are valuable in this category. The data provide a measure
J07 0590  2    of the total mass of cosmic material incident upon
J07 0590 11    the Earth.
J07 0600  1       The direct evidence on the micrometeorite environment
J07 0600  8    near the Earth is obtained from piezoelectric sensors
J07 0610  5    (essentially microphones) and from wire gages; these
J07 0620  6    instruments are installed on rockets, satellites, and
J07 0630  2    space probes. Statistically, the most significant data
J07 0630  9    have been collected from the sensors on 1958 Alpha
J07 0640  9    (Explorer /1,), 1958 Delta 2 (Sputnik /3,), and 1959
J07 0650  8    Eta (Vanguard /3,). These vehicles, with large sensitive
J07 0660  5    areas, have collected data for long enough times to
J07 0670  3    give reliable impact rates for the periods of exposure.
J07 0680  1    Many other vehicles with smaller sensitive-area exposure-time
J07 0680 10    products contribute some information.
J07 0690  4       The impact rate on 1958 Alpha for 153 events was
J07 0700  5    **f for particles of mass greater than **f (Dubin,
J07 0710  1    1960); this mass threshold was derived from the detector
J07 0710 10    calibration and an assumed impact velocity of **f.
J07 0720  8    The data show daily and diurnal variations. Ninety
J07 0730  3    per cent of the 153 recorded impacts occurred between
J07 0740  2    midnight and noon, and from day to day the variation
J07 0740 12    of the rate was as much as an order of magnitude. One
J07 0750 10    may conclude that most of the detected micrometeoritic
J07 0760  5    material is concentrated in orbital streams which intersect
J07 0770  3    the Earth's orbit.
J07 0770  6       There have been contradictory reports from 1958
J07 0780  4    Delta 2, and the data quoted here are believed to be
J07 0790  3    the more reliable. On May 15, a very large increase
J07 0790 13    occurred with **f of mass between **f and **f; for
J07 0800 10    the next two days, the impact rate was **f; and for
J07 0810  8    the next nine days, the impact rate was less than **f
J07 0820  5    (Nazarova, 1960). The data for the first day indicate
J07 0830  1    a meteor stream with a very high concentration of particles
J07 0830 11    and may have led to the high estimates of micrometeorite
J07 0840  9    flux.
J07 0840 10       Preliminary data from 1959 Eta give an average impact
J07 0850  9    rate of **f for masses larger than **f for about 1000
J07 0860  7    events in a 22-day period (LaGow and Alexander, 1960).
J07 0870  4    The day-to-day rate varied by less than a factor of
J07 0880  2    4.5. The data have not yet been analyzed for diurnal
J07 0880 12    variations. Note that the mass threshold is four times
J07 0890  9    that of 1958 Alpha and that the flux is one fifth as
J07 0900  8    large. If one assumes that the average flux did not
J07 0910  4    change between measurements, a mass-distribution curve
J07 0910 11    is obtained which relates the flux of particles larger
J07 0920  9    than a given radius to the inverse 7/2 power of the
J07 0930  8    radius.
J07 0930  9       Space probes have yielded little information. Pioneer
J07 0940  5    /1, recorded a decrease in flux with distance from
J07 0950  4    the Earth on the basis of 11 counts in 9 hours. With
J07 0951  1    detectors sensitive to three mass intervals and based
J07 0960  8    on a few counts, the second and third Russian space
J07 0970  7    probes indicate that the flux of the smallest particles
J07 0980  5    detected is less than that of larger ones. Being based
J07 0990  3    on so few events, these results are of dubious validity.
J07 1000  1       The calibration of piezoelectric sensors in terms
J07 1000  8    of the particle parameters is very uncertain. Many
J07 1010  6    workers believe that the response is proportional to
J07 1020  4    the incident momentum of the particles, a relation
J07 1030  1    deduced from laboratory results linearly extrapolated
J07 1030  7    to meteoritic velocities. However, one must expect
J07 1040  6    that vaporization and ejection of material by hypervelocity
J07 1050  5    impacts would cause a deviation from a linear relationship.
J07 1060  2    In the United States, most of the sensors are calibrated
J07 1070  1    by dropping small spheres on their sensitive surfaces.
J07 1070  9    The Russian experimenters claim that only a small fraction
J07 1080  9    of the impulse from the sensors is caused by the incident
J07 1090  9    momentum with the remainder being momentum of ejected
J07 1100  5    material from the sensor. This "ejection" momentum
J07 1110  2    is linearly related to the particle energy. They quote
J07 1120  1    about the same mass threshold as that of the U&S& apparatus,
J07 1120 12    but a momentum threshold about 40 times greater. There
J07 1130  9    is a difference in the experimental arrangement, in
J07 1140  6    that the U&S& microphones are attached directly to
J07 1150  4    the vehicle skin while the Russian instruments are
J07 1160  2    isolated from the skin. The threshold mass is derived
J07 1160 11    from the momentum threshold with the assumption of
J07 1170  7    a mean impact velocity of **f in the U&S& work and
J07 1171  6    **f in the U&S&S&R& work. The threshold mass of about
J07 1190  4    **f corresponds to a 10-~|m-diameter sphere of density
J07 1200  2    **f. However, the conversion from mass to size is unreliable,
J07 1210  1    since many photographic meteors give evidence of a
J07 1210  9    fluffy, loosely bound meteorite structure with densities
J07 1220  5    as low as **f. To what extent such low density applies
J07 1230  5    to micrometeorites is unknown. The velocity value used
J07 1240  3    is also open to some question; if a substantial fraction
J07 1250  1    of the dust is orbiting about the Earth, only about
J07 1250 11    one third the above-mentioned average velocity should
J07 1260  4    be used in deriving the mass. Zodiacal light and the
J07 1270  4    gegenschein give some evidence for such a dust blanket,
J07 1280  2    a phenomenon also to be expected if the dust before
J07 1280 12    capture is in circular orbits about the sun, as indicated
J07 1290 10    by the trend of the smaller visible meteors. The diurnal
J07 1300  6    variation in the observed flux may be partly due to
J07 1310  6    the dependence of the detector sensitivity on the incident
J07 1320  2    velocity.
J07 1320  3       The flux of micrometeorites in the neighborhood
J07 1330  1    of the Earth can be estimated by extrapolation from
J07 1330 10    radar and visual meteor data. A summary of meteorite
J07 1340  8    data, prepared by Whipple (1958) on the basis of photographic,
J07 1350  7    visual, and radar evidence, is given in Table 5-1.
J07 1360  7    From an estimated mass of 25 ~g for a zero-magnitude
J07 1370  3    meteorite, the other masses are derived with the assumption
J07 1380  1    of a mass decrease by a factor of 2.512 for each unit
J07 1380 13    increase in magnitude. The radius is calculated from
J07 1390  7    the mass by assuming spheres of density **f except
J07 1400  5    for the smallest particles, which must have a higher
J07 1410  2    mass density to remain in the solar system in the presence
J07 1410 13    of solar-radiation pressure. The flux values are for
J07 1420  9    all particles with masses greater than the given mass
J07 1430  7    and are based on an estimate of the numbers of visual
J07 1440  4    meteors. It is assumed that the flux values increase
J07 1450  1    by a factor of 2.512 per magnitude, in accordance with
J07 1450 11    the opinion that the total mass flux in each unit range
J07 1460 10    in magnitude is constant. The values agree with the
J07 1470  6    data from 1958 Alpha and 1959 Eta. The figures in the
J07 1480  3    next-to-last column are derived with the assumption
J07 1480 12    of 50 per cent shielding by the Earth; hence, these
J07 1490  9    figures apply immediately above the Earth's atmosphere.
J07 1500  5    The unshielded flux is given in the last column; these
J07 1510  6    figures constitute the best estimate for the flux in
J07 1520  3    interplanetary space near the Earth. Of course, if
J07 1520 11    there is a dust blanket around the Earth, the fluxes
J07 1530 10    in interplanetary space should be less than the figures
J07 1540  7    given here.
J07 1540  9       Note that the mass scale is one to two orders of
J07 1550  8    magnitude greater than some previously used; for example,
J07 1560  4    Jacchia (1948) derived a scale of 0.15 ~g for a **f,
J07 1570  3    zero-magnitude meteorite. The older scales were based
J07 1570 11    on theoretical estimates of the conversion efficiency
J07 1580  6    of kinetic energy into light. The mass scale used in
J07 1590  7    Table 5-1 was derived on the assumption that the motion
J07 1600  4    of the glowing trail is related to the momentum transfer
J07 1610  2    to the trail by the meteorite, permitting the calculation
J07 1610 11    of the mass if the velocity is known (Cook and Whipple,
J07 1620 11    1958).
J07 1630  1       A concentration distribution has been derived from
J07 1630  7    radar observations sensitive to the fifteenth magnitude
J07 1640  6    (Manning and Eshleman, 1959). Extrapolation of this
J07 1650  4    relationship through the thirtieth magnitude covers
J07 1660  1    the range of micrometeorites. The approximate equation
J07 1660  8    is **f, where ~n is the number of **f with electron
J07 1670  8    line-density greater than or equal to **f, and ~q is
J07 1680  8    proportional to the mass of the meteorite. Therefore,
J07 1690  2    ~n is inversely proportional to the radius cubed and
J07 1700  2    in fair agreement with the inverse 7/2 power derived
J07 1700 11    from 1958 Alpha and 1959 Eta data. At the fifteenth
J07 1710  8    magnitude, **f, and at the twenty-fifth magnitude,
J07 1720  2    **f. These extrapolated fluxes are about an order of
J07 1730  2    magnitude less than the values from the satellite data
J07 1730 11    and the figures in Whipple's table. The extrapolation
J07 1740  7    may be in error for several reasons. The observational
J07 1750  5    data determining the concentration distribution have
J07 1760  3    a range of error which is magnified in the extension
J07 1770  1    into the micrometeorite region. The solar-electromagnetic-
J07 1770  9    and corpuscular-radiation pressure and the associated
J07 1780  5    Poynting-Robertson effect increase in effectiveness
J07 1790  4    as the particle size decreases and modify the distribution
J07 1800  3    and limit sizes to larger than a few microns. Also,
J07 1810  1    it has been suggested that the source of all or part
J07 1810 12    of the dust may not be the same as that for visual
J07 1820  9    or radar meteorites (Best, 1960), and the same distribution
J07 1830  5    would not be expected.
J07 1830  9    #5.4. INDIRECT INDICATIONS OF MICROMETEORITE FLUX#
J07 1840  4    A measure of the total mass accretion of meteoritic
J07 1850  3    material by the Earth is obtained from analyses of
J07 1860  1    deep-sea sediments and dust collected in remote regions
J07 1860 10    (Pettersson, 1960). Most meteoritic material, by the
J07 1870  6    time it reaches the Earth's surface, has been reduced
J07 1880  5    to dust or to spherules of ablated material in its
J07 1890  3    passage through the atmosphere. For all meteorites,
J07 1890 10    the average nickel content is about 2.5 per cent. This
J07 1900  9    is much higher than the nickel content of terrestrial
J07 1910  5    dusts and sediments and provides a basis for the determination
J07 1920  4    of the meteoritic mass influx. Present data indicate
J07 1930  2    an accretion of about **f tons per year over the entire
J07 1930 13    globe, or about **f.
J08 0010  1    #BIOLOGICAL WARFARE#
J08 0010  3    Biological warfare is the intentional use of living
J08 0020  2    microorganisms or their toxic products for the purpose
J08 0020 10    of destroying or reducing the military effectiveness
J08 0030  6    of man. It is the exploitation of the inherent potential
J08 0040  5    of infectious disease agents by scientific research
J08 0050  2    and development, resulting in the production of ~BW
J08 0060  1    weapons systems. Man may also be injured secondarily
J08 0060  9    by damage to his food crops or domestic animals.
J08 0070  7       Biological warfare is considered to be primarily
J08 0080  4    a strategic weapon. The major reason for this is that
J08 0090  3    it has no quick-kill effect. The incubation period
J08 0090 12    of infectious disease, plus a variable period of illness
J08 0100  8    even before a lethal effect, render this weapon unsuitable
J08 0110  5    for hand-to-hand encounter. A man can be an effective
J08 0130  5    fighting machine throughout the incubation period of
J08 0140  2    most infectious diseases. Thus, an enemy would probably
J08 0140 10    use this weapon for attack on static population centers
J08 0150  7    such as large cities.
J08 0160  1       An important operational procedure in ~BW for an
J08 0160  9    enemy would be to create an areosol or cloud of agent
J08 0170 10    over the target area. This concept has stimulated much
J08 0180  5    basic research concerning the behavior of particulate
J08 0190  2    biological materials, the pathogenesis of respiratory
J08 0190  8    infections, the medical management of such diseases
J08 0200  7    and defense against their occurrence.
J08 0210  2       The biological and physical properties of infectious
J08 0220  1    particles have been studied intensively during the
J08 0220  8    past fifteen years. Much new equipment and many unique
J08 0230  8    techniques have been developed for the quantitative
J08 0240  4    exposure of experimental animals to aerosols of infectious
J08 0250  3    agents contained in particles of specified dimensional
J08 0260  1    characteristics. Much information has been gathered
J08 0260  7    relative to quantitative sampling and assesment techniques.
J08 0270  5    Much of the older experimental work on respiratory
J08 0280  4    infections was accomplished by very artificial procedures.
J08 0290  2    The intranasal instillation of a fluid suspension of
J08 0290 10    infectious agent in an anesthetized animal is far different
J08 0300  9    from exposure, through natural respiration, to aerosolized
J08 0310  6    organisms.
J08 0310  7       The importance of particle size in such aerosols
J08 0320  8    has been thoroughly demonstrated. The natural anatomical
J08 0330  4    and physiological defensive features of the upper respiratory
J08 0340  5    tract, such as the turbinates of the nose and the cilia
J08 0350  3    of the trachea and larger bronchi, are capable of impinging
J08 0360  1    out the larger particles to which we are ordinarily
J08 0360 10    exposed in our daily existence. Very small particles,
J08 0370  5    however, in a size range of 1 to 4 microns in diameter
J08 0380  5    are capable of passing these impinging barriers and
J08 0390  2    entering the alveolar bed of the lungs. This area is
J08 0390 12    highly susceptible to infection. The entrance and retention
J08 0400  7    of infectious particles in the alveoli amounts almost
J08 0410  6    to an intratissue inoculation. The relationship between
J08 0420  3    particle size and infectious dose is illustrated in
J08 0430  2    Table 1.
J08 0430  4       In considering ~BW defense, it must be recognized
J08 0440  1    that a number of critical meterological parameters
J08 0440  8    must be met for an aerosol to exhibit optimum effect.
J08 0450  7    For example, bright sunlight is rapidly destructive
J08 0460  4    for living microorganisms suspended in air. There are
J08 0470  2    optimal humidity requirements for various agents when
J08 0470  9    airborne. Neutral or inversion meteorological conditions
J08 0480  6    are necessary for a cloud to travel along the surface.
J08 0490  7    It will rise during lapse conditions. There are, of
J08 0500  4    course, certain times during the 24-hour daily cycle
J08 0510  1    when most of these conditions will be met.
J08 0510  9       Certain other properties of small particles, in
J08 0520  5    addition to those already mentioned in connection with
J08 0530  3    penetration of the respiratory tract, are noteworthy
J08 0540  1    in defense considerations. The smaller the particle
J08 0540  8    the further it will travel downwind before settling
J08 0550  5    out. An aerosol of such small particles. moreover,
J08 0560  2    diffuses through structures in much the same manner
J08 0560 10    as a gas. There may be a number of secondary effects
J08 0570 11    resulting from diffusion through buildings such as
J08 0580  5    widespread contamination of kitchens, restaurants,
J08 0590  2    food stores, hospitals, etc&. Depending on the organism,
J08 0600  1    there may be multiplication in some food or beverage
J08 0600 10    products, i&e&, in milk for example. The secondary
J08 0610  7    consequences from this could be very serious and must
J08 0620  6    be taken into consideration in planning for defense.
J08 0630  2       Something of the behavior of clouds of small particles
J08 0640  1    can be illustrated by the following field trials:
J08 0640  9       In the first trial an inert substance was disseminated
J08 0650  8    from a boat travelling some ten miles off shore under
J08 0660  7    appropriately selected meteorological conditions. Zinc
J08 0670  3    cadmium sulfide in particles of 2 microns in size were
J08 0680  1    disseminated. This material fluoresces under ultraviolet
J08 0680  7    light which facilitates its sampling and assessment.
J08 0690  6    Four hundred and fifty pounds was disseminated while
J08 0700  4    the ship was traveling a distance of 156 miles.
J08 0710  2       Figure 1 describes the results obtained in this
J08 0710 10    trial. The particles traveled a maximum detected distance
J08 0720  8    of some 450 miles. From these dosage isopleths it can
J08 0730  7    be seen that an area of over 34,000 square miles was
J08 0740  4    covered. These dosages could have been increased by
J08 0750  2    increasing the source strength which was small in this
J08 0750 11    case.
J08 0760  1       The behavior of a biological aerosol, on a much
J08 0760  9    smaller scale, is illustrated by a specific field trial
J08 0770  6    conducted with a non-pathogenic organism. An aqueous
J08 0780  3    suspension of the spores of B& subtilis, var& niger,
J08 0790  2    generally known as Bacillus globigii, was aerosolized
J08 0800  1    using commercially available nozzles. A satisfactory
J08 0800  7    cloud was produced even though these nozzles were only
J08 0810  7    about 5 per cent efficient in producing an initial
J08 0820  4    cloud in the size range of 1 to 5 microns. In this
J08 0830  1    test, 130 gallons of a suspension, having a count of
J08 0830 11    **f organisms per ~ml, or a total of approximately
J08 0840  8    **f spores, was aerosolized. The spraying operation
J08 0850  3    was conducted from the rear deck of a small Naval vessel,
J08 0860  2    cruising two miles off-shore and vertical to an on-sure
J08 0860 13    breeze. Spraying continued along a two-mile course.
J08 0870  8       This operation was started at 5:00 p&m& and lasted
J08 0880  8    for 29 minutes. There was a slight lapse condition,
J08 0890  5    a moderate fog, and 100 per cent relative humidity.
J08 0900  2    A network of sampling stations had been set up on shore.
J08 0900 13    These were located at the homes of Government employees,
J08 0910  9    in Government Offices, buildings and reservations within
J08 0920  6    the trial area. A rough attempt was made to characterize
J08 0930  6    the vertical profile of the cloud by taking samples
J08 0940  3    from outside the windows on the first, ninth, and fifteenth
J08 0950  1    floors of a Government office building.
J08 0950  7       All samplers were operated for a period of two hours
J08 0960  8    except one, which was operated for four hours. In this
J08 0970  6    instance, there was a dosage of 562 during the first
J08 0980  2    two hours and a total dosage of 1980 for the four-hour
J08 0980 14    period, a four-fold increase. This suggests that the
J08 0990  9    sampling period, particularly at the more distant locations,
J08 1000  6    should have been increased.
J08 1010  1       As can be seen from Figure 2, an extensive area
J08 1010 11    was covered by this aerosol. The maximum distance sampled
J08 1020  6    was 23 miles from the source. As can be seen from these
J08 1030  7    dosage isopleths, approximately 100 square miles was
J08 1040  3    covered within the area sampled. It is quite likely
J08 1040 12    that an even greater area was covered, particularly
J08 1050  8    downwind. The dosages in the three levels of the vertical
J08 1060  8    profile were: **f
J08 1060 11       This was not, of course, enough sampling to give
J08 1070  8    a satisfactory description of the vertical diffusion
J08 1080  5    of the aerosol.
J08 1080  8       A number of unique medical problems might be created
J08 1090  5    when man is exposed to an infectious agent through
J08 1100  3    the respiratory route rather than by the natural portal
J08 1105  1    of entry. Some agents have been shown to be much more
J08 1110 10    toxic or infectious to experimental animals when exposed
J08 1120  6    to aerosols of optimum particle size than by the natural
J08 1130  6    portal. Botulinal toxin, for example, is several thousand-fold
J08 1140  3    more toxic by this route than when given per os. In
J08 1150  2    some instances a different clinical disease picture
J08 1150  9    may result from this route of exposure, making diagnosis
J08 1160  7    difficult. In tularemia produced by aerosol exposure,
J08 1170  4    one would not expect to find the classical ulcer of
J08 1180  3    "rabbit fever" on a finger.
J08 1180  8       An enemy would obviously choose an agent that is
J08 1190  6    believed to be highly infectious. Agents that are known
J08 1200  4    to cause frequent infections among laboratory workers
J08 1210  1    such as those causing ~Q fever, tularemia, brucellosis,
J08 1210  9    glanders, coccidioidomycosis, etc&, belong in this
J08 1220  6    category.
J08 1220  7       An agent would likely be selected which would possess
J08 1230  7    sufficient viability and virulence stability to meet
J08 1240  4    realistic minimal logistic requirements. It is, obviously,
J08 1250  3    a proper goal of research to improve on this property.
J08 1260  1    In this connection it should be capable of being disseminated
J08 1260 11    without excessive destruction. Moreover, it should
J08 1270  6    not be so fastidious in its growth requirements as
J08 1280  5    to make production on a militarily significant scale
J08 1290  2    improbable.
J08 1290  3       An aggressor would use an agent against which there
J08 1300  3    was a minimal naturally acquired or artificially induced
J08 1310  1    immunity in a target population. A solid immunity is
J08 1310 10    the one effective circumstance whereby attack by a
J08 1320  6    specific agent can be neutralized. It must be remembered,
J08 1330  5    however, that there are many agents for which there
J08 1340  2    is no solid immunity and a partial or low-grade immunity
J08 1340 13    may be broken by an appropriate dose of agent.
J08 1350  8       There is a broad spectrum of organisms from which
J08 1360  5    selection for a specified military purpose might be
J08 1370  3    made. An enemy might choose an acutely debilitating
J08 1370 11    microorganism, a chronic disease producer or one causing
J08 1380  8    a high rate of lethality.
J08 1390  1       It is possible that certain mutational forms may
J08 1390  9    be produced such as antibiotic resistant strains. Mutants
J08 1400  7    may also be developed with changes in biochemical properties
J08 1410  6    that are of importance in identification. All of these
J08 1420  5    considerations are of critical importance in considering
J08 1430  3    defense and medical management.
J08 1430  7       Biological agents are, of course, highly host-specific.
J08 1440  7    They do not destroy physical structures as is true
J08 1450  5    of high explosives. This may be of overriding importance
J08 1460  2    in considering military objectives.
J08 1460  6       The question of epidemic disease merits some discussion.
J08 1470  7    Only a limited effort has been devoted to this problem.
J08 1480  6    Some of those who question the value of ~BW have assumed
J08 1490  5    that the only potential would be in the establishment
J08 1500  1    of epidemics. They then point out that with our present
J08 1500 11    lack of knowledge of all the factors concerned in the
J08 1510 10    rise and fall of epidemics, it is unlikely that a planned
J08 1520  9    episode could be initiated. They argue further (and
J08 1530  5    somewhat contradictorily) that our knowledge and resources
J08 1540  3    in preventive medicine would make it possible to control
J08 1550  1    such an outbreak of disease. this is why this approach
J08 1550 11    to ~BW defense has not been given major attention.
J08 1560  8       Our major problem is what an enemy might accomplish
J08 1570  7    in an initial attack on a target. This, of course,
J08 1580  3    does not eliminate from consideration for this purpose
J08 1590  1    agents that are associated naturally with epidemic
J08 1590  8    disease. A hypothetical example will illustrate this
J08 1600  5    point. Let us assume that it would be possible for
J08 1610  4    an enemy to create an aerosol of the causative agent
J08 1620  1    of epidemic typhus (Rickettsia prowazwki) over City
J08 1620  8    ~A and that a large number of cases of typhus fever
J08 1630 10    resulted therefrom. No epidemic was initiated nor was
J08 1640  5    one expected because the population in City ~A was
J08 1650  3    not lousy. Lousiness is a prerequisite for epidemic
J08 1650 11    typhus. In this case, then, the military objective
J08 1660  8    was accomplished with an epidemic agent solely through
J08 1670  6    the results secured in the initial attack. This was
J08 1680  4    done with full knowledge that there would be no epidemic.
J08 1690  1    On the other hand, a similar attack might have been
J08 1690 11    made on City ~B whose population was known to be lousy.
J08 1700  9    One might expect some spread of the disease in this
J08 1710  7    case resulting in increased effectiveness of the attack.
J08 1720  4       The major defensive problems are concerned with
J08 1730  2    the possibility of overt military delivery of biological
J08 1730 10    agents from appropriate disseminating devices. It should
J08 1740  6    be no more difficult to deliver such devices than other
J08 1750  7    weapons. The same delivery vehicles- whether they be
J08 1760  6    airplanes, submarines or guided missiles- should be
J08 1770  2    usable. If it is possible for an enemy to put an atomic
J08 1770 14    bomb on a city, it should be equally possible to put
J08 1780 10    a cloud of biological agent over that city.
J08 1790  4       Biological agents are, moreover, suitable for delivery
J08 1800  3    through enemy sabotage which imposes many problems
J08 1800 10    in defense. A few obvious target areas of great importance
J08 1810  9    might be mentioned. The air conditioning and ventilating
J08 1820  6    systems of large buildings are subject to attack. America
J08 1830  5    is rapidly becoming a nation that uses processed, precooked
J08 1840  3    and even predigested foods. This is an enormous industry
J08 1850  2    that is subject to sabotage. One must include the preparation
J08 1860  1    of soft drinks and the processing of milk and milk
J08 1860 11    products. Huge industries are involved also in the
J08 1870  7    production of biological products, drugs and cosmetics
J08 1880  4    which are liable to this type of attack.
J09 0010  1       A variety of techniques have been directed toward
J09 0010  9    the isolation and study of blood group antibodies.
J09 0020  7    These include low-temperature ethanol (Cohn) fractionation,
J09 0030  4    electrophoresis, ultracentrifugation and column chromatography
J09 0040  3    on ion exchange celluloses. Modifications of the last
J09 0050  3    technique have been applied by several groups of investigators.
J09 0060  1    Abelson and Rawson, using a stepwise elution scheme,
J09 0060  9    fractionated whole sera containing ~ABO and ~Rh antibodies
J09 0070  8    on diethylaminoethyl ~DEAE cellulose and carboxymethyl
J09 0080  5    cellulose. Speer and coworkers, in a similar study
J09 0090  7    of blood group antibodies of whole sera, used a series
J09 0100  5    of gradients for elution from ~DEAE-cellulose. Fahey
J09 0110  2    and Morrison used a single, continuous gradient at
J09 0110 10    constant ~pH for the fractionation of anti-~A and anti-~B
J09 0120 11    agglutinins from preisolated ~|g-globulin samples.
J09 0130  6       In the present work whole sera have been fractionated
J09 0140  8    by chromatography on ~DEAE-cellulose using single gradients
J09 0150  4    similar to those described by Sober and Peterson, and
J09 0160  6    certain chemical and serological properties of the
J09 0170  3    fractions containing antibodies of the ~ABO and ~Rh
J09 0180  1    systems have been described.
J09 0180  5    #MATERIALS AND METHODS#
J09 0190  1    _SAMPLES._
J09 0190  1       Serum samples were obtained from normal group ~A,
J09 0190  9    group ~B and group ~O donors. Three of the anti-~Rh
J09 0200 10    sera used were taken from recently sensitized individuals.
J09 0210  5    One contained complete antibody and had a titer of
J09 0220  6    1:512 in saline. The second contained incomplete antibody
J09 0230  2    and showed titers of 1:256 in albumin and 1:2048 by
J09 0240  1    the indirect Coombs test. The third, containing the
J09 0240  9    mixed type of complete and incomplete antibodies, had
J09 0250  5    titers of 1:256 in saline, 1:512 in albumin and 1:1024
J09 0260  5    by the indirect Coombs test. In addition one serum
J09 0270  3    was obtained from a donor (R& E&) who had been sensitized
J09 0280  1    6 years previously. This serum exhibited titers of
J09 0280  9    1:16 in albumin and 1:256 by the indirect Coombs test.
J09 0290  8    These antibody titers were determined by reaction with
J09 0300  6    homozygous **f red cells.
J09 0310  1    _SEROLOGICAL TECHNIQUE._
J09 0310  2       Anti-~A and anti-~B activities were determined in
J09 0320  2    fractions from the sera of group ~A, group ~B or group
J09 0320 13    ~O donors by the following tube agglutination methods.
J09 0330  8    One drop of each sample was added to one drop of a
J09 0340  9    2% suspension of group **f or group ~B red cells in
J09 0350  6    a small **f test tube. In several instances group ~O
J09 0360  3    cells were also used as controls. The red cells were
J09 0360 13    used within 2 days after donation and were washed with
J09 0370 10    large amounts of saline before use. The mixtures of
J09 0380  6    sample plus cell suspension were allowed to stand at
J09 0390  4    room temperature for 1 ~hr. the tubes were then centrifuged
J09 0400  2    at 1000 ~rpm for 1 ~min and examined macroscopically
J09 0400 11    for agglutination. For the albumin method, equal volumes
J09 0410  8    of 30% bovine albumin, sample and 2% cells suspended
J09 0420  7    in saline were allowed to stand at room temperature
J09 0430  5    for 1 ~hr and then were centrifuged at 1000 ~rpm for
J09 0440  3    1 ~min. All samples were tested by both the saline
J09 0440 13    and albumin methods. The activities of fractions of
J09 0450  8    sera containing ~Rh antibodies were tested by the saline,
J09 0460  7    albumin and indirect Coombs techniques. Homozygous
J09 0470  3    and heterozygous **f cells, **f and homozygous and
J09 0480  2    heterozygous **f cells were used to test each sample;
J09 0480 11    however, in the interest of clarity and conciseness
J09 0490  6    only the results obtained with homozygous **f and homozygous
J09 0500  5    **f cells will be presented here.
J09 0510  1       The saline and albumin tests were performed as described
J09 0510  9    for the ~ABO samples except that the mixture was incubated
J09 0520  8    for 1 ~hr at 37`~C before centrifugation. The saline
J09 0530  5    tubes were saved and used for the indirect Coombs test
J09 0540  5    in the following manner. The cells were washed three
J09 0550  2    times with saline, anti-human serum was added, the
J09 0550 11    cells were resuspended, and the mixture was centrifuged
J09 0560  7    at 1000 ~rpm for 1 ~min and examined for agglutination.
J09 0570  5    The anti-human sera used were prepared by injecting
J09 0580  3    whole human serum into rabbits. Those antisera shown
J09 0590  1    by immunoelectrophoresis to be of the "broad spectrum"
J09 0590  9    type were selected for used in the present study.
J09 0600  8       The red cells for the ~Rh antibody tests were used
J09 0610  6    within 3 days after drawing except for the **f cells,
J09 0620  5    which had been glycerolized and stored at -20`~C for
J09 0630  2    approximately 1 year. These cells were thawed at 37`~C
J09 0630 11    for 30 ~min and were deglycerolized by alternately
J09 0640  7    centrifuging and mixing with descending concentrations
J09 0650  4    of glycerol solutions (20, 18, 10, 8, 4 and 2%). The
J09 0660  4    cells were then washed three times with saline and
J09 0660 13    resuspended to 2% in saline.
J09 0670  5    _CHROMATOGRAPHY._
J09 0670  6       Blood samples were allowed to clot at room temperature
J09 0680  7    for 3 ~hr, centrifuged and the serum was removed. The
J09 0690  4    serum was measured volumetrically and subsequently
J09 0700  1    dialyzed in the cold for at least 24 ~hr against three
J09 0700 12    to four changes, approximately 750 ~ml each, of "starting
J09 0710  7    buffer". This buffer, ~pH 8.6, was 0.005 ~M in **f
J09 0720  9    and 0.039 ~M in tris(hydroxymethyl)-aminomethane (Tris).
J09 0730  2    After dialysis the sample was centrifuged and the supernatant
J09 0740  4    placed on a **f ~cm column of ~EEAE-cellulose equilibrated
J09 0750  2    with starting buffer. The ~DEAE-cellulose, containing
J09 0760  2    0.78 ~mEq of ~N/g, was prepared in our laboratory by
J09 0770  2    the method of Peterson and Sober (7) from powdered
J09 0770 11    cellulose, 100-230 mesh. The small amount of insoluble
J09 0780  7    material which precipitated during dialysis was suspended
J09 0790  5    in approximately 5 ~ml of starting buffer, centrifuged,
J09 0800  2    resuspended in 2.5 ~ml of isotonic saline and tested
J09 0810  1    for antibody activity.
J09 0810  4       The chromatography was done at 6`~C using gradient
J09 0820  3    elution, essentially according to Sober and Peterson.
J09 0830  1    The deep concave gradient employed (fig& 2) was obtained
J09 0830 10    with a nine-chambered gradient elution device ("Varigrad",
J09 0840  8    reference (8)) and has been described elsewhere. the
J09 0850  8    other, a shallow concave gradient (Fig& 1), was produced
J09 0860  6    with a so-called "cone-sphere" apparatus, the "cone"
J09 0870  4    being a 2-liter Erlenmeyer flask and the "sphere,"
J09 0880  4    a 2-liter round-bottom flask. Each initially contained
J09 0890  1    1700 ~ml of buffer; in the sphere was starting buffer
J09 0890 11    and in the cone was final buffer, 0.50 ~M in both **f
J09 0900 12    and Tris, ~pH 4.1.
J09 0910  1       A flow rate of 72 **f was used and 12 ~ml fractions
J09 0910 13    were collected. Approximately 165 fractions were obtained
J09 0920  6    from each column. These were read at 280 ~m|m in a
J09 0930  9    Beckman model ~DU spectrophotometer and tested for
J09 0940  4    antibody activity as described above.
J09 0950  1    _PAPER ELECTROPHORESIS._
J09 0950  2       For protein identification, fractions from the column
J09 0960  2    were concentrated by pervaporation against a stream
J09 0960  9    of air at 5`~C or by negative pressure dialysis in
J09 0970  7    an apparatus which permitted simultaneous concentration
J09 0980  3    of the protein and dialysis against isotonic saline.
J09 0990  2    During the latter procedure the temperature was maintained
J09 1000  1    at 2`~C by surrounding the apparatus with ice. Because
J09 1000 10    negative pressure dialysis gave better recovery of
J09 1010  6    proteins, permitted detection of proteins concentrated
J09 1020  4    from very dilute solutions and was a gentler procedure,
J09 1030  2    it was used in all but the earliest experiments.
J09 1030 11       Paper electrophoresis was carried out on the concentrated
J09 1040  8    samples in a Spinco model ~R cell using barbital buffer,
J09 1050  7    ~pH 8.6, ionic strength 0.075, at room temperature
J09 1060  5    on Whatman ~3MM filter paper. Five milliamperes/cell
J09 1070  2    were applied for 18 ~hr, after which the strips were
J09 1080  2    stained with bromphenol blue and densitometry was carried
J09 1080 10    out using a Spinco Analytrol.
J09 1090  4       When paper electrophoresis was to be used for preparation,
J09 1100  4    eight strips of a whole serum sample or a chromatographic
J09 1110  1    fraction concentrated by negative pressure dialysis
J09 1110  7    were run/chamber under the conditions described above.
J09 1120  6    At the end of the run, the strips in the third and
J09 1130  7    sixth positions in each chamber were dried, stained
J09 1140  2    for 1 ~hr, washed and dried, while the other strips
J09 1140 12    were maintained in a horizontal position at 1`~C. The
J09 1150  9    unstained strips were then marked, using the stained
J09 1160  6    ones as a guide, and cut transversely so as to separate
J09 1170  5    the various protein bands. The strip sections containing
J09 1180  1    a given protein were pooled, eluted with 0.5 ~ml of
J09 1180 11    isotonic saline, and the eluates were tested for antibody
J09 1190  9    activity.
J09 1200  1    _ULTRACENTRIFUGATION._
J09 1200  1       Fractions from the column which were to be subjected
J09 1210  1    to analytical ultracentrifugation were concentrated
J09 1210  6    by negative pressure dialysis and dialyzed for 16 ~hr
J09 1220  7    in the cold against at least 500 volumes of phosphate-buffered
J09 1230  5    saline, ~pH 7.2, ionic strength 0.154. They were then
J09 1240  4    centrifuged at 59,780 ~rpm for 35 to 80 ~min at 20`~C
J09 1250  3    in a Spinco model ~E ultracentrifuge at a protein concentration
J09 1260  1    of 1.00 to 1.25%. Sedimentation coefficients were computed
J09 1270  1    as **f values and relative amounts of the various components
J09 1270 11    were calculated from the Schlieren patterns.
J09 1280  5       For preparative ultracentrifugation, fractions from
J09 1290  3    the column were concentrated by negative pressure dialysis
J09 1300  2    to volumes of 1 ~ml or less, transferred to cellulose
J09 1310  1    tubes and diluted to 12 ~ml with isotonic saline.
J09 1310 10    Ultracentrifugation
J09 1320  1    was then carried out in a Spinco model ~L ultracentrifuge
J09 1320 11    at 40,000 ~rpm for 125 to 150 ~min, refrigeration being
J09 1330 10    used throughout the run. Successive 1-~ml fractions
J09 1340  7    were then drawn off with a hypodermic syringe, starting
J09 1350  4    at the top of the tube, and tested for agglutinin activity.
J09 1360  2       Other methods will be described below.
J09 1370  1    #EXPERIMENTAL AND RESULTS#
J09 1370  4    The insoluble material which precipitated during dialysis
J09 1380  3    against starting buffer always showed intense agglutinin
J09 1390  1    activity, regardless of the blood group of the donor.
J09 1390 10    With either of the gradients described, chromatography
J09 1400  6    on ~DEAE-cellulose separated agglutinins of the ~ABO
J09 1410  6    series into at least three regions (Figs& 1 and 2):
J09 1420  5    one of extremely low anionic binding capacity, one
J09 1430  2    of low anionic binding capacity and one of high anionic
J09 1430 12    binding capacity. These have been labeled Regions 1,
J09 1440  8    2, and 4, respectively, in Fig& 1. When the early part
J09 1450  8    of the gradient was flattened, either by using the
J09 1460  5    gradient shown in Fig& 2 or by allowing the "cone-sphere"
J09 1470  1    gradient to become established more slowly, Region
J09 1470  8    2 activity could sometimes be separated into two areas
J09 1480  8    (donors P& J& and R& S&, Fig& 1 and E& M&, Fig& 2).
J09 1490 11    The latter procedure gave rise to a small active protein
J09 1500  9    peak (Region 1a) between Regions 1 and 2. In 2 of 15
J09 1510  9    experiments on whole serum a region of agglutinin activity
J09 1520  3    with intermediate anionic binding capacity was detected
J09 1530  1    (Region 3, Fig& 1). Moreover, after concentration using
J09 1530  9    negative pressure dialysis, agglutinin activity could
J09 1540  6    sometimes be detected in the region designated 2a (donors
J09 1550  7    P& J&, D& A&, and J& F&, Fig& 1).
J09 1560  5       Not all these regions exhibited equal agglutinating
J09 1570  2    activity, as evidenced by titer and the extent of the
J09 1580  1    active areas. In all cases, most of the activity lay
J09 1580 11    in the region of high anionic binding capacity. This
J09 1590  6    was particularly noticeable in group ~A and group ~B
J09 1600  5    sera, in which cases activity in Regions 1 and 2 was
J09 1610  4    usually not detectable without prior concentration
J09 1610 10    and occasionally could not be detected at all. There
J09 1620  8    appeared to be no difference in the distribution of
J09 1630  5    anti-~A and anti-~B activity in group ~O serum, though
J09 1640  4    in two group ~O donors (J& F& and E& M&) only one type
J09 1650  5    of agglutinin was found in the regions of low anionic
J09 1660  1    binding capacity (Figs& 1 and 2).
J09 1660  7       Several samples of citrated plasma were fractionated
J09 1670  5    in our laboratory by Method 6 of Cohn et al&. These
J09 1680  4    fractions were tested for ~ABO agglutinin activity,
J09 1690  2    using fractions from group ~AB plasma as a control.
J09 1700  1    As expected, most of the activity was found in Fraction
J09 1700 11    **f, with slight activity seen in Fraction /4,-1. A
J09 1710  9    sample of Fraction **f from group ~O plasma was dissolved
J09 1720  7    in starting buffer, dialyzed against this buffer and
J09 1730  4    subjected to chromatography using the gradient shown
J09 1740  1    in Fig& 2. Once again, both anti-~A and anti-~B activities
J09 1750  1    were found in the insoluble material precipitated during
J09 1750  9    dialysis. Similarly, both types of antibodies were
J09 1760  7    found in three regions of the chromatographic eluate,
J09 1770  3    having extremely low, low, and high anionic binding
J09 1780  2    capacity, respectively (Fig& 3).
J09 1780  6       Chromatography of whole sera revealed that the areas
J09 1790  7    of ~Rh antibody activity were generally continuous
J09 1800  2    and wide. The incomplete antibody activity appeared
J09 1810  1    in the early part of the chromatogram; the complete,
J09 1810 10    in the latter part. The serum containing the mixed
J09 1820  7    type of complete and incomplete antibodies showed activity
J09 1830  4    in both regions (Fig& 1). In all cases the activity
J09 1840  3    against **f cells was spread over a wider area than
J09 1840 13    that with **f cells, regardless of the type of test
J09 1850 10    (saline, albumin, indirect Coombs) used for comparison.
J09 1860  5    The insoluble material resulting from dialysis against
J09 1870  4    starting buffer always showed strong activity. In fact
J09 1880  2    agglutination of **f cells in saline could be produced
J09 1880 11    by the insoluble material from sera containing "only"
J09 1890  7    incomplete antibody activity. This was later known
J09 1900  6    to be the result of concentrating the minute amount
J09 1910  3    of complete antibody found in these sera; when the
J09 1910 12    insoluble fraction was suspended in a volume of saline
J09 1920  9    equal to that of the original serum sample, no complete
J09 1930  7    antibody activity could be detected.
J10 0010  1       Apart from the honeybee, practically all bees and
J10 0010  9    bumblebees hibernate in a state of torpor. Occasionally,
J10 0020  8    you may come across one or two bumblebees in the cold
J10 0030  7    season, when you are turning over sods in your garden,
J10 0040  4    but you have to be a really keen observer to see them
J10 0050  1    at all. They keep their wings and feet pressed tightly
J10 0050 11    against their bodies, and in spite of their often colorful
J10 0060  9    attire you may very well mistake them for lumps of
J10 0070  6    dirt. I must add at once that these animals are what
J10 0080  3    we call "queens", young females that have mated in
J10 0080 12    the previous summer or autumn. It is on them alone
J10 0090  9    that the future of their race depends, for all their
J10 0100  6    relatives (mothers, husbands, brothers, and unmated
J10 0110  3    sisters) have perished with the arrival of the cold
J10 0110 12    weather. Even some of the queens will die before the
J10 0120 10    winter is over, falling prey to enemies or disease.
J10 0130  6    The survivors emerge on some nice, sunny day in March
J10 0140  4    or April, when the temperature is close to 50` ~F and
J10 0150  2    there is not too much wind. Now the thing for us to
J10 0150 14    do is to find ourselves a couple of those wonderful
J10 0160  7    flowering currants such as the red Ribes sanguineum
J10 0170  4    of our Pacific Northwest, or otherwise a good sloe
J10 0180  3    tree, or perhaps some nice pussy willow in bloom, preferably
J10 0190  1    one with male or staminate catkins. The blooms of Ribes
J10 0190 11    and of the willow and sloe are the places where large
J10 0200 10    numbers of our early insects will assemble: honeybees,
J10 0210  4    bumblebees, and other wild bees, and also various kinds
J10 0220  4    of flies. It is a happy, buzzing crowd.
J10 0230  1       Each male willow catkin is composed of a large number
J10 0230 10    of small flowers. It is not difficult to see that the
J10 0240  9    stamens of the catkin are always arranged in pairs,
J10 0250  4    and that each individual flower is nothing but one
J10 0260  1    such pair standing on a green, black-tipped little
J10 0260 10    scale. By scrutinizing the flowers, one can also notice
J10 0270  7    that the scale bears one or two tiny warts. Those are
J10 0280  5    the nectaries or honey glands (Fig& 26, page 74). The
J10 0290  3    staminate willow catkins, then, provide their visitors
J10 0290 10    with both nectar and pollen; a marvelous arrangement,
J10 0300  8    for it provides exactly what the bee queens need to
J10 0310  8    make their beebread, a combination of honey and pollen
J10 0320  5    with which the young of all species are fed. The only
J10 0330  2    exception to this is certain bees that have become
J10 0330 11    parasites. I will deal with these later on.
J10 0340  7       Quite often, honeybees form a majority on the willow
J10 0350  5    catkins. As we have already seen in the first chapter,
J10 0360  2    bumblebees are bigger, hairier, and much more colorful
J10 0360 10    than honeybees, exhibiting various combinations of
J10 0370  5    black, yellow, white and orange. Let us not try to
J10 0380  7    key them out at this stage of the game, and let us
J10 0390  3    just call them Bombus; there must be several dozen
J10 0390 12    species in the United States alone. If you really insist
J10 0410  8    on knowing their names, an excellent book on the North
J10 0420  7    American species is Bumblebees and Their Ways by O&
J10 0430  5    E& Plath.
J10 0430  7       If we manage to keep track of a Bombus queen after
J10 0440  6    she has left her feeding place, we may discover the
J10 0450  3    snug little hideout which she has fixed up for herself
J10 0460  1    when she woke up from her winter sleep. As befits a
J10 0460 12    queen, a bumblebee female is rather choosy and may
J10 0470  7    spend considerable time searching for a suitable nesting
J10 0480  4    place. Most species seem to prefer a ready-made hollow
J10 0490  2    such as a deserted mouse nest, a bird house, or the
J10 0490 13    hole made by a woodpecker; some show a definite liking
J10 0500  9    for making their nest in moss. Once she has made up
J10 0510  7    her mind, the queen starts out by constructing, in
J10 0520  2    her chosen abode, a small "floor" of dried grass or
J10 0520 12    some woolly material. On this, she builds an "egg compartment"
J10 0530 10    or "egg cell" which is filled with that famous pollen-and-nectar
J10 0550 11    mixture called beebread. She also builds one or two
J10 0560  9    waxen cups which she fills with honey. Then, a group
J10 0570  6    of eggs is deposited in a cavity in the beebread loaf
J10 0580  3    and the egg compartment is closed. The queen afterward
J10 0590  1    keeps incubating and guarding her eggs like a mother
J10 0590 10    hen, taking a sip from time to time from the rather
J10 0600  8    liquid honey in her honey pots. When the larvae hatch,
J10 0610  4    they feed on the beebread, although they also receive
J10 0620  1    extra honey meals from their mother. She continues
J10 0620  9    to add to the pollen supply as needed.
J10 0630  5       The larvae, kept warm by the queen, are full grown
J10 0640  4    in about ten days. Each now makes a tough, papery cocoon
J10 0650  1    and pupates. After another two weeks, the first young
J10 0650 10    emerge, four to eight small daughters that begin to
J10 0660  8    play the role of worker bees, collecting pollen and
J10 0670  4    nectar in the field and caring for the new young generation
J10 0680  2    while the queen retires to a life of egg laying. The
J10 0680 13    first worker bees do not mate or lay eggs; males and
J10 0690 11    mating females do not emerge until later in the season.
J10 0700  7    The broods of workers that appear later tend to be
J10 0710  5    bigger than the first ones, probably because they are
J10 0720  1    better fed. By the middle of the summer, many of the
J10 0720 12    larvae apparently receive such a good diet that it
J10 0730  8    is "optimal", and it is then that young queens begin
J10 0740  5    to appear. Simultaneously, males or drones are produced,
J10 0750  2    mostly from the unfertilized eggs of workers, although
J10 0750 10    a few may be produced by the queen. The young queens
J10 0760 11    and drones leave the nest and mate, and after a short
J10 0770  8    period of freedom, the fertilized young queens will
J10 0790  3    begin to dig in for the winter. It is an amazing fact
J10 0790 15    that in some species this will happen while the summer
J10 0800 10    is still in full swing, for instance, in August. The
J10 0810  7    temperature then is still very high. At the old nest,
J10 0820  6    the queen will in the early fall cease to lay the fertilized
J10 0830  3    eggs that will produce females. As a result, the proportion
J10 0840  1    of males (which leave the nest) increases, and eventually
J10 0840 10    the old colony will die out completely. The nest itself,
J10 0850  9    the structure that in some cases housed about 2,000
J10 0860  7    individuals when the season was at its peak, is now
J10 0870  4    rapidly destroyed by the scavenging larvae of certain
J10 0880  1    beetles and moths.
J10 0880  4       Not always, though, does the development of a bumblebee
J10 0890  3    colony take place in the smooth fashion we have just
J10 0890 13    described. Some members of the bee family have become
J10 0900  9    idlers, social parasites that live at the expense of
J10 0910  7    their hardworking relatives. Bumblebees can thus suffer
J10 0920  4    severely from the onslaughts of Psithyrus, the "cuckoo-bumblebee"
J10 0930  3    as it is called in some European countries. Female
J10 0940  2    individuals of Psithyrus look deceptively like the
J10 0940  9    workers and queens of the bumblebees they victimize.
J10 0950  8    The one sure way to tell victim and villain apart is
J10 0960  6    to examine the hind legs which in the case of the idler,
J10 0970  5    Psithyrus, lack the pollen baskets- naturally! The
J10 0990  2    female parasite spends much time in her efforts to
J10 0990 11    find a nest of her host. When she succeeds, she usually
J10 1000  9    manages to slip in unobtrusively, to deposit an egg
J10 1010  5    on a completed loaf of beebread before the bumblebees
J10 1020  2    seal the egg compartment. The hosts never seem to recognize
J10 1030  1    that something is amiss, so that the compartment afterward
J10 1030 10    is sealed normally. Thus, the larvae of the intruder
J10 1040  8    can develop at the expense of the rightful inhabitants
J10 1050  5    and the store of beebread. Later on, they and the mother
J10 1060  4    Psithyrus are fed by the Bombus workers. Worse still,
J10 1070  3    in a number of cases it has been claimed that the Psithyrus
J10 1080  1    female kills off the Bombus queen.
J10 1080  7       But let us return, after this gruesome interlude,
J10 1090  5    to our willow catkins in the spring; there are other
J10 1100  4    wild bees that command our attention.
J10 1100 10       It is almost certain that some of these, usually
J10 1110  9    a trifle smaller than the honeybees, are andrenas or
J10 1120  5    mining bees. There are about 200 different kinds of
J10 1130  3    Andrena in Europe alone. One of my favorites is A&
J10 1140  1    armata, a species very common in England, where it
J10 1140 10    is sometimes referred to as the lawn bee. The females
J10 1150  9    like to burrow in the short turf of well-kept lawns,
J10 1160  6    where their little mounds of earth often appear by
J10 1170  2    the hundreds. Almost equal in size to a honeybee. A&
J10 1170 12    armata is much more beautiful in color, at least in
J10 1180 10    the female of the species: a rich, velvety, rusty red.
J10 1190  6    The males are much duller.
J10 1200  1       After having mated, an Andrena female digs a hole
J10 1200 10    straight down into the ground, forming a burrow about
J10 1210  8    the size of a lead pencil. The bottom part of a burrow
J10 1220  7    has a number of side tunnels or "cells", each of which
J10 1230  4    is provided with an egg plus a store of beebread. The
J10 1240  1    development of the Andrena larvae is very rapid, so
J10 1240 10    that by the end of spring they have already pupated
J10 1250  8    and become adults. But they are still enclosed in their
J10 1260  6    larval cells and remain there throughout the summer,
J10 1270  3    fall, and winter. Their appearance, next spring, coincides
J10 1280  1    in an almost uncanny way with the flowering of their
J10 1280 11    host plants. In the Sacramento valley in California,
J10 1290  7    for instance, it has been observed that there was not
J10 1300  5    one day's difference between the emergence of the andrenas
J10 1310  4    and the opening of the willow catkins. This must be
J10 1320  1    due to a completely identical response to the weather,
J10 1320 10    in the plant and the animal.
J10 1330  3       After the male and female andrenas have mated, the
J10 1340  2    cycle is repeated. Although Andrena is gregarious,
J10 1340  9    so that we may find hundreds and hundreds of burrows
J10 1350  8    together, we must still call it a solitary bee. Its
J10 1360  6    life history is much simpler than that of the truly
J10 1370  2    colonial bumblebees and can serve as an example of
J10 1370 11    the life cycle of many other species. After all, social
J10 1380  9    life in the group of the bees is by no means general,
J10 1390  8    although it certainly is a striking feature. On the
J10 1400  4    basis of its life history, we like to think that Andrena
J10 1410  1    is more primitive than the bumblebees. The way in which
J10 1410 11    it transports its pollen is not so perfect, either.
J10 1420  8    It lacks pollen baskets and possesses only a large
J10 1430  6    number of long, branched hairs on its legs, on which
J10 1440  3    the pollen grains will collect. Still Andrena will
J10 1450  1    do a reasonably good job, so that an animal with a
J10 1450 12    full pollen load looks like a gay little piece of yellow
J10 1460  8    down floating in the wind.
J10 1470  1       Closely related to the andrenas are the nomias or
J10 1470 10    alkali bees. Nomia melanderi can be found in tremendous
J10 1480  7    numbers in certain parts of the United States west
J10 1490  5    of the Great Plains, for example, in Utah and central
J10 1500  3    Washington. In the United States Department of Agriculture's
J10 1510  1    Yearbook of Agriculture, 1952, which is devoted entirely
J10 1520  1    to insects, George E& Bohart mentions a site in Utah
J10 1520 11    which was estimated to contain 200,000 nesting females.
J10 1530  8    Often the burrows are only an inch or two apart, and
J10 1540  9    the bee cities cover several acres. The life history
J10 1550  4    of the alkali bee is similar to that of Andrena, but
J10 1560  2    the first activity of the adults does not take place
J10 1560 12    until summer, and the individuals hibernate in the
J10 1570  7    prepupal stage. In most places, there are two generations
J10 1580  5    a year, a second brood of adults appearing late in
J10 1590  3    the summer.
J10 1590  5       I must plead guilty to a special sympathy for nomias.
J10 1600  3    This may just be pride in my adopted State of Washington,
J10 1610  1    but certainly I love to visit their mound cities near
J10 1610 11    Yakima and Prosser in July or August, when the bees
J10 1620  9    are in their most active period. The name "alkali bee"
J10 1630  6    indicates that one has to look for them in rather inhospitable
J10 1640  5    places. Sometimes, although by no means always, these
J10 1650  3    are indeed alkaline. The thing is that these bees love
J10 1670  1    a fine-grained soil that is moist; yet the water in
J10 1670 12    the ground should not be stagnant either. They dislike
J10 1680  7    dense vegetation. Where does one find such conditions?
J10 1690  5    The best chance, of course, is offered by gently sloping
J10 1700  3    terrain where the water remains close to the surface
J10 1700 12    and where the air is dry, so that a high evaporation
J10 1710 11    leaves salty deposits which permit only sparse plant
J10 1720  6    growth.
J11 0010  1    Many other (probably nearly all) snakes at maturity
J11 0010  9    are already more than half their final length. Laurence
J11 0020  7    M& Klauber put length at maturity at two thirds the
J11 0030  5    ultimate length for some rattlesnakes, and Charles
J11 0040  1    C& Carpenter's data on Michigan garter and ribbon snakes
J11 0050  1    (Thamnophis) show that the smallest gravid females
J11 0050  8    are more than half as long as the biggest adults. Felix
J11 0060  9    Kopstein states that "when the snake reaches its maturity
J11 0070  6    it has already reached about its maximal length", but
J11 0080  3    goes on to cite the reticulate python as an exception,
J11 0090  1    with maximum length approximately three times that
J11 0090  8    at maturity. It is hard to understand how he concluded
J11 0100  9    that most snakes do not grow appreciably after attaining
J11 0110  4    maturity; he was working with species of Java, so perhaps
J11 0120  5    some tropical snakes are unusual in this respect. Certain
J11 0130  2    individual giants recorded later did fail to show a
J11 0130 11    reasonable difference after maturity, but it is impossible
J11 0140  8    to know whether this is due to captive conditions.
J11 0150  6    Additional records of slow growth have been omitted.
J11 0160  3       It is possible to make a few generalizations about
J11 0170  1    the six giants themselves. There seems to be a rough
J11 0170 11    correlation between the initial and ultimate lengths,
J11 0180  7    starting with the smallest (boa constrictor) and ending
J11 0190  5    with the largest (anaconda). Data on the former are
J11 0200  3    scanty, but there can be little doubt that the latter
J11 0200 13    is sometimes born at a length greater than that of
J11 0210  9    any of the others, thereby lending support to the belief
J11 0220  6    that the anaconda does, indeed, attain the greatest
J11 0230  3    length. For four of the six (the anaconda and the amethystine
J11 0240  1    python cannot be included for lack of data) there is
J11 0240 11    also a correlation between size at maturity and maximum
J11 0250  7    length, the boa constrictor being the smallest and
J11 0260  5    the Indian python the next in size at the former stage.
J11 0270  3       Let us speculate a little on the maximum size of
J11 0280  2    the anaconda. If, in a certain part of the range, it
J11 0280 13    starts life 1 foot longer than do any of the other
J11 0290  9    (relatively large) giants, and reaches maturity at,
J11 0300  3    let us guess, 18 inches longer than the others, a quadrupling
J11 0310  2    of the maturity length would result in a maximum of
J11 0310 12    (nearly) 40 feet.
J11 0320  3       When it comes to rate of early growth, the Indian
J11 0330  1    python leads with a figure of about 3 feet 6 inches
J11 0330 12    per year for the first two years, more or less. The
J11 0340  8    African rock python, a close second, is followed in
J11 0350  4    turn by the reticulate python. There are few data on
J11 0360  2    the boa constrictor, those for the anaconda are unconvincing,
J11 0360 11    and there is nothing at all on the amethystine python.
J11 0370 10    It seems likely that the Indian python comes out ahead
J11 0380  7    because records of its growth have been made more carefully
J11 0390  5    and frequently; it responds exceptionally well to captivity
J11 0400  4    and does not reach proportions that make it hard to
J11 0410  1    keep.
J11 0410  2       I cannot make sense out of the figures for post
J11 0410 12    maturity growth; at best the annual increase appears
J11 0420  8    to be a matter of inches rather than feet. Until better
J11 0430  6    records have been kept over longer periods of time
J11 0440  4    and much more is known about the maximum dimensions,
J11 0450  1    it will be wise to refrain from drawing conclusions.
J11 0450 10       It is often stated that the largest snakes require
J11 0460  6    five years to attain maturity, but this apparently
J11 0470  3    is an overestimation. The best way to determine the
J11 0480  1    correct figure (in captives) is by direct observation
J11 0480  9    of pairs isolated from birth, a method that produced
J11 0490  7    surprising results: maturing of a male Indian python
J11 0500  5    in less than two years, his mate in less than three;
J11 0510  1    data on the boa constrictor about match this.
J11 0510  9       Another approach is to estimate from the rate of
J11 0520  8    growth and the smallest size at maturity. Results from
J11 0530  4    this approach amply confirm the direct observations:
J11 0540  1    about three years are required, there being a possible
J11 0540 10    slight difference between males and females in the
J11 0550  8    time required. Only the amethystine python and the
J11 0560  5    anaconda must be excluded for lack or paucity of data.
J11 0570  3       The following information on snakes varying greatly
J11 0580  1    in size (but all with less than a 10-foot maximum)
J11 0580 12    shows, when considered with the foregoing, that there
J11 0590  6    is probably no correlation between the length of a
J11 0600  5    snake and the time required for it to mature. Oliver,
J11 0610  1    in his summary of the habits of the snakes of the United
J11 0610 13    States, could supply data on the maturing period for
J11 0620  9    only three species in addition to the rattlers, which
J11 0630  5    I shall consider separately. These three were much
J11 0640  3    alike: lined snake (Tropidoclonion), one year and nine
J11 0650  2    months; red-bellied snake (Storeria), two years; cottonmouth
J11 0660  1    (Ancistrodon), two years. Klauber investigated the
J11 0660  7    rattlesnakes carefully himself and also summarized
J11 0670  6    what others have found. He concluded that in the southern
J11 0680  6    species, which are rapidly growing types, females mate
J11 0690  3    at the age of two and a half and bear the first young
J11 0700  1    when they are three. Other herpetologists have ascertained
J11 0700  9    that in the northern United States the prairie rattlesnake
J11 0710  8    may not give first birth until it is four or even five
J11 0720  9    years old, and that the young may be born every other
J11 0730  5    year, rather than annually. Carpenter's study showed
J11 0740  2    that female common garter and ribbon snakes of Michigan
J11 0740 11    mature at about the age of two.
J11 0750  7    #MAXIMUM LENGTH#
J11 0750  9    Oversized monsters are never brought home either alive
J11 0760  6    or preserved, and field measurements are obviously
J11 0770  3    open to doubt because of the universal tendency to
J11 0770 12    exaggerate dimensions. Measurements of skins are of
J11 0780  7    little value; every snake hide is noticeably longer
J11 0790  6    than its carcass and intentional stretching presents
J11 0800  2    no difficulty to the unscrupulous explorer.
J11 0800  8       In spite of all the pitfalls, there is a certain
J11 0810 10    amount of agreement on some of the giants. The anaconda
J11 0820  7    proves to be the fly in the ointment, but the reason
J11 0830  4    for this is not clear; the relatively wild conditions
J11 0840  1    still found in tropical South America might be responsible.
J11 0850  1       There are three levels on which to treat the subject.
J11 0850 11    The first is the strictly scientific, which demands
J11 0860  6    concrete proof and therefore may err on the conservative
J11 0870  5    side by waiting for evidence in the flesh. This approach
J11 0880  2    rejects virtually all field measurements. The next
J11 0880  9    level attempts to weigh varied evidence and come to
J11 0890  9    a balanced, sensible conclusion; field measurements
J11 0900  3    by experienced explorers are not rejected, and even
J11 0910  3    reports of a less scientific nature are duly evaluated.
J11 0920  1    The third level leans on a belief that a lot of smoke
J11 0920 13    means some fire. The argument against this last approach
J11 0930  7    is comparable to that which rejects stories about hoop
J11 0940  5    snakes, about snakes that break themselves into many
J11 0950  3    pieces and join up again, or even of ghosts that chase
J11 0950 14    people out of graveyards; the mere piling up of testimony
J11 0960 10    does not prove, to the scientific mind, the existence
J11 0970  7    of hoop snakes, joint snakes, or ghosts.
J11 0980  3       Oliver has recently used the second-level approach
J11 0990  1    with the largest snakes, and has come to these conclusions:
J11 0990 11    the anaconda reaches a length of at least 37 feet,
J11 1000  9    the reticulate python 33, the African rock python 25,
J11 1010  6    the amethystine python at least 22, the Indian python
J11 1020  2    20, and the boa constrictor 18-1/2.
J11 1020  9       Bernard Heuvelmans also treats of the largest snakes,
J11 1030  7    but on the third level, and is chiefly concerned with
J11 1040  5    the anaconda. He reasons that as anacondas 30 feet
J11 1050  3    long are often found, some might be 38, and occasional
J11 1050 13    "monstrous freaks" over 50. He rejects dimensions of
J11 1060  8    70 feet and more. His thirteenth chapter includes many
J11 1070  6    exciting accounts of huge serpents with prodigious
J11 1080  3    strength, but these seem to be given to complete his
J11 1090  1    picture, not to be believed.
J11 1090  6       Detailed information on record lengths of the giants
J11 1100  5    is given in the section that follows.
J11 1100 12    #GROWTH OF THE SIX GIANTS#
J11 1110  5    Discussions of the giants one by one will include,
J11 1120  1    as far as possible, data on these aspects of growth:
J11 1120 11    size at which life is started and at which sexual maturity
J11 1130  9    is reached; time required to reach maturity; rate of
J11 1140  6    growth both before and after this crucial stage; and
J11 1150  3    maximum length, with confirmation or amplification
J11 1160  1    of Oliver's figures. Definite information on the growth
J11 1160  9    of senile individuals is lacking.
J11 1170  4    _ANACONDA:_
J11 1170  5       At birth, this species varies considerably in size.
J11 1180  4    A brood of twenty-eight born at Brookfield Zoo, near
J11 1190  3    Chicago, ranged in length from 22 to 33-1/2 inches
J11 1190 13    and averaged 29 inches. Lawrence E& Griffin gives measurements
J11 1200  8    of nineteen young anacondas, presumably members of
J11 1210  6    a brood, from "South America"; the extreme measurements
J11 1220  4    of these fall between the lower limit of the Brookfield
J11 1230  4    brood and its average. Raymond L& Ditmars had two broods
J11 1250  3    that averaged 27 inches. R& R& Mole and F& W& Urich
J11 1260  2    give approximately 20 inches as the average length
J11 1260 10    of a brood of thirty from the region of the Orinoco
J11 1270  9    estuaries. William Beebe reports 26 inches and 2.4
J11 1280  6    ounces (this snake must have been emaciated) for the
J11 1290  3    length and the weight of a young anaconda from British
J11 1290 13    Guiana. In contrast, Ditmars recorded the average length
J11 1300  8    of seventy-two young of a 19-foot female as 38 inches,
J11 1310 10    and four young were born in London at a length of 35
J11 1320  6    or 36 inches and a weight of from 14 to 16 ounces.
J11 1330  1    Beebe had a 3-foot anaconda that weighed only 9.8 ounces.
J11 1330 12    A difference between subspecies might explain the great
J11 1340  7    range in size.
J11 1350  1       I have little information on the anaconda's rate
J11 1350  9    of growth. Hans Schweizer had one that increased from
J11 1370  7    19-1/2 inches to 5 feet 3 inches in five years, and
J11 1380  5    J& J& Quelch records a growth of from less than 4 feet
J11 1390  4    to nearly 10 in about six years. It is very unlikely
J11 1390 15    that either of these anacondas was growing at a normal
J11 1400 10    rate.
J11 1400 11       In 1948, Afranio do Amaral, the noted Brazilian
J11 1410  7    herpetologist, wrote a technical paper on the giant
J11 1420  6    snakes. He concluded that the anaconda's maximum length
J11 1430  3    is 12 or 13 (perhaps 14) meters, which would approximate
J11 1440  1    from 39 to 42 feet (14 meters is slightly less that
J11 1440 12    46 feet). Thus, his estimate lies between Oliver's
J11 1450  6    suggestion of at least 37 feet and the 50-foot "monstrous
J11 1460  6    freaks" intimated by Heuvelmans.
J11 1470  1       The most convincing recent measurement of an anaconda
J11 1470  9    was made in eastern Colombia by Roberto Lamon, a petroleum
J11 1480  8    geologist of the Richmond Oil Company, and reported
J11 1490  5    in 1944 by Emmett R& Dunn. However, as a field measurement,
J11 1500  5    it is open to question. Oliver's 37-1/2 feet is partly
J11 1510  4    based on this report and can be accepted as probable.
J11 1520  1    However, many herpetologists remain skeptical and would
J11 1520  8    prefer a tentative maximum of about 30 feet.
J11 1530  8       It is possible that especially large anacondas will
J11 1540  4    prove to belong to subspecies limited to a small area.
J11 1550  4    In snakes difference in size is a common characteristic
J11 1560  1    of subspecies.
J11 1560  3    _BOA CONSTRICTOR:_
J11 1560  5       A Colombian female's brood of sixteen boa constrictors
J11 1570  5    born in the Staten Island Zoo averaged 20 inches. This
J11 1580  4    birth length seems to be typical. When some thirteen
J11 1590  1    records of newly and recently born individuals are
J11 1590  9    collated, little or no correlation between length and
J11 1600  7    distribution can be detected. The range is from 14
J11 1610  5    to 25 inches; the former figure is based on a somewhat
J11 1620  1    unusual birth of four by a Central American female
J11 1620 10    (see chapter on Laying, Brooding, Hatching, and Birth),
J11 1630  7    the latter on a "normal" newly born individual. However,
J11 1640  5    as so many of the records are not certainly based on
J11 1650  5    newborn snakes, these data must be taken tentatively;
J11 1660  1    final conclusions will have to await the measurements
J11 1660  9    of broods from definite localities.
J11 1670  4       Alphonse R& Hoge's measurements of several very
J11 1680  4    young specimens from Brazil suggest that at birth the
J11 1690  1    female is slightly larger than the male.
J11 1690  8       I have surprisingly little information on the size
J11 1700  5    and age at maturity. Carl Kauffeld has written to me
J11 1710  4    of sexual activity in February 1943 of young born in
J11 1710 14    March 1940. One female, collected on an island off
J11 1720  9    the coast of Nicaragua, was gravid and measured 4 feet
J11 1730  7    8 inches from snout to vent (her tail should be between
J11 1740  6    6 and 7 inches long). The female from Central America
J11 1750  2    which gave birth to four was only 3 feet 11 inches
J11 1750 13    long.
J11 1760  1       What data there are on growth indicate considerable
J11 1760  9    variation in rate; unfortunately, no one has kept complete
J11 1770  9    records of one individual, whereas many have been made
J11 1780  6    for a very short period of time. The results are too
J11 1790  5    varied to allow generalization.
J12 0010  1    The bronchus and pulmonary artery in this lung type
J12 0010 10    maintain a close relationship throughout. The pulmonary
J12 0020  5    vein, however, without the limiting supportive tissue
J12 0030  3    septa as in type /1,, follows a more direct path to
J12 0040  2    the hilum and does not maintain this close relationship
J12 0040 11    (figs& 8, 22). Another marked difference is noted here.
J12 0050  8    The pulmonary artery, in addition to supplying the
J12 0060  6    distal portion of the respiratory bronchiole, the alveolar
J12 0070  3    duct, and the alveoli, continues on and directly supplies
J12 0080  1    the thin pleura (fig& 8). The bronchial artery, except
J12 0080 10    for a small number of short branches in the hilum,
J12 0090  9    contributes none of the pleural blood supply. It does,
J12 0100  6    as in type /1,, supply the hilar lymph nodes, the pulmonary
J12 0110  4    artery, the pulmonary vein, the bronchi, and the bronchioles-
J12 0120  1    terminating in a common capillary bed with the pulmonary
J12 0130  1    artery at the level of the respiratory bronchiole.
J12 0130  9    No bronchial artery-pulmonary artery anastomoses were
J12 0140  4    noted in this group.
J12 0140  8       Lung type /3, (fig& 3) is to some degree a composite
J12 0150 11    of types /1, and /2,. It is characterized by the presence
J12 0160  9    of incompletely developed secondary lobules; well defined,
J12 0170  5    but haphazardly arranged, interlobular septa and a
J12 0180  4    thick, remarkably vascular pleura (fig& 9). The most
J12 0190  2    distal airways are similar to those found in type /1,,
J12 0190 12    being composed of numerous, apparently true terminal
J12 0200  7    bronchioles and occasional, poorly developed respiratory
J12 0210  4    bronchioles (figs& 14, 15). In this instance, because
J12 0220  3    of incomplete septation, the secondary lobule does
J12 0230  1    not constitute in itself what appears to be a small
J12 0230 11    individual lung as in type /1,. Air-drifts from one
J12 0240  9    area to another are, therefore, conceivable. Distally
J12 0250  3    the bronchus is situated between a pulmonary artery
J12 0260  1    on one side and a pulmonary vein on the other, as in
J12 0260 13    type /1, (fig& 24). This relationship, however, is
J12 0270  7    not maintained centrally. Here the pulmonary vein,
J12 0280  5    as in type /2,, is noted to draw away from the bronchus,
J12 0290  3    and to follow a more direct, independent course to
J12 0290 12    the hilum (figs& 23, 24). The bronchial artery in its
J12 0300 10    course and distribution differs somewhat from that
J12 0310  5    found in other mammals. As seen in types /1, and /2,,
J12 0320  5    it supplies the hilar lymph nodes, vasa vasorum to
J12 0330  2    the pulmonary artery and vein, the bronchi and the
J12 0330 11    terminal bronchioles. As in type /1,, it provides arterial
J12 0340  8    blood to the interlobular septa, and an extremely rich
J12 0350  6    anastomotic pleural supply is seen (figs& 9, 10). This
J12 0360  4    pleural supply is derived both from hilar and interlobular
J12 0370  1    bronchial artery branches. Such a dual derivation was
J12 0370  9    strikingly demonstrated during the injection process
J12 0380  6    where initial filling would be noted to occur in several
J12 0390  8    isolated pleural vessels at once. Some of these were
J12 0400  4    obviously filling from interlobular branches of the
J12 0410  1    bronchial arteries while others were filling from direct
J12 0410  9    hilar branches following along the pleural surface.
J12 0420  6    With completion of filling, net-like anastomoses were
J12 0430  3    noted to be present between these separately derived
J12 0440  2    branches. An unusual increase in the number of bronchial
J12 0440 11    arteries present within the substance of the lung was
J12 0450  9    noted. This was accounted for primarily by the presence
J12 0460  6    of a bronchial artery closely following the pulmonary
J12 0470  3    artery. The diameter of this bronchial artery was much
J12 0480  2    too large for it to be a mere vasa vasorum (figs& 16,
J12 0480 14    23, 24). In distal regions its diameter would be one-fourth
J12 0490 10    to one-fifth that of the pulmonary artery. This vessel
J12 0500  7    could be followed to the parenchyma where it directly
J12 0510  4    provided bronchial arterial blood to the alveolar capillary
J12 0520  2    bed (figs& 17, 18). Also three other direct pathways
J12 0530  1    of alveolar bronchial arterial supply were noted: via
J12 0530  9    the pleura; through the interlobular septa; and along
J12 0540  7    the terminal bronchiole (figs& 14, 17, 18, 19). One
J12 0550  6    bronchial arteriolar-pulmonary arteriolar anastomosis
J12 0560  2    was noted at the terminal bronchiolar level (fig& 26).
J12 0570  1    #DISCUSSION#
J12 0570  2    It is evident that many marked and striking differences
J12 0580  1    exist between lungs when an inter-species comparison
J12 0580  9    is made. The significance of these differences has
J12 0590  6    not been studied nor has the existence of corresponding
J12 0600  3    physiologic differences been determined. However, the
J12 0610  2    dynamics of airflow, from morphologic considerations
J12 0610  8    alone, may conceivably be different in the monkey than
J12 0620  9    in the horse. The volume and, perhaps, even the characteristics
J12 0630  6    of bronchial arterial blood flow might be different
J12 0640  5    in the dog than in the horse. Also, interlobular air
J12 0650  2    drifts may be all but nonexistent in the cow; probably
J12 0650 12    occur in the horse much as in the human being; and,
J12 0660 11    in contrast are present to a relatively immense degree
J12 0670  6    on a segmental basis in the dog where lobules are absent
J12 0680  4    (Van Allen and Lindskog, '31). A reason for such wide
J12 0690  4    variation in the pulmonary morphology is entirely lacking
J12 0700  1    at present.
J12 0700  3       Within certain wide limits anatomy dictates function
J12 0710  1    and, if one is permitted to speculate, potential pathology
J12 0710 10    should be included in this statement as well. For example,
J12 0720 10    the marked susceptibility of the monkey to respiratory
J12 0730  6    infection might be related to its delicate, long alveolar
J12 0740  4    ducts and short, large bronchioles situated within
J12 0750  2    a parenchyma entirely lacking in protective supportive
J12 0750  9    tissue barriers such as those found in types /1, and
J12 0760 10    /3,. One might also wonder if monkeys are capable of
J12 0770  7    developing bronchiolitis as we know it in man or the
J12 0780  6    horse. In addition, it would be difficult to imagine
J12 0790  1    chronic generalized emphysema occurring in a cow, considering
J12 0790  9    its marked lobular development but, conversely, not
J12 0800  6    difficult to imagine this occurring in the horse or
J12 0810  6    the dog.
J12 0810  8       Anatomically, the horse lung appears to be remarkably
J12 0820  5    like that of man, insofar as this can be ascertained
J12 0830  1    from comparison of our findings in the horse with those
J12 0830 11    of others (Birnbaum, '54) in the human being. The only
J12 0840 10    area in which one might find major disagreement in
J12 0850  7    this matter is in regard to the alveolar distribution
J12 0860  2    of the bronchial arteries. As early as 1858, Le Fort
J12 0870  2    claimed an alveolar distribution of the bronchial arteries
J12 0870 10    in human beings. In 1951, this was reaffirmed by Cudkowicz.
J12 0880  9    The opposition to this point of view has its staunchest
J12 0890  9    support in the work of Miller ('50). Apparently, however,
J12 0900  4    Miller has relied heavily on the anatomy in dogs and
J12 0910  5    cats, and he has been criticized for using pathologic
J12 0920  1    human material in his normal study (Loosli, '38). Although
J12 0920 10    Miller noted in 1907 that a difference in the pleural
J12 0930 10    blood supply existed between animals, nowhere in his
J12 0940  6    published works is it found that he did a comparative
J12 0950  4    study of the intrapulmonary features of various mammalian
J12 0960  1    lungs other than in the dog and cat (Miller, '13; '25).
J12 0970  1       The meaning of this variation in distribution of
J12 0970  9    the bronchial artery as found in the horse is not clear.
J12 0980 10    However, this artery is known to be a nutrient vessel
J12 0990  6    with a distribution primarily to the proximal airways
J12 1000  2    and supportive tissues of the lung. The alveoli and
J12 1000 11    respiratory bronchioles are primarily diffusing tissues.
J12 1010  6    Theoretically, they are capable of extracting their
J12 1020  6    required oxygen either from the surrounding air (Ghoreyeb
J12 1030  3    and Karsner, '13) or from pulmonary arterial blood
J12 1040  2    (Comroe, '58). Therefore, an explanation of this alveolar
J12 1050  1    bronchial artery supply might be the nutritive requirement
J12 1050  9    of an increased amount of supportive tissue, not primarily
J12 1060  7    diffusing in nature, in the region of the alveolus.
J12 1070  7    If this be true, the possibility exists that an occlusive
J12 1090  4    lesion of the bronchial arteries might cause widespread
J12 1100  1    degeneration of supportive tissue similar to that seen
J12 1100  9    in generalized emphysema. One would not expect such
J12 1110  7    an event to occur in animals possessing lungs of types
J12 1120  5    /1, or /2,.
J12 1120  8       The presence of normally occurring bronchial artery-pulmonary
J12 1130  5    artery anastomoses was first noted in 1721 by Ruysch,
J12 1140  6    and thereafter by many others. Nakamura ('58), Verloop
J12 1150  3    ('48), Marchand, Gilroy and Watson ('50), von Hayek
J12 1160  2    ('53), and Tobin ('52) have all claimed their normal
J12 1160 11    but relatively nonfunctional existence in the human
J12 1170  7    being. Miller ('50) is the principal antagonist of
J12 1180  6    this viewpoint. In criticism of the latter's views,
J12 1190  2    his conclusions were based upon dog lung injection
J12 1190 10    studies in which all of the vascular channels were
J12 1200  9    first filled with a solution under pressure and then
J12 1210  5    were injected with various sized colored particles
J12 1220  2    designed to stop at the arteriolar level. As early
J12 1220 11    as 1913 Ghoreyeb and Karsner demonstrated with perfusion
J12 1230  7    studies in dogs that bronchial artery flow would remain
J12 1240  7    constant at a certain low level when pressure was maintained
J12 1250  5    in the pulmonary artery and vein, but that increases
J12 1260  2    in bronchial artery flow would occur in response to
J12 1260 11    a relative drop in pulmonary artery pressure. Berry,
J12 1270  7    Brailsford and Daly in 1931 and Nakamura in 1958 reaffirmed
J12 1280  8    this. Our own studies in which bronchial artery-pulmonary
J12 1290  4    artery anastomoses were demonstrated, were accomplished
J12 1300  3    by injecting the bronchial artery first with no pressure
J12 1310  1    on the pulmonary artery or vein, and then by injecting
J12 1310 11    the pulmonary artery and vein afterwards. It is distinctly
J12 1320  8    possible, therefore, that simultaneous pressures in
J12 1330  5    all three vessels would have rendered the shunts inoperable
J12 1331  4    and hence, uninjectable. This viewpoint is further
J12 1340  1    supported by Verloop's ('48) demonstration of thickened
J12 1340  8    bronchial artery and arteriolar muscular coats which
J12 1350  7    are capable of acting as valves. In other words, the
J12 1360  7    anastomoses between the bronchial artery and pulmonary
J12 1370  3    artery should be considered as functional or demand
J12 1380  1    shunts.
J12 1380  2       In addition, little work has been done on a comparative
J12 1390  1    basis in regard to the normal existence of bronchial
J12 1390 10    artery-pulmonary artery anastomoses. Verloop ('48;
J12 1400  5    '49) found these shunts in the human being but was
J12 1410  7    unable to find them in rats. Ellis, Grindlay and Edwards
J12 1420  3    ('52) also were unable to find them in rats. Nakamura
J12 1430  1    ('58) was unable to demonstrate their existence, either
J12 1430  9    by anatomic or physiologic methods, in dogs. The possibility
J12 1440  8    that the absence or presence of these shunts is species-dependent
J12 1460  9    is therefore inferred. Certainly, the mere fact of
J12 1470  6    failing to demonstrate them in one or another species
J12 1480  4    does not conclusively deny their existence in that
J12 1490  1    species. It is, however, highly suggestive and agrees
J12 1490  9    well with our own findings in which we also failed
J12 1500  7    to demonstrate normally occurring bronchial artery-pulmonary
J12 1510  4    artery shunts in certain species, especially the dog.
J12 1520  3       In conclusion, these findings suggest the need for
J12 1530  1    a comparative physiology, pathology, and histology
J12 1530  7    of mammalian lungs. In addition, a detailed interspecies
J12 1540  6    survey of the incidence of generalized pulmonary emphysema
J12 1550  3    in mammals would be interesting and pertinent. Also,
J12 1560  2    for the present, great caution should be exercised
J12 1560 10    in the choice of an experimental animal for pulmonary
J12 1570  8    studies if they are to be applied to man. This is especially
J12 1580  8    so if the dog, cat or monkey are to be used, in view
J12 1590  6    of their marked anatomical differences from man. Finally,
J12 1600  2    it is suggested that in many respects the horse lung
J12 1600 12    may be anatomically more comparable to that of the
J12 1610  8    human than any other presently known species.
J12 1620  3    #SUMMARY#
J12 1620  4    The main subgross anatomical features of the lungs
J12 1630  4    of various mammals are presented. A tabulation of these
J12 1650  1    features permits the lungs to be grouped into three
J12 1650 10    distinctive subgross types. Type /1, is represented
J12 1660  6    by the cow, sheep, and pig; type /2,, by the dog, cat,
J12 1670  7    and monkey; type /3,, by the horse. Lobularity is extremely
J12 1680  4    well developed in type /1,; absent in type /2,; imperfectly
J12 1690  3    developed in type /3,. The pleura and interlobular
J12 1700  1    septa are thick in types /1, and /3,. The pleura is
J12 1700 12    extremely thin in type /2, and septa are absent. Arterial
J12 1710 10    supply to the pleura in types /1, and /3, is provided
J12 1720  8    by the bronchial artery, and in type /2,, by the pulmonary
J12 1730  7    artery. In types /1,, /2, and /3, the bronchial artery
J12 1740  4    terminates in a capillary bed shared in common with
J12 1750  2    the pulmonary artery at the level of the distal bronchiole.
J12 1750 12    In type /3, the bronchial artery also provides blood
J12 1760  9    directly to the alveolar capillary bed. True terminal
J12 1770  6    bronchioles comprise the most frequent form taken by
J12 1780  4    the distal airways in types /1, and /3,, although small
J12 1790  2    numbers of poorly developed respiratory bronchioles
J12 1790  8    are present. Well developed respiratory bronchioles,
J12 1800  5    on the other hand, appear to be the only form taken
J12 1810  7    by the distal airways in type /2,. In type /1, the
J12 1820  4    pulmonary vein closely follows the course of the bronchus
J12 1830  1    and the pulmonary artery from the periphery to the
J12 1830 10    hilum. This maybe due to the heavy interlobular connective
J12 1840  7    tissue barriers present. In type /3, this general relationship
J12 1850  6    is maintained peripherally but not centrally where
J12 1860  4    the pulmonary vein follows a more independent path
J12 1870  1    to the hilum as is the case throughout the lung in
J12 1870 12    type /2,.
J13 0010  1       Some of the features of the top portions of Figure
J13 0010 11    1 and Figure 2 were mentioned in discussing Table 1.
J13 0020  8    First, the Onset Profile spreads across approximately
J13 0030  4    12 years for boys and 10 years for girls. In contrast,
J13 0040  3    20 of the 21 lines in the Completion Profile (excluding
J13 0050  1    center 5 for boys and 4 for girls) are bunched and
J13 0050 12    extend over a much shorter period, approximately 30
J13 0060  6    months for boys and 40 months for girls. The Maturity
J13 0070  4    Chart for each sex demonstrates clearly that Onset
J13 0080  2    is a phenomenon of infancy and early childhood whereas
J13 0080 11    Completion is a phenomenon of the later portion of
J13 0090  9    adolescence. Second, for both sexes, the 21 transverse
J13 0100  6    lines in the Onset Profile vary more in individual
J13 0110  3    spread than those in the Completion Profile. Although
J13 0120  1    the standard deviation values on which spread of the
J13 0120 10    lines are based are relatively larger for those centers
J13 0130  7    which begin to ossify early (Table 1), there are considerable
J13 0140  6    differences in this value between centers having the
J13 0160  4    closely timed Onsets. Third, the process of calcification
J13 0170  1    is seen to begin later and to continue much longer
J13 0170 11    for these boys than for the girls, a fact which confirms
J13 0180 10    data for other groups of children.
J13 0190  2       The Onset Profile and Completion Profile are constructed
J13 0200  1    to serve as norms for children. It is convenient to
J13 0200 11    classify a child's onset ages and completion ages as
J13 0210  9    "advanced", "moderate" (modal), or "delayed" according
J13 0220  5    to whether the child's age equivalent "dots" appeared
J13 0230  5    to the left of, upon, or to the right of the appropriate
J13 0240  7    short transverse line. When a dot appears close to
J13 0250  4    the end of the transverse line, the "moderate" rating
J13 0260  2    may be further classified according to the position
J13 0260 10    of the dot with respect to the vertical marking denoting
J13 0270  8    the mean age. Such classifications may be called "somewhat
J13 0280  5    advanced" or "somewhat delayed", as the case may be,
J13 0290  6    reserving "moderate" for dots upon or close to the
J13 0300  3    mean.
J13 0300  4       In the lower portion of each Chart, the Skeletal
J13 0310  1    Age (Hand) of boy 34 and girl 2 may be similarly classified.
J13 0320  1    There the middle one of the three curves denotes "mean
J13 0320 11    Skeletal Age" for the Maturity Series boys and girls.
J13 0330  8    The upper curve denotes the mean plus one standard
J13 0340  6    deviation, and the lower curve represents the mean
J13 0350  3    minus one standard deviation. Thus, a child's Skeletal
J13 0360  1    Age "dots" may be classified as "advanced" when they
J13 0360 10    appear above the middle curve, "moderate" when they
J13 0370  7    appear immediately above or below the middle curve,
J13 0380  6    and "delayed" when they appear below the lower curve.
J13 0390  4       To summarize the purpose of the Skeletal Maturity
J13 0400  1    Chart: each contains two kinds of skeletal maturity
J13 0400  9    norms which show two quite different methods of depicting
J13 0410  8    developmental level of growth centers. First, the upper
J13 0420  7    portion requires series of films for every child, consisting
J13 0430  5    of those from Hand, Elbow, Shoulder, Knee, and Foot.
J13 0440  3    The lower portion necessitates only films of Hand.
J13 0450  1    Second, the upper portion permits comparison of maturity
J13 0450  9    levels of an equal number of growth centers from the
J13 0460  8    long, short, and round bones of the five regions. The
J13 0470  6    lower portion permits comparison of maturity levels
J13 0480  2    of short and round bones predominantly, since only
J13 0480 10    two long bones are included in Hand and Wrist as a
J13 0490  9    region. Third, the upper portion deals with only two
J13 0500  5    indicators of developmental level, Onset and Completion.
J13 0510  2    The lower portion utilizes the full complement of intermediate
J13 0520  1    maturity indicators of each Hand center as well as
J13 0520 10    their Onset and Completion. Fourth, the two indicators
J13 0530  7    are for the most part widely separated chronologically,
J13 0540  4    with the extensive age gap occurring during childhood
J13 0550  3    for all but one growth center. The lower portion provides
J13 0560  1    a rating at any stage between infancy and adulthood.
J13 0560 10       Onsets, Completions, and Skeletal Ages (Hand) of
J13 0570  7    boy 34 and girl 2 may be directly compared and classified,
J13 0580  7    using only those Skeletal Ages which appear immediately
J13 0590  4    below the Onset Profile and the Completion Profile.
J13 0600  2    It may be assumed that differences in ratings due to
J13 0600 12    selection of growth centers from specific regions of
J13 0610  8    the body will be small, according to existing tables
J13 0620  5    of onset age and completion age for centers throughout
J13 0630  3    the body. Accordingly, maturity level ratings by means
J13 0640  2    of the upper portion and lower portion of the Chart,
J13 0640 12    respectively, should be somewhat similar since Skeletal
J13 0650  7    Age assessments are dependent upon Onsets during infancy
J13 0660  5    and upon Completions during adolescence. It is clear
J13 0670  4    that there are some differences in the ratings, but
J13 0680  1    there is substantial agreement. Since a Skeletal Age
J13 0680  9    rating can be made at any age during growth, from Elbow,
J13 0690 10    Shoulder, Knee, or Foot as well as Hand, it seems to
J13 0700  8    be the method of choice when one wishes to study most
J13 0710  4    aspects of skeletal developmental progress during childhood.
J13 0720  1    As stated earlier in the paper, Onsets and Completions-
J13 0730  1    particularly the former- provide a different tool or
J13 0730  9    indicator of expectancy in osseous development, each
J13 0740  5    within a limited age period. Such an indicator, or
J13 0750  4    indicators, are needed as means of recognizing specific
J13 0760  1    periods of delay in skeletal developmental progress.
J13 0760  8       It was stated earlier that one purpose of this study
J13 0770 10    was to extend the analysis of variability of Onset
J13 0780  5    and Completion in each of the 21 growth centers somewhat
J13 0790  3    beyond that provided by the data in Tables 1 and 2.
J13 0800  2    As one approach to doing this, Figures 3 and 4 have
J13 0800 13    been constructed from the mean ages and the individual
J13 0810  8    onset and completion ages for boy 34 and girl 2. The
J13 0820  7    differences between onset age and completion age with
J13 0830  2    respect to the corresponding mean age have been brought
J13 0830 11    into juxtaposition by means of a series of arrows.
J13 0840  8    The data for boy 34 appear in Figure 3, and for girl
J13 0850  7    2 in Figure 4. The numbering system used in Tables
J13 0860  3    1 and 2 and Figures 1 and 2 was continued for the 21
J13 0860 16    growth centers.
J13 0870  2       The "dot" on one end of each arrow indicates extent
J13 0880  2    of difference in months between the child's onset age
J13 0880 11    and the corresponding mean age for the growth center.
J13 0890  8    The "tip" of the arrow represents extent of difference
J13 0900  6    between the child's completion age and the corresponding
J13 0910  5    mean age for the growth center. Thus, the alignment
J13 0920  2    of the "dots" and "tips", respectively, indicate individual
J13 0930  1    variability of the 21 growth centers of each child
J13 0930 10    with respect to the mean values for these boys and
J13 0940  9    girls. The direction in which the arrow points shows
J13 0950  5    how the maturity level of the growth center was changed
J13 0960  2    at Completion from the level at Onset. When the "dot"
J13 0970  1    and "tip" coincide, the classification used in this
J13 0970  9    paper is "same schedule". The length of the arrow indicates
J13 0980  8    amount of slowing or acceleration at Completion over
J13 0990  5    that at Onset, and the difference in months can be
J13 1000  5    read roughly by referring the arrow to the age scale
J13 1010  1    along the base of each figure, or more precisely by
J13 1010 11    referring to the original data in the appropriate tables.
J13 1020  7       The difference between the sequence of Onset of
J13 1030  6    ossification for the sexes governs the numbering sequence
J13 1040  2    in Figures 3 and 4. This difference is readily clarified
J13 1050  1    by referring to Table 1. For example, arrow 17 in Figure
J13 1050 12    3 portrays the proximal radial epiphysis for boy 34,
J13 1060  8    whereas the same epiphysis for girl 2 is portrayed
J13 1070  6    by arrow 18 in Figure 4. For the boy, this epiphysis
J13 1080  3    was markedly delayed at Onset but near the mean at
J13 1080 13    Completion. Thus, the Span of its ossification was
J13 1090  8    shortened and the center's ability to "catch up" in
J13 1100  6    ossification is demonstrated. In contrast, for the
J13 1110  4    girl the epiphysis was slightly advanced at Onset and
J13 1120  2    delayed at Completion. Obviously, the slowing for her
J13 1120 10    may have occurred at any point between Onset and Completion.
J13 1130  9    The Skeletal Age curve in the lower portion of Figure
J13 1140  9    2 shows that slowing may have occurred for her during
J13 1150  5    the prepubescent period. Length of the shaft of these
J13 1160  3    arrows may be evaluated according to the standard deviation
J13 1170  1    values for each center in Table 1.
J13 1170  8       We have attempted to simplify the extensive task
J13 1180  4    of analyzing onset ages and completion ages of each
J13 1190  2    child- more than 1700 values for the entire group-
J13 1190 11    by constructing figures for each of the 21 centers
J13 1200  8    so that the data for all 34 boys and 34 of the girls
J13 1210  7    will appear together for each growth center. Figures
J13 1220  2    5 and 6 are examples of our method of analyzing the
J13 1220 13    results for each growth center. Forty other figures
J13 1230  7    similar to 5 and 6 and the original data used in the
J13 1240  6    construction of all figures and tables in this monograph
J13 1250  2    have been included in the Appendix.
J13 1250  8       The principles used in making each arrow for Figures
J13 1260  8    3 and 4 were applied to the construction of Figures
J13 1270  4    5 and 6 as well as all figures in the Appendix. One
J13 1280  2    growth center in a short bone- distal phalanx of the
J13 1280 12    second finger- was chosen as an example for discussion
J13 1290  8    here, primarily because epiphyseal-diaphyseal fusion,
J13 1300  4    the maturity indicator for Completion in long and short
J13 1310  5    bones, occurs in this center for girls near the menarche
J13 1320  2    and for boys near their comparable pubescent stage.
J13 1320 10    Its Completion thus becomes one of the convenient maturity
J13 1330  8    indicators to include in studies of growth, dietary
J13 1340  6    patterns, and health during adolescence.
J13 1350  1       The following summary, based on Figures 5 and 6,
J13 1350 10    is an example of one way of interpreting the 42 figures
J13 1360 10    constructed from onset ages and completion ages of
J13 1370  6    individual children with respect to the appropriate
J13 1380  2    mean age for each growth center. At the top of Figure
J13 1380 13    5, for example, the Onset range and Completion range
J13 1390  9    lines for the chosen growth center have been drawn
J13 1400  6    for girls according to their mean and standard deviation
J13 1410  3    values in Table 1. The 34 arrows, denoting onset age
J13 1420  2    plus completion age deviations, have been arrayed in
J13 1420 10    an Onset sequence which begins with girl 18 who had
J13 1430  9    the earliest Onset of the 34 girls. The growth center
J13 1440  6    depicted here, in the distal phalanx of the second
J13 1450  2    finger, is listed as the fifth of those in the seven
J13 1450 13    short bones. The mean onset age was 25.3 months (Table
J13 1460  9    1), and the average Span of the osseous stage was 133
J13 1470  8    months. The correlation (Table 2) between onset age
J13 1490  4    and completion age was +.50, and that between onset
J13 1500  1    age and Span was -.10. With due consideration for the
J13 1500 12    limits of precision in assessing, expected rate of
J13 1510  6    change in ossification of girls age 2 years, and the
J13 1520  5    known variations in rate of ossification of these children
J13 1530  2    as described in our preceding paper in the Supplement,
J13 1530 11    each arrow with a "shaft length" of four months or
J13 1540 10    less was selected as indicating "same schedule" at
J13 1550  5    Onset and Completion, for this particular epiphysis.
J13 1560  2    Accordingly, girls 31, 29, 33, 21, 26, 13, 3, 4, 14,
J13 1570  2    32, 24, 25, 34, 23, 6, 15, 22, and 16 may be said to
J13 1570 16    have the "same schedule" at Onset and Completion.
J13 1580  6       It seems clear, from the counter-balanced shape
J13 1590  5    of the series of arrows in Figure 5 that there was
J13 1600  3    about an equal number of early and late Onsets and
J13 1600 13    Completions for the 34 girls. Accordingly, if
J13 1610  7    epiphyseal-diaphyseal
J13 1610  9    fusion occurs in this phalanx near menarche, early
J13 1620  8    and late menarches might have been forecast rather
J13 1630  5    precisely at the time of Onset of ossification for
J13 1640  2    the 18 girls with "same schedule". As an example of
J13 1640 12    the interpretation of an arrow in the figure which
J13 1650  8    exceeds four months in shaft length in conjunction
J13 1660  4    with its position in the figure: girl 2 had a delayed
J13 1670  3    Onset and further delayed Completion. It is of interest
J13 1680  1    that her menarche was somewhat later than the average
J13 1680 10    for the girls in this group.
J13 1690  4       A similar analysis of Figure 6 for the 34 boys would
J13 1700  2    necessitate quite a different conclusion about the
J13 1700  9    predictive value of onset age in forecasting their
J13 1710  7    attainment of the pubescent stage. Boys 32, 23, 31,
J13 1720  5    17, 30, 19, and 24 had "same schedule" at Onset and
J13 1730  2    Completion; thus early forecasting of the pubescent
J13 1730  9    stage would appear possible for only seven boys. Boy
J13 1740  9    34, like girl 2, did not have "same schedule"; his
J13 1750  5    arrow crosses the line denoting the mean. The "dot"
J13 1760  4    on his arrow indicates early Onset and the "tip" indicates
J13 1770  2    relatively later Completion.
J13 1770  5       After the 42 figures had been drawn like Figures
J13 1780  6    5 and 6, classifications of the onset ages and completion
J13 1790  4    ages were summarized from them.
J14 0010  1    Interestingly enough, the effect of the digitalis glycosides
J14 0010  9    is inhibited by a high concentration of potassium in
J14 0020  8    the incubation medium and is enhanced by the absence
J14 0030  6    of potassium (Wolff, 1960).
J14 0040  1    _B. ORGANIFICATION OF IODINE_
J14 0040  3       The precise mechanism for organification of iodine
J14 0050  1    in the thyroid is not as yet completely understood.
J14 0050 10    However, the formation of organically bound iodine,
J14 0060  5    mainly mono-iodotyrosine, can be accomplished in cell-free
J14 0070  5    systems. In the absence of additions to the homogenate,
J14 0080  2    the product formed is an iodinated particulate protein
J14 0080 10    (Fawcett and Kirkwood, 1953; Taurog, Potter and Chaikoff,
J14 0090  8    1955; Taurog, Potter, Tong, and Chaikoff, 1956; Serif
J14 0100  8    and Kirkwood, 1958; De Groot and Carvalho, 1960). This
J14 0110  8    iodoprotein does not appear to be the same as what
J14 0120  7    is normally present in the thyroid, and there is no
J14 0130  3    evidence so far that thyroglobulin can be iodinated
J14 0130 11    in vitro by cell-free systems. In addition, the iodoamino
J14 0140  9    acid formed in largest quantity in the intact thyroid
J14 0150  6    is di-iodotyrosine. If tyrosine and a system generating
J14 0160  5    hydrogen peroxide are added to a cell-free homogenate
J14 0170  1    of the thyroid, large quantities of free mono-iodotyrosine
J14 0170 10    can be formed (Alexander, 1959). It is not clear whether
J14 0180 10    this system bears any resemblance to the in vivo iodinating
J14 0190  9    mechanism, and a system generating peroxide has not
J14 0200  5    been identified in thyroid tissue. On chemical grounds
J14 0210  2    it seems most likely that iodide is first converted
J14 0210 11    to **f and then to **f as the active iodinating species.
J14 0220 11    In the thyroid gland it appears that proteins (chiefly
J14 0230  7    thyroglobulin) are iodinated and that free tyrosine
J14 0240  5    and thyronine are not iodinated. Iodination of tyrosine,
J14 0250  2    however, is not enough for the synthesis of hormone.
J14 0250 11    The mono- and di-iodotyrosine must be coupled to form
J14 0260  9    tri-iodothyronine and thyroxine. The mechanism of this
J14 0270  6    coupling has been studied in some detail with non-enzymatic
J14 0280  4    systems in vitro and can be simulated by certain di-iodotyrosine
J14 0290  3    analogues (Pitt-Rivers and James, 1958). There is so
J14 0300  3    far no evidence to indicate conclusively that this
J14 0300 11    coupling is under enzymatic control.
J14 0310  4       The chemical nature of the iodocompounds is discussed
J14 0320  3    below (pp& 76 et seq&).
J14 0330  1    _C. THYROGLOBULIN SYNTHESIS_
J14 0330  1       Little is known of the synthetic mechanisms for
J14 0330  9    formation of thyroglobulin. Its synthesis has not been
J14 0340  7    demonstrated in cell-free systems, nor has its synthesis
J14 0350  5    by systems with intact thyroid cells in vitro been
J14 0360  3    unequivocally proven. There is some reason to think
J14 0360 11    that thyroglobulin synthesis may proceed independently
J14 0370  5    of iodination, for in certain transplantable tumours
J14 0380  4    of the rat thyroid containing essentially no iodinated
J14 0390  3    thyroglobulin, a protein that appears to be thyroglobulin
J14 0400  1    has been observed in ultracentrifuge experiments (Wolff,
J14 0400  8    Robbins and Rall, 1959). Similar findings have been
J14 0410  8    noted in a patient with congenital absence of the organification
J14 0420  6    enzymes, whose thyroid tissue could only concentrate
J14 0430  4    iodide. In addition, depending on availability of dietary
J14 0440  3    iodine, thyroglobulin may contain varying quantities
J14 0440  9    of iodine.
J14 0450  2    _D. SECRETION_
J14 0450  4       Since the circulating thyroid hormones are the amino
J14 0460  3    acids thyroxine and tri-iodothyronine (cf& Section
J14 0460 10    C), it is clear that some mechanism must exist in the
J14 0470 11    thyroid gland for their release from proteins before
J14 0480  5    secretion. The presence of several proteases and peptidases
J14 0490  3    has been demonstrated in the thyroid. One of the proteases
J14 0500  3    has ~pH optimum of about 3.7 and another of about 5.7
J14 0510  1    (McQuillan, Stanley and Trikojus, 1954; Alpers, Robbins
J14 0510  8    and Rall, 1955). The finding that the concentration
J14 0520  7    of one of these proteases is increased in thyroid glands
J14 0530  6    from ~TSH-treated animals suggests that this protease
J14 0540  4    may be active in vivo. There is no conclusive evidence
J14 0550  2    yet that either of the proteases has been prepared
J14 0550 11    in highly purified form nor is their specificity known.
J14 0560  8    A study of their activity on thyroglobulin has shown
J14 0570  5    that thyroxine is not preferentially released and that
J14 0580  3    the degradation proceeds stepwise with the formation
J14 0590  1    of macromolecular intermediates (Alpers, Petermann
J14 0590  6    and Rall, 1956). Besides proteolytic enzymes the thyroid
J14 0600  6    possesses de-iodinating enzymes. A microsomal de-iodinase
J14 0610  5    with a ~pH optimum of around 8, and requiring reduced
J14 0620  2    triphosphopyridine nucleotide for activity, has been
J14 0630  1    identified in the thyroid (Stanbury, 1957). This de-iodinating
J14 0630 10    enzyme is effective against mono- and di-iodotyrosine,
J14 0640  9    but does not de-iodinate thyroxine or tri-iodothyronine.
J14 0650  5    It is assumed that the iodine released from the iodotyrosines
J14 0660  4    remains in the iodide pool of the thyroid, where it
J14 0670  3    is oxidised and re-incorporated into thyroglobulin.
J14 0670 10    The thyroxine and tri-iodothyronine released by proteolysis
J14 0680  7    and so escaping de-iodination presumably diffuse into
J14 0690  6    the blood stream. It has been shown that thyroglobulin
J14 0700  4    binds thyroxine, but the binding does not appear to
J14 0710  2    be particularly strong. It has been suggested that
J14 0710 10    the plasma thyroxine-binding proteins, which have an
J14 0720  7    extremely high affinity for thyroxine, compete with
J14 0730  4    thyroglobulin for thyroxine (Ingbar and Freinkel, 1957).
J14 0740  2    _E. ANTITHYROID DRUGS_
J14 0740  5       Antithyroid drugs are of two general types. One
J14 0750  4    type has a small univalent anion of the
J14 0750 12    thiocyanate-perchlorate-fluoroboride
J14 0760  1    type. This ion inhibits thyroid hormone synthesis by
J14 0770  2    interfering with iodide concentration in the thyroid.
J14 0770  9    It does not appear to affect the iodinating mechanism
J14 0780  8    as such. The other group of antithyroid agents or drugs
J14 0790  7    is typified by thiouracil. These drugs have no effect
J14 0800  5    on the iodide concentrating mechanism, but they inhibit
J14 0810  2    organification. The mechanism of action of these drugs
J14 0810 10    has not been completely worked out, but certain of
J14 0820  8    them appear to act by reducing the oxidised form of
J14 0830  5    iodine before it can iodinate thyroglobulin (Astwood,
J14 0840  2    1954). On the other hand, there are a few antithyroid
J14 0840 12    drugs of this same general type, such as resorcinol,
J14 0850  9    possessing no reducing activity and possibly acting
J14 0860  5    through formation of a complex with molecular iodine.
J14 0870  2    Any of the antithyroid drugs, of either type, if given
J14 0880  1    in large enough doses for a long period of time will
J14 0880 12    cause goitre, owing to inhibition of thyroid hormone
J14 0890  6    synthesis, with production of hypothyroidism. The anterior
J14 0900  3    lobe of the pituitary then responds by an increased
J14 0910  1    output of ~TSH, causing the thyroid to enlarge. The
J14 0910 10    effect of drugs that act on the iodide-concentrating
J14 0920  9    mechanism can be counteracted by addition of relatively
J14 0930  5    large amounts of iodine to the diet. The antithyroid
J14 0940  3    drugs of the thiouracil type, however, are not antagonised
J14 0950  1    by such means. Besides those of the thiouracil and
J14 0950 10    resorcinol types, certain antithyroid drugs have been
J14 0960  7    found in naturally occurring foods. The most conclusively
J14 0970  5    identified is L-5-vinyl-2-thio-oxazolidone, which was
J14 0980  3    isolated from rutabaga (Greer, 1950). It is presumed
J14 0990  1    to occur in other members of the Brassica family. There
J14 0990 11    is some evidence that naturally occurring goitrogens
J14 1000  6    may play a role in the development of goitre, particularly
J14 1010  4    in Tasmania and Australia (Clements and Wishart, 1956).
J14 1020  4    There it seems that the goitrogen ingested by dairy
J14 1030  1    animals is itself inactive but is converted in the
J14 1030 10    animal to an active goitrogen, which is then secreted
J14 1040  6    in the milk.
J14 1050  1    _F. DIETARY INFLUENCES_
J14 1050  1       Besides the presence of goitrogens in the diet,
J14 1050  9    the level of iodine itself in the diet plays a major
J14 1060  9    role in governing the activity of the thyroid gland.
J14 1070  5    In the experimental animal and in man gross deficiency
J14 1080  2    in dietary iodine causes thyroid hyperplasia, hypertrophy
J14 1080  9    and increased thyroid activity (Money, Rall and Rawson,
J14 1100  8    1952; Stanbury, Brownell, Riggs, Perinetti, Itoiz,
J14 1110  5    and Del Castillo, 1954). In man the normal level of
J14 1120  7    iodine in the diet and the level necessary to prevent
J14 1130  3    development of goitre is about 100 ~|mg per day. With
J14 1140  1    lower levels, thyroid hypertrophy and increased thyroid
J14 1140  8    blood-flow enable the thyroid to accumulate a larger
J14 1150  8    proportion of the daily intake of iodine. Further,
J14 1160  4    the gland is able to re-use a larger fraction of the
J14 1170  3    thyroid hormone de-iodinated peripherally. In the presence
J14 1170 11    of a low iodine intake, thyroglobulin labelled in vivo
J14 1180  9    with **f is found to contain more mono-iodotyrosine
J14 1190  6    than normal, the amounts of di-iodotyrosine and iodothyronines
J14 1200  3    being correspondingly reduced. This appearsto result
J14 1210  2    from both a reduced amount of the iodine substrate
J14 1210 11    and a more rapid secretion of newly iodinated thyroglobulin.
J14 1220  7    If the deficiency persists long enough, it is reasonable
J14 1230  7    to suppose that the **f label will reflect the **f
J14 1240  5    distribution in the thyroglobulin. Similar results
J14 1250  1    might be expected from the influence of drugs or pathological
J14 1250 11    conditions that limit iodide trapping, or organification,
J14 1260  7    or accelerate thyroglobulin proteolysis.
J14 1270  2    #B. THE THYROID-STIMULATING HORMONE#
J14 1270  7    The name thyroid-stimulating hormone (~TSH) has been
J14 1280  8    given to a substance found in the anterior pituitary
J14 1290  6    gland of all species of animal so far tested for its
J14 1300  4    presence. The hormone has also been called thyrotrophin
J14 1310  1    or thyrotrophic hormone. At the present time we do
J14 1310 10    not know by what biochemical mechanism ~TSH acts on
J14 1320  6    the thyroid, but for bio-assay of the hormone there
J14 1330  5    are a number of properties by which its activity may
J14 1340  2    be estimated, including release of iodine from the
J14 1340 10    thyroid, increase in thyroid weight, increase in mean
J14 1350  7    height of the follicular cells and increase in the
J14 1360  5    thyroidal uptake of **f. Here we shall restrict discussion
J14 1370  2    to those methods that appear sufficiently sensitive
J14 1370  9    and precise for determining the concentration of ~TSH
J14 1380  7    in blood. Brown (1959) has reviewed generally the various
J14 1390  7    methods of assaying ~TSH, and the reader is referred
J14 1400  6    to her paper for further information on the subject.
J14 1410  3    #1. CHEMICAL CONSTITUTION AND PHYSICAL PROPERTIES OF
J14 1410 10    PITUITARY ~TSH#
J14 1420  2    As long ago as 1851 it was pointed out by Niepce (1851)
J14 1430  1    that there is a connection between the pituitary and
J14 1430 10    the thyroid.. This connection was clarified by Smith
J14 1440  7    and Smith (1922), who showed that saline extracts of
J14 1450  5    fresh bovine pituitary glands could re-activate the
J14 1460  2    atrophied thyroids of hypophysectomised tadpoles. The
J14 1460  8    first attempts to isolate ~TSH came a decade later,
J14 1470  8    when Janssen and Loeser (1931) used trichloroacetic
J14 1480  4    acid to separate the soluble ~TSH from insoluble impurities.
J14 1490  4    After their work other investigators applied salt-fractionation
J14 1500  3    techniques to the problem, as well as fractionation
J14 1510  1    with organic solvents, such as acetone. Albert (1949)
J14 1510  9    has concluded that the most active preparations of
J14 1520  7    ~TSH made during this period, from 1931 to 1945, were
J14 1530  6    probably about 100 to 300 times as potent as the starting
J14 1540  4    material. Much of this work has been reviewed by White
J14 1550  2    (1944) and by Albert (1949). Developments up to about
J14 1550 11    1957 have been discussed by Sonenberg (1958).
J14 1560  6       In the last few years, the application of chromatographic
J14 1570  5    and other modern techniques to the problem of isolating
J14 1580  4    ~TSH has led to further purification (Bates and Condliffe,
J14 1590  3    1960; Pierce, Carsten and Wynston, 1960). The most
J14 1600  1    active preparations obtained by these two groups of
J14 1600  9    investigators appear to be similar in potency, composition
J14 1610  8    and physical properties.
J14 1620  1       Two problems present themselves in considering any
J14 1620  8    hormone in blood. First, is the circulating form of
J14 1630  8    the hormone the same as that found in the gland where
J14 1640  6    it is synthesised and stored? Second, what is its concentration
J14 1650  4    in normal circumstances and in what circumstances will
J14 1660  2    this concentration depart from the normal level and
J14 1660 10    in which direction? It is therefore necessary to consider
J14 1670  7    the properties of pituitary ~TSH if the fragmentary
J14 1680  5    chemical information about blood ~TSH is to be discussed
J14 1690  6    rationally. The importance of knowing in what chemical
J14 1700  3    forms the hormone may exist is accentuated by the recent
J14 1710  1    observation that there exists an abnormally long-acting
J14 1710  9    ~TSH in blood drawn from many thyrotoxic patients (Adams,
J14 1720  8    1958). Whether this abnormal ~TSH differs chemically
J14 1730  5    from pituitary ~TSH, or is, alternatively, normal ~TSH
J14 1740  5    with its period of effectiveness modified by some other
J14 1750  4    blood constituent, cannot be decided without chemical
J14 1760  1    study of the activity in the blood of these patients
J14 1760 11    and a comparison of the substance responsible for the
J14 1770  7    blood activity with pituitary ~TSH.
J14 1780  2       In evaluating data on the concentration of ~TSH
J14 1790  1    in blood, one must examine critically the bio-assay
J14 1790 10    methods used to obtain them. The introduction of the
J14 1800  8    United States Pharmacopoeia reference standard in 1952
J14 1810  5    and the redefinition and equating of the ~USP and international
J14 1820  4    units of thyroid-stimulating activity have made it
J14 1830  3    possible to compare results published by different
J14 1830 10    investigators since that time. We should like to re-emphasise
J14 1840 10    the importance of stating results solely in terms of
J14 1850  7    international units of ~TSH activity and of avoiding
J14 1860  4    the re-introduction of biological units. For the most
J14 1870  3    part, this discussion will be confined to results obtained
J14 1870 12    since the introduction of the reference standard.
J14 1890  1    _A. STANDARD PREPARATIONS AND UNITS OF THYROID-STIMULATING
J14 1890  6    ACTIVITY_
J14 1890  7       The international unit (u&), adopted to make possible
J14 1900  6    the comparison of results from different laboratories
J14 1910  2    (Mussett and Perry, 1955), has been defined as the
J14 1920  1    amount of activity present in 13.5 ~mg of the International
J14 1920 11    Standard Preparation. The international unit is equipotent
J14 1930  7    with the ~USP unit adopted in 1952, which was defined
J14 1940  8    as the amount of activity present in 20 ~mg of the
J14 1950  7    ~USP reference substance.
J15 0010  1    #INTRODUCTION#
J15 0010  2    Muscle weakness is now recognized as an uncommon though
J15 0020  1    serious complication of steroid therapy, with most
J15 0020  8    of the synthetic adrenal corticosteroids in clinical
J15 0030  5    use. Although biopsies have shown structural changes
J15 0040  4    in some of the reported cases of steroid-induced weakness,
J15 0050  2    this case provides the only example known to us in
J15 0050 12    which necropsy afforded the opportunity for extensive
J15 0060  7    study of multiple muscle groups. The case described
J15 0070  5    in this paper is that of an older man who developed
J15 0080  3    disabling muscular weakness while receiving a variety
J15 0080 10    of steroids for a refractory anemia.
J15 0090  6    #REPORT OF CASE#
J15 0090  9    This patient was a 65-year-old white male accountant
J15 0100  9    who entered the New York Hospital for his fourth and
J15 0110  5    terminal admission on June 26, 1959, because of disabling
J15 0120  3    weakness and general debility.
J15 0120  7       In 1953 the patient developed an unexplained anemia
J15 0130  5    for which 15 blood transfusions were given over a period
J15 0140  5    of 4 years. Splenomegaly was first noted in 1956, and
J15 0150  2    a sternal marrow biopsy at that time showed "scattered
J15 0150 11    foci of fibrosis" suggestive of myelofibrosis. No additional
J15 0160  8    transfusions were necessary after the institution of
J15 0170  7    prednisone in July, 1957, in an initial dose of 40
J15 0180  7    mg& daily with gradual tapering to 10 mg& daily. This
J15 0190  3    medication was continued until February, 1958.
J15 0200  1       In February, 1958, the patient suffered a myocardial
J15 0200  8    infarction complicated by pulmonary edema. Additional
J15 0210  5    findings at this time included cardiomegaly, peripheral
J15 0220  3    arteriosclerosis obliterans, and cholelithiasis. The
J15 0230  2    hemoglobin was 11.6 gm&. Therapy included digitalization
J15 0230  9    and anticoagulation. Later, chlorothiazide and salt
J15 0240  6    restriction became necessary to control the edema of
J15 0250  7    chronic congestive failure.
J15 0260  1       Because of increasing anemia, triamcinolone, 8 mg&
J15 0260  8    daily, was started on Feb& 23, 1958, and was continued
J15 0270  8    until july, 1958. In september, 1958, the patient developed
J15 0280  5    generalized weakness and fatigue which was concurrent
J15 0290  3    with exacerbation of his anemia; the hemoglobin was
J15 0300  1    10.6 gm&. In an attempt to reverse the downhill trend
J15 0300 11    by stimulating the bone marrow and controlling any
J15 0310  7    hemolytic component, triamcinolone, 16 mg& daily, was
J15 0320  5    begun on Sept& 26, 1958, and continued until Feb& 18,
J15 0330  3    1959. At first the patient felt stronger, and the hemoglobin
J15 0340  1    rose to 13.8 gm&, but on Oct& 20, 1958, he complained
J15 0340 12    of "caving in" in his knees. By Nov& 8, 1958, weakness,
J15 0350 10    specifically involving the pelvic and thigh musculature,
J15 0360  7    was pronounced, and a common complaint was "difficulty
J15 0370  4    in stepping up on to curbs". Prednisone, 30 mg& daily,
J15 0380  4    was substituted for triamcinolone from Nov& 22 until
J15 0390  3    Dec& 1, 1958, without any improvement in the weakness.
J15 0390 12    Serum potassium at this time was 3.8 mEq& per liter,
J15 0400 10    and the hemoglobin was 13.9 gm& By Dec& 1, 1958, the
J15 0410  9    weakness in the pelvic and quadriceps muscle groups
J15 0420  4    was appreciably worse, and it became difficult for
J15 0430  2    the patient to rise unaided from a sitting or reclining
J15 0430 12    position. Triamcinolone, 16 mg& daily, was resumed
J15 0440  7    and maintained until Feb& 18, 1959. Chlorothiazide
J15 0450  4    was omitted for a 2-week period, but there was no change
J15 0460  4    in the muscle weakness.
J15 0460  8       At this time a detailed neuromuscular examination
J15 0470  3    revealed diffuse muscle atrophy that was moderate in
J15 0480  3    the hands and feet, but marked in the shoulders, hips,
J15 0480 13    and pelvic girdle, with hypoactive deep-tendon reflexes.
J15 0490  8    No fasciculations or sensory defects were found. Electromyography
J15 0500  7    revealed no evidence of lower motor neuron disease.
J15 0510  6    Thyroid function tests yielded normal results. The
J15 0520  3    protein-bound iodine was 6.6|mg& %, and the radioactive
J15 0530  1    iodine uptake over the thyroid gland was 46% in 24
J15 0530 11    hours, with a conversion ratio of 12%. A Schilling
J15 0540  9    test demonstrated normal absorption of vitamin **f.
J15 0550  5    In February, 1959, during the second admission to The
J15 0560  4    New York Hospital, a biopsy specimen of the left gastrocnemius
J15 0570  2    showed striking increase in the sarcolemmal sheath
J15 0570  9    nuclei and shrunken muscle fibers in several sections.
J15 0580  8    Serial serum potassium levels remained normal; the
J15 0590  5    serum glutamic oxaloacetic transaminase was 10 units
J15 0600  4    per ml& per min&. The clinical impression at this time
J15 0610  2    was either muscular dystrophy or polymyositis.
J15 0610  8       On Feb& 12, 1959, purified corticotropin (~ACTH
J15 0620  6    Gel), 20 units daily intramuscularly, was started but
J15 0630  5    had to be discontinued 3 weeks later because of excessive
J15 0640  4    fluid retention. From March 3 to May 1, 1949, the patient
J15 0650  3    was maintained on dexamethasone, 3 to 6 mg& daily.
J15 0650 12    In May 1959, prednisone, 30 mg& daily, replaced the
J15 0660  9    dexamethasone. Muscle weakness did not improve, and
J15 0670  6    the patient needed first a cane, then crutches. In
J15 0680  3    spite of normal thyroid function tests, a trial of
J15 0680 12    propylthiouracil, 400 mg& daily for one week, was given
J15 0690  9    but served only to intensify muscle weakness. Repeated
J15 0700  6    attempts to withdraw steroids entirely were unsuccessful
J15 0710  4    because increased muscle weakness resulted, as well
J15 0720  3    as fever, malaise, anorexia, anxiety, and an exacerbation
J15 0720 11    of the anemia. These reactions were interpreted as
J15 0730  8    being manifestations of hypoadrenocorticism.
J15 0740  3       Severe back pain in June, 1959, prompted a third
J15 0750  3    hospital admission. Extensive osteoporosis with partial
J15 0760  1    collapse of ~D8 was found. A high-protein diet, calcium
J15 0760 11    lactate supplements, and norethandrolone failed to
J15 0770  5    change the skeletal complaint or the severe muscle
J15 0780  5    weakness.
J15 0780  6       The terminal hospital admission on June 27, 1959,
J15 0790  5    was necessitated by continued weakness and debility
J15 0800  1    complicated by urinary retention and painful thrombosed
J15 0800  8    hemorrhoids. X-ray films of the vertebral column showed
J15 0810  9    progression of the demineralization. On July 4, 1959,
J15 0820  5    the patient developed marked abdominal pain and distension,
J15 0830  4    went into shock, and died.
J15 0830  9    #FINDINGS AT NECROPSY#
J15 0840  1    The body was that of a well-developed, somewhat debilitated
J15 0840 11    white man weighing 108 lb& There were bilateral pterygia
J15 0850  9    and arcus senilis, and the mouth was edentulous.
J15 0860  6       The heart weighed 510 gm&, and at the outflow tracts
J15 0870  6    the left and right ventricles measured 19 and 3 mm&,
J15 0880  4    respectively. The coronary arteries were sclerotic
J15 0880 10    and diffusely narrowed throughout their courses, and
J15 0890  7    the right coronary artery was virtually occluded by
J15 0900  5    a yellow atheromatous plaque 1.5 cm& distal to its
J15 0910  3    origin. The myocardium of the posterior base of the
J15 0910 12    left ventricle was replaced by gray scar tissue over
J15 0920  9    a 7.5 cm& area. The valves were normal except for thin
J15 0930  7    yellow plaques on the inferior surface of the mitral
J15 0940  4    leaflets. Microscopically, sections from the posterior
J15 0950  1    base of the left ventricle of the heart showed several
J15 0950 11    large areas of replacement of muscle by fibrous tissue.
J15 0960  8    In addition, other sections contained focal areas of
J15 0970  5    recent myocardial necrosis that were infiltrated with
J15 0980  2    neutrophils. Many of the myocardial fibers were hypertrophied
J15 0990  1    and had large, irregular, basophilic nuclei. The intima
J15 0990  9    of the larger coronary arteries was thickened by fibrous
J15 1000  8    tissue containing fusiform clefts and mononuclear cells.
J15 1010  6       The intimal surface of the aorta was covered with
J15 1020  6    confluent, yellow-brown, hard, friable plaques along
J15 1030  2    its entire course, and there was a marked narrowing
J15 1030 11    of the orifices of the large major visceral arteries.
J15 1040  7    In particular, the orifices of the right renal and
J15 1050  6    celiac arteries were virtually occluded, and both calcified
J15 1060  3    common iliac arteries were completely occluded.
J15 1070  1       The lungs weighed together 950 gm&. On the surfaces
J15 1070 10    of both lungs there were emphysematous blebs measuring
J15 1080  6    up to 3 cm& in diameter. The parenchyma was slightly
J15 1090  5    hyperemic in the apex of the left lung, and there were
J15 1100  4    several firm, gray, fibrocalcific nodules measuring
J15 1100 10    as large as 3 mm&. Microscopically, there was emphysema,
J15 1110  9    fibrosis, and vascular congestion. Macrophages laden
J15 1120  5    with brown pigment were seen in some of the alveoli,
J15 1130  6    and the intima of some of the small arteries was thickened
J15 1140  2    by fibrous tissue.
J15 1140  5       The firm red spleen weighed 410 gm&, and its surface
J15 1150  5    was mottled by discrete, small patches of white material.
J15 1160  2    The endothelial cells lining the sinusoids were prominent,
J15 1170  1    and many contained large quantities of hemosiderin.
J15 1170  8    Some of the sinusoids contained large numbers of nucleated
J15 1180  6    red cells, and cells of the granulocytic series were
J15 1190  4    found in small numbers. There were slight fibrosis
J15 1200  2    and marked arteriolosclerosis.
J15 1200  5       The liver weighed 2,090 gm&, was brown in color,
J15 1210  6    and the cut surface was mottled by irregular pale areas.
J15 1220  3    Microscopically, there was hyperemia of the central
J15 1220 10    veins, and there was some atrophy of adjacent parenchyma.
J15 1230  9    Some liver cord cells contained vacuolated cytoplasm,
J15 1240  5    while others had small amounts of brown hemosiderin
J15 1250  4    pigment.
J15 1250  5       The gallbladder contained about 40 cc& of green-brown
J15 1260  6    bile and 3 smooth, dark-green calculi measuring up
J15 1270  2    to 1 cm& in diameter.
J15 1270  7       The mucosa of the stomach was atrophic and irregularly
J15 1280  4    blackened over a 14 cm& area. The small and large intestines
J15 1290  3    were filled with gas, and the jejunum was dilated to
J15 1300  1    about 2 times its normal circumference. The small intestine
J15 1300 10    and colon contained approximately 300 cc& of foul-smelling,
J15 1310  8    sanguineous material, and the mucosa throughout was
J15 1320  6    hyperemic and mottled green-brown. A careful search
J15 1330  4    failed to show occlusion of any of the mesenteric vessels.
J15 1340  2    Microscopically, the mucosa of the stomach showed extensive
J15 1350  1    cytolysis and contained large numbers of Gram-negative
J15 1350  9    bacterial rods. The submucosa was focally infiltrated
J15 1360  6    with neutrophils. The mucosa of the jejunum and ileum
J15 1370  6    showed similar changes, and in some areas the submucosa
J15 1380  2    was edematous and contained considerable numbers of
J15 1380  9    neutrophils. Some of the small vessels were filled
J15 1390  8    with fibrin thrombi, and there was extensive interstitial
J15 1400  5    hemorrhage. A section of the colon revealed intense
J15 1410  3    hyperemia and extensive focal ulcerations of the mucosa,
J15 1420  1    associated with much fibrin and many neutrophils. Cultures
J15 1420  9    taken from the jejunum yielded Monilia albicans, Pseudomonas
J15 1430  8    pyocanea, Aerobacter aerogenes, and Streptococcus anhemolyticus.
J15 1440  5       The kidneys were pale and weighed right, 110 gm&,
J15 1450  8    and left, 230 gm&. The surfaces were coarsely and finely
J15 1460  6    granular and punctuated by clear, fluid-filled cysts
J15 1470  2    measuring up to 3 cm& in diameter. On the surface of
J15 1480  2    the right kidney there were also 2 yellow, firm, friable
J15 1480 12    raised areas measuring up to 2 cm& in diameter. Microscopically,
J15 1490  9    both kidneys showed many small cortical scars in which
J15 1500  8    there was glomerular and interstitial fibrosis, tubular
J15 1510  3    atrophy, and an infiltration of lymphocytes and plasma
J15 1520  3    cells. Occasional tubules contained hyaline casts admixed
J15 1530  1    with neutrophils. Throughout, there were marked
J15 1530  7    arteriolosclerosis
J15 1540  1    and hyalinization of afferent glomerular arterioles.
J15 1540  7    These changes were more marked in the atrophic right
J15 1550  8    kidney than in the left. In addition, there were 2
J15 1560  4    small papillary adenomas in the right kidney.
J15 1570  1       The bone of the vertebral bodies, ribs, and sternum
J15 1570 10    was soft and was easily compressed. The marrow of the
J15 1580  8    vertebral bodies was pale and showed areas of fatty
J15 1590  5    replacement. Microscopically, there were many areas
J15 1600  2    of hypercellularity alternating with areas of hypocellularity.
J15 1610  1    The cells of the erythroid, myeloid, and megakaryocytic
J15 1610  9    series were normal except for their numbers. There
J15 1620  6    was no evidence of fibrosis. The muscles of the extremities,
J15 1630  5    chest wall, neck, and abdominal wall were soft, pale,
J15 1640  3    and atrophic.
J15 1640  5       Microscopic studies of the gastrocnemius, pectoralis
J15 1650  2    major, transversus abdominis, biceps brachii, and diaphragm
J15 1660  1    showed atrophy as well as varying degrees of injury
J15 1660 10    ranging from swelling and vacuolization to focal necrosis
J15 1670  7    of the muscle fibers. These changes were most marked
J15 1680  6    in the gastrocnemius and biceps and less evident in
J15 1690  3    the pectoralis, diaphragm, and transversus.
J15 1690  8       In the gastrocnemius and biceps there were many
J15 1700  7    swollen and homogeneous necrotic fibers such as that
J15 1710  5    shown in Figure 2. Such swollen fibers were deeply
J15 1720  2    eosinophilic, contained a few pyknotic nuclei, and
J15 1720  9    showed loss of cross-striations, obliteration of myofibrils,
J15 1730  7    and prominent vacuolization. The necrosis often involved
J15 1740  5    only a portion of the length of a given fiber, and
J15 1750  5    usually the immediately adjacent fibers were normal.
J15 1760  1    As shown in Figure 3, the protoplasm of other fibers
J15 1760 11    was pale, granular, or flocculated and invaded by phagocytes.
J15 1770  7    Inflammatory cells were strikingly absent. In association
J15 1780  6    with these changes in the fibers, there were striking
J15 1790  4    alterations in the muscle nuclei. These were increased
J15 1800  2    both in number and in size, contained prominent nucleoli,
J15 1810  1    and were distributed throughout the fiber (Figs& 2-5).
J15 1810 10    In contrast to the nuclear changes described above,
J15 1820  7    another change in muscle nuclei was seen, usually occurring
J15 1830  5    in fibers that were somewhat smaller than normal but
J15 1840  3    that showed distinct cross-striations and myofibrillae.
J15 1850  1    The nuclei of these fibers, as is shown in Figures
J15 1850 11    3 and 4, showed remarkable proliferation and were closely
J15 1860  5    approximated, forming a chainlike structure at either
J15 1870  4    the center or the periphery of the fiber. Individual
J15 1880  1    nuclei were usually oval to round, though occasionally
J15 1880  9    elongated, and frequently small and somewhat pyknotic.
J15 1890  7    At times, clumps of 10 to 15 closely-packed nuclei
J15 1900  7    were also observed. Occasionally there were small basophilic
J15 1910  4    fibers that were devoid of myofibrillae and contained
J15 1920  1    many vesicular nuclei with prominent nucleoli (Fig&
J15 1920  8    5). These were thought to represent regenerating fibers.
J15 1930  7    Trichrome stains failed to show fibrosis in the involved
J15 1940  7    muscles. In all of the sections examined, the arterioles
J15 1950  4    and small arteries were essentially normal.
J16 0010  1    _PURIFICATION OF THE CONJUGATES_
J16 0010  5       In attempting to improve specificity of staining,
J16 0020  3    the fluorescein-labeled antisera used in both direct
J16 0030  1    and indirect methods were treated in one of several
J16 0030 10    ways: (1) They were passed through Dowex-2-chloride
J16 0040  7    twice and treated with acetone insoluble powders (Coons,
J16 0050  4    1958) prepared from mouse liver or from healthy sweet
J16 0060  2    clover stems or crown gall tissue produced by Agrobacterium
J16 0070  1    tumefaciens (E& F& Smith + Townsend) Conn, on sweet
J16 0070 10    clover stems. (2) The conjugates as well as the intermediate
J16 0090  9    sera were absorbed for 30 minutes with 20-50 ~mg of
J16 0100  9    proteins extracted from healthy sweet clover stems.
J16 0110  3    The proteins were extracted with 3 volumes of **f in
J16 0120  1    **f to give a nearly neutral extract and precipitated
J16 0120 10    by 80% saturation with **f. The precipitate was washed
J16 0130  7    twice with an 80% saturated solution of **f, dissolved
J16 0140  5    in a small quantity of 0.1 ~M neutral phosphate buffer,
J16 0150  3    dialyzed against cold distilled water till free from
J16 0160  2    ammonium ions, and lyophilized using liquid nitrogen.
J16 0160  9    (3) In other experiments the indirect conjugate was
J16 0170  6    treated with 3 volumes of ethyl acetate as recommended
J16 0180  5    by Dineen and Ade (1957). (4) The conjugates were passed
J16 0190  3    through a diethylaminoethyl (~DEAE-) cellulose column
J16 0200  2    equilibrated with neutral phosphate buffer (~PBS) containing
J16 0210  1    **f potassium phosphate and **f.
J16 0220  1    _PREPARATION OF FROZEN SECTIONS_
J16 0220  1       The technique of cutting sections was essentially
J16 0220  8    the same as that described by Coons et al& (1951).
J16 0230  7    Root and stem tumors from sweet clover plants infected
J16 0250  5    with ~WTV were quick-frozen in liquid nitrogen, embedded
J16 0260  3    in ice, and cut at 3-6 ~|m in a cryostat maintained
J16 0270  1    at -16` to -20`. The sections were mounted on cold
J16 0270 13    slides smeared with Haupts' adhesive (Johansen, 1940)
J16 0280  7    in earlier experiments, and in later experiments with
J16 0290  6    a different mixture of the same components reported
J16 0300  2    by Schramm and Ro^ttger (1959). The latter adhesive
J16 0310  1    was found to be much more satisfactory. The sections
J16 0310 10    were then thawed by placing a finger under the slide
J16 0320  9    and dried under a fan for 30 minutes; until used they
J16 0330  6    were stored for as long as 2 weeks.
J16 0340  1    _STAINING TECHNIQUE_
J16 0340  2       _INDIRECT METHOD._
J16 0340  4       The sections were fixed in acetone for 15 minutes
J16 0360  5    and dried at 37` for 30 minutes. Some of them were
J16 0370  2    then covered with a drop of **f in a moist chamber
J16 0370 13    at 24` for 30-40 minutes. As controls other sections
J16 0380  8    were similarly covered with ~NS. Sections were then
J16 0390  5    washed with ~PBS for 15-30 minutes. After blotting
J16 0400  3    out most of the saline around the sections, a drop
J16 0410  1    of **f was layered over each of the sections, allowed
J16 0410 11    to react for 30 minutes, and then washed with ~PBS
J16 0420  7    for 15-30 minutes. After blotting out most of the liquid
J16 0430  6    around the sections, the latter were mounted in buffered
J16 0440  3    glycerine (7 parts glycerine to 3 parts of ~PBS).
J16 0450  1    _DIRECT METHOD._
J16 0450  3       After drying the sections under the fan, fixing
J16 0460  1    in acetone, and drying at 37` as in the indirect method,
J16 0460 12    the sections were treated with conjugated **f or **f
J16 0470  8    (undiluted unless mentioned otherwise) for 5-30 minutes.
J16 0480  6    As controls, other sections were similarly treated
J16 0490  2    with **f or conjugated antiserum to the New York strain
J16 0490 12    of potato yellow-dwarf virus (Wolcyrz and Black, 1956).
J16 0500  9    The sections were then washed with ~PBS for 15-30 minutes
J16 0510 10    and mounted in buffered glycerine.
J16 0520  2    _FLUORESCENCE MICROSCOPY_
J16 0520  4       Stained or unstained sections were examined under
J16 0530  4    dark field illumination in a Zeiss fluorescence microscope
J16 0540  2    equipped with a mercury vapor lamp (Osram ~HBO 200).
J16 0550  2    The light beam from the lamp was filtered through a
J16 0550 12    half-standard thickness Corning 1840 filter. In the
J16 0560  7    eyepiece a Wratten 2 ~B filter was used to filter off
J16 0570  7    residual ultra-violet light. A red filter, Zeiss barrier
J16 0580  3    filter with the code (Schott) designation ~BG 23, was
J16 0590  3    also used in the ocular lens assembly as it improved
J16 0590 13    the contrast between specific and nonspecific fluorescence.
J16 0600  6    #RESULTS#
J16 0610  1    _SPECIFICITY OF STAINING_
J16 0610  3       _INDIRECT METHOD._
J16 0610  5       In the first few experiments **f was passed through
J16 0620  5    Dowex-2-chloride twice and absorbed twice with 50-100
J16 0630  5    ~mg sweet clover tissue powder. The intermediate sera
J16 0640  2    were also similarly absorbed with tissue powder. Sections
J16 0640 10    of sweet clover stem and root tumors were treated with
J16 0650  9    1:10 solution of **f for 30 minutes, washed in buffered
J16 0660  7    saline for 15 minutes, stained with **f for 30 minutes,
J16 0670  5    and washed for 15 minutes in ~PBS. Such sections showed
J16 0680  2    bright yellow-green specific fluorescence in the cells
J16 0690  1    of the pseudophloem tissue (Lee and Black, 1955). This
J16 0690 10    specific fluorescence was readily distinguished from
J16 0700  5    the light green nonspecific fluorescence in consecutive
J16 0710  3    sections stained with 1:10 dilution of ~NS and **f
J16 0720  3    or with **f alone. Unstained sections mounted in buffered
J16 0730  1    glycerine or sections treated only with ~NS or **f
J16 0730 10    did not show such green fluorescence. Sections of crown
J16 0740  7    gall tissue similarly stained with either **f and **f
J16 0750  6    or ~NS and **f also showed only the light green nonspecific
J16 0760  3    fluorescence. However, the nonspecific staining by
J16 0770  2    the **f in tumor sections was considered bright enough
J16 0770 11    to be confused with the staining of small amounts of
J16 0780  8    ~WTV antigen.
J16 0790  1       Two absorptions of **f with ethyl acetate or two
J16 0790 10    absorptions of **f (which had been passed through
J16 0800  5    Dowex-2-chloride),
J16 0800  8    ~NS and **f with crown gall tissue powder, or mouse
J16 0810  7    liver powder did not further improve the specificity
J16 0820  3    of staining. Treatment of all the sera with sweet clover
J16 0830  2    proteins greatly reduced nonspecific fluorescence,
J16 0830  7    especially when the treated conjugate was diluted to
J16 0840  7    1:2 with 0.85% saline. In all the above procedures,
J16 0850  5    when the intermediate sera were diluted to 1:10 or
J16 0860  3    1:100 with 0.85% saline, the specific and nonspecific
J16 0860 11    fluorescence were not appreciably reduced, whereas,
J16 0870  6    a dilution of the intermediate sera to 1:500 or diluting
J16 0880  6    the **f to 1:5 greatly reduced specific fluorescence.
J16 0890  3    Rinsing the sections with ~PBS before layering the
J16 0910  2    intermediate sera did not improve the staining reaction.
J16 0910 10    In addition to other treatments, treating the sections
J16 0920  7    with normal sheep serum for half an hour before layering
J16 0930  7    **f did not reduce nonspecific staining.
J16 0940  1       The only treatment by which nonspecific staining
J16 0940  8    could be satisfactorily removed was by passing the
J16 0950  6    conjugate through a ~DEAE-cellulose column. When 1
J16 0960  4    ~ml of conjugate was passed through a column (**f),
J16 0980  2    the first and second milliliter fractions collected
J16 0980  9    were the most specific and gave no nonspecific staining
J16 0990  7    in some experiments, and very little in others. In
J16 1000  6    the latter cases an additional treatment of the
J16 1010  2    ~DEAE-cellulose-treated
J16 1010  5    **f with 50 ~mg of sweet clover stem tissue powder
J16 1020  3    further improved the specificity. After these treatments
J16 1030  1    the conjugate did not stain healthy or crown gall sweet
J16 1030 11    clover tissues or stained them a very faint green which
J16 1040  9    was easily distinguishable from the bright yellow-green
J16 1050  6    specific staining. With this purified conjugate the
J16 1060  3    best staining procedure consisted of treating the sections
J16 1070  1    with 1:10 dilution of **f for 30 minutes, washing with
J16 1070 11    ~PBS for 15 minutes, staining with **f for 30 minutes,
J16 1080 10    and washing with ~PBS for 15 minutes. The specificity
J16 1090  7    of staining in ~WTV tumors with **f and **f but not
J16 1100  7    with ~NS and **f or with antiserum to potato yellow-dwarf
J16 1110  4    virus and **f, and the absence of such staining in
J16 1120  2    crown gall tumor tissue from sweet-clover, indicate
J16 1120 10    that an antigen of ~WTV was being stained.
J16 1130  6    _DIRECT METHOD._
J16 1130  8       **f was first conjugated with 50 ~mg of ~FITC per
J16 1140  7    gram of globulin. This conjugate was passed twice through
J16 1150  5    Dowex-2-chloride and treated with various tissue powders
J16 1160  3    in the same manner as described for the indirect method.
J16 1170  1    In all cases a disturbing amount of nonspecific staining
J16 1170 10    was still present although it was still distinguishable
J16 1180  7    from specific fluorescence.
J16 1190  1       In later experiments, **f and **f were prepared
J16 1190  9    by conjugating 8 ~mg of ~FITC per gram of globulin.
J16 1200  9    These conjugates **f had much less nonspecific staining
J16 1210  7    than the previous conjugate (with 50 ~mg ~FITC per
J16 1220  5    gram of globulin) while the specific staining was similar
J16 1230  3    in both cases. Nonspecific staining could be satisfactorily
J16 1240  1    eliminated by passing these conjugates through a ~DEAE-cellulose
J16 1250  1    column as described for **f. The best staining procedure
J16 1250 10    with this purified **f consisted of staining with the
J16 1260  9    conjugate for 30 minutes and washing in ~PBS for 15
J16 1270  8    minutes. The specificity of staining with **f was established
J16 1280  6    as follows: **f specifically stained tumor sections
J16 1290  3    but not sections of healthy sweet clover stems or of
J16 1300  2    crown gall tumor tissue from sweet clover. Sections
J16 1300 10    of tumors incited by ~WTV were not similarly stained
J16 1310  7    with conjugated normal serum or conjugated antiserum
J16 1320  4    to potato yellow-dwarf virus.
J16 1320  9       After passing **f through ~DEAE-cellulose, the titer
J16 1340  8    of antibodies to ~WTV in the specific fraction was
J16 1350  7    1:4 of the titer before such passage (precipitin ring
J16 1360  4    tests by R& F& Whitcomb); but mere dilution of the
J16 1370  3    conjugate to 1:4 did not satisfactorily remove nonspecific
J16 1380  1    staining. This indicates that increase in specificity
J16 1380  8    of **f after passing it through ~DEAE-cellulose was
J16 1390  7    not merely due to dilution.
J16 1400  1       Specific staining by ~DEAE-cellulose treated **f
J16 1410  1    and **f, although clearly distinguishable under the
J16 1410  8    microscope from either nonspecific staining or autofluorescence
J16 1420  5    of cells, was not satisfactorily photographed to show
J16 1430  4    such differences in spite of many attempts with black
J16 1440  3    and white and color photography. This was chiefly because
J16 1450  1    of the bluish white autofluorescence from the cells.
J16 1450  9    The autofluorescence from the walls of the xylem cells
J16 1460  8    was particularly brilliant.
J16 1470  1    _DISTRIBUTION OF VIRUS ANTIGEN_
J16 1470  5       Results of specific staining by the direct and the
J16 1480  4    indirect methods were similar and showed the localization
J16 1490  1    of ~WTV antigen in certain tissues of tumors. The virus
J16 1490 11    antigen was concentrated in the pseudophloem tissue.
J16 1500  7    Frequently a few isolated thick-walled cells or, rarely,
J16 1510  6    groups of such cells in the xylem region, were also
J16 1520  3    specifically stained, but there was no such staining
J16 1530  1    in epidermis, cortex, most xylem cells, ray cells,
J16 1530  9    or pith.
J16 1530 11       Within the pseudophloem cells the distribution of
J16 1540  7    ~WTV antigen was irregular in the cytoplasm. No antigen
J16 1550  7    was detectable in certain dark spherical areas in most
J16 1560  5    cells. These areas are thought to represent the nuclei.
J16 1570  2    In some tumor sections small spherical bodies, possibly
J16 1570 10    inclusion bodies (Littau and Black, 1952) stained more
J16 1580  8    intensely than the rest of cytoplasm and probably contained
J16 1590  8    more antigen. In all cases studied tissues of the stem
J16 1600  6    on which the tumor had developed did not contain detectable
J16 1610  3    amounts of ~WTV antigen.
J16 1610  7    #DISCUSSION#
J16 1610  8    In both the direct and indirect methods of staining,
J16 1620  9    the conjugates had nonspecifically staining fractions.
J16 1630  4    In the indirect method, this was evident from the fact
J16 1640  5    that tumor sections were stained light green even when
J16 1650  3    stained with ~NS and **f or with **f only. In the direct
J16 1660  1    method, **f, not further treated, stained certain tissues
J16 1660  9    of healthy sweet clover stems nonspecifically and ~WTV
J16 1670  7    tumor sections were similarly stained by comparable
J16 1680  4    **f. After **f and **f were passed through Dowex-2-chloride
J16 1690  4    twice and treated twice with healthy sweet clover tissue
J16 1700  2    powder, nonspecific staining was greatly reduced but
J16 1700  9    a disturbing amount of such staining was still present.
J16 1710  8    Treatment of the conjugates with ethyl acetate, and
J16 1720  5    the conjugates (which had been passed through Dowex-2-chloride)
J16 1730  5    with mouse liver powder, sweet clover crown gall tissue
J16 1740  3    powder, or healthy sweet clover proteins did not satisfactorily
J16 1750  1    remove nonspecifically staining substances in the conjugates.
J16 1750  8    Such treatments of the conjugates have usually been
J16 1760  8    successful in eliminating nonspecific staining in several
J16 1770  5    other systems (Coons, 1958). Schramm and Ro^ttger (1959)
J16 1790  4    did not report any such nonspecific staining of plant
J16 1810  3    tissues with fluorescein isocyanate-labeled antiserum
J16 1810  9    to tobacco mosaic virus. The reason for the failure
J16 1820  8    of these treatments to eliminate nonspecific staining
J16 1830  4    in the conjugates in our system is not known.
J16 1840  2       In our work the best procedure for removing substances
J16 1850  1    causing nonspecific staining in order to obtain specific
J16 1850  9    conjugates was to pass the conjugates through a ~DEAE-cellulose
J16 1860  1    column and in some cases to absorb the first and second
J16 1870  1    milliliter fractions with sweet clover tissue powder.
J16 1870  8       The specific staining by both direct and indirect
J16 1880  7    methods showed that ~WTV antigen was concentrated in
J16 1890  4    the pseudophloem tissue and in a few thick-walled cells
J16 1900  2    in the xylem region, but was not detectable in any
J16 1900 12    other tissues of the root and stem tumors. A study
J16 1910 10    of the distribution of ~WTV antigen within the pseudophloem
J16 1920  5    cells indicates that it is irregularly distributed
J16 1930  2    in the cytoplasm.
J16 1930  5       Wound-tumor virus is a leafhopper transmitted virus
J16 1940  3    not easily transmissible by mechanical inoculation
J16 1970  1    (Black, 1944; Brakke et al&, 1954). The concentration
J16 1971  1    and apparent localization of the ~WTV antigen in pseudophloem
J16 1980  9    tissue of the tumor may indicate that the virus preferentially
J16 1990 10    multiplies in the phloem and may need to be directly
J16 2000 10    placed in this tissue in order to infect plants.
J17 0010  1       Since emotional reactions in the higher vertebrates
J17 0010  8    depend on individual experience and are aroused in
J17 0020  7    man, in addition, by complex symbols, one would expect
J17 0030  5    that the hypothalamus could be excited from the cortex.
J17 0040  3    In experiments with topical application of strychnine
J17 0040 10    on the cerebral cortex, the transmission of impulses
J17 0050  8    from the cortex to the hypothalamus was demonstrated.
J17 0060  4    Moreover, the responsiveness of the hypothalamus to
J17 0070  3    nociceptive stimulation is greatly increased under
J17 0070  9    these conditions. Even more complex and obviously cortically
J17 0080  8    induced forms of emotional arousal could be elicited
J17 0090  7    in monkey ~A on seeing monkey ~B (but not a rabbit)
J17 0100  7    in emotional stress. A previously extinguished conditioned
J17 0110  3    reaction was restored in monkey ~A and was associated
J17 0120  1    with typical signs of emotional excitement including
J17 0120  8    sympathetic discharges.
J17 0130  2       It seems to follow that by and large an antagonism
J17 0140  1    exists between the paleo- and the neocortex as far
J17 0140 11    as emotional reactivity is concerned, and that the
J17 0150  6    balance between the two systems determines the emotional
J17 0160  3    responsiveness of the organism. In addition, the
J17 0170  1    neocortical-hypothalamic
J17 0170  3    relations play a great role in primates, as Mirsky's
J17 0180  2    interesting experiment on the "communication of affect"
J17 0190  1    demonstrates. But even in relatively primitive laboratory
J17 0190  8    animals such as the rat, sex activity closely identified
J17 0200  9    with the hypothalamus and the visceral brain is enhanced
J17 0210  7    by the neocortex. MacLean stressed correctly the importance
J17 0220  4    of the visceral brain for preservation of the individual
J17 0230  3    and the species, as evidenced by the influence of the
J17 0240  1    limbic brain (including the hypothalamus) on emotions
J17 0240  8    related to fight and flight and also on sexual functions.
J17 0250  8    It should be added that in man neocortical-hypothalamic
J17 0260  3    interrelations probably play a role in the fusion of
J17 0270  2    emotional processes with those underlying perception,
J17 0270  8    memory, imagination, and creativity.
J17 0280  4       Previous experiences are obviously of great importance
J17 0290  4    for the qualitative and quantitative emotional response.
J17 0300  2    The visceral brain as well as the neocortex is known
J17 0300 12    to contribute to memory, but this topic is beyond the
J17 0310  9    scope of this paper.
J17 0320  2    #/13,. HYPOTHALAMIC BALANCE AND ITS SIGNIFICANCE#
J17 0320  8    After this brief discussion of neo-, paleocortical,
J17 0330  8    and cortico-hypothalamic relations, let us return once
J17 0340  6    more to the problem of hypothalamic balance and its
J17 0350  3    physiological and pathological significance. Facilitatory
J17 0360  1    processes take place between neocortex and hypothalamus
J17 0360  8    via ascending and descending pathways. Thus cortico-fugal
J17 0370  7    discharges induced by topical application of strychnine
J17 0380  4    to a minute area in the neocortex summate with spikes
J17 0390  3    present in the hypothalamus and cause increased convulsive
J17 0400  1    discharges. On the other hand, the temporary reduction
J17 0400  9    in hypothalamic excitability through the injection
J17 0410  5    of a barbiturate into the posterior hypothalamus causes
J17 0420  3    a lessening in frequency and amplitude of cortical
J17 0430  2    strychnine spikes until the hypothalamic excitability
J17 0430  8    is restored. Apparently, a positive feedback exists
J17 0440  6    between the posterior hypothalamus and the cerebral
J17 0450  4    cortex. Consequently, if for any reason the hypothalamic
J17 0460  3    excitability falls below the physiological level, the
J17 0470  1    lessened hypothalamic-cortical discharges lead to a
J17 0470  8    diminished state of activity in the cortex with consequent
J17 0480  8    reduction in the cortico-fugal discharges. Obviously,
J17 0490  3    a vicious cycle develops. This tendency can be broken
J17 0500  3    either by restoring hypothalamic excitability directly
J17 0500  9    or via cortico-hypothalamic pathways. It is believed
J17 0510  8    that drug therapy and electroshock involve the former
J17 0520  6    and psychotherapy the latter mechanism.
J17 0530  1       Before we comment further on these pathological
J17 0530  8    conditions, we should remember that changes in the
J17 0540  8    state of the hypothalamus within physiological limits
J17 0550  3    distinguish sleep from wakefulness. Thus, a low intensity
J17 0560  4    of hypothalamic-cortical discharges prevails in sleep
J17 0570  1    and a high one during wakefulness, resulting in synchronous
J17 0570 10    ~EEG potentials in the former and asynchrony in the
J17 0580  9    latter condition. Moreover, the dominance in parasympathetic
J17 0590  5    action (with reciprocal inhibition of the sympathetic)
J17 0600  4    at the hypothalamic level induces, by its peripheral
J17 0610  1    action, the autonomic symptoms of sleep and, by its
J17 0610 10    action on the cortex, a lessening in the reactivity
J17 0620  7    of the sensory and motor apparatus of the somatic nervous
J17 0630  5    system. With the dominance of the sympathetic division
J17 0640  2    of the hypothalamus, the opposite changes occur. Since
J17 0650  1    electrical stimulation of the posterior hypothalamus
J17 0650  7    produces the effects of wakefulness while stimulation
J17 0660  5    of the anterior hypothalamus induces sleep, it may
J17 0670  4    be said that the reactivity of the whole organism is
J17 0680  1    altered by a change in the autonomic reactivity of
J17 0680 10    the hypothalamus. Similar effects can be induced reflexly
J17 0690  7    via the baroreceptor reflexes in man and animals.
J17 0700  5       Of particular importance is the study of the actions
J17 0710  3    of drugs in this respect. Although no drugs act exclusively
J17 0720  1    on the hypothalamus or a part of it, there is sufficient
J17 0720 12    specificity to distinguish drugs which shift the hypothalamic
J17 0730  8    balance to the sympathetic side from those which produce
J17 0740  6    a parasympathetic dominance. The former comprise analeptic
J17 0750  4    and psychoactive drugs, the latter the tranquilizers.
J17 0760  1    Specific differences exist in the action of different
J17 0760  9    drugs belonging to the same group as, for instance,
J17 0770  9    between reserpine and chlorpromazine. Important as
J17 0780  4    these differences are, they should not obscure the
J17 0790  3    basic fact that by shifting the hypothalamic balance
J17 0790 11    sufficiently to the parasympathetic side, we produce
J17 0800  7    depressions, whereas a shift in the opposite direction
J17 0810  7    causes excitatory effects and, eventually, maniclike
J17 0820  2    changes. The emotional states produced by drugs influence
J17 0830  1    the cortical potentials in a characteristic manner;
J17 0830  8    synchrony prevails in the ~EEG of the experimental
J17 0840  8    animal after administration of tranquilizers, but asynchrony
J17 0850  5    after application of analeptic and psychoactive drugs.
J17 0860  3       The shock therapies act likewise on the hypothalamic
J17 0870  2    balance. Physiological experiments and clinical observations
J17 0880  1    have shown that these procedures influence the hypothalamically
J17 0880  9    controlled hypophyseal secretions and increase sympathetic
J17 0890  6    discharges. They shift the hypothalamic balance to
J17 0900  7    the sympathetic side. This explains the beneficial
J17 0910  3    effect of electroshock therapy in certain depressions
J17 0920  1    and a shift in the reaction from hypo- to normal reactivity
J17 0920 13    of the sympathetic system as shown by the Mecholyl
J17 0930  8    test. Some investigators have found a parallelism between
J17 0940  6    remissions and return of the sympathetic reactivity
J17 0950  2    of the hypothalamus to the normal level as indicated
J17 0960  1    by the Mecholyl test and, conversely, between clinical
J17 0960  9    impairment and increasing deviation of this test from
J17 0970  7    the norm. Nevertheless, the theory that the determining
J17 0980  5    influence of the hypothalamic balance has a profound
J17 0990  3    influence on the clinical behavior of neuropsychiatric
J17 0990 10    patients has not yet been tested on an adequate number
J17 1000 10    of patients. The Mecholyl and noradrenalin tests applied
J17 1010  6    with certain precautions are reliable indicators of
J17 1020  4    this central autonomic balance, but for the sake of
J17 1030  2    correlating autonomic and clinical states, and of studying
J17 1030 10    the effect of certain therapeutic procedures on central
J17 1040  7    autonomic reactions, additional tests seem to be desirable.
J17 1050  7       It was assumed that the shift in autonomic hypothalamic
J17 1060  5    balance occurring spontaneously in neuropsychiatric
J17 1070  1    patients from the application of certain therapeutic
J17 1070  8    procedures follows the pattern known from the sleep-wakefulness
J17 1080  9    cycle. A change in the balance to the parasympathetic
J17 1090  9    side leads in the normal individual to sleep or, in
J17 1100  6    special circumstances, to cardiovascular collapse or
J17 1110  3    nausea and vomiting. In both conditions the emotional
J17 1110 11    and perceptual sensitivity is diminished, but no depression
J17 1120  8    occurs such as is seen clinically or may be produced
J17 1130  9    in normal persons by drugs. The fundamental differences
J17 1140  3    between physiological and pathological states of parasympathetic
J17 1150  3    (and also of sympathetic) dominance remain to be elucidated.
J17 1160  2       Perhaps a clue to these and related problems lies
J17 1170  1    in the fact that changes in the intensity of hypothalamic
J17 1170 11    discharges which are associated with changes in its
J17 1180  8    balance lead also to qualitative alterations in reactivity.
J17 1190  4    A state of parasympathetic "tuning" of the hypothalamus
J17 1200  4    induced experimentally causes not only an increase
J17 1210  1    in the parsympathetic reactivity of this structure
J17 1210  8    to direct and reflexly induced stimuli, but leads also
J17 1220  7    to an autonomic reversal: a stimulus acting sympathetically
J17 1230  5    under control conditions elicits in this state of tuning
J17 1240  5    a parasympathetic response! Furthermore, conditioned
J17 1250  1    reactions are fundamentally altered when the hypothalamic
J17 1250  8    sympathetic reactivity is augmented beyond a critical
J17 1260  7    level, and several types of behavioral changes probably
J17 1270  5    related to the degree of central autonomic "tuning"
J17 1280  2    are observed. If, for instance, such a change is produced
J17 1290  2    by one or a few insulin comas or electroshocks, previously
J17 1300  1    inhibited conditioned reactions reappear. However,
J17 1300  6    if these procedures are applied more often, conditioned
J17 1310  6    emotional responses are temporarily abolished. In other
J17 1320  4    studies, loss of differentiation in previously established
J17 1330  2    conditioned reflexes resulted from repeated convulsive
J17 1330  8    (metrazol) treatments, suggesting a fundamental disturbance
J17 1340  6    in the balance between excitatory and inhibitory cerebral
J17 1350  6    processes.
J17 1350  7       It has further been shown that: (1) an experimental
J17 1360  8    neurosis in its initial stages is associated with a
J17 1370  6    reversible shift in the central autonomic balance;
J17 1380  2    (2) drugs altering the hypothalamic balance alter conditioned
J17 1390  1    reactions; (3) in a state of depression, the positive
J17 1390 10    conditioned stimulus may fail to elicit a conditioned
J17 1400  8    reaction but cause an increased synchrony instead of
J17 1410  4    the excitatory desynchronizing (alerting) effect on
J17 1420  3    the ~EEG. These are few and seemingly disjointed data,
J17 1430  1    but they illustrate the important fact that fundamental
J17 1430  9    alterations in conditioned reactions occur in a variety
J17 1440  8    of states in which the hypothalamic balance has been
J17 1450  4    altered by physiological experimentation, pharmacological
J17 1460  2    action, or clinical processes.
J17 1460  6    #/14,. ON THE PHYSIOLOGICAL BASIS OF SOME FORM OF PSYCHOTHERAPY#
J17 1470  7    The foregoing remarks imply that the hypothalamic balance
J17 1490  5    plays a crucial role at the crossroads between physiological
J17 1500  3    and pathological forms of emotion. If this is the case,
J17 1510  3    one would expect that not only the various procedures
J17 1510 12    just mentioned which alter the hypothalamic balance
J17 1520  7    would influence emotional state and behavior but that
J17 1530  6    emotion itself would act likewise. We pointed out that
J17 1540  4    emotional excitement may lead to psychosomatic disorders
J17 1550  1    and neurotic symptoms, particularly in certain types
J17 1550  8    of personality, but it is also known that the reliving
J17 1560  9    of a strong emotion ("abreaction") may cure a battle
J17 1570  5    neurosis. This phenomenon raises the question whether
J17 1580  2    the guidance of the emotions for therapeutic ends may
J17 1580 11    not have an even wider application in the area of the
J17 1590 11    neuroses. Being a strictly physiological procedure,
J17 1600  3    one may expect from such a study additional information
J17 1610  2    on the nature of the emotional process itself.
J17 1620  1       Wolpe's experiments and therapeutic work lie in
J17 1620  8    this area. He showed convincingly that anxiety is a
J17 1630  6    learned (conditioned) reaction and is the basis of
J17 1640  5    experimental and clinical neuroses and assumed, therefore,
J17 1650  1    that the neuronal changes which underlie the neuroses
J17 1650  9    are functional and reversible. An important observation
J17 1660  6    of Pavlov served as a guide post to achieve such a
J17 1670  7    reversibility by physiological means. In a conditioning
J17 1680  3    experiment, he demonstrated the antagonism between
J17 1680  9    feeding and pain. A mild electrical shock served as
J17 1690  9    a conditioned stimulus and was followed by feeding.
J17 1700  6    The pain became thus the symbol for food and elicited
J17 1710  3    salivary secretion (conditioned reflex). Even when
J17 1710  9    the intensity of the shocks was increased gradually,
J17 1720  8    it failed to evoke any signs of pain. Since strong
J17 1730  7    nociceptive stimuli produce an experimental neurosis
J17 1740  2    during which the animals fail to eat in the experimental
J17 1750  1    situation, Wolpe thought that he could utilize the
J17 1750  9    feeding-pain antagonism to inhibit the neurotic symptoms
J17 1760  6    through feeding. Appropriate experiments showed that
J17 1770  4    this is, indeed, possible. He then applied this principle
J17 1790  2    of reciprocal inhibition to human neuroses. He took
J17 1790 10    advantage of the antagonism between aggressive assertiveness
J17 1800  7    and anxiety and found a relatively rapid disappearance
J17 1810  7    of anxiety when the former attitude was established.
J17 1820  4       For the interpretation of these significant investigations,
J17 1830  2    it should be remembered that reciprocal relations exist
J17 1840  2    in the hypothalamus with respect to autonomic and somatic
J17 1840 11    functions which are closely associated with the emotions.
J17 1850  8    The feeding-pain antagonism seems to be based on this
J17 1860  8    reciprocal relation between the tropho- and ergotropic
J17 1870  5    systems. Furthermore, a functional antagonism exists
J17 1880  2    between an aggressive attitude and a state of anxiety.
J17 1880 11    Although in both emotions sympathetic symptoms are
J17 1890  7    present, different autonomic-somatic patterns underlie
J17 1900  3    aggression and anxiety, respectively, as indicated
J17 1910  3    by the rate of the excretion of the catecholamines,
J17 1910 12    the state of the muscle tone, and the Mecholyl test.
J17 1920  9    The psychological incompatibility of these emotional
J17 1930  4    states seems to be reflected in, or based on, this
J17 1940  3    marked difference.
J17 1940  5    #/15,. CONCLUDING REMARKS#
J17 1940  8    In our attempt to interpret the emotions in their physiological
J17 1950 10    and pathological range, we emphasized the importance
J17 1960  6    of the degree of activity of the parasympathetic and
J17 1970  5    sympathetic divisions of the hypothalamic system and
J17 1980  2    their influence on the inhibitory and excitatory systems,
J17 1980 10    respectively. We stressed the reciprocal relation of
J17 1990  7    these systems with respect to the autonomic-somatic
J17 2000  6    downward discharge as well as regarding the hypothalamic-cortical
J17 2010  4    discharge. Although we are still far from a complete
J17 2020  3    understanding of these problems, as a first approximation,
J17 2030  1    it is suggested that alterations in the hypothalamic
J17 2030  9    balance with consequent changes in the hypothalamic-cortical
J17 2040  6    discharges account for major changes in behavior seen
J17 2050  6    in various moods and states of emotions in man and
J17 2060  4    beast under physiological circumstances, in experimental
J17 2060 10    and clinical neurosis, and as the result of psychopharmacological
J17 2070  9    agents. In view of the important role which emotional
J17 2080  9    disturbances play in the genesis of neurotic and psychotic
J17 2090  7    disorders and the parallelism observed between autonomic
J17 2100  4    states and psychological behavior in several instances,
J17 2110  2    it is further suggested that a hypothalamic imbalance
J17 2110 10    may play an important role in initiating mental changes.
J18 0010  1    #6.4. THE PRIMARY DECOMPOSITION THEOREM#
J18 0010  6    We are trying to study a linear operator ~T on the
J18 0020  6    finite-dimensional space ~V, by decomposing ~T into
J18 0030  5    a direct sum of operators which are in some sense elementary.
J18 0040  3    We can do this through the characteristic values and
J18 0050  2    vectors of ~T in certain special cases, i&e&, when
J18 0050 11    the minimal polynomial for ~T factors over the scalar
J18 0060  9    field ~F into a product of distinct monic polynomials
J18 0070  8    of degree 1. What can we do with the general ~T? If
J18 0080  8    we try to study ~T using characteristic values, we
J18 0090  4    are confronted with two problems. First, ~T may not
J18 0100  4    have a single characteristic value; this is really
J18 0110  1    a deficiency in the scalar field, namely, that it is
J18 0110 11    not algebraically closed. Second, even if the characteristic
J18 0120  7    polynomial factors completely over ~F into a product
J18 0130  6    of polynomials of degree 1, there may not be enough
J18 0140  5    characteristic vectors for ~T to span the space ~V;
J18 0150  3    this is clearly a deficiency in ~T. The second situation
J18 0160  2    is illustrated by the operator ~T on **f (~F any field)
J18 0170  3    represented in the standard basis by **f. The characteristic
J18 0180  1    polynomial for ~A is **f and this is plainly also the
J18 0180 12    minimal polynomial for ~A (or for ~T). Thus ~T is not
J18 0200  1    diagonalizable. One sees that this happens because
J18 0200  8    the null space of **f has dimension 1 only. On the
J18 0210  8    other hand, the null space of **f and the null space
J18 0220  4    of **f together span ~V, the former being the subspace
J18 0230  2    spanned by **f and the latter the subspace spanned
J18 0230 11    by **f and **f.
J18 0240  2       This will be more or less our general method for
J18 0240 12    the second problem. If (remember this is an assumption)
J18 0250  8    the minimal polynomial for ~T decomposes **f where
J18 0260  6    **f are distinct elements of ~F, then we shall show
J18 0270  5    that the space ~V is the direct sum of the null spaces
J18 0280  5    of **f. The diagonalizable operator is the special
J18 0290  1    case of this in which **f for each ~i. The theorem
J18 0290 12    which we prove is more general than what we have described,
J18 0300  9    since it works with the primary decomposition of the
J18 0310  5    minimal polynomial, whether or not the primes which
J18 0320  2    enter are all of first degree. The reader will find
J18 0320 12    it helpful to think of the special case when the primes
J18 0330 10    are of degree 1, and even more particularly, to think
J18 0340  6    of the proof of Theorem 10, a special case of this
J18 0350  4    theorem.
J18 0350  5    #THEOREM 12. (PRIMARY DECOMPOSITION THEOREM).#
J18 0360  1    Let ~T be a linear operator on the finite-dimensional
J18 0370  1    vector space ~V over the field ~F. Let ~p be the minimal
J18 0380  2    polynomial for ~T, **f where the **f are distinct irreducible
J18 0390  1    monic polynomials over ~F and the **f are positive
J18 0390 10    integers. Let **f be the null space of **f. Then (a)
J18 0400 11    **f (b) each **f is invariant under ~T (c) if **f is
J18 0410  9    the operator induced on **f by ~T, then the minimal
J18 0420  4    polynomial for **f is **f.
J18 0430  1    _PROOF._
J18 0430  1       The idea of the proof is this. If the direct-sum
J18 0430 12    decomposition (a) is valid, how can we get hold of
J18 0440 10    the projections **f associated with the decomposition?
J18 0450  3    The projection **f will be the identity on **f and
J18 0460  2    zero on the other **f. We shall find a polynomial **f
J18 0460 13    such that **f is the identity on **f and is zero on
J18 0470 11    the other **f, and so that **f, etc&.
J18 0480  3       For each ~i, let **f. Since **f are distinct prime
J18 0490  2    polynomials, the polynomials **f are relatively prime
J18 0490  9    (Theorem 8, Chapter 4). Thus there are polynomials
J18 0500  8    **f such that **f. Note also that if **f, then **f
J18 0510  7    is divisible by the polynomial ~p, because **f contains
J18 0520  4    each **f as a factor. We shall show that the polynomials
J18 0530  1    **f behave in the manner described in the first paragraph
J18 0530 11    of the proof.
J18 0540  3       Let **f. Since **f and ~p divides **f for **f, we
J18 0550  2    have **f. Thus the **f are projections which correspond
J18 0550 11    to some direct-sum decomposition of the space ~V. We
J18 0560  9    wish to show that the range of **f is exactly the subspace
J18 0570  9    **f. It is clear that each vector in the range of **f
J18 0580  7    is in **f for if ~|a is in the range of **f, then **f
J18 0590  4    and so **f because **f is divisible by the minimal
J18 0590 14    polynomial ~p. Conversely, suppose that ~|a is in the
J18 0600  9    null space of **f. If **f, then **f is divisible by
J18 0610 10    **f and so **f, i&e&, **f. But then it is immediate
J18 0620  7    that **f, i&e&, that ~|a is in the range of **f. This
J18 0630  6    completes the proof of statement (a).
J18 0640  1       It is certainly clear that the subspaces **f are
J18 0640 10    invariant under ~T. If **f is the operator induced
J18 0650  7    on **f by ~T, then evidently **f, because by definition
J18 0660  5    **f is 0 on the subspace **f. This shows that the minimal
J18 0670  4    polynomial for **f divides **f. Conversely, let ~g
J18 0680  2    be any polynomial such that **f. Then **f. Thus **f
J18 0680 12    is divisible by the minimal polynomial ~p of ~T, i&e&,
J18 0690  9    **f divides **f. It is easily seen that **f divides
J18 0700 10    ~g. Hence the minimal polynomial for **f is **f.
J18 0710  7    #COROLLARY.#
J18 0710  8    If **f are the projections associated with the primary
J18 0720  6    decomposition of ~T, then each **f is a polynomial
J18 0730  6    in ~T, and accordingly if a linear operator ~U commutes
J18 0740  4    with ~T then ~U commutes with each of the **f i&e&,
J18 0750  6    each subspace **f is invariant under ~U.
J18 0760  1       In the notation of the proof of Theorem 12, let
J18 0760 11    us take a look at the special case in which the minimal
J18 0770 10    polynomial for ~T is a product of first-degree polynomials,
J18 0780  8    i&e&, the case in which each **f is of the form **f.
J18 0790  8    Now the range of **f is the null space **f of **f.
J18 0800  4    Let us put **f. By Theorem 10, ~D is a diagonalizable
J18 0810  1    operator which we shall call the diagonalizable part
J18 0820  1    of ~T. Let us look at the operator **f. Now **f **f
J18 0830 11    so **f. The reader should be familiar enough with projections
J18 0840  7    by now so that he sees that **f and in general that
J18 0850  6    **f. When **f for each ~i, we shall have **f, because
J18 0860  3    the operator **f will then be 0 on the range of **f.
J18 0870  1    #DEFINITION.#
J18 0870  2    Let ~N be a linear operator on the vector space ~V.
J18 0890  3    We say that ~N is nilpotent if there is some positive
J18 0900  4    integer ~r such that **f.
J18 0900  9    #THEOREM 13.#
J18 0900 11    Let ~T be a linear operator on the finite-dimensional
J18 0910 10    vector space ~V over the field ~F. Suppose that the
J18 0920 10    minimal polynomial for ~T decomposes over ~F into a
J18 0930  8    product of linear polynomials. Then there is a diagonalizable
J18 0940  7    operator ~D on ~V and a nilpotent operator ~N on ~V
J18 0950  9    such that (a) **f, (b) **f. The diagonalizable operator
J18 0960  8    ~D and the nilpotent operator ~N are uniquely determined
J18 0970  6    by (a) and (b) and each of them is a polynomial in
J18 0980  8    ~T.
J18 0980  9    _PROOF._
J18 0980 10       We have just observed that we can write **f where
J18 0990  7    ~D is diagonalizable and ~N is nilpotent, and where
J18 1000  5    ~D and ~N not only commute but are polynomials in ~T.
J18 1010  6    Now suppose that we also have **f where ~D' is diagonalizable,
J18 1020  5    ~N' is nilpotent, and **f. We shall prove that **f.
J18 1030  7       Since ~D' and ~N' commute with one another and **f,
J18 1040  7    we see that ~D' and ~N' commute with ~T. Thus ~D' and
J18 1050  7    ~N' commute with any polynomial in ~T; hence they commute
J18 1060 10    with ~D and with ~N. Now we have **f or **f and all
J18 1070 12    four of these operators commute with one another. Since
J18 1080  7    ~D and ~D' are both diagonalizable and they commute,
J18 1090  7    they are simultaneously diagonalizable, and **f is
J18 1100  5    diagonalizable. Since ~N and ~N' are both nilpotent
J18 1110  4    and they commute, the operator **f is nilpotent; for,
J18 1120  2    using the fact that ~N and ~N' commute **f and so when
J18 1130  4    ~r is sufficiently large every term in this expression
J18 1140  1    for **f will be 0. (Actually, a nilpotent operator
J18 1140 10    on an ~n-dimensional space must have its ~nth power
J18 1150  7    0; if we take **f above, that will be large enough.
J18 1160  7    It then follows that **f is large enough, but this
J18 1170  4    is not obvious from the above expression.) Now **f
J18 1170 13    is a diagonalizable operator which is also nilpotent.
J18 1180  8    Such an operator is obviously the zero operator; for
J18 1190  7    since it is nilpotent, the minimal polynomial for this
J18 1200  4    operator is of the form **f for some **f; but then
J18 1210  2    since the operator is diagonalizable, the minimal polynomial
J18 1210 10    cannot have a repeated root; hence **f and the minimal
J18 1220 10    polynomial is simply ~x, which says the operator is
J18 1230  7    0. Thus we see that **f and **f.
J18 1240  2    #COROLLARY.#
J18 1240  3    Let ~V be a finite-dimensional vector space over an
J18 1250  4    algebraically closed field ~F, e&g&, the field of complex
J18 1260  3    numbers. Then every linear operator ~T on ~V can be
J18 1270  3    written as the sum of a diagonalizable operator ~D
J18 1270 12    and a nilpotent operator ~N which commute. These operators
J18 1280  9    ~D and ~N are unique and each is a polynomial in ~T.
J18 1290 12       From these results, one sees that the study of linear
J18 1300 11    operators on vector spaces over an algebraically closed
J18 1310  8    field is essentially reduced to the study of nilpotent
J18 1320  6    operators. For vector spaces over non-algebraically
J18 1330  1    closed fields, we still need to find some substitute
J18 1330 10    for characteristic values and vectors. It is a very
J18 1340  9    interesting fact that these two problems can be handled
J18 1350  7    simultaneously and this is what we shall do in the
J18 1360  5    next chapter.
J18 1360  7       In concluding this section, we should like to give
J18 1370  5    an example which illustrates some of the ideas of the
J18 1380  2    primary decomposition theorem. We have chosen to give
J18 1380 10    it at the end of the section since it deals with differential
J18 1390 10    equations and thus is not purely linear algebra.
J18 1400  6    #EXAMPLE 11.#
J18 1400  8    In the primary decomposition theorem, it is not necessary
J18 1410  6    that the vector space ~V be finite dimensional, nor
J18 1420  5    is it necessary for parts (a) and (b) that ~p be the
J18 1430  1    minimal polynomial for ~T. If ~T is a linear operator
J18 1440  1    on an arbitrary vector space and if there is a monic
J18 1440 12    polynomial ~p such that **f, then parts (a) and (b)
J18 1450 10    of Theorem 12 are valid for ~T with the proof which
J18 1460  7    we gave.
J18 1460  9       Let ~n be a positive integer and let ~V be the space
J18 1470 10    of all ~n times continuously differentiable functions
J18 1480  4    ~f on the real line which satisfy the differential
J18 1490  4    equation **f where **f are some fixed constants. If
J18 1500  2    **f denotes the space of ~n times continuously differentiable
J18 1510  1    functions, then the space ~V of solutions of this differential
J18 1520  1    equation is a subspace of **f. If ~D denotes the differentiation
J18 1530  1    operator and ~p is the polynomial **f then ~V is the
J18 1540  3    null space of the operator ~p(D), because **f simply
J18 1540 12    says **f. Let us now regard ~D as a linear operator
J18 1550 11    on the subspace ~V. Then **f.
J18 1560  4       If we are discussing differentiable complex-valued
J18 1570  1    functions, then **f and ~V are complex vector spaces,
J18 1580  1    and **f may be any complex numbers. We now write **f
J18 1580 12    where **f are distinct complex numbers. If **f is the
J18 1590  8    null space of **f, then Theorem 12 says that **f. In
J18 1600  6    other words, if ~f satisfies the differential equation
J18 1610  2    **f, then ~f is uniquely expressible in the form **f
J18 1620  3    where **f satisfies the differential equation **f.
J18 1620 10    Thus, the study of the solutions to the equation **f
J18 1630  9    is reduced to the study of the space of solutions of
J18 1640  6    a differential equation of the form **f. This reduction
J18 1650  2    has been accomplished by the general methods of linear
J18 1650 11    algebra, i&e&, by the primary decomposition theorem.
J18 1660  6       To describe the space of solutions to **f, one must
J18 1670  9    know something about differential equations, that is,
J18 1680  4    one must know something about ~D other than the fact
J18 1690  4    that it is a linear operator. However, one does not
J18 1700  1    need to know very much. It is very easy to establish
J18 1700 12    by induction on ~r that if ~f is in **f then **f that
J18 1710 11    is, **f, etc&. Thus **f if and only if **f. A function
J18 1720  9    ~g such that **f, i&e&, **f, must be a polynomial function
J18 1730  7    of degree **f or less: **f. Thus ~f satisfies **f if
J18 1740  6    and only if ~f has the form **f. Accordingly, the 'functions'
J18 1750  4    **f span the space of solutions of **f. Since **f are
J18 1760  5    linearly independent functions and the exponential
J18 1770  1    function has no zeros, these ~r functions **f, form
J18 1770 10    a basis for the space of solutions.
J19 0010  1    #7-1. EXAMPLES OF BINOMIAL EXPERIMENTS#
J19 0010  7    Some experiments are composed of repetitions of independent
J19 0020  5    trials, each with two possible outcomes. The binomial
J19 0030  4    probability distribution may describe the variation
J19 0040  1    that occurs from one set of trials of such a binomial
J19 0040 12    experiment to another. We devote a chapter to the binomial
J19 0050 10    distribution not only because it is a mathematical
J19 0060  7    model for an enormous variety of real life phenomena,
J19 0070  3    but also because it has important properties that recur
J19 0080  1    in many other probability models. We begin with a few
J19 0080 11    examples of binomial experiments.
J19 0090  3    _MARKSMANSHIP EXAMPLE._
J19 0090  5       A trained marksman shooting five rounds at a target,
J19 0110  7    all under practically the same conditions, may hit
J19 0120  3    the bull's-eye from 0 to 5 times. In repeated sets
J19 0120 14    of five shots his numbers of bull's-eyes vary. What
J19 0130 10    can we say of the probabilities of the different possible
J19 0140  6    numbers of bull's-eyes?
J19 0150  1    _INHERITANCE IN MICE._
J19 0150  4       In litters of eight mice from similar parents, the
J19 0160  2    number of mice with straight instead of wavy hair is
J19 0160 12    an integer from 0 to 8. What probabilities should be
J19 0170  9    attached to these possible outcomes?
J19 0180  2    _ACES (ONES) WITH THREE DICE._
J19 0180  7       When three dice are tossed repeatedly, what is the
J19 0190  6    probability that the number of aces is 0 (or 1, or
J19 0200  5    2, or 3)?
J19 0200  8    _GENERAL BINOMIAL PROBLEM._
J19 0200 11       More generally, suppose that an experiment consists
J19 0210  6    of a number of independent trials, that each trial
J19 0220  4    results in either a "success" or a "non-success" ("failure"),
J19 0230  2    and that the probability of success remains constant
J19 0240  1    from trial to trial. In the examples above, the occurrence
J19 0240 11    of a bull's-eye, a straight-haired mouse, or an ace
J19 0260  8    could be called a "success". In general, any outcome
J19 0270  5    we choose may be labeled "success".
J19 0280  1       The major question in this chapter is: What is the
J19 0280 11    probability of exactly ~x successes in ~n trials?
J19 0300  1       In Chapters 3 and 4 we answered questions like those
J19 0300 10    in the examples, usually by counting points in a sample
J19 0310  8    space. Fortunately, a general formula of wide applicability
J19 0320  5    solves all problems of this kind. Before deriving this
J19 0330  3    formula, we explain what we mean by "problems of this
J19 0340  1    kind".
J19 0340  2       Experiments are often composed of several identical
J19 0350  1    trials, and sometimes experiments themselves are repeated.
J19 0350  8    In the marksmanship example, a trial consists of "one
J19 0360  7    round shot at a target" with outcome either one bull's-eye
J19 0370  7    (success) or none (failure). Further, an experiment
J19 0380  4    might consist of five rounds, and several sets of five
J19 0390  3    rounds might be regarded as a super-experiment composed
J19 0390 12    of several repetitions of the five-round experiment.
J19 0400  7    If three dice are tossed, a trial is one toss of one
J19 0410  8    die and the experiment is composed of three trials.
J19 0420  3    Or, what amounts to the same thing, if one die is tossed
J19 0430  1    three times, each toss is a trial, and the three tosses
J19 0430 12    form the experiment. Mathematically, we shall not distinguish
J19 0440  6    the experiment of three dice tossed once from that
J19 0450  7    of one die tossed three times. These examples are illustrative
J19 0460  4    of the use of the words "trial" and "experiment" as
J19 0470  2    they are used in this chapter, but they are quite flexible
J19 0480  1    words and it is well not to restrict them too narrowly.
J19 0490  1    _EXAMPLE 1. STUDENT FOOTBALL MANAGERS._
J19 0490  5       Ten students act as managers for a high-school football
J19 0500  5    team, and of these managers a proportion ~p are licensed
J19 0510  3    drivers. Each Friday one manager is chosen by lot to
J19 0520  1    stay late and load the equipment on a truck. On three
J19 0520 12    Fridays the coach has needed a driver. Considering
J19 0530  6    only these Fridays, what is the probability that the
J19 0540  4    coach had drivers all 3 times? Exactly 2 times? 1 time?
J19 0550  3    0 time?
J19 0550  5    _DISCUSSION._
J19 0550  6       Note that there are 3 trials of interest. Each trial
J19 0560  5    consists of choosing a student manager at random. The
J19 0570  3    2 possible outcomes on each trial are "driver" or "nondriver".
J19 0580  1    Since the choice is by lot each week, the outcomes
J19 0580 11    of different trials are independent. The managers stay
J19 0590  8    the same, so that **f is the same for all weeks. We
J19 0600  9    now generalize these ideas for general binomial experiments.
J19 0610  3       For an experiment to qualify as a binomial experiment,
J19 0620  3    it must have four properties: (1) there must be a fixed
J19 0630  4    number of trials, (2) each trial must result in a "success"
J19 0640  1    or a "failure" (a binomial trial), (3) all trials must
J19 0640 11    have identical probabilities of success, (4) the trials
J19 0650  8    must be independent of each other. Below we use our
J19 0660  8    earlier examples to describe and illustrate these four
J19 0670  3    properties. We also give, for each property, an example
J19 0680  1    where the property is absent. The language and notation
J19 0680 10    introduced are standard throughout the chapter.
J19 0700  1    _1. THERE MUST BE A FIXED NUMBER ~N OF REPEATED TRIALS._
J19 0700  6       For the marksman, we study sets of five shots (**f);
J19 0710  5    for the mice, we restrict attention to litters of eight
J19 0730  3    (**f); and for the aces, we toss three dice (**f).
J19 0750  1    _EXPERIMENT WITHOUT A FIXED NUMBER OF TRIALS._
J19 0750  7       Toss a die until an ace appears. Here the number
J19 0760  4    of trials is a random variable, not a fixed number.
J19 0770  1    _2. BINOMIAL TRIALS._
J19 0770  4       Each of the ~n trials is either a success or a failure.
J19 0780  4    "Success" and "failure" are just convenient labels
J19 0790  2    for the two categories of outcomes when we talk about
J19 0790 12    binomial trials in general. These words are more expressive
J19 0800  9    than labels like "~A" and "not-~A". It is natural from
J19 0810  9    the marksman's viewpoint to call a bull's-eye a success,
J19 0830  9    but in the mice example it is arbitrary which category
J19 0840  6    corresponds to straight hair in a mouse. The word "binomial"
J19 0850  4    means "of two names" or "of two terms", and both usages
J19 0860  4    apply in our work: the first to the names of the two
J19 0870  2    outcomes of a binomial trial, and the second to the
J19 0870 12    terms ~p and **f that represent the probabilities of
J19 0880  8    "success" and "failure". Sometimes when there are many
J19 0890  6    outcomes for a single trial, we group these outcomes
J19 0900  5    into two classes, as in the example of the die, where
J19 0910  2    we have arbitrarily constructed the classes "ace" and
J19 0910 10    "not-ace".
J19 0920  1    _EXPERIMENT WITHOUT THE TWO-CLASS PROPERTY._
J19 0920  7       We classify mice as "straight-haired" or "wavy-haired",
J19 0930  8    but a hairless mouse appears. We can escape from such
J19 0940  8    a difficulty by ruling out the animal as not constituting
J19 0950  5    a trial, but such a solution is not always satisfactory.
J19 0970  1    _3. ALL TRIALS HAVE IDENTICAL PROBABILITIES OF SUCCESS._
J19 0970  1       Each die has probability **f of producing an ace;
J19 0970 10    the marksman has some probability ~p, perhaps 0.1,
J19 0980  7    of making a bull's-eye. Note that we need not know
J19 0990  7    the value of ~p, for the experiment to be binomial.
J19 1000  4    _EXPERIMENT WHERE ~P IS NOT CONSTANT._
J19 1000 10       During a round of target practice the sun comes
J19 1010  9    from behind a cloud and dazzles the marksman, lowering
J19 1020  4    his chance of a bull's-eye.
J19 1030  1    _4. THE TRIALS ARE INDEPENDENT._
J19 1030  4       Strictly speaking, this means that the probability
J19 1040  1    for each possible outcome of the experiment can be
J19 1040 10    computed by multiplying together the probabilities
J19 1050  5    of the possible outcomes of the single binomial trials.
J19 1060  4    Thus in the three-dice example **f, **f, and the independence
J19 1070  3    assumption implies that the probability that the three
J19 1080  1    dice fall ace, not-ace, ace in that order is (1/6)(5/6)(1/6).
J19 1080 12    Experimentally, we expect independence when the trials
J19 1090  7    have nothing to do with one another.
J19 1100  5    _EXAMPLES WHERE INDEPENDENCE FAILS._
J19 1100  9       A family of five plans to go together either to
J19 1110  9    the beach or to the mountains, and a coin is tossed
J19 1120  6    to decide. We want to know the number of people going
J19 1130  2    to the mountains. When this experiment is viewed as
J19 1130 11    composed of five binomial trials, one for each member
J19 1140  9    of the family, the outcomes of the trials are obviously
J19 1150  6    not independent. Indeed, the experiment is better viewed
J19 1160  4    as consisting of one binomial trial for the entire
J19 1170  1    family. The following is a less extreme example of
J19 1170 10    dependence. Consider couples visiting an art museum.
J19 1180  6    Each person votes for one of a pair of pictures to
J19 1190  4    receive a popular prize. Voting for one picture may
J19 1200  1    be called "success", for the other "failure". An experiment
J19 1210  1    consists of the voting of one couple, or two trials.
J19 1210 11    In repetitions of the experiment from couple to couple,
J19 1220  8    the votes of the two persons in a couple probably agree
J19 1230  6    more often than independence would imply, because couples
J19 1240  2    who visit the museum together are more likely to have
J19 1240 12    similar tastes than are a random pair of people drawn
J19 1250 10    from the entire population of visitors. Table 7-1 illustrates
J19 1260  7    the point. The table shows that 0.6 of the boys and
J19 1270  7    0.6 of the girls vote for picture ~A. Therefore, under
J19 1280  3    independent voting, **f or 0.36 of the couples would
J19 1290  1    cast two votes for picture ~A, and **f or 0.16 would
J19 1290 12    cast two votes for picture ~B. Thus in independent
J19 1300  9    voting, **f or 0.52 of the couples would agree. But
J19 1320  7    Table 7-1 shows that **f or 0.70 agree, too many for
J19 1330  4    independent voting.
J19 1330  6       Each performance of an ~n-trial binomial experiment
J19 1340  3    results in some whole number from 0 through ~n as the
J19 1350  5    value of the random variable ~X, where **f. We want
J19 1360  4    to study the probability function of this random variable.
J19 1370  1    For example, we are interested in the number of bull's-eyes,
J19 1380  1    not which shots were bull's-eyes. A binomial experiment
J19 1380 10    can produce random variables other than the number
J19 1390  7    of successes. For example, the marksman gets 5 shots,
J19 1400  5    but we take his score to be the number of shots before
J19 1410  2    his first bull's-eye, that is, 0, 1, 2, 3, 4 (or 5,
J19 1410 15    if he gets no bull's-eye). Thus we do not score the
J19 1420 12    number of bull's-eyes, and the random variable is not
J19 1430  7    the number of successes.
J19 1440  1       The constancy of ~p and the independence are the
J19 1440  9    conditions most likely to give trouble in practice.
J19 1450  7    Obviously, very slight changes in ~p do not change
J19 1460  6    the probabilities much, and a slight lack of independence
J19 1470  2    may not make an appreciable difference. (For instance,
J19 1480  1    see Example 2 of Section 5-5, on red cards in hands
J19 1480 13    of 5.) On the other hand, even when the binomial model
J19 1490  8    does not describe well the physical phenomenon being
J19 1500  3    studied, the binomial model may still be used as a
J19 1510  3    baseline for comparative purposes; that is, we may
J19 1510 11    discuss the phenomenon in terms of its departures from
J19 1520  8    the binomial model.
J19 1530  1    _TO SUMMARIZE:_
J19 1530  2       A binomial experiment consists of **f independent
J19 1540  1    binomial trials, all with the same probability **f
J19 1540  9    of yielding a success. The outcome of the experiment
J19 1550  6    is ~X successes. The random variable ~X takes the values
J19 1560  6    **f with probabilities **f or, more briefly **f.
J19 1570  3       We shall find a formula for the probability of exactly
J19 1580  2    ~x successes for given values of ~p and ~n. When each
J19 1600  2    number of successes ~x is paired with its probability
J19 1600 11    of occurrence **f, the set of pairs **f, is a probability
J19 1620 11    function called a binomial distribution. The choice
J19 1630  6    of ~p and ~n determines the binomial distribution uniquely,
J19 1640  5    and different choices always produce different distributions
J19 1650  4    (except when **f; then the number of successes is always
J19 1660  5    0). The set of all binomial distributions is called
J19 1670  2    the family of binomial distributions, but in general
J19 1670 10    discussions this expression is often shortened to "the
J19 1690  8    binomial distribution", or even "the binomial" when
J19 1700  6    the context is clear. Binomial distributions were treated
J19 1710  3    by James Bernoulli about 1700, and for this reason
J19 1720  2    binomial trials are sometimes called Bernoulli trials.
J19 1720  9    _RANDOM VARIABLES._
J19 1730  2       Each binomial trial of a binomial experiment produces
J19 1740  1    either 0 or 1 success. Therefore each binomial trial
J19 1740 10    can be thought of as producing a value of a random
J19 1750  9    variable associated with that trial and taking the
J19 1760  5    values 0 and 1, with probabilities ~q and ~p respectively.
J19 1770  3    The several trials of a binomial experiment produce
J19 1780  2    a new random variable ~X, the total number of successes,
J19 1790  1    which is just the sum of the random variables associated
J19 1790 11    with the single trials.
J19 1800  2    _EXAMPLE 2._
J19 1800  4       The marksman gets two bull's-eyes, one on his third
J19 1810  4    shot and one on his fifth. The numbers of successes
J19 1810 14    on the five individual shots are, then, 0, 0, 1, 0,
J19 1820 11    1. The number of successes on each shot is a value
J19 1830  7    of a random variable that has values 0 or 1, and there
J19 1840  5    are 5 such random variables here. Their sum is ~X,
J19 1850  1    the total number of successes, which in this experiment
J19 1850 10    has the value **f.
J20 0010  1       Consider a simple, closed, plane curve ~C which
J20 0010  9    is a real-analytic image of the unit circle, and which
J20 0020  8    is given by **f. These are real analytic periodic functions
J20 0030  6    with period ~T. In the following paper it is shown
J20 0040  6    that in a certain definite sense, exactly an odd number
J20 0050  4    of squares can be inscribed in every such curve which
J20 0050 14    does not contain an infinite number of inscribed squares.
J20 0060  9    This theorem is similar to the theorem of Kakutani
J20 0070  8    that there exists a circumscribing cube around any
J20 0080  4    closed, bounded convex set in **f. The latter theorem
J20 0090  1    has been generalized by Yamabe and Yujobo, and Cairns
J20 0090 10    to show that in **f there are families of such cubes.
J20 0100 10    Here, for the case of squares inscribed in plane curves,
J20 0110  6    we remove the restriction to convexity and give certain
J20 0120  4    other results.
J20 0120  6       A square inscribed in a curve ~C means a square
J20 0130  5    with its four corner points on the curve, though it
J20 0140  3    may not lie entirely in the interior of ~C. Indeed,
J20 0150  1    the spiral **f, with the two endpoints connected by
J20 0150 10    a straight line possesses only one inscribed square.
J20 0160  5    The square has one corner point on the straight line
J20 0170  4    segment, and does not lie entirely in the interior.
J20 0180  1       On ~C, from the point ~P at **f to the point ~Q
J20 0190  1    at **f, we construct the chord, and upon the chord
J20 0190 11    as a side erect a square in such a way that as ~s approaches
J20 0200 12    zero the square is inside ~C. As ~s increases we consider
J20 0210  9    the two free corner points of the square, **f and **f,
J20 0220  9    adjacent to ~P and ~Q respectively. As ~s approaches
J20 0230  5    ~T the square will be outside ~C and therefore both
J20 0240  7    **f and **f must cross ~C an odd number of times as
J20 0250  7    ~s varies from zero to ~T. The points may also touch
J20 0260  6    ~C without crossing.
J20 0260  9       Suppose **f crosses ~C when **f. We now have certain
J20 0270 10    squares with three corners on ~C. For any such square
J20 0280  8    the middle corner of these will be called the vertex
J20 0290  6    of the square and the corner not on the curve will
J20 0300  3    be called the diagonal point of the square. Each point
J20 0300 13    on ~C, as a vertex, may possess a finite number of
J20 0310 11    corresponding diagonal points by the above construction.
J20 0320  6       To each paired vertex and diagonal point there corresponds
J20 0330  6    a unique forward corner point, i&e&, the corner on
J20 0340  5    ~C reached first by proceeding along ~C from the vertex
J20 0350  4    in the direction of increasing ~t. If the vertex is
J20 0360  3    at **f, and if the interior of ~C is on the left as
J20 0370  1    one moves in the direction of increasing ~t, then every
J20 0370 11    such corner can be found from the curve obtained by
J20 0380  9    rotating ~C clockwise through 90` about the vertex.
J20 0390  6    The set of intersections of **f, the rotated curve,
J20 0400  4    with the original curve ~C consists of just the set
J20 0410  3    of forward corner points on ~C corresponding to the
J20 0410 12    vertex at **f, plus the vertex itself. We note that
J20 0420 10    two such curves ~C and **f, cannot coincide at more
J20 0430  7    than a finite number of points; otherwise, being analytic,
J20 0440  4    they would coincide at all points, which is impossible
J20 0450  3    since they do not coincide near **f.
J20 0450 10       With each vertex we associate certain numerical
J20 0460  6    values, namely the set of positive differences in the
J20 0470  4    parameter ~t between the vertex and its corresponding
J20 0480  1    forward corner points. For the vertex at **f, these
J20 0480 10    values will be denoted by **f. The function ~f(t) defined
J20 0490 10    in this way is multi-valued.
J20 0500  4       We consider now the graph of the function ~f(t)
J20 0510  2    on **f. We will refer to the plane of ~C and **f as
J20 0520  1    the ~C-plane and to the plane of the graph as the ~f-plane.
J20 0530  1    The graph, as a set, may have a finite number of components.
J20 0530 13    We will denote the values of ~f(t) on different components
J20 0540 10    by **f. Each point with abscissa ~t on the graph represents
J20 0550 10    an intersection between ~C and **f. There are two types
J20 0560  9    of such intersections, depending essentially on whether
J20 0570  5    the curves cross at the point of intersection. An ordinary
J20 0580  5    point will be any point of intersection ~A such that
J20 0590  4    in every neighborhood of ~A in the ~C-plane, **f meets
J20 0600  3    both the interior and the exterior of ~C. Any other
J20 0610  3    point of intersection between ~C and **f will be called
J20 0620  1    a tangent point. This terminology will also be applied
J20 0620 10    to the corresponding points in the ~f-plane. We can
J20 0630  9    now prove several lemmas.
J20 0640  2    #LEMMA 1.#
J20 0640  4    In some neighborhood in the ~f-plane of any ordinary
J20 0650  3    point of the graph, the function ~f is a single-valued,
J20 0660  1    continuous function.
J20 0660  3    _PROOF._
J20 0660  4       We first show that the function is single-valued
J20 0680  3    in some neighborhood. With the vertex at **f in the
J20 0680 13    ~C-plane we assume that **f is the parametric location
J20 0690  9    on ~C of an ordinary intersection ~Q between ~C and
J20 0700  9    **f. In the ~f-plane the coordinates of the corresponding
J20 0710  9    point are **f. We know that in the ~C-plane both ~C
J20 0720 11    and **f are analytic. In the ~C-plane we construct
J20 0730  7    a set of rectangular Cartesian coordinates ~u, ~v with
J20 0740  5    the origin at ~Q and such that both ~C and **f have
J20 0750  8    finite slope at ~Q. Near ~Q, both curves can be represented
J20 0760  7    by analytic functions of ~u. In a neighborhood of ~Q
J20 0770  6    the difference between these functions is also a single-valued,
J20 0780  7    analytic function of ~u. Furthermore, one can find
J20 0790  4    a neighborhood of ~Q in which the difference function
J20 0800  2    is monotone, for since it is analytic it can have only
J20 0810  1    a finite number of extrema in any interval. Now, to
J20 0810 11    find **f, one needs the intersection of ~C and **f
J20 0820  7    near ~Q. But **f is just the curve **f translated without
J20 0830  6    rotation through a small arc, for **f is always obtained
J20 0840  5    by rotating ~C through exactly 90`. The arc is itself
J20 0850  4    a segment of an analytic curve. Thus if ~e is sufficiently
J20 0870  1    small, there can be only one intersection of ~C and
J20 0880  1    **f near ~Q, for if there were more than one intersection
J20 0880 12    for every ~e then the difference between ~C and **f
J20 0890  9    near ~Q would not be a monotone function. Therefore,
J20 0900  8    **f is single-valued near ~Q. It is also seen that
J20 0910  8    **f, since the change from **f to **f is accomplished
J20 0920  5    by a continuous translation. Thus **f is also continuous
J20 0930  2    at **f, and in a neighborhood of **f which does not
J20 0930 13    contain a tangent point.
J20 0940  4       We turn now to the set of tangent points on the
J20 0950  2    graph. This set must consist of isolated points and
J20 0950 11    closed intervals. The fact that there can not be any
J20 0960  9    limit points of the set except in closed intervals
J20 0970  4    follows from the argument used in Lemma 1, namely,
J20 0980  1    that near any tangent point in the ~C-plane the curves
J20 0980 12    ~C and **f are analytic, and therefore the difference
J20 0990  9    between them must be a monotone function in some neighborhood
J20 1000  9    on either side of the tangent point. This prevents
J20 1010  5    the occurrence of an infinite sequence of isolated
J20 1020  3    tangent points.
J20 1020  5    #LEMMA 2.#
J20 1020  7    In some neighborhood of an isolated tangent point in
J20 1030  5    the ~f-plane, say **f, the function **f is either double-valued
J20 1040  4    or has no values defined, except at the tangent point
J20 1050  2    itself, where it is single-valued.
J20 1050  8    _PROOF._
J20 1050  9       A tangent point ~Q in the ~C-plane occurs when ~C
J20 1060  9    and **f are tangent to one another. A continuous change
J20 1070  8    in ~t through an amount ~e results in a translation
J20 1080  6    along an analytic arc of the curve **f. There are three
J20 1090  5    possibilities: (a) **f remains tangent to ~C as it
J20 1100  4    is translated; (b) **f moves away from ~C and does
J20 1110  2    not intersect it at all for **f; (c) **f cuts across
J20 1110 13    ~C and there are two ordinary intersections for every
J20 1120  9    ~t in **f. The first possibility results in a closed
J20 1130  7    interval of tangent points in the ~f-plane, the end
J20 1140  7    points of which fall into category (b) or (c). In the
J20 1150  5    second category the function **f has no values defined
J20 1160  1    in a neighborhood **f. In the third category the function
J20 1160 11    is double-valued in this interval. The same remarks
J20 1170  7    apply to an interval on the other side of **f. Again,
J20 1180  6    the analyticity of the two curves guarantee that such
J20 1190  3    intervals exist. In the neighborhood of an end point
J20 1190 12    of an interval of tangent points in the ~f-plane the
J20 1200 10    function is two-valued or no-valued on one side, and
J20 1210  8    is a single-valued function consisting entirely of
J20 1220  3    tangent points on the other side.
J20 1220  9       With the above results we can make the following
J20 1230  8    remarks about the graph of ~f. First, for any value
J20 1240  5    of ~t for which all values of ~f(t) are ordinary points
J20 1250  4    the number of values of ~f(t) must be odd. For it is
J20 1260  5    clear that the total number of ordinary intersections
J20 1270  1    of ~C and **f must be even (otherwise, starting in
J20 1270 11    the interior of ~C, **f could not finally return to
J20 1280  9    the interior), and the center of rotation at ~t is
J20 1290  7    the argument of the function, not a value. Therefore,
J20 1300  3    for any value of ~t the number of values of ~f(t) is
J20 1310  3    equal to the (finite) number of tangent points corresponding
J20 1320  1    to the argument ~t plus an odd number.
J20 1320  9    #DEFINITION.#
J20 1320 10    The number of ordinary values of the function ~f(t)
J20 1330  9    at ~t will be called its multiplicity at ~t.
J20 1340  8    #LEMMA 3.#
J20 1340 10    The graph of ~f has at least one component whose support
J20 1350 10    is the entire interval ~[0,T].
J20 1360  2    _PROOF_
J20 1360  3       We suppose not. Then every component of the graph
J20 1370  4    of ~f must be defined over a bounded sub-interval.
J20 1380  1    Suppose **f is defined in the sub-interval **f. Now
J20 1380 11    **f and **f must both be tangent points on the ~nth
J20 1390  9    component in the ~f-plane; otherwise by Lemma 1 the
J20 1400  6    component would extend beyond these points. Further,
J20 1410  4    we see by Lemma 2 that the multiplicity of ~f can only
J20 1420  4    change at a tangent point, and at such a point can
J20 1430  1    only change by an even integer. Thus the multiplicity
J20 1430 10    of **f for a given ~t must be an even number. This
J20 1440  8    is true of all components which have such a bounded
J20 1450  6    support. But this is a contradiction, for we know that
J20 1460  3    the multiplicity of ~f(t) is odd for every ~t.
J20 1470  1       We have shown that the graph of ~f contains at least
J20 1470 12    one component whose inverse is the entire interval
J20 1480  8    ~[0,T], and whose multiplicity is odd. There must be
J20 1490  8    an odd number of such components, which will be called
J20 1500  5    complete components. The remaining (incomplete) components
J20 1510  2    all have an even number of ordinary points at any argument,
J20 1520  1    and are defined only on a proper sub-interval of ~[0,T].
J20 1530  1       We must now show that on some component of the graph
J20 1530 12    there exist two points for which the corresponding
J20 1540  7    diagonal points in the ~C-plane are on opposite sides
J20 1550  5    of ~C. We again consider a fixed point ~P at **f and
J20 1560  7    a variable point ~Q at **f on ~C. We erect a square
J20 1570  6    with ~PQ as a side and with free corners **f and **f
J20 1580  5    adjacent to ~P and ~Q respectively. As ~s varies from
J20 1590  5    zero to ~T, the values of ~s for which **f and **f
J20 1600  5    cross ~C will be denoted by **f and **f respectively.
J20 1610  2    We have **f, plus tangent points. These ~s-values are
J20 1620  2    just the ordinary values of **f.
J20 1620  8    #LEMMA 4.#
J20 1620 10    The values **f are the ordinary values at **f of a
J20 1630  9    multi-valued function ~g(t) which has components corresponding
J20 1640  5    to those of ~f(t).
J20 1650  1    _PROOF._
J20 1650  1       We first define a function ~b(t) as follows: given
J20 1650 10    the set of squares such that each has three corners
J20 1660 10    on ~C and vertex at ~t, ~b(t) is the corresponding
J20 1670  7    set of positive parametric differences between ~t and
J20 1680  5    the backward corner points. The functions ~f and ~b
J20 1690  6    have exactly the same multiplicity at every argument
J20 1700  4    ~t. Now with ~P fixed at **f, **f-values occur when
J20 1710  3    the corner **f crosses ~C, and are among the values
J20 1720  1    of ~s such that **f. The roots of this equation are
J20 1720 12    just the ordinates of the intersections of the graph
J20 1730  8    of ~b with a straight line of unit slope through **f
J20 1740  7    in the ~b-plane (the plane of the graph of ~b). We
J20 1750  6    define these values as **f, and define ~g(t) in the
J20 1760  3    same way for each ~t. Thus we obtain ~g(t) by introducing
J20 1770  3    an oblique ~g(t)-axis in the ~b-plane.
J21 0010  1    #INTRODUCTION.#
J21 0010  2    In @1 we investigate a new series of line involutions
J21 0020  1    in a projective space of three dimensions over the
J21 0020 10    field of complex numbers. These are defined by a simple
J21 0030  8    involutorial transformation of the points in which
J21 0040  6    a general line meets a nonsingular quadric surface
J21 0050  1    bearing a curve of symbol **f. Then in @2 we show that
J21 0050 13    any line involution with the properties that (a) It
J21 0060  8    has no complex of invariant lines, and (b) Its singular
J21 0070  6    lines form a complex consisting exclusively of the
J21 0080  3    lines which meet a twisted curve, is necessarily of
J21 0080 12    the type discussed in @1. No generalization of these
J21 0090  9    results to spaces of more than three dimensions has
J21 0100  7    so far been found possible.
J21 0100 12    #1.#
J21 0110  1    Let ~Q be a nonsingular quadric surface bearing reguli
J21 0110 10    **f and **f, and let ~\g be a **f curve of order ~k
J21 0120 13    on ~Q. A general line ~l meets ~Q in two points, **f
J21 0140 10    and **f, through each of which passes a unique generator
J21 0150  8    of the regulus, **f, whose lines are simple secants
J21 0160  5    of ~\g. On these generators let **f and **f be, respectively,
J21 0170  4    the harmonic conjugates of **f and **f with respect
J21 0180  1    to the two points in which the corresponding generator
J21 0180 10    meets ~\g. The line **f is the image of ~l. Clearly,
J21 0190 10    the transformation is involutorial.
J21 0200  3       We observe first that no line, ~l, can meet its
J21 0210  4    image except at one of its intersections with ~Q. For
J21 0220  2    if it did, the plane of ~l and ~l' would contain two
J21 0230  2    generators of **f, which is impossible. Moreover, from
J21 0230 10    the definitive transformation of intercepts on the
J21 0240  6    generators of **f, it is clear that the only points
J21 0250  5    of ~Q at which a line can meets its image are the points
J21 0260  4    of ~\g. Hence the totality of singular lines is the
J21 0270  2    ~kth order complex of lines which meet ~\g.
J21 0270 10       The invariant lines are the lines of the congruence
J21 0280  9    of secants of ~\g, since each of these meets ~Q in
J21 0290  8    two points which are invariant. The order of this congruence
J21 0300  6    is **f, since **f secants of a curve of symbol ~(a,b)
J21 0310  3    on a quadric surface pass through an arbitrary point.
J21 0320  1    The class of the congruence is **f, since an arbitrary
J21 0320 11    plane meets ~\g in ~k points.
J21 0330  5       Since the complex of singular lines is of order
J21 0340  5    ~k and since there is no complex of invariant lines,
J21 0350  2    it follows from the formula **f that the order of the
J21 0350 13    involution is **f.
J21 0360  3       There are various sets of exceptional lines, or
J21 0360 11    lines whose images are not unique. The most obvious
J21 0370  9    of these is the quadratic complex of tangents to ~Q,
J21 0380  6    each line of which is transformed into the entire pencil
J21 0390  5    of lines tangent to ~Q at the image of the point of
J21 0400  5    tangency of the given line. Thus pencils of tangents
J21 0410  2    to ~Q are transformed into pencils of tangents. It
J21 0410 11    is interesting that a 1:1 correspondence can be established
J21 0420  9    between the lines of two such pencils, so that in a
J21 0430 10    sense a unique image can actually be assigned to each
J21 0440  5    tangent. For the lines of any plane, ~|p, meeting ~Q
J21 0450  3    in a conic ~C, are transformed into the congruence
J21 0460  1    of secants of the curve ~C' into which ~C is transformed
J21 0470  2    in the point involution on ~Q. In particular, tangents
J21 0480  1    to ~C are transformed into tangents to ~C'. Moreover,
J21 0490  1    if **f and **f are two planes intersecting in a line
J21 0490 12    ~l, tangent to ~Q at a point ~P, the two free intersections
J21 0500 11    of the image curves **f and **f must coincide at ~P',
J21 0510 11    the image of ~P, and at this point **f and **f must
J21 0520 11    have a common tangent ~l'. Hence, thought of as a line
J21 0530  8    in a particular plane ~|p, any tangent to ~Q has a
J21 0540  7    unique image and moreover this image is the same for
J21 0550  5    all planes through ~l.
J21 0550  9       Each generator, ~|l, of **f is also exceptional,
J21 0560  7    for each is transformed into the entire congruence
J21 0570  3    of secants of the curve into which that generator is
J21 0580  2    transformed by the point involution on ~Q. This curve
J21 0580 11    is of symbol **f since it meets ~|l, and hence every
J21 0590 10    line of **f in the **f invariant points on ~|l and
J21 0600  7    since it obviously meets every line of **f in a single
J21 0610  6    point. The congruence of its secants is therefore of
J21 0620  2    order **f and class **f.
J21 0620  7       A final class of exceptional lines is identifiable
J21 0630  3    from the following considerations: Since no two generators
J21 0640  2    of **f can intersect, it follows that their image curves
J21 0650  1    can have no free intersections. In other words, these
J21 0650 10    curves have only fixed intersections common to them
J21 0660  6    all. Now the only way in which all curves of the image
J21 0670  5    family of **f can pass through a fixed point is to
J21 0680  2    have a generator of **f which is not a secant but a
J21 0680 14    tangent of ~\g, for then any point on such a generator
J21 0690  9    will be transformed into the point of tangency. Since
J21 0700  6    two curves of symbol **f on ~Q intersect in **f points,
J21 0710  4    it follows that there are **f lines of **f which are
J21 0720  2    tangent to ~\g. Clearly, any line, ~l, of any bundle
J21 0730  1    having one of these points of tangency, ~T, as vertex
J21 0730 11    will be transformed into the entire pencil having the
J21 0740  7    image of the second intersection of ~l and ~Q as vertex
J21 0750  7    and lying in the plane determined by the image point
J21 0760  5    and the generator of **f which is tangent to ~\g at
J21 0770  3    ~T. A line through two of these points, **f and **f,
J21 0780  1    will be transformed into the entire bilinear congruence
J21 0780  9    having the tangents to ~\g at **f and **f as directrices.
J21 0790 10       A conic, ~C, being a (1, 1) curve on ~Q, meets the
J21 0800 10    image of any line of **f, which we have already found
J21 0810  8    to be a **f curve on ~Q, in **f points. Hence its image,
J21 0820  7    ~C', meets any line of **f in **f points. Moreover,
J21 0830  5    ~C' obviously meets any line **f in a single point.
J21 0840  4    Hence ~C' is a **f curve on ~Q. Therefore, the congruence
J21 0850  3    of its secants, that is the image of a general plane
J21 0860  2    field of lines, is of order **f and class **f. Finally,
J21 0860 13    the image of a general bundle of lines is a congruence
J21 0870 10    whose order is the order of the congruence of invariant
J21 0880  6    lines, namely **f and whose class is the order of the
J21 0890  5    image congruence of a general plane field of lines,
J21 0900  1    namely **f.
J21 0900  3    #2.#
J21 0900  4    The preceding observations make it clear that there
J21 0910  1    exist line involutions of all orders greater than 1
J21 0910 10    with no complex of invariant lines and with a complex
J21 0920  8    of singular lines consisting exclusively of the lines
J21 0930  4    which meet a twisted curve ~\g. We now shall show that
J21 0940  3    any involution with these characteristics is necessarily
J21 0950  1    of the type we have just described.
J21 0950  8       To do this we must first show that every line which
J21 0960  6    meets ~\g in a point ~P meets its image at ~P. To see
J21 0970  6    this, consider a general pencil of lines containing
J21 0980  2    a general secant of ~\G. By (1), the image of this
J21 0980 13    pencil is a ruled surface of order **f which is met
J21 0990 11    by the plane of the pencil in a curve, ~C, of order
J21 1000  8    **f. On ~C there is a **f correspondence in which the
J21 1010  6    **f points cut from ~C by a general line, ~l, of the
J21 1020  5    pencil correspond to the point of intersection of the
J21 1030  3    image of ~l and the plane of the pencil. Since ~C is
J21 1040  2    rational, this correspondence has ~k coincidences,
J21 1040  8    each of which implies a line of the pencil which meets
J21 1050 11    its image. However, since the pencil contains a secant
J21 1060  7    of ~\g it actually contains only **f singular lines.
J21 1070  4    To avoid this contradiction it is necessary that ~C
J21 1080  2    be composite, with the secant of ~\g and a curve of
J21 1090  1    order **f as components. Thus it follows that the secants
J21 1090 11    of ~\g are all invariant. But if this is the case,
J21 1100 10    then an arbitrary pencil of lines having a point, ~P,
J21 1110  7    of ~\g as vertex is transformed into a ruled surface
J21 1120  5    of order **f having **f generators concurrent at ~P.
J21 1130  2    Since a ruled surface of order ~n with ~n concurrent
J21 1131  1    generators is necessarily a cone, it follows finally
J21 1140  8    that every line through a point, ~P, of ~\g meets its
J21 1150  8    image at ~P, as asserted.
J21 1160  1       Now consider the transformation of the lines of
J21 1160  9    a bundle with vertex, ~P, on ~\g which is effected
J21 1170  9    by the involution as a whole. From the preceding remarks,
J21 1180  8    it is clear that such a bundle is transformed into
J21 1190  4    itself in an involutorial fashion. Moreover, in this
J21 1200  3    involution there is a cone of invariant lines of order
J21 1200 13    **f, namely the cone of secants of ~\g which pass through
J21 1210 10    ~P. Hence it follows that the involution within the
J21 1220  8    bundle must be a perspective de Jonquieres involution
J21 1230  4    of order **f and the invariant locus must have a multiple
J21 1240  4    line of multiplicity either **f or **f. The first possibility
J21 1250  1    requires that there be a line through ~P which meets
J21 1260  1    ~\g in **f points; the second requires that there be
J21 1260 11    a line through ~P which meets ~\g in **f points. In
J21 1270  9    each case, lines of the bundles are transformed by
J21 1280  7    involutions within the pencils they determine with
J21 1290  3    the multiple secant. In the first case the fixed elements
J21 1300  1    within each pencil are the multiple secant and the
J21 1300 10    line joining the vertex, ~P, to the intersection of
J21 1310  7    ~\g and the plane of the pencil which does not lie
J21 1320  7    on the multiple secant. In the second, the fixed elements
J21 1330  4    are the lines which join the vertex, ~P, to the two
J21 1340  3    intersections of ~\g and the plane of the pencil which
J21 1340 13    do not lie on the multiple secant. The multiple secants,
J21 1350 10    of course, are exceptional and in each case are transformed
J21 1360  8    into cones of order **f.
J21 1370  1       Observations similar to these can be made at each
J21 1370 10    point of ~\g. Hence ~\g must have either a regulus
J21 1380  8    of **f-fold secants or a regulus of **f-fold secants.
J21 1390  7    Moreover, if **f, no two of the multiple secants can
J21 1400  3    intersect. For if such were the case, either the plane
J21 1410  1    of the two lines would meet ~\g in more than ~k points
J21 1410 13    or, alternatively, the order of the image regulus of
J21 1420  9    the pencil determined by the two lines would be too
J21 1430  8    high. But if no two lines of the regulus of multiple
J21 1440  3    secants of ~\g can intersect, then the regulus must
J21 1450  1    be quadratic, or in other words, ~\g must be either
J21 1450 11    a **f or a **f curve on a nonsingular quadric surface.
J21 1460  7       We now observe that the case in which ~\g is a **f
J21 1470  9    curve on a quadric is impossible if the complex of
J21 1480  4    singular lines consists exclusively of the lines which
J21 1490  1    meet ~\g. For any pencil in a plane containing a **f-fold
J21 1490 13    secant of ~\g has an image regulus which meets the
J21 1500 10    plane of the pencil in **f lines, namely the images
J21 1510  7    of the lines of the pencil which pass through the intersection
J21 1520  4    of ~\g and the multiple secant, plus an additional
J21 1530  1    component to account for the intersections of the images
J21 1530 10    of the general lines of the pencil. However, if there
J21 1540 10    is no additional complex of singular lines, the order
J21 1550  6    of the image regulus of a pencil is precisely **f.
J21 1560  3    This contradicts the preceding observations, and so,
J21 1570  1    under the assumption of this paper we must reject the
J21 1570 11    possibility that ~\g is a **f curve on a quadric surface.
J21 1580 10       Continuing with the case in which ~\g is a **f curve
J21 1590 10    on a quadric ~Q, we first observe that the second regulus
J21 1600  6    of ~Q consists precisely of the lines which join the
J21 1610  6    two free intersections of ~\g and the planes through
J21 1620  2    any one of the multiple secants. For each of these
J21 1620 12    lines meets ~Q in three points, namely two points on
J21 1630 10    ~\g and one point on one of the multiple secants.
J21 1640  8       Now consider an arbitrary line, ~l, meeting ~Q in
J21 1650  6    two points, **f and **f. If ~|a is the multiple secant
J21 1660  6    of ~\g which passes through **f and ~|b is the simple
J21 1670  5    secant of ~\g which passes through **f, and if **f
J21 1680  3    are the points in which ~|a meets ~\g, and if **f is
J21 1680 15    the image of **f on the generator ~|b, it follows that
J21 1690 11    the image of the line **f is **f.
J22 0010  1       These societies can expect to face difficult times.
J22 0010  9    As the historic processes of modernization gradually
J22 0020  5    gain momentum, their cohesion will be threatened by
J22 0030  5    divisive forces, the gaps between rulers and subjects,
J22 0040  2    town and country, will widen; new aspirants for power
J22 0040 11    will emerge whose ambitions far exceed their competence;
J22 0050  8    old rulers may lose their nerve and their sense of
J22 0060  8    direction. National leaders will have to display the
J22 0070  5    highest skills of statesmanship to guide their people
J22 0080  1    through times of uncertainty and confusion which destroy
J22 0080  9    men's sense of identity. Feelings of a community of
J22 0090  9    interest will have to be recreated- in some of the
J22 0100  7    new nations, indeed, they must be built for the first
J22 0110  4    time- on a new basis which looks toward the future
J22 0110 14    and does not rely only on shared memories of the past.
J22 0120 11    Nevertheless, with foresight and careful planning,
J22 0130  5    some of the more disruptive and dangerous consequences
J22 0140  2    of social change which have troubled other countries
J22 0150  1    passing through this stage can be escaped. The United
J22 0150 10    States can help by communicating a genuine concern
J22 0160  7    with the problems these countries face and a readiness
J22 0170  5    to provide technical and other appropriate forms of
J22 0180  2    assistance where possible.
J22 0180  5       Our central goal should be to provide the greatest
J22 0190  5    positive incentive for these societies to tackle boldly
J22 0200  2    the tasks which they face. At the same time, we should
J22 0200 13    recognize that the obstacles to change and the lack
J22 0210  9    of cohesion and stability which characterize these
J22 0220  4    countries may make them particularly prone to diversions
J22 0230  3    and external adventures of all sorts. It may seem to
J22 0230 13    some of them that success can be purchased much less
J22 0240 10    dearly by fishing in the murky waters of international
J22 0250  5    politics than by facing up to the intractable tasks
J22 0260  2    at home. We should do what we can to discourage this
J22 0260 13    conclusion, both by offering assistance for their domestic
J22 0270  8    needs and by reacting firmly to irresponsible actions
J22 0280  5    on the world scene. When necessary, we should make
J22 0290  4    it clear that countries which choose to derive marginal
J22 0300  1    advantages from the cold war or to exploit their potential
J22 0300 11    for disrupting the security of the world will not only
J22 0310 10    lose our sympathy but also risk their own prospects
J22 0320  6    for orderly development. As a nation, we feel an obligation
J22 0330  5    to assist other countries in their development; but
J22 0340  2    this obligation pertains only to countries which are
J22 0340 10    honestly seeking to become responsible members of a
J22 0350  8    stable and forward-moving world community.
J22 0360  1    #TRANSITIONAL SOCIETIES#
J22 0360  3    When we look at countries like Iran, Iraq, Pakistan,
J22 0370  4    and Burma, where substantial progress has been made
J22 0380  1    in creating a minimum supply of modern men and of social
J22 0380 12    overhead capital, and where institutions of centralized
J22 0390  6    government exist, we find a second category of countries
J22 0400  6    with a different set of problems and hence different
J22 0410  2    priorities for policy. The men in power are committed
J22 0420  1    in principle to modernization, but economic and social
J22 0420  9    changes are proceeding only erratically. Isolated enterprises
J22 0430  5    have been launched, but they are not yet related to
J22 0440  7    each other in a meaningful pattern. The society is
J22 0450  3    likely to be characterized by having a fairly modernized
J22 0450 12    urban sector and a relatively untouched rural sector,
J22 0460  8    with very poor communications between the two. Progress
J22 0470  5    is impeded by psychological inhibitions to effective
J22 0480  3    action among those in power and by a failure on their
J22 0490  2    part to understand how local resources, human and material,
J22 0490 11    can be mobilized to achieve the national goals of modernization
J22 0500 10    already symbolically accepted.
J22 0510  2       Most countries in this second category share the
J22 0520  2    difficulty of having many of the structures of a modern
J22 0520 12    political and social system without the modern standards
J22 0530  8    of performance required to make them effective. In
J22 0540  6    these rapidly changing societies there is also too
J22 0550  4    little appreciation of the need for effort to achieve
J22 0550 13    goals. The colonial period has generally left people
J22 0560  8    believing that government can, if it wishes, provide
J22 0570  6    all manner of services for them- and that with independence
J22 0580  5    free men do not have to work to realize the benefits
J22 0590  2    of modern life. For example, in accordance with the
J22 0590 11    fashion of the times, most transitional societies have
J22 0600  8    announced economic development plans of varying numbers
J22 0610  5    of years; such is the mystique of planning that people
J22 0620  4    expect that fulfillment of the plan will follow automatically
J22 0630  2    upon its announcement. The civil services in such societies
J22 0640  1    are generally inadequate to deal competently with the
J22 0640  9    problems facing them; and their members often equate
J22 0650  7    a government career with security and status rather
J22 0660  4    than with sacrifice, self-discipline, and competence.
J22 0670  1       American policy should press constantly the view
J22 0670  8    that until these governments demand efficiency and
J22 0680  7    effectiveness of their bureaucracies there is not the
J22 0690  6    slightest hope that they will either modernize of democratize
J22 0700  3    their societies. We should spread the view that planning
J22 0710  2    and national development are serious matters which
J22 0710  9    call for effort as well as enthusiasm. Above all, we
J22 0720  9    should seek to encourage the leaders of these societies
J22 0730  6    to accept the unpleasant fact that they are responsible
J22 0740  3    for their fates. Only within the framework of a mature
J22 0750  1    relationship characterized by honest appraisals of
J22 0750  7    performance can we provide telling assistance. With
J22 0760  6    respect to those countries whose leaders prefer to
J22 0770  4    live with their illusions, we can afford to wait, for
J22 0780  2    in time their comparative lack of progress will become
J22 0780 11    clear for all to see.
J22 0790  3       Our technical assistance to these countries should
J22 0800  1    place special emphasis on inducing the central governments
J22 0800  9    to assume the role of advisor and guide which at an
J22 0810  9    earlier stage foreign experts assumed in dealing with
J22 0830  5    the central governments. We should encourage the governments
J22 0840  3    to develop their own technical assistance to communities,
J22 0850  1    state and provincial governments, rural communities,
J22 0850  7    and other smaller groups, making certain that no important
J22 0860  7    segment of the economy is neglected. Simultaneously
J22 0870  3    we should be underlining the interrelationships of
J22 0880  2    technical progress in various fields, showing how agricultural
J22 0890  1    training can be introduced into education, how health
J22 0890  9    affects labor productivity, how small business can
J22 0900  6    benefit the rural farm community, and, above all, how
J22 0910  5    progress in each field relates to national progress.
J22 0920  1    Efforts such as the Community Development Program in
J22 0920  9    the Philippines have demonstrated that transitional
J22 0930  5    societies can work toward balanced national development.
J22 0940  4    To achieve this goal of balanced development, communications
J22 0950  2    between the central government and the local communities
J22 0960  1    must be such that the needs and aspirations of the
J22 0960 11    people themselves are effectively taken into account.
J22 0970  6    If modernization programs are imposed from above, without
J22 0980  6    the understanding and cooperation of the people, they
J22 0990  4    will encounter grave difficulties.
J22 0990  8       Land reform is likely to be a pressing issue in
J22 1000  9    many of these countries. It should be American policy
J22 1010  4    not only to encourage effective land reform programs
J22 1020  2    but also to underline the relation of such reforms
J22 1020 11    to the economic growth and modernization of the society.
J22 1030  7    As an isolated policy, land reform is likely to be
J22 1040  7    politically disruptive; as part of a larger development
J22 1050  2    effort, however, it may gain wide acceptance. It should
J22 1060  1    also be recognized that the problem of rural tenancy
J22 1060 10    cannot be solved by administrative decrees alone. Land
J22 1070  6    reform programs need to be supplemented with programs
J22 1080  4    for promoting rural credits and technical assistance
J22 1090  1    in agriculture.
J22 1090  3       Lastly, governmental and private planners will at
J22 1100  3    this stage begin to see large capital requirements
J22 1100 11    looming ahead. By holding out prospects for external
J22 1110  8    capital assistance, the United States can provide strong
J22 1120  6    incentives to prepare for the concerted economic drive
J22 1130  3    necessary to achieve self-sustaining growth.
J22 1140  1    #ACTIVELY MODERNIZING SOCIETIES#
J22 1140  3    At a third stage in the modernization process are such
J22 1150  4    countries as India, Brazil, the Philippines, and Taiwan,
J22 1160  2    which are ready and committed to move into the stage
J22 1160 12    of self-sustaining growth. They must continue to satisfy
J22 1170  7    basic capital needs; and there persists the dual problem
J22 1180  7    of maintaining operational unity around a national
J22 1190  4    program of modernization while simultaneously decentralizing
J22 1200  1    participation in the program to wider and wider groups.
J22 1210  1    But these countries have made big strides toward developing
J22 1210 10    the necessary human and social overhead capital; they
J22 1220  7    have established reasonably stable and effective governmental
J22 1230  5    institutions at national and local levels; and they
J22 1240  4    have begun to develop a capacity to deal realistically
J22 1250  1    and simultaneously with all the major sectors of their
J22 1250 10    economies.
J22 1260  1       On the economic front, the first priority of these
J22 1260 10    countries is to mobilize a vastly increased volume
J22 1270  8    of resources. Several related tasks must be carried
J22 1280  5    out if self-sustaining growth is to be achieved. These
J22 1290  2    countries must formulate a comprehensive, long-term
J22 1290  9    program covering the objectives of both the private
J22 1300  8    and the public sectors of the economy. They must in
J22 1310  7    their planning be able to count on at least tentative
J22 1330  2    commitments of foreign capital assistance over periods
J22 1340  1    of several years. Capital imports drawn from a number
J22 1340 10    of sources must be employed and combined skillfully
J22 1350  6    enough to permit domestic investment programming to
J22 1360  3    go forward. Capital flows must be coordinated with
J22 1370  1    national needs and planning. Finally, a balance must
J22 1370  9    be effected among project finance, utilization of agricultural
J22 1390  6    surpluses, and general balance of payments support.
J22 1400  5       Thus, although the agenda of external assistance
J22 1410  2    in the economic sphere are cumulative, and many of
J22 1410 11    the policies suggested for nations in the earlier stages
J22 1420  9    remain relevant, the basic purpose of American economic
J22 1430  7    policy during the later stages of development should
J22 1440  4    be to assure that movement into a stage of self-sustaining
J22 1450  1    growth is not prevented by lack of foreign exchange.
J22 1460  1       There remain many political and administrative problems
J22 1460  8    to be solved. For one thing, although considerable
J22 1470  6    numbers of men have been trained, bureaucracies are
J22 1480  3    still deficient in many respects; even the famed Indian
J22 1490  3    Civil Service is not fully adequate to the tremendous
J22 1500  1    range of tasks it has undertaken. Technical assistance
J22 1500  9    in training middle- and upper-level management personnel
J22 1510  6    is still needed in many cases. There are also more
J22 1520  5    basic problems. This is the stage at which democratic
J22 1530  1    developments must take place if the society is to become
J22 1530 11    an open community of creative people. Nevertheless,
J22 1540  7    impulses still exist among the ruling elite to rationalize
J22 1550  7    and thus to perpetuate the need for centralized and
J22 1560  4    authoritarian practices. Another great danger is that
J22 1570  2    the emerging middle class will feel itself increasingly
J22 1570 10    alienated from the political leaders who still justify
J22 1580  8    their dominance by reference to the struggle for independence
J22 1590  6    or the early phase of nationalism. The capacity of
J22 1600  4    intellectuals and members of the new professional classes
J22 1610  2    to contribute creatively to national development is
J22 1610  9    likely to be destroyed by a constraining sense of inferiority
J22 1620  9    toward both their own political class and their colleagues
J22 1630  7    and professional counterparts in the West. Particularly
J22 1640  5    when based upon a single dominant party, governments
J22 1650  2    may respond to such a situation by claiming a monopoly
J22 1650 12    of understanding about the national interest. Convinced
J22 1660  7    of the wisdom of their own actions, and reassured by
J22 1670  7    the promises of their economic development programs,
J22 1680  2    governments may fail to push outward to win more and
J22 1690  2    more people to the national effort, becoming instead
J22 1690 10    more rigid and inflexible in their policies.
J22 1700  5       American policy toward such societies should stress
J22 1710  3    our sympathy for the emerging social and professional
J22 1720  1    classes. It should attempt to communicate both an appreciation
J22 1730  1    of professional standards and an understanding of the
J22 1730  9    tremendous powers and potentialities of genuinely open
J22 1740  6    and pluralistic societies. We have every obligation
J22 1750  4    to take seriously their claims to being democratic
J22 1760  1    and free countries; we also have, in consequence, the
J22 1760 10    duty to appraise realistically and honestly their performance
J22 1770  6    and to communicate our judgments to their leaders in
J22 1780  7    frank but friendly ways.
J22 1780 11    #THE TIME FACTOR#
J22 1790  2    We have emphasized that the modernizing process in
J22 1790 10    each society will take a considerable period of time.
J22 1800  8    With the exception of treaty-making, foreign relations
J22 1810  5    were historically concerned for the most part with
J22 1820  4    conditions of short or at least measurable duration.
J22 1820 12    Foreign policy now takes on a different perspective
J22 1830  8    and must become skilled not merely at response but
J22 1840  6    also at projection. American and free-world policies
J22 1850  2    can marginally affect the pace of transition; but basically
J22 1860  1    that pace depends on changes in the supply of resources
J22 1860 11    and in the human attitudes, political institutions,
J22 1870  6    and social structure which each society must generate.
J22 1880  5    It follows that any effective policy toward the underdeveloped
J22 1890  3    countries must have a realistically long working horizon.
J22 1900  2    It must be marked by a patience and persistence which
J22 1900 12    have not always been its trademark.
J22 1910  6       This condition affects not only the conception but
J22 1920  4    also the legislative and financial support of foreign
J22 1930  1    policy, especially in the context of economic aid.
J23 0010  1    #/2,: SOME OF THE MAJOR FUNCTIONS OF RELIGION#
J23 0010  9    The place of religion in the simple, preliterate societies
J23 0020  7    is quite definite; as a complex it fits into the whole
J23 0030  8    social organization and functions dominantly in every
J23 0040  3    part of it. In societies like ours, however, its place
J23 0050  1    is less clear and more complex. With the diversity
J23 0050 10    of religious viewpoints, there are differences of opinion
J23 0060  6    as to the essential features of religion; and there
J23 0070  5    are different opinions as to the essential functions
J23 0080  2    of religion. Nevertheless, for most of the population
J23 0080 10    of heterogeneous advanced societies, though less for
J23 0090  6    the less religious portion, religion does perform certain
J23 0100  5    modal individual and social functions.
J23 0110  1       Although the inner functions of religion are not
J23 0110  9    of direct significance in social organization, they
J23 0120  6    have important indirect consequences. If the inner
J23 0130  4    functions of religion are performed, the individual
J23 0140  1    is a composed, ordered, motivated, and emotionally
J23 0140  8    secure associate; he is not greatly frustrated, and
J23 0150  7    he is not anomic; he is better fitted to perform his
J23 0160  6    social life among his fellows. There are several closely
J23 0170  3    related inner functions.
J23 0170  6       In the last analysis, religion is the means of inducing,
J23 0180  7    formulating, expressing, enhancing, implementing, and
J23 0190  3    perpetuating man's deepest experience- the religious.
J23 0210  1    Man is first religious; the instrumentalities follow.
J23 0210  8    Religion seeks to satisfy human needs of great pertinence.
J23 0220  9    The significant things in it, at the higher religious
J23 0240  8    levels, are the inner emotional, mental, and spiritual
J23 0250  4    occurrences that fill the pressing human needs of
J23 0260  2    self-preservation,
J23 0260  4    self-pacification, and self-completion. The chief experience
J23 0270  2    is the sensing of communion, and in the higher religions,
J23 0280  1    of a harmonious relationship with the supernatural
J23 0280  8    power. Related to this is the fact that most of the
J23 0290  9    higher religions define for the individual his place
J23 0300  3    in the universe and give him a feeling that he is relatively
J23 0310  1    secure in an ordered, dependable universe. Man has
J23 0310  9    the experience of being helpfully allied with what
J23 0320  7    he cannot fully understand; he is a coordinate part
J23 0330  6    of all of the mysterious energy and being and movement.
J23 0340  2    The universe is a safe and permanent home.
J23 0340 10       A number of religions also satisfy for many the
J23 0350  8    need of being linked with the ultimate and eternal.
J23 0360  4    Death is not permanent defeat and disappearance; man
J23 0370  2    has a second chance. He is not lost in the abyss of
J23 0370 14    endless time; he has endless being. Religion at its
J23 0380  9    best also offers the experience of spiritual fulfillment
J23 0390  5    by inviting man into the highest realm of the spirit.
J23 0400  4    Religion can summate, epitomize, relate, and conserve
J23 0410  1    all the highest ideals and values- ethical, aesthetic,
J23 0410  9    and religious- of man formed in his culture.
J23 0420  9       There is also the possibility, among higher religions,
J23 0440  4    of experiencing consistent meaning in life and enjoying
J23 0450  3    guidance and expansiveness. The kind of religious experience
J23 0460  1    that most moderns seek not only provides, clarifies,
J23 0460  9    and relates human yearnings, values, ideals, and purposes;
J23 0470  7    it also provides facilities and incitements for the
J23 0480  5    development of personality, sociality, and creativeness.
J23 0490  3    Under the religious impulse, whether theistic or humanistic,
J23 0510  2    men have joy in living; life leads somewhere. Religion
J23 0520  1    at its best is out in front, ever beckoning and leading
J23 0520 12    on, and, as Lippman put it, "mobilizing all man's scattered
J23 0530  7    energies in one triumphant sense of his own infinite
J23 0540  6    importance".
J23 0540  7       At the same time that religion binds the individual
J23 0560  6    helpfully to the supernatural and gives him cosmic
J23 0570  4    peace and a sense of supreme fulfillment, it also has
J23 0580  1    great therapeutic value for him. It gives him aid,
J23 0580 10    comfort, even solace, in meeting mundane life situations
J23 0590  6    where his own unassisted practical knowledge and skill
J23 0600  4    are felt by him to be inadequate. He is confronted
J23 0610  1    with the recurrent crises, such as great natural catastrophes
J23 0610 10    and the great transitions of life- marriage, incurable
J23 0620  8    disease, widowhood, old age, the certainty of death.
J23 0640  7    He has to cope with frustration and other emotional
J23 0650  4    disturbance and anomie. His religious beliefs provide
J23 0660  1    him with plausible explanations for many conditions
J23 0660  8    which cause him great concern, and his religious faith
J23 0670  8    makes possible fortitude, equanimity, and consolation,
J23 0680  3    enabling him to endure colossal misfortune, fear, frustration,
J23 0690  3    uncertainty, suffering, evil, and danger. Religion
J23 0700  1    usually also includes a principle of compensation,
J23 0700  8    mainly in a promised perfect future state.
J23 0710  4       The belief in immortality, where held, functions
J23 0730  2    as a redress for the ills and disappointments of the
J23 0730 12    here and now. The tensions accompanying a repressive
J23 0740  8    consciousness of wrongdoing or sinning or some tormenting
J23 0750  6    secret are relieved for the less self-contained or
J23 0760  4    self-sufficient by confession, repentance, and penance.
J23 0770  1    The feeling of individual inferiority, defeat, or humilation
J23 0770  9    growing out of various social situations or individual
J23 0780  8    deficiencies or failures is compensated for by communion
J23 0790  6    in worship or prayer with a friendly, but all-victorious
J23 0800  4    Father-God, as well as by sympathetic fellowship with
J23 0810  2    others who share this faith, and by opportunities in
J23 0810 11    religious acts for giving vent to emotions and energies.
J23 0820  9       In providing for these inner individual functions,
J23 0830  6    religion undertakes in behalf of individual peace of
J23 0840  5    mind and well-being services for which there is no
J23 0850  2    other institution.
J23 0850  4       In addition to the functions of religion within
J23 0870  2    man, there have always been the outer social functions
J23 0870 11    for the community and society. The two have never been
J23 0880  9    separable. Religion is vitally necessary in both societal
J23 0890  7    maintenance and regulation.
J23 0900  1       The value-system of a community or society is always
J23 0900 11    correlated with, and to a degree dependent upon, a
J23 0910  8    more or less shared system of religious beliefs and
J23 0920  3    convictions. The religion supports, re-enforces, reaffirms,
J23 0930  2    and maintains the fundamental values. Even in the united
J23 0940  1    states, with its freedom of religious belief and worship
J23 0940 10    and its vast denominational differentiation, there
J23 0950  4    is a general consensus regarding the basic Christian
J23 0960  4    values. This is demonstrated especially when there
J23 0970  1    is awareness of radically different value orientation
J23 0970  8    elsewhere; for example Americans rally to Christian
J23 0980  7    values vis-a-vis those of atheistic communism. In America
J23 0990  6    also all of our major religious bodies officially sanction
J23 1000  3    a universalistic ethic which is reflective of our common
J23 1010  3    religion. Even the non-church members- the freewheelers,
J23 1030  1    marginal religionists and so on- have the values of
J23 1030 10    Christian civilization internalized in them. Furthermore,
J23 1050  5    religion tends to integrate the whole range of values
J23 1060  6    from the highest or ultimate values of God to the intermediary
J23 1070  4    and subordinate values; for example, those regarding
J23 1080  1    material objects and pragmatic ends. Finally, it gives
J23 1080  9    sanctity, more than human legitimacy, and even, through
J23 1090  8    super-empirical reference, transcendent and supernatural
J23 1100  4    importance to some values; for example, marriage as
J23 1110  3    a sacrament, much law-breaking as sinful, occasionally
J23 1120  1    the state as a divine instrument. It places certain
J23 1120 10    values at least beyond questioning and tampering.
J23 1130  5       Closely related to this function is the fact that
J23 1140  6    the religious system provides a body of ultimate ends
J23 1160  2    for the society, which are compatible with the supreme
J23 1160 11    eternal ends. This something leads to a conception
J23 1170  8    of an over-all Social Plan with a meaning interpretable
J23 1180  6    in terms of ultimate ends; for example, a plan that
J23 1190  4    fulfills the will of God, which advances the Kingdom
J23 1200  1    of God, which involves social life as part of the Grand
J23 1200 12    Design. This explains some group ends and provides
J23 1210  8    a justification of their primacy. It gives social guidance
J23 1230  6    and direction and makes for programs of social action.
J23 1240  4    Finally, it gives meaning to much social endeavor,
J23 1250  1    and logic, consistency, and meaning to life. In general,
J23 1250 10    there is no society so secularized as to be completely
J23 1260  8    without religiously inspired transcendental ends.
J23 1270  3       Religion integrates and unifies. Some of the oldest,
J23 1280  4    most persistent, and most cohesive forms of social
J23 1280 12    groupings have grown out of religion. These groups
J23 1290  8    have varied widely from mere families, primitive, totemic
J23 1300  5    groups, and small modern cults and sects, to the memberships
J23 1310  5    of great denominations, and great, widely dispersed
J23 1320  2    world religions. Religion fosters group life in various
J23 1320 10    ways. The common ultimate values, ends and goals fostered
J23 1330  9    by religion are a most important factor. Without a
J23 1340  7    system of values there can be no society. Where such
J23 1350  4    a value system prevails, it always unifies all who
J23 1360  2    possess it; it enables members of the society to operate
J23 1360 12    as a system. The beliefs of a religion also reflecting
J23 1380  8    the values are expressed in creeds, dogmas, and doctrines,
J23 1390  6    and form what Durkheim calls a credo. As he points
J23 1400  4    out, a religious group cannot exist without a collective
J23 1410  1    credo, and the more extensive the credo, the more unified
J23 1410 11    and strong is the group. The credo unifies and socializes
J23 1420  9    men by attaching them completely to an identical body
J23 1430  7    of doctrine; the more extensive and firm the body of
J23 1440  6    doctrine, the firmer the group.
J23 1440 11       The religious symbolism, and especially the closely
J23 1450  6    related rites and worship forms, constitute a powerful
J23 1460  5    bond for the members of the particular faith. The religion,
J23 1470  3    in fact, is an expression of the unity of the group,
J23 1480  1    small or large. The common codes, for religious action
J23 1480 10    as such and in their ethical aspects for everyday moral
J23 1490  8    behavior, bind the devotees together. These are ways
J23 1500  5    of jointly participating in significantly symbolized,
J23 1510  2    standardized, and ordered religiously sanctified behavior.
J23 1520  1    The codes are mechanism for training in, and directing
J23 1520 10    and enforcing, uniform social interaction, and for
J23 1530  6    continually and publicly reasserting the solidarity
J23 1540  3    of the group.
J23 1540  6       Durkheim noted long ago that religion as "**h a
J23 1550  5    unified system of beliefs and practices relative to
J23 1560  2    sacred things **h unite[s] into one single moral community
J23 1560 11    **h all those who adhere to them". His view is that
J23 1580 10    every religion pertains to a community, and, conversely,
J23 1600  5    every community is in one aspect a religious unit.
J23 1610  2    This is brought out in the common religious ethos that
J23 1610 12    prevails even in the denominationally diverse audiences
J23 1620  7    at many secular semi-public and public occasions in
J23 1630  7    the United States; and it is evidenced in the prayers
J23 1650  5    offered, in the frequent religious allusions, and in
J23 1660  3    the confirmation of points on religious grounds.
J23 1660 10       The unifying effect of religion is also brought
J23 1670  8    out in the fact that historically peoples have clung
J23 1680  4    together as more or less cohesive cultural units, with
J23 1690  3    religion as the dominant bond, even though spatially
J23 1690 11    dispersed and not politically organized. The Jews for
J23 1700  8    2500 years have been a prime example, though the adherents
J23 1710  7    of any world or interpeople religion are cases in point.
J23 1720  5    it might be pointed out that the integrating function
J23 1730  2    of religion, for good or ill, has often supported or
J23 1730 12    been identified with other groupings- political, nationality,
J23 1740  7    language, class, racial, sociability, even economic.
J23 1760  5       Religion usually exercises a stabilizing-conserving
J23 1780  4    function. As such it acts as an anchor for the people.
J23 1790  4    There is a marked tendency for religions, once firmly
J23 1800  1    established, to resist change, not only in their own
J23 1800 10    doctrines and policies and practices, but also in secular
J23 1810  7    affairs having religious relevance. It has thus been
J23 1820  5    a significant factor in the conservation of social
J23 1830  2    values, though also in some measure, an obstacle to
J23 1830 11    the creation or diffusion of new ones. It tends to
J23 1840  9    support the longstanding precious sentiments, the traditional
J23 1850  4    ways of thinking, and the customary ways of living.
J23 1860  3    As Yinger has pointed out, the "**h reliance on symbols,
J23 1870  1    on tradition, on sacred writings, on the cultivation
J23 1870  9    of emotional feelings of identity and harmony with
J23 1880  7    sacred values, turns one to the past far more than
J23 1890  5    to the future". Historically, religion has also functioned
J23 1900  2    as a tremendous engine of vindication, enforcement,
J23 1900  9    sanction, and perpetuation of various other institutions.
J23 1910  7       At the same time that religion exercises a conserving
J23 1920  7    influence, it also energizes and motivates both individuals
J23 1930  5    and groups. Much of the important individual and social
J23 1940  4    action has been owing to religious incentives. The
J23 1950  1    great ultimate ends of religion have served as magnificent
J23 1950 10    beacon lights that lured people toward them with an
J23 1960  9    almost irresistible force, mobilizing energies and
J23 1970  4    inducing sacrifices; for example, the Crusades, mission
J23 1980  2    efforts, just wars. Much effort has been expended in
J23 1980 11    the sincere effort to apply the teaching and admonitions
J23 1990  9    of religion. The insuperable reward systems that most
J23 2000  6    religions embody have great motivating effects. Religion
J23 2010  3    provides the most attractive rewards, either in this
J23 2020  3    world or the next, for those who not merely abide by
J23 2020 14    its norms, but who engage in good works.
J23 2030  7       Religion usually acts as a powerful aid in social
J23 2040  4    control, enforcing what men should or should not do.
J23 2050  2    Among primitive peoples the sanctions and dictates
J23 2050  9    of religion were more binding than any of the other
J23 2060  8    controls exercised by the group; and in modern societies
J23 2070  5    such influence is still great. Religion has its own
J23 2080  3    supernatural prescriptions that are at the same time
J23 2080 11    codes of behavior for the here and now.
J24 0010  1    Overwhelmed with the care of five young children and
J24 0010 10    concerned about persistent economic difficulties due
J24 0020  5    to her husband's marginal income, her defense of denial
J24 0030  5    was excessively strong. Thus the lack of effective
J24 0040  1    recognition of the responsibilities involved in caring
J24 0040  8    for two babies showed signs of becoming a disabling
J24 0050  8    problem. The result, dramatically visible in a matter
J24 0060  5    of days in the family's disrupted daily functioning,
J24 0070  2    was a phobic-like fear that some terrible harm would
J24 0070 12    befall the second twin, whose birth had not been anticipated.
J24 0080 10    Soon Mrs& B&'s fears threatened to burst into a full-blown
J24 0090 10    panic concerning the welfare of the entire family.
J24 0100  7    Inability to care for the other children, difficulty
J24 0110  3    in feeding the babies, who seemed colicky, bone-weary
J24 0120  1    fatigue, repeated crying episodes, and short tempers
J24 0120  8    reflected the family's helplessness in coping with
J24 0130  7    the stressful situation. Clearly, this was a family
J24 0140  5    in crisis.
J24 0140  7       Mrs& B& compared her feelings of weakness to her
J24 0150  6    feelings of weakness and helplessness at the time of
J24 0160  4    her mother's death when she was eight, as well as her
J24 0160 15    subsequent anger at her father for remarrying. Her
J24 0170  8    previous traumatic experiences flashed through her
J24 0180  4    mind as if they had happened yesterday. On the anniversary
J24 0190  4    of her father's death she poured out with agonized
J24 0200  1    tears her feelings of guilt about not having attended
J24 0200 10    his funeral. In the family's own words (during the
J24 0210  8    third of twelve visits), they had "reached the crisis
J24 0220  5    peak- either the situation will give or we will break"!
J24 0240  3       Direct confrontation and acceptance of Mrs& B&'s
J24 0250  2    anger against the second baby soon dissipated her fears
J24 0260  1    of annihilation. Abreaction of her anxiety and guilt
J24 0260  9    concerning the death of her parents, when linked up
J24 0270  8    with her current feelings of anger and her fears of
J24 0280  5    loss, abandonment, and annihilation, produced further
J24 0290  1    relief of tension. In a joint interview Mr& and Mrs&
J24 0290 11    B& were helped to understand the meaning of a younger
J24 0300  9    son's wandering away from home in terms of his feelings
J24 0310  8    of displacement in reaction to the arrival of the twins.
J24 0320  5    The father, accurately perceiving the child's needs,
J24 0330  2    not only respected them as worthy of his attention,
J24 0330 11    but immediately satisfied them by taking him on his
J24 0340  8    lap along with the twins, saying, "I have a big lap;
J24 0360  7    there is room for you, too, Johnnie". Simultaneously,
J24 0370  2    a variety of environmental supports- a calm but not
J24 0390  1    too motherly homemaker, referral for temporary economic
J24 0390  8    aid, intelligent use of nursing care, accompaniment
J24 0400  6    to the well-baby clinic for medical advice on the twins'
J24 0410  5    feeding problem- combined to prevent further development
J24 0430  2    of predictable pathological mechanisms. Follow-up visits
J24 0440  1    of the nurse and social worker indicated continued
J24 0440  9    success in the care of the new babies as well as a
J24 0450 10    marked improvement in the family's day-to-day mental
J24 0460  5    health and social functioning.
J24 0460  9       As seen in the B& family, there must be an attempt
J24 0470 10    to help the client develop conscious awareness of the
J24 0480  5    problem, especially in the absence of a formal request
J24 0490  3    for assistance. The lack of awareness usually springs
J24 0500  1    from deep but disguised anxiety, often assuming the
J24 0500  9    superficial guise of "not knowing" or "not caring".
J24 0510  7    The unhealthy use of denial in the initial reaction
J24 0520  5    to a stress must be handled through the medium of a
J24 0530  3    positive controlled transference. In general, the approach
J24 0530 10    is more active than passive, more out-reaching than
J24 0540  9    reflective. While some regression is inevitable, it
J24 0550  5    is discouraged rather than encouraged so that the transference
J24 0560  5    does not follow the stages of planned regression associated
J24 0570  2    with certain casework adaptations of the psychoanalytic
J24 0580  1    model for insight therapy.
J24 0580  5       To establish an emotionally meaningful relationship
J24 0590  2    the worker must demonstrate actual or potential helpfulness
J24 0600  1    immediately, preferably within the first interview,
J24 0600  7    by meeting the client's specific needs. These needs
J24 0610  7    usually concern the reduction of guilt and some relief
J24 0620  6    of tension. The initial interview must be therapeutic
J24 0630  3    rather than purely exploratory in an information-seekingsense.
J24 0640  1    In this relationship-building stage the worker must
J24 0640  9    communicate confidence in the client's ability to deal
J24 0650  8    with the problem. In so doing he implicitly offers
J24 0660  6    the positive contagion of hope as a kind of maturational
J24 0670  3    dynamic to counteract feelings of helplessness and
J24 0670 10    hopelessness generally associated with the first stages
J24 0680  7    of stress impact. Thus, the client receives enough
J24 0690  6    ego support to engage in constructive efforts on his
J24 0700  4    own behalf. Here there is a specific preventive component
J24 0710  1    which applies in a more generalized sense to any casework
J24 0710 11    situation. We are preventing or averting pathogenic
J24 0720  7    phenomena such as undue regression, unhealthy suppression
J24 0730  4    and repression, excessive use of denial, and crippling
J24 0740  4    guilt turned against the self. While some suppression
J24 0750  1    and some denial are not only necessary but healthy,
J24 0750 10    the worker's clinical knowledge must determine how
J24 0760  6    these defenses are being used, what healthy shifts
J24 0770  4    in defensive adaptation are indicated, and when efforts
J24 0780  2    at bringing about change can be most effectively timed.
J24 0790  1       In steering the family toward ego-adaptive and away
J24 0790 10    from maladaptive responses, the worker uses time-honored
J24 0800  7    focused casework techniques of specific emotional support,
J24 0810  5    clarification, and anticipatory guidance. Over a relatively
J24 0820  4    short period of time, usually about four to twelve
J24 0830  1    weeks, the worker must be able to shift the focus,
J24 0830 11    back and forth, between immediate external stressful
J24 0840  5    exigencies ("precipitating stress") and the key, emotionally
J24 0850  5    relevant issues ("underlying problem") which are, often
J24 0860  4    in a dramatic preconscious breakthrough, reactivated
J24 0870  1    by the crisis situation, and hence once again amenable
J24 0870 10    to resolution. Though there is obviously nothing new
J24 0880  7    about these techniques, they do challenge the worker's
J24 0890  5    skill to articulate them precisely on the spot and
J24 0900  3    on the basis of quick and accurate diagnostic assessments.
J24 0910  1    Then, too, the utmost clinical flexibility is necessary
J24 0910  9    in judiciously combining carefully timed family-oriented
J24 0920  6    home visits, single and group office interviews, and
J24 0930  4    appropriate telephone follow-up calls, if the worker
J24 0940  3    is to be genuinely accessible and if the predicted
J24 0940 12    unhealthy outcome is to be actually averted in accordance
J24 0950  9    with the principles of preventive intervention. In
J24 0960  5    addition, in many cases, a variety of concrete social
J24 0970  3    resources- homemaker, day care, medical and financial
J24 0990  1    aid- must be reasonably available for the reality support
J24 0990  9    needed to bolster the family in its individual and
J24 1000  8    collective coping and integrative efforts. At certain
J24 1010  4    critical stages, and only for sound diagnostic reasons,
J24 1020  2    it may be important to accompany family members in
J24 1020 11    their use of these resources if their problem-solving
J24 1030  8    behavior is to be constructive rather than defeating.
J24 1040  4    While expensive in time and involving a great deal
J24 1050  4    of adaptation on the part of the worker (in terms of
J24 1050 15    his willingness to leave the sanctity of his office
J24 1060  9    and enter actively into the client's life), techniques
J24 1070  5    of accompaniment were found to be of tremendous value
J24 1080  3    when in the service of specific preventive objectives.
J24 1090  1    Finally, whatever the techniques used, a twin goal
J24 1090  9    is common to all preventive casework service: to cushion
J24 1100  6    or reduce the force of the stress impact while at the
J24 1110  6    same time to encourage and support family members to
J24 1120  3    mobilize and use their ego capacities.
J24 1120  9       Having outlined an approach to the theory and practice
J24 1130  8    of preventive casework, we now address ourselves to
J24 1140  5    our final question: What place should brief, crisis-oriented
J24 1150  3    preventive casework occupy in our total spectrum of
J24 1160  1    services? We should first recognize our tendency to
J24 1160  9    develop a hierarchy of values, locating brief treatment
J24 1170  6    at the bottom and long-term intensive service at the
J24 1180  5    top, instead of seeing the services as part of a continuum,
J24 1190  4    each important in its own right. This problem is perhaps
J24 1200  1    as old as social casework itself. Almost three decades
J24 1200 10    ago Bertha Reynolds undertook a study of short-contact
J24 1210  8    interviewing because of her conviction that short-term
J24 1220  6    casework had an important but neglected place in our
J24 1230  4    network of social services. Her conclusion has been
J24 1230 12    borne out in the experience of many practitioners:
J24 1240  8    "**h short-contact interviewing is neither a truncated
J24 1250  6    nor a telescoped experience but is of the same essential
J24 1260  6    quality as the so-called intensive case work". Thus,
J24 1280  1    casework involving a limited number of interviews is
J24 1280  9    still to be regarded in terms of the quality of service
J24 1290  9    rendered rather than of the quantity of time expended.
J24 1300  5       That we are experiencing an upsurge of interest
J24 1310  3    in the many formulations and preventive adaptations
J24 1310 10    of brief treatment in social casework is evident from
J24 1320  9    even a small sampling of current literature. Especially
J24 1330  5    noteworthy is Levinger's finding that the length of
J24 1340  5    treatment per se is not a reliable indicator of successful
J24 1350  2    outcome. According to a number of studies, the important
J24 1360  1    predictors are the nature and management of the client's
J24 1360 10    anxiety as well as the accessibility of the helping
J24 1380  8    person. For example, the level of improvement noted
J24 1390  4    in a recent experiment with a short course of immediate
J24 1400  2    treatment for parent-child relationship problems compared
J24 1400  9    favorably with the results reported by typical child
J24 1410  8    guidance clinics where the hours spent in purely diagnostic
J24 1420  7    study may equal or exceed the number of hours devoted
J24 1430  5    to actual treatment interviews in the experimental
J24 1440  1    project. Of startling significance, too, is the assertion
J24 1440  9    that it was possible to carry out this program with
J24 1450 10    only a 6 percent attrition rate as compared with a
J24 1460  6    rate of 59 percent reported for a comparable group
J24 1470  2    of families who were receiving help in traditionally
J24 1470 10    operated child guidance services. These reports refer
J24 1480  7    to a level of secondary prevention in a child guidance
J24 1490  6    clinic approached by the customary route of voluntary
J24 1500  3    referral by the family or by other professional people.
J24 1510  1    Similarities to the approach which I have described
J24 1510  9    are evident in the prompt establishment of a helping
J24 1520  7    relationship, quick appraisal of key issues, and the
J24 1530  5    immediate mobilization of treatment plans as the essential
J24 1540  2    dynamics in helping to further the ego's coping efforts
J24 1540 11    in dealing with the interplay of inner and outer stresses.
J24 1550 10    While there are many different possibilities for the
J24 1560  7    timing of casework intervention, the experiments recently
J24 1580  4    reported from a variety of traditional settings all
J24 1590  2    point up the importance of an immediate response to
J24 1590 11    the client's initial need for help. In some programs,
J24 1600  8    treatment is concentrated over a short period of time,
J24 1610  7    while in others, after the initial contact is established,
J24 1620  4    flexible spacing of interviews has been experimentally
J24 1630  1    used with apparent success. Willingness to take the
J24 1630  9    risk of early and direct interpretation (with the proviso
J24 1640  8    that if the interpretation is too threatening, the
J24 1650  5    worker can withdraw) is another prominent feature in
J24 1660  3    these efforts. My aim in mentioning this factor obviously
J24 1670  1    is not to give license to "wild therapy" but rather
J24 1670 11    to encourage us to use the time-honored clinical casework
J24 1680  9    skills we already possess, and to use them with greater
J24 1690  7    confidence, precision, and professional pride.
J24 1700  2       Though there is obviously great need for continued
J24 1710  1    experimentation with various types of short-term intervention
J24 1710  9    to further efforts in developing an operational definition
J24 1720  7    of prevention at the secondary- or perhaps, in some
J24 1730  7    instances, primary- level, the place of short-term
J24 1740  5    intervention has already been documented by a number
J24 1750  1    of investigators in a wide variety of settings. Woodward,
J24 1750 10    for example, has emphasized the "need for a broad spectrum
J24 1760  9    of services, including very brief services in connection
J24 1770  6    with critical situations". Ideally, brief treatment
J24 1780  3    should be arrived at as a treatment of choice rather
J24 1800  1    than as a treatment of chance. Moreover, the shortage
J24 1800 10    of treatment resources and the chronically persistent
J24 1810  6    shortage of mental health manpower force us to innovate
J24 1820  5    additional refinements of preventive intervention techniques
J24 1830  2    to make services more widely available- and on a more
J24 1840  2    effective basis to more people. Further research in
J24 1840 10    the meaning of crises as experienced by the consumers
J24 1850  8    of traditional social casework services- including
J24 1860  2    attempts to develop a typology of family structures,
J24 1870  1    crisis problems, reaction mechanisms, and differential
J24 1870  7    treatment approaches- and the establishment of new
J24 1880  6    experimental programs are imperative social needs which
J24 1890  5    should command the best efforts of caseworkers in collaboration
J24 1900  3    with community planners.
J24 1900  6       our literature is already replete with a fantastic
J24 1910  7    number of suggestions for preventive agency programming
J24 1920  3    ranging from the immediately practical to the globally
J24 1930  2    utopian. Probably, in the immediate future, we will
J24 1930 10    have to settle for middle-range efforts that fall short
J24 1940  9    of utopian models. Increased experimentation with multipurpose
J24 1950  4    agencies, especially those that combine afresh the
J24 1960  5    traditional functions of family and child welfare services,
J24 1970  2    holds rich promise for the future. For example, child
J24 1970 11    welfare experience abounds with cases in which the
J24 1980  8    parental request for substitute care is precipitated
J24 1990  5    by a crisis event which is meaningfully linked with
J24 2000  3    a fundamental unresolved problem of family relationships.
J25 0010  1    _SENTIMENT:_
J25 0010  2       Tension management and communication of sentiment
J25 0020  1    are the processes involved in the functioning of the
J25 0020 10    element of sentiment or feeling. One of the devices
J25 0030  7    for tension management is preferential mating. The
J25 0040  3    preferential mating of this particular population has
J25 0050  2    been analyzed in a separate study. The relative geographical
J25 0050 11    isolation of the Brandywine population makes for a
J25 0060  8    limited choice in mating. It would seem necessary that
J25 0080  6    members of this population provide support for one
J25 0090  3    another since it is not provided by the larger society.
J25 0090 13    The supportive relations can apparently be achieved
J25 0100  7    in geographical and social isolation. The newlyweds
J25 0110  5    building homes on the same land with either set of
J25 0120  4    parents, and the almost exclusive use of members of
J25 0120 13    the population as sponsors for baptisms and weddings
J25 0130  8    illustrate this supportive relationship. As Loomis
J25 0140  4    remarks, "In the internal pattern the chief reason
J25 0150  4    for interacting is to communicate liking, friendship,
J25 0160  1    and love among those who stand in supporting relations
J25 0160 10    to one another and corresponding negative sentiments
J25 0170  5    to those who stand in antagonistic relations".
J25 0180  2    _ACHIEVING:_
J25 0180  3       Maintenance of the status quo might seem to be the
J25 0190  7    appropriate goal or objective of this population today.
J25 0200  2    Yet, the object of the element of achieving through
J25 0200 11    the process of goal attaining for this population appears
J25 0210  9    to have been changed by circumstances brought about
J25 0220  5    by the war. Prior to World War /2, there was a higher
J25 0230  6    percentage of endogamous marriages than after World
J25 0240  2    war /2,.
J25 0240  4    _NORMS:_
J25 0240  5       The norms, as elements, refer to "all criteria for
J25 0250  5    judging the character or conduct of both individual
J25 0260  1    and group actions in any social system". The process
J25 0260 10    of evaluation assigns varying positive and negative
J25 0270  6    priorities or values to elements. The elements and
J25 0280  4    processes become evident in a study of mate selection
J25 0290  2    in this population. From the evidence "it may be conjectured
J25 0300  1    that core-core marriages are the preferred unions for
J25 0300 10    core males and females; core-marginal marriages still
J25 0310  6    belong in the category of permissive unions; and core-Negro
J25 0320  6    marriages are proscribed for core members".
J25 0330  2    _STATUS-ROLES:_
J25 0330  4       The element of status-roles and associated processes
J25 0340  2    have not been sufficiently investigated for this population
J25 0350  1    to permit any type of conjectures about them.
J25 0350  9    _POWER:_
J25 0360  1       There is some indication from a limited number of
J25 0360 10    interviews with members of the population that the
J25 0370  6    element of power, primarily the voluntary influence
J25 0380  2    of non-authoritative power, has been exerted on actors
J25 0380 11    in the system, particularly in regard to mate selection.
J25 0390  9    This would seem to vary from family to family, depending
J25 0400  8    somewhat on the core or marginal "status" of that family.
J25 0410  5    Again, size of the group may have some influence on
J25 0420  4    the strength of group controls.
J25 0420  9    _RANKING:_
J25 0420 10       Interviews with members of the Brandywine population
J25 0430  7    were attempted in order to discover the ranking of
J25 0440  6    the various families in the population. The large majority
J25 0450  4    of the interviewees placed core families in the upper
J25 0460  2    positions. Loomis considers ranking a product of the
J25 0460 10    evaluation process. "The standing or rank of an actor
J25 0470  9    in a given social system is determined by the evaluation
J25 0480  6    placed upon the actor and his acts in accordance with
J25 0490  3    the norms and standards of the system". Despite the
J25 0500  1    increasing rate of exogamous marriages, the population
J25 0500  8    has been able to sustain, at least to some degree,
J25 0510  8    the consciousness of its intermediate status in society.
J25 0520  4    To some extent the system can be considered a Gemeinschaft
J25 0530  3    in which "social-role occupancies are determined by
J25 0540  2    birth, by attributes such as sex or caste, which are
J25 0540 12    biologically or socially immutable". The adherence
J25 0550  6    of many in the population to the Indian background
J25 0560  4    in their pedigree, and emphasis upon the fact that
J25 0570  2    their ancestors had never been slaves, becomes of prime
J25 0570 11    interest in determining how far these elements promote
J25 0590  7    the self-image of the intermediate status of the group
J25 0600  5    in society.
J25 0600  7    _SANCTIONS:_
J25 0600  8       The negative sanctions applied to core-Negro marriages
J25 0610  7    for core members act as indicators of expected adherence
J25 0620  5    to group norms. However, because of Church laws, lately
J25 0630  4    more stringently enforced, which forbid the marriage
J25 0640  1    of cousins closely related consanguineously, a means
J25 0640  8    of facilitating the goal of in-group relations may
J25 0650  8    be that of recourse to illegitimate unions. A cursory
J25 0660  4    survey of available material indicates a high rate
J25 0670  2    of illegitimate births occurring to parents who have
J25 0670 10    a close consanguineous relationship.
J25 0680  2    #SUBSYSTEMS#
J25 0680  3    The comprehensive or master processes activate all
J25 0690  4    or some of the elements within the social system and
J25 0700  2    subsystems. Within the larger social system are the
J25 0700 10    structural and functional subsystems. The structural
J25 0710  6    subsystem, consisting of relatively stable inter-relationships
J25 0720  5    among its parts, includes:
J25 0730  1    _1._
J25 0730  1       Subgroups of various types, interconnected by relational
J25 0730  8    norms.
J25 0740  1    _2._
J25 0740  2       Roles of various types, within the larger system
J25 0740 10    and within the subgroups **h
J25 0750  4    _3._
J25 0750  5       Regulative norms governing subgroups and roles.
J25 0760  2    _4._
J25 0760  3       Cultural values.
J25 0760  5       In the study of marriage patterns for this group,
J25 0770  5    consanguinity produces the structural system- a system
J25 0780  5    of affinities- which, in turn, maintains the system
J25 0780 13    of consanguinity. Subgroups of various types have been
J25 0790  8    found within this system. Each family line can be considered
J25 0800  8    a substructure. There seems to be an implied cultural
J25 0810  6    value attached to the fact of core status within the
J25 0820  3    group. Additionally, the proscription of core-Negro
J25 0820 10    marriages for core families, discussed above, would
J25 0830  7    seem to act as a regulative norm governing subgroups
J25 0840  4    and roles. The scope of this study does not provide
J25 0850  3    for the study of roles of various types within the
J25 0850 13    larger system or within the subgroups. However, it
J25 0860  8    cannot be presumed, informal though the structure of
J25 0870  5    the population seems, that there are not well-defined
J25 0880  3    roles within the system.
J25 0880  7       The present study relates to the theory of functional
J25 0890  6    systems. It is hypothesized that fertility is a function
J25 0900  4    of the social system when the population as a whole
J25 0910  1    is considered and a function of the subsystems when
J25 0910 10    the two-fold division of core families and marginal
J25 0920  6    families is considered. The four functional problems
J25 0930  3    of a social system are, to some extent, solved by the
J25 0940  2    subsystems within this population. By means of geographical
J25 0940 10    isolation and high fertility rates, inbreeding can
J25 0950  7    be fostered and the pattern of isolation from the greater
J25 0960  6    society maintained. In order to attain the goal of
J25 0970  4    group solidarity and to relieve tension, the high fertility
J25 0980  1    rate provides more group members for mate selection,
J25 0980  9    and the clustering of members in groups fosters acceptance
J25 0990  7    of group controls. To maintain their intermediate position
J25 1000  5    in the larger society, it is not only necessary that
J25 1010  4    members of this population be "visible", but that their
J25 1020  3    numbers be great enough to be recognized as a separate,
J25 1020 13    distinct grouping or system in society. As mentioned
J25 1030  8    above, where families are concentrated in larger numbers,
J25 1040  6    group controls seem strongest and most effective. Adaptation
J25 1050  4    to the social and non-social environment through the
J25 1060  3    economy has been met to a degree through a type of
J25 1060 14    occupational segregation. This provides the necessary
J25 1070  6    contact with the larger society, while supporting a
J25 1080  5    type of control over members in terms of social contacts.
J25 1090  4       Integration "has to do with the inter-relation of
J25 1100  2    parts". The problem of solidarity and morale again
J25 1100 10    involves the concept of values. The values placed by
J25 1110  9    the Brandywine population, upon maintaining a certain
J25 1120  5    homogeneity, a certain separate racial identity, and
J25 1130  3    therefore a certain separate social status, are important
J25 1140  1    for the morale of the system. Since morale is closely
J25 1140 11    related to pattern maintenance and integration, the
J25 1150  6    higher the morale and solidarity, the better the system
J25 1160  5    can solve the problems of the system. In this respect
J25 1170  2    it would seem that the greater the social distance
J25 1170 11    between the Brandywine population and the white and
J25 1180  8    Negro populations within the same general locality,
J25 1190  5    the greater the possibility for higher morale and solidarity
J25 1200  3    within the Brandywine population. It is conceived that
J25 1210  2    one of the means to attain this social distance is
J25 1210 12    that of physical and social isolation. In turn, higher
J25 1220  7    fertility rates for this population provide a means
J25 1230  4    of increasing the numerical quantity of the population,
J25 1240  2    allowing for the possibility of greater stability and
J25 1240 10    unity. The population can thereby replenish itself
J25 1250  7    and actually grow larger.
J25 1260  1    #MASTER PROCESSES#
J25 1260  3    Of particular utility in the analysis of the development,
J25 1270  2    persistence, and change of social systems has been
J25 1270 10    the use of the master or comprehensive processes. Loomis
J25 1280  9    considers six such processes in his paradigm.
J25 1290  5       1. Communication
J25 1290  7       2. Boundary maintenance
J25 1300  2       3. Systemic linkage
J25 1300  5       4. Socialization
J25 1310  1       5. Social control
J25 1310  4       6. Institutionalization Though undoubtedly all six
J25 1320  3    processes are operative within the whole social system
J25 1330  1    and its subsystems, two processes that are of crucial
J25 1330 10    importance to this study will be singled out for particular
J25 1340  9    emphasis:
J25 1350  1    _COMMUNICATION:_
J25 1350  1       In discussing the process of communication, Loomis
J25 1350  8    defines it as "the process by which information, decisions,
J25 1360  9    and directives are transmitted among actors and the
J25 1370  7    ways in which knowledge, opinions, and attitudes are
J25 1380  4    formed, or modified by interaction". Communication
J25 1390  1    may be facilitated by means of the high visibility
J25 1390 10    within the larger community. Intense interaction is
J25 1400  5    easier where segregated living and occupational segregation
J25 1410  3    mark off a group from the rest of the community, as
J25 1420  2    in the case of this population. However, the factor
J25 1420 11    of physical isolation is not a static situation. Although
J25 1430  8    the Brandywine population is still predominantly rural,
J25 1440  5    "there are indications of a consistent and a statistically
J25 1450  4    significant trend away from the older and relatively
J25 1460  2    isolated rural communities **h urbanization appears
J25 1460  8    to be an important factor in the disintegration of
J25 1470  8    this group. This conclusion is, however, an over-simplification.
J25 1480  6    A more realistic analysis must take into account the
J25 1490  5    fact that Brandywine people in the urban-fringe area
J25 1500  2    are, in general, less segregated locally than group
J25 1500 10    members in rural areas. In the urban area, in other
J25 1510 10    words, they, unlike some urban ethnic groups, do not
J25 1520  6    concentrate in ghetto colonies. Group pressures toward
J25 1530  2    conformity are slight or non-existent, and deviant
J25 1530 10    behavior in mate selection incurs few if any social
J25 1540  9    sanctions. In such a setting social contacts and associations
J25 1550  5    are likely to be heterogamous, resulting in a change
J25 1560  5    of values and almost necessarily, in mate selection
J25 1570  1    behavior. To the extent that urban life contributes
J25 1570  9    to the breakdown of the group patterns of residential
J25 1580  7    isolation, to that extent it contributes directly to
J25 1590  4    increased exogamy".
J25 1590  6    _SOCIAL CONTROL:_
J25 1600  1       The process of social control is operative insofar
J25 1600  8    as sanctions play a part in the individual's behavior,
J25 1610  7    as well as the group's behavior. By means of this social
J25 1620  6    control, deviance is either eliminated or somehow made
J25 1630  4    compatible with the function of the social group. Examples
J25 1640  1    from this population indicate that deviance seems to
J25 1640  9    be sanctioned by ostracism from the group.
J25 1650  6    _SOCIALIZATION:_
J25 1650  7       There is an oral tradition among the members of
J25 1660  6    the population in regard to the origin and subsequent
J25 1670  3    separate status of the group in the larger society.
J25 1680  1    Confused and divided though this tradition may be,
J25 1680  9    it is an important part of the social and cultural
J25 1690  7    heritage of the group, and acts as a means of socialization,
J25 1700  4    particularly for members of the rural community. The
J25 1710  2    fact of Indian ancestry and "free" status during the
J25 1710 11    days of slavery, are important distinctions made by
J25 1720  8    members of the group.
J25 1730  1    _BOUNDARY MAINTENANCE:_
J25 1730  3       "Culturally induced social cohesion resulting from
J25 1740  2    common norms and values internalized by members of
J25 1740 10    the group" is operative in the boundary maintenance
J25 1750  7    of the group as well as in the process of socialization.
J25 1760  7    The process of boundary maintenance identifies and
J25 1770  3    preserves the social system or subsystems, and the
J25 1770 11    characteristic interaction is maintained. As the threat
J25 1780  7    of encroachment on the system increases, the "probability
J25 1790  7    of applied boundary maintenance mechanisms increases".
J25 1800  3       The fertility rate pattern would seem to be a function,
J25 1810  6    though a latent one, of the process of maintaining
J25 1820  1    the boundary. "Increased boundary maintenance may be
J25 1820  8    achieved, for example, by assigning a higher primacy
J25 1830  8    or evaluation to activities characteristic of the external
J25 1840  5    pattern **h" The external pattern or external system
J25 1850  4    can be considered as "group behavior that enables the
J25 1860  2    group to survive in its environment **h" Boundary maintenance
J25 1865  1    for this group would seem to be primarily social, as
J25 1870 10    is the preference for endogamy. It is also expressed
J25 1880  7    in the proscription against deviants in the matter
J25 1890  4    of endogamy, particularly in rural areas. By their
J25 1900  1    pattern of endogamy and exogamy, the core families
J25 1900  9    and the marginal families show distinct limits to the
J25 1910  6    intergroup contact they maintain.
J25 1920  1    _SYSTEMIC LINKAGE:_
J25 1920  3       Where boundary maintenance describes the boundaries
J25 1930  1    or limits of the group, systemic linkage is defined
J25 1930 10    "as the process whereby one or more of the elements
J25 1940  9    of at least two social systems is articulated in such
J25 1950  5    a manner that the two systems in some ways and on some
J25 1960  4    occasions may be viewed as a single unit.
J26 0010  1       A royal decree issued in 1910, two years after the
J26 0010 11    Belgian government assumed authority for the administration
J26 0020  6    of the Congo, prescribed the registration of all adult
J26 0030  6    males by chiefdoms. Further decrees along this line
J26 0040  4    were issued in 1916 and 1919. In 1922 a continuous
J26 0050  1    registration of the whole indigenous population was
J26 0050  8    instituted by ordinance of the Governor-General, and
J26 0060  6    the periodic compilation of these records was ordered.
J26 0070  4    But specific procedures for carrying out this plan
J26 0080  2    were left to the discretion of the provincial governors.
J26 0080 11    A unified set of regulations, applicable to all areas,
J26 0090  8    was issued in 1929, and a complementary series of demographic
J26 0100  6    inquiries in selected areas was instituted at the same
J26 0110  5    time. The whole system was again reviewed and reorganized
J26 0120  2    in 1933. General responsibility for its administration
J26 0120  9    rested with a division of the colonial government concerned
J26 0130  9    with labor supply and native affairs, Service des Affaires
J26 0140  8    Indigenes et de la Main-d'Oeuvre (~AIMO, **f Direction,
J26 0150  6    **f Direction Generale, Gouvernement Generale). Tribal
J26 0160  4    authorities, the chiefs and their secretaries, were
J26 0170  3    held responsible for maintaining the registers of indigenous
J26 0180  2    persons within their territories, under the general
J26 0180  9    supervision of district officials. The district officials,
J26 0190  7    along with their other duties, were obliged to organize
J26 0200  7    special demographic inquiries in selected areas and
J26 0210  4    to supervise the annual tabulations of demographic
J26 0220  1    statistics.
J26 0220  2       The regulations require the inscription of each
J26 0230  1    individual (male or female, adult or child) on a separate
J26 0230 11    card (fiche). The cards, filed by circonscription (sub-chiefdom,
J26 0240  8    or village), are kept in the headquarters of each territoire
J26 0250  9    (chiefdom). Each card is expected to show certain information
J26 0260  8    about the individual concerned, including his or her
J26 0270  6    date of birth (or age at a specified time), spouses,
J26 0280  3    and children. Additional entries must be made from
J26 0280 11    time to time. Different cards are used for males and
J26 0290 10    females, and a corner is clipped from the cards of
J26 0300  7    adults, and of children when they reach puberty. So
J26 0310  3    a quick count could be made at any time, even by an
J26 0310 15    illiterate clerk, of the number of registered persons
J26 0320  8    in four age-and-sex classes. Personal identification
J26 0330  4    cards are issued to all adult males on which tax payments,
J26 0340  5    inoculations, periods of employment, and changes of
J26 0350  2    residence are recorded. Similar identification cards
J26 0350  8    were issued in 1959 to all adult females. Each adult
J26 0360  9    is held personally responsible for assuring his inscription
J26 0370  5    and obtaining an identification card which must be
J26 0380  4    shown on demand. The registration card of a person
J26 0380 13    leaving his home territory for a short period is put
J26 0390 10    into a special file for absent persons. The cards of
J26 0400  7    permanent out-migrants are, in theory, sent to an office
J26 0410  5    in the place of new residence. Finally, the registration
J26 0420  1    of births and deaths by nearest relatives was made
J26 0420 10    compulsory in most regions.
J26 0430  4       Numbers of registered persons in four age-and-sex
J26 0440  1    classes were counted each year. In addition, demographic
J26 0440  9    inquiries, supposedly involving field investigations,
J26 0450  5    were conducted in selected minor divisions (circonscriptions)
J26 0460  4    containing about 3 percent of the total population.
J26 0470  5    The results of these inquiries were used to adjust
J26 0480  2    compilations of data from the registers and to provide
J26 0480 11    various ratios and rates by districts, including birth
J26 0490  8    and death rates, general fertility rates, distributions
J26 0500  4    by marital status, fertility of wives separately in
J26 0510  3    polygynous and non-polygynous households, infant mortality,
J26 0520  1    and migration. The areas to be examined in these inquiries
J26 0520 11    were selected by local officials, supposedly as representative
J26 0530  8    of a larger population. Averages of the ratios obtained
J26 0540  7    in a few selected areas were applied to the larger
J26 0550  6    population.
J26 0550  7       The scheme, in theory, is an ingenious adaptation
J26 0560  5    of European registration systems to the conditions
J26 0570  1    of African life. But it places a severe strain on the
J26 0570 12    administrative resources (already burdened in other
J26 0580  6    ways) of a widely dispersed, poor and largely illiterate
J26 0590  5    population. The sampling program was instituted before
J26 0600  3    the principles of probability sampling were widely
J26 0610  1    recognized in population studies. The system was not
J26 0610  9    well adapted to conditions of life in urban centers.
J26 0620  7    The distinction between domiciled (de jure) and present
J26 0630  5    (de facto) population was not clearly defined. So the
J26 0640  4    results are subject to considerable confusion. The
J26 0650  1    system tended to break down during the war, but was
J26 0650 11    reactivated; it had reached the pre-war level of efficiency
J26 0660  9    by 1951. In spite of the defects in this system, the
J26 0670  6    figures on total population during the late 1930's
J26 0680  2    and again in the early 1950's seem to have represented
J26 0680 12    actual conditions in most districts with approximate
J26 0690  7    fidelity. But the information on the dynamics of population
J26 0700  7    was often quite misleading.
J26 0710  1       The same system, with minor modifications, was developed
J26 0710  9    in Ruanda-Urundi under Belgian administration. Here
J26 0720  5    again it seems that useful approximations of the size
J26 0730  6    and geographical distribution of the population were
J26 0740  3    obtained in this way in the late pre-war and early
J26 0740 14    post-war periods.
J26 0750  2       Before considering more recent activities, we should
J26 0760  2    note another important aspect of demography in Belgian
J26 0760 10    Africa. A number of strong independent agencies, established
J26 0770  8    in some cases with governmental or royal support, have
J26 0780  7    conducted large medical, social, educational and research
J26 0790  4    operations in particular parts of the Congo and Ruanda-Urundi.
J26 0800  4    The work of Fonds Reine Elisabeth pour l'Assistance
J26 0810  1    Medicale aux Indigenes du Congo Belge (~FOREAMI) has
J26 0820  2    special interest with respect to demography. This agency
J26 0820 10    accepted responsibility for medical services to a population
J26 0830  8    ranging from 638,560 persons in 1941 to 840,503 in
J26 0840  8    1956 in the Kwango District and adjacent areas east
J26 0850  5    of Leopoldville. Each year from 1941 on, its medical
J26 0860  2    staff had conducted intensive field investigations
J26 0860  8    to determine changes in population structure and vital
J26 0870  7    rates and, as its primary objective, the incidence
J26 0880  4    of major diseases. Its findings are reported each year
J26 0890  3    in its Rapport sur l'activite pendant annee **h (Bruxelles).
J26 0900  1    Somewhat similar investigations have been made by medical
J26 0910  1    officers in other areas. Other independent, or partially
J26 0910  9    independent agencies, have promoted investigations
J26 0920  5    on topics directly or indirectly related to demography.
J26 0930  4    These studies vary widely in scope and precision. L'Institut
J26 0940  2    pour la Recherche Scientifique en Afrique Centrale
J26 0960  1    (~IRSAC) has sponsored well-designed field investigations
J26 0960  8    and has cooperated closely with the government of Ruanda-Urundi
J26 0970  9    in the development of its official statistics.
J26 0980  5       A massive investigation of the characteristics of
J26 0990  5    in-migrants and prospective out-migrants in Ruanda-Urundi
J26 1000  3    is being carried on by J& J& Maquet, former Director
J26 1010  1    of the Social Science branch of ~IRSAC, now a professor
J26 1020  1    at l'Universite Officielle du Congo Belge et du Ruanda-Urundi.
J26 1030  1    Some 30,000 completed schedules with 20 items (collected
J26 1030  9    by sub-chiefs in 1,100 circumscriptions) have been
J26 1040  6    tabulated. The results are now being analyzed.
J26 1050  4       Statistics have been recognized as a matter of strategic
J26 1060  3    importance in the Congo and in Ruanda-Urundi during
J26 1070  1    the post-war years in connection with long-term economic
J26 1070 11    and social programs. The ~AIMO organizations of both
J26 1080  6    countries, which maintain administrative services throughout
J26 1090  4    the territories, retained immediate responsibility
J26 1100  2    for the collection and publication of demographic information.
J26 1110  1    However, the statistical offices of both governments
J26 1110  8    were assigned responsibility for the planning and analysis
J26 1120  8    of these statistics. A Bureau de la Demographie (A&
J26 1130  7    Romaniuk, Director) was formed under ~AIMO in the Congo,
J26 1140  6    to work in close rapport with the Section Statistique
J26 1150  3    of the Secretariat General. Eventually responsibility
J26 1160  1    for demographic inquiries in the Congo was transferred
J26 1160  9    to the demographic division of the Central Statistical
J26 1170  8    Office. The 1952 demographic inquiry in Ruanda-Urundi
J26 1180  6    was directed by V& Neesen, a member of the ~IRSAC staff,
J26 1190  7    though the inquiry was carried out under the auspices
J26 1200  5    of ~AIMO, which has continuing responsibility for demographic
J26 1210  3    statistics in this territory. A member of the ~IRSAC
J26 1220  2    staff (E& van de Walle) was recently delegated to cooperate
J26 1230  1    with ~AIMO in the development of demographic statistics
J26 1240  1    in this territory.
J26 1240  4       The initiation of sampling censuses in Ruanda-Urundi
J26 1250  1    (1952) and in the Congo (1955-57) were major advances.
J26 1250 11    We will deal first with the program in the Congo though
J26 1260 11    this was put into operation later than the other.
J26 1270  6       The radical nature of the innovation in the Congo
J26 1280  5    was not emphasized in the official announcements. The
J26 1290  2    term enquetes demographiques, previously used for the
J26 1290  9    supplementary investigations carried out in connection
J26 1300  6    with the administrative censuses, was used for the
J26 1310  6    new investigations. However, the differences in procedure
J26 1320  3    are fundamental. These are as follows:
J26 1330  1    _(1) FIELD WORK PROCEDURES:_
J26 1330  4       Field operations were transferred from administrative
J26 1340  2    personnel primarily engaged in other tasks to specially
J26 1350  1    trained teams of full-time African investigators (three
J26 1360  7    teams, each working in two provinces). These teams
J26 1370  6    carried out the same operations successively in different
J26 1380  4    areas.
J26 1380  5    _(2) NATURE OF THE SAMPLE:_
J26 1380 10       Sample areas in the new investigations were selected
J26 1390  8    strictly by application of the principles of probability
J26 1400  6    theory, so as to be representative of the total population
J26 1410  5    of defined areas within calculable limits. In short,
J26 1420  3    scientific sampling was introduced in place of subjective
J26 1430  1    sampling. The populations of the various districts,
J26 1430  8    or other major divisions, were stratified by type of
J26 1440  6    community (rural, urban, mixed) and, where appropriate,
J26 1450  3    by ethnic affiliation and by type of economy. Sample
J26 1460  1    units (villages in rural areas, houses in cities) were
J26 1460 10    drawn systematically within these strata.
J26 1470  4    _(3) SIZE OF THE SAMPLE:_
J26 1470  9       Different sampling ratios were applied under different
J26 1480  7    conditions. Higher proportions were sampled in urban
J26 1490  6    and mixed communities than in rural areas. About 11
J26 1500  4    percent of the total population was covered in the
J26 1500 13    new investigation, as compared with about 3 percent
J26 1510  8    in the previous inquiries.
J26 1520  1    _(4) QUESTIONS AND DEFINITIONS:_
J26 1520  5       Uniform questions, definitions, and procedures were
J26 1530  4    enforced throughout the whole country. Data were obtained,
J26 1540  3    separately, on three classes of persons: (a) residents,
J26 1550  1    present; (b) residents, absent; and (c) visitors. In
J26 1550  9    the reports, summary results are given for both the
J26 1560  9    de facto (a and c) and de jure (a and b) populations;
J26 1570  8    but the subsequent analysis of characteristics is reported
J26 1580  5    only for the de jure population (or, in some districts,
J26 1590  4    only the de facto population).
J26 1590  9       These changes represent in effect, a shift from
J26 1600  8    (1) an administrative compilation of data obtained
J26 1610  4    through procedures designed primarily to serve political
J26 1620  2    and economic objectives to (2) a systematic sampling
J26 1620 10    census of the whole African population.
J26 1630  6       The population registration system still has important
J26 1640  5    functions. It supplies local data which are useful
J26 1650  2    in administration and which can be used as a basis
J26 1650 12    for intensive studies in particular situations. It
J26 1660  6    provides a frame for the sampling census. It also provides
J26 1670  5    a frame within which the registration of vital events
J26 1680  4    is gradually gaining force (though one cannot expect
J26 1680 12    to obtain reliable vital statistics in most parts of
J26 1690  9    the Congo from this source in the near future). It
J26 1700  7    is still used in making current population estimates
J26 1710  2    in post-census years, though the value of these estimates
J26 1720  1    is open to question. Finally, it may have certain very
J26 1720 11    important, less obvious values. Even though the registers
J26 1730  8    may have an incomplete record of persons present in
J26 1740  6    a particular area or include persons no longer living
J26 1750  4    there, they contain precise information on ages, by
J26 1750 12    date of birth, for some of the persons present (especially
J26 1760 10    children in relatively stable communities) and supplementary
J26 1770  6    information (such as records of marital status) for
J26 1780  6    many others. The quality of the census data can, therefore,
J26 1790  4    be greatly improved by the use of the registration
J26 1800  1    records in conjunction with the field inquiries. Furthermore,
J26 1800  9    it may be possible to estimate the error due to bias
J26 1810 10    in method (as distinguished from sampling error) in
J26 1820  5    each of these sources, on such subjects as fertility,
J26 1830  3    mortality, and migration during a given interval by
J26 1830 11    using information from two largely independent sources
J26 1840  7    in conjunction.
J26 1850  1       The first sampling census in the Congo extended
J26 1850  9    over a three-year period, 1955-57; the results were
J26 1860  7    still being processed in 1959. It is planned to double
J26 1870  6    the number of teams and to make use of improved equipment
J26 1880  2    in a second demographic inquiry in 1960, so that the
J26 1880 12    inquiry can be carried through in one year and the
J26 1890 10    results published more expeditiously. It is proposed
J26 1900  5    that in the future complete sampling censuses be carried
J26 1910  3    out at five-year intervals.
J26 1910  8       Reports already issued on the sampling census, 1955-57,
J26 1920  8    in various areas run as follows (using only the French
J26 1930  5    and omitting corresponding Flemish titles): @.
J26 1940  2       This report contains preliminary notes and 35 tables.
J26 1950  1       Other reports in identical form, but with somewhat
J26 1950  9    varying content, have been issued for: @.
J26 1960  6       These area reports will be followed, according to
J26 1970  4    present plans, by a summary report, which will include
J26 1980  2    a detailed statement on methods.
J27 0010  1       With this evidence in mind, the writer began to
J27 0010 10    plan how he might more effectively educate the married
J27 0020  6    students in his functional classes. Toward the end
J27 0030  4    of the semester's work, he interviewed every married
J27 0040  2    class member at great length. He found, as he had suspected,
J27 0050  1    a general consensus that perhaps over half of the present
J27 0060 10    functionally designed course was not really functional
J27 0070  6    for these students. However, all admitted that the
J27 0080  5    "hind sight" was not altogether lost. In their own
J27 0090  2    words, it had aided them to get a clearer picture of
J27 0090 13    how they had gotten into their marriages, and perhaps
J27 0100  8    they had obtained some insights on why certain troubles
J27 0110  6    appeared from time to time. In fact, they went so far
J27 0120  5    as to caution the writer that if he attempted to design
J27 0130  1    a section exclusively for married students there should
J27 0130  9    be, at the beginning, some "hind sight" study; but
J27 0140  8    they all hastened to add that certainly less time was
J27 0150  7    needed on it than presently spent. All of them felt
J27 0160  5    a compelling need for more coverage on areas that could
J27 0170  1    be only lightly touched upon in a general survey functional
J27 0170 11    course.
J27 0180  1       A few were doubtful about the merits of an exclusive
J27 0180 11    section for married students. As one of them expressed
J27 0190  9    it, "It has done me a world of good to listen to the
J27 0200  9    nai^ve questions and comments of these not-yet-married
J27 0210  5    people. I can now better see just what processes provoked
J27 0220  2    certain actions from me in the past. Had I been in
J27 0220 13    an all-married section I would have missed this, and
J27 0230  8    I believe that this single aspect has been of great
J27 0240  6    personal value to me". This comment and others similar
J27 0250  4    to it, would seem to indicate a possible justification
J27 0260  1    for continuing the status quo. But the weight of feeling
J27 0260 11    was heavily in the opposite direction. Thus, the writer
J27 0270  8    decided to hold one experimental section of the functional
J27 0280  5    preparation for marriage course in the spring semester
J27 0290  5    of 1960 exclusively for persons already married- that
J27 0300  4    is, prerequisite: "marriage". This did not mean that
J27 0300 12    married students could not enroll in other "mixed"
J27 0310  8    sections, and some of them, largely because of scheduling
J27 0320  7    difficulties, did. But only those already married could
J27 0330  5    enroll in this one section. In addition, two other
J27 0340  3    differences in the two types of sections must be noted.
J27 0340 13    1) The regular sections do not allow freshmen; this
J27 0350  9    one did. This action was rationalized on the basis
J27 0360  6    of a small survey which indicated that a high percentage
J27 0370  4    of married freshmen women on our campus never become
J27 0380  1    sophomores. Many of them appear to drop out, for one
J27 0380 11    reason or another. By permitting freshman students
J27 0390  5    we might extend the opportunity for such a course to
J27 0400  6    some individuals who otherwise might never get to take
J27 0410  3    it. This has subsequently been verified by the experience.
J27 0410 12    2) Auditors were encouraged. In the regular sections
J27 0420  8    they have always been more or less discouraged. The
J27 0430  7    philosophy has been that if they could find the time
J27 0440  4    to attend class why not encourage them to get the credit
J27 0450  1    and perhaps provide an incentive to do the work more
J27 0450 11    effectively. Besides, auditors do not count on faculty
J27 0460  8    load with the same weight as regularly enrolled students.
J27 0470  5    But in this one section we welcomed auditors. Why?
J27 0480  3    For no particular reason, other than that the writer
J27 0490  1    felt it might- just might- encourage both mates to
J27 0490 10    be in attendance. Many of the men on our campus have
J27 0510  9    a pretty set curriculum, especially in the various
J27 0520  4    engineering fields, with few electives till the senior
J27 0530  1    year. Incidentally, it needs to be noted that because
J27 0530 10    auditors were permitted the section began increasing
J27 0540  6    in numbers each week, until at last it swelled to such
J27 0550  7    proportions that this "free" auditing policy had to
J27 0560  4    be retracted. After that, we began to get "visitors"
J27 0570  1    to class.
J27 0570  3       This experimental class represented quite a variety
J27 0580  1    of students. It ranged from a freshman woman, just
J27 0580 10    married, through the various academic growth stages,
J27 0590  6    including one senior-graduate student, to a young faculty
J27 0600  5    member recently married to a senior man who also attended.
J27 0610  2    It ranged from those with no children, through students
J27 0620  1    in various stages of pregnancy, to one 44-year-old
J27 0620 11    male with four children, three of whom were teenagers.
J27 0630  6    It ranged from two women members who had experienced
J27 0640  4    premarital pregnancy to one couple twelve years married
J27 0650  1    and seemingly unable to conceive.
J27 0650  6       One might digress at this point and speculate that
J27 0660  6    if it is "wise" to create special sections for special
J27 0670  3    status, then why not a special section for women pregnant
J27 0680  1    before marriage, and one for 44-year-old men with teenage
J27 0680 12    children, and so on. Some of these speculations may
J27 0690  9    have some merit, others are somewhat ambiguous. But
J27 0700  5    few who have experienced marriage can dispute the fact
J27 0710  3    that the focus of interpersonal relationships is different
J27 0720  1    in marriage than in a pre-marital situation.
J27 0720  9       The writer began this special class by explaining
J27 0730  7    his background thinking for creating such a section
J27 0740  5    in the first place. He made it clear from the beginning
J27 0750  2    that this was the students' opportunity, and that the
J27 0750 11    future destiny of such groups depended on favorable
J27 0770  8    results from this one. He did build a framework of
J27 0780  7    academic "respectability", and one which did not encroach
J27 0790  5    upon the "sacred sovereignty" of any other existing
J27 0800  2    campus course. This is to say that this was not a course
J27 0810  1    in wise buying or money spending methods, nor a course
J27 0810 11    in how to raise children. We already have courses covering
J27 0820  7    those problems, and so on. But within that framework
J27 0830  5    he allowed for as much flexibility as possible. A steering
J27 0840  3    committee of students was organized on the first day
J27 0850  1    whose duty it was to be alert and constantly evaluate
J27 0850 11    and re-evaluate the direction and pace the class was
J27 0860  8    taking. The writer, being cognizant through his interviews
J27 0870  5    of the reactions of previous married students, did
J27 0880  3    insist on there being included some "hind sight" material.
J27 0890  1    But the greater part of semester time was actually
J27 0890 10    centered around the attitudes "So we are married- now
J27 0900  8    how do we make the best of it"? or "How do we enrich
J27 0910  8    our already fine marriage"?
J27 0920  1       Films were used, as with all sections, but with
J27 0920 10    one big difference. Our campus, unfortunately, owns
J27 0930  5    no films. Since they are all either rented or borrowed,
J27 0940  5    the requested dates for their use have to be far in
J27 0950  4    advance. The writer never knew from week to week just
J27 0950 14    where the section might be. For example, the steering
J27 0960  9    committee might announce that the group felt a topic
J27 0970  7    under study should not be dropped for an additional
J27 0980  3    week as there was still too much of it untouched. Since
J27 0990  1    the writer had established this democratic procedure
J27 0990  8    in the beginning he had to go along with their decision-
J27 1000  9    after, of course, pointing out whether he thought their
J27 1010  5    decision was a wise or an unwise one. Thus the films
J27 1020  2    seen as they came in (coordinated for the regular sections),
J27 1030  1    were often out of context. Nevertheless, the writer
J27 1030  9    has never experienced such spontaneity of discussion
J27 1040  5    after film showings.
J27 1040  8       Though it did not become known to the writer for
J27 1050 10    some time, a nucleus group had sprung up within the
J27 1060  6    class. They began to meet in the evenings and carry
J27 1070  2    forward various discussions they felt not fully enough
J27 1070 10    covered in class. From a few students this group gradually
J27 1080 10    increased to include over three-fourths of those officially
J27 1090  7    enrolled in the class, and many outsiders as well.
J27 1100  5    Also, although only a few of the students were intimately
J27 1110  2    acquainted with each other in the beginning, most reported
J27 1120  1    that when the semester ended their dearest and closest
J27 1120 10    campus friendships were with members of that class.
J27 1130  7    In fact, they often revamped their social activities
J27 1140  4    to include class members previously unknown.
J27 1150  1       Supplemental outside reading reports were handled
J27 1150  7    just as in the other sections, the major difference
J27 1160  6    being that there was a noticeably deeper level in the
J27 1170  5    reported outside reading by the married group. These
J27 1180  2    students, although they might read various articles
J27 1180  9    in popular magazines, more often chose to report on
J27 1190  8    articles found in the journals. In addition to the
J27 1200  5    noticeable difference in outside articles, there was
J27 1210  3    a considerable difference in the outside books they
J27 1210 11    read. Whereas a high per cent of the regular students
J27 1220  9    can be expected to read other texts which more or less
J27 1230  7    plow the same ground in a little different direction,
J27 1240  2    the married students chose whole books on specific
J27 1240 10    areas and went into much greater detail in their areas
J27 1250 10    of interest. Since the writer had not noticed this
J27 1260  7    characteristic in married students scattered throughout
J27 1270  2    the various sections previous to this experiment, nor,
J27 1280  2    as a matter of fact, in those who were continuing in
J27 1280 13    "single sections", he can only conclude that there
J27 1290  7    must have been something "contagious" within the specific
J27 1300  4    group which caused this to occur.
J27 1310  1       In the main, this course took the following directional
J27 1310 10    high roads: 1) A great deal of time was spent on processes
J27 1320 11    for solving marital differences. This was not a search
J27 1330  8    for a "magic formula", but rather an examination of
J27 1340  6    basic principles pertaining especially to all types
J27 1350  4    of communication in marriage. In short, it was centered
J27 1360  1    around learning how to develop a more sensitive empathy.
J27 1360 10    Not until the group was satisfied in this area were
J27 1370  9    they willing to venture further to 2) Specific adjustment
J27 1380  5    areas, such as sex, in-laws, religion, finance, and
J27 1390  3    so on. From here they proceeded to 3) These same areas
J27 1400  1    in relation to their own future family life stages,
J27 1400 10    developing these to the extent of examining various
J27 1410  7    crises which could be expected to confront them at
J27 1420  4    some time or other.
J27 1420  8       As an example of this last facet, there were some
J27 1430  5    lengthy discussions centered around bereavement. Mainly
J27 1440  2    these were concerned with the possibility of the death
J27 1440 11    of one parent and the complication of living with the
J27 1450 10    survivor afterward, but the possible death of one's
J27 1460  7    own spouse was not overlooked. Since the course, one
J27 1470  4    member has lost her husband. This was not a particularly
J27 1480  1    shocking or unexpected thing- it was previously known
J27 1480  9    to her that it might happen. But just when was an unknown,
J27 1490 11    and of course the longer it did not happen, the stronger
J27 1500  8    her wish and belief that it might not. Since her bereavement
J27 1510  5    this individual has reported to the writer on numerous
J27 1520  3    occasions about how helpful the class discussions were
J27 1530  1    to her in this adjustment crisis.
J27 1530  7       Quite frequently class members brought questions
J27 1540  3    from their mates at home. These were often carefully
J27 1550  1    written out with a great deal of thought behind them.
J27 1550 11    This added a personal zest to class discussions and
J27 1560  8    participation.
J27 1560  9       Both sexes reported that the discussions on sex
J27 1570  8    adjustment within marriage were extremely enlightening.
J27 1580  4    The writer sensed a much freer and more frank discussion,
J27 1590  3    especially of this one area, than ever before. He felt
J27 1600  2    certain for the first time in his teaching experience
J27 1600 11    that the men in the class understood that orgasm, as
J27 1610  8    a criterion, is not nearly so essential for a satisfying
J27 1620  5    female sexual experience as most males might think.
J27 1630  2    This was probably much more meaningful because all
J27 1630 10    the women in the class emphasized it time and again.
J27 1640  9    On the other hand, the women class members appeared
J27 1650  5    to reach a far greater understanding than have women
J27 1660  3    members in other sections that it is more natural for
J27 1660 13    males as a group to view sex as sex rather than always
J27 1670 12    associating it with love as most women seem to do.
J27 1680  8       in the reproductive area it could be readily observed
J27 1690  4    that all felt freer to discuss things than students
J27 1700  1    had previously in "mixed" marital status sections.
J27 1700  8    Perhaps this was related to the fact that all were
J27 1710  9    in on it to some extent. Never in other sections has
J27 1720  5    there been the opportunity for the genuine down-to-earth
J27 1730  1    discussions about the feelings of both spouses during
J27 1730  9    various stages of pregnancy. There was a particularly
J27 1740  8    marvelous opportunity for study in this area since
J27 1750  7    almost every stage of pregnancy was represented, from
J27 1760  2    a childless couple to and including every trimester.
J27 1770  1    In fact, we had one birth before the end of the course,
J27 1770 13    and another student had to take the final examiantion
J27 1780  7    a week early, just to be on the safe side. There was
J27 1790  5    also one spontaneous abortion during the semester.
J28 0010  1    Thus it is reasonable to believe that there is a significant
J28 0010 12    difference between the two groups in their performance
J28 0020  8    on this task after a brief "structuring" experience.
J28 0030  3       It was predicted that Kohnstamm-negative subjects
J28 0040  2    would adhere to more liberal, concretistic reports
J28 0050  1    of what the ambiguous figure "looked like" as reflecting
J28 0050 10    their hesitancy about taking chances. This was true
J28 0060  8    mostly of those Kohnstamm-negative subjects who did
J28 0070  4    not perceive the ambiguous figure as people in action.
J28 0080  3    Responses such as "rope with a loop in it", and "two
J28 0090  1    pieces of rope", were quite characteristic.
J28 0100  1    _GUILFORD-MARTIN PERSONALITY INVENTORIES._
J28 0100  3       The three personality inventories (Guilford ~STDCR;
J28 0110  2    Guilford-Martin ~GAMIN; Guilford-Martin ~OAGCo), were
J28 0120  3    filled out by 12 of the Kohnstamm-positive subjects
J28 0130  2    and 19 of the Kohnstamm-negative subjects. These were
J28 0130 11    the same subjects who were given the Rorschach test.
J28 0140  9    Some predictions had been made concerning factors ~R,
J28 0150  7    ~N, ~I and ~Co on these inventories which appeared
J28 0160  4    to be directly related to control and security aspects
J28 0170  2    of personality functioning which were hypothesized
J28 0170  8    as being of importance in differential Kohnstamm reactivity.
J28 0180  8       Only ~Co differentiated between the two groups at
J28 0190  8    less that the 5% level (**f).
J28 0200  2       One prediction had been made about the difference
J28 0201  1    in security or self-confidence between those subjects
J28 0210  8    who shifted their Kohnstamm reactivity when informed
J28 0220  4    and those who did not. The nonreactors had been separated
J28 0230  4    into two groups on this assumption with the presumably
J28 0240  1    "secure" nonreactors and "secure" reactors being used
J28 0250  1    as the groups for comparative personality studies.
J28 0250  8    It was predicted that those who shifted in their Kohnstamm
J28 0260  8    reactivity would differ significantly from those who
J28 0270  4    did not on the factor ~I which the investigators refer
J28 0280  2    to as the "Inferiority" factor. All of the subjects
J28 0290  1    in the Kohnstamm-negative and Kohnstamm-positive groups
J28 0290  9    (as defined for purposes of the personality studies)
J28 0300  7    were compared with those subjects who shifted in Conditions
J28 0310  5    /3, or /4,. A ~t test on these two groups, shifters
J28 0320  4    vs& nonshifters, gave a "~t" value of 2.405 which is
J28 0330  2    significant on the two-tail test at the .028 level.
J28 0330 12    #DISCUSSION#
J28 0340  1    _INDIVIDUAL DIFFERENCES_
J28 0340  3       Individual differences in Kohnstamm reactivity to
J28 0350  3    controlled Kohnstamm situations were found among the
J28 0360  1    subjects used in the study. Only 27% (11 subjects)
J28 0360 10    gave a positive Kohnstamm reaction when completely
J28 0370  5    nai^ve concerning the phenomenon. There were 49% (20
J28 0380  5    subjects) who did not give a positive reaction even
J28 0390  2    after they were informed of the normalcy of such a
J28 0390 12    reaction and had been given a demonstration. There
J28 0400  7    were 24% (10 subjects) who shifted from a negative
J28 0410  5    to a positive reaction after they were reassured as
J28 0420  2    to the normalcy of the Kohnstamm-positive reaction.
J28 0420 10       Among this latter group there were also differences
J28 0430  8    in the amount and kind of information necessary before
J28 0440  5    a shift in reaction occurred. One subject changed when
J28 0450  3    given only the information that some people have something
J28 0460  1    happen to their arm when they relax. Five subjects
J28 0460 10    (12%) did not change until they had been told that
J28 0470  9    some people have something happen to their arm, what
J28 0480  6    that something was, and also were given a demonstration.
J28 0490  1    Four subjects (10%) did not change even then but needed
J28 0500  1    the additional information that an arm-elevation under
J28 0500  9    these circumstances was a perfectly normal reflex reaction
J28 0510  7    which some people showed while others did not. At no
J28 0520  7    time was it implied by the experimenter that the subject's
J28 0530  4    initial reaction was deviant. The subjects were only
J28 0540  2    given information about other possibilities of "normal"
J28 0540  9    reaction. Those who responded with an arm-elevation
J28 0550  8    in the nai^ve state did not change their reaction when
J28 0560  7    told that there were some normal people who did not
J28 0570  5    react in this fashion. This information was accepted
J28 0580  1    with the frequent interpretation that those persons
J28 0580  8    who did not show arm-levitation must be preventing
J28 0590  7    it. These subjects implied that they too could prevent
J28 0600  5    their arms from rising if they tried.
J28 0610  1       The positive Kohnstamm reactivity in Condition /1,
J28 0610  8    (the nai^ve state) is not adequately explained by such
J28 0620  8    a concept as suggestibility (if suggestibility is defined
J28 0630  5    as the influence on behavior by verbal cues). In no
J28 0640  4    way, either verbally or behaviorally, did the experimenter
J28 0650  1    indicate to the subjects any preferred mode of responding
J28 0650 10    to the voluntary contraction. Moreover, when the experimenter
J28 0660  6    did inform those subjects that there were some normal
J28 0670  7    people who did not have their arm rise once they relaxed,
J28 0680  5    the Kohnstamm-positive subjects were uninfluenced in
J28 0690  2    their subsequent reactions to the Kohnstamm situation.
J28 0690  9    They continued to give an arm-elevation. A differential
J28 0700  9    suggestibility would have to be invoked to explain
J28 0710  7    the failure of this additional information to influence
J28 0720  3    the Kohnstamm-positive reactors and yet attribute their
J28 0730  2    nai^ve Kohnstamm reactivity to suggestion. Autosuggestibility,
J28 0740  1    the reaction of the subject in such a way as to conform
J28 0740 13    to his own expectations of the outcome (i&e&, that
J28 0750  7    the arm-rise is a reaction to the pressure exerted
J28 0760  5    in the voluntary contraction, because of his knowledge
J28 0770  2    that "to every reaction there is an equal and opposite
J28 0770 12    reaction") also seems inadequate as an explanation
J28 0780  7    for the following reasons: (1) the subjects' apparently
J28 0790  6    genuine experience of surprise when their arms rose,
J28 0800  5    and (2) manifestations of the phenomenon despite anticipations
J28 0810  2    of something else happening (e&g&, of becoming dizzy
J28 0820  1    and maybe falling, an expectation spontaneously volunteered
J28 0820  8    by one of the subjects).
J28 0830  4       A suggestion hypothesis also seems inadequate as
J28 0840  2    an explanation for those who shifted their reactions
J28 0840 10    after they were informed of the possibilities of "normal"
J28 0850  8    reactions different from those which they gave. While
J28 0860  7    they were told that there were some normal people who
J28 0870  4    reacted differently than they had, they were also informed
J28 0880  1    that there were other normals who reacted as they had.
J28 0880 11    There was no implication made that their initial reaction
J28 0890  9    (absence of an arm-elevation) was less preferred than
J28 0900  5    the presence of levitation. A more tenable explanation
J28 0910  3    for the change in reactions is that the added knowledge
J28 0920  1    and increased familiarity with the total situation
J28 0920  8    made it possible for these subjects to be less guarded
J28 0930  8    and to relax, since any reaction seemed acceptable
J28 0940  3    to the examiner as "normal".
J28 0940  8       The nai^ve state, Condition /1,, could therefore
J28 0950  7    be viewed as an inhibiting one for 24% of the subjects
J28 0960  7    in this study. They were not free to be themselves
J28 0970  4    in this situation, an interpersonal one, where there
J28 0980  1    was an observer of their reactions and they had no
J28 0980 11    guide for acceptable behavior. Instructions to relax,
J28 0990  5    i&e&, to be "spontaneous", and react immediately to
J28 1000  5    whatever impulse they might have, was not sufficiently
J28 1010  1    reassuring until some idea of the possibilities of
J28 1010  9    normal reactions had been given. While other conditions
J28 1020  7    might be even more effective in bringing about a change
J28 1030  6    from immobility to mobility in Kohnstamm reactivity,
J28 1040  2    it is our hypothesis that all such conditions would
J28 1050  1    have as a common factor the capacity to induce an attitude
J28 1050 12    in the subject which enabled him to divorce himself
J28 1060  7    temporarily from feelings of responsibility for his
J28 1070  4    behavior.
J28 1070  5       Alcohol ingestion succeeded in changing immobility
J28 1080  3    to mobility quite strikingly in one pilot subject (the
J28 1090  2    only one with whom this technique was tried). This
J28 1090 11    subject, who has been undergoing psychoanalytic psychotherapy
J28 1100  6    for five years, did not give a positive Kohnstamm reaction
J28 1110  7    under any of the four standardized conditions used
J28 1120  3    in this experiment while sober. After two drinks containing
J28 1130  2    alcohol, her arm flew upward very freely. There was
J28 1130 11    evident delight on the part of the subject in response
J28 1140 10    to her experience of the freedom of movement. She described
J28 1150  7    herself as having the same kind of "irresponsible"
J28 1160  3    feeling as she had once experienced under hypnosis.
J28 1170  1    She ascribed her delight with both experiences to the
J28 1170 10    effect they seemed to have of temporarily removing
J28 1180  8    from her the controls which she felt so compulsively
J28 1190  5    necessary to maintain even when it might seem appropriate
J28 1200  3    to relax these controls.
J28 1200  7       Many subjects attributed differences in Kohnstamm
J28 1210  3    reactivity to differences in degrees of subjective
J28 1220  1    control- voluntary as the Kohnstamm-positive subjects
J28 1220  7    perceived it and involuntary as the Kohnstamm-negative
J28 1230  8    subjects perceived it. These suggested interpretations
J28 1240  4    were given by the subjects spontaneously when they
J28 1250  3    were told that there were people who reacted differently
J28 1260  1    than they had. The Kohnstamm-positive subjects described
J28 1260  9    the vivid experience of having their arms rise as one
J28 1270  9    in which they exercised no control. They explained
J28 1280  4    its absence in others on the basis of an intervention
J28 1290  1    of control factors. They felt that they too could counteract
J28 1300  1    the upward arm movement by a voluntary effort after
J28 1300 10    they had once experienced the reaction. Some of those
J28 1310  6    who did not initially react with an arm-elevation also
J28 1320  5    associated their behavior in the situation with control
J28 1330  2    factors- an inability to relinquish control voluntarily.
J28 1340  1    One subject spontaneously asked (after her arm had
J28 1340  9    finally risen), "Do you suppose I was unconsciously
J28 1350  6    keeping it down before"? Another said that her arm
J28 1360  5    did not go up at first "because I wouldn't let it;
J28 1370  3    I thought it wasn't supposed to". This subject was
J28 1371  1    one who gave an arm-elevation on the second trial in
J28 1380 11    the nai^ve state but not in the first. She had felt
J28 1390  8    that her arm wanted to go up in the first trial, but
J28 1400  4    had consciously prevented it from so doing. She explained
J28 1410  2    nonreactivity of others by saying that they were "not
J28 1410 11    letting themselves relax". When informed that there
J28 1420  7    were some persons who did not have their arm go up,
J28 1430  8    she commented, "I don't see how they can prevent it".
J28 1440  5    In contrast to this voluntary-control explanation for
J28 1450  2    nonreactivity given by the Kohnstamm-positive subjects,
J28 1450  9    the Kohnstamm-negative subjects offered an involuntary-control
J28 1460  6    hypothesis to explain nonreactivity. They felt that
J28 1470  7    they were relaxing as much as they could and that any
J28 1480  6    control factors which might be present to prevent response
J28 1490  2    must be on an unconscious level.
J28 1490  8       The above discussion does not mean to imply that
J28 1500  7    control factors were completely in abeyance in the
J28 1510  4    Kohnstamm-positive subjects; but rather that they could
J28 1520  1    be diminished sufficiently not to interfere with arm-levitation.
J28 1530  1    One Kohnstamm-positive subject who had both arms rise
J28 1530 10    while being tested in the nai^ve condition described
J28 1540  6    her subjective experience as follows: "You feel they're
J28 1550  5    going up and you're on a stage and it's not right for
J28 1560  5    them to do so and then you think maybe that's what's
J28 1570  2    supposed to happen". She then described her experience
J28 1570 10    as one in which she first had difficulty accepting
J28 1580  9    for herself a state of being in which she relinquished
J28 1590  6    control. However, she was able to relax and yield to
J28 1600  4    the moment.
J28 1600  6       It is our hypothesis that Kohnstamm-positive subjects
J28 1610  2    are less hesitant about relinquishing control than
J28 1610  9    are Kohnstamm-negative subjects; that they can give
J28 1620  8    up their control and allow themselves to be reactors
J28 1630  6    rather than actors. It is our belief that this readiness
J28 1640  4    to relinquish some control was evidenced by the
J28 1640 12    Kohnstamm-positive
J28 1650  1    subjects in some of the other experimental situations
J28 1660  1    to be discussed below. Thus, this readiness to relax
J28 1660 10    controls, evidenced in the Kohnstamm situation, appears
J28 1670  6    to be a more general personality factor.
J28 1680  2    _ANISEIKONIC ILLUSION_
J28 1680  4       The Kohnstamm-positive subjects seemed to be freer
J28 1690  5    to experience the unusual and seemingly impossible
J28 1700  1    in the external world. There was a significantly greater
J28 1700 10    number in this group who reported a desk as being in
J28 1710 11    a tilted position while a tennis ball resting on it
J28 1720  7    remained stationary on the incline. This occurred in
J28 1730  3    spite of the rational awareness that the ball should
J28 1730 12    be going downhill. They knew that their perceptual
J28 1750  7    experience differed from objective reality since they
J28 1760  5    had seen the desk and ball prior to putting on the
J28 1770  3    aniseikonic lenses. Yet they were not so bound by past
J28 1770 13    experience and constriction as to deny their immediate
J28 1780  8    perceptions and to be dominated by their knowledge
J28 1790  6    of what the experience should be. The change in perceptions
J28 1800  4    by some of the Kohnstamm-negative subjects, after they
J28 1810  3    had been informed of the possibilities of normal reactions,
J28 1820  1    suggests that their constriction and guardedness is
J28 1820  8    associated with their general mode of responding to
J28 1830  7    strange or unknown situations. They were able to experience
J28 1840  5    at first, in terms of past conventionality. When informed
J28 1850  3    as to the various possibilities of normal reactions,
J28 1850 11    they were then able to experience the uniqueness of
J28 1860  9    the present. It might be postulated that these subjects
J28 1870  6    are unduly afraid of being wrong; that they perceive
J28 1880  4    new internal and environmental situations as "threatening"
J28 1890  1    until they are tested and proved otherwise.
J28 1890  8       While the interpretations that have been given are
J28 1900  8    inferences only, they gain support from such comments
J28 1910  6    as the following, which was made by one of the Kohnstamm-negative
J28 1920  5    subjects who did not, on the first trial, perceive
J28 1930  2    the tilt illusion.
J29 0010  1    _CONTROL OF SOCIOECONOMIC STATUS_
J29 0010  5       It would have been desirable for the two communities
J29 0020  4    to have differed only in respect to the variable being
J29 0030  2    investigated: the degree of structure in teaching method.
J29 0030 10    The structured schools were in an industrial city,
J29 0040  8    with three-family tenement houses typical of the residential
J29 0050  6    areas, but with one rather sizable section of middle-class
J29 0060  5    homes. The unstructured schools were in a large suburban
J29 0070  4    community, predominantly middle- to upper-middle class,
J29 0080  1    but fringed by an industrial area. In order to equate
J29 0080 11    the samples on socioeconomic status, we chose schools
J29 0090  7    in both cities on the basis of socioeconomic status
J29 0100  4    of the neighborhoods. School principals and guidance
J29 0110  1    workers made ratings of the various neighborhoods and
J29 0110  9    the research team made independent observations of
J29 0120  6    houses and dwelling areas. An objective scale was developed
J29 0130  6    for rating school neighborhoods from these data. Equal
J29 0140  4    proportions of children in each city were drawn from
J29 0150  1    upper-lower and lower-middle class neighborhoods.
J29 0150  8    _SUBJECTS_
J29 0150  9       Individual differences in maturation and the development
J29 0160  7    of readiness for learning to read indicate that not
J29 0170  7    until the third grade have most children had ample
J29 0180  4    opportunity to demonstrate their capacity for school
J29 0190  1    achievement. Therefore, third-grade children were chosen
J29 0190  8    as subjects for this study.
J29 0200  4       For purposes of sample selection only (individual
J29 0210  1    tests were given later) we obtained group test scores
J29 0210 10    of reading achievement and intelligence from school
J29 0220  6    records of the entire third-grade population in each
J29 0230  4    school system. The subjects for this study were randomly
J29 0240  2    selected from stratified areas of the distribution,
J29 0240  9    one-third as underachievers, one-third medium, and
J29 0250  7    one-third over-achievers. Children whose reading scores
J29 0260  5    were at least one standard deviation below the regression
J29 0270  4    line of each total third-grade school population were
J29 0280  2    considered under-achievers for the purposes of sample
J29 0280 10    selection. Over-achievers were at least one standard
J29 0290  8    deviation above the regression line in their school
J29 0300  5    system. The final sample was not significantly different
J29 0310  2    from a normal distribution in regard to reading achievement
J29 0320  1    or intelligence test scores. Twenty-four classrooms
J29 0320  8    in twelve unstructured schools furnished 156 cases,
J29 0330  5    87 boys and 69 girls. Eight classrooms in three structured
J29 0340  4    schools furnished 72 cases, 36 boys and 36 girls. Administrative
J29 0350  3    restrictions necessitated the smaller sample size in
J29 0360  2    the structured schools.
J29 0360  5       It was assumed that the sampling procedure was purely
J29 0370  4    random with respect to the personality variables under
J29 0380  2    investigation.
J29 0380  3    _RATING SCALE OF COMPULSIVITY_
J29 0380  7       An interview schedule of open-ended questions and
J29 0390  7    a multiple-choice questionnaire were prepared, and
J29 0400  4    one parent of each of the sample children was seen
J29 0410  1    in the home. The parent was asked to describe the child's
J29 0410 12    typical behavior in certain standard situations in
J29 0420  7    which there was an opportunity to observe tendencies
J29 0430  4    toward perfectionism in demands upon self and others,
J29 0440  3    irrational conformity to rules, orderliness, punctuality,
J29 0450  1    and need for certainty. The interviewers were instructed
J29 0450  9    not to suggest answers and, as much as possible, to
J29 0460  8    record the parents' actual words as they described
J29 0470  5    the child's behavior in home situations.
J29 0480  1       The rating scale of compulsivity was constructed
J29 0480  8    by first perusing the interview records, categorizing
J29 0490  5    all evidence related to compulsivity, then arranging
J29 0500  3    a distribution of such information apart from the case
J29 0510  2    records. Final ratings were made on the basis of a
J29 0510 12    point system which was developed after studying the
J29 0520  7    distributions of actual behaviors recorded and assigning
J29 0530  4    weight values to each type of behavior that was deviant
J29 0540  3    from the discovered norms. Children scoring high in
J29 0540 11    compulsivity were those who gave evidence of tension
J29 0550  8    or emotionality in situations where there was lack
J29 0560  5    of organization or conformity to standards and expectations,
J29 0570  3    or who made exaggerated efforts to achieve these goals.
J29 0580  1    The low compulsive child was one who appeared relatively
J29 0580 10    unconcerned about such matters. For instance, the following
J29 0590  8    statement was rated low in compulsivity, "She's naturally
J29 0600  6    quite neat about things, but it doesn't bother her
J29 0610  6    at all if her room gets messy. But she cleans it up
J29 0620  4    very well when I remind her".
J29 0630  1    _MEASUREMENT OF ANXIETY_
J29 0630  1       Castaneda, et al& revised the Taylor Anxiety Scale
J29 0630  9    for use with children. The Taylor Scale was adapted
J29 0640  9    from the Minnesota Multiphastic Personality Inventory,
J29 0650  4    with item selection based upon clinical definitions
J29 0660  3    of anxiety. There is much research evidence to validate
J29 0670  2    the use of the instrument in differentiating individuals
J29 0670 10    who are likely to manifest anxiety in varying degrees.
J29 0680  9    Reliability and validation work with the Children's
J29 0690  5    Anxiety Scale by Castaneda, et al& demonstrated results
J29 0700  4    closely similar to the findings with the adult scale.
J29 0710  4    Although the Taylor Scale was designed as a group testing
J29 0720  2    device, in this study it was individually administered
J29 0720 10    by psychologically trained workers who established
J29 0730  5    rapport and assisted the children in reading the items.
J29 0750  1    _RELATIONSHIP OF ANXIETY TO COMPULSIVITY_
J29 0750  1       The question may be raised whether or not we are
J29 0750 11    dealing with a common factor in anxiety and compulsivity.
J29 0760  8    The two ratings yield a correlation of +.04, which
J29 0770  5    is not significantly different from zero; therefore,
J29 0780  2    we have measured two different characteristics. In
J29 0780  9    theory, compulsive behavior is a way of diminishing
J29 0790  8    anxiety, and one might expect a negative association
J29 0800  4    except for the possibility that for many children the
J29 0810  3    obsessive-compulsive defenses are not sufficient to
J29 0810 10    quell the amount of anxiety they suffer. The issue
J29 0820  9    of interaction between anxiety and compulsivity will
J29 0830  5    be taken up later.
J29 0840  1    _CRITERION MEASUREMENT_
J29 0840  1       In the primary grades, reading permeates almost
J29 0840  8    every aspect of school progress, and the children's
J29 0850  6    early experiences of success or failure in learning
J29 0860  4    to read often set a pattern of total achievement that
J29 0870  2    is relatively enduring throughout the following years.
J29 0870  9    In establishing criterion measurements, it was therefore
J29 0880  6    thought best to broaden the scope beyond the reading
J29 0890  6    act itself. The predicted interaction effect should,
J29 0900  3    if potent, extend its influence over all academic achievement.
J29 0910  1       The Stanford Achievement Test, Form ~J, was administered
J29 0920  1    by classroom teachers, consisting of a battery of six
J29 0920 10    sub-tests: Paragraph Meaning, Word Meaning, Spelling,
J29 0930  6    Language, Arithmetic Computation, and Arithmetic Reasoning.
J29 0940  5    All of these sub-tests involve reading except Arithmetic
J29 0950  5    Computation. Scores are stated in grade-equivalents
J29 0960  4    on a national norm. The battery median grade-equivalent
J29 0970  1    was used in data analysis in this study.
J29 0970  9       The Wechsler Intelligence Scale for Children was
J29 0980  6    administered to each sample third-grade child by a
J29 0990  6    clinical worker. The relationship of intelligence test
J29 1000  2    scores to school achievement is a well-established
J29 1000 10    fact (in this case, **f); therefore, in the investigation
J29 1010  7    of the present hypothesis, it was necessary to control
J29 1020  6    this factor.
J29 1020  8       The criterion score used in the statistical analysis
J29 1030  6    is an index of over- or under-achievement. It is the
J29 1040  4    discrepancy between the actual attained achievement
J29 1050  1    test score and the score that would be predicted by
J29 1050 11    the I&Q&. For example, on the basis of the regression
J29 1060  9    equation, a child with an I&Q& of 120 in this sample
J29 1070  8    would be expected to earn an achievement test score
J29 1080  3    of 4.8 (grade equivalent). If a child with an I&Q&
J29 1090  1    of 120 scored 5.5 in achievement, his discrepancy score
J29 1090 10    would be +.7, representing .7 of one year of over-achievement.
J29 1100 10    A child with an I&Q& of 98 would be expected to earn
J29 1110  9    an achievement test score of 3.5. If such a child scored
J29 1120  8    3.0, his discrepancy score would be -.5, representing
J29 1130  2    .5 of one year of under-achievement. In this manner,
J29 1140  1    the factors measured by the intelligence test were
J29 1140  9    controlled, allowing discovered differences in achievement
J29 1150  5    to be interpreted as resulting from other variables.
J29 1160  4    #RESULTS#
J29 1170  1    _TEST OF INTERACTION OF COMPULSIVITY AND TEACHING METHODS_
J29 1170  4       Tables 1 and 2 present the results of the statistical
J29 1180  3    analysis of the data when compulsivity is used as the
J29 1190  1    descriptive variable. Figure 1 portrays the mean achievement
J29 1190  9    scores of each sub-group graphically. First of all,
J29 1200  8    as we had surmised, the highly compulsive children
J29 1210  3    in the structured setting score significantly better
J29 1220  2    (**f) on achievement than do similar children in the
J29 1220 11    unstructured schools. It can be seen too that when
J29 1230  9    we contrast levels of compulsivity within the structured
J29 1240  4    schools, the high compulsive children do better (**f).
J29 1250  3    No significant difference was found in achievement
J29 1250 10    between high and low compulsive children within the
J29 1260  8    unstructured school. The hypothesis of there being
J29 1270  5    an interaction between compulsivity and teaching method
J29 1280  2    was supported, in this case, at the .05 level.
J29 1280 11       While we had expected that compulsive children in
J29 1290  8    the unstructured school setting would have difficulty
J29 1300  5    when compared to those in the structured, we were surprised
J29 1310  4    to find that the achievement of the high compulsives
J29 1320  1    within the schools where the whole-word method is used
J29 1320 11    in beginning reading compares favorably with that of
J29 1330  7    the low compulsives. Indeed their achievement scores
J29 1340  4    were somewhat better on an absolute basis although
J29 1350  2    the difference was not significant. We speculate that
J29 1350 10    compulsives in the unstructured schools are under greater
J29 1360  8    strain because of the lack of systemization in their
J29 1370  7    school setting, but that their need to organize (for
J29 1380  4    comfort) is so intense that they struggle to induce
J29 1390  1    the phonic rules and achieve in spite of the lack of
J29 1390 12    direction from the environment.
J29 1400  2       It is interesting to note that medium compulsives
J29 1410  1    in the unstructured schools made the lowest achievement
J29 1410  9    scores (although not significantly lower). Possibly
J29 1420  5    their compulsivity was not strong enough to cause them
J29 1430  5    to build their own structure.
J29 1430 10       Our conjecture is, then, that regardless of the
J29 1440  7    manner in which school lessons are taught, the compulsive
J29 1450  5    child accentuates those elements of each lesson that
J29 1460  3    aid him in systematizing his work. When helped by a
J29 1460 13    high degree of structure in lesson presentation, then,
J29 1470  8    and only then, does such a child attain unusual success.
J29 1490  1    _TEST OF INTERACTION OF ANXIETY AND TEACHING METHODS_
J29 1490  4       The statistical analyses of achievement in relation
J29 1500  2    to anxiety and teaching methods and the interactions
J29 1500 10    of the two are presented in Tables 3 and 4. Figure
J29 1510 10    2 is a graph of the mean achievement scores of each
J29 1520  5    group. As predicted, the highly anxious children in
J29 1530  2    the unstructured schools score more poorly (**f) than
J29 1530 10    those in the structured schools. The interaction effect,
J29 1540  7    which is significant at the .01 level, can be seen
J29 1550  8    best in the contrast of mean scores. While high anxiety
J29 1560  3    children achieve significantly less well (**f) in the
J29 1570  1    unstructured school than do low anxiety children, they
J29 1570  9    appear to do at least as well as the average in the
J29 1580  9    structured classroom.
J29 1580 11       The most striking aspect of the interaction demonstrated
J29 1590  8    is the marked decrement in performance suffered by
J29 1600  5    the highly anxious children in unstructured schools.
J29 1610  2    According to the theory proposed, this is a consequence
J29 1620  1    of the severe condition of perceived threat that persists
J29 1620 10    unabated for the anxious child in an ambiguous sort
J29 1630  9    of school environment. The fact that such threat is
J29 1640  6    potent in the beginning reading lessons is thought
J29 1650  2    to be a vital factor in the continued pattern of failure
J29 1650 13    or under-achievement these children exhibit. The child
J29 1660  6    with high anxiety may first direct his anxiety-released
J29 1670  6    energy toward achievement, but because his distress
J29 1680  3    severely reduces the abilities of discrimination and
J29 1690  1    memorization of complex symbols, the child may fail
J29 1690  9    in his initial attempts to master the problem. Failure
J29 1700  6    confirms the threat, and the intensity of anxiety is
J29 1710  4    increased as the required learning becomes more difficult,
J29 1720  2    so that by the time the child reaches the third grade
J29 1720 13    the decrement in performance is pronounced.
J29 1730  6       The individual with high anxiety in the structured
J29 1740  5    classroom may approach the learning task with the same
J29 1750  4    increased energy and lowered powers of discrimination.
J29 1750 11    But the symbols he is asked to learn are simple. As
J29 1760 11    shown earlier, the highly anxious individual may be
J29 1770  6    superior in his memorizing of simple elements. Success
J29 1780  3    reduces the prospect of threat and his powers of discrimination
J29 1790  2    are improved. By the time the child first attacks the
J29 1800  1    actual problem of reading, he is completely familiar
J29 1800  9    and at ease with all of the elements of words. Apparently
J29 1810  8    academic challenge in the structured setting creates
J29 1820  3    an optimum of stress so that the child with high anxiety
J29 1830  2    is able to achieve because he is aroused to an energetic
J29 1830 13    state without becoming confused or panicked.
J29 1840  6       Sarason et al& present evidence that the anxious
J29 1850  6    child will suffer in the test-like situation, and that
J29 1860  4    his performance will be impaired unless he receives
J29 1870  1    supporting and accepting treatment from the teacher.
J29 1870  8    Although the present study was not a direct replication
J29 1880  8    of their investigations, the results do not confirm
J29 1890  5    their conclusion. Observers, in the two school systems
J29 1900  2    studied here, judged the teachers in the structured
J29 1900 10    schools to be more impersonal and demanding, while
J29 1910  8    the atmosphere in the unstructured schools was judged
J29 1920  5    to be more supporting and accepting. Yet the highly
J29 1930  4    anxious child suffered a tremendous disadvantage only
J29 1940  1    in the unstructured school, and performed as well or
J29 1940 10    better than average in the structured setting.
J30 0010  1    _ANALYSIS_
J30 0010  2       Analysis means the evaluation of subparts, the comparative
J30 0020  1    ratings of parts, the comprehension of the meaning
J30 0020  9    of isolated elements. Analysis in roleplaying is usually
J30 0030  6    done for the purpose of understanding strong and weak
J30 0040  4    points of an individual or as a process to eliminate
J30 0050  2    weak parts and strengthen good parts.
J30 0060  1    _IMPERSONAL PURPOSES_
J30 0060  1       Up to this point stress has been placed on roleplaying
J30 0060 11    in terms of individuals. Roleplaying can be done for
J30 0070  8    quite a different purpose: to evaluate procedures,
J30 0080  4    regardless of individuals. For example: a sales presentation
J30 0090  4    can be analyzed and evaluated through roleplaying.
J30 0100  1    _EXAMPLES_
J30 0100  2       Let us now put some flesh on the theoretical bones
J30 0110  1    we have assembled by giving illustrations of roleplaying
J30 0110  9    used for evaluation and analysis. One should keep in
J30 0120  7    mind that many of the exciting possiblities of roleplaying
J30 0130  4    are largely unexplored and have not been used in industry
J30 0140  4    to the extent that they have been in military and other
J30 0150  1    areas.
J30 0150  2    _EVALUATION_
J30 0150  3       The president of a small firm selling restaurant
J30 0160  1    products, had considerable difficulty in finding suitable
J30 0160  8    salesmen for his business. Interviewing, checking references,
J30 0170  7    training the salesmen, having them go with more experienced
J30 0180  8    salesmen was expensive- and the rate of attrition due
J30 0190  9    to resignations or unsatisfactory performance was too
J30 0200  4    high. It was his experience that only one good salesman
J30 0210  1    was found out of every seven hired- and only one was
J30 0210 12    hired out of every seven interviewed.
J30 0220  5       Roleplaying was offered as a solution- and the procedure
J30 0230  6    worked as follows: all candidates were invited to a
J30 0240  3    hotel conference room, where the president explained
J30 0240 10    the difficulty he had, and how unnecessary it seemed
J30 0250  8    to him to hire people who just did not work out. In
J30 0260  7    place of asking salesmen to fill questionnaires, checking
J30 0270  2    their references, interviewing them, asking them to
J30 0280  1    be tried out, he told them he would prefer to test
J30 0280 12    them. Each person was to enter the testing room, carrying
J30 0290  8    a suitcase of samples. Each salesman was to read a
J30 0300  5    sheet containing a description of the product. In the
J30 0310  2    testing room he was to make, successively, three presentations
J30 0320  1    to three different people.
J30 0320  5       In the testing room, three of the veteran salesmen
J30 0330  2    served as antagonists. One handled the salesman in
J30 0330 10    a friendly manner, another in a rough manner, and the
J30 0340 10    third in a hesitating manner. Each was told to purchase
J30 0350  7    material if he felt like it. The antagonists came in,
J30 0360  4    one at a time, and did not see or hear the other presentations.
J30 0370  2    After each presentation, the antagonist wrote his judgment
J30 0380  1    of the salesmen; and so did the observers consisting
J30 0380 10    of the president, three of his salesmen and a psychologist.
J30 0390  9       Ten salesmen were tested in the morning and ten
J30 0400  8    more in the afternoon. This procedure was repeated
J30 0410  3    one day a month for four months. The batting average
J30 0420  1    of one success out of seven increased to one out of
J30 0420 12    three. The president of the firm, calculating expenses
J30 0430  6    alone, felt his costs had dropped one-half while success
J30 0440  5    in selection had improved over one hundred per cent.
J30 0450  3       The reason for the value of this procedure was simply
J30 0460  1    that the applicants were tested "at work" in different
J30 0460 10    situations by the judgment of a number of experts who
J30 0470 10    could see how the salesmen conducted themselves with
J30 0480  4    different, but typical restaurant owners and managers.
J30 0490  3    They were, in a sense, "tried out" in realistic situations.
J30 0500  1       From the point of view of the applicants, less time
J30 0510  1    was wasted in being evaluated- and they got a meal
J30 0510 11    out of it as well as some insights into their performances.
J30 0520  7       Another use of roleplaying for evaluation illustrates
J30 0530  4    how this procedure can be used in real life situations
J30 0540  4    without special equipment or special assistants during
J30 0550  1    the daily course of work.
J30 0550  6       The position of receptionist was opened in a large
J30 0560  5    office and an announcement was made to the other girls
J30 0570  2    already working that they could apply for this job
J30 0570 11    which had higher prestige and slightly higher salary
J30 0580  6    than typing and clerking positions. All applicants
J30 0590  3    were generally familiar with the work of the receptionist.
J30 0600  1    At the end of work one day, the personnel man took
J30 0600 12    the applicants one at a time, asked them to sit behind
J30 0610 10    the receptionist's desk and he then played the role
J30 0620  7    of a number of people who might come to the receptionist
J30 0630  3    with a number of queries and for a number of purposes.
J30 0640  1    Each girl was independently "tested" by the personnel
J30 0640  9    man, and he served not only as the director, but as
J30 0650 10    the antagonist and the observer.
J30 0660  1       Somewhat to his surprise he found that one girl,
J30 0660 10    whom he would never have considered for the job since
J30 0670 10    she had appeared somewhat mousy and also had been in
J30 0680  7    the office a relatively short time, did the most outstanding
J30 0690  4    job of playing the role of receptionist, showing wit,
J30 0700  2    sparkle, and aplomb. She was hired and was found to
J30 0700 12    be entirely satisfactory when she played the role eight
J30 0710  8    hours a day.
J30 0720  1    _ANALYSIS_
J30 0720  1       In considering roleplaying for analysis we enter
J30 0720  8    a more complex area, since we are now no longer dealing
J30 0730  8    with a simple over-all decision but rather with the
J30 0740  5    examination and evaluation of many elements seen in
J30 0750  2    dynamic functioning. Some cases in evidence of the
J30 0750 10    use of roleplaying for analysis may help explain the
J30 0760  7    procedure.
J30 0760  8       An engineer had been made the works manager of a
J30 0770  9    firm, supplanting a retired employee who had been considered
J30 0780  5    outstandingly successful. The engineer had more than
J30 0790  3    seven years of experience in the firm, was well trained,
J30 0790 13    was considered a hard worker, was respected by his
J30 0800  9    fellow engineers for his technical competence and was
J30 0810  6    regarded as a "comer". However, he turned out to be
J30 0820  6    a complete failure in his new position. He seemed to
J30 0830  2    antagonize everyone. Turnover rates of personnel went
J30 0830  9    up, production dropped, and morale was visibly reduced.
J30 0840  7    Despite the fact that he was regarded as an outstanding
J30 0850  6    engineer, he seemed to be a very poor administrator,
J30 0860  2    although no one quite knew what was wrong with him.
J30 0860 12    At the insistence of his own supervisor- the president
J30 0870  9    of the firm, he enrolled in a course designed to develop
J30 0880  8    leaders.
J30 0880  9       He played a number of typical situations before
J30 0890  7    observers, other supervisors who kept notes and then
J30 0900  5    explained to him in detail what he did they thought
J30 0910  1    was wrong. Entirely concerned with efficiency, he was
J30 0910  9    merciless in criticizing people who made mistakes,
J30 0920  6    condemning them to too great an extent. He did not
J30 0930  5    really listen to others, had little interest in their
J30 0940  1    ideas, and wanted to have his own way- which was the
J30 0940 12    only right way. The entire group of managers explained,
J30 0950  8    in great detail, a number of human relations errors
J30 0960  5    that he made.
J30 0960  8       One by one, these errors were discussed and one
J30 0970  6    by one he rejected accepting them as errors. He admitted
J30 0980  3    his behavior, and defended it. He refused to change
J30 0990  1    his approach, and instead he attacked high and low-
J30 0990 10    the officials for their not backing him, and subordinates
J30 1000  7    for their laxness, stupidity, and stubbornness. After
J30 1010  4    the diagnosing, he left the course, convinced that
J30 1020  2    it could do him no good.
J30 1020  8       We may say that his problem was diagnosed but that
J30 1030  5    he refused treatment. The engineer turned works manager
J30 1040  2    had a particular view of life- and refused to change
J30 1040 12    it. We may say that his attitude was foolish, since
J30 1050  9    he may have been a success had he learned some human
J30 1060  6    relations skills; or we may say that his attitude was
J30 1070  4    commendable, showing his independence of mind, in his
J30 1080  1    refusal to adjust to the opinions of others. In any
J30 1080 11    case, he refused to accept the implications of the
J30 1090  7    analysis, that he needed to be made over.
J30 1100  2       Another case may be given in illustration of a successful
J30 1110  1    use of analysis, and also of the employment of a procedure
J30 1110 12    for intensive analysis. In a course for supermarket
J30 1120  7    operators, a district manager who had been recently
J30 1130  5    appointed to his position after being outstandingly
J30 1140  1    successful as a store manager, found that in supervising
J30 1140 10    other managers he was having a difficult time. On playing
J30 1150 10    some typical situations before a jury of his peers
J30 1160  7    he showed some characteristics rated as unsatisfactory.
J30 1170  3    He was told he displayed, for example, a sense of superiority-
J30 1180  3    and he answered: "Well, I am supposed to know all the
J30 1190  3    answers, aren't I"? He was criticized for his curtness
J30 1200  1    and abruptness- and he answered: "I am not working
J30 1200 10    to become popular". On being criticized for his arbitrary
J30 1210  8    behavior- he answered: "I have to make decisions. That's
J30 1220  7    my job". In short, as frequently happens in analyses,
J30 1230  6    the individual feels threatened and defends himself.
J30 1240  3    However, in this case the district manager was led
J30 1250  1    to see the errors of his ways. The necessary step between
J30 1250 12    diagnosis and training is acceptance of the validity
J30 1260  7    of the criticisms. How this was accomplished may be
J30 1270  5    described, since this sometimes is a crucial problem.
J30 1280  2       The director helped tailor-make a check list of
J30 1280 11    the district manager's errors by asking various observers
J30 1290  7    to write out sentences commenting on the mistakes they
J30 1300  6    felt he made. These errors were then collected and
J30 1310  4    written on a blackboard, condensing similar ideas.
J30 1320  1    Eighteen errors were located, and then the director
J30 1320  9    asked each individual to vote whether or not they felt
J30 1330  8    that this manager had made the particular errors. They
J30 1340  4    were asked to vote "true" if they thought they had
J30 1350  3    seen him make the error, "false" if they thought he
J30 1350 13    had not; and "cannot say" if they were not certain.
J30 1360 10       The manager sat behind the group so he could see
J30 1370  9    and count the hands that went up, and the director
J30 1380  5    wrote the numbers on the blackboard. No comments were
J30 1390  2    made during the voting. The results looked as follows:
J30 1390 11    **f.
J30 1400  1       The first eight of these eighteen statements, which
J30 1400  9    received at least one-half of the votes, were duplicated
J30 1410 10    to form an analysis checklist for the particular manager,
J30 1420  6    and when this particular manager roleplayed in other
J30 1430  4    situations, the members checked any items that appeared.
J30 1440  1    To prevent the manager from deliberately controlling
J30 1440  8    himself only during the sessions, they were rather
J30 1450  8    lengthy (about twenty minutes), the situations were
J30 1460  4    imperfectly described to the manager so that he would
J30 1470  3    not know what to expect, new antagonists were brought
J30 1470 12    on the scene unexpectedly, and the antagonists were
J30 1480  7    instructed to deliberately behave in such ways as to
J30 1490  7    upset the manager and get him to operate in a manner
J30 1500  3    for which he had been previously criticized.
J30 1500 10       After every session, the check marks were totaled
J30 1510  8    up and graphed, and in this way the supervisor's progress
J30 1520  5    was charted.
J30 1520  7    _SUMMARY_
J30 1520  8       In life we learn to play our roles and we "freeze"
J30 1530 10    into patterns which become so habitual that we are
J30 1540  6    not really aware of what we do. We can see others more
J30 1550  3    clearly than we can see ourselves, and others can see
J30 1550 13    us better than we see ourselves. To learn what we do
J30 1560 11    is the first step for improvement. To accept the validity
J30 1570  7    of the judgments of others is the second step. To want
J30 1580  6    to change is the third step. To practice new procedures
J30 1590  2    under guided supervision and with constant feedback
J30 1590  9    is the fourth step. To use these new ways in daily
J30 1600 10    life is the last step. Roleplaying used for analysis
J30 1610  5    follows these general steps leading to training.
J30 1620  2       When an evaluative situation is set up, and no concern
J30 1630  1    is with the details that lead to an over-all estimate,
J30 1630 12    we say that roleplaying is used for evaluation. Observers
J30 1640  7    can see a person engaged in spontaneous behavior, and
J30 1650  5    watch him operating in a totalistic fashion. This behavior
J30 1660  3    is more "veridical"- or true than other testing behavior
J30 1670  3    for some types of evaluation, and so can give quick
J30 1670 13    and accurate estimates of complex functioning.
J30 1680  6       While roleplaying for testing is not too well understood
J30 1690  8    at the present time, it represents one of the major
J30 1700  5    uses of this procedure.
J30 1700  9    #CHAPTER /10, SPONTANEITY TRAINING#
J30 1710  2    THE OBJECTIVE OF THIS CHAPTER is to clarify the distinctions
J30 1720  3    between spontaneity theory and other training concepts.
J30 1730  1    In addition, the basic approach utilized in applying
J30 1730  9    roleplaying will be reviewed. The goal will be to provide
J30 1740  9    the reader with an integrated rationale to aid him
J30 1750  5    in applying roleplaying techniques in this unique training
J30 1760  3    area. The reasons for extracting this particular roleplaying
J30 1770  1    application from the previous discussion of training
J30 1770  8    are twofold:
J30 1780  1    _1._
J30 1780  2       Spontaneity training theory is unique and relatively
J30 1780  9    new.
J31 0010  1       It is not easy for the therapist to discern when,
J31 0010 11    in the patient's communicating, an introject has appeared
J31 0020  6    and is holding sway. One learns to become alert to
J31 0030  6    changes in his vocal tone- to his voice's suddenly
J31 0040  2    shifting to a quality not like his usual one, a quality
J31 0050  1    which sounds somehow artificial or, in some instances,
J31 0050  9    parrotlike. The content of his words may lapse back
J31 0060  8    into monotonous repetition, as if a phonograph needle
J31 0070  5    were stuck in one groove; only seldom is it so simple
J31 0080  2    as to be a matter of his obviously parroting some timeworn
J31 0080 13    axiom, common to our culture, which he has evidently
J31 0090  9    heard, over and over, from a parent until he experiences
J31 0100  7    it as part of him.
J31 0100 12       One hebephrenic woman often became submerged in
J31 0110  6    what felt to me like a somehow phony experience of
J31 0120  4    pseudo-emotion, during which, despite her wracking
J31 0130  1    sobs and streaming cheeks, I felt only a cold annoyance
J31 0130 11    with her. Eventually such incidents became more sporadic,
J31 0140  7    and more sharply demarcated from her day-after-day
J31 0150  6    behavior, and in one particular session, after several
J31 0160  3    minutes of such behavior- which, as usual, went on
J31 0170  1    without any accompanying words from her- she asked,
J31 0170  9    eagerly, "Did you see Granny"? At first I did not know
J31 0180 10    what she meant; I thought she must be seeing me as
J31 0190  8    some one who had just come from seeing her grandmother,
J31 0210  3    in their distant home-city. Then I realized that she
J31 0220  2    had been deliberately showing me, this time, what Granny
J31 0220 11    was like; and when I replied in this spirit, she corroborated
J31 0230 10    my hunch.
J31 0240  1       At another phase in the therapy, when a pathogenic
J31 0240 10    mother-introject began to emerge more and more upon
J31 0250  8    the investigative scene, she muttered in a low but
J31 0260  5    intense voice, to herself, "I hate that woman inside
J31 0270  1    me"! I could evoke no further elaboration from her
J31 0270 10    about this; but a few seconds later she was standing
J31 0280  9    directly across the room from me, looking me in the
J31 0290  7    eyes and saying in a scathingly condemnatory tone,
J31 0300  2    "Your father despises you"! Again, I at first misconstrued
J31 0320  1    this disconcertingly intense communication, and I quickly
J31 0320  8    cast through my mind to account for her being able
J31 0330 10    to speak, with such utter conviction, of an opinion
J31 0340  5    held by my father, now several years deceased. Then
J31 0350  2    I replied, coldly, "If you despise me, why don't you
J31 0360  1    say so, directly"? She looked confused at this, and
J31 0360 10    I felt sure it had been a wrong response for me to
J31 0370 10    make. It then occurred to me to ask, "Is that what
J31 0380  5    that woman told you"? She clearly agreed that this
J31 0390  3    had been the case. I realized, now, that she had been
J31 0390 14    showing me, in what impressed me as being a very accurate
J31 0400 11    way, something her mother had once said to her; it
J31 0410  8    was as if she was showing me one of the reasons why
J31 0420  4    she hated that woman inside her. What had been an unmanageably
J31 0430  1    powerful introject was now, despite its continuing
J31 0430  8    charge of energy disconcerting to me, sufficiently
J31 0440  7    within control of her ego that she could use it to
J31 0450  7    show me what this introjected mother was like.
J31 0460  1       Earlier, this woman had been so filled with a chaotic
J31 0460 11    variety of introjects that at times, when she was in
J31 0470 10    her room alone, it would sound to a passerby as though
J31 0480  7    there were several different persons in the room, as
J31 0490  4    she would vocalize in various kinds of voice. A somewhat
J31 0500  1    less fragmented hebephrenic patient of mine, who used
J31 0500  9    to often seclude herself in her room, often sounded
J31 0510  7    through the closed door- as I would find on passing
J31 0520  5    by, between our sessions- for all the world like two
J31 0530  3    persons, a scolding mother and a defensive child.
J31 0530 11       Particularly hard for the therapist to grasp are
J31 0540  8    those instances in which the patient is manifesting
J31 0550  5    an introject traceable to something in the therapist,
J31 0560  2    some aspect of the therapist of which the latter is
J31 0560 12    himself only poorly aware, and the recognition of which,
J31 0570  9    as a part of himself, he finds distinctly unwelcome.
J31 0580  5    I have found, time and again, that some bit of particularly
J31 0590  5    annoying and intractable behavior on the part of a
J31 0600  3    patient rests, in the final analysis, on this basis;
J31 0600 12    and only when I can acknowledge this, to myself, as
J31 0610  9    being indeed an aspect of my personality, does it cease
J31 0620  6    to be a prominently troublesome aspect of the patient's
J31 0630  3    behavior. For example, one hebephrenic man used to
J31 0640  1    annoy me, month after month, by saying, whenever I
J31 0640 10    got up to leave and made my fairly steoreotyped comment
J31 0650  6    that I would be seeing him on the following day, or
J31 0660  4    whenever, "You're welcome", in a notably condescending
J31 0670  1    fashion- as though it were his due for me to thank
J31 0670 11    him for the privilege of spending the hour with him,
J31 0680 10    and he were thus pointing up my failure to utter a
J31 0690  7    humbly grateful, "thank you" to him at the end of each
J31 0700  6    session. Eventually it became clear to me, partly with
J31 0710  2    the aid of another schizophrenic patient who could
J31 0710 10    point out my condescension to me somewhat more directly,
J31 0720  7    that this man, with his condescending, "You're welcome",
J31 0730  3    was very accurately personifying an element of obnoxious
J31 0740  5    condescension which had been present in my own demeanor,
J31 0750  2    over these months, on each of these occasions when
J31 0750 11    I had bid him good-bye with the consoling note, each
J31 0760 10    time, that the healing Christ would be stooping to
J31 0770  6    dispense this succor to the poor suffered again on
J31 0780  3    the morrow.
J31 0780  5       Another patient, a paranoid woman, for many months
J31 0790  2    infuriated not only me but the ward-personnel and her
J31 0790 12    fellow patients by arrogantly behaving as though she
J31 0800  8    owned the whole building, as though she were the only
J31 0810  7    person in it whose needs were to be met. This behavior
J31 0820  3    on her part subsided only after I had come to see the
J31 0830  1    uncomfortably close similarity between, on the one
J31 0830  8    hand, her arranging the ventilation of the common living
J31 0840  7    room to her own liking, or turning the television off
J31 0850  4    or on without regard to the wishes of the others, and
J31 0860  2    on the other hand, my own coming stolidly into her
J31 0860 12    room despite her persistent and vociferous objections,
J31 0870  6    bringing my big easy chair with me, usually shutting
J31 0880  5    the windows of her room which she preferred to keep
J31 0890  3    in a very cold state, and plunking myself down in my
J31 0890 14    chair- in short, behaving as if I owned her room.
J31 0900 12    #4. CONDENSATION:#
J31 0900 14    Here a variety of meanings and emotions are concentrated,
J31 0910  9    or reduced, in their communicative expression, to some
J31 0920  7    comparatively simple-seeming verbal or nonverbal statement.
J31 0930  5       One finds, for example, that a terse and stereotyped
J31 0940  1    verbal expression, seeming at first to be a mere hollow
J31 0950  4    convention, reveals itself over the months of therapy
J31 0960  1    as the vehicle for expressing the most varied and intense
J31 0960 11    feelings, and the most unconventional of meanings.
J31 0970  6    More than anything, it is the therapist's intuitive
J31 0980  3    sensing of these latent meanings in the stereotype
J31 0990  1    which helps these meanings to become revealed, something
J31 0990  9    like a spread-out deck of cards, on sporadic occasions
J31 1000  7    over the passage of the patient's and his months of
J31 1010  6    work together. one cannot assume, of course, that all
J31 1020  3    these accumulated meanings were inherent in the stereotype
J31 1030  1    at the beginning of the therapy, or at any one time
J31 1030 12    later on when the stereotype was uttered; probably
J31 1040  6    it is correct to think of it as a matter of a well-grooved,
J31 1050  7    stereotyped mode of expression- and no, or but a few,
J31 1060  5    other communicational grooves, as yet- being there,
J31 1070  1    available for the patient's use, as newly-emerging
J31 1070  9    emotions and ideas well up in him over the course of
J31 1080 10    months. But it is true that the therapist can sense,
J31 1090  4    when he hears this stereotype, that there are at this
J31 1100  3    moment many emotional determinants at work in it, a
J31 1100 12    blurred babel of indistinct voices which have yet to
J31 1110  8    become clearly delineated from one another.
J31 1120  3       Sometimes it is not a verbal stereotype- a "How
J31 1130  2    are you now"? or an "I want to go home", or whatever-
J31 1140  3    but a nonverbal one which reveals itself, gradually,
J31 1140 11    as the condensed expression of more than one latent
J31 1150  7    meaning. A hebephrenic man used to give a repetitious
J31 1160  5    wave of his hand a number of times during his largely-silent
J31 1170  1    hours with his therapist. When the therapist came to
J31 1170 10    feel on sufficiently sure ground with him to ask him,
J31 1180 10    "What is that, Bill- hello or farewell"?, the patient
J31 1190  6    replied, "Both, Dearie- two in one".
J31 1200  6       Of all the possible forms of nonverbal expression,
J31 1210  1    that which seems best to give release, and communicational
J31 1210 10    expression, to complex and undifferentiated feelings
J31 1220  6    is laughter. It is no coincidence that the hebephrenic
J31 1230  6    patient, the most severely dedifferentiated of all
J31 1240  3    schizophrenic patients, shows, as one of his characteristic
J31 1250  1    symptoms, laughter- laughter which now makes one feel
J31 1250  9    scorned or hated, which now makes one feel like weeping,
J31 1260 10    or which now gives one a glimpse of the bleak and empty
J31 1270  9    expanse of man's despair; and which, more often than
J31 1280  5    all these, conveys a welter of feelings which could
J31 1290  2    in no way be conveyed by any number of words, words
J31 1300  8    which are so unlike this welter in being formed and
J31 1310  8    discrete from one another. To a much less full extent,
J31 1320  6    the hebephrenic person's belching or flatus has a comparable
J31 1330  4    communicative function; in working with these patients
J31 1340  1    the therapist eventually gets to do some at least private
J31 1340 11    mulling over of the possible meaning of a belch, or
J31 1350 10    the passage of flatus, not only because he is reduced
J31 1360  7    to this for lack of anything else to analyze, but also
J31 1370  3    because he learns that even these animal-like sounds
J31 1370 12    constitute forms of communication in which, from time
J31 1380  8    to time, quite different things are being said, long
J31 1390  6    before the patient can become sufficiently aware of
J31 1400  3    these, as distinct feelings and concepts, to say them
J31 1410  1    in words.
J31 1410  3       As I have been intimating, in the schizophrenic-
J31 1420  3    and perhaps also in the dreams of the neurotic; this
J31 1420 13    is a question which I have no wish to take up- condensation
J31 1430 10    is a phenomenon in which one finds not a condensed
J31 1440  6    expression of various feelings and ideas which are,
J31 1450  3    at an unconscious level, well sorted out, but rather
J31 1450 12    a condensed expression of feelings and ideas which,
J31 1460  7    even in the unconscious, have yet to become well differentiated
J31 1470  7    from one another. Freeman, Cameron and McGhie, in their
J31 1480  6    description of the disturbances of thinking found in
J31 1490  3    chronic schizophrenic patients, say, in regard to condensation,
J31 1500  1    that "**h the lack of adequate discrimination between
J31 1500  9    the self and the environment, and the objects contained
J31 1510  9    therein **h in itself is the prototypical condensation".
J31 1520  5       In my experience, a great many of the patient's
J31 1530  6    more puzzling verbal communications are so for the
J31 1540  4    reason that concrete meanings have not become differentiated
J31 1550  1    from figurative meanings in his subjective experience.
J31 1550  8    Thus he may be referring to some concrete thing, or
J31 1560  8    incident, in his immediate environment by some symbolic-sounding,
J31 1570  5    hyperbolic reference to transcendental events on the
J31 1580  4    global scene. Recently, for example, a paranoid woman's
J31 1590  1    large-scale philosophizing, in the session, about the
J31 1590  9    intrusive curiosity which has become, in her opinion,
J31 1600  8    a deplorable characteristic of mid-twentieth-century
J31 1610  5    human culture, developed itself, before the end of
J31 1620  3    the session, into a suspicion that I was surreptitiously
J31 1620 12    peeking at her partially exposed breast, as indeed
J31 1630  8    I was. Or, equally often, a concretistic-seeming,
J31 1640  5    particularistic-seeming
J31 1640  7    statement may consist, with its mundane exterior, in
J31 1650  6    a form of poetry- may be full of meaning and emotion
J31 1660  5    when interpreted as a figurative expression: a metaphor,
J31 1670  3    a smile, an allegory, or some other symbolic mode of
J31 1670 13    speaking.
J31 1680  1       Of such hidden meanings the patient himself is,
J31 1680  9    more often than not, entirely unaware. His subjective
J31 1690  7    experience may be a remarkably concretistic one. One
J31 1700  4    hebephrenic women confided to me, "I live in a world
J31 1710  5    of words", as if, to her, words were fully concrete
J31 1720  1    objects; Burnham, in his excellent article (1955) concerning
J31 1720  9    schizophrenic communication, includes mention of similar
J31 1730  6    clinical material. A borderline schizophrenic young
J31 1740  5    man told me that to him the various theoretical concepts
J31 1750  3    about which he had been expounding, in a most articulate
J31 1760  1    fashion, during session after session with me, were
J31 1760  9    like great cubes of almost tangibly solid matter up
J31 1770  8    in the air above him; as he spoke I was reminded of
J31 1780  6    the great bales of cargo which are swung, high in the
J31 1790  3    air, from a docked steamship.
J32 0010  1       The many linguistic techniques for reducing the
J32 0010  8    amount of dictionary information that have been proposed
J32 0020  6    all organize the dictionary's contents around prefixes,
J32 0030  4    stems, suffixes, etc&. A significant reduction in the
J32 0050  3    voume of store information is thus realized, especially
J32 0060  1    for a highly inflected language such as Russian. For
J32 0060 10    English the reduction in size is less striking. This
J32 0070  7    approach requires that: (1) each text word be separated
J32 0080  6    into smaller elements to establish a correspondence
J32 0090  1    between the occurrence and dictionary entries, and
J32 0090  8    (2) the information retrieved from several entries
J32 0100  5    in the dictionary be synthesized into a description
J32 0110  4    of the particular word. The logical scheme used to
J32 0120  2    accomplish the former influences the placement of information
J32 0120 10    in the dictionary file. Implementation of the latter
J32 0130  8    requires storage of information needed only for synthesis.
J32 0140  6       We suggest the application of certain data-processing
J32 0150  5    techniques as a solution to the problem. But first,
J32 0160  3    we must define two terms so that their meaning will
J32 0160 13    be clearly understood:
J32 0170  3    _1._
J32 0170  4       form- any unique sequence of alphabetic characters
J32 0180  2    that can appear in a language preceded and followed
J32 0190  1    by a space.
J32 0190  4    _2._
J32 0190  5       occurrence- an instance of a form in text.
J32 0200  1       We propose a method for selecting only dictionary
J32 0200  9    information required by the text being translated and
J32 0210  8    a means for passing the information directly to the
J32 0220  4    occurrences in text. We accomplish this by compiling
J32 0230  1    a list of text forms as text is read by the computer.
J32 0230 13    A random-storage scheme, based on the spelling of forms,
J32 0240  8    provides an economical way to compile this text-form
J32 0250  7    list. Dictionary forms found to match forms in the
J32 0260  4    text list are marked. A location in the computer store
J32 0270  1    is also named for each marked form; dictionary information
J32 0270 10    about the form stored at this location can be retrieved
J32 0280  9    directly by occurrences of the form in text. Finally,
J32 0290  7    information is retrieved from the dictionary as required
J32 0300  3    by stages of the translation process- the grammatic
J32 0310  1    description for sentence-structure determination,
J32 0310  6    equivalent-choice
J32 0320  1    information for semantic analysis, and target-language
J32 0320  8    equivalents for output construction.
J32 0330  4       The dictionary is a form dictionary, at least in
J32 0340  4    the sense that complete forms are used as the basis
J32 0340 14    for matching text occurrences with dictionary entries.
J32 0350  6    Also, the dictionary is divided into at least two parts:
J32 0360  8    the list of dictionary forms and the file of information
J32 0370  5    that pertains to these forms. A more detailed description
J32 0380  2    of dictionary operations- text lookup and dictionary
J32 0390  1    modification- give a clearer picture.
J32 0390  5       Text lookup, as we will describe it, consists of
J32 0400  5    three steps. The first is compiling a list of text
J32 0410  3    forms, assigning an information cell to each, and replacing
J32 0410 12    text occurrences with the information cell assigned
J32 0420  7    to the form of each occurrence. For this step the computer
J32 0430  7    memory is separated into three regions: cells in the
J32 0440  5    ~W-region are used for storage of the forms in the
J32 0450  3    text-form list; cells in the ~X-region and ~Y region
J32 0460  1    are reserved as information cells for text forms.
J32 0460  9       When an occurrence **f is isolated during text reading,
J32 0470  7    a random memory address **f, the address of a cell
J32 0480  6    in the ~X-region, is computed from the form of **f.
J32 0490  3    Let **f denote the form of **f. If cell **f has not
J32 0490 15    previously been assigned as the information cell of
J32 0500  8    a form in the text-form list, it is now assigned as
J32 0510  7    the information cell of **f. The form itself is stored
J32 0520  3    in the next available cells of the ~W-region, beginning
J32 0530  1    in cell **f. The address **f and the number of cells
J32 0530 12    required to store the form are written in **f; the
J32 0540  9    information cell **f is saved to represent the text
J32 0550  5    occurrence. Text reading continues with the next occurrence.
J32 0560  2       Let us assume that **f is identical to the form
J32 0570  1    of an occurrence **f which preceded **f in the text.
J32 0570 11    When this situation exists, the address **f will equal
J32 0580  7    **f which was produced from **f. If **f was assigned
J32 0590  5    as the information cell for **f, the routine can detect
J32 0600  2    that **f is identical to **f by comparing **f with
J32 0600 12    the form stored at location **f. The address **f is
J32 0610  9    stored in the cell **f. When, as in this case, the
J32 0620  6    two forms match, the address **f is saved to represent
J32 0630  2    the occurrence **f. Text reading continues with the
J32 0630 10    next occurrence.
J32 0650  1       A third situation is possible. The formula for computing
J32 0660  1    random addresses from the form of each occurrence will
J32 0660 10    not give a distinct address for each distinct form.
J32 0670  7    Thus, when more than one distinct form leads to a particular
J32 0680  6    cell in the ~X-region, a chain of information cells
J32 0690  3    must be created to accommodate the forms, one cell
J32 0700  1    in the chain for each form. If **f leads to an address
J32 0700 13    **f that is equal to the address computed from **f,
J32 0710  7    even though **f does not match **f, the chain of information
J32 0720  5    cells is extended from **f by storing the address of
J32 0730  3    the next available cell in the ~Y-region, **f, in **f.
J32 0731  1    The cell **f becomes the second information cell in
J32 0740  9    the chain and is assigned as the information cell of
J32 0750  6    **f. A third cell can be added by storing the address
J32 0760  3    of another ~Y-cell in **f; similarly, as many cells
J32 0770  1    are added as are required. Each information cell in
J32 0770 10    the chain contains the address of the ~Y-cell where
J32 0780  8    the form to which it is assigned is stored. Each cell
J32 0790  5    except the last in the chain also contains the address
J32 0800  3    of the ~Y-cell that is the next element of the chain;
J32 0810  1    the absence of such a link in the last cell indicates
J32 0810 12    the end of the chain. Hence, when the address **f is
J32 0820  8    computed from **f, the cell **f and all ~Y-cells in
J32 0830  5    its chain must be inspected to determine whether **f
J32 0840  2    is already in the form list or whether it should be
J32 0840 13    added to the form list and the chain. When the information
J32 0850  8    cell for **f has been determined, it is saved as a
J32 0860  6    representation of **f. Text reading continues with
J32 0870  2    the next occurrence.
J32 0870  5       Text reading is terminated when a pre-determined
J32 0880  4    number of forms have been stored in the text-form list.
J32 0890  1    This initiates the second step of glossary lookup-
J32 0890  9    connecting the information cell of forms in the text-form
J32 0900  9    list to dictionary forms. Each form represented by
J32 0910  5    the dictionary is looked up in the text-form list.
J32 0920  2    Each time a dictionary form matches a text form, the
J32 0920 12    information cell of the matching text form is saved.
J32 0930  9    The number of dictionary forms skipped since the last
J32 0940  6    one matched is also saved. These two pieces of information
J32 0950  3    for each dictionary form that is matched by a text
J32 0960  1    form constitute the table of dictionary usage. If each
J32 0960 10    text form is marked when matched with a dictionary
J32 0970  7    form, the text forms not contained in the dictionary
J32 0980  4    can be identified when all dictionary forms have been
J32 0990  2    read. The appropriate action for handling these forms
J32 0990 10    can be taken at that time.
J32 1000  4       Each dictionary form is looked up in the text-form
J32 1010  1    list by the same method used to look up a new text
J32 1010 13    occurrence in the form list during text reading. A
J32 1020  8    random address **f that lies within the ~X-region of
J32 1030  5    memory mentioned earlier is computed from the ~i-th
J32 1040  3    dictionary form. If cell **f is an information cell,
J32 1040 12    it and any information cells in the ~Y-region that
J32 1050  9    have been linked to **f each contain an address in
J32 1060  6    the ~W-region where a potentially matching form is
J32 1070  3    stored. The dictionary form is compared with each of
J32 1070 12    these text forms. When a match is found, an entry is
J32 1080 11    made in the table of dictionary usage. If cell **f
J32 1090  6    is not an information cell we conclude that the ~i-th
J32 1100  5    dictionary form is not in the text list.
J32 1100 13       These two steps essentially complete the lookup
J32 1110  7    operation. The final step merely uses the table of
J32 1120  6    dictionary usage to select the dictionary information
J32 1130  1    that pertains to each form matched in the text-form
J32 1130 11    list, and uses the list of information cells recorded
J32 1140  8    in text order to attach the appropriate information
J32 1150  4    to each occurrence in text. The list of text forms
J32 1160  3    in the ~W-region of memory and the contents of the
J32 1160 14    information cells in the ~X and ~Y-regions are no longer
J32 1170 11    required. Only the assignment of the information cells
J32 1180  7    is important.
J32 1180  9       The first stage of translation after glossary lookup
J32 1190  8    is structural analysis of the input text. The grammatical
J32 1200  7    description of each occurrence in the text must be
J32 1210  5    retrieved from the dictionary to permit such an analysis.
J32 1220  1    A description of this process will serve to illustrate
J32 1220 10    how any type of information can be retrieved from the
J32 1230  9    dictionary and attached to each text occurrence.
J32 1240  5       The grammatic descriptions of all forms in the dictionary
J32 1250  4    are recorded in a separate part of the dictionary file.
J32 1260  2    The order is identical to the ordering of the forms
J32 1260 12    they describe. When entries are being retrieved from
J32 1270  7    this file, the table of dictionary usage indicates
J32 1280  3    which entries to skip and which entries to store in
J32 1290  2    the computer. This selection-rejection process takes
J32 1290  9    place as the file is read. Each entry that is selected
J32 1300  9    for storage is written into the next available cells
J32 1310  5    of the ~W-region. The address of the first cell and
J32 1320  4    the number of cells used is written in the information
J32 1330  1    cell for the form. (The address of the information
J32 1330 10    cell is also supplied by the table of dictionary usage.)
J32 1340  7    When the complete file has been read, the grammatic
J32 1350  4    descriptions for all text forms found in the dictionary
J32 1360  1    have been stored in the ~W-region; the information
J32 1360 10    cell assigned to each text form contains the address
J32 1370  8    of the grammatic description of the form it represents.
J32 1380  6    Hence, the description of each text occurrence can
J32 1390  3    be retrieved by reading the list of text-ordered information-cell
J32 1400  1    addresses and outputting the description indicated
J32 1400  7    by the information cell for each occurrence.
J32 1410  5       The only requirements on dictionary information
J32 1420  3    made by the text-lookup operation are that each form
J32 1430  2    represented by the dictionary be available for lookup
J32 1430 10    in the text-form list and that information for each
J32 1440  7    form be available in a sequence identical with the
J32 1450  4    sequence of the forms. This leaves the ordering of
J32 1460  2    entries variable. (Here an entry is a form plus the
J32 1460 12    information that pertains to it.)
J32 1470  5       Two very useful ways for modifying a form-dictionary
J32 1480  1    are the addition to the dictionary of complete paradigms
J32 1490  1    rather than single forms and the application of a single
J32 1490 11    change to more than one dictionary form. The former
J32 1500  7    is intended to decrease the amount of work necessary
J32 1510  4    to extend dictionary coverage. The latter is useful
J32 1520  1    for modifying information about some or all forms of
J32 1520 10    a word, hence reducing the work required to improve
J32 1530  7    dictionary contents. Applying the techniques developed
J32 1540  4    at Harvard for generating a paradigm from a representative
J32 1550  3    form and its classification, we can add all forms of
J32 1560  1    a word to the dictionary at once. An extension of the
J32 1560 12    principle would permit entering a grammatic description
J32 1570  6    of each form. Equivalents could be assigned to the
J32 1580  5    paradigm either at the time it is added to the dictionary
J32 1590  2    or after the word has been studied in context. Thus,
J32 1590 12    one can think of a dictionary entry as a word rather
J32 1600 10    than a form.
J32 1600 13       If all forms of a paradigm are grouped together
J32 1610  9    within the dictionary, a considerable reduction in
J32 1620  5    the amount of information required is possible. For
J32 1630  2    example, the inflected forms of a word can be represented,
J32 1640  1    insofar as regular inflection allows, by a stem and
J32 1640 10    a set of endings to be attached. (Indeed, the set of
J32 1650  7    endings can be replaced by the name of a set of endings.)
J32 1660  6    The full forms can be derived from such information
J32 1670  1    just prior to the lookup of the form in the text-form
J32 1670 13    list. Similarly, if the equivalents for the forms of
J32 1680  9    a word do not vary, the equivalents need be entered
J32 1690  5    only once with an indication that they apply to each
J32 1700  3    form. The dictionary system is in no way dependent
J32 1700 12    upon such summarization or designed around it. When
J32 1710  8    irregularity and variation prevent summarizing, information
J32 1720  4    is written in complete detail. Entries are summarized
J32 1730  3    only when by doing so the amount of information retained
J32 1740  2    in the dictionary is reduced and the time required
J32 1740 11    for dictionary operations is decreased.
J33 0010  1    In sentences, patterns of stress are determined by
J33 0010  9    complex combinations of influences that can only be
J33 0020  7    suggested here. The tendency is toward putting dominant
J33 0030  3    stress at the end. There is a parallel to this tendency
J33 0040  1    in the assignment of time in long-known hymn tunes.
J33 0040 11    Thus the first lines of one of Charles Wesley's hymns
J33 0050  9    are as follows. "A charge to keep I have, A God to
J33 0060 10    glorify". In the tune to which this hymn is most often
J33 0070  9    sung, "Boylston", the syllables have and fy, ending
J33 0080  5    their lines, have twice the time any other syllables
J33 0090  3    have. Dominant stress is of course more than extended
J33 0100  1    duration, and normally centers on syllables that would
J33 0100  9    have primary stress or phrase stress if the words or
J33 0110  8    longer units they are parts of were spoken alone: a
J33 0120  5    dominant stress given to glorify would normally center
J33 0130  2    on its first syllable rather than its last. But the
J33 0130 12    parallel is significant. When the answer to what's
J33 0140  8    wrong now? is Bill's broken a chair, dominant stress
J33 0150  6    will usually be on the complement a chair. From the
J33 0160  5    point of view of syntactic analysis the head word in
J33 0170  4    the statement is the predicator has broken, and from
J33 0180  1    the point of view of meaning it would seem that the
J33 0180 12    trouble centers in the breaking; but dominant stress
J33 0190  7    will be assigned to broken only in rather exceptional
J33 0200  5    versions of the sentence. In I know one thing dominant
J33 0210  3    stress will usually be on the complement one thing;
J33 0220  1    in one thing I know it will usually be on the predicator
J33 0220 13    know. In small-town people are very friendly dominant
J33 0230  9    stress will generally be on the complement very friendly;
J33 0240  8    in the double sentence the smaller the town, the friendlier
J33 0250  7    the people it will generally be on the subjects the
J33 0260  6    town and the people. In what's a linguist? dominant
J33 0270  4    stress will generally be on the subject a linguist;
J33 0280  3    in who's a linguist? it will generally be on the complement
J33 0290  3    a linguist. Dominant stress is on her luggage both
J33 0300  2    in that's her luggage, where her luggage is the complement,
J33 0310  1    and in there's her luggage, where it is the subject.
J33 0310 11    Adverbial second complements, however, are likely not
J33 0320  7    to have dominant stress when they terminate sentences.
J33 0330  5    If the answer to what was that noise? is George put
J33 0340  4    the cat out, dominant stress will ordinarily be on
J33 0350  3    the first complement, the cat, not the second complement
J33 0360  1    out. Final adjuncts may or may not have dominant stress.
J33 0360 11    If the answer to what was that noise? is George reads
J33 0370 10    the news emotionally, dominant stress may or may not
J33 0380  7    be on the adjunct emotionally. When prepositional complements
J33 0390  4    are divided as in what are you looking for? they are
J33 0400  5    likely to lose dominant stress.
J33 0400 10       Context is of extreme importance. What is new in
J33 0410  9    the context is likely to be made more prominent than
J33 0420  7    what is not. Thus in a context in which there has been
J33 0430  4    discussion of snow but mention of local conditions
J33 0430 12    is new, dominant stress will probably be on here in
J33 0440 10    it rarely snows here, but in a context in which there
J33 0450  9    has been discussion of local weather but no mention
J33 0460  5    of snow, dominant stress will probably be on snows.
J33 0470  1    The personal pronouns and substitute one are normally
J33 0470  9    unstressed because they refer to what is prominent
J33 0480  8    in the immediate context. In I'll go with George dominant
J33 0490  7    stress is probably on George; but if George has just
J33 0500  6    been mentioned prominently (and the trip to be made
J33 0510  6    has been under discussion), what is said is probably
J33 0520  1    I'll go with him, and dominant stress is probably on
J33 0520 11    the preposition with. When a gesture accompanies who's
J33 0530  7    he? the personal pronoun has dominant stress because
J33 0540  6    "he" has not been mentioned previously. If both George
J33 0550  5    and a piece of information George does not have are
J33 0560  5    prominent in the context, but the idea of telling George
J33 0570  1    is new, then dominant stress will probably be on tell
J33 0570 11    in why not tell George? But when what is new in a particular
J33 0580 12    context is also fairly obvious, there is normally only
J33 0590  9    light stress or no stress at all. Thus the unstressed
J33 0600  6    it of it rarely snows here gets its significance from
J33 0610  4    its use with snows: nothing can snow snow but "it".
J33 0620  3    In there aren't many young people in the neighborhood
J33 0630  1    the modifier young takes dominant stress away from
J33 0630  9    its head people: the fact that the young creatures
J33 0640  8    of interest are people seems rather obvious. If women
J33 0650  6    replaced people, it would normally have dominant stress.
J33 0660  4    In I have things to do the word things makes little
J33 0670  3    real contribution to meaning and has weaker stress
J33 0680  1    than do. If work is substituted for things (with more
J33 0690  1    exact contribution to meaning), it will have dominant
J33 0690  9    stress. In I know one thing dominant stress is likely
J33 0700  8    to go to one rather than to semantically pale thing.
J33 0710  5    In I knew you when you were a child, and you were pretty
J33 0720  5    then dominant stress on then implies that the young
J33 0730  3    woman spoken to is still pretty. Dominant stress on
J33 0730 12    pretty would be almost insulting here. In the written
J33 0740  9    language then can be underlined or italicized to guide
J33 0750  8    the reader here, but much of the time the written language
J33 0760  7    simply depends on the reader's alertness, and a careless
J33 0770  4    reader will have to back up and reread.
J33 0780  1       Often dominant stress simply indicates a centering
J33 0780  8    of attention or emotion. Thus in it's incredible what
J33 0790  6    that boy can eat dominant stress is likely to be on
J33 0800  6    incredible, and eat will have strong stress also. In
J33 0810  4    she has it in for George dominant stress will ordinarily
J33 0820  1    be on in, where the notion of stored-up antipathy seems
J33 0820 12    to center. In we're painting at our garage strong stress
J33 0830 10    on at indicates that the job being done is not real
J33 0840 10    painting but simply an effort at painting. Where there
J33 0850  6    is comparison or contrast dominant stresses normally
J33 0860  3    operate to center attention. Thus in his friends are
J33 0870  2    stranger than his sisters' strong stresses are normal
J33 0870 10    for his and sisters', but in his friends are stranger
J33 0880  9    than his sisters strong stresses are normal for friends
J33 0890  7    and sisters. In he's hurting himself more than he's
J33 0900  7    hurting you both himself and you have stronger stress
J33 0910  6    than they would ordinarily have if there were no contrast.
J33 0920  5    In is she Chinese or Japanese? the desire to contrast
J33 0930  4    the first parts of words which are alike in their last
J33 0940  1    components produces an exceptional disregard of the
J33 0940  8    normal patterns of stress of Chinese and Japanese.
J33 0950  7    Sometimes strong stress serves to focus an important
J33 0960  6    secondary relationship. Thus in Mary wrote an account
J33 0970  4    of the trip first strong stress on Mary marks Mary
J33 0980  2    as the first in a series of people who wrote accounts
J33 0980 13    of the trip, strong stress on wrote marks the writing
J33 0990  8    as the first of a series of actions of Mary's concerned
J33 1000  6    with an account of her trip (about which she may later
J33 1010  5    have made speeches, for example), and strong stress
J33 1020  1    on trip makes the trip the first of a series of subjects
J33 1020 13    about which Mary wrote accounts. In hunger stimulates
J33 1030  8    man too the situation is very similar. Strong stress
J33 1040  6    on hunger treats hunger as an additional stimulus,
J33 1050  4    strong stress on stimulates treats stimulation as an
J33 1060  3    additional effect of hunger, strong stress on man treats
J33 1070  1    man as an additional creature who responds to the stimulation
J33 1070 11    of hunger. Here again, in the written language it is
J33 1080  9    possible to help the reader get his stresses right
J33 1090  6    by using underlining or italics, but much of the time
J33 1100  4    there is simply reliance on his understanding in the
J33 1100 13    light of context.
J33 1110  3       When a word represents a larger construction of
J33 1120  1    which it is the only expressed part, it normally has
J33 1120 11    more stress than it would have in fully expressed construction.
J33 1130  8    Thus when yes, I have is the response to have you finished
J33 1140  9    reading the paper? the stress on have, which here represents
J33 1150  8    have finished reading the paper, is quite strong. In
J33 1160  7    Mack's the leader at camp, but Jack is here the is
J33 1170  6    of the second main declarative represents is the leader
J33 1180  4    and therefore has stress. Mack's the leader at camp,
J33 1190  2    but Jack's here, with this is deprived of stress, makes
J33 1200  1    here the complement in the clause. In of all the suggestions
J33 1200 12    that were made, his was the silliest the possessive
J33 1210  9    his represents his suggestion and is stressed. When
J33 1220  7    go represents itself and a complement (being equivalent,
J33 1230  5    say, to go to Martinique) in which boat did Jack go
J33 1240  5    on? it has strong stress; when it represents only itself
J33 1250  3    and on which is its complement (so that go on is semantically
J33 1260  3    equivalent to board), on has stronger stress than go
J33 1270  3    does. Omission of a subordinator pronoun, however,
J33 1270 10    does not result in an increase in stress on a prepositional
J33 1280 11    adverb for which the subordinator pronoun would be
J33 1290  6    object. Thus to has light stress both in that was the
J33 1300  6    conclusion that I came to and in that was the conclusion
J33 1310  4    I came to. But when to represents to consciousness
J33 1320  1    in that was the moment that I came to, and similarly
J33 1340  1    in that was the moment I came to, there is much stronger
J33 1340 13    stress on to. In I wanted to tell him, but I was afraid
J33 1350 13    to the final to is lightly stressed because it represents
J33 1360  8    to tell him. In to tell him, of course, to is normally
J33 1370  9    unstressed. When I have instructions to leave is equivalent
J33 1371  7    in meaning to I have instructions that I am to leave
J33 1380  8    this place, dominant stress is ordinarily on leave.
J33 1390  5    When the same sequence is equivalent in meaning to
J33 1400  3    I have instructions which I am to leave, dominant stress
J33 1410  1    is ordinarily on instructions.
J33 1410  5       It is clear that patterns of stress sometimes show
J33 1420  2    construction unambiguously in the spoken language where
J33 1430  1    without the help of context it would be ambiguous in
J33 1430 11    the written. Other examples follow. "I'll come by Tuesday.
J33 1440  8    I can't be happy long without drinking water". In the
J33 1450 10    first of these sentences if by is the complement of
J33 1460  8    come and Tuesday is an adjunct of time equivalent to
J33 1470  7    on Tuesday, there will be strong stress on by in the
J33 1480  6    spoken language; but if a complement for come is implied
J33 1490  4    and by Tuesday is a prepositional unit used as an adjunct,
J33 1500  3    by will be unstressed or lightly stressed at most.
J33 1500 12    In the second sentence if drinking water is a gerundial
J33 1510 10    clause and without drinking water is roughly equivalent
J33 1520  7    in meaning to unless I drink water, there will be stronger
J33 1530  8    stress on water than on drinking; but if drinking is
J33 1540  6    a gerundial noun modifying water and without drinking
J33 1550  4    water is equivalent to without water for drinking,
J33 1560  3    there will be stronger stress on drinking than on water.
J33 1570  2    But the use of stress in comparison and contrast, for
J33 1570 12    example, can undermine distinctions such as these.
J33 1580  7    And patterns of stress are not always unambiguous by
J33 1590  6    any means. In the Steiners have busy lives without
J33 1600  3    visiting relatives only context can indicate whether
J33 1600 10    visiting relatives is equivalent in meaning to paying
J33 1610  8    visits to relatives or to relatives who are visiting
J33 1620  7    them, and in I looked up the number and I looked up
J33 1630  8    the chimney only the meanings of number and chimney
J33 1640  5    make it clear that up is syntactically a second complement
J33 1650  4    in the first sentence and a preposition followed by
J33 1660  2    its object in the second.
J33 1660  7    #SYLLABIFICATION.#
J33 1660  8    - Syllables are linguistic units centering in peaks
J33 1670  6    which are usually vocalic but, as has been noted, are
J33 1680  5    consonantal under certain circumstances, and which
J33 1690  1    may or may not be combined with preceding and/or following
J33 1690 11    consonants or combinations of consonants. Syllables
J33 1700  6    are genuine units, but division of words and sentences
J33 1710  5    into them presents great difficulties. Sometimes even
J33 1720  2    the number of syllables is not clear. Doubt on this
J33 1720 12    point is strongest before /l/ and /@/ or /r/. From
J33 1730 10    the point of view of word formation real might be expected
J33 1740  7    to have two syllables. Historically ~re is the formative
J33 1750  5    that is employed also in republic, and ~al is the common
J33 1760  6    suffix. When ~ity is added, real clearly has two syllables.
J33 1770  6    But there is every reason to regard deal as a monosyllable,
J33 1780  5    and because of the fact that /l/ commonly has the quality
J33 1790  4    of /@/ when it follows vowel sounds, deal seems to
J33 1800  2    be a perfectly satisfactory rhyme with real.
J34 0010  1       It is obvious enough that linguists in general have
J34 0010 10    been less successful in coping with tone systems than
J34 0020  8    with consonants or vowels. No single explanation is
J34 0030  5    adequate to account for this. Improvement, however,
J34 0040  2    is urgent, and at least three things will be needed.
J34 0050  1       The first is a wide-ranging sample of successful
J34 0050 10    tonal analyses. Even beginning students in linguistics
J34 0060  5    are made familiar with an appreciable variety of consonant
J34 0070  4    systems, both in their general outlines and in many
J34 0080  2    specific details. An advanced student has read a considerable
J34 0090  1    number of descriptions of consonantal systems, including
J34 0090  8    some of the more unusual types. By contrast, even experienced
J34 0100  7    linguists commonly know no more of the range of possibilities
J34 0110  8    in tone systems than the over-simple distinction between
J34 0120  3    register and contour languages. This limited familiarity
J34 0130  2    with the possible phenomena has severely hampered work
J34 0140  1    with tone. Tone analysis will continue to be difficult
J34 0140 10    and unsatisfactory until a more representative selection
J34 0150  6    of systems is familar to every practicing field linguist.
J34 0160  5    Papers like these four, if widely read, will contribute
J34 0170  3    importantly to improvement of our analytic work.
J34 0180  1       The second need is better field techniques. The
J34 0180  9    great majority of present-day linguists fall into one
J34 0190  8    or more of a number of overlapping types: those who
J34 0210  4    are convinced that tone cannot be analysed, those who
J34 0220  1    are personally scared of tone and tone languages generally,
J34 0220 10    those who are convinced that tone is merely an unnecessary
J34 0230  9    marginal feature in those languages where it occurs,
J34 0240  6    those who have no idea how to proceed with tone analysis,
J34 0250  4    those who take a simplistic view of the whole matter.
J34 0260  2    The result has been neglect, fumbling efforts, or superficial
J34 0270  1    treatment. As these maladies overlap, so must the cure.
J34 0270 10    Analyses such as these four will simultaneously combat
J34 0280  7    the assumptions that tone is impossible and that it
J34 0290  6    is simple. They will give suggestions that can be worked
J34 0300  4    up into field procedures. Good field techniques will
J34 0300 12    not only equip linguists for better work, but also
J34 0310  9    help them overcome negative attitudes. Actually, none
J34 0320  4    of these papers says much directly about field techniques.
J34 0330  3    But it is worth pondering that very little has been
J34 0340  2    published on any phase of field techniques in linguistics.
J34 0340 11    These things have been disseminated by other means,
J34 0350  8    but always in the wake of extensive publication of
J34 0360  5    analytic results.
J34 0360  7       The third need is for better theory. We should expect
J34 0370  8    that general phonologic theory should be as adequate
J34 0380  5    for tone as for consonants and vowels, but it has not
J34 0390  2    been. This can only be for one of two reasons: either
J34 0390 13    the two are quite different and will require totally
J34 0400  8    different theory (and hence techniques), or our existing
J34 0410  5    theories are insufficiently general. If, as I suspect,
J34 0420  5    the problem is largely of the second sort, then development
J34 0430  1    of a theory better able to handle tone will result
J34 0430 11    automatically in better theory for all phonologic subsystems.
J34 0440  8       One issue that must be faced is the relative difficulty
J34 0450  9    of analysis of different phonologic subsystems. Since
J34 0460  4    tone systems typically comprise fewer units than either
J34 0470  4    consonant or vowel systems, we might expect that they
J34 0480  1    would be the easiest part of a phonologic analysis.
J34 0480 10    Actual practice does not often work out this way. Tone
J34 0490  9    systems are certainly more complex than the number
J34 0500  4    of units would suggest, and often analytically more
J34 0510  2    difficult than much larger consonantal systems.
J34 0510  8       Welmers has suggested one explanation. Tone languages
J34 0520  6    use for linguistic contrasts speech parameters which
J34 0530  4    also function heavily in nonlinguistic use. This may
J34 0540  3    both divert the attention of the uninitiate and cause
J34 0540 12    confusion for the more knowledgeable. The problem is
J34 0550  8    to disentangle the linguistic features of pitch from
J34 0560  6    the co-occurring nonlinguistic features. Of course,
J34 0570  3    something of the same sort occurs with other sectors
J34 0570 12    of the phonology: consonantal articulations have both
J34 0580  7    a linguistic and an individual component. But in general
J34 0590  7    the individual variation is a small thing added onto
J34 0600  6    basic linguistic features of greater magnitude. With
J34 0610  2    tone, individual differences may be greater than the
J34 0610 10    linguistic contrasts which are superimposed on them.
J34 0620  7    Pitch differences from one speaker to another, or from
J34 0630  7    one emotional state to another, may far exceed the
J34 0640  3    small differences between tones. However, any such
J34 0640 10    suggestion accounts for only some of the difficulties
J34 0650  8    in hearing tone, or in developing a realistic attitude
J34 0660  5    about tone, but not for the analytic difficulties that
J34 0670  3    occur even when tone is meticulously recorded.
J34 0680  1       A second explanation is suggested by the material
J34 0680  9    described in Rowlands' paper. Tone and intonation often
J34 0690  6    become seriously intermeshed. Neither can be adequately
J34 0700  5    systematized until we are able to separate the two
J34 0710  3    and assign the observed phenomena individually to one
J34 0710 11    or the other. Other pairs of phonologic subsystems
J34 0720  7    also interact or overlap in this way; for example,
J34 0730  6    duration sometimes figures in both the vowel system
J34 0740  3    and the intonation. Some phonetic features, for example
J34 0750  1    glottal catch or murmur, are sometimes to be assigned
J34 0750 10    to segmental phonemics and sometimes to accentual systems.
J34 0760  6    But no other two phonologic systems are as difficult
J34 0770  5    to disentangle as are tone and intonation in some languages.
J34 0780  3    This explanation of tone difficulties, however, does
J34 0790  1    not apply in all languages. In some (the Ewe type mentioned
J34 0790 12    above) interaction of tone and intonation is restricted
J34 0800  8    to the ends of intonation spans. In many of the syllables,
J34 0810  7    intonation can be safely ignored, and much of the tonal
J34 0820  6    analysis can be done without any study of intonation.
J34 0830  1    Still, even in such languages tone analysis has not
J34 0830 10    been as simple as one might expect.
J34 0840  6       A third explanation is suggested by Richardson's
J34 0850  3    analysis of Sukuma tone. There we see a basically simple
J34 0860  2    phonemic system enmeshed in a very complex and puzzling
J34 0860 11    morphophonemic system. While the phonemes can be very
J34 0870  8    easily stated, no one is likely to be satisfied with
J34 0880  7    the statement until phonemic occurrences can be related
J34 0890  4    in some way to morphemic units, i&e& until the morphophonemics
J34 0900  1    is worked out, or at least far enough that it seems
J34 0900 12    reasonable to expect success.
J34 0910  4       In the "typical tone language", tonal morphophonemics
J34 0920  3    is of the same order of complexity as consonantal
J34 0930  1    morphophonemics.
J34 0930  2    The phonemic systems which must support these morphophonemic
J34 0940  1    systems, however, are very different. The inventory
J34 0940  8    of tones is much smaller, and commonly the contrasts
J34 0950  8    range along one single dimension, pitch level. Consonantal
J34 0960  5    systems are not merely larger, they are multidimensional.
J34 0970  3    Morphophonemic rules may be thought of as joining certain
J34 0980  2    points in the system. The possibilities in the consonantal
J34 0990  1    system are very numerous, and only a small portion
J34 0990 10    of them are actually used. Phonemes connected by a
J34 1000  6    morphophonemic rule commonly show a good bit of phonetic
J34 1010  6    similarity, possible because of the several dimensions
J34 1020  1    of contrast in the system. Tonal morphophonemics, in
J34 1020  9    a common case, can do nothing but either raise or lower
J34 1030 10    the tone. The possibilities are few, and the total
J34 1040  6    number of rules may be considerably greater. Often,
J34 1050  2    therefore, there are a number of rules having the same
J34 1060  1    effect, and commonly other sets of rules as well, having
J34 1060 11    the opposite effect. Tonal morphophonemics is much
J34 1070  6    more confusing to the beginning analyst than consonantal
J34 1080  4    morphophonemics, even when the total number of rules
J34 1090  3    is no greater.
J34 1090  6       The difficulty of analysis of any subsystem in the
J34 1100  3    phonology is an inverse function of the size- smaller
J34 1100 12    systems are more troublesome- for any given degree
J34 1110  8    of morphophonemic complexity. This hypothesis will
J34 1120  5    account for a large part of the difficulties of tonal
J34 1130  3    analysis, as well as the fact that vowel systems are
J34 1140  1    often more puzzling than consonantal systems. The statement
J34 1140  9    of the system is a different matter. Smaller systems
J34 1150  7    can of course be stated much more succinctly. A phonemic
J34 1160  6    system can be stated without reference to morphophonemics,
J34 1170  3    but it cannot always be found without morphophonemics.
J34 1180  1    And the more complex the morphophonemic system is in
J34 1180 10    relation to the phonemic base, the less easily a phonemic
J34 1190 10    system will be analysed without close attention to
J34 1200  5    the morphophonemics- at least, the less satisfying
J34 1210  2    will a phonemic statement be if it cannot be related
J34 1210 12    through morphophonemic rules to grammatically meaningful
J34 1220  6    structures.
J34 1230  1       The design of orthographies has received much less
J34 1230  9    attention from linguists than the problem deserves.
J34 1240  6    There has been a tendency on the part of many American
J34 1250  5    linguists to assume that a phonemic transcription will
J34 1260  2    automatically be the best possible orthography and
J34 1260  9    that the only real problem will then be the social
J34 1270  8    one of securing acceptance. This seems naive. Most
J34 1280  4    others have been content to give only the most general
J34 1290  2    attention to the broadest and most obvious features
J34 1290 10    of the phonology when designing orthographies. Apparently
J34 1300  5    the feeling is that anything more would be involvement
J34 1310  6    in technical abstrusenesses of possible pedantic interest
J34 1320  3    but of no visible significance in practical affairs.
J34 1330  1    The result of this attitude has been the domination
J34 1330 10    of many orthography conferences by such considerations
J34 1340  5    as typographic 'esthetics', which usually turns out
J34 1350  5    to be nothing more than certain prejudices carried
J34 1360  2    over from European languages. Many of the suggested
J34 1360 10    systems seem to have only the most tenuous relationship
J34 1370  9    to the language structures that they purport to represent.
J34 1380  6    Linguists have not always been more enlightened than
J34 1390  4    "practical people" and sometimes have insisted on incredibly
J34 1400  3    trivial points while neglecting things of much greater
J34 1410  1    significance. As a result, many people have been confirmed
J34 1410 10    in their conviction that orthography design is not
J34 1420  7    an activity to which experts can contribute anything
J34 1430  4    but confusion.
J34 1430  6       A& E& Sharp, in Vowel-Length and Syllabicity in
J34 1440  7    Kikuyu, examines one set of related orthographic questions
J34 1450  3    and its phonologic background in detail. His objective
J34 1460  2    is merely to determine "what distinctions of length
J34 1460 10    and syllabicity it may be desirable to make explicit
J34 1470  9    in a Kikuyu orthography" (59). To do so, he finds it
J34 1480  8    necessary to examine the relevant parts of the phonology
J34 1490  5    thoroughly and in detail. In the process, he develops
J34 1500  2    some very significant observations about problems of
J34 1500  9    a sort that are often difficult. A few of his examples
J34 1510 10    are of very great interest, and the whole discussion
J34 1520  5    of some importance for theory. His orthographic recommendations
J34 1530  2    are no simplistic acceptance of phonemics on the one
J34 1540  3    hand or of superficiality on the other. Rather he weighs
J34 1540 13    each phonologic fact in the light of its orthographic
J34 1550  9    usefulness. He concludes that some changes can made
J34 1560  6    in the current orthography which will appreciably improve
J34 1570  3    its usefulness, but hesitates to suggest precise graphic
J34 1580  2    devices to effect these changes. I hope his suggestions
J34 1580 11    are given the consideration they deserve in Kikuyu
J34 1590  8    circles. This, however, will not exhaust their practical
J34 1600  6    usefulness, as they rather clearly indicate what thorough
J34 1610  4    phonologic investigation can contribute to orthography
J34 1620  1    design. We need many more studies of this sort if the
J34 1620 12    design of written languages is to be put on a sound
J34 1630 11    basis.
J34 1630 12       One other paper deals with a phonologic problem:
J34 1640  7    Vowel Harmony in Igbo, by J& Carnochan. This restates
J34 1650  5    the already widely known facts in terms of prosodies.
J34 1660  3    As a restatement it makes only a small contribution
J34 1670  1    to knowledge of Igbo. But it would seem more intended
J34 1670 11    as a tract advocating the prosodic theory than a paper
J34 1680  7    directed to the specific problems of Igbo phonology.
J34 1690  4    The paper has a certain value as a comparatively easy
J34 1700  2    introduction to this approach, particularly since it
J34 1700  9    treats a fairly simple and straightforward phenomenon
J34 1710  7    where it is possible to compare it with a more traditional
J34 1720  8    (though not structural) statement. It does show one
J34 1730  5    feature of the system that has not been previously
J34 1740  1    described. But it does not, as it claims, demonstrate
J34 1740 10    that this could not be treated by traditional methods.
J34 1750  7    It seems to me that it rather easily can.
J34 1760  3       Five of the papers deal with grammatical problems.
J34 1770  1    On the whole they maintain much the same high standard,
J34 1770 11    but they are much more difficult to discuss in detail
J34 1780  9    because of their wider variety of subject matter. My
J34 1790  6    comments must be briefer than the papers deserve.
J34 1800  2       W& H& Whiteley writes on The Verbal Radical in Iraqw.
J34 1810  3    This must be considered primarily an amendment and
J34 1810 11    supplement to his early A short Description of Item-Categories
J34 1820 10    in Iraqw. It exhibits much the same descriptive technique
J34 1830  8    and is open to much the same criticisms. The treatment
J34 1840  6    seems unnecessarily loose-jointed and complex, largely
J34 1850  4    because the method is lax and the analysis seems never
J34 1860  2    to be pushed to a satisfactory or even a consistent
J34 1860 12    stopping-point.
J35 0010  1    There are more stems per item in Athabascan, which
J35 0010 10    expresses the fact that the Athabascan languages have
J35 0020  6    undergone somewhat more change in diverging from proto-Athabascan
J35 0030  5    than the Yokuts languages from proto-Yokuts. This may
J35 0040  3    be because the Athabascan divergence began earlier;
J35 0050  1    or again because the Athabascan languages spread over
J35 0050  9    a very much larger territory (including three wholly
J35 0060  6    separated areas); or both. The differentiation however
J35 0070  4    is not very much greater, as shown by the fact that
J35 0080  4    Athabascan shows 3.46 stems per meaning slot as against
J35 0090  1    2.75 for Yokuts, with a slightly greater number of
J35 0090 10    languages represented in our sample: 24 as against
J35 0100  7    21. (On deduction of one-eighth from 3.46, the stem/item
J35 0110  4    rate becomes 3.03 against 2.75 in equivalent number
J35 0120  1    of languages.) These general facts are mentioned to
J35 0120  9    make clear that the total situation in the two families
J35 0130  9    is similar enough to warrant comparison.
J35 0140  2       The greatest difference in the two sets of figures
J35 0150  1    is due to differences in the two sets of lists used.
J35 0150 12    These differences in turn result from the fact that
J35 0160  8    my Yokuts vocabularies were built up of terms selected
J35 0170  6    mainly to insure unambiguity of English meaning between
J35 0180  2    illiterate informants and myself, within a compact
J35 0180  9    and uniform territorial area, but that Hoijer's vocabulary
J35 0190  7    is based on Swadesh's second glottochronological list
J35 0200  4    which aims at eliminating all items which might be
J35 0210  6    culturally or geographically determined. Swadesh in
J35 0220  2    short was trying to develop a basic list that was universal;
J35 0230  1    I, one that was specifically adapted to the San Joaquin
J35 0230 11    Valley. The result is that I included 70 animal names,
J35 0240  9    but Swadesh only 4; and somewhat similarly for plants,
J35 0250  6    16 as against 4. Swadesh, and therefore Hoijer, felt
J35 0260  3    compelled to omit all terms denoting species or even
J35 0270  1    genera (fox, vulture, salmon, yellow pine, manzanita);
J35 0270  8    their classes of animal and plant terms are restricted
J35 0280  9    to generalizations or recurrent parts (fish, bird,
J35 0290  5    tree, grass, horn, tail, bark, root). The groups are
J35 0300  4    therefore really non-comparable in content as well
J35 0300 12    as in size.
J35 0310  3       Other classes are included only by myself (interrogatives,
J35 0320  1    adverbs) or only by Swadesh and Hoijer (pronouns,
J35 0320  9    demonstratives).
J35 0330  1       What we have left as reasonably comparable are four
J35 0330 10    classes: (1) body parts and products, which with a
J35 0340  9    proportionally nearly even representation (51 terms
J35 0350  5    out of 253, 25 out of 100) come out with nearly even
J35 0360  3    ratios; 2.6 and 2.7; (2) Nature (29 terms against 17),
J35 0370  2    ratios 3.3 versus 4.1; (3) adjectives (16, 15 terms),
J35 0370 11    ratios 3.9 versus 4.7; (4) verbs (9, 22 terms), ratios
J35 0380  9    4.0 versus 3.4.
J35 0390  1       It will be seen that where the scope is similar,
J35 0390 10    the Athabascan ratios come out somewhat higher (as
J35 0400  6    indeed they ought to with a total ratio of 2.8 as against
J35 0410  5    3.5 or 4:5) except for verbs, where alone the Athabascan
J35 0420  1    ratio is lower. This exception may be connected with
J35 0420 10    Hoijer's use of a much higher percentage of verbs:
J35 0430  9    22% of his total list as against 3.5% in mine. Or the
J35 0440  9    exception may be due to a particular durability peculiar
J35 0450  3    to the Athabascan verb. More word class ratios determined
J35 0460  2    in more languages will no doubt ultimately answer the
J35 0470  1    question.
J35 0470  2    #5.#
J35 0470  3    If word classes differ in their resistance or liability
J35 0480  1    to stem replacement within meaning slot, it is conceivable
J35 0480 10    that individual meanings also differ with fair consistence
J35 0490  8    trans-lingually. Hoijer's Athabascan and my Yokuts
J35 0500  6    share 71 identical meanings (with allowance for several
J35 0510  4    near-synonyms like stomach-belly, big-large, long-far,
J35 0520  3    many-much, die-dead, say-speak). For Yokuts, I tabulated
J35 0530  3    these 71 items in five columns, according as they were
J35 0530 13    expressed by 1, 2, 3, 4, and more than 4 stems. The
J35 0540 12    totals for these five categories are not too uneven,
J35 0550  7    namely 20, 15, 11, 16, 9 respectively. For Athabascan,
J35 0560  3    with a greater range of stems, the first two of five
J35 0570  3    corresponding columns were identical, 1 and 2 stems;
J35 0570 11    the three others had to be spread somewhat, and are
J35 0580  9    headed respectively **f; **f; and **f stems. While
J35 0590  6    the particular limits of these groupings may seem artificially
J35 0600  3    arbitrary; they do fairly express a corresponding grouping
J35 0610  2    of more variable material, and they eventuate also
J35 0610 10    in five classes, along a similar scale, containing
J35 0620  7    approximately equal numbers of cases, namely 19, 14,
J35 0630  6    15, 11, 12 in Athabascan.
J35 0630 11       When now we count the frequency of the 71 items
J35 0640  9    in the two language families appearing in the same
J35 0650  4    column or grade, or one column or grade apart, or two
J35 0660  2    or three or four, we find these differences: **f
J35 0660 11       This distribution can be summarized by averaging
J35 0670  6    the distance in grades apart: **f; which, divided by
J35 0680  5    **f gives a mean of 1.07 grades apart. If the distribution
J35 0690  3    of the 71 items were wholly concordant in the two families,
J35 0700  1    the distance would of course be 0. If it were wholly
J35 0700 12    random and unrelated, it would be 2.0, assuming the
J35 0710  9    five classes were equal in ~n, which approximately
J35 0720  4    they are. The actual mean of 1.07 being about halfway
J35 0730  3    between 0 of complete correlation and 2.0 of no correlation,
J35 0740  1    it is evident that there is a pretty fair degree of
J35 0740 12    similarity in the behavior even of particular INDIVIDUAL
J35 0750  8    items of meaning as regards long-term stem displacement.
J35 0760  7    #6.#
J35 0760  8    In 1960, David D& Thomas published Basic Vocabulary
J35 0770  5    in some Mon-Khmer Languages ~AL 2, no& 3, pp& 7-11),
J35 0780  8    which compares 8 Mon-Khmer languages with the ~I-E
J35 0790  5    language data on which Swadesh based the revised retention
J35 0800  1    rate (**f) in place of original (**f), and his revised
J35 0800 11    100 word basic glottochronological list in Towards
J35 0810  5    Greater Accuracy **h (~IJAL 21:121-137). Thomas' findings
J35 0820  5    are, first, "that the individual items vary greatly
J35 0830  4    and unpredictably in their persistence"; but, second,
J35 0840  3    "that the semantic groups are surprisingly unvarying
J35 0850  1    in their average persistence" (as between ~M-K and
J35 0850 10    ~I-E. His first conclusion, on behavior of individual
J35 0860  7    items, is negative, whereas mine (on Ath& and Yok&)
J35 0870  6    was partially positive. His second conclusion, on semantic
J35 0890  3    word classes, agrees with mine. This second conclusion,
J35 0900  1    independently arrived at by independent study of material
J35 0900  9    from two pairs of language families as different and
J35 0910  8    remote from one another as these four are, cannot be
J35 0920  7    ignored.
J35 0920  8       Thomas also presents a simple equation for deriving
J35 0930  5    an index of persistence, which weights not only the
J35 0940  3    number of stems ('roots') per meaning, but their relative
J35 0950  1    frequency. Thus his persistence values for some stem
J35 0950  9    frequencies per meaning is: stem identical in 8 languages,
J35 0960  8    100%; stem frequencies 7 and 1, 86%; stem frequencies
J35 0970  7    4 and 4, 64%; stem frequencies 4, 3, and 1, 57%. His
J35 0980  7    formula will have to be weighed, may be altered or
J35 0990  3    improved, and it should be tested on additional bodies
J35 0990 12    of material. But consideration of the frequency of
J35 1000  8    stems per constant meaning seems to be established
J35 1010  5    as having significance in comparative situations with
J35 1020  2    diachronic and classificatory relevance; and Gleason
J35 1030  1    presumably is on the way with a further contribution
J35 1030 10    in this area.
J35 1040  1       As to relative frequencies of competing roots (7-1
J35 1040 10    vs& 4-4, etc&), Thomas with his 'weighting' seems to
J35 1050  7    be the first to have considered the significance this
J35 1060  4    might have. The problem needs further exploration.
J35 1070  2    I was at least conscious of the distinction in my full
J35 1080  1    Yokuts presentation that awaits publication, in which,
J35 1080  8    in listing 'Two-Stem Meanings', I set off by asterisks
J35 1090  7    those forms in which ~n of stem ~B was **f of stem
J35 1100  9    ~A/3, the unasterisked ones standing for **f; or under
J35 1110  6    'Four Stems', I set off by asterisks cases where the
J35 1120  4    combined ~n of stems **f was **f.
J35 1120 11    #7.#
J35 1120 12    These findings, and others which will in time be developed,
J35 1130 10    will affect the method of glottochronological inquiry.
J35 1140  6    If adjectival meanings show relatively low retentiveness
J35 1150  4    of stems, as I am confident will prove to be the case
J35 1160  5    in most languages of the world, why should our basic
J35 1170  1    lists include 15 per cent of these unstable forms,
J35 1170 10    but only 8 per cent of animals and plants which replace
J35 1180  7    much more slowly? Had Hoijer substituted for his 15
J35 1190  5    adjectival slots 15 good animal and plant items, his
J35 1200  2    rate of stem replacement would have been lower and
J35 1200 11    the age of Athabascan language separation smaller.
J35 1210  4    And irrespective of the outcome in centuries elapsed
J35 1220  4    since splitting, calculations obviously carry more
J35 1230  1    concordant and comparable meaning if they deal with
J35 1230  9    the most stable units than with variously unstable
J35 1240  5    ones.
J35 1240  6       It is evident that Swadesh has not only had much
J35 1250  6    experience with basic vocabulary in many languages
J35 1260  1    but has acquired great tact and feeling for the expectable
J35 1260 11    behavior of lexical items. Why then this urge to include
J35 1270 10    unstable items in his basic list? It is the urge to
J35 1280 10    obtain a list as free of geographical and cultural
J35 1290  3    conditioning as possible. And why that insistence?
J35 1300  1    It is the hope of attaining a list of items of UNIVERSAL
J35 1300 13    occurrence. But it is becoming increasingly evident
J35 1310  7    that such a hope is a snare. Not that such a list cannot
J35 1320  9    be constructed; but the nearer it comes to attaining
J35 1330  5    universality, the less significant will it be linguistically.
J35 1340  2    Its terms will tend to be labile or vague, and they
J35 1350  1    will fit actual languages more and more badly.
J35 1350  9       The practical operational problem of lexicostatistics
J35 1360  4    is the establishment of a basic list of items of meaning
J35 1370  6    against which the particular forms or terms of languages
J35 1380  3    can be matched as the medium of comparison. The most
J35 1380 13    important quality of the meanings is that they should
J35 1390  9    be as definable as possible. In proportion as meanings
J35 1400  6    are concrete, we can better rely on their being insulated
J35 1410  5    and distinctive. An elephant or a fox or a swan or
J35 1420  2    a cocopalm or a banana possess in unusually high degree
J35 1420 12    this quality of obvious, common-sense, indubitable
J35 1430  6    IDENTITY, as do an eye or tooth or nail. They isolate
J35 1440  7    out easily, naturally, and unambiguously from the continuum
J35 1450  4    of nature and existence; and they should be given priority
J35 1460  3    in the basic list as long as they continue to show
J35 1460 14    these qualities.
J35 1470  2       With the universal list as his weapon, Swadesh has
J35 1480  1    extended his march of conquest farther and farther
J35 1480  9    into the past, eight, ten, twelve millennia back. And
J35 1490  6    he has proclaimed greater or less affiliation between
J35 1500  3    all Western hemisphere languages. Some of this may
J35 1510  2    prove to be true, or even considerable of it, whether
J35 1510 12    by genetic ramification or by diffusion and coalescence.
J35 1520  7    But the farther out he moves, the thinner will be his
J35 1530  7    hold on conclusive evidence, and the larger the speculative
J35 1540  3    component in his inferences. He has traversed provinces
J35 1550  1    and kingdoms, but he has not consolidated them behind
J35 1550 10    him, nor does he control them. He has announced results
J35 1560  9    on Hokan, Penutian, Uto-Aztecan, and almost all other
J35 1570  7    American families and phyla, and has diagrammed their
J35 1580  4    degree of interrelation; but he has not worked out
J35 1590  2    by lexicostatistics one comprehensively complete classification
J35 1590  8    of even a single family other than Salish. That is
J35 1600 10    his privilege. The remote, cloudy, possible has values
J35 1610  6    of its own- values of scope, stimulus, potential, and
J35 1620  4    imagination. But there is also a firm aspect to lexicostatistics:
J35 1630  3    the aspect of learning the internal organization of
J35 1640  2    obvious natural genetic groups of languages as well
J35 1640 10    as their more remote and elusive external links; of
J35 1650  7    classification first, with elapsed age merely a by-product;
J35 1660  6    of acquiring evidential knowledge of what happened
J35 1670  3    in Athabascan, in Yokuts, in Uto-Aztecan in the last
J35 1680  1    few thousand years as well as forecasting what more
J35 1680 10    anciently may have happened between them. This involves
J35 1690  6    step-by-step progress, and such will have to be the
J35 1700  6    day-by-day work of lexicostatistics as a growing body
J35 1710  2    of scientific inquiry. If of the founders of glottochronology
J35 1720  1    Swadesh has escaped our steady plodding, and Lees has
J35 1720 10    repudiated his own share in the founding, that is no
J35 1730  9    reason why we should swerve.
J35 1740  1    #8.#
J35 1740  1    There is no apparent reason why we should feel bound
J35 1740 11    by Swadesh's rules and procedure since his predilections
J35 1750  7    and aims have grown so vast. It seems time to consider
J35 1760  8    a revision of operational procedures for lexicostatistic
J35 1770  3    studies on a more humble, solid, and limited basis.
J35 1780  1       I would propose, first, an abandonment of attempts
J35 1780  9    at a universal lexical list, as intrinsically unachievable,
J35 1790  7    and operationally inadequate in proportion as it is
J35 1800  7    achieved.
J35 1800  8       I would propose, next, as the prime requirement
J35 1810  6    for constitution of new basic lists, items whose forms
J35 1820  4    show as high an empirical retention rate as possible.
J35 1830  1    There would be no conceivable sense in going to the
J35 1830 11    opposite extreme of selecting items whose forms are
J35 1840  7    the most unstable. An attempted middle course might
J35 1850  4    lead to devices like a 5000-word alphabetized dictionary
J35 1860  1    from which every fiftieth word was selected.
J36 0010  1       Doubtless it was inevitable that differences of
J36 0010  8    opinion should arise about the methods for applying
J36 0020  7    these policies. It was nevertheless almost incredible
J36 0030  3    that four years after Yalta there should be a complete
J36 0040  2    split over Germany, with hot heads on both sides planning
J36 0040 12    to use the Germans against their former allies, and
J36 0050  9    with Nazi-minded Germans expecting to recover their
J36 0060  5    power by fighting on one side or the other.
J36 0070  2    #5. POLAND#
J36 0070  4    _FRONTIERS._
J36 0070  5       When the Yalta Conference opened, the American policy
J36 0080  5    of postponing all discussion of Russia's western boundaries
J36 0090  3    until the peace conference had broken down. Starting
J36 0100  1    in great force late in December, from a line stretching
J36 0100 11    from East Prussia to Budapest, the Red armies had swept
J36 0110 10    two hundred miles across Poland to the Oder, thirty
J36 0120  7    miles from Berlin, and the Upper Danube region was
J36 0130  4    being rapidly overrun, while the Western Allies had
J36 0140  2    not yet occupied all of the left bank of the Rhine.
J36 0140 13    The long delay in opening the Second Front was now
J36 0150  9    working to Russia's advantage.
J36 0160  1       The West was now glad to propose the 1919 Curzon
J36 0160 11    Line, which was substantially Russia's 1941 border,
J36 0170  7    as the boundary between Russia and Poland. When this
J36 0180  6    proposal was made, Stalin spoke with stronger emotion
J36 0190  4    than at any other time during the Conference. He stood
J36 0200  3    up to emphasize his strong feeling on the subject.
J36 0200 12    The bitter memory of Russia's exclusion from the Paris
J36 0210  8    Peace Conference and of the West's effort to stamp
J36 0220  8    out Bolshevism at its birth boiled up within him. "You
J36 0230  5    would drive us into shame", he declared. The White
J36 0240  3    Russians and the Ukrainians would say that Stalin and
J36 0240 12    Molotov were far less reliable defenders of Russia
J36 0250  8    than Curzon and Clemenceau.
J36 0260  1       Yet after long and earnest discussion Stalin accepted
J36 0270  1    the Curzon Line and even agreed voluntarily that there
J36 0270 10    should be digressions from that line of five to eight
J36 0280  9    kilometers in favor of Poland in some regions. He did
J36 0290  6    not mind the Line itself, which Churchill declared
J36 0300  2    in the House of Commons, on February 27, 1945, he had
J36 0310  1    always believed to be "just and right", but he did
J36 0310 11    not want it called by a hated name. The West had long
J36 0320  9    since forgotten the events of 1919, but it was not
J36 0330  7    so easy for the Red leaders, who felt that they had
J36 0340  2    suffered great injustice in that period.
J36 0340  8       In the Dunn-Atherton memorandum of February 4, 1942,
J36 0350  6    the State Department had expected to be able to hold
J36 0360  6    Russia in check by withholding agreement to her 1941
J36 0370  3    boundaries. Now Stalin made it clear that he meant
J36 0370 12    to move Poland's western borders deep into Germany,
J36 0380  7    back to the western Neisse-Oder River lines, taking
J36 0390  6    not only East Prussia and all of Silesia but Pomerania
J36 0400  4    and the tip of Brandenburg, back to and including Stettin.
J36 0410  2    From six to nine million additional Germans would be
J36 0420  1    evicted, though most would have fled, and Poland would
J36 0420 10    receive far more from Germany than the poor territories,
J36 0430  7    including the great Pripet Marshes, which she lost
J36 0440  5    to Russia. Stalin declared that he preferred to continue
J36 0450  3    the war a little longer, "although it costs us blood",
J36 0460  1    in order to give Poland compensation in the West at
J36 0460 11    the expense of the Germans.
J36 0470  4       By this time Churchill was not so cordial toward
J36 0480  1    moving Poland westward as he had been at Teheran, where
J36 0480 11    he and Eden had both heartily approved the idea. After
J36 0490  9    "a prolonged study of the Oder line on a map", at Teheran,
J36 0500 10    Churchill "liked the picture". He would tell the Poles,
J36 0510  7    he said, that they had been "given a fine place to
J36 0520  5    live in, more than three hundred miles each way". At
J36 0530  2    Yalta he thought more about the six million Germans
J36 0530 11    who would have to leave, trying to find work in Germany,
J36 0540 10    and Roosevelt objected to the Western Neisse River
J36 0550  6    being chosen in the south, instead of the Eastern Neisse,
J36 0560  5    both of which flow into the Oder.
J36 0560 12       The issue was left in abeyance, presumably for the
J36 0570  9    peace conference. However, there was no real question
J36 0580  6    of the justice of creating a strong Poland, both industrially
J36 0590  4    and agriculturally, and one unplagued by large minorities
J36 0600  2    of Germans or Russians. The moving of millions of the
J36 0610  1    German master-race, from the very heart of Junkerdom,
J36 0610 10    to make room for the Polish Slavs whom they had enslaved
J36 0620  9    and openly planned to exterminate was a drastic operation,
J36 0630  5    but there was little doubt that it was historically
J36 0640  3    justified.
J36 0640  4    _GOVERNMENT._
J36 0640  5       Of more importance to the West than Poland's boundaries
J36 0650  6    was the character of her government. At Yalta the West
J36 0660  5    still believed that Eastern Europe could be kept in
J36 0670  4    its orbit, in spite of the onrushing Soviet armies.
J36 0670 13    Though little democracy had ever been practised in
J36 0680  8    this region, and much of it was still ruled by feudalistic
J36 0690  7    means, it was taken for granted that at least the forms
J36 0700  5    of Western democracy would be established in this area
J36 0710  2    and Western capitalism preserved within it. Believing
J36 0710  9    devoutly as they did in Anglo-Saxon institutions, it
J36 0720  9    was important to both Roosevelt and Churchill that
J36 0730  5    the Poles should have them.
J36 0730 10       The issue was acute because the exiled Polish Government
J36 0740  9    in London, supported in the main by Britain, was still
J36 0750  8    competing with the new Lublin Government formed behind
J36 0760  4    the Red Army. More time was spent in trying to marry
J36 0770  4    these imcompatibles than over any subject discussed
J36 0770 11    at Yalta. The result was an agreement that the Lublin
J36 0780 10    Government should be "reorganized on a broader democratic
J36 0790  7    basis with the inclusion of democratic leaders from
J36 0800  5    Poland itself and from the Poles abroad", and pledged
J36 0810  3    to hold "free and unfettered elections as soon as possible
J36 0820  1    on the basis of universal suffrage and secret ballot".
J36 0820 10    All "democratic and anti-Nazi parties" were to have
J36 0830  9    the right to campaign.
J36 0840  1       Roosevelt acted as moderator of the long debate
J36 0840  9    on this issue. It was a matter of principle with Churchill,
J36 0850 10    since Britain had declared war in behalf of Poland.
J36 0860  7    To Stalin it was a matter of life and death. He made
J36 0870  6    this completely clear. Speaking with "great earnestness",
J36 0880  2    he said: "For the Russian people, the question of Poland
J36 0890  3    is not only a question of honor but also a question
J36 0890 14    of security. Throughout history, Poland has been the
J36 0900  7    corridor through which the enemy has passed into Russia.
J36 0910  7    Twice in the last thirty years our enemies, the Germans,
J36 0920  4    have passed through this corridor. It is in Russia's
J36 0930  2    interest that Poland should be strong and powerful,
J36 0930 10    in a position to shut the door of this corridor by
J36 0940 10    her own force **h. It is necessary that Poland should
J36 0950  6    be free, independent in power. Therefore, it is not
J36 0960  4    only a question of honor but of life and death for
J36 0960 15    the Soviet state".
J36 0970  3       In other words, the Soviet Union was determined
J36 0980  1    to create a Poland so strong as to be a powerful bulwark
J36 0980 13    against Germany and so closely tied to Russia that
J36 0990  9    there would never be any question of her serving as
J36 1000  6    a cordon sanitaire against the Soviets or posing as
J36 1010  4    an independent, balancing power in between Russia and
J36 1020  1    Germany. Byrnes says that invariably thereafter the
J36 1020  8    Soviets used the same security argument to justify
J36 1030  7    their course in Poland. This reasoning was also as
J36 1040  4    inevitable as anything could be. Any free elections
J36 1050  1    that were to be held in Poland would have to produce
J36 1050 12    a government in which Moscow had complete confidence,
J36 1060  7    and all pressure from the West for free voting by anti-Soviet
J36 1070  7    elements in Poland would be met by restrictions on
J36 1080  3    voting by these elements.
J36 1080  7    #6. LIBERATED EUROPE#
J36 1090  1    In even greater degree the same rule applied to the
J36 1090 11    remainder of Eastern Europe, where the upper classes
J36 1100  6    had generally collaborated with the Nazis, even to
J36 1110  5    the extent of sending millions of their peasants into
J36 1120  1    Russia as a part of Hitler's armies. But at Yalta the
J36 1120 12    conflicting expectations of East and West were merged
J36 1130  8    into an agreement by the Big Three to assist all liberated
J36 1140  8    countries in Europe "to create democratic institutions
J36 1160  3    of their own choice". In any case "where in their judgment
J36 1170  4    conditions require" [italics added] they would "form
J36 1180  3    interim governmental authorities broadly representative
J36 1190  1    of all democratic elements in the population and pledged
J36 1190 10    to the earliest possible establishment through free
J36 1200  5    elections of governments responsive to the will of
J36 1210  5    the people". Other similar affirmations in the Declaration
J36 1220  2    on Liberated Europe seemed to assure democratic institutions
J36 1230  1    on the Western model. Later it developed that the Soviets
J36 1230 11    had a very different interpretation of democracy, which
J36 1240  8    will be discussed later, and their judgment never told
J36 1250  7    them that the Big Three should unite in establishing
J36 1260  4    democratic conditions, as we understand them, within
J36 1270  2    their zone of influence.
J36 1270  6       Professor McNeill thinks that at Yalta, Stalin did
J36 1280  5    not fully realize the dilemma which faced him, that
J36 1290  2    he thought the exclusion of the anti-Soviet voters
J36 1290 11    from East European elections would not be greatly resented
J36 1300  7    by his allies, while neither Roosevelt nor Churchill
J36 1310  5    frankly faced "the fact that, in Poland at least, genuinely
J36 1320  4    free democratic elections would return governments
J36 1330  1    unfriendly to Russia", by any definition of international
J36 1330  9    friendliness. Also war-time propaganda and cooperation
J36 1340  7    had "obscured the differences between Russian and Western
J36 1350  7    ideas of democracy", and it seemed better to have them
J36 1360  8    covered by verbal formulae than to imperil the military
J36 1370  3    victories over Germany and Japan.
J36 1370  8       The application of these formulae could not please
J36 1380  7    both sides, for they really attempted to marry the
J36 1390  5    impossible to the inevitable. While obliged to concede
J36 1400  3    governments in East Europe allied with the Soviet Union
J36 1410  1    instead of opposed to it, we thought we had preserved
J36 1410 11    our social and economic system in East Europe.
J36 1420  6       This illusion was described in a far-sighted editorial
J36 1430  6    in the New York Herald Tribune, on March 5, 1947, in
J36 1440  5    connection with the submission of the satellite peace
J36 1450  1    treaties to the Senate. In doing so Marshall and Byrnes
J36 1450 11    were "asking for the ratification of a grim lesson
J36 1460  8    in the facts of international life". We had entertained
J36 1470  5    exaggerated ideas about our victory automatically establishing
J36 1480  3    our system throughout the world. "We were troubled
J36 1490  3    about the fate of the Baltic States. Yalta left us
J36 1490 13    with comforting illusions of a Western capitalist-democratic
J36 1500  8    political economy reigning supreme up to the Curzon
J36 1510  8    line and the borders of Bessarabia". [Italics added.]
J36 1520  3       This is a penetrating description of our post-war
J36 1530  5    illusion, which applied to other areas than East Europe.
J36 1540  2    The same editorial continued that "We expected to democratize
J36 1550  1    Japan and Korea and to see a new China pattern itself
J36 1550 12    easily on our institutions. We expected, in short,
J36 1560  8    that most of the world would make itself over in our
J36 1570  7    image and that it would be relatively simple, from
J36 1580  2    such a position, to deal with the localized aberrations
J36 1580 11    of the Soviet Union". Yet actually "the image corresponded
J36 1590  9    in no way to the actualities of the post-war world.
J36 1600 10    Neither our military, our economic nor our ideological
J36 1610  5    power reached far enough" to determine the fate of
J36 1620  4    East Europe. Then the editorial added prophetically:
J36 1630  1    "how far they may reach in Asia is yet undetermined,
J36 1630 11    but they fall far short of our dreams of the war conferences".
J36 1640 10       Here is the best short explanation of the origins
J36 1650  8    of the Cold War that has been written. Failing to heed
J36 1660  5    the lesson so clearly contained in the satellite treaties,
J36 1670  2    President Truman re-declared the Cold War on March
J36 1680  1    12, 1947, in the Truman Doctrine, exactly one week
J36 1680 10    after the Herald Tribune editorial was written, and
J36 1690  6    a year after the Cold War had been announced by Churchill
J36 1700  6    at Fulton, Missouri, in Truman's presence. Then China
J36 1710  4    promptly went Communist, and Mr& Truman had to fight
J36 1720  4    the interminable Korean war for the democratization
J36 1720 11    of Korea before we learned how far our writ did "reach
J36 1730 11    in Asia".
J36 1740  1       Years of war, strain, and hatred; of heavy arms
J36 1740 10    expenditures and constant danger of another world war
J36 1750  8    had to ensue before the United States could bring itself
J36 1760  5    to accept the two chief results of World War /2,- Communist
J36 1770  4    control of East Europe and China.
J36 1780  1    _A NEW BALANCE OF POWER._
J36 1780  5       While the Cold War raged it was easy to blame it
J36 1790  2    all on Yalta. Yet, in summarizing a series of careful
J36 1790 12    essays on the Yalta Conference, Forrest Pogue could
J36 1800  8    find no basis for Yalta becoming "a symbol for betrayal
J36 1810  6    and a shibboleth for the opponents of Roosevelt and
J36 1820  4    international cooperation". When the Yalta Papers were
J36 1830  2    finally published with great fanfare they had revealed
J36 1830 10    no betrayal by anyone.
J37 0010  1       An analysis of the election falls naturally in four
J37 0010 10    parts. First is the long and still somewhat obscure
J37 0020  8    process of preparation, planning and discussion. Preparation
J37 0030  4    began slightly more than a year after independence
J37 0040  2    with the first steps to organize rural communes. All
J37 0050  1    political interests supported electoral planning, although
J37 0050  7    there are some signs that the inherent uncertainties
J37 0060  6    of a popular judgment led to some procrastination.
J37 0070  3    The second major aspect of the election is the actual
J37 0080  2    procedure of registration, nomination and voting. Considerable
J37 0090  1    technical skill was used and the administration of
J37 0090  9    the elections was generally above reproach. However,
J37 0100  5    the regionally differentiated results, which appear
J37 0110  3    below in tables, are interesting evidence of the problems
J37 0120  1    of developing self-government under even the most favorable
J37 0120 10    circumstances. A third aspect, and probably the one
J37 0130  8    open to most controversy, is the results of the election.
J37 0140  7    The electoral procedure prevented the ready identification
J37 0150  4    of party affiliation, but all vitally interested parties,
J37 0160  2    including the government itself, were busily engaged
J37 0160  9    in determining the party identifications of all successful
J37 0170  8    candidates the month following the elections. The fourth
J37 0180  7    and concluding point will be to estimate the long-run
J37 0190  7    significance of the elections and how they figure in
J37 0200  3    the current pattern of internal politics.
J37 0200  9       Elections have figured prominently in nearly every
J37 0210  7    government program and official address since independence.
J37 0220  4    They were stressed in the speeches of Si Mubarak Bekkai
J37 0230  5    when the first Council of Ministers was formed and
J37 0240  2    again when the Istiqlal took a leading role in the
J37 0240 12    second Council. King Muhammad /5, was known to be most
J37 0250  9    sympathetic to the formation of local self-government
J37 0260  5    and made the first firm promise of elections on May
J37 0270  3    Day, 1957. There followed a long and sometimes bitter
J37 0280  1    discussion of the feasibility of elections for the
J37 0280  9    fall of 1957, in which it appears that the Minister
J37 0290  7    of the Interior took the most pessimistic view and
J37 0300  3    that the Istiqlal was something less than enthusiastic.
J37 0310  1    Since the complicated process of establishing new communes
J37 0310  9    and reviewing the rudimentary plan left by the French
J37 0320  9    did not even begin until the fall of 1957, this goal
J37 0330  8    appears somewhat ambitious.
J37 0340  1       From the very beginning the electoral discussions
J37 0340  7    raised fundamental issues in Moroccan politics, precisely
J37 0350  5    the type of questions that were most difficult to resolve
J37 0360  5    in the new government. Until the Charter of Liberties
J37 0370  3    was issued in the fall of 1958, there were no guarantees
J37 0380  1    of the right to assemble or to organize for political
J37 0380 11    purposes. The Istiqlal was still firmly united in 1957,
J37 0390  8    but the P&D&I& (Parti Democratique de l'Independance),
J37 0400  4    the most important minor party at the time, objected
J37 0410  6    to the Istiqlal's predominance in the civil service
J37 0420  3    and influence in Radio Maroc. There were rumors that
J37 0430  1    the Ministry of the Interior favored an arbitrary,
J37 0430  9    "non-political" process, which were indirectly affirmed
J37 0440  6    when the King personally intervened in the planned
J37 0450  4    meetings. The day following his intervention the palace
J37 0460  3    issued a statement reassuring the citizens that "**h
J37 0460 11    the possibility of introducing appeals concerning the
J37 0470  7    establishment of electoral lists, lists of candidates
J37 0480  5    and finally the holding of the consultation itself
J37 0490  2    **h" would be supported by the King himself.
J37 0500  1       The Ifni crisis in the fall of 1957 postponed further
J37 0500 10    consideration of elections, but French consultants
J37 0510  6    were called in and notices of further investigation
J37 0520  2    appeared from time to time. In January, 1958, the Minister
J37 0530  2    of the Interior announced that an election law was
J37 0530 11    ready to be submitted to the King, the rumors of election
J37 0540 11    dates appeared once again, first for spring of 1958
J37 0550  7    and later for the summer. Although the government was
J37 0560  4    probably prepared for elections by mid-1958, the first
J37 0570  2    decision was no doubt made more difficult as party
J37 0570 11    strife multiplied. In late 1957 the M&P& (Mouvement
J37 0580  7    Populaire) appeared and in the spring of 1958 the internal
J37 0590  9    strains of the Istiqlal was revealed when the third
J37 0600  5    Council of Government under Balafrej was formed without
J37 0610  2    support from progressive elements in the party. The
J37 0610 10    parties were on the whole unprepared for elections,
J37 0620  8    while the people were still experiencing post-independence
J37 0630  5    let-down and suffering the after effects of poor harvests
J37 0640  5    in 1957.
J37 0640  7       Despite the internal and international crises that
J37 0650  3    harassed Morocco the elections remained a central issue.
J37 0660  2    They figured prominently in the Balafrej government
J37 0660  9    of May, 1958, which the King was reportedly determined
J37 0670  8    to keep in office until elections could be held. But
J37 0680  6    the eagerly sought "homogeneity" of the Balafrej Council
J37 0690  5    of Government was never achieved as the Istiqlal quarreled
J37 0700  2    over foreign policy, labor politics and economic development.
J37 0710  1    By December, 1958, when 'Abdallah Ibrahim became President
J37 0720  1    of the Council, elections had even greater importance.
J37 0720  9    They were increasingly looked upon as a means of establishing
J37 0730  9    the new rural communes as the focus of a new, constructive
J37 0740  9    national effort. To minimize the chances of repeating
J37 0750  5    the Balafrej debacle the Ibrahim government was formed
J37 0760  3    a titre personnel and a special office was created
J37 0770  1    in the Ministry of the Interior to plan and to conduct
J37 0770 12    the elections. By this time there is little doubt but
J37 0780  9    what election plans were complete. There remained only
J37 0790  4    the delicate task of maneuvering the laws through the
J37 0800  3    labyrinth of Palace politics and making a small number
J37 0801  1    of policy decisions.
J37 0810  3       From the rather tortuous history of electoral planning
J37 0820  2    in Morocco an important point emerges concerning the
J37 0820 10    first elections in a developing country and evaluating
J37 0830  8    their results. In the new country the electoral process
J37 0840  7    is considered as a means of resolving fundamental,
J37 0850  2    and sometimes bitter, differences among leaders and
J37 0860  1    also as a source of policy guidance. In the absence
J37 0860 11    of a reservoir of political consensus each organized
J37 0870  6    political group hopes that the elections will give
J37 0880  3    them new prominence, but in a system where there is
J37 0890  1    as yet no place for the less prominent. Lacking the
J37 0890 11    respected and effective institutions that consensus
J37 0900  4    helps provide, minority parties, such as the P&D&I&
J37 0910  4    in 1957 and the progressive Istiqlal faction in 1958,
J37 0920  3    clamor for elections when out of power, but are not
J37 0920 13    at all certain they wish to be controlled by popular
J37 0930  9    choice when in power. Those in power tend to procrastinate
J37 0940  6    and even to repudiate the electoral process. The tendency
J37 0950  4    to treat elections as an instrument of self-interest
J37 0960  1    rather than an instrument of national interest had
J37 0960  9    two important effects on electoral planning in Morocco.
J37 0970  6       At the central level the scrutin uninominal voting
J37 0980  5    system was selected over some form of the scrutin de
J37 0990  5    liste system, even though the latter had been recommended
J37 1000  2    by Duverger and favored by all political parties. The
J37 1010  1    choice of the single member district was dictated to
J37 1010 10    a certain extent by problems of communication and understanding
J37 1020  7    in the more remote areas of the country, but it also
J37 1030  7    served to minimize the national political value of
J37 1040  3    the elections. Although the elections were for local
J37 1040 11    officials, it was not necessary to conduct the elections
J37 1050  9    so as to prevent parties from publicly identifying
J37 1060  4    their candidates. With multiple member districts the
J37 1070  3    still fragmentary local party organizations could have
J37 1080  1    operated more effectively and parties might have been
J37 1080  9    encouraged to state their positions more clearly. Both
J37 1090  7    parties and the Ministry of the Interior were busily
J37 1100  5    at work after the elections trying to unearth the political
J37 1110  3    affiliations of the successful candidates and, thereby,
J37 1120  1    give the elections a confidential but known degree
J37 1120  9    of national political significance. Since a national
J37 1130  5    interpretation cannot be avoided it is unfortunate
J37 1140  4    that the elections were not held in a way to maximize
J37 1150  1    party responsibility and the educational effect of
J37 1150  8    mass political participation.
J37 1160  1       The general setting of the Moroccan election may
J37 1170  1    also encourage the deterioration of local party organization.
J37 1170  9    The concentration of effective power in Rabat leads
J37 1180  7    not only to party bickering, but to distraction from
J37 1190  5    local activity that might have had many auxiliary benefits
J37 1200  3    in addition to contributing to more meaningful elections.
J37 1210  1    Interesting evidence can be found in the results of
J37 1210 10    the Chamber of Commerce elections, which took place
J37 1220  7    three weeks before national elections. The Istiqlal
J37 1230  4    sponsored U&M&C&I&A& (L'Union Marocaine des Commercants,
J37 1240  4    Industrialistes et Artisans) was opposed by candidates
J37 1250  5    of the new U&N&F&P& (L'Union National des Forces Populaires)
J37 1260  5    in nearly all urban centers. As the more conservative
J37 1270  5    group with strong backing from wealthy businessmen,
J37 1280  2    the U&M&C&I&A& was generally favored against the more
J37 1290  4    progressive, labor-based U&N&F&P& The newer party campaigned
J37 1300  4    heavily, while the older, more confident party expected
J37 1310  2    the Moroccan merchants and small businessmen to support
J37 1310 10    them as they had done for many years. The local Istiqlal
J37 1320 11    and U&M&C&I&A& offices did not campaign and lost heavily.
J37 1330  8    The value of the elections was lost, both as an experiment
J37 1340 11    in increased political participation and as a reliable
J37 1350  6    indicator of commercial interest, as shown in Table
J37 1360  5    /1,.
J37 1360  6       The chamber of Commerce elections were, of course,
J37 1370  4    an important event in the preparation for rural commune
J37 1380  1    elections. The U&N&F&P& learned that its urban organization,
J37 1390  1    which depends heavily on U&M&T& support, was most effective.
J37 1400  2    The Istiqlal found that the spontaneous solidarity
J37 1400  9    of the independence struggle was not easily transposed
J37 1410  8    to the more concrete, precise problems of internal
J37 1420  5    politics. The overall effect was probably to stimulate
J37 1430  3    more party activity in the communal elections than
J37 1440  1    might have otherwise taken place.
J37 1440  6       A second major point of this essay is to examine
J37 1450  5    the formal arrangements for the elections. Although
J37 1460  1    a somewhat technical subject, it has important political
J37 1460  9    implications as the above discussion of the voting
J37 1470  8    system indicated. Furthermore, the problems and solutions
J37 1480  5    devised in the electoral experiences of the rapidly
J37 1490  3    changing countries are often of comparative value and
J37 1490 11    essential to evaluating election results. The sine
J37 1500  7    qua non of the elections was naturally an impartial
J37 1510  5    and standardized procedure. As the background discussion
J37 1520  3    indicated there were frequently expressed doubts that
J37 1530  2    a government dominated by either party could fairly
J37 1530 10    administer elections. The P&D&I& and later the Popular
J37 1540  8    Movement protected the Istiqlal's "privileged position"
J37 1550  5    until the fall of Balafrej, and then the Istiqlal used
J37 1560  7    the same argument, which it had previously ignored,
J37 1570  3    against the pro-U&N&F&P& tendencies of the Ibrahim
J37 1580  4    government.
J37 1580  5       The bulk of the preparation had, of course, proceeded
J37 1590  4    under the supervision of the Ministry of the Interior,
J37 1600  1    whose officials are barred from party activity and
J37 1600  9    probably generally disinterested in party politics.
J37 1610  5    Apart from some areas of recurring trouble, like Bani
J37 1620  4    Mellal, where inexperienced officials had been appointed,
J37 1630  3    there is little evidence that local officials intervened
J37 1640  1    in the electoral process. Centrally, however, the administrative
J37 1650  1    problem was more complex and the sheer prestige of
J37 1650 10    office was very likely an unfair advantage. The King
J37 1660  6    decided to remove Ibrahim a week before elections and
J37 1670  4    to institute a non-party Council of Government under
J37 1680  2    his personal direction. Although the monarch had frequently
J37 1680 10    asserted that the elections were to be without party
J37 1690  9    significance, his action was an implicit admission
J37 1700  5    that party identifications were a factor. The new Council
J37 1710  4    was itself inescapably of political meaning, which
J37 1720  1    was most clearly revealed in the absence of any U&N&F&P&
J37 1730  1    members and the presence of several Istiqlal leaders.
J37 1730  9    Since the details of the elections were settled the
J37 1740  8    change of government had no direct effect on the technical
J37 1750  6    aspects of the elections, and may have been more important
J37 1760  3    as an indication of royal displeasure with the U&N&F&P&
J37 1770  1       Voting preparations began in the fall of 1959, although
J37 1780  2    the actual demarcation and planning for the rural communes
J37 1790  1    was completed in 1958. There were three major administrative
J37 1790 10    tasks: the fixing of electoral districts, the registration
J37 1800  8    of voters and the registration of candidates. Voter
J37 1810  5    registration began in late November 1959 and continued
J37 1820  4    until early January, 1960. The government was most
J37 1830  2    anxious that there be a respectable response. Periodic
J37 1830 10    bulletins of the accomplishment in each province made
J37 1840  8    the registration process into a kind of competition
J37 1850  6    among provincial officials. A goal was fixed, as given
J37 1860  3    in Table 2, and attention focused on its fulfillment.
J37 1860 12    The qualifications to vote were kept very simple. Both
J37 1870  9    men and women of twenty-one years of age could register
J37 1880  8    and vote upon presenting proof of residence and identification.
J37 1890  5    There were liberal provisions for dispensation where
J37 1900  3    documents or records were lacking. The police were
J37 1910  1    disqualified along with certain categories of naturalized
J37 1910  8    citizens, criminals and those punished for Protectorate
J37 1920  6    activities.
J37 1920  7       The registration figures given in Table 2 must be
J37 1930  9    interpreted with caution since the estimate for eligible
J37 1940  6    electors were made without the benefit of a reliable
J37 1950  4    census.
J38 0010  1       Unemployed older workers who have no expectation
J38 0010  8    of securing employment in the occupation in which they
J38 0020  7    are skilled should be able to secure counseling and
J38 0030  4    retraining in an occupation with a future. Some vocational
J38 0040  2    training schools provide such training, but the current
J38 0050  1    need exceeds the facilities.
J38 0050  5    _CURRENT PROGRAMS_
J38 0050  7       The present Federal program of vocational education
J38 0060  5    began in 1917 with the passage of the Smith-Hughes
J38 0070  4    Act, which provided a continuing annual appropriation
J38 0080  1    of $7 million to support, on a matching basis, state-administered
J38 0090  1    programs of vocational education in agriculture, trades,
J38 0090  8    industrial skills and home economics. Since 1917 some
J38 0100  7    thirteen supplementary and related acts have extended
J38 0110  4    this Federal program. The George-Barden Act of 1946
J38 0120  4    raised the previous increases in annual authorizations
J38 0120 11    to $29 million in addition to the $7 million under
J38 0130 10    the Smith Act. The Health Amendment Act of 1956 added
J38 0140  7    $5 million for practical nurse training.
J38 0150  2       The latest major change in this program was introduced
J38 0160  1    by the National Defense Education Act of 1958, Title
J38 0160 10    /8, of which amended the George-Barden Act. Annual
J38 0170  8    authorizations of $15 million were added for area vocational
J38 0180  7    education programs that meet national defense needs
J38 0190  3    for highly skilled technicians.
J38 0190  7       The Federal program of vocational education merely
J38 0200  6    provides financial aid to encourage the establishment
J38 0210  3    of vocational education programs in public schools.
J38 0220  2    The initiative, administration and control remain primarily
J38 0230  1    with the local school districts. Even the states remain
J38 0230 10    primarily in an assisting role, providing leadership
J38 0240  6    and teacher training.
J38 0250  1       Federal assistance is limited to half of the total
J38 0250  9    expenditure, and the state or local districts must
J38 0260  6    pay at least half. The state may decide to encourage
J38 0270  3    local programs by paying half of the cost, or the state
J38 0280  1    may require the local district to bear this half or
J38 0280 11    some part of it. Throughout the history of the program,
J38 0290  7    state government expenditures in the aggregate have
J38 0300  5    usually matched or exceeded the Federal expenditures,
J38 0310  1    while local districts all together have spent more
J38 0310  9    than either Federal or state governments. Today, Federal
J38 0320  7    funds account for only one-fifth of the nation's expenditures
J38 0330  7    for vocational education. The greatest impact of the
J38 0340  5    matching-fund principle has been in initially encouraging
J38 0350  2    the poorest states and school districts to spend enough
J38 0360  1    to obtain their full allocation of outside funds.
J38 0360  9       National defense considerations have been the major
J38 0370  6    reason behind most Federal training expenditures in
J38 0380  4    recent decades. During World War /2, about 7.5 million
J38 0390  3    persons were enrolled in courses organized under two
J38 0390 11    special programs administered by state and local school
J38 0400  8    authorities: (1) Vocational Education for National
J38 0410  5    Defense, and (2) War Production Training. The total
J38 0420  4    cost of the five-year program was $297 million. For
J38 0430  2    the Smith-Hughes, George-Barden, and National Defense
J38 0440  1    Act of 1958, the cumulative total of Federal expenditures
J38 0440 10    in 42 years was only about $740 million.
J38 0450  6       No comparable measures are available of enrollments
J38 0460  3    and expenditures for private vocational education training.
J38 0470  2    There are a great number and variety of private commercial
J38 0480  1    schools, trade schools and technical schools. In addition,
J38 0480  9    many large corporations operate their own formal training
J38 0490  7    programs. A recent study indicated that 85 per cent
J38 0500  6    of the nation's largest corporations conducted educational
J38 0510  3    programs involving some class meetings and examinations.
J38 0520  1       Most skilled industrial workers, nevertheless, still
J38 0530  1    acquire their skills outside of formal training institutions.
J38 0530  9    The National Manpower Council of Columbia University
J38 0540  6    has estimated that three out of five skilled workers
J38 0550  7    and one out of five technicians have not been formally
J38 0560  4    trained.
J38 0560  5       There is little doubt that the students benefit
J38 0570  2    from vocational education. Employers prefer to hire
J38 0570  9    youth with such training rather than those without,
J38 0580  8    and most graduates of vocational training go to work
J38 0590  6    in jobs related to their training. Vocational educators
J38 0600  2    do not claim that school training alone makes skilled
J38 0610  1    workers, but it provides the essential groundwork for
J38 0610  9    developing skills.
J38 0620  1       In most states, trade and industrial training is
J38 0620  9    provided in a minority of the high schools, usually
J38 0630  9    located in the larger cities. In Arkansas fewer than
J38 0640  5    6 per cent of the high schools offer trade and industrial
J38 0650  3    courses. In Illinois about 13 per cent of the schools
J38 0660  1    have programs, and in Pennsylvania 11 per cent.
J38 0660  9       An important recent trend is the development of
J38 0670  7    area vocational schools. For a number of years Kentucky,
J38 0680  6    Louisiana and several other states have been building
J38 0690  3    state-sponsored vocational education schools that serve
J38 0700  1    nearby school districts in several counties. These
J38 0700  8    schools are intended to provide the facilities and
J38 0710  6    specialized curriculum that would not be possible for
J38 0720  4    very small school districts. Transportation may be
J38 0730  1    provided from nearby school districts. Courses are
J38 0730  8    provided mainly for post high school day programs;
J38 0740  6    but sometimes arrangements also are made for high school
J38 0750  5    students to attend, and evening extension courses also
J38 0760  2    may be conducted.
J38 0760  5       The Title /8, program of the National Defense Education
J38 0770  3    Act of 1958 was a great spur to this trend toward area
J38 0780  2    schools. By 1960 there were such schools in all but
J38 0780 12    4 states. They were operating in 10 of the 17 major
J38 0790 10    areas of chronic labor surplus and in 10 of the minor
J38 0800  8    areas. An extension of this program into the other
J38 0810  3    distressed areas should be undertaken.
J38 0820  1    _RELATION TO NEW INDUSTRY_
J38 0820  2       Some of this trend toward area vocational schools
J38 0820 10    has been related to the problems of persistent labor
J38 0830  8    surplus areas and their desire to attract new industry.
J38 0840  6       The major training need of a new industrial plant
J38 0850  3    is a short period of pre-employment training for a
J38 0860  1    large number of semi-skilled machine operators. A few
J38 0860 10    key skilled workers experienced in the company's type
J38 0870  6    of work usually must be brought in with the plant manager,
J38 0880  6    or hired away from a similar plant elsewhere. A prospective
J38 0890  3    industry also may be interested in the long-run advantages
J38 0900  2    of training programs in the area to supply future skilled
J38 0900 12    workers and provide supplementary extension courses
J38 0910  6    for its employees.
J38 0920  1       The existence of a public school vocational training
J38 0920  9    program in trade and industry provides a base from
J38 0930  8    which such needs can be filled. Additional courses
J38 0940  3    can readily be added and special cooperative programs
J38 0950  1    worked out with any new industry if the basic facilities,
J38 0950 11    staff and program are in being. Thus, besides the training
J38 0960 10    provided to youth in school, the existence of the school
J38 0970  8    program can have supplementary benefits to industry
J38 0980  4    which make it an asset to industrial development efforts.
J38 0990  2       Few states make effective use of their existing
J38 0990 10    vocational education programs or funds for the purpose
J38 1000  8    of attracting new industry. The opportunity exists
J38 1010  5    for states to reserve some of their vocational education
J38 1020  3    funds to apply on an ad hoc flexible basis to subsidize
J38 1030  3    any local preemployment training programs that my be
J38 1030 11    quickly set up in a community to aid a new industrial
J38 1040 11    plant.
J38 1050  1    _LOCAL FOCUS OF PROGRAMS_
J38 1050  3       The major weakness of vocational training programs
J38 1050 10    in labor surplus areas is their focus on serving solely
J38 1060 10    local job demands. This weakness is not unique to labor
J38 1070  8    surplus areas, for it is inherent in the system of
J38 1080  5    local school districts in this country.
J38 1090  1       Planning of vocational education programs and courses
J38 1090  8    is oriented to local employer needs for trained workers.
J38 1100  7    All the manuals for setting up vocational courses stress
J38 1110  5    the importance of first making a local survey of skill
J38 1120  4    needs, of estimating the growth of local jobs, and
J38 1130  2    of consulting with local employers on the types of
J38 1130 11    courses and their content.
J38 1140  3       Furthermore, there is a cautious conservatism on
J38 1150  2    the part of those making local skill surveys. Local
J38 1150 11    jobs can be seen and counted, while opportunities elsewhere
J38 1160  6    are regarded as more hypothetical.
J38 1170  1       While the U& S& Department of Labor has a program
J38 1180  2    of projecting industry and occupational employment
J38 1180  8    trends and publishing current outlook statements, there
J38 1190  6    is little tangible evidence that these projections
J38 1200  4    have been used extensively in local curriculum planning.
J38 1210  2    The U& S& Office of Education continues to stress local
J38 1220  2    surveys rather than national surveys.
J38 1220  7       This procedure is extremely shortsighted in chronic
J38 1230  5    labor surplus areas with a long history of declining
J38 1240  3    employment. Elaborate studies have been made in labor
J38 1250  1    surplus areas in order to identify sufficient numbers
J38 1250  9    of local job vacancies and future replacement needs
J38 1260  6    for certain skills to justify training programs for
J38 1270  4    those skills. No effort is made in the same studies
J38 1280  1    to present information on regional or national demand
J38 1280  9    trends in these skills or to consider whether regional
J38 1290  7    or national demands for other skills might provide
J38 1300  4    much better opportunities for the youth to be trained.
J38 1310  2       Moreover, the current information on what types
J38 1310  9    of training are needed and possible is too limited
J38 1320  8    and fragmentary. There simply is not enough material
J38 1330  6    available on the types of job skills that are in demand
J38 1340  4    and the types of training programs that are required
J38 1350  1    or most suitable. Much of the available information
J38 1350  9    comes not from the Federal government but from an exchange
J38 1360  7    of experiences among states.
J38 1370  1    _PROPOSALS_
J38 1370  2       State and local agencies in the vocational education
J38 1380  1    field must be encouraged to adopt a wider outlook on
J38 1380 11    future job opportunities. There is a need for an expanded
J38 1390  8    Federal effort to provide research and information
J38 1400  4    to help guide state education departments and local
J38 1410  2    school boards in existing programs.
J38 1410  7       A related question is whether unemployed workers
J38 1420  5    can be motivated to take the training provided. There
J38 1430  2    is little evidence that existing public or private
J38 1430 10    training programs have any great difficulty getting
J38 1440  7    students to enroll in their programs, even though they
J38 1450  6    must pay tuition, receive no subsistence payments,
J38 1460  2    and are not guaranteed a job. However, there always
J38 1460 11    is some limit to the numbers who will spend the time
J38 1470 11    and effort to acquire training. Again, one major difficulty
J38 1480  6    is the local focus.
J38 1490  1       A training program in a depressed area may have
J38 1490  9    few enrollees unless there is some apparent prospect
J38 1500  5    for better employment opportunities afterwards, and
J38 1510  2    the prospect may be poor if the training is aimed solely
J38 1520  1    at jobs in the local community. If there is adequate
J38 1520 11    information on job opportunities for skilled jobs elsewhere,
J38 1530  6    many more workers can be expected to respond.
J38 1540  4       Another problem is who will pay for the training.
J38 1550  1    Local school districts are hard pressed financially
J38 1550  8    and unenthusiastic about vocational training. Programs
J38 1560  5    usually are expanded only when outside funds are available
J38 1570  6    or local business leaders demand it. Even industrial
J38 1580  4    development leaders find it hard to win local support
J38 1590  1    for training unless a new industry is in sight and
J38 1590 11    requests it. State governments have been taking the
J38 1600  6    lead in establishing area vocational schools, but their
J38 1610  4    focus is still on area job opportunities. Only the
J38 1620  2    Federal government is likely to be able to take a long-run
J38 1620 14    and nation-wide view and to pay for training to meet
J38 1630 11    national skilled manpower needs.
J38 1640  2       If only state funds were used to pay for the vocational
J38 1650  1    education, it could be argued that the state should
J38 1650 10    not have to bear the cost of vocational training which
J38 1660  8    would benefit employers in other states. However, if
J38 1670  5    Federal funds are used, it would be entirely appropriate
J38 1680  2    to train workers for jobs which could be obtained elsewhere
J38 1690  1    as well as for jobs in the area of chronic unemployment.
J38 1690 12    Such training would increase the tendency of workers
J38 1700  7    to leave the area and find jobs in other localities.
J38 1710  5       A further possibility is suggested by the example
J38 1720  4    of the G& I& bills and also by some recent trends in
J38 1730  2    attitudes toward improving college education: that
J38 1730  8    is to provide financial assistance to individuals for
J38 1740  6    vocational training when local facilities are inadequate.
J38 1750  4    This probably would require some support for subsistence
J38 1760  3    as well as for tuition, but the total would be no greater
J38 1770  2    than for the proposals of unemployment compensation
J38 1770  9    or a Youth Conservation Corps. A maximum of $600 per
J38 1780  8    year per student would enable many to take training
J38 1790  6    away from home.
J38 1790  9       A program of financial assistance would permit placing
J38 1800  5    emphasis on the national interest in training highly
J38 1810  4    skilled labor. Instead of being limited to the poor
J38 1820  1    training facilities in remote areas, the student would
J38 1820  9    be able to move to large institutions of concentrated
J38 1830  7    specialized training. Such specialized training institutions
J38 1840  4    could be located near the most rapidly growing industries,
J38 1850  3    where the equipment and job experience exist and where
J38 1870  2    the future employment opportunities are located. This
J38 1870  9    would heighten possibilities for part-time cooperative,
J38 1880  6    on-the-job and extension training.
J38 1890  2       Personal financial assistance would enable more
J38 1900  1    emphasis to be placed on the interests of the individual.
J38 1900 11    His aptitudes and preferences could be given more weight
J38 1910  8    in selecting the proper training.
J39 0010  1       But briefly, the topping configuration must be examined
J39 0010  9    for its inferences. Then the fact that the lower channel
J39 0020  9    line was pierced had further forecasting significance.
J39 0030  4    And then the application of the count rules to the
J39 0040  5    width (horizontally) of the configuration give us an
J39 0050  1    intial estimate of the probable depth of the decline.
J39 0050 10    The very idea of their being "count rules" implies
J39 0060  7    that there is some sort of proportion to be expected
J39 0070  4    between the amount of congestive activity and the extent
J39 0080  3    of the breakaway (run up or run down) movement. This
J39 0080 13    expectation is what really "sold" point and figure.
J39 0090  8    But there is no positive and consistently demonstrable
J39 0100  4    relationship in the strictest sense. Experience will
J39 0110  3    show that only the vaguest generalities apply, and
J39 0120  1    in fine, these merely dwell upon a relationship between
J39 0120 10    the durations and intensities of events. After all,
J39 0130  7    too much does not happen too suddenly, nor does very
J39 0140  5    little take long.
J39 0140  8       The advantages and disadvantages of these two types
J39 0150  5    of charting, bar charting and point and figure charting,
J39 0160  3    remain the subject of fairly good natured litigation
J39 0170  1    among their respective professional advocates, with
J39 0170  7    both methods enjoying in common, one irrevocable merit.
J39 0180  6    They are both trend-following methods. Even if we strip
J39 0190  6    their respective claims to the barest minimum, the
J39 0200  2    "odds" still favor them both, for the trend in effect
J39 0200 12    is always more likely to continue than to reverse.
J39 0210  8       Of course, many more things are charted besides
J39 0220  6    prices. The foregoing have been methods of charting
J39 0230  3    prices, but now let us look at some of the other indices
J39 0240  1    that are customarily charted, and which are looked
J39 0240  9    to for their forecasting abilities.
J39 0250  2    _THE QUEST FOR METHODS_
J39 0250  6       The search for forecasting formulae is ceaseless.
J39 0260  4    Correlations have been worked up between the loading
J39 0270  3    of freight cars and the course of stock price. The
J39 0270 13    theory behind this is, of course, fundamentalist in
J39 0280  8    character. As the number of reported freight car loadings
J39 0290  6    increased, this was taken to indicate increased industrial
J39 0300  3    activity, and consequently increased stock earnings,
J39 0310  1    implying fatter dividends, and implying therefore increased
J39 0310  8    stock market prices. We now know that things rarely
J39 0320  9    ever work out in such cut-and-dried fashion, and that
J39 0330  7    car loadings, while perhaps interesting enough, are
J39 0340  3    nevertheless not the magic formula that will always
J39 0340 11    turn before stock prices turn.
J39 0350  5       But the quest for such an index goes on ceaselessly,
J39 0360  4    with all manner of investors and speculators participating,
J39 0370  1    ranging from the sedate institutional type virtually
J39 0370  8    to the proverbial shoe-string operator, all seeking
J39 0380  7    doggedly, studiously, daily- and often nightly- for
J39 0390  7    the enchanting index that will foretell the eternal
J39 0400  3    secret: Which way will the market move; up or down?
J39 0410  1    It recalls to mind the quest of olden times for the
J39 0410 12    fountain of youth, a quest heavily invested in, during
J39 0420  7    the days of wooden ships. Just as heavily invested
J39 0430  4    are the endeavors of multitudes of modern men who carry
J39 0440  2    on the quest for the enchanting index. The quest offers
J39 0440 12    careers. Much of this goes on in offices high up in
J39 0450 11    Wall Street's lofty wind-swept towers.
J39 0460  4       There sit men who make moving averages of weekly
J39 0470  2    volume, monthly averages of price-earnings ratios,
J39 0470  9    ratios of the number of advances to the number of declines,
J39 0480 10    ratios of an individual stock's performance to overall
J39 0490  5    market performance, ratios of rising price volume to
J39 0500  4    falling price volume, odd-lot indices, and what not.
J39 0510  1    They are concerned with all things traded in, securities,
J39 0510 10    bonds, cocao, coffee, soybeans, cotton, tin, oats,
J39 0520  6    etc&.
J39 0520  7       And along Chicago's West Jackson Boulevard, La Salle
J39 0530  6    Street, and around the Merchandise Mart Plaza there
J39 0540  5    sit men who chart crop reports, who divide the number
J39 0550  3    of reported lady-bugs by the number of reported green-bugs,
J39 0560  1    and the number of hogs by the amount of corn. They
J39 0560 12    plot the open interest curves, rainfall curves, and
J39 0570  6    they even divide Democratic congressmen by Republican
J39 0580  4    congressmen. All these things and countless more enter
J39 0590  3    into their calculations, and yet, the enchanting index
J39 0590 11    remains non-forthcoming. Not, at any rate, in the fuller
J39 0600 10    sense of the word.
J39 0610  1       The markets are far too subtle, and the last word
J39 0610 11    in these endeavors will doubtless never be written,
J39 0620  7    for the enchanting index is about as nebulous as the
J39 0630  7    fountain of youth.
J39 0630 10       But whereas civilized men no longer pursue the fountain,
J39 0640  7    they never abandoned their pursuit of the enchanting
J39 0650  4    index.
J39 0650  5       We mentioned odd-lot indices a few paragraphs ago.
J39 0660  4    In the stock market, the normal trading package is
J39 0670  2    a hundred shares, just as 5,000 bushels is the standard
J39 0670 12    grain contract package. A stock transaction for less
J39 0680  7    than a hundred shares is executed via a special odd-lot
J39 0690  6    broker on the floor of the exchange. This results in
J39 0700  3    a separate record being made, distinguishing these
J39 0700 10    trades from the overall volume of trading.
J39 0710  7       According to the theory underlying odd-lot indices,
J39 0720  4    the trader who trades odd lots is most likely a small
J39 0730  3    trader, one who can't afford to trade round lots. Or,
J39 0730 13    to use the cynical phraseology of one odd-lot index
J39 0740 10    enthusiast, they represent a sampling of the least
J39 0750  6    sophisticated echelon of traders. Falling most easily
J39 0760  3    prey to an adverse market movement, for this rank of
J39 0760 13    traders can least afford to lose, virtually anything
J39 0770  8    the odd-lot traders do, marketwise, is taken to exemplify
J39 0780  7    the "wrong" thing to do.
J39 0790  1       Figures reporting the volume of odd-lot purchases
J39 0790  9    and odd-lot sales are released by the stock exchange
J39 0800  7    and carried in the newspapers. Odd-lot index observers
J39 0810  5    then make graphs of the data according to their particular
J39 0820  2    statistical recipe. They might, for example, plot it
J39 0820 10    exactly as is, or they might make ten day moving averages
J39 0830 11    of it, or longer moving averages, or they might simply
J39 0840  7    plot the ratio of odd-lot purchases to odd-lot sales.
J39 0850  5    The particular recipe is a matter of individual taste.
J39 0860  2    The data is now interpreted in conjunction with a price
J39 0870  1    chart, usually of a popular stock average.
J39 0870  8       Towards the end of an intermediate or major rise,
J39 0880  6    while the top is forming on the price chart, it is
J39 0890  4    frequently observed that the odd-lot buying increases
J39 0890 12    sharply. This warns the chartist that the formation
J39 0900  8    in progress is quite likely to be a top. Similarly,
J39 0910  7    at the opposite end of the market cycle, towards the
J39 0920  3    end of an intermediate or major decline, usually while
J39 0930  1    the bottom is being formed on the price chart, it is
J39 0930 12    characteristic that an increase is noticed in odd-lot
J39 0940  9    selling again alerting the chartist that a bottom is
J39 0950  5    becoming a greater likelihood. Thus, in the aggregate,
J39 0960  1    the odd-lot trader is one who buys at the tops and
J39 0960 13    sells at the bottoms, notwithstanding occasional individual
J39 0970  5    exceptions.
J39 0970  6       While it had long been known in general, that "the
J39 0980 10    public is always wrong", the use of odd-lot indices
J39 0990  7    now puts the adage on a statistical basis.
J39 1000  2       One might well wonder why the "public is always
J39 1000 11    wrong" and the question raised is about as awkward
J39 1010  9    as the one concerned with the chicken and the egg.
J39 1020  7    Which came first? Is it really that the "public" buys
J39 1030  4    at the tops, and not that the market tops out when
J39 1040  1    the "public" buys? And the converse at bottoms. Does
J39 1040 10    the "public" usually sell at bottoms, or does the market
J39 1050  9    usually bottom out when the "public" sells?
J39 1060  6       We have been using the word "public" in quotation
J39 1070  4    marks, that is, in its vernacular connotation with
J39 1080  2    reference to the odd-lot index theory. Obviously someone
J39 1080 11    has to sell in order for someone to buy, and vice versa.
J39 1090 12    And while all concerned are members of the literal
J39 1100  6    public, somewhat less than all concerned, although
J39 1110  2    still a majority, form the quotation marked "public".
J39 1120  1    And the public minus the "public" leaves the so-called
J39 1120 11    "sophisticated" element- the element on the other end
J39 1130  7    of the "public's" transactions.
J39 1140  2       This element is often called "strong hands". Strong
J39 1150  3    hands differ from "weak hands" in that their operations
J39 1160  1    are the primary movers. They initiate campaigns, so
J39 1160  9    to speak, even if this initiation is diffused among
J39 1170  8    them, and their concerted action only psychologically
J39 1180  3    organized. Strong hands act; weak hands react. Strong
J39 1190  3    hands move first; weak hands ask, What is going on?
J39 1200  1    When strong hands buy, they are able to buy more, and
J39 1200 12    they do it even in the face of bearish news reports.
J39 1210  8    They are able to sit more patiently with what they
J39 1220  4    have bought. Needless to say, strong hands are not
J39 1230  2    eager to be joined by weak hands, for this increases
J39 1230 12    the risk that they will have to absorb what these weak
J39 1240  9    hands unload on the way up, at higher prices, during
J39 1250  5    the run-up phase of the campaign.
J39 1250 12       Certain badly disillusioned market critics are often
J39 1260  7    apt to feel that there is something somehow unfair,
J39 1270  5    dirty, or even thoroughly criminal about this interplay
J39 1280  3    of competitive forces. But after all, can anyone imagine
J39 1290  1    a market wherein the reverse of these things were true?
J39 1290 11    Try to imagine a market in which only a minority of
J39 1300 10    traders would lose, and the majority would make consistent
J39 1310  6    profits. How much and how many profits could a majority
J39 1320  4    take out of the losses of a few?
J39 1320 12       Moreover, the taunt concerning the "sophisticated"
J39 1330  6    echelon and its alleged erudition is put to test during
J39 1340  7    every campaign, and accrues only upon results; not
J39 1350  4    before. It quite often happens that campaigns go askew,
J39 1360  2    resulting in a most unflattering deterioration of strong
J39 1360 10    hands into played-out hands, just as a member of a
J39 1370 11    former campaign's "public" may emerge flatteringly
J39 1380  4    "right" the next time. Membership in the echelons fluctuates
J39 1390  5    too.
J39 1390  6       The study of odd-lot indices is somehow akin to
J39 1400  5    the spectacle of a man trying to outfox his own shadow,
J39 1410  1    what with all observers trying to get on the side of
J39 1410 12    the "few" at the same time. The usefulness of this
J39 1420  9    study and of configuration analysis as well, declines
J39 1430  5    in direct proportion to the dissemination of its use.
J39 1440  4    It has to, by virtue of the very dictionary definition
J39 1440 14    of the word "few".
J39 1450  4       Diametric opposition must persist as to the future
J39 1460  3    course of prices, if there is to persist a market at
J39 1460 14    all. And the few must win what the many lose, for the
J39 1470 11    opposite arrangement would not support markets as we
J39 1480  7    know them at all, and is, in fact, unimaginable. There
J39 1490  2    need be no squeamishness about admitting this. Anyone
J39 1500  1    still doubting that this is the only way markets can
J39 1500 11    be is invited to try to imagine a market wherein the
J39 1510  9    majority consistently wins what the minority loses.
J39 1520  4       Mr& John Magee, whose work has been discussed in
J39 1530  2    this chapter, was quoted in a New Yorker magazine profile
J39 1540  1    as saying- "**h Of course, you have to remember it's
J39 1540 11    a good thing for us chartists that there aren't more
J39 1550  8    of us. If you got too many people investing by this
J39 1560  6    method, their operations would begin to affect stock
J39 1570  3    prices, and thus throw the charts off. The method would
J39 1580  1    become self-defeating".
J39 1580  4       Mr& Alexander H& Wheelan's Study Helps in Point
J39 1590  5    and Figure Technique tells the readers- "We assure
J39 1600  2    you that the total number of people using this method
J39 1600 12    of market analysis is a very small portion of the sum
J39 1610 11    total of those operating in the securities and commodities
J39 1620  6    markets".
J39 1620  7       What with traders trading for so many different
J39 1630  7    objectives, and what with there being so many unique
J39 1640  5    and individualized market theories and trading techniques
J39 1650  2    in use, and more coming into use all the time, it is
J39 1650 14    hard to imagine how any particular theory or technique
J39 1660  8    could acquire enough "fans" to invalidate itself. Nevertheless,
J39 1670  6    all theories and techniques lead but to one of two
J39 1680  7    possible modes of expression, if they lead to a market
J39 1690  4    committment at all. In the final analysis, then, the
J39 1690 13    user becomes either a bull or a bear in a given instance,
J39 1700 12    notwithstanding any amount of forethought and calculation,
J39 1710  7    however elaborate. Thus while his theory or technique
J39 1720  6    may not be oversubscribed, it is commonplace for bullish
J39 1730  3    and bearish positions to become temporarily over-subscribed.
J39 1740  1    Though the methods of deciding may be profound and
J39 1740 10    diverse, the possible conclusions remain but two.
J39 1750  6    #CHAPTER /6, MORE METHODS#
J39 1760  1    _THE HOAXES_
J39 1760  3       The purpose set forth at the beginning of this book
J39 1770  1    was first to introduce the reader to a general background
J39 1770 11    knowledge of the various types and capabilities of
J39 1780  8    the forecasting methods already in use, so that he
J39 1790  6    might then be in a position to evaluate for himself
J39 1800  1    the validity of the rather astonishing empirical correlation
J39 1800  9    that is to follow, and to appraise the forecast that
J39 1810 10    its interpretation suggests for the future of farm
J39 1820  6    prices over the years immediately ahead.
J40 0010  1       IN assessing the outlook for interest rates in 1961,
J40 0010 10    the question, as always, is the prospect for general
J40 0020  9    business activity. By and large, what happens to business
J40 0040  7    as a whole will govern the relationship between demand
J40 0050  3    and supply conditions in the capital markets and will
J40 0060  2    thus determine interest rates. Moreover, the trend
J40 0060  9    of general business activity in 1961 will exert a decisive
J40 0070  8    influence on fiscal, monetary, and other Federal policies
J40 0080  5    which affect interest rates.
J40 0090  1       Nineteen-sixty has been a baffling year for analysts
J40 0090 10    of general business activity. During much of the year
J40 0100  7    the general level of business activity has moved along
J40 0110  5    on a record-high plateau, but there have been persistent
J40 0120  2    signs of slack in the economy. The tendency for general
J40 0130  1    business activity to soften somewhat is becoming more
J40 0130  9    evident.
J40 0140  1       Although the pause in the advance of general business
J40 0140 10    activity this year has thus far been quite modest,
J40 0150  7    it is hard to escape the conclusion that the softening
J40 0160  4    process will continue into the first quarter of 1961
J40 0170  1    and possibly somewhat longer. It is difficult to see
J40 0170 10    any powerful sources of strength on the horizon at
J40 0180  8    this time which would give the economy a new upward
J40 0190  5    thrust. The rate of plant and equipment spending by
J40 0200  2    business and industry now seems to be topping out and
J40 0200 12    facing some decline. In earlier business cycles, when
J40 0210  7    this occurred the country usually experienced a sharp
J40 0220  4    upturn in residential construction as mortgage financing
J40 0230  2    became easier to obtain. At this time, however, there
J40 0230 11    are signs that increased availability of mortgage credit
J40 0240  8    will not act with the usual speed to stimulate a sharp
J40 0250  8    rise in residential construction. These signs are the
J40 0260  5    inventories of unsold houses in some areas of the country
J40 0270  3    and the moderate rise in vacancy rates for apartments
J40 0270 12    (7.6% in September). On the other hand, in a more favorable
J40 0280 11    vein, general business activity should receive some
J40 0290  6    stimulus from rising Federal spending, and the reduction
J40 0300  5    in business inventories has probably run a good part
J40 0310  5    of its course. The 2% increase in retail sales in October
J40 0320  1    to a 4-month high is encouraging in this connection
J40 0320 11    as well as the most recent consumer survey by the National
J40 0330 10    Industrial Conference Board, which shows a decided
J40 0340  6    pickup in consumer spending plans.
J40 0350  1       The pattern of general business activity which probably
J40 0350  9    lies ahead of us is a further moderate softening through
J40 0360 10    the spring of 1961 before a new rise in economic activity
J40 0370  8    gets under way. The recovery will probably be sparked
J40 0380  5    by a rising rate of housing starts next spring in response
J40 0390  3    to more readily available mortgage credit, as well
J40 0390 11    as by an expansion of Government spending, well sustained
J40 0400  8    consumer spending, and some rebuilding of business
J40 0410  6    inventories.
J40 0410  7    #SLIGHT DOWNWARD PRESSURE#
J40 0420  1    What does the general business outlook suggest about
J40 0420  9    the trend of long-term rates in 1961? It suggests that
J40 0430 10    during the next several months, through the spring
J40 0440  5    of 1961, the demand for long-term capital funds may
J40 0450  3    be moderately lower and that interest rates may tend
J40 0450 12    to move a little lower, especially the rates on Federal,
J40 0460 10    state, and local bonds, as well as those on publicly
J40 0470  8    offered corporate bonds. However, as witnessed by the
J40 0480  5    large corporate bond calendar at present, as well as
J40 0490  2    the record amount of municipal bond issues approved
J40 0490 10    by voters, the over-all demands for capital funds seem
J40 0500  8    likely to remain high, so that any downward pressure
J40 0510  4    on rates from reduced demand should not be great. It
J40 0520  2    seems likely, moreover, that with an increase in the
J40 0530  8    rate of saving in mortgage lending institutions, interest
J40 0540  7    rates on residential mortgages may move somewhat lower
J40 0550  6    through the spring of next year, although the increased
J40 0560  3    ease in residential mortgage lending may occur primarily
J40 0570  1    in other terms than interest rate, e&g&, easier downpayment
J40 0580  1    and amortization terms.
J40 0580  4       If the trend of general business activity follows
J40 0590  2    the pattern suggested here, we are likely to see additional
J40 0600  1    steps by the Federal Reserve authorities to ease the
J40 0600 10    availability of credit. Certainly a further reduction
J40 0610  7    in the discount rate would be a strong possibility,
J40 0620  5    as well as an easier reserve position for the banking
J40 0630  2    system. However, the monetary authorities will continue
J40 0630  9    to be required to pay attention to the consequences
J40 0640  9    of their actions with respect to our international
J40 0650  5    balance of payments position and the outflow of gold,
J40 0660  3    as well as with regard to avoiding the creation of
J40 0660 13    excessive liquidity in the economy, which would delay
J40 0670  8    the effectiveness of monetary policy measures in the
J40 0680  6    next expansion phase of the business cycle.
J40 0690  1    #OPEN MARKET POLICY#
J40 0690  4    One of the most intriguing questions is whether the
J40 0700  3    recent departures of the Federal Reserve authorities
J40 0700 10    from confining their open market operations to Treasury
J40 0710  8    bills will spread into longer-term Government securities
J40 0720  6    in the next few months. To the extent that the new
J40 0730  6    Administration has its wishes, the Federal Reserve
J40 0740  2    would conduct its open market operations throughout
J40 0740  9    the entire maturity range of Government securities
J40 0750  6    and aggressively seek to force down long-term interest
J40 0760  5    rates. The principle of "bills only", or "bills preferably",
J40 0770  4    seems so strongly accepted by the Federal Reserve that
J40 0780  3    it is difficult to envision conditions which would
J40 0780 11    persuade the authorities to depart radically from it
J40 0790  8    by extending their open market purchases regularly
J40 0800  4    into long-term Government securities. However, to the
J40 0810  4    extent that the monetary authorities, in their effort
J40 0820  1    to ease credit in the next several months, conduct
J40 0820 10    their open market operations in longer-term Government
J40 0830  6    bonds, they will certainly act to accentuate any tendency
J40 0840  4    for long-term interest rates to ease as a result of
J40 0850  2    market forces.
J40 0850  4       By the end of the spring of 1961, assuming that
J40 0860  2    a general business recovery gets under way, interest
J40 0860 10    rates should begin to edge upward again, depending
J40 0870  7    upon the vigor of the recovery and the determination
J40 0880  4    with which the monetary authorities move to restrain
J40 0890  2    credit availability. My guess would be that interest
J40 0890 10    rates will decline moderately into the spring of 1961
J40 0900  8    and during the second half of the year will turn up
J40 0910  7    gradually to recover the ground lost during the downturn.
J40 0920  3       It is pertinent to ask the question: Has the long
J40 0930  2    upswing of interest rates during the past 15 years
J40 0930 11    just about run its course, and are we now entering
J40 0940  9    a period in which both capital market forces and Federal
J40 0950  5    policies will produce a prolonged decline of interest
J40 0960  3    rates? My answer is in the negative because I believe
J40 0970  1    that total capital demands during the Sixties will
J40 0970  9    continue to press against available supplies, and interest
J40 0980  6    rates will generally tend to be firm at high levels.
J40 0990  6    #FIVE BASIC FORCES#
J40 0990  9    This view is based upon several basic economic forces
J40 1000  5    which I believe will be operating in the Sixties, as
J40 1010  4    follows:
J40 1010  5    _(1)_
J40 1010  6       Recent events in the General Assembly of the United
J40 1020  5    Nations confirm that the cold war will remain with
J40 1030  2    us, and probably intensify, for the foreseeable future.
J40 1030 10    This makes it certain that Federal expenditures for
J40 1040  7    military preparedness and foreign economic aid are
J40 1050  5    likely to rise further in the next several years. We
J40 1060  3    are just beginning the task of trying to win or maintain
J40 1060 14    the friendship of the new African nations against the
J40 1070  9    ruthless competition of the Communist bloc. Our efforts
J40 1080  7    to overcome the lead of the Russians in space are bound
J40 1090  6    to mean accelerated Federal spending. Moreover, it
J40 1100  2    is likely that Federal policies aimed at stimulating
J40 1100 10    a faster rate of economic growth of the country, to
J40 1110  9    keep ahead of the Communist countries and to demonstrate
J40 1120  5    that our free economic system is better than theirs,
J40 1130  3    will lead to rising Federal spending in certain areas
J40 1140  1    such as education, housing, medical aid, and the like.
J40 1140 10    There are serious dangers involved in this trend toward
J40 1150  8    rising Federal expenditures, of which I take a dim
J40 1160  7    view, but it seems very likely to occur.
J40 1170  1    _(2)_
J40 1170  2       During the Sixties we have the prospect of a significant
J40 1170 12    stepping up in the rate of household formations, which
J40 1180  9    should contribute to a rising volume of consumer expenditures
J40 1190  8    and home building. According to the latest projections
J40 1210  2    of the Bureau of the Census, the annual rate of household
J40 1220  4    formations will increase for the next 20 years. Under
J40 1230  1    the most favorable assumptions for increase, the Bureau
J40 1230  9    of the Census projects that the annual rate of household
J40 1240  9    formations will rise from about 883,000 in the last
J40 1250  7    two years of the Fifties to an annual rate of about
J40 1260  4    1,018,000 in the first five years of the Sixties, and
J40 1270  1    to a slightly higher annual rate of 1,083,000 in the
J40 1270 11    second half of the decade. During the Seventies the
J40 1280  6    projections show a more pronounced rise to an annual
J40 1290  5    rate of 1,338,000 in the second half of that decade.
J40 1300  1    Accordingly, the expanding markets for consumer goods
J40 1300  8    and housing occasioned by the higher rate of household
J40 1310  8    formation should enhance the general economic prospects
J40 1320  4    of the Sixties. However, the impact of a rising rate
J40 1330  4    of household formation this decade should not be exaggerated.
J40 1340  1    The average annual rate of 1,083,000 in the second
J40 1340 10    half of the Sixties is still considerably below the
J40 1350  7    annual rate of 1,525,000 in the three-year period from
J40 1360  6    April 1947 to March 1950.
J40 1360 11    _(3)_
J40 1360 12       With the expansion of family formation in the Sixties,
J40 1370  9    a continued substantial rise in expenditures by state
J40 1380  6    and local government units seems to be indicated. This
J40 1390  5    is an area in which there is still a large backlog
J40 1400  1    of demand. State and local expenditures (in real terms)
J40 1400 10    increased persistently from $26.5-billion in 1949 to
J40 1410  8    $44.3-billion in 1959, and it would not be surprising
J40 1420  6    if they showed a comparable increase in this decade,
J40 1430  2    which would carry them to the neighborhood of $75-billion
J40 1440  1    by 1970. Here would be a powerful force for raising
J40 1440 11    business activity.
J40 1450  1    _(4)_
J40 1450  2       It seems likely that with the three preceding forces
J40 1450 11    at play, the rate of business and industrial plant
J40 1460  8    and equipment expenditures should continue to move
J40 1480  5    upward from the levels of the Fifties. Spurred by keen
J40 1490  3    competition in our industrial system, and still further
J40 1500  1    increases in the funds devoted to industrial research,
J40 1500  9    plant and equipment expenditures by business and industry
J40 1510  6    should rise during the decade.
J40 1520  1    _(5)_
J40 1520  2       In a more pessimistic vein about the economic outlook,
J40 1530  1    I suspect that the reservoir of demand for consumer
J40 1530 10    goods and housing which was dammed-up during the Thirties
J40 1540  8    and World War /2, is finally in the process of running
J40 1550  6    dry. There is some clear-cut evidence of this. For
J40 1560  4    example, the huge postwar demand on the part of veterans
J40 1570  1    for housing under the ~VA home loan guaranty program
J40 1570 10    seems to have largely exhausted itself. Indeed, the
J40 1580  6    failure of home-building as a whole to respond this
J40 1590  5    year to somewhat greater availability of mortgage financing,
J40 1600  2    and the increasing reports of pockets of unsold homes
J40 1600 11    and rising vacancy rates in apartment buildings, may
J40 1610  8    also signal in part that the lush days of big backlog
J40 1620  8    demand for housing are reaching an end. In a way, we
J40 1630  6    may be witnessing the same thing in the sales of automobiles
J40 1640  1    today as the public no longer is willing to purchase
J40 1640 11    any car coming on the market but is more insistent
J40 1650  9    on compact cars free of the frills which were accepted
J40 1660  6    in the Fifties. The huge backlog of demand which was
J40 1670  3    evident in the first decade and a half after the War
J40 1680  1    was fed by liquid assets accumulated by the public
J40 1680 10    during the War, and even more so by the easier and
J40 1690  8    easier credit in the consumer loan and home loan fields.
J40 1700  4    The consuming public has used up a good part of these
J40 1710  1    liquid assets, or they have been drained by the rising
J40 1710 11    price level, and we have apparently gotten to the end
J40 1720  9    of the line in making consumer or home mortgage terms
J40 1730  5    easier. This is not to say that the level of consumer
J40 1740  3    expenditures will not continue to rise in the Sixties.
J40 1740 12    I am confident that it will, but consumer spending
J40 1750  9    in the Sixties will not be fortified by the great backlog
J40 1760  8    of wants and desires which characterized most of the
J40 1770  4    Fifties. Markets should become more competitive as
J40 1780  2    consumers become more selective.
J40 1780  6    #SIXTIES' CAPITAL REQUIREMENTS#
J40 1790  1    Accordingly, during the Sixties our national economy
J40 1790  8    is likely to grow at as fast a rate as in the Fifties
J40 1800 12    and, in the process, to require enormous amounts of
J40 1810  5    capital funds.
J41 0010  1       Wage-price policies of industry are the result of
J41 0010 10    a complex of forces- no single explanation has been
J41 0020  6    found which applies to all cases. The purpose of this
J41 0030  5    paper is to analyze one possible force which has not
J41 0040  3    been treated in the literature, but which we believe
J41 0040 12    makes a significant contribution to explaining the
J41 0050  6    wage-price behavior of a few very important industries.
J41 0060  4    While there may be several such industries to which
J41 0070  3    the model of this paper is applicable, the authors
J41 0070 12    make particular claim of relevance to the explanation
J41 0080  7    of the course of wages and prices in the steel industry
J41 0090  7    of the United States since World War /2,. Indeed, the
J41 0100  5    apparent stiffening of the industry's attitude in the
J41 0110  3    recent steel strike has a direct explanation in terms
J41 0110 12    of the model here presented.
J41 0120  4       The model of this paper considers an industry which
J41 0130  2    is not characterized by vigorous price competition,
J41 0130  9    but which is so basic that its wage-price policies
J41 0140 10    are held in check by continuous critical public scrutiny.
J41 0150  4    Where the industry's product price has been kept below
J41 0160  5    the "profit-maximizing" and "entry-limiting" prices
J41 0170  2    due to fears of public reaction, the profit seeking
J41 0170 11    producers have an interest in offering little real
J41 0180  8    resistance to wage demands. The contribution of this
J41 0190  5    paper is a demonstration of this proposition, and an
J41 0200  3    exploration of some of its implications.
J41 0200  9       In order to focus clearly upon the operation of
J41 0210  8    this one force, which we may call the effect of "public-limit
J41 0220  6    pricing" on "key" wage bargains, we deliberately simplify
J41 0230  4    the model by abstracting from other forces, such as
J41 0240  3    union power, which may be relevant in an actual situation.
J41 0240 13    For expository purposes, this is best treated as a
J41 0250  9    model which spells out the conditions under which an
J41 0260  7    important industry affected with the public interest
J41 0270  3    would find it profitable to raise wages even in the
J41 0270 13    absence of union pressures for higher wages.
J41 0280  7       Part /1, below describes this abstract model by
J41 0290  5    spelling out its assumptions. Part /2, discusses the
J41 0300  3    operation of the model and derives some significant
J41 0310  1    conclusions. Part /3, discusses the empirical relevance
J41 0310  8    and policy implications of the conclusions. Part /4,
J41 0320  7    is a brief summary. The Mathematical Appendix presents
J41 0330  4    the rigorous argument, but is best read after Part
J41 0340  3    /1, in order that the assumptions underlying the equations
J41 0350  1    may be explicit.
J41 0350  4    #/1, THE ASSUMPTIONS OF THE MODEL#
J41 0360  1    _A. THE INDUSTRY_
J41 0360  3       The industry with which this model is concerned
J41 0360 11    is a basic industry, producing a substantial share
J41 0370  7    of gross national product. Price competition is lacking.
J41 0380  5    For the purposes of setting the product price, the
J41 0390  3    industry behaves as a single entity. In wage negotiations,
J41 0400  1    the industry bargains as a unit with a single union.
J41 0410  1    _B. THE DEMAND FOR THE INDUSTRY'S PRODUCT_
J41 0410  5       We are concerned with aggregate demand for the industry's
J41 0420  5    product. The manner in which this is shared among firms
J41 0430  3    is taken as given. In any given time period, the aggregate
J41 0440  1    demand for the industry's product is determined by
J41 0440  9    two things: the price charged by the industry, and
J41 0450  8    the level of ~GNP. For the purposes of this discussion,
J41 0460  6    the problem of relative prices is encompassed in these
J41 0470  3    two variables, since ~GNP includes other prices. (We
J41 0480  2    abstract here from technological progress and assume
J41 0480  9    that prices of all other products change proportionately.)
J41 0490  7       The form of the industry demand function is one
J41 0500  7    which makes quantity demanded vary inversely with the
J41 0510  4    product price, and vary directly with the level of
J41 0520  1    ~GNP.
J41 0520  2    _C. INDUSTRY PRODUCT PRICE POLICY_
J41 0520  7       The industry of this model is so important that
J41 0530  7    its wage and price policies are affected with a public
J41 0540  4    interest. Because of its importance, and because the
J41 0550  1    lack of price competition is well recognized, the industry
J41 0550 10    is under considerable public pressure not to raise
J41 0560  6    its price any more than could be justified by cost
J41 0570  5    increases. The threat of effective anti-trust action,
J41 0580  1    provoked by "gouging the public" through price increases
J41 0580  9    not justified by cost increases, and fears of endangering
J41 0590  9    relations with customers, Congress, the general public
J41 0600  6    and the press, all operate to keep price increases
J41 0610  5    in some relation to cost increases. For the industry
J41 0620  2    of this model, the effect of such public pressures
J41 0620 11    in the past has been to hold the price well below the
J41 0630 11    short-run profit-maximizing price (given the wage rate
J41 0640  6    and the level of ~GNP), and even below the entry-limited
J41 0650  5    price (but not below average cost).
J41 0650 11       For such an industry, it is only "safe" to raise
J41 0660 10    its price if such an increase is manifestly "justified"
J41 0670  5    by rising costs (due to rising wages, etc&). Thus,
J41 0680  4    if public pressure sets the effective limit to the
J41 0690  2    price that the industry may charge, this pressure is
J41 0690 11    itself a function of the wage rate. In this model,
J41 0700  8    we abstract from all non-wage sources of cost changes,
J41 0710  5    so that the "public-limit price" only rises as the
J41 0720  4    wage rate rises. In such circumstances, it may well
J41 0720 13    be to the advantage of the industry to allow an increase
J41 0730 11    in the basic wage rate.
J41 0740  2       Since marginal costs rise when the wage rate rises,
J41 0740 11    the profit-maximizing price also rises when the public-limit
J41 0750 10    price is elevated, and is likely to remain well above
J41 0760  8    the latter. The entry-limiting price will also be raised
J41 0770  6    for potential domestic competition, but unless general
J41 0780  3    inflation permits profit margins to increase proportionately
J41 0790  1    throughout the economy, we might expect the public-limit
J41 0790 10    price to approach the entry-limit price. The foreign-entry-limit
J41 0800 11    price would be approached more rapidly, since domestic
J41 0810  7    wage-rates do not enter foreign costs directly. Where
J41 0820  4    this approach becomes critical, the industry can be
J41 0830  3    expected to put much emphasis on this as evidence of
J41 0830 13    its sincerity in "resisting" the wage pressures of
J41 0840  8    a powerful union, requesting tariff relief after it
J41 0850  5    has "reluctantly" acceded to the union pressure.
J41 0860  2       Whether or not it is in the industry's interest
J41 0870  1    to allow the basic wage rate to rise obviously depends
J41 0870 11    upon the extent to which the public-limit price rises
J41 0880  8    in response to a basic wage increase, and the relation
J41 0890  5    of this response to the increase in costs accompanying
J41 0900  1    the wage increase. The extent to which the public-limit
J41 0900 11    price is raised by a given increase in the basic wage
J41 0910 11    rate is itself a function of three things: the passage
J41 0920  7    of time, the level of ~GNP, and the size of the wage
J41 0930  7    increase.
J41 0930  8       We are abstracting from the fact of strikes here,
J41 0940  6    but it should be obvious that the extent to which the
J41 0950  3    public-limit price is raised by a given increase in
J41 0950 13    the basic wage rate is also a function of the show
J41 0960 10    of resistance put up by the industry. The industry
J41 0970  4    may deliberately take a strike, not to put pressure
J41 0980  1    on the union, but in order to "educate" the government
J41 0980 11    and the customers of the industry. As a strike continues,
J41 0990 10    these parties increase their pressure on the industry
J41 1000  6    to reach an agreement. They become increasingly willing
J41 1010  3    to accept the price increase that the industry claims
J41 1020  2    the wage bargain would entail.
J41 1020  7       Public indignation and resistance to wage-price
J41 1030  5    increases is obviously much less when the increases
J41 1040  1    are on the order of 3% per annum than when the increases
J41 1040 13    are on the order of 3% per month. The simple passage
J41 1050 11    of an additional eleven months' time makes the second
J41 1060  7    3% boost more acceptable. Thus, the public-limit price
J41 1070  5    is raised further by a given wage increase the longer
J41 1080  3    it has been since the previous price increase. Notice,
J41 1080 12    however, that the passage of time does not permit the
J41 1090 10    raising of prices per se, without an accompanying wage
J41 1100  7    increase. Similarly, higher levels of ~GNP do not,
J41 1110  6    in themselves, provide grounds for raising prices,
J41 1120  2    but they do relax some of the pressure on the industry
J41 1120 13    so that it can raise prices higher for a given wage
J41 1130 10    increase. This is not extended to anticipated levels
J41 1140  5    of ~GNP, however- only the current level of ~GNP affects
J41 1150  5    the public pressure against wage-price increases. Finally,
J41 1160  2    since the public requires some restraint on the part
J41 1170  1    of the companies, larger wage increases call for less
J41 1170 10    than proportionately larger price increases (e&g&,
J41 1180  5    if a wage increase of 5% allows a price increase of
J41 1190  5    7%, a wage increase of 10% allows a price increase
J41 1200  2    of something less than 14%).
J41 1200  7    _D. INDUSTRY COSTS_
J41 1200 10       We assume that average total unit cost in the relevant
J41 1210 10    region of operation is constant with respect to quantity
J41 1220  7    produced (the average cost curve is horizontal, and
J41 1230  4    therefore is identical with the marginal cost curve),
J41 1240  1    and is the same for every firm (and therefore for the
J41 1240 12    industry). The level of this average cost is determined
J41 1250  9    by factor prices, technology, and so forth. As we have
J41 1260  7    noted, however, we are abstracting from changes in
J41 1270  4    all determinants of this level except for changes in
J41 1280  1    the wage rate. The level of average cost (equal to
J41 1280 11    marginal cost) is thus strictly a function of the wage
J41 1290  8    rate.
J41 1300  1    _E. UNION POLICIES AND COLLECTIVE BARGAINING ISSUES_
J41 1300  3       The single union which faces the industry does not
J41 1310  3    restrict its membership, and there is an adequate supply
J41 1320  1    of labor available to the firms of the industry at
J41 1320 11    the going wage rate. The union does not regard unemployment
J41 1330  7    of its own members as a matter of concern when setting
J41 1340  5    its own wage policy- its concern with employment makes
J41 1350  2    itself felt in pressure upon the government to maintain
J41 1360  1    full employment.
J41 1360  3       The union vigorously demands wage increases from
J41 1370  1    productivity increases, and wage increases to offset
J41 1370  8    cost-of-living increases, but we abstract from these
J41 1380  7    forces here. For our present purposes we assume that
J41 1390  5    the sole subject of bargaining is the basic wage rate
J41 1400  2    (not including productivity improvement factors or
J41 1400  8    cost-of-living adjustments), and it is this basic wage
J41 1410  8    rate which determines the level of costs. Productivity
J41 1420  5    is something of an amorphous concept and the amount
J41 1430  3    of productivity increase in a given time period is
J41 1430 12    not even well known to the industry, much less to the
J41 1440 10    union or to the public. Disagreement on the amount
J41 1450  5    of productivity increase exacerbates the problem of
J41 1460  3    agreeing how an increase in profit margins related
J41 1460 11    to a productivity increase should be shared. The existence
J41 1470  7    of conflict and of vigorous union demand for an increase
J41 1480  7    in money wages does not contradict the assumption that
J41 1490  4    the union is willing to settle for cost-of-living and
J41 1500  2    productivity-share increases as distinct from a cost-raising
J41 1500 11    increase in the basic wage rate.
J41 1510  6       We assume further that the union recognizes the
J41 1520  3    possibility that price-level increases may offset wage-rate
J41 1530  1    increases, and it does not entirely disregard the effect
J41 1530 10    of price increases arising from its own wage increases
J41 1540  8    upon the "real" wage rate. For internal political reasons,
J41 1550  7    the union asks for (and accepts) increases in the basic
J41 1560  5    wage rate, and would vigorously oppose a reduction
J41 1570  3    in this rate, but the adjustment of the basic wage
J41 1570 13    rate upwards is essentially up to the discretion of
J41 1580  9    the companies of the industry.
J41 1590  1       Changes in the basic wage rate are cost-raising,
J41 1590 10    and they constitute an argument for raising prices.
J41 1600  8    However, it is not known to either the union or the
J41 1610  7    public precisely how much of a cost increase is caused
J41 1620  3    by a given change in the basic wage rate, although
J41 1620 13    the companies are presumed to have reliable estimates
J41 1630  8    of this magnitude.
J41 1640  1       In this model, then, the industry is presumed to
J41 1640 10    realize that they could successfully resist a change
J41 1650  7    in the basic wage rate, but since such a change is
J41 1660  5    the only effective means to raising prices they may,
J41 1670  1    in circumstances to be spelled out in Part /2, below,
J41 1670 11    find it to their advantage to allow the wage rise.
J41 1680  8    Thus, for non-negative changes in the basic wage rate,
J41 1690  6    the industry becomes the active wage-setter, since
J41 1700  2    any increase in the basic wage rate can occur only
J41 1700 12    by reason of industry acquiescence. The presumption
J41 1710  6    in the literature would appear to be that the basic
J41 1720  6    wage rate would be unchanged in this case, on the grounds
J41 1730  3    that it is "clearly" not in the interest of the industry
J41 1740  1    to raise wages gratuitously. From this presumption
J41 1740  8    it is an easy step to the conclusion that any observed
J41 1750  8    increases in the basic wage rate must be due to union
J41 1760  6    behavior different and more aggressive than assumed
J41 1770  1    in our model. It is this conclusion that we challenge;
J41 1770 11    we do so by disproving the presumption on which it
J41 1780  9    is based.
J41 1780 11    #/2, THE OPERATION OF THE MODEL#
J41 1790  4    It is convenient to assume that the union-industry
J41 1800  1    contract is of one year's duration.
J42 0010  1       In the century from 1815 to 1914 the law of nations
J42 0010 12    became international law. Several factors contributed
J42 0020  5    to this change.
J42 0020  8       The Congress of Vienna is a convenient starting
J42 0030  8    point because it both epitomized and symbolized what
J42 0040  5    was to follow. Here in 1815 the great nations assembled
J42 0050  3    to legislate not merely for Europe, but for the world.
J42 0060  1    Thus the Congress marks a formal recognition of the
J42 0060 10    political system that was central to world politics
J42 0070  7    for a century. International law had to fit the conditions
J42 0080  7    of Europe, and nothing that could not fit this system,
J42 0090  2    or the interests of the great European nations collectively,
J42 0100  1    could possibly emerge as law in any meaningful sense.
J42 0100 10    Essentially this imposed two conditions: First, international
J42 0110  7    law had to recognize and be compatible with an international
J42 0120  7    political system in which a number of states were competitive,
J42 0130  7    suspicious, and opportunistic in their political alignments
J42 0140  5    with one another; second, it had to be compatible with
J42 0150  4    the value system that they shared. In both respects,
J42 0160  1    international law was Europeanized.
J42 0160  5       It was not always easy to develop theory and doctrine
J42 0170  6    which would square the two conditions. On the one hand,
J42 0180  5    the major European nations had to maintain vis-a-vis
J42 0190  1    each other an emphasis upon sovereignty, independence,
J42 0190  8    formal equality- thus insuring for themselves individually
J42 0200  8    an optimal freedom of action to maintain the "flexibility
J42 0210  6    of alignment" that the system required and to avoid
J42 0220  5    anything approaching a repetition of the disastrous
J42 0230  1    Napoleonic experience. But there was no pressing need
J42 0230  9    to maintain these same standards with regard to most
J42 0240  8    of the rest of the world. Thus, theory and doctrine
J42 0250  5    applicable among the great nations and the smaller
J42 0260  2    European states did not really comfortably fit less
J42 0260 10    developed and less powerful societies elsewhere. Political
J42 0270  7    interference in Africa and Asia and even in Latin America
J42 0280  8    (though limited in Latin America by the special interest
J42 0290  5    of the United States as expressed in the Monroe Doctrine,
J42 0300  4    itself from the outset related to European politics
J42 0310  1    and long dependent upon the "balance of power" system
J42 0310 10    in Europe) was necessary in order to preserve both
J42 0320  8    common economic values and the European "balance" itself.
J42 0330  6    A nation such as Switzerland could be neutralized by
J42 0340  5    agreement and could be relied upon to protect its neutrality;
J42 0350  3    more doubtful, but possible, (with an assist from the
J42 0360  1    North) was the neutralization of the Latin American
J42 0360  9    countries; out of the question was the neutralization
J42 0370  8    of Asia and Africa.
J42 0380  1       This Europeanization of the law was made explicit
J42 0380  9    by a number of 19th century scholars. More emphasis
J42 0390  6    was put upon the fact that international law was the
J42 0400  4    law of "civilized nations"; Kent and Story, the great
J42 0410  3    early American scholars, repeatedly made use of this
J42 0410 11    phrase, or of "Christian nations", which is a substantial
J42 0420  9    equivalent. Wheaton stated that the public law was
J42 0430  8    essentially "limited to the civilized and Christian
J42 0440  4    peoples of Europe or to those of European origin".
J42 0450  2    Of course it had always been of European origin in
J42 0450 12    fact, but it had maintained a universal outlook under
J42 0460  9    the natural law theory. Now, with virtually every writer,
J42 0470  6    not only was the European origin of public law acknowledged
J42 0480  5    as a historical phenomenon, but the rules thus established
J42 0490  3    by the advanced civilizations of Europe were to be
J42 0490 12    imposed on others. The European customs on which international
J42 0500  9    law was based were to become, by force and fiat, the
J42 0510 10    customs that others were to accept as law if they were
J42 0520  8    to join this community as sovereign states. Hall, for
J42 0530  3    example, was quite explicit on this point when he said
J42 0540  1    "states outside European civilization must formally
J42 0540  7    enter into the circle of law-governed countries. They
J42 0550  7    must do something with the acquiescence of the latter,
J42 0560  5    or some of them, which amounts to an acceptance of
J42 0570  2    the law in its entirety beyond all possibility of
J42 0570 11    misconstruction".
J42 0580  1    During the nineteenth century these views were protested
J42 0580  9    by virtually all the Latin American writers, though
J42 0590  8    ineffectively, just as the new nations of Africa and
J42 0600  8    Asia protest them, with more effect, today.
J42 0610  2       A number of other nineteenth-century developments
J42 0611  1    contributed to the transmutation of the law of nations
J42 0620  9    into international law; that is, from aspects of a
J42 0630  8    universal system of Justice into particular rules governing
J42 0640  4    the relations of sovereign states. The difference is
J42 0650  2    important, for although the older law of nations did
J42 0650 11    cover relationships among sovereigns, this was by no
J42 0660  8    means its exclusive domain. The law of nature governed
J42 0670  6    sovereigns in their relationship to their own citizens,
J42 0680  4    to foreigners, and to each other in a conceptually
J42 0690  1    unified system. The theory of international law, which
J42 0690  9    in the nineteenth century became common to virtually
J42 0700  6    all writers in Europe and America, broke this unity
J42 0710  4    and this universality. It lost sight of the individual
J42 0720  2    almost entirely and confined itself to rules limiting
J42 0720 10    the exercise of state power for reasons essentially
J42 0730  7    unconnected with justice or morality save as these
J42 0740  6    values might affect international relations. No longer
J42 0750  3    did the sovereign look to the law of nations to determine
J42 0760  1    what he ought to do; his search was merely for rules
J42 0760 12    that might limit his freedom of action.
J42 0770  5       To appreciate this development, we must relate it
J42 0780  4    to other aspects of nineteenth-century philosophy.
J42 0780 11    First, and most obvious, was the growing nationalism
J42 0790  8    and the tendency to regard the state, and the individual's
J42 0800  7    identification with the state, as transcending other
J42 0810  4    ties of social solidarity. National identification
J42 0820  1    was not new, but it was accelerating in intensity and
J42 0820 11    scope throughout Europe as new unifications occurred.
J42 0830  6    It reached its ultimate philosophical statement in
J42 0840  4    notions of "state will" put forward by the Germans,
J42 0850  3    especially by Hegel, although political philosophers
J42 0850  9    will recognize its origins in the rejected doctrines
J42 0860  8    of Hobbes. National identification was reflected
J42 0870  4    jurisprudentially
J42 0870  5    in law theories which incorporated this Hegelian abstraction
J42 0880  5    and saw law, domestic and international, simply as
J42 0890  3    its formal reflection. In the international community
J42 0900  1    this reduced law to Jellinek's auto-limitation. A state,
J42 0900 10    the highest form of human organization in fact and
J42 0910  9    theory, could be subjected to Law only by a manifestation
J42 0920  7    of self-will, or consent. According to the new theories,
J42 0930  5    the nineteenth century corporate sovereign was "sovereign"
J42 0940  3    in a quite new and different sense from his historical
J42 0950  1    predecessors. He no longer sought to find the law;
J42 0950 10    he made it; he could be subjected to law only because
J42 0960  9    he agreed to be. There was no law, domestic or international,
J42 0970  6    except that willed by, acknowledged by, or consented
J42 0980  4    to by states.
J42 0980  7       Hidden behind Hegelian abstractions were more practical
J42 0990  4    reasons for a changing jurisprudence. Related to, but
J42 1000  3    distinguishable from, nationalism was the growth of
J42 1000 10    democracy in one form or another. Increased participation
J42 1010  8    in politics and the demands of various groups for status
J42 1020  8    and recognition had dramatic effects upon law institutions.
J42 1030  5    The efforts of various interest groups to control or
J42 1040  4    influence governmental decisions, particularly when
J42 1050  1    taken in conjunction with the impact of industralization,
J42 1050  9    led to a concentration of attention on the legislative
J42 1060  6    power and the means whereby policy could be formulated
J42 1070  5    and enforced as law through bureaucratic institutions.
J42 1080  1    Law became a conscious process, something more than
J42 1080  9    simply doing justice and looking to local customs and
J42 1090  9    a common morality for applicable norms. Particularly
J42 1100  4    was this true when the norms previously applied were
J42 1110  3    no longer satisfactory to many, when customs were rapidly
J42 1120  1    changing as the forces of the new productivity were
J42 1120 10    harnessed. The old way of doing things, which depended
J42 1130  8    on a relatively stable community with stable ideas
J42 1140  4    dealing with familiar situations, was no longer adequate
J42 1150  2    to the task. First was the period of codification of
J42 1150 12    existing law: the Code Napoleon in France and the peculiar
J42 1160 10    codification that, in fact, resulted from Austin's
J42 1170  7    restatement and ordering of the Common Law in England.
J42 1180  6    Codification was followed in all countries by a growing
J42 1190  4    amount of legislation, some changing and adjusting
J42 1200  1    the older law, much dealing with entirely new situations.
J42 1200 10    The legislative mills have been grinding ever since,
J42 1210  7    and when its cumbersome processes were no longer adequate
J42 1220  5    to the task, a limited legislative authority was delegated
J42 1230  3    in one form or another, to the executive. Whereas the
J42 1240  2    eighteenth century had been a time in which man sought
J42 1240 12    justice, the nineteenth and twentieth have been centuries
J42 1250  7    in which men are satisfied with law. Indeed, with developed
J42 1260  6    positivism, the separation of law from justice, or
J42 1270  4    from morality generally, became quite specific.
J42 1280  1       In municipal systems we tend to view what is called
J42 1280 11    positivism as fundamentally a movement to democratize
J42 1290  6    policy by increasing the power of parliament- the elected
J42 1300  5    representatives- at the expense of the more conservative
J42 1310  3    judiciary. When the power of the latter was made both
J42 1320  2    limited and explicit- when norms were clarified and
J42 1320 10    made more precise and the creation of new norms was
J42 1330  8    placed exclusively in parliamentary hands- two purposes
J42 1340  3    were served: Government was made subservient to an
J42 1350  3    institutionalized popular will, and law became a rational
J42 1360  1    system for implementing that will, for serving conscious
J42 1360  9    goals, for embodying the "public policy". It is true
J42 1370  7    that, initially, the task was to remove restrictions
J42 1380  5    that, it was thought, inhibited the free flow of money,
J42 1390  4    goods, and labor; but even laissez-faire was a conscious
J42 1400  1    policy. Law was seen as an emanation of the "sovereign
J42 1400 11    will". However, the sovereign was not Hobbes' absolute
J42 1410  8    monarch but rather the parliamentary sovereign of Austin.
J42 1420  6    It was, too, an optimistic philosophy, and, though
J42 1430  4    it separated law from morality, it was by no means
J42 1440  1    an immoral or amoral one. Man, through democratic institutions
J42 1450  1    of government and economic freedom, was master of his
J42 1450 10    destiny. The theory did not require, though it unfortunately
J42 1460  7    might acquire, a Hegelian mystique. It was merely a
J42 1470  6    rationalization and ordering of new institutions of
J42 1480  2    popular government. It was not opposed to either justice
J42 1490  1    or morality; it merely wished to minimize subjective
J42 1490  9    views of officials who wielded public authority.
J42 1500  5       Particularly was this true as laissez-faire capitalism
J42 1510  4    became the dominant credo of Western society. To free
J42 1520  3    the factors of production was a major objective of
J42 1520 12    the rising bourgeoisie, and this objective required
J42 1530  6    that governmental authority- administrative officials
J42 1540  5    and judges- be limited as precisely and explicitly
J42 1550  3    as possible; that old customs which inhibited trade
J42 1550 11    be abrogated; that business be free from governmental
J42 1560  8    supervision and notions of morality which might clog
J42 1570  7    the automatic adjustments of the free market; that
J42 1580  4    obligations of status that were inconsistent with the
J42 1590  2    new politics and the new economics be done away with.
J42 1590 12    Contract- conceived as the free bargain of formal equals-
J42 1600 11    replaced the implied obligations of a more static and
J42 1610  7    status-conscious society. Indeed, contract was the
J42 1620  4    dominant legal theme of the century, the touchstone
J42 1630  1    of the free society. Government itself was based upon
J42 1630 10    contract; business organization- the corporation- was
J42 1640  4    analyzed in contractual terms; trade was based on freedom
J42 1650  6    of contract, and money was lent and borrowed on contractual
J42 1660  4    terms; even marriage and the family was seen as a contractual
J42 1670  4    arrangement. It is not surprising that the international
J42 1680  1    obligations of states were also viewed in terms of
J42 1680 10    contract. In fact, some- Anzilotti is the principle
J42 1690  7    example- went so far as to say that all international
J42 1700  6    law could be traced to the single legal norm, Pacta
J42 1710  3    sunt Servanda.
J42 1710  5       The displacement (at least to a considerable extent)
J42 1720  4    of the ethical jurisprudence of the seventeenth and
J42 1730  2    eighteenth centuries by positivism reshaped both international
J42 1730  9    law theory and doctrine. In the first place the new
J42 1740 10    doctrine brought a formal separation of international
J42 1760  5    from municipal law, rejecting the earlier view that
J42 1770  3    both were parts of a universal legal system. One result
J42 1780  1    was to nationalize much that had been regarded as the
J42 1780 11    law of nations. Admiralty law, the law merchant, and
J42 1790  7    the host of problems which arise in private litigation
J42 1800  4    because of some contact with a foreign country were
J42 1810  2    all severed from the older Law of Nations and made
J42 1810 12    dependent on the several national laws. Private international
J42 1820  8    law (which Americans call the "conflict of laws") was
J42 1830  7    thus segregated from international law proper, or,
J42 1840  4    as it is often called, public international law. States
J42 1850  2    were free to enact, within broad though (perhaps) determinate
J42 1860  1    limits, their own rules as to the application of foreign
J42 1860 11    law by their courts, to vary the law merchant, and
J42 1870  8    to enact legislation with regard to many claims arising
J42 1880  5    on the high seas. The change was not quite so dramatic
J42 1890  3    as it sounds because in fact common norms continued
J42 1890 12    to be invoked by municipal courts and were only gradually
J42 1900  9    changed by legislation, and then largely in marginal
J42 1910  6    situations.
J43 0010  1    Mr& Justice Black was one of the minority that rested
J43 0010 11    on the Article /1, power. In this view, supported by
J43 0020  8    only three members of the Court, a power denied by
J43 0030  6    the specific provisions of Article /3, was granted
J43 0040  3    by the generality of Article /1,. If this seems arbitrary,
J43 0050  1    its effect was to treat citizens of the District of
J43 0050 11    Columbia equally with citizens of the states- at the
J43 0060  8    expense of expanding a troublesome jurisdiction.
J43 0070  2    #FEDERAL QUESTION JURISDICTION#
J43 0070  5    For almost a hundred years we relied upon state courts
J43 0080  9    (subject to review by the Supreme Court) for the protection
J43 0090  6    of most rights arising under national law. Then in
J43 0100  4    1875, apparently in response to the nationalizing influence
J43 0110  2    of the Civil War, Congress first gave the lower federal
J43 0110 12    courts general authority- concurrently with state tribunals-
J43 0120  7    to decide cases involving federal-right questions.
J43 0130  6    One purpose of the change was to attain sympathetic
J43 0140  5    enforcement of rights insured by the Civil War amendments
J43 0150  3    against state interference. Serious difficulty arose
J43 0160  1    with the advent of Substantive Due Process. An amendment,
J43 0160 10    presumably designed to deal with the problems of newly
J43 0170  9    freed slaves, became a "laissez-faire" limitation upon
J43 0180  6    state economic policy. A flood of federal lower court
J43 0190  5    injunctions seriously impeded the processes of local
J43 0200  2    government. Congress reacted with a series of measures
J43 0200 10    modifying in various ways what it had granted in 1875.
J43 0210 10    In 1910 it required the convening of a special three-judge
J43 0220  7    court for the issuance of certain injunctions and allowed
J43 0230  4    direct appeals to the Supreme Court. Such legislation
J43 0240  2    was clarified and extended from time to time thereafter.
J43 0250  1    In 1913 an abortive provision was made for the stay
J43 0250 11    of federal injunction proceedings upon institution
J43 0260  4    of state court test cases. The essential ineffectiveness
J43 0270  2    of these measures resulted in 1934 in substantial elimination
J43 0280  2    of federal jurisdiction to enjoin state public utility
J43 0280 10    rate orders. Three years later similar restraints were
J43 0290  8    imposed upon injunctions against collection of state
J43 0300  5    taxes. This saved for state adjudication, in the first
J43 0310  4    instance, the two major areas where federal injunctions
J43 0320  1    had been most obnoxious, but other areas remained vulnerable.
J43 0330  1       Meanwhile, the Supreme Court, like Congress, showed
J43 0330  8    misgivings concerning this aspect of government by
J43 0340  7    injunction. Drawing upon the traditional discretion
J43 0350  4    of the chancellor, Mr& Justice Holmes introduced a
J43 0360  3    series of self-imposed judicial restraints that culminated
J43 0370  1    in Mr& Justice Frankfurter's famous doctrine of abstention.
J43 0380  1    Whereas the earlier cases turned rather narrowly upon
J43 0380  9    the availability of adequate state remedies, the new
J43 0390  7    emphasis is upon the nature of the state policy at
J43 0400  5    issue. The classic case is Railroad Commission v& Pullman.
J43 0410  3    The commission had issued an administrative order which
J43 0420  2    was challenged as discriminatory against Negroes. Its
J43 0420  9    enforcement was enjoined by a federal trial court.
J43 0430  8    On review the Supreme Court, via Mr& Justice Frankfurter,
J43 0440  6    found southern racial problems "a sensitive area of
J43 0450  5    social policy on which the federal courts ought not
J43 0460  2    to enter unless no alternative to **h adjudication
J43 0460 10    is open". An alternative was found in the vagueness
J43 0470  8    of state law as to whether the offending order had
J43 0480  5    in fact been authorized. Reluctant, as usual, to interpret
J43 0490  3    state legislation- such interpretation can only be
J43 0500  1    a "forecast rather than a determination"- Mr& Justice
J43 0500  9    Frankfurter led a unanimous Court to vacate the injunction.
J43 0510  9    But it is crucial that here, unlike Burford, the trial
J43 0520  7    court was ordered to retain the case until the state
J43 0530  6    courts had had a reasonable opportunity to settle the
J43 0540  4    state-law question. "The resources of equity are equal
J43 0550  1    to an adjustment that will avoid the waste of a tentative
J43 0550 12    decision as well as the friction of a premature constitutional
J43 0560  9    adjudication".
J43 0570  1       Temporary abstention, i&e&, postponement, is one
J43 0570  7    thing; refusal to adjudicate is another. To the extent
J43 0580  9    that the jurisdictional principle of 1875 stands unmodified
J43 0590  6    by subsequent legislation, federal equitable relief
J43 0600  3    against state action must be available- or so it seems
J43 0610  3    to Mr& Justice Frankfurter. In Alabama Public Service
J43 0620  1    Commission v& Southern Ry& Co&, the commission had
J43 0630  1    refused to permit abandonment of certain "uneconomic"
J43 0630  8    train facilities. The railroad, claiming deprivation
J43 0640  5    of property without due process of law, sought injunctive
J43 0650  5    relief. The Court held that federal jurisdiction should
J43 0660  3    not be exercised lest the domestic policy of the state
J43 0670  1    be obstructed; this in the name of equitable discretion.
J43 0680  1       Justices Frankfurter and Jackson concurred in the
J43 0680  7    Court's result, for they found no merit in the railroad's
J43 0690  9    claim. But they objected vigorously to the proposition
J43 0700  5    that federal courts may refuse to exercise jurisdiction
J43 0710  2    conferred in a valid act of Congress:
J43 0720  1       "By one fell swoop the Court now finds that Congress
J43 0720 10    indulged in needless legislation in the acts of 1910,
J43 0730  7    1913, 1925, 1934 and 1937. By these measures, Congress,
J43 0740  4    so the Court [in effect] now decides, gave not only
J43 0750  3    needless but inadequate relief, since it now appears
J43 0750 11    that the federal courts have inherent power to sterilize
J43 0770  9    the Act of 1875 against all proceedings challenging
J43 0780  4    local regulation".
J43 0780  6       A most revealing recent case is Textile Workers
J43 0790  7    Union v& Lincoln Mills. The Taft-Hartley Act gave the
J43 0800  8    federal courts jurisdiction over "suits for violation
J43 0810  5    of contracts between an employer and a labor organization
J43 0820  3    representing employees in an industry affecting commerce".
J43 0830  1    On its face this merely provides a federal forum; it
J43 0830 11    does not establish any law (rights) for the federal
J43 0840  9    judges to enforce. How can judges exercise jurisdiction
J43 0850  5    to enforce national rights when Congress has created
J43 0860  3    none? The Court held that Congress had intended the
J43 0870  2    federal judiciary to "fashion" an appropriate law of
J43 0870 10    labor-management contracts. In short, congressional
J43 0880  5    power to grant federal-question authority to federal
J43 0890  4    courts is now apparently so broad that Congress need
J43 0900  2    not create, or specify, the right to be enforced.
J43 0910  1       The Lincoln Mills decision authorizes a whole new
J43 0910  8    body of federal "common law" which, as Mr& Justice
J43 0920  7    Frankfurter pointed out in dissent, leads to one of
J43 0930  7    the following "incongruities": "(1) conflict in federal
J43 0940  4    and state court interpretations of collective bargaining
J43 0950  2    agreements; (2) displacement of state law by federal
J43 0950 10    law in state courts **h in all actions regarding collective
J43 0960 10    bargaining agreements; or (3) exclusion of state court
J43 0970  7    jurisdiction over these matters". The Justice's elaborate
J43 0980  4    examination of the legislative history of the provision
J43 0990  4    in question suggests that Congress' purpose was merely
J43 1000  3    to make unions suable. With a few exceptions, the lawmakers
J43 1010  1    seemed unaware of the technical problems of federal
J43 1010  9    jurisdiction involved- to say nothing of the delegation
J43 1020  7    of lawmaking power to judges. To avoid these constitutional
J43 1030  5    difficulties, Mr& Justice Frankfurter was prepared
J43 1040  3    to read the Taft-Hartley provision as concerned with
J43 1050  2    diversity, rather than federal question, jurisdiction.
J43 1050  8    This would satisfy what presumably was Congress' major
J43 1060  8    purpose- the suability of unions. It would also leave
J43 1070  7    intact the states' traditional authority in the realm
J43 1080  5    of contract law. (As we have seen, the Erie and York
J43 1090  3    decisions require federal courts in diversity cases
J43 1100  1    to follow state decisional rules.) Here again Mr& Justice
J43 1100 10    Frankfurter could not lightly accept the principle
J43 1110  7    of wholesale judicial legislation. If Congress wants
J43 1120  5    to displace the states from areas which they have customarily
J43 1130  5    occupied, let it do so knowingly and explicitly. And
J43 1140  2    let it do its own lawmaking and not leave that to federal
J43 1180  1    judges. Does Lincoln Mills suggest that if Congress
J43 1180  9    granted jurisdiction over interstate divorce cases,
J43 1190  5    the federal courts would be authorized to fashion a
J43 1200  5    national law for the dissolution of marriages?
J43 1210  1       There is a common problem behind most of these federal
J43 1210 11    question and diversity cases. Congress has not clearly
J43 1220  8    defined the bounds between state and federal court
J43 1230  6    competence. It has the power to do so but for the most
J43 1240  6    part has left the matter for solution by judges on
J43 1250  1    a case-by-case basis. A careful student has suggested
J43 1250 11    that "In any new revision [of the Judicial Code] the
J43 1260  8    legislators would do well to remember that the allocation
J43 1270  6    of power to the federal courts should be limited to
J43 1280  4    those matters in which their expertise in federal law
J43 1290  1    might be used, leaving to the state judiciaries the
J43 1290 10    primary obligation of pronouncing state law". Obviously,
J43 1300  6    the goal here proposed is the guiding principle in
J43 1310  4    Mr& Justice Frankfurter's opinions- to the extent that
J43 1320  4    Congress leaves the problem to judicial discretion.
J43 1330  1    The same rule of specialization and division of labor
J43 1330 10    guides him in the ~FELA certiorari cases, in the administrative
J43 1340  8    law area, and indeed in the whole realm of judicial
J43 1350  9    review. Mr& Justice Black no doubt concurs in principle
J43 1360  6    but is more apt to make exceptions to achieve a generous
J43 1370  4    and "just" result. He will not be "fooled by technicalities".
J43 1380  3    #FEDERAL REVIEW OF STATE DECISIONS#
J43 1380  8    With few exceptions, Congress has not given federal
J43 1390  7    courts exclusive authority to enforce rights arising
J43 1400  5    under federal law. To put it differently, state and
J43 1410  3    federal courts have concurrent jurisdiction with respect
J43 1420  1    to most claims of federal right. To insure uniformity
J43 1420 10    in the meaning of national law, however, state interpretations
J43 1430  7    are subject to Supreme Court review. It may be noted,
J43 1440  7    parenthetically, that to evade "desegregation" an ex-Justice
J43 1450  4    and former southern governor has urged Congress to
J43 1460  3    abolish this reviewing authority. The result, of course,
J43 1470  1    would be that federal law inevitably would mean different
J43 1470 10    things in different states. It would also probably
J43 1480  7    mean different things within the same state- depending
J43 1482  5    upon what court (state or federal) rendered decision.
J43 1490  2       We consider here only a few of many problems involved
J43 1500  1    in this crucial federal-state relationship. The first
J43 1500  9    is that enforcement of national law in state litigation
J43 1510  7    raises in reverse the old diversity puzzle of the relation
J43 1520  6    of procedure to substance. Subject to certain constitutional
J43 1530  3    restraints in favor of fair trials, each level of government
J43 1540  3    is free to devise its own judicial procedures. Litigants
J43 1550  1    who choose to assert federal claims in a state court
J43 1550 11    go into that court subject to its rules of procedure.
J43 1560  8    A similar canon applies to those who press state claims
J43 1561  5    in federal tribunals, e&g&, in diversity cases. In
J43 1562  3    an ~FELA controversy the state court followed established
J43 1570  7    state procedure by construing a vague complaint "most
J43 1580  7    strongly against" the complainant. In other words the
J43 1590  5    burden of pleading clearly rested upon the pleader
J43 1600  3    by state law. The result was that the plaintiff's case
J43 1610  1    was dismissed. Mr& Justice Black led a reversing majority:
J43 1610 10    "Strict local rules of pleading cannot be used to impose
J43 1620 10    unnecessary burdens upon rights of recovery authorized
J43 1630  6    by federal law". Here, as in the Byrd case, another
J43 1640  6    element of state procedure was subsumed to federal
J43 1650  3    judge-made law. Justices Frankfurter and Jackson dissented:
J43 1660  1    "One State may cherish formalities more than another,
J43 1660  9    one State may be more responsive than another to procedural
J43 1670 10    reforms. If a litigant chooses to enforce a Federal
J43 1680  8    right in a State court, he cannot be heard to object
J43 1690  6    if he is treated exactly as are plaintiffs who press
J43 1700  2    like claims arising under State law with regard to
J43 1700 11    the form in which the claim must be stated- the particularity,
J43 1710 10    for instance, with which a cause of action must be
J43 1720  9    described. Federal law, though invoked in a State court,
J43 1730  5    delimits the Federal claim- defines what gives a right
J43 1740  4    to recovery and what goes to prove it. But the form
J43 1740 15    in which the claim must be stated need not be different
J43 1750 11    from what the State exacts in the enforcement of like
J43 1760  7    obligations created by it, so long as a requirement
J43 1770  4    does not add to, or diminish, the right as defined
J43 1780  1    by Federal law, nor burden the realization of this
J43 1780 10    right in the actualities of litigation".
J43 1790  3       Another problem in the area of federal-state relationships
J43 1800  2    is this: what constitutes reversible error in a state
J43 1810  3    decision? Terminiello v& Chicago involved a conviction
J43 1820  1    for disorderly conduct under a local ordinance. The
J43 1820  9    conduct in question was a speech. The accused did not
J43 1830 10    object to the trial court's charge to the jury that
J43 1840  6    discourse "may constitute a breach of the peace if
J43 1850  4    it stirs the public to anger, invites dispute, brings
J43 1850 13    about a condition of unrest **h". For present purposes
J43 1860  9    it may be assumed that this charge so narrowly limited
J43 1870  7    speech as to violate the federal Constitution. Though
J43 1880  3    the accused raised many other objections, he did not
J43 1890  3    object on this crucial point at any stage of the proceedings.
J43 1900  1    That is, he did not claim in any of the four courts
J43 1900 13    through which his case progressed that the jury charge
J43 1910  7    had denied him any federal right.
J44 0010  1    How else can one explain, for example, allowing the
J44 0010 10    survival of the right to amortize bond discount and
J44 0020  6    premium (section 381(c)(9)), but not the right to amortize
J44 0030  5    bond issue expenses; or allowing a deduction for payment
J44 0040  3    of certain obligations of a transferor assumed in the
J44 0040 12    reorganization (section 381(c)(16)), but not a deduction
J44 0050  7    for theft losses sustained by a transferor prior to
J44 0060  7    a reorganization but discovered after it; or requiring
J44 0070  5    a transferor to carry over its method of depeciation
J44 0080  1    (section 381(c)(6)), but not allowing rapid amortization
J44 0080  8    of emergency facilities transferred in a reorganization;
J44 0090  7    or allowing survival of a dividend carryover to a personal
J44 0100  8    holding company (section 381(c)(14)), but not carryover
J44 0110  5    of excess tax credits for foreign taxes?
J44 0120  1       These items, and most of the others listed above,
J44 0120 10    seem quite comparable to items whose right of survival
J44 0130  9    is provided for in section 381. There does not seem
J44 0140  6    to be any reasonable basis for distinction either in
J44 0150  3    terms of the nature of the tax attribute or in terms
J44 0150 14    of tax-avoidance possibilities. With respect to items
J44 0160  8    such as these the provisions of section 381(c), viewed
J44 0170  6    in historical perspective, suggest a rule requiring
J44 0180  4    survival, whether the items are beneficial or detrimental
J44 0190  1    to the surviving corporation. To this extent some stretching
J44 0200  1    of the literal meaning of the Committee Report seems
J44 0200 10    justified, since the literal meaning conflicts with
J44 0210  6    the clear implication, if not the language, of the
J44 0220  4    statute.
J44 0220  5       It is not contended that section 381 should prescribe
J44 0230  4    the survival of all of the transferor's tax attributes.
J44 0240  1    Such an interpretation could not be justified by a
J44 0240 10    construction of the statute alone; it would certainly
J44 0250  8    violate the intention of Congress as expressed in the
J44 0260  6    Committee Report; and in at least one instance, involving
J44 0270  4    refund claims, it might be contrary to another provision
J44 0280  2    of the United States Code.
J44 0280  7    #REFUND CLAIMS#
J44 0280  9    Section 203 of the United States Code voids an assignment
J44 0290 10    of a claim against the Government unless made after
J44 0300  6    it has been allowed, the amount due has been ascertained,
J44 0310  4    and a warrant for its payment has been issued. If it
J44 0320  3    were not for judicial development of certain exceptions,
J44 0320 11    this section would prohibit a suit for refund by an
J44 0330 10    acquiring corporation for taxes paid by a transferor
J44 0340  6    corporation, even though the reorganization meets the
J44 0350  3    requirements of section 381(a).
J44 0350  7       A clearly recognized exception is a statutory merger
J44 0360  6    or consolidation. The leading case, Seaboard Air Line
J44 0370  4    Railway v& United States, held that the transferee
J44 0380  3    could sue for a refund of taxes paid by the transferor,
J44 0390  1    and it has been consistently followed. The Court said
J44 0390 10    the purpose of the section was principally to spare
J44 0400  8    the Government the embarrassment and trouble of dealing
J44 0410  5    with several parties, one of them a stranger to the
J44 0420  3    claim, and to prevent traffic in claims, particularly
J44 0420 11    tenuous claims, against the Government. Neither reason,
J44 0430  7    said the Court, applied to the case at hand; furthermore,
J44 0440  7    Congress could not be presumed to have intended to
J44 0450  5    obstruct mergers approved by the states. Other exceptions
J44 0460  2    are assignments for the benefit of creditors, corporate
J44 0460 10    dissolutions, transfers by descent, or transfers by
J44 0470  7    subrogation. Exceptions are often classified as transfers
J44 0480  6    by "operation of law".
J44 0490  1       A tax-free reorganization not complying with the
J44 0490  9    merger or consolidation statutes of the states involved
J44 0500  6    is difficult to fit into an "operation of law" mold.
J44 0510  4    Although it is in some ways comparable to a voluntary
J44 0520  3    sale of assets for cash, to which section 203 quite
J44 0520 13    clearly applies, the courts and Treasury have held
J44 0530  8    that acquiring corporations in several types of non-taxable
J44 0540  7    reorganizations may sue for refund of taxes paid by
J44 0550  5    transferors. A recent case in point is Mitchell Canneries
J44 0560  2    v& United States, in which a claim against the Government
J44 0570  1    was transferred first from a corporation to a partnership,
J44 0570 10    whose partners were former stockholders, and then to
J44 0580  8    another corporation formed by the partners. Holding
J44 0590  5    the final corporation entitled to sue on the claim,
J44 0600  3    the Court cited the Seaboard, Novo Trading, and Roomberg
J44 0610  1    cases for the proposition that "**h transfers by operation
J44 0620  1    of law or in conjunction with changes of corporate
J44 0620 10    structure are not assignments prohibited by the statute".
J44 0630  6       In an earlier case, Kingan + Co& v& United States,
J44 0640  7    an American corporation was formed for the purpose
J44 0650  6    of acquiring the stock of a British corporation in
J44 0660  2    exchange for its own stock and then liquidating the
J44 0660 11    British corporation. The anti-assignment statute was
J44 0670  7    held not to prevent the American corporation from suing
J44 0680  5    for a refund of taxes paid by the British corporation.
J44 0690  2    The transaction presumably would have qualified under
J44 0700  1    section 368(a)(1)(B) as a contractual reorganization,
J44 0700  7    followed by a section 332 liquidation, but not under
J44 0710  9    section 368(a)(1)(A) as a statutory merger of consolidation.
J44 0720  7    The Court, nevertheless, relied on the Seaboard case
J44 0730  5    and also mentioned that the shareholders of the two
J44 0740  4    corporations were the same. In substance, said the
J44 0740 12    Court, there was no transfer of equitable title.
J44 0750  8       The Treasury arrives at substantially the same conclusion,
J44 0760  6    but skirts the problem of section 203 of the United
J44 0770  5    States Code. Revenue Ruling 54-17 provides that if
J44 0780  3    the corporation against which a tax was assessed has
J44 0780 12    since been liquidated by merger with a successor corporation,
J44 0790  8    a claim for refund should be filed by the successor
J44 0800  7    in the name and on behalf of the corporation which
J44 0810  3    paid the tax, followed by the name of the successor
J44 0820  1    corporation. Proper evidence of the liquidation and
J44 0820  8    succession must also be filed. If the succession is
J44 0830  7    a matter of public record, certificates of the Secretaries
J44 0840  4    of State or other public officials having custody of
J44 0850  2    the documents will suffice; if the succession is not
J44 0850 11    of record, all documents relating to such succession,
J44 0860  7    properly certified, are required. The former proof
J44 0870  5    seems applicable to a statutory merger or consolidation,
J44 0880  3    the latter to a contractual acquisition. The Ruling
J44 0890  1    would not, however, apply to an acquisition of assets
J44 0890 10    for cash. A recent Ruling, although rather confusing,
J44 0900  5    cites and follows Rev& Rul& 54-17. The Ruling suggests
J44 0910  6    also that it applies to either a statutory or contractual
J44 0920  3    reorganization. Hence, a successor corporation in a
J44 0930  3    ~C reorganization appears entitled to sue for a refund
J44 0930 12    of taxes paid by the merged corporation despite section
J44 0940  8    203.
J44 0940  9       In a ~B reorganization, followed by a section 332
J44 0950  7    liquidation, those cases which hold that section 203
J44 0960  6    is inapplicable to transfers in liquidation appear
J44 0970  2    to permit the successor corporation to sue for refund
J44 0970 11    of taxes paid by the transferor. In fact, a cash purchase
J44 0980 10    of a corporation's stock followed by liquidation might
J44 0990  6    also be an effective way to transfer a claim for refund
J44 1000  5    if the Kimbell-Diamond doctrine is not applied to eliminate
J44 1010  4    the intermediate step.
J44 1010  7       These results appear sound. As stated in Seaboard
J44 1020  6    and numerous other cases, the two primary reasons for
J44 1030  4    the enactment of section 203 of the United States Code
J44 1040  2    were to prevent the Government from having to deal
J44 1040 11    with more than one claimant and to prevent the assignment
J44 1050  9    of meretricious claims on a contingent-fee basis. The
J44 1060  7    cases have allowed transfer of claims if beneficial
J44 1070  3    ownership is not changed. The first reason would never
J44 1080  1    apply to a reorganization transfer which meets the
J44 1080  9    conditions of section 381(a), which is the only type
J44 1090  7    presently under discussion. Section 381(a) applies
J44 1100  3    only to a transfer by liquidation of a subsidiary owned
J44 1110  2    to the extent of at least 80 per cent, a statutory
J44 1110 13    merger or consolidation, an acquisition of substantially
J44 1120  5    all a corporation's assets solely in exchange for voting
J44 1130  6    stock, or a change of identity, form, or place of organization.
J44 1140  5    In virtually every case the transferor corporation
J44 1150  1    is liquidated, and its former stockholders either own
J44 1150  9    outright, or have a continuing stock interest in, the
J44 1160  9    assets which gave rise to the tax. In these circumstances
J44 1170  7    the possibility of multiple or conflicting claims is
J44 1180  3    exceedingly remote. Furthermore, in a ~C reorganization
J44 1190  1    the continuing interest of stockholders of the corporation
J44 1200  1    which paid the tax must be greater than is necessary
J44 1200 11    in a statutory merger, to which the statute is clearly
J44 1210  7    inapplicable.
J44 1210  8       Nor is it at all likely that a "desperate" claim
J44 1220  8    against the Government will be assigned on a contingent-fee
J44 1230  7    basis in the guise of a tax-free reorganization. If
J44 1240  2    the transferor has substantial assets other than the
J44 1250  1    claim, it seems reasonable to assume no corporation
J44 1250  9    would be willing to acquire all of its properties in
J44 1260  7    the dim hope of collecting a claim for refund of taxes.
J44 1270  5    If such an unlikely transaction were to take place,
J44 1280  1    it would more logically be accomplished by a stock
J44 1280 10    purchase, followed by the prosecution of the claim
J44 1290  7    by the wholly-owned subsidiary, followed by liquidation.
J44 1300  3    In the rare case where a corporation's only substantial
J44 1310  2    asset, or its most important one, is a claim for refund,
J44 1310 13    perhaps its transfer should not be permitted, whether
J44 1320  8    the reorganization takes the form of a statutory merger
J44 1330  8    or of the acquisition of assets for stock.
J44 1340  3       It appears, then, that although the matter is not
J44 1350  1    dealt with in section 381(c), a successor corporation
J44 1350  9    in a reorganization of a type specified in section
J44 1360  7    381(a) is entitled to sue for refund of taxes paid
J44 1370  4    by a transferor corporation. Section 203 of the United
J44 1380  1    States Code has been interpreted as not applying to
J44 1380 10    claims against the Government transferred in tax-free
J44 1390  7    reorganizations. The successor corporations have been
J44 1400  4    held entitled to sue on such claims.
J44 1400 11    #OTHER TAX ATTRIBUTES OF THE TRANSFEROR#
J44 1410  6    There are certain tax attributes of a corporation whose
J44 1420  5    nature and effect might depend on the facts of the
J44 1430  3    particular reorganization involved. For example, property
J44 1430  9    "used in the trade or business" of a transferor corporation,
J44 1440 10    as defined in section 1231, presumably would not retain
J44 1450  8    its special status following a non-taxable reorganization
J44 1460  5    if it is not so used in the business of the acquiring
J44 1470  4    corporation. The parent of a group filing consolidated
J44 1480  1    returns might be treated as the same corporation following
J44 1480 10    a reorganization defined in section 368(a)(1)(F), but
J44 1490  6    as a different corporation for this purpose after a
J44 1500  6    tax-free acquisition by another corporation which had
J44 1510  3    not, for example, elected to file consolidated returns
J44 1520  1    with its own subsidiaries. Similar considerations presumably
J44 1520  8    made it difficult to prescribe a general rule where
J44 1530  9    the acquired and acquiring corporations have different
J44 1540  4    methods of accounting (section 381(c)(4)) or depreciation
J44 1550  3    (section 381(c)(6)).
J44 1550  5       Other sections of the 1954 Internal Revenue Code
J44 1560  7    provide for survival of certain of a transferor's tax
J44 1570  4    attributes following a tax-free reorganization. Section
J44 1580  2    362 requires carryover of the transferor corporation's
J44 1580  9    basis for property transferred, and section 1223 provides
J44 1590  8    for tacking on the transferor's holding period for
J44 1600  6    such property to that of the transferee. Section 169
J44 1610  3    permits a person acquiring grain-storage facilities
J44 1620  1    to elect to continue amortization over a 60-month period.
J44 1620 11    However, a similar privilege was not specifically provided
J44 1630  8    in section 168 for a person acquiring emergency facilities.
J44 1650  1    _ATTRIBUTES SIMILAR TO A LOSS CARRYOVER._
J44 1650  2       There may be certain items which are quite similar
J44 1660  1    to a net operating loss carryover or operating deficit
J44 1660 10    and whose right to survive a reorganization should
J44 1670  6    perhaps be subject to the conditions applicable to
J44 1680  3    those items. For example, suppose another excess profits
J44 1690  1    tax similar to prior laws is enacted, providing for
J44 1690 10    carryover of excess profits credits. This carryover
J44 1700  6    right has a number of things in common with a net operating
J44 1710  6    loss carryover. It is an averaging device intended
J44 1720  2    to ease the tax burden of fluctuating income; it is
J44 1720 12    a tax benefit which might be of substantial value to
J44 1730  9    a corporation which expects to have a high excess profits
J44 1740  7    tax. Under the 1939 Code this item was permitted to
J44 1750  4    survive a tax-free reorganization in the Stanton Brewery
J44 1760  2    case, but only over the dissent of Judge Learned Hand,
J44 1770  1    who wrote the majority opinion in the Sansome case,
J44 1770 10    a leading case requiring carryover of earnings and
J44 1780  6    profits in a non-taxable reorganization.
J44 1790  1       Since this type of item was not in the statute when
J44 1800  1    section 381 was enacted in 1954, one cannot say with
J44 1800 11    certainty what effect the enactment of that section
J44 1810  6    should have. With respect to this type of item, one
J44 1820  5    might properly apply the language of the Committee
J44 1830  1    Report, quoted above, which cautions against using
J44 1830  8    section 381 as a basis for treating other tax attributes
J44 1840  7    not mentioned therein.
J44 1850  1       Actually, there do not presently appear to be items
J44 1850 10    in the statute comparable to a net operating loss carryover.
J44 1860  7    Probably the primary reason for special treatment of
J44 1870  5    a net operating loss carryover is the unique opportunity
J44 1880  2    it presents for tax avoidance.
J45 0010  1    #A. REASONS FOR SELECTING MAIL QUESTIONNAIRE METHOD#
J45 0010  8    There were two methods that could have been used for
J45 0020  8    conducting the study within the resources available:
J45 0030  3    (1) interviews in depth with a few selected companies,
J45 0040  2    and (2) the more limited interrogation of a large number
J45 0040 12    of companies by means of a mail questionnaire.
J45 0050  8       While the method of interviewing a small number
J45 0060  6    of companies was appealing because of the opportunity
J45 0070  2    it might have furnished to probe fully the reasons
J45 0070 11    and circumstances of a company's practices and opinions,
J45 0080  8    it also involved the risk of paying undue attention
J45 0090  7    to the unique and peculiar problems of just a few individual
J45 0100  6    companies. As a result, it was decided that a mail
J45 0110  3    questionnaire sent to a large number of companies would
J45 0110 12    be more effective in determining the general practices
J45 0120  7    and opinions of small firms and in highlighting some
J45 0140  6    of the fundamental and recurring problems of defense
J45 0150  3    procurement that concern both industry and government.
J45 0160  1    It was also hoped that responses to a mail questionnaire
J45 0160 11    would suggest fruitful inquiries that might be made
J45 0170  7    in subsequent studies of a more detailed nature.
J45 0180  3       It is recognized that a mail questionnaire has inherent
J45 0190  3    limitations. There is the danger that the questions
J45 0190 11    will mean different things to different respondents.
J45 0200  7    Simple "yes" or "no" answers do not reveal the different
J45 0210  8    shades of opinion that the various respondents may
J45 0220  4    have. A respondent may want to make alternative answers
J45 0230  2    because he does not know the precise circumstances
J45 0230 10    assumed in the question. There is also the problem
J45 0240  9    of the respondent's frame of reference. Is the respondent
J45 0250  6    making a recommendation for his own benefit, for the
J45 0260  4    benefit of his industry, for the benefit of a specific
J45 0270  1    government department or service, for the benefit of
J45 0270  9    the defense program, for the benefit of small business,
J45 0280  8    or for the benefit of the taxpayers?
J45 0290  2       There is also the question of whether the respondent
J45 0300  1    based his answers on factual information and carefully
J45 0300  9    considered judgment, or whether his answers were casual
J45 0310  8    guesses. Finally, there is the question of how strongly
J45 0320  7    an expressed opinion is held- whether it is a firm
J45 0330  5    opinion or one that the respondent favors only slightly
J45 0340  1    over the alternatives.
J45 0340  4       The research team was very mindful of these dangers
J45 0350  3    and limitations of a mail questionnaire. Under the
J45 0350 11    circumstances, however, the team considered it would
J45 0360  7    provide the most useful information at this point.
J45 0370  5    In the preparation of the questionnaire the problems
J45 0380  3    noted above were carefully considered, and the structure
J45 0390  1    and phraseology used were designed to minimize the
J45 0390  9    effects of these limitations.
J45 0400  2    #B. DESIGN OF THE QUESTIONNAIRE#
J45 0400  7    The questionnaire was designed to elicit three types
J45 0410  6    of information: (1) the facts regarding certain characteristics
J45 0420  3    of the respondents, including their experience with,
J45 0430  2    and interest in, securing defense business; (2) the
J45 0430 10    actual selling and buying practices of the respondents;
J45 0440  8    and (3) the attitudes and opinions of the respondents
J45 0450  6    concerning bidding procedures and the methods of awarding
J45 0460  5    defense contracts. It was hoped that the facts concerning
J45 0470  2    the characteristics and practices of the respondents
J45 0470  9    would offer clues to the reasons why they took the
J45 0480 10    positions and made the recommendations which they did.
J45 0490  5       The major sections of the questionnaire (see Appendix
J45 0500  3    ~B) are devoted to the following:
J45 0510  1    _1._
J45 0520  1       Information for classifying respondents (Part ~A
J45 0520  7    of the questionnaire)
J45 0530  1    _2._
J45 0530  2       Characteristics of defense sales activities (Part
J45 0530  8    ~B of the questionnaire)
J45 0540  4    _3._
J45 0540  5       Respondents' practices in participating in advertised
J45 0550  3    bidding for defense business (Part ~C of the questionnaire)
J45 0560  2    _4._
J45 0560  3       Respondents' practices in participating in negotiated
J45 0570  2    bidding for defense purposes (Part ~D of the questionnaire)
J45 0580  1    _5._
J45 0580  2       Respondents' opinions regarding advertised bidding
J45 0590  1    (Part ~E of the questionnaire)
J45 0590  6    _6._
J45 0590  7       Respondents' opinions regarding negotiated bidding
J45 0600  3    (Part ~F of the questionnaire)
J45 0610  1    _7._
J45 0610  1       Respondents' preferences regarding the methods of
J45 0610  7    awarding defense contracts (Part ~G of the questionnaire)
J45 0620  7       The questionnaire provided a place for the name
J45 0630  7    of the respondent but stated that identification of
J45 0640  2    the respondent was optional. The questionnaire also
J45 0640  9    stated that, in any event, all replies would be treated
J45 0650 10    confidentially. It is interesting to note that 75 per
J45 0660  9    cent of those who returned the questionnaire identified
J45 0670  3    themselves.
J45 0670  4    #C. PREPARATION AND PRETEST OF THE QUESTIONNAIRE#
J45 0690  1    The research team prepared and then revised the questionnaire
J45 0700  1    over a period of six months. In June, 1960, an early
J45 0700 12    draft of the questionnaire, along with a cover letter,
J45 0710  9    was mailed to fourteen companies in the state of Washington.
J45 0720  7    Several days after the companies had received the questionnaire,
J45 0730  5    members of the research team contacted the presidents
J45 0740  3    of eleven of these companies in person or by phone
J45 0750  1    to discuss any ambiguities or difficulties the addressees
J45 0750  9    might have experienced in completing the questionnaire.
J45 0760  6    This test resulted in further revisions of the questionnaire.
J45 0770  6       The research team was concerned that responses from
J45 0780  5    firms in the state of Washington might not be typical
J45 0790  4    of those throughout the country, or that the results
J45 0790 13    might be different when no phone or personal follow-up
J45 0800 10    was made. Accordingly, another test of the questionaire
J45 0810  6    was made. The revised draft was mailed in July, 1960,
J45 0820  6    to 100 firms throughout the United States. Fifty of
J45 0830  3    the 100 firms were selected on a random basis from
J45 0830 13    3,500 names submitted by member companies of the Aerospace
J45 0840  8    Industries Association (~AIA list) and fifty were selected
J45 0850  7    in a similar manner from a list of 1,500 names compiled
J45 0860  7    by the research team from the Thomas Register (~TR
J45 0870  3    list). The method of compiling the ~AIA and ~TR lists
J45 0880  3    will be described later.
J45 0880  7       Ten days after the questionnaires were mailed, follow-up
J45 0890  5    airmail postcards were sent urging those companies
J45 0900  3    which had not yet returned their questionnaires to
J45 0900 11    do so at once. Twenty-eight returns in all were received.
J45 0910 11    The responses were carefully checked for obvious errors
J45 0920  7    in the answers or for questions that were apparently
J45 0930  4    not understood by the respondent. The cover letter,
J45 0940  2    questionnaire, and follow-up postcard were then revised
J45 0940 10    into final form (see Appendixes ~A, ~B, and ~C.
J45 0950  9    #D. COMPILATION OF MAILING LISTS#
J45 0960  4    The objective of the study was to determine the opinions
J45 0970  2    and practices of small firms selling to defense programs.
J45 0970 11    The firms to receive the questionnaires were selected
J45 0980  8    with this objective in mind.
J45 0990  3       Three lists of companies were made and used in the
J45 1000  1    study.
J45 1000  2       The first was a list of fourteen manufacturing companies
J45 1010  1    located in the state of Washington which were personally
J45 1010 10    known to the research team to be active in defense
J45 1020  9    work. The primary consideration in the compilation
J45 1030  4    of this list was convenience in discussing the questionnaire
J45 1040  2    with company officers.
J45 1040  5       The second list was derived from a group of approximately
J45 1050  6    8,000 names supplied to the research team by the Aerospace
J45 1060  5    Industries Association. These names were secured from
J45 1070  2    member companies by the Association from the forty-four
J45 1070 11    sources listed in Appendix ~F. Each source selected
J45 1080  8    from its approved bidders list about 200 firms which
J45 1090  7    it believed to be small businesses that participated
J45 1100  3    in the production of weapons and weapon support systems.
J45 1110  1    Where possible, the name of an executive was supplied
J45 1110 10    along with the company name and address.
J45 1120  6       The forty-four lists supplied by the ~AIA member
J45 1130  5    companies were merged and duplicate names were eliminated.
J45 1140  2    There was further elimination of all companies that
J45 1140 10    were not accompanied by the name of a responsible company
J45 1150 10    executive. The remaining names were then checked against
J45 1160  7    the Thomas Register list (see below) and duplicate
J45 1170  5    names were removed from the ~AIA lists. By these steps
J45 1180  4    the final ~AIA list was reduced from 8,000 to 3,500.
J45 1190  1       The third list was selected by the research team
J45 1190 10    on a random basis from the Thomas Register. It was
J45 1200  8    compiled as a control sample to determine if the opinions
J45 1210  6    and practices of companies on the lists submitted by
J45 1220  3    the members of the Aerospace industries Association
J45 1230  1    were materially different from those of other small
J45 1230  9    firms selling to defense programs. Such a difference
J45 1240  5    might have resulted from:
J45 1250  1    _1._
J45 1250  1       The fact that the Aerospace Industries Association
J45 1250  8    members whose lists were used did not comprise all
J45 1260  8    firms engaged in defense programs.
J45 1270  1    _2._
J45 1270  2       The fact that companies on the ~AIA lists were already
J45 1280  1    participating in the defense program because of the
J45 1280  9    manner of their selection. Accordingly, as "in-group",
J45 1290  6    they might have different opinions and practices than
J45 1300  4    an "out-group" composed of those companies not so participating
J45 1310  4    but interested in defense business.
J45 1310  9    _3._
J45 1320  1       The fact that ~AIA lists might not have been selected
J45 1320 10    on a random basis.
J45 1330  2       The control sample was selected by taking the bottom
J45 1340  1    name of each of the two columns of names on each page
J45 1340 13    of the alphabetical listing of manufacturers in the
J45 1350  6    Thomas Register. If the bottom name in each column
J45 1360  5    did not have a responsible executive identified, the
J45 1370  2    next name above which identified such a responsible
J45 1370 10    executive was substituted. Fifteen hundred names were
J45 1380  6    selected in this fashion.
J45 1380 10    #E. MAILING THE QUESTIONNAIRE#
J45 1390  4    Each questionnaire was mailed with a cover letter addressed
J45 1400  4    personally to the president or other executive of each
J45 1410  3    firm. The questionnaires were mailed in Seattle, Washington,
J45 1420  1    and sent by regular mail to addresses in the states
J45 1420 11    of Idaho, Montana, Oregon, and Washington. Airmail
J45 1430  5    was used for the addresses outside the Pacific Northwest.
J45 1440  4       Each letter contained a postage-prepaid return envelope
J45 1450  3    by regular mail for addresses in the Pacific Northwest,
J45 1460  2    and by airmail for those outside the Pacific Northwest.
J45 1470  1    Approximately ten days after the questionnaire was
J45 1470  8    mailed, a follow-up airmail postcard was sent to each
J45 1490  7    of the original names.
J45 1490 11       The first test mailing (to 14 companies) was made
J45 1500  9    in June, 1960. The second test mailing (to 100 companies)
J45 1510  6    was made in July, 1960. The final mailing of the questionnaire
J45 1520  5    was made late in August, 1960, to 4,900 firms consisting
J45 1530  3    of 3,450 from the ~AIA list and 1,450 from the ~TR
J45 1531  2    list.
J45 1531  3    #F. RETURNS RECEIVED#
J45 1540  3    Over 1,000 returns were received within two weeks after
J45 1550  5    the final mailing was made. They continued to arrive
J45 1560  3    until the end of December, 1960, by which time a total
J45 1560 14    of 1,343 returns were received representing 26.8 per
J45 1570  8    cent of the 5,014 questionnaires sent out. Fifty-seven
J45 1580  5    returns could not be used because they were incomplete
J45 1590  4    or received too late to be processed. The remaining
J45 1600  1    1,286 returns that were processed came from the categories
J45 1600 10    in Table 2.
J45 1610  2    #G. PROCESSING THE RETURNS#
J45 1610  6    Each questionnaire was audited for obvious mistakes
J45 1620  4    and for comments, and was identified by a serial number,
J45 1630  2    by the source list from which the company name was
J45 1630 12    selected, and by the geographical location of the company
J45 1640  9    as determined by the postmark on the return envelope.
J45 1650  5    All responses, except comments, were numerically coded
J45 1660  3    to permit use of data-processing equipment. The codes
J45 1661  1    were key-punched into ~IBM punch cards and verified.
J45 1670  7    Each return required three cards and involved key punching
J45 1680  8    228 digital columns. In order to be able to properly
J45 1690  8    relate the data for a single company each of the three
J45 1700  5    cards comprising the set for each firm was identified
J45 1710  1    with the appropriate serial number of the respondent.
J45 1710  9    The cards were then processed using standard ~IBM punch
J45 1720  7    card equipment, including an ~IBM 650 computer.
J45 1730  5       The first step in processing was to analyze the
J45 1740  4    returns from Questions 1, 2, and 3 to determine whether
J45 1750  2    the respondents were large businesses or small businesses,
J45 1750 10    in accordance with the definitions contained in ~ASPR
J45 1760  8    Section 1-701. (see Chapter /2,). The results are shown
J45 1770  8    in Table 3.
J45 1780  1       The returns from companies classified as large businesses
J45 1780  9    were set aside and not used because they were not relevant
J45 1790  9    to a study of the opinions and practices of small firms.
J45 1800  6       The second step in processing was to compare the
J45 1810  5    responses from companies on the ~AIA list with those
J45 1820  2    from companies on the ~TR list in order to determine
J45 1820 12    whether it would be appropriate to merge the responses
J45 1830  9    for the purposes of the study. The methods and results
J45 1840  7    of this comparative analysis are described in Appendix
J45 1850  4    ~H. It was concluded that it would be appropriate to
J45 1860  2    process the two groups of responses as a single sample
J45 1860 12    of all small businesses engaged in, or wishing to sell
J45 1870  9    to, defense programs. In the first place, the two groups
J45 1880  8    of firms, when combined, had characteristics and practices
J45 1890  3    that were more representative of companies that were
J45 1900  3    the subject of this study than did the firms from the
J45 1900 14    ~AIA list alone.
J46 0010  1       THE vast Central Valley of California is one of
J46 0010 10    the most productive agricultural areas in the world.
J46 0020  7    During the summer of 1960, it became the setting for
J46 0030  6    a bitter and basic labor-management struggle.
J46 0040  1       The contestants in this economic struggle are the
J46 0040  9    Agricultural Workers Organizing Committee (~AWOC) of
J46 0050  6    the ~AFL-~CIO and the agricultural employers of the
J46 0060  7    State. By virtue of the legal responsibilities of the
J46 0070  6    Department of Employment in the farm placement program,
J46 0080  4    we necessarily found ourselves in the middle between
J46 0090  1    these two forces. It is not a pleasant or easy position,
J46 0090 12    but one we have endeavored to maintain. We have sought
J46 0100  9    to be strictly neutral as between the parties, but
J46 0110  6    at the same time we have been required frequently to
J46 0120  3    rule on specific issues or situations as they arose.
J46 0120 12       Inevitably, one side was pleased and the other displeased,
J46 0130 10    regardless of how we ruled. Often the displeased parties
J46 0140  9    interpreted our decision as implying favoritism toward
J46 0150  5    the other. We have consoled ourselves with the thought
J46 0160  4    that this is a normal human reaction and is one of
J46 0170  2    the consequences of any decision in an adversary proceeding.
J46 0170 11    It is disconcerting, nevertheless, to read in a labor
J46 0180  9    weekly, "Perluss knuckles down to growers", and then
J46 0190  7    to be confronted with a growers' publication which
J46 0200  3    states, "Perluss recognizes obviously phony and trumped-up
J46 0210  3    strikes as bona fide".
J46 0210  7       For a number of years, there have been sporadic
J46 0220  5    attempts in California to organize farm workers. These
J46 0230  2    attempts met with little sucess for a variety of reasons.
J46 0240  1    They were inadequately financed, without experienced
J46 0240  7    leadership, and lacked the general support of organized
J46 0250  7    labor as a whole. This past year the pattern has been
J46 0260  6    different: The organizing program had the full support
J46 0270  3    of the ~AFL-~CIO, which supplied staff and money to
J46 0280  2    the ~AWOC, as well as moral support. Leadership was
J46 0280 11    experienced and skillful, and financial resources were
J46 0290  7    significant. Regardless of where personal sympathies
J46 0300  5    may lie as between the parties, failure to recognize
J46 0310  3    these changed conditions would be to ignore the facts
J46 0320  1    of life.
J46 0320  3       As a result of these changed conditions, the impact
J46 0330  1    of the organizational effort on agricultural labor-management
J46 0330  9    relations has been much greater than in the past. The
J46 0340 10    ~AWOC has been able to employ the traditional weapons
J46 0350  6    of labor- the strike and the picket line- with considerable
J46 0370  3    success, particularly in the area of wages.
J46 0380  1       By the very nature of the situation, it is the union
J46 0380 12    which has been able to select the time and place to
J46 0390 11    bring pressure upon management. To date, at least,
J46 0400  5    the strategy of the ~AWOC has been selective; that
J46 0410  3    is to say, to concentrate on a particular crop or activity
J46 0420  1    in a particular area at a strategic time, rather than
J46 0420 11    any broadside engagement with management throughout
J46 0430  5    an area or the State.
J46 0440  1       Primarily, we became involved in these disputes
J46 0440  8    because of our referral obligations under our farm
J46 0450  5    placement program. Normally, because agricultural labor
J46 0460  3    is not covered by unemployment insurance, we would
J46 0470  1    not expect any issues to arise regarding benefit payments
J46 0470 10    under the trade dispute provision of the Unemployment
J46 0480  6    Insurance Code, although such a situation is quite
J46 0490  6    within the realm of possibility. But the current issues
J46 0500  2    arose out of the Wagner-Peyser Act concerning referrals
J46 0520  1    to an establishment where a labor dispute exists, and
J46 0520 10    out of Public Law 78 and the Migrant Labor Agreement
J46 0530  8    if Mexican nationals were employed at the ranch.
J46 0540  5       Most of us remember and think of the Wagner-Peyser
J46 0550  1    Act in its historical sense, as a major milestone in
J46 0550 11    the development of public placement services. Infrequently
J46 0560  7    do we think of it as a living, continuing, operating
J46 0570  8    control over the system. However, when labor disputes
J46 0580  4    arise, its provisions come clearly into play. California
J46 0590  2    has accepted the provisions of that Act (as have all
J46 0590 12    other States) by enacting into our Code (Section 2051)
J46 0600  9    a provision that
J46 0610  1       The State of California accepts the provisions of
J46 0610  9    the Wagner-Peyser Act, **h and will observe and comply
J46 0620 10    with the requirements of that act.
J46 0630  4       With respect to labor disputes, the Wagner-Peyser
J46 0640  1    Act states only,
J46 0640  4       In carrying out the provisions of this Act, the
J46 0650  5    Secretary is authorized and directed to provide for
J46 0660  1    the giving of notice of strikes or lock-outs to applicants
J46 0660 12    before they are referred to employment.
J46 0680  1       Other provisions of the Act empower the Secretary
J46 0690  3    to adopt regulations necessary to carry out its provisions,
J46 0700  1    and he has done so. The pertinent regulation for our
J46 0700 11    purposes is Section 602.2 (~b), as follows:
J46 0710  7       Referrals in labor dispute situations. No person
J46 0720  5    shall be referred to a position the filling of which
J46 0730  4    will aid directly or indirectly in filling a job which
J46 0740  1    (1) is vacant because the former occupant is on strike
J46 0740 11    or is being locked out in the course of a labor dispute,
J46 0750  9    or (2) the filling of which is an issue in a labor
J46 0760  7    dispute. With respect to positions not covered by subparagraph
J46 0770  3    (1) or (2) of this paragraph, any individual may be
J46 0780  1    referred to a place of employment in which a labor
J46 0780 11    dispute exists, provided he is given written notice
J46 0790  6    of such dispute prior to or at the time of his referral.
J46 0800  4       In analyzing this regulation, let us take the last
J46 0810  3    sentence first. It permits referrals under certain
J46 0810 10    circumstances even when there is a labor dispute, provided
J46 0820  9    the individual is given written notice of such a dispute.
J46 0830  8    Assume, for example, a situation where a farm has a
J46 0840  6    packing shed and fields. The packing shed workers go
J46 0850  2    on strike. There is no dispute involving fieldwork.
J46 0850 10    We concluded that we may refer workers to the fieldwork
J46 0860  9    (but not the packing shed work) provided we give them
J46 0870  6    written notice of the packing shed dispute. So far,
J46 0880  3    no troublesome cases have arisen under this provision.
J46 0890  1       It is the first part of the Regulation that is currently
J46 0890 12    at issue. Note that it prohibits referrals under either
J46 0900  8    condition (1) or condition (2). Employer representatives
J46 0910  6    have contended that the Secretary has gone beyond his
J46 0920  5    authority by such a prohibition, on the grounds that
J46 0930  3    the Wagner-Peyser Act requires only written notice
J46 0930 11    to the prospective worker that a dispute exists.
J46 0940  8    #INTO COURT#
J46 0940 10    The matter got into the courts this way: One of the
J46 0950 10    early strikes called by the ~AWOC was at the DiGiorgio
J46 0960  8    pear orchards in Yuba County. We found that a labor
J46 0970  6    dispute existed, and that the workers had left their
J46 0980  2    jobs, which were then vacant because of the dispute.
J46 0980 11    Accordingly, under clause (1) of the Secretary's Regulation,
J46 0990  8    we suspended referrals to the employer. (Incidentally,
J46 1000  6    no Mexican nationals were involved.) The employer,
J46 1010  4    seeking to continue his harvest, challenged our right
J46 1020  3    to cease referrals to him, and sought relief in the
J46 1020 13    Superior Court of Yuba County. The court issued a temporary
J46 1030 10    restraining order, directing us to resume referrals.
J46 1040  7    We, of course, obeyed the court order. However, the
J46 1050  4    Attorney General of California, at the request of the
J46 1060  3    Secretary of Labor, sought to have the jurisdiction
J46 1060 11    over the issue removed to the Federal District Court,
J46 1070  9    on grounds that it was predominantly a Federal issue
J46 1080  7    since the validity of the Secretary's Regulation was
J46 1090  3    being challenged. However, the Federal Court held that
J46 1100  3    since the State had accepted the provisions of the
J46 1100 12    Wagner-Peyser Act into its own Code, and presumably
J46 1110  8    therefore also the regulations, it was now a State
J46 1120  7    matter. It accordingly refused to assume jurisdiction,
J46 1130  2    whereupon the California Superior Court made the restraining
J46 1140  2    order permanent. Under that order, we have continued
J46 1140 10    referring workers to the ranch. A similar case arose
J46 1150  9    at the Bowers ranch in Butte County, and the Superior
J46 1160  7    Court of that county issued similar restraining orders.
J46 1170  3       The growers have strenuously argued that I should
J46 1180  4    have accepted the Superior Court decisions as conclusive
J46 1190  1    and issued statewide instructions to our staff to ignore
J46 1190 10    this provision in the Secretary's Regulation. I cannot
J46 1200  7    accept that view, either as a lawyer or as an administrator.
J46 1210  9    #LEGAL CONSIDERATIONS#
J46 1210 11    First, let us examine briefly some of the legal considerations
J46 1220 10    involved. It is an accepted juridical principle in
J46 1230  8    California that a Superior Court decision does not
J46 1240  5    constitute a binding legal precedent. It is conclusive,
J46 1250  3    unless appealed, only upon the particular parties to
J46 1260  1    the particular action which was heard. It is not binding
J46 1260 11    upon another Superior Court, which could rule to the
J46 1270  8    contrary. Only when a decision is rendered by the District
J46 1280  6    Court of Appeal (or, of course, the Supreme Court)
J46 1290  3    is a binding precedent established. In that event,
J46 1300  1    we can correctly say that we have received an authoritative
J46 1300 11    interpretation of the matter, and one which we can
J46 1310  9    follow statewide with confidence that the policy will
J46 1320  5    not be overthrown in other Superior Courts.
J46 1330  1       But over and beyond the compelling need for a binding
J46 1330 11    precedent decision, I am convinced that the decisions
J46 1340  8    of the Superior Courts which in effect nullify the
J46 1350  6    Secretary's Regulation are not a correct interpretation
J46 1360  3    of the Secretary's power under the Federal law. I believe
J46 1370  4    I am in good company in this view. The Attorney General
J46 1380  1    of California concurs in this interpretation and has
J46 1380  9    filed an appeal from these decisions to the District
J46 1390  7    Court of Appeal. The Attorney General of the United
J46 1400  5    States, in considering the power of the Secretary to
J46 1410  3    issue similar regulations under the Wagner-Peyser Act
J46 1420  1    relating to the interstate recruitment of farm workers,
J46 1420  9    has rendered an opinion sustaining his authority. Further,
J46 1430  7    and as an evidence of legislative intent only, the
J46 1440  5    Senate of the United States recently defeated by a
J46 1450  4    substantial majority the "Holland Amendment" to the
J46 1460  1    Fair Labor Standards Act, which would have specifically
J46 1460  9    limited the regulatory authority of the Secretary in
J46 1470  8    these matters.
J46 1480  1       Next, let us consider briefly the program and administrative
J46 1480  9    implications of a failure on our part to pursue our
J46 1490 10    appeals.
J46 1490 11       There is far too much at stake for all of the parties
J46 1500 10    concerned to leave the matter hanging in midair. The
J46 1510  5    ramifications of the issue are enormous. A decision
J46 1520  2    to refer workers to jobs vacant because of a strike
J46 1520 12    would have to be applied equally to nonagricultural
J46 1530  7    situations, and might in effect place the public employment
J46 1540  6    services in the position of acting as strikebreakers.
J46 1550  3    The public interest is so dominant in such an issue
J46 1560  1    that I cannot be so presumptuous as to attempt to settle
J46 1560 12    it by an administrative order based upon conclusions
J46 1570  5    reached in a summary action in one or two Superior
J46 1580  6    Courts in the State. It is an issue which may well
J46 1590  3    reach the Supreme Court of the United States before
J46 1590 12    judicial finality is achieved.
J46 1600  4       As an administrator, I cannot place the Employment
J46 1610  3    Service in California in jeopardy of being out of compliance
J46 1620  1    with the Federal laws by my failure to pursue the avenues
J46 1620 12    of appeal open to me. To have applied statewide the
J46 1630 10    decisions of the two cases heard in Superior Court,
J46 1640  6    in my opinion, would have placed us clearly out of
J46 1650  4    compliance with the Wagner-Peyser Act and would have
J46 1660  1    immediately opened the way for the Secretary of Labor,
J46 1660 10    were he so inclined, to notify the Governor of such
J46 1670  8    noncompliance, set a date for hearing, and issue his
J46 1680  5    finding. The impact of noncompliance under the Wagner-Peyser
J46 1690  4    Act is clear: the withdrawal of some $11 million a
J46 1700  2    year of administrative funds which finance our employment
J46 1700 10    service program or, as a corollary, the taking over
J46 1710  9    by the Federal Government of its operation.
J46 1720  4       Thus far, the cases which have come before the courts
J46 1730  3    have involved only the issue of referral where the
J46 1730 12    job is vacant due to a strike- condition (1) in the
J46 1740 10    Regulation of the Secretary. None has yet arisen under
J46 1750  6    condition (2), relating to referral to jobs "the filling
J46 1760  5    of which is an issue in a labor dispute".
J46 1770  1       Here the problem is essentially one of defining
J46 1770  9    the word "filling". Should it be defined in a narrow
J46 1780  8    sense to include only such elements as job specifications,
J46 1790  4    union membership, union jurisdiction, and the like?
J46 1800  3    Or should it have a broader connotation of including
J46 1800 12    wage demands and other factors not necessarily associated
J46 1810  8    with the mechanics of "filling" the job.
J46 1820  6       Because of the uncertainty of this definition, I
J46 1830  5    solicited the interpretation of the Secretary of Labor.
J46 1840  3    He has advised me that the narrower interpretation
J46 1840 11    is the proper one; that is, that if wages, for example,
J46 1850 10    is the only issue in a labor dispute, and no workers
J46 1860  8    have left their jobs because of the dispute, we may
J46 1870  4    continue to make referrals.
J47 0010  1    _9._
J47 0010  2       Martin and Stendler present evidence that infants
J47 0010  9    and young children can and do solve many problems at
J47 0020  9    a relatively simple perceptual level simply by combining
J47 0030  5    objects and counting them. After they have developed
J47 0040  3    concepts, they are free from the necessity of manipulating
J47 0050  1    objects; they do symbolically what they once had to
J47 0050 10    do concretely. The ability to think seems to increase
J47 0060  8    consistently with age. One experiment showed the greatest
J47 0070  5    one-year difference occurring between the eleventh
J47 0080  3    and twelfth years.
J47 0080  6    _10._
J47 0080  7       Many studies indicate that elementary-school children's
J47 0090  4    interests cover the whole field of science; that their
J47 0100  3    questions indicate a genuine interest in social processes
J47 0110  1    and events; and that as they mature their interests
J47 0110 10    and capabilities change and broaden.
J47 0120  4    _EMOTIONAL CHARACTERISTICS_
J47 0120  6       How a child feels about himself, about other people,
J47 0130  7    and about the tasks confronting him in school may have
J47 0140  6    as much influence on his success in school as his physical
J47 0150  4    and intellectual characteristics. A considerable amount
J47 0160  1    of evidence exists to show that an unhappy and insecure
J47 0160 11    child is not likely to do well in school subjects.
J47 0170  8    Emotional maturity is the result of many factors, the
J47 0180  5    principal ones being the experiences of the first few
J47 0190  3    years of the child's life. However, the teacher who
J47 0190 12    understands the influence of emotions on behavior may
J47 0200  8    be highly influential in helping pupils gain confidence,
J47 0210  6    security, and satisfaction.
J47 0220  1       Concerning this responsibility of the teacher, suggestions
J47 0220  7    for helping children gain better control of the emotions
J47 0230  8    are presented in Chapter 11. The following generalizations
J47 0240  5    about the emotional characteristics of elementary-school
J47 0250  4    children may be helpful.
J47 0250  8    _1._
J47 0250  9       Typically, the young child's emotional reactions
J47 0260  6    last for a relatively short time, as contrasted to
J47 0270  5    those of an adult.
J47 0270  9    _2._
J47 0270 10       As the child grows older, his emotional reactions
J47 0280  5    lead to "moods", or emotional states drawn out over
J47 0290  4    a period of time and expressed slowly, rather than
J47 0290 13    in short, abrupt outbursts.
J47 0300  4    _3._
J47 0300  5       Studies of the growth and decline of children's
J47 0310  3    fears indicate that fears due to strange objects, noises,
J47 0320  1    falling, and unexpected movement decline during the
J47 0320  8    preschool years, but that fears of the dark, of being
J47 0330  9    alone, and of imaginary creatures or robbers increase.
J47 0340  4    _4._
J47 0340  5       Ridiculing a child for being afraid or forcing him
J47 0350  4    to meet the feared situation alone are poor ways of
J47 0350 14    dealing with the problem; more effective solutions
J47 0360  7    include explanations, the example of another child,
J47 0370  6    or conditioning by associating the feared object, place,
J47 0380  3    or person with something pleasant.
J47 0380  8    _5._
J47 0380  9       Children need help in learning to control their
J47 0390  8    emotions. The young child learns from parents and teachers
J47 0400  6    that temper tantrums, screaming, kicking, and hitting
J47 0410  3    will not get him what he wants; the older child learns
J47 0420  1    that intense emotional outbursts will not win approval
J47 0420  9    by his peers, and, therefore, makes a real effort to
J47 0430  8    control his emotions.
J47 0440  1    _6._
J47 0440  1       Children differ widely in their emotional responses.
J47 0440  8    Among infants the patterns of emotional responses are
J47 0450  7    similar; as the influence of learning and environment
J47 0460  5    are felt, emotional behavior becomes individualized.
J47 0470  1    _SOCIAL CHARACTERISTICS_
J47 0470  3       Although no national norms exist for the social
J47 0480  4    development of children, the teacher can find a great
J47 0490  1    deal of information concerning types of social behavior
J47 0490  9    normally displayed by children at various age levels.
J47 0500  7    The following summary will give the student some idea
J47 0510  6    about the social characteristics of elementary-school
J47 0520  1    children; the student will certainly want to explore
J47 0520  9    more deeply into the fascinating study of immature
J47 0530  8    individuals, struggling to meet their developmental
J47 0540  5    needs, and at the same time trying to learn the rules
J47 0550  3    of the game in the ever-expanding number of groups
J47 0550 13    in which they hold membership.
J47 0560  4    _1._
J47 0560  5       During early childhood, children are more interested
J47 0570  4    in the approval of their parents and teachers than
J47 0580  1    they are in the approval of other children; after they
J47 0580 11    have been in school a few years, their interest in
J47 0590  8    playmates of their own age increases, and their interest
J47 0600  4    in adults decreases; the child who had once considered
J47 0610  2    it a treat to accompany his parents on picnics and
J47 0610 12    family gatherings now considers it a bore. In late
J47 0620  9    childhood the influence of the group on the social
J47 0630  7    behavior of the child continues to increase; the group
J47 0640  3    sets the styles in clothing, the kind of play engaged
J47 0640 13    in, and the ideals of right and wrong behavior.
J47 0650  9    _2._
J47 0650 10       In early childhood the choice of a companion is
J47 0660  7    likely to be for another child of his own age or a
J47 0670  5    year or two older, who can do the things he likes to
J47 0670 17    do; such factors as sex, intelligence, and status in
J47 0680  9    the group do not influence his choice much at this
J47 0690  7    time.
J47 0690  8    _3._
J47 0690  9       In later childhood, an interest in team games replaces
J47 0700  7    individual play; loyalty to the group, a feeling of
J47 0710  4    superiority over those who are not members, and unwillingness
J47 0720  1    to play with members of the opposite sex become dominant
J47 0720 11    traits.
J47 0730  1    _4._
J47 0730  2       During early childhood boys tease and bully, on
J47 0730 10    the average, more than girls; those who feel inferior
J47 0740  8    or insecure engage in these activities more than do
J47 0750  6    well-adjusted children.
J47 0750  9    _5._
J47 0750 10       During late childhood boys like to tease, jostle,
J47 0760  8    and talk smart to girls; girls, who are more mature
J47 0770  6    than boys, frown upon the youthful antics of boys of
J47 0780  4    their own age.
J47 0780  7    _6._
J47 0780  8       By the time pupils reach the sixth grade, their
J47 0790  3    ethical and moral standards are fairly well developed;
J47 0800  1    they exhibit a keen interest in social, political,
J47 0800  9    and economic problems, but they frequently have vague
J47 0810  6    and incorrect notions about the terms they use rather
J47 0820  5    glibly in their routine school work.
J47 0820 11    _7._
J47 0820 12       Between the ages of two and four years, negativism
J47 0830  9    or resistance to adult authority is noticeable; after
J47 0840  5    the fourth year it begins to decline. However, as we
J47 0850  4    have seen, in later childhood the child begins to substitute
J47 0860  2    the standards of the peer group for those of parents
J47 0860 12    and teachers.
J47 0870  1    _8._
J47 0870  2       The elementary-school child grows gradually in his
J47 0870 10    ability to work in groups. The child in the primary
J47 0880 10    grades can play harmoniously with one companion, but
J47 0890  5    his desire to be first in everything gets him into
J47 0900  4    trouble when the group gets larger; he wants to be
J47 0900 14    with people, but he hasn't yet learned to cooperate.
J47 0910  9    In the middle grades, however, he begins to participate
J47 0920  6    more effectively in group activities such as selecting
J47 0930  4    a leader, helping to make plans and carry on group
J47 0940  2    activities, and setting up rules governing the enterprise.
J47 0940 10    #WHY THE TEACHER SHOULD STUDY THE INDIVIDUAL PUPIL#
J47 0950  8    Much progress has been made in the last two decades
J47 0960  8    in developing techniques for understanding children,
J47 0970  2    yet in almost any classroom today can be found children
J47 0980  1    whose needs are not being met by the school program.
J47 0980 11    Some are failing to achieve as much as their ability
J47 0990  8    would permit; others never seem able to enter fully
J47 1000  6    into the life of the classroom. These children have
J47 1010  2    been described as those who were trying to say something
J47 1010 12    to adults who did not understand.
J47 1020  5       Many school systems now employ school psychologists
J47 1030  2    and child guidance specialists. These specialists perform
J47 1040  2    valuable services by helping teachers learn to identify
J47 1040 10    children who need special attention, by suggesting
J47 1050  7    ways of meeting the needs of individual children in
J47 1060  5    the regular classroom, and by providing clinical services
J47 1070  2    for severely maladjusted children. It is the classroom
J47 1080  1    teacher, however, who has daily contacts with pupils,
J47 1080  9    and who is in a unique position to put sound psychological
J47 1090  7    principles into practice. Indeed, a study of the individual
J47 1100  7    child is an integral part of the work of the elementary-school
J47 1110  5    teacher, rather than merely an additional chore.
J47 1120  2       Teachers and administrators in many elementary schools
J47 1130  1    have assumed that dividing the pupils in any grade
J47 1130 10    into groups on the basis of test scores solves the
J47 1140  7    problem of meeting the needs of individuals. What they
J47 1150  3    should recognize is that children who have been placed
J47 1160  1    in one of these groups on a narrow academic basis still
J47 1160 12    differ widely in attributes that influence success,
J47 1170  6    and that they still must be treated as individuals.
J47 1180  4    Although the teacher must be concerned with maintaining
J47 1190  2    standards, he must also be concerned about understanding
J47 1200  1    differences in ability, background, and experience.
J47 1210  1    _FACTORS THAT INHIBIT LEARNING AND LEAD TO MALADJUSTMENT_
J47 1210  6       Studies conducted in various sections of the United
J47 1220  5    States indicate that many children in elementary schools
J47 1230  2    are maladjusted emotionally, and that many of them
J47 1230 10    are failing to make satisfactory progress in school
J47 1240  8    subjects. One study, which involved 1,524 pupils in
J47 1250  6    grades one to six, found that 12 percent of the pupils
J47 1260  4    were seriously maladjusted and that 23 percent were
J47 1260 12    reading a year below capacity. It is apparent, therefore,
J47 1270  9    that the teacher needs to know what factors have a
J47 1280  8    vital bearing on the learning and adjustment of children.
J47 1290  4    When a child fails to meet the standards of the school
J47 1300  3    in his rate of learning, insecurity, unhappiness, and
J47 1300 11    other forms of maladjustment frequently follow. These
J47 1310  7    maladjustments in turn inhibit learning, and a vicious
J47 1320  7    cycle is completed.
J47 1320 10       It is easy for the teacher to rationalize that the
J47 1330  9    child who is not achieving in accordance with his known
J47 1340  6    ability is just plain lazy, or that the child who lacks
J47 1350  4    interest in school, who dislikes the teacher, or who
J47 1360  1    is overaggressive is a hopeless delinquent. The causes
J47 1360  9    of retardation and maladjustment may be found in physical
J47 1370  8    factors, such as defective speech or hearing, impaired
J47 1380  5    vision, faulty motor coordination, a frail constitution,
J47 1390  2    chronic disease, malnutrition, and glandular malfunctioning.
J47 1400  1    They may be caused by poor health habits, such as faulty
J47 1400 12    eating and sleeping habits. They may be related to
J47 1410  9    mental immaturity or lack of aptitude for certain types
J47 1420  6    of school work. The curriculum may be too difficult
J47 1430  4    for some and too easy for others. Teaching methods,
J47 1440  1    learning materials, and promotion policies may inhibit
J47 1440  8    learning and lead to maladjustments for some children.
J47 1450  6    Unwholesome family relations, broken homes, and undesirable
J47 1460  5    community influences may also be contributing factors.
J47 1470  2    This is only a minimum list of the factors that inhibit
J47 1480  1    learning and contribute to maladjustment among children.
J47 1480  8    Moreover, these conditions do not influence all children
J47 1490  8    in the same manner. A vision handicap that may produce
J47 1500  6    nervous tension and reading disability for one child
J47 1520  4    may spur another child on to even greater achievement
J47 1530  1    in reading. An impoverished home that may discourage
J47 1530  9    one child may constitute the motivation causing another
J47 1540  5    to work harder for successful achievement in school.
J47 1550  4    At any rate, the teacher who recognizes common causes
J47 1560  2    of retardation and maladjustment can frequently do
J47 1560  9    a great deal to eliminate the causes of pupil discouragement,
J47 1570  8    failure, and maladjustment.
J47 1580  1    #SOURCES OF INFORMATION ABOUT CHILDREN#
J47 1580  6    Successful teaching involves getting enough information
J47 1590  5    about each pupil to understand why he behaves as he
J47 1600  6    does in certain situations and how his achievement
J47 1610  1    in school is being influenced by various factors in
J47 1610 10    his environment. The classroom teacher cannot be expected
J47 1620  7    to be as proficient in the use of the techniques of
J47 1630  6    child study as the clinical psychologist; he cannot
J47 1640  3    be expected to administer all the tests and gather
J47 1640 12    all the information needed about each child in his
J47 1650  7    classroom. He can be expected, however, to examine
J47 1660  4    and interpret the information already available; to
J47 1670  2    refine and extend his own techniques for studying individual
J47 1670 11    children; and to utilize opportunities, arising in
J47 1680  7    connection with regular classroom activities, for gaining
J47 1690  5    a better understanding of his pupils. This section
J47 1700  4    deals with some of the sources of information that
J47 1710  1    can be tapped by the classroom teacher; Chapter 15
J47 1710 10    provides more detailed information about specific techniques
J47 1720  6    used in evaluating pupil progress.
J47 1730  2    _CUMULATIVE RECORDS_
J47 1730  4       Most school systems today maintain a system of cumulative
J47 1740  5    records of pupils. These records, when systematically
J47 1750  1    maintained, provide much information about the children,
J47 1750  8    which the teacher can use in guidance, instruction,
J47 1760  8    grouping, and reporting to parents. Each teacher has
J47 1770  6    in his classroom a metal file, equipped with a lock,
J47 1780  4    which is used to store cumulative record folders. During
J47 1790  1    summer vacation periods these records are stored in
J47 1790  9    the office of the principal. Only the teacher and other
J47 1800  8    professional personnel are permitted to see or use
J47 1810  6    these records. Each new teacher to whom the pupil goes
J47 1820  3    is expected to study the information in the cumulative
J47 1820 12    record and to bring it up to date. Some school systems
J47 1830 11    provide written instructions to principals and teachers
J47 1840  5    designating when certain information is to be recorded
J47 1850  5    on cumulative record forms and explaining how the information
J47 1860  3    is to be summarized and used.
J48 0010  1       THE SUMMARY REPORT ON DESEGREGATION PROGRESS IN
J48 0010  8    EDUCATION IN THE MIDDLE-SOUTH REGION, 1959-1960" clearly
J48 0020  8    shows two pieces of information. The Summary Report,
J48 0030  5    which was prepared for this Conference, indicates,
J48 0040  2    first, that actual or pending school desegregation
J48 0040  9    is increasing; second, that both actual and pending
J48 0050  8    desegregation is, with few exceptions, the product
J48 0060  6    or result of court order. The Report together with
J48 0070  3    other information suggests that desegregation in the
J48 0080  1    schools is slow.
J48 0080  4       The Middle-South Region, as defined by the National
J48 0090  2    Association of Intergroup Relations Officials (~NAIRO),
J48 0100  1    consists of the states of Kentucky, Maryland, Tennessee,
J48 0100  9    West Virginia, Delaware, Virginia and the District
J48 0110  7    of Columbia. The states and the Nation's Capital all
J48 0120  7    have some desegregation, in fact some dating back to
J48 0130  6    1954; but the region also embraces some of the staunchest
J48 0140  3    opposition. Desegregation has been opposed by massive
J48 0150  1    resistance, interposition, pupil assignment (with no
J48 0150  7    assignments of Negro children), and hate bombings.
J48 0160  6    #DESEGREGATION AND COURT ORDER#
J48 0170  1    Now let's look at the evidence that shows the increase
J48 0170 11    in desegregation and such increase as a result of court
J48 0180  9    order. First Kentucky. Elementary school desegregation
J48 0190  4    came to Owen and Union Counties, which already had
J48 0200  4    high school desegregation. The action was a result
J48 0210  1    of a court order, the citation for which (and for other
J48 0210 12    court action mentioned in this paper) is taken from
J48 0220  8    the Summary Report for this Conference. In Maryland
J48 0230  4    the Harford County Board of Education had prepared
J48 0240  3    a desegregation plan which the Court approved but which
J48 0250  2    a plaintiff had challenged; thus, county school board
J48 0250 10    and Federal court joined hands here to promote school
J48 0260  8    desegregation.
J48 0270  1       Additional school desegregation in Tennessee resulted
J48 0270  6    from a court order opening a school serving children
J48 0280  7    of military personnel. Similarly, further desegregation
J48 0290  3    may come from suits pending in three Tennessee cities,
J48 0300  2    Chattanooga, Knoxville, and Memphis. In West Virginia
J48 0310  1    the number of white and Negro children attending the
J48 0310 10    same school has increased almost twofold. There are
J48 0320  7    no court decisions here.
J48 0330  1       As in Maryland, a District court has approved an
J48 0330 10    official plan of school desegregation in Delaware.
J48 0340  6    As a result of the State Board of Education plan, Negro
J48 0350  6    children entered heretofore white elementary schools
J48 0360  3    in five districts. The Third Circuit Court of Appeals
J48 0370  2    is reviewing an appeal from the plan.
J48 0370  9       In Virginia court orders led to desegregation in
J48 0380  7    Charlottesville and Floyd Counties. Desegregation in
J48 0390  3    Pulaski County is pending because of court order, although
J48 0400  3    date of admission is not yet determined. Negro parents
J48 0410  1    have filed application for admission of additional
J48 0410  8    children to schools in Alexandria, Arlington, Fairfax,
J48 0420  5    and Warren Counties. Desegregation can also result
J48 0430  4    from additional suits brought by Negro plaintiffs against
J48 0440  2    school boards in Newport News, Fairfax County, Arlington
J48 0450  1    County, and Norfolk.
J48 0450  4       As a school district, the District of Columbia has
J48 0460  4    had desegregated schools since 1954, shortly after
J48 0470  2    the Supreme Court decision.
J48 0470  6       This recapitulation makes it clear that school desegregation
J48 0480  6    continues, including the Old Dominion State, in spite
J48 0490  4    of its stern resistance. The record is clear that increase
J48 0500  2    in school desegregation last year came largely as a
J48 0500 11    result of a court order; that on the immediate horizon,
J48 0510 10    if further large-scale (relatively speaking) desegregation
J48 0520  4    comes, it will result from court orders on suits filed
J48 0530  5    in several Middle-South states. Knowledge that thousands
J48 0540  3    of school districts are involved and observation that
J48 0550  1    school desegregation has occurred in only a handful
J48 0550  9    in 1959-1960 leads to a conclusion that
J48 0560  5    desegregation-from-court-order
J48 0560  9    is slow.
J48 0570  1       Before turning to my views as to the problems and
J48 0570 11    issues before us at this Regional Conference, I wish
J48 0580  6    to note a small item in the Summary Report as it refers
J48 0590  5    to the District of Columbia. That reference in the
J48 0600  3    Report is "continuation of the trend toward an all-Negro
J48 0610  1    school system", a remark apparently occasioned by the
J48 0610  9    increase of Negro school population from 74.1 per cent
J48 0620  7    to 76.7 per cent. I see no real prospects for an all-Negro
J48 0630  7    school population. West of Rock Creek Park is still
J48 0640  4    monolithically white and is in fact increasingly white
J48 0650  1    as a result of Georgetown's conversion-by-renovation
J48 0650  9    housing program. Nearby Foggy Bottom is ousting Negroes.
J48 0660  7    The large acreage in the Southwest Redevelopment area
J48 0670  6    beckons white people- what with high-priced town houses
J48 0680  5    and elevator apartments. The Capitol Hill rehabilitation,
J48 0690  2    like Foggy Bottom, replaces Negroes with whites (but
J48 0700  1    also replaces some whites with other whites).
J48 0700  8       The sharpest break with tradition, the past and
J48 0710  7    present of "White Ring Around a Black Core", may come
J48 0720  6    with the opening of nearby Montgomery County suburbs
J48 0730  2    to Negro residents and, presumably, the consequent
J48 0730  9    conclusion of some whites that they cannot escape the
J48 0740  9    Negro by fleeing to the suburbs. In fact, short of
J48 0750  7    fleeing to Warrenton, Virginia, or Rockville, Maryland,
J48 0760  2    white people may have to live with Negroes. All of
J48 0770  2    this must be taken into account before the image of
J48 0770 12    an "all-Negro" D&C& public school system is conjured
J48 0780  7    up.
J48 0780  8    #PROBLEMS TO SOLVE#
J48 0790  2    From the Summary Report before us at this Conference,
J48 0790 11    a number of problems are apparent. They vex us and
J48 0800  9    perplex us but generally do not divide us like the
J48 0810  7    issues which follow the problems.
J48 0820  1       First, how can we step up the desegregation movement?
J48 0820  9    It is slow. I believe we all want more schools where
J48 0830  9    white and Negro together can and do attend. I believe
J48 0840  7    we all want no child denied admission to a school on
J48 0850  4    account of his color. In general, members of ~NAIRO
J48 0860  1    would certainly want a child admitted to a school nearest
J48 0860 11    his residence or within his residence zone. How to
J48 0870  8    achieve this objective is a problem, but we are not
J48 0880  7    divided on what we want.
J48 0880 12       Second, as we increase the number of desegregated
J48 0890  7    school districts and schools themselves, how can we
J48 0900  4    achieve this action through school board action? It
J48 0910  2    may be county school board or state school board action,
J48 0910 12    as well as that of municipal school boards. Correlatively,
J48 0920  8    can we reduce the role of the district courts, so that
J48 0930  8    the action is that of the people of the community or
J48 0940  5    other school district and not that of the law court?
J48 0950  1    This is a problem, and I believe there is little difference
J48 0950 12    of opinion that wherever possible a local school board
J48 0960  9    should devise and effect a plan of desegregation.
J48 0970  6       Third, how can we insure a systematic and continuing
J48 0980  3    group relations education in the schools? Not simply
J48 0990  2    a brief program when the schools are actually desegregated
J48 0990 11    but a continuing program that also promotes integration,
J48 1000  8    that encourages the children and teachers not to look
J48 1010  8    at each other as white or Negro, but as human beings.
J48 1020  5    Again the problem is how to get it done and in what
J48 1030  3    form to offer the group relations education; not whether
J48 1030 12    it should be done.
J48 1040  4       Fourth, in the segregated school system, during
J48 1050  1    the period before desegregation, how can we assure
J48 1050  9    equal opportunity? In fact, in the desegregated school
J48 1060  7    system which may have a good many schools with all-Negro
J48 1070  6    population, how can we assure equal opportunity? This
J48 1080  2    is a problem, but we are not divided over its importance
J48 1090  1    or by its existence.
J48 1090  5       Fifth, in the segregated school system or in the
J48 1100  4    all-Negro or all-white schools, how can we encourage
J48 1100 14    better group relations or an improved attitude toward
J48 1110  8    people who do not belong to the group? Can we help
J48 1120  7    children adjust to "images of other children" when
J48 1130  3    the latter are not actually present.
J48 1130  9    #NOW, THE ISSUES#
J48 1140  1    If we have five problems whose solution we seek in
J48 1140 11    relatively united fashion, then there are twice as
J48 1150  8    many issues which, I judge, sharply divide us, intergroup
J48 1160  4    relations practitioners and lay people.
J48 1170  1    _ISSUE NO& 1. PUPIL ASSIGNMENT._
J48 1170  5       Since on the one hand school desegregation has come
J48 1190  3    in Virginia hand-in-glove with pupil assignment, shall
J48 1200  1    we support the plan? On the basis of pupil assignment
J48 1200 11    criteria, Judge Albert Bryan has assigned Negro children
J48 1210  8    to formerly white schools in Arlington and Alexandria,
J48 1220  6    Virginia. Shall we support pupil assignment? On the
J48 1230  4    other hand, looking at the larger picture, is it true
J48 1240  4    that pupil assignment has effectively cut off, blocked,
J48 1240 12    or reduced school desegregation to a "trickle"? Shall
J48 1250  8    we therefore oppose the plan? This question is an issue
J48 1260  9    because it likely divides us into two camps- those
J48 1270  6    for or against pupil assignment.
J48 1290  1    _ISSUE NO& 2. TEACHER ASSIGNMENT IN ORDER TO DESEGREGATE._
J48 1290  7       In large cities like Baltimore, Louisville, and
J48 1300  5    Washington, D&C&, should school desegregation be extended
J48 1310  4    to all-Negro and all-white schools by assigning white
J48 1320  3    and Negro teachers, respectively? On the one hand do
J48 1330  2    we argue the Supreme Court decision required only that
J48 1330 11    a child not be denied admission to a school on account
J48 1340 10    of his race? Or should we argue that if we want adjustment
J48 1350  8    of children to children of different races and that
J48 1360  4    that is impossible in an all-something-or-the-other
J48 1370  1    school, we must at least provide him some opportunity
J48 1370 10    to adjust to people of another race within the school
J48 1380  9    namely, to a teacher of another race. We can argue
J48 1390  5    that where residence makes pupil desegregation impossible
J48 1400  2    teacher assignment can create a partially desegregated
J48 1410  1    situation.
J48 1420  1    _ISSUE NO& 3. THE PLAINTIFF IN SCHOOL DESEGREGATION
J48 1430  1    CASES._
J48 1430  1       The earlier part of my statement deals with the
J48 1430 10    court orders that resulted in desegregation. In each
J48 1440  6    instance the plaintiff was a private citizen. In thousands
J48 1450  4    of school districts, indeed, in the entire State of
J48 1460  3    Mississippi, no plaintiff has come forth. And I have
J48 1460 12    established that the action of municipal, county, or
J48 1470  8    state school boards or boards of education is small,
J48 1480  7    infinitesimally small in comparison with the number
J48 1490  4    of districts. Is the requirement that the plaintiff
J48 1490 12    be a person actually denied admission to a school a
J48 1500 10    sound requirement? Should Congress authorize the Attorney
J48 1510  6    General to file suit to accomplish admission of a child
J48 1520  5    to a school to which he is denied entrance? Even though
J48 1530  3    in civil rights legislation in 1957 and 1960 the provision
J48 1540  1    for the Attorney General to act was eliminated, should
J48 1540 10    we nevertheless support such a clause? This is an issue,
J48 1560  9    for it divides people rather sharply.
J48 1590  1    _ISSUE NO& 4. WITHHOLDING OF FUNDS TO SCHOOLS THAT
J48 1590  2    DENY CHILDREN ON ACCOUNT OF RACE._
J48 1590  8       This is the Powell Amendment, which in 1957 divided
J48 1600  5    even a "liberal" group like the American Veterans Committee
J48 1610  3    (~AVC). Should we support a clause in Federal school
J48 1620  2    construction or school assistance legislation that
J48 1620  8    would deny Federal funds to a school district that
J48 1630  9    denies admission to a child on account of his race?
J48 1640  7    This is softer than earlier Powell amendments which
J48 1650  2    would have denied funds to all segregated school districts.
J48 1660  1    There is nonetheless considerable argument against
J48 1660  7    the clause, softened though it be, on the grounds that
J48 1670  9    Federal aid is so necessary to the public schools.
J48 1680  5    The Federal funds limitation enlists the support of
J48 1690  2    many, the opposition of quite a few.
J48 1710  1    _ISSUE NO& 5. REQUIRED PUBLIC EDUCATION._
J48 1710  3       Should a political subdivision, state or county
J48 1720  1    or municipality, be required to furnish public education?
J48 1720  9    For the school year, 1959-1960, the Prince Edward County
J48 1730  9    (Virginia) Board of Supervisors voted not to provide
J48 1740  7    funds for public education, and the school board therefore
J48 1750  5    could provide no public education- for white or Negro
J48 1760  3    children. Is public education in this American democracy
J48 1770  1    of such importance that no child should be denied public
J48 1770 11    education? Or is this subject a matter of self-determination,
J48 1780 10    a matter of states rights or county rights? If people
J48 1790  7    don't want to provide public education, should they
J48 1800  4    be forced to do so? Even if we marshal substantial
J48 1810  1    agreement behind mandatory public education, we likely
J48 1810  8    cannot expect that all the states will enact the legislation.
J48 1820 10    Should the requirement, which must therefore be Federal
J48 1830  7    in nature, be legislated by the United States Congress?
J48 1840  6    Or must it become law by amendment of the United States
J48 1850  5    Constitution? We actually have two issues in this question-
J48 1860  4    goal and method.
J48 1880  1    _ISSUE NO& 6. FEDERAL RESPONSIBILITY FOR EDUCATION
J48 1880  3    OF THE CITIZENS._
J48 1880  6       If the above issue is settled by requiring public
J48 1890  4    education for all citizens, Issue No& 6 may be moot.
J48 1900  3    If, on the other hand, it is not settled, or while
J48 1900 14    it is being debated and resolved, does the Federal
J48 1910  7    government have a responsibility in situations like
J48 1920  4    that in Prince Edward County? Nearly half the children
J48 1930  4    still receive no education. Must or should the Federal
J48 1940  1    government help? Should the government directly provide
J48 1940  8    education for the children who want public education?
J49 0010  1       The next question is whether board members favor
J49 0010  9    their own social classes in their roles as educational
J49 0020  7    policy-makers. On the whole, it appears that they do
J49 0030  6    not favor their own social classes in an explicit way.
J49 0040  2    Seldom is there an issue in which class lines can be
J49 0040 13    clearly drawn. A hypothetical issue of this sort might
J49 0050  9    deal with the establishment of a free public junior
J49 0060  6    college in a community where there already was a good
J49 0070  4    private college which served the middle-class youth
J49 0070 12    adequately but was too expensive for working-class
J49 0080  8    youth. In situations of this sort the board generally
J49 0090  7    favors the expansion of free education. Campbell studied
J49 0100  3    the records of 172 school board members in twelve western
J49 0110  2    cities over the period of 1931-40 and found "little
J49 0110 12    or no relationship between certain social and economic
J49 0120  7    factors and school board competence", as judged by
J49 0130  6    a panel of professional educators who studied the voting
J49 0140  4    records on educational issues.
J49 0140  8       The few cases of clear favoritism along social-class
J49 0150  7    lines are as likely as not to involve representatives
J49 0160  4    of the working class on the school board who favor
J49 0170  2    some such practice as higher wages for janitors rather
J49 0170 11    than pay increases for teachers, and such issues are
J49 0180  8    not issues of educational policy.
J49 0190  2       In general, it appears that trustees and board members
J49 0200  1    attempt to represent the public interest in their administration
J49 0200 10    of educational policy, and this is made easier by the
J49 0210 10    fact that the dominant values of the society are middle-class
J49 0220  8    values, which are generally thought to be valid for
J49 0230  5    the entire society. There have been very few cases
J49 0240  1    of explicit conflict of interest between the middle
J49 0240  9    class and any other class in the field of educational
J49 0250  8    policy. If there were more such cases, it would be
J49 0260  5    easier to answer the question whether the policy-makers
J49 0270  1    favor their own social classes.
J49 0270  6       There is currently a major controversy of public
J49 0280  4    education in which group interests and values are heavily
J49 0290  3    engaged. This is the issue of segregated schools in
J49 0290 12    the South. In this case it is primarily a matter of
J49 0300 11    conflict of racial groups rather than social-class
J49 0310  6    groups. Thus, the white middle and lower classes are
J49 0320  4    arrayed against the Negro middle and lower classes.
J49 0330  1    This conflict may be resolved in a way which will suit
J49 0330 12    white middle-class people better than it suits white
J49 0340  7    lower-class people. If this happens, there may be some
J49 0350  5    class conflict in the South, with school boards and
J49 0360  2    school teachers taking the middle-class position.
J49 0360  9    #THE EDUCATIONAL PROFESSION#
J49 0370  2    The members of the educational profession have a major
J49 0380  3    voice in the determination of educational policy, their
J49 0380 11    position being strongest in the universities. They
J49 0390  7    are mostly upper-middle- and lower-middle-class people,
J49 0400  6    with a few in the upper class. Do they make class-biased
J49 0410  4    decisions?
J49 0410  5       In a society dominated by middle-class values and
J49 0420  3    working in an institution which transmits and strengthens
J49 0430  1    these social values, it is clear that the educational
J49 0430 10    profession must work for the values which are characteristic
J49 0440  9    of the society. There is no problem here. The problem
J49 0450  8    arises, if it does arise, when the educator has to
J49 0460  5    make a choice or a decision within the area of his
J49 0470  1    professional competence, but which bears some relation
J49 0470  8    to the social structure. For instance, in giving school
J49 0480  7    grades or in making recommendations for the award of
J49 0490  5    a college scholarship, does he consciously or unconsciously
J49 0500  3    favor students of one or another social class? Again,
J49 0510  1    in deciding on the content and method of his teaching,
J49 0510 11    does he favor a curriculum which will make his students
J49 0520  8    stronger competitors in the race for higher economic
J49 0530  5    status, or does he favor a curriculum which strengthens
J49 0540  2    students in other ways?
J49 0540  6       The answers to questions such as these certainly
J49 0550  5    depend to some extent upon the educator's own social-class
J49 0560  4    position and also upon his social history, as well
J49 0560 13    as upon his personality and what he conceives his mission
J49 0570 10    to be as an educator. In a set of case studies of teachers
J49 0580  9    with various social-class backgrounds, Wattenberg illustrates
J49 0590  4    a variety of approaches to students and to teaching
J49 0600  4    which depend upon the teacher's personality as well
J49 0610  2    as on his social-class background. One upward-mobile
J49 0610 11    teacher may be a hard taskmaster for lower-class pupils
J49 0620  9    because she wants them to develop the attitudes and
J49 0630  5    skills that will enable them to climb, while another
J49 0640  2    upward-mobile teacher may be a very permissive person
J49 0640 11    with lower-class pupils because he knows their disadvantages
J49 0650  9    and deprivations at home, and he hopes to encourage
J49 0660  8    them by friendly treatment.
J49 0670  1       One social-class factor which plays a large part
J49 0670 10    in educational policy today is the fact that a great
J49 0680  8    many school and college teachers are upward mobile
J49 0690  3    from urban lower-class and lower-middle-class families.
J49 0700  1    Their own experience in the social system influences
J49 0700  9    their work and attitudes as teachers. While this influence
J49 0710  7    is a complex matter, depending upon personality factors
J49 0720  4    in the individual as well as upon his social-class
J49 0730  3    experience, there probably are some general statements
J49 0730 10    about social-class background and educational policy
J49 0740  7    that can be made with a fair degree of truth.
J49 0750  6       Teachers who have been upward mobile probably see
J49 0760  3    education as most valuable for their students if it
J49 0760 12    serves students as it has served them; that is, they
J49 0770 10    are likely to favor a kind of education that has
J49 0780  7    vocational-advancement
J49 0780  9    value. This does not necessarily mean that such teachers
J49 0800  5    will favor vocational education, as contrasted with
J49 0810  4    liberal education, but they are likely to favor an
J49 0820  2    approach to liberal education which has a maximal
J49 0820 10    vocational-advancement
J49 0830  1    value, as against a kind of "pure" liberal education
J49 0830 10    that is not designed to help people get better jobs.
J49 0840 10       There is no doubt that higher education since World
J49 0850  6    War /2, has moved away from "pure" liberal education
J49 0860  4    toward greater emphasis on technology and specialization.
J49 0870  2    There are several causes for this, one being rapid
J49 0870 11    economic development with increasing numbers of middle-class
J49 0880  8    positions requiring engineering or scientific training.
J49 0890  6    But another cause may lie in the experience of so many
J49 0900  8    new postwar faculty members with their own use of education
J49 0910  5    as a means of social advancement.
J49 0910 11       Compared with the college and university faculty
J49 0920  7    members of the period from 1900 to 1930, the new postwar
J49 0930  7    faculty members consist of more children of immigrants
J49 0931  3    and more children of urban working-class fathers. Their
J49 0940  7    experience is quite in contrast with that of children
J49 0950  5    of upper- and upper-middle-class native-born parents,
J49 0960  2    who are more likely to regard education as good for
J49 0960 12    its own sake and to discount the vocational emphases
J49 0970  8    in the curriculum.
J49 0970 11    #THE "PUBLIC INTEREST" GROUPS#
J49 0980  4    Educational policies are formed by several groups who
J49 0990  4    are officially or unofficially appointed to act in
J49 1000  1    the public interest. Legislators are one such group,
J49 1000  9    and state legislators have major responsibility for
J49 1010  5    educational legislation. They generally vote so as
J49 1020  4    to serve their own constituency, and if the constituency
J49 1030  1    should be solidly middle class or solidly lower class,
J49 1030 10    they might be expected to vote and work for middle-
J49 1040 10    or for lower-class interests in education. However,
J49 1050  4    there are relatively few such political constituencies,
J49 1060  1    and, as has been pointed out, there is seldom a clear-cut
J49 1060 13    distinction between the educational interests of one
J49 1070  7    social class and those of another.
J49 1080  3       Another public interest group is the commission
J49 1090  1    of laymen or educators which is appointed to study
J49 1090 10    an educational problem and to make recommendations.
J49 1100  5    Generally these commissions work earnestly to represent
J49 1110  4    the interest of the entire society, as they conceive
J49 1120  1    it. Nevertheless, their conclusions and recommendations
J49 1120  7    cannot please everybody, and they often represent a
J49 1130  8    particular economic or political point of view. For
J49 1140  5    instance, there have been two Presidential Commissions
J49 1150  2    on higher education since World War /2,. President
J49 1160  1    Truman's Commission on Higher Education tended to take
J49 1160  9    a liberal, expansionist position, while President Eisenhower's
J49 1170  6    Committee on Education Beyond the High School was slightly
J49 1180  9    more conservative. Both Commissions consisted of upper-middle-
J49 1190  8    and upper-class people, who attempted to act in the
J49 1200  7    public interest.
J49 1200  9       An example of a more definite class bias is noted
J49 1210  7    in proceedings of the Commission on the Financing of
J49 1220  4    Higher Education sponsored by the Association of American
J49 1230  2    Universities and supported by the Rockefeller Foundation
J49 1240  1    and the Carnegie Corporation. This Commission recommended
J49 1240  8    against the use of federal government funds for the
J49 1250  9    assistance of private universities and against a broad
J49 1260  5    program of government-supported scholarships. This
J49 1270  2    might be said to be an upper- or an upper-middle-class
J49 1270 15    bias, but the Commission published as one of its staff
J49 1280 10    studies a book by Byron S& Hollingshead entitled Who
J49 1290  6    Should Go to College? which recommended a federal government
J49 1300  6    scholarship program. Furthermore, the Commission set
J49 1310  4    up the Council for Financial Aid to Education as a
J49 1320  3    means of encouraging private business to increase its
J49 1320 11    support of private higher education. Thus, the Commission
J49 1330  8    acted with a sense of social responsibility within
J49 1340  6    the area of its own convictions about the problem of
J49 1350  5    government support to private education.
J49 1360  1       Then there are the trustees and officers of the
J49 1360  9    great educational foundations, who inevitably exert
J49 1370  4    an influence on educational decisions by their support
J49 1380  3    or refusal to support various educational programs,
J49 1380 10    experiments, and demonstrations. These people are practically
J49 1390  7    always upper- or upper-middle-class persons, who attempt
J49 1400  8    to act in what they regard as the interest of the entire
J49 1410  7    society.
J49 1410  8       Finally there are the parent organizations and the
J49 1420  6    laymen's organizations such as the National Association
J49 1430  3    of Parents and Teachers, and the Citizens Committee
J49 1440  1    on Public Schools. These have an upper-middle-class
J49 1440 10    leadership and a middle-class membership, with rare
J49 1450  8    exceptions, where working-class parents are active
J49 1460  4    in local P&-T&A& matters. Like the other policy-making
J49 1470  4    groups, these are middle class in their educational
J49 1480  1    attitudes, and they attempt to act in the general public
J49 1480 11    interest, as they see it.
J49 1490  5       In general it appears that educational decisions
J49 1500  1    and educational policies are made by people who intend
J49 1500 10    to act in the interests of the society as a whole.
J49 1510  8    They are predominantly middle- and upper-class people,
J49 1520  5    and undoubtedly share the values and attitudes of those
J49 1530  3    classes. They may be unaware of the existence of lower-class
J49 1540  1    values and consequently fail to take them into account.
J49 1540 10    But there is very little frank and conscious espousal
J49 1550  8    of the interests of any one social class by the people
J49 1560  6    who have the power to make decisions in education.
J49 1570  1    They think of themselves as trustees for the entire
J49 1570 10    society and try to serve the entire society.
J49 1580  8    #ATTEMPTS TO INFLUENCE SOCIAL STRUCTURE THROUGH EDUCATION#
J49 1590  4    Educational policy in the United States has as an explicit
J49 1600  5    goal the maximization of economic and cultural opportunity.
J49 1620  1    In so far as this goal is achieved, the society becomes
J49 1620 12    more fluid, artificial barriers to social mobility
J49 1630  7    are reduced, and people at the lower end of the social
J49 1640  8    hierarchy share more fully in the material and cultural
J49 1650  3    goods of society. On the other hand, there is a counterbalancing
J49 1660  1    purpose in education which is to pass on the advantages
J49 1670  1    of the parents to their children. This leads to efforts
J49 1670 11    at exclusiveness through private schools and to the
J49 1690  7    maintenance of social stratification in the schools.
J49 1700  4    Both of these purposes exist side by side without much
J49 1710  1    overt conflict under present conditions.
J49 1710  6    #MAXIMIZING ECONOMIC AND CULTURAL OPPORTUNITY#
J49 1720  3    The broad expansion of free education results both
J49 1730  2    in raising the average economic and cultural level
J49 1730 10    of the society and in promoting fluidity within the
J49 1740  7    social structure. Fifty years ago the general raising
J49 1750  5    of the school-leaving age to sixteen was an example
J49 1760  2    of this movement. During the past decade the program
J49 1760 11    has been carried on through expansion of free higher
J49 1770  8    education in state universities, state colleges, and
J49 1780  4    community colleges. The reaffirmation of American faith
J49 1790  3    in the comprehensive high school, as expressed in the
J49 1800  1    Conant study, is another indication of the liveliness
J49 1800  9    of the ideal of maximizing opportunity through the
J49 1810  5    equalizing of educational opportunity.
J49 1820  1       The recent federal government's student-loan program
J49 1820  8    is another step in the direction of making higher education
J49 1830 10    more available to lower-status youth. It is probably
J49 1840  8    more effective than the expanded scholarship programs
J49 1850  3    of the past decade, because the scholarship programs
J49 1860  1    mainly aided the students with the best academic records
J49 1860 10    (who were usually middle-class), and these students
J49 1870  8    tended to use the scholarship funds to go to more expensive
J49 1880  7    colleges. Meanwhile, the private colleges have increased
J49 1890  4    their tuition rates so much that they have raised an
J49 1900  2    economic barrier which dwarfs their scholarship funds.
J49 1900  9    The gains in educational opportunity during the past
J49 1910  7    decade have taken place largely in the publicly supported
J49 1920  6    institutions.
J50 0010  1       Unfortunately, however, and for reasons to be discussed
J50 0010  9    in the following chapter, no rate relationships can
J50 0020  7    be made completely nondiscriminatory as long as all
J50 0030  5    or some of the rates must be set above marginal costs
J50 0040  2    in order to yield adequate revenues. And this fact
J50 0040 11    may explain some of the disagreements among the experts
J50 0050  8    as to the more rational formulas for the apportionment
J50 0060  5    of total costs among different units of service. One
J50 0070  4    such disagreement, which will receive attention in
J50 0080  1    this next chapter, concerns the question whether rates
J50 0080  9    for different kinds of service, in order to avoid the
J50 0090  8    attribute of discrimination, must be made directly
J50 0100  4    proportional to marginal costs, or whether they should
J50 0110  2    be based instead on differences in marginal costs.
J50 0110 10    Here, the choice is that between the horns of a dilemma.
J50 0120 11    #TWO MAJOR TYPES OF FULLY DISTRIBUTED COST ANALYSIS#
J50 0130  6    _1. THE DOUBLE-STEP TYPE_
J50 0140  1       Despite an ambiguity due to its failure clearly
J50 0150  8    to define "relative costs", the above exposition of
J50 0160  5    fully distributed costing goes about as far as one
J50 0170  4    can go toward expressing the basic philosophy of the
J50 0170 13    practice. For more explicit expositions, one must distinguish
J50 0180  8    different types of analyses. By all means the most
J50 0190  8    important distinction is that between those total-cost
J50 0200  5    apportionments which superimpose a distribution of
J50 0210  2    admittedly unallocable cost residues on estimates of
J50 0210  9    incremental or marginal costs, and those other apportionments
J50 0220  8    which recognize no difference between true cost allocation
J50 0230  6    and mere total-cost distribution.
J50 0240  1       The first, or double-step, type might also be called
J50 0240 11    the "railroad type" because of its application to railroads
J50 0250  8    (and other transportation agencies) by the Cost Section
J50 0260  7    of the Interstate Commerce Commission. The Cost Section
J50 0270  5    distinguishes between (directly) variable costs and
J50 0280  4    constant costs in a manner noted in the preceding chapter.
J50 0290  2    The variable costs alone are assigned to the different
J50 0290 11    units of freight traffic as representing "long-run
J50 0300  8    out-of-pocket costs"- a term with a meaning here not
J50 0310 10    distinctly different from that of the economist's "long-run
J50 0320  5    marginal costs". There remains a residue of total costs,
J50 0330  4    or total "revenue requirements" which, since it is
J50 0340  3    found to behave as if it were constant over substantial
J50 0340 13    variations in traffic density, is strictly unallocable
J50 0350  7    on a cost-finding basis. Nevertheless, because the
J50 0360  4    Cost Section has felt impelled to make some kind of
J50 0370  4    a distribution of total costs, it has apportioned this
J50 0370 13    residue, which it sometimes calls "burden", among the
J50 0380  8    units of carload traffic on a basis (partly ton, partly
J50 0390  8    ton-mile) which is concededly quite arbitrary from
J50 0400  4    the standpoint of cost determination. In recent years,
J50 0410  2    this burden (which includes allowances for revenue
J50 0410  9    deficiencies in the passenger business and in less-than-carload
J50 0420 10    freight traffic!) has amounted to about one third of
J50 0430  8    those total revenue requirements which the carload
J50 0440  4    freight business is supposed to be called upon to meet.
J50 0450  2       Since this book is concerned only incidentally with
J50 0450 10    railroad rates, it will not attempt to analyze the
J50 0460  9    methods by which the staff of the Interstate Commerce
J50 0470  5    Commission has estimated out-of-pocket costs and apportioned
J50 0480  4    residue costs. Suffice it to say that the usefulness
J50 0490  1    of the latter apportionment is questionable. But in
J50 0490  9    any event, full credit should be given to the Cost
J50 0500  9    Section for its express and overt recognition of a
J50 0510  5    vital distinction too often ignored in utility-cost
J50 0520  1    analyses: namely, that between a cost allocation designed
J50 0520  9    to reflect the actual behavior of costs in response
J50 0530  9    to changes in rates of output of different classes
J50 0540  6    of utility service; and a mere cost apportionment which
J50 0550  2    somehow spreads among the classes and units of service
J50 0560  1    even those costs that are strictly unallocable from
J50 0560  9    the standpoint of specific cost determination.
J50 0570  5    _2. THE SINGLE-STEP TYPE_
J50 0570 10       We turn now to a type of fully distributed cost
J50 0580  9    analysis which, unlike the "railroad type", draws no
J50 0590  4    distinction between cost allocation and cost apportionment:
J50 0600  2    the single-step type. It might be called the "public
J50 0610  1    utility" type because of the considerable use to which
J50 0610 10    it has been put in gas and electric utility rate cases.
J50 0620 10    Here no attempt is made, first to determine out-of-pocket
J50 0630  8    or marginal costs and then to superimpose on these
J50 0640  3    costs "reasonably distributed" residues of total costs.
J50 0650  2    Instead, all of the total costs are treated as variable
J50 0650 12    costs, although these costs are divided into costs
J50 0660  8    that are deemed to be functions of different variables.
J50 0670  5    Moreover, whereas in Interstate Commerce Commission
J50 0680  2    parlance "variable cost" means a cost deemed to vary
J50 0690  2    in direct proportion to changes in rate of output,
J50 0690 11    in the type of analysis now under review "variable
J50 0700  7    cost" has been used more broadly, so as to cover costs
J50 0710  7    which, while a function of some one variable (such
J50 0720  2    as output of energy, or number of customers), are not
J50 0720 12    necessarily a linear function.
J50 0730  4       As already noted in an earlier paragraph, the more
J50 0740  4    familiar cost analyses of utility enterprises or utility
J50 0750  2    systems divide the total costs among a number of major
J50 0750 12    classes of service, such as residential, commercial,
J50 0760  7    industrial power, street lighting, etc&. This "grand
J50 0770  5    division" permits many costs to be assigned in their
J50 0780  4    entirety to some one class, such as street lighting,
J50 0790  1    or at least to be excluded completely from some important
J50 0790 11    class or classes. High-tension industrial power service,
J50 0800  6    for example, would not be charged with any share of
J50 0810  7    the maintenance costs or capital costs of the low-tension
J50 0820  4    distribution lines. But the major portions of the total
J50 0830  1    costs of a utility business are common or joint to
J50 0830 11    all, or nearly all, classes of customers; and these
J50 0840  7    costs must somehow be apportioned among the various
J50 0850  4    classes and then must somehow be reapportioned among
J50 0860  1    the units of service in order to report unit costs
J50 0860 11    than can serve as tentative measures of reasonable
J50 0870  6    rates.
J50 0870  7       The general basis on which these common costs are
J50 0880  6    assigned to differently measured units of service will
J50 0890  4    be illustrated by the following highly simplified problem
J50 0900  1    of an electric-utility cost analysis. But before turning
J50 0900 10    to this example, we must distinguish two subtypes of
J50 0910  8    analysis, both of which belong to the single-step type
J50 0920  6    rather than to the double-step type.
J50 0930  1       In the first subtype, the analyst (following the
J50 0930  9    practice of railroad analysis in this particular respect)
J50 0940  6    distributes both total operating costs and total annual
J50 0950  5    capital costs (including an allowance for "cost of
J50 0960  3    capital" or "fair rate of return") among the different
J50 0970  1    classes and units of service. Here, an apportionment,
J50 0970  9    say, of $5,000,000 of the total costs to residential
J50 0980  7    service as a class would include an allowance of perhaps
J50 0990  5    6 per cent as the cost of whatever capital is deemed
J50 1000  3    to have been devoted to the service of the residential
J50 1000 13    consumers.
J50 1010  1       But in the second subtype, which I take to be the
J50 1010 12    one more frequently applied, only the operating expenses
J50 1020  8    and not the "cost of capital" or "fair return" are
J50 1030  7    apportioned directly among the various classes of service.
J50 1040  5    To be sure, the capital investments in (or, alternatively,
J50 1050  3    the estimated "fair values" of) the plant and equipment
J50 1060  2    are apportioned among the different classes, as are
J50 1060 10    also the gross revenues received from the sales of
J50 1070  8    the different services. But any resulting excess of
J50 1080  5    revenues received from a given class of service over
J50 1090  2    the operating costs imputed to this class is reported
J50 1090 11    as a "return" realized on the capital investment attributed
J50 1100  7    to the same service. Thus, during any given year (a)
J50 1110  8    if the revenues from the residential service are $7,000,000,
J50 1120  4    (b) if the operating expenses imputed to this class
J50 1130  4    of service come to $5,000,000, and (c) if the net investment
J50 1140  1    in (or value of) the plant and equipment deemed devoted
J50 1140 11    to this service amounts to $30,000,000, the cost analyst
J50 1150  8    will report that residential service, in the aggregate,
J50 1160  5    has yielded a return of $2,000,000 or 6-2/3 per cent.
J50 1170  6    Other services will show different rates of return,
J50 1180  1    some probably much lower and some higher.
J50 1180  8       There are obvious reasons of convenience for this
J50 1190  6    practice of excluding "cost of capital" from the direct
J50 1200  4    apportionment of annual costs among the different classes
J50 1210  2    of service- notably, the avoidance of the controversial
J50 1210 10    question what rate of return should be held to constitute
J50 1220 10    "cost of capital" or "fair rate of return". But the
J50 1230  8    practice is likely to be misleading, since it may seem
J50 1240  6    to support a conclusion that, as long as the revenues
J50 1250  4    from any class of service cover the imputed operating
J50 1260  1    expenses plus some return on capital investment, however
J50 1260  9    low, the rates of charge for this service are compensatory.
J50 1270  9    Needless to say, any such inference would be quite
J50 1280  6    unwarranted.
J50 1280  7       For the reason just suggested, I shall assume the
J50 1290  6    use of the first subtype of fully distributed cost
J50 1300  2    apportionment in the following simplified example.
J50 1300  8    That is to say, an allowance for "cost of capital"
J50 1310 10    will be assumed to be included directly in the cost
J50 1320  7    apportionment.
J50 1320  8    #THREE-PART ANALYSIS OF THE COSTS OF AN ELECTRIC UTILITY
J50 1330  8    BUSINESS#
J50 1330  9    In order to simplify the exposition of a typical fully
J50 1340  7    apportioned cost analysis, let us assume the application
J50 1350  4    of the analysis to an electric utility company supplying
J50 1360  2    a single city with power generated by its own steam-generation
J50 1370  1    plant. Let us also assume the existence of only one
J50 1370 11    class or type of service, all of which is supplied
J50 1380  8    at the same voltage, phase, etc& to residential, commercial,
J50 1390  4    and industrial customers. This latter assumption will
J50 1400  3    permit us to center attention on the most controversial
J50 1410  1    aspect of modern public utility cost analysis- the
J50 1410  9    distinction among costs that are functions of outputs
J50 1420  7    of the same service measured along different dimensions.
J50 1430  3       Since the company under review is supplying what
J50 1440  2    we are here regarding as only one kind of service,
J50 1440 12    we might suppose that the problem of total cost apportionment
J50 1450  9    would be very simple; indeed, that it would be limited
J50 1460  8    to a finding of the total annual operating and capital
J50 1470  4    costs of the business, followed by a calculation of
J50 1480  2    this total in terms of annual cost per kilowatt-hour
J50 1480 12    of consumption. In fact, however, the problem is not
J50 1490  8    so simple. For a statement of costs per kilowatt-hour
J50 1500  6    would ignore the fact that many of these costs are
J50 1510  3    not a function of kilowatt-hour output (or consumption)
J50 1510 12    of energy. A recognition of multiple cost functions
J50 1520  8    is therefore required.
J50 1530  1       The simplest division, and the one most frequently
J50 1530  9    used (with subdivisions) in gas and electric rate cases,
J50 1540  8    is a threefold division of the total operating and
J50 1550  6    capital costs into "customer costs", "energy" or "volumetric
J50 1560  4    costs", and "demand" or "capacity" costs. If this threefold
J50 1570  5    division of costs were to have its counterpart in the
J50 1580  3    actual rates of charge for service, as it actually
J50 1580 12    does have in some rates, there would result a three-part
J50 1590 11    rate for any one class of service. For example, the
J50 1600  7    monthly bill of a residential consumer might be the
J50 1610  5    sum of a $1 customer charge, a $5 charge for 250 kilowatt-hours
J50 1620  3    of energy at 2@ per kilowatt-hour, and a $2 charge
J50 1620 14    for a maximum demand of 2 kilowatts during the month
J50 1630 10    at the rate of $1 per kilowatt- a total bill of $8
J50 1640  8    for that month. But our present interest lies in the
J50 1650  4    measurement of costs of service, and only indirectly
J50 1660  1    in rates that may or may not be designed to cover these
J50 1660 13    costs. Let us therefore consider each of the three
J50 1670  8    types of cost in turn, recognizing that this simplified
J50 1680  4    classification is used only for illustrative purposes;
J50 1690  2    costs actually vary in much more complex ways.
J50 1700  1    _1. THE CUSTOMER COSTS_
J50 1700  3       These are those operating and capital costs found
J50 1700 11    to vary with number of customers regardless, or almost
J50 1710  9    regardless, of power consumption. Included as a minimum
J50 1720  6    are the costs of metering and billing along with whatever
J50 1730  5    other expenses the company must incur in taking on
J50 1740  3    another consumer. These minimum costs may come to $1
J50 1740 12    per month, more or less, for residential and small
J50 1750  8    commercial customers, although they are substantially
J50 1760  4    higher for large industrial users, who require more
J50 1770  2    costly connections and metering devices. While costs
J50 1770  9    on this order are sometimes separately charged for
J50 1780  7    in residential and commercial rates, in the form of
J50 1790  6    a mere "service charge", they are more frequently wholly
J50 1800  3    or partly covered by a minimum charge which entitles
J50 1810  1    the consumer to a very small amount of gas or electricity
J50 1810 12    with no further payment.
J50 1820  2       But the really controversial aspect of customer-cost
J50 1830  1    imputation arises because of the cost analyst's frequent
J50 1830  9    practice of including, not just those costs that can
J50 1840  9    be definitely earmarked as incurred for the benefit
J50 1850  6    of specific customers but also a substantial fraction
J50 1860  2    of the annual maintenance and capital costs of the
J50 1860 11    secondary (low-voltage) distribution system- a fraction
J50 1870  7    equal to the estimated annual costs of a hypothetical
J50 1880  6    system of minimum capacity.
J51 0010  1       The preconditions of sociology have remained largely
J51 0010  8    unexamined by the sociologist. Like primitive numbers
J51 0020  7    in mathematics, the entire axiological framework is
J51 0030  4    taken to rest upon its operational worth. But what
J51 0040  3    is the operational worth of a sociology which mimetically
J51 0040 12    reproduces the idea of physical models? Is it not the
J51 0050 10    task of philosophy to see what intelligible meaning
J51 0060  6    can be assigned to the most sacred canons in social
J51 0070  4    science? It has become painfully clear that the very
J51 0080  2    attempt to make the language of social research free
J51 0080 11    of values by erecting mathematical and physical models,
J51 0090  6    is itself a conditioned response to a world which pays
J51 0100  6    a premium price for technological manipulation.
J51 0110  1       This push to confine the study of mass behaviour
J51 0110 10    to the measurements of parameters involved in differential
J51 0120  7    equations has led sociology perilously close to the
J51 0130  6    reduction of the word "mass" to mean a small group
J51 0140  5    in which certain relations between all pairs of individuals
J51 0150  1    in such a group can be studied. (Cf& Rapoport, 1959:
J51 0160  1    ch& 11.) Here I think the role of the philosopher becomes
J51 0160 12    apparent. The simple pragmatic success of the sociology
J51 0170  8    of small groups needs to be questioned. For if the
J51 0180  7    small group notion involves the implicit claim that
J51 0190  3    the phenomena of sociological investigations are of
J51 0190 10    atomic or subatomic proportions, the philosopher needs
J51 0200  7    to know the extent to which such entities are valid.
J51 0210  6    The mere exploration of the unconscious ground of present-day
J51 0220  5    sociology offers a rich vein of philosophical and logical
J51 0230  3    investigation. (Cf& Brodbeck, 1959: Ch& 12.)
J51 0240  1       A parallel function for philosophy is the study
J51 0240  9    of the relation between perceptions experientially
J51 0250  4    received and conceptions logically formed. Philosophy
J51 0260  3    can supply adequate criteria of meaning in the selection
J51 0270  1    of socially viable categories. This involves a sifting
J51 0270  9    of the empirical and rational elements entering into
J51 0280  7    each social science statement. Merton's functional
J51 0290  3    sociology may have great practical use in the study
J51 0300  3    of different cultures, yet it is perfectly clear as
J51 0300 12    Nagel (1957:247-83) and Hempel (1959:271-307) indicate,
J51 0310  8    that the concept of function in sociology has been
J51 0320  7    built up from physiological and biological models,
J51 0330  2    in which the notions of teleology, i&e&, metaphysical
J51 0340  1    purpose, are central. (Cf& Chapter /9,.) Functionalism
J51 0340  8    as a sociological credo is, therefore, not a direct
J51 0350  9    consequence of observations, but rather an indirect
J51 0360  5    consequence of philosophical inference and judgment.
J51 0370  3       The purpose of this sort of philosophical study
J51 0380  1    of sociology is not to tyrannize but to clarify the
J51 0380 11    principles of social science. It is absurd to speak
J51 0390  7    of philosophy as a superior enterprise to sociology,
J51 0400  3    since the former is a logical, rational discipline,
J51 0410  1    where sociology is essentially descriptive and empirical.
J51 0410  8    Such a position entails the negation of philosophy
J51 0420  6    in its Platonic form as something soaring above and
J51 0430  4    embracing the empirical and mathematical sciences.
J51 0440  1    But contrary to Whitehead, philosophy is not a synonym
J51 0440 10    for Plato. The uses of philosophy as a logical clearing
J51 0450  9    house are manifest to any approach that does not descend
J51 0460  7    to pure sensationalism. However, when philosophy attempts
J51 0470  4    to stand above the sciences, to dictate the conditions
J51 0475  2    of empirical research, it becomes formal metaphysics;
J51 0480  5    shaping the contours of life to fit the needs of legends.
J51 0490 11    The notion of philosophy as Queen Bee may fit well
J51 0500  7    with authoritarian modes of political ideology, but
J51 0510  3    it has been noted that the price of such an imperial
J51 0520  1    notion of philosophy is the frustration and flagellation
J51 0520  9    of the social sciences. (Cf& Wetter, 1952: Pt& /2,
J51 0530  7    Ch& 5; Horowitz 1957b&.)
J51 0540  2       Metaphysics is no longer a direct grappling with
J51 0550  1    nature as it was in antiquity. It has surrendered any
J51 0550 11    claims of description in favor of psychological accounts
J51 0560  6    of nothingness, as in Heidegger's system (1929). Science
J51 0570  4    is mocked for wishing to know nothing of Nothing, in
J51 0580  4    a last ditch effort to save the gods at the expense
J51 0590  1    of men. It is not positivism which has isolated metaphysics
J51 0590 11    from reality by distinguishing between description
J51 0600  5    and prescription. It is simply revealing the state
J51 0610  5    to which metaphysical thinking has fallen during this
J51 0620  2    century.
J51 0620  3       Consider the traditional "four fields" of philosophy:
J51 0630  3    logic, ethics, epistemology and esthetics. It is a
J51 0640  1    commonplace that to the degree these special preserves
J51 0640  9    of past philosophic hunting grounds establish an empirical
J51 0650  6    content and suitable methodological criteria, they
J51 0660  3    move away from philosophy as such. What is left to
J51 0670  2    traditional systems of philosophy is, in effect, only
J51 0670 10    the history of these fields prior to their becoming
J51 0680  8    rigorous enough to abide by the canons of scientific
J51 0690  5    method. In this situation, philosophy has survived
J51 0700  1    by separating itself from metaphysics, by showing the
J51 0700  9    ultimate questions to be the meaningless questions.
J51 0710  7       The relinquishing by philosophy of pretentious claims
J51 0720  6    to empirical priority gives it an ability to treat
J51 0730  4    problems of meaning and truth which in the past it
J51 0730 14    was unable to examine because of its missionary attitude
J51 0740  9    to knowledge of more humble sorts. In the new situation,
J51 0750  8    philosophy is able to provide the social sciences with
J51 0760  5    the same guidance that mathematics offers the physical
J51 0770  3    sciences, a reservoir of logical relations that can
J51 0770 11    be used in framing hypotheses having explanatory and
J51 0780  7    predictive value. Beyond this, philosophy may urge
J51 0790  5    the social sciences forward by asking the type of question
J51 0800  4    that falls outside the present scope of social inquiry,
J51 0810  1    but within its potential domain of relevance. In this
J51 0810 10    connection, it might be noted that the theory of games
J51 0820 10    was a mathematical discovery long before its uses in
J51 0830  6    political science were exploited. Likewise, Kant formulated
J51 0840  3    the nebular hypothesis, according to which the solar
J51 0850  1    system was evolved from a rotating mass of incandescent
J51 0850 10    gas, nearly a half century before its scientific value
J51 0860  8    was made plain by Laplace in his Systeme du Monde.
J51 0870  6    This does not mean that philosophy resolves the problems
J51 0880  3    it generates, any more so than Riemann's geometry settled
J51 0890  2    the physical status of the space-time continuum. But
J51 0890 11    the forceful presentation of new issues for the sciences
J51 0900  8    to work on is itself a monumental task.
J51 0910  4       To those raised on Marcel's Homo Viator and Heidegger's
J51 0920  3    das Nichtige, this may seem a modest role for philosophy.
J51 0930  4    However, modesty and triviality are different qualities.
J51 0940  1    Philosophy conceived of as servant to the sciences
J51 0940  9    might appear as less dramatic than philosophy which
J51 0950  7    jeers as the sciences evolve. The ceaseless effort
J51 0960  4    to understand and measure the distance mankind has
J51 0970  2    traversed since its primitive anthropological status
J51 0970  8    offers a more durable sort of drama. By clarifying
J51 0980  8    fundamental premises in the social sciences, and defining
J51 0990  5    the logical problems emergent at the borderlands of
J51 1000  2    each new scientific discipline, philosophy can offer
J51 1000  9    the sort of distinction that can accelerate growth
J51 1010  8    in human understanding. Philosophy can prevent the
J51 1020  5    working scientist from becoming slothful and self-content
J51 1030  4    by noting the assumptions and level at which a hypothesis
J51 1040  1    or theory is framed. The dissection of scientific theory,
J51 1040 10    the examination of a theory from the vantage-points
J51 1050  8    of language, epistemology, and ethics, is itself a
J51 1060  6    distinct contribution to knowledge, no less so because
J51 1070  3    of its removal from empirical research.
J51 1070  9       The realm of science, whatever the degree of precision
J51 1080  8    in formulations, covers the range of prediction and
J51 1090  6    explanation. (Cf& Hempel and Oppenheim, 1948:135-75.)
J51 1100  3    Whatever philosophy is conceived to be, its rationalist,
J51 1110  1    logistic attitude to evidence should make it clear
J51 1110  9    that it is something other than science. For some forms
J51 1120  8    of philosophy, this very division between the empirical
J51 1130  5    and the rational becomes a sign of the metaphysical
J51 1140  2    superiority of the latter. Bergson and Leroy announce
J51 1150  1    that "the secret is the center of a philosophy" and
J51 1150 11    thereafter a hundred followers declare secrecy a higher
J51 1160  7    verity. This is simply a confession of intellectual
J51 1170  4    sterility spruced up to look virtuous. For as Merleau-Ponty
J51 1180  4    indicated (1953), it is not the secret which is important,
J51 1190  1    but the removal of secrecy. In this, philosophy and
J51 1190 10    science share a common goal. The hypostatization of
J51 1200  8    the secret nonetheless guarantees that the division
J51 1210  4    of analytical and synthetic philosophies shall not
J51 1220  2    be overcome by even the most persuasive argument; for
J51 1220 11    this division is but an abstract representation of
J51 1230  8    the social struggle between mysticism and science.
J51 1240  4       The mystification of metaphysical systems does not
J51 1250  3    imply the demise of philosophy, only the close of a
J51 1250 13    philosophic age which demanded metaphysics to be rational
J51 1260  8    and logical. The tenacity with which present metaphysical
J51 1270  6    attitudes fetishize private intuition offers the strongest
J51 1280  5    evidence that the gulf between scientific and delphic
J51 1290  3    ways of philosophizing is built into the present conflict
J51 1300  1    over the limits and purpose of science, religion and
J51 1300 10    ideology. (Cf& McGlynn: 1958.) Scientific systems,
J51 1310  5    and this includes even the relation of mechanist to
J51 1320  6    relativist physics, are built upon, refined and corrected.
J51 1330  3    Philosophic systems, by the very nature of their completeness,
J51 1340  1    are overthrown by rival systems. In addition to the
J51 1340 10    incompleteness of science and the completeness of metaphysics,
J51 1350  8    they differ in that science is essentially descriptive,
J51 1360  7    while philosophy in its inherited forms, tends to be
J51 1370  5    goal-oriented, teleological and prescriptive. The threadbare
J51 1380  3    notion that belief, unlike behaviour, is not subject
J51 1390  1    to objective analysis, has placed intuitive metaphysics
J51 1390  8    squarely against the sociology of knowledge, since
J51 1400  6    it is precisely the job of the sociology of knowledge
J51 1410  4    to treat beliefs as social facts no less viable than
J51 1420  2    social behaviour.
J51 1420  4       When dealing with the actual relation of philosophy
J51 1430  3    to the sociology of knowledge, or better the role of
J51 1430 13    philosophy in assisting research on the social sources
J51 1440  8    of ideas, one has to become necessarily selective.
J51 1450  5    Certain features we have touched upon: philosophy as
J51 1460  3    a logical, deductive system from which a social science
J51 1470  1    methodology can be built up; philosophic analysis of
J51 1470  9    the assumptions and presumptions of the social sciences;
J51 1480  7    and philosophy as a guide to possible integration of
J51 1490  6    supposedly disparate sociological investigations.
J51 1500  1       The objection will be raised that the most important
J51 1510  1    role of philosophy in relation to social science has
J51 1510 10    been omitted, namely the status of ultimate value questions
J51 1520  8    and norms operative in the social sciences. Specifically,
J51 1530  5    it will be asked whether the "real" questions people
J51 1540  3    ask are not the "ultimate" questions that social science
J51 1550  3    finds itself impotent in the face of. What then is
J51 1550 13    the status of such questions as: is society the ground
J51 1560 10    of human existence or a means to an individual goal?
J51 1570  8    Do societies develop according to cosmic patterns or
J51 1580  5    are they subject only to the free choice of individuals?
J51 1590  1    Does society really exist as an entity over and above
J51 1590 11    the agglomeration of men? I think it must be said that,
J51 1600 11    contrary to metaphysical insistence, these are questions
J51 1610  5    so framed as to defy either empirical exploration or
J51 1620  4    rational solutions. As Simmel (1908) and Dilthey (1922)
J51 1630  2    indicated, questions of whether the value of life is
J51 1630 11    individual or social are not questions, but assertions
J51 1640  8    of faith made to appear as legitimate questions. Such
J51 1650  6    pseudo-questions assume that answers of concrete significance
J51 1660  4    can be supplied to statements involving undefined universals.
J51 1670  3    Social theory has no more right to expect results from
J51 1680  2    meaningless questions, than physics has the right to
J51 1680 10    expect a theological solution to the wave-particle
J51 1690  7    controversy.
J51 1690  8       It is not that such questions are not asked. It
J51 1700  8    is rather that introducing them into social analysis
J51 1710  4    reflects not so much a search for truth as for certainty.
J51 1720  2    An operational approach to sociology can never expect
J51 1720 10    abstract certainty, since it is certainty which every
J51 1730  8    new discovery in science either replaces or reshapes.
J51 1740  5    To raise the added objection that men require certainty
J51 1750  4    on psychological grounds, answers to ultimate questions
J51 1760  1    having an irrational rather than scientific basis,
J51 1760  8    is in a real sense to undermine the objection itself.
J51 1770  7    For what concerns all scientific disciplines is precisely
J51 1780  4    that which can be captured for the rational, i&e&,
J51 1790  2    for the scientific determination of what in past ages
J51 1800  1    was considered ultimate and irrational.
J51 1800  6       A philosophy which attempts to supply ultimate answers
J51 1810  5    in an ultimate way reveals its acquiescence in the
J51 1820  3    shortcomings of men, an impatience with partial, tentative
J51 1830  1    solutions. Men have always lived in a tentative world,
J51 1830 10    and in suspension of ultimate judgments where and when
J51 1840  7    necessary. Uncertainty overcoming itself is the precondition
J51 1850  6    of the quest for new and more precise information about
J51 1860  3    the world. Without such uncertainty we are left with
J51 1870  2    a set of dogmas and myths. The functional interplay
J51 1870 11    of philosophy and science should, as a minimum, guarantee
J51 1880  8    a meaningful option to myth-making.
J51 1890  3       A degree of indefiniteness is a salutary condition
J51 1900  1    for the growth of science.
J52 0010  1    But neither was the statement empirical, for goodness
J52 0010  9    was not a quality like red or squeaky that could be
J52 0020  8    seen or heard. What were they to do, then, with these
J52 0030  5    awkward judgments of value? To find a place for them
J52 0040  2    in their theory of knowledge would require them to
J52 0040 11    revise the theory radically, and yet that theory was
J52 0050  8    what they regarded as their most important discovery.
J52 0060  4    It appeared that the theory could be saved in one way
J52 0070  4    only. If it could be shown that judgments of good and
J52 0070 15    bad were not judgments at all, that they asserted nothing
J52 0080 10    true or false, but merely expressed emotions like "Hurrah"
J52 0090  6    or "Fiddlesticks", then these wayward judgments would
J52 0100  6    cease from troubling and weary heads could be at rest.
J52 0110  5    This is the course the positivists took. They explained
J52 0120  2    value judgments by explaining them away.
J52 0120  8       Now I do not think their view will do. But before
J52 0130  8    discussing it, I should like to record one vote of
J52 0140  6    thanks to them for the clarity with which they have
J52 0150  2    stated their case. It has been said of John Stuart
J52 0150 12    Mill that he wrote so clearly that he could be found
J52 0160 10    out. This theory has been put so clearly and precisely
J52 0170  6    that it deserves criticism of the same kind, and this
J52 0180  3    I will do my best to supply. The theory claims to show
J52 0190  1    by analysis that when we say, "That is good", we do
J52 0190 12    not mean to assert a character of the subject of which
J52 0200  8    we are thinking. I shall argue that we do mean to do
J52 0210  7    just that.
J52 0210  9       Let us work through an example, and the simpler
J52 0220  4    and commoner the better. There is perhaps no value
J52 0230  1    statement on which people would more universally agree
J52 0230  9    than the statement that intense pain is bad. Let us
J52 0240  8    take a set of circumstances in which I happen to be
J52 0250  7    interested on the legislative side and in which I think
J52 0260  3    every one of us might naturally make such a statement.
J52 0260 13    We come upon a rabbit that has been caught in one of
J52 0270 12    the brutal traps in common use. There are signs that
J52 0280  7    it has struggled for days to escape and that in a frenzy
J52 0290  6    of hunger, pain, and fear, it has all but eaten off
J52 0300  2    its own leg. The attempt failed: the animal is now
J52 0300 12    dead. As we think of the long and excruciating pain
J52 0310  8    it must have suffered, we are very likely to say: "It
J52 0320  5    was a bad thing that the little animal should suffer
J52 0330  2    so". The positivist tells us that when we say this
J52 0330 12    we are only expressing our present emotion. I hold,
J52 0340  8    on the contrary, that we mean to assert something of
J52 0350  6    the pain itself, namely, that it was bad- bad when
J52 0360  5    and as it occurred.
J52 0360  9       Consider what follows from the positivist view.
J52 0370  3    On that view, nothing good or bad happened in the case
J52 0380  1    until I came on the scene and made my remark. For what
J52 0380 13    I express in my remark is something going on in me
J52 0390 10    at the time, and that of course did not exist until
J52 0400  5    I did come on the scene. The pain of the rabbit was
J52 0410  2    not itself bad; nothing evil was happening when that
J52 0410 11    pain was being endured; badness, in the only sense
J52 0420  8    in which it is involved at all, waited for its appearance
J52 0430  7    till I came and looked and felt. Now that this is at
J52 0440  5    odds with our meaning may be shown as follows. Let
J52 0450  1    us put to ourselves the hypothesis that we had not
J52 0450 11    come on the scene and that the rabbit never was discovered.
J52 0460  8    Are we prepared to say that in that case nothing bad
J52 0470  6    occurred in the sense in which we said it did? Clearly
J52 0480  2    not. Indeed we should say, on the contrary, that the
J52 0480 12    accident of our later discovery made no difference
J52 0490  8    whatever to the badness of the animal's pain, that
J52 0500  6    it would have been every whit as bad whether a chance
J52 0510  4    passer-by happened later to discover the body and feel
J52 0520  1    repugnance or not. If so, then it is clear that in
J52 0520 12    saying the suffering was bad we are not expressing
J52 0530  7    our feelings only. We are saying that the pain was
J52 0540  4    bad when and as it occurred and before anyone took
J52 0540 14    an attitude toward it.
J52 0550  4       The first argument is thus an ideal experiment in
J52 0560  2    which we use the method of difference. It removes our
J52 0560 12    present expression and shows that the badness we meant
J52 0570  9    would not be affected by this, whereas on positivist
J52 0580  6    grounds it should be. The second argument applies the
J52 0590  3    method in the reverse way. It ideally removes the past
J52 0600  1    event, and shows that this would render false what
J52 0600 10    we mean to say, whereas on positivist grounds it should
J52 0610  7    not. Let us suppose that the animal did not in fact
J52 0620  6    fall into the trap and did not suffer at all, but that
J52 0630  2    we mistakenly believe it did, and say as before that
J52 0630 12    its suffering was an evil thing. On the positivist
J52 0640  8    theory, everything I sought to express by calling it
J52 0650  6    evil in the first case is still present in the second.
J52 0660  3    In the only sense in which badness is involved at all,
J52 0660 14    whatever was bad in the first case is still present
J52 0670 10    in its entirety, since all that is expressed in either
J52 0680  7    case is a state of feeling, and that feeling is still
J52 0690  4    there. And our question is, is such an implication
J52 0700  1    consistent with what we meant? Clearly it is not. If
J52 0700 11    anyone asked us, after we made the remark that the
J52 0710  9    suffering was a bad thing, whether we should think
J52 0720  4    it relevant to what we said to learn that the incident
J52 0730  1    had never occurred and no pain had been suffered at
J52 0730 11    all, we should say that it made all the difference
J52 0740  8    in the world, that what we were asserting to be bad
J52 0750  5    was precisely the suffering we thought had occurred
J52 0760  1    back there, that if this had not occurred, there was
J52 0760 11    nothing left to be bad, and that our assertion was
J52 0770  8    in that case mistaken. The suggestion that in saying
J52 0780  4    something evil had occurred we were after all making
J52 0790  1    no mistake, because we had never meant anyhow to say
J52 0790 11    anything about the past suffering, seems to me merely
J52 0800  8    frivolous. If we did not mean to say this, why should
J52 0810  6    we be so relieved on finding that the suffering had
J52 0820  2    not occurred? On the theory before us, such relief
J52 0820 11    would be groundless, for in that suffering itself there
J52 0830  8    was nothing bad at all, and hence in its nonoccurrence
J52 0840  6    there would be nothing to be relieved about. The positivist
J52 0850  4    theory would here distort our meaning beyond recognition.
J52 0860  1       So far as I can see, there is only one way out for
J52 0870  1    the positivist. He holds that goodness and badness
J52 0870  9    lie in feelings of approval or disapproval. And there
J52 0880  6    is a way in which he might hold that badness did in
J52 0890  5    this case precede our own feeling of disapproval without
J52 0900  2    belonging to the pain itself. The pain in itself was
J52 0900 12    neutral; but unfortunately the rabbit, on no grounds
J52 0910  8    at all, took up toward this neutral object an attitude
J52 0920  6    of disapproval and that made it for the first time,
J52 0930  3    and in the only intelligible sense, bad. This way of
J52 0930 13    escape is theoretically possible, but since it has
J52 0940  8    grave difficulties of its own and has not, so far as
J52 0950  9    I know, been urged by positivists, it is perhaps best
J52 0960  4    not to spend time over it.
J52 0960 10       I come now to a third argument, which again is very
J52 0970  6    simple. When we come upon the rabbit and make our remark
J52 0980  5    about its suffering being a bad thing, we presumably
J52 0990  1    make it with some feeling; the positivists are plainly
J52 0990 10    right in saying that such remarks do usually express
J52 1000  8    feeling. But suppose that a week later we revert to
J52 1010  7    the incident in thought and make our statement again.
J52 1020  2    And suppose that the circumstances have now so changed
J52 1020 11    that the feeling with which we made the remark in the
J52 1030 11    first place has faded. The pathetic evidence is no
J52 1040  6    longer before us; and we are now so fatigued in body
J52 1060  4    and mind that feeling is, as we say, quite dead. In
J52 1070  1    these circumstances, since what was expressed by the
J52 1070  9    remark when first made is, on the theory before us,
J52 1080  8    simply absent, the remark now expresses nothing. It
J52 1090  3    is as empty as the word "Hurrah" would be when there
J52 1100  2    was no enthusiasm behind it. And this seems to me untrue.
J52 1100 13    When we repeat the remark that such suffering was a
J52 1110 10    bad thing, the feeling with which we made it last week
J52 1120  8    may be at or near the vanishing point, but if we were
J52 1130  5    asked whether we meant to say what we did before, we
J52 1140  1    should certainly answer Yes. We should say that we
J52 1140 10    made our point with feeling the first time and little
J52 1150  8    or no feeling the second time, but that it was the
J52 1160  6    same point we were making. And if we can see that what
J52 1170  2    we meant to say remains the same, while the feeling
J52 1170 12    varies from intensity to near zero, it is not the feeling
J52 1180 10    that we primarily meant to express.
J52 1190  3       I come now to a fourth consideration. We all believe
J52 1200  1    that toward acts or effects of a certain kind one attitude
J52 1200 12    is fitting and another not; but on the theory before
J52 1210  9    us such a belief would not make sense. Broad and Ross
J52 1220  7    have lately contended that this fitness is one of the
J52 1230  5    main facts of ethics, and I suspect they are right.
J52 1240  1    But that is not exactly my point. My point is this:
J52 1240 12    whether there is such fitness or not, we all assume
J52 1250  9    that there is, and if we do, we express in moral judgments
J52 1260  5    more than the subjectivists say we do. Let me illustrate.
J52 1270  3       In his novel The House of the Dead, Dostoevsky tells
J52 1280  2    of his experiences in a Siberian prison camp. Whatever
J52 1290  1    the unhappy inmates of such camps are like today, Dostoevsky's
J52 1290 11    companions were about as grim a lot as can be imagined.
J52 1300 11    "I have heard stories", he writes, "of the most terrible,
J52 1310  8    the most unnatural actions, of the most monstrous murders,
J52 1320  6    told with the most spontaneous, childishly merry laughter".
J52 1330  4    Most of us would say that in this delight at the killing
J52 1340  4    of others or the causing of suffering there is something
J52 1350  1    very unfitting. If we were asked why we thought so,
J52 1350 11    we should say that these things involve great evil
J52 1360  7    and are wrong, and that to take delight in what is
J52 1370  5    evil or wrong is plainly unfitting. Now on the subjectivist
J52 1380  1    view, this answer is ruled out. For before someone
J52 1380 10    takes up an attitude toward death, suffering, or their
J52 1390  9    infliction, they have no moral quality at all. There
J52 1400  7    is therefore nothing about them to which an attitude
J52 1410  3    of approval or condemnation could be fitting. They
J52 1410 11    are in themselves neutral, and, so far as they get
J52 1420 10    a moral quality, they get it only through being invested
J52 1430  7    with it by the attitude of the onlooker. But if that
J52 1440  4    is true, why is any attitude more fitting than any
J52 1450  1    other? Would applause, for example, be fitting if,
J52 1450  9    apart from the applause, there were nothing good to
J52 1460  7    applaud? Would condemnation be fitting if, independently
J52 1470  4    of the condemnation, there were nothing bad to condemn?
J52 1480  3    In such a case, any attitude would be as fitting or
J52 1480 14    unfitting as any other, which means that the notion
J52 1490  9    of fitness has lost all point.
J52 1500  3       Indeed we are forced to go much farther. If goodness
J52 1510  1    and badness lie in attitudes only and hence are brought
J52 1510 11    into being by them, those men who greeted death and
J52 1520  9    misery with childishly merry laughter are taking the
J52 1530  5    only sensible line. If there is nothing evil in these
J52 1540  3    things, if they get their moral complexion only from
J52 1540 12    our feeling about them, why shouldn't they be greeted
J52 1550  8    with a cheer? To greet them with repulsion would turn
J52 1560  6    what before was neutral into something bad; it would
J52 1570  4    needlessly bring badness into the world; and even on
J52 1580  2    subjectivist assumptions that does not seem very bright.
J52 1580 10    On the other hand, to greet them with delight would
J52 1590  9    convert what before was neutral into something good;
J52 1600  4    it would bring goodness into the world.
J53 0010  1       The injured German veteran was a former miner, twenty-four
J53 0010 11    years old, who had been wounded by shrapnel in the
J53 0020 10    back of the head. This resulted in damage to the occipital
J53 0030  7    lobe and very probably to the left side of the cerebellum
J53 0040  5    also. In any event, the extraordinary result of this
J53 0050  3    injury was that he became "psychically blind", while
J53 0050 11    at the same time, apparently, the sense of touch remained
J53 0060 10    essentially intact. Psychical blindness is a condition
J53 0070  6    in which there is a total absence of visual memory-images,
J53 0080  5    a condition in which, for example, one is unable to
J53 0090  4    remember something just seen or to conjure up a memory-picture
J53 0100  1    of the visible appearance of a well-known friend in
J53 0100 11    his absence. This circumstance in the patient's case
J53 0110  7    plus the fact that his tactual capacity remained basically
J53 0120  4    in sound working order constitutes its exceptional
J53 0130  2    value for the problem at hand since the evidence presented
J53 0140  1    by the authors is overwhelming that, when the patient
J53 0140 10    closed his eyes, he had absolutely no spatial (that
J53 0150  7    is, third-dimensional) awareness whatsoever. The necessary
J53 0160  4    inference, as the authors themselves interpret it,
J53 0170  2    would seem to be this: "(1) Spatial qualities are not
J53 0170 12    among those grasped by the sense of touch, as such.
J53 0180 10    We do not arrive at spatial images by means of the
J53 0190  8    sense of touch by itself. (2) Spatiality becomes part
J53 0200  4    of the tactual sensation only by way of visual representations;
J53 0210  2    that is, there is, in the true sense, only a visual
J53 0220  1    space". The underlying assumption, of course, is that
J53 0220  9    only sight and touch enable us, in any precise and
J53 0230 10    fully dependable way, to locate objects in space beyond
J53 0240  6    us, the other senses being decidedly inferior, if not
J53 0250  3    totally inadequate, in this regard. This is an assumption
J53 0260  1    with which few would be disposed to quarrel. Therefore,
J53 0260 10    if the sense of touch is functioning normally and there
J53 0270  8    is a complete absence of spatial awareness in a psychically-blind
J53 0280  8    person when the eyes are closed and an object is handled,
J53 0290  6    the conclusion seems unavoidable that touch by itself
J53 0300  4    cannot focus and take possession of the third-dimensionality
J53 0310  1    of things and that actual sight or visual representations
J53 0310 10    are necessary.
J53 0320  2       The force of the authors' analysis (if indeed it
J53 0330  1    has any force) can be felt by the reader, I believe,
J53 0330 12    only after three questions have been successfully answered.
J53 0340  6    (1) What allows us to think that the patient had no
J53 0350  6    third-dimensional representations when his eyes were
J53 0360  3    closed? (2) What evidence is there that he was psychically
J53 0370  1    blind? (3) How can we be sure that his sense of touch
J53 0370 13    was not profoundly disturbed by his head injury? We
J53 0380  7    shall consider these in the inverse order of their
J53 0390  5    presentation.
J53 0390  6       Obviously, a satisfactory answer to the third question
J53 0400  6    is imperative, if the argument is to get under way
J53 0410  4    at all, for if there is any possibility of doubt whether
J53 0420  1    the patient's tactual sensitivity had been impaired
J53 0420  8    by the occipital lesion, any findings whatsoever in
J53 0430  6    regard to the first question become completely ambiguous
J53 0440  3    and fail altogether, of course, as evidence to establish
J53 0450  2    the desired conclusion. The answer the authors give
J53 0450 10    to it, therefore, is of supreme importance. It is as
J53 0460  9    follows: "The usual sensitivity tests showed that the
J53 0470  6    specific qualities of skin-perceptiveness (pressure,
J53 0480  2    pain, temperature), as well as the kinesthetic sensations
J53 0500  1    (muscular feelings, feelings in the tendons and joints),
J53 0500  9    were, as such, essentially intact, although they seemed,
J53 0510  8    in comparison with normal reactions, to be somewhat
J53 0520  6    diminished over the entire body. The supposed tactual
J53 0530  3    sense of spatial location and orientation in the patient
J53 0540  1    and his ability to specify the location of a member,
J53 0540 11    as well as the direction and scope of a movement, passively
J53 0550  9    executed (with one of his members), proved to have
J53 0560  6    been, on the contrary, very considerably affected".
J53 0570  2    The authors insist, however, that these abnormalities
J53 0570  9    in the sense of touch were due absolutely to no organic
J53 0580 11    disorders in that sense faculty but rather to the injuries
J53 0590  8    which the patient had sustained to the sense of sight.
J53 0600  6       First of all, what is their evidence that the tactual
J53 0610  4    apparatus was fundamentally undamaged? (1) When an
J53 0620  2    object was placed in the patient's hand, he had no
J53 0620 12    difficulty determining whether it was warm or cold,
J53 0630  7    sharp or blunt, rough or smooth, flexible, soft, or
J53 0640  4    hard; and he could tell, simply by the feel of it,
J53 0650  2    whether it was made of wood, iron, cloth, rubber, and
J53 0650 12    so on. And he could recognize, by touch alone, articles
J53 0660  8    which he had handled immediately before, even though
J53 0670  4    they were altogether unfamiliar to him and could not
J53 0680  3    be identified by him; that is, he was unaware what
J53 0680 13    kind of objects they were or what their use was. (2)
J53 0690 11    The patient attained an astonishing efficiency in a
J53 0700  6    new trade. Because of his brain injury and the extreme
J53 0710  4    damage suffered to his sight, the patient had to train
J53 0720  1    himself for a new line of work, that of a portfolio-maker,
J53 0720 13    an occupation requiring a great deal of precision in
J53 0730  8    the making of measurements and a fairly well-developed
J53 0740  6    sense of form and contour. It seems clear, when one
J53 0750  3    takes into consideration the exceedingly defective
J53 0750  9    eyesight of the patient (we shall describe it in detail
J53 0760 10    in connection with our second question, the one concerning
J53 0770  6    the psychical blindness of the patient), that he had
J53 0780  5    to rely on his sense of touch much more than the usual
J53 0790  2    portfolio-maker and that consequently that faculty
J53 0790  9    was most probably more sensitive to shape and size
J53 0800  7    than that of a person with normal vision. And so the
J53 0810  5    authors conclude: "The conduct of the patient in his
J53 0820  3    every-day life and in his work, even more than the
J53 0820 14    foregoing facts [mentioned above under 1], leave positively
J53 0830  8    no room for doubt that the sense of touch, in the ordinary
J53 0840  9    sense of the word, was unaffected; or, to put the same
J53 0850  6    thing in physiological terms, that the performance-capacity
J53 0860  1    of the tactual apparatus, from the periphery up to
J53 0870  1    the tactual centers in the brain,- that is, from one
J53 0870 11    end to the other- was unimpaired".
J53 0880  5       If the argument is accepted as essentially sound
J53 0890  2    up to this point, it remains for us to consider whether
J53 0890 13    the patient's difficulties in orienting himself spatially
J53 0900  7    and in locating objects in space with the sense of
J53 0910  8    touch can be explained by his defective visual condition.
J53 0920  3    But before we can do this, we must first find answers
J53 0930  2    to our original questions 1 and 2; then we shall perhaps
J53 0940  1    be in a position to provide something like a complete
J53 0940 11    answer to the question at hand.
J53 0950  3       In what ways, then, did the patient's psychical
J53 0960  1    blindness manifest itself? He could not see objects
J53 0960  9    as unified, self-contained, and organized figures,
J53 0970  6    as a person does with normal vision. The meaning of
J53 0980  5    this, as we shall see, is that he had no fund of visual
J53 0990  3    memory-images of objects as objects; and, therefore,
J53 0990 11    he could not recognize even long-familiar things upon
J53 1000  8    seeing them again. Instead, he constantly became lost
J53 1010  5    in parts and components of them, confused some of their
J53 1020  4    details with those of neighboring objects, and so on,
J53 1030  2    unless he allowed time to "trace" the object in question
J53 1030 12    through minute movements of the head and hands and
J53 1040  9    in this way to discover its contours. According to
J53 1050  5    his own testimony, he never actually saw things as
J53 1060  2    shaped but only as generally amorphous "blots" of color
J53 1060 11    of a more or less indefinite size; at their edges they
J53 1070 11    slipped pretty much out of focus altogether. But by
J53 1080  8    the tracing procedure, he could, in a strange obviously
J53 1090  5    kinesthetic manner, find the unseen form; could piece,
J53 1100  2    as it were, the jumbled mass together into an organized
J53 1100 12    whole and then recognize it as a man or a triangle
J53 1110 11    or whatever it turned out to be. If, however, the figure
J53 1120  8    to be discerned were complicated, composed of several
J53 1130  4    interlocking subfigures, and so on, even the tracing
J53 1140  1    process failed him, and he could not focus even relatively
J53 1140 11    simple shapes among its parts. This meant, concretely,
J53 1150  8    that the patient could not read at all without making
J53 1160  7    writing-like movements of the head or body, became
J53 1170  3    easily confused by "hasher marks" inserted between
J53 1170 10    hand-written words and thus confused the mark for one
J53 1180  9    of the letters, and could recognize a simple straight
J53 1190  6    line or a curved one only by tracing it.
J53 1200  2       The patient himself denied that he had any visual
J53 1200 11    imagery at all; and there was ample evidence of the
J53 1210 10    following sort to corroborate him. After a conversation
J53 1220  5    with another man, he was able to recount practically
J53 1230  3    everything that had been said but could not describe
J53 1240  1    at all what the other man looked like. Nor could he
J53 1240 12    call up memory-pictures of close friends or relatives.
J53 1250  6    In short, both his own declarations and his figural
J53 1260  4    blindness, when he looked at objects, seem to present
J53 1270  2    undeniable evidence that he had simply no visual memory
J53 1270 11    at all. He was oblivious of the form of the object
J53 1280 10    actually being viewed, precisely because he could not
J53 1290  5    assign it to a visual shape, already learned and held
J53 1300  3    in visual memory, as persons of normal vision do. He
J53 1300 13    could not recognize it; he was absolutely unfamiliar
J53 1310  8    with it because he had no visual memory at all. Therefore,
J53 1320  8    his only recourse was to learn the shape all over again
J53 1330  6    for each new visual experience of the same individual
J53 1340  2    object or type of object; and this he could do only
J53 1340 13    by going over its mass with the tracing procedure.
J53 1350  9    Then he might finally recognize it, apparently by combining
J53 1360  6    the visual blot, actually being seen, with tactual
J53 1370  4    feelings in the head or body accompanying the tracing
J53 1380  1    movements. This would mean, it can readily be seen,
J53 1380 10    that, again, for each new visual experience the tracing
J53 1390  8    motions would have to be repeated because of the absence
J53 1400  5    of visual imagery.
J53 1400  8       As one would surmise, the procedure, however, could
J53 1410  6    be repeated with the same object or with the same type
J53 1420  6    of object often enough, so that the corresponding visual
J53 1430  2    blots and the merest beginning of the tracing movement
J53 1430 11    would provide clues as to the actual shape, which the
J53 1440 10    patient then immediately could determine by a kind
J53 1450  6    of inference. Men, trees, automobiles, houses, and
J53 1460  3    so on- objects continually confronted in everyday life-
J53 1470  3    had each its characteristic blot-appearance and became
J53 1470 11    easily recognizable, at the very beginning of tracing,
J53 1480  7    by an inference as to what each was. Dice, for example,
J53 1490  6    he inferred from black dots on a white surface. He
J53 1500  2    evidently could not actually see the corners of these
J53 1500 11    objects, but their size and the dots gave them away.
J53 1510 10    And the authors give numerous instances of calculated
J53 1520  5    guessing on the patient's part to show how large a
J53 1530  5    role it played in his process of readapting himself
J53 1540  1    and how proficient he became at it. Often he seems
J53 1540 11    even to have been able to guess correctly, without
J53 1550  6    the tracing motions, solely on the basis of qualitative
J53 1560  3    differences among the blot-like things which appeared
J53 1570  1    in his visual experience.
J53 1570  5       Perhaps the very important question- What is, then,
J53 1580  6    exactly the role of kinesthetic sensations in the patient's
J53 1590  2    ability to recognize forms and shapes by means of the
J53 1590 12    tracing movements when he is actually looking at things?-
J53 1600  9    has now been raised in the reader's mind and in the
J53 1610  9    following form. If the patient can perceive figure
J53 1620  4    kinesthetically when he cannot perceive it visually,
J53 1630  1    then, it would seem, the sense of touch has immediate
J53 1630 11    contact with the spatial aspects of things in independence
J53 1640  9    of visual representations, at least in regard to two
J53 1650  7    dimensions, and, as we shall see, even this much spatial
J53 1660  4    awareness on the part of unaided touch is denied by
J53 1670  2    the authors. How, then, do the kinesthetic sensations
J53 1670 10    function in all this? The authors set about answering
J53 1680  8    this fundamental question through a detailed investigation
J53 1690  5    of the patient's ability, tactually, (1) to perceive
J53 1700  4    figure and (2) to locate objects in space, with his
J53 1710  1    eyes closed (or turned away from the object concerned).
J53 1710 10    Quite naturally, they make the investigation, first,
J53 1720  6    by prohibiting the patient from making any movements
J53 1730  4    at all and then, later, by repeating it and allowing
J53 1740  1    the patient to move in any way he wanted to.
J53 1740 11       When the patient was not allowed to move his body
J53 1750  9    in any way at all, the following striking results occurred.
J54 0010  1    Whenever artists, indeed, turned to actual representations
J54 0010  8    or molded three-dimensional figures, which were rare
J54 0020  7    down to 800 B&C&, they tended to reflect reality (see
J54 0030  6    Plate 6~a, 9~b); a schematic, abstract treatment of
J54 0040  4    men and animals, by intent, rose only in the late eighth
J54 0050  3    century.
J54 0050  4       To speak of this underlying view of the world is
J54 0060  3    to embark upon matters of subjective judgment. At the
J54 0060 12    least, however, one may conclude that Geometric potters
J54 0070  8    sensed a logical order; their principles of composition
J54 0080  5    stand very close to those which appear in the Homeric
J54 0090  5    epics and the hexameter line. Their world, again, was
J54 0100  2    a still simple, traditional age which was only slowly
J54 0100 11    beginning to appreciate the complexity of life. And
J54 0110  8    perhaps an observer of the vases will not go too far
J54 0120  7    in deducing that the outlook of their makers and users
J54 0130  3    was basically stable and secure. The storms of the
J54 0130 12    past had died away, and the great upheaval which was
J54 0140 10    to mark the following century had not yet begun to
J54 0150  7    disturb men's minds.
J54 0150 10       Throughout the work of the later ninth century a
J54 0160  9    calm, severe serenity displays itself. In the vases
J54 0170  5    this spirit may perhaps at times bore or repel one
J54 0180  2    in its internal self-satisfaction, but the best of
J54 0180 11    the Geometric pins have rightly been considered among
J54 0190  7    the most beautiful ever made in the Greek world. The
J54 0200  6    ninth century was in its artistic work "the spiritually
J54 0210  2    freest and most self-sufficient between past and future",
J54 0220  1    and the loving skill spent by its artists upon their
J54 0220 11    products is a testimonial to their sense that what
J54 0230  7    they were doing was important and was appreciated.
J54 0240  3    _THE AEGEAN IN 800 B&C&_
J54 0240  8       GEOMETRIC POTTERY has not yet received the thorough,
J54 0250  7    detailed study which it deserves, partly because the
J54 0270  4    task is a mammoth one and partly because some of its
J54 0280  3    local manifestations, as at Argos, are only now coming
J54 0280 12    to light. From even a cursory inspection of its many
J54 0290  9    aspects, however, the historian can deduce several
J54 0300  5    fundamental conclusions about the progress of the Aegean
J54 0310  4    world down to 800 B&C&
J54 0310  9       The general intellectual outlook which had appeared
J54 0320  5    in the eleventh century was now consolidated to a significant
J54 0330  4    degree. Much which was in embryo in 1000 had become
J54 0340  3    reasonably well developed by 800. In this process the
J54 0340 12    Minoan-Mycenaean inheritance had been transmuted or
J54 0350  6    finally rejected; the Aegean world which had existed
J54 0360  7    before 1000 differed from that which rises more clearly
J54 0380  4    in our vision after 800. Those modern scholars who
J54 0390  2    urge that we must keep in mind the fundamental continuity
J54 0390 12    of Aegean development from earliest times- granted
J54 0400  6    occasional irruptions of peoples and ideas from outside-
J54 0410  6    are correct; but all too many observers have been misled
J54 0420  4    by this fact into minimizing the degree of change which
J54 0430  2    took place in the early first millennium.
J54 0430  9       The focus of novelty in this world now lay in the
J54 0440 10    south-eastern districts of the Greek mainland, and
J54 0450  4    by 800 virtually the entire Aegean, always excepting
J54 0460  1    its northern shores, had accepted the Geometric style
J54 0460  9    of pottery. While Protogeometric vases usually turn
J54 0470  6    up, especially outside Greece proper, together with
J54 0480  4    as many or more examples of local stamp, these "non-Greek"
J54 0490  1    patterns had mostly vanished by the later ninth century.
J54 0500  1    In their place came local variations within the common
J54 0500 10    style- tentative, as it were, in Protogeometric products
J54 0510 10    but truly distinct and sharply defined as the Geometric
J54 0520  7    spirit developed. Attica, though important, was not
J54 0530  5    the only teacher of this age. One can take a vase of
J54 0540  4    about 800 B&C& and, without any knowledge of its place
J54 0550  1    of origin, venture to assign it to a specific area;
J54 0550 11    imitation and borrowing of motifs now become ascertainable.
J54 0560  6    The potters of the Aegean islands thus stood apart
J54 0570  5    from those of the mainland, and in Greece itself Argive,
J54 0580  3    Corinthian, Attic, Boeotian, and other Geometric sequences
J54 0590  2    have each their own hallmarks. These local variations
J54 0590 10    were to become ever sharper in the next century and
J54 0600 10    a half.
J54 0600 12       The same conclusions can be drawn from the other
J54 0610  8    physical evidence of the Dark ages, from linguistic
J54 0620  4    distribution, and from the survivals of early social,
J54 0630  2    political, and religious patterns into later ages.
J54 0630  9    By 800 B&C& the Aegean was an area of common tongue
J54 0640  9    and of common culture. On these pillars rested that
J54 0650  6    solid basis for life and thought which was soon to
J54 0660  4    be manifested in the remarkably unlimited ken of the
J54 0660 13    Iliad. Everywhere within the common pattern, however,
J54 0670  7    one finds local diversity; Greek history and culture
J54 0680  6    were enduringly fertilized, and plagued, by the interplay
J54 0690  6    of these conjoined yet opposed factors.
J54 0700  1       Further we cannot go, for the Dark ages deserve
J54 0700 10    their name. Many aspects of civilization were not yet
J54 0710  9    sufficiently crystallized to find expression, nor could
J54 0720  6    the simple economic and social foundations of this
J54 0730  3    world support a lofty structure. The epic poems, the
J54 0750  1    consolidation of the Greek pantheon, the rise of firm
J54 0750 10    political units, the self-awareness which could permit
J54 0760  7    painted and sculptured representations of men- all
J54 0770  4    these had to await the progress of following decades.
J54 0780  1    What we have seen in this chapter, we have seen only
J54 0780 12    dimly, and yet the results, however general, are worth
J54 0790  8    the search. These are the centuries in which the inhabitants
J54 0800  7    of the Aegean world settled firmly into their minds
J54 0810  4    and into their institutions the foundations of the
J54 0820  1    Hellenic outlook, independent of outside forces.
J54 0820  7       To interpret, indeed, the era from 1000 to 800 as
J54 0830  9    a period mainly of consolidation may be a necessary
J54 0840  5    but unfortunate defect born of our lack of detailed
J54 0850  1    information; if we could see more deeply, we probably
J54 0850 10    would find many side issues and wrong turnings which
J54 0860  8    came to an end within the period. The historian can
J54 0870  5    only point out those lines which were major enough
J54 0880  2    to find reflection in our limited evidence, and must
J54 0880 11    hope that future excavations will enrich our understanding.
J54 0890  7    Throughout the Dark ages, it is clear, the Greek world
J54 0900  8    had been developing slowly but consistently. The pace
J54 0910  4    could now be accelerated, for the inhabitants of the
J54 0920  3    Aegean stood on firm ground.
J54 0920  8    #CHAPTER 5 THE EARLY EIGHTH CENTURY#
J54 0930  1    THE LANDSCAPE of Greek history broadens widely, and
J54 0940  1    rather abruptly, in the eighth century B&C&, the age
J54 0940 10    of Homer's "rosy-fingered Dawn". The first slanting
J54 0950  7    rays of the new day cannot yet dispel all the dark
J54 0960  7    shadows which lie across the Aegean world; but our
J54 0970  3    evidence grows considerably in variety and shows more
J54 0980  1    unmistakably some of the lines of change. For this
J54 0980 10    period, as for earlier centuries, pottery remains the
J54 0990  5    most secure source; the ceramic material of the age
J54 1000  5    is more abundant, more diversified, and more indicative
J54 1010  1    of the hopes and fears of its makers, who begin to
J54 1010 12    show scenes of human life and death. Figurines and
J54 1020  7    simple chapels presage the emergence of sculpture and
J54 1030  4    architecture in Greece; objects in gold, ivory, and
J54 1050  2    bronze grow more numerous. Since writing was practiced
J54 1050 10    in the Aegean before the end of the century, we may
J54 1060 10    hope that the details of tradition will now be occasionally
J54 1070  6    useful. Though it is not easy to apply the evidence
J54 1080  4    of the Iliad to any specific era, this marvelous product
J54 1090  2    of the epic tradition had certainly taken definitive
J54 1090 10    shape by 750.
J54 1100  3       The Dipylon Geometric pottery of Athens and the
J54 1100 11    Iliad are amazing manifestations of the inherent potentialities
J54 1110  8    of Greek civilization; but both were among the last
J54 1120  8    products of a phase which was ending. Greek civilization
J54 1130  6    was swirling toward its great revolution, in which
J54 1140  3    the developed qualities of the Hellenic outlook were
J54 1150  1    suddenly to break forth. The revolution was well under
J54 1150 10    way before 700 B&C&, and premonitory signs go back
J54 1160  8    virtually across the century. The era, however, is
J54 1170  5    Janus-faced. While many tokens point forward, the main
J54 1180  3    achievements stand as a culmination of the simple patterns
J54 1190  1    of the Dark ages. The dominant pottery of the century
J54 1190 11    was Geometric; political organization revolved about
J54 1200  5    the basileis; trade was just beginning to expand; the
J54 1220  7    gods who protected the Greek countryside were only
J54 1230  3    now putting on their sharply anthropomorphic dress.
J54 1240  1       The modern student, who knows what was to come next,
J54 1240 11    is likely to place first the factors of change which
J54 1250  9    are visible in the eighth century. Not all men of the
J54 1260  7    period would have accepted this emphasis. Many potters
J54 1270  3    clung to the past the more determinedly as they were
J54 1270 13    confronted with radically new ideas; the poet of the
J54 1280  9    Iliad deliberately archaized. Although it is not possible
J54 1290  7    to sunder old and new in this era, I shall consider
J54 1300  7    in the present chapter primarily the first decades
J54 1320  2    of the eighth century and shall interpret them as an
J54 1320 12    apogee of the first stage of Greek civilization.
J54 1330  8       On this principle of division I must postpone the
J54 1340  7    evolution of sculpture, architecture, society, and
J54 1350  3    politics; for the developments in these areas make
J54 1350 11    sense only if they are connected to the age of revolution
J54 1360 11    itself. The growing contacts between Aegean and Orient
J54 1370  6    are also a phase which should be linked primarily to
J54 1380  5    the remarkable broadening of Hellenic culture after
J54 1390  2    750. We shall not be able entirely to pass over these
J54 1390 13    connections to the East as we consider Ripe Geometric
J54 1400  9    pottery, the epic and the myth, and the religious evolution
J54 1410  8    of early Greece; the important point, however, is that
J54 1420  5    these magnificent achievements, unlike those of later
J54 1430  3    decades, were only incidentally influenced by Oriental
J54 1440  1    models. The antecedents of Dipylon vases and of the
J54 1440 10    Iliad lie in the Aegean past.
J54 1450  4    _DIPYLON POTTERY_
J54 1450  6       THE POTTERY of the first half of the eighth century
J54 1460  6    is commonly called Ripe Geometric. The severe yet harmonious
J54 1470  4    vases of the previous fifty years, the Strong Geometric
J54 1480  2    style of the late ninth century, display as firm a
J54 1480 12    mastery of the principles underlying Geometric pottery;
J54 1490  7    but artists now were ready to refine and elaborate
J54 1500  6    their inheritance. The vases which resulted had different
J54 1510  3    shapes, far more complex decoration, and a larger sense
J54 1520  2    of style.
J54 1520  4       Beyond the aesthetic and technical aspects of this
J54 1530  2    expansion we must consider the change in pottery style
J54 1530 11    on broader lines. In earlier centuries men had had
J54 1540  8    enough to do in rebuilding a fundamental sense of order
J54 1550  6    after chaos. They had had to work on very simple foundations
J54 1560  3    and had not dared to give rein to impulses. The potters,
J54 1570  2    in particular, had virtually eschewed freehand drawing,
J54 1570  9    elaborate motifs, and the curving lines of nature,
J54 1580  8    while yet expressing a belief that there was order
J54 1590  6    in the universe. In their vases were embodied the basic
J54 1600  3    aesthetic and logical characteristics of Greek civilization,
J54 1610  1    at first hesitantly in Protogeometric work, and then
J54 1610  9    more confidently in the initial stages of the Geometric
J54 1620  8    style. By 800 social and cultural security had been
J54 1630  6    achieved, at least on a simple plane; it was time to
J54 1640  5    take bigger steps, to venture on experiments.
J54 1650  1       Ripe Geometric potters continued to employ the old
J54 1650  8    syntax of ornaments and shapes and made use of the
J54 1660  8    well-defined though limited range of motifs which they
J54 1670  4    had inherited. In these respects the vases of the early
J54 1680  1    eighth century represent a culmination of earlier lines
J54 1680  9    of progress. To the ancestral lore, however, new materials
J54 1690  8    were added. Painters left less and less of a vase in
J54 1700  9    a plain dark color; instead they divided the surface
J54 1710  4    into many bands or covered it by all-over patterns
J54 1720  1    into which freehand drawing began to creep. Wavy lines,
J54 1720 10    feather-like patterns, rosettes of indefinitely floral
J54 1730  6    nature, birds either singly or in stylized rows, animals
J54 1740  6    in solemn frieze bands (see Plates 11-12)- all these
J54 1750  5    turned up in the more developed fabrics as preliminary
J54 1760  1    signs that the potters were broadening their gaze.
J54 1760  9    The rows of animals and birds, in particular, suggest
J54 1770  6    awareness of Oriental animal friezes, transmitted perhaps
J54 1780  3    via Syrian silver bowls and textiles, but the specific
J54 1790  2    forms of these rows on local vases and metal products
J54 1790 12    are nonetheless Greek. Though the spread of this type
J54 1800  9    of decoration in the Aegean has not yet been precisely
J54 1810  7    determined, it seems to appear first in the Cyclades,
J54 1820  4    which were among the leading exporters of pottery throughout
J54 1830  2    the century.
J54 1830  4       As the material at the command of the potters grew
J54 1840  3    and the volume of their production increased, the local
J54 1850  1    variations within a common style became more evident.
J54 1850  9    Plate 12 illustrates four examples, which are Ripe
J54 1860  6    or Late Geometric work of common spirit but of different
J54 1870  5    schools.
J55 0010  1    Cook had discovered a beef in his possession a few
J55 0010 11    days earlier and, when he could not show the hide,
J55 0020  8    arrested him. Thinking the evidence insufficient to
J55 0030  3    get a conviction, he later released him. Even while
J55 0030 12    suffering the trip to his home, Cook swore to Moore
J55 0040 10    and Lane that he would kill the Indian.
J55 0050  5       Three weeks later following his recovery, armed
J55 0060  2    with a writ issued by the Catskill justice on affidavits
J55 0060 12    prepared by the district attorney, Cook and Russell
J55 0070  8    rode to arrest Martinez. Arriving at daybreak, they
J55 0080  5    found Julio in his corral and demanded that he surrender.
J55 0090  4    Instead, he whirled and ran to his house for a gun
J55 0100  3    forcing them to kill him, Cook reported.
J55 0100 10       Both Cook's and Russell's lives were threatened
J55 0110  6    by the Mexicans following the killing, but the company
J55 0120  5    officers felt that in the end, it would serve to quiet
J55 0130  3    them despite their immediate emotion. General manager
J55 0130 10    Pels even suggested that it might be wise to keep the
J55 0140 11    Mexicans in suspense rather than accept their offers
J55 0150  6    to sell out and move away, and try to have a few punished.
J55 0160  6       On February 17, Russell and Cook were sent to the
J55 0170  5    Pena Flor community on the Vermejo to see about renting
J55 0180  1    out ranches the company had purchased. While talking
J55 0180  9    with Julian M& Beall, Francisco Archuleta and Juan
J55 0190  7    Marcus appeared, both heavily armed, and after watching
J55 0200  6    the house for a while, rode away. It was nearly sundown
J55 0210  5    before they finished the business with Beall and began
J55 0220  2    riding down the stream. They had traveled only a short
J55 0220 12    distance when they spotted five Mexicans riding along
J55 0230  8    a horse-trail across the stream just ahead of them.
J55 0240  7    Suspecting an ambush, the two deputies decided to ride
J55 0250  4    up a side canyon taking a short cut into Catskill.
J55 0260  1       After spending two nights (Wednesday and Thursday)
J55 0260  8    in Catskill, the deputies again headed for the Vermejo
J55 0270  8    to finish their business. They stayed with a rancher
J55 0280  6    Friday night and by eleven o'clock Saturday morning
J55 0290  3    passed the old Garnett Lee ranch. Half a mile below
J55 0300  1    at the mouth of Salyer's Canyon was an old ranch that
J55 0300 12    the company had purchased from A& J& Armstrong, occupied
J55 0310  8    by a Mexican, his wife, and an old trapper. There were
J55 0320  9    three houses in Salyer's Canyon just at the foot of
J55 0330  7    a low bluff, the road winding along the top, entering
J55 0340  2    above, and then passing down in front of the houses,
J55 0340 12    thence to the Vermejo. To the west of this road was
J55 0350 11    another low bluff, forty or fifty feet high, covered
J55 0360  6    with scrub oak and other brush. As they were riding
J55 0370  3    along this winding road on the bench of land between
J55 0370 13    the two bluffs, a volley of rifle fire suddenly crashed
J55 0380 10    around the two officers. Not a bullet touched Cook
J55 0390  6    who was nearer the ambush, but one hit Russell in the
J55 0400  5    leg and another broke his arm, passing on through his
J55 0410  2    body.
J55 0410  3       With the first reports, Russell's horse wheeled
J55 0420  1    to the right and ran towards the buildings while Cook,
J55 0420 11    followed by a hail of bullets, raced towards the arroyo
J55 0430  8    of Salyer's Canyon immediately in front of him, just
J55 0440  6    reaching it as his horse fell. Grabbing his Winchester
J55 0450  3    from its sheath, Cook prepared to fight from behind
J55 0460  1    the arroyo bank. Bullets were so thick, throwing sand
J55 0460 10    in his face, that he found it difficult to return the
J55 0470  8    fire. Noticing Russell's horse in front of the long
J55 0480  6    log building, he assumed his friend had slipped inside
J55 0490  2    and would be able to put up a good fight, so he began
J55 0490 15    working his way down the ditch to join him. At a very
J55 0500 12    shallow place, two Mexicans rushed into the open for
J55 0510  6    a shot. Dropping to one knee, Cook felled one, and
J55 0520  4    the other struggled off with his comrade, sending no
J55 0520 13    further fire in his direction. Just before leaving
J55 0530  8    the arroyo where he was partially concealed, he did
J55 0540  6    hear shots down at the house.
J55 0550  1       Russell had reached the house as Cook surmised,
J55 0550  9    dismounted, but just as the old trapper opened the
J55 0560  7    door to receive him, he fell into the trapper's arms-
J55 0570  1    dead. A bullet fired by one of the Mexicans hiding
J55 0580  1    in a little chicken house had passed through his head,
J55 0580 11    tearing a hole two-inches square on the outgoing side.
J55 0590  8    Finding him dead, Cook caught Russell's horse and rode
J55 0600  5    to the cattle foreman's house to report the incident
J55 0610  3    and request bloodhounds to trail the assassins.
J55 0620  1       Before daylight Sunday morning, a posse of twenty-three
J55 0620 10    men under the leadership of Deputy Sheriff Frank MacPherson
J55 0630  8    of Catskill followed the trail to the house of Francisco
J55 0640  8    Chaves, where 100 to 150 Mexicans had gathered. MacPherson
J55 0650  5    boldly approached the fortified adobe house and demanded
J55 0660  5    entrance. The men inside informed him that they had
J55 0670  2    some wounded men among them but he would not be allowed
J55 0670 13    to see them even though he offered medical aid. The
J55 0680  9    officer demanded the names of the injured men; the
J55 0690  6    Mexicans not only refused to give them, but told the
J55 0700  4    possemen if they wanted a fight they could have it.
J55 0700 14    Since the strength of the Mexicans had been underrated,
J55 0710  9    too small a posse had been collected, and since the
J55 0720  7    deputy had not been provided with search warrants,
J55 0730  3    MacPherson and his men decided it was much wiser to
J55 0740  1    withdraw.
J55 0740  2       The posse's retreat encouraged the Mexicans to be
J55 0750  2    overbearing and impudent. During the following week,
J55 0750  9    six tons of hay belonging to one rancher were burned;
J55 0760  7    some buildings, farm tools, two horses, plows, and
J55 0770  5    hay owned by Bonito Lavato, a friendly interpreter
J55 0780  1    for the company, and Pedro Chavez' hay were stolen
J55 0780 10    or destroyed; and a store was broken into and robbed.
J55 0790  9    District Attorney M& W& Mills warned that he would
J55 0800  7    vigorously prosecute persons caught committing these
J55 0810  3    crimes or carrying arms- he just didn't catch anyone.
J55 0820  2       Increasing threats on his life finally convinced
J55 0820  9    Cook that he should leave New Mexico. His friends advised
J55 0830 10    that it would be only a question of time until either
J55 0840  9    the Mexicans killed him by ambuscade or he would be
J55 0850  6    compelled to kill them in self-defense, perpetuating
J55 0860  1    the troubles. By early summer, he wrote from Laramie
J55 0860 10    that he was suffering from the wound inflicted in the
J55 0870  9    ambush and was in a bad way financially, so Pels sent
J55 0880  6    him a draft for $100, warning that it was still not
J55 0890  4    wise for him to return. Pels also sent a check for
J55 0890 15    $100 to Russell's widow and had a white marble monument
J55 0900 10    erected on his grave.
J55 0910  2       Cattle stealing and killing, again serious during
J55 0910  9    the spring of 1891, placed the land grant company officers
J55 0920 10    in a perplexing position. They were reluctant to appoint
J55 0930  7    sheriffs to protect the property, thus running the
J55 0940  4    risk of creating disturbances such as that on the Vermejo,
J55 0950  3    and yet the cowboys protested that they got no salary
J55 0960  1    for arresting cattle thieves and running the risk of
J55 0960 10    being shot. And the law virtually ignored the situation.
J55 0970  7    The judge became ill just as the Colfax District Court
J55 0980  5    convened, no substitute was brought in, no criminal
J55 1000  3    cases heard, only 5 out of 122 cases docketed were
J55 1000 13    tried, and court adjourned sine die after sitting a
J55 1010  9    few days instead of the usual three weeks. Pels complained:
J55 1020  5    "Litigants and witnesses were put to the expense and
J55 1030  6    inconvenience of going long distances to transact business;
J55 1040  2    public money spent; justice delayed; nothing accomplished,
J55 1050  1    and the whole distribution of justice in this county
J55 1050 10    seems to be an absolute farce".
J55 1060  5       Word reached the company that the man behind these
J55 1070  3    depredations was Manuel Gonzales, a man with many followers,
J55 1080  1    including a number who were kept in line through fear
J55 1080 11    of him. Although wanted by the sheriff for killing
J55 1090  8    an old man named Asher Jones, the warrant for his arrest
J55 1100  6    had never been served. On May 19, a deputy sheriff's
J55 1110  3    posse of eight men left Maxwell City and rode thirty-five
J55 1120  1    miles up the Vermejo where they were joined by Juan
J55 1120 11    Jose Martinez. By 3:00 A&M& they reached his house
J55 1130  9    and found it vacant. When they were refused entrance
J55 1140  6    to his brother's house nearby, they smashed down the
J55 1150  5    door, broke the window, and threw lighted clothes wet
J55 1160  2    with kerosene into the room. Still there was no Gonzales
J55 1160 12    and the family would say nothing.
J55 1170  6       About 300 yards up the creek was a cluster of Mexican
J55 1180  5    houses containing six rooms in the form of a square.
J55 1190  2    While prowling around these buildings, two of the posse
J55 1190 11    recognized the voice of Gonzales speaking to the people
J55 1200  9    inside. He was promised that no harm would befall him
J55 1210  7    if he would come out, but he cursed and replied that
J55 1220  4    he would shoot any man coming near the door. The posse
J55 1230  2    then asked that he send out the women and children
J55 1230 12    as the building would be fired or torn down over his
J55 1240  9    head if necessary to take him dead or alive. Again
J55 1250  5    he refused. In deadly earnest, the besiegers methodically
J55 1260  1    stripped away portions of the roof and tossed lighted
J55 1260 10    rags inside, only to have most stamped out by the women
J55 1270 11    as soon as they hit the floor. When it became obvious
J55 1280  7    that he could stay inside no longer, taking a thousand
J55 1290  4    to one chance Gonzales rushed outside, square against
J55 1300  1    the muzzle of a Winchester. Shot near the heart, he
J55 1300 11    turned to one side and plunged for a door to another
J55 1310 10    room several feet away, three bullets following him.
J55 1320  4    As he pushed open the door he fell on his face, one
J55 1330  3    of his comrades pulling him inside.
J55 1330  9       Not realizing the seriousness of the wound, the
J55 1340  6    besiegers warned that if he did not surrender the house
J55 1350  3    would be burned down around him. Receiving no answer,
J55 1360  1    they set the fire. When the house was about half consumed,
J55 1360 12    his comrade ran to the door and threw up his hands,
J55 1370 10    declaring repeatedly that he did not know the whereabouts
J55 1380  7    of Manuel. Finding it true that he was not inside,
J55 1390  4    the deputies returned to the first house and tore holes
J55 1400  1    through the side and the roof until they could see
J55 1400 11    a body on the bed covered by a blanket. Several slugs
J55 1410  7    fired into the bed jerked aside the blanket to reveal
J55 1420  5    an apparently lifeless hand. Shot six or eight times
J55 1430  2    the body was draped with Russell's pistol, belt, and
J55 1430 11    cartridges. There was no extra horse so it was left
J55 1440 10    to his comrades who, though numbering in the fifties,
J55 1450  5    had stood around on the hillside nearby without firing
J55 1460  3    a shot during the entire attack.
J55 1460  9       Early the next morning, a Mexican telephoned Pels
J55 1470  6    that Celso Chavez, one of the posse members, was surrounded
J55 1480  5    by ten Mexicans at his father's home on the upper Vermejo.
J55 1490  5    The sheriff and District Attorney Mills hastily swore
J55 1500  1    out a number of warrants against men who had been riding
J55 1500 12    about armed, according to signed statements by Chavez
J55 1510  7    and Dr& I& P& George, and ordered Deputy Barney Clark
J55 1520  6    of Raton to rescue the posseman. Traveling all night,
J55 1530  4    Clark and twelve men arrived at about seven o'clock
J55 1540  2    May 22. Occasionally they heard gun-shot signals and
J55 1540 11    a number of horsemen were sighted on the hills, disappearing
J55 1550 10    at the posse's approach. A Mexican justice of the peace
J55 1560  8    had issue a writ against Chavez for taking part in
J55 1570  6    the "murder" of Manuel Gonzales so he and his father
J55 1580  6    were anxious to be taken out of danger. The men helped
J55 1590  2    them gather their belongings and escorted them to Raton
J55 1590 11    along with three other families desiring to leave.
J55 1600  8       The ten or more dangerous parties singled out for
J55 1610  6    prosecution were still at large, and Pels realized
J55 1620  3    that if these men entrenched themselves in their adobe
J55 1630  1    houses, defending themselves through loopholes, it
J55 1630  7    would be most difficult to capture them. Thus he wired
J55 1640  7    J& P& Lower and Sons of Denver: "Have you any percussion
J55 1650  6    hand grenades for throwing in a house or across a well
J55 1660  6    loaded with balls or shrapnel shot? If not, how long
J55 1670  3    to order and what is the price"? He wisely decided
J55 1670 13    that it would be foolish to create a disturbance during
J55 1680 10    the coming roundup, particularly since the Mexicans
J55 1690  5    were on their guard. His problem then became one of
J55 1700  5    restraining the American fighters who wanted to clean
J55 1710  1    out the Vermejo by force immediately.
J56 0010  1    The plant was located west of the Battenkill and south
J56 0010 11    of the location of the former electric light plant.
J56 0020  7       The Manchester Depot Sewer Company issued 214 shares
J56 0030  6    of stock at $10 each for construction of a sewer in
J56 0040  5    that locality, and assessments were made for its maintenance.
J56 0050  1    It has given considerable trouble at times and empties
J56 0050 10    right into the Battenkill. Fire District No& 1 discussed
J56 0060  9    its possible purchase in 1945, but considered it an
J56 0070  8    unwise investment.
J56 0070 10       The sewer on Bonnet Street was constructed when
J56 0080  8    there were only a few houses on the street. as new
J56 0090  6    homes were built they were connected so that all residences
J56 0100  3    south of School Street are served by it. B& J& Connell
J56 0110  2    is the present treasurer and manager.
J56 0110  8       The 1946 town meeting voted to have the Selectmen
J56 0120  7    appoint a committee to investigate and report on the
J56 0130  5    feasibility of some system of sewage disposal and a
J56 0140  2    disposal plant to serve Manchester Center, Depot, and
J56 0140 10    Way's Lane. The committee submitted a report signed
J56 0150  8    by Louis Martin and Leon Wiley with a map published
J56 0160  7    in the 1946 town report. The layout of the sewer lines
J56 0170  5    was designed by Henry W& Taylor, who was the engineer
J56 0180  2    for the Manchester Village disposal plant. No figures
J56 0180 10    were submitted with the report and no action was taken
J56 0190 10    on it by the town.
J56 0200  1       The 1958 town meeting directed town authorities
J56 0200  8    to seek federal and state funds with which to conduct
J56 0210  8    a preliminary survey of a proposed sewage plant with
J56 0220  4    its attendant facilities. The final step was a vote
J56 0230  1    for a $230,000 bond issue for the construction of a
J56 0230 11    sewage system by the 1959 town meeting, later confirmed
J56 0240  7    by a two-thirds vote at a special town meeting June
J56 0250  4    21, 1960.
J56 0250  6       There the matter stands with the prospect that soon
J56 0260  5    Manchester may be removed from the roster of towns
J56 0270  2    contributing raw sewage to its main streams.
J56 0270  9    #@ TELEPHONE AND TELEGRAPH#
J56 0280  2    MANCHESTER'S unusual interest in telegraphy has often
J56 0290  2    been attributed to the fact that the Rev& J& D& Wickham,
J56 0300  1    headmaster of Burr and Burton Seminary, was a personal
J56 0300 10    friend and correspondent of the inventor, Samuel F&
J56 0310  7    B& Morse. At any rate, Manchester did not lag far behind
J56 0320  8    the first commercial system which was set up in 1844
J56 0330  7    between Baltimore and Washington.
J56 0340  1       In 1846 Matthew B& Goodwin, jeweler and watchmaker,
J56 0340  8    became the town's first telegrapher in a dwelling he
J56 0350  7    built for himself and his business "two doors north
J56 0360  4    of the Equinox House" or "one door north of the Bank,
J56 0370  4    Manchester, Vermont". Goodwin was telegrapher for the
J56 0380  2    "American Telegraph Company" and the "Troy and Canada
J56 0390  1    Junction Telegraph Company". Shares of capital stock
J56 0390  8    at $15 each in the latter company were payable at the
J56 0400  9    Bank of Manchester or at various other Vermont banks.
J56 0410  5    A message of less than fifteen words to Bennington
J56 0420  2    cost twenty-five cents.
J56 0420  6       By 1871 L& C& Orvis, manager of the "Western Union
J56 0430  6    Telegraph Company", expressed willingness to send emergency
J56 0440  5    telegrams on Sundays from his Village drugstore. Orvis
J56 0450  3    even needed to hire an assistant, Clark J& Wait. The
J56 0460  2    Manchester Journal commented editorially on the surprising
J56 0470  1    amount of local telegraphic business.
J56 0470  6       In the fall of 1878, the "Popular Telegraph Line"
J56 0480  5    was established between Manchester and Factory Point
J56 0490  4    by the owners, Paul W& Orvis, Henry Gray, J& N& Hard,
J56 0500  4    and Clark J& Wait. The line soon lived up to its name,
J56 0510  4    as local messages of moderate length could be sent
J56 0510 13    for a dime and the company was quickly able to declare
J56 0520 10    very liberal dividends on its capital stock.
J56 0530  5       In 1879 the same Clark Wait, with H& H& Holley of
J56 0540  4    South Dorset, formed the "American Telegraph Line",
J56 0550  2    extending from Manchester Depot via Factory Point and
J56 0560  1    South Dorset to Dorset. Besides being most convenient,
J56 0560  9    the line "soon proved a good investment for the owners".
J56 0570  8    Telegraphers at the Depot at this time were Aaron C&
J56 0580  8    Burr and Mark Manley of "Burr and Manley", dealers
J56 0590  4    in lumber and dry goods.
J56 0590  9       Early equipment was very flimsy; the smallest gusts
J56 0600  7    of wind toppled poles, making communications impossible.
J56 0610  4    But companies continued to spring up. By 1883 the "Battenkill
J56 0620  6    Telegraph Company" was in existence and Alvin Pettibone
J56 0630  4    was its president. Operating in 1887 was the "Valley
J56 0640  2    Telegraph Line", officers of which were E& C& Orvis,
J56 0650  1    president; H& K& Fowler, vice-president and secretary;
J56 0660  1    J& N& Hard, treasurer; F& H& Walker, superintendent;
J56 0670  1    H& S& Walker, assistant superintendent. Two companies
J56 0670  8    now had headquarters with Clark J& Wait, who by then
J56 0680  9    had his own drugstore at Factory Point- the "Northern
J56 0690  6    Union Telegraph Company" and the "Western Union". Operators
J56 0700  6    were Arthur Koop and Norman Taylor. Still existing
J56 0710  4    on a "Northern Union" telegraph form is a typical peremptory
J56 0720  5    message from Peru grocer J& J& Hapgood to Burton and
J56 0730  4    Graves' store in Manchester- "Get and send by stage
J56 0740  3    sure four pounds best Porterhouse or serloin stake,
J56 0740 11    for Mrs& Hapgood send six sweet oranges".
J56 0750  6       About 1888 J& E& McNaughton of Barnumville and E&
J56 0760  6    G& Bacon became proprietors of the "Green Mountain
J56 0770  5    Telegraph Company", connecting all offices on the Western
J56 0780  4    Union line and extending over the mountain from Barnumville
J56 0790  2    to Peru, Londonderry, South Londonderry, Lowell Lake,
J56 0800  1    Windham, North Windham, Grafton, Cambridgeport, Saxton's
J56 0810  1    River, and Bellows Falls.
J56 0810  5       From 1896 until 1910 John H& Whipple was manager
J56 0820  4    of Western Union at the Center in the drugstore he
J56 0830  2    purchased from Clark Wait. The Village office of Western
J56 0830 11    Union with George Towsley as manager and telegrapher
J56 0840  8    continued in Hard's drugstore until 1905. During the
J56 0850  6    summers, Towsley often needed the assistance of a company
J56 0860  6    operator.
J56 0860  7       These were the years when people flocked to Manchester
J56 0870  5    not only to play golf, which had come into vogue, but
J56 0880  4    also to witness the Ekwanok Country Club tournaments.
J56 0890  1    New Yorkers were kept informed of scores by reporters
J56 0890 10    who telegraphed fifteen to twenty thousand words daily
J56 0900  7    to the metropolitan newspapers. This boosted local
J56 0910  4    telegraph business and Manchester basked in all the
J56 0920  3    free advertising. In 1914 when the town was chosen
J56 0920 12    for the U& S& Amateur Golf tournament, a representative
J56 0930  8    hurried here from the Boston manager's office. In his
J56 0940  7    wake came the District Traffic Supervisor and the cream
J56 0950  5    of the telegraphic profession, ten of Boston's best,
J56 0960  3    chosen for their long experience and thorough knowledge
J56 0970  1    of golf. During that tournament alone, some 250,000
J56 0970  9    words winged their way out of Manchester.
J56 0980  6       The old Morse system was replaced locally by the
J56 0990  4    Simplex modern automatic method in 1929, when Ellamae
J56 1000  1    Heckman (Wilcox) was manager of the Western Union office.
J56 1000 10    During summers, business was so brisk that Mrs& Wilcox
J56 1010  9    had two assistants and a messenger. She was succeeded
J56 1020  7    by Clarence Goyette. Since that time the telegraph
J56 1030  5    office has shifted in location from the railroad station
J56 1040  2    at the Depot and shops at the Center back to the town
J56 1040 14    clerk's office and drugstore at the Village. After
J56 1050  8    being located for some years in the Village at the
J56 1060  8    Equinox Pharmacy under the supervision of Mrs& Harry
J56 1070  4    Mercier, it is presently located in the Hill and Dale
J56 1080  3    Shop, Manchester Center.
J56 1080  6       The first known telephone line in Manchester was
J56 1090  5    established in July 1883 between Burr and Manley's
J56 1100  2    store at Manchester Depot and the Kent and Root Marble
J56 1110  1    Company in South Dorset. This was extended the following
J56 1110 10    year to include the railroad station agent's office
J56 1120  8    and Thayer's Hotel at Factory Point. In November 1887
J56 1130  7    a line connecting several dwelling houses in Dorset
J56 1140  4    was extended to Manchester Depot. Telephone wires from
J56 1150  3    Louis Dufresne's house in East Manchester to the Dufresne
J56 1160  1    lumber job near Bourn Pond were up about 1895. Eber
J56 1160 11    L& Taylor of Manchester Depot recorded the setting
J56 1170  7    of phone poles in East Dorset and Barnumville in his
J56 1180  6    diary for 1906. These must have been for local calls
J56 1190  4    strictly, as in May 1900 the "only long distance telephone"
J56 1200  2    in town was transferred from C& B& Carleton's to Young's
J56 1210  2    shoe store.
J56 1210  4       A small single switchboard was installed in the
J56 1220  3    Village over Woodcock's hardware store (later E& H&
J56 1230  1    Hemenway's). George Woodcock was manager and troubleshooter;
J56 1240  1    Elizabeth Way was the first operator; and a night operator
J56 1240 11    was also employed. Anyone fortunate enough to have
J56 1250  7    one of those early phones advertised the fact along
J56 1260  5    with the telephone number in the Manchester Journal.
J56 1270  2       In 1918 the New England Telephone Company began
J56 1280  2    erecting a building to house its operations on the
J56 1280 11    corner of U& S& Rte& 7 and what is now Memorial Avenue
J56 1290 10    at Manchester Center. Service running through Barnumville
J56 1300  5    and to Bennington County towns east of the mountains
J56 1310  6    was in the hands of the "Gleason Telephone Company"
J56 1320  2    in 1925, but major supervision of telephone lines in
J56 1330  2    Manchester was with the New England Telephone and Telegraph
J56 1330 11    Company, which eventually gained all control. More
J56 1340  7    aerial and underground equipment was installed as well
J56 1350  6    as office improvements to take care of the expanding
J56 1360  4    business.
J56 1360  5       In 1931 Mrs& F& H& Briggs, agent and chief operator,
J56 1370  5    who was to retire in 1946 with thirty years' service,
J56 1380  2    led agency offices in sales for the year with $2,490.
J56 1390  1    William Hitchcock, who retired in 1938, was a veteran
J56 1390 10    of thirty-four years' local service. Another veteran
J56 1400  6    telephone operator was Edith Fleming Blackmer, who
J56 1410  4    had been in the office forty years at the time of her
J56 1420  3    death in 1960.
J56 1420  6       In 1932 Dorset received its own exchange, which
J56 1430  2    made business easier for the Manchester office, but
J56 1430 10    it was not until February 1953 that area service was
J56 1440  9    extended to include Manchester and Dorset. This eliminated
J56 1450  5    toll calls between the two towns. Within a month, calls
J56 1460  5    were up seventy per cent.
J56 1460 10    #@ ELECTRIC POWER#
J56 1470  2    ELECTRICITY plays such an important part in community
J56 1470 10    life today that it is difficult to envision a time
J56 1480 10    when current was not available for daily use. Yet one
J56 1490  7    has to go back only some sixty years.
J56 1500  1       The first mention of an electric plant in Manchester
J56 1500 10    seems to be one installed in Reuben Colvin's and Houghton's
J56 1510 10    gristmill on the West Branch in Factory Point. No records
J56 1520 10    are available as to the date or extent of installation,
J56 1530  8    but it may have been in 1896.
J56 1540  1       On June 14, 1900 the Manchester Journal reported
J56 1540  9    that an electrical engineer was installing an electric
J56 1550  8    light plant for Edward S& Isham at "Ormsby Hill". This
J56 1560  7    was working by the end of August and giving satisfactory
J56 1570  6    service.
J56 1570  7       In November 1900 surveying was done under John Marsden
J56 1580  7    on the east mountains to ascertain if it would be possible
J56 1590  6    to get sufficient water and fall to operate an electric
J56 1600  3    power plant. Nothing came of it, perhaps due to lack
J56 1600 13    of opportunity for water storage.
J56 1610  5       The next step was construction by the Manchester
J56 1620  4    Light and Power Company of a plant on the west bank
J56 1630  2    of the Battenkill south of Union Street bridge. This
J56 1630 11    was nearly completed May 23, 1901 with a promise of
J56 1640  9    lights by June 10, but the first light did not go on
J56 1650  8    until September 28. It was at the end of the sidewalk
J56 1660  4    in front of the Dellwood Cemetery cottage.
J56 1670  1       The first directors of the Manchester Light and
J56 1670  8    Power Company were John Marsden, M& L& Manley, William
J56 1680  7    F& Orvis, George Smith, and John Blackmer. The officers
J56 1690  6    were John Marsden, president; John C& Blackmer, vice-president;
J56 1700  6    George Smith, treasurer; and William F& Orvis, secretary.
J56 1710  6    Marsden was manager of the company for ten years and
J56 1720  6    manager of its successor company, the Colonial Light
J56 1730  2    and Power Company, for one year.
J56 1730  8       At about the time the Marsden enterprise was getting
J56 1740  6    under way, the Vail Light and Lumber Company started
J56 1750  4    construction of a chair stock factory on the site of
J56 1760  3    the present Bennington Co-operative Creamery, intending
J56 1760 10    to use its surplus power for generating electricity.
J56 1770  8    Manchester then had two competing power companies until
J56 1780  6    1904, when the Manchester Light and Power Company purchased
J56 1790  5    the transmission system of the Vail Company. This was
J56 1800  4    fortunate, as the Vail plant burned in 1905.
J56 1810  1       The Colonial Light and Power Company was succeeded
J56 1810  9    by the Vermont Hydro-Electric Corporation, which in
J56 1820  6    turn was absorbed by the Central Vermont Public Service
J56 1830  5    Corporation. The latter now furnishes the area with
J56 1840  4    electricity distributed from a modern sub-station at
J56 1850  1    Manchester Depot which was put into operation February
J56 1850  9    19, 1930 and was improved in January 1942 by the installation
J56 1860  9    of larger transformers.
J56 1870  1       For a time following the abandonment of the local
J56 1870 10    plant, electric current for Manchester was brought
J56 1880  7    in from the south with an emergency tie-in with the
J56 1890  7    Vermont Marble Company system to the north.
J57 0010  1    Some who have written on Utopia have treated it as
J57 0010 11    "a learned diversion of a learned world", "a phantasy
J57 0020  8    with which More amused himself", "a holiday work, a
J57 0030  6    spontaneous overflow of intellectual high spirits,
J57 0040  3    a revel of debate, paradox, comedy and invention".
J57 0040 11    With respect to this view, two points are worth making.
J57 0050 10    First, it appears to be based on the fact that on its
J57 0060 10    title page Utopia is described as "festivus", "gay".
J57 0070  4    It overlooks the other fact that it is described as
J57 0080  5    "Nec minus salutaris quam festivus", "no less salutary
J57 0090  3    than gay". It also overlooks the fact that in a rational
J57 0100  1    lexicon, and quite clearly in More's lexicon, the opposite
J57 0100 10    of serious is not gay but frivolous, and the opposite
J57 0110 10    of gay is not serious but solemn. More believed that
J57 0120  6    a man could be both serious and gay. That a writer
J57 0130  4    who is gay cannot be serious is a common professional
J57 0140  1    illusion, sedulously fostered by all too many academics
J57 0140  9    who mistakenly believe that their frivolous efforts
J57 0150  6    should be taken seriously because they are expressed
J57 0160  4    with that dreary solemnity which is the only mode of
J57 0170  2    expression their authors are capable of. Secondly,
J57 0170  9    to find a learned diversion and a pleasing joke in
J57 0180  7    More's account of the stupid brutalities of early sixteenth
J57 0190  5    century wars, of the anguish of the poor and dispossessed,
J57 0200  3    of the insolence and cruelty of the rich and powerful
J57 0210  1    requires a callousness toward suffering and sin that
J57 0210  9    would be surprising in a moral imbecile and most surprising
J57 0220  8    in More himself. Indeed, it is even surprising in the
J57 0230  7    Canon of Christ Church and Regius Professor of Ecclesiastical
J57 0240  4    History, who fathered this most peculiar view, and
J57 0250  3    in the brilliant Professor of Medieval and Renaissance
J57 0260  1    English at Cambridge, who inherited it and is now its
J57 0260 11    most eminent proponent.
J57 0270  2       But to return to the main line of our inquiry. It
J57 0280  1    is doubtful that Utopia is still widely read because
J57 0280 10    More was medieval or even because he was a martyr-
J57 0290  8    indeed, it is likely that these days many who read
J57 0300  5    Utopia with interest do not even know that its author
J57 0310  3    was a martyr. Utopia is still widely read because in
J57 0320  1    a sense More stood on the margin of modernity. And
J57 0320 11    if he did stand on the margins of modernity, it was
J57 0330  8    not in dying a martyr for such unity as Papal supremacy
J57 0340  4    might be able to force on Western Christendom. It was
J57 0350  3    not even in writing Latin epigrams, sometimes bawdy
J57 0350 11    ones, or in translating Lucian from Greek into Latin
J57 0360  8    or in defending the study of Greek against the attack
J57 0370  6    of conservative academics, or in attacking the conservative
J57 0380  3    theologians who opposed Erasmus's philological study
J57 0390  2    of the New Testament. Similar literary exercises were
J57 0390 10    the common doings of a Christian humanist of the first
J57 0400 10    two decades of the sixteenth century. Had More's writings
J57 0410  6    been wholly limited to such exercises, they would be
J57 0420  5    almost as dimly remembered as those of a dozen or so
J57 0430  3    other authors living in his time, whose works tenuously
J57 0430 12    survive in the minds of the few hundred scholars who
J57 0440 10    each decade in pursuit of their very specialized occasions
J57 0450  6    read those works.
J57 0450  9       More stands on the margins of modernity for one
J57 0460  9    reason alone- because he wrote Utopia. And the evidence
J57 0470  6    that he does, indeed, stand there derives quite simply
J57 0480  4    from the vigorous interest with which rather casual
J57 0490  1    readers have responded to that book for the past century
J57 0490 11    or so. Only one other contemporary of More's evokes
J57 0500  8    so immediate and direct a response, and only one other
J57 0510  7    contemporary work- Niccolo Machiavelli and The Prince.
J57 0520  4    Can we discover what it is in Utopia that has evoked
J57 0530  4    this response? Remember that in seeking the modern
J57 0540  1    in Utopia we do not deny the existence of the medieval
J57 0540 12    and the Renaissance there; we do not even need to commit
J57 0550  9    ourselves to assessing on the same inconceivable scale
J57 0570  2    the relative importance of the medieval, the Renaissance,
J57 0580  2    and the modern. The medieval was the most important
J57 0590  1    to Chambers because he sought to place Thomas More,
J57 0590 10    the author of Utopia, in some intelligible relation
J57 0600  6    with St& Thomas More, the martyr. To others whose concern
J57 0610  7    it is to penetrate the significance of Christian Humanism,
J57 0620  4    the Renaissance elements are of primary concern. But
J57 0630  3    here we have a distinctly modern preoccupation; we
J57 0630 11    want to know why that book has kept on selling the
J57 0640 11    way it has; we want to know what is perennially new
J57 0650  7    about Utopia.
J57 0650  9       What is new about it? To that question the answer
J57 0660  8    is simple; it can be made in two words, Utopian communism.
J57 0670  6    But it is an answer which opens the door wide to an
J57 0680  5    onrush of objections and denials. Surely there is nothing
J57 0690  1    new about communism. We find it in Plato's republic,
J57 0690 10    and in Utopia More acknowledges his debt to that book.
J57 0700 10    We find it in that "common way of life **h pleasing
J57 0710  9    to Christ and **h still in use among the truest societies
J57 0720  6    of Christians", that is, the better monasteries which
J57 0730  3    made it easier to convert the Utopians to Christianity.
J57 0750  1    We find it in the later Stoic conception of man's natural
J57 0750 12    condition which included the community of all possessions.
J57 0760  8    This conception was taken up by the early Church Fathers
J57 0770  9    and by canon lawyers and theologians in the Middle
J57 0780  5    Ages; and More was far too well read not to have come
J57 0790  4    across it in one or several of the forms thus given
J57 0790 15    it.
J57 0800  1       But although the idea of communism is very old even
J57 0800 11    in More's day and did not spring full-clad from his
J57 0810 10    imagination in 1515, it is not communism as such that
J57 0820  7    we are concerned with. We are concerned not with the
J57 0830  4    genus communism nor with other species of the genus:
J57 0840  1    Platonic, Stoic, early Christian, monastic, canonist
J57 0840  7    or theological communism; we are concerned with Utopian
J57 0850  7    communism- that is, simply communism as it appears
J57 0860  5    in the imaginary commonwealth of Utopia, as More conceived
J57 0870  4    it. Perhaps one way to sharpen our sense of the modernity
J57 0880  1    of Utopian communism is to contrast it with the principal
J57 0880 11    earlier types of communistic theory. We will achieve
J57 0890  8    a more vivid sense of what it is by realizing what
J57 0900  8    it is not.
J57 0900 11       In Plato's Republic communism is- to speak anachronistically-
J57 0910  6    a communism of Janissaries. Its function is to separate
J57 0920  6    from the base ruled mass, among whom private ownership
J57 0930  4    prevails, the governing warrior elite. Moreover, it
J57 0940  2    is too readily forgotten that in the Republic what
J57 0941  1    gave the initial impetus to Plato's excursus into the
J57 0950  9    construction of an imaginary commonwealth with its
J57 0960  5    ruling-class communism of goods, wives, and children,
J57 0970  3    was his quest for a canon for the proper ordering of
J57 0980  1    the individual human psyche; and it is to this problem
J57 0980 11    that the Republic ultimately returns. In More's Utopia
J57 0990  6    communism is not a means of separating out a warrior
J57 1000  8    elite from the lumpish mass. Utopian communism applies
J57 1010  3    to all Utopians. And in the economy of the book it
J57 1020  3    is not peripheral but central. The concern of Utopia
J57 1020 12    is with the optimo reipublicae statu, the best ordering
J57 1030  9    of a civil society; and it is again and again made
J57 1040  8    clear that Utopian communism provides the institutional
J57 1050  4    array indispensible to that best ordering.
J57 1060  1       To derive Utopian communism from the Jerusalem Christian
J57 1060  9    community of the apostolic age or from its medieval
J57 1070  9    successors-in-spirit, the monastic communities, is
J57 1080  5    with an appropriate shift of adjectives, misleading
J57 1090  2    in the same way as to derive it from Plato's Republic:
J57 1100  1    in the Republic we have to do with an elite of physical
J57 1110  1    and intellectual athletes, in the apostolic and monastic
J57 1110  9    communities with an elite of spiritual and religious
J57 1120  7    athletes. The apostolic community was literally an
J57 1130  4    elite: chosen by Christ himself. And the monastic communities
J57 1140  2    were supposed to be made up of volunteers selected
J57 1140 11    only after a novitiate which would test their religious
J57 1150  9    aptitude for monastic rigors, their spiritual athleticism.
J57 1160  5       Finally, the conception of the natural community
J57 1170  5    of all possessions which originated with the Stoics
J57 1180  4    was firmly fixed in a tradition by More's time, although
J57 1190  1    it was not accepted by all the theologian-philosophers
J57 1190 10    of the Middle Ages. In that tradition communism lay
J57 1200  8    a safe distance back in the age of innocence before
J57 1210  6    the Fall of Man. It did not serve to contrast the existing
J57 1220  4    order of society with a possible alternative order,
J57 1230  1    because the age of innocence was not a possible alternative
J57 1230 11    once man had sinned. The actual function of
J57 1240  7    patristic-civilian-canonist-scholastic
J57 1250  1    communism was adequately set forth by St& Gregory almost
J57 1250 10    a millenium before More wrote Utopia.
J57 1260  6       "The soil is common to all men **h. When we give
J57 1270  8    the necessities of life to the poor, we restore to
J57 1280  4    them what is already theirs. We should think of it
J57 1280 14    more as an act of justice than compassion".
J57 1290  8       Because community not severalty of property is the
J57 1300  6    law of nature no man can assert an absolutely unalterable
J57 1310  2    right to what is his. Indeed, of all that is his every
J57 1320  1    man is by nature and reason and therefore by conscience
J57 1320 11    obligated to regard himself as a custodian. He is a
J57 1330 10    trustee for the common good, however feeble the safeguards
J57 1340  5    which the positive or municipal law of property provides
J57 1350  3    against his misuse of that share of the common fund,
J57 1360  1    wisely or unwisely, entrusted to his keeping. In contrast
J57 1360 10    to this Stoic-patristic view, Utopia implies that the
J57 1370  8    nature of man is such that to rely on individual conscience
J57 1380  7    to supply the deficiencies of municipal law is to embark
J57 1390  6    on the bottomless sea of human sinfulness in a sieve.
J57 1400  4    The Utopians brace conscience with legal sanctions.
J57 1400 11    In a properly ordered society the massive force of
J57 1410  9    public law performs the function which in natural law
J57 1420  6    theory ineptly is left altogether to a small voice
J57 1430  4    so often still.
J57 1430  7       In all the respects just indicated Utopian communism
J57 1450  3    differs from previous conceptions in which community
J57 1460  1    of possessions and living plays a role. Neither from
J57 1460 10    one of these conceptions nor from a combination of
J57 1470  7    them can it be deduced. We do not deny originality
J57 1480  4    to the Agamemnon because Aeschylus found the tales
J57 1490  2    of the house of Atreus among the folk lore of the Greeks.
J57 1490 14    In a like sense whatever bits or shreds of previous
J57 1500 10    conceptions one may find in it, Utopian communism remains,
J57 1510  7    as an integral whole, original- a new thing. It is
J57 1520  8    not merely a new thing; it is one of the very few new
J57 1530  3    things in Utopia; most of the rest is medieval or humanist
J57 1540  1    or part of an old tradition of social criticism. But
J57 1540 11    to say that at a moment in history something is new
J57 1550  9    is not necessarily to say that it is modern; and for
J57 1560  7    this statement the best evidence comes within the five
J57 1570  4    years following the publication of Utopia, when Martin
J57 1580  2    Luther elaborates a new perception of the nature of
J57 1580 11    the Divine's encounter with man. New, indeed, is Luther's
J57 1590  8    perception, but not modern, as anyone knows who has
J57 1600  8    ever tried to make intelligible to modern students
J57 1610  4    what Luther was getting at.
J57 1610  9       Although Utopian communism is both new in 1516 and
J57 1620  8    also modern, it is not modern communism or even modern
J57 1630  4    socialism, as they exist or have ever existed in theory
J57 1640  2    or in practice. Consider the features of Utopian communism:
J57 1650  1    generous public provision for the infirm; democratic
J57 1650  8    and secret elections of all officers including priests,
J57 1660  6    meals taken publicly in common refectories; a common
J57 1670  4    habit or uniform prescribed for all citizens; even
J57 1680  2    houses changed once a decade; six hours of manual labor
J57 1690  1    a day for all but a handful of magistrates and scholars,
J57 1690 12    and careful measures to prevent anyone from shirking;
J57 1700  6    no private property, no money; no sort of pricing at
J57 1710  6    all for any goods or services, and therefore no market
J57 1720  3    in the economic sense of the term. Whatever the merits
J57 1720 13    of its intent, Utopian communism is far too naive,
J57 1730  9    far too crude, to suit any modern socialist or communist.
J57 1740  6    It is not the details of Utopian communism that make
J57 1750  4    Utopia modern, it is the spirit, the attitude of mind
J57 1760  3    that informs those details. What that spirit and attitude
J57 1770  1    were we can best understand if we see more precisely
J57 1770 11    how it contrasts with the communist tradition with
J57 1780  6    the longest continuous history, the one which reached
J57 1790  4    Christianity by the way of Stoicism through the Church
J57 1800  2    Fathers of Late Antiquity.
J58 0010  1       During the Dorr trial the Democratic press condemned
J58 0010  9    the proceedings and heralded Dorr as a martyr to the
J58 0020  9    principles of the Declaration of Independence. During
J58 0030  4    the Brown trial, however, the state's most powerful
J58 0040  3    Democratic newspaper, the Providence Daily Post, stated
J58 0050  2    that Brown was a murderer, a man of blood, and that
J58 0050 13    he and his associates, with the assistance of Republicans
J58 0060  8    and Abolitionists, had plotted not only the liberation
J58 0070  7    of the slaves but also the overthrow of state and federal
J58 0080  5    governments. The Providence Daily Journal answered
J58 0090  2    the Daily Post by stating that the raid of John Brown
J58 0100  2    was characteristic of Democratic acts of violence and
J58 0100 10    that "He was acting in direct opposition to the Republican
J58 0110  9    Party, who proclaim as one of their cardinal principles
J58 0120  7    that they do not interfere with slavery in the states".
J58 0130  6    The two major newspapers in Providence continued, throughout
J58 0140  3    the crisis, to accuse each other of misrepresenting
J58 0150  1    the facts and attempting to falsify history.
J58 0150  8       While the Daily Post continued to accuse Republicans
J58 0160  7    and the Daily Journal continued to accuse Democrats,
J58 0170  5    the Woonsocket Patriot complained that the Virginia
J58 0180  4    authorities showed indecent and cowardly haste to condemn
J58 0190  4    Brown and his men. Editor Foss stated, "Of their guilt
J58 0200  2    **h there can be no doubt **h but they are entitled
J58 0200 13    to sufficient time to prepare for trial, and **h a
J58 0210  9    fair trial". The Providence Daily Post thought that
J58 0220  5    there were probably good reasons for the haste in which
J58 0230  5    the trial was being conducted and that the only thing
J58 0240  1    gained by a delay would be calmer feelings. The Providence
J58 0240 11    Daily Journal stated that although the guilt of Brown
J58 0250  9    was evident, the South must guarantee him a fair trial
J58 0260  8    to preserve domestic peace.
J58 0270  1       On October 31, 1859, John Brown was found guilty
J58 0270 10    of treason against the state of Virginia, inciting
J58 0280  7    slave rebellion, and murder. For these crimes he was
J58 0290  6    sentenced to be hanged in public on Friday, December
J58 0300  2    2, 1859. Upon receiving the news, Northern writers,
J58 0300 10    editors, and clergymen heaped accusations of murder
J58 0310  7    on the Southern states, particularly Virginia.
J58 0320  3       Although Rhode Islanders were preparing for the
J58 0330  3    state elections, they watched John Brown's trial with
J58 0340  1    extreme interest. On Wednesday morning, November 2,
J58 0340  8    1859, the Providence Daily Journal stated that although
J58 0350  6    Brown justly deserved the extreme penalty, no man,
J58 0360  6    however criminal, ought to suffer the penalty without
J58 0370  2    a fairer trial. The editor's main criticism of the
J58 0370 11    trial was the haste with which it was conducted. The
J58 0380 10    readers of the Providence Daily Post, however, learned
J58 0390  5    that it was generally conceded that "Old Brown" had
J58 0400  5    a fair trial. Concerning the sentence the editor asked,
J58 0410  4    "What else can Virginia do than to hang the men who
J58 0411  2    have defied her laws, organized treason, and butchered
J58 0420  8    her citizens".
J58 0430  1       In the eastern section of the state the newspapers'
J58 0430 10    reaction to Brown's trial and sentence were basically
J58 0440  8    identical. J& Wheaton Smith, editor of the Warren Telegraph
J58 0450  8    stated that "the ends of justice must be satisfied,
J58 0460  7    a solitary example must be set, in order that all those
J58 0470  6    misnamed philantropists [sic], who, actuated by a blind
J58 0480  4    zeal, dare to instigate riot, treason, and murder,
J58 0480 12    may heed it and shape their future course accordingly".
J58 0490  9    The editor of the Newport Advertiser could discover
J58 0500  6    no evidence of extenuating circumstances in the Brown
J58 0510  5    trial which would warrant making an exception to the
J58 0520  3    infliction of capital punishment.
J58 0520  7       In direct contrast to the other Rhode Island editors,
J58 0530  7    Samuel S& Foss of the Woonsocket Patriot outwardly
J58 0540  3    condemned the trial as being completely unfair. Concerning
J58 0550  3    the sentence, Foss wrote, "If it be possible **h that
J58 0560  3    mercy shall override vengeance **h and that John Brown's
J58 0570  1    sentence shall be commuted to imprisonment, it would
J58 0570  9    be well- well for the country **h and for Virginia".
J58 0580  8       Despite the excitement being caused by the trial
J58 0590  6    and sentence of John Brown, Rhode Islanders turned
J58 0600  2    their attention to the state elections. The state had
J58 0610  1    elected Republican candidates in the past two years.
J58 0610  9    There was no doubt as to the control the Republican
J58 0620  7    party exercised throughout the state. If it failed
J58 0630  5    on occasion to elect its candidates for general state
J58 0640  1    offices by majorities, the failure was due to a lingering
J58 0640 11    remnant of the Know-Nothing party, which called itself
J58 0650  9    the American Republican party. The American Republicans
J58 0660  5    and the Republicans both nominated Lieutenant-Governor
J58 0670  3    Turner for governor. Elisha R& Potter was the Democratic
J58 0680  4    candidate. The results of the election of 1859 found
J58 0690  2    Republican candidates not only winning the offices
J58 0690  9    of governor and lieutenant-governor but also obtaining
J58 0700  7    the two Congressional offices from the eastern and
J58 0710  5    western sections of the state.
J58 0710 10       During the month of November hardly a day passed
J58 0720  9    when there was not some mention of John Brown in the
J58 0730  6    Rhode Island newspapers. On November 7, 1859, the Providence
J58 0740  5    Daily Journal reprinted a letter sent to John Brown
J58 0750  4    from "E& B&", a Quaker lady in Newport. In reference
J58 0760  2    to Brown's raid she wrote, "though we are non-resistants
J58 0770  1    and religiously believe it better to reform by moral
J58 0770 10    and not by carnal weapons **h we know thee was anemated
J58 0780  8    [sic] by the most generous and philanthropic motives".
J58 0790  4    "E& B&" compared John Brown to Moses in that they were
J58 0800  7    both acting to deliver millions from oppression. In
J58 0810  3    contrast to "E& B&", most Rhode Islanders hardly thought
J58 0820  3    of John Brown as being another Moses. Most attempts
J58 0830  1    to develop any sympathy for Brown and his actions found
J58 0830 11    an unresponsive audience in Rhode Island.
J58 0840  5       On Wednesday evening, November 23, 1859, in Warren,
J58 0850  5    Rev& Mark Trafton of New Bedford, gave a "Mission of
J58 0860  4    Sympathy" lecture in which he favorably viewed the
J58 0870  1    Harper's Ferry insurrection. The Warren Telegraph stated
J58 0880  1    that many of Rev& Trafton's remarks were inappropriate
J58 0880  9    and savored strongly of radicalism and fanaticism.
J58 0890  6    In its account of the Trafton lecture, the Providence
J58 0900  4    Daily Post said that the remarks of Rev& Trafton made
J58 0920  4    the people indignant.
J58 0920  7       No sympathy or admiration for Brown could be found
J58 0930  6    in the Providence Daily Post, for the editor claimed
J58 0940  5    that there were a score of men in the state prison
J58 0950  1    who were a thousand times more deserving of sympathy.
J58 0950 10    The Providence Daily Journal, however, stated that
J58 0960  6    Brown's courage, bravery, and heroism "in a good cause
J58 0980  7    would make a man a martyr; it gives something of dignity
J58 0990  4    even to a bad one". The Woonsocket Patriot admitted
J58 1000  2    that John Brown might deserve punishment or imprisonment
J58 1010  1    "but he should no more be hung than Henry A& Wise or
J58 1010 13    James Buchanan". The Newport Mercury exhibited more
J58 1020  7    concern over the possibility of the abolitionists making
J58 1030  7    a martyr of Brown than it did over the development
J58 1040  5    of sympathy for him.
J58 1040  9       In her letter to John Brown, "E& B&", the Quakeress
J58 1050  8    from Newport, had suggested that the American people
J58 1060  6    owed more honor to John Brown for seeking to free the
J58 1070  5    slaves than they did to George Washington. During the
J58 1080  2    latter days of November to the day of Brown's execution,
J58 1090  1    it seems that most Rhode Islanders did not concur in
J58 1090 11    "E& B&'s" suggestion. On November 22, 1859, the Providence
J58 1100  8    Daily Journal stated that although Brown's "pluck"
J58 1120  6    and honest fanaticism must be admired, any honor paid
J58 1130  7    to Brown would only induce other fanatics to imitate
J58 1140  3    his actions. A week later the Daily Journal had discovered
J58 1160  2    the initial plans of some Providence citizens to hold
J58 1160 11    a meeting honoring John Brown on the day of his execution.
J58 1170 11    The editor of the Daily Journal warned, "**h that if
J58 1180  9    such a demonstration be made, it will not find support
J58 1190  8    or countenance from any of the men whose names are
J58 1200  4    recognized as having a right to speak for Providence".
J58 1210  1    The Providence Daily Post's editor wrote that he could
J58 1220  1    not believe that a meeting honoring Brown was to be
J58 1230 10    held in Providence. He further called upon the people
J58 1240  7    of Providence to rebuke the meeting and avoid disgrace.
J58 1250  4       On December 2, 1859, John Brown was hanged at Charles
J58 1260  4    Town, Virginia. Extraordinary precautions were taken
J58 1270  2    so that no stranger be allowed in the city and no citizen
J58 1270 14    within the enclosure surrounding the scaffold. In many
J58 1280  8    Northern towns and cities meetings were held and church
J58 1290  7    bells were tolled. Such was not the case in Rhode Island.
J58 1300  6    The only public demonstration in honor of John Brown
J58 1310  4    was held at Pratt's Hall in Providence, on the day
J58 1320  2    of his execution.
J58 1320  5       Despite the opposition of the city newspapers, the
J58 1330  2    Pratt Hall meeting "brought together a very respectable
J58 1340  1    audience, composed in part of those who had been distinguished
J58 1340 11    for years for their radical views upon the subject
J58 1350  8    of slavery, of many of our colored citizens, and of
J58 1360  5    those who were attracted to the place by the novelty
J58 1370  2    of such a gathering". Seated on the platform were Amos
J58 1370 12    C& Barstow, ex-mayor of Providence and a wealthy Republican
J58 1380 10    stove manufacturer; Thomas Davis, an uncompromising
J58 1390  6    Garrisonian; the Reverend Augustus Woodbury, a Unitarian
J58 1400  6    minister; the Reverend George T& Day, a Free-Will Baptist;
J58 1410  8    Daniel w& Vaughan, and William H& H& Clements. The
J58 1420  7    latter two were appointed secretaries. The first speaker
J58 1430  4    was Amos C& Barstow who had been unanimously chosen
J58 1440  2    president of the meeting. He spoke of his desire to
J58 1440 12    promote the abolition of slavery by peaceable means
J58 1450  8    and he compared John Brown of Harper's Ferry to the
J58 1460  7    John Brown of Rhode Island's colonial period. Barstow
J58 1470  4    concluded that as Rhode Island's John Brown became
J58 1480  3    a canonized hero, if not a saint, so would it be with
J58 1490  1    John Brown of Harper's Ferry.
J58 1490  6       The next speaker was George T& Day. Although admitting
J58 1500  5    Brown's guilt on legal grounds, Day said that, "Brown
J58 1510  5    is no common criminal; his deed was not below, but
J58 1520  3    above the law". Following Day was Woodbury who spoke
J58 1530  7    of his disapproval of Brown's attempt at servile insurrection,
J58 1540  8    his admiration of Brown's character, and his opposition
J58 1550  7    to slavery. Woodbury's remarks were applauded by a
J58 1560  6    portion of the audience several times and once there
J58 1570  4    was hissing.
J58 1570  6       The fourth and last speaker was Thomas Davis. By
J58 1580  3    this time large numbers of the audience had left the
J58 1590  1    hall. Davis commenced his remarks by an allusion to
J58 1590 10    the general feeling of opposition which the meeting
J58 1600  6    had encountered from many of the citizens and all the
J58 1610  5    newspapers of the city. He said that the propriety
J58 1620  1    or impropriety of such a gathering was a question that
J58 1620 11    was to be settled by every man in accordance with the
J58 1630  8    convictions of private judgments. In the remainder
J58 1640  4    of his speech Davis spoke of his admiration for Brown
J58 1650  2    and warned those who took part in the meeting that
J58 1650 12    they "are liable to the charge that they are supporting
J58 1660  9    traitors and upholding men whom the laws have condemned".
J58 1670  7    He recalled that in Rhode Island a party opposed to
J58 1680  5    the state's condemnation of a man (Thomas W& Dorr)
J58 1690  2    proclaimed the state's action as a violation of the
J58 1690 11    law of the land and the principles of human liberty.
J58 1700 10    At the close of Davis' speech the following preamble
J58 1710  5    and resolutions were read by the president, and on
J58 1720  3    the question of their adoption passed unanimously:
J58 1730  1       Whereas, John Brown has cheerfully risked his life
J58 1730  9    in endeavoring to deliver those who are denied all
J58 1750  8    rights **h and is this day doomed to suffer death for
J58 1760  5    his efforts in behalf of those who have no helper:
J58 1770  1    Therefore,
J58 1770  2       Resolved that, while we most decidedly disapprove
J58 1780  1    the methods he adopted to accomplish his objects, yet
J58 1780 10    **h in his willingness to die in aid of the great cause
J58 1790 10    of human freedom, we still recognize the qualities
J58 1800  4    of a noble nature and the exercise of a spirit which
J58 1810  2    true men have always admired and which history never
J58 1810 11    fails to honor.
J58 1820  3       Resolved that his wrongs and bereavements in Kansas,
J58 1830  1    occasioned by the violence and brutality of those who
J58 1830 10    were intent on the propagation of slavery in that territory,
J58 1840  8    call for a charitable judgment upon his recent efforts
J58 1850  6    in Virginia to undermine the despotism from which he
J58 1860  4    had suffered, and commend his family to the special
J58 1870  1    sympathy and aid of all who pity suffering and reverence
J58 1870 11    justice.
J58 1880  1       Resolved **h that the anti-slavery sentiment is
J58 1880  9    becoming ripe for resolute action.
J58 1890  3       Resolved, that we find in this fearful tragedy at
J58 1900  2    Harper's Ferry a reason for more earnest effort to
J58 1900 11    remove the evil of slavery from the whole land as speedily
J58 1910 10    as possible **h.
J58 1920  1       On the morning following the Pratt Hall meeting
J58 1920  9    the editor of the Providence Daily Journal wrote that
J58 1930  6    although the meeting was milder and less extreme than
J58 1940  6    those held in other areas for similar purposes, it
J58 1950  2    could have been avoided completely.
J59 0010  1    Rather than being deceived, the eye is puzzled; instead
J59 0010 10    of seeing objects in space, it sees nothing more than-
J59 0020  8    a picture.
J59 0020 10       Through 1911 and 1912, as the Cubist facet-plane's
J59 0030  9    tendency to adhere to the literal surface became harder
J59 0040  6    and harder to deny, the task of keeping the surface
J59 0050  3    at arm's length fell all the more to eye-undeceiving
J59 0060  1    contrivances. To reinforce, and sometimes to replace,
J59 0060  8    the simulated typography, Braque and Picasso began
J59 0070  6    to mix sand and other foreign substances with their
J59 0080  4    paint; the granular texture thus created likewise called
J59 0090  2    attention to the reality of the surface and was effective
J59 0100  1    over much larger areas. In certain other pictures,
J59 0100  9    however, Braque began to paint areas in exact simulation
J59 0110  7    of wood graining or marbleizing. These areas by virtue
J59 0120  5    of their abrupt density of pattern, stated the literal
J59 0130  2    surface with such new and superior force that the resulting
J59 0140  1    contrast drove the simulated printing into a depth
J59 0140  9    from which it could be rescued- and set to shuttling
J59 0150  7    again- only by conventional perspective; that is, by
J59 0160  4    being placed in such relation to the forms depicted
J59 0170  1    within the illusion that these forms left no room for
J59 0170 11    the typography except near the surface.
J59 0180  5       The accumulation of such devices, however, soon
J59 0190  3    had the effect of telescoping, even while separating,
J59 0200  1    surface and depth. The process of flattening seemed
J59 0200  9    inexorable, and it became necessary to emphasize the
J59 0210  6    surface still further in order to prevent it from fusing
J59 0220  5    with the illusion. It was for this reason, and no other
J59 0230  3    that I can see, that in September 1912, Braque took
J59 0230 13    the radical and revolutionary step of pasting actual
J59 0240  7    pieces of imitation-woodgrain wallpaper to a drawing
J59 0250  5    on paper, instead of trying to simulate its texture
J59 0260  3    in paint. Picasso says that he himself had already
J59 0260 12    made his first collage toward the end of 1911, when
J59 0270 10    he glued a piece of imitation-caning oilcloth to a
J59 0280  4    painting on canvas. It is true that his first collage
J59 0290  2    looks more Analytical than Braque's, which would confirm
J59 0300  1    the date he assigns it. But it is also true that Braque
J59 0300 13    was the consistent pioneer in the use of simulated
J59 0310  8    textures as well as of typography; and moreover, he
J59 0320  4    had already begun to broaden and simplify the facet-planes
J59 0330  3    of Analytical Cubism as far back as the end of 1910.
J59 0340  1    ##
J59 0340  2    When we examine what each master says was his first
J59 0340 12    collage we see that much the same thing happens in
J59 0350  9    each. (It makes no real difference that Braque's collage
J59 0360  4    is on paper and eked out in charcoal, while Picasso's
J59 0370  3    is on canvas and eked out in oil.) By its greater corporeal
J59 0380  2    presence and its greater extraneousness, the affixed
J59 0380  9    paper or cloth serves for a seeming moment to push
J59 0390 10    everything else into a more vivid idea of depth than
J59 0400  6    the simulated printing or simulated textures had ever
J59 0410  3    done. But here again, the surface-declaring device
J59 0410 11    both overshoots and falls short of its aim. For the
J59 0420 10    illusion of depth created by the contrast between the
J59 0430  6    affixed material and everything else gives way immediately
J59 0440  4    to an illusion of forms in bas-relief, which gives
J59 0450  1    way in turn, and with equal immediacy, to an illusion
J59 0450 11    that seems to contain both- or neither.
J59 0460  6       Because of the size of the areas it covers, the
J59 0470  4    pasted paper establishes undepicted flatness bodily,
J59 0480  1    as more than an indication or sign. Literal flatness
J59 0480 10    now tends to assert itself as the main event of the
J59 0490  9    picture, and the device boomerangs: the illusion of
J59 0500  4    depth is rendered even more precarious than before.
J59 0510  1    Instead of isolating the literal flatness by specifying
J59 0510  9    and circumscribing it, the pasted paper or cloth releases
J59 0520  8    and spreads it, and the artist seems to have nothing
J59 0530  7    left but this undepicted flatness with which to finish
J59 0540  4    as well as start his picture. The actual surface becomes
J59 0550  2    both ground and background, and it turns out- suddenly
J59 0550 11    and paradoxically- that the only place left for a
J59 0560 10    three-dimensional
J59 0560 12    illusion is in front of, upon, the surface. In their
J59 0570 10    very first collages, Braque and Picasso draw or paint
J59 0580  7    over and on the affixed paper or cloth, so that certain
J59 0590  7    of the principal features of their subjects as depicted
J59 0600  4    seem to thrust out into real, bas-relief space- or
J59 0610  4    to be about to do so- while the rest of the subject
J59 0610 16    remains imbedded in, or flat upon, the surface. And
J59 0620  9    the surface is driven back, in its very surfaceness,
J59 0630  5    only by this contrast.
J59 0630  9       In the upper center of Braque's first collage, Fruit
J59 0640  7    Dish (in Douglas Cooper's collection), a bunch of grapes
J59 0650  7    is rendered with such conventionally vivid sculptural
J59 0660  3    effect as to lift it practically off the picture plane.
J59 0670  2    The trompe-l'oeil illusion here is no longer enclosed
J59 0680  1    between parallel flatnesses, but seems to thrust through
J59 0680  9    the surface of the drawing paper and establish depth
J59 0690  8    on top of it. Yet the violent immediacy of the wallpaper
J59 0700  6    strips pasted to the paper, and the only lesser immediacy
J59 0710  4    of block capitals that simulate window lettering, manage
J59 0720  2    somehow to push the grape cluster back into place on
J59 0720 12    the picture plane so that it does not "jump". At the
J59 0730 10    same time, the wallpaper strips themselves seem to
J59 0740  5    be pushed into depth by the lines and patches of shading
J59 0750  4    charcoaled upon them, and by their placing in relation
J59 0760  1    to the block capitals; and these capitals seem in turn
J59 0760 11    to be pushed back by their placing, and by contrast
J59 0770  8    with the corporeality of the woodgraining. Thus every
J59 0780  6    part and plane of the picture keeps changing place
J59 0790  3    in relative depth with every other part and plane;
J59 0790 12    and it is as if the only stable relation left among
J59 0800 11    the different parts of the picture is the ambivalent
J59 0810  7    and ambiguous one that each has with the surface. And
J59 0820  4    the same thing, more or less, can be said of the contents
J59 0830  1    of Picasso's first collage.
J59 0830  5       In later collages of both masters, a variety of
J59 0840  5    extraneous materials are used, sometimes in the same
J59 0850  2    work, and almost always in conjunction with every other
J59 0850 11    eye-deceiving and eye-undeceiving device they can think
J59 0860  8    of. The area adjacent to one edge of a piece of affixed
J59 0870  9    material- or simply of a painted-in form- will be shaded
J59 0880  4    to pry that edge away from the surface, while something
J59 0890  2    will be drawn, painted or even pasted over another
J59 0890 11    part of the same shape to drive it back into depth.
J59 0900 10    Planes defined as parallel to the surface also cut
J59 0910  6    through it into real space, and a depth is suggested
J59 0920  2    optically which is greater than that established pictorially.
J59 0930  1    All this expands the oscillation between surface and
J59 0930  9    depth so as to encompass fictive space in front of
J59 0940  7    the surface as well as behind it. Flatness may now
J59 0950  4    monopolize everything, but it is a flatness become
J59 0960  1    so ambiguous and expanded as to turn into illusion
J59 0960 10    itself- at least an optical if not, properly speaking,
J59 0970  7    a pictorial illusion. Depicted, Cubist flatness is
J59 0980  4    now almost completely assimilated to the literal, undepicted
J59 0990  2    kind, but at the same time it reacts upon and largely
J59 0990 13    transforms the undepicted kind- and it does so, moreover,
J59 1000  9    without depriving the latter of its literalness; rather,
J59 1010  7    it underpins and reinforces that literalness, re-creates
J59 1020  5    it.
J59 1020  6    ##
J59 1020  7    Out of this re-created literalness, the Cubist subject
J59 1030  4    reemerged. For it had turned out, by a further paradox
J59 1040  3    of Cubism, that the means to an illusion of depth and
J59 1050  1    plasticity had now become widely divergent from the
J59 1050  9    means of representation or imaging. In the Analytical
J59 1060  6    phase of their Cubism, Braque and Picasso had not only
J59 1070  6    had to minimize three-dimensionality simply in order
J59 1080  3    to preserve it; they had also had to generalize it-
J59 1090  1    to the point, finally, where the illusion of depth
J59 1090 10    and relief became abstracted from specific three-dimensional
J59 1100  5    entities and was rendered largely as the illusion of
J59 1110  5    depth and relief as such: as a disembodied attribute
J59 1120  2    and expropriated property detached from everything
J59 1120  8    not itself. In order to be saved, plasticity had had
J59 1130  9    to be isolated; and as the aspect of the subject was
J59 1150  2    transposed into those clusters of more or less interchangeable
J59 1160  1    and contour-obliterating facet-planes by which plasticity
J59 1170  1    was isolated under the Cubist method, the subject itself
J59 1170 10    became largely unrecognizable. Cubism, in its 1911-1912
J59 1180  7    phase (which the French, with justice, call "hermetic")
J59 1190  5    was on the verge of abstract art.
J59 1200  1       It was then that Picasso and Braque were confronted
J59 1200 10    with a unique dilemma: they had to choose between illusion
J59 1210 10    and representation. If they opted for illusion, it
J59 1220  7    could only be illusion per se- an illusion of depth,
J59 1230  7    and of relief, so general and abstracted as to exclude
J59 1240  3    the representation of individual objects. If, on the
J59 1240 11    other hand, they opted for representation, it had to
J59 1250  9    be representation per se- representation as image pure
J59 1260  5    and simple, without connotations (at least, without
J59 1270  3    more than schematic ones) of the three-dimensional
J59 1270 11    space in which the objects represented originally existed.
J59 1280  8    It was the collage that made the terms of this dilemma
J59 1290  9    clear: the representational could be restored and preserved
J59 1300  6    only on the flat and literal surface now that illusion
J59 1310  4    and representation had become, for the first time,
J59 1320  1    mutually exclusive alternatives.
J59 1320  4       In the end, Picasso and Braque plumped for the
J59 1330  4    representational,
J59 1330  5    and it would seem they did so deliberately. (This provides
J59 1340  4    whatever real justification there is for the talk about
J59 1350  4    "reality".) But the inner, formal logic of Cubism,
J59 1360  1    as it worked itself out through the collage, had just
J59 1360 11    as much to do with shaping their decision. When the
J59 1370  7    smaller facet-planes of Analytical Cubism were placed
J59 1380  4    upon or juxtaposed with the large, dense shapes formed
J59 1390  2    by the affixed materials of the collage, they had to
J59 1390 12    coalesce- become "synthesized"- into larger planar
J59 1400  8    shapes themselves simply in order to maintain the integrity
J59 1410  8    of the picture plane. Left in their previous atom-like
J59 1420  6    smallness, they would have cut away too abruptly into
J59 1430  2    depth; and the broad, opaque shapes of pasted paper
J59 1430 11    would have been isolated in such a way as to make them
J59 1440 12    jump out of plane. Large planes juxtaposed with other
J59 1450  6    large planes tend to assert themselves as independent
J59 1460  3    shapes, and to the extent that they are flat, they
J59 1470  2    also assert themselves as silhouettes; and independent
J59 1470  9    silhouettes are apt to coincide with the recognizable
J59 1480  8    contours of the subject from which a picture starts
J59 1490  6    (if it does start from a subject). It was because of
J59 1500  3    this chain-reaction as much as for any other reason-
J59 1500 13    that is, because of the growing independence of the
J59 1510  9    planar unit in collage as a shape- that the identity
J59 1520  7    of depicted objects, or at least parts of them, re-emerged
J59 1530  6    in Braque's and Picasso's papiers colles and continued
J59 1540  3    to remain more conspicuous there- but only as flattened
J59 1550  2    silhouettes- than in any of their paintings done wholly
J59 1550 11    in oil before the end of 1913.
J59 1560  7       Analytical Cubism came to an end in the collage,
J59 1570  4    but not conclusively; nor did Synthetic Cubism fully
J59 1580  1    begin there. Only when the collage had been exhaustively
J59 1580 10    translated into oil, and transformed by this translation,
J59 1590  8    did Cubism become an affair of positive color and flat,
J59 1600  8    interlocking silhouettes whose legibility and placement
J59 1610  3    created allusions to, if not the illusion of, unmistakable
J59 1620  2    three-dimensional identities.
J59 1620  5       Synthetic Cubism began with Picasso alone, late
J59 1630  5    in 1913 or early in 1914; this was the point at which
J59 1640  4    he finally took the lead in Cubist innovation away
J59 1640 13    from Braque, never again to relinquish it. But even
J59 1650  9    before that, Picasso had glimpsed and entered, for
J59 1660  6    a moment, a certain revolutionary path in which no
J59 1670  4    one had preceded him. It was as though, in that instant,
J59 1680  1    he had felt the flatness of collage as too constricting
J59 1680 11    and had suddenly tried to escape all the way back-
J59 1690  8    or forward- to literal three-dimensionality. This he
J59 1700  3    did by using utterly literal means to carry the forward
J59 1710  3    push of the collage (and of Cubism in general) literally
J59 1720  1    into the literal space in front of the picture plane.
J59 1720 11       Some time in 1912, Picasso cut out and folded a
J59 1730 10    piece of paper in the shape of a guitar; to this he
J59 1740  8    glued and fitted other pieces of paper and four taut
J59 1750  4    strings, thus creating a sequence of flat surfaces
J59 1750 12    in real and sculptural space to which there clung only
J59 1760  9    the vestige of a picture plane. The affixed elements
J59 1770  5    of collage were extruded, as it were, and cut off from
J59 1780  5    the literal pictorial surface to form a bas-relief.
J60 0010  1    (Los Angeles in 1957 finally bowed to the skyscraper.)
J60 0010 10    And without high density in the core, rapid-transit
J60 0020  8    systems cannot be maintained economically, let alone
J60 0030  4    built from scratch at today's prices.
J60 0040  1       However, the building of freeways and garages cannot
J60 0040  8    continue forever. The new interchange among the four
J60 0050  7    Los Angeles freeways, including the grade-constructed
J60 0060  4    accesses, occupies by itself no less than eighty acres
J60 0070  2    of downtown land, one-eighth of a square mile, an area
J60 0080  1    about the size of Rockefeller Center in New York. It
J60 0080 11    is hard to believe that this mass of intertwined concrete
J60 0090  7    constitutes what the law calls "the highest and best
J60 0100  6    use" of centrally located urban land. As it affects
J60 0110  4    the city's fiscal situation, such an interchange is
J60 0120  1    ruinous; it removes forever from the tax rolls property
J60 0120 10    which should be taxed to pay for the city services.
J60 0130  9    Subways improved land values without taking away land;
J60 0140  5    freeways boost valuation less (because the garages
J60 0150  2    they require are not prime buildings by a long shot),
J60 0150 12    and reduce the acreage that can be taxed. Downtown
J60 0160  8    Los Angeles is already two-thirds freeway, interchange,
J60 0170  5    street, parking lot and garage- one of those preposterous
J60 0180  4    "if" statistics has already come to pass.
J60 0190  1       The freeway with narrowly spaced interchanges concentrates
J60 0190  8    and mitigates the access problem, but it also acts
J60 0200  9    inevitably as an artificial, isolating boundary. City
J60 0210  4    planners do not always use this boundary as effectively
J60 0220  3    as they might. Less ambitious freeway plans may be
J60 0230  1    more successful- especially when the roadways and interchanges
J60 0230  9    are raised, allowing for cross access at many points
J60 0240  9    and providing parking areas below the ramp.
J60 0250  5    ##
J60 0250  6    Meanwhile, the automobile and its friend the truck
J60 0260  3    have cost the central city some of its industrial dominance.
J60 0270  1    In ever greater numbers, factories are locating in
J60 0270  9    the suburbs or in "industrial parks" removed from the
J60 0280  7    city's political jurisdiction. The appeal of the suburb
J60 0290  6    is particularly strong for heavy industry, which must
J60 0300  3    move bulky objects along a lengthy assembly line and
J60 0300 12    wants enough land area to do the entire job on one
J60 0310 11    floor. To light industry, the economies of being on
J60 0320  6    one floor are much slighter, but efficiency engineers
J60 0330  2    usually believe in them, and manufacturers looking
J60 0330  9    for ways to cut costs cannot be prevented from turning
J60 0340 10    to efficiency engineers.
J60 0350  1       This movement of industry away from the central
J60 0350  9    cities is not so catastrophically new as some prophets
J60 0360  9    seem to believe. It is merely the latest example of
J60 0370  7    the leapfrog growth which formed the pattern of virtually
J60 0380  3    all American cities. The big factories which are relatively
J60 0390  2    near the centers of our cities- the rubber factories
J60 0390 11    in Akron, Chrysler's Detroit plants, U&S&Steel's Pittsburgh
J60 0410  1    works- often began on these sites at a time when that
J60 0410 11    was the edge of the city, yet close to transport (river),
J60 0420 10    storage (piers) and power (river). The "leapfrog" was
J60 0430  6    a phenomenon of the railroad and the steam turbine,
J60 0440  4    and the time when the belts of residence surrounding
J60 0450  1    the old factory area were not yet blighted.
J60 0450  9       The truck and the car gave the manufacturer a new
J60 0460  8    degree of freedom in selecting his plant site. Until
J60 0470  4    internal combustion became cheap, he had to be near
J60 0480  1    a railroad siding and a trolley line or an existing
J60 0480 11    large community of lower-class homes. The railroad
J60 0490  7    siding is still important- it is usually, though not
J60 0500  5    always, true that long-haul shipment by rail is cheaper
J60 0510  2    than trucking. But anybody who promises a substantial
J60 0510 10    volume of business can get a railroad to run a short
J60 0520 11    spur to his plant these days, and many businesses can
J60 0530  6    live without the railroad. And there are now many millions
J60 0540  5    of workers for whom the factory with the big parking
J60 0550  1    lot, which can be reached by driving across or against
J60 0550 11    the usual pattern of rush hour traffic and grille-route
J60 0560  9    bus lines, is actually more convenient than the walk-to
J60 0570  7    factory.
J60 0570  8       Willow Run, General Electric's enormous installations
J60 0580  4    at Louisville and Syracuse, the Pentagon, Boeing in
J60 0590  4    Seattle, Douglas and Lockheed in Los Angeles, the new
J60 0600  3    automobile assembly plants everywhere- none of these
J60 0600 10    is substantially served by any sort of conventional
J60 0610  8    mass rapid transit. They are all suburban plants, relying
J60 0620  7    on the roads to keep them supplied with workers. And
J60 0630  4    wherever the new thruways go up their banks are lined
J60 0640  2    by neat glass and metal and colored brick light industry.
J60 0640 12    The drive along Massachusetts' Route 128, the by-pass
J60 0650  9    which makes an arc about twenty miles from downtown
J60 0660  7    Boston, may be a vision of the future.
J60 0670  1       The future could be worse. The plants along Route
J60 0670 10    128 are mostly well designed and nicely set against
J60 0680  9    the New England rocks and trees. They can even be rather
J60 0690  8    grand, like Edward Land's monument to the astonishing
J60 0700  4    success of Polaroid. But they deny the values of the
J60 0710  3    city- the crowded, competitive, tolerant city, the
J60 0710 10    "melting pot" which gave off so many of the most admirable
J60 0720 11    American qualities. They are segregated businesses,
J60 0730  5    combining again on one site the factory and the office,
J60 0740  6    drawing their work force from segregated communities.
J60 0750  2    It is interesting to note how many of the plants on
J60 0750 13    Massachusetts' Route 128 draw most of their income
J60 0760  8    either from the government in non-competitive cost-plus
J60 0770  6    arrangements, or from the exploitation of patents which
J60 0780  4    grant at least a partial monopoly.
J60 0780 10    ##
J60 0780 11    While the factories were always the center of the labor
J60 0790 10    market, they were often on the city's periphery. In
J60 0800  7    spreading the factories even farther, the automobile
J60 0810  3    may not have changed to any great extent the growth
J60 0820  1    pattern of the cities. Even the loss of hotel business
J60 0820 11    to the outskirt's motel has been relatively painless;
J60 0830  6    the hotel-motel demarcation is becoming harder to find
J60 0840  6    every year. What hurts most is the damage the automobile
J60 0850  3    has done to central-city retailing, especially in those
J60 0860  2    cities where public transit is feeble.
J60 0860  8       Some retailing, of course, always spreads with the
J60 0870  7    population- grocery stores, drugstores, local haberdasheries
J60 0880  3    and dress shops, candy stores and the like. But whenever
J60 0890  3    a major purchase was contemplated forty years ago-
J60 0890 11    a new bedroom set or a winter coat, an Easter bonnet,
J60 0900 11    a bicycle for Junior- the family set off for the downtown
J60 0910 10    department store, where the selection would be greatest.
J60 0920  5    Department stores congregated in the "one hundred per
J60 0930  4    cent location", where all the transit lines converged.
J60 0940  1    These stores are still there, but the volume of the
J60 0940 11    "downtown store" has been on a relative decline, while
J60 0950  9    in many cities the suburban "branch" sells more and
J60 0960  5    more dry goods. If the retailer and hotelman's downtown
J60 0970  3    unit sales have been decreasing, however, his dollar
J60 0980  1    volume continues to rise, and it is dollars which you
J60 0980 11    put in the bank.
J60 0990  2       In most discussions of this phenomenon, the figures
J60 0990 10    are substantially inflated. No suburban shopping-center
J60 1000  7    branch- not even Hudson's vast Northland outside Detroit-
J60 1010  6    does anything like the unit volume of business or carries
J60 1020  8    anything like the variety of merchandise to be found
J60 1030  4    in the home store. Telephone orders distort the picture:
J60 1040  2    the suburbanite naturally calls a local rather than
J60 1040 10    a central-city number if both are listed in an advertisement,
J60 1050  9    especially if the local call eliminates city sales
J60 1060  7    tax. The suburban branch is thereby credited with a
J60 1070  4    sale which would have been made even if its glass doors
J60 1080  2    had never opened. Accounting procedures which continue
J60 1080  9    to charge a disproportionate overhead and warehouse
J60 1090  6    expense to the main store make the branches seem more
J60 1100  6    profitable than they are. In many cases that statement
J60 1110  3    "We break even on our downtown operation and make money
J60 1120  1    on our branches" would be turned around if the cost
J60 1120 11    analysis were recalculated on terms less prejudicial
J60 1130  6    to the old store. Fear of the competition- always a
J60 1140  3    great motivating force in the American economy- makes
J60 1150  4    retailers who do not have suburban operations exaggerate
J60 1160  1    both the volume and the profitability of their rival's
J60 1160 10    shiny new branches. The fact seems to be that very
J60 1170  9    many large branch stores are uneconomical, that the
J60 1180  4    choice of location in the suburbs is as important as
J60 1190  2    it was downtown, and that even highly suburbanized
J60 1190 10    cities will support only so many big branches. Moreover,
J60 1200  8    the cost of operations is always high in any new store,
J60 1210  8    as the conservative bankers who act as controllers
J60 1220  4    for retail giants are beginning to discover.
J60 1230  1       When all has been said, however, the big branch
J60 1230 10    store remains a major break with history in the development
J60 1240  7    of American retailing. Just as the suburban factory
J60 1250  5    may be more convenient than the downtown plant to the
J60 1260  3    worker with a car, the trip to the shopping center
J60 1260 13    may seem far easier than to the downtown department
J60 1270  7    store, though both are the same distance from home.
J60 1280  4    Indeed, there are some cities where the suburban shopping
J60 1290  2    pulls customers who are geographically much nearer
J60 1290  9    to downtown. Raymond Vernon reports that residents
J60 1300  6    of East St& Louis have been driving across the Mississippi,
J60 1310  7    through the heart of downtown St& Louis and out to
J60 1320  6    the western suburbs for major shopping, simply because
J60 1330  2    parking is easier at the big branches than it is in
J60 1330 13    the heart of town. To the extent that the problem is
J60 1340 10    merely parking, an aggressive downtown management,
J60 1350  3    like that of Lazarus Brothers in Columbus, Ohio, can
J60 1360  3    fight back successfully by building a garage on the
J60 1360 12    lot next door. If the distant patron of the suburban
J60 1370 10    branch has been frightened away from downtown by traffic
J60 1380  6    problems, however, the city store can only pressure
J60 1390  4    the politicians to do something about the highways
J60 1400  1    or await the completion of the federal highway program.
J60 1400 10    And if the affection for the suburban branch reflects
J60 1410  7    a desire to shop with "nice people", rather than with
J60 1420  5    the indiscriminate urban mass which supports the downtown
J60 1430  3    department store, the central location may be in serious
J60 1440  1    trouble. Today, according to land economist Homer Hoyt,
J60 1440  9    shopping centers and their associated parking lots
J60 1450  7    cover some 46,000 acres of land, which is almost exactly
J60 1460  7    the total land area in all the nation's Central Business
J60 1470  3    Districts put together.
J60 1470  6       The downtown store continues to offer the great
J60 1480  7    inducement of variety, both within its gates and across
J60 1490  5    the street, where other department stores are immediately
J60 1500  1    convenient for the shopper who wants to see what is
J60 1500 11    available before making up her mind. If anything may
J60 1510  9    be predicted in the quicksilver world of retailing,
J60 1520  4    it seems likely that the suburban branch will come
J60 1530  2    to dominate children's clothing (taking the kid downtown
J60 1530 10    is too much of a production), household gadgetry and
J60 1540  9    the discount business in big-ticket items. Department
J60 1550  6    stores were built on dry goods, especially ladies'
J60 1560  2    fashions, and in this area, in the long run, the suburban
J60 1570  1    branches will be hard put to compete against downtown.
J60 1570 10    If this analysis is correct, the suburban branches
J60 1580  7    will turn out to be what management's cost accountants
J60 1590  3    refuse to acknowledge, marginal operations rather than
J60 1600  3    major factors.
J60 1600  5       Historically in America the appeal of cities has
J60 1610  4    been their color and life, the variety of experience
J60 1620  1    they offered. "How ya gonna keep 'em down on the farm"?
J60 1620 12    was a question that had to be asked long before they
J60 1630 11    saw Paree. Though Americans usually lived in groups
J60 1640  6    segregated by national origin or religious belief,
J60 1650  2    they liked to work and shop in the noise and vitality
J60 1660  1    of downtown. Only a radical change in the nature of
J60 1660 11    the population in the central city would be likely
J60 1670  7    to destroy this preference- and we must now turn our
J60 1680  5    attention to the question of whether such a change,
J60 1690  1    gloomily foreseen by so many urban diagnosticians,
J60 1690  8    is actually upon us.
J60 1700  1    #4. SUBURBS AND NEGROES#
J60 1700  5    In their book American Skyline, Christopher Tunnard
J60 1710  3    and Henry Hope Reed argue that Franklin Roosevelt's
J60 1720  1    New Deal was what made the modern suburb a possibility-
J60 1730  3    a fine ironical argument, when you consider how suburbanites
J60 1730 12    tend to vote. The first superhighways- New York's Henry
J60 1740  8    Hudson and Chicago's Lake Shore, San Francisco's Bay
J60 1750  6    Bridge and its approaches, a good slice of the Pennsylvania
J60 1760  7    Turnpike- were built as part of the federal works program
J60 1770  7    which was going to cure the depression. At the same
J60 1780  4    time, Roosevelt's Federal Housing Administration, coupled
J60 1790  2    with Henry Morgenthau's cheap-money policy, permitted
J60 1800  1    ordinary lower-middle-class families to build their
J60 1800  9    own homes. Bankers who had been reluctant to lend without
J60 1810  8    better security than the house itself got that security
J60 1820  5    from the U& S& government; householders who had been
J60 1830  4    unable to pick up the burden of short-term high-interest
J60 1840  1    mortgages found they could borrow for twenty-five years
J60 1840 10    at 4 per cent, under government aegis.
J61 0010  1    Before losing itself in the sands of the 19th Century,
J61 0010 11    the grand stream of Italian Renaissance architectural
J61 0020  5    decoration made a last appearance in the Brumidi frescos
J61 0030  5    of the Capitol Rotunda in Washington.
J61 0040  1       The artistic generation after Brumidi was trained
J61 0040  8    in the Paris of that time to a more meticulous standard
J61 0050  9    of execution, and tended to overlook greatness of conception
J61 0060  6    where faults and weakness were easy to find. But it
J61 0070  6    is a great conception. The open ceiling, with allegorical
J61 0080  2    and classical figures thrown in masses against the
J61 0080 10    sky: the closed frieze, formally divided into historical
J61 0090  8    scenes and tightly tied to the stone walls, belong
J61 0100  7    in their large ordering to the line of Correggio and
J61 0110  4    his Baroque followers. The descent may be remote, but
J61 0120  2    this is surely the only full-scale example of that
J61 0120 12    vigorous inheritance in the United States.
J61 0130  5       Constantino Brumidi designed the decorative scheme
J61 0140  3    as a whole, in collaboration with the architect Charles
J61 0150  1    U& Walter, at the time when plans were being made to
J61 0150 12    replace the wooden dome of Bullfinch with the present
J61 0160  9    much larger iron structure. After many years and many
J61 0170  6    interruptions he was able to finish the canopy fresco,
J61 0180  4    and slightly less than half the frieze, beginning with
J61 0190  2    the Liberty group opposite the East door, and ending
J61 0190 11    with William Penn, all but one leg, when a tragic accident
J61 0200 10    ended his career. He left at his death sketches, drawn
J61 0210  8    to scale, for the rest of the circle. These were carried
J61 0220  4    out not too faithfully by Filippo Costaggini, who began
J61 0230  3    by supplying the missing member to the founder of Pennsylvania
J61 0240  1    and noting in pencil, in Italian, that he "began at
J61 0240 11    this point".
J61 0250  1       When Costaggini had used up all the sketches thirty-six
J61 0260  1    feet of empty frieze were left over. A blank undecorated
J61 0260 11    void, plastered in roughcast, disfigured the wall of
J61 0270  7    the Rotunda until 1951. Then, advised by the Architect
J61 0280  5    of the Capitol, the Joint Committee for the Library,
J61 0290  4    traditionally responsible for the works of art in the
J61 0300  1    building, ordered the space cleared and painted in
J61 0300  9    fresco, to show "the Peace after the Civil War", "the
J61 0310  8    Spanish-American War", and "the Birth of Aviation",
J61 0320  6    to match as nearly as feasible Brumidi's technique
J61 0330  3    and composition. Later the cleaning and restoration
J61 0340  1    were ordered, first of the older part of the frieze,
J61 0340 11    finally of the canopy. What follows is therefore a
J61 0350  8    description of three separate undertakings, the new
J61 0360  4    frescoing of the gap, and the successive essays in
J61 0370  2    conservation, with some discussion of problems that
J61 0370  9    arose in connection with each.
J61 0380  3       For the use of students and future restorers, a
J61 0390  2    full, day-by-day record was kept of all three undertakings,
J61 0390 13    complete technical reports on what we found and what
J61 0400  9    we did. These may be consulted in the office of the
J61 0410  6    Architect of the Capitol, or the Library of Congress.
J61 0420  3       The first preliminary was inspecting the unfinished
J61 0430  1    length of frieze, a jumble of roughcast and finish
J61 0430 10    coats, all in bad condition. It was decided to strip
J61 0450  8    the whole area down to the bricks, and to replace the
J61 0460  5    rough coats up to one inch thickness to agree with
J61 0470  2    the older artists' preparation, with a mortar, one
J61 0470 10    part slaked lime, three parts sand, to be put on in
J61 0480 10    two layers. Cartoons were drawn full size, after sketches
J61 0490  5    had been made to satisfy all the authorities. There
J61 0500  2    was some difficulty here. One had to manage the given
J61 0500 12    subjects, three diverse recent events, so as to make
J61 0510  9    them part of a classical frieze,- that is, a pattern
J61 0520  5    of large figures filling the space, with not much else,
J61 0530  5    against a blank background. Moreover, all three representations
J61 0540  2    must be squeezed comfortably into little more than
J61 0540 10    the length Brumidi allowed for each one of his.
J61 0550  9       When it was all arranged to fit, and not to interrupt
J61 0560  8    the lengthwise flow of movement in the frieze, the
J61 0570  5    cartoons were tried in place. The scaffolding, a confusion
J61 0580  2    of heavy beams hanging from the gallery above, was
J61 0580 11    strong and safe, but obscured visibility. Nothing could
J61 0590  7    be seen from the floor, but by moving around the gallery
J61 0600  7    one could get glimpses; and we were able to decide
J61 0610  4    on some amplification of scale. To be sure of matching
J61 0620  1    color as well as form, pieces of cartoon were traced
J61 0620 11    on the roughcast, and large samples painted in fresco,
J61 0630  7    then left two months to dry out to their final key.
J61 0640  6    Later it was gratifying to note that they had set so
J61 0650  3    solidly as to be hard to remove when the time came.
J61 0650 14       The scaffold was the length of the space to be painted.
J61 0660 11    What bits of Brumidi and Costaggini could be reached
J61 0670  6    at either end seemed in good order, though the roughish
J61 0680  5    sandy surface was thick with dust. Washed, they came
J61 0690  3    out surprisingly clear and bright. It could be seen
J61 0690 12    that both artists used a very thick final coat of plaster,
J61 0700 11    one half inch, and that both followed the traditional
J61 0710  7    Italian fresco technique as described by Cennino Cennini
J61 0720  4    in the 14th Century, and current in Italy to this day.
J61 0730  4    That is, they used opaque color throughout, getting
J61 0730 12    solid highlights with active lime white. Painting "a
J61 0740  8    secco" is much in evidence. A brown hatching reinforces
J61 0750  7    and broadens shadows, and much of the background is
J61 0760  6    solidly covered with a dark coat. This brown is sometimes
J61 0770  3    so rich in medium as to appear to be oil paint.
J61 0780  1       In our own practice, to have the last "intonaco"
J61 0780  9    plaster coat thick enough to match, and at the same
J61 0790  8    time to avoid fine cracks in drying, we found that
J61 0800  4    it had to be put on in two layers, letting the first
J61 0810  1    set awhile before applying the second. The mortar was
J61 0810 10    three parts sand to two of lime. Some of the lime that
J61 0820 10    is always on hand in the Capitol basement for plaster
J61 0830  4    repairs was slaked several months for us; but to make
J61 0840  4    it stiffer, of a really putty-like consistency to avoid
J61 0840 14    cracking, we added a little hydrated lime- hard on
J61 0850  9    the hands, but we could see no other disadvantage.
J61 0860  6    I am told that a mortar longer slaked might have remained
J61 0870  4    longer in condition for painting. As it was, it took
J61 0880  2    the pigment well for six hours, enough for our purpose,
J61 0880 12    and held it firmly in setting. It was obvious that
J61 0890  9    to match Brumidi, white must be mixed with all but
J61 0900  6    the darkest tones. Lime white, hard and brilliant,
J61 0910  1    has a tendency to "jump" away from the other colors
J61 0910 11    in drying, and also by its capacity to set, to preclude
J61 0920 10    the use of ready-made gradations, so useful in decorative
J61 0930  6    work. In older Italian practice, lime, dried and reground
J61 0940  5    "bianco sangiovanni", entered into such prepared shades.
J61 0950  3    For convenience we chose a stronger pigment, unknown
J61 0970  1    to the early Italians or to Brumidi, titanium oxide,
J61 0970 10    reserving the active lime white for highest lights,
J61 0980  7    put on at the end of the day's stint. Other pigments
J61 0990  4    were mostly raw umber, some burnt umber, and a little
J61 1000  3    yellow ochre. This last was probably not in Brumidi's
J61 1000 12    palette, but was needed to take the chill, bluish look
J61 1010 10    off the new work next to the old, where softening effects
J61 1020  1    of time were seen, even after thorough cleaning. The
J61 1030  3    use of "secco" we tried to restrict to covering joints.
J61 1040  2    Experience showed, however, that it is very difficult
J61 1040 10    to paint a dark umber background in fresco that will
J61 1050 10    not dry out spotty and uneven. Later Brumidi and Costaggini
J61 1060  7    will be seen coping with this same problem. We were
J61 1070  5    forced, as they were, to work a good deal of tempera
J61 1080  2    into background and dark areas. We made it by Doerner's
J61 1090  1    recipe, five parts thoroughly washed cheese curd to
J61 1090  9    one of lime putty; ground together they made a strong
J61 1100  7    adhesive, which became waterproof in drying.
J61 1110  3       Figure 1 was taken in 1953. The new part is finished.
J61 1120  1    On the right is the Brumidi Liberty group, as it looked
J61 1120 12    after cleaning operations, which had not yet come around
J61 1130  9    to the other end; where, of Costaggini, only some foliage
J61 1140  7    has been washed, at the point where his work stopped.
J61 1150  5    One is led to speculate as to why the empty space was
J61 1160  3    there, left for our century to finish. Costaggini said
J61 1160 12    it was Brumidi's fault in not providing enough material
J61 1170  9    to fill the circle. Brumidi's son later maintained
J61 1180  5    that Costaggini had compressed and mutilated his father's
J61 1190  5    designs, ambitiously coveting a bit he could claim
J61 1200  3    for his very own. This question might be settled by
J61 1200 13    comparing the measurement of the actual circumference
J61 1210  7    with the dimensions noted, presumably in Brumidi's
J61 1220  5    hand, above the various sections of his long preparatory
J61 1230  4    drawing, which has been kept. Whose ever fault, it
J61 1250  2    is evident that Brumidi intended to fill out the whole
J61 1250 12    frieze with his "histories" and come full circle with
J61 1260  8    the scene of the discovery of California gold. In painting
J61 1270  6    a fresco, the handling of wet mortar compels one always
J61 1280  4    to move from top to bottom and from left to right,
J61 1290  1    not to spoil yesterday's work with today's plastering.
J61 1290  9    At the very first, then, Brumidi was required, by the
J61 1300  9    classically pyramidal shape of his central group, to
J61 1310  7    fill in the triangular space above the seated girl
J61 1320  3    on Liberty's right, before starting on the allegorical
J61 1330  1    figures themselves. Here he put a small man, whose
J61 1330 10    missing hands might have left his function doubtful,
J61 1340  7    until comparison with the first sketches showed that
J61 1350  4    when the artist came back to the beginning, this was
J61 1360  2    to be the closing figure of the party of "forty-niners",
J61 1360 13    and was to hold a basket. One sees Costaggini's rendering
J61 1370 10    of the same figure more than thirty feet away. The
J61 1380  8    photograph, Figure 1 of the completed frieze, shows
J61 1390  3    how, having been separated from his fellows in useless
J61 1400  2    isolation for eighty years, he has now been given a
J61 1400 12    hand, and by juxtaposition (and the permission of the
J61 1410  8    Committee), given a new job, to represent the witnesses
J61 1420  5    of the first flight at Kitty Hawk in 1903.
J61 1430  2       The startlingly bright effect of the first washings
J61 1430 10    led the Committee to order the rest of the Brumidi-Costaggini
J61 1440 11    cycle cleaned and restored to go with them. The fixed
J61 1450  9    wooden scaffold was removed, and, so as to reach all
J61 1460  7    the frieze, one of pipe, on wheels, built up from the
J61 1470  4    floor. Every few days, in the early morning, as the
J61 1470 14    work progressed, twenty men would appear to push it
J61 1480  9    ahead and to shift the plank foundation that distributed
J61 1490  5    its weight widely on the Rotunda pavement, supported
J61 1500  3    as it is by ancient brick vaulting.
J61 1500 10       On this giddy and oscillating platform over fifty
J61 1510  7    feet from the floor, after a first dusting, we began
J61 1520  6    to wash. A most useful tool for wetting the surface
J61 1530  2    without running down was made from a greenhouse "mist
J61 1530 11    spray" nozzle welded to a hose connection, to be used
J61 1540 10    at low water pressure. A valve in the handle let us
J61 1550  8    cut the pressure still lower. One man sprayed, with
J61 1560  4    a sponge in hand to check excess wetting. A second
J61 1570  1    assistant mopped with two sponges. In parts a repeated
J61 1570 10    sponging was needed, but everywhere we found that water
J61 1580  8    alone was enough to restore the original brightness.
J61 1590  4    No soap or other cleaning agent was used that might
J61 1600  2    bring in unwanted chemical reactions. The painting
J61 1600  9    "a fresco" stood up superbly; a little of the "secco"
J61 1610  9    came off. Necessary retouching was put on at once.
J61 1620  7    Altogether we found the craftsmanship first rate, especially
J61 1630  4    Brumidi's. We were greatly helped by there being no
J61 1640  4    traces of former restoring. Apparently not more than
J61 1650  1    dusting had ever been done, and not much of that. The
J61 1650 12    plaster was sound, the intonaco firmly attached all
J61 1660  6    over, and the pigment solidly incorporated with it
J61 1670  3    in all but a few unimportant places.
J61 1670 10       The greatest source of trouble was rain which had
J61 1680  8    repeatedly flowed from openings above, soaking the
J61 1690  4    surface and leaving streaks of dissolved lime, very
J61 1700  2    conspicuous even after cleaning, particularly in the
J61 1700  9    "Landing of Columbus", "Oglethorpe and the Indians",
J61 1710  7    and "Yorktown". Here the Architect, referring to the
J61 1720  7    use of the Capitol as a public building, not a museum,
J61 1730  6    requested some repainting to maintain decorative effect,
J61 1740  2    rather than leaving blank, unsightly patches.
J61 1750  1       These frescos have had no care for eighty years.
J61 1750  9    With naked gas jets below and leaky windows above,
J61 1760  6    enough to ruin wall paintings in any medium, they have
J61 1770  4    survived, in a building long unheated in winter, hot
J61 1780  1    and damp under the iron dome in summer.
J62 0010  1       Those whom I wish to address with this letter are
J62 0010 11    for the most part unknown to me. It may well be that,
J62 0020 10    when Rudy Pozzatti and I visited your country last
J62 0030  5    spring, you were living and working close to the places
J62 0040  4    we saw and the streets we walked. As American artists,
J62 0050  1    it was natural that we would want to meet as many Soviet
J62 0050 13    artists as possible. This letter might not have been
J62 0060  8    necessary had our efforts to meet and talk with you
J62 0070  7    been more successful. Even though we did not see many
J62 0080  3    of your faces, it appears now quite evident that a
J62 0080 13    considerable number of your profession heard, from
J62 0090  7    those whom we had the fortune to encounter, that we
J62 0100  5    had been in your midst. I am very pleased that quite
J62 0110  2    a number of you found ways to communicate to me your
J62 0110 13    desire to hear of our reactions and experiences in
J62 0120  8    the U&S&S&R&. I can well understand your curiosity.
J62 0130  6    We, ourselves, are always eager to know how others
J62 0140  5    feel about us and the way in which we live. it is my
J62 0150  2    hope that this written message and report will reach
J62 0150 11    you through the good offices of the Union of Soviet
J62 0160  8    Artists.
J62 0160  9       There should be no reason to misinterpret or ignore
J62 0170  8    the intent of this letter. Pozzatti and I endeavored
J62 0180  4    earnestly to record our impressions without the prejudice
J62 0190  2    that the anxiety of our time so easily provokes. The
J62 0190 12    time-span of little more than a month cannot entitle
J62 0200  9    me to pose as an expert on anything I saw. Too much
J62 0210  7    damage is done by "experts" who have spent even less
J62 0220  5    time, if any at all, in the U&S&S&R&.
J62 0240  1       Nevertheless I consider it reasonable, because of
J62 0240  8    my commitment as an artist, to assume that the rights
J62 0250  9    and responsibilities of creative individuals are related
J62 0260  4    to humanity as a whole rather than to specific geo-political
J62 0270  3    interests. If this attitude is seriously questioned
J62 0280  1    in the Soviet Union, it does not necessarily follow
J62 0280 10    that the majority of the society in which I live is
J62 0290  9    too aware of the necessity for clarity on this ethical
J62 0300  5    as well as aesthetic point of view. It is a matter
J62 0310  3    of some disappointment to me that still many of my
J62 0310 13    own countrymen are too shortsighted to ascribe any
J62 0320  7    symbolic significance to the plight of a minority,
J62 0330  5    such as artists, in any social order. I encountered
J62 0340  1    many questions and great interest upon my return from
J62 0340 10    the Soviet Union about my reactions to that experience.
J62 0350  7    That which I found most profound and most disturbing
J62 0360  5    appeared to evoke a curiously muted reaction. Almost
J62 0370  2    as if I were talking about something quite unreal.
J62 0370 11    Apparently this is not the time and the climate in
J62 0380 10    which people will listen objectively, or at least
J62 0390  5    dispassionately,
J62 0390  6    to individual impressions of a subject which preoccupies
J62 0400  6    a good deal of their waking moments. Personal predispositions
J62 0410  2    tend to blunt the ear and, in turn, the voice as well.
J62 0420  3    I cannot be content with the anecdotal small talk of
J62 0420 13    a somewhat unusual travelogue. I am equally impatient
J62 0430  7    with the shrug of the shoulder, shake of the head of
J62 0440  7    those who no longer care because they have known it
J62 0450  4    for so long; the aggressive disbelief of those who
J62 0450 13    are romantically lost in a semantic jungle of the word
J62 0460 10    "Revolution"; the belligerent denunciations by the
J62 0470  6    sick fanatics of ignorance who try to build a papier-mache
J62 0480  7    wall of pseudo-patriotism on our physical horizons.
J62 0490  2    Difficult as it may have been at times, Pozzatti and
J62 0490 12    I saw enough, talked to enough artists, historians
J62 0500  7    and others to realize that the issue is quite clear.
J62 0510  7    Artists and poets are the raw nerve-ends of humanity;
J62 0520  3    they are small in number and their contribution is
J62 0520 12    not immediately decisive in everyday life. By themselves
J62 0530  8    they may not be able to save the life on this planet,
J62 0540 10    but without them there would be very little left worth
J62 0550  6    saving.
J62 0550  7       It cannot be said that our very first day in the
J62 0560  6    Soviet Union turned out to be an ordinary one. On that
J62 0570  3    cold, but bright, April day we were guests of your
J62 0570 13    government in the reviewing stand of Red Square to
J62 0580  9    witness the poeple's celebration for Yuri Gagarin and
J62 0590  5    later on that day we attended the somewhat more exclusive
J62 0600  3    reception for him in one of the impressive palaces
J62 0610  1    of the Kremlin. If we thus spent our very first day
J62 0610 12    in the midst of a large number of your people honoring
J62 0620  8    a new hero and a great national achievement, our last
J62 0630  4    day, to us at least, was equally impressive and very
J62 0640  2    moving, even though the crowds were absent and there
J62 0640 11    was almost complete silence. We stood under a gigantic
J62 0650  8    tree in the rolling country just outside of Moscow
J62 0660  5    looking at silent flowers on the grave of a Russian
J62 0670  3    poet and writer who cherished the love for his country
J62 0670 13    to the point of foregoing the highest international
J62 0680  8    honor. The grave, about half-way between his home and
J62 0690  7    the blue turrets of a small church, rose above the
J62 0700  4    forms and spaces of gently undisciplined pastures of
J62 0700 12    green, the sounds of birds, the silence of other graves
J62 0710 10    and the casual paths through small forests. Just yesterday
J62 0720  7    we had met and talked with a living writer, a contemporary
J62 0730  6    of the dead poet, who is known for his ability of manipulating
J62 0740  4    his ideas and his craft more advantageously. But today
J62 0750  3    we were aware of only two men. One had taken a flight
J62 0750 15    into uncharted space, in the service of science, to
J62 0760  9    return as a living hero. The other had assumed the
J62 0770  6    right to explore the equally uncharted space of the
J62 0780  4    human spirit. The flowers on his grave attested to
J62 0780 13    the fact that he as well was somebody's hero.
J62 0790  9       These two recollections form the frame around a
J62 0800  6    series of experiences and sights which, to me at least,
J62 0810  5    symbolize the extremes in the aesthetic as well as
J62 0810 14    ethical conflict between materialism and humanism.
J62 0820  6    A struggle that is being waged all over the world in
J62 0830  8    the half-light of disinterest. The prevalent opinion
J62 0840  3    which we encountered in a variety of expressions in
J62 0850  1    your country denied not only the existence of this
J62 0850 10    conflict but it was elaborated even further with an
J62 0860  6    incredible semantic dexterity. The socialist environment,
J62 0870  2    it was stated, had cross-fertilized these two extreme
J62 0880  1    seeds and was about to produce a new plant and fruit.
J62 0880 12    When I speculated on one such occasion that the new
J62 0890  8    growth, like other mutations, might be unable to propagate,
J62 0900  6    I was immediately accused of preaching racial prejudice.
J62 0910  3    I could not bring myself to answer that "some of my
J62 0920  3    best friends are non-propagating mules".
J62 0920  9       This kind of reasoning and logic takes a little
J62 0930  7    time to get used to. After a while we were perhaps
J62 0940  4    less surprised, but still puzzled, when a friendly
J62 0950  1    discussion would suddenly jump the track into the most
J62 0950 10    irrelevant and illogical comparisons. A chance remark
J62 0960  6    about Lenin's sealed train brought the rejoinder that
J62 0970  5    this was a myth akin to George Washington's cherry
J62 0980  2    tree. Theories of the behavior pattern of population
J62 0980 10    masses were compared to scientific discoveries concerning
J62 0990  7    the motion-pattern of gaseous masses. No wonder that
J62 1000  7    Pozzatti and I had at times difficulty in remembering
J62 1010  3    the real purpose of our presence, namely, Cultural
J62 1020  1    Exchange.
J62 1020  2       Typical of such an experience was the occasion of
J62 1030  2    a somewhat formal official welcome in the offices of
J62 1030 11    the Union of Soviet Artists. We had looked forward
J62 1040  8    to what we hoped to be our first informal meeting with
J62 1050  5    a number of Moscow's artists. Instead, we became involved
J62 1060  4    in a series of friendly, but overly formal, welcoming
J62 1070  1    addresses to which we had no choice but to reply in
J62 1070 12    kind. The terms of friendship, understanding, cooperation,
J62 1080  5    etc&, tend to become somewhat shopworn because of constant
J62 1090  6    and indiscriminate use. I can only hope that the continuing
J62 1100  5    exchange of groups and individuals between our countries
J62 1110  3    will not wear out all language pertinent to the occasion.
J62 1120  1    The presiding female functionary, of massive proportions
J62 1120  8    and forbidding appearance, initially did not contribute
J62 1130  6    to the expressions of friendship and welcome by a number
J62 1140  7    of dignified gentlemen representing the arts. It was
J62 1150  5    only after we had responded, with what I fear were
J62 1160  1    similar cliches, that she went into action by questioning
J62 1160 10    our desire for friendship and understanding with a
J62 1170  7    challenge about aggressive and warlike actions by the
J62 1180  5    U&S& Government in Cuba and Laos. She retreated by
J62 1190  3    leaving the room when we suggested that our meeting
J62 1190 12    might well terminate right then and there. Unfortunately
J62 1200  8    she returned later, just as I had taken advantage of
J62 1210  8    the friendlier atmosphere in the room by stating that
J62 1220  5    perhaps an unexpected result of the Cultural Exchange
J62 1230  1    Program would be the re-emergence of Abstract Art in
J62 1230 11    Russia, with Social Realism regaining dominance in
J62 1240  7    the U&S&. This gave her an opportunity to ring down
J62 1250  8    the curtain with the petulant admonition that we should
J62 1260  4    not presume to lecture her on Abstraction. She did
J62 1270  2    not go so far as to say, as was done on other occasions,
J62 1270 15    that Abstraction as well as Impressionism were a Russian
J62 1280  9    invention that had been discarded as unwanted by the
J62 1290  8    people of the U&S&S&R&
J62 1300  1       Pozatti and I could not know then that we would
J62 1300 11    experience this sort of treatment more often in Moscow
J62 1310  9    than elsewhere. We were to discover, in fact, that
J62 1320  6    quite a number of people share with us the impression
J62 1330  2    that, in contrast to other Soviet regions, Moscow's
J62 1330 10    atmosphere is depressingly subdued and official. To
J62 1340  7    have one's intentions deliberately or unintentionally
J62 1350  4    misunderstood is always a waste of time. Until our
J62 1360  5    Moscow experience, I had not considered it necessary
J62 1370  1    to prepare any argument formally or informally. Artists
J62 1370  9    simply do not talk to each other in that fashion; and,
J62 1380 10    furthermore, I could not presume the implication that
J62 1390  6    I spoke for American artists as a group. To save time,
J62 1400  5    some clarification seemed necessary. The following
J62 1410  1    is a statement read to a large and friendly group of
J62 1410 12    your fellow artists in Leningrad:
J62 1420  3       "We have come to your land with the express intention
J62 1430  3    of understanding and respecting your ideas and your
J62 1440  1    ways. Our presence here should also be considered further,
J62 1440 10    sincere evidence of the attempts by our people and
J62 1450  8    their chosen government to seek any and all possible
J62 1460  5    ways to effect closer, peaceful ties among all people.
J62 1470  2    We are quite convinced that one of the main hopes for
J62 1470 13    the future depends upon the informal contacts and exchanges
J62 1480  8    of ideas between individuals.
J62 1500  1       In spite of the relatively short period of time
J62 1500 10    that we have experienced among you, we have already
J62 1510  8    seen many indications of your character and spirit.
J62 1520  5    We are acutely aware that yours is a society which,
J62 1530  2    in spite of several wars and many privations, has developed
J62 1540  1    itself into one of the foremost nations of the world.
J62 1540 11    Your past history is resplendent with the fruits of
J62 1550  7    the intellect. Your present history is equally admirable
J62 1560  4    for its industrial and scientific achievements.
J62 1580  1       We have come to you to experience something of your
J62 1580 11    way of life while also attempting to acquaint you with
J62 1600  7    that of ours. While we, as American artists, believe
J62 1610  2    deeply in the universal character of all intellectual
J62 1620  1    activity, we would be less than honest with you, or
J62 1620 11    ourselves, if we failed to state a specific attitude
J62 1630  9    toward our own society as well as the international
J62 1640  5    community as a whole. In stating this position, we
J62 1650  2    should like to make it clear to you that we cannot
J62 1650 13    expect artists and intellectuals in other lands to
J62 1660  7    share our opinion in every respect. As a matter of
J62 1670  5    fact, we prize the diversity among our own people so
J62 1680  2    much that we will not presume to speak for all other
J62 1680 13    American artists. But certainly, all will agree that
J62 1690  7    it is not so much the knowledge and search for similarities
J62 1700  5    between you and us, but rather the thoughtful exploration
J62 1710  2    and acceptance of our differences which may lead us
J62 1720  2    to our respective and desired goals with a minimum
J62 1720 11    of misunderstanding.
J62 1730  1       Like yourselves, we have pride and love for our
J62 1730 10    country. To many of us, this is a land to which we
J62 1740 12    or our parents fled from totalitarian terror in order
J62 1750  4    to live in dignified freedom. As artists we feel the
J62 1760  3    same obligation, as do other individuals, in considering
J62 1760 11    ourselves responsible citizens of a great nation.
J63 0010  1    ##
J63 0010  2    The Sane Society is an ambitious work. Its scope is
J63 0010 12    as broad as the question: What does it mean to live
J63 0020 11    in modern society? A work so broad, even when it is
J63 0030  9    directed by a leading idea and informed by a moral
J63 0040  4    vision, must necessarily "fail". Even a hasty reader
J63 0050  1    will easily find in it numerous blind spots, errors
J63 0050 10    of fact and argument, important exclusions, areas of
J63 0060  6    ignorance and prejudice, undue emphases on trivia,
J63 0070  4    examples of broad positions supported by flimsy evidence,
J63 0080  2    and the like. Such books are easy prey for critics.
J63 0080 12    Nor need the critic be captious. a careful and orderly
J63 0090  9    man, who values precision and a kind of tough intellectual
J63 0100  7    responsibility, might easily be put off by such a book.
J63 0110  7    It is a simple matter, for one so disposed, to take
J63 0120  2    a work like The Sane Society and shred it into odds
J63 0120 13    and ends. The thing can be made to look like the cluttered
J63 0130 12    attic of a large and vigorous family- a motley jumble
J63 0140  7    of discarded objects, some outworn and some that were
J63 0150  5    never useful, some once whole and bright but now chipped
J63 0160  3    and tarnished, some odd pieces whose history no one
J63 0160 12    remembers, here and there a gem, everything fascinating
J63 0170  8    because it suggests some part of the human condition-
J63 0180  7    the whole adding up to nothing more than a glimpse
J63 0190  4    into the disorderly history of the makers and users.
J63 0200  1       That could be easily done, but there is little reason
J63 0200 11    in it. It would come down to saying that Fromm paints
J63 0210 10    with a broad brush, and that, after all, is not a conclusion
J63 0230  8    one must work toward but an impression he has from
J63 0240  4    the outset. I mention these features of the book because
J63 0250  2    they are inherent in the book's character and therefore
J63 0250 11    must be mentioned. It would be superfluous to build
J63 0260  9    a critique around them. There are more substantial
J63 0270  5    criticisms to be made of Fromm's account of capitalist
J63 0280  3    civilization.
J63 0280  4       It is worthwhile to recall that Fromm's treatment
J63 0290  3    has both descriptive and normative aspects. Since I
J63 0300  2    have already discussed his moral position, that discussion
J63 0300 10    is incorporated by reference into the following pages,
J63 0310  8    which will focus on the empirical and analytic side
J63 0320  7    of Fromm's treatment. I shall first indicate a couple
J63 0330  5    of weaknesses in Fromm's analysis, then argue that,
J63 0340  2    granted these weaknesses, he still has much left that
J63 0340 11    is valuable, and, finally, raise the general question
J63 0350  7    of a philosophical versus a sociological approach to
J63 0360  5    the question of alienation.
J63 0360  9       Almost no empirical work has been done on the problem
J63 0370 10    of alienation. Despite its rather long intellectual
J63 0380  5    history, alienation is still a promising hypothesis
J63 0390  2    and not a verified theory. The idea has received much
J63 0400  1    attention in philosophy, in literature, and in a few
J63 0400 10    works of general social criticism, such as The Sane
J63 0410  7    Society. What is missing is work that would answer,
J63 0420  5    presumably by the use of survey methods and Guttman-type
J63 0430  1    attitude scales, such questions as these: What are
J63 0430  9    the components of the feeling-state described as alienation?
J63 0450  8    How widespread is alienation? What is its incidence
J63 0460  7    among the various classes and subgroups of the population?
J63 0470  6    Taking alienation as a dependent variable, with what
J63 0480  3    socio-structural factors is it most highly associated?
J63 0490  1    Considered as an independent variable, how does it
J63 0490  9    affect behavior in various sectors of life? Until such
J63 0500  8    work is done, there must remain the nagging suspicion
J63 0510  5    that alienation may be little more than an expression
J63 0520  3    of the malaise of the intellectual, who, rejected by
J63 0520 12    and in turn rejecting the larger society, projects
J63 0530  8    his own fear and despair onto the broader social screen.
J63 0540  6       I am not suggesting that Fromm ought to do this
J63 0550  6    kind of work. Nor do I think that alienation is nothing
J63 0560  3    more than a projection of the malaise of the intellectual.
J63 0570  1    I am saying only that until a fuller and different
J63 0570 11    kind of evidence comes in, any discussion of alienation
J63 0580  7    must be understood to have certain important limitations.
J63 0590  3       Until such evidence appears, we must make do with
J63 0600  4    the evidence we have. Here, perhaps, Fromm is vulnerable,
J63 0610  1    for he does not always use the best and most recent
J63 0610 12    evidence available, and he sometimes selects and interprets
J63 0620  7    the evidence in rather special ways. Three examples
J63 0630  5    follow.
J63 0630  6       Fromm's analysis of alienation in the sphere of
J63 0640  5    production centers around the concepts of the bureaucratization
J63 0650  2    of the corporation, the separation of ownership from
J63 0660  1    control, and the broad (and thus from the point of
J63 0660 11    view of corporate control, ineffective) dispersion
J63 0670  4    of stock ownership. For all these points he relies
J63 0680  4    exclusively on Berle and Means's study of 1932, The
J63 0690  1    Modern Corporation and Private Property. The broad
J63 0690  8    conclusions of that pioneering work remain undisturbed,
J63 0710  7    but subsequent research has expanded and somewhat altered
J63 0720  6    their empirical support, has suggested important revisions
J63 0730  3    in the general analytic frame of reference, and has
J63 0740  2    sharpened the meaning of particular analytic concepts
J63 0740  9    in this area. Fromm seems unaware of these developments.
J63 0750  7       Another example is his very infrequent use of the
J63 0760  8    large amount of data from surveys designed to discover
J63 0770  4    what and how people actually do feel and think on a
J63 0780  2    broad range of topics: he cites such survey-type findings
J63 0790 10    just three times. Moreover, the conclusions he draws
J63 0800  7    from the findings are not always the only ones possible.
J63 0810  6    For example, he cites the following data from two studies
J63 0820  5    on job satisfaction: in the first study, 85 per cent
J63 0830  2    of professionals and executives, 64 per cent of white
J63 0830 11    collar people, and 41 per cent of factory workers expressed
J63 0840  9    satisfaction with their jobs; in the second study,
J63 0850  7    the percentages were 86 for professionals, 74 for managerial
J63 0860  4    persons, 42 for commercial employees, 56 for skilled
J63 0870  2    workers, and 48 for semi-skilled workers. He concludes
J63 0870 11    that these data show a "remarkably high" percentage
J63 0890  7    of consciously dissatisfied and unhappy persons among
J63 0900  5    factory and clerical workers. Starting from other value
J63 0910  4    premises than Fromm's, some analysts might conclude
J63 0920  1    that the percentages really tell us very little at
J63 0920 10    all, while others might even conclude that the figures
J63 0930  7    are remarkably low. Eric Hoffer, for example, once
J63 0940  4    said that America was a paradise- the only one in the
J63 0950  4    history of the world- for workingmen and small children.
J63 0960  1    What matters is that while Fromm's reading of the data
J63 0960 11    is not the only one possible, it is precisely the one
J63 0970  9    we would expect from a writer who earnestly believes
J63 0980  4    that every man can and ought to be happy and satisfied.
J63 0990  2    Fromm also cites a poll on attitudes toward work restriction
J63 1000  1    conducted by the Opinion Research Corporation in 1945,
J63 1000  9    in which 49 per cent of manual workers said a man ought
J63 1010 11    to turn out as much as he could in a day's work, while
J63 1020  8    41 per cent said he should not do his best but should
J63 1030  5    turn out only the average amount. Fromm says these
J63 1040  1    data show that job dissatisfaction and resentment are
J63 1040  9    widespread. That is one way to read the findings, but
J63 1050  9    again there are other ways. One might use such findings
J63 1060  5    to indicate the strength of informal primary associations
J63 1070  2    in the factory, an interpretation which would run counter
J63 1080  1    to Fromm's theory of alienation. Or, he might remind
J63 1080 10    Fromm that the 41 per cent figure is really astonishingly
J63 1090  9    low: after all, the medieval guild system was dedicated
J63 1100  6    to the proposition that 100 per cent of the workers
J63 1110  5    ought to turn out only the average amount; and today's
J63 1120  1    trade unions announce pretty much the same view.
J63 1120  9       In view of these shortcomings in both the amount
J63 1130  8    and the interpretation of survey-type findings on public
J63 1140  6    opinion, and considering the criticisms which can be
J63 1150  4    brought against Fromm's philosophical anthropology,
J63 1160  1    such a passage as the following cannot be taken seriously.
J63 1160 11    "Are people happy, are they as satisfied, unconsciously,
J63 1170  7    as they believe themselves to be? Considering the nature
J63 1180  6    of man, and the conditions for happiness, this can
J63 1190  4    hardly be so".
J63 1190  7       The ambiguities suggested above stem from a more
J63 1200  6    basic difficulty in Fromm's style of thought. He seems
J63 1210  3    to use the term alienation in two different ways. Sometimes
J63 1220  1    he uses it as a subjective, descriptive term, and sometimes
J63 1220 11    as an objective, diagnostic one. That is, sometimes
J63 1230  7    it is used to describe felt human misery, and other
J63 1240  6    times it is postulated to explain unfelt anxiety and
J63 1250  3    discontent. The failure to keep these two usages distinct
J63 1260  2    presents hazards to the reader. It also permits Fromm
J63 1260 11    to do some dubious things with empirical findings.
J63 1270  7    When alienation is used as an objective and diagnostic
J63 1280  6    category, for example, it becomes clear that Fromm
J63 1290  3    would have to say that awareness of alienation goes
J63 1290 12    far toward conquering it. (He in effect does say this
J63 1300 10    in his discussion of the pseudo-happiness of the automaton
J63 1310  7    conformist.) Starting from this, and accepting his
J63 1320  4    estimate of the iniquities of modern society, it would
J63 1330  2    follow that the really disturbing evidence of alienation
J63 1330 10    would be that of a work-satisfaction survey which reported
J63 1340 10    widespread, stated worker satisfaction, rather than
J63 1350  5    widespread, stated worker dissatisfaction.
J63 1360  1       The point is that in a system such as Fromm's which
J63 1370  1    recognizes unconscious motivations, and which rests
J63 1370  7    on certain ethical absolutes, empirical data can be
J63 1380  6    used to support whatever proposition the writer is
J63 1390  4    urging at the moment. Thus, in the example cited above
J63 1400  1    Fromm rests his whole case on the premise that the
J63 1400 11    workers are being deprived unconsciously, unknowingly,
J63 1410  4    of fulfillment, and then supports this with survey
J63 1420  4    data reporting conscious, experienced frustrations.
J63 1430  1    He has his cake and eats it too: if the workers say
J63 1430 13    they are dissatisfied, this shows conscious alienation;
J63 1440  5    if they say they are satisfied, this shows unconscious
J63 1450  4    alienation. This sort of manipulation is especially
J63 1460  2    troublesome in Fromm's work because, although his system
J63 1470  1    is derived largely from certain philosophic convictions,
J63 1470  8    he asserts that it is based on empirical findings drawn
J63 1490  7    both from social science and from his own consulting
J63 1500  5    room. While the "empirical psychoanalytic" label which
J63 1510  3    Fromm claims sheds no light on the validity of his
J63 1510 13    underlying philosophy, it does increase the marketability
J63 1520  7    of his product.
J63 1530  1       The final example of the failure to use available
J63 1530 10    evidence, though evidence of a different kind from
J63 1540  8    that which has so far been considered, comes from Fromm's
J63 1550  4    treatment of some other writers who have dealt with
J63 1560  3    the same themes. In a brief chapter dealing with "Various
J63 1570  1    Other Diagnoses", he quotes isolated passages from
J63 1570  8    some writers whose views seem to corroborate his own,
J63 1580  8    and finds it "most remarkable that a critical view
J63 1590  5    of twentieth-century society was already held by a
J63 1600  3    number of thinkers living in the nineteenth **h". He
J63 1600 12    finds it equally "remarkable that their critical diagnosis
J63 1610  8    and prognosis should have so much in common among themselves
J63 1620  9    and with the critics of the twentieth century". There
J63 1630  5    is nothing remarkable about this at all. It is largely
J63 1640  5    a matter of finding passages that suit one's purposes.
J63 1650  1    There is a difference between evidence and illustration,
J63 1650  9    and Fromm's citation of the other diagnosticians fits
J63 1660  7    the latter category. Glance at the list: Burckhardt,
J63 1670  6    Tolstoy, Proudhon, Thoreau, London, Marx, Tawney, Mayo,
J63 1680  5    Durkheim, Tannenbaum, Mumford, A& R& Heron, Huxley,
J63 1690  4    Schweitzer, and Einstein. This is a delightfully motley
J63 1700  2    collection. One can make them say the same thing only
J63 1700 12    by not listening to them very carefully and hearing
J63 1710  9    only what one wants to hear. The method of selection
J63 1720  7    Fromm uses achieves exactly that. Furthermore, the
J63 1730  2    list is interesting for its omissions. It omits, for
J63 1740  1    example, practically the whole line of great nineteenth
J63 1740  9    century English social critics, nearly all the great
J63 1750  7    writers whose basic position is religious, and all
J63 1760  5    those who are with more or less accuracy called Existentialists.
J63 1770  2    Of course, the list also excludes all writers who are
J63 1780  1    fairly "optimistic" about the modern situation; these,
J63 1780  8    almost by definition, are spokesmen for an alienated
J63 1790  8    ideology. It is not hard to find that concurrence of
J63 1800  6    opinion which Fromm finds so remarkable when you ignore
J63 1810  4    all who hold a different opinion.
J63 1810 10       Turning from these problems of the use of evidence,
J63 1820  8    one meets another type of difficulty in Fromm's analysis,
J63 1830  4    which is his loose and ambiguous use of certain important
J63 1840  4    terms. One such instance has already been presented:
J63 1850  1    his use of alienation. The only other one I shall mention
J63 1850 12    here is his use of the term capitalism.
J63 1860  8       For Fromm, capitalism is the enemy, the root of
J63 1870  6    all evil. It is of course useful to have a sovereign
J63 1880  1    cause in one's social criticism, for it makes diagnosis
J63 1880 10    and prescription much easier than they might otherwise
J63 1890  8    be.
J64 0010  1       If one characteristic distinguishes Boris Godunov,
J64 0010  7    it is the consistency with which every person on the
J64 0020  9    stage- including the chorus- comes alive in the music.
J64 0030  6    Much of this lifelike quality results from Mussorgsky's
J64 0040  3    care in basing his vocal line on natural speech inflections.
J64 0050  2    In this he followed a path that led back to the very
J64 0060  1    source of opera; such composers as Monteverdi, Lully
J64 0060  9    and Purcell, with the same goal in mind, had developed
J64 0070  9    styles of recitative sensitively attuned to their own
J64 0080  5    languages. Through long experimentation in his songs,
J64 0090  4    Mussorgsky developed a Russian recitative as different
J64 0100  1    from others as the language itself. Giving most of
J64 0100 10    his musical continuity to the orchestra, he lets the
J64 0110  7    speech fall into place as if by coincidence, but controlling
J64 0120  3    the pace and emphasis of the words.
J64 0130  1       The moments of sung melody, in the usual sense,
J64 0130  9    come most often when the character is actually supposed
J64 0140  6    to be singing, as in folk songs and liturgical chants.
J64 0150  3    Otherwise Mussorgsky reserves his vocal melodies for
J64 0160  2    prolonged expressions of emotion- Boris' first monologue,
J64 0160  9    for example. Even then, the flexibility of the phrasing
J64 0170  9    suggests that the word comes first in importance.
J64 0180  7       Aside from Boris himself, one need but examine the
J64 0190  6    secondary roles to place Mussorgsky among the masters
J64 0200  3    of musical portraiture. Even those who appear in only
J64 0200 12    one or two scenes are full personalities, defined with
J64 0210  9    economical precision. Consider the four monks who figure
J64 0220  7    prominently in the action: Pimen, Varlaam, Missail
J64 0230  4    and the Jesuit Rangoni. Under no circumstances could
J64 0240  2    we mistake one for the other; each musical setting
J64 0240 11    has an individual touch.
J64 0250  4       Pimen is an old man, weak in body- his voice rarely
J64 0260  3    rises to a full forte- but firm and clear of mind.
J64 0270  1    His calmness offers contrast to Grigori's youthful
J64 0270  8    excitement. A quiet but sturdy theme, somewhat folklike
J64 0280  7    in character, appears whenever the old monk speaks
J64 0300  5    of the history he is recording or of his own past life:
J64 0310  2    @
J64 0310  3       This theme comes to represent the outer world, the
J64 0320  1    realm of battles and banquets- seen from a distance,
J64 0320 10    quite distinct from the quieter spiritual life in the
J64 0330  8    monastery. It changes and develops according to the
J64 0340  4    text; it introduces Pimen when he comes before Boris
J64 0350  2    in the last act. Once he has been identified, however,
J64 0350 12    a new melody is used to accompany his narrative, a
J64 0360 10    bleak motif with barren octaves creating a rather ancient
J64 0370  6    effect: @
J64 0370  8       An imaginative storyteller, Pimen takes on the character
J64 0380  7    he describes, as if he were experiencing the old shepherd's
J64 0390  6    blindness and miraculous cure. Here the composer uses
J64 0400  5    a favorite device of his, the intensification of the
J64 0410  3    mood through key relationships. The original ~D minor
J64 0410 11    seems to symbolize blindness, inescapable in spite
J64 0420  7    of all attempts to move away from it. As the child
J64 0430  7    addresses the shepherd in a dream, light- in the form
J64 0440  6    of the major mode- begins to appear, and at the moment
J64 0450  1    of the miracle we hear a clear and shining ~D major.
J64 0450 12       Varlaam and Missail always appear together and often
J64 0460  8    sing together, in a straightforward, rhythmically vigorous
J64 0470  2    idiom that distinguishes them from the more subtle
J64 0480  4    and well-educated Pimen. Their begging song might easily
J64 0490  2    be a folk melody: @
J64 0490  7       The same could be said for the song to which they
J64 0500  5    make their entrance in the final scene. Apparently
J64 0510  1    their origin is humble, their approach to life direct
J64 0510 10    and unsophisticated. Whatever learning they may have
J64 0520  6    had in their order doesn't disturb them now.
J64 0530  3       Missail is the straight man, not very talkative,
J64 0540  1    mild-mannered when he does speak. Varlaam is loud,
J64 0540 10    rowdy, uninhibited in his pleasures and impatient with
J64 0550  7    anyone who is not the same. A rough ostinato figure,
J64 0560  4    heard first in the introduction to the inn scene, characterizes
J64 0570  3    him amusingly and reappears whenever he comes into
J64 0580  1    the action: @
J64 0580  4       The Song of Kazan, in which this figure becomes
J64 0590  2    a wild-sounding accompaniment, fills in the picture
J64 0590 10    of undisciplined high spirits. The phrasing is irregular,
J64 0600  7    and the abrupt key changes have a primitive forcefulness.
J64 0610  6    (We can imagine how they startled audiences of the
J64 0620  4    1870's.)
J64 0620  5       Varlaam's music begins to ramble as he feels the
J64 0630  5    effects of the wine, but he pulls himself together
J64 0640  1    when the need arises. Both monks respond to the guard's
J64 0640 11    challenge with a few phrases of their begging song;
J64 0650  9    a clever naturalistic touch is Varlaam's labored reading
J64 0660  5    of the warrant. As the knack gradually comes back to
J64 0670  4    him, his rhythm becomes steadier, with the rigid monotony
J64 0680  1    of an unskilled reader. For the only time in the opera,
J64 0680 12    words are not set according to their natural inflection;
J64 0690  9    to do so would have spoiled the dramatic point of the
J64 0700  8    scene.
J64 0700  9       Musically and dramatically, Rangoni is as far removed
J64 0710  7    from the conventional monk as Varlaam. His music shows
J64 0720  5    a sensuality coupled with an eerie quality that suggest
J64 0730  3    somehow a blood-kinship with Dappertutto in Offenbach's
J64 0740  1    Hoffman. His speech shows none of the native accent
J64 0740 10    of the Russian characters; in spite of the Italian
J64 0750  8    name, he sounds French. His personality appears more
J64 0760  5    striking by contrast with Marina, who is- perhaps purposely-
J64 0770  3    rather superficially characterized.
J64 0780  1       Rangoni's first entrance is a musical shock, a sudden
J64 0780 10    open fifth in a key totally unrelated to what has preceded
J64 0790 10    it. The effect is as if he had materialized out of
J64 0800  7    nowhere. He speaks quietly, concealing his authority
J64 0810  3    beneath a smooth humility, just as the shifting harmonies
J64 0820  1    that accompany him all but hide the firm pedal point
J64 0820 11    beneath them. He addresses Marina with great deference,
J64 0830  7    calling her "Princess" at first; it is only after he
J64 0840  8    has involved her emotions in his scheme that he uses
J64 0850  4    her given name, placing himself by implication in the
J64 0860  1    position of a solicitous father.
J64 0860  6       Curiously, this scene is a close parallel to one
J64 0870  4    that Verdi was writing at the same time, the scene
J64 0880  1    between Amonasro and Aida. Rangoni and Amonasro have
J64 0880  9    the same purpose- forcing the girl to charm the man
J64 0890  8    she loves into serving her country's cause- and their
J64 0900  5    tactics are much the same. Rangoni begins by describing
J64 0910  3    the sad state of the Church; this brings a reaction
J64 0920  1    of distress from Marina. The music becomes ethereal
J64 0920  9    as he calls up a vision of her own sainthood: it is
J64 0930 10    she, he tells her, who can bring the truth to Russia
J64 0940  6    and convert the heretics. As if in a trance, she repeats
J64 0950  3    his words- then realizes, with a shock, her own audacity.
J64 0960  1    This is no assignment for a frivolous girl, she assures
J64 0960 11    him.
J64 0970  1       Now Rangoni comes to the point, and we hear, for
J64 0970 11    the first time, a long, downward chromatic scale that
J64 0980  7    will become the characteristic motif of his sinister
J64 0990  5    power. It is a phrase as arresting as a magician's
J64 1000  1    gesture, with a piquant turn of harmony giving an effect
J64 1000 11    of strangeness. Another theme, sinuously chromatic,
J64 1010  5    appears as he directs her to gain power over Grigori
J64 1020  6    by any means, even at the cost of her honor. Coming
J64 1030  2    from a priest, the music sounds as odd as the advice:
J64 1040  1    @
J64 1040  2       Marina rebels at this suggestion. Her pride is as
J64 1040 11    much at stake as her virtue; she is the unattainable
J64 1050  9    beauty, the princess who turns away suitors by the
J64 1060  6    dozen. Indignantly she denounces Rangoni for his evil
J64 1070  4    thoughts and orders him to leave her.
J64 1070 11       At once the Jesuit pulls out all the stops. To music
J64 1080  9    of a menacing darkness, he describes the powers of
J64 1090  6    Satan gaining control of the girl, poisoning her soul
J64 1100  3    with pride and destroying her beauty. The combined
J64 1100 11    threat of hell-fire and ugliness is too much for her,
J64 1110 11    and she falls terrified at his feet. With another sudden
J64 1120  7    change of mood, he is again calm and protective, exhorting
J64 1130  3    her to trust and obey him as God's spokesman- and the
J64 1140  5    chromatic scale descends in ominous contradiction.
J64 1140 11    Whatever the source of Rangoni's power, Marina is his
J64 1150  9    captive now; we are reminded of this at the end of
J64 1160  9    the next scene, when his theme cuts through the warmth
J64 1170  4    of the love duet, again throwing a chill over the atmosphere.
J64 1180  2       The most unusual feature of Boris, however, is the
J64 1190  3    use of the greatest character of all, the chorus. This
J64 1190 13    is the real protagonist of the drama; the conflict
J64 1200  8    is not Boris versus Grigori or Shuiski or even the
J64 1210  6    ghost of the murdered child, but Boris versus the Russian
J64 1220  4    people. Mussorgsky makes this quite clear by the extent
J64 1230  2    to which choral scenes propel the action. Boris' first
J64 1230 11    entrance seems almost a footnote to the splendor of
J64 1240  9    the Coronation Scene, with its dazzling confusion of
J64 1250  6    tonalities. We have a brief glimpse of the Tsar's public
J64 1260  5    personality, the "official Boris", but our real focus
J64 1270  3    is on the excitement of the crowd- a signigicant contrast
J64 1280  1    with its halfhearted acclamation in the opening scene,
J64 1280  9    its bitter resentment and fury in the final act.
J64 1290  8       One reason for the unique vitality of the chorus
J64 1300  5    is its great variety in expression. It rarely speaks
J64 1310  2    as a unit. Even in its most conventional appearance,
J64 1310 11    the guests' song of praise to Marina, there are a few
J64 1320 10    female dissenters criticizing the princess for her
J64 1330  5    coldness. In many passages- for example, the council
J64 1340  3    of boyars- each section of the chorus becomes a character
J64 1350  1    group with a particular opinion. Hot arguments arise
J64 1350  9    between tenors and basses, who will sing in harmony
J64 1360  9    only when they agree on an idea.
J64 1370  2       The opening scene shows this method at its most
J64 1370 11    individual. Mussorgsky paints a telling picture of
J64 1380  7    the common people, those who must suffer the effects
J64 1390  6    of their rulers' struggle for power without understanding
J64 1400  2    the causes. They are held in control by force, but
J64 1410  1    barely. They will kneel and plead for Boris' leadership
J64 1410 10    in a strangely intense song, its phrases irregularly
J64 1420  6    broken as if gasping for breath, but when the police
J64 1430  5    with their cudgels move away, they mock and grumble
J64 1440  2    and fight among themselves. There is a quick change
J64 1440 11    from the plaintive song to a conversational tone. "Hey,
J64 1450  8    Mityukh", asks one group, "what are we shouting about"?
J64 1460  7    And Mityukh, apparently the intellectual leader of
J64 1470  5    the crowd, replies that he has no notion. The jokes
J64 1480  3    and arguments grow louder until the police return;
J64 1480 11    then the people strike up their song with even more
J64 1490 10    fervor than before, ending it with a wail of despair.
J64 1500  7       Mussorgsky frequently uses liturgical music with
J64 1510  3    considerable dramatic force. In Pimen's cell the soft
J64 1520  2    prayers of the monks, heard from offstage, not only
J64 1520 11    help to set the scene but emphasize the contrast between
J64 1530  8    young Grigori's thoughts and his situation. This is
J64 1540  6    especially striking between Pimen's quiet exit and
J64 1550  4    Grigori's vehement outburst against Boris.
J64 1560  1       Again, as Boris feels himself nearing death, a procession
J64 1560  9    files into the hall singing a hymn, its modal harmonies
J64 1570  9    adding a churchly touch to the grim atmosphere: @ The
J64 1580  7    words are hardly calculated to put the Tsar's mind
J64 1590  6    at ease. They echo the words with which he has described
J64 1600  4    his own vision of the dying child who "trembles and
J64 1610  1    begs for mercy- and there is no mercy". The living
J64 1610 11    as well as the dead now accuse him; this final reminder
J64 1620  9    of his guilt is the fatal one.
J64 1630  2       One of the outstanding assets of the present production
J64 1640  1    is the restoration of the St& Basil's scene, usually
J64 1640 10    omitted from performances and rarely included in a
J64 1650  8    published score. Though brief, it has a sharp dramatic
J64 1660  6    edge and great poignancy. In addition, it is an important
J64 1670  5    link in the plot, giving us a revealing glimpse of
J64 1680  1    the people's attitude toward Boris and the false Dimitri.
J64 1680 10    The mayhem in the forest of Kromy is a natural sequel.
J64 1690 10       The St& Basil's scene opens with little groups of
J64 1700  7    beggars milling around the square, the ever present
J64 1710  5    police keeping them under scrutiny. In the orchestra
J64 1720  2    we hear first a hushed, hesitant pizzicato figure,
J64 1720 10    then the insistent "police" motif as it appeared in
J64 1730  9    the opening scene.
J64 1740  1       The service is over, and a number of people come
J64 1740 11    from the church with their spokesman Mityukh in the
J64 1750  7    lead. They bring the news that the Pretender has been
J64 1760  5    excommunicated; this is met with scorn by the hearers,
J64 1770  3    who claim that Mityukh is lying or drunk. (Mussorgsky
J64 1770 12    cleverly contrasts the two groups by their orchestral
J64 1780  8    accompaniment, solemn chords or mocking staccatos.)
J64 1790  5    There is still more news, Mityukh announces: they have
J64 1800  4    prayed for the soul of the Tsarevich.
J65 0010  1    SO FAR THESE remarks, like most criticisms of Hardy,
J65 0010 10    have tacitly assumed that his poetry is all of a piece,
J65 0020 10    one solid mass of verse expressing a sensibility at
J65 0030  5    a single stage of development. For critics, Hardy has
J65 0040  3    had no poetic periods- one does not speak of early
J65 0040 13    Hardy or late Hardy, or of the London or Max Gate period,
J65 0050 12    but simply of Hardy, as of a poetic monolith. This
J65 0060  9    seems odd when one recalls that he wrote poetry longer
J65 0070  6    than any other major English poet: "Domicilium" is
J65 0080  2    dated "between 1857 and 1860"; "Seeing the Moon Rise"
J65 0090  3    is dated August, 1927. One might expect that in a poetic
J65 0100  1    career of seventy-odd years, some changes in style
J65 0100 10    and method would have occurred, some development taken
J65 0110  6    place.
J65 0110  7       This is not, however, the case, and development
J65 0120  5    is a term which we can apply to Hardy only in a very
J65 0130  5    limited sense. In a time when poetic style, and poetic
J65 0140  1    belief as well, seem in a state of continual flux,
J65 0140 11    Hardy stands out as a poet of almost perverse consistency.
J65 0150  8    Though he struggled with philosophy all his life, he
J65 0160  6    never got much beyond the pessimism of his twenties;
J65 0170  2    the "sober opinion" of his letter to Noyes, written
J65 0180  1    when Hardy was eighty years old, is essentially that
J65 0180 10    of his first "philosophical" notebook entry, made when
J65 0190  5    he was twenty-five: "The world does not despise us:
J65 0200  6    it only neglects us" (Early Life, p& 63). And though
J65 0210  5    in his later years he revised his poems many times,
J65 0220  2    the revisions did not alter the essential nature of
J65 0220 11    the style which he had established before he was thirty;
J65 0230  9    so that, while it usually is easy to recognize a poem
J65 0240  7    by Hardy, it is difficult to date one.
J65 0250  1       There is only one sense in which it is valid to
J65 0250 12    talk about Hardy's development: he did develop toward
J65 0260  7    a more consistent and more effective control of that
J65 0270  6    tone which we recognize as uniquely his. There is only
J65 0280  4    one Hardy style, but in the earlier poems that style
J65 0290  1    is only intermittently evident, and when it is not,
J65 0290 10    the style is the style of another poet, or of the fashion
J65 0300  9    of the time. In the later poems, however, the personal
J65 0310  4    tone predominates. The bad early poems are bad Shakespeare
J65 0320  3    or bad Swinburne; the bad late poems are bad Hardy.
J65 0340  1       There are two ways of getting at a poet's development:
J65 0350  1    through his dated poems, and through the revisions
J65 0350  9    which he made in later editions of his work. About
J65 0360  6    a quarter of Hardy's poems carry an appended date line,
J65 0370  5    usually the year of completion, but sometimes inclusive
J65 0380  1    years ("1908-1910") or two separate dates when Hardy
J65 0380 10    worked on the poem ("1905 and 1926") or an approximate
J65 0390 10    date ("During the War"). These dates are virtually
J65 0400  7    the only clues we have to the chronology of the poems,
J65 0410  6    since the separate volumes are neither chronological
J65 0420  1    within themselves nor in relation to each other. With
J65 0420 10    the exception of Satires of Circumstance, each volume
J65 0430  8    contains dated poems ranging over several decades (Winter
J65 0440  7    Words spans sixty-one years); the internal organization
J65 0450  5    rarely has any chronological order, except in obvious
J65 0460  4    groups like the "Poems of Pilgrimage", the "Poems of
J65 0470  3    1912-13", and the war poems.
J65 0470  9       From the dated poems we can venture certain conclusions
J65 0480  6    about Hardy's career in poetry, always remembering
J65 0490  3    that conclusions based on a fraction of the whole must
J65 0500  2    remain tentative. The dated poems suggest that while
J65 0500 10    Hardy's concern with poetry may have been constant,
J65 0510  8    his production was not. He had two productive periods,
J65 0520  6    one in the late 1860's, the other in the decade from
J65 0530  5    1910 to 1920 (half of the dated poems are from the
J65 0540  1    latter period, and these alone total about one-tenth
J65 0540 10    of all Hardy's poems). There was one sterile period:
J65 0550  7    only one poem is dated between 1872 and 1882 and, except
J65 0560  6    for the poems written on the trip to Italy in 1887,
J65 0570  3    very few from 1882 to 1890.
J65 0570  9       The dated poems also give us an idea of the degree
J65 0580  8    to which Hardy drew upon past productions for his various
J65 0590  4    volumes, and therefore probably are an indication of
J65 0600  2    the amount of poetry he was writing at the time. Poems
J65 0600 13    of the Past and the Present and Time's Laughingstocks,
J65 0610  7    both published while Hardy was at work on The Dynasts,
J65 0620  9    draw heavily on poems written before 1900. Satires
J65 0630  5    of Circumstance and Moments of Vision, coming during
J65 0640  4    his most productive decade, are relatively self-contained;
J65 0650  1    the former contains no poem dated before 1909-10- that
J65 0660  1    is, no poem from a period covered by a previous volume-
J65 0660 12    and the latter has only a few such. The last three
J65 0670 10    volumes are again more dependent on the past, as Hardy's
J65 0680  6    creative powers declined in his old age.
J65 0690  2       These observations about Hardy's productivity tally
J65 0690  8    with the details of his life as we know them. The first
J65 0700 12    productive period came when he was considering poetry
J65 0710  7    as a vocation, before he had decided to write fiction
J65 0720  4    for a living (in his note for Who's Who he wrote that
J65 0730  4    he "wrote verses 1865-1868; gave up verse for prose,
J65 0740  1    1868-70; but resumed it later"). During the poetically
J65 0740 10    sterile years he was writing novels at the rate of
J65 0750 10    almost one a year and was, in addition, burdened with
J65 0760  5    bad health (he spent six months in bed in 1881, too
J65 0770  2    ill to do more than work slowly and painfully at A
J65 0770 13    Laodicean). Two entries in the Early Life support the
J65 0780  9    assumption that during this period Hardy had virtually
J65 0790  7    suspended the writing of poetry. Mrs& Hardy records
J65 0800  4    that "**h at the end of November [1881] he makes a
J65 0810  4    note of an intention to resume poetry as soon as possible"
J65 0820  1    (Early Life, p& 188); and on Christmas Day, 1890, Hardy
J65 0830  1    wrote: "While thinking of resuming 'the viewless wings
J65 0830  9    of poesy' before dawn this morning, new horizons seemed
J65 0840  9    to open, and worrying pettinesses to disappear" (Early
J65 0850  5    Life, p& 302). There are more poems dated in the 1890's
J65 0860  8    than in the '80's- Hardy had apparently resumed the
J65 0870  5    viewless wings as he decreased the volume of his fiction-
J65 0880  4    but none in 1891, the year of Tess, and only one in
J65 0890  2    1895, the year of Jude. After 1895 the number increases,
J65 0890 12    and in the next thirty years there is only one year
J65 0900 11    for which there is no dated poem- 1903, when Hardy
J65 0910  6    was at work on The Dynasts.
J65 0920  1       The second productive period, the decade from 1910
J65 0920  9    to 1920, can be related to three events: the completion
J65 0930  8    of The Dynasts in 1909, which left Hardy free of pressure
J65 0940  7    for the first time in forty years; the death of Emma
J65 0950  5    Hardy in 1912, which had a profound emotional effect
J65 0960  2    on Hardy for which he found release in poetry; and
J65 0960 12    the First World War. It may seem strange that a poet
J65 0970 10    should come to full fruition in his seventies, but
J65 0980  6    we have it on Hardy's own authority that "**h he was
J65 0990  5    a child till he was sixteen, a youth till he was five-and-twenty,
J65 1000  1    and a young man till he was nearly fifty" (Early Life,
J65 1010  1    p& 42). We may carry this sequence one step further
J65 1010 11    and say that at seventy he was a poet at the height
J65 1020 11    of his powers, wanting only the impetus of two tragedies,
J65 1030  6    one personal, the other national, to loose those powers
J65 1040  4    in poetry.
J65 1040  6       Hardy's two productive decades were separated by
J65 1050  4    forty years, yet between them he developed only in
J65 1060  1    that he became more steadily himself- it was a narrowing,
J65 1060 11    not an expanding process. Like a wise gardener, Hardy
J65 1070  7    pruned away the Shakespearian sonnets and songs, and
J65 1080  5    the elements of meter and poetic diction to which his
J65 1090  4    personal style was not suited, and let the main stock
J65 1100  1    of his talent flourish. The range of the later poetry
J65 1100 11    is considerably narrower, but the number of successful
J65 1110  7    poems is far greater.
J65 1120  1       We can see the general characteristics of the earlier
J65 1120  9    decade if we look at two poems of very different qualities:
J65 1130  8    "Revulsion" (1866) and "Neutral Tones" (1867). There
J65 1140  6    is not much to be said for "Revulsion". Like about
J65 1150  3    half of the 1860-70 poems, it is a sonnet on a conventional
J65 1160  4    theme- the unhappiness of love. Almost anyone could
J65 1170  1    have written it; it is competent in the sense that
J65 1170 11    it makes a coherent statement without violating the
J65 1180  5    rules of the sonnet form, but it is entirely undistinguished
J65 1190  4    and entirely unlike Hardy. The language is the conventional
J65 1200  4    language of the form; there is no phrase or image that
J65 1210  2    sounds like Hardy or that is striking enough to give
J65 1210 12    individuality to the poem. It is smoother than Hardy
J65 1220  9    usually is, but with the smoothness of anonymity. It
J65 1230  5    is obviously a young man's poem, written out of books
J65 1240  4    and not out of experience; it asserts emotion without
J65 1250  2    evoking it- that is to say, it is sentimental. There
J65 1250 12    are many such competently anonymous performances among
J65 1260  6    the earlier poems.
J65 1270  1       "Neutral Tones" we immediately recognize as a fine
J65 1270  9    poem in Hardy's most characteristic style: the plain
J65 1280  7    but not quite colloquial language, the hard, particular,
J65 1290  5    colorless images, the slightly odd stanza-form, the
J65 1300  4    dramatic handling of the occasion, the refusal to resolve
J65 1310  2    the issue- all these we have seen in Hardy's best poems.
J65 1320  1    The poem does not distort the syntax of ordinary speech
J65 1320 11    nor draw on exotic sources of diction, yet it is obviously
J65 1330  8    not ordinary speech- only Hardy would say "a grin of
J65 1340 10    bitterness swept thereby/Like an ominous bird a-wing",
J65 1350  5    or "wrings with wrong", or would describe a winter
J65 1360  3    sun as "God-curst".
J65 1360  7       The details of the setting of "Neutral Tones" are
J65 1370  5    not, strictly speaking, metaphorical, but they combine
J65 1380  3    to create a mood which is appropriate both to a dismal
J65 1390  1    winter day and to the end of love, and in this way
J65 1390 13    love and weather, the emotions and the elements, symbolize
J65 1400  6    each other in a way that is common to many of Hardy's
J65 1410  5    best poems ("Weathers", "The Darkling Thrush", and
J65 1420  3    "During Wind and Rain", for example) and to some moving
J65 1430  3    passages in the novels as well (Far From the Madding
J65 1440  1    Crowd is full of scenes constructed in this way).
J65 1440 10       "Neutral Tones" is an excellent example of Hardy's
J65 1450  8    mature style, drawn from his earliest productive period;
J65 1460  6    I cite it as evidence that he did not develop through
J65 1470  5    new styles as he grew older (as Yeats did), but that
J65 1480  3    he simply learned to use better what he already had.
J65 1480 13    In the poem we recognize and acknowledge one man's
J65 1490  8    sense of the world; if it is somber, it is also precise,
J65 1500  8    and the precision lends authority to the vision. In
J65 1510  4    "Revulsion", on the other hand, the pessimism is a
J65 1520  2    case not proven; the poem offers nothing to persuade
J65 1520 11    us of the speaker's right to speak as he does. In the
J65 1530  9    1860-70 decade there are many poems like "Revulsion",
J65 1540  5    but there is only one "Neutral Tones". Hardy was not
J65 1550  4    Hardy very often.
J65 1550  7       The "Poems of 1912-13" offer a good example of Hardy's
J65 1560  7    style as it was manifested in the later productive
J65 1570  5    decade. These are the poems Hardy wrote after the death
J65 1580  3    of his first wife; they compose a painful elegy to
J65 1580 13    what might have been, to a marriage that began with
J65 1590 10    a promise of happiness, and ended in long years of
J65 1600  7    suffering and hatred. Hardy obviously felt that these
J65 1610  3    poems were peculiarly personal and private; he sometimes
J65 1620  1    called them "an expiation", and he would not allow
J65 1620 10    them to be published in periodicals. They are the only
J65 1630  7    poems that he rearranged as a group between their first
J65 1640  6    appearance (in Satires of Circumstance) and the publication
J65 1650  4    of the Collected Poems.
J65 1650  8       The elegiac tone is Hardy's natural tone of voice,
J65 1660  8    and it is not surprising that the 1912-13 poems are
J65 1670  7    consistently and unmistakably his. The view is always
J65 1680  4    toward the past; but the mood is not quite nostalgic-
J65 1690  3    Hardy would not allow sentiment to soften his sense
J65 1690 12    of the irredeemable pastness of the past, and the eternal
J65 1700  8    deadness of the dead. The poems are, the epigraph tells
J65 1710  6    us, the "traces of an ancient flame"; the fire of love
J65 1720  5    is dead, and Hardy stands, as the speaker does in the
J65 1730  3    last poem of the sequence, over the burnt circle of
J65 1730 13    charred sticks, and thinks of past happiness and present
J65 1740  8    grief, honest and uncomforted.
J66 0010  1    Critically invisible, modern revolt, like X-rays and
J66 0010  9    radioactivity, is perceived only by its effects at
J66 0020  8    more materialistic social levels, where it is called
J66 0030  4    delinquency.
J66 0030  5       "Disaffiliation", by the way, is the term used by
J66 0040  6    the critic and poet, Lawrence Lipton, who has written
J66 0050  2    several articles on this subject, the first of which,
J66 0050 11    in the Nation, quoted as epigraph, "We disaffiliate
J66 0060  7    **h"- John L& Lewis.
J66 0070  2       Like the pillars of Hercules, like two ruined Titans
J66 0080  1    guarding the entrance to one of Dante's circles, stand
J66 0080 10    two great dead juvenile delinquents- the heroes of
J66 0090  8    the post-war generation: the great saxophonist, Charlie
J66 0100  5    Parker, and Dylan Thomas. If the word deliberate means
J66 0110  5    anything, both of them certainly deliberately destroyed
J66 0120  2    themselves.
J66 0120  3       Both of them were overcome by the horror of the
J66 0130  3    world in which they found themselves, because at last
J66 0130 12    they could no longer overcome that world with the weapon
J66 0140 10    of a purely lyrical art. Both of them were my friends.
J66 0150  8    Living in San Francisco I saw them seldom enough to
J66 0160  5    see them with a perspective which was not distorted
J66 0170  1    by exasperation or fatigue. So as the years passed,
J66 0170 10    I saw them each time in the light of an accelerated
J66 0180  9    personal conflagration.
J66 0190  1       The last time I saw Bird, at Jimbo's Bob City, he
J66 0190 12    was so gone- so blind to the world- that he literally
J66 0200 11    sat down on me before he realized I was there. "What
J66 0210  6    happened, man"? I said, referring to the pretentious
J66 0220  4    "Jazz Concert". "Evil, man, evil", he said, and that's
J66 0230  4    all he said for the rest of the night. About dawn he
J66 0240  2    got up to blow. The rowdy crowd chilled into stillness
J66 0240 12    and the fluent melody spiraled through it.
J66 0250  5       The last time I saw Dylan, his self-destruction
J66 0260  4    had not just passed the limits of rationality. It had
J66 0270  2    assumed the terrifying inertia of inanimate matter.
J66 0270  9    Being with him was like being swept away by a torrent
J66 0280 10    of falling stones.
J66 0290  1       Now Dylan Thomas and Charlie Parker have a great
J66 0290 10    deal more in common than the same disastrous end. As
J66 0300  7    artists, they were very similar. They were both very
J66 0310  5    fluent. But this fluent, enchanting utterance had,
J66 0320  1    compared with important artists of the past, relatively
J66 0320  9    little content. Neither of them got very far beyond
J66 0330  8    a sort of entranced rapture at his own creativity.
J66 0340  5    The principal theme of Thomas's poetry was the ambivalence
J66 0350  3    of birth and death- the pain of blood-stained creation.
J66 0360  1    Music, of course, is not so explicit an art, but anybody
J66 0360 12    who knew Charlie Parker knows that he felt much the
J66 0370  9    same way about his own gift. Both of them did communicate
J66 0380  7    one central theme: Against the ruin of the world, there
J66 0390  6    is only one defense- the creative act. This, of course,
J66 0400  3    is the theme of much art- perhaps most poetry. It is
J66 0410  1    the theme of Horace, who certainly otherwise bears
J66 0410  9    little resemblance to Parker or Thomas. The difference
J66 0420  7    is that Horace accepted his theme with a kind of silken
J66 0430  6    assurance. To Dylan and Bird it was an agony and terror.
J66 0440  3    I do not believe that this is due to anything especially
J66 0450  1    frightful about their relationship to their own creativity.
J66 0450  9    I believe rather that it is due to the catastrophic
J66 0460  9    world in which that creativity seemed to be the sole
J66 0470  6    value. Horace's column of imperishable verse shines
J66 0480  3    quietly enough in the lucid air of Augustan Rome. Art
J66 0490  1    may have been for him the most enduring, orderly, and
J66 0490 11    noble activity of man. But the other activities of
J66 0500  8    his life partook of these values. They did not actively
J66 0510  5    negate them. Dylan Thomas's verse had to find endurance
J66 0520  3    in a world of burning cities and burning Jews. He was
J66 0530  1    able to find meaning in his art as long as it was the
J66 0530 14    answer to air raids and gas ovens. As the world began
J66 0540  9    to take on the guise of an immense air raid or gas
J66 0550  5    oven, I believe his art became meaningless to him.
J66 0560  1    I think all this could apply to Parker just as well,
J66 0560 12    although, because of the nature of music, it is not
J66 0570  9    demonstrable- at least not conclusively.
J66 0580  2       Thomas and Parker have more in common than theme,
J66 0590  1    attitude, life pattern. In the practice of their art,
J66 0590 10    there is an obvious technical resemblance. Contrary
J66 0600  5    to popular belief, they were not great technical innovators.
J66 0610  5    Their effects are only superficially startling. Thomas
J66 0620  3    is a regression from the technical originality and
J66 0630  1    ingenuity of writers like Pierre Reverdy or Apollinaire.
J66 0630  9    Similarly, the innovations of bop, and of Parker particularly,
J66 0640  9    have been vastly overrated by people unfamiliar with
J66 0650  6    music, especially by that ignoramus, the intellectual
J66 0660  3    jitterbug, the jazz aficionado. The tonal novelties
J66 0670  1    consist in the introduction of a few chords used in
J66 0670 11    classical music for centuries. And there is less rhythmic
J66 0680  8    difference between progressive jazz, no matter how
J66 0690  5    progressive, and Dixieland, than there is between two
J66 0700  3    movements of many conventional symphonies.
J66 0700  8       What Parker and his contemporaries- Gillespie, Davis,
J66 0710  6    Monk, Roach (Tristano is an anomaly), etc&- did was
J66 0720  7    to absorb the musical ornamentation of the older jazz
J66 0730  5    into the basic structure, of which it then became an
J66 0740  2    integral part, and with which it then developed. This
J66 0740 11    is true of the melodic line which could be put together
J66 0750 10    from selected passages of almost anybody- Benny Carter,
J66 0760  6    Johnny Hodges. It is true of the rhythmic pattern in
J66 0770  5    which the beat shifts continuously, or at least is
J66 0780  2    continuously sprung, so that it becomes ambiguous enough
J66 0780 10    to allow the pattern to be dominated by the long pulsations
J66 0790 10    of the phrase or strophe. This is exactly what happened
J66 0800  7    in the transition from baroque to rococo music. It
J66 0810  5    is the difference between Bach and Mozart.
J66 0820  1       It is not a farfetched analogy to say that this
J66 0820 11    is what Thomas did to poetry. The special syntactical
J66 0830  7    effects of a Rimbaud or an Edith Sitwell- actually
J66 0840  2    ornaments- become the main concern. The metaphysical
J66 0850  1    conceits, which fascinate the Reactionary Generation
J66 0850  7    still dominant in backwater American colleges, were
J66 0860  7    embroideries. Thomas's ellipses and ambiguities are
J66 0870  5    ends in themselves. The immediate theme, if it exists,
J66 0880  5    is incidental, and his main theme- the terror of birth-
J66 0890  1    is simply reiterated.
J66 0890  4       This is one difference between Bird and Dylan which
J66 0900  5    should be pointed out. Again, contrary to popular belief,
J66 0910  2    there is nothing crazy or frantic about Parker either
J66 0910 11    musically or emotionally. His sinuous melody is a sort
J66 0920  9    of nai^ve transcendence of all experience. Emotionally
J66 0930  5    it does not resemble Berlioz or Wagner; it resembles
J66 0940  5    Mozart. This is true also of a painter like Jackson
J66 0950  3    Pollock. He may have been eccentric in his behavior,
J66 0960  1    but his paintings are as impassive as Persian tiles.
J66 0960 10    Partly this difference is due to the nature of verbal
J66 0970  8    communication. The insistent talk-aboutiveness of the
J66 0980  3    general environment obtrudes into even the most idyllic
J66 0990  2    poetry. It is much more a personal difference. Thomas
J66 0990 11    certainly wanted to tell people about the ruin and
J66 1000  9    disorder of the world. Parker and Pollock wanted to
J66 1010  6    substitute a work of art for the world.
J66 1020  1       Technique pure and simple, rendition, is not of
J66 1020  9    major importance, but it is interesting that Parker,
J66 1030  7    following Lester Young, was one of the leaders of the
J66 1040  7    so-called saxophone revolution. In modern jazz, the
J66 1050  3    saxophone is treated as a woodwind and played with
J66 1050 12    conventional embouchure. Metrically, Thomas's verse
J66 1060  5    was extremely conventional, as was, incidentally, the
J66 1070  5    verse of that other tragic enrage, Hart Crane.
J66 1080  2       I want to make clear what I consider the one technical
J66 1090  1    development in the first wave of significant post-war
J66 1090 10    arts. Ornament is confabulation in the interstices
J66 1100  6    of structure. A poem by Dylan Thomas, a saxophone solo
J66 1110  5    by Charles Parker, a painting by Jackson Pollock- these
J66 1120  2    are pure confabulations as ends in themselves. Confabulation
J66 1130  1    has come to determine structure. Uninhibited lyricism
J66 1130  8    should be distinguished from its exact opposite- the
J66 1140  8    sterile, extraneous invention of the corn-belt metaphysicals,
J66 1150  7    or present blight of poetic professors.
J66 1160  2       Just as Hart Crane had little influence on anyone
J66 1170  1    except very reactionary writers- like Allen Tate, for
J66 1170  9    instance, to whom Valery was the last word in modern
J66 1180 10    poetry and the felicities of an Apollinaire, let alone
J66 1190  6    a Paul Eluard were nonsense- so Dylan Thomas's influence
J66 1200  3    has been slight indeed. In fact, his only disciple-
J66 1210  1    the only person to imitate his style- was W& S& Graham,
J66 1220  1    who seems to have imitated him without much understanding,
J66 1220 10    and who has since moved on to other methods. Thomas's
J66 1230 10    principal influence lay in the communication of an
J66 1240  7    attitude- that of the now extinct British romantic
J66 1250  3    school of the New Apocalypse- Henry Treece, J& F& Hendry,
J66 1260  3    and others- all of whom were quite conventional poets.
J66 1270  2       Parker certainly had much more of an influence.
J66 1270 10    At one time it was the ambition of every saxophone
J66 1280  9    player in every high school band in America to blow
J66 1290  6    like Bird. Even before his death this influence had
J66 1300  2    begun to ebb. In fact, the whole generation of the
J66 1300 12    founding fathers of bop- Gillespie, Monk, Davis, Blakey,
J66 1310  8    and the rest- are just now at a considerable discount.
J66 1320  8    The main line of development today goes back to Lester
J66 1330  6    Young and by-passes them.
J66 1330 11       The point is that many of the most impressive developments
J66 1340  9    in the arts nowadays are aberrant, idiosyncratic. There
J66 1350  5    is no longer any sense of continuing development of
J66 1360  3    the sort that can be traced from Baudelaire to Eluard,
J66 1370  2    or for that matter, from Hawthorne through Henry James
J66 1370 11    to Gertrude Stein. The cubist generation before World
J66 1380  8    War /1,, and, on a lower level, the surrealists of
J66 1390  8    the period between the wars, both assumed an accepted
J66 1400  4    universe of discourse, in which, to quote Andre Breton,
J66 1410  2    it was possible to make definite advances, exactly
J66 1410 10    as in the sciences. I doubt if anyone holds such ideas
J66 1420  9    today. Continuity exits, but like the neo-swing music
J66 1430  7    developed from Lester Young, it is a continuity sustained
J66 1440  4    by popular demand.
J66 1440  7       In the plastic arts, a very similar situation exists.
J66 1450  6    Surrealists like Hans Arp and Max Ernst might talk
J66 1460  4    of creation by hazard- of composing pictures by walking
J66 1470  2    on them with painted soles, or by tossing bits of paper
J66 1470 13    up in the air. But it is obvious that they were self-deluded.
J66 1480 12    Nothing looks anything like an Ernst or an Arp but
J66 1490  9    another Ernst or Arp. Nothing looks less like their
J66 1500  5    work than the happenings of random occasion. Many of
J66 1510  3    the post-World War /2, abstract expressionists, apostles
J66 1520  1    of the discipline of spontaneity and hazard, look alike,
J66 1520 10    and do look like accidents. The aesthetic appeal of
J66 1530  7    pure paint laid on at random may exist, but it is a
J66 1540  7    very impoverished appeal. Once again what has happened
J66 1550  2    is an all-consuming confabulation of the incidentals,
J66 1550 10    the accidents of painting. It is curious that at its
J66 1560  9    best, the work of this school of painting- Mark Rothko,
J66 1570  6    Jackson Pollock, Clyfford Still, Robert Motherwell,
J66 1580  3    Willem de-Kooning, and the rest- resembles nothing
J66 1590  2    so much as the passage painting of quite unimpressive
J66 1590 11    painters: the mother-of-pearl shimmer in the background
J66 1600  9    of a Henry McFee, itself a formula derived from Renoir;
J66 1610  7    the splashes of light and black which fake drapery
J66 1620  5    in the fashionable imitators of Hals and Sargent. Often
J66 1630  2    work of this sort is presented as calligraphy- the
J66 1630 11    pure utterance of the brush stroke seeking only absolute
J66 1640  9    painteresque values. You have only to compare such
J66 1650  7    painting with the work of, say, Sesshu, to realize
J66 1660  4    that someone is using words and brushes carelessly.
J66 1670  1       At its best the abstract expressionists achieve
J66 1670  8    a simple rococo decorative surface. Its poverty shows
J66 1680  6    up immediately when compared with Tiepolo, where the
J66 1690  5    rococo rises to painting of extraordinary profundity
J66 1700  1    and power. A Tiepolo painting, however confabulated,
J66 1700  8    is a universe of tensions in vast depths. A Pollock
J66 1710  9    is an object of art- bijouterie- disguised only by
J66 1720  7    its great size. In fact, once the size is big enough
J66 1730  4    to cover a whole wall, it turns into nothing more than
J66 1740  1    extremely expensive wallpaper. Now there is nothing
J66 1740  8    wrong with complicated wallpaper. There is just more
J66 1750  6    to Tiepolo. The great Ashikaga brush painters painted
J66 1760  4    wallpapers, too- at least portable ones, screens.
J66 1770  2       A process of elimination which leaves the artist
J66 1770 10    with nothing but the play of his materials themselves
J66 1780  9    cannot sustain interest in either artist or public
J66 1790  6    for very long. So, in the last couple of years, abstract
J66 1800  4    expressionism has tended toward romantic suggestion-
J66 1810  3    indications of landscape or living figures.
J67 0010  1       ANGLO-SAXON and Greek epic each provide on two occasions
J67 0020  1    a seemingly authentic account of the narration of verse
J67 0020 10    in the heroic age. Hrothgar's court bard sings of the
J67 0030  8    encounters at Finnsburg (lines 1068-1159), and improvises
J67 0040  5    the tale of Beowulf's exploits in a complimentary comparison
J67 0050  4    of the Geatish visitor with Sigemund (lines 871-892);
J67 0060  3    Alcinou^s' court bard sings of the discovered adultery
J67 0070  1    of Ares and Aphrodite (Odyssey /8,.266-366), and takes
J67 0070 10    up a tale of Odysseus while the Ithacan wanderer listens
J67 0080 10    on (Odyssey /8,.499-520). Nothing in all this is
J67 0090  8    autobiographical:
J67 0090  9    unlike the poets of Deor and Widsith, the poet of Beowulf
J67 0100 11    is not concerned with his own identity; the poet of
J67 0110 10    the Odyssey, reputed blind, reveals himself not at
J67 0120  7    all in singing of the blind minstrel Demodocus. Since
J67 0130  3    none of these glimpses of poetizing without writing
J67 0140  1    is intended to incorporate a signature into the epic
J67 0140 10    matter, there is prima-facie evidence that Beowulf
J67 0150  7    and the Homeric poems each derive from an oral tradition.
J67 0160  6    That such a tradition lies behind the Iliad and the
J67 0170  5    Odyssey, at least, is hard to deny. Milman Parry rigorously
J67 0180  3    defended the observation that the extant Homeric poems
J67 0190  2    are largely formulaic, and was led to postulate that
J67 0190 11    they could be shown entirely formulaic if the complete
J67 0200  8    corpus of Greek epic survived; he further reasoned
J67 0210  4    that frequent formulas in epic verse indicate oral
J67 0220  2    composition, and assumed the slightly less likely corollary
J67 0230  1    that oral epic is inclined towards the use of formulas.
J67 0230 11    Proceeding from Parry's conclusions and adopting one
J67 0240  6    of his schemata, Francis P& Magoun, Jr&, argues that
J67 0250  5    Beowulf likewise was created from a legacy of oral
J67 0260  5    formulas inherited and extended by bards of successive
J67 0270  1    generations, and the thesis is striking and compelling.
J67 0270  9    Yet a fresh inspection will indicate one crucial amendment:
J67 0280  7    Beowulf and the Homeric poems are not at all formulaic
J67 0290  9    to the same extent.
J67 0300  1       The bondage endurable by an oral poet is to be estimated
J67 0300 12    only by a very skilful oral poet, but it appears safe
J67 0310  9    to assume that no sustained narrative in rhyme could
J67 0320  5    be composed without extreme difficulty, even in a language
J67 0330  4    of many terminal inflections. Assonance seems nearly
J67 0340  1    as severe a curb, although in a celebrated passage
J67 0340 10    William of Malmesbury declares that a Song of Roland
J67 0350  7    was intoned before the battle commenced at Hastings.
J67 0360  4    The Anglo-Saxon alliterative line and the Homeric hexameter
J67 0370  3    probably imposed less of a restraint; the verse of
J67 0380  2    Beowulf or of the Iliad and the Odyssey was not easy
J67 0390  1    to create but was not impossible for poets who had
J67 0390 11    developed their talents perforce in earning a livelihood.
J67 0400  6    Yet certain aids were valuable and quite credibly necessary
J67 0410  5    for reciting long stretches of verse without a pause.
J67 0420  3    The poet in a written tradition who generally never
J67 0420 12    blots a line may once in a while pause and polish without
J67 0430 12    incurring blame. But the oral poet cannot pause; he
J67 0440  8    must improvise continuously with no apparent effort.
J67 0450  5    Even though the bondage of his verse is not so great
J67 0460  3    as the writing poet can manage, it is still great enough
J67 0460 14    for him often to be seriously impeded unless he has
J67 0470 10    aids to facilitate rapid composition. The Germanic
J67 0480  4    poet had such aids in the kennings, which provided
J67 0490  2    for the difficulties of alliteration; the Homeric poet
J67 0500  1    had epithets, which provided for recurring needs in
J67 0500  9    the hexameter. Either poet could quickly and easily
J67 0510  6    select words or phrases to supply his immediate requirements
J67 0520  4    as he chanted out his lines, because the kennings and
J67 0530  2    the epithets made possible the construction of systems
J67 0530 10    of numerous synonyms for the chief common and proper
J67 0540  8    nouns. Other synonyms could of course serve the same
J67 0550  7    function, and for the sake of ease I shall speak of
J67 0560  4    kennings and epithets in the widest and loosest poss1ble
J67 0570  1    sense, and name, for example, Gar-Dene a kenning for
J67 0570 11    the Danes. Verbal and adverbial elements too participated
J67 0580  7    in each epic diction, but it is for the present sufficient
J67 0590  8    to mark the large nominal and adjectival supply of
J67 0600  4    semantic near-equivalents, and to designate the members
J67 0610  2    of any system of equivalents as basic formulas of the
J67 0610 12    poetic language. Limited to a few thousand lines of
J67 0620  9    heroic verse in Anglo-Saxon as in the other Germanic
J67 0630  6    dialects, we cannot say how frequently the kennings
J67 0640  3    in Beowulf recurred in contemporary epic on the same
J67 0650  1    soil. But we can say that since a writing poet, with
J67 0650 12    leisure before him, would seem unlikely to invent a
J67 0660  8    technique based upon frequent and substantial circumlocution,
J67 0670  3    the kennings like the epithets must reasonably be ascribed
J67 0680  3    to an oral tradition.
J67 0680  7       One of the greatest Homerists of our time, Frederick
J67 0690  6    M& Combellack, argues that when it is assumed the Iliad
J67 0700  6    and the Odyssey are oral poems, the postulated single
J67 0710  3    redactor called Homer cannot be either credited with
J67 0720  1    or denied originality in choice of phrasing. Any example
J67 0720 10    of grand or exquisite diction may have been created
J67 0730  8    by the poet who compiled numerous lays into the two
J67 0740  5    works we possess or may be due to one of his completely
J67 0760  1    unknown fellow-craftsmen. The quest of the historical
J67 0760  9    Homer is likely never to have further success; no individual
J67 0770 10    word in the Iliad or the Odyssey can be credited to
J67 0780  9    any one man; no strikingly effective element of speech
J67 0790  5    in the extant poems can with assurance be said not
J67 0800  4    to have been a commonplace in the vaster epic corpus
J67 0810  1    that may have existed at the beginning of the first
J67 0810 11    millennium before Christ. This observation is of interest
J67 0820  7    not only to students of Homeric poetry but to students
J67 0830  5    of Anglo-Saxon poetry as well. To the extent that a
J67 0840  4    tale is twice told, its final author must be suspect,
J67 0840 14    although plagiarism in an oral tradition is less a
J67 0850  9    misdemeanor than the standard modus dicendi.
J67 0860  4       Combellack argues further, and here he makes his
J67 0870  4    main point, that once the Iliad and the Odyssey are
J67 0880  2    thought formulaic poems composed for an audience accustomed
J67 0880 10    to formulaic poetry, Homeric critics are deprived of
J67 0890  8    an entire domain they previously found arable. With
J67 0900  5    a few important and a few more unimportant exceptions,
J67 0910  2    no expression can be deemed le mot juste for its context,
J67 0920  2    because each was very probably the only expression
J67 0920 10    that long-established practice and ease of rapid recitation
J67 0930  7    would allow. Words or phrases that connoisseurs have
J67 0940  6    admired as handsome or ironic or humorous must therefore
J67 0950  4    lose merit and become regarded as mere inevitable time-servers,
J67 0960  3    sometimes accurate and sometimes not. This observation
J67 0970  1    too may have reference to Anglo-Saxon poetry. To the
J67 0970 11    extent that a language is formulaic, its individual
J67 0980  7    components must be regarded as no more distinguished
J67 0990  5    than other cliches.
J67 0990  8       W& F& Bryan suggests that certain kennings in Beowulf
J67 1000  7    were selected sometimes for appropriateness and sometimes
J67 1010  5    for ironic inappropriateness, but such a view would
J67 1020  5    appear untenable unless it is denied that the language
J67 1030  1    of Beowulf is formulaic. If the master of scops who
J67 1030 11    was most responsible for the poem ever used kennings
J67 1040  8    that were traditional, he was at least partly deprived
J67 1050  6    of free will and not inclined towards shrewd and sophisticated
J67 1060  3    misuse of speech elements. Once many significant phrases
J67 1070  2    are found in theory or in recurrent practice to provide
J67 1070 12    for prosodic necessity, they are not to be defended
J67 1080  9    for their semantic properties in isolated contexts.
J67 1090  4    It is false to be certain of having discovered in the
J67 1100  3    language of Beowulf such effects as intentional irony.
J67 1110  1       Yet, if the argument is turned awry, there may be
J67 1110 11    found a great deal in Bryan's view, after all. A formulaic
J67 1120 10    element need not be held meaningless merely because
J67 1130  6    it was selected with little conscious reflection. Time-servers
J67 1140  4    though the periphrastic expressions are, they may nevertheless
J67 1150  4    be handsome or ironic or humorous. A long evolution
J67 1160  1    in an oral tradition caused the poetic language of
J67 1160 10    the heroic age to be based upon formulas that show
J67 1170  9    the important qualities of things, and these formulas
J67 1180  4    are therefore potentially rather than always actually
J67 1190  1    accurate. True, we do not know how they were regarded
J67 1190 11    in their day, but we need not believe the epic audience
J67 1200 10    to have been more insensitive to the formulas than
J67 1210  5    the numerous scholars of modern times who have read
J67 1220  3    Germanic or Homeric poetry all their lives and still
J67 1220 12    found much to admire in occasional occurrences of the
J67 1230  9    most familiar phrases. Nouns and adjectives in a written
J67 1240  7    tradition are chosen for the nonce; in an oral tradition
J67 1250  5    they may be chosen for the entire epic corpus, and
J67 1260  2    tend towards idealization rather than distinctive delineation.
J67 1270  1    Reliance is therefore not to be placed upon the archaeological
J67 1270 11    particulars in an oral poem; no-one today would hope
J67 1280 10    to discover the unmistakable ruins of Heorot or the
J67 1290  6    palace of Priam. A ship at dry-dock could be called
J67 1300  4    a foamy-necked floater in Anglo-Saxon or a swift ship
J67 1310  2    in Greek. Even when defenseless of weapons the Danes
J67 1310 11    would be Gar-Dene (as their king is Hrothgar) and Priam
J67 1320 10    would be |e|u|m|m|e|l|i|h|s. Achilles, like Siegfried
J67 1330  4    in the Nibelungenlied, is potentially the swiftest
J67 1340  5    of men and may accordingly be called swift-footed even
J67 1350  6    when he stands idle. In Coriolanus the agnomen of Marcius
J67 1360  5    is used deliberately and pointedly, but the Homeric
J67 1370  2    epithets and the Anglo-Saxon kennings are used casually
J67 1370 11    and recall to the hearer "a familiar story or situation
J67 1380 10    or a useful or pleasant quality of the referent". The
J67 1390  7    epic language was not entirely the servant of the poet;
J67 1400  6    it was partly his master. The poet's intentions are
J67 1410  3    difficult to discern and, except to biographers, unimportant;
J67 1420  1    the language, however, is a proper object of scrutiny,
J67 1420 10    and the effects of the language are palpable even if
J67 1430  9    sometimes inevitable.
J67 1440  1       Beowulf and the Homeric poems appear oral compositions.
J67 1440  9    Yet they are written; at some stage in their evolution
J67 1450 10    they were transcribed. Albert B& Lord suggests that
J67 1460  6    the Homeric poems were dictated to a scribe by a minstrel
J67 1470  7    who held in his mind the poems fully matured but did
J67 1480  3    not himself possess the knowledge of writing since
J67 1480 11    it would be useless to his guild, and Magoun argues
J67 1500  9    that the Beowulf poet and Cynewulf may have dictated
J67 1510  7    their verse in the same fashion. This explanation is
J67 1520  4    attractive, but is vitiated at least in part by the
J67 1530  2    observation that Cynewulf, though he used kennings
J67 1530  9    in the traditional manner, was a literate man who four
J67 1540  8    times inscribed his name by runes into his works. If
J67 1550  5    Cynewulf was literate, the Beowulf poet may have been
J67 1560  4    also, and so may the final redactor of the Iliad and
J67 1570  1    the Odyssey. In lieu of the amanuensis to the blind
J67 1570 11    or illiterate bard, one may conceive of a man who heard
J67 1580 10    a vast store of oral poetry recited, and became intimately
J67 1590  5    familiar with the established aids to poetizing, and
J67 1600  4    himself wrote his own compositions or his edition of
J67 1610  1    the compositions of the past. Other theories of origin
J67 1610 10    are compatible with the formulaic theory: Beowulf may
J67 1620  7    contain a design for terror, and the Iliad may have
J67 1630  7    a vast hysteron-proteron pattern answering to a ceramic
J67 1640  4    pattern produced during the Geometric Period in pottery.
J67 1650  2    The account of the growth and final transcription of
J67 1650 11    these epics rests partly, however, upon the degree
J67 1660  8    to which they were formulaic.
J67 1670  1       Carl Eduard Schmidt counted 1804 different lines
J67 1670  8    repeated exactly in the two Homeric poems, and by increasing
J67 1680 10    this figure so as to include lines repeated with very
J67 1690  8    slight modifications he counted 2118 different lines
J67 1700  4    used a total of 5612 times. Thus one line in five from
J67 1710  3    the Iliad and the Odyssey is to be found somewhere
J67 1720  1    else in the two poems. The ratio is thoroughly remarkable,
J67 1720 11    because the lines are so long- half again as long as
J67 1730 10    those of Beowulf. Anglo-Saxon poetry appears to have
J67 1740  5    no comparable amount of repetition; there is no reason
J67 1750  5    to think that the scop used and re-used whole lines
J67 1760  1    and even lengthy passages after the manner of his Homeric
J67 1760 11    colleague. In determining the extent to which any poem
J67 1770  9    is formulaic it is idle, however, to inspect nothing
J67 1780  5    besides lines repeated in their entirety, for a stock
J67 1790  4    of line-fragments would be sufficient to permit the
J67 1790 13    poet to extemporize with deftness if they provided
J67 1800  8    for prosodic needs. The closest scrutiny is owed to
J67 1810  7    the Anglo-Saxon kennings and the Homeric epithets;
J67 1820  2    if any words or phrases are formulaic, they will be.
J67 1830  1       The Iliad has two words for the shield, |a|s|p|i|s
J67 1840  1    and |s|a|k|o|s.
J68 0010  1    RECENT CRITICISM OF Great Expectations has tended to
J68 0010  9    emphasize its symbolic and mythic content, to show,
J68 0020  8    as M& D& Zabel has said of Dickens generally, that
J68 0030  6    much of the novel's impact resides in its "allegoric
J68 0040  4    insight and moral metaphor". J& H& Miller's excellent
J68 0050  2    chapter on Great Expectations has lately illustrated
J68 0060  1    how fruitfully that novel can be read from such a perspective.
J68 0070  1    In his analysis, however, he touches upon but fails
J68 0070 10    to explore an idea, generally neglected in discussions
J68 0080  5    of the book, which I believe is central to its art-
J68 0090  5    the importance of human hands as a recurring feature
J68 0100  1    of the narrative. This essay seeks to make that exploration.
J68 0100 11       Dickens was not for nothing the most theatrical
J68 0110  9    of the great Victorian writers. He knew instinctively
J68 0120  5    that next to voice and face an actor's hands are his
J68 0130  5    most useful possession- that in fiction as in the theatre,
J68 0140  4    gesture is an indispensable shorthand for individualizing
J68 0150  1    character and dramatizing action and response. It is
J68 0150  9    hardly accidental, therefore, that many of his most
J68 0160  7    vivid figures do suggestive or eccentric things with
J68 0170  4    their hands. In Great Expectations the hands become
J68 0180  2    almost an obsession. Mr& Jaggers habitually bites his
J68 0185  1    forefinger, a gesture which conveys both contempt and
J68 0190  8    the inscrutable abstractedness that half fascinates,
J68 0200  4    half terrifies all who have dealings with him. Miss
J68 0210  2    Havisham's withered hands, heavy as if her unhappiness
J68 0210 10    were somehow concentrated in them, move in restless
J68 0220  8    self-pity between her broken heart and her walking
J68 0230  6    stick. Pumblechook's "signature" is the perpetually
J68 0240  4    extended glad hand. Wemmick reveals his self-satisfaction
J68 0250  1    by regularly rubbing his hands together. Old Mr& Pocket's
J68 0260  1    frantic response to life imprisonment with a useless,
J68 0260  9    social-climbing wife is to "put his two hands into
J68 0270  9    his disturbed hair" and "make an extraordinary effort
J68 0280  4    to lift himself up by it", (23) whereas Joe Gargery
J68 0290  3    endures the shrewish onslaughts of Mrs& Joe by apologetically
J68 0300  1    drawing "the back of his hand across and across his
J68 0300 11    nose". (7)
J68 0310  2       Such mannerisms would be less worthy of remark,
J68 0310 10    were it not that in Great Expectations, as in no other
J68 0320 10    of Dickens' novels, hands serve as a leitmotif of plot
J68 0330  8    and theme- a kind of unifying symbol or natural metaphor
J68 0340  5    for the book's complex of human interrelationships
J68 0350  1    and the values and attitudes that motivate them. Dickens
J68 0360  1    not only reveals character through gesture, he makes
J68 0360  9    hands a crucial element of the plot, a means of clarifying
J68 0370  9    the structure of the novel by helping to define the
J68 0380  6    hero's relations with all the major characters, and
J68 0390  2    a device for ordering such diverse themes as guilt,
J68 0390 11    pursuit, crime, greed, education, materialism, enslavement
J68 0400  6    (by both people and institutions), friendship, romantic
J68 0410  5    love, forgiveness, and redemption. We have only to
J68 0420  5    think of Lady Macbeth or the policeman-murderer in
J68 0430  2    Thomas Burke's famous story, "The Hands of Mr& Ottermole",
J68 0440  1    to realize that hands often call up ideas of crime
J68 0440 11    and punishment. So it is with Great Expectations, whether
J68 0450  8    the hands be Orlick's as he strikes down Mrs& Gargery
J68 0470  7    or Pip's as he steals a pie from her pantry. Such associations
J68 0480  7    suit well with the gothic or mystery-story aspects
J68 0490  4    of Dickens' novel, but, on a deeper plane, they relate
J68 0500  2    to the themes of sin, guilt, and pursuit that have
J68 0500 12    recently been analyzed by other critics.
J68 0510  6       The novel opens with a fugitive convict frantically
J68 0520  3    trying to avoid the nemesis of being "laid hands on"-
J68 0530  1    (3) a mysterious figure who looks into Pip's frightened
J68 0540  1    eyes in the churchyard "as if he were eluding the hands
J68 0540 12    of the dead people, stretching up cautiously out of
J68 0550  7    their graves, to get a twist upon his ankle and pull
J68 0560  6    him in". (1) Magwitch terrifies Pip into stealing a
J68 0570  3    pork pie for him by creating the image in the boy's
J68 0570 14    imagination of a bogy man who may "softly creep **h
J68 0580 10    his way to him and tear him open", (1) "imbruing his
J68 0590  6    hands" (2) in him. As Pip agonizes over the theft that
J68 0600  5    his own hands have committed, his guilty conscience
J68 0610  1    projects itself upon the wooden finger of a local signpost,
J68 0610 11    transforming it into "a phantom devoting me to the
J68 0620  9    Hulks". (3) Held upside down in the graveyard, Pip
J68 0630  7    clings in terror "with both hands" (1) to his convict;
J68 0640  5    later he flees in panic from the family table just
J68 0650  2    as his theft is about to be discovered and is blocked
J68 0650 13    at the front door by a soldier who accusingly holds
J68 0660  9    out a pair of handcuffs which he has brought to Gargery's
J68 0670  6    forge for mending. Through such details Dickens indicates
J68 0680  3    at the outset that guilt is a part of the ironic bond
J68 0690  2    between Pip and Magwitch which is so unpredictably
J68 0690 10    to alter both their lives.
J68 0700  4       Since they commonly translate thoughts and feelings
J68 0710  2    into deeds, hands naturally represent action, and since
J68 0710 10    nearly half the characters in Great Expectations are
J68 0720  8    of the underworld or closely allied to it, the linking
J68 0730  8    of hands with crime or violence is not to be wondered
J68 0740  6    at. Dickens, for excellent psychological reasons, never
J68 0750  2    fully reveals Magwitch's felonious past, but Pip, at
J68 0750 10    the convict's climactic reappearance in London, shrinks
J68 0760  7    from clasping a hand which he fears "might be stained
J68 0770  9    with blood". (39) Orlick slouches about the forge "like
J68 0780  6    Cain" with "his hands in his pockets", (15) and when
J68 0790  4    he shouts abuse at Mrs& Joe for objecting to his holiday,
J68 0800  4    she claps her hands in a tantrum, beats them "upon
J68 0800 14    her bosom and upon her knees", (15) and clenches them
J68 0810 10    in her husband's hair. This last "rampage" is only
J68 0820  7    the prelude to the vicious blow upon her head, "dealt
J68 0830  6    by some unknown hand" (15) whose identity is later
J68 0840  3    revealed not verbally but through a manual action-
J68 0840 11    the tracing of Orlick's hammer upon a slate. Pip himself
J68 0850  9    is to feel the terror of Orlick's "murderous hand"
J68 0860  6    (53) in his secret rendezvous at the sluicehouse on
J68 0870  5    the marshes. Dickens lays great emphasis on the hands
J68 0880  3    in this scene. Orlick shakes his hand at Pip, bangs
J68 0880 13    the table with his fist, draws his unclenched hand
J68 0890  8    "across his mouth as if his mouth watered" for his
J68 0900  6    victim, lets his hands hang "loose and heavy at his
J68 0910  4    sides", and Pip observes him so intensely that he knows
J68 0920  1    "of the slightest action of his fingers". (53) Orlick
J68 0920 10    might almost be Magwitch's bogy man come alive, a figure
J68 0930  9    of nemesis from Pip's phantasy of guilt.
J68 0940  4       The scarred, disfigured wrists of Mr& Jaggers' housekeeper
J68 0950  3    are the tell-tale marks of her sinister past, for her
J68 0960  4    master, coolly exhibiting them to his dinner guests,
J68 0960 12    makes a point of the "force of grip there is in these
J68 0970 12    hands". (26) Jaggers' iron control over her ("**h she
J68 0980  7    would remove her hands from any dish she put before
J68 0990  6    him, hesitatingly, as if she dreaded his calling her
J68 1000  2    back **h".) (26) rests on his having once got her acquitted
J68 1010  1    of a murder charge by cleverly contriving her sleeves
J68 1010 10    at the trial to conceal her strength and by passing
J68 1020  7    off the lacerations on the backs of her hands as the
J68 1030  6    scratches of brambles rather than of human fingernails.
J68 1040  1    It is the similarity between Estella's hands and Molly's
J68 1050  1    ("The action of her fingers was like the action of
J68 1050 11    knitting") (48) that provides Pip with a vital clue
J68 1060  8    to the real identity of both and establishes a symbolic
J68 1070  4    connection between the underworld of crime and the
J68 1080  2    genteel cruelty of Satis House. Finally, Magwitch's
J68 1080  9    pursuit of Compeyson, his archenemy and betrayer, begins
J68 1090  8    by his holding him in a vicelike grip on the river
J68 1100  8    flats to frustrate his escape and culminates in his
J68 1110  3    "laying his hand on his cloak to identify him", (54)
J68 1120  1    thus precipitating the death-locked struggle in the
J68 1120  9    water during which Compeyson drowns. Magwitch's hand
J68 1130  5    here ironically becomes the agent of justice.
J68 1140  3       But only in one of its aspects is Great Expectations
J68 1150  1    a tale of violence, revenge, and retribution. Money,
J68 1150  9    so important a theme elsewhere in Dickens, is here
J68 1160  9    central, and hands are often associated in some way
J68 1170  6    with the false values- acquisitiveness, snobbery, self-interest,
J68 1180  4    hypocrisy, toadyism, irresponsibility, injustice- that
J68 1190  4    attach to a society based upon the pursuit of wealth.
J68 1195  1    Dickens suggests the economic evils of such a society
J68 1200  8    on the first page of his novel in the description of
J68 1210  8    Pip's five little dead brothers "who gave up trying
J68 1220  5    to get a living exceedingly early in that universal
J68 1230  1    struggle", who seemed to have "all been born on their
J68 1230 11    backs with their hands in their trousers-pockets, and
J68 1240  9    had never taken them out in this state of existence".
J68 1250  6    (1) Pip's great expectations, his progress through
J68 1260  3    illusion and disillusionment, turn, somewhat as they
J68 1270  1    do for the naive hero of Dreiser's American Tragedy,
J68 1270 10    upon the lure of genteel prosperity through unearned
J68 1290  7    income- what Wemmick calls "portable property" and
J68 1300  4    what Jaggers reproaches Pip for letting "slip through
J68 1310  3    [his] fingers". (55)
J68 1310  6       Since a gentleman must, if possible, avoid sullying
J68 1320  6    them by work, his hands, as importantly as his accent,
J68 1330  4    become the index of social status. Almost the first
J68 1340  1    step in the corruption of Pip's values is the unworthy
J68 1340 11    shame he feels when Estella cruelly remarks the coarseness
J68 1350  8    of his hands: "They had never troubled me before, but
J68 1360  7    they troubled me now, as vulgar appendages". (8) Pip
J68 1370  4    imagines how Estella would look down upon Joe's hands,
J68 1380  3    roughened by work in the smithy, and the deliberate
J68 1380 12    contrast between her white hands and his blackened
J68 1390  8    ones is made to symbolize the opposition of values
J68 1400  5    between which Pip struggles- idleness and work, artificiality
J68 1410  4    and naturalness, gentility and commonness, coldness
J68 1420  1    and affection- in fact, between Satis House and the
J68 1420 10    forge. When the snobbery that alienates Pip from Joe
J68 1430  9    finally gives way before the deeper and stronger force
J68 1440  6    of love, the reunion is marked by an embarrassed handshake
J68 1450  3    at which Pip exclaims "No, don't wipe it off- for God's
J68 1460  3    sake, give me your blackened hand"! (35)
J68 1470  1       Pip's abject leave-taking of Miss Havisham, during
J68 1470  9    which he kneels to kiss her hand, signalizes his homage
J68 1480  8    to a supposed patroness who seems to be opening up
J68 1490  6    for him a new world of glamour; when, on the journey
J68 1500  2    to London that immediately follows, he pauses nostalgically
J68 1510  1    to lay his hand upon the finger-post at the end of
J68 1510 13    the village, the wooden pointer symbolically designates
J68 1520  4    a spiritual frontier between innocence and the corruption
J68 1530  4    of worldly vanity. Incidentally, one cannot miss the
J68 1540  3    significance of this gesture, for Dickens reintroduces
J68 1540 10    it associatively in Pip's mind at another moral and
J68 1550  8    psychological crisis- his painful recognition, in a
J68 1560  8    talk with Herbert Pocket, that his hopeless attachment
J68 1570  3    to Estella is as self-destructive as it is romantic.
J68 1580  1    In both cases the finger-post represents Pip's heightened
J68 1580 10    awareness of contrary magnetisms.
J68 1590  4       A variety of hand movements helps dramatize the
J68 1600  3    moral climate of the fallen world Pip encounters beyond
J68 1610  1    the forge. The vulturelike attendance of the Pocket
J68 1610  9    family upon Miss Havisham is summed up in the hypocritical
J68 1620  9    gestures of Miss Camilla Pocket, who puts her hand
J68 1630  6    to her throat in a feigned spasm of grief-stricken
J68 1640  3    choking, then lays it "upon her heaving bosom" with
J68 1650  1    "an unnatural fortitude of manner", (11) and finally
J68 1650  9    kisses it to Miss Havisham in a parody of the lady's
J68 1660  9    own mannerism toward Estella. Pumblechook's hands throughout
J68 1670  4    the novel serve to travesty greed and hypocritical
J68 1680  3    self-aggrandizement. We first see him shaking Mrs&
J68 1690  1    Joe's hand on discovering the sizable amount of the
J68 1690 10    premium paid to her husband for Pip's indenture as
J68 1700  8    an apprentice and later pumping Pip's hands "for the
J68 1710  5    hundredth time at least" ("May I- may I-"?) (19) in
J68 1720  7    effusive congratulation to Pip on his expectations.
J68 1730  3    We take leave of Pumblechook as he gloats over Pip's
J68 1740  1    loss of fortune, extending his hand "with a magnificently
J68 1740 10    forgiving air" and exhibiting "the same fat five fingers",
J68 1750  9    one of which he identifies with "the finger of Providence"
J68 1760  8    and shakes at Pip in a canting imputation of the latter's
J68 1770  8    "ingratitoode" and his own generosity as Pip's "earliest
J68 1780  7    benefactor". (58)
J68 1790  1       Pip first learns "the stupendous power of money"
J68 1790  9    from the sycophantic tailor, Mr& Trabb, whose brutality
J68 1800  7    to his boy helper exactly matches the financial resource
J68 1820  4    of each new customer, and whose fawning hands touch
J68 1830  3    "the outside of each elbow" (19) and "rub" Pip out
J68 1840  3    of the shop. The respectability which money confers
J68 1840 11    implies a different etiquette, and, upon taking up
J68 1850  8    the life of a London gentleman, Pip must learn from
J68 1860  5    Herbert Pocket that "the spoon is not generally used
J68 1870  2    over-hand, but under".
J69 0010  1    The following items may be specified in actual or symbolic
J69 0010 11    form in the operands of those instructions which refer
J69 0020  7    to the particular items: channel, unit, combined channel
J69 0030  5    and unit, combined arm and file, unit record synchronizers,
J69 0040  3    inquiry synchronizers, and alteration switches. The
J69 0050  2    declarative operation ~EQU is used to equate symbolic
J69 0050 10    names to item numbers (see page 85).
J69 0060  7    _CONTINUATION CARDS_
J69 0060  9       Certain Autocoder statements make provision for
J69 0070  5    more parameters than may be contained in the operand
J69 0080  4    (columns 21-75) of a single line on the Autocoder coding
J69 0090  2    sheet. When this is the case, the appropriate section
J69 0090 11    of this manual will indicate that "Continuation Cards"
J69 0100  7    may be used. Thus, when specifically permitted, the
J69 0110  5    operand of a given line on the Autocoder coding sheet
J69 0120  3    may be continued in the operand of from one to four
J69 0130  2    additional lines which immediately follow.
J69 0130  7       The label and operation columns must be blank and
J69 0140  7    the continuation of the operand must begin in column
J69 0150  5    21; i&e&, it must be left-justified in the operand
J69 0160  2    column of the coding sheet. The operand need not extend
J69 0160 12    across the entire operand column of either the header
J69 0170  9    card or continuation cards but may end with the comma
J69 0180  8    following any parameter. Remarks may appear to the
J69 0190  4    right of the last parameter on each card provided they
J69 0200  1    are separated from the operand by at least two blank
J69 0200 11    spaces.
J69 0200 12       Illustration of the use of continuation cards are
J69 0210  8    included throughout the examples illustrating the various
J69 0220  5    statements.
J69 0220  6       If a continuation card follows a statement that
J69 0230  6    does not permit continuation cards, the compiler will
J69 0240  4    generate a ~NOP and issue an error message. Additional
J69 0250  1    restrictions regarding the use of continuation cards
J69 0250  8    with macro-instructions appear on page 106.
J69 0260  5    #RESERVATION OF INDEX WORDS AND ELECTRONIC SWITCHES#
J69 0270  3    The assignment of actual addresses to symbolic index
J69 0280  2    word and electronic switch names occurs in Phase /3,
J69 0280 11    of the Autocoder processor. The initial availability
J69 0290  6    of index words and electronic switches is determined
J69 0300  4    by a table which is included in the Compiler Systems
J69 0310  2    Tape. This table originally indicates that index words
J69 0320  1    1 through 96 and electronic switches 1 through 30 are
J69 0320 11    available for assignment to symbolic references; index
J69 0330  6    words 97 through 99 are not available. The initial
J69 0340  5    setting of this table may be altered, however, as described
J69 0350  3    in the 7070/7074 Data Processing System Bulletin "~IBM
J69 0360  2    7070/7074 Compiler System: Operating Procedure", form
J69 0370  2    ~J28-6105.
J69 0370  4       During the first pass of Phase /3,, references to
J69 0380  2    the actual addresses of index words and electronic
J69 0380 10    switches are collected and the availability table is
J69 0390  8    updated. At the end of this pass, the table indicates
J69 0400  7    which index words and electronic switches are not available
J69 0410  4    for assignment to symbolic references.
J69 0420  1       Both index words and electronic switches may have
J69 0420  9    been made unavailable before the start of assignment
J69 0430  6    in one of the following ways:
J69 0440  1    _1._
J69 0440  1       The initial setting of the availability table indicated
J69 0440  9    that the index word or electronic switch was not available
J69 0450  9    for assignment.
J69 0460  1    _2._
J69 0460  1       The one- two-digit number of the index word or electronic
J69 0460 13    switch was used in the operand of a symbolic machine
J69 0470 10    instruction to specify indexing or as a parameter which
J69 0480  7    is always an index word or electronic switch, e&g&,
J69 0490  3    @
J69 0490  4    _3._
J69 0490  5       The one- or two-digit number of the index word or
J69 0500  5    electronic switch was used in the operand of an ~EQU
J69 0510  1    statement, e&g&, @
J69 0510  4       When the index words or electronic switches are
J69 0520  3    reserved because of actual usage in the statements
J69 0530  1    described above, the position or order of the statements
J69 0530 10    within the program is not important; any such reference
J69 0540  7    will make the index word or electronic switch unavailable
J69 0550  5    at the end of this pass.
J69 0550 11       During the assignment pass of Phase /3,, index words
J69 0560  9    and electronic switches are reserved as they are encountered
J69 0570  7    during assignment. Index words and electronic switches
J69 0580  5    may be reserved in the following ways. The first two
J69 0590  4    methods apply to both index words and electronic switches;
J69 0600  1    the third applies only to index words.
J69 0600  8    _1._
J69 0600  9       During the assignment pass, each instruction is
J69 0610  5    examined for reference to the symbolic name of an index
J69 0620  5    word or electronic switch. When such a reference is
J69 0630  2    found, an actual address is assigned and the availability
J69 0630 11    table is changed so that the assigned index word or
J69 0640  9    switch is no longer available for later assignment.
J69 0650  4    _2._
J69 0650  5       If the one- or two-digit address of an index word
J69 0660  4    or electronic switch is used or is included in the
J69 0660 14    operand of an ~XRESERVE or ~SRESERVE statement (see
J69 0670  8    page 99), the corresponding index word or electronic
J69 0680  8    switch is reserved.
J69 0690  1    _3._
J69 0690  2       If a statement has been assigned an address in the
J69 0690 12    index word area
J69 0700  2    _A._
J69 0700  3       by means of an actual label or
J69 0700 10    _B._
J69 0700 11       by means of an ORIGIN statement which refers to
J69 0710  6    an actual address the corresponding index word will
J69 0720  5    be reserved. These entries should normally appear at
J69 0730  3    the beginning of the program or immediately following
J69 0730 11    each ~LITORIGIN statement. Otherwise, symbolic names
J69 0740  6    may have previously been assigned to these same index
J69 0750  8    words. (This method does not apply to electronic switches.)
J69 0760  6       The preceding methods allow efficient use of index
J69 0770  5    words and electronic switches during a sectionalized
J69 0780  1    or multi-phase program, particularly when used in conjunction
J69 0790  1    with the ~LITORIGIN statement. Extreme caution should
J69 0800  1    be used, however, to avoid the conflicting usage of
J69 0800 10    an index word or electronic switch which may result
J69 0810  5    from the assignment of more than one name or function
J69 0820  4    to the same address.
J69 0820  8       If the symbolic name or actual address of an index
J69 0830  6    word or electronic switch appears or is included in
J69 0840  2    the operand of an ~XRELEASE or ~SRELEASE statement
J69 0850  2    (see page 101), the specified index word or electronic
J69 0850 11    switch will again be made available, regardless of
J69 0860  8    the method by which it was reserved. It will not, however,
J69 0870  7    be used for symbolic assignment until all other index
J69 0880  4    words or electronic switches have been assigned for
J69 0890  1    the first time.
J69 0890  4       If, at any time during the assignment pass, the
J69 0900  2    compiler finds that there are no more index words available
J69 0900 12    for assignment, the warning message "NO MORE INDEX
J69 0910  7    WORDS AVAILABLE" will be placed in the object program
J69 0920  8    listing, the table will be altered to show that index
J69 0930  5    words 1 through 96 are available, and the assignment
J69 0940  1    will continue as before. If the compiler finds that
J69 0940 10    there are no more electronic switches available for
J69 0950  7    assignment, the warning message "NO MORE ELECTRONIC
J69 0960  4    SWITCHES AVAILABLE" will be placed in the object program
J69 0970  4    listing, the table will be altered to show that electronic
J69 0980  1    switches 1 through 30 are available, and assignment
J69 0980  9    will continue as before. The resultant conflicting
J69 0990  6    usage of index words or electronic switches may be
J69 1000  4    avoided by reducing the number of symbolic names used,
J69 1010  2    e&g&, through the proper use of the ~EQU, ~XRELEASE,
J69 1020  1    or ~SRELEASE statements.
J69 1020  4       As noted in Appendix ~C, index words 97 through
J69 1030  6    99 are never available for assignment to symbolic names
J69 1040  4    by the compiler; also, index words 93 through 96 may
J69 1050  3    have been made unavailable for assignment.
J69 1050  9    #DECLARATIVE STATEMENTS#
J69 1060  2    Autocoder declarative statements provide the processor
J69 1070  1    with the necessary information to complete the imperative
J69 1070  9    operations properly. Declarative statements are never
J69 1080  6    executed in the object program and should be separated
J69 1090  5    from the program instruction area, placed preferably
J69 1100  2    at its beginning or end. Otherwise, special care must
J69 1100 11    be taken to branch around them so that the program
J69 1110 10    will not attempt to execute something in a data area
J69 1120  6    as an instruction. If the compiler does encounter such
J69 1130  3    statements, a warning message will be issued. 7070/7074
J69 1140  1    Autocoder includes the following declarative statements:
J69 1140  7    ~DA (Define Area), ~DC (Define Constant), ~DRDW (Define
J69 1150  8    Record Definition Word), ~DSW (Define Switch), ~DLINE
J69 1170  1    (Define Line), ~EQU (Equate), CODE, ~DTF (Define Tape
J69 1180  2    File), ~DIOCS (Define Input/Output Control System),
J69 1190  1    and ~DUF (Descriptive Entry for Unit Records). ~DA,
J69 1190  9    ~DC, ~DTF, and ~DLINE require more than one entry.
J69 1210  1       The ~DA statement is used to name and define the
J69 1210 11    positions and length of fields within an area. The
J69 1220  8    ~DC statement is used to name and enter constants into
J69 1230  5    the object program. Since the 7070 and 7074 make use
J69 1240  3    of record definition words (~RDWS) to read, write,
J69 1240 11    move, and otherwise examine blocks of storage, the
J69 1250  8    ~DA and ~DC statements provide the option of generating
J69 1260  6    ~RDWS automatically. When so instructed, Autocoder
J69 1270  5    will generate one or more ~RDWS and assign them successive
J69 1280  5    locations immediately preceding the area(s) with which
J69 1290  3    they are to be associated. An ~RDW will be of the form
J69 1300  2    **f, where ~xxxx is the starting location of the area
J69 1300 12    and ~yyyy is its ending location. These addresses are
J69 1310  8    calculated automatically by the processor.
J69 1320  4       In some cases, it may be more advantageous to assign
J69 1330  3    locations to ~RDWS associated with ~DA and ~DC areas
J69 1340  2    in some other part of storage, i&e&, not immediately
J69 1340 11    preceding the ~DA or ~DC areas. The ~DRDW statement
J69 1350  9    may be used for this purpose. The ~DRDW statement may
J69 1360  9    also be used to generate an ~RDW defining any area
J69 1370  7    specified by the programmer.
J69 1380  1       As many as ten digital switches may be named and
J69 1380 11    provided by the ~DSW statement for consideration by
J69 1390  8    the ~SETSW and LOGIC macro-instructions. Each switch
J69 1400  6    occupies one digit position in a word, can be set ON
J69 1410  8    or OFF, and is considered as logically equivalent to
J69 1420  5    an electronic switch. It cannot, however, be referred
J69 1430  3    to by electronic switch commands, e&g&, ~ESN, ~BSN,
J69 1440  1    etc&. An individual switch or the entire set of switches
J69 1440 11    in a word may be tested or altered as desired.
J69 1450 10       Through use of the ~DLINE statement, a means is
J69 1460  7    provided for specifying both the editing of fields
J69 1470  5    to be inserted in a print line area and the layout
J69 1480  1    of the area itself. The area may include constant information
J69 1480 11    supplied by the programmer. The area may also be provided
J69 1490 10    with additional data during the running of the object
J69 1500  8    program by means of ~EDMOV or MOVE macro-instructions.
J69 1510  5       The declarative statement ~EQU permits the programmer
J69 1520  5    to equate symbolic names to actual index words, electronic
J69 1530  4    switches, arm and file numbers, tape channel and unit
J69 1540  3    numbers, alteration switches, etc&, and to equate a
J69 1540 11    symbol to another symbol or to an actual address.
J69 1550  9       The ~DIOCS, ~DTF, and ~DUF statements are used when
J69 1560  8    required by the Input/Output Control System. ~DIOCS
J69 1570  4    is used to select the major methods of processing to
J69 1580  5    be used, and to name the index words used by ~IOCS.
J69 1590  3    Each tape file must be described by Tape File Specifications,
J69 1600  1    produced by ~DTFS. In addition to information related
J69 1610  1    to the file and its records, the File Specifications
J69 1610 10    contain subroutine locations and the location of tape
J69 1620  7    label information. A ~DUF entry must be supplied for
J69 1630  6    every unit record file describing the type of file
J69 1640  3    and the unit record equipment to be used. The ~DUF
J69 1640 13    also supplies the locations of subroutines written
J69 1650  7    by the user that are unique to the file.
J69 1660  5       A full description of the ~DIOCS, ~DTF, and ~DUF
J69 1670  4    statements is contained in the 7070 Data Processing
J69 1680  1    system Bulletin "~IBM 7070 Input/Output Control System",
J69 1690  1    form ~J28-6033-1. Brief descriptions of these three
J69 1690 10    declarative statements and detailed descriptions of
J69 1700  6    the formats and functions of each of the other 7070/7074
J69 1710  7    Autocoder declarative statements follow below.
J69 1720  2    _~DIOCS- DEFINE INPUT/OUTPUT CONTROL SYSTEM_
J69 1730  1       When the Input/Output Control System is to be used
J69 1730  9    in a program, a ~DIOCS statement must be used to select
J69 1740  8    the major methods of processing to be used. This statement
J69 1750  6    also allows the naming of the index words used by ~IOCS.
J69 1760  5    _SOURCE PROGRAM FORMAT_
J69 1760  8       The basic format of the ~DIOCS statement is as follows:
J69 1770  9    @ ANYLABEL is any symbolic label; it may be omitted.
J69 1780  9    The entry ~DIOCS must be written exactly as shown.
J69 1790  7       The first item in the operand, ~IOCSIXF, is used
J69 1800  5    to specify the first ~IOCS index word for programs
J69 1810  4    using tape files. This item may be a symbolic name
J69 1820  2    or an actual one-digit or two-digit index word address
J69 1820 13    in the range 3-94. If the first item in the operand
J69 1830 10    is omitted, the symbolic name ~IOCSIXF will be assigned.
J69 1840  5    When an actual index word or a symbolic address is
J69 1850  4    specified, Autocoder will equate the name ~IOCSIXF
J69 1860  1    to it.
J69 1860  3       The second item in the operand, ~IOCSIXG, is used
J69 1870  3    to specify the second ~IOCS index word for programs
J69 1880  1    using tape files. This item may be a symbolic name
J69 1880 11    or an actual one-digit or two-digit index word address
J69 1890  7    in the range 3-94. If the second item in the operand
J69 1900  5    is omitted, the symbolic name ~IOCSIXG will be assigned.
J69 1910  4    When an actual index word or a symbolic address is
J69 1920  2    specified, Autocoder will equate ~IOCSIXG to it.
J70 0010  1       In the midwest, oxidation ponds are used extensively
J70 0010  9    for the treatment of domestic sewage from suburban
J70 0020  6    areas. The high cost of land and a few operational
J70 0030  5    problems resulting from excessive loadings have created
J70 0040  2    the need for a wastewater treatment system with the
J70 0040 11    operational characteristics of the oxidation pond but
J70 0050  7    with the ability to treat more organic matter per unit
J70 0060  6    volume.
J70 0060  7       Research at Fayette, Missouri on oxidation ponds
J70 0070  4    has shown that the ~BOD in the treated effluent varied
J70 0080  3    from 30 to 53 ~mg/~l with loadings from 8 to 120 ~lb
J70 0090  3    ~BOD/day/acre. Since experience indicates that effluents
J70 0100  1    from oxidation ponds do not create major problems at
J70 0100 10    these ~BOD concentrations, the goal for the effluent
J70 0110  7    quality of the accelerated treatment system was the
J70 0120  5    same as from conventional oxidation ponds. Recent studies
J70 0130  3    by Weston and Stack had indicated that a turbine aerator
J70 0140  2    could be added to an oxidation pond to increase the
J70 0140 12    rate of oxygen transfer. Their study showed that it
J70 0150  7    was possible to transfer 3 to 4 ~lb of oxygen/~hr/~hp.
J70 0160  6       O'Connor and Eckenfelder discussed the use of aerated
J70 0170  6    lagoons for treating organic wastes. They indicated
J70 0180  3    that a 4-day retention, aerated lagoon would give 60
J70 0190  1    to 76 per cent ~BOD reduction. Later, Eckenfelder increased
J70 0200  1    the efficiency of treatment to between 75 and 85 per
J70 0200 11    cent in the summer months. It appeared from the limited
J70 0210  7    information available that the aerated lagoon might
J70 0220  4    offer a satisfactory means of increasing the capacity
J70 0230  1    of existing oxidation ponds as well as providing the
J70 0230 10    same degree of treatment in a smaller volume.
J70 0240  7    #RED BRIDGE SUBDIVISION#
J70 0240 10    With the development of the Red Bridge Subdivision
J70 0250  8    south of Kansas City, Missouri, the developer was faced
J70 0260  6    with the problem of providing adequate sewage disposal.
J70 0270  3    The sewage system from Kansas City was not expected
J70 0280  2    to serve the Red Bridge area for several years. This
J70 0280 12    necessitated the construction of temporary sewage treatment
J70 0290  7    facilities with an expected life from 5 to 15 ~yr.
J70 0300  9    For the initial development an oxidation pond was constructed
J70 0310  5    as shown in Figure 1. The oxidation pond has a surface
J70 0320  4    area of 4.77 acres and a depth of 4 ~ft. The pond is
J70 0330  2    currently serving 1,230 persons or 260 persons per
J70 0330 10    acre. In the summer of 1960 the oxidation pond became
J70 0340  7    completely septic and emitted obnoxious odors. It was
J70 0350  5    possible to maintain aerobic conditions in the pond
J70 0360  2    by regular additions of sodium nitrate until the temperature
J70 0360 11    decreased and the algae population changed from blue-green
J70 0370  9    to green algae.
J70 0380  1       The anaerobic conditions in the existing oxidation
J70 0380  8    pond necessitated examination of other methods for
J70 0390  7    supplying additional oxygen than by sodium nitrate.
J70 0400  5    At the same time further expansion in the Red Bridge
J70 0410  3    Subdivision required the construction of additional
J70 0410  9    sewage treatment facilities. The large land areas required
J70 0420  8    for oxidation ponds made this type of treatment financially
J70 0430  8    unattractive to the developer. It was proposed that
J70 0440  5    aerated lagoons be used to eliminate the problem at
J70 0450  3    the existing oxidation ponds and to provide the necessary
J70 0460  1    treatment for the additional development.
J70 0460  6    #PILOT LAGOON#
J70 0460  8    The lack of adequate data on the aerated lagoon system
J70 0470  9    prompted the developer to construct an aerated lagoon
J70 0480  6    pilot plant to determine its feasibility for treating
J70 0490  3    domestic sewage. The pilot plant was a circular lagoon
J70 0500  1    81 ~ft in ~diam at the surface and 65 ~ft in ~diam
J70 0500 13    at the bottom, 4 ~ft below the surface, with a volume
J70 0510  9    of 121,000 ~gal. The side slopes were coated with fiberglas
J70 0520  7    matting coated with asphalt to prevent erosion. The
J70 0530  4    pilot lagoon was located as shown in Figure 1 to serve
J70 0540  3    the area just south of the existing housing area. The
J70 0540 13    major contributor was a shopping center with houses
J70 0550  8    being added to the system as the subdivision developed.
J70 0560  5    The pilot lagoon was designed to handle the wastes
J70 0570  3    from 314 persons with a 4-day aeration period. Initially,
J70 0580  1    the wastewater would be entirely from the shopping
J70 0580  9    center with the domestic sewage from the houses increasing
J70 0590  7    over an 18-month period. This operation would permit
J70 0600  4    evaluation of the pilot plant, with a slowly increasing
J70 0610  2    load, over a reasonable period of time.
J70 0610  9       The pilot plant was equipped with a 3-~hp turbine
J70 0620  9    aerator (Figure 2). The aerator had a variable-speed
J70 0630  6    drive to permit operation through a range of speeds.
J70 0640  3    The sewage flow into the treatment plant was metered
J70 0640 12    and continuously recorded on 24-~hr charts. The raw
J70 0650  9    sewage was introduced directly under the turbine aerator
J70 0660  6    to insure maximum mixing of the raw sewage with the
J70 0670  5    aeration tank contents. The effluent was collected
J70 0680  1    through two pipes and discharged to the Blue River
J70 0680 10    through a surface drainage ditch.
J70 0690  3    #ANALYSES#
J70 0690  4    Composite samples were collected at weekly intervals.
J70 0700  3    The long retention period and the complete mixing concept
J70 0710  2    prevented rapid changes in either the mixed liquor
J70 0710 10    or in the effluent. Weekly samples would make any changes
J70 0720  7    more readily discernible than daily samples. The composite
J70 0730  6    samples were normally collected over a 6-~hr period,
J70 0740  6    but an occasional 24-~hr composite was made. Examination
J70 0750  2    of the operations of the shopping center permitted
J70 0750 10    correlation of the 6-~hr composite samples with 24-~hr
J70 0760 10    operations. The data indicated that the organic load
J70 0770  7    during the 6-~hr composites was essentially 50 per
J70 0780  4    cent of the 24-~hr organic load.
J70 0780 11       Grab samples were collected from the existing oxidation
J70 0790  7    pond to determine its operating conditions. Efforts
J70 0800  4    were made to take the grab samples at random periods
J70 0810  3    so that the mass of data could be treated as a 6-~hr
J70 0820  1    composite sample. A single 24-~hr composite sample
J70 0820  9    indicated that the sewage flow pattern and characteristics
J70 0830  6    were typical.
J70 0830  8    #PILOT PLANT OPERATIONS#
J70 0840  2    The ~BOD of the influent to the pilot plant varied
J70 0850  1    between 110 and 710 ~mg/~l with an average of 350 ~mg/~l.
J70 0860  1    This was equivalent to 240 ~mg/~l~BOD on a 24-~hr basis.
J70 0860 12    The ~BOD of the raw sewage was typical of domestic
J70 0870 10    sewage from a subdivision. The ~BOD in the effluent
J70 0880  6    averaged 58 ~mg/~l, a 76-per cent reduction over the
J70 0890  5    24-~hr period. Examination of the data in Table /1,
J70 0900  4    shows that a few samples contributed to raising the
J70 0900 13    effluent ~BOD. The periods of high effluent ~BOD occurred
J70 0910  9    during cold periods when operational problems with
J70 0920  7    the aerator resulted. Ice caused the aerator to overload,
J70 0930  7    straining the drive belts. The slippage of the drive
J70 0940  5    belts caused the aerator to slow down and reduce oxygen
J70 0950  2    transfer as well as the mixing of the raw sewage.
J70 0950 12       The organic loading on the unit averaged 32 ~lb
J70 0960  9    of ~BOD/day or about 2 ~lb ~BOD/day/1,000 ~cu ~ft aeration
J70 0970  7    capacity. Needless to say, the organic load was very
J70 0980  8    low on a volumetric basis, but was 270 ~lb ~BOD/day/acre
J70 0990  4    on a surface loading basis. It seems that the aerated
J70 1000  3    lagoon was a very heavily loaded oxidation pond or
J70 1000 12    a lightly loaded activated sludge system.
J70 1010  5       The flow rate remained relatively constant during
J70 1020  3    the winter months as shown in Table /1,. With the spring
J70 1030  3    rains the flow rose rapidly due to infiltration in
J70 1030 12    open sewers. As construction progresses, the volume
J70 1040  7    of storm drainage will be sharply reduced. The retention
J70 1050  6    period in the aerated lagoon ranged from 9.8 to 2.6
J70 1060  5    days, averaging 6.4 days.
J70 1060  9       The large amount of vegetable grindings from the
J70 1070  6    grocery store in the shopping center created a suspended
J70 1080  4    solids problem. The vegetables were not readily metabolized
J70 1090  1    by the bacteria in the aeration unit and tended to
J70 1090 11    float on the surface. A skimming device at the effluent
J70 1100  9    weir prevented loss of most of these light solids.
J70 1110  6    The average volatile suspended solids in the effluent
J70 1120  3    was 75 ~mg/~l while ~MLSS averaged 170 ~mg/~l volatile
J70 1130  2    suspended solids. The average sludge age based on displacement
J70 1140  1    of solids was calculated to be 14.5 days. The oxygen
J70 1140 11    uptake rate in the mixed liquor averaged 0.8 ~mg/~l/~hr
J70 1150  8    during the first four months of this study. Variations
J70 1160  7    in aerator speeds during the latter two months of this
J70 1170  5    study caused increased mixing and increased oxygen
J70 1180  1    demand. The increase in oxygen uptake rates from 1.2
J70 1180 10    to 2.6 ~mg/~l/~hr which followed an increase in rotor
J70 1190  7    speed was believed to be related to resuspension of
J70 1200  6    solids which had settled at the lower rotor speeds.
J70 1210  3    It appeared that most of the mixed liquor suspended
J70 1210 12    solids were active microbial solids with the heavier,
J70 1220  8    less active solids settling out.
J70 1230  3       The suspended solids discharged in the effluent
J70 1240  1    were found to be the major source of the ~BOD. Removal
J70 1240 12    of the suspended solids by a membrane filter yielded
J70 1250  7    an average effluent containing only 20 ~mg/~l ~BOD.
J70 1260  5    The ~BOD in the drainage ditch receiving the pilot
J70 1270  4    plant effluent averaged 12 ~mg/~l. This low ~BOD was
J70 1280  2    due to removal of the excess suspended solids by sedimentation
J70 1290  1    since the only dilution was surface runoff which was
J70 1290 10    very low during this study.
J70 1300  3    #MICROSCOPIC EXAMINATION#
J70 1300  5    Routine microscopic examinations were made of the mixed
J70 1310  6    liquor as indicated by McKinney and Gram for the various
J70 1320  5    types of protozoa. It was found that the aerated lagoon
J70 1330  3    was an activated sludge system rather than an oxidation
J70 1340  1    pond. At no time were algae found in the mixed liquor.
J70 1340 12    The bacteria formed typical activated sludge floc.
J70 1350  6    The floc particles were all small as the heavier floc
J70 1360  5    settled out.
J70 1360  7       Initially, the flagellated protozoa predominated,
J70 1370  3    but they soon gave way to the free swimming ciliated
J70 1380  1    protozoa. As the temperature decreased, the number
J70 1380  8    of free swimming ciliated protozoa decreased. Very
J70 1390  5    little protozoa activity existed below 40`~F. When
J70 1400  4    the temperature reached 32`~F all protozoan activity
J70 1410  2    ceased; but as the temperature rose, the numbers of
J70 1420  1    protozoa increased rapidly. Only once were stalked
J70 1420  8    ciliates found in the mixed liquor. The predomination
J70 1430  6    of free swimming ciliated protozoa is indicative of
J70 1440  4    a high bacterial population.
J70 1440  8    #OXYGEN TRANSFER#
J70 1440 10    One of the important aspects of this study was to determine
J70 1450 11    the oxygen transfer relationships of the mechanical
J70 1460  6    aerator. Routine determinations were made for dissolved
J70 1470  5    oxygen in the mixed liquor and for oxygen uptake rates.
J70 1480  3    The data given in Table /2, show the routine operation
J70 1490  1    of the aerator. The dissolved oxygen in the aeration
J70 1490 10    unit was consistently high until January 29, 1961.
J70 1500  6    An extended cold spell caused ice to build up on the
J70 1510  7    aerator which was mounted on a floating platform and
J70 1520  2    caused the entire platform to sink lower in the water.
J70 1520 12    The added resistance to the rotor damaged the drive
J70 1530  8    belts and reduced the oxygen transfer capacity. It
J70 1540  4    was approximately one month before the belt problem
J70 1550  2    was noticed and corrected, but at no time was there
J70 1550 12    a deficiency of dissolved oxygen.
J70 1560  4       A series of eight special tests were conducted at
J70 1570  3    different rotor speeds to determine the oxygen transfer
J70 1580  1    rate. Five of the tests were conducted with a polyethylene
J70 1580 11    cover to simulate an ice cover. The rate of oxygen
J70 1590  9    transfer at 1.0-~mg/~l dissolved oxygen concentration
J70 1600  4    and 10`~C for various rotor speeds is given in Table
J70 1610  5    /3,. The maximum rate of oxygen transfer at 1.0 ~mg/~l
J70 1620  2    dissolved oxygen was calculated as 220 ~lb/day at a
J70 1620 11    maximum rate of 9.3 ~mg/~l/~hr. The actual power requirements
J70 1630  9    indicated 2~lb oxygen transfer/~hr/~hp. The polyethylene
J70 1640  6    cover reduced the oxygen transfer rate by 10 per cent,
J70 1650  9    indicating that the maximum oxygen transfer is at the
J70 1660  6    rotor rather than through the surface.
J70 1660 12    #OXIDATION POND#
J70 1670  2    During this study septic conditions developed in the
J70 1680  1    oxidation pond in the spring when the ice melted. Shortly
J70 1680 11    after this study ended septic conditions resulted which
J70 1690  7    required the addition of sodium nitrate. The location
J70 1700  5    of the oxidation pond in a high-value residential area
J70 1710  3    makes odor nuisances a sensitive problem for the developer.
J70 1720  1    The organic concentration in the influent raw sewage
J70 1720  9    ranged from 160 to 270 ~mg/~l of ~BOD with an average
J70 1730 10    of 230 ~mg/~l. The ~BOD data are given in Table /4,.
J70 1740  9    A single 24-~hr composite sample had a ~BOD of 260
J70 1750  7    ~mg/~l, indicating a typical domestic sewage. The daily
J70 1760  5    sewage volume to the oxidation pond averaged 147,000
J70 1770  2    ~gpd, giving a retention period of 42 days. The organic
J70 1780  1    loading on the pond was slightly under 60~lb~BOD/day/acre.
J70 1790  1       The effluent ~BOD averaged 34 ~mg/~l, a little lower
J70 1800  1    than that of the study at Fayette indicated for a loading
J70 1800 12    of 60~lb ~BOD/day/acre. The ~BOD of the effluent ranged
J70 1810  8    from a minimum of 13 to a maximum of 47~mg/~l. Microscopic
J70 1820 10    examination of the effluent showed that minimum ~BOD
J70 1830  7    occurred when the algae began to decrease with cold
J70 1840  5    weather. When the algae began to build up again, the
J70 1850  3    effluent ~BOD rose. During the two weeks when the algae
J70 1860  1    disappeared from the effluent ~BOD's in the effluent
J70 1860  9    were 18 and 16 ~mg/~l.
J71 0010  1       Thus, the three main categories of antisubmarine
J71 0010  8    warfare operations are defense of shipping, defense
J71 0020  6    of naval forces, and area defense. The last category
J71 0030  4    overlaps the others in amphibious operations and near
J71 0040  2    terminals and bases.
J71 0040  5       To effect these operations, five elements exist
J71 0050  2    (1) surface, (2) air, (3) mines, (4) submarine, and
J71 0050 11    (5) fixed installations. Surface forces have been used
J71 0060  8    to provide defense zones around naval and merchant
J71 0070  6    ship formations, air to furnish area surveillance,
J71 0080  2    and mines for protection of limited areas. Submarines
J71 0080 10    and shore installations are new elements. The submarine
J71 0090  8    now has a definite place in submarine defense particularly
J71 0100  6    in denying enemy access to ocean areas. Fixed installations
J71 0110  5    offer possibilities for area detection. Mine warfare
J71 0120  3    is being reoriented against submarine targets.
J71 0130  1       A sixth element, not always considered, is intelligence.
J71 0130  9    It includes operational intelligence of the enemy and
J71 0140  7    knowledge of the environment. Operational intelligence
J71 0150  3    presumably will be available from our national intelligence
J71 0160  3    agencies; intelligence on the environment will come
J71 0170  2    from the recently augmented program in oceanography.
J71 0170  9    The major postwar development is the certainty that
J71 0180  7    these elements should not be considered singly but
J71 0190  4    in combination and as being mutually supporting.
J71 0200  1    #NECESSITY FOR AN OVER-ALL CONCEPT#
J71 0200  7    Thinking on submarine defense has not always been clear-cut.
J71 0210  7    Proponents of single elements tend to ensure predominance
J71 0220  4    of that element without determining if it is justified,
J71 0230  1    and the element with the most enthusiastic and vociferous
J71 0230 10    proponents has assumed the greatest importance. Consequently,
J71 0240  7    air, surface, and submarine elements overshadow the
J71 0250  6    mine, fixed installations, and intelligence. These
J71 0260  4    have sought more and more of what they have. Each seems
J71 0270  3    to strive for elimination of the necessity for the
J71 0270 12    others. This, despite postwar experience demonstrating
J71 0280  6    that all elements are necessarily mutually supporting.
J71 0290  4    Thus, the most productive areas are not necessarily
J71 0300  3    the most stressed. This is stated to emphasize the
J71 0300 12    necessity for an over-all concept of submarine defense,
J71 0310  9    one which would provide positions of relative importance
J71 0320  6    to ~ASW elements based on projected potentialities.
J71 0330  3    Then the enthusiasm and energy of all elements can
J71 0340  2    be channeled to produce cumulative progress toward
J71 0340  9    a common objective. An over-all concept would have
J71 0350  8    other advantages. It would allow presentation to the
J71 0360  5    public of a unified approach. Now the problem is presented
J71 0370  3    piecemeal and sometimes contradictorily. While one
J71 0375  1    element is announcing progress, another is delineating
J71 0380  7    its problems. The result can only be confusion in the
J71 0390  8    public mind. A unified concept can serve as a guide
J71 0400  6    to budgeting and, if public support is gained, will
J71 0410  1    command Congressional support. Industry's main criticism
J71 0410  7    of the Navy's antisubmarine effort is that it cannot
J71 0420  8    determine where any one company or industry can apply
J71 0430  7    its skills and know-how. Lacking guidance, industry
J71 0440  2    picks its own areas. The result, coupled with the salesmanship
J71 0450  1    for which American industry is famous, is considerable
J71 0450  9    expenditure of funds and efforts in marginal areas.
J71 0460  8    An over-all concept will guide industry where available
J71 0470  6    talents and facilities will yield greatest dividends.
J71 0480  3    Therefore, a broad concept of over-all submarine defense
J71 0490  2    is needed for co-ordination of the Navy's efforts,
J71 0490 11    for a logical presentation to the public, for industry's
J71 0500  7    guidance, and as a basis for a program to the Congress.
J71 0510  8    #PRINCIPLES INVOLVED IN AN OVER-ALL CONCEPT#
J71 0520  2    That which follows will be a discussion of principles
J71 0530  1    and possible content for an over-all concept of antisubmarine
J71 0530 11    warfare. Russia possesses the preponderance of submarines
J71 0540  7    in the world, divided between her various fleets. Some
J71 0550  6    are also in Albania and others are on loan to Egypt.
J71 0560  6    Other countries which may willingly or unwillingly
J71 0570  1    become Communist can furnish bases. Communist target
J71 0570  8    areas can be assumed, but there is no certainty that
J71 0580  9    such assumptions coincide with Soviet intentions. Attack
J71 0590  5    can come from almost any direction against many locations.
J71 0600  3    Logically, then, the first principle of the plan must
J71 0610  2    be that it is not rigidly oriented toward any geographical
J71 0610 12    area.
J71 0620  1       It is often stated that the submarine can be destroyed
J71 0620 11    while building, at bases, in transit, and on station.
J71 0630  9    Destruction of the enemy's building and base complex,
J71 0640  5    however, requires attacks on enemy territory, which
J71 0650  3    is possible only in event of all-out hostilities. In
J71 0660  1    transit or on station, it may not be possible to attack
J71 0660 12    the submarines until commission of an overt act. The
J71 0670  8    Communists are adept at utilizing hostilities short
J71 0680  3    of general war and will do so whenever it is to their
J71 0690  3    advantage. Therefore the second principle of the plan
J71 0690 11    must be that, while providing for all-out hostilities,
J71 0700  8    its effectiveness is not dependent on general war.
J71 0710  6       Antisubmarine warfare does not involve clashes between
J71 0720  3    large opposing forces, with the decision a result of
J71 0730  2    a single battle. It is a war of attrition, of single
J71 0730 13    actions, of an exchange of losses. This exchange must
J71 0740  9    result in our ending up with some effective units.
J71 0750  5    Initially, having fewer units of some elements- especially
J71 0760  4    submarines- than the opponent, our capabilities need
J71 0770  1    to be sufficiently greater than theirs, so that the
J71 0770 10    exchange will be in our favor. Therefore, the third
J71 0780  8    principle of the plan must be that it does not depend
J71 0790  5    for effectiveness on engagement by the same types,
J71 0800  1    unless at an assured favorable exchange rate.
J71 0800  8       The submarine has increased its effectiveness by
J71 0810  6    several orders of magnitude since World War /2,. Its
J71 0820  5    speed has increased, it operates at increasingly greater
J71 0830  2    depths, its submerged endurance is becoming unlimited,
J71 0830  9    and it will become even more silent. The next developments
J71 0840 10    will probably be in weaponry. The missile can gradually
J71 0850  8    be expected to replace the torpedo. As detection ranges
J71 0860  5    increase, weapons will be developed to attack other
J71 0870  3    submarines and surface craft at these ranges. Therefore,
J71 0880  1    the fourth principle of the plan must be that it provide
J71 0880 12    for continuously increasing capabilities in the opponent.
J71 0890  6       No element can accomplish the total objective of
J71 0900  5    submarine defense. Some elements support the others,
J71 0920  1    but all have limitations. Some limitations of one element
J71 0930  1    can be compensated for by a capability of another.
J71 0930 10    Elements used in combination will increase the over-all
J71 0940  8    capability more than the sum of the capabilities of
J71 0950  5    the individual elements. Therefore, the plan's fifth
J71 0960  2    principle must be that it capitalize on the capabilities
J71 0960 11    of all elements in combination.
J71 0970  5       Conceivably the submarine defense problem can be
J71 0980  4    solved by sufficient forces. Numbers would be astronomical
J71 0990  1    and current fiscal policies make this an impractical
J71 0990  9    solution. Shipbuilding, aircraft procurement, and weapon
J71 1000  6    programs indicate that there will not be enough of
J71 1010  7    anything. Therefore, any measures taken in peacetime
J71 1020  3    which will decrease force requirements in war will
J71 1020 11    contribute greatly to success when hostilities occur.
J71 1030  7    Therefore, the sixth principle of the plan must be
J71 1040  7    that it concentrate on current measures which will
J71 1050  3    reduce future force requirements.
J71 1050  7       The world is constantly changing; what was new yesterday
J71 1060  6    is obsolescent today. The seventh principle of the
J71 1070  5    plan is self-evident; it must be flexible enough to
J71 1080  2    allow for technological breakthroughs, scientific progress,
J71 1080  8    and changes in world conditions.
J71 1090  5    #SUPPORTING ELEMENTS IN ~ASW OPERATIONS#
J71 1100  1    To this point the need for an over-all plan for submarine
J71 1100 13    defense has been demonstrated, the mission has been
J71 1110  8    stated, broad principles delineating its content laid
J71 1120  5    down, and the supporting elements listed. Before considering
J71 1130  3    these elements in more detail, an additional requirement
J71 1140  2    should be stated. Large area coverage will accomplish
J71 1140 10    all other tasks. Therefore, because reduction in tasks
J71 1150  8    results in reduction of forces required, the plan should
J71 1160  7    provide for expanding area coverage. But it must be
J71 1170  5    remembered that the plan should not be oriented geographically.
J71 1180  2    Consequently, the system giving area coverage (if such
J71 1190  1    coverage is less than world wide) must be flexible
J71 1190 10    and hence at least partially mobile. Since effective
J71 1200  5    area coverage appears fairly remote, the requirement
J71 1210  3    can be borne in mind while considering the elements:
J71 1220  1    air, surface, sub-surface, fixed installations, mines,
J71 1220  8    and intelligence. These are arranged approximately
J71 1230  5    in the order of the vociferousness of their proponents
J71 1240  4    but will be discussed in the reverse order in the hope
J71 1250  4    that the true order of importance will result.
J71 1250 12    ##
J71 1250 13    Intelligence, as used herein, will include information
J71 1260  7    on possible opponents and on the environment which
J71 1270  7    can affect operations. These can be referred to as
J71 1280  5    operational intelligence and environmental intelligence.
J71 1290  1    In submarine defense these must have maximum stress.
J71 1290  9    Good operational intelligence can ensure sound planning,
J71 1300  6    greatly reduce force requirements, and increase tactical
J71 1310  4    effectiveness. Environmental intelligence is just as
J71 1320  4    important. The ocean presently co-operates with the
J71 1330  1    target. Full knowledge of the science of oceanography
J71 1330  9    can bring the environment to our side, resulting in
J71 1340  7    an increase in effectiveness of equipment and tactics,
J71 1350  4    a decrease in enemy capabilities, and the development
J71 1360  1    of methods of capitalizing on the environment. Therefore,
J71 1360  9    improved intelligence will result in reduced force
J71 1370  7    requirements and, as it supports all other elements,
J71 1380  6    rates a top priority. Gathering intelligence is important,
J71 1390  3    but of equal importance is its translation into usable
J71 1400  2    form.
J71 1400  3       A program is needed to translate the results of
J71 1400 12    oceanographic research into tactical and operating
J71 1410  6    instructions. Approaching this problem on a statistical
J71 1420  6    basis is invalid, because the opponent has the same
J71 1430  4    sources available and will be encountered not under
J71 1440  1    average conditions, but under the conditions most advantageous
J71 1440  9    to him. Therefore, the on-the-scene commander must
J71 1450  8    have detailed operating instructions based on measurement
J71 1460  5    of conditions, in the area, at the time of encounter.
J71 1470  3    All capabilities must be used to maximum advantage
J71 1480  1    then. Temperature, wind, oxygen content, depth, bottom
J71 1480  8    character, and animal life are the chief environmental
J71 1490  7    variables. There may be others. Variations in sound
J71 1500  4    velocity should be measured rather than temperature,
J71 1510  1    because more of the variables would be encompassed.
J71 1510  9    These variations must eventually be measured horizontally
J71 1520  6    as well as vertically. Progress in predicting water
J71 1530  5    conditions is encouraging, but little guidance is available
J71 1540  4    to the man at sea on the use of such information. A
J71 1550  2    concurrent effort is needed to make oceanographic data
J71 1550 10    useful on the spot.
J71 1560  3    ##
J71 1560  4    Mine warfare has in the past been directed against
J71 1570  1    surface targets. By its nature it has always been of
J71 1570 11    great psychological advantage and small efforts have
J71 1580  6    required considerably greater counter-efforts. Mines
J71 1590  4    are being increasingly oriented against submarine targets.
J71 1600  2    They are still considered to be for use in restricted
J71 1600 12    waters, however, and targets must come within a few
J71 1610  9    yards of them. Mines need to be recognized as a major
J71 1620  8    element in anti-submarine warfare employment, extended
J71 1630  2    to deep water, and have their effective area per unit
J71 1640  1    increased. Mines can be used to deny access to great
J71 1640 11    areas; they are difficult to counter, cost little to
J71 1650  8    maintain until required, and can be put into place
J71 1660  6    quickly. A most attractive feature is that detection
J71 1670  1    and attack are combined in a single package. Effective
J71 1670 10    employment will reduce force requirements.
J71 1680  5       For example, effective mine barriers from Florida
J71 1690  4    to Cuba and across the Yucatan Channel from Cuba to
J71 1700  3    Mexico would remove all requirements for harbor defense,
J71 1710  1    inshore patrol, convoy escort, shipping control, and
J71 1710  8    mine defense for the entire Gulf of Mexico. More extended
J71 1720  8    systems, covering all passage into the Caribbean, would
J71 1730  5    free the Caribbean and the Gulf of Mexico from the
J71 1740  3    previously listed requirements. Systems covering the
J71 1740  9    Gulf of St& Lawrence and possibly the entire coasts
J71 1750  9    of the United States are not impossible. Such mine
J71 1760  7    defense systems could permit concentration of mobile
J71 1770  3    forces in the open oceans with consequent increase
J71 1780  1    in the probability of success. The advantages inherent
J71 1780  9    in mine warfare justify as great an importance for
J71 1790  7    this element as is accorded any of the other elements.
J71 1800  5    ##
J71 1800  6    Fixed installations are increasingly advocated as the
J71 1810  4    problem of area defense emerges. The proponents are
J71 1820  2    scientific and technical men who exercise considerable
J71 1820  9    influence on their military counterparts. Systems which
J71 1830  7    detect submarines over wide areas are attractive, although
J71 1840  6    they can be only "burglar alarms". Mobile forces are
J71 1850  4    required to localize and attack detected targets, since
J71 1860  2    the systems are not capable of pinpointing a target.
J71 1860 11    Such systems are expensive and are oriented geographically.
J71 1870  7    In an over-all ~ASW concept, dependence on and effort
J71 1880  7    expended for such systems should be limited to those
J71 1890  6    with proven capabilities. No general installation should
J71 1900  2    be made until a model installation has been proved
J71 1900 11    and its maximum capability determined. In addition,
J71 1910  7    proposals for fixed installations should be carefully
J71 1920  4    weighed against a counterpart mobile system. For fixed
J71 1930  4    installations will always lack the flexibility that
J71 1940  1    should be inherent in naval systems.
J71 1940  7    ##
J71 1940  8    The submarine has become increasingly attractive as
J71 1950  4    an antisubmarine weapon system. It operates in its
J71 1960  3    target's environment, and any advantage gained therefrom
J71 1970  1    by the target is shared by the attacker. But the submarine
J71 1970 12    is a weapon of ambush and therefore always in danger
J71 1980  8    of being ambushed.
J72 0010  1    Two metabolites (/1, and /2,) of ~p-aminobenzoic acid
J72 0010 10    (~PABA) which act as cofactors for the hydroxylation
J72 0020  8    of aniline by acid-fast bacteria are biosynthesized
J72 0030  4    from ~PABA. The 7 carbons of ~PABA are incorporated
J72 0040  3    directly into metabolite /2, (as shown with both ring-labeled
J72 0050  4    and carboxy-labeled **f). Thirty-five of the 36 carbon
J72 0060  2    atoms arise from ~PABA. All 28 carbons of metabolite
J72 0060 11    /1, (a product of mild acid hydrolysis of /2,) arise
J72 0070 10    from ~PABA. Metabolite /1, isolated from the medium,
J72 0080  7    however, showed a lower specific activity, which indicates
J72 0090  4    endogenous synthesis of this metabolite.
J72 0100  1       Vigorous acid hydrolysis of metabolite /1, destroyed
J72 0100  8    the biological activity of the compound and liberated
J72 0110  8    two aryl amines. Fragment ~A has been obtained in crystalline
J72 0120  8    form as a dioxalate salt and free base. Preliminary
J72 0130  5    evidence tentatively indicates that the molecule (metabolite
J72 0140  3    /1,) is cleaved at a secondary amide bond. (N& H& Sloane;
J72 0150  3    chemical studies are being pursued with the cooperation
J72 0160  1    of K&G& Untch.)
J72 0160  4    _STUDIES ON ESTERASES_
J72 0160  7       - Research on esterases in mammalian sera was continued.
J72 0170  8    One of the most interesting findings was the extreme
J72 0180  5    sensitivity of plasma arylesterases to rare earth ions.
J72 0190  4    The inhibition of the enzyme by very low concentrations
J72 0200  1    of lanthanum ion is probably the strongest known biological
J72 0200 10    effect of rare earth salts. Various metal ions have
J72 0210  9    been found to protect plasma arylesterase against inactivation
J72 0220  4    by urea and guanidine. The effects can be related to
J72 0230  5    the structure of this -~SH enzyme. The non-identity
J72 0240  1    of serum and red blood cell arylesterase was also established.
J72 0250  1    Furthermore, the hydrolysis of paraoxon was studied
J72 0250  8    in mammalian sera, and it was found that it is hydrolyzed
J72 0260 10    by albumin (or a factor attached to it) in addition
J72 0270  5    to arylesterase. Selective inhibitors can distinguish
J72 0280  2    the two activities. Investigations on the acceleration
J72 0280  9    of human plasma cholinesterase were carried further.
J72 0290  7    (E& G& Erdo^s, L& E& Boggs, C& D& Mackey)
J72 0310  1    _BIOPHYSICAL STUDIES ON MODIFIED FIBROUS PROTEINS_
J72 0310  4       - Electron-microscopical and physical-chemical methods
J72 0320  2    were used to demonstrate the renaturation of heat-denatured
J72 0330  1    collagen and ribonucleic acid. (R& V& Rice)
J72 0330  8       A method was devised for extracting and purifying
J72 0340  7    soluble earthworm collagen (~EWC). It was observed
J72 0350  5    that ~EWC macromolecules are the same diameter (15~A)
J72 0360  4    but much longer (up to several microns) than vertebrate
J72 0370  2    tropocollagen. This unusual collagen also was shown
J72 0370  9    to undergo a reversible thermal phase transformation.
J72 0380  6    (R& V& Rice, M& D& Maser)
J72 0390  3    _STUDIES ON PEPTIDES AND PEPTIDASES_
J72 0390  8       - This investigation involved several aspects. Substance
J72 0400  5    ~Z, an active urinary peptide, was purified by extraction
J72 0410  6    in organic solvents and repeated column chromatography;
J72 0420  3    high-voltage electrophoresis and paper chromatography
J72 0430  1    were used in preliminary structural studies; pharmacological
J72 0440  1    effects in vitro on isolated surviving organs and in
J72 0440 10    vivo on blood pressure were assayed; special equipment
J72 0460  8    required for registering respiration and for recording
J72 0470  5    the contraction of smooth muscles under various conditions
J72 0480  4    was developed by the Instruments Section (Victor Jackman,
J72 0490  3    W& C& Barnes, J& F& Reiss); and enzymes which terminate
J72 0500  3    the action of peptides such as bradykinin and perhaps
J72 0510  1    Substance ~Z were studied. Experiments are in progress
J72 0510  9    to develop ultraviolet spectrophotometric techniques
J72 0520  4    for assaying these enzymes and for studying their sensitivity
J72 0530  6    to metal ions. (E& G& Erdo^s, C& D& Mackey, A& G& Renfrew,
J72 0540  7    W& B& Severs, E& M& Sloane)
J72 0550  4    _SEED PROTEINS_
J72 0550  6       - In a physiochemical study of seed proteins, the
J72 0560  5    globulins of the Brazil nut have been investigated.
J72 0570  1    In addition to the known principal globulin, excelsin,
J72 0570  9    three other ultracentrifugally distinct components
J72 0580  5    have been observed. A water-soluble protein of quite
J72 0590  6    low molecular weight (ca& 10,000) has also been found
J72 0600  4    in this system and partly characterized. (E& F& Casassa,
J72 0610  2    H& J& Notarius)
J72 0610  5    #CONTINUUM MECHANICS AND VISCOELASTICITY#
J72 0620  1    _THEORY OF NON-NEWTONIAN FLUIDS_
J72 0620  6       - On the basis of a differentiability assumption
J72 0630  4    in function space, it is possible to prove that, for
J72 0640  3    materials having the property that the stress is given
J72 0640 12    by a functional of the history of the deformation gradients,
J72 0650 10    the classical theory of infinitesimal viscoelasticity
J72 0660  5    is valid when the deformation has been infinitesimal
J72 0670  4    for all times in the past. By strengthening the differentiability
J72 0680  3    assumption, it has been possible to derive second and
J72 0690  2    higher order theories of viscoelasticity. In the second-order
J72 0700  1    theory, one of the normal stress differences can be
J72 0700 10    calculated from the first-order stress relaxation function.
J72 0710  6    (B& D& Coleman with Walter Noll, Department of Mathematics,
J72 0720  6    Carnegie Institute of Technology)
J72 0730  1    _VISCOELASTIC MEASUREMENTS_
J72 0730  3       - An extensive series of measurements was made on
J72 0740  5    a high-density polyethylene in a torsion pendulum instrument
J72 0750  2    using forced sinusoidal oscillation, free vibration,
J72 0750  8    and creep measurements over the temperature range of
J72 0760  8    **f to 80`C&. As many as seven decades of the time
J72 0770  9    scale were thus covered isothermally. The simple time-temperature
J72 0780  5    equivalence valid for many amorphous systems did not
J72 0790  4    hold here. It was possible, however, to decompose the
J72 0800  2    compliance into a sum of a frequency-independent component
J72 0800 11    and two viscoelastic mechanisms, each compatible with
J72 0810  6    the Boltzmann superposition principle and with a consistent
J72 0820  6    set of time-temperature equivalence factors. (Hershel
J72 0830  3    Markovitz, D&J& Plazek, Haruo Nakayasu)
J72 0840  1    #GEOCHEMISTRY#
J72 0850  1    _TRACE ELEMENTS IN TEKTITES, METEORITES, AND RELATED
J72 0850  1    MATERIALS_
J72 0850  1       - The results of microanalysis of tektites (natural
J72 0860  1    glasses of unknown origin) for gallium and germanium
J72 0860  9    have shown that these glasses are probably produced
J72 0870  6    from terrestrial (or less likely from lunar) matter
J72 0880  4    by impact of a celestial body. The gallium/germanium
J72 0890  1    ratio is higher than that for ordinary igneous, metamorphic,
J72 0890 10    or sedimentary matter as a result of selective volatilization
J72 0900  8    of the components of the tektite. Gallium oxide is
J72 0910  7    less volatile than silica (the main constituent of
J72 0920  4    tektites) and germanium oxide is more volatile. Australites
J72 0930  1    (tektites from Australia) give the appearance of a
J72 0930  9    second melting. In conformity with this conclusion
J72 0940  7    a higher trace gallium content was found in the portion
J72 0950  7    (flange) that has undergone a second melting. The silicate
J72 0960  4    fractions of stony meteorites show gallium/germanium
J72 0970  1    ratios similar to those of tektites because they too
J72 0970 10    have undergone melting at some point in their histories.
J72 0980  8       Libyan Desert silica-glass, another natural glass,
J72 0990  4    is composed of nearly pure silica and has the same
J72 1000  5    trace germanium content as sands in the area. The gallium
J72 1010  1    content, however, has been enhanced five-fold. This
J72 1010  9    glass is probably formed from Libyan Desert sands by
J72 1020  7    comet or stony-meteorite impact.
J72 1030  2       Nickel-iron meteorites with sufficient kinetic energy
J72 1040  1    to produce large terrestrial-explosion craters may
J72 1040  8    nevertheless melt only small quantities of material.
J72 1050  5    Most of the impact energy is spent in crushing and
J72 1060  4    fragmentation. When rapid quenching follows melting,
J72 1070  1    impact glasses may result. These always contain metallic
J72 1070  9    inclusions. Impact glasses not containing elemental
J72 1080  6    nickel-iron may have been produced by stony meteorites
J72 1090  5    or comets. No meteorites have ever been recovered from
J72 1100  3    paleoexplosion craters, and recent craters containing
J72 1110  1    impact glass have all been produced by metallic meteorites
J72 1110 10    with the exception of Aouelloul crater, Adrar, Western
J72 1120  6    Sahara Desert. This crater contains impact glass with
J72 1130  6    no metallic inclusions and no meteoritic material has
J72 1140  3    been recovered. (A& J& Cohen, John Anania)
J72 1150  1    #INORGANIC CHEMISTRY#
J72 1150  3    Preparation of a coordination compound is often accomplished
J72 1160  2    by the simple method of reacting a metal salt with
J72 1160 12    a ligand in a suitable solvent such as an alcohol.
J72 1170 10    By applying this general principle, a great number
J72 1180  5    of complex compounds of osmium, ruthenium, iridium,
J72 1190  2    and rhenium, with triphenylphosphine, triphenylarsine,
J72 1195  1    and triphenylstibine have been obtained in this laboratory
J72 1200  7    during the past few years. (Lauri Vaska, E& M& Sloane,
J72 1210  7    J& W& DiLuzio) In the absence of direct evidence to
J72 1220  8    the contrary, decomposition of solvent alcohol and
J72 1230  4    coordination of its fragments to the metal were not
J72 1240  2    considered, following the above heretofore-accepted
J72 1240  8    assumption in preparative coordination chemistry. Recent
J72 1250  5    work with radiocarbon and deuterated alcohols as solvents,
J72 1260  5    however, has given evidence that metal-hydrido and
J72 1270  2    -carbonyl complexes may be readily formed by reaction
J72 1280  1    with alcohol in some of these systems. Some of the
J72 1280 11    previously reported compounds have thus been reformulated
J72 1290  6    and a series of new hydrido and carbonyl compounds
J72 1300  3    discovered, the more representative examples being
J72 1310  1    **f, **f, **f, **f and **f (**f).
J72 1310  8       The coordination complexes formed by transition
J72 1320  4    metals with primary and secondary phosphines and arsines
J72 1330  2    are being investigated (R& G& Hayter). Particular interest
J72 1340  1    is directed towards the condensation of these ligands
J72 1340  9    with metal halides to form substituted phosphide or
J72 1350  7    arside complexes. During the past year, these ligands
J72 1360  5    have yielded some unusual five-coordinate complexes
J72 1370  1    of nickel (/2,) and some interesting binuclear phosphorus-bridged
J72 1380  1    complexes of palladium (/2,) (see figure), as well
J72 1380  9    as new compounds of the well-known type **f. The structures,
J72 1390  9    properties, and reactions of these compounds are being
J72 1400  6    studied.
J72 1400  7       In another study chromium-substituted aluminum oxyhydroxides
J72 1410  5    and related species, prepared homogeneously by high-temperature
J72 1420  5    hydrolysis, are being characterized and investigated
J72 1430  3    spectrally in the ultraviolet region with a view to
J72 1440  2    identification and semiquantitative estimation of the
J72 1440  8    phases formed under varying preparative conditions.
J72 1450  5    (J& A& Laswick, N& L& Heatwole)
J72 1460  2    #STRUCTURE AND PROPERTIES OF MACROMOLECULES#
J72 1470  1    _ELASTICITY OF MACROMOLECULAR NETWORKS_
J72 1470  4       - The theory of elasticity of Gaussian networks
J72 1480  3    has been developed on a more general basis and the
J72 1490  1    equations of state relating variables of pressure,
J72 1490  8    volume, temperature, stress and strain have been precisely
J72 1500  7    formulated. Simple elongation has been treated in detail.
J72 1510  6    The various stress-temperature coefficients for constancy
J72 1520  3    of volume and strain, constancy of pressure and strain,
J72 1530  1    and constancy of pressure and length have been interrelated.
J72 1530 10    The dilation accompanying elongation and the simultaneously
J72 1540  7    developed anisotropy of compressibility have been related
J72 1550  6    to the elongation. In continuation of these theoretical
J72 1560  4    studies, a more precise elucidation of the effects
J72 1570  3    of imperfections in network structure is sought. (P&
J72 1570 11    J& Flory, C& A& J& Hoeve)
J72 1590  1    _CHAIN CONFORMATIONS OF POLYMERIC CHAINS_
J72 1590  1       - Recent theoretical work to calculate the dimensions
J72 1600  1    of polymeric chains by Volkenstein and Lifson has been
J72 1600 10    extended to include more general types of chains. The
J72 1610  7    mean-square end-to-end distance of the polyisobutylene
J72 1620  4    chain has been calculated in reasonable agreement with
J72 1630  2    values deduced from viscosity data. These studies are
J72 1630 10    being extended to different polymers to increase our
J72 1640  8    knowledge about the hindrances to rotation around chain
J72 1650  6    bonds. (C& A& J& Hoeve, A& A& Blumberg)
J72 1670  1    _CRYSTALLIZATION IN POLYMERS AND COPOLYMERS_
J72 1670  3       - The crystallization of copolymers comprising **f
J72 1670  9    units interspersed with a minor percentage of **f is
J72 1680  8    limited by the inability of the crystal lattice characteristic
J72 1690  4    of the former to accommodate the bulky side group of
J72 1700  4    the latter. Only uninterrupted sequences of the former
J72 1710  1    are eligible for formation of crystallites. Limitations
J72 1710  8    on the lengths of these sequences diminish the stability
J72 1720  7    of the comparatively short crystallites which can be
J72 1730  5    formed, and this is reflected in a broadening of the
J72 1740  3    melting range. (Robert Chiang, J& B& Jackson, P& J&
J72 1750  2    Flory) Carefully executed melting studies on this system
J72 1750 10    (M& J& Richardson) permit quantitative estimation of
J72 1760  7    the instability engendered by reduced crystallite length.
J72 1770  6    The complex morphology of polycrystalline homopolymers
J72 1780  3    is necessarily dependent on the same factor. Hence,
J72 1790  2    the present studies offer a possible basis for interpretations
J72 1800  1    in the latter field.
J72 1800  5    _CONTRACTION OF MUSCLE_
J72 1800  8       - Glycerinated muscle, in the presence of the physiological
J72 1810  8    agent. (~ATP) responsible for delivering energy to
J72 1820  5    the mechanochemically active proteins of muscle, has
J72 1830  4    been shown to undergo a contraction which is highly
J72 1830 13    sensitive both to temperature and to solvent composition
J72 1840  8    in mixtures of alcohols and water. Experiments carried
J72 1850  6    out over long periods of time in order to allow establishment
J72 1860  6    of a steady state have shown that the onset of contraction
J72 1870  4    and its completion are confined to an interval of several
J72 1880  2    degrees Centigrade and to a concentration range of
J72 1880 10    only several per cent. The contraction therefore partakes
J72 1890  7    of the character of a phase transition. While ~ATP
J72 1900  6    appears to be necessary for the occurrence of contraction,
J72 1910  4    its presence and enzymatic hydrolysis of it by the
J72 1920  3    muscle protein myosin are not the only criteria for
J72 1920 12    contraction. (C& A& J& Hoeve, P& J& Flory)
J72 1940  1    _ANIONIC POLYMERIZATION_
J72 1940  3       - One of the principal aims of anionic polymerization
J72 1940 11    techniques is the synthesis of polymers of extremely
J72 1950  8    narrow molecular weight distribution. A simple process
J72 1960  5    for the preparation of nearly monodisperse polystyrene
J72 1970  2    of predictable molecular weight has been developed.
J72 1980  1    The preparation of such products is not new, but the
J72 1980 11    systems heretofore employed in polymerizations have
J72 1990  5    commanded considerable experimental skill and starting
J72 2000  4    materials of a high purity. In the new process impurities
J72 2010  2    present in the solvent (benzene), the monomer, and
J72 2010 10    in the reaction system which would cause deactivation
J72 2020  7    of propagation centers, are rendered inactive prior
J72 2030  5    to polymerization by gradual addition of initiator,
J72 2040  2    a mixture of butyl-lithium and telomeric styryl-lithium,
J72 2040 11    at a temperature low enough to suppress chain growth.
J72 2050  9    Upon completion of the purging step, additional initiator
J72 2060  7    appropriate for the molecular weight of the sample
J72 2070  5    desired is added, and the system is then warmed to
J72 2080  2    the polymerization temperature, at which the reaction
J72 2080  9    is allowed to go to completion. The predictability
J72 2090  7    of the molecular weights was found to be within 10%
J72 2100  6    for the polymers prepared, with **f ratios less than
J72 2110  2    1.1.
J72 2110  3       Contrary to observations with ethers, no apparent
J72 2120  1    change of the reactivity of the chain ends takes place
J72 2120 11    over considerable periods of time in benzene as solvent.
J73 0010  1    _ORGANIZATION:_
J73 0010  2       In this publication measurements of interfacial
J73 0020  1    angles of crystals are used to classify and identify
J73 0020 10    chemical substances. T& V& Barker, who developed the
J73 0030  7    classification-angle system, was about to begin the
J73 0040  6    systematic compilation of the index when he died in
J73 0050  3    1931. The compilation work was undertaken by a number
J73 0050 12    of interested crystallographers in the Department of
J73 0060  6    Mineralogy of the University Museum at Oxford. Since
J73 0070  5    1948 the working headquarters has been the Department
J73 0090  2    of Geology and Mineralogy. Numerous cooperating individuals
J73 0100  1    in Great Britain, Holland, the United States, and Belgium
J73 0110  1    have contributed editorially or by making calculations.
J73 0110  8    Great interest and practical help have been given by
J73 0120  8    the Barker Index Committee. Financial and material
J73 0130  4    help have come from academic, governmental, and industrial
J73 0140  2    organizations in England and Holland. Editors for Volumes
J73 0150  1    /1, and /2, were M& W& Porter and the late R& C& Spiller,
J73 0160  2    both of Oxford University. A third volume remains to
J73 0160 11    be published.
J73 0170  2    _SUBSTANCES:_
J73 0170  3       Volume /1, deals with 2991 compounds belonging to
J73 0180  3    the tetragonal, hexagonal and trigonal, and orthorhombic
J73 0190  1    systems; and Volume /2,, with about 3500 monoclinic
J73 0190  9    substances. Volume /3,, in preparation, will treat
J73 0200  7    the anorthic compounds described in Groth's CHEMISCHE
J73 0210  4    KRYSTALLOGRAPHIE.
J73 0220  1    _PROPERTIES:_
J73 0220  1       The Barker system is based on the use of the smallest
J73 0220 12    number of interfacial angles necessary for indexing
J73 0230  6    purposes. Other morphological, physical, and optical
J73 0240  4    property values are also given.
J73 0250  1    _SOURCES OF DATA:_
J73 0250  3       The index is essentially a new treatment of previously
J73 0260  1    compiled morphological data. Most of the data used
J73 0260  9    are from Groth's CHEMISCHE KRYSTALLOGRAPHIE.
J73 0270  3    _CRITICALITY:_
J73 0270  4       Every calculation has been made independently by
J73 0280  6    two workers and checked by one of the editors.
J73 0300  1    _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_
J73 0300  1       Accepted crystallographic symbolism has been used;
J73 0300  7    other symbols related to the index necessarily have
J73 0310  8    been introduced.
J73 0320  1    _CURRENCY:_
J73 0320  1       This publication covers the old literature (Groth);
J73 0320  8    there is no mechanism for keeping the volumes up to
J73 0330 10    date.
J73 0340  1    _FORMAT:_
J73 0340  1       The publication form is that of clothbound books.
J73 0340  9    The data are presented in lists and tables. Part 1
J73 0350  7    in both volumes is labeled "Introduction and Tables".
J73 0360  3    The tables include those for the classification angles,
J73 0370  2    refractive indices, and melting points of the various
J73 0370 10    types of crystals. Part 2 of Volume /1, and Parts 2
J73 0380 11    and 3 of Volume /2, contain the crystal descriptions.
J73 0390  6    These are grouped into sections according to the crystal
J73 0400  5    system, and within each section compounds are arranged
J73 0410  3    in the same order as in Groth's CHEMISCHE KRYSTALLOGRAPHIE.
J73 0420  1    An alphabetical list of chemical and mineralogical
J73 0420  8    names with reference numbers enables one to find a
J73 0430  9    particular crystal description. References to the data
J73 0440  5    sources are given in the crystal descriptions.
J73 0450  1    _PUBLICATION AND DISTRIBUTION:_
J73 0450  4       The BARKER INDEX is published for the Barker Index
J73 0460  7    Committee by W& Heffer + Sons, Ltd&, 3-4 Petty Cury,
J73 0470  6    Cambridge, England. Volume /1, containing Parts 1 and
J73 0480  4    2 was published in 1951; Volume /2,, in three parts,
J73 0490  2    in 1956. The two volumes are available from the publisher
J73 0500  1    for $16.80 and $28.00, respectively.
J73 0500  6    #/2,-2. CRYSTAL DATA#
J73 0510  1    _ORGANIZATION:_
J73 0510  1       The present edition of CRYSTAL DATA was written
J73 0520  1    by J&D&H& Donnay, the Johns Hopkins University, Baltimore,
J73 0530  1    Md& (Part /2,) and Werner Nowacki, University of Berne,
J73 0540  1    Switzerland (Part /1,) with the collaboration of Gabrielle
J73 0540  9    Donnay, U& S& Geological Survey, Washington, D& C&.
J73 0550  8    Many collaborators in the United States and Switzerland
J73 0560  7    helped in collecting and assembling data, in making
J73 0570  6    calculations, and in editing. Support came from academic
J73 0580  4    and industrial groups in these two countries. The Geological
J73 0590  2    Society of America gave a grant-in-aid to complete
J73 0590 12    the work and bore the expenses of publication. Preparation
J73 0600  9    of a second edition is in progress under the sponsorship
J73 0610  8    of the Crystal Data Committee of the American Crystallographic
J73 0620  5    Association. Coeditors are J&D&H& Donnay, G& E& Cox
J73 0630  6    of Leeds University, and Olga Kennard of the National
J73 0640  6    Council for Medical Research, London. Financial grants
J73 0650  3    have been received from the National Science Foundation
J73 0660  2    and the (British) Institute of Physics for the compilation
J73 0670  1    work and the publication costs. The continuity of the
J73 0670 10    project is suggested by plans for an eventual third
J73 0680  8    edition.
J73 0680  9    _SUBSTANCES:_
J73 0690  1       Elements, alloys, inorganic and organic compounds.
J73 0690  6    (Metal data will not be included in the second edition,
J73 0700  8    since these have been collected independently by W&
J73 0710  4    B& Pearson, National Research Council, Ottawa, and
J73 0720  3    published as A HANDBOOK OF LATTICE SPACINGS AND STRUCTURES
J73 0730  1    OF METALS AND ALLOYS by Pergamon Press.)
J73 0740  1    _PROPERTIES:_
J73 0740  1       Crystallographic data resulting mainly from ~X-ray
J73 0740  8    and electron diffraction measurements are presented.
J73 0750  5    Cell dimensions, number of formula units per cell,
J73 0760  4    space group, and specific gravity are given for all
J73 0770  2    substances. For some substances, auxiliary properties
J73 0770  8    such as the melting point are given.
J73 0780  5    _SOURCES OF DATA:_
J73 0780  8       Part /1, of the present edition covers the literature
J73 0790  6    to mid-1948; Part /2,, up to the end of 1951. Much
J73 0800  7    of the material comes directly from secondary sources
J73 0810  2    such as STRUKTURBERICHT.
J73 0810  5    _CRITICALITY:_
J73 0810  6       The vast number of compounds to be covered, the
J73 0820  8    limited resources to do the job, and the immediate
J73 0830  4    need for this type of compilation precluded a thorough
J73 0840  1    evaluation of all available data in the present edition.
J73 0840 10    Future editions may be more critical.
J73 0860  1    _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_
J73 0860  3       Since Parts /1, and /2, were prepared independently,
J73 0870  2    the abbreviation schemes and the chemical symbols used
J73 0880  1    differ in the two parts. The second edition should
J73 0880 10    have greater uniformity.
J73 0890  1    _CURRENCY:_
J73 0890  2       A second edition is in preparation, and there are
J73 0900  2    long range plans for a third.
J73 0900  8    _FORMAT:_
J73 0900  9       Data in the present edition are presented in tables
J73 0910  6    and lists. Part /1, deals with the classification of
J73 0920  4    crystalline substances by space groups and is not a
J73 0930  3    numerical data compilation. The compounds are divided
J73 0930 10    according to composition into seven categories. Part
J73 0940  7    /2, contains determinative tables for the identification
J73 0950  5    of crystalline substances. These are arranged according
J73 0960  3    to crystal system. There are formula and name indexes
J73 0970  1    covering both parts. References for Part /1, are given
J73 0970 10    at the end and for Part /2, in the tables.
J73 0990  1    _PUBLICATION AND DISTRIBUTION:_
J73 0990  1       The present edition of CRYSTAL DATA (**f), published
J73 0990  9    in 1954 as Memoir 60 of the Geological Society of America,
J73 1000 11    is now out of print. The manuscript of the second edition
J73 1010  9    will probably be ready by the end of 1960.
J73 1020  6    #/2,-3. CRYSTAL STRUCTURES#
J73 1030  1    _ORGANIZATION:_
J73 1030  1       The author of CRYSTAL STRUCTURES is Ralph W&G& Wyckoff,
J73 1040  2    University of Arizona, Tucson, Arizona. The first section
J73 1050  1    of this publication appeared in 1948 and the last supplement
J73 1050 11    in 1960. Though now complete, the publication is included
J73 1060  8    in this directory because of its importance and because
J73 1070  7    of the long-term nature of its preparation.
J73 1080  2    _SUBSTANCES:_
J73 1080  3       Elements, inorganic and organic compounds (no alloys).
J73 1090  3    _PROPERTIES:_
J73 1090  4       The data presented are derived almost entirely from
J73 1100  4    ~X-ray diffraction measurements and include atomic
J73 1110  2    coordinates, cell dimensions, and atomic and ionic
J73 1110  9    radii.
J73 1120  1    _SOURCES OF DATA:_
J73 1120  3       Published literature.
J73 1120  5    _CRITICALITY:_
J73 1120  6       The aim was to state the results of all available
J73 1130 10    determinations of atomic positions in crystals. Presumably
J73 1140  5    the tabulated data are best available values. The critical
J73 1150  4    comments in the textual sections of this publication
J73 1160  2    are invaluable.
J73 1170  1    _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_
J73 1170  3       The terminology used conforms to that of INTERNATIONALE
J73 1180  1    TABELLEN ZUR BESTIMMUNG VON KRISTALLSTRUKTUREN.
J73 1190  1    _CURRENCY:_
J73 1190  1       During the years of publication, supplement and
J73 1190  8    replacement sheets were issued periodically. Coverage
J73 1200  6    of the literature extends through 1954 and includes
J73 1210  5    some 1955 references. It is to be hoped that some way
J73 1220  4    will be found to keep this important work current.
J73 1230  1    _FORMAT:_
J73 1230  1       The publication form is that of loose-leaf sheets
J73 1230 10    (**f) contained in binders. The book is divided into
J73 1240  9    chapters and in each chapter the material is grouped
J73 1250  5    into Text, Tables, Illustrations, and Bibliography.
J73 1260  2    Each group is paginated separately; numbers sometimes
J73 1270  1    followed by letters are used so that insertions can
J73 1270 10    be made. Inorganic structures are found in Chapters
J73 1280  6    /2,-/12,, organic structures in Chapters /13,-/15,.
J73 1290  5    Within each chapter an effort has been made to group
J73 1300  4    together those crystals with similar structures. There
J73 1310  1    are three indexes, i&e&, an inorganic formula index,
J73 1310  9    a mineralogical name index, and a name index to organic
J73 1320  9    compounds.
J73 1330  1    _PUBLICATION AND DISTRIBUTION:_
J73 1330  3       Publisher of CRYSTAL STRUCTURES is Interscience
J73 1340  1    Publishers, 250 Fifth Avenue, New York 1, N& Y&. The
J73 1350  1    work consists of four sections and 5 supplements. Price
J73 1350 10    of the complete work including all necessary binders
J73 1360  6    is $148.50.
J73 1360  8    #/2,-4. DANA'S SYSTEM OF MINERALOGY#
J73 1370  4    _ORGANIZATION:_
J73 1370  5       Six editions of James Dwight Dana's SYSTEM appeared
J73 1380  6    between 1837 and 1892. In 1915 Edward S& Dana, editor
J73 1390  7    of the sixth edition, asked W& E& Ford of Yale University
J73 1400  6    to prepare a seventh edition of his father's work.
J73 1410  3    A number of people became involved in the preparation
J73 1420  1    but work was slow until 1937. In that year a grant
J73 1420 12    was obtained from the Penrose Fund of the Geological
J73 1430  7    Society of America to finance additional full-time
J73 1440  4    workers. Money was also advanced by the publishers,
J73 1450  1    John Wiley + Sons, Inc&. Volume /1, was completed in
J73 1450 11    1941 and published in 1944. The editors of this volume
J73 1460 10    and Volume /2, were the late Charles Palache, Clifford
J73 1470  7    Frondel, and the late Harry Berman, all of Harvard
J73 1480  5    University. Work on Volume /2, was begun in 1941, interrupted
J73 1490  5    by the war in 1942, and resumed in 1945. The volume
J73 1500  2    was completed in 1950 and published in 1951. A supplementary
J73 1510  1    grant from the Geological Society of America helped
J73 1510  9    finance its publication. Besides the editors there
J73 1520  6    were many contributors in the United States and Great
J73 1530  5    Britain to Volumes /1, and /2,. W& E& Ford, for example,
J73 1540  5    continued to supply data on the occurrence of minerals
J73 1550  3    until his death in 1939. Volume /3, is nearing completion
J73 1560  1    and there are plans to revise Volume /1,. The project
J73 1560 11    is currently supported by Harvard University.
J73 1570  5    _SUBSTANCES:_
J73 1570  6       Minerals.
J73 1580  1    _PROPERTIES:_
J73 1580  2       Crystallographic, physical, optical, and chemical
J73 1590  1    properties. The crystallographic data given include
J73 1590  7    interaxial angles and unit cell dimensions; the physical
J73 1600  7    property values include hardness, melting point, and
J73 1610  4    specific gravity.
J73 1610  6    _SOURCES OF DATA:_
J73 1620  1       Almost entirely original articles in journals; abstracts
J73 1620  7    and other compilations on rare occasions when original
J73 1630  6    papers are not available.
J73 1640  1    _CRITICALITY:_
J73 1640  2       All information is carefully appraised and uncertain
J73 1650  1    facts are designated by (?). An authentic diffraction
J73 1650  9    pattern is always obtained and optical properties are
J73 1660  8    frequently checked.
J73 1670  1    _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_
J73 1670  7       Recommendations of international authorities, such
J73 1680  5    as the International Union of Crystallography, are
J73 1690  4    followed. There is a complete synonymy at the beginning
J73 1700  3    of each species description.
J73 1700  7    _CURRENCY:_
J73 1700  8       Currency in the usual sense cannot be maintained
J73 1710  8    in an undertaking of this sort.
J73 1720  1    _FORMAT:_
J73 1720  2       The data are presented in text and tables in bound
J73 1730  1    volumes. Volume /1, of the seventh edition contains
J73 1730  9    an introduction and data for eight classes of minerals;
J73 1740  8    Volume /2, contains data for forty-two classes. References
J73 1750  6    are given at the end of each mineral description and
J73 1760  3    a general index is given at the end of each volume.
J73 1770  1    There will be a comprehensive index in Volume /3, covering
J73 1770 11    all three volumes.
J73 1780  3    _PUBLICATION AND DISTRIBUTION:_
J73 1780  6       Volume /1, (**f) of the seventh edition of DANA'S
J73 1790  7    SYSTEM OF MINERALOGY was published in 1944 and Volume
J73 1800  5    /2, (**f) in 1951 by John Wiley + Sons, Inc&, New York,
J73 1810  4    N& Y&. (The association of Wiley + Sons with the Dana
J73 1820  4    Mineralogies dates back to 1844 when they published
J73 1830  1    the second edition of the SYSTEM.) The two volumes
J73 1830 10    are available from the publisher for $14.00 and $16.00,
J73 1840  8    respectively.
J73 1840  9    #/2,-5. THE GROTH INSTITUTE#
J73 1850  4    _ORGANIZATION:_
J73 1850  5       "The Groth Institute", which was established in
J73 1860  5    1958, is a group activity affiliated with the Physics
J73 1870  4    Department of The Pennsylvania State University, University
J73 1880  2    Park, Pa&. Ray Pepinsky is the Director. The Institute
J73 1890  1    derives its name from Paul von Groth's CHEMISCHE
J73 1890  9    KRYSTALLOGRAPHIE,
J73 1900  1    a five-volume work which appeared between 1906 and
J73 1900 10    1919. The resident staff is large and consists of professional
J73 1910 10    assistants, graduate students, abstractors, librarian,
J73 1920  5    technical editor, machine operators, secretarial help,
J73 1930  4    and others. There are also corresponding members and
J73 1940  3    outside advisory groups. The Air Force Office of Scientific
J73 1950  1    Research has provided financial assistance in the early
J73 1950  9    stages of the Institute's program.
J73 1960  5    _SUBSTANCES:_
J73 1960  6       All crystalline substances and other solid-state
J73 1970  6    materials.
J73 1970  7    _PROPERTIES:_
J73 1970  8       The aim is to collect a very broad range of physical,
J73 1980 11    chemical, morphological, and structural data for crystals
J73 1990  6    on an encyclopedic scale and to seek all possible useful
J73 2000  5    and revealing correlations of properties with internal
J73 2010  2    structure.
J73 2010  3    _SOURCES OF DATA:_
J73 2010  6       The first stage of operation has centered on the
J73 2020  5    literature imaging of critical or summarizing tabulations
J73 2030  2    such as the Barker Index. Coverage of primary literature
J73 2040  1    will follow. Unpublished data will be available to
J73 2040  9    the Groth institute from cooperating groups and individuals.
J73 2050  6    _CRITICALITY:_
J73 2060  1       Critical evaluation of all data compiled is not
J73 2060  8    a primary aim of this project. However, the proposed
J73 2070  5    correlation of the many interrelated properties of
J73 2080  3    crystals will reveal discrepancies in the recorded
J73 2080 10    data and suggest areas for reinvestigation. In addition,
J73 2090  8    the availability of computers will permit recalculation
J73 2100  6    and refinement of much structural information.
J73 2120  1    _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_
J73 2120  2       For punched-card or tape storage of information
J73 2120 10    all literature values must be conformed to a common
J73 2130  9    language. In this way a degree of unification of nomenclature,
J73 2140  8    symbols, and units will be realized.
J74 0010  1    BECAUSE INDIVIDUAL CLASSES OF foods differ in their
J74 0010  9    requirements for preservation, a number of methods
J74 0020  7    have been developed over the years involving one or
J74 0030  4    a combination of procedures such as dehydration, fermentation,
J74 0040  2    salting, chemical treatment, canning, refrigeration,
J74 0040  7    and freezing. The basic objectives in each instance
J74 0050  8    are to make available supplies of food during the intervals
J74 0060  7    between harvesting or slaughter, to minimize losses
J74 0070  4    resulting from the action of microorganisms and insects,
J74 0080  2    and to make it possible to transport foods from the
J74 0080 12    area of harvest or production to areas of consumption.
J74 0090  8       In earlier years, the preservation of food was essentially
J74 0100  7    related to survival. In the more sophisticated atmosphere
J74 0110  5    of today's developed nations, food-preservation techniques
J74 0120  2    have sought also to bring variety, peak freshness,
J74 0130  1    and optimum taste and flavor in foods at reasonable
J74 0130 10    cost to the comsumer.
J74 0140  2       With the development of nuclear technology, isotopic
J74 0150  1    materials, and machine radiation sources in recent
J74 0150  8    years, the possibilities of applying ionizing radiation
J74 0160  5    to the preservation of foods attracted the attention
J74 0170  3    of investigators in the United States and throughout
J74 0180  1    the world. An early hope that irradiation might be
J74 0180 10    the ultimate answer to practically all food preservation
J74 0190  7    problems was soon dispelled. Interest remained, however,
J74 0200  4    in the possibility that it would serve as a useful
J74 0210  4    supplementary method for counteracting spoilage losses
J74 0220  1    and for preserving some foods at lower over-all costs
J74 0220 11    than freezing, or without employing heat or chemicals
J74 0230  6    with their attendant taste alterations.
J74 0240  1    #FACTORS RESPONSIBLE FOR THE SPOILAGE OF FOODS#
J74 0240  8    The chief factors responsible for the spoilage of fresh
J74 0250  8    foodstuffs are (1) microorganisms such as bacteria,
J74 0260  4    molds, and yeasts, (2) enzymes, (3) insects, (4) sprouting,
J74 0270  3    and (5) chemical reactions. Microorganisms are often
J74 0280  1    responsible for the rapid spoilage of foods. Of special
J74 0280 10    concern is the growth of bacteria such as Clostridium
J74 0290  8    botulinum which generate poisonous products. Enzymatic
J74 0300  4    action in stored food produces changes which can adversely
J74 0310  4    affect the appearance of food or its palatability.
J74 0320  1    Spoilage by chemical action results from the reaction
J74 0320  9    of one group of components in the food with others
J74 0330  8    or with its environment, as in corrosion of the walls
J74 0340  5    of metal containers or the reaction of fats with oxygen
J74 0350  2    in the air to produce rancidity.
J74 0350  8       Sprouting is a naturally occurring phenomenon in
J74 0360  4    stored potatoes, onions, carrots, beets, and similar
J74 0370  3    root vegetables. Insect infestation is a problem of
J74 0370 11    importance chiefly in stored grain. The presence of
J74 0380  8    parasitic organisms such as Trichinella spiralis in
J74 0390  6    pork introduces another factor which must be dealt
J74 0400  4    with in food processing.
J74 0400  8       To permit the storage of food for long periods of
J74 0410  7    time, a method of preservation must accomplish the
J74 0420  2    destruction of microorganisms and inhibition of enzymatic
J74 0430  1    action. The term "sterilization" applies to methods
J74 0430  8    involving essentially complete destruction of all microorganisms.
J74 0440  6    Food treated in this manner and protected from recontamination
J74 0450  7    by aseptic methods of packaging and containment presumably
J74 0460  4    could be stored for long periods without refrigeration.
J74 0470  2    The process of "pasteurization" involves milder and
J74 0480  2    less prolonged heat treatment which accomplishes the
J74 0480  9    destruction of most, but not all, of the microorganisms.
J74 0490  9    Less severe thermal treatment as by blanching or scalding
J74 0500  7    serves to inactivate enzymes.
J74 0510  1    #GENERAL EFFECTS OF IONIZING RADIATION#
J74 0510  5    Ionizing radiation can cause the destruction of microorganisms
J74 0520  5    and insects involved in food spoilage or, at lower
J74 0530  4    doses, can inhibit their action. It furnishes a means
J74 0540  1    of destroying insects in stored grain products as well
J74 0540 10    as certain parasitic organisms present in meats. Deactivation
J74 0550  6    of enzymes is also possible, although some types require
J74 0560  6    extremely heavy doses of 10 ~Mrad or more. Because
J74 0570  4    of undesirable flavors, odors, colors, and generally
J74 0580  1    low palatability associated with radiation treatment
J74 0580  7    of this magnitude, the inactivation of enzymes is best
J74 0590  7    accomplished prior to irradiation by the conventional
J74 0600  4    heat-processing methods of blanching.
J74 0610  1       Radiation does not retard the chemical spoilage
J74 0610  8    of food. It will, however, inhibit the sprouting of
J74 0620  6    potatoes and other root vegetables.
J74 0630  1       The radiation doses required for the preservation
J74 0630  8    of foods are in the following ranges:
J74 0640  6    _1._
J74 0640  7       For radiosterilization, to destroy all organisms
J74 0650  3    for long-term preservation- about 4.5 ~Mrad for nonacid
J74 0660  2    foods of low salt content.
J74 0660  7    _2._
J74 0660  8       For radiopasteurization, to partially destroy microorganisms;
J74 0670  5    results vary with types of food, storage conditions,
J74 0680  3    and objectives of treatment- commonly of the order
J74 0690  2    of 0.2 ~Mrads but up to about 0.8 ~Mrads.
J74 0690 11    _3._
J74 0690 12       For destruction of insects- about 25,000 ~rads.
J74 0700  7    _4._
J74 0700  8       For inhibiting the sprouting of root vegetables-
J74 0710  6    4,000 to 10,000 ~rads.
J74 0720  1       Preserving foods with ionizing radiation leads to
J74 0720  7    some undesirable side effects, particularly at the
J74 0730  5    higher radiation dosages. In this respect, the general
J74 0740  3    palatability and individual acceptance of most radiosterilized
J74 0750  1    foods has, to date, been found to be low in comparison
J74 0750 12    with fresh and commercially processed foods. A number
J74 0760  8    of foods are quite acceptable as regards taste and
J74 0770  6    palatability, however, at dosages substantially less
J74 0780  2    than sterilization levels. Moreover, the nutritive
J74 0780  8    value of irradiated foods apparently undergoes little,
J74 0790  7    if any, change, although some of the fat-soluble vitamins
J74 0800  7    are affected by sterilization doses.
J74 0810  2    #RADIATION SOURCES#
J74 0810  4    For irradiation of food, the results obtained depend
J74 0820  3    upon the dose rather than the specific type of radiation,
J74 0830  1    and X-ray, gamma, and high-energy electron radiation
J74 0830 10    are suitable. Aside from availability and economic
J74 0840  6    considerations, each has certain practical advantages;
J74 0850  3    for example, gamma rays give deeper penetration but
J74 0860  2    cannot be focused or collimated, whereas unidirectional
J74 0860  9    electron beams may be split and directed to both the
J74 0870 10    top and bottom of the food package to be irradiated.
J74 0880  6    Selection of a source for commercial irradiation would
J74 0890  2    involve consideration of numerous factors including
J74 0890  8    required dose rate, load factor, throughput, convenience,
J74 0900  7    safety, and most important, costs.
J74 0910  3       Of the potentially useful sources of ionizing radiations,
J74 0920  2    gamma sources, cobalt-60, cesium-137, fission products,
J74 0930  1    or a reactor irradiation loop system using a material
J74 0930 10    such as an indium salt have received most attention
J74 0940  6    for food-preservation systems. Of the various particle
J74 0950  5    accelerators, the Van de Graff machines, resonant transformers,
J74 0960  2    and linear accelerators are the principal ones available
J74 0970  1    for commercial use.
J74 0970  4       Costs of the effective energy produced by these
J74 0980  3    sources is a major obstacle in the development of
J74 0980 12    food-preservation
J74 0990  1    processes. Estimated production costs of radiation
J74 0990  7    energy from machine and nuclide sources range from
J74 1000  8    $1 to $10 per ~kwhr. Conventional energy for processing
J74 1010  4    foods is available in the range of at most a few cents
J74 1020  6    per ~kwhr for electric power and the equivalent of
J74 1030  2    a few mills per ~kwhr for process steam. Radiation,
J74 1030 11    therefore, is at an initial cost disadvantage even
J74 1040  7    though only 1 to 10 per cent as much radiation energy
J74 1050  4    as heat energy is required for radiopasteurization
J74 1060  1    or radiosterilization. What are the possibilities of
J74 1060  8    lowered radiation production costs for the future?
J74 1070  6    It has been estimated that for applications on a megawatt
J74 1080  5    scale costs might reach values in the neighborhood
J74 1090  1    of 10 cents per ~kwhr for large-scale accelerators
J74 1090 10    or for gamma radiation generated in a reactor core.
J74 1100  8    No comparable reductions in the cost of nuclide radiation
J74 1110  7    are foreseen. Such projections, however, appear highly
J74 1120  1    speculative and the capacities involved are far beyond
J74 1130  1    those foreseen for food-preservation facilities.
J74 1130  7       Because agricultural activities are seasonal and
J74 1140  5    the areas of production and harvest of many foods are
J74 1150  5    widely scattered geographically, and because of the
J74 1160  2    high cost of transporting bulk food items any substantial
J74 1160 11    distance to a central processing location, the use
J74 1170  8    of large central processing stations, where low-cost
J74 1180  5    radiation facilities approaching the megawatt range
J74 1190  2    might be utilized, is inherently impracticable.
J74 1190  8    #PRESENT STATUS OF IRRADIATION PRESERVATION OF FOODS#
J74 1200  6    The objective of complete sterilization of foods is
J74 1210  5    to produce a wholesome and palatable product capable
J74 1220  2    of being stored without refrigeration for extended
J74 1220  9    periods of time. Chief interest in radiosterilization
J74 1230  7    resides in the military services. For them, providing
J74 1240  5    appetizing food under battle or emergency conditions
J74 1250  2    is a paramount consideration. They require completely
J74 1260  1    sterile foods capable of being stored without refrigeration,
J74 1260  9    preferably items already cooked and ready to eat. High
J74 1270  9    nutritional value, variety, palatability, and appetizing
J74 1280  4    appearance are important for reasons of morale. Foods
J74 1290  4    for rear stations, which require cooking, but no refrigeration,
J74 1300  1    are also of interest. Of primary interest are meats.
J74 1300 10       Radiopasteurization, which produces fewer adverse
J74 1310  6    sensory changes in food products, has potential usefulness
J74 1320  7    in prolonging the keeping qualities of fresh and refrigerated
J74 1330  6    food items. Thus, food so processed might reach more
J74 1340  4    remote markets and permit the consumer to enjoy more
J74 1350  1    produce at peak freshness and palatability. Commercial
J74 1350  8    interest is chiefly in this type of treatment, as is
J74 1360  8    military interest under peacetime conditions.
J74 1370  2       The present status of food preservation by ionizing
J74 1380  1    radiation is discussed by food classes in the following
J74 1380 10    paragraphs.
J74 1390  1    _MEATS_
J74 1390  2       The radiation processing of meat has received extensive
J74 1400  1    investigation. To date, the one meat showing favorable
J74 1400  9    results at sterilization doses is pork. Of particular
J74 1410  7    interest to the military services is the demonstration
J74 1420  5    that roast pork, after radiosterilization, is superior
J74 1430  3    in palatability to available canned pork products.
J74 1430 10    Tests with beef have been largely unsuccessful because
J74 1440  8    of the development of off-flavors. A prime objective
J74 1450  7    of the Army Quartermaster Corps program is to find
J74 1460  5    the reasons for beef's low palatability and means of
J74 1470  2    overcoming it, since it is a major and desirable dietary
J74 1470 12    item. Partly because low-level heat treatment is needed
J74 1480  8    to inactivate enzymes before radiosterilization, treated
J74 1490  4    fresh meats have the appearance of boiled or canned
J74 1500  4    meat.
J74 1500  5       Off-flavor is a less severe problem with the
J74 1510  2    radiopasteurization
J74 1510  3    of meats, but problems of commercial acceptability
J74 1520  1    remain. Moderate radiation doses of from 100,000 to
J74 1520  9    200,000 ~rads can extend the shelf life (at 35 ~F)
J74 1530  9    of fresh beef from 5 days to 5 or 6 weeks. However,
J74 1540  7    the problem of consumer acceptability remains. The
J74 1550  2    preradiation blanching process discolors the treated
J74 1550  8    beef and liquid accumulates in prepackaged cuts. Cooked
J74 1560  8    beef irradiated in the absence of oxygen assumes an
J74 1570  7    unnatural pink color.
J74 1570 10       When lamb and mutton are irradiated at substerilization
J74 1580  7    doses, the meat becomes dehydrated, the fat become
J74 1590  5    chalky, and, again, unnatural changes in color occur.
J74 1600  3       Ground meats such as fresh pork sausage and hamburger
J74 1610  1    have a relatively short shelf life under refrigeration,
J74 1610  9    and radiopasteurization might be thought to offer distinctly
J74 1620  7    improved keeping qualities. However, a major problem
J74 1630  6    here is one of scale of processing; ground meats are
J74 1640  4    usually prepared from scrap meats at the local level,
J74 1650  2    whereas irradiation at economic volumes of production
J74 1650  9    would require central processing and distribution facilities.
J74 1660  6    The problems of color change by blanching and liquid
J74 1670  7    accumulation within the package are the same as for
J74 1680  5    solid cuts.
J74 1680  7       Specialty cooked items containing meat portions,
J74 1690  3    as in "frozen dinners" might offer a potential use
J74 1700  1    for radiopasteurization. The principal potential advantage
J74 1700  7    would be that the finished product could be transported
J74 1710  8    and stored at lower cost under refrigeration instead
J74 1720  4    of being frozen. A refrigerated item could also be
J74 1730  4    heated and served in less time than is required for
J74 1730 14    frozen foods of the same type.
J74 1740  6       Competitive processes for preserving meats are by
J74 1750  4    canning and freezing. Costs of canning meat are in
J74 1750 13    the range of 0.8 to 5 cents per pound; costs of freezing
J74 1760 12    are in the area of 2 to 3.5 cents per pound. The table
J74 1770 10    on page 10 shows costs of canning and freezing meat,
J74 1780  4    and estimated costs for irradiation under certain assumed
J74 1790  2    conditions. Under the conditions of comparison, it
J74 1790  9    will be noted that:
J74 1800  4    _(1)_
J74 1800  5       Radiosterilization (at 3 ~Mrad) is more expensive
J74 1810  2    than canning, particularly for the cesium-137 source.
J74 1820  1    _(2)_
J74 1820  1       Radiopasteurization by either the electron accelerator
J74 1820  7    or cesium-137 source is in the range of freezing costs.
J74 1830  9    _(3)_
J74 1830 10       Irradiation using the nuclide source is more expensive
J74 1840  8    than use of an electron accelerator.
J74 1850  1    _POULTRY_
J74 1850  2       Results of irradiation tests with poultry have been
J74 1860  2    quite successful. At sterilizing doses, good palatability
J74 1860  9    results, with a minimum of changes in appearance, taste,
J74 1870  9    and odor. Radiopasteurization has also been successful,
J74 1880  5    and the shelf life of chicken can be extended to a
J74 1890  6    month or more under refrigerated storage as compared
J74 1900  1    with about 10 days for the untreated product. Acceptable
J74 1900 10    taste and odor are retained by the irradiated and refrigerated
J74 1910  9    chicken. Acceptance of radiopasteurization is likely
J74 1920  5    to be delayed, however, for two reasons: (1) the storage
J74 1930  5    life of fresh chicken under refrigeration is becoming
J74 1940  3    a minimal problem because of constantly improved sanitation
J74 1950  1    and distributing practices, and (2) treatment by antibiotics,
J74 1950  9    a measure already approved by the Federal Food and
J74 1960  8    Drug Administration, serves to extend the storage life
J74 1970  7    of chicken at a low cost of about 0.5 cent per pound.
J74 1980  4    _SEAFOOD_
J74 1980  5       Fresh seafood products are extremely perishable.
J74 1990  2    Although refrigeration has served to extend the storage
J74 2000  1    life of these products, substantially increased consumption
J74 2000  8    might be possible if areas remote from the seacoast
J74 2010  7    could be served adequately.
J75 0010  1    Furthermore, it has made an exact assessment of the
J75 0010 10    removal mechanisms possible.
J75 0020  2       The instrument is shown in Fig& 1 and consists essentially
J75 0030  2    of a hard, sharp, tungsten carbide knife which is pushed
J75 0040  1    along the substrate to remove the coating. The force
J75 0040 10    required to accomplish removal is plotted, by means
J75 0050  6    of an electronic recorder, against distance of removal.
J75 0060  4    Since the removal force is a function of coating thickness,
J75 0070  2    a differential transformer pickup has been incorporated
J75 0070  9    into the instrument to accurately measure film thickness.
J75 0080  8    This, too, is recorded against distance by a repeat
J75 0090  7    run over the same track previously cut. A number of
J75 0100  5    adjustment features are included in the Hesiometer
J75 0110  1    to facilitate measurement and permit ready removal
J75 0110  8    of coatings deposited on such substrates as iron and
J75 0120  7    other metals, glass, wood, and plastic surfaces. The
J75 0130  4    measurement of topcoats on primers can also readily
J75 0140  1    be carried out.
J75 0140  4       Hesiometer results have been found to compare excellently
J75 0150  2    with manual knife scratching tests. The instrumental
J75 0160  1    method, however, is about 100 times more sensitive
J75 0160  9    and yields numerical results which can be accurately
J75 0170  6    repeated at wil over a period of time. If a wedge-shaped
J75 0180  5    coating of increasing thickness is removed from a substrate
J75 0190  3    by an instrument like the Hesiometer with a knife of
J75 0190 13    constant rake angle, a number of removal mechanisms
J75 0200  8    are often observed which depend upon the thickness
J75 0210  6    of the coating. At low thicknesses a cutting (or shearing)
J75 0220  4    phenomenon is often encountered. As the coating becomes
J75 0230  2    thicker, the cutting may abruptly change to a cracking
J75 0230 11    type of failure. If the coating becomes still thicker,
J75 0240  8    a peeling type failure finally can occur. The typical
J75 0250  6    appearance of these various mechanisms is illustrated
J75 0260  3    in Figs& 2, 3, and 4, which are single frame enlargements
J75 0270  1    of high speed movies taken during the course of the
J75 0270 11    knife removal process. It can be seen from Fig& 2 that
J75 0280 10    the cutting removal of a coating from its substrate
J75 0290  7    involves pure cohesive failure of the coating. The
J75 0300  3    molecular forces holding the coating to the substrate
J75 0300 11    are obviously greater than the cohesive strength of
J75 0310  8    the coating and failure occurs by shear along a plane
J75 0320  8    starting at the tip of the knife and extending to the
J75 0330  5    coating surface.
J75 0330  7       The pictures of Figs& 3 and 4 show the cracking
J75 0340  5    and peeling types of removal where the coating is detached
J75 0350  3    by failure in a region at, or close to, the interface
J75 0350 14    between coating and substrate.
J75 0360  4       If the force required to remove the coatings is
J75 0370  3    plotted against film thickness, a graph as illustrated
J75 0370 11    schematically in Fig& 5 may characteristically result.
J75 0380  7    Here, ~H is the coatings removal force measured parallel
J75 0390  8    to the surface of the substrate and ~t is the film
J75 0400  7    thickness. It can be seen that the force is characteristic
J75 0410  5    of the removal process and changes abruptly from cutting
J75 0420  3    to cracking to peeling removal. Also, it can be readily
J75 0430  1    seen that the cutting and peeling types of failure
J75 0430 10    show a steady state response, while the cracking mechanism
J75 0440  6    is of a dynamic nature.
J75 0450  1       It should be recalled that these three mechanisms
J75 0450  9    can occur on the same coating deposited upon the same
J75 0460  7    substrate merely as a function of changes in coatings
J75 0470  4    thickness. Presumably the interfacial bond strength
J75 0480  1    and gross cohesive properties are identical in each
J75 0480  9    case. What then, are the factors that contribute to
J75 0490  7    these phenomena? Why should the "practical adhesion"
J75 0500  4    of a coating as assessed by a knife method change,
J75 0510  2    initially increasing rather rapidly and then decreasing
J75 0510  9    stepwise to very low values as the knife is forced
J75 0520 10    through a coating of increasing thickness?
J75 0530  2    #CUTTING MECHANISM OF COHESIVE FAILURE#
J75 0530  7    The cutting (or shearing) removal process has been
J75 0540  8    previously described. It was found that the coating
J75 0550  7    is separated from its substrate entirely by cohesive
J75 0560  3    failure. The details of the removal process are shown
J75 0570  1    schematically in Fig& 6. The various forces result
J75 0570  9    from the reaction of the removed paint chip against
J75 0580  7    the face of the knife and along the shear plane, which
J75 0590  5    makes an angle ~|f with the substrate. The action and
J75 0600  3    reaction forces are ~R and **f, respectively and are
J75 0610  2    equal and opposite in direction. All the other force
J75 0610 11    vectors are derived from these. **f is the force required
J75 0620  9    to cut a coating of thickness ~t from the substrate.
J75 0630  5    **f is the shear force along the shear plane; **f and
J75 0640  4    **f are the thrust forces acting against coating and
J75 0650  2    knife, respectively; **f is the normal compressive
J75 0650  9    force acting on the shear plane; **f is the friction
J75 0660  9    force between chip and knife surfaces, and ~P is the
J75 0670  6    normal force acting on the face of the knife. ~|a is
J75 0680  4    the rake angle of the knife; ~|f is the angle the shear
J75 0690  3    plane makes with the substrate; ~|t is the friction
J75 0700  1    angle; and ~|b is the angle the resultants make with
J75 0700 11    the plane of the substrate.
J75 0710  3       An analysis of the vector relationships shows that
J75 0720  2    the rake angle ~|a and the friction angle ~|t determine
J75 0730  1    the vector direction **f of the force resultants ~R
J75 0730 10    and **f. Consequently, both the rake angle of the knife
J75 0740  8    as well as the friction occurring between the back
J75 0750  5    of the removed coating and the front of the knife will
J75 0760  3    determine in large part the detailed mechanism of the
J75 0760 12    cutting removal process.
J75 0770  3       It is difficult to measure the direction and magnitude
J75 0780  3    of ~R directly. In actual practice, the values most
J75 0790  1    readily amenable to measurement are the cutting force
J75 0790  9    **f and the shear angle ~|f. These two values and the
J75 0800  9    rake angle ~|a are sufficient to determine the other
J75 0810  6    parameters of these relationships. ~|a is defined by
J75 0820  5    the geometry of the knife; ~|f can readily be determined
J75 0830  3    by measuring the thickness of the coating before and
J75 0830 12    after cutting from the substrate; **f is instrumentally
J75 0840  8    determined. From Fig& 6 the relationship between these
J75 0850  7    parameters can readily be derived and the cutting force
J75 0860  6    is **f where ~|l is the shear strength of the coating
J75 0870  4    and is a parameter of the coatings material, ~w is
J75 0880  2    the width of the removed coating and ~t is its thickness.
J75 0890  1       If the cutting force, **f is plotted against film
J75 0890 10    thickness, a straight line should result passing through
J75 0900  8    the origin and having slope **f. However, in the actual
J75 0910  6    assessment of the cutting force by instrumental methods
J75 0920  2    for any thickness of coating a number of spurious effects
J75 0930  1    occur which must be taken into account and which make
J75 0930 11    the measured value larger than the true cutting force
J75 0940  8    indicated by eqn& (1).
J75 0950  1    #BLUNT KNIFE#
J75 0950  3    One of these is the fact that the knife employed, no
J75 0960  1    matter how well sharpened, will have a slightly rounded
J75 0960 10    cutting edge. This signifies that ~|a, the rake angle,
J75 0970  8    is no longer a constant to zero film thickness. The
J75 0980  6    curvature of this bluntness is, in the case of the
J75 0990  4    Carboloy knife employed in the Hesiometer, determined
J75 0990 11    by the grain sizes of the polished grit and the tungsten
J75 1000 11    carbide crystals cemented together in the knife body
J75 1010  7    and is in the order of 0.1 to 0.2 mil&.
J75 1020  2       The force vector concept of Fig& 6 can readily be
J75 1030  1    applied to this condition also. Because the rake angle
J75 1030 10    **f at the tip of the knife is very much smaller (or
J75 1040  9    even negative) when compared to the value of ~|a for
J75 1050  7    the major portion of the knife, a very rapid increase
J75 1060  2    in cutting force with thickness will result. This reduces
J75 1070  1    to the relationship: **f where **f is the intercept
J75 1070 10    at zero thickness of the extrapolation of the slope
J75 1080  7    indicated in eqn& (1), **f is the thickness of the
J75 1090  4    coating equivalent to the rounding off of the knife
J75 1100  1    tip, **f is a straight line first approximation of
J75 1100 10    this roundness, and the other symbols are equivalent
J75 1110  6    to those of eqn& (1). It can be seen that **f is a
J75 1120  6    constant, and is determined for the most part by the
J75 1130  1    geometry of the knife. The blunter the knife, the higher
J75 1130 11    is the value of **f. The importance of a hard, abrasion
J75 1140  9    resistant knife material like the Carboloy employed
J75 1150  5    in the Hesiometer immediately becomes apparent. Softer
J75 1160  3    knives would blunt very rapidly, making the value of
J75 1170  1    **f inexact. In extreme cases of very soft knives this
J75 1170 11    value may even change during the course of a measurement.
J75 1180  8    #KNIFE FRICTION#
J75 1180 10    A second factor which enters into the practical measurement
J75 1190  8    of the instrumentally determined cutting force is the
J75 1200  6    frictional resistance caused by the bottom of the knife
J75 1210  7    against the substrate. This is not a constant value
J75 1220  2    like **f, but varies with the thickness of the coating
J75 1220 12    and the direction and magnitude of the resultants ~R
J75 1230  8    and **f of Fig& 6. Under equilibrium conditions of
J75 1240  6    cutting the chip exerts a thrust **f against the knife
J75 1250  5    which tends to push it into the substrate or lift it
J75 1260  3    away from the substrate depending on the vector direction
J75 1260 12    of **f. The resultant friction force, **f is thus directly
J75 1270  9    proportional to **f and consequently also to film thickness.
J75 1280  8       The value of **f can readily be assessed by determining
J75 1290  7    the frictional force exerted on the knife while running
J75 1300  6    over the previously stripped coating track under various
J75 1310  3    external loadings. A straight line relationship is
J75 1310 10    usually observed in a plot of **f against load ~L,
J75 1320 10    having slope ~k, and **f Since the load ~L, under actual
J75 1330  9    cutting conditions is caused by **f, it can be seen
J75 1340  9    that **f
J75 1340 11       The measured force, ~H, in cutting removal of coatings
J75 1350  7    from their substrates consequently can be seen to be
J75 1360  6    the sum of that force required to cut the coating,
J75 1370  2    **f that due to the bluntness of the knife, **f, and
J75 1370 13    that due to the friction between the bottom of the
J75 1380  9    knife and the substrate, **f, or **f The first two
J75 1390  6    forces are directly interrelated and depend upon film
J75 1400  3    thickness, whereas **f is independent of these two
J75 1400 11    and is a constant for a given knife/coating combination.
J75 1410  7       These theoretical relationships are more clearly
J75 1420  5    illustrated in Fig& 7 and their sum can be seen to
J75 1430  6    correlate in form with practical measurements made
J75 1440  1    with the Hesiometer as illustrated in the first portion
J75 1440 10    of Fig& 5 for the cutting mechanism.
J75 1450  5    #CHIPPING MECHANISM OF COHESIVE FAILURE#
J75 1455  1    Although a large number of coatings systems, particularly
J75 1460  2    at low thicknesses fail cohesively by the cutting mechanism,
J75 1470  1    frequently a second type of cohesive failure may also
J75 1470 10    take place. This is a chipping, dynamic type failure
J75 1480  8    encountered with very brittle coatings resins or very
J75 1490  5    highly pigmented films. This is shown in the photomicrograph
J75 1500  3    of Fig& 8.
J75 1500  6       The basic difference between the continuous cutting
J75 1510  4    mechanism and that of the chipping mechanism is that
J75 1520  3    instead of shear occurring in the coating ahead of
J75 1520 12    the knife continuously without fracture, rupture intermittently
J75 1530  5    occurs along the shear plane. The detailed mechanisms
J75 1540  6    of this type of failure have been studied extensively
J75 1550  3    by MERCHANT for metal cutting, and the principles found
J75 1560  2    can be directly applied to coatings.
J75 1560  8       By studying high speed movies made of this type
J75 1570  8    of failure, the sequence of relationships as schematically
J75 1580  3    illustrated in Fig& 9 could be observed.
J75 1590  1       In the first picture (9~a) the knife is just beginning
J75 1590 11    to advance into the inclined surface which was left
J75 1600  8    from the previous chip formation. In the next, the
J75 1610  6    shear plane angle is high, and extends to the inclined
J75 1620  3    work surface. With increasing advance of the knife
J75 1620 11    into the coating the shear plane extends to the coatings
J75 1630 10    surface and the shear angle rapidly decreases. Eventually,
J75 1640  5    rupture occurs along the shear plane (9~e), and the
J75 1650  5    cycle repeats itself.
J75 1650  8       MERCHANT has found that the same basic relationships
J75 1660  8    which describe the geometry and force systems in the
J75 1670  6    case of the cutting mechanism can also be applied to
J75 1680  3    the discontinuous chip formation provided the proper
J75 1680 10    values of instantaneous shear angle and instantaneous
J75 1690  7    chip thickness or cross-sectional area are used. Consequently,
J75 1700  5    if the shear angle ~|f is replaced by the rupture angle
J75 1710  7    **f, the relationships as described in eqns& (1), (2),
J75 1720  4    (4), and (6) will directly apply.
J75 1720 10    #THE CRACKING MECHANISM#
J75 1730  2    Under equilibrium cutting conditions, the chip exerts
J75 1730  9    a force **f against the coating and an equal opposite
J75 1740 10    force **f against the knife in the plane of the substrate
J75 1750  9    as shown in Fig& 6. If the rake angle ~|a of the knife
J75 1760  7    is high enough and the friction angle ~|t between the
J75 1770  4    front of the knife and the back of the chip is low
J75 1780  1    enough to give a positive value for **f, the resultant
J75 1780 11    vector ~R will lie above the plane of the substrate.
J76 0010  1       Within only a few years, foamed plastics materials
J76 0010  9    have managed to grow into an integral, and important,
J76 0020  8    phase of the plastics industry- and the end is still
J76 0030  8    not yet in sight. Urethane foam, as only one example,
J76 0040  3    was only introduced commercially in this country in
J76 0040 11    1955. Yet last year's volume probably topped 100 million
J76 0050  9    lb& and expectations are for a market of 275 million
J76 0060  8    lb& by 1964. Many of the other foamed plastics, particularly
J76 0070  4    the styrenes, show similar growth potential. And there
J76 0080  3    are even newer foamed plastics that are yet to be evaluated.
J76 0090  2    As this issue goes to press, for example, one manufacturer
J76 0100  1    has announced an epoxy foam with outstanding buoyancy
J76 0100  9    and impact strength; another reports that a cellular
J76 0110  6    polypropylene, primarily for use in wire coating applications,
J76 0120  5    is being investigated.
J76 0120  8       On the following pages, each of the major commercial
J76 0130  8    foamed plastics is described in detail, as to properties,
J76 0140  6    applications, and methods of processing.
J76 0150  1       It might be well to point out, however, some of
J76 0150 11    the newer developments that have taken place within
J76 0160  7    the past few months which might have a bearing on the
J76 0170  7    future of the various foamed plastics involved. In
J76 0180  2    urethane foams, for example, there has been a definite
J76 0180 11    trend toward the polyether-type materials (which are
J76 0190  8    now available in two-component rigid foam systems)
J76 0200  4    and the emphasis is definitely on one-shot molding.
J76 0210  2    Most manufacturers also seem to be concentrating on
J76 0210 10    formulating fire-resistant or self-extinguishing grades
J76 0220  7    of urethane foam that are aimed specifically at the
J76 0230  6    burgeoning building markets. Urethane foam as an insulator
J76 0240  5    is also coming in for a good deal of attention. In
J76 0250  2    one outstanding example, Whirlpool Corp& found that
J76 0250  9    by switching to urethane foam insulation, they could
J76 0260  7    increase the storage capacity of gas refrigerators
J76 0270  4    to make them competitive with electric models. Much
J76 0280  2    interest has also been expressed in new techniques
J76 0280 10    for processing the urethane foams, including spraying,
J76 0290  6    frothing, and molding (see article, p& 391 for details).
J76 0300  6    And in meeting the demands for urethane foam as a garment
J76 0310  5    interlining, new adhesives and new methods of laminating
J76 0320  1    foam to a substrate have been developed.
J76 0320  8       New techniques for automatic molding of expandable
J76 0330  6    styrene beads have helped boost that particular material
J76 0340  4    into a number of new consumer applications, including
J76 0350  1    picnic chests, beverage coolers, flower pots, and flotation-type
J76 0360  1    swimming toys. Two other end-use areas which contributed
J76 0360 10    to expandable styrene's growth during the year were
J76 0370  7    packaging (molded inserts replacing complicated cardboard
J76 0380  4    units) and foamed-core building panels. Extruded expandable
J76 0390  3    styrene film or sheet- claimed to be competitive price-wise
J76 0400  3    with paper- also showed much potential, particularly
J76 0410  1    for packaging. Sandwich panels for building utility
J76 0410  8    shelters that consist of kraft paper skins and rigid
J76 0420  8    styrene foam cores also aroused interest in the construction
J76 0430  5    field.
J76 0430  6       In vinyl foam, the big news was the development
J76 0440  4    of techniques for coating fabrics with the material
J76 0450  1    (for details, see P& 395). Better "hand", a more luxurious
J76 0460  1    feel, and better insulating properties were claimed
J76 0460  8    to be the result. Several companies also saw possibilities
J76 0470  6    in using the technique for extruding or molding vinyl
J76 0480  5    products with a slight cellular core that would reduce
J76 0490  3    costs yet would not affect physical properties of the
J76 0490 12    end product to any great extent.
J76 0500  6       Readers interested in additional information on
J76 0510  3    foams are referred to the Foamed Plastics Chart appearing
J76 0520  1    in the Technical Data section and to the list of references
J76 0520 12    which appears below.
J76 0530  3    #URETHANE FOAMS#
J76 0530  5    @ Since the mid 1950s, when urethane foam first made
J76 0540  5    its appearance in the American market, growth has been
J76 0550  3    little short of fantastic. Present estimates are that
J76 0550 11    production topped the 100-million-lb& mark in 1960
J76 0560  9    (85 to 90 million lb& for flexible, 10 or 11 million
J76 0570  8    lb& for rigid); by 1965, production may range from
J76 0580  4    200 to 350 million lb& for flexible and from 115 to
J76 0590  2    150 million lb& for rigid. The markets that have started
J76 0590 12    to open up for the foam in the past year or so seem
J76 0600 12    to justify the expectations. Furniture upholstery,
J76 0610  3    as just one example, can easily take millions of pounds;
J76 0620  3    foamed refrigerator insulation is under intensive evaluation
J76 0630  1    by every major manufacturer; and use of the foam for
J76 0630 11    garment interlining is only now getting off the ground,
J76 0640  9    with volume potential in the offing.
J76 0650  4    _BASIC CHEMISTRY_
J76 0650  6       Urethane foams are, basically, reaction products
J76 0660  3    of hydroxyl-rich materials and polyisocyanates (usually
J76 0670  1    tolylene diisocyanate). Blowing can be either one of
J76 0670  9    two types- carbon dioxide gas generated by the reaction
J76 0680 10    of water on the polyisocyanate or mechanical blowing
J76 0690  4    through the use of a low-boiling liquid such as a fluorinated
J76 0700  5    hydrocarbon.
J76 0700  6       The most important factor in determining what properties
J76 0710  5    the end-product will have is quite naturally the type
J76 0720  3    of hydroxyl-rich compound that is used in its production.
J76 0730  1    Originally, the main types used were various compositions
J76 0730  9    of polyesters. These are still in wide use today, particularly
J76 0740  9    in semi-rigid formulations, for such applications as
J76 0750  6    cores for sandwich-type structural panels, foamed-in-place
J76 0760  5    insulation, automotive safety padding, arm rests, etc&.
J76 0770  3    More recently, polyethers- again in varied compositions,
J76 0780  1    molecular weights, and branching- have come into use
J76 0780  9    at first for the flexible foams, just lately for the
J76 0790  9    rigids. The polyether glycols are claimed to give flexible
J76 0800  6    urethanes a spring-back action which is much desired
J76 0810  4    in cushioning.
J76 0810  6       Although the first polyether foams on the market
J76 0820  4    had to be produced by the two-step prepolymer method,
J76 0830  1    today, thanks to new catalysts, they can be produced
J76 0830 10    by a one-shot technique. It is possible that the polyether
J76 0840  8    foams may soon be molded on a production basis in low-cost
J76 0850  8    molds with more intricate contours and with superior
J76 0860  4    properties to latex foam.
J76 0860  8       The polyester urethane foam is generally produced
J76 0870  5    with adipic acid polyesters; the polyether group generally
J76 0880  3    consists of foams produced with polypropylene glycol
J76 0890  1    or polypropylene glycol modified with a triol.
J76 0900  1    _ONE SHOT VS& PREPOLYMER_
J76 0900  2       In the prepolymer system, the isocyanate and resin
J76 0900 10    are mixed anhydrously and no foaming occurs. The foaming
J76 0910  9    can be accomplished at some future time at a different
J76 0920  8    location by the addition of the correct proportion
J76 0930  3    of catalyst in solution. In one-shot, the isocyanate,
J76 0940  1    polyester or polyether resin, catalyst, and other additives
J76 0940  9    are mixed directly and a foam is produced immediately.
J76 0950  9    Basically, this means that simpler processing equipment
J76 0960  5    (the mixture has good flowing characteristics) and
J76 0970  2    less external heat (the foaming reaction is exothermic
J76 0980  1    and develops internal heat) are required in one-shot
J76 0980 10    foaming, although, at the same time, the problems of
J76 0990  8    controlling the conditions of one-shot foaming are
J76 1000  5    critical ones.
J76 1000  7    _PROPERTIES_
J76 1000  8       Most commercial uses of urethane foams require densities
J76 1010  7    between 2 and 30 lb&/cu& ft& for rigid foams, between
J76 1020  6    1 and 3 lb&/cu& ft& for flexible foams. This latter
J76 1030  4    figure compares with latex foam rubber at an average
J76 1040  1    of 5.5 lb&/cu& ft& in commercial grades.
J76 1050  1    _COMPRESSION STRENGTH:_
J76 1050  1       Graph in Fig& 1, p& 392, indicates how the ratio
J76 1050 11    of compressive strength to density varies as the latter
J76 1060  9    is increased or decreased. The single curve line represents
J76 1070  7    a specific formulation in a test example. By varying
J76 1080  6    the formula, this curve may be moved forward or backward
J76 1090  3    along the coordinates to produce any desired compression
J76 1100  1    strength/density ratio.
J76 1110  1    _THERMAL CONDUCTIVITY AND TEMPERATURE RESISTANCE:_
J76 1110  1       In flexible urethane foams, we are referring to
J76 1110  9    the range between the highest and lowest temperatures
J76 1120  7    under which the materials' primary performance remains
J76 1130  4    functionally useful. In temperature resistance, this
J76 1140  3    quality is usually related to specific properties,
J76 1150  1    e&g&, flexural, tensile strengths, etc&. Thermal conductivity
J76 1150  8    is directly traceable to the material's porous, air-cell
J76 1160  9    construction which effectively traps air or a gas in
J76 1170  9    the maze of minute bubbles which forms its composition.
J76 1180  4    These air or gas bubbles make highly functional thermal
J76 1190  2    barriers. The ~K factor, a term used to denote the
J76 1190 12    rate of heat transmission through a material (B&t&u&/sq&
J76 1200  8    ft& of material/hr&/`F&/in& of thickness) ranges from
J76 1210  7    0.24 to 0.28 for flexible urethane foams and from 0.12
J76 1220  8    to 0.16 for rigid urethane foams, depending upon the
J76 1230  5    formulation, density, cell size, and nature of blowing
J76 1240  3    agents used. Table /1,, p& 394, shows a comparison
J76 1240 12    of ~K factor ratings of a number of commercial insulating
J76 1250 10    materials in common use, including two different types
J76 1260  8    of rigid urethane foam.
J76 1270  1    _FLEXURAL STRENGTH:_
J76 1270  2       This term refers to the ability of a material to
J76 1280  2    resist bending stress and is determined by measuring
J76 1280 10    the load required to cause failure by bending. The
J76 1290  7    higher-density urethane semi-rigid foams usually have
J76 1300  4    stronger flex fatigue resistance, i&e&, the 12 lb&/cu&
J76 1310  3    ft& foam has 8 times the flexural strength of the 3
J76 1320  2    lb&/cu& ft& density. Note that flexural strength is
J76 1320 10    not always improved by simply increasing the density,
J76 1330  7    nor is the change always proportional from one formulation
J76 1340  5    to another. Where flexural strength is an important
J76 1350  4    factor, be sure that your urethane foam processor is
J76 1360  1    aware of it.
J76 1360  4    _TENSILE STRENGTH:_
J76 1360  6       This property refers to the greatest longitudinal
J76 1370  2    stress or tension a material can endure without tearing
J76 1380  1    apart. Like compression strength of urethane foams,
J76 1380  8    it has a direct relationship to formulation. Exceptional
J76 1390  5    tensile strength is another of urethane foam's strong
J76 1400  5    features. Figure 2, above, shows the aging properties
J76 1410  3    of urethane foams as determined by the percent of change
J76 1420  1    in tensile strength during exposure to ultra-violet
J76 1420  9    light.
J76 1430  1    _PROCESSING URETHANES_
J76 1430  2       There are many ways of producing a foamed urethane
J76 1440  1    product. The foam can be made into slab stock and cut
J76 1440 12    to shape, it can be molded, it can be poured-in-place,
J76 1450 10    it can be applied by spray guns, etc&.
J76 1460  3       Slab stock is still one of the most important forms
J76 1470  1    of urethane end-product in use today. Basically, the
J76 1470 10    foam machines that produce such stock consist of two
J76 1480  8    or more pumping units, a variable mixer, a nozzle carriage
J76 1490  5    assembly, and, in many cases, a conveyor belt to transport
J76 1500  4    and contain the liquid during the reaction process
J76 1510  1    and until it solidifies into foam. The ingredients
J76 1510  9    are fed from tanks through a hose and into the mixer
J76 1520  8    at a predetermined rate. The mixing head moves back
J76 1530  4    and forth slowly across the width of the receptacle.
J76 1540  1    It only takes a few minutes for the foaming action
J76 1540 11    to be completed and after a short cure, the material
J76 1550  8    can be cut into lengths as desired.
J76 1560  1       Much has been done in the way of ingenious slitters
J76 1560 11    to fabricate the slab stock into finished products.
J76 1570  7    Profile cutting machines are available which can split
J76 1580  6    foam to any desired thickness and produce sine, triangle,
J76 1590  3    trapezoid, and other profiles in variable heights,
J76 1600  1    dimensions, etc&. The convoluted sheets can be combined
J76 1600  9    to attain certain cushioning effects mechanically rather
J76 1610  6    than chemically. Also available is a slitter which
J76 1620  6    "peels" the inside of a folded block of foam and can
J76 1630  5    be used to slit continuous sheets up to 300 yd& in
J76 1640  1    length, down to 1/16 in& thick.
J76 1640  7       The low cost and ease of fabrication of the dies
J76 1650  4    for three-dimensional foam cutting plus the wide variety
J76 1660  2    of shapes, dimensions, and contours that can be tailor-made
J76 1660 12    to customer requirements has made the technique useful
J76 1670  8    for producing case liners, materials handling containers,
J76 1680  5    packaging and cushioning devices, and such novelties
J76 1690  4    as soap dishes, toys, head rests, arch supports, and
J76 1700  2    gas pedal covers.
J76 1700  5    _MOLDING_
J76 1700  6       Although slab stock appeared first, it soon became
J76 1710  5    apparent that for the production of cushions with irregular
J76 1720  2    shapes, crowned contours, or rounded edges, the cutting
J76 1720 10    of slab stock is a wasteful and uneconomical process.
J76 1730  9    Only by resorting to molding techniques can the cushion
J76 1740  7    manufacturer hope to compete satisfactorily in the
J76 1750  3    established cushion market.
J76 1750  6       The closed molding of flexible urethane foams has
J76 1760  6    been a problem ever since the introduction of the material
J76 1770  4    (molding in open molds was more feasible). Satisfactory
J76 1780  2    methods for polyester foams and even prepolymer polyether
J76 1790  1    foams were never fully achieved. Closed molding generally
J76 1790  9    resulted in parts weighing more (because of higher
J76 1800  8    density) than parts fabricated from free-blown foams.
J76 1810  5    This counteracted the gain from having no scrap loss.
J76 1820  2    In addition, there were difficulties with the flow
J76 1820 10    and spreading of the foam mixture over the mold surface,
J76 1830  9    trouble with lack of gel strength in the rising foam,
J76 1840  7    and problems of splits. The introduction of one-shot
J76 1850  4    polyether foam systems, aided by the development of
J76 1860  1    new catalysts, helped to alleviate some of the problems
J76 1860 10    of closed molding. While there are still many bugs
J76 1870  7    to be ironed out, the technique is fast developing.
J76 1880  4    _OTHER TECHNIQUES_
J76 1880  6       Simple systems are available that make it possible
J76 1890  5    for urethane foam components to be poured, pumped,
J76 1900  1    etc&, into a void where they foam up to fill the void.
J76 1900 13    In a typical application- the making of rigid urethane
J76 1910  8    foam sandwich panels- an amount of foam mixture calculated
J76 1920  9    to expand 10 to 20% more than the volume of the panel
J76 1930  7    is poured into the panel void and the top of the panel
J76 1940  4    is locked in place by a jig.
J77 0010  1    Temperature of the wash and rinse waters is maintained
J77 0010 10    at 85-90`F& (29-32`C&). The top rolls are loaded with
J77 0020  9    40 lbs&. Sixty lbs& loading is possible but 40 lbs&
J77 0030  8    is adequate.
J77 0030 10       The suds box drain is arranged at the start to deliver
J77 0040 10    into the raised main drain pipe (thus returning suds
J77 0050  5    to soap box) and the machine is started. The 160-ml&
J77 0060  4    bath containing the calculated amount of detergent
J77 0060 11    is applied slowly and directly to the running specimen.
J77 0070  9    Washing is continued for 30 minutes or for a period
J77 0080  8    of time sufficient to allow 100 nips or passes through
J77 0090  4    the squeeze rolls. At the conclusion of the washing,
J77 0100  1    8 liters of water at 90`F& (32`C&) are automatically
J77 0100 10    metered from the rinse reservoir to the washing tubs,
J77 0110  9    4 liters to each tub. This operation requires from
J77 0120  5    10 to 12 minutes. During the rinsing operation the
J77 0130  3    volume in the tubs gradually increases until overflow
J77 0140  1    from the main drain begins. At this point the drains
J77 0140 11    are readjusted so that the suds box drain will discharge
J77 0150  8    directly into the waste line and the main tub drain
J77 0160  6    is set at the 2-1/2 mark on the drain gauge. When all
J77 0170  2    of the rinse water has passed from the reservoir to
J77 0170 12    the tubs the main drains are lowered to permit complete
J77 0180  8    draining of the tubs. The run is complete when all
J77 0190  6    the water has drained off into the waste line.
J77 0200  1       By this procedure rinsing progresses in two stages,
J77 0200  9    first by dilution until the time when the drains are
J77 0210 10    separated and thereafter by displacement of the soil-bearing
J77 0220  7    liquor by clean rinse water, since soiled liquor squeezed
J77 0230  4    from the specimens at the nip passes directly to waste
J77 0240  3    from the suds box drains. This method of rinsing appears
J77 0250  1    to produce maximum cleansing with minimum soil redeposition.
J77 0250  9    #SUGGESTED EVALUATION AND CLASSIFICATION#
J77 0260  4    Evaluation may be made on either a soil-removal or
J77 0270  6    a grease-removal basis as desired. A reflectance-measuring
J77 0280  1    instrument may be desirable to measure cleaning, whereas
J77 0290  1    Soxhlet extraction is necessary to measure grease removal.
J77 0300  1    #PURPOSE AND SCOPE#
J77 0300  4    This test method is intended for determining the dimensional
J77 0310  3    changes of woven or knitted fabrics, made of fibers
J77 0310 12    other than wool, to be expected when the cloth is subjected
J77 0320 11    to laundering procedures commonly used in the commercial
J77 0330  7    laundry and the home. Four washing test procedures
J77 0340  4    are established, varying in severity from very severe
J77 0350  2    to very mild, and are intended to cover the range of
J77 0350 13    practical washing from commercial procedure to hand
J77 0360  7    washing. Five drying test procedures are established
J77 0370  4    to cover the range of drying techniques used in the
J77 0380  4    home and commercial laundry. Three methods for determining
J77 0390  1    the dimensional restorability characteristics are established
J77 0390  7    for those textiles which require restoration by ironing
J77 0400  7    or wearing after laundering. These tests are not accelerated
J77 0410  6    and must be repeated to evaluate dimensional changes
J77 0420  3    after repeated launderings.
J77 0420  6       Table /1, summarizes all of the various washing,
J77 0430  7    drying, and restoration procedures available. The person
J77 0440  4    using these tests must determine which combination
J77 0450  1    of procedures is practical for any specific item in
J77 0450 10    order to evaluate the dimensional changes of textile
J77 0460  7    fabrics or garments after laundering procedures commonly
J77 0470  4    used in the home or commercial laundry. It is possible
J77 0480  4    to identify the test procedure completely with a code
J77 0490  1    consisting of a Roman Numeral, a letter, and an Arabic
J77 0490 11    number. For example Test /3, ~E 1 refers to a specimen
J77 0500 10    which has been washed by procedure "/3," (at 160`F&
J77 0510  6    for a total of 60 minutes in the machine, has been
J77 0520  6    dried in a tumble dryer by procedure "~E" and has been
J77 0530  4    subjected to restorative forces on the Tension Presser
J77 0540  2    by procedure "1".
J77 0540  5    #PRINCIPLE#
J77 0540  6    A specimen or garment is washed in a cylindrical reversing
J77 0550  7    wash wheel, dried and subjected to restorative forces
J77 0560  4    where necessary. Temperature and time of agitation
J77 0570  1    in the wash wheel are varied to obtain different degrees
J77 0570 11    of severity. Drying procedures and application of restorative
J77 0580  7    force procedures are varied to conform with end-use
J77 0590  8    handling during home or commercial laundering. Distances
J77 0600  3    marked on the specimen in warp and filling directions
J77 0620  2    (or wales and courses for knitted fabrics) are measured
J77 0620 11    before and after laundering.
J77 0630  4    #APPARATUS AND MATERIALS#
J77 0640  1    _WASH WHEEL- CYLINDRICAL WASH WHEEL OF THE REVERSING
J77 0640  9    TYPE._
J77 0640 10       The wheel (cage) is 20 to 24 inches inside diameter
J77 0650  8    and 20 to 24 inches inside length. There are three
J77 0660  3    fins each approximately three inches wide extending
J77 0660 10    the full length of the inside of the wheel. One fin
J77 0670 10    is located every 120` around the inside diameter of
J77 0680  6    the wheel. The wash wheel rotates at a speed of 30
J77 0690  4    revolutions per minute, making five to ten revolutions
J77 0690 12    before reversing. The water inlets are large enough
J77 0700  8    to permit filling the wheel to an eight-inch level
J77 0710  7    in less than two minutes, and the outlet is large enough
J77 0720  4    to permit discharge of this same amount of water in
J77 0730  1    less than two minutes. The machine is equipped with
J77 0730 10    a pipe for injecting live steam that is capable of
J77 0740  7    raising the temperature of water at an eight-inch level
J77 0750  5    from 110` to 140`F& (38` to 60`C&) in less than two
J77 0760  4    minutes. The machine shall contain an opening for the
J77 0770  1    insertion of a thermometer or other equivalent equipment
J77 0770  9    for determining the temperature of the water during
J77 0780  7    the washing and rinsing procedures. It is equipped
J77 0790  4    with an outside water gauge that will indicate the
J77 0800  1    level of the water in the wheel.
J77 0800  8       A domestic automatic washer that will give equivalent
J77 0810  5    results may be used. The wash wheel is the equipment
J77 0820  2    preferred for the test.
J77 0830  1    _PRESSING EQUIPMENT- FLAT-BED PRESS MEASURING 24 INCHES
J77 0830  5    BY 50 INCHES OR LARGER._
J77 0830 10       Any flat-bed press capable of pressing a specimen
J77 0840  6    22 inches square may be used as an alternative. The
J77 0850  3    flat-bed press is maintained at a temperature not less
J77 0860  1    than 275`F& (135`C&).
J77 0870  1    _DRYER- DRYER OF THE ROTARY TUMBLE TYPE, HAVING A CYLINDRICAL
J77 0880  1    BASKET APPROXIMATELY 30 INCHES IN DIAMETER AND 24 INCHES
J77 0890  1    IN LENGTH AND ROTATING AT APPROXIMATELY 35 R&P&M&._
J77 0890  1       The dryer is provided with a means of maintaining
J77 0890 10    a drying temperature of 120`-160`F& (49`-71`C&), measured
J77 0900  7    in the exhaust vent as close as possible to the drying
J77 0910  9    chamber.
J77 0920  1    _SCREEN DRYING RACKS- 16-MESH SCREENING (SARAN OR VELON)._
J77 0930  1       _DRYING ROOM-FACILITIES FOR DRIP- OR LINE-DRYING._
J77 0940  1       _EXTRACTOR- CENTRIFUGAL EXTRACTOR OF THE LAUNDRY-TYPE
J77 0950  1    WITH A PERFORATED BASKET, APPROXIMATELY 11 INCHES DEEP
J77 0950  3    BY 17 INCHES IN DIAMETER, WITH AN OPERATING SPEED OF
J77 0960  1    APPROXIMATELY 1,500 R&P&M&._
J77 0970  1       _PEN AND INK, INDELIBLE- OR OTHER SUITABLE MARKING
J77 0970  3    DEVICE._
J77 0970  4       _MEASURING SCALE-._
J77 0980  1       _SOAP, NEUTRAL CHIP- FED& SPEC& ~P ~S 566 OR ~ASTM
J77 0990  1    ~D-496._
J77 1000  1       _SOFTENER- E&G& SODIUM METAPHOSPHATE OR SODIUM
J77 1000  7    HEXAMETAPHOSPHATE
J77 1000  1    (IF NEEDED IN HARD WATER AREAS)._
J77 1010  1       _DETERGENT, SYNTHETIC- ALKYLARYSULFONATE TYPE._
J77 1020  1       _FLATIRON, ELECTRIC- APPROXIMATELY 3 LB&_
J77 1020  3       _TENSION PRESSER- CONSISTING OF A PADDED IRONING
J77 1030  1    BOARD FROM WHICH EXTEND CLAMPING MEMBERS ON ALL FOUR
J77 1030  9    SIDES._
J77 1030 10       Two of the clamps are fixed to the edges of the
J77 1040  9    board whereas two clamps travel on guide rails opposite
J77 1050  4    the fixed clamps. The movable clamps travel on carriages
J77 1060  2    which ride the rails and are drawn by dead-weight loading.
J77 1070  1    Sets of weights are provided so that the load can be
J77 1070 12    selected in the range of 1/2 to 4 pounds. A perforated
J77 1080  9    aluminum plate, used to provide the drying surface,
J77 1090  4    is heated by means of a flatiron. A special template
J77 1100  1    is furnished with the apparatus to enable marking a
J77 1100 10    specimen for a central measuring area and the fabric
J77 1110  8    extensions to the clamps (see Fig& 2).
J77 1130  1    _KNIT SHRINKAGE GAUGE- CONSISTING OF A SET OF 20 MOUNTING
J77 1130  1    PINS SET IN GUIDES IN RADIAL SLOTS (FIG&1)._
J77 1130  9       Each pin is individually sprung to a tensioning
J77 1140  5    member which is driven outwardly in the slot. The springs
J77 1150  5    have an extension of 1 inch at **f tension. The tensioning
J77 1160  2    members have a common drive so that the application
J77 1160 11    of restorative force takes place simultaneously in
J77 1170  6    all directions in the plane of the test specimen. The
J77 1180  6    minimum diameter of the pin frame in the collapsed
J77 1190  2    state is 11 inches and the maximum diameter in the
J77 1190 12    freely extended state (unloaded) is 14 inches. The
J77 1200  8    surface of the apparatus in contact with the test specimen
J77 1210  7    is uncluttered and polished so as to be as friction-free
J77 1220  6    as possible.
J77 1220  8    #TEST SPECIMENS#
J77 1220 10    The preparation of test specimens will vary depending
J77 1230  7    upon the type of dimensional restorability procedure
J77 1240  3    (if any) to be used.
J77 1240  8       Three specimens for each sample to be tested are
J77 1250  8    required in order to arrive at a satisfactory average
J77 1260  2    of performance. This is especially true for knitted
J77 1270  1    fabrics.
J77 1270  2       Specimens are allowed to reach moisture equilibrium
J77 1270  9    with a standard atmosphere of **f and **f and then
J77 1280 10    laid out without tension on a flat, polished surface,
J77 1290  6    care being taken that the fabric is free from wrinkles
J77 1300  4    or creases. Fabrics that are badly distorted in their
J77 1310  1    unlaundered state due to faulty finishing may give
J77 1310  9    deceptive dimensional change results when laundered
J77 1320  5    by any procedure. This also holds true if restorative
J77 1330  3    forces are applied. Therefore, it is recommended that
J77 1340  1    in such cases the sample be replaced, or if used, the
J77 1340 12    results of dimensional change or dimensional restorability
J77 1350  5    tests be considered as indicative only.
J77 1360  2       Generally, it is necessary to mark distances on
J77 1370  1    a specimen (or garment) in both lengthwise and widthwise
J77 1370 10    directions and to measure before and after laundering.
J77 1380  7    The distances may be marked with indelible ink and
J77 1390  5    a fine-point pen, by sewing fine threads into the fabric,
J77 1400  3    or by a specially designed stamping machine. The marked
J77 1400 12    distances are parallel to the respective yarns. Usually,
J77 1410  8    the greater the original distances marked, the greater
J77 1420  6    will be the accuracy of the test. Distances of less
J77 1430  5    than 10 inches are not recommended.
J77 1440  1    _WOVEN FABRICS TO BE DRIED BY PROCEDURE ~B (FLAT-BED
J77 1450  1    PRESSED) OR RESTORED BY PROCEDURE 3 (HAND IRONING):_
J77 1450  5       The specimen of fabric is a rectangle at least 22
J77 1460  4    by 22 inches, except for cloth narrower than 22 inches,
J77 1470  1    in which case the specimen is the entire width of the
J77 1470 12    fabric. Three distances, each at least 18 inches, are
J77 1480  8    measured and marked off parallel to each of the warp
J77 1490  6    and filling directions. The distances are at least
J77 1500  2    two inches from any edge of the specimen.
J77 1510  1    _WOVEN OR WARP KNITTED FABRICS TO BE SUBJECTED TO RESTORATIVE
J77 1520  1    PROCEDURE 1 (TENSION PRESSER)._
J77 1520  1       Each specimen is at least 25 inches by 25 inches.
J77 1520 11    Place the template (Fig& 2) on the fabric so that the
J77 1530  9    sides of the 10 inch square cut out of the template
J77 1540  6    are parallel to the warp and filling for woven fabrics,
J77 1560  2    or the wales and courses for knitted fabrics, and so
J77 1560 12    that the same amount of fabric extends beyond the edges
J77 1570  9    of the template on all sides. Mark the specimen at
J77 1580  6    the outer edges of the template with pen and indelible
J77 1590  3    ink; also place three dots on the specimen at each
J77 1600  1    side of the 10 inch square, one dot at midpoint, and
J77 1600 12    one at approximately 1/2 inch from each corner. Measure
J77 1610  7    and record.
J77 1620  1    _CIRCULAR KNITTED FABRICS TO BE SUBJECTED TO RESTORATIVE
J77 1630  1    PROCEDURE 2, (KNIT SHRINKAGE GAUGE)._
J77 1630  2       Each specimen is approximately 16 inches square.
J77 1630  9    The markings consist of a centrally located 10 inch
J77 1640  8    diameter measuring circle and a 14 inch diameter circle
J77 1650  7    of 20 dots equidistantly spaced (See Figure 1).
J77 1660  3    _GARMENTS._
J77 1660  4       Critical measurements in length and width directions
J77 1670  2    should be taken before and after washing, drying, and
J77 1670 11    restorative procedures.
J77 1680  2    #PROCEDURE#
J77 1680  3    _WASHING-_
J77 1680  4       The washing procedures are summarized in Table /2,.
J77 1690  7       Place the specimen in the wash wheel with sufficient
J77 1700  7    other similar fabric to make a dry load of **f pounds.
J77 1710  5    Start the wash wheel and note the time. Immediately
J77 1720  1    add water at 100-105`F& (38-43`C&) to the wheel to
J77 1720 12    a level of **f inches; this level will be increased
J77 1730  9    by condensed steam. When this water level has been
J77 1740  7    reached, inject steam into the wheel until the temperature
J77 1750  3    reaches that shown in Column ~B of Table /2,. Add sufficient
J77 1760  3    soap (and softener if required to counteract hard water)
J77 1770  2    to furnish a good running suds, or if desired use a
J77 1770 13    synthetic detergent.
J77 1780  1    _TEST /1,_
J77 1780  3       - Stop the wash wheel at the end of the time shown
J77 1800  2    in Column ~A of Table /2, and drain. Refill the machine
J77 1810  1    to a level of **f inches with water at 100-109` F&
J77 1810 13    (38-43` C&) and start the machine. Inject steam, if
J77 1820  8    necessary, to reach the temperature shown in Column
J77 1830  5    ~D of Table /2,. Again stop the machine at the end
J77 1840  4    of the time shown in Column ~C of Table /2,. This procedure
J77 1850  3    is repeated for the second rinse, using the temperatures
J77 1860  1    and time shown in Columns ~F and ~E of Table /2,.
J77 1870  1    _TESTS /2,, /3,, AND /4,._
J77 1870  3       - Run the machine continuously until completion
J77 1880  1    of the test. Drain off the soap solution of the suds
J77 1880 12    cycle at such a time that the wheel has become substantially
J77 1890  9    empty of soap and water at the end of the time shown
J77 1900  8    in Column ~A of Table /2,, measured from the time the
J77 1910  5    wash wheel was started. Refill the machine to a level
J77 1920  2    of **f inches with water at 100-109` F& (38-43` C&).
J77 1930  1    When this water level has been reached, inject steam
J77 1930 10    until the temperature is that shown in Column ~D. Drain
J77 1940  8    off the water at such a time that the wheel has become
J77 1950  6    substantially empty of water at the end of the sum
J77 1960  4    of the times shown in Columns ~A and ~C, measured from
J77 1970  1    the time the wash wheel was started. Immediately refill
J77 1970 10    to a level of **f inches with water at 100-109` F&
J77 1980 10    (38-43` C&). When this water level has been reached
J77 1990  7    inject steam until the temperature is that shown in
J77 2000  4    Column ~F. Drain off the water at such a time that
J77 2010  1    the wheel has become substantially empty of water at
J77 2010 10    the end of the sum of the times shown in Columns ~A,
J77 2020  9    ~C, and ~E, measured from the time the wash wheel was
J77 2030  7    started.
J78 0010  1       High-gain, photoelectronic image intensification
J78 0010  6    is applied under conditions of low incident light levels
J78 0020  7    whenever the integration time required by a sensor
J78 0030  5    or recording instrument exceeds the limits of practicability.
J78 0040  2    Examples of such situations are (aerial) night reconnaissance,
J78 0050  1    the recording of radioactive tracers in live body tissues,
J78 0060  1    special radiography in medical or industrial applications,
J78 0060  8    track recording of high energy particles, etc&.
J78 0070  6       High-gain photoelectronic image intensification
J78 0080  3    may be achieved by several methods; some of these are
J78 0090  3    listed below:
J78 0090  5    _(A)_
J78 0090  6       Cascading single stages by coupling lens systems,
J78 0100  3    _(B)_
J78 0100  4       Channel-type, secondary emission image intensifier,
J78 0110  1    _(C)_
J78 0110  2       Image intensifier based upon the "multipactor" principle,
J78 0120  2    _(D)_
J78 0120  3       Transmission secondary electron multiplication image
J78 0130  2    intensifiers (~TSEM tubes),
J78 0130  5    _(E)_
J78 0130  6       Cascading of single stages, enclosed in one common
J78 0140  6    envelope.
J78 0140  7       Cascading single stages by coupling lens systems
J78 0150  5    is rather inefficient as the lens systems limit the
J78 0160  3    obtainable gain quite severely. Channel-type image
J78 0160 10    intensifiers are capable of achieving high-gain values;
J78 0170  8    suffer, however, from an inherently low resolution.
J78 0180  6    Image intensifiers based upon the multipactor principle
J78 0190  4    appear to hold promise as far as obtainable resolution
J78 0200  2    is concerned. However, the unavoidable low-duty cycle
J78 0200 10    restricts the effective gain. ~TSEM tubes have been
J78 0210  8    constructed showing high gain and resolution. However,
J78 0220  6    electrostatic focus, important for many applications,
J78 0230  4    has not been realized for these devices. Resolution
J78 0240  1    limitations with electrostatic focus might be anticipated
J78 0240  8    due to chromatic aberrations. Furthermore, the thin
J78 0250  6    film dynodes appear to have a natural diameter limitation
J78 0260  6    wherever a mesh support cannot be tolerated.
J78 0270  2       Cascaded single stages enclosed by a common envelope
J78 0280  1    have been constructed with high gain and high resolution.
J78 0280 10    These tubes may differ both in the choice of the electron
J78 0290 11    optical system and in the design of the coupling members.
J78 0300  9    The electron optical system may be either a magnetic
J78 0310  6    or electrostatic one. The magnification may be smaller,
J78 0320  4    equal, or larger than unity.
J78 0320  9       An electrostatic system suffers generally from image
J78 0330  6    plane curvature leading to defocusing in the peripheral
J78 0340  4    image region if a flat viewing screen (or interstage
J78 0350  1    coupler) is utilized, while a magnetic system requires
J78 0350  9    accurate adjustment of the solenoid, which is heavy
J78 0360  8    and bulky. As it will be discussed later, peripheral
J78 0370  3    defocusing can be improved on by utilizing curved fiber
J78 0380  3    couplers. It should be noted, however, that the paraxial
J78 0390  1    resolution is quite similar for both electron optical
J78 0390  9    systems.
J78 0400  1       It is felt that fiber-coupled double- (and multi-)
J78 0400 11    stage image intensifiers will gain considerable importance
J78 0410  5    in the future. Therefore, we shall consider in this
J78 0420  5    paper the theoretical gain and resolution capabilities
J78 0430  1    of such tubes. The luminous efficiency and resolution
J78 0430  9    of single stages, fiber couplers, and finally of the
J78 0440  8    composite tube will be computed.
J78 0450  2       It will be shown theoretically that the high image
J78 0460  1    intensification obtainable with such a tube and contact
J78 0460  9    photography permits the utilization of extremely low
J78 0470  6    incident light levels. The effect of device and quantum
J78 0480  5    noise, associated with such low input levels, will
J78 0490  2    be described.
J78 0490  4       After these theoretical considerations, constructional
J78 0500  1    details of a fiber-coupled, double-stage X-ray image
J78 0510  1    intensifier will be discussed. Measured performance
J78 0510  7    characteristics for this experimental tube will be
J78 0520  7    listed.
J78 0520  8       The conclusion shall be reached that fiber-coupled,
J78 0530  6    double-stage tubes represent a sensible and practical
J78 0540  3    approach to high-gain image intensification.
J78 0540  9    #BASIC DESIGN OF A FIBER-COUPLED, DOUBLE-STAGE IMAGE
J78 0550  9    INTENSIFIER#
J78 0550 10    The tube design which forms the basis of the theoretical
J78 0560  9    discussion shall be described now. The electron optical
J78 0570  7    system (see fig& 14-1) is based in principle on the
J78 0580  6    focusing action of concentric spherical cathode and
J78 0590  2    anode surfaces. The inner [anode] sphere is pierced,
J78 0590 10    elongated into a cup, and terminated by the phosphor
J78 0600  9    screen. The photoelectrons emitted from a circular
J78 0610  5    segment of the cathode sphere are focused by the positive
J78 0620  4    lens action of the two concentric spheres, pass through
J78 0630  1    the [negative] lens formed by the anode aperture, and
J78 0630 10    impinge upon the cathodoluminescent viewing screen.
J78 0640  6    The cylindrical focusing electrode permits adjustment
J78 0650  4    of the positive lens part by varying the focusing potential.
J78 0660  3    The anode potential codetermines the gain, ~G, and
J78 0670  2    magnification, ~M, of the stage.
J78 0670  7       Both the photocathode and the image plane of such
J78 0680  7    an electrode configuration are curved concave as seen
J78 0690  4    from the anode aperture. The field-flattening property
J78 0700  1    of the biconcave fiber coupler can be utilized to alleviate
J78 0700 11    the peripheral resolution losses resulting with a flat
J78 0710  8    phosphor-screen or coupling member. For the same reason,
J78 0720  7    the output fiber plate is planoconcave, its exposed
J78 0740  3    flat side permitting contact photography if a permanent
J78 0750  1    record is desired. As it will be shown later, the
J78 0750 11    field-flattening
J78 0760  1    properties of the interstage and output fiber coupler
J78 0760  9    comprise indeed the main advantage of such a design.
J78 0770  8       The second photocathode and both phosphor surfaces
J78 0780  5    are deposited on the fiber plate substrates. The photocathode
J78 0790  3    sensitivities ~S, phosphor efficiencies ~P, and anode
J78 0800  4    potentials ~V of the individual stages shall be distinguished
J78 0810  3    by means of subscripts /1, and /2, in the text, where
J78 0820  2    required. Both stages are assumed to have unity magnification.
J78 0830  1    #THEORETICAL DISCUSSION OF FLUX GAIN#
J78 0840  1    _FLUX GAIN OF A SINGLE STAGE_
J78 0840  2       The luminous gain of a single stage with **f (flux
J78 0840 12    gain) is, to a first approximation, given by the product
J78 0850  9    of the photocathode sensitivity ~S (amp/lumen), the
J78 0860  5    anode potential ~V (volts), and the phosphor conversion
J78 0870  5    efficiency ~P (lumen-watt). In general, ~P is a function
J78 0880  6    of ~V and the current density, but it shall here be
J78 0890  6    assumed as a constant.
J78 0890 10       The luminous efficiency **f of a photocathode depends
J78 0900  7    on the maximum radiant sensitivity **f and on the spectral
J78 0910  7    distribution of the incident light **f by the relation:
J78 0920  5    **f where **f **h normalized radiant photocathode sensitivity.
J78 0930  2    **f **h standard visibility function. The luminous
J78 0930  9    flux gain of a single stage is given by: **f If the
J78 0940 12    input light distribution falls beyond the visible range,
J78 0950  6    **f as expected, since **f. Such cases are not considered
J78 0960  5    here.
J78 0960  6    _EFFICIENCY OF FIBER COUPLERS_
J78 0970  1       The efficiency of fiber optics plates depends on
J78 0970  8    four factors:
J78 0980  1    _(A)_
J78 0980  1       numerical aperture (N&A&).
J78 0980  4    _(B)_
J78 0980  5       end (Fresnel reflection) losses (~R).
J78 1000  1    _(C)_
J78 1000  2       internal losses (I&L&).
J78 1010  1    _(D)_
J78 1010  1       packing efficiency (F&R&). The numerical aperture
J78 1010  7    of the fibers is given by: **f where **f.
J78 1020  7       The angle **f is measured in the medium of index
J78 1030  5    **f. Settled phosphors, as generally used in image
J78 1040  1    intensifiers, have low optical contact with the substrate
J78 1040  9    surface, hence **f shall be assumed. The numerical
J78 1050  8    aperture should be in general close to unity. This
J78 1060  5    condition can be satisfied, e&g&, with **f and **f
J78 1070  3    or equivalent glass combinations.
J78 1070  7       A sufficiently good approximation for determining
J78 1080  4    the end reflection losses ~R can be obtained from the
J78 1100  4    angle independent Fresnel formula: **f For phosphor
J78 1110  1    to fiber and fiber to air surfaces, and assuming **f,
J78 1110 11    we obtain **f percent. This value may be reduced to
J78 1120  9    4.6 percent by means of a (very thin) glass layer of
J78 1130  5    index 1.5. Hence, the **f factor for the output fiber
J78 1140  2    coupler is **f.
J78 1140  5       As the index of refraction of photosensitive surfaces
J78 1150  2    of the ~SbCs-type lies around 2, the Fresnel losses
J78 1160  1    at the fiber-photocathode interface are about 0.5 percent
J78 1160 10    and the **f factor for the interstage coupler is 0.95.
J78 1170  9    It might be anticipated that multiple coatings will
J78 1180  5    reduce end reflection losses even further.
J78 1190  1       The internal losses are due to absorption and the
J78 1190 10    small but finite losses suffered in the numerous internal
J78 1200  8    reflections due to deviations from the prescribed,
J78 1210  5    cylindrical fiber cross-section and minute imperfections
J78 1220  2    of the core-jacket interface. These losses depend on
J78 1230  2    fiber diameter and length, absorption coefficient,
J78 1230  8    the mean value of the loss per internal reflection
J78 1240  6    and last but not least, on the angular distribution
J78 1250  2    of the incident light. Explicit expressions (integral
J78 1260  1    averages) are given in the literature. Lacking reliable
J78 1260  9    data for some of the variables, we are relying on experimental
J78 1270  9    data of about 20 percent internal losses for 1/4-inch
J78 1280  6    long, small (5-10~|m) diameter fibers. This relatively
J78 1290  4    high value is probably due to the small fiber diameters
J78 1300  2    increasing the number of internal reflections. Since
J78 1300  9    we are considering here relatively small diameter (1-1.5
J78 1310  8    inches) fiber plates, their average thickness can be
J78 1320  6    kept below 1/4 inch and their internal losses may be
J78 1330  4    assumed as 15 percent (per plate).
J78 1330 10       The packing efficiency, F&R&, of fiber plates did
J78 1340  7    not receive much attention in the literature, probably
J78 1350  5    as it is high for the larger fibers generally used,
J78 1360  2    until rather recently. For circular fibers in a closely
J78 1370  1    packed hexagonal array, the packing efficiency is given
J78 1370  9    by: **f where **f, and 0.906 is the ratio of the area
J78 1380 10    of a circle to that of the circumscribed hexagon. For
J78 1390  4    the small diameter fibers now technically feasible
J78 1400  2    and required for about 100 **f resolution, **f. The
J78 1400 11    cladding thickness is about 0.5~|m, hence, **f and
J78 1410  8    **f.
J78 1410  9       Thus, the efficiency ~|t couplers is given by- **f
J78 1420  9    or approximately 50 percent each.
J78 1430  4       It must be remembered that the fiber plates replace
J78 1440  1    a glass window and a (mica) membrane, in addition to
J78 1440 11    an optical output lens system. The efficiency **f of
J78 1450  8    an **f lens at the magnification **f is: **f Neglecting
J78 1460  5    absorption, the end losses of the coupling membrane
J78 1470  2    and the output window **f would be 6 percent and 8
J78 1470 13    percent. Thus, the combined efficiency of the elements
J78 1480  8    replaced by the two fiber plates (with a combined efficiency
J78 1490  7    of 0.25) is 0.043 or about six times less than that
J78 1500  6    of the two fiber plates.
J78 1510  1    _GAIN OF FIBER COUPLED IMAGE INTENSIFIERS_
J78 1510  4       Including the brightness gain **f due to the **f
J78 1520  4    area demagnification, the overall gain of a fiber coupled
J78 1520 13    double stage image intensifier is: **f It is obvious
J78 1530  9    that the careful choice of photocathode which maximizes
J78 1540  6    **f for a given input ~E (in the case of the second
J78 1550  7    stage, for the first phosphor screen emission) is very
J78 1560  3    important. The same consideration should govern the
J78 1560 10    choice of the second-stage phosphor screen for matching
J78 1570  9    with the spectral sensitivity of the ultimate sensor
J78 1580  6    (e&g&, photographic emulsion).
J78 1590  1       We have evaluated the "matching integrals" for two
J78 1590  9    types of photocathodes (~S-11 and ~S-20) and three
J78 1600 10    types of light input. The input light distributions
J78 1610  5    considered are ~P-11 and ~P-20 phosphor emission and
J78 1620  4    the so-called "night light" (N&L&) as given by H&W&
J78 1630  5    Babcock and J& J& Johnson. The integrals (in @ units)
J78 1640  4    are listed in table 14-/1, below:
J78 1640 11    #THEORETICAL DISCUSSION OF PARAXIAL DEVICE RESOLUTION#
J78 1660  1    _RESOLUTION LIMITATIONS IN A SINGLE STAGE_
J78 1660  5       The resolution limitations for a single stage are
J78 1670  1    given by the inherent resolution of the electron optical
J78 1670 10    system as well as the resolution capabilities of the
J78 1680  8    cathodoluminescent viewing screen.
J78 1690  2       The resolution capabilities of an electrostatic
J78 1690  8    system depend on both the choice of magnification and
J78 1700  9    chromatic aberrations. It has been stated previously
J78 1720  6    that a minifying electrostatic system yields a lower
J78 1730  3    resolution than a magnifying system or a system with
J78 1730 12    unity magnification.
J78 1740  2       Furthermore, the chromatic aberrations depend on
J78 1750  2    the chosen high voltage. In general, a high anode voltage
J78 1750 12    reduces chromatic aberrations and thus increases the
J78 1760  7    obtainable resolution.
J78 1770  1       The luminous gain of the discussed tube was calculated
J78 1770 10    from Eq& (6) for the 16 possible combinations of ~S-11
J78 1780 10    and ~S-20 photocathodes and ~P-11 and ~P-20 phosphor
J78 1790  8    screens, for night light and ~P-20 light input. (The
J78 1800  7    ~P-20 input is of interest because it corresponds roughly
J78 1810  4    to the light emission of conventional X-ray fluorescent
J78 1820  2    screens). The following efficiencies obtained from
J78 1820  8    ~JEDEC and ~RCA specifications were used: **f
J78 1830  7       The following table (14-/2,) lists the (luminous)
J78 1840  7    gain values computed according to Eq& (6) with **f:
J78 1850  6       The possibility of a space charge blowup of the
J78 1860  4    screen crossover of the elementary electron bundles
J78 1860 11    has been pointed out. It is obvious that such an influence
J78 1870 11    can only be expected in the final stage of an image
J78 1880  9    intensifier at rather high output levels. Space charge
J78 1890  4    influences will also decrease at increased voltages.
J78 1900  2       Electrostatic systems of the pseudo-symmetric type
J78 1900  9    have been tested for resolution capabilities by applying
J78 1910  8    electronography. A resolution of 70-80 line-pairs per
J78 1920  9    millimeter appears to be feasible.
J78 1930  1       The inherent resolution of a cathodoluminescent
J78 1930  7    phosphor screen decreases with increasingly aggregate
J78 1940  6    thickness (with increasing anode voltage), decreases
J78 1950  4    with decreasing porosity (thus the advantage of cathodophoretic
J78 1960  3    phosphor deposition) and might be impaired by the normally
J78 1970  2    used aluminum mirror. Thus, in general, elementary
J78 1970  9    light optical effects, light scatter, and electron
J78 1980  7    scatter determine the obtainable resolution limit.
J78 1990  3    It should be noted that photoluminescence, due to
J78 2000  3    "Bremsstrahlung"
J78 2000  4    generated within the viewing screen by electron impact,
J78 2010  2    appears to be important only if anode voltages in excess
J78 2020  1    of 30 ~KV are utilized. It has been stated that settled
J78 2020 12    cathodoluminescent phosphor screens may have a limiting
J78 2030  7    resolution of 60 **f at high voltage values of approximately
J78 2040  7    20 ~KV. For the further discussion, we shall thus assume
J78 2050  5    an electron optical resolution of 80 **f and phosphor
J78 2060  3    screen resolution of 60 **f.
J79 0010  1    The set of all decisions is called the operating policy
J79 0010 11    or, more simply, the policy. An optimal policy is one
J79 0020  8    which in some sense gets the best out of the process
J79 0030  6    as a whole by maximizing the value of the product.
J79 0040  1    There are thus three components to an optimal design
J79 0040 10    problem:
J79 0050  1    _(1)_
J79 0050  2       The specification of the state of the process stream;
J79 0050 11    _(2)_
J79 0060  1       The specification of the operating variables and
J79 0060  8    the transformation they effect;
J79 0070  3    _(3)_
J79 0070  4       The specification of the objective function of which
J79 0080  3    the optimization is desired. For a chemical process
J79 0090  1    the first of these might involve the concentrations
J79 0100  8    of the different chemical species, and the temperature
J79 0110  5    or pressure of the stream. For the second we might
J79 0120  4    have to choose the volume of reactor or amount of cooling
J79 0130  1    to be supplied; the way in which the transformation
J79 0130 10    of state depends on the operating variables for the
J79 0140  7    main types of reactors is discussed in the next chapter.
J79 0150  5    The objective function is some measure of the increase
J79 0160  3    in value of the stream by processing; it is the subject
J79 0170  1    of Chapter 4.
J79 0170  4       The essential characteristic of an optimal policy
J79 0180  1    when the state of the stream is transformed in a sequence
J79 0180 12    of stages with no feedback was first isolated by Bellman.
J79 0190  9    He recognized that whatever transformation may be effected
J79 0200  6    in the first stage of an ~R-stage process, the remaining
J79 0220  4    stages must use an optimal **f-stage policy with respect
J79 0230  3    to the state resulting from the first stage, if there
J79 0240  1    is to be any chance of optimizing the complete process.
J79 0240 11    Moreover, by systematically varying the operating conditions
J79 0250  6    in the first stage and always using the optimal **f-stage
J79 0260  7    policy for the remaining stages, we shall eventually
J79 0270  4    find the optimal policy for all ~R stages. Proceeding
J79 0280  1    in this way, from one to two and from two to three
J79 0280 13    stages, we may gradually build up the policy for any
J79 0290  9    number. At each step of the calculation the operating
J79 0300  4    variables of only one stage need be varied.
J79 0310  1       To see how important this economy is, let us suppose
J79 0310 11    that there are ~m operating variables at each stage
J79 0320  8    and that the state is specified by ~n variables; then
J79 0330  7    the search for the maximum at any one stage will require
J79 0340  7    a number of operations of order **f (where ~a is some
J79 0350  4    number not unreasonably large). To proceed from one
J79 0360  2    stage to the next a sufficient number of feed states
J79 0360 12    must be investigated to allow of interpolation; this
J79 0370  6    number will be of the order of **f. If, however, we
J79 0380  6    are seeking the optimal ~R-stage policy for a given
J79 0390  4    feed state, only one search for a maximum is required
J79 0390 14    at the final step. Thus a number of operations of the
J79 0400 11    order of **f are required. If all the operating variables
J79 0410  7    were varied simultaneously, **f operations would be
J79 0420  5    required to do the same job, and as ~R increases this
J79 0430  3    increases very much more rapidly than the number of
J79 0430 12    operations required by the dynamic program. But even
J79 0440  8    more important than this is the fact that the direct
J79 0450  8    search by simultaneously varying all operating conditions
J79 0460  3    has produced only one optimal policy, namely, that
J79 0470  1    for the given feed state and ~R stages. In contrast,
J79 0470 11    the dynamic program produces this policy and a whole
J79 0480  8    family of policies for any smaller number of stages.
J79 0490  6    If the problem is enlarged to require a complete coverage
J79 0500  4    of feed states, **f operations are needed by the dynamic
J79 0510  1    program and **f by the direct search. But **f is vastly
J79 0510 12    larger than ~R. No optimism is more baseless than that
J79 0520 10    which believes that the high speed of modern digital
J79 0530  8    computers allows for use of the crudest of methods
J79 0540  4    in searching out a result. Suppose that **f, and that
J79 0550  2    the average operation requires only **f sec&. Then
J79 0550 10    the dynamic program would require about a minute whereas
J79 0560  8    the direct search would take more than three millennia!
J79 0570  5       The principle of optimality thus brings a vital
J79 0580  4    organization into the search for the optimal policy
J79 0580 12    of a multistage decision process. Bellman (1957) has
J79 0590  8    annunciated in the following terms:
J79 0600  3       "An optimal policy has the property that whatever
J79 0610  2    the initial state and initial decision are, the remaining
J79 0610 11    decisions must constitute an optimal policy with respect
J79 0620  8    to the state resulting from the first decision".
J79 0630  5       This is the principle which we will invoke in every
J79 0640  6    case to set up a functional equation. It appears in
J79 0650  2    a form that is admirably suited to the powers of the
J79 0650 13    digital computer. At the same time, every device that
J79 0660  9    can be employed to reduce the number of variables is
J79 0670  6    of the greatest value, and it is one of the attractive
J79 0680  3    features of dynamic programming that room is left for
J79 0690  1    ingenuity in using the special features of the problem
J79 0690 10    to this end.
J79 0700  1    #2.2 THE DISCRETE DETERMINISTIC PROCESS#
J79 0700  5    Consider the process illustrated in Fig& 2.1, consisting
J79 0710  5    of ~R distinct stages. These will be numbered in the
J79 0720  6    direction opposite to the flow of the process stream,
J79 0730  2    so that stage ~r is the ~rth stage from the end. Let
J79 0740  2    the state of the stream leaving stage ~r be denoted
J79 0740 12    by a vector **f and the operating variables of stage
J79 0750  8    ~r by **f. Thus **f denotes the state of the feed to
J79 0760  9    the ~R-stage process, and **f the state of the product
J79 0770  7    from the last stage. Each stage transforms the state
J79 0780  3    **f of its feed to the state **f in a way that depends
J79 0780 16    on the operating variables **f. We write this **f.
J79 0790  9    This transformation is uniquely determined by **f and
J79 0800  7    we therefore speak of the process as deterministic.
J79 0810  3    In practical situations there will be restrictions
J79 0820  1    on the admissible operating conditions, and we regard
J79 0820  9    the vectors as belonging to a fixed and bounded set
J79 0830  7    ~S. The set of vectors **f constitutes the operating
J79 0840  4    policy or, more briefly, the policy, and a policy is
J79 0850  3    admissible if all the **f belong to ~S. When the policy
J79 0860  1    has been chosen the state of the product can be obtained
J79 0860 12    from the state of the feed by repeated application
J79 0870  8    of the transformation (1); thus **f. The objective
J79 0880  5    function, which is to be maximized, is some function,
J79 0890  2    usually piecewise continuous, of the product state.
J79 0890  9    Let this be denoted by **f.
J79 0900  5       An optimal policy is an admissible policy **f which
J79 0910  3    maximizes the objective function ~P. The policy may
J79 0920  1    not be unique but the maximum value of ~P certainly
J79 0920 11    is, and once the policy is specified this maximum can
J79 0930  8    be calculated by (2) and (3) as a function of the feed
J79 0940  7    state **f. Let **f where the maximization is over all
J79 0950  4    admissible policies **f. When it is necessary to be
J79 0950 13    specific we say that the optimal policy is an optimal
J79 0960 10    ~R-stage policy with respect to the feed state **f.
J79 0970  8       For any choice of admissible policy **f in the first
J79 0980  6    stage, the state of the stream leaving this stage is
J79 0990  4    given by **f. This is the feed state of the subsequent
J79 1000  1    **f stages which, according to the principle of optimality,
J79 1000 10    must use an optimal **f-stage policy with respect to
J79 1010  8    this state. This will result in a value **f of the
J79 1020  7    objective function, and when **f is chosen correctly
J79 1030  1    this will give **f, the maximum of the objective function.
J79 1030 11    Thus **f where the maximization is over all admissible
J79 1040  8    policies **f, and **f is related to **f by (5). The
J79 1050  8    sequence of equations (6) can be solved for **f when
J79 1060  4    **f is known, and clearly **f, the maximization being
J79 1070  1    over all admissible **f.
J79 1070  5       The set of equations (5), (6), and the starting
J79 1080  2    equation (7) is of a recursive type well suited to
J79 1080 12    programming on the digital computer. In finding the
J79 1090  8    optimal ~R-stage policy from that of **f stages, only
J79 1100  7    the function **f is needed. When **f has been found
J79 1110  5    it may be transferred into the storage location of
J79 1120  1    **f and the whole calculation repeated. We also see
J79 1120 10    how the results may be presented, although if ~n, the
J79 1130  8    number of state variables, is large any tabulation
J79 1140  5    will become cumbersome. A table or set of tables may
J79 1150  2    be set out as in Table 2.1.
J79 1150  9       To extract the optimal ~R-stage policy with respect
J79 1160  6    to the feed state **f, we enter section ~R of this
J79 1170  4    table at the state **f and find immediately from the
J79 1180  3    last column the maximum value of the objective function.
J79 1180 12    In the third column is given the optimal policy for
J79 1190 10    stage ~R, and in the fourth, the resulting state of
J79 1200  8    the stream when this policy is used. Since by the principle
J79 1210  5    of optimality the remaining stages use an optimal **f-stage
J79 1220  4    policy with respect to **f, we may enter section **f
J79 1230  1    of the table at this state **f and read off the optimal
J79 1230 13    policy for stage **f and the resulting state **f. Proceeding
J79 1240  8    in this way up the table we extract the complete optimal
J79 1250  6    policy and, if it is desired, we can check on **f by
J79 1260  6    evaluating **f at the last stage.
J79 1260 12       It may be that the objective function depends not
J79 1270  7    only on **f but also on **f, as when the cost of the
J79 1280  7    operating policy is considered. A moment's reflection
J79 1290  2    shows that the above algorithm and presentation work
J79 1290 10    equally well in this case. A form of objective function
J79 1300 10    that we shall often have occasion to consider is **f.
J79 1310  7    Here ~V(p) represents the value of the stream in state
J79 1320  7    ~p and ~C(q) the cost of operating the stage with conditions
J79 1330  7    ~q. Hence ~P is the increase in value of the stream
J79 1340  9    minus the cost of operation, that is, the net profit.
J79 1350  5    If **f denotes the net profit from stage ~r and **f
J79 1360  3    then the principle of optimality gives **f This sequence
J79 1370  1    of equations may be started with the remark that with
J79 1370 11    no process **f there is no profit, i&e&, **f.
J79 1380  6    #2.3 THE DISCRETE STOCHASTIC PROCESS#
J79 1390  1    The process in which the outcome of any one stage is
J79 1390 12    known only statistically is also of interest, although
J79 1400  7    for chemical reactor design it is not as important
J79 1410  6    as the deterministic process. In this case the stage
J79 1420  3    ~r operating with conditions **f transforms the state
J79 1430  1    of the stream from **f to **f, but only the probability
J79 1430 12    distribution of **f is known. This is specified by
J79 1440  8    a distribution function **f such that the probability
J79 1450  4    that **f lies in some region ~D of the stage space
J79 1460  2    is **f.
J79 1460  4       We cannot now speak of maximizing the value of the
J79 1470  3    objective function, since this function is now known
J79 1470 11    only in a probabilistic sense. We can, however, maximize
J79 1480  7    its expected value. For a single stage we may define
J79 1490  7    **f where the maximization is by choice of **f. We
J79 1500  4    thus have an optimal policy which maximizes the expected
J79 1510  1    value of the objective function for a given **f. If
J79 1510 11    we consider a process in which the outcome of one stage
J79 1520  8    is known before passage to the next, then the principle
J79 1530  5    of optimality shows that the policy in subsequent stages
J79 1540  2    should be optimal with respect to the outcome of the
J79 1540 12    first. Then **f, the maximization being over all admissible
J79 1550  9    **f and the integration over the whole of stage space.
J79 1560  7       The type of presentation of results used in the
J79 1570  6    deterministic process may be used here, except that
J79 1580  2    now the fourth column is redundant. The third column
J79 1580 11    gives the optimal policy, but we must wait to see the
J79 1590 11    outcome of stage ~R and enter the preceding section
J79 1600  6    of the table at this state. The discussion of the optimal
J79 1610  5    policy when the outcome of one stage is not known before
J79 1620  3    passing to the next is a very much more difficult matter.
J79 1630  1    #2.4 THE CONTINUOUS DETERMINISTIC PROCESS#
J79 1630  6    In many cases it is not possible to divide the process
J79 1640  6    into a finite number of discrete stages, since the
J79 1650  3    state of the stream is transformed in a continuous
J79 1650 12    manner through the process. We replace ~r, the number
J79 1660  9    of the stage from the end of the process, by ~t, a
J79 1670 10    continuous variable which measures the "distance" of
J79 1680  5    the point considered from the end of the process. The
J79 1690  3    word distance is used here in a rather general sense;
J79 1700  1    it may in fact be the time that will elapse before
J79 1700 12    the end of the process. If ~T is the total "length"
J79 1710  8    of the process, its feed state may be denoted by a
J79 1720  8    vector ~p(T) and the product state by ~p(O). ~p(t)
J79 1730  5    denotes the state at any point ~t and ~q(t) the vector
J79 1740  8    of operating variables there.
J80 0010  1       A gyro-stabilized platform system, using restrained
J80 0010  8    gyros, is well suited for automatic leveling because
J80 0020  7    of the characteristics of the gyro-platform-servo combination.
J80 0030  5    The restrained gyro-stabilized platform with reasonable
J80 0040  3    response characteristics operates with an approximate
J80 0050  1    equation of motion, neglecting transient effects, as
J80 0050  8    follows: **f where ~U is a torque applied about the
J80 0060 10    output axis of the controlling gyro.
J80 0070  3       The platform angle ~|f is the angle about which
J80 0080  2    the gyro is controlling. This is normally termed the
J80 0080 11    gyro input axis, 90` away from the gyro output or ~|j
J80 0090 10    axis. The gyro angular momentum is defined by ~H.
J80 0100  6       Thus if the gyro and platform-controller combination
J80 0110  2    maintains the platform with zero angular deviation
J80 0120  2    about the ~|f axis, the system can be rotated with
J80 0120 12    an angular velocity **f if a torque is supplied to
J80 0130 10    the gyro output axis ~|j. It is assumed that the gyros
J80 0140  7    are designed with electrical torquers so that a torque
J80 0150  5    can be applied about their output axes.
J80 0160  1       In the system shown in Fig& 7-1, the accelerometer
J80 0160 11    output is amplified and the resulting voltage is applied
J80 0170  7    to the gyro output-axis torquer. This torque causes
J80 0180  4    the entire system to rotate about the ~|f axis, since
J80 0190  3    the response to **f. If the polarities are correct,
J80 0190 12    the platform rotates in such a direction as to reduce
J80 0200 10    the accelerometer output to zero. As the accelerometer
J80 0210  6    output is decreasing, the torque applied to the gyro
J80 0220  4    output axis decreases and, therefore, the rate decreases.
J80 0230  1    Finally, when the accelerometer output is zero, the
J80 0230  9    entire system remains stationary, and the platform
J80 0240  6    is, by definition, leveled.
J80 0250  1       A mathematical block diagram for the leveling system
J80 0250  9    is shown in Fig& 7-2. The platform is initially off
J80 0260  9    level by the angle ~|f. The angle generated by the
J80 0270  6    platform servo ~|f multiplied by ~g is the effective
J80 0280  4    acceleration acting on the accelerometer. **f is the
J80 0290  3    scale factor of the accelerometer (**f). The voltage
J80 0290 11    **f is amplified by **f and applied to the gyro torquer
J80 0300  9    with scale factor **f. Finally, the gyro-stabilized
J80 0310  5    platform characteristic is represented by **f The system
J80 0320  5    as indicated in Fig& 7-2 is fundamental and simple
J80 0330  1    because the transient effects of both the platform
J80 0330  9    servo and the accelerometer have been neglected. With
J80 0340  6    these factors included, an upper limit is placed on
J80 0350  5    the allowable loop gain by stability considerations.
J80 0360  1    In this type of system, a high loop gain is desirable
J80 0360 12    because it provides a fast response time.
J80 0370  6       When the frequency response characteristics of practical
J80 0380  3    components are considered, their effect on stability
J80 0390  2    does not present the most serious limit on the system
J80 0390 12    loop gain. The time required for the system to reach
J80 0400 10    a level position is approximately inversely proportional
J80 0410  3    to the servo loop gain. In addition, the cutoff frequency
J80 0420  4    for input accelerations is approximately proportional
J80 0430  1    to the servo loop gain; i&e&, high loop gain causes
J80 0430 11    the system to respond to horizontal components of accelerations.
J80 0440  9    This problem usually determines the lower limit of
J80 0450  7    loop gain rather than response time.
J80 0460  2       It must be noticed in Fig& 7-1 that the accelerometer
J80 0470  1    responds to any input acceleration. The equation relating
J80 0470  9    input acceleration to output platform angle is **f
J80 0480  8    In practice, the preflight leveling process takes place
J80 0490  5    with the system mounted in the airframe. When the system
J80 0500  4    is arranged for automatic leveling, the platform angles
J80 0510  2    respond to any horizontal components of acceleration
J80 0510  9    acting on the accelerometers. There are many such components
J80 0520  8    of acceleration present due to the effect of wind gusts,
J80 0530  8    engine noise, turbulence around the vehicle, etc&.
J80 0540  4    One of the greatest problems associated with automatic
J80 0550  1    leveling is establishing a true level in the presence
J80 0550 10    of high-level acceleration noise. One solution to the
J80 0560  7    problem is to operate with a low loop gain and to include
J80 0570  9    low-pass filters. This technique causes the system
J80 0580  4    to respond only to low frequency acceleration components
J80 0590  1    such as the platform tilt. Since a lower loop gain
J80 0590 11    and low-pass filtering increases the response time,
J80 0600  5    a practical compromise must be reached.
J80 0610  1       One of the most desirable solutions is achieved
J80 0610  9    by the use of a non-linear amplifier for **f. The amplifier
J80 0620 11    is designed so that its gain is large for accelerometer
J80 0630  8    signals above a certain threshold level. Below this
J80 0640  4    level, the amplifier gain **f is proportional and is
J80 0650  3    of small value, in order to provide adequate noise
J80 0650 12    filtering. The effect is that the platform returns
J80 0660  7    from an off-level position at a rapid rate until it
J80 0670  6    is nearly level, at which point the platform is controlled
J80 0680  2    by a proportional servo with low enough frequency response
J80 0690  1    so that the noise has little effect on the leveling
J80 0690 11    process.
J80 0690 12       When the system is on automatic leveling, the gyro
J80 0700  9    drift is canceled by the output of the leveling system
J80 0710  7    (amplifier **f). The platform actually tilts off level
J80 0720  4    so that the accelerometer output, when amplified by
J80 0730  2    **f, will supply the correct current to the gyro torquer
J80 0730 12    to cancel the gyro drift. The amount of platform dip
J80 0740  9    required depends upon the scale factors of the system.
J80 0750  6    #7-3. PRACTICAL LEVELING CONSIDERATIONS.#
J80 0760  1    The automatic leveling system described in this section
J80 0760  9    is readily adaptable to a gyro-stabilized platform
J80 0770  7    consisting of three integrating gyros. The system requires
J80 0780  5    some switching of flight equipment circuits. However,
J80 0790  2    the leveling operation can be maintained and controlled
J80 0800  1    remotely with no mechanical or optical contact with
J80 0800  9    the platform.
J80 0810  1       This leveling system will hold the platform on-level,
J80 0810 10    automatically, as long as the system is actuated. A
J80 0820  9    useful by-product of this system is that the information
J80 0830  6    necessary to set the gyro drift biases is available
J80 0840  3    from the currents necessary to hold the system in level.
J80 0850  1       The leveling process can be accomplished manually,
J80 0850  8    and the results are as satisfactory as those obtained
J80 0860  7    with automatic equipment. The process consists in turning
J80 0870  5    the platform manually until the outputs of both accelerometers
J80 0880  4    are zero. The turning is accomplished by applying voltage
J80 0890  2    to the gyro torquers described above. In brief, the
J80 0890 11    human replaces amplifier **f in Figs& 7-1 and 7-2.
J80 0900 11       Manual leveling requires an appropriate display
J80 0910  5    of the accelerometer outputs. If high accuracy is required
J80 0920  5    in preflight leveling, it is usually necessary to integrate
J80 0930  3    or doubly integrate the accelerometer outputs (this
J80 0930 10    also minimizes the noise problem). With integration,
J80 0940  7    the effect of a small acceleration (or small platform
J80 0950  5    tilt angle) can be seen after a time. However, skill
J80 0960  3    is required on the part of an operator to level a platform
J80 0970  2    to any degree of accuracy. Also, it requires more time
J80 0970 12    as compared to the automatic approach.
J80 0980  6       Manual leveling is inconvenient if the platform
J80 0990  4    must be maintained accurately level for any prolonged
J80 1000  1    period of time. The operator must continually supply
J80 1000  9    the correct amount of turning current to the gyro torquers
J80 1010  9    so that the effect of gyro drift is canceled. This
J80 1020  6    process is especially difficult since gyro drifting
J80 1030  2    is typically random.
J80 1030  5    #7-4. PLATFORM HEADING.#
J80 1030  9    Platform heading consists of orienting the sensitive
J80 1040  7    axis of the accelerometers parallel to the desired
J80 1050  5    coordinate system of the navigator. In simpler terms,
J80 1060  2    it amounts to pointing the platform in the proper direction.
J80 1070  1       For purely inertial navigators, two techniques are
J80 1070  8    available to accomplish the platform heading:
J80 1080  6    _1._
J80 1080  7       Use of external or surveying equipment to establish
J80 1090  5    proper heading.
J80 1090  7    _2._
J80 1090  8       Use of the characteristics of the platform components
J80 1100  6    for an indication of true heading The choice of the
J80 1110  6    heading technique is dependent upon the accuracy requirements,
J80 1120  2    field conditions, and the time available to accomplish
J80 1130  1    the heading.
J80 1130  3    #7-5. EXTERNAL DETERMINATION OF HEADING- SURVEYING
J80 1140  1    TECHNIQUE.#
J80 1140  2    With the gyro-stabilized platform leveled, it can be
J80 1150  1    headed in the proper direction by using surveying techniques.
J80 1150 10    The platform accelerometers must be slightly modified
J80 1160  6    for this procedure. Before the accelerometers are mounted
J80 1170  5    on the platform, the direction of their sensitive axis
J80 1180  4    must be accurately determined. A mirror is mounted
J80 1190  1    on each accelerometer so that the plane of the mirror
J80 1190 11    is perpendicular to the sensitive axis of the unit.
J80 1200  8    _TRANSIT._
J80 1200  9       A precision transit is set up so that it is aligned
J80 1210  9    with respect to true north. This can be done to a high
J80 1220  7    degree of accuracy by existing surveying techniques.
J80 1230  1    With the transit set up, a mirror on one of the accelerometers
J80 1240  1    is sighted and the platform is turned until it is aligned.
J80 1240 12       The sighting procedure includes the use of a fixture
J80 1250  9    for the transit to project a beam of light, which is
J80 1260  8    darkened by crossed hairs, on the accelerometer mirror.
J80 1270  2    When the platform is aligned, the reflected image of
J80 1280  2    the crossed hairs can be seen exactly superimposed
J80 1280 10    upon the original crossed hairs. The images can easily
J80 1290  7    be aligned with a high degree of accuracy. The platform
J80 1300  5    is turned as required by supplying currents to the
J80 1310  3    appropriate gyro torquers.
J80 1310  6       Although this technique is simple and satisfactory,
J80 1320  4    one practical difficulty does exist: the direction
J80 1330  1    of true north must be known for each launch point.
J80 1330 11    However, this difficulty is not too serious if it is
J80 1340 10    realized that a surveying team can establish a true
J80 1350  6    north base line with a few days' work.
J80 1360  1       In many installations, the inertial platform is
J80 1360  8    raised off the ground a considerable height when it
J80 1370  6    is mounted in the vehicle before flight. With this
J80 1380  3    situation, it is difficult to sight in on the platform
J80 1380 13    with surveying equipment. If the platform is not too
J80 1400  7    high off the ground, a transit can be mounted on a
J80 1410  8    stand to raise it up to the platform. Obviously, the
J80 1420  3    heading accuracy is lessened by such techniques since
J80 1430  1    errors are introduced because of motion of the stand.
J80 1440  1    _AUTOCOLLIMATOR._
J80 1440  1       The transit can be replaced by an autocollimator.
J80 1440  9    This instrument provides an electrical signal proportional
J80 1450  6    to the angular deviations of the platform and can be
J80 1460  7    used to automatically hold the platform on true heading.
J80 1470  4    The electrical signal from the autocollimator is amplified
J80 1480  1    and supplied to the ~Z-gyro torquer. If the polarity
J80 1480 11    is correct, the platform will turn until the heading
J80 1490  9    error angle is zero. Information is also available
J80 1500  5    from this autocollimator system to set the drift bias
J80 1510  4    for the ~Z-axis gyro. If the ~Z gyro is drifting, a
J80 1520  4    current generated by the autocollimator is delivered
J80 1520 11    to the gyro torquer to cancel the drift. If the drift
J80 1530 11    error is systematic, it can be canceled with a bias
J80 1540  8    circuit which can be arranged and adjusted to supply
J80 1550  3    the required compensating current.
J80 1560  1    _ELECTRICAL PICKOFFS._
J80 1560  1       It is possible to locate an angular electrical pickoff,
J80 1560 10    which will indicate the angular deviation between the
J80 1570  8    true heading direction and the platform. Essentially,
J80 1580  5    the stator or reference portion of the pickoff is established
J80 1590  5    with respect to the true heading direction, and the
J80 1600  3    platform is turned either manually or automatically
J80 1600 10    until the angular electrical pickoff signal is reduced
J80 1610  7    to zero.
J80 1610  9    #7-6. GYROCOMPASS HEADING.#
J80 1620  2    Gyrocompass alignment is an automatic heading system
J80 1630  1    which depends upon the characteristic of one gyro to
J80 1630 10    establish true heading. For the case of a purely inertial
J80 1640  9    autonavigator consisting of three restrained gyros,
J80 1650  4    a coordinate system is used where the sensitive axis
J80 1660  2    of the ~X accelerometer is parallel to the east-west
J80 1660 12    direction at the base point, and the ~Y accelerometer
J80 1670  9    sensitive axis is parallel to the north-south direction
J80 1680  9    at the base point. The accelerometers are mounted rigidly
J80 1690  5    on the platform. Thus, if one accelerometer is properly
J80 1700  3    aligned, the other is also. The input axis of the appropriate
J80 1710  2    gyros are parallel to the sensitive direction of the
J80 1710 11    accelerometers.
J80 1720  1       Figure 7-3 shows a platform system with the gyro
J80 1730  1    vectors arranged as described above. The platform is
J80 1730  9    leveled and properly headed, so that the ~X-gyro input
J80 1740  8    axis is parallel to the east-west direction and the
J80 1750  6    ~Y-gyro input axis is parallel to the north-south direction.
J80 1760  5       The input axis of the ~X gyro, when pointing in
J80 1770  4    the east-west direction, is always perpendicular to
J80 1780  1    the spin axis of earth. If the platform is not properly
J80 1780 12    headed, the ~X-gyro input axis will see a component
J80 1790  9    of the earth's rotation. The sensing of this rotation
J80 1800  6    by the ~X gyro can be utilized to direct the platform
J80 1810  5    into proper heading.
J80 1810  8       In Fig& 7-4, the input axis of the three-axis platform
J80 1820  9    is shown at some point on the earth. The point is at
J80 1830  6    a latitude ~|l, and the platform is at an error in
J80 1840  4    heading east. The earth is spinning at an angular velocity
J80 1850  1    ~\q equal to one revolution per 24 hr&. When the platform
J80 1850 12    is level, ~|e is a rotation about the ~Z axis of the
J80 1860 12    platform **f. Since the earth is rotating and the unleveled
J80 1870 10    gyro-stabilized platform is fixed with respect to a
J80 1880  7    reference in space, an observer on the earth will see
J80 1890  5    the platform rotating (with respect to the earth).
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